TABLE OF CONTENTS

 

	Chapter I	-	Acquisition Workforce Career Development Program Overview
	Chapter II	-	Qualification Standards for Contracting Career Field
	Chapter III	-	Certification and Training Requirements
	Chapter IV	-	Contracting Officer Warrant Program
	Chapter V	-	Continuous Learning and Skills Currency
	Chapter VI	-	Competencies and Career Paths

 

 

APPENDICES

 

	A	-	Forms
			·      FAC-C Checklist/Certification Application ·      DOT Acquisition Certification Application ·      Warrant Application ·      Warrant Waiver Request
	B		Business Related Disciplines
	C		Contracting Course Competencies
	D	-	COTR Training Standards
	E	-	Basic COTR Training Detailed Course Outline

CHAPTER I
ACQUISITION WORKFORCE

CAREER DEVELOPMENT PROGRAM OVERVIEW

A. Background

The quality and effectiveness of the federal acquisition process depend on the development of a capable and competent workforce.  Congress recognized the need for a professional workforce through the passage of the Defense Acquisition Workforce Improvement Act (DAWIA) (10 U.S.C. §§ 1741-46) and of the Office of Federal Procurement Policy (OFPP) Act (41 U.S.C. § 433)).  These acts established education, training, and experience requirements for entry and advancement in the acquisition career fields for the Department of Defense (DOD) and civilian agencies respectively. 

OFPP Policy Letter 92-3, Procurement Professionalism Program Policy – Training for Contracting Personnel, dated June 24, 1992, established policies for skill-based training in contracting and purchasing duties for all executive agencies.  In response to the Clinger-Cohen Act of 1996 (40 U.S.C. § 1401(3)), OFPP Policy Letter 97-01, Procurement System Education, Training and Experience Requirements for Acquisition Personnel, dated September 12, 1997, established career management, education, and training requirements for contracting personnel in civilian executive agencies.

OFPP Policy Letter 05-01, Developing and Managing the Acquisition Workforce, issued April 15, 2005, establishes the government-wide framework for creating a federal acquisition workforce with the skills necessary to deliver best value supplies and services, find the best business solutions, and provide strategic business advice to accomplish agency missions.  The Letter expanded on those previous efforts to improve the development of the acquisition workforce by more broadly defining the acquisition workforce and to more closely aligns civilian and defense acquisition workforce requirements. 

Policy Letter 05-01 supersedes and rescinds Policy Letters 92-3 and 97-01.

This Department of Transportation policy provides the framework for implementing OFPP Policy Letter 05-01 and establishes procedures to be used by Operating Administrations (OAs) in implementing this program.

B. Applicability

The Acquisition Workforce Career Development Program is applicable to those positions and career fields defined in the acquisition workforce.  The DOT acquisition workforce is defined as:

·        All positions in the General Schedule Contracting Series (GS-1102)

·        All warranted Contracting Officers regardless of General Schedule series with authority to obligate funds above the micro-purchase threshold

·        All positions in the GS-1105 Purchasing Series

·        Contracting Officer Technical Representatives (COTRs), or equivalent positions.

·        Project and Program Managers, as identified by the Chief Acquisition Officer (CAO).

·        Other positions designated by the CAO performing significant acquisition-related functions.

FAA employees are exempt from this program under P.L. 104-50. However, the FAA will provide its affected employees with substantially similar training and education requirements to maintain mobility.

C. Program Objectives and Policy Issuance

The primary objectives of the DOT Acquisition Workforce Career Development Program are to improve the capabilities and management of DOT’s Acquisition Workforce by: attracting, selecting, developing and retaining a highly qualified, diverse workforce capable of performing current and future DOT acquisition functions; preparing future key leaders; providing career guidance and opportunities for broadening experiences and progression and ensuring effective use of training and education resources. 

The program will create a professional, agile and motivated workforce that consistently makes smart business decisions, acts in an ethical manner, and delivers timely and affordable capabilities to meet the mission of the Department.  Rather than focusing just on traditional contracting functions, the program is designed to enhance the quality of the whole acquisition workforce, both by attracting highly qualified new personnel and by improving the skills and knowledge of current personnel.  Operating Administration (OA) Chief Acquisition Officers (CAOs) will be responsible for implementing the standards established in this policy.’

D. Roles and Responsibilities

1.  Senior Procurement Executive (SPE):  The SPE shall carry out all functions of the Chief Acquisition Officer (CAO) and agency head with respect to implementing this program. The SPE is responsible for:

a.       Developing and maintaining an acquisition career management program to ensure DOT has a competent, professional workforce to accomplish its mission.

b.      Appointing an Acquisition Career Manager.

c.       Ensuring that, to the maximum extent practicable, acquisition workforce policies and procedures established are uniform in their implementation throughout the Department.

d.      Delegating authorities as appropriate to effectively administer the acquisition workforce career development program.

e.       Establishing mandatory warrant and training requirements.

f.        Defining the members of the DOT acquisition workforce.

g.       Provide input to DOT’s Human Capital Strategic Plan regarding the acquisition workforce.

h.       Assessing the current skills inventory of the workforce.

i.         Issuing any changes to this policy as necessary.

j.        Chairing the Procurement Management Council (PMC) to discuss any agency wide acquisition workforce issues (i.e., budgets, training quotas, and requirements).

k.      Issuing any waivers, as appropriate, as a condition of hiring in accordance with the Office of Personnel Management (OPM) qualification standard for the GS-1102 series.

2.  Acquisition Career Manager (ACM) The ACM function shall be located in the Office of the Senior Procurement Executive (OSPE). 

The ACM is responsible for:

a.       Managing the acquisition workforce, including identifying training requirements and other workforce development strategies.

b.      Administering the agency’s certification program.

c.       Serving on the Interagency Acquisition Career Management Committee (IACMC) and ensuring that workforce development policies and opportunities meet the needs of the acquisition workforce.

d.      Providing coordinated input to the SPE and Chief Human Capital Officer regarding short and long term human capital strategic planning for training, competency fulfillment, career development, accession, recruitment and retention, and other facets of human capital management affecting the acquisition workforce.

e.       Developing and maintaining agency policies and procedures for workforce management consistent with those established by OFPP, as appropriate.

f.        Coordinating with functional advisors to ensure fulfillment of the requirements of OFPP Policy Letter 05-01.

g.       Recommending to the SPE waivers to the GS-1102 education and training provisions of OFPP Policy Letter 05-01, as needed and in accordance with the qualification standards.

h.       Coordinating with OA representatives to ensure accurate and consistent department wide data on those serving in DOT’s acquisition workforce is maintained in the Acquisition Career Management Information System (ACMIS).

3.  Operating Administration Chief Acquisition Officer:  The OA CAO is responsible for:

a.       Designating members of the acquisition workforce

b.      Ensuring the acquisition workforce has the necessary competencies, training and certifications.

c.       Identifying a training budget for the acquisition workforce.

d.      Developing and implementing policies and procedures specific to the OA.

e.       Disseminating acquisition workforce information to its acquisition workforce members.

f.        Ensuring the fulfillment of the continuous learning requirements to for each employee to whom this policy is applicable.

4.  Supervisors of Acquisition Workforce Members:  Supervisors are responsible for:

a.       Assessing and approving achievement of competencies developed by the Federal Acquisition Institute (FAI) and Defense Acquisition University (DAU).

b.      In conjunction with the employee, developing and updating a career development plan (such as an Individual Development Plan (IDP)) which shows completion of mandatory and continuing education requirements and identifies how the requirements of this policy will be met.

c.       Scheduling employees in accordance with OA training prioritization policy.

d.      Approving data entered into the Acquisition Career Management Information System (ACMIS).

e.       Ensuring the fulfillment of the continuous learning requirements are met for their employees.

5.  Acquisition Workforce Members:  Workforce members are responsible for:

a.       In conjunction with their supervisor, developing and updating a career development plan (such as an IDP) that incorporates core competencies, education, training, experience and continuous learning requirements.

b.      Improving their core acquisition, functional, and leadership competencies throughout their careers through education, training, and experience.

.Attaining and remaining current in core competencies, education, training, experience and continuous learning requirements, as reflected in their career plan and as appropriate.

c.       Ensuring that education, training, and skills currency requirements is accurately reflected in their personnel file, with approval by the supervisor, and in the Acquisition Career Management Information System (ACMIS).

E. Acquisition Career Management Information System (ACMIS)

In accordance with Section 37(d) of the OFPP Act, as amended, (41 U.S.C. 433(d)) each executive agency must collect, maintain and utilize information to ensure effective management of the acquisition workforce.  ACMIS will be used to track acquisition personnel training and determination of equivalencies.  OAs are required to have complete, current records (e.g., warrant, education, training, certification, and skills currency information) in ACMIS for all acquisition workforce personnel.  The employee is responsible for initiating any action to modify his or her records in ACMIS.  The employee’s supervisor is responsible for approving the data entered.  Prior to deployment of the government-wide ACMIS, each OA is responsible for keeping adequate training, education and continuous learning records for members of the acquisition workforce.

F. OA Policy

If OAs choose to supplement this policy, the policy must be coordinated with the Office of the Senior Procurement Executive (OSPE). OAs must make their policies available to all affected employees in writing or electronically.

G. Performance Incentives

The DOT Acquisition Incentives Award Program, required under Clinger-Cohen, was established to link incentives to the measurable achievements of the acquisition workforce. Under this program, acquisition workforce members can be encouraged and rewarded for accomplishments that produce measurable improvements.

CHAPTER II
QUALIFICATION STANDARDS FOR THE

CONTRACTING CAREER FIELD

A. Background

The Contracting career field includes the positions of contract negotiator, contract specialist, contract termination specialist, contract administrator, procurement analyst, administrative contracting officer, procuring contracting officer, contract price and/or cost analyst, contracting officer, and termination contracting officer.  As business advisors, contracting specialists create effective, efficient, and proper business arrangements, have a strategic focus on acquisition, and leverage federal spending to accomplish the mission of their respective Departments and agencies. 

Individuals develop, manage, supervise, or perform procedures involving the procurement of supplies and services; construction, research, and development; acquisition planning; cost and price analysis; solicitation and selection of sources; preparation, negotiation, and award of contracts; all phases of contract administration; and termination or closeout of contracts.  Within the limits of their delegated authority, individuals are required to have knowledge of the legislation, policies, regulations, and methods used in procurement and contracting as well as knowledge of business and industry practices, sources of supply, cost factors, cost and price analysis techniques, and general requirements characteristics.

B.  Qualification Standards for Contract Series (GS-1102)

The Clinger-Cohen Act, P.L. 104-106, gives the Administrator of OFPP responsibility for establishing GS-1102 employment qualification standards for acquisition workforce positions in non-DOD agencies.  One of the changes in the Office of Personnel Management (OPM) qualification standard for GS-1102 (Contract Specialist) is the implementation of a positive education requirement.  These requirements are as follows:

1.  Basic GS-1102 Qualification Standards for GS-5 through GS-12

1. 4-year course of study leading to a bachelor's degree with a major in any field; OR
2. At least 24 semester hours in any combination of the following fields: accounting, business, finance, law, contracts, purchasing, economics, industrial management, marketing, quantitative methods, or organization and management.  Appendix A of the Office of Management and Budget Federal Acquisition Certification in Contracting Program (OMB FAC-C) memo provides guidance on meeting the business course requirements for the GS-1102 Qualification Standard.

Exceptions:  Employees in GS-1102 positions will be considered to have met the standard for positions they occupied on January 1, 2000.  Employees who occupied GS-1102 positions at grades 5 through 12 will be considered to meet the basic requirements for other GS-1102 positions up to and including those classified at GS-12.  This includes positions at other agencies and promotions up through grade 12.  However, employees must meet specialized experience requirements when seeking another position.

2.  Basic GS-1102 Qualification Standards for GS-13 and Above

1. Completion of all mandatory training prescribed by the head of the agency for progression to GS-13 or higher level contracting position, including at least 4-years experience in contracting related positions.  At least 1 year of that experience must have been specialized experience at or equivalent to work at the next lower level of the position, and must have provided the knowledge, skills, and abilities to perform successfully the work of the position

AND

b.    A 4 year course of study leading to a bachelor’s degree, that included or was supplemented by at least 24 semester hours in any combination of the following fields:  accounting, business, finance, law, contracts, purchasing, economics, industrial management, marketing, quantitative methods, or organization and management.  Appendix A of the OMB FAC-C memo provides guidance on meeting the business course requirements for the GS-1102 Qualification Standard.

Exceptions: Employees in GS-1102 positions will be considered to have met the standard for positions they occupied on January 1, 2000. This also applies to positions at the same grade in the same agency or other agencies if the specialized experience requirements are met. However, they will have to meet the basic requirements and specialized experience requirements in order to qualify for promotion to a higher grade, unless granted a waiver under Paragraph 3.

3.  GS-1102 Position Waivers 

Normally, individuals must meet education and experience requirements established in the OPM 1102 qualification standard at the appropriate level before being assigned to an acquisition position at that level.  Unless previously certified, all personnel appointed, promoted, assigned, reassigned, or detailed in excess of 120 days to an acquisition position shall be reviewed for certification within 30 days of the effective date of the action.  In cases where the potential assignee does not meet the certification standards, the OA has 24 months after assignment to qualify the individual to meet the standards or to process a waiver.

Position waivers will be processed in accordance with the OPM 1102 qualification standard.  The SPE is authorized to waive any or all of the qualification standard requirements for GS-13s and above.  This waiver authorization may not be further delegated.  GS-12s and below must meet the qualification standard for their grade level when applying for a new position.  The SPE must certify that the applicant possesses significant potential for advancement to levels of greater responsibility and authority, based on demonstrated analytical and decision making capabilities, job performance, and qualifying experience. All requests for waivers must be endorsed by the HCA prior to being forwarded to the SPE. The selecting official and the HCA shall use the qualification standard waiver form in Appendix A to request a waiver. The employee’s personnel record and their record in ACMIS shall be modified to reflect that the employee has a waiver to the education requirement for that particular position.

The human resource specialist makes initial qualification determinations. However, the involvement of subject matter experts may be necessary to determine which courses satisfy the 24-semester credit hours requirement. The HCA (or designee) will serve as a subject matter expert, working with the ACM and the OA human resource specialist, reviewing transcripts to determine which courses satisfy the 24-semester credit hours requirement. Whenever it is not obvious from the course title or number that a course falls within one of the Appendix B business related disciplines, it may be necessary to review the course syllabus or other descriptive course information. If the OA human resource specialist and the HCA (or designee) cannot agree on which courses satisfy the 24-semester hours requirement, the matter will be referred to the SPE for resolution.

C. Tuition Assistance

OAs are strongly encouraged to budget for tuition assistance to help their employees in acquisition positions meet the positive education requirement, including a full-time course of study leading to a degree, in accordance with 5 U.S.C. 4107.

D. CLEP and DANTES Examinations and the American Council on Education

College credit may be obtained through the College-Level Examination Program (CLEP) or through Defense Activity for Non-Traditional Education Support (DANTES) Program. These credits must be awarded by an accredited college or university to be considered as credit toward the degree requirement or the 24-semester hour requirement. The following website has information on CLEP exams: http://www.collegeboard.com/. The following website offers information bulletins on DANTES: http://www.dantes.doded.mil/.

Students may also be eligible to receive college credit through a national program sponsored by the American Council on Education (ACE). ACE’s purpose is to help people obtain academic credit for learning they have acquired outside of colleges and universities. ACE evaluates and makes credit recommendations for formal education programs and courses sponsored by non-collegiate organizations. These credits must be awarded by an accredited college or university to be considered as credit toward the degree requirement or the 24-semester hour requirement. Some of the classes offered by the Defense Acquisition University (DAU) are ACE certified. The ACE advisory service can be reached on (202) 939-9470.  The website address is: http://www.acenet.edu.

CHAPTER III

CERTIFICATION AND TRAINING REQUIREMENTS

A. Background

The development of a highly-qualified, well-trained workforce is critical to ensuring that DOT accomplishes its mission goals.   Investment in the development of the acquisition workforce will improve the ability to meet mission needs and continue being effective stewards of taxpayer dollars.  In addition to the implementation of federal acquisition certification programs, DOT has established an Acquisition Certification Program for individuals performing simplified acquisitions. 

B.  Federal Acquisition Certifications

OFPP’s vision for the federal acquisition workforce is the development of common certification programs that generally reflect a government-wide standard for education, training, and experience leading to the fulfillment of core competencies in a variety of acquisition-related disciplines.   To promote the development of core acquisition competencies government-wide and to facilitate employee mobility, FAI, in consultation with OPM, will develop federal acquisition certification programs that shall be accepted by, at a minimum, all civilian executive agencies.  These certifications will generally serve as one means to demonstrate that an employee meets the core education, training, and experience requirements, as appropriate, for that acquisition-related discipline (e.g., contracting, program management, etc.).

       1.  Federal Acquisition Certification in Contracting (FAC-C)

OFPP Policy Letter 05-01 established a requirement for federal acquisition certification programs.  Section 8(b) of this Letter required the Federal Acquisition Institute (FAI) to develop, and the Chief Acquisition Officers Council (CAOC) to approve, a Federal Acquisition Certification in Contracting (FAC-C) program.  The FAC-C Program was approved by the CAOC in December 2005.  The goal of the certification program is to standardize the education, training, and experience requirements for contracting professionals in civilian agencies, which will improve workforce competencies and increase career opportunities.  The program mirrors, as closely as possible, the requirements that the Department of Defense established for its contracting workforce under the Defense Acquisition Workforce Improvement Act (DAWIA).  The certification will be accepted by, at minimum, all civilian agencies as evidence that an employee meets the core education, training, and experience requirements to be a contracting professional (generally the GS-1102 series).

Members of the workforce issued new Contracting Officer (CO) warrants on or after January 1, 2007, regardless of GS series must be certified at an appropriate level to support their warrant obligations.  New CO warrants are defined in Policy Letter 05-01 as warrants issued to employees for the first time at a department or agency.  All COs, regardless of job series and GS-1102s must meet the requirements stated in this policy not later than September 30, 2009.  This requirement does not apply to:

·      Senior level officials responsible for delegating procurement authority;

·      Contracting Officers whose warrants are generally used to procure emergency goods and services; or

·      Contracting Officers whose warrants are so limited as to be outside the scope of this program, as determined by the CAO

The certification program is available to all members of the federal acquisition workforce.  The priority for DOT implementation is as follows:

·      All warranted COs in the GS-1102 Contracting Series;

·      All warranted COs regardless of GS series with authority to obligate funds above the micro-purchase threshold;

·      Other GS-1102s;

·      Other eligible individuals.

a. FAC-C Requirements for Education, Training and Experience

Achievement of the FAC-C is based on three requirements:  education, training, and experience and the requirements are cumulative, (i.e., a person must meet the requirements of each previous certification level).  The FAC-C requirements do not change the education requirements in the OPM Qualification Standard for GS-1102 (Contract Specialist).  Maintenance of a FAC-C is a function of continuous learning, which is addressed in Chapter V.  Federal certification levels are directly associated with warrant limits established in DOT’s warrant policy (See Chapter IV). 

Current information on certification requirements and courses is available online at www.fai.gov.

b. Ways to Meet FAC-C Requirements

The education, training, and experience standards for certification are usually met in traditional ways.  However, there are alternate means of satisfying the standards, as follows:

    (1) Education and Experience Exception (Grandfathering)

Individuals in GS-1102 positions will be considered to have met the education and experience standards for the positions they occupied on January 1, 2000.  This also applies to positions at the same grade level in the same agency or other agencies if the specialized experience requirements are met. 

    (2) Training

(a) Completion.  In order to become FAC-C certified, every acquisition professional must document satisfactory completion (training certificates and/or school transcripts) of core training classes (DAU/FAI training, DAU/FAI-equivalent courses or fulfillment.)  The core training classes identify sets of professional business and technical competencies that are essential for effectively performing Contracting duties.  These competencies are the foundation for all Contracting-related work and are the focus for training and development to help manage individuals' acquisition careers.  Training requirements are cumulative, so all training requirements for lower level certifications must also be met.  When the training curriculum is modified, FAI will publish a list of predecessor classes that will allow an individual to associate past training with new requirements.  A full list of the currently core (required) courses and their predecessor courses is available on www.dau.mil/catalog and www.fai.gov.  See the list of approved equivalent training courses. 

(b) Fulfillment.  Fulfillment is the process by which acquisition workforce members may satisfy mandatory training requirements based on alternative training, previous experience, education,  certification by another recognized organization, or other developmental activities.  The FAC-C fulfillment process will follow the fulfillment process for DOD agencies so that the DAWIA certification and FAC-C programs are closely aligned: 

Individuals must submit evidence to their supervisor as to how the required competencies for a particular certification level were attained.

Supervisors must review the evidence and agree that the individual meets the competencies.  Appendix C provides course competencies for contracting classes.  Individuals must meet all the competencies for a course to satisfy the requirement for that course. 

·      Alternative training:  In order for an individual to be certified based on competencies obtained through courses that were not DAU/FAI or DAU-equivalent, the individual must provide for each competency the dates of training, course descriptions, provider names, and competencies achieved. 

·      Experience:  If the individual is using job experience, he or she must provide the agency name, dates, location, position title, and the duties performed that provided the relevant competencies.

·      Education:  If the individual obtained competencies through academic courses provided at an accredited institution, he or she must provide the dates of each class, course descriptions, provider names, and competencies achieved.

·      Certification by a recognized organization:  Acquisition certifications by organizations outside the federal government are eligible for full or partial consideration under the DAWIA and FAC-C programs.      

(c) Electives.  Electives may be any training opportunity related to the employee's job or necessary for career development or for cross training.  Electives may include no cost distance learning or other training opportunities, inclusive of assignment-specific courses.  Employees are encouraged to take courses that add to their knowledge base or enhance existing skills; electives should generally be increasingly more complex throughout an employee’s career progression.  There are no DAU equivalency requirements for electives.

(d) The following provides general guidelines OAs may wish to use in prioritizing training needs.

·      To obtain a Contracting Officer’s Warrant.

·      To obtain certification at the employee’s current grade level.

·      To be eligible for certification when an employee is in a career ladder position (e.g., a GS-05 to a GS-09 career ladder).

·      To become eligible for the next higher career level (outside the employees current career ladder).

·      Other employees who may not immediately be required to obtain training, but who are involved in the acquisition process (e.g., COTRs).

2.  DAWIA Certification

Individuals who have attained a Defense Acquisition Workforce Improvement Act (DAWIA) certification at any time during their careers are eligible for a FAC-C at the same certification level provided that continuous learning requirements have been maintained and can be documented.  The employee is responsible for providing the necessary documentation of the DAWIA certification and the appropriate continuous learning history to ensure validity and currency of the DAWIA certification.

3.  Federal Acquisition Certification – Program and Project Managers

Program and Project Managers identified by the SPE as part of DOT’s acquisition workforce and subject to the Policy Letter 05-01 will be included in ACMIS not later than July 1, 2007 so that workforce data may be captured for future training and development planning.

Certification and training requirements for individuals designated as Acquisition Program and Project Managers will be implemented upon CAOC approval of FAI recommended certification program policies.

4.  Federal Acquisition Certification – Other Acquisition-Related Functions

Certification requirements for other acquisition-related functions will be implemented upon CAOC approval of FAI recommended certification program policies. 

C.  DOT Simplified Acquisition Certification Program

The DOT Simplified Acquisition Certification Program is available to all purchasing (GS-1105) and non-1102 personnel exercising authority limited to actions at or below the simplified acquisition threshold.  While the Program consists of three components: education, training, and experience, achievement of a DOT Simplified Acquisition Certificate is based ONLY on mandatory training and experience requirements.  The DOT Simplified Acquisition Certificate is issued as a Level I or II with each level having its own requirements for issuance.  This certification is not transferable to other agencies; however, it is evidence that an employee meets the established core education, training, and experience requirements to be a contracting professional exercising simplified acquisition authority.

Maintenance of a DOT Simplified Acquisition Certificate is a function of continuous learning, which is addressed in Chapter V.  Simplified Acquisition certification levels are directly associated with warrant limits established for GS-1105/Non-1102s.

Education, training, and experience requirements for DOT Simplified Acquisition certification are as follows:

D.  Contracting Officer Technical Representative (COTR) Certification and Training Requirements

Contracting Officer's Technical Representatives (COTRs) serve the federal government as business leaders, helping to ensure government-contractor business relationships are mutually beneficial and provide exactly those products and services the government needs.  Training requirements for individuals designated as Contracting Officer Technical Representatives (COTRs) are included in Appendices D and E.

E.  Certification Application Process

1.  Federal Acquisition Certification 

a.       Individuals meeting the federal acquisition certification requirements may apply for certification through their immediate supervisor using the appropriate checklist/application in Appendix A.  The individual is responsible for producing certificates, transcripts, and records that provide evidence that he or she satisfies the requirements for the program.  The supervisor should take this opportunity to assess the skills and competencies of the employee and develop a plan for enhancing or adding to the employee’s competencies, if appropriate. 

b.      Approval Level – The immediate supervisor must review and validate each application for certification prior to submission to the Chief of the Contracting Office (COCO) for endorsement.  Final approval and certification decision will be made by the SPE (or designee).   

c.       Once approved, the SPE (or designee) will provide a certificate indicating the achieved level of government-wide standards.

2.  DOT Simplified Acquisition Training Certification

a.       Individuals meeting the DOT Simplified Acquisition Certification requirements may apply for certification through their immediate supervisor using the certification application in Appendix A.  This certification will be recognized DOT-wide to mean that the employee has met all the training and experience requirements for that level.

b.      Approval Level – The SPE hereby delegates the DOT Simplified Acquisition Certification approval to the HCA, with the authority to redelegate to a level no lower than the COCO.

c.       The OSPE will provide a DOT Acquisition Certificate indicating the achieved level of acquisition training.

G.  Certification Waivers

The SPE (or designee) may waive the requirement for obtaining a certification on a case-by-case basis.  A certification waiver allows a person who does not meet the certification requirements of the position to remain in that position.  This is an assignment waiver and is only valid for the particular position to which assigned.  Certification waivers are not transferable to another agency.  Further, a certification waiver does not negate the responsibility of management and the employee to continue to pursue certification.

H.  Changes to Certification Requirements

Once acquisition workforce members are certified, they remain certified even if the certification requirements change.  However, acquisition workforce members are encouraged to complete any new certification requirements.

I.  Individual Development Plan

Planning is essential for successful career development.  Acquisition Workforce members, in coordination with their supervisors, should prepare an individual/career development plan.  Plans should identify both short range and long range career goals. An Acquisition Workforce member’s individual/career development plan should outline how they will accomplish the education, training, and developmental activities needed to achieve their career goals and objectives.  The IDP should include as a minimum:

·      Short term (1 year) and long term (5 year) career goals and objectives;

·      Mandatory scheduled core and desired/elective courses;

·      Rotational, detail, and on-the-job assignments, as appropriate;

·      Other professional development and mentoring assignments, if applicable; and

·      Continuing training in procurement “current events and issues,” etc.

Individuals who have not yet been certified for the positions they hold are expected to focus their development plans on completing the mandatory education and training requirements for certification and identifying and participating in on-the-job learning activities to practice and broaden their skills.

The IDP should be reviewed and updated jointly every six months to reflect completed training and work assignments and changing needs of the individual. Involvement in other developmental activities should be noted.  This can be done in conjunction with the mid-term review of the employees' Performance Plan.

J.  Data Entry

Once the certification information has been approved by the cognizant official, the ACM will enter the data into ACMIS within 45 days of approval. 

K.  Quota Management

FAI is the training provider of choice. While this arrangement does not preclude OAs from using alternative training providers, OAs are strongly encouraged to use FAI in order to maximize their employees’ career potential.  The Office of the Senior Procurement Executive (OSPE) manages the quotas received from FAI.

L.  Training Waivers

In accordance with the OPM GS-1102 qualification standard, the SPE has the authority to waive any or all of the training requirements as a condition of hiring.  However, rather than issue specific training waivers, the SPE has granted OAs the flexibility to promote and hire individuals who do not meet the mandatory training requirements, providing that the OA qualifies the employee to meet the mandatory certification standards of the prior grade level, within 24 months of the personnel action.  If the employee has not completed the CON courses or fulfilled the applicable competencies, the employee must either complete the training or fulfill all competencies of the training within 24 months of being promoted or hired.

M.  Rotational Assignments

Rotational assignments and other developmental activities are ways to supplement the knowledge acquired in classroom training and provide an opportunity to apply newly acquired skills.  OAs are strongly encouraged to participate in rotational assignment programs within DOT and outside of the department. 

·         OAs and OST are urged to offer rotational assignments to others and to support their own employees in their pursuit of an appropriate rotational assignment.

·         OAs and OST shall give detailees appropriate credit toward the 80 continuous learning points of skills currency, as negotiated prior to the commencement of the assignment and included in the assignment agreement.

·         Detailees are expected to excel in their assignments, but the emphasis should be on their learning new skills and being introduced to new organizations.  Informal performance evaluation should be sufficient, but formal performance evaluation feedback may be given if the assignment exceeds 120 days and/or it is otherwise deemed appropriate. Performance evaluation requirements should be articulated in the rotational assignment agreement.

CHAPTER IV

CONTRACTING OFFICER WARRANT PROGRAM

A.  Background

The Federal Acquisition Regulation (FAR) 1.603 sets forth requirements for the selection, appointment, and termination of Contracting Officers.  The Department of Transportation (DOT) Acquisition Regulation (TAR) and Acquisition Manual (TAM) implement and supplements the FAR with policies specific to the Department of Transportation. 

The purpose of the Contracting Officer Warrant Program (COWP) is to establish Department wide standards, which an employee must meet before the individual can be appointed as a Contracting Officer. The Department of Transportation is committed to ensuring that only fully qualified employees are delegated the authority to obligate the Department in the expenditure of public funds through the acquisition system. 

B.  Effective Date

All new warrants must be issued in accordance with the procedures stated in this policy.  To allow for a smooth transition, properly maintained warrants (e.g., mandatory training completed for current level) issued under the old warrant system may remain valid only at the current level.  All individuals with warrants must meet the requirements stated in this policy not later than September 30, 2009.  

C.  Policy

TAM Chapter 1201.603 states that the Head of the Contracting Activity (HCA) is authorized to select, appoint, and terminate the appointment of Contracting Officers (COs).  Each HCA is ultimately responsible for the proper use of warrants and implementation of the COWP within their respective Operating Administration (OA).  They shall take actions deemed necessary to ensure the integrity of the warrant program within their agency and advise the Senior Procurement Executive (SPE) of significant problems, if any, encountered in the execution of this authority. 

HCAs may delegate the Chief of the Contracting Office (COCO) the authority to appoint qualified individuals as COs within their organization.  HCAs may also authorize COCOs to appoint individuals outside of their organization, as deemed necessary.  The SPE will delegate contracting authority to individuals designated as Emergency Response and Recovery (ERR) professionals.  All delegated authorities must be included in the Certificate of Appointment issued per paragraph L of this policy. 

OAs must comply with the policies and procedures contained herein or develop a supplemental process whereby the HCA or his/her designee can select and appoint Contracting Officers.  Each OA may set standards which are more, but not less strict than those contained in this policy. Similarly, maximum authority levels specified in this policy may be further restricted by the HCA or his/her designee.

If OAs choose to supplement this policy with a formal process, the process must be coordinated with the Office of the Senior Procurement Executive (OSPE).  OAs shall make their policies available to all affected employees in writing or electronically.

D.  Applicability

The requirements of the COWP apply to:

·        All individuals nominated to be Contracting Officers and all individuals currently serving as Contracting Officers within DOT

E.  Exemptions

·        Purchase Card transactions made in conjunction with a Delegation of Procurement Authority for the issuance of Government purchase cards are covered under TAM Chapter 1213, Appendix B, “Department of Transportation Purchase/Credit Card Program.”

·        Standard Form 182, (Request, Authorization, Agreement and Certification of Training).  Delegations of Procurement Authority for the acquisition of training services are covered under TAM Chapter 1213, Appendix C, “Department of Transportation Procedures for Acquiring Training Services.”

F.  Need for Procurement Authority

Before deciding to delegate warrant authority, the Appointing Official shall consider the following criteria:

1.  There must be a demonstrated need for the procurement authority requested. Demonstrated need remains the most important criteria for delegating warrant authority.

2.  The individual selected must meet the qualifications for the authority requested.

3.  Other factors for consideration by the Appointing Official may include the Procurement Organization’s structure, the total volume of their contractual actions, the complexity and dollar value of the work involved, and the aggregate value of the anticipated procurements the individual will be processing.

NOTE:  Qualification of the individual without a demonstrated need for the authority is not sufficient reason to grant a Contracting Officer warrant. 

G.  Qualification Standards - Warranted Contracting Officers

In order to qualify to serve in an acquisition position as a Contracting Officer with authority to award or administer contracts valued above the micro-purchase threshold, a person must meet the FAC-C requirements for education, training and experience at an appropriate level to support their warrant obligations.

H.  Contracting Officer Warrant Levels

The DOT Contracting Officer Warrant Program consists of three warrant levels which apply to contracts and federal financial assistance.  These levels are aligned with FAC-C requirements. OA’s are allowed flexibility in their appointment process as long as the dollar thresholds are within the values noted in the Chapter IV Contracting Career Path chart.

I.  Waivers to Warrant Standards

Only employees that clearly meet the minimum standards established in this policy should be appointed Contracting Officers.

Under exceptional circumstances, an unusual need may dictate issuance of a warrant to an employee who does not meet these standards.  In those rare circumstances where it is necessary to nominate a candidate who does not fully meet the warrant standards outlined in paragraph G, a written warrant waiver request must be submitted for approval of the SPE.  This waiver authority may not be delegated and is not transferable to another agency. 

The waiver will be conditional and clearly identify its duration and any requirements the individual must meet.  All requests for a warrant waiver shall be made using the form noted in Appendix A.  Each request must include the following documentation:

·        Current training record;

·        Evidence of  Certification at the appropriate level; and

·        Individual Development Plan (IDP), if applicable, outlining specific actions to be taken to meet warrant requirements.

Written approval/disapproval of waiver requests will be forwarded to the HCA within ten (10) business days after submission to the SPE.

J.  Purchasing (GS-1105) and Non-1102 Warrant Levels

Warrant levels/authority for purchasing and non-1102 (any classification series) personnel performing simplified acquisitions on a full-time, collateral, or part-time basis are aligned with DOT’s Acquisition Certification guidelines.  OA’s are allowed flexibility in their appointment process as long as the dollar thresholds are within the values noted in the table below.

To serve in an acquisition position with authority to award or administer actions valued above the micro-purchase threshold up to the simplified acquisition threshold and actions up to the limits established in FAR 12.203 when using commercial item procedures, a person must meet the following requirements:

While there is no positive education requirement for individuals performing simplified acquisitions, for career development and progression, individuals are encouraged to pursue a Bachelor’s degree or 24 semester hours in business or a business-related field.

K.  Contracting Officer Responsibilities

·         Contracting Officers must be warranted to obligate the Government.

·        Contracting Officers may not exceed the scope of their authority stated on their warrant.

·        Contracting Officers may appoint a Contracting Officer’s Technical Representative (COTR) or other subject matter expert(s) to represent the technical or administrative interests of the contract, etc. on their behalf, pursuant to requirements of the DOT Acquisition Career Development Policy, Appendix D, “Contracting Officer’s Technical Representative (COTR) Training Standards.”

·        Contracting Officers may not further delegate their warrant authority.  They shall not “sign for” or over the name of another Contracting Officer at a level exceeding the limitations stated on his/her individual warrant.

L.  Procedures for Obtaining Warrants

The Contracting Officer’s Warrant Application form noted in Appendix A shall be used for requesting warrants.  The request for a warrant is submitted through the individual’s immediate supervisor to the COCO.  For ERR professionals, the request for a warrant is submitted through the individual’s immediate supervisor and COCO for endorsement prior to submission to the SPE.

It is the responsibility of the nominee’s supervisor to forward the warrant nomination package and ensure that the nominee meets the certification requirements commensurate with the proposed warrant threshold.

The COCO reviews the request and the supporting documentation for completeness, evaluates the applicant’s acquisition experience, training, evidence of certification, and signs the request and Certificate of Appointment.  The certificate (warrant), SF 1402, is issued to the individual applicant stating the warrant number, the level of warrant authority, and any other applicable restrictions, including whether the warrant authority is based on the aggregate value of the acquisition or single obligation authority.  The contracting officer shall display the warrant in an easily seen location.

M.  Warrant Authority Increases

Before any increase in an individual’s warrant authority, the reason for the increase (e.g., an increase in the number of contract actions, complexity of requisitions, or other operational necessity) must be documented.  Any change in the dollar value or scope of an individual’s warrant requires the issuance of a new warrant and cancellation of the old.

N.  Continuous Learning and Skills Currency (Maintenance)

To maintain the warrant authority, individuals must maintain their appropriate federal acquisition certification (FAC-C) level as addressed in Chapter V. 

O.  Termination/Revocation of Warrants

Warrants may be terminated or revoked at any time at the discretion of the SPE, HCA or his/her designee (not lower than the COCO).  Typical reasons for terminating warrants are that the need for the warrant no longer exists, maintenance training/certification requirements have not been met, or that the warrant holder has retired or transferred to another Government agency. Warrants may be revoked when there is evidence of misconduct, unethical behavior, or blatant disregard for procurement regulations. 

Cancellation/revocation of any warrant shall be done in writing by the HCA or his/her designee.  OAs may adapt the form in Appendix A for use in requesting warrant terminations.  

Upon notification of the termination, the original Certificate of Appointment (SF 1402) shall be annotated as “terminated” and include the reasons for the termination.  Originals of the terminated SF 1402 shall be retained in the OA’s centralized warrant interim record system (see paragraph P below). 

P.  Review

The Appointing Official must perform a review of all warrants issued to determine if contracting officers have maintained professional proficiency and otherwise remain qualified and to validate the continued need for the warrant.  Purchasing (GS-1105) and non-1102 warrants should be reviewed at least every two years.  Contracting Level I and II warrants must be reviewed at least annually.   Contracting Level III warrants should be reviewed at least every two years.  Warrant authority shall be terminated or reduced in scope, when appropriate.

Q.  Interim Record System

Until implementation of a Government-wide acquisition career management information system, each OA shall be responsible for maintaining a centralized record system to track the following data: (1) the names of warranted procurement personnel, (2) the level of each person’s warrant, (3) the FAC-C level of each warranted person, and (4) the number of continuous learning points the person has achieved.  Copies of appointment documents and the status of each warrant should also be included in the record system.  Once the acquisition management information system is deployed, it will be the official system of record to track the required information.

CHAPTER V

CONTINUOUS LEARNING AND SKILLS CURRENCY

To maintain a federal or DOT acquisition certification and warrant level, acquisition professionals are required to earn 80 continuous learning (CL) points of skills currency training every two years.  Continuous learning augments the minimum education, training, and experience standards for acquisition career fields.  Participating in continuous learning will enhance the acquisition workforce by helping members:

·      Stay current in acquisition functional areas, acquisition and emerging acquisition policy;

·      Complete mandatory and assignment-specific training required for higher level of federal acquisition certification;

·      Complete “desired” training the contracting career field

·      Cross-train to become familiar with, or certified in, multiple acquisition career fields;

·      Learn by experience; and

·      Develop leadership and management skills

Supervisors play a key role in continuous learning.  They will ensure, within organizational workload and funding constraints, that individuals are provided duty time for planned continuous learning activities.  They must also ensure that any Individual Developmental Plans prepared for their personnel include opportunities for participating in continuous learning activities.  COCOs shall monitor and ensure workforce members’ records are documented for completion of continuous learning requirements for employees holding a FAC-C or DOT Acquisition Certificate. 

A FAC-C will expire if the 80 CL points are not earned every two years.  The HCA, or other appropriate appointing official (e.g. COCO), must revoke or modify a warrant if this condition is not met.  If a warrant is revoked or modified, written notification must be provided to the affected employee in a timely manner indicating the effective date and sufficient instruction to ensure that no unauthorized obligations are made.

Skills currency activities may include, but are not limited to agency sponsored training, rotational assignments, special job and/or professional association related projects, and/or participation in seminars/workshops, or other appropriate developmental activity. All activities must be job-related.  Supervisors should work with employees to identify appropriate skills currency activities. 

The value of the activities for credit purposes is at the discretion of the supervisor.  Appendix B of the FAC-C Memo provides guidance on meeting continuous learning to aid in this process.  Concerns of employees or disputes will be addressed to the ACM for resolution.

FAI Online and the DAU Continuous Learning Center (CLC) offers online, self-paced modules to help acquisition workforce members meet continuous learning requirements.  DAU continually develops and adds new offerings to the CLC.  Visit http://clc.dau.mil to complete one of the more than 90 modules.  Appropriate web-based courses may also be available through DOT’s Enterprise Learning Management System (eLMS) at https://elms.dot.gov/learner/login.jsp.

CHAPTER VI

COMPETENCIES AND CAREER PATHS

A. Background

Acquisition reforms, technology-driven changes in work processes and communication, competition for acquisition work, and the focus on leveraging acquisition to achieve mission-relevant outcomes are driving new ways of doing business in the federal government. Historically, agencies and acquisition professionals have approached procurement and contracting from a process-based perspective. Then, legislation was enacted that affected the nature of tasks performed by the acquisition workforce. The 1993 Government Performance and Results Act, (GPRA), the 1994 Federal Acquisition Streamlining Act (FASA), and the 1996 Clinger-Cohen Act, moved the government toward acquiring services and products against established performance measures and outcomes.

Today, acquisition professionals are responsible for the entire business cycle, from using relevant marketplace knowledge to inform strategy and planning activities to managing contractor performance and maintaining useful business relationships into the future. Successful acquisitions now require a fresh, results-oriented view of the process with acquisition professionals serving as business advisors to their respective agency stakeholders.  A key guiding principle for any acquisition professional is to develop a sound business solution that links short-term and long-term goals.

The transformation from a process-based view of contracting and procurement to a results-oriented view requires new standards of performance within the acquisition community, which, in turn, require new skills and knowledge to be held by individual contributors.  FAI has identified and validated professional business and technical competencies that are central to the acquisition workforce.  At the heart of the acquisition career model are nine core capabilities:

·             Develop, negotiate and manage business deals

·             Communicate effectively

·             Manage and lead change

·             Solve problems in an ambiguous environment

·             Analyze and understand the marketplace

·             Build and manage relationships across functions and organizations

·             Understand and effectively operate in the customer environment

·             Develop and implement outcome oriented solutions

·             Execute

These competencies combine knowledge, skills, and abilities with behavior and other characteristics needed to successfully accomplish assignments in an acquisition environment.  Professional business competencies apply to a broad range of situations encountered while performing acquisition tasks.  In contrast, technical competencies are more targeted in nature, relating to more unique facets of acquisition roles.  The following tables summarize the essential professional business and technical competencies for the Contracting series.

Professional Business Competencies

Technical Competencies (by acquisition phase)

Technical Competencies (for specific application)

The remaining three competencies are important for more specific Contract Specialist functions.

B. Career Paths

Normal pathways for career progression include both vertical and lateral movement. Lateral movement within and between career fields is highly encouraged, primarily at the intermediate level, to broaden the experience base of the individual.  This can be done through rotational assignments.

Multi-specialty experience for most upper-level positions is desirable and is particularly important for those who strive for senior level and other key acquisition positions.  To obtain this experience, the individual should strive to get work assignments and training in more than one of the functional areas of acquisition.

In addition to multi-specialty experience, a mixture of operational and staff experience will strengthen an individual’s competitive position when seeking high-level positions in acquisition career fields.  The OAs are encouraged to provide multi-specialty experience through structured programs.

Typical career paths are shown in the Contracting Career Paths chart listed at the end of this chapter.  The career paths are identified in terms of the education, training, and experience necessary for career progression to the most senior acquisition positions. 

The paths are necessarily generic and shall be used as a guide for planning individual career development activities.  Assignments should be made based on the FAI government-wide competencies.  The incorporation of competencies specific to the acquisition workforce focuses all parties on the acquisition professional's central “business advisor” role.  By reinforcing the need for business acumen, customer service, flexibility, leadership, and integrity through competencies, the adoption of a results-oriented approach to acquisition and the attainment of business goals can be more easily accomplished

The following can be used as a guide to determine career path development:

Level I (Entry)

The entry level in the career path is designed to establish basic competency in the acquisition field.  Development at the entry level lays the foundation for career progression and is designed to prepare qualified and motivated personnel for positions of increasing responsibility.

At the entry level, individuals should be exposed to fundamental acquisition procedures and the roles of various support functions such as pricing, property administration, quality assurance, etc.  Individuals are expected to complete all educational, training, and experience requirements.  Rotational assignments through structured on-the-job assignments among a variety of functional offices are extremely beneficial and will help to establish a more results-oriented acquisition professional.

Level II (Intermediate)

At the intermediate level, specialization is emphasized.  Development continues, including on-the-job rotational assignments, but the length of time an individual spends in each position generally increases.

While specialization is emphasized at the beginning of this level, the individual should later begin to broaden his or her background toward a more general expertise in the overall processes of his or her career field.  Development of the generalist normally involves establishing a good foundation of experience in the employee's primary specialty followed by lateral movement to a related specialty.

Level III (Advanced)

By the time an individual reaches the senior levels of acquisition, he or she should have completed all the mandatory training and education requirements (or equivalents) leading up to that level, and should have advanced through a career pattern that has given him or her in-depth knowledge in his or her functional areas and breadth of knowledge across the entire acquisition process.

Advanced acquisition education and training become imperative for a more global perspective.  The lower level standards and courses form the basis for the next progressively higher levels of acquisition career development. The requirements are cumulative.  Standards for a lower level must be met before progressing to the next higher level. For example, all Level I core courses and required activities must be completed before an individual at the GS-7 level can progress to GS-09 at Level II.

Contracting Career Paths

The below chart defines the career paths for the contracting series and incorporates the OPM Qualification Standard for GS-1102 (Contract Specialist), Federal Acquisition Certification in Contracting (FAC-C) and Department-wide warrant requirements.  Grades used here are typical and should not imply a direct correlation with timing for promotion or completing the experience, education, and training standards.