United Slates Office of Policy,
Environmental Protection Planning, and Evaluation
Agency
OPPE
Work Assignment Manager
Manual
Printed on Recycled Paper
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This manual was prepared under EPA Contract Number
68-03-3450 under the guidance of the Office of
Policy, Planning, and Evaluation.
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Table of Contents
PAGE
Module 1: Work Assignment Preparation
Slepl: Planning the Task 1-1
Know OPPE Contracting Procedures 1-1
Develop Your Ideas Through Discussions with Others 1-1
Design a Gear Task Concept 1-2
Seek Preliminary Concept Approval 1-2
Why Action on Your Concept May Be Deferred 1-3
If Your Concept Is Approved for Immediate Action 1-3
Step 2: Developing the Work Assignment 1-3
Estimate Work Scope and Level of Effort 1-3
Schedule the Tasks for Realistic Completion
and Greatest Usefulness 1-5
Step 3: Writing the WorK Assignment 1-5
Start Generating Interest in Your Task Now 1-6
Module 2: Task Startup
Step 1: Work Plan Preparation 2-1
Why a Work Plan? 2-1
Hold a Preliminary Meeting 2-1
Reviewing and Analysing the Work Plan / ...2-2
Leave Room lor Change 2-3
Approve the Work Plan Officially 2-3
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Step 2: Task Kickoff 2-3
Start Building Team Spirit at Kickoff 2-3
Take a Leadership Role from the Outset 2-4
Module 3: Product Development and Review
Step 1: Product Planning 3-1
Define the Challenge During Product Scoping 3-1
Audience Assessment: Know Where Your Product Is Headed 3-2
Choose the Best Type of Product 3-2
Sizing up Products (table) 3-3
Planning Interim Dcliverables 3-6
Stay Flexible 3-7
Step 2: Product Review 3-7
Reviewing Written Drafts 3-7
Reviewing ADP Products 3-8
Reviewing A/V Materials 3-8
Reviewing Plans for Events 3-9
Getting Help with Review 3-9
Step 3: Feedback to the Contractor 3-9
Step 4: Seeking Product Utility within OPPE and
in Program Offices 3-10
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Module 4: Task Monitoring
Step 1: Staying in Touch 4-1
The Secret to No-Surprises Management --
Staying in Touch with Your Contractor 4-1
Selecting the Proper Monitoring Technique
Will Help Ensure That You Stay in Touch 4-1
Establishing a Communication Protocol for the Task 4-2
Responding to Contractor Concerns About the Task 4-3
Documenting Major Changes in Task Scope or Schedule 4-3
Do I Really Need to Talk to the Contractor Every Day? 4-3
Step 2: Record Keeping 4-4
What Records Should I Maintain to Provide
an Adequate "Paper Trail" of the Effort? 4-4
Step 3: Establishing an Early Warning System 4-5
Establish an Early Warning System to Alert
You to Potential Problems 4-5
Step 4: Troubleshooting 4-6
Take Clear, Decisive Action with Your
Contractor to Put the Task Back on Track 4-6
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Module 5: Negotiation, Communication, Ethics
Area 1: How to Negotiate with Contractors 5-1
Times When You May Be Negotiating with a Contractor 5-1
Develop a Negotiation Strategy 5-2
What 10 Do in a Negotiation Session 5-3
Area 2: Effective Communication Is the Key 5-4
Provide Contractors with Clear Instructions 5-4
Communicate Leadership 5-5
Get Tough Reasonably 5-6
Area 3: Ethics for EPA Work Assignment Managers
Who Manage Contractors 5-6
Gratuities 5-6
Tips of the Trade: Confrontational Language vs.
Constructive Language 5-7
Contractors' and EPA's Confidential Business Information 5-8
Maintaining Impartiality 5-8
Disclosure of Procurement Information 5-8
Area 4: Organizational Conflicts of Interest 5-8
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Module 6: Task Closeout and Utility of Results
Step 1: Confirm That the Contract Has Been Satisfied 6-1
Step 2: Make Sure Your Products and Results
Achieve Optimal Utility 6-1
Use a Briefing to Inform Staff about a Completed Task 6-2
Circulate Your Products for Maximum Utility 6-2
Step 3: Assess the Desirability of Followup Work 6-3
Step 4: Evaluate Your Contractor 6-3
Can I Impose Penalties for Unsatisfactory Work? 6-3
What about Commending Outstanding Work? 6-3
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INTRODUCTION:
WHY ANOTHER TRAINING COURSE
ON CONTRACTS?
This Work Assignment Manager training program
has been designed not just to help you administer a
contract, but to emphasi/.e the techniques that will
improve day-to-day management of the work. The
emphasis is on improving the work product, not the
procedural issues of contract management. The skills
stressed in this course will help you to:
Bring consistency to the way in which OPPE's
policy, analysis, and management contracts are
managed.
Get the most from your contractor: the best
product at a reasonable cost.
* Build your own personaJi/cd early warning system
that will keep tasks on track and ensure the desired
end product.
Anticipate problem projects and achieve superior
results through orderly monitoring and frequent
communication.
Develop an Office-wide contractor evaluation
system that is objective and accessible.
* Achieve maximum visibility and usefulness of
OPPE task results.
These skills will complement those taught in the
Procurement and Contracts Management Division's
Contracts Administration course.
BUT HAVEN'T YOU ALREADY
LEARNED ALL THIS THROUGH
EXPERIENCE?
Experience counts and many of you have it but to
varying extents. The course is targeted toward OPPE
Work Assignment Managers, and that audience is
extremely diverse. The training course has been
adapted from an OERR course. We hope you will
not notice because we have rewritten it specifically
for you, taking into account that youthe audi-
ence range from novices to seasoned veterans with
regard to contractor management. More experienced
managers may find some of the content elementary.
We ask your indulgence, for we have also tried to
incorporate good management advice that can help
even veterans polish their skills. This kind of
counselling bears repetition, for it can help all of us
understand and manage our contracts belter. In short,
if you manage tasks, or oversee their manangcmcnt,
there is something here for you.
YOU'RE A PRINCIPAL PLAYER:
MAYBE WITH MORE THAN
ONE ROLE
Several different roles are involved in contract
management. The Work Assignment Manager
should be aware of the aspects involved in each.
Indeed, you may wear more than one hat if you arc
managing tasks within OPPE.
A Work Assignment Manager is someone who
manages a contractor-supported task. You can he a
Branch Chief, a Program Analyst, Economist,
Biologist, Chemist, or an Environmental Protection
Specialist. The Work Assignment Manager is
responsible for supervising the progress of the
project, maintaining adequate project records,
preparing task amendments, reviewing and
approving work plans, and reviewing and approv-
ing the contractor's monthly charges. The Work
Assignment Manager is the main person respon-
sible for reviewing the substance of contractor
products.
The Project Officer is an administrator in OPPE:
there is one Project Officer for each of the OPPE
policy/analysis/management contracts. This person
oversees and coordinates all task under the
contract, ensuring that the contract is used effec-
tively, that proposed tasks are appropriate to scope,
. and that it is not charged beyond its ceiling. The
Project Officer also approves all work assignments.
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INTRODUCTION
work plans, staffing changes, and ddiverablcs,
and monitors progress using monthly reports from
the contractor which are passed on to Work
Assignment Managers.
The Contracting Officer is EPA's legal repre-
sentative sitting in PCMD, the Contracts Office.
This individual is the only person who has the
authority to sign contracts, obligate funds,
approve expenditures, modify contract terms, and
terminate contracts. Il is the Contracting Officer's
responsibility to ensure that all contracting
activities arc ethical and approvabtc under law and
rule. You cannot start a new task or expand the
scope or budget of a current one without the
approval of the Contracting Officer. Nor can you
substantially decrease the scope of an existing
Work Assignment without his/her approval.
The Contractor could be any one of the firms
currently performing support services for OPPE.
The contractor must respond to the Task
Manager's formally expressed needs with an
approach to the work, and must deliver the agreed
upon number of hours as well as satisfactory
products.
HOW IS THIS TRAINING MANUAL
DESIGNED?
The six modules that comprise this training arc
arranged in roughly sequential order:
Chapter 1: Work Assignment Preparation
Chapter 2: Task Startup
Chapter 3: Product Development and Review
Chapter 4: Task Monitoring
Chapter 5: Negotiation, Communication, and
Ethics
Chapter 6: Task Closcout and Utility of Results
However, it is impossible to arrange all the activities
that go on during the life of a task in an orderly,
linear way. The modules arc pieces of a pu/zle
called "Good Task Management." If you put all the
pieces together, you will have successful task
management. However, you must use your own
common sense and creativity to rcali/e how each
task is unique in order to assemble the pu/./lc pieces
skillfully.
The training manual is accompanied by a packet of
materials we call the Tool Box. The Tool Box
contains checklists and other materials designed to
case your management burdens by reminding you of
things you should do, outlining questions you should
ask, and providing you with sample rccordkccping
forms.
Throughout the manual, references lo the
Tool Box arc designated by the small tool
box symbol. Tool Box references made within a
given module arc summarized on the first page of
that module.
Certain other features appear regularly throughout
the manual. These arc:
How the strategics of each module support good
management.
Summary of the major points presented in each
module.
Summary of ihc results you should see at the
conclusion of each module.
Things to Remember, Tips of the Trade, and items
to Ask Yourself.
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1: WORK ASSIGNMENT PREPARATION
THIS MODULE COVERS:
Planning the Task: Develop a clear concept of the pro-
posed task through discussions with supervisor and peers.
21 Developing the Work Assignment: Identify scope,
schedule and deliverables for the task.
Writing the Work Assignment: How to clearly commu-
nicate your expectations to the contractor.
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vvut-m
IUIN
WHY IS THE DRAFTING OF THE
WORK ASSIGNMENT SO IMPORTANT
TO GOOD TASK MANAGEMENT?
During Work Assignment Preparation you:
Raise task concepts to senior managers for approval.
Their evaluation of contract-supported tasks for
consistency with Division and Office-wide plans,
schedules, budgets, and missions for current and
future years is essential to smooth operations.
Research the merit of your task concept and, in the
process, discover who has an interest in it, who is
doing related work, and how broad its impact might
be.
Develop an initial scope of work and level of effort
for the task; check to make sure that the proposed
task falls under the contract's denned scope of work.
Worksheet 1.1 - Plan for Results
Write a draft Work Assignment for the task. This
Work Assignment supports all subsequent manage-
ment efforts by outlining clearly and completely the
requirements of the task. The Work Assignment is
the foundation of the contractor's work plan, which
will become the "mini-contract" that will drive all
subsequent activity.
Get Work Assignment approval. This step ensures
that no unauthorized work is performed and that the
task is administered legally and efficiently.
Planning the
Task
Know OPPE Contracting Procedures
Setting contract priorities begins early as pan of
OPPE's overall Operating Plan development. In the
Operating Plan, PARM allocates extramural dollars
available to the OPPE divisions based upon the
President's budget. Divisions then develop annual
work plans, with supporting detailed work plans for
the expenditure of extramural funds. These plans are
forwarded to the OPPE Office Director. Included in
the detailed plans are tasks identified by contract
Though certain funds are reserved for unplanned tasks
that arise during the year, most contract dollars arc
"committed" through the operating plan process. It is
therefore prudent to raise your ideas early in the
process.
Develop Your Ideas Through
Discussions with Others
Begin the planning process by evaluating the merit of
and support for your task concept. Before you
discuss the task with your Branch Chief or Division
Director and with the contract's Project Officer, have
a good rationale for your task concept drawn up. You
may benefit from a few discussions with colleagues
both in your own Division and elsewhere to sec where
your idea could fit in with other work. Task approval
will generally be at the Branch level.
When you are ready to present your task concept to
your supervisors, be ready to explore the following
questions:
1. What are the merits of the task? Docs your
Division Director agree that it should be done,
and, if so. how soon?
2. Could the proposed task be performed in-
house? Are the money, people, and skills
available within OPPE? This nuuf be one of the
first questions asked when planning any OPPE
task conceived for contractor support. If personal
services are involved, contracting for them is
illegal. Similarly, hiring Agency staff through
contractors is forbidden.
3. Which contract vehicle would be most appro-
priate for the job? Prepare yourself to discuss
this by reviewing the scopes of work of each
OPPE contract to determine the range of skills
and services each one has agreed to deliver. The
Project Officer for each contract can assist you.
1-1
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WORK ASSIGNMENT PREPARATION
4. If the use of extramural resources is indicated,
is there sufficient ceiling in the chosen contract'
to cover your task concept? Are funds available
in the operating plan? (Clearly, this question
necessitates a rough estimate of the task's cost.)
S. Should a new work assignment be issued for
the proposed concept? Many Work Assignment
Managers are tempted not to; they think it will be
easier to expand or amend ongoing work to
encompass a new idea. However, a ballooning
subtask can be difficult to manage and control,
since it can throw other subtasks out of balance.
(See "Ask Yourself.")
"Is there a significant
change to the scope, objectives, or outcome of
the original task? Do I need more money to
create an entirely new deliverable?" If the
answer to either of these questions is "yes."
you should issue a new task.
Design a Clear Task Concept
When seeking approval for your task concept, you're
laying the groundwork for its eventual visibility and
usefulness within your Division and across OPPE.
Make sure your concept is well thought-out and
researched:
« Design your task so that it clearly supports OPPE's
mission.
If it addresses a high policy, analysis, or manage-
ment priority, show how.
WHO CAN HELP WITH TASK
CONCEPT APPROVAL?
The Project Officer of the contract in which
you are interested will be able to assess
whether the task you are proposing fits under
the scope of work. This individual has
current information on the contractor's scope
of work, personnel, and skills, as well as the
contract's financial status.
Your Branch Chief or Division Director
will help you with the review and approval
process, assessing your concept for consis-
tency with OPPE's mission and the Office's
Operating Plan.
Other experienced Work Assignment
Managers can provide model scopes of
work and serve as a sounding board for your
ideas. They know what has already been
done and can help show you how to do ii.
Find out if related efforts are going on in OPPE and
show how your idea could dovetail with, build
upon, or augment them to boost efficiency.
By the same token, ensure that your task is not
duplicau ve of ongoing work. Do this before you
propose your task.
Seek Preliminary Concept Approval
Approval for your task concept at this point is infor-
mal and can send your proposed task on to one of
several tracks:
It is a worthy idea that ought to be implemented and
funded at a later time.
It is a worthwhile, do-able task that should be
written up as a work assignment and undertaken
immediately.
It contains worthwhile ideas that can be incorpo-
rated within the scope of an existing work assign-
ment.
The track your concept takes depends upon me merit
and urgency of your idea, the amount of resources
available, and the liming of your suggestion.
True Government Need: A basic premise of
contracting is that any work purchased by the govern-
ment must really be needed. If, for example, the
contractor has marketed a suggested Work Assign-
ments to you, the work is likely to represent only the
contractor's needs and may not rcpreseant the
government's need.
Personal Services Contracting: Government
regulation prohibits the Agency from contracting for
the equivalent of civil servants. Contract dollars can
not be used to circumvent FTE ceilings or Civil
Service hiring procedures.
Book Early and Wisely: Each contract provides only
3 finite amount of capacity in terms of hours and
dollars; so you not only should plan early but should
accurately estimate your needs.
1-2
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WORK ASSIGNMENT KHbh-AKAl iuN
Why Action on Your Concept May Be If Your Concept Is Approved for
Deferred Immediate Action
Orderly task initiation is vital to OPPE's smooth
operation. Office directors must compile plans for
future work, construct coherent budgets for supporting
those plans, and ensure that the planned work dis-
charges OPPE's mission and addresses current
priorities. Furthermore, efficient managers want to
ensure that both in-house and extramural dollars are
well spent on clearly useful projects. These projects
must be undertaken with a rational eye to priority. In
addition, ideas from different quarters that are
duplicative must be weeded out.
In short, OPPE's annual Operating Plan needs respect
and support. For this reason, most task concepts
should be raised to your Branch Chief or Division
Director with the idea that they will be slated for next
year's Plan. Senior Managers will evaluate your task
concept1; along with those of your colleagues, setting
priorities among them while considering OPPE's
goals, budgets, and contractual formalities.Thus, in
designing your task, you should be aware of the
cyclical rhythms that affect task funding in your
Branch. Look for opportunities to get your concept
"into the hopper" at the timeliest point; for example,
when your Division's contribution to the annual
budget and operating plan is being drawn up during
the late summer. Be sure to check with the Project
Officer to make sure the contract is not about to expire
or lapse because its option period has not been
exercised.
Of course, task ideas arise spontaneously and continu-
ously, usually in response to developments in current
work or occasionally by "hot" topics or new legisla-
tive or agency initiatives. You may find that your task
has sufficient timelines and merit to be started right
away. The slate of funding and contracts can have a
strong effect on whether or not your task concept is
approved for immediate implementation.
If your concept qualifies for immediate implementa-
tion, you are ready to draft the work assignment. This
document sets forth the requirements of the job clearly
and analytically.
Developing
the Work
Assignment
Estimate Work Scope and
Level of Effort
The Work Assignment process makes good manage-
ment sense. You owe it to yourself to think clearly
through your task needs. A Work Assignment
Manager who is not adequately prepared with
concrete ideas about task scope and approaches is
often loo willing to embrace the contractor's ideas
BEFORE WORK ASSIGNMENT
APPROVAL, THE
CONTRACTOR:
Cannot Stan work. You are not authorized
to direct the contractor to undertake work
until the Contracting Officer sips the
Work Assignment
Cannot bill for work-even Work Planning
effort
uncritically. At best, such a Work Assignment
Manager will be reactive during Work Plan negotia-
tion, rather than coming from a solid position.
However, a Work Assignment Manager who clearly
communicates to the contractor what he/she wants will
prevent the unnecessary waste of time and resources.
Also note that the contractor is prohibited from
involvement before the Work Assignment is approved
through contracts. Practically speaking, your effort on
task design during this step should be your own in
collaboration with EPA colleagues, unaffected by the
views of the contractor. There is plenty of opportunity
for discussion during Work Plan negotiation.
Scopes of Work: The Work Assignment Manager
must ensure that the scope of work for the Work
Assignment is clearly within the scope of work for the
contract intended for use. The Work Assignment
Manager cannot go "shopping" for a subcontract;
directed subcontracting is prohibited.
1-3
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WORK ASSIGNMENT PREPARATION
The following questions will help you through the
analysis that culminates in a good Work Assignment
document:
1. What is the nature of the task? Is it an economic
or scientific analysis? Does it have policy-setting
ramifications? Will the nature of the effort rule out
certain approaches and necessitate others? What kind
of experts are required?
2. How does it break down into phases? Sample
phases might be: background investigations, data
collection, needs or option analysis, logistices prepara-
tion, programming, pilot testing, development,
management review, and approval.
3. What products are most appropriate? Although
you may not be certain yet, have some ideas in mind.
Who is the audience? Do you want a report or a
briefing? A workshop? A data base? Guidance? The
type of deliverable you select will affect the amount,
pacing, and mix of resources required. (Product
Planning is discussed in more detail in Module 3.)
Worksheet 1.1 - "Plan for Results" -- in the
Tool Box will help you estimate Work Assignment
costs.
4. Is the task affordable? Determine the full range
of resources needed to complete the task. How many
technical hours do you estimate as necessary to
complete the task? (Be realistic!) How much partici-
pation do you want from senior contractor staff?
From more junior levels? Do you need specialized
technical expertise? Remember, senior levels and
technical specialists are likely to be expensive. Once
you decide amounts of each type of resource, aggre-
gate the estimate costs to come up with a total for
professional hours on the task. Don't forget that the
contractor will also propose other direct costs, such as
travel, postage, reproduction, supplies, and equip-
ment For estimating purposes use the other direct
costs allocation as stipulated by each contract
5. What constrains scheduling? Identify any
internal deadlines or milestones that deliverables or
closeout should meet (e.g., progam office comments
or processes, legislative deadlines, budget cycle
input). Do the schedules of related efforts impinge
upon your timetable? Back your schedule out from
that deadline. If no particular date is urgent, decide
how long the task should reasonably take to finish.
6. When should interim and final deliverables be
planned? Schedule them thoughtfully. Planning for
interim products as well as final ones will help you
conceptualize the phasing and pacing of the work. At
the same time, you needn't spell out every step the
contractor should take. Here's a good rule of thumb:
If an interim product is (1) critical to proper
formulation of the final deliverable; (2) essential to
dccisionmaking, or (3) will receive widespread
scrutiny, include it in the Work Assignment.
Tips of the Trade: when
7. Who should review your interim and final
products? Start setting that function up now. Your
Division may require that you make a formal request
for review and approval. Lacking that requirement,
you should at least discuss this with your branch chief.
Be sure to invite colleagues doing related work
(especially from the program office as well as your
own) to review your products.
8. What uses will your task and its products have?
Consider how your task outcome could be put to work
within program offices or in OPPE. How will it
strengthen the Office's mission? Be ambitious for
your work in the sense of making it as widely useful
as it can be. To what levels? How can your task
involve and boost the effectiveness of other office
projects?
9. Bottom Line: Is what you have put together
enough to tell the contractor what it needs to
know?
1-4
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WORK ASSIGNMENT PREPARAl ION
Schedule the Tasks for Realistic
Completion and Greatest Usefulness
Many things affect the scheduling of your task. Some
are controllable; others arc not. Exact rules of thumb
on how long various types of effort should take are
impossible the variables involved are just loo
diverse. However, certain situations are going to
cause a (ask to take more time; for example:
Holidays and vacations: in late summer and
December, add 2 weeks.
Review by states: add 1 month.
Regional review: add 3 weeks.
* Other agency review: add 1 month.
Review within EPA: add 2 weeks.
* Red Border/rulcmaking review: check stipulated
regulatory dates.
Public participation: add 45 days.
Large events with complex logistics (e.g. workshops
and conferences): begin planning at least 3-5
months before event takes place.
REMEMBER
A good work plan is founded on the quality of
the work assignment you draft. The contractor
responds to what you request, so express your
needs clearly.
Contract cycle: check to see how it affects task
duration.
GPO or internal EPA printing: add 2-4 weeks after
camera copy is ready.
Writing
the Work
Assignment
Worksheet 1.1 --" Plan for Results" -- is a
Tool Box feature that will help you organize the
answers you get from the previous analysis. It is an
excellent basis for writing the Work Assignment so
vital to the contractor's understanding of the job.
The format of the Work Assignment document can
vary, but every good one should contain the follow-
ing elements:
COVERSHEET
-Title of Task
- Hours Required for Completion
- Period of Performance
- Signoffs by:
- Work Assignment Manager
- Branch Chief
- Project Officer
- Contracting Officer*
DESCRIPTIVE SECTION
- Background
- Objectives of the Task
- Statement of Work (proposed approach), ideally
divided into phases or subtasks, with a lime
schedule and deliverablcs specified.
* Effective date of Work Assignment is date of
Contracting Officer's signature.
Once the Contracting Officer signs your Work
Assignment, you and the contractor can begin work.
This next step is the subject of Module 2. But before
you jump into the work, look around your own office
first and...
WHO NEEDS TO APPROVE
WORK ASSIGNMENTS?
Sign-off on task funding and implementation:
Project Officer
Branch Chief
Contracting Officer
Outside printing:
AA's Communications Special Assistant
Program Resources and Management
Staff
Computer-related tasks:
Office of Information Resources
Management
Tasks related to newsletters, periodical
publications, and State questionnaires:
Office of External Affairs
OMB
1-5
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WORK ASSIGNMENT PREPARATION
Start Generating Interest in
Your Task Now
As appropriate, inform Senior Managers and peers in
your office, as well as other OPPE offices, about the
proposed task. If you make this effort, you could learn
about other projects that complement your task and
you might receive information that could improve
your task's final product. Either of these results will
increase the contribution that your task makes to
OPPE's mission.
It is also helpful to be aware of any other offices that
may be interested in the tasks's interim products or
preliminary conclusions. Any feedback that you get
from these interested individuals could help 10
strengthen your final product and broaden its
audience.
TAKE INTO ACCOUNT FINANCIAL
CONSTRAINTS
Bona Fide Need/Budget Year for the Funds: Most
funds are designated one-year or two-year money. In
either case, they have an expiration date beyond which
they cannot be used. You should plan for the work
assignment to be completed before the funds expire.
Otherwise, the work cannot be defined as a bona fide
need of the fiscal year for which the funds were
appropriated. If the funds are one-year money or the
last year of two-year money, the work assignment
should be issued early in the Fiscal year in order to
complete the work within the year. Account numbers
indicate the nature of the money: first position
indicates the year it starts (1=1991,2-1992); the
second position indicates duration (A=I year money,
B=2 year money).
WHEBE YOU CAN GO FOR HELP
« Contractual issues
Project Officer
Publishing schedules
EPAPfiotShoporGPO
* Examples of Work Plans and products
Peew, Project Officer, Steff of the
Program Office
Assessment of reasonable cost, Imte of
effort, rates, staffing mix
Contracting Officer and Project Officer
* Sudget cycle, Operating Plan
Program Resources and Management Staff
Public notice requirements, time periods
Examples of deJrverables
Contractor
Pick-and-Stick Rule: A tenet of appropriation law is
that once the Agency picks the funds to be used for a
given Work Assignment, it then must stick to that
choice. For example, if the Work Assignment is
issued with one-year money, it is inappropriate to
dcobligate that money later and replace it with two-
year money. In other words, in planning the comple-
tion of the work, the nature of the money to be used
must also be taken into account.
Inherently Governmental Functions: Recent
criticism of the Agency has focused on Ihe Agency's
contracting for functions that are inherently govern-
mental in nature. The Administrator issued a policy
statement on "inherently governmental functions" in
April 1990 that listed "prohibited" and "potential
vulnerability" categories of contracting activities.
Prohibited activities cannot ever be contracted for.
Activities with potential vulnerability must have
additional management control to ensure that final
products represent the Agency position rather than the
contractor's.
Prohibited activities include:
Actual determination of Agency policy.
Preparing Congressional testimony or
responses to Congress,
Interviewing for possible employment by the
Agency, and
Writing Work Assignments,
Potential vulnerability areas include:
Support services such as analyses, feasibility
studies, etc., to be used by EPA personnel in
developing policy,
Regulation development support, and
Providing specialized expertise in the
development of Statements of Work, Work
Assignments and other contract ordered
tasks.
1-6
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WORK ASSIGNMENT PREPARATION
Successful Work Assignment
Preparation Will Result in:
A well thought out task concept that supports
OPPE's mission.
A Work Assignment document that details task
requirements clearly for the contractor.
Approval to begin the task.
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WORK ASSIGNMENT PREPARATION
NOTES:
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. * «!""*. IT r%r^ir-m A
vvvjnrx MooiuiNiviiziN i
NOTES:
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2: TASK STARTUP
THIS MODULE COVERS:
Work Plan Preparation: How to analyze a draft Work
Plan, negotiate with the contractor, and obtain all necessary
approvals for the final Work Plan.
Task Kickoff: How to assume a leadership role from the
outset, hold a task kickoff meeting, and begin to build team
spirit.
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OTA n~ri in>
o iA-vn i ur
WHY ARE TASK STARTUP
STRATEGIES IMPORTANT TO GOOD
TASK MANAGEMENT?
During Task Startup, you:
Hold a preliminary meeting to discuss the Work
Assignment and get an agreement between all
participants on approaches, resources, scope.
Work with the Project Officer to review the
contractor's work plan, comparing the firm's
analysis of task performance to your own, and
ensuring that their plan of action will meet task
needs within the resources expended.
Get official approval for the Work Plan within the
time period specified in the contract; this authorizes
the contractor to charge EPA for work on your task.
Hold a kickoff meeting with key EPA and contrac-
tor participants. This important meeting is the time
to think creatively, clarify your expectations, forge
cordial initial relations, and communicate your
leadership role.
Checklist 2.1 -"Does Your Task Have a
Good Work Plan?"
Sample 2.1 - Contract Worksheet
Sample 2.2 - Designation & Appoint-
ment Form
Sample 2.3 - Start Work Reminder
Sample 2.4 - Review Request Memo
Work Plan
Preparation
You are now ready to involve your contractor in the
process. Once the contractor receives the approved
work assignment, the firm must produce a Work Plan
detailing how its staff will carry out the task. Usually
the contract specifies that the work plan must be
completed within a certain number of days. The
Project Officer can provide this time interval to you
Why a Work Plan?
Work Plans are mini-contracts that protect both you
and the contractor. They arc excellent management
tools if they arc objective and precise. A good Work
Plan:
Specifies activities to be undertaken.
Establishes and documents the scope and cost of the
work.
Defines the number of hours, by professional level,
needed to complete these activities.
Captures the agreement between you and the
contractor.
Sets forth roles and responsibilities on both sides.
Specifics due dates for deliverables.
Lays out any assumptions that may affect execution
of the assignment.
Whatever the agreement, a wise manager gels it in
writing! A handshake may serve between individuals,
or even between businesses, but Federal managers
need documentation. As guardian of the public trust,
you must see that tasks are satisfactorily carried out,
on time, and within budget.
Hold a Preliminary Meeting
Developing the Work Assignment has given you a
good feel for your taskits needs, approaches, timing,
costs, and products. Once the Work Assignment has
been approved, you are ready to involve your contrac-
tor. Call a preliminary meeting to discuss the work.
Invite your Project Officer, as well as the Senior
Manager from the contractor firm. Such individuals
have the experience and expertise to understand your
needs, propose an approach, and choose the best staff
to execute the task. A Senior Manager also has the
power to mobilize the best people to do the job.
The Work Assignment should be the basis for discus-
sion during this first meeting. Then attendees will be
prepared to confidently discuss:
Your needs and ideas.
Your analysis of the hours needed to conduct the
effort
What you expect in terms of performance. Talk
about how and when you will monitor progress, and
what your standards will be. (This topic is dis-
cussed in more detail in Module 4.)
Any particular issues that may affect the task budget
such as travel, graphics, and publications require-
ments.
2-1
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TASK STARTUP
If the task is open-ended rather than finite, discuss this
situation with your contractor, indicating that you will
monitor progress to ensure that task funds are being
deployed judiciously. If you know your task to be of a
high priority within OPPE or your Division, communi-
cate this fact to the contractor; (he firm should know at
the outset how important OPPE considers this assign-
ment.
Once the contractor's Senior Manager understands the
task requirements, the next step is for the contractor to
write a Work Plan, the key document of the Task
Startup phase.
Reviewing and Analyzing the
Work Plan
Work Plan review is usually an exercise in balancing
realities and achieving a compromise. Thoroughly
review the Work Plan and decide whether the contrac-
tor is offering to do what you asked within the budget
that was discussed. Determine whether the approach
is sound and the activities "do-able." Ask yourself the
following questions:
1. Are resources skillfully and reasonably
deployed? Compare the contractor's estimates of cost
to your own to ascertain whether they are reasonable,
and if they differ, why. A difference in staffing or
scope may account for discrepancies. If the
contractor's price is higher than you had expected,
check to sec if the staff mix has a high proportion of
senior personnel, or if the scope is more extensive than
what you had in mind. For example, the contractor
may have interpreted your desire for Regional
interviews to mean all ten Regions, when you believe
four might do. You may also have assumed that
telephone interviews were adequate, while the
contractor has built in travel foron-site interviews and
investigations.
Simply staled, you are looking for differences in
assumptions. Beware, too, of u/uferbudgeting on the
part of the contractor. This can raise its own prob-
lems: having contractor's best experts assigned to
other tasks when you need them; returning to your
superiors for more money later; being disappointed in
a product that is less inclusive than you wanted.
2. Does the Work Plan clearly delineate the
responsibilities of all parties? This is your Work
Plan, too, and so it should detail your role as an EPA
manager, and any requirements placed on you (e.g.,
coordinating feedback and comments).
3. Is the schedule realistic? In other words, is the
timing coordinated with the use(s) for which the task
was planned? Is adequate time reserved after product
review to conduct additional analyses and incorporate
changes? Is distribution of elapsed time between
contractor's work effort and your review time equi-
table?
4. Does staffing appear well thought out? Look at
technical hours for a proper mix of staff and the right
expertise. Are there enough senior-level hours for
oversight and review? Are there enough junior level
hours for research and data development?
5. Are products clearly defined, well scheduled,
and appropriate? Do task activities build logically
lo deliverablcs? Are there enough interim dcliverables
Tips of the trade: you aref i
expected to do an in-depth cost analysis of
the contractor's bid, only to assess the
reasonableness ot tiit estimate. Decide
how many professional hours the job should
take and multiply it by the contractor's
average hourly rate. Remember to adjust
this hotirly rate id reflect the balance of
Senior Managers you seek. The higher the
level of senior attention. the higher the
hourly rate will fa then»dd5% tt>l% for
ODCs, more if required travel is extraordi-
nary. Quick turnaround demands also boost
the hourly rate, as more senior level hours
sire needed to perform and oversee work
completion.
scheduled to reveal whether work is proceeding on
track?
6. Are sufctasks planned rationally and evenly? A
subtask activity can sometimes balloon to dispropor-
tionate size and importance and take on a life of its
own. Target any subtasks with this potential for close
monitoring when work ensues.
7. Does the Work Plan specify how often the
contractor and Work Assignment Manager will
communicate, and in what form this communica-
tion will occur? The Work Plan should briefly
identify some communication protocols for verbal and
written communication. For instance, the Work
Assignment Manager may want lo receive weekly
telephone calls lo learn about progress made and
problems encountered.
2-2
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TA r\is
iMOrv o
in
i ur
A full analysis of the Work Plan may raise many
issues you have not yet discussed with the contractor.
A detailed reading can be very educational and can
open the door for productive negotiations. Every task
opening teaches you more about contractor relations,
for even within the same firm every individual has a
different style and approach.
Checklist 2.1 - "Does Your Task Have a Good
Work Plan?" will help you in conducting this
review.
Coming to an agreement may be as simple as approv-
ing the draft Work Plan, or several conversations may
be necessary. Decide on the negotiating points you
can't budge on, and identify those that are open to
discussion. On the essential issues, think of options
for resolution before the negotiating session, e.g.,
decrease the number of interviewees, decrease the
depth of each interview, increase the hours to be used,
or increase the level of experience of the interviewers.
Then conduct your negotiation. An in-dcpth discus-
sion of negotiation is presented in
Module 5.
Leave Room for Change
A Work Plan doesn't need to be perfect, just a good
solid starting point. It should reflect what you and the
contractor agree is an accurate picture of the work at
the beginning of the job. Both partners should feel
that the Work Plan adequately protects its interests, for
the Work Plan is indeed a contract. When viewed in
that light, it is obvious that the document should be
firm and clear.
Everyone recognizes that work on a task rarely goes
precisely according to plan. There are many good
reasons to abandon planned avenues of investigation
and pursue others. So balance planning against
development. Use monitoring and midcourse correc-
tion to determine if work is on or off track. (Task
Monitoring will be discussed in depth in Module 4.)
Consult your contractor and revise the Work Plan
when significant changes are made in the direction or
scope of the work. If modifications to the effort will
result in changes in contractor hours or costs, you will
need the approval of the Project Officer and Contract-
ing Officer.
Approve the Work Plan Officially
Once you have negotiated any changes to the Work
Plan and reviewed an acceptable final plan, it may
then be forwarded for approval.
Work Plan approval results from work plan negotia-
tion. You and your Branch Chief should sign off on
the Work Plan, and then send the Work Plan to the
Project Officer and Contracting Officer for signature
and final approval. The Contracting Officer or Project
Officer will also send a signed copy to the contractor.
REMEMBER
Start setting up task rccordkceping systems
now. Consult wilh your Branch Chief or
Division Director and the contract's Project
Officer to determine what records are needed
and set up files for ihcm.
STEP
Task
Kickoff
Arrange a kickoff meeting as soon after Work Plan
approval as possible. Ask senior managers to attend;
both the EPA manager who will be reviewing the
contractor's work and the firm managers who origi-
nally discussed the (ask with you. In addition, invite
your counterpart from the contractor firmthe person
who will be managing your taskand any other key
contractor personnel, especially from specialized
disciplines consulting on the task (engineers, product
designers, conference specialists). Let them know
your expectations.
Start Building Team Spirit at Kickoff
Enthusiasm for new work runs high at the beginning of
a task. Make the most of this energy: start building
team spirit from the outset The kickoff meeting is
your first real opportunity to personally motivate the
contractor staff who will be serving you. By now, a
wealth of ideas has been considered and documented;
both partners have a good "feel" for the objective
requirements of the work. This is the chance to
generate some excitement about the task and to create
some mechanisms for smooth partnership. For
example:
Explain all of the background and underlying issues
related to the task.
Describe the challenge and listen to the contractor
staff's ideas about the scope of the job and its needs.
2-3
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TASK STARTUP
Establish your contact people. Many contractors
take a team approach to a task, having several
people contribute to a task simultaneously at various
levels. Some move in and out of the effort as their
skills dictate. While there are distinct advantages to
this approach, it is nonetheless important that there
be one firm hand on the tiller in the contractor's
firm. If the task has been properly delegated, this
person should also be your partner: the contractor's
Task Manager.
Indicate how often you want to make contact, and
how. Establish communication protocols: how you
will communicate and the people to be involved in
both offices. (To some extent, these will have
already been outlined in the Work Plan.) As
product deadlines loom, you will probably want to
become more deeply involved.
Let them know that you will be monitoring against
the Work Plan, but that if major changes occur in
the direction of the work, the Work Plan will need
to be modified.
Repeat your philosophy on performance standards,
frequency of monitoring, and closeout evaluation.
Let them know your expectations.
K£₯STO EFFECTIVE TASK MANAGEMENT
1. You are in charge.
2. You arc the final decisionmaker.
3. A feeling of team partnership is invaluable to
getting the best results from all participants.
4. You must keep yourself informed about the
progress of the work if you are to stay in control.
5. Forge your strongest relationship with the
Task Manager in the contractor's firm, but also
request, as appropriate, senior management
council.
6. Staff may change: demand a point of
continuity.
7. Be reasonable in your demands: give the
contractor adequate warning of your changing
needs. Quick turnaround efforts, though often
inherent to mission support contracts, can be
costly and wearisome.
8. Review products responsibly and on time.
9. Choose a contractor rationally. Don't just
assume the firm you've come to depend on can
do everything for you. Look for the right
expertise.
10. Remember that the Work Plan protects both
parlies and cuts both ways. Keep it current as
the direction and scope of the work change.
If appropriate, share others' agendas that may have
an effect or make an impact upon this effort For
example, if a Division Director is wailing for the
results of your study before making a final policy
recommendation, convey this information to the
contractor staff.
REMEMBER
The Work Plait is a dynamic documentyour
test t(»l for directing the ww Keep using it,
referring to it, and formally changing it as the
work progresses, if substantial changes justify.
Take a Leadership Role from
the Outset
Keep your relationship positive and professional from
the start Give your contractor team the clear impres-
sion that you are in charge, that you know where the
task is going, and that you are open to their sugges-
tions and ideas. It is a challenge to capitalize on the
often strong opinions or divergent approaches of your
contractor staff, while channeling their energies
toward productive completion of the task. Remember,
however, that your contractors have been hired to
consult for you. You retain the final decisionmaking
power.
More information on your professional and ethical
relationship with a contractor will be provided in
Module 5.
2-4
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TASK STARTUP
Successful Task Startup Activities
Will Result in:
A definitive Work Plan that realistically outlines roles and
responsibilities, costs, schedule, deliverables, etc.
A positive working relationship with the contractor.
A clear understanding of who will he doing the work and what
their responsibilities will be.
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TASK STARTUP
NOTES:
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OTA DTI ID
l/~\\-M\ v-i i ni i i wi
NOTES:
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3: PRODUCT DEVELOPMENT
AND REVIEW
THIS MODULE COVERS:
i STEP
1STEP
Product Planning: Assess your target audience, choose the most
appropriate type of deliverable, and scope out interim products that build
to the final deliverable.
Product Review: Determine whether the product is on track, useful,
and of adequate quality.
Feedback to the Contractor: Give your contractor prompt, clear
direction on how to revise the product and manage the way that revision
is done.
STEP
Seeking Product Utility within OPPE: Look for ways to promote
the usefulness of your product within the Office.
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PRODUCT DEVELOPMLN I AND REVIEW
WHY DO TASK PRODUCTS
NEED EARLY AND
CONTINUING ATTENTION?
Your dcliverablcs are a lasting indicator of your
effectiveness as a Work Assignment Manager.
Your close scrutiny of interim dcliverablcs and
skillful feedback to the contractor keep work on
track and will ensure the kind of final product that
will please.
Products must be planned carefully in advance.
Good deli verables don't automatically arise out of
task development.
You manage the taxpayers' money. A product
should be a good investment for the public.
A conscientiously planned and executed task
deliverable can advance OPPE's mission and be
integrated and elevated within the program office or
OPPE.
Contractors who are not receiving adequate guid-
ance may continue to spend task dollars without
achieving the desired results.
Planning deliverables and having them reviewed by
others generate visibility for your effort and help
achieve optimal utility for the products.
Checklist 3.1 - Effective Review of
Written Products
Checklist 3.2 - Effective Review of
ADP Products
Checklist 3.3 - Effective Review of
Audiovisual Products
Checklist 3.4 - Effective Review of Events
Planning
Product
Planning
Because it has such a concrete payoff, developing
products can be one of the most enjoyable and
satisfying parts of task management To get a
successful outcome, though, you must make shaping
them a central pan of the work planning process.
Examine every phase of the task to identify points
where products should culminate the effort. Don't
neglect to build in interim deliverables as well.
REMEMBER
Delivcrabtes planning should be done during
the work planning phase. At this time, you
should also line up your potential reviewers
and ask for their help. Doing this early is
especially important if a format request to
other EPA offices or divisions is necessary to
obtain review support.
Define the Challenge During Product
Scoping
View product scoping as an exercise in problem
solving. The analysis should probe the following
questions:
1. What is the challenge? Does your task
concern:
Economic or scientific innovation
* Program implementation?
* Program planning and evaluation?
Policy or guidance development?
Technical transfer?
2. Who are the primary decisionmakers?
Who requested that the task be done?
Who needs sign-off approval?
3. Who is your intended audience? That is,
who is affected, or needs to be?
4. What is the best way to reach that audience?
5. Who can provide perspective and creativity
to the assessment? (These include experts in
your own shop and in other offices, as well
as outside experts. Keep this step informal; think
about people you can call to mull
over the problem with you.)
6. How does the proposed deliverable support
OPPE's mission and needs?
Too busy for a lot of up-front activity? Definitive
problem-solving and scoping done early will save
time, money, and frustration over the long haul. The
basic steps in deliverables planning, discussed in the
pages that follow, are:
Assessing your audience,
Choosing the right type of product,
Planning interim deliverables, and
Staying flexible.
3-1
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PRODUCT DEVELOPMENT AND REVIEW
DEFINING THE CHALLENGE: SOME SAMPLE APPROACHES
TASK CHALLENGE
Program Evaluation
Policy Analysis
Information
Management
SUBJECT
Interaction of FIFRA &
Endangered Species
Comparative Risk/
Benefits Analysis
Hazardous
Manifests
Technical Outreach Recycling
Technical Assistance
Program
Implementation
Environmental
Economics
Risk to Birds
SAMPLE
DELIVERABLES
* Implementation
Report
Methods Report
Feasibility of
Automatic Transfer
Brochure on
incentives
Training Course
Options Paper
POSSIBLE AUDIENCES
Program Office
Program office, ORD
States and Regions
States and locals
Eastern Europe
Program office
Audience Assessment: Know Where
Your Product Is Headed
Who will read, use, or attend your product? Are the
members of your audience program managers, EPA
policy makers, technical specialists, Slate and local
politicians, "average" citizens? Each one of these
groups has a different viewpoint, employs a different
kind of language, and has a different need for infor-
mation. Each also has a different level of knowledge
and sophistication.
Another facet of the analysis that helps you under-
stand where your product is headed is your dissemina-
tion strategy. Think about how to market the product.
examining the existing networks that might help you.
Components of these networks may be the actual
audiences you are targeting: e.g., trade and profes-
sional associations. Slate management organizations,
Regional offices, clearinghouses. Furthermore, you
may discover that one product will serve more than
one audience, or that you need to package the informa-
tion into more than one type of product. Let your
contractor help you with this important analysis.
Contractor staff often have diverse experience with
many audiences and how to target them. Take
advantage of this expertise.
Choose the Best Type of Product
A wealth of product types abounds from which to
choose. Select the one that is most suitable for
getting your message across. Often, the task is the
deliverable, as in the case of a series of workshops, an
office-wide automated tracking system, or a national
conference.
The three-page chart "Sizing Up Products" presents
information that will help you choose the right product
for your needs.
Bounce your ideas off your contractor staff; see if they
agree that the deliverable you have in mind is right for
the target audience. They may be able to suggest
twists on your basic idea or auxilliary options that will
leverage its delivery power. If the contractor recom-
mends a completely different approach, ask why
before you make a decision.
What will it cost?
Are there opportunities for economy of scale?
How easy would it be to implement?
Do you (both you and your contractor) have
experience in executing these products?
Is there potential to leverage the product into
something even more valuable?
3-2
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SIZING UP PRODUCTS
REPORTS
Why Choose a Report? Reports answer a
technical or management question and either
present conclusions or recommend a direction.
Reports document the task and leave an
analytical trail. Since they can be lengthy,
they arc usually covered by a summary. In
short, reports tell or reference everything the
author believes important about the subject
treated. Reports inform fully.
The Downside. Reports can have a limited
audience and level of interest. They are often
just too much reading for many people. Busy
readers tend to skim the executive summary,
and this is often too simplistic. Another possi-
ble disadvantage: a report is rarely a deci-
sionmaking loot: it only contains information
upon which to base decisions.
Good For: Evaluations, backing up policy
directives, management studies, cataloging
technical information.
BRIEFINGS
Why Choose a Briefing? Briefings often
spring from the same soil as reports, but they
can be an inexpensive shortcut They can be an
effective shortcut for managers. While you
have all the information that will back up the
presentation, you simply brief an audience that
wants only "the bottom line." Briefing docu-
ments are telegraphic; they hit (he main points
of the discussion. They allow direct interaction
between presenter and audience. Briefings are
informational tools for decisionmaking and
policy formation. They are direct, and satisfy the
need senior managers have for quick, condensed
information. Briefings can also be used as
reporting tools: e.g., to discuss task progress of
results with your managers.
The Downside: Briefings must be delivered.
Because they are so targeted, they can't stand
alone as cogent informational or technical tools,
and ihey usually "age" quickly. They often don't
have technical and analytical support.
Good For: Targeted decisionmaking, informing
senior managers, facilitating discussion, illumi-
nating options, and getting approval for next
steps.
ISSUE PAPERS
Why Choose an Issue Paper? Issue papers
support agency activities such as policy develop-
ment. They can be used as background for a
briefing or as a basis for discussion by a work
group. They present various ways of approach-
ing a problem and help focus staff and manage-
ment thinking. Because of their comprehensive
analysis, they can be a good way to document
the decisionmaking process.
The Downside: It can be difficult to craft an
effective issue paper in some cases, particularly
if the conclusion seems obvious beforehand.
Good For: Policy development, supporting
decisionmaking, focusing thinking for planning
a project.
PAMPHLETS AND
BROCHURES
Why Choose Pamphlets and Brochures?
Pamphlets and brochures are often persuasive
informational tools that motivate the public to
action, concern, or behavior modification.
They may also explain a program, such as the
Community Right-To-Know program.
Developing these products for the public is
both challenging and enjoyable. Writing for
general readers forces program and technical
experts to crystallize their thinking and
prioritize information. The piece must be
attractive, written in a compelling way, and
deliver information at a solid level, with not
too much jargon, and not too condescending.
Pamphlets and brochures can also be used
effectively for technical transfer, as digests of
technical or environmental facts/issues aimed
at a broad or a narrow audience. Or, they can
simply advertise EPA services, both inside and
outside the Agency.
The Downside: Pamphlets and brochures for
the general public are among the most difficult
to write because the audience varies so widely
in what it knows. Thus, the content must be
greatly simplified and because of this may not
give enough information for the audience to
act upon what it reads. In short, these tools are
more teasers than anything else. Any product
for wide audiences is also subject to argu-
ments over design, tone, individual taste.
These conflicts, while troublesome to resolve,
can be very creative.
Good For: Getting a small amount of
information widely disseminated, technical
transfer, marketing, outreach.
3-3
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SIZING UP PRODUCTS
AUDIOVISUAL
PRODUCTS
Why Choose an A/V Product? Videotapes
and slide/tape shows are excellent tools for
training and for public outreach. They can
reach a very large audience for public informa-
tion purposes, e.g, on public TV. Videotape
production is generally a lot more expensive
than slide/tape or print, but once done, it is
inexpensive to duplicate and simple to distri-
bute. A/V is extremely useful where actually
viewing a situation is vital to understanding its
concepts, or where anxiety is high, and a view
of "reality" will be reassuring. This medium
is very good for training, and in general, a very
attractive product. Can stand alone.
The Downside: Can be expensive, may ap-
pear extravagant. There is usually no expert
on hand to field questions. Distribution
contingent upon availability of equipment, but
this problem is lessening. Must be designed
for long life to offset high initial costs, and this
"datedncss" challenge is considerable.
Good For: Training, public relations, educa-
tion, can be used at conferences for technical
transfer, replacing a missing speaker, breaking
up a program.
ADP PRODUCTS
Why Choose ADP Products? For amassing
and manipulating vast amounts of data,
nothing can match a computer tool. OERR
programs arc collecting information nation-
wide on a staggering number of data points.
Data bases arc vital in this work. Tracking
systems arc useful for monitoring progress on
vital Office-wide issues and events, as well as
for tracking Held activities. Once you have
plenty of data on a program-- e.g., in the area
of resources, budget, equipment mobilization-
you can project future activities and evaluate
alternatives with computer models.
The Downside: Beware the illusion of black-
box analysis: computers are not a panacea.
Programs always take longer to produce than
programmers say they will. You must know
how you want to use and manipulate data, and
so need excellent problem solving skills. Also
consider the frequency of problems with hard-
ware/software compatibility and cross commu-
nication.
Good For: Manipulating and organizing large
volumes of data, conducting complex analy-
ses, testing hypotheses/options.
UPDATES (NEWS-
LETTER-TYPE
PRODUCTS)
Why Choose an Update? If you have set up
a program or tool that is widely used, or con-
tinually gather information on the evolution of
a particular environmental issue, you may
want to publish a newsletter-type product.
These are often the brainchildren of a group of
contributors with a common mission or inter-
est. Updates arc written in a direct, journalis-
tic style, and are produced periodically. They
imply continuity, and for that reason should
not be selected without serious commitment.
You must have a clearly defined audience and
write to it if you want success. Updates can
cultivate grass roots support and a feeling of
professionalism and participation among the
audience.
The Downside: Takes rigorous effort
periodically, requires conscientious analysis of
newsworthy information between publications.
Time consuming. H ighly visible, a newslet-
ter-type product is a promise to continue, and
failure to follow through demonstrates a lack
of commitment. Same kind of arguments on
tone, editorial approach, etc. as discussed
under Pamphlets and Brochures. In addition,
regularly published newsletters require ap-
proval from OMB and the Office of External
Affairs.
Good For: Long-term projects, where the
need exists to keep many participants briefed
on developments, technical transfer, broadcast-
ing of new events, public outreach, meeting
summaries.
TRAINING
PROGRAMS
Why Choose a Training Program? This tool
is indicated where a new program or technical
approach is being developed, where turnover
has been high, or there is a problem with an
ongoing task. Often the program, and the
requisite technical transfer that accompanies it,
has burgeoned at a rapid pace. A training
program can be mounted relatively quickly
and put in place in as many locations and as
frequently as priority and resources allow. A
training program is what you are experiencing
now. You can educate an entire group effici-
ently, bringing them all to a new, common
level of knowledge.
The Downside: A training program often must
have senior-level sponsorship, since it can
have widespread effects and be very labor-
intensive. Expert trainers must be trained, and
in large enough numbers to avoid burnout.
Good For: Technical transfer, quick way to
extend base of expertise, complement program
management philosophy and approach.
3-4
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SIZING UP PRODUCTS
PROGRAM
EVALUATION
SYSTEMS
Why Conduct Program Evaluations? As
budget cuts have forced EPA further and
further into efficient operations, the Agency
has had to sharpen its management and
evaluation of all its programs. Consider using
a program evaluation whenever a major new
project is being initiated or when a program
has grown in complexity or geographic spread
far beyond its original expectations.
The Downside: These products take concen-
trated, patient, creative work, as well as
thorough program knowledge. The multi-
level discussions, task forces, pilot testing, and
new reporting frameworks usually required
can be expensive and time-consuming. In
addition. Program Evaluations require coop-
eration from and sensitivity to the implement-
ing offices or agencies.
Good For: Improving program efficiency and
achievement of program goals.
GUIDANCE
Why Choose Guidance? When a new
regulation, requirement, or program has been
set in place, program managers in States and
Regions may need direction on how to imple-
ment it. Guidance provides this direction.
It can be an extremely effective way to reflect
Federal program objectives while allowing
Slates and Regions to maintain flexibility.
The Downside: Guidance can be one of the
most time-intensive products. Unless ex-
tremely well-written, it can also be interpreted
too broadly. To be most effective, guidance
should be combined with a training program.
Good For: Encouraging Slate and Regional
creativity and regulated institutions.
HANDBOOKS AND
MANUALS
Why Choose Handbooks and Manuals?
These products are of greatest utility when the
user is learning a complex task or process.
They are useful in situations where the reader
may need to keep returning to a reference for
advice and direction, and when new jobs and
new responsibilities are assumed. The hand-
book or manual stands ready as an advisor
when the user needs it
The Downside: Striking the right tone in
these products is challenging. Don't write a
handbook or manual for a simple process that
could be absorbed easily through some other
means (a brochure, guidance, etc.). A catchy,
well designed, attractive manual is the one that
will get used and these can be expensive to
produce. In addition, these products require a
lot of peer review.
Good For: Use as a reference for technically
complicated operations, especially at a
frequency that not all the steps become
automatic.
EVENTS
(MEETINGS,
WORKSHOPS,
SEMINARS,
CONFERENCES)
Why Choose a Group Event? These events
all have something in common: the immedi-
acy of personal contact. You get immediate
feedback as to whether your message has been
well received and comprehended, as well as
two-way communication. On-the-spot
problemsolving often occurs at events, as does
brainstorm ing and solicitation of ideas. Events
are unique opportunities for many people to
get together and create as a group. Choose this
type of product when you are seeking cross-
fertilization of ideas among attendees rather
than mere delivery of information.
The Downside: Events require considerable
up-front planning and publicity. Larger events
often lack the opportunity for an in-depth
examination of a problem. Events are one-
shot deals unless you publish proceedings, and
these lack the tone of the original gathering,
anyway. Other disadvantages are the level of
effort required for what is obtained, and the
lack of control over what happens at a meeting
as the group process gains ascendancy.
Good For: Transferring large amounts of
information to a big or targeted audience,
group problemsolving and cross-fertilization
of ideas.
3-5
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PRODUCT DEVELOPMENT AND REVIEW
REMEMBER
When scheduling products and interim
deliverabies, make sure to build in plenty of
time for review and for the contractor to
respond to changes.
Planning Interim Deliverabies
When you and the contractor have agreed on the basic
nature of task deliverable!:, decide how you're going to
get to them. Interim deliverabies are stepping stones
to final products, for both you and the contractor.
Write them into the Work Plan.
Interim deliverabies will help you:
* Approach your task monitoring responsibilities in
an organized way.
Analyw; the rale at which funds are being spent.
Plot out the degree of attention you must focus on
the task over the scheduled execution.
Determine whether the work is proceeding on
course.
Interim deliverabies help your contractor:
Keep the project on track by pacing the effort.
Budget task funds efficiently.
Know in advance if the product is not in line with
your directives or desires.
If your relationship with the contractor is a new one,
you may wish to build in more interim deliverabies
until you see how the firm performs. These require-
ments can be modified later if you see that the work is
going well. Interim products act as early warning
systems and as such are excellent troubleshooting
tools for task monitoring.
You don't have to accept poor quality deliverabies.
EPA has specific requirements for Quality Assurance
and Quality Control, particularly related to environ-
mental sampling. OPPE has a QA officer who can
help with this area. You may want to get the facts on
IDEAS: INTERIM DEUVERABLES FOR VARIOUS PRODUCT TYPES
PLANNED FINAL
PRODUCT
Reports
Briefings
Pamphlets, Brochures
A/V Products
ADP Products
Updates
Training Programs
Events
Program Evaluation
Guidance
Handbooks, Manuals
POSSIBLE INTERIM DELIVERABLES
Outline, preliminary findings and recommendations, draft report
Outline of contents, equipment plan, mock presentation
Outline of contents, sample tone, design options, mockup, draft text
Approach options, samples of work, storyboard, input to slides
and featured scenes
Draft data elements, screens, data base structure, functional
prototype
Initial: intended use plan design, editorial approach and tone, drafts
Later: story ideas
Outline of contents, draft of components, draft handouts, draft
training script, dry run and pilot test before first delivery
Draft agenda, briefing on meeting logistics, speakers list,
handout materials
Checklists, interview guides
Outline of contents, sample formats and graphics representations,
draft guidance
Outline of contents, design options, sample formats, draft
chapter/module, draft book
-------
i-r- A Kirv
the contractor's QA/QC mechanisms as well. Every
contractor should be able to express how it ensures
accuracy of research and information, makes sure
events are run without problems, and assures the
excellence of design and copy in written products.
Stay Flexible
You have chosen the products and draft deliverables
you want for your task and started work toward their
creation. But what the contractor discovers in the
course of work may alter your mutual goal. For
example, research may uncover more important
aspects of the topic under study than those upon which
you arc focusing. The contractor may discover
surprising things about the nature or level of knowl-
edge of your target audience. Reviewers may indicate
during peer review of a draft report that the final
version is not needed, or a sudden, increased interest
in a subta.sk may trigger the need for a series of
briefings.
Although the original product planned is rarely
abandoned for a completely different type, reshaping
often occurs. Rigid attachment to your plans and goals
can be counterproductive in the face of unexpected
developments. Be ready to take advantage of unex-
pected findings.
STEP
i Product
Review
The type of review you undertake clearly depends
upon the kind of preliminary product submitted.
Review techniques for four general product categories
are discussed here:
Written materials
ADP materials
Audiovisual materials
* Events
REMEMBER
Leave enough time for product review and
address it with as much commitment as you
would other demands on your time.
Are certain reviews required?
From whom?
Do I need technical advice from outside my field?
Docs the product have cross-program implica-
tions? (Should I involve other offices?)
Is there a need for review at various program
levels (HQ, Regions, States, locals)?
Will outside interest groups have valuable input?
What sign-offs and approvals do I need?
Reviewing Written Drafts
We strongly recommend at least two readings to make
your review of a written product effective:
The first read-through should be an evaluation of
the important points made and the structure. If
major ideas don't come across with strength, or if
the structure is poor, the product has fundamental
problems that fine-tuning won't fix.
The second cut should focus on the major compo-
nents of the draft: the concepts, tone, analytical
quality, and potential ramifications.
Checklist 3.1 (Effective Review of Written
Products) in the Tool Box.
3-7
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PRODUCT DEVELOPMENT AND REVIEW
Reviewing ADP Products
Work Assignments Managers must undertake a more
"hands-on" role in review of ADP efforts. In addition
to reviewing documents, you have the additional
responsibility for testing systems (response times,
screens, etc.)- You probably will not simply wait for a
"draft" data base to be delivered for your solitary
review. For products like models, tracking systems,
and widely used data bases, concepts like literacy,
clarity, and utility have decidedly different meanings
from the everyday.
A review checklist for electronic products is
included in the Tool Box (Checklist 3.2).
Tlp$ Of the Trade: When you send out
your product for review, attach a copy of the
scope of work, so that reviewers will have a
context within:which to evaluate the product's
success and value.
Reviewing A/V Materials
Audiovisual materials usually attract a lot of review
attention. People are uniformly interested in them and
want to have input to a product they see as highly
visible and exciting. Review by senior managers is
often intensive. Your task of receiving and respond-
ing to all this input may well be a challenging one.
You can make your biggest impact by reviewing
scripts and storyboards. The other parameters, e.g.,
narrator, actors, style, are usually out of your control:
you must simply choose a good producer who will
make decisions you are likely to approve.
Clearly, review of A/V material involves a different
kind of approach. Aesthetic as well as technical
evaluation is necessary. Review scripts and story-
boards for (1) how well they convey technical
information (accuracy, level of delivery, tone) and
(2) whether the aesthetic flow is good. It is much too
late to critique a videotape or slide show once it is
complete: changes are expensive and disruptive at
that point. Get your concepts across early in the
production.
Checklist 3.3 in the Tool Box (Effective
Review of A/V Materials) will aid you in this review.
HOW TO REVIEW A WRITTEN DRAFT
DO
Read at least twice: once for overall clarity,
once for substance
Return comments on time.
coordinate.
Organize and
If draft has typos, simply mark the need to proof
more carefully at the top of the draft Then focus
on substance. If a draft is so full of typos that it
is difficult to read, it should be returned to the
contractor.
Provide clear criticisms. If tone is wrong,
rewrite a paragraph in the tone you want
imitated. If a concept has the wrong basis, or
you believe that it just isn't true, communicate
your perspective in plain words.
Remember, this is a draft. Its point is not
perfection, but correction. Integrity is what is
being refined. Polish later.
Address gaps and answer questions where your
contractor has asked for your input. Where you
don't have the answers, provide a resource the
contractor can explore.
AVOID
Plowing through draft once,
determined to catch every problem.
Trickling in several rounds of
comments after the deadline.
Proofreading. The contractor can
find typos. Staff needs your
qualitative review.
Littering margins with vague
comments like "No" or "wrong
tone" without explaining what
you mean
Editing for editing's sake
Glossing over questions.
3-8
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i 11
K I1
r^»r- \ ttr-uif
nc view
Reviewing Plans for Events
Meetings, seminars, conferences, and workshops are
also highly visible products that often attract consider-
able senior attention. Because many such events put
EPA in the public eye, senior management review is
obligatory. In general, these products warrant a lot of
review, consensus building, and sign-off. You may
find yourself in the role of "brokering" the review
process.
Events are fraught with detailed planning of logistics,
travel, agendas, speakers, equipment setup, and a
hundred other items that will cause untold trouble later
if not planned for now. Nonetheless, this should not
be your worry. Just ensure that the contractor has
thorough checklists for planning logistics and that
staff are seasoned events managers.
Checklist 3.4 in the Tool Box notes the
important matters with which you should concern
yourself.
Getting Help with Review
Now is the time to call upon the staff you need for
review assistance. These include both the superiors
who must approve the product's direction and the
technical experts whose input is necessary or valu-
able. Your review team should have been recruited
during the work planning process (Module 2).
Use your review team effectively. Ask yourself:
What kind of review do you want from each person,
i.e., on what should they focus their attention?
What is a good schedule for review? (Inform
reviewers on when their comments are due.)
How wilt you organize and coordinate comments,
especially if you intend to gel a large number of
responses?
Do you have the expertise needed to review the
product or should you call on another colleague?
Feedback to
the Contractor
Once all review comments have been made, the next
critical step is to transfer review results to the contrac-
tor. This must be done clearly and concisely, with
minimal opportunity for confusion, if you are to get
the product refined quickly and to your satisfaction.
Guidelines for feedback are discussed in the following
sections.
1. Make sure your directions are clear.
Mark up the draft (if the product has one). In addition,
prepare a memo that contains your general comments
about the deliverable. The memo might communicate,
for example, that a meeting is necessary to iron out
problems with the tone; that there is a major aspect of
the topic that has not been treated; that you believe
additional research is needed; that there is too much
emphasis on an area the target audience already
understands.
2. Document your instructions.
Your memo should spell out the details of how the
contractor should proceed. Any meetings about
revising the product should also be documented. This
is important for both sides. The act of writing
instructions helps you be clear about what you want
It prevents mistakes in verbal interpretation. It
supports contractor evaluation at task closeout if you
have been dissatisfied with performance. Written
feedback that critiques fairly and thoroughly, specifies
areas for improvement, corrects mistakes, fills gaps,
and answers questions is just what the contractor
wants.
GOLDEN RULES OF REVIEW FEEDBACK
1. Be clear in your direction.
2. Give feedback promptly.
3. Let the contractor in on your purposes for apparently arbitrary changes. You'll get better
cooperation.
4. Be the arbiter of intra-office conflicts over the product. Avoid involving the contractor in these
conflicts.
5. Listen to your contractor's response. There may be important reasons for a particular approach.
6. Specify to the contractor which comments to incorporate.
3-9
-------
PRODUCT DEVELOPMENT AND REVIEW
REMEMBER
If apKxluctison the contractor's word
proc«s% or computer system, specify thatit
be transferrable to yours, and get the contrac-
tor to make that transfer, where desirable.
3. Decide who will make the changes.
Two variables contribute to this decision. Money is
one: are there enough funds left in the task to have
the contractor make the changes, or would it be more
economical to make final adjustments in-house? The
answer is complicated by considerations of accounta-
bility. Are the modifications outside the original
scope? Are they 11th hour changes due to an
unexpected change in the schedule? Are (hey due to
the contractor's failure to comply with or understand
the instructions? "Too many changes, too little
money" can often indicate mismanagement on one
side or the other. The other variable in the decision
of who makes changes is whether you want the
increased creativity and expertise a team approach to
revision can provide. Your task can benefit from the
combined intelligence, perspectives, and technical
acumen a good contractor will bring to its refinement.
4. Get your comments back to the
contractor on time.
A good Work Plan specifies the length of time EPA
review should take. Make sure that your commenls
meet the deadline upon which you agreed. If you
absolutely can't return your definitive comments on
lime, give contractor staff some basic feedback on
the major problems you sec so they can begin re-
working or reinvcsligating deficiencies. They need to
know what to expect. It is unreasonable to "drop a
bomb" on the contractor three weeks late and expect
that your schedule can still be met. Like you, your
contractor staff juggles diverse projects, compet-
ing demands, and unexpected contingencies.
What about comments from your reviewers? You
often have little control over their timeliness,
although you should certainly be clear about the
response deadline. Where comments are being
returned by several reviewers, it is recommended that
you digest them first, rather than simply turning the
copies over to the contractor. Where multiple simulta-
neous review occurs, the best feedback tool you can
give the contractor is a master comment draft that
specifies all the changes you deem necessary on the
basis of the comments you receive.
If you have no choice but to have the contractor sift
the comments, at least go through each of the copies
and mark the changes you agree with. Delete all other
changes and written comments, espcially those that are
fuzzy or unproductive, such as: "Tone!" "Who says
so?" "Bill, what do you think?" "In me
Office, we do things differently."
Taking charge and making decisions in this area marks
the strong manager. The bonus: you will get the
product turned around to you speedily, more easily,
and with less confusion and lower cost.
5. Get the contractor's feedback on your
review.
Although contractor staff may differ with you on
certain points, they may have specific reasons for
pursuing an approach with which you take issue.
Listen and let your contractor be a consultant to you.
Always remember, though, that you are the final
decisionmakcr. A good contractor understands and
respects that fact. You know EPA; you know your
Office, your mission, and your program.
WHO MAKES FINAL CHANCES?
If you do: Decision tightens your control and
reduces use of contract dollars, but increases
your workload and is limited to your own
ability to respond to comments;.
If contractor does: Decision lightens your
workload, but is more expensive to the task
and means less control in your hands. More
minds may inject more technical savvy and
creativity.
Seeking Product
Utility within
OPPE and in
Program Offices
The groundwork for this step was laid during Task
Approval (Module 1) and deliverables planning. In
those phases you analyzed your (ask and proposed
products for what they could do to support OPPE's
mission, goals, and activities. The review process has
shared your work with a larger audience now directly
knowledgeable about the product. This is the time to
begin devising strategies for promoting your results
among interested individuals orin the case of hands-
on products-getting them used.
Methods for achieving this utility and visibility for
your products are discussed in detail in Closcout
(Module 6).
3-10
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» » I r-"> i a
KHUUUUI UbVhLUKMhN I ANU HtVltVV
RESULTS
Successful Product Development
and Review Results in:
Intermediate products that allow for tracking and development
of later products and for a deliverable production process that is
professionally gratifying for all participants.
A final product that:
- Meets target audience needs
- Supports OPPE's mission
- Is produced within the timeframe and budget stipulated
-Is well received by OPPE managers.
Satisfaction that reviewer input has provided depth and breadth to your final
product.
More concrete interest in your product as a result of the review process.
-------
PRODUCT DEVELOPMENT AND REVIEW
NOTES:
-------
PRODUCT DEVELOPMENT AND REVIEW
NOTES:
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PRODUCT DEVELOPMENT AND REVIEW
-------
4: TASK MONITORING
THIS MODULE COVERS:
Staying in Touch: Establishing sufficient verbal and written
communication to review and assess technical quality and accuracy
of the work products, schedule, and budget performance.
Record Keeping: Establish a functional, usable system for
maintaining written records of the work effort.
Establishing an Early Warning System: Develop a sense
through communication and other tools for when a project may be
going off track.
Troubleshooting: Take proper corrective actions with the con-
tractor to put the task back on track.
-------
iviwm i
WHY IS TASK MONITORING
IMPORTANT TO GOOD
TASK MANAGEMENT?
Effective monitoring is the key to a successful
project.
Circumstances can change rapidly, and adequate
monitoring wilt ensure that adjustments can be
made in time.
Documentation of progress will ensure that new
personnel can become involved smoothly when
needed.
step
Staying
In Touch
« Worksheet 4.1 - Telephone Log
Worksheet 4.2 - Meeting Record
Worksheet 4.3 - Sample Progress
Report Format
Worksheet 4.4 - Sample File Structure
Checklist 4.1 - Identifying Problems
Sample 4.1 - Invoice
Recommendation
Memorandum
The Secret to No-Surprises
Management-Staying in Touch with
Your Contractor
The key to successful task monitoring is to be active.
When the project has started, do not just sit back and
wait for the scheduled deliverable or required meeting
to see how work is progressing. Even on short-
duration tasks with well written Work Plans and
sufficient intermediate deli verables, a good Work
Assignment Manager should implement some formal
or informal technique for continuous monitoring of the
work. Select a system for communicating with the
contractor, establish regular intervals for communica-
tion, and put in place a system for maintaining records
of your communication.
Once work on the task begins, a creative, malleable
process is set in motion. To guide the task through
this process will require anticipation, identification,
and reaction to the curves in the road. It is important
to keep in mind that these twists and turns will
influence not just schedule and budget performance,
though these are particularly vulnerable. On almost
any project, the information and knowledge that is
developed as the work progresses will also affect the
direction, or in some cases, even the eventual goal of
the work. It is critical that some system be put in
place to keep you informed of the forces that may be
pushing the work in another direction, or off course
entirely. When these issues are identified, then you
and the contractor can agree on die corrective actions
necessary to put the work back on track. Lacking
adequate communication and a system for early
flagging of potential problems, work may proceed to a
point where even the most effective actions cannot
salvage a useful product.
Selecting the Proper Monitoring
Technique Will Help Ensure that You
Stay In Touch
Some experienced managers will tell you that there are
as many different ways to monitor progress on a
management consulting task as there are Work
Assignment Managers. Although it may be true that
many seasoned managers have developed favorite
persona] monitoring systems, it is probably best to
begin by selecting a basic approach that is most suited
to your level of experience, your track record with a
given contractor, and the particular characteristics of
your task. Four of the several types of communication
used to stay in touch are:
Frequent, scheduled phone conversations. Phone
conversations allow an informal assessment of how
the work is proceeding but may not necessarily
reveal whether problems have come up. If a
telephone conversation includes discussion of major
problems or the need to revise the task scope,
budget, or schedule, this should be documented on a
telephone log, and you should call a meeting as
soon as possible.
A sample telephone log is provided in the
Tool Box as Worksheet 4.1.
Face-to-face meetings. Meetings provide a more
extensive forum for discussion in which written
materials can be reviewed and marked up together.
It is often easier to work through potential problem
issues and agree on corrective actions at a meeting.
To ensure that you and your contractor come away
from the meeting with a shared understanding of
key issues, keep a record of the points discussed and
review it at the end of the meeting.
4-1
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TASK MONITORING
The meeting record provided as Worksheet
4.2 in the Tool Box will help you in preparing this
summary.
Formalized, written progress reports. These are
also an excellent tool for receiving input on task
activities. Progress reports are not interactive and
therefore do not serve as a vehicle for problem
resolution or redirecting the work. They are,
however, a very reliable technique for staying on
top of developments in the work. Some progress
reports are pro forma fulfillments of a contractual
requirement with no reviewable technical content.
If you use progress reports as a major monitoring
tool, make certain the contractor's Task Manager's
understands that you will and he/she will write
reports containing substance.
If a formal progress report is provided for your task,
it should be reviewed and your approval noted to
the Project Officer. If you have any problems with
a point made on the progress report, work wilh the
Project Officer to resolve the issue,
On most EPA support contracts, overall contract
progress reports addressing technical and financial
progress are required. These generally have separate
sections on each task. The Project Officer should
pass on copies of material applicable to your taks. If
you do not receive it, ask for the progress report for
your task.
A sample "generic" format for a task progress
report is provided in the Tool Kit for this chapter
(Worksheet 4.3).
Informal briefings. These provide a forum for you
and your contractor to identify any potential
problems with task progress.
PLUSES AND MINUSES OF
DIFFERENT TASK MONITORING TECHNIQUES
Technique
Phone Calls
Meetings
Written Progress
Reports
Briefings
Pluses
Simple
Quick
Complements other techniques
Interactive, provoke in-depth
discussion
Good for feedback, reviewing materials
Generally most reliable
More "official"
Can be distributed to bring others "into the loop"
Focused, issue-oriented
Minuses
No reference unless
documented
"Telephone Tag"
Scheduling problems; may
become unfocused.
Not interactive
Not a vehicle for resolution
Can obscure real problems
May lack substance
May not be interactive; may
require costly A/V materials
Advantages and disadvantages of each of (he four
task monitoring techniques described above are
outlined in the table entitled "Pluses and Minuses of
Establishing a Communication
Protocol for the Task
At the beginning of a task, establish the lines of com-
munication between your office and the contractor's
office. Let the contractor staff know who they should
contact in EPA if they have any questions about the
work to be done. As much as possible, all communi-
cations should be channeled through one person in
the contractor's office and one person in the EPA
office. This minimizes the opportunities for miscom-
munication, or for information falling through the
cracks (for instance, a contractor staff person could
agree to make certain revisions to a document without
telling the Work Assignment Manager). This require-
ment could be too restrictive, however, given the busy
schedules of EPA staff and of contractor project
managers. Therefore, it is recommended that, for both
EPA and contractor offices, a "backup" person be
assigned as the communication point, should the main
contact person be unavailable.
It is extremely important to stick to this communica-
tion protocol while a task is in progress. The Work
Assignment Manager should also decide how fre-
quently to communicate with the contractor during
task progress.
4-2
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T/"\
M
Responding to Contractor Concerns Documenting Major Changes in Task
About the Task Scope or Schedule
Part of the regular communication with contractors
involves being available to discuss questions or
concerns that may arise regarding task progress.
Several points are suggested here:
Make sure to return the contractor's phone calls as
quickly as possible. If possible, return the calls the
same day. At a minimum, return the calls the next
day. If a contractor is unable to communicate with
the EPA Work Assignment Manager until several
days after a problem has arisen, there is a danger
that the contractor will either: (1) take a guess at a
potential solution to the problem, and proceed along
a potentially wrong path; or (2) may stop work until
discussing the problem with the Work Assignment
Manager.
At the kickoff meeting, let the contractor know that
you would like to hear about any problems pertain-
ing to the management of the task as soon as they
arise. If a problem does arise, the contractor will
not be afraid to tell you about it immediately.
Participate in developing possible solutions to the
problem. If time permits, schedule an emergency
problem-solving meeting with the contractor. If you
expect to be out of town, let the contractor know
how long and who will be your backup while you
are gone.
It is extremely important to document any changes in
scope or focus of the task as soon as possible. As
soon as changes in focus are agreed to, summarize the
major points in a brief memo and send it to your con-
tractor. Or, you can ask the contractor lo summarize
the changes in a memo and send it to you. For major
changes, e.g., in scope, you should ask the contractor
to revise the Work Plan. This written documentation -
- even in the form of a brief memo - helps to make
sure that all parties have the same understanding of
what changes will be made.
Do I Really Need to Talk to the
Contractor Every Day?
Your job has plenty of demands, and a daily call to
your contractor will probably not be feasible or nec-
essary. However, if you wait to call until the contrac-
tor has completed work on a deliverable, an opportu-
nity may have already been missed to change course
in a more productive direction. Or, if the contractor is
proceeding off in a direction other than thai which you
understood at the kickoff meeting, thousands of
dollars may already have been spent It now may not
Tips Of the Trade: You arc probably
communicating adequately with the contractor
if you have seen written output or discussed
progress of the work within the last one to two
weeks. If you feel uncomfortable, and are
beginning lo wonder what the contractor is
doing, you need more frequent communica-
tion. :..
be possible to put the work back on track without a
budget increase, diminishing of the original goals, or
some kind of sanction against the contractor. None of
these responses are favorable and all will require
significant time and effort on your part.
The best interval between contacts with the contractor
will depend on the schedule and budget for the task,
the complexity of the task, clarity of the work assign-
ment, seniority of the contractor's staff, and intensity
of work at a given time. A good guide to remember is
the shorter the project, the more frequent the commu-
nication should be. Although this may seem back-
ward at First, consider that on a two-week task, if you
do not review progress at least weekly, the contractor
will deliver you a product without even a midpoint
review. Some recommended rules of thumb for
communication intervals are listed below:
For short-turnaround types of tasks (4-6 weeks), a
good rule of thumb is to have a phone conversation at
least once a week and a face-to-face meeting twice a
month.
For "average" length tasks (5-6 months), it is probably
advisable to have phone calls not less than every two
weeks. Face-to-face meetings should be held no less
than every month, assuming there are no scheduled
meetings during the period. On tasks of average
duration, it is also advisable to request some form of
written progress reports. These can be a simple, one-
page summary of technical issues, budget, arid
schedule performance. Lacking these official status
reports, you should augment your "feel" for the
technical and schedule performance of the task with a
check of the budget status with the Project Officer.
4-3
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TASK MONITORING
TlpS Of the Trade: If you have ques-
tions or concerns about the contractor's
performance, visit the contractor's office to
discuss progress, and meet (he other project
staff, or even ask to work to the contractor's
office with the project gaff,
Ask or require that the contractor call
you. Express « willingness to hear from the
Project Maru^r on aijy issue and especially to
bear problem* A ^tractor who feefe that
there is an attentive and understanding partner
your attention.
On longer tasks (6 months and longer), the interval for
phone conversations and face-to-face meetings should
not change. However, on these projects, it is even
more strongly recommended that written progress
reports be requested, and that some formal budget
tracking system be initiated. On long tasks, the
natural tendency is to slay on top of the more immedi-
ate office demands, often losing track of the task's
progress. On long, costly projects, this can often lead
to serious problems, such as last minute crash efforts
of less than satisfactory quality, or tasks with budget
overruns. It is very important on long tasks to have
regular briefings or meetings to receive a good feeling
for the progress and direction of the work and to
provide feedback to the contractor.
REMEMBER
You are not the only person keeping records.
Check with your supervisor and other Work
Assignment Managers as well as the Project
Officer to determine what materials to request
and maintain.
STEP
Record
Keeping
What Records Should I Maintain to
Provide an Adequate "Paper Trail" of
the Effort?
Equally important as choosing the proper monitoring
technique and selecting the appropriate interval for
communication, is implementing a system for storing
the different written materials that will constitute the
formal record of the task. These papers begin with the
scope of work you may have used to "charge" the
contractor with the assignment and continue through a
Work Plan to the final deliverables. Without access to
these materials for review and reference, it is not
feasible to adequately control the task. For this
reason, it is strongly recommended that a standardized
filing system be developed and used for records
maintenance.
Task records come in four basic types:
Management documents such as work scopes and
Work Plans;
Financial records such as budget calculations and
projections, invoices, and payment receipts;
Correspondence, including transmiual letters,
written progress reports, and records of telephone
communication and meetings; and
Deliverables-lhe intermediate and final products of
the contractor's efforts.
Throughout the course of the task, you will receive
input in each of these four areas. You will need to
review and act on it, which is discussed in the next
two sections of this module, and then place it in a
retrievable location for future reference. Good records
documentation is essential to successful task manage-
ment
By reviewing these questions in your mind continually
throughout the course of the work, you will ensure that
an adequate "paper trail" of the project is established.
Your records wUI be available to remind all parties to
the project of decisions and agreements reached when
work started and as it progressed. A "paper trail" is
important on all projects, but especially in cases where
project management staff (either EPA's or the contrac-
tor's) change during the project, and in cases where
your manager changes positions during the work.
Written documentation is especially important for
long-term data retrieval - so that next year, or later,
others can determine why a particular action was
taken.
Filing systems are like monitoring techniques
-- everyone has a favorite way to do it. For general
guidance, a sample file structure is included in the
Tool Box for this module (Worksheet 4.4).
Should I get it in
writing? Who should be included on the
copies or distribution? Will I be able to find it
later when it is needed?
4-4
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.*"* K I I^^X">i |% 1*1. .
MUINI IUMIINU
STEP
I Establishing an
Early Warning
I System
Establish an Early Warning System to
Alert You to Potential Problems
Once you have established a system for staying in
touch with your contractor, you still need to develop a
process for assessing the inputs that you have received
to make a judgment about how work is proceeding and
whether steps need to be taken to modify the task
direction, schedule, or budget. What is required here
is some form of "early warning system": a process for
flagging problems before they become big issues and
for guiding your decisionmaking in response to these
curves in the road.
All of the methods for early warning require some
baseline against which to compare the input you
receive from the contractor as work progresses. This
is another reason why a task Work Plan is so impor-
tant-it is your baseline.
Flagging of technical problems with the work is one of
the toughest, yet most important jobs that a Work
Assignment Manager must carry out. The inputs you
have to go on are limited until there is a technical
product to review. By this lime it may be too late.
Experience is very important here. A progress report
rarely says "We don't understand the work," or "We
are having technical difficulty performing the analyses
that were specified in the work plan." Instead, you
must rely on your Work Assignment Manager's
instincts and look for subtle signs.
Are your technical discussions with the
contractor clear and direct?
Does the contractor's staff indicate under-
standing of your direction by their actions
and decisiveness as well as by suggestions
and comments?
Can the contractor's manager clearly explain
how the technical analysis will be carried
out?
Does the contractor ask questions or request
data that you consider relevant to the
assignments?
If you Find yourself answering "no" to many of
these questions, it is an early warning sign of
technical difficulties. You should immediately
tell the contractor you are confused about the
approach and ask for an explanation or request
a briefing. Briefings are an excellent forum
for presenting concepts and approaches, and
may well help you determine that everyone is
on (he right track after all or identify the nature
of the misunderstanding.
Early warning of schedule and budget problems is
relatively easier because of the more objective nature
of the assessment, and because there are analytical
techniques available to assist with the determination.
The basic approach used by most Work Assignment
Managers is to evaluate progress by manually compar-
ing reports from the contractor with milestones
contained in the task Work Plan. This technique is
most successful at true early warning if there are
adequate milestones so that progress may be evaluated
at fairly short time intervals.
A significant increase in early warning capability can
be achieved through use of computerized tracking and
flagging systems in place of a simple manual review.
These systems have many "bells and whistles"~sorne
can project into the future as well as assess existing
conditions. Most all will generate Gantl and PERT
charts and graphs of projected vs. actual expenditures.
Best of all, many systems will automatically flag
problem areas where milestones have been missed or
costs are exceeding projections. All of these attributes
do not come without their price, however. The
systems are expensive and require substantial input of
tracking information. The cost and commitment of
your lime is probably only justified on the most
extensive and cosily tasks. These systems are. for the
most part, more suited to tracking of large, multi-task
projects.
4-5
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TASK MONITORING
As work progresses on your task, you may occa-
sionally find yourself with an assignment where
warning flags are being waved on all sides-the task is
running over budget, the schedule is not being met.
and the nature of the technical work seems decidedly
different from the original objectives. Yet, you feel
that the effort has merit and is being properly run by
the contractor. This may be a case where the direction
that the work has taken is so different from the
original scope, or the actual effort so much greater
than anticipated, that the most prudent course is to
split the work off from the original task-either as a
subtask or as a new task. This issue was raised right at
the beginning of Module 1. where it was suggested
that a Work Plan should be developed for any new
task, whether it is an original assignment or an
outgrowth of an existing task. The basis for determin-
ing whether a new task should be created is basically
the same as identified in Module 1- major differences
in scope, total changes in the nature of deliverables, or
significant increases in the level of effort.
REMEMBER
With any tracking system it is still up to the
Work Assignment Manager to effecUvely utilize
the irtpoj provided by the contractor. You must
review the products and progress reports against
an established performance baseline and make a
judgment on how satisfactorily the work is
progressing. Based on this evaluation, yon may
find it necessary to take corrective action.
Troubleshooting
Take Clear, Decisive Action with Your
Contractor to Put the Task Back on
Track
If your early warning system sends up a flag indicat-
ing problems with the task, it is time to take decisive
action. A series of three steps is recommended to put
the work back on track and meet the original project
goals to the extent possible.
1. Identify the Cause; Don't Assign Blame.
When problems arise in any situation, a natural reac-
tion is often to begin pointing fingers. Resist this
urge. There will be time for assigning and accepting
blame later. For now, accept the responsibility for
solving the problem and focus your efforts on finding
effective solutions.
Some questions to use in identifying the root
causes of typical problems are presented on Checklist
4.1 in your Tool Box.
Based on the answers to the questions on the check-
list, it will be possible to fully understand the nature
of the problem and begin to identify a range of
constructive remedies.
2. Develop a Range of Responses
The appropriate response to a problem on a manage-
ment consulting task depends on the type of problem-
schedule, budget, technical-the root cause, and the
extent to which work has progressed on the task. If it
is still early in the work, the range of solutions is much
wider and the chances for fully regaining your footing
are much better. All the better reason for singling out
problems as soon as possible. There are three overall
categories of corrective actions that may be taken.
Revisions To The Work Plan: You can revise the
Work Plan by changing the scope, schedule or budget.
These actions are most appropriate early in the process
in cases where you feel confident that both you and
the contractor have the necessary capabilities to
perform the work. These types of actions are effective
when the main problem source was poor development
of the work plan. Selecting one of those approaches
may mean that a schedule extension or budget increase
is justified. Therefore, make sure that it is feasible
within your time and budget limitations.
Scope changes can also be undertaken later in the
course of the task, or when there is a more fundamen-
tal flaw in the project team composition or capabili-
ties. This type of change, however, typically results in
a retroactive agreement to lower the goals and
expectations for achievement from the work effort.
4-6
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TASKMONMUHiNU
Contractor Concessions/Sanctions: This category of
actions includes requiring completion of work without
payment, temporary cessation of the work effort, and
fee penalties on award and incentive fee contracts.
These types of actions are generally appropriate only
where the contractor has demonstrated an inability or
unwillingness to perform the assignment, or where the
work to date has been largely unsatisfactory, but the
contractor has indicated a willingness to assume full
responsibility for correction of mistakes. Elevation to
this level of action is not typically done without
discussions and concurrence of the Project Officer and
Contracting Officer. These measures are all fairly
harsh, can reflect poorly on all parties involved, and
generally produce a fairly contentious environment for
completion of work.
Stop Work Orders: This level of action is very
infrequently required. It is generally only considered
where a complete failure to perform has taken place.
Stop work orders must be initiated by the Project
Officer and can only be carried out through a formal
procedure by the Contracting Officer.
3. Implement the Corrective Action
Putting the appropriate corrective action in place will
require notification and discussions with the Project
Officer, the contractor's Project Manager, and in
some cases as mentioned above, the Contracting
Officer.
Once you have identified a problem, it is recom-
mended that you meet with the contractor to discuss
your concerns and get the contractor's perspective.
After weighing any other facts, make a final determi-
nation on the cause of the problem and ask the
contractor for recommendations on the best solutions.
Your contractor's Project Manager should be experi-
enced and may have faced these problems before. In
many cases, the contractor's input and recommenda-
tions can be very helpful. You may find that with the
contractor's help, the work effort can be put back on
track with minimal difficulty. If the problems cannot
be resolved through discussions with the contractor,
you may need to proceed on to meetings with the
Project Officer and then issue notice of the required
actions to the contractor.
4-7
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TASK MONITORING
RESULTS
Successful Task Monitoring
Selection of a workable method for communicating progress on
the work.
Scheduling and execution of the selected verbal and written
communication protocol.
Development and use of an adequate record keeping system.
Selection and application of a system to review communication and
identify early signs of problems.
Selection and implementation of actions adequate to keep the work on
course or to modify that course if appropriate.
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*T» I R, i
IVIUINI
NOTES:
-------
NEGOTIATION, COMMUNICATION,
ETHICS
THIS MODULE COVERS:
How to Negotiate with Contractors: Points out where negotiations
with contractors may be required in the life of a task; different negotiation
techniques; how to distinguish negotiable from non-negotiable items.
Effective Communication Is the Key: Being clear about what you
want and expect; communicating about difficult subjects.
Ethics for EPA Work Assignment Managers Who Manage
Contractors: Summarizes the ethical standards for EPA employees man-
aging contractors and provides a forum for Work Assignment Managers to
discuss the "gray areas" that frequently arise during contractor management.
Organizational Conflicts of Interest (OCI): Defines OCI and identi-
fies guidelines for detecting and avoiding OCI.
-------
NEGOTIATION. COMMUNKJAl JUN. b I HJCS
WHY ARE NEGOTIATION, COMMUNI-
CATION, AND ETHICS IMPORTANT TO
GOOD TASK MANAGEMENT?
Negotiating in good faith should lead to satisfactory
agreements.
Using nonconfrontational techniques improves
communications.
Good communication ensures that everyone under-
stands the assignment and planned approach.
Communication can foster team spirit and commit-
ment to the project and can get a troubled task back
on track.
* Attention to ethics issues is needed to ensure that
impropriety of Work Assignment Manager does not
occur.
Tool Box
Checklist 5.1 - Developing A Negotiation
Strategy
How to
Negotiate with
Contractors
A client-contractor relationship will always have some
adversarial elements to it Despite efforts at effective
communication and sincere attempts on both sides to
foster a positive team spirit, there will be those times
when you and the contractor will disagree on certain
aspects of the task. At these points you must negotiate
to solve these disagreements. It is possible to use
negotiation techniques to reach agreements that will
satisfy the needs of you and your contractor.
This section:
Identifies times when a Work Assignment Manager
may be negotiating with a contractor during task
planning and implementation;
Explains how to prepare a negotiation strategy
before dealing with the contractor; and
* Provides some pointers for conducting these
negotiations.
Times When You May Be Negotiating
with a Contractor
There are at least three points in the life of a task when
you may be negotiating with a contractor:
When the Work Plan is initially prepared;
* During any mid-course correction, when it becomes
apparent that a change in the task's focus is needed;
and
Near task completion, when a final product needs
modification (especially if it is unacceptable).
There are several things that could be negotiated
during Work Plan review, including the task's scope,
budget, and schedule of deliverables. During these
negotiations, you will be trying to get as much work as
possible for the funds allocated to the task, and the
contractor will be trying to make sure that there are
sufficient hours in the task to complete the work.
These two interests do not necessarily have to be in
conflict. The Work Assignment Manager simply has
to be creative during the negotiations.
Mid-course corrections are another point in task
implementation where you can become involved in
negotiations. A shift in EPA's program policies could
result vtt the need vo revise, the focus oC the task. In
this instance, negotiations would likely center around
how much of (he work already completed could be
used for the revised task scope; how much additional
work will have to be undertaken; and whether this
additional work can be completed given the task's
existing budget. By the time a task is half-completed,
a contractor may be very concerned that there are not
enough hours to complete a task, and may be rather
inflexible about revising its scope.
The final point where you may be negotiating with a
contractor is near the task completion when, despite
extensive communication between you and your
contractor while the work was in progress, the final
product requires modification. The contractor may be
somewhat inflexible about revising the document if
there are no additional funds to make the corrections.
However, this does not necessarily mean that both of
your needs cannot be met. You may be able to
develop some creative solutions to this impasse during
negotiation sessions with the contractor.
5-1
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NEGOTIATION. COMMUNICATION. ETHICS
Develop a Negotiation Strategy
Before beginning any negotiations with a contractor, it
is helpful if you have a clear picture of the issues
likely to be discussed, negotiable and non-negotiable
items, and your "bottom-line" needs. Negotiations
will proceed much more smoothlyand agreements be
reached more quickly--if you take a little time to
prepare a strategy.
To assist you in this effort, a checklist is
included in the manual's Tool Box (Checklist S.I *
Developing a Negotiation Strategy).
Five steps are suggested here for preparing a negotia-
tion strategy.
1. Identify the issues that you think will be
raised
If your negotiation will center around provisions in the
Work Plan, reviewing that document should provide
some indication of the issues. When reviewing the
Work Plan, use Question #1 of Checklist 5.1 lo jot
down those aspects of the plan that you believe should
be changed. This, then, gives you a preliminary list of
issues that you can be prepared to address.
If you are negotiating for a mid-course correction or
revisions to a final product, you will have already
established a working relationship with the contractor.
Based on your familiarity with the personalities at that
firm, you should be able to predict how they may
respond to proposed changes. Here again, Question
#1 of the checklist can help you to organize your
thoughts when trying to anticipate potential negotia-
tion issues.
2. Identity your "bottom-line needs"
Successful negotiations usually require that both
disputants make some concessions in order to reach
an agreement If you know that you are going to be
negotiating, it is extremely helpful to identify ahead
of time some possible negotiable items that you could
discuss (see Step 4, below). Before identifying these
items, however, it is essential that you outline your
"bottom-line" position; that is, the minimum you
require lo ensure that your needs will be met. For
instance, while you may agree to extending the
schedule for completing a deliverable, your bottom-
line need might be that the product must be com-
pleted in time to present it at an upcoming con-
ference. These should be as fundamental as possible,
i.e., ask yourself why, rather than what EPA needs.
Question #2 on the checklist asks you to identify your
bottom-line needs.
3. Identify the non-negotiable items
There are several potentially non-negotiable items
associated with any task. For instance, the agreed-
upon overhead and fee in a mission contract cannot
be renegotiated with each task. There may also be
limits on the type of work that can be performed
under a particular contract
In addition to contract limitations, a task may have
non-negotiable budgetary constraints. For instance, if
a task is proposed near the end of a mission contract's
life, there may no longer be a "cushion" of additional
funds should a task require more hours to complete
than originally scoped. Other non-negotiable items
could include an Agency directive or an order from
your supervisor.
When developing a negotiation strategy, it is helpful
to list all of the non-negotiable items that pertain to the
task. Question #3 on the checklist will help you in this
effort.
4. Identify negotiable items
The most creative pan of developing a negotiation
strategy is to think of options for possible concessions
that you could make. Because you have already
identified your bottom-line needs and your negotiation
constraints, you should be able to come up with some
focused and useful alternative suggestions. If pos-
sible, try to prepare one or two options for each of the
issues that you expect to be raised.
These options are especially helpful to have in the
back of your mind while negotiating. They can help
you to reach an agreement much faster than if you and
your contractor both began negotiating "cold."
Question #4 on the checklist suggests some possible
options on negotiable items.
5-2
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NEGOTiATiON. COMMUNJUAl JUN. b I HICS
5. List the questions that you want to ask the
contractor
While considering possible ways to ensure that you
meet your "bottom line" needs (see Step 2, above),
you may have realized that you need more information
from the contractor before you can suggest solutions
in the negotiation session. For example, you may
have decided to suggest that the contractor reduce the
Other Direct Costs costs in a given Work Plan. There
may, however, be a good reason for these costs that
you were not aware of. In this case, you should ask
the contractor to explain the basis for these costs
before you suggest that they be reduced. Question #5
in the checklist provides space for you to jot down
these questions.
identifying some key questions ahead of time has at
least two advantages. First, it can help you identify
more targeted solutions to disagreements in a nego-
tiation session. Second, a contractor's responses to the
questions you ask in a negotiation session will give
you an indication of how cooperative he or she will be
during that session. If a contractor does not answer
your questions in a straightforward manner and seems
defensive, be prepared that the negotiations could
become heated.
When asking these questions to your contractor, it is
extremely important that you pose them in a non-
confrontational way. Even the most well-intentioned,
cooperative contractors can become defensive if they
feel like they are being grilled. "Tips of the Trade" in
the next section, "Effective Communication is the
Key," provides some examples of how to discuss
difficult situations in a constructive, non-confronta-
tional way.
What to Do in a Negotiation Session
The negotiation strategy you've developed gives you
the tools to conduct the negotiations efficiently and in
a positive manner. The question is: What do you do
with the strategy? It is not possible to lay out a step-
by-step approach on "how to conduct yourself in a
negotiation." So much of it depends on reacting to
what you hear the other negotiator say. Developing a
sense of the flow of a negotiation and the timing
involved-such as knowing when to ask a question,
offer a solution, make a demand, or raise a new issue--
just takes practice.
It is possible, however, to offer a few pointers on how
to act in a negotiation session; these are briefly noted
below.
Ask questions first. Begin the session by asking
the contractor the questions that you identified on
the checklist. This will ensure that you quickly
gather all of the information you need to suggest
options. Again, how you ask the questions is
important"be sure to use non-confrontational
language.
Couple the non-negotiable items with a positive
suggestion. During the negotiations, the contractor
is likely to request a concession that is one of those
non-negotiable items you identified in the checklist
When this happens, explain why something is not
negotiable, and suggest a couple of areas that can be
negotiated. For example, you might respond to a
contractor's request for more money in the task as
follows:
"Unfortunately, all remaining funds in the
contract have already been committed, so we
don't have any extra money for the task. Maybe
we can talk about reducing the task scope
somewhat, or look at some ways to reduce
costs."
This statement lets the contractor know that the
request for more funds is something that you are
unable (rather than unwilling) to provide. Chances
are. this will not be raised again in the negotiation
session. Suggesting one or two alternatives to
consider lets the contractor know that there are other
ways to address the concern of "not enough hours to
complete all of the work."
Stick to your "agenda." If you think the negotia-
tion discussions are going off on a tangent, don't be
afraid to say, "I would like to get back to discussing
." This will help to ensure that you
have a chance to discuss all of your concerns.
Use non-confrontational language. This cannot be
stressed strongly enough. The way you say some-
thing often has much more of an impact than what
you are saying.
-------
NEGOTIATION. COMMUNICATION. ETHICS
Offer your proposed solutions. Be willing to
suggest the possible solutions that you identified in
Question #4 of the checklist Suggesting alternative
solutions helps to reduce the adversarial tone of a
negotiation session. Instead, the meeting will take
on a "team spirit," where you and your contractor
are jointly trying to resolve some problems.
* Ask the contractor to suggest solutions. If the
contractor keeps shooting down every suggestion
you make, without offering any alternative, you
could ask:
"What do you suggest as an option, given the
constraint that no additional funds are available
for the task?" This puts the responsibility back
on the contractor to come up with some
solutions, rather than just criticizing yours.
When asking this question, make sure to
reiterate the non-negotiable i
Summarize the agreements reached. At the end
of the negotiation session, take a moment to verbally
summarize the agreements that you and your
contractor have reached. This will help to ensure
that you both have the same understanding about the
agreement. In long negotiating sessions, periodi-
cally summarize throughout the meeting, e.g., when
agreement seems to be reached on an item.
Effective
Communication
Is the Key
Most people taking this course are probably thinking,
"What do I need to learn about communication that I
don't already know?" At first glance, this seemingly
simple topic may not seem worthy of consideration in
a contractor management training course. Not true --
this topic is extremely important. In fact, poor com-
munications with a contractor is one of the main
reasons for a project's final product not being ade-
quate to meet your needs.
Provide Contractors with Clear
Instructions
When giving contractors initial instructions on the
task, always keep in mind the three questions,
"What?" When?" "How?" If you answer these three
questions in sufficient detail, chances are that the
contractor will have a solid understanding of the
work that is required.
1. "What?" - covers the activities that a contractor is
being asked to undertake and the deliverables that
must be produced. If the final product is a written
document, describe your impression of that docu-
ment in as much detail as possible. You might
say, for instance, "I envision the report covering at
least the following items, Gist them), and being
between 30 and 50 pages, with tables." These
initial impressions may change as the task pro-
ceeds; but at least it gives the contractor a basic
idea of what you have in mind. To some extent, the
"what?" will be covered in the Work Plan. But any
supplementary information on the details of the task
will be extremely useful to the contractor. The
task's kickoff meeting provides an excellent
opportunity for discussing the details of the task.
2. "When?" - covers when the Work Assignment
Manager expects the contractor to complete each
activity and deliverable. Here again, this will be
covered to a large extent in the Work Plan. In
addition to the deliverables specified in the Work
Plan, however, the Work Assignment Manager may
also request interim, less formal deliverables, such
as a preliminary outline for a report, or a test
printout from a new data base. The Work Assign-
ment Manager could request these informal
deliverables at the task's kickoff meeting. In
addition, some deadlines may be arbitrary-for
pacing the work-while others are unalterable. Let
the contractor know which are which.
3. "How?" - provides the contractor with some
guidance on the general approach for completing
the (ask. Although Work Assignment Managers are
not supposed to closely direct how a contractor
should complete a task, it is perfectly acceptable for
a manager to ask to be regularly briefed on the
approach used. Any concerns that the Work
Assignment Manager has about the approach can be
raised at these briefings.
5-4
-------
NEGOTIATION. COMMUNICATION. ETHICS
tips Of the Trade: To promote effec-
tive communications with contractors:
* Provide contractors with clear instructions
regarding the task to be undertaken.
Always try to give the contractor positive*
rather than negative, motivation.
v Foster a "team spirit," rather than an
adversarial relationship, with the contractor.
* Communicate with the contractor at regular
intervals throughout the duration of the task.
* Establish a "communications protocol" with
the contractor at the beginning of the task,
and stick to it,
Be open to suggestions and feedback from
the contractor on the specifics of the task.
Be responsive to contractors' concerns about
how the task is progressing.
Document all major changes in the task
scope or schedule.
Communicate Leadership
In a very true sense, you manage the effort of your
contractor team. What are a Work Assignment
Manager's rights and responsibilities? Whenever a
contractor is working for you, you have a right to
expect delivery of a quality product on the date it was
promised. You are responsible for ensuring that
contractor staff understand their mission.
Some attention to motivation is likely to get you the
best product for your money. Contractors want to
know that you, their client and manager, are satisfied
with their effort And sensitivity to team spirit can
also help you head off problems before they start.
Here arc some ways to achieve it:
Explain the importance of the task and its final
product, and how it fits in with OPPE goals and
objectives. This will give the contractor a sense of
contributing to these overall program goals. De-
scribing the importance of a task may also help to
motivate the contractor to do an excellent job in the
hopes that his or her efforts could lead to future
follow-up work.
When the contractor has produced a good interim
product (e.g., draft report, or annotated outline for
the draft report), acknowledge it.
Put some of your own creativity into the task. If
lime permits, join the contractor staff in one or more
brainstorm ing sessions about how the task should be
developed. Participating in a session like this will
also reinforce to the contractor that the task is
important to you.
REMEMBER
Team spirit goes a long way toward yielding
an excellent product Meet your Cornrnit-
ments, be fair, and offer praise and encourage-
ment to the contractor. A positive relationship
from the start will smooth the way iftiifficul.
ties arise later. ;
Meet your commitments for the agreed-upon
amount of time for EPA review of draft products.
If, due to factors beyond your control, you are
unable to meet these review deadlines, then you and
your contractor should revisit the Work Plan and
adjust the task scheduling to reflect this lengthened
EPA review time.
Be fair with the contractor regarding tight deadlines.
Fast turnaround "crisis" tasks are a fact of life in any
agency. However, you will burn out contractor staff
very quickly if you are constantly asking them to
burn the midnight oil to gel products completed. It
is important to identify what is and isn't a real
emergency on a task, and only ask for this intensive
support when there is a real need,
When the contractor has produced an inadequate
product or you are dissatisfied about a staffing issue,
express your position clearly and constructively.
The next section provides some ideas on dealing
with unpleasant issues in these areas.
5-5
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NEGOTIATION. COMMUNICATION. ETHICS
Get Tough Reasonably
Occasionally your contractor is going to let you
down. Discovering the causes lakes patience and
managerial skill, not to mention objectivity. You
may blame personality problems, poor communica-
tion, inappropriate staffing, lack of direction,
insufficient senior attention, or many other pitfalls. It
is important to identify the cause so that you can keep
it from happening again. Equally important is this:
How are you going lo fix the problem right now?
Here are a few suggestions:
* First, use the Product Review Checklist in the Tool
Box to identify the main problems with a product.
This is especially useful if the discussion is going
to make you uncomfortable: you won't overlook a
point.
Second, be forthright. Don't hint around. Your
contractor is professional enough to hear both the
good and bad news. A mixed message only
confuses the listener.
Third, be clear. Don't just say, "This is terrible."
Let the contractor know that "We have a long way
to go on this," or "We have quite a bit more work
to do." If the product is salvageable, identify what
you like. Then clearly say what's wrong. Describe
any broader conceptual problems first; then focus
on details.
Fourth, be willing to listen to explanations and
suggestions on how to fix the product. Chances
are, the contractor will come up with the same
changes you want anyway if you explain the
problem clearly. The contractor will "own" the
problem and save face at the same time.
Fifth, consider the history of the relationship and
apply perspective. If this is a rare disappointment,
put despair aside and focus on trust and mutual
problem-solving. If the contractor or the staff is
new to you, this approach is clearly more difficult to
pursue.
* Sixth, bring in an objective ally. This is a good
anchor if you're very upset. The more difficult a
situation is, the more clarity it needs. The Project
Officer for the contract is a good choice.
Seventh, if staffing is the problem, ask to meet with
a senior manager in the contractor firm. He or she
can help you work out a harmonious solution. Be
careful, though:. you aren't within your rights to
dictate contractor staffing. In this case, identifying
the problem rather than dictating the solution is not
only dcsireable but also the only legal way to
proceed.
Eighth, whenever possible, use constructive, not
confrontational language, even though you may feel
angry and disappointed. The immediate need is for
damage analysis and control. Reprimands, if
necessary, should come later.
The "Tips of the Trade" box on the following page
shows two ways of expressing your concerns in the
areas of Work Plan negotiation, mid-course correction,
product review, and staffing. One way of expression
is clearly more productive than the other.
Ethics for EPA
Work Assignment
Managers Who
Manage
Contractors
EPA employees who manage contractors are expected
to adhere to some standards of conduct. All EPA
employees should thoroughly review 40 CFR Part 3,
"U.S. EPA Guidance on Ethics and Conflicts of
Interest." Employees managing contractors should be
particularly aware of the following four standards:
Gratuities
Work Assignment Managers must not accept gifts,
entertainment, or favors from a contractor. Possible
exceptions are:
Food or refreshments of nominal value only
when official business is being transacted during
the meal and only when there is no arrangement
for separate bill ing;
Food or refreshments at widely attended gatherings
sponsored by industrial, technical, or professional
organizations if the employee is representing EPA;
Incidental transportation from a private organization
in connection with official duties;
Unsolicited advertising or promotional material of
nominal value (under $10), such as pens, pads, or
calendars; and
Gifts from family or friends only if it is obvious that
the persona] relationship, and not the business
relationship, is the reason for such gifts.
If accepting even a nominal gift or gratuity would
create the appearance of an impropriety, the Work
Assignment Manager must refuse it.
5-6
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NEGOTIATION. COMMUNICATION. ETHICS
Tips Of the Tfade: It's important to choose the right words in touchy situations. Tiy to pose questions that are open-ended and use words that are not
emotionally charged.
CONFRONTATIONAL LANGUAGE CONSTRUCTIVE LANGUAGE
During Work Plan Negotiation
Why are these Other Direct Costs costs so high? Tell me more about Jl» basis for these Other Direct Costs costs.
Can't you shorten the schedule? Is there a way that we coold condense the schedule?
Your proposed labor mix has too many senior staff hours. You could reduce costs somewhat if you moved some of the senior staff boors to
more junior levels.
It shouldn't take so many hours to complete this subtask. Explain to me all the steps needed to complete this subtask.
During Mid-Course Correction
These revisions will have to be covered by the existing money in the task. Unfortunately, we don't have any additional funds for the task. How can we get
: these revisions completed while stay ing within budget?
The approach that you have been taking to complete the work is There may be another approach to completing the task which is less time*
very inefficient. consuming.
During Product Review
This final product is unacceptable; it will have to be completely redone, I would like to discuss some changes 16 the final product They are fairly extensive,
but! think they are necessary to make the product more targeted to our office's
needs.
Here are my changes. Have a new draft ready in two weeks. What are your suggestions for correcting these deficiencies?
You dearly didn't understand my instructions. Let's discuss how this happened so we can prevent future misunderstandings.
On Staffing Issues
I don't want Joe on this project any longer. There seem to be some personality problems between Joe and me.
These staff are way too junior to perform the work. This project requires more senior attention.
5-7
-------
NEGOTIATION. COMMUNICATION. ETHICS
Contractors' Confidential Business
Information
EPA technical personnel often are privy to highly
confidential contractor information, such as profit
margins, indirect cost rates, number and kind of
employees, individual salary rates, or amount of
award fee. The Work Assignment Manager must be
careful not to discuss anything known about a
particular contractor with anyone (including other
EPA employees) who does not have a "need to
know." Even casually mentioning your personal
opinion of a contractor's performance on a particular
task is unauthorized.
EPA's Confidential Business
Information
Likewise, the Work Assignment Manager cannot
share confidential business information about
regulated industries with contractors even when
they need the information to perform the Work
Assignment until they have been appropriately
cleared to receive such information.
Maintaining Impartiality
Government employees must remain objective
about a contractor's performance. For this reason, a
"Docs my
behavior towards a contractor have an appear-
ance of impropriety?" If the answer is "yes,"
you should modify your behavior.
professional distance must be maintained, and
socializing with contractor personnel outside of
official duties is discouraged. Government employ-
ees' actions should be such that a full public
disclosure would not give rise to a question of
impropriety.
Disclosure of Procurement
Information
All information before award of any contract or
contract modification is highly confidential. Any
unauthorized disclosure of this information could
lead to one or more contractors having a competitive
advantage over others, which could result in a bid
protest
For this reason, it is essential that Work Assignment
Managers do not inadvertently let slip any advance or
otherwise confidential procurement information to
current contractors or other firms who contact them.
While these standards of conduct seem fairly cut and
dry, there are a number of gray areas that require
EPA Work Assignment Managers to make judgment
calls about the ethics of their behavior. The most
frequently faced gray area is how to interact with
former EPA colleagues who have left the Agency to
join consulting firms. The training course accompa-
nying this manual includes a discussion forum on
how EPA Work Assignment Managers should deal
with these gray areas.
In this training course, you will receive a copy of
"Ethics in a Nutshell," a booklet summarizing ethical
conduct for EPA employees.
Organizational
Conflicts of
Interest
What are Organizational Conflicts of Interest (OCI)?
The Federal Acquisition Regulation (FAR) defines
OCI as existing "....when the nature of the work to be
performed under a proposed Government contract
may, without some restriction on future activities, (a)
result in an unfair competitive advantage to the
contractor or (b) impair the contractor's objectivity in
performing the contract." EPA realizes that detecting
OCI is not quite as straightforward as the FAR might
indicate; therefore, additional procedures for detecting
and avoiding conflicts are currently being developed
by the Procurement Contracts Management Division.
However, in the interim the following recommended
guidelines should assist you:
(1) Response Action Contractors are prohib-
ited from competing on future EPA
Headquarters support work.
(2) Contractors should be asked to make
voluntary disclosure of potential conflicts
of interest; and
(3) Work Assignment Managers and Project
Officers should exercise caution in issuing
work assignments.
In light of the criticism that EPA has received from
Congress and the public at large for the appearance of
actual or perceived conflicts of interest, it is impera-
tive that the Work Assignment Managers and Project
Officers exercise prudent judgment in the area of OCI
while managing tasks within OPPE.
Note: An OCI checklist is provided as a
separate handout, and is required as pan of
each new work assignment package.
5-8
-------
NEGOTIATION. COMMUNiCATiON. ETHIS
RESULTS
Successful and Ethical Interactions
With Your Contractor Will Result in:
Successful, non-confrontational negotiations when
issues arise.
Clear communication with contractors.
No appearance of impropriety in EPA/contractor
interactions.
Avoidance of actual or perceived conflicts of interest.
-------
NEGOTIATION. COMMUNICATION. ETHICS
NOTES: ~~ ~~"~~~~~"~~~"~~~~^~~~"~~~~"
-------
_ NEGOTiATiON. COMMUNICATION, h I HICS
NOTES:
-------
6: TASK CLOSEOUTAND UTILITY
OF RESULTS
THIS MODULE COVERS:
Confirm That the Contract Has Been Satisfied: Formalize
all requirements that build toward ultimate contract closeout.
Make Sure That Your Products and Results Achieve
Optimal Utility: Brief interested parties and circulate products.
Assess the Desirability of Followup Work: Assess any
followup work that develops from the task.
Evaluate Your Contractor: Critique the service and products
you got from the contractor and seek improvements in the working
relationship.
-------
TASK CLOSEOUT AND UTILITY OF RESULTS
WHY ARE CLOSEOUT STRATEGIES
IMPORTANT TO GOOD TASK
MANAGEMENT?
To ensure that OPPE activities are focused on its
mission, there must be widespread awareness within
the Office of what kind of progress is being made.
Only by circulating and analyzing the results of its
projects will OPPE staff:
Cross-communicate and realize the scope of projects
being performed.
Be able to capitalize on and build upon projects
already completed and under way.
Avoid redundant projects.
Plan efficiently for out-year projects.
Use results of products to affect OPPE management
decisions (e.g., budget, ADP purchases).
Communicate progress to Congress and the public.
OPPE currently works with a limited number of policy
contractors that don't change frequently. This fact
makes it important that the relationships between the
> Checklist 6.1 - A Guide to Task
Closcout
Checklist 6.2 - Distribution Networks
Enhance Product
Utility
> Checklist 6.3 - Contractor Evaluation
Office and its contractors are continally refined and
improved. The performance evaluation process:
Helps ensure good contractor performance.
* Encourages communication between the Work
Assignment Manager and the contractor throughout
the task.
Creates a "profile" of each contractor's performance
via evaluation forms accessible to every Work
Assignment Manager.
Gives you the opportunity to hear ways the task
could have been better managed.
STEP
Confirm That the
Contract Has
Been Satisfied
By this point in your task, all deliverables have been
delivered and accepted, and all required services
performed and accepted. For the Procurement and
Contracts Management Division (PCMD) to be able to
physically close out a job, you must officially file all
the information indicating that your task is complete.
Discharge your responsibility within 45 days of task
completion.
The major responsibilities for contract closeout fall on
your Project Officer, who must be informed by you.
The Project Officer must certify that the technical
requirements of the task have been satisfied, so give
this individual your contractor evaluation form, copies
of your final products, and a memo on any issues or
concerns related to costs and hours. The Project
Officer will also inform you as to where your task files
should be stored.
Timely action on closeout is important because (1)
payments are due; (2) financial accounts must be
closed out; and (3) the liabilities of the Federal
government must be limited by closing the door on
late claims and disputes. (4) pro forma progress
reports and unnecessary management overshight are
avoided. An advantage that strikes a little closer to
home is that you can and should transfer any remain-
ing funds to another OPPE task so that monies can be
used to support the Office's mission rather than being
reabsorbed by the Treasury.
Contract closeout is a very time-consuming, complex
duty for PCMD. In effect, your task completion
activities set in motion a complicated chain of events,
each one dependent on the one that went before.
Thus, the more quickly and responsibly you discharge
your own final duties, the more efficiently the larger
effort will proceed.
Checklist 6.1--A Guide to Task Closeout--will
help you complete this process (see the Tool Box).
STEP
Make Sure
Your Products
and Results
Achieve Optimal
Utility
OPPE staff are constantly busy and rarely have the
leisure to look around and see what others are doing.
However, if the Office's mission is to be built effec-
tively, people need to communicate about task results
and how they can be used to best advantage. This
cross-utility must reach across client program offices
and elsewhere in EPA. For example, your task may
have detected a new field activity required to meet a
legislative or regulatory requirement or good engi-
neering practice, say a new step for conducting an RI/
FS. While the step may demand a new level of
resources, this support is not likely to materialize if
your results are never communicated to budget staff,
and the program may face its increased technical
6-1
-------
TASK CLOSEOUT AND UTILITY OF RESULTS
needs next year with insufficent funding and Fibs.
Getting attention Tor your task is an endeavor that
starts early, during the task approval phase (Module
1). When task priority was first discussed in your
Division, you got an idea of the level of interest in
your work and saw what others were doing and how
your task relates.
If you did your task outreach work well during Task
Initiation, and maintained lines of communication
during Product Development and Task Monitoring,
you should now know which Sections or Branches
need to know your results. Be prepared to alert them,
either via person-to-person briefings or by circulating
your products to the right people.
REMEMBER
Usefulness is one of the best benchmarks of
task success. Because you -know your task toe
most intimately, it is your responsibility to
interpret its utility for your colleagues.
Use a Briefing to Inform Staff about a
Completed Task
Once your task is complete, hold a closeout briefing.
Invite appropriate Branches and thoughtfully
selected staff members, people who responded to
your earlier outreach efforts and people doing related
work. Keep it short and to the point. Remember that
your supervisors and colleagues are busy people who
appreciate brevity. Make sure you understand your
audience and present the analytical points that will
have impact for it. Tell listeners:
What you discovered or verified;
Why that's relevant to OPPE and EPA, short and
long term;
Very briefly, the methodology pursued;
What impact your findings could have on other
Branches and Divisions;
Any promising followup work; and
How you evaluate your contractor's performance.
Have an executive summary or a short (1 -page)
description of the task ready to hand out. If you have
created a computer product, a brief demonstration
might also be in order. Any handout materials should:
(1) heavily feature the product's utility and its benefit
to OPPE and (2) encapsulate any recommendations.
Circulate Your Products for
Maximum Utility
It's up to you to make sure your products get around.
Here are some ideas for promoting your task out-
comes:
Memos and capsule summaries to Division col-
leagues and related Divisions/Offices;
Hard copies of written products to Office and EPA
Libraries;
Abstracts of products posted on Division/Office
bulletin board; and
Copy to Project Officer.
Here are some tips on boosting the utility of particular
product types through thoughtful distribution :
Updates: Sample copies to a wide variety of offices,
with return card for those interested in receiving future
issues.
Public Outreach Tools: Copies to the EPA Public
Information Office, with memo on relevance of
product to general public.
Training Programs: Publicity to all involved
audiences and to interest groups who might want to
participate in or support the training.
A/V Materials: Memo to the EPA Public Information
Office, if of wide general interest If the products is
part of a public participation campaign, advertise to
field staff everywhere related work is being planned.
ADP Products: Memo or even brochure describing
the utility of the product to new users, other user
groups inside EPA, GAD, etc. If national in scope, a
similar promotion to Regions and States.
Events: These have their own intrinsic PR needs
while the task is under way. If you publish proceed-
ings, promote these both within EPA and among any
other interest groups who attended. Communicate the
success of the event within your own office, especially
if you plan a repeat performance.
Guidance: Send to Regional offices.
Handbooks, Manuals: Audiences (Regions. States),
ORD's Technical Transfer Office, EPA Library.
Program Evaluation: A management improvement
task that works is of vital interest to OPPE and even
the Agency at large. Brief high-level managers. Make
sure to point out how performance, communication, or
program effectiveness improved as a result.
Checklist 6.2 in the Tool Box summarizes
some of the key dissemination methods.
6-2
-------
TASK GLOSEOUT AND UTILITY OF
RESULTS
Assess the
Desirability of
Followup Work
EPA is concerned wilh the effective application of
results flowing from its task work. Belter policy
options and management systems, not studies for the When?
sake of more and better studies, is the hallmark of the
Agency's analysis of management and policy.
Nonetheless, the results of projects often open the
door to larger questions that ought to be pursued.
Now is the time to seriously evaluate whether another
task should be started and to explore the mechanisms
for doing it
should have a chance to respond. Because OPPE
doesn't change its policy contractors very often, each
one will carry out many projects for the office. If the
OPPE/contractor relationship is to keep improving,
honest feedback about problems and successes is
required.
Brief your Branch Chief and determine whether
followup work can be amended to this year's operat-
ing plan or put into next year's. Go to work on
securing followup tasks as soon ax you realize the
need.
More formal evaluations of contractor performance
should occur at quarterly management meetings and at
closeout, when the final evaluation form is completed
and discussed. But keep communicating your level of
satisfaction throughout the course of the task, espe-
cially around the time products are being prepared and
delivered. Be honest; tell boih the good and the bad.
Evaluate Your
Contractor
Why?
livery employee deserves a periodic review so that he
or she gets a sense of how well things arc going.
Likewise, your contractor staff need to sec their
performance made concrete in a performance eval-
uation. It should he documental, and the contractor
How?
The accompany ing evaluation form (see
Checklist 6.3 in the Tool Box) will help you think
through your task history with the contractor.
Marshal the reasons behind your assessment. This is
one of the major reasons you documented instructions
to the contractor earlier. Just as an employee expects
definitive examples rather than generalized statements
about his or her performance, contractor staff and
management want to know specifically why you were
satisfied or unsatisfied with the firm's work. Once you
have filled out the evaluation form and discussed it
wilh contractor staff, hand it over to your Project
Officer for centralized filing. Contractor evaluation
forms from ail Work Assignment Managers will help
the Project Officer build his or her case for completing
EPA Form I9W-27: "Project Officer's Evaluation of
Contractor Performance."
Can 11mpose Penalties for
Unsatisfactory Work?
EPA has one clear sanction at it? command, and that is
to withhold future work from an unsatisfactory
contractor. As for financial penalties, these are rather
limited. If award fees arc used (which they have not
been in the past in OPPE), the contractor's award fee is
evaluated and adjusted periodically. Poor perform-
ance affects the size of the award fee given, but
remember that your voice is only one of many in this
analysis. If other Work Assignment Managers give a
contractor high marks, your disappointment is not
likely to figure very strongly. Remember, too, that
level-of-cffort contracts typically net a low fee for the
contractor. This low financial incentive is balanced by
the fact (hat the contractor undertakes less risk in the
execution of contracted tasks. The benefit of an LOE
is that you can pull in your contractors quickly on a
whole range of efforts. The downside Is that the
contractor only has to deliver hours, not specific
products. If EPA insists that the contractor redo the
work, the Agency usually will have to pay for it.
What About Commending
Outstanding Work?
When you have received excellent work, don't be shy
about telling your contractor staff. Tell your boss
and colleagues, too. Service above and beyond the
call of duty merits recognition, and contractors want
to know that they have pleased a client. A letter to
the contractor's top management from you or your
office director means a lot.
6-3
-------
TASK CLOSEOUT AND UTILITY OF RESULTS
RESULTS
Successful Task Closeout Will Result In:
A complete task, with paperwork submitted to support contract
closeout.
A useful product that supports OPPE's mission and has been
distributed to the right audiences and users.
Followup concepts for future work, placed under consideration for
inclusion in OPPE's Operating Plan, either as an amendment this
year or a new task next year.
An honest evaluation of the contractor's performance, open to
examination by all interested parties.
-------
TA
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NOTES:
-------
TASK CLOSEOUT AND UTILITY OF RESULTS
NOTES:
-------
INDEX
AUDIENCE
Assessment of, in product planning 3-2
AUDIOVISUAL (A/V) PRODUCTS
As deliverables, advantages and disadvantages of 3-5
As final products, boosting utility of 6-2
Possible interim deliverables for 3-7 (table)
Review of 3-10, Tool Box Checklist 3.3
AUTOMATIC DATA PROCESSING (ADP) PRODUCTS
As deliverables, advantages and disadvantages of 3-5
As final products, boosting utility of 6-2
Possible interim deliverables for 3-7 (table)
Review of 3-9, Tool Box Checklist 3.2
BRIEFINGS
As deliverables, advantages and disadvantages of 3-4
As Work Assignment monitoring technique,
pluses and minuses of 4-2 (table)
Possible interim deliverables for ......3-7 (table)
Use of, in Work Assignment closeout »..6-2
Use of, in Work Assignment monitoring 4-2
BROCHURES
As deliverables, advantages and disadvantages of 3-4
Possible interim deliverables for 3-7 (table)
BON A FIDE NEED/BUDGET YEAR FOR THE FUNDS 1-6
COMMUNICATION
Effective, elements of 5-4 - 5-6,5-7 ("Tips of the Trade" box)
Frequency of, between Work Assignment Manager
and contractor 2-4, 3-8,4-3 - 4-4
Of technical information to general audiences 3-2
COMMUNICATION PROTOCOL
As established in kickoff meeting 2-4
As specified in Work Plan 2-2
Developing 4-2
Establishing contact people for 4-2
CONFERENCES Sec EVENTS
CONFIDENTIAL BUSINESS INFORMATION
Disclosing see 5-6,5-8
CONTRACT VEHICLES
Selecting
.1-1
CONTRACTING OFFICER
Role in approving changes in contractor hours or costs 2-3
Role in executing Stop Work Orders .....4-7
Role in Work Assignment approval 1-5
Role in Work Plan approval 2-3
CONTRACTOR
Concessions/sanctions ,4-7
Evaluation 6-3, Tool Box Checklist 6.3
CORRECTIVE ACTION
Identifying appropriate type of, in Work Assignment monitoring 4-6 - 4-7
Implementing, in Work Assignment monitoring .....4-7
CORRESPONDENCE
As type of Work Assignment record.
.4-4, Tool Box Worksheet 4.4
DELIVERABLES
As type of Work Assignment record 4-4, Tool Box Worksheet 4.4
Final
- changes in the course of development of 3-8
-disseminating 3-3
- interim deliverables for 3-7 (table)
- planning see DELIVERABLES, Planning
- review of see DELIVERABLES, Review
- specifying, in Work Assignment 1-4
- types of, advantages and disadvantages of 3-4 - 3-6 (table)
-unacceptable 5-1
- OPPE utility of see DELIVERABLES, OPPE utility of
Interim
- as scheduled in Work Plan 2-2
- getting drafts early 3-9
-planning 1-4,3-7
- specifying review of, in Work Assignment .,1-4
OPPE utility of
- considering, in developing Work Assignment 1-4
-------
DELIVERABLES (continued)
- considering, in product scoping 3-1
- seeking and achieving 3-3,3-12,6-1 - 6-2, Tool Box Checklist 6.2
Planning
- audience assessment in 3-2
- as reflected in Woik Plan 2-2
- characterizing challenge in 3-1,3-2 (table)
- during Work Assignment preparation 1-4
-selecting the best type of product in 3-3
Release outside EPA 3-11
Review
- and audience needs 3-2
- and product utility 3-3
-feedback, golden rules of 3-ll(table)
- getting help with 3-3,3-10,3-11
- of A/V materials 3-10, Tool Box Checklist 3.3
- of ADP products 3-9, Tool Box Checklist 3.2
-of events 3-10, Tool Box Checklist 3.4
- of written drafts 3-9, Tool Box Checklist 3.1
- specifying, in Work Assignment 1-1,1-4
EARLY WARNING SYSTEM
Flagging schedule and budget problems 4-5 - 4-6
Flagging technical problems 4-5
EPA
OPPE seeOPPE
Standards of conduct 5-6,5-8
ETHICS
Standards of conduct for EPA Work Assignment Managers who manage
contractors 5-6, 5-8
EVENTS
As deliverables, advantages and disadvantages of 3-6
As final products, boosting utility of 6-2
Possible interim deliverables for 3-7 (table)
Reviewing plans for 3-10, Tool Box Checklist 3.4
FINANCIAL LEGALITIES 1-6
FINANCIAL PLANNING 1-2
FINANCIAL RECORDS
As type of Work Assignment record 4-4, Tool Box Worksheet 4.4
GRATUITIES
Accepting, from contractor 5-6,5-8
GUIDANCE
As deliverables, advantages and disadvantages of 3-6
As final products, boosting utility of 6-2
Possible interim deliverables for 3-7 (table)
HANDBOOKS
As deliverables, advantages and disadvantages of 3-6
As final products, boosting utility of 6-2
Possible interim deliverables for 3-7 (table)
IMPARTIALITY
Maintaining, with contractor 5-6,5-8
INHERENTLY GOVERNMENT FUNCTIONS 1-6
IN-HOUSE RESOURCES
Considering availability of, for execution of proposed Work Assignment... 1-1
Considering use of, in making final adjustments to Work Assignment 3-12
ISSUE PAPERS
As deliverables, advantages and disadvantages of 3-4
LEVEL OF EFFORT
Estimating, in developing Work Assignment 1-3 -1-4
MANAGEMENT DOCUMENTS
As type of Work Assignment record 4-4, Tool Box Worksheet 4.4
MANUALS
As deliverables, advantages and disadvantages of 3-6
As final products, boosting utility of 6-2
Possible interim deliverables for ..3-7 (table)
MEETING RECORD
Sample form Tool Box Worksheet 4.2
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MEETINGS (also see EVENTS)
Kickoff, after Work Plan approval 2-3 - 2-4,4-3
As Work Assignment monitoring technique,
pluses and minuses of 4-2 (table)
Preliminary, after Work Assignment approval 2-1
Use of, in Work Assignment monitoring 4-1
MONITORING See WORK ASSIGNMENT, Monitoring
PICK-ANDSTICK RULE.
MONITORING TECHNIQUES
Types of
.4-1-4-2
NEGOTIATION
Language, non-confrontational vs. confrontational
-examples 5-7 ("Tips of the Trade")
- use of, in negotiation session 5-3
Session, what to do in a 5-3 - 5-4
Strategy, developing a 5-2 - 5-3, Tool Box Checklist 5.1
When to negotiate 5-1
NEWSLETTERS See UPDATES
OPPE
Contract vehicles, selection of 1-1
Goals, explaining Work Assignment in context of 5-5
Mission, support of
- by proposed deliverables 3-1
- by Work Assignment 1-4
PAMPHLETS
As deliverables, advantages and disadvantages of 3-4
Possible interim deliverables for 3-7 (table)
PENALTIES
On contracts
- for failure to perform 4-7
- for unsatisfactory work 4-7,6-3
PERSONAL SERVICES.
...1-2
PHONE See TELEPHONE
PLANNING See DELIVERABLES, Planning
PROCUREMENT AND CONTRACTS MANAGEMENT DIVISION
(PCMD)
Role in Work Assignment closeout 6-1
PROCUREMENT INFORMATION
Disclosing 5-6,5-8
PRODUCTS See DELIVERABLES
PROGRAM EVALUATION SYSTEMS
As deliverables, advantages and disadvantages of 3-6
As final products, boosting utility of 6-2
Possible interim deliverables for 3-7 (table)
PROGRESS REPORTS
As Work Assignment monitoring technique, +s and -s of 4-2 (table)
As Work Assignment requirement 1-4
Requesting detailed, from contractor 4-5 ("Tips of the Trade")
Sample form Tool Box Worksheet 4.3
Use of, in Work Assignment monitoring 4-2
PROJECT OFFICER
Assistance in
- establishing Work Assignment
record keeping systems 2-3 ("Remember" box)
- selecting contract vehicle 1-1,1-2 ("Who Can Help with Preliminary
Analysis?" box)
Involvement in Work Assignment preliminary meeting 2-1
Responsibilities in Work Assignment closeout 6-1
Role in
- approving changes in contractor hours or costs 2-3
- approving contractor concessions/sanctions 4-7
- communicating progress report information 4-2
- initiating Stop Work Orders 4-7
- Work Assignment approval 1-5 ("Who Needs to Approve Work
Assignments" box)
- Work Plan approval 2-3
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PUBLIC OUTREACH TOOLS
As final products, boosting utility of.
.6-2
QUALITY ASSURANCE/QUALITY CONTROL
EPA requirements for
.3-7
RECORD KEEPING
System, components of 4-4
System, sample file structure of Tool Box Worksheet 4.4
REGULATIONS
Products related to 3-8
Regulatory process 3-8
REPORTS
As deliverables, advantages and disadvantages of 3-4
Possible interim deliverables for 3-7 (table)
REVIEW
see DELIVERABLES, Review
SCHEDULE
Constraints to consider in developing Work Assignment 1-4,1-5
Revision of
- as specified in Work Plan 4-6,5-5
-documenting 4-3
SCOPE OF WORK
Estimating, in developing Work Assignment ..1-3 -1-4
Revision of
-as specified in Work Plan 4-6
-documenting , 4-3
SEMINARS
See EVENTS
START WORK
Need for approval by Contracting Officer 1-3 (box)
STOP WORK
Permanent (Stop Work Orders) 4-7
Temporary 4-7
TASKS
Importance of rational planning of, in Work Plan 2-2
TELEPHONE
Conversations
- use of, in Work Assignment monitoring 4-1
- pluses and minuses of, in Work Assignment monitoring 4-2 (table)
Log
- when to use, in Work Assignment monitoring 4-1
- sample form Tool Box Worksheet 4.1
TRAINING PROGRAMS
As deliverables, advantages and disadvantages of .3-5
As final products, boosting utility of 6-2
Possible interim deliverables for 3-7 (table)
TROUBLESHOOTING
Identifying causes of Work Assignment
problems 4-6, Tool Box Checklist 4.5
TRUE GOVERNMENT NEED 1-2
UPDATES
As deliverables, advantages and disadvantages of 3-5
As final products, boosting utility of 6-2
Possible interim deliverables for 3-7 (table)
UTILITY
See DELIVERABLES, OPPE Utility of
WORKING SESSIONS
As Work Assignment monitoring technique,
pluses and minuses of 4-2 (table)
With contractor, in Work Assignment monitoring 4-3
("Remember" box)
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INDEX
AUDIENCE
Assessment of, in product planning.
.3-2
AUDIOVISUAL (A/V) PRODUCTS
As deliverables, advantages and disadvantages of 3-5
As final products, boosting utility of 6-2
Possible interim deliverables for ....,3-7 (table)
Review of 3-10, Tool Box Checklist 3.3
AUTOMATIC DATA PROCESSING (ADP) PRODUCTS
As deliverables, advantages and disadvantages of 3-5
As final products, boosting utility of 6-2
Possible interim deliverables for 3-7 (table)
Review of 3-9, Tool Box Checklist 3.2
BRIEFINGS
As deliverables, advantages and disadvantages of 3-4
As Work Assignment monitoring technique,
pluses and minuses of 4-2 (table)
Possible interim deliverables for 3-7 (table)
Use of, in Work Assignment closeout -6-2
Use of, in Work Assignment monitoring 4-2
BROCHURES
As deliverables, advantages and disadvantages of 3-4
Possible interim deliverables for 3-7 (table)
BONA FIDE NEED/BUDGET YEAR FOR THE FUNDS 1-6
COMMUNICATION
Effective, elements of 5-4 - 5-6,5-7 ("Tips of the Trade" box)
Frequency of, between Work Assignment Manager
and contractor 2-4,3-8,4-3 - 4-4
Of technical information to general audiences 3-2
COMMUNICATION PROTOCOL
As established in kickoff meeting 2-4
As specified in Work Plan 2-2
Developing 4-2
Establishing contact people for 4-2
CONFERENCES Sec EVENTS
CONFIDENTIAL BUSINESS INFORMATION
Disclosing see 5-6,5-8
CONTRACT VEHICLES
Selecting
.1-1
CONTRACTING OFFICER
Role in approving changes in contractor hours or costs 2-3
Role in executing Stop Work Orders 4-7
Role in Work Assignment approval 1-5
Role in Work Plan approval 2-3
CONTRACTOR
Concessions/sanctions 4-7
Evaluation 6-3, Tool Box Checklist 6.3
CORRECTIVE ACTION
Identifying appropriate type of, in Work Assignment monitoring 4-6 - 4-7
Implementing, in Work Assignment monitoring 4-7
CORRESPONDENCE
As type of Work Assignment record.
.4-4, Tool Box Worksheet 4.4
DELIVERABLES
As type of Work Assignment record 4-4, Tool Box Worksheet 4.4
Final
- changes in the course of development of 3-8
-disseminating 3-3
- interim deliverables for 3-7 (table)
-planning see DELIVERABLES, Planning
- review of see DELIVERABLES, Review
- specifying, in Work Assignment 1-4
- types of, advantages and disadvantages of 3-4 - 3-6 (table)
-unacceptable 5-1
- OPPE utility of see DELIVERABLES, OPPE utility of
Interim
- as scheduled in Work Plan 2-2
- getting drafts early 3-9
-planning 1-4,3-7
- specifying review of, in Work Assignment 1-4
OPPE utility of
-considering, in developing Work Assignment 1-4
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DELIVERABLES (continued)
- considering, in product scoping . 3-1
- seeking and achieving 3-3,3-12,6-1 - 6-2, Tool Box Checklist 6.2
Planning
- audience assessment in 3-2
- as reflected in Work Plan 2-2
- characterizing challenge in 3-1,3-2 (table)
- during Work Assignment preparation 1-4
- selecting the best type of product in 3-3
Release outside EPA 3-11
Review
- and audience needs 3-2
- and product utility 3-3
-feedback, golden rales of 3-ll(table)
- getting help with 3-3,3-10,3-11
- of A/V materials 3-10, Tool Box Checklist 3.3
- of ADP products 3-9, Tool Box Checklist 3.2
- of events 3-10, Tool Box Checklist 3.4
- of written drafts 3-9, Tool Box Checklist 3.1
- specifying, in Work Assignment 1-1,1-4
EARLY WARNING SYSTEM
Flagging schedule and budget problems 4-5 - 4-6
Flagging technical problems 4-5
EPA
OPPE seeOPPE
Standards of conduct 5-6,5-8
ETHICS
Standards of conduct for EPA Work Assignment Managers who manage
contractors 5-6, 5-8
EVENTS
As deliverables, advantages and disadvantages of 3-6
As final products, boosting utility of 6-2
Possible interim deliverables for 3-7 (table)
Reviewing plans for 3-10, Tool Box Checklist 3.4
FINANCIAL LEGALITIES 1-6
FINANCIAL PLANNING 1-2
FINANCIAL RECORDS
As type of Work Assignment record 4-4, Tool Box Worksheet 4.4
GRATUITIES
Accepting, from contractor 5-6,5-8
GUIDANCE
As deliverables, advantages and disadvantages of 3-6
As final products, boosting utility of 6-2
Possible interim deliverables for 3-7 (table)
HANDBOOKS
As deliverables, advantages and disadvantages of 3-6
As Final products, boosting utility of 6-2
Possible interim deliverables for 3-7 (table)
IMPARTIALITY
Maintaining, with contractor 5-6,5-8
INHERENTLY GOVERNMENTAL FUNCTIONS 1-6
IN-HOUSE RESOURCES
Considering availability of, for execution of proposed Work Assignment... 1-1
Considering use of, in making final adjustments to Work Assignment 3-12
ISSUE PAPERS
As deliverables, advantages and disadvantages of 3-4
LEVEL OF EFFORT
Estimating, in developing Work Assignment 1-3 -1-4
MANAGEMENT DOCUMENTS
As type of Work Assignment record 4-4, Tool Box Worksheet 4.4
MANUALS
As deliverables, advantages and disadvantages of 3-6
As final products, boosting utility of 6-2
Possible interim deliverables for 3-7 (table)
MEETING RECORD
Sample form Tool Box Worksheet 4.2
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MEETINGS (also see EVENTS)
Kickoff, after Work Plan approval 2-3 - 2-4,4-3
As Work Assignment monitoring technique,
pluses and minuses of 4-2 (table)
Preliminary, after Work Assignment approval 2-1
Use of, in Work Assignment monitoring ...4-1
MONITORING See WORK ASSIGNMENT, Monitoring
MONITORING TECHNIQUES
Types of 4-1 -4-2
NEGOTIATION
Language, non-confrontational vs. confrontational
- examples 5-7 ("Tips of the Trade")
- use of, in negotiation session 5-3
Session, what to do in a ...5-3- 5-4
Strategy, developing a 5-2 - 5-3, Tool Box Checklist 5.1
When to negotiate 5-1
NEWSLETTERS See UPDATES
OPPE
Contract vehicles, selection of 1-1
Goals, explaining Work Assignment in context of 5-5
Mission, support of
- by proposed deliverables 3-1
- by Work Assignment 1-4
PAMPHLETS
As deliverables, advantages and disadvantages of 3-4
Possible interim deliverables for 3-7 (table)
PENALTIES
On contracts
- for failure to perform 4-7
- for unsatisfactory work 4-7,6-3
PERSONAL SERVICES 1-2
PHONE See TELEPHONE
PICK-AND-STICK RULE 1-6
PLANNING See DELIVERABLES, Planning
PROCUREMENT AND CONTRACTS MANAGEMENT DIVISION
(PCMD)
Role in Work Assignment closeout 6-1
PROCUREMENT INFORMATION
Disclosing 5-6,5-8
PRODUCTS See DELIVERABLES
PROGRAM EVALUATION SYSTEMS
As deliverables, advantages and disadvantages of 3-6
As final products, boosting utility of 6-2
Possible interim deliverables for 3-7 (table)
PROGRESS REPORTS
As Work Assignment monitoring technique, +s and -s of 4-2 (table)
As Work Assignment requirement 1-4
Requesting detailed, from contractor 4-5 ("Tips of the Trade")
Sample form Tool Box Worksheet 4.3
Use of, in Work Assignment monitoring 4-2
PROJECT OFFICER
Assistance in
- establishing Work Assignment
record keeping systems 2-3 ("Remember" box)
- selecting contract vehicle 1-1,1-2 ("Who Can Help with Preliminary
Analysis?" box)
Involvement in Work Assignment preliminary meeting 2-1
Responsibilities in Work Assignment closeout 6-1
Role in
- approving changes in contractor hours or costs 2-3
- approving contractor concessions/sanctions 4-7
- communicating progress report information 4-2
- initiating Stop Work Orders 4-7
- Work Assignment approval 1 -5 ("Who Needs to Approve Work
Assignments" box)
- Work Plan approval 2-3
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PUBLIC OUTREACH TOOLS
As final products, boosting utility of 6-2
QUALITY ASSURANCE/QUALITY CONTROL
EPA requirements for 3-7
RECORD KEEPING
System, components of 4-4
System, sample file structure of Tool Box Worksheet 4.4
REGULATIONS
Products related to 3-8
Regulatory process 3-8
REPORTS
As deliverables, advantages and disadvantages of 3-4
Possible interim deliverables for 3-7 (table)
REVIEW see DELIVERABLES, Review
SCHEDULE
Constraints to consider in developing Work Assignment 1-4,1-5
Revision of
- as specified in Work Plan 4-6,5-5
-documenting 4-3
SCOPE OF WORK
Estimating, in developing Work Assignment 1-3 -1-4
Revision of
- as specified in Work Plan 4-6
-documenting 4-3
SEMINARS See EVENTS
START WORK
Need for approval by Contracting Officer 1-3 (box)
STOP WORK
Permanent (Stop Work Orders) 4-7
Temporary 4-7
TASKS
Importance of rational planning of, in Work Plan 2-2
TELEPHONE
Conversations
- use of, in Work Assignment monitoring 4-1
- pluses and minuses of, in Work Assignment monitoring 4-2 (table)
Log
- when to use, in Work Assignment monitoring ..4-1
- sample form Tool Box Worksheet 4.1
TRAINING PROGRAMS
As deliverables, advantages and disadvantages of 3-5
As final products, boosting utility of 6-2
Possible interim deliverables for 3-7 (table)
TROUBLESHOOTING
Identifying causes of Work Assignment
problems 4-6, Tool Box Checklist 4.5
TRUE GOVERNMENT NEED 1-2
UPDATES
As deliverables, advantages and disadvantages of 3-5
As final products, boosting utility of 6-2
Possible interim deliverables for 3-7 (table)
UTILITY
See DELIVERABLES, OPPE Utility of
WORKING SESSIONS
As Work Assignment monitoring technique,
pluses and minuses of 4-2 (table)
With contractor, in Work Assignment monitoring 4-3
("Remember" box)
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WORK ASSIGNMENT
Approval 1 -5 ("Who Needs to Approve Work Assignments" box),
Tool Box Checklist 1.2
Closeout 6-1
- guide to Tool Box Checklist 6.1
Costs, how to estimate 1-4, Tool Box Worksheet 1.1
Development 1-3 -1-5, Tool Box Worksheet 1.1
- estimating scope of work and level of effort for 1-3 -1-4, Tool Box
Worksheet 1.1
- getting help with 1-6 ("Where You Can Go for Help" box)
Follow up, assessing need for, in closeout phase 6-3
Format of a 1-5
Importance of communicating results of 6-1 - 6-2
Management, keys to effective 2-4 (box)
Monitoring 4-1,4-7
- early warning system see EARLY WARNING SYSTEM
- frequent, when to use and associated costs 4-5 ("Remember" box)
- selecting and using monitoring techniques and
a communication protocol see MONITORING TECHNIQUES,
COMMUNICATION PROTOCOL
- record keeping see RECORD KEEPING
- troubleshooting see TROUBLESHOOTING
New, when to issue, during Work Assignment management 1-2,4-6
Planning 1-1 -1-3
Questions to ask in planning 1-1-1-2
Scheduling 1-4
Startup 2-1-2-4
- kickoff meeting 2-3 - 2-4
- preliminary meeting 2-1
Utility of results ....6-2
Who can help with preliminary analysis of 1-2 (box)
Writing the 1-5
WORK PLAN
Approval of 2-3, Tool Box Checklist 2.2
Elements of 2-1
Review and analysis of 2-2 - 2-3, Tool Box Checklist 2.1
Review, negotiation during ,.5-1
Revision of 2-3,4-3,4-6,5-5
WORKSHOPS See EVENTS
WRITTEN PRODUCTS
Review of 3-9, Tool Box Checklist 3.1
Review of, dos and don'ts 3-9 (table)
WRITTEN PROGRESS REPORTS See PROGRESS REPORTS
*U.S. GOVERNMENT PRINTING OFFICE: 1991--526-473M0839
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United States
Environmental Protection Agency
(PM-220)
Washington, DC 20460
Official Business
Penalty for Private Use
$300
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