View
233
Download
0
Category
Preview:
Citation preview
8/4/2019 Gpq Man 07 Issue1
1/28
GPQ-MAN-0
7
MSM-GP/27APR2001
Pro
ductA
ssura
nce
A
uditC
hecklist
GPQ-MAN-07
8/4/2019 Gpq Man 07 Issue1
2/28
C=Complia
nt
NC=NotCompliant
Page2of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
I.
G
eneralProductAssuran
ce
1.
O
rganisationandStaff
1.1
D
oesthecontractorhaveaformallyestablishedPA
o
rganisationwiththeelem
entsofSafety,
Reliability
,
M
aintainability,
S/W
PA,QualityParts,
Materialsand
P
rocesses,
ConfigurationM
anagement?
1.2
A
retheProductAssurancefunctionsindependento
f
M
anufacturing,
Engineeringandotherorganisation
?
1.3
A
rethereformulatedobjectivesoftheorganisation?
1.4
I
smanagementemphasis
onpreventionratherthan
d
etectionofqualityproble
ms?
1.5
A
retheresponsibilitiesof
supervisorsandmanager
s,
e
tc.
formallydefined?
1.6
D
oesthepersonresponsib
leforProductAssurance
on
a
projecthaveaccesstohighermanagementforthe
f
ocussingonandresolutio
nofproblems?
1.7
A
rethePAfunctionsstaffedtothepropercomplement?
1.8
D
oestheProductAssuran
ceorganisationhave
s
ufficientfacilities,equipm
entandtoolsforappropriate
e
valuationofmaterialsan
dhardwarequality?
2.
P
rocedures
2.1
D
oesthecontractorhaveaProductAssuranceMan
ual
o
rasetofprocedurescoveringProductAssurance?
2.2
D
oproceduresidentifywhodoeswhat,
when,
howandwhere?
2.3
A
rePAfunctionsandresp
onsibilitiesperformedby
o
thergroupsidentified?
2.4
D
oproceduresidentifyinformationflow,
formsand
instructionsforcompletingtheforms?
2.5
D
oprocedurescontainma
nagementapproval
s
ignatures,
datesofissue
andrevisionsandchange
8/4/2019 Gpq Man 07 Issue1
3/28
C=Complia
nt
NC=NotCompliant
Page3of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
d
esignators?
2.6
I
sthedistributioncontrolledandobsoleteprocedur
es
r
emovedfromu
se?
2.7
A
reproceduresavailablea
ttheappropriate
w
orkstations?
2.8
A
reprocedureskeptupdated?
2.9
D
odetailedproceduresexistfortheperformanceof
inspectionsandtests?
3.
Q
Aaudits
3.1
A
resystematicinternalan
dexternalauditsperform
ed?
3.2
A
reauditsperformed?
a
)Accordingtoanestabli
shedplan?
b
)Usingchecklists?
3.3
A
reinternalauditsconductedonanimpartialbasis
by
q
ualifiedpersonnel?
4.
R
eceivingInspection
4.1
I
sthecontractor'sreceivin
ginspectionflowand
a
ctivitiesdocumented?
4.2
A
refacilitiesclean,proper
lightingexist,andstorag
e
a
ndhandlingpracticesfol
lowed?
4.3
A
reallincomingsuppliesinspectedandtestedpriorto
u
seagainsttherequireme
ntsofprocurement
d
ocuments?(appropriatedrawings,specificationsa
nd
t
echnicalinstructions)
4.4
A
rereceivinginspectionsperformedinaccordancewith
e
stablishedproceduresan
dinstructions?
4.5
I
sthefollowingverified?
a
)Identification/configu
ration?
b
)Suppliersdocumentation?
4.6
W
hensuppliesareacceptedonthebasisofcertifica
tion
o
rtestreport:
a
)Aretestreportschecke
d100%againstprocurem
ent
8/4/2019 Gpq Man 07 Issue1
4/28
C=Complia
nt
NC=NotCompliant
Page4of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
documentsrequiremen
ts?
b
)Arereportsandcertific
ationretained?
4.7
W
hensuppliesareacceptedonthebasisofcertifica
tion
o
rtestreport,arechecksperformedtoconfirm
c
onformance?
4.8
D
oreceivinginspectionrecordsindicatedateofreceipt,
inspections,
tests,
documentsutilised,number
a
ccepted/rejected?
4.9
I
straceabilitymaintained
betweenmaterialsand
c
ertificates,reportsandre
ceivinginspection
d
ocuments?
4.1
0
A
rethereseparatedstorag
eareasformaterialswaiting
r
eceivinginspectionandm
aterialsalreadyinspected
a
ndaccepted?
5.
P
ackagingandHandling
P
ackaging
5.1
A
reparts,assembliesand
materialsverifiedfor
c
leanlinessbeforepackagingandproperlypackaged?
5.2
A
repartshavingcriticalorhighlyfinishedsurfaces
p
rotectedagainstdamage?
5.3
A
releadsofelectricalpart
sprotectedfrom
c
ontaminationwhichwilleffectsolderability?
5.4
A
repackagingoperations
coveredbywritten
p
rocedures/instructions,whichincludeatleastth
e
f
ollowing:
a
)Selectionofpackaging
materials?
b
)Innerprotection?
c
)Mechanicalprotection?
d
)Cleanlinessandcontam
inationcontrol?
5.5
A
repackagingoperations
inspectedandareitems
c
ontrolledbeforeshipping
forproperpackaging,
m
arkingandaccompanyin
gdocumentation?
8/4/2019 Gpq Man 07 Issue1
5/28
C=Complia
nt
NC=NotCompliant
Page5of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
H
andling
5.6
D
ohandlingproceduresandinstructionsexist?
5.7
A
reitemsleavingacontro
lledareaorbeingtranspo
rted
b
etweenwork/testareasc
arriedinappropriate
c
ontainersorfixturestop
rovideadequateprotection
f
romd
amageorcontamination?
5.8
D
otheoperatorshavethe
propertoolstosupportthe
a
ssemblywhileperformingwork/testonit?
6.
C
leanlinessandContaminationControl
6.1
A
rethereproceduresavailablesystematicallycovering
c
leanlinessandcontaminationcontrolaspects?
6.2
A
retherespecificinstructionsfor:
a
)Enteringandleavingcleanrooms(personneland
equipment)?
b
)Cleaningofcleanroom
s,
including:
1.
Cleaningmaterials?
2.
Cleaningmethods?
c
)Cleaningofequipment
tobeenteredintheclean
rooms?
d
)Cleanroomsmaintena
nce?
e
)Controlofcleanroomp
arameters?
f
)Actionsincaseofalarm
including:
1.
Stopwork?
2.
Shieldcriticalitems?
6.3
A
reitemstestedandinspectedforcleanlinesssuch
as
(visualexaminations,wipe
tests,checkforalkaline
and
a
cids)andaretheappropriatemethodsused?
6.4
A
reaccesscontrolinstruc
tionsposted,visitorssign
in
logproperlydatedandenforcedasappropriate?
6.5
A
resmockretentionareas
provided?
6.6
A
recleansmocksavailable?
6.7
A
refloormatsplacedatallentrances?
8/4/2019 Gpq Man 07 Issue1
6/28
C=Complia
nt
NC=NotCompliant
Page6of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
6.8
A
refloorcoatingspeelingorgeneratingdustparticles
a
voided?
6.9
I
sthesheddingofsponge,mopofclothmaterial
e
vident?
6.1
0
A
resmocksbuttonedand
wornbyallpersonnel
includingvisitors?
6.1
1
I
stherefood,
beveragesor
smoking?
6.1
2
A
repersonalbelongingsoutofsightandstored
p
roperly?
6.1
3
I
stheuseofwoodencontainerswithuntreatedinte
rior
a
ndexteriorsurfacesorcardboardboxesminimised?
6.1
4
A
reperiodicparticlecountsperformedtoverifyif
w
ithinrequiredlimits?
6.1
5
A
regloves,caps,
bootiesa
ndmasksappropriateto
the
a
reaandwornbyallpersonnel?
6.1
6
I
stheintegrityoftheenvironmentandcontamination
c
ontrolmaintainedinrela
tiontothesurroundinga
reas
o
rtomaterialandmobileequipmententeringthearea?
6.1
7
A
reotherrequirementssu
chas:laminarairflow,
v
acuums
hoecleaners,air
bathentrances,special
w
astedisposals,etc.enfor
ced?
6.1
8
A
recleanroome
nvironme
ntconditions,
temperature,
h
umidity,pressurecontro
lledandrecorded?
6.1
9
I
stemperaturemaintainednominallyat20C+/-2Cor
m
eetaspecificproductsp
ecification?
6.2
0
A
repositivepressuredifferentialsmaintainedbetween
c
leanrooma
ndsurroundingareaat6mmH
gand
b
etweencleanrooma
nde
ntrancelockat2mmH
gwith
p
ressuremonitors?
6.2
1
I
shumiditymaintained,p
referablyat30-50%oras
s
pecifiedinaproductspecificationandmonitoredw
ith
a
hygrometerperiodicallycalibrated?
8/4/2019 Gpq Man 07 Issue1
7/28
C=Complia
nt
NC=NotCompliant
Page7of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
7.
M
anufacturingandTesti
ng
M
anufacturingandTesti
ng
7.1
A
remanufacturingoperationsandinspectionsplan
ned
a
nddescribedinmanufac
turingdocuments?(Shop
t
ravellers,workorders)?
7.2
D
oshoptravellersinclude
:
a
)Revisionstatus/date,
releasedate?
b
)Itemi
dentificationand
configuration?
c
)Materials/partstobe
used?
7.3
A
reshoptravellersidentified/traceabletothecontract
n
o.
/purchaseorder?
7.4
A
resupportdocumentsto
beusedreferenced?(e.g.
d
rawings,workinstructions)?
7.5
A
rerework/repairplans
usedtodocumentrework
/
r
epairmanufacturing/in
spectionsoperations?Are
t
heyadequate?Aretheyarchived?
M
anufacturingControl
7.6
I
sshoptravellerkeptwith
productduring
m
anufacturing/inspectio
noperations?
7.7
A
reinspection,
fabrication
andassemblyoperations
t
raceabletotheindividualperformingtheoperation
?
7.8
A
reallarticlesinspectedt
oapplicable/controlled
d
ocumentsandarethedo
cumentsavailableatthe
inspectorsworkstation?
7.9
A
reunauthorised,marked
-up,
illegibleordefaced
d
rawingsorworkinstructionsbeingused?
7.1
0
I
sthesequenceofoperationsbeingfollowedasdefined
intheplanning?
7.1
1
A
reacceptedandrejected
itemsproperlyidentified
and
t
agged?
7.1
2
A
repartlistscompletefor
assemblywork?
7.1
3
A
readequateinspectionrecordsgeneratedand
8/4/2019 Gpq Man 07 Issue1
8/28
C=Complia
nt
NC=NotCompliant
Page8of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
m
aintainedanddotheyin
dicatethestatusofarticles
a
ndinspectionsperformed
?
7.1
4
A
reassemblyoperationsp
erformedinsequencewit
h
inspectionoperations?
7.1
5
A
retorquingoperationssa
tisfactory?Calibratedtools?
T
estDocuments
7.1
6
D
oesthecontractorhavestandardisedproceduresand
m
ethodsforthepreparation,
format,content,review
a
ndcontroloftestprocedures?
7.1
7
A
retextproceduresforma
llyreleasedandcontrolled
w
ithchangeandrevisionpages?
7.1
8
D
oproceduresincludeas
applicablethefollowing:
a
)Nomenclatureandiden
tificationofthetestarticle?
b
)Characteristicsanddesigncriteriatobeinspected
ortested,
includingvaluesandtolerancesfor
acceptanceandrejection?
c
)Detailedstepsandoperationstobetakenin
sequenceincludingver
ificationstobemadebefo
re
proceeding?
d
)Cross-referenceofchar
acteristicswithmeasurin
g
and/orNDTequipmenttobeused,specifyingra
nge
andtype?
e
)Detailsorinstructions
foroperationofspecialdata
recordingequipmentofotherautomatedtest
equipment?
f
)Layoutandinterconnectionoftestequipmentan
d
articles?
g
)Identificationofhazard
oussituationsoroperations?
h
)Precautiontocomplyw
ithestablishedsafety
requirements,
toensur
esafetyofpersonneland
to
preventdamageordegradationofarticlesand
measuringequipment?
8/4/2019 Gpq Man 07 Issue1
9/28
C=Complia
nt
NC=NotCompliant
Page9of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
i)Environmentsandotherconditionstobe
maintained?
j)Constraints?
k
)Instructionsforreportingnon-conformance,
anomalousoccurrencesorresults?
7.1
9
A
retestproceduresformallyapprovedbyPA?
T
estControl
7.2
0
A
reprovisionsmadetoprotectpersonnelanditems
f
romp
hysicaldamageand
environmentalhazards?
7.2
1
I
sthetestitemi
nspectedtodetermineevidenceof
d
amageorlooseparts?
7.2
2
A
rediscrepanciesoranom
aliesresolvedpriorto
t
esting?
7.2
3
A
rethefollowingactivities
performedbyPAas
a
pplicable:
a
)Witnesseachtestand
verifytestperformances?
b
)Observation?Perform
surveillanceormonitor
periodicallythetestbe
ingperformedasdirected
by
explicitinstructions?
c
)
Datareview?Reviewt
heprocedureandrecorde
d
dataattheconclusion
ofthetestcycleverifying
requirementsanddata
entriesarecompatible?
7.2
4
D
oalldocumentsbearnecessaryapprovalsignatur
es
inspectionstamps?
7.2
5
I
srework,repairormodificationoccurringtothe
t
estingproperlydocumented?
7.2
6
A
retestdiscrepancies,
failuresandnon-conformances
r
eported,analysedandcorrectiveactionimplement
ed?
8.
M
easurementsandTest
Equipment
8.1
D
oesthecontractorhaveup-to-datewrittenproced
ures
d
efininghiscalibrationsysteme
ncompassing
m
easuringandtestequipment,standards,calibration
8/4/2019 Gpq Man 07 Issue1
10/28
C=Complia
nt
NC=NotCompliant
Page10of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
a
ndmaintenanceprescrib
edintervalsandmetrolog
y
laboratoryenvironmentalcontrols
8.2
D
oesthecalibrationsystemi
ncludeallequipmentused
t
overifythequalityofthe
processesandproducts
b
eingmanufactured?
8.3
D
ocalibrationprocedures
existforeachequipment
t
ypeandinclude:
a
)Equipmentcharacteristicsandidentification?
b
)Location?
c
)
Frequencyofperiodicchecks?
d
)Acceptancecriteria?
8.4
I
sallmeasurementandte
stequipmentsubjectedtoa
v
isual,dimensionalandoperationalinspectionupon
r
eceiptandatperiodicintervalsthereafter?
8.5
A
recalibrationlabelsused
anddotheyincludeatleast
t
hefollowing:
a
)Identifier?
b
)Duedateforre-calibra
tion?
c
)
Controlstamp?
8.6
I
sthenecessityforand/orfrequencyofperiodic
inspectionsbasedonobjectiveevidenceofthestability
a
ndcontinuedaccuracyoftheequipment?Isthere
a
nyintervalexceeding1yearofvalidity?
8.7
I
sallmeasurementandte
stequipmentchecked
a
gainstastandardofgrea
teraccuracy?
8.8
A
retemperature,
humidity,vibrationandcleanliness
c
ontrolledtotheextentne
cessarytoassurecalibration
a
ndcontinuedproductmeasurementsoftherequir
ed
a
ccuracy?
8.9
I
sitensuredthaterrorsofmeasuringandtest
e
quipmentdonotexceed10%ofthehighesttoleran
ce
o
fanyitemstobechecked
withthatequipment?
8/4/2019 Gpq Man 07 Issue1
11/28
C=Complia
nt
NC=NotCompliant
Page11of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
8.1
0
A
restandardsagainstwhichtestandmeasurement
e
quipmentareperiodicallycheckedtraceableto
N
ationalorInternationalS
tandards?
8.1
1
A
restandardssupportedbycertificates,report,
v
ariablesdatasheetsattestingtothedate,accuracy
a
ndconditionsunderwhichtheresultswereobtain
ed?
8.1
2
I
sthecalibrationorganisa
tionstaffedwithsufficien
t
q
ualifiedtechnicalpersonnel?
8.1
3
A
retri-dimensionalmeasu
ringmachinesand
laboratorytestingmachinesperiodicallycalibratedbya
q
ualifiedorganisation?
9.
N
on-ConformanceControl
9.1
I
saprocedureavailablew
hichdescribesthenon-
c
onformancesystem?
9.2
A
renon-conformancesinitiallyreportedonlocal
r
ecords(discrepancynotes)?Whotakesdecisionfo
r
f
urtherprocessing?IsPA
involved?
9.3
D
oNCRrecordsreflectcausesandresponsibilitiesfor
t
hediscrepanciesandsho
wcorrectiveandpreventive
a
ctionstaken?
9.4
I
stheinternalorganisationresponsibleforcausing
the
d
iscrepancyinformed?An
ddoesitconcurtoidentify
p
reventiveactions?
9.5
A
relogsandrecordsmain
tainedofallNCRissuedand
M
RBmeetings?
9.6
A
rethereadequateprovisionsforsegregation,remo
val
a
ndidentificationofnon-c
onformingmaterials?Is
the
a
ccesstoholdingareasco
ntrolled?
9.7
A
reNCRsidentifiedonrelevantshoptravellersand
q
ualityrecords?
9.8
A
reNCRsproperlyfilledoutandcomplete?
9.9
A
reNCRsclosedbyPAaft
erverificationofsuccessful
8/4/2019 Gpq Man 07 Issue1
12/28
C=Complia
nt
NC=NotCompliant
Page12of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
r
emedialactionsimplementation?
9.1
0
A
repreventiveactionsimp
lementationtracked?
(Correctionoftechnicaldo
cuments,modificationof
t
oolsandworkinstruction
?)
9.1
1
A
renon-conformancescla
ssifiedaccordingto
a
pplicableprojectrules?
9.1
2
A
rethefollowingdispositionsapplied?
a
)Use-as-is?
b
)Rework?
c
)
Repair?
d
)Scrap?
e
)
Returntosupplier?
9.1
3
A
remajornon-conformancesnotifiedtoESAwithin
1
w
orkingdayafterthereviewbythelocalMRB?
9.1
4
I
saRFW
issuedifthenon
-conformancedisposition
a
ffectstheproductconfigu
ration?
10
P
rocessControl
10.1
A
restandard/establishedprocessesclassifiedin
a
ccordancetoProjectrule
s?
10.2
I
seachprocesscoveredbyaspecification?
10.3
D
oprocessspecificationsincludeQAprovisions,
m
ethodsforinspectionan
dtest,numberofsamples,
a
ccept/rejectcriteria?
10.4
D
oesthecompanymainta
indocumentedevidenceof
p
rocessesvalidationstatu
s?
10.5
A
rechangestoprocessim
plementedthrough
e
stablishedConfiguration
Controlprocedures?
10.6
A
rethepersonnelwhoper
formc
riticalprocessesor
e
valuateprocessperforma
ncenumericallyadequate,
t
rainedandcertified?
10.7
A
rematerials,equipment,
computersystemsand
s
oftwareandproceduresinvolvedintheperformanceof
8/4/2019 Gpq Man 07 Issue1
13/28
C=Complia
nt
NC=NotCompliant
Page13of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
c
riticalprocessesvalidated?
10.8
A
renon-destructive-inspections(NDI)treatedinthe
s
amewayofcriticalprocesses?
10.9
A
rerepresentativeNDIsta
ndardsavailablefor
e
quipmentcalibrationand
tomonitorequipment
p
erformance?
10.1
0
A
reNDIinspectionrecordsmaintained?
10.1
1
A
reprocessequipmentperiodicallychecked(as
a
pplicable)for:
a
)Temperatureuniformity?
b
)Integrity/precisionofthermo-couplelines?
c
)
Integrityofvacuumre
latedfeatures(lines,etc.)?
d
)End-to-endinstrumen
tscalibration?
e
)
Effectivenessofcontam
inationcontrolmeans?
10.1
2
F
oreachprocessperforme
darerecordsmaintained
of
m
ainprocessparametersandofrelatedlaboratory
s
amplestestsresults?
10.1
3
A
rethereprovisionsincaseofinterruptionofmain
p
owersupplyduringoperation?
11
P
rocurementControl
11.1
D
oesthecontractormaintainalistofapproved
s
ubcontractorsandsupplierssupportedwith
q
ualitativeandquantitativedata?
11.2
H
asformalassessmentincludingperiodicfollow-up
b
eenaccomplishedonsub
contractorsandsuppliers?
11.3
D
oesthecontractorcontin
uallyevaluatesubcontra
ctor
/
suppliershistory/resu
ltsandimplementcorrective
a
ctionswhenappropriate?
11.4
A
reprojectpeculiarrequir
ementsidentifiedinorder
t
hatqualitypersonnelreviewingpurchasedocumen
ts
h
aveadequateprojectand
technicaldatatoperform
t
hereview?
8/4/2019 Gpq Man 07 Issue1
14/28
C=Complia
nt
NC=NotCompliant
Page14of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
11.5
D
oesthecontractormaintainandimplementasystem
o
feffectivelypassingonco
ntract/projectquality
r
equirementstothesubco
ntractorsandsuppliers?
11.6
D
oprocurementdocumen
tscontainProductAssurance
p
rovisionsforthefollowingasappropriate:
a
)ApplicableESAcontractorPAspecifications?
b
)Chemicaland/orphys
icaltestresults(rawmat.)
?
c
)
Accompanyingspecimenforincomingtests?
d
)Agecontroloflimitedlifeproducts?
e
)
Characteristicstobeinspectedortested?
f
)
Requirementsforinspectionandtestrecords?
g
)Processingofnon-conformingmaterials?
h
)Requirementsforsour
ceinspectionandMIPs?
i)
Rightofaccessandplannedsurveillanceactivities?
j)
Cleanlinessandcontaminationcontrol?
k
)Acceptancedatapackageanddelivery?
l)
Preservation,packagin
gandshipping?
m
)Criticalprocessrequirements?
11.7
A
repurchasedocumentsreviewedandapprovedby
P
A?
11.8
D
oesthecontractorhaveapolicyorrulesforsourc
e
inspection?
11.9
A
readequatelytrainedpersonnelavailableforsource
inspection?
11.1
0
D
oesthecontractormaintainrecordsofsource
a
ctivities,statusdeficienciesandactionitems?
12
T
rainingandCertificatio
n
12.1
A
repersonnelperforming
criticalprocessesandnon-
d
estructivetestingtrained
andcertifiedaccordingtoa
d
ocumentedtrainingprogramme?
12.2
A
renationalorinternation
altrainingprogrammesand
s
tandardsapplied?
8/4/2019 Gpq Man 07 Issue1
15/28
C=Complia
nt
NC=NotCompliant
Page15of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
12.3
A
reNDTpersonneltrained
andcertifiedaccordingto
M
IL-STD-410orequivalen
t?
12.4
I
sre-certificationperformedperiodicallyaccordingto
a
nestablishedprogrammeorfollowingextensive
interruptionofworkorun
satisfactoryperformance?
12.5
A
requantitativetestsusedtoverifytheproficiency
of
t
hetrainedpersonnel?
12.6
A
rerecordsdocumentingpersonneltraining
m
aintained?
13
S
tampControl
13.1
D
oesadocumentedsysteme
xistfortheusageof
s
tamps?(inspection,
fabrication,
test,etc.)
13.2
D
orecordsexistallowingtraceabilitytotherespons
ible
individualsanddefiningtheauthority/limitations
in
u
se?
14
D
esignControl
14.1
A
retherestandardsandp
roceduresavailablefor
p
reparationandmaintena
nceofengineeringdrawin
gs
a
ndspecifications?
14.2
A
rethereproceduresfortrackinganddocumentationof
r
equirementsverification?
14.3
D
oQApersonnelparticipa
teininternaldesignreviews
t
oensurethat:
a
)Technicaldocumentscomplywithproceduresa
nd
standards?
b
)Requiredinspectionsa
ndtestsareappropriateand
feasible?
14.4
I
sQAparticipationtointernaldesignreviews
d
ocumented?
14.5
I
nsupportofformaldesignreviewswiththecustom
er
d
oesthePAfunctionensu
rethat:
a
)Documentsarecompleteandconsistent?
8/4/2019 Gpq Man 07 Issue1
16/28
C=Complia
nt
NC=NotCompliant
Page16of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
b
)Analysesclearlyidenti
fytherelatedbaseline?
c
)
Safety,reliabilityandmaintainabilityarefactored
intothedesign?
d
)Thedesignisproducib
le,
inspectable,
testable?
II.
R
eliability
1.
R
eliability
1.1
D
oesasysteme
xistforen
suringthatdesignersare
a
wareofpartderatingcrit
eriawithwhichtheyare
e
xpectedtocomply?
1.2
D
oesaprocedureexistdescribingtheFMECAapproach
o
fthecontractor?
1.3
D
oestheFMECAapproachfocuson:
a
.Identificationandcontrolofsinglepointfailure?
b
.Criticalinterfaces?
c
.Methodsbywhichredu
ndancyisimplemented?
d
.Productdesign(e.g.
lay
outofPCBs,
tracewidth,
pad
sizesandotherfailurecausesrelatedtomechan
ical
configuration?)
1.4
I
safunctionalFMECAperformedatsystem(
payloa
d)
level?
1.5
D
oestheFMECAincludetheidentificationofmethods
b
ywhichtheexistenceoffailuremodescanbe
d
eterminedduringoperations?
1.6
D
oestheFMECAadequatelyreferencebasicdesign
d
ocumentationsuchassp
ecifications,
designrepor
ts,
d
rawings,circuitdiagrams,partlistsandoperating
p
rocedures?
III.
M
aintainability
1.
M
aintainability
1.1
I
sthecontractorawareof
basicmaintainability
8/4/2019 Gpq Man 07 Issue1
17/28
C=Complia
nt
NC=NotCompliant
Page17of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
p
rinciplesandtechniques?
1.2
I
sthecontractorfamiliarwithmaintenanceconcepts,
p
lanningandsupportingelements?
1.3
D
oproceduresexisttoperformm
aintainabilitystud
ies
a
ndmaintainabilitypredic
tions?
1.4
I
smaintainabilityadesign
parametermonitoredfor
c
ompliancethroughoutth
edesignprocess?
IV.
S
afety
1.
S
afety
1.1
A
reNASAandESAsafety
relateddocuments
(specifications,standards,
handbooks)available?
1.2
H
asanadequateprogramo
ftraining,safetymotiva
tion
a
ndawarenessbeeninstit
uted?
1.3
I
sthecontractorabletosupporthissubcontractorsfor
s
afetyrelatedissues?
1.4
A
rethereadequatesafety
plansproducedcovering:
a
.Scopeofsafetyeffort?
b
.Emphasisonsafetyanalysesandreviews?
c
.Hazardcontrolprocedu
res?
d
.InvolvementofPAand
safetypersonnelthroughout
designanddevelopmen
t?
e
.Safetydesigncriteria?
f
.Safetyverificationprog
ram?
1.5
D
oesadetailedprocedure
existtoestablishand
m
aintainasafetyverificationprogram?Anddoesit
a
llowforcoordinationofa
llinterestedcontractor's
f
unctionssotoprovidepromptfeedbacktoESA?
1.6
A
resafetyrelatedinspectionsandtestsperformedbyor
u
nderdirectsurveillanceofthePAandSafety
f
unction?
1.7
D
oesthePAandSafetyfu
nctionhavereviewauthority
8/4/2019 Gpq Man 07 Issue1
18/28
C=Complia
nt
NC=NotCompliant
Page18of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
o
veralltestplanswithadequateleadtimetoidentify
a
ndcontrolassociatedhazards?
1.8
I
sthegenerationofsafety
documentsforaprojectwell
d
efinedandscheduled?
1.9
D
othesafetyanalysesma
kemaximumu
seofFMECA
r
esults?
V.
S
oftwarePA
1.
O
rganisationalStructure
1.1
F
oreachprojectinvolving
softwaredevelopment,is
t
hereadesignatedsoftwaremanager?
1.2
D
oestheprojectsoftwaremanagerreportdirectlytothe
p
rojectmanager?
1.3
I
sthereasoftwarePAfunctionforeachprojectthat
involvessoftwaredevelopm
ent?
1.4
I
sthereasoftwareconfigu
rationcontrolfunctionfo
r
p
rojectsthatinvolvesoftw
aredevelopment?
1.5
W
hichresponsibilitiesare
assignedtothesoftware
PA
f
unctioninthevariousph
asesofthesoftwarelife
c
ycle?
1.6
H
owistheindependenceofthesoftwarePAfunctio
n
a
ssured?
1.7
I
sthetestorganisationindependentfromt
he
d
evelopment?(unit,
integr
ation,system)
1.8
W
hodecidesincaseofconflictbetweendifferent
o
rganisationalunits?
1.9
I
sProductAssuranceapprovalmandatorypriorto
s
oftwarerelease?
2.
R
esources,personnelandtraining
2.1
D
oeseachsoftwaredevelo
perhaveprivatecompute
r-
s
upportedworkstation/terminal?
2.2
A
reprojectmanagersfamiliarwithsoftwareproject
8/4/2019 Gpq Man 07 Issue1
19/28
C=Complia
nt
NC=NotCompliant
Page19of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
m
anagementdisciplines?
2.3
I
stherearequiredsoftwareengineeringtraining
p
rogramf
orsoftwaredevelopers?
3.
S
oftwareengineeringexperience
3.1
W
hatisthemediannumb
erofyearsofapplicable
e
xperienceofsoftwarepro
jectmanagers?
3.2
W
hatisthemediannumb
erofyearsofapplicable
e
xperienceofsoftwareintegrationandtestmanagers?
3.3
W
hatisthemediannumb
erofyearsofsoftware
d
evelopmentexperienceofthesoftwarestaff?
3.4
W
hatpercentageofthesoftwarestaffhasatleastone
y
earofdevelopmentexper
iencewiththedesignand
implementationlanguages
tobeused?
3.5
O
fthosewithexperience,whatisthemediannumb
er
o
fyearsofexperiencewith
thoselanguages?
3.6
W
hatisthemediansize,insourcelinesofcode,of
s
oftwaredevelopmentprojectscompletedinthelastfive
y
ears?
3.7
W
hatisthesizeofthesmallestproject?
3.8
W
hatisthesizeofthelargestproject?
4.
D
ocumentedstandardsa
ndprocedures
4.1
D
oesthesoftwareorganisationuseastandardisedand
d
ocumentedsoftwaredeve
lopmentprocessoneach
p
roject?
4.2
D
oesthestandardsoftwaredevelopmentprocess
d
ocumentationdescribetheuseoftoolsand
t
echniques?
4.3
I
saformalprocedureusedtoassureperiodic
m
anagementreviewofthe
statusofeachsoftware
d
evelopmentproject?
4.4
I
sthereamechanismf
orassuringthatsoftware
s
ubcontractors,
ifany,
followadisciplinedsoftware
8/4/2019 Gpq Man 07 Issue1
20/28
C=Complia
nt
NC=NotCompliant
Page20of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
d
evelopmentprocess?
4.5
A
restandardsusedtospe
cifythecontentofsoftware
d
ocuments(files/folders)?
4.6
A
reinspectionsconducted
duringthesoftware
d
evelopmentprocess?
4.7
A
recodingstandardsappliedtothesoftware
d
evelopmentprocess?
4.8
A
restandardsappliedtot
hepreparationof
u
nit/integration/systemtestcases?
4.9
A
recodemaintainabilitys
tandardsapplied?
4.1
0
A
reinternaldesignreview
standardsapplied?
4.1
1
A
recodeinspectionstandardsapplied?
4.1
2
A
resoftwareclassification
rulesapplied?
4.1
3
I
saformalprocedureappliedtoestimatesoftwares
ize?
4.1
4
I
saformalprocedureappliedtoproducesoftware
d
evelopmentschedules?
4.1
5
A
reformalproceduresapp
liedtoestimatingsoftware
d
evelopmentcost?
4.1
6
I
samechanismu
sedfore
nsuringthatthesoftware
d
esignteamsarefamiliarwiththesoftware
r
equirements?
4.1
7
A
reman-machineinterfac
estandardsappliedtoea
ch
a
ppropriatesoftwaredevelopmentproject?
5.
P
rocessmetrics
5.1
A
resoftwarestaffingprofilesmaintained(actual
s
taffingversusplannedstaffing)?
5.2
A
reprofilesofsoftwaresiz
emaintainedforeach
s
oftwareconfigurationitem,overtime?
5.3
A
restatisticsonsoftwarecodeandtesterrors
g
athered?
5.4
A
redesign/codingerrorsprojectedandcomparedto
a
ctual?
8/4/2019 Gpq Man 07 Issue1
21/28
C=Complia
nt
NC=NotCompliant
Page21of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
5.5
A
reprofilesmaintainedof
actualversusplanned
d
esignedsoftwareunits,o
vertime?
5.6
A
reprofilesmaintainedof
actualversusplannedtested
s
oftwareunits,overtime?
5.7
A
reprofilesmaintainedof
actualversusplanned
integratedsoftwareunits,
overtime?
5.8
A
reprocessormemoryutilisationestimatesversus
a
ctualsizetracked?(sizingfigures)
5.9
A
retargetprocessorthrou
ghpututilisationestimates
v
ersusactualused,
tracke
d?(timingfigures)
5.1
0
A
redesignandcodereviewcoveragemeasuredand
r
ecorded?
5.1
1
I
stestcoveragemeasured
andrecordedforeachph
ase
o
ffunctionaltesting?
5.1
2
A
retheactionitemsresultingfroms
oftwarereviews
t
rackedtoclosure?
5.1
3
A
resoftwareproblemr
epo
rtsresultingfromt
esting
t
rackedtoclosure?
5.1
4
A
retheactionitemsresultingfromd
esign/code
inspectionstrackedtoclosure?
5.1
5
I
stestprogresstrackedforeachdeliverablesoftwar
e
u
nit/component?
6.
D
atamanagementandanalysis
6.1
H
asamanagedandcontrolledprocessdatabasebe
en
e
stablishedtoprocessmetricsdataacrossallprojects?
6.2
A
rethereviewdatagather
edduringsoftwarereview
s
a
nalysed?
6.3
I
stheerrordatafromc
odeinspectionsandtests
a
nalysedtodeterminethe
likelydistributionand
c
haracteristicsoftheremainingerrorsintheprodu
ct?
6.4
A
reanalysesoferrorsconductedtodeterminetheir
p
rocessrelatedcauses?
8/4/2019 Gpq Man 07 Issue1
22/28
C=Complia
nt
NC=NotCompliant
Page22of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
6.5
I
samechanismu
sedfore
rrorcauseanalysis?
6.6
A
retheerrorcausesreviewedtodeterminetheproc
ess
c
hangesrequiredtopreventthem?
6.7
I
samechanismu
sedforinitiatingerrorprevention
a
ction?
7.
P
rocesscontrol
7.1
D
oesmanagementhavea
mechanismf
ortheregular
r
eviewofthestatusofsoftwaredevelopmentprojects?
7.2
I
samechanismu
sedforp
eriodicallyassessingthe
s
oftwareengineeringprocessandimplementing
improvements?
7.3
I
samechanismu
sedforidentifyingandresolving
s
ysteme
ngineeringissues
thatcouldaffectsoftware?
7.4
I
samechanismu
sedforr
egulartechnicalinterchanges
w
iththecustomer?
7.5
I
samechanismu
sedfore
nsuringcompliancewith
the
s
oftwareengineeringstandards?
7.6
I
samechanismu
sedfore
nsuringtraceabilitybetw
een
t
hesoftwarerequirements
andtop-leveldesign?
7.7
I
samechanismu
sedforc
ontrollingchangestothe
s
oftwarerequirements?
7.8
I
sconfigurationmanagem
entimplemented?(Baseli
nes,
I
dentification,
Libraries,R
eleaseandversioncontro
l)
7.9
I
samechanismu
sedfore
nsuringtraceabilitybetw
een
t
hesoftwaretop-leveland
detaileddesigns?
7.1
0
A
reinternalsoftwaredesignreviewsconducted?
7.1
1
I
samechanismu
sedforc
ontrollingchangestothe
s
oftwaredesign?
7.1
2
I
samechanismu
sedfore
nsuringtraceabilitybetw
een
t
hesoftwaredetaileddesig
nandcodeunits/
c
omponents?
7.1
3
I
samechanismu
sedfore
nsuringtraceabilitybetw
een
8/4/2019 Gpq Man 07 Issue1
23/28
C=Complia
nt
NC=NotCompliant
Page23of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
t
hesoftwaredetaileddesig
nandcode
u
nits/components?
7.1
4
A
resoftwarecodereviews
conducted?
7.1
5
I
samechanismu
sedforc
ontrollingchangestothe
c
ode?(Whocanmakecha
ngesandunderwhich
c
ircumstances?)
7.1
6
I
samechanismu
sedforc
onfigurationmanagemen
tof
t
hesoftwaretoolsusedin
thedevelopmentprocess?
7.1
7
I
samechanismu
sedforv
erifyingthatthesamples
e
xaminedbySoftwareProductAssurancearetruly
r
epresentativeofthework
performed?
7.1
8
I
sthereamechanismf
orassuringthatregression
t
estingisroutinelyperform
ed?
7.1
9
I
sthereamechanismf
orassuringtheadequacyof
r
egressiontesting?
7.2
0
A
reformaltestcasereview
sconducted?
7.2
1
D
othecompany'sprocedu
resdescribetasksand
r
esponsibilitiesfordifferen
ttesttypes?
7.2
2
I
smodule(integration,system)leveltestingcovered
by
t
heseprocedures?
7.2
3
A
retestcoveragemeasure
mentsdefined?
7.2
4
I
sthereanapproachforformalqualificationtesting
?
7.2
5
A
renonconformancesproperlydocumented,
including
d
ispositionsandretesting?
8.
T
oolsandTechnology
8.1
I
sautomatedconfigurationcontrolandtrackchang
e
a
ctivitythroughoutthesoftwaredevelopmentproce
ss?
8.2
A
recomputertoolsusedtoassistintracingsoftwar
e
r
equirementstosoftwaredesign?
8.3
A
redesignmethodologies
usedinprogramd
esign?
8.4
A
recomputertoolsusedtoassistintracingthe
s
oftwaredesigntothecod
e?
8/4/2019 Gpq Man 07 Issue1
24/28
C=Complia
nt
NC=NotCompliant
Page24of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
8.5
W
hichlanguagesareused
insoftwaredevelopments?
8.6
W
hatisthepercentageof
softwaredevelopments
implementedinhigh-orderlanguage?
8.7
W
hatisthepercentageof
softwaredevelopments
implementedinassemblerlanguage?
8.8
A
reautomatedtestinputdatageneratorsusedfor
t
esting?
8.9
A
recomputertoolsusedtomeasuretestcoverage?
(tool
f
ordynamicanalyses)
8.1
0
A
recomputertoolsusedtotrackeveryrequired
f
unctionandassurethatitistested/verified?
8.1
1
A
reautomatedtoolsused
toanalysethesizeand
c
hangeactivityinsoftwarecomponents?
8.1
2
A
reautomatedtoolsused
toanalysesoftware
c
omplexity?(toolsforstaticanalyses)
8.1
3
A
reinteractivesource-leve
ldebuggersused?
8.1
4
A
recomputertoolsusedfortrackingandreporting
the
s
tatusofthesoftwareinthesoftwaredevelopment
library?
8.1
5
A
reprototypingmethodsu
sedindesigningthecritical
e
lementsoftheman-mach
ineinterface?
8.1
6
W
hichotherSDEtoolsarecurrentlyused?
9.
P
rocurementofCOTS
9.1
I
sthereaprocedureforCOTSprocurement?
9.2
I
sthesupplier'scapability
orensuringCOTS
m
aintenancetakenintoaccountwhenprocuring
s
oftware?
9.3
A
relicensingarrangementstakenintoconsideration
w
henprocuringsoftware
9.4
W
hatisthedocumentationpolicyforprocuredCOT
Sto
b
eusedtogetherwithcom
pany'sdevelopedsoftware?
8/4/2019 Gpq Man 07 Issue1
25/28
C=Complia
nt
NC=NotCompliant
Page25of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
VI.
C
onfigurationManagement
1.
O
rganisation
1.1
I
saconfigurationManage
rthesingle-pointcontact
for
a
llmattersrelatingtoCM?
1.2
I
sthereaclearstatement
ofresponsibilitiesand
a
uthorityfortheCMfunction?
1.3
I
stheorganisationalplace
mentofCMatappropriate
level?
2.
S
ubcontractor'sCM
2.1
D
oproceduresprovidefor
theapplicationofCM
r
equirementstosubcontractors?
2.2
D
oesthechangecontrolsystemp
rovideforinputof
s
ubcontractor-initiatedch
anges,processingand
c
hangeauthorisation?
3.
F
unctionofCM
office
3.1
D
oestheCMOperformth
efollowingfunctions:
a
.PreparationandmaintenanceofCMprocedures
and
plans?
b
.Releaseauthorityforengineeringdocuments?
c
.OperationoftheCCB?
d
.Supporttodesignrevie
ws?
e
.Processingandrelease
ofchangesandwaivers?
4.
C
onfigurationidentification
4.1
I
stheconceptofConfigurationItemu
sedand
implemented?(CI-specification-drawinglist-design
r
eviews-qualification)
4.2
A
recriteriaforselectionofCIsprovided?
4.3
D
oproceduresestablisha
standardidentification
s
ystemf
ordrawings,specifications,
hardwareand
S
/W?
5.
C
onfigurationdatamana
gement
5.1
D
oproceduresormanual
provideinstructionsfor
8/4/2019 Gpq Man 07 Issue1
26/28
C=Complia
nt
NC=NotCompliant
Page26of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
f
ormatandcontentofdrawingsandspecifications?
5.2
D
oproceduresormanualsestablishmethodsfor
a
mendmentsandrevisionstospecificationsand
d
rawings?
5.3
I
stheCMOfunctionrespo
nsibleforidentification
n
umbersassignment?
5.4
A
reend-items
erialnumbersprovidedbyCMOfor
c
onfigurationandchange
traceability?
5.5
A
rethereprescribedproce
duresforreleaseof
c
onfigurationdocumentationthatprovide,asa
m
inimum,establishmentofrecordsandimpoundo
f
o
riginals?
5.6
I
sthereadefinedapprova
lprocedureforconfiguration
d
ocumentationpriortorelease?
5.7
I
sreleaseofconfiguration
documentationbythe
a
pplicablereleasesystem
requiredpriorto
m
anufactureorprocurement?
5.8
D
oproceduresprovidefor
releaseofsoftware
d
ocumentation?
5.9
I
stheS/W
Libraryusedasthereleasefunctionand
is
t
hereanestablishedproce
dureforitsoperation?
5.1
0
D
oestheimpoundsystem
provideadequatesecurit
yto
p
reventunauthorisedchangesandprovidedisaster
p
rotection?
5.1
1
D
oproceduresprovidefor
aS/W
repositoryfor
p
ermanentretentionofde
liveredsoftware?
5.1
2
I
sCMappliedtoCAD/CAMsoftwareandsoftware
t
ools?
6.
C
onfigurationControl
6.1
A
rethereproceduresfora
pplicationofbaseline
identificationandcontrol?
6.2
A
rebaselinesestablishedatsystem,subsystema
nd
8/4/2019 Gpq Man 07 Issue1
27/28
C=Complia
nt
NC=NotCompliant
Page27of28
PC=Partial
Compliant
N/A=Not
Applicable
Item
No.
Audit
Element
C
PC
NC
N/A
Remarks
e
quipmentlevel?
7.
C
onfigurationControlBoard
7.1
D
oesthesystemp
rovideforaCCBwithmembership
t
hatwillensureacomprehensiveimpactanalysis?
7.2
I
saSoftwareCCBprovide
dwithappropriate
m
embershiptoevaluateanddispositionS/W
changes?
7.3
A
reclearlydefinedinterfacesbetweenthesystemC
CB
a
ndS/W
CCBhardware/softwarechanges?
7.4
I
stheCCBinchargeofreviewingandcontrollingth
e
d
esignbaselines?
7.5
A
reCCBDirectivesissued
?
8.
C
hangeEvaluation
8.1
D
oesthesystemp
rovideforimpactanalysispriorto
a
pproval/disapproval?
8.2
D
oeschangeimpactanaly
sisincludeallaspectsof
e
ngineering,manufacturin
g,
logisticscosts,schedu
le?
8.3
A
rechangesandimplementationdocumentsmarke
d
w
iththeclass?
8.4
A
rechangesandwaiverssubmittedtotheapproval
a
uthorityestablishedbythecontract,before
implementation?
8.5
A
rechangesandwaiversreleasedbythesamerelea
se
s
ystemu
sedforinitialdra
wingandspecification
r
elease?
8.6
I
stheinterchangeabilitys
tatusmarkedonthe
c
hanges?
8.7
I
sthereaprocedureforth
ere-identificationofnon-
interchangeableitems?
8.8
D
oesthesystemp
rovideforthepreparationand
p
resentationofwaiver?
8.9
A
rewaiversprocessedthroughthecustomer'sCCB?
9.
C
onfigurationStatusAccounting
8/4/2019 Gpq Man 07 Issue1
28/28
omplia
nt
NC=NotCompliant
Page28of28
Partial
Compliant
N/A=Not
Applicable
m.
Audit
Element
C
PC
NC
N/A
Remarks
D
oestheCMsystemp
rovideforthedocumentation
of
t
he'as-designed'standard
bymeansofaCIDL
(ConfigurationItemD
ataList)?
D
oproceduresprescribethefunctionresponsiblefo
r
C
IDLinputs?
D
oestheCIDLcontainas
aminimumt
helistof
r
eleased:
a
.Drawings?
b
.Specification?
c
.Testprocedures?
d
.EEEpartslist?
e
.Materiallist?
f
.Processeslist?
D
oesthesystemp
rovideforthepreparationof'as-b
uilt'
listsandestablishtheresponsibilityforpreparation
a
nddatainput?
Recommended