United States Office of Acquisition October, 1999
Environmental Management
Protection Agency
CONTRACTING OFFICER
REPRESENTATIVES
SUPPLEMENTAL COURSE TEXT
Pilot Presentation
Note: Completion of the COR Mentor Program is prerequisite to taking this class.
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Presented by:
Office of Acquisition Management
Acquisition Training and Oversight
Service Center (3802R)
The Overall Course Objective is to:
Supplement the basic training received in the COR Mentor Program by presenting
an overview of U.S. EPA contracting policies, procedures, and vulnerabilities.
Date:
Instructor:
Location:
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ADMINISTRATIVE INFORMATION
1. Students must preregister to attend this course. At Headquarters, registrations are
processed through the Acquisition Training Service Center, 0AM. Local Training Officers
process registrations for courses in RTP, Cincinnati, the regions, headquarters field
components and regional field components.
2. Attendance is mandatory per Chapter 7 of the Contracts Management Manual.
A student cannot miss more than 1 hour of instruction and receive a
certificate.
3. This is a two day course. Hours are 9:00 a.m. to 4:00 p.m. unless the instructor
indicates otherwise.
Lunch - 1 hour
Breaks (At the discretion of the instructor)
All students are expected to return to the classroom on time from
lunch and breaks.
4. CLASS DISCUSSION:
All students have the privilege to debate with discretion on any topic related
to the course. Therefore, each student, within the bounds of courtesy and
propriety, is encouraged to participate freely in class discussions.
Statements in class will be treated as privileged information not to be
attributed to a specific individual when outside the class.
5. STUDENT EVALUATION OF COURSE:
Student critiques are used to evaluate and update the course content. Evaluations
will be collected at the conclusion of the class. The importance of the course
evaluation, by each student, cannot be overemphasized.
in
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INTRANET ACCESS TO OAM ACQUISITION GUIDANCE
The following information is available on the EPA INTRANET at
http://intranet.epa.gov/oamintra
O Acquisition Policy Memoranda
O Acquisition Training
O Areas of expertise - points of contact on specific topics
O Best Practices Guide for Conferences
O Best Practices Guide for Multiple Award Task Order Contracting
O Contracts Management Manual including the following chapters:
1. Acquisition and Contract Management Planning
2. Procurement initiation and Related Documentation
3. Unsolicited Proposals
4. Blanket Purchase Orders
5. Providing Government Property
6. Invoice Review Process
7. Contracting Officer Representatives
8. Contracting Officer Warrant Program
9. Accounting for Appropriations in Contracts
10. Procurement Systems Evaluation
11. Safeguarding Bids and Proposals
12. Ratification of Unauthorized Commitments
13. Affirmative Procurement Program
14. Quality Contracting Teams
15. Use of Cost-Plus-Award-Fee Contracts
16. Multiple Award Contracts
17. Reserved
18. Prohibition on Directed Subcontracting
19. Reserved
20. Shutdown Procedures
O EPA Acquisition Regulation (EPAAR)
O EPA Order 1900.1 A Use of Contractor Services to Avoid Improper Contractor
Relationships
O Government-Wide Contracts - contracts for various information technology supplies and
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services issued for use by other federal agencies, but available for use by EPA.
O A Guide to Best Practices for Past Performance
O Interim Acquisition Rules for Comment
O Policy Hot Tips - updated regularly
O Procurement Policy Notices
O Purchase Card Guidance
O Simplified Acquisitions Made Easy
O Virtual Acquisition Research Center
FORMS, FORMS, FORMS
U.S. Government Standard Forms (SF) or Optional Forms (OF) are available to download,
fill, and print via the Internet at http://www.gsa.gov/forms.
EPA Forms can be printed from the Intranet at http://intranet.epa.gov/nrmp/forms.
EPA "fill and print" forms are available in E-Forms-if it has been implemented in your
office. The E-Forms Help Desk can be reached on 703-734-2338.
Forms "Fax -on-demand" are available through 202-564-FORM.
Hard copies are available from the National Center for Environmental Publications and
Information (NCEPI). To order forms, submit EPA Form 2360-1 to:
Forms Distribution Office To contact NCEPI:
U.S. EPA-NCEPI (513) 489-8190 (phone)
Forms Distribution Office (513) 489-8695 (FAX)
P.O. Box 42419 ncepi.mail@epamail.epa.gov
Cincinnati, OH 45242
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INTERNET SITES
1. www.faionline.com
2. www.gsa.gov/staff/vAtraining.htm
3. www.gsa.gov
4. www.gsa.gov/far
5. www.pub.fss.gsa.gov/services.html
6. www.usoge.gov
7. www.arnet.gov
COR Mentor Program
Basic training required for all Agency CORs
Federal Acquisition Institute
Information on Government wide career
management for the acquisition workforce, such as
COs and CORs.
General Services Administration (GSA) Homepage
Federal Acquisition Regulations
Links to solicitations and schedules for all multiple
award schedules for services offered by GSA HQ
and regional offices
U.S. Office of Government Ethics
Ethics regulations & guidance OGE Form 450,
Confidential Financial Disclosure
Acquisition Reform Network
Information on acquisition best practices,
suspended & debarred list, etc.
8. www.deskbook.osd.mil
Acquisition reform information
9. www.acq.osd.mil/dau
Defense Acquisition University
10. www.gao.gov
General Accounting Office Home Page
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MODULE 1: PURPOSE AND OVERVIEW
A. PURPOSE OF COURSE
This course is designed to enable Contracting Officer Representatives (COR) at EPA to perform
their contract management roles effectively. Work Assignment Managers (WAMs) have been selected
as the principal audience because of the extensive use within EPA of level-of-effort (LOE)
contracts which use work assignments to issue the work. However, the course also applies to
Delivery Order Project Officers (DOPOs), who manage tasks under fixed rate contracts, and Task
Order Project Officers (TOPO), who manage work under multiple award contracts. In addition, the
course should be useful to Project Officers (POs) in performing their post-award contract
management tasks, as well as to supervisors of CORs.
Completion of the Federal Acquisition Institute's on-line COR Mentor Program is a prerequisite to
this course. This course is intended to reinforce, build upon and deepen the understanding of
contract management practices introduced in the COR Mentor Program and to familiarize students
with unique Agency contracting policies, procedures, ans vulnerabilities. These vulnerabilities
issues include personal services, inherently governmental functions, conflict of interest, and
other contract administration issues.
B. OBJECTIVES OF COURSE
Upon completion of this course, COR will be able to:
Describe the overall work assignment management process, and the roles and responsibilities
of the key individuals in the process.
Describe methods, procedures and issues in performing the range of work assignment
management tasks. These include:
- Plan a work assignment
- Develop an independent Government cost estimate
- Write a completion-oriented statement of work
- Determine and document quality assurance requirements
- Establish and maintain project files
- Review and evaluate a Contractor's work plan
- Monitor a Contractor's technical performance, including providing technical direction
- Monitor a Contractor's financial performance
- Initiate amendments to a work assignment
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- Complete performance event reports
- Monitor the use of Government-furnished property (GFP)
- Close out a work assignment
Identify potential contracting improprieties and vulnerabilities and determine ways to
avoid or mitigate them. These include issues associated with personal services, inherently
governmental functions, conflict of interest and other contract administration issues.
C. ORGANIZATION AND CONTENTS OF THE COURSE TEXT
The course text is intended to support the instruction in class, as well as to serve as a desk
reference for CORs on the job. This Manual should be used in conjunction with the other Agency
documents dealing with contract management such as the Contracts Management Manual and the EPA
Acquisition Regulation (EPAAR).
The Participant Manual consists of eight modules. These are:
Module 1 - Purpose and Overview
Module 2 - The Work Assignment Management Process - Presents an overview of the major ta
performed in work assignment management, and describes and contrasts the roles of the Work
Assignment Manager, the Project Officer, the Contracting Officer, and the Supervisor of the
Work Assignment Manager.
Module 3 - Pervasive Issues and Standards of Conduct - Discusses potential vulnerabilities
associated with personal services, inherently governmental functions, and conflict of
interest.
Module 4 - Preparing the Work Assignment Package - Discusses procedures for planning a wor
assignment, developing an independent Government cost estimate, preparing a
completion-oriented statement of work (SOW), documenting quality assurance requirements,
and preparing the necessary forms and documents that accompany a SOW.
Module 5 - Establishing and Maintaining Project Files - Describes procedures for creating,
organizing, and maintaining files for a work assignment.
Module 6 - Reviewing the Contractor's Work Plan - Discusses procedures for reviewing the
technical and financial elements of a Contractor's work plan, and resolving differences
with the Contractor through negotiations.
Module 7 - Performing Technical Monitoring - Describes the procedures for monitoring the
technical performance of a Contractor, including providing technical direction, reviewing
technical progress reports and deliverables, conducting progress meetings, and identifying
problem areas and corrective actions.
Module 8 - Performing Financial Monitoring - Describes the procedures for monitoring the
financial performance of a Contractor, including reviewing financial progress reports and
invoices, handling special cases such as funding with multiple appropriations, identifying
potential cost overruns and other problems, and forecasting carryover funds
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The modules are organized in a common format, including the purpose of the module, instructional
objectives, and detailed descriptions of the various roles, procedures, guidelines, and issues and
problems associated with the various work assignment management tasks. Checklists, worksheets, and
sample completed forms and other examples are included as appropriate. Exercises used in class to
explore and test understanding of various principles, practices and issues are also included.
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MODULE 2: THE WORK ASSIGNMENT MANAGEMENT PROCESS
A. INTRODUCTION
This Module provides the foundation for this course. It outlines the major steps in the work
assignment management process, relates this process to the overall contract management function,
and describes and contrasts the roles of the Work Assignment Manager, Project Officer and other
parties in the process. The Module concludes with a discussion of WAM performance standards.
Subsequent modules present detailed procedures for performing the various work assignment
management tasks.
B. OBJECTIVES
At the completion of this Module, you will be able to:
Describe the major tasks in the work assignment management process.
Describe the relationship between the work assignment management process and the overall
contracting process.
Describe and contrast the roles and responsibilities of the Work Assignment Manager,
Project Officer, Contracting Officer, the Supervisor of the Work Assignment Manager and the
Contractor.
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C. THE CONTRACT MANAGEMENT PROCESS
1. Overall Contract Management
The overall contract management process consists of two major segments: pre-award and
post-award. The post-award process is often referred to as contract administration.
Exhibit 2-1 illustrates the overall contract management process.
(1) The Pre-Award Process
The pre-award process consists of the activities associated in planning procurements,
evaluating proposals and awarding contracts. Specific pre-award tasks include:
Develop acquisition plan
Prepare and approve Procurement Request (PR) package
Establish Source Evaluation Board and Technical Evaluation Panel (TEP)
Prepare Request for Proposal (RFP)
Perform evaluation of technical proposals
Perform evaluation of business proposals
Conduct negotiations and select Contractor for award
Award contract
Conduct debriefings
Resolve protests
The Project Officer is typically heavily involved in many pre-award tasks, often
responsible for preparing the Procurement Request package and chairing the Technical
Evaluation Panel (TEP). The Work Assignment Manager may participate in pre-award
tasks by assisting the Project Officer in drafting the Statement of Work for the
procurement package or serving as a member of the TEP.
(2) The Post-Award Process
The post-award (contract administration) process consists of the activities in
administering the overall contract and resulting work assignments, delivery orders or
technical directives. The activities performed in overall contract administration are
listed below:
Establish contract file
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Exhibit 2-1
CONTRACT MANAGEMENT PROCESS
Overall
Contract
Management
PRE-AWARD
Plan Procurements
Evaluate Proposals
Award Contracts
POST-AWARD
Issue Work Assignments
or Delivery Orders
Monitor Overall Contract
and Individual Work
Assignments or
Delivery Orders
Close Out Contract
I
WORK ASSIGNMENT
MANAGEMENT
Prepare
Work Assignment
Review Work Plan
Monitor Performance
on Work Assignment
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Hold post-award orientation meeting
Issue work assignments or delivery orders
Perform technical project monitoring
Perform financial monitoring
Evaluate Contractor performance
Process modifications and amendments
Perform property administration
Resolve disputes and claims
Close out contract
Perform audits as required
Both the Project Officer and the Work Assignment Manager (or Delivery Order Project
Officer for fixed rate contracts1) are heavily involved in contract administration.
2. The Work Assignment Management Process
Work assignments or delivery/task orders are the vehicles used to initiate and perform work
under most EPA contracts. As shown in Exhibit 2-1, work assignment management is a subset of
the contract administration process. It includes the majority of tasks involved in contract
administration; the focus is, however, on planning and managing an individual work
assignment instead of managing an overall contract. An individual contract can have in
excess of SO active work assignments at any given time. Exhibit 2-2 illustrates the work
assignment management process. The WAM has the primary responsibility for performing these
tasks. A brief description of these tasks follows:
(1) Preparing the Work Assignment Package
The task involves:
Planning the work assignment
Writing the statement of work
Identifying and documenting quality assurance requirements
Developing the independent Government cost estimate
Preparing and assembling the required forms and documents
Obtaining the required approvals.
The primary objective of this task is to adequately define the work to be performed by
the Contractor. What constitutes "adequate" definition? The work to be performed
needs to be defined in sufficient detail such that: (1) the Contractor can prepare a
responsive work plan; (2) the Government has a sound basis for monitoring Contractor
performance; and (3) the Contractor can proceed without extensive direction from the
Government.
Module 4 describes this task in further detail.
1 A detailed discussion of the various types of contracts is presented in Module 4, Section F.
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Exhibit 2-2
THE WORK ASSIGNMENT MANAGEMENT PROCESS
1
Prepare
Work
Assignment
(Module 4)
2
Establish
and Maintain
Project
Files
(Module 5)
3
Review
Contractor
Work Plan
(Module 6)
Perform
Technical
Monitoring
(Module 7)
5
Perform
Financial
Monitoring
(Module 8)
Close Out
\Vork
Assignment
(Module 9)
6
Initiate
Amendments
(Module 9)
7
Complete
Performance
Event
Reports
(Module 9)
8
Monitor
GFP
(Module 9)
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(2) Establishing and Maintaining Project Files
The task involves:
Selecting a filing plan
Maintaining project files
Disposing or project files.
The primary objectives of this task are threefold: (1) to support ongoing t
and financial monitoring, (2) to establish and maintain an audit trail for the work
J f**\. A ^^ * A ' J" A " " "
support ongoing technical
assignment, and (3) to assist in responding to inquiries.
The audit trail not only documents the course of the work assignment, but also protects
the interests of the Government and the WAM. Module 5 describes this task in more
detail.
(3) Reviewing the Contractor Workplan
The task involves:
Reviewing the Contractor's technical plan to determine if the Contractor's
understanding of the requirement and approach are consistent with the Statement of
Work of the work assignment.
Reviewing the Contractor's cost proposal to determine if it falls within the
Government's cost-estimate and is realistic.
Assisting the CO with negotiating changes to the Contractor's work plan and cost
Eroposal, as appropriate, to help accomplish the required work within the time and
udget constraints.
The final result of this task is an approved work plan. Module 6 discusses this task in
more detail.
(4) Performing Technical Monitoring
This task involves:
Providing appropriate technical direction to the Contractor
Monitoring the Contractor's progress through review of technical progress reports
and deliverables, meetings and other communications
Monitoring compliance with quality assurance requirements
Identifying technical problems and determining corrective actions.
The objectives of this task are to ensure that the project stays on track and that the
deliverables meet the Government's needs. Module 7 describes this task in more detail.
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(5) Performing Financial Monitoring
This task involves:
Reviewing Contractor invoices
Reviewing the financial portion of monthly progress reports and other special
financial reports
Forecasting carryover funds
Identifying financial problems and determining corrective actions
The objectives of this task are to ensure that charges are reasonable in regard to the
work performed, and that sufficient funds are available to accomplish the work. Module
8 describes this task in further detail.
(6) Other Work Assignment Management Tasks
Additional work assignment management tasks, which are addressed in Module 9, include:
Amending a work assignment
Completing performance event reports
Monitoring the use of Government Furnished Property (GFP)
Closing out a work assignment.
Amending the work assignment revises the official specification (tasks, schedules or
deliverables) for the Contractor. This is important to support a complete audit trail
for the work assignment by ensuring that the work performed and products delivered
match the requirements.
Completing a performance event report applies only to cost-plus- award-fee (CPAF)
contracts. The WAM completes performance event reports for individual work
assignments utilizing evaluation criteria and a schedule established in the contract.
The Evaluation Coordinator (usually the Project Officer) compiles individual
performance event reports to assist in determining the award fee for the Contractor for
the period. This process provides motivation and feedback to the Contractor on
performance.
Monitoring GFP applies only to those work assignments in which a Contractor must use
Government propertypr equipment. The WAM and Project Officer are responsible for
determining when GFP is required and ensuring that its use is in accordance with the
requirements of the work assignment. The WAM and Project Officer coordinate with the
Contracting Officer and EPA property management personnel in this task.
Although the EPA Contracting Offices do not currently require formal "close out" of
individual work assignments, there are certain administrative tasks which the WAM and
Project Officer should perform to document the completion of the work assignment.
These include ensuring that all deliverables have been received, transferring any
unused funds budgeted for the work assignment, and ensuring that work assignment files
are complete.
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D. ROLES AND RESPONSIBILITIES
As indicated earlier, the WAM has the primary responsibility for managing the work assignment for
the Government. However, other individuals also play key roles. The key players for the
Government, which issues and monitors the work assignment, and the Contractor, which delivers the
services, are listed below. The lines indicate the primary channels of communication.
The Government The Contractor
Contracting Officer Contract Program Manager
| (for the overall contract)
Project Officer
Work Assignment Manager Contract Project Manager
(for the work assignment)
Contractor staff and
Subcontractors
A description of the roles of each of these parties follows. Exhibit 2-3 compares and contrasts
the roles of the WAM, the Project Officer and the Contracting Officer. While there are different
roles, it should be emphasized that the WAM, PO and CO participate as a team in the management of
the work assignment, with the WAM as the first line of management.
1. The Work Assignment Manager
The WAM must be designated for each work assignment on EPA Form 1900-65A and formally
appointed by the Contracting Officer in accordance with Office of Acquisition Management
(OAM) training requirements. In order to be appointed the WAM must (1) complete the COR
Mentor Program, and (2) complete a one-day refresher (recertification) course every three
years. The WAM performs the following duties:
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Plans individual work assignments
- Writes the statement of work
- Develops the Government's cost estimate
- Prepares other parts of the work assignment package (responsibility for this
function may be divided between the WAM and the Project Officer in some laboratories
and offices)
Determines QA requirements for the work assignment
- Completes Quality Assurance Review form, as appropriate
- Determines data quality objectives and QA reporting requirements
Serves as day to day technical point of contact (POC) for the Contractor's project
manager for the work assignment
Recommends actions and provides input to the Project Officer
- Recommends approval/disapproval of work plans, invoices,2 and deliverables
- Identifies the need for amendments
- Completes performance event reports for CPAF contracts
- Forecasts the need for carryover funds
- Notifies Project Officer of performance problems.
Monitors technical and financial performance of the Contractor
- Provides technical direction
- Reviews technical/financial progress reports
- Reviews invoices
- Conducts progress meetings and on-site inspections, as appropriate
- Reviews deliverables
Monitors compliance of the Contractor with quality assurance requirements (on projects
involving environmental data collection)
- Coordinates with the Quality Assurance Manager to perform internal audits on
implementation of the Quality Assurance Project Plan
- Reviews audit reports prepared by external QA Contractors
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- Coordinates with the Quality Assurance Manager on review of quality control
evaluation reports and uses the results as criteria for Government's acceptance of
deliverables
Maintains appropriate documentation of the work assignment
The WAM does not have the authority to obligate Government funds. Note that previously,
WAMs were not authorized to issue technical direction. The Office of Acquisition Management
(OAM) developed a class deviation to the standard EPAAR technical direction clause to allow
the Contracting Officer to authorize individuals in addition to the Project Officer such as
WAMs to formally provide technical direction.
In accordance with Chapter 7 of the Contracts Management Manual an Alternate Work Assignme
Manager may be designated. The Alternate WAM must be appointed by the CO and meet the sam
training requirements as the WAM. Alternates are authorized to act in the absence of the
WAM, such as when the WAM is on leave and travel.
2. Project Officer (PO)
The PO must also be appointed by the CO through EPA Form 1900-65A. The PO is the contractin
officer's representative (COR) for the overall contract.
The PO:
Serves as primary technical point of contact with the contractor's overall program
manager for the contract
Develops forecast of contract use (hours and costs) and plans for overall contract
administration
Facilitates interaction between the contractor and the WAM
Reviews the management functions of the WAM
- Reviews and edits work assignment package for submission to the CO
- Based on the input from the WAM and his/her own review, recommends
approval/disapproval of the contractor's work plan to the C O
- Approves the Quality Assurance Review form and, if applicable, the Quality
Assurance Project Plan in conjunction with the Quality Assurance Manager
- Certifies and submits invoices for payment after review by the WAM
Ensures prompt payment of invoices
Monitors overall contract performance
- Monitors hours and costs against contract ceilings
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- Compiles and summarizes performance event reports and other information for use in
determining award fees on CPAF contracts
- Informs Contractor program manager and Contracting Officer of performance issues
and problems
- Identifies the need for and requests modifications to the contract
- Ensures that approval of subcontractors and consultants is obtained
Prepares reports as required regarding contract activities
Maintains overall contract files
The PO does not have the authority to obligate Government funds. Also, note that if the
contract does not have work assignments or delivery orders, the PO performs many of the
functions listed for the WAM.
3. Contracting Officer (CO)
The CO is the only person who can:
Sign a contract
Obligate Government funds
Issue work assignments or delivery orders
Modify or amend the terms of a contract or work assignment
Terminate a contract or work assignment
Issue a stop-work order
The CO relies on the PO to keep him or her informed on the progress and potential problems
with work assignments issued under the contract.
Although the responsibility for acceptance of supplies and services (deliverables) is
vested in the C O, the function is usually delegated to the PO under the "Inspection and
Acceptance" clause of the contract (EP52.246-100).
Occasionally, the C O will delegate certain other functions to the P O, such as approving
work plans. Other duties of the C O include:
Monitoring overall contract expenditures (ceilings on hours and costs)
Presenting award fee recommendations on CPAF contracts to the Fee Determination
Official
Issuing modifications notifying the contractor of the amount of award fee on CPAF
contracts
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4. Work Assignment Manager's Supervisor
The WAM's Supervisor is typically the branch, staff or section chief of the organizational
unit to which the WAM is assigned This individual, therefore, has interest in and is
responsible for the products or services produced by the work assignment. The WAM's
Supervisor:
Ensures that the work assignment fits within the scope of the branch, staff or
section's program and priorities
Approves work assignments and Procurement Requests as a management control
Ensures that the WAM is properly trained
Ensures that the WAM's performance standards reflect contract management duties
May assist WAM in performing review of deliverables and progress on the work assignment
Ensures that the final product of the work assignment meets required quality assurance
standards.
Although the WAM's supervisor has responsibility for the quality of the end products of the
work assignment, he or she has no authority to deal directly with the Contractor.
5. Contractor
The contractor:
Provides the services and products described in the statement of work
Communicates with the WAM, P O and C O to discuss requirements, progress and issues
Prepares and submits periodic technical and financial progress reports
Submits invoices for work performed
Advises the CO
Submits other reports and notices required by the contract, such as those dealing with
Limitation of Cost and Government-Furnished Property (GFP)
Notifies the Government (WAM, PO and C O) of performance issues associated with the
work assignment or overall contract.
The contractor's Program Manager is responsible for management of the overall contract. The
Program Manager may directly manage all individual work assignments, or on large contracts,
may delegate management of some work
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assignments to other staff members. The Program Manager interacts with the EPA PO and, in
some cases, the C O. In other cases the contractor may designate a corporate executive or
contract administrator for primary communication with the CO.
The contractor's project manager for the individual work assignment provides first level
supervision for Contractor staff working on the project. The project manager interacts with
the EPA COR in managing the project.
The contractor staff are employees of the Contractor. As such, they have no reporting
relationship to any Government employees. Their direction and supervision must come from
within the company for which they work.
Subcontractors have a legal relationship with the prime contractor and are responsible to
the prime Contractor for meeting project requirements. Subcontractors have no legal
relationship or "privity of contract" with the Government.
There may be many similarities between Government employees and contractor staff,
particularly if they are engaged in the same type of work. They may have similar education
backgrounds, work experience, and interests in the environment. Still, there are some
significant differences.
The Government's goal in issuing and managing a work assignment is to accomplish a
particular objective and project at an acceptable cost to the Government. The contractor's
goal is also to successfully perform the work but, in addition, to achieve a certain
financial return on the work. Through successful performance on work assignments, the
contractor hopes to build its expertise and reputation in order to secure future work.
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EXHIBIT 2 - 3
ROLES AND RESPONSIBILITIES MATRIX
TASK
1. Picpare Woik
Assignment
2. Establish and
M;iinlain Project
Files
3. Review Contractor
Work Plan
4. Perform Technical
Monitoring
WORK ASSIGNMENT MANAGER
l.a. Plan work
b. Prepare SOW
c. Develop cost estimate
d. Prepare WA form and other forms
(e.g.. QAR form)
e. Obtain necessary approvals
2.a. Acquire documents from PO
b. Set up Hies
3. a. Review Work Plan
b. Recommend approval/disapproval to
PO
c. Negotiate changes with Contractor
4 .a. Review progress reports
b. Review dcliverables; recommend
approval/disapproval to PO
c. Provide technical direction
d. Conduct progress meetings with
Contractor
e. Identify and discuss problems with
Contractor; alert PO
PROJECT OFFICER
La. Review/edit SOW
b. Review cost estimate
c. Prepare WAM designation form and
PR (as necessary)
d. Add accounting and other data
e. Assemble WA package and submit to
CO
2.a. Provide documents to WAM
b. Set up files; coordinate
responsibilities for record-keeping
3.a. Review work plan
b. Recommend approval/disapproval to
CO4
c. Negotiate changes with contractor
4 .a. Review progress reports
b. Approve dcliverables
c. Provide technical direction
d. Discuss problems with WAM and
Contractor; alert CO
CONTRACTING OFFICER
1 a. Review WA package
b. Issue work assignment
c. Obligate funds and issue contract
modification (as necessary)
2 a. Provide documents to PO
b. Set up files; coordinate
responsibilities for record-keeping
3. a. Formally approve work plan1
b. Notify Contractor of approval
4.a. Discuss problems with PO and
Contractor as necessary
ro
In some contracts, the Contracting Officer has delegated authority for approving a Contractor work plan to the Project Officer. In such cases the
r cl Officer will notify the Contractor of approval.
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EXIIIRIT 2 - 3 (continued)
TASK
5. Perform Financial
Monitoring
6. Inilinlc Amendments
and Modifications
7. Prepare Performance
Event Report (PER)
WORK ASSIGNMENT MANAGER
5. a. Review financial progress reports Tor
WA
b. Review invoices; identify
questionable items, recommend
approval/ disapproval to PO
c. Identify and discuss need for
corrective actions with Contractor
and PO
d. Forecast carryover funds
6.a. Determine need for amendment to
WA (e.g.. increase hours, add tasks
or deliverable*, change schedule)
7. a. Complete Performance Event Report
evaluating Contractor performance
for individual WA
PRO.IRCT OFFICER
5.a. Review financial progress rcixwls for
WA and overall contract (ceilings on
hours and costs)
b. Approve or lake exception to
invoices; indicate account numbers
and submit to FMC-RTP
c. Resolve questionable charges with
Contractor
d. Identify and discuss need for
corrective actions with WAM and
Contractor
e. Submit request for carryover funds
to CO
6.a. Evaluate need for amendment;
submit request to CO
b. Determine need for modification to
overall contract (e.g.. addition of
funds, change in key personnel);
submit request to CO
7.a. Compile Performance Event Rc|>orts
and prepare summary for
Performance Evaluation Board
(PEB)
CONTRACTING OFFICER
5.a. Review financial progress reports for
overall contract
b. Review all exceptions to invoices;
determine final payment after
reviewing all data
c. Discuss need for corrective actions
as necessary with PO and
Contractor
d. Transfer carryover funds to contract
for next fiscal year
6.a. Review amendment request; issue
amendment
b. Review modification request; issue
modification adding dollars to
overall contract or other changes
7.a. Determine award fee pool
b. Present PEB report to Fee
Determination Official
c. Notify Contractor of award fee
amount through contract
modification
(0
t
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EXHIBIT 2 - 3 (continued)
TASK
8. Monitor GFP
9. Close Out Work
Assignment
WORK ASSIGNMENT MANAGER
8.a. Prepare Justification of Need
h. Ensure that equipment is being used
in accordance with terms of WA
c. Ensure return of GFP; notify PO
d. Develop procedures for shnrcd
equipment
9.a. Dclcnninc need to closcout WA (e.g..
nil tnsks and dcliverables completed);
alert PO
b. Initiate new WA to conclude
activities begun under WA from a
prior year, as necessary
PROJECT OFFICER
8.a. Review Justification of Need
b. Ensure that equipment is being used
in accordance with terms of WA and
contract
c. Coordinate with Contractor. CO and
Property Management personnel on
changes to GFP (e.g.. return or
exchange of GFP)
d. Develop procedures for shared
equipment
9 .a. Ensure all tasks and deliverable* have
been completed
b. Transfer remaining funds as
necessary
c. Initiate new WA to conclude
activities begun under a WA from a
previous year, as necessary
CONTRACTING OFFICER
8 .a. Issue contract modification.
authorizing GFP
8 b. Coordinate with Contractor, PO and
Property Management personnel in
processing changes to GFP
9.a. Process new work assignment to
conclude activities begun under a
WA from a prior year, as necessary
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E. \VAM PERFORMANCE STANDARDS
The EPA Contracts Management Manual (Chapter 7) specifies that the performance standards of CORs
reflect the contract management duties assigned to the individuals. Model performance standards
are provided below. The model standards presented below address:
Compliance with Agency contract management policy
Performance of post-award tasks associated with issuing work, monitoring contractor
performance and reviewing vouchers and invoices
These standards apply to Project Officers, Work Assignment Managers and Delivery Order Project
Officers (DOPOs). Standards have also been developed for pre-award tasks; however, these have
not been included here, since they are primarily applicable to Project Officers only. The model
performance standards may be tailored to the duties of the individual WAM and the practices of the
particular program office. AllCORs must address performance of these functions in their annual
performance agreements.
CONTRACT MANAGEMENT MODEL PERFORMANCE STANDARDS
Critical Job Element: Provide oversight and technical direction for contractor performance to
ensure receipt of products and services purchased.
1. Compliance with Agency Contract Management Policy
Outstanding
Accurately and thoroughly interprets and applies Agency contract management policies and
Federal ethics regulations. Ensures that all services are appropriate for performance by a
Contractor, avoiding even the appearance of an impropriety. Reviews and updates control
measures for on-site Contractors to ensure the proper safeguarding and handling of
confidential business information. Promptly identifies any actual, potential or apparent
conflicts of interest and consistently takes the appropriate action to avoid, neutralize,
or mitigate instances where a conflict of interest might occur Any questionable
contracting activities are immediately brought to the attention of the appropriate
management officials.
Fully Successful
Adheres to Agency contract management policies and procedures Ensures that inherently
governmental functions are not performed by contractors. Establishes,
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implements and maintains appropriate control measures for on-site Contractors and
procedures to ensure the proper safeguarding and handling of confidential business
information. Does not engage in prohibited activities, i e.. directed subcontracting,
directed hiring, or personal services situations. Performs all contract management duties
in accordance with Federal ethics regulations. Identifies any actual, potential or
apparent conflicts of interest. Takes appropriate action to avoid, neutralize, or mitigate
such conflicts of interests.
Unsatisfactory
Fails to follow the Agency's contract management policies or the Federal ethics
regulations. Engages in prohibited contracting procedures or does not take appropriate
actions to avoid, neutralize, or mitigate known conflicts of interests or prohibited
contracting activities. Fails to establish, implement and maintain appropriate control
measures for on-site Contractors and procedures to ensure the proper safeguarding and
handling of confidential business information.
2. Issuance of Work
Outstanding
Demonstrates an exceptional level of technical expertise and precision in preparation of a
written scope of work. Objectives are always clearly and accurately described and always
fit within the contract statement of work. Independent cost estimates are meticulously
prepared, providing accurate and comprehensive cost data. Consistently meets or exceeds
deadlines. Is scrupulous in ensuring strict compliance with all Agency policies and
regulations regarding work issuance, such as the Agency's policy on multiple
appropriations. Work is rarely, if ever, returned for revision by the Contracting Officer.
Fully Successful
Prepares a well-written scope of work describing objectives to be accomplished which fit
within the basic contract statement of work. Prepares an accurate independent government
cost estimate. EPA-prohibited contract activities are not requested. Demonstrates a
well-thought out and efficiently planned approach as evidenced by timely decision-making
and consideration of risks and benefits. Ensures that the proper accounting/appropriation
data has been identified and that sufficient funds have been secured to fund the
requirement. Ensures compliance with the Agency's policy on multiple appropriations.
Unsatisfactory
Prepares a poorly written scope of work that does not describe all the objectives to be
accomplished and which sometimes fails to fit within the contract statement of work. Work
products are submitted late, not sufficiently relevant, in incorrect format, reflect poor
scheduling, and frequently require major revision after review of Contracting Officer.
Fails to ensure identification of proper accounting/ appropriation data or to secure
sufficient funds for the requirement. Fails to ensure
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compliance with the Agency's policy on multiple appropriations. Independent cost estimates
are not performed or are inaccurate, incomplete, and fail to conform to Agency guidelines.
3. Monitoring Contractor Performance/Products
Outstanding
Demonstrates exceptional skill in handling complicated or controversial issues while
performing monitoring duties. Monitors Contractor activities so closely that deadlines are
rarely missed and work meets the expectations outlined in the work assignment. Technical
guidance provided to the Contractor is exceptionally clear and accurate and rarely is there
a misunderstanding on the requirements to be fulfilled. Promptly advises the Contracting
Officer of performance problems. Information is consistently communicated through the
proper channels to ensure that the required management levels are kept informed.
Contingency plans are established to handle potential problems and to ensure strict
adherence to contract management plans. Establishes and maintains exceptionally reliable
contract records.
Fully Successful
Evaluates Contractor products/deliverables to ensure conformance with statement of work.
Closely monitors Contractor activities to control costs and to ensure completion of work by
established deadlines. Keeps the Contracting Officer advised of any performance problems
but handles routine problems with a minimum of supervision. Written technical direction is
provided to the Contractor as necessary with a copy to the Contracting Officer and is
communicated through the proper channels. Technical guidance is clearly written to convey
the appropriate information. Sensitive activities are monitored in accordance with Agency
policies. Ensures that the requirements of contract management plans are followed.
Establishes and maintains effective management records to track communications with the
Contractor and the work or cost status of the delivery orders or work assignments.
Unsatisfactory
Fails to ensure that the Contractor products/deliverables conform with statement of work.
Allows Contractor activities which are outside the statement of work and fails to maintain
adequate control over costs. Does not keep the Contracting Officer advised of Contractor
performance problems or requires ongoing assistance to resolve routine contracting
problems. Fails to provide adequate written technical direction to the Contractor, eg..
written guidance is untimely and/or does not convey needed information because it is either
incomplete or inaccurate. Fails to comply with Agency policies or the requirements of
contract management plans.
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4. Voucher Review and Payment Certification
Outstanding
Conducts thorough and accurate reviews of vouchers submitted by the Contractor.
Consistently makes appropriate determinations on voucher payments, i.e.. takes exception to
any costs not supported by the effort expended by the Contractor. Payments are consistently
processed before deadlines to ensure compliance with the Prompt Payment Act. Records on
payments and documentation of charges are exceptionally maintained with accurate and
up-to-date information. Records can be easily retrieved to respond to ad hoc requests or
generate reports.
Fully Successful
Reviews all vouchers submitted by the Contractor for payment against the appropriate work
assignment. Ensures that amount of voucher is commensurate with the effort expended by the
Contractor. Suspends, or recommends disallowance or suspension of unsupported or clearly
unallowable charges. Maintains adequate records of payments including documentation of
disallowed or suspended charges. All payments are processed timely to ensure compliance
with the Prompt Payment Act.
Unsatisfactory
Recommends or allows payment of unsupported charges. Fails to review vouchers in timely
fashion causing processing delays and late payments which fail to meet the requirements of
the Prompt Payment Act. Payment records and documentation of charges against the contract
are not accurately or adequately maintained, e.g.. is unable to provide documentation of
disallowed or suspended charges.
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EXERCISE - ROLES AND RESPONSIBILITIES
Using a scale of low (L), medium (M), and high (H), please indicate your view of the relative level of
involvement of the WAM, PO and CO in the following work assignment management tasks.
Task WAM PQ CO
1. Developing Government
cost estimate
2. Preparing Procurement Request documents
3. Preparing request for use of
multiple appropriations
4. Reviewing/negotiating Contractor
work plans, including cost estimates
5. Reviewing invoices and other financial
reports to determine reasonableness
of Contractor charges
6. Meeting with the Contractor to review
technical progress
7. Reviewing performance problems
with Contractor
8. Approving use of consultants and
subcontractors
9. Maintaining work assignment files
10. Forecasting carryover funds
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MODULE 3: PERVASIVE ISSUES AND STANDARDS OF CONDUCT
A. INTRODUCTION
This Module introduces the issues of Personal Services, Inherently Governmental Functions, and
Conflict of Interest. Because of the sensitivity of these issues, and because they impact almost
all of the WAM performance tasks, they are called "pervasive" issues. Some of these involve
activities which are explicitly prohibited by Federal regulations. Others involve situations
which may give the appearance though not necessarily the fact of inappropriate actions.
Various Office of Inspector General (OIG) reviews have focused on these issues.
The sections which follow describe the background and vulnerabilities associated with each issue
and discuss ways to avoid or mitigate these problems. Some of the items discussed are not under the
direct control of the WAM, but refer to actions the Project Officer or other
laboratory/center/office management personnel need to take. However, the full range of topics is
presented to increase the awareness and sensitivity of the WAM to the potential problems.
Following the discussion of pervasive issues, the Module describes various standards of ethical
conduct that apply to Work Assignment Managers. These deal with personal conflicts of interest,
gratuities, confidential business information, disclosure of procurement information and
post-employment restrictions.
B. OBJECTIVES
At the completion of this Module, you will be able to:
Describe potential improprieties and vulnerabilities associated with personal services,
inherently governmental functions, and conflict of interest.
Identify ways to avoid or mitigate contracting improprieties and vulnerabilities associated
with pervasive issues.
Describe standards of ethical conduct that pertain to Work Assignment Managers.
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C. PERSONAL SERVICES
Personal services contracts are generally prohibited under the Federal Acquisition Regulation
(FAR). Technically, Federal Government agencies may not award personal services contracts unless
specifically authorized by statute. EPA currently does not have such authority. A personal
services contract results when the Government assumes the right to instruct, supervise or control
a Contractor employee in how he/she performs the work. FAR 37.104(d) and EPA Order 1900.1A speci
six elements which can be used as a guide in assessing whether or not a contract involves personal
services. These are:
Performance is on-site
Principal tools and equipment are furnished by the Government
Services are applied directly in support of the laboratory or office's mission
Comparable services meeting comparable needs are performed by Federal employees
Services are required for a period of more than one year
The inherent nature of the services requires the direct or indirect supervision of Contractor
employees.
Nearly all EPA on-site contracts contain the first five elements. There is nothing inherently
illegal in these elements; the question of personal services generally turns on the sixth element -
direct or indirect supervision of Contractor employees. Thus, off-site contracts can also involve
personal services if the sixth element is present.
The importance of this issue centers around the fact that personal services contracts violate the
laws and regulations pertaining to the hiring, retaining and paying of Federal employees. For
example, personal services contracts may give the appearance of violating Federal personnel
ceilings. Unauthorized supervision of Contractor employees is a serious matter, and could result
in disciplinary action for the EPA employee involved in the unauthorized act.
Some examples of personal services situations include the following:
EPA staff interview prospective Contractor employees
EPA staff direct the Contractor to hire specific individuals or to use particular
subcontractors or consultants
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EPA staff who are unauthorized to provide technical direction, issue instructions to the
Contractor
EPA staff give assignments directly to Contractor staff, bypassing the Contractor's Project
Manager
EPA staff tell the Contractor how to accomplish the work.
The WAM and other Government employees can take a number of actions beginning with the planning of
the work assignment to prevent actual or apparent personal services arrangements. These actions
can be grouped into five areas:
Supervision/direction of Contractors
Identification of Contractor staff
Shared office space and equipment
EPA involvement in Contractor staff selection
Provision and management of administrative support services.
Exhibit 3-1 presents a checklist for actions the WAM, Project Officer and other Government
employees can use to avoid the existence of or appearance of personal services. This was developed
based on the results of the Acquisition Management Improvement Reviews and on the provisions of EPA
Order 1900.1 A.
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Exhibit 3-1
CHECKLIST FOR AVOIDING THE EXISTENCE OR
APPEARANCE OF PERSONAL SERVICES
A. Supervision/Direction of Contractors
1. Work assignments are specific, completion oriented, with clearly ( )
defined scopes of work and deliverables. They do not simply reiterate
the language of the statement of work of the overall contract.
2. Contractor work plans are detailed, indicating how the work would ( )
be accomplished.
3. Staff assigned to monitor work assignments are formally certified ( )
as WAMs.
4. Technical direction is given to the Contractor only by the Project ( )
Officer or other authorized individuals (e.g.. the WAM).
5. Technical direction given verbally is subsequently documented. ( )
6. Technical direction is given only to the Contractor Project Manager ( )
or other authorized point(s) of contact.
7. Where technical directives are used in lieu of work assignments, ( )
they require that work plans be submitted. Such work plans are
forwarded to the Contracting Office.
8. Contractor staff do not serve as members of EPA committees. ( )
9. Contractor staff do not regularly attend EPA planning and staff ( )
meetings; attendance is by invitation only and for specific purposes,
such as to give a presentation.
10. Contractor staff do not "represent" EPA organizations or staff. ( )
11. Contractor and EPA staff do not serve on mixed "science teams." ( )
12. EPA staff do not request Contractor staff to purchase supplies or ( )
services for use by EPA employees, unless specifically required
by the contract.
13. EPA staff prepare appropriate documentation on meetings, trips and
telephone conversations related to the contract.
B. Identification of Contractor Staff
1. Contractor and EPA staff wear their badges visibly, clearly ( )
identifying their organization.
2. Contractor staff identify their organization when they answer ( )
the phone at EPA sites.
3. Contractor staff identify their organization when they place ( )
calls to an EPA office or laboratory or other establishment
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when conducting business related to the contract.
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Exhibit 3-1 (continued)
C. Shared Office Space and Equipment
1. Contractor office space is segregated from EPA office space and ( )
is properly labeled.
2. To the extent practical, Contractor and EPA staff dp not use shared ( )
laboratory space or equipment in the same time period. Schedules and
priorities are established for the use of common space and equipment.
3. Contractor staff do not directly assist ORD principal investigators ( )
in conducting research. (An example would be assigning specific
technicians to support specific ORD researchers.)
D. EPA Involvement in Contractor Staff Selection and Appraisal
1. EPA staff do not forward resumes received by EPA to the Contractor ( )
for potential employment
2. EPA staff do not make hiring, firing or promotion recommendations ( )
to the Contractor.
3. EPA staff do not notify the Contractor of cash awards to EPA personnel. ( )
4. EPA staff do not provide feedback to the Contractor on the ( )
performance of individual Contractor employees.
5. The award fee process is the primary vehicle used to provide feedback ( )
to the Contractor on CPAF contracts. On other contracts, feedback is
given by the Project Officer to the Contractor Project Manager, focusing
on the quality of services and deliverables, not individual employees.
6. EPA staff do not direct the Contractor to use particular staff ( )
in conducting the work.
7. EPA staff do not direct the Contractor to retain or to use a ( )
particular subcontractor or consultant in conducting the work.
8. EPA staff do not hold open seminars at which prospective Contractor ( )
researchers give presentations as a basis for hiring. EPA staff
do not provide feedback to Contractor on such candidates.
9. EPA staff do not direct the Contractor to hire in a holding pattern, ( )
candidates for Agency positions, pending completion of competitive
civil service procedures.
E. Provision of Administrative Support Services
1. EP A staff do not give administrative assignments (ej^, typing, ( )
editing) directly to individual Contractor support staff.
2. Work request forms are used for requesting administrative support ( )
services from the Contractor.
3. Written protocols are established for the use of administrative ( )
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support services.
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D. INHERENTLY GOVERNMENTAL FUNCTIONS
FAR 37.102(b) states that in no event may a contract be awarded for the performance of an
inherently governmental function. OMB circular A-76 defines inherently governmental functions as
those "being so intimately related to the public interest as to mandate performance only by Federal
employees."
EPA Order 1900.2 established Agency policy that prohibits contracting for certain activities at
EPA and implements special management and control measures when contracting for certain sensitive
and vulnerable services. The Contracts Management Manual (CMM), Chapter 2, provides further
explanation of these types of activities as well as approval requirements for sensitive and
vulnerable services.
For contracts exceeding $25,000, a justification for sensitive and/or vulnerable services must be
prepared and approved by the Senior Resource Official (SRO), and a Division Director in the Office
of Acquisition Management.
Note that for contracts of at least $5 million but less than $25 million, the justification for
sensitive and/or vulnerable services must be approved by the Director, OAM. For contracts $25
million or above, approval by the Deputy Assistant Administrator/OARM is required.
Supplementing the provisions of the FAR, EPA Order 1900.2, and Chapter 2 of the CMM, the Office
Federal Procurement Policy (OFPP) issued Policy Letter 92-1 on inherently governmental functions
that applies Government-wide. A discussion of the Policy Letter and its relationship to EPA Order
1900.2 is presented in Section 4 below. Initially, the requirements of the EPA Order are
described.
1. Prohibited Activities
There are 17 prohibited activities under EPA Order 1900.2. Examples include
Interviewing or hiring individuals for employment at EPA
Reviewing vouchers to determine cost reasonableness
Preparing statements of work for work assignments, delivery orders, etc under a
contract the Contractor is performing or may perform
Authorizing a Contractor to represent itself as EPA
Actually preparing Congressional testimony
Actually determining Agency policy
Preparing responses to Congressional correspondence on behalf of EPA
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2. Sensitive Services Requiring Justification
Services are considered "sensitive" if they may rise to the level of inherently governmental
functions without adequate controls. Such services require justification and approval. As
indicated above, for contracts over $25,000, the justification must be approved by the Senior
Resource Official. EPA Order 1900.2 and Chapter 2 of the CMM list 11 such activities.
Examples include:
Budget preparation or implementation support
In-house evaluation of another Contractor's performance
Strategic acquisition planning
Regulation development support
Reorganization and planning support
The justification must describe the type of work to be performed, why the work cannot be
performed internally, and what will be done to ensure that Agency personnel remain
accountable for and retain control over the Contractor's products. Other management
controls included in the justification should identify appropriate contract clauses to
ensure that the proposed Contractor services will not place EPA in a vulnerable position and
will ensure that Government policy is not being created or unduly influenced by Contractors,
and that Contractor personnel will not be assumed to be EPA employees. Examples of such
clauses include those dealing with conflict of interest, confidential business information,
and identification of Contractor employees.
The justification is usually prepared for the contract as a whole at the pre-award stage.
However, if the justification is not provided at that time, or if the need for these
activities occurs after the contract is awarded, then the justification would need to be
obtained for an individual work assignment requiring these services.
3. Vulnerable Services Requiring Justification
These are activities which, while less sensitive in terms of the potential for inherently
governmental functions, require special control measures to prevent the establishment or
appearance of personal services relationships. These activities require the same
justification and approval as sensitive services. EPA Order 1900.2 and Chapter 2 of the CMM
list four such activities. These include:
Assistance by a Contractor in preparing responses to Freedom of Information Act (FOIA)
requests
Situations where Contractor and EPA staff share office space
Situations where the Contractor has access to confidential business information (CBI)
and/or any other sensitive information
Situations where it can be assumed that the Contractor is EPA
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4. The OFPP Policy Letter on Inherently Governmental Functions
The Office of Federal Procurement Policy (OFPP) issued Policy Letter 92-1, effective October
30, 1992, on inherently governmental functions The provisions of this Policy Letter (which
apply Government-wide) are similar to the requirements of EPA Order 1900.2. In any cases of
perceived conflict between the two documents, EPA will apply the more restrictive
limitation.
OFPP Policy Letter 92-1 describes two types of functions:
Functions that are inherently governmental and must be performed only by Government
employees
Functions that may be contracted but so closely support Government employees in their
performance of inherently governmental functions that the contract terms and
performance require close scrutiny by Federal officials
The first category of functions (described in Appendix A of the Policy Letter) corresponds to
the first category of EPA Order 1900.2. However, the Policy Letter lists two additional
prohibited Contractor functions - direct conduct of criminal investigations, and
determination of what Government property is to be disposed of and on what terms. Applying
the more restrictive requirements, these functions should be added to the 17 prohibited
activities in the EPA Order.
The functions in the second category (listed in Appendix B of the Policy Letter) are similar
to functions in the second and third categories of EPA Order 1900.2, regarding sensitive and
vulnerable services.
The Policy Letter describes potential management controls that should be employed when
contracting for functions of this type. Supplementing the management controls described
earlier, one additional management control described in the Policy Letter requires
Contractors when submitting reports that contain recommendations to (1) explain and rank
policy or action alternatives; (2) describe the procedures used to arrive at their
recommendations; (3) summarize the substance of their deliberations; (4) report any
dissenting views; and/or (5) otherwise make clear the methods and considerations upon which
their recommendations are based.
The particular management controls selected should be targeted at the particular
requirements of an individual contract. As indicated above, proposed management controls
must be included in the request for justification of sensitive and/or vulnerable services, as
required by EPA Order 1900.2 and Chapter 2 of the CMM.
5. Summary - Actions the WAM Should Take
To ensure compliance with the terms of EPA Order 1900.2, Chapter 2 of the CMM and OFPP Polic
Letter 92-1, the WAM and other Government personnel should ensure that the following actions
are taken:
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(1) The WAM and other Government personnel should review and thoroughly understand the
provisions of the EPA Order, Chapter 2 of the CMM and the OFPP Policy Letter regarding
the various categories of services:
Prohibited activities
Sensitive services requiring justification
Vulnerable services requiring justification.
(2) Statements of Work for individual work assignments should be reviewed against the EPA
Order, Chapter 2 of the CMM and the Policy Letter. SOWs must contain none of the
prohibited activities.
(3) For work assignments which constitute sensitive or vulnerable activities, the WAM and
Project Officer should ensure that the required justification has been prepared and
submitted to the SRO for approval. This would normally be done at the contract level in
the pre-award stage.
(4) Several activities in the sensitive category involve "management support" tasks.
Examples include budget development support, policy development support, and
regulation development support. Also, related to the prohibited activities category,
the Contractor may, under tight controls, assist EPA in such tasks as preparing
Congressional testimony by performing background research or preparing draft briefing
materials. To avoid the existence or appearance of inherently governmental functions,
the WAM and other Government personnel should institute a number of management
controls:
Ensure that the particular responsibilities of Contractor personnel in management
support tasks are clearly documented in work assignments and technical directives.
The distinction between Government and Contractor responsibilities should be clear.
Ensure that Contractor support tasks are limited to performing background research
and developing draft materials. Such materials should be reviewed extensively by
the WAM and other personnel within the laboratory, center or office. Evidence of
the Government's review should be in the work assignment project file, in the form
of memoranda presenting Government comments and/or marked-up drafts. Final policy
or planning documents must be developed and produced by Government personnel.
Ensure that Contractors involved in planning support do not have access to funding
levels or other budget information.
Ensure that Contractor inputs are free of bias and conflicts of interest.
Inform Contractors involved in strategic acquisition planning support (research
planning or ADP planning) that they may be prohibited from competing for work
resulting from the planning efforts.
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(5) Ensure that Contractors do not participate in drafting or providing inputs to
statements of work, if there is any possibility that they may be involved in performance
of the work. Contractors should also not participate in Government technical
discussions on the prioritization or funding of research.
(6) Regarding the vulnerable services category, two of the issues (shared laboratory space
and identification of Contractors) were addressed under Personal Services. Concerning
control of CBI, the following actions should be taken:
The laboratory, center or office should develop internal controls for safeguarding
sensitive contract related information included in contracts and modifications,
work assignments, work plans, cost proposals, monthly progress reports and
invoices.
Security procedures should be established for information transfer by facsimile or
communication networks such as a Local Area Network (LAN).
Contractor access to EPA data bases containing CBI of other Contractors should be
carefully controlled. For example, Contractors may maintain data bases in support
of the Federal Insecticide Fungicide and Rodenticide Act (FIFRA) and the Toxic
Substances Control Act (TSCA).
If Contractor personnel are provided access to CBI for such purposes, the WAM or
Project Officer should notify the Contracting Officer who will immediately ensure
that all such personnel sign confidentiality statements and agreements not to
divulge this information outside of their place of employment. Also, the contract
or work assignment should specify that the Contractor has access to CBI for the
particular project.
(7) WAMs and POs may also want to familiarize themselves with the management controls
contained in the Justification for Sensitive and/or Vulnerable
Services and in the Contract Management Plan for the particular contract. Contract
Management Plans are required at the pre-award stage for procurements SIS million or
above. The controls address the types of areas discussed earlier, e.g.. personal
services, inherently governmental functions, and generally contain more specific
procedures the laboratory, center or office has established for management of the
particular contract.
Exhibit 3-2 presents a checklist the WAM can use to identify the existence or appearance of
inherently governmental functions. This reflects the requirements of EPA Order 1900.2 and
Chapter 2 of the CMM. The WAM can use the checklist in reviewing statements of work against
the Order and the CMM.
(Note: Chapter 2 (revised) of the CMM modified and supersedes EPA Order 1900.2.
Specifically, Part B of EPA Order 1900.2, "Sensitive/Vulnerable Activities Requiring
Justification and Approval" is called "Sensitive Services" in CMM Chapter 2. Part C of the
EPA Order, "Activities Requiring the Establishment of Special Controls" is called
"Vulnerable Services" in the CMM. Both categories of services now require justification and
approval. Previously, the four activities under Part C of the EPA Order did not require
justification and approval. Both the EPA Order and CMM Chapter 2 contain the same list of
prohibited activities. OAM plans to eliminate EPA Order 1900.2 in the future.)
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Exhibit 3-2
CHECKLIST FOR IDENTIFYING INHERENTLY
GOVERNMENTAL FUNCTIONS
A. Prohibited Activities
1. Actually preparing Congressional testimony ( )
2. Interviewing or hiring individuals for employment by EPA ( )
3. Developing and/or writing Position Descriptions and ( )
Performance Standards
4. Actually determining Agency policy ( )
5. Participating as a voting member of a Performance Evaluation ( )
Board; participating in and/or attending Award Fee meeting
6. Preparing Award Fee letters, even under typing contracts ( )
7. Preparing Award Fee plans ( )
8. Preparing documents on EPA letterhead other than routine ( )
administrative correspondence
9. Reviewing invoices to determine whether costs, hours, and ( )
work performed are reasonable
10. Preparing SOWs, WAs, Technical Directives, Delivery Orders ( )
or any other work issuance documents under a contract the
Contractor is performing or may perform
11. Preparing responses to audit reports from the Inspector General ( )
(IG), GAO or other auditing entities on behalf of EPA
12. Preparing responses to Congressional correspondence, on behalf ( )
of EPA
13. Preparing responses to Freedom of Information Act (FOIA) ( )
requests, other than routine, non-judgmental correspondence
14. Authorizing a Contractor to represent itself as EPA ( )
IS. Conducting administrative hearings ( )
16. Reviewing findings on the eligibility of EPA employees for ( )
security clearances
17. Actually preparing an office's official budget request ( )
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Exhibit 3-2 (continued)
B. Sensitive Services Requiring Justification and Approval
1. Budget preparation support ( )
2. Reorganization and planning support ( )
3. Policy development support ( )
4. Regulation development support ( )
5. Support to EPA for the evaluation of another Contractor's ( )
performance
6. Strategic acquisition planning, e.g.. research planning, ( )
ADP planning
7. Support on improving contract management ( )
8. Providing specialized expertise in the Contractor selection ( )
process
9. Specialized expertise in the development of SOWs, WAs, and ( )
delivery orders
10. Support involving EPA policy or regulatory interpretation, ( )
such as staffing hot lines, attending conferences on behalf
of EPA, conducting EPA training courses, community relations
efforts, etc.
11. Independently providing technical guidance concerning EPA ( )
policies or regulations to outside parties
C. Vulnerable Services Requiring Justification and Approval
1. Contractors share office space with EPA ( )
2. Support in preparing responses to FOIA requests ( )
3. Contractor has access to CBI and/or other sensitive information ( )
4. Situations where it can be assumed that the Contractor is EPA ( )
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E. CONFLICT OF INTEREST
This issue encompasses a broad collection of technical legal provisions that bear on basic
principles of fairness and ethics. This includes both personal and organizational conflict of
interest. According to FAR 9.501, "organizational conflict of interest" means that because of
other activities or relationships with other persons:
An individual is unable or potentially unable to render impartial assistance or advice to the
Government
An individual's objectivity is or might otherwise be impaired
An individual has an unfair competitive advantage.
The actual existence of a personal or organizational conflict of interest may frequently require a
determination by the Office of General Counsel (OGC). However, there are a number of situations
which either may raise questions or give the appearance of a conflict of interest. Such cases
should be avoided or at least examined by the WAM and other Government personnel.
1. Fraternization and Nepotism
There does not exist a hard and fast definition of fraternization. The concern is that
personal relationships between EPA and Contractor personnel could provide (or give the
appearance of providing) the Contractor an unfair competitive advantage and could impact the
objectivity of the EPA person managing the contract or work assignment. A similar concern
applies to nepotism. Issues include:
On and off the job friendships between EPA and Contractor personnel
EPA staff attending Contractor social events, such as holiday parties; Contractor staff
attending EPA social events
EPA staff having relatives working for Contractors
While it is difficult to specify exactly what is or is not acceptable, the following guidance
is offered:
EPA and Contractor staff should not attend the other organization's social events, such
as holiday parties.
WAMs and Project Officers should carefully review and update their financial disclosure
statements to ensure that they are current and reflect instances of employment of
relatives by Contractors. This requirement is described in further detail in Section E
of the instructions for completing SF-4SO, Confidential Financial Disclosure Report.
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If the WAM has particular questions on the issue of fraternization he/she should contact the
Deputy Ethics Official for his/her laboratory, center or office, or the OGC.
2. Contractor Participation in Long-Term Planning
The issue here is that Contractor participation in research or ADP planning could give that
Contractor a competitive advantage when work resulting from the plans is contracted out.
To address this issue, the WAM and other Government personnel should consider the following:
The Contractor's role in research or ADP planning should be limited to providing
technical input and analysis. Final judgments on the content of the plan must be made by
the Government.
Consideration should be given to prohibiting a Contractor from competing for work
resulting from a planning process in which the Contractor participated. This would
typically be an individual Contracting Officer decision and would be implemented
through a Limitation of Future Contracting (LOFC) clause in the contract (EPAAR
1552.209-74).
3. Contractor Participation in the Development of Statements of Work (SOWs)
This issue includes:
Provision of input by Contractor staff to EPA staff on proposed changes to ongoing work
Preparation by Contractors of solicitations or SOWs for competitive cooperative
agreements.
This topic was also addressed under Inherently Governmental Functions. The preparation of
SOWs for work assignments which the Contractor will or may perform is one of the 17 prohibited
activities under EPA Order 1900.2 and Chapter 2 of the CMM. Also, Contractors should not
draft amendments to SOWs. The preparation of SOWs for cooperative agreements is not
explicitly addressed in the EPA Order or the CMM. However, to avoid a conflict of interest
situation, if the contract SOW calls for Contractor assistance in drafting solicitations for
cooperative agreements, the Contractor should be prohibited from competing for future work
under such an agreement.
4. Access to Confidential Business Information
Contractor physical access to EPA premises raises the possibility that Contractor personnel
may see, take or copy confidential business information of competitors. This could therefore
provide a competitive advantage for one Contractor over another.
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This issue was also raised under Inherently Governmental Functions. The WAM and other
Government personnel should review the office's internal control procedures to ensure that
Contractors do not have access to technical or cost proposals, work assignments, work plans,
award fee determinations, personnel descriptions or other CBI of other Contractors. In
addition, Contractors shall not be used to type award fee letters.
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I^Hfeation No.: ISOfl.lA
pprov^D.te: 4/14/94
USE OF CONTRACTOR SERVICES TO
AVQTP IMPROPER CONTRACTING RELATIONSHIPS
1. PURPOSE. This Order is designed to assist Agency employees co
avoid improper contractor relationships in performing contract
management activities.
2. BACKGROUND. Past contract management problems identified by
the Office of the Inspector General and the General Accounting
Office have indicated that Agency contracts were not always
administered in accordance with applicable laws, regulations, and
policies. They also identified cases in which insufficient
controls were established to preclude fraud, waste and abuse, and
conflicts of interest, and to safeguard Agency assets.
The Federal Acquisition Regulation (FAR) prohibits personal
services contracts unless specifically authorized by statute.
Personal services contracts circumvent civil service laws, which
require the government to obtain its employees by direct hire in
accordance with Office of Management and Budget ceilings, and
inappropriately augment Agency staff without proper legislative
review.
3. RESPONSIBILITIES. Contracting Officers (COs) , Project Officers
(POs), Delivery Order Officers (DOOs), Delivery Order Project
Officers (DOPOs), Work Assignment Managers (WAMs), Remedial Project
Managers (RPMs) , On-Scene Coordinators (OSCs) , task Managers (TMs) ,
and all other EPA employees are responsible for ensuring that
personal services relationships between Government employees and
contractor personnel are avoided.
4. DEFINITION. A personal services contract is a contract which,
by its terms or as administered, results in contractor personnel
being subject to relatively continuous supervision and direct
control by a Government official or employee. A personal services
contract is characterized by the employer-employee relationship it
creates between the Government and the contractor's personnel.
These contracts make the contractor personnel appear, in effect, co
be Government employees.
Attached is a list of examples of personal services, which are
provided .to further clarify some of these prohibited activities.
(Appendix A)
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EPA ORDER 1900.1A
4/14/94
5. ASSESSING THE NATURE OF A CONTRACT. FAR Part 37. 104 (d)
provides Che following descriptive elements to be used as a guide
in assessing whether a proposed contract is personal in nature.
These elements can also be used as a guide to determine if the way
in which a contract is administered creates a personal services
contract.
An improper contract relationship may exist if:
a. Contractor performance is done on site.
b. Contractor's principal tools and equipment are furnished
by the Government.
c. Contractor's services are applied directly to the integral
effort of agencies or an organizational subpart in furtherance of
an assigned function or mission.
d. Comparable services, meeting comparable needs, are
performed in the same or similar agencies using civil service
personnel.
e. The need for the type of service provided by the
contractor can reasonably be expected to last beyond one year.
f. The inherent nature of the service or the manner in which
it is provided reasonably requires, directly or indirectly,
Government direction or supervision of contractor employees in
order to-
ll) Adequately protect the Government's interest;
(2) Retain control of the function involved; or
(3) Retain full personal responsibility for the function
in a duly authorized Federal officer or employee.
Note: all of these elements need not be present to have an
improper personal services contract. Additionally, having all of
these elements present does not necessarily mean that an improper
personal services, contract exists. The key element is whether the
Government exercises continuous supervision and control over the
contractor personnel perfprming the contract. Each situation must
be reviewed and a determination made on a case-by-case basis.
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EPA ORDER 1900.1A
4/14/94
As in any contract situation, Agency employees should contact
the CO for advice and guidance whenever they have questions
regarding relationships with contractor personnel. Agency
employees may also contact the Contracts Law Branch, Office of
General Counsel (OGC) for further guidance. Agency employees who
believe that a personal services contract exists should immediately
notify the CO.
6. PRINCIPLE-*? FQP MANAGING A CONTRACT.
a. The CO is responsible for determining, prior to award,
that the contract does not involve the procurement of personal
services. Even though supervision by Government employees is noc
directly required by the terms of the contract, a personal services
contract may evolve through improper contract management. Agency
employees who believe that, through improper contract management,
a contract has evolved into a personal services contract should
immediately notify the CO. The CO will investigate these
situations and take appropriate action to ensure that contracts are
managed to maintain proper contractual relationships.
b. Technical management of a contractor's performance
generally relates to the manner in which authorized EPA employees
provide work direction to the contractor. Exchange of information
of a technical nature is not prohibited. Appropriate technical
direction is the clarification of ambiguous technical requirements
to ensure efficient and effective contractor performance. Proper
technical direction is not supervision or assignment of tasks to
contractor personnel. In managing the contract, the following
principles should be observed:
(1) Interaction with Contractor Personnel
(a) All contractors:
(i) The contract shall govern contract
performance. This can best be accomplished with a well-defined
statement of work (SOW), including SOWs in work assignments (WAs),
technical direction documents (TDDs) , or delivery orders (DOs),
which reference the authority of the contract.
(ii) The PO shall notify the CO immediately
if there is a need to change the contract so that the CO can issue
a contract modification.
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EPA ORDER 1900.1A
4/14/94
(ill) unless otherwise provided in the
contract, all work will be initiated by the issuance of WAs or DCs
signed by the CO or if provided, by TDDs signed by the PO. These
will be issued to the contractor's official point (s) of contact as
shown in the contract, e.g., Project or Program Manager (PM) or
Site Manager (SM) . Any communication to the contractor's point of
contact shall come from the EPA CO, PO, or his/her authorized
designees, e.g., WAMs, DOOs, OOPOs, RPMs, OSCs, or TMs. Other EPA
employees may not assign tasks unless they have specific authority
to do so. Note: TDDs may only be used to initiate work in
contracts requiring a fully-dedicated contractor team and as
limited by the contract.
(iv) Technical direction shall be issued in
writing from the PO or authorized designee (with a copy to the CO)
to the contractor's point(s) of contact. If provided orally, the
technical direction must be confirmed in writing within five <5)
calendar days. Technical direction shall not be used to initiate
work or to change WAs or TDDs or the contract. Agency employees
shall not give instructions separately to individual contractor
personnel.
(v) The PO or designee may authorize
meetings with the contractor's point(s) of contact for the purposes
of exchanging technical information among contractor personnel and
EPA employees or assisting in contract performance, e.g., to
discuss the status or progress of effort under a WA or DO.
Exceptions to the prohibition against direct interaction between an
Agency employee and contractor personnel include: 1) a Government
employee's contacts to the various Agency hotlines and helplines to
request and receive information and literature regarding the
Agency's media programs, 2) requests by Government employees for
technical assistance and ADP user support services where the
technical assistance is mandated and monitored under an existing
contract, and 3) participation in discussions at professional
meetings attended by both Government employees and contractor
personnel, which are not in connection with the performance of a
contract.
Examples of ADP user support services are Personal Computer/Local
Area Network (PC/LAN) troubleshooting support, software support, PC
training, data recovery assistance, and disk archiving and other
similar automated data processing (ADP) support as defined in a
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EPA ORDER 1900.1A
4/14/94
specific contract. These technical services are rendered and the
contract administered through established ADP support offices such
as the Washington Information Center (WIC) .
(vi) Agency employees must not intervene
in a contractor's hiring, firing, or promoting of contractor
personnel; assigning particular employees to specific tasks; or
rewarding individual contractor personnel. Evaluation of
contractor performance, whether positive or negative, shall be
provided through the award fee process, if applicable, or through
the EPA PO to the contractor point(s) of contact. Evaluation shall
relate to the timeliness or quality of deliverables or services
provided, and shall not be directed at the performance of
individual contractor personnel.
(vii) Agency employees shall not ask
contractors to hire in a "holding pattern," individuals who may be
candidates for Agency positions, pending completion of competitive
civil service procedures.
(viii) Agency contracts shall not require or
permit contractors to purchase supplies or services for use by EPA
employees unless specifically required by a contract for its
performance.
(ix) All requests for corrective or
follow-up actions by contractors shall be directed from the EPA PO
or authorized designee to the contractor point(s) of contact.
Similarly, contractor personnel must operate through the
contractor's point of contact to obtain any information needed to
complete the work.
(x) Agency employees shall prepare
appropriate documentation for the record of meetings, trips, and
telephone conversations relating to the contract.
(b) Contractors working in EPA facilities only:'
(i) Agency employees must avoid situa-
tions in which one EPA on-site contractor provides support to
another EPA on-site contractor, except when the contract requires
such support to be furnished (e.g., janitorial services or security
services). Similarly, Agency employees shall avoid situations in
which one EPA on-site contractor provides oversight for another EPA
on-site contractor.
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SPA ORDER 1900.1A
4/14/94
(ii) Agency employees shall not routinely
provide contractor personnel with copies of EPA internal admini-
strative or other correspondence, except when it affects the
conditions of the facility in which the contractor's personnel are
worJcing (e.g., scheduled repair work to be performed or building
closings).
(iii) Agency employees shall not provide
contractor personnel with access to facsimile machines, photo-
copiers, computers, or file rooms where the Agency receives,
copies, or stores sensitive or confidential information unless
appropriate safeguards are in place to ensure adequate protection
of this information. These safeguards include security clearances,
signed confidentiality statements, and others. Sensitive or
confidential information includes information protected under the
Trade Secrets Act or Privacy Act, confidential business
information, management sensitive information, and enforcement
sensitive information. An example of acceptable access after the
appropriate safeguards are in place is the EPA Secure
Telecommunications Center, which processes cables to the EPA from
the State Department secure network, for which contractor personnel
have security clearances. CBI may not' be given to contractor
personnel under any circumstances unless there is authority for
such disclosure and the procedures under 40 C.F.R. Part 2, Subpart
B have been followed.
(2) Identification of Contractor Personnel
(a) All contractors:
(i) At all times, it shall be readily
apparent which organization employs an individual. Agency security
offices must require contractor personnel to display appropriate
badges that identify them as contractor personnel. The employing
organization should also be identified. These requirements shall
be included in all contracts that may create situations in which
contractor personnel could be mistaken for EPA employees, e.g.,
advisory and assistance services contracts, hotline/helpline
contracts, community meeting tasks, or field work tasks under
Superfund contracts.
(ii) In all points of contact, e.g., during
meetings, on Agency systems such as voicemail or electronic mail
(d-mail or e-mail), Agency officials must require contractor
personnel to identify themselves as such and their employing
organization.
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EPA ORDER 19Q0.1A
4/14/94
(iii) Agency security offices shall ensure
chat contractor personnel do not have unlimited access to EPA
office areas.
(b) Contractors working in BPA facilities only:
(i) In official telephone directories and
listings, contractor listings shall be shown in a type-face
different from that used for Agency employees, in separate
listings, with special codes, designated by use of asterisks or
parentheses, or in some other manner that distinguishes contractor
personnel from EPA employees.
(ii) Contractor personnel subject to the
Service Contract Act shall wear company-issued uniforms, in
accordance with their company policies, e.g., moving contractors,
security guards, janitorial workers, etc.
(3) Attendance at EPA Functions and Meetings
All contractors:
(a) Agency employees shall not allow con-
tractor personnel to attend EPA functions, staff meetings,
committees, or activities, including holiday parties, except as
described in (b) below.
(b) Agency employees shall not allow contractor
personnel to attend EPA meetings or conferences (including
conference calls) unless required for 'contract performance, as
documented in the contract's statement of work or in a specific WA,
TDD, or DO.
(c) The CO, PO, or authorized designee shall
notify the contractor point(s) of contact through authorized
technical direction of the need for attendance by contractor
personnel. Attendance must be restricted to specific tasks as
defined in the SOW and limited to the portion of the session in
which the contractor's performance is directly required.
Contractor personnel shall never attend meetings as the official
representative of an EPA organization. Contractor participation is
generally appropriate when the contractor is serving in an advisory
or resource capacity, such as performing research or data
gathering. Contractors may also act as facilitators for EPA
Quality Action Team sessions under contracts for Total Quality
Management implementation.
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EPA ORDER 1900.1A
4/14/94
(4) Contractor Employee Conduct
All contractor*:
(a) Agency employees shall not be responsible for
resolving contractor personnel's business or personnel matters.
Contractor personnel must be directed to their point (s) of contact
for resolution of these issues in accordance with the contractor's
policies.
(b) Agency employees shall not provide contractor
personnel with direction for performance of work products or
assignments. Contractor personnel must operate through their
point (s) of contact to obtain any direction needed to complete work
products or assignments.
(5) Space
Contractors working in BPA facilities only:
(a) To the extent possible, EPA employees shall be
physically located in separate areas from contractor personnel; the
contractor's areas shall be identified as such.
(b) In cases in which both EPA employees and
contractor personnel must occupy or use a general area, there must
be physical separation and identification of space.
(c) EPA shall arrange schedules and set priorities
for the use of any common equipment by both contractor personnel
and Agency employees.
(d) EPA may provide furniture, PCs, software,
documentation, telephones, voicemail and other equipment to
contractor personnel working in EPA facilities when specified in
the contract.
7. ADDITIONAL GUIDANCE.
a. As in any contract situation, Agency employees should
contact the CO and Contracts Law Branch, OGC for advice and
guidance as required on a case-by-case basis.
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EPA ORDER
1900.1A
4/14/94
b. For further information on this subject, Agency employees
should contact the Procurement Policy Branch, Office of Acquisition
Management.
1
Jonathan
Assistant
Z. Cannon
Administrator
for Administration and
Resources Management
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SPA OREER 1900.1A
4/14/94
APPENDIX A
Examples of Prohibited Personal Services
1. An EPA employee routinely gives instructions and directions
directly to contractor personnel.
2. An EPA employee recommends/requests/refuses to have specific
contractor personnel assigned to worlc on a delivery order or work
assignment.
3. There is a change in the fields of a database to be main-
tained by the contractor. An EPA employee instructs a contractor
employee on how to perform the changes, rather than having a
contract-authorized official issue a written technical direction
and/or contract modification for the changes. This would be sent
to the contractor point (s) of contact for subsequent instruction to
the contractor personnel.
4. An EPA employee suggests promotion, a bonus or other
performance award for certain contractor personnel.
5. An EPA employee sits in on an interview for potential
contractor employees and offers suggestions on whom to hire.
6. An EPA employee invites contractor personnel to attend an EPA
staff meeting or other EPA session not related to contract work
performance.
7. An EPA employee enters a contractor's work area when no
contractor supervisor is present. The EPA employee has specific
requirements he/she wants accomplished and directs contractor
personnel to redirect efforts to the new assignment.
8. An EPA employee directly requests contractor personnel 'to
prepare a special report (not otherwise required by the contract)
from a database that the contractor employee maintains.
9. A contractor employee participates as a member of the EPA
committee planning an EPA award ceremony.
10. An EPA employee is an EEO counsellor. A contractor employee
complains of mistreatment from contractor management. The EEO
counsellor pursues the complaint.
«
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MODULE 4: PREPARING THE WORK ASSIGNMENT PACKAGE
A. INTRODUCTION
This module describes procedures for preparing the Work Assignment Package. It outlines
the steps required in planning the work assignment, writing the statement of work (SOW),
estimating the cost to the Government, and preparing and assembling other parts of the work
assignment package. Quality assurance considerations in developing the work assignment
package are described. Potential contracting improprieties and vulnerabilities associated
with work assignment preparation are discussed.
Some offices use Technical Directives (TDs) in lieu of work assignments on certain
contracts. The guidance presented in this module for planning and preparing work
assignments also applies to Technical Directives when used in this way.
B. OBJECTIVES
At the completion of this Module, you will be able to:
Describe the major steps in planning a work assignment.
List and describe required elements in preparing a completion-oriented statement of
work.
Identify considerations in determining and documenting quality assurance requirements.
Evaluate the adequacy of a statement of work and identify needed changes.
Describe considerations and procedures for developing an independent Government
cost estimate.
Identify and describe the contents of other elements of the work assignment package.
Identify potential contracting improprieties and vulnerabilities related to work
assignment preparation.
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C. FLOW OF THE WORK ASSIGNMENT PREPARATION PROCESS
The major steps in preparing the work assignment package are shown below. The final
output of the process is the work assignment package which is submitted to the Contracting
Office. A description of these steps and related key issues is presented in the sections which
follow.
While the above steps are largely sequential, there is some overlap. For example, the WAM
would typically develop the Government cost estimate after the statement of work is written.
However, one element of the SOW is the estimate of labor hours, which is an important
factor in developing the cost estimate. Also, determining quality assurance requirements is
listed separately because of the extensive attention being given in the Agency to QA. In
practice, QA requirements would be developed as the statement of work is being written and
incorporated in the SOW.
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D. PLANNING THE WORK ASSIGNMENT
Before starting to write the statement of work, the Work Assignment Manager needs to
define the objectives and Contractor requirements for the project. While some experienced
WAMs may be able to do this as they are preparing the SOW, it is generally advantageous to
sketch out the work requirements in advance. The planning stage is also the time for the
WAM to determine whether the proposed work falls within the scope of existing
laboratory/office contracts, and whether the work duplicates previous or current efforts.
The major planning steps performed by the Work Assignment Manager are described below.
1. Defining the Project Objectives
The project objectives describe the principal goal or result to be achieved by the project
For research support type work assignments, the objectives should normally relate to a
laboratory's research program or project plan.
The following are examples of work assignment objectives for three different types of
projects:
Example 1: Provide laboratory support to analyze sediment samples in order to
characterize the sediments in terms of grain-size, silt-clay content and carbon
concentration and characterize bottom dwelling (benthic) animal communities in terms
of their abundance, biomass, and taxonomic diversity.
Example 2: Improve the area source solvent emission estimation method for the
source categories of surface coating, dry cleaning, and pesticide application.
Exampje 3: Develop and revise documents describing EMAP organizational
responsibilities, communications guidelines, and administrative procedures.
Project objectives should always define a specific end product or service. In the first
example, the service is laboratory support to analyze sediment samples. In the second,
the product is an improved area source emission estimation method. In the third, the
product is documents which describe responsibilities, guidelines and procedures for
organization and operation of the Environmental Monitoring and Assessment Program
(EMAP).
2. Analyzing Contractor Requirements
Once the objectives have been defined, the next step is to analyze the project
requirements in terms of
Tasks or actions required to achieve the objectives
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Deliverables
Schedules
Contractor qualifications
(1) Project Tasks
The WAM should divide the project into the major tasks that will be needed to
accomplish the project objective. This is often called a "work breakdown
structure." The tasks can be expressed either as major areas of work or
sequential steps to achieve the objective.
For example, the sediment analysis work assignment could be divided into five
major tasks:
Task 1 ~ Prepare project work plan.
Task 2 Identify and enumerate the benthic organisms.
Task 3 Measure the biomass of macrofaunal samples collected from all
salinity zones.
Task 4 Measure the silt/clay content from core sediment samples.
Task 5 - Prepare a database containing all data produced during the
completion of the other tasks.
As another example, tasks under the EMAP management support work assignment
could be the following:
Task 1 Prepare project work plan.
Task 2 ~ Revise description of EMAP organizational responsibilities.
Task 3 ~ Revise description of EMAP communications guidelines.
Task 4 Prepare draft and final documents describing EMAP administrative
procedures.
Task 5 ~ Prepare draft and final documents describing EMAP planning and
budgeting procedures.
Note that both examples include a task to prepare a project work plan. While this
is a normal requirement of every ORD contract, it is useful to list it as a separate
task and deliverable in the work assignment to ensure that it is not overlooked.
(2) Project Deliverables and Schedule
The WAM should define the specific deliverables and associated schedules to meet
the project objectives. Many work assignments, especially those
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performed on-site are for one year; however, the Government will normally have
certain important requirements which need to be met over the period of the work
assignment. Key factors the WAM needs to consider are the following:
What internal EPA products and milestones exist which are supported by
deliverables of the work assignment, e.g.. a budget submission, a peer review
of a research project, an international conference.
What specific contractor deliverables are required?
Who will review the deliverables?
What are the criteria by which the acceptability of the deliverables will be
judged?
How much time will be needed for review?
When does the overall project need to be completed?
When does each deliverable need to be submitted in order to complete the
overall project on time?
In developing schedules for each deliverable, the WAM must take into account the
following:
The need for both draft and final submissions.
The possible multiple levels of review. In addition to the WAM, deliverables
may be reviewed by the WAM"s supervisor; technical specialists within the
laboratory, center or office; members of a quality action team; or scientists
outside the Agency as part of a peer review process. Certain products may
even require program office-wide review by management, scientific, or
administrative personnel These multiple reviews may add substantial time to
the schedule.
Holiday periods and end of fiscal year activities, which may necessitate
extending turnaround times.
As an example, deliverables under the sediment analysis project could include:
Project work plan, due two weeks from the start of the work assignment
Weekly records of the status of all samples
Monthly progress reports summarizing sample analyses and identifying
potential problems
Periodic delivery of electronically (SAS) formatted data sets through WAM to
the Near Coastal Information Center
Final report, including a summary of quality control data from independent
audits, due February IS, 1994
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Deliverables under the EMAP management support work assignment could
include:
Project work plan, due two weeks from the start of the work assignment
Revised chart and narrative description of organizational responsibilities, due
two months from start
Revised description of communications guidelines, due two months from start
Review Draft EMAP Administrative Manual, due three months from start
Final Draft EMAP Administrative Manual, due four months from start
Review Draft Resource Allocation Flowchart, due five months from start
Final Draft Resource Allocation Flowchart for Steering Committee, due six
months from start
Acceptance criteria should be specified for each deliverable or category of
deliverable. The particular criteria will depend on the type of deliverable, e.g.. a
report, a journal article, a data analysis, etc. The following are examples of
acceptance criteria:
The journal article is of publishable quality, i.e.. can pass the peer review
process in scientific journals.
The report contains, at a minimum, the following items:
The data collected are adequately documented and characterized to ensure that
a knowledgeable user can interpret and, if necessary, reconstruct and
reinterpret the data set at a later time. The metadata describing the data set
conform to the guidance outlined in the laboratory QA/QC manual.
The draft briefing is well organized, contains the appropriate content (as
specified in the SOW), and is clear and easily readable in its presentation.
Laboratory tasks are performed in accordance with standard operating
procedures as described in the attached EMAP Surface Water Operations
Manual.
For example; under the EMAP management support work assignment, acceptance
criteria might be: The draft report on EMAP communications guidelines includes
the following topics:
Methods (meetings, reports, electronic mail, etc ) for communicating between
key EMAP organizational units.
Detailed outline of monthly status reports on EMAP activities.
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(3) Contractor Personnel Qualifications
Once the tasks and deliverables are defined, the WAM should consider the
qualifications of Contractor personnel to perform the work. Addressing this issue
in the planning stage serves two purposes:
It provides the basis for the specification of particular skill requirements in the
work assignment. While the WAM cannot direct a Contractor to use a
particular staff member, he/she can indicate personnel qualifications and
evaluate resumes against these.
Along with the description of tasks, it assists in determining whether a
particular contract is an appropriate fit for the work assignment.
As an example, under the EMAP management support work assignment, the
WAM may determine that a particular skill requirement is that the Contractor
provide a "level IV resource who has considerable familiarity with EMAP goals,
organization, and planning and administrative procedures."
(4) Selecting References and Background Information
The WAM should identify reference materials for use by the Contractor in
responding to the work assignment. This could include the section of the Research
Program or Project Plan that the work assignment is supporting. It could also
include technical manuals, deliverables of prior work assignments, or relevant
Agency, program or other Government reports, regulations, directives or
guidelines.
3. Ensuring That a Contract is the Appropriate Extramural Vehicle
For many projects the choice of the appropriate extramural vehicle to use will have
already been made by laboratory management. However, other vehicles, (e.g..
cooperative agreements, interagency agreements) may be appropriate to accomplish
certain types of projects. Each of these has very specific intended uses. In particular,
the WAM should be aware of the differences between contracts and cooperative
agreements as he/she plans the project.
Guidance on the proper use of contracts and cooperative agreements is given in: (1)
EPA Order 5700.1, "Policy for Distinguishing Between Acquisition and Assistance",
dated March 22, 1994.
Under Section 4 of the Federal Grant and Cooperative Agreement Act (FGCA), 31
U.S.C. 6303, a contract must be used if the principal purpose is to acquire property
or services for the direct benefit or use of the Federal Government.
Conversely, under Sections 5 and 6 of the FGCA, 31 U.S.C. 6304 and 6305, an Agency
may use an assistance agreement (cooperative agreement or grant), only if the
principal purpose is to transfer a thing of value to an eligible recipient to carry out a
public purpose of support or stimulation authorized by law. Among
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grants and cooperative agreements, if substantial involvement by the executive agency
with the recipient is expected, a cooperative agreement must be used.
The primary criterion in choosing a contract versus a cooperative agreement is thus
what the principal purpose is. If the principal purpose is to obtain a product or service
to support a Federal agency, a contract must be used, even if the project also benefits
the recipient, other non-Federal organizations or the public.
More detail on the various types and uses of cooperative agreements is provided in the
above referenced guidance. If WAMs have any questions on the type of extramural
vehicle to use, they should review this guidance and discuss the issue with laboratory,
center or office management.
4. Selecting the Appropriate Contract to Use
In most cases the contract to use for the work assignment will already have been
selected, or the choice will be readily apparent to the WAM. However, in some
instances, especially for new research or management initiatives, the choice may not be
obvious. In such cases the WAM should consult with the Project Officer(s) for the
candidate contracts to determine if the work assignment falls within the scope of work.
The WAM can also ask to review the scopes of work. The decision to use a particular
contract is often made by the WAM's supervisor or other management personnel, but
the WAM does have input into this decision.
Note that if one Agency organization desires to use a Level-of-Effort (LOE) contract of
another organization, the WAM or Project Officer should check with the Project
Officer for that contract as to whether there is available capacity in hours and dollars.
The term "capacity" refers to the annual ceiling in hours or dollars in an LOE contract.
If there is insufficient capacity (i.e.. if hours and funds are already committed for other
projects), the WAM or PO will need to identify another vehicle. Also, the proposed
project must fit within the scope of work of the other organization's contract.
5. Ensuring that the Project Does Not Duplicate Other Work
The WAM should discuss the work assignment with his/her supervisor and other
personnel in the laboratory/center/office to insure that the project does not duplicate
other prior or current work.
6. Planning Worksheet
Exhibit 4-1 presents a worksheet which the WAM can use to outline the major features
of the work assignment. The completed worksheet can be used as a reference in writing
the statement of work.
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Exhibit 4-1
PLANNING WORKSHEET: DEFINING THE WORK
1. What are the objectives of the project?
Does the project duplicate previous or current work?
How do these objectives relate to the Issue and Research Program or Project Plan?
2. What tasks must be accomplished to achieve these objectives?
Task Number Description
3. What deliverables are required? (Reports, articles, briefings, databases, measurements,
meeting agendas, etc.) How will you evaluate the acceptability of deliverables?
Deliverable Acceptance Criteria
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Exhibit 4-1 (continued)
Who will review the deliverables?
How much time should the review require?
4. When does the overall project need to be completed?
5. When does each deliverable need to be submitted in order to meet the final completion date?
(Allow sufficient time for Government review and Contractor response to review
comments.)
Deliverable Date Required
6. What skills, experience and levels of personnel are needed to perform the work?
7 What references and background information will the contractor need to understand the
requirement and perform the work? (Research Program Plan, Technical Manuals,
Agency/ORD reports, regulations, directives, guidelines, etc.)
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E. WRITING THE STATEMENT OF WORK
1. Introduction - Purpose of Statement of Work
Once the Work Assignment Manager has planned the project, he/she can then prepare
the statement of work (SOW). The statement of work is the most important element of
the Work Assignment Package. A well-written statement of work serves several
important purposes:
It facilitates the development of a sound cost estimate.
It helps ensure a common understanding of project requirements by the Contractor
and the Government.
It assists the WAM in monitoring the project and evaluating deliverables.
In contrast, a poorly-written statement of work can contribute to contracting
improprieties and vulnerabilities such as personal services. It can also contribute to
misunderstanding of project requirements and inadequate Contractor performance.
2. Contents of Statement of Work
(1) Required Elements
The statement of work must contain the following elements:
Title
Background for the work assignment
Purpose (objectives)
List and description of tasks
Deliverables, including acceptance criteria
Schedule for overall project and for each deliverable
Total estimated professional/technical labor hours1
Name of Work Assignment Manager1
Management controls
The background and objectives are frequently combined, as are the deliverables
and the schedule. Also, quality assurance requirements should be included in the
tasks and deliverables (or in a separate section) for projects involving
environmental data collection.
1 These items are listed on the work assignment cover sheet, but may be included in the SOW for
completeness.
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(2) Additional Elements
Depending on the needs of a particular work assignment, the statement of work
may contain the following additional elements:
Required personnel qualifications
Required additional reports, e.g.. special financial progress reports
Suggested skill mix, e.g.. estimated hours by professional level (P level)
Required format for deliverables, e.g.. format for word processing software
List of Government-furnished data or property
Special requirements or restrictions, e.g.. prior approval by Government on use
of data analysis software
Evaluation criteria (for award fee contracts)
The following section discusses these required and optional elements in further
detail.
3. Description of Elements of Statement of Work
Required Elements
(1) Title
The Work Assignment Manager should select an appropriate title for the work
assignment.
(2) Background/Objectives
The background statement should describe the factors that have led to the
project. This may include:
Current ORD or laboratory/center/office research or management initiatives.
Relationship of this project to previous or other current efforts.
Reference to laboratory/center research program or project plan that identifies
the requirement. This should include the relevant project description or task
description title and number. If appropriate, the relevant sections of the actual
project description or task description can be included as an attachment to the
statement of work.
The objectives should indicate the nature of the Contractor services desired. The
specifics of these services are then described in the succeeding task and
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deliverable statements. Exhibit 4-2 presents two examples of
background/objective descriptions.
(3) Task Descriptions
This section lists and describes the specific tasks to be performed by the
Contractor. These may either be sequential steps in completion of an overall
project or major areas of work. It is essential that the project be divided into
tasks; the absence of this is a frequent cause of rejection of the work
assignment by the Contracting Office. The tasks should be presented in
sufficient detail such that: (1) the scope of the Contractor's requirements is clear;
(2) the Contractor can proceed without substantial direction from the Government;
and (3) both the Government and the Contractor can develop a sound cost
estimate. Thus, for example, reports or other information to be made available to
the Contractor for use in conducting the project should be clearly indicated.
As an example, task descriptions for the sediment analysis work assignment are
presented below.
Task 1: Identify and enumerate all benthic organisms from samples collected at
stations located in oligohaline and tidal fresh salinity zones (0-5%). The
salinity classification for each station was determined from data collected
during field implementation of the demonstration project.
Approximately 60 samples fall into this category. The Contractor shall
follow all laboratory and QA/QC procedures outlined in the EMAP-NC
Laboratory Methods Manual, October, 1992.
Task 2: Measure the biomass of macrofaunal samples collected from all salinity
zones (approximately 660 samples). This will require the Contractor to
coordinate with other contractors processing benthic samples from
mesohaline, polyhaline, and marine salinity zones to insure that all
benthic samples are consistently prepared for biomass determinations
and that all abundance and species identification data are in a form
consistent with data entry needs. The Contractor shall follow all
laboratory and QA/QC procedures outlined in the EMAP-NC
Laboratory Methods Manual, October, 1992.
Task 3: Measure the silt/clay content from core sediment samples collected at
approximately 660 stations. The Contractor shall follow all laboratory
and QA/QC procedures outlined in the EMAP-NC Laboratory Methods
Manual, October, 1992.
Task 4: Prepare a database containing all data produced during the completion of
the tasks above. The database design shall be determined based upon
information provided by the Work Assignment Manager, e.g.. the overall
EMAP information Management System design. Samples should be
processed according to a priority ranking reflecting which samples will
be needed first for the assessment of the Demonstration Project. The
priority ranking will be established by the Work Assignment Manager.
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Exhibit 4-2
SAMPLE BACKGROUND/OBJECTIVE STATEMENTS
Laboratory Research Support Project
During the summer of 1993, the Environmental Monitoring and Assessment Program
(EMAP) conducted a Demonstration Project to determine the effectiveness of selected
physical, chemical, and biological parameters in describing the health of estuarine
ecosystems extending from the mouth of Chesapeake Bay to Cape Henry.
Approximately 225 sampling sites were visited over a 100-day period during the
Demonstration Project.
Many of the biological, chemical, and sediment samples collected have yet to be
analyzed. Analysis of these samples is important to adequately assess the design of the
estuarine component of EMAP and to properly describe the status of estuarine
resources within the Virginia Province. Of particular importance is the analysis of
sediment samples.
The objective of this work assignment is to obtain Contractor laboratory support to
process sediment samples taken at each test station. This support involves taking
measurements and analyzing sediment samples to characterize bottom dwelling
(benthic) animal communities in terms of their abundance, biomass, and taxonomic
diversity. This also requires measurements to characterize the sediments themselves in
terms of grain size, silt-clay content, and carbon concentration.
Management Support Work Assignment
Within the ORD, the National Health and Environmental Effects Research Laboratory
(NHEERL) has been assigned primary responsibility for the Environmental Monitoring
and Assessment Program (EMAP). EMAP is a complex and ambitious program to
document and establish a long-term monitoring regime for the nation's ecological
resources EMAP is intended to serve the needs of decision makers at EPA and other
Federal agencies, scientists and researchers, and a variety of other user communities.
Management systems for EMAP are extraordinarily complex because the program is a
new, technologically challenging monitoring activity, with a nation-wide sphere of
operations. Also, EMAP has been established as a matrix-managed program, which
places it somewhat outside the direct control of the traditional lines of authority in the
ORD laboratory structure. As an EPA research program EMAP must function within
ORD. Therefore, EMAP must develop innovative management systems that allow it to
function as a matrix-managed program and are consistent with the line management
structure of ORD. These management challenges require special attention, analysis, and
support.
The objective of this work assignment is to obtain Contractor assistance to develop and
revise documents describing EMAP organizational responsibilities, communications
guidelines and administrative procedures, based on information provided by an EMAP
Management Task Group.
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ORD's "business" is research and development. With research and development, it
is not always possible to specify in advance what the outcome of a project will be.
This element of uncertainty adds difficulty to the WAMs task of writing a clear,
completion oriented statement of work.
How can a WAM deal with a requirement in which the outcome will only become
apparent as the work proceeds? One effective approach is to organize the work
incrementally, issuing technical direction to definitive the work as the requirements
become clearer. Each technical directive would build on the results of the previous
one. Alternatively, the WAM could issue successive work assignments, but the
technical direction approach is preferable, especially on research type projects,
since it requires less administrative processing effort. Module 7 describes the
issuance of technical direction in more detail.
(4) Deliverables and Project Schedule
All deliverables should be listed along with their schedule. Due dates should
normally be listed in terms of elapsed months, weeks or days from the issuance of
the work assignment. If there are critical deadlines, actual dates may be specified,
recognizing that a delay in issuing the work assignment may require that these be
changed. Both draft and final deliverables should be identified, where
appropriate. While this is often implied in the work statement, it is better to make
this explicit, as it will have time and cost implications.
Although it is listed on the work assignment cover sheet, the end date of the
overall project may be specified for completeness.
As indicated earlier, the project work plan should be listed as a separate
deliverable. The due date is specified in the contract under the standard work
assignment clause, and is generally two or three weeks from the receipt of the
work assignment.
Deliverable acceptance criteria should be specified for each deliverable or
category of deliverable. Examples of acceptance criteria were given earlier in
Section D, Planning the Work Assignment.
(Note: For work assignments involving ADP services, the WAM should include in
the acceptance criteria requirements for conformance to design and
documentation standards established by the Office of Information Resources
Management (OIRM)).
(5) Management Controls (as required)
If sufficient management controls are not provided in the contract or in the
Justification for Sensitive and/or Vulnerable Services, such controls should be
included in the WA SOW. Such controls may be specified to ensure that (1) the
Contractor's products are appropriately reviewed before use by EPA, (2) the
Contractor's analyses are based upon information and guidance supplied by the
WAM and other EPA staff, and (3) the Contractor's data sources and assumptions
in performing analyses are documented. This is particularly important in work
assignments requiring products which are to be used by the Agency in decision
making or which involve sensitive services. Note that even if such controls are
already included elsewhere (e.g.. in the contract), the WAM may elect to include
these in the WA SOW for reinforcement.
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An example of a statement on management controls is: The Contractor's analyses
shall be based on information provided to the Contractor through the WAM by
various EPA organizations. The Contractor shall document specifically all data
sources and assumptions in performing analyses and preparing reports. The work
products are for use by EPA/ORMA staff in selecting operational improvements.
The WAM will coordinate review of all products by ORMA and other designated
EPA organizations; ORMA management will approve all products before use.
ORMA reviews will be at several levels besides the WAM. Final decisions on
report content will be made by ORMA and communicated to the Contractor by the
WAM.
(6) Estimated LOE Hours; Name of Work Assignment Manager
These items are listed on the work assignment cover sheet. However, the
estimated professional/technical hours (often expressed as a not-to-exceed
number), and the name, address and telephone number of the WAM may be
included in the SOW for completeness. The estimated LOE hours do not include
clerical hours.
(7) Quality Assurance Requirements
For projects involving environmental data collection, quality assurance
requirements should be specified. These can be provided in a separate section or
as part of the tasks and deliverables.
The contract under which the work assignment is issued should already have a
Quality Assurance Program Plan in place. That plan describes the structure and
functional responsibilities for quality assurance within the Contractor's
organization. The WAM needs to be familiar with the QA requirements of the
contract in order to plan for QA at the work assignment level.
QA planning at the work assignment level is a joint effort between the WAM and
the organization's QA Manager. The QA Manager is responsible for adapting
guidance issued by EPA's Quality Assurance Division and assisting the ORD
organization in: (1) developing the organization's internal Quality Management
Plan; (2) developing and monitoring QA requirements for Contractors and other
extramural entities. The WAM should contact his/her Quality Assurance Manager
or the Quality Assurance Division to discuss any questions or issues pertaining to
QA.
The primary tool used by the WAM and the Q A Manager to guide and document
the planning is the Quality Assurance Review (QAR) form. The QAR form will
eventually be included in the Work Assignment Package. An example of a QAR
form used by one laboratory is shown in Exhibit 4-3. The form assists the WAM
and QA Manager in determining:
Whether the work assignment will require quality assurance activities
The nature of the Q A/QC activities.
Other laboratories and centers have developed their own QAR forms, which
contain similar information.
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Exhibit 4-3
QAR FORM FOR WORK ASSIGNMENT
QUALITY ASSURANCE REVIEW FORM
Task/Subtask *
SUBTASK7TILE (Complete-No abbreviations) m Nw>,
Near Coastal Sediment and Macrobenthic CD Continuation
Community Assessment
SuttaskType: CD Contract CZ3 IAG CH3 CA C3 TO CZ3 WA LTD In-Hotae
^ . . - , .. Instnjetiens- V yes. eomplete A-O. If No.
Is data collection required? CZJ Yes « - > No skip to D. Sion form and submit with
__ Procurement Bequest.
Subtask Quality Assurance (OA) requirements
Tec NO
A. Select appropriate requirement (s) (include same In SOW):
1. Submission of a written QA Program Plan k to be included
In the proposal.
2. Submission of e written QA Project Plan is required:
a. as pan of the offerer's proposal
b. as pan of the award agreement (delivery date negotiable)
c as pan of the work assignment or technical direetrve. rr~i t I
IT this is a continuation and QA Project Plan
prepafed^ewjus^yye the following: 94.3 _
Contract No. Task No.
3. Submission of a written QA Narrative Statement k required:
a. as pan of the offerer's proposal > - ' I S-1
b. as pan of the award agreement (delivery date negotiable) CD QD
4. Conduct of a pilot study including assessment of data quality
Is required: _ _
a. as pan of the offerer's proposal I > 1 X I
b as pan of the award agreement (completion date negotiable] CUD
B. Select the appropriate audit requirements and attach your audit schedule (include same In SOW)
1. Management Review (site visit) CD No CZ3 Pre-Award CH3 Post-Award
2. Systems Audit F~~l No » I Pre-Award r^n Post-Award
3. Performance Audit C3 No rj^^ Pre-Award OD Post-Award
4. Audit of Data Quality I I No I X l yea
C. Select the appropriate OA/QC report/output requirements (Include same In SOW)
Interim Quality Control Evaluation Report (frequency monthly .1
OC Outputs (lists included in SOW)
Audit Reports (schedule Included In SOW)
Final Quality Control Evaluation Report (required as part of EPA Report)
mn SOP
i i User's Manual
D. Select appropriate QA Code for this task (see reverse side for definitions):
01 Significant Data Collection I J 03 Modeling Research & Software Development
02 Applications Testing & R&D CD 04 Nonmeasurament & Administrative Activities
The signatures below verify that the QA Requirements forths Subtask have been established as indicated above.
Subtask Project Officer QA Manager
__ 11/6/93 11/7/93
Signature Date Signature Date
Acopyofthlitomi(alBnedbytrMSubtaBkPro)eaOrfloar)iTtt«balr«cluOe(] with »» EPA Forni 190O-8
Procurement RequMt/ReguUMon. submitted to the AREAL Operrioru Sufi tor new contract procurvntentB and work aulgnrnentt or technical
directvas baited on current commas Upon obtaining the rignmmi of the AREAL QA Manager, copta will be dlntoune to me appropnate
procuring office (CMP of PAD) ind the StitKa«k Project Officer, incremental funding aeflone do not require the Kjamimtlon of this lorm
AREAL (QAR)
(Revised January 1990)
Pane 1 o! 2
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The QAR form indicates whether the Contractor is required to submit a Quality
Assurance Project Plan (QAPP). If the work assignment is part of a larger
project, such as EMAP, individual work assignments may not have the requirement
for a QA Project Plan. The Contractor would be required to comply with the Plan
for the overall project. In contrast to the Quality Assurance Program Plan which
describes the QA organization and staff responsibilities, the QA Project Plan
describes the specific technical activities to ensure that the environmental data used
or produced in the work assignment meet the appropriate standards. Examples of
such technical activities include sampling procedures; analytical procedures, data
reduction, validation and reporting; and calculation of data quality indicators.
Different levels of detail are required in QA Project Plans, depending on the
category of project, eg., enforcement support, technology development. The
QAR form indicates the project category.
It is the responsibility of the WAM to specify the standards for the data in the
SOW for the work assignment. The standards, involving data quality objectives
(DQOs) and data quality indicators, provide the basis for evaluating Contractor
QA effectiveness. It is the Government's responsibility to establish the objectives,
not the Contractor's. If the WAM is uncertain how to establish DQOs for a
project, or what QA/QC reports to require to ensure that the data meet the
objectives, the QA Manager may be able to provide help or to identify someone
else in the Agency who can. The WAM should seek whatever assistance is
necessary to ensure that the QA requirements for the work assignment are clearly
described in the SOW.
Note that data quality objectives and data quality indicators are different. DQOs
are statements that clarify technical and quality study objectives, define the
appropriate type of data, and specify tolerable levels of potential decision errors
that will be used as the basis for establishing the quality and quantity of data
needed to support decisions. DQOs are used to develop specifications for data
quality indicators, which characterize the quality of the data (e.g.. precision, bias,
completeness, representativeness, and comparability).
Quality Assurance or Quality Control (QC) reports or outputs that may be put in
place specifically for a work assignment include:
Interim Quality Control Evaluation Reports
QC Outputs
Audit Reports
Final QC Evaluation Report.
For example, the contract may specify that the combined monthly technical/
financial progress report will include QA/QC information. The WAM and QA
Manager, based on evaluation of the QA needs of the work assignment, might
conclude that the need exists for more specific quality control audit information for
this particular project. The WAM may thus need to write additional QA
requirements into the SOW for the work assignment.
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If the quality assurance requirements include QA or QC audits or reviews of one
Contractor performed by another Contractor, the WAM needs to be aware of the
restrictions and controls on such external QA.
A more detailed description of quality assurance requirements, practices and
terminology and acceptable Contractor roles in QA is presented in Appendix B.
Additional (Optional) Elements
(1) Personnel Qualifications
Although the Government cannot tell a Contractor which staff to assign to a work
assignment, it can specify certain staff qualifications. While it is not common, the
statement of work can also require that resumes be provided of proposed staff for
certain specialized tasks. An example of personnel qualifications is:
Due to the unique nature of the EMAP program, a detailed understanding of
matrix-managed programs is essential to the work described in the statement
of work. Contractor staff must have a thorough knowledge of this aspect of
management and must be familiar with the range of problems faced by this
type of organization.
(2) Required Additional Reports
The WAM may specify additional progress reports beyond the standard monthly
combined technical/financial progress reports called for in the contract. These may
include, for example:
Weekly oral reports or brief bi-weekly written reports
More detailed financial reports, e.g.. list of hours by staff member
Requirement to notify the Government when 75 or 80 percent of the funds
for the work assignment is expended.
The WAM should review any additional reporting requirements with the Project
Officer. The WAM must balance the additional benefits to be gained by such
reports with the additional Contractor costs and the time required by the WAM to
review them. Frequently, such requirements are established for the contract as a
whole, through a modification to the contract. Module 8 discusses additional
financial reports in more detail.
(3) Suggested Skill Mix
The WAM may elect to break down the estimated professional/technical hours by
staff category as a means of providing additional guidance on the nature of the
work. This would generally be done only for certain specialized work assignments
where the information would be critical for the Contractor.
(4) Required Format for Deliverables
The WAM may require that deliverables must be submitted using certain
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software. For example, Word Perfect compatible disks may be required with
certain final reports. Data bases may be required to be developed in dBase, Focus
or Oracle. This requirement can be expressed in the sections on deliverables or
tasks or as a separate item.
An example of such a requirement is as follows:
Unless otherwise specified, any deliverables that are produced on personal
computers will use the following software and conventions:
Word Processor: WordPerfect 5.1 or higher
Data Bases: dBase IV, Lotus 3.01 or FOXPRO 2.6
Diskettes: 3 1/2" High Density
(5) Government-furnished Data and Property
If the Contractor requires access to Government data to adequately perform the
work, the necessary information can be included in the statement of work. If the
information is too lengthy, it can be included by reference. Examples include:
Selected data quality objectives for sample measurements of environmental
data.
Selected Agency regulations, policies or directives.
Also included here is a list of any Government-furnished property. This requires a
special justification, as discussed later in this module.
(6) Special Requirements or Restrictions
This can include a range of items, including;
Requirements for special equipment or laboratory facilities.
Requirement to obtain Government approval of a certain deliverable before
proceeding with a certain task.
Requirement for approval of use of certain data base software before
analyzing data.
(7) Evaluation Criteria for Award Fee Contracts
While award fee criteria are specified in the overall contact, the WAM may elect
to specify the evaluation criteria in the individual work assignment. This can be
useful to the WAM in a subsequent task of preparing a performance event report
for the work assignment (see Module 9). It can help motivate the Contractor by
reinforcing the concept of evaluation for each work assignment. Essentially this
refines the criteria in the award fee plan by applying it to a particular work
assignment. However, this must not change the award fee plan.
An example of award fee criteria for an individual work assignment is presented in
Exhibit 4-4.
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Exhibit 4-4
AWARD FEE CRITERIA FOR INDIVIDUAL WORK ASSIGNMENT
Evaluation Criteria
1. Timeliness (15 points) Evaluated in terms of the schedule outlined in the deliverables.
2. Responsiveness to technical direction (25 points): Evaluated in terms of how well the
Contractor follows the directions outlined in the statement of work and referenced methods,
and QA Project Plan documents. This includes compliance with reporting requirements.
3. Quality (35 points): Evaluated in terms of the presentation of the results of the Quality
Control criteria for the data evaluated. Reports of independent audits done as Quality Control
checks documented in the referenced method, and QA Project Plan documents accompanying
the formatted data in the final report will be used to evaluate the quality of the data analyses.
4. Cost Effectiveness (10 points): Evaluated in terms of the Contractor's ability to complete the
work described in the statement of work within the work plan budget.
5. Ingenuity and Resourcefulness (15 points): Evaluated based upon the Contractor's ability
to develop creative ways of accomplishing the work and to develop corrective actions to
resolving problems.
Scoring
Each evaluation criterion for the work assignment shall be rated using the five point scale
presented below. The percentage of award fee earned for each rating score is shown.
Rating Description % of Award Fee Earned
5 Outstanding 100
4 Exceeds Expectations 80
3 Satisfactory 0
2 Marginal 0
1 Unsatisfactory 0
Applying the award fee percentage earned for each evaluation criterion will establish an overall
score for the work assignment. This will be considered along with the other work assignments in
determining the overall award fee for the Contractor for the period.
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4. Avoiding Contracting Improprieties and Vulnerabilities
(1) Personal Services
In preparing the statement of work, the WAM needs to be aware of certain factors
which could constitute or create the appearance of personal services. These
include:
Non-specificity of work assignment
If the work assignment is broadly worded, without specific and clearly
defined tasks and deliverables, this may require the WAM to provide
extensive direction to the Contractor to perform the work. Even if such
direction is documented through technical direction, the additional and
frequent interaction may create the appearance of supervision and thus
personal services.
Unclear Contractor responsibilities
Tasks which call for the Contractor to "assist" the Government in performing
a function may create the appearance of personal services, unless the specific
Contractor responsibilities (tasks and deliverables) are made clear. For
example, a task which called for a Contractor to "assist a laboratory
committee in revising an EMAP "Methods Manual" would be unacceptable as
stated. The task would need to describe specifically the responsibilities of the
Contractor. The task description might be phrased as follows:
"Based on review of current manuals and inputs from the Laboratory
Committee, the Contractor shall prepare draft revisions of Chapters II,
III, and IV of the EMAP Methods Manual. Following review and
receipt of written comments by the Government, the Contractor shall
submit a camera ready copy of the relevant chapters plus five additional
copies."
The WAM can use the checklist contained in Module 3 to ensure that the
statement of work does not create the existence or appearance of personal
services.
(2) Inherently Governmental Functions
The WAM should review the Statement of Work to ensure that it does not contain
any prohibited Contractor services as stated in EPA Order 1900.2, Chapter 2 of
the CMM and OFPP Policy Letter 92-1. For example, the WAM should not ask
the Contractor for any assistance in preparing the SOW. This includes asking the
Contractor for estimates of the costs to perform the work assignment or any part
of it. If the services are in the sensitive or vulnerable category, the WAM and
Project Officer should confirm that a justification has been prepared and approval
obtained from the Senior Resource Official. This would normally be done for the
contract as a whole before contract award.
The WAM can use the checklist in Module 3 to review the SOW in terms of
inherently Governmental functions.
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(3) Organizational Conflict of Interest
The WAM should confirm that the performance of the work assignment does not
represent an organizational conflict of interest for the chosen Contractor. If there
are any doubts on this issue, the WAM should check with the Project Officer.
5. Checklist for Evaluating Statement of Work
Exhibit 4-5 presents a checklist that the WAM can use to ensure that the statement of
work is complete and is not subject to contracting improprieties and vulnerabilities.
4-23 9/96
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Exhibit 4-5
WA STATEMENT OF WORK REVIEW CHECKLIST
1. Requirements are consistent with the scope of work of the contract ( )
(requires coordination with Project Officer). Indicate relevant
section(s) of contract SOW
2. Background statement provides sufficient information to enable ( )
understanding of context of the project.
3. Objective(s) are clearly stated ( )
4. References (e.g.. to Research Project Plan) are included, as appropriate. ( )
5. Tasks or task areas are listed and described and are consistent ( )
with the background/objectives.
Scope of Contractor requirements is clear. ( )
Responsibilities of Contractor and Government are clear. ( )
Information to be made available to Contractor is indicated. ( )
6. Deliverables are listed and described. ( )
Schedule (due dates) for each deliverable are specified and realistic. ( )
Draft and final deliverables are listed, as appropriate. ( )
Acceptance criteria are specified, as appropriate. ( )
Electronic format is specified, as appropriate ( )
Copying requirements do not exceed the printing limitations, ( )
by deliverable.
7. Overall period of performance is provided. This does not exceed ( )
period of overall contract.
8. Management controls are described, indicating how EPA will ensure ( )
adequate input to and review of Contractor work.
9. Staff requirements are specified, as appropriate. ( )
10. Quality assurance requirements (e g.. data quality objectives. ( )
audit requirements) are provided, as appropriate.
11. Special requirements (e.g.. additional reports) are specified, ( )
as appropriate.
12. Services do not create appearance of personal services. ( )
13. Services do not include inherently governmental functions. ( )
14. Services do not represent organizational conflict of interest for ( )
proposed Contractor.
4-24 ' OG
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F. DEVELOPING THE GOVERNMENT COST ESTIMATE
Introduction - Purpose of the Government Cost Estimate
The WAM must provide, with the statement of work, an estimate of the total
Contractor costs to perform the work assignment. This is often called the Independent
Government Cost Estimate (IGCE) and is required for all work assignments over the
simplified acquisition threshold.
The Government cost estimate serves several purposes:
It supports budgeting for the laboratory/center/office.
It provides a basis for reviewing the Contractor's technical work plan and cost
estimate.
It supports an audit trail of the factors that went into the planning of the project.
If an independent Government estimate is not provided, the WAM is placed in the
position of having the Contractor's cost proposal define the budget for the project. The
Contractor may be proposing a substantially greater effort or more costly mix of
personnel than the WAM believes are needed for the project. The higher cost, in
conjunction with the costs of other work assignments, may cause the total ceiling of the
contract or the overall contract budget for the branch or section to be exceeded. The
Contractor's cost estimate may in fact be reasonable, but without a basis for
comparison, judging reasonableness may be difficult.
Also, the absence of independent Government cost estimates for some work
assignments was found to be a vulnerability in the Acquisition Management
Improvement Reviews. Thus, it is essential that the WAM develop this estimate.
This section describes procedures for developing the Government cost estimate.
Initially to provide a framework for understanding these methods, the different types of
EPA contracts and cost elements are discussed.
2. Contract Types
There are several ways of categorizing EPA contracts. For example, Chapter 3 of the
Agency Contract Administration Training Manual lists the following types of EPA
contracts:
(1) Cost reimbursement
The Government reimburses the Contractor for the actual costs of performing the
work. This contract type includes two major subcategories:
4-25
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Cost-plus-fixed-fee (CPFF) - The Government pays reasonable, allowable
and allocable costs plus a negotiated fee fixed at the beginning of the contract.
The fixed fee does not vary with actual costs, but may be adjusted for changes
in work to be performed. Typical fees are in the 7-8 percent range.
Cost-plus-award-fee (CPAF) - The Government pays reasonable, allowable
and allocable costs plus a base fee (0-3 percent) that does not vary with
performance, plus an award fee based on the Government's evaluation of
Contractor performance. The objective is to motivate the Contractor. Many
EPA research support type contracts use the CPAF mechanism. An additional
effort is imposed on the WAM and the Project Officer to formally evaluate
Contractor performance on a regular basis to establish the award fee amount.
Both CPFF and CPAF contracts may be structured in two basic forms:
Level-of-effort (LOE) - In this type of contract, also called a term form
contract, the work is specified in general terms, and the Contractor is obligated
to devote a specified level of effort for a stated period of time. Specific tasks
or projects are given to the Contractor through the issuance of work
assignments, managed by Work Assignment Managers.
Under an LOE contract, work assignments should specify specific products or
services to be provided However, the basic obligation of the Contractor is to
provide a certain number of hours.
EPA uses LOE contracts extensively for "mission type" contracts. Mission
contracts are multi-year contracts with broad statements of work which are
administered by issuing either work assignments or delivery orders.
Completion form - A completion form contract defines the scope of work as a
clearly defined task with a specific end product. The basic responsibility of the
Contractor is the delivery of the end product as opposed to a specified level of
effort. The Contractor is expected to complete the work within the negotiated
estimated cost. If this cannot be done, the Government may elect to continue
the work provided it increases the estimated cost.
Note that most fixed price contracts and delivery orders under
time-and-materials contracts can also be classified as completion form, since
the basic requirement is to deliver a product or service, as opposed to a
number of hours.
(2) Time and Materials (T&M)
The Government pays a fixed rate for each hour of direct labor worked on the
contract up to a negotiated ceiling on the total price. Labor rates are "loaded,"
i.e. they include salary, overhead, general and administrative (G&A) expense and
profit. Typically, labor rates are established for different
4-26
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levels of personnel. Materials costs, as well as other direct costs such as travel are
billed at actual cost; in some cases, they may include a handling cost, such as
General and Administrative (G&A) expense.
A special variation of a time and materials contract is a labor hour contract; the
only difference is that labor hour contracts do not include materials. The two
terms are often used synonymously.
Where all the required work is not known at the outset, time and materials
contracts are definitized through the issuance of delivery orders, managed by
Delivery Order Project Officers.
(3) Indefinite Quantity
This type of contract is used when the exact quantity of a product or service to be
delivered is not known at the time of award. The contract guarantees that the
Government will order at least the minimum quantity of supplies or services. The
Contractor must provide the minimum quantity plus additional quantities up to a
ceiling specified in the contract.
An indefinite quantity contract may use any of several cost structures, including:
Fixed loaded labor rates, as in a time and materials contract
Cost reimbursement
Fixed rate or fixed price for the supplies or services
Indefinite quantity contracts are definitized through the issuance of delivery orders
When the time and materials method of billing is used, an indefinite quantity
contract may, in fact, be classified as a time and materials contract.
Indefinite quantity contracts are frequently used within EPA for the procurement
of animals or equipment on research projects. In such cases, a fixed price per item
is established They may also be used for the procurement of services, such as
computer services or management consulting. In these cases, the time and
materials method is used.
(4) Fixed Price
The Government pays a fixed price (established before award) which is not subject
to adjustment regardless of the Contractor's cost performance. This method is
always used for simplified acquisitions, ie. contracts with a value of $100,000
or under, and may be used for other contracts with definitive specifications.
(Note: The Federal Acquisition Streamlining Act (FASA) of 1994 and the Federal
Acquisition Reform Act of 1996 provided for raising the dollar limit of simplified
acquisitions (previously called small purchases) from $25,000 to $50,000 and then
to $100,000. The $100,000 limit was implemented in August 1996. For agencies
which have not demonstrated electronic purchasing by the year 2000, the level
reverts to $50,000.) '
4-27
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Regarding the above contract types, Work Assignment Managers assist in
managing LOE contracts (either CPFF or CPAF). Work assignments issued to
a Contractor specify the estimated level of effort in the statement of work. While
the Contractor is expected to provide the services and products specified, the basic
obligation is to provide the specified labor hours.
Delivery Order Project Officers assist in managing time and materials or
indefinite quantity contracts Delivery orders issued to a Contractor specify the
required items or, for services, the estimated level-of-effort and the ceiling cost for
the delivery order. For services, the Contractor is required to perform the project
until the required work is completed or the total ceiling cost is expended.
(5) Severable and Non-Severable Services
Another way of classifying contracts for services is whether the services (or
individual work assignments or delivery orders) are severable or non-severable.
A contract is considered severable if there is a direct relationship between the
required performance and a specific time period. Severable contracts generally
require performance of services throughout a period of time rather than by a
certain date. Services under cost- reimbursement, LOE contracts are generally
defined as severable. The services must stop at the end of the contract period of
performance (usually the end of the fiscal year) regardless of the stage of project
completion or the availability of funding in the contract. Ways to continue the
work through the issuance of "new" work assignments in the next fiscal year and
the carryover of funds are discussed in Module 8.
(Note: In some contracts, the contract base or option period crosses fiscal years;
in such cases, work assignments may extend to two fiscal years. Also, some
contract periods may be for greater than one year, eg., from April 1, 1994 to
September 30,1995.)
Contracts are non-severable if the performance focuses on completion of the
required work rather than providing effort over a period of time. Non-severable
contracts tend to involve non-repetitive services or products where there is a
definitive work scope which cannot be fragmented by time period. Completion
form cost-reimbursement, fixed price contracts, and most delivery orders under
time-and-matenals and indefinite quantity contracts are non-severable. For
example, a delivery order involving a research modeling study would be
non-severable In contrast, a delivery order calling for the operation of a hot line
would be severable.
Under non-severable delivery orders, the work can continue into the next
performance period to allow for the completion of the project. In contrast to work
assignments, the funds for a non-severable delivery order may be expended until
the work is completed
As indicated above, usually even a very concrete work assignment is considered to
be severable because it is issued under a LOE contract. Nevertheless, WAMs
should always strive to prepare work assignments with completion-type specificity.
4-28 9/96
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3. Elements or Contractor Costs
Before presenting methods for estimating costs, it is useful to define the various
elements of Contractor costs.
(1) Direct Costs are directly identifiable to a specific project. As indicated in
FAR 31.202, they include direct labor, and other direct costs (ODCs).
Direct Labor represents the actual wages paid to the Contractor's employees
for their work on the contract. Most ORD contracts specify various labor
categories which are expected to be required on the contract. For example, a
contract scope of work might specify the following categories:
Professional Level 4 - Project manager or senior environmental scientist
with a Ph.D. or equivalent and 10 or more years of experience.
Professional Level 3 - Environmental scientist with an M.S. degree or
equivalent and 6 to 12 years of experience.
Professional Level 2 - Environmental associate with a B.S. degree or
equivalent and 3 to 8 years of experience.
Professional Level 1 - Junior associate with a B.S. degree or equivalent and
3 years or less experience.
Technical Level 3 - Senior environmental technician with 3 to 6 years of
experience.
Other Direct Costs are costs, other than labor, that can be attributed directly
to the project. Examples are travel, equipment, copying, subcontractors,
telephone and computer time.
(2) Indirect Costs are costs of operating the business. As defined in FAR 31.203,
they are not associated with one particular contract but apply to multiple contracts
of a company. Indirect costs include fringe benefits, overhead, and general and
administrative expense.
Fringe Costs are costs associated with sick leave, annual leave, insurance
contributions, and other "fringe benefits" for the Contractor's employees.
Fringe benefits are generally calculated in the form of a percentage of direct
labor costs.
Overhead includes costs such as rent, furniture, supplies, business equipment,
marketing costs, and non-direct secretarial support costs.
Many companies have separate overhead rates for Government and private
sector work, as well as different Government overhead rates, based on whether
the work is performed at the Contractor (off-site) or Government
4-29 9/96
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(on-site) location The on-site rate will most likely be lower, since office
space, furniture and equipment will be furnished by the Government.
Overhead costs (rates) are usually expressed as a percentage of the direct labor
and fringe costs. Many companies combine fringe and overhead costs into one
rate.
General and Administrative Expenses (G&A) include the administrative
costs of operating the business. This typically includes the costs of the
company's president or other senior officers, as well as labor and other costs
for financial, personnel, legal and other administrative support. G&A is
expressed as a percentage of the sum of labor costs, fringe costs, overhead
costs, and ODCs. Many companies combine overhead and G&A costs into
one rate. The classification of costs as overhead or G&A may vary somewhat
by company.
(3) Fee is the amount the Contractor earns above its costs on a contract. The fee is
the Contractor's profit The fee percentage is applied to the sum of all of the
above costs.
As indicated earlier, this is usually one figure, but on CPAF contracts, it includes a
base fee and an award fee.
Note that in an LOE contract, once the overall fee is negotiated, fee is paid as
invoices are submitted based on the percentage of work completed. This is the
ratio of the direct LOE labor hours performed in a given period (usually a month)
to the direct LOE labor hours authorized for the'contract period. As indicated
earlier, the LOE hours do not include clerical hours. However, clerical hours are
often included in a Contractor's direct labor charges.
4. Methods of Developing the Government Cost Estimate
There are several methods a WAM can use to estimate the cost of a work assignment.
These methods involve varying levels of complexity. The method should be selected
based on consideration of such factors as the mix of personnel, differences in labor rates
for different personnel categories, amount of other direct costs, whether the work is
being done on-site or off-site, etc.
(Note: In selecting the cost-estimating method, the WAM should check to determine if
the cognizant C O has established any specific requirements or guidelines. For
example, CMD-Cincinnati issued cost-estimating guidelines in February 1993 that are
very similar to the second approach described below - the average loaded labor rate
method. That guidance presented forms and instructions, but indicated that other
similar methods and forms may be used. WAMs and POs may also wish to review the
cost estimating guide issued by the Office of Acquisition Management in June 1994.
That guide is more oriented to estimating for new contracts, but presents comparable
guidance.)
In all of these methods the first and the most important step is to estimate the
direct labor hours required. Procedures for developing the labor hour estimate are
presented below. Following this discussion, three alternative methods of estimating
work assignment costs are presented, in increasing order of complexity.
4-30
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(1) Estimating Direct Labor Hours
In this step, the WAM estimates the labor hours by personnel category and total to
perform the work assignment. The Direct Labor Planning Worksheet shown in
Exhibit 4-6 can be used to prepare this estimate. The procedures are as follows:
Identify and list the major work assignment tasks across the top of the page.
These tasks should be the same as in the statement of work, but may be
expanded into subtasks if the WAM believes it necessary to accurately estimate
hours.
List the staff categories expected to be required down the first column. These
may be obtained from the Project Officer, from reviewing the contract or
previous work assignments, etc.
Estimate the hours required by each personnel category to perform each task.
In doing this, consider:
- The length of the task
The particular work activities required
The number of people, full-time or part-time, expected to be required
As an aid to developing this estimate, you may wish to indicate the length in
weeks or months of each task on the chart.
Sum the labor hours by task to estimate the total labor hours by staff category
and for the whole work assignment.
The above process is not a simple activity. It requires careful thought as to what
work will be required and how it will be approached. There are several ways,
however, that this process can be shortened. For example:
If the project is very similar to one that was conducted in the past, you may
estimate the total hours based on the prior effort with minor adjustments based
on new requirements.
If the number of staff categories is few (e.g.. P4 and P3) you may estimate the
total hours by task (or overall), and then apportion the total by staff category
based upon experience.
If the project will involve a fairly level concentrated effort, especially if the
project is on-site, you may estimate the number of people required for a given
period (e.g.. 6 months), adjusting for full- or part-time staff. For example, you
may judge that the project requires a P-4 project leader half-time for 6 months,
a P-3 scientist full-time for 6 months and a T-3 technician full-time for 6
months.
4-31 #96
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Exhibit 4-6
PLANNING WORKSHEET:
ESTIMATING LABOR HOURS
(BASE METHOD)
Contract No.:
Work Assignment No.:
Contractor:
Work Assignment Title:
Labor Hours by Task
Task
Professional Level
4
3
2
1
Technical Level
4
3
2
1
Total
1
16
16
2
40
120
3
120
240
4
120
240
5
80
200
6
80
80
Total
456
896
32
80
240
240
600
-
320
680
240
520
40
200
920
2,272
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If the estimate is based primarily on the length of time a staff category is
expected to be required, assume an average of 160 hours per month for a
full-time effort This takes into account time off for leave and holidays. (Note:
The actual effective available hours is typically closer to 155 hours per month,
but 160 hours may be used for simplicity and is a more conservative figure.)
An alternative method, which combines some of the principles of the basic
method with some of the "shortcuts" described above is shown in Exhibit 4-7.
This is not as rigorous as the basic method, but is still fairly detailed. In this
method, months (or weeks) are listed across the top and the tasks are listed
down the first column. The steps in this process are as follows:
Draw lines indicating the start and end dates of each task.
Estimate the total hours (for all staff categories) required to complete the
task In this case the length of the task will be a driving factor. Thus, if a
task is expected to require 2 months and you believe that 2 full-time people
will be required, you would estimate a total of 2 x 2 x 160 hours = 640
hours.
Sum the total hours by task to estimate the total hours for the project.
Apportion the total hours by staff category based upon experience.
The WAM needs to select the method that best fits the requirements of the
particular work assignment. The WAM should review prior work assignments and
talk to other knowledgeable people in the laboratory/ office or the Contracting
Office, as appropriate, to gain ideas in estimating the hours.
(2) Estimating Costs - Overall Loaded Labor Rate Method
This is the simplest method of estimating total work assignment costs. In this
method, the WAM would multiply the total labor hours developed above by a
single overall "loaded" labor rate for the contract. This rate includes the
Contractor's fringe, overhead, G&A, fee and other direct costs. Clerical costs are
also included in this figure. It does not distinguish among different labor
categories. Thus, for example, if the total estimated labor hours for a work
assignment were 800 and the overall loaded labor rate were $65.50, then the total
estimated cost for the work assignment would be $52,400, which could be
rounded to $53,000
Exhibit 4-8 presents a worksheet for estimating costs using this method.
4-33
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Exhibit 4-7
PLANNING WORKSHEET:
ESTIMATING LABOR HOURS
(ALLOCATION METHOD)
Contract No.:
Work Assignment No.:
Contractor:
Work Assignment Title:
Month
0 12345678 9 10 11 12
Task
Taskl:
Hours
Task 2:
Hours
Task 3:
Hours
Task 4:
Hours
Task 5:
Hours
Task 6:
Hours
TT
240^
&
to
64
10
48
0
"240
«
Total WA Hours
2,272
Staff Level
P-4
P-3
P-2
T-3
Estimate of % of WA Hours
20%
40%
40%
Estimated
Hours
454
909
909
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Exhibit 4-8
COST ESTIMATING WORKSHEET:
OVERALL LOADED LABOR RATE METHOD
Contract No: Contractor:
Work Assignment No.: Work Assignment Title:.
Step 1 - Estimate total labor hours for work assignment 2.272
(from Direct Labor Hours Worksheet)
Step 2 - Determine overall loaded hourly labor rate $63.25
Step 3 - Multiply total labor hours by overall loaded $143.704
labor rate = Total Estimated Costs
4-35 y/96
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The WAM may obtain the overall loaded labor rate from several sources:
From the Project Officer
From the financial portion of the monthly progress report for similar work
assignments performed by the Contractor or for the total contract. This report
should indicate:
- Total cumulative charges in each work assignment, and the total contract
- Total professional/technical hours
- Cumulative charges per professional/technical hour
From the Contractor's cost proposal. This would require slightly more
analysis. The WAM would need to divide the total estimated cost and fee for
the contract by the proposed number of direct labor hours. This could be done
for the whole contract (including all option years and option quantities) or on
the base quantity for a given year. It is preferable that the costs for the
current year be used for estimating. The WAM needs to ensure that
subcontractor hours are included in the hour total. Clerical hours would
normally not be included in the hour figure; their costs would be in the loaded
rate.
While this method is rather general, it may give a reasonable "ballpark" estimate.
This method may be desirable under the following circumstance:
The labor mix is expected to be similar to the mix for other similar work
assignments on which the loaded rate was based.
The level of ODCs is expected to be fairly modest, e.g.. less than 10 percent of
the total project cost or comparable to the ODCs for other similar work
assignments.
If the expected labor mix is substantially different from other work assignments
(e.g. much greater involvement of P-4 level) or if there are substantial travel costs
or other ODCs, then another method should be used or an adjustment should be
made to the estimate to reflect these special cases. For example, if the Contractor
were expected to acquire a major item of equipment costing $5,000 and if such
costs were rare on the contract, the WAM might wish to increase the $53,000
figure estimated earlier to $58,000.
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(3) Estimating Costs - Average Category Loaded Labor Rate Method
This method is more detailed than the overall loaded rate approach. In this method
loaded labor rates are established for each personnel category including clerical.
These rates reflect salaries, overhead, G&A and fee. These rates do not include
ODCs; ODCs are estimated separately and added to the loaded labor costs.
The procedures for estimating costs in this method are as follows:
Estimate direct labor hours for each personnel category (from Direct Labor
Hours Worksheet). Clerical hours can be estimated at 5-15 percent of
professional/technical hours.
Determine average loaded labor rates for each personnel category (sources of
these rates are indicated below).
Multiply direct labor hours for each personnel category by the average loaded
labor rate for that category.
Add the loaded labor costs for each category to determine the total loaded
labor costs for the work assignment.
Estimate ODCs (procedures for estimating ODCs are described below).
Add the loaded labor costs and the ODCs to determine the total costs for the
work assignment.
Some contracts allow for G&A and fee to be applied to the ODCs. The WAM
should check with the Project Officer to determine if this is the case. G&A rates
typically range from 10 to 20 percent. Fees are usually in the 7 - 9 percent range.
Thus, for example, if the G&A were 12 percent and the fee were 8 percent, the
ODC estimate would be multiplied by a G&A/fee factor of 1 x 1.12 x 1.08 = 1.21.
If only fee were applied to ODCs, the ODC estimate would be multiplied by 1.08.
In this method, labor costs for subcontractors are generally included in the loaded
labor costs as opposed to ODCs. If loaded labor rates for subcontractors are not
listed separately in the contract, then a subcontractor "handling factor"1 should be
added to the labor costs if the work is envisioned as being performed by a
subcontractor. The Project Officer can provide this factor. However, for
simplicity, it might be best to assume that the work will be done by the prime
Contractor, unless the subcontractor's costs are substantially different.
The WAM may obtain average category loaded labor rates from the following
sources:
From the Project Officer
Contractors vary in the markup applied to subcontractors. Some apply full G&A, some no G&A,
and others apply a handling factor which is less than the full G&A. Most Contractors apply fee to
subcontractor costs.
4-37
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For time and materials, delivery order contracts, directly from the contract
(Loaded labor rates are listed for each personnel category.)
From the Contractor's cost proposal, invoices or other financial reports. For
cost-reimbursement contracts (including LOE contracts) loaded labor rates are
not listed. Instead, the WAM or Project Officer would need to compute this
figure, as follows:
- Identify the average salary rate for each personnel category. This is
usually listed in the cost proposal. Remember to use the current year rate.
This can be estimated by multiplying the salary rate for the base year by the
appropriate escalation factor. For example, if the average hourly salary
rate for the P-3 category were $27.00, you are in the first option year, and
the escalation rate is 5 percent, then the average P-3 salary rate for the
current year would be $27.00 x 1.05 = $28.35.
- Multiply the salary rate by a load factor, which includes fringe, overhead,
G&A, and fee These rates are given in the cost proposal. The result is the
loaded labor cost for the personnel category.
For example, if the fringe were 30 percent, the overhead were 40 percent, the
G&A were 12 percent and the fee were 8 percent, then the load factor would
be 1 x 1.3 x 1.4 x 1.12 x 1.08 = 2.2. If the average salary rate for a P-3
category were $27, then the loaded labor cost for a P-3 would be $27 x 2.2 =
$59 40. If the Contractor had a separate overhead rate of 20 percent for
on-site work, then the loaded P-3 rate for on-site work would be less - 1.89.
If the Contractor had only one burden rate (including fringe, overhead
and G&A) of 95 percent, then the load factor would be 1 x 1.95 x 1.08 = 2.11.
Other Direct Costs may be estimated by applying a factor to the total loaded
labor costs based on the estimate included in the cost proposal or the cost
experience on the contract. For most work assignments, ODCs (except
subcontractor costs) will generally not exceed 10 percent of loaded labor costs,
unless there are special circumstances, such as heavy travel or purchase of
equipment. The factor for on-site contracts would probably be less - 5 percent
or less.
A more rigorous method of estimating ODCs is shown in Exhibit 4-9. The
major categories of ODCs are:
Travel - long distance and local
Copying
Telephone/facsimile
Computer time
Equipment and supplies
Postage/express mail
Other (e.g.. messenger, training)
4-38 9/%
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Exhibit 4-9
PLANNING WORKSHEET:
OTHER DIRECT COSTS
Contract No.:
Work Assignment No.:
Contractor:
Work Assignment Title:
Task
ODC Category
Travel
Long Distance
Local
Copying
Telephone/Facsimile
Computer Time
Equipment/Supplies
Postage/Express Mail
Other
Total ODCs
1
1,500
2
3
2,000
100
4
50
5
50
6
2,000
400
Total
4,000
300
600
450
300
1,500
450
7,600
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In estimating long distance travel costs, the WAM should consider the
anticipated number of trips, the average air fare, and the number of days and
rates of per diem and car rental. For example, if the Contractor is estimated to
make 6 plane trips of 2 days each, then the long distance travel might be
estimated as follows:
6 trips at $500 air fare = $3,000
6 trips at $50 local travel = 300
12 days per diem at $ 100 = 1,200
12 days car rental at $40 = 480
Total long distance travel = $4,980
In lieu of a breakdown by task, certain ODCs such as local travel, copying,
telephone and postage are often estimated by using an average total
cost/month for the work assignment, e.g.. $200 - $600/month. Thus, for a 6
month work assignment, these charges might total $1,200 - $3,600. Such
charges would either not exist or would be much lower for on-site contracts.
For many work assignments, the application of a percentage factor for ODCs
(e.g.. 5-10%) is sufficient. The WAM needs to determine when to use the
more detailed approach.
In general, the average category loaded labor rate method is useful in the
following circumstances:
Average category loaded labor rates are listed explicitly in the contract or
are otherwise readily available. This is generally the case for
time-and-materials, delivery order contracts.
Significant amounts of ODCs are envisioned.
The labor mix is expected to be substantially different from the mix on
prior work assignments with the Contractor.
Exhibit 4-10 presents a worksheet for using the average category loaded labor
rate method in estimating costs.
4-40
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Exhibit 4-10
COST ESTIMATING WORKSHEET:
AVERAGE CATEGORY LOADED LABOR RATE METHOD
Contract No: Contractor:
Work Assignment No.: Work Assignment Title:.
Step 1 ~ Estimate labor hours for each labor category
(From Direct Labor Hours Worksheet)
Step 2 -- Obtain average loaded labor rates for each personnel category
Step 3 ~ Multiply labor hours for each personnel category by loaded hourly labor rate for the
category
Average Loaded Labor
P-Level Hours Loaded Hourly Rate Cost
P-4 456 X 87.00 = 39.672
P-3 896 X 60.00 = 53.760
T-3 920 X 35.00 = 32.200
Clerical 120 X 31.00 = 3.720
X =
X
Step 4 Sum loaded labor cost for each personnel 129.352
category = total loaded labor cost
Step 5 ~ Estimate ODCs (from factor estimate ( )% or
from ODC worksheet) 7.600
Step 6 - Multiply ODCs by G&A/fee factor = loaded ODCs
ODCs 7,600
X G&A/fee factor* 1.21
= Loaded ODCs 9.200
Step 7- Add total loaded labor cost and loaded S138.5S2
ODCs = result is estimated cost of work assignment
* Example is based on 12% G&A and 8% fee applied to ODCs.
4-41
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(4) Estimating Costs - Full Costing Method
This method is the most detailed approach to cost estimating. In this method,
individual cost factors including labor costs, fringe benefits, overhead, ODCs,
G&A and fee are applied explicitly to estimate total work assignment costs.
The method involves the following steps:
Step 1 - Estimate direct labor hours for each personnel category (from Direct
Labor Hours Worksheet)
Step 2 - Determine average salary rates for each personnel category.
Step 3 - Multiply direct labor hours for each personnel category by the average
salary rate for that category. This gives total direct labor costs.
Step 4 - Multiply total direct labor costs by the fringe rate. This gives fringe
costs.
Step 5 - Multiply total direct labor costs and fringe costs by the overhead rate.
This gives total overhead costs.
Step 6 - Add ODCs to the sum of labor, fringe and overhead costs.
Step 7 - Multiply the above total by the G&A rate. This gives G&A costs.
Step 8 - Add labor, fringe, overhead, ODCs and G&A costs. This gives total
costs.
Step 9 - Multiply total costs by the fee percentage. In a CPFF contract, this is
the fixed fee. In a CPAF contract, the fee for estimating should be the sum of
the base fee and the maximum award fee.
Step 10 - Add the total costs and the fee amount. The result is the total
estimated cost and fee for the work assignment.
If the Contractor does not have a separate fringe or G&A rate (e.g.. fringe and
overhead or overhead and G&A are combined), then the corresponding steps are
omitted.
Exhibit 4-11 presents a worksheet for estimating costs using the full costing
method.
4-42
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Exhibit 4-11
COST ESTIMATING WORKSHEET:
FULL COSTING METHOD
Contract No: Contractor:
Work Assignment No.: Work Assignment Title:.
Step 1 ~ Determine labor hours by personnel category (from Direct Labor Hours Worksheet)
Step 2 - Determine average salary rate for each personnel category
Step 3 ~ Determine total direct labor costs
Unloaded
P-Level Hours Labor Rate Labor Cost
P-4 456 X 40.00 = 18.240
P-3 896 X 27.00 = 24.192
T-3 920 X 16.00 = 14.720
Clerical 120 X 15.00 = 1.800
X =
X =
Step 4 ~ Multiply total direct labor costs by fringe rate
Total Direct Labor Costs 58.952
X Fringe Rate .3
= Fringe Costs 17.686
Step 5 ~ Multiply sum of total direct labor costs and fringe costs by overhead rate
Labor Costs + Fringe Costs 76.638
X Overhead Rate .4
= Overhead Costs 30.655
4-43
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Exhibit 4-11 (continued)
Step 6 Add total ODCs (from ODC Worksheet) to sum of labor, fringe and overhead costs
Labor + Fringe + Overhead Costs 107.293
+ ODCs 7.600
= Total Costs before G&A 114.893
Step 7 - Multiply total costs before G&A by G&A rate
Total Costs before G&A 114.893
X G&A Rate .12
= G&A Costs 13.787
Step 8 - Add total costs before G&A and G&A costs
Total Costs Before G&A 114.893
+ G&A Costs 13.787
= Total Costs 128.680
Step 9 Multiply total costs by fee percentage
Total Costs 128.680
X Fee Percentage .08
= Fee Amount 10.294
Step 10 - Add Fee Amount to Total Costs. Result is Total Estimated Cost Plus Fee
Total Estimated Cost Plus Fee $138.974
4-44
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The WAM may obtain the average salary rates; fringe, overhead and G&A rates;
and fee percentage from the following sources.
From the Project Officer
From the Contractor's cost proposal, invoices, work plan cost estimates, or
other financial reports
The full costing method is useful in the following circumstances'
Information on the various cost factors is readily available to the WAM.
Individual loaded labor rates are not provided.
Significant amounts of ODCs are envisioned.
The labor mix is expected to be substantially different from the mix on prior
work assignments with the Contractor.
It should be recognized that if the average category loaded labor rates in the
second method are not readily available and have to be computed, then the second
and third methods are very similar.
4-45
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G. PREPARING OTHER ELEMENTS OF THE WORK ASSIGNMENT PACKAGE
AND ASSEMBLING THE PACKAGE
The Work Assignment Package is the collection of documents and forms which the Project
Officer submits to the Contracting Officer to facilitate the issuance of the work assignment.
The Statement of Work is the most important element of the package. The independent
Government cost estimate (summary worksheets, including any assumptions) is also a
required part of the package.
In addition, there are several other elements of the Work Assignment Package which the
WAM needs to prepare. Not all of these are required on every work assignment. Also, in
some laboratories, centers or offices, the Project Officer may prepare some of these items.
The WAM should coordinate with the Project Officer to ensure that all of the necessary
forms and documents are completed.
1. Other Elements of the Work Assignment Package
Other elements of the Work Assignment Package include the following:
Work Assignment Form
Procurement Request (EPA Form 1900-8)
Work Assignment Manager Appointment (EPA Form 1900-65A)
Training Deferment Request and Approval
Quality Assurance Review Form
Non-duplication of Effort Statement (required by some Contracting Offices)
OIRM approval for ADP services (as needed)
FMD approval for use of multiple appropriations (as needed)
Intra-agency funding request and approval (as needed)
Justification of Need (JON) for Government-Furnished Property (as needed)
OPPE approval for public surveys (as needed)
Justification and Approval for Sensitive and/or Vulnerable Services (as needed)
4-46
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(1) Work Assignment Form
This form is used.
By the laboratory, center or office to request the work assignment
By the Contracting Office to formally issue the work assignment
The form is not standard across the various contracting offices, but contains
similar information. This includes:
Identification of contract, Contractor and work assignment title and number
Space to begin, but not complete the Statement of Work
Period of performance
Government estimated total level of effort
Approvals and concurrences by the laboratory/center/office and Contracting
Office
Contractor's acknowledgment
Exhibit 4-12 shows the form used by the CMD - Research Triangle Park. Some
laboratories which use Technical Directives in lieu of work assignments use a
slightly different form. Exhibit 4-13 shows the form used by CMD - Cincinnati.
(2) Procurement Request (PR) (EPA Form 1900-8)
This form is used to obligate funds to the contract to support the work assignment.
As discussed in Module 8, work assignments are not obligating documents; thus
the funding is provided to the overall contract and may cover multiple work
assignments. The WAM should check with the Project Officer to determine if a
PR is required. Note that on delivery order contracts, a PR is always required,
since delivery orders are obligating documents.
Exhibit 4-14 presents a PR form. The name and signature of the originator (e.g..
the WAM) are shown in blocks 1 and 6 respectively, and the PO is listed in block
8. The various approvals are given in block 15. The WAM should ensure that the
PR contains the required financial data in block 26. Again in some EPA
organizations, the PO prepares the PR instead of the WAM.
(3) Work Assignment Manager Appointment Form (EPA Form 1900-65A)
This form must be completed and submitted with each new work assignment, or
when there is a change in the Work Assignment Manager for an existing work
assignment. To be a Work Assignment Manager, an individual must have
completed the Agency Contract Administration course, as well as a one-day
refresher course every three years. Exhibit 4-15 shows a WAM Appointment
Form.
4-47
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Exhibit 4-12
WORK ASSIGNMENT FORM-RTF
WORK ASSIGNMENT
ENVIRONMENTAL PROTECTION AGENCY
RESEARCH TRIANGLE PARK. N.C. 17711
EPA CONTRACT MO
68-D1-0642
ABC Company
95-2
Preparation of Technology Transfer Materials for Che
Environmental Monitoring and Assessment Program.
9/25/94
See attached Statement of Work.
NOTICE TO CONTRACTOR
PLEASE SIGN. DATE. AND PROVIDE ESTIMATES IN THE SPACES INDICATED IELOW. AND RETURN ONE COPY
TO THE CONTRACTING OFFICER.
«1( 0<
1,600
9 Mont-lis
6/30/95
P. Jones
8205
260-8999
9/25/94
4-48
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UQUC ASSKMGIT
EKVItCMCMTAL PROTECT 1C* ACEKY
Exhibit 4-13
WORK ASSIGNMENT FORM - CIN
1. CONTRACT NO.:
68-C1-2345
2. COMTRACTOH; CFG Company
3. WORK ASSICMMEMT NO.:
3-06
4. AMENDMENT NO.:
5. VIA TITLE:
Treatabilitv Testing Prococols
o. Cncu> APPLICABLE
DO ORIGINAL UA M UA AMENDMENT C ] UP APPROVAL
C ] OTHER
7. PERIOD OF PERFORMANCE
DATE OF CO APPROVAL UNLESS OTHERWISE SPECIFIED
INCLUDES ALL DELIVERABLE;
10/1/94 "TO 9/30/95
8. IMDEPEHOEHT GOVERNMENT ESTIMATE OF LEVEL OF EFFORT; 2.000
ACCOUNTING AMD APPROPRIATION DATA
APPROPRIATION NO.
68^/50108
TOTAL UA FUNDING CEIL IMG
DOCUMENT CONTROL NO.
2B0093
2B0094
ACCOUNT KO.
1ABC60ZOOO
1A3C60Z101
AMOUNT
$ 60,000
60,000
S 120. 000
WORK PLAN APPROVAL
10. CONTRACTOR UP DATED:
TOTAL COSTS:
TOTAL LOE:
11. CUMULATIVE APPROVED TO DATE:
TOTAL COSTS:
TOTAL LOE:
2. DOES UP REQUIRE SUBCONTRACTOR OR CONSULTANT?
If YES. HAS SUBCONTRACTOR/CONSULTANT BEEN INCORPORATED INTO THE CONTRACT?
C 1 TES
C ] YES
13.
APPROVALS
C 1 MO
( } NO
WORK ASSIGNMENT MANAGER NAME:
(SIGNATURE) (DATE)
PROJECT OFFICER NAME:
(SIGNATURE) (DATE)
OTHER APPROVING OFFICIAL NAME:
(SIGNATURE) (DATE)
CONTRACTING OFFICER NAME
(SIGNATURE) (DATE)
BRANCH/MAIL
CODE:
PHONE NO.:
FAX NO.:
BRANCH/NAIL
CODE:
PHONE NO.:
FAX NO.:
BRANCH/MAIL
CODE:
PHONE NO.:
FAX NO.:
BRANCH/MAIL
CODE:
PHONE NO.:
FAX NO.:
Effective Date of UP Aporoval or UA Issuance (per contract)
CONTRACTOR'S REPRESENTATIVE AO3KM.EDGEKHT
JNATURE
TITLE:
DATE:
4-49
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Exhibit 4-14
SAMPLE PR FORM
Unread SUM*
VaVEFW Environmental Protection Agency
Washington. DC 20460
PROCUREMENT REQUEST/ORDER
P
3. Mai C
821
6. Signatim of Ongmator
8. Dalivar To (Profact Ohlcarl 8. Addrais
F. Jones ORD, 401
12. Sugganad Sourea mama. Addraii. ZIP Coda. Phona/Conuctl
ABC Company
6842 Old Dominion Road
McLean, VA 22102
. Jones
dda 4 TaUphona Number
35 (202) 260-8999
12/14/94
6. Data ream Raqumd
ASAP
nCompatttrva I 1 Othar than fufl and opan f~~ 1 Sola aaurca imaO
I 1 compauuon 1 1 pucchaaa
M Street. SW 20460
la:
Slneniaaa I 1 Daeraaaa
^^^J
| | Original f~| CancaBation
8205 (202^ 760-R09Q
authonzod to onoaad tha amount shown In Block 26
by 1O% or « 100. wmlchawr la laaa.
n V.. n NO
15. Approvala
«. Bfancn/ O«iica Data
b. Division/ Olfica Data
d. Proparty Managamant Otticar/ Da
a. Othar tSpcc/fyl
aigni
a Data
Data
c. Funds linad In Block 26 and Block 1 4 fit any) art availabla and raiarvad. IStynttun tnd phont number of Candying OHielfU Phona Data
16. Data of Ordar 17. Ordar Numbar
20. FOB Point 21. Dakvary to FOB
23. Contractor INtmc. tddrcts. Bf CadeJ
IB. Contract Numbar (H any)
1 9. Discount Tarms
Point by ON or bafora (Dttal 22. Paraon Taking Ordar/ Quota and Phona Numbar
24 Typa of Ordar
| | a.Purchaaa
Ralaranca your quota SM btoct 221
PUaaa fumlah tha abova on tha tarma apocKiad an both aldaa of thla ordar and on tha
attachad shoota. If any. kidudlng daUvwy aa Indteotad.
Db. DaGvary provtalona on tha ravaraa ant dalatad. Tha dalivary ordar la subjact
to tha tarma and oondrdona of tha contract. at owu* 4i ayu« ai
1 VR oons ... 9s -'- 5C
2 . ;
3
Arnault (DaEtnl IftMUil tltmff
7i *u. at
26U - CAT
^
i II (MA 71
, ;
OUUM 41 SFO
7^05
(Max 7}
26 Typad Narrve and Pnona e( Conuacung Otficar Phona
cHA l-orm iauo-a (nav. tt-b-l ciacvonic anc papar varciona aecepteata.
Pravioua adiuona ara ob«olete
4-50
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Exhibit 4-15
WAM APPOINTMENT FORM
Uratod State*
Environmental Protection Agency
Washington. DC 2O46O
NOMINATION AND APPOINTMENT OF CONTRACTING OFFICER'S REPRESENTATIVE (COR)
la. Neme of Nominaa:
Fred Smith
c. Mailing Address GncJude mail codtl:
EPA/ORD (8205)
401 M Street, S.W.
Washington, DC 20460
b. Tide. Senas, and Grada:
Chemist
65-1320 13/02
d. Telephone:
202-260-7999
2. The nomination is for:
I I Project Officer
| | Deputy Project Officer
| | Regional Project Officer
[| Zone Project Officer
| | Delivery Order Project Officer
j XI Work Assignment Manager
I | Alternate
| | Other
3. Training completed:
a. Acquisition Training for Project Officers
(Formerly The Basic Project Officers Course)
(All Project Officers must complete.)
b. Contract Administration course
(All CORs must complete.)
c. Recaru'ficaoon Course
(All CORs must complete every three years.)
Date Completed
5/16/91
4/20/94
t. Briefly describe the nominee's contract management expenance and nominee's technical expertise in the subject matter of the contract.:
Mr. Smith has successfully managed five previous work assignments for EPA. He holds an
M.S. in Biochemistry and has worked in the subject area of chemical analysis and
environmental monitoring for approximately eight years.
5. The nomination is for contract number 68-D1-0734. WA No. 95-9
6. I understand that COR duties are not redelelgable. In the event that I am unable to continue performing my COR duties. I will contact the
Contracting Officer immediately.
4/18/95
Signature of Nominee
Dele
7. 1 certify that:
a. The nominee's contract management duties will be incorporated in his/her position description and performance standards.
b. The nominee's Standard Form 450, Confidential Financial Disclosure Report, will be file with the cognizant Deputy Ethics Official.
c. The nominee's contract management workload will stay within his/her ability to perform satisfactorily.
d. If the nominee performs his/her contract management functions unsatisfactorily. I will notify the Contracting Officer immediately.
4/20/95
Signature of the Nominating Official
C. Clarke. Branch Chief
Date
202-260-7998
Nome/Tide IPrint or typal
Telephone
Signature of the Appointing Official
Date.
EPA Form 19OO-65A (R«v 7-94) Electronic ana Peper version: acceptable.
Previous odibons are obsolete.
- "*
WMii. COOT - On.o. Contract f~« Coo Y.IIO COOT Oj«v««' . Coov
Ptrt* CoOV - Of.Gin.tor 1,MQ»rea CoOT
-------
(4) Training Deferment Request
If the proposed WAM has not completed the Agency Contract Administration
Course or the Refresher Course, the Nominating Official (the individual's
immediate superior) may request a deferment of the training requirements. The
Nominating Official must submit a memorandum to the CO accompanying EPA
Form 1900-65A describing the proposed WAM*s experience in contract
administration, why the training requirements have not been met, why there is an
immediate need to appoint a WAM, and plans to complete the training. The
WAM should draft the memorandum for signature by the Nominating Official.
The Contracting Officer will review the request and if approved, send a written
recommendation to the Director, Policy, Training and Oversight Division (PTOD)
of OAM. The Director, PTOD will approve or disapprove the request and submit
a response to the laboratory, center or office.
Obtaining a training deferment is time-consuming and will only be granted in
extenuating circumstances (e.g.. extensive contract administration experience of
the proposed WAM) and for a limited period until the training is completed. To
avoid a delay, the laboratory or office may wish to designate another individual to
serve as the WAM. All individuals who may potentially serve as WAM should
take the Contract Administration Course as soon as possible.
(5) Quality Assurance Review Form
The Agency requires a Quality Assurance (QAR) form for all new procurements
above the small purchase threshold. Although not currently an Agency-wide
requirement, many ORD laboratories and centers also require the submission of a
QAR form for all individual work assignments above the simplified acquisition
level.
This form documents whether the work assignment involves environmental data
collection and the type of quality assurance measurements required. The QA form
should be completed by the WAM, in conjunction with the organization's QA
Manager The preparation of the QAR was discussed earlier in Section E,
Preparing the Statement of Work.
(6) Non-duplication of Effort Statement
This statement, required by some Contracting Offices, indicates that the work does
not duplicate other in-house or extramural work that has been or is currently being
performed for the Agency.
(7) OIRM Approval for ADP Services
If the work assignment involves certain types of ADP services, approval by the
Office of Information Resources Management (OIRM) is required.
4-52
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The following principles apply:
If the main product of the work assignment is a computer system, OIRM
approval is required.
If the ADP products or services are incidental to the development of non-ADP
products, OIRM approval is not required. An example is the development of
computer software to process data for a one-time data collection project
If the incidental ADP product is expected to be used again on either in-house
or extramural projects, then OIRM approval is required. An example is the
use of data analysis software to process the results of a recurring survey.
The request to OIRM should indicate the nature of the ADP services required and
include the Statement of Work as an attachment. The WAM should check with
the ADP Coordinator for the lab, center or office regarding the current office
within OIRM to send the request to. Approval must be obtained before the work
assignment package is submitted. Exhibit 4-16 illustrates a request for OIRM
approval.
(8) Rationale for Multiple Appropriations/Split Funding
Most work assignments are funded by single appropriations. When a -work
assignment is funded by more than one appropriation and direct charging of the
appropriations is not feasible (i.e.. split funding), approval must be obtained from
the Director, Financial Management Division (FMD), of the method of allocating
costs among the source appropriations.
Note that direct charging of multiple appropriations under a work assignment
typically requires that the Contractor be able to bill by tasks which can be
associated with individual appropriations Although FMD approval is not required
in such cases, this should be documented for the file. In both cases, direct
charging or allocation, the justification for the appropriations and the method of
charging must be approved by the organization's Funds Certifying Officer (FCO).
Where direct charging is not feasible, the WAM, in concert with the Project
Officer, should prepare a memorandum to the Director, FMD indicating an
estimate of the costs to be charged to each appropriation, the method for
allocating costs among the appropriations, and requesting approval of such
method. The memorandum should contain a line for approval by the Director,
FMD The request will be reviewed both in terms of the proper use of the
appropriations and the soundness of the allocation methodology. When the
request is approved by FMD, it should be included with the PR and other elements
of the Work Assignment Package. Note that with the merging of the Superfund
appropriation for ORD into the new Science and Technology (S&T) appropriation
(formerly Research and Development [R&D]), the frequency of split funding will
be reduced. Split funding would occur only in the case of funding by ORD and
another EPA program office. This would involve submission of an mtra-agency
funding request. Exhibit 4-17 shows a request for the use of multiple
appropriations.
It is critical that approval for the use of multiple appropriations be obtained. The
absence of such approvals was cited as a vulnerability in the Acquisition
Management Improvement Reviews. Module 8 discusses multiple appropriations
in more detail.
4-53
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Exhibit 4-16
SAMPLE MEMORANDUM TO OIRM ON ADP SERVICES
MEMORANDUM
SUBJECT: Review of Work Assignment Involving ADP Services
FROM: P. Jones, Project Officer
TO: Management Planning and Evaluation Staff
Office of Information Resources Management
DATE: June 10, 1995
Attached is a statement of work for a proposed work assignment to design a system for
maintaining data on office and laboratory training activities. In our view, the features of the
system are consistent with Agency ADP policy, and the system does not duplicate existing
Agency systems. Please sign below to indicate your concurrence in this effort. Should you desire
additional information, please call me at 260-8999.
Concurrence:
Office of Information Resources Management
4-54
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Exhibit 4-17
SAMPLE REQUEST FOR APPROVAL OF USE OF MULTIPLE APPROPRIATIONS
(TWO DIFFERENT PROGRAM OFFICE FUNDS)
MEMORANDUM
SUBJECT: Request for Approval of Rationale for Use of Mixed Appropriations on
Contract No. 68-D2-0772
FROM: P. Jones, Project Officer
National Exposure Research Laboratory
TO: Director, Financial Management Division (3303F)
DATE: April 11, 1996
This memorandum presents a request for approval of the use of mixed appropriations on a
work assignment to be issued under the above referenced EPA contract.
The funds intended for use are the following:
1. S&T Appropriation (686/70107): DCN: WR0020
Account No.: 2CNT66U002
Amount: $5,000
Source: ORD/NERL
2. EPM Appropriation (686/70108): DCN: PJ0008
Account No.: 2BJP20AOOO
Amount: $10,000
Source: OPPTS
These resources will fund a work assignment to provide support for a workshop on post-
application exposure monitoring guidelines for pesticides and consumer use products in residential
environments. This workshop will be co-sponsored by OPPTS and ORD and will be chaired by a
representative from OPPTS. The workshop is intended to provide a basis for the development of
these guidelines.
4-55
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Exhibit 4-17 (continued)
A meeting of representatives from OPPTS and ORD (NERL) was held in March 1996, to
plan the workshop. The proposed agenda for the workshop, developed at the meeting, covers
three major issues related to the development of the exposure monitoring guidelines:
Structure and content of and the expected user community for the proposed
residential exposure monitoring guidelines;
The sources of information available for the development of residential exposure
monitoring guidelines; and
Research needed to fill critical gaps in the information available for the development
of residential exposure monitoring guidelines.
Two thirds of those attending will be from the regulatory community (EPA regions, state
governments, industry, etc.), and one third will come from the research community (EPA labs,
universities, etc.).
Since two thirds of the agenda at the workshop will cover the development of a regulatory
tool (the guidelines) and the two thirds of the attendees will come from the regulatory community,
it is expected that two thirds of the contractor's efforts will be spent on this portion of the
workshop. Therefore, the main portion of funding (67%) should come from the Environmental
Program Management (EPM) appropriation. One third of the contractor's efforts is expected to
be spent on the development of research proposals that will assist ORD in designing its human
exposure research program. Therefore, a portion of the funding (33%) should come from the
S&T appropriation.
Please indicate your approval of this rationale by signing in the space provided and
returning this memorandum to me at MD-75 or by fax to 919-541-8888. A copy of the statement
of work is attached. If you have any questions, please call me at 919-541-8999. Thank you.
Concur:
Funds Certifying Officer Date
Concur:
Director, Laboratory Division Date
Concur:
Director, National Exposure Research Date
Laboratory
4-56
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Approved:
Director, Financial Management Division Date
4-57
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(9) Intra-agency Funding
An intra-agency funding agreement-in (lAF-in) is an agreement between an ORD
organization and a non-ORD Program Office or Region, in which the non-ORD
office obligates funds to use on an ORD extramural vehicle. An lAF-out is the
opposite arrangement, where an ORD organization obtains funds to use on an
extramural vehicle managed by another EPA office.
For laboratories and centers, if the IAF has been previously identified under an
approved IAF Plan, or if the individual IAF action is under $100,000, the IAF may
be initiated upon approval of the responsible Laboratory or Center Director, the
Extramural Management Specialist (EMS) and the Funds Certifying Officer
(FCO). For headquarters offices, planned lAFs may be approved by the Office
Director, but unplanned lAFs under $100,000 also require approval by the
Director, Office of Resources Management and Administration (ORMA).
Unplanned lAFs $100,000 or over require approval by the Senior Resource
Official (SRO).
Note that the preferred alternative to an lAF-in is for the other EPA organization
to reprogram funds to ORD. The IAF justification must explain why
reprogramming is not feasible.
lAFs can only be used to fund projects in line with the missions of ORD and the
other EPA office ORD must have the capability to manage lAF-in resources
effectively; also, lAF-ins may not be used for infrastructure overhead support.
lAFs may not be used to circumvent competitive procurement procedures by
"contract shopping".
Note that occasionally an IAF will involve the use of multiple appropriations on a
work assignment. Where direct charging of the individual appropriations is not
feasible, FMD approval must be obtained on the allocation method.
A further discussion of intra-agency funding, including a sample approval form, is
presented in Module 8.
(10) Use of Government-Furnished Property (GFP)
Occasionally there are circumstances in which it is in the Government's best
interests to provide Government property to the Contractor or to permit the
Contractor to acquire property at Government expense. The Contracting Officer
authorizes the Contractor's use of GFP based on a written Justification of Need
(JON) provided by the Project Officer. Generally, the WAM prepares this
justification.
Chapter 5 of the EPA Contracts Management Manual lists the seven items of
information required in the justification. This includes:
Specific program or project for which the property is required.
Type, quantity, and estimated cost (including transportation and installation) of
each item of property required.
Reason(s) the property is necessary for contract performance.
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Reason(s) why it is in the interest of the Government to provide the property
rather than require the Contractor to acquire the property at no direct cost to
the contract.
Location of the Contractor's facility at which the property will be used, and the
identification of Contractor personnel responsible for the acquisition and
management of the property.
Certification that no in-house excess property is available if property is to be
acquired by the Contractor at Government expense (concurrence of local
property office is required)
Lease vs. purchase analysis of the equipment is to be acquired by the
Contractor at Government expense.
Note that a JON must be provided both in cases where the Government provides
equipment to the Contractor, or the Contractor acquires equipment for use in the
contract. Also, currently a JON is required only for personal property with an
acquisition cost of $1,000 or more. Where several items of equipment constitute a
system, this level applies to the system, not each item.
Note also that the Agency is now restricting the provision of most types of GFP to
Contractors, based on the view that the Contractor should be providing more of its
own equipment to the contract, at no direct cost to the contract. However, under
an allowable deviation to the FAR, ORD laboratories will continue to be able to
provide most types of equipment for scientific and technical services to on-site
contractors. Also, the Government will be able to provide existing GFP on
existing, new or follow-on contracts.
Questions have arisen as to whether a JON is required in cases where the
Government and the Contractor are sharing GFP. Although specific guidance has
not been provided by OAM on this point, the procedure currently followed is to
prepare a JON and require the Contractor to track the property, if the Contractor's
use of the property is expected to be 51 percent or greater.
In addition, the ORD Senior Information Resource Management Official (SERMO)
must approve all ADP GFE - both Government provided and Contractor acquired.
Exhibit 4-18 illustrates a Justification of Need.
(11) OPPE Approval for Public Surveys
If the work assignment involves a public survey often or more individuals, review
and approval of the survey instrument by the Office of Policy Planning and
Evaluation (OPPE) is required. (Note: The Office of Management and Budget
(OMB) has the ultimate responsibility, under the Paperwork Reduction Act, for
approving such surveys. OPPE performs an internal EPA review of all requests
for such surveys before the requests are submitted to OMB. Requests should be
submitted to the Office of Regulatory Management and Evaluation, OPPE. Also,
note that if the work assignment involves tasks other than the public survey, the
work assignment may be able to be issued before OPPE/OMB approval is
obtained. However, WAMs undertaking projects involving public surveys should
properly plan for a potentially lengthy approval time in the work assignment
schedule.)
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Exhibit 4-18
EXAMPLE OF 7-POINT JUSTIFICATION FOR GFP
MEMORANDUM
SUBJECT: Justification for Government Purchase and Provision of an Electrochemical
Detector for Contractor Use, Contract No. 68-D1-0998
FROM: Z.Morgan, Project Officer (MD-71)
Division/Laboratory
TO: T. Brown, Contracting Officer (MD-33)
THROUGH: Property Management Office (MD-36)
DATE: Feb. 2, 1995
The Developmental Physiology Section is engaged in research designed to improve methods
of extrapolation of developmental toxicity data. The Section is currently developing such models
for the developmental toxicity of methanol, a proposed alternative fuel. We have already
demonstrated that methanol causes cleft palate and exencephaly (a brain malformation) in mice.
The research support Contractor will be responsible for performing chemical analyses to quantify
amounts of methanol and metabolites in maternal and embryonic tissues.
The data derived from these analyses will be essential in the development of a biologically
rational model of the developmental toxicity of methanol.
The following paragraphs present a justification for the provision of Government-furnished
equipment to the Contractor for Technical Directive (TD) 3.8.2 of Contract No. 68-D1-0998.
1. This equipment will be used by ABC Corporation personnel providing technical support to
the Developmental Physiology Section, Perinatal Toxicology Branch, Developmental
Toxicology Division, under Task 233 AF ("Analytical Chemistry Support for
Developmental Toxicology") under DU/ORDIS #A101DD7601, T.D. 3.8.2. The
equipment should be purchased under Task 128: Subtask B (MIS subtask for R&D
purchases in the Developmental Toxicology Division).
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Exhibit 4-18 (continued)
2. Type, quantity and estimated cost of equipment:
ITEM QUANTITY TOTAL COST
1. 55-0150CoulochemII
with Accessory Kit (115V) 1 $8,350.00
2. 70-0502 Model 5014
Hi-Performance Analytical Cell 1 $ 0.00
3. 55-0450 Model 5021
Conditioning Cell 1 $ 635.00
4. 70-0165 Installation,
Model 5200 1 $ 495.00
3. This equipment is required by the Contractor to perform the activities in the above
referenced Technical Directive. The equipment allows for the detection of metabolites of
methanol following HPLC separation. Its use will enhance the quality and quantity of the
product produced by the Contractor.
4. It is the Government's best interest to provide this equipment to the Contractor rather than
to require the Contractor to provide the equipment at no direct cost to the Government.
First, since all the Contractor staff who would use the equipment are on-site, and since
necessary related equipment is on-site, the proposed equipment must be used at the EPA
facility. It is contrary to our policy to allow a Contractor to use its own research
equipment for an on-site task. Second, the proposed equipment is special purpose
equipment intended specifically for use in supporting the research program of the
Developmental Toxicology Division. Besides use on this contract, no other component of
the Contractor could benefit from using this equipment. Since the proposed equipment
benefits only the research program at the lab, it would be inappropriate for the Contractor
to purchase the equipment as an overhead expense and thus charge other contracts a
proportionate share of the cost
It is in the best interest for the Government to purchase the equipment and provide it to
the Contractor rather than have the Contractor acquire it and charge it as a direct expense.
The reason is that the GSA price available to the Government (GSA Contract #GSF-OOF-
6820) is less than the cost of the equipment (including Contractor G&A and fee) if
acquired and billed by the Contractor.
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Exhibit 4-18 (continued)
5. This equipment will be used in the EPA DBF building, in laboratory room M-97S. The
Contractor will use the equipment under the technical direction of Dr. L. Green, Technical
Project Monitor.
6. This equipment is not currently available from EPA excess stock.
Certification of Property Management Officer:
7. Since the equipment is to be purchased by the Government and provided to the Contractor
rather than being acquired by the Contractor at Government expense, a lease-purchase
analysis is not required.
Concur: Date:
Director, Laboratory
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(12) Justification and Approval for Sensitive and/or Vulnerable Services
If the work assignment contains sensitive and/or vulnerable services and approval
was not obtained earlier for the overall contract, the WAM must ensure that the
appropriate request is prepared and approved before the Work Assignment
Package is submitted.
As indicated in Module 3, the justification of sensitive and/or vulnerable services
must be approved by the ORD Senior Resource Official if the value of the services
is greater than $25,000. If the value is at least $5 million, but less than $25 million,
justification must be concurred in by the SRO and approved by the Director,
OAM. Projects $25 million or above require the approval of the Deputy Assistant
Administrator, OARM. Note that the dollar threshold only applies to those
services which are considered sensitive and/or vulnerable, not the total value of the
contract.
EPA Order 1900.2 and Chapter 2 of the Contracts Management Manual define
sensitive and vulnerable services The request for sensitive and/or vulnerable
services must be accompanied by a copy of the statement of work and a
description of the management controls to ensure that key areas of vulnerability are
avoided. Control measures may include safeguards against conflicts of interest,
personal services, performance of personal services or inherently Governmental
functions, access to CBI, special ADP requirements, or similar measures.
(Note: In the revised Chapter 2 of the CMM, the required justification for
"Advisory and Assistance Services" (AAS) has been deleted. OFPP Policy Letter
93-1 rescinded OMB Circular A-120, which defined AAS and specified required
management controls for such services. Agencies are now able to define the
particular services (eg., sensitive and vulnerable) for which management controls
are to be provided.)
2. Assembling the Work Assignment Package for Submission to the Contracting
Officer
The Project Officer has the responsibility for ensuring that the Work Assignment
Package is complete and submitting it to the Contracting Officer. As indicated earlier,
it is essential that all required forms and documents, including required justifications
and approvals, be included in the package sent to the Contracting Officer.
The internal flow for preparation and review of the Work Assignment Package will vary
by laboratory and office. Exhibit 4-19 indicates a potential flow. In this example, the
WAM prepares the majority of forms and documents in the package and obtains
approval from laboratory, center or office management before submitting the package
to the Project Officer. In some ORD organizations, the WAM*s supervisor or other
management person may review only the Statement of Work and Procurement Request.
Also, in some cases, the Project Officer prepares many of the documents that
accompany the Statement of Work.
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Exhibit 4-19
DOCUMENT FLOW
WORK ASSIGNMENT PACKAGE
WAM prepares
SOW, cost estimate,
and other elements
of WA package
i
Copy to
Contractor
Branch Chief
reviews and
approves
WA package
I
Project Officer
reviews, edits,
approves, and assembles
complete WA package
I
Contracting Officer
reviews WA package
and issues
Work Assignment
( Copy to
I Project Officer
I Copy to
WAM
-------
Close coordination between the WAM, the WAM's supervisor and the Project Officer is
critical to smooth processing of the work assignment. The WAM is encouraged to
actively solicit the support of the Project Officer and other laboratory/center/office
personnel in preparing the various elements of the work assignment package.
Before forwarding the work assignment package for review, the WAM should make a
final check of the contents. The Work Assignment Review Checklist shown in Exhibit
4-20 can serve as a guide. The objective of the review is to ensure that all required
documents are included in the package and that the work assignment is not subject to
contracting improprieties and vulnerabilities.
(Note: CMD-Cincinnati, has developed a similar Work Assignment Review Checklist
and requires that it be submitted to the Contracting Office with the other documents in
the Work Assignment Package. The content of this checklist is similar to the content of
the checklist presented in Exhibit 4-20. CMD-Cincinnati also requires submission of a
CBI Review form. CMD-RTP does not require these forms. The WAM and PO
should check with their Contracting Office to determine any specific submission
requirements for the Work Assignment Package.)
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Exhibit 4-20
WORK ASSIGNMENT PACKAGE
REVIEW CHECKLIST
Contract Number: Contractor:
Work Assignment Number: Work Assignment Title:.
Required Submissions
1. Is the independent Government cost estimate (with supporting worksheets) ( )
attached?
2. Is a Work Assignment Manager Appointment Form (EPA 1900-65A) attached? ( )
If proposed WAM has not completed training requirements, is approval ( )
of request for training deferment attached?
3. Are additional funds required to support the work assignment? ( )
If yes, attach Procurement Request (EPA 1900-8), identifying
funding and relevant appropriation(s) by work assignment.
4. Is the work assignment funded by multiple appropriations/split funding? ( )
If yes, attach FMD approval for allocation methodology of multiple appropriations.
5. Are funds being provided by a non-ORD Program Office or Region to fund a ( )
work assignment on an ORD contract?
If yes, attach Intra- Agency Funding approval form.*
6. Does the work assignment involve ADP products or services? ( )
Is the ADP product the basic output of the work assignment? ( )
Is the ADP product incidental to a non-ADP product and is it expected to be used
again in other projects? If either case applies, attach OIRM approval if not
obtained at contract award.
7. Does the work assignment involve a public survey of 10 or more individuals? ( )
If yes, attach OPPE approval.
8. Will the work assignment require the use of Government-furnished property ( )
(either provided by the Government or acquired by the Contractor)?
If yes, attach Justification of Need.
Will the work assignment require ADP GFE? If yes, attach ORD SIRMO ( )
approval.
9. Does the project exceed the simplified acquisition threshold? ( )
If yes, attach a Quality Assurance Review (QAR) form, signed
by the WAM and the QA Manager.**
10. Does the work assignment invplve sensitive or vulnerable services? ( )
If yes, attach copy of justification and approval if not obtained at contract award.
* IAF approval must be obtained before Work Assignment Package is submitted to the Contracting Office.
However, the IAF approval form and justification do not have to be submitted to the Contracting Office; this
is an internal ORD requirement only.
** This is an internal requirement established by certain ORD laboratories and centers. It is not currently an
Agency-wide requirement.
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Exhibit 4-20 (continued)
Potential Contracting Improprieties and Vulnerabilities
If the answer is "yes", discuss problem with Project Officer
1. Has anyone instructed the Contractor to begin work on the ( )
work assignment?
2. Has the Contractor provided assistance in preparing the ( )
Statement of Work?
3. Has the Contractor been directed to use specific employees, ( )
subcontractors or consultants?
4. Are there any other instances which could create the appearance ( )
of personal services?
5. Does the work assignment contemplate inherently governmental ( )
functions?
If services are in the sensitive or vulnerable categories, has ( )
approval been obtained from the SRO? (Will usually be
obtained for the overall contract.)
6. Does the work assignment include any actual or potential ( )
conflict of interest?
7. To the best of your knowledge, does work to be performed under the work ( )
assignment duplicate any previous or current work under an EPA contract?
8. Does the work assignment require printing or copying exceeding the ( )
contract limitations?
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MODULE 5: ESTABLISHING AND MAINTAINING PROJECT FILES
A. INTRODUCTION
The maintenance of complete and accurate project files is essential to managing a work assignment
successfully. This module elaborates on the major reasons for maintaining complete project
files, describes the major categories of documents that the WAM should maintain, and lists the
individual items within each, category. Potential file plans and a checklist for evaluating
existing files are presented as models which a WAM could adapt to his or her recprdkeeping needs.
The module concludes with a discussion of the appropriate retention and disposition of project
records.
B. OBJECTIVES
At the completion of this Module, you will be able to:
Explain why complete records of a work assignment are important.
Identify records which should be maintained by the WAM.
Describe and select a filing plan for maintaining those records.
Describe the appropriate retention and disposition of work assignment records.
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C. IMPORTANCE OF MAINTAINING WORK ASSIGNMENT RECORDS
Complete and accurate records enable the WAM to meet several important objectives. These
include:
Effectively monitoring the technical and financial progress on the work assignment
Responding to inquiries from within and outside of EPA concerning the work assignment
Complying with Federal and Agency recordkeeping requirements
Providing an audit trail of the work assignment
1. Effectively Monitoring Progress on the Work Assignment
Effective technical and financial monitoring requires detailed documentation of:
The Government's requirements involving objectives, tasks, deliverables, and schedules
The Government's cost estimate for accomplishing the work
The Contractor's plan for performing the work
~ The actual activities and products of the Contractor
The actual expenditures incurred on the project
Issues and problem areas arising on the project and efforts to resolve them
Complete project documentation, especially the work assignment and all amendments,
technical directives, work plans, progress reports, all draft and final deliverables and
memoranda on key issues, is essential to effectively track the technical and financial
status of the work assignment.
2. Responding to Inquiries Concerning the Work Assignment
Inquiries concerning the project may come from within and outside of EPA.
Sources within the program office including the Project Officer, the WAM*s supervisor,
office's program operations staffer Extramural Management Specialist (EMS); as well as
senior management, such as Office Director, and the Senior Resource Official (SRO).
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Sources outside of EPA, including:
- The Contracting Officer, other parts of the Office of Acquisition Management (OAM),
the Office of the Administrator (eg.. Freedom of Information Act (FOIA) unit), the
Office of Inspector General (OIG), the Office of General Counsel (OGC), and the
Financial Management Center - Research Triangle Park (FMC-RTP)
Organizations outside the Agency, such as the General Accounting Office, the Office
of Management and Budget, or the Congress
In order to respond in an accurate and timely manner, the WAM needs to have complete records
which:
Document the work assignment's requirements, the Contractor's progress, and the
Government's oversight of the project
Are organized in a manner which makes retrieval of specific information rapid and easy
The Contracting Officer and Project Officer are ultimately responsible for the accuracy and
completeness of the contract files However, in practice, the Contracting Officer
delegates much of this function to the Project Officer, and the Project Officer delegates
some of this activity to the WAM. For example, to avoid duplication, the WAM may be the
holder of all draft and final deliverables and miscellaneous memoranda, while both the WAM
and the Project Officer typically maintain copies of the work assignment, work plans,
progress reports, invoices and technical directives. Inquiries from the organizations
listed above usually come to the Project Officer, who in turn may call upon the WAM to supply
the necessary information. Thus, the WAM must maintain the necessary records to assist the
Project Officer in responding to the range of inquiries.
3. Complying with Federal and Agency Recordkeeping Requirements
Documents created or acquired in the conduct of Government business are considered official
Agency records. Such documents
Become the property of the U.S. Government
Provide a legal and historical record of the functions, accomplishments, and decisions
ofthe Agency
Records of contracts and individual work assignments are considered official Agency
records. As such, they should not be haphazardly stored and then casually discarded.
Guidance for maintaining and disposing of Agency records can be found in the following
publications;
EPA Records Management Manual (EPA 2160)
IRM Policy Manual, Chapter 10 (EPA 2100)
Using the Federal Records Center - A Guide for Headquarters Staff
Managing Electronic Records
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EPA Records Control Schedules
The EPA Records Management Manual, published in 1984, describes Agency policy and
guidelines for organizing and maintaining paper and electronic media files.
The IBM Policy Manual, Chapter JO, revised in 1996, presents the most current Agency policy,
definitions and overall responsibilities for records management.
The third document, revised in 1995, provides more current guidance than the Records
Management Manual for EPA headquarters staff for labeling and packing records for shipment
to the Federal Records Center (FRC).
The fourth document, published in 1990 by the National Archives and Records Administration,
provides guidance to Federal Agencies in maintaining electronic records.
The EPA Records Control Schedules, published in 1985, are currently under revision. The
original schedules provided retention and disposition of contract management records by EPA
program office. Also, there were separate schedules for these records for headquarters
offices and laboratories. The new schedules will address retention and disposition of
contract (and other extramural management) records on an Agency-wide basis.
Retention and disposition of work assignment files is discussed in more detail at the end of
the module.
4. Providing an Audit Trail
Contracts and individual work assignments can be audited on a scheduled or unscheduled basis
by OAM, the OIG, the GAO, or other organizations. Occasionally more than one audit may be
performed in the course of a work assignment.
From the beginning of the work assignment, the WAM's records on the project should provide
an adequate audit trail to document:
The Government's requirements (as reflected by the work assignment, amendments and
technical direction)
The Contractor's plan and performance (as reflected by the work plan, progress reports
and deliverables)
The Government's oversight of the work assignment (as reflected by comments on
deliverables, records of approvals, and other memoranda)
An audit trail is particularly important when there are cost or performance issues
associated with the work assignment. For example, there may be a question of whether the
Contractor exceeded the scope of the work assignment. A good audit trail can assist in
addressing this issue by matching what work the Contractor did against what was requested.
Also, by documenting all technical direction and reviewing Contractor reports against that
direction, the WAM can identify and avoid instances of unauthorized procurement actions
(described in more detail in Module 7).
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D. TYPES OF RECORDS THAT SHOULD BE MAINTAINED
The types of records that the WAM should maintain may be grouped into five categories:
Planning records
Performance records
Deliverables
Miscellaneous correspondence
Administrative records
There is naturally some overlap in these categories. For example, Technical Direction may be
considered a planning record, since it helps definitize the requirements for a work assignment,
or correspondence, because it transmits important written guidance to the Contractor.
1. Planning Records
These include records which document the requirements of and management responsibilities
for the work assignment. These records describe the specification of the work (including
changes) to be performed by the Contractor, and the basis for these specifications. They
include the following:
Statement of work and related information such as Contractor reporting requirements for
the overall contract
Quality Assurance Program Plan for the overall contract (if applicable)
Work assignment package, which includes the following for the work assignment:
Statement of work
Independent Government cost estimate for the work assignment, and associated work
sheets
- Standard Work Assignment form (cover sheet)
- Procurement Request (PR) (EPA Form 1900-8)
- Work Assignment Manager Appointment form (EPA Form 1900-65A)
- Training Deferment Request (as needed)
- OIRM request and approval for ADP services (as needed)
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- FMD request and approval (for use of multiple appropriations)
- OPPE request and approval (if public survey is involved)
Quality Assurance Review form (if the work assignment exceeds the small purchase
threshold)
- Justification of Need (JON) for GFP (as needed)
- Intra-agency funding request and approval (as needed)
- Justification and approval of Sensitive and/or Vulnerable Services (as needed, if
not provided at contract award)
- Non-duplication of effort statement (required by some Contracting Offices -
indicates that the work assignment does not duplicate other work)
Quality Assurance requirements for the work assignment, as applicable (e.g.. Quality
Assurance Project Plan (QAPP), Quality Assurance/Quality Control reports)
Contractor's workplan (initial/revised) and the Government's notice of approval
Amendments to the work assignment
Technical direction
2. Performance Records
These include records which document the Contractor's technical and financial performance
on the work assignment. These include:
Monthly combined technical/financial progress reports
Contractor invoices - "Public Voucher for Purchases and Services other than Personal,"
and "Public Voucher, Continuation Sheet" (SF 1034 and SF 103S)
Government reviews of invoices, using checklists or other documentation
Special technical or financial reports prepared by the Contractor as appropriate, e.g..
detailed labor distribution or report of other direct costs
Financial tracking reports produced from automated or manual systems, e.g..
spreadsheets showing expenditures vs. budget, or payments vs. appropriations
Forecast of carryover funds
Performance Event Reports (EPA Form 1900-4IB or equivalent) for CPAF contracts
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Other locally generated forms or reports which the WAM uses to provide input to the
Project Officer and Contracting Officer concerning the Contractor's technical and cost
performance
Inventory (list and description) of GFP
As discussed in Modules 7 and 8, several of the above records are used together in monitoring
the Contractor's performance. For example, careful review of the combined
technical/financial progress reports, together with invoices and other special reports, can
assist the WAM in identifying inappropriate charges, the need for amendments and potential
cost overruns. Reports from several months are often needed for this purpose. An
up-to-date and well organized file system ensures that these records are easily obtained
when needed.
3. Deliverables
The WAM's files should include:
Draft(s) and final versions of each deliverable submitted to the Government
Government review comments on the deliverable (presented either in separate memoranda
or in "marked-up" drafts)
Any evaluation form(s) used in the review
If the work assignment calls for draft and final versions of a deliverable, it is essential
that both versions be retained. There is the natural tendency to discard the draft, but this
is an item which an auditor will often ask for. Also, the retention of marked-up draft
deliverables serves to document the actual exercise of contract oversight by EPA.
On some work assignments, deliverables are prepared for a "user" in the laboratory or office
other than the WAM. In such cases, a Contractor might submit the deliverable to the end
user, and not to the WAM, while noting the submittal in the monthly progress report. It is
essential, however, that the WAM receive and maintain copies of all deliverables.
When the WAM is coordinating a peer review of a deliverable, his/her files should indicate
that the WAM arranged for the review and consolidated and reconciled the responses.
In cases where deliverables are other than written documents (e.g.. tissue samples), which
are not easily maintained, evidence of receipt of the deliverable can ie maintained through
transmittal memoranda or notations in the monthly progress reports.
Questions have been raised on whether copies of deliverables must routinely be sent to the
Contracting Officer. There is no universal Agency or ORD requirement for this, although
some contracts may specify that the Contractor do this. Also, some contracts may require
the Contractor to send a copy of a final report to the EPA library; however, this is not a
common requirement. A recent requirement is for the Contractor to submit an abstract of
each initial draft and final technical report to the Information Resources Management
Division - Cincinnati, with a copy to the PO. This is intended to support an Agency-wide
base on Contractor deliverables.
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4. Miscellaneous Correspondence
Correspondence includes work assignment related:
Letters
Records of meetings and telephone discussions
Memoranda for the record
Technical Direction (This may also be considered part of Planning Records or
Performance Records)
Communication records maintained in these files may be:
Between the WAM or the Project Officer and the Contractor
Between the WAM and the Project Officer, Contracting Officer, and other Government
personnel within and outside of EPA
5. Administrative Records
This includes documents which do not pertain to an individual work assignment, but apply to
the contract management responsibilities of the WAM. Examples of these records are:
Confidential Financial Disclosure Statement (SF-450)
Procurement Official Certificate of Integrity
Pertinent program/Agency regulations, orders or memoranda, such as EPA Order 1901.1A on
Personal Services or EPA Order 1900.2 on Inherently Governmental Functions, various EPA
Ethics advisories, or the program policy on intra-agency funding.
Program or Agency reports on contract management, such as the OIG survey and audit
reports.
Contract Management Plan for the overall contract, including associated management
controls for addressing potential vulnerabilities. (This is required at the pre-award
stage for procurements of $15 million or above.)
comrois lor addressing poiemiai vumeraoiiuies.
stage for procurements of $15 million or above.)
Note that the Financial Disclosure Statement is typically maintained by the Deputy Ethics
Official (the Laboratory, Center or Office Director, or, if delegated, the Division
Director). The WAM may wish to retain a copy for his/her records.
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E. SELECTING A FILING SYSTEM
There is no single preferred system for filing work assignment records. The effectiveness of a
system depends less on its specific categories than on dedication of the person maintaining it. A
filing system is easiest to use if its categories are logical and meet the needs of its user. The
previous sections discussed the types of documents which the WAM should maintain. Two
alternative filing plans are presented at the end of the Module in Exhibits 5-1 and 5-2. The plan
chosen by the WAM should meet the documentation needs of the work assignment, but should also fit
the personal organizational approach of the WAM.
Following the sample file plans is a checklist (Exhibit 5-3) that the WAM can use to evaluate his
or her files.
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F. RETAINING PROJECT RECORDS
1. Responsibility for Maintaining Records
As indicated earlier, the Contracting Officer has the ultimate responsibility for
maintaining contract records. He or she may delegate the responsibility for some records to
the Project Officer. The Project Officer may, in turn, delegate responsibility for
maintaining certain records to the Work Assignment Manager.
Close coordination between the Project Officer and the WAM is necessary to ensure that all
appropriate records are maintained.
Upon completion of the work assignment, the WAM should coordinate with the Project Officer
for storage of the files, i e.. where the files should be stored and who should maintain
them. Since the WAM may be reassigned, the files should be identified and remain with the
laboratory or office involved, rather than with an individual.
2. Length of Time Records Should be Maintained
The new records control schedules, currently under review, call for retention of contract
records for six years and three months after contract close-out. The schedules permit the
records to be stored either in the program office or the Federal Records Center during this
period; however, since the FRC requires a destruction date, the records may be retired to
the FRC only after contract close-out, or after a destruction date has been estimated.
Thus, records for a work assignment performed early in the life of a five-year ORD contract,
would need to be retained for over 11 years plus the time for contract close-out.
Contract records which are Superfund Site-Specific (i.e.. related to cost recovery) have a
longer retention period. Such records are to be kept, in the program office or the FRC, for
30 years from the expiration of the project.
The WAM and the Project Officer need to be able to access contract records quickly to respond
to inquiries and audits. While such records should be able to be retrieved easily from the
FRC or a central storage facility, it would be desirable to have the records close at hand.
Thus, it is recommended that the Project Officer, in conjunction with the WAM, maintain work
assignment records in a location near their office at least three years after completion of
the work assignments. Then the records may be moved to another storage location in the
building if desired.
The retention of deliverables under the proposed records control schedules is different.
Programmatic or mission-related deliverables (final versions) are to be retained (either in
the program office or at the FRC) for 20 years after the end of the project and then
transferred to the National Archives for permanent retention. Non-programmatic or
administrative deliverables are to be retained for seven years and then may be destroyed.
Consistent with the guidance for other contract records, deliverables should be kept in the
office by the WAM or Project Officer for three years and then retired to the FRC.
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The laboratory or office may choose to store the records on microfilm to save space. The EPA
Records Management Manual provides guidance on requesting micrographic conversion of paper
records. Also, electronic storage of contract records (in lieu of paper records) is
permissible. However, if this option is chosen, the WAM and Project Officer should
recognize the need to: (1) provide for the conversion of electronically stored records to
accommodate new hardware or software as required; (2) prevent unauthorized access to the
records. Also, the National Archives has very stringent requirements on the transfer of
electronically stored records. Since deliverables (final versions) are required to be
eventually transferred to the National Archives, deliverables should probably be maintained
in paper form.
Whatever method of storage is selected, it is important that the location of the files be
known and that the files be readily accessible.
Questions regarding records retention requirements or other records management issues
should be directed to the local Records Liaison Officer for office or the Agency Records
Officer, Office of Information Resources Management (OIRM).
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Exhibit 5-1
SAMPLE FILE PLAN A
1. Statement of work and related information such as Contractor reporting requirements for the
contract1
2. Quality Assurance Program Plan for the contract1
3. Work assignment package
Independent Government cost estimate and worksheets
Statement of Work
Standard Work Assignment Form
Work Assignment Manager Appointment Form (EPA 1900-65A)
Training Deferment Request and Approval
Procurement Request
OIRM request and approval (for ADP services)
OPPE review (if public survey is involved)
FMD approval (for use of multiple appropriations)
Quality Assurance Review form
Justification of Need for GFP
Intra-agency funding request and approval
Justification and approval for Sensitive and/or Vulnerable Services
Non-duplication of effort statement
4. Quality Assurance requirements for the work assignment
Quality Assurance Project Plan
Quality Assurance/Quality Control reports and audits
1 Although these items pertain to the overall contract, as opposed to an individual work assignment,
the WAM should retain these in his/her files. If the WAM manages multiple work assignments
under a given contract, these items might be kept in a separate file instead of the individual work
assignment file.
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Exhibit 5-1 (continued)
S. Contractor's workplan and the Government's notice of approval
6. Amendments to the work assignment
7 Technical direction documents
8. Combined Monthly Technical/Financial Progress Reports
9. Invoices and invoice reviews
10 Other special technical/financial reports
11. Financial tracking reports
12. Deliverables and related correspondence (approvals, rejections, comments)
Draft deliverables
Final deliverables
13. Inventory of GFP (list and description)
14. Correspondence
Letters
Records of meetings and telephone discussions
Memoranda for the record
15. Evaluations of Contractor performance
Performance Event Reports (EPA 1900 - 41B)
Other reports as required
16. Administrative information (applies to all work assignments)
Confidential Financial Disclosure Statement
Certificate of Procurement Integrity
Agency/program regulations/orders, directives, memoranda
Agency/program reports on contract management
Contract Management plan for the overall contract, including Management Controls
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Exhibit 5-2
SAMPLE FILE PLAN B
1.0 Planning Records
1.1 Statement of Work for
the Contract2
1.2 Quality Assurance Program
Plan for the Contract2
1.3 Work Assignment Package
1.4 Amendments
1.5 Quality Assurance/Quality
Control Requirements and
Reports
1.6 Contractor workplan (including
approval and revisions)
1.7 Technical Direction documents
2.0 Correspondence
2.1 Letters
2.2 Records of meetings and
telephone calls
2.3 Memos for record
3.0 Contractor Performance Records
3.1 Monthly technical/financial
progress reports
3.2 Monthly invoices
(SF 1034, SF 1035)
3.3 Invoice reviews (checklists or
other documentation)
3.4 Financial tracking reports
3.5 Performance Event Reports
(EPA Form 1900-41B)
3.6 Other evaluation forms
3.7 Deliverables (including
review comments and
evaluation forms)
3.8 Inventory of GFP
4.0 Administrative Records (for
contract management in
general)
4.1 Confidential Financial Disclosure
Statement
4.2 Procurement Integrity Certificate
4.3 Agency/program regulations, orders,
directives, memoranda
4.4 Agency/program reports on contract
management
4.5 Contract Management plan for the
contract, including Management
Controls
See Note' under File Plan A.
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Exhibit 5-3
CHECKLIST FOR EVALUATING WORK ASSIGNMENT FILES
1. Documents are grouped into logical categories
2. Documents are filed in labeled folders (in chronological order
within the folder)
3. Each work assignment file includes the following documents:
Statement of Work for Contract
Quality Assurance Program Plan for Contract (as needed)
Work assignment package
Statement of Work
Independent Government cost estimate
Work Assignment form
Procurement Request (EPA 1900-8) (as needed)
Work Assignment Manager Appointment (1900-65 A)
Training Deferment Request/Approval (as needed)
OIRM Request/Approval (for ADP services)
FMD Request/Approval (for multiple appropriations)
OPPE Request/Approval (for public survey)
Quality Assurance Review form (as needed)
Justification of Need for GFP (as needed)
Intra-agency funding request/approval (as needed)
Justification and approval for Sensitive and/or Vulnerable
Services (as needed)
Non-duplication of effort statement
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Exhibit 5-3 (continued)
Quality Assurance requirements and reports for the work
assignment
Contractor's workplan
Draft and revised
Approval
Amendments
Technical Direction documents
Monthly Technical/Financial Progress Reports
Invoices
Invoice reviews (checklists or other documentation)
Deliverables
Draft
Final
Government comments
Inventory of GFP
Evaluations (deliverable reviews, CPAF performance
event forms)
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MODULE 6: REVIEWING THE CONTRACTOR'S WORK PLAN
A. INTRODUCTION
This Module describes methods for reviewing the Contractor's work plan. Procedures for reviewing
the technical and cost portions of the work plan are discussed, along with approaches for
negotiating changes to the work plan.
B. OBJECTIVES
At the completion of this Module, you will be able to:
Identify the elements required in a Contractor work plan.
Describe methods for reviewing the technical portion of a Contractor work plan.
Describe methods for reviewing the cost portion of a Contractor work plan.
Review a work plan against a work assignment and identify discrepancies, needed changes and
potential vulnerabilities
Describe methods for resolving differences with the Contractor and implementing changes to
the work plan through negotiations.
Identify potential contracting improprieties and vulnerabilities related to reviewing the
work plan.
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C. ELEMENTS OF A CONTRACTOR'S WORK PLAN
All EPA contracts require a Contractor to submit a work plan in response to individual work
assignments. In addition, as indicated in Module 4, the requirement for a work plan should be
clearly stated in the work assignment.
The overall contract may not specify the particular content and format of a work plan other than
requiring a detailed technical and staffing plan and a detailed cost estimate. Additional
requirements, if any, would be described under the Reports clause of the contract (EPAAR
1552.210-70). If more detailed requirements are not provided, the WAM may indicate specific
contents in the work assignment.
To facilitate review and ensure a common understanding of the work assignment by EPA and the
Contractor, work plans should include the following elements:
Statement of project objectives
Detailed technical approach for accomplishing the work, including a list and description of
tasks/action steps
List and description of each deliverable
Schedule for overall project and for individual tasks/deliverables
Management and staffing plan ~ how the Contractor proposes to organize and staff the
project; responsibilities of various staff
Names of proposed personnel, including subcontractor staffer consultants
Anticipated problems, if any
Suggested changes to the work assignment requirements, if appropriate
Detailed cost proposal
Hours by professional staff level (PL)
Total direct labor costs
Other direct costs by line item (e.g.. travel, copying, subcontractor)
Indirect costs
- Fee
Total cost and fee
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Although resumes are typically not submitted, the WAM may require in the work assignment that the
Contractor submit resumes outlining the qualifications of staff to perform the work. This would
generally be done only on selected projects requiring very specialized skills. Other information
the WAM may require includes:
« Person loading chart, indicating estimated hours by staff category by task
Cost estimate by task
On delivery order contracts, the labor hours and a cost ceiling are usually included in the
delivery order, and a Contractor cost estimate is generally not required. However, the other
elements listed above apply for delivery order work plans as well.
It is important that work plans be submitted for every work assignment or delivery order. Where
laboratories use Technical Directives (TDs) in lieu of work assignments, work plans should be
submitted for each TD.
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D. METHODS FOR CONDUCTING THE REVIEW
1. Time Period Allowed for Review
Under EPAAR 1552.212-71, EPA contracts require that within a stated period of time after
receipt of a work plan, (e.g.. 30 calendar days), the Contracting Officer will provide
written approval or disapproval of the work plan to the Contractor. If the Contractor has
not received approval within a certain period (e.g.. 45 days) the Contractor is required to
stop work on the work assignment. Also, if the Contracting Officer disapproves a work plan,
the Contractor must stop work until the problem causing the disapproval is resolved. (Note:
In some contracts, the Contracting Officer has delegated the approval authority to the
Project Officer.)
The WAM can only recommend approval or disapproval of the work plan to the Project Officer.
Therefore, to allow sufficient time for notification of the Project Officer and Contracting
Officer, the WAM should complete his/her review within 15 calendar days. Failure to perform
the review and notify the contractor of the approval of the work plan within the stated
period of review constitutes a "constructive rejection." This means that the absence of
action by the WAM and Project Officer is construed as a rejection of the work plan (unless
otherwise specified in the contract).
Also, note that while most EPA contracts require the Contractor to start work immediately
upon receipt of a work assignment, some contracts do not allow the Contractor to begin work
(other than the planning associated with the work plan) until the work plan is submitted and
approved. This further demonstrates the need for timely review of the work plan by the WAM.
The WAM should discuss with the Project Officer the specific review and approval
requirements for the particular contract.
2. Items Included in Work Plan Review
The WAM should review the work plan to determine if the Contractor's understanding and
approach are consistent with the SOW of the work assignment. The technical portion of the
work plan and the cost proposal should be reviewed concurrently, since the two are
interrelated (e.g.. the Contractor's management and staffing plan is described in the
technical proposal, and the proposed hours by staff level are shown in the cost proposal).
Exhibit 6-1 presents a checklist for evaluating the Contractor's work plan. For
convenience, the checklist presents the review elements for the technical and cost
proposals separately.
The various items in the checklist are largely self explanatory. Regarding the use of
Government-furnished property, the WAM needs to ensure that a justification of need (JON)
has been prepared by EPA and submitted to the Contracting Officer. This, preferably, should
have been included as part of the Work Assignment
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Package. If it was not done at that time, the WAM should prepare the justification
(described in detail in Module 4) and submit it to the Project Officer. The Project Officer
will review the justification and forward it to the Contracting Officer. When the
justification is determined to be acceptable, the CO will issue a modification to the
contract authorizing the use of GFP by the Contractor. Until the modification has been
signed by the Contracting Officer, the WAM should not issue GFP to the Contractor.
3. Items of Special Importance to Review
In reviewing the work plan against the items in the checklist, several points are of special
importance.
(1) Look for additions, deletions or changes in the task descriptions, as well as any
renumbering of the tasks in the SOW. This is not necessarily a problem, as long as any
changes have been explained.
For example, the Contractor may reorder tasks outlined in the SOW to describe a more
logical flow of the work Or the Contractor may divide a task into two tasks in order
to describe the work more clearly. These changes are most probably acceptable. On the
other hand, the Contractor may propose adding a task which was not specified in the
SOW. This may be judged appropriate to accomplish the objective, or it may reflect an
activity which the Government does not wish to undertake at the time. All such cases
should be identified and analyzed.
(2) Note any additions or deletions to changes to the schedule of deliverables. If some
deliverables have been omitted, this should be flagged. If the schedule for completion
of certain deliverables differs from the dates in the SOW, assess whether the revised
schedule is reasonable.
(3) Determine whether the Contractor has presented a detailed technical approach to
accomplishing the work. A simple restatement of the SOW tasks is not acceptable.
Potential topics to include in a report, data bases to be reviewed, analytical methods
to be used, or similar details should be provided to provide a basis for ensuring a
consistent understanding of the requirements by the Contractor and EPA.
(4) Compare the hours proposed with the Government estimate. If the total hours vary by
more than a given amount (eg.. 10-15 percent)'from the Government estimate, this may
be an indicator that the effort is insufficient (if low) or greater than the work
assignment budget can support.
(5) Compare the Contractor's total estimated cost with the Government's cost estimate. If
the Contractor's cost exceeds the Government estimate, the scope of work, technical
approach or staffing plan may need to be adjusted.
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(6) Analyze the Contractor's proposed travel and training costs, if any. Contractor
training costs are of particular concern to the Agency. As indicated in a February 28,
1992 memorandum from the Assistant Administrator, OARM, and in a May 27, 1994
memorandum from the Director, OAM, the Government should not be paying to train
Contractor staff to provide the basic services called for in the contract. Only
training associated with using a new method or piece of equipment or a similar purpose
may be justified. This issue was emphasized in the Acquisition Management Improvement
Reviews.
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Exhibit 6-1
CHECKLIST FOR EVALUATING CONTRACTOR WORK PLANS
TECHNICAL PROPOSAL
1. Does the Work Plan contain the following elements?:
Statement of objectives ( )
List and description of tasks ( )
List and description of deliverables ( )
Schedule for overall project and deliverables ( )
Management and staffing plan ( )
List of proposed personnel and their labor categories ( )
and roles
2 Does the Contractor demonstrate a complete ( )
understanding of the requirements?
3. Is the approach to the work assignment reasonable and specific? ( )
Does the approach demonstrate a state-of-the-art
understanding of the work? ( )
4. Does the list of tasks and deliverables differ from the SOW? ( )
Do these differences appear justified? ( )
5. Does the proposed schedule differ from the WA SOW? ( )
Is the proposed schedule reasonable? ( )
6. Is the staffing plan reasonable in terms of qualifications ( )
and distribution of responsibilities?
7. Is the planned use of subcontractors reasonable (level of ( )
subcontracting, control by the prime)?
8. If GFP is proposed, has a Justification of Need been prepared by EPA? ( )
9. Has the Contractor identified any issues which need to be resolved? ( )
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Exhibit 6-1 (continued)
COST PROPOSAL
1. Does the Cost Proposal contain the following elements?
Labor hours by staff level ( )
Total labor costs ( )
Breakdown of other direct costs ( )
Total estimated costs and fee ( )
2. Do the estimated hours vary by more than 10 percent ( )
from the Government estimate?
Does the difference appear justified? ( )
3. Is the labor mix appropriate for the work? Is the ( )
mix of senior and junior staff appropriate?
4. Is the total cost per professional/technical labor hour ( )
reasonable?
5. Are other direct costs (ODCs) reasonable?
Is proposed travel reasonable? ( )
Are proposed training costs reasonable? ( )
Are other ODC elements reasonable? ( )
Are total ODCs reasonable? ( )
6. Does the total estimated cost exceed the independent ( )
Government cost estimate?
Does the increase appear justified? ( )
7. Have proposed subcontractors or consultants received CO ( )
approval?
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E. NEGOTIATING CHANGES TO THE WORK PLAN1
Based on the review of the Contractor's work plan, the WAM should recommend to the Project Officer
one of three actions
To accept the work plan as presented
To negotiate changes to the work plan with the Contractor
To amend the statement of work for the work assignment. This may involve adding or deleting
tasks or deliverables, changing the period of performance, or changing the labor hour
estimate.
The third action, amending the SOW of the work assignment, frequently is done in conjunction with
negotiations with the Contractor.
1. Negotiating with the Contractor
It is very important for the WAM to realize that Contractor work plans can be negotiated, and
that the WAM can play a major role in such negotiations. The WAM does not have to accept the
work plan as submitted. Examples of reasons for rejecting (or requiring clarification) of a
work plan include:
The work plan lacks sufficient detail in the technical approach
The labor distribution is believed to be inappropriate
The total hours and costs exceed the Government cost estimate.
In such cases, the WAM should promptly notify the Project Officer of his/her concerns
preferably in writing. An example of such a communication is:
"I have reviewed the Contractor's work plan and believe certain changes should be made to
make it acceptable*
The Contractor did not list 2 of the 7 deliverables called for in the SOW.
1 The term "negotiate" is used here in the broad sense to describe the total process of reaching
agreement with the Contractor on changes to the work plan (technical or cost). In most cases, this is
done through discussions between the Project Officer and WAM and the Contractor. In certain
instances, the Contracting Officer may get involved in the process, e.g.. where the Government and
the Contractor cannot agree on the cost. In such cases, the CO may formally "negotiate" the
differences with the Contractor. However, as used here, negotiation refers to the total process.
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The Contractor did not specify both draft and final versions of deliverables, as called
for in the SOW.
The total estimated cost exceeds the Government's estimate by 20 percent. While the
hours are approximately the same, the staffing plan appears to rely too heavily on P-4
people, leading to the increase in cost.
The WAM should meet with the Project Officer to discuss discrepancies or questions in the
work plan and determine the issues for negotiation with the Contractor. The Project Officer
in his/her review of the work plan may also have raised questions or identified potential
changes.
The actual negotiations may be done in person or by phone. The WAM may handle the
negotiations alone, if agreed to by the Project Officer. However, it is preferable that the
Project Officer participate, especially if the negotiations involve potential changes to
the total labor hours, labor distribution or costs, or sensitive issues such as allowable
contractor training costs.
In conducting the negotiations, it is important to recognize that there are several items
that the WAM cannot negotiate. These are:
The WAM cannot direct the Contractor to use a particular staff member.
The WAM cannot direct the Contractor to use a particular subcontractor or consultant.
The WAM cannot direct the Contractor how to perform the work in terms of specifying the
exact division of Contractor staff responsibilities.
The above direction would constitute or give the appearance of a personal services
arrangement.
However, the WAM can request and review resumes of proposed staff for the work assignment,
and can reject staff which do not appear to have the necessary qualifications. In such
cases, the WAM should preferably have listed the desired qualifications in the work
assignment, as described in Module 4.
If the Project Officer and the WAM and the Contractor cannot resolve differences in the
project cost or other issues, the Contracting Officer should be contacted. In such cases,
the CO may formally negotiate the differences with the Contractor. This should be
infrequent.
There may, on occasion, be other issues that may require the involvement of the Contracting
Officer. Examples include:
Use of subcontractors or consultants which have not been approved under the contract.
Use of a subcontractor which causes the approved ceiling on cost for the subcontractor
to be exceeded.
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Issues such as these would normally be addressed by the Contracting Officer and the Project
Officer instead of the WAM. However, the WAM should be sensitive to the need for approval of
subcontractors and consultants before they perform work on the project. The Project Officer
may call the Contractor directly to discuss these issues, or may initially contact the
Contracting Officer to inform the CO of potential changes. The important thing to remember
is that the WAM should always contact the Project Officer when questions of the above type
arise.
2. Negotiation Strategies
In negotiating with the Contractor the WAM should remember that the purpose is to produce an
acceptable plan of accomplishment that provides a good indication that the Contractor will
deliver the required services and products within the allotted hours and budget. The
Government wants to get as much work as possible for the allotted funds; the Contractor
wants to be sure there are sufficient hours and funds to complete the work. These two
interests do not have to conflict; producing high quality work at a reasonable cost will
benefit both parties. However, the WAM needs to ensure that: (1) that the Contractor
thoroughly understands the requirement; (2) that the appropriate staff are assigned to the
work; and (3) that the work can be accomplished within the schedule and budget. Thus, some
changes to the work plan may need to be made.
(1) Planning for negotiations
In planning for the negotiations with the Contractor, the WAM should take the following
steps:
Identify issues and potential changes, using the checklist in Exhibit 6-1.
Identify "bottom-line" needs ~ the most critical objective that must be met,
e.g.. a report must be prepared by a certain date to present it at an upcoming
conference.
Identify non-negotiable items, e.g.. available funds may be insufficient to
support the Contractor's cost estimate.
Identify negotiable items ~ possible concessions that could be made without
impairing the ability to achieve the key objectives, e.g.. extending schedule on
certain deliverables by one month.
List questions to ask the Contractor, e.g.. proposed staff to perform certain
tasks (remember that the WAM cannot direct the Contractor who to use, but can
require that the Contractor have a clear staffing plan for the work).
(2) Conducting the negotiations
It is not possible to lay out a step-by-step approach on how the WAM should conduct a
negotiation. This depends, in large part, on reacting to what the other party says.
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
issuetakes practice.
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It is possible, however, to offer some general guidance to WAMs on how to act in a
negotiation session:
Ask questions first before suggesting changes. Begin the session by asking the
Contractor the questions that you identified using the checklist. This will
ensure that you quickly gather all of the information you need to suggest options.
Couple the non-negotiable items with a positive suggestion. During the
negotiations, the Contractor may request a concession that is one of those
non-negotiable items you identified. When this happens, explain why something is
not negotiable, and suggest some areas that can be negotiated. For example, you
might respond to a Contractor's request for more money in the work assignment as
follows:
"Unfortunately, all remaining funds in our contract budget have already been
committed, so we don't have any extra money for the work assignment. Maybe
we can talk about reducing the scope somewhat, or look at some ways to reduce
costs."
The statement lets the Contractor know that the request for more funds is
something that you are unable (rather than unwilling) to provide. Suggesting one
or two alternatives 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 the agenda. If you think the negotiation discussions are going off on a
tangent, don't be afraid to say, "I would like to get back to discussing
Use non-confrontational language. Try to pose questions that are open-ended and
use words that are not emotionally charged, as illustrated below:
CONFRONTATIONAL LANGUAGE CONSTRUCTIVE LANGUAGE
Why are these ODC costs so high?
Can't you get this done sooner?
Your proposed labor mix has too
many senior staff hours.
It shouldn't take so many hours to
complete this task.
Tell me more about the basis for your
travel and copying costs.
Is there a way that we could advance the
schedule for delivery of the data base?
You could reduce costs somewhat
if you moved some of the senior staff
hours to more junior levels.
Let's discuss the steps needed
to complete this task.
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Offer your proposed solutions. Be willing to suggest the possible solutions that
you identified using the checklist. Suggesting alternative solutions helps to
reduce the adversarial tone of a negotiation session.
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 work assignment?" This puts the responsibility back on the
Contractor to come up with some solutions, rather than just criticizing your
proposal. When asking this question, make sure to reiterate the non-negotiable
items.
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.
Document the outcome of the negotiations in a brief memorandum for the record.
The memorandum should describe:
Date of negotiation
Participants for the Government and the Contractor
Issues raised
Agreements
Exhibit 6-2 illustrates a memorandum of negotiations.
At the direction of the Project Officer, draft a letter to the Contractor
identifying the changes, if any, desired in the work plan. In some cases, the
Project Officer may draft this letter. Depending on the contract, it may be
transmitted to the Contractor by the Project Officer or Contracting Officer.
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Exhibit 6-2
SAMPLE MEMORANDUM FOR DOCUMENTING NEGOTIATIONS
ON WORK PLAN
MEMORANDUM
SUBJECT: Negotiations with XYZ Company, November 2,1994
FROM: J. Jones, Work Assignment Manager
TO: The Record
On November 2, 1994 negotiations were held with XYZ Contractor to discuss Work Assignment Number 95
on Contract 68-D3-0660. Attending for the Government were:
S. Smith, Project Officer
J. Jones, Work Assignment Manager
B. Johnson, Contractor Program Manager
The key issues raised were:
The Contractor included a task which was not explicitly required in the SOW.
The Contractor's estimate of labor hours exceeded the Government's by 425 hours (2925 vs.
2500). (The Contractor's cost estimate exceeded the Government's by $35,000, although this
point was not raised.)
At the meeting it was decided that EPA did not believe there was enough information known at this point
to determine whether the additional task was necessary. Therefore the agreement was:
The Contractor would revise the work plan to delete the additional task.
The Contractor would adjust the labor hours and cost estimate accordingly.
EPA will review the status of work after the completion of Task 3 and the submission of
Deliverable 2. If the proposed new task appears justified at that point, an amendment to the
work assignment will be prepared.
cc: S. Smith, Project Officer
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F. AMENDING THE WORK ASSIGNMENT
In most cases, the issues raised by the WAM in review of the work plan can be resolved through
negotiations with the Contractor and a revised work plan. On occasion, however, the work
assignment should be amended. As discussed in Module 9, there currently are not uniform Agency
guidelines on when to request an amendment. Deciding whether to request an amendment to the work
assignment at this point is a judgment call of the WAM, the Project Officer and the Contracting
Officer. Suggested criteria include:
Deletion of tasks or deliverables
Addition of tasks or deliverables
Change in the overall period of performance
Increase or decrease in hours from the Government's estimate by more than a given amount,
e.g.. 10-15 percent.
If the WAM or PO have questions on whether an amendment is required, they should contact the
Contracting Officer.
The procedure for preparing a work assignment amendment request is discussed in Module 9. Only
the Contracting Officer can issue an amendment. The WAM should prepare a memorandum to the
Project Officer addressing the need for the amendment and providing appropriate background
information. An example of such a communication is: "I have reviewed the Contractor's work plan
and would like to request an amendment to my work assignment. The purpose of this amendment is:
"To modify the statement of work in the work assignment, to add a task or tasks, to delete a
task or tasks, or to modify an existing task. Attached is a description of the additional or
revised tasks.
"To extend the period of performance or to decrease the period of performance. (When
requesting a change to the period of performance, please explain why the change is
necessary.)
"To redistribute labor resources."
Note that some Contracting Officers use an amendment (as opposed to a memorandum) to approve a
work plan. In such cases, the PO will typically prepare the amendment on the standard work
assignment form, indicating that the technical approach, professional/ technical labor hours,
labor mix, other direct costs, total costs and completion date (as originally proposed or revised
through negotiations) are acceptable. The WAM and PO should check with the CO to determine if
this practice is to be followed.
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MODULE 7: PERFORMING TECHNICAL MONITORING
A. INTRODUCTION
This Module describes procedures for monitoring the technical progress of the Contractor in
performing the work assignment. Methods and issues in giving technical direction are discussed.
Procedures are presented for conducting progress meetings, reviewing technical progress reports
and deliverables, and monitoring adherence to quality assurance requirements. Potential
contracting improprieties and vulnerabilities related to technical monitoring are introduced.
B. OBJECTIVES
At the completion of this Module, you will be able to:
Describe appropriate and inappropriate forms of technical direction.
Describe effective methods to monitor Contractor technical progress.
Describe methods for reviewing the technical portion of Contractor progress reports.
Describe general procedures for reviewing Contractor deliverables.
Describe general approaches for providing feedback on Contractor performance.
Describe issues and general approaches for dealing with subcontractors.
Describe process for monitoring compliance with Quality Assurance requirements.
Identify potential corrective actions to improve Contractor performance.
Identify contracting improprieties and vulnerabilities related to technical monitoring.
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C. IMPORTANCE OF EFFECTIVE TECHNICAL MONITORING
In nearly all cases the Project Officer delegates the great majority of responsibility for
technical monitoring to the WAM Because Project Officers are often not technically proficient
in the subject matter of the work assignment, the responsibility for reviewing technical progress
and deliverables must rest with the WAM. Since technical monitoring occurs over the entire life
of the work assignment, it requires a greater percentage of the WAM's time than any other task.
Effective technical monitoring is also important for several other reasons:
It helps ensure that the Government receives the services and products it needs to
accomplish its mission.
It helps ensure that the Government's funds applied to the work assignment are used
productively.
It helps identify problem areas and corrective actions to ensure that the Government's
objectives are met.
It supports the evaluation of Contractor performance required in administering
cost-plus-award-fee (CPAF) contracts.
It assists the Contractor in adjusting approaches and resources to better meet the needs of
the Government.
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D. PROVIDING TECHNICAL DIRECTION
1. Formal Definition of Technical Direction
Throughout the course of the work assignment, the WAM will provide direction to the
Contractor to assist the Contractor in performing the work described in the statement of
work. According to EPAAR 1552.237-71, Technical Direction consists of two forms:
Direction to the Contractor that assists him/her in accomplishing the statement of
work
Comments on and approval of reports or other deliverables.
Technical Direction helps ensure that the Government and the Contractor have a common
understanding of the Government's requirements. Technical Direction also supports the
establishment of an audit trail on how the project has evolved over time. Other uses include
documenting decisions by the WAM at predetermined milestones, including selection from
alternatives, and establishing the order of priority among established tasks.
Originally, only the Project Officer was authorized to provide technical direction.
However, based on the findings of the Acquisition Management Improvement Reviews, OAM
developed a class deviation to the above EPAAR clause to allow the Contracting-Officer to
authorize someone in addition to the Project Officer (e.g.. the WAM) to provide technical
direction on a particular work assignment.
All technical direction must be issued in writing or, if provided verbally, must be
confirmed in writing within five calendar days. WAMs must provide a copy of the Technical
Direction memorandum to the Project Officer. Project Officers (or WAMs) must send a copy to
the Contracting Officer.
Some examples of appropriate technical direction related to the above definition are the
following:
Presentation of comments by the WAM on a deliverable to the Contractor's Project
Manager by means of a memorandum summarizing strengths, weaknesses, and desired
changes; and/or return of a "marked-up" draft.
Issuance by the WAM to the Contractor Project Manager of a copy of a revision to a
standard laboratory operating procedure which the Contractor is to use in analyzing
air quality samples.
Direction by the WAM to the Contractor Project Manager to perform two specific types of
analyses on an acquisition management data base to assist managers in responding to
inquiries on extramural activities (the work assignment indicated only that analytical
reports would be required, without specifying the particular analyses).
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Direction by the WAM to the Contractor to modify the algorithm used in an emission
estimation model as a result of review by the WAM of the results of a test of the model.
2. Unauthorized Technical Direction
WAMs and Project Officers cannot issue Technical Direction that:
X
Institutes additional work outside the scope of the contract or work assignment
Constitutes a change (see "Changes" clause in contract)
Causes an increase or decrease in the estimated cost of the contract or work assignment
Alters the period of performance of the contract or work assignment
Changes any other of the express terms or conditions of the contract or work
assignment.
In addition, WAMs cannot issue technical direction which constitutes supervision of the
Contractor, or an employer/employee relationship. As discussed in Module 3, this creates a
personal services contract which is illegal. A personal services contract results when the
Government assumes the right to instruct, supervise or control a Contractor's employee in
how he/she performs the work.
(1) Avoiding a Personal Services Arrangement
There are several actions WAMs and Project Officers should take when giving technical
direction to avoid the occurrence of or appearance of a personal services
relationship. These include:
Do not direct the Contractor on how to perform a particular task. The WAM should
specify the required products and can suggest methods or procedures. Also, in
certain cases, the WAM may specify analytical methods or protocols to be used,
e.g.. to ensure data comparability. However, the WAM should not, for example,
direct the Contractor to use a particular staff member or mix of staff to
accomplish the work.
Do not direct the Contractor to use a particular subcontractor or consultant. The
WAM can, however, specify the skills and experience required for a particular
task and can give examples to the Contractor of the type of individuals who have
the requisite skills.
Document all instances of technical direction.
Ensure that technical direction is provided only by those authorized to do so -
the Project Officer, WAM or other individual authorized by the Contracting
Officer.
Provide technical direction only to the Contractor's Project Manager or to other
designated point(s) of contact for the work assignment, not to individual staff.
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If the work assignment involves administrative support services, such as typing,
editing, or graphics, or routine laboratory support services, such as dish or
cage cleaning or equipment fabrication, initiate work through the use of work or
service request forms, rather than dealing directly with the individual
Contractor staff member.
(2) Other Prohibitions in Giving Technical Direction
There are several other situations WAMs and Project Officers should avoid in regard to
Technical Direction:
Do not discuss or divulge to the Contractor any information relevant to a work
assignment prior to its issuance.
Never authorize work to begin before issuance of a work assignment by the
Contracting Officer.
Do not direct the Contractor to perform services which are inherently
governmental in nature.
(3) Unauthorized Procurement Actions
In certain instances, inappropriate technical direction may constitute an
"unauthorized procurement action," which may require a ratification. An unauthorized
procurement action (often called an "unauthorized commitment) is an illegal contract
action taken by an EPA employee who does not have Contracting Officer authority, which
commits the Government for the expenditure of funds in exchange for goods and services.
Examples of such actions include:
Directly or tacitly approving of a contractor performing work before a contract
has been issued or after the term of the contract has expired
Authorizing a subcontractor or consultant to perform work without formal approval
by the Contracting Officer
Unauthorized direction that increases the scope of the contract or work
assignment
Unauthorized direction that changes the terms and conditions of the contract.
Under certain circumstances an unauthorized procurement action may be ratified.
Ratification can only occur if the action would have been valid had it been made by the
Contracting Officer.
Consenting to an unauthorized procurement action is a serious matter. Obtaining approval of
a request for ratification can be a long and complex process. It could result in personal
liabilities for the individual involved, if the ratification is not approved, and
disciplinary action, even if approved. Therefore, considerable caution must be exercised
to avoid such a situation.
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When an unauthorized procurement action does occur, the laboratory or office must notify the
Contracting Officer by memorandum of the circumstances surrounding the action. Either the
Project Officer or the WAM will prepare a memorandum with the following information:
Documentation detailing: (1) who authorized the work, (2) what the work was for, (3)
when the work was performed, and (4) how the work was necessary and beneficial to the
Government
A description of why the unauthorized procurement action occurred and a statement of
steps taken or proposed to prevent its recurrence.
If expenditure of funds is involved, the memorandum must be accompanied by a Procurement
Request with sufficient funds to cover the services involved. The memorandum must be
approved by a Division Director (or person of equivalent rank in the responsible laboratory,
center or office). Some laboratories, centers and offices may require approval by the
respective Laboratory, Center or Office Director.
After the memorandum is approved, the Project Officer will forward it to the Contracting
Officer. The Chief of the Contracting Office (CCO) is the ratifying official. The
Contracting Officer will:
Prepare a determination and findings (D&F) regarding ratification of the unauthorized
act.
Inform (at the CCO's discretion) the Inspector General of the action by memorandum
routed through the Director, 0AM.
For ratification actions exceeding the small purchase limitation, prepare a memorandum
from the Assistant Administrator of O ARM to the Assistant Administrator of the program
office advising him/her of the person committing the unauthorized action and
recommending corrective action as appropriate.
A further description of the ratification process is given in the Contract Administration
Training Manual, Chapter 13, the Contracts Management Manual, Chapter 12 and EPAAR
1501.602-3.
3. Operational Definition of Technical Direction
Many WAMs and Project Officers have raised the issue of what in practice constitutes
technical direction as opposed to technical clarification or technical communication. The
differences, however, are neither always apparent nor uniformly agreed upon.
First, WAMs and Project Officers should be aware that some laboratories use Technical
Directives in lieu of work assignments or to definitize work assignments which are broad in
nature. In the first case, the Technical Directives are similar to work assignments; the
primary difference is that they do not have to be issued by the Contracting Officer. Both
cases are obvious examples of technical direction, which must be documented.
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The distinction between technical direction (TD) and technical clarification or technical
communication (TC) becomes less clear when the communication occurs as part of the WAM's
regular activities in monitoring and reviewing the Contractor's work. Documenting
technical direction serves the dual purpose of providing an audit trail and assisting the
Contractor to achieve the work assignment objectives; however, one does not want to create a
paper mill.
To assist WAMs in understanding the differences, the following definition is offered for
technical clarification/communication:
Communication given orally or in writing by the Project Officer or Work Assignment
Manager which provides a further explanation of a work assignment requirement (that
does not change the technical requirements), responds to a Contractor question, or
represents an exchange of scientific views on a subject.
To examine the differences between TD and TC, consider the following examples:
After reviewing a draft report, the WAM verbally requests the Contractor to change the
title on the report cover and to reorder two sections presented on two pages of a 50
page report.
The WAM meets with the Contractor to discuss the specific contents of a briefing
package which was identified as a task in the work assignment.
The WAM requests the Contractor to prepare a briefing package for a task; the work
assignment only called for a report, not a briefing.
The WAM requests the Contractor to conduct a specific experiment based on the results
of several prior experiments in the area of neurotoxicology. The work assignment
called for research support in neurotoxicology, but did not delineate specific
environmental studies.
The WAM meets with the Contractor Project Manager to discuss progress on the work
assignment. In the course of this meeting the WAM and the Contractor Project Manager
brainstorm approaches to an exposure assessment methodology; the WAM also alerts the
Contractor to a recent journal article on the subject.
The first example appears to fit within the "formal" definition of technical direction
provided earlier. However, the changes to the draft report are minimal and involve no
content revisions. In this case, the comments would probably be considered technical
clarification. If the changes involved additional sections or substantial content
revisions, this would be technical direction.
In the second example, the requirement for the briefing package was in the work assignment.
The general content of the briefing package has not changed; the WAM and the Contractor meet
to discuss the range and order of topics presented and the format, based on the size of the
audience. This should probably be considered technical clarification. However, while not
issuing technical direction formally to the Contractor, the WAM should document the meeting
for the record.
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In the third example, the briefing was not listed in the work assignment. This is an
additional task and deliverable; even if the additional effort is relatively small, this
would probably be considered technical direction and documented. In fact, this change would
probably necessitate that an amendment be prepared.
In the fourth example, the original work assignment is being definitized based upon the
results of ongoing research. The particular experiment was not previously documented. This
is clearly technical direction. Note also that while the WAM is directing the Contractor to
perform a specific task, this is not Personal Services; the WAM is not telling the
Contractor how to perform a research study, but rather to conduct a new experiment based on
results obtained from prior research.
In the fifth example, the WAM and the Contractor are exchanging professional scientific
views on a research approach; also the WAM is sharing knowledge (about a recent article) to
allow the Contractor to be fully informed. The contact is not for the purpose of causing the
Contractor to take a particular act. Accordingly, this should probably be considered
technical communication.
The WAM has to apply judgment in determining whether to consider a particular communication
with the Contractor technical direction. Communications involving significant changes to a
deliverable, or defmitization of a broad work requirement, would be technical direction.
However, when in doubt, the WAM should always err on the side of more documentation.
An example of a Technical Direction Memorandum is presented in Exhibit 7-1.
Exhibit 7-2 presents another example of technical direction a service request form which
is used to request specific laboratory analytical support services under a work assignment.
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Exhibit 7-1
TECHNICAL DIRECTION MEMORANDUM
Contract No.:
Contractor:
Request Date:
Description:
68-D1-0772
ABC Company
January 18, 1994
Work Assignment No.: 94-3, Task No. 3
Due Date: March 31, 1994
In reference to Task No. 3, Contractor shall prepare a memorandum
presenting proposed revisions in the Contractor's methods for benthic and
sediment analysis for use in the EMAP Near Coastal project. These
revisions are necessary to incorporate refinements identified by EPA
through a technical systems audit conducted subsequent to the development
of the Regional methods manual. These changes are also needed to respond
to comments concerning data comparability made by the EMAP Near Coastal
QA Officer in reviewing the laboratory's methods prior to the performance
of the analysis.
Work Assignment Manager: F. Smith
Project Officer: P. Jones
Issued in Writing to Contractor:
Contractor Project Manager: C. Brown
cc: Contracting Officer: H. Gold
Date: January 19, 1994
Date: January 21, 1994
Date: January 21, 1994
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Exhibit 7-2
SERVICE REQUEST FORM
Contractor:
Contract No:
Date Requested:
EFG Company
68-D1-0932
Work Assignment No:
95-8
August 2. 1995
Date Needed: August 16. 1995
Work Category: (see below):
Description of Work
1. Take small subsamples and analyze "low lead (Pb)" brass value alloy received
for lead (Pb), copper (Cu), zinc (Zn), bismuth (Bi), tin (Sn) and phosphorous (P).
2.
Similarly analyze three values for prior leaching tests as above.
3. Perform analyses in accordance with EPA-approved protocol for analyses of alloy
materials as described in WA 95-8.
Work Categories
1. Routine analytical support
2. Method implementation on instrument
3. Method testing
4. QA/QC evaluation/reporting
5. Experimental data analysis
6 X-ray diffraction qualitative analysis
7 Instrument interfacing
8 Control sampling system development
9 Special analysis
Work Assignment Manager:
Project Officer:
A. Johnson
P. Crown
Contractor PM Acknowledgement: T. Smythe
Date: August 2. 1995
Date: August 3.1995
Date: August 3. 1995
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EXERCISE
Please review the situations listed below and indicate whether these constitute technical direction
(ID) or technical clarification/communication (TC).
Situation TO TC
1 The WAM and Contractor PM meet after the work ( ) ( )
assignment is issued to discuss and clarify what
is meant/desired by certain tasks
2. The WAM requests the Contractor to prepare a ( ) ( )
draft as well as a final version of each of four
deliverables. The SOW did not specify drafts.
3. The WAM meets with the Contractor PM and statistical ( ) ( )
analyst to discuss alternative approaches for dealing
with data gaps in developing a model for groundwater
management.
4. The WAM requests that the Contractor prepare 40 copies ( ) ( )
of a 60-page report for distribution to all the labs and
offices; the WA did not specify the number of copies.
5. A principal investigator asks the Contractor PM to include ( ) ( )
chlorides and sulfates in the list of substances to be
analyzed in 500 samples.
6. The WAM requests the QA Contractor to revise the ( ) ( )
QA manual prepared by the Contractor to reflect new
guidance from the Quality Assurance Division in conducting
technical system audits.
7. In response to a question from the Contractor, the WAM ( ) ( )
tells the Contractor not to worry about a particular
task since the priorities have changed.
8. The WAM asks the Contractor to arrange for Federal ( ) ( )
Express mailing of a package to the "remote"
laboratories to facilitate review.
OTHER QUESTIONS
1. Do any of the above examples constitute personal services or inherently governmental functions?
2. Would any of the above examples require an amendment?
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E. MONITORING CONTRACTOR PERFORMANCE
There are several ways the WAM can monitor the Contractor's technical performance. The
particular methods selected depend on the nature of the work assignment, the location of the
Contractor, the quality of performance and extent of any problems, and the WAM's management
style.
Suggested methods include:
Periodic meetings and telephone discussions on work assignment progress and issues with the
Contractor Project Manager. For effective monitoring, on work assignments lasting three
months or more, there should probably be at least one meeting or telephone discussion every
two weeks. The WAM can specify verbal progress reports in addition to written progress
reports in the work assignment.
For off-site contracts, site visits to examine the Contractor's research facility and meet
and discuss technical issues with the Contractor's Project Manager and technical staff.
This can also be a good opportunity to perform a review of any GFP issued to or acquired by
the Contractor.
Lack of travel funds may make site visits difficult. Also, it would not be practical for
every WAM on a large contract to visit the Contractor's site. It may be desirable for one or
two WAMs and the Project Officer, as representatives of the laboratory, to visit a
Contractor. This function will become more important^ if more EPA contracts are shifted
off-site.
Conducting peer reviews of deliverables. This should be specified in the work assignment.
Reviewing Contractor progress reports. This is discussed in Section F below.
It is good practice for the WAM to document all meetings and telephone discussions held with the
Contractor on project progress. The absence of such records has been flagged by the OIG in recent
audits. Also, EPA Order 1900.1A calls for the preparation of such documentation. Examples of
meeting and telephone reports are presented in Exhibits 7-3 and 7-4.
The WAM should generally inform the Project Officer of meetings with the Contractor, so the
Project Officer can attend if he/she desires. Meetings to discuss particular issues or problem
areas should always be attended by the Project Officer.
Other suggestions for the WAM in conducting progress meetings with Contractors include:
Develop an agenda. This may or may not be written, but the WAM should know what he/she want
to accomplish.
If there are significant issues to discuss or resolve, notify the Contractor Project Manager
in advance so he/she can be in a better position to respond.
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Exhibit 7-3
MEETING DOCUMENTATION MEMO
MEMORANDUM
SUBJECT: Meeting with ABC Company on Status of WA 95-8
FROM:T. Green, Work Assignment Manager
TO: The Record
DATE: August 9, 1995
I met with D. Price (Project Manager) and C. Brown (Program Manager) of ABC Company on Augu
9, 1995 to discuss the status of WA 95-8.
Task 1 - Data Base Development
All questionnaires have been received, edited and entered. Listings have been produced
and are ready for validation. An issue is when we want to conduct the validation and
whether we want to ask for additional data from the labs. I will follow up with Division
Director.
Task 2 - Budgeting Manual
Contractor provided me an outline of the manual. It looks fine to me, but I will have our
branch chiefs review it before approving the outline. Contractor will proceed with the
first two chapters in the interim.
Task 3 - Support to Steering Committee
Contractor has developed draft agenda and concept paper for first meeting of Steering
Committee. Contractor needs to know what graphics will be required. I discussed topics
for graphics with the Contractor; Contractor will get back to me in 3 days with draft
charts. I indicated changes on the agenda and concept paper; Contractor will finalize.
cc: C. Allen, Div. Director
P. Jones, Project Officer
D. Price, Project Manager, ABC Company
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Exhibit 7-4
TELEPHONE RECORD
CONVERSATION RECORD
TYPE Q VISIT Q CONFERENCE
Location of Visit/Conference:
NAME OF PERSON(S) CONTACTED OR IN CONTACT ORGANIZATION (O
WITH YOU te->
D. Price, Project Manager ABC Coropa
; TIME
I
DATE -
April 7, 1995
[x] TELEPHONE
Q INCOMING
(3 OUTGOING
Nice. dent., bureau. TELEPHONE NO*.
ny (703)734-4900
SUBJECT
Contract 68-D1-0642 W.A. No. 95-5
ROUTING
NAME/SYMBOL
IN
SUMMARY
Contractor called to say he was having difficulty setting up meetings and telephone
discussions with PODs. (We previously had sent letter to ODs and LDs indicating
purpose of Contractor contacts.) I said I would call appropriate individuals to
facilitate contacts. Contractor gave me list of people he had been' unable to arrange
discussions with.
ACTION REQUIRED
Call selected office and lab PODs.
NAME OF PERSON DOCUMENTING CONVERSATION
F. Smith, WAM
SIGNATURE
DATE
4/7/95
ACTION TAKEN
SIGNATURE
TITLE
DATE
50271-10!
CONVERSATION RECORD
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OPTIONAL FORM 271 (12-7CI
DEPARTMENT OF DEFENSE
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F. REVIEWING TECHNICAL PROGRESS REPORTS
1. Contents of Technical Progress Reports
Most EPA contracts require that Contractors submit a combined monthly
technical/financial progress report by the 15th (or other date) of each month, following
the first complete calendar month of the contract. The standard EPAAR clause
(1552.210-72) for cost reimbursement contracts (recently revised) specifies that the
technical portion of the progress report should address:
Activities performed and deliverables submitted in the previous month and the
percentage of the work assignment completed
Any difficulties encountered during that time and remedial actions taken
. Activities planned and deliverables to be submitted during the next month
Outstanding actions awaiting Contracting Officer authorization (noted with the
corresponding work assignment), such as work plan approvals,
subcontractor/consultant consents, and overtime approvals.
The requirements for time and materials, delivery order contracts are similar.
-Additional useful information includes:
Issues for resolution
Action items for EPA
Changes in key personnel
Any possibly unsuccessful or poorly rewarded research efforts (to provide the WAM
with insight for improving future communications and work assignments)
2. Uses of Technical Progress Reports
The technical progress reports serve the following purposes:
Assisting the WAM in monitoring technical progress on the work assignment
Assisting the WAM in reviewing invoices and monitoring the financial status of the
project by comparing hours and costs against the technical activity
Supporting an audit trail of work performed.
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In reviewing the technical progress reports, the WAM should pay particular attention to
the following:
Any activities performed which appear outside the scope of the work assignment.
While this is not common, it could cause a question in an audit and could
necessitate a ratification
Any activities such as long distance travel or training which have not been
authorized in advance.
Comparison of the activities accomplished with the activities planned as reported
in the prior month. A significant discrepancy may suggest an evolving problem in
performance.
Any difficulties encountered, issues raised, or changes made in technical
approach. For example, the Contractor may have decided to change the statistical
method used in a modeling project. This may be perfectly acceptable, but the WAM
should be aware of it.
Changes in key personnel (see Section 4 below).
3. Frequency and Due Dates of Reports
Most EPA contracts require that the Contractors submit progress reports by the 1 Sth of
the month. This may be too late for use in reviewing invoices, and may also be somewhat
late for identifying and taking corrective action.
The WAM and Project Officer may request that through the Contracting Officer the reports
be submitted earlier, eg. by the 10th of the month. This should be done by a
modification to the contract (covering all work assignments), or, preferably, be
specified in the solicitation or at contract award.
The WAM and Project Officer can also request through the CO, more frequent progress
reports, e.g.. semi-monthly, or that additional information be provided. Semi-monthly
or bi-weekly reports may be useful on work assignments of less than three months. In all
cases, the benefit of the more frequent or additional information provided must be
weighed against the cost to provide the information and the time to review it.
4. Changes in Key Personnel
Most EPA contracts contain a key personnel clause which prohibits the Contractor from
making any substitutions to key personnel within a given period (e.g.. 90 days) unless
the substitution is necessitated by illness, death or termination of employment. After
the initial time period, the Contractor must obtain approval of any substitutions to
key personnel by the Contracting Officer. The proposed substitutes should have
comparable qualifications to those being replaced. This means more than simply meeting
the minimum qualifications for personnel levels stated in the solicitation. Also, the
key personnel should be working in the capacity and for the level of effort indicated by
the Contractor in the proposal.
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The Project Officer has the primary responsibility for reviewing and recommending
approval or disapproval of changes to key personnel. The WAM may be requested by the
Project Officer to provide input on the qualifications of the proposed substitute(s).
While it is the Contractor's responsibility to notify EPA of changes, the WAM and
Project Officer should review the progress reports and monitor any apparent staff
changes to ensure that the requirements for key personnel are met. The WAM should
request from the Project Officer names of all key personnel on the contract.
When a replacement to a key person is proposed, the Project Officer should send a
memorandum to the Contracting Officer recommending approval or disapproval (with
specific reasons) of the change.
The occasional replacement of key personnel with staff of lesser qualifications was a
vulnerability identified in the Acquisition Management Improvement Reviews. While the
monitoring of key personnel is primarily a Project Officer function, the WAM does have a
supporting role in ensuring that the requirements are met.
5. Documenting Review of Progress Reports
It is good practice for the WAM to annotate Contractor progress reports to indicate
questions that arise during the review. The Contractor's response should also 1)6
listed. Such notes document the exercise of contract oversight by the WAM and support a
complete audit trail of the work assignment. This is especially important if there are
questions on whether the Contractor exceeded the scope of the statement of work.
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G. REVIEWING DELIVERABLES
The Contracting Officer has the ultimate authority for "accepting supplies and services" on
behalf of the Government. However, as indicated in Module 2, the review and approval of
deliverables is almost always delegated to the Project Officer, who, in turn, delegates this
to the WAM.
How the WAM reviews a particular deliverable is dependent on the nature of the product or
service and management style of the WAM. The most important things are that the WAM:
Performs a detailed and timely review of the deliverable This is important to ensure
that products supporting a key Government milestone are ready when needed. It also
provides motivation to the Contractor to produce a quality product if the Contractor
knows that EPA cares enough about the item to perform a thorough review of it.
Seeks other technical experts to review the deliverable, as necessary.
Provides specific feedback to the Contractor on desired changes to the deliverable. As
indicated earlier, if the changes are other than cursory, this feedback constitutes
technical direction and thus must be documented.
Documents review of the deliverable through a deliverable review form, a memorandum to
the Contractor presenting comments, or annotation of the draft.
Exhibit 7-5 presents a form for review of deliverables.
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Exhibit 7-5
REVIEW OF DELIVERABLES
Contractor: ABC Company
Contract Number- 68-D1-0772
Work Assignment Number: 95-4
Work Assignment Manager: D. Smith
Deliverable Due Date: February 1. 1995
Date of Receipt: February 19. 1995
Deliverable Number and Title
(From WA/Work Plan): 3 - Draft EMAP Administrative Manual
Description of Deliverable:
Comprehensive Manual describes roles and responsibilities of EMAP
managers, record keeping and reporting procedures and formats
Decision: Accepted ( X ) Rejected ( ) Amendment Proposed ( )
Comments:
1. Were all specifications met to the desired level of quality? If not, what was missing?
Yes
2. Was deliverable timely? If not, did delay make deliverable of reduced value to EPA? Why was
it not timely?
Minor delay due to difficulty in scheduling meetings with EMAP staff
3. What, if any, changes are needed to meet the specifications or improve quality or
usefulness?
Comments furnished to Contractor in separate memorandum. Changes will be
reflected in final manual.
4. Will any changes necessitate a work assignment amendment?
No
Reviewer: D. Smith Date Reviewed: 2/26/95
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H. PROVIDING FEEDBACK ON CONTRACTOR PERFORMANCE
1. Vehicles for Providing Feedback
On cost-plus-award-fee (CPAF) contracts, the award fee process is the primary vehicle for
providing feedback to the Contractor on performance. As discussed in Module 9, it is
essential that the award fee process be performed in a timely manner in order to properly
motivate the Contractor. By preparing a Performance Event Report documenting the
Contractor's performance during the evaluation period, the WAM plays a key role in this
process.
While the award fee process is a good mechanism for providing feedback, it is not the only
approach available. On other types of contracts, as well as on CPAF contracts, if there are
problems with services or deliverables, the WAM should alert the Project Officer, and then
discuss the problems with the Contractor's Project Manager. As appropriate, the Project
Officer may elect to participate in or lead the discussion with the Contractor.
In all cases, the feedback should be focused on the quality and timeliness of services and
deliverables, as opposed to the performance of individual Contractor employees.
Concentrating on individual staff performance may create the appearance of a Personal
Services relationship.
Most problems can be resolved through discussions with the Contractor. If problems persist,
the Project Officer should notify the Contracting Officer. The WAM should document any
problems which continue in a memorandum to the Project Officer. The Contracting Officer has
several means available to promote improved performance including issuing a cure notice.
2. Approach for Providing Feedback
It is important that feedback to the Contractor be both timely and specific. Feedback which
is timely will help support correction of a problem before it becomes severe. Feedback
which is specific (i.e.. addressing particular aspects of a deliverable or a service which
are not acceptable) will help the Contractor focus on the most critical actions to meet
EPA's needs.
The following additional guidance is offered to WAMs in providing feedback to Contractors:
Provide regular feedback throughout the course of the work assignment. - While formal
feedback is provided through the award fee process on CPAF contracts, the WAM should
periodically offer comments on the Contractor's work as the work assignment
progresses. Regular progress meetings and telephone discussions with the Contractor
are a good means to do this. Regular feedback can help ensure the quality of a
deliverable by preventing misdirected efforts.
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Reinforce positive performance. - Providing positive feedback on a formal deliverable
or an interim product will provide a strong motivating force to the Contractor to
sustain a high quality effort.
Be forthright in your complaints. - Discuss your concerns with an objective colleague.
- It can be helpful to discuss your concerns about a Contractor's performance with a
colleague. This can be the Project Officer, the Contracting Officer, a supervisor, or
an individual with technical expertise in the area of work. This can be especially
useful if you are upset with the Contractor's performance. You may want to have this
individual participate in a meeting with the Contractor to discuss performance.
Be willing to listen to explanations and suggestions on how to fix the problem. - It is
likely that the Contractor will come up with the solutions similar to your own. The
Contractor will "own" the problem and save face at the same time. But be sure you
indicate your specific concerns.
Use non-confrontational language. - As in negotiations on work plan revisions, the WAM
should try to pose questions that are open-ended and use words that are not emotionally
charged. The following are examples of confrontational and constructive language.
CONFRONTATIONAL LANGUAGE CONSTRUCTIVE LANGUAGE
You have completely ignored the
directions I gave you on the
statistical approach.
This product is totally un-
acceptable; it will have to be
completely redone.
You clearly didn't understand
my instructions.
These revisions will have to be
covered by the existing money in
the task.
I was surprised at the statistical
approach you took, given our
discussions. What was your
reasoning?
I would like to discuss some
changes to the product. They are
fairly extensive, but I think they are
necessary to make the product more
targeted to our laboratory's needs.
Let's discuss how this happened
so we can prevent future
misunderstandings.
Unfortunately, we don't have any
additional funds for the task. How
can we get these revisions completed
while staying within budget?
3. Other Actions to Improve Contractor Performance
In the great majority of cases, Contractor performance will be enhanced and performance
problems will be resolved through the actions described above. However, if these actions
are not successful, there are several additional steps the WAM and Project Officer, in
conjunction with the Contracting Officer, can take.
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The WAM can recommend suspending Contractor payments pending correction of
deficiencies. On work assignment (LOE) and most time- and-materials, delivery order
contracts the Contractor guarantees only "best efforts," and the Government must
usually pay for reperformance. However, if Contractor does not correct deficiencies
after several requests, the Government can suspend 'payment.
The WAM can recommend to the Project Officer disallowing Contractor costs if the
Contractor ignored the Government's written technical direction, clearly exceeded the
scope of work requested, failed to inquire about and clarify obvious ambiguities, or
acted in bad faith.
Only the Contracting Officer may disallow costs. The WAM and Project Officer can only
recommend. However, these actions should rarely be required if the Contractor is
reasonably competent and conscientious, and the WAM performs effective technical and
financial monitoring.
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I. SPECIAL CONDITIONS REGARDING SUBCONTRACTORS
1. General Guidance - Do's and Don'ts
Some EPA contracts have a significant percentage of the work performed by subcontractors.
Most likely, the inclusion of the subcontractors on the team was a key factor in the prime
Contractor's selection for the contract. However, as indicated earlier, the Government has
no direct contractual relationship, i.e.. no "privity of contract" with a subcontractor.
Because of this, EPA may not deal directly with subcontractors on contractual issues. In
practice this means the following:
WAMs should never direct which portion of the work should be done by a subcontractor.
However, as indicated in Module 4, the WAM can include in the work assignment specific
personnel qualifications and can review resumes of proposed staff for the work
assignments Subcontractor staff can also be included as key personnel in the
contract
WAMs should never direct the prime to subcontract with a particular firm or consultant.
Occasionally, subcontractors or consultants are added to the contract after the
contract is awarded. While WAMs and Project Officers can indicate the types of skills
required for particular work assignments, they should avoid "leading" the prime to a
particular firm or individual.
In general, direct contact between the Government and a subcontractor should be kept to
an absolute minimum. In reality, the nature of some work assignments makes this
difficult, e.g.. in cases where the prime Contractor is off-site, and a subcontractor
is performing an on-site task.
WAMs and Project Officers may deal directly with a subcontractor if (1) the prime
Contractor in the work plan explicitly indicates that a given subcontractor has been
assigned primary responsibility for the work assignment and will provide the Project
Manager for the WA, and (2) the prime Contractor explicitly agrees to the direct
contact with the subcontractor.
In such cases, the contact should be only with the designated subcontractor Project
Manager. Even with such designation and permission of the prime Contractor, all
technical direction must be given promptly in writing to the prime. Also, the prime
Contractor must remain responsible for subcontractor performance.1
1 The issue of Government contact with subcontractors is controversial and is currently being
addressed by the Office of Acquisition Management. It is expected that further guidance will be
forthcoming on this issue.
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Feedback on performance can be routed to the subcontractor Project Manager on work
assignments performed primarily by the subcontractor. However, the prime contractor should
be informed immediately if any problems or issues arise with the subcontractor's
performance.
2. Dealing with Disputes Between Prime Contractors and Subcontractors
Prime Contractors and subcontractors occasionally have disputes on work items such as1
Subcontractors receiving a lower amount of the work than they expected or was indicated
in the proposal.
Subcontractors not being paid promptly by the prime Contractor.
Prime Contractors adding to the cost of a work assignment by applying more management
time than desired by the subcontractors.
Products prepared by the subcontractor being delayed because of extensive review time
by the prime Contractor.
What can or should the WAM and Project Officer do about these things? Because EPA has no
privity of contract with a subcontractor, it cannot mediate such disputes. However, WAMs
and Project Officers can and should do the following:
WAMs should review the management hours being applied by a prime Contractor to a work
assignment performed primarily by a subcontractor. While it is difficult to provide a
rule of thumb, the WAM should assess the reasonableness of the management hours in
terms of their specific purpose, e.g.. administrative processing of vouchers and work
~ plans, substantive review of products, etc.
WAMs should review the causes of delays in products with the prime Contractor. If
delays are due to the time needed by the prime Contractor for review, the WAM should
discuss how to accelerate this process in order to meet EPA's needs.
WAMs and Project Officers should examine how the prime Contractor is staffing the work
assignments. If key personnel of the subcontractor are not being used, this should be
flagged as unacceptable. If the prime Contractor is employing its own staff in place
of a subcontractor on work expected to be done by the sub, the WAM and Project Officer
can emphasize the importance to the prime of providing personnel with the required
qualifications to accomplish the work. While EPA cannot direct the prime Contractor
who to use on a particular project, it can insist upon reviewing the qualifications of
personnel proposed for the work.
If a subcontractor presents a problem directly to EPA, the WAM or Project Officer
should inform the subcontractor that it cannot mediate the problem and should
encourage the subcontractor to seek a solution with the prime. However, the WAM and
Project Officer can also raise the issue with the prime, without directing the prime to
a solution and suggesting that the two parties meet to resolve their differences.
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Where initial contacts with the prime Contractor do not resolve a performance problem
caused by a dispute between the prime and the subcontractor, the Project Officer should
contact the Contracting Officer for assistance.
Where performance problems persist, the WAM or PO should document the issues as a means
of holding the prime Contractor accountable. This should include the dates, persons
involved and substance of communications with the prime.
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J. MONITORING QUALITY ASSURANCE COMPLIANCE
As discussed in Module 4, in preparing SOWs for work assignments involving environmental data
collection, the WAM, in coordination with the QA Manager of the laboratory, center or, in some
cases, division, should identify Data Quality Objectives (DQOs), QA progress reports and other
documentation to ensure that the Contractor meets these standards.
Once the work assignment is underway, the process for performing technical monitoring for QA
activities is similar to that for other Contractor efforts. The WAM:
Monitors Contractor performance
Reviews progress reports
Reviews deliverables
Identifies and implements necessary corrective actions
Provides technical direction.
1. Monitoring Performance on QA Requirements
Monitoring QA compliance requires that the WAM be thoroughly familiar with the requirements
in the statement of work and that the WAM perform or direct the conduct of technical
assessments of the Contractor's QA activities. The SOW should specify the types of
technical assessments that will be used to monitor Contractor performance. Technical
assessments may include one or more of the following:
Pre-measurement or pre-analysis Audit - submission by the Contractor of field
personnel certifications for performing the measurements required in the work
assignment; conducted before the Contractor can receive production samples for actual
analysis; an alternative method would be a performance evaluation (see below).
Surveillance - continual or frequent monitoring and verification of the status of an
entity and the analysis of records to ensure that specified requirements are being
fulfilled.
Performance Evaluation (PE) - a type of audit in which the quantitative data generated
in a measurement system are obtained independently and compared with routinely
obtained data to evaluate the proficiency of an analyst or laboratory.
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Data Quality Audit - a systematic quantitative examination to determine if measurement
systems produced the expected data correctly and if prescribed quality control
functions were performed properly.
Data Quality Assessment - a statistical and scientific evaluation of the data set to
determine the validity and performance of the data collection design and statistical
test; also determines the adequacy of the data set for the intended use.
Technical Systems Audit (TSA) - a thorough, systematic on-site qualitative examination
of the Contractor's facilities, equipment, personnel, training, procedures, record-
keeping, data validation, data management, and reporting aspects of a system.
If the laboratory or center uses another Contractor to perform any of the monitoring
processes described above, he/she needs to consider the potential contracting improprieties
and vulnerabilities, specifically organizational conflict of interest and performance of
inherently governmental functions. Contractors may be used to perform technical
assessments according to a specific plan approved by an EPA official (e.g.. WAM or QA
Manager). Contractor personnel may be accompanied by an EPA official (as long as EPA does
not direct the Contractor in the work), but this is not required. The external QA Contractor
can summarize the results of the assessment, but an EPA official must make the actual
determination concerning the need for corrective action.
2. Reviewing QA Progress Reports
QA progress reports can be included in the Contractor's regular monthly technical/financial
progress report, or they can be submitted separately. How they are submitted depends on
what the WAM specified in the SOW. Quality assurance reports can include summaries of
implementation audits, QC data, formats for databases, and methods for flagging
questionable data.
As indicated earlier, the contract specifies the format of progress reports for work
assignments. The WAM may discover that the specified reports are not adequate for
addressing QA issues. If possible, the need for additional reports should be identified at
the work assignment planning stage and documented in the SOW. Realistically, this cannot
always be done. If the need for additional reports or reports in a different format is
identified, the WAM should coordinate with the Project Officer to determine if this need can
be provided through technical direction or if an amendment is required.
A valuable type of additional QA report is the Quality Control Evaluation Report (QCER).
The WAM can request, in the SOW, both interim and final QCERs. Interim QCERs inform the W
of QA activities carried out by the Contractor, QA/QC results, and any quality-related
problems encountered or corrective actions taken during the period covered by the report.
Final QCERs contain the QA/QC documentation that defends the quality of the final product.
The final QCER is an essential deliverable. The requirement for interim QCERs is at the
discretion of the WAM and the QA Manager.
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3. Reviewing QA Deliverables
When reviewing deliverables, the WAM should ensure that the data conforms to the
specifications set out in the SOW. If the SOW was not specific, then the WAM really has no
realistic criteria for evaluation to which he or she can hold the Contractor. The final QCER
summarizes the QA/QC activities performed to verify and defend the data reported. If the
project objective is the development and testing of a model, method, and/or instrument, the
final QCER will be a part of the final report If the project involves the collection and/or
analysis of environmental or source sample data, the final QCER will most likely be a
separate document. It is a critical document because it is the only unified source
documenting and verifying the quality of the data. The final QCER is part of the publication
clearance package submitted to the laboratory, center or office Technical Information
Manager with EPA Form 362.
A QCER should contain the following:
Discussion of data quality in terms of such items as:
- Quantitative data quality indicators, such as precision, bias, completeness,
representativeness and comparability (e.g.. of data sets from different
producers)
- Semiquantitative assessments of data quality
- Statistical analyses to determine whether the quality of the data sets provided is
adequate for their intended use
Discussion of data verification and validation activities and results
Limitations or constraints on the use of the data for the work assignment objectives,
if any
Discussion of internal and external audit recommendations and corrective actions taken
Identification of any significant QA/QC problems encountered or precautionary
measures determined
Recommendations for the future including what information should be included as
metadata to describe the data set.
4. Identifying and Implementing Corrective Actions
Through monitoring and the review of progress reports and deliverables, the WAM identifies
the need for corrective QA actions. Corrective action reports document the remedial actions
identified by the WAM and the Contractor's response. They are part of the QA reporting
requirements established in the SOW. The WAM should keep the QA Manager informed when
corrective actions are needed.
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5. Providing Technical Direction on QA Issues
Requests for corrective action should be documented in writing as any other technical
direction would be. If the corrective action constitutes change of scope of the work
assignment, the WAM should coordinate with the Project Officer for an amendment to the work
assignment.
The central concern for the WAM in monitoring the QA compliance during the performance of a work
assignment should be that the quality of the data in the final product can be appropriately
verified and documented. The quality of that data is important not only to the WAM but also to the
WAM's branch chief or other supervisor. The supervisor's performance agreement commits him or
her to ensuring product quality. Also, the quality of the data provides the foundation in support
of Agency decision-making.
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EXERCISE - TECHNICAL MONITORING
1 You are the WAM on a work assignment involving the development of sampling plans, assessment
methods, QA manuals and implementation plans for an EMAP demonstration project. The great
majority of the work is being done by one of three subcontractors under the prime contractor. The
first two deliverables on this six month work assignment - a detailed work plan and a draft
sampling plan have each been two weeks late and have required substantial revisions. Of the four
subcontractor staff working on the project, you are dissatisfied with the performance of the
project leader and one of the other staff. You do not feel that project leader has the technical
knowledge required for the task; your concern on the other staff member is that she is abusive and
has alienated certain EPA personnel. It is now the beginning of the third month of the project.
You are concerned about the quality of the other deliverables and also the budget, although the
technical/financial progress reports indicate no problems. What actions should you take?
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MODULE 8: PERFORMING FINANCIAL MONITORING
A. INTRODUCTION
This Module describes procedures for monitoring the financial performance of the Contractor.
Procedures for reviewing Contractor invoices and the financial portion of Contractor progress
reports are reviewed. Methods to identify financial problems and to select and implement
corrective actions are discussed.
B. OBJECTIVES
At the completion of this Module, you will be able to:
Describe issues and methods for reviewing Contractor'invoices.
Describe issues and methods for reviewing the financial portion of Contractor progress
reports.
Review a Contractor financial report to flag questionable charges and analyze work
assignment costs.
Identify and describe key issues pertaining to limitations of funds and costs.
Describe issues and procedures pertaining to the handling of multiple appropriations and
intra-agency funding.
Identify and describe financial problems often encountered on a work assignment and
potential corrective actions.
Describe general considerations and procedures for forecasting carryover funds.
i
Identify contracting improprieties and vulnerabilities related to financial monitoring.
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C. IMPORTANCE OF EFFECTIVE FINANCIAL MONITORING
Effective financial monitoring is important for several reasons:
It helps ensure that the Government payments to Contractors are appropriate in terms of the
work performed and effort expended.
It helps ensure that sufficient funds are available to complete the required work.
It helps maintain the integrity of the process for appropriating funds for various
programmatic purposes.
Financial monitoring and technical monitoring, covered in the previous module, go hand-in-hand
That is, invoices and other financial reports must be reviewed in terms of the work performed in
order to properly assess the reasonableness of the charges billed, project the total costs on the
work assignment, determine needs for additional funds and identify problem areas. Some Work
Assignment Managers may feel that financial monitoring is "not their responsibility" or is, at
best, a minor duty. The reasons often given are:
"That's the Project Officer's job."
"I don't have access to the Contractor's rates or other financial information."
"The Contractor will get paid anyway for his costs. What's the sense of monitoring and
analyzing his charges?"
In fact, for some contracts, the Project Officer may assume the complete responsibility for
reviewing invoices. One reason for this may be the desire to comply with the time requirements of
the Prompt Payment Act. However, for contracts with large numbers of work assignments, this is
not practical; the Project Officer may not be sufficiently familiar with the technical content of
each work assignment to properly assess the reasonableness of the charges billed or the forecast
of expenditures. Some large contracts can have more than SO work assignments in a given year; if
only the Project Officer monitors the financial aspects of these work assignments, this review
would, at best, be cursory.
Regarding access to Contractor financial information, the Contractor's cost proposal and best
and final offer are not routinely distributed to WAMs. However, the WAM can request selected
information from the Project Officer, as necessary. Contractor loaded costs per hour actually
incurred, as well as actual labor rates and burden rates (i.e.. overhead, G&A) can then be
compared against the proposal. Note that since this information is CBI, the PO and WAM must
ensure that the information is safeguarded.
On a cost-reimbursable, level-of-effort contract, the Contractor does get paid for
"best-efforts" and for charges that are "reasonable, allocable, and allowable." However,
effective financial monitoring can help identify charges that are inappropriate (e.g.. not
8-2
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reasonable or allowable), and can help ensure that the Government receives value for its money
Financial monitoring can thus help address such questions as:
Whether Contractor project management personnel are being charged to one work assignment,
when, in fact, their time should be distributed among several work assignments.
Whether the Contractor is billing for activities which require pre-approval, such as
training, certain travel costs, and consultants.
Whether additional funds may be needed to complete the work assignment, especially in
situations where, for example, 70 percent of the funds have been expended while only 30
percent of the work has been performed.
Whether the Government is being billed at an off-site overhead rate for work that is being
performed on-site.
Whether the actual cost to the Government as reflected in the actual average loaded hourly
rate is consistent with the Contractor's cost proposal for the contract and the work plan.
The division of responsibilities between the WAM and the Project Officer in reviewing invoices
and other financial monitoring tasks may vary by laboratory, center and office. Most of the above
examples would typically require the input of both the WAM and the Project Officer. The absence
of WAM involvement in invoice review in some laboratories was cited as a vulnerability in several
OIG reviews and in the Acquisition Management Improvement Reviews. Clearly the WAM has a major
responsibility in financial monitoring. Also, Chapter 6 (recently revised) of the Contracts
Management Manual emphasizes the important role of WAMs in invoice review.
(Note: The standard Contractor data requirements for invoices and monthly financial progress
reports, presented in the next two sections, have recently been revised by OAM. The new standard
EPAAR clauses require additional detail in both the invoice and the progress report. The new
clauses are being implemented in new contracts and in modifications to certain existing
contracts. WAMs and POs should check with their COs to determine the particular requirements for
their contracts )
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D. REVIEWING CONTRACTOR INVOICES
1. Distribution of Invoices for Review
An invoice is the Contractor's bill or written request for payment for costs and services
performed. On cost-reimbursement and time-and-matenals contracts, invoices are called
requests for financing payments". An invoice payment is a Government disbursement of
monies to a Contractor under a contract or other authorization for costs or services
accepted by the Government. On cost-reimbursement and time-and-materials contracts, these
are called provisional payments". The Government is obligated to make payment to the
Contractor for services rendered within 30 days of receiving the invoice (Prompt Payment
Act).1 Reviewing invoices and recommending approval or disapproval of payment is an
important responsibility of the Work Assignment Manager.
Contractors submit monthly invoices on forms SF 1034 and SF 1035 - "Public Voucher for
Purchases and Services other than Personal," and "Public Voucher, Continuation Sheet." The
invoices are sent by the Contractor directly to the Financial Management Center - Research
Triangle Park (FMC-RTP). Most EPA contracts require the Contractor to submit a copy of the
invoice at the same time to the Project Officer and the Contracting Officer.
FMC-RTP forwards a copy of the invoice, together with the Project Officer Approval Form (EPA
Form 2550-19T) to the Project Officer for review and recommended action. Project Officer
response is required within 15 calendar days of the date the invoice is mailed from FMC-RTP.
The Project Officer distributes a copy of the invoice and monthly progress report (the
portion pertaining to the work assignment), along with an internal invoice approval form.
The WAM then reviews the invoice and progress report to determine if the payment request is
commensurate with the services performed or products delivered by the Contractor. Although
the time varies by lab/center/office, the WAM is typically given five days to review,
recommend approval or disapproval of payment, and return the invoice approval form to the
Project Officer.
In some cases, Contractors offer discounts if invoices are paid within a certain time
period, e.g.. 20 days. The PO and WAM should be aware of such case, as an opportunity for
savings on the contract.
2. WAM Procedures in Reviewing Invoices
In accordance with the revised EPAAR 1552.232-70, EPA cost-reimbursement contracts require
Contractor invoices to include current and cumulative charges by major cost element for the
overall contract. Major cost elements include such items as direct labor, overhead, travel,
equipment and other direct costs. Also, the invoice is to include a summary of current and
cumulative charges by cost element for each work assignment and the overall contract.
1 Note that interest penalties under the Prompt Payment Act do not apply to provisional payments;
nevertheless, the Act requires the Agency to pay all invoices within 30 days.
8-4
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Charges for each subcontractor and consultant are to be detailed in a supporting schedule,
indicating charges by major cost element.
If the costs in the financial progress report (discussed in Section E) differ from the
amounts in the invoice, the Contractor must provide a reconciliation with the invoice.
In addition, for current costs, the Contractor is required to provide a breakdown of the
individual cost elements for the overall contract. This includes supporting schedules for
such elements as direct labor (hours, average hourly rate and labor costs by labor
category), long distance travel (number of travelers by trip, duration, origin and
destination, transportation unit price, per diem, and total dollars billed), and other cost
elements.
Also, depending on the invoice preparation instructions in the contract, the above cost
breakdown would typically be required by individual work assignment. Note that a list of
labor hours by staff member is not required in the invoice. Also, the previous EPAAR clause
did not call for the level of detail indicated above, either at the contract level or work
assignment level. Certain contracts, until modified, may be operating under the more
general requirements.
Exhibit 8-1 provides an example of a contract level invoice (without all the supporting
schedules) based on the new EPAAR clause, on a cost reimbursement LOE contract. Exhibit 8-2
shows a work assignment level invoice.
Proper review of the invoice requires that the WAM confirm that:
The invoice cites the correct contract and work assignment numbers and period of
performance
Labor hours - total and by staff category - are reasonable
Travel costs are valid and reasonable
Other direct costs (other than travel) are valid and reasonable
The invoice does not include billing for items already included in a prior invoice
The invoice does not include unauthorized items, such as training or travel costs which
have not been pre-approved
Labor hours and total costs match those reported in the work assignment monthly
financial progress report submitted for the period
Labor hours and total costs to date do not exceed the authorized amount for the work
assignment (the authorized amount is that contained in the approved work plan)
If funding is allocated by work assignment, total costs to date do not exceed the
funding ceiling.2
2 As an additional management control, CMD-Cincinnati, on some contracts, establishes a funding
ceiling for individual work assignments. This represents the funding provided for (allocated to) the
work assignment to date. This essentially applies the limitation of funds principle to the work
assignment level. The funding ceiling may be less than the amount in the approved work plan.
8-5
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Exhibit 8-1
SAMPLE INVOICE - CONTRACT LEVEL
SIMM Form 1034
, 1910
/OUCHER NO
t TFRU 4 1000
PUBLIC VOUCHER FOR PURCHASES AND
SERVICES OTHER THAN PERSONAL
U S DEPARTMENT BUREAU OR ESTABLISHMENT AND LOCATION
Environmental Protection Agency
Financial Management Center - RTF
(MD-32)
Research Triangle Park, NC 27711
.DATE VOUCHER PREPARED
July 9, 1996
I SCHEDULE NO
p
CONTRACT NUMBER AND DATE PAID BY
68-D3-06&2 09/25/93
> REQUISITION NUMBER AND DATE
PAYEE'S
NAME
AND
ADDRESS
ABC Company
6846 Old Dominion Drive
McLean, VA 22102
DATE INVOICE RECEIVED
DISCOUNT TERMS
PAYEE'S ACCOUNT NUMBER
SHIPPED PROM
NUMBER
AND DATE
OF ORDER
DATE OF
DELIVERY
OR SERVICE
1
1
June
1 - 30
1996
TO WEIGHT GOVERNMENT B-L NUMBER
ARTICLES OR SERVICES QUAN-
lEmtr mcwon «om nuirooi or coiunci 01 Fodonl luvply i
tcrwMi >na«M>nomiMiiaMiiiM raenury)
For detail, see attached substitute
SF 1035 - Total amount transferred1
i
,
COST REIMBURSABLE PROVISIONAL
PAYMENT
UNIT PRICE ' AMOUNT '
COST 1 PER i (I)1
i
i
$101,418.37
1
I certify that all payments requested are for appropriate! purposes
and in accordance with the agreements set forth in the contract.
Ult communion snvfftltl tf n«ct>Miy
(Payee must NOT use the space below)
TOTAL
PAYMEN* APPROVED FOR
" PROVISIONAL
~ COMPLETE
~ PARTIAL
"~ FINAL
_ PROGRESS
~ ADVANCE
EXCHANGE RATE
DIFFERENCES
=S
=$1 00
BY i
T1TLE
mourn vntiM contci loi
Put »u*nl lo winoMv .euro tntnr i cctlriy m»i llwi woucrwi coned mna pioor* for DOV*I«M
i«ulnoiiiM Ctnifvnq on«t«l
ACCOUNTING CLASSIFICATION
0~ ACCOUVT OF U S TPE»SUP» CHECK NUMBER
ON (Name o! cent
DATE
i'k*i»it>r n*r «ruiovuic C i
|HO»4*C o**» '»
PER
TITLE
n Ooc Cenvjii* pc>
8-6
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Exhibit 8-1 (continued)
Substitute Form 1035
Voucher No. 9
Sheet 1 of 2
Billing Period: June 96
Date Submitted: July 9, 1996
To: U.S. Environmental Protection Agency
Research Triangle Park, NC 27711
ABC Company
6846 Old Dominion Drive
McLean, VA 22102
Contract 68-D3-0642
Dated 9/25/93
Est. Cost
Base Fee
Total
$851,015.00
62.124.00
$913,139.00
Summary of Claimed Current and Cumulative
Cost and Fee
Item Major Cost Elements
1 Direct Labor
2 Fringe Benefits @ .30 of Item 1
3 Subtotal
4 Overhead @ .40 of Item 3
5 Other Direct Costs
6 Subcontracts
7 Consultants
8 Travel
9 Equipment
10 Other
11 Subtotal
12 G&A@.12ofItem 11
13 Total Cost
14 Fee at $4.25/LOE Hr.
Total Amount
LOE Hours
Current
$ 34,957.50
10.487.25
45,444.75
18,177.90
12,435.59
4,800.00
1,642.57
0
2.814.70
85,315.51
10.237.86
95,553.37
5.865.00
$101,418.37
1,380 hrs.
Cumulative
$183,335.56
55.000.67
238,336.23
95,334.49
67,671.92
28,880.00
4,106.45
0
13.974.43
448,303.52
53.796.42
502,099.94
31.322.50
$533,422.44
7,370 hrs.
8-7
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Exhibit 8-1 (continued)
SUMMARY OF CONTRACT COSTS BY WORK ASSIGNMENT
Voucher No. 9
Sheet 2 of 2
Billing Period: June 96
00
00
Major Cost Element
Direct Labor
Fringe Benefits at .3
Subtotal
Overhead at .40
Other Direct Costs
Subcontracts
Consultants
L.D. Travel
Equipment
Other
Subtotal
GftA«t.l2
Total CoM
Fee at 4.25/LOE Hr.
Total Amount (Current)
96-1
96-2
96-4
96^5
96-6
96-7
96-8
Total
S 5.1 19 JO
1.535.85
6.655.35
2,662.14
0
0
0
0
400.81
9.718.30
1.166.20
10.884.50
807.50
SI 1.692.00
S 2.854.00
856.20
3.710.20
1.484.08
0
0
0
0
249.47
5.443.75
653.25
6,097.00
425.00
S6.522.00
S 7,918.00
2.375-40
10.293.40
4.117.36
0
0
0
0
520.10
14.930.86
1.791.70
16.722.56
1.054.00
$17.776.56
S 494.00
148.20
642.20
256.58
12.435.59
0
0
0
24.85
13.359.52
1.603.14
14,962.66
739.50
$15.702.16
$ 2.900.00
870.00
3.770.00
1.508.00
0
0
0
0
187.83
5,465.83
655.90
6.121.73
433.50
$6.555.23
$ 4.978.00
1.493.40
6.471.40
2,588.56
0
0
1.642.57
0
500.888
11.203.41
1.344.41
12.547.82
663.00
$13.210.82
$ 7.760.00
2.328.00
10.088.00
4.035.20
0
4.800.00
0
0
616.75
19.539.95
2.344.79
21.884.74
1.292.00
$23.176.74
$ 2.934.00
880.20
3.814.20
1.525.68
0
0
0
0
314.01
5.653.89
678.47
6.332.36
450.50
$6.782.86
$ 34.957.50
10.487.25
45.444.75
18.177.90
12.435.59
4.80000
1.642.57
0
2.814.70
85.315.51
10.237.86
95.553J7
5.865 00
$101.418.37
Cumulative
$98.278.89
$49.762.96 $81.295.30 $111.326.49 $34.458.55 $56.679.81 $85.217.84 $16,402.60 $533.422.44
-------
Exhibit 8-1 (continued)
Subcontractor: DEF
Voucher No. 9
Billing Period: June 96
Date Submitted: July 9, 1996
Item Cost Category
1 Direct Labor
2 Overhead at .89 of Item 1
3 Subtotal
4 Other Direct Costs
5 Travel
6 Other
7 Subtotal
8 Fee at .08 of Item 7
9 Total
Current
$ 6,037.00
5.372.93
11,409.93
0
104.51
11,514.44
921.15
$ 12,435.59
Cumulative
$ 33,014.44
29.382.85
62,397.29
0
261.90
62,659.19
5.012 73
$67,671.92
8-9
-------
Exhibit 8-2
SAMPLE INVOICE - WORK ASSIGNMENT LEVEL
Billing Period: June 96
CONTRACT NO. 68-D3-0642 -
SUPPORTING SCHEDULE FOR \VA NO. 96-3
Ave. Rate Current Cumulative
Item Cost Elements Hours (Current) Amount Amount
Direct Labor
P-4 48 $45.00 $2,160.00 $8,800.00
P-3 192 27.50 5,280.00 25,326.00
P-2 8 18.50 148.00 608.00
Clerical 20 16.50 330.00 1.430.00
1 Total DL 268 7,918.00 36,164.00
2 Fringe Benefits @ .3
of Item 1 2.375.40 10.849.20
3 Subtotal 10,293.40 47,013.20
4 Overhead @ .4 of Item 3 4,117.36 18,805.78
5 Other Direct Costs
Subcontracts 0 0
Consultants 0 0
L.D. Travel 0 0
Equipment 0 0
Other
Computer Time 187.00 654.50
Local Travel 56.75 283.75
Postage/Shipping 107.60 484.20
Reproduction 110.47 441.88
Telephone/Fax 58.28 290.40
Miscellaneous 0 171.65
6 Subtotal 14,930.86 68,145.36
7 G&A@.12ofItem6 1.791.70 8.177.44
8 Total Costs 16,722.56 76,322.80
9 Fee at $4.25/LOE Hr 1.054.00 4.972.50
10 Total Amount $17,776.56 $81,295.30
LOE Hours 248 1,170
8-10
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If subcontractor or consultant costs are claimed, subcontractors and consultants have
received approvals by the Contracting Officer
Estimate is provided of costs incurred but unbilled (e.g.. subcontractor costs for the
prior month are not in the current invoice because of the delay in billing)
Exhibit 8-3 presents a checklist that the WAM can use in reviewing Contractor invoices. WAMs
are required to document their invoice review and are strongly encouraged to use this type of
instrument to provide such documentation.
The WAM should review the invoice in conjunction with the monthly progress report (technical
and financial portions) to assess the reasonableness of the charges. Section E of this module
describes the monthly financial progress report.
Once the WAM has reviewed the invoice, he/she should complete the internal invoice approval
form used by the laboratory/center/office and forward the form to the Project Officer.
Exhibit 8-4 provides an example of an invoice approval form.
3. Completion of Invoice Review
Based on the input of the WAMs, the Project Officer completes the Project Officer Approval
Form, indicating approval or disapproval, and any amounts suspended for the invoice for the
overall contract. Prior to suspending any charges, the PO follows up with the Contractor to
clarify any questions. The PO may request that the WAMs assist in obtaining such
clarification. Any items subject to dispute such as excessive or unnecessary charges must be
discussed with the Contracting Officer prior to suspension.
For suspended charges, the PO completes EPA Form 2900-68, "Notice of Contract Costs Suspende
and/or Disallowed", and sends a copy to the Contractor, the CO, FMC-RTP and the EPA Cost
Advisory Office. The Contractor has 60 days to respond to the suspension. If the Contractor
does not respond in this time period, the suspended costs will be disallowed by the CO.
Additional detail on the invoice review process is presented in the EPA Invoice Review Guide,
developed by OAM.
4. Policies on Printing and Travel Discounts
In reviewing invoices, Work Assignment Managers should be aware of restrictions on printing
as well as opportunities to save money through Contractor travel discounts.
(1) Printing Restrictions
Unless otherwise specified in the contract, Contractors may not engage in, nor
subcontract for, any printing in connection with the performance of work under an EPA
contract. The term "printing" includes: composition, plate making, presswork, binding,
microform publishing,-or the end items produced by such processes. However, desktop
publishing is not considered printing unless the output is sent to a typesetting device.
All printing must be obtained through an EPA printing plant or another printing plant
under contract with the Government Printing Office (GPO). WAMs should coordinate with
the print shop before submitting documents to allow sufficient time for completion.
8-11
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Exhibit 8-3
CHECKLIST FOR REVIEWING INVOICES
General
1. Contract number is valid ( )
2. WA number is correct )
3. Computations are correct ( )
Labor/Total Costs
1. Labor hours match the financial progress report ( )
2. Total labor hours are reasonable for the work performed ( )
3. Labor hours by staff category (P-level) are reasonable ( )
4. Total costs are reasonable ( )
5. Total cumulative labor hours and costs are within the ceiling for the WA ( )
6. Remaining labor hours and dollars are sufficient to complete the WA ( )
7. Total costs (current and cumulative) match the financial progress report ( )
Travel and Training
1. Travel costs are valid and reasonable ( )
2. If required, travel was pre-approved by the PO ( )
3. Training costs are valid and reasonable ( )
4. If required, training was pre-approved by the PO ( )
Other Direct Costs
1. Copying charges are valid and reasonable with magnitude of deliverables ( )
2. Other direct costs are itemized and reasonable ( )
3. Purchase of any equipment has received CO approval ( )
Subcontractor and Consultant Costs
1. Subcontractors and consultants have received CO approval ( )
2. If subcontract is cost-reimbursement, prime Contractor has
provided breakdown of subcontractor charges ( )
3. Subcontractor costs are reasonable ( )
4. If subcontractor costs are lagging, estimate is provided ( )
8-12
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Exhibit 8-4
SAMPLE INVOICE APPROVAL FORM
INVOICE APPROVAL FORM
SUBJECT: Invoice #6 Work Assignment #96-5
TO: M. Taylor
(Work Assignment Manager) Contract # 68-D3-0642
FROM: P. Jones
Project Officer (8205)
DATE: August 10, 1996
Enclosed is a copy of an invoice for services performed under your work assignment for Contract
No. 68-D3-0642. The WAM Invoice Review Checklist is attached.
I need your recommendation for approval/exception within five calendar days of the above date
in order to approve the invoice for payment and comply with the Prompt Payment Act. Please indicate
your recommended approval or exception and forward the form to me along with the completed Invoice
Review Checklist.
Should you have any questions, please contact me at (202) 260-8999.
Work Assignment Manager Approval1
Charges reflected in this invoice are appropriate for payment and are mathematically correct.
(/) one:
Approved
Exception
Item and Amount
Reason for Exception
8-13
-------
Signed:
Date:
8-14
-------
Note that the printing restriction applies to newsletter production. In fact,
Contracting Officers must reject any work assignment that calls for newsletter
production. EPA's Headquarters Printing Management Section has a contract with
the GPO for the printing of all EPA newsletters.
EPA contractors may provide "duplication services," but only within specified limits.
Duplication is the making of photocopies, i.e.. "xeroxing." EPA contractors may
duplicate less than 5,000 units of one page, or less than 25,000 units in the aggregate of
multiple pages for any individual requirement. An individual requirement is considered
to be a deliverable, not the entire work assignment. If performance of the contract will
require reproduction in excess of these limits, the laboratory, center or office should
make arrangements with the printing plant for the performance of the duplication
services. In unusual circumstances, the Contracting Officer may seek a waiver from the
Joint Commission on Printing (JCP) for performance of such services by a Contractor.
(2) Contractor Travel Discounts
To enable the Contractor to qualify for a Government travel discount, the WAM should
draft an authorization letter on Agency letterhead for signature by the Contracting
Officer. The authorization letter should indicate the contract number, work assignment
number, Contractor, names of employees who will be traveling, and the specific period of
the travel. The WAM should also prepare a memorandum requesting the authorization.
After review by the Project Officer, the authorization letter and memorandum should be
sent to the Contracting Officer for review and signature. Exhibit 8-5 presents a sample
authorization letter.
The Federal Travel Directory (FTD) lists vendors who offer Government discounts to
Contractors. However, Contractors should understand that vendors are not required to
provide the discount.
8-15
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Exhibit 8-5
SAMPLE LETTER FOR AUTHORIZATION OF GOVERNMENT
TRAVEL DISCOUNT
(Must be on Agency letterhead)
To Whom It May Concern:
Please be advised that ABC Company is currently performing Government contract number 68-D3-0642
for the Environmental Protection Agency. In order for the contractor to successfully perform this
contract, a certain amount of essential travel has been authorized under Work Assignment No. 96-4.
Under the terms of this Government contract, the amount of travel costs for reimbursement to the
contractor is limited to the maximum ceilings specified by the Government Joint Travel Regulations
(same amounts as if a Government employee were traveling).
Therefore it is requested that during a travel period of April 1, 1996 to June 1, 1996 the
following Contractor employees receive the Government discount rates:
R. Simpson
M. Miller
H.Johnson
The above named firm is directly responsible for prompt payment of all travel costs incurred by
these employees, and after such payment is made, it will seek reimbursement from the Government in
accordance with the terms of the contract.
Thank you in advance for your cooperation in assisting this Contractor to reduce the contract
travel costs.
Sincerely yours,
H. A. Trent
Contracting Officer
cc: P. Jones, EPA Project Officer (8205)
8-16
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EXHIBIT 8-5
EXAMPLE OF MONTHLY CONTRACTOR FINANCIAL PROCESS REPORT
ABC Company
BPA Contract No. 6B-D1-0642
Monthly Financial Report
Month of June, 1995
| WP BUDGET
|WA/ T«ch. Coat/
IChng. Boura Co»t Hour
195-1/1 2.4SO 125,979 51. 43
|95-a/0 1,584 104.813 66.17
I9S-3/0 3.030 161, «72 53. CO
195-4/0 938 SC,<73 61.07
195-S/O 448 30.742 68.62
195-6/2 834 47,990 58.34
195-7/0 1,008 61,559 61.07
195-8/0 497 33,365 6S.13
1 Total 10,759 621,993 57.81
ICTORBNT BILLINGS
1 T«eh.
1 Hour* Coat
168 10,080
216 14,046
348 13,896
134 8,104
136 9,550
178 11,035
192 13,652
96 6,558
1,358 85,911
I CUMULATIVE BXLLXM08
1 Ttch. Cum * of
1 Hour* Coat Cart/hour Budgat
1.741 92.625 53.30 73.5
1.428 93,048 65.16 88.6
2,144 123,658 57.31 75.6
784 51.760 66.03 91.3
456 31.970 70.11 104.0
468 38,108 60.06 58.6
496 33.185 64.89 53.3
146 9.961 68.36 30.6
7,663 463,335 60.33 74.3
iraJCT MONTR PJUW.
Tach.
Hour* Comt
209 11,116
180 11,765
228 13,071
0 0
0 0
113 6,627
151 9,791
110 7,461
991 59.833
ESTIMATE AT COMPLETION
T»ch.
Boura Coat
2,368 125,979
1.606 104.813
2,629 161,672
784 51,760
456 31.970
799 47,990
949 61,559
473 33,365
10,366 618,308
1
PBRXOD or i
PERFORMANCE I
10/01/94 - 09/10/95
10/01/94 - 06/30/95
10/01/94 - 09/10/95
01/15/94 - 07/31/95
02/01/94 - 09/10/95
02/15/94 - 09/30/95
04/01/94 - 09/30/95
04/16/94 - 09/30/95 I
NOTESi Subcontractor charges and lome other ODCa lag by 1 month.
Next month' projection* Include subcontractor chargea and acne ODCs for
the current month.
CoetB include base fee only
-------
E. REVIEWING FINANCIAL PROGRESS REPORTS
1. Contents of Standard Financial Report
In accordance with the revised EPAAR 1552.210-72, EPA cost-reimbursement contracts require
that Contractors submit a combined monthly technical/financial progress report to EPA by a
certain date (e.g.. 15th) of each month following the first complete calendar month of the
contract. The technical content of the progress reports was discussed in Module 7. For term
type (i.e.. work assignment) contracts, the standard EPAAR clause requires the Contractor
to provide the following financial information - for the overall contract and for each work
assignment:
For the current reporting period, the amount claimed
For the cumulative period and cumulative contract life, the amount obligated (for
overall contract) or amount in work plan (for individual WA), amount claimed, amount
paid, amount suspended, amount disallowed, and remaining approved amount
List of employees, their labor categories and hours worked for the current period
For the current period, direct labor hours and costs expended, by labor category, for
the prime contractor and each subcontractor and consultant
For the cumulative contract period and cumulative contract life, the negotiated
(amount in approved work plan), expended, and remaining direct labor hours and costs,
by labor category, for the prime contractor and each subcontractor and consultant
Estimated direct labor hours and costs to be expended during the next reporting period
Estimated remaining direct labor hours and costs to complete the work assignment (for
individual WA)
Average cost of direct labor - the actual average cost of direct labor compared to the
amount in the approved work plan (for individual WA), or all approved work plans (for
overall contract)
Estimate of unbilled (lagging) allowable costs for the current and cumulative periods
Also, for the overall contract, information is required on the amounts invoiced and
remaining against any dollar ceilings, such as direct labor hours, total estimated cost,
award fee pool, subcontracts, travel, program management and other direct costs.
8-17
-------
An example of a financial progress report at the work assignment level is shown in Exhibit
8-6. The report is divided into three parts: Labor Distribution, Cost Summary, and Direct
Labor Cost Breakdown.
2. Analyzing the Financial Report
For the individual work assignment, the above financial information will usually be
attached to the technical progress report. The PO receives the combined
technical/financial progress report for the work assignment and distributes it to the WAM
along with the WA level invoice. The financial report can be used in several ways:
To assist in reviewing the invoice
To assess whether the actual labor hours and costs incurred in the month are reasonable
against the progress described in the technical progress report
To determine whether the level of contractor staffing (as represented by the hours by
labor category and the average cost/labor hour) is consistent with the estimate in the
work plan
To assess whether additional funds may be required to complete the work assignment
based upon a comparison of cumulative cost and technical progress and the cost to
complete.
Therefore in examining the financial progress report, WAMs should consider the followint
Do the total costs and labor hours for the month match those reported in the invoice?
Are the hours and costs for the period reasonable in comparison to the work performed?
Is the level of contractor staffing (as reflected by the cumulative average direct
labor or total cost/labor hour for the work assignment) consistent with the cost/hour
contained in the work plan? If it is appreciably higher (e.g.. 20 percent), this may
suggest that the Contractor is using more senior staff than planned which might cause
the work assignment budget to be exceeded. If the cost/hour is appreciably lower
(e.g.. 20 percent) this may suggest that the Contractor is using lower level staff than
planned, which might lead to performance problems.
Is the Contractor likely to need additional hours and funds based on (1) the comparison
of cumulative hours and costs with the level of progress described in the technical
report, and (2) the projected hours and cost to complete?
There is sometimes a lag in submission of the combined technical/financial progress report
and the submission of the invoice. (Invoices may come in 5-10 days earlier.) Thus, it may
be difficult to review the invoice and the financial report concurrently (and resolve
questions), because of the pressures of the Prompt Payment Act. To
8-18
-------
Exhibit 8-6
SAMPLE MONTHLY FINANCIAL PROGRESS REPORT
WORK ASSIGNMENT LEVEL
Contractor:
Contract No.:
Period of Report:
ABC Company
68-D3-0642
June 1-30, 1996
Work Assignment No.: 96-3
Part 1; Labor Distribution
Employee
D. Price
B.Jones
P. Brown
T. Cate
S. Young
Company
ABC
ABC
ABC
ABC
ABC
Labor Category
P-4
P-3
P-3
P-2
Clerical
Current Period
Hours
48
168
24
8
20
Total LOE Hours - 248
NonLOE Hours - 20
8-19
-------
Exhibit 8-6 (continued)
SAMPLE MONTHLY FINANCIAL PROGRESS REPORT
WORK ASSIGNMENT LEVEL
Part 2; Cost Summary
Current Period:
Amount Claimed: $ 17.756.56
Incurred but Unbilled: Q
Cumulative Contract Period'
WP Amount: SI22.597.20
Amount Claimed: $81,295.30
Amount Paid: S 53.646.18
Amount Suspended: Q
Amount Disallowed: Q
Amount Remaining: $41.301.90
Incurred but Unbilled: Q
Estimate for Next Period:
LOE Hours: 320
Total Cost: S 23.040
Estimate to Complete:
LOE Hours: 526
Total Cost: $ 41.302
8-20
-------
Exhibit 8-6 (continued)
SAMPLE MONTHLY FINANCIAL PROGRESS REPORT
WORK ASSIGNMENT LEVEL
Part 3; Direct Labor Cost Breakdown
Work PlaiCurrentCumulative Remaining
Labor Category
Prime
P-4
P-3
P-2
P-l
Subtotal LOE
Clerical
Total Prime
Subs/Consultants
DEF Co.
Consultant 1
Total DL
Less: Non LOE
Total LOE DL
Ave. DL Cost/Hour:
Ave. Total Cost/Hour:
Hours
288
1,280
64
0
1,632
168
1,800
0
64
1,864
168
1,696
Cost
12,960
35,200
1,248
0
49,408
2.772
52,180
0
5.120
57,300
2.772
54,528
WP:
Cumulative:
WP:
Hours
48
192
8
0
248
20
268
0
0
268
20
248
S32.15
29.69
$72.29
Cost
2,160
5,280
148
0
7,588
330
7,918
0
0
7,918
330
7,588
Hours
200
938
32
0
1,170
88
1,258
0
0
1,258
88
1,170
Cost
8,800
25,326
608
0
34,734
1.430
36,164
0
0
36,164
1.430
34,734
Hours
88
342
32
0
462
80
542
0
64
606
80
526
Cost
4,160
9,874
640
0
14,674
1.342
16,016
0
5.120
21,136
1.342
10,804
Cumulative: 69.48
8-21
-------
get around this problem, Project Officers and WAMs can perform a relatively cursory review
of the invoice to meet the time requirements, perform a more intensive review of Contractor
charges later in the month, and then handle discrepancies through adjustments.
The above problem may be avoided in part if the WAM and Project Officer require that the
technical/financial progress reports be submitted earlier (e.g.. by the 10th working day of
the month). Preferably, this should be specified in the contract at time of award, but it
can be done through a contract modification. If there is still a lag in the receipt of the
two documents, then approving the invoice as submitted, and adjusting the payment later
based on further review, is an acceptable practice.
3. Requiring Additional Financial Reports
The new contract clauses for the invoice and monthly progress report should meet the
information requirements of POs and WAMs for effective Contractor monitoring. If further
information is desired, the WAM and PO can request additional detail on the monthly progress
report, or, as an alternative, additional reports Such requirements can be implemented as
a provision in the overall contract at contract award, or alternately, through a provision
in the work assignment or a modification to the overall contract. The WAM and PO must
balance the benefit of the additional information with the Contractor cost in preparing the
report and the time to review them.
4. Summary of Contractor Financial Reporting
Combined, the new expanded data requirements for the invoice and monthly financial progress
report provide a substantial amount of detail to support effective financial monitoring.
Exhibit 8-7 summarizes the key information provided in the two reports.
8-22
-------
Exhibit 8-7
KEY CONTRACTOR FINANCIAL REPORTING REQUIREMENTS
TO SUPPORT EFFECTIVE FINANCIAL MONITORING
Source
1. Budget for each work assignment B
Labor hours by labor category
Costs
Costs/hour
2. Current and cumulative costs by work assignment B
Labor hours by labor category
Costs
Costs/hour
3. Projected cost for upcoming month by work assignment B
Labor hours
Costs
4. Estimated hours and total cost to complete by work assignment B
5. Current and cumulative charges for each work assignment, by A
line item, e.g.. labor, overhead, other direct costs, G&A, fee.
Similar information for each subcontractor.
6. Breakdown of other direct costs by work assignment, e.g.. travel, A
copying, telephone, equipment, training
7. Current period labor hours by labor category and by individual, A, B
by work assignment
8. Estimate of costs incurred but unbilled B
A Invoice
B Standard Financial Progress Report
8-23
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F. LIMITATIONS OF FUNDS AND COSTS
1. Basic Requirements
EPA contracts have clauses on limitations of funds and costs. When contracts are funded
incrementally, the Limitation of Funds clause applies. The Contractor is not authorized to
incur expenditures which exceed the total funding in the contract, and must notify the
Government when the cumulative costs within the next 60 days will exceed 75% of the amount of
funding in the contract.
When the contract is fully funded (i.e.. to the ceiling in the contract) the Limitation of
Cost clause applies. The Contractor is required to notify the Government whenever:
Cumulative costs within the next 60 days will exceed 75% (or 80 percent in some
contracts) the total estimated cost of the contract
Total cost will be greater or substantially less than estimated cost.
The responsibility for monitoring the total costs on the overall contract rests with the
Project Officer. The Project Officer monitors ceilings in both dollars and labor hours. To
support the Project Officer in this function, WAMs need to continuously review the financial
status of individual work assignments in order to determine whether additional funds or
labor hours will be required to complete the work assignment. Notwithstanding the issue of
the availability of funds, such additional requirements could cause the ceilings on the
overall contract to be exceeded. Thus, detailed financial monitoring by the WAM is
essential.
Similarly, EPA contracts typically have ceilings on the charges for individual
subcontractors. The WAM needs to communicate needs for subcontractors on work assignments
(as described in Contractor work plans) so that the Project Officer can monitor
subcontractor ceilings.
Unlike delivery orders under time-and-materials contracts, work assignments under LOE
contracts are not separately funded.2 Nevertheless, as indicated earlier, a budget is
established for each work assignment. The budget should be the cost estimate in the final
approved work plan. To support effective financial monitoring, WAMs and Project Officers
may require the Contractor to submit a letter notifying the Government when their cost
exceeds a certain percentage (e.g.. 80 percent) of the total budgeted cost for the work
assignment. This, in effect, applies the
2 As indicated earlier, CMD-Cincinnati, on some contracts, establishes funding ceilings for individual
work assignments. While funds are still obligated to the overall contract, funding amounts are
allocated to the individual work assignment.
8-24
-------
limitation of cost principle to individual work assignments. Such notification will assist
the WAM and Project Officer in identifying potential problems (e.g.. need for additional
funds) before the budget is completely expended.
The WAM and Project Officer can request such a notification under the Reports clause of the
contract. This can be done through a requirement in the work assignment or a modification to
the contract (covering all work assignments).
Regarding the Limitation of Funds clause, it is important for the WAM and Project Officer to
realize that the Contractor can only get reimbursed for work up to the funds obligated in the
contract. The WAM and the Project Officer must not encourage the Contractor to continue
work beyond the authorized funding under the expectation that additional funding will be
forthcoming.
Because the Limitation of Funds clause requires the Contractor to be prepared to wrap up
work within the available funding, it is important to keep the contract comfortably funded
and to avoid "just-in-time" funding. Ideally, there should be at least three months of
funding in the contract at all times.
Note that through a deviation to the standard Work Assignment clause (EPAAR 1552.212-71)
some EPA contracts may specify that the Contractor is not allowed to exceed the authorized
labor hours (i.e.. the total in the approved work plan) by any amount without written CO
approval. This in effect represents a limitation of hours at the work assignment level.
Also, the Contractor is required to notify the CO, PO and WAM in writing when 75 percent of
the authorized hours of the work assignment have been expended, and at that point, the
estimated hours to complete the work assignment. This is not a standard Agency requirement,
but a control used by some COs on selected contracts. The WAM and PO should review the
contract to determine if this requirement applies.
2. Special Concerns at Beginning of Option Years
Some WAMs have raised the question of what they can tell the contractor regarding continuing
work in a new option year while the work assignments and funding are still in process. The
WAM may ask if it is acceptable to tell the Contractor to "work at your own risk; we expect
that the money will be forthcoming."
Gaps in work performance may be avoided if WAMs and Project Officers prepare new work
assignments well in advance (e.g.. at least one month) of the beginning of the new fiscal
year and ensure that the necessary funding is available. Timely preparations of a carryover
forecast, discussed later in Section I, will support this. Nevertheless, there may still be
short gaps.
The guidance from OAM is that WAMs and Project Officers should always coordinate with the
Contracting Officer regarding what can be said to the Contractor regarding continuing work
and who should tell them. If a WAM unilaterally tells the Contractor to continue at his own
risk, this could be viewed as a commitment by the WAM. If the funding is not provided or the
work assignment is not issued, the WAM may have personal liability for the costs incurred.
Thus coordinating with the individual with contracting authority - the CO - is essential.
If the Contractor inquires on the subject, the WAM or Project Officer should suggest that
the Contractor call the CO.
8-25
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3. Exercising or Quantity Options
Many EPA contracts have both term options and quantity options In a term option, the
Government extends the contract period of performance. In a quantity option, the Government
increases the estimated level-of-effbrt. Quantity options should never be exercised to
simply raise the cost ceiling on a contract unless the additional hours are required.
Occasionally, the cost ceiling may be reached while the total hours are under the LOE
ceiling, if the Contractor's actual cost/hour is greater than planned. In such cases the
Project Officer should discuss with the Contracting Officer methods to increase the cost
ceiling. Exercising a quantity option is not an appropriate method, since a Contractor may
feel obligated to recruit additional staff when in fact, additional hours are not required.
While this is primarily a Project Officer issue, the WAM should be sensitive to this
improper use of quantity options.
8-26
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G. HANDLING OF MULTIPLE APPROPRIATIONS
This section reinforces and elaborates on the information presented in Module 4.
1. Key Issues
Most EPA contracts are funded by multiple appropriations. Some individual work assignments
are also funded by multiple appropriations. This provides an additional level of complexity
in reconciling Contractor charges by appropriation to the amounts obligated by
appropriation Also, there is the concern of charging the proper appropriation in
accordance with the nature of the work performed.
Another issue is that in some cases, property acquired by the Contractor may be funded by a
single appropriation, although the property actually benefits several work assignments and
appropriations under the contract.
Another problem may arise when another EPA office outside of EPA desires to use an EPA
contract vehicle to support a given project. If the other office does not provide the
necessary funding in advance, this may lead to using one appropriation to pay for work
supporting another appropriation. This creates the risk of an Anti-Deficiency Act
violation should the promised funding not be forthcoming.
2. Procedures
The selection of appropriation accounts to charge and the processing of requests by other
EPA offices to use EPA contracts (intra-agency funding) are typically Project Officer
functions. However, the WAM needs to be aware of and knowledgeable of these issues in
managing the work assignment. To properly address these issues, the following guidance is
offered:
(1) Procedures for Multiple Appropriations
To the maximum extent possible, individual work assignments should be funded by
single appropriations.
Where multiple appropriations are used for a work assignment and direct charging of
the appropriations is not feasible, approval must be obtained on the method of
allocating costs among appropriations and the correct use of the appropriations from
the Director, Financial Management Division (FMD) (see Contracts Management Manual,
Chapter 9).
Where property acquired by the Contractor benefits multiple work assignments and
appropriations, the charges should be allocated among the appropriations. FMD
approval is not required, but a justification for the allocation of costs among the
appropriations should be provided on the funding document.
8-27
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Where a separate program management
work assignment benefits other work
assignments, the charges incurred
on the management work assignment
should be allocated among all the
benefitting appropriations.
8-28
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H. IDENTIFYING AND RESOLVING ACTUAL OR POTENTIAL FINANCIAL PROBLEMS
The WAM can use the various reports described in Section E to help identify various
financial problems on the work assignment.
1. Budget Problems
The most common problem is that the Contractor cannot complete the work within the
budget. Some related issues may include:
Additional funds required for completion of the work assignment may not be available.
The level and rate of Contractor charges appreciably exceed technical progress.
The project has encountered complexities which were unforeseen and make it unlikely to
complete the work without significant additional funds and time.
The Contractor does not seem to understand the technical requirements of the project;
the likelihood of successful completion is questionable.
Some indications of potential budget problems are:
- 70 percent of the budgeted hours and costs have been expended, with only two of six
deliverables completed.
Cumulative average cost/hour significantly exceeds (e g.. by 20 percent) budgeted
cost/hour.
The Contractor continuously requires several iterations to produce an acceptable
deliverable.
When the WAM identifies problems of the type indicated above, he/she should immediately
notify the Project Officer. Actions the WAM and Project Officer can take include:
Adding hours and funds to enable the work to be completed.
Amending the work assignment to reduce the number of deliverables and tasks consistent
with the budget and available funding.
Shifting some of the work to the next fiscal year.
Encouraging the Contractor to reexamine his technical and staffing approach to improve
performance and contain costs.
Cutting off the project.
8-29
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While the Contractor is paid for all costs which are reasonable, allowable and allocable,
the WAM and Project Officer do have certain "leverage" with the Contractor by: (1)
adjusting the work assignment to best meet the Government's needs, and (2) motivating the
Contractor to pursue solutions through its interest in obtaining future work and desire to
maintain a good reputation.
Under cost-reimbursement contracts, Contractors are required to give "best efforts." The
Government can deny payment if such best efforts are not given. An example would be a case
where a Contractor refused to make changes to a deliverable that was judged to be deficient
despite several requests by the WAM or Project Officer. Before recommending suspension of
payment for such cases, the WAM should discuss this with the Project Officer.
2. Questionable Charges
Based on review of the invoice and financial report, the WAM and Project Officer may
identify questionable charges, such as:
Excessive hours with regard to the work performed.
High travel costs, with the purpose of the travel being unclear.
Training charges which have not been pre-approved and which are not reflective of a
change in method or equipment.
Incorrect work assignment numbers.
Charges which have previously been billed.
High copying costs.
The WAM should notify the Project Officer of any questionable items. The Project Officer
will then contact the Contractor to clarify and resolve the issue^ The WAM and PO can
recommend suspension of certain costs, if such costs are believed to be inappropriate or
lack supporting documentation. FMC-RTP will then typically pay the invoice, less the
suspension, pending resolution of the questioned amount. In some cases, charges may be
disallowed, i.e. a final determination that the Government will not pay the cost. Only
the Contracting Officer can disallow costs.
3. Stop Work Orders
If the Government is dissatisfied with the Contractor's performance, or otherwise desires
to stop work on a contract or work assignment while a problem or issue is being resolved, it
can issue a "Stop Work Order" to the Contractor. This can only be done by the Contracting
Officer. If the WAM believes that such an action should be taken, he/she should discuss
this with the Project Officer. The issuance of a stop work notice is one of several options
available to the Contracting Officer to address a performance problem.
8-30
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FORECASTING CARRYOVER FUNDS
Since LOE contracts are "severable," work assignments cannot continue into the next fiscal year
unless the period of performance of the contract crosses fiscal years. However, the funds obligated
under the contract can be carried over to the next fiscal year, as long as the funds are "no year"
money or "two-year" money (and one year remains in the appropriation). Science and Technology (S&T)
and the Environmental Program Management (EPM) allows funds to be spent over two years. The
Superfund appropriation has an indefinite obligation period.
(Note: In contrast to severable work assignments, non-severable delivery orders may continue into
the next contract period until completed. The funds originally obligated for the delivery order can
be used to complete the work even if the appropriation has expired.)
The Project Officer should provide the Contracting Officer no later than one month before the end of
the fiscal year a forecast of the funds to be moved to the next year of the contract. To support this
forecast, the WAM needs to project the unexpended funds on the work assignment. The Project Officer
will notify the WAM of the due date for this forecast. However, the WAM should begin estimating
carry over funds no later than 45 days before the end of the fiscal year. The WAM should analyze the
various financial reports and hold discussions with the Contractor to develop an accurate
projection of expenditures in the last two months of the fiscal year.
It is no longer necessary to move funds into the next contract period (term) prior to the expiration
of the current fiscal year. In the past, no-year funds, or funds unspent in the first year of a two-
year appropriation, which were not moved forward prior to the end of the current year, had to be
deobligated and recertified by the Comptroller for use in the next year. This is no longer the case.
Also, no-year funds (eg. Superfund) may now be moved from term to term at any time during the life
of the contract without concern for deobligation and recertification as long as the funds remain in
the contract.
Nevertheless, if the contract period coincides with the fiscal year, it is still highly desirable to
move excess funds from the current period to ensure funding is available at the start of the next
year.
Exhibit 8-9 presents an example of a WAM carryover forecast.
8-31
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Exhibit 8-9
WAM CARRYOVER FORECAST
MEMORANDUM
SUBJECT: Estimated Carryover Funds
FROM:C. Thomas
Work Assignment Manager
TO: D. Smythe
Project Officer
DATE: August 15, 1996
Based upon analysis of cumulative expenditures and discussions with the EFG Company Project
Manager, I estimate the following carryover funds for Work Assignments 96-1 (Development of EMAP DQ
Process Examples), and 96-3 (Editing and Formatting of EMAP QA Program Plan) on Contract No. 68-D3-
0839.
Work Assignment Number
96-1 96-3
Cumulative charges through $52,452 $28,687
7/31/96
Estimated costs, $10,600 $8,300
8/1/96 - 9/30/96
Total estimated costs through $63,052 $36,987
9/30/96
Estimated funding for work $70,000 $48,000
assignment
Estimated carry over funds $ 6,950 $ 11,020
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Briefing/Training
Guide
-------
FLEXIPLACE
EPA Headquarters
Briefing/Training Guide
May, 1999
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CONTENTS
Introduction
Q & A's
Matnx (EPA Policy. NTEU, AFGE Agreements)
Greater Washington. D C Area Federal Interagency Telecommuting Centers
"Being A Telecommuter"'
"Supervising Telecommuters"
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Introduction
EPA's Flexible Workplace Program (Flexiplace) goes back to 1990-1991 when the
\gencyjoined 14 other federal agencies in a home-based, flexiplace pilot program operated and
evaluated by OPM and GSA. As a result of the two year program, 0PM assured ali federal
agencies of their authority to establish such programs and encouraged their use. EPA's Flexiplace
programs continued under the OPM guidance until the Agency issued a new Flexiplace Policy
document (=?3180 - EPA Flexiplace Policy, December 23, 1997). The differences between the old
guidance and the new policy were primarily procedural and editorial The policy includes updated
forms, an updated standard work agreement and clarified terms and definitions.
An American Federation of Government Employees (AFGE) National Collective
Bargaining Agreement for flexiplace was negotiated and signed effective November 13, 1998.
The agreement must be implemented as approved by all organizational locations (including
Headquarters) within the AFGE National Council
Similar negotiations and agreement have been concluded at Headquarters with the
National Treasury Employees Union (NTEU) Chapter 280. That agreement is effective April 17,
1999
(NOTE- The policy document and the two union agreements may be found on EPA's
Intranet Website http //intranet.epa.gov/rmpohcy/hr)
This guide answers the most frequently asked questions about flexiplace, provides a matrix
of the major subject areas for the Policy document and the two union agreements; information on
the Greater Washington, D.C. Area Federal Interagency Telecommuting Centers, and do's &
don'ts for employees and supervisors It is intended to include the applicable guidance to meet
the training requirement.
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Flexivlace Frequently Asked Questions
I. What is Flexiplace?
Flexiplace is the assignment to work at an alternate work location other than an
employee's official work station.
2. Is participation in Flexiplace an emp'tipee right?
No. Flexiplace is a work arrangement that is discretionary on the part of
management and voluntary on the part of the employee.
3. What are the different types of Flexiplace?
Regular, episodic, and medical. In general, regular Flexiplace involves the
performance of existing duties at an alternative work location on a regular and
recurring basis. Episodic Flexiplace involves discrete work or assignments of
specific limited duration that can be performed at an alternative work location.
Medical Flexiplace involves the continued accomplishment of agency work while
an employee has a temporary medical condition that does not affect the
employee's ability to perform his or her regular work assignment at the alternative
work location. Please refer to the appropriate section in the agency policy or
union agreements for more specific guidance.
4. How is Flexiplace different than alternative work space?
These are two separate programs. The alternative work space program covers
those employees who, through approved medical documentation, may work at a
location other than their official work site due to problems associated with the
building or office space. It is a program with its own application process and
criteria.
5. Is there a budget far Flexiplace?
No specific funding has been provided for Flexiplace. This means that any associated
costs (e.g., extra computers, modems, dial-in lines, phone charges) will come from the
operating budget. Approval will be based on availability and additional cost to the
Agency among other factors.
6. Will there be a fortit on the number of people who are allowed to participate?
Not at this time.
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7. Are there any job categories or occupations that are automatically excluded from participation?
No. Applications will be reviewed on an individual basis.
8. Can SEE enrollees and contractors participate in Flexiplace?
No. The Flexiplace program applies only to EPA employees.
9. Can part-tone employees participate?
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be sufficient to provide both office and Flexiplace days.
10. Do employees need to re-apply Jar Flexiplace even if they were on existing pilot Flexiplace arrangements prior to
the agency policy or negotiated agreements with the unions?
Yes. All employees need to re-apply according to agency policy or appropriate
union agreement.
//. If an employee is denied one type of Flexiplace, can the employee apply for another type of Flexiplace?
Yes. For example, regular Flexiplace may not be appropriate but episodic
Flexiplace could be an option, assuming established criteria are met.
12. If an employee is removed Jrom Flexiplace participation, can the employee re-apply after a specified length of
time?
An employee can reapply after 6 months.
13. What type of training is required before entering into a Flexiplace agreement?
The training requirement is intended to assure that program participants
(employees and their supervisors) receive applicable guidance that covers
Flexiplace policies and guidelines, as well as personal and occupational aspects of
Flexiplace agreements. That may include training and/or other types of
communication which provides an overview of the program and die requirements
for participation.
14. Can the employee make changes to their alternative work location, work schedule or other aspects of their tour of
duty?
The policy guidelines provide for maintaining one's regularly scheduled tour of
duty, hours, etc. Any deviations from maintaining existing schedules should be
negotiated widi the employee's supervisor.
15. Can you remain on a compressed work schedule and also be on Flexiplace?
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Yes.
16. Can supervisors fora! the number of days to specific days because of the employee's existing compressed work
schedule?
Supervisors will consider the criteria contained in the policy and agreements and
determine the number of Flexiplace days based on the individual merits of each
request. The specific days can be designated by management based on
reasonableness and practicality of the request with respect to such issues as
.complexity of administrative arrangements, that need to- be made or potential
impact on other employees' workload.
1 7. Why is there a safety checklist? How does the employee certify the items on the checklist? Does it refer just to
the work area or to the whole house? What does the supervisor's signature signify? Certification? Receipt?
The safety checklist in an OSHA requirement for all federal agencies with Flexiplace
programs. The employee is expected to certify the conditions to the best of their
knowledge. Most of the items on the checklist refer to the space designated as a work
area. For instance, if an employee has a second-floor office/study to be used as an
Alternative Work Location (AWL), but there is water on the floor in the basement,
the office could be reasonably reported as "safe" because the basement is distant, not
work-related, and not used as a Flexiplace work area. On the other hand, if the
home has an asbestos problem, that would extend to the whole house, including the
AWL. The supervisor's signature on the form only acknowledges receipt of the safety
checklist. A safety inspection would need to be conducted to certify anything more.
If an accident or injury should occur in the AWL. it is important to notify your
supervisor immediately.
18. If the employee requests to work at a government worksite or GSA-approved telecenter, do they need to complete
the Self-Certificatum Safety Checklist?
No. The presumption is that a GSA-approved telecenter or other government
facility would meet existing workplace safety standards.
19. If I am on approved Flexiplace, must I give out my home phone number?
The Flexiplace program requires that you be accessible to the supervisor, co-workers
and customers to the same extent that you are in the office, by phone and LAN.
This includes your agreement to release your home telephone number or the number
of your AWL to "customers."
20. Does app&cationfor Flexiplace presume that you have day care arrangements taken care offer Flexiplace
days?
The Work Agreement you sign certifies that you will not conduct unauthorized
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personal business, such as day care or elder care, while in official duty status, and that
you will arrange for any dependent care and other personal responsibilities so as to
ensure work without interruption.
21. Does EPA have to install telephone tines, computers or other equipment at employee's home if they are approved
to work at home?
The agency will provide appropriate equipment, when it is available, for
employees to perform work at the Rexiplace work site. The agency may install
telephone lines and other necessary equipment and pay monthly telephone
rharg«?vin private residences under special circumstances. These decisions are
made on an individual basis based on the job and availability of funds and
equipment.
22. If an employee has a home computer, is there still a cost to the Agency?
Even if the employee also supplies a modem, there are likely to be other costs
associated with upgraded dial-in capacity, software licensing, and increased
telecommunications charges.
23. What are the rules with respect to taking Confidential Business Information (CBI) or other confidential
materials out of the office?
The rules vary depending upon which statute/regulations govern the use of the
documents.
24. Can I request overtime for work performed at home, either at night or on weekends?
The rules for overtime are the same at the AWL as they are in the office. The
overtime must be properly authorized and approved in advance.
25. If I am a part-time employee can I work extra non-overtime hours at the A WL?
Any extra hours must be approved in advance, just as in the office.
26. Can Flextplace be requested for less thanJuU day(s)?
Yes. Nothing in the agreement precludes it.
27. The agreement references codes to be used on the timecardsfor Flexiplace days. What are they?
Code "C" should be used for employees on regular 8-hour schedules (or less if part-
time); code "D" should be used for employees on compressed schedules. These
should be recorded in the "other absence" column.
28. How will supervisors monitor employees' work at the A WL?
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In order for work co be approved for Fl'exiplace it must be defined and measurable.
Those measures should ensure that the work is being performed. In addition, the
employee is expected to be at work and accessible by phone or e-mail throughout
their regularly scheduled work day. In some cases, employees may be asked to keep
hourly logs of work completed. Unauthorized absences will be treated the same as if
they occurred in the office-i.e., subject to disciplinary action and/or removal from
the Flexiplace program as appropriate.
29. How does participation in Flexiplace affect participation in the Transit Subsidy program?
If an employee's transportation costs are reduced to under the amount allocated, he
or she must request a reduction in the amount of transit subsidy requested. If the
employee already received money for a particular month that was not fully used, he
or she must request a reouciiori in the next month's subsidy.
30. If the government shuts down for weather related reasons, does the employee get credited for compensatory time
or overtime if they work on their Flexiplace day from their approved aUernatiae work location?
If the employee is on approved Flexiplace the day the government shuts down,
the employee is expected to work their normal tour of duty from their alternative
work location. The employee is not entitled to compensatory time or overtime
pay.
31. Can I vary my schedule at the A WL?
You are required to work the same schedule that applies at your regular work site.
32. Who do employees contact if they have additional questions on Flexiplace?
Employees should contact their supervisor or their respective union
representative. Managers and supervisors should contact the Labor Relations
Office.
33. WJiere can employees get copies of the agemy policy and negotiated agreements?
Copies can be obtained at EPA's Intranet Website: http://intranet.epa.gov/rmpolicy/hr.
34. Is there a re-certification requirement?
As indicated in Flexiplace, annual certification is required.
Application and Approval
35. How does an employee appfyfor Flexiplace?
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Depending on which bargaining unit they are in, the employee must complete the
appropriate application for Rexiplace and submit ail required materials to their
immediate supervisor for consideration.
36. Who signs and approves Fladplace applications?
Management. Depending on the organization, the employee's supervisor, upper
management (or a management committee in some organizations) may review
and make decisions on the applications.
37. Can the same supervisor sign and approve the Fladplace application?
Yes. Management will make the decision on all applications.
38. What are the criteria for approving/disapproving Flaaflace?
The agency policy and both union agreements lay out the specific criteria.
Generally, they involve such factors as portability of work, customer service,
available equipment and costs.
39. Who has the final authority to approve/disapprove applications or specific elements within the application?
Management. .
40. How much time do supervisors have to approve or disapprove an Fladplace application?
Normally, supervisors should make their decisions on applications within 15
calendar days.
41. If an employee is denied Fladplace, can the employee re-apply after a specked length of time?
The employee may re-apply at any rime if any aspects of the application change
(e.g., new work duties, new supervisor).
42. If an employee's application for Fladplace is not approved, what are the appeal rights?
Disapprovals may be grieved under the negotiated grievance procedure for
bargaining unit employees or the administrative grievance procedure for non-
bargaining unit employees. The first step of this process is to take the matter up with
the immediate supervisor in an attempt to settle it informally.
43. Who determines where the employee will work (home, GSA-approved telecenter, other)?
Management.
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44. Does the alternative work site or location need to be within the local commuting area?
The program and participant requirements of the EPA Flexiplace policy
anticipated that the work site location be within the local commuting area;
however, geographical location, by itself, is not among the criteria for disapproval.
The EPA Labor Relations Staff should be consulted in these situations.
45. Can employees request and be approved for more than one type of Flexiplace?
In unique circumstances, employees may be approved for different types of
Flexiplace at the same time. For example, an employee may be approved for
regular Flexiplace and later suffers a temporary illness or medical condition that
prevents them from performing their job duties in their normal work site. Upon
providing appropriate medical evidence, the employee could apply and be
approved for medical Flexiplace for the remaining work days. The employee
would continue to perform his or her regular work assignments.
46. Are different eligibility requirements used for the different types of Flexiplace?
Generally, the requirements for eligibility are the same for all types of Flexiplace,
but under episodic Flexiplace, the nature of the work will usually be a project or a
discrete portion of a project that is of short duration, with measurable work
products of an infrequent or occasional nature. Under medical Flexiplace, the
decision to approve/disapprove will also be based on the employee's ability to
provide definitive, conclusive medical evidence concerning his/her temporary
medical condition, and will include an expected retum-to-work date, not longer
than six months.
47. What is meant by "timely advance request" under employee responsibilities (p. 3 of the Agreement)?
Circumstances may vary widely depending on the various types of Flexiplace
involved, the nature and duration; therefore no specific advance notice penod is
specified. Employees should use good judgement in providing as much lead time as
possible in light of management's responsibility to evaluate the various aspects of the
request. An employee with a planned medical situation of substantial duration (e.g.,
one month), for example, would want to provide more advance notice than a request
for a one-day episodic request that arose as the result of an unanticipated assignment.
48. How many days can employees work under regular Flexiplace?
Normally, employees may be approved to work no more than two days per week
at the alternative work location. For more specific guidance, refer to the
definitions section in the appropriate agency policy and negotiated agreements.
49. What happens if I am on a Flexiplace agreement and I change jobs or there are other changes in my
assignments?
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These sorts of changes could trigger a reassessment of the Flexiplace arrangement for
suitability and continued approval.
50. Do new performance standards need to be written for employees on Flexiplace?
No. Changes should not be necessary because the actual duties to be performed
and any assessment of results should remain the same at the AWL. However,
critical elements and performance standards must have dearly defined
performance requirements tKat are quantifiable, measurable, and/or results
57. Does removalfrom the program affect an employee's performance rating? Is it considered a disciplinary action?
Terminating an employee's Flexiplace work agreement is not in itself disciplinary in
nature, nor does it necessarily imply performance problems. However, if the reason
for removal from the program were conduct-related (e.g., unauthorized absence from
duty) or performance-related (e.g., failure to complete assignments in a timely
fashion), then disciplinary and/or performance-based action might be warranted.
52. What type of medical information is required in order to be considered Jar medical Flexiplace?
The medical condition shall be certified in a manner acceptable to the agency.
Generally, it will be a physician's statement of temporary incapacitation including
diagnosis, prognosis, and targeted return date or other acceptable evidence
related to the reason for the employee's Medical Flexiplace request.
53. Do employees need to submit an application each time they request episodic ric-dp
Yes.
54. If the cost is less because I have a home computer, will I be more likely to be approved for Flexiplace?
This is not likely to be a primary factor. The portability of the work and other
approval criteria are more likely to affect approval of the request.
Fl
exace
55. How does Medical Flexiplace relate to sick leave?
Flexiplace should not be confused with leave. When an employee is on sick leave, he
or she is incapacitated or unavailable to work due to personal or family illness or injury.
Under Medical Flexiplace, the employee is able to work either part or all of the time,
but is especially unable to get to the office.
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56. Does Medical Flexiplace affect use of the Leave Bank? (e.g., now that work at home is available, will people
be expected to work instead of requesting leave bank?)
No. Participation in Medical Flexiplace is strictly voluntary.
57. For Medical Flexiplace, the language reads, "will normally not exceed six months." What does this mean and
why?
Medical Flexiplace is not intended as a permanent arrangement, nor as a substitute
for disability retirement. While six months was suggested as a benchmark for
identifying temporary as opposed to permanent situations, die agreement does
provide for extensions of this time frame where appropriate.
58. For Medical Flexiplace, the language also reads " the Employer may approve up to 5 days per week at the
alternate work location" what about part-time or fewer hours per day?
The number of hours per week an employee may work while on Medical Flexiplace
will depend both on the amount of work that can be performed away from the office
and the nature of medical condition involved. For example, if the condition is a
broken leg but the employee is not otherwise incapacitated to work, nothing would
preclude that employee working 40 hours per week assuming that amount of work
was available to be performed at home. On the other hand, if the employee is
recuperating from an illness, only a limited number of hours may be performed due
to medical limitations prescribed by the doctor. Medical documentation must specify
the beginning date of the medical situation and the number of days per week and
hours per day the employee may work.
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SUMMARY (See Pages 1-8 for more details)
FLEXIPLACE DIFFERENCES FOR AFGE/NTEU AND NON-BARGAINING UNIT
AGREEMENT
Differences
in the
agreements
EPA Flexiplace for
Non-Bargaining
Unit Employees
12/23/97
EPA Flexiplace for
Employees under the
AFGE Agreement
11/30/98
EPA Flexiplace for
Employees under the
NTEU Agreement
04/18/99
Regular
No more than two
days per week
outside the office.
No more than two days
per week outside the
office.
Flexiplace days must be
the same each week.
No more than-fourtlays
in any two week period.
Portability of
work
assigned
Supervisor will
assess the portability
of the work.
Supervisor will assess the
portability of the work.
Work must be part of
employee's regular
assignment and must be
clearly defined and
measurable.
Supervisor will assess
the portability of the
work.
Work must be part of
employee's regular
assignment, however
does not have to be
measurable.
Oversight
functions
Designate Program
Coordinator to
ensure admin.
functions are
appropriately
covered.
Union and management
will meet within 6
months of the
implementation date to
review available data
evaluate and resolve any
disputes.
Union and management
will meet within one
year of implementation
date to review available
data and to discuss and
identify concerns or
issues.
Application
requirements
Application
forwarded to
Flexiplace
Coordinator.
No time designated
for response.
Employee will submit
required application -
normally a written
decision will be provided
to the employee within 15
days after receipt of
applications.
Employee will submit
required application -
normally a written
decision will be provided
to the employee within
15 days after receipt of
applications
Training
All flexiplace
participants MUST
attend training
(provided by Prog.
Coord.)prior to their
initial participation.
Employees & their
supervisors MUST
receive applicable
guidance which may
include training and/or
other types of
communication.
Employees & their
supervisors MUST
receive applicable
guidance which may
include training and/or
other types of
communication.
-------
Flcxfplace at EPA Headquarters
Agency Flexiplace Agreement
AFGE Flexiplace Agreement
NTEU Flexiplace Agreement
Types of Flexiplace
and Their
Characteristics
Regular - Work as scheduled in advance and
performed at the alternate workplace on a
regular and iccurring basis. Normally,
employees will be scheduled no more Ihan
(wo days per week outside of the office
Episodic - Available on an ad hoc, short-term
basis to complete projects which are not
regular or recurring in nature.
Medical - Designed to permit employees who
have a temporary medical condition that
precludes them from working at the
conventional workplace to continue to be
productive and accomplish work assignments
that can be performed at a place other Ihan the
regularly assigned worksite. The medical
condition shall be certified in a manner
acceptable to the Agency.
Regular - Employees may request the
performance of duties at an alternate work
location on a regular or recurring basis
Normally, employees will be scheduled to
work no more than two days per week at the
AWL. Flexiplace day(s) must be the same
each work week under this form of
Flexiplace.
Episodic - This is appropriate for work on
assignments of specific limited duration that
can be performed at an AWL
Medical - This is designed for the continued
accomplishment of Agency work while an
employee has a medical condition which does
not affect the employee's ability to perfoim
his or her regular work assignments at an
AWL. The Agency may request the
employee to provide a physician's statement
of incapacitation or other acceptable evidence
related to the reason for the employee's
Medical Flexiplace request.
AWL This is an agreed upon work location
other than the employee's official duty
station.
Regular - Employees may request the
performance of duties at an alternate work
location on a regular and recurring basis
Normally, employees will be scheduled to
work at the discretion of their supervisor, no
more than four days in any two week pay
period at the AWL
Episodic - This is appropriate for work or
assignments of specific limited duration that
can be performed at an AWL.
Medical - This is designed for the continued
accomplishment of Agency work while an
employee has a medical condition which does
not affect the employee's ability to perform his
or her regular work assignment at an AWL
The Agency may request the employee to
provide a physician's statement of
incapacitation or other acceptable evidence
related to the reason for the employee's
Medical Flexiplace request
Responsibilities
A As and RAs-(l) Decide on the application
and use of Flcxiplacc assignments within their
respective AAships or Regions. This includes
determining which organizational elements
and/or positions may participate in the
programs and (2) ensure that appropriate
management controls and reporting
procedures arc in place before employees
Management - Approving the use of
Flexiplace in accordance with the terms of the
agreement and in consideration of such
factors as mission accomplishments, service
to the public, and costs and benefits to the
Agency and employees.
Employccs-(l) Completing required forms to
participate in the program; (2) Making
Management - Approving the use of
Flexiplace in accordance with the terms of the
agreement and in consideration of such factors
a mission accomplishment, service to the
public, and costs and benefits to the
Agency and employees.
Employees-(l) Completing required forms to
participate in the program; (2) Making
-------
Flexiplace at EPA Headquarters
Page 2
Agency Flexiplace Agreement
AFGE Flexiplace Agreement
NTEU Flexiplace Agreement
Responsibilities
(Cont'd)
begin Flexiplace assignments
Super visors-( I) Approve or disapprove the
employee's participation in the program; (2)
approve or disapprove worksite arrangements
(which must remain the same unless
otherwise approved by the supervisor); (3)
assess the impact of the proposed Flexiplace
assignments on the productivity or the office
as a whole and on any other affected
employees; (4) assess the portability of the
employee's work and the likelihood of the
employee's successfully completing it away
from the official duty station; (5) develop or
amend performance standards and
measurements, if necessary, for work
performed away from the official duly station;
(6) provide equipment, when necessary and
available, for the employee to adequately
perform assigned work; and (7) maintain
productivity recoid and information to
evaluate the employee's performance and
quality of work.
Employccs-(l) Complete work agreements,
(2) Observe agreed upon hours of work in
accordance with established EPA policies;
(3) Observe Agency policies for requesting
leave; (4) Safeguard Agency equipment and
use it only for official purposes; (5) Serve as
the designated official (employer
representative) in charge of their off-side
workplace, and therefore be responsible for
compliance with appropriate health and safety
regulations. As the designated official the
employee must-
timely advanced requests for use of
Flexiplace; (3) Observing agreed upon hours
of work; (4) Observing established policies
and procedures for requesting and using
leave; (5) Safeguarding Agency equipment
and supplies and using them only for official
purposes; (6) Completing the Employee Self-
Certification of Time and Attendance Report
and returning it to the supervisor on a bi-
weekly basis; (7) Performing only official
EPA business while on Flexiplace
assignment, including an AWL environment
that is free from distractions and
interruptions; and (8) Maintaining compliance
with appropriate health and safety regulations,
and reporting unsafe working conditions.
timely advanced requests for use of
Flexiplace; (3) Observing agreed upon hours of
work; (4) Observing established policies and
procedures for requesting and using
leave; (5) Safeguarding Agency equipment
and supplies and using them only for official
purposes; (C) Completing the Employee Self-
Certification of Time and Attendance Report
and returning it to the supervisor on a bi-
weekly basis; (7) Performing only official
EPA business while on Flexiplace
assignment, including an AWL environment
that is free from distractions and
interruptions; and (8) Maintaining compliance
with appropriate health and safety regulations,
and reporting unsafe working conditions
-------
Flexiplacc at EPA Headquarters
Page 3
Agency Flexlplace Agreement
AFGE Flexlplace Agreement
NTEU Flexlplace Agreement
Responslbllllles
(Cont'cl)
(a) complete the "Employee Self-
Certification Safety Checklist," which
identifies significant safely standards that
should be met; and (b)return it to his/her
supervisor prior to entering into a Flexible
Workplace Program Agreement; (6)
Complete the Employee Self-Certification of
Time and Attendance Report and returning it
to the supervisor on a bi-weekly basis; (7)
Respond in a timely manner to Agency
customers and to the public; (8) Complete
required training; and (9) if applicable, make
proper anangements for dependent care
during work-at-home hours, before beginning
the Flcxiplace assignment.
Program Coordinators^ I) Ensure that all
participating supervisors and employees arc
aware of their responsibilities; (2) Maintain
copies of all Flcxiplace applications and
workplace agreements; and (3) Monitor and
evaluate the program
Note: At his/her option, an AA/RA may
establish this position and place it anywhere
in the organization. However, if an AA/RA
docs not designate a coordinator, he/she must
ensure that the administrative functions listed
above are appropriately delegated and
performed by one person.
Eligibility
Rcgular-(l) have supervisory approval for
participation; (2) have worked as an EPA
employee for at least one year; (3) have at
least a Successful performance rating as the
most recent rating of record; (4) have clearly
Employees must: (1) volunteer for the
program; (2) have supervisory approval for
participation; (3) have worked as an EPA
employee for at least one year; (4) not be a
probationary or temporary employee; (5) not
Employees must: (I) volunteer for the
program; (2) have supervisory approval for
participation; (3) have worked as an EPA
employee for at least one year; (4) not be a
probationary or temporary employee; (5) not
-------
Flexiplace at EPA Headquarters
Page 4
Agency Flexiplace Agreement
AFGE Flexiplace Agreement
NTEU Flexiplace Agreement
Eligibility
(ContM)
defined performance standards and
measurements; (5) have portable work; (6) if
working at home, be able to provide an
appropriate work location with adequate
space not subject to undue interruptions
which would impact productivity and access
to a telephone; (7) have demonstrated to the
satisfaction of the supervisor the ability to
work independently; (8) be willing to sign
and abide by a written work agreement; and
(9) if applicable, be able to arrange for
dependent care during the time the employee
is working at home.
Episodic - The requirements arc the same as
for Regular Flexiplace; however, the nature of
the work will usually be a project or a discrete
portion of a project that is of short duration,
with measurable work products of an
infrequent or occasional nature.
Note: It is recommended that employees with
frequent public or internal client contact be
eligible only for Episodic Flexiplace
participation.
Medical - the decisions to approve an
employee's participation in Medical
Flexiplace is entirely that of the supervisor.
The approval/disapproval will be based on the
employee's ability to provide definitive,
conclusive medical documentation concerning
his/her temporary medical condition, and will
include an expected rcturn-to-work date.
As a rule, temporary medical conditions
would not continue for more than a few days
have had documented performance or
conduct deficiencies within the preceding 12
months; (6) have portable work; (7) if
working at home, be able to provide an
appropriate work location with adequate
space not subject to undue interruption which
would impact productivity and access to a
telephone; and (8) have demonstrated the
ability to work independently.
have had documented performance or
conduct deficiencies within the preceding 12
months; (6) have portable work; (7) if working
at home, be able to provide an appropriate
work location with adequate space not subject
to undue interruption which would impact
productivity and access to a telephone; and (8)
have demonstrated the ability to work
independently.
-------
Flcxiplace at EPA Headquarters
PagcS
Agency Flexlplace Agreement
AFGE Flexlplace Agreement
NTEU Flexlplace Agreement
Eligibility
(ContM)
to a few months. Supervisors may not leave
Medical Flexiplacc assignments open-ended.
Criteria for Supervisors determine approval based on
Approval and eligibility requirements, including their
Disapproval assessment of the portability of the
employee's work and the impact or the
proposed Flcxiplace assignment on the
productivity of the office as a whole and on
any other affected employees.
Approved -(1) portability of the work; (2)
reasonableness and practicality of the request;
(3) additional cost to the Agency; (4)
availability of necessary equipment; (5)
service delivery to internal and external
customers, including office coverage; and (6)
needs of the employee.
Approved -(I) portability of the work; (2)
reasonableness and practicality of the request;
(3) additional cost to the Agency; (4)
availability of necessary equipment; (5) set vice
delivery to internal and external customers,
including office coverage; and (6) needs of the
employee
Disapproval-(l) Agency employment for less
than one-year, (2) (he position requires
extensive face to face contact with employees,
clients or the general public; (3) the work
requires access to material which cannot be
removed from the official work site; (4) any
performance or conduct deficiencies have
been identified and documented; (5) the
employee's work schedule is insufficient to
provide both office and Flex (place days
because of a limited tour of duty; (6) the work
requires close supervision because the
employee is new to the work or is being
(rained on new or developmental duties, or
other work monitoring requirements; and (7)
the employee has not demonstrated an ability
to work independently, including time
management
Disapproval-( I) the nature of the position is
such that it cannot be performed from an
alternate work location; (2) Agency
employment for less than one year; (3) the
position requires extensive face to face contact
with employees, clients or the general public;
(4) the work requires access to material which
cannot be removed from the official work site;
(5) performance or conduct deficiencies have
been identified and documented; (6) the
employee's work schedule is insufficient to
provide both office and Flcxiplace days
because of a limited tour of duty; (7) the work
requires close supervision because (lie
employee is new to the work or is being trained
on new or developmental duties, or other work
monitoring requirements; and (8) (he employee
has not demonstrated an ability to work
independently, including time management
Flexlplace
Guidelines
(I) the employee must sign a Flcxiplace Work
Agreement that covers the terms and
conditions of participation in the Flcxiplace
Program (2) Work agreements for Regular
(I) The employee must sign a Flexiplace
Work Agreement that covers the terms and
conditions of participation in the Flexiplace
Program (2) The same work schedule rules
(I) The employee must sign a Flexiplace Work
Agreement that covers the terms and
conditions of participation in the Flexiplacc
Program. (2) The same work schedule rules
-------
Flcxlplace at EPA Headquarters
Page 6
Agency Flexlplace Agreement
AFGE Flexlplace Agreement
NTEU Flexiplace Agreement
Flcxlplace
Guidelines
(Cont'd)
Flexiplace will normally provide Tor a
minimum of three days per week at the
official duty station. (3) Position description
changes arc not necessary unless the
Flexiplace arrangement changes the actual
duties to be performed (4) Performance
standards and critical elements must have
clearly defined performance requirements that
arc quantifiable, measurable and results
oriented. (5) Any official lecotd removed for
or generated from Flexiplace assignments are
the property of EPA An employee must get
written approval before taking official
Records to a Flexiplace site Confidential and
Privacy Act information will continue to be
properly safeguarded at AWL just as it is at
the official duly station using established
guidelines and procedures. All official
records taken from the office location will be
appropriately documented. At the end of the
Flexiplace assignment (termination, return to
official duty location, etc.) the employee must
return all official records to the EPA office.
Employees must comply with any and all
other applicable records security laws,
regulations and policies. (6) Employees at
AWL are subject to the same maximum
workday limits as those working at the
official duty station. Employees must self-
certify time and attendance to their
supervisor. (7) Employees in the Flexiplace
Program arc covered by the Federal
Employee's Compensation Act. (8) The
Agency will provide appropriate office
equipment when it is available. (9)Employees
arc responsible for photocopying, mailing,
that apply at (lie regular work site apply at the
alternative work location. (3) Position
description changes are not necessary. (4)
Performance standards and critical elements
must have clearly defined performance
requirements that are quantifiable, measurable
and results oriented. Changes should not be
necessary because the actual duties to be
performed and any assessment of results
should remain the same at the AWL. (5) Any
official record removed for or generated from
Flexiplace assignments are (he property of
EPA. Confidential and Privacy Act
information will continue to be properly
safeguarded at AWL just as it is at the
official duty station using established
guidelines and procedures. Employees must
comply with any and all other applicable
records security laws, regulations and
policies. (6) Employees at AWL are subject
to the same maximum workday limits as those
working at the official duty station.
Employees must self-certify time and
attendance to their supervisor. (7)
Employees in the Flexiplace Program are
covered by the Federal Employees
Compensation Act. (8) The Agency will
provide appropriate office equipment when it
is available. (9) Employees are responsible
for photocopying, mailing, and faxing at the
AWL. (10) Employees performing work at
the AWL will follow established procedures
for requesting and obtaining approval of
leave.
that apply at the regular work site apply at the
alternative work location. (3) Position
description changes are not necessary. (4)
Performance standards and critical elements
must have clearly defined performance
requirements that are quantifiable, measurable
and/or results oriented. Changes should not be
necessary because the actual duties to be
performed and any assessment of results
should remain the same at the AWL. (5) Any
official record removed for or generated from
Flexiplace assignments are the property of
EPA. Confidential and Privacy Act
information will continue to be properly
safeguarded at AWL just as it is at the
official duty station using established
guidelines and procedures Employees must
comply with any and all other applicable
records security laws, regulations and
policies. (6) Employees at AWL aie subject
to the same maximum workday limits as those
working at the official duty station.
Employees must self-certify time and
attendance to their supervisor. (7)
Employees in the Flexiplace Program aic
covered by the Federal Employees
Compensation Act. (8) The Agency will
provide appropriate office equipment when it
is available (9) Employees arc responsible for
photocopying, mailing, and faxing at the
AWL. (10) Employees performing work at
the AWL will follow established procedures
for requesting and obtaining approval of
leave
-------
Fiexiplace at EPA Headquarters
Page?
Agency Fiexiplace Agreement
AFGE Flexlplace Agreement
NTEU Flexiplnce Agreement
Flexlplace
Guidelines
(Con M)
and Taxing at the AWL.
Changes
When any clement of the work agreement
changes (e g., position, work assignment, or
personnel changes, etc.), and participation is
still approved, the Fiexiplace arrangement
must be re-evaluated and modified.
Whenever changes occur, the following
actions should be taken: (I) If the change
results in a new supervisor for the Fiexiplace
employee and the employee would like to
continue telecommuting: (a) the new
supervisor will be provided
orientation/training and given an ovei view of
the employee's current work assignments and
(b) the employee and supervisor will assess
suitability for Fiexiplace and, if approved, a
new Fiexiplace work agreement wil be put in
place; and (2) If the change results from a
change in job tasks/assignments, the
employee and supci visor must reassess the
employee's suitability for Fiexiplace and
complete a new work agreement.
When any aspect of the work agreement
changes (c g., position, work assignment,
supervisor, alternative work location, etc.),
the employee and supervisor will reassess the
cmpoyce's work for Fiexiplace suitability and
continued approval
When any aspect of the work agreement
changes (e.g., position, work assignment,
supervisor, alternative work location, etc), the
employee and supervisor will reassess the
empoycc's work for Fiexiplace suitability and
continued approval
Withdrawal or
Removal From
Program
An employee may terminate his/her
Fiexiplace arrangement at any lime without
prejudice and return to his/her official duly
station
An unacceptable performance appraisal
automatically terminates an employee's
An employee may terminate his/her
Fiexiplace arrangement at any time without
prejudice and return to his/her official duty
station. Employee notice to the supervisor
should be in writing and acknowledged by the
supervisor to prevent misunderstandings
about the employee's work location.
An employee may terminate his/her
Fiexiplace arrangement at any time without
prejudice and return to his/her official duty
station. Employee notice to the supervisor
should be in writing and acknowledged by the
supei visor to prevent misunderstandings about
the employee's work location.
-------
Flcxlplace at EPA Headquarters
Page 8
Agency Flcxlplncc Agreement
AFGE Flcxlplace Agreement
NTEU Flexiplace Agreement
Withdrawal or
Removal From
Program
(Cont'd)
Flcxiplacc arrangement
Management retains the right to terminate an
employee's Flcxiplacc participation at any
time. Reasons for termination may include:
(I) the employee's Flcxiplacc assignment no
longer benefits the Agency; (2) the
employee's work assignments are not being
performed efficiently or effectively; (3) the
employee fails to comply with the agreed
upon program requirements; (4) the employee
fails to participate in requested program
monitoring and evaluation activities
(including surveys, focus groups, etc.); or (5)
conduct problems arise.
The Agency may remove an employee from
the Flcxiplacc Program based on the
employee's failure to adhere to the
requirements specified in the Flexiplace
Program Agreement, including performance or
conduct problems. When a decision is
made to remove an employee from the
Flcxiplacc Program, the employee must be
given written notice indicating the reason(s)
for removal. The employee may rcapply for
Flexiplace Program participation six months
after removal from the Program, provided that
his/her performance and conduct arc fully
satisfactory.
The Agency may remove an employee from
the Flexiplace Program based on the
employee's failure to adhere to the
requirements specified in the Flcxiplacc
Program Agreement, including performance
or conduct problems. When a decision is
made to remove an employee from the
Flcxiplacc Program, the employee must be
given written notice indicating the reason(s)
for removal The employee may rcapply for
Flexiplace Program participation six months
after removal from the Program, provided that
his/her performance and conduct are fully
satisfactory
-------
Welcome!
To the Greater Washington, D.C. Area
Federal Interagency Telecommuting Center Pilot Project!
latcragcncy
Tclcconimuting Center
Pilot Project
~/>VlC7 I ' TT3r\\v:
7 .. r-." ;-V T r^L^dM^flfl
Sponsored by
The U.S. General Services Administration
I Ct" I
-------
Federal Interagency Telecommuting Center Pilot Project
Project Overview
Sponsored by
The U.S. General Services Administration
As of January 1999, the U.S. General Services Administration (GSA) has established a
network of inieragency leiecenters in outlying communities surrounding Washington,
B.C.
These telecenters are designed as alternate workplaces that augment the work-at-home
option used by many Federal agencies as part of their "Family-Friendly" flexiplace
program arrangements.
For more information, select one of the links listed below or contact the GSA Office of
Strategic Innovations on (202) 208-1585 or Email at prentice.einarsen(2)gsa.gov.
Background i
i
" DC Area Telecenter Listing i
1
i
Pricing Srrucrurand Billing Procedures !
March 1998 Pilot Project Studv 1
1
i
1995 Interim Report .'
i
Asencv Telecommuting Coordinators !
1
Start-up Procedures
DC Area Telecenter Mao
Legislative Sunnorr ^
n
Julv 1997 ReDort to Congress
GSA Telecommuting Homepage '
Nationwide Telecenter Listins '
Thanks for visiting the Telecenter P*'et P'oje " homepage! If you have any comments or
suggestions regarding this page, please direct them to the Office of Strategic Innovations
on (202) 208-1585 or Email at prentice.einarsen(cb*sa.sov.
::: 996:.
- =v
-------
Federal Interagency Telecommuting Center Pilot Project
Washington DC Area
Telecenter Listing
Sponsored by
The U.S. General Services Administration
The information on this page is current as of January 15,1999. Changes are made as
needed. If you detect outdated or incorrect information or if you want more information
pertaining to thi sproject, please contact the GSA office of Strategic Innovations on (202)
208-1585 or Email at prenuce.einarsen(a)ssa.sov.
yiary land
Hagerstown
14 North Potomac Street, Suite 200
H£2ers:c-ATi. MD 217-0
Info: (301) 745-5601
Email: mibrav@aol.com
Internet: http://nilot.wasfa.Iib.md.us/teiework
Frederick
7340 Executive Way, Suite M
Frederick, MD 21704
Info: (301) 698-5904
Email: telework@ibasvs.net
Internet: http://www.ibasvs.net/telework.htTn
Bowie
Community Network Telework Center
Thurgood Marshall Library
Bowie State University
14000 Jericho Park Road
Bowie, MD 20715
Info: (301) 352-4390
Email: telework@bowiestate.edu
Laurel (Spring 1999)
Laurel Telecommuting Center
Laurel Lakes Corporate Center
13974 Baltimore Avenue-
Laurel, MD 20707
Info: (301)934-7628
Email: danettec@charles.cc.md.us
Internet: www.telecommutesomd.org
Laurel
-------
Mary'.ar.c Natior.al Guard Lear:;ir=""re!eCenter
860 i Oceile Road
Laurel, MD 20708
Info: (410) 429-4514
On-site phone: (301) 210-3394
Email: kmcneill@erols.com
Internet: www.edmonds-associates.com/telecomea.html
Reisterstown
Maryland National Guard Leaming/TeleCenter
13610 Desert Storm Lane, Camp Frenerd
Reisterstown, MD 21136
Info: (410) 429-4514
Email: kmcneill@erols.com
Internet: www.edmonds-associates.com/ieiecomea.html
White Oak
Maryland National Guard Leaming/TeleCenter
12200 Cherry Hill Road
Silver Spring, MD 20904
Info: (301) 352-4390
Email: telework@bowiestate.edu
A joint project involving GSA. ihe MD Nat'l Guard and Bowie Si. University
Calvert County
Calvert County InTeleWork Center
110 S. Solomon's Island Re.
Prince Frederick, MD 20678
Info: (301) 934-7628
Email: danettec@charles.cc.md.us
Internet: www.telecommutesomd.org
Waldorf
Waldorf InTeleWork Center
128 Smallwood Village Shopping Center
Waldorf. MD 20602
Info: (301) 934-7628
Email: danettee@charles.cc.md.us
Internet: www.telecommntesomd.org
Virginia
Fairfax City
GMU Telecommuting & Training Center
4031 University Drive; 1st Floor
Fairfex,VA 22030
Info: (703) 279-3301
Email: teleworkfSqmu.edu
Hemdon
GMU Telecommuting & Training Center
"68 Center Street
Hemdon, V A 22170
Info: (703) 279-3301
Email: teieworkfSJgrau.edu
-------
GMU Teiecorr^-nutrr.g & i rainir.g Center
100 Cirsen-.er 5::ee:. Ste 103
Sterling, VA 20166 Info: (703) 279-3301
Email: teieworkfSgmu.edu
Manassas
9500 Godwin Dnve: Building 105
Manassas, VA 20110
Info. (703) 367-3GOO
Email, no.commute@lmco.com
Interne::
www.lmco.com/manassas/teleco m m ute
13 Nonh Loudoun Street
Winchester, V A 22601
Info: (540) 678-1909x226
Email: info@svtbc.com
Spotsylvania County
10799* Columbia Drive
Fredericksburg, VA 22408
Info: (540) 710-5001
Email: italcott(5)radco.state.va.us
Internet: www.radco.state.va.us/teiecomm
Stafford County
2721 Jefferson-Davis Highway, Suite 11
Stafford, VA 22554
Info: (540) 710-5001
Email: italcotti/5>radco.state.va.us
Internet: w\vw.radco.state.va.us/telecomm
Note: A new telecenter is scheduled to open along the 195 corridor in the
Woodbridge area in early 2999.
West Virginia
Jefferson County
401 South Fairfax Blvd.
Ransou, WV 25438
Info: (304) 728-3051 x252
Email: wekome@ictc.org
Internet: www.ictc.org
Thanks for visaing this webpage! If you have any comments or suggestions regarding this page, please
direct them to the GSA Office of Strategic Innovations at the phone number or email address listed above.
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website:
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"R eing A Telecommuter
" One nun we know would dress
in a coat and tie. get into Ms Of and
drive around the block before going
back into the house to sttft his
day."
Los Angeles Times
June 1989
To be a successful telecommuter, you will need to learn to deal
with less structure and more freedom in completing your work-
Telecommuting is not as simple as staying at home and working.
It requires careful planning and discipline. The following section
has been designed to provide you with some basic tools for work-
ing at home and maintaining or increasing your level of produc-
tivity, and the quality, quantity, and timeliness of your work
product
Getting Organized
If you take the time to develop good work habits from the first
day that you start telecommuting, you will realize that it can be
easy to get your work completed away from the office.
Pick a work location.
It is very important that you identify a safe location in your
home as your work space. You do not need to devote a
whole room to your work station. Some telecommuters
have successfully developed part of an existing room, a
garage, an attic, and even a closet into their work station.
Make sure that your work station is safe and separated
from other areas.
Establish a routine.
Try to set a work schedule for the days you telecommute
and stick to it as much as possible. Start and stop working
at the same hours on telecommuting days. This will help
establish a work routine for you.
Replace the ritual of getting ready for the office.
As a telecommuter, you will no longer have the traditiorul
office rituals of morning conversations, coffee, a suit and
tie, or even the long dreadful commute that will symbolize
the beginning the work day. You may need to come up
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with some new rituals. Some telecommuters play specific
music, or start working after the morning exercise or bike
ride. Find a ritual that will work for you.
Make a to-do list for your work assignments.
Develop a list of goals and assignments for the days mat
you telecommute. By die end of the day go c -er your list to
see how much you have actually accomplish .-i. Sometimes
it is better to make this list the day before yo\.- telecom-
muting day, so that you can plan for all the resources that
you will need at home. Schedule your work so you don't
need assistance from others on your telecommuting days.
Remember you may not have access to a fax machine, a
photocopy machine, or even a computer at home. Plan
your work accordingly.
Have an end of the day rituaL
It is good practice to have some ritual in place that mark.
the end of the work day. Be creative
Managing Your Work
As a telecommuter, you will need to manage your work very
efficiently. It is up to you to make sure you are as well informed
and as hard working as you have always been.
Maintain contact with the office.
Make sure that you are staying in touch with the office on
days that you are telecommuting. Some telecommuters set
up a buddy system with a trusted co-worker or a secretary
in the office, whom they call once a day when they are tele-
-------
~R eing A Telecommuter
commuting. Check your messages on the days that you are
telecommuting and return calls if possible Don't fall out of
touch just because you are telecommuting. Decide early in
the day how accessible you want to be. As a telecommuter,
you may have the luxury of actually working for three to
four hours without any interruptions.
Have an answering machine.
If you do not have voice mail in your office, it is recom-
mended that you use an answering machine at home to
pick up your messages wherr you are in the middle of a
project or unavailable You will also need to decide
whether or not the secretary in your department should
give out your home number as the number where you can
be reached on a telecommuting day.
Have a system at home.
Establish a system for organizing the work that you keep or
do at home. Otherwise, you will end up with stacks and
trails of paper everywhere.
Stick to deadlines.
Make sure you are following the same rules for deadlines
as in the office. Don't miss deadlines. If you are mailing
reports, send them so they are at the office on the day that
they are due or earlier. If you are sending your work via
the computer over the phone lines, it should also be there
on time.
Keep your manager inf ormed of your progress.
As a telecommuter, you win need to make sure that your
supervisor or manager is kept informed on the status of
your projects, your progress, or any difficulties you are
having. Think of your manager as a customer you need to
keep satisfied.
Attend department gatherings.
Always attend department gatherings and group meetings.
You don't want to become invisible just because you are
telecommuting.
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Training Family, Friends &
Neighbors
to be taken seriously as a telecommuter, you will need to take
telecommuting seriously yourself. Be careful not to create a bad
image for telecommuters. You will need to train the people
around you so you don't have too many interruptions.
The message is that you are at home working.
The first thing you will need to do is to let everyone
around you know that you are working at home and you
still have the same responsibilities that you normally have
as an employee. You have the same objectives, the same
goals, and the same deadlines; the only difference is that
you can complete part of your assignments at home.
Decide on which type of interruptions are OK.
You should decide under what circumstances family or
friends can actually interrupt your work to ask you ques-
tions, favors, or have you respond to an urgent need. You
may want to develop some ground rules for your family
when you are working at home. Some telecommuters
actually have their families set the rules so that they can
buy into the whole process. A family meeting might be a
good time to raise some of these issues. You will also need
to set some rules with neighbors and friends. Don't lose
your cool! You should try to remain flexible. Sometimes
the errand that someone may ask you to run may be the
short break you need.
Set rules for the use of office materials, equipment,
pens, papers, etc in the home.
You may need to set some rules regarding the use of office
supplies needed at your home work space, Decide on
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"R eing A Telecommuter
issues such as whether the children may borrow pens,
paper, stapler, etc You may want to call your work space
off-limits to other members in your household.
Don't telecommute if there are problems at home.
It is best to avoid telecommuting on days when you know
there will be distractions in the home. Additionally, if you
have an elderly family member who needs care, or an
infant or a toddler home during the whole day, it will be
difficult to telecommute and complete any work. You
might want to wait until you have additional help at home
before you start telecommuting.
Telecommuting is not a replacement for child care.
Do not assume that because you are at home working, you
can also take care of the children. Telecommuting can
allow you to have more flexibility in accommodating your
child care needs but cannot really replace it If you think
you can take care of the kids and do your work, you might
actually end up with two jobs instead of one, and this will
prevent you from handling your County job in a profes-
sional manner.
Developing Good Habits
Develop good habits when telecommuting and beware of overin-
dulgences.
Pace yourself so you don't burn out
Make sure you are taking enough breaks and you are not
turning into a workaholic just because your work is always
You must be able to start and end the work day in a
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timely manner. Schedule a few breaks throughout the
work day. On the other hand, don't develop bad work
habits and do less work than before
Watch out for bad habits.
Watch out that the following habits don't creep up
on you:
A Snacking too often
A Sleeping late
A Talking on the phone too long
A Watching too much-TV
A Drinking
A Smoking
A Wearing your pajamas all day long
A Paying the neighbors too many visits
A Procrastinating
These habits are detrimental to telecommuting. Try to
remove all the possible temptations so mat you can conduct
your work.
Review
The key to successful telecommuting lies in being able to manage
your work space, your job, your family members and others, and
yourself. With some determination, discipline and commitment
and by rcllrwir. - the guidelines set for you in this document, you
can make telecommuting work for you. Just remember there were
rules mat you followed in the office and you will need another set
of rules for working in your home. It is your responsibility to
make telecommuting work.
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"R eing A Telecommuter
Don't give telecommuting a bad name.
Don't nm errands for everybody in the neighborhood just because
you arc at home.
Don't stay on the telecommuting program if it is not working for
you. Telecommuting does not suit every person's lifestyle or job
responsibilities.
Ergonomics
Designing your workspace is an important step to insure success
while working at your remote location. Spend time planning your
workspace now, so you won't have to waste time later rearranging
your office. The key components of your home office are:
Your Desk
The height of the work surface should satisfy the require-
ments of the most critical task. Conventional desk surfaces
are usually about 29 inches high which can be perfectly
adequate for many tasks. A common height recommended
for computing surfaces is approximately 26 inches. Be sure
your desk is a comfortable height for you.
Your Chair
This is probably the most important piece of furniture in
the office, so it should be selected carefully. The seat
should be adjustable and the height of the top surface of the
seat to the floor should be 15 to 21 inches. Both the height
and angle of the bactoest should also be adjustable. It
should also provide support at the back of your waist.
Armrests should be substantial enough to provide support,
but not so large as to be in the way. Find a chair that s
comfortable for you.
e lighting to « office on affect comfort, visibility and ;
perfbnnJ* Whether you are using natural d.yl,ght or
-------
artificial lighting, it should be directed toward the side or
behind your line of vision, not in front or above it Bright
light sources can bounce off working surfaces and diminish
your sense of contrast Northern daylight is the best light
for your office and for operating a computer.
Electricity
When configuring your work space, be alert to the electrical
support needed for your equipment Arrange the hard-
ware as follows:
A Cover interconnecting cables or make sure they are
placed out of the way to avoid the possibility of
tripping over them.
A Place the equipment in dose proaxnity to electrical
outlets. If using a computer, or a fax machine,
connect it to a surge protector/master switch.
A Place heavy items on sturdy stands dose to walls.
A Provide sufficient air space around the computer
components. Keep equipment out of direct sunlight
and away from heaters.
Noise
A totally noise-free environment can be stressful. Psycho-
logically, some background sound dike music) can be
beneficial in maintaining a level of productivity and reduc-
ing boredom. Your professional image may be affected by
sounds of crying children, lawn mowers, vacuum cleaners,
or barking-dogs while you attempt to conduct business
over the phone at home. You may be able to shut a door to
eliminate noises. The use of a room divider or screen may
prove useful in controlling the noise Should you choose to
use music in your home office, you may find that it helps
you concentrate.
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eing A Telecommuter
Do's
Have a workspace at home.
Have a beginning of the day ritual
Stick to the s&me scKc rh-.'c oil telecommuting days.
Take breaks throughout the day.
Keep your work organized so you don't have paper everywhere at
home
Flan your work ahead for your telecommuting day.
Train family members and neighbors when you may be inter-
rupted.
Avoid bad habits like overeating.
Call the office and keep in touch as often as necessary.
Stick to all deadlines.
Maintain or increase your level of performance.
Take telecommuting very seriously.
Attend department and group meetings.
Keep your boss informed of the progress you are making.
Have some type of end of work day ritual such as a walk around
the block.
If telecommuting works well for you, talk to your supervisor or
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« I love my commute. It's about 50 manager about increasing the number of days you can telecom-
/eeL* mute.
Computeriand Magazine _, , . ..
September 1988 « telecommuting is not working for you, talk to your supervisor
or manager. See if you can jointly find ways to solve the
problem(s) that you have been encountering. If the problems
persist, you may want to consider going off the program. Remem-
ber that your participation in the telecommuting program is en-
tirely voluntary.
Don'ts
Don't procrastinate or develop bad work habits at home.
Don't change your work schedule every time that you telecom-
mute
Don't let the radio or TV distract you or impair your professional
image.
Avoid working at home if you are not getting along with your
spouse.
Don't work at home if you have an infant, a toddler, or an elderly
person who requires your constant care and attention.
Don't take work home that requires group decisions or constant
input from co-workers.
Don't run to the refrigerator too often.
Don't start sleeping late on telecommuting days.
Don't stay in your bed clothes all day long.
-------
upervising Telecommuters
Management Skills
To be successful it supervising your remote employees, you will
need to use the management skills with which you currently
manage your employees who work in the office. The skills which
you wiUrdy upon the most freci««itly are
Assisting remote employees in organizing their work.
Understand the time frames involved in completing tasks,
and me resources required to see the projects through to
completion. By using your planning skills as a super
you will be successful in effectively distributing work
among your employees and feeling confident that they wiH
be capable of completing whatever tasks you will be assign-
ing.
Assigning work to the employees.
Establish a means of communicating to employees the ex-
pected end product as well as the due date, the anticipated
quality, and any other criteria which might affect the suc-
* Cbtnpinig that do nothing bot cessful completion of the individual tasks on which the
put* bunch of terminals in peoples' employees will be working.
homes and not much dae wffl
The means by which you communicate what needs to be.
people and make sure ttay «rt sffl done, when it needs to be completed, and by whom it
part of the office.* needs to be done may take the form of a phone call, a
weekly face to face meeting, or a written memo. Usewhat-
Alan J«yWfefaa>fterident ever means of communication is most comfortable for you.
Summit r^potfe Group ^ ^ ^3^^ Q£ remote employees, your valuable time
spent communicating with the remote workers will dictate
.the caliber of work which they produce. You need to spend
time communicating very dearly and concisely what is
expected of the telecommuting employees.
-------
Establishing timeframes.
Work with your employees in developing attainable
timeframes. The employees will dearly understand what
the workload is and will be more focused in their work if
they are following a timetable. The timetable is a list of the
tasks which need to be completed and the times by which
those tasks need to be accomplished,
Reviewing status.
Establish intermediate review periods to determine the
progress on the tasks which the employees are performing.
The intervals for assessment may be at particular points
dining the project upon completion of certain tasks or on a
rring basis, such as once a week on Monday.
Coaching and developing employee's capabilities.
Make the most of the tune you spend with your remote
ployees because your time together is limited. Always r«.
inforce positive behavior. Bring unsatisfactory perform-
ance to the employee's attention immediately and develop
the capabilities in your employees to correct whatever defi-
i they may have Use the communications tools
avaOable to you to provide your employees with timely
and ongoing feedback whether that be via voice mauV elec-
tronic mail, a phone can, or a face to face meeting.
You should already be familiar with these skills and be using
mem while supervising your employees located in the office. You
wfll find that refining these management skills will not only bene-
fit your remote workers, but you as wdL You wOl be pleased to
experience a greater degree of organization and the capability of
actually being able to accomplish more tasks by using these skills.
Organization leads to increased job satisfaction.
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C upervising Telecommuters
Management Methods
Managing employees from a remote location isn't new. To ensure
the success of your telecommuting program, be aware of the
following tips and traps:
A Managing by wifely supervising isn't necessarily good
supervision. You can achieve good supervision without
being in dose proximity. You wul be managing by objec-
tives and results instead of managing by observation.
A In order for the telecommuters to succeed at telecom-
muting, you need to succeed at supervising. This is a win-
win situation for you and your employees.
A Understand mat mere is resistance to managing employe
from a remote location. That resistance does not translate
to an impossible obstacle or unachievable goal
A Ifs all right for employees to drop out of the program. This
arrangement is not cast in concrete.
Being aware of some of the adjustments involved with telecom-
muting win give you an edge in finding resolutions to concerns,
prior to those concerns becoming problems. This program brings
a tremendous amount of flexibility into your working environ-
ment Take advantage of mat flexibility.
Managing By Objectives
MBO is a management tool which affords you and your
employees the opportunity to dearly communicate your ex-
pectations as a supervisor and the employee's expectations
as a telecommuter. You may find that mis tool is so sue*
cessful that you implement it as a means of managing all of
your employees! Implementation of MBCXs can be accom-
plished as follows:
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A Prepare an itemized list of what you expect from the <
ployee. This list on be organized on a weekly basis,
monthly basis/ or a quarterly basis. You have the flexibility
to establish objectives in * format which will be easy for
you to administer.
A Indude the telecommuter in the process of establishing ob-
jectives. This allows the employee to provide valuable
input in defining expected results.
A Be very explicit about what you expect from the employee.
Establish a matrix or graph and dearly define what the tele-
commuter needs to accomplish.
A Create a document to support your telecommuting arrange-
ment You can treat this document as an agreement be-
tween you and the telecommuter covering what is expected
of the telecommuter.
A Track the results. If you are establishing weekly objectives,
schedule a meeting in a week to review the telecommuter's
accomplishments. Use this as a dynamic document, ca-
pable oX being dunged whenever necessary. This docu-
ment wffl enable you and the telecommuter to instantiy de-
tennine whether or not your telecommuter is successful
Maintain a copy of the objectives for your file and make a
copy for the employee to keep. Employees feel more con-
trol over their destiny if they too on track their success.
This management tool wifl provide you the capability of manag-
ing the products which your employees produce, not the process
they employ to readi the goal, m many instances, your focus
should not be on how me employee accomplishes the task, but
instead on the quality, quantity, and timeliness of the completed
work product
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Team effort
The non-telecommuters are as critical to the program's ef-
fectiveness as the telecommuters. Your work group's
success depends upon the efforts of all the members of the
team.
Support strategies.
The non-telecommuters shouldn't be expected to do extra
work in the office while the telecommuters are working
from their remote locations. Establish mutual strategies
which will support both the non-telecommuters and the
telecommuters.
Communications links.
Establish guidelines for contacting the telecommuters when
an issue arises in the office which requires immediate
action. Don't expect the non-telecommuters to work on
their own assignments as well as handling problems for y
telecommuters, while the telecommuters are working from
their remote location.
Establish procedures for answering the telecommuter's
phones while they are telecommuting. Indude the secretar-
ies and receptionists in the process of formulating;what
they wffl say when they answer the phone. Refrain from
advising incoming callers, "Ms. Jones is at home today."
Instead, use the phrase, "Ms. Jones is working from another
location at mis time. HI be happy to have her return your
call as soon as she is able.'
Instruct the telecommuters to can the office at regular inter-
vals. Determine whether it will be the telecommuters' re
sponsibffity to can »e secretary for messages, or if it will be
the secretary's responsibility to can the telecommuter with
messages. Provide the secretaries and receptionists with a
list of the telecommuter's home phone numbers. Your
department may find that forwarding the telecommuter's
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Q upervising Telecommuters
* We hive to bruk through five
idea that an executive is a person
who drives 33 miles a day to a
central location where hundreds or
thousands of people work faicu-
bides and, unless you go there,
nothing gets done.*
AlvinToffter
lines b voice cull is a satisfactory method of insuring that
their calls are answered without adding extra work for the
secretaries mo receptionists.
Keep t log of Ihe incoming calls answered by the secretary
or receptionist for the telecommuter. This will assist you in
determining how much exin work has been generated as a
result of the telecommuting program. The log will 9 ?£i
provide documentation showing when die call came ir.tc
the office, and when it was passed to the telecommuter.
The existing social network.
The non-telecommuters must understand mat the
interaction within the office will change with the advent of
telecommuting. Thek best buddy with whom they share
oaffee breaks and lunch hours may no longer be available
to spend that time with them The non-telecommuters will
no doubt experience an unbelievably quiet environment
when the program fust begins.
A Contingency plan*.
Establish Murphy's law strategies to guide the work group
through every "what if situation which may exist Ad-
dress afl issues pertinent to me team as a whole. Encourage
the telecommuters and non-telecommuters to jointly par-
X^lOAcC &1 ttUS C9CCF^atf£*
What happens if it is not working?
You and the telecommuter must understand mat not every-
one who tries telecommuting is successful. However, many
problems encountered by telecommuters can be resolved
with your assistance.
Some problems the telecommuter my face are
A Uncontrollable distractions.
The neighbors and the family just don't understand that
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while the employee is at home he is unavailable for other
activities.
Cabin fever.
Being at home 24 hours a day becomes unacceptable
Productivity and/or quality of wode.
The employee's productivity and/or fee quality of the
employee's work has declined since the employee has been
participating in the telecommuting progn
A Desire or need to be around people.
The employee discovers the need for social interaction is a
critical factor in her life.
Should the telecommuter experience any of these or other prob-
lems, review the information in mis handbook on how to success- -
fully telecommute, and try to help the telecommuter isolate his
problem. Continue working with the telecommuter until the
difficulty has been overcome.
If it becomes apparent mat the employee must terminate partici-
pation in the project don't hold a grudge against that employee
because he was notsuccessrul in his efforts. Help the employee to
understand mat he is of value to the organization and bring him
back into me office as quickly as possible.
As a last resort consider bringing the telecommuter back into the
office lull
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Q upervising Telecommuters
A Bright Future For
Telecommuters
A key concern for telecommuters is less visibility and its impact
on upward mobility in Ac organization. Here are some points to
assist you as a supervisor in maintaining high visibility for your
telecommuters.
Monitor employee performance.
Look for above average performance among the telecom*
xnuters.
Encourage your employees to set higher goals.
Assign more complex projects which will assist in develop-
ing your employee's skills.
Communicate.
Advise the upper echelon in your organization of the
telecommuter's achievements.
Ensure visibility.
Take advantage of "opportunity assignments" and have the
telecommuters participate in those assignments. When the
opportunity arises for presentations, be sure to include the
Don't forget about your telecommuters just because they are not
in the office Out of sight is not out of mind!
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Review
Always keep in mind that good communication skills arc the
backbone of a successful telecommuting program.
A Talk to your telecommuters.
A Use your effective listening skills when exchanging infor-
mation with your remote workers.
A Include your subordinates in activities which are taking
place in the office while they aren't mere. For example,.
when you celebrate a birthday in the office, include your
telecommuters on a speaker phone when you sing "happy
birthday" to the celebrant This will make your telecom-
muters feel like they are a part of the day to day world in
your organization.
A Frequent communication with your telecommuters will
enable you as the manager to maintain the appropriate
guidance and direction with your employees.
A Keep the avenue open for reciprocal communications from
your telecommuters, This will assist the telecommuters in
avoiding feelings of isolation.
A Bring your telecommuters back into me office at regular
intervals. As a manager, you can assign core days for your
telecommuters to be in the office. The core days will be
great opportunities for team meetings.
The telecommuting program for the County of Los Angeles is
extremely flexible Take advantage of mat flexibility, for it win
assist you in achieving success in your telecommuting efforts.
Happy telecommuting!
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Q upervising Telecommuters
Do's
TRUST your I
Encourage good organizational fVilh
Develop your
Require partidpaticai in the surveys and evaluation process.
Encourage goal setting.
Give appropriate and timely feedback
Take the tune to plan.
Manage by measuring results.
Communicate regularly.
Use telecommuting as an opportunity to strengthen your manage-
ment skills.
Be flexible and use your creativity to achieve optimum results
Take telecommuting very seriously.
Delegate assignments equitably among your telecommuters and
your non-telecommuting employees.
Flan meetings when your telecommuters can participate.
Include your telecommuters in day to day activities.
-------
Schedule regular status reports.
Be prepared if telecommuting does work well to allow the em-
ployee greater frequency of telecommuting.
Be prepared if telecommuting doesn't work well to allow the
employee to terminate participation in the program.
Don'ts
Don't conduct curfew checks.
Don't call your telecommuter every hour to check on progress.
Don't ignore your telecommuter.
Don't ask for constant status reports.
Don't set unrealistic deadlines for projects.
Don't neglect problems.
Don't set unattainable goals.
Don't manage by dosely supervising.
Don't expect perfection; there will be adjustments.
Don't give telecommuting a bad name
Don't expect everyone to be a successful telecommuter. Allow the
unsuccessful telecommuter to terminate participation in the pro-
gram.
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TELECENTER BILLING PROCEDURES
Procedures for submitting standard GSA Form (Telecommuting Reimbursement Sheet)
Standard GSA Form - sample - spaces completed with generic information
4 Standard GSA Form - blank
-------
TELECENTER BILLING PROCEDURES
Billing procedures to be followed for each employee authorized to use a GSA telecenter
I. Actions to be completed PRIOR to submitting the GSA form to the Office of Facilities
A management representative from the AA-ship (e.g. P.O., Flexiplace Coordinator, etc) will
assure that the following actions/documentation is complete PRIOR to forwarding the billing form
to Facilities:
A. Basic Flexiplace documentation - assure that basic documentation is complete as required
by Flexiplace policy 3180, AFGE agreement and/or NETU agreement.
B. Management approval of telecenter use - assure that basic documentation includes
approval of a specific telecenter location, and telecenter schedule.
C. Select telecenter, schedule and confirm selection with Local Telecenter Coordinator -
assure that local telecenter coordinator has been contacted by phone, and has confirmed the
proposed use of telecenter space and telecenter schedule. NOTE: All telecenters and
coordinators are listed as an attachment to the basic GSA Form - "Telecommuting Facility
Reimbursement Information Sheet". In addition, all telecenters, local coordinators, prices, and
individual center website are listed at: www.gsa.gov/pubs/owi/pilot.htm
II. Complete GSA Form ("Telecommuting Facility Reimbursement Information Sheet).
A. Complete GSA Form and deliver to Robert H. Garrison, Facilities, 3204, voice:260-8226,
FAX-260-6519, Email: garrison.robert@epamail.epa.gov.
(1) Mr. Garrison will review the GSA-form, obtain signature approve, and
return a COPY to the AA-rep.
(2) The completed COPY must be presented by the employee to the local GSA
Telecenter Coordinator.
(3) The ORIGINAL will be forwarded by Facilities to the GSA Central Office.
B. Sample GSA-Form - attached.
A completed sample GSA-Form is attached. All spaces are completed EXCEPT those
pertaining to a specific telecenter, telecenter schedule, and telecenter costs.
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C. Blank GSA-Form - attached
A bank form is also attached. Directions for completion are contained in the
form. In addition, directions for completion of the standard information required
by Facilities is as listed below. The GSA-Form is also available at the GSA
website.
Directions for completion of the GSA-Form
Block #
1. Request Date-
2. GSA Use Only
3. U.S. Environmental Protection Agency
4. Telecommuting Work Site - As appropriate
5A. Agency Contact - Robert H. Garrison
5B. Contact Telephone Number - (202) 260-8226
5C. Contact Fax Number (202) 260-6519
5D. E-mail garrison.robert@epa.gov
5E. Contact Address USEPA (3204), 401 M Street, SW, DC 20460
6. Flexible Workplace Program Summary
Check as Appropriate
7. New User
8. Amendment
9A. Billing Type -N/A
9B. Billing Terms Y
10. Requested Service Dates
A. Start
B. Completion -
11. Agency Certification Amount Total fee for use of particular
telecommuting center
12A. Agency Location Code N/A
12B. Agency ID # -N/A
12C. Fund Code N/A
12D. Agency Accounting Data
9900 B51E4A0301G 23.31 NW4053
13 A. Fed Code -N/A
13B. Bureau Code 6800
14A. Agency Finance Billing Address -
USEPA Accounting Operations Office
-------
14B. Street Address 26 West Martin Luther King Avenue
14C. City Cincinnati
14D. State OH
14E. Zip Code 45268
15A. Certifying Official's Signature
15B. Date
15C. Name of Signer - Rich Lemley
16A. Credit Card Number N/A
16B. Exp. Date -N/A
16C. Type of card N/A
16D. Card Holder Name -N/A
17. Certifying Official's Phone Number - (202) 260-2030
-------
Standard GS A Form - sample - spaces completed with generic information
-------
Sienine UP to work in a GSA Telecenter is as E-Z as 1-2-3!
3.
Complete a Telecommuting Facility Reimbursement Information Sheet for each user. (All users must give a copy of their
agency approved Information Sheet to the appropriate Telecenter Director. The sheet validates and approves reimbursement of
telecenter services to GSA.)
Send a copy of the information sheet to GSA, Public Buildings Service
1800 F Street NW. - Room 4333
ATTN: Penny Eioarsen
Washington, DC 20405
Make reservations at a GSA Telecenter by telephoning the appropriate center director as follows:
Miinhrul
Bowie /Thurgood Marshall
Library
Bowie State University
14000 Jericho Park Road Bowie, MD 20715
POC Joyce Larrick
(301) 352-4390. FAX 352-4513
Frederick
7340 Executive Way, Suite
Frederick, MD 21704
POC Bill Porter
(301) 698-5904, FAX 696-2848
Hagerstown
1' Morth Potomac Street,
00
stown.MD21740
. ~<_. Mary Bray
(301) 745-5601, Fax 745-5700
Southern Maryland
POC Danette Campbell
(301) 934-7628, Fax 934-7686
Calvert InTeleWork Center
110S Solomon's Island Rd
Prince Frederick, MD 20678
Waldorf InTeleWork Center
128 Smallwood Village Shopping Center
Waldorf. MD 20602
National Guard Learning Cntrs
(410) 429-4514. FAX 429-2986
POC Renee Thrower
Laurel
8601 Odelle Road
Laurel. MD 20708
Rcisterstown
Camp Fretterd
13610 desert Storm Lane
Reisterstown. MD 21136
(Bowie) White Oak
12200 Cherry Hill Road
Silver Spring, MD 20904
POC Joyce Larrick
'"M) 352-4390, FAX 352-4513
S25
$125
S50
$250
S50
$250
S54
$54
$25
$25
S25
$25
$270
$270
$125
$125
$125
SI25
\Mj"im:i
Northern Virginia
POC Larry Siegel
(703)279-3301
Fairfax City
4031 University Drive, 1st Floor
Fairfax, VA 22030
Fairfax, VA 22030
Hemdon (Mar 1998)
768 Center Street
Hemdon, VA 22070
Loudoun Co
100 Carpenter Street, Ste 103
Sterling, VA 20166
Manassas
Dairy! Dobberrul
(703)367-3000, Fax 367-0126
9500 Godwin Drive, Building 105
Manassas, VA 22110
Fredericksburg/Woodbridge
POC Jennifer Alcoa
(540) 710-5001, Fax 710-5004
Spotsylvania County
10799 Columbia
Drive
Fredericksburg, VA 22408
Stafford County
2721 Jefferson Davis Highway
Stafford, VA 225 54
Woodbndge
13546 Mmmeville Road
Woodbndge, VA 22192
Winchester
13 North Loudoun Street
Winchester. VA 22601
POC Linda Whitmer
(540)678-1909, Fax 678-1939
\\C-M \ minim
Jefferson County
401 South Fairfax Blvd
Ranson, WV 25438
POC Pete Smith
(304) 728-3051. FAX 728-3068
sfer
X fee)
S52
$52
$52
$40
$260
$260
$260
$200
$52
S52
$98
$52
S260
$260
S490
$260
$77
$385
-------
Washington DC Area Telecenters
FY99 Pricing Structure &
Billing Procedures
FY99 Pricing
1999 daily and monthly fees, as listed on the previous page, are set to 50% of the operating cost per workstation.
These fees are subject to change at the beginning of FY2000 with the user agencies paying 100% of the operating
cost per workstation. (This new pricing structure aligns with language included in PL 105-277, The FY99
Omnibus Bill.)
Billine Procedures & Responsibilities
1. User agencies will provide GSA and the appropriate telecenter director with a completed Telecommuting
Facility Information Sheet for each user.
2. The user agency will pay the basic fees for the agreed workstations as described in the Telecommuting
Facility Information Sheet(s). A 30-day written notice must be given for any fee adjustments. The user
agency will continue being billed until the center director is notified of the termination by the user or user
agency.
3. Additional workstations may be added at any time, however, an updated Telecommuting Facility Information
Sheet must be submitted to GSA and the telecenter directors) prior to the user occupying the telecenter.
4. At the beginning of each month, the telecenter director will compute the user fees and forward them to the
GSA, Finance Office or charge them to the agency credit card as authorized in the Telecommuting Facility
Information Sheet.
-------
-ECOMMUTING FACILITY REIMBURSEMENT 1- REQUEST DATE
INFORMATION SHEET
3.
AGENCY NAME U.S. ENVIRONMENTAL PROTECTION AGENCY
5A. AGENCY CONTACT ROBERT H. GARRISON
SB
CONTACT
TELEPHONE NO
SC
CONTACT
FAX NUMBER
AREA CODE
202
AREA CODE
202
PHONE NUMBER
2604226
EXT
n/a
PHONE NUMBER
26M519
2 CONTR.OL NUMBERfGSA
Use only)
4. TELECENTER WORK SITE
SE CONTACT ADDRESS
USEPA (3204) 401 M Street. SW. DC. 20460
SO E-MAIL
garrison.robert@epamail.epa gov
6 FLEXIBLE WORKPLACE PROGRAM SUMMARY. List fees and usage below (30-days notice is required for fee adjustments related to unused
workstation days)-
EMPLOYEE NAME
WEEKLY USAGE
MON - TUE WED THU
FRI
MONTHLY COST (S'S)
TOTAL COSTS:
1) This payment document will be submitted to GSA on an annual basis. 2) The user will give the center director 30-days notice prior to
vacating a telecenter or requesting fee adjustments and notify the appropriate user agency personnel. 3) The telecenter director will notify
GSA of the use termination by signing in Section 18 and forwarding a copy of this document to GSA. PBS. Business Performance.
CHECK AS APPROPRIATE
7. New User
8. Amendment
9A. BILLING TYPE
n/a
9B. BILLING TERMS
Y
12A AGENCY LOCATION CODE
n/a
10 REQUESTED SERVICE DATES
A. START:
B. COMPLETION:
11. AGENCY CERT. AMT.
12B AGENCY ID #
n/a
12C FUND CODE
n/a
13A. FED CODE
n/a
138 BUREAU CODE
6800
14A. AGENCY FINANCE BILLING
ADDRESS
USEPA Accounting Operations
14B STREET ADDRESS
26 West Martin Luther King Ave.
14B CITY
Cincinnati
14C STATE
OH
14D ZIP
CODE
45268
12D. AGENCY ACCOUNTING DATA: (LIMITED TO 60 CHARACTERS)
16A. CREDIT CARD NUMBER
16B EXP DATE
9900 B 51E4 A0301G 23.31 NW4053
n/a
n/a
-------
1&A. CERTIFYING OFFICIAL'S SIGNATURE 1 DATE
Rich Lemley, Director, Facilities Mgmt & Services Oiv-3204 I
15C NAME OF SIGNER (Type or Pnnt)
16C TYPE OF CARD
fie.VISA)
nil
16D CARD. HOLDER NAME
(TYPE OR PRINT)
n/a
17 CERTIFYING OFFICIAL'S PHONE NUMBER
AREA CODE
202
PHONE NUMBER
260-2030
EXT
n/a
GSA & Center Director Records:
18 CENTER DIRECTOR TERMINATION SIGNATURE
POINT OF SALE TERMINAC (For Credit Cant Purchases Only)
M A. FINANCE B.
PBS
SIGNER'S NAME (Type or Pratt)
25C DATE
-------
KEEP A COPY FOR YOUR RECORDS AND FORWARD COPIES TO:
1) YOUR OBLIGATING/PAYING OFFICE
2) GSA (Business Performance, 1800 F Street NW, Washington, DC 20405
attn: Penny Einarsen, Room 4333)
3) Telecenter User
Instructions For Completing the Telecommuting Facility Information Sheet
1
2
3
2
Enter Date of request.
Leave Control Number Block Blank GSA Use Only
Enter name of Agency requesting telecenter use
Enter telecenter location name & building #
Telecenter Name & Building #'s:
MARYLAND
Calvert County MD0459Z2
Charles County
Hagerstown MD0460ZZ
Bowie MD9999ZZ
Frederick MD0476ZZ
Laurel/
Reistertown MD9992ZZ
VIRGINIA
Winchester VA0547ZZ
-
Spotslyvania VA0559ZZ
Stafford VA0567ZZ
Manassas VA9999ZZ
George Mason
(Hemdon & Reston) VA9994ZZ
Fairfax City VA9993ZZ
Sterling VA9992ZZ
5a-e Enter information regarding the individual responsible for agency employee(s) telecenter coordination
3. Enter a concise statement of workstation used, fees and total projected monthly costs
7 Check if new information sheet
8 Check if submittal is a modification to an existing AGREEMENT or information sheet
9a Enter billing type: C= Credit Card
9b Enter billing terms A = Advance, C = At completion, M = Monthly, Q = Quarterly, T = At Termination,
Y = Annually (in arrears),
10a-b Enter agreed upon project start and completion dates
11. Enter the total dollar amount approved for funding. Must match GSA's established telecenter
fees
I2a Enter the eight (8) character agency location code (Treasury Pay-station Designator)
1 Zb Enter the appropnate agency identification number
12c Enter the appropnate agency fund code
12d Enter agency accounting information (Limited to 60 characters)
13a Enter the agency Fed Code 13b. Enter the agency bureau code
14a-d. Enter the appropnate billing address information
15a-c Enter signature, name and date of agency's authorized representative, certifying the validity of order
and the availability of funds
16a Enter Credit Card Number (Or phone the appropnate GSA official with this information
16b Enter expiration date
16c Enter type of Card 16d Enter Card Holder's name
17 Enter the certifying official's phone number
18 Telecenter Director signs here when user vacates workstation
GSA Portion
Enter the Point of Sale Terminal (For Credit Card Purchases Only)
-------
Standard GSA Form - blank
-------
.^COMMUTING FACILITY REIMBURSEMENT
INFORMATION SHEET
1 REQUEST DATE 2 CONTROL NUMBER^M
Use only)
3 AGENCY NAME
5A. AGENCY CONTACT
SB CONTACT
TELEPHONE NO
5C CONTACT
FAX NUMBER
AREA CODE
AREA CODE
PHONE NUMBER
EXT
PHONE NUMBER
4. TELECENTER WORK SITE
5E CONTACT ADDRESS
*
SO E-MAIL
6. FLEXIBLE WORKPLACE PROGRAM SUMMARY bst fees and usage below (30-days notice is required for fee adjustments related to unused
workstation days)
EMPLOYEE NAME
WEEKLY USAGE
MON TUE WED THU FRI
MONTHLY COST (S'S)
TOTAL COSTS:
1) This payment document will be submitted to GSA on an annual basis. 2) The user will give the center director 30-days notice prior to
vacating a telecenter or requesting fee adjustments and notify the appropriate user agency personnel. 3) The telecenter director will notify
GSA of the use termination by signing in Section 18 and forwarding a copy of this document to GSA, PBS, Business Performance
CHECK AS APPROPRIATE
7. New User
8. Amendment
9A. BILLING TYPE
9B. BILLING TERMS
12A AGENCY LOCATION CODE
10 REQUESTED SERVICE DATES
A. START:
B. COMPLETION:
11. AGENCY CERT. AMT.
12B AGENCY ID*
12C FUND CODE
13A. FED CODE
138 BUREAU CODE
14A. AGENCY FINANCE BILLING
ADDRESS
14B STREET ADDRESS
14B CITY
14C STATE
140 ZIP
CODE
12D. AGENCY ACCOUNTING DATA: (LIMITED TO 60 CHARACTERS)
16A. CREDIT CARD NUMBER
16C TYPE OF CARD
(i e. VISA)
15A. CERTIFYING OFFICIAL'S SIGNATURE
1SB DATE
1GB EXP DATE
160 CARD HOLDER NAME
(TYPE OR PRINT)
17 CERTIFYING OFFICIAL S PHONE NUMBER
15C NAME OF SIGNER (Type or Print)
PHONE NUMBER
-------
GSA & Center Director Records.
18 CENTER DIRECTOR TERMINATION SIGNATURE
POINT OF SALE TERMINAL (for Credit Cart Purchases Only)
M A. FINANCE B.
PBS
SIGNER'S NAME (Type or Print)
25C DATE
-------
EPA Non-Bargaining
Employees Program
-------
EPA
FLEXIPLACE POLICY
3180
12/23/97
Environmental Protection Agency
401M Street, S.W.
Washington, D.C. 20460
-------
EPA FLEXIPLACE POLICY ;,180
1123-97
Flexiplace Policy - Table of Contents
Section Page
I. Definition I
II. Purpose 1
HI. Scope 2
IV. Responsibilities 2
A. AAs' & RAs' 2
B. Supervisors' 2
C. Employees' 3
D. Program Coordinators' 3
V. Guidelines 4
A. Eligibility Requirements for Regular Flexiplace 4
B., Eligibility Requirements for Episodic Flexiplace 4
C. Eligibility Requirements for Medical Flexiplace 4
D. Work Agreements 5
E. Work Schedules 6
F. Position and Performance Issues 6
G. Records Management 6
H. Time and Attendance Issues 7
I. Fair Labor Standards Act (FLSA) 8
J. Worker's Compensation Coverage 8
K- Pay Linkages 8
L. Facilities Linkages 9
M. Equipment Linkages 9
N. Training Linkages 10
O. Liability Issues 10
P. Tax Issues 10
VI. Application Process and Procedures 10
VII. Termination 11
VIII. Chonae Issues 11
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EPA FLEXIPLACE POLICY 518C
1123.97
Appendix
(1) Application Form. Al
(2) Work Agreement A2
(3) Employee Self-Certification Safety Checklist A9
(4) Employee Self-Certification Time & Attendance Report Al 0
(5) Annual Recertificatron of Employee Eligibility Form Al 1
-------
EPA FLEXIPLACE POLICY ;, \ 80
112397
FLEXIPLACE
I. Definition The Flexible Workplace Program (Flexiplace) provides employees the oppor-
tunity to work at a place other than the regularly assigned work site such as
satellite locations or their residences. Flexiplace is a work arrangement that
is discretionary on the part of management, and voluntary on the part of
the employee. Participation in Flexiplace is NOT an employee right or
entitlement. There are three types of Flexiplace arrangements at EPA:
1. Regular. Work is scheduled in advance and performed at the
alternate workplace on a regular and recurring basis. Normally,
employees will be scheduled to work no more than two days per week
outside of the office.
2. Episodic. Available on an ad hoc, short-term basis to complete
projects which are not regular or recurring in nature.
x
3. Medical. Designed to permit employees who have a temporary
medical condition that precludes them from working at the
conventional workplace to continue to be productive and accomplish
work assignments that can be performed at a place other than the
regularly assigned worksite. The medical condition shall be certified
in a manner acceptable to the Agency.
NOTE: Medical Flexiplace assignments are made at the
discretion of management. Medical Flexiplace is intended for
employees who DO NOT have permanent medical conditions.
Employees with health related problems resulting from
sensitivity to the workplace, injury sustained at the workplace.
or chronic,,non-workplace related health problems CANNOT
use Medical Flexiplace as an arrangement for their condition.
Instead, the employee should contact his/her servicing Human
Resources Office for advice on the appropriate program to
address their health condition.
n. Purpose The Federal Government promotes telecommuting programs such as EPA's
Flexiplace program to address the Government's challenges of: improving
customer service, reducing energy consumption, safeguarding air quality.
reducing traffic congestion, operating with limited funding, and meeting
employee needs. EPA strives to make creative applications of new working
arrangements such as Flexiplace available to the Agency's supervisors and
-------
EPA FLEXIPLACE POLICY
5180-
1123-97
employees. Flexiplace may benefit the Agency and its employees by:
providing a means of responding to rapidly changing factors that impact
today's work force, such as demographic, societal and technological
changes:
reducing employee turnover and absenteeism;
improving management techniques: and
responding to sociological and environmental issues.
Scope This policy is based on Office of Personnel Management (OPM) and General
Services Administration (GSA) guidelines. It applies to situations in which an
employee will work at a Flexiplace worksite and covers all permanent full-time
and part-time EPA employees except those on Intergovernmental Personnel
Agreements (IPAs) and Interagency Agreements (LAGs). Public Health
Service Officers may participate in Flexiplace in accordance with all applicable
rules and regulations of the USPHS Commissioned Corps Personnel System.
Employees on official travel may not participate in Flexiplace.
IV.
Responsibilities
Below are responsibilities for managers and employees.
IV. A. AAs'
andRAs'
Responsibilities
AAs and RAs must:
decide on the application and use of Flexiplace assignments within their
respective AAships or Regions. This includes determining which
organizational elements and/or positions may participate in the program
or be excluded from participation in the program.
ensure that appropriate management controls and reporting procedures
are in place before employees begin Flexiplace assignments.
IV. B.
Supervisors'
Responsibilities
Supervisors must:
approve or disapprove the employee's participation in the program;
approve or disapprove worksite arrangements (which must remain the
same unless otherwise approved by the supervisor);
assess the impact of the proposed Flexiplace assignment on the
productivity of the office as a whole and on any other affected
employees;
assess the portability of the employee's work and the likelihood of the
employee's successfully completing it away from the official duty
station:
-------
EPA FLEXIPLACE POLICY
5180
12.2397
develop or amend performance standards and measurements, if
necessary, for work performed away from the official duty station;
provide equipment, when necessary and available, for the employee to
adequately perform assigned work:
complete required training;
maintain productivity records and information to evaluate the
employee's performance and quality of work.
IV. C.
Employees'
Responsibilities
Employees must:
complete work agreements;
observe agreed-upon hours of work in accordance with established EPA
policies;
observe Agency policies for requesting leave;
safeguard Agency equipment and use it only for official purposes:
complete the "Employee Self-Certification of Time and Attendance
Report" (see Form 4 in attached Appendix) and return it to the
supervisor on a biweekly basis;
serve as the designated official (employer representative) in charge of
their off-site workplace, and therefore be responsible for compliance
with appropriate health and safety regulations. As the designated
official the employee must:
complete the "Employee Self-Certification Safety Checklist."
which identifies significant safety standards that should be met
and
return it to his/her supervisor prior to entering into a Flexible
Workplace Program Agreement.
respond in a timely manner to Agency customers and to the public;
complete required training; and
if applicable, make proper arrangements for dependent care during
work-at-home hours, before beginning the Flexiplace assignment
IV. D. Program Program Coordinators must:
Coordinators'
Responsibilities
ensure that all participating supervisors and employees are aware of
their responsibilities;
ensure that all participating employees receive training;
maintain copies of all Flexiplace applications and workplace
agreements; and
monitor and evaluate the program.
-------
EPA FLEXIPLACE POLICY
3180
12.2397
NOTE: At his/her option, an AA/RA may establish this posr
and place it anywhere in the organisation However, if an
AA/RA does not designate a coordinator, he/she must ensure
that the administrative functions listed above are appropriately
delegated and performed by one person.
V. Guidelines Below are guidelines for managers and employees.
V.A. Eligibility An employee participating in Flexiplace must:
for Regular
Flexipls
have received the supervisor's approval for participation;
have worked as an EPA employee for at least one yean
have at least a level 3 (currently known at EPA as "Fully Successful")
performance raring as the most recent rating of record;
have portable work;
have clearly defined performance standards and measurements:
be willing to sign and abide by a written work agreement;
if working at home, be able to provide an appropriate work location
with adequate space, access to a telephone, and without undue
interruption which could impact productivity;
if applicable, be able to arrange for dependent care during the time the
employee is working at home: and
have demonstrated to the satisfaction of the supervisor the ability to
work independently.
V.B. Eligibility
for Episodic
Flexiplace
The requirements are the same as for Regular Flexiplace; however, the nature
of the. work will usually be a project or a discrete portion of a project that is of
short duration, with measurable work products of an infrequent or occasional
nature.
NOTE: It is recommended that employees with frequent public
or internal client contact be eligible only for Episodic Flexiplace
participation.
V.C. Eligibility
Requirements
for Medical
Flexiplace
The decision to approve an employee's participation in Medical Flexiplace is
entirely that of the supervisor. The approval/disapproval will be based on the
employee's ability to provide definitive, conclusive medical documentation
concerning his/her temporary medical condition, and will include an expected
rerum-to-work date. As a rule, temporary medical conditions would not
continue for more than a few days to a few months. Supervisors may not leave
-------
EPA FLEXIPLACE POLICY 3 {80
12.2397
Medical Flexiplace assignments open-ended.
Medical documentation - The employee's physician must include a narrative
description in the documentation that:
clearly describes why a temporary change in work site would benefit
the employee.
lists restrictions that should be placed on the work performed at the
alternative work site,
summarizes the diagnosis,
summarizes the prognosis, including expected return-to-work date, and
discusses medical management (including how the temporary medical
condition might interrupt the employee's work schedule).
To be considered for Medical Flexiplace, an employee's medical
documentation must demonstrate that:
the employee is unable to perform the duties of the position at the
traditional work site because of temporary medical reasons.
the employee is able to perform the dunes of the position at an
alternative duty station, and
the employee will be able to return to the regular .work site at a certain
date.
Recertification - After six months in a Medical Flexiplace assignment, an
employee must provide medical certification on the status of his/her medical
condition to support continued participation.
NOTE: Supervisors managing employees on Medical Flexiplace
assignments that continue for longer than six months should reconsider
whether the condition is temporary and whether Medical Flexiplace is
the appropriate Agency vehicle to address the condition. For
clarification on this> issue, supervisors should call the servicing Human
Resources Office.
V. D. Work Each employee must sign a work agreement that covers the terms and
Agreements conditions of participation in the Flexiplace Program (see Form 1 in attached
Appendix). The work agreement constitutes an agreement by the employee
and his or her supervisor to adhere to the Program's policies. Supervisors must
recertify an employee's work agreement at least once every 12 months (see
Form 5 in the attached Appendix).
The work agreement covers the following items:
-------
EPA FLEXIPLACE POLICY
3180-
12.2397
agreement to release home telephone number to "customers" (applies
only to employees working at home);
voluntary nature of the arrangement;
length of Flexiplace assignment;
hours and days of duty for each duty station:
location of the duty station;
responsibilities for timekeeping, leave approval, and requests for
overtime and compensatory time;
performance requirements; and
proper use and safeguards of Government property and records:
standards of conduct, etc.
V. E. Work Flexiplace work schedules must state the days and times an employee will
Schedules work in his/her regularly assigned work setting and in the Flexiplace work site.
Work agreements for Regular Flexiplace will normally provide fora minimum
of three days per week at the official duty station. Work schedules may parallel
those in the office or be structured to meet the needs of participating employees
and their supervisors. However, employees must work schedules consistent
with their offices' core work hours and may not work non-standard evening
and weekend schedules. Supervisors must approve overtime and compensatory
time in advance.
V. F. Position
and
Performance
Issues
Position Descriptions. Changes to position descriptions are not
necessary unless the Flexiplace arrangement changes the actual duties
to be performed. Minor modifications may be made to reflect the
supervisory controls or work environment factors.
Standards. Critical elements and performance standards
must have clearly defined performance requirements that are
quantifiable, measurable and results-oriented. Explicit and objective
"norms" for work output should be based on experience with those
required and sustained in the office and monitored through scheduled
and required progress reports.
V. G. Records
EPA employees are required to comply with the following guidelines on using
records or duplicating records when working at Flexiplace locations.
Compliance with these Flexiplace policies will protect the Agency and the
employee in the event of litigation or investigation. During an investigation.
all relevant records must be made available to investigators and auditors.
1. Any official record removed for Flexiplace assignments remains the
-------
EPA FLEXIPLACE POLICY 3 j 80
1123.97
property of EPA. Additionally, any official record that is generated
from Flexiplace assignments becomes the property of EPA.
2. An Employee must get written approval from his/her supervisor prior to
taking official records to a Flexiplace work site. This approval will be
for a stated period of time only. All official records that are moved
from an office location to a Flexiplace work site will be documented in
accord with applicable procedures or requirements, e.g., charge-out
procedures, check-out cards, sign-out sheets, etc.
3. The removal of Privacy Act and other sensitive information for
Flexiplace assignments is subject to supervisory approval. When such
records are used by EPA employees at Flexiplace locations, care must
be taken to ensure that information is not disclosed to anyone except
those who are authorized access to the information in order to perform
their duties. Appropriate administrative, technical, and physical
safeguards must be taken to ensure the security and confidentiality of
these records.
4. At the conclusion of the approved charge-out time of the Flexiplace
assignment, or upon termination of employment, the employee must
return the official record to the EPA office. If the employee needs this
record to complete future Flexiplace assignments, he/she must again get
written approval from the supervisor, prior to removal of the record
from the office.
5. When duplicate copies/records used at Flexiplace locations are no
longer needed by the employee, they must be recycled or destroyed if
they do not contain Privacy Act information. Duplicate records
containing Privacy Act material must be returned to EPA for shredding.
In the event that any information should be added to or changed in a
duplicate record, it must be added to or changed in the official record.
If an employee has a duplicate record at home and there is no longer an .
administrative need to retain the record, the employee must obtain
permission from the supervisor to retain this duplicate copy for his/her
own personal use.
6. Confidential Business Information (CBI) or national security classified
information may not be removed from EPA offices except as permitted
and authorized by established procedures.
V. H. Time and 1. Hours of Dutv. Employees mav work standard schedules or follow
Attendance Alternative Work Schedules (as statutorily defined), depending upon
-------
EPA FLEXIPLACE POLICY
3180
Issues
the agreement between the employee and the supervisor. Alternative
Work Schedules at EPA typically involve an employee working eight
nine-hour days, one eight-hour day, with one day off each pay period.
Employees must work schedules consistent with their offices* core
'work hours and may not work non-standard evening and weekend
schedules.
Leave.. The policies for requesting annual leave, sick leave, or other ab-
sence from duty remain unchanged. Employees are responsible for re-
questing leave in advance and keeping the timekeeper informed of leave
usage.
Certification and Control of Time and Attend^nc? fT&A). Supervisors
must report time and attendance to ensure that employees are paid only
for work performed and mat absences from scheduled tours of duty are
accounted for. Federal policy and procedures governing certification of
time and attendance require agencies with employees working at remote
sites to provide reasonable assurance that they are working when sched-
uled. Reasonable assurance may be obtained by occasional supervisor
telephone calls, random visits by the supervisor to the employee's work
site, and determination of the reasonableness of work output for the
time spent Employees must self-certify time and attendance to their
supervisor. This may be done electronically, by report (see Form 4 in
attached Appendix for an example), or by other acceptable means.
Administrative Leave. Dismissals. Emergency Closings. Although a
variety of circumstances may affect individual situations, the principles
g administrative leave, Higmiggaig and closing remain un-
changed. When an employee knows in advance of a situation that
would preclude working at the Flexiplace work site, either time in the
office or leave should be scheduled. In the event that the assigned duty
station is closed due to the weather or other emergency, employees in
Flexiplace assignments at an alternative work site would be expected to
work their regularly scheduled hours unless they take leave.
V. I. Fair
Labor
Standards Act
(FLSA)
The existing rules in 5 Title U.S.C. and in the Fair Labor Standards Act gov-
erning overtime also apply to Flexiplace arrangements. All overtime work for
people in Flexiplace assignments must be approved in advance by the
supervisor. An employee who works overtime without advanced supervisory
approval may be removed from the Flexiplace program.
V. J. Workers Flexiplace employees are covered by the Federal Employees Compensation Act
Compensation (FECA). Employees can qualify for continuation of pay or workers' compensa-
8
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EPA FLEXIPLACE POLICY
3180
112397
tion for on-the-job injury or occupational illness if injured in the course of per-
forming official duties at the official or alternate duty station. Supervisors
must ensure that claims of this type are immediately brought to the attention of
the servicing Human Resources Office. Any accident or injury occurring at the
alternate duty station must be brought to the immediate attention of the super-
visor.
V. K. Pay 1. Dutv Station. For pay purposes, the "official duty station" is the
Linkages employee's Federal office.
2. Special Salary Rates. The employee's official duty station serves as the
basis for determining special salary rates.
3. Premium Pav. The normal rules apply for night differentials and
Sunday and holiday pay whether work is accomplished at the conven-
tional or alternate duty station. The employee's official work schedule
determines his/her entitlement to premium pay. Working at night, on
Sundays or on holidays requires pre-authorization by the supervisor,
whether working at the traditional work site or at an alternate work site.
V. L. Facilities
Linkages
Home Office Space. If working at home, employees participating in
Flexiplace should have a designated work space or work station for
performance of their work-at-home duties. Requirements will vary, de-
pending on the nature of the work and the equipment needed to perform
the work.
Home Utility Expenses. Incremental home utility costs associated with
working at home will not be paid by the Agency. Exceptions apply
only where the personal expense directly benefits the Government (e.g..
business-related long distance or toll calls on the employee's personal
phone).
Miscellaneous Expenses. Costs associated with the copying of
work-related materials, facsimile charges, express mail, etc. may be
reimbursed by the Agency, depending upon local policy.
Workplace Is Not a Government Facility. While the Agency may own
some of the property and materials used by the employee in the home
workplace, the employee agrees and understands that the home
workplace is not a Government facility, and that costs of safeguarding,
insuring, and maintaining the home workplace and the Government
property therein are the sole responsibility of the employee.
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EPA FLEXIPLACE POLICY
5180-
12.23,97
V. M.
Equipment
Linkages
The Agency will provide appropriate equipment when it is available, for
employees to perform work at the Flexiplace work site.
I. Telephone. EPA may provide telephone credit cards or may reimburse
an employee working under an approved Flexiplace Agreement for
business-related long-distance and toll phone calls on his/her personal
phone. EPA may install telephone lines and other necessary equipment
and pay monthly telephone charges in private residences under special
circumstances.
2. Laptop Computers. Agencv-owned Equipment, etc. When available.
Agency-owned property, such as laptop computers and other
telecommunications equipment, may be used by employees in their
private residences, provided the equipment is used only for official
business. Strict adherence to regulations concerning the safeguarding
and removal of all equipment is essential. Prior approval through the
appropriate channels must be obtained before any property is removed
from the Agency and property passes must be issued for each piece of
equipment. The Agency will not provide office furniture. All
equipment, software, data, and supplies furnished by the Agency shall
remain the sole property of the Agency. Employees must agree to
return these items upon request of the Agency or upon termination of
the Flexiplace agreement. Employees are responsible for the safety and
security of all equipment and data provided by or generated for the
Agency, including maintaining security and confidentiality. Employer-
owned software shall not be duplicated. Employees are solely
responsible for maintaining any of their personally-owned equipment.'
3. Supplies. If needed, the Agency will provide necessary office supplies
(paper, pens, diskettes, etc.). The Agency will not reimburse employees
for any supplies purchased independently.
V. N. Training Program Coordinators provide training for supervisors and employees that
Linkages covers Flexiplace policies and guidelines, as well as personal, occupational.
and health and safety aspects of Flexiplace arrangements. All Flexiplace
participants must attend training prior to their initial Flexiplace participation.
V. O. Liability 'Questions related to claims for personal property damage or loss or personal
Issues injury related to the employee's performance of official duties should be
directed to the servicing Human Resources Office. The Agency will address
issues of employee or Agency liability in accordance with the specific facts of
10
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EPA FLEXIPLACE POLICY
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1223-97
each case and under the provisions of the Federal Employees Claims ACL the
Federal Tort Claims ACL the Military Personnel and Civilian Employees
Claims ACL and local law. where appropriate.
V. P. Tax Generally, a Federal tax deduction is not allowed for a home office or work
Issues space unless used exclusively on a regular basis as a principal place of
business. Employees who believe they may be entitled to a tax deduction
based on home office or work space, depreciation of employee-owned personal
computers and'related equipment, etc., should consult their tax advisors or the
Internal Revenue Service for information on tax laws and interpretations.
VI. Application
Process and
Procedures
The following language describing application procedures is provided as an
example and may be modified to meet local needs.
I. Employees meeting the eligibility requirements for Flexiplace (see
Section V, Paragraph A) may apply for the program provided their
organizational elements or positions have been authorized by senior
management to participate in the program. These employees must
complete the application package (see Forms 1-3 in attached Appendix)
and obtain the appropriate approval signatures.
2. The original signed application package must be forwarded to the
Flexiplace Coordinator. The Flexiplace participant and his or her
supervisor each should retain a copy.
3. All employees interested in participating in the Flexiplace Program
must attend a Flexiplace training session, which provides an overview
of the program and the requirements for participation.
vn.
Termination
I.
An employee may terminate his or her Flexiplace arrangement at any
time without prejudice and return to his/her official work site.
A performance appraisal below level 3 (currently known at EPA as
*Fully Successful") automatically terminates an employee's Flexiplace
arrangement.
Management retains the right to terminate an employee's Flexiplace
participation at any time. Reasons for termination may include:
the employee's Flexiplace assignment no longer benefits the
Agency.
the employee's work assignments are not being performed
11
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EPA FLEXIPLACE POLICY 318o
H'23,97
efficiently or effectively,
the employee fails to comply with the agreed-upon program
requirements,
the employee fails to participate in requested program
monitoring and evaluation activities (including surveys, focus
groups, etc.), or
conduct problems arise.
vm. Change Whenever any element of the work agreement changes (position, work
Issues assignment, home office, or personnel changes, etc.) and participation is still
approved, the Flexiplace arrangement must be reevaluated and modified.
Examples of such changes include:
the Flexiplace employee is reassigned to a different job and/or
organizational' unit.
the supervisor of a Flexiplace employee is reassigned to a
different job, or
the Flexiplace employee is assigned a new supervisor.
Whenever changes occur, the following actions should be taken:
1. If the change results in a new supervisor for the Flexiplace
employee and the employee would like to continue
telecommuting: (a) the new supervisor will be provided
orientation/training and given an overview of the employee's
current work assignments and (b) the employee and supervisor
will assess suitability for Flexiplace and, if approved, a new
Flexiplace work agreement will be put in place.
2. If the change results from a change in job tasks/assignments, the
employee and supervisor must reassess the employee's
suitability for Flexiplace and complete a new work agreement.
12
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EPA Non-Bargaining
Employees Application
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EPA FLEXIPLACE POLICY 318Q
12/23/97
APPENDIX
The following forms mast be used
as is or modeled for local use.
Flexiplace Application Package
1. Application Form
2. Work Agreement
3. Safety Checklist
Other Attachments
4. Employee Self-Certification Time and Attendance Report
5. Annual Recerafication of Eligibility
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EPA FLEXIPLACE POLICY 3180
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1. FLEXIPLACE APPLICATION FORM
Employee Name
JobThlc
Division/ Office
Home Address
Fits Liae Supervisor
Code Level
Maileodc
Hone Telephone Number
Telephone Ea.
Type of Flexiplace Applied fon [ ] Regular [ ] Episodic [ ] Medical
Regular - days per week/pay period; Medical - consult with Flexiplace Coordinator or your Human
Resources Office tor more information oq this
1. Type of work to be performed at alternate work site. (Please be specific. If more space is needed, use the
Comments Section on Ms form or continue on a separate sheet of paper.)
2. Briefly describe how you meet the criteria for participation. (See page 4 of the Program Guidance)
3. Benefits to the Agency.
Al
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tr A c L.t Air LA*- c. rvj i_i<_ i 3 1 80
12/23/97
4. Comments.
IOaie
ACTION ON APPLICATION
Disapproved
Reason for Disapproval (if applicable)
Supervisor's Signature 1
Approving Official'; Signature
If employee is approved for Flexiplace pamcipa
timekeeper with a copy of this form and send th
appropriate official.
If the employee is disapproved for Flexiplace pa
the reason(s) for disapproval.
Dare
Date
lion, provide employee and office
e original to the Flexiplace Coordinator or
irticipation. please inform the employee of
Employee's official tour of duty is Jisted below:
Pay Period
WorkWeek
Weekl
Day
Monday
Tuesday
Wednesday
Thursday
H
From
ours
To
Duty
Official
Station
Alternate
A2
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EPA FLEXIPLACE POLICY
3180
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Week 2
Friday
Monday
Tuesday
Wednesday
Thursday
Friday
Note: Managi
at reserves the right to alter the employee's Ftetiplace work schedule to
workload office d*9"*8 or for any other official purpose with advance notification
A3
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EPA Non-Bargaining
Employees Agreement
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EPA FLEXIPLAGE POLICY
12/23/97
2. FLEXIPLACE
Name
Mailcode
All terms set forth in the Flexiplace policy document are hereby incorporated by
reference in this work- agreement.
1. Employee agrees to adhere to the applicable guidelines-and policies. EPA, hereinafter
'referred to as Agency, concurs with employes participation and agrees to adhere to the
applicable guidelines and policies.
2. Duty Station. All pay, special salary rates, leave and travel entitlements will be based
on the employee's official duty station.
Official duty station:
Alternate duty station (the location in which the employee is designated to work while
not at the official duty station):
Please describe the designated work area in the alternative duty station:
3." Employee's timekeeper will have a copy of the employee's Flexiplace schedule.
Employee's time and attendance will be recorded as Flexiplace Time using a special
code established for this purpose. Employee's supervisor will certify biweekly time
and aTW«fa"ee for hours worked. Employee must complete the "Employee
Self-Certification Time and Attendance Report" (Attachment 1) and return it to his or
A4
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EPA FLEXIPLACE POLICY 3180
12/23/97
her supervisor on a biweekly basis.
4. Employee must obtain supervisory approval before caking leave in accordance with
established office procedures. By signing this agreement the employee agrees to follow
established procedures for requesting and obtaining approval of leave.
5. The employee will continue to work in a pay status while working at his/her alternate
duty station. An employee who works overtime or compensatory*""* that has been
requested and approved in advance will be compensated in accordance with applicable
laws and regulations. By signing this agreement, the employee agrees to obtain proper
approval for overtime or compensatory time work. Failure to adhere to proper
approval for overtime or compensatory time may result in the. employee's removal
from the Flexiplace Program or other appropriate action.
6. An employee who is authorized to use Agency equipment will protect the Agency
.equipment in accordance with the procedures established in FIRMR Bulletin 30. dated
October 15, 1985. An employee who provides his/her own equipment is responsible
for installing, servicing, and maintaining it.
7. The employee agrees to permit periodic inspections by the Agency of the alternate duty
station during the employee's normal working hours to ensure proper maintenance of
Agency-owned equipment and duty station conformance with health and safety
standards. The supervisor must provide the employee with at least 24 hours advance
written notice of the inspection.
8. The Agency is not liable for damages to an employee's personal or real property during
the course of performance of official duty or while using Agency equipment in the
employee's alternate duty station, accept to the extent the Agency is liable under the
Federal Tort Claims Act or under the Military Personnel" and Civilian Employees
Claims Act. Typically, damage to an employee's real or personal property will not be
compensable.
9. .The Agency is not responsible for operating costs, home maintenance or any other
incidental costs (e.g., utilities) whatsoever associated with the use of the employee's
A5
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EPA FLEXIPLACE POLICY 3180
12/23/97
alternate duty station (e.g., home residence). The Agency will provide necessary office
supplies that are regularly available at the Agency (such as paper, pens, printer
ribbons, diskettes, envelopes, tape, staples, etc.).
10. An employee working under an approved Flexiplace Agreement will be reimbursed for
business-related long distance and toll phone charges on his or her personal phone.
Costs associated with the copying of work-related materials, facsimile charges, express
mail, etc. may be reimbursed by the Agency.
11. The employee is covered under the Federal Employee's Compensation Act (FECA) if
injured in the course of performing official duties at the official or alternate duty
station, in accordance with applicable Department of Labor regulations and standards
governing FECA liability.
Any accident or injury occurring at the alternate duty station must be brought to the
immediate attention of the supervisor and the servicing Human Resources Office.
Because an employment-related accident sustained by an employee participating in the
Flexiplace Program could occur outside the premises of the official duty station, the
supervisor must investigate all reports immediately following notification.
The employee must complete the "Employee Self-Certification Safety Checklist."
which identifies significant safety standards that should be met, and submit it to his/her
supervisor prior to participating in the Flexiplace Program.
12. The employee will communicate as needed with his/her supervisor to receive assign-
ments and have completed work reviewed in accordance with the supervisor's instruc-
tions.
13. The employee will complete all assigned work in accordance with his/her supervisor's
instructions. Regular and required progress reporting, as defined by the supervisor,
will be used by the* supervisor in his/her assessment of the employee's job
performance.
14. The supervisor will evaluate employee's job performance against performance
standards established in the employee's performance! agreement. The agreement will be
A6
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EPA FLEXIPLACE POLICY 3180
l2T23l
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EPA FLEXIPLACE POLICY 3180
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dance with existing policies. If a permanent change of schedule is approved, the
schedule on pages A2-A3 of the application package will be changed accordingly and
initialed by both the employee and the supervisor.
21. The employee and the supervisor agree to attend die required training and orientation
prior to participation in die Flexiplace Program.
22. The employee and die supervisor agree to complete die "Annual Recertificaaon of
Employee Eligibility to Continue in the Flexiplace Program" (Attachment 5) and
submit it to die Flexiplace Program Coordinator or appropriate official prior to the
anniversary date of the agreement.
I have read the work agreement and agree to adhere to die applicable guidelines and
policies as set forth hi this document
Employee s jifliuR1*^
Date
EPA concurs with the participation of this employee and agrees to adhere to the applicable
guidelines and policies.
SupervBor s Signature
Approving Official's Signature
One
Date
A8
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EPA FLEXIPLACE POLICY
3180
12/23/97
3. EMPLOYEE SELF-CERTIFICATION SAFETY CHECKLIST
The following checklist is designed to assess the overall safety of me alienate duty station and must be compteBd and "g"~< prior to die
beginning of the Flexmlace assignment. Please read, complete and sign the gh^irjiy art Obain your supervisor's approval and agnaure.
1. Is the space free of asbestos-conBining naienals?
2. If asbestos-containing material is present, is it undamaged and in good condition? (Only
cheek if applicable)
3. Does die space appear to be free of indoor air quality problems?
4. Is me space free from rxccss noise?
Is mere a poooie (ormicaoK) water supply system as pace.
6. Is adequate venoianon piutuc for die desired
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FLEXIPLACE POLICY
3180
12/23/97
4. Flexiplace Program
Employee Self-Certification Time and Attendance Report
employee ^tainc
Beginning PMK
Ending DUBS
Enter all hew
irked over die two week pay period. Place a S in the T" eotann for days worked on Ftetipbce.
DAY
Sunday
Monday
Tuesday
Wednesday
Thursday
C«u44U
rnoay
Saturday
Sunday
Monday
Tuesday
Wednesday
Thusdav
Fnday
Saniniay
F
HOURS
Ffoo To
DAILY
TOTAL
A/L
sn.
CT/OT
Employee's Signamre
Remarks:
Supervisor's
A10
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EPA FLEXIPLACE POLICY
3180
12/23/97
5. Annual Recemfication of
Employee Eligibility to Continue in the Flexiplace Program
Employee's Name
Supervisor's N,
RECERTIFICATION - at least every 12 months
Type of F!exiplace:[ ] Regular [ ] Episodic [ ] Medical >
Regular- days per week/pay period; Medical - consult with Human Resources Office for deail?.
siic is 21 die office (O) or die ncjuptace (ft sue.
Hours
Stan
End
Site
Mon
Tues
Wed
SC DC *1H|rff
PfCSSB b6 SB
TOUTS
re to iadnde a fehoaruui
Fri
Mon
MMUmcape
Tues
Indian; ia die tat row if to wort
nod for aeh wott dw-
Wed
Thurs
Fri
I^IA fnllnwmo ntmolrlScf ic jlm-JUilUfll tA heln vim jccgQC sn MnnlnvMt'c t^Kaitulltir tn nomrimim
Elrt «»!«« T»B___fl_1 n ...
& cJ^AUUHvIv fttw^S^i^D*
1 Do the work sssiviuiif TI^ iUKi r CSPODSIDII itics or the erDDloyce's CU^F?TIT DOSIQOQ
warrant continued participation?
2. Is the employee's most recent performance rating Fully Successful or higher?
t Does the employee demonstrate ability to work independently?
4. Is the employee able to maintain the quality and quantity of his or her work?
in the
Yes
No
I haven
Approved
Disapproved. Reasoni
viewed and itiyw** die ncemficaaoa cznena and dvcision *nh die empibjree.
Supervisor's Signature
Employee's Signature
Date
Date
Make three copies of the completed form and distribute as follows: (1)
C2)
(3)
Send original to Ae Flexiplace Coordinator or appropriate official
Supervisor
Employee
Employee's Timekeeper
All
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AFGE/EPA Plexiplace
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
11 25 "
25 r":
OFFICE OF
ADMINISTRATION
AND RESOURCES
MANAGEMENT
MEMORANDUM
SUBJECT: Final American Federation of Government Employees National Collective
Bargaining Agreement for Flexiplace
FROM: Romulo L. Diaz, Jr.
Assistant Administrator
TO: Assistant Administrators
General Counsel
Inspector General
Chief Financial Officer
Associate Administrators
Regional Administrators
Staff Office Directors
I am pleased to announce that the American Federation of Government Employees
(AFGE) National Collective Bargaining Agreement for flexiplace was successfully negotiated
and signed. This agreement must be implemented as approved by all organizational locations
within the AFGE bargaining unit. The agreement does not affect non-AFGE bargaining units.
The agreement was effective on November 13, 1998. I would like to congratulate the union and
management negotiating team for their diligence, patience, and fortitude demonstrated-avhile
working together to conclude this agreement. Attached to this memorandum is a copy of the
AFGE/EPA Flexiplace Agreement.
This mutual agreement by AFGE National union and management includes:
(1) procedures for employees to follow in requesting flexiplace; (2) factors for management to
consider in exercising its flexibility to grant or deny flexiplace, such as portability of the work,
the employee's time, attendance and performance history, and the availability of funds to support
flexiplace work stations; (3) recognition of three types of flexiplace (medical, episodic, and
regular) with somewhat different criteria; (4) recognition that EPA bargaining unit employees
who were in flexiplace arrangements as of May 11, 1998, may continue under that arrangement
until 30 days after the effective date of the agreement; and (5) the agreement does not delegate
bargaining to the local level and will become part of the new AFGE National contract.
Inconsistent local agreements or practices in AFGE-represented locations will be superseded by
this agreement unless specifically exempted by the agreement.
Primed on Ren dee Paper
-------
-2-
A copy of the agreement will be placed on the EPA home page and a synopsis of the
agreement will appear in Employee Matters. Should you have questions please contact Steve
Sharfstein at (202) 260-2842 or Linda Wallace at (202) 260-3686.
Attachments
cc: Assistant Regional Administrators
Alan Hollis, President, AFGE National Council
Human Resources Officers
Program Management Officers
Headquarters Human Resources Staff Directors
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AFGE/EPA FLEXIPLACE PROGRAM
TABLE OF CONTENTS
I. Scope and Terms of Agreement
II. Purpose
HI. Definitions
IV. Responsibilities
V. Eligibility
VI. Criteria for Approval/Disapproval
VII. Flexiplace Guidelines
VIII. Application Process and Procedures
IX. Withdrawal or Removal from Flexiplace Program
X. Changes
XI. Problems with Potential Affect on Work Performance
XII. Implementation
APPENDICES
(1) Application
(2) Safety Checklist
(3) Work Agreement
(4) Employee Certification of Time & Attendance Report
(5) Notice of Removal from Flexiplace
-------
I. Scope and Terms of This Agreement
The parties agree that the implementation and administration of the EPA Flexiplace Program in
the AFGE/EPA bargaining unit will be governed by applicable law, government-wide rules and
regulations, and this agreement.
II. Purpose
The Federal Government promotes telecommuting programs such as EPA's Flexiplace program
to address the Government's challenge of: improving customer service, reducing energy
consumption, safeguarding air quality, reducing traffic congestion, operating with limited
funding, and meeting employee needs.
nt. Definitions
A. Flexiplace. Flexiplace is the assignment to work at an alternate work location other
than an employee's official work station..Participation is voluntary. Generally, any
occupation/job involving portable work can be considered for inclusion. Management will
approve participation based on such factors as mission accomplishment, costs, and benefits to
the organization and employees. There are three forms of Flexiplace covered by this
agreement:
1. Regular. Under this type of Flexiplace arrangement, employees may request the
performance of duties at an alternate work location on a regular and recurring basis. Normally,
employees will be scheduled to work no more than two days per week at the Alternate Work
Location (AWL). Flexiplace day(s) must be the same each week under this form of Flexiplace.
2. Episodic. This form of Flexiplace is appropriate for work or assignments of specific
limited duration that can be performed at an AWL.
3. Medical. This form of Flexiplace is designed for the continued accomplishment of
Agency work while an employee has a medical condition which does not affect the employee's
ability to perform his or her regular work assignment at an AWL. The Agency may request the
employee to provide a physician's statement of incapacitation or other acceptable evidence
related to the reason for the employee's Medical Flexiplace request.
The Employer may approve up to 5 days per week at the AWL.
This type of Flexiplace is not intended to be a permanent arrangement and will normally not
exceed 6 months. This time period may be extended where the eligibility factors and other
requirements of this agreement are met. Such extensions will not be unreasonably denied.
B. Alternate Work Location (AWL). The AWL is an agreed-upon work location other
than the employee's official work station.
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-------
C. Portable Work. Work that is normally performed at the employee's official work site
but which can be performed with equal effectiveness at another location with respect to quality,
quantity, timeliness, customer service and other aspects of mission accomplishment. It is
understood that this work is part of the employee's regular assignment and does not involve a
change in duties or the way assignments are performed. In order to be portable, the work must
be clearly defined and measurable.
IV. Responsibilities
A. Management is responsible for approving the use of Flexiplace in accordance with the
terms of this agreement and in consideration of such factors as mission accomplishment,
service to the public, and costs and benefits to the Agency and its employees.
B. Employees are responsible for the following:
1. Completing required applications/agreements to participate in program. (Appendix
1-3)
2. Making timely advance requests for use of Flexiplace in a manner that allows
approving official sufficient time to consider and plan for the request.
3. Observing agreed upon hours of work in accordance with established policies and
bargaining agreement(s).
4. Observing established policies and procedures for requesting and using leave.
5. Safeguarding Agency equipment and supplies and using them only for official
purposes.
6. Completing the Employee Self-Certification of Time and Attendance Report
and returning it to the supervisor on a biweekly basis. (Appendix 4)
7. Performing only official EPA business while on a Flexiplace assignment, including
maintaining an AWL environment that is free from distractions and interruptions.
8. Maintaining compliance with appropriate health and safety regulations, and
reporting unsafe working conditions.
V. Eligibility
In order to participate in the Flexiplace program, an employee must:
1. Have volunteered for the program.
2. Have supervisory approval for participation.
3. Have worked as an EPA employee for at least one year.
4. Not be a probationary or temporary employee.
5. Not have had documented performance or conduct deficiencies within the preceding
12 months.
6. Have portable work
-3-
-------
7. If working at home, be able to provide an appropriate work location with adequate
space not subject to undue interruption which would impact productivity and access
to a telephone.
8. Have demonstrated the ability to work independently.
VI. Criteria for Approval/Disapproval
A. Criteria for approval includes the following:
1. Portability of the work.
2. Reasonableness and practicality of the request with respect to such issues as
complexity of administrative arrangements that need to be made or potential impact
on other employees' work load.
3. Additional cost to the Agency.
4. Availability of necessary equipment.
5. Service delivery to internal and external customers, including office coverage.
6. Needs of the employee.
B. Generally, requests will not be approved if any of the following conditions apply:
1. The employee has been with the Agency for less than one year.
2. The position requires extensive face to face contact with supervisors, other
employees, clients or the general public.
3. The work requires access to material which is routinely required to accomplish
assignments and cannot be removed from the official work site.
4. Any performance or conduct deficiencies, including time and attendance, have been
identified and documented.
5. The employee's work schedule is insufficient to provide both office and Flexiplace
days because of a limited tour of duty.
6. The work requires close supervision because the employee is new to the work or is
being trained on new or developmental duties, or other work monitoring
requirements.
7. The employee has not demonstrated an ability to work independently, including time
management.
VII. Flexiplace Guidelines
A. Work Agreement. Employees who have been approved for Flexiplace assignments
must sign a Flexiplace Work Agreement that covers the terms and conditions of participation in
the Flexiplace Program (Appendix 3). This agreement will provide employees with sufficient
information about the Flexiplace Program so they can make an informed decision whether to
participate. When signed, this agreement documents commitment by the employee and his/her
supervisor to adhere to Flexiplace policies. The work agreement includes the following items:
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1. Privacy Act/security provisions for government property and records;
2. Personal and financial liability;
3. Agreement to release home telephone number to "customers" (applies only to
employees working at home)."
4. Voluntary nature' of the arrangement.
5. Length of the Flexiplace assignment.
6. Days and hours of duty for each duty station.
7. Location of AWL.
8. Responsibilities for timekeeping, leave approval, overtime or compensatory time.
9. Work assignments for the AWL.
B. Work Schedules. The same work schedule rules that apply at the regular work site
apply at the alternate work location.
C. Position Descriptions and Performance Issues.
1. Position Descriptions. Changes to position descriptions are not necessary because the
actual duties to be performed should remain the same.
2. Performance Standards. Critical elements and performance standards must have
clearly defined performance requirements that are quantifiable, measurable and results oriented.
Changes should not be necessary because the actual duties to be performed and any assessment
of results should remain the same at the AWL.
D. Records Management
EPA employees are required to comply with the following guidelines on using records or
duplicating records when working at Flexiplace locations. Compliance with these Flexiplace
policies will protect the Agency and the employee in the event of litigation or investigation.
During an investigation, all relevant records must be made available to investigators and
auditors.
1. Any official record removed for Flexiplace assignments remains the property of
EPA. Additionally, any official record that is generated from Flexiplace assignments becomes
the property of EPA.
2. Confidential and Privacy Act information will continue to be properly safeguarded at
AWL just as it is at the official duty station using established procedures as permitted and
authorized (for example,"the EPA TSCA Confidential Business Information Security Manual).
3. Employees must comply with any and all other applicable records security laws,
regulations and policies.
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£. Time and Attendance
1. Employees performing work at the AWL are subject to the same maximum workday
limits as they would be if they were performing work at the official duty station. Employees
performing work at the AWL are not authorized to work overtime or official compensatory
time; except in special circumstances (e.g., to meet priority needs of the Agency). In these
situations, prior approval must be obtained from their supervisor.
2. Employees performing work at the AWL will follow established procedures for
requesting and obtaining approval of leave, consistent with Article 24 of the. Master Collective
Bargaining Agreement.
3. Certification and Control of Time and Attendance (T&A). Federal policy and
procedures governing certification of time and attendance require agencies with employees
working at AWL to provide reasonable assurance that they are working when scheduled and
absences during the work day are accounted for. Employees must self-certify time and
attendance to their supervisor. This may be done electronically, by report (see Form 4 in
attached Appendix for ah example), or in accordance with other established procedures.
4. Administrative Leave/ Emergency Closines/Late Ooenines/ Dismissals: Employees
are not entitled'to excused absence for emergency closings, delayed openings or early
dismissals for conditions or events that do not affect their reporting for duty at the alternative
work location. In the event that conditions prevent the employee from performing his/her
duties at the alternative work location (e.g., power outage), the employee must report to the
official work site if it is open, subject to the same excused absence allowances provided to other
employees at that site, or request appropriate leave.
F. Fair.Labor Standards Act
The existing rules in Title 5 U.S.C. and in the Fair Labor Standards Act governing overtime
also apply to Flexiplace arrangements. All overtime work for employees in Flexiplace
assignments must be approved in advance by the supervisor.
G. Workers Compensation
Flexiplace employees are covered by the Federal Employees Compensation Act (FECA).
Employees can qualify for continuation of pay or Workers Compensation for on-the-job injury
or occupational illness if injured in the course of performing official duties at the official duty
station or the alternate work location. Supervisors must ensure that claims of this type are
immediately brought to the attention of the servicing Human Resources Office. Any accident
or injury occurring at the alternate work location must be brought to the immediate attention of
the supervisor. Because the Agency is liable for potential workers compensation costs, the
Agency shall have the right to conduct inspections of employees' Alternate Work Location(s),
provided 24 hours advance notice is given and the employee is working at the alternate work
site on the day of the inspection.
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H. Pay Rates
1. Duty Station. For pay purposes, the "official duty station" is the employee's Federal
office.
2. Special Salary Rates. The employee's official duty station serves as the basis for
determining special salary rates.
3. Premium Pay. The same rules and regulations apply for night differentials and
Sunday and holiday pay whether work is accomplished at the conventional or AWL. The
employee's official work schedule determines his/her entitlement to premium pay. Working at
night, on Sundays or on holidays requires pre-authoiization by the supervisor, whether working
at the traditional work site or at an AWL.
I. Facilities
1. Home Office Space. If working at home, employees participating in Flexiplace
should have a designated work area for performance of their work-at-home duties.
Requirements will vary, depending on the nature of the work and the equipment needed to
perform the work.
2. Equipment and Expenses. The Agency will provide appropriate equipment, when it
is available, for employees to perform work at the Flexiplace work site. Employees may choose
to use home personal computers and other office equipment in support of their Flexiplace
requests. The Agency will not be responsible for any operating costs, home maintenance,
homeowners or renters insurance, or other residential costs associated with a flexiplace
assignment except the Agency will pay the cost for authorized telephone calls (including toll
calls) incurred for official Agency business.
. a.. Telephones. EPA may provide telephone credit cards or may reimburse an
employee working under an approved Flexiplace Agreement for business-related long-distance
and toll calls on his/her personal phone. EPA may install telephone lines and other necessary
equipment and pay monthly telephone charges in private residences under special
circumstances. The Agency reserves the right to determine the most cost-effective manner of
covering telecommunications costs.
b. Laptop Computers. Agency-owned Equipment, etc. When available,
Agency-owned property, such as laptop computers and other telecommunications equipment,
may be used by employees in their private residences, provided the equipment is used only for
official business. Strict adherence to regulations concerning the safeguarding and removal of
all equipment is essential. Prior approval through the appropriate channels must be obtained
before any property is removed from the Agency and property passes must be issued for each
piece of equipment. All equipment, software, data, and supplies furnished by the Agency shall
remain the sole property of the Agency. Employer-owned software shall not be duplicated for
private use or profit. Employees must agree to return these items upon request of the Agency
for maintenance or any other reason, or upon termination of the Flexiplace agreement.
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Employees are responsible for the safety and security of all equipment and data provided by or
generated for the Agency, including maintaining security and confidentiality. Employees are
solely responsible for maintaining any personally-owned equipment.
c. Supplies. If needed, the Agency will pro vide necessary office supplies,
(paper, pens, diskettes, etc.), subject to applicable rules and regulations regarding use of
government property.
3, Miscellaneous Expenses. Employees are expected to plan for and accomplish
necessary photocopying, mail, and facsimile transmissions at the AWL. -In emergency
situations, and with the. prior approval of the supervisor, costs associated with the copying of
work-related, materials, facsimile charges, express mail, etc., may be reimbursed.
4. Workplace Is Not a Government Facility. While the Agency may own some of the
property and materials used by the employee in the home workplace, the employee agrees and
understands that the home work place is not a Government facility, and that costs of
safeguarding, insuring, and maintaining the home work place and the Government property
therein are the sole responsibility of the employee.
5. Questions related to claims for personal property damage or loss or personal injury
related to the employee's performance of official duties should be directed to the servicing
Human Resources Office. The Agency will address issues of employee or Agency liability in
accordance with the specific facts of each case and under the provisions of the Federal
Employees Claims Act, the Federal Tort Claims Act, the Military Personnel and Civilian
Employees Claims Act, and applicable law, as appropriate.
6. Generally, a Federal tax deduction is not allowed for a home office or work space
unless used exclusively on a regular basis as a principal place of business. Employees who
believe they may be entitled to a tax deduction based on home office or work space,
depreciation of employee-owned personal computers and related equipment, etc., should
consult their tax advisors or the Internal Revenue Service for information on tax laws and
interpretations.
VIII. Application Process and Procedures
The following language describes application procedures:
A. The employee will submit the attached application for performing work at the AWL. The
application will describe the nature of the duties to be performed and the specific day(s)
requested. The request will be submitted to management for approval. The decision will be
provided to the applicant in writing as soon as possible, normally within 15 calendar days.
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B. The Application must be submitted within a reasonable advance period allowing sufficient
time for the approving official to consider and plan for the request. If the assignment is
initiated by the supervisor, and the employee concurs, the employee is still responsible for
submitting a Flexiplace Program Application.
C. The criteria for approving a request to work at the AWL will be based on the terms of this
agreement.
D. Employees and their supervisors approved for the Flexiplace Program must receive
applicable guidance, which may include training and/or other types of communication, which
provides an overview of the program and the requirements for participation.
IX. Withdrawal or Removal from the Flexiplace Program
A. An employee may terminate his/her Flexiplace arrangement at any time without prejudice
and return to his/her official duty station. Employee notice to the supervisor should-be in
writing and acknowledged by the supervisor to prevent misunderstandings about the
employee's work location.
B. The Agency may remove an employee from the Flexiplace Program based on the
employee's failure to adhere to the requirements specified in the Flexiplace Program Agreement
and/or any performance or conduct issues or concerns which adversely affect or alter the
conditions pertaining to any of the approval criteria identified in Section VI. When a decision
is made to remove an employee from the Flexiplace Program, the employee must be given
written notice indicating the reason(s) for removal (Appendix 5). The employee may reapply
for Flexiplace Program participation 6 months after removal from the Program, provided that
her/his performance and conduct are fully satisfactory.
X. Changes
A. When any aspect of the work agreement changes (e.g, position, work assignment,
supervisor, alternate work location, etc.), the employee and supervisor will reassess me
employee's work for Flexiplace suitability and continued approval.
XI. Problems with Potential Affect on Work Performance
A. Employees will promptly inform supervisors whenever any problems arise which adversely
affect their ability to perform work at the AWL. Examples could include situations such as
equipment failure, power outages, telecommunications difficulties, etc.
B. In the event of a local emergency situation which adversely affects employees' ability to
commute to the workplace (e.g., transit strike, natural disaster), the parties agree to meet
immediately to discuss possible temporary Flexiplace arrangements for affected employees.
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XII. Implementation
A. The provisions of this agreement do not modify government-wide laws, regulations or the
Master Collective Bargaining Agreement for using Flexiplace (or some variation of the
program) as a reasonable accommodation for qualified disabled individuals.
B. EPA bargaining unit employees who are using Flexiplace arrangements as of 5/11/98 will
continue under that arrangement until 30 days after the effective date of this agreement, when
they will be required'to comply with these provisions.
C. Violations of this agreement are subject to the negotiated grievance procedure between the
parties.
D. This agreement becomes effective on the 31st days after the completion of Agency Head
Review. If any portion is properly disapproved, the remaining portion will become effective
and the parties will return to the bargaining table as soon as possible to resolve outstanding
issues.
£. Union and management will meet within 12 months of the implementation date of this
agreement to review available data and to discuss and identify concerns or issues regarding the
Flexiplace program. AFGE participants will be provided official time and travel expenses to
prepare for and participate in these meetings. If further meetings are necessary, they will be
jointly arranged.
1. The following information on each AAship and Regional Office will be provided to
the Union no later than 12/31/98 in order to get a current picture of existing Flexiplace
programs within the Agency:
a. Name, job title, series and grade and location of every employee on Flexiplace as of
October 31,1998.
b. Type of Flexiplace (Regular, Episodic, Medical)
c. All handouts/training materials/guidelines for the EPA/AFGE Flexiplace program
d. Beginning and ending date (projected or actual) of each employee's Flexiplace
assignment
e. Copies of any surveys done with participants for any reason
f. Copies of any reports or evaluations regarding the Flexiplace program provided to
the upper level EPA management, other agencies or organizations outside of EPA.
F. The existing goals for Flexiplace participation in Region I, Region VIII or any other
portion of the bargaining unit will not be reduced or eliminated.
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G. An electronic copy of this agreement will be place on the EPA LAN with a 7-day pop-
up notice, on the web page and in "Employee Matters." A hard copy will be provided to
new employees and other bargaining unit employees if individually requested.
H. This agreement will become a part of the new AFGE national contract and will not be
re-opened except by mutual agreement during the life of the contract.
For EPA:
!astings-Eliis, Ch^f Negotiator
^L^LLi^L^J^
Alan L. Hollis, Council 238 President
Ey\$ie Petty-Collier, Comcil 238 1st VP
Liricla J. WalladerChief Negotiator
Devereaux Barnes, Office Director, OSW
Steven E. Johnson, LMR Rep, Region III
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Application
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Appendix (1)
AFGE/EPA FLEXIPLACE APPLICATION FORM
Employee Name Telephone Ext. Mailcode_
Type of Flexiplace: Regular Episodic Medical
Job Title/Senes/Grade Division/Office
Alternate Work Location Address
Alternate Work Location Telephone FAX
First Line Supervisor Telephone Ext.
Number of Days per Pay Period requested for Alternate Work Location
Description of work to be performed at Alternate Work Location:
I certify that I have at least a Fully Successful or Pass performance appraisal rating.
I certify that I have work space at the alternate work location suitable for performing work.
I certify that I am willing to sign and abide by the Flexiplace Program Work Agreement.
If the request is for medical flexiplace, medical documentation justifying the reason for the request
and the projected duration of the need is attached to this application.
Employee Signature_ Date
ACTION ON APPLICATION
Approved Disapproved
Specific Reason for Disapproval:
Supervisor's Signature_ Date.
Approving Official's Signature Date
NOTE: A copy of this form should be maintained by the employee, the supervisor and a copy sent to
the appropriate Flexiplace Coordinators.
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Appendix A (2)
EMPLOYEE SELF-CERTIFICATION SAFETY CHECKLIST
The following checklist is designed to assess ihe overall safety of the AWL and must be completed, signed and given to vour
supervisor with vour application for the Flexiplace program.
1 Is the space free of asbestos material7
2 If NO. is the asbestos undamaged and in good condition?
3 Docs the space appear to be free of indoor air quality problems?
4 Is the work space free from excess noise?
f Is water available and drinkable in the space?
6 Is ventilation adcQuate0
7 Is a bathroom available with hot and cold running water0
8. Arc there handrails for stairs with more than 3 steps?
9 Are circuit breakers/fuses in the electrical panel labeled as to intended service0
10 Do circuit breakers clearly indicate if they arc opened or closed?
1 1. Is electrical equipment free of recognized hazards that would cause physical
harm (for example, fraved wires, bare conductors, loose woes, exposed wires
fixed to the ceiling, a rat's nest of plugs m a single outlet and so on)?
12. Will the building s electrical system permit the grounding ot electrical
xnupmcnT'
1 3 Are aisles. door\va> s and comers free of obstructions to permit visibility and
movement.
14 Do file cabinets and storage closets open so they do not obstruct walkways?
-
15 Do chairs have stable and secure wheels/casters '
16. Arc rungs and legs of chairs stable and sturdy?
1 7. Arc the phone lines, electrical cords and extension wires safely secured?
18. Is the office free of combustible or materials?
1 9 Is there adequate electrical lighting to accomplish the work assignments?
20. Are floor surfaces clean, dry and level0
21. Arc carpets well secured to the floor and free of frayed or worn scams0
~>2 Arc there anv other known safctv issues that should be addressed for this
work space0
Yes
No
N/A
Comments
Signing this form doe* not guarantee that the AWL is hazard free, but does verify that the employee has made a reasonably
careful inspection for potential hazards. Employees are responsible for informing their supervisors of any changes to their
A WL which could impact on health and safety of the employee and others.
Employee's Signature. Date
Supervisor's Signature
Date
13
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AFGE/EPA Flexipiace
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Appendix (3)
AFGE/EPA FLEXIPLACE WORK AGREEMENT
All terms set forth in the AFGE/EPA Flexiplace Agreement f'Flexiplace Agreement") are hereby
incorporated by reference in this work agreement.
Name Mailcode
1. Employee agrees to adhere to the AFGE/EPA. Flexiplace Agreement. EPA, hereinafter referred to as
Agency, concurs with employee participation and agrees to adhere to the AFGE/EPA Flexiplace
Agreement.
2. Duty Station. All pay, special salary rates, leave and travel entitlements will be based
on the employee's official duty station.
Official duty station
Alternate Work Location (the location in which the employee is designated to work while not at
the official duty station)
3. Please describe the designated work area in the AWL.
4. Employee's timekeeper will have a copy of the employee's Flexiplace schedule. Employee's time and
attendance will be recorded as Flexiplace Time using a special code established for this purpose.
Employee's supervisor will certify bi-weekly time and attendance for hours worked Employee must
complete the "Employee Self-Certification Time and Attendance Report" (Appendix 4) and return it to
his or her supervisor on a bi-weekly basis.
5. Employees performing work at the AWL will follow established procedures for requesting and
obtaining approval of leave, consistent with Article 24 of the Master Collective Bargaining Agreement.
6. Employees performing work at the AWL are subject to the same maximum workday limits as they
would be if they were performing work at the official duty station. Employees performing work at the
AWL are not authorized to work overtime or official compensatory time, except in special circumstances
(e.g., to meet priority needs of the Agency). In these situations, prior approval must be obtained from the
Supervisor.
7. An employee who is authorized to use Agency equipment will protect the Agency equipment in
accordance with the procedures established in FIRMR Bulletin 30, dated October IS, 1985. An employee
who provides his/her own equipment is responsible for installing, servicing, and maintaining it
14
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8. Provided the employee is given at least 24 hours advance notice, the employee agrees to permit
periodic inspections of his/her AWL during the employee's normal working hours to ensure site
conformance with safety standards and other specifications in these guidelines. Such inspections will
occur only on days when the employee is working at the AWL.
9. Questions related to claims for personal property damage or loss or personal injury related to the
employee's performance of official duties should be directed to the servicing Human Resources Office.
The Agency will address issues of employee or Agency liability in accordance with the specific facts of
each case and under the provisions of the Federal Employees Claims Act, the Federal Tort Claims Act,
the Military Personnel and Civilian Employees Claims Act, and local law as appropriate.
10. The Agency will not be responsible for operating costs, homejnaintenance, homeowners or renters
insurance, or other residential costs except the Agency will iiMtajRmd pay the cost for authorized
telephone expenses (including toll calls) incurred for official Agency business.
11. The Agency will provide necessary office supplies that are regularly available at the Agency (such as
paper, pens, printer ribbons, diskettes, envelopes, tape, staples, etc.).
12. EPA may provide telephone credit cards or may reimburse a employee working under an approved
Flexiplace Agreement for business-related long distance and toll calls on his/her personal phone. EPA
may install telephone lines and other necessary equipment and pay monthly telephone charges in private
residences under special circumstances. The Agency reserves the right to determine the most cost-
effective manner of covering telecommunications costs.
13. Employees are expected to plan for and accomplish necessary photocopying, mail and facsimile
transmissions at the regular work site. In emergency situations, and with the prior approval of the
supervisor, costs associated with the copying of work-related materials, facsimile charges, express mail,
etc., may be reimbursed.
14. The employee is covered under the Federal Employee's Compensation Act (FECA) if injured in the
course of performing official duties at the official or alternate duty station, in accordance with applicable
Department of Labor regulations and standards governing FECA liability. (NOTE: Any accident or
injury occurring at the alternate duty station must be brought to the immediate attention of the supervisor
and the servicing Human Resources Office. Because an employment-related accident sustained by an
employee participating in the Flexiplace Program could occur outside the premises of the official duty
station, the supervisor must investigate all reports immediately following notification.)
15. The employee must complete the "Employee Self-Certification Safety Checklist," which identifies
significant safety standards that should be met, and submit it to his/her supervisor prior to participating in
the Flexiplace Program.
16. The employee will communicate as needed with his/her supervisor to receive assignments and have
completed work reviewed in accordance with the supervisor's instructions.
15
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17. The employee will complete all assigned work in accordance with his/her supervisor's instructions.
Progress reviews under Article 34 as revised by the parties will be used by the supervisor in his/her
assessment of the employee's job performance. The supervisor will evaluate employee's job performance
against performance standards established in the employee's performance agreement
18. To participate in the Flexiplace Program, an employee must have a performance rating of at least
Fully Successful (Level 3 or equivalent) in the rating of record.
19. The employee agrees to use approved safeguards to protect Agency records from unauthorized
disclosure or damage and to comply with the requirements set forth in the Privacy Act of 1974, as
amended. 5 U.S.C. 552a, and those concerning release of confidential business information (CBI) as set
forth in 40 C.F.R. Part U, Subpart B and EPA's TSCA Confidential Business Information Security
Manual.
20. An employee may terminate his/her Flexiplace arrangement at any time without prejudice and return
to his/her official duty station. Employee notice to the supervisor should be in writing and acknowledged
by the supervisor to prevent misunderstandings about the employee's work location.
21. The Agency may remove an employee from the Flexiplace Program based on the employee's failure to
adhere to the requirements specified in the Flexiplace Program Agreement and/or a decline in overall
performance below the fully successful level. However, employees will not be removed from
participation for single, minor infractions of Flexiplace Program requirements. Supervisors will counsel
employees about specific problems before effecting removal. When a decision is made to remove an
employee from the Flexiplace Program, the employee must be given written notice indicating the
feason(s) for removal. The employee may reapply for Flexiplace Program participation 6 months after
removal from the Program, provided that her/his performance is at least fully successful, and meets all
other eligibility requirements.
22. The employee agrees to perform his/her officially assigned duties at either the official duty station, the
alternative work location or while on official travel. Failure to comply with this provision may result in
administrative action, such as charge of leave, loss of pay, termination of participation in the program, or
disciplinary action, as warranted, based on the situation.
23. The employee agrees not to conduct unauthorized personal business while in official duty status at
the official or alternate work location (e.g., dependent care, home repairs, real estate transactions). The
employee agrees to arrange for any dependent care and other personal responsibilities in a manner that
allows him/her to successfully meet job responsibilities. Flexiplace is not a substitute for dependent care.
24. This Agreement does not restrict the employee's right to change schedules in accordance with existing
agreements. If a permanent change of schedule is approved, the schedule in the application package will
be changed accordingly and initialed by both the employee and the supervisor.
25. The employee and the supervisor agree to attend the required training and orientation prior to
participation in the Flexiplace Program.
16
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26. An employee must be willing to report to the official work site without delay if unexpectedly needed.
I have read and understood all the provisions of this work agreement and agree to abide by them.
Employee's Signature Date
EPA concurs with the participation of this employee and agrees to adhere to the provisions of this
agreement.
Supervisor's Signature Date
Approving Official's Signature Date _
17
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Employee Name.
Official Tour of Duty:
Pay Period
Work Week
Weekl
Week 2
Day
Sunday
Monday
Tuesday
Wednesday
'Thursday
Friday
Saturday
Sunday
Monday
Tuesday
Wednesday
Thursday
Friday
Saturday
Hours
From To
Duty Station
Official Alternate
Appendix (4)
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Appendix (4)
AFGE/EPA Flexiplace Program
Employee Self-Certification Time and Attendance Report
~mployee Name
IPav Period #
'
Pay Period Beginning Date
Pay Period Ending Date
Enter all hours worked over the two week pay period. Place a checkmark in the "F" column for days
worked at the Alternate Work Location on Flexiplace.
WEEK 1
DAY
Sunday
Monday
Tuesday
Wednesday
Thursday
Friday
Saturday
F
START
TIME
END
TIME
TOTAL
WORK
HOURS
A/L
HOURS
S/L
HOURS
-
COMPTTMEOR
OT
WEEK 2
DAY
Sunday
Monday
Tuesday
Wednesday
Thursday
Friday
Saturday
F
START
TIME
END
TIME
"
TOTAL
WORK
HOURS
A/L
HOURS
S/L
HOURS
COMPTIMEOR
OT
Totals: Work
/Annual /Sick
/ Comn or OT
Employee's Signature.
Date
Supervisor's Signature.
Date
18
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Appendix (5)
NOTICE OF REMOVAL
From FLEXIPLACE PROGRAM PARTICIPATION
DATE:
TO: (Name of Employee)
FROM: (Name of Supervisor)
SUBJECT: Removal of Employee Participation in EPA's Flexiplace Program
I am rescinding your participation in EPA's Flexiplace Program effective
Date
The specific reason(s) for my decision is as follows:
You may reapply for participation in the Flexiplace Program no sooner man 6 months from the date of
this notice, provided that your overall performance is at least fully successful and you meet all other
eligibility requirements for participation.
Signature of Supervisor
Received by
Signature of Employee/Date
(Signature does not imply agreement)
19
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. D C 20460
MAY 2 7 1999
OFFICE OF
ADMINISTRATION
4UD RESOURCES
MANAGEMENT
MEMORANDUM
SUBJECT: Final National Treasury Employees Union Chapter 280 Agreement for Flexiplace
FROM: Romulo L. Diaz, Jr.
Assistant Administrator
TO: Assistant Administrators
General Counsel
Inspector General
Chief Financial Officer
Associate Administrators
Staff Office Directors
I am pleased to announce that the EPA and National Treasury Employees Union (NTEU)
Chapter 280 Agreement for Flexiplace has been successfully negotiated and ratified, effective
April 18, 1999. This agreement, a copy of which is attached, must be implemented by all
organizational locations at EPA Headquarters which have employees in the NTEU Chapter 280
bargaining unit.
I would like to congratulate the union and management negotiating team for the excellent
cooperation and partnership they demonstrated while working together to conclude this
agreement. A very similar but separate flexiplace agreement was signed earlier with the
American Federation of Government Employees (AFGE) that covers all AFGE bargaining units
throughout EPA.
This mutual agreement by NTEU Chapter 280 and management includes: (1) procedures
for employees to follow in requesting flexiplace; (2) factors for management to consider in
exercising its flexibility to grant or deny flexiplace, such as portability of the work, the
employee's time and attendance and performance history, and the availability of funds to support
flexiplace work stations; and (3) recognition of three types of flexiplace (regular, episodic, and
medical). All employees in the NTEU Chapter 280 bargaining unit who wish to participate in
the flexiplace program, including those that are already participating under a pilot program, must
submit all appropriate forms and documentation according to the new negotiated agreement.
This new agreement supersedes any other flexiplace programs for NTEU Chapter 280 bargaining
unit employees.
Recycled/Recyclable Printed with Vegetable Oil Based Inks on 100% Recycled Paper (40% PosJconsumer)
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Under appropriate circumstances, flexiplace may be beneficial to both EPA's mission
and to the employee. The flexiplace agreement supports President Clinton's directives on
creating a family friendly workplace by supporting the expansion of flexible family friendly
work arrangements. Working at a suitable alternate location could increase the employee's
productivity, could improve morale and reduce stress by giving employees more options to
balance work and family demands, and may decrease traffic congestion and air pollution.
The agreement on flexiplace is separate and distinct from the partnership agreement that
was implemented in March of this year on Alternative Work Space for employees suffering
adverse health effects from conditions in their work station. Additionally, flexiplace is not a
substitute for accommodations that may be available to disabled employees under the
Rehabilitation Act.
A copy of the agreement is located on the EPA Intranet at the following website address:
http://intranet.epa.gov/rmpolicv/hr/nteuflex.pdf. Should you have any questions please contact
Robert Stevens at (202) 260-5651 or Linda Wallace at (202) 260-3686.
Attachment
cc: James Murphy, President NTEU Chapter 280
Program Management Officers
Headquarters Human Resources Staff Directors
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NTEU CHAPTER 280/EPA FLEXIPLACE PROGRAM
TABLE OF CONTENTS
I. Scope and Terms of Agreement
II. Purpose
III. Definitions
FV. Responsibilities
V. Eligibility
VI. Criteria for Approval/Disapproval
VII. Flexiplace Guidelines
VIII. Application Process and Procedures
IX. Withdrawal or Removal from Flexiplace Program
X. Changes
XI. Problems with Potential Affect on Work Performance
XII Implementation
APPENDICES
(1) Application
(2) Safety Checklist
(3) Work Agreement
(4) Employee Certification of Time & Attendance Report
(5) Notice of Removal from Flexiplace
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I. Scope and Terms of This Agreement
The panics agree that the implementation and administration of the EPA Flexiplace Program in
the NTEU Chapter 280 bargaining unit will be governed by applicable law, government-wide
rules and regulations, and this agreement.
II. Purpose
A well-managed Flexiplace program promotes the Agency's mission by decreasing traffic and
parking congestion, energy consumption and air pollution. It further addresses the
government's challenge of improving the quality of worklife, job performance, and increasing
productivity.
III. Definitions
A. Flexiplace. Flexiplace is the assignment to work at an alternate work location other
than an employee's official work station. Participation is voluntary. Generally, any
occupation/job involving portable work can be considered for inclusion. Management will
approve participation based on such factors as mission accomplishment, costs, and benefits to
the organization and employees. There are three forms of Flexiplace covered by this
agreement:
1. Regular. Under this type of Flexiplace arrangement, employees may request the
performance of duties at an alternate work location on a regular and recurring basis. Normally,
employees will be scheduled to work, at the discretion of their supervisor, no more than four
days in any two week pay period at the Alternative WorkJLocation (AWL).
2. Episodic. This form of Flexiplace is appropriate for work or assignments of specific
limited duration that can be performed at an AWL.
3. Medical. This form of Flexiplace is designed for the continued accomplishment of
Agency work while an employee has a medical condition which does not affect the employee's
ability to perform his or her regular work assignment at an AWL. The Agency may request the
employee to provide a physician's statement of incapacitation or other acceptable evidence
related to the reason for the employee's Medical Flexiplace request.
The Employer may approve up to 5 days per week at the AWL. This type of Flexiplace
is not intended to be a permanent arrangement and will normally not exceed 6 months. This
time period may be extended where the eligibility factors and other requirements of this
agreement are met. Such extensions will not be unreasonably denied.
B. Alternate Work Location (AWL). The AWL is an agreed-upon work location other
than the employee's official work station.
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C. Portable Work. Work that is normally performed at the employee's official work site
but which can be performed with equal effectiveness at another location with respect .to quality,
quantity, timeliness, customer service and other aspects of mission accomplishment. It is
understood that this work is part of the employee's regular assignment and does not involve a
change in duties or the way assignments are performed.
IV. Responsibilities
A. Management is responsible for approving the use of Flexiplace in accordance with the
terms of this agreement and in consideration of such factors as mission accomplishment,
service to the public, and costs and benefits to the Agency and its employees.
B. Employees are responsible for the following:
1. Completing required applications/agreements to participate in program.
2. Making timely advance requests for use of Flexiplace in a manner that allows
approving official sufficient time to consider and plan for the request.
3. Observing agreed upon hours of work in accordance with established policies and
bargaining agreements).
4. Observing established policies and procedures for requesting and using leave.
5. Safeguarding Agency equipment and supplies and using them only for official
purposes.
6. Completing the Employee Self-Certification of Time and Attendance Report
and returning it to the supervisor on a biweekly basis. (Appendix 4)
7. Performing only official EPA business while on a Flexiplace assignment, including
maintaining an AWL environment that is free from distractions and interruptions.
8. Maintaining compliance with appropriate health and safety regulations, and
reporting unsafe working conditions.
V. Eligibility
In order to participate in the Flexiplace program, an employee must:
1. Have volunteered for the program.
2. Have supervisory approval for participation.
3. Have worked as an EPA employee for at least one year.
4. Not be a probationary or temporary employee.
5. Not have had" documented performance or conduct deficiencies within the preceding
12 months.
6. Have portable work.
7. If working at home, be able to provide an appropriate work location with adequate
space not subject to undue interruption which would impact productivity and access
to a telephone.
8. Have demonstrated the ability to work independently.
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VI. Criteria for Approval/Disapproval
A. Criteria for approval includes the following.
1. Portability of the work.
2. Reasonableness and practicality of the request with respect to such issues as
complexity of administrative arrangements that need to be made or potential impact
on other employees' work load.
3. Additional cost to the Agency.
4. Availability of necessary equipment.
5. Service delivery to internal and external customers, including office coverage.
6. Needs of the employee.
B. Generally, requests will not be approved if any of the following conditions apply:
1. The nature of the position is such that it cannot be performed from an alternative
work location.
2. The employee has been with the Agency for less than one year.
3. The work being performed requires extensive face to face contact with supervisors,
other employees, clients or the general public.
4. The work being performed requires access to material which is routinely required to
accomplish assignments and cannot be removed from the official work site.
5. Performance or conduct deficiencies, including time and attendance, have been
identified and documented.
6. The employee's work schedule is insufficient to provide both office and Flexiplace
days because of a limited tour of duty.
7. The work requiresjclose supervision because the employee is new to the v.-ork or is
being trained on new or developmental duties, or other work monitoring
requirements.
8. The employee has not demonstrated an ability to work independently, including time
management.
VII. Flexiplace Guidelines
A. Work Agreement. Employees who have been approved for Flexiplace assignments
must sign a Flexiplace Work Agreement (Appendix 3) that covers the terms and conditions of
participation in the Flexiplace Program. This agreement will provide employees with sufficient
information about the Flexiplace Program so they can make an informed decision whether to
participate. When signed, this agreement documents commitment by the employee and his/her
supervisor to adhere to Flexiplace policies. The work agreement includes the following items:
1. Privacy Act/security provisions for government property and records;
2. Personal and financial liability;
3. Agreement to release telephone number of approved alternative work location to
customers.
4 Voluntary nature of the arrangement.
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5. Length of the Flexiplace assignment.
6. Days and hours of duty for each duty station.
7. Location of AWL.
8. Responsibilities for timekeeping, leave approval, overtime or compensatory time.
9. Work assignments for the AWL.
B. Work Schedules. The same work schedule rules that apply at the regular*ork site
apply at the alternate work location. This agreement is separate from and does not modify
existing compressed work week policies and schedules.
C. Position Descriptions and Performance Issues.
1. Position Descriptions. Changes to position descriptions are not necessary because the
actual duties to be performed should remain the same.
2. Performance Standards. Critical elements and performance standards must have
clearly defined performance requirements that are quantifiable, measurable and/or results
oriented. Changes should not be necessary because the actual duties to be performed and any
assessment of results should remain the same at the AWL.
D. Records Management
EPA employees are required to comply with the following guidelines on using records or
duplicating records when working at Flexiplace locations. Compliance with these Flexiplace
policies will protect the Agency and the employee in the event of litigation or investigation.
During an investigation, all relevant records must be made available to investigators and.
auditors.
1. Any official record removed for Flexiplace assignments remains the property of
EPA. Additionally, any official record that is generated from Flexiplace assignments becomes
the property of EPA.
2. Confidential and Privacy Act information will continue to be properly safeguarded at
the AWL just as it is at the official duty station using established procedures as permitted and
authorized (for example, the EPA TSCA Confidential Business Information Security Manual).
3. Employees must comply with any and all other applicable records security laws,
regulations and policies.
E. Time and Attendance
1. Employees performing work at the AWL are subject to the same maximum workday
limits as they would be if they were performing work at the official duty station. Employees
performing work at the AWL are not authorized to work overtime or official compensatory
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time, except in special circumstances (e.g., to meet pnonty needs of the Agency). In these
situations, prior approval must be obtained from their supervisor.
2. Employees performing work at the AWL will follow established procedures for
requesting and obtaining approval of leave, in accordance with applicable laws, rules,
regulations, and Agency policies.
3. Certification and Control of Time and Attendance (T&A). Federal policy and
procedures governing certification of time and attendance require agencies with employees
working at an AWL to provide reasonable assurance that they are working when scheduled and
absences during the work day are accounted for. Employees must self-certify time and
attendance to their supervisor. This may be done electronically, by report (see Appendix 4 for
an example), or in accordance with other established procedures.
4. Administrative Leave/ Emergency Closings/Late Openings/ Dismissals: Employees
are not entitled to excused absence for emergency closings, delayed openings or early
dismissals for conditions or events that do not affect their reporting for duty at the alternative
work location. In the event that conditions prevent the employee from performing his/her
duties at the alternative work location (e.g., power outage), the employee must report to the
official work site if it is open, subject to the same excused absence allowances provided to other
employees at that site, or request appropriate leave.
F. Fair Labor Standards Act
The existing rules in Title 5 U.S.C. and in the Fair Labor Standards Act governing overtime
also apply to Flexiplace arrangements. All overtime work for employees in Flexiplace
assignments must be approved in advance by the supervisor.
G. Workers Compensation
Flexiplace employees are covered by the Federal Employees Compensation Act (FECA).
Employees can qualify for continuation of pay or Workers Compensation for on-the-job injury
or occupational illness if injured in the course of performing official duties at the official duty
station or the alternate work location. Supervisors must ensure that claims of this type are
immediately brought to the attention of the servicing Human Resources Office. Any accident
or injury occurring at the alternate work location must be brought to the immediate attention of
the supervisor. Because the Agency is liable for potential workers compensation costs, the
Agency shall have the right to conduct inspections of employees' Alternate Work Location(s),
provided 24 hours advance notice is given and the employee is working at the alternate work
site on the day of the inspection.
H. Pay Rates
1. Duty Station. For pay purposes, the "official duty station" is the employee's Federal
office.
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2. Special Salary Rates. The employee's official duty station serves as the basis for
determining special salary rates.
3. Premium Pay. The same rules and regulations apply for night differentials and
Sunday and holiday pay whether work is accomplished at the conventional or AWL. The
employee's official work schedule determines his/her entitlement to premium pay. Working at
night, on Sundays or on holidays requires pre-authorization by the supervisor, whether working
at the traditional work site or at an AWL.
I. Facilities
1. Home Office Space. If working at home, employees participating in Flexiplace
should have a designated work area for performance of their work-at-home duties.
Requirements will vary, depending on the nature of the work and the equipment needed to
perform the work.
2. Equipment and Expenses. The Agency will provide appropriate equipment, when it
is available, for employees to perform work at the Flexiplace work site. Employees may choose
to use home personal computers and other office equipment in support of their Flexiplace
requests. The Agency will not be responsible for any operating costs, home maintenance,
homeowners or renters insurance, or other residential costs associated with a flexiplace
assignment except the Agency will pay the cost for authorized telephone calls (including toll
calls) incurred for official Agency business.
a. Telephones. EPA may provide telephone credit cards or may reimburse an
employee working under an approved Flexiplace Agreement for business-related long-distance
and toll calls on his/her personal phone. EPA may install telephone lines and other necessary
equipment and pay monthly telephone charges in private residences under special
circumstances. The Agency reserves the right to determine the most cost-effective manner of
covering telecommunications costs.
b. Laptop Computers. Agency-owned Equipment, etc. When available,
Agency-owned property, such as laptop computers and other telecommunications equipment,
may be used by employees in their private residences, provided the equipment is used only for
official business. Strict adherence to regulations concerning the safeguarding and removal of
all equipment is essential. Prior approval through the appropriate channels must be obtained
before any property is removed from the Agency and property passes must be issued for each
piece of equipment. All equipment, software, data, and supplies furnished by the Agency shall
remain the sole property of the Agency. Employer-owned software shall not be duplicated for
private use or profit. Employees must agree to return these items upon request of the Agency
for maintenance or any other reason, or upon termination of the Flexiplace agreement
Employees are responsible for the safety and security of all equipment and data provided by or
generated for the Agency, including maintaining security and confidentiality. Employees are
solely responsible for maintaining any personally-owned equipment.
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c. Supplies. If needed, the Agency will provide necessary office supplies,
(paper, pens, diskettes, etc.), subject to applicable rules and regulations regarding use.pf
government property.
3. Miscellaneous Expenses. Employees are expected to plan for and accomplish
necessary photocopying, mail, and facsimile transmissions at the AWL. In emergency
situations, and with the prior approval of the supervisor, costs associated with the^opying of
work-related materials, facsimile charges, express mail, etc., may be reimbursed.
4. Workplace Is Not a Government Facility. While the Agency may own some of the
property and materials used by the employee in the home workplace, the employee agrees and
understands that the home work place is not a Government facility, and that costs of
safeguarding, insuring, and maintaining the home work place and the Government property
therein are the sole responsibility of the employee.
5. Questions related to claims for personal property damage or loss or personal injury
related to the employee's performance of official duties should be directed to the servicing
Human Resources Office. The Agency will address issues of employee or Agency liability in
accordance with the specific facts of each case and under the provisions of the Federal
Employees Claims Act, the Federal Tort Claims Act, the Military Personnel and Civilian
Employees Claims Act, and applicable law, as appropriate.
6. Generally, a Federal tax deduction is not allowed for a home office or work space
unless used exclusively on a regular basis as a principal place of business. Employees who
believe they may be entitled to a tax deduction based on home office or work space,
depreciation of employee-owned personal computers and related equipment, etc., should
consult their tax advisors or the Internal Revenue Service for information on tax laws and
interpretations.
VIII. Application Process and Procedures
The following language describes application procedures:
A. The employee will submit the attached application for performing work at the AWL. The
application will describe the nature of the duties to be performed and the specific day(s)
requested. The request will be submitted to management for approval. The decision will be
provided to the applicant in writing as soon as possible, normally within 15 calendar days.
B. The Application must be submitted within a reasonable advance period allowing sufficient
time for the approving official to consider and plan for the request. If the assignment is
initiated by the supervisor, and the employee concurs, the employee is still responsible for
submitting a Flexiplace Program Application.
C. The criteria for approving a request to work at the AWL will be based on the terms of this
agreement.
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D Employees and their supervisors approved for the Flexiplace Program must receive
applicable guidance, which may include training and/or other types of communication, which
provides an overview of the program and the requirements for participation.
IX. Withdrawal or Removal from the Flexiplace Program
A. An employee may terminate his/her Flexiplace arrangement at any time without prejudice
and return to his/her official duty station. Employee notice to the supervisor should be in
writing and acknowledged by the supervisor to prevent misunderstandings about the
employee's work location.
B. The Agency may remove an employee from the Flexiplace Program based on the
employee's failure to adhere to the requirements specified in the Flexiplace Program Agreement
and/or any performance or conduct issues or concerns which adversely affect or alter the
conditions pertaining to any of the approval criteria identified in Section VI. When a decision
is made to remove an employee from the Flexiplace Program, the employee must be given
written notice indicating the reason(s) for removal (Appendix 5). The employee may reapply
for Flexiplace Program participation 6 months after removal from the Program, provided that
his/her performance and conduct are fully satisfactory.
X. Changes
A. When any aspect of the work agreement changes (e.g, position, work assignment,
supervisor, alternate work location, etc.), the employee and supervisor will reassess the
employee's work for Flexiplace suitability and continued approval.
XI. Problems with Potential Affect on Work Performance
A. Employees will promptly inform supervisors whenever any problems arise which adversely
affect their ability to perform work at the AWL. Examples could include situations such as
equipment failure, power outages, telecommunications difficulties, etc.
B. In the event of a local emergency situation which adversely affects employees' ability to
commute to the workplace (e.g., transit strike, natural disaster), the parties agree to meet
immediately to discuss possible temporary Flexiplace arrangements for affected employees.
XII. Implementation
A. The provisions of this agreement do not modify government-wide laws, regulations or the
Collective Bargaining Agreement for using Flexiplace (or some variation of the program) as a
reasonable accommodation for qualified disabled individuals.
B EPA bargaining unit employees who are using Flexiplace arrangements as of the union
ratification date will continue under that arrangement until 30 days after the effective date of
this agreement, when they will be required to comply with these provisions.
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C. Violations of this agreement are subject to the negotiated grievance procedure between the
panics.
D. This agreement becomes effective on. the 31" day after the completion of Agency Head
Review. If any portion is properly disapproved, the remaining portion will become effective and
the parties will return to the bargaining table as soon as possible to resolve outstanding issues.
E. Union and management will meet within 12 months of the implementation date of this
agreement to review available data and to discuss and identify concerns or issues regarding the
Flexiplace program. NTEU participants will be provided official time to prepare for and
participate in these meetings. If further meetings are necessary, they will be jointly arranged.
1. The following information on each AAship and Regional Office will be provided to the Union
no later than one year from signature date of this agreement:
a. Name, job title, series and grade and location of every employee on Flexiplace as of
December 31, 1999
b. Type of Flexiplace (Regular, Episodic, Medical)
c. For employees participating in the Regular Flexiplace, the number of flexiplace days in
the pay period at the alternative work location
d. Beginning and ending date (projected or actual) of each employee's Flexiplace
assignment
2. An electronic copy of this agreement will be placed on the EPA Intranet and widely publicized.
A hard copy will be provided to new employees and other bargaining unit employees upon
request.
3. This agreement will become a part of the NTEU Chapter 280 contract and will not be reopened
except by mutual agreement during the life of the contract.
For NTEU Chapter 280:
Juliejfcf Simfjso^ Chief Negotiator
'" ygr
Rosezellaj Canty^Letsomje, Chief Steward
Freshteh Toghrol, Senior Chemist, OPPTS
For EPA:
Robert H. Stevens, Chief Negotiator
D
ffice Director, OSWER
{, Director, Human Resources
Staff and Associated Activities, OAR
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NTEU/EPA FLEXIPLACE APPLICATION FORM
Employee Name Telephone Mailcode_
Job Title/Series/Grade
Division/Office
New Request Change Request Annual Recertification
Home/Alternate Work Site Address
Home/Alternate Work Site Telephone Fax
First Line Supervisor Telephone EXL_
Type of Flexiplace Regular Episodic Medical
Number of days/duration of Flexiplace requested
Description of work to be performed at Alternate Work Location:
I certify that I received a Pass performance appraisal rating under the PERFORMS Program, or an
equivalent rating.
I certify that I have work space at the alternate work location suitable for performing work.
I certify that I am willing to sign and abide by the Flexiplace Program Work Agreement
If request is for medical flexiplace, medical evidence supporting the request and the projected
duration that it will be needed is attached to the application.
Employee Signature Date
ACTION ON APPLICATION
Approved Disapproved
Soecific Reason for Disapproval:
Supervisor's Signature Date_
Approving Official's Signature Date_
NOTE: A copy of this form should be maintained by the employee, the supervisor and a
copy sent to the appropriate Flexiplace Coordinators.
Appendix (1)
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EMPLOYEE SELF-CERTIFICATION SAFETY CHECKLIST
The following checklist is designed to assess the overall safety of the AWL and must be completed and given to your
supervisor with your application for the Flexiolace program.
1. Is the space free of asbestos material?
2- If NO, is the asbestos undamaged and m good condition?
3. Does die space appear to be free of indoor air quality problems?
4. Is the work space free from excess noise?
5. Is water available and drinkable m the space?
6. Is ventilation adequate?
7. Is a badiroom available with hot and cold running water?
8. Are mere handrails for stairs wim more than 3 steps?
9. Are circuit breakers/fuses in the electrical panel labeled as to intended
service?
10. Do circuit breakers dearly indicate if they are opened or dosed?
physical harm (for example, frayed wires, bare conductors, loose wires,
exposed wires fixed to the ceiling, a rat's nest of plugs in a single outlet
and so on)?
12. Will the building's eiectrical system permit me grounding of electrical
eauioment?
13. Are aisles, doorways, and corners free of obstructions to penult
visibility and movement?
U. Do file cabines and storage closets open so they do not obstruct
walkways?
i s rvi rnaire have stable 2nd secure wheels/casters?
1 6. Are rungs and legs of chairs stable and sturdy?
17. Are the phone lines, eiectrical cords and extension wires safely
secured?
IS. Is the office free of combustible materials?
19. Is there adequate electrical lightning to accomplish the work
assignments .
20. Are floor surfaces clean, dry, and level?
21. Are earners well secured to me floor and free of frayed or worn seams''
22. Are mere any other known safety issues mat should be addressed for
mis work space?
Yes
No
N/A
Continents
Signutg this form does not guarantee that the A WL is hczardjree. but does verify that the employee has made a reasonably
careful inspection for potential hazards. Employees are responsiblefor informing their supervisors of any changes to their
A WL which could impaci on health and safety of the employee and others.
Employee's Signature_
Date
Supervisor's Sienanire_
Date
Appendix (2)
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NTEU/EPA FLEXIPLACE WORK AGREEMENT
All terms set forth in the NTEU/EPA Flexiplace Agreement ("Flexiplace Agreement") are hereby
incorporated by reference in this work agreement.
Name Mailcode
1. Employee agrees to adhere to the NTEU/EPA Flexiplace Agreement. EPA, hereinafter referred
to as Agency, concurs with employee participation and agrees to adhere to the NTEU/EPA
Flexiplace Agreement.
2. Duty Station. All pay, special salary rates, leave and travel entitlements will be based on the
employee's official duty station.
Official duty station:
Alternate Work Location (the location in which the employee is designated to work while not at
the official duty station):
3. Please describe the designated work area in the alternative work location.
4. Employee's timekeeper will have a copy of the employee's Flexiplace schedule. Employee's
time and attendance will be recorded as Flexiplace Time using a special code established for this
purpose. Employee's supervisor will certify bi-weekly time and attendance for hours worked.
Employee must complete the "Employee Self-Certification Time and Attendance Report"
(Appendix 4) and return it to his or her supervisor on a bi-weekly basis.
5. Employees performing work at the alternative work location will follow established procedures
for requesting and obtaining approval of leave, in accordance with applicable laws, rules,
regulations, and Agency policies.
6. Employees performing work at the AWL are subject to the same maximum workday limits as
they would be if they were performing work at the official duty station. Employees performing
work at the AWL are not authorized to work overtime or official compensatory time, except in
special circumstances (e.g., to meet priority needs of the Agency), hi these situations, prior
approval must be obtained from their supervisor.
7. An employee who is authorized to use Agency equipment will protect the Agency equipment in
accordance with the procedures established in FIRMR Bulletin 30, dated October 15, 1985. An
employee who provides his/her own equipment is responsible for installing, servicing, and
maintaining it.
Appendix (3)
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8. Provided the employee is given at least 24 hours advance notice, the employee agrees to permit
periodic inspections of his/her AWL during the employee's normal working hours to ensure site
conformance with safety standards and other specifications in these guidelines. Such inspections
will occur only on days when the employee is working at the AWL.
9. Questions related to claims for personal property damage or loss or personal injury related to
the employee's performance of official duties should be directed to the servicing Human Resources
Office. The Agency will address issues of employee or Agency liability in accordance with the
specific facts of each case and under the provisions of the Federal Employees Claims Act, the
Federal Tort Claims Act, the Military Personnel and Civilian Employees Claims Act, and local
law as appropriate.
10. The Agency will not be responsible for operating costs, home maintenance, homeowners or
renters insurance, or other residential costs except the Agency will pay the cost for authorized
telephone expenses (including toll calls) incurred for official Agency business.
11. The Agency will provide necessary office supplies that are regularly available at the Agency
(such as paper, pens, printer ribbons, diskettes, envelopes, tape, staples, etc.).
12. EPA may provide telephone credit cards or may reimburse an employee working under an
approved Flexiplace Agreement for business-related long-distance and toll calls on his/her
personal phone. EPA may install telephone lines and other necessary equipment and pay monthly
telephone charges in private residences under special circumstances. The Agency reserves the
right to determine the most cost-effective manner of covering telecommunications costs.
13. Employees are expected to plan for and accomplish necessary photocopying, mail, and
facsimile transmissions at the regular work site. In emergency situations, and with the prior
approval of the supervisor, costs associated with the copying of work-related materials, facsimile
charges, express mail, etc., may be reimbursed.
14. The employee is covered under the Federal Employee's Compensation Act (FECA) if injured
in the course of performing official duties at the official or alternate duty location, in accordance
with applicable Department of Labor regulations and standards governing FECA liability.
(NOTE: Any accident or injury occurring at the alternate duty station must be brought to the
immediate attention of the supervisor and the servicing Human Resources Office. Because an
employment-related accident sustained by an employee participating in the Flexiplace Program
could occur outside the premises of the official duty station, the supervisor must investigate all
reports immediately following notification.)
15. An employee in an Alternative Work Location other than a federally controlled site must
complete the "Employee Self-Certification Safety Checklist," which identifies significant safety
standards that should be met, and submit it to his/her supervisor prior to participating in the
Flexiplace Program.
16. The employee will communicate as needed with his/her supervisor to receive assignments and
have completed work reviewed in accordance with the supervisor's instructions.
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17. The employee will complete all assigned work in accordance with his/her supervisor's
instructions. Progress reviews under Article XVIII as revised by the parties will be used by the
supervisor in his/her assessment of the employee's job performance. The supervisor will evaluate
employee's job performance against performance standards established in the employee's
performance agreement.
18. To participate in the Flexiplace Program, an employee must have a performance appraisal
rating of Pass under the PERFORMS Program, or an equivalent rating.
19. The employee agrees to use approved safeguards to protect Agency records from unauthorized
disclosure or damage and to comply with the requirements set forth in the Privacy Act of 1974, as
amended, 5 U.S.C. 552a, and those concerning release of confidential business information (CBI)
as set forth in 40 C.F.R. Part U, Subpart B and EPA's TSCA Confidential Business Information
Security Manual.
20. An employee may terminate his/her Flexiplace arrangement at any time without prejudice and
return to his/her official duty station. Employee notice to the supervisor should be in writing and
acknowledged by the supervisor to prevent misunderstandings about the employee's work
location.
21. The Agency may remove an employee from the Flexiplace Program based on the employee's
failure to adhere to the requirements specified in the Flexiplace Program Agreement and/or any
performance or conduct issues or concerns which adversely affect or alter the terms of this
agreement. When a decision is made to remove an employee from the Flexiplace Program, the
employee must be given written notice indicating the reason(s) for removal. The employee may
reapply for Flexiplace Program participation 6 months after removal from the Program, provided
that his/her performance and conduct are fully satisfactory, and meets all other eligibility
requirements.
22. The employee agrees to perform his/her officially assigned duties at either the official duty
station, the alternative work location or while on official travel. Failure to comply with this
provision may result in administrative action, such as charge of leave, loss of pay, termination of
participation in the program, or disciplinary action, as warranted, based on the situation.
23. The employee agrees not to conduct unauthorized personal business while in official duty
status at the official or alternate work location (e.g., dependent care, home repairs, real estate
transactions). The employee agrees to arrange for dependent care and other personal
responsibilities so as to insure that the employee can work without interruption. Flexiplace is not
a substitute for dependent care.
24. This Agreement does not restrict the employee's right to change schedules in accordance with
existing agreements. If a permanent change of schedule is approved, the schedule in the
application package will be changed accordingly and initialed by both the employee and the
supervisor.
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25. The employee and the supervisor agree to attend the required training and orientation pnor to
participation in the Flexiplace Program.
26. An employee must be willing to report to the official work site without delay if unexpectedly
needed.
27. The employee agrees to release the telephone number of the approved alternative work
location to customers.
I have read and understood all the provisions of this work agreement and agree to abide by
them.
Employee's Signature Date
EPA concurs with the participation of this employee and agrees to adhere to the provisions of this
agreement.
Supervisor's Signature Date.
Approving Official's Signature Date_
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NTEU/EPA Flexiplace Program
Employee Self-Certification Time and Attendance Report
Employee Name:
Pay Period #
Pay Period Beginning Date:
Pay Period Ending Date:
Enter all hours worked over the two week pay period. Place a check mark in the "F" column for
days worked at the Alternate Work Location on Flexiplace.
WEEKl
Day
Sunday
Monday
Tuesday
Wednesday
Thursday
Friday
Saturday
F
Start Time
End Time
Total Work
Hours
A/L
Hours
SO.
Hours
COMP TIME
orOT
WEEK 2
Day
Sunday
Monday
Tuesday
Wednesday
Thursday
Friday
Saturday
F
.
Start Time
.
End Time
Total Work
Hours
A/L
Hours
S/L
Hours
COMP TIME
orOT
Totals: Work
/Annual
/Sick
_/Comp or OT_
Employee's Signature_
Date
Supervisor's Signature_
Date
Appendix (4)
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NOTICE OF REMOVAL
FROM FLEXIPLACE PROGRAM PARTICIPATION
DATE:
TO: (Name of Employee)
FROM: (Name of Supervisor)
SUBJECT: Removal of Employee Participation in EPA's Flexiplace Program
I am rescinding your participation in EPA's Flexiplace Program effective
Date
The specific reasons) for my decision is as follows:
You may reapply for participation in the Flexiplace Program no sooner than 6 months from the
date of this nonce, provided that your overall performance rating is a Pass under the
PERFORMS Program or an equivalent raring, and you meet all other eligibility requirements for
participation.
Signature of Supervisor
Received by
Signature of Employee/Date
(Signature does not imply agreement)
Appendix (5)
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Alternative Wprk Space]
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
JAN 281999
ADMINISTRATION
AND RESOURCES
MANAGEMENT
MEMORANDUM
SUBJECT: Uniform Criteria and Procedures for Requesting and Assigning Alternative
Work Space
FROM: Romulo L. Diaz, Jr. fi/X
Assistant Administrator
TO: All EPA Headquarters Employees
I am very pleased to announce that the newly completed Uniform Criteria and Procedures
for Requesting and Assigning Alternative Work Space will become effective February 1, 1999.
This program is the successful product of partnership at work in the interest of EPA and
our employees. It is the result of the combined energies, and efforts, talents and persistence of
both management and bargaining unit representatives working to support the leadership of the
Headquarters Partnership Council.
Employees currently in an alternative work space (AWS) arrangement must notify their
immediate supervisor of his/her status within 30 days of the effective date of the AWS agreement
(by close of business on March 2, 1999). In addition, the employee must submit a completed
AWS Form, including the statement of recommendations, no less than six months from the
effective date of the AWS agreement (by COB on August 2,1999). Finally, the agreement
requires the employee to recertify then* status two years from the date of approval.
Program materials and information will be available from the Alternative Work Space
Oversight Committee, Chaired by the Office of Human Resources and Organizational Services. A
training and informational support program will be announced in the immediate future as well* as a
dedicated telephone number for the Alternative Work Space Oversight Committee. This will
provide both managers and employees with the information and guidance they need to make this
program work efficiently and in the best interests of partnership.
Should you have questions at this time, please call your union representative or Tonya
Hamlett in the Office of Human Resources and Organizational Services at 260-0031.
Recycled/Recyclable Printed with Vegetable OB Based Inks on 100% Recycled Paper (40% Postconsumer)
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
DEC 7 1998
OFFICE OF
ADMINISTRATION
AND RESOURCES
MANAGEMENT
MEMORANDUM
SUBJECT: Partnep&jp Agfpemgafbn EPA Headquarter? Alternative Work-SpaceJBrogram
FROM: JQ#TC. ChambemnTDirector
ice of Administration
TO: Headquarters Employees
As Chairperson of the Headquarters Partnership Council, I am pleased to be able to
announce the completion of an EPA headquarters partnership agreement on Uniform Criteria and
Procedures for Requesting and Assigning Alternative Work Space. This partnership
accomplishment serves as an outstanding example of what can be achieved through persistent
team efforts. It is certainly a success for partnership, an improvement of customer service; and a
mutually acceptable resolution of a complex and difficult issue
On November 30, 1998, senior representatives of EPA management, American Federation
of Government Employees (AFGE) Local 3331 and National Treasury Employees Union (NTEU)
Chapter 280 signed the agreement signifying acceptance of the partnership document on
alternative work space by the Headquarters Partnership Council. Our NTEU Chapter 280
partners have informed us that they hope to complete their mandatory ratification vote by the end
of the calendar year. The official implementation date of this program is anticipated for early next
year and will be accompanied with detailed briefings and training
I am sure you share my appreciation for the efforts of the partnership work team that has
labored with this issue for more than two years. The team was made up of senior representatives
from AFGE Local 3331; NTEU Chapter 280, the Safety, Health and Environmental Management
Division; the Facilities Management and Services Division; the Office of General Counsel, the
Office of Human Resources and Organizational Services; and the Office of Enforcement and
Compliance Assurance. Together they have set a new standard for results through partnership
Recycled/Recyclable . Printed with Vegetable Oil Based Inks on 100% Recycled Paper (40% Postconsumer)
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I have attached an executive summary of the agreement to this memorandum. Copies of
the full agreement are available in both the NTEU and AFGE offices as well as the Safety, Health
and Environmental Management Division in room 1606 NE Mall. If you have any questions,
please call Dennis Bushta at 202-260-7183.
Attachment
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EXECUTIVE SUMMARY for
UNIFORM CRITERIA AND PROCEDURES FOR
REQUESTING AND ASSIGNING ALTERNATIVE WORK SPACE
A workgroup comprised of representatives from the Headquarters unions and
management has worked cooperatively over two years to develop a guidance document for
employees and supervisors regarding Alternative Work Space (AWS). "
SECTION I - PURPOSE
This Agreement establishes uniform criteria and procedures for HQ employees applying
for, receiving or continuing to work in AWS solely because of claims of adverse health effects
caused or aggravated by some physical condition associated with the work station. It also
provides guidance for supervisors reviewing and deciding on requests for AWS and requires a
Work Agreement (discussed twice a year at mid-year and end-of-year performance evaluations)
between the employee and management.
SECTION H - APPLICABILITY
This AWS program applies only to Headquarters employees in the D.C. area.
SECTION HI - DEFINITIONS
Terms used in the document, e.g., "alternative work space" and "physician," are defined.
SECTION IV - REQUESTS FOR IMMEDIATE RE-LOCATION
If an employee requests immediate relocation due to adverse health effects believed to be
associated with the officially assigned work site, the supervisor must first contact Facilities to
determine if painting, construction, re-carpeting or other activities are the cause. If there are no
apparent physical causes, then the supervisor should request Safety and Health to conduct an
evaluation of the employee's work station. Concurrent with these requests to Facilities and/or
Safety and Health, the supervisor should consider
1. relocating the employee to a different work station in the same or another building;
2. assigning the employee to a flexiplace;[this is to be limited to availability only as an option
while the employee is providing required information and the work space assessed].
3. working with FMSD to relocate the employee to the "clean space" in Crystal Station, or
4. approving administrative, sick or annual leave for the employee.
At any time, the employee may request to be assigned to AWS by completing the AWS Form
SECTION V - APPLYING FOR AWS
This section covers both new requests for AWS status and also requests to continue in
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AWS. To be eligible, an employee must be able to successfully perform the critical elements of
his or her assigned duties outside of the officially assigned work station, taking into account
whether there are duties not currently assigned to the employee that the employee can perform
from a location other than the officially assigned work station. AWS arrangements are considered
on an individual basis. The decision to approve or continue an employee's participation in AWS
is the responsibility of and at the discretion of the supervisor, in accordance with criteria and
procedures established in the Agreement.
Step 1: Applying for AWS
New Requests: Employee completes an AWS Space Form
Requests to Continue Current AWS Status: An employee in AWS must submit a completed AWS
Space Form, including a new statement of recommendations from his/her physician, within six
months from this Agreement's effective date. AWS status will be considered not in effect if the
deadline passes and updated information is not submitted. If the supervisor receives the
documents on time, then the employee will remain in the prior AWS arrangement until the
supervisor has made a decision based on the new information. Should the employee choose to
appeal the decision, he or she may remain in the current work station until the appeal or grievance
process is completed.
Renewing/Updating the AWS Fornr Employee must submit an updated AWS Form every two
years, or at the occurrence of one of the following events, whichever is sooner:
1. The treating physician or practitioner recommends revaluation of AWS;
2 Where the employee is located in an EPA facility, and there is a proposed change in the
physical location of the employee, or an alteration of the work station, that is relevant to
the Statement of Recommendations; or
3 The employee notifies the supervisor of a change in his or her medical condition or status
Step 2: Deciding the AWS request
Upon receiving a completed AWS Form, a supervisor must decide, in writing, within 30
calendar days whether to approve or not. The supervisor shall consider:
1 Whether the critical elements of the employee's performance plan can be performed at a
location other than the officially assigned work station The supervisor and employee may
need to work together to consider the possibility of restructuring the employee's duties
and/or assignments; and
2. The information contained in the Statement of Recommendations completed by the
treating physician or practitioner.
If the supervisor initially cannot make a determination based on the information received,
then the supervisor may:
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1. In writing, request written clarification from the employee;
2. With the employee's permission and/or involvement, request in writing clarification from
the treating physician or practitioner;.
3. Seek the advice of the AWS Program Oversight Committee (with employee); or
4. With employee's written authorization, consult with the EPA Health Unit physician to
assist in providing a written interpretation of the Statement of Recommendations.
This responsibility and authority to decide on the AWS request rests with the supervisor.
The responsibility to initiate the request and provide sufficient information and documentation as
described in this program rests with the employee.
Step 3; Assigning a Work Site for the AWS Employee
Available options include a different work station in the same building, a work station in
another EPA or GSA building, an AWS space provided by the Agency, or a location other than
an EPA building.
SECTION VI - AWS WORK AGREEMENT
The supervisor and employee must finalize a Work Agreement (at Appendix B) that
identifies the work assignments the employee is qualified and able to perform at a location other
than the officially assigned work station.
SECTION VH - AWS PROGRAM ADMINISTRATION
AWS program coordination and information are available to employees and supervisors
through the personnel servicing teams in OHROS. The teams can supply copies of all pertinent
forms and policies. In addition, the teams track the activities of the AWS Program Oversight
Committee and maintain copies of records of any decisions.
SECTION Vm - DISPUTE RESOLUTION PROCESS
The AWS Program Oversight Committee, a standing subcommittee of the Headquarters
Labor/Management Partnership Council, is responsible for clarifying the intent and application of
the Agreement. The Committee can help supervisors and employees expedite the application,
understanding and proper utilization of the program. Employees may elect to use the grievance
procedures set forth in the union bargaining agreements or in the EPA order, as appropriate.
SECTION IX - RESCISSION
This Agreement rescinds earlier guidance and agreements.
SECTION X EFFECTIVE DATE (effective upon signature)
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UNIFORM CRITERIA AND PROCEDURES FOR
REQUESTING AND ASSIGNING ALTERNATIVE WORK SPACE
SECTION I - PURPOSE
This Alternative Work Space Program Partnership Agreement establishes uniform criteria
and procedures for employees applying for, receiving or continuing an assignment to work in
Alternative Work Space (AWS) for health associated reasons. This Partnership Agreement also
establishes criteria and procedures for supervisors reviewing and deciding on AWS assignments
for employees and provides for establishing Work Agreements with those employees. AWS is a
stand-alone, internal, Headquarters policy that is defined by this Partnership Agreement. AWS
provides an employee an opportunity to be considered for work at a location other than-the
officially assigned work station solely because of claims of adverse health effects caused or
aggravated by some physical condition associated with the work station. Nothing in this program
reduces or expands an employee's rights under Worker's Compensation or claims for reasonable
accommodation brought pursuant to the Federal Rehabilitation Act of 1973, as amended, or any
other employee right or entitlement. In addition, AWS is distinct from medical flexiplace
(available to employees under the Agency's Flexiplace policy).
SECTION H - APPLICABILITY
The AWS program applies only to EPA employees employed at EPA's Headquarters
Offices located in the Washington, D.C. metropolitan area.
SECTION m - DEFINITIONS
(a) Alternative Work Space (AWS) is an assigned work location other than the officially assigned
work station. This work location is assigned to an employee solely because of claims of adverse
health effects caused or aggravated by some condition associated with the employee's officially
assigned work site.
(b) Alternative Work Space Program Oversight Committee is a standing subcommittee of the
Headquarters Labor/Management Partnership Council. The Committee has four members: one
representative from the Office of Human Resources and Organizational Services (OHROS, an
office within the Office of Administration and Resources Management, or OARM) one
representative from the Association of Federal Government Employees (AFGE) Local 3331; one
representative from the National Treasury Employees Union (NTEU) Chapter 280; and one
representative from an AA-ship who is serving on the Headquarters Labor/Management
Partnership Council.
(c) Alternative Work Space Program is the EPA Headquarters program that considers an
employee's request to work at a location other than the officially assigned work station solely
because of claims of adverse health effects caused or aggravated by some condition associated
with the officially assigned work site.
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(d) Alternative Work Space Program Coordination will be handled in OHROS. AA-ships will be
able to receive information regarding the AWS Program from their individual personnel servicing
teams within OHROS.
(e) EPA Health Unit Physician is a licensed doctor of medicine provided at the Headquarters
health unit through an Interagency Agreement with the U.S. Public Health Service/Division of
Federal Occupational Health. The health unit physician is available to all EPA employees as part
of EPA's wellness service, including medical consultation related to requests for Alternative Work
Space.
(f) Facilities and Management Services Division (FMSD) is a division within the Office of
Administration and Resources Management with responsibility for building-related services.
(g) Office of Human Resources and Organizational Services {OHROS) is an office within the
Office of Administration and Resources Management with responsibility for, among other things,
providing information and materials to employees regarding the AWS program and process.
(h) Physician means a licensed doctor of medicine or doctor of osteopathy.
(i) Practitioner means a person providing health services who is not a physician, but who is
certified by a national organization and licensed by a State to provide the service in question.
(j) Safety. Health and Environmental Management Division (SHEMD) is a division within the
Office of Administration and Resources Management with responsibility for providing
professional direction and guidance on occupational safety and health issues internal to EPA.
(k) Statement of recommendations refers to the treating physician or practitioner's statement of
recommendations and/or restrictions as set out in Pan 3 of the Alternative Work Space Form (at
Appendix A).
(1) Supervisor means the individual with official and designated supervisory status who provides
the employee's first level of supervision.
(m) Work site means the EPA or GSA facility at which the employee's work station is located.
(n) Work station means the employee's officially assigned desk, cubicle, or office.
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SECTION IV - REQUESTS FOR IMMEDIATE RE-LOCATION
This section applies when an employee reports experiencing adverse health effects that
he/she believes are associated with the officially assigned work site and requests immediate
relocation from the officially assigned work station. As soon as possible after being contacted by
the employee, the supervisor should contact FMSD to ascertain whether any short-term physical
changes within the building may be causing the problem, such as painting, construction, re-
carpeting or other activities. This information may be helpful to both the supervisor and the
employee in determining next steps. If no apparent physical changes within the building appear to
be occurring, then the supervisor should also contact SHEMD to request an evaluation of the
employee's work station.' SHEMD's evaluation may help determine whether any timely changes
can be made to assist the employee.
In the meantime, in response to a request for immediate relief, the supervisor should
consider doing one of the following:
1. relocate the employee to a different work station in the same or another EPA or
GS A building;
2. assign the employee to a flexiplace location in accordance with the Agency's
flexiplace policy;[thisis to be limited to availability only as an option while
the employee is providing required information and the work space assessed].
3. working with FMSD, relocate the employee to the "clean space" in Crystal
Station; or
4. approve administrative, sick or annual leave for the employee.
While SHEMD and FSMD look into the situation, the employee may request to be assigned to
AWS by completing the AWS Form.
SECTION V - APPLYING FOR AWS
This seqjtion applies both to new requests for AWS status and also to requests to continue
in AWS as approved or permitted prior to the date of this partnership agreement.
Eligibility
To be eligible for AWS, an employee must be able to successfully perform the critical
elements of his or her assigned duties outside of the officially assigned work station, taking into
account whether there are duties not currently assigned to the employee that the employee can
perform from a location other than the officially assigned work station.
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4
Basis for Decision
AWS arrangements are considered on an individual basis. The decision to approve or
continue an employee's participation in AWS is the responsibility of and at the discretion of the
supervisor, who must act in accordance with criteria and procedures set out in this Partnership
Agreement.
Step 1: Applying for AWS
Requests for New AWS Status
An employee who believes that he or she is experiencing adverse health effects caused by
the work site initiates the AWS process by submitting a completed Alternative Work Space Form
(at Appendix A).
Requests to Continue Current AWS Status
Any employee who currently believes that he or she is participating in an authorized AWS
arrangement is required to notify his or her immediate supervisor of his or her status within 30
days from the effective date of this agreement. The employee must submit a completed
Alternative Work Space Form, including the statement of recommendations, no less than six
months from the effective date of this agreement. Should the employee elect not to submit the
aforementioned materials within the stipulated timeframe, it will be automatically assumed that
AWS status is no longer in effect. Contingent upon the supervisor receiving the documents in a
timely manner, the employee will remain in the prior AWS arrangement until the supervisor has
finalized his or her decision. If the employee chooses to appeal the supervisor's decision as
provided in this Agreement, the supervisor may not require the employee to leave the current
work station until the appeal or grievance process is completed.
Renewing/Updating the AWS Form
The employee must submit an updated Alternative Work Space Form every two years, or
at the occurrence of one of the following events, whichever is sooner:
1. The employee's treating physician or practitioner recommends reevaluation of
AWS;
2. Where the employee is located in an EPA facility, and there is a proposed change
in the physical location of the employee, or an alteration of the work station, that is
relevant to the Statement of Recommendations; or
3. The employee notifies the supervisor of a change in his or her medical condition or
status.
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Step 2: Deciding the AWS request
Once the employee submits a completed Alternative Work Space Form, the supervisor
shall decide within 30 calendar days whether to approve AWS. This decision must be reflected in
writing on the AWS Space Form. The supervisor must upon receipt acknowledge in writing (by
signing or initialing the AWS Form) the employee's written application for AWS. The supervisor
shall then meet with the employee to discuss the application and to determine any immediate
needs.
In making this decision, the supervisor shall take into consideration the following criteria:
1. Whether the critical elements of the employee's performance plan can be
performed at a location other than the officially assigned work station. The
supervisor and employee may need to work together to consider the possibility of
restructuring the employee's duties and/or assignments; and
2. The information contained in the Statement of Recommendations completed by the
treating physician or practitioner.
If the supervisor initially cannot make a determination based on the information received,
then the supervisor may:
1. In writing, request written clarification from the employee;
2. With the employee's permission and/or involvement, request in writing clarification
from the treating physician or practitioner. This clarification must also be in
writing;
3. Seek the advice of the AWS Program Oversight Committee with employee
involvement; or
4. Subject to the employee's providing written authorization, consult with the EPA
Health Unit physician to assist in providing a written interpretation of the
Statement of Recommendations.
The responsibility and authority to decide on the AWS request rests with the supervisor,
not with the treating physician or practitioner, the EPA Health Unit physician or the AWS
Program Oversight Committee. The supervisor should consider the physician's statement of
recommendations in deciding on the AWS request.
The responsibility to initiate the request and provide sufficient information and
documentation as described in this program rests solely with the employee.
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6
Step 3: Assienin; a Work Site for the AWS Employee
When the employee is assigned to AWS, the supervisor must determine where the
employee will be assigned to work. Available options include a different work station in the same
building, a work station in another EPA or GSA building, an AWS space provided by the Agency,
or a location other than an EPA building.
Facilities and Management Services Division (FMSD) of the Office of Administration and
Resources Management can provide information on the availability of alternative work space
within the Headquarters buildings, can provide transition space, can alter existing space to address
specific needs, where feasible, or can provide specified facilities services that may be requested for
employees assigned to AWS. To the extent practicable, FMSD can also take steps to improve the
officially assigned work station in response to specific recommendations.
The Safety, Health and Environmental Management Division (SHEMD) of the Office of
Administration and Resources Management can perform a safety and health assessment of the
space (including industrial hygiene and ergonomic applications), provide information on the safety
and health of the officially assigned work station and provide consultative support to supervisors
and employees when requested.
SECTION VI - AWS WORK AGREEMENT
Both the employee and the supervisor are responsible for working together to develop
work products and for maintaining effective and open communication.
The supervisor and employee must finalize a Work Agreement (at Appendix B) to ensure
that both the employee and the supervisor understand the AWS arrangement. Work assignments
vary in the degree to which they are specific to a particular work station. Therefore, in
developing a Work Agreement, the employee and the supervisor must work together to identify
the work assignments the employee is qualified and able to perform at a location other than the
officially assigned work station.
In developing the Work Agreement, the supervisor and the employee must consider the
Statement of Recommendations, specifically the job restrictions or special considerations that are
recommended, in order to identify possible AWS arrangements.
The Work Agreement must also identify the equipment the Agency and/or the employee
will provide to enable the employee to perform his or her work assignments. In addition to the
Work Agreement, employees in AWS must complete the self-certification time and attendance
report at Appendix C.
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SECTION VH - AWS PROGRAM ADMINISTRATION
A\VS program coordination and information are available to employees and supervisors
through the personnel servicing teams in OHROS. The teams can supply copies of all pertinent
forms and policies. In addition, the teams track the activities of the AWS Program Oversight
Committee and maintain copies of records of any decisions
Each supervisor of an employee assigned to AWS must provide to the relevant personnel
servicing team a copy of the employee's completed AWS Form and any additional or supporting
information (excluding medical information protected by the Privacy Act) developed as part of the
application and decision processes. The supervisor will update this information as necessary
All records, excluding Privacy Act protected medical information, pertaining to
employees in AWS shall be centrally maintained in OHROS.
SECTION Vm - DISPUTE RESOLUTION PROCESS
The AWS Program Oversight Committee, a standing subcommittee of the Headquarters
Labor/Management Partnership Council, is responsible for clarifying the intent and application of
the AWS Partnership agreement. The AWS Program Oversight Committee is available to
supervisors and employees to help expedite the application, understanding and proper'utilization
of-the program. For example, the committee may recommend an opportunity for an employee
and supervisor to meet in person to discuss an AWS request. In this way the committee may be
able to function as a third party facilitator and or as a mediator in attempting to work out an
acceptable resolution.
Employees' Rights
Employees within the representational scope of either AFGE Local 3331 or NTEU
Chapter 280 may elect to use the agreed-upon grievance procedure as set forth in the pertinent
agreement.
Employees who do not fall within the scope of either bargaining unit's representation may
elect to utilize the Agency's Grievance System, EPA Order 3110.8A, which sets forth the
grievance procedure available for such employees. This action can be initiated by contacting
OHROS
SECTION K - RESCISSION
This Alternative Work Space Program Partnership Agreement rescinds the July 10. 1939
"Guidance Regarding Employee Requests for Alternate Work Space or Work Assignments' and
supersedes Article XV' of the NFFE Local 2050 Collective Bargaining Agreement, recognized ird
adopted by NTEU Chapter 280
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03:37 «M C-I_OUE
301 see sees
p.ei
tfA UK S1AH
Headquarurs Labor-Management Partnership Council
Alternative Workspace Policy
We, the undersigned, do hereby agree to the policy es outlined ubovt. This agreement is
nude on the 30 day QtA/*/u+£*c . 1998.
, C. Chamberlin, Chair
| Labor Management Partnership Council
for EPA Management
President T
American Federation of Government
Employees, Local 3331
for AFGE Headquarters Bargaining Unit
Ja£ierl Murphy. President
National Treasury Employees Union,
Local 280
for NTEU Headquarters Bargaining Unit
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Appendix A
ALTERNATIVE WORK SPACE FORM
The Alternative Work Space Program is available to any Headquarters employee who
requests to work at a location other than the officially assigned work station solely because of
claims of adverse health effects caused or aggravated by some condition associated with the
officially assigned work site.
The employee must initiate the request to participate in the Alternative Work Space
Program by submitting this completed Form to his/her immediate supervisor. The employee
completes Parts 1 and 2. The employee's treating physician or practitioner completes Pan 3.
PART 1 - Request for participation in the Alternative Work Space Program
(To be completed by the employee)
I have been experiencing health problems that I believe may be associated with my
officially assigned work site and therefore request to participate in the Alternative Work
Space Program.
By signing this form, I acknowledge that this information may be released to my
supervisor and the Agency.
Name
Signature
Phone
Date
Supervisor's Name_
Organizational Unit
Supervisor's Phone
D
D
13
D
D
D
FART 2 - Description of Health Symptoms
(To be completed by the employee)
Cough
Eyes watering
Sinus irritation
Drowsiness
Asthma
Heart palpitations
Sneezing
Other
D Difficulty Breathing
a Dermatitis
D Itching .
D Fatigue
D Dizzy/Lightheadedness
D Clammy, feint feeling
O Gastrointestinal difficulties
n
D
n
n
n
n
Eye Irritation
Headache
Nausea
Bronchitis
Rapid pulse
Hives
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10
PART 3 - Treating Physician or Practitioner's Statement of Recommendations
(To be completed by treating physician or practitioner)
The above-named employee of the United States Environmental Protection Agency has
requested to participate in the EPA Headquarters Alternative Work Space Program. The
employee reports experiencing adverse health effects caused or aggravated by some condition
associated with the officially assigned work site. The employee has filled out the above list of
symptoms to assist you in your evaluation.
1. Please provide your recommendations) concerning this individual's short-term and/or
long-term needs for his/her work environment. Provide, for example, specific information
as to contacts or activities that should be reduced or avoided in the work site. If possible,
recommend support services or equipment that may be necessary for the employee's work
environment.
2. Please provide the date when you recommend that this individual's short-term and/or long-
term needs for his/her work environment be re-evaluated:
Treating Physician or Practitioner's Name_
Signature *
License Number Certificate Number.
Certifying Organization.
Address ___^_ Business Phone
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11
PART 4 - Acknowledgment
(To be completed by supervisor)
I have received this completed Form requesting Alternative Work Space for the employee named
above.
Supervisor's Signature Date
Part 5 - Supervisor's Decision
(To be completed by supervisor)
Approved Date
Disapproved Date
Reason for disapproval:
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12
Appendix B
ALTERNATIVE WORK SPACE PROGRAM
EMPLOYEE/SUPERVISOR WORK AGREEMENT
The following constitutes a voluntary agreement on the terms and conditions of participation in
the alternative work space (AWS) program between the and
. Nothing in this program reduces or expands an employee's rights under
Worker's Compensation or claims for reasonable accommodation brought pursuant to the Federal
Rehabilitation Act of 1973, as amended, or any other employee right or entitlement. The program
office involved will continue to be responsible for any and all costs associated with this work
agreement
1. Duty Station. All pay, special salary rates, leave and travel entitlements will be based
on the employee's official duty station.
Official duty station is:
Alternative Work Space site (the location in which the employee is assigned to work)
Address:
Telephone Number:
2. The employee's timekeeper will have a copy of the employee's AWS schedule. The
employee's time and attendance will be recorded in accordance with established time and
attendance requirements. Each employee in AWS must complete the "Employee Self-
Certification Time and Attendance Report" and submit it to his/her supervisor before time
cards are due each pay period. The employee's supervisor will certify, for each pay
period, time and attendance for hours worked.
3. The employee must obtain supervisory approval before taking leave in accordance with
established Agency procedures. By signing this agreement, the employee agrees to follow
established procedures for requesting and obtaining approval of leave.
4. The supervisor reserves the right to alter the employee's established work schedule to
accommodate peak workload office demands or for any other official purpose with
advance notification.
5. The AWS work site shall be equipped with the following:
An employee who is authorized to use Agency equipment will protect the Agency
equipment. Agency-owned equipment will be serviced and maintained by the Agency. An
employee who provides his/her own equipment is responsible for installing, servicing, and
maintaining it.
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13
7. Provided the employee is given at least 24 hours advance written notice, the employee
agrees to permit periodic home inspections by the Agency of the AWS work site during
the employee's normal work hours to ensure proper maintenance of Agency-owned
equipment and work site conformance with health and safety standards.
8. The employee is covered under the Federal Employee's Compensation Act if injured in the
course of performing official duties at the official duty station or AWS work site.
Any accident or injury occurring at the AWS work site must be brought to the immediate
attention of the supervisor. Because an employment-related accident sustained by an
employee participating in the AWS program could occur off the premises of the official
duty station, the supervisor must investigate all reports immediately following notification.
The employee must complete the "Safety Checklist and Employee Certification"(at
Appendix D) which identifies significant safety standards that must be met and submit it to
his/her supervisor prior to participating in the AWS program.
9. The Agency is not responsible for damages or loss to an employee's personal or real
property during performance of official duties or while using Agency equipment in the
employee's AWS work site, except to the extent the Agency is liable under the Federal
Tort Claims Act, the Military Personnel and Civilian Employees Claims Act, or local law
as appropriate.
10. The Agency is not responsible for operating costs, home maintenance or any other
incidental costs (e.g.. utilities) whatsoever associated with the use of the employee's
residence. The Agency may provide all necessary office supplies and reimburse the
employee for all authorized expenses incurred while conducting Agency business if
approved in advance by the supervisor.
11. The supervisor will evaluate the employee's job performance against performance
standards and measures established in the employee's performance agreement. The
agreement will be amended to reflect the employee's AWS participation if appropriate.
12. The employee is authorized to use and retain official Agency records or duplicate records
at the AWS work site. The employee agrees to use approved safeguards to protect
Agency records from loss, damage, destruction, and unauthorized disclosure. If the
employee is authorized to have access at the AWS work site to bid or proposal
information, source selection information,' confidential business information, information
protected under the Privacy Act, or other information subject to special security
procedures, the employee shall safeguard such information from unauthorized disclosure
in accordance with all security procedures applicable to the information. The employee is
responsible for knowing what security procedures and specific authorizations apply to the
information. Classified national security information may not be brought to or retrieved ai
the AWS work site.
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13. The employee agrees to perform his/her officially assigned duties at either the official duty
station or at the AWS work site. Failure to comply with this provision may result in
charge of leave, loss of pay, termination of participation in the program, and/or
disciplinary action, as warranted, based on the situation.
14. The employee agrees not to conduct unauthorized personal business while in official duty
status. The employee agrees to arrange for any dependent care and personal
responsibilities in a manner that allows the employee to successfully meet job
responsibilities. AWS is not a substitute for dependent care.
15. This Agreement does not restrict the employee's right to change schedules in accordance
with existing policies. If a permanent change of schedule is approved, the time and
attendance schedule will be changed accordingly and initialed by both the employee and
supervisor.
16. The employee agrees to provide his/her home phone number to Agency clients if the
employee's home is the employee's AWS^york_site. In addition, the employee authorizes
the Agency to release the employee'sTio'me'phone number to Agency clients if the
employee's home is the.employee's AWS work site.
17. The employee and the supervisor agree to discuss the employee's performance in the
AWS program during the mid-year and annual performance appraisals.
18. Other:
I have read this agreement and the Agency policy on Alternative Work Space and agree to
adhere to their terms.
Employee's Signature Date
[Name of office or division] concurs with the participation of this
employee in the AWS program beginning , and agrees to adhere to
the terms of this agreement and the Agency policy in Alternative Work Space.
Supervisor's Signature Date
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Appendix E
ALTERNATIVE WORK SPACE
PROGRAM OVERSIGHT COMMITTEE
DRAFT CHARTER
1. PURPOSE. The Alternative Work Space (AWS) Program Oversight Committee, a
standing subcommittee of the Headquarters Labor/Management Partnership Council, will be
available to interpret, clarify, facilitate, mediate and assist with actions and activities related to the
implementation, processing and actions associated with this program. The committee is also
responsible for routine evaluation of the program's effectiveness and recommending modifications
or actions as the Committee may deem appropriate for the effectiveness and efficiency of the
Partnership Agreement.
2. MEMBERSHIP
a. The AWS Program Oversight Committee is composed of four members:
The Committee Chair, who is the representative from OHROS;
One representative from AFGE Local 3331;
One representative from NTEU Chapter 280;
One representative from an AA-ship who is serving on the Headquarters
Labor/Management Partnership Council.
b. At the Committee's option, representatives from FMSD, SHEMD, or their union
counterparts may be consulted.
c. Representatives serve for a period of one year, their membership can be
renewed.
d. To ensure effectiveness and continuity of the Committee, members are expected to
attend and participate in each meeting. However, in exceptional cases, a member
may designate an alternate to participate in a meeting in the event that he or she is
unable to attend. It will be the responsibility of the member to ensure that the
alternate is briefed on the topics that may arise in the meeting. The alternates will
participate in Committee meetings as full members.
3. PROCEDURES
a. The AWS Program Oversight Committee will be chaired by the
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representative from OHROS; it may be chaired by a designee in the
OHROS representative's absence.
b. The Committee Chair will appoint a permanent Secretary for the AWS Program
Oversight Committee. The Secretary will be responsible for notifying members of
meetings; ensuring a quorum is able to participate; developing an agenda to be
distributed prior to the meeting; preparing a record of the meeting; distributing the
record of the meeting to members and OHROS personnel servicing teams; and
otherwise facilitating the efficient conduct of the meetings. The Secretary is not a
voting member of the Committee.
c. The AWS Program Oversight Committee will meet at least monthly or more
frequently at the discretion of the Chair. A meeting will be postponed if a quorum
of three members is not available or if there are insufficient items on the proposed
agenda.
d. The Committee will provide an opportunity for the employee and the
supervisor to appear in person to discuss the issues. The employee may
choose to be accompanied by a union representative other than the union
committee member, or another representative. Similarly, the supervisor
may choose to be accompanied by a representative from OHROS or
another office.
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