Chapter 5
COR Responsibilities
The responsibilities of the contracting officer's representatives (COR) vary but may include pre-award as well as post-award duties. The contracting officer specifies the COR's responsibilities in the letter of COR appointment or designation.1 The COR's actions or inactions can subject the government to disputes or claims and, in some cases, can result in the COR being personally liable for his or her actions. Therefore, the COR should observe carefully the scope and limitations of the delegated authorities and should contact the contracting officer about any doubts as to the correct course of action to be taken.
Pre-award Duties
One of the key pre-award duties in which the COR may be involved is documenting requirements. The requirements package is critical to the success of an acquisition, because it commits the funds and establishes the basis for a contractual action. The package documents both the requirement and its approvals. In other words, it is through the requirements package that the contracting office is told what the user wants, when the user wants it, and the point of contact for more information.
A key element of the requirements package is the purchase request document. This document:
- Is an official request for action
- Authorizes the contracting process to begin
- Is coordinated and signed by a responsible official of the initiating office
- Forms the core information of the solicitation document and resulting contract
- Provides funding and financial officer certification as to the availability of funds
The requirements package also may include other elements.
- Statement of objectives (SOO), statement of work (SOW), or performance work statement (PWS)
- Quality assurance surveillance plan (QASP)
- DD Form 1423, Contract Data Requirements List (CDRL)
- DD Form 254, DoD Contract Security Classification Specification
- List of government-furnished property (GFP)
- Sole-source justification, including justification review document and justification and approval coordination
- Independent Government Estimate (IGE)
- Patents list
- Deliverable list
- Award fee plan and incentive fee plan
- Synopsis text
- Source selection plan and evaluation factors
- Source list
- Funding forms, such as Department of the Army Form 3953, Purchase Request and Commitment; Air Force Form 9, Request for Purchase; or Navy Comptroller Form 2276, Request for Contractual Procurement (RCP)
- Legal review memorandum
- Market research results
The time it takes to assemble the contents of the requirements package varies based on the dollar value of the requirement and the command. The following considerations apply when assembling the package.
- Do not combine items that are to be included in property accounts with nonaccountable property items in the same requirements package
- Do not split requirements in order to fall under dollar thresholds
The COR also may be involved in the following pre-award activities.
- Conducting market research.
- Assisting with preparing the procurement package, including the SOO/ SOW/PWS. The package should use clear, accurate, performance-oriented language and express only the government's actual minimum needs in the work statement.
- Preparing IGEs, rather than obtaining them from a prospective contractor. Appendix 6 provides more information on preparing IGEs.
- Advising the contracting officer if the item required is foreign made.
- Preparing and submitting purchase requests.
- Drafting a QASP and checklist.
- Verifying the availability of funding and submitting the packet to request funds.
- Reading DoDD 5500.7-R, Joint Ethics Regulation for Department of Defense Personnel, and its implementations.
- Becoming familiar with the Procurement Integrity Act (Federal Acquisition Regulation 3.104).
- Evaluating proposals from vendors and contractors.
- Researching the contractor and reviewing the contractor's proposal.
Post-award Duties
The COR's post-award responsibilities typically begin with understanding the contract and end with inspecting, and either accepting or rejecting deliverables. Monitoring the contract also includes such activities as evaluating and maintaining data and handling unsatisfactory performance. Again, the responsibilities are specified in the letter of COR appointment or designation.
Understand the Contract
The COR must do the following.
- The COR must understand the requirements of the contract—know the government's responsibility as well as the contractor's. Direct any questions about content or interpretation to the contracting officer.
- With the consent of the contracting officer, attend the post-award conference so that all parties have a clear understanding of the scope of the contract, the technical requirements, and the rights and obligations of the parties.
- Develop quality assurance surveillance records, including surveillance checklists, schedules, and related files.
- Have ready access to all technical publications and regulations referenced in the contract.
Keep Files Current and Complete
Maintaining good records is critical not only for the next COR, but also to document the contractor's performance during the contract. To maintain good files, the COR must do the following.
- Maintain a separate and current file for each contract. Endorse visit request and need-to-know documents prior to contracting officer approval. This also includes verification of classification status (such as Secret).
- Confirm or initiate all significant technical instructions to the contractor in writing, and provide a copy to the contracting officer.
- Coordinate with the contracting officer and the legal office on the content of any contractually significant correspondence addressed to the contractor, in order to prevent possible misunderstandings or the creation of a condition that may be the basis of a later claim.
- Furnish to the contracting officer a copy of the government or contractor conference reports, trip reports, telephone conversation records, memoranda for the record, and correspondence.
- Sign all reports, trip reports, memoranda for the record, appropriate correspondence, and all other related documents using your name and title, followed by "contracting officer's representative."
Monitor the Contractor
The COR must do the following.
- Ensure that any technical guidance given to the contractor addresses or clarifies only the government's intent, and document any deficiency in performance caused by a difference in interpretation.
- Periodically inspect and carefully monitor and keep the contracting officer informed of contractor performance of the technical requirements of the contract. Ensure that contract performance is timely and within the scope of the work. Inform the contracting officer when the contractor is behind schedule, document the reasons, and coordinate with the contracting officer on actions necessary to restore the contract schedule.
- Ensure that, in no event, the contractor furnishes materials or services in addition to, less than, or different from those required by the contract.
- Through surveillance of technical performance, ensure that inefficient or wasteful methods are not being used.
- Monthly—or more frequently as specified in the letter of appointment or designation—report to the contracting officer on contract performance.
- Review the contractor's Synchronized Predeployment Operational Tracker (SPOT) data and report on it to the contracting officer in the monthly COR report. Ensure the contractor's organization has added SPOT data correctly.
- As required by the contract and appointment, use both quantitative and qualitative methods to evaluate monthly cost and performance data, including trends and projections.
- Track contract costs, depending on type of contract.
Training
Ensure that any government-financed training for contractor personnel is not for basic functions that should have been provided for by their company.
Travel
Evaluate contractor requests for travel to determine the necessity of travel and reasonableness of costs. Obtain the contracting officer's approval for COR or other government personnel travel to the contractor's facilities and, within 7 days after return, furnish the contracting officer with a trip report.
Government-Furnished Property
Ask the contracting officer to authorize GFP and, when requested by the contracting officer, furnish disposition advice on GFP or contractor-acquired property. Ensure that GFP is being properly maintained and accounted for by the contractor.
Personnel and Labor
Review the contractor's invoice to ensure that labor hours and materials charged to the contract are accurate. This can be done by checking time cards, in and out signing cards, and obtaining copies of invoices (for materials). The contractor's invoices should specify the work completed and identify the materials purchased to meet the requirements of the contract. Ensure that the contractor is paid for acceptable performance and not paid for unacceptable performance (supplies or services).
- Report personnel deficiencies to the contractor's site supervisor and to the contracting officer.
- Report to the contracting officer any labor disputes or problems that could impair the contractor's ability to perform.
- Verify to the contracting officer the need for contractor overtime when requested by the contractor. Report all actual overtime.
- Ensure satisfactory subcontractor performance by observing contractor's surveillance. Report inadequate surveillance to the contracting officer.
- Validate that contractor personnel have the licenses, certifications, security clearances, theater business clearance, and letter of authorization (if applicable) required by contract (such as electrical, plumbing, food service, security licenses).
Inspect and Accept or Reject Deliverables
The COR must do the following.
- Promptly inspect the supplies and services delivered by the contractor to determine acceptability. In other words, ensure that the government receives the supplies or services for which it is paying. Reject those that do not meet the contract requirements and standards.
- Exercise extreme caution in executing receipt and acceptance documents.
- Furnish the contracting officer a notice of satisfactory or unsatisfactory completion of delivery or performance of a contract, purchase order, delivery order, or any modification.
- Complete the required performance reports thoroughly and accurately so that the contracting officer can properly evaluate the contractor.
- Manage the review process for contractor documents and deliverables. Verify the timeliness and accuracy of contractor reports and data to be delivered to the government. Ensure prompt review of draft reports and provide approval or disapproval or comments to the contractor through the contracting officer.
- Validate that the contractor's reimbursable purchases are actually received before being billed to the government.
- Upon acceptance of the contractor's final technical report (if required), prepare a memorandum for the PCO's signature, addressed to the contractor, "Subject: Notice of Acceptance of Final Technical Report." Upon receipt of the procurement contracting officer's (PCO) signature, forward the original memorandum to the contractor; place a copy in the contract work file, forward one copy to the ACO, and one copy to the PCO for inclusion in the official contract file.
- After verifying receipt of a deliverable, promptly sign all DD Form 250s (Material Inspection and Receiving Report) or, if available, use Wide Area Workflow (discussed later in the handbook). Keep the originals in the contract work file and distribute copies to the contracting officer, the payment office, and any other entities as required.
Treat Proprietary and Classified Information with Care
The COR must do the following.
- Protect contractor proprietary information when preparing estimates or reports.
- Ensure that the contractor maintains a current facility security clearance. Also ensure that contractor personnel who are actively working on the contract and need access to classified information have the proper security clearances. Classified information must not be released to contractors who do not have a security clearance.
- Report any restriction on deliverable technical data to the contracting officer and the legal office, and review their responses prior to accepting or rejecting the technical data.
- Recommend to the contracting officer the disposition of any contractor requests to public release information about work being performed under the contract.
Manage Problems
The COR must do the following.
- Try to resolve routine technical and administrative issues that arise. Refer any dispute between the COR and contractor, or any matters other than purely technical problems, to the contracting officer.
- Be firm but fair in all actions.
- Anticipate and resolve difficulties, and ensure satisfactory completion of the contract, foster full and complete coordination, cooperation, and communication among the contractor, contracting officer, and all government personnel assigned to monitor contract performance.
- Ensure that the contractor responds in a timely manner when required, and validate that all responses are accurate.
- Report promptly and directly to the contracting officer on any suspected procurement fraud, bribery, conflicts of interest, or other improper conduct on the part of the contractor, its employees, or government officials.
Handle Unsatisfactory Performance
The COR must do the following.
- If performance is unsatisfactory, inform the PCO immediately. Differences of opinion between you and the contractor that cannot be resolved at your level should be referred to the contracting officer. Work with the contracting officer to identify corrective actions, if necessary. Make sure the contractor understands that the contracting officer's decisions are final. Take care not to take any action that may be construed as an actual or constructive change.
- Enforce correction of deficient work. However, do not personally supervise or direct the work of any contractor employee.
Track Modifications
The COR must do the following.
- Ensure that changes in the work, services, and resulting effects on delivery schedule are formalized in a written supplemental agreement or change order issued by the contracting officer. The contractor must not proceed with the changes until formally approved and documented.
- Monitor financial management controls. Coordinate with government resource managers on all actions relating to funding and changes in the contract.
Conclude Appointment or Designation Appropriately
The COR must do the following.
- Furnish the contracting officer with a formal request for termination of the COR appointment or designation when it is required.
- Ensure that your replacement is thoroughly briefed, both verbally and in writing, on all important issues.
Note: Report suspected violations of ethics policies, incidents of fraud or bribery, conflicts of interest, and any other improper conduct to the contracting officer, legal counsel, chain of command, or DoD Inspector General.
Table 1 highlights the relationship between COR and contracting officer responsibilities.
Technical Expertise
To monitor a contractor providing services, the COR should have technical expertise in the services being performed and outcomes required. For some services requirements, a single COR may not be adequately
| Action | COR/Functional Code | Contracting Office |
| Conduct market research |
Responsible |
Assist |
| Prepare SOW/PWS |
Responsible |
Assist |
| Prepare QASP |
Responsible |
Assist |
| Prepare ICGE |
Responsible |
Assist |
| Prepare GFP list |
Responsible |
Assist |
| Develop sources |
Assist |
Responsible |
| Prepare solicitation |
Assist |
Responsible |
| Conduct pre-bid conference |
Assist |
Responsible |
| Evaluate proposals |
Assist |
Responsible |
| Award contract |
N/A |
Responsible |
| Conduct contract surveillance |
Responsible |
Assist |
| Request modifications |
Responsible |
Assist |
| Make modifications |
Assist |
Responsible |
| Conduct progress meetings |
Assist |
Responsible |
| Conduct inspection/acceptance |
Responsible |
Assist |
| Evaluate contractor performance |
Responsible |
Assist |
Table 1. General COR, Requiring Activity, and Contracting Office Responsibilities
versed in all technical issues that may arise. Therefore, the COR may need to consult additional personnel, such as the Defense Contract Management Agency International (DCMAI) technical subject matter expert on FAR Part 42 (Contract Administration and Audit Services) delegation. If the COR consults additional personnel, he or she should inform the contracting officer. The COR may involve additional personnel in communications with the contractor, but the COR remains the official liaison for any technical communications with the contractor, including technical interpretations. (Chapter 9 provides additional details on monitoring service contracts.)
Limitations
The COR must fully understand the limits of his or her authority. Although the contracting officer may delegate certain responsibilities to the COR, authority to legally bind the government remains with the contracting officer. CORs do not have the authority to do the following.
- Make any agreement with the contractor that obligates public funds
- Make commitments that affect the price, quality, quantity, delivery, or any other term or condition of the contract
- Encourage or permit the contractor to perform any work beyond or outside the scope of the contract
- Interfere with the contractor's management of its employees, including supervising or directing the work of the employees
- Order or accept supplies or services not expressly required by the contract
- Allow GFP accountable under one contract to be used under another contract
- Discuss any information that may give one contractor an advantage in future procurements
- Direct the contractor to begin work prior to contract award date
- Issue oral or written instructions to the contractor to start or stop work
In addition to being mindful of the limitations to his or her authority, CORs should avoid doing the following.
- Getting into situations that may place the COR in a conflict of interest (financial or otherwise) between private and public interests.
- Accepting appointment or designation as a COR if a potential conflict of interest exists. Report the matter immediately to your supervisor and the contracting officer for determination.
- Accepting a COR appointment or designation if he or she does not have the time to perform a thorough and complete job of the duties in the letter of appointment or designation and this handbook. On some types of contracts, performance as COR may be a full-time effort. The COR is responsible for his or her own work and time management.
- Using an official position title to coerce, or in any manner influence, anyone for personal gain.
- Taking any action that will obligate, or give the appearance of obligating, the government financially or otherwise. Only the contracting officer has this authority.
- Making or implying promises related to future business.
- Soliciting unsolicited proposals.
- Contacting contractors and giving them information about upcoming procurements.
- Contacting prospective contractors when a procurement is being solicited or offers are being evaluated.
- Assisting prospective contractors with their preparation of offers or quotations.
- Attesting to having read and understood DoDD 5500.7-R, Joint Ethics Regulation, without understanding the contents.
- Accepting any gratuities. To be safe, do not accept any gifts, loans, or favors from a contractor or from its employees. Report any offers immediately to the contracting officer and legal counsel. This applies both to the COR and to his or her family members.
- Splitting quantities to circumvent procedures, regulations, and approvals required for higher-dollar-value procurements.
- Telling the contractor how to run its operation. This includes telling the contractor to fire an individual. Terminations of employment are actions for the contractor.
- Letting personalities enter into discussions with the contractor.
- Permitting the contractor to proceed on work outside the scope of the contract. It may be in the contractor's interests to exceed the contractual limitation with the intent of claiming additional consideration for additional effort. Coordinate immediately with the contracting officer.
- Committing the equipment, supplies, or personnel of the contractor for use by others. The contractor and the contracting officer control all such matters.
- Permitting the contract to take on the appearance of a personal services contract (for example, when contractor personnel appear, in effect, to be government employees). Avoid any employee-employer relationship where contractor personnel are subject to relatively continuous supervision and control by a government employee. The contract determines what, how, and when the contractor does particular tasks.
- Redelegating COR authority to any other person, such as a technical point of contact.
Additionally, while the COR limitations could simply be stated in a letter, in the real world ensuring that the COR does not exceed the authority granted is much more complex. In the course of performing COR responsibilities, situations might result in an implied change to the contract which, in turn, may impact the delivery, schedule, funds, or other areas outside the authority of the COR. CORs might exceed the scope of their authority by inaction or improper action. For example, a COR on an equipment installation contract fails to ensure the government installs electrical outlets and a raised floor in preparation for the equipment installation. When the contractor arrives to install the equipment, they are unable to do so as the site had not been properly prepared. By inaction, the COR allowed a potential claim to be made for government-caused delay.
Protecting Sensitive or Government Information
Government employees may not divulge information received in the course of their employment or official duties.2 The penalty is a fine, a prison sentence of up to one year, or both. The COR should take care not to discuss acquisition or sensitive information in areas that are not secure (hallways) or in meetings that are not government only.
Notes
- General information about COR responsibilities is provided in DFARS Part 201.602, Contracting Authority and Responsibilities and in a companion resource to the DFARS, Procedures, Guidance, and Information (PGI), Part PGI 201.6022, "Responsibilities." Top
- See 18 USC 1905, Disclosure of Confidential Information implemented at FAR 3.104, Procurement Integrity, 3.104-2(b)(4), 3.104-3, 3.104-4, and others. Top
Chapter Acronyms
COR – Contracting Officer's Representative
GFP – Government-furnished Property
PCO – Procurement Contracting Officer
PWS – Performance Work Statement
QASP – Quality Assurance Surveillance Plan
SOO – Statement of Objectives
SOW – Statement of Work
SPOT – Synchronized Predeployment Operational Tracker
USC – United States Code
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