COTRs– UNDERSTANDING THEIR ROLES AND RESPONSIBILITIES

1. COTRs– UNDERSTANDING THEIR ROLES AND RESPONSIBILITIES BY: STEVEN STRYKER, PRESIDENT STRYKER ASSOCIATES FOR: THE POTOMAC CHAPTER DATE: March 15, 2011

2. CREDENTIALS OVERVIEW • STRYKER ASSOCIATES is a small business with expertise in procurement, project management and planning. • Over thirty years, a major success focus is performance improvement and enhancement through: • -- Facilitated Consulting • -- Custom-tailored Training • -- Best Practice Development

3. CREDENTIALS OVERVIEW • Client base is: federal, private and small business • Thrust is skill enhancement and program improvement in • -- Performance-based processes • -- Stronger requirements & their achievement • -- Organizational accountability

4. LEARNING PERSPECTIVE • By the end of this seminar, 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

5. Complicated Environment 5

6. The Federal Workforce is:

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

8. What is a COR ?

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

10. A COTR is… …a non-contracting person who is given the chief role in the technical monitoring and administrative aspects of a requirement description in a contract.

11. Who can be a COTR?

12. COTR Eligibility: • Must be a Federal employee • Must have necessary technical expertise • Must meet training and certification requirements • Must be appointed in writing • Must satisfy agency ethics training requirements

13. What are the COTR Certification Requirements? Initial Training – 40 hours Continuous Leaning – 40 CLPs every 2 years • FAC-COTR Program • OFPP November 2007 Memorandum – • “The Federal Acquisition Certification for • Contracting Officer Technical Representatives”

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

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

16. How is the COTR Appointed? • Program Office: • Nominates technical expert • CO: • Verifies eligibility • Appoints in writing • Nominee: • Accepts and signs appointment letter • Copies the contractor

17. The source of the COTR’s authority is defined in the Letter of Appointment from the Contracting Officer and in specific provisions of the contract. NOTE: COTRs cannot re delegate responsibilities without the CO’s approval. • COTRs are appointed for each contract: • When technical guidance is needed for a contract • When continuous surveillance of the contractor's work is required • To perform inspection functions • For overall evaluation

18. 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

19. COTR Duties and Responsibilities

20. COTR Primary Duties: Communicate Evaluate Document

21. COTR Duties Help develop the contract requirements Participate in source selection Establish & sustain working relationships with contractors Provide technical direction and guidance Liaison on technical matters between the CO and the contractor Support the mission and recommend changes to the CO Monitor and evaluate performance Create Lessons Learned for better buys

22. Limits of COTR Authority • COTRs are prohibited from: • Committing to a change in price, scope, performance, quality, quantity, or delivery • Providing direct interaction or guidance to subcontractors • Directing Contractors how they will perform work • Disclosing source selection information

23. What are the Attributes of a Successful COTR? Technical expertise skills Familiarity with procurement Note: Execution of COTR duties is now part of Annual Performance Evaluation • Communication skills • Organizational skills

24. MUST THE COTR DO IT ALL? • Can use other expertise to assist with Contract Administration • Colleagues must be delegated responsibilities from the CO • Together can provide more complete and effective contract management—for Task Orders and the entire contract

25. INITIALLY: The Program Office determines the agency’s need for a solicitation. • The Program Office: • Is responsible for decisions on: • What to buy • When to buy • Program personnel use the contracting process to: • Accomplish their programs • Obtain effective support from the Contracting Office

26. SUBSEQUENTLY: The Program Manager forms a team consisting of all those who will be responsible for significant aspects of the acquisition. Involves Contracting Office sooner. • The acquisition planning team: • Ensures the Government needs are met: • Effectively • Economically • Timely manner • Promotes and prescribes use of: • Commercial items • Non-developmental items • Full and open competition • Identifies strategy and Performance Work Statement

27. COTR acts as a Liaison throughout the Acquisition Lifecycle • COTR communicates orally and in writing with stakeholders including: • Contracting Officer • Program Manager • Contractor • Government personnel • End-users

28. Putting the Pieces Together Planning Evaluation Administration Closeout

29. COTR Involvement in the Acquisition Process COTRs do participate in ALL phases

30. Acquisition Planning and Proposal Solicitation • 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

31. Conduct Market Research Conduct Market Research

32. Conduct Market Research: Primary Input to Defining Needs • COTRs are responsible for: • Ongoing market research for changes in: • Market conditions • Technology • Socioeconomic opportunities • Technical information on product availability and industry capability, including: • Competitive market forces • Alternative sources COMPETITION IS KEY! FIND OUT WHAT’s OUT THERE!

33. Develop Source Selection Process • Select team, tailored for the particular acquisition to ensure a comprehensive evaluation of offers • Identify potential sources • Agree on the Source Selection Strategy • Ensure consistency among: • Solicitation Requirements • Proposal Preparation Instructions • Evaluation Factors

34. 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: • Provide support in debriefings & protests • Participate in post-award orientation meetings

35. Post-award Conference COTR reviews Need and Performance Evaluation Plan with CO Contracting Officer and COTR meet with contractor at the Post-Award Orientation Conference before work begins to ensure mutual understanding Contracting Officer calls together the Government acquisition team to discuss its own issues and plan a coordinated and cohesive presentation

36. Contract Administration • In administering a contract, COTRs: • Serve as liaison on technical matters between CO and Contractor • Create Task Order requirements under the contract • Monitor and evaluate Contractor performance • Document and communicate Contractor performance to CO • Recommend contract changes to CO • Provide technical input to Order and Contract Closeout

37. Contract Management File • Contract management file • should include: • Appointment Letter • Schedule obligations of Contractor and Government • Performance documentation • Modifications

38. Conduct performance assessments and evaluations

39. Evaluation Tools 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 Contractor immediately so that corrective action can be taken • Document situation & obtain CO input as needed Fundamental performance principle: The contractor is mandated to fully meet the contractual requirements independent of any COTR action.

40. Performance Evaluations

41. CONTRACT CHANGES • COTR works with to: • Assess & provide justification with contractor • Provide business case to CO • Assist CO in ensuring • Change within scope • Agreed equitable adjustment • Ensure that: • Change within scope • Monitored effectively OPTIMAL NUMBER OF CHANGES– ZERO!

42. Quick Review—Dos & Donts ?A new organization is coming to your organization and you need to increase contract services ?Review invoices for acceptance ?Change contractor work schedule ?Release of Government Property to the contractor ?Conduct surveillance to determine contractor performance ?Order overtime for the contractor ?Conduct inspection and acceptance

43. Contract Closeout • To closeout a contract, COTRs: • Accept final deliverables • Sustain compliance with clauses (security, property, etc.) • Verify final Invoice • Conduct overall performance evaluation • Review contract management file for completeness, provide to CO and retain for three years

44. 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 OR

45. Ethics

46. Ethical Dilemmas • The position of COTR places special trust and responsibility upon you • A few examples where your ethical behavior will be tested include: • Offer of gifts or employment • Attempt to exert undue influence

47. Ethics Avoid both the act or the appearance of anything less than complete integrity, objectivity, and impartiality Legislation and policy can’t force ethical behavior

48. 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.

50. COTR Ethics-- CASE IN POINT! • Situation: A COTR is conducting a site visit. In casual conversation, she informs the Contractor she will be leaving the Government in the next couple of months on an “early out” retirement. The Contractor suggests that when she does leave, please drop a resume in the mail. The Contractor further states her expertise can be useful on a consulting basis. Although it might be questionable to use her on the current contract without agency permission, the Contractor said assured her that there was plenty of other work around which was right up her alley. • Response: Is there a more appropriate message the COTR needed to convey? If so, what is it?