DAU-COR 222_Book 1_Student Slides_Jan 2017.pdf - DAU COR...

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Unformatted text preview: DAU - COR 222 CONTRACTING OFFICER’S REPRESENTATIVE COURSE Welcome!!! Why are we here? What are the ‘take aways’? Can I use this at my desk, in ‘my world’? Learn. Perform. Succeed. 1-2 01 - 1 DAU - COR 222 Instructor Introductions Learn. Perform. Succeed. 1-3 Presentation is designed for soon-to-be or newly appointed CORs Students are encouraged to participate Classroom discussions are on a non-attribution basis Learn. Perform. Succeed. 1-4 01 - 2 DAU - COR 222 Four Day Course Schedule DAY 1 DAY 2 Course Overview & Introductions DAY 3 5. What’s In My Contract? • Uniform Contract Format Knowledge Check 6. What If I Need to Modify the Contract? • Taking the Plunge 7. What If the Contract is Changed by Mistake? • Money for Wafers • It’s a Calamity 8. What Can I Say and What Should I Document? • Is It Knight or Day? Case 1. What is a COR? • Who Has the Authority? 2. What Do I Need to Know about Ethics and Integrity? • Ethical Case Studies 3. How Do I contribute to Planning the Acquisition? • Loose Lips Sink Ships Case 4. How Am I Involved in Awarding the Contract? • Finding Base Support Case Learn. Perform. Succeed. 9. Are There Special Considerations for Service Contracts? • Smoothing Over the Situation Case 10. What is Contract Administration? • It’s in the Wiring 11. How Do I Monitor Performance? • The Grass Isn’t Greener Case DAY 4 12. How Do I Handle Issues with a Contractor? • Terminations Knowledge Check 13. Are There Special Considerations for Construction Contracts? • The Galley Case 14. Are There Special Considerations for R&D Contracts? Test Assessment DAU Assets Brief (If Time Permits) Graduation Surveys – PLEASE DON’T FORGET!!! 1-5 Course Administration Class Times Lunch Special Needs Computers Learn. Perform. Succeed. Breaks Group Exercises 1-6 01 - 3 DAU - COR 222 Administration (cont..) Restrooms Area restaurants Sodas & Snacks Coffee fund Parking Dress Code: Business Casual Smart Phones mute/silent or off E-mail Classroom Computers Learn. Perform. Succeed. 1-7 Student Materials Book 1 – Student Slides Book 2 - Student Guide: Lesson Chapters Exercises At the end of applicable chapter Appendix Glossary Articles Learn. Perform. Succeed. 1-8 01 - 4 DAU - COR 222 Passing the Course • Assessment will be given on the last day – 25 Questions: Multiple Choice, True/False and Matching – Must achieve 80% to pass the course • Class participation in discussions and exercises is expected • Attendance: Mandatory 100% – Absences, not to exceed 2 hours, must be approved by the instructor. Learn. Perform. Succeed. 1-9 DAU Policies Non Attribution Academic Integrity Copying, sharing or exchanging of exam information before, during or after COR 222 is an integrity issue! Learn. Perform. Succeed. 1 - 10 01 - 5 DAU - COR 222 A DAU certificate for 32 hours of training hours will be given Based on Student Locator Information course completion will be available on ATTRS Learn. Perform. Succeed. 1 - 11 Course Feedback Metrics That Matter End of Course Survey Please complete by following email link Learn. Perform. Succeed. 1 - 12 01 - 6 DAU - COR 222 Student Introductions What’s your job? Are you or have you been a COR? When I retire I want to…? Types of contracts you have handled? Learn. Perform. Succeed. 1 - 13 What is a COR? 01 - 7 DAU - COR 222 What Does A COR Do? The COR’s key role is to: • Observe • Document and • Communicate contractor performance to the contracting officer (KO) and contractor For clarification: In this course, the title “COR” is synonymous with that of a COTR, ACOR, QAE/QAS, etc. Learn. Perform. Succeed. 1 - 15 What Is A COR? A Government employee A technical expert Qualified by training Specifically designated in writing Responsible for specific contract administration functions Learn. Perform. Succeed. 1 - 16 01 - 8 DAU - COR 222 COR Authority and Appointment A COR has Specific Delegated Authority • Source of COR authority is the Contracting Officer (KO) – A COR must be designated/appointed by the KO in writing • Authority specified in COR Designation Letter – Specifies scope and limitations of authority delegated – Separate designation made for each contract/order • COR is NOT authorized to re-delegate any responsibilities delegated to them – Includes replacements, peers or subordinates • COR must resign in writing Learn. Perform. Succeed. 1 - 17 COR Designation Acceptance Acknowledge acceptance of the duties by signing and returning the Designation Letter to the KO Contracting Officer Representative Tracking Tool (CORT-T) Learn. Perform. Succeed. 1 - 18 01 - 9 DAU - COR 222 DoD COR Program & Certification Guidance Policy: • 30 Mar 15 New DoD Instruction 5000.72 – Released 30 Mar 15 – Standard Policy and procedural guidance for all DOD – Individual services and agencies can only add additional requirements Guidance: • DoD COR Handbook – Published 22 Mar 12 – Provides tips, tools, instructions and best practices for COR related duties Learn. Perform. Succeed. 1 - 19 DoDI 5000.72 – 26 March 2015 Title DoD Standard for Contracting Officer’s Representative (COR) Certification OVERVIEW Mandates: • Minimum training and experience requirements • COR Program Coordinator be established • COR performance be part of annual performance appraisal Provides: • Guidance on OGE Form 450 filer determinations • COR nomination Process • Guidance on potential COR duties Learn. Perform. Succeed. 1 - 20 01 - 10 DAU - COR 222 DoD COR Handbook Table of Contents Chapter 1: The Importance of Contract Surveillance Related Duties Chapter 1. Key Points Chapter 2: Roles and Responsibilities for Contract Surveillance Nomination, Designation, and Appointment of the COR Performance of COR Functions Termination of COR Appointment DoD COR Tracking (CORT) Tool Chapter 2. Key Points Chapter 3: Ethics and Integrity Chapter 4: The Acquisition Team and Process Chapter 5: COR Responsibilities Chapter 6: Contract Structure Chapter 7: Contract Administration Chapter 8: Monitoring the Contractor Chapter 9: Monitoring Service Contracts Chapter 10: Monitoring Construction Contracts Chapter 11: Foreign Acquisition and International Relationships Learn. Perform. Succeed. Appendices Appendix A. Forms Appendix B. Contract Planning & Source Selection Appendix C. COR Qualifications and Training Appendix D. Acronyms and Terms Appendix E. COR Resources and References Appendix F. COR Checklists Appendix G. Metric Conversion Table 1 - 21 Type A Type A Experience and Training Standards Type A Work Effort • Low performance-risk, fixed-price • Experience: requirements without incentives. – 6 months general experience Attributes of such requirements – Relevant experience as might include, for example: lack of determined by supervisor and KO technical or administrative • Training: complexity, no identifiable risk – DAU’s CLC 106 (8 hrs on-line) factors, limited requirement for – CLM 003 Overview of Acquisition technical expertise, low likelihood of Ethics modifications, effort is a follow-on to • Agency Annual Ethics Training is an existing contract, etc. required if filing an OGE 450 • COR duties/responsibilities are – CTIP (Combatting Trafficking in generally limited to minimal technical Persons) and/or administrative monitoring of – COR or CLC 206 if in contingency environment the contract. Learn. Perform. Succeed. 1 - 22 01 - 11 DAU - COR 222 Type B Type B Experience and Training Standards Type B Work Effort • Other than low risk requirements. Attributes of such requirements might include, for example: the nature of the work is more complex, effort will be performed in multiple regions or in remote geographic locations, contract contains incentive arrangements or cost sharing provisions, contract is a cost-type or T&M/LH type. • COR duties/responsibilities are of increased complexity. • Experience: – 12 months general experience – Relevant experience as determined by supervisor and KO • Training: – DAU’S COR or CLC 222 course or equivalent (e.g. ALMC) – CLM 003 Overview of Acquisition Ethics • Agency Annual Ethics Training is required if filing an OGE 450 – CTIP (Combatting Trafficking in Persons) – COR or CLC 206 if in contingency environment Learn. Perform. Succeed. 1 - 23 Type C Type C Experience and Training Standards Type C Work Effort • Unique contract requirements that • Experience: necessitate a professional license, – 12 months general experience technical license or higher – Relevant experience as education, beyond the type B determined by supervisor and KO requirements. • Training: • Such requirements might include, for – DAU’S COR or CLC 222 course or example: environmental equivalent (e.g. ALMC) remediation, major weapons – CLM 003 Overview of Acquisition Ethics systems, medical/dental services, & • Agency Annual Ethics Training is veterinarian services, etc. required if filing an OGE 450 – CTIP (Combatting Trafficking in Persons) • COR duties/responsibilities involve – COR or CLC 206 if in contingency highly complex or specialized environment requirements. – Mandatory/Specialized Training determined by Agency Learn. Perform. Succeed. 1 - 24 01 - 12 DAU - COR 222 Where Does the COR Fit? The Contracting Process Pre-Award and Solicitation Requirements Determination Market Research Acq Planning Competition Requirements Evaluation and Award RFP Evaluation/ Negotiation PROPOSAL PREPARATION BUSINESS PLANNING . . . MARKETING Selection Award NEGOTIATION CONTRACT ADMINISTRATION Kick off Contract/System Compliance Performance Monitoring Contract Modifications Completion, Final Payment, Closeout . . . SUBCONTRACTING . . . DELIVERY & COMPLIANCE . . . CHANGES, . . .. . . INVOICING . . . SCHEDULING MONITORING ACCEPTANCE CLAIMS & DISPUTES CLOSEOUT & COLLECTION Note: shaded represents contractors activities during each Phase Learn. Perform. Succeed. 1 - 25 What is the Flow of Authority? CONSTITUTION President Head of Agency Chief Acquisition Office or Senior Procurement Exec Head of Contracting Activity Contracting Officer Contracting Officer Representative Learn. Perform. Succeed. 1 - 26 01 - 13 DAU - COR 222 Contracting Officer (KO) Authority Agent of the Government • Authority comes in the form of a Warrant • States the limitation of authority and is to be displayed in a prominent place Gives the KO the authority to obligate the Government, award contracts, and direct the contractor Learn. Perform. Succeed. 1 - 27 Types of Authority EXPRESSED AUTHORITY (Written) Warrant is issued to KO and COR Letter of Designation details duties. APPARENT AUTHORITY DOES NOT EXIST IN THE GOVERNMENT IMPLIED AUTHORITY (Unwritten) CORs need to be careful using implied authority! Learn. Perform. Succeed. 1 - 28 01 - 14 DAU - COR 222 What are the CORs Duties? What type of duties will a Contracting Officer’s Representative be asked to accomplish? My Duties Learn. Perform. Succeed. • 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 • Monitor and evaluate performance • Ensure satisfactory, timely, delivery within the financial constraints of the contract 1 - 29 FYI: Possible CORs Duties/Responsibilities ACTION Conduct market research Prepare SOW/PWS Prepare QASP Prepare IGCE Prepare GFP list Develop sources Prepare solicitation Conduct pre-bid conference Evaluate proposals Award contract Conduct contract surveillance Request modifications Make modifications Conduct progress meetings Conduct inspection/acceptance Evaluate contractor’s performance CPARS input Learn. Perform. Succeed. COR/Functional Office Contracting Office Responsible Responsible Responsible Responsible Responsible Assist Assist Assist Assist N/A Responsible Responsible Assist Assist Responsible Responsible Responsible/Assist Assist Assist Assist Assist Assist Responsible Responsible Responsible Responsible Responsible Assist Assist Responsible Responsible Assist Assist Responsible 1 - 30 01 - 15 DAU - COR 222 COR Record Keeping COR Files Must Contain: • COR letter of designation • All documentation of actions taken such as: – Copy of the contract and ALL modifications Performance Work Statement (PWS)/Statement of Work (SOW) Exhibits and attachments (CDRLs) – Copy of acceptance documents & invoices* – Memorandums for Record of actions issues – Quality Assurance Surveillance Plan – Performance assessments (negative & positive) – Weather Reports COR file is retained for 3 years Learn. Perform. Succeed. 1 - 31 COR No No’s • Modify (“change”) the contract - Promise or authorize more work - Grant deviations or waivers of contract terms and conditions - Approve/Authorize Overtime • Disclose Source Selection Information • Divulge budget information • Give direction to subcontractors Learn. Perform. Succeed. 1 - 32 01 - 16 DAU - COR 222 The Top Five Do’s and Don’ts #5 Do not exceed Your Authority ! #4 Do keep the KO informed! #3 Complete COR Training & stay current #2 Promptly: “inspect” and “accept,” approve or disapprove invoices and let the KO know there is a problem (in writing). And the Number One (#1) to do for the COR is Learn. Perform. Succeed. 1 - 33 The Top Five Do’s and Don’ts #5 Complete COR Training & stay current #4 Do keep the KO informed! #3 Do not exceed Your Authority ! #2 Promptly: “inspect” and “accept,” approve or disapprove invoices and let the KO know there is a problem (in writing). And the Number One (#1) to do for the COR is Learn. Perform. Succeed. 1 - 34 01 - 17 DAU - COR 222 And ….# 1 Know Your Contract! Learn. Perform. Succeed. 1 - 35 Who Has Authority and Why? A new organization is coming to your organization and you need to increase contract services Review invoices for acceptance The contractor is working on site and finds old drums of solvents Change contractor work schedule Release of Government Property to the contractor Conduct surveillance to determine contractor performance Change Government inspection schedule Order overtime for the contractor Conduct inspection and acceptance Learn. Perform. Succeed. 1 - 36 01 - 18 DAU - COR 222 Introduction to the Acquisition Environment Acquisition Procedures Our Job… The Right Stuff … Delivered to the Right Place… At the Right Time… At the Right Price… Using a Smart Business Arrangement! Learn. Perform. Succeed. 1 - 38 01 - 19 DAU - COR 222 Acquisition vs. Contracting • Acquisition – is defined as “the act of acquiring.” In DoD this includes not only an item but also may include the research and development, test and evaluation, production, fielding, operating, maintenance and disposal of a system. • Contracting – is the process of acquiring goods and services. It is only one function within the acquisition environment. Learn. Perform. Succeed. 1 - 39 What is a Contract? A promise for the breach of which the law provides a remedy or the performance of which the law recognizes as a duty and there is legal recourse. • FAR Definition: “Contract” means a mutually binding legal relationship obligating the seller to furnish the supplies or services (including construction) and the buyer to pay for them. • What is an agreement? Mutual assent between two or more legally competent persons, ordinarily leading to a contract Learn. Perform. Succeed. 1 - 40 01 - 20 DAU - COR 222 The Statutory and Regulatory Environment Learn. Perform. Succeed. 1 - 41 FAR Organization Structure • • • • • • • • Subchapter A. General Subchapter B. Acquisition Planning Subchapter C. Contracting Methods & Contract Types Subchapter D. Socioeconomic Programs Subchapter E. General Contracting Requirements Subchapter F. Special Categories of Contracting Subchapter G. Contract Management Subchapter H. Clauses & Forms Learn. Perform. Succeed. 1 - 42 01 - 21 DAU - COR 222 FAR Parts FAR -- Part 1 Federal Acquisition Regulation System FAR -- Part 2 Definitions of Words and Terms FAR -- Part 12 Acquisition of Commercial Items FAR -- Part 13 Simplified Acquisition Procedures FAR -- Part 14 Sealed Bidding FAR -- Part 3 Improper Business Practices FAR -- Part 15 Contracting by Negotiation FAR -- Part 16 Types of Contracts and Personal Conflicts of Interest FAR -- Part 4 Administrative Matters FAR -- Part 5 Publicizing Contract Actions FAR -- Part 6 Competition Requirements FAR -- Part 17 Special Contracting Methods FAR -- Part 18 Emergency Acquisitions FAR -- Part 19 Small Business Programs FAR -- Part 20 [Reserved] FAR -- Part 21 [Reserved] FAR -- Part 22 Application of Labor Laws to Government Acquisitions FAR -- Part 23 Environment, Energy and Water Efficiency, Renewable Energy Technologies, Occupational Safety, and Drug-Free Workplace FAR -- Part 7 Acquisition Planning FAR -- Part 8 Required Sources of Supplies and Services FAR -- Part 9 Contractor Qualifications FAR -- Part 10 Market Research FAR -- Part 11 Describing Agency Needs Learn. Perform. Succeed. 1 - 43 FAR Parts Con’t FAR -- Part 24 Protection of Privacy and Freedom of Information FAR -- Part 25 Foreign Acquisition FAR -- Part 26 Other Socioeconomic Programs FAR -- Part 27 Patents, Data, and Copyrights * FAR -- Part 28 Bonds and Insurance FAR -- Part 29 Taxes FAR -- Part 30 Cost Accounting Standards Administration FAR -- Part 31 Contract Cost Principles and Procedures FAR -- Part 32 Contract Financing FAR -- Part 33 Protests, Disputes, and Appeals FAR -- Part 34 Major System Acquisition FAR -- Part 35 Research and Development Contracting FAR -- Part 37 Service Contracting FAR -- Part 38 Federal Supply Schedule Contracting FAR -- Part 39 Acquisition of Information Technology FAR -- Part 40 [Reserved] FAR -- Part 41 Acquisition of Utility Services FAR -- Part 42 Contract Administration and Audit Services FAR -- Part 43 Contract Modifications FAR -- Part 44 Subcontracting Policies and Procedures FAR -- Part 45 Government Property FAR -- Part 46 Quality Assurance FAR -- Part 47 Transportation * FAR -- Part 48 Value Engineering * FAR -- Part 36 Construction and Architect - - Engineer Contracts Learn. Perform. Succeed. 1 - 44 01 - 22 DAU - COR 222 FAR Parts Conclusion FAR -- Part 49 Termination of Contracts FAR -- Part 50 Extraordinary Contractual Actions And The Safety Act FAR -- Part 51 Use of Government Sources by Contractors FAR -- Part 52 – Clauses FAR -- Part 53 Forms Learn. Perform. Succeed. 1 - 45 Summary • • • • Course Introduction COR Appointment and Authority KO Authority COR Duties – Record Keeping – Do’s and Don’ts • Introduction to Acquisition Environment – What is a Contract – Federal Acquisition Regulations Learn. Perform. Succeed. 1 - 46 01 - 23 DAU – COR 222 What Do I Need to Know About Ethics and Integrity? The Standard Avoid even the APPEARANCE of anything less than complete: integrity, objectivity, and impartiality Legislation and policies can’t force ethical behavior Learn. Perform. Succeed. 2-4 02 - 1 DAU – COR 222 Ethics in Government – the Basics • Principles of Ethical Conduct for Government Officers and Employees – Presidential Executive Order 12674, April 1989 – Employee’s Oath of Office • Federal laws and regulations governing: – Gov’t. employees – Contractors • United States Office of Government Ethics (OGE) – Federal Ethics laws >100 Pages of Statutes • Department of Defense: – Joint Ethics Regulation (DoD 5500.07-R) – Standards of Conduct (DoDD 5500.07) Learn. Perform. Succeed. 2-5 Ethical Foundation Employee Responsibilities under Executive Order 12674 (As Amended) DO DO NOT • Place Loyalty to the Constitution, the Laws, and Ethical Principles above Private Gain • Act Impartially to all Groups, Persons, and Organizations • Give an Honest Effort in the Performance of your Duties • Protect and Conserve Federal Property • Disclose Fraud, Waste, Abuse, and Corruption • Fulfill Obligations as Citizens and Pay your Taxes • Comply with Equal Opportunity Laws • Use Nonpublic Information to Benefit Yourself or Associates • Solicit or Accept Gifts from Parties Doing Business With or Seeking Official Action from DOD • Make Unauthorized Commitments or Promises • Use F...
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  • Fall '19
  • Government, Contractual term, General contractor, United States Code

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