COTR

Contracting Officer's Technical Representative

From CAM Part 1 - Chapter 2, dated August 1, 1992

COTRs are responsible, at a minimum, for the following duties. The Contracting Officer (CO) may determine that there are other specific duties required of the COTR for a particular contract.

  1. Maintaining an arms-length relationship with the contractor in the interest of procurement integrity as well as sound contract management.

  2. Keeping the CO fully informed of any technical or contractual difficulties encountered during performance.
  3. Assuring the CO that the Contractor is performing the technical requirements of the contract in accordance with the contract terms, conditions and specifications.
  4. Informing the Contractor of failures to comply with the technical requirements of the contract and informing the CO of any failures to do so, particularly if the Contractor does not make corrections
  5. Coordinating site entry for Contractor personnel, if applicable.
  6. Ensuring that Government furnished property, if applicable, is available when required and reporting any accountable property to the appropriate personnel.
  7. Ensuring that all required items, documentation, data and/or reports are submitted as required by the contract.
  8. Evaluating proposals for and participating in negotiation of changes, modifications and claims at the request of the CO.
  9. Reviewing vouchers for cost-reimbursement type work. Recommending approval by the CO if the Contractor's costs are consistent with the contractor's proposal or negotiated amounts and progress is satisfactory and commensurate with the rate of expenditure.
  10. Reviewing and approving invoices for fixed-price deliverables to ensure receipt of the goods and services.
  11. Processing all invoices and vouchers in a timely manner in accordance with the Prompt Payment Act.
  12. Documenting actions taken and decisions made as the COTR and maintaining adequate records to sufficiently describe the performance of duties as COTR during the life of this contract. As a minimum, the COTR file should contain copies of the following:
  13. Providing the CO with a copy of any correspondence sent to the Contractor.
  14. If the contract is for construction or services and the COTR visits the site where the work is being performed, checking to see that the Department of Labor and Equal Opportunity posters and applicable determination rates are posted in full view of employees.
  15. Performing final inspection and acceptance of all work required under the contract, including the review and approval of reports and assisting the CO with contract closeout activities, as requested. See Commerce Acquisition Manual Part 4, Chapter 3, on contract closeout for specific procedures.
  16. Preparing any required reports on contractor performance, such as the SF-1421 for A&E work.

COTRs DO NOT have the authority to:

  1. Award, agree to or sign any contract, delivery order or task order. All contractual agreements, commitments or modifications shall be made only by the CO.
  2. Make any commitments or otherwise obligate the Government to make any changes to the contract.
  3. Grant deviations from or waive any terms and conditions of the contract.
  4. Impose or place a demand upon the Contractor to perform any task or permit any substitution not specifically provided for in the contract.
  5. Increase the dollar limit of the contract or authorize work beyond the dollar limit of the contract or authorize the expenditure of funds.
  6. Give direction to the Contractor or to the employees of the Contractor except as provided for in the contract.
  7. Change the period of performance.
  8. Authorize the purchase of equipment, except as authorized under the contract.
  9. Authorize the furnishing of Government property, except as required under the contract.
  10. Authorize subcontracting or the use of consultants.
  11. Approve shifts of funding between line items of the budget.
  12. Approve travel and relocation expenses over and above that provided for in the contract.
  13. Authorize the use of overtime.

Requirements: The minimum criteria set forth below must be met before a ceertificate can be issued. HCOs may supplement these requirements to meet additional needs of the contracting activity. A copy of any supplemental requirements shall be provided to the Acquisition Management Division.

Satisfactory fulfillment of duties for any prior or current COTR appointments.

The following minimum training requirements are to be met prior to the issuance of a certificate of eligibility. The topics listed are generic rather than specific course titles. Some courses described in vendor literature as "COTR training," particularly those of 40 hours or more duration, may adequately cover more than one of the topic requirements. COTRs are encouraged to contact their CO prior to taking training if in doubt about whether a particular course will meet a training requirement.

  1. Level 1 - A minimum of 16 hours of COTR training shall be completed. This level is for contracts of relatively low complexity and low contract management risk. Indicators for Level 1 are total estimated dollar values of $1,000,000 or less and fixed-price contract type or straight-forward cost-type contracts with relatively uncomplicated performance monitoring features. COTRs shall be required to complete training in addition to the basic COTR course if the CO determines the basic course does not adequately address these topics:
    1. COTR roles and responsibilities and limitations of COTR authority;
    2. Procurement ethics/procurement integrity awareness training;
    3. Basic training in the requirements of the Competition in Contracting Act (CICA);
    4. Training in writing statements of work;
    5. Project management training is recommended, but not required;
    6. If contract is for Information Technology (IT) IT procurement training shall be completed.
  2. Level 2 - A minimum of 40 hours of COTR training shall be completed. This level is for contracts of moderate to high complexity and contract management risk. Indicators are total estimated dollar values greater than $1,000,000 and cost-type contracts, particularly those that have award fee, incentive fee or other complex contract performance controls to monitor and administer. COTRs shall be required to complete training in addition to the basic COTR course if the CO determines the basic course does not adequately address these topics:
    1. COTR roles and responsibilities and limitations of COTR authority;
    2. Acquisitions planning, basic principles of proposal evaluation procedures, protests, contract administration and performance monitoring;
    3. Procurement ethics/procurement integrity awareness training;
    4. Basic training in the requirements of CICA;
    5. Training in writing statements of work;
    6. Training in project management;
    7. If contract is for IT resources, training related to IT contracting.
  3. Level 3 - A minimum of 40 hours of COTR training shall be completed in addition to project management training. This level is for major systems contracts as defined in DAO 208-3. COTRs shall be required to complete training in addition to the basic COTR course if the CO determines the basic course does not adequately address these topics. The COTR shall be the program manager or report directly to the program manager. The COTR and any COTR assistants shall meet the following requirements:
    1. COTR roles and responsibilities and limitations of COTR authority;
    2. Acquisition planning, basic principles of proposal evaluation procedures, protests, contract administration and performance monitoring;
    3. Procurement ethics/procurement integrity awareness training;
    4. Basic training in the requirements of CICA;
    5. Training in writing statements of work;
    6. Project management training, which for a major systems COTR shall be an advanced level of program management course of study such as that offered by the Defense Systems Management College;
    7. If contract is for IT resources, training related to IT contracting.

    Eligibility and Appointment Procedures

    1. Program officials shall nominate COTR candidates to the HCO. COTR candidates shall submit documentation to the HCO indicating successful completion of required training to meet the requested level of certification, as outlined in the Requirements section of this Chapter. COTR candidates may apply training taken within the past three years toward these training requirements, if the HCO is satisfied that the course content satisfies the subject matter requirement.


    2. Upon the HCO's conclusion that the COTR has satisfied the requirements of the requested level of certification, HCO's may certify individuals as eligible for COTR appointment. HCOs shall ensure that information in support of sertificates of eligibility is maintained for audit or review purposes, preferably in an automated database, as discussed in the Certification Records section of this document.


    3. The CO shall determine whether the contract is of complexity level 1, 2 or 3. While the complexity is a subjective value, guidelines and the training requirements associated with each level are provided in the Requirements section of this Chapter. The determination of contract complexity is at the discretion of the CO and shall be indicated in the COTR appointment memorandum. Level of complexity shall not be determined solely by the dollar amount of the contract.


    4. Once the level of complexity of the contract is determined by the CO, the CO shall appoint a COTR who is eligible for the same or higher level or COTR designation. A CO may appoint a COTR only from the list of certified individuals. Cos shall remind prospective COTRs of their obligation to disclose any direct or indirect financial interest that would conflict with the COTR's public duties, in accordance with DAO 202-735 and 202-735a, which cover employee responsibilities and conduct for U.S. Department of Commerce personnel. Cos shall appoint COTRs by memorandum, such as the sample provided in Exhibit B of this Chapter.


    5. Appointment memoranda shall identify the contract; indicate the Cos judgement as to the complexity level of the contract; state the roles and responsibilities of the COTR and note the CO's authority to appoint successor COTRs in cases such as transfers or illness and to withdraw COTR appointments, if in the judgment of the CO and after compliance with the Cancellation section of this Chapter, it is deemed necessary.


    6. COTR appointment memoranda shall be countersigned by the COTR to indicate he or she has read and accepts the duties, responsibilities and limitations of the appointment. The appointment memorandum shall also be signed by the COTR's supervisor to indicate that he or she recognizes and accepts the demands on the COTR's performance.


    7. The CO shall maintain a copy of the appointment memorandum and acknowledgment in the contract file. A copy of the appointment memorandum shall be provided to the contractor.

    Cancellation of COTR Appointments

    1. Cos have the authority to cancel COTR appointments of individuals who are not, in the judgment of the CO, fulfilling their COTR duties satisfactorily or staying within the limits of their COTR authority. Cancellation actions shall be undertaken only in serious circumstances and only after the CO has attempted to have the COTR correct the problem and enlisted the assistance of the COTR's supervisor, if necessary. The CO shall take this action only after consideration of the impact on the individual concerned, in balance with the CO's obligation to manage Department of Commerce contracts in a manner that safeguards the interest of the Department and the taxpayer. The CO shall document the basis for the decision and notify the COTR in writing of the cancellation, providing 5 working days for appeal to the HCO or one level above the HCO if the HCO is the contracting officer. The appeal officer shall render a decision within 5 working days of the appeal. The appeal decision is final.


    2. The appeal official may waive the 5 day appeal period and issue an earlier decision in urgent situations. The appeal official also may extend the appeal period if requested and justified by the COTR. The COTR shall be notified of the appeal period at the time a cancellation memorandum is issued by the CO.

    COTR Performance Evaluations - Supervisors of COTRs are encouraged to include successful contract management in performance criteria for individuals with contract management responsibility. Supervisors are encouraged to seek input from the cognizant CO when preparing the performance rating of anemployee with COTR responsibility. However, a CO's authority to appoint or withdraw appointment of a COTR is based upon FAR Subpart 1.6. This authority is distinct from the COTR's supervisor's management authority exercised through the performance evaluation process. A satisfactory or higher rating of a COTR by a supervisor shall not preclude the CO's suthority to cancel a COTR appointment.