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Deliverable Quality Plans

Introduction

A quality plan, as prepared by a supplier, is a document setting out the specific quality practices, resources and sequence of activities relevant to a particular product, project or contract, and can be used by the Integrated Project Team Leader (IPTL) as a means of gaining confidence that:

the contract requirements and conditions have been reviewed
effective quality planning has taken place
identified risk areas are being addressed
the contractor has indicated how the quality of products and/or processes, including critical ones (as stated in the contract), will be assured; and
those specific elements of the contractor's quality system that are to be applied to the contract are appropriate.

When invoked in a contract, AQAP 2110, 2120 or 2130 require the supplier to submit a Quality Plan to the GQAR and/or Acquirer prior to the start of the activities, unless otherwise directed. AQAP 2105 sets out the minimum requirements for deliverable Quality Plans and has been published by NATO specifically for use in conjunction with AQAP 2110, 2120 and 2130. AQAP 2105 is not intended to be used as a standalone document.

Policy

The MOD prefers to decide on when a deliverable Quality Plan is required, based on perceived contract risks, and indicates this decision contractually by invoking either DEFCON 602A (deliverable Quality Plan required) or DEFCON 602B (deliverable Quality Plan not required).

Deliverable Quality Plan contractual requirements

When a deliverable Quality Plan is required, DEFCON 602A must be invoked along with AQAP 2105 and the applicable quality standard (AQAP 2110, AQAP 2120 or AQAP 2130).

Note: DEFCON 602A contains an appropriate statement to avoid transfer of liability to the MOD viz. "Notwithstanding that the Deliverable Quality Plan will have been seen and agreed by the Authority, the Contractor shall be solely responsible for the accuracy, suitability and applicability of the Delivered Quality Plan.”

For quality plans associated with contracts involving software development, both AQAP 2105 and AQAP 2210 should be invoked together with AQAP 2110 and DEFCON 602A.

When either AQAP 2110, 2120 or 2130 is invoked in the contract but a deliverable Quality Plan is not required, AQAP 2105 must be omitted and DEFCON 602B invoked.

Important Note: The inclusion of AQAPs 2110, 2120 or 2130 in a contract must always be accompanied by either DEFCON 602A or DEFCON 602B, selected as applicable to define MOD requirements in respect of a deliverable quality plan.

Contractual Quality Assurance (QA) requirements review

Invitations To Tender and Contracts should be thoroughly reviewed prior to issue to assure that all necessary information has been included, that it is appropriate, current, and that there are no incomplete or conflicting contract requirements.

IPTLs should ensure that the review is conducted by a competent person who is at practitioner level for Functional Competences MQ 1 – 4. To assist with the process a Contractual Quality Assurance Requirements Checklist [94KB DOC] available for use as a download.

Determining the need for a deliverable Quality Plan

It should also be borne in mind that those contractors operating a quality management system satisfying MOD’s Appropriate Certification policy (for example: ISO 9001), are required to define and document how they will meet the requirements for quality. Such quality planning may be considered adequate and obviate the need for a deliverable quality plan.

In order to establish whether a deliverable quality plan is required or not, consideration should be given to such factors as:

the criticality of the product.
the complexity and novelty of the product.
the past performance of the selected contractor(s).
the problems that have been experienced when the same or similar work was previously undertaken.
the consequences of project slippage.
the consequences of cost overruns.
the previous failure of the contractor to achieve specified quality.
the known capability of the contractor.
the certification status and maturity of the contractor's quality management system.
the cost of the quality plan.

Invitation to Tender (ITT)

At the tender stage of a project, not all information may be available in sufficient detail for a tenderer to compile a comprehensive quality plan. It may therefore be appropriate for the IPTL and/or QA Focal Point to request an outline or draft quality plan at this stage.

Evaluation of the outline plan during tender assessment should provide the IPTL and/or QA Focal Point with an indication of how the tenderer's quality system will deal with perceived risks. The IPTL and/or QA Focal Point should not seek changes to an outline quality plan provided in response to a competitive tender where assessment criteria have been applied to the quality plan as part of a tender marking scheme. Changes to the outline quality plan, as a result of pre-contract negotiations with a single tenderer, or the successful tenderer following competition, will need to be incorporated into the deliverable quality plan (in accordance with the requirements specified in the contract) before the start of the specified activities.

Hybrid and International and collaborative Projects

Hybrid projects contain an element of civil engineering which brings with it additional requirements such as building and environmental regulations. Quality plans for hybrid projects should therefore include the requirements of statutory and civil engineering regulations, as necessary.

International and collaborative projects are often influenced by inter-government agreements (MoUs) in addition to the contract. In many cases reliance will be placed upon the government QA organisation of a supplier's country to carry out Government Quality Assurance Surveillance. Where such arrangements are made, this needs to be reflected in any quality plans.

Negotiations for Deliverable Quality Plans

Care should be taken when negotiating quality plan requirements to safeguard the MOD's position. Only MOD commercial staff are Authorised to commit MOD contractually. All discussions by non-commercial staff should be conducted on a without commitment and/or prejudice basis. Every effort should be made to ensure deliverable quality plans are prepared and implemented as soon as possible after the contract is placed, prior to work commencing.

Milestones

A payment milestone should be linked to the IPTL's acceptance of the delivered quality plan. This approach provides the contractor with an incentive to update and issue the quality plan to reflect the comments on the document by the IPTL and/or QA Focal Point. The timescale within which the IPTL and/or QA Focal Point will review and respond to the deliverable quality plan should be included in the contract.

Evaluating the Acceptability of Deliverable Quality Plans

The IPTL is responsible for reviewing and evaluating the contractor's deliverable quality plan. The IPTL and/or QA Focal Point should consider tasking the Government Quality Assurance Representative (GQAR) to assist in the evaluation of the quality plan as part of the risk management process.

A quality plan should as a minimum meet all of the requirements of AQAP 2105 and address all elements of the contractual requirements for quality. This may involve addressing the requirements of more than one standard, as for instance in the case of contracts involving software, where both AQAP 2110 and AQAP 2210 may apply. It should also be borne in mind that requirements from other standards could have quality implications that will need to be addressed in quality plans.

Care needs to be exercised in deciding on the acceptability of a quality plan. Some contractors may try to deliver a generic reusable document, with just a change of contract number in the title. It is unlikely that this type of approach will produce a meaningful plan. If this approach is considered appropriate, then the IPTL / QA Focal Point should reconsider whether there was a need for a quality plan in the first place, and take any corrective action that may be necessary.

The Deliverable Quality Plan Review and Evaluation Form [127KB DOC] is available for download and may assist in the review and evaluation of quality plans.

Deliverable Quality Plan Acceptance or Rejection

AQAP 2105 supplemented by DEFCON 602A, require that "once a delivered quality plan has been accepted by the purchaser it shall form part of the contract". Due care must therefore be exercised to ensure that the MOD's interests are protected during discussions on the content and acceptability of quality plans. Following evaluation the IPTL and/or QA Focal Point must advise commercial staff on whether to accept or reject the deliverable quality plan and give reasons for any rejection. Once accepted, deliverable Quality Plans form part of the contract and therefore provide a means of redress should the contractor not implement the agreed provisions.

It should be noted that by not advising contractors of rejection within a reasonable time, quality plans are accepted by default (refer to DEFCON 525). It is therefore good working practice to agree a response time with the contractor.

Change Control

AQAP 2105 require the contractor to detail the arrangements for change control of quality plans in the quality plan itself. Changes to accepted quality plans must be considered in accordance with the agreed change control procedures. The IPTL should advise commercial staff on whether to accept or reject any changes.

Government Quality Assurance Surveillance

Based on the perceived risks, the IPTL and/or QA Focal Point should consider the need for government quality assurance surveillance of the contractor's compliance with the contractual quality plan and their quality management system. The IPTL and/or QA Focal Point should only task Authorized MOD GQAR Organizations [56KB DOC] to carry out this work.

Checklist

The IPTL or their QA Focal Point should:

determine if a deliverable quality plan is required including an outline quality plan at the ITT stage.
advise commercial staff on the applicable quality plan requirements (see paragraphs 4 - 6 above) for inclusion in the ITT and contract.
review and evaluate outline quality plans received with tenders for compliance with the requirements of AQAP 2105. Use the Deliverable Quality Plan Review and Evaluation Form [127KB DOC] available for download .
advise commercial staff whether to accept / reject delivered quality plans.
review and evaluate changes to accepted quality plans.
advise commercial staff to raise a contract amendment where changes to accepted quality plans have been agreed.
monitor contractor's quality plan implementation.
where risks have been identified, request government QA surveillance to verify compliance with quality plan requirements as applicable.

Change History

Any future amendments to this guidance will be recorded here.

There are currently no amendments to report.