MODULE 4 GCQA Surveillance Planning and Performance

1. MODULE 4GCQA Surveillance Planning and Performance 15November2013

2. Introduction Surveillance Methods and Planning

3. Module Objective After completing this module, the student will be able to complete Government Contract Quality Assurance (GCQA) surveillance for identified contractual risks.

4. GCQA Surveillance

5. LESSON 1Product Examination 15November2013

6. Lesson Introduction Given product surveillance requirements, the student will be able to complete a product examination (PE).

7. Lesson Objectives Upon completion of this lesson, you should be able to: • Relate the importance of product examination to Quality Assurance (QA) surveillance. • Determine items and/or features/characteristics of items that are subject to product examination. • Determine the need for hold points during the product examination process. • Identify product examination techniques.

8. Lesson Objectives (cont.) Upon completion of this lesson, you should be able to: • Outline the initial product examination actions. • Distinguish between the four product examination techniques: Inspection, Testing, Witness, and Verification. • Recognize documentation requirements for the results of a product examination. • Describe the requirements for notifying the supplier and/or customer of product examination results.

9. Lesson Topics This lesson covers the following topics: • Importance of Product Examination • Identify Product Examination Characteristics • Hold Points • Product Examination Techniques • Initial Product Examination Actions • Specific Product Examination Actions • Documenting Product Examination Results • Notification Requirements

10. WIIFM? This lesson is important because, as a Quality Assurance Specialist (QAS) you will: • Use product examination to validate conformity • Perform the three steps for initial product examination • Choose examination techniques to include: • Inspection • Test • Witness • Verification • Determine hold points • Document findings/Initiate Corrective Action Requests (CARs) • Retain records

11. Policy and Authority Authority to perform a product examination comes from: • Federal Acquisition Regulation (FAR) 52.246-2 through -9 and 52.246-11 • Contract Schedule, Section E • Defense Contract Management Agency (DCMA) Product Examination - Quality Assurance (QA) Policy

12. Terms Product examination is an organized or formal evaluation involving measurements, tests, and gauges applied to certain characteristics in regard to an object or activity. The results are usually compared to specified requirements and standards for determining whether the item or activity is in conformance with these targets. Risk Profile and Plan Tool is a spreadsheet used to perform and document risk assessment. Product Examination Sheet is a spreadsheet you can use to capture the minimum documentation requirements.

13. Question and Answer Product examination is used to ensure product ________. • Inspection • Conformance • Reliability • Records

14. Importance of Product Examination Lesson Topics: Importance of Product Examination Identify Product Examination Characteristics Hold Points Product Examination Techniques Initial Product Examination Actions Specific Product Examination Actions Documenting Product Examination Results Notification Requirements

15. Topic 1: Importance of Product Examination • Product examination focus and results • When to choose product examination as surveillance method

16. Surveillance Strategies • Surveillance of complex or critical items will focus primarily on: • Product operational tests • In-process product examination techniques on the outputs of the higher risk processes or product characteristics • Results of operational tests/product examinations will direct continuance/depth of further surveillance efforts.

17. When to Choose Product Examination Product Examination is not the preferred method of GCQA under a risk based surveillance strategy. Select product examination as a surveillance method when: • A process review will not completely verify the identified characteristics • The customer mandates product examination • It is the most effective • Use of the QAS’s time • Surveillance method to assure characteristic conformance to contract requirements

18. Identify product examination characteristics Lesson Topics: Importance of Product Examination Identify Product Examination Characteristics Hold Points Product Examination Techniques Initial Product Examination Actions Specific Product Examination Actions Documenting Product Examination Results Notification Requirements

19. Topic 2: Identify Product Examination Characteristics • Review documents and supplier’s plan • Based on risk assessment and selection criteria

20. Selecting Product Characteristics First, review the contract requirements, including: • Statement of Work (SOW) • Drawings • Process/Test Specifications • Any other specified requirements • Quality Assurance Letter of Instruction (QALI) or Letter of Delegation (LOD)

21. Risk Assessment-Based Identify high risk features/characteristics for surveillance based upon risk assessment activities (likelihood of risk cause occurring and the consequence if the risk occurs). SAMPLE

22. Review the Supplier’s Plan The QAS should also consider those features and characteristics that the supplier has identified as significant during its product realization planning process. • QA personnel shall notify the supplier in writing of any required hold points in production/manufacturing process.

23. Product Characteristics Selection Criteria • Any characteristic designated as “critical” • Dimensional Tolerances of .001” or less • Geometric Features with a total tolerance of .002” or less • Class 3 Threads • Surface finishes of 16 Root Mean Square (RMS) or less • Nondestructive Testing • Material Hardness • Material chemistry and Mechanical properties • Operational Testing • Outputs of higher risk processes (based upon previous surveillance results)

24. Hold Points Lesson Topics: Importance of Product Examination Identify Product Examination Characteristics Hold Points Product Examination Techniques Initial Product Examination Actions Specific Product Examination Actions Documenting Product Examination Results Notification Requirements

25. Topic 3: Hold Points • Established when there is a product that needs to be examined before it moves to another step in the process • Identified by QAS based on risk • Established at any time but cannot unduly delay the supplier • Use Risk Profile and Plan Tool to determine hold points HOLD POINT

26. Supplier Notification When production is periodic or directed by the customer to perform mandatory product examination(s), the QAS shall notify the supplier in writing of any required hold points in the production/ manufacturing process.

27. Supplier Record Notation Ensure the supplier has properly identified Mandatory Hold Points and how DCMA will be notified.

28. Physical Location • Review, with the supplier, the physical locations in the plant where product characteristics are to be controlled by supplier verification or testing. • Determine the physical locations in the plant where Government evaluations will be performed. (Normally these will be the same location where the supplier controls the characteristics).

29. Exercise: Hold Points • Students work in pairs to determine where hold points should be placed in the facility layout. • One student open the CMQ101_M4_L1_E1_HoldPoints.pdf to record the hold points. • One student open: • Completed Contract Technical Review (CTR) results (pdf) file from Module 3, Lesson 1 • ValleyForgings_ManufacturingFlowChart.pdf • ValleyForgings_Traveler.pdf • Save the completed exercise. • Time: 15 minutes

30. Product Examination Techniques Lesson Topics: Importance of Product Examination Identify Product Examination Characteristics Hold Points Product Examination Techniques Initial Product Examination Actions Specific Product Examination Actions Documenting Product Examination Results Notification Requirements

31. Topic 4: Product Examination Techniques Four product examination techniques: • Inspection • Testing • Witness • Verification

32. Four Product Examination Technique Definitions Product examination is a method used to determine conformance of one or more physical characteristics of the product. Four examination techniques: • Inspection:  Conformity evaluation by observation and judgment accompanied, as appropriate, by measurement or gauging. • Testing:  Determination of one or more characteristics according to a procedure. • Witness:Observation of the supplier or subcontractor performing an inspection or test. • Verification: Confirmation, through the review of objective evidence, that specified requirements have been fulfilled. 

33. Product Examination Example Testing Bullet Proof Glass

34. Question and Answer What is the testing technique of product examination? • Conformity evaluation by observation and judgment accompanied, as appropriate by measurement or gauging. • Observation of the supplier or subcontractor performing an inspection or test. • Determination of one or more characteristics according to a procedure. • Confirmation, through the review of objective evidence, that specified requirements have been fulfilled.

35. Initial Product Examination Actions Lesson Topics: Importance of Product Examination Identify Product Examination Characteristics Hold Points Product Examination Techniques Initial Product Examination Actions Specific Product Examination Actions Documenting Product Examination Results Notification Requirements

36. Topic 5: Initial Product Examination Actions There are three initial actions the QAS must complete for any product examination technique being performed.

37. Initial Product Examination Actions The following actions shall be taken and recorded as separate observations as part of any initial product examination, and may be a part of continuing product examination: • Review the supplier’s work/verification instructions and drawings to determine availability and adequacy (including revision levels). • Evaluate the adequacy of the verification equipment, currency of calibration, and verify capability and stated accuracy of the equipment is adequate to determine conformance of the characteristic being inspected. • Evaluate the supplier’s verification documentation. This review determines the adequacy of supplier records.

38. Specific Product Examination Actions Lesson Topics: Importance of Product Examination Identify Product Examination Characteristics Hold Points Product Examination Techniques Initial Product Examination Actions Specific Product Examination Actions Documenting Product Examination Results Notification Requirements

39. Topic 6: Specific Product Examination Actions Each product examination technique consists of specific actions performed during surveillance execution.

40. Exercise: Product Examination • Count the number of “F”s in the paragraph on the next screen and record your findings. 100% inspection is only 80% effective. Reference: Juran, J., “Inspector’s Errors in Quality Control,” Mechanical Engineering, vol. 57, pp. 643 – 644 (1935)

41. Exercise: Product Examination THE NECESSITY OF TRAINING HANDS FOR FIRST-CLASS FARMS INTHE FATHERLY HANDLING OF FRIENDLY FARM LIVESTOCK ISFOREMOST IN THE MINDS OF FARM OWNERS. SINCE THE FOREFATHERS OF THE FARM OWNERS TRAINED THEFARM HANDS FOR FIRST-CLASS FARMS IN THEFARTHERLY HANDLING OF FARM LIVESTOCK, THE OWNERS OF THE FARMS FEEL THEY SHOULD CARRY ON WITH THE FAMILY TRADITION OF TRAINING FARM HANDS IN THE FARTHERLY HANDLING OF FARM STOCKBECAUSE THEY BELIEVE IT IS THE BASIS OF GOOD FUTURE FARMING.

42. Exercise: Product Examination TIME !!!!!

43. Exercise: Product Examination Government Re-Inspection a.k.a. Do Over

44. Exercise: Product Examination THE NECESSITY OF TRAINING HANDS FOR FIRST-CLASS FARMS INTHE FATHERLY HANDLING OF FRIENDLY FARM LIVESTOCK ISFOREMOST IN THE MINDS OF FARM OWNERS. SINCE THE FOREFATHERS OF THE FARM OWNERS TRAINED THEFARM HANDS FOR FIRST-CLASS FARMS IN THEFARTHERLY HANDLING OF FARM LIVESTOCK, THE OWNERS OF THE FARMS FEEL THEY SHOULD CARRY ON WITH THE FAMILY TRADITION OF TRAINING FARM HANDS IN THE FARTHERLY HANDLING OF FARM STOCKBECAUSE THEY BELIEVE IT IS THE BASIS OF GOOD FUTURE FARMING.

45. Exercise: Product Examination So How Many “F”s Did You Identify? AND THE ANSWER IS !!!

46. Inspection Technique • Inspection consists of an independent examination of the product by Government QA personnel to validate the results of the supplier’s previous inspection. • The supplier must provide Government personnel with the necessary inspection equipment to perform this examination. • Sampling may be used unless specifically prohibited by the customer in a QALI, LOD, etc.

47. Testing Technique • Testing consists of independent testing of the product by Government QA personnel using an established procedure. • This testing is used to verify product acceptability and to validate the results of the supplier’s previous testing.

48. Witness Technique • Product examination may be accomplished concurrently, or after the supplier has made its accept determination. • Concurrent examination is typically used when: • The nature of the inspection or test is detrimental to the item. • An extended period of time is required for performance. • Other factors exist that may contribute to unnecessarily high costs for an additional inspection or test. • When performed concurrently: • DCMA reserves its decision until the supplier has made its determination. • Records reflect concurrent examination.

49. Witness A defect, properly recorded by the supplier during concurrent examination, will not be cause for issuance of a corrective action request by the QAS. • However, for data analysis purposes, the QAS should annotate in his/her records that the defect occurred.

50. Witness (cont.) During witnessing of inspection/test: • Verify proper setup of test/inspection equipment • Remain for the entire duration or selected portions of the test • Closely observe the supplier’s performance • Independently read the measuring or test equipment to verify item acceptability • Verify the supplier’s proper documentation of conditions and recording of results