COTRs– UNDERSTANDING THEIR ROLES
AND RESPONSIBILITIES
BY: STEVEN STRYKER, PRESIDENT
STRYKER ASSOCIATES
FOR: THE POTOMAC CHAPTER
DATE: March 15, 2011
CREDENTIALS OVERVIEW
• STRYKER ASSOCIATES is a small business with
expertise in procurement, project management and
planning.
• Over thirty years, a major success focus is
performance improvement and enhancement through:
-- Facilitated Consulting
-- Custom-tailored Training
-- Best Practice Development
CREDENTIALS OVERVIEW
• Client base is: federal, private and small
business
• Thrust is skill enhancement and program
improvement in
-- Performance-based processes
-- Stronger requirements & their
achievement
-- Organizational accountability
LEARNING PERSPECTIVE
By the end of this seminar, you will be
able to:
• Review COTR related regulations
• Explain the duties and responsibilities
of a COTR
• Review the key roles in the
procurement process
• Review key ethics rules
Complicated
Environment
5
The Federal Workforce is:
The Procurement System
Statutes
Congress
Department of
Defense
Initiatives
Office of Federal
Procurement Policy
Federal Acquisition Regulation
National Aeronautics
&Space Administration
Department
Of Commerce
General Services
Administration
President
Small Business
Administration
Department of
Labor
“But I have
only served
as the COTR
for less than
a year”
A COTR is…
…a non-contracting person who is given
the chief role in the technical monitoring
and administrative aspects of a
requirement description in a contract.
COTR Eligibility:
 Must be a Federal employee
 Must have necessary technical
expertise
 Must meet training and certification
requirements
 Must be appointed in writing
 Must satisfy agency ethics training
requirements
What are the COTR Certification
Requirements?
FAC-COTR Program
OFPP November 2007 Memorandum –
“The Federal Acquisition Certification for
Contracting Officer Technical Representatives”
Initial Training –
40 hours
Continuous Leaning –
40 CLPs every 2 years
I understand
your position,
but in case your
friend asks, may
I count on your
support?”
Now that we are
certified, I can’t wait
for my first
appointment.
How is the COTR Appointed?
Program Office:
• Nominates
technical expert
CO:
Nominee:
• Verifies eligibility • Accepts and signs
• Appoints in writing appointment letter
•Copies the
contractor
The source of the COTR’s authority is defined in
the Letter of Appointment from the Contracting
Officer and in specific provisions of the contract.
NOTE: COTRs cannot re delegate responsibilities
without the CO’s approval.
COTRs are appointed for each
contract:
 When technical guidance is
needed for a contract
 When continuous surveillance
of the contractor's work is
required
 To perform inspection functions
 For overall evaluation
When Does the COTR
Appointment End?
• Contract is successfully
brought to closure
• COTR leaves agency due
to retirement or transfer
• CO revokes delegation in
writing
COTR Primary Duties:
Communicate
Evaluate
Document
COTR Duties
• Help develop the contract requirements
• Participate in source selection
• Establish & sustain working relationships
with contractors
• Provide technical direction and guidance
• Liaison on technical matters between the CO
and the contractor
• Support the mission and recommend changes
to the CO
• Monitor and evaluate performance
• Create Lessons Learned for better buys
Limits of COTR Authority
COTRs are prohibited from:
Committing to a change in price, scope,
performance, quality, quantity, or delivery
Providing direct interaction or guidance to
subcontractors
Directing Contractors how they will
perform work
Disclosing source selection information
What are the Attributes of a
Successful COTR?

Communication skills

Organizational skills

Technical expertise skills
Familiarity with procurement

Note: Execution of COTR duties is now part
of Annual Performance Evaluation
MUST THE COTR DO IT ALL?
 Can use other expertise
to assist with Contract
Administration
 Colleagues must be
delegated responsibilities
from the CO
 Together can provide
more complete and effective
contract management—for
Task Orders and the entire
contract
INITIALLY:
The Program Office determines
the agency’s need for a
solicitation.
The Program Office:
 Is responsible for decisions
on:
oWhat to buy
oWhen to buy
Program personnel use the
contracting process to:
Accomplish their programs
Obtain effective support
from the Contracting Office
SUBSEQUENTLY:
The Program Manager forms a team consisting of all those
who will be responsible for significant aspects of the
acquisition. Involves Contracting Office sooner.
The acquisition planning team:
 Ensures the Government needs are met:
oEffectively
oEconomically
oTimely manner
 Promotes and prescribes use of:
o Commercial items
oNon-developmental items
oFull and open competition
Identifies strategy and Performance Work Statement
COTR acts as a Liaison throughout the
Acquisition Lifecycle
COTR communicates orally and in
writing with stakeholders including:
Contracting Officer
Program Manager
Contractor
Government personnel
End-users
Putting the Pieces Together
Planning
Evaluation
Administration
Closeout
COTR Involvement in the Acquisition
Process
COTRs do
participate
in ALL
phases
Acquisition Planning and Proposal
Solicitation
COTR offers support in:
Defining technical requirements •
Developing acquisition plan
•
Conducting market research
Developing Independent
Government Cost Estimate (IGCE)•
•
• Developing source selection
factors
•
•
•
•
•
Developing Quality Assurance
Surveillance Plan (QASP)
Considering government property
issues
Selecting appropriate contract type
Responding to solicitation
questions
Providing suggested sources
Conduct Market Research
Conduct Market Research: Primary Input
to Defining Needs
COTRs are responsible for:
 Ongoing market research for changes in:
o Market conditions
o Technology
o Socioeconomic opportunities
 Technical information on product availability and
industry capability, including:
o Competitive market forces
o Alternative sources
COMPETITION IS KEY! FIND OUT WHAT’s OUT THERE!
Develop Source Selection Process
Select team, tailored for the particular
acquisition to ensure a comprehensive
evaluation of offers
Identify potential sources
Agree on the Source Selection Strategy
Ensure consistency among:
• Solicitation Requirements
• Proposal Preparation Instructions
• Evaluation Factors
Proposal Evaluation and Post Award
Orientation
 During proposal evaluation, COTRs:
• Apply non-price factors in evaluating proposals
• Provide technical support in negotiations
• Document evaluation results and reasoning
 After contract has been awarded, COTRs:
• Provide support in debriefings & protests
• Participate in post-award orientation meetings
COTR reviews Need and
Performance Evaluation
Plan with CO
Contracting Officer calls
together the Government
acquisition team to discuss
its own issues and plan a
coordinated and cohesive
presentation
Post-award
Conference
Contracting Officer and
COTR meet with
contractor at the PostAward Orientation
Conference before work
begins to ensure mutual
understanding
Contract Administration
In administering a contract, COTRs:
• Serve as liaison on technical matters between CO and
Contractor
• Create Task Order requirements under the contract
• Monitor and evaluate Contractor performance
• Document and communicate Contractor performance to CO
• Recommend contract changes to CO
• Provide technical input to Order and Contract Closeout
Contract Management File
Contract management file
should include:
 Appointment Letter
 Schedule obligations of
Contractor and Government
 Performance
documentation
Modifications
Conduct performance assessments and
evaluations
Evaluation Tools
The COTR must ensure that the work performed under
the contract is measured against the Statement of Work.
If performance does not meet contract requirements, it is incumbent
upon the COTR to:
• Identify deficiencies
• Advise the Contractor immediately so that corrective action
can be taken
• Document situation & obtain CO input as needed
Fundamental performance principle: The contractor is mandated to
fully meet the contractual requirements independent of any COTR
action.
Performance Evaluations
CONTRACT CHANGES
COTR works with to:
 Assess & provide justification
with contractor
 Provide business case to CO
 Assist CO in ensuring
o Change within scope
o Agreed equitable
adjustment
 Ensure that:
o Change within scope
o Monitored effectively
OPTIMAL NUMBER OF
CHANGES– ZERO!
Quick Review—Dos & Donts
?A new organization is coming to your
organization and you need to increase contract
services
?Review invoices for acceptance
?Change contractor work schedule
?Release of Government Property to the
contractor
?Conduct surveillance to determine contractor
performance
?Order overtime for the contractor
?Conduct inspection and acceptance
Contract Closeout
To closeout a contract, COTRs:
• Accept final deliverables
• Sustain compliance with clauses (security, property,
etc.)
• Verify final Invoice
• Conduct overall performance evaluation
• Review contract management file for completeness,
provide to CO and retain for three years
Final Audits
A contract is considered closed when:
• Required products or services have been
delivered, inspected, and accepted
• Administrative tasks have been finalized
• Existing options periods have expired
OR
• Notice has been issued to the contractor that
the contract termination has been completed
Ethical Dilemmas
• The position of COTR places special
trust and responsibility upon you
• A few examples where your ethical
behavior will be tested include:
 Offer of gifts or employment
 Attempt to exert undue influence
Ethics
Avoid both the act or the appearance of
anything less than complete integrity,
objectivity, and impartiality
Legislation and policy can’t force ethical behavior
To avoid conflicts of interest, a
COTR must NOT:
• Accept gifts
 Engage in contracts in which there is a financial
interest or potential for personal gain
 Use their position to obtain private gain for self,
family or friends
 Share workspace with or closeness to contractors
 Direct contractor performance
 Commit acts of deceit, trickery, concealment, or
breach of confidence.
COTR Ethics-- CASE IN POINT!
• Situation: A COTR is conducting a site visit. In
casual conversation, she informs the Contractor she
will be leaving the Government in the next couple of
months on an “early out” retirement. The Contractor
suggests that when she does leave, please drop a
resume in the mail. The Contractor further states her
expertise can be useful on a consulting basis.
Although it might be questionable to use her on the
current contract without agency permission, the
Contractor said assured her that there was plenty of
other work around which was right up her alley.
•
Response: Is there a more appropriate message the
COTR needed to convey? If so, what is it?
COTR’s RESPONSBILITIES SUMMARY
MONITORING FUNCTIONS
SIMPLIFIED MONITORING
ELEMENTS
COMPLEX MONITORING
ELEMENTS
COTR NOMINATION &
APPOINTMENT
Basic Responsibilities
Special Contract Monitors, their
assignment and delegated duties
Delegated Responsibilities and CM
Team
START UP
Partnering Arrangement
Contract Management Processes
Contract File & Maintenance
Post Award Meeting
COMPLIANCE ISSUES
Site Planning & Preparation
Inter-Governmental Regulations
Security Info Mgt System
Patents and Data Rights
Entrance Determination
Environment, Safety & Health
Exit Clearance
Subcontracting Plan
Tracing of Contractor IT Security,
Non-disclosure and Computer Access
Insurance
Contractor Workspace
Contractor Purchasing System
Review
COTR’s RESPONSBILITIES SUMMARY
MONITORING FUNCTIONS
SIMPLIFIED MONITORING
ELEMENTS
COMPLEX MONITORING
ELEMENTS
CREATING TASK ORDERS
Task Ordering and Technical
Instructions
SURVEILLANCE
Technical Direction
In Process Reviews
Baseline Management
Risk Assessment
QASP, Metrics & Monitoring
Customer Surveys
Correspondence Tracking & Meetings
Government Furnished Information
Information Security Issues
Government Property
Advanced Property Issues
Key Personnel
Review Site Deployment Activities
Deliverables Review & Tracking
Maintain Document Library
Periodic Performance Evaluation
Contracts’ Portfolio Management
INSPECTION AND ACCEPTANCE
Inspection, Nonconformance &
Acceptance
Warranties and Latent Defects
COST CONTROL AND PAYMENT
Invoicing & Expenditure Controls
Earned Value Management
Financing Oversight & Review
Audit Process
COTR’s RESPONSBILITIES SUMMARY
MONITORING FUNCTIONS
SIMPLIFIED MONITORING
ELEMENTS
IMPROVING PERFORMANCE
Recognizing & Solving Concerns
COMPLEX MONITORING
ELEMENTS
Performance Resolution
CLOSEOUT
CHANGES
Responsibilities including
Transition
Project Handover & Completion
Performance Evaluation-- for Past
Performance
Strategic & Program
Performance Connections
Release of Contract File
Lessons Learned Database
Recognizing & Justifying the Need
Configuration Management
Gaining Approval & Implementing
Changes
Unauthorized Commitments
CLAIMS
Handling Disagreements
Disputes Process
Dealing with Delays
REMEDIES
Getting Performance back on
track
TERMINATION
Gathering Supporting Evidence
OTHER SPECIAL EMPHASIS
AREAS
Input to Cure, Show Cause
and/or Forbearance Notices
COTR’s BOTTOM LINES:
5. Do not exceed your authority
4. Keep stakeholders informed
3. Properly perform duties
2. Discover best practices
1. Continue professional
development
EXIT TICKET
• What was or was not beneficial
about this training content?
• Was the Facilitator effective?
• How can this training be
improved?
FOR FURTHER INFORMATION
 To provide facilitated consulting and/or training to
obtain viable Performance actions and/or
contacts, or
 To discuss viable buying options, connect with:
STRYKER ASSOCIATES
Steven Stryker, President
VOICE: (301) 924-2152
FAX: (815) 346-2960
EMAIL: scstryker@juno.com
56
Thank you
Steven
Stryker
FAR Part 16.602