1. 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

2. Contracting Officer Technical Representative: What you need to know to be successful Otis W. Langford, Jr. Learning & Training Manager Federal Acquisition Institute GSA Training Conference and Expo 2010

3. Overview By 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. 4 Complicated Environment

5. The Federal Workforce is:

6. Procurement Workforce 2008 Total: 91,000 Total: 91,000 Gender: 53% female 47% male Gender: 53% female 47% male Ave Salary Range: $43-79K Ave Salary Range: $43-79K College Grads: 59% Ave Age: 48 Ave Age: 48 Ave grade: GS 11 Ave grade: GS 11 Organization: 54% DoD 46% Civilian Organization: 54% DoD 46% Civilian

7. Where Are the Buyers? Contract Specialists DC 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 Specialists DC 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 Industry DC Metro 17% Norfolk Metro3% St. Louis3% New York Metro 2% Dallas Metro 2% Other 73% (Including: Atlanta, Boston, Los Angeles, Nashville)

8. Traditionalists (born <1946) Boomers (born 1946-64) Gen Xers (1965-81) Millennials (>1982) The Workforce is more complex, multiple generations, and more diverse

9. Congress Office of Federal Procurement Policy Department Of Commerce President StatutesInitiatives Department of Defense General Services Administration National Aeronautics &Space Administration Federal Acquisition Regulation Department of Labor Small Business Administration The Procurement System

11. “But I have only served as the COTR for less than a year”

12. 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.

13. 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.

15. COTR Eligibility:  Must be a Federal employee  Must have necessary technical expertise  Must meet training and certification requirements  Must satisfy agency ethics training requirements

16. On-Line, Free, Self-Paced, Continuous Learning Modules: http://clc.dau.mil/ or www.fai.gov http://clc.dau.mil/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

17. 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”

18. I understand your position, but in case your friend ask may I count on your support?”

19. Now that we are certified, I can’t wait for my first appointment.

20. How is the COTR Appointed? Program Office: Nominates technical expertNominee: Accepts and signs appointment letter CO: Verify eligibility Appoints in writing

21. 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

22. 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

24. COR Duties: ….Number 1 is you should: Read The Contract!

25. 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

26. Limits of COTR Authority 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

27. What are the Attributes of a Successful COTR? Technical expertise skills Familiarity with procurement Communication skills Organizational skills

28. 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

30. 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

31. 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

32. The Program Office determines the agency’s need for a solicitation. The Program Office:  Is responsible for decisions on: o What to buy o When to buy Program personnel use the contracting process to:  Accomplish their programs  Support the Contracting Officer The Program Office:  Is responsible for decisions on: o What to buy o When to buy Program personnel use the contracting process to:  Accomplish their programs  Support the Contracting Officer

33. 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: o Effectively o Economically o Timely manner  Promotes and prescribes use of: o Commercial items o Non-developmental items o Full and open competition  Identifies strategy and Statement of Need The acquisition planning team:  Ensures the Government needs are met: o Effectively o Economically o Timely manner  Promotes and prescribes use of: o Commercial items o Non-developmental items o Full and open competition  Identifies strategy and Statement of Need

34. 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.

35. COTR acts as a Liaison COTR communicates orally and in writing with:  Contracting Officer  Program Manager  Contractor  Government personnel  End-users COTR communicates orally and in writing with:  Contracting Officer  Program Manager  Contractor  Government personnel  End-users

36. Putting the Pieces Together Planning Evaluation Administration Closeout

37. COTR Involvement in Acquisition Process COTR may participate in ALL phases COTR may participate in ALL phases

38. 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

39. 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

40. 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 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 requests  Perform market research  Perform pre-award debriefings

41. 2. Acquisition plans must be completed and approved before which of the following occur?  Release or issue the solicitation  Notifying 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 solicitation  Notifying the Contracting Officer  Transfer of funds within or outside the Agency  Begin the Independent Government Cost Estimate

42. 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

43. 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

44. 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

45. Conduct Market Research

46. COMPETITION IS KING! FIND OUT WHATS OUT THERE! COTRs are responsible for:  Ongoing market research for changes in: o Market conditions o Technology o Socioeconomic opportunities  Technical information on product availability and industry capability, including: o Competitive market forces o Alternative sources COTRs are responsible for:  Ongoing market research for changes in: o Market conditions o Technology o Socioeconomic opportunities  Technical information on product availability and industry capability, including: o Competitive market forces o Alternative sources

47. 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

49. 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 requirements o Proposal preparation instructions o Evaluation factors and sub-factors o 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 requirements o Proposal preparation instructions o Evaluation factors and sub-factors o Solicitation provisions or contract clauses Conduct Source Selection Process

50. 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

51. Post-award Conference 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 and COTR meet with contractor at the Post- Award Orientation Conference before work begins to ensure mutual understanding

52. Contract Administration In 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

53. Contract Management Plan The contract management plan ensures:  Proper monitoring of the contract  Timely: o Processing of required documents o Notice of contractor employee status o Advice and recommendations The contract management plan ensures:  Proper monitoring of the contract  Timely: o Processing of required documents o Notice of contractor employee status o Advice and recommendations

54. Contract Management File Contract management file should include:  Authorities in appointment letter  Schedule obligations of contractor and Government  Waiver conditions  Modifications Contract management file should include:  Authorities in appointment letter  Schedule obligations of contractor and Government  Waiver conditions  Modifications

55. Conduct performance assessments and evaluations

56. 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!

57. Final Acceptance The 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.

58. Performance Evaluations

59. COTR Termination Notice COTR termination notice:  Executed by the Contracting Officer  Documented in writing  Specifies: o Relevant contract o Effective date of termination  Provided to: o COTR o Contractor COTR termination notice:  Executed by the Contracting Officer  Documented in writing  Specifies: o Relevant contract o Effective date of termination  Provided to: o COTR o Contractor Termination of COTR Duties and Responsibilities Effective Date: _____ _______________ Contracting Officer Termination of COTR Duties and Responsibilities Effective Date: _____ _______________ Contracting Officer

60. Contract Administration Program

61. Contract Closeout To 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

62. Final Payment When can final payment be made to a contractor?  When the Contracting Office accepts the goods or services  When all issues concerning Government property are resolved  When all inventions conceived under the contract are registered  When 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 services  When all issues concerning Government property are resolved  When all inventions conceived under the contract are registered  When the QASP is delivered  When all technical and progress reports are submitted  When final technical acceptance is received  When all financial information is submitted

63. Final Payment 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 resolved  When all inventions conceived under the contract are registered  When 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 Officer accepts the goods or services  When all issues concerning Government property are resolved  When all inventions conceived under the contract are registered  When the QASP is delivered  When all technical and progress reports are submitted  When final technical acceptance is received  When all financial information is submitted

64. Final Audits A 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

66. 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

67. Ethics Avoid even the appearance of anything less than complete integrity, objectivity, and impartiality Legislation and policy can’t force ethical behavior

68. COTR Ethics Being 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

69. 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.

70. 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.

73. Federal Acquisition Institute Website www.fai.gov

74. Acquisition Community Connection https://acc.dau.mil/CommunityBrowser.aspx?id=1

75. Acquisition Career Management Information System www.fai.gov/acm/acmis.asp

76. EXIT TICKET What was or was not beneficial about this training content? Was the Facilitator effective? How can this training be improved?

77. 77 Contact Us: Federal Acquisition Institute 9820 Belvoir Road Fort Belvoir, VA 22060-5565 Building 205, first floor, west wing For General Inquiries: Call: (703) 805-2300 Fax: (703) 805-2111 Please visit us at www.FAI.gov www.FAI.gov Otis Langford/otis.langford@fai.gov

78. Thank you Otis Langford FAR Part 16.602