Federal Acquisition Certification for Contracting Officers Technical Representative (FAC-COR) Handbook

Transcription

1 Federal Acquisition Certification for Contracting Officers Technical Representative (FAC-COR) Handbook Issued by the The Acquisition Institute Incorporated Training Division January 1, 2012

2 FEDERAL ACQUISITION CERTIFICATION FOR CONTRACTING OFFICER REPRESENTATIVE (FAC-COR) TABLE OF CONTENTS CHAPTER 1 IMPLEMENTATION OF THE FAC-COR PROGRAM A. Purpose.. 3 B. Definitions.. 4 C. COR Responsibilities.. 4 D. Table 1 COR Responsibilities.. 5 CHAPTER 2 FAC-COR PROGRAM REQUIREMENTS A. Certification Requirements.. 6 B. Appointment Procedures.. 6 C. Key Competencies.. 7 Table 2- FAI S KEY Competencies 8 D. Initial Certification Requirements.. 8 E. Requirements for COR Certification. 10 CHAPTER 3 FAC-COR CERTIFICATION MANAGEMENT A. Acquisition Training Management Requirements B. Performance Accountability C. FAC-COR Application Process 19 D. Documenting and Tracking Continuous Learning Points 20 E. Program Assistance. 20 ATTACHMENT 1 SAMPLE COR LETTER ATTACHMENT 2 TRANSITION OF CURRENT CORs (GUIDANCE ON MEETING THE REQUIREMENTS FOR CONTINUOUS LEARNING POINTS ATTACHMENT 3 FAC-COR APPOINTMENT MATRIX 2

3 FEDERAL ACQUISITION CERTIFICATION FOR CONTRACTING OFFICER REPRESENTATIVE (FAC-COR) CHAPTER 1 IMPLEMENTATION OF THE FAC-COR PROGRAM A. PURPOSE Every cabinet level department and agency shall work to implement OFPP s policy regarding the Federal Acquisition Certification for Contracting Officer Representative (FAC-COR) program; and shall establish FAC-COR certification as a prerequisite for serving as a COR within any department or agency. It is up to each Department and agency to maintain a program for training employees for certification and appointment as Contracting Officer Representative (COR). Prior to appointment as a COR, all candidates shall be certified eligible under by the department or agency Federal Acquisition Certification for Contracting Officer Representative (FAC-COR) program. This guide reflects both the Office of Federal Procurement Policy (OFPP) Memorandums dated November 26, 2011 and the most recent memo dated September 6, 2011 regarding the certification procedures and standard competencies that CORs must achieve. All FAC-COR programs identify minimum acquisition training requirements for all individuals through use of an Individual Development Program (IDP) for those who serve as a COR under a written delegation of authority from a Contracting Officer. Because Project Officers provide technical guidance to the Contracting Officer before award of a contract or order, they are not subject to fulfilling the requirements of the FAC-COR certification program - unless they will also be required to perform post-award contract activities. However, Project Officers must adhere to the training requirements specified under FAC-P/PM, Training Requirements for Project Officers and Technical Evaluators. The authorities listed below were used to develop the roles, responsibilities, and limitations for various individuals and offices involved with this FAC-COR program. C. DEFINITIONS 1. Acquisition Career Manager (ACM) (Department-Level) An employee from Assistant Secretary level responsible for administering the Department s certification programs to ensure that the Department s acquisition workforce members meet the requirements of OFPP Policy Letter Acquisition Career Manager (ACM) (OPDIV-Level) A Federal employee responsible for leading the Department s acquisition career management 3

4 program and ensuring that the acquisition workforce members meet the requirements of OFPP Policy Letter Continuous Learning Points (CLPs) - Points awarded for successful completion of continuous learning activities. One CLP equates generally to one classroom hour and varies for other learning activities, as described in Appendix 2 of this handbook or Appendix A of the OFPP memorandum dated November 26, 2007, entitled The Federal Acquisition Certification for Contracting Officer Technical Representatives. CLP credits may be earned by taking appropriate courses from any commercial vendor, FAI or DAU. 4. Contracting Officer A Federal employee expressly warranted to enter into, administer and/or terminate contracts and make related determinations and findings. 5. Contracting Officer s Representative (COR) - A Federal employee to whom a Contracting Officer has delegated authority in writing to act as his or her representative in monitoring specified aspects of contractor performance. These aspects may include ensuring that the contractor s performance meets the standards set forth in the contract, ensuring the contractor meets the technical requirements under the contract by the delivery date(s) and/or within the period of performance, and ensuring that the contractor performs within the price or estimated cost stated in the contract. 6. FAC-COR Program Manager An employee designated as the overall Departmental coordinator for all OPDIV FAC-COR administration. The FAC- COR Program Manager s responsibilities may include: coordinating the provisions of training; assuring that the training meets FAC-COR program requirements; communicating training drivers to various divisions; and communicating federal mandates as they relate to FAC-COR certification. 7. Head of Contracting Activity (HCA) Usually referred to as the Senior Procurement Executive, an official responsible for conducting an effective and efficient acquisition program including establishing, managing, and monitoring FAC-COR certification program for his/her area. 8. Project Officer An employee who provides technical guidance to the Contract Specialist/Contracting Officer before award of a contract or order. Project Officers are often delegated post-award authority to act as the Contracting Officer Representative. C. COR RESPONSIBILITIES CORs are integral and valued members of the acquisition workforce because they help to monitor and manage contracts. Further, these individuals provide the technical expertise necessary to convey the Government s requirements, oversee the technical performance of the contractor, and ensure that deliverables meet the contractual requirements. Table 1 COR Responsibilities provides an overview of the technical aspects of contracting and the important role that CORs play in successful contracting. 4

5 Table 1 COR Responsibilities CONTRACT PLANNING Advise on, or determine, a need for a product or service Analyze technical requirements of the product or service Conduct market research to establish technical requirements or identify the marketplace for goods or services Provide technical information to assist in determining type of contract and level of competition Prepare the statement of work (SOW) or the Performance Based SOW and help establish the solicitation s technical terms and conditions Plan the technical aspects of the proposal evaluation process CONTRACT FORMATION Serve on panels to evaluate bids and proposals Help establish the contract s technical terms and conditions CONTRACT MANAGEMENT Administration: Serve as agency s technical representative for contract administration Represent agency in technical meetings, record important facts Confer with program office and user groups on contract performance Maintain COR file Assist contracting officer and contractor in understanding technical requirements Monitoring the technical work of the contractor, and performing quality assurance and inspection of deliverables: Determine and list the deliverables required from the contractor, with due dates Monitor the contractor s compliance with schedule (i.e., deliverables) Review and approve, or reject, technical deliverables Give technical direction to contractor Ensure all work is in accordance with the contract requirements Review and monitor progress reports and work plans Ensure the contractor is complying with its quality control systems Advise the CO of work that is accepted or rejected Ensure the contractor properly corrects all defects and omissions Changes and modifications: Advise the CO of the need to issue change orders; develop estimates for equitable adjustments; and assist in evaluating contractor claims Perform a technical review of contractor proposed changes Contractor human resources management and financial management issues: Ensure contractor displays required materials for EEO, contract laws, and job safety Report violations of labor standards to the CO based on FAR PART 22 Monitor time worked and contractor record-keeping procedures Ensure contractor enforces all health and safety requirements Ensure contractor assigns employees with the necessary capabilities, qualifications, and experience Review and quickly process contractor invoices Determine if progress or advance payment requests should be processed Contract closeout or termination: Provide technical information for contract closeout and termination decisions Provide a copy of the COR s file to CO when duties end 5

6 CHAPTER 2 FAC-COR PROGRAM REQUIREMENTS A. FAC-COR CERTIFICATION REQUIREMENTS 1. Any individual appointed to serve as a COR must have a FAC-COR certification. 2. Certification is obtained through competency-based and assignment-specific training. Ongoing continuous learning (includes classes, online, outside work, etc) in order to maintain the required active certification. 3. Acquisition Career Managers have been delegated the authority to establish, manage, and monitor their respective FAC-COR programs. In performing these functions, HCA s should work closely with managers who have general responsibilities for training, competencies, and performance management. 4. For initial FAC-COR certifications Level I, II and III, applicants are required to complete coursework that includes the key competencies stated in Chapter 2 Section C of this Handbook. FAC-COR certifications are valid for two years from the date that such coursework was completed OFPP directs all agencies to recognize and accept FAC-COR certifications issued by other Federal agencies or any HCA or designee. 6. Individuals who have served in a COR capacity at another agency, and participated in another federal agency s COTR training previous to the FAC- COR program, may seek recognition for fulfillment of the FAC-COR requirements and demonstrate their proficiency by completing the Fulfillment Request Form (see Appendix 3) and submitting the information to their HCA or designee. 7. Individuals who hold a Federal Acquisition Certification in Contracting (FAC- C) Level II or Federal Acquisition Certification for Program/Project Managers (FAC-P/PM) Level II are considered to have met the FAC-COR requirements. However, they must still submit the necessary documents to obtain certification. 8. CORs are also subject to any specialized mandatory training requirements. B. APPOINTMENT PROCEDURES 1. The Contracting Officer will decide whether a COTR is necessary to support a specific contract, and will advise the program office of this decision as early into the acquisition process as practical. It is highly recommended that the COR be involved in the pre-award acquisition process (i.e., assisting in the development of the technical requirements, the quality assurance plan, and any other pre-award activities). This ensures that the COR is familiar with the requirements of the contract. 6

7 2. Conditions favoring the need for a COR include, but are not limited to: cost-type contracts; service contracts; high visibility or otherwise sensitive contracts; large, complex, or high-risk awards; awards subject to testing requirements; performance-based acquisitions; etc. COR appointments are required for all A&E services, construction contracts, and contracts performed outside the United States. Appointment of a COR is generally not necessary when oversight duties are limited to verifying the quantity and quality of delivered items. A Contracting Officer will appoint an individual to be a COR based on his/her determination regarding the technical, professional, and administrative qualifications of the individual. Contracting Officers may require a COR to complete additional training if deemed necessary for the successful administration of a contract. 3. Operating Program Management Offices should delegate COR authority in accordance with Departmental policy. It is acceptable for offices to appoint alternate CORs in the event the primary COR is unavailable. Before a Contracting Officer appoints a COR, he/she must be assured that the COR is free of conflicts of interest and has the technical capability to perform the required administrative and oversight functions for the particular acquisition. 4. The Contracting Officer will define the appointment duration in the written delegation of authority and has the right to revoke the delegation in writing. The COR does not have the authority to re-delegate his or her COR appointment. Appendix 4 FAC-COR Appointment Letter provides a template for written appointments and can be tailored as needed. The Contracting Officer s authority to bind the government may not be delegated to a COR. 5. A copy of the COR s appointment letter and certification must be a part of the contract file. C. KEY COMPETENCIES The COR competency model is designed to enhance proficiency levels. Organizational benefits may include: Matching the current workforce profile with the organization s performance requirements; Helping to recruit and retain the skills and proficiency levels needed for CORs both current and future; Developing assessments that tie competencies to training; and Linking COR responsibilities (See Table 1) to key competencies required for successful contract management. While general business competencies can be achieved through required training, specific coursework for FAC-COR certification may be prescribed by the HCA or designee. Specific coursework should be based on a COR s proficiency level relating to an area of specialization (e.g., information technology, construction, research and development). The Department or agency s plan to expand 7

8 training and development for CORs to include specialized areas and levels of complexity Table 2 FAI Key Competencies - lists the FAI core competencies and skills required for certification. A definition of each competency is provided at Table 2 - FAI s KEY COMPETENCIES General Business Competencies Attention to Detail Decision-Making Flexibility Influencing/Negotiating Integrity/Honesty Interpersonal Skills Oral Communication Planning and Evaluating Problem Solving Project Management Reasoning Self-Management/Initiative Teamwork Writing Technical Competencies Aligned Skills Acquisition Planning Documenting the Source Methods of Payment Contract Financing Unpriced Contracts Recurring Requirements Pricing Arrangements Compliance to FAR Guidelines Determining Need for EVM Task and Delivery Order Contracting Strategic Planning Market Research Understanding the Marketplace Defining Government Requirements in Commercial/Non-Commercial Terms Collecting Source Information Writing Statements of Work Conducting Needs Analysis and Preparing Requirements Assisting in the Development of Acquisition Strategy Effective Pre-Award Communication Publicizing Proposed Acquisition Subcontracting Requirements Solicitation Preparation Pre-Quote/Pre-Bid/Pre-Proposal Conferences Amending/Canceling Solicitations Technical Analysis of Proposals Evaluating Non-Price Factors Pricing Information from Offerors Evaluation Documentation Negotiation Negotiation Strategy Conducting Discussion/Negotiations Determining Capability Effective Contract Management Contract Administration Planning and Orientations Contract Modification and Adjustment Work Order Management Performance Management Performance Metrics Performance Management Financial Management Contract Reporting Inspection and Acceptance Specialized Requirements 8

9 D. INITIAL CERTIFICATION REQUIREMENTS The NEW approaches to meet FAC-COR certification requirements: Where the previous FAC-COTR had just one level of certification for all CORs, the new FAC-COR now has three levels of certification with varying requirements for training, experience, and continuous learning, depending on the types of contracts being managed. Generally, in accordance with the attached policy and agency guidance, CORs should be developed and assigned as follows: 1. Level I 8 hours of training and no experience required. This level of COR is generally appropriate for low-risk contract vehicles, such as supply contracts and orders. 2. Level II 40 hours of training and one (1) year of previous COR experience required. These CORs may be called upon to perform general project management activities and should be trained accordingly. This level of COR is generally appropriate for contract vehicles of moderate to high complexity, including both supply and service contracts. 3. Level III 60 hours of training and two (2) years of previous COR experience required on contracts of moderate to high complexity that require significant acquisition investment. Level III CORs are the most experienced CORs within an agency and should be assigned to the most complex and mission critical contracts within the agency. These CORs are often called upon to perform significant program management activities and should be trained accordingly. At a minimum, those CORs for major investments, as defined by OMB Circular A-11, shall generally be designated as Level III CORs. The FAI, Defense Acquisition University (DAU), along with numerous commercial (private) vendors, and other government agencies offer a variety of online, distance learning and classroom courses to satisfy the new training requirements, and sample curricula are provided at the FAI website. CORs certified under the previous program are considered to have certain equivalencies under the new program, as explained in more detail in the attached. 9

10 E. REQUIREMENTS FOR COR CERTIFICATION. 1. Purpose. The purpose of the Federal Acquisition Certification for Contracting Officer s Representatives (FAC-COR) is to establish general training, experience and development requirements for CORs in civilian agencies that reflect the various types of contracts they manage. For the purpose of this policy, the term COR refers not only to positions technically designated as CORs, but also to Contracting Officer s Technical Representatives (COTRs), Technical or Task Monitors (TMs) and others who ensure proper development of requirements and assist Contracting Officers (COs) in managing their contracts. This certification program will promote continued development of essential business and technical competencies for CORs. The revised FAC-COR program is effective January 1, Authority. The FAC-COR is issued pursuant to the Office of Federal Procurement Policy (OFPP) Act, 41 U.S.C et. seq., and OFPP Policy Letter 05-01, which established a requirement for federal acquisition certification programs 3. Background. Since the designation of CORs as part of the acquisition workforce in the Services Acquisition Reform Act of 2003 (SARA), the federal government has taken steps to develop and strategically manage this critical portion of the acquisition workforce. In November 2007, OFPP issued the first Federal Acquisition Certification for COTRs (FAC-COTR),1 and in October 2009, OFPP issued the Acquisition Workforce Development Strategic Plan,2 which established a multi-agency Functional Advisory Board (FAB) to improve the FAC-COR program and make recommendations to more effectively manage the COR workforce. This FAC-COR revision, which replaces the original program, is a step toward continuous improvement of the COR function. 4. Applicability. The FAC-COR program applies to all executive agencies, except the Department of Defense (DoD). This is a federal certification and, as such, the certification shall be accepted by all civilian agencies as evidence that an employee meets core training and experience requirements to perform COR functions, though authorization to perform COR functions must be in accordance with agency policy. 5. Certification Program Administration. a. General. In accordance with SARA, the Chief Acquisition Officer (CAO), in consultation with the Senior Procurement Executive (SPE) and other appropriate agency officials, is responsible for developing and maintaining an acquisition career management program to ensure an adequate professional workforce. As such, the certification process shall be managed by each agency. The CAO may delegate, in writing, to no lower than the Head of the Contracting Activity (HCA), certain functional responsibilities as needed to ensure effective and efficient management of this program. The agency Acquisition Career Manager (ACM) is responsible for administering the agency certification program in accordance with this guidance. b. Waiver Authority. The agency s CAO may extend in writing, on a case-by-case basis, the date upon which a COR must be certified by an additional six months, if it is in the best interest of the agency. Additionally, the CAO may waive all or part of the FAC-COR requirements in writing, on a case-by-case basis, if granting the waiver is in the best interest of the agency. A written justification shall include the reason for and 10

11 conditions of the waiver, and the agency s ACM or designee shall maintain all supporting documentation. c. Oversight and Continuous Improvement. The OFPP Associate Administrator for Acquisition Workforce Programs, in consultation with the Chief Acquisition Officers Council (CAOC), the Federal Acquisition Institute (FAI), the FAI Board of Directors, the Interagency Acquisition Career Management Council (IACMC), the COR FAB and other organizations, as appropriate, shall: provide general program oversight and direction, periodically revalidate the COR competencies, identify additional classroom training and development opportunities, and recommend improvements to this FAC-COR policy to the Administrator for Federal Procurement Policy to ensure the program reflects the needs of all civilian agencies. Changes to the program will be made through an update of this policy document. FAI will issue guidance and other information through its website,5 and, periodically, will review existing agency programs against the program s requirements to ensure consistency of implementation across agencies. 6. Certification Requirements for Contracting Officer s Representatives (CORs). The FAC-COR shall consist of: (1) competency-based core training and assignmentspecific training to achieve certification, (2) experience requirements for Level II and III certifications, and (3) continuous learning to maintain certification. Obtaining the FAC- COR makes an individual eligible for appointment as a COR, which shall be made in writing by the CO, but does not mandate an individual s appointment as a COR; the CO shall make this determination in accordance with agency need. a. General. The FAC-COR program contains three levels of certification to allow for appropriate training and experience for CORs managing a range of contract vehicles, from low-risk contracts (such as supplies) to high-risk, complex acquisitions (such as IT systems). New CORs shall be designated within six months of assignment. b. Transition of Current CORs. Absent agency action, current CORs shall be grandfathered in as Level II CORs. At its discretion, and in accordance with agency policy describing the decision process, an agency may decide to: (1) grandfather some current CORs in as Level I CORs; (2) grandfather some current CORs in as Level II CORs; and/or (3) reassign some current CORs who meet the new requirements for Level III CORs at Level III after validating their experience and competency to the ACM or designee (see Section 6.e). Agencies have until the effective date to determine if and how to reassign their current CORs. Upon being grandfathered in or reassigned, CORs will follow the continuous learning requirements for their new COR level. These transition requirements are detailed in Attachment 2. c. Competencies for CORs. The business and technical competencies for CORs are available at the FAI website6 and reflect the results of a 2003 study conducted by FAI and a 2008 review by FAI and a multi-agency working group. The COR FAB will periodically revalidate these competencies and the COR certification policy will be updated as needed. Changes to the competencies will be available on the FAI website 11

12 d. Appointment. The program office shall normally provide a written nomination for a technically qualified, responsible and certified COR to the CO. Determining who is most appropriate to be the COR is the responsibility of the CO and CORs shall be appointed in writing by the CO. It may be reasonable to have a COR for a task or delivery order in addition to the COR for the underlying contract; in that case, the roles and responsibilities of each should be made clear in both the COR delegation letters and the contract terms and conditions. The COR level required for a particular acquisition shall be determined by the CO during acquisition planning. To assist in this determination, the CO may find the COR Appointment Criteria Matrix in Attachment 3 helpful. The matrix identifies risk factors, such as complexity and contract type, for COs to consider when appointing a COR to a contract. Assessing the level of risk for each factor can help COs analyze the overall level of risk for the contract. Use of this matrix will promote consistency across agencies, and agencies are invited to add criteria to the matrix as appropriate for their situation. CORs assigned to various contracts shall be certified at the highest level required by any one contract within their portfolio. e. Training and Experience: CORs must have the minimum training and experience, as described below, and must maintain their skills currency through continuous learning. Agencies may add additional training and experience requirements, but the FAC-COR shall be recognized by all civilian agencies as evidence that an employee meets core training and experience requirements to perform COR functions. 1. Level I 8 hours of training and no experience required. This level of COR is generally appropriate for low-risk contract vehicles, such as supply contracts and orders. 2. Level II 40 hours of training and one (1) year of previous COR experience required. These CORs may be called upon to perform general project management activities and should be trained accordingly. This level of COR is generally appropriate for contract vehicles of moderate to high complexity, including both supply and service contracts. 3. Level III 60 hours of training and two (2) years of previous COR experience required on contracts of moderate to high complexity that require significant acquisition investment. Level III CORs are the most experienced CORs within an agency and should be assigned to the most complex and mission critical contracts within the agency. These CORs are often called upon to perform significant program management activities and should be trained accordingly. At a minimum, those CORs for major investments, as defined by OMB Circular A-11, shall generally be designated as Level III CORs. 12

13 COR certification requirements are detailed in the chart below. Level I Certification 8 hours of training, no experience required Continuous learning: 8 CLPs every 2 years Level II Certification: 40 hours of training*, one year of experience required Continuous learning: 40 CLPs every 2 years Level III Certification: 60 hours of training*, two years of experience required Continuous learning: 40 CLPs every 2 years *Training or continuous learning from one level may be applied to training requirements for the next higher certification level. Experience may have been obtained prior to the effective date of this memo. Levels I and II are not incremental. If a COR meets the requirements of Level II certification, (s)he can be certified at Level II without prior Level I certification. However, in order to be certified at Level III, it is strongly recommended that CORs have prior certification at Level II. Initial training for new CORs must include, at a minimum, a course covering the basic COR roles and responsibilities as well as fundamental contract rules and regulations (the FAR). In addition, it is strongly recommended that this training be provided in a classroom setting, but not absolutely required. For other CORs, any combination of classroom or online training that contributes to learning the competencies is acceptable. Required training should be determined by agency policy and the agency s Acquisition Career Manager (ACM). Individual CORs should consult with their supervisor and the Contracting Officer to determine their specific training needs. Training options to consider classroom, online, or a mix of both are provided at FAI s website. In addition to gaining experience as a COR, experience may be gained by performing acquisition-related activities, such as performing market research; writing specifications, Statements of Work or Statements of Objectives; developing quality assurance surveillance plans; assisting the CO or COR as a technical monitor; and participating as a subject matter expert on a technical evaluation team. Recognizing that COR and other acquisition-related activities are not generally full-time duties for individuals other than contracting professionals, experience may be gained by performing these activities on a part-time basis. As a prerequisite for Level II and Level III certification, the COR nominee shall validate to the agency Acquisition Career Manager (ACM) or designee in accordance with agency procedures that (s)he has gained the required experience and obtained the technical competencies required (see paragraph 6.c, above). Templates to assist agencies in implementing this process will be available on the FAI website no later than October 31,

14 f. Continuous Learning: To maintain a FAC-COR, CORs are required to earn the following continuous learning points (CLPs) of skills currency training every two years, either beginning with the date of their certification9 or in a standard cycle as determined by their agency. ACMs shall monitor the continuous learning requirements for employees holding FAC-CORs to ensure they meet these requirements. Additional guidance on determining continuous learning points is available on the FAI website10. It is the COR s responsibility to ensure that his/her continuous learning requirements are met. Level I 8 hours of CLPs every 2 years Level II 40 hours of CLPs every 2 years Level III 40 hours of CLPs every 2 years It is not intended that CORs retake their original COR training classes for continuous learning. Rather, CORs should take courses relevant to the work they are performing as a COR. For example, CORs managing Information Technology (IT) contracts would find a course on IT acquisition helpful. Courses in accounting, program and project management, and contract law are particularly relevant for Level II and Level III CORs. All CORs would benefit from ethics and fraud awareness training. In addition, rotational assignments and attendance at learning seminars and conferences may provide continuous learning points for CORs. It is recommended that CORs discuss their continuous learning plans with their supervisor, the CO, and/or the ACM to ensure maximum benefit. A FAC-COR will expire if the continuous learning requirements are not met and in this case, the CO may revoke the COR appointment in writing on a case-by-case basis and assign another COR to the contract. A COR who has failed to meet the continuous learning requirements and has had his or her COR appointment revoked must complete the necessary training to be reinstated. The COR, COR s supervisor, and contractor will be notified in writing in a timely manner of any changes to the COR appointment. g. Reciprocity with Other Certifications: As detailed in the chart below, individuals certified as Federal Acquisition Certification in Contracting (FAC-C) Levels I or II or Federal Acquisition Certification for Program and Project Managers (FAC-P/PM) Mid- Level/Journeyman are considered to have met the FAC-COR requirements for Level II. Individuals certified as FAC-C Level III or FAC-P/PM Senior/Expert are considered to have met the FAC-COR requirements for Level III. These individuals must submit their FAC certificates and continuous learning documents11 to their ACMs or designees for FAC-COR certification. However, an individual with FAC-COR certification does not necessarily meet the requirements for FAC-C or FAC-P/PM certification. h. COR Performance Management: In order to ensure successful contract management, agencies may consider rating CORs on their performance as part of their annual performance plans. 7, Resources for ACMs and CORs: FAI is responsible for developing and maintaining a Community of Practice for CORs on its website. This Community of Practice website shall include, at a minimum, best practices, a COR toolkit, a COR handbook, and links to COR areas of interests. 14

15 8. Management Information System: Agencies and individuals are responsible for maintaining certification documentation for quality assurance purposes. Agencies are responsible for tracking their COR workforce, including its continuous learning requirements. CORs must ensure their training data is properly entered into the Federal Acquisition Institute Training Application System (FAITAS) or an agency system that feeds into FAITAS. In its fall 2011 release, FAITAS will have career path management functionality which will include a robust reporting tool to process, track and report on certifications and continuous learning requirements. All CORs must be entered into FAITAS no later than February 15, Table 3 - ON-LINE TRAINING SOURCE COURSE CLPs / HOURS CLC 222 Contracting Officer s 32 Representative (COR) Online Training 2 ELECTIVE/OPTIONAL COURSES: FAC 017 COTR Refresher 8 CLB 016 Introduction to EVM 1 CLC 004 Market Research 3 CLC 007 Contract Source Selection 3 CLC 011 Contracting for the Rest of Us 2 ( CLC 013 Performance-Based Services Acquisition 6 CLC 046 Green Procurement 2 CLC 106 COTR with a Mission Focus 8 Note: Includes modules on Ethics and Market Research CLE 003 Technical Review 3 CLE 028 Market Research for Engineering and Technical Personnel 4 CLM 003 Overview of Acquisition Ethics 2 CLM 014 IPT Management and Leadership 8 CLM 016 Cost Estimating 8 CLM 017 Risk Management 8 CLM 024 Contracting Overview 8 CLM 031 Improved Statement of Work 4 FAC 033 Contract Management: Strategies for Mission Success 3 15

16 . Table 4 - CLASSROOM TRAINING PROVIDERS The table below includes vendor sources, classroom courses and associated CLPs that meet FAC-COR competencies BMRA ( SOURCE COURSE CLPs /HOURS COR/COTR Course 40 Department of Homeland Security ( ESI ( The Acquisition Institute Inc. Gonzales McCaulley Investment Group ( Houseman & Associates ( MCI ( Northwest Procurement Institute (NPI) ( COR Course 40 The COTR Training Program COR Level I and II Basic and Refresher Training Contracting Officer s Representative Course Contracting for COTRs 40 Contracting Officer s Representative Course COR/COTR Certification Course Treasury Acquisition Institute (TAI) ( Contracting Officer s Representative Course 40 Ways to complete fulfillment training for COR certification include: a. Classroom Training If an applicant obtained partial competencies through courses, he or she should provide for each competency the dates of training, course descriptions, provider names, grades (if applicable), competencies achieved, and certificate of completion. b. Online Training and Distance Learning Courses If the applicant is using distance learning or online training certificates, he or she should list the agency or vendor, dates, location, title of the position, title and brief description or course syllabus used that demonstrates the relevant competencies. c. Experience If the applicant is using job experience, he or she should list the agency, dates, location, title of the position, title and brief description of related contract actions, and the duties performed that provided the relevant competencies. 16

17 d. Education If an applicant obtained competencies through academic courses provided at an accredited institution of higher learning, he or she should provide the dates of each class, course descriptions, provider names, grades (if applicable), and competencies achieved. A copy of the transcript must accompany the application. E. REQUIREMENTS FOR MAINTAINING CERTIFICATION (RECERTIFICATION) 1. To maintain a FAC-COR certification, COR s are required to earn the necessary continuous learning points (CLPs) of acquisition-related training or professional development for their COR Level. For recertification, COTR s are required to complete any COR refresher training, as long as the course content maps to the required competencies listed above.. 2. COTRs are responsible for tracking and maintaining their training records, monitoring and managing their acquisition training needs, and notifying their immediate supervisors and Contracting Officers of the ongoing training requirements for maintenance of their certifications. 3. Required Level III training with Earned Value Management (EVM) and Performance-Based Acquisition (PBA) CLPs. In addition to COR Level II and III refresher training, COR s assigned to IT projects to which EVM is applied or service contracts to which PBA is applied must successfully complete EVM and PBA course hours (as applicable) before assuming their COR duties. COR s assigned to IT projects will also be encouraged to take an OCIO sponsored web-based training course on Enterprise Performance Life Cycle (EPLC). In the first recertification period, a COR must earn a minimum of 4 CLPs in both EVM and PBA methodologies. 4. Any remaining CLPs required for recertification should cover competencies related to the COTR s specific contract assignments. Examples may include appropriations law, performance-based acquisitions, earned value management, time and materials contracts, IDIQ, Task Order contracting, Contract Negotiations, Leadership, Green purchasing, Socioeconomic issues, etc. Up to 8 CLPs may be earned in job-related technical skill development. 1. Other CLP Guidance. Continuous learning points can be achieved by training, professional activities, or education. Below is sample guidance for determining the number of CLPs that may be granted for each activity. a. Training: I. Continuous Awareness Training. Periodically, agencies conduct briefing sessions to acquaint the workforce with new or changed policy. Generally, no testing or assessment of knowledge gained is required. II. Completing Learning Modules and Training Courses. These may be formal or informal offerings from a recognized training organization, including in-house training courses/sessions, which may include some 17

18 form of testing/assessment for knowledge gained (example: Distance Learning classes). III. Performing Self-Directed Study. An individual can keep current or enhance his or her capabilities through a self-directed study program agreed to by the supervisor (can include Distance Learning that is selfdirected in nature) IV. Teaching. Employees are encouraged to share their knowledge and insights with others through the teaching of courses or learning modules in a workshop, training, or forum environment. V. Mentoring. COTR s may achieve CLPs for offering learning experiences and shadowing opportunities that will contribute to the professional development of employees within various Program Offices. Mentoring has proven to be beneficial for both employees and management officials. b. Professional Activities: I. Participating in Professional Organization Management. Membership alone in a professional organization should not be considered as fulfilling continuous learning requirements, but participation in the organization leadership might. This includes holding elected/appointed positions, committee leadership roles, or running an activity for an organization that one is permitted to join under current ethics law and regulation. An example might be membership in the National Contract Management Association (NCMA) II. Attending/Speaking/Presenting at Professional Seminars/ Symposia/Conferences. Employees may receive points for attending job-related professional seminars or conferences. Because significant effort is involved in preparing and delivering presentations, supervisors should make recommendations to the HCA or designee that will give employees credit for the time invested in the preparation and presentation (See Appendix 2 and Part C of Appendix 1). III. Publishing. Writing articles related to acquisition for publication generally meets the criteria for continuous learning. Points will be awarded by the employee s supervisor only in the year published. Compliance with ethics regulations and agency public policy is required. IV. Participating in Workshops. CLP Points should be awarded by the employee s supervisor for workshops with planned learning outcomes which are routinely provided by many commercial training vendors. 18

19 c. Other Formal Education: I. Formal Training. Supervisors should use Continuous Education Units (CEUs) as a guide for assigning points for formal training programs that award CEUs. The CEUs can be converted to points at 10 CLPs per CEU. II. Formal Academic Programs. For formal academic programs offered by educational institutions, each semester hour is equal to 1 CEU. A 3-semester-hour course would be worth 3 CEUs and 30 CLPs, assuming that it is applicable to the COR s job responsibilities. CHAPTER 3 FAC-COR CERTIFICATION MANAGEMENT A. ACQUISITION TRAINING MANAGEMENT REQUIREMENTS 1. FAI s Acquisition Career Management Information System (ACMIS) was the central acquisition workforce information system for all civilian agencies and supported the FAC-COR program. It has now be replaced with the Federal Acquisition Institute Training Application System (FAITAS) or an agency system that feeds into FAITAS, but is the responsibility of all CORs to enter their pertinent training and certification information in training database. 2. All CORs should maintain their own backup copy of training for what is entered into the system. B. PERFORMANCE ACCOUNTABILITY Sound contract management depends on the effective execution of COR responsibilities. CORs protect the Department s interests by ensuring that: the government receives services and items that meet contract requirements for quality and quantity, contractor performance is timely, and payments to contractors are appropriate. At least one critical element in his/her performance standard should be specific to contract management or the COR duties described in the Contracting Officer s memorandum of appointment. C. FAC-COR APPLICATION PROCESS An individual who meets the requirements for certification should request certification by completing an Application for FAC-COR Certification form. This application is used both for initial certification and for recertification. Training certificates and/or documentation of CLPs achieved from training, professional activities, and/or education must accompany the application. Step 1. Complete A FAC-COR application. 19

20 Step 2. Step 3. Step 4. Attach all training certificates, transcripts, resumes, or other records that provide evidence of how the competencies and training requirements (or, for recertification, CLPs) were attained. Submit application package to immediate supervisor for first level approval. The immediate supervisor must review and validate each application for certification prior to submission to the HCA or designee. The supervisor should take this opportunity to assess the skills and competencies of the employee and develop a plan for enhancing or adding to the employee s competencies, if appropriate. Within 15 business days, the HCA or designee will review the completed application and either grant or reject the applicant s certification. If certification is granted, the HCA or designee will issue a certificate indicating achievement of HHS COR standards. D. DOCUMENTING AND TRACKING CONTINUOUS LEARNING POINTS 1. To document completion of CLPs, each COR must: a. Record CLP activities in FAI s successor system (FAITAS) ; b. Retain a copy of a completion certificate or other official documentation of having earned CLPs for a given activity; and c. Submit a recertification application to the HCA or designee at least 30 days prior to expiration. 2. HCA s or designees will use FAI s s (FAITAS) to identify FAC-COR certification expiration dates. E. PROGRAM ASSISTANCE The FAC-COR Program Manager serves as the overall Departmental coordinator for FAC-COR. CORs should contact their HCA or designee for guidance on program requirements, the application process, and available training. The HCA or designee should provide advice on alternative training and continuous learning activities. 20