this session is sponsored by the federal acquisition institute the primary organization providing...

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/otis.langford@fai.gov

Thank you

Otis Langford

FAR Part 16.602