1 Chapter

Defense Contingency

COR Handbook

Version 2 – September 2012

Tools, Resources,

and Support for the

Contracting Officer’s

Representative
Understanding Your Contracts

See Chapter 6.

•	 Uniform Contract Format (UCF): Sections A through J (or Sections K, L, and M in a solicitation)

•	 Commercial Format: Sections A through D (or Section E in a solicitation)

Pay close attention to Sections B, D, F, G and J. These sections should help you understand what is being bought,

schedules, inspection/acceptance criteria, specifications, and invoicing procedures.

COR File Contents

See Chapters 3, 8, and Table A.2

At a minimum, your file should contain your COR letter of appointment/designation and the following:

•	 Copy of the contract and all modifications

•	 Copy of acceptance documents and invoices

•	 Copies of all correspondence

•	 Memoranda of Record for all actions taken/issues addressed

•	 Quality Assurance Surveillance Plan (QASP)

•	 Performance assessments (negative and positive)

•	 Weather reports (if applicable to your contracts)

COR Nomination, Training, and Qualification

See Chapter 2 & Appendix F.

•	 The organization nominates the COR, and the contracting officer approves the nomination.

•	 The COR receives training from the contracting officer and DAU

	 –	 Know your training requirements (for Type A, B, and C contracts)

	 –	 Access the COR Tracking (CORT) tool for training materials: http://www.acq.osd.mil/dpap/pdi/eb/cor.html

•	 The COR is appointed or designated with a letter of appointment/designation. 

	 –	 This letter will tell you what contracts you are assigned to and will define your pre-award

	 and post-award responsibilities. 

	 –	 This letter should include specific details on monitoring contractor performance, conducting

	 inspection if applicable, and conducting Government acceptance of goods or services.

•	 The new COR receives a turnover from the previous COR.

 Warning: A COR cannot delegate responsibilities to a replacement or to subordinates! 

B

C

A

Quick-Start Guide for 

Contracting Officer’s Representatives (CORs)
Inspection of Supplies

See Chapter 8 and Appendix A.

Inspection Types

•	 Visual checks, an examination to reveal surface defects, missing pieces, parts out of alignment

•	 Physical or performance tests (conducted or witnessed) that involve more objectivity

Inspection Methods

•	 Random or stratified sampling

•	 100% inspection

•	 Periodic performance tests

The COR’s role in inspection depends on inspection type.

The Government always reserves the right to inspect!

Never accept an item if you are unsure or if it has deficiencies.

Completion, 

Payment, & 

Closeout

See Chapter 7.

Acceptance is evidence

based on the execution of an

acceptance certificate on an

inspection or receiving report

form or on a commercial shipping

document (or packing list). A COR must

ensure that the work performed under

the contract is measured against the

contract terms and quality requirements. 

If performance does not meet contract

quality requirements, it is incumbent on

the COR to identify deficiencies and to

advise the contracting officer.

COR Role in 

Contractor Payment 

See Chapter 7 and Table A-11.

If performance

monitoring

is conducted

appropriately,

the COR’s role in

payment consists

of documenting the receiving report

and confirming that the invoice/voucher

is “proper.”

The DD Form 250 Material Inspection &

Receiving Report is accessible in WAWF

at https://wawf.eb.mil. 

Also see Figure B-5 & DVD.

Transitioning

See Chapter 2 and Appendix C.

It is critical that

you plan for and

execute a quality

transition of your

duties before

redeployment.

--Keep orderly paper (hard copy) and

electronic files.

--Introduce the incoming COR to key

customers, partners, and stakeholders

in the organization and to contractors.

Set your replacement up for success!

D

G H

E

F

Document!

Document!

Document!

Contract Surveillance and Performance Monitoring

See Chapters 8, 9, 10, 11, and Appendixes A and D.

How much and how often you conduct surveillance on the contract depends on the contract (e.g., length, complexity,

dollar value) and the contractor, the services or supplies (or both) that the contractor will tender for acceptance, and the

Inspection and Acceptance clause.

The Statement of Objectives (SOO), Statement of Work (SOW), or Performance Work Statement (PWS) is probably

the single most critical document in the acquisition process. The PWS should define requirements in clear and

concise language, identifying specific work to be accomplished. The PWS defines respective responsibilities of the

Government and the contractor and provides an objective measure so that both will know when work is complete and

payment is justified.

The Quality Assurance Surveillance Plan (QASP) recognizes the responsibility of the contractor to carry out its quality

control obligations. The QASP must contain measurable inspection and acceptance criteria corresponding to the

performance standards in the SOW. The QASP focuses on the level of performance required by the PWS rather

than the methods used by the contractor to achieve that level of performance.
Quick-Start Guide

Know and Follow the Ethical 

Standards for CORs 

See Chapter 4.

Never solicit gifts of any type, regardless of their nature or

dollar value. Some contractors are willing to offer favors

in exchange for business. A bribe occurs when someone

“directly or indirectly gives, offers, or promises anything of

value to any public official, former public official, or person

selected to be a public official, for or because of any official

act performed or to be performed by such public official.” 

Giving or accepting a bribe is a crime punishable by a fine,

imprisonment, or both. 

CORs must be familiar with the following:

•	 Gift Rule $20/$50 (bribery and gratuities)

•	 Procurement Integrity Act 

•	 Conflicts of interest (transportation and travel)

Know Where to Begin

See Chapters 5, 7, and 8.

•	 Kickoff meeting

•	 Progress reports

•	 Schedules

•	 Contract standards and specs

Know the Contracting 

Officer’s Remedies for 

Poor Performance

See Chapters 7, 8, and Appendix A.

•	 Apply stop-work, cure notice, show-cause, liquidated

damages, warranty, or termination clause

•	 Withhold or reduce fees

•	 Reject the noncompliant work or allow rework

•	 Suspend progress payments

•	 Choose not to exercise options

•	 Modify the contract

•	 Address claims or considerations

•	 Take legal recourse

•	 Use alternative dispute resolution (ADR)

•	 Document the issue in the past performance database

Know Where to Turn: 

Key Handbook Chapters

Chapter 7. Contract Administration

Chapter 8. Monitoring the Contractor

Chapter 9. Developing a Quality Assurance Surveillance Plan

Chapter 10. Monitoring Services Contracts

Chapter 11. Monitoring Construction Contracts

Know Your Challenges

•	 Different customs (See Appendix E)

•	 Corruption (See Chapter 4)

•	 Ethics issues (See Chapter 4)

•	 Language barriers (See Appendix E)

•	 Chain of command and conflicting

	 responsibilities (See Chapter 2)

•	 Transition of COR duties when redeployed

	 (See Chapter 2 and Appendix C)

•	 Personal security threats (See Chapter 1)

Know Your Limits: 

CORs do not...

•	 Promise or authorize more work

•	 Get involved with subcontractors

•	 Modify the contract (even inadvertently)

•	 Disclose source selection information

•	 Divulge budget information

•	 Grant deviations or waivers of contract terms

	 and conditions (even inadvertently)

•	 Attempt to rescue suspected human trafficking victims

See Chapters 3, 4, and 7.

Also see Table A.14.
Table of Contents

Quick-Start Guide.............................................................................................2

Handbook Information ......................................................................................6

Foreword and Introduction................................................................................7

Chapters 

Chapter 1. The Importance of Contract Surveillance.................................13

Chapter 2. Roles and Responsibilities for Contract Surveillance ..............19

Chapter 3. COR Responsibilities ................................................................33

Chapter 4. Ethics and Integrity....................................................................53

Chapter 5. The Acquisition Team and Process ..........................................69

Chapter 6. Contract Structure.....................................................................77

Chapter 7. Contract Administration.............................................................91

Chapter 8. Monitoring the Contractor .......................................................123

Chapter 9. Developing a Quality Assurance Surveillance Plan...............151

Chapter 10. Monitoring Services Contracts ...............................................163

Chapter 11. Monitoring Construction Contracts.........................................173

Chapter 12. Foreign Acquisition and International Relationships..............183

Appendices

Appendix A. COR Checklists.......................................................................191

Appendix B. Forms.......................................................................................229

Appendix C. Turnover and Continuity..........................................................247

Appendix D. Contract Planning and Source Selection................................249

Appendix E. Cultural Awareness .................................................................281

Appendix F. COR Qualifications and Training ............................................289

Appendix G. Pre-Award Duties....................................................................301

Appendix H. Using the Supplemental DVD/Website...................................305

Appendix I. COR Resources and References ...........................................307

Appendix J. Metric Conversion Table .........................................................317

Appendix K. Abbreviations and Definitions .................................................319

Appendix L. Topical Index ...........................................................................351

Figures

Figure 1. Lines of Command and Contracting Authority .........................30

Figure 2. Acquisition Process...................................................................70

Figure 3. Acquisition Process by Organization........................................75

Figure 4. Risks of Firm-Fixed-Price Contracts versus 

Cost-Reimbursable Contracts ..................................................79

Figure 5. Contract Structure.....................................................................81

Figure 6. The Contracting Process ..........................................................93

Figure 7. ARRT Sample Screen Shot ....................................................160

Figure B.1. SF 26, Award/Contract............................................................230
6

Handbook Information

An online version of this handbook and its attached DVD can be found at 

http://www.acq.osd.mil/dpap/ccap/cc/corhb/.

Questions concerning the use, update, request for, or replacement of this handbook or the 

attached DVD should be sent to:

Defense Procurement and Acquisition Policy

Contingency Contracting

3060 Defense Pentagon

Room 3B855

Washington, DC 20301-3060

Commercial: 571-256-2945

Fax: 571-256-7004

E-mail: ContingencyContracting@osd.mil

Figure B.2. SF 30, Amendment of Solicitation/Modification 

of Contract, Page 1.............................................................................. 231

Figure B.2. SF 30, Amendment of Solicitation/Modification 

of Contract, Page 2.............................................................................. 232

Figure B.3. SF 33, Solicitation, Offer, and Award, Page 1 .................................... 233

Figure B.3. SF 33, Solicitation, Offer, and Award, Page 2 .................................... 234

Figure B.4. Sample SF 1449, page 1 ..................................................................... 237

Figure B.4. Sample SF 1449, page 2 ..................................................................... 238

Figure B.5. Sample DD 250.................................................................................... 240

Figure B.6. Sample DD 2772.................................................................................. 242

Figure B.7. Sample COR Monthly Report to the Contracting Officer.................... 243

Figure B.8. Sample SPOT Letter of Authorization................................................. 245

Figure D.1. Acquisition Process Overview, Part 1................................................. 250

Figure D.1. Acquisition Process Overview, Part 2................................................. 251

Tables

Table 1. General Responsibilities of COR, Requiring Organization,

and Contracting Office........................................................................... 24

Table 2. Do’s and Don’ts for Contract Administration....................................... 120

Table 3. Do’s and Don’ts for Remedies............................................................. 137

Table 4. Do’s and Don’ts for Contract Monitoring ............................................. 147

Table 5. Comparison of Berry Amendment and Buy American Act ................. 188

Table B.1. Crosswalk among SF1449, DD 1155, and DD 250 ............................ 235

Table D.1. Do’s and Don’ts for Pre-Award and Solicitation Phase ...................... 271

Table D.2. Do’s and Don’ts for the Evaluation and Award Phase ........................ 279

Table F.1. Type A Experience and Training Requirements ................................. 291

Table F.2. Type B Experience and Training Requirements ................................. 292

Table F.3. Type C Experience and Training Requirements ................................ 293

Table of Contents (Continued)
Foreword and Introduction

This handbook is designed as a 

pocket-size guide to serve as a 

quick-reference tool during your 

assignment. It is not designed 

to be all encompassing or to 

replace governing instructions, 

regulations, or directives.
8

The Depar t ment of Defense 

(DoD) relies heavily on the 

private sector to implement some 

parts of the Department’s mission. 

In fact, in Iraq and Afghanistan, the 

contractor population constituted 

more than 50 percent of the total intheater force, with activities spanning 

a broad range of support operations, 

including base camp support, logistics, 

linguists, advisory and assistance 

services, training, engineering, and 

construction.1 A recent report by the 

Deputy Assistant Secretary of Defense 

for Program Support estimated 113,491 

contractors supporting Operation Enduring Freedom as of December 

2011;2 in fact, the estimate of military personnel to contractors in 

Afghanistan is 1 to 1. Because of the critical reliance on contractor 

support and the large expenditures involved, contract surveillance 

is vital to ensure that contractors are providing timely, high-quality 

services and supplies; to mitigate contractor performance problems; 

and to ensure that the Federal Government (Government) receives best 

value for the warfighter.3 

1 Col. Ed Keller, U.S. Air Force, “Vertically Synchronizing Operational Contract Support,” Defense 

AT&L, May–June 2012, http://www.dau.mil/pubscats/ATL%20Docs/May_Jun_2012/Keller.pdf. 

2 Contractor Support of U.S. Operations in the USCENTCOM Area of Responsibility, Iraq and 

Afghanistan, January 2012, http://www.scribd.com/doc/80807835/Contractor-Support-OfUSCENTCOM-AOR-1st-Quarter-FY-2012. This number includes the estimated number of local 

national employees.

3 Also: Deputy Assistant Secretary of Defense’s April 2012 quarterly report to Congress, http://

www.acq.osd.mil/log/PS/docs/5A_paper/5A_April_2012_final.doc; and the Chairman of the 

Joint Chiefs of Staff Dependence on Contractor Support in Contingency Operations Task Force’s 

Phase II Report, “An Evaluation of the Range and Depth of Service Contract Capabilities in Iraq,” 

April 23, 2010.

Foreword

Mr. Richard Ginman, Director

Defense Procurement 

and Acquisition Policy
9 Defense Contingency COR Handbook

Foreword

Contract quality performance is the responsibility of both the 

contractor and the Government. The contractor is responsible 

for meeting its obligations under the contract in terms of quality, 

timeliness, and cost. The Government is responsible for ensuring that 

acquired services and supplies conform to the quality and performance 

requirements of the contract. 

Contract quality surveillance is an essential activity. In most 

cases, it is the responsibility of the requiring organization (assisted 

by the contracting office), which retains responsibility for mission 

accomplishment even if it decides to employ contractors. Furthermore, 

the requiring organization is thoroughly familiar with the technical 

complexities and nuances of the requirements; it prescribes contract 

quality requirements that the contracting office includes in contracts. 

The contracting officer delegates specific authority to members of 

the requiring organization who conduct contract surveillance as a 

contracting officer’s representative (COR) to verify that the contractor 

is fulfilling contract requirements and to document performance 

for the contract record. These CORs function as the eyes and ears 

of the contracting officer and as liaisons between the Government 

and contractors when executing surveillance responsibilities. Most 

important, CORs provide essential oversight to ensure that each 

contractor executes the relevant organization’s mission, as stipulated in 

the contract. 

DoD4 policy requires that the requiring organization and COR 

supervisor participate in nominating CORs and subsequently assess the 

performance of COR responsibilities. The requiring organization and 

COR supervisor affirm that the COR will be afforded the resources

4 Deputy Secretary of Defense Memorandum, “Monitoring Contract Performance in Contracts for 

Services,” August 22, 2008, http://www.acq.osd.mil/dpap/policy/policyvault/2008-0468-DPAP.pdf.
10 Foreword

(e.g., time, equipment, opportunity) necessary to perform designated 

COR responsibilities.

This COR handbook addresses key aspects of contract quality 

surveillance and the roles and responsibilities of the contracting 

officer, COR, and requiring organization and COR supervisor. This 

handbook is a comprehensive resource for contracting officers, COR 

supervisors, and both first-time and experienced CORs. A key contract 

surveillance principle throughout this handbook is the importance of 

open communication among, and due diligence of, the contracting 

officer, COR, COR supervisor, requiring organization, and contractor. 

This handbook is intended to supplement, not replace, COR training 

and the performance of contract surveillance. When in doubt, a COR 

should refer to the contract, the COR letter of appointment/designation, 

and guidance from the contracting officer. 

We envision this Defense Contingency COR Handbook as a living 

document accessible at http://www.acq.osd.mil/dpap/ccap/cc/corhb/. 

Please provide your comments and recommendations to improve the 

handbook—and your lessons learned on contract quality surveillance—

to contingencycontracting@osd.mil.

Mr. Richard Ginman

Director

Defense Procurement and Acquisition Policy 
11 Defense Contingency COR Handbook

This edition of the Defense Contingency COR Handbook

provides basic knowledge and tools for contracting officer’s 

representatives (CORs) to apply to perform effective contract 

quality surveillance. The information in this handbook is extracted 

from numerous sources, including the Federal Acquisition Regulation 

(FAR); Defense Federal Acquisition Regulation Supplement (DFARS); 

Joint Ethics Regulation (JER); and other relevant DoD directives, 

instructions, publications, and policies. 

The handbook is comprehensive, offering as much information 

as possible for CORs. It is organized to aid the COR in finding the 

exact information needed for the situation at hand. This handbook 

includes relevant and comprehensive guidance on performance of 

COR functions, and the appendixes offer more detailed supplemental 

materials and resources.

Chapters 1, 2, and 3 focus on the importance of contract surveillance 

and the roles and responsibilities of CORs, contracting officers, and 

COR supervisors. Chapter 4 reviews the importance of ethics and 

integrity in the acquisition process. Chapter 5 addresses the acquisition 

team in relation to the acquisition process. Chapter 6 offers an overview 

of contract structure. 

Chapters 7 through 12 describe the COR’s role in monitoring 

contract performance. Specifically, Chapter 7 provides general 

information on contract administration. Chapter 8 contains information 

on monitoring contractor performance in general, while Chapters 9, 10, 

and 11 detail quality assurance surveillance plans, service contracts, 

and construction contracts, respectively. Chapter 12 addresses foreign 

acquisition and international relationships. The 12 appendixes include 

supplemental materials such as sample forms, checklists, common 

terms and abbreviations, and a metric conversion table. The appendixes 

also contain resources and references that CORs might find useful, 

including information on turnover and continuity, contract planning 

Introduction
12

and source selection, cultural awareness, COR qualifications and 

training, and pre-award duties. 

This handbook is designed to supplement, not replace, formal 

COR training. CORs should refer to their letters of appointment/

designation for the specific duties and responsibilities assigned by 

the contracting officer. For information on COR training, refer to the 

Defense Acquisition University (DAU).5

5 The COR Community of Practice (CoP) website is available at https://acc.dau.mil/cor

Introduction
Chapter 1

The Importance of

Contract Surveillance

CHAPTER

CONTENTS

Related COR Duties ........16

The Deployed COR’s 

Working Environment .......16

Chapter 1: Key Points.......18
14

Every commander is likely to inherit or initiate a few contracts 

to acquire supplies and services and therefore will require 

CORs6 from the unit. The commander’s local contracting office 

will determine how many CORs are needed, but commanders must 

remember that not everyone can be an effective COR. The failure 

to monitor contracts effectively can result in critical supplies and 

services that are late, deficient, or outside the scope of the contract 

requirement. A competent and dedicated COR can ensure that the 

Federal Government (Government) receives high-quality supplies and 

services on time and within the agreed-upon price schedule and that the 

supplies and services meet all contract requirements. CORs selected by 

the commander will set the tone for contract success or failure and could 

have a direct impact on the commander’s mission. 

The requiring organization prescribes contract quality requirements 

that the contracting office includes in contracts. As experts on the 

contract requirement and on the mission requirements that requirement 

is intended to address, members of the requiring organization are often 

delegated specific authority by the contracting officer for conducting 

contract surveillance to verify that the contractor is fulfilling contract 

delivery and quality requirements and to document performance for the 

contract record. The requiring organization, in coordination with the 

contracting office, is responsible for preparing contract quality assurance, 

surveillance, and performance assessment plans. CORs function as 

the eyes and ears of the contracting officer and as liaisons between the 

Government and contractors when executing surveillance responsibilities. 

However, contract surveillance is not solely the responsibility of the 

6	 The term “contracting officer’s representative” is used primarily by the Army, Navy, DoD, DLA,

and DCMA. The Air Force uses the term “quality assurance personnel” for an equivalent position. 

Other agencies commonly use terms such as “contracting officer’s technical representative”

(COTR) and “task order manager” (TOM). Throughout this handbook, the term “COR” is used 

for simplicity. 

Chapter 1

The Importance of Contract Surveillance
15 Defense Contingency COR Handbook

contracting officer and CORs. Other personnel can have designated 

surveillance responsibilities under FAR Parts 42, 45, or 46.

The requiring organization is responsible for its requirements, and 

each COR is a representative of the requiring organization, nominated 

by the requiring organization and designated by the contracting officer 

to assist in the monitoring and administration of the contract. CORs 

must possess the necessary qualifications (training) and experience 

commensurate with the responsibilities delegated to them. When the 

requiring organization nominates a COR, it must tell the contracting 

office both the nominee’s name and qualifications. The DFARS 

Subpart 252.201-7000 defines a COR as “an individual designated in 

accordance with Subpart 201.602-2 of the DFARS and authorized in 

writing by the Contracting Officer to perform specific technical and 

administrative functions.” Designation shall be pursuant to DFARS 

Procedures, Guidance, and Information (PGI) Subpart 201.602-2. 

CORs monitor contract performance and provide the contracting officer 

with documentation of the contractor’s compliance (or noncompliance) 

with the terms and conditions of the contract. This documentation 

becomes part of the official contract file, so it is important that CORs 

document everything, including conversations and meetings with 

contractors, contractor performance, and other relevant issues. 

To ensure that CORs perform contract surveillance, DoD policy 

requires COR supervisors to participate in nominating CORs and in 

assessing the performance of COR responsibilities. COR supervisors 

must also affirm that each COR will be afforded the resources (e.g., 

time, equipment, opportunity) necessary to perform designated COR 

responsibilities. 

Chapter 1

The Importance of Contract Surveillance
16

The DoD COR Standard7 stipulates that the training and qualifications 

for, and surveillance duties assigned to, CORs must be commensurate 

with the complexity of the contract requirement. (Appendix F offers 

more detail on the DoD COR Standard and requirement types.)

Related COR Duties 

Duties often are assigned to the COR (not the contracting officer) 

based on the COR’s knowledge and subject matter expertise. During 

the Pre-Award Phase (see Chapter 4 discussion of the acquisition 

process), nominated COR candidates should participate as requested in 

requirements development—for example, by preparing the Independent 

Government Estimate (IGE), Performance Work Statement (PWS), 

Statement of Work (SOW), Statement of Objectives (SOO), and 

Surveillance Plan. 

Sometimes the requiring activity requests other support for postaward functions. During the Post-Award Phase, the COR can be 

designated to perform duties related to COR functions, but not to 

assessing contractor performance. The COR also performs these 

functions as a representative of the contracting officer and the requiring 

activity.

The Deployed COR’s Working Environment

Each deployed COR works in an environment where the operational 

and functional demands are greater and more complex than those 

confronted by CORs supporting the armed forces during peacetime or 

7 Under Secretary of Defense (Acquisition, Technology & Logistics) Memorandum, “DoD Standard 

for Certification of Contracting Officer’s Representatives (CORs) for Services Acquisitions,”

March 29, 2010, http://www.acq.osd.mil/dpap/policy/policyvault/USA005569-09-DPAP.pdf.

Chapter 1

The Importance of Contract Surveillance
17 Defense Contingency COR Handbook

in the continental United States. Each deployed COR faces challenges 

such as the following:

• Different customs

• Corruption (a COR’s number-one threat)

• Ethics issues

• Language barriers

• Time management 

• Chain of command and conflicting responsibilities

• Length of deployments

• Transition of COR duties when redeployed

• Personal security threats in the contingency and combat 

environments.

To ensure their personal security, CORs should take the following 

precautions:

• Assess the risk and establish a Risk Management Plan.

• Never reveal the schedule for an onsite visit unless absolutely 

necessary.

• Treat all excursions as a combat patrol.

• Coordinate all actions with the unit and the contracting officer.

• Debrief the intelligence officer as necessary.

• Spend time solely on the business effort (e.g., avoid personal 

shopping and sightseeing).

When escorting contractors inside military installations, the COR 

must comply with base commander requirements for such escorts (e.g., 

badges, armed escorts) and ensure that the contractor understands and 

complies with those requirements.

Chapter 1

The Importance of Contract Surveillance
18

Chapter 1: Key Points

1. The COR is a critical link in supporting the mission of the 

requiring organization’s commander to ensure successful contractor 

performance and fulfillment of the requiring organization’s mission 

needs.

2. Contract surveillance is key to ensuring that contractors perform 

in accordance with the terms and conditions of the contract. 

Contracting officers will rely heavily on the COR to keep them 

informed of ongoing issues and concerns relevant to the contract. 

Thus, the COR functions as the eyes and ears of the contracting 

officer.

3. The contracting officer is the primary Government official 

responsible for ensuring compliance with contractual agreements. 

The COR shall not take any action that would commit to or change 

the contract price, quantity, quality, schedule, delivery, scope of 

work, place of performance, or any other term or condition of the 

existing contract. 

Chapter 1

The Importance of Contract Surveillance
Chapter 2

Roles and Responsibilities

for Contract Surveillance

CHAPTER

CONTENTS

Nomination, 

Designation, 

and Appointment 

of the COR........................20

Performance of 

COR Functions.................22

Termination of COR 

Appointment .....................25

What Commanders 

Need to Know...................26

Selecting the 

Right COR ....................27

Defining the 

COR Position................28

Crossing Lines 

of Authority ...................29

DoD COR Tracking Tool ...31

Chapter 2: Key Points.......32
20

The three major phases in the COR process are (1) nomination, 

designation, and appointment of the COR based on competencies, 

experience, and training; (2) performance of COR functions; and 

(3) termination of COR appointment. The contracting officer, COR, and 

commander or COR supervisor have specific roles and responsibilities 

in each of these phases. 

Nomination, Designation, and Appointment of the COR

The contracting officer shall perform the following after receiving 

a procurement request:

• Review the requirement to determine whether it requires assistance 

in technical monitoring or administration of the anticipated contract.

• On the basis of the complexity of the work and requirement (Type 

A, B, or C), identify the duties and responsibilities to be performed 

by a COR and the qualification requirements mandated by the DoD 

COR Standard.

• Advise the requiring organization of the need for COR support. 

Considerations that might require more than one COR include 

multiple locations of performance, demands for constant surveillance, 

size of requirement, and technical subject-matter skill sets.

The contracting officer shall perform the following after receiving 

a COR nomination package from the requiring organization/COR 

supervisor:

• Review the package to determine whether the COR nominee is 

trained and qualified.

• Either notify the requiring organization that the COR nominee 

is acceptable or identify deficiencies and request additional 

nominations as applicable. Shall complete the nomination/

appointment through the COR Tracking (CORT) Tool unless a 

specific waiver is granted by the Office of the Under Secretary of 

Chapter 2

Roles and Responsibilities for Contract Surveillance
21 Defense Contingency COR Handbook

Defense (OUSD) for Acquisition, Technology and Logistics (AT&L), 

Defense Procurement and Acquisition Policy (DPAP), Program 

Development and Implementation (PDI) Directorate.

• Provide an orientation for the COR nominee to address topics such 

as the duties and responsibilities to be delegated; unique terms and 

conditions of the contract; importance of performance; personal 

conflicts of interest (COIs) and potential COIs; informal and 

unauthorized commitments; and ethics and integrity in relationships 

with the contracting officer, COR supervisor, and contractor.

• Assign specific duties and responsibilities to the COR before award 

and ensure that the letter of appointment/designation is included 

in the contract file. The COR letter of appointment/designation 

must be signed by the contracting officer and acknowledged by 

the COR, and copies must be furnished to the contractor and the 

administrative contracting officer (ACO). 

The requiring organization/COR supervisor shall perform the 

following, concurrent with requirements development or after receipt 

of a request for COR support from the contracting officer:

• Identify a prospective COR.

• Discuss with the nominee the COR duties and responsibilities to be 

designated and the importance of performing these COR duties and 

responsibilities.

• Ensure that the COR nominee has no personal COIs that affect 

performance of the duties and responsibilities to be delegated by 

completing the Office of Government Ethics (OGE) Form 450, 

Confidential Financial Disclosure Report, after the appointment and 

before contract award.

• Ensure that the COR nominee receives required training before 

contract award.

• Incorporate the performance of COR responsibilities into the COR 

nominee’s objectives for performance evaluation.

Chapter 2

Roles and Responsibilities for Contract Surveillance
22

• Develop and forward the COR nomination package to the contracting 

officer, using the CORT Tool.

The COR nominee shall perform the following: 

• Initiate a request for the required COR training (or COR refresher 

training) to ensure that the required training is completed before 

contract award.

• Provide the information necessary to document required training and 

to verify the absence of personal COIs. COR nominees (and CORs, 

once designated) must notify the contracting officer and appropriate 

COR supervisor if a potential or actual COI subsequently arises.

• As appropriate, participate in requirements definition and in the 

acquisition planning and contract formation processes.

• Ensure that individual performance appraisals properly address 

participation in the pre-award process as well as performance of 

COR duties and responsibilities.

Performance of COR Functions

The COR shall perform the following:

• Establish and maintain individual COR files for each contract in 

accordance with DFARS PGI Subpart 201.602-2(ii), Chapter 5 

of this handbook, and the CORT Tool (if necessary). COR files 

shall be available for review by the contracting officer, Inspector 

General, U.S. Government Accountability Office (GAO), internal 

review officials, and other officials (as authorized by the contracting 

officer).

• Review and understand the terms and conditions of the contract.

• Perform COR duties and responsibilities, as designated by the 

contracting officer.

•	 Do not appoint, designate, redesignate, or subdesignate COR duties 

and responsibilities to other people.

Chapter 2

Roles and Responsibilities for Contract Surveillance
23 Defense Contingency COR Handbook

• Provide reports on contract performance to the contracting officer. 

If advised by the contracting officer that reports are inadequate, 

ensure that follow-on reports address the issues specified by the 

contracting officer to meet the adequate standard in the Quality 

Assurance Surveillance Plan (QASP).

• When advised by the contracting officer or COR supervisor that the 

COR designation will be terminated, ensure that all reports, records, 

and communications are available to management, the successor 

COR, and the contracting officer.

• If circumstances change and there is a reasonable expectation that 

the COR cannot perform effectively (e.g., personal COI, change in 

assignment), notify the COR supervisor and the contracting officer 

to request the designation of a successor COR.

The COR supervisor shall perform the following:

• Nominate CORs (as needed) and provide the COR resources 

(e.g., time, supplies, equipment, opportunity) requested by the 

contracting officer to support the performance of COR duties and 

responsibilities.

• Evaluate the performance of COR duties as part of the COR’s 

performance assessment throughout the period of the contract. The 

COR supervisor is encouraged to solicit input from the contracting 

officer on the performance of COR duties.

• If notified by the contracting officer that a COR’s performance is 

inadequate, address relevant issues with the COR, reemphasizing the 

need for the performance of COR functions. Notify the contracting 

officer about actions completed.

• If notified by the contracting officer that a COR’s performance 

remains inadequate and that the letter of appointment/designation 

will be terminated, take action to identify and nominate a replacement 

Chapter 2

Roles and Responsibilities for Contract Surveillance
24

COR and to address deficient performance in the terminated COR’s 

performance assessment.

• Ensure that the terminated COR provides all reports, records, 

and COR files to the COR supervisor or the successor COR, as 

appropriate. 

The contracting officer shall perform the following: 

• Review COR reports for completeness and accomplishments.

• Provide feedback on COR performance to the COR supervisor.

• If COR reports or performance is inadequate, discuss performance 

with the COR. If reports or performance continues to be inadequate, 

discuss COR performance with the COR supervisor. If reports or 

performance continues to be inadequate, notify both the COR and 

the COR supervisor that the COR designation will be terminated, 

and request nomination of the replacement COR.

• Terminate the COR designation, and review the nomination of the 

successor COR. 

Table 1 highlights the relationship between COR and contracting 

officer responsibilities. 

Table 1. General Responsibilities of COR, Requiring Organization,

and Contracting Office

Action COR/Functional Office Contracting Office

Conduct market research Responsible Assisting

Prepare SOW/PWS Responsible Assisting

Prepare QASP Responsible Assisting

Prepare IGCE Responsible Assisting

Prepare GFP list Responsible Assisting

Develop sources Assisting Responsible

Prepare solicitation Assisting Responsible

Conduct pre-bid 

conference

Assisting Responsible

Chapter 2

Roles and Responsibilities for Contract Surveillance
25 Defense Contingency COR Handbook

Action COR/Functional Office Contracting Office

Evaluate proposals Assisting Responsible

Award contract N/A Responsible

Conduct contract 

surveillance

Responsible Assisting

Request modifications Responsible Assisting

Make modifications Assisting Responsible

Conduct progress 

meetings

Assisting Responsible

Conduct inspection and 

acceptance

Responsible Assisting

Evaluate contractor 

performance

Responsible Assisting

Use CPARS Responsible/assisting Responsible

Termination of COR Appointment

The contracting officer shall perform the following when a COR 

appointment is terminated: 

• When performance of COR functions is unsatisfactory, address 

concerns with the COR. If performance remains unsatisfactory, 

notify the COR supervisor about performance issues. Request that 

the COR supervisor either address performance with the COR or 

nominate a successor COR. Only the contracting officer has the 

authority to terminate the COR designation.

• Terminate the COR designation when the requiring organization 

requests termination of a COR designation because of a transfer, 

retirement, or other causes. The requiring organization/COR 

supervisor may not terminate a COR designation.

• Execute the Notice of Termination in writing and ensure that it is 

acknowledged by the COR and the COR supervisor and posted in 

the CORT Tool. 

Chapter 2

Roles and Responsibilities for Contract Surveillance
26

The COR supervisor shall perform the following when a COR 

appointment is terminated:

• Request termination of a COR designation by the contracting officer, 

and nominate a qualified successor COR if the COR is unable to 

perform for any reason, including unsatisfactory performance, 

transfer, or retirement.

• Elect to address performance issues with the COR or to nominate a 

successor COR if the contracting officer notifies the COR supervisor 

about COR performance issues. Issues related to the performance 

of COR duties and responsibilities shall be addressed in the COR 

performance assessment.

•	 Do not designate a successor COR or delegate (or redelegate) to a 

successor COR any duties and responsibilities that were delegated 

to the terminated COR. 

The COR shall perform the following when a COR appointment is 

terminated:

• Request relief from COR designation through the COR supervisor 

in advance of the reassignment or separation from the Government 

to give the requiring organization adequate time to select, train, and 

nominate a successor, per the nomination procedures defined in this 

handbook. 

• Ensure proper turnover of COR files to the successor COR or the 

contracting officer, as required. 

What Commanders Need to Know

Commanders should hesitate before nominating key staff members 

or leaders as CORs. However, a marginally capable COR will cause 

more headaches and might place the mission at risk. Commanders 

should understand the risk associated with contract performance and 

Chapter 2

Roles and Responsibilities for Contract Surveillance
27 Defense Contingency COR Handbook

nonperformance—and should recognize that the COR manages this 

risk for the unit. Commanders should remember that every contract 

will inherently have problems; a capable COR can resolve the vast 

majority of those problems.

Selecting the Right COR

A capable COR has key attributes such as the following:

• Can operate independently (and has strong problem-solving and 

organizational abilities)

• Pays attention to detail and can manage multiple projects 

simultaneously

• Makes sound business decisions (and demonstrates acquired 

business expertise or provides documentation of formal training)

• Communicates effectively (both verbally and in writing)

• Maintains high ethical standards

• Has thorough knowledge of the services or supplies provided in the 

contract.

A COR must be an employee, military or civilian, of the U.S. 

Government, a foreign government, or a North Atlantic Treaty 

Organization or other coalition partner. In no case shall contractor 

personnel serve as CORs. Commanders should consider the importance 

of the contract support to the unit as well as the adverse impact 

of poor performance (or nonperformance) when selecting a COR. 

Commanders should nominate a COR who holds a rank consistent 

with these considerations (unless local policy dictates otherwise). 

The performance of COR duties can demand much more time than 

normally expected for an additional duty. For some projects, serving 

as the COR is a primary duty. Some services contracts—depending 

on their complexity, associated QASPs, and evaluation standards—

might require an assistant COR. In addition, each COR should have 

Chapter 2

Roles and Responsibilities for Contract Surveillance
28

a designated alternate who is trained to fill in when the primary COR 

is not available (e.g., because of mission demands, injury, or mid-tour 

leave).

Defining the COR Position

CORs represent the contracting officer and assist in administering 

contracts. In most contracting situations, the COR will be closer to, and 

have more frequent interactions with, both the performing contractor 

and the unit receiving supplies or services under the contract. Because 

of this reality, it is critical that the COR represent both the unit being 

served as well as the contracting officer being supported. CORs 

perform their roles by verifying contractor performance, inspecting 

contractor work, and maintaining liaison and direct communication 

with the contractor. CORs receive their COR authority only from the 

contracting officer, not from their chains of command.

The COR is also the unit representative for the contract requirement. 

The COR should provide status information on contractor performance 

to the chain of command and to the contracting officer. This step is 

especially important when contractor performance directly impacts the 

unit mission. The extent of contract support is defined by the contract. 

The contracting officer must make any required adjustments or changes, 

which might require additional time, funding, or both. The commander 

can track changes through the unit COR. The COR will also track 

contractor personnel, which is especially important in demobilization. 

The contracting officer is responsible for appointing (or designating) 

the COR and for providing contract-specific training to the COR 

nominee. This contract-specific training is in addition to the COR 

training required by regulation or instruction. (COR training 

requirements are detailed in Appendix F.) After making a decision 

that a COR is required, the contracting officer will notify the requiring 

unit of its responsibility to nominate an eligible person, usually with a 

memorandum signed by the unit commander.

Chapter 2

Roles and Responsibilities for Contract Surveillance
29 Defense Contingency COR Handbook

COR training covers concepts such as responsibilities, ethics, 

product substitution and fraud, constructive changes and ratification, 

surveillance methods, surveillance reports, files and paperwork, and 

limits of authority for the specific contract. 

Note: Currently, operations are driving COR training in 

predeployment as a unit readiness indicator.

A Deputy Secretary of Defense memorandum, “Monitoring Contract 

Performance in Contracts for Services,” August 22, 2008, states: 

Requiring activities shall...ensure that properly trained and 

ready CORs are assigned prior to contract award.... Where 

practicable, the requiring organization shall provide the COR 

nomination package to the contracting office as part of the 

purchase request.

COR appointments or designations remain in effect for the life of the 

contract unless they are terminated by the contracting officer before the 

contract ends. A termination can be necessary if a COR is reassigned 

to a different unit or performs unsatisfactorily.

Crossing Lines of Authority

The COR’s role bridges the acquisition and functional communities. 

The commander has no command and control authority over contractor 

personnel or the duties that a COR performs in support of a contract. 

Although a contract can require contractor personnel to abide by all 

guidance and to obey all instructions and general orders applicable 

to U.S. military personnel and DoD civilians, contractor personnel 

cannot be commanded. The contract’s terms and conditions govern 

the relationship between contractor personnel and the Government. 

Chapter 2

Roles and Responsibilities for Contract Surveillance
30

Only the contracting officer has the authority to direct contractor 

personnel. In short, the commander must manage contractor personnel 

through the contracting process. 

Figure 1 illustrates the lines of command and contracting authority.

Figure 1. Lines of Command and Contracting Authority

Chapter 2

Roles and Responsibilities for Contract Surveillance

Combatant

Commanders

Service

Component

Commanders

Joint

Task Force

Commanders

Contracting

Officer

Head of

Contracting

Activity

Senior

Contracting

Official

Agency Heads

Contracting Authority

Command Authority

Command Authority 

versus

Contracting Authority

COR
31 Defense Contingency COR Handbook

DoD COR Tracking Tool

The DoD CORT Tool is a web-based capability for the appointment 

and management of CORs. The CORT Tool accommodates the 

collection of COR training certificates and the posting of monthly status 

reports. It provides built-in workflows for the nomination process, 

including email alerts and status reminders when the monthly status 

report is due or delinquent. The CORT Tool gives contracting personnel 

and requiring organizations/COR supervisors the means to track and 

manage COR assignments across multiple contracts DoD-wide. This 

tool enables prospective CORs, COR supervisors, and contracting 

officers to electronically process the nomination and appointment of 

CORs for one or multiple contracts.

The CORT Tool is Common Access Card (CAC) enabled and is 

available to all DoD personnel with an Army Knowledge Online/

Defense Knowledge Online (AKO/DKO) account. Note: The user’s 

CAC must be registered with AKO/DKO before access to the DoD 

CORT Tool can be obtained.

The deployment of the CORT Tool is currently in its final phase. 

The Deputy Under Secretary of Defense (DUSD) (AT&L) issued a 

memorandum on March 21, 2011, “Deployment of the Department of 

Defense (DoD) Contracting Officer’s Representative Tracking Tool 

(CORT Tool),” directing deployment plans for its use across DoD. 

Subsequently, the DUSD (AT&L) required use of the CORT Tool in 

a September 30, 2011, memorandum, “Theater Business Clearance/

Contract Administration Delegation (TBC/CAD) Update.”

Additional information on the CORT Tool is available at http://www.

acq.osd.mil/dpap/pdi/eb/cor.html. The DVD in Attachment 1 includes 

CORT Tool training and user guide materials as well as AKO/DKO 

account access instructions.

Chapter 2

Roles and Responsibilities for Contract Surveillance
32 Chapter 2

Roles and Responsibilities for Contract Surveillance

Chapter 2: Key Points

1. The three COR process phases are as follows: 

a. Nomination and designation of the COR based on competencies, 

experience, and training

b. Performance of COR functions

c. Termination of COR appointment.

2. The requiring organization is critical to identifying and nominating 

COR candidates who have the right skill sets and experience as well 

as the requisite COR certification requirements.

3. It is mandatory that the COR maintain individual COR files for each 

contract or order.

4. If a COR knows in advance that a reassignment or separation 

from COR duties is upcoming, it is critical that the COR notify the 

contracting officer in advance to ensure continued COR support.

5. The DoD CORT Tool is a web-based management capability for the 

appointment and management of CORs. 
Chapter 3

COR Responsibilities

CHAPTER

CONTENTS

Post-Award Duties............36

Understanding of 

the Contract......................37

Current and 

Complete Files..................38

Correspondence 

and Responses.................39

Correspondence with 

the Contractor...............39

Notifications to the 

Contracting Officer .......40

Monitoring of Contract 

Performance.....................41

Inspection and 

Acceptance/Rejection 

of Deliverables..................43

Proprietary and 

Classified Information.......44

Management 

of Problems ......................45

Handling of 

Unsatisfactory 

Performance.....................45

Tracking of 

Modifications.....................46

Appropriate Conclusion 

of Appointment/

Designation.......................46

Technical Expertise...........47

Limitations ........................47

Protection of Sensitive or 

Government Information...50
CHAPTER

CONTENTS (CONT.)

Pre-Award Duties .............51

Related Duties..................51

Chapter 3: Key Points.......52
35 Defense Contingency COR Handbook

The COR oversees contractor performance for both the commander 

and the contracting officer. For the commander, the COR 

provides status information on performance risk and on how 

the contract is meeting the mission requirements. The COR is the 

unit expert on the contract. CORs should understand Government and 

contractor responsibilities, work that is covered (and not covered) by the 

contract, the process for addressing performance deficiencies, and the 

process for making contract changes. If the requirement needs to be 

adjusted—for example, because of poor planning, unforeseen impacts, 

or mission changes—the COR would work on these adjustments with 

the contracting officer. Managing these changes is critical to a unit 

commander: too few changes might impact mission success, and too 

many changes might waste limited funds that could be used for other 

priorities. For the contracting officer, the COR is the expert on the 

unit requirement, providing feedback if that requirement is being 

met. The COR also identifies when a contract needs contracting 

officer intervention (e.g., payment support, requirement changes, 

and corrective actions). The following list outlines these roles and 

responsibilities:

• The unit identifies a requirement. A contract is awarded to meet the 

requirement defined by the unit.

• The contract binds the Government and the contractor. The contract 

outlines the terms and conditions that must be met by both parties. 

• The contracting officer is the only one authorized to make changes 

to the contract terms and conditions. Deviations from these 

terms and conditions affect contractor costs and performance. 

Unauthorized changes might result in disciplinary action, personal 

liability, or both. 

• The contracting officer provides training to the COR, outlining the 

administration process and familiarizing the COR with the specific 

terms and conditions of the contract. 

Chapter 3

COR Responsibilities
36

• The unit oversees performance on the contract through the COR. 

The COR oversees contractor performance and ensures that contract 

terms and conditions are met (e.g., contractor badging, schedules, 

quantities, and receiving reports). All issues with the contractor at 

any level should be addressed through the COR. The COR is trained 

to protect the Government and unit personnel.

• The contracting officer provides oversight of the COR.

• The COR reports the status of contract performance to the 

contracting officer and the unit commander. 

General information about COR responsibilities is detailed in 

FAR Subpart 1.602 and in DFARS Subpart 201.602, “Contracting 

Authority and Responsibilities,” and a companion resource, DFARS 

PGI Subpart 201.602-2, “Responsibilities.” The contracting officer 

specifies the COR’s responsibilities in the COR letter of appointment/

designation. All duties delegated to the COR by the contracting officer 

must be specified in the letter of appointment/designation. If the duty is 

not mentioned in the letter, then the COR is not authorized to perform 

that duty. COR actions or inactions can subject the Government to 

disputes or claims and, in some cases, can result in the COR being 

personally liable for such actions or inactions. Therefore, the COR must 

carefully observe the scope and limitations of delegated authorities and 

should contact the contracting officer if there are any doubts about the 

correct course of action to be taken.

Post-Award Duties

A COR’s specific duties and responsibilities are detailed in the 

COR letter of appointment/designation. The COR’s responsibilities 

begin with understanding the contract and establishing the COR 

file. Monitoring the contract includes activities such as evaluating 

and maintaining data, documenting performance, and reviewing and 

Chapter 3

COR Responsibilities
37 Defense Contingency COR Handbook

verifying invoices. The COR responsibilities end at contract closeout or 

when the contracting officer terminates the COR delegation. 

Typical COR post-award responsibilities include the following:

• Understanding the contract

• Keeping files current and complete

• Managing correspondence and responses, including the following:

• Correspondence with the contractor

• Notifications to the contracting officer

• Monitoring contract performance, including the following:

• Training

• Travel

• Government-furnished property (GFP)

• Personnel and labor

• Inspecting and accepting (or rejecting) services and deliverables

• [Proposed addition]

• Protecting proprietary and classified information

• Managing problems

• Handling unsatisfactory performance

• Tracking modifications

• Concluding an appointment/designation appropriately

• Providing technical expertise

• Understanding COR limitations

• Protecting sensitive or Government information

• Performing related duties.

Understanding of the Contract

The COR must obtain an understanding of contract requirements 

as follows:

• Know the responsibilities of the Government and the contractor, and 

direct any questions about contract content or interpretation to the 

contracting officer

Chapter 3

COR Responsibilities
38

• With the consent of the contracting officer, attend the post-award 

conference to ensure that all parties have a clear understanding of 

the scope of the contract, technical requirements, and rights and 

obligations of parties to the contract

• Develop quality assurance surveillance records, including 

surveillance checklists, schedules, and related files

• Have ready access to all technical publications and regulations 

referenced in the contract.

Current and Complete Files

The COR plays an important part in the decision to terminate 

a contract and also has a critical role to play in contract closeout. 

Under FAR Subpart 1.604(c), the COR is responsible for keeping 

documentation of all the actions taken in the performance of COR duties. 

This requirement should include copies of inspections, correspondence 

with the contractor and contracting officer, and reports on contractor 

performance. According to FAR Subpart 4.801, the COR’s contract 

file is part of the greater decentralized contract file, which provides a 

complete history of the contract for the following purposes:

• Providing a complete background as a basis for informed decisions 

at each step in the acquisition process

• Supporting actions taken

• Providing information for reviews and investigations

• Furnishing essential facts in the event of litigation or congressional 

inquiries.

The COR shall maintain good records not only to support the next 

COR, but also to document contractor performance under the contract. 

To maintain good files, the COR must perform the following: 

• Maintain a separate and current file for each contract and order.

• If designated, endorse visit request and need-to-know documents 

Chapter 3

COR Responsibilities
39 Defense Contingency COR Handbook

before contracting officer approval, including verification of 

classification status (e.g., Secret).

• If designated, confirm or initiate all significant technical instructions 

to the contractor in writing and provide a copy to the contracting 

officer.

• Coordinate with the contracting officer and the legal office on the 

content of any contractually significant correspondence addressed 

to the contractor to prevent possible misunderstanding or the 

creation of a condition that could be the basis of a later claim against 

the Government.

• Furnish to the contracting officer copies of COR Government and 

contractor conference reports, trip reports, telephone conversation 

records, memoranda for the record, and correspondence.

• Sign all reports, trip reports, memoranda for the record, appropriate 

correspondence, and other related documents by using name and 

title followed by “Contracting Officer’s Representative.”

• Report to the appropriate authorities any suspected procurement 

fraud, bribery, COIs, or other improper conduct on the part of the 

contractor, contractor employees, or Government personnel.

Correspondence and Responses 

The COR must sign all correspondence, reports, findings, 

recommendations, and other documents (using name and title 

followed by “Contracting Officer’s Representative”). The COR should 

communicate with the contractor, contracting officer, disbursing 

officer, and other parties directly concerned with contract performance. 

All correspondence must reference the contract number. 

Correspondence with the Contractor 

The COR must forward to the contracting officer a copy of any 

correspondence to the contractor (including an explanation if not 

Chapter 3

COR Responsibilities
40

apparent from the text). The COR must also forward to the contracting 

officer the original correspondence received from the contractor. In 

addition, the COR should coordinate with the contracting officer on the 

content of contractually significant correspondence to the contractor to 

prevent possible misunderstandings or the creation of a condition that 

could be the basis of a later claim. Remember that the COR acts as the 

eyes and ears of the contracting officer, but does not have the authority 

to change the terms and conditions of the contract or to increase 

(or decrease) quantity, price, and the like. The COR is responsible 

for ensuring that the contractor is performing within the terms and 

conditions of the contract. If there is a disagreement between the COR 

and the contractor, the COR must immediately notify the contracting 

officer. The contracting officer will make a determination about 

resolving any ambiguity in the contract. The contracting officer will 

advise the COR of the appropriate mail system to be used. 

Notifications to the Contracting Officer

The COR must promptly inform the contracting officer of the 

following: 

• Exact date that the contractor began performance. 

• Incidents of unsatisfactory performance by the contractor. The 

COR should specify the applicable paragraph of the contract that has 

been violated by the contractor and the circumstances surrounding 

the violation, including names, dates and places, and estimated 

damages incurred by the Government. 

• Delays in the contractor’s progress that are the fault of the 

Government. The COR should include recommendations regarding 

any extension of the contract completion date. 

• Any discrepancy between actual conditions and those represented in 

the contract provisions, specifications, or drawings. 

Chapter 3

COR Responsibilities
41 Defense Contingency COR Handbook

The COR must advise the contracting officer of the contractor’s 

failure to complete performance or delivery in accordance with the 

contract schedule. Reporting of contractor failures should not be 

held for the monthly report. Only the contracting officer may issue 

Suspension of or Stop Work orders (under FAR Subpart 52.242-14 and 

Subpart 52.242-15, respectively). 

Monitoring of Contract Performance

The COR must monitor contract performance as follows:

• Ensure that technical guidance given to the contractor addresses or 

clarifies only the Government’s intent.

• Document deficiencies in performance.

• Periodically inspect, carefully monitor, and keep the contracting 

officer informed of contractor performance on the technical 

requirements of the contract.

• Ensure that contract performance is timely and within the scope of 

the work.

• Inform the contracting officer if the contractor is behind schedule, 

document the reasons, and coordinate with the contracting officer on 

the actions necessary to restore the contract schedule.

• Ensure that, in no event, the contractor furnishes materials or 

services in addition to, less than, or different from those required by 

the contract.

• Ensure that inefficient or wasteful methods are not being used by 

conducting surveillance of technical performance.

• Provide the contracting officer with reports on contractor 

performance, as specified in the letter of appointment/designation 

(or more frequently if appropriate).

• If designated, review the contractor’s Synchronized Predeployment 

Operational Tracker (SPOT) data to ensure that the contractor 

correctly enters SPOT data.

Chapter 3

COR Responsibilities
42

• As required by the contract and appointment, use both quantitative 

and qualitative methods to evaluate monthly cost and performance 

data, including trends and projections.

• Track contract costs, depending on type of contract.

• Report to the appropriate authorities suspected procurement 

fraud, bribery, COIs, or other improper conduct by the contractor, 

contractor employees, or Government personnel. 

Factors to consider while monitoring contractor performance 

include the following:

• Training. Any training for contractor personnel must be within the 

scope of the contract. The Government shall not pay for contractor 

training not required by the contract. The contracting officer may 

designate to the COR the authority to approve contractor training 

requests. If so, the COR shall ensure that Government-financed 

training for contractor personnel is within the scope of the contract. 

• Travel. Travel for contractor personnel must be within the scope 

of the contract. The contracting officer may assign to the COR 

the authority to approve contractor travel requests. If so, the COR 

shall evaluate travel requests to determine whether they are within 

contract scope and to assess the reasonableness of estimated costs. 

• Government property. The COR asks the contracting officer 

to authorize GFP and, when requested by the contracting officer, 

furnishes disposition advice on GFP or contractor-acquired property. 

The COR also ensures that the contractor is properly maintaining 

and accounting for GFP.

• Personnel and labor. The CORs must not direct contractor 

personnel in the performance of a contract. If designated, the COR 

shall review contractor invoices to ensure that labor hours and 

materials charged to the contract are accurate. The hours worked 

should equal the hours charged and invoiced to the contract. This 

Chapter 3

COR Responsibilities
43 Defense Contingency COR Handbook

responsibility can be fulfilled by reviewing timecards (or cards for 

signing in and out) to confirm hours and by obtaining copies of 

invoices to verify the use of materials. Typical COR tasks include 

the following: 

» Verifying that the work completed and the materials purchased 

are required under the contract 

» Ensuring that the contractor is paid for acceptable performance 

and not paid for unacceptable performance (supplies or services)

» Reporting performance deficiencies to the contractor’s manager 

and contracting officer

» Reporting to the contracting officer any labor disputes or 

problems that could impair contractor performance

» Validating the need for contractor overtime (OT) when requested 

by the contractor and informing the contracting officer

» Reporting actual OT if required under the contract

» Ensuring satisfactory subcontractor performance by observing 

the contractor’s surveillance

» Reporting inadequate contractor surveillance (or no such 

surveillance) to the contracting officer

» Validating that contractor personnel have the licenses, 

certifications, security clearances, theater business clearances, 

and letters of authorization (if applicable) that the contract 

requires (e.g., electrical, plumbing, food service, security 

licenses).

Inspection and Acceptance/Rejection of Deliverables

If designated, the COR must perform the following:

• Promptly inspect the supplies and services delivered to determine their 

acceptability. In other words, ensure that the Government receives the 

supplies or services for which it is paying. Reject those supplies or 

services that do not meet the contract requirements and standards.

Chapter 3

COR Responsibilities
44

• Exercise caution in executing receipt and acceptance documents.

• Furnish the contracting officer with a notice of satisfactory or 

unsatisfactory delivery.

• Thoroughly and accurately complete the required performance 

reports so that the contracting officer can properly evaluate the 

contractor.

• Manage the review process for contractor documents and 

deliverables. Verify the timeliness and accuracy of contractor 

reports and data to be delivered to the Government. Ensure the 

prompt review of draft reports, and submit approval (or disapproval) 

and comments to the contractor through the contracting officer.

• Validate actual receipt of the contractor’s reimbursable purchases 

before the Government is billed.

• Upon acceptance of the contractor’s final technical report (if 

required), prepare a memorandum for the signature of the procuring 

contracting officer (PCO), addressed to the contractor and titled 

“Subject: Notice of Acceptance of Final Technical Report.” Upon 

receipt of the PCO’s signature, forward the original memorandum 

to the contractor, place a copy in the contract work file, and forward 

one copy to the ACO and one to the PCO for inclusion in the official 

contract file and uploading to the CORT Tool.

• After verifying receipt of a deliverable, promptly sign all DoD (DD) 

Form 250s or, if available, use Wide Area Workflow (discussed 

in Chapter 7). Keep the originals in the contract work file and 

distribute copies to the contracting officer, payment office, and any 

other entities as required.

Proprietary and Classified Information 

The COR must perform the following:

• Protect contractor proprietary information.

Chapter 3

COR Responsibilities
45 Defense Contingency COR Handbook

• Ensure that the contractor maintains a current facility security 

clearance if required under the contract. 

• Ensure that contractor personnel who are actively working under the 

contract and need access to classified information have the proper 

security clearances. Classified information must not be released to 

anyone who does not have a security clearance and a need to know.

• Report any restriction on deliverable technical data to the contracting 

officer, and consider the response before accepting or rejecting the 

technical data.

• Recommend to the contracting officer the disposition of any 

contractor requests to publicly release information about work being 

performed under the contract.

Management of Problems

The COR must perform the following:

• Attempt to resolve technical and administrative issues that arise. 

Refer disputes between the COR and contractor to the contracting 

officer.

• Be firm but fair in all actions.

• Anticipate and resolve difficulties to ensure the satisfactory completion 

of the contract. Foster full and complete coordination, cooperation, 

and communication among the contractor, contracting officer, and 

all Government personnel assigned to monitor contract performance.

• Ensure timely responses from the contractor when required, and 

validate that all responses are accurate.

Handling of Unsatisfactory Performance

The COR must perform the following:

• Inform the contracting officer immediately if contract performance 

is unsatisfactory. Differences of opinion between the COR and the 

Chapter 3

COR Responsibilities
46

contractor that cannot be resolved by the COR should be referred to 

the contracting officer. 

• Work with the contracting officer to identify corrective actions, if 

necessary. 

• Make sure the contractor understands that the contracting officer’s 

decisions are final. Take care to avoid any action that might be 

construed as an actual or constructive change.

• Enforce the correction of deficient work. However, the COR does 

not personally supervise, or direct the work of, any contractor 

employee. 

Tracking of Modifications

The COR must perform the following:

• Ensure that changes in the work or services and the resulting effects 

on delivery schedule are formalized in a written supplemental 

agreement or in the change order issued by the contracting officer. 

The contractor must not proceed with the changes until they are 

formally approved and documented.

• Monitor financial management controls and coordinate with 

Government resource managers on all actions relating to funding 

and changes in the contract.

Appropriate Conclusion of Appointment/Designation 

The COR must furnish the contracting officer with a formal request, 

signed by the COR supervisor, for termination of the COR appointment/

designation when it is required.

Note: The COR must ensure that a replacement is properly 

appointed in writing by the contracting officer and is thoroughly 

briefed, both verbally and in writing, on all important issues.

Chapter 3

COR Responsibilities
47 Defense Contingency COR Handbook

Note: The COR must report suspected violations of ethics 

policies, incidents of fraud or bribery, COIs, and any other 

improper conduct to the contracting officer, legal counsel, 

chain of command, or DoD Inspector General. 

Technical Expertise 

To monitor a contractor providing services, the COR should have 

technical expertise in the services being performed and the outcomes 

required. For some requirements for services, a single COR might not 

be adequately versed in all technical issues that could arise. Therefore, 

the COR might need to consult additional personnel, such as the Defense 

Contract Management Agency (DCMA) as the technical subject matter 

expert on FAR Part 42 delegation. If the COR consults additional 

personnel, the contracting officer should be informed. The COR may 

involve additional personnel in communications with the contractor, but 

the COR remains the official liaison for any technical communications 

with the contractor, including technical interpretations. (Chapter 9 

provides additional details on monitoring service contracts.)

Limitations

Each COR must understand the limits of COR authority. Although 

the contracting officer delegates certain responsibilities to the COR, the 

authority to legally bind the Government remains with the contracting 

officer. CORs do not have the authority to do the following:

• Make any agreement with the contractor that obligates public funds.

• Make commitments that affect the price, quality, quantity, delivery, 

or any other term or condition of the contract.

• Encourage or permit the contractor to perform any work beyond or 

outside the scope of the contract.

Chapter 3

COR Responsibilities
48

• Interfere with contractor management of its employees, including 

supervising or directing the work of the employees.

• Order or accept supplies or services not expressly required by the 

contract.

• Allow GFP accountable under one contract to be used under another 

contract.

• Discuss any information that could give one contractor an advantage 

in future procurements.

• Direct the contractor to begin work before the contract award date.

• Issue oral or written instructions to the contractor to start or stop 

work. 

The COR must be mindful of the limitations to COR authority and 

must avoid the following:

• Getting into situations that could place the COR in a COI (financial 

or otherwise) between private and public interests.

• Accepting appointment/designation as a COR if a potential COI 

exists. The COR must immediately report such a potential COI to 

the COR supervisor and the contracting officer for a determination.

• Accepting a COR appointment/designation if the nominee does 

not have the time to thoroughly and completely perform the duties 

specified in the letter of appointment/designation and this handbook. 

On some types of contracts, performance as COR can be a full-time 

effort. The COR is responsible for work and time management.

• Using an official position title to coerce or in any manner influence 

anyone for personal gain.

• Taking any action that will obligate, or give the appearance of 

obligating, the Government, financially or otherwise. Only the 

contracting officer has this authority.

• Making or implying promises related to future business.

Chapter 3

COR Responsibilities
49 Defense Contingency COR Handbook

• Soliciting unsolicited proposals.8

• Giving contractors information about upcoming procurements.

• Contacting prospective contractors when a procurement is being 

solicited or offers are being evaluated.

• Assisting prospective contractors with the preparation of offers or 

quotations.

• Attesting to having read and understood DoD Directive (DoDD) 

5500.7-R, “Joint Ethics Regulation,” without understanding the 

contents.

• Accepting any gratuities. To be safe, CORs should not accept any 

gifts, loans, or favors from a contractor or from its employees. Report 

any offers immediately to the contracting officer and legal counsel. 

This rule applies to both the COR and the COR’s family members.

• Splitting quantities to circumvent procedures, regulations, or 

approvals required for higher-dollar-value procurements.

• Telling the contractor how to run its operation, including directing 

the contractor to fire an individual. Terminations of employment are 

actions taken by the contractor.

• Letting personalities intrude into discussions with the contractor.

• Permitting the contractor to proceed on work that is outside the 

scope of the contract. It might be in the contractor’s interests 

to exceed the contractual limitation, with the intent of claiming 

additional consideration for additional effort. 

• Committing contractor equipment, supplies, or personnel for use by 

others. The contractor and the contracting officer control all such 

matters.

• Permitting the contract to take on the appearance of a personal 

services contract (e.g., when contractor personnel appear, in effect, 

to be Government employees).

8 FAR Subpart 15.6, “Unsolicited Proposals.”

Chapter 3

COR Responsibilities
50

• Engaging in any employee-employer relationship if contractor 

personnel are subject to relatively continual supervision and control 

by a Government employee. The contract determines the tasks that 

the contractor performs as well as how and when the contractor does 

particular tasks and specifies that the contractor is responsible for 

managing its workforce.

• Redelegating COR authority to any other person (e.g., a technical 

POC).

In addition, although the COR limitations could simply be stated 

in a letter, in the real world, ensuring that the COR does not exceed 

the granted authority is a much more complex issue. In the course of 

performing COR responsibilities, situations might result in an implied 

change to the contract that, in turn, might impact contract delivery, 

schedule, funds, or other areas outside of the COR’s authority. CORs 

also might exceed the scope of their authority by inaction or improper 

action. For example, a COR on an equipment installation contract might 

fail to ensure that the Government installs electrical outlets and a raised 

floor in preparation for equipment installation. When the contractor 

arrives to install the equipment, it cannot proceed because the site is not 

properly prepared. By inaction, the COR has allowed a potential claim 

to be made for Government-caused delay.

Protection of Sensitive or Government Information

Government employees may not divulge information received in 

the course of their employment or official duties.9 The penalty is a fine, 

a prison sentence of up to 1 year, or both. The COR should take care 

not to discuss acquisition data or sensitive information in areas that are 

9 For example, Section 1905 of Title 18 of the United States Code (U.S.C.)—implemented at FAR 

Subparts 3.104-2(b) (4), 3.104-3, 3.104-4—and other laws and regulations. 

Chapter 3

COR Responsibilities
51 Defense Contingency COR Handbook

not secure (e.g., hallways) or in meetings that are not Government only. 

In addition, the COR should be careful to discuss acquisition data or 

sensitive information only with Government personnel with a specific 

need to know.

Pre-Award Duties

One of the key pre-award duties of the COR is documenting 

requirements as needed. The requirements package is critical to the 

success of an acquisition because it commits funds and establishes 

the basis for a contractual action. The package documents both the 

requirement and associated approvals. In other words, the requirements 

package informs the contracting office about what the user wants, when 

the user wants it, and whom to contact for more information. Key 

elements of pre-award duties are noted in Appendix G.

Related Duties

DoD policy10 encourages COR participation throughout the 

acquisition process. The COR might be expected to complete some 

functions as an agent of the COR’s activity, not as the representative of 

the contracting officer.

10 DSD Memorandum, “Monitoring Contract Performance in Contracts for Services,” August 22, 

2008, http://www.acq.osd.mil/dpap/policy/policyvault/2008-0468-DPAP.pdf.

Chapter 3

COR Responsibilities
52

Chapter 3: Key Points

1. CORs need to understand the contracts they are overseeing.

2. CORs must establish current and complete files associated with 

overseeing contractor performance. These files will eventually 

become part of the contracting officer’s contract file.

3. Monitoring contractor performance is key to successful contract 

execution.

4. CORs may be called on to review contractor training requests, 

travel, contractor time cards, and requests for using GFP.

5. CORs are often the primary personnel to accept (or reject) supplies 

and services.

6. CORs need to be careful in performing their duties to ensure that 

contract claims are not filed by the contractor and that there is no 

appearance of preference for one contractor that might harm another 

contractor.

7. The contracting officer will rely on the COR for contract performance 

technical expertise (over and above the execution of traditional 

COR functions for areas such as developing performance work 

statements, producing IGEs, or working on source selections).

Chapter 3

COR Responsibilities
Chapter 4

Ethics and Integrity

CHAPTER

CONTENTS

Review of Standards ........54

Working with Contractor 

Employees........................55

Combating Trafficking 

in Persons.........................56

Transportation 

and Travel.........................59

Awards and Certificates....59

Procurement Integrity .......59

Compensation after 

Leaving Federal 

Employment......................60

Penalties...........................61

Personal Conflicts 

of Interest for Contractor 

Employees........................61

Organizational and 

Consultant Conflicts of 

Interest..............................62

Bribery ..............................63

Anti-Kickback Act..............63

Gratuities ..........................64

Gifts ..................................64

Reporting Gifts .............65

Protection of the 

Integrity of the 

Acquisition Process ..........66

Chapter 4: Key Points.......67
54

Review of Standards

U.S. Government personnel engaged in contracting and related 

activities must be above reproach in their business dealings with 

industry. At the same time, they must protect the Government’s 

interests and maintain its reputation for dealing fairly with contractors. 

DoDD 5500.07-R, Joint Ethics Regulation (JER), specifies standards for 

contracting and related activities.11 The JER requirements include OGE 

Form 450, Confidential Financial Disclosure Report, which CORs must 

file annually to report their financial interests as well as other interests 

outside the Government.12 All COR letters of appointment/designation 

require CORs to certify that they have read and understand the JER. 

CORs also should be familiar with the Procurement Integrity Act and 

Section 2101–2107 of Title 41 of the United States Code (U.S.C.), which 

is implemented by regulation at FAR Subpart 3.104. 

To maintain public confidence in the U.S Government’s conduct of 

business with the private sector, CORs must avoid even the appearance 

of a COI.13 CORs who might have direct or indirect financial interests in 

an organization that they are monitoring must advise their supervisors 

of the conflict so that appropriate action can be taken. An organizational 

or personal COI is one in which the COR, because of other activities 

or relationships with other people,14 is unable (or potentially unable) 

to render impartial assistance or advice to the Government, might 

have impaired objectivity in performing contract work, or might give 

a contractor an unfair competitive advantage because of actions or 

relationships with the COR. 

11 JER is available at http://www.dod.mil/dodgc/defense_ethics/ethics_regulation.

12 Form OGE 450 can be downloaded from http://www.oge.gov/Forms-Library/OGE-Form-450-

-Confidential-Financial-Disclosure-Report/. FAQs about the form are available at http://www.

oge.gov/Financial-Disclosure/Confidential-Financial-Disclosure-450/450-FAQ/FAQs-Aboutthe-OGE-Form-450/.

13	 A conflict ofinterest is a conflict between an individual’s personal and professionalresponsibilities.

14	 The full definition is provided in FAR Subpart 2.101.

Chapter 4

Ethics and Integrity
55 Defense Contingency COR Handbook

Every COR and the associated COR supervisor must certify to the 

contracting officer that the COR has officially filed an OGE Form 450, 

Confidential Financial Disclosure Report. The purpose of this report 

is to assist personnel and their agencies in avoiding conflicts between 

official duties and private financial interests or affiliations. 

Working with Contractor Employees

Contractors are an important component of the total DoD force, 

but they are not Government employees. COI rules do not apply to 

contractor employees, even when they are performing the same work 

as Government employees (or work similar to that of Government 

employees) or are working side by side with them. In contrast, 

Government employees—public servants—are accountable for 

upholding the public trust. The COR’s duties are to the Government. 

Although professional relationships with contractor employees are 

not prohibited, favoritism and preferential treatment are banned. 

The COR has a duty to always avoid COIs and even the appearance 

of COIs. Personal services contracts (i.e., contracts under which 

contractor employees appear to be working as Government employees) 

are prohibited unless specifically authorized by statute.15 Contractor 

personnel cannot perform inherently governmental functions. In 

monitoring contractor performance, the COR should avoid interfering 

with contractor employee relations. Furthermore, the COR must not tell 

contractors to do any of the following: 

• Hire or fire a particular employee

• Reassign or discipline an employee

• Grant or deny leave

• Change employee duty hours. 

15 FAR Subpart 37.104, “Personal Services Contracts.”

Chapter 4

Ethics and Integrity
56

Combating Trafficking in Persons 

According to the United Nations, human trafficking “is a crime 

against humanity. It involves an act of recruiting, transporting, 

transferring, harboring or receiving a person through a use of force, 

coercion or other means, for the purpose of exploiting them.”16 Human 

trafficking is the third largest criminal activity in the world. Traffickers 

use violence, threats, and other forms of coercion to force their victims 

to work against their will. For example, they control the victims’ 

freedom of movement; where and when they work; and what pay (if 

any) they receive. Traffickers treat their victims as nothing more than 

goods for sale to the highest bidder. Victims of human trafficking no 

longer control their own lives. Their lives belong to the trafficker who 

is holding them against their will. Human trafficking is not new and is 

actively practiced globally, especially in third-world countries where 

CORs are most likely operating. 

The U.S. military has a particular duty to act because human 

trafficking is a direct threat to national security. CORs must be aware 

of how contractors treat their employees. CORs are the first line of 

defense in the battle against human trafficking. The following three-tier 

approach helps to combat human trafficking:

• Education and awareness. All DoD military personnel, civilian 

personnel, and contractors must receive mandatory awareness 

training in trafficking in persons (TIP). Every COR must complete 

TIP awareness training and must place the certificate of completion 

in the COR working file.

• Policy and enforcement. The contracting officer must ensure that 

contracts contain language to protect individual rights and to promote 

the rule of law in the host nation and in the labor recruiting process.

16 United Nations Office on Drugs and Crime, http://www.unodc.org/unodc/en/human-trafficking/

what-is-human-trafficking.html. 

Chapter 4

Ethics and Integrity
57 Defense Contingency COR Handbook

• Inspection. The COR must correct and report any suspected 

violations or activities to the contracting officer.

If a contractor fails to comply with the TIP clause in the contract, that 

contractor can be subject to one or more of the following disciplinary 

actions, as determined by the contracting officer:

• Required removal of a contractor employee (or employees) from the 

performance of the contract

• Required subcontractor termination

• Suspension of contract payments

• Loss of award fee for the performance period in which the 

Government identified contractor noncompliance

• Termination of the contract for default, in accordance with the 

Termination clause of the contract

• Suspension or debarment.

Government employees also are responsible for avoiding TIPrelated actions such as the following.

• Buying or selling human beings

• Patronizing forced prostitutes or forced labor establishments

• Holding an employee’s passport

• Confining employees to a disciplinary bunker, providing only food 

and water.

CORs must complete Combating Trafficking in Persons (CTIP) 

training annually. CORs must be diligent in ensuring that contractors 

and contractor personnel are not trafficking in persons. 

The COR must inform the contracting officer if the contractor, 

contractor personnel, subcontractor, or subcontractor personnel have 

failed to comply with the requirements of FAR Subpart 52.222-50. 

Chapter 4

Ethics and Integrity
58

After receiving this information, the contracting officer shall provide 

information for any investigations and enforcement to the following:

Program Manager

DoD CTIP Law Enforcement and Support

OUSD Personnel and Readiness (P&R) DHRA

4800 Mark Center Drive, Suite 06J25-01

Alexandria, VA 22350-4000

CORS can also report TIP violations as follows:

• Online at http://ctip.defense.gov/

• Online via the National CTIP Hotline website at 

http://www.polarisproject.org/

• By e-mail to CTIPReports@OSD.Pentagon.mil

• By telephone to the National CTIP Hotline at 888-373-7888.

Note: DoD has a zero tolerance policy for human trafficking. 

As the COR monitors the contractor and its employees, CTIP 

should rank among the COR’s chief priorities. Appendix A and 

the DVD provided in Attachment 1 include CTIP Checklists.

Note: The COR must correct and report any suspected 

violations or activities to the contracting officer (see FAR 

Subpart 22.17 and DFARS Subpart 222.17). 

Note: CORs should not personally investigate suspected 

incidents of TIP, but should forward all reported or suspected 

violations to the contracting officer immediately. 

Chapter 4

Ethics and Integrity
59 Defense Contingency COR Handbook

Transportation and Travel 

As a general rule, the Government must fund official travel of a 

Government employee. Therefore, sharing a vehicle with a contractor 

can pose a problem. Transportation is acceptable if it is included in 

a contract between the Government and a contractor. For example, 

contracts for onsite inspections can contain a provision requiring the 

contractor to make reasonable assistance available to the Government 

employee in carrying out those official duties. 

Awards and Certificates 

Awards programs are based on statute. Military programs are 

covered in 10 U.S.C. Sections 1124–1125, and 5 U.S.C. Sections 4511–

4513 address civilian contractors. There is no statutory authority 

for giving commander’s coins or similar nonmonetary incentive 

tokens to contractors; therefore, appropriated funds cannot be used 

to purchase coins that will be given to people other than Government 

employees. Furthermore, the Government cannot use certificates to 

recognize a contractor or individual contractor employees because 

this could complicate the source selection process on future contracts. 

Contractors may be recognized through a letter of commendation from 

the Government to the contractor organization, which can choose in 

turn to recognize an individual contractor employee. 

Procurement Integrity

The Procurement Integrity Act prohibits the Government (e.g., a 

COR) from disclosing contractor bid or proposal information (see FAR 

Subpart 3.104-3). This prohibition includes the following types of 

information: 

• Cost or pricing data

• Indirect costs, direct labor rates, and overhead rates

Chapter 4

Ethics and Integrity
60

• Proprietary information about manufacturing processes, operations, 

or techniques that is marked as such by the contractor.

Contractor bid or proposal information whose disclosure is not 

restricted or prohibited includes the following: 

• Information already disclosed or made available to the public

• Information disclosed by contractors17

• Information disclosed pursuant to a proper request from Congress, 

the Comptroller General, or the Inspector General if certain 

conditions are met; see FAR Subparts 3.104-4(f) and 5.403. 

These disclosure restrictions extend beyond contract award.

Compensation after Leaving Federal Employment 

The Procurement Integrity Act places a 1-year ban on accepting 

compensation from certain contractors after leaving Federal 

employment, as discussed in 41 U.S.C. Section 2104 and FAR 

Subpart 3.104-3(b). Procurement officials are required to report any 

employment contacts with contractors. If a member of the acquisition 

team (e.g., a COR) is participating personally and substantially in a 

competitive procurement valued in excess of the simplified acquisition 

threshold (SAT)—and if that person contacts or is contacted by a bidder 

or offeror in the procurement about employment—it is imperative that 

the Federal employee respond as follows:

• Promptly report the contact in writing to the employee’s supervisor 

and ethics counselor.

• Either reject the offer or disqualify oneself from further involvement 

in the procurement. 

17 FAR Subpart 3.104 does not restrict or prohibit a contractor from disclosing its own bid or 

proposal information, nor does it restrict or prohibit the recipient from receiving that information.

Chapter 4

Ethics and Integrity
61 Defense Contingency COR Handbook

Penalties 

Individuals who violate the Procurement Integrity Act18 may be 

subject to criminal and civil penalties: imprisonment of as long as 5 

years and up to a $50,000 fine per violation plus twice the amount of 

compensation an individual or organization received (or was offered) 

for the prohibited conduct. 

Under FAR Subpart 3.104-7, contractor penalties may include the 

following: 

• Cancellation of the procurement

• Disqualification of an offeror

• Voiding or rescission of the contract

• Suspension or debarment of either the official or offeror

• Administrative or contractual remedy commensurate with the 

severity and effect of the violation

• Any other appropriate actions in the interests of the Government. 

Personal Conflicts of Interest for Contractor Employees 

The Government’s increased reliance on contracted technical, 

business, and procurement expertise has increased the potential for 

personal COIs. Unlike Government employees, contractor employees 

are not required to disclose financial or other personal interests to 

the Government that might conflict with the responsibilities they are 

performing on behalf of the Government. The risk associated with 

personal COIs is directly related to the supplies or services being 

acquired and the type of contract used to secure the supply or service. 

The risk increases when contractor employees are involved with 

subjective judgmental work. 

Section 841 of the Duncan Hunter National Defense Authorization 

Act for Fiscal Year 2009 directed the Office of Federal Procurement 

18 41 U.S.C. Section 2105(a) and FAR Subpart 3.104-3.

Chapter 4

Ethics and Integrity
62

Policy (OFPP) to issue policy to prevent personal COIs by contractor 

employees performing acquisition functions closely associated with 

inherently governmental functions. DoD is following the policies and 

procedures of FAR Subpart 9.5. 

Organizational and Consultant Conflicts of Interest19

Government decisions in the procurement process must be objective 

in both fact and appearance. Favoritism or other improper motives 

have no place in the award or administration of public contracts. Thus, 

the Government, by statute and regulation, has prohibited activity that 

would improperly influence decision making or would appear to do so. 

Key areas of concern include organizational conflicts of interest (OCIs), 

bribery, gratuities, and gifts. 

OCIs are defined as circumstances in which a contractor might have

unequal access to Government information or might find its judgment

biased because of conflicting roles—and either of these situations 

could lead to an unfair competitive advantage. OCIs can occur when a 

contractor is providing engineering and technical direction or advisory, 

analysis, assistance, and evaluation services; preparing specifications

and work statements; or acting in a capacity that gives the contractor 

access to proprietary data. The potential for OCIs is a growing concern 

as the Government outsources more technical work to private companies 

and as the defense industry continues to consolidate. As the Government 

increasingly partners with industry, the opportunities for an OCI 

increase. Government personnel must ensure that perceived and actual 

OCIs do not occur.

19 USD (AT&L) Memorandum, “Personal Conflicts of Interest of Contractors’ Employees,”

November 24, 2009, https://acc.dau.mil/CommunityBrowser.aspx?id=336117.

Chapter 4

Ethics and Integrity
63 Defense Contingency COR Handbook

Bribery 

The term “bribery” means offering or giving something of value to 

a Government official—or a Government official soliciting or receiving 

something of value—in return for preferential treatment. Bribery is a 

criminal offense.20

Anti-Kickback Act

The Anti-Kickback Act of 1986 modernized and closed the loopholes 

of previous statutes that applied to Government contracts. The act does 

the following: 

• Prohibits both attempted and contemplated kickbacks, including any 

money, fees, commissions, credits, gifts, gratuities, things of value, 

and compensation of any kind

• Makes illegal the acceptance of a kickback “for improperly obtaining 

or rewarding favorable treatment”

• Prohibits kickbacks to prime contractors, prime contractor 

employees, subcontractors, and subcontractor employees. 

Congress intended for the act to embrace the full range of 

Government contracting.21

Note: “Any person who knowingly and willfully engages in conduct 

prohibited by the Anti-Kickback Act shall be imprisoned for not 

more than 10 years or shall be subject to a fine ... or both.”21

Note: CORs must never solicit gifts of any type, regardless 

of their nature or dollar value. 

20 18 U.S.C. Section 201.

21 41 U.S.C. Section 54 and Articles 92 and 134 of the Uniform Code of Military Justice. 

Chapter 4

Ethics and Integrity
64

A small number of contractors and potential contractors are willing 

to offer favors in exchange for business. CORs must understand that 

a bribe occurs when someone “directly or indirectly gives, offers, or 

promises anything of value to any public official, former public official, 

or person selected to be a public official, for or because of any official 

act performed or to be performed by such public official.” (Note that 

the value need not be monetary.) Giving or accepting a bribe is a crime 

punishable by a fine, imprisonment, or both.22

Gratuities 

Gratuities constitute a crime when they are offered or given to a 

Government official or when a Government official solicits or receives 

a gratuity, as addressed in 18 U.S.C. Section 201 and FAR Subpart 

3.2. To be categorized as a gratuity, the item being offered must be a 

thing of value and must be presented with the intent of corruption. As 

a participant in the acquisition process, the COR must constantly be on 

guard against actions that are improper or can be construed as such. 

Gifts 

The term “gift” includes any gratuity, favor, discount, entertainment, 

hospitality, loan, forbearance, or other item having monetary value. It 

includes services as well as gifts of training, transportation, local travel, 

lodging, and meals—whether provided in kind, by purchase of a ticket, 

through an advance payment, or by reimbursement after the expense is 

incurred. 

Contractor personnel may offer CORs welcome gifts upon arrival 

or souvenirs to take home (possibly in an attempt to gain favor) as 

long as the gift’s value is $20 or less per source per occasion, not to 

exceed $50 in aggregate from the same source in a calendar year.23

22 18 U.S.C. Section 201 and Articles 92 and 134 of the Uniform Code of Military Justice.

23 5 Code of Federal Regulations (C.F.R.) Section 2635.204.

Chapter 4

Ethics and Integrity
65 Defense Contingency COR Handbook

FAR Subpart 3.101‐2 specifies the overarching rule about accepting 

gifts from contractor personnel: do not accept any gratuity, gift, favor, 

entertainment, loan, or anything of value from a prospective or current 

contractor. In Government-contractor relationships, the COR must 

strictly avoid any COI or even the appearance of a COI. 

Remember that a COR should not accept a gift in return for being 

influenced to perform an official act. When in doubt, the COR should 

call an ethics official about accepting a gift.

Reporting Gifts

If a gratuity24 is delivered to a COR (e.g., left on the COR’s desk or 

car), the COR must return it. If a contractor insists on giving the COR a 

gratuity, the COR must take one of the following actions: 

• Attempt to persuade the contractor to take back the gratuity. 

Explain to the contractor that CORs cannot accept gratuities, and 

note the repercussions if the gratuity is accepted. 

• Pay the fair market value of the item, call the contracting office, or 

consult the legal office. 

• As a last resort, if the contractor appears to be offended, do the 

following: 

» Accept the gratuity. 

» Contact legal counsel immediately. 

» Safeguard the gratuity. If necessary, have the finance officer 

put the gratuity in a safe, and obtain a receipt from the finance 

officer. 

» Turn the gratuity over to counsel. 

» Write a memorandum for the record (MFR) that describes 

the circumstances and indicates the approximate value of the 

gratuity. Mention in the MFR that legal advice was obtained. 

24 FAR Subpart 3.203, “Reporting Suspected Violations of the Gratuities Clause,” includes 

reporting procedures.

Chapter 4

Ethics and Integrity
66

» If the gratuity is perishable (e.g., food or flowers), share the 

gratuity within the office, or dispose of it. Be cautious when 

consuming food from unknown sources. 

If there is any doubt about whether a gift should be accepted, the 

COR should consult either the ethics advisor or the legal office. If 

neither is available, the COR should contact the contracting officer.

Note: Whenever a contractor delivers a gratuity (e.g., leaves the 

gratuity on the COR’s desk, slides it under the door), the COR 

must return it. If that is not possible, the COR must document 

the incident and turn over the gratuity to the ethics adviser or 

legal office, with an explanation of the COR’s suspicions. The 

COR must play it safe and be safe. Whenever in doubt, consult 

the ethics adviser or legal office. 

Protection of the Integrity of the Acquisition Process 

Private firms must be able to compete for the Government’s business 

on a scrupulously fair basis. Fairness is a prerequisite of Government 

acquisition because of the Government’s unique position as the 

representative of the citizens of the United States. Fairness also helps 

ensure that the Government will obtain its supplies and services at the 

best price available. Government personnel who are associated with 

the acquisition process have a responsibility to protect its integrity by 

maintaining fairness in the Government’s treatment of all firms. 

At numerous points in the acquisition process, the potential to lose or 

damage this fairness is elevated, as indicated in the following examples: 

• Pre-solicitation. Giving a vendor (or vendors) access to information 

on a particular acquisition (especially the specification or work 

Chapter 4

Ethics and Integrity
67 Defense Contingency COR Handbook

statement) before such information is available to the business 

community at large can give the vendor receiving the information 

an unfair advantage over other vendors. 

• Specifications. Intentionally writing an unnecessarily restrictive 

specification or work statement that would effectively exclude the 

products or services of a vendor (or increase the prospects for award 

to another vendor) is an obviously unfair practice. It not only gives 

an advantage to one or more vendors over others, but also restricts 

competition and makes it more likely that the Government will 

ultimately pay a higher price. 

Chapter 4: Key Points

1. When performing COR functions, each individual must adhere to 

the highest ethical standards. 

2. The COR should contact the appropriate ethics attorney if questions 

or concerns arise regarding any dealings with contractors.

3. CORs must understand specific post-employment restrictions when 

performing as a COR.

4. Key ethics and integrity areas of concern include the following:

a. Procurement Integrity Act

b. Personal COIs

c. Gratuities, gifts, and the Anti-Kickback Act.

Chapter 4

Ethics and Integrity
68 Chapter 4

Notes
CHAPTER

CONTENTS

The Acquisition Team .......71

Contracting Officer .......71

Requiring Organization.71

Legal Counsel ..............72

COR .............................72

Quality Assurance 

Representative .............73

Contractor.....................73

GovernmentFurnished Property.......73

Framework for 

Team Success ..................74

The Acquisition Process ...74

Chapter 5: Key Points.......76

Chapter 5

The Acquisition Team

and Process
70 Chapter 5

The Acquisition Team and Process

The acquisition team consists of all participants in the acquisition 

process, including the requiring organization/COR supervisor, 

contractor, finance personnel, contracting officer, legal counsel, 

COR, resource manager, quality assurance specialist (QAS), and others 

as applicable. No one person has all the skills necessary for successful 

contract management. It requires a team with members who each have 

specialized expertise and responsibilities. This chapter identifies and 

defines the roles of acquisition team members and the importance of 

team cohesion and cooperation to ensure the successful delivery of 

required supplies and services. Successful acquisition teams typically 

assign specific duties, develop performance measures and milestones, 

and hold team members individually and collectively accountable. 

Everyone ensures that the team has the target in sight. Figure 2

illustrates the acquisition team functions involved in successfully 

completing the acquisition process.

Figure 2. Acquisition Process

Phase I: Acquisition Planning

Phase II: Contract Formation and Award

Phase III: Contract Performance

Resource 

Management

Contractor/

Finance

Requiring

Organization

Contracting/

Legal
71 Defense Contingency COR Handbook

Chapter 5

The Acquisition Team and Process

The Acquisition Team

Contracting Officer 

The contracting officer is the only individual authorized to enter 

into, administer, change, and terminate a contract. Contracting 

officers are the only ones who can legally bind the Government, make 

changes to the contract, or terminate the contract. Contracting officers 

are responsible for ensuring that all contract actions comply with 

appropriate laws, executive orders, regulations and other applicable 

procedures, and approvals. Appointed or designated through a warrant 

with dollar limitations, contracting officers may bind the Government 

only to the extent of the authority delegated to them. The contracting 

officer is the only person authorized to designate CORs. 

Depending on the nature of the effort and agency procedures, a 

contract might require the following different types of contracting 

officers: 

• Procuring contracting officer, who handles all planning and contract 

actions up to and including award of a contract

• Administrative contracting officer, who assumes responsibility for 

administering day-to-day contractual activities after award is made

• Termination contracting officer (TCO), who assumes responsibility 

for negotiating any termination settlements with the contractor. 

Sometimes all three responsibilities are vested in one person.

A contract specialist can also be assigned to assist with contract 

issuance and administration; however, the contract specialist does not 

hold the same authority as a contracting officer.

Requiring Organization 

The requiring organization is the entity that has a requirement for 

supplies or services and requests the initiation of the acquisition. The 
72

requiring organization has personnel who are responsible for developing 

command resource requirements, identifying sources of funding, 

determining costs, acquiring funds, distributing and controlling funds, 

and tracking costs and obligations. CORs routinely interface among the 

requiring organization (which is most likely the COR’s organization), 

contractor, and contracting officer. 

Legal Counsel 

The legal counsel provides legal advice to the acquisition team and 

reviews acquisition documents for legal sufficiency. 

COR 

As noted previously, the COR is critical in ensuring that the 

requiring organization will be able to meet its mission. The COR is 

nominated by the requiring organization and is designated in writing 

by the contracting officer. Both the COR and the COR supervisor 

shall acknowledge the COR appointment. The contracting officer shall 

notify the contractor about the COR assignment. The goal of the COR 

is to manage the contract and to ensure that contractor nonperformance 

is immediately brought to the attention of the requiring activity and 

the contracting officer. The COR is responsible for ensuring that the 

requiring activity receives the goods and services for which it paid. The 

COR, who will have technical expertise related to the requirement, shall 

monitor the technical or performance aspects of the contract and shall 

perform other duties specified by the letter of appointment/designation. 

Ideally, the COR participates in pre-award activities (such as defining 

the requirement) to become familiar with all aspects of the contract. 

The COR acts as the eyes and ears of the contracting officer. Appendix 

F furnishes additional information on COR qualifications and training. 

Chapter 5

The Acquisition Team and Process
73 Defense Contingency COR Handbook

Quality Assurance Representative

When a contract is delegated to the DCMA to administer, the COR 

will work closely with the quality assurance representative (QAR). 

The QAR ensures that the contractor complies with contractual 

requirements, evaluates and documents contractor performance, 

follows up with the contractor on documented deficiencies, and 

provides input for the ACO. 

Contractor 

After the contract is awarded, the contractor becomes a member of the 

acquisition team. FAR Subpart 46.105, “Contractor Responsibilities,” 

directs the contractor to be responsible under the contract for the 

following: 

• Controlling the quality of supplies or services

• Tendering to the Government for acceptance only those supplies or 

services that conform to contract requirements

• Maintaining evidence that the supplies or services conform to 

required quality requirements, are within the expected cost, and are 

delivered on time

• Furnishing such information to the Government. 

Government-Furnished Property

GFP must be identified in the contract. The contracting officer may 

assign management of GFP to the COR. If a Government property 

administrator is also assigned to the contract, the contracting officer, 

COR, and Government property administrator shall coordinate GFP 

responsibilities. 

Chapter 5

The Acquisition Team and Process
74

Framework for Team Success 

A successful contract often depends on a successful acquisition 

team. The key framework for a successful acquisition team is as follows: 

• Partnership 

• Informed decisions 

• Sound planning 

• Efficient execution. 

Note: The COR is responsible for bringing any issues or 

performance problems to the attention of the contracting officer. 

The Acquisition Process

Figure 3 depicts a generalized acquisition process and its relationship 

to the responsibilities of each member on the acquisition team. (For 

example, items in red boxes are the responsibility of the requiring 

organization.)

Chapter 5

The Acquisition Team and Process
75 Defense Contingency COR Handbook

Figure 3. Acquisition Process by Organization25

25 The Acquisition Review Board (ARB) normally is hierarchically located at or above the level of 

the requiring organization.

Chapter 5

The Acquisition Team and Process
76

The acquisition process begins with acquisition planning 

(requirements definition and funding); proceeds to solicitation, source 

selection, and award; and continues to contract administration, which 

results in performance and deliveries. After COR acceptance of the 

supply or service (if the contracting officer authorizes that duty in 

the COR letter of appointment/designation), the acquisition process 

concludes with invoicing, payment, and closeout. 

The COR’s primary roles occur during the contract administration 

segment of the acquisition process. The COR should be fully engaged 

with the relevant leadership so that leaders are aware of any potential 

issues and problems. At the same time, the COR should also coordinate 

with the contracting officer to ensure that the contracting officer is 

fully engaged with any issues or concerns involving the contract. The 

COR monitors contractor performance, ensures quality, documents 

performance, supports the contracting officer with any options or 

modifications, and assists the contracting officer with contract closeout.

Chapter 5: Key Points

1. The acquisition team consists of all participants in the acquisition 

process: 

a. Contracting officer

b. Requiring organization

c. Legal counsel

d. COR

e. Quality assurance representative

f. Property administrator

g. Others, as applicable

h. Contractor.

2. The acquisition process includes the full spectrum of a procurement, 

including pre-award (e.g., developing the requirement) and postaward (e.g., managing the disposition of equipment, final payment, 

closeout) activities.

Chapter 5

The Acquisition Team and Process
CHAPTER

CONTENTS

Categories and 

Types of Contracts.............78

Categories of Contracts...78

Types of Contracts .......78

Fixed-Price 

Contracts....................79

Cost-Reimbursement 

Contracts....................80

Contracts for 

Commercial Items ......80

Contract Structure .............81

UCF Part I:

The Schedule ...............82

UCF Part II:

Contract Clauses..........83

UCF Part III:

List of Documents, 

Exhibits, and 

Other Attachments........85

UCF Part IV:

Representations and 

Instructions ...................85

Order of Precedence .........86

Contract Structure: 

Solicitations and 

Contracts for 

Commercial Items..............86

Structure: Task Orders 

or Delivery Orders .............87

Contract Language Rules....87

Contract Numbers .............88

Chapter 6: Key Points........89

Chapter 6

Contract Structure
78

Categories and Types of Contracts

As noted in FAR Subpart 16.103(a), the objective of Federal 

contracting is to negotiate a contract type and price (or estimated 

cost plus fee or profit) that will result in a reasonable contractor 

risk and provide the contractor with the greatest incentive to perform 

eff﻿iciently and economically. 

Categories of Contracts 

CORs deal with contracts for supplies, services, and construction. 

In addition to the general duties discussed in Chapter 5, each type of 

contract adds specifically related duties. The COR’s duties vary with 

the category of contract as follows: 

• Supplies. DoD contracts for supplies acquire an identifiable end 

item. The item may be an individual component (e.g., paint or 

lumber) or an entire system (e.g., a computer). 

• Services. DoD contracts for services directly engage a contractor’s 

time and effort to perform an identifiable task (e.g., transportation or 

latrine cleaning). 

• Construction. DoD construction contracts acquire the construction, 

alteration, improvement, or repair of real property (e.g., buildings, 

airfields, and roads). COR duties tend to be the most complex for 

construction contracts. 

Chapter 10 and Chapter 11 address COR duties specific to services 

and construction contracts, respectively. 

Types of Contracts 

The Government uses different types of contracts to acquire the 

supplies and services needed to support mission objectives. The 

contract type depends on the requirement to be met. Contract types 

vary according to the following: 

Chapter 6

Contract Structure
79 Defense Contingency COR Handbook

• Degree and timing of the responsibility that the contractor assumes 

for the costs of performance

• Amount and nature of the profit incentive offered to the contractor 

for achieving or exceeding specified standards or goals. 

The contracting officer considers these factors along with the SOO, 

SOW, PWS, or specifications when deciding which contract type is best 

suited to a specific procurement. The contracting officer also considers 

the level of risk involved in performing the contract work, how much 

risk the contractor will assume (and the impact of that risk on price), 

and whether it is in the Government’s best interests to assume part of 

the risk. 

Figure 4 compares the risks of firm-fixed-price (FFP) contracts with 

those of cost-reimbursement contracts. Each of these contract types is 

discussed in the rest of the sections in this chapter.

Fixed-Price Contracts

FFP contracts are the most common type of contract that CORs 

will encounter in a contingency environment. When the Government 

has a specific well-defined requirement (e.g., a need for certain office 

Figure 4. Risks of Firm-Fixed-Price Contracts versus Cost-Reimbursable Contracts

FFP

Low

High

Cost

Reimbursable

High

Low

RISK

Government

Contractor

Chapter 6

Contract Structure
80

supplies), it uses a fixed-price contract. The price remains fixed 

throughout the life of the contract unless the Government makes a 

change. The Government’s only obligation is to pay the price agreed 

to in the contract at the time of award, regardless of whether the costs 

to the contractor increase or decrease during the period of performance 

(POP). When a product (e.g., petroleum) has a history of large price 

increases, the Government may use a fixed-price contract with an 

economic price adjustment (known as an EPA). The fixed price with 

EPA is still a fixed-price contract because the limits and conditions are 

specified in the contract. 

Cost-Reimbursement Contracts

When the Government cannot provide sufficient detailed information 

about a requirement, it must assume some of the cost risk and use a 

cost-reimbursement contract. Instead of paying a predefined price, the 

Government reimburses the contractor for all allowable, allocable, and 

reasonable costs, defined as follows: 

• Allowable costs are not prohibited by statute or regulation. 

• Allocable costs add value and are directly related to a particular 

contract. 

• Reasonable costs are expenses that a prudent business person 

would pay. 

Contracts for Commercial Items

There is a Federal preference for acquisition of commercial items. 

FAR Part 12 establishes acquisition procedures that closely resemble 

those of the commercial marketplace to facilitate the acquisition of 

commercial items. Commercial items are defined as any item or service 

that is (1) customarily used by the general public or nongovernmental 

entities for purposes other than governmental purposes, and (2) has 

Chapter 6

Contract Structure
81 Defense Contingency COR Handbook

been sold, leased, or licensed (or offered for sale, lease, or license) to 

the general public.

Contract Structure

Government solicitations and contracts, other than those for 

commercial items, are generally organized in accordance with the 

Uniform Contract Format (UCF), which specifies the distinct sections 

of a contract as well as their sequence.26 As shown in Figure 5, the 

contract is formatted into Parts I, II, III, and IV.

26 DFARS Subpart 204.70, “Uniform Procurement Instrument Identification Numbers,” and

DFARS Subpart 204.71, “Uniform Contract Line Item Numbering System.”

Section A

Contract

Form

Part I

The Schedule

Part II

Contract Clauses

Part IV (Solicitation only)

Representations and Instructions

Part III

List of Documents, Exhibits, and Other Attachments

Read this section

very carefully.

Section B

Supplies

or Services

and

Prices/Costs

Section C

Description

Specs

and

Statement

of Work

Section D

Packaging

and

Marketing

Section E

Inspection

and

Acceptance

Section F

Deliveries

or Performance

Section G

Contract

Admin

Data

Section H

Special

Contract

Reqmts.

Section I

Contract

Clauses

Section J

List of

Attachments

Section K

Reps

and

Certs

Section L

Instructions

Conditions

& Notices

Section M

Evaluation

Factors

for Award

Figure 5. Contract Structure

Chapter 6

Contract Structure
82

UCF Part I: The Schedule 

Section A, Solicitation/Contract Form, contains basic information 

such as the issuing office, address, and contract number. Normally, a 

Standard Form (SF) 33 is used as the solicitation, offer, and award page 

for sealed bids. An Optional Form (OF) 308 or SF 33 may be used for 

Requests for Proposals (RFPs). SF 33 can also be used as the face page 

of the contract. 

Section B, Supplies or Services and Prices/Costs, contains a brief 

description of the supplies or services, quantity required, and associated 

prices. CORs should read this section very carefully. 

Section C, Description/Specifications/Statement of Work, contains 

a detailed description of the required supplies or services. In contracts 

for services, Section C will contain the SOO, SOW, or PWS. 

Note: Section C of the contract (the SOW) defines the technical 

and performance requirements of the contract. CORs should 

read this section very carefully.

Section D, Packaging and Marking, contains packaging, packing, 

preservation, and marking requirements. 

Section E, Inspection and Acceptance, contains inspection, 

acceptance, quality assurance, and reliability requirements. 

Chapter 6

Contract Structure
83 Defense Contingency COR Handbook

Note: If inspection/acceptance is one of the COR’s designated 

functions, the COR must inspect deliverables in accordance 

with the inspection plan to determine satisfactory compliance 

with the contract. The COR must verify that the contractor 

documents all required inspections in records that include, at 

a minimum, the nature and number of planned observations, 

number of actual observations made, and number and type of 

deficiencies found. The inspection records also must note the 

acceptability of the services and actions taken to correct the 

deficiencies. The COR must ensure that the contractor complies 

with this contract requirement. Remember, it is too late for the 

COR to reject deliverables after signing the receiving report. 

Section F, Deliveries or Performance, contains the time, place, and 

method of delivery or performance. 

Section G, Contract Administration Data, contains the required 

accounting and appropriation data and the required contract 

administration information (or instructions other than those on the 

solicitation form). 

Section H, Special Contract Requirements, contains a clear 

statement of any special contract requirements that are not included in 

Part I, Part II, or any other part of the contract (e.g., ordering details for 

task orders or delivery orders). This section requires very close reading 

by the COR. 

UCF Part II: Contract Clauses 

Section I of Part II of the contract, although it is commonly viewed as 

standard information, cannot be overlooked because it contains clauses 

defining the rights and responsibilities of the contracting parties. Part 

II also contains clauses required by procurement regulations or laws 

Chapter 6

Contract Structure
84

that pertain to the procurement. The more prominent clauses in Part II 

include the following:

• Changes clauses (FAR Subparts 52.243-1 through 52.243-4), which 

enable the Government to make changes to the contract during the 

POP as long as those changes fall within the contract’s scope in one 

or more of the following:

» Drawings, designs, or specifications when the supplies to be 

furnished will be specially manufactured for the Government in 

accordance with the drawings, designs, or specifications

» Method of shipment or packing

» Place of delivery. 

The contractor is entitled to an equitable adjustment to the contract 

if the change increases contract costs or lengthens performance 

time. These clauses are probably the most powerful clauses in the 

Government’s arsenal of standard terms and conditions. 

• Termination for Convenience clauses (FAR Subparts 52.249-1 

through 52.249-7), which permit the Government to terminate the 

contract without cause (in part or in its entirety) at any time when 

doing so is in “the Government’s best interest.” When these clauses 

are exercised, the contractor is entitled to recover certain costs 

associated with its performance to date and with the timely and 

orderly ending of the terminated portion of the contract. 

• Default clauses (FAR Subparts 52.249-8 and 52.249-9), which permit 

the Government to terminate a contract if the contractor breaches 

the contract by failing to (1) deliver the supplies or perform the 

services within the time specified in the contract; (2) make progress, 

thereby endangering performance of the contract; or (3) perform any 

other material provision in the contract. If the Government intends 

to exercise its right to terminate the contract under the second or 

third circumstance, the Government first must notify the contractor 

Chapter 6

Contract Structure
85 Defense Contingency COR Handbook

in writing and allow the contractor to cure its deficient performance 

(if at least 10 days remain in the contract delivery schedule). If the 

performance deficiencies are not corrected, the contracting officer 

may terminate the contract for default. Under fixed-price contracts, 

the Default clauses entitle the Government to reprocure the supplies 

or services required under the terminated contract and to charge the 

excess costs to the terminated contractor. 

• Contract Terms and Conditions, Commercial Items clause 

(FAR Subpart 52.212-4), which incorporates all major contract 

administration topics (i.e., changes, disputes, invoicing, payments, 

and termination). 

UCF Part III: List of Documents, Exhibits, and Other 

Attachments 

Section J, List of Documents, Exhibits, and Other Attachments, in 

which the contracting officer lists the title of each exhibit or attachment 

included in Part III. The following attachments are the most common: 

• SOO, SOW, or PWS (if not included under Section C)

• GFP inventory

• Contract Data Requirements List (CDRL)

• Security requirements

• Award/incentive fee plan. 

UCF Part IV: Representations and Instructions 

Part IV appears only in the solicitation and is not transferred to the 

contract. 

Section K, Representations, Certifications, and Other Statements of 

Offerors, contains solicitation provisions that require representations, 

certifications, or submission of other information by bidders, offerors, 

or quoters. 

Chapter 6

Contract Structure
86

Section L, Instructions, Conditions, and Notices to Offerors or 

Respondents, contains information to guide bidders, offerors, or quoters 

in the preparation of bids, offers, and quotations, respectively. 

Section M, Evaluation Factors for Award, contains the evaluation 

factors and significant subfactors that the Government will use to 

evaluate offers. It also specifies the relative importance of these 

evaluation factors and subfactors to the Government. 

Order of Precedence 

In the event of an inconsistency in the contract, FAR Subpart 52.214-

29, “Order of Precedence—Sealed Bidding,” or FAR Subpart 52.215-8, 

“Order of Precedence—Uniform Contract Format (UCF),” gives 

precedence in the following order: 

• Schedule, excluding the specifications (Sections A through H)

• Representations and Other Instructions (Sections K through M)

• Contract Clauses (Section I)

• Other Documents, Exhibits, and Attachments (Section J)

• Specifications. 

Contract Structure: Solicitations and Contracts for 

Commercial Items

Solicitations and contracts for commercial items are significantly 

simpler than those for noncommercial items. The solicitation and 

contract format consists of the following elements:

• SF 1449, Solicitation/Contract/Order for Commercial Items (which 

can include a separate continuation sheet as needed)

• Prominent contract clauses, including the following:

» FAR Subpart 52.212-4, “Contract Terms and Conditions—

Commercial Items,” by reference (see SF 1449, Block 27a)

» Any addendum to FAR Subpart 52.212-4

» FAR Subpart 52.212-5, “Contract Terms and Conditions Required 

to Implement Statutes and Executive Orders.”

Chapter 6

Contract Structure
87 Defense Contingency COR Handbook

• Any contract documents, exhibits, or attachments

• Prominent solicitation provisions, including the following:

» FAR Subpart 52.212-1, “Instructions to Offerors—Commercial 

Items”

» Any addendum to FAR 52.212-1

» FAR Subpart 52.212-2, “Evaluation—Commercial Items,” or 

other description of evaluation factor for award, if used

» FAR Subpart 52.212-3, “Offeror Representations and 

Certifications—Commercial Items.”

Structure: Task Orders or Delivery Orders

Task orders or delivery orders may be placed by using any indefinitedelivery contract and must contain the following information:

• Date of order

• Contract number and order number

• For supplies and services, contract item number and description, 

quantity, and unit price (or estimated cost or fee)

• Delivery or performance schedule

• Place of delivery or performance (including consignee)

• Packaging, packing, and shipping instructions

• Accounting and appropriation data

• Payment and payment office information, if not specified in the 

contract.

Contract Language Rules 

Some terms used in contracts have specific meanings, such as the 

following: 

• “Includes” means including, but not limited to. 

• “May” means is permitted to or is authorized to.

• “May not” means is not permitted to or is not authorized to. 

• “Shall,” used in the mandatory and imperative sense, means the 

contractor must perform the specified action. 

Chapter 6

Contract Structure
88

Contract Numbers 

Because the COR will frequently reference the contract, it is 

important to be familiar with the structure of a contract number, 

also called a Procurement Instrument Identification (PII) number. A 

contract number (e.g., N00062-90-C-0001) consists of 13 alphanumeric 

characters grouped to convey the following information: 

• Positions 1 through 6 constitute the DoD Activity Address Code 

(DoDAAC), which identifies the department/agency and office 

issuing the contract.27 

• Positions 7 and 8 are the last two digits of the fiscal year in which 

the PII number is assigned.

• Position 9 is a letter indicating the type of instrument, as follows:

» A: blanket purchase agreement

» C: contracts of all types

» D: indefinite-delivery contract

» F: order against a Federal Supply Schedule (FSS) or other 

contract awarded by a non-DoD Federal agency

» P: purchase order.28 

• Positions 10 through 13 represent a four-digit serial number assigned 

by the contracting activity. Numbers are assigned sequentially. 

• Supplementary numbers follow the basic PII number and identify 

the following:

» Amendments to solicitations

» Modifications to contracts and agreements, including provisioned 

item orders

27 DoDAAC is described at http://www2.dla.mil/j-6/dlmso/elibrary/Documents/

AssignedDoDAAC_RoutingIdentifierCode_RIC.html.

28 DFARS Subpart 204.7003, “Basic PII Number,” includes additional codes, if needed.

Chapter 6

Contract Structure
89 Defense Contingency COR Handbook

» Calls or orders under contracts, basic ordering agreements, or 

blanket purchase agreements that are issued by the contracting 

office or by a DoD activity other than the contracting office, 

including DoD orders against an FSS.29 

Chapter 6: Key Points

1. The Government uses different contract types, depending on the 

following: 

a. Degree and timing of the responsibility assumed by the contractor 

for the costs of performance

b. Amount and nature of the profit incentive offered to the contractor 

for achieving or exceeding the specified standards or goals.

2. Performance risk is higher for the Government under an FFP 

contract, while cost-reimbursable contracts assign a higher cost risk 

to the Government. The inverse is true for contractors under these 

two broad contract types (i.e., performance risk is lower for the 

contractor under FFP contracts, while cost-reimbursable contracts 

assign a lower cost risk to the contractor).

3. The UCF is used for contracts awarded under FAR Parts 14 and 15. 

The UCF provides a structured, logical, and standardized approach 

for developing the contract documentation and administering the 

subsequent contract. DFARS Subparts 204.7003 and 204.7004 

discuss the numbering conventions for solicitations, contracts, 

amendments, modifications, and task orders and delivery orders.

4. Some contract principles relate to contract interpretation and the 

force and effect of certain words (e.g., “may” and “shall”).

29 DFARS Subpart 204.7003 includes a more complete explanation of supplementary numbers.

Chapter 6

Contract Structure
90 Chapter 6

Notes
CHAPTER

CONTENTS

Post-Award Orientation 

(Kickoff) Meeting...............94

Conducting the

Post-Award 

Orientation Meeting ......95

Topics for Discussion 

at the Post-Award 

Orientation Meeting ......95

Contractor/System 

Compliance.......................96

Contractor

Accountability 

through SPOT...............96

Government Property .......97

Property 

Responsibilities ............98

Reporting, Reutilization, 

and Disposition of 

Government Property ...99

Performance 

Monitoring.........................99

Contract 

Modifications...................100

Reasons for Contract 

Modifications ..............100

Types of Contract 

Modifications ..............100

Contract Options.............101

Contract Changes...........102

Risks to CORs................103

Constructive 

Changes .....................103

Unauthorized 

Commitments .............104

Chapter 7

Contract

Administration
CHAPTER

CONTENTS (CONT.)

Ratification of 

Unauthorized 

Commitments .............106

Ratification Process....107

Technical Evaluation.......108

Cost/Price Evaluation .....108

Completion 

and Payment ..................109

Acceptance.................109

Documentation 

of Acceptance............. 110

Wide Area Workflow ....... 110

Nonconformance ............ 111

Remedies for 

Nonconformance ........ 111

Acceptance of 

Nonconforming 

Supplies or Services... 112

Invoice and Payment...... 113

Content of a 

Valid Invoice ............... 114

Voucher and 

Invoice Review ........... 115

Overtime......................... 117

Interest Penalties............ 117

Warranties ...................... 118

Implied Warranties...... 118

Express Warranties .... 118

Contract Closeout........... 119

Do’s and Don’ts:

Contract 

Administration.................120

Chapter 7: Key Points.....121
93 Defense Contingency COR Handbook

Contracting is usually carried out in three stages: contract 

planning (pre-award and solicitation), contract formation 

(evaluation and award), and contract management (contract 

administration). Figure 6 depicts the major phases of the entire 

contracting process. The COR (or the COR nominee) might become 

involved in all stages of this process. For example, even before the 

contracting officer prepares the COR letter of appointment/designation, 

management might ask a nominee to provide technical expertise to 

the Pre-Award and Solicitation Phase and the Evaluation and Award 

Phase of the process. (Appendix D includes further discussion of 

the COR nominee’s involvement in these two phases.) The Contract 

Administration Phase begins the official duties of a COR and is the 

focus of this chapter. 

Figure 6. The Contracting Process

1. Pre-award and Solicitation

The Contracting Process

2. Evaluation and Award

3. Contract Administration

Requirements

Determination

Post-Award

Orientation

(Kick-Off)

Contractor/

System

Compliance

Performance

Monitoring

Contract

Modifications

Completion/

Payment/Closeout

Market

Research

Acquisition

Planning

Competitive 

or Sole Source

Request

for Proposal

Evaluation and Negotiation Selection Award

Chapter 7

Contract Administration
94

Contract administration comprises the activities performed by 

Government officials after a contract is awarded. Contract administration 

encompasses all dealings between the Government and the contractor, 

from contract award until the work is completed and accepted by the 

Government, payment is made, any disputes are resolved, and contract 

closeout is completed. 

The focus of contract administration is obtaining supplies and 

services of the required quality, on time and within the expected cost. 

Although the contract’s legal requirements take precedence, the COR 

is essential to ensuring that the Government is getting what it paid for 

and also that the requiring organization can fulfill its mission through 

the contract vehicle that the COR is overseeing. Any ambiguities, 

disputes, or disagreements between the COR and the contractor must 

immediately be brought to the attention of the contracting officer 

because the COR does not have the authority to make any changes to the 

contract that affect price, quantity, or delivery. The skill and judgment 

of the contracting officer and the COR often are required to protect the 

Government’s interests during the contract administration process. 

Post-Award Orientation (Kickoff) Meeting

Before a contractor begins working on the contract, the contracting 

officer must ensure that the contractor understands the following: 

• Contract terms and conditions

• Security requirements

• Value engineering provisions

• Inspection, acceptance, and invoicing procedures

• Authority, responsibilities, and limitations of the COR.

The best way to ensure that the contractor and the Government have 

a complete understanding of their roles is for the contracting officer to 

conduct a post-award orientation (also called a kickoff meeting). At this 

Chapter 7

Contract Administration
95 Defense Contingency COR Handbook

meeting, all interested parties, including the COR, discuss the contract 

and the SOO, SOW, or PWS. This discussion helps both the contractor 

and the Government to (1) achieve a clear and mutual understanding 

of contract requirements, terms, and conditions and (2) identify and 

resolve potential or actual problems. However, a post-award orientation 

is neither a substitute for a contractor that fully understands the 

requirement nor a means to alter the final agreement resulting from any 

negotiations leading to contract award. 

The decision to conduct a post-award orientation is up to the 

contracting officer, in accordance with FAR Part 42. The contracting 

officer can convene a meeting of the multifunctional team to outline 

individual roles and responsibilities, which might have changed slightly 

since contract award. In some circumstances, a letter or other form 

of written communication to the contractor may be adequate in lieu 

of a full post-award orientation. Such a letter should identify the 

Government representative responsible for administering the contract 

and should cite any unusual or significant contract requirements. 

Conducting the Post-Award Orientation Meeting 

The orientation should be held as soon as possible after contract 

award, but always before work begins. Normally, the orientation should 

be scheduled at a date and time acceptable to the contractor and then 

should be arranged with other attendees. Government attendees should 

include any personnel who have a vested interest in the successful 

completion of the contract. 

Topics for Discussion at the Post-Award Orientation 

Meeting 

The post-award orientation gives everyone the opportunity to clear 

the air about any questions concerning the contract. The meeting 

demonstrates to the contractor that the Government expects to receive 

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the supplies or services covered by the contract, that the contractor 

is responsible for delivering the supplies or services, and that the 

Government will commit people and resources to ensure compliance 

with the contract. After the meeting, the contracting officer prepares a 

report that summarizes (for the record) the issues discussed, optionally 

using DD Form 1484, Post-Award Conference Record. This meeting can 

also be used to ensure that everyone clearly understands the roles and 

authorities of all Government participants during contract performance. 

For example, all personnel must understand that the contracting officer 

is the only individual authorized to make changes to the contract. 

In addition, the post-award orientation meeting is an ideal setting for 

discussing formal or informal partnering agreements, use of contractor 

metrics, and importance and use of past performance information. The 

contractor must understand that it is part of the multifunctional team 

and that it has roles and responsibilities, just like any other member of 

the team. 

Contractor/System Compliance

In preparation for contract monitoring, the COR must be aware of 

the contract requirements and regulatory standards that relate to the 

supply or service being acquired. 

Contractor Accountability through SPOT 

The Synchronized Predeployment Operational Tracker (SPOT)30

is a web-based joint database used to track contractor personnel who 

accompany the U.S. Armed Forces. SPOT is the system currently 

mandated for tracking contractor personnel movements within the 

forward area and for validating individual contractor personnel, 

authorization for access to specific DoD facilities, and individual 

30 The SPOT database can be accessed at https://spot.altess.army.mil.

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eligibility for specific DoD support services. SPOT is the authoritative 

source for near-real-time reporting on globally deployed personnel—by 

name, by location, and by contract. SPOT also supports tracking the use 

of, and accountability for, DoD equipment in the custody of contractors. 

Contractors are responsible for entering employee data in SPOT. The 

database continues to evolve and ultimately will incorporate secure 

functionality and web services with additional authoritative data sources. 

Currently, DoD, the Department of State, and the U.S. Agency 

for International Development use SPOT in Iraq and Afghanistan. If 

SPOT reporting is required in the contract, CORs should work with 

the contractor to ensure timely and accurate reporting, assuming that 

the duty is authorized by the contracting officer in the COR’s letter of 

appointment/designation. 

All contractors must have a letter of authorization (LOA). SPOT 

generates the LOA, which is digitally signed by the appropriate 

Government agency’s contracting officer or COR (if authorized by the 

contracting officer). LOAs can be retrieved and printed in portable 

document format (.pdf) files. LOAs are supplied to contingency 

contractor personnel, who carry and present them to obtain Governmentfurnished services in the area of operations to which the personnel are 

assigned. Such contractor personnel must present official identification 

with the LOA. Appendix B includes a sample LOA.

Government Property

Government property is defined as all property owned or leased by 

the Government and includes both GFP and contractor-acquired property 

(CAP) to which the Government holds title. Normally, contractors 

furnish all equipment and materials necessary to perform Government 

contracts. However, sometimes the best interests of the Government lie 

in providing GFP to the contractor for performance of a contract.

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Property Responsibilities

In many situations, a certified property administrator, industrial 

property management specialist, or plant clearance officer acts on 

behalf of the contracting officer to oversee Government property in 

the possession of a contractor. In such instances, a COR might be 

assigned to help manage GFP used by the contractor, often acting as 

a communication liaison among the contracting officer, Government 

property personnel, and the contractor. This approach does not mean 

that all contracts encompassing Government property and assigning 

no property administrator require the COR to fulfill that function; the 

contracting officer or cognizant ACO might accomplish that function.

If a certified property administrator is not assigned, a COR might 

be assigned to help the contracting officer manage GFP used by the 

contractor. This approach is often used for posts, camps, and stations or 

related base support contracts. In this instance, the COR’s duties might 

be limited to the following functions:

• Ensuring that the contractor receives the GFP identified in the 

contract

• Alerting the contracting officer about any delays in GFP being 

provided to the contractor (or other instances where GFP-related 

issues might impact contractor performance or delivery schedule)

• Following up on Government directions for the contractor to report 

loss, theft, damage, or destruction (LTDD) of GFP during contract 

performance to the contracting officer

• Confirming that the contractor carries out the disposition instructions 

from the contracting officer for the disposal of Government property.

If a COR is assigned GFP management functions that involve 

property in the possession of the contractor, but outside of a Government 

installation (including at the contractor’s plant), the COR must be 

Level I certified in contract property management to perform specific 

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property administration detailed by the contracting officer, including 

the following:

• Reviewing the contractor property management procedures 

and advising the contracting officer about deficiencies and 

recommendations

• Ensuring that the contractor reports LTDD of GFP during contract 

performance to the contracting officer

• Ensuring that the contractor complies with disposition instructions 

from the contracting officer for the disposal of Government property.

Reporting, Reutilization, and Disposition of Government 

Property

Upon contract closeout, Government property typically is 

transferred, abandoned, destroyed, donated, or sold to relieve the 

contractor of stewardship responsibility. A great deal of experience 

and training is needed to determine the correct disposition procedures 

for Government property that will not be transferred to a follow-on 

contract. The contracting officer and appointed plant clearance officers 

have the inherent fiduciary responsibility to correctly identify the 

avenues and priorities that will be used to dispose of excess Government 

property. With these concerns in mind, it is imperative that only 

minimal duties are delegated to the COR unless that COR has the 

appropriate training and experience commensurate with the tasks noted 

in FAR Subpart 45.6.

Performance Monitoring 

The COR must document contractor performance, review and 

evaluate progress reports, review invoices, and perform site visits. 

Chapter 8 includes a detailed discussion of this topic. 

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Contract Modifications 

Many things can affect a contract once it is awarded. The requiring 

organization might need to reduce or increase the supplies or services; 

performance levels could change; or any number of unanticipated 

events could occur. A contract modification is a written change in the 

terms of the contract. Only contracting officers acting within the scope 

of their authority can execute contract modif﻿ications on behalf of the 

Government. 

Reasons for Contract Modifications 

A contract modification might be necessary to take actions such as 

the following: 

• Add or remove funding

• Correct a mistake

• Exercise an option

• Change a delivery or POP date

• Change terms and conditions in any part of the contract (including 

attachments)

• Add or delete in-scope supplies or services

• Change what is needed or where it is needed (incorporate new 

requirements)

• Suspend the work or partially terminate it.

In all cases, the COR must get approval from the contracting officer 

before any change is made. Remember, the contracting officer is the 

only one who can make changes to the contract...the COR cannot.

Types of Contract Modifications

There are two types of contract modifications, as follows: 

• Unilateral modification. A unilateral contract modification is 

official upon signature by the contracting officer; it does not require 

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the contractor’s signature or other assent. A unilateral modification 

may be used to do the following:

» Issue change orders

» Execute incremental funding actions

» Implement terms or conditions previously authorized in the 

contract (e.g., exercise of options, sto-work orders, termination)

» Make administrative changes, which are simple changes to the 

contract that have no impact on the terms and conditions or price 

of the work (e.g., updating a payment office or correcting a fund 

citation).

• Bilateral modification. A bilateral contract modification is signed 

first by the contractor and then by the contracting officer. This type 

of modification is used to make negotiated equitable adjustments 

resulting from the issuance of a change order and reflects other 

agreements of the parties that modify the terms and conditions of 

contracts. A bilateral modification may be used to do the following: 

» Change the terms and conditions of a contract

» Negotiate equitable adjustments

» Execute a supplemental agreement that reflects other agreements 

between the parties modifying the terms31

» Definitize change orders. 

Contract Options

Options provide the Government with the ability to order additional 

quantities of supplies or additional periods of service beyond those 

established in the initial contract. Normally, contract options establish 

31 A supplemental agreement is a contract modification based on the parties’ previous agreement

regarding a change. It incorporates an equitable adjustment to the contract cost, schedule, or 

both as a result of the change. Supplemental agreements often involve contractor submission of a 

proposal and detailed negotiations. 

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the quantity, price, and delivery schedule for these additional supplies 

or services. The Government uses options when (1) there is a defined 

quantity, quantity range, or additional requirement for the supplies 

or services beyond the purchases under the basic contract; and (2) 

such an additional requirement may be finalized and funded during 

the performance period of the basic contract. Options are executed 

by unilateral modification. Contract options may be exercised in the 

following circumstances: 

• After the contractor is notified of the Government’s intent to 

exercise the option

• Only by a contract modification issued by the contracting officer

• When the option fulfills an existing need, already priced on the 

contract

• When funds are available

• When exercising the option is determined to be advantageous to the 

Government. 

Note: The COR’s role in options is to make the need for them 

known before contract award. 

When exercising an option, the COR may assist the contracting 

officer by assessing the available options, assessing the continuing 

need, determining whether the option is in the Government’s best 

interests, and conducting market research on current pricing. 

Contract Changes 

The Changes clauses—FAR Subparts 52.243-1 through 52.243-4—

distinguish Government contracts from other contracts. These clauses 

allow the contracting officer to order a change within the general scope of 

the contract in the areas of (1) specifications (for supplies) or description 

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of required services (for services contracts), (2) place of delivery or 

performance, or (3) method of shipment or packing (for supplies) or 

time of performance (for services). Legally, a change outside the scope 

of the contract is a new procurement that the contracting officer is not

authorized to execute and that the contractor is not obligated to perform 

under the Changes clauses. 

Risks to CORs

Constructive changes, unauthorized commitments, and ratifications 

represent risks for the COR. 

Constructive Changes 

Statements, acts, or inaction by employees who are not authorized to 

make contractual changes can be deemed constructive changes. Such 

acts can contractually bind the Government if the result is the contractor 

performing work beyond that required by the contract. A constructive 

change is an oral or written act (or failure to act) by the Government 

official (in a position of authority) that the contractor construes as 

having the same effect as a written change order. Constructive changes 

can arise from situations such as the following: 

• Inadequate or defective requirements documents

• Disagreement over contract requirements

• Failure of the Government to cooperate during contract performance 

(e.g., not responding in a timely manner to requests or not being 

present to receive a service)

• Defective or improperly interpreted specifications and misleading 

information

• Overly strict inspection

• Failure to recognize Government-caused delays

• Improper technical direction

• Acceleration of contract performance to finish sooner than the date 

specified in the contract schedule. 

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The COR may play a role in helping the contracting officer resolve a 

constructive change by performing the following:

• Providing all pertinent documentation to the contracting officer

• Identifying the actual contract changes that have been made

• Preparing a technical analysis/evaluation if the contractor submits a 

proposal based on the change

• Helping the contracting officer with negotiations

• Educating the contractor regarding proper notification and handling 

of changes. 

Note: CORs who are “following the boss’s orders” are 

the primary source of unauthorized commitments or 

constructive changes. The Government may not be liable for 

unauthorized acts of its employees. CORs making unauthorized 

commitments or constructive changes may be financially 

responsible for their actions. 

Unauthorized Commitments 

Under contracts in the private sector, a company may be bound by 

the acts of agents with apparent authority or with authority based on the 

individual’s position or title. In Federal procurement, the Government 

may be legally bound only by the actions of personnel with actual 

authority—the contracting officers. Disputes between the Government 

and the contractor often occur when the Government representative who 

ordered a change did not have the authority to do so. This circumstance 

places a burden on the contractor to ensure that the official ordering a 

change has the actual appropriate authority. 

Government employees who are not contracting officers do not 

have the authority to order or authorize contract changes. A great deal 

of litigation is based on the actions of Government personnel who are 

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not contracting officers, but make contract changes. In some cases, 

personnel who are not contracting officers have limited authority to 

represent the contracting officer (e.g., to inspect the services being 

provided to the Government). 

FAR Subpart 1.602-3(a) defines an unauthorized commitment as 

“an agreement that is not binding solely because the Government 

representative who made it lacked the authority to enter into that 

agreement on behalf of the Government.” Unauthorized commitments 

violate Federal law, Federal regulations, Government-wide Standards of 

Conduct for Federal Employees, and DFARS. 

Examples of unauthorized commitments include the following: 

• A contractor is instructed to borrow a cherry picker from another 

contractor because the Government is supposed to supply the 

equipment, but did not have it available. 

• Someone from the command group asks for the grass to be mowed 

before a big event, but the contactor has already mowed the grass to 

specification for the period. 

• The contract on a copy machine expires, and a new unit is delivered. 

The contractor is told to leave the old copier in place because it is 

important to the mission. 

The COR should immediately report any perceived unauthorized 

commitments to the contracting officer. At the same time, CORs 

themselves must take great care not to instruct a contractor to perform a 

task that might be outside the scope of the contract. CORs are reminded 

that they, or any unwarranted Government official, may be financially 

obligated for any costs or damages incurred as a result of their exceeding 

the scope of their authority and directing contractor performance. 

If a COR exceeds designated authority, the circumstances of 

the action and the procedures in FAR Subpart 1.602-3 concerning 

ratifications will dictate the action that should be taken. The contracting 

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officer may decide to revoke the COR’s appointment. The revocation 

shall be in writing and shall be provided to the contractor and other 

appropriate officials. The contracting officer will also take other 

actions required by law or regulation. 

Ratification of Unauthorized Commitments

In some cases, an unauthorized commitment may be subsequently 

adopted or ratified (see FAR Subpart 1.602-3). This long and timeconsuming process involves, among other things, preparing statements 

and summaries of facts and investigating relevant documents, 

recommendations, and approvals, in accordance with individual agency 

procedures.

Only an action that would otherwise be proper can be ratified. The 

Anti-Deficiency Act prohibits authorizing or incurring obligations 

or expenditures in excess of amounts apportioned by the Office of 

Management and Budget or in excess of amounts permitted by agency 

regulations. An unauthorized commitment could potentially be a 

violation of the Anti-Deficiency Act, subject to fines and other penalties. 

If it is determined that the price is not fair and reasonable, then the price 

must be renegotiated. 

Cases that cannot be ratified under FAR Subpart 1.602-3 may be 

subject to resolution as authorized by FAR Subpart 33.2, “Disputes 

and Appeals.” If the approving official does not elect to use available 

discretion to reimburse the contractor for acts exceeding the COR’s 

authority, then the COR may be held personally liable for any costs or 

damages incurred by the contractor or the Government. In fact, the 

consequences for all parties involved with an unauthorized commitment 

are severe. Regardless of the dollar amounts involved, unauthorized 

commitments can result in disciplinary or administrative action against 

the individual making the unauthorized commitment, especially if the 

violations are flagrant or repetitive. 

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Ratification Process

As the first step in the ratification process, the person responsible 

for making the unauthorized commitment must draft a statement of 

actions detailing the circumstances and addressing, at a minimum, the 

following questions: 

• Why were normal procedures not followed? 

• What steps are being taken to preclude recurrence?

• Were funds available at the time of the action? 

Next, the contracting officer, legal counsel, and requiring 

organization officials must review the statement of actions leading to 

the unauthorized commitment. Once satisfied, they must determine 

whether the following conclusions are valid:

• The Government received benefit.

• The Government has (or had) a bona fide need for the supplies or 

services.

• The steps to be taken to prevent recurrence are adequate.

• Proper disciplinary action was taken, or the reasons for no action 

are explained.

• The contract would otherwise be proper (e.g., funds are available, 

and the requirement is legitimate).

• The commitment should be ratified. 

The contracting officer then must provide the ratifying authority 

with a written determination and finding, addressing the facts (including 

a complete purchase description and funding for the ratification) and 

determining whether the following conclusions are valid: 

• The commitment was not made to evade normal statutes and 

regulations, but rather was the result of an urgent requirement or a 

mistake of fact by Government personnel.

• The contractor reasonably relied on apparent authority.

• The contractor has no other remedy to obtain relief.

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• The contract would otherwise be proper (e.g., funds are available, 

and the requirement is legitimate).

• The contract price will be fair and reasonable. 

The ratifying official shall review the file, and if ratification is 

proper, sign the determination and findings, authorizing the contracting 

officer to ratify the unauthorized commitment. 

Technical Evaluation 

After receiving a contractor’s proposal for a modification (including 

ratification of an unauthorized commitment), the COR may be requested 

to prepare a documented analysis of the technical aspects of the 

proposal. The contracting officer will use this document to support 

negotiations and documentation of the change to the contract. For a 

technical evaluation, the COR should perform the following: 

• Assess the technical validity of the change.

• Determine whether the proposed solution is necessary.

• Consider the technical merit that will meet the Government’s 

requirement.

• Assess cost and delivery implications versus technical merit 

(impact).

• Review the proposed basis of estimate.

• Review labor type, profile, and amount proposed.

• Analyze other direct costs (ODCs), such as travel or materials.

• Conduct a trade-off analysis to evaluate technical merit versus 

proposed costs.

Cost/Price Evaluation

The contracting officer will analyze the cost/price proposal for 

accuracy and allowability and, after receiving the technical evaluation, 

will develop a prenegotiation objective. 

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Completion and Payment

Acceptance 

The acceptance of a supply or service is typically delegated to 

the COR, who is viewed as the best person to determine whether the 

requiring activity truly received what the contract required. The 

COR must remain vigilant before accepting any goods or services on 

behalf of the requiring activity. Acceptance can take place before, at 

the time of, or after delivery. However, supplies or services ordinarily 

should not be accepted before completion of Government contract 

quality assurance actions. Before services or supplies furnished by 

the contractor can be accepted, the COR must determine acceptability 

by performing a review or inspection. Final acceptance by the 

contracting officer of supplies received (or services rendered) concludes 

performance by the contractor, except for administrative details relating 

to contract closeout. After final acceptance, the contractor can no 

longer be held responsible for unsatisfactory effort unless otherwise 

specified in the contract. Therefore, the COR must ensure that the work 

performed under the contract is measured against the contract terms and 

quality requirements. If performance does not meet contract quality 

requirements, it is incumbent on the COR to identify deficiencies and 

advise the contracting officer. Acceptance is executed and evidenced 

by a signature on an acceptance certificate that is part of an inspection 

or receiving report form (or by a signature on a commercial shipping 

document or packing list). 

Exceptions to final acceptance include the following:

• Latent defects

• Fraud

• Gross mistakes amounting to fraud. 

A latent defect is not readily noticeable during a reasonable 

inspection at the time of acceptance. The burden is on the Government 

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to prove that defective materials or workmanship was the probable 

cause of product failure. Latent defects can also apply to design and 

manufacture contracts; in such cases, the contractor might have to 

replace the designed product at no charge to the Government. 

Documentation of Acceptance

CORs are often the designated officials who are authorized to 

accept supplies or services for the Government (as noted in the COR 

letter of appointment/designation for delegated duties and authorities). 

Acceptance before payment is accomplished in one of the following 

ways: 

• COR signature on DD 250 (discussed in Chapter 10)

• COR signature on DD 1155 (discussed in Chapter 10)

• COR signature on SF 1449 (discussed in Chapter 10)

• COR electronic signature in the Wide Area Workflow (WAWF) system. 

Wide Area Workflow 

The 2001 Defense Authorization Act established the requirement for 

all contract invoicing to be performed electronically. DoD implemented 

this requirement via WAWF. The WAWF system32 is a secure webbased system that allows Government contractors and authorized DoD 

users to generate, capture, and process receipt and payment documents. 

WAWF enables the electronic submission of both contractor invoices 

and Government inspection and acceptance documents. 

The WAWF system creates a virtual folder to combine the three 

documents required to pay a contractor (i.e., contract, invoice, and 

receiving report). Authorized DoD users are notified of pending actions 

by e-mail and are sent a collection of the documents required to process 

the contracting or financial action. 

32 The WAWF system is available at https://wawf.eb.mil.

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WAWF is envisioned as ultimately the single DoD system for all 

contractor invoicing and Government acceptance actions (as required). 

Processing invoices electronically will reduce the likelihood that the 

Government will have to pay an interest penalty; however, it is still 

important for the COR to understand the COR role in processing these 

invoices. WAWF training is required before appointment as a COR. A 

copy of the training certificate should be provided to the contracting 

office before the appointment and should be saved in the CORT Tool.

Nonconformance 

Nonconformance occurs when the contractor submits a deliverable 

to the Government that does not conform to the contract requirements. 

Remedies for Nonconformance

Remedies for nonconformance include the following: 

• Invoking the related contract clause (Stop-Work, Cure Notice, 

Show-Cause, Liquidated Damages, Warranty, or Termination)

• Withholding or reducing award and incentive fees

• Invoking inspection clauses (to reject the noncompliant work or 

allow rework)

• Suspending progress payments

• Declining to extend the term of the contract (e.g., by not exercising 

an option or award term)

• Modifying the contract

• Addressing claims or considerations

• Taking legal recourse

• Using alternative dispute resolution (ADR) techniques

• Documenting the issue in the past performance database. 

Monitoring represents the COR’s key role related to remedies. Heavy 

reliance is placed on the COR’s observations and documentation. The 

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COR must keep thorough records and promptly notify the contracting 

officer about any noncompliance issues. In addition, the COR should 

be prepared to suggest appropriate remedies to the contracting officer. 

Acceptance of Nonconforming Supplies or Services 

Only the contracting officer can authorize acceptance of 

nonconforming supplies or services. The Government may deal with 

noncompliance in one of the following ways: 

• Require the contractor to correct the nonconforming items or 

services. 

• Accept the nonconforming supplies or services. This approach 

is useful only if the deficiencies are minor. Remember that the 

COR cannot accept nonconforming supplies or services; only the 

contracting officer can make this decision. Although the contractual 

rights of the Government cannot be waived—and a contract may not 

be modified for the convenience of a contractor—the Government 

may decide that its best interests are served by not rejecting the 

supplies or services because of considerations such as the following:

» Urgency of the need for the supplies or services and the period of 

time required to obtain them from other sources (compared with 

the time required for delivery from the contractor)

» Availability of the supplies or services from other sources

» Any other pertinent facts and circumstances. 

• If the Government wants to accept work that essentially meets its 

needs, but does not conform to contract requirements, the COR must 

furnish the contracting officer with a documented recommendation 

to accept the work, a description of all respects in which the 

work fails to meet contract requirements, and an estimate of the 

time required for the contractor to complete performance. The 

contracting officer may extend the contract completion date by 

formal modification to allow the contractor to correct deficient work. 

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• Reject the noncompliant supplies and services and terminate 

the contract. Only the contracting officer—not the COR—can 

terminate a contract. 

Invoice and Payment 

Cash flow is the lifeblood of any company. Contractors need to be 

paid for the supplies and services they have provided so that they can 

pay their own bills and employees. Timely payment of contractors also 

encourages them to continue doing business with the Government. 

Recognizing the importance of timely payments, Congress passed the 

Prompt Payment Act, which specifies that if the Government does not 

pay a valid contractor invoice within a specified period of time, the 

Government is liable to pay interest, computed at the Federal funds rate. 

Note: The COR should ensure that invoices receive prompt 

attention and are reviewed for accuracy and consistency with 

contract terms. 

The following important terms refer to invoice and payment 

procedures:

• Invoice. The invoice is the billing statement for supplies or services 

accepted by the Government. 

• Invoice payment. The invoice payment is the Government 

disbursement of funds for supplies or services accepted by the 

Government. 

• Prompt payment. All solicitations and contracts must specify 

payment procedures, payment due dates, and interest penalties for 

late invoice payment. The contractor is entitled to payment for 

accepted partial deliveries of supplies (or partial performance of 

services) that comply with all applicable contract requirements and 

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for which prices can be calculated based on the contract terms—

unless such payment is specifically prohibited by the contract. 

The contractor may request payment by submitting an invoice, SF 

1449, or DD Form 1155. (Appendix B contains a sample SF 1449.) In 

reviewing the payment request, the COR should be familiar with the 

following: 

• Contract number or order number

• Office locations and points of contact (POCs)

• Contract line item number (CLIN) structure (where each CLIN 

identifies a separate supply or service to be required under the 

contract)

• Inspection and acceptance

• SOO, SOW, or PWS

• Period of performance and delivery dates. 

Content of a Valid Invoice

According to FAR Subpart 32.905, the following are the minimum 

requirements for a valid invoice: 

• Complete contract number, including delivery order or task order 

number (if applicable)

• Name and address of contractor

• Invoice date

• Invoice number

• Description of services or supplies provided

• Quantity of services or supplies provided

• Unit of issue, as specified in the Schedule of Supplies

• Manufacturer part number (as applicable), as specified in the 

contract

• Unit price and extended total (for each line item)

• Invoice total

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• Shipment number (as applicable)

• Postage and transportation (as applicable), if authorized by the 

contract to ship Prepay and Add, including the transportation cost 

(e.g., parcel post, United Parcel Service) as a separate line

• Required certification, as specified by the contract (e.g., certification 

of conformance, ACO approval)

• Taxpayer Identification Number (TIN) if not required to be registered 

in the Central Contractor Registration (CCR)

• Registration in the CCR, when applicable

• Electronic funds transfer (EFT) and banking or remittance 

information for foreign contractors that are exempt from CCR, 

when applicable

• Any other contract-directed requirements. 

Inaccurate or invalid invoices must be returned within 7 days. 

DFARS Subpart 252.232-7003 requires contractors to submit 

payment requests electronically, but the clause lists exceptions. For a 

contingency contract, the following two exceptions are key: 

• DoD is unable to receive a payment request or provide acceptance 

in electronic form. 

• The contracting officer administering the contract has determined 

(and documented in writing) that electronic submission would be 

unduly burdensome to the contractor. 

Voucher and Invoice Review

The contracting officer is responsible for monitoring invoice 

payments according to the terms and conditions of the contract as well 

as local policies and guidance. 

CORs can approve invoices on fixed-price contracts. However, 

for cost reimbursement, time and materials (T&M), and labor-hour 

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contracts, CORs can review—but not approve—invoices. Only the 

contracting officer can approve final payment requests. 

Note: CORs must understand local finance office procedures 

and requirements for proper invoicing. CORs should ask their 

contracting officers for additional details.

Note: Payment to a contractor implies that work is progressing 

according to the contract. Therefore, CORs must ensure that 

the Government is receiving the services or supplies for which 

it is paying. CORs must monitor contractor performance 

by reviewing monthly reports, making onsite visits, and 

performing surveillance reviews. It is vital that CORs review 

billing statements thoroughly and on time.

Note: If problems are identified in performance of the 

contract or during the COR’s review of invoices, the COR 

must communicate the issues to the Defense Contract Audit 

Agency (DCAA) through the contracting officer so that the 

issues can be appropriately considered during the auditor’s 

voucher approval process.

COR approval of a voucher or invoice implies that, to the best of 

the COR’s knowledge, the nature, type, and quality of effort (or the 

materials being expended) are in accordance with the progress of work 

under the contract. In other words, the COR supports the contracting 

officer by ensuring that payments are made for performance in 

accordance with the contract terms and conditions. 

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Typical problems that can be found on invoices include the following: 

• Inflated or unrealistic labor hours

• Unsupported ODCs (e.g., poor descriptions that cannot be tied to 

specific tasks)

• Unauthorized overtime charges

• Incorrect or unrealistic labor category

• Management hours that are disproportionate to the hours of the 

personnel performing the work

• Duplicate invoice or wrong invoice

• Mathematical errors

• Wrong contract number or task order number

• Wrong price (e.g., proposed versus negotiated)

• Wrong CLIN or sub-CLIN

• No POC for defective invoices

• No date

• Incorrect or missing shipment information

• No remittance address

• Prompt pay discounts that are not offered. 

Overtime

OT cannot be paid unless specifically authorized by the contract. 

Only the contracting officer can authorize the use of OT. When 

reviewing a contractor’s OT claims, the COR should consider whether 

the OT was necessary and approved in advance and, if so, whether 

additional funds were approved to fund the OT. 

Interest Penalties 

The COR must process invoices promptly. If the Government fails 

to make payment by the due date, the designated payment office must 

automatically pay an interest penalty. The due date is the later of two 

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events, either the 30th day after the designated billing office receives a 

proper invoice from the contractor or the 30th day after Government 

acceptance of supplies delivered (or services performed). Specific due 

dates are as noted in each individual contract.33

Warranties 

A warranty is a promise or affirmation given by a contractor to the 

purchaser regarding the nature, usefulness, condition, or performance 

of the supplies or services to be delivered under the contract. 

Implied Warranties

There are two types of implied warranties: a warranty of 

merchantability and a warranty of fitness for a particular purpose. The 

warranty of merchantability implies that supplies must be fit for the 

ordinary purposes for which such supplies are normally used. This type 

of warranty is incorporated into the contract unless stated otherwise. 

The warranty of fitness for a particular purpose implies special 

protection for a buyer that relies on the seller’s expertise in selecting 

suitable supplies. 

Express Warranties

An express warranty can be purchased to cover the risk of a product 

defect. Express warranties are based on the following: 

• Any promise or affirmation of facts that become part of the bargain

• A description of supplies that is part of the basis for the bargain

• Any sample or model that is part of the basis for the bargain. 

Because express warranties must be purchased, the costs must be 

weighed against the need for protection against known (or unknown) risks.34

33 FAR Subpart 32.9 and DFARS Subpart 232.9 include prompt payment discussions.

34 DFARS Subpart 246.704, “Authority for Use of Warranties,” includes more information.

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119 Defense Contingency COR Handbook

The warranty takes effect at time of delivery. If an item is delivered 

for storage or later use, the warranty identifies a starting time after 

delivery. The length of the warranty period must be specified. 

Warranties can be enforced when a defect under the warranty scope 

arises during the warranted period. 

Contract Closeout 

Contract closeout actions are primarily the responsibility of the 

contracting officer, but COR assistance might be required. Moreover, 

COR help is indispensable when disputes or litigation is involved. 

A contract is not completed until it is closed out. Timely contract 

closeout accomplishes the following: 

• Allows all affected activities to concentrate on current and future 

requirements

• Accommodates deobligating excess funds

• Identifies the need for additional funds. 

The COR will physically transfer records to become part of the 

official contract file. The contracting officer, with the assistance of the 

COR, must ensure that the following actions are accomplished: 

• Services have been rendered. 

• Articles have been delivered and accepted. 

• Payments and collections have been made. 

• The disposition of property and classified information has been completed. 

• Releases from liabilities, obligations, and claims have been obtained 

from the contractor. 

• The contractor has executed assignments of refunds, credits, and 

the like. 

• Administrative actions have been accomplished. 

• Excess funds have been deobligated. 

• The contract file has been properly documented. 

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Do’s and Don’ts: Contract Administration

Table 2 summarizes contract administration activities that should 

be performed (and those that should not).

Contract Administration

Do Don’t

• Remember that the COR is an 

agent of the U.S. Government and 

has only the authority delegated by 

the contracting officer.

• Get the names of contractor 

personnel who are authorized to 

represent the contractor.

• Find out the specific authority of 

contractor personnel (e.g., who 

has the authority to obligate the 

contractor).

• Confirm that all Government 

approvals or consents are timely.

• Accept less than the services or 

supplies required by the contract.

• Assume an interpretation of 

ambiguous contract language 

that would be favorable to the 

Government. Remember: if 

the contractor’s interpretation is 

reasonable, it will prevail.

• Hold up payment unless 

performance is deficient or 

defective.

• Accept supplies or services without 

a complete inspection.

• Make any changes, modifications, 

deletions, or additions to the 

contract requirements. Instead, 

work through the contracting officer.

• Automatically consider all contractor 

claims to be unreasonable. 

Remember to be fair and impartial.

Table 2. Do’s and Don’ts for Contract Administration

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121 Defense Contingency COR Handbook

Chapter 7: Key Points

1. Contract administration is the primary focus area where CORs 

generally spend most of their time.

2. After contract award, a post-award orientation (kickoff) meeting 

is critical to successful contract performance. This meeting will 

highlight the roles, responsibilities, and expectations of all interested 

parties. The contracting officer will prepare minutes of the meeting 

and will provide copies to all interested parties, including the COR.

3. Contractor personnel deploying to a contingency area must be 

registered in the SPOT database.

4. Monitoring of contractor performance is the key to performing 

contract oversight and ensuring compliance with the contract. 

5. The COR must be familiar with the following key contract 

administration concepts:

a. Changes clauses. These FAR clauses offer the flexibility 

to make in-scope changes to the contract without affecting 

contractor performance while allowing the contractor an equitable 

adjustment. Contract changes include the following:

i. Unilateral change. The Changes clauses allow the Government 

to issue a modification (under three specific criteria) without 

first requesting a proposal from the contractor.

ii. Bilateral change. When a unilateral change is not possible, 

the Government can request a proposal from the contractor so 

that a supplemental agreement can be negotiated and signed by 

the contractor and the Government. 

b. Options clause. Many contracts for recurring requirements may 

contain option clauses that give the Government the ability to 

order additional quantities of supplies or an additional period of 

services beyond those in the initial contract.

c. Constructive change concept. When a contractor performs work 

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that is not part of the contract scope, but the contractor relied on 

some degree of Government direction, then a constructive change 

might have occurred that will result in a contractor submitting a 

request for equitable adjustment.

d. Unauthorized commitments. If a Government representative 

who does not have the authority binds the Government to a 

commitment, it is an unauthorized commitment.

e. Ratification process. Each component or agency has established 

procedures for ratifying unauthorized commitments, so the COR 

must refer to local procedures for additional guidance.

f. Technical evaluation. The contracting officer might ask the 

COR to help validate proposed contract changes, develop an 

Independent Government Cost Estimate (IGCE), and evaluate the 

contractor’s proposed costs for reasonableness. 

g. Contract closeout. The COR’s documentation is key to ensuring 

successful contract closeout. It is important that the COR 

understands both the steps associated with closeout and the 

COR’s role in closeout. Contract closeout is the contracting 

officer’s responsibility, but COR support might be required. 

h. Invoices and payment. CORs will often review invoices and 

vouchers to verify that charges for the delivered supplies or 

services are reasonable and in accordance with the terms and 

conditions of the contract. 

6. Clear communications among the requiring activity, contractor, and 

contracting officer are critical.

7. A COR might be required to administer warranty terms and 

conditions, so it is important for CORs to understand warranty 

basics.

Chapter 7

Contract Administration
Chapter 8

Monitoring the Contractor

CHAPTER

CONTENTS

Contractor Progress 

Reports...........................126

Assessment 

of Performance...............127

Contractor 

Performance 

Assessment Review ...129

Acceptable Inspection 

Methods..........................129

Random or Stratified 

Sampling ....................130

100 Percent 

Inspection ...................131

Periodic Inspection 

or Planned Sampling...131

User Feedback ...........132

Documentation 

of Performance...............133

Remedies for Poor 

Contract Performance.....135

Do’s and Don’ts: 

Remedies ...................137

Delays.............................137

Identifying and 

Verifying a Delay ........137

Notifying the 

Contracting Officer 

about the Technical 

Impact of a Delay .......138

Assistance for the 

Contracting Officer 

in Evaluating the 

Contractor’s Response.....139
CHAPTER

CONTENTS (CONT.)

Fraud ..............................139

COR

Responsibilities ..........140

Contract Termination ......141

Termination for 

Convenience 

of the Government......141

Termination for 

Cause/Default.............142

Disputes..........................143

COR Working File...........144

Do’s and Don’ts:

Contract Monitoring ........147

Chapter 8: Key Points.....147
125 Defense Contingency COR Handbook

To properly monitor the contractor, the COR must know and 

understand the requirements of the contract, as specified in the 

SOO, SOW, or PWS in Section C of, or an attachment to, the 

contract. The COR should have a copy of the SOO, SOW, or PWS 

readily available to check that the contractor is verifying and enforcing 

contract requirements in the SOO, SOW, or PWS. Interpreting the 

contract requirements can be difficult if the SOO, SOW, or PWS is 

poorly written and displays weaknesses such as a lack of technical 

knowledge, inadequate planning or research, lack of communication, 

differing interpretations, and carelessness. With the proper SOO, SOW, 

or PWS and performance-based metrics, contract performance is more 

likely to be successful. 

Note: The COR monitors the contractor based on the contract 

requirements specified in the SOO, SOW, or PWS and according 

to the COR letter of appointment/designation from the 

contracting officer.

The COR must notify the contracting officer in a timely manner, 

orally and in writing, if the contractor is not performing well (i.e., if 

contractor performance deviates from the SOO, SOW, or PWS). The 

contracting officer—and only the contracting officer—is responsible 

for giving verbal or written directions to the contractor. These 

directions should be added to the record in the official contract file. The 

requiring organization should not attempt to interpret the SOO, SOW, or 

PWS for the contractor and may not direct changes or accept substitute 

performance. Many personnel have improperly cost the Government 

(or themselves) money by making seemingly nonchalant remarks 

asking the contractor to act outside the scope of the contract. 

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Contractor Progress Reports

The contract may require the contractor to provide progress reports. 

Contractor progress reports provide the first early warning of issues 

such as potential changes, delays, or other problems in contractor 

performance. Submitted by the contractor, these reports summarize 

progress since the preceding report, so earlier reports are summarized, 

subsumed, and superseded by the new report. The reports vary from 

a single-page memorandum or letter to several hundred pages of detail 

by task, with supporting graphs and tables. Progress reports normally 

address the following topics: 

• Project status

• Measurement of achievements against objectives

• Problems encountered

• Actions taken to correct deficiencies

• Percentage of work completed

• Acceptability of the work

• Work remaining

• Evaluation. 

Progress reports do not relieve the contractor of a separate obligation 

to report anticipated or actual delays to the COR and the contracting 

officer. 

For indefinite-delivery contracts, each delivery order or task order 

must be covered by a separate progress report, although one report per 

contract may be used to identify those orders on which no work was 

performed during the reporting period.

The contractor must forward the progress reports in accordance 

with the instructions of the contracting officer. 

The COR must ensure that each progress report is factually accurate 

and complete and should check each progress report to determine the 

following: 

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• Will the contractor meet the delivery dates? Are any problems 

foreseen? 

• Are the expenditures in line with the work performed and with the 

work planned? 

• How does the percentage of work completed compare to the funds 

expended? 

• How does the status of the deliverables (e.g., reports, designs, texts) 

compare to the progress report? 

• Have nonconformances been documented? Have appropriate and 

effective corrective actions been taken?

The COR should discuss and document any ambiguities or 

discrepancies with the contractor and contracting officer. The COR 

should document related discussions with the contractor and should 

keep a copy of this document in the COR file. The COR should also 

inform the contracting officer about any ambiguities or discrepancies in 

the progress report.

The Government should not expect a one-to-one correlation between 

the expenditures identified in the progress report and those detailed in 

the invoice. The coverage dates might be different, and the progress 

reports might not reflect lags in accounting system activities. 

Assessment of Performance

The contractor has primary responsibility for the quality control 

and timeliness of its supplies or services. However, the COR must 

assess the contractor’s performance to ensure that the delivered 

supplies or services conform to contract requirements. Unsatisfactory 

performance under a contract can jeopardize a project or can directly 

affect an organization’s ability to perform its mission. 

The COR must continually monitor the contractor’s performance, 

both formally and informally, throughout the contract. The COR should 

consider the following:

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• How well the contractor is doing

• Whether performance, quality, schedule, and cost requirements are 

being met

• Whether the requiring organization is satisfied

• Whether the processes are working

• If and where improvements are necessary. 

The following are key assessment factors: 

• Cost control. 

• Timeliness (schedule/delivery). Is the contractor on schedule 

to meet contractual requirements? Did the contractor meet the 

contractual delivery requirements? Does the contract include a 

reward for early delivery or a penalty for late delivery? 

• Quality. Do the supplies or services meet the requirements? Do 

they conform to the contract specifications; standards; SOO, SOW, 

or PWS; and Quality Assurance Plan (QAP)? 

• Business relations. Is the contractor responsive, professional, and 

courteous? 

• Management of key personnel. Are technical experts highly 

qualified and effective in performing the required services? Do 

they meet the skill levels specified in the contract? Is the number of 

personnel assigned to the project appropriate? Do delivered supplies 

reflect the quality and standardization required by the user? 

• User satisfaction. Will the requiring organization be satisfied with 

the cost, quality, and timeliness of the delivered supplies or services? 

What percentage of the deliverables meets the user’s expectations? 

How long has the contractor taken to address any user complaints? 

How many user complaints have been reported? 

• Compliance. Has the contractor complied with relevant regulations 

(e.g., Occupational Safety and Health Administration, Environmental 

Protection Agency, and Department of Labor regulations or local 

standards)? 

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129 Defense Contingency COR Handbook

Contractor Performance Assessment Review 

The Government relies on past performance data to help make 

award decisions. Therefore, to support future acquisition efforts, the 

performance of contractors under current contracts should always 

be documented. The COR is tasked with collecting and reporting 

contractor performance information. The COR should be fair in 

assigning a performance rating and should provide a narrative explaining 

the reasons for the rating. 

Contractor performance information is entered into the Contractor 

Performance Assessment Reporting System (CPARS) at intervals 

specified in the contract, when contractor performance warrants 

reporting, and at the end of the contract. CPARS documents the 

following aspects of the contractor’s performance: 

• Conformance to contracting requirements and standards of good 

workmanship

• Forecasting and control of costs

• Adherence to contract schedules

• History of reasonable and cooperative behavior as well as 

commitment to customer satisfaction

• Business-like concern for the interests of the customer. 

The Government’s CPARS assessment should reflect the contractor’s 

performance as documented by the COR during the monitoring process. 

Appendix A provides a sample contractor performance assessment 

checklist.

Acceptable Inspection Methods 

The assessment of quality is particularly important because if the 

quality of a supply or service does not meet contract requirements, the 

safety of the requiring organization’s personnel could be jeopardized. 

The Government has the right to inspect all contract deliverables 

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at any time before acceptance. Inspections can be announced or 

unannounced, but they must not unduly delay work, and they must not 

include directions that would change the contract. The Government 

also has the right to reject a deliverable that does not meet contract 

requirements. 

For acquisitions of commercial items, FAR Subpart 46.202-1 

requires the Government to rely on contractors’ quality assurance 

systems as a substitute for Government inspection and testing before the 

items are tendered for acceptance (unless customary practices for the 

supplies being acquired include in-process inspection). Any in-process 

inspection by the Government must be consistent with commercial 

practices. 

For services, the COR can monitor contractor performance by using 

a variety of inspection methods. Before an inspection, the COR should 

check the contract for specific inspection and testing requirements. 

The COR should use a systematic approach and should ensure that the 

inspection methods do not interfere with the contractor’s progress—or 

at least disrupt that progress only when absolutely necessary and as 

minimally as possible. The most common inspection methods and their 

effective use are briefly described below. 

Random or Stratified Sampling 

With random sampling, services and deliverables are sampled to 

determine whether the level of performance is acceptable. Random 

sampling works best when the number of supplies or service deliveries 

is very large, allowing a statistically valid sample to be obtained. 

Stratified sampling focuses on sampling selected parts of all contractor 

output. Computer programs might be available to help establish 

sampling procedures. This random or stratified sampling is the 

preferred surveillance method because it is an efficient way to obtain an 

unbiased, comprehensive evaluation of the contractor’s performance. 

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131 Defense Contingency COR Handbook

The COR only needs to make a relatively few observations to project 

the quality of the entire lot. In addition, the contractor does not know 

which service output will be observed. Consequently, all outputs must 

be properly produced. The advantage of this approach is that the results 

can be projected to the lot without inspecting the entire output. 

100 Percent Inspection 

The 100 percent inspection method is too expensive to use in most 

cases. As the name implies, the inspector observes all outputs in the 

designated lot. For example, with a service requirement for required 

reports, the inspector would examine all reports listed in the lot for 

acceptance. The Government uses 100 percent inspection for stringent 

performance requirements concerning health and safety. 

Periodic Inspection or Planned Sampling 

Periodic inspection or planned sampling evaluates tasks that are 

not selected randomly or entirely (i.e., via random sampling or 100 

percent inspection, respectively). Periodic sampling is normally used 

to check the contractor’s quality control system to ensure that it is 

capable of meeting the Government’s quality requirements. Because 

defects detected as a result of planned sampling cannot be considered 

statistically valid for evaluating the entire work lot, monetary deductions 

for performance that is not satisfactory are limited to only the work 

specifically found to be defective. For this reason, planned sampling 

should not be the only method of surveillance. 

When planned sampling is used, work process outputs are selected 

in accordance with subjective criteria established in the QASP. These 

criteria should be documented and applied consistently throughout 

the observation period and from one period to the next. Surveillance 

consistency enables the inspector to detect trends in performance 

and requires less time to retrain inspectors and to document and 

Chapter 8

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132

report revisions. The advantages of this method are that Government 

inspectors can focus their attention on known problem areas and that 

the contractor or in-house workforce has a greater incentive to improve 

deficient areas that they know will be observed. The disadvantage of 

this method is that comparisons of quality cannot be made between the 

sampled outputs and the lot because the observations are not selected 

randomly. 

User Feedback 

The user feedback method requires documentation and is not usually 

a primary surveillance method. However, user feedback is a valuable 

supplement to more systematic surveillance methods. The performance 

to be observed is not selected by the COR, but rather is based on user 

complaints (submitted in writing or via telephone). After receiving a 

complaint, the COR will investigate and, if it is a valid complaint, will 

document it as a contractor performance deficiency. 

Additional guidance on these surveillance tools is included in OFPP 

Pamphlet 4, “A Guide to Best Practices for Performance-Based Service 

Contracting,” and Chapter 5 of the pamphlet, “Quality Assurance Plan 

and Surveillance Plan.”35

The COR should notify the contracting officer whenever supplies or 

services do not meet requirements and should provide the contracting 

officer with documentation on the number of observations made, 

number and type of problems, actions taken to notify the contractor, and 

corrective actions already taken by the contractor. A COR can use the 

receiving report (or other method provided by the contracting officer) to 

document the reasons for rejecting a deliverable. 

Contractors will reply to a notice of rejection by taking one of the 

following actions: 

35 The OFPP Pamphlet is available at http://georgewbush-whitehouse.archives.gov/omb/

procurement/pbsa/guide_pbsc.html.

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133 Defense Contingency COR Handbook

• Submitting a proposal to repair or correct the deficiencies

• Offering to provide an adjustment to cost or price as a basis for 

accepting nonconforming services

• Challenging the deficiency assessment. 

If authorized to reject supplies or services, the COR may approve a 

contractor’s proposed course of action to repair or correct deficiencies. 

However, only the contracting officer may approve courses of action 

that require a change in the contract (e.g., a price reduction) or result in a 

dispute (e.g., the contractor challenging the assessment). The COR must 

forward these cases to the contracting officer for resolution. 

The contracting officer normally consults with the COR when 

considering the contractor’s reply. The COR can provide advice on the 

appropriateness of the contractor’s corrective action plan, impact of 

accepting nonconforming services, and validity of the contractor’s rebuttal. 

Documentation of Performance

An important part of the performance assessment process is 

documenting how well a contractor performs on a contract. When 

documenting contractor performance, the COR should follow a number 

of guidelines, discussed in the rest of this section.

CORs should handle their comments as follows: 

• Submit comments regularly.

• Compose contractually based and professional comments.

• Apply comments to the monthly reporting period.

• Base comments on performance.

• Develop specific, fully detailed, and standalone comments.

• When possible, base comments on information gathered during 

audits.

• Produce comments that are supported by the checklist comments. 

COR comments should not have the following characteristics: 

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134

• Comments should not be beyond the scope of the contract.

• Comments should not request information that is not applicable to 

the contract.

• Comments should not request data on contractor personnel actions 

(e.g., hiring, firing, or disciplinary actions).

• Comments should not be personal (all comments are seen by senior 

managers). 

• Comments should not simply be copied and pasted from one month 

to the next without verifying whether the condition still exists. 

The samples that follow illustrate poorly written comments and 

improved versions of those comments. 

Sample Comment 1 

Poor: “Contractor met the Class I requirements this month.” 

Better: “During October, the contractor exceeded the Class I 

requirement for all incoming rations and bottled water to be placed 

into inventory within 24 hours. The daily average to place stock into 

inventory was only 4 hours.” 

Sample Comment 2 

Poor: “Contractor was late in meeting the link-up time.” 

Better: “On 12 October 06 at 2130 hours, the contractor team linked 

up with the military escorts at East ECP 1 hour after notification. This 

timing did not meet the contractual requirement for linking up within 

40 minutes, as provided in Section C.” 

Sample Comment 3 

Poor: “Contractor management was especially responsive this month.” 

Better: “On 12 October 06, the contractor responded within 2 hours to 

a DCMA request for dining facility (DFAC) statistics. This response 

enabled a quick turnaround to the user for a high-visibility area.” 

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135 Defense Contingency COR Handbook

Sample Comment 4 

Poor: “My audit for MHE showed that several of the guys weren’t 

certified for the forklifts.” 

Better: “On 23 October 06, an audit revealed that three employees 

operating 9K forklifts did not have a forklift drivers license when asked. 

Their badge numbers are XXX, YYY, and ZZZ.” 

Note: The COR must always ensure that all comments relate 

to a specific contract requirement. Contractor performance is 

judged solely on the basis of contract requirements. 

Note: When possible, it is helpful for a COR to use a digital 

camera to document deliveries of supplies and services. 

Remedies for Poor Contract Performance36

The contracting officer has several remedies available to address 

supplies or services that do not conform to contract requirements. The 

contracting officer will rely heavily on the COR’s observations and 

documentation on supplies or services that do not conform to contract 

requirements. When unsatisfactory contract performance is identified, 

the COR should promptly notify the contracting officer so that remedial 

steps can be taken. The contractor could interpret the Government’s 

silence as acceptance of substandard supplies or services. Such 

situations could adversely affect the Government’s right to withhold 

payments, terminate for cause or default, or otherwise exercise certain 

rights under the contract. 

36 This section is on contract performance, not the business system rule. DFARS specifies the

business system rule.

Chapter 8

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136

Depending on an evaluation of the seriousness of the unsatisfactory 

performance, the contracting officer may perform the following: 

• Send a letter or hold a meeting to bring the particular deficiency 

to the attention of the contractor and obtain a commitment for 

appropriate corrective action. 

• Extend the contract schedule if excusable delays in performance are 

involved (e.g., combat situations or extreme weather conditions). 

• Withhold contract payments if the contractor fails to comply with 

delivery or reporting provisions of the contract. 

• Terminate the contract for cause or default. 

After a complete review of the situation, the contracting officer may 

send an official notice of failure of performance to the contractor. This 

notice requires the contractor to inform the contracting officer of the 

cause of the delinquency so that a proper determination can be made 

about continuing or terminating the contract. In some cases, liquidated 

damages can be assessed against the contractor performing the service. 

Liquidated damages are amounts agreed to in advance that reflect the 

financial damage that the Government might incur if the contract is not 

completed on time. 

Note: COR records are vital for determining the amount of 

money that the contractor may be entitled to if a suspension is 

determined to be unreasonable. 

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137 Defense Contingency COR Handbook

Do’s and Don’ts: Remedies

Table 3 summarizes do’s and don’ts for remedies.

Table 3. Do’s and Don’ts for Remedies

Remedies

Do Don’t

• Exercise Government rights, such 

as warranties. Make sure to deal 

with any problems before the 

warranty period runs out.

• Work with contractor personnel to 

prevent problems before they arise.

• Take actions to protect 

Government rights before delivery 

is due.

• Act without consulting the 

contracting officer. Instead, work 

with the contract administration 

team and contracting officer. 

• Allow interim or final delivery dates 

to be waived.

Delays

The COR is required to notify the contracting officer about any 

delay in the delivery or performance schedule. Specifically, the COR 

must (1) identify and verify the delay, (2) notify the contracting officer 

of the technical impact of the delay, (3) assist the contracting officer 

in evaluating the contractor’s response, and (4) notify the chain of 

command. The COR should be able to correctly identify the cause 

of a delay and work with the contracting officer for resolution. The 

technical analysis should be sufficient to support the action taken by the 

contracting officer to address the delay. 

Identifying and Verifying a Delay 

A delay occurs when the contractor fails to meet the delivery or 

performance schedule in the contract or when the Government causes 

the contractor to stop performing. The COR should review the contract 

for applicable clauses and modifications to ensure that the contracting 

officer did not previously extend the performance or delivery schedule. 

Chapter 8

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138

The COR can confirm the delay by performing the following: 

• Obtaining feedback from Government officials responsible for 

monitoring the performance or delivery schedule

• Reviewing the contractor’s notice and supporting documents 

regarding the delay

• Reviewing the contractor’s claim regarding the delay. 

The contractor might not be liable for any excess costs if the failure 

to perform the contract arises from causes beyond the control—and 

without the fault or negligence—of the contractor. For instance, the 

delay might have been caused by the Government, hostile actions, or 

natural disasters. 

Notifying the Contracting Officer about the Technical 

Impact of a Delay 

After a delay is confirmed, the COR should prepare documentation 

to help the contracting officer develop the Government’s position on the 

delay. Documentation should include facts and relevant information 

about the delay, such as the following: 

• List of people with factual knowledge about the delay

• Description of the delay

• History of performance, indicating when work under the contract 

began, when work deviated from expected performance, and when 

work stopped. 

The following issues also might be covered in a technical analysis: 

• Information that would support whether the delay was excusable

• Contractor progress to date and remaining obligations

• Estimate of a reasonable period of additional time to perform

• Potential alternatives and resolutions

• Pros and cons of each alternative (e.g., price, quantity, and quality). 

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139 Defense Contingency COR Handbook

Assistance for the Contracting Officer in Evaluating 

the Contractor’s Response 

The COR might be asked to help the contracting officer evaluate the 

contractor’s response. The contracting officer may ask the contractor to 

perform the following:

• Substantiate the evidence of the delay.

• Substantiate costs associated with the delay.

• Demonstrate that the delay was unreasonable. 

• Demonstrate that the delay was void of any concurrent or commingled 

delays.

Before the contractor can recover costs as a result of the delay, the 

contractor’s response must provide verifiable documentation of the 

expenses incurred. The contracting officer, with the help of the COR, 

must review each expense and determine whether the contractor should 

receive compensation. Such compensation can be in the form of money 

or time extensions. 

Fraud

Fraud is the intentional presentation of a falsehood as a truth, 

with the intent of causing someone to part with something of value. 

Various types of improper contractor activities fall under the general 

heading of procurement fraud and can lead to criminal and civil 

punishment. Only the U.S. Department of Justice may prosecute and 

resolve fraud cases on behalf of the U.S. Government. However, that 

approach does not mean that CORs should ignore suspicions of fraud 

or other dubious conduct. DoD has an obligation to administer its 

contracts effectively and efficiently for the U.S. taxpayer. DoD has 

the ability, with appropriate coordination with the relevant criminal 

investigative organizations, to take contractual and administrative 

remedies (e.g., suspension and debarment) as appropriate to address 

Chapter 8

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140

contractor misconduct while criminal investigators work to punish the 

misconduct. This strategy requires a coordinated approach to assessing 

and dealing with procurement fraud indicators. 

Primary procurement fraud indicators include the following:

• Gratuities (e.g., gifts, travel, entertainment)

• Duplicate documentation

• Payments made to addresses other than the firm’s official address

• Subcontractor or supplier complaints of nonpayment

• Errors in invoices or contractor data

• Actions beyond the normal scope of duties

• Irregular typeface on invoices

• Payment without receiving a receipt

• Little progress, but significant charging

• Multiple payments to the same supplier in similar amounts

• Shifting of costs between contracts

• Failed tests or inspections

• Bid information that is available before opening

• Poor quality

• Price discrepancies.

COR Responsibilities

• CORs are not investigators and should not personally investigate 

suspected cases of fraud. CORs are responsible for alerting the 

following stakeholders about fraud indicators or suspected fraud:

• Contracting officer

• COR supervisor

• Cognizant legal office

• Cognizant defense criminal investigative agency (e.g., the local 

Defense Criminal Investigative Service, Air Force Office of Special 

Investigations, Naval Criminal Investigative Service, or Army 

Criminal Investigation Command agent). 

Chapter 8

Monitoring the Contractor
141 Defense Contingency COR Handbook

Note: If local agents are not readily available, the COR may report 

suspicion of procurement fraud to the following hotline: 

Department of Defense Inspector General, Hotline (general hotline): 

800-424-9098, DSN 664-8799

http://www.dodig.mil/HOTLINE

CORs must keep a record of all suspected fraud communication. 

Contract Termination

There are two types of contract termination: termination for 

convenience of the Government and termination for cause/default. 

Termination for Convenience of the Government 

Under the Termination for Convenience clause, the Government has 

the right to cancel a contract when doing so is in the best interests of the 

Government, notwithstanding the contractor’s ability and readiness to 

perform. The Government may terminate a contract for convenience 

if the supply or service is no longer needed, the contract is no longer 

affordable, it is impossible for the contractor to perform as specified in 

the contract (through no fault of the contractor), or the requirement has 

changed radically. 

A termination for convenience allows the contractor to submit a 

settlement proposal for the work that has been accomplished under 

the contract up to the effective date of the termination, including costs 

associated with work in progress. The contracting officer and the 

contractor then negotiate a settlement agreement. The contractor is 

entitled to be reimbursed for costs incurred for work completed. 

Chapter 8

Monitoring the Contractor
142

Termination for Cause/Default 

The Government may, by written notice, terminate the contract if 

the contractor does not do the following:

• Deliver supplies or perform services within a specified time frame

• Make progress, thereby endangering contract performance

• Perform any provisions of the contract. 

Because the Government is not liable for work not accepted, a 

termination for cause/default has a greater adverse impact on contracts 

for supplies than on contracts for services. 

A termination for cause/default is improper if the contractor does not 

receive the required notice and opportunity to cure the situation. There 

must be at least 10 days remaining on the contract delivery schedule to 

use the Cure Notice.

Another type of delinquency notice is the Show-Cause Notice. This 

notice is used to discover an excusable cause/default associated with 

the contractor’s failure to perform. The Show-Cause Notice is used 

when there are fewer than 10 days remaining on the contract delivery 

schedule.

The following examples illustrate excusable failures to perform: 

• Acts of God

• Acts of a public enemy

• Acts of Government

• Natural disasters such as fires, floods, and earthquakes

• Epidemics

• Quarantine restrictions

• Strikes

• Freight embargoes. 

Chapter 8

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143 Defense Contingency COR Handbook

Note: The COR’s responsibilities are essentially the same in 

terminations for convenience or cause/default. Specifically, 

CORs must (1) keep the contracting officer informed, 

(2) provide recommendations to the contracting officer and the 

requiring organization, (3) review settlement proposals, 

and (4) document the file. 

Disputes 

Disputes between a contractor and the Government can occur 

when a controversy develops about interpreting the contract terms. 

Differences of opinion between the contractor and the Government 

should not interfere with the timely performance of the contract. All 

contracts contain a Disputes clause (FAR Subpart 52.233-1) that details 

the procedures to be followed in case of an unresolved disagreement 

between a contractor and the contracting officer. The COR will play a 

key role in advising the contracting officer about the intent of contract 

specifications or provisions that might be the subject of dispute. 

Consequently, the COR should understand the contract and should 

create and maintain the documentation required to state a position, 

in writing, to help the contracting officer. For each dispute received, 

the contracting officer must respond promptly with a written decision, 

including the reasons for the decision. Unless appealed within certain 

time limits, the contracting officer’s decision becomes final and is not 

subject to review. Because the Government must pay interest on claims 

that are in dispute, the COR must promptly provide the contracting 

officer with the necessary documentation. DFARS Subpart 233.2 

includes specific instructions concerning disputes, contracting officer 

decisions, and appeals. 

Chapter 8

Monitoring the Contractor
144

CORs should be prepared to submit various forms of documentation 

and correspondence developed during the course of a contract. CORs 

also should be prepared to give verbal testimony before the GAO, 

the General Services Administration Board of Contract Appeals 

(GSBCA), the Armed Services Board of Contract Appeals (ASBCA), 

or a court of the judicial system in connection with disputes or other 

contractual matters. The completeness, accuracy, and currency of the 

COR’s records may determine who prevails—the Government or the 

contractor. 

The following warning signs can indicate potential disputes: 

• Failure to meet performance deadlines

• Repeated safety violations

• Repeated incidents of poor quality work

• Complaints from site workers

• Prolonged delays

• Persistent complaints regarding Government employees or inspectors

• Complaints from subcontractors.

Disputes often can be resolved through an alternative dispute 

resolution process, which offers the following advantages: 

• Reduced settlement time

• Expertise and objectivity of a neutral adviser

• Privacy

• Reduced costs. 

The COR supports the ADR process by providing surveillance 

documentation and reports supporting the Government’s position. 

COR Working File

The COR is required to maintain a working file—in hard copy, 

electronically, or both—containing records relating to COR duties 

during the life of the contract and to dispose of those records as 

Chapter 8

Monitoring the Contractor
145 Defense Contingency COR Handbook

directed by the contracting officer. In addition, the COR is charged 

with safeguarding all procurement sensitive, business sensitive, and 

proprietary information in the files. The contents of the COR working 

file will vary according to the size and complexity of the contract. At 

a minimum, the file must contain (1) a copy of the contracting officer’s 

letter of appointment/designation and other documentation describing 

the COR’s duties and responsibilities and (2) documentation of actions 

taken in accordance with the letter of appointment/designation as well 

as any other documentation required by the contracting officer and 

referenced in the COR’s letter of appointment/designation. Appendix 

A includes a checklist of minimum COR file contents. However, good 

judgment and experience on the part of the COR will determine the 

necessary information that CORs must maintain in their files. 

Note: The COR working file is business sensitive and must be 

safeguarded appropriately. 

The COR working file is part of the official contract file and must 

be maintained according to the contracting officer’s instructions. The 

following key procedures are related to the COR file: 

• Maintain a separate, current COR working file for each contract and 

for each delivery order or task order. 

• As a matter of practice, prepare a memorandum for the record no 

later than 1 business day after significant meetings or discussions 

with the contractor or the contracting officer, including telephone 

conversations and trip reports. 

• Clearly index all documents and file them by category and in 

chronological order in a suitable folder. Examples of document 

categories are memoranda for the record, inspections, trip reports, 

and minutes of meetings and conferences. The goal is to organize 

Chapter 8

Monitoring the Contractor
146

the records so that rapid access to information by the COR and 

inspection by the contracting officer (and other authorized officials) 

are enabled. 

• Forward to the contracting officer any correspondence received 

from the contractor and retain a copy in the COR working file. 

• Send copies of all COR-prepared correspondence to the contracting 

officer. 

• Clearly mark the contract number on all documents and file folders. 

• Make the COR working file available for review by the contracting 

officer and other authorized officials. The contracting officer will 

schedule an appointment with the COR for review of the COR file. 

At a minimum, the contracting officer should review the COR file 

annually and should annotate the file with the results of the review, 

including findings and recommended actions (if any). 

• Retain records that pertain to unsettled claims, open investigations, 

cases under litigation, or similar matters until final clearance or 

settlement. 

• After completion or termination of the contract (or as otherwise 

directed by the contracting officer), forward the COR working file to 

the contracting officer for retention in the official contract file. 

• After termination of a COR appointment/designation, promptly 

transfer the COR files to the successor COR or forward them to the 

contracting officer, as instructed by the contracting officer. 

Note: The COR should receive the contract-related working 

file from the contracting officer during COR training. If key 

documents are missing from the file, the COR should contact the 

contracting officer to obtain copies. 

Chapter 8

Monitoring the Contractor
147 Defense Contingency COR Handbook

Do’s and Don’ts: Contract Monitoring

Table 4 summarizes do’s and don’ts for contract monitoring.

Table 4. Do’s and Don’ts for Contract Monitoring

Contract Monitoring

Do Don’t

• Set a level of monitoring that is 

consistent with the type of contract, 

complexity of the supplies or 

services, and importance of the 

contract to the overall program. 

• Read progress reports and 

immediately act on problems that 

they reveal. 

• Confirm that the contractor 

complies with every requirement of 

the contract. 

• Immediately contact the 

contracting officer when 

deficiencies or delinquencies are 

noted. 

• Use the contractor’s invoices to 

help monitor technical progress. 

• Assume that no news is good 

news. 

• Wait until a delivery is due or 

overdue to check progress. 

• Take independent action against 

a delinquent contractor. Instead, 

the COR should work through the 

contracting officer. 

• Order, request, or even suggest 

that the contractor do work that is 

not called for by the contract. 

• Act as if the COR is the 

contractor’s personnel manager. 

Remember that the COR reviews 

and approves or disapproves; the 

contractor supervises contractor 

personnel. 

• Assume that contractor billings are 

correct.

Chapter 8: Key Points

1. To properly monitor the contractor, the COR must know and 

understand contract requirements, as specified in the SOO, SOW, 

or PWS. 

2. The COR monitors the contractor based on the contract requirements 

specified in the SOO, SOW, or PWS and according to the COR letter 

of appointment/designation from the contracting officer.

Chapter 8

Monitoring the Contractor
148

3. The COR must notify the contracting officer, orally and in writing, if 

the contractor is not performing well (i.e., if contractor performance 

deviates from the SOO, SOW, or PWS). 

4. The contracting officer—and only the contracting officer—has the 

authority to give verbal or written directions to the contractor.

5. When applicable to a contract, progress reports are critical in 

monitoring contractor performance, especially for gauging early 

warning signs of potential changes, delays, or other problems in 

contractor performance. 

6. The contractor has the primary responsibility for quality assurance 

and for the timeliness of its supplies or services. However, the COR 

must assess contractor performance to ensure that the delivered 

supplies or services conform to contract requirements. 

7. For services, the COR can monitor contractor performance by using 

a variety of inspection methods, including the following:

a. Random sampling or stratified sampling

b. 100 percent inspection for stringent performance requirements 

concerning health and safety

c. Periodic inspection or planned sampling to evaluate tasks 

selected on a basis other than a 100 percent inspection or random 

sampling

d. User feedback, which is a valuable supplement to more systematic 

surveillance methods.

8. An important part of the performance assessment process is 

documenting how well a contractor performs on a contract. 

9. The contracting officer has the following available remedies 

to address supplies or services that do not conform to contract 

requirements:

a. Bring the particular deficiency to the attention of the contractor 

by sending a letter or holding a meeting and obtain a commitment 

for appropriate corrective action

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149 Defense Contingency COR Handbook

b. Extend the contract schedule if excusable delays in performance 

are involved (e.g., combat situations or extreme weather 

conditions)

c. Withhold contract payments if the contractor fails to comply with 

delivery or reporting provisions of the contract

d. Terminate the contract for cause or default. 

10. The COR is required to notify the contracting officer about any 

delay in the delivery or performance schedule. 

11. CORs are not investigators. CORs should not personally investigate 

suspected cases of fraud. Rather, CORs should determine the facts 

of the questionable circumstances and occurrences and then advise 

the contracting officer, commander, COR supervisor, or cognizant 

defense criminal investigative agency. 

12. According to the United Nations, human trafficking “is a crime 

against humanity. It involves an act of recruiting, transporting, 

transferring, harboring or receiving a person through a use of 

force, coercion or other means, for the purpose of exploiting them.” 

CORs must be diligent in ensuring that contractors and contractor 

personnel are not trafficking in persons. 

13. If a dispute over, or request for, equitable adjustment occurs, CORs 

should be prepared to submit documentation developed during the 

course of contract performance in support of the contracting officer. 

14. The COR is required to maintain a working file (in hard copy, 

electronically, or both) containing records relating to COR duties 

during the life of the contract and to dispose of those records as 

directed by the contracting officer. The COR working file should be 

considered confidential and should be safeguarded appropriately. If 

key documents are missing from the file, the COR should contact the 

contracting officer to obtain copies. 

Chapter 8

Monitoring the Contractor
150 Chapter 8

Notes
Chapter 9

Developing a Quality Assurance

Surveillance Plan

CHAPTER

CONTENTS

QASPs for Services 

Contracts ........................153

QASP Composition 

and Method.....................155

Contract Surveillance 

Checklist.........................157

Deficiency 

Identification ...................157

Automated 

Requirements 

Roadmap Tool ................160

Chapter 9: Key Points.....161
152

The development of a QASP is one of the most important roles of 

the COR during acquisition planning and the Pre-Award Phase. 

This document defines the process that the Government uses to 

evaluate the contractor’s execution of the PWS or SOW. The QASP is 

developed in conjunction with PWS or SOW development and must 

be entirely consistent with that document. It is extremely important 

for the COR to be involved early in the process to ensure that the 

QASP is developed correctly. Measurable objectives and standards 

must be included in the PWS so that the COR can develop an effective 

and practical QASP. Involving the COR in this process will ensure 

that measurable objectives are identified. The COR will develop the 

QASP based on the Performance Requirement Summary (PRS) and 

deliverable schedule in the PWS. The QASP explains the following:

• What will be monitored

• How monitoring will take place

• Who will conduct the monitoring

• How monitoring efforts and results will be documented.

The QASP does not detail how the contractor should accomplish the 

work. Instead, the QASP is created on the premise that the contractor is 

responsible for management and quality control actions to meet the terms 

of the contract. The Government is responsible for being objective, fair, 

and consistent in evaluating performance. In addition, the QASP should 

recognize that unforeseen and uncontrollable situations might occur, 

such as acts of God (e.g., bad weather or earthquakes) or situations 

resulting from a combat environment.

The QASP should be treated as a living document, and the COR 

should regularly review it and refer to it. If the COR concludes that 

the QASP requires or would benefit from revision, the COR should 

coordinate with the contracting officer on any suggested changes to 

the document. Only the contracting officer has the authority to make 

Chapter 9

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153 Defense Contingency COR Handbook

formal changes to the QASP. Updates might be called for to ensure that 

the QASP remains a valid, useful, and enforceable document. Both 

the contractor and the CORs who are implementing the surveillance 

activities must receive copies of the original QASP and any subsequent 

revisions.

QASPs for Services Contracts

The QASP is an important tool that the COR can use as a guide for 

systematically and effectively monitoring the quality of the services 

received and their compliance with the terms of the contract. The QASP 

also is used as a guide for determining if and when the Government 

needs to (1) intercede and possibly terminate a contract or (2) exercise 

contract options. (Options should be exercised after assessing the 

incumbent’s performance under the current contract and testing the 

market to ensure a fair and reasonable price for conduct of services.) 

In FFP contracts, the purpose of surveillance is to identify any factors 

that might delay performance, particularly when it becomes necessary 

for the Government to accept performance shortfalls from contractually 

established standards. 

Typically, the requiring organization that drafts the SOO, SOW, or 

PWS also develops the QASP and surveillance methods, tailoring them 

to meet specific contract requirements and operating conditions. The 

QASP details how and when the Government will survey, observe, 

test, sample, evaluate, and document contractor performance. The 

QASP shall include procedures to monitor the contractor’s performance 

regarding CTIP so that noncompliance with FAR Subpart 52.222-

50, “Combating Trafficking in Persons,” is brought to the immediate 

attention of the contracting officer.37 The QASP also outlines the 

corrective procedures to be taken against the contractor for deficient 

37 FAR Subpart 22.17, DFARS Subpart 222.17, and DCMA Instruction 226-1.

Chapter 9

Developing a Quality Assurance Surveillance Plan
154

performance—for example, issuing discrepancy reports that require 

corrective action responses, taking deductions from payments 

in FFP contracts (if such provisions were made), and submitting 

recommendations to the contracting officer about the nature and 

significance of any performance shortfalls. The QASP may be adjusted 

to address contract risks that were not originally anticipated or no longer 

threaten contract success. The PRS can be released to the contractor, 

but the QASP is an internal Government document. 

Not every contract, delivery order, or task order requires a QASP. 

However, such a plan is mandatory for any contract, task order, or 

delivery order for services that exceed the simplified acquisition 

threshold. Therefore, contracts for services—including T&M contracts 

and labor-hour contracts—must include QASPs to facilitate the 

assessment of contractor performance. These plans must be prepared 

in conjunction with the preparation of the SOO, SOW, or PWS and 

should be tailored to address performance risks inherent in the specific 

contract type and the work effort addressed by contract. 

The purpose of contract surveillance is to monitor contractor 

performance to ensure that the services received are consistent with 

the contract quality requirements and are received in a timely manner. 

The objective of contract surveillance is to address any issues with 

contractor performance and related factors before serious performance 

issues arise. To be effective, contract surveillance requires appropriate 

and immediate onsite monitoring of the services being performed. 

Onsite monitoring should include periodic verification and analysis 

of the services performed. Each inspection made by Government 

inspectors must be scheduled, and the results must be documented and 

filed for future reference, audit, and proof of inspection.

The effectiveness of contract surveillance depends on keeping the 

contracting officer informed in a timely manner about deviations from 

the contractual requirements. Working with the COR and other relevant 

Chapter 9

Developing a Quality Assurance Surveillance Plan
155 Defense Contingency COR Handbook

staff and management, the contracting officer will determine if and when 

to intercede and terminate a contract, when to take other appropriate 

corrective actions, and if and when to exercise contractual options.

The surveillance procedures in the QASP must be discussed at the 

post-award orientation meeting (if held) to ensure full understanding 

by all parties. The procedures will specify a schedule of inspections, 

but will allow at least some unannounced inspections. For example, 

scheduled inspections might be described as follows: “Once every 

month [task] will be inspected to assess the quality of work and progress 

toward completion. Random sampling will be done as work progresses. 

Near contract completion, a 100 percent inspection will be performed.”

Because it is developed and used by the Government, the QASP 

can be modified at any time. The decision to change the plan depends 

largely on the contractor’s demonstrated capability to effectively 

implement its Quality Control Plan. Surveillance should be increased 

if the contractor begins to experience problems or difficulties in its 

performance, financial strength, management, quality assurance, or 

accounting system.

QASP Composition and Method

The QASP should address the following topics: 

• Purpose of the plan

• Roles and responsibilities

• Procedures

• Methods of assessment

• Successful performance and remedies

• Certification of services

• Sample of a contract discrepancy report 

• Corrective Action Process (CAP)38

38 Suppliers must adequately identify and correct assignable causes of nonconformity in accordance 

with DCMA Instruction 226-1.

Chapter 9

Developing a Quality Assurance Surveillance Plan
156

• Complaint procedures and training instructions

• Receipt of customer complaints

• Documentation

• Abbreviations. 

At a minimum, the QASP should accomplish the following: 

• Provide a schedule for periodic onsite inspections, floor checks, 

and audits of contractor billings to ensure that costs charged to the 

contract are legitimate and reasonable. Specify how often (e.g., 

weekly, monthly) inspections will occur. 

• Identify what will be checked during an inspection, how it will 

be checked, and what type of sample will be used (e.g., random, 

100 percent). For example, describe the scope of the inspection 

as follows: “Once every month, technical bulletin revisions will 

be inspected to assess the quality of work and progress toward 

completion. The revisions will be read for quality and accuracy. 

Random sampling will be done as work progresses. Near contract 

completion, a 100 percent inspection will be performed.” 

• Describe the method that will be used for checking cost-type 

contract invoices to ensure that only those labor categories used for 

performance of a task or project are invoiced to the Government. 

Describe how materials or supplies will be delivered and accepted 

under a cost or fixed-price contract. Identify the frequency of 

inspections of timecards and payroll records. Specify the policy for 

delivery and acceptance procedures. 

• For cost-type contracts, explain how the contracting officer will 

ensure that the prime contractor has obtained adequately competitive 

bids when acquiring materials. For example, note in the QASP 

that competitive acquisition of materials by the contractor will be 

checked for charges that exceed a certain dollar amount. 

• Explain how the contracting officer will ensure that progress 

Chapter 9

Developing a Quality Assurance Surveillance Plan
157 Defense Contingency COR Handbook

payments on fixed-price contracts do not exceed the quality and 

quantity of work completed and that payment is made in accordance 

with the progress payment clause. For example, note that the quantity 

and quality of work will be inspected to determine whether the work 

completed to date justifies the amount of the payment to be made. 

Effective use of the QASP, in conjunction with the contractor’s 

Quality Control Plan, will allow the Government to evaluate contractor 

success in meeting the specified contract requirements. Surveillance 

should be increased if the contractor begins to experience problems or 

difficulties in its performance, financial strength, management, quality 

assurance, or accounting system. 

Each Government inspection must be scheduled, and the results 

must be documented and filed for future reference, audit, and proof 

of inspection. User complaints, unsatisfactory contract performance, 

equipment breakdown, meetings, and the like also should be documented 

and filed. This documentation could be in the form of a contract 

deficiency report, minutes of meetings, annotations on tally checklists, 

correspondence, and so forth. 

A sample QASP template and a COR Checklist Memorandum are 

included on the DVD in Attachment 1.

Contract Surveillance Checklist

The COR should use a contract surveillance checklist to ensure 

correct performance of COR duties. Appendix A includes a checklist 

for contract surveillance.

Deficiency Identification

Effective contract surveillance relies on two methods for identifying 

unacceptable performance—Contractor Identified Discrepancies 

(CIDs) and Government Identified Discrepancies (GIDs). 

Chapter 9

Developing a Quality Assurance Surveillance Plan
158

CIDs are generated when contract employees detect discrepancies 

during performance of routine daily services or through the contractor’s 

quality program. Relevant quality assurance personnel review CIDs 

and perform the following:

• Review corrective actions taken by the contractor to resolve a 

discrepancy.

• Determine whether the discrepancy has been corrected. If the 

discrepancy has been resolved, review the corrective action and any 

applicable procedures that the contractor has established to preclude 

recurrence of the problem.

• Document the discrepancy as well as the contractor’s corrective 

action in the end-of-month Certificate of Service (COS) report or 

the Receiving Report (DD 250) that is provided to the contracting 

officer. Also include the documentation in the surveillance activity 

checklist.

• If a CID has not been resolved and the contractor has established an 

estimated completion date (ECD) for resolution of the discrepancy, 

monitor the contractor’s efforts in resolving the discrepancy. In 

addition, the discrepancy will be noted in the COS report or DD 250 

until the discrepancy is closed.

• If the ECD for resolution of the discrepancy is excessively delayed 

based on the nature of the discrepancy, notify the quality assurance 

specialist, who can then evaluate the recommendation to identify the 

appropriate course of action.

GIDs are generated as a result of quality assurance personnel 

inspections of contractor performance that detect noncompliance 

with contractual requirements. The QAS will record each GID on a 

Contractor Performance Evaluation Report (CPER). Before a CPER 

is generated, the contractor will have the opportunity to show whether 

the deficiency has already been identified and is being addressed. If 

Chapter 9

Developing a Quality Assurance Surveillance Plan
159 Defense Contingency COR Handbook

available documentation substantiates that the contractor’s quality 

program has identified the deficiency and that timely corrective action is 

being taken to address the deficiency, a CPER will not be issued.

Customer complaints are also a critical source of surveillance 

information. To facilitate customer feedback, when appropriate, the 

following steps may be taken:

• Educate customers about the services being provided by the 

contractor by sending an e-mail or posting the inspection checklist 

in public parts of the facility. The checklist should include the 

contractor’s name, contractor’s POC, Government POC, telephone 

numbers for both POCs, contract number, and performance 

objectives, including at a minimum the objectives in the QASP that 

rely on customer feedback.

• If appropriate, make customer feedback forms available at the same 

location as the posted inspection checklist. The customer feedback 

form shall include clear and simple instructions for the customer 

on recording comments. The form should allow both positive and 

negative comments.

• If an immediate response to a complaint is needed, provide the 

customer with instructions on how to proceed. The COR will gather 

all completed customer feedback forms and evaluate the validity of 

any negative comments, investigating as appropriate. If the COR 

concludes that the negative comment is not valid, the customer 

will be informed about the reasons, with an invitation for further 

correspondence if the customer so desires.

• For validated negative comments or GIDs, notify the contractor’s 

quality control inspector (QCI) to create the opportunity for 

investigation and comment. The COR will also notify the customer 

about the corrective action taken by the contractor, if applicable.

• Conduct a trend analysis of validated negative comments (performed 

by the COR, with assistance from the QAS).

Chapter 9

Developing a Quality Assurance Surveillance Plan
160

Automated Requirements Roadmap Tool 

The Automated Requirements Roadmap Tool (ARRT) is a job 

assistance tool used to write performance-based requirements, 

following the requirements roadmap process. With ARRT, the user 

can create a PWS, QASP, and PRS. ARRT is developed in Microsoft 

Office applications and generates Microsoft Word documents for use 

in an acquisition. The tool’s embedded methodology produces better 

requirements. Its step-by-step approach guides the user through 

questions, using the answers to create documents. ARRT is available 

for download through the DAU Service Acquisition Mall at http://sam.

dau.mil/Content.aspx?currentContentID=arrt_downloadables#ARRT_

Download.

39 Figure 7 shows a sample screenshot from ARRT.

39 Additional information on ARRT is available at http://sam.dau.mil/Content.

aspx?currentContentID=arrt.

Chapter 9

Developing a Quality Assurance Surveillance Plan
161 Defense Contingency COR Handbook

Chapter 9

Developing a Quality Assurance Surveillance Plan

Figure 7. ARRT Sample Screen Shot
162 Chapter 9

Developing a Quality Assurance Surveillance Plan

Chapter 9: Key Points

1. The development of a QASP is one of the most important roles that 

the COR plays in acquisition planning and the Pre-Award Phase.

2. The QASP does not detail how the contractor will accomplish 

the work. Instead, the QASP is created on the premise that the 

contractor is responsible for the management and quality control 

actions necessary to meet the terms of the contract.

3. The QASP should be treated as a living document, and the COR 

should regularly review it and refer to it.

4. The COR can use the QASP as a guide for systematically and 

effectively monitoring the quality of the services received and their 

compliance with the terms of the contract. 

5. In conjunction with the contractor’s quality control plan, effective 

use of the QASP will enable the Government to evaluate the 

contractor’s success in meeting the specified contract requirements. 

6. The COR should use a contract surveillance checklist to ensure 

correct performance of COR duties.

7. Effective contract surveillance relies on two methods for 

identification of unacceptable performance, CIDs and GIDs. 

8. The ARRT is a job assistance tool used to write performance-based 

requirements, following the requirements roadmap process.
Chapter 10

Monitoring Services Contracts

CHAPTER

CONTENTS

Personal and 

Nonpersonal Services ....164

Contractor Inspection 

Clauses for Services 

Contracts ........................166

Performance Work 

Statements for 

Services Contracts .........167

Incident Reporting ..........167

Contract Work Hours 

and Safety 

Standards Act .................168

Logistics Civil 

Augmentation 

Program Contracts .........168

Planning .....................169

Management ..............170

Chapter 10: Key Points...170
164

Personal and Nonpersonal Services

A services contract can provide for either personal services or 

nonpersonal services. Such contracts can also cover services 

performed by either a professional or nonprofessional entity, 

whether an individual or an organization. A personal services contract, 

by its express terms or as administered, makes the contractor personnel 

appear to be, in effect, Government employees. 

Personal services are characterized by the employer-employee 

relationship created between the Government and contractor personnel. 

Obtaining personal services by contract rather than by direct hire 

circumvents and violates civil service laws unless Congress has 

specifically authorized acquisition of the services by contract. 

(Agencies may not award personal services contracts unless specifically 

authorized by statute.40) An employer-employee relationship under a 

services contract occurs when—as a result of express contract terms 

or the manner of their administration during performance—contractor 

personnel are subject to the relatively continual supervision and control 

of a Government officer or employee and the contractor personnel appear 

to be, in effect, Government employees. The following characteristics 

are typical of a personal services contract:

Performance is onsite. 

• The Government furnishes principal tools and equipment. 

• Services directly support the integral effort of an entity to accomplish 

its assigned function or mission. 

• Civil service personnel perform comparable services that meet 

comparable needs in the same agency (or similar agencies). 

• Performance addresses inherently governmental functions. The 

inherent nature of the services, or the manner in which they are 

40 5 U.S.C. Section 3109.

Chapter 10

Monitoring Services Contracts
165 Defense Contingency COR Handbook

provided, reasonably requires direct or indirect Government 

direction or supervision of contractor employees to perform one of 

the following: 

» Adequately protect the Government’s interests

» Retain control of the function involved

» Retain full personal responsibility for the function supported by 

a duly authorized Federal officer or employee. 

FAR Subpart 2.101 defines a nonpersonal services contract as 

“a contract under which the personnel rendering the services are 

not subject, either by the contract’s terms or by the manner of its 

administration, to the supervision and control usually prevailing in 

relationships between the Government and its employees.” Stipulating 

contractor employee duty hours, requiring contractor personnel to 

report to a Government official, requiring contractor employees to 

complete certain Government forms, maintaining contractor personnel 

records such as timecards, and granting leave requests are examples 

of actions that are grounds for the nonpersonal services contractor to 

initiate a claim against the Government. The post-award administration 

of a nonpersonal services contract is a critical time to use caution 

to prevent nonpersonal services contracts from becoming personal 

services contracts. The COR must be vigilant because this critical area 

exposes the COR and the Government to liability. The solution is to 

write a thorough SOO, SOW, or PWS that specifies the duty hours and 

the contractor’s arrangement for supervising its employees. 

When contracting for services, Government policy is to 

use performance-based contracting methods and to contract for 

nonpersonal services rather than personal services to the maximum 

extent practicable. 

Chapter 10

Monitoring Services Contracts
166

Contractor Inspection Clauses for Services Contracts

FAR Subpart 52.246-1 addresses contractor inspection requirements 

as follows: 

The Contractor is responsible for performing or having performed 

all inspections and tests necessary to substantiate that the supplies 

or services furnished under this contract conform to contract 

requirements, including any applicable technical requirements for 

specified manufacturers’ parts. 

The related clauses specific to services contracts include the 

following: 

• FAR Subpart 52.246-4, “Inspection of Services—Fixed-Price,” FAR 

Subpart 52.246-5, “Inspection of Services—Cost-Reimbursement,” 

and FAR Subpart 52.246-6, “Inspection—Time-and-Material and 

Labor-Hour,” require the contractor to provide and maintain an 

inspection system acceptable to the Government that covers the 

services to be performed under the contract, to keep complete 

records of contractor-performed inspections, and to make such 

records available to the Government during the life of the contract. 

• FAR Subpart 52.246-14, “Inspection of Transportation,” requires the 

contractor to furnish Government representatives with free access 

and reasonable facilities and assistance as required to accomplish 

their inspections and tests. 

At a minimum, contractor records must indicate the nature of the 

observations, number of observations made, and number and type 

of deficiencies found. The inspection records also must note the 

acceptability of the services and actions taken to correct deficiencies. 

The COR must ensure that the contractor complies with this contract 

requirement. 

Chapter 10

Monitoring Services Contracts
167 Defense Contingency COR Handbook

Performance Work Statements for Services Contracts

The PWS defines the contract performance requirements (i.e., the 

work to be accomplished). Defining the performance requirements 

includes identifying required outputs, key performance indicators or 

performance characteristics, and acceptance standards. 

There is no standard template or outline for a PWS. The contracting 

officer will provide specific guidance on developing a PWS. The DAU 

Service Acquisition Mall41 furnishes tools and templates to help create 

a PWS. FAR Subpart 37.602 requires that, to the maximum extent 

practicable, agencies perform the following: 

• Describe work in terms of required results rather than specifying how 

the work will be done or noting the number of hours to be provided

• Enable the assessment of work performance against measurable 

performance standards

• Rely on measurable performance standards and financial incentives 

in a competitive environment to encourage innovation and costeffective methods of performing the work. 

Incident Reporting

It is important for CORs to know that contractors are required to 

report alleged offenses committed by or against contractor personnel 

to the appropriate investigative authorities, and CORs might need to 

help the contractor locate the appropriate authority. Victim and witness 

protection (and assistance for contractor personnel in connection with 

alleged offenses) will be provided. Appendix A includes a sample 

critical incidents checklist with instructions. The DVD included in 

Attachment 1 provides a blank version and a completed example of the 

checklist.

41 The DAU Service Acquisition Mall website is available at http://sam.dau.mil/. DAU also 

provides Service Acquisition Mall training workshops. 

Chapter 10

Monitoring Services Contracts
168

Contract Work Hours and Safety Standards Act

Depending on the nature of the contract and the COR’s letter 

of appointment/designation, the COR may participate in reviews 

of the contractor’s time charges. The Contract Work Hours and 

Safety Standards Act (40 U.S.C. Sections 327–333) requires that 

certain contracts contain a clause (FAR Subpart 52.222-4, “Contract 

Work Hours and Safety Standards Act—Overtime Compensation”) 

specifying that no laborer or mechanic doing any part of the work 

covered by the contract can be required or permitted to work more than 

40 hours in any work week unless all additional hours are compensated 

at not less than 1.5 times the basic rate of pay. 

Violations of the act can be detected during a labor interview. Part of 

the interview requires the employee to divulge the total number of hours 

worked during the previous week. Contractors and subcontractors in 

violation of this contract provision must pay the back wages owed to 

the employee plus liquidated damages per day per affected employee. 

This amount can be withheld from monies owed to the contractor under 

the contract or from payments owed under any other contract that the 

contractor has with the Government. Approval for the use of overtime 

may only be granted by an authorized agency approving official (i.e., 

the contracting officer) after a determination in writing that OT is 

necessary. 

Logistics Civil Augmentation Program Contracts

The Logistics Civil Augmentation Program (LOGCAP) is an 

Army program for augmenting the forces by providing a services 

capability to meet externally driven operational requirements for rapid 

contingency augmentation support. LOGCAP personnel plan for and 

execute contracted support services, working in conjunction with the 

Army Field Support Brigade and Contract Support Brigade for the 

Chapter 10

Monitoring Services Contracts
169 Defense Contingency COR Handbook

deployed forces performing missions directed or supported by DoD 

during global contingency operations. In general, LOGCAP provides 

logistics services and minor construction support for operations of any 

scale. The LOGCAP contracts are designed to provide general logistics 

and minor construction support to deployed Army, joint, multinational, 

and interagency forces. The Army is currently managing the fourth 

contractual iteration of LOGCAP. LOGCAP IV differs from LOGCAP 

I through III because it now has one support and three performance 

contractors instead of just one contractor. 

Planning

The LOGCAP Program Management Office (PMO) supports 

requiring activities by engaging in deliberate strategic planning. 

LOGCAP planners participate in designated planning conferences and 

prepare both general and operationally specific plans. In conjunction 

with various operational commands, the LOGCAP PMO has created 

a library of plans that cover a range of scenarios, from support plans 

for contingency operations in various developed and undeveloped 

countries to plans supporting specific regional contingency plans or 

operation plans across the range of potential military operations. Event 

planning can begin after the initial discussion between a requiring 

organization and the LOGCAP PMO. This discussion is generalized; 

entails an initial assessment of scope, location, and duration; and helps 

both the LOGCAP PMO and the requiring organization in deciding 

whether LOGCAP activities are an appropriate course of action. After 

the decision is made to use LOGCAP—and is approved by the Deputy 

Chief of Staff for Logistics (DCS G4)—focused planning begins, 

involving the LOGCAP PMO, Army Contracting Command–Rock 

Island (ACC-RI), requiring organization, and LOGCAP contractors. 

Chapter 10

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170

Management

The Army LOGCAP is a Headquarters, Department of the Army 

(HQDA). program. The HQDA Office of the Deputy Chief of Staff 

for Logistics (G4) holds primary responsibility for program policy, 

guidance, and direction and also serves as the LOGCAP Management 

Decision Evaluation Package (MDEP) program manager proponent 

and approval authority for the use of LOGCAP services. The U.S. 

Army Materiel Command, through its subordinate Army Sustainment 

Command, serves as the principal agent responsible for LOGCAP 

administration, management, and execution. The Army component’s 

Field Support Brigade, augmented by a Team LOGCAP Forward 

consisting of a LOGCAP deputy program manager and planning team—

including DCMA, DCAA, U.S. Army Corps of Engineers, elements of 

the LOGCAP PMO, LOGCAP support contractors, and an element of 

the LOGCAP Support Group—gives the joint forces commander and 

Army forces commander a single focal point for centrally managing 

LOGCAP planning and execution in the Theater of Operation. Within 

the operational area, Team LOGCAP Forward helps incorporate 

LOGCAP requirements into operation plans and fragmentary orders 

and will provide other assistance to requiring activities with validated 

LOGCAP requirements. 

Chapter 10: Key Points

1. The majority of Government services contracts are for nonpersonal 

services.

2. A personal services contract, by its express terms or as administered, 

makes the contractor personnel appear to be, in effect, Government 

employees. 

3. The acquisition regulation inspection clauses are key to giving the 

COR the statutory authority with the contractor to allow the COR to 

oversee contract performance.

Chapter 10

Monitoring Services Contracts
171 Defense Contingency COR Handbook

4. The PWS is a critical document that defines the contract’s 

performance requirements.

5. To help the COR ensure that the contractor is meeting performance 

requirements, a QASP is used (and is included in the contract). 

The QASP establishes the metrics that the COR will use to assess 

successful contract performance.

Chapter 10

Monitoring Services Contracts
172 Chapter 10

Notes
Chapter 11

Monitoring

Construction

Contracts

CHAPTER

CONTENTS

Performance 

and Payment Bonds .......174

Contractor Inspection 

Clauses...........................174

COR Compliance 

Checking.........................175

Correction 

of Deficiencies ................175

Liquidated Damages.......176

Differing Site 

Conditions.......................177

Contractual Rights 

of the Government..........177

Progress Payments ........178

Suspension of Work .......180

Chapter 11: Key Points...181
174

Performance and Payment Bonds

The Miller Act requires contractors to furnish performance and 

payment bonds for construction contracts worth more than 

$150,000. Bonds are similar to an insurance policy. A bond is 

a written instrument between the contractor and a third-party surety 

to ensure fulfillment of the contractor’s obligation to the Government 

and to suppliers of labor and material for a given project. Performance 

bonds protect the Government from default by the prime contractor and 

are required in the amount of 100 percent of the original contract price 

for construction contracts (FAR Subpart 52.228-15, “Performance and 

Payment Bonds—Construction”). Payment bonds protect suppliers of 

labor and materials if the prime contractor does not reimburse those 

subcontractors. Payment bonds are required because construction 

subcontractors do not have the legal right to place mechanic’s liens 

against real property of the Government. However, subcontractors in 

a civil contract can place such liens against real property if the prime 

contractor does not reimburse the subcontractors. 

Contractor Inspection Clauses

When construction contracts are worth more than the simplified 

acquisition threshold, the contractor is required to maintain an 

inspection system, as noted in FAR Subpart 52.246-12, “Inspection of 

Construction”: 

The Contractor is responsible for performing or having performed 

all inspections and tests necessary to substantiate that the supplies 

or services furnished under this contract conform to contract 

requirements, including any applicable technical requirements for 

specified manufacturers’ parts. 

The contractor must make its inspection records available to the 

Government. At a minimum, the contractor’s records must document 

Chapter 11

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175 Defense Contingency COR Handbook

the nature of the observations, number of observations made, and 

number and types of deficiencies found. The records also must 

indicate the acceptability of the work and the actions taken to correct 

deficiencies. The COR must ensure that the contractor complies with 

this contract requirement. 

COR Compliance Checking

The COR must perform the following compliance checks for 

construction contracts: 

• Review the contractor’s certified payrolls.

• Check work sites for required postings. 

• Conduct labor standard interviews. 

• Compare payrolls and onsite interviews. 

• Resolve discrepancies or violations. 

Correction of Deficiencies 

In accordance with the Inspection of Construction clause, the 

contractor must replace materials—or must correct the inspection 

system, inspection methods, or workmanship—if they do not conform to 

the contract requirements. The contractor must make such corrections 

at no additional cost to the Government. In addition, the contractor is 

subject to the liquidated damages specified in the contract or the actual 

damages incurred by the Government. If the contractor fails to correct 

deficiencies, the general provisions of the contract include specific 

actions to be taken by the contracting officer, as follows: 

• Replace or correct the item (or the work) at the contractor’s expense. 

This action may be accomplished by awarding a new contract or by 

using the Government’s own resources. 

• Accept the items with a reduction in price. This action is accomplished 

by formal modification to the contract. The reduced price is based 

Chapter 11

Monitoring Construction Contracts
176

on the reasonable value of the item, taking into account the possible 

cost of correcting the item. 

• Terminate the contract for default. This action is taken only as a 

last resort. If the item or work must be reprocured, the contractor is 

normally liable for excess costs incurred by the Government. 

The COR may not take any of these specified actions, but must ensure 

that the contracting officer receives timely notice of the deficiencies. 

Liquidated Damages

Liquidated damages are required in DoD construction contracts 

worth more than $500,000, but also may be used in contracts that 

fall under this threshold if the contracting officer concludes that the 

Government might suffer a loss if the project is not completed on 

time. Liquidated damages are amounts agreed to in advance to avoid 

litigation. They are based on the damage that one party might incur if 

the other does not complete the contract on time. Because liquidated 

damages are determined before contract award, they can be only 

estimates and might not accurately represent the actual damages that 

the Government ultimately incurs. The specified liquidated damages 

do not equal the exact damages that might be incurred, but must show 

some reasonable relationship to anticipated damages. If there is no 

reasonable relationship to anticipated damages, liquidated damages will 

be categorized as a penalty and will not be enforced. The contract must 

contain a clause limiting the amount of liquidated damages that can be 

assessed against a contractor. The Government is entitled to the amount 

of liquidated damages agreed to in advance unless the contractor has 

encountered an excusable delay. 

The COR must keep accurate notes and records. For example, 

contractors normally dispute the number of days that have been 

assessed, not the liquidated damage rate. Consequently, the COR must 

Chapter 11

Monitoring Construction Contracts
177 Defense Contingency COR Handbook

keep adequate daily records of weather or other relevant conditions that 

might affect the completion of the contract. Contracting officers have 

final authority to decide whether they will enforce liquidated damages 

if the delay is not excusable. 

Differing Site Conditions

One of the major risks of construction projects is the type of 

subsurface or other latent physical condition that will be encountered. 

If bidders were required to assume the full risk of these conditions, 

they would have to either examine the site extensively or include 

contingencies in their bids to protect themselves against potential 

unfavorable conditions. On the other hand, the Government normally 

has obtained information concerning site conditions during its design of 

the project before soliciting bids—and it wants to avoid the disruption 

and bidding expense involved in each bidder performing borings 

or other extensive investigations. In response to this situation, the 

Government has made its information about the site available to bidders, 

admonished bidders to make reasonable site investigations, and relieved 

the contractor from the risk of certain types of unexpected unfavorable 

conditions while protecting the Government if conditions actually are 

more favorable than expected. The contractor has an affirmative duty 

to notify the Government when it encounters a site condition that differs 

from the expected condition.

Contractual Rights of the Government 

A contractual right of the Government cannot be waived, and a 

contract may not be modified for the convenience of a contractor. 

However, it might be in the best interests of the Government not to 

reject the materials or services delivered under a construction contract 

because of consequences such as resultant utilities shutoff, downtime of 

equipment or facilities, excessive inconvenience to users or occupants, 

Chapter 11

Monitoring Construction Contracts
178

or other reasons unique to the contract—all costs that might not be 

recoverable from the contractor as damages. If the Government wants 

to accept work that essentially meets its needs, but does not conform to 

the requirements of the contract, the COR must furnish the contracting 

officer with recommendations to accept the work as well as findings 

on all points in which the work fails to meet contractual requirements 

and an estimate of the time required (and the cost decrease because of 

penalties, if applicable) for the contractor to complete performance. 

The contracting officer may extend the contract completion date by 

formal modification to allow the contractor to correct deficient work. 

Progress Payments 

FAR Subpart 52.232-5, “Payments Under Fixed-Price Construction 

Contracts,” provides that, as the work proceeds, the contractor is 

entitled to progress payments monthly or at more frequent intervals 

as determined by the contracting officer. This clause further permits 

a maximum retention of 10 percent of the amount of the payment 

until satisfactory progress is achieved (unless the contracting officer 

approves a lower retention percentage). For progress payments, the 

contracting officer should advise the contractor before onsite work 

begins to furnish a breakdown of the total contract price, showing the 

price for each principal category of work. Such a breakdown should be 

as detailed as requested by the contracting officer, providing a basis for 

processing progress payments. The work categories in the contractor 

request for progress payment may be the same as those in the progress 

schedule approved by the contracting officer (in accordance with FAR 

Subpart 52.236-15, “Schedules for Construction Contracts”), which is 

included in all construction contracts that have a performance period 

exceeding 60 days. A detailed breakdown is not needed for final 

payments under a contract line item. 

Chapter 11

Monitoring Construction Contracts
179 Defense Contingency COR Handbook

FAR Subpart 52.232-5 also requires the following: 

Along with each request for progress payments, the contractor shall 

furnish the following certification, or payment shall not be made: I 

hereby certify, to the best of my knowledge and belief, that (1) The 

amounts requested are only for performance in accordance with the 

specifications, terms, and conditions of the contract; (2) Payments to 

subcontractors and suppliers have been made for previous payments 

received under the contract, and timely payments will be made 

from the proceeds of the payment covered by this certification, in 

accordance with the subcontract agreements and the requirements 

of 31 U.S.C. Section 39; and (3) This request for progress payments 

does not include any amounts that the prime contractor intends to 

withhold or retain from a subcontractor or supplier in accordance 

with the terms and conditions of the subcontract. This certification 

is not to be construed as final acceptance of a subcontractor’s 

performance. 

The COR must screen each invoice for progress payments and 

the certification just described and then compare the total amount 

invoiced with the progress reports to ensure that the percentage of the 

amount invoiced is not excessive relative to the percentage of work 

accomplished. The COR must ensure that all receipts and acceptance 

documents accurately state quantities, percentage of work completed, 

list of materials delivered to the job site, and monetary amounts. 

The COR must forward to the contracting officer—and concurrently 

forward to the paying office—a copy of each receipt and acceptance 

document processed in connection with progress or final payments. 

The COR is responsible for ensuring that payments to the contractor are 

processed promptly. 

Chapter 11

Monitoring Construction Contracts
180

Suspension of Work 

The Government includes the Suspension of Work clause in all 

fixed-price construction contracts and in architect-engineer contracts.42

This clause allows the contracting officer to suspend a contractor’s 

performance for a reasonable period of time. If the suspension is 

unreasonable, the contractor may be entitled to reimbursement of 

certain costs that can be attributed to the delay. Ordered suspensions 

covered by the Suspension of Work clause are eligible for compensation 

only if they result in unreasonable delay. A suspension of work differs 

from a stop-work order, which is used in negotiated contracts for 

supplies and services. 

The CORs must maintain adequate records for actions taken under 

the Suspension of Work clause. Adequate records might indicate 

that the contractor contributed to the suspension, the contractor was 

not damaged by the suspension, or the Government’s suspension 

was reasonable. COR records are vital in determining the level of 

compensation that the contractor could be entitled to (if the suspension 

is unreasonable). 

As specified in FAR Subpart 42.1305(a), the contracting officer must 

insert the following Suspension of Work clause in solicitations and 

contracts when a fixed-price construction or architect-engineer contract 

is considered:

The Contracting Officer may order the Contractor, in writing, to 

suspend, delay, or interrupt all or any part of the work of this contract 

for the period of time that the Contracting Officer determines 

appropriate for the convenience of the Government.

42 FAR Subpart 42.1305 (a), “Contract Clauses,” and FAR Subpart 52.242-14, “Suspension of 

Work.”

Chapter 11

Monitoring Construction Contracts
181 Defense Contingency COR Handbook

If the performance of all or any part of the work is suspended, 

delayed, or interrupted for an unreasonable period of time—by an act 

of the contracting officer in the administration of the contract or by 

the contracting officer’s failure to act within the time specified in the 

contract (or within a reasonable time if not specified)—an adjustment 

must be made for any associated increase in the cost of performance 

of the contract (excluding profit). In addition, the contract must be 

modified accordingly in writing. However, no adjustment may be 

made under this clause for any suspension, delay, or interruption if that 

performance issue could be attributable to another cause (including 

the fault or negligence of the contractor) or if an equitable adjustment 

is provided for (or excluded) under any other term or condition of the 

contract. A claim under this clause must not be allowed (1) for any 

cost incurred more than 20 days before the contractor has notified the 

contracting officer in writing about the relevant act (or failure to act), but 

this requirement may not apply to a claim resulting from a suspension 

order; and (2) unless the specific claim and amount are asserted in 

writing as soon as practicable after the termination of the suspension, 

delay, or interruption, but no later than the date of final payment. 

Chapter 11: Key Points

1. Performance and payment bonds are critical tools for ensuring 

satisfactory contractor performance on construction contracts that 

exceed the SAT.

2. The acquisition regulations inspection clause for construction is key 

in giving the COR the authority to oversee contract performance.

3. The COR must ensure that the contractor is complying with the 

terms and conditions of the contract and must correct any contractorcaused deficiencies in a timely manner.

4. Liquidated damages are another key tool for construction contracts, 

acting as a motivator to ensure timely completion. Liquidated 

Chapter 11

Monitoring Construction Contracts
182

damages cannot be considered a penalty, but must adequately 

reflect the costs that the Government will incur if the project is not 

completed according to the contract schedule.

5. Because of the unique nature of construction, some condition will 

be discovered during performance that differs from the original 

contract documentation. These changes are addressed through two 

types of differing site conditions (Category I and Category II). The 

Changes clauses process is used to definitize these actions.

6. Progress payments are typically made under a construction contract 

because of the length of time it takes to complete a project as well 

as the incremental nature of the costs incurred under a construction 

contract.

7. It is imperative for the COR to maintain good records if a suspension 

of work is issued. The COR records might be vital in determining 

the compensation that the contractor may be entitled to if the 

suspension is deemed unreasonable. 

Chapter 11

Monitoring Construction Contracts
Chapter 12

Foreign Acquisition

and International

Relationships

CHAPTER

CONTENTS

Domestic Trade ..............184

International Trade..........184

Acquisition and 

Cross-Servicing 

Agreements ................184

Prohibited Sources .........185

U.S. Domestic 

Preference Legislation....186

The Buy 

American Act ..............186

Coverage of the 

Buy American Act .....186

Exceptions to the 

Buy American Act .....187

The Berry 

Amendment ................187

Chapter 12: Key Points...189
184

Domestic Trade

Many countries, including the United States, have established 

domestic preference laws to protect the domestic economy and 

industry. However, in today’s global economy, no individual 

country is immune from the economic benefits of international trade. 

International Trade

International trade is the exchange of capital, goods, and services 

across international borders. In general, however, international trade is 

more expensive than domestic trade because of factors such as tariffs, 

time costs because of border delays and packaging requirements, and 

costs directly related to differences in language, culture, and legal 

requirements. In addition, factors of production such as capital and 

labor are more mobile within a country than across borders. To offset 

the increased costs of international trade, countries often enter into 

trade agreements, which eliminate tariffs, import quotas, and domestic 

preferences for most goods and services traded. 

Acquisition and Cross-Servicing Agreements43

Acquisition and Cross-Servicing Agreements (ACSAs) are bilateral 

international agreements that provide cooperative logistics support 

under the authority granted in 10 U.S.C. Sections 2341–2350. The 

ACSA statute was enacted to simplify exchanges of logistics support, 

supplies, and services between the United States and other North 

Atlantic Treaty Organization (NATO) forces. The act was subsequently 

amended in 1994 to permit ACSAs with the governments of eligible 

non-NATO countries that require equal value exchanges; allow ACSAs 

with United Nations organizations; and authorize the loan or lease of 

equipment. Key ACSA elements include the following:

43 Under Department of Defense Directive (DoDD) 2010.9.

Chapter 12

Foreign Acquisition and International Relationships
185 Defense Contingency COR Handbook

• Transactions may be cash reimbursements, equal value exchanges, 

or replacements in kind of logistics support, supplies, and services.

• The kinds of logistics support that may be exchanged are food; 

billeting; transportation; petroleum, oil, and lubricants (POL); 

communications services; nonaccredited training; ammunition; 

emergency medical services; and base operations.

• Categories of support that may never be exchanged are guided 

missiles and kits, major end items, chemical or nuclear munitions, 

formal accredited course training, official uniforms, and major 

construction projects.

Additional information on ACSA is available at https://www.intelink.

gov/wiki/Acquisition_and_Cross-Servicing_Agreements_(ACSA). 

Under ACSAs, host nation support agreements, and international 

agreement arrangements, the U.S. Government and the Allied force 

supply sources agree to acquire and reimburse each other for logistics 

support, supplies, and services, including food, water, ice, billeting, 

transportation (except cooperative airlift), ground fuel, POL, utilities 

(e.g., electricity), clothing, communication services, medical services, 

base operations support (and minor associated construction), storage 

services, use of facilities, operational training services, spare parts and 

components, repair and maintenance services, and airport and seaport 

services. The servicing legal office has additional information on 

ACSAs and other international agreements.

Prohibited Sources44

DoD is prohibited from awarding contracts or allowing subcontracts 

to a firm (or a subsidiary) of a terrorist country. Currently, the Department 

of State lists Cuba, Iran, Sudan, and Syria as terrorist countries.

44 Additional information about policies toward foreign countries and the export of defense articles 

and defense services is available at http://www.pmddtc.state.gov/embargoed_countries/index.html.

Chapter 12

Foreign Acquisition and International Relationships
186

U.S. Domestic Preference Legislation

The Buy American Act 

The Buy American Act (BAA) is the major domestic preference 

statute governing procurement by the Government. Essentially, the 

BAA protects domestic labor by declaring a preference for domestic 

goods in Government purchases. The place of mining, production, or 

manufacture is the determining factor in whether goods are American. 

The nationality of the contractor is not considered when deciding 

whether a product is of domestic origin. The BAA does not apply to 

articles procured for use outside the United States or to procurements 

below the micropurchase threshold (as defined in FAR Subpart 2.101). 

The Trade Agreements Act of 1979 authorizes the President to 

waive any otherwise applicable “law, regulation or procedure regarding 

Government procurement” that would accord foreign products less 

favorable treatment than that given to domestic products. Other treaties 

and agreements also place limitations on the application of the act and 

must be considered when looking at any BAA question.

Coverage of the Buy American Act

BAA applies to all Federal procurements, but has separate provisions 

for supply contracts and construction contracts. Most of the rules and 

definitions used in applying BAA are specified in FAR Part 25 and 

DFARS Part 225, not in the act itself. 

BAA differentiates between manufactured and unmanufactured 

articles. An unmanufactured article is deemed a domestic end product 

or construction material if it is mined or produced in the United 

States. Manufactured articles are domestic if they are manufactured 

in the United States from components that are substantially all mined, 

produced, or manufactured in the United States. In this context, 

“substantially all” is defined as the cost of foreign components not 

exceeding 50 percent of the cost of all components. 

Chapter 12

Foreign Acquisition and International Relationships
187 Defense Contingency COR Handbook

Exceptions to the Buy American Act

The primary exceptions to BAA are characterized as follows: 

• Inconsistent with the public interest

• Unreasonable cost

• Not produced or manufactured in the United States in sufficient and 

reasonably available commercial quantities and not of satisfactory 

quality.

The Berry Amendment

The Berry Amendment is a statutory requirement that restricts DoD 

from using appropriated funds (or otherwise available funds) for the 

procurement of food, clothing, fabrics, fibers, yarns, other made-up 

textiles, and hand or measuring tools that are not grown, reprocessed, 

reused, or produced in the United States. This restriction includes 

foreign military sale transactions and purchases by a DoD buying 

activity on behalf of another agency. Likewise, any purchase on behalf 

of DoD by another agency, such as the General Services Administration 

(GSA), must also comply. The Berry Amendment rules apply even if 

the DoD-funded purchase is not under a DoD-awarded contract. The 

Berry Amendment essentially follows the funds; if DoD funds are sent 

to another Federal agency, the Berry Amendment still applies.

The Berry Amendment applies to both end items and components. 

The requirement for domestic origin flows down through all the 

tiers of suppliers (e.g., it does not stop with the item manufactured 

or assembled by the prime contractor). The prime contractor is 

responsible for verifying the source of all materials and components 

from subcontractors. 

If an acquisition involves items covered by the Berry Amendment 

and the contractor cannot locate a domestic source, a Domestic NonAvailability Determination (DNAD) might be appropriate. The 

prime contractor must request a DNAD through the contracting 

Chapter 12

Foreign Acquisition and International Relationships
188

officer. DFARS PGI Subpart 225.7002-2(b) establishes the process for 

requesting a DNAD.

In accordance with DFARS Subpart 225.7002-2(b), the Secretaries 

of the Military Departments and the Director of the Defense Logistics 

Agency, without power of redelegation, have authority to approve 

DNADs for their respective requirements. USD (AT&L) is the DNAD 

approval authority for the other defense components.

A comparison of the Berry Amendment and BAA is shown in Table 5.

Table 5. Comparison of Berry Amendment and Buy American Act

Name Ref.

Law

Application FlowDownCovered 

Items

Thresholds Domestic

Content

Commercial 

Exception?

Qualifying 

Country 

Exception

Where 

Contract 

Performed

Berry 10 U.S.C.

Section

2533a

DoD All tiers of 

contractors

Specified 

in law

Greater

than

simplified 

acquisition

threshold

100% No Applies to 

chemical 

warfare 

protective 

clothing (all 

qualifying 

countries) 

and 

par-aramid 

fibers 

(Netherlands 

only)

Anywhere

BAA 41 U.S.C.

Sections

10a–10d

Gov’twideEnd item 

only 

Supply 

purchases

Greater

than

micropurchase 

threshold

50% Yes, for IT Applies to all 

items

United 

States 

only

Chapter 12

Foreign Acquisition and International Relationships
189 Defense Contingency COR Handbook

Chapter 12: Key Points

1. BAA applies to acquisitions by any agency or organization of the 

Federal Government. BAA applies to end products only, not to 

components. It does not flow down to subcontractors, and there 

are many exceptions. Two of the most common exceptions used by 

DoD are the exception for 21 qualifying countries and the exception 

for items not reasonably available in commercial quantities and of 

satisfactory quality. 

Chapter 12

Foreign Acquisition and International Relationships
190 Chapter 12

Notes
Appendix A

COR Checklists

The checklists in this appendix are designed to assist you during 

performance of designated COR responsibilities. These checklists 

are representative of the functions normally designated. Some 

functions might be designated that are not addressed in this set of 

checklists. It is recommended that you become familiar with the 

format of these checklists and, if necessary, develop checklists to cover 

the functions delegated. The DVD in Attachment 1 provides full-size 

copies of these checklists.

Note: Refer to the letter of appointment/designation from the 

contracting officer to identify all of the functions that you are 

assigned to perform. 

Content

A.1 Do’s and Don’ts: Contract Administration and Remedies 

A.2 Checklist for Contents of a COR Working File 

A.3 COR Surveillance Checklist 

A.4 Do’s and Don’ts: Contract Monitoring and Pre-Award and 

Solicitation Phase

A.5 Do’s and Don’ts: Evaluation and Award Phase

A.6 Performance Work Statement Checklist Questions

A.7 Contractor Performance Assessment Checklist

A.8 Contractor Delay Assessment Checklist

A.9 Checklist for COR Compliance—Surveillance of Construction 

Contracts

A.10 Quality Assurance Surveillance Plan Checklist
192

A.11 Payment Approval with (and without) Wide Area Work Flow

A.12 PWS Drafter’s Checklist

A.13 Critical Incident Report

A.14 Combating Trafficking in Persons Checklist

A.1: Do’s and Don’ts:

Contract Administration and Remedies 

Contract Administration

Do Don’t

Remember that the COR is an agent 

of the U.S. Government and only 

has the authority delegated by the 

contracting officer.

Accept less than what is required by 

the contract.

Get the names of contractor 

personnel authorized to represent 

the contractor.

Assume an interpretation of 

ambiguous contract language 

that would be favorable to the 

Government. Remember: if 

the contractor’s interpretation is 

reasonable, it will prevail.

Find out the specific authority of 

contractor personnel. Confirm that 

you are dealing with a person who 

has the authority to obligate the 

contractor.

Hold up payment unless 

performance is deficient or defective.

Confirm that all Government 

approvals or consents are timely.

Accept supplies or services without 

a complete inspection.

Make any changes, modifications, 

deletions, or additions to the contract 

requirements. Instead, work through 

the contracting officer.

Automatically consider all contractor 

claims to be unreasonable. Do be 

fair and impartial.

Appendix A

COR Checklists
193 Defense Contingency COR Handbook

Remedies

Do Don’t

Exercise Government rights (e.g., 

warranties). Make sure to deal with 

any problems before the warranty

period runs out.

Act without consulting the 

contracting officer. Instead, work 

through the contract administration 

team.

Work with the contracting personnel 

to prevent problems before they 

arise.

Allow interim or final delivery dates 

to be waived.

Take actions to protect Government 

rights before delivery is due.

A.2: Checklist for Contents of a COR Working File 

Copy of the COR letter of appointment/designation from the 

contracting officer; copies of any changes to that letter; and a copy of 

any termination letter

Copy of the contract, delivery order or task order, and all contract 

modifications

Copy of the contract data requirements lists (CDRLs) submitted to the 

COR as required by the contract; COR’s analysis of the CDRLs and 

any resulting actions taken

Copy of the QASP and a record of each individual surveillance 

conducted, the results, and any actions taken

Notice of award or notice to proceed

Copy of the required training certificates

Names and position titles of contractor personnel who serve on the 

contract

All correspondence between the COR and the contractor, contracting 

officer, or other parties about performance of the contract (and 

English translations of all correspondence written in a foreign 

language)

Copies of all data, reports, and other documentation furnished by the 

contractor, the COR’s analysis of those items, actions taken, and date 

of each action

Appendix A

COR Checklists
194

Copy of the trip report of every visit to the contractor’s facility, which 

must be provided to the contracting officer within 7 days after each 

visit and must identify people contacted, dates, items discussed, and 

actions taken

Memoranda for the record of minutes (including persons present, 

dates, matters discussed, and actions taken) of any meetings, site 

visits, telephone conversations, and other discussions with the 

contractor or others about the contract or contract performance 

Records relating to the contractor quality control system and plan and 

the results of the quality control effort

Copy of the surveillance schedule, progress schedules, and schedule 

of cumulative payments approved

List of Government-furnished property 

Copy of all approvals (which must be for a COR-designated authority) 

that the COR has given to the contractor 

Documentation pertaining to the COR’s receipt and acceptance

(or rejection) of services performed or supplies delivered, including 

receipts, reports, and other data

Copies of all DD 250s, invoices, vouchers, and receipt documents 

processed, including COR recommendations relating to them

Samples, photographs, witness statements, and other factual data to 

support documentation

Records of all weather conditions, which is particularly important 

for administering construction contracts and other contracts that 

call for outdoor performance, where severe weather or bad weather 

conditions could delay contract performance or completion

Records of any Government actions that affected or influenced 

contractor performance

Applicable laboratory test reports

Copies of deficiency reports

Copy of each COR monthly report

Any other documentation and data necessary to provide a complete 

history of all actions taken by the COR under, or in connection with, 

the contract

Appendix A

COR Checklists
195 Defense Contingency COR Handbook

A.3: COR Surveillance Checklist45

Is the COR maintaining a separate file for each contract?

Is the file clearly indexed to enable ready access to pertinent records?

Has the COR been trained within the past 3 years, and is the 

certificate present?

Is a copy of the COR’s letter of appointment/designation in the file?

• Does the COR file include the following items?

• Copy of the contract

• All modifications

• All invoices

• All DD 250s

• Deficiency reports

• Copy of QASP

• Copy of required regulations

• Memoranda for the record and other correspondence and e-mails

• Surveillance checklist

• Surveillance schedule

• Environmental Plan

• Maintenance Plan

• Work Plan

• GFP inventory

• Safety Plan

• Test reports

• GFP validation

Has the COR reported contractor full-time equivalents (CFTEs) or 

validated the contractor’s input?45

If the COR is responsible for contractor performance reporting, has the 

COR completed CPARS report inputs?

Has the COR performed contractor surveillance and site visits?

Are the results of the surveillance and inspections documented?

Does the COR complete a periodic contract performance report and 

forward it to the contracting officer?

45 OSD Memorandum “Guidance for the Submission and Review of the FY 2011 Inventory of 

Contracts for Services,” December 29, 2011

Appendix A

COR Checklists
196

A.4: Dos and Don’ts: Contract Monitoring and 

Pre-Award and Solicitation Phase

Contract Monitoring

Do Don’t

Set a level of monitoring consistent 

with the type of contract, complexity 

of the supply or services, and 

importance of the contract to the 

overall program.

Assume that no news is good news.

Read progress reports and 

immediately act on problems 

they reveal. Make sure that the 

contractor complies with every 

requirement of the contract.

Wait until delivery is due or overdue 

to check progress.

Immediately contact the contracting 

officer when deficiencies or 

delinquencies are noted. Use the 

contractor’s invoices to help monitor 

technical progress.

Take action against a delinquent 

contractor on your own. Instead, 

work through the contracting officer.

Order, request, or even suggest that 

the contractor do work that is not 

specifically required in the contract. 

Act as if you are the contractor’s 

personnel manager. Remember that 

the COR reviews and approves (or 

disapproves) while the contractor 

supervises contractor personnel.

Assume that contractor billings are 

correct.

Appendix A

COR Checklists
197 Defense Contingency COR Handbook

Pre-Award and Solicitation Phase

Do Don’t

Use market research. Write vague specifications, 

assuming that the contractor will do 

whatever is necessary to satisfy the 

Government.

Look for commercial solutions. Write design specifications, 

describing in detail what materials 

should be used and how the work 

should be performed.

Promote full and open competition. Ask for progress reports, test 

samples, or other items from the 

contractor unless they are needed 

for the program or for efficient 

administration and monitoring.

Think about contract administration

requirements while writing the SOO, 

SOW, or PWS or the performancebased or functional specifications.

Use performance-based or 

functional (rather than design) 

specifications to describe an 

objective or standard to be achieved, 

allowing the contractor to exercise 

ingenuity in achieving that objective 

or standard, selecting the means, 

and assuming corresponding 

responsibility.

Limit use of restrictive provisions to 

satisfy agency needs.

Limit use of specifications

and instead focus on function, 

performance, and physical 

characteristics.

Appendix A

COR Checklists
198

In the SOO, SOW, or PWS or 

the specifications, separate the 

discussion of administrative and 

progress reporting requirements 

from the discussion of required 

procedures and deliverables.

A.5: Do’s and Don’ts: Evaluation and Award Phase

Evaluation and Award Phase

Do Don’t

Carefully review the contract, 

especially the technical 

requirements.

Divulge budget information.

Develop or obtain from the 

contractor a detailed schedule of 

performance.

Assume without reading it that the 

SOO, SOW, or PWS is complete, 

clear, and fully understandable.

Work with the contracting officer 

and the contractor to clear up any 

misunderstandings and to establish 

organized contract administration

and monitoring procedures.

Allow planning to become an end in 

itself. Remember that the goal is to 

get results, not just produce charts 

showing the plan.

Ensure that contract employees are 

in SPOT if required.

Forget to update plans and 

schedules as the situation changes.

Monitor TIP. Overlook or ignore contract 

requirements for GFP, timely reviews 

and approvals, and technical 

assistance and direction.

Appendix A

COR Checklists
199 Defense Contingency COR Handbook

A.6: Performance Work Statement 

Checklist Questions

Considerations for the Performance Work Statement

Does the PWS describe the outcomes (or results) rather than how to 

do the work?

Does the PWS avoid specifying the number of contract workers 

required to perform the work (except when absolutely necessary)?

Does the PWS avoid specifying the educational or skill level of the 

contract workers (except when absolutely necessary)?

Can the contractor implement new technology to improve performance 

or to lower cost?

Can the contractor use lower-cost materials and still meet the 

performance standards?

Are the situations documented when tightly controlled materials or 

supplies are essential?

Are commercial performance standards used?

Do the performance standards address quantity, quality, and 

timeliness?

Are the performance standards objective, easy to measure, and 

timely?

Is the assessment of quality a quantitative or qualitative assessment?

Would two different evaluators come to the same conclusion about the 

contractor’s performance (based on the performance standards)?

Are acceptable quality levels clearly defined?

Is the time period for the acceptable quality level clearly defined?

Are the people who will perform the evaluations identified?

Are the acceptable quality levels realistic and achievable?

Will the user be satisfied if the acceptable quality levels are exactly 

met? (Alternatively, will they be satisfied only at a higher quality level?)

Do the acceptable quality levels allow for improvement?

Is the value of evaluating the contractor’s performance on a certain 

task worth the cost of surveillance?

Appendix A

COR Checklists
200

Has random sampling or periodic sampling been used in the QASP?

Has user feedback been incorporated into the QASP?

Does the PWS make use of the contractor’s own Quality Control Plan

and management information systems to reduce costs?

Are there incentives to motivate the contractor to improve performance 

or to reduce costs?

Are there negative incentives to handle poor performance?

Will the contractor focus on continual improvement?

A.7: Contractor Performance Assessment Checklist

Contractor Performance Assessment

Cost control. Are cost controls in place?

Timeliness (schedule/delivery). Is the contractor on schedule to meet 

contractual requirements? Has the contractor met the contractual 

delivery requirements to date? Does the contract include a reward for 

early delivery or a penalty for late delivery?

Quality. Do the supplies or services meet the requirements? Do they 

conform to the contract specifications; standards; SOO, SOW, or PWS; 

and Quality Assurance Plan?

Business relations. Is the contractor responsive, professional, and 

courteous?

Management of key personnel. Are technical experts highly qualified 

and effective in performing the required services? Do they meet 

the skill levels specified in the contract? Is the number of personnel 

assigned to the project appropriate? Do delivered supplies reflect the 

skill and standardization required by the customer?

Customer satisfaction. Will the customer be satisfied in terms 

of the cost, quality, and timeliness of the delivered supplies or 

services? What percentage of the deliverable meets the customer’s 

expectations? How long has the contractor taken to answer any 

customer complaints? How many customer complaints have been 

recorded?

Compliance. Has the contractor complied with Occupational Safety 

and Health Administration, Environmental Protection Agency, 

Department of Labor, and other pertinent regulations?

Appendix A

COR Checklists
201 Defense Contingency COR Handbook

A.8: Contractor Delay Assessment Checklist

Before making a final decision that a delay is excusable, the COR must be 

certain that the contractor (1) had little or no control over the circumstances 

that caused the delay and (2) could not have taken any preemptive action 

to reduce the negative consequences of the delay. If the organization 

can prove these two assertions, then a Yes answer to any of the following 

questions means that the delay is probably excusable.

1. Was the delay caused by a labor strike? 

If No, go to 2. 

If Yes, did the contractor:

• File a charge with the appropriate labor relations board to seek 

injunctive relief in court?

• Use other available Government procedures or private boards or 

organizations in an attempt to settle or arbitrate disputes that caused 

the strike?

2. Was the delay caused by Government interference or disruption? 

If No, go to 3.

If Yes, did the Government:

• Delay making payments because of the contractor?

• Deliver the GFP late?

• Fail to reply to a contractor request for clarification?

• Fail to disclose all facts applicable to performance?

• Cite or misrepresent conditions that were different from those 

portrayed?

• Experience scarcity of supplies because Defense Production Act

priorities outranked commercial or nonrated orders?

• Delay issuing a required notice to proceed?

• Delay issuing changes?

• Delay performance by other Government contractors?

• Experience delays because of an interested party protesting the 

contract award?

• Delay making the site available?

• Delay providing funding?

• Delay inspection or acceptance?

• Delay because of defective or ambiguous specifications?

• Delay granting approvals?

Appendix A

COR Checklists
202

3. Was the delay caused by a subcontractor? 

If No, go to 4. The answer is No if either of the following occurred:

Did a dispute between the subcontractor and the prime contractor 

cause the delay?

Were subcontracted products or services available from other sources 

in time for the prime contractor to complete performance?

4. Was the delay caused by any other occurrence that is specifically 

characterized in the Default or Excusable Delays clause (or other 

clauses) as generally excusable? 

If No, go to 5. 

If Yes, was the delay caused by:

Acts of the Government in either its sovereign or contractual capacity?

Acts of God or a public enemy?

Fire?

Flood?

Unusually severe weather?

Epidemics?

Quarantine restrictions? 

Labor disputes resulting in strikes?

Freight embargoes?

Common carrier delays?

5. Was the delay caused by other circumstances not previously 

mentioned? 

If Yes, did the contractor:

Not cause the delay?

Not have any control over the circumstances that caused delay?

Appendix A

COR Checklists
203 Defense Contingency COR Handbook

A.9: Checklist for COR Compliance—Surveillance of 

Construction Contracts

COR Compliance—Surveillance of Construction Contracts

Ensure contract employees are in SPOT if required.

Review the contractor’s certified payrolls.

Check work sites for required postings.

Conduct labor standard interviews.

Compare payrolls and onsite interviews.

Resolve discrepancies and violations.

Ensure that the contractor has records of all inspections performed.

Ensure that contractor records comply with FAR requirements.

Monitor TIP.

Primary 

Topics to Be 

Covered

Issues and Topics 

to Be Addressed

Addressed 

in Plan 

(check)

Not 

Addressed 

in Plan 

(check; always 

comment)

Comments

What will be 

monitored?

Describe the purpose of the 

contract.

How will 

monitoring 

take place?

Procedures

Describe types and frequency of 

monitoring procedures as follows:

•	 Methods of assessment

•	 Frequency (e.g., weekly, 

monthly) that the following are 

scheduled:

ü	Periodic onsite inspections

ü	Floor checks

ü	Audits of contractor billings 

to ensure that costs being 

charged to the contract are 

legitimate and reasonable

•	 What will be checked during 

an inspection, how it will be 

checked, and type of sample 

that will be used (e.g., random, 

100 percent).

A.10: Quality Assurance Surveillance Plan Checklist

Appendix A

COR Checklists
204

Primary 

Topics to Be 

Covered

Issues and Topics 

to Be Addressed

Addressed 

in Plan 

(check)

Not 

Addressed 

in Plan 

(check; always 

comment)

Comments

How will 

monitoring 

take place?

Statutory and 

Regulatory 

Requirements

The Project Officer must notify the 

contracting officer if there are any 

potential or actual noncompliance 

issues with Federal statutes, laws, 

or regulations. Only the contracting 

officer can resolve noncompliance 

issues related to law or regulation. 

Include the following steps for 

monitoring statutory, regulatory, 

and legal compliance 

with contract:

•	 Identification of contract 

requirements and clauses involving statutory or regulatory 

compliance, such as those 

involving the following:

ü	Labor law (Department of 

Labor wage determinations)

ü	Equal Employment 

Opportunity (Civil Rights Act

of 1964) 

ü	Privacy Act of 1974

ü	Drug-Free Workplace

ü	Hazardous or recovered 

materials, safety, and 

environmental requirements. 

(Executive Orders 13423 and 

13514)

ü	Nondomestic materials

•	 Monitoring of compliance and 

responding to notices involving 

compliance

•	 Identification of any insurance

or bonding issues 

•	 Monitoring of intellectual 

property issues

•	 Monitoring of compliance with 

the approved Small Business

Subcontracting Plan

•	 Monitoring for compliance 

with CTIP regulations in FAR

Subpart 22.17 and DFARS

Subpart 222.17.

Appendix A

COR Checklists
205 Defense Contingency COR Handbook

Primary 

Topics to Be 

Covered

Issues and Topics 

to Be Addressed

Addressed 

in Plan 

(check)

Not 

Addressed 

in Plan 

(check; always 

comment)

Comments

How will monitoring take 

place?

Financial 

Condition of 

the Contractor

Financial monitoring means detecting and acting on changes in a 

contractor’s financial condition that 

have the potential for endangering 

contract performance. 

Include the following steps for 

monitoring the financial condition of the contractor:

•	 Identification of any indication that the contractor is in 

financial trouble (e.g., articles 

or news clips from reputable 

news agencies)

•	 Discussion of how contractor 

financial difficulties could adversely affect the Government

•	 Identification of possible proactive steps that the Government could take to protect its 

interests (e.g., stop-work order, 

schedule changes, scope 

changes, termination)

•	 Notification of the contracting officer when conditions

might warrant intervention by 

the Government, which may 

include changes that affect the 

contract’s terms and conditions

or that result in alert notices 

pertaining to the award of new 

contracts with the contractor 

during periods of financial 

instability, where the Government may make a determination of nonresponsibility. 

FAR Subpart 9.1, “Responsible 

Prospective Contractors”: 

https://www.acquisition.gov/

far/current/html/Subpart%20

9_1.html#wp1084058

Appendix A

COR Checklists
206

Primary 

Topics to Be 

Covered

Issues and Topics 

to Be Addressed

Addressed 

in Plan 

(check)

Not 

Addressed 

in Plan 

(check; always 

comment)

Comments

How will 

monitoring 

take place?

Technical 

and Schedule 

Compliance

Include the following steps for 

monitoring contractor technical 

and schedule compliance:

•	 Identification of potential 

contractor deficiencies or 

delinquencies

•	 Identification of problems with 

quality and nonconformance 

with contract quality standards

•	 Identification of the need for 

Government assistance or 

intervention

•	 Warning of actual or anticpated 

default.

How will 

monitoring 

take place?

Costs

•	 Include the following steps for 

monitoring costs:

•	 Inspect timecards and payroll 

records

•	 Note discrepancies detected 

between the contractor’s 

financial systems as approved 

versus actual operation

•	 Analyze invoice support documentation to verify accuracy 

and completeness

•	 Periodically analyze data 

obtained from the contractor 

through periodic reports

•	 Review Government reports

•	 Make site visits

•	 Request cost-incurred audits 

with the contracting officer 

and the Office of the Inspector 

General.

•	 For cost-reimbursement contracts, indicate that payments 

based on incurred costs for 

labor, materials, ODCs, and 

indirect costs are proper and 

allowable, as follows: 

Appendix A

COR Checklists
207 Defense Contingency COR Handbook

Primary 

Topics to Be 

Covered

Issues and Topics 

to Be Addressed

Addressed 

in Plan 

(check)

Not 

Addressed 

in Plan 

(check; always 

comment)

Comments

Costs •	 Reasonable, or not exceeding 

that which would be incurred 

by a prudent person conducting business in a competitive 

marketplace

•	 Allocable, or properly 

assigned to one or more cost 

objectives under the contract

•	 Consistent with applicable 

cost accounting standards

and prohibitions on the allowability of certain costs

FAR Part 31, “Contract Cost 

Principles and Procedures”: 

https://www.acquisition.

gov/far/current/html/FARTOCP31.html#wp253693

•	 For cost-type contracts, 

explanation of how the contracting officer will ensure 

that the prime contractor has 

obtained adequate competition 

when acquiring materials (e.g., 

state in the QASP that contractor acquisition of materials by 

competition will be checked for 

charges that exceed a certain 

dollar amount)

•	 For fixed-price contracts, 

explanation of how the contracting officer will ensure that 

progress payments do not 

exceed the quality and quantity 

of work completed and that 

payment is made in accordance with the Progress Payment clause (e.g., state that 

quantity and quality of work 

will be inspected to determine 

whether the work completed to 

date justifies the amount of the 

payment to be made.

Appendix A

COR Checklists
208

Primary 

Topics to Be 

Covered

Issues and Topics 

to Be Addressed

Addressed 

in Plan 

(check)

Not 

Addressed 

in Plan 

(check; always 

comment)

Comments

Who will 

conduct the 

monitoring?

Identify roles and responsibilities 

for each COR and for other Government personnel monitoring the 

contractor.

What is 

successful 

performance?

Identify successful performance 

and remedies, using achievable 

standards.

How will 

materials 

and supplies 

be delivered 

under a cost 

or fixed-price 

contract?

Describe the process and responsibilities for acceptance.

How will 

materials 

and supplies 

be delivered 

under a cost 

or fixed-price 

contract?

Include the following compliance checks for construction 

contracts:

•	 Review the contractor’s certified payrolls

•	 Check work sites for required 

postings

•	 Conduct labor standard interviews

•	 Compare payrolls and onsite 

interviews

•	 Resolve discrepancies and 

violations. 

Abbreviations Include a list of all abbreviations 

used in the plan and their 

meanings.

Appendix A

COR Checklists
209 Defense Contingency COR Handbook

A.11 Payment Approval with (and without) WAWF

This checklist should be used to ensure that an invoice is approved 

only after the consideration of all relevant factors. The checklist is 

annotated for use with cost or fixed-price contracts and for use when 

Wide Area Workflow (WAWF) is available or is not.

Invoice Number:

Total Amount of Invoice (when WAWF is not available):

Vendor Name (when WAWF is not available):

Contract Number:

Task Order Number:

Modification Number:

Agency/Office Code (when WAWF is not available):

Date Invoice Received By Payment Office (when WAWF is not available):

Compliance Question Yes

(insert 

checkmark)

No (make comment 

for follow-up with 

contractor or 

describe why 

invoice should

 still be paid)

For deductions, 

describe next to 

relevant question

Is the invoice document in compliance with contract 

requirements?

a. Is the identifying information correct (e.g., contract

and task order number, CLIN or sub-CLIN 

number)?

b. Is the invoice dated?

c. Is the billing period correctly stated, with no 

overlaps with other invoices?

d. Is adequate shipping information included?

e. Is the remittance address included?

f. Are prompt pay discounts offered (when payments 

are subject to prompt pay, usually for a costreimbursement contract rather than a fixed price 

contract)?

g. Is a point of contact identified?

Appendix A

COR Checklists
210

Compliance Question Yes

(insert 

checkmark)

No (make comment 

for follow-up with 

contractor or 

describe why 

invoice should

 still be paid)

For deductions, 

describe next to 

relevant question

Has the contractor submitted required deliverables 

for this invoice period? Were they delivered on time?

Is the quality of the deliverables or services 

acceptable and in compliance with the terms of the 

SOO, SOW, or PWS?

For cost contracts or cost elements of mixedtype contracts:

• Are the labor hours, travel, subcontract, equipment,

and ODCs (detailed below) reasonable and 

commensurate for the type and nature of work 

completed during the invoice period?

Labor Hours

• Are the skills and labor categories needed for the 

work performed? 

• Is the level of expertise billed consistent with 

the work performed (neither too little nor too 

much experience)? (Compare to the contract 

and proposal. If the agency is paying for too 

high a level of expertise than that needed for 

the job, funds will likely run out before the work 

is completed. If the level of expertise is too low, 

performance will suffer.)

• Is any OT authorized in writing in the contract?

• Are management hours disproportionate to worker 

hours?

Travel

• Is the travel authorized by the contract? 

• Are the mode and class of travel consistent with 

contract terms?

• Was any required prior approval obtained? 

Subcontracts

• Are subcontracts consistent with the Subcontract 

Plan and subcontract approval requirements in the 

contract?

Appendix A

COR Checklists
211 Defense Contingency COR Handbook

Compliance Question Yes

(insert 

checkmark)

No (make comment 

for follow-up with 

contractor or 

describe why 

invoice should

 still be paid)

For deductions, 

describe next to 

relevant question

Equipment

• Is any purchased equipment required for 

performance of the contract?

• Has the equipment been properly reported (if 

required for tracking purposes) consistent with the 

agency’s reporting requirements?

ODCs

• Are all ODCs clearly described and tied to a task 

performed in the billing period?

Is the math obviously not correct (DCAA performs 

final math check)?

Are you aware of any current or future problems that 

might adversely affect contractor performance?

Are there any funding issues?

Are funds available to cover the invoice?

Are the unexpended funds sufficient to complete the 

work required for this project?

Is the rate of spending consistent with performance?

CURRENT AMOUNT DUE: $

____I APPROVE PAYMENT ____I DO NOT APPROVE PAYMENT

REASON FOR DISAPPROVAL (short summary of relevant comments and information 

provided above):

HOLD-BACK AMOUNT (under terms of contract46): $

Complete the following when WAWF is not available:

COR Signature: ____________________________________Date: ________________

Contracting Officer Signature: ________________________Date: ________________

46 For instance, FAR Subpart 52.232-5, “Payment under Fixed-Price Construction Contracts,” 

permits a maximum retention of 10 percent of the amount of the payment until satisfactory 

progress is achieved, unless the contracting officer approves a lower retention percentage. 

Appendix A

COR Checklists
212

A.12 PWS Drafter’s Checklist 

Checklist for Drafters of Performance 

Work Statements

Yes/No Point of 

Contact

1. Build a Schedule

Identify milestones. 

Assign one person to be responsible for each 

milestone.

Develop a list of people who must coordinate on 

the final PWS.

2. Develop a WBS 

Are all mission requirements and service needs 

captured in the WBS? How do you know?

Does the WBS cover all required items for 

deployments, contingencies, and surges?

Include requirements from all applicable Host 

Tenant Support Agreements (HTSAs) at your 

base, as applicable. 

Did you have technical experts review the WBS 

for accuracy and missing items?

Is the WBS sufficiently specific to capture GFP 

and GFE? 

Do you eliminate all nice-to-have services (that 

are not tied to specific mission requirements)?

Is the WBS easily understood, with a logical 

flow? 

Are all major parts of the WBS broken down into 

sublevels for greatest accuracy?

3. Analyze Services 

Do you use the Service Analysis Matrix to 

determine and scrub the inputs, service, and 

outputs? 

Appendix A

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213 Defense Contingency COR Handbook

Checklist for Drafters of Performance 

Work Statements

Yes/No Point of 

Contact

Have unrealistic Government forms, reports, 

and the like been removed from the output 

requirements?

Are only mission-essential tasks included? Do 

you avoid stating how the tasks should be done?

Did you conduct market research (referenced in 

FAR Parts 10 and 12)? 

Are services available commercially? 

In deciding whom to research, did you review 

Commercial Activities Management Information 

System (CAMIS) to find other organizations 

that have undergone an A-76 study? Did you 

check with other bases, websites (e.g., Air Force 

Manpower and Innovation Agency [AFMIA]), 

industry online; and your staffing office?

What organization do you benchmark against? 

How does the organization under study 

compare? 

What commercial standards and practices do 

you adopt for the PWS? Can you adapt quality 

assurance (QA) methods to the PWS?

Did you draft a complete set of questions to ask 

when benchmarking?

Do you discuss proprietary rights to information 

with the Judge Advocate General (JAG) before 

benchmarking?

4. Gather Data 

Are all workload data estimates accurate and 

tied to the corresponding WBS element? 

Can you demonstrate how each workload 

estimate was derived, using traceable data from 

the WBS?

Appendix A

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214

Checklist for Drafters of Performance 

Work Statements

Yes/No Point of 

Contact

Do the WBS workload data capture all future 

changes (e.g., increased mission level, 

decreased mission level)?

Are mission changes (i.e., increases or 

decreases in workload) captured? 

Do you use the Workload Analysis Matrix? (You 

will need it for the Most Efficient Organization 

[MEO] team and contractor.) 

Do work center employees, functional experts, 

and the MEO team review the data?

Do you normalize the data? Do you compare 

data with data from same-size bases?

Are all facility data collected using the Facility 

Analysis Matrix? Do the data include building 

location, room number, and square feet? 

Are all facility data included in PWS Section 4 to 

allow offerors to accurately prepare their bids? 

Is the facility information collected from the 

WBS, and is the Workload Analysis Matrix 

used so that facilities match the workload 

requirement?

Are all equipment analysis data collected? 

Did you check with technicians and equipment

custodians and then document data such as 

equipment quantities, locations, GFP, stock 

number, serial numbers, and condition?

Are the GFP decisions made in the best 

interests of the Government? 

Do you identify who will replace unusable 

GFE as well as who will furnish and replace 

materials?

Appendix A

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215 Defense Contingency COR Handbook

Checklist for Drafters of Performance 

Work Statements

Yes/No Point of 

Contact

Does the PWS clearly state who will maintain, 

repair, and replace the GFP and GFE when it is 

no longer useable? 

Are all materials analysis data collected? 

Does the PWS state who will replace materials 

when they are expended? 

Are all Government-furnished services 

included (e.g., janitorial; utilities; pest control; 

maintenance; recycling; telephones (local, long 

distance, and Defense Switched Network [DSN]) 

number; police and fire protection; medical 

services)?

Is all Government-furnished training addressed?

5 Analyze Performance

Performance Objectives: Do you avoid including 

procedures that dictate how work is to be 

accomplished? (Structure the PWS around what 

is to be performed rather than how to perform 

it. For example, instead of requiring that the 

lawn be mowed weekly, or that trees be pruned 

each fall, state that the lawn must be mowed to 

between 2 inches to 3 inches or that tree limbs 

must not touch utility wires or buildings.)

Do you include specific numbers (measurable 

service standards) for minimum mission

accomplishment? 

Are those standards being met today?

Do you use commercial standards whenever 

possible? 

Do you have justification for each military 

standard that you decided to use?

Appendix A

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216

Checklist for Drafters of Performance 

Work Statements

Yes/No Point of 

Contact

Does the Services Delivery Summary (SDS) 

identify all of the mission-critical requirements 

in specific, measurable, and legally enforceable 

terms? 

Does the Government QASP specifically 

describe how the service provider’s performance 

will be measured?

Is each item in the QASP tied to a specific PWS

paragraph?

Will the Government representative who 

monitors performance and signs acceptance 

reports be able to tell whether the contractor has 

complied with each requirement? 

Do you define the surveillance techniques 

that the Government will use to review the 

contractor’s work? 

Were stakeholders (e.g., functional experts and 

quality specialists) provided with the opportunity 

to comment on draft performance requirements 

and standards, the Government Quality 

Assurance Plan, and performance incentives?

Quality Assurance Surveillance Plan (QASP) 

Did you check the Source Selection Plan and 

Acquisition Strategy Plan for key factors for your 

surveillance?

Is each mission-critical output addressed in the 

QASP?

Are lessons learned from predecessor 

acquisitions used to avoid problems?

Does the QASP specifically describe how 

the service provider’s performance will be 

measured?

Appendix A

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217 Defense Contingency COR Handbook

Checklist for Drafters of Performance 

Work Statements

Yes/No Point of 

Contact

Does the QASP identify a specific PWS

paragraph for each item subject to surveillance? 

Will the Government representative who 

monitors performance and signs acceptance 

reports be able to tell whether the contractor has 

complied with each requirement? How do you 

know?

Do you define the surveillance techniques 

that the Government will use to review the 

contractor’s work? Did you check commercial 

practices?

Were stakeholders given the opportunity to 

comment on 

 — Final performance requirements and 

standards?

 — Government Quality Assurance Plan?

 — Performance incentives?

6 Analyze Directives 

Using the services analysis from Step 3, did 

you identify all Government specifications and 

standards that your organization uses today?

Does the PWS identify all of the specific 

directives required to be followed?

If military standards, specifications, task orders, 

or the like were cited, can you justify why 

commercial standards are not acceptable?

Did you read all required directives and tailor 

them (to avoid requiring the service provider to 

comply with requirements that do not benefit 

your organization?) 

Did technical experts assist you in tailoring 

directives?

Has a technical library been established? 

Appendix A

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218

Checklist for Drafters of Performance 

Work Statements

Yes/No Point of 

Contact

Is the technical library complete?

When the PWS references other documents, is 

each referenced document properly identified? 

7 Check Analyses 

Are all services truly necessary for mission

accomplishment? Will the mission fail if any 

services are removed from the PWS?

Can PWS requirements that do not conform to 

commercial standards be restated?

Is each performance standard, service item, 

and threshold really necessary for mission

accomplishment? 

Are the performance standards consistent with 

commercial practices?

Do workload projections accurately reflect 

history? 

Do workload projections accurately reflect 

today’s mission needs?

Do workload projections accurately reflect future 

mission requirements?

Do you properly account for surge requirements, 

deployments, and national crises?

Have all appropriate people coordinated on the 

PWS? How do you know?

Was a pre-proposal conference held to give 

offerors the opportunity to learn more about the 

as-is operation?

Does the PWS incorporate lessons learned from 

the pre-proposal conference?

Appendices

Appendix 1: Definitions

Appendix A

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219 Defense Contingency COR Handbook

Checklist for Drafters of Performance 

Work Statements

Yes/No Point of 

Contact

Are all acronyms used in the PWS defined in 

Appendix 1?

Are all terms used in the PWS defined in 

Appendix 1?

Appendix 2: Workload Data

Are all workload data that are too voluminous for 

the main body of the PWS included in Appendix 2?

Do you avoid duplicating workload data in the 

main body of the PWS?

Appendix 3: Government-Furnished 

Property

Do you include all serial numbers of property if 

appropriate?

Do you include quantities of property if 

appropriate?

Do you include condition of property if 

appropriate?

Appendix 4: Reference Publications

Do you comply with Section 6 (Analyze 

Directives)?

Appendix 5: Maps

Are all building locations and room layouts 

identified in sufficient detail to allow the offerors 

to develop an accurate bid?

Appendix 6: Required Reports

Do you clearly identify content and format 

requirements for each required report?

Do you clearly identify due dates for each 

report?

Appendix 7: Support Agreements

Appendix A

COR Checklists
220

Checklist for Drafters of Performance 

Work Statements

Yes/No Point of 

Contact

Are all support agreements identified that impact 

the work required of the PWS?

Do you have written agreement from the agency 

maintaining the support agreement?

Do you adequately take into account the 

workload data adjustments caused by these 

support agreements?

Do you verify the start and end dates of each 

support agreement and include the necessary 

workload adjustments in the PWS?

Appendix 8: Contingency Requirements

Are all contingency requirements identified that 

impact the work required of the PWS?

Have all organizations coordinated on the PWS

to ensure that no contingency requirement is 

omitted?

Do you adequately take into account the 

workload data adjustments caused by these 

support agreements?

Appendix 9: Transition Plan

Has a Transition Plan (TP) been developed? 

Does the TP specify each service that will be 

supplied by the service provider?

Does the TP include specific dates for start and 

completion of each familiarization task?

Does the TP include a list of milestones for all 

Government organizations that must support the 

Transition Phase (L-minus dates)?

Does the TP include a clear and thorough list of 

Government responsibilities?

Does the TP include a list of the contractor 

responsibilities?

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221 Defense Contingency COR Handbook

Checklist for Drafters of Performance 

Work Statements

Yes/No Point of 

Contact

Are training and security requirements identified 

and included in the TP?

Are lessons learned from predecessor 

acquisitions used to avoid problems?

Writing Tips 

Does the PWS follow the required format?

Do you include all required sections and 

appendices?

Do you describe work in terms of what and not 

how?

Are you consistent in correctly using terms 

(especially the technical ones) throughout the 

PWS?

Do you use short descriptive sentences to 

increase clarity?

Are the PWS and SDS written in legally 

enforceable terms (e.g., “shall”)?

Do you avoid ambiguities (e.g., terms such as 

“optimum freshness” or “prompt response”)?

Do you include CDRL and Data Item Description 

(DID) for each required data item? Do you 

reference PWS paragraphs?

Have you streamlined the number of pages?

Is the flow of the PWS logical, clear, and 

concise?

Any No answers should be explained.

Even the best Performance-Based Service Contract (PBSC) will 

quickly become business as usual, with the loss of all PBSC benefits, if 

it is not administered well. 

Appendix A

COR Checklists
222

A.13 Critical Incident Report

Contract Incident Report

Date of 

Report:

Time of

Report 

(Zulu):

Type Initial ☐

of Report Update ☐

Final ☐

Contracting 

Unit/RCC: 

Report 

Ref #:

Contracting

Officer’s Name:

Contracting

Officer’s Telephone:

Contracting

Officer’s E-Mail: 

Date of 

Incident:

Time of

Incident 

(Zulu):

Primary Contractor Involved 

(Company Name): 

Contract Number:

Brief Description of Contract Requirements:

Narrative of Incident:

Appendix A

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223 Defense Contingency COR Handbook

Instructions for Contract Incident Report

Note: These instructions are for reference only. Follow the specific 

policy or guidance of your unit or Head of Contracting Activity. 

1. Security Classification of the Contract Incident Report (CIR). 

When blank, this document is Unclassified. Before using this form, 

get general guidance from your unit information security manager 

about what information contained in a filled-out CIR would drive 

an increase in the form’s security classification. At a minimum, 

consider classifying the form as For Official Use Only when it is 

completed.

2. Date of Report. Self-explanatory.

3. Time of Report. The recommendation is to use Zulu (Z) Coordinated 

Universal Time (UTC). The incident might have occurred in a 

different time zone, or units or offices reviewing this report might 

be in different time zones. 

4. Type of Report. There are three types of reports, as follows:

• Initial. Although the contracting office might not have a lot of 

details, it is important to relay the information in hand as quickly 

as possible, with the promise of forwarding additional details as 

they are made available or at a specified time.

• Update. This type of report provides additional information not 

included in previous reports.

• Final. Before filing out a final report, the author should ensure 

that all open actions are closed and that requests for additional 

data are fulfilled or are being tracked using another mechanism. 

In addition, the author of the CIR should coordinate with the CIR 

primary receiver before submitting a final report to ensure that all 

of the needed incident-related data are available.

5. Contracting Unit/RCC. The unit, Regional Contracting Center 

(RCC), or office submitting the report.

Appendix A

COR Checklists
224

6. Report Reference Number. User-defined mechanism for tracking 

multiple reports from multiple organizations.

7. Contracting Officer’s Name. Self-explanatory.

8. Contracting Officer’s Telephone #. Self-explanatory.

9. Contracting Officer’s E-Mail. Self-explanatory.

10. Date of Incident. Self-explanatory.

11. Time of Incident. Recommend using Zulu (Z) UTC. The incident 

might have occurred in a different time zone, or the units or offices 

reviewing this report might be in different time zones.

12. Primary Contractor Involved. Use the name on the contract, with 

the alias included in parentheses. If more than one contractor is 

involved, list others in the Narrative of Incident part of the CIR. Be 

sure to include any relationships between multiple contractors (e.g., 

Acme is a subcontractor of Smith LLC), if known.

13. Contract Number. Self-explanatory.

14. Brief Description of Contract Requirement. This information 

will help those not familiar with the contract to understand what 

the contract is supposed to be doing. If possible, explain contract 

requirements as they may relate to the incident.

15. Narrative of the Incident. In general, this block covers the when, 

who, what, where, how, and why of the incident. It usually starts 

with details about the time and date that the contracting officer 

was notified and by whom. If pertinent information is missing 

or unknown, the author should say so and mention that it will be 

included in a future update. The author should consider including 

actions that the Government or contracting officer will take as part 

of an investigation or corrective action. 

16. Clear Form. A click on this button will delete all data from the 

form.

Appendix A

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225 Defense Contingency COR Handbook

A.14 Combating Trafficking in Persons Checklist

Examination Guidelines

Select appropriate response for each requirement examined.

Yes = Requirement performed satisfactorily. Comment when key observations are 

noted.

No = Requirement not performed satisfactorily. 

Comment should identify corrective action in-place or plan of action 

(i.e., Corrective Action Request [CAR]).

N/O = Performance of requirement not observed. 

Comment when adverse circumstances prevent verification of requirement.

N/A = Requirement not applicable. Comment when contractor disputes validity of 

requirement.

Note: The Observations Section (Examination Information Block) provides a summary 

of the overall examination assessment. 

Shorthand: RVI = Records Visually Inspected; CAO = Corrective Action Observed; 

CAIP = Corrective Action In Place

Examination Information

(fill all blocks unless noted otherwise)

Contract 

Number: 

Command: Service 

Paragraph:

Combat 

Trafficking 

in Persons

(CTIP)

Place of 

Performance:

Subservices

(list all that apply):

Audit Performed by: 

First, Last:

Appointed COR/SME: 

First, Last:

Date of 

Audit: 

(YY/MM/DD)

Last Audit 

Date:

(YY/MM/DD)

#

Observations:

# 

Nonconformities:

(see note below)

 

Corrective

Action

Request 

(CAR):

☐ Yes ☐ No

CAR # (if Yes)

Appendix A

COR Checklists
226

CTIP Policy

Carry the required CTIP contract clauses with you even when 

evaluating a contractor or subcontractor. 

The U.S. Government and DoD have adopted a zero tolerance policy 

regarding TIP. Contractors, subcontractors, and their employees shall not

do the following:

• Engage in severe forms of TIP during the period of performance of the 

contract

• Procure commercial sex acts during the period of performance of the 

contract

• Use forced labor in the performance of the contract.

FAR Subpart 22.17 and DFARS Subpart 222.17 cover CTIP regulations.

FAR Subpart 52.222-50—Combat Trafficking In Persons (Feb. 2009)

Requirement Yes No N/O N/A Comment

1. Has the contractor informed 

its employees of the U.S. 

Government’s zero tolerance 

CTIP policy, including informing 

employees about the actions 

that will be taken against them 

for violations of this policy? 

FAR Subpart 52.222-50, Para 

(c)(1) 

☐ ☐ ☐ ☐

2. Has the contractor informed 

the contracting officer about 

any information it receives 

(including from host country 

law enforcement) that alleges 

a contractor employee or 

subcontractor employee has 

engaged in conduct violating 

the CTIP policy? FAR Subpart 

52.222-50, Para (d)(1) 

☐ ☐ ☐ ☐

Appendix A

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227 Defense Contingency COR Handbook

Requirement Yes No N/O N/A Comment

3. Has the contractor 

informed the contracting 

officer about any actions 

taken against contractor 

employees, subcontractors, 

or subcontractor employees 

pursuant to this clause? FAR

Subpart 52.222-50, Para (d)(2) 

☐ ☐ ☐ ☐

Appendix A

COR Checklists
228 Appendix A

Notes
Contents

Contract Forms

• Standard Form (SF) 26: Award/Contract

• SF 30: Amendment of Solicitation/Modification of Contract

• SF 33: Solicitation, Offer and Award

Receiving Reports

• SF 1449: Solicitation/Contract/Order for Commercial Items 

• DD 1155: Order for Supplies or Services

• DD 250: Material Inspection and Receiving Report 

• Invoices Used as Receiving Reports 

Other Reports

• DD 2772: Contractor Discrepancy Report 

• COR Monthly Report to the Contracting Officer 

• SPOT Letter of Authorization 

• Funding Forms

The DVD in Attachment 1 provides full-size copies of these forms. 

Contract Forms

CORs need to understand the terms and conditions of the contract 

as well as the Uniform Contract Format (UCF). Figure B.1

shows SF 26, Award/Contract. Figure B.2 shows SF 30, 

Amendment of Solicitation/Modification of Contract. Figure B.3

shows SF 33, Solicitation, Offer, and Award.

Appendix B

Forms
230

AWARD/CONTRACT 1. THIS CONTRACT IS A RATED ORDER 

 UNDER DPAS (15 CFR 700)

RATING PAGE OF PAGES

2. CONTRACT (Proc. Inst. Indent.) NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQUEST/PROJECT NO.

5. ISSUED BY CODE 6. ADMINISTERED BY (If other than Item 5) CODE

FACILITY CODE

7. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and ZIP Code)

CODE

8. DELIVERY

FOB ORIGIN OTHER (See below)

9. DISCOUNT FOR PROMPT PAYMENT

10. SUBMIT INVOICES 

(4 copies unless otherwise 

specified) TO THE

ADDRESS SHOWN IN

ITEM

14. ACCOUNTING AND APPROPRIATION DATA

11. SHIP TO/MARK FOR CODE 12. PAYMENT WILL BE MADE BY CODE

13. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION:

10 U.S.C. 2304(c)( ) 41 U.S.C. 253(c)( )

15A. ITEM NO. 15B. SUPPLIES/SERVICES 15C. QUANTITY 15D.UNIT 15E. UNIT PRICE 15F. AMOUNT

15G. TOTAL AMOUNT OF CONTRACT $ 16. TABLE OF CONTENTS

(X) SEC. DESCRIPTION PAGE(S) (X) SEC. DESCRIPTION PAGE(S)

PART I - THE SCHEDULE PART II - CONTRACT CLAUSES

SOLICITATION/CONTRACT FORM

SUPPLIES OR SERVICES AND PRICES/COSTS

DESCRIPTION/SPECS./WORK STATEMENT

PACKAGING AND MARKING

INSPECTION AND ACCEPTANCE

DELIVERIES OR PERFORMANCE

CONTRACT ADMINISTRATION DATA

SPECIAL CONTRACT REQUIREMENTS

CONTRACT CLAUSES

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

J LIST OF ATTACHMENTS

PART IV - REPRESENTATIONS AND INSTRUCTIONS

K REPRESENTATIONS, CERTIFICATIONS AND OTHER 

STATEMENTS OF OFFERORS

A

B

C

D

E

F

G

H

L

M

INSTRS., CONDS., AND NOTICES TO OFFERORS

EVALUATION FACTORS FOR AWARD

I

CONTRACTING OFFICER WILL COMPLETE ITEM 17 (SEALED-BID OR NEGOTIATED PROCUREMENT) OR 18 (SEALED-BID PROCUREMENT) AS APPLICABLE

17. CONTRACTOR'S NEGOTIATED AGREEMENT (Contractor is required to

sign this document and return copies to issuing office.) Contractor 

agrees to furnish and deliver all items or perform all the services set forth or otherwise 

identified above and on any continuation sheets for the consideration stated herein. The 

rights and obligations of the parties to this contract shall be subject to and governed by 

the following documents: (a) this award/contract, (b) the solicitation, if any, and (c) such 

provisions, representations, certifications, and specifications, as are attached or 

incorporated by reference herein. (Attachments are listed herein.)

18. SEALED-BID AWARD (Contractor is not required to sign this document.) 

Your bid on Solicitation Number ,

including the additions or changes made by you which additions or changes are set forth in 

full above, is hereby accepted as to the terms listed above and on any continuation sheets. 

This award consummates the contract which consists of the following documents: (a) the 

Government's solicitation and your bid, and (b) this award/contract. No further contractual 

document is necessary. (Block 18 should be checked only when awarding a sealed-bid 

contract.)

19A. NAME AND TITLE OF SIGNER (Type or Print)

19B. NAME OF CONTRACTOR 19C. DATE SIGNED

(Signature of person authorized to sign) BY

20A. NAME OF CONTRACTING OFFICER

20B. UNITED STATES OF AMERICA 20C. DATE SIGNED

(Signature of Contracting Officer) BY

AUTHORIZED FOR LOCAL REPRODUCTION 

Previous edition is NOT usable

STANDARD FORM 26 (REV. 5/2011)

Prescribed by GSA - FAR (48 CFR) 53.214(a)

Figure B.1. SF 26, Award/Contract

Appendix B

Forms
231 Defense Contingency COR Handbook

Figure B.2. SF 30, Amendment of Solicitation/Modification of Contract, Page 1

Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods: 

(a) By completing items 8 and 15, and returning 

or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE 

PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this 

amendment your desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation 

and this amendment, and is received prior to the opening hour and date specified.

E. IMPORTANT: Contractor is not, is required to sign this document and return copies to the issuing office.

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE

2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable)

7. ADMINISTERED BY (If other than Item 6) CODE

STANDARD FORM 30 (REV. 10-83)

Prescribed by GSA FAR (48 CFR) 53.243

FACILITY CODE

9A. AMENDMENT OF SOLICITATION 

NO.

9B. DATED (SEE ITEM 11)

10A. MODIFICATION OF CONTRACT/ORDER NO.

10B. DATED (SEE ITEM 13)

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

 The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers is extended, is not extended. 

12. ACCOUNTING AND APPROPRIATION DATA (If required)

copies of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted;

13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS. 

IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

CHECK ONE A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. 

IN ITEM 10A.

B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation 

date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

D. OTHER (Specify type of modification and authority)

Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.

15C. DATE SIGNED

15A. NAME AND TITLE OF SIGNER (Type or print)

16C. DATE SIGNED

16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)

PAGE OF PAGES

6. ISSUED BY CODE

8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and ZIP Code) (X)

CODE

15B. CONTRACTOR/OFFEROR

(Signature of person authorized to sign)

16B. UNITED STATES OF AMERICA

(Signature of Contracting Officer)

NSN 7540-01-152-8070 

Previous edition unusable

Appendix B

Forms
232 Appendix B

Forms

Figure B.2. SF 30, Amendment of Solicitation/Modification of Contract, Page 2
233 Defense Contingency COR Handbook

Appendix B

Forms

Figure B.3. SF 33, Solicitation, Offer, and Award, Page 1

SOLICITATION, OFFER AND AWARD 1. THIS CONTRACT IS A RATED ORDER 

UNDER DPAS (15 CFR 7900)

RATING PAGE OF PAGES

2. CONTRACT NUMBER 3. SOLICITATION NUMBER 4. TYPE OF SOLICITATION 5. DATE ISSUED 6. REQUISITION/PURCHASE NUMBER

7. ISSUED BY CODE 8. ADDRESS OFFER TO (If other than item 7)

NOTE: In sealed bid solicitations "offer" and "offeror" mean "bid" and "bidder".

SOLICITATION

9. Sealed offers in original and copies for furnishings the supplies or services in the Schedule will be received at the place specified in item 8, or if

hand carried, in the depository located in until local time

CAUTION - LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-1. All offers are subject to all terms and conditions 

contained in this solicitation.

10. FOR 

INFORMATION 

CALL:

A. NAME B. TELEPHONE (NO COLLECT CALLS)

AREA CODE NUMBER EXT.

C. E-MAIL ADDRESS

11. TABLE OF CONTENTS

(X) SEC. DESCRIPTION PAGE(S) (X) SEC. DESCRIPTION PAGE(S)

A

B

C

D

E

F

G

H

I

J

K

L

M EVALUATION FACTORS FOR AWARD

INSTRS., CONDS., AND NOTICES TO OFFERORS

REPRESENTATIONS, CERTIFICATIONS AND OTHER 

STATEMENTS OF OFFERORS

PART IV - REPRESENTATIONS AND INSTRUCTIONS

LIST OF ATTACHMENTS

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

SOLICITATION/CONTRACT FORM CONTRACT CLAUSES

SUPPLIES OR SERVICES AND PRICES/COSTS

DESCRIPTION/SPECS./WORK STATEMENT

PACKAGING AND MARKING

INSPECTION AND ACCEPTANCE

DELIVERIES OR PERFORMANCE

CONTRACT ADMINISTRATION DATA

SPECIAL CONTRACT REQUIREMENTS

NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

OFFER (Must be fully completed by offeror)

12. In compliance with the above, the undersigned agrees, if this offer is accepted within calendar days (60 calendar days unless a different

period is inserted by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the set opposite 

each item, delivered at the designated point(s), within the time specified in the schedule.

13. DISCOUNT FOR PROMPT PAYMENT 

(See Section I, Clause No. 52.232-8)

14. ACKNOWLEDGMENT OF AMENDMENTS 

(The offeror acknowledges receipt of amendments to 

the SOLICITATION for offerors and related documents 

numbered and dated):

10 CALENDAR DAYS (%) 20 CALENDAR DAYS (%) 30 CALENDAR DAYS (%) CALENDAR DAYS(%)

AMENDMENT NO. DATE AMENDMENT NO. DATE

15A. NAME AND 

 ADDRESS 

 OF OFFER- 

 OR

CODE FACILITY 16. NAME AND THE TITLE OF PERSON AUTHORIZED TO SIGN OFFER

(Type or print)

15B. TELEPHONE NUMBER

AREA CODE NUMBER EXT. 15C. CHECK IF REMITTANCE ADDRESS IS 

DIFFERENT FROM ABOVE - ENTER SUCH 

ADDRESS IN SCHEDULE.

17. SIGNATURE 18. OFFER DATE

AWARD (To be completed by Government)

19. ACCEPTED AS TO ITEMS 20. AMOUNT 21. ACCOUNTING AND APPROPRIATION

22. AUTHORITY FOR USING OTHER THAN FULL OPEN COMPETITION:

10 U.S.C. 2304 (c) 41 U.S.C. 253 (c)

24. ADMINISTERED BY (If other than Item 7)

26. NAME OF CONTRACTING OFFICER (Type or print)

IMPORTANT - Award will be made on this Form, or on Standard Form 26, or by other authorized official written notice.

AUTHORIZED FOR LOCAL REPRODUCTION 

Previous edition is unusable

23. SUBMIT INVOICES TO ADDRESS SHOWN IN 

(4 copies unless otherwise specified)

25. PAYMENT WILL BE MADE BY

27. UNITED STATES OF AMERICA

(Signature of Contracting Officer)

28. AWARD DATE

CODE

ITEM

STANDARD FORM 33 (REV,. 9-97)

Prescribed by GSA - Far (48 CFR) 53.214 (c)

SEALED BID (IFB)

NEGOTIATED (RFP)

(Hour) (Date)

PART I - THE SCHEDULE PART II - CONTRACT CLAUSES
234 Appendix B

Forms

Figure B.3. SF 33, Solicitation, Offer, and Award, Page 2

INSTRUCTIONS for STANDARD FORM 33

The instructions below correspond to the blocks of the form.

1. Include the DPAS rating if applicable IAW FAR Subpart 11.6 and page information.

2. Insert the award PIIN once you've made award IAW DFARS 204.7003.

3. Insert the solicitation PIIN IAW DFARS 204.7003.

6. Insert the purchase requisition (PR) number from your PR form (i.e., DA 3953, 

NAVCOMP 2276, AF 9, etc.). This will normally be different from the PIIN.

7. Insert the issuing contracting office information (and its code, if applicable).

8. Leave this blank unless you'll have offers sent somewhere other than block 7.

10. Buyer should place her / his name and telephone number here.

11. Place an "X" in each section included in the solicitation / award and the number of 

pages in each applicable section.

13. Offeror will insert payment terms as applicable.

14. Offeror will acknowledge any amendments by placing the amendment number(s) 

and date of acknowledgment.

15. Offeror will include its name, address, and telephone number. If offeror knows its 

Commercial and Government Entity (CAGE) code and has a remittance address 

different from 15A, it should insert the CAGE code in 15A and place an X in 15C.

16-18. Offeror will insert the name and title of the authorized signature authority and 

have that person sign and date the offer before submission to the contracting office.

19. Insert the line item(s) to be accepted. If you are not accepting all line items, ensure 

you are complying with the conditions for partial acceptance (usually found in 

section M of the solicitation).

21. Insert the fund cite(s) from which you'll make payment. If the cite(s) will not fit in 

this block, insert "see schedule, section ?" (usually G) and list your cite(s) in that 

section.

22. See FAR Part 6.3 for guidance.

23. Insert item 7, 8, 24, or 25, depending on where the contractor should address its 

invoice to receive proper and timely payment.

24. Leave this blank unless administration functions are done somewhere other than the 

office shown block 7.

25. Insert the paying address (and code, if applicable).

26-28. Insert the contracting officers printed or typed name and have her / him sign and 

date. An award is not valid until the contracting officer completes these blocks.

Blocks not explained above are self-explanatory.
235 Defense Contingency COR Handbook

Receiving Reports

Depending on the type of contract, the COR uses one of the 

following receiving reports to document Government acceptance of the 

delivered supply or services: 

• SF 1449, Solicitation/Contract/Order for Commercial Items

• DD 1155, Order for Supplies or Services

• DD 250, Material Inspection and Receiving Report

• Invoices used as receiving reports. 

The COR most likely will use the SF 1449, DD 1155, or DD 250 

forms. Table B.1 is a crosswalk between the key blocks on these three 

forms. The COR also may use an agency-specific requirements package 

or SF 26, Award/Contract. 

Table B.1. Crosswalk among SF1449, DD 1155, and DD 250 

SF 1449 DD 1155 DD 250

Block 2 or 4 Block 1 Block 1 (procurement instrument ID 

number) 

Block 11 Block 8 Block 8 (acceptance point) 

Block 17a Block 9 Block 9 (prime contractor) 

Block 16 Block 7 Block 10(administered by) 

Block 18a Block 15 Block 12 (payment will be made by) 

Block 15 Block 14 Block 13 (shipped to) 

Page with 

CLINs 

Page with CLINs Blocks 15–20 (item number, description, 

quantity, unit, unit price, total amount) 

Appendix B

Forms
236

When partial supplies or services are required, after the initial 

receiving report is completed on SF 1449, the subsequent receiving 

reports are made with DD 250. 

This section depicts the three forms and contains some instructions 

on completing them. The Office of Defense Procurement and Acquisition 

Policy provides additional instructions on completing these forms and 

links to the forms themselves at http://www.acq.osd.mil/dpap/ccap/cc/

jcchb/HTML/forms.html. There is also a discussion on invoices used 

as receiving reports. 

SF 1449, Solicitation/Contract/Order for Commercial Items (shown 

in Figure B.3 and in a sample form in Figure B.4) is the most common 

receiving report for supplies and services for commercial items and 

is usually the first page of the contract. SF 1449 is a streamlined 

document, but still contains CLINs, delivery dates, funding, clauses, 

and the SOO, SOW, or PWS. 

When preparing the SF 1449, the COR should ensure the completion 

of blocks 32a (check received and accepted), 32b (signature of official 

authorized to accept supplies or services), 32c (date supplies or services 

accepted), 32d (printed name and title of authorized representative), 32e 

(mailing address of authorized representative), 32f (telephone number), 

32g (e-mail address), 33 (shipment number), 35 (amount verified 

correct), 36 (payment complete, partial, or final), 42a (printed name 

of receiver), and 42c (date received). The same name may appear in 

blocks 32d and 42a if the same individual both receives and accepts the 

supplies or services. If the receiver and acceptor are different people, 

the names in these two blocks will be different. 

If partial payment is authorized, the COR should document the 

number of items or the quantity of services that have been received and 

accepted as well as the total dollars per line item to be paid. 

Appendix B

Forms
237 Defense Contingency COR Handbook

Appendix B

Forms

Figure B.4. Sample SF 1449, page 1
238 Appendix B

Forms

Figure B.4. Sample SF 1449, page 2
239 Defense Contingency COR Handbook

Note: CORs must document partial payments carefully.

Some contractors will understand the system better than the 

COR and might try to obtain double payments for the same 

work completed. 

As noted above, DPAP provides instructions for completing blocks 1 

through 31c of SF 1449. The contracting officer will complete blocks 1 

through 30—with the exception of blocks 12, 17, 23, 24, and 30, which 

the contractor completes. The remaining blocks are the responsibility 

of the personnel performing the receiving and payment functions. 

Note: CORs might see versions of SF 1449 that do not have 

the receiving information blocks at the bottom of the back of 

the form. In such cases, CORs should use DD 250 as the 

receiving report. 

The DD 250, shown in Figure B.5, is a multipurpose report used for 

the following. 

• Provide evidence of Government contract quality assurance at 

origin or destination

• Furnish evidence of acceptance at origin or destination

• Serve as a packing list

• Act as a receiving record

• Function as a shipping record

• Serve as a contractor invoice

• Provide commercial invoice support. 

DD 250 is used as the receiving report for procurement actions 

awarded by using an SF 1449 or DD 1155. When filling in the DD 250, 

the COR can find related information on the SF 1449 and DD 1155, as 

identified in Table B.1. 

Appendix B

Forms
240 Appendix B

Forms

Figure B.5. Sample DD 250
241 Defense Contingency COR Handbook

The receiving or acceptance activity will complete blocks 1 through 

20, 21a, 21b, and 22, including signatures, typed names, titles, mailing 

address, and telephone numbers. If there are separate receiving and 

acceptance officials, blocks 21 and 22 must reflect each individual 

appropriately. The acceptance authority (signer) is designated in 

Section E of the contract. 

DFARS Appendix B provides instructions for preparing and 

completing the DD 250. An editable version of this form is available on 

the DVD in Attachment 1. 

Invoices Used as Receiving Reports

A contractor’s invoice can be used as a receiving report if the 

contract or purchase order provides for use of Government certified 

invoices instead of a separate receiving report. 

If the COR is accepting contractor performance or delivery by using 

a Government certified invoice, the COR should include this statement: 

“I certify the supplies/services have been received and accepted on (day, 

month, and year).” This statement may be on an invoice, delivery ticket, 

voucher, or separate piece of paper, and it must contain the printed 

name, title, telephone number, date, and signature of the Government 

official who is authorized to receive and accept the supplies or services. 

Other Reports

DD 2772, Contractor Discrepancy Report (CDR), shown in Figure 

B.6, is generally prepared by a COR to notify the contractor about a 

pending discrepancy. In most instances, the purpose of the form is to 

allow the contractor to correct the discrepancy without interference 

from the Government. 

Appendix B

Forms
242 Appendix B

Forms

Figure B.6. Sample DD 2772
243 Defense Contingency COR Handbook

COR Monthly Report to the Contracting Officer: A sample form 

for the COR’s monthly report to the contracting officer is displayed in 

Figure B.7. 

Appendix B

Forms

Figure B.7. Sample COR Monthly Report to the Contracting Officer
244

Synchronized Predeployment and Operational Tracker,

Letter of Authorization 

The letter of authorization (LOA) form generated by SPOT states 

that “the Government organization specified above, in its mission

support capacity under the contract, authorizes the individual employee 

identified herein, to proceed to the location(s) listed for the designated 

deployment period set forth above.” The LOA identifies specific 

privileges, and it addresses travel and emergency medical support. 

The LOA must include the contracting officer’s signature or the COR’s 

signature (if authorized by the contracting officer) as well as contact 

information. Figure B.8 shows a sample LOA. 

Funding Forms

Local procedures are the best reference for the identification of 

funding forms. 

Appendix B

Forms
245 Defense Contingency COR Handbook

Appendix B

Forms

Figure B.8. Sample SPOT Letter of Authorization
246 Appendix B

Forms
Contents

Transfer of Responsibility

• Continuity Book

Redeployment and Demobilization Considerations

Transfer of Responsibility

I

t is critical for a COR to plan for and execute a quality transition 

of duties before redeployment. This responsibility includes early 

notification to the responsible contracting officer about the exact 

redeployment date and the name of the replacement.

Continuity Book

In addition to maintaining a complete contracting file, the COR’s 

continuity book is also very important. After arriving at the deployed 

location, you should either establish or review information contained in 

the existing continuity book. The COR will maintain and continually 

update the continuity book for follow-on CORs. Upon termination of 

a deployment, the last COR will forward the continuity book to the 

applicable J4 supporting the area of responsibility (AOR). The book 

should include the following at a minimum: 

• Current list of enduring contract vehicles, with contingency clauses

• Current vendor or contractor source listing, including vendor 

names, addresses, telephone numbers, POCs, and type of supplies 

or services provided

• List of local contractors and vendors that should not be used

• Key POCs at the deployed site, including name, grade, duty title 

unit, telephone number, and after-hours POC, if available

• Copies of all headquarters policy letters, acquisition instructions, 

and messages of guidance received to date

• Minutes of all meetings attended, including open action items 

affecting the contracting function

Appendix C

Turnover and Continuity
248

• Contractor delivery information and gate security

• Copies of all customer education handouts developed to date

• Disposition of purchase records

• Lessons learned during the deployment to date

• A copy of your After Action Report, forwarded through the 

responsible senior contracting official (SCO) within 30 days of 

redeployment to home station

• Copies of all e-mail transactions between the contracting officer and 

vendors, if applicable.

Redeployment and Demobilization Considerations

Redeployment is defined as the transfer of forces, personnel, 

equipment, and materials to home or demobilization stations for 

reintegration and out-processing. Planning for redeployment is 

accomplished by using the same time-phased process used to execute 

the deployment. Whenever possible, the COR should participate on 

the joint contingency planning staff that is planning the redeployment 

or demobilization phase of the operation. It is imperative that the 

COR communicates with contingency contracting officer (CCO) and 

operational planners in the drawdown planning. Some areas that 

should be a focus after notification of a contingency redeployment or 

demobilization include the following:

• Drawdown of services, staffing, and equipment

• Contractor demobilization plan

• Contractor personnel and property accountability

• Contract closeout

• Potential new requirements to support the redeployment (e.g., 

packing, crating, and freight services).

Additional areas of consideration are provided within the U.S. 

Central Command (CENTCOM) Contracting Command (CCC) COR 

demobilization orientation briefing on the DVD in Attachment 1.

Appendix C

Turnover and Continuity
Contents

Planning and Source Selection

Pre-Award and Solicitation Phase

• Market Research 

• Independent Government Cost Estimate

• Performance Work Statements 

• Socioeconomic Development Programs

• Planning for the Evaluation of Proposals

• Types of Source Selections

• Competition

• Amendments to the Solicitation

• Do’s and Don’ts for Pre-Award and Solicitation Phase

Evaluation and Award Phase

• Receipt and Management of Proposals

• Evaluation of Proposals

» Technical Evaluation Reports

» Support for the Review of Business/Cost Proposals 

Communications with Offerors

• Determination of the Competitive Range 

• Communications after Establishing the Competitive Range 

» Selection of the Right Contractor 

» Debriefing of Offerors 

» Handling of Protests 

» Handling of Freedom of Information Act Requests 

» Do’s and Don’ts for Evaluation and Award 

Appendix D

Contract Planning and Source Selection
250

Planning and Source Selection 

This appendix provides an overview of contract planning (the 

Pre-Award and Solicitation Phase) and source selection (the 

Evaluation and Award Phase). Figure D.1 depicts the overall 

acquisition process. 

Pre

Solicitation

Requirements

Definition

•Customer Requirements

 Assist customer

minimum needsmeets government’sidentification thatwith requirement

•Market Research

 Perform market

and optionsavailability, affordabilitycommerciality,research to determine

• Perform sources

sought as needed

• Help customer developSOW/SOO

constructioncommodities orperformance-based),(commercial/tailored to servicesproper work statement

•Competition Rules

 Proposal Preparation

Instructions

• Evaluation Criteria• Basis of Award

Requirements

Definition

Requirements

Definition

Step 1 - Requirements Definition

Acquisition Process

Step 2 - Acquisition Strategy

Step 4 - Evaluation Phase Step 3 - Request for Proposal

Acquisition

Strategy

Request for 

Proposals

Requirements

Definition

Acquisition

Strategy

Requirements

Definition

Acquisition

Strategy

Request for 

Proposals

Evaluation

Phase

•Contract Formulation• Payment Terms• Delivery Schedule• Specifications• Work Statements• Clauses

 Contract Form •

Key Principles

 Evaluate in strict accordance with RFP criteria

• Modify RFP if necessary• Evaluate proposals against standards, not each other• Avoid technical leveling or transfusion• Achieve understanding and resolve issues• Protect source selection data

• Acquisition Strategy• Panel (over $5M)• Acquisition Plan• Source Selection

Delegation

• Source Selection Plan• Synopsis

• Develop contract which

and contractorbetween government defines relationship

• Contract must capture

and define responsibilitiesentire scope of program

• Acquisition must consider

exceed $3,000contracts expected toparticipation for allsmall business

• Good contracting is

programessential to a good

• Bad contracting can ruin

a good program

• Good contracting

funded programdefined, planned, orcannot save a poorly 

Contract

Award

Evaluation

Phase

Requests for

Proposals

Acquisition

Strategy

Solicitation

Source

Selection

Figure D.1. Acquisition Process Overview, Part 1

Appendix D

Contract Planning and Source Selection
251 Defense Contingency COR Handbook Step 4 - Alt 1 (without discussions) Step 4 - Alt 2 (with discussions) Post Award Step 5 - Contract Award Debrief Protest Protest Determination • Proposal Updates • Face-to-Face Discussions • Responses to ENs • Evaluation Notices (ENs) • Proposal Analysis Report • Price Evaluation Report • Brief Source Selection Authority • Decision Document • Identify Deficiencies • Identify Strengths, Weaknesses, and Risks • Brief SSA • Rate Proposals • Approve Contract • Debrief Unsuccessful Offereors • Announce Award • Send out notifications • Notification of days award: within 3 • Debrief (verbal/written): within 5 days • Timing: Within 10 days of • Authority: Agency or GAO • Type: Award or size • Before or after Award award or 5 days after debrief • Resolution: • Performance suspended GAO: 100 days Agency: 35 days • Proposal Analysis Report Price Evaluation Report • Brief Source Selection Authority • Decision Document Competitive Range Determination Requirements Definition Receipt of Proposals Acquisition Strategy Request for Proposals Evaluation Phase Requirements Definition Acquisition Strategy Request for Proposals Evaluation Phase Contract Award Evaluation (if required) Discussions Final Revisions Proposal Source Decision Selection Requirements Definition Proposals Receipt of Acquisition Strategy Request for Proposals Evaluation Phase Evaluation (if required) Discussions Final Revisions Proposal Source Decision Selection Figure D.1. Acquisition Process Overview, Part 2

Appendix D

Contract Planning and Source Selection
252

Pre-Award and Solicitation Phase

The requiring organization is responsible for identifying the need 

for supplies and services, the first and most critical step in the planning 

process. The follow-on steps focus on forecasting, planning, and defining 

the acquisition requirements; developing and updating acquisition plans

and strategies, justifications, and authorizations; conducting market 

research; preparing program plans, cost estimates, and schedules; and 

assigning priorities. FAR Subpart 7.102(a) requires that “agencies 

shall perform acquisition planning and conduct market research for 

all acquisitions.” In addition to ensuring compliance with the FAR

requirement, contract planning helps to anticipate problems, save time 

in the future, save money, stay on schedule, communicate to higher 

management, and generate the commitment to perform the acquisition. 

Market Research

Acquisitions of supplies and services begin with a description of 

the Government’s needs, stated in detail that is sufficient to allow the 

acquisition team to conduct market research. The market research 

results form the basis for developing new requirement documents 

and issuing solicitations. Market research is an ongoing process 

for collecting, organizing, maintaining, analyzing, and presenting 

data. The purpose of market research is to maximize the capabilities, 

technology, and competitive forces of the marketplace to meet an 

organization’s needs for supplies and services. The COR may be asked 

to help gather market research information that decision makers can use 

to identify the best approach for acquiring needed supplies or services. 

The research will vary, depending on factors such as urgency, 

estimated dollar value, complexity, and past experience. This research 

involves obtaining information specific to the item being acquired and 

then deciding whether Government needs can be met by items that 

Appendix D

Contract Planning and Source Selection
253 Defense Contingency COR Handbook

are customarily available in the commercial marketplace (either as is 

or with modifications) or by items used exclusively for governmental 

purposes. Results should be documented in a manner appropriate to the 

size and complexity of the acquisition. Market research also helps the 

Government develop IGCEs when conducting a cost analysis. 

In addition to conducting market research on the Internet, the COR 

can contact a nearby U.S. Embassy or U.S. Consulate administrative 

officer to seek out potential local vendors for services and supplies. 

The base contractors who are providing base services represent another 

good source of pertinent information. Usually the base contractor not 

only subcontracts its requirements to local vendors for supplies and 

services, but also reaches back to companies in the United States.

Independent Government Cost Estimate

This section addresses the difference between an independent 

Government estimate (IGE) and an IGCE, specifies the content of cost 

estimates (e.g., labor costs, labor cost burden, ODCs, indirect costs, 

general and administrative expenses, profit/fee, and IGCE escalation 

considerations), compares cost and prices estimates, and summarizes 

other relevant guidance.

IGE and IGCE

An IGE is generally used for commercial items, supplies, equipment,

and simple services that are routinely available on the open market 

at competitive prices. A price estimate is required for all contract 

requirements that exceed the simplified acquisition threshold and must 

be independently developed based on a comparison and analysis of 

factors such as published catalog prices, historical prices paid, market 

survey information, and vendor price quotes. The IGE is not broken 

down into various cost elements and depends more on bottom-line 

prices paid or availability in the marketplace.

Appendix D

Contract Planning and Source Selection
254

An IGCE is required for services, construction, and noncommercial 

supplies estimated to exceed the SAT (i.e., $100,000 for noncommercial 

items and as much as $5 million for commercial items). The IGCE is 

the Government’s estimate of projected costs that a contractor will incur 

in the performance of a contract. The cost estimate is more detailed 

than the price estimate and requires a breakdown of anticipated costs 

during performance of the contract. Costs are generally divided into the 

primary cost elements of labor, payroll additives, ODCs, indirect costs

(i.e., overhead), general and administrative (G&A) costs, and profit/fee.

The IGCE is the Government’s estimate of the resources and 

projected costs that a contractor will incur in the performance of a 

contract. These costs include direct costs such as labor, products, 

equipment, travel, and transportation; indirect costs such as labor 

overhead, material overhead, and G&A expenses; and profit/fee (the 

amount exceeding costs that is incurred to compensate the contractor 

for the risks involved in undertaking the contract). 

This discussion addresses the key elements of an IGCE, but it is not 

intended to cover every possible acquisition. Large and complicated 

acquisitions that cost millions of dollars have dozens of cost elements, 

while acquisitions for single items of relatively low dollar value have 

only a few cost elements. The application of cost elements will vary 

with the circumstances of the specific acquisition and associated market 

conditions. The IGCE should include only those elements applicable 

to, and developed from, the SOO, SOW, or PWS or a description of the 

supplies, services, or construction to be acquired. An IGCE is required 

for every procurement action that exceeds the SAT described in FAR

Subpart 2.101. 

Commercial items are supplies or services sold to the general 

public that require no major modification to meet specific Government 

requirements.

Appendix D

Contract Planning and Source Selection
255 Defense Contingency COR Handbook

The requiring organization develops the IGCE, which is used to 

establish a realistic price/cost for budget purposes. In addition, the 

contracting officer uses the IGCE for technical and management 

information. The IGCE is the baseline for evaluating an offeror’s 

contract price/cost. The format and contents of the IGCE vary with the 

complexity and value of the requirement. 

Acquisition statutes require the analysis of price/cost to confirm 

either a reasonable price (for a fixed-price contract) or a realistic cost 

(for a cost-reimbursement contract). The results of any contract action 

in terms of quality and reasonableness of price/cost rely heavily on the 

accuracy and reliability of the IGCE. Any significant variation between 

an offeror’s proposal and the IGCE requires analysis. When variations 

exist, the Government can identify and correct inaccuracies in the 

IGCE or can use the IGCE to negotiate a more realistic price. 

The IGCE is a procurement-sensitive document and should be 

handled accordingly. Access to the IGCE is on a need-to-know basis. 

The first step in developing the IGCE is establishing a mindset that 

the developers would use when working in a commercial environment. 

Standards, practices, and procedures that industry normally applies 

should be used as the basis for developing the IGCE. 

A simple estimate of current market prices or historical prices might 

be adequate for requirements up to the SAT. Above that level, a more 

complete cost or price estimate is required. 

The differences between a cost estimate and a price estimate can be 

summarized as follows: 

• Cost Estimate. The cost estimate is a detailed estimate that 

requires a breakdown of costs anticipated in performance of the 

contract. A detailed estimate is required for services, construction, 

and noncommercial products that are estimated to exceed the SAT. 

A review of the current or previous contract documents and the 

previous IGCE is usually an excellent place to start research. These 

Appendix D

Contract Planning and Source Selection
256

documents can be obtained from the supporting contracting office

files. 

• Price Estimate. The price estimate is generally used for commercial 

products, equipment, and simple services that are routinely available 

on the open market at competitive prices. The price estimate is 

required on all contract requirements over the SAT and must be 

independently developed based on a comparison and analysis of 

relevant factors (e.g., published catalog prices, historical prices paid, 

market survey information, and contractor price quotes). The price 

estimate is not broken down into specific cost elements and depends 

more on bottom-line prices paid or available in the marketplace. 

The contracting officer or specialist may help with research for 

pricing information. 

The following sections contain basic information on developing cost 

estimates such as the IGCE. 

Cost Estimates 

Costs are generally divided into the following primary cost elements: 

labor, burden on labor costs, ODCs, indirect costs (overhead), G&A, 

and profit/fee. This section describes these cost elements as well as 

escalation considerations. 

Labor Costs

Labor costs are often the most significant part of the IGCE in terms 

of funds for either services or construction contracts. Direct labor is 

the labor that is directly applied to the performance of the contract 

requirements. In contracts for CONUS services and construction, 

many labor categories are covered by the Department of Labor wage 

determinations in the provisions of the Service Contract Act for 

services or the Davis-Bacon Act for construction contracts. Neither 

Appendix D

Contract Planning and Source Selection
257 Defense Contingency COR Handbook

these statutes nor the related wage determinations apply to declared 

contingency or peacekeeping operations OCONUS. 

Labor categories and skills that are covered by the SCA or DavisBacon Act in CONUS operations are considered to be nonexempt. All 

nonexempt wages must be paid at a rate no less than that identified on 

the applicable wage determination. Exempt personnel (management 

and professional salaried staff) are not paid hourly and thus are not 

covered by the wage determinations. Exempt personnel will receive 

benefits and wages comparable to those for similar positions in industry 

or the Government. 

Setting reasonable estimates for required labor categories will 

also help the COR combat coercive and abusive labor practices during 

contract administration. 

The IGCE should identify the labor categories and the level of effort 

(work hours) required for each category. For instance, the effort of a 

carpenter to renovate one set of kitchen cabinets might be limited to 100 

hours (with proportional benefits), whereas a contract requiring a fulltime carpenter working under the terms of a contract year would project 

a full-year cost with all benefits. 

The IGCE must consider the realities of the work environment. 

Employee benefits (leave and holidays) must be factored into the cost 

estimate of any Government contract. To estimate costs for a typical 

service contract year, the COR should begin with the average work 

year of 2,080 hours (40 hours per week, 52 weeks per year). These are 

available hours, which are used to estimate the level of pay for each 

employee under the contract. However, the COR’s estimate must be 

adjusted to consider productive hours before estimating the number 

of contract employees required. Productive hours are the number of 

hours an employee actually performs assigned duties. When full-time 

employees are incorporated in the IGCE, a good rule of thumb is to use 

1,880 productive hours (i.e., 2,080 hours minus 80 hours for holidays, 

Appendix D

Contract Planning and Source Selection
258

80 hours for vacation, and 40 hours for sick leave). When part-time 

employees are used, productive hours can be estimated by using a basis 

of 1,920 hours per year (i.e., 2,080 hours minus 80 hours for holidays 

and 80 hours for vacation, but no hours for sick leave). Actual availablehour and productive-hour patterns can vary by host nation, service or 

industry, or contract requirement. 

Burden on Labor Costs

After the basic labor categories and hours are specified, labor 

burdens must be calculated.47 Typical burdens on labor costs are as 

follows: 

• Health and Welfare (H&W). H&W includes life, accident, and 

health insurance plans; pension plans; civic and personal leave (e.g., 

vacation and holidays); severance pay; savings and thrift plans; 

and on the like. H&W costs are based on the most recent wage 

determination issued by the Department of Labor. Currently, the 

figure of $2.15 is approved for all wage categories covered by the 

SCA (for services contracts). Individual Davis-Bacon Act wage 

determinations include specific fringe benefits for H&W. Because 

all figures are subject to change, they should be verified before the 

IGCE is developed. The rate should then be multiplied by available 

hours. Similar fringe benefits should also be projected for exempt 

labor hours. 

• Federal Insurance Contributions Act (FICA). The FICA tax rate 

is 7.65 percent (6.2 percent for Social Security and 1.45 percent for 

Medicare). This rate has been constant for a number of years and 

rarely changes. To calculate a FICA contribution, multiply 7.65 

percent times total wages (up to the FICA maximum rate of $84,900, 

as of 2003). 

47 The Bureau of Labor Statistics publishes the Employer Cost of Employee Compensation (ECEC), 

available at http://www.bls.gov/ncs/ect/. This website publishes current information and provides 

a statistical basis for the numbers.

Appendix D

Contract Planning and Source Selection
259 Defense Contingency COR Handbook

• Federal Unemployment Taxes. Federal unemployment taxes are 

paid on the first $7,000 of total wages, multiplied by a factor of 0.8 

percent. This rate changes periodically; the current rate is available 

on the Internal Revenue Service (IRS) webpage at http://www.irs.

gov/formspubs. 

• State Unemployment Taxes. Individual state governments set 

state unemployment taxes, which are paid on the first $9,000 of 

total wages. The tax rate varies based on the type of business 

involved. Rates might be available from the states’ workers 

compensation websites. However, if state unemployment tax rates 

are not available, the COR could use an average rate of 3.0 percent. 

This percentage is then multiplied by the first $9,000 in wages per 

employee to calculate the state unemployment tax. 

• Workers Compensation. Workers compensation is insurance 

designed to cover injuries and associated benefits that arise from 

work-related injuries. The rate varies from state to state, but for the 

most part depends on a contractor’s years of business in the state and 

claims-related experience. Workers compensation is applied to total 

wages and will vary between 2 and 5 percent of total payroll. The 

state tax code should contain relevant details. 

A straight-line approach with an average overall burden rate may be 

used to estimate fringe benefits. This approach may be used in place of 

the separate computation of benefits (as previously outlined). However, 

a straight-line approach might not be adequate for some high-cost areas 

of the country or for all Davis-Bacon Act categories. Whichever method 

is used, the IGCE should document the rationale for that method. 

For foreign operations (those outside the United States), some of 

these additives might not be encountered, depending on the host nation 

and common practices within the industry in that nation. Information 

on applicable host nation labor practices and common burdens on labor 

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costs should be available from host nation authorities. For CONUS 

operations, comparable information also might be available from 

DCAA, DCMA, or local pricing personnel. 

Other Direct Costs

When estimating ODCs, the emphasis should be on accuracy of 

the type and quantity required to complete the contracted work. The 

following are general ODC groupings: 

• Materials and Equipment. Item descriptions and related cost 

estimates can be obtained by using catalogs, price quotes, market 

surveys, historical data, and the like. 

• Travel. To estimate travel costs, the first step is determining the 

need for travel by the contractor, including destinations (both local 

and remote), number of trips anticipated, number of personnel 

traveling, and number of days per trip. Using that information as 

a starting point, the cost per trip can be calculated. The individual 

trip totals then must be added to arrive at a total for all travel under 

the contract. 

The Defense Travel Management Office manages the Joint Travel 

Regulation (JTR), Volume 2, which contains useful information on 

travel costs. JTR establishes per diem rates (e.g., for lodging, meals) 

that may be used to estimate such costs under any type of proposed 

contract. The JTR also establishes the reimbursable mileage rates

for travel by privately owned automobile. Other travel costs (e.g., 

for airfare, rental car) can easily be obtained from commercial 

websites.48

• Consultants. Any tasks or work that might require the use of 

consultants must be identified. For example, some tasks might 

require unique specialized expertise that is not normally available to 

48 Also: FAR Subpart 31.2, “Contracts with Commercial Organizations.”

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contractors performing the work required by the contract. The COR 

should estimate the number of hours needed for each consultant. 

• Subcontracts. Some efforts might need to be subcontracted. For 

example, the prime contractor might not have (and would not be 

expected to have) some specialized labor, equipment, or facilities 

needed to complete the contract. The COR can estimate the ODCs 

for each potential subcontract, using the same estimation techniques 

as those used for the prime contract. 

• Bonds. Most common in construction contracts, the direct costs of 

these securities must be identified and incorporated into the IGCE. 

Performance and payment bonds will generally cost the contractor 

anywhere from 1 percent to 3 percent of the total bid or proposal 

price. A review of past bonding requirements might provide a 

reasonable range for the IGCE. In the absence of specific data 

on similar contracts, the COR may use 2 percent of the total cost 

estimate to cover bonding costs (when applicable to the acquisition). 

Indirect Costs (Overhead)

Overhead includes any costs not directly assigned to a single final 

cost objective, individual project, or contract. In other words, indirect 

costs are general business costs such as rent, utilities, general office 

supplies, telecommunications, and depreciation. The contractor 

recoups indirect costs by applying an overhead percentage to direct 

labor costs, manufacturing costs, or another appropriate base consistent 

with the firm’s established accounting practices. 

Methods and rates to recover indirect costs can vary significantly. 

One firm might pool all indirect costs and apply one percentage rate 

to total direct costs to recoup its expenses. Another company might 

group costs associated with labor costs into one overhead account and 

separately group its corporate-level expenses (i.e., G&A expenses). 

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General and Administrative Expenses

G&A expense accounts capture the costs of company-wide support 

functions (e.g., accounting, personnel, purchasing, legal) that cannot be 

directly charged to any single project or contract. G&A expenses also 

may include executive compensation for corporate officers as well as 

management, financial, or other expenses incurred for overall operation 

of a business. These costs are distributed equally across all of the 

company’s contracts, in both the Government and private sectors. 

Like overhead, G&A expenses are grouped together and recouped by 

applying a percentage to other cost categories, consistent with the cost 

accounting practices of the firm. These costs vary significantly with 

the size of the firm and within industry groupings (e.g., construction, 

services, information technology). Thus, the use of a set percentage 

number or range for the IGCE is not appropriate. Instead, the COR should 

consult with the contracting officer to obtain historical information 

from similar purchases and industry practices relevant to the current 

acquisition. DCAA also might be able to provide a representative G&A 

rate based on previous audit information for similar contract situations. 

Profits and Fees

Profits and fees are generally regarded as remuneration for the risk

involved in undertaking the contract tasks. The profit or fee is the 

amount of money that the contractor expects to earn above and beyond 

the costs incurred to complete the contract. Under fixed-price contracts, 

profit is the amount of money (if any) remaining after all contract costs 

have been paid. Under cost-plus-fixed-fee contracts, profit is a set 

amount that the contractor is guaranteed as long as it makes its best 

effort to perform the contract. 

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For the IGCE, profit or fee can be calculated and expressed as a 

percentage of the total estimated cost. (For example, if the estimated cost 

totals $500,000 and a profit margin of 10 percent is deemed appropriate, 

the profit will be $50,000.). In very general terms, 7 percent should be 

the upper limit for routine efforts under a cost-reimbursement contract, 

and 12 percent should mark the upper limit for routine efforts under a 

fixed-price contract. In addition, 1 percent can be added for moderately 

complex work—and 2 percent for highly complex (state-of-the-art) 

work or work that will involve significant cost or performance risk for 

the contractor. These are by no means absolutes; other percentages 

might be more realistic, but should be based on risk, market factors, and 

unique factors that might affect the contingency operation or location. 

In all cases, estimates of profit or fee must be documented. 

Escalation Considerations for the IGCE

The impact of inflation should be considered when developing an 

IGCE for a contract with option years. After calculating the estimated 

costs for the base year, the costs for option years can be estimated 

by applying appropriate escalation factors. As appropriate, different 

escalation factors may be applied to different cost elements, depending 

on the labor-material mix. The following methods may be used. 

• The Consumer Price Index (CPI) provides data and the percentage 

change in inflation and escalation factors. CPI information is 

available at http://www.bls.gov/cpi/. When projecting inflation, 

major cost factors for the specific requirement should be reviewed. 

Inflation rates for explicit supplies depend on the circumstances 

specific to the acquisition. In addition, geographic locations for 

work performance must be considered. Based on a long-term view 

of changes in the CPI, an average escalation factor of 2 percent to 

4 percent is generally considered reasonable. 

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• Market trends should be considered when projecting escalation 

rates for option years and should be justified in a short narrative. A 

market survey will provide information on current market prices 

and the potential volatility of prices in the marketplace. In addition, 

a review of previous Department of the Treasury interest rates might 

be useful. 

• DCAA and DCMA tend to use IHS Global Insights as the source 

for escalation factors.49 A subscription is required; however, the 

information is readily available to DCMA personnel through the 

DCMA Portal. 

Price Estimates

A commercial item IGCE (i.e., an IGCE for commercial supplies or 

services) is considered a price estimate and is much less complicated 

than the IGCE discussed previously. Estimating a commercial item 

IGCE is a matter of determining the market value of the supplies or 

services, using that figure as the IGCE, documenting the research, 

and furnishing this information and the funded requisition to the 

contracting officer. 

Although IGCE documentation is part of the Government 

procurement cycle, statutes and regulations do not offer detailed 

guidance on preparing IGCEs. The following general guidelines apply 

to most situations. 

• Know the requirement. The first and perhaps most crucial step is 

to ensure that the cost estimate is based on the Government’s actual 

needs. Review the SOO, SOW, or PWS or the specifications, and 

make sure that the contract requirements are accurately identified, 

the work (tasks) are clearly defined and then logically divided or 

aggregated, and all required supplies and services to be delivered 

49 These factors are available at http://www.ihs.com/products/global-insight/index.aspx. 

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are included. Then estimate the labor categories and required level 

of effort, and add equipment, materials, and ODCs. Apply cost 

inflation factors if the contract covers multiple years. 

• Use historical cost information. Like budgeting, cost estimation 

uses existing (past) information as a basis for projecting future costs. 

The same or similar work might have been done under previous 

contracts. It can be very useful to obtain the cost information 

submitted and negotiated during the award of any previous contracts. 

Consult the contracting officer to obtain this information and 

technical assistance in analyzing it. 

• Know the marketplace. Costs and prices are often specific 

to geographic areas. There can be industry standard rates for 

competitive businesses for certain costs. Rates of profit also can vary 

by locality (especially for construction and commercial services). In 

addition, costs for the same type of work can vary significantly from 

place to place and over time. It is crucial, therefore, for the estimator 

to know the market. 

• Consult contracting personnel. The contract specialist and 

contracting officer have considerable expertise in evaluating 

contract costs. The contracting office also might have historical cost 

data. Consult them, particularly when estimating overhead, fringe 

benefits, G&A, and profit or fee. 

• Estimate one piece at a time. If preparing a detailed IGCE, do not 

try to estimate the cost of the contract as a whole. Address each task 

(or other division of the required work) one at a time, and estimate 

the types of costs involved for each. 

Other Guidance

When buying a commercial item with stable specifications, the 

estimator should research past price history and then adjust for changes 

in specifications, quantities, and inflation factors. For items that do 

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not have a detailed pricing history, a detailed analysis of individual 

cost elements is necessary. The IGCE should include a brief narrative 

describing how the costs were developed and the reference materials 

that were used. 

The following methods can be used to determine market value: 

• GSA Schedules. GSA schedules are prepriced and are awarded to 

multiple firms for specific supplies and services. GSA schedules are 

detailed at http://www.gsaadvantage.gov/. 

• Published price lists. Individual companies publish these price 

lists for use by the general public. 

• Catalogs. Many manufacturers publish catalogs describing their 

offerings and associated prices. The catalogs might be available to 

customers in hard copy, on a website, or in some other format. 

• Market surveys. A market survey is a comparison of local 

advertised prices for an item. A market survey is normally performed 

in conjunction with the contracting officer. 

• Previous buys. Previous purchases of the same item can be used 

as the basis for an estimate, assuming comparability in quantities, 

conditions, terms, and performance times. Adjustments should be 

considered for inflation and quantity discounts if appropriate. 

Pricing should not be obtained by directly contacting vendors because 

disclosure of advance procurement information is considered sensitive 

and because the vendor might view the contact as a commitment by the 

Government. Only purchase card holders acting within their spending 

limits—and contracting officers or their representatives—may commit 

the Government. Any other person may be held personally liable and 

may be subject to disciplinary action. 

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Performance Work Statements 

A PWS describes the required results in clear, specific, and objective 

terms with measurable outcomes. Typically, a PWS covers the 

following topics: 

• Introduction 

• Background information 

• Scope 

• Applicable documents 

• Performance requirements 

• Special requirements or constraints (such as security).

Best practices and lessons learned that should be considered in 

developing a PWS include the following:

• The requirement should not be so specific that all offerors propose 

the same solution, eliminating creativity and innovation.

• A performance-based acquisition requires that the integrated 

solutions team abandon some traditional approaches to buying 

services.50

The Automated Requirements Roadmap Tool (ARRT), described in 

Chapter 9, can be used to create a PWS.

Avoid specifying labor categories, educational requirements, or 

number of required support hours because they are how-to approaches. 

Instead, let contractors propose the best people with the best skill sets 

to meet the need and fit the solution. The Government can then evaluate 

the proposal based both on the quality of the solution and the experience 

of proposed personnel. 

Specifying staffing requirements places limits on the ability of 

offerors to propose their best solutions and could preclude the use of 

qualified contractor personnel who might be well suited to perform 

50 Appendix A includes a checklist for contract surveillance.

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the requirement, but might lack a specific qualification (e.g., a college 

degree or the exact years of specified experience). For some services, 

in fact, such practices are prohibited. Section 813 of the National 

Defense Authorization Act, Fiscal Year 2001, now implemented in the 

FAR, states that solicitations for information technology services may 

not describe any minimum experience or educational requirements for 

proposed contractor personnel unless the contracting officer determines 

that the agency either (1) cannot meet its needs without that requirement 

or (2) requires the use of a contract vehicle than a performance-based 

contract. 

Planning for the Evaluation of Proposals 

The SOO, SOW, or PWS—along with Section L (Instructions, 

Conditions, and Notices to Offerors or Respondents) and Section 

M (Evaluation Factors for Award) of the solicitation—establish the 

principal ground rules for acquisitions. The SOO, SOW, or PWS is the 

part of the contract that describes the work to be done through the use of 

specifications, minimum requirements, quantities, performance dates, 

time and place of performance, and quality. It identifies the supplies or 

services that the U.S. Government is requesting. The PWS is a SOW 

for performance-based acquisitions that describes the required results 

in clear, specific, and objective terms, including measurable outcomes. 

Evaluation factors generally fall into the following four groups:

• Technical/management 

• Cost or price 

• Past performance 

• Other (socioeconomic programs).

However, proposal-specific evaluation factors are identified in 

Section M of the solicitation.

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Types of Source Selections51

In different types of acquisitions, the relative importance of cost or 

price can vary. For example, in acquisitions with a clearly definable 

requirement and a minimal risk of unsuccessful contract performance, 

cost or price can play a dominant role in source selection. 

However, if the requirement is less definitive, involves more 

development work, or entails greater performance risk, technical or past 

performance considerations can play a more dominant role in source 

selection than cost or price. 

Under either approach, the COR, because of technical knowledge 

and background, may become part of the team of technical personnel 

assembled to evaluate contractor proposals. During this process, the 

contracting officer and the technical evaluation team lead will provide 

the COR with detailed instructions concerning role and responsibilities. 

The contracting officer is responsible for preparing the solicitation,

with assistance from other experts. However, the contracting officer 

obtains much of the information directly from supporting documentation

and the COR. 

The U.S. Government uses RFPs in negotiated acquisitions to 

communicate Government requirements to prospective contractors 

and to solicit proposals. The RFP must describe the Government’s 

requirement, anticipated terms and conditions of the contract, and 

factors used to evaluate proposals.

51 Additional details on the DoD Source Selection Guide are included in FAR Subpart 15.3 and 

OUSD (AT&L/DPAP) Memorandum, “Department of Defense Source Selection Procedures,” 

March 4, 2011, available at http://www.acq.osd.mil/dpap/policy/policyvault/USA007183-10-

DPAP.pdf.

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Competition

For all planned acquisitions above the SAT, the FAR requires the 

contracting officer to consider both price and nonprice factors (in 

particular, past performance and quality) when evaluating proposals. 

The relative importance of those factors is up to the contracting officer 

or other source selection authority. 

Federal statutes and the FAR establish the policy for describing 

agency needs and stipulate that requirements should be written in a 

way that promotes full and open competition under the Competition in 

Contracting Act (CICA). FAR Subpart 6.3, “Other Than Full and Open 

Competition,” explains when it is appropriate to contract for supplies or 

services without providing for full and open competition. Contracting 

without competition cannot be based on lack of advance planning or 

concerns related to the funds available for the acquisition. Statutory 

authorities permit contracting without full and open competition when 

one of the following criteria in FAR Subpart 6.302, “Circumstances 

Permitting Other Than Full and Open Competition,” can be justified:

• FAR Subpart 6.302-1: only one or limited number of responsible 

sources that can provide the supplies or services needed to satisfy 

requirements

• FAR Subpart 6.302-2: unusual and compelling urgency

• FAR Subpart 6.302-3: industrial mobilization, engineering, or 

research capability, expert services

• FAR Subpart 6.302-4: international agreement

• FAR Subpart 6.302-5: authorized or required by statute

• FAR Subpart 6.302-6: national security

• FAR Subpart 6.302-7: public interest.

Restrictive provisions and conditions severely constrain competition, 

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and they are limited to the extent necessary to satisfy Government 

needs. When restrictive provisions are used, they must be justified in 

writing. 

Amendments to the Solicitation

It might be necessary to amend the solicitation after release and 

before contract award. Such circumstances could occur for a variety 

of reasons (e.g., changes in the specifications, terms, or conditions or 

in quantities required). However, amendments to solicitations increase 

administrative effort and cost and thus might delay contract award and 

performance. 

Do’s and Don’ts for the Pre-Award and Solicitation Phase are 

outlined in Table D.1.

Table D.1. Do’s and Don’ts for Pre-Award and Solicitation Phase

Pre-Award and Solicitation Phase

Do Don’t

Use market research. Look for 

commercial solutions. 

Write vague specifications, 

assuming that the contractor will do 

whatever is necessary to satisfy the 

Government. 

Promote full and open competition. Write design specifications that 

detail what materials should be 

use and how the work should be 

performed. 

Think about contract administration

requirements while writing the SOO, 

SOW, or PWS or the specifications. 

Ask for progress reports, test 

samples, or other items from 

the contractor unless the items 

are needed for the program or 

for efficient administration and 

monitoring. 

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Pre-Award and Solicitation Phase

Do Don’t

Use performance-based or 

functional (rather than design) 

specifications to describe an 

objective or standard to be 

achieved, allowing the contractor to 

exercise ingenuity in achieving that 

objective or standard, select the 

means, and assume corresponding 

responsibility. 

Limit use of restrictive provisions to 

satisfy agency needs. Limit use of 

specifications and instead focus on 

function, performance, and physical 

characteristics. 

In the SOO, SOW, or PWS or the 

specifications, separate discussion 

of administrative and progress 

reporting requirements from 

discussion of required procedures 

and deliverables. 

Evaluation and Award 

Receipt and Management of Proposals 

Offerors must submit their proposals, proposal revisions, and 

modifications to the Government office designated in the solicitation by 

the time specified in the solicitation. Offerors may use any transmission 

method authorized by the solicitation (e.g., electronic, regular mail, or 

fax submissions). After receipt, proposals must be safeguarded from 

unauthorized disclosure throughout the source selection process. 

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After the closing date, the contracting officer will forward the 

technical proposals to the technical evaluation team lead for analysis. 

The contracting officer will retain the business/cost proposals until the 

technical evaluation is completed.

Evaluation of Proposals52

Note: The source selection team must not reveal any 

information related to the identity or number of offerors, any 

specific proposal, or the status of a proposal in relation to others. 

The release of such information could jeopardize the resultant 

award and could subject the individuals involved to disciplinary 

action and to civil and (in some cases criminal penalties. 52

The Source Selection Board will review and evaluate all proposals 

submitted in response to an applicable solicitation, using the evaluation 

factors in Section M of the solicitation. The technical evaluation 

team is responsible for evaluating the technical proposals; rating 

them in order of merit; making recommendations to the contracting 

officer regarding clarifications needed and deficiencies identified; 

reviewing supplemental and revised offers; and, if required, helping the 

contracting officer during negotiations. The same evaluators should 

be available throughout the entire evaluation and selection process to 

ensure continuity and consistency in the treatment of proposals. 

Technical Evaluation Reports

When the contracting officer forwards the technical proposals to 

the technical evaluation team for analysis, they are accompanied by 

specific guidance for conducting the evaluation and preparing the 

52 FAR Subpart 15.3 and the DoD Source Selection Procedures note the individuals who are on the 

source selection team.

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technical evaluation report. The team lead prepares and signs the 

report and submits it to the contracting officer, who maintains it as a 

permanent record in the contract file. The report should include the 

proposal ratings and should identify each proposal in accordance with 

the evaluation plan and criteria in Section M of the solicitation.

The technical evaluation report must include a narrative evaluation 

that specifies the strengths and weaknesses of each proposal as well as 

any uncertainties, reservations, qualifications, or areas to be addressed 

that might affect the selection of a source for award. The report should 

include specific issues and questions for subsequent discussions with 

the offerors. If the technical evaluation team determines that a proposal 

is technically unacceptable, the report is sent to the contracting officer 

for a final determination. 

Support for the Review of Business and Cost Proposals 

The contracting officer is responsible for evaluating factors 

related to cost and price analysis and for determining the contractor’s 

responsibility (e.g., adequacy of resources, ability to comply with 

delivery or performance schedule, and satisfactory record of 

performance). The contracting officer might need the COR’s assistance 

to effectively accomplish this evaluation. 

Communications with Offerors 

In the interval between the release of the solicitation and contract 

award, all contact with offerors relating to the particular acquisition 

must be coordinated through the contracting officer. 

The COR may be asked to assist the contracting officer when 

clarifications (limited exchanges) between the Government and the 

offerors are needed, contracts are awarded without discussions, or 

communications are needed to establish the competitive range. 

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Determination of the Competitive Range

After considering the ratings of each proposal against all evaluation 

criteria, the contracting officer may establish a competitive range 

consisting of the most highly rated proposals. As long as the solicitation

notifies offerors that the competitive range can be limited to enhance 

efficiency, the contracting officer may limit the number of proposals in 

the competitive range to permit an efficient competition among the most 

highly rated proposals. The COR may be asked to help the contracting 

officer debrief offerors that are excluded or otherwise eliminated from 

the competitive range. 

Communications after Establishing the Competitive Range

In either a competitive or sole-source environment, negotiations

are exchanges between the Government and offeror that are held 

with the specific intent of allowing the offeror to revise its proposal. 

Negotiations in a competitive acquisition occur after the competitive 

range is established. Such negotiation may include bargaining, 

alteration of assumptions and positions, and give-and-take discussions 

that focus on price, schedule, technical requirements, type of contract, 

or other terms of a proposed contract. Discussions are conducted after 

the release of evaluation notices that identify the type of exchange to be 

conducted.

The contracting officer tailors discussions to each offeror’s proposal. 

The contracting officer must conduct discussions with each contractor 

within the competitive range. The primary objective of such discussions 

is to maximize the Government’s ability to obtain best value based on 

the requirements and evaluation factors identified in the solicitation. 

During discussions with each offeror, the contracting officer should 

discuss proposal deficiencies, significant weaknesses, and adverse past 

performance information that the offeror has not yet had an opportunity 

to correct. This information may include other aspects of the offeror’s 

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proposal that could be altered or explained to materially enhance the 

potential for contract award. However, this option does not mean that 

the contracting officer is required to discuss every area of potential 

improvement in the proposal. 

The scope and extent of discussions are at the discretion of the 

contracting officer. The COR may be asked to participate in discussions 

with offerors whose proposals fall in the competitive range. 

Selection of the Right Contractor 

Note: Under no circumstances may anyone in the Government 

discuss one offeror’s proposal with another offeror. 

Note: Debriefings must not include point-by-point comparisons 

of offeror proposals, and debriefings may not divulge any other 

prohibited information about other offerors.

After receipt of revised proposals or other responses to questions 

raised during discussions, the technical evaluation team will reevaluate 

proposals in the competitive range. The results of these evaluations 

will be documented in writing and will be submitted to the contracting 

officer. 

The contracting officer will review the latest set of evaluations. On 

the basis of a comparative assessment of proposals against all source 

selection criteria in the solicitation, the contracting officer will then 

rate the proposals. Although the contracting officer may use reports 

and analyses prepared by others, the decision of the source selection 

authority represents an independent judgment. Documentation of the 

source selection authority decision includes the rationale for business 

judgments and tradeoffs that the contracting officer made or relied on, 

including benefits associated with additional costs.

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Debriefing of Offerors

Contracting officers may debrief successful and unsuccessful 

offerors orally, in writing, or by any other method. The contracting 

officer normally chairs the debriefing session. Members of the 

evaluation teams provide support at the debriefing. 

At a minimum, the following information must be included in the 

debriefing: 

• Significant weaknesses or deficiencies in the offeror’s proposal, if 

applicable

• Overall evaluated cost or price (including unit prices) and technical 

rating (if applicable) of the selected contractor and the unsuccessful 

offeror

• Past performance information of the unsuccessful offeror 

• Overall ranking of all offerors if any ranking was developed by the 

agency during the source selection

• Summary of the rationale for the contract award

• For acquisitions of commercial items, the make and model of the 

item to be delivered by the winning offeror

• Reasonable responses to relevant questions about whether source 

selection procedures in the solicitation, applicable regulations, and 

other applicable authorities were followed. 

Handling of Protests

Any interested party may file a protest against the Government 

concerning a contracting action. Interested parties can file such protests 

directly with the contracting agency or with the GAO. Interested parties 

must file protests by the later of the following dates: 

• 10 days after contract award

• 5 days after a debriefing

• 10 calendar days after the basis of the protest is known (or should 

have been known). 

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An agency is required to make its best efforts to resolve protests 

within 35 days after the protest filing date; the GAO has 100 days to 

resolve the protest. For a protest filed with the GAO, either party can 

request a 65-day express option. 

After contract award, if an interested party files a protest with the 

GAO, the contracting officer must suspend work on the contract unless 

the head of the contracting activity decides that doing so would not be 

in the best interests of the Government.

If an interested party files a protest with an agency within 10 days 

after contract award, the contracting officer must suspend work on the 

contract unless continued performance is justified, in writing, to be in 

the best interests of the Government. An official one level above the 

contracting officer must approve such justification or determination.53

Note: The Government does not accept late protest submissions.

Handling of Freedom of Information Act Requests 

The Freedom of Information Act (FOIA) specifies how Federal 

Government agencies will make their records available for public 

review (upon request), sets time standards for compliance actions, 

and details those records that are exempt from public disclosure. A 

Government contract is a public document. The reports that a contractor 

must submit in compliance with the terms and conditions of a services 

contract likewise are public documents, with certain exceptions, such 

as the following: 

• Classified information

• Source selection information

53 FAR Subpart 33.1 includes additional information on protests.

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• Trade secrets and confidential commercial or financial information 

(sometimes referred to as proprietary information)

• Interagency or intra-agency memoranda or correspondence

• Personal and medical information pertaining to a specific person. 

If a contractor asks for information under the provisions of FOIA, 

immediately refer the contractor to the contracting officer or the agency 

FOIA monitor. The FOIA monitor will establish a suspense period, not 

to exceed 20 calendar days, for each request. Remember that it is not

the COR’s job to decide whether information can be released. 

Do’s and Don’ts for the Evaluation and Award Phase are provided 

in Table D.2. 

Table D.2. Do’s and Don’ts for the Evaluation and Award Phase

Evaluation and Award Phase

Do Don’t

Carefully review the contract, 

especially the technical 

requirements. 

Divulge budget information to 

prospective contractors. 

Develop (or obtain from the 

contractor) a detailed schedule of 

performance. 

Assume without reading that the 

SOO, SOW, or PWS is complete, 

clear, and fully understandable. 

Work with the contracting officer 

and the contractor to clear up any 

misunderstandings and to establish 

organized contract administration

and monitoring procedures. 

Allow planning to become an end in 

itself. Remember that the goal is to 

get results, not just produce charts 

showing the plan. 

Forget to update plans and 

schedules as the situation changes. 

Overlook or ignore contract 

requirements for GFP, timely reviews 

and approvals, and technical 

assistance and direction. 

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280 Appendix D

Notes
Contents

Cultural Awareness

International Relationships

Business Culture

Language and Conversations

Additional Guidance

Cultural Awareness

A Defense Science Board report, Understanding Human 

Dynamics, explains how cultural awareness is increasingly 

important in contingency situations:

By its very nature, an individual’s culture is largely unconscious, 

stemming from a collection of beliefs and behaviors the individual often 

takes for granted without constant assessment. However, understanding 

what defines one’s own culture can help one to understand foreign 

cultures and vice versa. For example, a member of the US [United 

States] military may assume that others share his or her beliefs about 

equality or democracy, that a lack of punctuality is a sign of disrespect 

or laziness, and that his or her good intentions as an American soldier, 

sailor, airman, or marine are self-evident. Often these are good 

assumptions [but] at other times, they are dangerously inappropriate.54

CORs who work with local nationals or third-country nationals

should be aware of the total spectrum of communication, including 

language, nonverbal communications, customs, perceived values, 

and concepts of time and space. A failure to understand all of the 

ways that the local population communicates can lead to serious 

misinterpretations and possibly the failure of the contract.

54 Defense Science Board, Understanding Human Dynamics, March 2009, available at http://www.

acq.osd.mil/dsb/reports/ADA495025.pdf.

Appendix E

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282

In some non-Western cultures, contractors confronted by criticism 

might react by interpreting the facts to suit themselves or flatly denying 

the facts. This reaction can cause problems for a COR. Therefore, 

CORs should take a very indirect approach to any corrective action. 

For example, when answering questions that require a Yes or No answer 

(e.g., Do you understand?), the contractor, who might be preoccupied 

with appearances and politeness, could automatically answer Yes, 

regardless of whether that answer is valid.

The polite way for many non-Westerners to say No is to say, “I’ll see 

what I can do,” no matter how impossible the task might be. Another 

common phrase is “in sha’ Allah,” which means “if it is God’s will” (a 

more realistic translation: it is not going to happen). Remember that 

Yes does not always mean Yes. After every meeting with a contractor, 

the COR should prepare meeting minutes and ask the contractor to 

review them and accept or reject the minutes.

International Relationships

CORs need to consider cultural differences when monitoring 

contracts performed overseas. CORs who work with non-U.S. 

contractors must be aware of the total range of relevant communication 

factors, including language, nonverbal communications, customs, and 

perceived values. The following examples illustrate cultural differences 

that can affect contract performance: 

• U.S. citizens value equality and believe that they can be successful if 

they work hard. In the Middle East, family status is more important 

to success. For example, to become a police officer in Saudi Arabia, 

a person must be related to the King, even if remotely (e.g., a third 

cousin).

• U.S. citizens value competition, but in many parts of the world, 

cooperation is more important. This cultural difference can lead to 

Appendix E

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283 Defense Contingency COR Handbook

collusion among contractors submitting proposals for contracts. In 

addition, nepotism (i.e., multiple family members who are involved 

in one or more business units) is very common in some parts of 

the world. For example, contractors might collude to decide which 

one of them will get the next contract, especially if some of the 

competing offerors are extended family members who run multiple 

business units.

• U.S. citizens value individuality. In places like the Middle East, the 

group or tribe is more important than each individual and could be 

key to individual success.

• In Mediterranean, South American, and Asian cultures, extended 

family is very important.

• In many countries, age is more important than youth. Tribal people in 

the Middle East value elders because of their knowledge of the tribe; 

given a choice, they would rather a child die than an elder because a 

child can be more easily replaced than an elder’s knowledge.

To work effectively with people from other cultures, the COR should 

keep the following tips in mind:

• Be careful when using first names. In some cultures, first names 

can mean a lifelong relationship. Therefore, use only last names and 

honorifics appropriate to the specific culture (e.g., Mr. or Ms. in our 

culture) unless the relationship is sincerely close. Using first names 

too freely can hurt the COR’s reputation and possibly the business 

relationship.

• Foreign cultures handle criticism differently. Constructive criticism 

is often viewed as a personal attack. Learn the local way of handling 

criticism and making a point properly. Be careful when providing 

needed constructive criticism or making a negative point. Always 

try to make the case without too much direct criticism unless you 

have a lot of back-up documentation.

Appendix E

Cultural Awareness
284

• Learn key phrases in the local language (e.g., hello, goodbye, please, 

and thank you). People from other countries often can speak more 

than one language, but U.S. citizens more frequently know only 

English. Most foreigners go more than half way by learning English 

and will greatly appreciate a COR who tries to meet them part way.

• Avoid discussing religion and politics, asking highly personal 

questions, and making ethnic jokes.

• Find different ways of saying No without actually saying the word. 

For example, the COR could say “I’ll see what I can do.” U.S. 

citizens appreciate an honest answer, but in many cultures, an 

evasive answer is the norm. People from such cultures do not want 

to disappoint others. Moreover, in some cultures, No is interpreted 

as an expression of personal dislike.

• Learn and be sensitive to ethnic and national sensitivities. For 

example, do not refer to people from Okinawa as Japanese, and do 

not refer to the Arabian Gulf as the Persian Gulf when speaking 

to a Saudi. In other cases, not knowing or not distinguishing the 

difference between nationalities can cause hard feelings. Much like 

Canadians would resent being grouped with U.S. citizens (and vice 

versa), the Scottish and Irish often do not like being referred to as 

English, and other cultures have a wealth of similar sensitivities.

• Ethical and legal dilemmas are always prevalent. For example, 

many foreign cultures do not have either a legal or ethical limit on 

providing gifts, food, money, or other items or services of value to 

people in positions of influence or power. Be very careful not to 

cross the legal boundary and violate any U.S. law. It is the COR’s 

responsibility to find the most appropriate tone and phrase for saying 

No when necessary.

Working in another culture can be an exciting experience. CORs 

can make friends for life and have experiences they never thought 

Appendix E

Cultural Awareness
285 Defense Contingency COR Handbook

possible. However, CORs must be careful when dealing with foreign 

contractors. There is a thin line between working within the foreign 

culture and violating U.S. laws. Even the best intentions can lead to jail 

time. CORs must understand their limitations. Even if a certain action 

is legal, that determination does not necessarily imply that the action 

should be taken. The COR should always consult with the legal office

about such concerns.

Business Culture

CORs routinely meet with contractors. When scheduling meetings 

with non-U.S. contractors, remember that such contractors might 

customarily begin meetings with small talk and even a meal before 

turning to business. The COR should discuss this issue—particularly 

the need to accept meals—with the relevant managers, legal office, and 

contracting officer.

Foreign or host-nation contractors might view time differently than 

U.S. citizens. U.S. citizens place a great emphasis on timeliness. A 

COR might find that a contractor’s approach to time is much slower and 

more relaxed than the view of a comparable contractor in U.S. culture. 

This cultural difference can frustrate a COR to the point of being 

counterproductive. To be most effective, the COR must understand 

pertinent cultural differences and work within the local system rather 

than enforcing U.S. ideas of urgency.

U.S. citizens love their personal space, but in many regions (e.g., the 

Middle East), personal space is very small. In such countries, moving 

away from a person gives the impression that you do not like that 

person (and might well be considered rude). Touching can be more or 

less prevalent in different cultures. For example, in the Middle East, a 

handshake commonly is soft and entails holding hands for a long time 

(30 seconds to a minute), compared to the normally firm and brief U.S. 

handshake. Such a handshake can be awkward if you are not used to it.

Appendix E

Cultural Awareness
286

Living patterns in some countries are very different. For example, in 

Saudi Arabia, transactions are slower from June to September because 

of vacations. In Europe, many people take the entire month of August 

as a vacation. In addition, CORs should be prepared for contractors to 

accomplish very little during Ramadan, a month-long Muslim holiday.

Some contractors expect kickbacks, finder’s fees, exchanges of gifts, 

or other gratuities that are illegal for U.S. personnel to provide or accept. 

CORs must be vigilant to ensure that they do not violate standards of 

conduct. Typically, corruption is a COR’s number one threat.

Note: CORs should use their understanding of the local cultures 

to achieve successful outcomes. Understanding, planning, and 

patience are essential when working with non-U.S. contractors. 

When communicating, CORs should use clear and concise 

language and should avoid jargon and acronyms. Above all, 

CORs should cultivate and maintain a professional working 

relationship. CORs should take cultural factors into account, 

but should discern between cultural differences and excuses.

Language and Conversations

CORs might require interpreters to communicate effectively. 

English phrases should be used with care—and the local language 

should be spoken with caution—to avoid misinterpretation (e.g., a COR 

might ask for a truckload of gravel and instead receive a truckload 

of chickens). In addition, CORs must remember to use appropriate 

measures and equivalents in their requirements because most CORs are 

probably in countries that use the metric system. Do not expect local 

nationals to understand the common U.S. reference to a 2” x 4” board 

Appendix E

Cultural Awareness
287 Defense Contingency COR Handbook

when they think in metrics. (Appendix J contains metric conversions.) 

When using an interpreter, consider the following guidelines:

• Assess risk, and ensure personnel safety.

• Speak in the first person, and enunciate clearly.

• Use clear, straightforward sentences (but try to avoid simplistic “Me 

Tarzan, you Jane” sentences).

• Carry a notepad, and take notes as needed.

• Ask questions when not sure of a term, phrase, concept, or 

abbreviation.

• Do not engage in side conversations or become an advocate or 

mediator in the dialogue.

• Be constantly attuned to the comprehension level of your audience. 

Slow down, repeat, or elaborate as needed. Test the understanding 

of both the audience and the interpreter.

• Be sensitive to cultural differences, and be careful not to be (or 

appear to be) condescending.

• Use visual aids—a picture is worth a thousand words.

• Take steps to help the interpreter do the best possible job.

• Try to spend a little time with the interpreter before the event begins. 

The speaker and interpreter should not work together cold.

• Use visual aids—rehearse and translate with the interpreter in 

advance.

• Remain in close proximity when you are speaking. Ideally, the 

interpreter should be functionally invisible.

• Give the interpreter time to translate what you (or another person) 

says.

• Do not distract the interpreter by passing notes, whispering, or 

participating in side conversations.

• If the COR’s interpreter does not look good, the COR does not 

look good. Although it is the interpreter’s responsibility to do an 

Appendix E

Cultural Awareness
288

excellent job, the COR should try to support the interpreter in that 

effort (but only in a culturally appropriate way).

Additional Guidance

The following additional sources of guidance on cultural awareness

might be useful to CORs:

• The U.S. Marine Corps Center for Advanced Operational Culture 

Learning (CAOCL) provides information about regional cultures 

and languages to support planning and operations in a joint 

expeditionary environment. The CAOCL website (http://www.

tecom.usmc.mil/caocl/) provides specific cultural links related to 

Operation Iraqi Freedom, Operation Enduring Freedom, United 

States Africa Command, United States Pacific Command, United 

States Southern Command, and United States Central Command.

• The Defense Language Institute Foreign Language Center offers 

culturally based education (including predeployment materials) in 

more than 40 languages. The center’s website offers downloadable 

products for predeployment training, deployment use, or refresher 

training at http://www.dliflc.edu/products.html.

• The Air Force Air University website offers sociocultural and 

language resources at http://www.au.af.mil/culture/index.

htm, including the Air Force Culture and Language Center’s 

Expeditionary Skills Training Portal (http://www.culture.af.mil/

culture_training.aspx) for personnel preparing to deploy.

Appendix E

Cultural Awareness
Contents

DoD Standard for Certification of CORs for Service Acquisitions 

COR Responsibilities

COR Nomination 

COR Appointment or Designation 

COR Performance Appraisals 

COR Termination 

COR Training 

Alternate CORs 

Delegated Authority

Appendix F

COR Qualifications and Training
290

DoD Standard for Certification of CORs

for Services Acquisitions 

The USD (AT&L) memorandum of March 29, 2010, established the 

“DoD Standard for COR for Services Acquisitions.” The COR 

Standard defines minimum COR competencies, experience, and 

training based on the nature and complexity of the requirement and 

contract performance risk. The COR Standard identifies the following 

three types of requirements. 

• Type A: fixed-price requirements without incentives, low 

performance risk

• Type B: fixed-price requirements without incentives, other than low 

performance risk

• Type C: unique requirements that necessitate a professional 

license, higher education, or specialized training beyond the Type 

B requirements. 

Tables F.1, F.2, and F.3 address the training and experience 

necessary for each type of requirement. The COR Standard introduces 

structure and rigor to COR responsibilities and performance and will 

be the basis for a DoD instruction establishing a comprehensive COR 

certification program that addresses roles and responsibilities of the 

COR, COR supervisor, and contracting officer.

Appendix F

COR Qualifications and Training
291 Defense Contingency COR Handbook

Nature of Type A

Work/Requirement

Required 

Competency

Topics

Required

Competencies

Expirience/

Training

Requirements

Fixed-price 

requirements without 

incentives, low 

performance risk. 

Attributes of such 

requirements might 

include: lack of technical 

or administrative 

complexity, no 

identifiable risk factors; 

limited requirement for 

technical expertise; 

low likelihood of 

modification; effort is a 

follow-on to an existing 

contract.

COR duties/

responsibilities are 

generally limited to 

minimal technical 

and/or administrative 

monitoring of the 

contract.

General:

• Attention to Detail 

Decision Making 

Flexibility

• Oral and Written

• Communication

• Problem Solving/

Reasoning Selfmanagement/Initiative 

Teamwork

Technical:

• Business Ethics

• Effective Communication 

of Contract Requirements 

Effective Contract 

Performance 

Management

• Effective COR 

Performance

Upon completion of mandatory 

training, COR should be able to 

perform at least the following 

competencies in a manner 

consistent with the nature of 

Type A work/requirements:

• Assist in acquisition planning.

• Assist in contract award 

process.

• Establish/maintain COR 

file with all required 

documentation.

• Identify/prevent unethical 

conduct and instances of 

fraud/waste/abuse.

• Perform technical/

administrative monitoring 

and reporting duties in 

accordance with letter of 

delegation and surveillance 

plan.

• Recommend/monitor 

proposed changes.

• Monitor contract 

expenditures/payments

• Monitor contract schedule 

compliance.

• Perform liaison duties 

between the Contracting 

Officer, the Requiring 

Activity, and the contractor 

for management of the 

contract.

• Inspect, accept or reject 

deliverables during

• contract performance and 

at close-out in conformance 

with contract terms and 

conditions.

• Monitor the control/

disposition of Government 

furnished assets.

• Perform surveillance in a 

contingency environment, 

when applicable.

Experience:

• Agency experience: 

minimum of 6 months (may 

be waived)

• Relevant technical 

experience: As determined 

by the nominating supervisor 

for the Contracting 

Officer’s consideration and 

appointment

• General competencies: As 

determined by the nominating 

supervisor for the Contracting 

Officer’s consideration and 

appointment.

Training:

• DAU CLC 106, Contracting 

Officer’s Representative 

(Basic)

• DAU COR XXX (to be 

determined), COR in the 

Contingency Environment, 

when applicable (competency 

12)

• Minimum of 1 hour acquisition 

ethics training (e.g., CLM 003 

or agency provided training) 

annually.

• Additional training mandated 

by the contracting activity 

(e.g., WAFW).

Refresher Training:

• Minimum of 8 hours COR 

specific training:

• Every 3 years, OR

• Prior to assuming COR 

responsibilities if the 

individual has not served as 

a COR within the previous 

24 months.

• Minimum of 1 hour acquisition 

ethics training (e.g., CLM 003 

or agency provided training) 

annually.

• Any additional training 

mandated by the Activity.

Table F.1. Type A Experience and Training Requirements 

Appendix F

COR Qualifications and Training
292

Nature of Type B

Work/Requirement

Required 

Competency

Topics

Required

Competencies

Expirience/

Training

Requirements

Fixed-price 

requirements without 

incentives, other than 

low performance 

risk. Attributes of 

such requirements 

might include: the 

nature of the work is 

more complex; effort 

will be performed in 

multiple regions/remote 

geographic locations, 

contract contains 

incentive arrangements 

or cost sharing 

provisions, contract is 

cost-type of T&M/LH 

type, or FP LOE.

COR duties/

responsibilities are of 

increased complexity.

General:

• Attention to Detail

• Decision Making

• Flexibility

• Influencing/Persuasive 

interpersonal skills

• Oral and Written

• Communication

• Planning and Evaluating

• Problem Solving

• Reasoning

• Self-management/

Initiative

• Teamwork

Technical:

• Business Ethics

• Defining Government

requirements

• Understanding and 

knowledge of contract 

type

• Effective analytic skills

• Effective Communication 

of Contract Requirements

• Effective Contract 

Performance

Management

• Effective COR 

Performance Project 

Management

• Strategic Planning

• Understanding the 

Marketplace

Upon completion of mandatory 

training, COR should be able to 

perform at least the following 

competencies in a manner 

consistent with the nature of 

Type B work/requirements:

• Assist in acquisition planning.

• Assist in contract award 

process.

• Establish/maintain COR 

file with all required 

documentation.

• Identify/prevent unethical 

conduct and instances of 

fraud/waste/abuse.

• Review technical submittals/

ensure compliance with 

Statement of Work/Statement 

of Objectives (e.g., perform 

technical monitoring and 

reporting

• in accordance with a Quality 

Surveillance Plan)

• Perform administrative 

monitoring and reporting 

duties (e.g., handle security 

issues, attend meetings, etc.)

• Recommend/monitor 

proposed changes.

• Monitor contract 

expenditures/payments.

• Monitor contract schedule 

compliance.

• Perform liaison duties 

between the Contracting 

Officer and the contractor for 

management of the contract.

• Inspect, accept or reject 

deliverables during contract 

performance and at close-out 

in conformance with contract 

terms and conditions.

• Review and validate that 

contractor payment

• requests are commensurate 

with performance.

• Monitor control/disposition 

of Government furnished 

assets.

• Perform surveillance in a 

contingency environment, 

when applicable

Experience:

• Agency experience: minimum 

of 12 months (may be waived 

by the requiring activity. 

Waiver to be addressed in 

nomination package)

• Relevant technical 

experience: As determined 

by the nominating supervisor 

for the Contracting 

Officer’ consideration and 

appointment

• General competencies: As 

determined by the nominating 

supervisor for the Contracting 

Officer’s consideration an 

appointment.

Training:

• DAU COR 222 or ALMC-CL 

or equivalent course

• DAU COR XXX (to be 

determined), COR in a 

Contingency Environment, 

when applicable (competency 

14)

• Minimum of I hour acquisition 

ethics training (e.g., DAU 

CLM 003 or agency provided 

training) annually.

• Additional training mandated 

by the Contracting activity 

(e.g., WAWF).

Refresher Training:

• Minimum of 16 hours COR 

specific training:

» Every 3 years, OR

» Prior to assuming COR 

responsibilities if the 

individual ha not served as 

a COR within the previous 

24 months

• Minimum of I hour acquisition 

ethics training (e.g., DAU 

CLM 003 or agency provided 

training) annually

• Any additional training 

mandated by the Activity

Table F.2. Type B Experience and Training Requirements 

Appendix F

COR Qualifications and Training
293 Defense Contingency COR Handbook

Nature of Type C

Work/Requirement

Required 

Competency

Topics

Required

Competencies

Expirience/

Training

Requirements

Unique contract 

requirements that 

necessitate a 

professional license, 

higher education or 

specialized training 

beyond the Type B 

requirements.

Such requirements 

might include, for 

example, environmental

remediation; major 

weapons

systems; medical/

dental/veterinarian

services, etc.

COR duties/

responsibilities are of 

increased complexity.

General:

• Attention to Detail

• Decision Making

• Flexibility

• Influencing/Persuasive 

interpersonal skills

• Oral and Written

• Communication

• Planning and Evaluating

• Problem Solving

• Reasoning

• Self-management/

Initiative

• Teamwork

Technical:

• Business Ethics

• Defining Government 

requirements

• Understanding and 

knowledge of contract 

type

• Effective analytic skills

• Effective Communication 

of Contract Requirements

• Effective Contract 

Performance

• Management

• Effective COR 

Performance

• Project Management

• Strategic Planning

• Understanding the 

Marketplace

Upon completion of mandatory 

training, COR should be able to 

perform at least the following 

competencies in a manner 

consistent with the nature of 

Type C work/requirements:

• Assist in acquisition planning

• Assist in contract award 

process.

• Establish/maintain COR 

file with all required 

documentation.

• Identify/prevent unethical 

conduct and instances of 

fraud/waste/abuse.

• Review technical submittals/

ensure compliance with 

Statement of Work/Statement 

of Objectives (e.g., perform 

technical monitoring and 

reporting in accordance with 

a Quality Surveillance Plan)

• Perform administrative 

monitoring and reporting 

duties (e.g., handle security 

issues, attend meetings, etc.)

• Recommend/monitor 

proposed changes.

• Monitor contract expenditures.

• Monitor contract schedule 

compliance.

• Perform liaison duties 

between the Contracting 

Officer and the contractor for 

management of the contract

• Inspect, accept or reject 

deliverables during contract 

performance and at close-out 

in conformance with contract 

terms and conditions.

• Review and validate that 

contractor payment requests 

are commensurate with 

performance.

• Monitor control/disposition of 

Government furnished assets.

• Perform surveillance in a 

contingency environment 

when applicable.

• Other specific functions con 

1stent with the objectives 

of the Activity’s mandatory 

specialized/technical 

training.

Experience:

• Agency experience: minimum 

of 12 months (may be waived 

by the requiring activity. 

Waiver to be addressed in 

nomination package)

• Relevant technical experience: 

As determined by the 

nominating supervisor for 

the Contracting Officer’s 

consideration and 

appointment

• General competencies: As 

determined by the nominating 

supervisor for the Contracting 

Officer’s consideration and 

appointment.

Training:

• DAU COR 222 or ALMC·CL 

or equivalent course

• DAU COR XXX (to be 

determined), COR in the 

Contingency Environment, 

when applicable (competency 

14)

• Minimum of 1 hour acquisition 

ethics training (e.g., DAU 

CLM 003 or agency provided 

training) annually.

• Additional training mandated 

by the contracting activity 

(e.g., WAWF).

Refresher Training:

• Minimum of 16 hours COR 

specific training:

» Every 3 years, OR

» Prior to assuming COR 

responsibilities if the 

individual has not served as 

a COR within t he previous 

24 months.

• Minimum of 1 hour acquisition 

ethics training{e.g., DA U 

CLM 003 or agency provided 

training) annually

• Any additional training 

mandated by the Activity.

• Any necessary for 

maintenance of license/

certification/etc.

Table F.3. Type C Experience and Training Requirements 

Appendix F

COR Qualifications and Training
294

FAR Subpart 1.602-2(d) was changed to require the appointment 

of a COR on any contract that is not firm fixed price and to allow 

the appointment of a COR for firm-fixed-price contracts when the 

contracting officer deems it appropriate. CORs on any contract that 

is not firm fixed price shall meet Type B requirements for education, 

training, and experience. 

COR Responsibilities

The COR assists in the technical monitoring and administration of a 

contract. DFARS PGI Subpart 201.602-2(i)(A) requires the designation 

(in writing) of a properly trained COR before contract award. The 

surveillance activities performed by CORs should be tailored to the 

complexity and dollar value of the specific contract for which they 

are designated. CORs may not be delegated responsibility to perform 

functions at a contractor’s location if those functions have been delegated 

under FAR Subpart 42.202(a) to a contract administration office. CORs 

have no authority to make any commitments or changes that affect 

price, quality, quantity, delivery, or other terms and conditions of the 

contract. The COR may not redelegate or subdelegate any authority. 

Furthermore, CORs may be personally liable for unauthorized acts. 

COR Nomination

To ensure a thorough understanding of the contract, the COR 

should participate in the acquisition process, acting on behalf of 

the requiring organization in supporting the development of the 

technical requirements, QASP, and other pre-award activities. The 

requiring organization should identify the COR as early in the 

acquisition process as practicable, often when the procurement 

package is submitted to the contracting office. 

To be nominated as a COR, the candidate must be a military or 

civilian employee of the U.S. Government, a foreign government, 

Appendix F

COR Qualifications and Training
295 Defense Contingency COR Handbook

or a NATO or other coalition partner; have the requisite security 

clearance; and possess training and experience commensurate with 

the responsibilities delegated by the contracting officer. 

To nominate a COR, the requiring organization submits a 

request for COR designation to the contracting officer through the 

CORT Tool. At a minimum, the request will include the following 

information: 

• Services or supplies being procured and the requiring organization

• Individual nominated

• Nominee’s contact information

• Area of responsibility

• Duration of requested appointment

• Completed COR training (required certificates attached)

• Technical qualifications and experience

• Supervisor’s certification that the following are true: 

» The COR nominee was notified of the requirement to complete 

an OGE Form 450, Confidential Financial Disclosure Report, 

within 30 days of appointment.

» The COR duties will be reflected in the nominee’s annual 

performance standards.

» The nominee will be afforded sufficient time, resources, and 

opportunity to accomplish the duties. 

COR Appointment or Designation 

The contracting officer issues the COR appointment or designation 

via a letter of appointment/designation through the CORT Tool or 

equivalent approved web-based tool. This letter establishes the COR’s 

dual lines of responsibility (1) to the requiring organization, via the rating 

chain, and (2) to the contracting officer, via the letter of appointment/

designation. The COR is authorized, within the established limitations 

Appendix F

COR Qualifications and Training
296

of the letter of appointment/designation, to ensure timely progress of 

contract performance and to provide effective technical guidance and 

advice to the contracting officer. Although a COR may act for the 

contracting officer in technical phases of the contract, the COR may not 

commit the Government in matters that would change contract price, 

quantity, delivery schedule, or other contract requirements. 

The letter of appointment/designation identifies the following: 

• Individual area of responsibility

• Contract number and expiration date

• Duration of appointment or designation

• Responsibilities, authorities, and limitations

• File maintenance requirements

• Reporting requirements

• Liability in the event of unauthorized acts. 

After the contracting officer, COR, and COR supervisor sign the 

COR letter of appointment/designation, the contracting officer will 

furnish two copies to the contractor. The contractor must acknowledge 

receipt of the letter by countersigning one copy and returning it to the 

contracting officer. The contracting officer appropriately distributes 

this contractor acknowledgement and uploads the signed letter of 

appointment/designation to the CORT Tool.

COR Performance Appraisals 

The requiring organization must allocate adequate resources (e.g., 

time, products, equipment, opportunity) for the COR to perform COR 

functions. The COR supervisor will evaluate the individual performance 

of COR duties as part of performance assessments throughout the 

period of the contract. The COR supervisor is encouraged to solicit 

input from the contracting officer on the performance of COR duties. 

Appendix F

COR Qualifications and Training
297 Defense Contingency COR Handbook

COR Termination

The contracting officer may terminate the COR appointment or 

designation at any time on written request from the COR supervisor, 

at the discretion of the contracting officer, or on approval of a COR’s 

termination request. When a contract is completed—or a COR requests 

termination of COR status because of transfer, retirement, or other 

causes—the contracting officer must immediately terminate the COR’s 

designation in writing. Both the contracting officer and the COR must 

sign the termination letter. The termination document will be uploaded 

to the CORT Tool.

A COR who requests relief from COR duties must do so sufficiently 

in advance of reassignment or separation from the Government to give 

the requiring organization adequate time to nominate a successor and 

to give the contracting officer adequate time to train and then appoint or 

designate that successor.

A COR may be terminated either without prejudice or for cause. A 

termination without prejudice is made on the termination date specified 

in the COR’s letter of appointment/designation. Termination for cause 

is made according to a termination letter issued by the contracting 

officer. A copy of the termination letter must be provided to the COR, 

COR supervisor, and contractor, with the original maintained in the 

contract file. 

COR Training 

The following COR training is required before deployment and is 

available from DAU at https://acc.dau.mil/cor. 

Appendix F

COR Qualifications and Training
298

In-Resident Course

COR 222, “Contracting Officer’s Representative Course

• 32-hour customer support in-residence offering

• Basic COR course required for CORs assigned to Type C contracts.

Continuous Learning Modules:

Continuous Learning Contracting (CLC)

CLC 106: Contracting Officer’s Representative with a Mission 

Focus

• 8-hour online course

• Basic COR course required for CORs assigned to Type A and B 

contracts.

CLC 206: CORs in a Contingency Environment

• 3-hour online course

• Required for deployed CORs

CLC 222: Contracting Officer’s Representative Course

• 32-hour online course 

• Basic COR course required for CORs assigned to Type A and B 

contracts.

Component-sponsored and commercial training must be 

equivalent to the DAU baseline training for Type B and Type C 

work and requirements to satisfy the standard training requirements. 

Equivalency requirements are addressed at http://icatalog.dau.mil/

learning/equivalency.aspx.

CORs also must complete the requirement for TIP training, available 

at http://ctip.defense.gov/requirement.html; and WAWF training, 

available at https://wawftraining.eb.mil/xhtml/unauth/web/homepage/

WAWFTrainingInstructions.xhtml. 

Appendix F

COR Qualifications and Training
299 Defense Contingency COR Handbook

Additional continuous learning modules offer the potential to add 

value to COR capabilities, depending on the nature and purpose of 

the contracts that the COR is assigned to—and might be required, 

depending on the specific mission of the COR. After COR assignment, 

the contracting officer and the COR should discuss the need for these 

courses. In addition, the following courses are an excellent source of 

training to help CORs meet the 3-year refresher training requirements:

Note: Learn more about DAU continuous learning modules 

(CL*) and Harvard Business School (HBS) continuous learning 

modules at http://icatalog.dau.mil/onlinecatalog/tabnavcl.aspx. 

CLB 018 Earned Value and Financial Management Reports

CLB 023 Software Cost Estimating

CLB 030 Data Collection and Sources

CLC 004 Market Research

CLC 006 Contract Terminations

CLC 007 Contract Source Selection

CLC 011 Contracting for the Rest of Us

CLC 013 Performance-Based Services Acquisition

CLC 055 Competition Requirements for DoD Acquisition

CLC 107 OPSEC Contract Requirements

CLC 112 Contractors Accompanying the Force

CLC 133 Contract Payment Instructions

CLL 004 Life Cycle Logistics for the Rest of Us

CLM 013 Work Breakdown Structure

CLM 024 Contracting Overview

CLM 031 Improved Statement of Work

CLM 039 Foundations of Government Property

CLM 049 Procurement Fraud Indicators

HBS 204 Customer Focus

Appendix F

COR Qualifications and Training
300

HBS 205 Decision Making

HBS 212 Time Management

HBS 220 Meeting Management

HBS 224 Writing Skills

In addition, if the assignment exceeds 1 year, CORs must annually 

complete DAU CLM 003, Ethics for AT&L Workforce (or agencyprovided training). 

Regardless of their experience or formal training, CORs will receive 

contract-specific training from their contracting officers. 

Multiple/Alternate CORs 

Any individual appointed or designated by the contracting officer 

under the authority of FAR Subpart 1.602, is, by definition, a COR 

and must comply with the DoD COR Standard. Any specific contract 

may have only one COR or multiple CORs. A COR alternate may be 

designated to cover periods when the primary COR is not available. 

Multiple CORs may be designated when contract performance occurs 

in multiple locations, over multiple functions, or in 24-hour operations. 

The contracting officer is responsible for ensuring that the letters of 

appointment/designation are specific when delegating functions to CORs 

and that CORs are familiar with their respective roles and responsibilities. 

Delegated Authority

Contracting officers delegate contract administration responsibility 

under the authorities of FAR Subpart 42.302(a)(27), “Property 

Administration”; FAR Part 46, “Quality Assurance”; and DFARS 

Subpart 201.602-2, “COR Responsibilities.”

The contracting officer is responsible for ensuring that all parties 

understand their relative roles and responsibilities. If any question 

arises, the COR should contact the contracting officer. 

Appendix F

COR Qualifications and Training
Contents

Assembly of the Requirements Package

Other Pre-Award Activities

Assembly of the Requirements Package

As noted in Chapter 3, the requirements package is critical to 

the success of an acquisition because it commits the funds and 

establishes the basis for a contractual action. A key element 

of the requirements package is the purchase request document, which 

serves the following functions:

• Serves as an official request for action

• Authorizes the contracting process to begin

• Is coordinated and signed by a responsible official of the initiating 

office

• Forms the core information of the solicitation document and 

resulting contract

• Provides funding and financial officer certification about the 

availability of funds.

The requirements package also can include the following:

• SOO, SOW, or PWS

• QASP

• CDRL, DD Form 1423

• DoD Contract Security Classification Specification, DD Form 254

• List of GFP

• Sole-source justification, including the justification review document 

and justification and approval (J&A) coordination

• IGCE

Appendix G

Pre-Award Duties
302

• Patents list

• Deliverable list

• Award fee plan or incentive fee plan

• Synopsis text

• Source selection plan and evaluation factors

• Source list

• Funding form, such as Department of the Army (DA) Form 3953, 

Air Force Form 9, or Navy Comptroller Form 2276

• Legal review memorandum

• Market research results.

The time needed to assemble the contents of the requirements 

package varies based on the dollar value of the requirements and the 

command. The following considerations apply when assembling the 

package:

• Do not combine accountable items with nonaccountable items.

• Do not split requirements to fall under dollar thresholds.

Other Pre-Award Activities

The COR also may be involved in pre-award activities such as the 

following:

• Conducting market research

• Helping prepare the procurement package (including the SOO, 

SOW, or PWS), which should use clear, accurate, and performanceoriented language and should express only the Government’s actual 

minimum needs in the work statement

• Preparing IGCEs, rather than obtaining them from a prospective 

contractor (for more information on preparing IGCEs, see 

Appendix D)

• Advising the contracting officer if the item required is foreign made

• Preparing and submitting purchase requests

Appendix G

Pre-Award Duties
303 Defense Contingency COR Handbook

• Drafting a QASP and checklist

• Verifying the availability of funding and submitting the packet to 

request funds

• Understanding DoDD 5500.7-R, “Joint Ethics Regulation for 

Department of Defense Personnel,” and its implementations

• Becoming familiar with the Procurement Integrity Act (FAR

Subpart 3.104)

• Evaluating proposals from vendors and contractors.

Appendix G

Pre-Award Duties
304 Appendix G

Notes
Hundreds of additional resources are available on the supplemental 

DVD and website for this Defense Contingency COR Handbook

The DVD is an exact copy of the website (with respect to contents). 

The DVD supports users who do not have Internet capability. The DVD 

is enclosed in an envelope (Attachment 1) at the back of this handbook. 

Note that you must click the Start.html file to launch the DVD. The 

Defense Contingency COR Handbook website is http://www.acq.osd.

mil/dpap/ccap/cc/corhb/.

Appendix H

Using the Supplemental DVD/Website
306 Appendix H

Notes
The references listed in this appendix—as well as hundreds of 

additional resources—are available on the DVD (Attachment 1) 

accompanying this handbook (and stored inside the back cover). 

Appendix H offers additional information on using the DVD and the 

associated website.

Air Force Contract Augmentation Program (AFCAP):

http://www.globalsecurity.org/military/agency/usaf/afcap.htm

AFCAP was initially conceived and implemented to provide civil engineers 

and services personnel with a contract force multiplier. 

Anti-deficiency Act:

http://www.gao.gov/legal/lawresources/antideficiencybackground.html

Codified at 31 U.S.C. Section 1351 and 31 U.S.C. Section 1517(a), the Antideficiency Act prohibits authorizing or incurring obligations or expenditures 

that exceed the amounts apportioned by the Office of Management and 

Budget or that exceed the amounts permitted by agency regulations. 

Army Knowledge Online/Defense Knowledge Online (AKO/DKO):

AKO/DKO is a source of web-based information services for DoD users 

on both classified and unclassified networks and includes a portal, e-mail, 

directory, discovery, and single sign-on functionality. All members of the 

Active Duty, National Guard, Reserves, DA civilian, and select contractor 

workforce have an AKO/DKO account that grants access to Army web 

resources, tools, and services online. Account setup instructions are 

included on the attached DVD.

Combating Trafficking in Persons: 

http://ctip.defense.gov/

This DoD site provides links to TIP training, including mandatory general 

awareness course J3TA-US030, Combating Trafficking in Persons. 

Defense Contingency Contracting Handbook:

http://www.acq.osd.mil/dpap/ccap/cc/jcchb/index.html

This handbook provides contingency contracting tools, information, and 

training. 

Appendix I

COR Resources and References
308

Defense Contingency Contracting Officer’s Representative (COR) 

Handbook:

http://www.acq.osd.mil/dpap/ccap/cc/corhb/

This handbook provides information, tools, and training for DoD contingency 

CORs.

Contingency Contracting Reports (Department of Defense):

http://www.acq.osd.mil/dpap/pacc/cc/reports.html

This site lists contingency contracting reports and provides relevant links. 

Contract Management Process Guide:

https://e-commerce.sscno.nmci.navy.mil/cmpg

This web-enabled guide is designed to benefit contracting personnel in the 

Marine Corps Field Contracting System and their customers. 

Contracting Officer’s Representative Course:

http://www.almc.army.mil/ALU_COURSES/ALUCOURSES.htm

The Army Logistics Management College offers this 4-day residence course 

equivalent of DAU COR 222/DAU CLC-222 (see courses and schedules 

under Academic Info.) 

Contractor and Vendor Payment Information Guidebook:

http://www.dfas.mil/contractorsvendors.html

This Defense Finance and Accounting Service (DFAS) guidebook helps with 

preparing payment documentation to avoid billing errors that cause payment 

delays. 

Contractor on the Battlefield Resource Library:

http://www.aschq.army.mil/Home/BattlefieldResourceLibrary.aspx

This Army Sustainment Command site is designed to accumulate and offer 

materials helpful to the resolution of legal issues arising from operational 

contract support. 

Contractor Performance Assessment Reporting System:

http://www.cpars.gov

This web-based system is used to input data on contractor performance. 

Contractors Accompanying the Force:

https://acc.dau.mil/caf

The Sustainment Center of Excellence offers a contracting basics 

familiarization course (see Course Catalogs; select SCOE Courses; and 

select Contractors Accompanying the Force). 

Appendix I

COR Resources and References
309 Defense Contingency COR Handbook

DAU Acquisition Community Connection:

https://acc.dau.mil/CommunityBrowser.aspx

DAU Contracting Officer’s Representative (COR) Community of 

Practice (CoP):

https://acc.dau.mil/cor

DAU’s COR CoP provides a central clearinghouse of knowledge and learning 

assets and enables the sharing of best practices and lessons learned. The 

basic COR training module (CLC 106, Contracting Officer’s Representative 

with a Mission Focus) is an 8-hour online course. DAU also offers additional 

COR-related training modules. COR nominees should also complete 

Contracting for the Rest of Us, a 2-hour online course. 

DAU Community of Practice: Contractors Accompanying the Force:

https://acc.dau.mil/CommunityBrowser.aspx?id=18014&view=w

This CoP includes links to policy and best practices.

Defense Contract Audit Agency (DCAA): 

www.dcaa.mil

DCAA performs all contract audits for DoD and provides accounting and 

financial advisory services regarding contracts and subcontracts to all DoD 

components responsible for procurement and contract administration. 

Defense Contract Management Agency (DCMA):

www.dcma.mil

DCMA provides contract administration services to DoD. 

Defense Federal Acquisition Regulation Supplement (DFARS) and 

Procedures, Guidance, and Information (PGI):

http://www.acq.osd.mil/dpap/dars/dfarspgi/current/index.html

DFARS Subpart 201.602-2 and DFARS PGI Subpart 201.602-2, “Contracting 

Officer Responsibility” 

DFARS Subpart 201.602-70, “Contract,” which specifies use of clause 

Subpart 252.201-7000, “Contracting Officer’s Representative” 

DFARS Subpart 204.70, “Uniform Procurement Instrument Identification 

Numbers”; DFARS Subpart 252.201-7000, “Contracting Officer’s 

Representative”; DFARS Appendix F, “Material Inspection and Receiving 

Report” 

Appendix I

COR Resources and References
310

Defense Hotline:

http://www.dodig.mil/hotline/

Anyone, whether uniformed or civilian, who witnesses what is believed to 

be a violation of ethical standards or the law (e.g., fraud, waste, or abuse of 

authority; potential leaks of classified information; or potential acts of terrorism) 

should report such conduct through the chain of command, directly to the 

Inspector General of the respective service, or directly to the DoD Inspector 

General Hotline at 800-424-9098 (or via e-mail at hotline@dodig.mil). 

Defense Language Institute Foreign Language Center:

http://www.dliflc.edu/languageresources.html

This website provides instruction in foreign languages. 

Defense Security Service (DSS):

https://www.dss.mil

DSS is a DoD agency that provides security support services. 

DoD Guide to Collection and Use of Past Performance Information:

http://www.acq.osd.mil/dpap/Docs/PPI_Guide_2003_final.pdf

This guide is designed to document the key techniques and practices for the 

use and collection of past performance information. 

DoD Specifications and Standards Homepage:

http://www.dsp.dla.mil 

This site contains information about DoD standardization, key points of 

contact, FAQs, MilSpec Reform, newsletters, training, non-Government 

standards, and links to related sites. 

Developing a Performance Work Statement in a Deployed Environment 

Handbook: 

http://usacac.army.mil/cac2/call/docs/09-48/09-48.pdf

This handbook is Army Handbook 09-48, published in September 2009.

Embassies and More: 

http://www.allstays.com/Resources/embassies.htm

This website covers embassies, official offices, and additional information for 

personnel away from home. 

Federal Acquisition Jump Station:

http://prod.nais.nasa.gov/pub/fedproc/home.html

This website covers procurement and acquisition services by contracting 

activities. 

Appendix I

COR Resources and References
311 Defense Contingency COR Handbook

Federal Acquisition Regulation: 

https://www.acquisition.gov/far/

FAR Subpart 3.104, “Procurement Integrity” 

FAR Subpart 5.1, “Dissemination of Information” 

FAR Part 7, “Acquisition Planning” 

FAR Part 10, “Market Research”

FAR Part 11, “Describing Agency Needs” 

FAR Part 12, “Acquisition of Commercial Items”

FAR Subpart 12.208, “Contract Quality Assurance”

FAR Subpart 12.402, “Acceptance”

FAR Part 15, “Contracting by Negotiation” 

FAR Subpart 15.304, “Evaluation Factors and Significant Subfactors” 

FAR Part 16, “Types of Contracts” 

FAR Subpart 17.2, “Options” 

FAR Subpart 22.10, “Service Contract Act of 1965, as Amended” 

FAR Subpart 32.7, “Contract Funding” 

FAR Subpart 32.9, “Prompt Payment” 

FAR Part 37, “Service Contracting”

FAR Subpart 37.602, “Performance Work Statement” 

FAR Part 42, “Contract Administration and Audit Services” 

FAR Subpart 42.5, “Postaward Orientation” 

FAR Subpart 42.11, “Production Surveillance and Reporting” 

FAR Subpart 43.104, “Notification of Contract Changes” 

FAR Part 45, “Government Property” 

FAR Part 46, “Quality Assurance”

FAR Part 49, “Termination of Contracts” 

FedWorld Information:

http://www.fedworld.gov

The National Technical Information Service (NTIS), an agency of the U.S. 

Department of Commerce, established this website to serve as the online 

locator service for a comprehensive inventory of information disseminated by 

the Federal Government. 

Foreign Corrupt Practices Act (FCPA):

http://www.justice.gov/criminal/fraud/fcpa/

This website provides the statute, recent legislative history, opinions, and 

other information related to the FCPA. 

Appendix I

COR Resources and References
312

GSA Advantage: https://www.gsaadvantage.gov/advgsa/advantage/main/

start_Page.do

GSA Advantage is the General Services Administration (GSA) website for 

supplies and services. 

Geographic Combatant Command (GCC) Areas of Responsibility (AORs):

Map http://www.acq.osd.mil/dpap/pacc/cc/areas_of_responsibility.html

This website contains links to GCC AORs. 

Guidebook for Performance-Based Services Acquisition (PBSA) in the 

Department of Defense:

https://www.acquisition.gov/SevenSteps/library/DODguidebook-pbsa.pdf

DoD developed this guidebook as a cooperative effort among components 

to help the acquisition team (and other stakeholders) to better understand 

the basic principles of PBSA and to better implement performance-based 

methods in services acquisitions. 

A Guide for Writing and Administering Performance Statements of 

Work for Service Contracts:

https://acc.dau.mil/GetAttachment.aspx?id=30609&pname=file&aid=5448&

lang=en-US

This guide is OFPP Pamphlet 4. 

A Guide to Best Practices for Contract Administration: https://www.

acquisition.gov/SevenSteps/library/OFPPguide-bp.pdf

This OFPP guide contains best practices in contract administration that 

should be useful tools for program and contracting officials who administer 

Federal contracts. 

Joint Ethics Regulation (JER):

http://www.dtic.mil/whs/directives/corres/pdf/550007r.pdf

The JER (DoD 5500.7-R) explains standards of conduct relating to possible 

conflicts between private interests and official duties, regardless of 

assignment. 

Library of Congress: http://www.loc.gov

The Library of Congress website is a research tool offering resources such 

as the Country Studies Series (http://lcweb2.loc.gov/frd/cs/), which includes 

a description and analysis of the historical setting and the social, economic, 

political, and national security systems and institutions of countries 

throughout the world. 

Appendix I

COR Resources and References
313 Defense Contingency COR Handbook

Logistics Civil Augmentation Program (LOGCAP):

http://www.globalsecurity.org/military/agency/army/logcap.htm

LOGCAP is an Army program for augmenting the forces by providing a 

service capability to meet externally driven operational requirements for 

rapid contingency augmentation support. 

Marine Corps Acquisition Workforce Development:

http://www.marcorsyscom.usmc.mil/sites/acqworkforce/

This website provides workforce developmental policy, planning, and 

consultation services and individualized education and training services, 

including recurrent military training services that facilitate the individual 

and collective development of the Marine Corps acquisition workforce and 

Marine Corps System Command support personnel. 

Monitoring Contract Performance in Contracts for Services:

http://www.acq.osd.mil/dpap/policy/policyvault/2008-0468-DPAP.pdf

This memorandum from the Deputy Secretary of Defense, issued 22 August 

2008, includes COR requirements. 

The Office of Federal Procurement Policy (OFPP) Guide on PBSC:

http://www.whitehouse.gov/omb/procurement_guide_pbsc

This guide is a good reference for anyone involved in Government services 

contracts. 

Office of Government Ethics (OGE): http://www.usoge.gov/

Offerings include ethics training, forms, library, and international assistance. 

Office of the Under Secretary of Defense for Acquisition, Technology, 

and Logistics: www.acq.osd.mil/

This website offers a library of DoD acquisition and technology documents 

and links to many other valuable sites. 

Seven Steps to Performance-Based Services Acquisition:

http://acquisition.gov/comp/seven_steps/home.html

This is an OFPP guidebook. 

Special Instructions for Contracting in Iraq and Afghanistan:

http://www2.centcom.mil/sites/contracts/Pages/Default.aspx

These instructions include mandatory requirements and guidance for 

contracting officers. 

Appendix I

COR Resources and References
314

Standards of Conduct Office (DoD):

http://www.dod.mil/dodgc/defense_ethics

This resource helps personnel understand the ethical standards that apply to 

every DoD employee, both civilian and military.

Standard Industrial Classification (SIC) Codes:

http://www.census.gov/epcd/www/sic.html

SICs are product numbers for supplies and services. 

Synchronized Predeployment and Operational Tracker (SPOT):

https://spot.altess.army.mil/privacy.aspx

SPOT has been designated as the joint enterprise contractor management 

and accountability system to provide a central source of contingency 

contractor information. 

Trafficking in Persons:

http://www.dodig.mil/Inspections/IPO/TIP_17JUL2008.pdf

This site contains awareness training on TIP from the DoD Awareness 

Initiative. 

U.S. Agency for International Development (USAID):

http://www.usaid.gov

USAID is an independent Government agency that receives overall foreign 

policy guidance from the Secretary of State. 

Wage Determinations Online:

http://www.wdol.gov/

This Department of Labor website documents prevailing wage rates to be 

paid on Government contracts. 

Wide Area Workflow (WAWF):

https://wawf.eb.mil/

WAWF includes instructions, registration assistance, and system updates 

and messages. 

World Factbook:

https://www.cia.gov/library/publications/the-world-factbook/

This Central Intelligence Agency site provides information on the history, 

people, governments, economies, geographies, communications, 

transportation, military concerns, and transnational issues for 266 world 

entities. 

Appendix I

COR Resources and References
315 Defense Contingency COR Handbook

Other References

1. Ashton B. Carter, Under Secretary of Defense for Acquisition, 

Technology, and Logistics, “Personal Conflicts of Interest (PCIs) of 

Contract Employees,” Washington, DC, 24 November 2009. 

2. Ashton B. Carter, Under Secretary of Defense for Acquisition, 

Technology, and Logistics, “DoD Standard for Certification 

of Contracting Officer’s Representatives (CORs) for Service 

Acquisitions,” Washington, DC, 29 March 2010. 

3. Ashton B. Carter, Under Secretary of Defense for Acquisition, 

Technology, and Logistics, “Better Buying Power: Guidance 

for Obtaining Greater Efficiency and Productivity in Defense 

Spending,” Washington, DC, 14 September 2010.

4. Defense Acquisition University, “Contracting Off icer’s 

Representative,” Course No 222, January 2009. 

5. Defense Acquisition University, “COR with a Mission Focus,” 

Course CLC 106, presentation (undated). 

6. Defense Acquisition University, Student Guide for PerformanceBased Service Acquisition and the Seven Step Process, ACQ 265, 

November 2009. 

7. Defense Federal Acquisition Regulation Supplement 204.7003, 

Basic PII Number, 27 September 2010. 

8. Department of the Army, Training and Doctrine Command 

(TRADOC), “Independent Government Estimate Preparation 

Guide,” TRADOC Pamphlet 715-6, 19 July 2000. 

Appendix I

COR Resources and References
316 Appendix I

Notes
Appendix J

Metric Conversion Table
318 Appendix J

Notes
Abbreviations

ACC-RI Army Contracting Command–Rock Island

ACO Administrative Contracting Officer

ACSA Acquisition and Cross-Servicing Agreement

ADR Alternative Dispute Resolution

AFCAP Air Force Contract Augmentation Program

AFMIA Air Force Manpower and Innovation Agency

AKO Army Knowledge Online

AOR Area of Responsibility

ARB Acquisition Review Board

ARRT Automated Requirements Roadmap Tool

ASBCA Armed Services Board of Contract Appeals

AT&L Acquisition, Technology and Logistics

BAA Buy American Act

CAC Common Access Card

CAMIS Commercial Activities Management 

Information System

CAO Contract Administration Office 

(also Corrective Action Observed, in form)

CAOCL Center for Advanced Operational Culture Learning

CAP Contractor-Acquired Property

CAR Corrective Action Request

CCC CENTCOM Contracting Command

CCO Contingency Contracting Officer

CCR Central Contractor Registration 

CDR Contractor Discrepancy Report

CDRL Contract Data Requirements List

CENTCOM U.S. Central Command

CFTE Contractor Full-Time Equivalents

CI Commercial Item

Appendix K

Abbreviations and Definitions
320

CICA Competition in Contracting Act

CID Contractor Identified Discrepancy

CIR Contract Incident Report

CLC Continuous Learning–Contracting

CLIN Contract Line Item Number 

COI Conflict of Interest

CONUS Continental United States

CoP Community of Practice

COR Contracting Officer’s Representative

CORT Tool COR Tracking Tool

COS Certificate of Service

COTR Contracting Officer’s Technical Representative

CPARS Contractor Performance Assessment Reporting System 

CPER Contractor Performance Evaluation Report

CPI Consumer Price Index

CTIP Combating Trafficking in Persons

DA Department of the Army

DAEO Designated Agency Ethics Official

DAU Defense Acquisition University 

DCAA Defense Contract Audit Agency

DCMA Defense Contract Management Agency

DCS G4 Deputy Chief of Staff for Logistics

DD Department of Defense (in forms)

DFAC Dining Facility

DFARS Defense Federal Acquisition Regulation Supplement 

DID Data Item Description

DKO Defense Knowledge Online

DNAD Domestic Non-Availability Determination

DO Delivery Order

DoD Department of Defense

DoDAAC DoD Activity Address Code

Appendix K

Abbreviations and Definitions
321 Defense Contingency COR Handbook

DoDD DoD Directive

DPAP Defense Procurement and Acquisition Policy 

DSN Defense Switched Network

DSS Defense Security Service

DUSD Deputy Under Secretary of Defense

ECD Estimated Completion Date

EFT Electronic Funds Transfer

EPA Economic Price Adjustment

FAR Federal Acquisition Regulation

FCPA Foreign Corrupt Practices Act

FedBizOpps Federal Business Opportunities

FFP Firm Fixed Price

FICA Federal Insurance Contributions Act

FSS Federal Supply Schedule

FTA Free Trade Agreement

FTR Federal Travel Regulation

FOB Free on Board

FOIA Freedom of Information Act

G4 Office of the Deputy Chief of Staff for Logistics

G&A General & Administrative

GAO Government Accountability Office

GBL Government Bill of Lading

GCC Geographic Combatant Command

GFP Government-Furnished Property

GID Government Identified Discrepancy

Government U.S. Government

GPC Government Purchase Card

GSA General Services Administration

GSABCA General Services Administration Board 

of Contract Appeals

H&W Health and Welfare

Appendix K

Abbreviations and Definitions
322

HBS Harvard Business School

HCA Head of the Contracting Activity

HQDA Headquarters, Department of the Army

HTSA Host Tenant Support Agreement

IFB Invitation for Bids

IGCE Independent Government Cost Estimate

IGE Independent Government Estimate

IRS Internal Revenue Service

IT Information Technology

J&A Justification & Approval

JAG Judge Advocate General

JER Joint Ethics Regulation

JTR Joint Travel Regulation

LOA Letter of Authorization

LOGCAP Logistics Civil Augmentation Program

LTDD Loss, Theft, Damage, or Destruction

MDEP Management Decision Evaluation Package

MEO Most Efficient Organization

MFR Memorandum for the Record

NATO North Atlantic Treaty Organization

NTIS National Technical Information Service

OCI Organizational Conflict of Interest

OCONUS Outside the Continental United States

OCS Operational Contract Support

ODC Other Direct Cost

OFPP Office of Federal Procurement Policy

OGE Office of Government Ethics

OF Optional Form

OT Overtime

OUSD Office of the Under Secretary of Defense

P&R Personnel and Readiness

Appendix K

Abbreviations and Definitions
323 Defense Contingency COR Handbook

PAS Pre-Award Survey

PBSA Performance-Based Services Acquisition

PBSC Performance-Based Service Contract

PCI Personal Conflict of Interest

PCO Procuring Contracting Officer

PDI Program Development and Implementation 

Directorate, Defense Procurement

and Acquisition Policy

PGI Procedures, Guidance, and Information, Defense 

Federal Acquisition Regulation Supplement

PII Procurement Instrument Identification

PMO Program Management Office

POC Point of Contact 

POL Petroleum, Oil, and Lubricants

POP Period of Performance

PR Procurement Request 

PR&C Purchase Request and Commitment 

PRS Performance Requirements Summary

PWS Performance Work Statement

QA Quality Assurance

QAP Quality Assurance Plan

QAR Quality Assurance Representative

QAS Quality Assurance Specialist

QASP Quality Assurance Surveillance Plan

QCI Quality Control Inspector

RCC Regional Contracting Center

RFP Request for Proposals

RIK Replacement in Kind

SAP Simplified Acquisition Procedure

SAT Simplified Acquisition Threshold

SBA Small Business Administration

Appendix K

Abbreviations and Definitions
324

SCA Service Contract Act

SCO Senior Contracting Official

SDS Services Delivery Summary

SF Standard Form 

SIC Standard Industrial Code

SOO Statement of Objectives 

SOW Statement of Work 

SPE Senior Procurement Executive

SPOT Synchronized Predeployment Operational Tracker 

T&M Time & Materials

TCO Termination Contracting Officer

TIN Taxpayer Identification Number

TIP Trafficking in Persons

TP Transition Plan

TRADOC Training and Doctrine Command (U.S. Army)

U.S. United States

UCA Undefinitized Contract Action

UCF Uniform Contract Format

USAID U.S. Agency for International Development

U.S.C. United States Code

UTC Coordinated Universal Time

WAWF Wide Area Work Flow

WTO GPA World Trade Organization Government 

Procurement Agreement

Appendix K

Abbreviations and Definitions
325 Defense Contingency COR Handbook

Definitions

Acceptance: Act of an authorized representative of the Government 

by which the Government for itself, or as an agent of another, assumes 

ownership of identified supplies tendered or approves specific services 

rendered as partial or complete performance of a contract. 

Acquisition: Process of acquiring by contract, with appropriated 

funds, supplies or services (including construction) by and for the use of 

the Federal Government through purchase or lease, whether the supplies 

or services already exist or must be created, developed, demonstrated, 

and evaluated. 

Administrative Contracting Officer (ACO): Individual who 

administers a contract and enforces its provisions. The Procuring 

Contracting Officer (PCO) sometimes serves as the ACO, especially for 

contracts performed on a Government installation. 

Acquisition Team: All participants in the acquisition process: 

requiring organization, finance, contracting officer, legal counsel, 

COR, resource manager, quality assurance representative, and others, 

as applicable. No one person has all the necessary skills for successful 

contract management. It requires a team with each member having 

specialized expertise and responsibilities. 

Agent: Individual appointed or designated by another party (principal) 

to enter into a business or contractual relationship with third parties. 

These relationships are legally binding on the principal and the third 

parties. A contracting officer signing a Government contract does so as 

an agent of the U.S. Government. 

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Allocable Costs: Costs that are incurred specifically for the contract 

that benefit both the contract and other work and can be distributed in 

reasonable proportion to the benefits received or that are necessary to 

the overall operation of the business, although a direct relationship to 

any particular cost objective cannot be shown. 

Allowable Costs: Costs that are allowable on a Government contract 

when complying with the rules in FAR Part 31, “Contract Cost 

Principles and Procedures,” and not otherwise disallowed. 

Alternative Dispute Resolution (ADR): Any type of procedure 

or combination of procedures used voluntarily to resolve issues in 

controversy. Examples of ADR procedures are conciliation, facilitation, 

mediation, fact-finding, mini-trials, arbitration, and use of ombudsmen. 

Amendment: Change made to a solicitation. 

Bid: An offer. In the sealed bidding method of contracting, the offer 

takes the form of a sealed bid. A bid is fixed as of the time of bid 

opening, and there is no possibility of negotiating even a relatively 

minor change in it, even if the change would be to the Government’s 

advantage. It must be accepted or rejected as submitted. 

Bilateral Modification: Contract modification (supplemental 

agreement) signed by the contractor and the contracting officer. 

Change Order: Written order, signed by the contracting officer, 

directing the contractor to make a change that the Changes clause

authorizes.

Civil Augmentation Program: Standing, long-term contracts 

designed to augment service logistic capabilities with contract support 

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in both preplanned and short-notice contingencies. Examples include 

the U.S. Army Logistics Civil Augmentation Program (LOGCAP), 

U.S. Air Force Contract Augmentation Program, and U.S. Navy 

Construction Capabilities Contract. 

Claim: Assertion by one of the parties to a contract seeking adjustment 

or interpretation of an existing contract, subject to the dispute clause in 

the contract. 

Clause: Term or condition used in a contract (or both the contract and 

solicitation). 

Commercial Item (CI): Any item, other than real property, that is 

customarily used for nongovernmental purposes and that has been sold, 

leased, or licensed to the general public (or has been offered for sale, 

lease, or license to the general public)—or any item that has evolved 

through advances in technology or performance and that is not available 

in the commercial marketplace, but will be available in the commercial 

marketplace to satisfy the Government delivery requirements. 

Competition: Acquisition strategy in which more than one contractor 

is sought to bid or make a proposal on a procurement. In acquisitions 

at or below the micropurchase threshold, only assurance of a fair and 

reasonable price is required. In simplified acquisitions, maximum 

practicable competition is obtained by soliciting at least three sources. 

In actions using other than simplified acquisition procedures, full and 

open competition is to be used unless there are valid exemptions or 

exceptions. 

Constructive Change: A contract change without formal written 

authority.

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328

Contract: Agreement, enforceable by law, between two or more 

competent parties to do (or not do) something not prohibited by law, 

for a legal consideration. FAR Subpart 2.101, “Definitions,” defines a 

contract as a mutually binding legal relationship obligating the seller to 

furnish the supplies or services (including construction) and the buyer 

to pay for them. 

Contract Administration Office (CAO): Activity identified in the 

DoD Directory of Contract Administration Services Components as 

assigned to perform contract administration responsibilities. For DoD, 

the CAO is often a Defense Contract Management Agency (DCMA)

regional office servicing the contract. 

Contract Administration Plan: Plan describing the procedures and 

tasks to be used by the Government to administer a contract. Those 

tasks include file documentation and quality assurance functions. 

Implementation of the plan will establish a quality audit trail of 

contract performance with respect to the specifications, cost, delivery

requirements, and applicable laws, regulations, and contract clauses. 

Contract Data Requirements List (CDRL): List of contract data 

requirements authorized for a specific acquisition and made a part of 

the contract. CDRLs are specified by DD Form 1423-1, “Contract Data 

Requirements List.” 

Contract Discrepancy Report (CDR): Report issued for any supply 

or service found to be unacceptable during contract performance. The 

CDR is notification to the contractor of failure to meet the contract 

requirements. 

Contract Line Item Number (CLIN): Number that identifies a 

separate supply or service to be provided under a contract. Each CLIN 

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should have a single unit price, separate identification, separate delivery

schedule, and single accounting classification citation. 

Contracting Officer: Individual who is duly appointed and designated 

with specific authority to enter into, administer, and terminate contracts 

and to make related determinations and findings on behalf of the U.S. 

Government. 

Contracting Officer’s Representative (COR): Individual, including a 

contracting officer’s technical representative (COTR), who is designated 

and authorized in writing by the contracting officer to perform specific 

technical or administrative functions related to monitoring a contract. 

According to Defense Federal Acquisition Regulation Supplement 

(DFARS) Subpart 201.602-2, “Responsibilities,” the COR must be (1) 

a Government employee, military or civilian, a foreign government, 

or a North Atlantic Treaty Organization/coalition partner(the latter 

two are applicable in a deployed theater), (2) qualified by training 

and experience commensurate with responsibilities to be delegated in 

accordance with department or agency guidelines, and (3) designated 

in writing. The COR has no authority to make any commitments or 

changes that affect price, quality, quantity, delivery, or other terms and 

conditions of the contract. 

Contracting Officer’s Representative (COR) Nominee: Individual 

identified by the requiring organization and accepted by the contracting 

officer as having the general competencies, agency experience, relevant 

technical experience, and training (or a training plan if not yet trained) 

to perform those COR functions delegated by the contracting officer. 

When appropriate, the COR should be nominated as early in the 

acquisition cycle as practicable. This approach allows the COR 

nominee to document subject matter expertise and to ensure familiarity 

Appendix K

Abbreviations and Definitions
330

with the requirements, specific terms, and conditions of the resultant 

contract as well as the functions to be delegated. 

Contractor-Acquired Property: Property acquired or otherwise 

provided by the contractor for its use in performing a contract and to 

which the Government has (or will acquire) title. 

Contracting Officer’s Representative Tracking (CORT) Tool: A 

web-based application, designated by the Under Secretary of Defense 

for Acquisition, Technology, and Logistics to track CORs within DoD.

Cost-Reimbursement Contract: Agreement that provides for payment

of allowable incurred costs, to the extent prescribed in the contract. 

Cure Notice: Document that the contracting officer sends to a 

contractor to notify the it that the contract may be terminated by reason 

of default if the condition endangering performance of the contract is 

not corrected. There must be at least 10 days remaining in the contract 

for the contractor to make the cure. 

Customer Complaint: Form of feedback that can be used to monitor 

quality assurance; this information is particularly useful in services 

contracts. 

Data Item Description (DID): Document that defines the data 

required of a contractor. The DID specifically defines the data content, 

format, and intended use. 

Data Rights: Rights to use recorded information, regardless of its form 

or the media on which it may be recorded. The term includes rights to 

technical data and computer software. The term does not include rights 

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to information incidental to contract administration, such as financial, 

administrative, cost or price, or management information. The 

Government can acquire three types of data rights: (1) unlimited rights 

to all data, which is costly; (2) limited rights or restricted rights (a few 

essential rights for Government personnel only, which has a relatively 

low cost); and (3) Government purpose rights, which includes rights for 

Government contractors as long as the use is for a Government purpose, 

obtained at a moderate cost. 

Default: Omission or failure to perform a legal or contractual duty to 

observe a promise, discharge an obligation, or perform an agreement. 

Defense Contract Audit Agency (DCAA): Agency that audits 

all DoD contracts and provides accounting and financial advisory 

services regarding contracts and subcontracts to DoD components 

responsible for procurement and contract administration. These 

services are furnished in connection with negotiation, administration, 

and settlement of contracts and subcontracts. DCAA also provides 

contract audit services to some other Government agencies. 

Defense Contract Management Agency (DCMA): Independent 

agency within DoD that serves as DoD’s contract manager. DCMA is 

responsible for ensuring that Federal Government acquisition programs 

(e.g., for systems, supplies, and services) are delivered on time and 

within projected cost or price and also meet performance requirements. 

Defense Federal Acquisition Regulation Supplement (DFARS): 

Supplement to the FAR that provides DoD-specific acquisition 

regulations. 

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Delivery Order (DO): Order for supplies placed against an established 

contract or with Government sources. 

Delivery Order Contract: Contract for supplies that does not procure 

or specify a firm quantity of supplies (other than a minimum or 

maximum quantity) and that provides for the issuance of orders for the 

delivery of supplies during the period of the contract. 

Department of Defense (DoD): Federal department responsible 

for coordinating and supervising all agencies and functions of the 

Government relating directly to the military and national security. 

Designated Agency Ethics Official (DAEO): Individual appointed 

or designated by the Attorney General to administer, coordinate, 

and manage a department’s ethics program. The Assistant Attorney 

General for Administration has been designated to serve as the DAEO. 

Dispute: Disagreement between the contractor and contracting officer 

regarding the rights of the parties under a contract. 

Economic Price Adjustment (EPA): Provision in a fixed-price 

contract that allows upward or downward revision of the stated contract 

price under specified contingencies. 

Equitable Adjustment: Adjustment of price, including an adjustment 

for profit, because of a change in contracted work (e.g., a change in the 

delivery schedule or any other terms of the contract). 

Excusable Delay: Delay arising from causes beyond the control and 

without the fault or negligence of the contractor. Examples include (1) acts 

of a public enemy, (2) acts of the Government in its sovereign or contractual 

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capacity, (3) fires, (4) floods, (5) epidemics, (6) quarantine restrictions, (7) 

strikes, (8) freight embargoes, and (9) unusually severe weather. 

Executive Agency: Instrumentality of the U.S. Government bound 

by the FAR. Executive agencies include the executive departments, 

military departments, any independent establishment, and any wholly 

owned Government corporation within the meaning of 31 U.S.C. 

Section 102, “Executive Agency.” 

Fair and Reasonable Price: Basic tenet of Government contracting 

that an award should be made at a fair and reasonable price to both 

parties to the contract. If the contract is set up with the correct contract 

type and allows for appropriate cost risk, a good contractor should be 

able to make a reasonable profit. 

Federal Acquisition Regulation (FAR): Regulation that applies to 

all acquisitions of the executive branch of the U.S. Government. DoDspecific policies and procedures are established in the DFARS. 

Federal Business Opportunities (FedBizOpps): Media used by U.S. 

Government agencies to notify the public of proposed contract actions 

and contract awards. 

Federal Government (Government): The Federal Government of the 

constitutional republic of 50 states and one district that is the United 

States of America.

Federal Supply Schedule (FSS): Program, directed and managed 

by the General Services Administration (GSA), that provides U.S. 

Government agencies with a simplified process for obtaining common 

supplies and services at prices associated with volume buying. 

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Firm-Fixed-Price (FFP) Contract: Agreement to pay a specified 

price when the supplies or services called for by the contract have been 

delivered and accepted within a specified time frame. 

Free on Board (FOB) Destination: Title of the goods passes at 

destination. Contractor has total responsibility until the shipment is 

delivered. Ownership (title and control) remains with the contractor 

until the goods are delivered. The contractor is responsible for all of the 

transportation arrangements. 

FOB Origin: Title passes at origin, and the Government has total 

responsibility over the goods while in shipment. The Government takes 

ownership (title and control) of the goods at the origin (when the carrier 

signs for goods) and is responsible for transportation of the goods 

beyond this point. 

Full and Open Competition: Procurement environment in which all 

responsible sources are permitted to compete. 

General Services Administration (GSA): Agency in the executive 

branch of the U.S. Government that procures common supplies and 

services (including construction) used by Government agencies. 

Government Accountability Office (GAO): Independent Government 

entity known as “the investigative arm of Congress” and “the 

congressional watchdog.” GAO supports Congress in meeting its 

constitutional responsibilities and helps improve the performance and 

accountability of the Federal Government. 

Government Bill of Lading (GBL): Accountable transportation 

document authorized and prepared by a Government official. 

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Government-Furnished Property (GFP): Property in the possession 

of, or directly acquired by, the Government and subsequently made 

available to the contractor. 

Government Purchase Card (GPC): Card that is similar to a 

commercial charge card and is issued to authorize agency personnel for 

acquiring and paying for supplies and services. 

Head of the Contracting Activity (HCA): Individual who has overall 

responsibility for managing the contracting activity. 

Indefinite-Delivery Contract: Contract used to acquire supplies 

or services when the exact times and/or exact quantities of future 

deliveries are not known at the time of contract award. The three 

types of indefinite-delivery contracts are definite-quantity contracts, 

requirements contracts, and indefinite-quantity contracts. 

Independent Government Cost Estimate (IGCE): Estimate of the 

cost for supplies or services to be procured by contract. Government 

personnel who are independent of the contractors prepare the IGCEs. 

Information Resources: All resources and activities employed in 

the acquisition, development, collection, processing, integration, 

transmission, dissemination, distribution, use, retention, storage, 

retrieval, maintenance, access, disposal, security, and management 

of information. Information resources include doctrine, policy, data, 

equipment, and software applications as well as related personnel, 

services, facilities, and organizations. 

Information Technology (IT): Any equipment, or interconnected 

system or subsystem of equipment used for the automatic acquisition, 

Appendix K

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336

storage, manipulation, management, movement, control, display, 

switching, interchange, transmission, or receipt of data or information. IT 

includes computers, ancillary equipment, software, firmware, and similar 

procedures, services (including support services), and related resources. 

Inspection: Process broadly defined as “the examination of an item by 

comparing it with predetermined standards to determine conformance 

to requirements.” The narrow definition of inspection is “a visual 

examination which does not use special laboratory equipment or 

procedures.” In the phrase inspection and acceptance, the broad definition 

applies. In the phrase test and inspection, the narrow one applies. 

Invitation for Bids (IFB): Solicitation used by the Government (in the 

sealed bidding method of contracting) that invites offerors to make a 

bid on a specific requirement and describes the conditions under which 

offers will be received. 

Justification and Approval (J&A): Document that justifies and 

obtains approval for contract solicitations that use other than full and 

open competition. 

Labor-Hour Contract: Contract that provides for the procurement of 

services on the basis of direct labor hours at specified fixed hourly rates 

(that include direct and indirect labor, overhead, and profit). 

Legal Counsel: Judge Advocate General, Staff Judge Advocate, or 

civilian counsel providing legal services. 

Letter Contract: Written preliminary contractual instrument that 

authorizes the contractor to begin immediately manufacturing supplies 

or performing services. 

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Market Research: Process used for collecting and analyzing 

information about the market available to satisfy the minimum agency 

needs to arrive at the most suitable approach to acquiring, distributing, 

and supporting supplies and services. 

Modification: Written change in the terms of the contract. A 

modification can be unilateral (signed by the Government only) or 

bilateral (signed by both the Government and contractor). 

Negotiation: Contracting approach that uses either competitive or other 

than competitive proposals and discussions. Any contract awarded 

without using sealed bidding procedures is a negotiated contract. 

Negotiation may also be used to modify the contract after award. 

Nonexcusable Delay: Delay that could have been prevented by the 

contractor. Such a delay would not be a reason to extend the delivery

schedule without consideration. 

Nonpersonal Services Contract: Contract under which the personnel 

rendering the services are not subject, either by the contract’s terms 

or by the manner of its administration, to the supervision and control 

usually prevailing in relationships between the Government and its 

employees. 

Offer: As a response to a Government solicitation, an offer, if accepted 

by the Government’s contracting officer, an offer would legally bind the 

offeror to perform the resultant contract. An offer could be in the form 

of a bid or a proposal. 

Offeror: Entity that offers, via a proposal, to provide supplies or 

perform services needed by the Government. An offeror becomes a 

Appendix K

Abbreviations and Definitions
338

contractor when the Government accepts the offer. In sealed bidding, 

the offeror is called a bidder. 

Operational Contract Support (OCS)55: The process of planning for 

and obtaining supplies, services, and construction from commercial 

sources in support of joint operations, along with the associated 

contractor management functions.

Option: Contract term giving the Government the unilateral right, for 

a specified time, to purchase additional supplies or services called for 

by the contract or to extend the term of the contract. Examples include 

an increase in the quantity of supplies beyond that originally stipulated, 

an extension of time for services beyond that originally stipulated, or a 

change to the principal period of performance (such as the hours of the 

workday in a maintenance contract). A critical factor in an option is the 

window during which an option can be exercised. Missing the window 

voids the unilateral nature of the option. 

Order: Instrument used to order work under a task order or delivery

order contract. Orders are written and, when obligating funds, must be 

on a form prescribed by the FAR or DFARS. Orders are made a part of 

the contract file. 

Organizational Conflict of Interest: Situation that exists when the 

nature of the work to be performed under a proposed Government 

contract may, without some restriction on future activities, result in an 

unfair competitive advantage to the contractor or impair the contractor’s 

objectivity in performing the contract work. 

55 Joint Publication 1-02, “DoD Dictionary of Military and Associated Terms.”

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339 Defense Contingency COR Handbook

Partial Payment: Payment for supplies or services delivered to, and 

accepted by, the Government that represent only part of the contract 

requirements. 

Past Performance: History of how well a contractor performs on a 

contract or contracts. The Government tracks contractor performance 

to assess the risk of using the same contractor on a similar project 

sometime in the future. (The Government supplements past performance 

data with data from other sources.) 

Performance Specification: Description of the end item in terms 

of output, function, or operation. The contractor is responsible for 

determining the specific design necessary to achieve the performance 

levels stated. Performance specifications are preferred over design 

specifications. 

Performance Work Statement (PWS): Description of the required 

results in clear, specific, and objective terms with measurable outcomes. 

Performance-Based Services Acquisition (PBSA): Acquisitions that 

focus on the purpose of the services to be performed rather than the 

manner in which the work is to be performed. A PBSA is designed 

to ensure that contractors are given the freedom to determine how to 

meet the Government’s performance objectives so that appropriate 

performance quality levels are achieved—and to ensure that payment is 

made only for services that meet these levels. 

Personal Services Contract: Contract that creates an employeremployee relationship between the Government and the contractor 

personnel. The Government is normally required to obtain its 

employees by direct hire under competitive appointment, designation, 

Appendix K

Abbreviations and Definitions
340

or other procedures required by the civil service laws. Obtaining 

personal services by contract, rather than by direct hire, circumvents 

those laws unless Congress has specifically authorized acquisition of 

the services by contract. In addition, converting a legal nonpersonal 

services contract into a personal services contract removes it from 

being enforceable in a court of law. 

Pre-Award Survey (PAS): Study of a prospective contractor’s 

financial, organizational, and operational status. A PAS is conducted 

before contract award to determine the contractor’s responsibility and 

eligibility for Government procurement. 

Procurement Request: Initial request for a contracting action, 

submitted by the requiring organization. The procurement request

consists of all the documentation required to establish a contract, 

purchase order, or construction contract. 

Procuring Contracting Officer (PCO) (sometimes referred as 

contracting officer): The individual who has the authority to award 

the contract. This individual may also administer the contract and 

handle termination settlements—functions that, in many instances, are 

handled by an ACO and a TCO, respectively. 

Progress Payment: Method of contract financing in which the 

Government pays a contractor as work progresses, even though supplies 

or services have not been delivered. Progress payments may be based 

on costs incurred, percentage of work completed, or completion of 

particular phases. 

Prompt Payment Act: Law defining the standard amount of time 

allowed for payment to Government contractors. 

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341 Defense Contingency COR Handbook

Proposal: Document submitted by an offeror in response to a request 

for proposals (RFP), issued by the Government, for providing supplies 

or performing services. 

Proprietary Data: Data that belong to an offeror or contractor and 

apply to manufacturing processes, operations, or techniques that 

distinguish that entity from its competition. The entity must label 

its proprietary data, and the Government must prevent the release of 

proprietary data to unauthorized parties. 

Protest: An interested party’s written objection to an agency’s 

solicitation of offers for a proposed contract to acquire supplies or 

services. A protest also may be an interested party’s written objection 

to the proposed or actual award of a contract. 

Provision: Term or condition that is used in the solicitation and applies 

before contract award. 

Purchase Order: Order for supplies or services (used in the simplified 

acquisition method of contracting). Normally used above the 

micropurchase level, purchase orders may be unilateral (requiring only 

a Government signature) or bilateral (requiring the signature of both the 

contracting officer and the contractor). 

Quality: Combined attributes (performance features and characteristics) 

that indicate the ability of a supply or service to satisfy a given need. 

Quality Assurance: Process consisting of the planned systemic actions 

necessary to provide confidence that adequate technical requirements 

are established, supplies and services conform to established technical 

requirements, and satisfactory performance is achieved. 

Appendix K

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342

Quality Assurance Representative (QAR): When a contract has been 

delegated to the Defense Contract Management Agency to administer, 

the COR will work closely with the QAR. The QAR ensures that the 

contractor is in compliance with contractual requirements, evaluates 

and documents contractor performance, follows up with the contractor 

on documented deficiencies, and provides input for the Performance 

Evaluation Board through the administrative contracting officer. 

Quality Assurance Surveillance Plan (QASP): Guide that describes 

the contract monitoring methods in detail. The QASP is usually written 

by the same team that develops the work statement and is used in 

monitoring a contract. A QASP is mandatory for contracts, task orders, 

or delivery orders over the simplified acquisition threshold (SAT), 

including service contracts and construction contracts.56

Quality Control Plan: Method put into place by a contractor to monitor 

or control the performance of services to meet contract requirements. 

This plan is also known as a quality assurance plan (QAP). 

Random Sampling: Method of inspection used when it is not feasible 

to examine all presented items before their acceptance. Under this 

method, a predetermined quantity is inspected at random. In this way, 

the contractor does not know which items will be inspected. In theory, 

random sampling is highly reliable as an indicator of overall quality. 

Ratification: Approval, by an official with the required authority, of an 

unauthorized commitment. A ratifying official is never compelled to 

ratify an unauthorized commitment. 

56 Reference DFARS 246.401.

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343 Defense Contingency COR Handbook

Reasonable Cost: Cost that, in its nature and amount, does not 

exceed the cost that a prudent person would incur in the conduct of a 

competitive business. In determining the reasonableness of a specific 

cost, the contracting officer shall consider the following:

Type of cost and whether it is generally recognized as ordinary and 

necessary for the conduct of a contractor’s business or the contract 

performance

Generally accepted sound business practices, arm’s length bargaining, 

and Federal Government and state laws and regulations

The contractor’s responsibilities to the Government, other customers, 

owners of the business, employees, and the public at large 

Any significant deviation from the contractor’s established practices.

Replacement in Kind (RIK): Type of payment on an acquisition 

and cross-servicing agreement in which logistics support, supplies, or 

services are transferred to an activity and that activity pays by providing 

the same kind of logistics support, supplies, or services at a later date. 

Request for Proposals (RFP): The solicitation used for negotiated 

acquisitions to communicate Government requirements to prospective 

contractors and to obtain proposals. 

Requirements Contract: Indefinite-delivery contract type that 

commits the Government to the exclusive use of the contractor to 

provide supplies or services as outlined in the contract for the period 

stated. This type of contract does not commit the Government to 

a specific quantity of supplies or services. When needed, delivery 

orders are used to request supplies, and task orders are used to request 

services. Delivery orders and task orders also give the location and 

time of delivery or performance. Under this type of contract, the 

Appendix K

Abbreviations and Definitions
344

Government is at risk of a breach-of-contract suit if, for any reason, it 

gives a competitor the work promised before the contractor has a chance 

to refuse it. 

Responsibility: Determination that the contractor has the capability 

to perform a contract successfully. Because the responsibility 

decision must be made before award, it is somewhat speculative. The 

decision can be based on a formal pre-award survey (PAS) of technical 

capability, production capability, quality assurance capability, financial 

capability, accounting system, and other factors such as property 

control, transportation, packaging, security, safety, environmental or 

energy conservation, and flight operation or flight safety. It is also 

possible to make a responsibility determination without a formal PAS 

when data are available to support a positive decision. 

Sealed Bidding: Method of contracting that employs competitive bids, 

involves public opening of bids, and makes an award to the responsive, 

responsible bidder, considering only price and price-related factors. 

Senior Procurement Executive (SPE): Individual who is responsible 

for management direction of the acquisition system of an executive 

agency, including implementation of agency-unique acquisition 

policies, regulations, and standards. 

Set-aside: Reserving of an acquisition (or portion of an acquisition) 

exclusively for participation by an identified group. 

Show-Cause Letter: Document sent by the contracting officer to a 

contractor that is failing to perform in accordance with the terms of 

the contract. The letter notifies the contractor that the contract may be 

terminated by reason of default unless the contractor can prove within 

10 days that the condition was not the fault of the contractor. 

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Simplified Acquisition Threshold (SAT): In general, the SAT 

threshold is $150,000. However, when the supplies or services are 

needed to support a declared contingency operation or to facilitate 

defense against, or recovery from, a nuclear, biological, or radiological 

attack, the SAT threshold is as follows: 

• $250,000 for any contract to be awarded and performed, or purchase 

to be made, inside the United States

• $1 million for any contract to be awarded and performed, or 

purchase to be made, outside the United States. 

Small Business: Entity, including its affiliates, that is independently 

owned and operated, is not normally dominant in the field of operation 

in which it is performing on Government contracts, and meets certain 

other size criteria set by the Small Business Administration (SBA). 

Small Business Program: Program designed to ensure that small 

businesses—including small disadvantaged businesses, 8(a) firms, 

woman-owned businesses, minority colleges, and labor surplus area 

firms, among others identified by law—receive a fair share of DoD 

procurement dollars. In furtherance of economic objectives, various 

public laws and executive orders have designated that these groups 

be provided special opportunities in solicitation and award of Federal 

contracts. 

Sole Source: Source that is characterized as the one and only source, 

regardless of the marketplace, possessing a unique and singularly 

available performance capability for the purpose of the contract award. 

Sole-Source Acquisition: Contract for the purchase of supplies or 

services that is entered into, or proposed to be entered into, by an 

Appendix K

Abbreviations and Definitions
346

agency after soliciting and negotiating with only one source. Solesource contracts require special approvals. 

Solicitation: Request for proposals (RFP) or invitation for bids (IFB) 

issued to prospective offerors or bidders. 

Source Selection: Process in which the requirements, facts, 

recommendations, and Government policies relevant to an award 

decision in a competitive procurement are examined and a decision is 

made. 

Specification: A document used in development and procurement 

that describes the technical requirements for items, materials, and 

services. A specification also describes the procedures that the 

Government will use to determine whether the requirements have been 

met. Specifications may be unique to a specific program or common to 

several applications. 

Statement of Objectives (SOO): Statement provided in the RFP, 

that specifies the basic top-level objectives of the acquisition, but does 

not include how-to instructions. With a SOO, potential offerors have 

the flexibility to develop cost-effective solutions and the opportunity 

to propose innovative alternatives that meet the requirement. By 

reviewing an offeror’s solutions, the Government can assess the 

extent to which the offeror understands all aspects of the effort to be 

performed. 

Statement of Work (SOW): Statement provided in the RFP, that 

specifies the basic, top-level objectives of the acquisition as well as the 

detailed requirements of the Government. The SOW also provides the 

contractor with how-to instructions to accomplish the required effort, 

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347 Defense Contingency COR Handbook

and it forms the basis for successful performance by the contractor and 

effective administration of the contract by the Government. 

Supplemental Agreement: Contract modification accomplished by 

the mutual action of the contracting officer and contractor. This is a 

bilateral agreement and must be executed by both the contractor and the 

contracting officer. 

Supplies: All property except land or interest in land (as defined by 

the FAR).

Synchronized Predeployment and Operational Tracker (SPOT): 

Joint web-accessible database used for tracking contractor personnel 

movements within the forward deployed area and for validating 

individual contractor personnel associated with specific contracts, their 

authorization for access to specific DoD facilities, and their individual 

eligibility for specific DoD support services. 

Synopsis: Government’s notice in the FedBizOpps announcing the 

specific requirement for supplies or services and the procedure for 

receiving a copy of the solicitation document. The Government is 

required to use this vehicle for ensuring full and open competition 

unless a valid exception exists.

System Support Contract: Contracts awarded by services acquisition 

program management offices to obtain technical support, maintenance 

support, and, in some cases, Class IX support for selected military 

weapons and support systems. 

System Support Contractor: Entity, normally with high levels of 

technical expertise, hired to support specific military systems. 

Appendix K

Abbreviations and Definitions
348

Task Order: Instrument used to order work under a task order 

contract. Task orders are always written by the contracting officer 

and, when obligating funds, must be on a form specified by the FAR or 

DFARS. Task orders are made a part of the contract file and the COR’s 

working file. 

Task Order Contract: Contract for services that does not procure 

or specify a firm quantity of services (other than a minimum or 

maximum quantity) and that provides for the issuance of orders for the 

performance of tasks during the period of the contract. 

Terminating Contracting Officer (TCO): The individual who has the 

authority to settle terminated contracts. 

Termination: Cancellation of all or part of the work that has not been 

completed and accepted under a contract. Under specific circumstances, 

termination may be for default of the contractor or for convenience of 

the Government. 

Time-and-Materials (T&M) Contract: Contract that provides for 

acquiring supplies or services on the basis of (1) direct labor hours at 

specified fixed hourly rates that include wages, overhead, general and 

administrative expenses, and profit; and (2) materials at cost, including, 

if appropriate, material handling costs as part of material costs. A T&M 

contract establishes a ceiling price that the contractor may not exceed. 

Substantial surveillance on the Government’s part is required to ensure 

that efficient methods are used. A QASP is mandatory for any contract, 

task order, or delivery order that involves a T&M services contract or for 

a T&M construction contract over the micropurchase threshold. 

Appendix K

Abbreviations and Definitions
349 Defense Contingency COR Handbook

Unauthorized Commitment: Agreement that is not binding because 

the Government representative who made the agreement lacked the 

authority to obligate the Government contractually. An unauthorized 

commitment must be ratified at very high levels. If the approval 

authority decides not to ratify the unauthorized commitment, the person 

who caused it may be held personally and financially liable. Even if 

the action is ratified, the person who caused it may be subjected to 

administrative or other penalties. 

Undefinitized Contract Action (UCA): Any contract action for which 

the terms, specifications, or price are not agreed to before performance 

begins under the action. Examples include letter contracts, orders under 

basic ordering agreements, and provisioned item orders. 

Uniform Contract Format (UCF): Standard Federal contract format. 

Unilateral Modification: Modification that is effective upon signature 

by the contracting officer; the contractor’s signature or assent is not 

required. Unilateral modifications are used for the following purposes: 

• Make administrative changes

• Issue change orders

• Make changes authorized by clauses other than a Changes clause

(such as Property, Options, or Suspension of Work clauses)

• Issue termination notices.

Warranty: Promise given by the contractor regarding the nature, 

usefulness, or condition of the supplies or services furnished under 

a contract. Warranties normally provide a contractual right for the 

correction of defects, notwithstanding any other contract provision. 

Warranties also establish a time period for exercising this right. The 

Appendix K

Abbreviations and Definitions
350

Government should take advantage of commercial warranty provisions 

normally offered by contractors rather than designing unique warranty 

provisions. However, the use of warranties is not mandatory; they should 

be used only when they are in the best interests of the Government. 

Wide Area Work Flow (WAWF): Web-based system that enables 

contractors to transmit invoices and shipping notices electronically and 

enables DoD to electronically record inspection, receipt, acceptance, 

and invoice approval. WAWF distributes data to downstream systems, 

including entitlement (payment) systems, accounting systems, property 

records, and others. 

Work Plan: Guideline for monitoring contract performance. 

Appendix K

Abbreviations and Definitions
Appendix L

Topical Index

Index

A

A-76 study 213

Acceptance certificate 3, 109

Accounting 42, 83, 87, 127, 155, 157, 207, 261, 262, 329, 331, 344, 350

Acquisition and cross-servicing agreement 184, 185

Acquisition planning 22, 70, 76, 93, 152, 162, 252, 291, 292, 293

Acquisition process 3, 11, 16, 38, 51, 64, 66, 70, 74, 75, 76, 250, 251, 

294, 325

Acquisition Review Board 75

Acquisition strategy plan 216

Acquisition team 11, 60, 70–74, 76, 252, 312, 325

Acts of God 142, 152, 202

Administrative contracting officer 21, 44, 71, 73, 98, 115, 325, 

340, 342

Afghanistan 8, 97, 313

After action report 248

Allowable cost 80, 326

Alternative dispute resolution 4, 111, 144, 326

Amendment 88, 89, 187, 188, 229, 231, 232, 249, 271, 326

Anti-Deficiency Act 106, 307

Architect-engineer contract 180

Army or Defense Knowledge Online 31, 307

Audits 116, 133, 135, 154, 156, 157, 203, 206, 225, 262, 309, 328, 331

Automated Requirements Roadmap Tool 160–162, 267

Award fee plan 302

Awards and certificates 59

B

Badging 17, 36, 135

Base operations 185
352

Basic ordering agreement 89, 349

Berry Amendment 187, 188

Best value 88, 275

Bid 24, 29, 56, 59, 60, 82, 85, 86, 140, 156, 177, 214, 219, 261, 326, 327, 

336–338, 344, 346

Bilateral modification 101, 326

Blanket purchase agreement 88, 89

Board of Contract Appeals 144

Bonds 174, 181, 204, 261

Bribery 4, 39, 42, 47, 62–64

Budget 4, 198, 255, 265, 279

Buy American Act 186–188

C

Commercial Activities Management Information System 213

Continuity book 247

Central Contractor Registration 115

Certificate

Of acceptance 3, 109

Of training 31, 56, 111, 193, 195, 295

Of service report 158

Certificates and awards 59

Certification 16, 32, 43, 85, 87, 115, 155, 179

Chain of command 4, 17, 28, 47, 137, 310

Change

Bilateral 101, 121, 326, 337

Constructive 29, 46, 103, 104, 121, 122, 327 

Unilateral 100–102, 121, 337, 349

Change order 46, 101, 103, 326, 349

Changes clause 84, 102, 103, 121, 182, 326, 349

Civil Augmentation Program 168, 307, 313, 326, 327

Appendix L

Topical Index
353 Defense Contingency COR Handbook

Civil Rights Act 204

Civil Service Personnel 164

Claim 4, 36, 39, 40, 50, 52, 111, 117, 119, 120, 138, 143, 146, 165, 181, 

192, 259, 327

Clarifications 273, 274

Classified information 37, 44, 45, 119, 278, 307, 310

Closeout 3, 37, 38, 76, 93, 94, 99, 109, 119, 122, 248

Command and control authority 29

Commander’s coins 59

Commercial item 80, 81, 85–87, 130, 235, 236, 253, 254, 264, 265, 277, 

327

Commercial standards 199, 213, 215, 217, 218

Common access card 31

Competition 67, 197, 207, 249, 250, 270, 271, 275, 282, 299, 320, 327, 

334, 336, 341, 347

Competition in Contracting Act 270

Competitive range 249, 251, 274– 276

Comptroller General 60

Conference report 39

Congress 8, 38, 60, 63, 113, 164, 312, 334, 340

Constructive change 29, 46, 103, 104, 122, 327

Consumer Price Index 263

Continuity See Turnover

Contract administration office 294, 328

Contract administration plan 328

Contract administration team 137, 193

Contract completion date 40, 112, 178

Contract data requirements list 85, 193, 221, 301, 328

Contract discrepancy report 155, 328

Contract file 15, 21, 38, 44, 52, 119, 125, 145, 146, 274, 297, 338, 348

Contract incident report 222, 223

Appendix L

Topical Index
354

Contract language rules 87

Contract line item number114, 117, 209, 235, 236, 328

Contract number 39, 81, 82, 88, 114, 117, 146, 159, 209, 224, 296, 309

Contract performance report 195

Contract provisions See Terms and conditions

Contract scope 14, 38, 42, 47, 49, 84, 102, 103, 105, 121, 122, 125, 134

Contract specialist 71, 265

Contract type

Construction 4, 8, 11, 78, 169, 174–182, 184–186, 194, 203, 208, 

211, 250, 254–256, 261, 327, 328, 340, 342, 348 

Cost 156, 207, 210

Cost plus fixed fee 262

Cost reimbursement 79, 80, 115, 166, 206, 255, 263, 330

Firm fixed price 79, 294, 334

Fixed price 79, 80, 85, 115, 156, 157, 166, 178, 180, 207, 208, 209, 

211, 255, 262, 263, 290–292, 332

Indefinite delivery 88, 126, 335, 343

Labor-hour 115, 154, 166, 336

Letter 336, 349

Nonpersonal services 164, 165, 170, 337, 340

Personal services 49, 55, 164, 165, 170, 339, 340

Requirements 335, 343

System support 347

Time and materials 115, 154, 166, 292, 348

Contracting authority 30, 36

Contracting office 9, 14, 15, 24, 25, 29, 51, 65, 89, 111, 223, 256, 265, 

294

Contractor delay assessment 201

Contractor discrepancy report 229, 241

Contractor employees 39, 42, 46, 48, 55, 57, 59, 61, 62, 63, 165, 195, 

226, 227

Appendix L

Topical Index
355 Defense Contingency COR Handbook

Contractor Performance Assessment Reporting System 129, 308

Contractor performance assessment review 129, 200, 308, 

Contractor performance evaluation report 158

Contractor quality control plan 155, 157, 162, 200, 342

Contractor quality control system 131, 194

Contractors accompanying the force 299, 308, 309

Contractor training request 42, 52

Conversations and discussions 15, 39, 49, 127, 145, 194, 275, 286, 287

COR alternate 28, 300

COR appointment/designation 20, 23– 26, 29, 32, 46, 48, 72, 146, 295

COR file 2, 22, 24, 26, 32, 36, 56, 127, 144–146, 149, 191, 193, 195, 

291–293

COR letter of appointment/designation 2, 10, 21, 36, 76, 93, 110, 125, 

147, 193, 296

COR performance assessment 26

COR Standard 16, 20, 290, 300

COR supervisor 9–11, 15, 20–26, 31, 46, 48, 55, 70, 72, 140, 149, 290, 

296, 297

COR Tracking Tool 2, 20, 22, 25, 31, 32, 44, 111, 295–297, 330

Corrective action 35, 46, 127, 132, 133, 136, 148, 154, 155, 158, 159, 

224, 225, 282

Correspondence 2, 37– 40, 144, 146, 157, 159, 193, 195, 279

Corruption 4, 17, 64, 286

Cost and price analysis 253, 274

Cost or pricing data 59

Costs

Allocable 80, 207, 326

Allowable 80, 206, 326, 330

Indirect 59, 206, 253, 254, 256, 261

Reasonable 42, 80, 106, 108, 122, 153, 156, 187, 203, 207, 210, 

255, 327, 333, 343

Appendix L

Topical Index
356

Cure notice 4, 111, 142, 330

Customer complaint 128, 132, 156, 157, 159, 200, 330

D

Damages 4, 40, 105, 106, 111, 136, 168, 175–178, 181, 182

Data item description 221

Data rights 330, 331

Davis-Bacon Act 256–259

DD Form 250 3, 44, 110, 158, 194, 195, 229, 235, 236, 239–241

DD Form 1155 110, 114, 229, 235, 239

DD Form 2772 229, 241, 242

Debarment 57, 61, 139

Debriefing 17, 249, 251, 275–277

Defense Acquisition University 2, 12, 160, 167, 291–293, 297–300, 

308, 309

Defense Contract Audit Agency 116, 170, 211, 260, 262, 264, 309, 331

Defense Contract Management Agency 14, 47, 73, 134, 153, 170, 260, 

264, 309, 328, 331

Defense Production Act 201

Defense Travel Management Office 260

Deficiency report 157, 194, 195

Deliverable list 302

Delivery order 83, 87, 89, 114, 126, 145, 154, 193, 332, 338, 342, 343, 348

Demobilization 28, 247, 248

Department of Labor 128, 200, 204, 256, 258, 314

Depreciation 261

Disbursing officer 39

Disciplinary action 35, 55, 57, 106, 107, 134, 266, 273

Discussions with offerors 251, 274–276, 337

Dispute 4, 36, 43, 45, 85, 94, 104, 106, 111, 119, 133, 143, 144, 149, 176, 

201, 202, 225, 326, 327, 332

Appendix L

Topical Index
357 Defense Contingency COR Handbook

Drawdown 248

Drawings 40, 84

Drug-Free Workplace 204

Duncan Hunter National Defense Authorization Act 

for Fiscal Year 2009 61

E

Earned value and financial management reports 299

Economic price adjustment 80, 332

Electrical 43, 50, 185

Emergency medical support 185, 244

Environmental plan 195

Environmental Protection Agency 128, 200

Epidemic 142, 202, 333

Equal Employment Opportunity 204

Equipment 10, 15, 23, 49, 50, 76, 97, 105, 157, 164, 177, 184, 210, 211, 

214, 248, 253, 254, 256, 260, 261, 265, 296, 335, 336

Equipment analysis data 214

Equitable adjustment 84, 101, 121, 122, 149, 181, 332

Escort 17, 134

Ethics official 65, 332

Evaluation factors 81, 86, 87, 268, 273, 275, 302

Evaluation notice 251, 275

Executive agency 333, 344

Executive compensation 262

F

Facility analysis matrix 214

FedBizOpps 333, 347

Federal Insurance Contributions Act 258

Federal Supply Schedule 333

Appendix L

Topical Index
358

Final technical report 44

Financial monitoring 205

Floor checks 156, 203

Food service 43

Foreign contractors 115, 285

Fraud 29, 39, 42, 47, 109, 139, 140, 141, 149, 291–293, 310, 311

Freedom of Information Act 249, 278

Free on board 334

Freight embargo 142, 202, 333

Funding form 229, 244, 302

G

General and administrative 254, 256, 261, 262, 265

General Services Administration 187, 266, 312, 333, 334

Gifts 4, 49, 62–67, 140, 284, 286

Government Accountability Office 22, 144, 251, 277, 278, 334

Government bill of lading 334

Government Purchase Card 266, 335

Gratuities 4, 49, 62–67, 286

H

Head of the Contracting Activity 278, 335

Health and welfare 131, 148, 258

Host Tenant Support Agreement 212

I

IHS Global Insights 264

Incentive fee 85, 111, 302

Inflation 263, 265, 266

Information technology 262, 268, 335

Inherently governmental functions 55, 62, 164

Appendix L

Topical Index
359 Defense Contingency COR Handbook

Inspection

100 percent 131, 148, 155, 156, 203

Periodic 131, 148, 200

Random sampling 130, 131, 148, 155, 156, 200, 342

Inspection and acceptance 3, 25, 43, 81, 82, 110, 114, 336

Inspector General 22, 47, 60, 141, 206, 310

Insurance 174, 204, 258, 259

Intellectual property 204

International relationships 11

Interpreter 286–288

Investigation 38, 58, 146, 159, 177, 224

Invitation for bids 336, 346

Invoice 2, 3, 37, 42, 43, 99, 110, 111, 113–118, 122, 127, 140, 147, 156, 

179, 194–196, 209–211, 229, 235, 236, 239, 241, 350

Iraq 8, 97, 288, 313

J

Joint Ethics Regulation 11, 49, 54, 303, 312

Joint Travel Regulation 260

Justification and approval 301, 336

K

Kickback 63, 67, 286

L

Laboratory test report 194

Labor burden 256, 258

Labor category 117, 156, 210, 256–258, 265, 267

Labor dispute 43, 202

Labor hours 42, 117, 210, 258, 336, 348

Labor rates 59

Appendix L

Topical Index
360

Labor standard interviews 175, 203, 208

Labor strike 201

Leave 28, 55, 165, 257, 258

Legal counsel 39, 47, 49, 65, 66, 70, 72, 76, 107, 140, 185, 262, 285, 

325, 336

Legal review memorandum 302

Letter of authorization 97, 229, 244, 245

Letter of commendation 59

License 43, 81, 135, 290, 293, 327

Life cycle logistics 299

Lines of command 30

Litigation 38, 104, 119, 146, 176

Local nationals 8, 281, 286

M

Mail and e-mail 31, 40, 58, 110, 159, 195, 222, 224, 236, 241, 248, 272, 

307

Maintenance plan 195

Market research and surveys 24, 93, 102, 197, 213, 249, 250, 252, 253, 

256, 260, 264, 266, 271, 299, 302, 311, 337

Meeting minutes 121, 145, 157, 194, 247, 282

Memorandum for the record 65, 145

Mileage rates 260

Monthly report 41, 116, 133, 194, 229, 243

N

Natural disaster 138, 142

Need to know 38, 45, 51, 255

Negotiation 93, 95, 101, 104, 108, 273, 275, 311, 331, 337

Nomination 2, 20, 22, 24, 26, 29, 31, 32, 292–294

Notice of award 193

Appendix L

Topical Index
361 Defense Contingency COR Handbook

Notice of termination 25, 349

Notice to proceed 193, 201

O

Occupational Safety and Health Administration 128, 200

Offeror 60, 61, 85-87, 214, 218, 219, 249, 255, 267, 268, 272–277, 283, 

336–338, 341, 346

Office of Federal Procurement Policy 62, 132, 312, 313

Office of Government Ethics Form 450 21, 54, 55, 295

Office supplies 261

Onsite inspections 59, 156, 203

Operational Contract Support 308, 338

Operation Enduring Freedom 8, 288

Option 4, 76, 100–102, 111, 121, 153, 155, 250, 263, 264, 311, 338, 349

Organizational Conflict of Interest 62, 338

Orientation 21, 93–96, 121, 155, 248, 311

Other direct costs 108, 117, 206, 210, 211, 253, 254, 256, 260, 261, 265

Overhead 59, 254, 256, 261, 262, 265, 336, 348

Overtime 43, 117, 168, 210

P

Packaging 81, 82, 87, 184, 344

Packing 3, 82, 84, 87, 103, 109, 239, 248

Partial payment 236, 239, 339

Past performance 4, 96, 111, 129, 268, 269, 270, 275, 277, 310, 339

Patents list 302

Payroll 156, 175, 203, 206, 208, 254, 259

Per diem rates 260

Performance assessment 2, 14, 23, 24, 26, 129, 133, 148, 200, 296, 308

Performance-based services acquisition 132, 221, 299, 312, 313, 315, 339

Performance deficiency 35, 43, 85, 132

Appendix L

Topical Index
362

Performance incentive 216, 217

Performance objectives 159, 215, 339

Performance report 44, 195

Performance specification 339

Period of performance 57, 80, 84, 100, 102, 114, 178, 226, 338

Personal conflict of interest 61, 623, 315

Personal security 4, 17

Petroleum 80, 185

Photographs 194

Planned sampling See Inspection: Periodic

Plumbing 43

Post-award conference 38, 96

Post-award duties 36

Post-award phase 16

Pre-award activities 51, 301, 302, 303

Pre-award duties 12, 51, 301–303

Pre-award process 22

Pre-award survey 340, 344

Pre-bid conference 24

Pre-proposal conference 218

Price estimate 253–256, 264

Price, fair and reasonable 106, 108, 153, 327, 333

Privacy Act 204

Procurement Instrument Identification Number See Contract Number 

Procurement Integrity Act 4, 54, 59–61, 67, 303

Procurement request 20, 340

Procurement-sensitive 145, 255

Procuring contracting officer 44, 71, 325, 340

Profit or fee 78, 79, 89, 181, 253, 254, 256, 262, 263, 265, 332, 333, 

336, 348

Progress meeting 25

Appendix L

Topical Index
363 Defense Contingency COR Handbook

Progress payment 4, 111, 157, 178, 179, 182, 207, 340

Progress report 4, 99, 126, 127, 147, 148, 179, 196–198, 271, 272

Progress schedule 178, 194

Prompt payment 113, 118, 311, 340

Property

Contractor-acquired 42, 97, 330

Government-furnished 37, 73, 194, 215, 219, 335

Property administrator 73, 76, 98

Proprietary and classified information 37, 44, 60, 62, 145, 213, 279, 

341

Protest 201, 249, 251, 277, 278, 341

Purchase order 88, 241, 340, 341

Purchase record 248

Purchase request 29, 301, 302

Q

Quality assurance representative 73, 76, 325, 342

Quality assurance plan 128, 132, 200, 216, 217, 342

Quality assurance representative 73, 76, 325, 342

Quality assurance specialist 70, 158, 159

Quality assurance system 130

Quality control plan See Quality assurance plan

Quarantine 142, 202, 333

Quotation 49, 86

R

Ratification 29, 103, 105–108, 122, 342

Reassignment 26, 29, 32, 297

Receipt and acceptance 44, 179, 194, 241

Receiving report 3, 36, 83, 109, 110, 132, 158, 229, 235, 236, 239, 241, 309

Redeployment 3, 4, 17, 247, 248

Appendix L

Topical Index
364

Remedy 4, 61, 107, 111, 112, 135, 137, 139, 148, 155, 192, 193, 208

Rent 260, 261

Replacement in kind 185, 343

Request for proposals 82, 93, 250, 251, 269, 341, 343, 346

Requirements development 16, 21

Requirements documentation 51

Requirements package 51, 235, 301, 302

Resource manager 46, 70, 325

Risk management plan 17

S

Safety plan 195

Sampling

100 percent

Periodic 200

Random 200

Scope of work 18, 41, 205, 267

Sealed bidding 82, 86, 326, 336–338, 344

Security classification 223, 301

Security clearance 43, 45, 295

Security license 43

Senior procurement executive 344

Sensitive information 50, 51

Service analysis matrix 212, 217

Service Contract Act 256–258, 311

Set-aside 344

Shipping 3, 87, 109, 209, 239, 350

Show cause 4, 111, 142, 344

Simplified Acquisition Threshold 60, 154, 174, 181, 188, 253, 254–256, 

270, 342, 345

Site visit 17, 99, 116, 194, 195, 206

Appendix L

Topical Index
365 Defense Contingency COR Handbook

Small business 204, 250, 345

Sole source 93, 275, 301, 345

Source list 247, 302

Source selection authority 251, 270, 276

Source selection information 4, 278

Source selection plan 216, 250, 302

Souvenir 64

Split requirement 302

Standard Form 33 82, 229, 234

Standard Form 1449 86, 110, 114, 229, 235– 239

Status report 31

Stop work order 4, 41, 48, 111, 180, 205

Stratified sampling See Inspection: Random sampling

Subcontractor 4, 43, 57, 63, 140, 144, 168, 174, 179, 187, 189, 202, 224, 

226, 227

Supplemental agreement 46, 101, 121, 326, 347

Support agreement 185, 212, 219, 220

Surge 212, 218

Surveillance checklist 38, 157, 162, 191, 195

Surveillance schedule 194, 195

Suspension 41, 57, 61, 136, 139, 180–182, 349

Synchronized Pre-deployment and Operational Tracker 41, 96, 97, 

121, 198, 203, 229, 244, 245, 314, 347

Synopsis 250, 302, 347

T

Task order 83, 87, 89, 114, 117, 126, 145, 154, 193, 209, 217, 338, 342, 

343

Technical data 45, 330

Technical evaluation reports 249, 273, 274

Technical evaluation team 269, 273, 274, 276

Appendix L

Topical Index
366

Technical rating 277

Technical report 44

Telecommunications 261

Telephone conversations See Conversations and discussions

Termination contracting officer 71, 348

Termination 

For cause 141–143, 297

For convenience 84, 141, 143

For default 143

Without prejudice 297

Termination letter 193, 297

Test report 194, 195

Test sample 197, 271

Theater business clearances 31, 43

Third country national 281

Timecard 43, 52, 156, 165, 206

Trade secret 279

Trafficking in persons 56–58, 149, 153, 192, 198, 203, 204, 225, 226, 

298, 307, 314

Transition plan 220

Transportation 4, 59, 64, 78, 115, 166, 185, 254, 314, 334, 344

Travel 4, 37, 42, 52, 59, 64, 108, 140, 210, 244, 254, 260

Trip report 39, 145, 194

Turnover 2, 11, 26, 247

U

Unauthorized act 104, 294, 296

Unauthorized commitment 21, 103–108, 122, 342, 349

Undefinitized contract action 349

Unemployment tax 259

Unit price 87, 114, 235, 277, 329

Appendix L

Topical Index
367 Defense Contingency COR Handbook

Unsatisfactory performance 26, 37, 40, 45, 127, 131, 136

Unsolicited proposal 49

U.S. Agency for International Development 97, 314

Utilities 177, 185, 215, 261

V

Vendor list 247

Visit request 38

Vouchers 3, 115, 116, 122, 194, 241

W

Wage determination 204, 256– 258, 314

Waiver 4, 20, 292, 293

Warrant 71, 105, 205

Warranty 4, 111, 118, 119, 122, 137, 193, 349, 350

Weather 2, 136, 149, 152, 177, 194, 202, 333

Wide Area Workflow 3, 44, 110, 111, 209, 211, 292, 293, 298, 314, 350

Witness statement 194

Work breakdown structure 212– 214, 299

Workers compensation 259

Workload analysis matrix 214

Workload data 213, 214, 219, 220

Workload projections 218

Work plan 195, 350

Appendix L

Topical Index
368

Acknowledgements

Grateful acknowledgement is made to the following individuals who 

were involved in the writing, design, and production of this handbook.

Working Group

CAPT Art Lopez, USN

CAPT Greg Johnson, USN

CDR Dave Kao, USN

Mr. Hal McAlduff, DAU

Col Ed Keller, DLA

Lt Col Ronnie Doud, DLA

LtCol Macon Robinson, USMC

MAJ Anthony E. Hughley, USA

Mr. Charles D. (Dan) Matthews, USA

MAJ David A. Ware, USA

Ms. Christal Jones, DCMA

Mr. Robert Ketchum, DCMA

Ms. Linda Pickelman, DCMA

Lt Col Gregory Mazul, USAF

Lt Col Tom Hoskins, USAF

Project Manager and Support

Lieutenant Colonel Judy Anderson, OSD(AT&L)

Lieutenant Colonel Ann Christianson, OSD(AT&L)

Amy Pitts, LMI

Handbook Editors and Contributing Editors

Sallie Chafer, TQM

Artwork and Typesetting

Diane Donohoe, LMI

Kurt Kraus, LMI

DVD Editing and Production

David Albrecht, LMI

Chris Coy, LMI

Version 2 – September 2012

Defense Procurement and Acquisition Policy

Contingency Contracting

3060 Defense Pentagon, Room 3B855

Washington, DC 20301-3060

Defense Contingency COR Handbook

This second edition of the Defense Contingency COR 

Handbook provides the basic knowledge and tools needed 

by contracting officer’s representatives (CORs) to effectively 

support contingency operations. The handbook is designed 

specifically to address the realities faced by CORs in 

operations outside the continental United States. The 

information in this handbook is extracted from numerous 

sources within the Defense acquisition community. Those 

sources include the Federal Acquisition Regulation; the 

Defense Federal Acquisition Regulation Supplement; the 

Joint Ethics Regulation; Department of Defense directives, 

instructions, publications, and policies; and countless CORs 

and contingency contracting officers who have learned hard 

lessons in deployed environments.

The handbook’s size reflects its comprehensive nature. It is 

intended to provide as much information as possible for the 

COR who may not have access to other resources. It is not 

meant to be read cover to cover. Instead, it is organized to 

aid the COR in finding exactly what he or she needs for the 

situation at hand.

Questions concerning the use, update, request for, or replacement of this 

handbook or the attached DVD should be sent to: Defense Procurement and 

Acquisition Policy, Contingency Contracting, 3060 Defense Pentagon, Room 

3B855, Washington, DC 20301-3060; Commercial Phone: 571-256-2945; 

Fax: 571-256-7004; Email: ContingencyContracting@osd.mil.