Attachment 4 - TO COR Appt Letter.docx

U.S. Department of Homeland Security United States Coast Guard

MEMORANDUM

Date:

From: Contracting Officer

To:

Subj: CONTRACTING OFFICER’S REPRESENTATIVE (COR) APPOINTMENT UNDER CONTRACT HSCG32[ ], and if applicable TASK ORDER HSCG32[ ] WITH [ ]

Ref: Homeland Security Acquisition Manual (HSAM) Chapter 3042.70

1. You are hereby appointed as a Contracting Officer’s Representative (COR), Level II, under the subject contract action. Your primary duty as a COR is to monitor the Contractor’s performance to ensure that all of the technical requirements under the contract action are met by the delivery date or within the period of performance, and at the cost/price or within the estimated cost stipulated in the contract action.

2. In the performance of the duties delegated to you in this letter, you are cautioned that you could be held personally liable for actions taken or directions given by you to the Contractor that are beyond the authorities given to you in this letter. The duties or authorities in this letter are not delegable; therefore, you must advise the Contracting Officer immediately when you are unable to perform these duties.

3. Department of Homeland Security Management Directive Number 0780.1, Contracting Officer’s Representative (COR) Certification, Appointment and Responsibilities, outlines your role and responsibilities as they relate to the contract you will be monitoring. This document can be viewed at http://dhsconnect.dhs.gov/policies/Instructions/0780.1%20Contracting%20Officer's%20Technical%20Representative%20(COR)%20Certification,%20Appointment%20and%20Responsibilities.pdf

4. Your duties and limitations, applicable to the contract action you will be monitoring, are as follows:

a) MONITORING PERFORMANCE.

Ensure that the Contractor complies with all of the requirements of the statement of work, specifications, or performance work statement, and when requested by the Contractor, provide technical direction to the Contractor’s technical manager. This technical assistance must be within the scope of the contract action (e.g., interpreting specifications, statement of work, performance work statement, etc.). When a difference of opinion between you and the Contractor occurs, notify the Contracting Officer immediately for resolution.

Ensure that the personnel being used by the Contractor are of the same caliber that was originally proposed by the Contractor to the Government. The experienced personnel contracted for and/or approved by the Government should not be diluted by the use of personnel with less experience. Any decrease in or lack of performance shall be brought to the attention of the Contracting Officer.

b) MONITORING COSTS/REVIEWING INVOICES.

Review and evaluate the Contractor’s progress in relation to the expenditures. When the costs expended by the Contractor are not commensurate with the Contractor’s progress, bring this to the attention of the Contracting Officer for immediate action.

Review the Contractor’s invoices/vouchers for reasonableness and applicability to the contract action and recommend to the Contracting Officer, approval, conditional approval, or disapproval for payment. The review must be completed within six calendar days after receipt of the invoice or voucher. If you cannot meet the required review time, advise the Contracting Officer so that action can be taken to ensure Government compliance with the Prompt Payment Act thereby avoiding the payment of interest penalties to the Contractor.

Review and approve contractor travel requests. The COR is responsible for tracking, reviewing, and approving all reimbursable travel in advance of each travel event, and ensuring that all reimbursable travel costs are in accordance with the Federal Travel Regulations. At no times, shall the COR approve travel beyond the funded travel ceiling stipulated in the contractual document without seeking prior approval from the Contracting Officer.

c) CHANGES TO THE CONTRACT/TASK ORDER.

You cannot authorize the Contractor to stop work, and you are not authorized to delete, change, waive, or negotiate any of the technical requirements or other terms and conditions of the contract action. Should a change (monetary or otherwise) to the contract action become necessary, it must be made by a contract action modification issued by the Contracting Officer. When in doubt, contact the Contracting Officer.

Any contract action change requested by the Contractor must be put in writing by the Contractor to the Contracting Officer for action; however, you should immediately advise the Contracting Officer of the proposed change since it may affect the contract action price, cost, or delivery/performance schedule. When the Contracting Officer receives the proposed change, you will be required to provide the Contracting Officer with written analysis and rationale for the change and to evaluate any costs associated with the change.

You must also recognize and report to the Contracting Officer, any Government required changes to the contract action (e.g., items or work no longer required, changes in the specifications, etc.).

d) VISITS AND MEETINGS WITH THE CONTRACTOR.

When appropriate, make arrangements with the Contractor for periodic visits to the Contractor’s facility and/or place of performance to: (1) evaluate the Contractor’s performance; (2) evaluate changes in the technical performance affecting personnel, the schedule, deliverables, and price or costs; (3) inspect and monitor the use of Government property, if applicable; and (4) ensure that Contractor employees being charged to the contract action are actually performing the work under the contract action. A trip report fully documenting all activities during the visit must be written and a copy provided to the Contracting Officer within three working days after the visit.

Document the file to record each meeting and telephone conversation with the Contractor. A daily logbook is recommended which should reflect the date, time, name and title of individual(s) involved, the subject matter, and the details of the meeting or conversation.

e) INSPECTION OF DELIVERABLES.

When notified by the Contractor or the Contracting Officer, perform, in accordance with the terms of the contract action, inspection, acceptance or rejection of the supplies and/or services. Immediately notify the Contracting Officer of all rejections and the reasons for the action.

Review progress reports from the Contractor and advise the Contracting Officer of any contractual problems or action required to be taken by the Government.

f) CONTRACT ACTION FILE CONTENT AND MAINTENANCE.

Establish and maintain an organized contract action administration file to record all Contractor and Government actions pertaining to the contract action. The COR’s file is of particular importance since the documentation of your interaction with the Contractor may be used in the event of litigation. In addition, an organized file facilitates an easy transition from one COR to another if reassignment becomes necessary. The file(s) should be organized as follows:

i) Section 1 - The contract instrument (i.e., contract, task order, modifications, and the Contractor’s proposals applicable to these documents).

ii) Section 2 - The COR’s delegation letter and all correspondence between the Contractor and the Contracting Officer, filed in chronological order.

iii) Section 3 - A copy of the Contractor’s invoices/vouchers and any correspondence pertaining to payments.

iv) Section 4 - The COR’s trip reports and written memoranda to the file on telephone conversations or other meeting with the Contractor.

v) Section 5 - A copy of the Contractor’s progress reports and other contract action deliverables, and all correspondence pertaining to these documents.

vi) Section 6 - Electronic files: A copy of all electronic files received from or sent to anyone pertaining to this contract action. It is suggested that such files be maintained in an electronic folder identified with the contract action number. Upon completion of the contract action, these files shall be downloaded onto a CD. The CD shall be labeled with the contract action number and should identify the software programs (with version number if necessary) needed to open the files.

These files must be complete and accurate and all documentation/deliverables must be clearly marked. Each section should be separately tabbed and labeled. Individual Task Orders (TOs) shall be filed separately (i.e., do not include deliverables from several different TOs mixed together with a label identifying all or several of your TOs).

Your files must be maintained for a period of six years and three months after completion of the basic contract. As COR, you are responsible for maintaining all files as identified above. Certain files are only maintained by the COR; therefore, it is important that you maintain accurate and complete files.

Due to the sensitivity of the file documentation every effort shall be made to keep your files in a secured location.

If after completion of the contract action you are transferred to another position or no longer need these files, you must forward the documents from your COR files to the Contracting Officer so he/she can archive the files for the required time frame.

g) EVALUATION OF PERFORMANCE.

Within 30 days after the Contractor has met all terms and conditions of this contract action, you must evaluate the Contractor's performance in accordance with local procedures. You will receive specific guidance for Contractor performance evaluation at the end of the period of performance of this contract action. If necessary, the disincentives (if applicable) in the contract will be assessed for failure to meet the requirements in the contract. As COR you should be familiar with these disincentives (if applicable).

h) CONTRACTOR VERIFICATION SYSTEM (CVS).

In accordance with COMDTINST M5520.12C, Ch-1 dated 18 March 2010, the Coast Guard is responsible for conducting background investigations and fingerprint checks for Contractor employees prior to their receipt of a Common Access Card (CAC). Contractor employees requiring access to Coast Guard information systems must also have their identity verified through CVS to receive a CAC. To ensure compliance with COMDTINST M5520.12C, Ch-1 dated 18 March 2010, you are required to follow local procedures using the latest version of the “RDC NEW EMPLOYEE FORM” found at: http://rdcms-spvm/ITServices/default.aspx

i) CHANGE OF POSITION STATUS.

If at any time during the performance of this contract action your position changes and you are no longer able to perform the COR duties as assigned, you must notify the Contracting Officer and Coordinating COR (CCOR) immediately. The Contracting Officer along with the CCOR and the existing COR will work together to determine a qualified replacement. Your supervisor must provide written approval of the COR replacement.

j) STANDARDS OF CONDUCT AND CONFLICT OF INTEREST.

The Federal Acquisition Regulation (FAR) 48 CFR Part 3, Homeland Security Acquisition Regulation (HSAR) 48 CFR Part 3003 and Homeland Security Acquisition Manual (HSAM) Chapter 3003, Improper Business Practices and Personal Conflicts of Interest, provide guidance to avoid improper business practices and personal conflicts of interest and how to deal with their apparent or actual occurrences. These documents may be found at the following websites: FAR at http://www.arnet.gov/far/ and HSAR and HSAM at http://www.dhs.gov/xopnbiz/regulations/. Please read these documents very carefully and contact the Contracting Officer should you require further information or clarification on this subject matter.

k) CERTIFICATION AND TRAINING REQUIREMENTS.

DHS COR CERTIFICATE. Prior to issuance of this appointment letter, a copy of your certificate was incorporated into the official contract action file.

CURRENCY TRAINING. In order to retain your COR authority, go to the following link to determine what the current training requirements are: http://hqsms-spweb-001:113/1/3/COTR/CCS2/default.aspx.

Change of COR Status: If you fail to complete your required currency training, the status of your COR authority is automatically changed to ‘Suspended’ by CG-913. If this occurs, you cannot be a COR until you complete the required currency training. When your COR authority is suspended, you will immediately notify the KO, CCOR and your supervisor of your status change. Your supervisor is then required to locate a replacement and promptly notify the KO in writing.

5. ACKNOWLEDGEMENT OF COR DUTIES

Please acknowledge receipt and acceptance of this appointment by “FORWARDING” the e-mail message that was sent to you containing the COR Appointment Letter back to the Contracting Officer with your acceptance. To do this, you should open the e-mail message containing the COR Appointment Letter and select the “FORWARD” function of Microsoft Outlook. Then paste the following wording into your “Forwarding” e-mail message to acknowledge your understanding and acceptance of the COR responsibilities.

To: Contracting Officer From: Contracting Officer’s Representative

Subj: CONTRACTING OFFICER’S REPRESENTATIVE (COR)

I understand and accept my assignment as a COR under the subject contract action as outlined in the attached COR Appointment Letter.

Send the “Forwarded” e-mail containing your acceptance back to the Contracting Officer who sent you the appointment letter.

Please retain a copy of the COR Appointment Letter in your files for reference purposes. Your appointment as COR under the above contract action is terminated upon receipt of a written notice of termination from the Contracting Officer, the Contracting Officer’s successor, or a higher level of authority. Please direct any questions you may have on this delegation to the Contracting Officer.

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