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FAC-COTR Manual - United States Department of Health and Human

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    DEPARTMENT OF

    HEALTH AND HUMAN SERVICES

    Issued by the

    Office of the Secretary Office of Grants and Acquisition Policy and Accountability

    Division of Acquisition

    Office of Acquisition Policy

    March 2011

    (Version 1.4)

    FEDERAL ACQUISITION CERTIFICATION FOR

    CONTRACTING OFFICERS TECHNICAL REPRESENTATIVES

    (FAC-COTR)

    TABLE OF CONTENTS

    CHAPTER 1 HHS IMPLEMENTATION OF THE FAC-COTR PROGRAM

     A. Purpose …………………………………………………….. 3

     B. Authorities …………………………………………………….. 4

     C. Definitions …………………………………………………….. 4

    D. COTR Responsibilities …………………………………….. 5

CHAPTER 2 FAC-COTR PROGRAM REQUIREMENTS

     A. Certification Requirements …………………………………….. 7

     B. Appointment Procedures ………………………..……………… 8

    C. Key Competencies …………………………………………….. 9

     D. Initial Certification Requirements …………………………….. 11

     E. Requirements for Maintaining Certification …………….. 14

CHAPTER 3 FAC-COTR CERTIFICATION MANAGEMENT

    A. Acquisition Training Management Requirements …………... 17

    B. Performance Accountability ……………………………... 17

    C. FAC-COTR Application Process ……………………………… 17

    D. Documenting and Tracking Continuous Learning Points……… 18

    E. Program Assistance ……………………………………………… 18

APPENDIX 1 APPLICATION FOR FAC-COTR CERTIFICATION

    APPENDIX 2 GUIDANCE ON MEETING THE REQUIREMENTS FOR

     CONTINUOUS LEARNING POINTS (CLPs)

    APPENDIX 3 FAC-COTR FULFILLMENT REQUEST FORM

    APPENDIX 4 COTR APPOINTMENT LETTER TEMPLATE

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    FEDERAL ACQUISITION CERTIFICATION FOR

    CONTRACTING OFFICERS TECHNICAL REPRESENTATIVES (FAC-COTR)

    CHAPTER 1

    HHS IMPLEMENTATION OF THE FAC-COTR PROGRAM

    A. PURPOSE

    The Department of Health and Human Services (HHS) Acquisition Policy Memorandum No: 2008-01, effective October 1, 2008, represents HHS’

    implementation of the Federal Acquisition Certification for Contracting Officers’ Technical Representative (FAC-COTR) program; establishes FAC-

    COTR certification as a prerequisite for serving as a COTR within HHS and the Operating Divisions (OPDIVs); and promulgates interim acquisition guidance, pending formal incorporation in the HHS Acquisition Regulation (HHSAR).

    HHS will maintain a program for training employees for certification and appointment as Contracting Officers’ Technical Representatives (COTRs). Prior to appointment as a COTR, all HHS COTR candidates shall be certified eligible under HHS’ Federal Acquisition Certification for Contracting Officers’ Technical Representative (FAC-COTR) program.

This guide implements the requirements set forth in the Acquisition Policy

    Memorandum No: 2008-01, HHSAR 301.604, Training and Certification of

     and the Office of Federal Contracting Officers' Technical Representatives,”

    Procurement Policy (OFPP) Memorandum, “Federal Acquisition Certification for Contracting Officers Technical Representatives (FAC-COTR),” dated November

    26, 2007. These certification procedures and guidelines map out standard 1competencies HHS COTRs must achieve.

    HHS’ FAC-COTR program identifies minimum acquisition training requirements for all individuals who serve as a COTR under a written delegation of authority from a Contracting Officer. Because Project Officers provide technical guidance to the Contracting Officer before award of a contract or order, they are not

    subject to fulfilling the requirements of the FAC-COTR certification program - unless they will also be required to perform post-award contract activities. However, Project Officers must adhere to the training requirements specified in HHSAR 301.606.71, “Training Requirements for Project Officers and Technical Evaluators.” The authorities listed below were used to develop the roles,

    responsibilities, and limitations for various individuals and offices involved with this FAC-COTR program.

     1 Reflects recommendations from an interagency working group led by the Federal Acquisition Institute (FAI) and applies to all

    executive agencies, except those subject to the Defense Acquisition Workforce Improvement Act (DAWIA).

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    B. AUTHORITIES

    The following statutes, regulations, and policies provide authority for the FAC-COTR program:

    ; OFPP Memorandum, “The Federal Acquisition Certification for Contracting

    Officer Technical Representative,” dated November 26, 2007

    ; HHS Acquisition Regulation (HHSAR) 301.604, “Training and Certification of

    Contracting Officers’ Technical Representative

    ; Acquisition Policy Memorandum No: 2008-01 (effective October 1, 2008),

    Federal Acquisition Certification for Contracting Officers’ Technical

    Representative

    ; Assistant Secretary for Administration and Management Memorandum,

    Definition of HHS’ Acquisition Workforce,” dated December 2, 2008

    C. DEFINITIONS

1. Acquisition Career Manager (ACM) (Department-Level) An employee from

    Assistant Secretary for Financial Resources Office of Grants and

    Acquisition Policy and Accountability Division of Acquisition

    (ASFR/OGAPA/DA) responsible for administering the Department’s

    certification programs to ensure that the Department’s acquisition workforce

    members meet the requirements of OFPP Policy Letter 05-01.

2. Acquisition Career Manager (ACM) (OPDIV-Level) A Federal employee

    responsible for leading the OPDIV’s acquisition career management program

    and ensuring that the OPDIV acquisition workforce members meet the

    requirements of OFPP Policy Letter 05-01.

3. Continuous Learning Points (CLPs) - Points awarded for successful

    completion of continuous learning activities. One CLP equates generally to

    one classroom hour and varies for other learning activities, as described in

    Appendix 2 of this handbook or Appendix A of the OFPP memorandum dated

    November 26, 2007, entitled “The Federal Acquisition Certification for

    Contracting Officer Technical Representatives.”

    4. Contracting Officer A Federal employee expressly warranted to enter into,

    administer and/or terminate contracts and make related determinations and

    findings.

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5. Contracting Officer’s Technical Representative (COTR) - A Federal employee

    to whom a Contracting Officer has delegated authority in writing to act as his

    or her representative in monitoring specified aspects of contractor

    performance. These aspects may include ensuring that the contractor’s

    performance meets the standards set forth in the contract, ensuring the

    contractor meets the technical requirements under the contract by the

    delivery date(s) and/or within the period of performance, and ensuring that the

    contractor performs within the price or estimated cost stated in the contract.

6. FAC-COTR Program Manager An ASFR/OGAPA/DA employee designated

    as the overall Departmental coordinator for all OPDIV FAC-COTR

    administration. The FAC-COTR Program Manager’s responsibilities may

    include: coordinating the provisions of training; assuring that the training

    meets FAC-COTR program requirements; communicating training drivers to

    various Operating Divisions (OPDIVs); and communicating federal mandates

    as they relate to FAC-COTR certification.

7. Head of Contracting Activity (HCA) An Operating Division official

    responsible for conducting an effective and efficient acquisition program

    including establishing, managing, and monitoring HHS’ FAC-COTR

    certification program for his/her OPDIV.

8. Project Officer An HHS employee who provides technical guidance to the

    Contract Specialist/Contracting Officer before award of a contract or order.

    Project Officers are often delegated post-award authority to act as the

    Contracting Officer's Technical Representative.

    D. COTR RESPONSIBILITIES

    COTRs are integral and valued members of the HHS acquisition workforce because they help to monitor and manage contracts. Further, these individuals provide the technical expertise necessary to convey the Government’s

    requirements, oversee the technical performance of the contractor, and ensure that deliverables meet the contractual requirements. Table 1 HHS’ COTR

    Responsibilities provides an overview of the technical aspects of contracting and the important role that HHS’ COTRs play in successful contracting.

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    Table 1 HHS’ COTR Responsibilities

     CONTRACT PLANNING ; Advise on, or determine, a need for a product or service

    ; Analyze technical requirements of the product or service

    ; Conduct market research to establish technical requirements or identify the

    marketplace for goods or services

    ; Provide technical information to assist in determining type of contract and level of

    competition

    ; Prepare the statement of work (SOW) and help establish the solicitation’s

    technical terms and conditions

    ; Plan the technical aspects of the proposal evaluation process

    CONTRACT FORMATION

    ; Serve on panels to evaluate bids and proposals

    ; Help establish the contract’s technical terms and conditions

    CONTRACT MANAGEMENT

    Administration:

    ; Serve as agency’s technical representative for contract administration ; Represent agency in technical meetings, record important facts

    ; Confer with program office and user groups on contract performance ; Maintain COTR file

    ; Assist contracting officer and contractor in understanding technical requirements Monitoring the technical work of the contractor, and performing quality assurance

    and inspection of deliverables:

    ; Determine and list the deliverables required from the contractor, with due dates ; Monitor the contractor’s compliance with schedule (i.e., deliverables) ; Review and approve, or reject, technical deliverables

    ; Give technical direction to contractor

    ; Ensure all work is in accordance with the contract requirements

    ; Review and monitor progress reports and work plans

    ; Ensure the contractor is complying with its quality control systems ; Advise the CO of work that is accepted or rejected

    ; Ensure the contractor properly corrects all defects and omissions Changes and modifications:

    ; Advise the CO of the need to issue change orders; develop estimates for

    equitable adjustments; and assist in evaluating contractor claims ; Perform a technical review of contractor proposed changes

    Contractor human resources management and financial management issues: ; Ensure contractor displays required materials for EEO, contract laws, and job

    safety

    ; Report violations of labor standards to the CO

    ; Monitor time worked and contractor record-keeping procedures

    ; Ensure contractor enforces all health and safety requirements

    ; Ensure contractor assigns employees with the necessary capabilities,

    qualifications, and experience

    ; Review and quickly process contractor invoices

    ; Determine if progress or advance payment requests should be processed Contract closeout or termination:

    ; Provide technical information for contract closeout and termination decisions ; Provide a copy of the COTR’s file to CO when duties end

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    CHAPTER 2

    FAC-COTR PROGRAM REQUIREMENTS

    A. FAC-COTR CERTIFICATION REQUIREMENTS

1. Any individual appointed to serve as a COTR must have a FAC-COTR 2certification.

    2. Certification is obtained through competency-based and assignment-specific

    training. Ongoing continuous learning is then required to maintain active

    certification.

3. HCA’s or their designees (typically Acquisition Career Managers) have been

    delegated the authority to establish, manage, and monitor their respective

    OPDIV FAC-COTR programs. In performing these functions, HCA’s should

    work closely with OPDIV managers who have general responsibilities for

    training, competencies, and performance management.

    4. For initial FAC-COTR certifications, applicants are required to complete

    coursework that includes the key competencies stated in Chapter 2 Section

    C of this Handbook. FAC-COTR certifications are valid for two years from the 3date that such coursework was completed.

    5. HHS recognizes and accepts FAC-COTR certifications issued by other

    Federal agencies or any HCA or designee.

    6. Individuals who have served in a COTR capacity at another agency, and

    participated in another federal agency’s COTR training previous to the FAC-

    COTR program, may seek recognition for fulfillment of the FAC-COTR

    Fulfillment requirements and demonstrate their proficiency by completing the

    Request Form (see Appendix 3) and submitting the information to their HCA

    or designee.

    7. Individuals who hold a Federal Acquisition Certification in Contracting (FAC-C)

    Level I or Federal Acquisition Certification for Program/Project Managers

    (FAC-P/PM) Level II are considered to have met the FAC-COTR 4requirements. However, they must still submit the necessary documents to

    obtain certification.

     2 Although not a FAC-COTR requirement, all COTRs must receive appropriate training on accessing UFMS/iProcurement to learn about receiving, acceptance, and invoice approval functions. Generally, since purchase card transactions are limited to routine supplies and services, cardholders should not need to delegate technical responsibilities to a COTR. 3 Within reason, the HCA (or designee) may use discretion in determining suitable timeframes for accepting training and determining certification expiration dates. 4 HHS shall follow any determinations made by FAI/OFPP as to which certifications by organizations outside the federal government are eligible for full or partial consideration under the FAC-COTR. A copy of the certification must accompany the application.

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    8. COTRs are also subject to any specialized mandatory training requirements specified in interim HHSAR guidance, the official HHSAR, and HHS’

    Affirmative Procurement Plan.

    B. APPOINTMENT PROCEDURES

    1. The Contracting Officer will decide whether a COTR is necessary to

    support a specific contract, and will advise the program office of this

    decision as early into the acquisition process as practical. It is highly

    recommended that the COTR be involved in the pre-award 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 COTR is familiar with the requirements of the contract.

    2. Conditions favoring the need for a COTR 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; etc. COTR appointments

    are required for all A&E services, construction contracts, and contracts

    performed outside the United States. Appointment of a COTR is generally

    not necessary when oversight duties are limited to verifying the quantity

    and quality of delivered items. A Contracting Officer will appoint an

    individual to be a COTR based on his/her determination regarding the

    technical, professional, and administrative qualifications of the individual.

    Contracting Officers may require a COTR to complete additional training if

    deemed necessary for the successful administration of a contract.

    3. Operating and Staff Divisions will delegate COTR authority in accordance

    with Departmental policy. It is acceptable for offices to appoint alternate

    COTRs in the event the primary COTR is unavailable. Before a

    Contracting Officer appoints a COTR, he/she must be assured that the

    COTR is free of conflicts of interest and has the technical capability to

    perform the required administrative and oversight functions for the

    particular acquisition.

    4. The Contracting Officer will define the appointment duration in the written

    delegation of authority and has the right to revoke the delegation in writing.

    The COTR does not have the authority to re-delegate his or her COTR

    appointment. Appendix 4 “FAC-COTR Appointment Letter” provides a

    template for written appointments and can be tailored as needed. The

    Contracting Officer’s authority to bind the government may not be

    delegated to a COTR.

5. A copy of the COTR’s appointment letter and certification must be a part

    of the contract file.

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    C. KEY COMPETENCIES

    HHS’ COTR competency model is designed to enhance proficiency levels. Organizational benefits may include:

    ; Matching the current workforce profile with the organization’s performance

    requirements;

    ; Helping to recruit and retain the skills and proficiency levels needed for

    COTRs both current and future;

    ; Developing assessments that tie competencies to training; and

    ; Linking HHS’ COTR responsibilities (See Table 1) to key competencies

    required for successful contract management.

    While general business competencies can be achieved through required training, specific coursework for FAC-COTR certification may be prescribed by the HCA or designee. Specific coursework should be based on a COTR’s proficiency level relating to an area of specialization (e.g., information technology, construction, research and development). The Department plans to expand training and development for COTRs to include specialized areas and levels of complexity.

    Table 2 FAI Key Competencies - lists the FAI core competencies and skills required for certification. A definition of each competency is provided at www.fai.gov.

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    Table 2 - FAI’s KEY COMPETENCIES

General Business Competencies

     Attention to Detail

    Decision-Making

    Flexibility

    Influencing/Negotiating

    Integrity/Honesty

    Interpersonal Skills

    Oral Communication

    Planning and Evaluating

    Problem Solving

    Project Management

    Reasoning

    Self-Management/Initiative

    Teamwork

    Writing

Technical Competencies Aligned Skills

    ; Documenting the Source Acquisition Planning ; Methods of Payment ; Contract Financing ; Unpriced Contracts ; Recurring Requirements ; Pricing Arrangements ; Compliance to FAR Guidelines ; Determining Need for EVM ; Task and Delivery Order Contracting ; Strategic Planning

    ; Understanding the Marketplace Market Research ; Collecting Source Information

    ; Writing Statements of Work Defining Government Requirements in ; Conducting Needs Analysis and Preparing Commercial/Non-Commercial Terms Requirements ; Assisting in the Development of Acquisition Strategy

    ; Publicizing Proposed Acquisition Effective Pre-Award Communication ; Subcontracting Requirements ; Solicitation Preparation ; Pre-Quote/Pre-Bid/Pre-Proposal Conferences ; Amending/Canceling Solicitations

    ; Evaluating Non-Price Factors Technical Analysis of Proposals ; Pricing Information from Offerors ; Evaluation Documentation

    ; Negotiation Strategy Negotiation ; Conducting Discussion/Negotiations ; Determining Capability

    ; Contract Administration Planning and Orientations Effective Contract Management ; Contract Modification and Adjustment ; Work Order Management

    ; Performance Metrics Performance Management ; Performance Management ; Financial Management ; Contract Reporting ; Inspection and Acceptance ; Specialized Requirements

    *These duties and the associated aligned skills are articulated in FAI’s COTR Competencies report. COTR’s are reminded that their authority comes from the Contracting Officer’s memorandum of appointment.

    A COTR’s duties, responsibilities, and obligations are defined by and limited to those articulated in their

    appointment memorandum and must be exercised in accordance with HHS policies.

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