United States Environmental Protection Agency Off ice of Solid Waste and Emergency Response EPA DIRECTIVE NUMBER: 9972.00 TITLE: Regional Project Officers, Headquarters Zone Project Officers, Contracting Officers, and Work Assignment Managers Roles and Responsibilities APPROVAL DATE: EFFECTIVE DATE: ORIGINATING OFFICE: OWPE/RED D FINAL D DRAFT LEVEL OF DRAFT L7I A — Signed by AA or DAA fj| B — Signed by Office Director Cl C — Review & Comment REFERENCE (other documents): OSWER OSWER OSWER DIRECTIVE DIRECTIVE ------- United States Environmental Protection Agency Washington, D.C. 20460 OSWER Directive Initiation Request 1. Directive Number 9972.00 2. Originator Information Name of Contact Person Linda Kutsher Mail Code 5503 Office OWPE/RED Telephone Code 260-1946 3. Title Regional Project Officers, Headquarters Zone Project Officers, Contracting Officers, and Work Assignment Managers Roles and Responsibilities 4. Summary of Directive (include brief statement of purpose) This document sets out the roles and responsibilties of the Regional Project Officers (RPOs), Headquarters Zone Project Officers (ZPOs), Work Assignment Managers (WAMs), and Contracting Officers (COs) ofr the RCRA Enforcement Permitting and Assistance (REPA) Contract 5. Keywords Contracts, Project Officers, Work Assignment Managers, Zone Porject Officers 6a. Does This Directive Supersede Previous Directive(s)? b. Does It Supplement Previous Directive(s)? x No No Yes What directive (number, title) Yes What directive (number, title) 7. Draft Level A - Signed by AA/DAA B - Signed by Office Director C - For Review & Comment D - In Development 8. Document to be distributed to States by Headquarters? Yes No This Request Meets OSWER Directives System Format Standards 9. Signature^ Lead Office Directives Coordinator A^^JX^t<_ &4/t-^£c^?rtLs/ 10. Name and Title of Approving Official Date /X^/3/%? Date EPA Form 1315-17 (Rev. 5-87) Previous editions are obsolete. OSWER OSWER OSWER OSWER DIRECTIVE DIRECTIVE DIRECTIVE ------- UNITED STATES ENVIRONMENTAL PROTECTION AGENCY WASHINGTON, D.C. 20460 OSWER Directive No. 9972.00 FED 2 2 1994 OFRCEOF SOLID WASTE AND EMERGENCY RESPONSE MEMORANDUM SUBJECT: Roles and Responsibilities of Regional Project Officers, Zone Project Officers, Work Assignment Managers and Contracting Officers for the RCRA Enforcement, Permitting and Assistance Contracts (REPA) FROM: Elliott P. Laws " Assistant Administrator TO: Regional Administrators, Regions I - X The Office of Waste Programs Enforcement and the Office of Solid Waste are jointly procuring contractor support to assist EPA in carrying out its responsibilities to implement and assure compliance with the Resource Conservation and Recovery Act (RCRA) hazardous and solid waste programs. The contracts are divided into three zones (Zone I - Regions I, II, III; Zone II - Regions IV, V, VI; and Zone III - Regions VII, VIII, IX and IX) with a potential award of two contracts per zone. The contracts will be administered by a Zone Project Officer in Headquarters, Regional Project Officers and a Contracting Officer in Headquarters. Attached is the OSWER Directive outlining the roles and responsibilities of Regional Project Officers (RPOs), Headquarters Zone Project Officers (ZPOs), Work Assignment Managers (WAMs) and Contracting Officers (COs) who will be managing the RCRA Enforcement, Permitting and Assistance (REPA) Contracts. The REPA contracts have been designed to provide contractor support and assistance in carrying out EPA's responsibilities to implement and assure compliance with the RCRA regulatory and enforcement programs. RPOs and ZPOs developed these roles and responsibilities in conjunction with Contracting Officers from the Office of Acquisition Management (CAM). Since the REPA Contracts are primarily managed in the Regions with oversight by Headquarters, it is extremely important that RPOs have appropriate training and the full support of Regional senior management to fulfill their contract management responsibilities. Recycled/Recyclable Printed with Soy/Canola Ink on paper that contains at least 50% recycled fiber ------- OSWER Directive No. 9972.00 -2- It is also imperative that WAMs have a better understanding of their role in contract issues since they often interact with the contractor on a day-to-day basis. While Agency contract management courses currently exist, a REPA-specific WAM Training Guide is currently under development to further enhance WAM management skills. Attached is a list of the current RPOs and ZPOs. If this responsibility is delegated to other individuals in the future, this directive will apply to the newly designated person. If you have any questions concerning this Directive, please contact Dale Ruhter, OSW (703-308-8192) or Linda Kutsher, OWPE (202-260-1946). Attachments cc: Waste Management Division Directors, Regions I-X REPA Regional Project Officers, Regions I-X ------- REPA REGIONAL AND ZONE PROJECT OFFICERS REGION I II III IV VI VII VIII IX HQ Kathy Castagna (617) 573-9609 Elizabeth Van Rabenswaay (212) 264-0548 Donna Saunders (215) 597-5321 Rowena Sheffield (404) 347-2930 Fred Norling (312) 886-4510 Rena McClurg (214) 655-8314 Aaron Zimmerman (913) 551-7333 Rolland Lech (303) 293-1516 Ilene Demsey (415) 744-2105 Vicky Tapang (206) 553-2586 Linda Kutsher - Zone I (202) 260-1946 Allen Pearce - Zone II (703) 308-8636 Tom Sharp - Zone III (202) 260-3664 Jane Leu (212) 264-6599 Carol Johnson (215) 597-6505 Bernie Orenstein (312) 886-1500 Tom Riley (214) 655-8307 Cheryl Saul (415) 744-2111 Korina Layne Jones (206) 553-6915 ------- OSWER Directive No. 9972.00 ROLES AND RESPONSIBILITIES FOR REGIONAL PROJECT OFFICERS In general terms a Regional Project Officer (RPO) provides programmatic oversight and technical direction for contractor performance from a Regional perspective. More specifically the roles and responsibilities of the RPO are as follows: 1. The RPO prepares and submits to the Contracting Officer (CO), procurement requests (PR) to obligate funds from the Region's advice of allowance to the appropriate contract vehicle. A copy of the PR is sent to the Headquarters Zone Project Officer (ZPO). This process is administered in a timely manner in order to ensure capacity needs are met and that contractors are working within an approved period of performance. 2. The RPO monitors the cost, management and overall technical performance of the Region's use of the contracts. He/She is responsible for Quality Assurance in the contract administration for the Region. 3. The RPO ensures that the distribution of work to the prime contractors is in compliance with the requirements written in the contract. He/She coordinates this effort with the ZPO and the RPOs in the other Regions within the Zone. 4. The RPO evaluates, processes and approves Regional work assignments (WAs) and amendments prior to forwarding to the CO for final approval. He/She verifies scope of work (SOW) accuracy (ensuring conformance to the overall contract SOW), level of effort (LOE) and dollar estimations. The ZPO serves as a reference point for information on contracting issues if a problem or issue arises. The RPO makes certain all work plans are received and approved and that the contractors are working with approvals from the Contracting Officers (COs) within the approved period of performance (POP). The RPO will track all late deliverables as advised by the WAMs to be used in performance.evaluations. 5. The RPO informs the CO and ZPO of any contractor failure to meet any terms and conditions of the contract for the Region, including failure to stop work if work plan approval has not been received. ------- OSWER Directive No. 9972.00 -2- 6. The RPO assists the CO and ZPO in all claims and appeal actions and supports all default and termination actions taken by the CO, as appropriate. 7. The RPO processes and approves invoices for Regional billings. He/She is responsible for assuring that regional WAMs and their* managers receive financial status reports on their work assignments as appropriate. He/She coordinates with the ZPO and the CO regarding allocability and or suspension of cost. The RPO complies with all guidelines established by the Office of Acquisition Management (0AM) and the Financial Management Division (FMD) on procedures including process turn-around times for invoices. 8. The RPO issues administrative direction to the contractor from a Regional perspective where permitted by the contract. He/She coordinates with the ZPO on management issues of potential national significance that may affect the management of contracts in other zones. 9. The RPO assists the WAMs in complying with EPAAR 1552.237-71 "TECHNICAL DIRECTION". 10. The RPO provides reports of financial obligations, tasking and disbursements for RPOs program area of responsibility in his/her Region. These reports may be requested by the ZPOs and OAM. This effort is coordinated with the Prime*Contractors. He/She ensures that the Regional contract utilization is at all times within allocated capacity, i.e., capacity secured with obligated funding. 11. The RPO coordinates and resolves Conflict of Interest (COI) issues in the Region. He/She alerts the WAM, Regional Counsel, as required, ZPO and CO of any potential COI when informed by the Contractor or other source. The RPO coordinates the decision-making process with the Regional program management and Regional counsel as needed. The Region's written recommendation is provided to the CO with a copy to the ZPO. 12. The RPO assists in the preparation of appropriate documents for litigation support including invoices and other material, making sure the release of information is consistent with applicable statutory and Agency regulations relating to confidential business and privileged information. He/She counsels the WAM in this regard, as necessary. ------- OSWER Directive No. 9972.00 -3- 13. The RPO manages the award fee process from the Regional perspective consistent with 0AM guidelines. He/She works closely with the WAM to develop a timely and comprehensive evaluation and fee report as appropriate and assures that the reports adequately support and reflect the qualitative scores. The host RPO arranges and coordinates the logistics of the Performance Evaluation Board (PEB) meetings with the ZPO, CO, and all Board members within the Zone. Detailed responsibilities are clearly defined in the Request for Proposal for the REPA contracts and will become a part of the the contract when awarded. 14. The RPO is responsible for data input and maintenance of the contract data management system. He/She ensures that budget, accounting data, WA numbers, task area and all pertinent information is entered and updated as necessary. 15. The RPO administers the official closeout process for the Regional contracts including all Regional WAs and prepares final reports and supporting documents in accordance with OAM policy and directives. He/She coordinates with the appropriate Regional staff in this effort. 16. The RPO assists the ZPO and CO in the official closeout of the Zone Contracts. In doing so, he/she prepares and provides the OAM CO with all evaluations and closeout reporting documents that are required. The RPO prepares the contract files for retention (the copying method to be determined according to.the approved system of records management at the time of closeout), and storage. 17. The RPO is responsible for maintaining a contract filing system. The filing system needs to include individual Master work assignment files containing all the transactions pertinent to the work assignment. 18. The RPO assists the ZPO in the planning and logistics of the Regional Management Reviews of Regional contracts operations, which are conducted by Headquarters. This includes scheduling WAM and management interviews, procuring meeting rooms and organizing and attending entrance and exit interviews. ------- OSWER Directive No. 9972.00 -4- 19. The RPO represents his/her Region in contract meetings that provide training, policy and management direction for the Regional contracts including Zone management. This includes at least one National meeting a year. The RPO is responsible for meeting with other RPOs in the zone and other zones to identify cross-cutting problems and propose solutions to the ZPO. The RPO.assists the ZPO meeting planner in suggesting meeting facilities and assists in the identification of speakers, agenda topics, organizing work groups, etc. He/She prepares, and presents materials for assigned agenda topics as appropriate. 20. The RPO must have completed all requirements for PO status including the 3 1/2 days PO Certification Course and the 3 day Contract Administration Course. He/She completes other training as identified by OSWER and OAM as a contract management requirement. 21. The RPO assists in the maintenance and updating of the Regional Contract Training Manual. He/She develops a training schedule for WAM training and coordinates this effort with the ZPO. The ZPO will assist in the training and the coordination with OAM, OSWER, and other programs participation as necessary. 22. The RPO maintains continuing communication and coordination with the contractor's Regional Manager. He/She plans on- going meetings among the contractor's regional manager, RPO and WAMs. He/4She serves as liaison among the contractor, WAM, ZPO and CO. The RPO assists in the planning of start-up meetings with the Zone contractors and subsequent management meetings as appropriate. He/She coordinates this effort with other RPOs within the Zone. The RPO conducts contractor reviews on-site and in some instances at the Prime Contractor's corporate office. ------- OSWER Directive No. 9972.00 ROLES AND RESPONSIBILITIES FOR ! HEADQUARTERS ZONE PROJECT OFFICERS (ZPO) In general terms the Headquarters ZPO provides programmatic oversight and technical assistance, as needed, to the Regional Project Officer (RPO) for contract management from the overall Zone and national contract perspective. More specifically, the roles and responsibilities .of the ZPO are as follows: 1. The ZPO assists 0AM and the RPOs in tracking, approving and ensuring the availability of capacity in the Zone contracts for the Regional allocations. 2. The ZPO monitors the cost, management and technical performance of the contracts from a national perspective. He/She is responsible for Quality Assurance activities in the administration of the Regional contracts. The ZPO may review regional contract management files and report to Program Office Managers. 3. The ZPO coordinates with the RPOs to ensure that the distribution of work between the Prime contractors in a Zone is in compliance with the requirements in the RFP, scope of work (SOW) and Contract. The ZPO coordinates this effort with the RPOs in all Regions for that Zone and with OAM. 4. The ZPO coordinates and informs the CO and RPOs of any contractor failures to meet any terms and conditions of the Regional contracts. 5. The ZPO assists COs and RPOs in all claims and appeal actions, as well as all default and termination actions taken by the CO, when necessary. 6. The ZPO coordinates with all RPOs and COs, as necessary, on issues involving technical direction of the Regional contractors. He/She assists the RPOs in complying with EPAAR 1552.237-71 "TECHNICAL DIRECTION". 7. The ZPO develops reports of financial obligations, tasking and disbursements for national zone contract budget management of the Regional contracts. He/She coordinates this effort with Prime Contractors. The ZPO monitors regional obligations and ------- -2- reports to all regions on the capacity status of the Zone contracts. The ZPO is responsible for appropriately informing management and OAM of obligation, tasking, capacity or other operational problems and recommend solutions as appropriate. 8. The ZPO is responsible for preparing the headquarters evaluation and aggregate contract performance information for the PEB package. The ZPO assists in coordinating the logistics of the PEB process with RPOs, OAM and the Board members within his/her zone. 9. The ZPO conducts the national closeout process for the contracts. He/she prepares policy and directives to the RPOs to assure that proper process is followed. The ZPO prepares policy and directives for the contractor on the closeout process and for storage and retention of documents; this guidance is based on current EPA policy concerning records management systems to be utilized at the time of closeout. The ZPO assists the RPOs in doing an assessment of equipment needs for storing and retrieving contract records in their Regions. He/She coordinates this effort with OAM, OIRM, and other programs as appropriate. 10. The ZPO establishes and maintains a file system which may include computer reports, PEB reports, WA actions, deliverables and other reporting required in order to effectively track and administer the Zone contracts. 11. The ZPO prepares, arranges and conducts the Contract Management Reviews in the Regions within his/her zone. 12. The ZPO plans and coordinates meetings that provide guidance and policy direction, including Zone Management committee meetings and the National Contract meetings. The ZPO prepares the agendas and coordinates with all attendees and presenters. He/She issues meeting notices and agendas to Regional management in a timely manner so that RPOs have sufficient notice. 13. The ZPO completes all requirements for PO status, including the 3 1/2 day PO Certification Course and the 3 day Contract Administration Course and completes other training as identified by OAM as a requirement. ------- OSWER Directive No. 9972.00 -3- 14. The ZPO assists the RPO in developing training programs for RPOs and WAMs in the technical administration and management of the contracts. He/She conducts training activities for RPOs on a periodic basis and maintains and updates the Training Manual. The ZPO assists the RPOs in training the WAMs including arranging travel and logistics of the training with the RPOs, OAM and Regional staffs within the Zone. 15. The ZPO ensures communication and coordination among the RPOs, OAM.and OSWER to resolve policy issues and operational problems that may arise among WAMs, Contractors and RPOs. He/She plans and arranges start-up and continuing meetings '->f the Zone Contract Management Committee. 16. The ZPO serves as a central source of information for the Zone. He/She distributes information to the RPOs regarding WA tracking systems, standard scopes of work, number of hours required for similar work assignments across zones, types of project activities, problem solving that other regions have implemented to avoid duplication of work. He/She coordinates with other ZPOs to ensure uniformity in the overall contract management. ------- OSWER Directive No. 9972.00 ROLES AND RESPONSIBILITIES FOR WORK ASSIGNMENT MANAGER In general terms the Work Assignment Manager (WAM) provides day-to-day management of individual work assignments. More specifically, the roles and responsibilities of the WAM are as follows: 1. The WAM defines and prepares the scope of work for work assignments issued against the contract. He/she develops the government's cost estimate, identifying the level of effort required to complete the work assignment. 2. The WAM reviews and recommends approval/disapproval of the work plans issued by the contractor which describes the approach planned to implement the tasks in the work assignment in a timely manner.' The WAM is responsible for comparing the government cost estimate with budget proposed by contractor and justifying discrepancies in writing. 3. The WAM monitors and oversees the day-to-day performance of the work assignment. He/she provides the necessary government technical direction to the contractor when allowed by the contract and work assignment. 4. The WAM reviews all monthly progress reports to determine if costs are fair and reasonable and recommends approval or disapproval to the Regional Project Officer. 5. The WAM reviews and recommends approval or disapproval of all deliverable products submitted by the contractor under the work assignment. The work assignment tracks and notifies the RPO of all late deliverables. 6. The WAM provides award fee evaluations to the Regional Project Officer summarizing contractor performance. The WAM assures that the performance evaluations are submitted in a timely manner and that the evaluations adequately support and reflect the quantitative scores. 7. The WAM assists the ZPO, RPO and CO in the closeout process. 8. The WAM maintains files for each work assignment managed, which includes all transactions, correspondence, receipt of deliverables, monthly reports and financial information and performance ratings. ------- OSWER Directive No. 9972.00 -2- 9. The WAM adheres to EPA contracting rules and procedures in the performance of all work assignment manager duties. 10. The WAM alerts'the RPO and CO to COI issues whether they are organizational, personnel or appearance conflicts. 11. The WAM notifies the contractor and RPO of poor performance as soon as the less than satisfactory performance is noted and prior to completing the PER and the Award Fee Process. ------- ROLES AND RESPONSIBILITIES FOR THE CONTRACTING OFFICER In general terms the Contracting Officer (CO) provides contractual assistance to the ZPO and the RPO. More specifically the roles and responsibilities of the CO are as follows: 1. The CO is responsible for reviewing and providing final approval of all work assignments. 2. The CO approves all work plans and work plan revisions and issues stop work orders when appropriate„ 3. The CO approves the WAM for each new work assignment. WAMs and POs must meet requirements set by 0AM prior to CO approval. 4. The CO checks the validity of Independent Government Cost Estimates (IGCE's) and assists the WAM and RPO, if needed, in negotiating work plans with the Contractor. 5. The CO approves procurement requests and obligates funds to the contract through a contract modification. 6. The CO ensures there is an appropriate division or work between contractors within the same zone. 7. The CO resolves COI issues, based on input from the ZPO and RPO, thru avoidance, mitigation or neutralization. 8. The CO makes determinations based on input from the RPOs regarding contractor's request for future contracting. • 9. The CO reviews monthly progress and financial reports and contractor invoices for validity. 10. The CO reviews contractor cost estimates for reasonability, allowability and allocability of costs. 11. The CO tracks contract funding to assure the ceiling limits set forth in the contract are not exceeded. 12. The CO attends the PEB meetings and prepares the fee notification letter. 13. The CO reviews cost, performance, schedule and subcontractor problems not resolved by the RPO. ------- -2- 14. The CO provides policy and guidance to RPOs and ZPOs as new issues develop in contracting. 15. The CO provides RPOs and ZPCs in writing guidance on individual preferences in administering and managing the contracts. ------- |