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  **APPROVAL SIGNATURES**                                    **DATE**

  Stephanie Ferguson (original      IMS Representative       02/03/2009
  signature on file)                                         

                                                             
  --------------------------------- ------------------------ -------------

  ---------------------------------------------------------------------------
  **REVISION                                                    
  HISTORY**                                                     
  ------------ --------------------------------- -------------- -------------
  Rev. No.     Description of Change             Author         Effective
                                                                Date

  Basic        Initial Release                   Steven Raque   12/24/2002

  A            Added reference to Budget         Raju Raymond   09/18/2003
               reviews, Senior lead duties in                   
               response to CAR 2003-C-159                       

  B            Updated procedure to reference    Wes Deadrick   01/14/2004
               the CIM Tool as the repository                   
               for all required correspondence                  
               and documentation for Research                   
               contracts.                                       

  C            Updated procedure to reference    Richard Grigg  03/27/2004
               the TOMS program as the                          
               repository of Task Orders for                    
               some contracts. Change wording                   
               from Business Manager to Resource                
               Manager. Deleted last sentence in                
               Section 6.1.                                     

  D            Updated procedure to include      Richard Grigg  03/08/2005
               Alternate COTR in Sections 1, 2,                 
               3 and 8. Clarification that known                
               future deliverables are required                 
               in the COTR matrix in Section                    
               6.4. Update NASA form 1634 title                 
               in Document Reference table and                  
               Section 8.0. Update section 6.2                  
               that RM is to be notified when                   
               533Ms are rejected or delayed.                   
               Move general services task                       
               reference to section 6.1 from                    
               6.2, indicate that the general                   
               services task order is not always                
               in place, and remove reference to                
               managing general services work.                  
               Add IVV 09-8 in Reference                        
               Documents Table and Section 2,                   
               Scope. List TOMS as Location for                 
               Task Order Records in Section 8,                 
               Records.                                         

  E            Address new IV&V organization by  Richard Grigg  07/26/2005
               replacing Senior Lead terminology                
               with Deputy IV&V Services Lead.                  
               Eliminate COTR responsibility to                 
               keep contract mod and task order                 
               copies in section 6.1 since                      
               onsite CO and TOMS now fulfill                   
               that requirement. Add PM Tool as                 
               possible deliverables matrix                     
               location in section 6.4, Receipt                 
               and Filing of Contract                           
               Deliverables. Reword last                        
               paragraph in section 6.5,                        
               Evaluation of Contract                           
               Deliverables, for readability.                   
               Add QM reference for role                        
               definitions.                                     

  F            Add COTR/Alternate COTR           Richard Grigg  05/22/2006
               Delegation Letter and                            
               Deliverables Matrix to Section 3,                
               Definitions & Acronyms. Expand                   
               Section 5, Responsibilities.                     
               Remove cover letter filing                       
               requirement and clarify                          
               Deliverables Matrix required                     
               fields in Section 6.4, Receipt                   
               and Filing of Contract                           
               Deliverables. Add CIM reference                  
               to section 6.5, Evaluation of                    
               Contract Deliverables, for                       
               evaluation of research                           
               deliverables. Update Section 7.0,                
               Metrics, to conform to IVV 05-2.                 
               Update table in Section 8,                       
               Records, to meet NPR 1441                        
               requirements. Remove IVV 09-3,                   
               add IVV 09-3-5 and NPR 1441 to                   
               Reference Documents.                             

  G            Update definitions of CIM and PM  Richard Grigg  05/11/2007
               Tool to match definitions in IVV                 
               9-3 and IVV 9-4, respectively.                   
               Update Section 6.1, *Contract                    
               Administration*, to include                      
               management task order. Update                    
               Section 6.4, *Receipt and Filing                 
               of Contract Deliverables*, to                    
               correct the list of items in the                 
               Deliverable Matrix: Received Date                
               versus Delivered Date.                           

  H            Update process flow diagrams to   Stephanie      01/25/2008
               align with Facility Management    Ferguson       
               paradigm                                         

  I            Add Section 4.5, Contract         Richard Grigg  02/03/2009
               Listing. Add Contracts, Grants                   
               and COTRs List to Section 6.0,                   
               Records. Replace "Facility" with                 
               "Program" where needed.                          
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  ------------------------------------------------------------- ------------------------------------
  **REFERENCE DOCUMENTS**                                       

  Document Number                                               Document Title

  IVV QM                                                        Quality Manual

  IVV 07                                                        Financial Data Control

  IVV 09-3-5                                                    Work Instruction for Processing
                                                                Research Deliverables

  IVV 09-4                                                      Project Management

  IVV 09-8                                                      Project Startup

  IVV 16                                                        Control of Records

  <http://acquisition.gov/comp/far/index.html>                  Federal Acquisition Regulation (FAR)

  <http://www.hq.nasa.gov/office/procurement/regs/nfstoc.htm>   NASA FAR Supplement (NFS)

  NASA Form 1634                                                Contracting Officer Technical
                                                                Representative (COTR) / Alternate
                                                                COTR Delegation

  NPR 1441.1                                                    NASA Records Retention Schedules

                                                                
  ------------------------------------------------------------- ------------------------------------

1.  **Purpose**

> The purpose of this system level procedure (SLP) is to establish a
> consistent and documented method for performing technical and
> financial contract management. This SLP also provides a consolidated
> description of the roles and duties of the Contracting Officer
> Technical Representative (COTR) and Alternate COTR.

2.  **Scope**

> This SLP is applicable to all COTRs and Alternate COTRs at the NASA
> IV&V Program. If any process described in this document conflicts with
> any part of the Federal Acquisition Regulation (FAR) or the NASA FAR
> Supplement (NFS), this document shall be superseded by the FAR or NFS.

3.  **Definitions and Acronyms**

    Official NASA IV&V roles and terms are defined in the [Quality
    Manual](http://www.nasa.gov/centers/ivv/doc/170870main_IVV_QM.doc).
    Specialized definitions identified in this SLP are defined below.

    1.  **Acronyms**

  ------------ ----------------------------------------------------------
  CIM          Center Initiative Management

  CO           Contracting Officer

  COTR         Contracting Officer Technical Representative

  FAR          Federal Acquisition Regulation

  FRC          Federal Records Center

  IMS          NASA IV&V Management System

  NF           NASA Form

  NFS          NASA FAR Supplement

  NPR          NASA Procedural Requirement

  PL           Project Lead

  QM           Quality Manual

  SLP          System Level Procedure

  TOMS         Task Order Management System
  ------------ ----------------------------------------------------------

4.  **Process Flow Diagram**

> A process flow diagram does not apply to this SLP. However, the
> following illustration depicts subject matter described in later
> sections of this SLP.

![](media/image2.wmf)

The Alternate COTR will perform COTR duties and responsibilities during
short absences of the COTR as indicated by a notification from the COTR
or by notification of any type of leave taken by the COTR.

1.  **Contract Administration**

> ![](media/image3.wmf)
>
> The COTR is also ultimately responsible for all items on the
> COTR/Alternate COTR Delegation Letter (NASA Form \[NF\] 1634) signed
> by the Contracting Officer (CO). The COTR shall perform contract
> administration in accordance with the COTR/Alternate COTR Delegation
> Letter signed by the CO. Certain responsibilities are further
> delegated to the Project Leads (PLs) as defined in IVV 09-4, *Project
> Management*, and contract surveillance plans. The COTR shall keep
> copies of correspondence related to the contract (either hard copy or
> electronically) in such a fashion that it can be passed on to any
> successor or Alternate COTR.

2.  **Contract Financial Management**

> The COTR shall monitor contract-level funding and expenses as recorded
> in the NASA IV&V financial spreadsheet (see IVV 07, *Financial Data
> Control*). The COTR shall make the Chief of Resource Management aware
> of any funding issues or discrepancies, especially those that could
> affect continuation of services. This also includes notification of
> 533M delays, rejections, or redeliveries.

3.  **Task Order Mechanization**

> The COTR shall facilitate the mechanization of task orders by working
> with the PL, the contractor, and the CO (or designee) to ensure that
> all required information is included. The Task Order Management System
> (TOMS), even though not mandatory, has been widely used for task order
> mechanization since November 2003. If the COTR's contract is in TOMS,
> the COTR shall ensure that new task orders and their modifications are
> entered into TOMS. The COTR shall review task orders to ensure that
> the requirements are clear, and that the funding is correct and
> consistent with NASA IV&V Program policy. Task order mechanization
> only applies to contracts incorporating the use of contract task
> orders.
>
> For additional COTR task order responsibilities, see IVV 09-4,
> *Project Management*, and IVV 09-8, *Project Startup*.

4.  **Deliverable Processing**

> ![](media/image4.wmf)
>
> In a timely manner, the COTR shall store an electronic version of all
> contract deliverables in the designated area of a NASA IV&V shared
> network drive or in the Center Initiative Management (CIM) Tool. The
> COTRs for research contracts shall store all required correspondence
> and documentation in the CIM Tool.
>
> The COTR shall maintain a Deliverables Matrix. The Deliverables Matrix
> shall contain known future deliverables that are two months or less in
> the future and their expected delivery dates. The Deliverables Matrix
> shall be examined once a month for inclusion of known future
> deliverables that fall within the next two months.
>
> The Deliverables Matrix shall include or provide direct access to the
> following information:

-   Title of the deliverable

-   Applicable project to which it is associated

-   Applicable PM responsible for evaluation

-   Original due date

-   Applicable revised due date

-   Received date

-   Acceptability status

-   Acceptance or rejection date

-   Applicable redelivery date

-   Space for comments

> The Deliverables Matrix shall be stored in electronic format in the
> designated area of a NASA IV&V shared drive, the PM Tool, the CIM
> Tool, or a combination of these options.
>
> Every product required to be delivered to the NASA IV&V Program by a
> contract or task order must be evaluated, and the results must be
> recorded. Deliverables related to projects and the portions of
> contract level reports that contain IV&V project-specific sections
> (e.g., Monthly Progress Report, 533M) for which there is an assigned
> PL will be evaluated by that PL and reported to the COTR per IVV 09-4,
> *Project Management*, or IVV 09-3-5, *Work Instruction for Processing
> Research Deliverables*. The COTR is responsible for evaluating all
> other deliverables, or parts of deliverables, on his or her designated
> contract. The evaluation of deliverables shall include, but is not
> limited to, ensuring that deliverables are on time, in the correct
> format, and contain valid content.
>
> The evaluation of a deliverable shall be conducted within ten working
> days of delivery. If the product is deemed acceptable, it shall be so
> noted on the COTR\'s Deliverables Matrix. If the product is deemed
> unacceptable, rejections and redelivery will be handled within a
> timeframe acceptable to the CO, COTR, and PL.

1.  **Contracts, Grants, and COTRs List**

> After each contract award or modification, the COTR shall verify that
> his/her contract is included and accurately described in the
> Contracts, Grants, and COTRs List, paying particular attention to the
> ending period of performance and subcontractors.
>
> A designated civil servant shall maintain a list of all active
> contracts and grants in use by the NASA IV&V Program in the N:\\COTR
> Deliverable Matrices\\Lists -- COTRs Contracts PRs directory on the
> shared drive.
>
> The Contracts, Grants, and COTRs List shall include or provide direct
> access to the following information:

-   Contract Name

-   Contract Acronym

-   Contract Number

-   Contractual Vehicle

-   Contractor (including Subcontractors)

-   Contractor Acronym

-   COTR Name

-   Alternate COTR Name

-   Period of Performance -- Start Date

-   Period of Performance -- End Date

-   Status (Active/Closed)

-   In TOMS (Yes/No)

5.  **Metrics**

> Any metrics associated with this SLP are established and tracked
> within the NASA IV&V Metrics Program.

6.  **Records**

> The following records will be generated and filed in accordance with
> this SLP and IVV 16, *Control of Records*, and in reference to NASA
> Procedural Requirement (NPR) 1441.1, *NASA Records Retention
> Schedules*.

  -----------------------------------------------------------------------------------------------
  **Record Name**  **Original**   **Vital**   **Responsible   **Retention       **Location**
                                              Person**        Requirement**     
  ---------------- -------------- ----------- --------------- ----------------- -----------------
  COTR             Y              Y           COTR            Retire to Federal Shared Network
  Deliverables                                                Records Center    Drive,\
  Matrix                                                      (FRC) 2 yrs after PM Tool, or CIM
                                                              final payment     Tool for Research
                                                              (5/1A3)           Contracts

  Task Order       N              N           COTR            Destroy upon      TOMS and COTR
                                                              termination or    files prior to
                                                              completion (5/1F) TOMS

  Deliverable      Y              N           COTR            Retire to FRC 2   Shared Network
  Received from                                               yrs after final   Drive
  Contractor                                                  payment (5/1A3)   

  Contracts,       Y              N           Chief of        Destroy when      Shared Network
  Grants, and                                 Operations      obsolete,         Drive
  COTRs List                                                  superseded, or    
                                                              when no longer    
                                                              needed (1/12B2)   

  COTR/Alternate   N              N           COTR            Destroy upon      COTR's Files
  COTR Delegation                                             termination or    
  (NF 1634) signed                                            completion (5/1F) 
  by CO for COTR                                                                
  delegation                                                                    

  COTR/Alternate   N              N           Alternative     Destroy upon      Alternate COTR's
  COTR Delegation                             COTR            termination or    Files
  (NF 1634) signed                                            completion (5/1F) 
  by CO for                                                                     
  Alternate COTR                                                                
  delegation                                                                    
  -----------------------------------------------------------------------------------------------