1 Code 210 Training Forum May 14, 2008 Agenda I.Welcome/Introduction II.ISO General Principles III.ISO Basics for Code 210 IV.Upcoming ISO Audits V.Code 210 Self-Assessment Summary VI.Wrap-up

2 Code 210 Training Forum May 14, 2008 Applicable Procurement Documents in GDMS Directly Applicable (Procurement has Primary Responsibility): GPR F – Procurement GPR B – Supplier Performance Evaluations 210-WI C – Bank of America Mastercard Credit Card Procurement Cardholder Procedure 210-WI – Contract Closeout Procedures Related (Procurement has Supporting Role): GPR F – Quality Assurance Letter of Delegation GPR D – Supplier Quality Audits

3 Code 210 Training Forum May 14, 2008 Previous Audit Experience Previous audits have focused on: NF 1680’s, Supplier Performance Evaluations – are they in the file, up to date, and did you comply with the required process? Award fee process – are we complying with Performance Evaluation Plan, is there traceability from PEB events to FDO letter? Contractor Surveillance Plans – are we performing the actions stated in Plan? Is the Plan specific to the type of contract and nature of the work being performed? COTR Delegation Letters – are they up-to-date and accurately completed? Is COTR aware of his/her duties?

4 Code 210 Training Forum May 14, 2008 Previous Audit Experience (cont.) COTR Training – how do you ensure your COTR is qualified? Letters of Delegation for Contract Administration and Audit – are they up-to-date and accurate? DD 250’s/Acceptance of Deliverables – is there documentation in the file (as required by the contract) to indicate our acceptance of all deliverables? Is there evidence of corrective action in the event of non-conforming deliverables? NF 1098, Contract File Checklist – is it included in file as required, and up-to-date? Does the file contain all indicated documents?

5 Code 210 Training Forum May 14, 2008 General Audit Expectations All aspects of procurement process are subject to review, so any item in file could be questioned Having good documentation is important; auditors may ask to see evidence of follow-up on issues (e.g., for late or non- conforming deliverables) Knowing where our written procedures are located and how to access them is critical Official versions of our requirements (FAR, NFS, PIC’s, etc) are on-line; we do not rely on printed versions to contain latest guidance

6 Code 210 Training Forum May 14, 2008 Upcoming ISO Events Internal Audit May , 2008 Conducted by 2 to 3 on-site ISO personnel Will review Code 210 policies and procedures, and conduct limited review of contract files Preparation for Center-wide recertification audit Center Recertification Audit September 2008 (exact dates TBD) Conducted by team of outside, independent audit firm Procurement scheduled to be an area of emphasis Will review Code 210 policies and procedures, and may conduct more extensive contract file reviews We need to do our share to help the Center get recertified