Appendix A
Part 404, Chapter 11
June 16, 1995
INSTRUCTIONS TO CONTRACTING OFFICER'S REPRESENTATIVE
When performing your duties under this appointment, you must constantly be aware of the need to protect the Government's interests. Maintain an impartial, arms-length relationship with the contractor. Avoid any action that places you in a real or apparent conflict-of-interest position, that may compromise Geological Survey's position or impair public confidence in the Survey's integrity or independence.
1. Preparation
You are the official Government representative for technical matters under this contract. To prepare for these duties we recommend the following actions be taken:
a. Read and make sure you understand the terms of the contract. Discuss any unclear areas with the Contracting Officer. In particular, make sure you understand the administrative procedures required for initiating actions under the contract, such as issuance of delivery orders or exercise of contract options, including your responsibilities for initiating additional requisitions.
b. Create and maintain a file to document your actions as COR under this contract. The file should include:
your copy of the contract, memorandum of appointment, and these instructions;
copies of any relevant correspondence;
record of any telephone conversations or other communications with the contractor; and
other records of the contractor's performance, such as reports of in-process inspections, visits to the contractor's facility and service reports. These items will vary depending on the nature of the contract.
c. Review the contract's schedule for deliveries, completion dates, option/renewal dates, and any other report or data submission dates, and establish a log or tracking system to make sure you will be prepared and available for upcoming actions.
d. If the contract is expected to result in scientific publications, there may be a conflict of interest if the COR who evaluates contractor funding and payment requests is also to be listed as a co-author on any resultant publications. If applicable, discuss any potential conflicts with the Personnel Officer to insure no standard of conduct violation will occur.
2. General and Administrative Information
a. Know the scope and limitations of your authority (stated in contract clause G1102) and use reasonable care in exercising your authority.
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b. Safeguard the contractor's confidential business and technical information. Confidential information may include proposal pricing, technical documentation, or personnel data. Do not release any information without first consulting the Contracting Officer to determine if such release of information is permissible.
c. Notify the Contracting Officer immediately of any matter related to this contract that may need his or her action.
d. Furnish the Contracting Officer copies of all pertinent trip reports, conference reports, and copies of all correspondence.
e. Certify that the contract has been satisfactorily completed and all deliverable items have been received and accepted.
f. After the contract is completed, you may be required to write an evaluation of the contractor's technical performance. If a specific form is required, it will be provided by the Contracting Officer.
g. Notify the Contracting Officer whenever you become aware of events or changes, whether permanent or temporary, that will impair your ability to perform any of your duties as COR.
h. When necessary due to distance or geographic dispersion of sites, you may designate other employee(s) to perform inspections or monitor stated aspects of performance. These individuals may act as your "eyes and ears" at the worksite, but may not be delegated your authority to make decisions or to represent the Government in technical communications with the contractor. You should instruct any such employees to immediately refer to you any potentially controversial matters they encounter with the contractor.
3. Technical Liaison, Monitoring and Inspection
a. Interpret Government drawings and specifications for the Contracting Officer and, upon specific written authorization from the Contracting Officer, provide that information to the contractor.
b. Review contractor requests for travel, overtime, equipment, or subcontracting not approved by the Contracting Officer before award. Analyze the contractor's technical and management reports.
c. Provide the Contracting Officer with technical recommendations on Government or contractor-proposed changes, including assessments of their specific impact on the contract and its cost or price. Upon request of the Contracting Officer, assist in negotiating post-contract claims and termination adjustments.
d. Observe the contractor at work to determine if performance complies with the contract. This includes observation of the work system, methods and execution.
e. Immediately bring to the contractor's attention any potentially hazardous working conditions. The contractor is always required to comply with federal Occupational Safety and Health Administration (OSHA) guidelines, as well as any state or local requirements for workplace safety, even on a federal facility.
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f. Immediately alert the Contracting Officer to any possible contractor inadequacies, discrepancies, or questionable practices so that corrections can be made before the problems become significant. Advise the Contracting Officer of the following situations:
possible changes in contractor management or key personnel;
potential labor disputes or workforce problems;
disagreements with contractor as to specification/SOW requirements or other potential disputes with the contractor, technical or otherwise;
lack of progress that may jeopardize the performance/delivery schedule;
hazardous working conditions, including contractor's planned corrective action.
g. If a potential dispute or delinquency arises, your communications with the contractor must be limited to fact-finding and obtaining recommendations from the contractor on efforts he proposes to achieve compliance with the specifications. Avoid any discussions with the contractor concerning disputed matters, to prevent later charges that you agreed to or directed any changes in the contract terms.
h. Do not agree to any revised delivery or completion date or start date for services. Also, be careful not to make any statements the contractor could arguably infer as an authorized extension, such as indicating that you do not really need the item by the specified date. If you "informally" waive or extend the original date and the contractor's performance becomes even more delinquent, it may be impossible for the U.S. Geological Survey (USGS) to enforce contract terms or use the contract's remedies.
i. If the Government will be billed based on hours worked, monitor the contractor hours expended (including overtime) and determine whether the qualifications of workers performing under the contract are commensurate with the qualification requirements stated in the contract.
4. Inspection and Acceptance
a. Inspect all deliverable items, services, or materials to determine satisfactory compliance with the contract. Accept, or recommend to the Contracting Officer rejection of, contract deliverables.
b. For off-the-shelf commercial items, inspection is usually limited to verification of:
type and kind (Is this the item we ordered - correct size, color, model or part number, if specified in the contract?)
the quantity delivered
any visible damage (including damage to packing materials for items subject to internal damage from rough handling)
operability (Is it in working order?)
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c. For services not involving deliverable end items, services are generally monitored and accepted upon completion of work or at the end of the month.
d. You are usually entitled to 7 days to inspect deliverable item(s). If your item requires a detailed inspection of acceptance testing, the contract probably provides a longer period. A clause in Section E of your contract shows if a longer acceptance period is planned. Make sure you act promptly to perform your inspections or acceptance testing within the allotted time. If you have doubts about the item's compliance with the specification, do not accept it just because the acceptance period is running out. Be advised, however, that delays in inspection may result in payment of interest penalties to the contractor once the items are finally accepted.
e. Acceptance Test Procedures: If you provided or requested special acceptance testing procedures during the solicitation phase of the procurement, they will be found either in Section C or E (or perhaps in an attachment referenced there). Be sure you precisely follow the version of those procedures found in the contract award document, not a previous or subsequently revised version. If you find the acceptance test procedures need to be revised, ask the Contracting Officer to modify the contract to incorporate the changes.
f. Performance [Test] Period: Highly complex items (such as ADP) typically are required to perform successfully in the Government's working environment for a specified period (usually 30 days) before the Government accepts the item. If the contract contains such a requirement, it will be found in either Section C or E. Language there will include acceptable downtime percentages or mean time between failure standards, or other factors to be used to determine when the equipment has satisfied the performance [test] period requirements.
g. If the delivered items (equipment, photography, report, etc.) do not meet the contract's inspection or acceptance requirements, immediately inform the Contracting Officer of this fact.
5. Invoices and Payment
Review and approve contractor invoices for payment. If this contract is subject to the Prompt Payment Act, the Government must pay interest penalties if invoices are not paid on time. Interest penalties will be paid out of your program funds.
NOTE: CONTRACT PAYMENT PROCEDURES ARE NOT THE SAME AS YOU MAY HAVE PREVIOUSLY USED FOR SMALL PURCHASE ACTIONS. PLEASE FOLLOW CAREFULLY THE INSTRUCTIONS GIVEN BY YOUR CONTRACTING OFFICER REGARDING HANDLING OF INVOICES.
a. Partial/Final Payments
Immediately upon acceptance of item(s)/services, certify the invoice. Record on the invoice (1) the date goods were received (or services completed), and (2) the date accepted.
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If the contract (clause G1110) If the contract (clause G1110)
instructs the contractor to send the instructs the contractor to send
invoice to the COR: invoices to the Contracting Officer:
Immediately record on the invoice the The Contracting Officer will date
date it was received. stamp the invoice to record the invoice
receipt date and forward the invoice to
Forward the original invoice to the you with instructions on where to send
Office of Financial Management (OFM). the invoice when you have certified it.
Keep a copy for your records and
provide a copy to the Contracting
Officer for the contract file.
All these dates are necessary in order for OFM to compute the correct payment due date. Payment is due 30 days from the "constructive" acceptance date (7 days after receipt of goods, unless the contractor provides longer) or the actual acceptance date, whichever occurs first. If the invoice is not received until after acceptance, payment is due 30 days after receipt of the invoice. If the invoice receipt date is not recorded, the invoice issue date is used to compute the payment due date.
b. Progress Payments
If progress payments are allowed under this contract, you are responsible for reviewing the invoice to determine if the work is progressing under the contract in accordance with the schedule. If you have any suspicion that the contract work is falling behind schedule or that the billings are running ahead of the work you must notify the Contracting Officer immediately. After you review and approve a progress voucher, the Contracting Officer must also review it and certify it for payment.
c. Interim Cost Vouchers
If this is a cost contract, the contractor is entitled to be reimbursed periodically for all reasonable costs incurred in performing the contract. You should review such vouchers to make sure charges are commensurate with observed performance. It is your responsibility to question or accept direct charges such as labor, materials, travel, etc. Alert the Contracting Officer if the billing includes material or equipment charges for items which have not been delivered to the work site. The Contracting Officer is responsible for verifying correctness of indirect rates, fringe benefits and fee, if any. After you approve the voucher, return it to the Contracting Officer, who will also approve and forward the voucher to OFM.
6. Government Furnished Material, Equipment, Facilities (GFM)
a. You are not authorized to provide any Government-owned (or leased) equipment or supplies or use of Government space to the contractor, other than those specifically listed in the contract.
b. If a need arises to provide Government-furnished material or facilities (other than any items already listed in the contract), promptly advise the Contracting Officer so that the contract can be modified to reflect this change in GFM and so any appropriate adjustments to the contract can be negotiated with the contractor.
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c. If the contract provides (or is modified to provide) for the Government to furnish facilities, supplies or equipment for performance of work under the contract, it is your responsibility to insure that such items are provided at the times and places stated in the contract, in satisfactory condition. You should keep a record of the date the items were provided and obtain a receipt acknowledgement from the vendor. This document serves to protect both the Government (in event of a dispute with the contractor) and the USGS custodial and accountable property officers (in event the property is lost or damaged in the contractor's possession).
d. Items of controlled property must never be furnished to a contractor without the knowledge and consent of both the accountable and custodial property officers and without the item being listed in the contract. U.S. Geological Survey property management procedures hold employees who improperly transfer controlled property liable for any loss or damage to such property. See the Property Management Handbook for procedures regarding designation of property officers and requirements for maintenance of property records.
e. During performance of the contract, it is your responsibility to monitor the contractor's use and care of any Government-furnished equipment or materials. If you believe the contractor is using the item for unauthorized purposes or is not providing adequate maintenance or security for the property, you are authorized to bring your concerns to the contractor's attention. If the contractor does not agree to remedy the problem, or indicates that your requested action will delay or increase the cost of performance, refer the matter to the Contracting Officer.
f. If an item of controlled property is reported lost, stolen, or damaged by the contractor, or becomes worn out through normal wear and tear, you must make sure the action is reported to the Contracting Officer. You are also required to submit appropriate property report forms in accordance with established bureau property management procedures.
g. When work is completed, it is your responsibility to arrange for return of any residual GFM (including all items of controlled property). After its return, inspect the GFM and report any deficiencies to the Contracting Officer. Make sure controlled property records are updated to reflect any additions, deletions, or changes to controlled property items and/or designated property officers.