Preliminary Assurance

The aim of Self Assurance is to present Suppliers with a range of assurance questions which have defined acceptable answers that can be verified by a digital tool.

Since the digital tool can determine whether the responses are acceptable, it can allow or disallow the Solution from progressing with the Onboarding Process, thereby removing the need for human validation of the answers.

These questions should be universally applicable and so can be positioned early in the Onboarding Process.

The benefit of Self Assurance is that any Solutions unable to pass this “viability test” will not reach assurance SMEs and use their resource.

Types of Response are Needed for Preliminary Assurance

Response type	Detail	Implementation

Response type

Detail

Implementation

Restricted selectable options

Supplier selects from a limited number of options that encompass the possible responses to the requirement.

E.g. statement of compliance with the requirement.

The Supplier selects from limited options and the answer determines progression.

Some options may require additional information (e.g. dates, space-limited explanations). Some non-SME user validation may be required to determine if the additional information allows the Solution to progress.
- For example, we may ask if the Supplier has a Clinical Safety Officer; if the response is yes, we may also ask for the name and contact information.

File upload

Supplier uploads a document as evidence; typically reserved for larger documents that will be assured later but which we want proof the Supplier already has the information ready.

E.g. Hazard Logs, training plans, certifications

The Supplier must upload a file.

File type validation may be required.

EITHER…

A non-SME user verifies that the uploaded file meets expectations (e.g. appears to be relevant to the requirement).
The file is not checked and is taken on trust that if something has been provided it is a legitimate file, to be assured later.

Short, restricted text inputs

Supplier inputs text in a short, controlled format.

E.g. document numbers, version numbers

The Supplier can input very specific text that conforms to predictable formats.

Validation rules (e.g. letters only, numbers only, fixed length) control whether the input text is acceptable.