Ensure DCMA adhers to the provisions and processes of
the applicable agreement, MOU, and/or NATO Standardization Agreement
(STANAG) when performing contract administration services (CAS) on behalf of
another Nation, or when requesting another nation to perform CAS on behalf
of the US
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
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
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
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
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.
Asking a NATO member nation to
perform quality assurance; or
Performing quality assurance when
requested by a NATO member nation or NATO organization.
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
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
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.
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
Delegate quality assurance to the
host government when satisfactory services are available.
DCMA shall follow the processes, procedures, terms, and conditions of
the individual MOU, and any established GQA Administrative or Implementation
requesting GQA from or when performing
GQA requested by:
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
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
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 accepted or rejected. If
rejected, reason for rejection
If not delegated, reason for not
Special requirements, i.e., ITAR,
CSI, SOF, etc.
Associated surveillance plan
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
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.
3.1.1. 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
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
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.
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
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).
International and Federal Business
(Reimbursable and Non-Reimbursable) Instruction for additional
requirements and guidance on foreign requests for CAS.
220.127.116.11. The DoDCCP shall determine if the request is
reimbursable or at no charge and will forward the request to the applicable 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):
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. 18.104.22.168.
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. 22.214.171.124. Request HN GQAR to contact the DCMA QAR
prior to issuing delegations for CSI to the next sub-tier QAR. 126.96.36.199.
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. 188.8.131.52.
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. 184.108.40.206.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.
shall be revised as changes to requested GQA services occur; however, as a
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.
CMOs shall provide a copy of their surveillance plan when requested in the
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. Thisincludes 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
(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.
7.1. OCONUS QA personnel shall execute the DD Form 250
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)
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 email@example.com. 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 firstname.lastname@example.org.
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
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.
9.1. QA personnel shall prepare
and maintain records in accordance with
the procedures outlined in the
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.
Current DCMA QA certification requirements are addressed in the
Competencies and Certification. CMOs may authorize personnel to perform
tasks for which they are qualified whether or not the individual meets
Prior to assigning QA personnel to work this process, the first
level supervisor is responsible to ensure QA personnel are qualified to
perform the tasks defined in this policy as it relates to the assigned
facility, contract, or product.
Agreements / International Memorandum of Understanding (MOU) / Host
Nation Contract Administration Services (Host CAS) Training Matrix
Based Training (CBT)
(Commercial, College/ Vocational)
(The task is wholly enabled by the
contents of the instruction and requires no training intervention)