Effective First Article and Production Lot Testing Procedures

1. LESSON 2First Article and Production Lot Testing 15November2013

2. Lesson Introduction Given a contract with identified First Article Testing (FAT) and/or Production Lot Testing (PLT) requirements, you will be able to effectively perform FAT/PLT responsibilities.

3. Lesson Objectives Upon completion of this lesson, you should be able to: • Identify Federal Acquisition Regulation (FAR) clauses regarding FAT/PLT requirements. • Identify contractual items that may require FAT/PLT verification. • Identify the steps of the FAT process. • Identify the requirements for First Article (FA) approval. • Recognize the importance of FAT/PLT to supplier Quality Assurance (QA) responsibilities. • Identify the Quality Assurance Specialist (QAS) responsibilities regarding FAT/PLT.

4. Lesson Objectives (cont.) Upon completion of this lesson, you should be able to: • Relate the importance of QA Contract Technical Review (CTR) and QA Post Award Orientation Conference (PAOC) with respect to FAT/PLT. • Identify the elements of a DD Form 1222, Request for and Results of Test, for a FAT/PLT. • Identify the QAS responsibility when nonconformances are discovered during FAT/PLT.

5. Lesson Topics This lesson covers the following topics: • Policy, Authority, and Definitions • FAT/PLT Contractual Verification • FAT/PLT Process • First Article Approval Requirements • QAS FAT/PLT Responsibilities • DD Form 1222

6. WIIFM? • Primary method for assuring products conform to all contract requirements for acceptance. • Identifies product/production weaknesses. • Minimizes risk for supplier and Government. • Provides a commitment of safety to end user. Article Army pulls body armor, despite assertion of safety

7. Policy, Authority, and Definitions Lesson Topics: Policy, Authority, and Definitions FAT/PLT Contractual Verification FAT/PLT Process First Article Approval Requirements QAS FAT/PLT Responsibilities DD Form 1222

8. Topic 1: Policy, Authority, and Definitions • Policy and authority: • FAR 52.209-3 • FAR 52.209-4 • FAR 9.3 • Key terms • First Article • Production Lot

9. Policies FAR 52.209-3 First Article Approval—Contractor Testing • Performs the test • Submits test report FAR 52.209-4 First Article Approval—Government Testing • Performs the test • Verifies product conforms to specification FAR 9.3 First Article Testing and Approval • Contracting officer requirements • Details for First Article Clauses

10. Definitions • First Article – Preproduction model, initial production sample, test sample, first lot, pilot lot, and pilot model. • Production Lot – A designation of a group of items manufactured under the same conditions, at essentially the same time, using the same facilities, manufacturing processes, methods, and material.

11. FAT/PLT Contractual Verification Lesson Topics: Policy, Authority, and Definitions FAT/PLT Contractual Verification FAT/PLT Process First Article Approval Requirements QAS FAT/PLT Responsibilities DD Form 1222

12. Topic 2: FAT/PLT Contractual Verification • QALI and LOD Requirements • Verification checklist • Product Verification Testing (PVT) clause DLAD 52.246-9004 is invoked for the referenced contract. In addition to the referenced contract and PVT clause, the following actions are required: • The QAR shall select 5 units of production and forward them to a designated laboratory for testing. One sample will be destroyed during salt spray testing, material analysis and hardness testing. • The QAR will contact the DSCC PVPO for notification of shipping date. In addition, the QAR is to provide the return shipping address to the testing facility.

13. QALI and LOD Requirements FAT/PLT level of involvement depends on the Quality Assurance Letter of Instruction (QALI) or Letter of Delegation (LOD). QALI LOD FAT

14. Verification Checklist • Materials • Processes • Dimensions • Finish • Marking • Packaging/Packing • Performance Testing • Environmental Testing

15. FAT/PLT Process Lesson Topics: Policy, Authority, and Definitions FAT/PLT Contractual Verification FAT/PLT Process First Article Approval Requirements QAS FAT/PLT Responsibilities DD Form 1222

16. Topic 3: FAT/PLT Process Shipment The QAS completes the process for FAT/PLT as detailed in DCMA policy.

17. FAT/PLT Process Step 1 of 12 • Identify FAT/PLT contractual requirements Identify the FAT/PLT clauses during CTR: • FAR 52.209-3, Contractor Testing • FAR 52.209-4, Government Testing

18. FAT/PLT Process Step 2 of 12 • Determine the need for technical assistance after the CTR and before QA PAOC If new to/unfamiliar with FAT/PLT Process, request assistance, in writing, from: • Supervisor • Lead QAS • Engineer

19. FAT/PLT Process Step 3 of 12 • Schedule/Conduct QA PAOC • Review all First Article clauses with supplier during QA PAOC • Ensure supplier understands what is required

20. FAT/PLT Process Step 4 of 12 • Develop FAT/PLT surveillance plan As required by DCMA policy, develop/document a surveillance plan of FAT/PLT items.

21. FAT/PLT Process Step 5 of 12 • Determine the need for QA personnel inspection hold points The QAS identifies various manufacturing process sequence locations in accordance with DCMA Product Examination Policy.

22. FAT/PLT Process Step 6 of 12 • Notify supplier of Government Contract Quality Assurance (GCQA) hold points • Must be in writing and detail hold point requirement • Supplier receipt and acknowledgement verifiable

23. FAT/PLT Process Step 7 of 12 • Determine GCQA at subcontract level Decide whether to issue a delegation to the subcontractor, if a subcontractor is being used for First Article and Production Lot Testing.

24. FAT/PLT Process Step 8 of 12 • QA personnel executes surveillance • Inspect or witness • Document surveillance results in accordance with DCMA policy • Identify departures from requirements to approval authority • Issue appropriate level Corrective Action Request (CAR) for nonconformities

25. FAT/PLT Process Step 9 of 12 • Notify Procuring Contracting Officer (PCO) of nonconformity, waiver request/request instructions • Notify PCO of identified nonconformity • Recommend disapproval of waiver request by supplier

26. FAT/PLT Process Step 10 of 12 • QA personnel prepare QAS FAT/PLT results • Prepare FAT/PLT results using DD Form 1222, Request for and Results of Tests, or cover letter • DD Form 1222/cover letter separate from/in addition to supplier results

27. FAT/PLT Process Step 11 of 12 • Notify Administrative Contracting Officer (ACO) of FAT/PLT unit shipment • Request ACO provide receiving activity with notice and advice • Do not authorize supplier to ship FAT/PLT exhibit or test reports with known/suspected nonconformities

28. FAT/PLT Process Step 12 of 12 • FAT/PLT approval • Ensure FAT/PLT approval receipt before shipment • Formal supplier notice signed by PCO/ACO

29. Question and Answer Which clause denotes Government FAT performance to verify the product conforms to contract requirements? • FAR Clause 52.209-3 • FAR Clause 52.209-4 • DLA Clause 52.209-9018 • DLA Clause 52.246 -9085

30. Question and Answer What form is typically used to report FAT/PLT inspection results? • DD Form 1711, Observation Record • DD Form 1715, Quality Deficiency Record • DD Form 1222, Request for and Results of Tests • DD Form 1423,Contract Data Requirements List

31. First Article Approval Requirements Lesson Topics: Policy, Authority, and Definitions FAT/PLT Contractual Verification FAT/PLT Process First Article Approval Requirements QAS FAT/PLT Responsibilities DD Form 1222

32. Topic 4: First Article Approval Requirements First Article Approval tests, evaluates and demonstrates product to assure minimal risks.

33. First Article Approval First Article approval consists of: • Tests and evaluations • Assurances that risk is minimizedfor both supplier and Government Electronics Mechanic performs a First Article Test.

34. First Article Testing First Article Tests may: • Be detailed/extensive • Require changes to supplier's production and quality control processes The supplier is responsible for determining that product meets the contract requirement even though the Government may be designated to perform First Article Approval.

35. First Article Test Requirements First Article requirements demonstrate the following: • Materials used • Manufacturing processes employed • Workmanship standards • Capability of Quality Control methods employed

36. Question and Answer Who is responsible for determining that product meets contract requirements even though the Government may be designated to perform First Article Approval? • Supplier • QAS • PCO • ACO

37. QAS FAT/PLT Responsibilities Lesson Topics: Policy, Authority, and Definitions FAT/PLT Contractual Verification FAT/PLT Process First Article Approval Requirements QAS FAT/PLT Responsibilities DD Form 1222

38. Topic 5: QAS FAT/PLT Responsibilities • QAS responsibilities • QA PAOC responsibilities • Verification responsibilities • FAT/PLT documentation responsibilities

39. Contract Review Responsibilities QAS responsibilities: • Begin at contract review • Determine supplier requirements • Determine role of the QAS • Process Electronic Document Access (EDA) Contract Deficiency Report (CDR) for missing, inadequate, or erroneous data

40. Determinations and QA PAOC Responsibilities The QAS also: • Determines who conducts First Article Approval Test • Reviews contract requirements • Conducts QA PAOC • Records items needing clarification during QA PAOC • Determines First Article manufacturing requirements

41. Verification Responsibilities The QAS verifies: • Changes and approvals resulting from FAT/PLT • Surveillance performed • Manufacturing standards

42. FAT/PLT Documentation Responsibilities • Record all inspection results • Document and forward to the Technical Activity: • Departures from contractually specified FA Test procedures • Observed nonconformances • Include CARs in final report to Technical Activity

43. Question and Answer What must the QAS verify before accepting product? • Changes from conditional approval are implemented • GCQA surveillance is performed • FA units used as manufacturing standards are authorized • All of these

44. DD Form 1222 Lesson Topics: Policy, Authority, and Definitions FAT/PLT Contractual Verification FAT/PLT Process First Article Approval Requirements QAS FAT/PLT Responsibilities DD Form 1222

45. Topic 6: DD Form 1222 Submitting FAT/PLT Results FAT/PLT report and inspection results of First Article units are submitted on DD Form 1222Request for and Results of Tests. DD Form 1222

46. Sample DD Form 1222 SAMPLE DD Form 1222

47. Required Fields Sample XYZ Corporation Attn: John Smithe 555 Belfry Ave., Suite 2000 Bigtown, AK 55555-0000 555-555-1111 OK-A1 Defense, Inc. 1729 Open Field Ln., Suite A1 Cropville, IA 01111-1100 222-444-0000 OK-A1 Defense, Inc. 1729 Open Field Ln., Suite A2 Cropville, IA 01111-1100 XYW2P2-C-09-1234 XYW2P2-C-09-1234 XYW2P2-C-09-1234 OKA1C02

48. Description of Nonconformities

49. Approval/Disapproval of Nonconforming FAT/PLT • Recommendation for approval or disapproval must be included when the contract requires supplier-conducted FAT • Automatic disapproval recommendation for nonconformance

50. Summary Having completed this lesson, you should now be able to: • Identify FAR clauses regarding FAT/PLT requirements. • Identify contractual items that may require FAT/PLT verification. • Identify the steps of the FAT/PLT process. • Identify the requirements for FA approval. • Recognize the importance of FAT/PLT to supplier QA responsibilities. • Identify the QAS responsibilities regarding FAT/PLT. • Relate the importance of QA CTR and QA PAOC with respect to FAT/PLT.