Mandatory Procedure
MP5301.603
Selection, Appointment, and Termination of Appointment of Contracting Officers
[ Revised April 6, 2015 ]
Table of Contents
1. Applicability
1.1 Exemption
1.2 Supplements
2. Special Topics
2.1. Displaying Warrants
2.2. Focal Points
2.3. Administrative Changes
2.4. Modifying Limited Warrants
2.5. Reinstating Air Force Warrants
2.6. Transferring Warrant Eligibility
2.7. Grandfathering Contracting Officers
2.8. Contracting Officer Proficiency
2.9. Biennial Warrant Validations
2.10. Air Force Contracting Officer Test Maintenance
3. Selecting, Nominating, and Evaluating Individuals
3.1. Standard Nomination Package
3.2. Compliance Review
3.3. Air Force Contracting Officer Test
3.4. Limited Warrants
3.5. Warrant Board
4. Appointing Contracting Officers
4.1. Certificates of Appointment
4.2. Warrant Presentation Meeting
5. Documentation Maintenance
6. Terminating Appointments
1. Applicability. This MP must be used when:
-- selecting and nominating individuals for warrants
-- examining candidate qualifications
-- appointing COs
-- modifying appointments
-- reinstating previously held AF warrants
-- transferring warrant eligibility between AF contracting offices
-- documenting appointments
-- terminating appointments
1.1. Exemption. Procedures for the selection and appointment of Contingency Contracting Officers (CCO), annual CCO warrant review requirements, and termination of CCO appointments are set forth in AFFARS 5318.201.
1.2. Supplements. Supplements or local procedures are limited to authorized designations/delegations of focal point responsibility, or as otherwise specified herein to maximize standardization.
2. Special Topics.
2.1. Displaying Warrants. The SF1402, Certificate of Appointment, must be clearly and publicly displayed in the CO’s workplace.
2.2. Focal Points (FP). The MAJCOM/DRU/HQ AFICA/AFRCO SCO (or for AFLCMC and SMC, the SCCO) must designate a FP to oversee the warrant process as outlined in this MP. FPs may also be designated at subordinate contracting offices and delegated warrant-related responsibilities as appropriate, including Air Force Contracting Officer Test (COT) proctor responsibilities. All FPs must be designated in writing. FPs must submit the Warrant Process Focal Point Designation to their MAJCOM/DRU/HQ AFICA/AFRCO warrant process focal point, who will maintain it on file.
COT proctors must upload the digitally signed Warrant Process Focal Point Designation and the COT Statement of Security and Standards to the COT website.
2.2.1. AF CO Warrant Tracking Tool. The MAJCOM/DRU/HQ AFICA/AFRCO SCO (or for AFLCMC and SMC, the SCCO), must designate a FP to oversee the warrant tracking tool. FPs must be trained on use of the AF Contracting Officer Warrant Tracking Tool and are responsible for entering data into the tool for all COs (including CCOs), tracking and managing appointments, uploading SF1402s, and updating the tool based on warrant transfers, suspensions, terminations, and administrative changes to warrants.
2.3. Administrative Changes. A written request to reissue an existing warrant certificate for administrative purposes (e.g., damage to/deterioration of the original SF1402, name changes) may be submitted directly to the FP for processing to the appropriate appointing authority. This does not constitute a new appointment.
2.4. Modifying Warrant Limitations. A request to modify limitations stated on the SF1402 must be processed as a new appointment in accordance with this MP. However, warrant testing and meeting a warrant board, once successfully accomplished, must not be required except:
-- A candidate for an unlimited warrant, who previously met a warrant board for a limited warrant, may be required to meet a subsequent warrant board prior to obtaining an unlimited warrant as required by the appointing authority;
-- as stipulated in 2.5.2 below; or
-- when used to evaluate the individual’s proficiency following a written suspension of warrant authority (see paragraph 2.8 below).
2.5. Reinstating Air Force Warrants. Warrant reinstatement applies to an individual who previously held an AF warrant (including grandfathered individuals) which was subsequently terminated due to:
-- reassignment from the position requiring the warrant
-- termination of employment with the organization that originally issued the warrant (see Note below)
-- retirement
-- unsatisfactory performance
Note: Includes situations whereby an AF CO transfers to a non-AF agency or organization, and then returns to an AF contracting office.
2.5.1. A request to reinstate an AF warrant must be submitted to the appointing authority for approval through the designated FP using the Contracting Officer Appointment/Warrant Eligibility Transfer/Termination Request template.
2.5.2. Warrant testing and warrant board processes in accordance with this MP are required prior to reinstating a warrant:
-- if termination of the warrant was for cause; or,
-- if after review of the request, the appointing authority determines that the significant time lapse since the warrant was terminated justifies reassessment of the candidate’s qualifications
In either of the instances above, the package must be resubmitted as a new appointment in accordance with this MP.
2.6. Transferring Warrant Eligibility.
2.6.1. When a warranted employee (including those grandfathered) transfers to an organization with a different appointing authority and the new position requires a CO warrant, the gaining appointing authority must request the completed Contracting Officer Appointment/Warrant Eligibility Transfer/Termination Request template from the losing appointing authority.
2.6.2. The losing appointing authority will terminate the warrant and the gaining appointing authority will issue a new SF1402 to complete the warrant transfer process. However, warrant eligibility does not guarantee immediate appointment (e.g., the appointing authority determines time is needed for the individual to become familiar with new workload responsibilities and organizational procedures).
2.6.3. Unlimited warrant eligibility means that an individual has passed both the automated CO test (COT) and warrant board in accordance with this MP. Once an individual is deemed unlimited warrant eligible, the appointing authority of the gaining organization must not require the individual to test or board again. Unlimited warrant eligibility is transferable across AF contracting offices, provided:
-- the original appointing authority (or individual currently occupying that position) certifies on the Contracting Officer Appointment/Warrant Eligibility Transfer/Termination Request template that the candidate maintained proficiency in the previously assigned position; and,
-- the warrant was issued pursuant to this MP
If the above conditions are not met, the gaining appointing authority may require the candidate to successfully complete the COT and/or meet a warrant board in order to be issued a warrant.
2.6.4. Limited warrant eligibility means that an individual has passed the COT in accordance with this MP. The appointing authority of the gaining organization must not require the individual to test again. Limited warrant eligibility is transferable across AF contracting offices, provided:
-- the original appointing authority (or individual currently occupying that position) certifies on the Contracting Officer Appointment/Warrant Eligibility Transfer/Termination Request template that the candidate maintained proficiency in the previously assigned position; and,
-- the warrant was issued pursuant to this MP
If the above conditions are not met, the gaining appointing authority may require the candidate to successfully complete the COT in order to be issued a warrant.
2.6.5. If warrant boards are convened in accordance with local procedures prior to issuing all warrants of less than $5M, limited warrant eligibility transfers may require the candidate to meet the local warrant board before the gaining appointing authority issues the warrant.
2.7. Grandfathering Contracting Officers. COs (including Purchasing Agents in the GS-1105 series) are not required to be tested, re-boarded or reappointed in accordance with these procedures to retain their existing appointments solely due to the establishment of this MP. However, those with limited warrants of less than $5M must be tested and meet the warrant board in order to be eligible for a new warrant of $5M or more or an unlimited warrant.
2.8. Contracting Officer Proficiency.
2.8.1. Proficiency is continually affirmed through the review and assessment of the CO’s body of work during clearance reviews, unit self-inspections, Operational Readiness/Compliance Inspections, or through interactions between the CO and a supervisor within the CO’s management chain, or the appointing authority.
2.8.2. When appropriate, the appointing authority may terminate a warrant for cause. The appointing authority may suspend a CO’s warrant (in writing) until such time as the individual has demonstrated proficiency to the satisfaction of the appointing authority. Otherwise, the warrant must be terminated for cause.
2.8.3. COs must comply with the Defense Acquisition Workforce continuous learning (CL) requirement. If a CO fails to make progress to obtain sufficient CL points to maintain currency and proficiency, the appointing authority may suspend a CO’s warrant (in writing) until the individual has obtained (or has an achievable plan to obtain) the required CL points.
2.8.4. Any written suspension of a CO warrant must be rescinded in writing by the appointing authority.
2.9. Biennial Warrant Validations. The appointing authority or designee must review all warrants biennially after January 2012 to validate their necessity and terminate those deemed unnecessary, and to evaluate any warrant limitations for purposes of an individual’s career development. The FP must maintain a record (hard copy or electronic) of these warrant validation results.
2.10. Air Force Contracting Officer Test Maintenance. To ensure the integrity of the COT, the database of questions, answers, and references must be continuously maintained. The generation of new questions, as well as the identification of existing questions, answers and/or references for deletion or modification will be accomplished in a decentralized fashion. HQ AFMC/PK has configuration control responsibility for the COT application, question database, and the Administrator and User Guide.
2.10.1. FPs must immediately notify HQ AFMC/PK upon discovery of an incorrect or incomplete reference or incorrect answer, or a suspect question (evidenced by the percentage of incorrect answers selected) or test score challenges/validation efforts.
2.10.2. SAF/AQCP will initiate a call for new question sets (complete with answers and all applicable references where answers may be found), to SCO/SCCOs as deemed necessary due to policy changes. Suggested additions to the COT database will be considered at any time. AQCP will review proposed questions, answers and references, and edit as required, prior to forwarding them to HQ AFMC/PK for inclusion in the COT database.
2.10.3. HQ AFMC/PK is responsible for making administrative changes (e.g., office symbol changes, threshold changes, reference changes) to affected questions, answers, and references residing within the COT database as regulatory changes are published and upon receipt of notices from FPs, as discussed in 2.10.1 above, or from SAF/AQCP.
3. Selecting, Nominating, and Evaluating Individuals
3.1 Standard Nomination Package. The Contracting Officer Appointment/Warrant Eligibility Transfer/Termination Request template must be utilized by the candidate’s sponsor (no lower than the candidate’s first level supervisor) to nominate the individual for a warrant. Any special accommodation for a candidate (e.g., visual or mobility issues, voice-assisted software) should be specifically stated on the template or on an attachment thereto. This nomination process applies for both unlimited and limited (by dollar value and/or function) warrants whether Procuring Contracting Officer (PCO), Administrative Contracting Officer (ACO), and/or Termination Contracting Officer (TCO).
3.2. Compliance Review. The completed template must be submitted to the FP for review to validate compliance with FAR 1.603, as supplemented. The FP must affirm compliance by signing the Contracting Officer Appointment/Warrant Eligibility Transfer/Termination Request template in the space provided. Additional management reviews or endorsements on the completed template are at the discretion of the appointing authority.
3.3. Air Force Contracting Officer Test. Candidates for warrants above the simplified acquisition threshold (SAT) must successfully complete the four-hour time-limited, open book/open on-line Hill AFB FARSite COT to assess contracting knowledge and research ability. Assistance to a candidate taking the COT by another individual or group is not permitted except that which is required to provide reasonable accommodation to an employee as documented on the Contracting Officer Appointment/Warrant Eligibility Transfer/Termination Request template.
3.3.1. The COT proctor will generate the COT, schedule and designate/secure an appropriately equipped testing environment/location away from the candidate’s assigned workstation and notify the candidate.
3.3.2. Each COT must contain 50 randomly selected true/false and multiple-choice questions from the FAR, DFARS, and/or AFFARS.
3.3.3. The COT proctor must proctor the COT to verify the candidate’s completion of the COT according to the specific directions of this MP and the Air Force Contracting Officer Test Administrator and User Guide. The proctor will administer COTs as frequently as determined necessary. COT proctors must review testing procedures with the candidate(s) prior to administering the COT.
3.3.4. The COT proctor may authorize use of the “hold timer” feature of the COT during the designated four-hour test period, if justified (e.g., emergency evacuations/relocations, reasonable accommodation for an employee as documented on the Contracting Officer Appointment/Warrant Eligibility Transfer/Termination Request template).
3.3.5. In order to complete the COT within the allotted time, a candidate must be familiar with the location of various subject matters in the FAR, DFARS and AFFARS and understand how to gain access to these regulations through the Hill AFB FARSite without the use of any shortcuts residing on their personal desktop, as the COT will not be administered at the candidate’s assigned workstation. Candidates may bring bound, published copies of the FAR and DFARS into the testing location, however, use of these printed materials is at the candidate’s own risk as they may not be as current as the Hill AFB FARSite electronic regulations available for use in the testing location. Notes and/or electronic devices are not permitted to be brought into the testing location.
3.3.6. A minimum score of 85% is required to pass the COT and be eligible for a warrant; however, a passing score does not guarantee a CO appointment. As the COT is pass/fail, the specific score attained will be provided only to the candidate.
3.3.7. In addition to the correct answer, the candidate must also cite a valid reference (e.g., FAR 15.403-1(b)), indicating where the candidate located the answer to the question, in order to earn two points. If the candidate answers the question correctly but the reference incorrectly, only one point is granted. If the candidate answers the question incorrectly, but the reference correctly, the candidate will not receive any points, as this indicates a failure to understand the regulation.
3.3.8. The COT will be automatically scored; however, the COT proctor must validate incorrect references for any challenged question, and must manually adjust the score, if adjustment is merited. The COT proctor must notify HQ AFMC/PK when specific question and/or database maintenance is required as set forth in paragraph 2.10 above. The COT proctor must generate, sign, and date a COT Certificate of Completion indicating successful completion of the COT and provide the original to the candidate. The COT proctor must also annotate successful COT completion on the candidate’s Contracting Officer Appointment/Warrant Eligibility Transfer/Termination Request template in the space provided.
3.3.9. A candidate who fails the COT may retake it at the next offering, if authorized by their immediate supervisor, subject to space availability. If the candidate fails to pass the COT on a second attempt, a six (6) month waiting period applies before retaking the COT. The appointing authority may waive the waiting period when appropriate.
3.3.10. An individual may take the COT for “practice” a maximum of once per quarter if authorized by their immediate supervisor, subject to space availability. However, a passing score on a practice test does not satisfy the COT requirement if the individual is nominated for a warrant in the future.
3.3.11. Use of the COT is optional for candidates for limited warrants at or below the SAT or for limited functional warrants (see paragraph 3.4 below).
3.3.12. Supervisors are authorized to approve four (4) continuous learning points once per 12-month period for any individual who completes the COT whether for a warrant request action or for training purposes.
3.4. Limited Warrants. Limited warrants may be issued for any monetary threshold depending upon organizational needs (see Note below), the qualifications and capabilities of the candidate, and in furtherance of the candidate’s career development. Limited warrants may be issued for specific functions (e.g., contract closeout, defective pricing actions, and funding actions). Successful completion of the COT signifies eligibility for a limited warrant above the SAT but less than $5M. The COT is optional for limited functional warrants (see paragraph 3.3.11) unless required by local procedures. Use of a formal warrant board for limited warrants of less than $5M, and/or limited functional warrants, is authorized for inclusion in local procedures.
Note: The value of the instant action (versus the value of the contract the action is against) or the type of action (for functional warrants) determines whether or not a limited warranted CO has authority to execute the action.
3.5. Warrant Board.
3.5.1. Upon successful completion of the COT, a candidate for an unlimited warrant or a limited warrant of $5M or more must meet a warrant board. The purpose of the board is to further assess the candidate’s experience, qualifications, communication skills, and overall demeanor in order to provide objective information upon which the appointing authority may make a reasonable judgment.
3.5.2. The board must be chaired by the appointing authority or designee, but not at a level lower than:
-- Deputy Director or Assistant Director of Contracting;
-- Technical Director/Assistant to the Director of Contracting;
-- Chief of the Clearance and Program Support Division;
-- highest level contracting official at a geographically separated organization or detachment;
-- COCO, Deputy, or equivalent.
3.5.3. Including the board chairperson, the warrant board must have a minimum of five members* participating to constitute a quorum. Suggested board composition includes:
-- contracting office supervisors;
-- a representative from the staff judge advocate office (strongly recommended);
-- Competition Advocate;
-- a clearance/program support procurement analyst;
-- a small business specialist;
-- supervisors from other disciplines; and,
-- a cost/price analyst
* Warrant board members may participate in person, by telecom or by video teleconference at the discretion of the board chairperson.
3.5.4. The FP must schedule the warrant board and notify all participants of the time and location of the proceedings, and record minutes (i.e., identity of board participants, questions posed, assessment of candidate responses, and board recommendations).
3.5.5. Once convened, the board may opt to discuss the candidate’s qualifications with the candidate’s sponsor (no lower than the candidate’s first level supervisor) without the candidate present. The warrant candidate must answer and/or discuss in depth no fewer than five scenario-type questions -- situations that COs may face in the environment they will be using their warrant. At least one scenario question must encompass pricing and fiscal law issues. The board will assess the ability of the prospective CO to analyze a situation and offer problem resolution and sound business advice, as well as the candidate’s overall poise during the board process. At the conclusion of the board, the members will deliberate and provide a recommendation to the board chairperson/appointing authority on the requested appointment.
4. Appointing Contracting Officers.
4.1. Certificates of Appointment. The FP prepares the SF1402, Certificate of Appointment. Warrant dollar limitations and any other limitations on the scope of authority must be clearly specified on the face of the SF1402 in the space provided. Appointment certificates must be serially numbered. The FP must enter the appointment number, and obtain the appointing official’s signature and the date the appointment in the spaces provided on the SF1402 and on the candidate’s Contracting Officer Appointment/Warrant Eligibility Transfer/Termination Request template.
4.1.1. Air Force Contracting Officer Warrant Tracking Tool Nomenclature. The appointment number nomenclature shall be: Organization-FY-XXXX. The first character designation is the organization. The middle two characters for “FY” denote the fiscal year when the warrant is issued. The FP shall obtain the last four digits of the appointment number from the identification (ID) field of the Air Force Contracting Officer Warrant Tracking Tool (AFCOWTT). For example, in FY14 an ID field number of 2499 would yield an appointment number of AFICA-14-2499 for AFICA; AFMC-14-2499 for AFMC; or SMC-14-2499 for SMC. (Note: The first character designation is organization dependent.)
4.2. Warrant Presentation Meeting. All appointment certificates must be presented to successful candidates by the appointing official (in person or via telecom or teleconference). This meeting is at the discretion of the appointing official for warrant reinstatements. At a minimum, the discussion with each candidate must emphasize the duties inherent with a warrant, including fiduciary and ethical responsibilities of the appointment, expectations, and clear instructions regarding the limits of their authority.
5. Documentation Maintenance. The FP must maintain a folder for each CO which includes the completed Contracting Officer Appointment/Warrant Eligibility Transfer/Termination Request template, documentation requirements of FAR 1.603-2 as supplemented, and a copy of the signed SF1402. A copy of the COT that was administered, as well as a copy of the Warrant board minutes, when a board is conducted, may be retained by the FP in a central location (filed by the date the COT was administered or board was conducted) or filed within the folder for each CO. Additionally, the FP must enter the most current SF1402 and up to three (3) past SF1402s into the AF Contracting Officer Warrant Tracking Tool. These records (hard copy and electronic) must be retained for all active appointments to facilitate warrant modifications no less than 12 months after warrant termination to facilitate eligibility transfers and reinstatements.
6. Terminating Appointments. The initiator of a warrant termination (normally the supervisor of the CO), must request termination of a warrant whether for cause, reassignment or employment termination using the Contracting Officer Appointment/Warrant Eligibility Transfer/Termination Request template. Requests for termination of appointments should be submitted at least 14 days prior to the requested termination date. The completed/signed template effecting termination of the appointment must be returned to the FP for file retention (hard copy or electronic).