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
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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
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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
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OSWER Directive No. 9972.00
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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
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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
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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.
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OSWER Directive No. 9972.00
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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.
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OSWER Directive No. 9972.00
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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.
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OSWER Directive No. 9972.00
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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.
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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
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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.
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OSWER Directive No. 9972.00
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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.
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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.
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OSWER Directive No. 9972.00
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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.
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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.
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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.
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