AOF
Managing Quality
Policy, information and guidance on the Managing Quality aspects of UK MOD Defence Acquisition
version 8.0.17 - August 2010
Policy, information and guidance on the Managing Quality aspects of UK MOD Defence Acquisition
version 8.0.17 - August 2010
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Standard Quality Assurance Contractual RequirementsWhat does this topic cover ?This topic provides policy, guidance and information to support compliance with the mandate that ‘quality standards and requirements are included in contracts’. This topic applies to all types of MOD contracts regardless of product, contracting strategy and payment method. This topic supports the implementation of the Request for Contract Action (RCA) guidance on the Commercial Toolkit. Correct Standard Quality Assurance (QA) Contractual Requirements are a criterion of RCA technical approval. Who should read this topic ?This topic is aimed at MOD personnel and Suppliers involved in developing, managing and assuring contractual arrangements related to MOD acquisitions. For further details refer to Roles and Responsibilities. What must be done to achieve the mandate ?
For guidance on how to select the appropriate requirements please refer to the Standard QA Contractual Requirements Selection Flowchart [76KB PDF]. The Standard QA Contractual Requirements Selection Flowchart takes the user through questions relating to the type or product or contract being requested. Based on the answers to a series of simple questions the outcome of which standard requirements are appropriate is reached. The Flowchart is designed to be used in conjunction with the Standard QA Contractual Requirements Checklist or the RCA workbench QA section. Exceptions to the requirements detailed on the Checklist are permitted, if deemed appropriate by a Licensed GQA Practitioner. The rationale for any exceptions must be recorded on the Checklist. When is this topic implemented in the Placing a Contract Process ?This topic is implemented during the RCA process within the Placing a Contract process. The RCA process precedes the Invitation to Tender (ITT) stage when preparing to place a contract. The Standard QA Contractual Requirements topic is primarily conducted during the 4th stage of the RCA process - Establish Contract Requirements and Complete the RCA. The DQA Policy view of where this topic is active within the RCA Process is shown on the diagram Request for Contract Action Process Flowchart [121KB PDF]. Why are QA Standards and Requirements important ?MOD is acquiring evermore complex systems to provide battle winning capability to the front line. With greater complexity often comes greater uncertainty and risk. QA provides confidence that robust plans are developed, implemented, monitored and improved with the goal of achieving fit for purpose outputs, on time and within budget. QA standard requirements are intended as the means by which MOD Acquirers communicate QA requirements to their Suppliers. Standard QA Contractual requirements:
These standard requirements exist to negate the need for bespoke Quality Requirements. The use of bespoke (contract narrative) requirements is contradictory to MOD Standardization Policy, and introduces risks of conflicting and/or incomplete QA requirements. What about Urgent Operational Requirements (UORs) ?Some products and/or services are procured as UORs and the policies and guidance set out in the topic shall still be applied. Suppliers’ responses to QA contractual requirements may be tailored and project teams must base their assessment on the urgency of the requirement and risk to the supply or use of the product. How are QA Standards and Requirements monitored and measured in DE&S ?DQA Policy actively monitors the QA standard requirements used in DE&S draft contracts, to a value of £5M and over, to provide evidence of adherence to DE&S Mandated Quality Performance Indicators and the effectiveness of the AOF, Managing Quality Standard QA Contractual Requirements topic. What are the Standard QA Requirements ?Standard QA Requirements are categorised as either Primary, the main requirements for QMS systems, or Supplementary, those that supplement the QMS for a specific purpose. What are the Primary Standard QA Contractual Requirements ?Primary Standard QA Contractual Requirements are expressed in the Allied Quality Assurance Publications (AQAP). AQAPs contractually invoke compliance with ISO 9001:2008 and MOD (NATO) specific requirements. The Primary Standard QA Contractual Requirements are:
These AQAPs contain generic requirements which are complementary to other contractual requirements and are applicable to all Suppliers to the MOD regardless of type, size and product. AQAPs 2110, 2120, and 2130 differ only within section 7 (product realisation). AQAP 2120 excludes requirements relating to design and AQAP 2130 excludes requirements for design and manufacture. AQAP 2131 is intended for final inspection and/or release of products only. For more information on the content and application refer to the Quality Assurance Related Standards [44KB PDF]. How many Primary AQAPs can be used in a contract ?Where the need for a primary AQAP has been identified, one and only one, of the primary AQAPs shall be included in the RCA. For guidance on how to select the appropriate AQAP please refer to the Standard QA Contractual Requirements selection Flowchart [76KB PDF]. The selection shall be recorded on the Standard QA Contractual Requirements Checklist [94KB DOC]. What else is useful to know about Primary AQAPs ?Primary AQAPs are requirements to be applied to the provision of products; not certification standards and they do not mandate that a Supplier must have a certificated QMS. For more details refer to Appropriate Certification. Primary AQAPs require a Certificate of Conformity to be provided with products. For additional guidance refer to Certificate of Conformity including Traceability. For subcontracting, only the applicable Standard QA Contractual Requirements, not necessarily the full AQAP, need to be flowed down. The Quality Plan should provide details of how this will be accomplished, refer to Deliverable Quality Plans. What are the Supplementary QA Requirements ?Supplementary QA requirements are provided to communicate MOD requirements related to the following specific activities:
For more information on the content and application refer to the Quality Assurance Related Standards [44KB PDF]. What are the Requirements for Developmental Software ?For MOD contracts that include development or maintenance of either deliverable or non deliverable software; AQAP 2210 - NATO Supplementary Software Quality Assurance Requirements to AQAP 2110 shall be included. AQAP 2210 must be invoked in addition to AQAP 2110. AQAP 2210 requires the supplier to apply additional controls to assure software quality; refer to the Standard QA Contractual Requirements Selection Flowchart [76KB PDF]. For more information please refer to the Software Quality Management topic. Note: For Commercial off The Shelf (COTS) software, ISO 25001 Software Engineering - Software Product Quality Requirements and Evaluation (SQuaRE) - Requirements for quality of COTS software product and instructions for testing is recommended as an informative standard. What are the Requirements for Quality Plans ?AQAPs 2110, 2120 and 2130 require the Supplier to submit a quality plan. 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. Where risks warrant a quality plan the contract should include DEFCON 602A which requires a deliverable quality plan. DEFCON 602A shall be accompanied by AQAP 2105. Recognising that the contractual risks may not warrant the submission of a quality plan, the team leader may override the AQAP requirement with DEFCON 602B that requires the Supplier to plan for quality but not submit a quality plan. For more information refer to Deliverable Quality Plans. What are the Requirements for Managing Concessions ?If a Supplier proposes to deliver or embody non-conforming product, prior approval of the Authority must be sought (Concession). The process for a Supplier to request and the Authority (MOD) to approve concessions is set out in Defence Standard (Def Stan) 05-61 Part 1 - Quality Assurance Procedural Requirements. Whenever there is a likelihood that the Supplier may need to request a concession Def Stan 05-61 Part 1 shall be called up in the contract. For more information refer to Managing Concessions. What are the Requirements for Contractor Working Parties ?A Contractor Working Party (CWP) is comprised of one or more contractor’s representatives contracted to undertake specific tasks outside of their own facility. CWP activities are typically concerned with installation, repairs, modifications, and the provision of services. Where there is likelihood that CWPs will be required to operate under a contract it shall include Def Stan 05-61 - Part 4 - Quality Assurance Procedural Requirements - Contractor Working Parties. What are the Requirements for Independent Inspection ?For critical items, duplicate inspection may be considered as appropriate risk mitigation. In such cases Def Stan 05-61 Part 9 - Independent Inspection Requirements for Safety Critical Items; shall be invoked. What are the Requirements for Flight Indemnity ?When the contractor is required to undertake flight and engine ground running of military registered aircraft the team leader shall ensure that the contractor accepts liability for the aircraft. Alternatively the team leader may, on a value for money basis, agree to the provision of MOD indemnity in accordance with DEFCON 638 – Flights Liability and Indemnity, and Def Stan 05-100 - Ministry of Defence Requirements for Aircraft Flight and Ground Running; in the contract. For more information refer to Flight Indemnity. What are the Requirements for Configuration Management ?For information on contracting for Configuration Management refer to Configuration Management. Where are standards accessed ?Current editions of AQAPs can be found on the NATO Standardization Agreement e-Library For further information on defence standards please contact UK Defence Standardization What Informative Standards and Publications are recommended ?Informative standards and publications provide information and guidance to further the understanding of normative standards:
Which quality documents are not suitable for use as contractual QA Requirements ?Routinely documents are published by UK MOD, NATO or Governments to promulgate quality policy or record inter-governmental quality processes or agreements. These types of documents are not suitable for contracting purposes with suppliers. The following examples must not be included as requirements in contracts:
The Quality Management Standard ISO 9001 is not suitable as a contractual standard and is not to be used on its own. The appropriate requirements of ISO 9001 are included in the Primary AQAPs. Narrative quality clauses to reinforce or explain the requirements are not permitted unless to nominate points of contact or specify timescales. Does this Topic meet your needs ?If you need any further assistance please contact us, see Getting Help.
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