04-55
Procurement Notice
January 20, 2011
APPOINTMENT
OF CONTRACTING OFFICER TECHNICAL REPRESENTATIVES
PURPOSE: This PN
revises the NASA FAR Supplement (NFS) to incorporate changes to the COTR
appointment process.
BACKGROUND: NFS 1842.270
establishes the policy and procedures for the contracting officer to follow
when appointing a COTR. This procurement
notice revises the policy in these areas:
(1) Appointing alternate COTRs;
(2) Notifying the CO when a COTR will
leaving the organization; (3)
Authorizing certain COTRs to issue emergency, on-site change
orders, and (4) Requiring COTRs on Phase II and Phase III
awards made under NASA's Small Business Innovation Research (SBIR) and Small
Business Technology Transfer (STTR) to meet Federal
Acquisition Certification for Contracting Officer Technical Representatives
(FAC-COTR) requirements.
GUIDANCE: (1) Contracting officers shall follow the revised
policy when appointing alternate COTRs.
If the contracting officer appoints alternate COTRs, there must be
strong, written controls in place to ensure the primary COTR, the alternate,
and the contractor understand the line of authority and when the alternate COTR
may act in place of the primary COTR.
Controls must be in place to prevent situations where the contractor may
receive contradictory direction from the COTR and alternate COTR. In appropriate circumstances, the policy also
allows for multiple alternate COTRs, if circumstances warrant and the
Procurement Officer approves the action.
Procurement officers may choose to further restrict or prohibit this
policy based on center-unique circumstances.
(2) COTRs and their supervisors are
responsible for promptly notifying the CO when the COTR has a change in
station, duty assignment, or leaves Government service.
(3) COs may use NASA Form 1634 for delegations made to construction contract COTRs to
issue emergency on-site change orders up to $25,000 only. Any other delegations of procurement
authority to COTRs shall be made in accordance with FAR 1.603-3 and the NASA
Procurement Career Development and Training Policy.
(4)
Government Accountability Office and Office of Inspector General reports
have identified weaknesses in the internal controls of the NASA's Small
Business Innovation Research (SBIR) and Small Business Technology Transfer
(STTR) program. To improve internal
controls in the area, 1842.270(g)(1) is revised to
require COTRs on Phase II and Phase III SBIR/STTR contracts be FAC-COTR
certified. Before appointing COTRs to
these contracts, the CO shall ensure the individuals are FAC-COTR certified.
ACQUISITIONS AFFECTED BY CHANGES: This
requirement is applicable to all COTR appointments on or after the effective
date of this procurement notice.
ACTION REQUIRED BY CONTRACTING OFFICERS: COs
shall follow the revised procedures for appointing COTRs.
CLAUSE CHANGES: None.
PARTS AFFECTED: Parts
1842.
REPLACEMENT PAGES: You
may use the enclosed pages to replace 42:3, 42:4, 42:5, 42:6, and 42:6.1 of the
NFS.
TYPE OF RULE AND
PUBLICATION DATE: These changes do
not have a significant effect beyond the internal operating procedures of NASA
and do not have a significant cost or administrative impact on contractors or
offerors. Therefore they do not require
codification in the Code of Federal Regulations (CFR) or publication for public
comment.
HEADQUARTERS CONTACT: Marilyn
E. Chambers, Contract Management Division; (202) 358-5154, email:
Marilyn.chambers@nasa.gov.
William P. McNally
Assistant Administrator for
Procurement
Enclosure
DISTRIBUTION LIST:
PN List
a written request shall be
forwarded to the cognizant program director for approval with the concurrence
of the Assistant Administrator for Procurement (Code HS). The following
supporting information shall be forwarded with the request to make the
assignment:
(i) A statement of the special circumstances
that necessitate the assignment.
(ii) The contract administration services to be
performed.
(iii) A summary of any discussions held with the cognizant contract administration organization.
(iv) A staffing plan
covering three years or such shorter period as may be appropriate.
(2)
The provisions of this paragraph do not apply to NASA audit personnel assigned
to the field installations, to NASA technical personnel covered by 1842.101 and
paragraph (b) of this section, unless they are performing any contract
administration functions listed in FAR
42.302(a), or to personnel assigned to
contractors' plants on NASA or other Federal installations.
(b) NASA may assign technical personnel (such
as quality assurance, reliability, or engineering representatives) to contractors'
plants or laboratories to provide direct liaison with NASA and technical
assistance and guidance to the contractor and DOD. The duties and responsibilities of these
technical representatives shall be clearly defined and shall not conflict with,
duplicate, or overlap with functions delegated to DOD personnel. NASA shall
advise appropriate DOD and contractor organizations of the duties and
responsibilities of NASA technical personnel.
(c) When a NASA resident office, including any
assigned technical personnel, and a DOD contract administration office are
performing contract administration functions for NASA contracts at the same
contractor's facility, the two offices shall execute a written agreement
clearly establishing the relationship between the two organizations and the
contractor. The agreement should
eliminate duplication in the performance of contract administration functions
and minimize procedural misunderstandings between the two organizations. Such agreements shall be consistent with
existing delegations to the contract administration offices concerned and shall
specify the relationship of NASA nonprocurement resident personnel to their DOD
and contractor counterparts if such personnel will be involved in any aspect of
contract administration.
Subpart
1842.2--Contract Administration Services
1842.202
Assignment of contract administration.
(b) Special
instructions.
(i) The
functions described in 42.302(b)(1) and the following subparagraphs of
42.302(a) are normally retained: (3), (10), (12), (13), (14), (15), (17), (18),
(19), (20), (21), (22), (23), (24), (29), (32), (43), (44), (45), (46), (48),
(51), (56), (58), (59), (62), (63), (64), (65), (69), and (70).
(d) Transmittal and
documentation. In addition to the
instructions at FAR 42.202(d)(1) through (4), contracting officers shall --
(i) Send
delegations to DOD contract administration offices in accordance with the
instructions in the DOD Directory of Contract Administration Services
Components (DLAH 4105.4).
(ii) At time of contract award,
prepare and forward NASA Form 1430, Letter of Contract Administration
Delegation, General, and appropriate appendices (NASA Form 1430A, 1430B, 1430C,
and 1430D) to the contract administration office
(iii) Forward NASA Form 1431, Letter of
Acceptance of Contract Administration, with each NASA Form 1430 and appropriate
appendices. Contracting officers shall
use the returned NASA Form 1431 as contract file documentation that the
delegation has been accepted, modified or rejected by the contract
administration office and as a reference for points of contact for each of the
functional areas delegated.
(iv) Use NASA Form 1433, Letter of Audit
Delegation, to delegate the audit function and to amend previous
delegations. Distribute copies of the
contract and NASA Form 1433 as follows:
(A) Audit office:
One copy of the contract and three NASA Forms 1433. When the Department
of Health and Human Services is designated as the audit office, item 12 on NASA
Form 1433 shall be marked "Not applicable."
(B) Contractor:
One NASA Form 1433.
(C) Cognizant NASA fiscal or
financial management office: One NASA Form 1433.
(v) For contracts with the Canadian
Commercial Corporation (CCC), audits are automatically arranged by the
Department of Defense Production (Canada) (DDP) in accordance with agreements
between NASA and DDP. Audit reports are
furnished to DDP. Upon advice from DDP,
CCC will certify the invoice and forward it with Standard Form 1034, Public
Voucher, to the contracting officer for further processing and transmittal to
the fiscal or financial management officer.
(vi) For contracts placed directly
with Canadian firms, audits are requested by the contracting officer from the
Audit Services Branch, Comptroller of the Treasury, Department of Finance, Ottawa, Ontario, Canada. Invoices are approved by the
auditor on a provisional basis pending completion of the contract and final
audit. These invoices, accompanied by SF 1034, are forwarded to the contracting
officer for further processing and transmittal to the fiscal or financial
management officer. Periodic advisory audit reports are furnished directly to
the contracting officer.
1842.202-70
Retention of contract administration.
(a) The assignment of contract administration is
optional for the following contracts:
(1) Research and development study
contracts not involving deliverable hardware or Government furnished property.
(2) Contracts with periods of
performance of 90 days or less.
(3) Contracts with periods of
performance of 91 to 180 days that do not include all of the following:
(i)
A small business subcontracting plan.
(ii) Government-furnished property.
(iii)
Progress payments, if a fixed-price type contract.
(4) Purchase orders without Government
source inspection requirements.
(5) Contracts requiring only on-site
performance.
(6) Contracts requiring work in the
vicinity of the awarding center where DOD contract administration services are
not reasonably available.
(b) The
determination to assign Quality Assurance, Property Administration or Plant
Clearance for administration shall be made after review by the cognizant technical personnel.
1842.270 Contracting officer
technical representative (COTR) delegations.
(a) The cognizant
contracting officer may appoint a qualified Government employee to act as their
representative in managing the technical aspects of a particular
contract. Technical organizations are responsible for ensuring that the
individual they recommend to the contracting officer possesses training,
qualifications and experience commensurate with the duties and responsibilities
to be delegated and the nature of the contract.
(b)
If necessary, the contracting officer may appoint an alternate COTR to
act during short absences of the COTR, such as when the COTR is on leave or
travel. When approved by the Procurement
Officer and in limited circumstances, warranted by contract scope, workload,
and the need to provide adequate oversight, the contracting officer may appoint
more than one alternate COTR on a contract.
If more than one alternate COTR is appointed, the contracting officer
shall provide the COTR, the alternate COTR(s), and the contractor written
guidance specifying how the line of succession works to clearly ensure each
party knows who is acting as the COTR at any given time.
(c) NASA Form 1634, Contracting Officer
Technical Representative (COTR) Delegation, shall be used to appoint COTRs. The
contracting officer will modify the form to address the specific contract
functions delegated to the COTR or retained by the contracting officer. COTRs cannot redelegate
their duties and responsibilities and the COTR may be held personally liable
for unauthorized acts. However, this does not prohibit the COTR from receiving
assistance for the purpose of monitoring contractor progress and gathering
information. When one individual is appointed as a COTR on more than one
contract, separate delegations shall be issued for each contract. A separate
NASA Form 1634 shall be used to appoint the alternate COTR(s).
(d) A COTR delegation remains in effect
throughout the life of the contract unless canceled in writing by the cognizant contracting officer or at any level above that
contracting officer. The contracting officer may modify the delegation only by
issuance of a new delegation canceling and superseding the existing
delegation. The COTR and his or her
immediate supervisor are responsible for promptly notifying the contracting
officer when the COTR has a change in station, duty assignment, or leaves
Government service.
(e)
With the exception of delegations made to construction contract COTRs to issue
emergency on-site change orders, NASA Form 1634 shall not be used to authorize
a COTR to initiate procurement actions or in any way cause a change to the
contract or increase the Government's financial obligations. Instead, any delegations of procurement
authority to COTRs shall be made in accordance with FAR 1.603-3 and the NASA
Procurement Career Development and Training Policy,
available at http://prod.nais.nasa.gov/portals/pl/training.html. When delegating the COTR authority to issue
emergency on-site change orders, the contracting officers shall specify in NASA
Form 1634 a not to exceed limitation on this authority. In no event shall the limitation exceed
$25,000.
(f) Each
COTR shall acknowledge receipt and accept the delegation by signing the
original delegation letter and returning it to the contracting officer. The contracting officer shall file original
of the COTR delegation letter in the applicable contract file. Copies of the signed COTR delegation letter
shall be distributed to the COTR, the contractor, and each cognizant
contract administration office. Acknowledgment
and distribution for terminations of COTR delegations and COTR delegations
which revise authority, duties and responsibilities shall follow the same
rules.
(g) Federal Acquisition Certification for
Contracting Officer Technical Representatives (FAC-COTR) Requirements.
(1) These requirements apply to all individuals appointed as
COTRs and alternate COTRs on NASA contracts, including Phase II and Phase III
awards made under NASA's Small Business Innovation Research (SBIR) and Small
Business Technology Transfer (STTR) Programs.
These requirements do not apply to individuals managing grants, or Phase I SBIR or Phase I STTR awards.
(2) FAC-COTR certificates
from any civilian agency are equivalent to NASA FAC-COTR certificates. The following certificates, from NASA or any
civilian agency, are equivalent to a NASA FAC-COTR certificate:
(i) Federal Acquisition Certification in
Contracting (FAC-C) Level I or above; or
(ii) Federal
Acquisition Certification for Program and Project Managers (FAC-P/PM)
Mid-Level/Journeyman.
(3) An individual with a
FAC-COTR does not necessarily meet the requirements for the FAC-C Level I or
the FAC-P/PM mid-level/journeyman.
(4) For recordkeeping
purposes, individuals with equivalent certificates who will be appointed as
COTRs must submit a copy of their equivalent certificate to the ACM to be
recorded as meeting NASA FAC-COTR requirements.
(5) Basic COTR
Training. To earn a NASA FAC-COTR
certificate, individuals must complete 40 hours of basic COTR training approved
by the ACM. ACM approved training is
available under the NASA Shared Service Center’s Agency-wide COTR Training
Blanket Purchase Agreement (BPA).
(6) Continuing Education. COTRs must maintain their skills currency
through continuing education. To
maintain a FAC-COTR, COTRs are required to earn 40 continuous learning points
(CLPs) of skills currency training every two years. The two-year continuous learning cycle is set
for all civilian agencies for the following timeframes: October 01, 2009, until September 30, 2011,
October 01, 2011 until September 30, 2013, and so forth.
(7) With the exception of
the NASA-specific COTR refresher training, there are no specific courses
required for COTR continuing education. Supervisors
remain responsible for working with COTRs to identify those activities and
opportunities of greatest benefit to the professional development of an
individual. The training, professional
activities, education and experience that are used to meet the continuing
education requirements must be job related.
(i) Each two-year cycle shall include
NASA-specific COTR refresher training which has been approved by the ACM. ACM approved training is available under NASA
Shared Service Center’s Agency-wide COTR Training BPA.
(ii) Appendix A to the Office of Federal
Procurement Policy’s memorandum, The Federal Acquisition Certification for
Contracting Officer Technical Representatives, dated November 26, 2007,
provides additional guidance on determining continuous learning points. The memorandum is available at
http://www.fai.gov/pdfs/11-26-COTR-Memo.pdf.
(8) A FAC-COTR will expire
if the continuing education requirements are not met and the individual will no
longer be eligible to be a COTR.
(9) FAC-COTR training, both
basic and continuous, will be tracked in SATERN. COTRs are responsible for
ensuring their SATERN learning history is accurate.
(h) The contracting officer shall verify that the
proposed COTR has a FAC-COTR before signing NASA Form 1634. The
Procurement Officer (PO) may defer, for a period not to exceed six months, all
or part of the FAC-COTR requirements in writing, on a case-by-case basis, if
granting the deferment is in the best interest of the Agency. This authority
shall be used only when necessary. A
written justification shall specify the reasons for and conditions of the
deferment. A copy of the justification
shall be furnished to the ACM and documented in the contract file(s).
(1) If the proposed COTR has not completed basic
COTR training, the PO shall ensure the proposed COTR receives appropriate
interim training until the required COTR basic training is completed. Interim training is a stop gap measure to
ensure the COTR understands his or her authority and responsibilities. It may include a briefing or on-line
training. Completion of the interim
training shall be documented in the applicable contracts file(s).