FAR 52.209-4—First Article Approval-Government Testing.
Plain-English Summary
FAR 52.209-4, First Article Approval—Government Testing, sets out the rules for when a contractor must submit a first article to the Government for testing before full production or delivery proceeds. It covers the delivery of the first article to a named test facility, required shipping documentation, the Government’s obligation to approve, conditionally approve, or disapprove the item within a stated time, and the effect of those decisions on the contractor’s performance obligations. The clause also addresses what happens if the first article is disapproved, including resubmission, contractor-borne testing costs, possible equitable adjustments, and the default consequences of late delivery or disapproval. It explains whether an approved first article may be used as part of the contract quantity, who pays to remove and dispose of test articles, and what happens if the Government misses its decision deadline. The clause further allocates risk before approval, including responsibility for operating and maintenance support during testing, limits on progress payments and termination settlement costs, and the Government’s ability to waive first article testing when the contractor has previously furnished acceptable identical or similar supplies. The alternates add two important variations: Alternate I requires the first article and production quantity to be made at the same facility, and Alternate II lets the Contracting Officer authorize early material acquisition or production and changes the cost-allocation and corrective-action rules if the first article fails.
Key Rules
Deliver first article on schedule
The contractor must deliver the required number of first article units, identified by lot/item, to the designated Government test facility within the specified calendar days. The shipping documents must identify the contract number and lot/item so the Government can track the submission.
Government must act promptly
After receipt, the Contracting Officer must notify the contractor in writing of conditional approval, approval, or disapproval within the stated time. A conditional approval must identify any remaining actions, and a disapproval must state the reasons.
Approval does not waive compliance
Even if the first article is approved or conditionally approved, the contractor remains responsible for meeting all specification requirements and all other contract terms. First article approval is not a blanket acceptance of the production item or a release from contract compliance.
Disapproval triggers resubmission and contractor cost
If the first article is disapproved, the Government may request another first article. The contractor must make needed changes, repairs, or substitutions, and all related testing costs, including additional tests after disapproval, are borne by the contractor unless the contract provides otherwise.
Late delivery or disapproval can be default
Failure to deliver the first article on time, or disapproval of the first article, is treated as a failure to make delivery for purposes of the Default clause. This gives the Government a potential basis for termination or other default remedies.
Approved article may or may not count as production
Unless the contract says otherwise, the contractor may deliver the approved first article as part of the contract quantity if it still meets all acceptance requirements and was not consumed or destroyed in testing. The contractor must also remove and dispose of the test article at its own expense.
Government delay can require equitable adjustment
If the Government does not act within the required time, the contractor may submit a timely written request for an equitable adjustment to delivery dates, performance dates, price, or other affected terms. The adjustment is made under the Changes clause.
Contractor supports the test article
The contractor is responsible for operating and maintenance instructions, spare parts support, and repair of the first article during testing. This ensures the test article can be evaluated under realistic conditions.
Pre-approval production is at contractor risk
Before first article approval, the contractor bears the risk of buying materials or starting production for the balance of the contract quantity. Under the basic clause, those costs are not allocable to progress payments or convenience termination settlements before approval.
Waiver may be available
The Government may waive first article testing if identical or similar supplies previously furnished by the offeror or contractor were accepted by the Government. The contractor may request the waiver, but the Government decides whether to grant it.
Alternate I requires same facility production
When Alternate I is used, the contractor must produce both the first article and the production quantity at the same facility. This helps ensure the approved configuration and manufacturing process match the production source.
Alternate II allows limited early authorization
Under Alternate II, the Contracting Officer may authorize early acquisition of specific materials or components, or limited production, when needed to meet delivery schedules. Costs incurred under that authorization, and first article costs, may be allocable before approval, but if the first article fails, the contractor may have to correct or replace all items at no change in price.
Responsibilities
Contracting Officer
Specify the number of first article units, delivery date, test facility, and decision deadline in the contract; receive and evaluate the first article; issue written approval, conditional approval, or disapproval with reasons; request additional first articles if needed; decide whether to waive first article testing; process timely requests for equitable adjustment when Government delay occurs; and, under Alternate II, issue written authorization for limited early material acquisition or production.
Contractor
Deliver the first article on time with proper identification; ensure the article meets the contract’s technical requirements; respond to conditional approval or disapproval by making required changes, repairs, or substitutions; bear testing costs after disapproval; provide operating and maintenance instructions, spare parts support, and repair during testing; remove and dispose of the test article unless the contract says otherwise; avoid premature production at its own risk unless authorized under Alternate II; and request waiver or equitable adjustment in writing when appropriate.
Government test facility
Receive the first article, conduct the required tests, and support the Government’s evaluation process. The facility must handle the article in accordance with the contract’s testing requirements and the Government’s decision timeline.
Offeror/Contractor seeking waiver
Demonstrate that identical or similar supplies previously furnished were accepted by the Government and request waiver of first article approval when eligible. The contractor must provide enough information for the Government to determine whether waiver is appropriate.
Practical Implications
This clause is a major schedule and cash-flow risk point because production before approval is generally at the contractor’s risk, and in the basic clause those costs are not protected in progress payments or convenience termination settlements before approval.
Contractors should treat the first article as a controlled prototype, not as a production unit, because approval does not excuse later noncompliance and disapproval can trigger default exposure.
The Government’s response deadline matters: if the Government misses it, the contractor must make a timely written request to preserve the right to an equitable adjustment.
Documentation is critical. Missing contract numbers, lot/item identification, or unclear test-facility shipping records can create avoidable disputes about delivery and receipt.
Under Alternate II, early authorization can reduce schedule risk, but contractors should read the written authorization carefully because only the authorized costs get special treatment, and a failed first article can still require costly rework or replacement at no change in price.
Waiver requests can save time and money, but they are not automatic; contractors should be prepared to show prior accepted deliveries that are truly identical or sufficiently similar to justify waiver.
Official Regulatory Text
As prescribed in 9.308-2 (a) and (b), insert the following clause: First Article Approval-Government Testing (Sep 1989) [ Contracting Officer shall insert details ] (a) The Contractor shall deliver ___ unit(s) of Lot/Item ___ within ____ calendar days from the date of this contract to the Government at ______ [ insert name and address of the testing facility ] for first article tests. The shipping documentation shall contain this contract number and the Lot/Item identification. The characteristics that the first article must meet and the testing requirements are specified elsewhere in this contract. (b) Within _____ calendar days after the Government receives the first article, the Contracting Officer shall notify the Contractor, in writing, of the conditional approval, approval, or disapproval of the first article. The notice of conditional approval or approval shall not relieve the Contractor from complying with all requirements of the specifications and all other terms and conditions of this contract. A notice of conditional approval shall state any further action required of the Contractor. A notice of disapproval shall cite reasons for the disapproval. (c) If the first article is disapproved, the Contractor, upon Government request, shall submit an additional first article for testing. After each request, the Contractor shall make any necessary changes, modifications, or repairs to the first article or select another first article for testing. All costs related to these tests are to be borne by the Contractor, including any and all costs for additional tests following a disapproval. The Contractor shall furnish any additional first article to the Government under the terms and conditions and within the time specified by the Government. The Government shall act on this first article within the time limit specified in paragraph (b) of this clause. The Government reserves the right to require an equitable adjustment of the contract price for any extension of the delivery schedule or for any additional costs to the Government related to these tests. (d) If the Contractor fails to deliver any first article on time, or the Contracting Officer disapproves any first article, the Contractor shall be deemed to have failed to make delivery within the meaning of the Default clause of this contract. (e) Unless otherwise provided in the contract, the Contractor- (1) May deliver the approved first article as a part of the contract quantity, provided it meets all contract requirements for acceptance and was not consumed or destroyed in testing; and (2) Shall remove and dispose of any first article from the Government test facility at the Contractor’s expense. (f) If the Government does not act within the time specified in paragraph (b) or (c) of this clause, the Contracting Officer shall, upon timely written request from the Contractor, equitably adjust under the Changes clause of this contract the delivery or performance dates and/or the contract price, and any other contractual term affected by the delay. (g) The Contractor is responsible for providing operating and maintenance instructions, spare parts support, and repair of the first article during any first article test. (h) Before first article approval, the acquisition of materials or components for, or the commencement of production of, the balance of the contract quantity is at the sole risk of the Contractor. Before first article approval, the costs thereof shall not be allocable to this contract for (1) progress payments, or (2) termination settlements if the contract is terminated for the convenience of the Government. (i) The Government may waive the requirement for first article approval test where supplies identical or similar to those called for in the schedule have been previously furnished by the Offeror/Contractor and have been accepted by the Government. The Offeror/Contractor may request a waiver. (End of clause) Alternate I (Jan 1997) . As prescribed in 9.308-2 (a)(2) and (b)(2), add the following paragraph (j) to the basic clause: (j) The Contractor shall produce both the first article and the production quantity at the same facility. Alternate II (Sept 1989) . As prescribed in 9.308-2 (a)(3) and (b)(3), substitute the following paragraph (h) for paragraph (h) of the basic clause: (h) Before first article approval, the Contracting Officer may, by written authorization, authorize the Contractor to acquire specific materials or components or to commence production to the extent essential to meet the delivery schedules. Until first article approval is granted, only costs for the first article and costs incurred under this authorization are allocable to this contract for (1) progress payments, or (2) termination settlements if the contract is terminated for the convenience of the Government. If first article tests reveal deviations from contract requirements, the Contractor shall, at the location designated by the Government, make the required changes or replace all items produced under this contract at no change in the contract price.