DOI Contracting Officer S Representative Program

DOI Contracting Officer S Representative Program

DOI Contracting Officer’s Representative Program

Table of Contents

PART I - Introduction

A. Purpose...... 3

B. Authority...... 3

C. Definitions...... 3

D. Applicability...... 4

PART II – COR Certification Program

A. Certification Responsibilities...... 5

B. Certification Requirements...... 5

C. Certification Application Process...... 6

D. Certification Maintenance Requirements...... 6

E. Certification Termination...... 6

PART III – COR Appointment

A. Appointment Responsibilities...... 7

B. Nomination and Appointment Procedures...... 7

C. Appointment Duties...... 8

D. Appointment Termination...... 9

E. Waivers...... 9

F. COR Appointments in Other Agencies...... 10

Table of Contents - Continued

PART IV - Appendices

Appendix 1, Sample of COR Appointment Memorandum...... 11

Appendix 2, Sample of COR Appointment Memorandum...... 14

Appendix 3, Sample of Termination Memorandum to COR...... 21

Appendix 4, Sample of Certificate of Eligibility...... 22

PARTI– Introduction

A. Purpose

  1. The purpose of this manual is to establisha certification program as defined by the Office of Federal Procurement Policy (OFPP)Policy Letter 05-01 and to describe the process to appoint a certified Contracting Officer’sRepresentative (COR). Section II of this document describes the COR certification program and Section III describes the appointment process.
  1. The COR program sets forth minimum acquisition training requirements for all individuals who serve as a COR under a written delegation of authority from a Contracting Officer (CO). This manual also specifies the roles, responsibilities, and limitations of authorities for the various individuals and offices involved with this COR program.
  1. This document provides guidance on implementation of the Service First Initiative.

B. Authorities

  • OFPP Act, as amended (41 U.S.C.§ 433)
  • OFPP Policy Letter No. 05-01 April 15, 2005
  • Federal Acquisition Regulation (FAR) 1.6 and 7.5
  • Department of the Interior Acquisition Regulation (DIAR)1401.670
  • Privacy Act of 1974; Employee Training and Career Development Records--Interior, DOI—76

C. Definitions

  1. Acquisition Career Management Information System (ACMIS): ACMIS is a Government-wide information system managed by the Federal Acquisition Institute that contains education, training and experience information for all acquisition workforce members. ACMIS provides detailed reports to assist managers in short and long term workforce planning.
  1. Assisting Agency: A Department of the Interior (DOI) bureau or office with authority to assist non-DOI agencies by awarding contracts and placing orders on their behalf.
  1. Bureau COR Program Coordinator (BCPC): The designated bureau official responsible for facilitating the COR program and maintaining program records.
  1. Continuous Learning Point (CLP): CLPs are points awarded for successful completion of continuous learning activities. One CLP corresponds generally to one classroom hour and varies for other learning activities, as described in Appendix B of the Office of Federal Procurement Policy’smemorandum dated January 20, 2006, entitled “The Federal Acquisition Certification in Contracting Program.”
  1. Contracting Officer (CO): A Federal employee delegated authority pursuant to FAR 1.6 and the DOI Contracting OfficerAppointment Program to award, administer, and terminate contracts, purchase orders, delivery orders, task orders and modifications; obligate Government funds; and make determinations and findings, all subject to the limitations of his or her Certificate of Appointment.
  1. Contracting Officer’s Representative (COR): A Federal employee appointed in writing,delegated limited responsibilities by a CO to perform specified contract management duties related to technical oversight and administration of a specific contract. Pursuant to FAR 7.503(c)(12),this function must be performed by a Federal employee, although contractors may be used to provide inspection or testing services. For the purpose of this program, the terms COR and Contracting Officer’s Technical Representative (COTR) are interchangeable.
  1. Inspector: A designated individual who has limited quality assurance responsibility to:
  • examine and test contractors’ manufactured supplies or services (including, when appropriate, raw materials, components, and intermediate assemblies);
  • determine whether supplies, services, or construction conform to contract requirements and legal requirements;
  • prepare correspondence, reports of inspections or investigations;
  • make recommendations for administrative or legal authorities, as needed; and
  • inspect Government-owned equipment and materials in the hands of private contractors to prevent waste, damage, theft, and other irregularities.
  1. Requiring Agency: A non-DOI agency that has entered into an agreement with an assisting agency for acquisition services. The requiring agency provides funds for the procurement action(s) and is typically charged a service fee by the assisting agency.
  1. Service First Initiative: The Service First Initiative was established under authority of 43 USC1701. It authorizes specific DOI and Department of Agriculture bureaus and offices to conduct projects, planning, permitting, leasing, contracting and other activities, either jointly or on behalf of one another; to co-locate in Federal offices and facilities leased by an agency of either Department; and to promulgate special rules for issuing unified permits, applications, and leases. The agencies may make reciprocal delegations of their respective authorities, duties and responsibilities in support of the Service First Initiative to promote customer service and efficiency. The Bureau of Land Management, National Park Service, and U.S. Fish and Wildlife Service participate in the initiative.

D. Applicability

This manual applies to all transactions covered by the DOI Contracting OfficerAppointmentProgram guidance. Additionaldepartmental or bureau guidance may apply to CORs in specialized areas such as space leasing, fire, or aviation.

PART II – COR Certification Program

A. Certification Responsibilities

  1. Office of Acquisition and Property Management (PAM) is responsible for issuing written Department-wide policy and procedures that include internal controls for certifications, initial and continuous learning requirements, approval processes, and other necessary support for bureaus to implement this program.
  1. Bureaus and Departmental Officesare responsible for funding, implementing and administering this program within their organization, including,if necessary,any supplemental written guidance detailing internal approvals and selection of any specific training curriculum. Bureaus/Offices shall establish and maintain accurate, current information relative to the training and appointment of CORs in accordance with approved records management practices.
  1. CORsareresponsible for meeting the standards contained herein.

B. Certification Requirements

  1. A candidate must complete 40 hours of basic COR trainingnot more than two years prior to an initial appointment as a COR. Although classroom training is preferred, on-line training through the Federal Acquisition Institute or the DefenseAcquisitionUniversityis acceptable. The training must be comprehensive and specific to COR duties.
  1. All CORsmust complete training in any additional category (e.g., performance based acquisition, strategic sourcing, information technology, construction, Architecture and Engineering (A&E) services) required by the CO in conjunction with the appropriate Project/Program Office. It is strongly recommended that performance based contracting training be completed to fulfill the maintenance training requirements (e.g., writing performance based acquisition statements of work). Additional Departmental or bureau guidance may apply to CORs in specialized areas (e.g. space leasing, fire, or aviation).
  1. Project management certification may be required for certain acquisitions, such as major systems, IT applications, strategic sourcing, and other large and/or complex acquisitions.
  1. Major and/or complex construction contracts may require a construction management degree or certification (or equivalent), engineering degree or architectural degree, based on size and scope.

C. Certification Application Process

  1. Individuals are required tosubmit their completed training certificate(s)and any other bureau-required information to the BCPC, and enter their training information into the ACMIS.
  1. The BCPC determines whether the individual has fulfilled the requirement for an initial 40 hours of basic COR training. If fulfilled, the BCPC may issue a Certificate of Eligibilityor similar document (Appendix 4), or authenticate by other means that certification has been achieved.
  1. Once certified, an individual is eligible for COR appointment. COR certification alone confers no authority, nor does it appoint an individual as a COR. In addition to this certification of training, a CO will assess other suitability factors prior to making an appointment.

D. Certification Maintenance Requirements

  1. Certification is subject to renewal every two years. To maintain certification,a COR must complete a minimum of 40 additional CLPs every two years inacquisition or COR-related training,preferably through a refresher COR training course.
  1. ACOR should not repeat a course until after a minimum of four years has elapsed. Any acquisition-related bureau, Federal, or commercial training course forwhich a certificate of training is issued is acceptable. Acceptable training methods include videotape, CD/DVD, classroom, and on-line courses.
  1. The BCPC is responsible for verifying the applicability and reasonableness of the CLPs.
E. Certification Terminations
  1. When a certified individual leaves a bureau/office, their certification is automatically terminated. If the employee transfers to another bureau/office within DOI, certification may be reinstated there so long as their maintenance training is up to date. When a certified employee leaves a bureau/office, he/shemust notify theBCPC.
  1. Failure to earn the required CLPs will result in terminationof a COR’s certification. Reinstatement of the certification will require a second completion of the initial 40 hours of training and submission of a new application for certification. The BCPC must notify the applicable CO community of certification terminations.

PART III – COR Appointment

Program Offices and their employees serving as CORs must ensure that the contracts they manage provide the products and services negotiated and agreed upon. They must fulfill this duty by adhering to the terms of the contract, the law, and the limits of their delegation of authority from the CO. The COR works in close partnership with, and as a representative of,the CO throughout the performance of the contract.

A. Appointment Responsibilities

  1. COs shall determine the need to appoint a COR to a contract, evaluate the qualifications of an individual to serve as the COR, and provide a written delegation of the COR’s authorities and duties. The CO determines the duration of the appointment and has the right to unilaterally terminate the delegation at any time.
  1. CORsare responsible for completing and maintaining all required training, for entering completed training into ACMIS, and for knowing and adhering to all terms specified in the COR appointment memorandum issued by the CO.
  1. Program Offices are responsible for proactive planning to ensure qualified individuals are available for COR appointment. Program offices are also responsible for nominating only technically competent and qualified individuals to be CORs.
  1. CORs’Supervisors are responsible for understanding the limits of the COR’s authority and verifying that the training requirements are met. The supervisor should consider including COR duties in the individual’s Performance Standards, and may consult the CO for input related to the COR’s performance evaluation.
  1. The BCPC is responsible for providing guidance to the COR and/or to the CO regarding the COR Program; maintaining accurate and current information relative to the certification of CORs in accordance with records management regulations; verifying the applicability and reasonableness of CLPs; and notifying the appropriate CO community of certification terminations.

B. Nomination and Appointment Procedures

  1. The CO will decide whether a COR is necessary to support a specific contract and advise the program office as early into the acquisition process as practical. It is highly recommended that the COR be involved in the acquisition process, i.e., assisting in the development of the technical requirements, the quality assurance plan, and any other pre-award activities. This ensures that the COR is familiar with the requirements of the contract.
  1. Conditions favoring the need for a COR include, but are not limited to: cost type contracts; service contracts; high visibility or otherwise sensitive contracts; large, complex, or high risk awards; awards subject to testing requirements;performance based acquisitions;and awards with performance standards and monitoring requirements. COR appointments are required for: all contracts for A&E services; construction contracts; and contracts performed outside the United States. Appointment of a COR is generally not necessary when oversight duties are limited to verifying the count and quality of delivered end items. COs will appoint an individual to be COR based on his/her determination regarding the technical, professional, and administrative qualifications of the individual. COs may require CORs to complete additional training if deemed necessary for the successful administration of a contract.
  1. Program Offices will submit COR nominations in accordance with bureau procedures. It is acceptable for offices to nominate individuals as primary and alternate CORs in the event the primary COR is unavailable for an extended period. Each individual nominated for appointmentmust be technically and professionally competent, free of conflicts of interest, and qualified to serve as a COR.
  1. The CO will only appoint a certified individual as COR. The CO will define the appointment duration in the written delegation of authority and has the right to terminate the delegation at any time. The COR does not have the authority to re-delegate his or her COR appointment. Appendices 1 and 2 provide sample templates for written appointments and should be tailored to the circumstances of each contract. The memorandum should reflect the degree of involvement needed for effective contract administration of that particular contract, taking into account factors such as contract type, item or service being procured, and the COR’s level of knowledge and experience. The CO’s authority to bind the government may not be delegated to a COR.
  1. The CO must ensure proper distribution of all contract documents and delegations in accordance with FAR Part 4.

C. Appointment Duties

Once appointed, a COR must:

  • know and adhere to the limits of his or her written delegation;
  • perform timely and reasonable monitoring of contract performance;
  • conduct duties in a professional and ethical manner;
  • coordinate inspection and acceptance duties with the Government inspector (if applicable);
  • maintain confidentiality of sensitive information;
  • avoid improper business practices and personal conflicts of interest;
  • provide timely and effective communication with the CO on the status of contract administration;
  • ensure timely and proper inspection, rejection or acceptance, and reporting of deliverables;
  • ensure that all official documentation is provided to the CO for retention in the contract file;
  • process invoices, and record personal property, if any, in accordance with bureau procedures; and
  • adhere to all terms and conditions of the contract.
D. Appointment Termination

The CO is responsible for any decision to terminateCOR authority.

  1. At any time,the CO may unilaterally terminate the appointment of the COR for administrative reasons or for cause and appoint a new COR, if necessary. Such terminations must be in writing and state the effective date of termination. A copy of the termination notice must be forwarded immediately to the contractor after issuance by the CO.
  1. Program Offices may request that the CO terminate the appointment of a COR, but should be prepared to concurrently offer another candidate if a COR is still necessary for the administration of the contract.
  1. Appointment is automatically terminated when the contract for which the appointment was made is completed.

E. Waivers

  1. Upon nomination and justification by the Program Office, the Bureau Procurement Chief (BPC), with the authorityto re-delegate no lower than the Chief of the Contracting Office (CCO), may:
  1. allow appointment without the required training with the understanding that the appointed COR completes all required training within 90 days of appointment; and/or
  1. allow a one-time, contract specific waiver when it is in the best interest of the Government, such as in unusual or emergency situations.
  1. Waivers should rarely be used for COR appointments. A copy of the written waiver, including the rationale for the waiver,must be placed in the contract file and maintained as part of the bureau’s COR records management system. A copyof all waiversmust be provided to PAM during the annual Internal ControlReview. If this waiver authority is re-delegated by the BPC, a copy of all waivers granted by the delegee shall be provided to the BPC.

F. COR Appointments in Other Agencies

  1. COs in DOI assisting agencies may appoint CORs who work for a requiring agency.
  1. The DOI COR Program is the standard for training, appointment designation, and termination of appointment of CORs for contract actions/orders placed on behalf of requiring agencies. A requiring agency’s COR policy may be used in lieu of the DOI COR Program as part of its agreement with the DOI assisting agency. Application of the requiring agency’s COR policy must be noted by the CO in the COR appointmentmemorandum.
  1. When operating under authority of the Service First Initiative, DOI COs may appoint persons holding a Department of Agriculture COR certification as DOI CORs without further documentation or agreement. Persons certified by DOI may also be appointed CORs by Department of Agriculture COs.

APPENDIX 1: Sample of COR Appointment Memorandum - Construction

Tailor to each contract and appointment

Memorandum

To:Name, Title, Location

From:Name of Contracting Officer

Location

Subject:Designation of Contracting Officer's Representative

You are hereby appointed my Contracting Officer Representative for Contract Number [enter contract no.] for [enterProject Title,Location]with responsibility for technical oversight and contract administration and day-to-day inspection of the work to be performed. Your appointment will be in effect until final completion of the project, or terminated or superseded by the Contracting Officer. The authority extended to you may not be re-delegated.

When performing your duties under this appointment, you must be aware of the need to protect the Government's interests, and maintain an impartial, arms-length relationship with the contractor. Avoid any action that places you in a real or apparent conflictofinterest position that may compromise the Department of the Interior’s position or impair public confidence in integrity or independence.

Your responsibilities are limited to the following functions:

  1. Prepare Daily Diaries and forward to the Contracting Officer weekly.
  1. Inspect and accept or reject work and materials.
  1. Ensure compliance with all technical contract terms and conditions.
  1. Interpret specifications and drawings where interpretation does not involve contract cost and time. Any disagreements with the contractor over interpretation of specifications and drawings are to be immediately referred to the Contracting Officer.
  1. Monitor the delivery of government-furnished property; establish an inventory list of the property, set up control requirements; prepare site facilities, and prepare an inspection report.
  1. Prepare and recommend progress payments on a monthly basis as work proceeds.
  1. Stop work if in his/her opinion there is a possibility of significant resource damage or the contractor is commencing unauthorized or unsafe work.
  1. Enforce safety requirements.
  1. Prepare an agency approved Completion Report at the conclusion of the contract work, if necessary. Completion Reports must be forwarded to the appropriate Real Property Officer/Personal Property Officer.
  1. Approve Contractor's and subcontractor's payroll records and forward to the Contracting Officer weekly, or as directed by the Contracting Officer.
  1. Approve or disapprove technical submittals.
  1. Evaluate invoices, progress payment requests, and other requests for payment, and recommend approval or disapproval to the CO.
  1. Conduct "Labor Standards Interviews" in accordance with instructions from the Contracting Officer. All known or suspected violations of the Labor Standards Provisions shall be immediately reported to the Contracting Officer.
  1. Verify the return or disposition of government property.

The Contracting Officer's Representative shall not take the following actions, all of which remain the sole responsibilities of the Contracting Officer:

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