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This session is sponsored by the
Federal Acquisition Institute
The primary organization providing knowledge and support to the federal civilian acquisition
workforce.
For more information about FAI, please visit our website at www.fai.gov
Contracting Officer Technical Representative:
What you need to know to be successful
Otis W. Langford, Jr.Learning & Training ManagerFederal Acquisition Institute
GSA Training Conference
and Expo 2010
OverviewBy the end of this session, you will be
able to:
• Review COTR related regulations
• Explain the duties and responsibilities of a COTR
• Review the key roles in the procurement process
• Review key ethics rules
4
Complicated Environment
The Federal Workforce is:
Procurement Workforce 2008Total:91,000Total:91,000
Gender:53% female47% male
Gender:53% female47% male
Ave Salary Range:
$43-79K
Ave Salary Range:
$43-79KCollege Grads: 59%College Grads: 59%
Ave Age:
48
Ave Age:
48
Ave grade:GS 11
Ave grade:GS 11
Organization:54% DoD46% Civilian
Organization:54% DoD46% Civilian
Where Are the Buyers?Contract SpecialistsDC Metro 21%Philadelphia Metro 5%Huntsville AL 3%New York Metro 3%Norfolk Metro 3%Dayton, OH 2%Other 63%(including Albuquerque, Atlanta, Boston, Chicago, Denver)
Purchasing SpecialistsDC Metro 12%Norfolk Metro3%San Diego Metro 2%Baltimore Metro 2%Philadelphia Metro 2%Other 79%(including Phoenix, Portland, San Francisco, St. Louis)
General Business and IndustryDC Metro 17%Norfolk Metro3%St. Louis3%New York Metro 2%Dallas Metro 2%Other 73%(Including: Atlanta, Boston, Los Angeles, Nashville)
• Traditionalists (born <1946)
• Boomers (born 1946-64)• Gen Xers (1965-81) • Millennials (>1982)
The Workforce is more complex,
multiple generations, and more diverse
CongressOffice of Federal
Procurement Policy
Department
Of Commerce
PresidentStatutes Initiatives
Department of
Defense
General Services
Administration
National Aeronautics
&Space Administration
Federal Acquisition Regulation
Department of
Labor
Small Business
Administration
The Procurement System
“But I have only served as the COTR for less than a year”
Authority:• OFPP Memorandum, dated Nov 26, 2007,
The Federal Acquisition Certification for Contracting Officer Technical Representatives, establishes:• A structured training program• All COTRs must be certified and must
maintain their currency• The Chief Acquisition Officer of each
agency is responsible for the certification program policies and programs.
A COTR is…
…a non-contracting person who is given
the chief role in the technical monitoring
and administrative aspects of a statement
of work or specification of contract.
COTR Eligibility:
Must be a Federal employee Must have necessary technical
expertise Must meet training and certification
requirements Must satisfy agency ethics training
requirements
On-Line, Free, Self-Paced, Continuous Learning Modules: http://clc.dau.mil/ or www.fai.gov – CLC 106 COR with a Mission Focus– CLC 013 Performance Based Services Acquisition– CLM 013 Work Breakdown Structure– CLE 003 Technical Reviews– CLC 004 Market Research– CLM 012 Scheduling– CLC 007 Contract Source Selection– CLB 018 Earned Value and Financial Mgt Reports
What are the COTR Certification Requirements?
Continuous Leaning –40 CLPs every 2 years Initial Training –
40 hours
FAC-COTR Program
OFPP November 2007 Memorandum –
“The Federal Acquisition Certification for
Contracting Officer Technical Representatives”
I understand your position, but in case your friend ask may I count on your support?”
I understand your position, but in case your friend ask may I count on your support?”
Now that we are certified, I can’t wait for my first appointment.
Now that we are certified, I can’t wait for my first appointment.
How is the COTR Appointed?
Program Office:Program Office: • Nominates technical expert
Nominee:Nominee:• Accepts and signs appointment letter
CO:CO:• Verify eligibility• Appoints in writing
The source of the COTR’s authority is defined in the Letter of Appointment from the Contracting Officer or in specific provisions of the contract.
COTRs are appointed: When technical guidance is needed for a contract When testing approval is required When continuous surveillance of the contractor's work is required To perform inspection functions
COTRs are appointed: When technical guidance is needed for a contract When testing approval is required When continuous surveillance of the contractor's work is required To perform inspection functions
When Does the COTR Appointment End?
• Contract is successfully brought to closure
• COTR leaves agency due to retirement or transfer
• CO revokes delegation in writing
COR Duties: ….Number 1 is you should:
Read
The
Contract!
COTR Duties• Know the contract • Work with your contractors• Provide technical direction and guidance• Liaison on technical matters between the KO
and the contractor• Support the mission and recommend changes
to the KO• Monitor and evaluate performance• Ensure satisfactory, timely, delivery within the
financial constraints of the contract
Limits of COTR AuthorityCOTRs are prohibited from:COTRs are prohibited from:
Committing to a change in price, performance, quality, quantity, or delivery
Providing guidance that changes scope or terms of contract
Directing Contractors how they will perform work
Disclosing source selection information
What are the Attributes of a Successful COTR?
Technical expertise skills
Familiarity with procurement
Communication skills
Organizational skills
COTR Business Competencies Attention to Detail Decision-Making Flexibility Planning and Evaluating Problem Solving Project Management Reasoning Self-Management /
Initiative
Influencing / Negotiating Integrity / Honesty Interpersonal Skills Oral Communication Teamwork Writing
1. Which office determines the agency’s need for a solicitation?
Office of the Contracting Officer The Program Office Office of the Chief Financial Officer The Acquisition Workforce Office
1. Which office determines the agency’s need for a solicitation?
Office of the Contracting Officer The Program Office Office of the Chief Financial Officer The Acquisition Workforce Office
1. Which office determines the agency’s need for a solicitation?
Office of the Contracting OfficerThe Program OfficeOffice of the Chief Financial OfficerThe Acquisition Workforce Office
1. Which office determines the agency’s need for a solicitation?
Office of the Contracting OfficerThe Program OfficeOffice of the Chief Financial OfficerThe Acquisition Workforce Office
The Program Office determines the agency’s need for a solicitation.
The Program Office: Is responsible for decisions on:
oWhat to buy oWhen to buy
Program personnel use the contracting process to:
Accomplish their programsSupport the Contracting Officer
The Program Office: Is responsible for decisions on:
oWhat to buy oWhen to buy
Program personnel use the contracting process to:
Accomplish their programsSupport the Contracting Officer
The Program Manager forms a team consisting of all those who will be responsible for significant aspects of the acquisition.
The acquisition planning team: Ensures the Government needs are met:
oEffectivelyoEconomicallyoTimely manner
Promotes and prescribes use of:o Commercial itemsoNon-developmental itemsoFull and open competition
Identifies strategy and Statement of Need
The acquisition planning team: Ensures the Government needs are met:
oEffectivelyoEconomicallyoTimely manner
Promotes and prescribes use of:o Commercial itemsoNon-developmental itemsoFull and open competition
Identifies strategy and Statement of Need
Procurement Roles: Responsibility:
Contracting Officer Obligates the Government
Program Office Prepares acquisition plan and evaluation factors
Contract Specialist Perform procurement duties and COTR
Procurement Roles: Responsibility:
Contracting Officer Obligates the Government
Program Office Prepares acquisition plan and evaluation factors
Contract Specialist Perform procurement duties and COTR
The Contract Specialist and COTR are key team members.
COTR acts as a Liaison
COTR communicates orally and in writing with:
Contracting OfficerProgram ManagerContractorGovernment personnelEnd-users
COTR communicates orally and in writing with:
Contracting OfficerProgram ManagerContractorGovernment personnelEnd-users
Putting the Pieces Together
Planning
Evaluation
AdministrationCloseout
COTR Involvement in Acquisition Process
COTR may COTR may
participate participate
in ALL in ALL
phasesphases
COTR offers support in:• Defining technical requirements• Developing acquisition plan• Conducting market research• Developing Independent
Government Cost Estimate (IGCE)• Developing source selection
factors
• Developing Quality Assurance Surveillance Plan (QASP)
• Considering government property issues
• Selecting appropriate contract type• Responding to solicitation
questions• Providing suggested sources
Acquisition Planning and Proposal Solicitation
COTR during the planning phase provide: Provides the IGCE Provides the sources on GSA Schedules for the Procurement Request package Use the Central Contractor Registration system for verifying and obtaining vendor information Prepare and submit a JOFOC for sole source or brand name requests Perform market research Perform pre-award debriefings
COTR during the planning phase provide: Provides the IGCE Provides the sources on GSA Schedules for the Procurement Request package Use the Central Contractor Registration system for verifying and obtaining vendor information Prepare and submit a JOFOC for sole source or brand name requests Perform market research Perform pre-award debriefings
COTR during the pre-award phase provide: Provide the IGCE Provide the sources on GSA Schedules for the Procurement Request package Use the Central Contractor Registration system as the primary source for verifying and obtaining vendor information Prepare and submit a JOFOC for sole source or brand name requestsPerform market research Perform pre-award debriefings
COTR during the pre-award phase provide: Provide the IGCE Provide the sources on GSA Schedules for the Procurement Request package Use the Central Contractor Registration system as the primary source for verifying and obtaining vendor information Prepare and submit a JOFOC for sole source or brand name requestsPerform market research Perform pre-award debriefings
2. Acquisition plans must be completed and approved before which of the following occur?
Release or issue the solicitationNotifying the Contracting Officer Transfer of funds within or outside the Agency Begin the Independent Government Cost Estimate
2. Acquisition plans must be completed and approved before which of the following occur?
Release or issue the solicitationNotifying the Contracting Officer Transfer of funds within or outside the Agency Begin the Independent Government Cost Estimate
2. Acquisition plans must be completed and approved before which of the following occur?
Release or issuance of a solicitation Notifying the Contracting Officer Transfer of funds within or outside the Agency Beginning the Independent Government Cost Estimate
2. Acquisition plans must be completed and approved before which of the following occur?
Release or issuance of a solicitation Notifying the Contracting Officer Transfer of funds within or outside the Agency Beginning the Independent Government Cost Estimate
The acquisition plans must be completed and approved before:
Release or issuance of a solicitation Transfer of funds within or outside the Agency
The acquisition plan must: Include all proposed contractual actions Document the annual budget Demonstrate how each contractual action will meet objectives
The acquisition plan must: Include all proposed contractual actions Document the annual budget Demonstrate how each contractual action will meet objectives
Acquisition Plan Elements
1. Acquisition Background and Objectives
2. Plan of Action
Statements of need (what it is) Applicable conditions Cost Capability or performance characteristics Delivery or performance-period requirements
Sources Competition Source selection procedures Contracting considerations Budgeting and funding Product descriptions Priorities, allocations, and allotments
Conduct Market Research
Conduct Market Research
COMPETITION IS KING! FIND OUT WHATS OUT THERE!
COTRs are responsible for: Ongoing market research for changes in:
o Market conditionso Technologyo Socioeconomic opportunities
Technical information on product availability and industry capability, including:
o Competitive market forceso Alternative sources
COTRs are responsible for: Ongoing market research for changes in:
o Market conditionso Technologyo Socioeconomic opportunities
Technical information on product availability and industry capability, including:
o Competitive market forceso Alternative sources
Proposal Evaluation and Post Award Orientation
During proposal evaluation, COTRs:• Apply non-price factors in evaluating proposals• Provide technical support in negotiations• Document evaluation results and reasoning
After contract has been awarded, COTRs:• Participate in post-award orientation meetings• Provide support in protests
• Select team, tailored for the particular acquisition to ensure a comprehensive evaluation of offers Select the source or sources Approve the source selection strategy Ensure consistency among the:
o Solicitation requirementso Proposal preparation instructionso Evaluation factors and sub-factorso Solicitation provisions or contract clauses
• Select team, tailored for the particular acquisition to ensure a comprehensive evaluation of offers Select the source or sources Approve the source selection strategy Ensure consistency among the:
o Solicitation requirementso Proposal preparation instructionso Evaluation factors and sub-factorso Solicitation provisions or contract clauses
Conduct Source Selection Process
Debriefing information shall include: Evaluation of the weaknesses/ deficiencies Successful offeror’s overall evaluated cost or price and technical rating Overall ranking of all offerors Summary of rationale for award Make/model of commercial item to be delivered Reasonable responses to relevant questions
Debriefing information shall include: Evaluation of the weaknesses/ deficiencies Successful offeror’s overall evaluated cost or price and technical rating Overall ranking of all offerors Summary of rationale for award Make/model of commercial item to be delivered Reasonable responses to relevant questions
Request for Debrief
Post-award Conference
COTR prepares and submits management plan to Contracting Officer
COTR prepares and submits management plan to Contracting Officer
Contracting Officer calls together the Government acquisition team to discuss its own issues and plan a coordinated and cohesive presentation
Contracting Officer calls together the Government acquisition team to discuss its own issues and plan a coordinated and cohesive presentation
Contracting Officer and COTR meet with contractor at the Post-Award Orientation Conference before work begins to ensure mutual understanding
Contracting Officer and COTR meet with contractor at the Post-Award Orientation Conference before work begins to ensure mutual understanding
Contract AdministrationIn administering a contract, COTRs:
• Serve as liaison on technical matters between CO and Contractor
• Submit tasks to request work under contract
• Monitor and evaluate Contractor performance
• Ensure satisfactory and timely delivery
• Recommend contract changes to CO
• Document and communicate Contractor performance to CO
Contract Management Plan
The contract management plan ensures: Proper monitoring of the contract Timely:
o Processing of required documentso Notice of contractor employee statuso Advice and recommendations
The contract management plan ensures: Proper monitoring of the contract Timely:
o Processing of required documentso Notice of contractor employee statuso Advice and recommendations
Contract Management File
Contract management file should include:
Authorities in appointment letter Schedule obligations of contractor and Government Waiver conditionsModifications
Contract management file should include:
Authorities in appointment letter Schedule obligations of contractor and Government Waiver conditionsModifications
Conduct performance assessments and evaluations
Manage Performance• Conduct a post-award kick-off meeting• Ensure all parties including the Program
Manager understands contract administration roles and responsibilities
• Conduct performance assessments and performance evaluations
• Manage the contract to obtain results!
Final AcceptanceThe COTR must ensure that the work performed under the contract is measured against the Statement of Work.
If performance does not meet contract requirements, it is incumbent upon the COTR to:
• Identify deficiencies • Advise the Contracting Officer immediately so that remedial action can be taken before final payment and contract closeout occurs
Final acceptance of the services or products by the agency concludes performance by the contractor, except for administrative details relating to contract closeout.
Performance Evaluations
COTR Termination Notice
COTR termination notice: Executed by the Contracting Officer Documented in writing Specifies:
o Relevant contracto Effective date of termination
Provided to:o COTRo Contractor
COTR termination notice: Executed by the Contracting Officer Documented in writing Specifies:
o Relevant contracto Effective date of termination
Provided to:o COTRo Contractor
Termination of COTR Duties and
Responsibilities
Effective Date: _____
_______________Contracting Officer
Termination of COTR Duties and
Responsibilities
Effective Date: _____
_______________Contracting Officer
Contract Administration Program
Contract CloseoutTo close out a contract, COTRs:
• Review proposed settlements
• Account for government property
• Monitor cleanup of construction site
• Review contract management file for completeness
• Conduct performance evaluation
• Ensure verification, inspection, and acceptance Ensure appropriate funding
Final PaymentWhen can final payment be made to a contractor?
When the Contracting Office accepts the goods or servicesWhen all issues concerning Government property are resolvedWhen all inventions conceived under the contract are registeredWhen the QASP is delivered When all technical and progress reports are submitted When final technical acceptance is received When all financial information is submitted
When can final payment be made to a contractor? When the Contracting Office accepts the goods or servicesWhen all issues concerning Government property are resolvedWhen all inventions conceived under the contract are registeredWhen the QASP is delivered When all technical and progress reports are submitted When final technical acceptance is received When all financial information is submitted
Final PaymentWhen can final payment be made to a contractor?
When the Contracting Officer accepts the goods or services When all issues concerning Government property are resolvedWhen all inventions conceived under the contract are registeredWhen the QASP is deliveredWhen all technical and progress reports are submittedWhen final technical acceptance is receivedWhen all financial information is submitted
When can final payment be made to a contractor?When the Contracting Officer accepts the goods or services When all issues concerning Government property are resolvedWhen all inventions conceived under the contract are registeredWhen the QASP is deliveredWhen all technical and progress reports are submittedWhen final technical acceptance is receivedWhen all financial information is submitted
Final AuditsA contract is considered closed when:• Required products or services have been delivered, inspected, and accepted • Administrative tasks have been finalized• Existing options periods have expired
OR
• Notice has been issued to the contractor that the contract termination has been completed
Ethical Dilemmas• The position of COR places special
trust and responsibility upon you
• A few examples where your ethical behavior will be tested include: Offer of gifts or gratuities Attempt to exert undue influence
EthicsAvoid even the appearance of anything less
than complete integrity, objectivity, and impartiality
Legislation and policy can’t force ethical behavior
COTR EthicsBeing in position of special trust and responsibility, COTRs must:
• Treat Contractor impartially• Avoid conflicts of interest
• Ensure fair acquisition processes are in place• Resist and report bribes and gratuities• Avoid the appearance of unethical activities
Report suspicions of fraud
Typical indicators of fraud (i.e., grounds for reasonable suspicion) include:
False invoices Cost mischarging on cost reimbursement contracts Falsification of records and test results Product substitution False or misleading technical progress reports
Typical indicators of fraud (i.e., grounds for reasonable suspicion) include:
False invoices Cost mischarging on cost reimbursement contracts Falsification of records and test results Product substitution False or misleading technical progress reports
I don’t think this milestone is even possible in this timeframe with the two rounds of product testing called for in the product spec.
I don’t think this milestone is even possible in this timeframe with the two rounds of product testing called for in the product spec.
To avoid conflicts of interest, a COTR must NOT:
• Accept gifts Engage in contracts in which there is a financial interest or potential for personal gain Use their position to obtain private gain for self, family or friends Share workspace with or closeness to contractors Direct contractor performance Commit acts of deceit, trickery, concealment, or breach of confidence.
• Accept gifts Engage in contracts in which there is a financial interest or potential for personal gain Use their position to obtain private gain for self, family or friends Share workspace with or closeness to contractors Direct contractor performance Commit acts of deceit, trickery, concealment, or breach of confidence.
Federal Acquisition Institute Website
www.fai.gov
Acquisition Community Connection
https://acc.dau.mil/CommunityBrowser.aspx?id=1
Acquisition Career Management Information System
www.fai.gov/acm/acmis.asp
EXIT TICKET
• What was or was not beneficial about this training content?
• Was the Facilitator effective?
• How can this training be improved?
77
Contact Us:Contact Us:Federal Acquisition Institute
9820 Belvoir RoadFort Belvoir, VA 22060-5565Building 205, first floor, west wing
For General Inquiries:For General Inquiries:Call: (703) 805-2300Call: (703) 805-2300Fax: (703) 805-2111Fax: (703) 805-2111
Please visit us at Please visit us at www.FAI.gov
Otis Langford/[email protected]
Thank you
Otis Langford
FAR Part 16.602
