Except where noted below, when exchanging or performing CAS functions under the provisions of an existing MOU, the provisions of this instruction shall take precedence over other process instructions.

DCMA mandatory requirements that are not appropriate for CMO Commander/Center Director deviation approval authority are preceded by the Letters "ND" - See Deviations - FAR, DFARS, DoD Directive, Other Regulatory/Government Documents and DCMA Instructions

1.  Understand DoD Policy and Requirements of Applicable Agreements - Department of Defense (DoD) policy is that DCMA shall perform contract administration functions for allied nations and international organizations that request our support (DFARS 246.406).  DoD has entered into International Agreements or MOUs with certain foreign governments for the exchange of services, to include Government Quality Assurance (GQA) and financial audit on either a no cost reciprocal basis or a fee for service basis in accordance with the Arms Export Control Act (AECA). Copies of the MOUs are available at the OUSD Defense Procurement and Acquisition Policy (DPAP), International Contracting website.  Other CAS functions exchanged with NATO Nations or organizations are listed in Table C9.T3, C9.T4, and C9.T5 of the DoD 5105.38M, Security Assistance Management Manual.

    1.1.  The Director, Defense Procurement and Acquisition Policy, Office of the Under Secretary of Defense Acquisition, Technology and Logistics (OUSD(AT&L)), has responsibility for managing Reciprocal Defense Procurement MOUs that may include annexes for Reciprocal Audits and Reciprocal GQA services.  DCMA assists OUSD in reviewing the other Nation's capabilities prior to finalization of the Reciprocal GQA MOUs.  This is the initial basis of confidence that the CAS functions provided by each Nation are capable of meeting the needs of each Government.  When authorized by the OUSD (AT&L), Defense Contract Management Agency International (DCMAI) shall lead any effort in the determination of another Government's capabilities.

    1.2.  DCMA personnel shall neither conduct the negotiation of an international agreement nor request another organization to negotiate an International Agreement without prior written approval of DoD, obtained through DCMAI Command channels (DoD Directive 5530.3 - International Agreements).

        1.2.1.  DCMA personnel shall not enter into discussions with personnel from other Governments concerning the establishment of International Agreements or extending the provisions of current International Agreements.
        1.2.2.  OCONUS CMOs are responsible for the establishment and maintenance of administrative plans, delegation procedures or implementation plans when required by the respective MOU.  However, OCONUS CMO personnel shall not establish or revise these plans / procedures without prior written approval of DoD, obtained through DCMAI Command channels.

1.3.  DCMA shall follow STANAG 4107 when (DFARS 246.406(1)(ii)):

• Asking a NATO member nation to perform quality assurance; or
• Performing quality assurance when requested by a NATO member nation or NATO organization.

        1.3.1.  NATO Standardization Agreement (STANAG) No. 4107 - Mutual Acceptance of Government Quality Assurance and Usage of the Allied Quality Assurance Publications defines the terms, conditions, and authority by which the participating NATO Nations request and exchange GQA, and implements Allied Quality Assurance Publication (AQAP) - 2070, NATO Mutual Government Quality Assurance Process.  AQAP 2070 process is a risk-based process and defines the specific processes and procedures to be used when exchanging GQA services between participating NATO Member Nations.
        1.3.2.  DCMA CMOs shall follow the Mutual GQA process as defined in AQAP-2070 when requesting a NATO Member Nation to perform GQA and when performing GQA when requested by a NATO Member Nation and / or NATO organization except (NATO Standardization Agreement (STANAG) No. 4107):

• With reference to paragraph 2c of STANAG 4107, DoD reserves the right to use documents other than AQAP as contractual requirements where GQA is requested.  U.S. contracts are not required to have AQAP contract quality requirements and Requests for Government Quality Assurance shall not cite AQAP equivalents;
• With reference to the first line of paragraph 7 of STANAG 4107, which will not apply, the U.S. will perform or request GQA on a no-cost basis only when a written agreement, with provisions for mutual GQA services without charge, has been negotiated between the US and the NATO nation.  Also, the US will perform GQA on a no-cost basis for a NATO program only when the US is party to the specific program / project agreement that includes provisions to perform these services without charge; and
• As provided in paragraph 2.1.of this instruction

        1.3.3.  The MOUs between the US and Sweden, also directs the exchange of GQA in accordance with the provisions of STANAG 4107 and AQAP-2070.  QA personnel shall follow AQAP-2070 and the Swedish GQA Administrative Procedure when requesting Sweden to perform GQA and when performing GQA requested by Sweden.

    1.4.  DCMA shall (DFARS 246.406(2)):

• Perform quality assurance services on Non-NATO international military sales contracts or in accordance with existing agreements
• Inform host or U.S. Government personnel and contractors on the use of quality assurance publications; and
• Delegate quality assurance to the host government when satisfactory services are available.

        1.4.1.  DCMA shall follow the processes, procedures, terms, and conditions of the individual MOU, and any established GQA Administrative or Implementation Plan, when requesting GQA from or when performing GQA requested by:

• Australia
• Israel
• Korea

    1.5.  Timely resolution of issues should be handled at the lowest possible level consistent with the severity and complexity of the issue and escalated, as necessary, through the chain of command.

        1.5.1.  DCMAI shall be informed, in a timely manner, of issues dealing with noncompliance, by either party, with the provisions of the MOU or the NATO STANAG.
        1.5.2.  The CMO Commander should informally notify the U.S. Ambassador or Attaché of any situation which appears to result in higher level discussions between DoD and the Host Nation.
        1.5.3.  DCMAI shall notify DPAP (OUSD(AT&L)) of the issue being escalated, with concurrent notifications to the DCMA Agency Director and the Executive Director of Quality Assurance.

2.  Perform Contract Technical Review.  (ND) QA personnel shall perform a technical review of the contract, subcontract, and / or delegation in accordance with the Contract Technical Review instruction.  Whenever a contract cannot be delegated to the Host Nation Ministry of Defense (HN MoD), QA personnel shall perform the GQA in accordance with the applicable QA process instructions.

    2.1.  (ND) The Contract Technical Review shall include a determination if any exceptions exist that preclude DCMA from requesting the HN MoD to perform GQA, such as those listed below:

• Access prohibitions, e.g., International Traffic in Arms Regulation (ITAR) (except when authorized by exemption, license or agreement), or Navy Special Emphasis Programs (NSEP)
• Non-DoD Customer, e.g. NASA, or Coast Guard, except with Canada
• Time constraints or period of performance limitations
• Unresolved problems warranting non-delegation
• FMS contracts, except as agreed with the Host Nation. See paragraph 2.4. below.

    2.2.  (ND) QA personnel shall maintain a list of contracts with the following information (the System for Integrated Contract Management (SICM) Host Nation module may be used to satisfy this requirement):

• Date delegated
• Date accepted or rejected.  If rejected, reason for rejection
• If not delegated, reason for not delegating
• QA requirement
• Special requirements, i.e., ITAR, CSI, SOF, etc.
• QAR assigned
• Associated surveillance plan

    2.3.  DCMA International CMO Commanders should establish procedures to periodically review decisions made by assigned personnel not to delegate to the Host Nation.
    2.4.  FMS contracts normally are not delegated to the HN.  (ND) QA personnel shall communicate with the HN MoD, identifying the FMS customer, to determine if they are able to accept the delegation.  This communication and determination shall be documented.

3.  Complete the Appropriate Risk Assessment.  The presence of risks requiring mitigation through GQA surveillance is the determining factor for requesting another nation to perform GQA on our behalf.

    3.1.  In a NATO environment, the risk assessment shall be performed and documented on the Risk Identification, Assessment and Communication (NATO RIAC Form) form in accordance with AQAP 2070 (Allied Quality Assurance Publication (AQAP) - 2070).

        3.1.1.  If during Contract Technical Review, it is determined that the contract will be delegated under an existing Request for Government Quality Assurance (RGQA), and there are no changes to the identified risk statements and / or risk causes on the associated RIAC, QA personnel shall forward the contract to the HN Central Control Point (CCP) via email identifying the applicable RGQA and RIAC.
        3.1.2.  If the contract will be delegated under an existing RGQA, but there are changes to the risks, the RIAC shall be revised in accordance with AQAP 2070 and forwarded to the HN CCP via email.  It is not necessary to forward the RGQA with the revised RIAC.

    3.2.  In a non-NATO environment, unless specified in the applicable MOU or GQA Administrative Procedure / Implementation Plan, QA personnel shall perform a risk assessment in accordance with the Risk Assessment instruction.  (ND) However, the risk assessment shall be documented on the applicable RGQA, not the Risk Profile.
    3.3.  Each critical characteristic, significant characteristic, and / or important manufacturing process identified for critical safety items (CSIs) shall be documented as a risk.  If there are a significant number of characteristics or processes, a list of these risks may be attached to the RIAC or the RGQA.
    3.4  (ND) The safety of flight (SOF) list, as determined in accordance with the SOF instruction shall be documented as a risk.  The SOF list shall be attached to the RIAC or the RGQA.
    3.5.  Quality Assurance Letter of Instruction (QALI) requirements shall be included as a risk and identified as a "Specific Customer Requirement" on the RGQA or RIAC as stated on the QALI (Allied Quality Assurance Publication (AQAP) - 2070).  The QALI may be attached to the RGQA or RIAC.
    3.6.  Risk assessments shall be revised as new risk information becomes available or risk events occur; however, as a minimum, risk assessments shall be reviewed on an annual basis and revised as necessary.  This annual review shall be documented on the appropriate surveillance plan (Allied Quality Assurance Publication (AQAP) - 2070)..

4.  Complete the Request for Government Contract Administration Services - (ND) When authorized to delegate contracts with ITAR restrictions, CMO personnel shall follow the specific Manufacturing License Agreement (MLA), Technical Assistance Agreement (TAA) or DoD exemption, as applicable, in providing access to the Host Nation as authorized.  Normally, low risks that can be satisfactorily verified after receipt should not be delegated to the HN MoD.  Additionally, non-complex, non-critical products or other low risks will not normally require intensive GQA.

    4.1.  Request for Government Quality Assurance (RGQA).  When risks are identified as requiring surveillance, QA personnel shall generate the appropriate RGQA (Allied Quality Assurance Publication (AQAP) - 2070)..

        4.1.1.  (ND) Prior to requesting GQA for SOF or CSI characteristics, QA personnel shall coordinate with the HN Government Quality Assurance Representative (GQAR) to determine if a surveillance strategy can be established that will meet the intent of the SOF / CSI instruction, as applicable.  This coordination and determination shall be documented on the RGQA.  Additional information, such as those risks not accepted by the HN GQAR or concerning any communication with the HN GQAR, shall be documented on the surveillance plan.
        4.1.2.  (ND) Prior to requesting GQA for non-complex, non-critical products or other low risks, QA personnel shall coordinate with the HN GQAR to establish a strategy that would provide for an appropriate surveillance interval, i.e. quarterly, semi-annual, or annual, to validate that these risks remain low.  This coordination and determination shall be documented on the RGQA.  Additional information, such as those risks not accepted by the HN GQAR or concerning any communication with the HN GQAR, shall be documented on the surveillance plan.
        4.1.3  In a NATO environment, QA personnel shall prepare the NATO RGQAR Form in accordance with AQAP 2070 (Allied Quality Assurance Publication (AQAP) - 2070).
        4.1.4  (ND) In a Non-NATO environment, QA personnel shall prepare the RGQA in accordance with the applicable MOU and/or associated GQA Administrative Procedure / Implementation Plan.
        4.1.5  (ND) Where Host Nation organizations are paid for the performance of surveillance, CMOs shall consider the cost effectiveness of delegating on a case-by-case basis.  This determination to delegate or not shall be documented on the surveillance plan.  All documentation used in this determination shall be made a part of the surveillance plan.
         4.1.6.  (ND) All requests for CAS support received from foreign Governments (NATO and Non-NATO) shall be processed through the US DoD Central Control Point (DoDCCP).  See the International and Federal Business (Reimbursable and Non-Reimbursable) Instruction for additional requirements and guidance on foreign requests for CAS.

            4.1.6.1.  The DoDCCP shall determine if the request is reimbursable or at no charge and will forward the request to the applicable CMO.
            4.1.6.2.  CMO personnel shall formally accept or reject delegations from NATO nations and Sweden utilizing the Response to Government Quality Assurance Request (NATO RGQAR Form) form within the timeframes specified in AQAP 2070.  If required, QA personnel shall revise the RIAC in accordance with AQAP 2070, providing additional risk information to the other Government, increasing or decreasing the risk likelihood and risk index, as necessary to reflect the current status of the risk (Allied Quality Assurance Publication (AQAP) - 2070).

        4.1.7.  (ND) OCONUS CMOs shall initiate all requests/delegations to other Governments.  Wherever possible, HN support shall be used to perform the required supplier surveillance in accordance with the applicable MOU or NATO STANAG.  Only the minimum surveillance necessary to mitigate the identified risks and to provide confidence in the supplier's ability to perform shall be delegated.
        4.1.8.  RGQAs shall be sent electronically to the HN's CCP email address identified in Annex A of STANAG 4107 for NATO nations (NATO Standardization Agreement (STANAG) No. 4107); or identified in the individual MOU or GQA Administrative Procedure, or Implementation Plans for Non-NATO nations.
        4.1.9.  RGQAs shall (Allied Quality Assurance Publication (AQAP) - 2070):

            4.1.9.1.  Clearly identify the HN GQAR's authority with regards to Deviation Permits or Concessions (Material Review Board (MRB)).  MRB authority for Critical Safety Items (CSI) is normally withheld unless specifically delegated.
            4.1.9.2.  Request copies of Corrective Action Requests (CARs).  CARs received from the HN GQAR shall be entered into the DCMA CAR log in accordance with the Corrective Action Request instruction.  DCMA QA personnel should gain an understanding of the HN's corrective action process to enable appropriate communications with the HN GQAR, i.e., utilizing HN's terminology vice DCMA's on RGQAs or during email or telephone communications.
            4.1.9.3.  Request HN GQAR to contact the DCMA QAR prior to issuing delegations for CSI to the next sub-tier QAR.
            4.1.9.4.  Request results of surveillance activities applicable to support data analysis.  RGQAs should also include a request for copies of the HN's data analysis results, if available.
            4.1.9.5.  Request copies of the HN GQAR surveillance plans for contracts that contain CSI, SOF or other high risk items, and / or for major programs.  QA personnel shall review the surveillance plans to ensure planned surveillance address all risks and GQA activities identified on the RGQA.
            4.1.9.6.  Include instructions for product release to support execution of the DD 250 / Receiving Report (RR), i.e. requesting the HN GQAR to provide a Statement of GQA, or stamping / signing the supplier's shipping documentation.

        4.1.10.  (ND) RGQAs shall be revised as changes to requested GQA services occur; however, as a minimum, RGQAs shall be reviewed for currency on an annual basis and revised as necessary.  This review shall ensure RGQAs are still active.
        4.1.11.  In a Non-NATO environment, unless specifically addressed in the applicable MOU or GQA Administrative Procedure / Implementation Plan, the RGQA shall specify how the completion of the RGQA will be communicated.

    4.2.  Request for Government Contract Audit Services (RGCAS).

        4.2.1.  (ND) CMO personnel shall ensure the request received from the originator clearly identifies the type of audit requested.  The request should also include the information and supporting documentation necessary to complete the audit.  CMO personnel shall prepare the RGCAS in accordance with the applicable MOU.
        4.2.2.  If the applicable MOU does not specify a format for the RGCAS, CMO personnel shall ensure that the request include all of the information required by the MOU.

5.  Develop GQA Surveillance Plans.

    5.1.  (ND) CONUS CMOs shall accomplish surveillance planning in accordance with the GCQA Surveillance Planning instruction.

        5.1.1.  CONUS CMOs shall provide a copy of their surveillance plan when requested in the RGQA.

    5.2.  (ND) OCONUS CMOs shall document and maintain a QA surveillance plan (surveillance plans may be established by facility, program or contract) that include the following information:

        5.2.1.  Copy of the current RGQA, or reference to the applicable RGQA number, and the date the next annual review is due.
        5.2.2.  If applicable, a copy of the current RIAC, or reference to the applicable RIAC number, and the date the next annual review is due.
        5.2.3.  Copy of the HN GQARs surveillance plan, or reference to the current surveillance plan and its location when filed separately from the surveillance plan.
        5.2.4.  Communications with the HN GQAR that relate to discussions on CSI, SOF or non-critical / non-complex low risk items, whether delegated or not.
        5.2.5.  Communications with the HN GQAR that relate to risk / activities not delegated to the HN, including the reason for not delegating.  This includes those risk / activities that were not accepted by the HN.
        5.2.6.  Data analysis strategy, i.e. data to be collected, intervals of collection, method of analysis, and intervals of analysis, and the results of data analysis.
        5.2.7.  Documentation, or reference to the location of documentation generated for determining whether to delegate or not in a fee-for-service environment.
        5.2.8.  Facility-wide and program surveillance plans shall include a list of all applicable contracts.

6.  Execute Surveillance.  When surveillance is delegated to the HN, the HN shall perform the surveillance in accordance with their national practices / procedures.  DCMA is the HN when performing CAS on behalf of another nation.

    6.1.  (ND) DCMA personnel shall maintain continuous communication and work closely with their HN counterparts in establishing a working relationship. This relationship shall provide a vehicle to exchange information or data for evaluating risks, for making future delegation decisions, and for reinforcing confidence in the cooperative contract management program.  Joint CMO / HN visits to supplier facilities should be considered to improve the visibility of risks and to foster communication between the organizations.
    6.2.  (ND) DCMA personnel shall not duplicate surveillance delegated to the HN.
    6.3.  (ND) QA personnel shall perform data analysis in accordance with the Data Collection & Analysis instruction and the strategy established in the surveillance plan.
    6.4.  In a NATO environment, QA personnel shall (Allied Quality Assurance Publication (AQAP) - 2070):

        6.4.1.  Update / revise and forward the revised RIAC to the Delegator when new risk information becomes available, as risk events occur, or based on results of data analysis.
        6.4.2.  When requested by the HN, respond to requests for feedback utilizing the Delegation Feedback Form (NATO DFB Form).  The DFB has been established to assist nations in measuring the implementation of AQAP 2070.  Areas to be addressed and analyzed are provided in Section 4.4 of AQAP 2070.  Feedback may be provided or requested at anytime during the life of the delegation utilizing the DFB.  The DFB shall be sent electronically to the HN's CCP email address.  CMOs shall provide a copy to the DoDCCP at dodccp@dcma.mil.

    6.5.  (ND) In a Non-NATO environment, QA personnel shall update / revise and forward the revised RGQA when new risk information becomes available, as risk events occur, or based on the results of data analysis.
    6.6.  For RGCAS, CMO personnel shall maintain communication with the HN personnel to ensure audit requests will be completed in the timeline requested.  CMO personnel should be aware of any issues that may cause completion of the audit to be delayed. CMO personnel shall assist the HN personnel, if required and shall keep the requestor apprised of the progress of the audit if delays are expected or realized.

7.  Accept / Release Product.

    7.1.  OCONUS QA personnel shall execute the DD Form 250 / RR in accordance with the Product Acceptance instruction upon completion of the requested GQA by the HN.
    7.2.  CONUS QA personnel shall release product as specified in the RGQA.(Allied Quality Assurance Publication (AQAP) - 2070)

8.  Perform Request for CAS Closure.

    8.1.  For RGQAs in a NATO environment, the Government Quality Assurance Closure Report (NATO GQACR Form) form shall be used to communicate the completion of an RGQA (Allied Quality Assurance Publication (AQAP) - 2070).

        8.1.1.  The RIAC shall be revised / updated to include additional risk information and the status of the risks at the completion of the RGQA, and forwarded to the HN CCP with the GQACR.
        8.1.2.  OCONUS CMOs shall follow-up with the HN MoD when RGQAs are known to be completed but a GQACR has not been received.  A DFB shall be forwarded to the HN's CCP when a second request is made for a GQACR indicating a non-response to the first request.  Provide a copy of all DFBs to the DoDCCP at dodccp@dcma.mil.
        8.1.3.  A DFB shall be completed and forwarded to the HN's CCP whenever requested for RGQA closure.  Provide a copy of all DFBs to the DoDCCP at dodccp@dcma.mil. 

    8.2.  (ND) In a Non-NATO environment, communication of RGQA completion shall be in accordance with the applicable MOU, GQA Administrative Procedure / Implementation Plan, or as specified in the RGQA.
    8.3.  For RGCAS, CMO personnel shall:

        8.3.1.  Ensure the audit report provides the information that is being requested.
        8.3.2.  Ensure the audit report includes authorized or restricted distribution instructions.  For support audit requests, communication forwarding the report to the originator shall include whether or not the report may be released outside of Government channels.
        8.3.3.  Forward the report to the originator in accordance with the request.

9.  Document Results.

    9.1.  QA personnel shall prepare and maintain records in accordance with the procedures outlined in the Records Management instruction, the applicable MOU, associated GQA Administrative Procedure / Implementation Plan, and / or as prescribed by AQAP 2070.
    9.2.  QA personnel shall make records available to the HN MoD when requested.  Records containing classified or export-controlled information shall not be released without express written authority.

• Arms Export Control Act (AECA)
• DFARS 246.406, Foreign Governments
• DoD 5105.38M, Security Assistance Management Manual
• DoD Directive 5530.3, International Agreements
• International Agreements
• NATO Standardization Agreement (STANAG) No. 4107
• Allied Quality Assurance Publication (AQAP) - 2070

• Process Indicator/s:
  • TBD
• Workload Indicator/s:
  • TBD
• Resource Indicator/s:
  • TBD
• Supplier Indicator/s:
  • Top 3 Problem Suppliers

• OCONUS personnel shall PLAS to Process Code 008 when:
  • Performing contract technical review to prepare or revise HN delegations
  • Preparing, reviewing or revising a RIAC, RGQA, RGQAR, or GQACR
  • Communicating with the HN MoD via email, telephone or during meetings
• CONUS personnel shall follow the International and Federal Business (Reimbursable and Non-Reimbursable) instruction for PLAS reporting

• NATO RGQA Form
• NATO RIAC Form
• NATO RGQAR Form
• NATO GQACR Form
• NATO DFB Form
• Typical Non-NATO RGQA Form

Host Nation - DCMAI (This is a sub community of the DCMA International Portal)