4-NOAA Acquisition Process Guide Award Module
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4.1
Inquiries from
External Sources
4.2.1
Notices of Exclusion
4.2.2
Small
Business Notification to Unsuccessful Offeror
4.2.3
Legislative Notifications of Planned
Contract Awards
4.2.3.1 Roles and Responsibilities
4.2.3.2 Notice of Planned Award
4.2.3.3
Notice of Ready Award
4.2.3.4 24-Hour Advance Notice of Awards ≥ $3.5 Million and ARRA- Funded Awards of Any
Dollar Value
4.2.3.5 Restrictions on Release of Source Selection
Information
4.3 Protests Received Before Award
4.3.1
Protest
Prevention and Resolution
4.3.2 Protests to the Agency
4.3.3 Protest to GAO
4.3.4 Requests and the Process To Override a Stay of
Award to GAO
4.3.5 Protest to the United States Court of Federal Claims
4.3.6 Award in spite of Protest Requests
4.4.
Award Methods
4.4.1
Simplified Acquisition Procedures
4.4.1.1
Government-Wide Commercial Purchase
Card a.k.a. “Bankcard”
4.4.1.2
Orders (POs)
4.4.1.3
Unpriced Purchase Orders (UPO)
4.4.1.4
Blanket Purchase Agreements (BPAs) and BPA
Calls
4.4.1.5
Indefinite
Delivery Contracts (IDC) and Delivery/Task Orders
4.4.2
Larger Contracts
4.4.2.1
Incorporating Proposals by Reference
4.5 Award Forms
4.5.1 SF 1449 Solicitation/Contract/Order for Commercial Items
4.5.2 OF 347 Order for Supplies or Services
4.6 Debriefings
4.6.1 Request for Debriefing
4.6.2 Preparing for the Debriefing
4.6.3 Conducting the Debriefing
4.6.4 Documenting the Debriefing
4.6.5 Debriefings Under Federal Supply Schedule
(FSS) Contracts
4.7 Payment and Performance Bonds
4.8 Assignment of Contract Administration
4.9 Contracting Officer’s Representative
Assignment
4.9.1 Training
4.9.2 Acquisition Career Management Information System (ACMIS)
4.9.3 Certification Application Process
4.9.4 Nomination
4.9.5
Appointment
4.10 Alternate and Assistant Contracting Officer’s
Representative (COR) Assignment
4.11 Distribution
4.11.1 Individual Contracting Action Report – Federal Procurement Data
System (FPDS-NG)
4.12 Summary of Award Module References
The Contracting Officer is primarily responsible for the Award phase. The Project Officer helps identify and nominate a Contracting Officer’s Representative (COR), reviews the final contract for compliance with technical requirements, and prepares for participation in post-award debriefings. The Contracting Officer designates the COR, makes applicable pre-award notifications, distributes the contract award, conducts post-award debriefings, and performs reporting of contractual actions.
4.1 Inquiries from External Sources
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Contracting
Officers, upon receipt of inquiries from Members of Congress, State or Local
Government Legislative Officials, Office of Inspector General, or outside
Agency representatives, shall:
· Complete the Report of Direct Contact contained in NOAA Acquisition Handbook, Part 5, Exhibit1;
· Prepare a detailed response to the inquiry;
· Forward to the Executive Officer, Office of the Director, Acquisition and Grants Office requesting approval to disclose.
Upon receipt of approval to disclose, provide the detailed response, and send a copy to the Office of Legislative and Intergovernmental Affairs (OLIA)
4.2 Pre-award Notices
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This section provides information regarding Pre-award Notices of Exclusion (for unsuccessful offeror), Small Business Notification, and Legislative Notifications of Contract Award.
4.2.1 Notices of Exclusion
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Whenever FAR 15 evaluation techniques are utilized, the
Contracting Officer, prior to contract award, will notify unsuccessful Offerors
when their offers are no longer within the competitive range or otherwise
eliminated from the competition. This occurs during the Evaluation phase prior
to conducting discussions. The Pre-Award Notices of Exclusion (see Pre-award Notice of
Exclusion Template) to these
unsuccessful Offerors states the basis for the elimination and that revised
offers will not be accepted. For specific
information on the Pre-Award notification to unsuccessful Offerors process, see
FAR 15.503.
4.2.2 Small Business Notification to Unsuccessful
Offeror Top of Page
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FAR 15.503(a)(2) requires the Contracting Officer to send a formal notice (see Small Business Challenge Letter Template ) to each unsuccessful Offeror, prior to award when:
Unless the Contracting Officer determines in writing that the urgency of the requirement necessitates award without delay (see FAR 15.503(a)(2)(iii)), or when the contract is entered into under the 8(a) program (see FAR 19.805-2).
The notice must state the following:
Challenges must
be received by the Contracting Officer by the close of business of the fifth
day following receipt of notice. (See FAR 19.302(d)(1)).
4.2.3 Legislative Notifications of Planned Contract
Awards Top of Page
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Commerce Acquisition Manual Chapter 1305.303 establishes policy regarding Department of Commerce Announcement of Contract Awards for all awards ≥ $3.5 Million over the life of the contract (inclusive of options and/or the estimated total quantity for a Requirements-type contract and/or the guaranteed minimum quantity for an Indefinite Delivery contract. This policy is also applicable to orders placed under Federal Supply Schedules (FSS), Government-Wide Acquisition Contracts, Multi-Agency Contracts, and Blanket Purchase Agreements established by NOAA acquisition offices against FSS contracts) and all awards made pursuant to the American Recovery and Reinvestment Act (ARRA). Acquisition Alert AA10-01 dated 4/28/2010 establishes procedures for implementing the Commerce Acquisition Manual.
4.2.3.1
Roles and Responsibilities Top of Page
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Contracting Officer (CO) is responsible for the preparation and timely submission of planned and post-award notifications to the designated point of contact within the AGO Support Services Management Division and Office of Legislative Affairs (OLA), respectively.
Support Services Management Division point of contact (SSMD POC) is responsible for timely submission of planned and ready award notifications to OLA.
Office of Legislative Affairs (OLA) is responsible for the further dissemination of all contract notifications to the Department’s Office of Legislative and Intergovernmental Affairs (OLIA) and the White House Liaison.
4.2.3.2 Notice of Planned Award
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Contracting Officer (CO)s are required to submit notices of Planned Contract Awards(NOAA Acquisition Alert 10-01, Attachment 1) by email to the Support Services Management Division (SSMD) point of contact by Noon Eastern Standard Time on the Wednesday no less than 10 days prior to the planned award date. This “Notices” must be prepared in the form of a narrative statement containing the information outlined in Attachment 1. The proposed award amount shall not be provided for any type of competitive action. The SSMD POC shall prepare the OLA notification and submit it via email to OLA no later than Noon Eastern Time on Friday. If a notice is not received by noon on Wednesday, the notice will fall into the next week and the 10-day count will be from that date forward. When a notice is received after noon on Wednesday, the CO will receive an email that the notice will not make the submission that week but will be included in the submission the following week. The current SSMD POC is John Abbott, John.J.Abbott@noaa.gov.
4.2.3.3 Notice of Ready Award
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Notices of ready awards shall be prepared by the Support Services Management Division (SSMD) Point of Contact (POC) using the information contained in the notices of planned awards reported in the previous week (see above). The SSMD POC shall submit notices of ready awards to Office of Legislative Affairs (OLA) via email no later than Noon Eastern Time on Friday.
4.2.3.4 24-Hour Advance Notice of Awards
≥ $3.5 Million and ARRA-Funded Awards of Any Dollar Value
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The White House requires Federal agencies to provide a 24-Hour Advance Notice (NOAA Acquisition Alert 10-01, Attachment 2) of all awards ≥ $3.5 Million and ARRA-funded awards of any dollar value. Award shall not be made until the Contracting Officer receives Office of Legislative Affairs (OLA) approval to proceed. Contacting Officers (CO)s shall submit the notices directly to NOAA’s OLA on the business day immediately prior to the intended award date. For awards planned for a Monday, notices will be submitted on the prior Friday. The proposed award amount shall not be provided for any type of competitive action.
The notice shall be prepared by modifying the applicable notice AGO provided to OLA in the weekly report submitted on Friday. The CO will identify the appropriate notice contained in the “Release of Current Awards” section of that Acquisition and Grants Office (AGO) report to OLA and edit the notice to remove the submitted date, the statement regarding congressional or media interest, and the point of contact information.
COs shall submit the modified notice via email to the following addresses:
Bagley Timothy@noaa.gov
Once the CO has received notification from OLA that the award is approved, the CO may proceed to award the action.
4.2.3.5 Restriction on Release
of Source Selection Information Top of Page
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Pre-award notices shall be limited in nature to avoid release of acquisition–sensitive pre-award information and shall not contain any information prejudicial to a competitive acquisition. No classified or confidential business information, contractor costs, pricing or proposal information, or source selection information as defined in FAR 3.104 will be included.
The anticipated award amount shall not be revealed for any competitive actions, including new contract/purchase order awards, fair opportunity for consideration on task/delivery orders issued under multiple-award Indefinite Delivery Contracts and competitive awards made under Blanket Purchase Agreements.
4.3 Protests Received Before Award
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An unsuccessful Offeror may file a protest with one or more of the following entities:
· The Agency (NOAA Contracting Officer)
· The Government Accountability Office (GAO),
·
The U.S. Court of Federal Claims (COFC).
For specific instruction see NOAA Acquisition Handbook, Part 33, NOAA contracting personnel shall work with the Protest
Control Officer (PCO) and the Department of Commerce (DOC), Office of
General Council, (OGC) Contract Law Division (CLD)
attorney to resolve protests.
The AGO’s Policy Coordinator
serves as the liaison/point of contact for protests filed with the General
Accounting Office (GAO) and the agency. The AGO Policy Coordinator acts as
NOAA’s PCO. The PCO can also act as an
independent reviewer as allowed in FAR 33.103(d)(4). The PCO’s
mailing address is as follows:
National Oceanic and Atmospheric Administration
Acquisition and Grants Office
1305 East West Highway, Suite 6300
Silver Spring, MD 20910
Coordinate all protests with DOC
OGC CLD, the cognizant legal counsel for contractual issues. Visit the following website for additional
information regarding legal staff; http://www.ogc.doc.gov/ogc/contracts/cld/cldstaff.html. The mailing
address is as follows:
U. S. Department of Commerce
Office of General Counsel
Contract Law Division, Room 5893
Herbert C. Hoover Building
14th Street and Constitution Avenue, N. W.
Washington, DC 20230
In addition, Contracting Officers shall notify OAM of all protests, lawsuits or appeals filed relating to a DOC contract action within one business day from receipt of such notification. Contracting Officers shall also provide OAM a copy of all protests/lawsuits and responses to those protests/lawsuits within one week after responses are submitted. (See DAO 208-05, PM 2010-04, PM 2010-10, PM 2011-05, and Acquisition Alert 05 - Revised Legal Review Thresholds): The copies and responses shall be forwarded to the following office:
U.S.
Department of Commerce
Office
of Acquisition Management
Attn: Senior Procurement Executive
1401
Constitution Avenue, NW
HCHB
Room 6422
Washington,
DC 20230
4.3.1 Protest Prevention and Resolution Top of Page
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Contracting Officers can minimize the risk of protests by:
Prior to submission of agency-level protests, all parties should use their best efforts to resolve concerns raised by an interested party at the Contracting Officer level through open and frank discussions.
The NOAA encourages the use of Alternative Dispute Resolution (ADR). FAR 33.201 defines ADR as "any type of procedure or combination of procedures voluntarily used to resolve issues in controversy. These procedures may include, but are not limited to, conciliation, facilitation, mediation, fact-finding, mini-trials, arbitration, and use of ombudsmen. Where appropriate, the use of third party neutrals, and another agency’s personnel are also acceptable protest resolution methods.
If
the protest reveals that an award does not comply with the requirements of law
or regulation, the Government may be required to pay to the protester the cost,
exclusive of profit, of filing and pursuing the protest, including reasonable
attorney, consultant, and expert witness fees, and in some instances bid and
proposal preparation costs. Where a post-award protest is sustained as the
result of an awardee’s intentional or negligent misstatement, misrepresentation,
or miscertification, the awardee may be required to reimburse the Government’s
costs. In addition to any other remedy available, the Government may collect
this debt by offsetting the amount against any payment due the awardee under
any contract between the awardee and the Government. For more information, see FAR 33.102.
4.3.2 Protests to the Agency Top of Page
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FAR 33.103(d)(4) allows
interested parties to request an independent review of their protest. In the
solicitation, state how and who will conduct the independent review. Generally,
the solicitation will identify the PCO as the independent reviewer and that the
review will be performed after the CO’s review.
Coordinate
all protests received before award, even those that appear to be groundless,
with the PCO and Department of Commerce (DOC), Office of
General Council, (OGC) Contract Law Division (CLD). The DOC OGC CLD
attorney will work with the cognizant Contract Specialist/CO and COR and offer
advice as to the appropriate action. Before responding to the protester, obtain
the concurrence of the PCO and DOC OGC CLD.
In accordance with FAR 33.103(f)(1), the cognizant
HCO unless the HCO is the CO, in which case the SBPO can make this
determination, is authorized to make the determination to award a contract, in
spite of the protest, after obtaining the concurrence of the PCO and DOC OGC
CLD.
Protests must be filed no later
than 10 calendar days after the basis of the protest is known or should have
been known, whichever is earlier. The Contracting Officer may consider any
protests not filed in a timely manner if the protest reveals significant issues
with the awarded contract or NOAA’s acquisition system.
4.3.3 Protests to Government Accountability Officer
(GAO) Top of Page
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Protests to the GAO must be filed no later than 10 calendar days after the
award of the contract or five days after a debriefing date offered to the
protester for any debriefing required by FAR 15.505 or FAR 15.506, whichever is later.
Procedures for GAO protests can be found at FAR 33.104, and GAO's Bid Protest Regulations, 4 CFR 21. See also Bid Protests at GAO: A Descriptive Guide.
Internal procedures are as follows:
4.3.4 Requests and the Process to Override a Stay of
Award to GAO
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NOAA must stay award when notified of a protest within 10 days after the date of contract award or within 5 days after the debriefing date for any debriefing that is required by FAR 15.505 and FAR 15.506, whichever is later.
The NOAA may override a stay in appropriate circumstances when it can show a requisite level of harm resulting from a delay of contract award or performance.
· Overriding Stay of Award (protest filed before award):
o A stay of award may only be overridden by urgent and compelling circumstances that significantly affect interests of the United States. These circumstances may include delays, work stoppages, or performance degradations that severely impact mission-critical operations (e.g., potential loss of life). All requests shall include facts that establish the urgent and compelling circumstances that significantly affect the interests of the United States. The request shall explain why the incumbent’s contract cannot be extended.
· Procedural Requirements for Stay Override:
o A request to override a stay of award must be approved by the Head of the Contracting Activity.
o The request and approval must be documented in a written Determination and Finding (D&F) that is staffed through the Department of Commerce(DOC) Office of General Council (OGC) Contract Law Division (CLD) concurrently.
o The request to lift the stay shall be forwarded to DOC OCG CLD and the HCA within five business days of the protest notification.
· The request to lift the stay required by FAR 33.104(b) or (c) shall include the information listed below:
o A description of the goods or services requested and the type of contract.
o A concise summary of the protest and the NOAA position on the merits
o If applicable, the required award date and rationale.
o A statement of the impact on the NOAA if award or performance is delayed 30, 60, or 90 days. Include how the circumstances significantly affect the interests of the United States and the reasons why performance cannot wait for GAO protest resolution.
o A description of alternative methods for obtaining the required supplies or services (e.g., (bridge) options, purchase orders), including a detailed explanation of why such alternatives are not feasible.
o An estimate of termination costs if the protest is sustained and the contract terminated 30, 60, or 90 days after award.
o The contact information of NOAA personnel who knows the impact of delay in contract award or performance.
· The HCA shall make a decision with respect to authorizing award or continued performance within ten business days of receiving the request for lifting a stay. If circumstances change after suspension of contract performance, the Contracting Officer may initiate a request to continue performance.
· If the Contracting Officer receives HCA authorization to over-ride a pre-award stay but later receives a post-award protest from either the same protester or a new protester, FAR 33.104 requires that the Contracting Officer prepare a new Determination & Finding (D&F) overriding the post-award stay. A pre-award D&F cannot be used to support a post-award determination.
For more information, see also CAR PART 1333 - PROTESTS, DISPUTES, AND APPEALS
4.3.5 Protests to the United States Court of Federal
Claims Top of Page
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If the contractor has appealed to the U. S. Court of Federal Claims, the U.S.
Department of Justice will represent the Agency. However, coordination of all
actions through Department of Commerce (DOC) Office of
General Council, (OGC) Contract Law Division (CLD) must continue.
4.3.6 Award in Spite of Protest
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To make an award in spite of a protest, the cognizant Contract Specialist (CS) shall prepare a finding using the criteria in FAR 33.104(b)(1). Forward it for Protest Control Officer (PCO) concurrence, along with a written request for Head of the Contracting Activity (HCA) approval to make the award. Furnish a copy concurrently to Department of Commerce (DOC) Office of General Council (OGC) Contract Law Division (CLD). If the HCA approves the request to make an award, DOC OGC CLD will notify GAO of the findings. With input and review by DOC OGC CLD, the cognizant CS prepares the report required by FAR 33.104(g) for the HCA’s signature. Forward the report to Government Accountability
4.4 Award Methods
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Contracting Officers are delegated authority (in writing) to sign contracts/agreements on behalf of the Federal Government. Government employees should never sign Vendor agreements. Only Standard forms and methods of payment should be used.
4.4.1 Simplified Acquisition Procedures Top of Page
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The contract is awarded upon completion of final evaluations and approval of the streamlined Business Clearance
Memorandum (BCM) for actions exceeding the SAT (see SAP Pre/Post-Negotiation
BCM Template and SAP Post-Negotiation
BCM Template) or Simplified
Acquisition Documentation Record for actions less than $100,000.
When the Contracting Officer is prepared to make an award to the responsible,
responsive Contractor whose quote has been determined to provide a best value
solution to the Government, he/she will notify the successful Offeror by
furnishing an order. Based on
the procurement/contract type, the award should occur via one of the following
forms:
The Contracting Officer shall
make purchases in the simplified manner that is most suitable, efficient, and
economical based on the circumstances of each acquisition.
Establishing a Contract/Order. It is important to understand that a quotation
cannot be accepted by the Government to form a binding contract; rather, a
contract is established when the supplier accepts the Government’s offer to buy
certain supplies or services upon specified terms and conditions. Responses to
requests for quotations are quotations,
not offers; therefore, issuance by
the Government of an order in response to a supplier’s quotation does not
establish a contract. The order is an offer by the Government to the supplier
to buy certain supplies or services upon specified terms and conditions. A
contract is established when the supplier accepts the offer.
Per
FAR 13.004, the Contracting Officer may ask the supplier to
indicate acceptance of an order by notification to the Government, preferably
in writing, as appropriate. In other circumstances, the supplier may indicate
acceptance by furnishing the supplies or services ordered or by proceeding with
the work to the point where substantial performance has occurred. If the
Government issues an order resulting from a quotation, the Government may (by
written notice to the supplier, at any time before acceptance occurs) withdraw,
amend, or cancel its offer. (See FAR 13.302-4 for procedures on termination or cancellation
of purchase orders.)
For
commercial items under FAR 12, the Contracting Officer may choose to incorporate
both the quotation and a special order of precedence clause via an addendum to
the contract. In those situations, the special clause takes precedence over the
standard order of precedence in FAR 52.212-4(s).
Any of the methods provided in FAR 13 are acceptable for use in the award of a simplified
acquisition. Contracting Officers should use the method most suitable,
efficient, and economical for individual procurements.
Vendors may request signature of their own industry agreements – Do
Not Sign Vendor Agreements. Congress provides methods and tools for
obligating money on behalf of the U.S. Government, and the Contracting Officer
must use only the Government’s procurement methods, required forms (e.g.,
Standard Forms (SF), and tools (e.g., regulations, guidance) to establish
contracts. Contact Counsel for clarification, if needed.
4.4.1.1 Government-Wide
Commercial Purchase Card a.k.a. “BankCard” Top of Page
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The Bankcard shall be used to
purchase all supplies and services at or below the micro-purchase threshold
($3,000 for supplies, $2,500 for services, or $2,000 for construction). Use of
the BankCard is mandatory for Simplified Acquisition Procedures (SAP) purchases
that do not exceed the micro-purchase threshold because it reduces costly
administrative functions associated with Purchase Order (PO)s, BPAs, and other
simplified acquisitions methods. Some of the benefits of Bankcard use are
reduced paperwork, prompt receipt of items, reduced number of invoices, and
improved management information. Refer to the NOAA Bankcard
site for more information.
4.4.1.2 Purchase Orders (POs)
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A PO is awarded as a result of a
quotation; it is an offer by the Government to buy certain supplies and services
per the specific terms and conditions contained in the order. A
When the Contracting Officer
determines that a binding contract between the parties before the Contractor
undertakes performance is required, the Contracting Officer shall require
written acceptance of the
There are two types of POs:
Bilateral
POs are mandatory in the following situations:
Issuing Purchase Orders. POs may be issued on the SF 1449, Solicitation/Contract/Order for
Commercial Items, (required for commercial awards over SAT) or the OF 347,
Order for Supplies or Services. See FAR 13.307 for more information.
Issuing Purchase Orders with Options. When Options exist, the
Issuing Bilateral POs.
The Contracting Officer may or may not choose to award using the same SF 1449
that was issued as a written Solicitation. If the Contracting Officer uses the
same SF 1449 that was previously signed by both parties as a Solicitation,
he/she must make all applicable changes to terms and conditions, designate the
action as an “award,” and send the form back to the Contractor for signature.
When oral Solicitations were issued for commercial items per FAR 12 or FAR 13 or when a Combined Synopsis/Solicitation was used,
award may be made on SF 1449.
Terms and Conditions. Where
market research has determined that the requirement is not a commercial item, the Contracting Officer should include
those terms and conditions found in FAR
13.302. Where market research has determined that the requirement is a commercial item, the Contracting
Officer should include those terms and conditions found in FAR 12. Unless otherwise directed, clauses appropriate to
the
·
FAR 52.211-17 – Delivery of Excess Quantities.
This clause may be incorporated by reference and should be used in all POs for
supplies. (POs for commercial items may be modified to include this clause.)
This clause provides that if the Contractor delivers a quantity of supplies in
excess of that specified in the order (unless within allowable variation, if
any) the Government will keep such excess supplies up to $250 in value without
repaying the Contractor. The clause states that quantities in excess of $250
will, at the option of the Government, be returned to the Contractor at the
expense of the Contractor or retained and paid for by the Government at the
contract price.
·
FAR 52.211-5 – Material Requirements. This clause applies when the
Solicitation/order for supplies requires the use of new material and for any
services that may involve the incidental furnishing of parts.
·
FAR 52.213-2 – Invoices. This clause is required to be included in POs that authorize advance
payments for subscriptions or other charges for newspapers, magazines,
periodicals or other publications (i.e., any publication printed, microfilmed,
photocopied, or magnetically or otherwise recorded for auditory or visual
usage).
Additional clauses specific to POs may be used, such as Government
Furnished Property (GFP) clauses. GFP is anything
owned by the Government and furnished to a Contractor for repair, consumption,
modification, or study. When GFP is furnished to the Contractor, the buyer must
determine if a Government Property Clause is required, and if so, what
Government Property Clause to use. When a Government Property Clause is used,
the eventual order must be issued as a bilateral
When the cost of GFP to be repaired does not exceed the SAT, POs for
property repair need not include a Government Property Clause. Government
Property Clauses may be used whenever the Contracting Officer considers them
appropriate. Refer to FAR 45.107 for applicable Government Property Clauses.
FAR 52.232-23, Assignment of Claims must be included in POs for
other than commercial items where it is anticipated that a Contractor will
assign payments to a bank, trust company or other financial institution. A
contract must be in existence at the time an assignment is executed. If the
Contracting Officer receives a notice of an Assignment of Claim under a
Unilateral PO (where the PO is $1,000 or more and delivery has not been made),
the Contracting Officer should return the notice of assignment to the financing
institution with a letter stating that assignment cannot be made if the
payments remaining are for less than $1,000. If remaining payments are for
$1,000 or more, the Contracting Officer should modify the Unilateral PO and
include the Assignment of Claims clause, advising the Contractor that if it
executes and returns the amendment to the original order (the SF 30), a valid
assignment may be executed. A copy of the signed modification will be sent to
the paying office. (Note: For suspected violations of the Assignment of Claims Act,
the Contracting Officer shall report to the appropriate Office of General
Counsel supporting the Contracting Office.)
Oral Orders followed by Confirming Orders. An oral order followed by a confirming order
is a written
All oral orders must provide the following information:
Confirming orders placed subsequent to oral orders should be prepared
as any other
4.4.1.3 Unpriced Purchase Order
(UPO)
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An Unpriced Purchase Order (UPO)
is one for supplies or services for which a firm price cannot be established at
the time the order is placed. Use of UPOs is discretionary on the part of the Contracting Officer; he/she should exercise
care and judgment in selection of Contractors to receive UPOs. Prior to
utilization of a UPO, the Contracting
Officer should determine the impracticability of soliciting firm prices
and reliability of any information supporting the price reasonableness
determination of the monetary Not-to-Exceed (NTE) limitation established for
the UPO.
A UPO may only be used when the
Contracting Officer has determined that one of the following conditions apply:
UPOs are most commonly used for repairs. In
some cases, it may be necessary to issue a
It is imperative that a realistic monetary
limitation or NTE dollar amount be established at order issuance by the
Contracting Officer through correspondence with the Customer and Contractor.
The NTE may be placed on the total UPO or for each unpriced line item where the
order holds both priced and unpriced line items. The NTE shall not be exceeded
by the Contractor and shall be subject to adjustment (downward unless
Contracting Officer determines otherwise) when the firm price is established.
In order to determine a realistic monetary limitation, the Contracting Officer
should ascertain as much information as possible from the Customer and
Contractor on possible costs that will be included in the final price. The
contract file should be documented with the basis for the established NTE
price.
Clause
requirements. FAR 52-213-3, Notice to Supplier (APR 1984), must be
included in all UPOs. This clause notifies the Contractor that a firm order
exists only if the price does not exceed the maximum line item or total price
in the Schedule. It advises the Contractor that if performance cannot be
accomplished per the order, to withhold performance and notify the Contracting
Officer immediately. Therefore, the Contractor cannot exceed the established
NTE price in a UPO without first notifying and obtaining approval from the
issuing Contracting Officer.
Modification. If the Contractor advises that
performance per the specifications of the order is impossible (e.g., it will cost more money to complete
repairs), the Contracting Officer has the option of canceling the order or
modifying it to increase the price. If the UPO is canceled, the Government may
be responsible for costs incurred prior to the date of order cancellation. If
the UPO is modified, the Contracting Officer must determine that any additional
cost above the initially estimated NTE amount is fair and reasonable; he/she
must and document the determination in the contract file, based on information
provided by both the Contractor and the Requiring Activity. When modifying the
order, the Contracting Officer should attempt to negotiate a firm fixed price
and incorporate the fixed price in the modification. UPOs need not be modified
to establish a fixed price that is less than the original NTE price of the
order.
Alternative to UPOs. An alternative method to using UPOs is
issuing one firm fixed PO for tear down, which should include that the
Contractor provide a firm fixed quotation for final repair. The Contracting
Officer can then issue a firm fixed priced
UPOs typically do not fit the requirements for commercial item
procedures. UPOs will generally be issued on the OF 347 and must contain FAR 52.213-3, Notice to Supplier.
Monitoring of UPOs. All activities issuing UPOs
should develop a process to monitor these orders. This process should include
procedures to ensure timely pricing of orders and that prices paid are fair and
reasonable. Procedures that will assist activities in this area include:
·
Follow-up/Record of Status. The Contracting Officer should follow up on
each UPO to ensure timely pricing. To accomplish this, a suitable local record
of UPOs should be maintained to identify any outstanding UPOs not processed for
payment. The record should show the order number and date, name of the
Contractor, the estimated NTE amount, and date follow-up was performed, as
appropriate. A log or other type of filing method that would include issued
copies of UPOs are acceptable methods of maintaining these records.
4.4.1.4 Blanket Purchase
Agreements (BPAs) and BPA Calls Top of Page
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Blanket Purchase Agreements
(BPAs) are individual charge accounts to cover recurring requirements in the
same general category. The terms and conditions of any transactions are
established by the BPA and calls are placed against the BPA by individuals
authorized by the Contracting Officer.
BPAs are typically used when a unit has a repetitive need for supplies or
services that cannot be predicted in advance. BPAs eliminate the need to issue
individual POs when recurring requirements of the same general category are
known. Payment is not made for every purchase; rather invoicing occurs
regularly (at least monthly).
The BPA is administratively
efficient because a) oral (not written) calls are placed, and b) invoices are
paid regularly rather than for each transaction.
Single vs. Multiple BPAs
Establishing BPAs. A warranted Contracting Officer establishes the BPA. Prior to doing so, the Contracting Officer should discuss terms of the agreement with the Contractor, including invoicing procedures, required terms and conditions, and special requirements. To the maximum extent practicable, BPAs for items of the same type should be established at the same time (with more than one supplier), in order to meet competitive requirements. In the instance of a single-source BPA, the Contracting Officer must document reasons why the BPA was issued to only one source. Single-source BPAs are still subject to other SAP requirements (e.g., small business consideration and fair and reasonable price determination). Further, single-source BPAs must be regularly reviewed to verify the reason for only one source and document efforts to obtain competition. BPAs for commercial items may be prepared and issued on the SF 1449, Solicitation/Contract/Order for Commercial Items or on the OF 347, Order for Supplies or Services.
Terms and Conditions. Each BPA should include the following terms and conditions, per FAR 13.303-2:
The BPA is not generally issued
with any accounting data. There is no obligation on the Government to order
against the BPA and likewise no obligation on the Vendor to accept any calls.
Until the work is agreed upon by the Vendor against the BPA, a contract does
not exist. Contracting Officers should
establish BPAs that require the GCPC as a method of payment for BPA calls to
the maximum extent practicable.
The BPA should include the requirement that
all shipments be accompanied by a delivery ticket, containing the following:
·
Name of
supplier.
·
BPA
number.
·
Date of
call.
·
Call
number.
·
Itemized
list of supplies or services.
·
Quantity,
price, extended price.
·
Date of
delivery/shipment.
Authorized Callers. Authorized individuals within the contracting office that established the BPA can place BPA calls. In addition, the Contracting Officer who issued the BPA may authorize other activities that have been granted appropriate authority to place calls under his/her BPA. All activities authorized to place calls under the BPA(s) of another command must submit to the issuing contracting office a list of individuals who have been appointed to make calls (including the dollar limitation per person/call). This may include a list of GCPC Cardholders authorized to place calls or use their cards as a method of payment for otherwise properly issued calls. A list of authorized callers should be maintained by both the issuing Contracting Officer and the activity placing the calls.
Placing BPA Calls. When
placing a BPA call, the Contracting
Officer should identify him/herself to the supplier and provide the
following information:
·
BPA
number and call number.
·
Items
ordered.
·
Unit
price, total price, established by the BPA, if applicable.
·
Point of
contact.
·
Time and
place of delivery.
BPA call records shall be
maintained to include the following:
·
BPA
number.
·
Call
number.
·
Date of
call.
·
Items or
services ordered.
·
Date of
required delivery.
·
Accounting
and appropriations data.
·
Quantity.
·
Unit,
extended and total price.
·
Signature
of person making the call (waived if approved automated system is used).
See Sample BPA Call Record Sheet.
BPA Invoices / Payments. The Vendor must submit an invoice on an at-least-monthly basis. The Contracting Officer must obtain
agreement from the Vendor on the method of invoicing to be used and the
Vendor’s invoicing (billing) period before establishing a BPA. The three methods
of invoicing are:
The Contracting Officer (or designated representative) must submit a
copy of each sales slip or delivery ticket with the monthly call sheet to the
Comptroller for obligation and receipt purposes when hard copies are used. When
using electronic generated forms, electronic call sheets without delivery or
sales slips can be submitted.
BPA Reviews. The Contracting
Officer who entered into the BPA is required to review each BPA annually
and update as necessary. At that time, the Contracting Officer should consider changes in market conditions,
which may have an effect on the BPA (e.g., pricing and new suppliers of the
class of items). If necessary, the Contracting
Officer should establish additional BPAs for similar commodities and
ensure reissued BPAs are adequately updated (see also FAR 13.303-6).
The review should
ensure that:
·
Calls
are rotated among qualified suppliers.
·
Authorized
callers have not exceeded their call authority.
·
BPA call
logs are properly maintained.
·
Invoices
are properly supported and submitted on time for payment.
·
Requirements
are not “split” in order to permit purchasing within caller's authority.
The Contracting
Officer shall maintain evidence of these reviews.
4.4.1.5 Indefinite Delivery
Contracts (IDC) and Delivery/Task Orders Top of Page
|
Indefinite Delivery Contracts (IDCs) allow for the acquisition of
supplies and/or services when the exact times and/or exact quantities of future
deliveries are not known at the time of contract award. IDCs are also known as
Delivery Order or Task Order contracts. Examples of IDC contracts include
Indefinite-Delivery/Indefinite-Quantity (IDIQ),
Indefinite-Delivery/Definite-Quantity, and Requirements contracts. IDC
contracts may be single or Multiple Award Contracts (MACs). Delivery/Task
Orders may be Fixed Price (FP), Cost Reimbursement (CR), Time-and-Materials
(T&M), labor-hour, or some combination of these arrangements as stated in
the contract. (See APG
Planning Module Section 1.6.)
The work statement included in a Contract details the programs and
projects under which supplies or services may be provided/performed, but the
specifics of the supplies or services frequently require further amplification
by means of issuance of DOs and TOs. FAR 2.101 defines a DO as an “order for supplies placed
against an established contract or with Government sources.” A TO is
essentially the same as a DO, but for services as opposed to supplies.
DO/TOs under IDCs may be issued on the SF 1449,
Solicitation/Contract/Order for Commercial Items or on the OF 347, Order for
Supplies or Services. As all the basic terms and conditions are included in the
basic contract, it is usually only necessary to include the following as
required by FAR 16.505:
As indicated by FAR 32.703-3, a TO for severable services may have a period
of performance that crosses fiscal years if the period of performance does not
exceed one year. The method of payment for orders under IDCs should be
established in the basic contract.
An order log should be maintained for each IDC in which orders are being placed. At a minimum, the log should include the Delivery Order number, requisition/purchase request number, the dollar amount of the order, and a running total of funds obligated under the IDC.
The Contracting Officer shall document in the
contract file the rationale for placement and price of each order, including
the basis for award and the rationale for any tradeoffs among cost or price and
non-cost considerations in making the award decision.
4.4.2 Larger Contracts
Top of Page
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4.4.2.1 Incorporating Proposals
by Reference Top of Page
|
It is at the Contracting Officer’s discretion whether to incorporate a proposal by reference or to revise the Specification/Performance Work Statement (PWS) that appeared in the Request for Proposal (RFP) to reflect those specific parts of the Contractor’s proposal being accepted (in which case the Contracting Officer must then send the contract to the Contractor for review and signature).
If incorporating the proposal by reference, the Contracting Officer should include an order of precedence clause similar to the following:
The Contractor’s [technical and/or cost] proposal dated dd/mm/yyyy is hereby incorporated by reference. In the
event of inconsistencies between the provisions of the contract and the
proposal, the inconsistency shall be resolved by the following order of
precedence: (1) the contract excluding the proposal then (2) the [technical
and/or cost] proposal.
If incorporating the proposal by reference for commercial items, the order of precedence is stated in FAR 52.212-4(s). Any inconsistencies in this Solicitation or contract shall be resolved by giving precedence in the following order:
· The schedule of supplies/services.
· The Assignments, Disputes, Payments, Invoice, Other Compliances, and Compliance with Laws Unique to Government Contracts paragraphs of this clause.
· The clause at FAR 52.212-5.
· Addenda to this Solicitation or contract, including any license agreements for computer software.
· Solicitation provisions if this is a Solicitation.
· Other paragraphs of this clause.
· The Standard Form 1449.
· Other documents, exhibits, and attachments.
· The Specification.
For commercial items under FAR 12, the Contracting Officer may choose to incorporate both the proposal and a special order of precedence clause via an addendum to the contract. In this situation, the special clause takes precedence over the standard order of precedence in FAR 52.212-4(s).
For
more specific information on awarding a contract, see FAR 15.504.
4.5 Award Forms
|
This section is designed as a guide to filling out common award related documents; only items of special interest are explained. Users are strongly encouraged to check any stated references for the most recent guidance, forms, and instruction. In addition, Contracting Officers must use the C.Buy System to prepare and award contracts, modifications, and orders. Use of C.Buy is critical to ensure consistency, tracking, and timely recordation of all financial transactions. Once a contract action is appropriately approved within C.Buy system, the contract document must be signed by the identified and duly authorized parties. The Contracting Officer must also ensure that the individual signing on behalf of the Contractor is authorized to do so. Bilateral actions, those requiring both the Contractor and Government signatures require the Contracting Officer to sign after signature by the Contractor.
Note: If the award document includes information that is different from the latest signed proposal, as amended by the Offeror’s written correspondence, both the Offeror and the Contracting Officer must sign the contract award.
Procurement documents are issued using the Uniform Procurement
Instrument Identification Number (PIIN) system and shall be numbered in
accordance with NOAA Acquisition Handbook, Part 4.
4.5.1 SF 1449 Solicitation/Contract/Order for
Commercial Item Top of Page
|
Per FAR 12.204, The Contracting Officer shall use the Standard Form 1449 if –
· The acquisition is expected to exceed the SAT;
· A paper Solicitation or contract is being issued; and
· Procedures at FAR 12.603 (Combined Synopsis/Solicitation) are not being used. Use of the SF 1449 is non-mandatory but encouraged for commercial acquisitions not exceeding the SAT.
The Solicitation: When completing this form
for a Solicitation, the order number (Block 4) is not used. The Contracting Officer should complete
all applicable blocks for a Solicitation and forward the form to all
perspective bidders. Check Block 27a, and include the following clauses:
· FAR 52.212-1 Instructions to Offerors – Commercial Items, as tailored.
· FAR 52.212-2 Evaluation – Commercial Items. This clause must be included if the purchase is to be accomplished using best value practices. The Contracting Officer must inform all prospective bidders of the factors used in evaluating their quotes.
· FAR 52-212-3 Offeror Representations and Certifications – Commercial Items. This clause must be included in full text, with the appropriate clauses checked for inclusion. All Contracting Officers should refer to the FAR clause matrix and ensure that all applicable clauses are included for the procurement.
When the SF 1449 is returned from the Vendor,
Blocks 12 and 30 should be completed. If these blocks are not completed,
contact the Vendor for the required information.
If oral Solicitations are sought, the
information in clauses FAR 52.212-1 and FAR 52.212-2 must be passed to the Vendor, and the
information in clause FAR 52.212-3 must be gathered during the Solicitation (an
Offeror shall complete only paragraph (j) of this provision if the Offeror has
completed the annual representations and certifications electronically at http://orca.bpn.gov/).
The Order: Upon receipt and evaluation of all
quotes, the Contracting Officer issues
the SF 1449 to the Vendor that offers the best value to the Government. When
issuing the form as an order, the Contracting
Officer must ensure the following:
· Page number –The correct number of pages must be stated in this block in order to be included in the order. If the order is typed as “page 1 of 1” then the order legally is only 1 page. Orders for commercial items will never be one page.
· Clauses – Check Block 27b, and include the clauses FAR 52.212-1 and FAR 52.212-2 to the Vendor, even if these are provided in the RFQ package. Remember, a quote is non-binding; therefore, the Contracting Officer must include all clauses in the order for them to be in effect.
· Block 10 – Enter unrestricted (open to any Vendor) or set-aside. If the order is between $3,000 and $100,000, then it is a small business set-aside. See FAR 19 for more information on set-asides and North American Industry Classification System (NAICS) codes.
4.5.2 OF 347 Order for Supplies or Services Top of Page
|
The OF
347 is used for purchases made using SAP, and may also be used for
commercial item requirements that do not exceed the SAT (although the Standard
Form 1449 is recommended).
The OF 347 serves as a—
· PO or BPA.
· DO or TO.
· Receiving and inspection report.
· Property voucher.
· Document for acceptance by the supplier.
· Public voucher, when used as—
o A DO;
o The basis for payment of an invoice against BPAs or Basic Ordering Agreements (BOAs) when an FFP has been established; or
o A PO for acquisitions using SAP.
4.6 Debriefings
|
A post-award debriefing is a
meeting in which the Contracting Officer explains to an Offeror the basis for
contract award. Post-award debriefings may be requested by successful and
unsuccessful Offerors.
4.6.1 Requests for Debriefings Top of Page
|
The
Government must receive an Offeror’s written request for debriefing
within three days of the Offeror’s receipt of contract award notice. To the
maximum extent practicable, the Government should conduct debriefings within
five days after receipt of the written request. This is important because the 10-day protest clock does not begin until
the day the Offeror is debriefed.
Whenever FAR 15 evaluation techniques are used and a competitive
range is established, an Offeror must be notified if excluded from the
competitive range. Such an Offeror who failed to submit a timely request for a
pre-award debriefing is not entitled to a post-award debriefing; however,
Offerors that requested a post-award debriefing in lieu of the pre-award debriefing, or whose debriefing was
delayed beyond contract award for compelling reasons, also should be debriefed
within five days after receipt of the written request.
An Offeror that was notified of their exclusion from the competitive range, but failed to submit a timely request for debriefing at that time, is not entitled to a debriefing; however, Offerors that requested a post-award debriefing in lieu of the pre-award debriefing or whose debriefing was delayed for compelling reasons beyond contract award, also should be debriefed within five days after receipt of the written request.
4.6.2 Preparing for the Debriefing
Top of Page
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The Contracting Officer is responsible for assembling the debriefing team and conducting the debriefing and the Project Officer is responsible for providing support to the Contracting Officer in performing the following duties:
The objective of
the debriefing is to accomplish the following:
4.6.3 Conducting the Debriefing
Top of Page
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At a minimum, each debriefing should include the following information:
The post-award debriefing must not include:
For more information, see FAR 15.506. See also the Debriefing Agenda Template – a tool that Contracting Officers can tailor for use in both pre- and post-award debriefings.
4.6.4 Documenting the Debriefing
Top of Page
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Official summaries of each debriefing shall be included in the contract
file in accordance with FAR 15.506(f). Prepared by the Contracting Officer and
signed by appropriate members of the source selection team (e.g., Counsel; Source Selection Evaluation Board (SSEB), Cost/Price
Analysis Team (C/PAT), and/or Past Performance Evaluation Team (PPET) Chairs),
each official summary includes the following:
4.6.5 Debriefings under Federal Supply Schedule
(FSS) Top of Page
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The statutory/regulatory requirements associated with competitive negotiated acquisitions in FAR 15 do not apply to orders placed against an FSS contract; however, if an unsuccessful offer requests information on an award that was based on factors other than price alone, a brief explanation of the basis for the award decision shall be provided. It may be in NOAA’s best interest to provide unsuccessful FSS Vendor information about the evaluation of the Vendor’s offer (e.g., to avoid a potential protest and/or provide the Vendor relevant information that may improve its competitive capabilities for future requirements). Note: the rule allowing protests to be filed within 10 days of a debriefing does not apply to FSS procurements, since FSS debriefings are not required by law.
While not required, the Contracting Officer may, at his/her sole discretion, elect to provide additional information to an unsuccessful FSS Vendor(s). When electing to do so, the Contracting Officer should consider the following:
Information
may include the following:
Information that is provided should relate only to the successful FSS Vendor and the unsuccessful FSS Vendor receiving the notice. That is, do not include technical ratings or evaluated prices for any other unsuccessful FSS Vendor(s). However, the relative ranking of the unsuccessful FSS Vendor’s evaluated technical rating and price (e.g., third highest technical score and highest evaluated price) may be identified at the Contracting Officer's discretion. Officer (GAO).
4.7 Payment and Performance Bonds
|
If in accordance with the Miller Act, Payment and Performance bonds are required, the contractor shall provide the bonds within the number of days required of the contract. The contractor shall not commence performance until notice to proceed is given by the Contracting Officer. The Contracting Officer should use the Bonds Checklist to certify the acceptability of the bonds. Bond Sureties shall be verified to be approved by the Department of the Treasury. See the Department of Treasury's Listing of Approved Sureties at http://fms.treas.gov/c570/c570.html
4.8 Assignment of Contract
Administration
|
The Contracting
Officer may delegate contract administration functions. It is rare at the NOAA that the Procuring
Contracting Officer (PCO) is not also the Administrative Contracting Officer
(ACO) and would not then perform both pre-award and post-award functions. A complete list of contract administration
functions can be found at FAR 42.302. See also
OFPP’s Guide to Best Practices for Contract Administration.
Additionally, the
Contracting Officer may request assistance from the Small Business Specialist
in reviewing, evaluating, and approving small business master subcontracting
plans or evaluating subcontracting plans for commercial items.
4.9 Contracting Officer’s Representative
(COR) Assignment
|
The Contracting Officer’s Representative (COR) is a title given to an individual who is authorized, in writing by the Contracting Officer, to perform prescribed administrative and/or technical functions as prescribed in CAM 1301.670, and remains in effect throughout the life of the contract unless sooner revoked by the Contracting Officer, automatically revoked upon separation of the COR from Government service, or COR reassignment. Contracting Officers may designate a COR to monitor Contractor performance and deliveries beyond what the Contracting Officer is able to provide. The COR provides technical direction/clarification and guidance with respect to the contract Specifications or Statements of Work (SOWs). The COR must be designated in writing, with a complete list of duties and limitations included in the Designation Letter. In the performance of COR duties, he/she does not have the authority to take any action, either directly or indirectly, that could affect price, quality, quantity, delivery, or other terms and conditions of the contract. Only the Contracting Officer has the authority to make such changes.
The Contracting Officer must consider the complexity and dollar value of the acquisition, the candidate’s technical knowledge, experience, training, judgment, character, and reputation when making their appointment as follows:
·
The Contracting Officer’s Technical
Representative (COTR) is appointed for all contracts over the
Simplified Acquisition Threshold (SAT). The
Contracting Officer may appoint a COTR for actions below the SAT when deemed
appropriate
·
The Assistant or Alternate Contracting
Officer Technical Representative (ACOTR) is appointed to serve in the
absence of the COTR and/or assisting the COTR in performing contract management
duties.
·
The Point of Contact/Order Contact (POC)
is appointed for purchase orders below the SAT where the Contracting Officer
determines a specific acquisition is of sufficient complexity or risk to
appoint a P/OC.
·
The Task Manager (TM) is appointed
for tasks awarded against a master contract, supply schedule or other ordering
vehicle and is responsible for functioning as the technical representative of the
contracting Officer for tasks awarded against a master contract.
The Contracting Officer should stress to the CORs supervisor that they be notified immediately in writing if the appointed COR is transferred, reassigned, will be absent for an extended period, or is otherwise unable to fulfill the responsibilities of the position. Termination of a COR follows the same procedures as appointing a COR: it is accomplished by formal letter forwarded to the applicable parties in accordance with the procedures of CAM 1301.670, and receipt acknowledged. The COR Revocation Memorandum shall be retained in the contract file.
4.9.1 Training Top of Page
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Prior to appointment of a COR, the Contracting Officer should take into consideration the ability, training, and experience of COR nominee and must assure that nominees are appropriately qualified to act as authorized representatives of the Contracting Officer. The Federal Acquisition Certification for Contracting Officer Technical Representatives (FAC-COTR) is a program issued pursuant to 41 U.S.C. 403 et seq, OFPP Policy Letter 05-01 (paragraph 9), and as further implemented by CAM 1301.670, that establishes key COR skills, competencies and training requirements for civilian agencies. CORs must have a minimum of 40 hours of training and must maintain their skills currency through continuous learning. Training can be obtained through the Defense Acquisition University (DAU), commercially-available sources, colleges or universities, or agency-specific courses. Twenty-two of the required 40 hours of training must cover the essential COR competencies.
A suggested training curriculum provided by the Federal Acquisition Institute (FAI) includes the following courses:
CLC106 –
COR with a Mission Focus (8 CLPs)
CLM024 –
Contracting Overview (8 CLPs)
CLC004 –
Market Research (3 CLPs)
CLC007 –
Contract Source Selection (1 CLP)
CLM003 – Ethics Training for Acquisition Technology and Logistics (2 CLPs) or similar.
Both the title and course number are provided for reference. Individuals who have completed FAI’s 24-hour “COR Mentor” course have satisfied this requirement. The remaining 18 hours of the required 40 hours of training should include agency-specific courses*, electives, and/or those identified by the Contracting Officer, as necessary, for managing a particular contract.
For more information see OFPP Policy Letter 05-01, OMB Memorandum dated November 27, 2007. All
mandatory
training as well as continuous learning is required before a FAC-COTR
Certificate will be issued.
4.9.2
Acquisition Career Management Information System (ACMIS)
Top of Page
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Section 37(d) of the OFPP Act,
as amended (41 U.S.C. 433(d)) requires each
executive agency to collect, maintain and utilize information to ensure
effective management of the acquisition workforce. The Federal Acquisition
Institute maintains a Government-wide Acquisition Career Management Information System (ACMIS) that is used to track COR training and certification
information.
Program officials are responsible for establishing policies for maintaining complete training, certification, and continuous learning records for members of their Contracting Officer Representative workforce and ensuring information is entered in ACMIS. CORs must enter information into ACMIS to reflect training, certification, and continuous learning points and are responsible for updating ACMIS information as necessary.
4.9.3 Certification Application Process Top of Page
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Program
officials shall nominate competent candidates for COR certification. Nominees must initiate and prepare their
applications for FAC-COTR certification and submit the application package to
their supervisor for endorsement. Nominees are responsible for producing
certificates, transcripts, and records that provide evidence that they satisfy
the requirements of the program.
Application packages for certification shall include:
The nominee’s supervisor shall assess the skills and competencies of the applicant and develop a plan for enhancing or adding to the nominee’s competencies, if appropriate. The supervisor shall forward the package to the Head of Contracting Office for endorsement. The HCO must forward the package to the Senior Bureau Procurement Official for approval. Once the SBPO approves the application, the package shall be forwarded to:
U. S. Department of Commerce
Office of Acquisition Management
Acquisition Career Manager
1401 Constitution Avenue, NW
HCHB Room 1854
Washington, DC 20230
The Acquisition Career Manager (Director of Commerce Acquisition Workforce and
Policy Development Division) will review each application to determine whether
the individual satisfies the requirements for the requested certification and
forward the package, along with their recommendation, to the Senior Procurement
Executive. The
Senior Procurement Executive has final authority for certifying a nominee.
4.9.4 Nomination Top of Page
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Program officials are responsible for nominating CORs candidates for each acquisition who are technically competent in the field related to the specific acquisition and who have received FAC-COTR certification at the appropriate level to support the contract action. Program officials shall consider the amount of time the nominee is able to dedicate to performing delegated contract management duties. In order to involve the COR in the advance acquisition planning process, formal nomination shall be made early in the acquisition process, or at the latest when the purchase requisition is generated. See sample nomination letter (Nomination Letter PM to CO). A copy of the nomination letter shall be provided to the Contracting Officer when the nomination is made early in the process or shall ensure a copy of the nomination letter accompanies the purchase requisition.
4.9.5 Appointment
Top of Page
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A COR appointment is required for every contract action where the Contracting Officer delegates contract management responsibilities to a COR. The Contracting Officer shall consider the complexity and dollar value of the acquisition, the candidate’s technical knowledge, experience, training, judgment, character, and reputation when appointing a COR.
The COR candidate shall meet certification requirements, as evidenced by a FAC-COTR. Before making an appointment the Contracting Officer shall consider the amount of time the candidate is able to dedicate to performing delegated contract management duties. The Contracting Officer may deem a COR candidate ineligible for a particular appointment if the candidate is unable to perform the delegated contract management duties successfully, given other demands on their time. For all Level 3 CORs, the Contracting Officer shall also ensure that contract management is included in the COR’s performance plan prior to appointment.
Once the Contracting Officer is satisfied that the nominee is FAC-COTR certified and can dedicate the time necessary for successful contract performance, the Contracting Officer shall initiate an Appointment Memorandum using the sample COTR Appointment, ACOTR Appointment, and P/OC Appointment Memorandums. Such appointments will define the scope and limitations of the CORs authority as well as the extent and method of contract monitoring appropriate to the particular contract involved. CORs are responsible to the Contracting Officer for those actions delegated by the Contracting Officer as specifically addressed in the Appointment Memorandum. In the performance of COR duties, the COR does not have the authority to take any action, either directly or indirectly, expressed or implied, that could change the price/cost or fee, quantity, quality, scope, delivery schedule, labor mix, or other terms and conditions of the contract and/or task order. Only the Contracting Officer has the authority to make such changes. Any authority delegated to a COR is not redelegable.
The COR shall acknowledge receipt and acceptance of the COR Appointment
Memorandum by countersigning the Appointment Memorandum. The Appointment Memorandum along with the
COR acknowledgment shall be retained in the contract file.
If any changes to the scope and limitation of the CORs authority occur during the life of the contract, the Contracting Officer must either issue a new Appointment Memorandum or simply amend the existing one. If one COR is to act for the Contracting Officer on more than one contract and the scope and limitations of authority are the same for all contracts, then one appointment may be issued which references each contract under the appointment.
COs shall remind prospective CORs of their obligation to disclose any direct or indirect financial interest that would conflict with the CORs public duties, in accordance with Department Administrative Order (DAO) 202-735a Employee Responsibilities and Conduct-Amendment 1, which cover employee responsibilities and conduct for U.S. Department of Commerce personnel.
Unless the appointment contains other provisions for automatic termination, the appointment must be effective, unless sooner revoked, until the COR is reassigned or the individual’s employment is terminated. In accordance with the guidelines contained within CAM 1301.670, the Contracting Officer may revoke a COR appointment. Such revocation must be made in writing (see Sample COR Revocation Memorandum).
4.10 Alternate and Assistant Contracting
Officer’s Representative (COR) Assignment
|
An
Alternate and Assistant COR (ACOR) may also be assigned to a contract. An ACOR
may be designated to perform the COR functions when the COR is unavailable to
perform those duties (e.g., long-term medical leave, vacation, etc.) or in
instances where contract performance is occurring simultaneously in multiple
physical locations or in support of high dollar, complex procurements. The ACOR
can be appointed at the time of contract award as well, or may be appointed at
a later date. The ACOR Appointment (see sample) as well as the contract, must
expressly state that the alternate COTR shall act only in the absence of the
primary COR. The nomination and appointment criteria, process, and training
requirements are identical for Primary, Alternate and Assistant CORs.
The Contracting Officer should clearly state the contact information of
the Contracting Officer’s Technical Representative in the contract, along with
his or her responsibilities, authority, and limitations which is easily
accomplished by incorporating CAR
1352.201-71 “Contracting Officer’s
Technical Representative (COTR)” clause and providing the contractor
with a copy of the COTR Appointment Memorandum. As noted above, as applicable,
an ACOTR can be appointed at the time of contract award or may be appointed at
a later date. Once appointed, the contract must be modified to include the
ACOTR contact information, duties, responsibilities and limitations. The duties
and responsibilities of the ACOTR are set forth in the Appointment Memorandum.
The
following table highlights the requisites for COR eligibility, delegation, and
responsibilities:
COR Eligibility,
Delegation, and Responsibilities |
||
Requisites
for COR Eligibility |
Be
a Government employee unless otherwise authorized in agency regulations. |
|
Possess
a FAC-COTR Certificate |
||
“DOs”
for COR Delegation |
Do obtain written appointment,
with copies furnished to the Contractor. |
|
Do include the following in the Appointment Memorandum:
|
||
Do complete
acknowledgment/acceptance portion of the COR Appointment Memorandum, and sign
and return the original to the Contracting Officer. |
||
“DO
NOTs” for COR Delegation |
|
|
Do Not delegate authority to make any commitments or changes that
affect price, quality, quantity, delivery, or other terms and conditions of
the contract.* |
||
COR
Responsibilities & Duties** |
Maintain currency of training through
attendance at mandatory refresher training sessions at least once every three
years. |
|
Maintain a file for each contract
assigned that includes, at a minimum, the following:
|
||
Provide surveillance and oversight to
include the following:
|
* Specific to COR limitations, a COR SHALL NOT: make any agreement
with the Contractor requiring the obligation of public funds (sign contracts,
delivery/task orders, purchase orders, or modify a contract or order, or in any
way obligate payment of funds by the Government); encourage the Contractor by
words, actions, or a failure to act to undertake new work or an extension of
existing work beyond the contract period; interfere with the Contractor's
performance by "supervising" Contractor employees or otherwise
directing their work efforts; authorize a Contractor to obtain property for use
under a contract; allow government property accountable under one contract to
be used in the performance of another contract; issue instructions to the
Contractor to start or stop work; order or accept goods or services not
expressly required by the contract; discuss acquisition plans or provide any
advance information that might give one Contractor an advantage over another
Contractor in forthcoming procurements, and re-delegate COR authority or
responsibilities.
** For further details on COR responsibilities & duties, see COTR Appointment Memorandum.
4.11 Distribution
|
The Contracting Officer obligates the Government via his or her signature on the contract document. The award information flows from the Commerce STandard Acquisition Reporting System (CSTARS) by way of the C.Buy Module, electronically to the buying activity’s financial system of record.
If C.Buy is not used, the Contracting Officer should ensure that the contract award is distributed to the Accounting/Finance Office for timely recording in the financial system of record.
The Contracting Officer is responsible for distributing copies of contracts, contract modifications, or orders within 10 working days of contract/agreement award (see FAR 4.2) to the following:
Contracting Officers shall use
the C.Buy
System to prepare and award contracts, modifications, and orders. From a financial perspective, use of C.Buy is
critical to ensure adequate accounting of obligated funds through
contracts/agreements. The Contracting
Officer obligates the Government via his or her signature on the contract
document.
4.11.1 Individual Contracting Action Report – Federal Procurement
Data System (FPDS-NG)
Top of Page
|
In
accordance with the Federal Funding
Accountability and Transparency Act of 2006 (Pub. L. No. 109-282), all
Federal award data must be publicly accessible.
Contracting Officers are required to report all contracting
actions obligating or deoblitating funds, in excess of the micro purchase
threshold, in the FPDS (web based
reporting system) within three business days
of executing an action* as outlined in FAR 4.6 and CAM
1304.6.
* In an emergency acquisition environment or while overseas, reporting electronically may not always be possible. Therefore, actions that require reporting shall be accomplished upon arrival to an area in which internet connectivity is available; this may be upon redeployment, movement to sustainment phase, or return to routine operations. Upon contract award, the EA KO should prepare and complete an Express CAR in FPDS-NG. Express CARs allow for the use of generic DUNS when working with Miscellaneous Foreign Contractors.
See https://www.fpds.gov/fpdsng_cms/index.php/training
for more information regarding training opportunities, FAQs and user manuals.
Contracting
Officers must file a copy of the “contract action report” in the contract file.
Reporting contract actions is required. Procurement reports are submitted to the
Federal Procurement Data System – Next Generation (FPDS-NG), which generates a
Contract Action Report (CAR). See the FPDS-NG User Manual for details on how to use the system.
FPDS-NG is a centralized web-based system that is primarily used for machine-to-machine communication of contractual data but can be used manually for such situations where regular Internet access is not available (essentially contingency operations). When making an award, the Contract Specialist prepares the awarding contract in C.Buy which directly links to FPDS-NG where the specialist can then create and save the CAR. The Contracting Officer can approve the CAR from within C.Buy or FPDS-NG directly. The CAR ultimately resides in FPDS and all that is saved in C.Buy is a link to the report.
Besides
the benefit of eliminating redundant systems, FPDS-NG is important to the DOC
because it provides a basic audit trail for contract reporting, spend
analysis, strategic sourcing, Congressional reporting, financial
accountability, and detailed self-service data analysis. FPDS-NG also provides
important socio-economic information about how the Government is performing
with regard to allocating contracting opportunities to small and disadvantaged
businesses. This system acts in a
real-time environment, which enables agencies, lawmakers, and the general
public visibility into unclassified procurement activity within the Federal
Government.
FPDS-NG collects and stores data related to all contract actions, interfaces with the CCR to obtain primary source of vendor validation, interfaces with C.Buy to allow for near real time updates, and allows for Government and public users to run an array of standard, semi-configurable online reports as well as more advanced ad hoc queries.
As explained in FAR 4.602, reporting of this contract information provides
the following:
· A basis for recurring and special reports to
the President, the Congress, the Government Accountability Office, Federal
executive agencies, and the general public.
· A means of measuring and assessing the impact
of Federal contracting on the Nation’s economy and the extent to which Small
Business, Veteran-Owned Small Business, SDVOSB, HUBZone Small Business, Small
Disadvantaged Business, and Women-Owned Small Business Concerns are sharing in
Federal contracts.
· Information for other policy and management
control purposes, and for public access.
Contract actions that obligate or deobligate
amounts exceeding the threshold ($3,000) and modifications to those transactions
regardless of dollar value (i.e., including actions resulting in $0.00) must be
reported in FPDS, unless an exception applies. (Further guidance can be found
in FAR 4.602(c) )
“Contracting Action” as any action related to
the purchasing, renting, or leasing of supplies, services, or construction,
including, but not limited to, the following:
o
Orders
against basic ordering agreements, including service orders issued on DD Form
1164, Service Order for Personal Property, by installation transportation
offices;
o
Calls
against Blanket Purchase Agreements (BPAs);
o
Job
orders;
o
Task
Orders (TOs);
o
Delivery
Order (DOs);
o
Communication
services authorizations; and
o
Notices
of termination or cancellation.
o
Change
orders;
o
Supplemental
agreements;
o
Funding
actions; and
o
Option
exercises.
Contract actions do not include grants, cooperative agreements, or training
authorizations.
Zero Dollar
Values and IDIQ Basic Awards in FPDS-NG: Contract actions resulting in $0.00
are also required to be reported in FPDS-NG. The first delivery/task orders on
IDIQs are to be placed concurrently with the basic contract award and reported
accordingly.
Visit the FPDS website at https://www.fpds.gov for more information.
4.12 Summary of Award Module
References
|
Section |
Loc |
Reference Description |
Type |
Source |
1 |
Policy |
NOAA |
||
2 |
Website |
DOC
|
||
1 |
Regulation |
FAR |
||
2 |
Template |
NOAA |
||
3 |
Regulation |
FAR |
||
1
|
Regulation |
FAR |
||
2
|
Template
|
NOAA
|
||
3
|
Regulation |
FAR |
||
4
|
Regulation |
FAR |
||
5
|
Regulation |
FAR |
||
6
|
Regulation |
FAR |
||
7
|
Regulation |
FAR |
||
1 |
Policy |
DOC |
||
2 |
Statute |
Federal |
||
3 |
Policy |
NOAA |
||
1
|
Website |
DOC
|
||
1
|
Planned Contract Awards (NOAA
Acquisition Alert 10-01, Attachment 1)
|
Policy |
NOAA |
|
1 |
24-Hour
Advance Notice (NOAA Acquisition Alert
10-01, Attachment 2)
|
Policy |
NOAA |
|
2 |
Statute |
Federal |
||
1 |
Regulation |
FAR |
||
1 |
Website |
GAO
|
||
2 |
Website |
COFC |
||
3 |
Policy |
NOAA |
||
4 |
Office of
General Council, (OGC) Contract Law Division (CLD)
|
Website |
DOC |
|
5 |
Regulation |
FAR |
||
6 |
Website |
DOC |
||
7 |
Policy |
DOC |
||
8 |
Policy |
DOC |
||
9
|
Policy
|
DOC
|
||
10
|
Policy
|
DOC
|
||
11
|
Policy |
NOAA |
||
1 |
Regulation |
FAR |
||
2 |
Regulation |
FAR |
||
1 |
Regulation |
FAR |
||
2 |
Office of
General Council, (OGC) Contract Law Division (CLD)
|
Website |
DOC |
|
3 |
Regulation |
FAR |
||
1 |
Regulation |
FAR |
||
2 |
Regulation |
FAR |
||
3 |
Regulation |
FAR |
||
4 |
Guidance |
Federal |
||
5 |
Statute |
Federal |
||
6 |
Guidance |
Federal |
||
7 |
Regulation |
FAR |
||
8 |
Regulation |
FAR |
||
9 |
Regulation |
FAR |
||
10 |
Regulation |
FAR |
||
1 |
Regulation |
FAR |
||
2 |
Regulation |
FAR |
||
3 |
Regulation |
FAR |
||
4 |
Regulation |
FAR |
||
5 |
Regulation |
DOC |
||
6 |
Office of
General Council, (OGC) Contract Law Division (CLD)
|
Website |
Federal
|
|
1 |
Regulation |
FAR |
||
2 |
Regulation |
FAR |
||
1 |
Template |
NOAA |
||
2 |
Template |
NOAA |
||
3 |
Template |
NOAA |
||
4 |
Form |
GSA |
||
5 |
Form |
GSA |
||
6 |
Regulation |
FAR |
||
7 |
Regulation |
FAR |
||
8 |
Regulation |
FAR |
||
9 |
Regulation |
FAR |
||
10 |
Regulation |
FAR |
||
1 |
Guidance |
NOAA
|
||
1 |
Regulation |
FAR |
||
2 |
Regulation |
FAR |
||
3 |
Regulation |
FAR |
||
4 |
Regulation |
FAR |
||
5 |
Regulation |
FAR |
||
6 |
Regulation |
FAR |
||
7 |
Regulation |
FAR |
||
8 |
Regulation |
FAR |
||
9 |
Regulation |
FAR |
||
10 |
Regulation |
FAR |
||
11 |
Regulation |
FAR |
||
12 |
Regulation |
FAR |
||
13 |
Regulation |
FAR |
||
1 |
Regulation |
FAR |
||
2 |
Regulation |
FAR |
||
1 |
Regulation |
FAR |
||
2 |
|
Regulation |
FAR |
|
3 |
Sample |
NOAA |
||
4 |
Regulation |
FAR |
||
1 |
Internal |
APG |
||
2 |
Regulation |
FAR |
||
3 |
Regulation |
FAR |
||
4 |
Regulation |
FAR |
||
5 |
Regulation |
FAR |
||
1 |
Regulation |
FAR |
||
2 |
Regulation |
FAR |
||
3 |
Form |
Federal |
||
4 |
Regulation |
FAR |
||
5 |
Regulation |
FAR |
||
6 |
Regulation |
FAR |
||
1 |
Website |
DOC |
||
2 |
Policy |
NOAA |
||
1 |
Regulation |
FAR |
||
2 |
Form |
GSA
|
||
3 |
Regulation |
FAR |
||
4 |
Regulation |
FAR |
||
5 |
Regulation |
FAR |
||
6 |
Regulation |
FAR |
||
7 |
Regulation |
FAR |
||
8 |
Regulation |
FAR |
||
9 |
Regulation |
FAR |
||
10 |
Website |
BPN
|
||
11 |
Regulation |
FAR |
||
12 |
Regulation |
FAR |
||
13 |
Regulation |
FAR |
||
1 |
Form |
GSA |
||
2 |
Form |
GSA
|
||
1 |
Regulation |
FAR |
||
1 |
Regulation |
FAR |
||
2 |
Statute |
Federal |
||
3 |
Regulation |
FAR |
||
4 |
Template |
NOAA |
||
1 |
Regulation |
FAR |
||
1 |
Regulation |
FAR |
||
1 |
Checklist |
NOAA |
||
2 |
Department
of Treasury's Listing of Approved Sureties at http://fms.treas.gov/c570/c570.html
|
Website |
Treasury
|
|
1 |
Regulation |
FAR |
||
2 |
OFPP’s Guide to Best Practices for Contract Administration.
|
Policy |
OFPP |
|
1 |
Policy |
DOC |
||
2 |
Policy |
DOC |
||
3 |
Sample |
NOAA |
||
1 |
41 U.S.C. 403 et seq, OFPP Policy Letter 05-01 (paragraph 9)
|
|
|
|
2 |
Policy |
DOC |
||
3 |
Training |
Federal |
||
4 |
Policy |
Federal |
||
5 |
Policy |
Federal |
||
1 |
Statute |
Federal |
||
2 |
Website |
Federal |
||
1 |
Sample |
NOAA |
||
1 |
Sample |
NOAA |
||
2 |
Sample |
NOAA |
||
3 |
Sample |
NOAA |
||
4 |
Department Administrative Order (DAO) 202-735a Employee
Responsibilities and Conduct-Amendment 1
|
Policy |
DOC |
|
5 |
Policy |
DOC |
||
6 |
Sample COR Revocation Memorandum
|
Sample |
NOAA |
|
|
1 |
Sample |
NOAA |
|
2 |
CAR
1352.201-71 “Contracting Officer’s
Technical Representative (COTR)”
|
Sample |
NOAA |
|
3 |
Sample |
NOAA |
||
1 |
Website |
DOC |
||
2 |
Regulation |
FAR |
||
3 |
Website |
DOC
|
||
1 |
Federal
Funding Accountability and Transparency Act of 2006 (Pub. L. No. 109-282),
|
Statute |
Federal |
|
2 |
Website |
FPDS |
||
3 |
Regulation |
FAR |
||
4 |
Policy |
DOC |
||
5 |
Training |
Federal |
||
6 |
Federal Procurement Data System – Next
Generation (FPDS-NG),
|
Website |
FPDS
|
|
7 |
Guidance |
Federal |
||
8
|
Regulation |
FAR |
||
9
|
Regulation |
FAR |
||
10
|
Website |
FPDS |