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

                               -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

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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

                               -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.

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                                        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.

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                                        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.

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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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                               -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.

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                                        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.

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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

                               -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.

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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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                               -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.

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