**Department of Transportation (DOT)**

**Research and Special Programs Administration (RSPA)**

**Volpe National Transportation Systems Center (Volpe Center)**

**Acquisition Management Division (DTS-85)**

**ACQUISITION MANAGEMENT DIVISION INTERNAL**

**PROCEDURES (ADIP)**

**[NUMBER:]{.underline} ADIP/85-8**

**[TITLE]{.underline}: PROCEDURES FOR CERTIFYING, SELECTING,**

AND APPOINTING CONTRACTING OFFICERS AT THE RSPA/VOLPE NATIONAL
TRANSPORTATION SYSTEMS CENTER

**[ISSUED:]{.underline}** **December 21, 2001**

**[CROSS REFERENCES]{.underline}:** **FAR Subpart 1.6, TAR 1201.603-1
and TAM 1201.603-2.**

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**[PURPOSE]{.underline}:** This ADIP sets forth the policy/procedures
for the selection, appointment, and termination of appointments of
Contracting Officers (CO) at the Volpe Center. It also establishes a
program and provides instructions for the 1102 Contracting Series
Certification process.

**[BACKGROUND]{.underline}:** Executive Order 12352 required agencies to
establish and maintain a procurement career management program, and a
system for the selection, appointment, and termination of appointment of
CO's. A competency-based curriculum for CO's was developed based on the
criteria outlined in Office of Procurement Policy (OFPP) Policy Letter
92-33. The procedures in this ADIP update those previously issued under
ADIP 85-5, dated 9/29/00, to include Attachment (2). It reflects the
latest applicable regulatory requirements issued in OFPP Policy Letter
97-01, as implemented in the August 3, 1998 Department of Transportation
publication: *Acquisition Career Development Policy for* *Contracting
Professionals*. Attachment (2) of this ADIP addresses this career
management program in greater detail.

**[OTHER]{.underline}:**

\(1\) In accordance with Volpe Center Order 1100.1A Chg 62 dated
9/11/95, the authority to select, appoint, and terminate Contracting
Officers rests with the Chief of the Contracting Office (COCO).

\(2\) Policies related to the selection process are available
electronically at the following site: DOT's Acquisition and Grant
Management Workforce HomePage: <http://www.dot.gov/ost/m60/workforce/>

\(3\) Nominations should be submitted using the template entitled
*Qualifications Statement for* *Appointment of Contracting Officers*.
This is located at the Acquisition Management Division's Intranet
website (ADNet) in the Samples and Template area.

**[ATTACHMENT(S)]{.underline}:**

(1) *INSTRUCTIONS RELATED TO THE SELECTION AND APPOINTMENT OF
    CONTRACTING OFFICERS AT THE VOLPE NATIONAL TRANSPORTATION SYSTEMS
    CENTER*

(2) *INSTRUCTIONS RELATED TO THE CERTIFICATION PROCESS FOR CONTRACTING
    PROFESSIONALS*

> **ADIP No. 85-8**
>
> **ATTACHMENT (1)**
>
> **Page 1 of 2**

## 

## **[PROCEDURES FOR THE SELECTION AND APPOINTMENT OF CONTRACTING OFFICERS AT THE RSPA/VOLPE NATIONAL TRANSPORTATION SYSTEMS CENTER]{.underline}**

*Using the guidance provided in this ADIP, Volpe Center personnel shall
be appointed as Contracting Officers (CO's) by the Chief, Acquisition
Management Division, with the concurrence of the Director, Office of
Management Services. These procedures apply to anyone seeking the
authority for a Contracting Officer warrant, regardless of their job
series.*

I.  **[GENERAL REQUIREMENTS]{.underline}:**

    **(A)** The appointing official shall consider the following
    criteria prior to selecting CO's and issuing warrants:

    \(1\) There must be a demonstrated **[need]{.underline}** for the
    procurement authority requested.

    \(2\) The individual selected must meet the
    **[qualifications]{.underline}** for the authority requested.

    \(3\) Other factors, as noted below.

**(B**) [**Demonstrated need remains the most important criteria for
determining CO** **appointments**]{.underline}**.** Qualification of the
individual **[without]{.underline}** a demonstrated need for the
authority is [**not**]{.underline} sufficient means to grant a CO
warrant. Demonstrated need relates to the contracting operation's
ability to process its workload in a timely and efficient manner.
**Qualifications** of the individual relates to the individual's formal
training, education, relevant work experiences (i.e., On the Job
Training) and evidence of mature judgment. **Other factors** for
consideration by the appointing official may include: the Division's
organizational structure, the volume of their contractual actions, and
the complexity of work involved.

II. **[PROCEDURES]{.underline}:**

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(A) The warrant standards outlining the desired qualifications,
    knowledge, training and education for performing acquisition work
    are provided in *Chapters 1 - 3* of the *Acquisition Career
    Development Policy for Contracting Professionals.* It is the
    responsibility of the individual employee and his/her supervisor to
    plan how these qualifications will be acquired through work related
    assignments and/or education and training.

(B) The supervisor initiating the request for a warrant must submit the
    employee's Qualifications Statement to the Acquisition Management
    Division Chief for review, using the Template located on-line at
    ADNet's Samples and Templates site. Supervisors should review all
    policies available on DOT's Acquisition Workforce website, and use
    their management discretion when making the determination as to the
    dollar amount necessary for an individual warrant.

**III. [WARRANT THRESHOLDS]{.underline}:**

> The following Volpe Center CO warrant thresholds are based on generic
> guidance noted in Chapter 3 of the DOT policy. The CO function does
> not have to coincide with either a particular grade or career level,
> thereby allowing a certain amount of flexibility in the appointment
> process.

**ADIP No. 85-8**

> **ATTACHMENT (1)**

**Page 2 of 2**

***[Level]{.underline} [Warrant Value]{.underline} [Recommended
Grade]{.underline}***

**\***Level I (Entry) \$2,500 up to \$25,000 GS 5/7/9

Level I (a) up to \$100,000 GS 7/9

Level II (Intermediate) up to \$5,000,000 GS 11/12

Level III (Advanced) up to unlimited GS 13/14 and above

**\****may include Directorate delegated Buyers. Does not have to
coincide with a particular grade.*

At **Level I (a),** the recommended acquisition series grade level is GS
7/9. A Level I warrant can be issued for contract administration matters
such as incremental funding up to \$100,000.

At **Level II,** warrants **[may]{.underline}** be issued at a higher
dollar value than noted above. At this level, CO's may be given
contractual authority to issue task orders, incremental funding under
indefinite delivery orders, and other **contract administration
actions**. For example, higher levels have been granted for contractual
obligations under the Multiple Contractor Resource Base (OMNI)
contracts. **Level II** CO's **[may]{.underline}** also have a warrant
issued at a higher level for contractual obligations within a
specialized area, such as the Environmental Remediation Program.

**IV. [APPOINTMENT]{.underline}:**

(A) The Chief of the Contracting Office (COCO) shall appoint CO's in
    writing on a Certificate of Appointment, SF 1402. The certificate
    shall state any limitation on the scope of authority to be
    exercised. In all cases, the specific nature of the contractual
    authority above \$100,000 [must be duly noted on the SF
    1402,]{.underline} and the employee must meet the experience,
    training, and education requirements for the appropriate warrant
    level. After the COCO determines that the candidate has met the
    necessary qualifications, the Acquisition Management Division's
    secretary will prepare a warrant nomination package.

(B) The candidate's nomination package shall be forwarded to the
    Director, Office of Management

Services, DTS-80, for concurrent review and signature. Once this
concurrence is received, the

COCO will present the candidate with their warrant.

**V. [CANCELLATION]{.underline}:**

Appointments normally remain in effect until the appointee is
reassigned, terminated, or the need for the warrant no longer exists.
Cancellation of a CO appointment will be done by letter/memorandum from
the COCO. Upon notification of this cancellation, it is the
responsibility of the employee to return his/her warrant to the
Acquisition Management Division, DTS-85.

**ADIP No. 85-8**

**ATTACHMENT (2)**

######  Page 1 of 5

[INSTRUCTIONS RELATED TO THE CERTIFICATION PROCESS FOR CONTRACTING
PROFESSIONALS]{.underline}

*These procedures are for 1102 Contracting workforce employees seeking
certification as Contracting Professionals under the [Acquisition Career
Development Program]{.underline}. This program was developed to (1)
implement mandatory training and education requirements for employment
and promotion in the acquisition career field, and (2) to attract,
select, develop and retain a highly qualified workforce capable of
performing current and future DOT acquisition functions. The Contracting
Officers Warrant Program is an integral part of the Career Development
Program. However, all members of the Contracting workforce should seek
certification, regardless of whether they hold assignments as warranted
Contracting Officers. This guidance is broken into three sections:
Section I defines the roles and responsibilities of the individuals
involved, and Sections II and III provide step-by- step instructions for
the certification application and certification retention process.*

I.  **[ROLES AND RESPONSIBILITIES]{.underline}:**

**(i) DOT's Senior Procurement Executive (SPE) (M-60) is responsible
for:**

-   Establishing uniform acquisition workforce policies and procedures
    for the Department of Transportation (DOT).

-   Establishing mandatory training requirements for DOT's acquisition
    workforce.

-   Issuing changes to DOT policy as necessary.

-   Issuing any waivers, as appropriate, as a condition of hiring in
    accordance with Paragraph D of the Office of Personnel Management
    (OPM) qualification standard for the 1102 series (see Appendix B).
    <http://www.opm.gov/qualifications/sec-iv/b/gs1100/1102.htm>

**(ii) DOT's Head of the Contracting Activity (HCA) of the Research and
Special Programs Administration (RSPA) is responsible for:**

## Developing policies and procedures specific to RSPA.

-   Disseminating acquisition workforce information to its acquisition
    workforce members.

-   Issuing DOT Acquisition Training Certificates for Levels I, II,
    and III. Note: *DOT's certification approval can be re-delegated to
    a level no lower than the COCO.*

-   Establishing separate funding lines in the budget for education and
    training of the acquisition workforce.

-   Ensuring the fulfillment of the requirement for 80 hours of skills
    currency education every two years for every 1102 series
    (contracting) employee.

**(iii) Volpe Center's Acquisition Management Division (AMD) Chief (or
Chief of the Contracting Office, (COCO)) is responsible for:**

## Issuing Contracting Officer Warrants in accordance with Volpe Center internal policy.

-   Disseminating acquisition workforce information to Acquisition
    Management Division's employees.

-   Including training funds for mandatory CON courses as part of the
    Acquisition Management Division budget.

-   Overseeing implementation of the Certification process through first
    level supervisors.

> **ADIP No. 85-8**

**ATTACHMENT (2)**

**Page 2 of 5**

**(iv) Volpe's Acquisition Management Division's (AMD) Branch Chiefs
(DTS-852 and DTS-853) are responsible for:**

-   Assessing and approving achievement of the core competencies for
    1102 employees.

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-   Developing and updating a career development plan (Individual
    Development Plan, IDP) for their employees.

-   Ensuring discussion of an IDP with their employees, scheduling
    employees for training in accordance with the Division's
    prioritization policy, and approving data for input into CPMIS.

-   Ensuring every GS 1102 employee meets the 80-hour skill currency
    requirement.

-   Maintaining records of course competencies and associated data in
    employee's personnel files.

**(v) Volpe's AMD Workforce Point of Contact (Staff member reporting to
AMD Chief ) is responsible for:**

-   Coordinating training efforts for mandatory training with RSPA/HQ's
    POC.

-   Maintaining a tracking system of the mandatory training courses
    required for the Acquisition Management Division's contracting (1102
    series) employees.

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-   Assisting in the Acquisition Management Division's mandatory
    training budget planning process.

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-   Acting as liaison with the U.S. Coast Guard regarding training slots
    from the Defense Acquisition University, including tracking training
    quotas assigned to the Acquisition Management Division.

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-   Point of contact for Contracting Officer Warrant information/policy.

-   Acting as liaison with Volpe Center's Human Resources Management
    Division (HRMD), to ensure input of skills currency data into DOT's
    Consolidated Personnel Management Information System (CPMIS).

-   Generating a quarterly report showing current status of the latest
    training schedule, including planned quotas for the Fiscal Year, and
    courses needed and completed per individual.

**(vi) Volpe Center's Contract Specialists/Procurement Analysts are
responsible for:**

-   Working with their supervisors to develop and update their career
    development plan (such as an IDP or a list of courses taken). At a
    minimum, the individual's completion of mandatory courses and skills
    currency requirements should be documented.

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-   Reviewing their personnel file in HRMD regularly, to ensure that
    completion of education, training, and skills currency requirements
    are accurately reflected in CPMIS.

-   Notifying the Acquisition Workforce P.O.C. when they have completed
    their 80 hours skills currency requirement, and provide necessary
    documentation/proof.

**(vii) Volpe Center's Human Resources Management Division (HRMD) is
responsible for:**

-   Maintaining the CPMIS database, and ensures accurate data is entered
    in accordance with DOT's policy directives.

-   Provides a summary of the CPMIS data, when requested, to the COCO,
    DTS-85.

-   When requested, HRMD shall provide a current list of CPMIS data to
    an individual employee.

> **ADIP No. 85-8**

**ATTACHMENT (2)**

######  Page 3 of 5

II. **[INITIAL CERTIFICATION]{.underline}:**

**The employee shall follow the [INSTRUCTIONS]{.underline} noted
below.** All the Appendices referenced in the instructions can be found
in the DOT Acquisition Workforce Website:
<http://www.dot.gov/ost/m60/workforce>

**Background**: To become DOT certified, every contracting professional
must document completion of the appropriate Defense Acquisition
University (DAU) courses noted below. The following chart lists the
mandatory DAU courses required for specific grade levels:

+-----------------------------------+-----------------------------------+
| **Acquisition Grade Level**       | **Course Required for             |
|                                   | Certification**                   |
+-----------------------------------+-----------------------------------+
| Level I - GS 1102: 5 to 7         | CON 101-Fundamentals of           |
|                                   | Contracting                       |
+-----------------------------------+-----------------------------------+
|                                   | CON 104-Fundamentals of Contract  |
|                                   | Pricing                           |
+-----------------------------------+-----------------------------------+
| Level II - GS 1102: 9 to 12       | CON 202-Intermediate Contracting  |
+-----------------------------------+-----------------------------------+
|                                   | CON 204-Intermediate Contract     |
|                                   | Pricing                           |
+-----------------------------------+-----------------------------------+
|                                   | CON 210-Gov't Contract Law        |
+-----------------------------------+-----------------------------------+
| Level III -- GS 1102: 13 and      | CON 301-Executive Contracting     |
| above                             |                                   |
+-----------------------------------+-----------------------------------+
|                                   | CON 333-Management for            |
|                                   | Contracting                       |
|                                   |                                   |
|                                   | > Supervisors                     |
+-----------------------------------+-----------------------------------+

***[STEP No. 1: Initial Review:]{.underline}***

The employee should meet with his/her supervisor, and complete the
*Contracting Competencies* for the mandatory courses noted above. These
forms are available for downloading at *Appendix G* of the Acquisition
Workforce Website. <http://www.dot.gov/ost/m60/workforce/dauappc.htm>.
For each course, an employee must provide documentation/proof of
attainment of these competencies. "**Attainment of the competencies" can
be accomplished by two methods: the** **fulfillment process, or by
actual course completion**.

-   ***[Fulfillment]{.underline}*** means the employee has satisfied the
    mandatory training requirements through documented and approved
    knowledge of course competencies by education, on-the-job training,
    or other training. (Other training includes classes that do not meet
    the DOD equivalency standards.)

-   Course **[*completion*]{.underline}** means the employee has
    completed the actual DAU class, or one taught by a DAU approved
    "equivalent" vendor. See *Appendix E* for a list of Equivalent
    Training courses.
    <http://www.dot.gov/ost/m60/workforce/appendixe.htm>.

***[STEP No. 2: Certification Application:]{.underline}***

Once the Contracting Competencies have been completed, employees should
complete the ***CPMIS Basic** **Data and Modification of Data Form***
located in *Appendix D*. This form is located on line at:
<http://www.dot.gov/ost/m60/workforce/appendixd_basic.htm> Their
immediate supervisor should review and sign the Form, and forward it
directly to HRMD for input to the database.

> **ADIP No. 85-8**

**ATTACHMENT (2)**

**Page 4 of 5**

After an employee has satisfied the mandatory course requirements,
he/she can apply for certification by submitting the following package
to the COCO [through]{.underline} their immediate supervisor:

> *(1)* An action Memorandum (see ***Memorandum Format for Applying for
> Acquisition Certification**)* to the HCA, with concurrence by the
> COCO. This format is on line at:
> <http://www.dot.gov/ost/m60/workforce/appendixd_all.htm>
>
> *(2)* A copy of the ***CPMIS Basic Data Form*** as backup
> documentation with the Action Memorandum. *Supporting documentation
> for course fulfillment must be included, i.e. certificates of
> completion, a completed copy of Appendix E, Equivalent Training
> Courses, or Appendix G, Contracting Competencies. (Reminder: The
> supporting documentation for certification stays on file at RSPA/HQ.
> Therefore, it is recommended that the employee and/or supervisor keep
> a copy of the entire package locally.)*

***[STEP No. 3: Input of Certification Information:]{.underline}***

To ensure the CPMIS database is kept current, employees must complete
the ***CPMIS Acquisition Certification, Skills Currency, and Education
Waiver Data Form***. This form is available on line at:
<http://www.dot.gov/ost/m60/workforce/appendixd_currency.htm> The
employee must:

> *(1)* Check the certification block, noting the Certification level,
> and certification approval date.
>
> *(2*) Attach a copy of the Certificate.

(3) Forward to their immediate supervisor, who must sign the bottom of
    the form.

> *(4)* Send the documentation to the COCO within 10 working days of
> receipt of the certification.
>
> *(5)* Once the information has been received by the COCO, the
> Acquisition Workforce POC will send the forms to HRMD for input within
> 5 working days.

***[STEP No. 4: Records Maintenance:]{.underline}***

[The COCO will only maintain a copy of the actual Certification
application for each employee in the DTS 85 files.]{.underline}
Therefore, supervisors are responsible for maintaining the original
*Contracting Competencies* package in their employee's personnel
folders, and it is recommended employees keep a copy of the same
paperwork for their own files. The originals of all
[supporting]{.underline} documentation submitted with the certification
application will remain at RSPA/HQ.

**[III. CERTIFICATION RETENTION AND SKILLS CURRENCY:]{.underline}**

**(i) [Skills Currency Requirements]{.underline}:**

To maintain certification, employees must re-certify every two years
from the date of the original certification. Effective January 1, 2002,
GS 1102's who are certified are subject to a **40-hour** **skills
currency requirement on an annual basis.**

-   Skills currency activities may include, but are not limited to:
    agency sponsored training, special job and/or professional
    association related projects, participation in seminars/workshops,
    and membership in nationally recognized organizations such as the
    National Contract Management Association (NCMA.)

> **ADIP No. 85-8**

**ATTACHMENT (2)**

**Page 5 of 5**

-   The COCO has been delegated authority for determining which
    activities qualify for skills currency. The credit value of the
    activities is also left to the COCO's discretion, however, *Appendix
    J, Guidelines for* *Crediting Continuing Education and Training
    Activities*, is provided as an aid to this process. This guidance
    can be found on line at:

<http://www.dot.gov/ost/m60/workforce/appendixj.htm>

-   Employees should begin tracking their 40 hours as of [January 1 in
    the year they became certified]{.underline}. For example, if you
    were certified in April 2001, you can count skills currency hours
    beginning on January 1, 2001.

-   The [individual employee is responsible for documenting and tracking
    completion of their 40 hours annually.]{.underline} However, group
    training sessions are normally coordinated and tracked through the
    Division's Workforce POC.

**(ii) [Procedures for Skills Currency Credit]{.underline}:**

-   HRMD requires an SF 182 Training Form *(available on WinForms*) in
    order to enter training data into the CPMIS database. Employees must
    submit the following to obtain proper credit for skills currency:

(1) proof of course completion, (i.e. a certificate or other proof of
    completion)

> \(2\) a copy of a completed SF 182. (SF 182's for [group]{.underline}
> training sessions are usually prepared and coordinated through the
> Division's Workforce POC.)

-   Once an employee has achieved their 80 hours for a two-year period,
    they must complete the ***CPMIS Acquisition Certification, Skills
    Currency, and Education Waiver Data Form (Appendix D)*** and obtain
    supervisory signature. Note: You must include proof as to how the 80
    hours was obtained, either by summarizing in a spreadsheet, or
    providing copies of course certificates.

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-   Employees must check the paragraph that states: *Certification
    Retention and Skills Currency*, and send the package to the COCO for
    submittal to HRMD for CPMIS input

-   RSPA/HQ is responsible for sending re-certification stickers, which
    will be affixed to the employee's original certificate.

**(iii) [Prioritization Training Policy]{.underline}:**

-   Employees will be scheduled for training on a priority basis, with
    certification/retention of certification as the primary goal. The
    following issues will be considered when scheduling training:

> *(1)* Budgetary restrictions.
>
> *(2*) Performance Plan Measurement Goals.
>
> *(3)* Availability of Defense Acquisition University slots from the
> Coast Guard.
>
> *(4)* Resource capability within the Division (i.e. coverage of an
> employee's workload while they are at training.)