FAR 9.3—Subpart 9.3

Definition.

FAR 9.301 is a narrow definition provision in Subpart 9.3 that explains what the term “approval” means in the context of first article testing. Specifically, it states that approval is the contracting officer’s written notification to the contractor accepting the test results of the first article. This definition matters because it clarifies that approval is not informal agreement, oral acceptance, or a technical team’s recommendation; it is a formal contracting officer action communicated in writing. In practice, the definition establishes the point at which the government has accepted the first article test results for purposes of moving forward under the contract, and it helps avoid disputes over whether testing has been completed satisfactorily. Because the term is limited to this subpart, it should be read as a specialized definition rather than a general FAR-wide meaning of approval.

General.

FAR 9.302 explains the basic purpose and decision framework for first article testing and approval, which the FAR refers to here as "testing and approval." This section covers when and why a contracting officer may require this quality-control step, what it is intended to prove, and the factors the contracting officer must weigh before imposing it. In practical terms, first article testing is used to reduce the Government’s risk that a contractor will deliver a product that does not meet contract requirements, but it can also add cost and delay to performance. The section therefore requires a balanced judgment: the contracting officer must consider the impact on cost and delivery schedule, the risk to the Government of not requiring the test, and whether less costly methods could achieve the same quality assurance objective. For contractors, this means first article requirements can materially affect pricing, production planning, and delivery timelines; for contracting officers, it means the requirement should be justified as a risk-management tool rather than used routinely or automatically.

Use.

FAR 9.303 explains when the Government may use testing and approval—especially first article testing and approval—as a quality-control tool before accepting production items. It identifies the situations in which this extra scrutiny is appropriate: when the contractor has not previously supplied the product to the Government, when a previously supplied product has changed because of process or specification changes, when production has been stopped for a long time, when a prior item had a life-cycle problem, when the requirement is written as a performance specification, or when an approved first article is needed as the manufacturing standard. In practice, this section helps contracting officers decide whether early sample testing is justified to reduce technical risk, verify that the contractor can meet requirements, and establish a reliable baseline for future production. It also signals to contractors that first article approval may be required even if they have produced similar items before, depending on changes, gaps in production, or prior performance issues. The section is about when testing and approval are appropriate; it does not itself prescribe the detailed procedures for conducting first article testing, which are addressed elsewhere in the FAR and contract clauses.

Exceptions.

FAR 9.304 explains when the government does not normally require testing and approval before award or acceptance of products. It covers four exception categories: research or development items, products that must be qualified before award because a qualified products list or similar qualification system applies, products normally sold in the commercial market, and products already governed by complete and detailed technical specifications. The section also includes an important qualifier for the specification-based exception: if the requirements are so novel or exacting that it is doubtful the product will meet them without testing and approval, the exception should not be relied on. In practice, this provision helps contracting officers avoid unnecessary qualification burdens where market forces, existing qualification systems, or detailed specs already provide adequate assurance of suitability. It also signals that testing and approval should be used selectively, based on the nature of the requirement and the risk that the product may not perform as needed.

Risk.

FAR 9.305 explains who bears the financial risk when a contractor starts buying materials, components, or production work before first article approval, and how that risk can be reduced or shifted in limited circumstances. It covers the general rule that the contractor acts at its own risk before first article approval, the contracting officer’s duty to build enough time into the delivery schedule for material acquisition and post-approval production, and the exception that allows the Government to authorize early purchase of specific materials/components or early production when schedule needs make that necessary. It also identifies the contract clause alternates that implement this authority—Alternate II of FAR 52.209-3 and 52.209-4—and states the cost treatment for authorized early work. In practice, this section matters because first article contracts often create a timing gap between award and approval, and contractors need to know which pre-approval costs may be recoverable and which remain entirely at their own risk. Contracting officers need to manage schedule realism and, when necessary, use the clause authority carefully to avoid disputes over allowability, allocability, and termination settlement treatment.

Solicitation requirements.

FAR 9.306 tells contracting officers what must be included in solicitations when a procurement includes a first article testing and approval requirement. It covers both contractor-performed and Government-performed first article testing, including the performance characteristics the first article must meet, the detailed test requirements or tests to be performed, and the data that must be submitted in the approval report when the contractor performs the testing. It also requires solicitations to tell offerors when the first article requirement may be waived based on prior deliveries of identical or similar supplies, to allow alternative offers with and without first article testing when eligible, and to clearly explain how the first article relates to the contract quantity. The section further addresses delivery schedules for production quantities and, when applicable, the first article itself, including the rule that earlier delivery for waived testing cannot be used as an evaluation factor. In addition, solicitations must require submission of contract numbers to prove waiver eligibility, state whether the approved first article will become the manufacturing standard, include the Government’s estimated testing costs when Government testing is used and that cost is relevant to evaluation, and warn offerors that separately priced first article items or tests must not be materially unbalanced relative to production quantities. In practice, this section is about making the solicitation complete and fair so offerors can price accurately, understand waiver opportunities, and compete on a level playing field while the Government protects itself from defective or nonconforming production.

Government administration procedures.

FAR 9.307 sets out the government-side administration steps for first article approval when a contract requires first article testing or evaluation. It covers the pre-shipment notification the contract administration office must give to the government laboratory or other approving activity, including advising that activity of the testing or evaluation requirements, pointing out the contractor’s notice obligations under the applicable first article clause, and asking for an estimated completion date. It also covers the post-test communication chain: the testing or evaluation activity tells the contracting office whether the first article is approved, conditionally approved, or disapproved; the contracting officer then notifies the contractor and sends a copy to the contract administration office. The section further requires the notice to identify the first article shipment number when available and the applicable line item number. Finally, it makes clear that any needed changes to drawings, designs, or specifications must be made through the Changes clause, not through the approval notice itself. In practice, this section exists to keep first article actions coordinated, ensure the right offices are informed at the right time, and prevent approval notices from being used to make unauthorized contract changes.

Contract clauses.