ACQUISITION GUIDEBOOK FOR CONTRACTING OFFICER’S ...

1 1 UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, 20555-0001 ACQUISITION GUIDEBOOK FOR CONTRACTING officer S REPRESENTATIVES Changing the World One Contract at a Time April 2011 [Revised June 26, 2013] Division of Contracts 2 TABLE OF CONTENTS I. FORWARD ..6 II. OVERVIEW ..7 III. CONTRACTING officer S representative CERTIFICATION REQUIREMENTS ..10 IV. CONTRACTING officer S representative ROLES.

2 12 V. CONTRACTING officer S representative DUTIES ..23 VI. REQUISITION PACKAGE ..27 A. MARKET RESEARCH ..29 B. STATEMENT OF WORK (SOW) ..34 C. REQUISITION ..40 D. INDEPENDENT GOVERNMENT COST ESTIMATE (IGCE) ..42 E. EVALUATION FACTORS ..58 F. CONTRACTOR SECURITY ACCESS ..60 G. CONTRACT FUNDING.

3 61 VII. PERFORMANCE-BASED ACQUISITION (PBA) ..63 A. PERFORMANCE WORK STATEMENT (PWS) ..65 B. WORK BREAKDOWN STRUCTURE (WBS) ..72 C. QUALITY ASSURANCE SURVEILLANCE PLAN (QASP) ..76 VIII. TECHNICAL EVALUATION PROCESS ..79 IX. CONTRACT TYPES ..82 X. CONTRACT LINE ITEM NUMBERS (CLIN) ..84 3 TABLE OF CONTENTS - Cont XI. POST-AWARD KICKOFF MEETINGS ..88 XII. SUBCONTRACTING CONSENT ..94 XIII. MONITORING CONTRACTOR PERFORMANCE ..96 XIV. GOVERNMENT FURNISHED AND CONTRACTOR ACQUIRED PROPERTY.

4 104 XV. INSPECTION AND ACCEPTANCE ..109 XVI. INVOICE REVIEW AND APPROVAL PROCESS ..118 XVII. CONTRACT MODIFICATIONS ..151 XVIII. EXERCISE OPTIONS ..157 XIX. EXCUSABLE DELAYS ..160 XX. CONTRACTOR CLAIMS ..164 XXI. UNSATISFACTORY PERFORMANCE ..169 XXII. REMEDIES FOR NONCONFORMING WORK ..173 XXIII. STOP WORK ORDER ..178 XXIV.

5 TERMINATION ..182 XXV. DOCUMENT CONTRACTOR PERFORMANCE ..185 XXVI. CLOSEOUT PROCEDURES ..194 4 TABLE OF CONTENTS - Cont ATTACHMENTS A. DEFINITIONS ..196 B. TEMPLATES, CHECKLIST AND FORMS ..206 5 **Intentionally blank** 6 SECTION I. FORWARD The role of CONTRACTING officer s Representatives (CORs) at the NRC is an extremely important one, requiring a rare combination of a high level of technical expertise, a capacity for defining a program vision and requirements, and the ability to provide operational and fiduciary oversight.

6 CONTRACTING Officers and Contract Specialists rely heavily on your valuable expertise, unique skills, and knowledge of programs and the marketplace. This GUIDEBOOK contains information intended to assist you in performing your duties and responsibilities, including serving on evaluation panels, developing Requests for Procurement Actions, meeting COR certification requirements, and working with CONTRACTING Officers to support a variety of contract administration functions. The topics included in this GUIDEBOOK are not intended to be all-inclusive; rather they cover selected topics considered to be essential to the role of a COR at the Nuclear Regulatory Commission (NRC) nor should they be viewed as mandatory requirements; instead they should be viewed as guidelines that I hope are useful as you perform your role as a COR.

7 On behalf of the Division of Contracts, I wish to thank you for your continued dedication and cooperation throughout the ACQUISITION process as we work together to support the Agency s mission. It is a wonderful example of how teamwork and partnership among offices can result in winning solutions and successful outcomes. 7 SECTION II. OVERVIEW The Nuclear Regulatory Commission (NRC) spends millions of dollars each year on the procurement of goods and services. With reduced budgets and limited resources across the Government, it is vital that the Agency receive maximum return on its contract investment dollars. CONTRACTING officer s Representatives (COR) play a critical role during all phases of the ACQUISITION life cycle, and their efforts significantly affect the outcome of the process, including the quality and usefulness of deliverables and results attained.

8 The COR s role is essential in achieving successful outcomes in its projects and programs, and meeting the NRC s mission. The COR s role in identifying and designing NRC requirements, evaluating contractor proposals, and monitoring and evaluating contractor performance is essential to the success of the Agency. CORs serve as the "eyes and ears" of the CONTRACTING officer by monitoring contractor performance, providing technical direction, and mitigating and resolving performance issues, in conjunction and collaboration with the Division of Contracts (DC). The roles and responsibilities of the COR vary greatly based on the complexity, magnitude, and nature of the work. A comprehensive listing of COR duties is provided below and divided into three major categories: Planning and initiation phase Performance phase Work completion and closeout phase The NRC depends increasingly on contracts and other vehicles to perform critical Agency functions.

9 Competent and consistent contract management oversight and involvement is critical to ensuring NRC receives the goods and services that it needs to operate effectively and efficiently, and that business relationships between NRC and its contractors are positive and mutually beneficial. No one person has all of the necessary skills and experience for successful contract management. Rather, it requires a comprehensive and integrated team approach, with each member having specialized expertise and responsibilities. Without a doubt, the COR is a key and central part of the team. 8 Some CORs at the NRC are provided delegated authority to act on behalf of CONTRACTING Officers, with major responsibilities that include: Assisting the contractor in interpreting technical requirements ( , technical direction).

10 Assisting the CONTRACTING officer with contract administration activities. Monitoring and evaluating contractor performance. Monitoring and reviewing contractor compliance with federal laws, regulations and statutes, and the contract s terms and conditions. Inspecting and accepting contract deliverables. Reviewing and approving contractor invoices. Recommending changes in contract terms and conditions to the CONTRACTING officer . Recommending corrective actions. Documenting and reporting contractor performance. As NRC reduces its reliance on high risk contracts (defined by OMB as cost-reimbursement, Time and Material and Labor-Hour contracts), the Agency intends to make greater use of fixed-price contracts and emphasize performance-based CONTRACTING methods.