Mandatory Procedure
MP5301.602-2(d)
Designation, Assignment, and Responsibilities of a
The following are mandatory procedures (MP) for standardizing the Air Force (AF) contracting process regarding designation, assignment, and responsibilities of a Contracting Officer’s Representative and will be used when awarding supply contracts with cost reimbursement line items, services contracts or construction contracts. In accordance with DoDI 5000.72, DoD Standard for Contracting Officer’s Representative (COR) Certification, a Contracting Officer (CO) will designate a COR for all service contracts, including construction. However, a COR does not need to be assigned to a contract when the conditions of DFARS PGI 201.602-2 exist. The conditions are as follows: the contract will be awarded using the simplified acquisition procedures; the requirement is not complex; and the Contracting Officer (CO) documents the file, in writing, with the specific reasons why the appointment of a COR is unnecessary. The assignment of a COR is also not necessary when the CO retains surveillance (to include supply contracts with cost reimbursement line items), delegates surveillance to DCMA, A-E contracts, or for non-Advisory and Assistance Services Research and Development (R&D) contracts. CORs may be required for any other contract when the need for a COR is determined to exist by the Contracting Officer.
CORs may be assigned for any contract when the need for a COR is determined by the CO and is in the best interest of the U.S. Government. All CORs must be employees, military or civilian, of the U.S. Government, a foreign Government or North Atlantic Treaty Organization (NATO)/coalition partners. In no case will contractor personnel serve as a COR.
1.0 Contracting Officer Roles and Responsibilities
1.1 As part of the acquisition planning process, the CO must determine the nature of the work/requirement (Type A, B, or C) as specified in DoDI 5000.72, DoD Standard for Contracting Officer’s Representative (COR) Certification.
1.1.1 Type A: Fixed-price contracts without incentives and low performance risk. Attributes of such requirements might include: lack of technical or administrative complexity, no identifiable risk factors, limited requirement for technical expertise, low likelihood of modification, or effort is a follow-0n to an existing contract. COR responsibilities are generally limited to minimal technical and administrative contract surveillance.
1.1.2 Type B: Fixed-price contracts with incentives; fixed-price contracts with other than low performance risk; and other than fixed-price contracts. This includes everything other than Types A and C. Attributes of such requirements might include: contract complexity or performance risk, effort will be performed in multiple regions or remote geographical locations, the need for increased surveillance, magnitude of the requirement, the contract contains incentive arrangements or cost sharing provisions, or the contract is cost-type of T&M or LH type, or FP LOE. COR responsibilities are of increased complexity.
1.1.3 Type C: Unique contract requirements that necessitate the COR have a higher education or specialized training beyond the Type B requirements. Attributes of such requirements might include: environmental remediation, major weapons systems, medical or dental, etc. COR responsibilities are of increased complexity.
1.2 Based upon the CO’s determination of the nature of the work/requirement and DFARS PGI 201.602-2, the CO must determine if a single COR, or multiple/alternate CORs, are required to assist in technical monitoring or administration of a contract.
1.3 The CO will determine if a COR meets the criteria for filing an Office of Government Ethics (OGE) Form 450, Confidential Financial Disclosure Report, as set forth in 5 C.F.R. 2634.904(a) and DOD 5500.7-R, §7-300. The CO will decide if a COR needs to file an OGE Form 450 after considering the COR’s designated duties and responsibilities and level of supervision and review when measured against the criteria. A COR should be designated as an OGE Form 450 filer if the COR will exercise significant judgment without substantial supervision and review.
1.4 The request for a nomination package and completing the nomination package is a collaborative effort between the requiring activity, COR management, and the CO. It must be completed as early in the acquisition process as possible to allow COR participation in pre-award activities. In all cases, nomination package(s) must be submitted before contract award. If the requiring activity has not initiated a COR nomination request within the DoD CORT Tool, the CO must initiate the Request for COR Support and notify the requiring activity of the need for COR(s) support.
1.4.1 The COR nomination request initiated by the CO should be routed through
requiring activity (e.g., COR Supervisor, Functional Commander/Director(FC/FD)). It
must identify the following:
(a) As applicable: procurement request number, solicitation/contract number or program
name;
(b) The type of standard (i.e., Type A, B, or C), responsibilities identified for COR
performance, and qualifications, such as training and experience (i.e., technical and
agency specific), in accordance with Enclosure 5 of DoDI 5000.72, as well as any other
MAJCOM/DRU or CO/Quality Assurance Program Coordinator (QAPC) specified training that may be in place or required. See Enclosure 6 of DoDI 5000.72 for examples of COR Responsibilities and COR Certification Requirements;
(c) The anticipated period of performance of COR responsibilities;
(d) Whether the COR nominee will participate in pre-award activities;
(e) A deadline for receipt of the COR nomination package;
(f) The necessary security clearance the COR nominee must have for the contract;
(g) Whether the COR will be designated as an OGE Form 450 filer;
(h) Cite whether or not this individual is already performing COR duties on other
contracts and include the associated contract numbers and period of performance; and
(i) If there will be a recommendation to waive experience requirements, the basis for the
waiver (e.g. exempt APDP levels/job series) must be addressed and included in the COR nomination package.
The COR must file the CO’s Request for COR Support memorandum (if used) in the “COR Online File.”
1.4.2 In designating CORs, the CO should consider whether the person to be designated is
already performing COR duties and responsibilities on another contract (or contracts).
Although there is no prohibition from performing COR duties on more than one contract simultaneously, the CO and the COR Management (Supervisor) must ensure that individuals designated as CORs are able to dedicate sufficient time to perform effective oversight on each designated contract.
1.4.2.1 The number of contracts for which a COR may be assigned is a matter for the judgment of the CO considering the size, scope, and complexity of the individual contracts.
1.2.4.2 When an individual is designated as a COR for more than one contract (or multiple CORs are assigned on multiple task or delivery orders under a contract), a designation must be provided for each contract (or task or delivery order). A single letter of designation may be done at the overall contract level, if the same individual will serve as the COR for all orders issued against that contract.
1.4.3 The CO shall review the COR's courses and confirm that all required training is completed, sufficient to certify the COR IAW DoDI 5000.72 training requirements. In addition, the CO must provide contract specific training (see paragraph 1.5.7). COs may waive COR specific initial and refresher training requirements for COR nominees who have obtained a minimum of Level II “Certification in Contracting” (1102 job series), “Industrial Property Management” (1103 job series), or “Quality Assurance” (1910 job series), in accordance with sections 1701-1764 of Title 10, United States Code However, COR management is responsible for ensuring that any COR performing under such a waiver completes all required training. New entrant and annual DoD Component provided ethics and combating trafficking in persons (CTIP) training may not be waived.
1.4.4 The CO shall ensure that the COR completes and uploads COR Reports to the CORT Tool, as required, to enable the CO to review and approve/ reject reports in the CORT Tool.
1.4.5 The CO shall perform, with participation of the COR and COR supervisor, a yearly administrative review of the COR's online file during the anniversary month of appointment, or more often, at the discretion of the CO. The CO shall upload the COR File Annual Checklist to the CORT Tool, after the COR is designated, comprised of the minimum requirements of DFARS PGI 201.602-2(d)(vi), and contract and COR-related documents necessary for the effective discharge of COR duties and responsibilities. The Checklist (available on the CORT Tool) shall guide the COR in populating the online COR File, and serve as the basis for the CO to judge the accuracy and completeness of the COR file during each review.
1.4.6 Upon completion of each CO review of the online COR File, the CO shall document the results on the COR File Annual Checklist, and upload each Checklist review to the CORT Tool.
1.4.7 If unqualified or unacceptable, the CO must identify specific deficiencies, notify the requiring activity, and request additional information or a new COR nomination.
1.4.8 The COR Designation from the CO must:
(a) Identify the COR by name and position;
(b) Identify the contractor and contract number, including task or delivery order number, and date of award;
(c) Specify that the designation is pursuant to the authority in FAR 1.602-2;
(d) Specify the extent of the COR’s authority to act on behalf of the contracting officer, such as specific roles and responsibilities designated to the COR;
(e) Specify the limitations on the COR’s authority;
(f) Identify the period covered by the designation;
(g) Specify the authority is not re-delegable, and cannot be re-designated or transferred;
(h) Specify the COR may be personally and financially liable for unauthorized acts;
(i) Address standards of conduct and personal conflicts of interest, either real or apparent;
(j) Certify the COR meets the qualification requirements established in this instruction for the specific type of standard;
(k) Stipulate whether the COR will be a departmental accountable official (DAO). The COR will be a DAO if their responsibilities include providing information, data, or services that are directly relied on by the certifying official in the certification of vouchers for payment (i.e., public vouchers on a cost reimbursement contract);
(l) Specify the COR is responsible for notifying COR management and the contracting officer if unable to continue performance as the COR;
(m) Where applicable, specify that the COR must file an OGE Form 450;
(n) Designate the COR (if required) as an Assessing Official Representation (AOR) supporting the CPAR process;
(o) Stipulate that the COR will be required to have access to the Synchronized Pre-Deployment & Operation Tracker (SPOT) (if required due to overseas deployment support); and
(p) Stipulate whether the COR will require access to the Enterprise-wide Contract Manpower Reporting Application (eCMRA).
1.4.8.1 The designation to the COR must be signed by the contracting officer, COR management, and the COR. The COR and COR supervisor should retain copies of the executed designation. The designation must be retained in the contracting officer’s contract file and the COR’s copy maintained in the COR contract file. Notification of COR designation should be provided to the QAPC and contractor.
1.4.8.2 The contracting officer will provide a copy of the executed designation to the contract administration office(r), quality assurance activity, and property administration activity, if applicable.
1.4.8.3 The executed designation constitutes certification for performance of COR responsibilities for the time period specified under the specific contract, task, or delivery order.
1.4.8.4 The designation and the effective dates are accomplished via the DoD CORT Tool.
1.4.9 Distribution of the fully executed COR designation must be made to the COR, COR Supervisor, Contractor and as applicable, the contract administration office and Property administrator. In addition, notification must be sent to the local Judge Advocate General office or Office of General Council immediately upon the appointment of a COR designated as an OGE Form 450 filer, and annually by January 1st , a list of all CORs required to file OGE Forms 450.
1.5 CO, Contract Specialist, or QAPC Led Training. The CO must ensure contract-specific training is scheduled and provided to the prospective COR, unless waived (see 1.4.3). The training may be conducted by the CO, Contracting Specialist, or QAPC, and must consist of the following at a minimum prior to contract award:
1.5.1 Duties/responsibilities to be delegated;
1.5.2 Importance of COR performance;
1.5.3 Personal conflicts of interest and potential conflicts of interest;
1.5.4 Unauthorized commitments;
1.5.5 Ethics/integrity in relationships with the CO, COR management (e.g., COR Supervisor, Services Designated Official (SDO), Functional Commander/ Directors (FC/FD)), and the contractor;
1.5.6 Discussion of the Seven Steps to the Services Acquisition Process.
1.5.7 Contract-specific training consisting as a minimum of the following:
1.5.7.1 A discussion of the contract (SOW, PWS, Specifications, etc.) , and surveillance plan/QASP;
1.5.7.2 An awareness of any areas in the contract susceptible to fraud, waste, and abuse;
1.5.7.3 Creation, maintenance, and submission of all surveillance documentation and contractor performance assessment information required by the contract and applicable regulations;
1.5.7.4 How the COR can stay abreast of contract modifications;
1.5.7.5 How the COR can monitor contract fund status; and,
1.5.7.6 Joint CO and COR review of the “COR File Annual Checklist” to ensure mutual understanding of the level/quality of surveillance and documentation must be maintained in the on-line CORT file.
1.5.8 Refer to the Suggested Contract-Specific Training Syllabus template for conducting contract-specific training. The template may be tailored to fit your acquisition.
COR Performance and Appraisal
1.6 At a minimum, the CO and COR supervisor must review the COR’s reports, files, and other documentation for completeness/accomplishment, on an annual basis.
1.7 The CO must provide an annual assessment, as a minimum, on the COR’s performance to the COR supervisor.
1.8 If COR reports and/or performance are inadequate, the CO must provide a written assessment and discuss performance with the COR.
1.9 If reports and/or performance continue to be inadequate, the CO must provide a written assessment and discuss COR performance with COR supervisor.
1.10 In cases where COR performance continues to be poor, the CO must terminate the COR duties (Termination of COR Designation), and request a COR replacement. A new COR can be nominated prior to terminating the former COR. The requiring activity must nominate a COR replacement via the CORT Tool to ensure continuous contract monitoring by a qualified individual. Copies of the designation for the successor COR will have the same distribution requirements as the COR letter of designation.
1.11 Only the CO may terminate a COR designation.
1.12 When the requiring activity requests termination of COR designation, the CO must terminate the COR designation in writing (use of the “Smart Form” in the CORT Tool is authorized). The termination of COR designation must be executed by the CO and acknowledged by the COR and COR supervisor, and uploaded in the CORT Tool. Include the signed Termination of COR Designation in the official contract file.
1.13 The CO must forward a copy of the fully executed Termination of COR Designation to the COR, COR Supervisor, Contractor, and as applicable, to the contract administration office(r).
2.0 COR Roles and Responsibilities
2.1 The COR must have a Wide Area Work Flow (WAWF) account and be a registered DoD CORT Tool user to initiate the nomination package. Register for CORT Tool access through the Wide Area Workflow e-Business Suite at https://wawf.eb.mil, and complete training to effectively perform duties in the CORT Tool. Training includes a review the CORT Tool Users Guide and FAQs, the Air Force CORT Tool website, and if necessary, a request for additional training from a local Department Administrator (DA). Training must be completed prior to contract award.
2.2 Provide information necessary to assess whether any actual or potential personal conflicts of interest with performing the responsibilities to be designated exist. Conflicts of interest determination will be reviewed again prior to contract award. Complete and file an OGE Form 450, Confidential Financial Disclosure Report, if designated as a required filer by the CO.
2.3 Participate, as requested, in requirements definition/pre-award activities, annual CPAR procedures and contract close-out.
2.4 Establish and maintain a COR file in accordance with DFARS PGI 201.602-2(d)(vi) in the CORT Tool or if due to size limitations, an alternate location that is accessible to the CO and QAPC.
2.5 Remain abreast of changes to terms and conditions of the contract resulting from contract modifications.
2.6 Perform only those duties/responsibilities delegated by the CO in the COR Designation memo.
2.7 CORs shall not designate or re-delegate COR duties/responsibilities to another individual. Only a CO may designate a COR and delegate duties/responsibilities to a COR.
2.8 Provide reports on contractor performance to the CO or a CO designate (if applicable). If advised by the CO that reports are inadequate, ensure follow-on reports address issues expected by CO. CORs may be designated as the Assessing Official’s Representative (AOR) by the CO in the Contractor Performance Assessment Reporting System (CPARS) IAW the CPARS Guide. If designated as an AOR, the COR would be responsible for providing a timely, accurate, quality, and complete narrative for a report on the contractor's performance. If the CO requires the COR to have access to the contractor performance assessment reporting system (CPARS), the synchronized pre-deployment and operational tracker (SPOT) or the enterprise contractor manpower reporting application (eCMRA), an account would be authorized and granted after COR designation.
2.9 When advised by the CO or COR management that COR designation will be terminated, ensure reports/records are made available to the CO, COR management, and a successor COR, if one is designated by the CO.
2.10 If circumstances change and there is a reasonable expectation that the designated COR cannot perform effectively, (e.g., personal conflict of interest, change in assignment), the COR must notify the CO and COR supervisor and request the CO terminate the COR designation and take action to designate a successor COR.
2.11 Reference DFARS 201.602-2 and DFARS PGI 201.602-2 for COR responsibilities. Additional COR responsibilities are addressed in DoDI 5000.72, DoD Standard for Contracting Officer’s Representative (COR) Certification, 26 Mar 15
3.0 COR Supervisor
3.1 The requiring activity/COR supervisor must have a WAWF account and be a registered DoD CORT Tool user to complete the nomination package. Register for CORT Tool access via the Wide Area Workflow e-Business Suite at https://wawf.eb.mil, and then complete training to effectively perform duties in the CORT Tool. Training includes a review the CORT Tool Users Guide and FAQs, the Air Force CORT Tool website, and if necessary, a request for additional training from a local DA.
3.2 Review and approve (certify) or reject COR nominations in the CORT Tool, when submitted by an assigned COR in the CORT Tool and notified by a system-generated email that a nomination is “Awaiting Approval”.
3.3 Conduct regular reviews of COR inputs into the CORT Tool, and follow-up as necessary, on the content, timeliness, and completeness of COR Reports, online files, and other COR-related documentation.
3.4 Ensure that participation in the pre-award process and performance of COR/COR duties/responsibilities are properly addressed in the annual performance appraisal.
3.5 It is the COR supervisor’s responsibility to ensure the COR has completed the OGE 450, if required.
3.6 Reference DFARS 201.602-2 and DFARS PGI 201.602-2 for COR responsibilities. Additional COR supervision responsibilities are addressed in DoDI 5000.72, DoD Standard for Contracting Officer’s Representative (COR) Certification, 26 Mar 15.
4.0 OGE 450 Determination and Processing
4.1 A COR must file an OGE 450 if determined to meet the criteria for filing a Confidential Financial Disclosure Report (OGE Form 450) as set forth in section 2634.904 of Title 5, Code of Federal Regulations, and section 7-300 of DoD 5500.07-R.
4.1.1 A COR need not be designated as an OGE 450 filer, IAW section 2634.904 of Title 5, if all of the following apply:
(a) The COR will NOT participate personally and substantially in any contracting process,
(b) The COR will NOT exercise substantial discretion, through interactions, decisions, or reports, that will influence the contractor’s activities and result in a substantial economic effect on the contractor’s interests,
(c) The COR’s work and judgment WILL BE subject to “substantial supervision and review” by the CO & COR Supervisor, with final authority deferred to the CO for contractor direction and contract-related matters, and
(d) The COR’s actions will NOT cause any conflict of interest (real or apparent) between the interests of the COR and the government and/or the contractor
4.2 The COR must submit the completed OGE 450 directly to his or her supervisor and provide the information contained on the OGE 450 to the CO for review prior to submission to the local legal office by the required date.
5.0 Quality Assurance Program Coordinator (QAPC)
5.1 Train CORs and COR management [e.g., COR Supervisor, SDO, Functional Commanders/Directors (FC/FD)] on the contracting requirements associated with the quality assurance program and any MAJCOM/DRU/AFRCO/SMC procedures prior to contract award. See paragraph 1.5 herein.
5.2 Assist the CO in providing contract-specific training (to include refresher training) to the COR (Reference paragraph 1.3 above) and ensuring required training is accomplished in accordance with DoDI 5000.72, DoD Standard for Contracting Officer’s Representative (COR) Certification, 26 Mar 15
5.3 Monitor the inputs and use of the DoD CORT Tool for the assigned organization. This requires registration, training, and designation as a local CORT Tool DA or Manager Role by all QAPCs. DAs/Managers provide functional, not technical support, and provide for the continued deployment of the CORT Tool for new users and for the support of existing users in the local organization, by performing three categories of duties:
5.3.1 GETTING STARTED:
(a) Advise or assist new users with initial CORT Tool registration, or existing users with registration and profile updates, through the WAWF e-Business Suite platform;
(b) Activate new roles (if designated as a DA) and added roles (only if a DA) after verifying proper completion of the automated DD2875, through the 'Role Activation' feature in the CORT Tool; and,
(c) Conduct CORT Tool training or provide training resources to users.
5.3.2 USER SUPPORT:
(a) Advise and assist on the functions & features of the CORT Tool;
(b) Use Administrator or Manager privileges to research, troubleshoot, and advise on reported functional issues;
(c) Refer users to the WAWF/ CORT Tool Helpdesk, when a reported issue involves accounts, errors, or technical support;
(d) Monitor records of all COR nominations, designations, and terminations of designations, to include COR’s acknowledgement of their duties, by contract number and CO’s name;
(e) Monitor records of all COR and COR management training, including refresher training regardless of provider (e.g., QAPC, CO, contract specialist, contract administrator, Defense Acquisition University, or commercial training provider); and,
(f) Use CORT Tool search and report functions to monitor and manage CORT Tool use and compliance.
5.3.3 IMPROVE THE CORT TOOL:
(a) Collect, consolidate, coordinate, and communicate recommendations to improve the COR Tool by submitting the Engineering Change Proposals (ECP) Form through the Center DA to the MAJCOM DA; and,
(b) Monitor the Air Force CORT Tool website for helpful information and higher-level announcements for dissemination to local users.
6.0 Memorandum Templates and Contract Training Syllabus