![](media/image1.png){width="1.20625in" height="1.20625in"}**Procurement
Management Procedure**

***OETI-PMP-10***

**Environmental Protection Agency**

**Office of Enterprise Technology and Innovation (OETI)**

December 5, 2006 -- Version 1.0

Document Change History

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Contents

[**1.** **Introduction 1**](#introduction)

[1.1 Purpose 1](#purpose)

[1.2 Background 1](#background)

[2. Approach 2](#approach)

[2.1 Assumptions 2](#assumptions)

[2.2 Scalability 2](#scalability)

[2.3 Best Practices 3](#best-practices)

[3. Roles and Responsibilities 4](#roles-and-responsibilities)

[4. Procedure 8](#procedure)

[4.1 Process Flow Diagram 8](#process-flow-diagram)

[4.2 Steps 9](#steps)

[4.2.1 Assign Contracting Officer and Contracting Officer's
Representative
9](#assign-contracting-officer-and-contracting-officers-representative)

[4.2.2 Develop Acquisition Strategy/Plan
9](#develop-acquisition-strategyplan)

[4.2.3 Prepare Procurement Initiation Notice ( PIN) Package/Solicitation
Document
10](#prepare-procurement-initiation-notice-pin-packagesolicitation-document)

[4.2.4 Support Solicitation Process 11](#support-solicitation-process)

[4.2.5 Support Evaluation, Selection, and Contract Award
11](#support-evaluation-selection-and-contract-award)

[4.2.6 Review Contract Management Procedures with Contracting Officer
11](#review-contract-management-procedures-with-contracting-officer)

[4.2.7 Establish & Maintain COR File 12](#establish-maintain-cor-file)

[4.2.8 WA/DO/TO Contract? 13](#wadoto-contract)

[4.2.9 Prepare WA, DO, TO Procurement Request Package or Contract
Modification
13](#prepare-wa-do-to-procurement-request-package-or-contract-modification)

[4.2.10 Competition Required? 14](#competition-required)

[4.2.11 Review/Accept Proposal & Issuance of WA/DO/TO; Review/Accept
Work Plan
14](#reviewaccept-proposal-issuance-of-wadoto-reviewaccept-work-plan)

[4.2.12 Perform Technical Monitoring 15](#perform-technical-monitoring)

[4.2.13 Perform Financial Monitoring 16](#perform-financial-monitoring)

[4.2.14 New WAs, DOs, TOs or Changes Required?
16](#new-was-dos-tos-or-changes-required)

[4.2.15 Changes are Minor or Major? 16](#changes-are-minor-or-major)

[4.2.16 Conduct WA/DO/TO or Contract Close Out
17](#conduct-wadoto-or-contract-close-out)

[5. Considerations 18](#considerations)

[Appendix A Acronyms A-1](#acronyms)

[Appendix B Checklist for Procurement Management
B-1](#checklist-for-procurement-management)

[Appendix C Additional Resources C-1](#additional-resources)

[Appendix D Interface Requirements D-1](#interface-requirements)

# Introduction

This document defines the process by which staff within the
Environmental Protection Agency's (EPA's) Office of Enterprise
Technology and Innovation (OETI) performs procurement management for
projects.

## Purpose

This document defines the methodology, process flow, and relevant
standards by which OETI project staff performs procurement management
activities and identifies participants and their responsibilities.

## Background

For the purpose of this procedure, procurement management is defined as
"the processes to purchase or acquire the products, services, or results
needed from outside the project team to perform the work. Procurement
management also includes administering any contract issued by an outside
organization (buyer) that is acquiring the project from the performing
organization (the seller), and administering contractual obligations
placed on the project team by the contract."[^1] Procurement management
begins with determination that a project requirement needs to be
obtained through an acquisition and encompasses all the activities
associated with the award, management, and closeout of the resulting
contract. Pre-award activities encompass those actions conducted prior
to award of a contract, including development and release of the
solicitation, evaluation and source selection, and negotiation and award
of a contract. Post-award activities include the actions associated with
management of the contract to include technical and financial
monitoring, development and issuance of work assignments, delivery
orders or task orders, execution of contract modifications, and contract
closeout. All acquisition activities must comply with the Federal
Acquisition Regulation (FAR) and Environmental Protection Agency (EPA)
Acquisition Regulation (EPAAR).

# Approach

This section explains the approach used to develop the procurement
management procedure. It details the assumptions, the degree of
scalability of the procedures, and the industry standards, best
practices, and EPA current practices consulted in creating this
procedure.

## Assumptions

The following assumptions guide this procurement management procedure:

-   These procedures are intended for OETI project staff and do not
    encompass the procurement activities that are completed by EPA's
    Office of Acquisition Management (OAM).

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-   Specific processes for procurement management may vary based on the
    complexity of the procurement and resulting contract, procurement
    type, dollar value, contract type (fixed price versus time and
    materials), the number of contracts and Contractors and contract
    duration among other variables.

## Scalability

This procurement management procedure applies if a product or service
will be procured from a vendor to meet project objectives. The FAR,
EPAAR, and other internal acquisition policies mandate specific
procurement actions.

The users of this procedure may tailor or scale some of its component
activities based on the details associated with a specific procurement
and/or contract. The procedure, however, remains the same. The
activities required as well as the degree of engagement by the program
office are dependent on a number of factors. These factors include:

-   Type of procurement (use of existing vehicle versus new award).

-   The level of competition required (sole source versus competitive
    award, full and open versus small business set-aside, etc.).

-   Complexity of requirement being acquired (acquiring commercial
    off-the shelf \[COTS\] items versus new development).

-   Dollar threshold of procurement/contract (higher values increase
    documentation and approvals required).

-   Type of contract (multiple award versus single award, indefinite
    delivery/indefinite quantity \[ID/IQ\] contract requiring issuance
    of work assignments or delivery/task orders, award fee contracts
    requiring periodic award fee determinations, etc.).

-   Degree of oversight required after award (number of work assignments
    (WAs), delivery orders (DOs), or task orders (TOs) to be issued,
    complexity of performance metrics/deliverables to be monitored,
    degree of risk associated with meeting schedule, performance and/or
    cost objectives, etc.).

-   The Contracting Officer (CO) assigned to the procurement and/or
    contract.

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-   The responsibilities the CO delegates to the Contracting Officer's
    Representative (COR).

Ultimately, the assigned CO has the authority to decide which activities
will be performed by the program office and the documentation required
for the specific engagement. Consequently, the users of the procedure
should discuss the tailoring of the activities and documentation
required for both pre-award and post-award actions with the assigned CO.

## Best Practices

The OETI project management vision includes the employment of best
practices from both industry and the EPA. This procedure incorporates
the following best practices and existing regulations and policies:

-   **EPA regulations and standards**

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-   U.S. Environmental Protection Agency (EPA) Environmental Protection
    Agency Acquisition Regulation (EPAAR). 2002. Available:
    [http://www.epa.gov/oamrfp12/ptod/epaar.pdf](http://www.epa.gov/oamrfp12/ptod/epaar.pdf.)

-   EPA Contracts Management Manual, October 19, 2006. Available:
    [http://epawww.epa.gov/oamintra.](http://epawww.epa.gov/oamintra.  )
    The Implementation of the Continuing Learning Policy for the USEPA
    Acquisition Workforce Members update to be incorporated into the
    manual at a later date.

-   EPA Contracting Officer's Representative (COR) Training Text - U.S.
    Environmental Protection Agency. Office of Acquisition Management.
    2005 Edition. Available:
    <http://epawww.epa.gov/oamintra/policy/cmm.pdf>

-   EPA Order 19001A, Use of Contractor Services to Avoid Improper
    Contracting Relationships. Available:
    <http://epawww.epa.gov/oamintra>

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-   **Federal regulations, industry standards, and best practices**

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-   Federal Acquisition Regulation (FAR) -- General Services
    Administration, Department of Defense, National Aeronautics and
    Space Administration. 2006. Available: <http://www.arnet.gov/far/>

-   Project Management Institute Project Management Body of Knowledge
    (PMBOK®), Third Edition, 2004.

-   Seven Steps to Performance-Based Services Acquisition, an
    Interagency-Industry Partnership in Performance, 2006. Available:
    <http://www.acqnet.gov/comp/seven_steps/introduction.html>

-   Contracting Officer Representative: Managing the Government
    Technical Experts to Achieve Positive Contract Outcomes. A report to
    the President and Congress of the United States by the US Merit
    Systems Protection Board. 2006. Available:
    <https://acc.dau.mil/getattachment.aspx?id=22128&pname=file&aid=2113>

-   A Guide to Best Practices for Performance-based Service
    Contracting - Office of Federal Procurement Policy, Office of
    Management and Budget, Executive Office of the President. 1998.
    Available:
    <http://www.whitehouse.gov/omb/procurement/pbsa/guide_pbsc.html>.

# Roles and Responsibilities

This section presents the roles and responsibilities for the key staff
from both OAM and OETI involved in procurement management activities.
Although this procedure is intended for OETI project management staff,
OAM staff roles have been included to help distinguish the roles and
responsibilities between OETI project staff and the contracting office.

The key staff include the:

-   CO and Contract Specialist assigned from OAM. The CO has ultimate
    responsibility for the procurement and resulting contract.

-   OETI Project Manager who has ultimate responsibility for the project
    the procurement is supporting and allocating the necessary funding.

-   OETI COR delegated by the CO to provide technical oversight on the
    procurement and/or contract.

-   OETI Project Team Lead(s) that may be requested to provide subject
    matter expertise to the Project Manager and COR in vendor
    evaluations or Contractor oversight activities.

After contract award, the CO frequently delegates contract
administration duties to CORs within the project office. Depending on
its complexity, the contract may warrant a multi-tiered structure for
CORs with the CO assigning a Contract-Level COR and supporting CORs. The
different types of CORs include:

-   ***Contract-Level COR*** -- A COR appointed to act as the CO's
    primary representative on a contract. The Contract-level COR
    monitors the overall contract and, when applicable, is responsible
    for overseeing the work assignment, delivery order, or task order
    CORs. In some cases the contract-level COR may be responsible for
    both pre-award and post-award contract functions.

-   ***Delivery Order (DO) COR*** - A COR appointed to an
    indefinite-delivery type contract or other acquisition instrument by
    which contractor supplies are ordered through separately funded
    "delivery orders" awarded by the CO. This designation includes CORs
    functioning on orders for supplies under General Services
    Administration (GSA) Multiple Award Schedule (MAS) contracts,
    Government-wide Acquisition Contracts (GWACs), and Multiple Award
    Contracts (MACs).

-   ***Task Order (TO) COR*** - A COR appointed to an
    indefinite-delivery type contract or other acquisition instrument by
    which contractor tasks or services are ordered through separately
    funded "task orders" awarded by the CO. This designation includes
    CORs functioning on orders for services under GSA MAS contracts,
    GWACs, and MACs.

-   ***Work Assignment (WA) COR*** - A COR appointed to a
    cost-reimbursement type contract by which contractor services are
    ordered through "work assignments" issued by the CO. In contrast to
    a task order, a work assignment is not a separately funded document.

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-   ***Simplified Acquisition COR*** - A COR appointed to simplified
    acquisitions for either supplies or services. Typically, simplified
    acquisitions do not require a COR. However, for complex
    requirements, the CO may determine that it is in the government's
    interest to appoint a COR.

Section 4.2.1 provides more information on the assignments of CORs and
explains when a multi-tiered approach is appropriate.

Table 3-1 presents the roles and responsibilities for OETI project staff
involved in procurement management activities. This table lists
functions or tasks that each project role performs. While each role will
be assigned to an individual staff member, an individual may perform
multiple roles for a project.

Table 3‑1. Procurement Management Roles and Responsibilities

+----------------+-----------------------------------------------------+
| Role           | Responsibilities                                    |
| Definition     |                                                     |
+================+=====================================================+
| **OAM**        |                                                     |
+----------------+-----------------------------------------------------+
| **Contracting  | -   Provides guidance on procurement methods and    |
| Officer (CO)** |     different contracting vehicles                  |
|                |                                                     |
|                | -   Issues COR delegations                          |
|                |                                                     |
|                | -   Approves Acquisition Strategy and Acquisition   |
|                |     Plan document                                   |
|                |                                                     |
|                | -   Reviews and approves Procurement Initiation     |
|                |     Notice (PIN) or procurement packages (OAM uses  |
|                |     the term "work package" in its COR Training     |
|                |     Text), including modification requests,         |
|                |     submitted by Contract-Level COR                 |
|                |                                                     |
|                | -   Publicizes new contracting actions              |
|                |                                                     |
|                | -   Releases solicitations for new awards or        |
|                |     WAs/DOs/TOs                                     |
|                |                                                     |
|                | -   Oversees evaluation and source selection and    |
|                |     debriefing of offerors                          |
|                |                                                     |
|                | -   Conducts negotiations                           |
|                |                                                     |
|                | -   Awards contracts and issues WAs/DOs/TOs to      |
|                |     contractor and obligates funds                  |
|                |                                                     |
|                | -   Issues all contract modifications               |
|                |                                                     |
|                | -   Establishes and maintains contract files        |
|                |                                                     |
|                | -   Formally approves proposals/work plans and      |
|                |     notifies contractor of approval                 |
|                |                                                     |
|                | -   Discusses problems and/or need for corrective   |
|                |     action with Contract-Level COR and Contractor   |
|                |     as necessary                                    |
|                |                                                     |
|                | -   Reviews financial progress reports for overall  |
|                |     contract                                        |
|                |                                                     |
|                | -   Reviews all exceptions to invoices; determines  |
|                |     final payment after reviewing all data          |
|                |                                                     |
|                | -   Transfers carryover funds to contract for next  |
|                |     fiscal year                                     |
|                |                                                     |
|                | -   Determines award fee pool (if applicable to     |
|                |     contract type) and notifies contractor of award |
|                |     fee amount through contract modification        |
+----------------+-----------------------------------------------------+
| **Contracts    | -   Supports CO in execution of CO responsibilities |
| Specialist**   |                                                     |
|                | -   Supports review of procurement packages and     |
|                |     processing of contract actions                  |
+----------------+-----------------------------------------------------+
| **OETI**       |                                                     |
+----------------+-----------------------------------------------------+
| **Project      | -   Facilitates approval of Acquisition Strategy    |
| Manager**      |     and Acquisition Plan document for new           |
|                |     requirements                                    |
|                |                                                     |
|                | -   Reviews and facilitates approval of PIN         |
|                |     packages for new contract awards                |
|                |                                                     |
|                | -   Provides technical personnel to support         |
|                |     evaluation of proposals                         |
|                |                                                     |
|                | -   Nominates personnel for CORs and evaluation     |
|                |     panels                                          |
|                |                                                     |
|                | -   Reviews and approves scope of DOs, TOs, and WAs |
|                |                                                     |
|                | -   Allocates funding for contract actions          |
|                |                                                     |
|                | -   Participates in review of project deliverables  |
|                |                                                     |
|                | -   Works with CO/COR to facilitate resolution of   |
|                |     contract disputes                               |
|                |                                                     |
|                | -   Provides input on contractor performance        |
+----------------+-----------------------------------------------------+
| **             | -   Acts as the primary authorized representative   |
| Contract-Level |     of a CO on overall contract[^3].                |
| COR\           |                                                     |
| (also referred | -   Develops Acquisition Strategy and Acquisition   |
| to as Project  |     Plan document for new requirements              |
| Offi           |                                                     |
| cer**[^2]**)** | -   Develops PIN packages for new procurements      |
|                |                                                     |
|                | -   Participates in evaluation panels as assigned   |
|                |                                                     |
|                | -   Monitors overall contract and tracks orders     |
|                |     placed under the contract                       |
|                |                                                     |
|                | -   Oversees activities of the WA/DO/TO CORs (when  |
|                |     applicable)                                     |
|                |                                                     |
|                | -   Prepares COR designation form                   |
|                |                                                     |
|                | -   Reviews WA/DO/TO procurement packages developed |
|                |     by WA/DO/TO CORs and submits to CO (includes    |
|                |     reviewing/editing of Statements of Work         |
|                |     \[SOWs\]/Statements of Objectives \[SOOs\] and  |
|                |     cost estimates)                                 |
|                |                                                     |
|                | -   Has responsibility for overall COR contract     |
|                |     file management; coordinates responsibilities   |
|                |     for recordkeeping among WA/DO/TO CORs           |
|                |                                                     |
|                | -   Reviews proposals/work plans and                |
|                |     recommendations by WA/DO/TO COR and recommends  |
|                |     approval/disapproval to CO                      |
|                |                                                     |
|                | -   Participates, as requested, in negotiations     |
|                |     with CO and contractor                          |
|                |                                                     |
|                | -   Reviews progress reports                        |
|                |                                                     |
|                | -   Reviews deliverables and WA/DO/TO COR           |
|                |     recommendations (when applicable); approves or  |
|                |     rejects deliverables                            |
|                |                                                     |
|                | -   Provides technical direction                    |
|                |                                                     |
|                | -   Discusses problems with WA/DO/TO COR and        |
|                |     contractor; alerts CO                           |
|                |                                                     |
|                | -   Reviews financial progress reports for WA/DO/TO |
|                |     and overall contract                            |
|                |                                                     |
|                | -   Approves or takes exception to invoices         |
|                |                                                     |
|                | -   Attempts to resolve questioned items with       |
|                |     contractor                                      |
|                |                                                     |
|                | -   Identifies and discusses need for corrective    |
|                |     actions with WA/DO/TO COR and contractor        |
|                |                                                     |
|                | -   Submits requests for carryover funds to CO      |
|                |                                                     |
|                | -   Evaluates need for amendment/modifications      |
|                |     including requests from WA/DO/TO COR(s);        |
|                |     submits request to CO                           |
|                |                                                     |
|                | -   Determines need for modification to overall     |
|                |     contract (addition of funds, change in key      |
|                |     personnel); submits request to CO               |
|                |                                                     |
|                | -   Compiles Performance Event Reports, as          |
|                |     necessary                                       |
+----------------+-----------------------------------------------------+
| **WA/DO/TO     | -   Acts as the authorized representative of a      |
| COR**          |     contracting officer[^4] on a specific WA, DO    |
|                |     and/or TO                                       |
|                |                                                     |
|                | -   Plans work and develops procurement packages    |
|                |     (to include SOWs/SOOs and cost estimates) and   |
|                |     submits to Contract-Level COR for review        |
|                |                                                     |
|                | -   Establishes and maintains COR contract file     |
|                |                                                     |
|                | -   Reviews contractors' proposals/work plans,      |
|                |     solicits and consolidates other reviewers'      |
|                |     feedback (as needed), and recommends            |
|                |     approval/disapproval to Contract-Level COR      |
|                |                                                     |
|                | -   Participates, as requested, in negotiations     |
|                |     with CO and contractor                          |
|                |                                                     |
|                | -   Reviews progress reports and deliverables,      |
|                |     solicits and consolidates other reviewers'      |
|                |     feedback (as needed), and recommends            |
|                |     approval/disapproval to Contract-Level COR      |
|                |                                                     |
|                | -   Provides technical direction and conducts       |
|                |     progress meetings with contractor               |
|                |                                                     |
|                | -   Identifies and discusses problems with          |
|                |     contractor; alerts Contract-Level COR and CO    |
|                |                                                     |
|                | -   Reviews invoices; identifies questionable       |
|                |     items. Attempts to resolve questioned items     |
|                |     with contractor. Submits findings to            |
|                |     Contract-Level COR and CO                       |
|                |                                                     |
|                | -   Forecasts carryover funds                       |
|                |                                                     |
|                | -   Determines need for amendment to                |
|                |     WA/modification to TO/DO for any                |
|                |     increase/decrease of hours, tasks,              |
|                |     deliverables, or change to schedule and submits |
|                |     request to Contract-Level COR                   |
|                |                                                     |
|                | -   Completes Performance Event Report evaluating   |
|                |     contractor performance for individual TO/WA     |
|                |                                                     |
|                | -   Ensures that equipment is being used in         |
|                |     accordance with terms of WA/DO/TO and ensures   |
|                |     return of government furnished property (GFP)   |
|                |     at the end of the contract                      |
|                |                                                     |
|                | -   Determines need to closeout WA/TO/DO, i.e.; all |
|                |     tasks and deliverables completed); alerts       |
|                |     Contract-Level COR and CO                       |
+----------------+-----------------------------------------------------+
| **Project Team | -   Provides subject matter expertise as requested  |
| Lead(s)**      |                                                     |
|                | -   Participates in review of project deliverables  |
|                |                                                     |
|                | -   Participates in technical evaluation panels as  |
|                |     assigned                                        |
|                |                                                     |
|                | -   Works with CO/COR to facilitate resolution of   |
|                |     contract disputes                               |
|                |                                                     |
|                | -   Provides input on contractor performance        |
+----------------+-----------------------------------------------------+

# Procedure

This section presents the process flow for procurement management for
OETI projects and describes each step of the process in detail.

## Process Flow Diagram

Figure 4-1 identifies the process for procurement management. This
process originates with determination of a requirement to be placed
under contract during the *PMP-02 Project Initiation and Planning
Procedure*. Procurement activities begin when a CO and COR are assigned
and continue through development of the acquisition strategy and
relevant procurement documentation, solicitation of proposals, selection
of sources, contract award, contract administration, and closeout of the
contract. This figure represents the procurement management activities
associated with OETI project staff. It does not include the functions
performed by the EPA contracting office.

Figure 4‑1. Procurement Management Process

## Steps

The following sections describe the steps of the procurement management
process shown in Figure 4-1 and the roles involved with its execution.

### Assign Contracting Officer and Contracting Officer's Representative

To initiate the procurement process, the Project Manager and/or Project
Officer[^5] must contact OAM to request that a CO be assigned to support
a specific procurement and/or contract action to obtain the identified
required goods or services. The Project Manager and/or Project Officer
should meet with the CO to determine if the action warrants delegation
of a COR. If a new COR appointment is needed, the Project Manager and/or
Project Officer should identify appropriate candidates based on the
skill set desired by the CO. The potential COR's immediate supervisor
then recommends a candidate by submitting EPA Form 1900-65, *Nomination
of Contracting Officer's Representatives*, to the CO. The CO will
respond to the nomination in writing by either appointing the nominee as
a COR or stating why the nominee was not appointed. If the nominated COR
is not approved, the Project Manager and/or Project Officer will need to
nominate an alternative COR candidate. The CO will provide written
instructions regarding the approved COR's responsibilities under the
procurement. At this stage only a Contract-Level COR is established.

All CORs must file Office of Government Ethics Form 450, *Confidential
Financial Disclosure Report*, with their respective organizations'
designated ethics Officials. A list of Agency ethics officials is
available on the Agency intranet at
<http://intranet.epa.gov/ogc/ethics.htm>. In addition, CORs must have
completed appropriate COR training. CORs may choose between two courses:
the Defense Acquisition University (DAU)'s on-line COR training course,
"COR With a Mission Focus" or OAM's COR Training Course. After
completing one of these courses, CORs must complete OAM's
Recertification Course every three years to remain eligible. CORs must
also obtain 40 Continuous Learning Points (CLP) within each two-year
cycle. Employees who are not current in their training requirements
cannot serve as CORs. See the *Contracts Management Manual*, October 19,
2006 (Section 42) and the *Implementation of the Continuing Learning
Policy for the USEPA Acquisition Workforce Members* update for more
information on available COR training.

### Develop Acquisition Strategy/Plan

Once the CO and COR have been established, the Contract-Level COR can
seek guidance from the CO to determine the best acquisition strategy for
satisfying the defined set of requirements. Potential procurement
alternatives include using one or more of the following:

-   Existing EPA contract.

-   GSA MAS contracts.

-   EPA blanket purchase agreements (BPAs).

-   GWACs.

-   MACs.

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-   New procurement.

The CO can also provide the COR with information on how to access
existing vehicles and the fees associated with using established
vehicles. In addition, OAM guidance document, "*GWACs and Other
Alternative Contractual Vehicles*" lists a variety of contracts and
discusses procedures for using them. This guide is available at
<http://intranet.epa.gov/oamintra/policy/index.htm>.

If a procurement is above the simplified acquisition threshold
(\$100,000), an Acquisition Plan is required. The Contract-Level COR
should develop the required Acquisition Plan in accordance with the
specified format in FAR Subpart 7.1 -- "Acquisition Plans." See Chapter
7, "Acquisition Planning" in the *Contract Management Manual* for
additional information on development of acquisition plans.

### Prepare Procurement Initiation Notice ( PIN) Package/Solicitation Document

EPA program offices and OAM follow the PIN process to work through the
pre-award phases. For all procurements above the FAR threshold for
simplified acquisition, the requiring office initiates contact with the
contract service center/branch through use of a PIN. This notice
captures a set of basic information and establishes the responsibilities
of the program office. It includes program and other approvals to show
the full intent and \"commitment\" of the program to pursue a contract
as the vehicle to meet its requirement(s). Additionally, for all funded
procurements, the requiring office will also submit a completed EPA Form
1900-8, *Procurement Request/Order*. For unfunded procurements, the PIN
replaces the planning procurement request (PR). The purpose of the PIN
process is to promote dialogue early in the pre-award process between
the requiring office and the contract service center prior to
preparation of key documents. For a complete explanation of the PIN
process, see Chapter 2 of the *Contracts Management Manual*.

The Contract-Level COR prepares the PIN, which formally initiates the
procurement process within OAM, identifies key program officials, and
provides basic information about the requirement. The COR and Project
Manager are responsible for obtaining all required approvals prior to
submission to the CO. Required approvals vary depending on the size and
complexity of the procurement. The COR and/or Project Manager should
check with the Office of Program Management, to determine the
appropriate levels of review prior to submission to the contracting
office.

The following lists the standard information a PIN package includes,
however, refer to the *Contract Management Manual* for a comprehensive
list:

-   PIN Form.

-   Form 1900-65A, *Nomination of Contracting Officer's Representative.*

-   PIN Questionnaire (to be completed during meeting with Project
    Manager/COR and CO).

-   SOW or SOO.

-   Acquisition Plan (completed under step 4.2.2 above).

-   Independent Government Cost Estimate (IGCE).

-   Budget Information.

-   Market Survey Information.

-   Evaluation Criteria.

-   Deliverables.

-   Labor Categories.

-   Quality Assurance Surveillance Plan (QASP).

-   Quality Assurance Review Forms.

-   Information Technology Information.

-   Organization Conflict of Interest Information.

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-   Justification for Other than Full and Open Competition.

Guidance on development of SOWs and IGCEs can be found in Chapter 3,
"Preparation of Work Assignments, Delivery and Task Orders" in the *EPA
Contracting Officer's Representative (COR) Training Text*. Guidance on
development of performance-based SOWs and QASPs can be found in the
*Contract Management Manual,* Chapter 11, "Describing Agency Needs."

### Support Solicitation Process

After approval of the PIN package the CO will initiate the procurement,
which frequently results in issuance of a solicitation to obtain vendor
proposals. This solicitation can take the form of either a request for
proposal (RFP) or an invitation for bid (IFB). The solicitation process
encompasses all the activities associated with developing a
solicitation, releasing it, and obtaining proposals. These activities
include finalizing the solicitation document, releasing it to industry,
obtaining and responding to industry questions, and modifying the
solicitation (as needed). The Contract-Level COR should assist with
these activities as desired by the CO. This may include assisting in the
development of solicitation sections not already developed as part of
the PIN package; providing updates to the SOWs/SOOs, QASP, and other
required documents; and reviewing the final solicitation developed by
the contracting office. Additional activities may also include reviewing
and evaluating comments received from industry on the solicitation,
assisting with industry days or pre-proposal conferences, responding to
vendor questions, and advising on potential solicitation amendments.

### Support Evaluation, Selection, and Contract Award

The Project Manager is responsible for providing technical personnel to
support evaluation of proposals in support of projects he or she
initiates. Depending on importance of the effort, either the
Contract-level COR or the Project Manager should identify and nominate
personnel with the appropriate mix of subject matter expertise to assist
with the evaluation of proposals. Evaluation team members are
responsible for reviewing the proposals and/or oral presentations in
accordance with the established source selection plan and documenting
findings. The evaluation team members may support the CO in development
of proposal clarifications and discussions with offerors. The CO may
also request that evaluation team members aid in negotiations with the
selected offeror(s) and the finalization of the contract prior to award.
In addition, the CO may ask members to assist with debriefings of
offerings and provide information related to vendor protests (if
applicable).

A simplified version of this evaluation process may also be used when
conducting evaluation of proposals for a task or delivery order issued
under a multiple award ID/IQ contract.

### Review Contract Management Procedures with Contracting Officer

At the time of contract award, the Contract-Level COR (and for more
complex actions the Project Manager) needs to finalize the specific
manner in which a contract will be managed with the CO. In particular,
the CO should consider and potentially update COR delegation needs.
Although a Contract-level COR may have been assigned to support the
pre-award activities, the CO may need to adjust the Contract-level COR's
roles and responsibilities and designate additional CORs to support the
management of specific DOs, TOs, or WAs. Factors that influence the need
for a multi-level COR structure include:

-   A number of DOs, TOs, or WAs will be issued under the contract, with
    efforts occurring in parallel.

-   The effective management of the different DOs, TOs, or WAs requires
    different types of expertise.

-   The project being implemented is a high priority and/or high risk to
    EPA.

-   DOs, TOs, or WAs are complex to manage, requiring:

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-   Tracking and review of diverse and/or frequently submitted
    deliverables.

-   Extensive configuration management of changes (e.g., software).

-   Complex inspection and testing requirements.

-   Frequent interaction with contractor.

-   Ambitious schedule, cost, and/or performance objectives.

Once the COR or CORs have been designated, the CORs should meet with the
CO to ensure they fully understand their responsibilities and the
required involvement of the CO in such key activities as:

-   Contract/task kick-off initiation process.

-   Deliverable tracking, review, and approval process.

-   Government Inspection and Acceptance Testing process (if
    applicable).

-   Invoice review process.

-   Performance and financial review process (to include evaluation of
    performance-based objectives/service level agreements if
    applicable).

-   Change Control/Contract Modifications process.

-   Issue/Dispute Resolution Process.

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-   COR file management (see Section 4.2.7 below).

### Establish & Maintain COR File

In parallel with Step 4.2.6, the COR should establish a strategy for
maintaining the COR Contract File throughout the life of the contact and
properly archiving the file upon contract closeout. The CO has the
ultimate responsibility for maintaining contract records. However, the
CO typically delegates the responsibility for COR-related records to the
Contract-Level COR who may, in turn, delegate responsibility for
maintaining certain records to the WA/DO/TO CORs. Close coordination
among all of the CORs on the contract is necessary to ensure that all
appropriate records are maintained and easily accessible. Ultimately,
CORs are responsible for creation and upkeep of the COR-related records
in accordance with Agency National Records Management Program policy,
Federal Acquisition Regulations, Federal Records Act, and *PMP-12
Document Management Procedure*.

The file management strategy should address the role of each COR in the
management of the overall contract file. At a minimum, the contract
files should provide an audit trail of the actions taken under the
contract, WA, DO, or TO. The COR should maintain these files using a
system that is consistent, logical, and properly safeguarded. The system
should maintain information that would allow someone taking over COR
duties to ascertain which deliverables have been accepted, if any
deliverables are late, how much money remains on the order, a history of
technical direction, and so forth. Files are also subject to audit by
officials within the Agency, such as the Office of the Inspector Genera
(OIG), or outside the Agency, such as the Government Accountability
Office (GAO). The agency may also be required to release certain
documents to outside parties under the Freedom of Information Act
(FOIA). Thus, it is very important that files are accurate and current.

The types of records that should be maintained in the contract
management file include:

1.  Basic contract documentation.

2.  Procurement packages (the documents sent to the CO to award the
    contract or issue a work assignment).

3.  COR designation documentation.

4.  Contractor's work plans and/or DO/TO proposals with documented
    government comments.

5.  Work assignments, Delivery/Task Orders, Contract Modifications,
    etc., signed by the CO.

6.  Documentation of technical direction.

7.  Invoices and monthly progress reports and record of reviews.

8.  Correspondence and meeting minutes related to the contract or order.

9.  Deliverables and record of reviews and acceptance or rejection.

10. Test and acceptance documentation.

11. Documentation on Government Furnished Property (GFP).

12. Documentation supporting formal performance reviews, contract issues
    discussed with contractor, etc.

Guidance on COR file management can be found in Chapter 7 *"Establishing
Project Files and Handling Sensitive Information*" in the *EPA
Contracting Officer's Representative Training Text*. EPA Schedule 202,
Contract Management Records, is also available on the Internet at
<http://www.epa.gov/records/policy/schedule/sched/202.htm>.

### WA/DO/TO Contract?

Management of ID/IQ contracts requires the additional action of issuing
separate WAs, DOs, TOs to obtain the needed contractor supplies or
services. This step depicts the additional activities associated with
issuing WAs, DOs, or TOs as delineated in Steps 4.2.9 through 4.2.11. If
the contract does not require issuance of separate WAs, DOs, or TOs, the
COR can move directly to Step 4.2.11.

### Prepare WA, DO, TO Procurement Request Package or Contract Modification

Obtaining work under a contract (whether by a DO, TO, or WA) or changing
the contract through a contract modification requires development of a
PR package. Elements of the PR package include the PR form (EPA Form
1900-8) and supporting documentation such as the SOW/SOO, QASP, and
IGCE. In addition, a complete package may also include the following:

1.  Cover Sheet or Memo WA, TO, or DO Form.

2.  Contracting Officer's Representative Nomination Form (EPA Form
    1900-65).

3.  Copy of the Certificate of Training.

4.  Quality Assurance Review Form.

5.  Non-duplication of Effort Statement (required by some contracting
    offices).

6.  Senior Information Official (SIO) approval for IT services (as
    needed).

7.  Approval for use of multiple appropriations (as needed).

8.  Intra-agency funding request and approval (as needed).

9.  GFP worksheet.

10. Justification and Approval for Sensitive and/or Vulnerable Services
    (as needed).

The WA/DO/TO COR develops the PR package and submits it to the Project
Manager and Contract-level COR for review. The Project Manager ensures
that the scope of the effort is appropriate and that funding is
available to support the effort. The Contract-level COR ensures the
package is current, accurate, and complete before forwarding to the CO
for action. The CO reviews and approves the package and executes the
appropriate action. Guidance on development of SOWs and IGCEs can be
found in Chapter 3, "Preparation of Work Assignments, Delivery and Task
Orders" in the *EPA Contracting Officer's Representative Training Text*.
Guidance on development of performance-based SOWs and QASPs can be found
in *Contract Management Manual,* Chapter 11, "Describing Agency Needs."

At any time, a COR and/or Project Manager may also identify potential
changes to an existing DO/TO/WA or basic contract. The COR or Project
Managers should discuss changes with the CO to determine if they are
within scope of the contract and appropriate prior to development of the
PR Package. In addition, the COR and Project Manager need to follow the
applicable change control process outlined in *PMP-08 Change Control
Procedure* to manage project changes.

### Competition Required?

In many of the existing multiple award vehicles, the contract will
require that the WAs, DOs, or TOs be competed at a minimum from three
potential sources. As a result, additional actions may be required to
solicit and evaluate the proposals and make a final selection. The
Contract-Level COR may need to perform a simplified form of the
activities described under steps 4.2.4 and 4.2.5 described above. The
COR should discuss the competition requirements with the CO to determine
which steps are necessary for a particular procurement.

### Review/Accept Proposal & Issuance of WA/DO/TO; Review/Accept Work Plan

The COR is responsible for reviewing work plans and proposals submitted
by the contractor under the contract. The WA/DO/TO COR is responsible
for performing a detailed review of the work plan or proposal,
identifying appropriate personnel that should be involved in the review
process, consolidating review comments, and making a recommendation to
the Contract-Level COR. The Project Team Lead(s) and Project Manager are
responsible for providing input to the COR(s) as requested. The COR
should recommend to the Contract-Level COR one of four actions:

1.  To accept the work plan as presented.

2.  To negotiate changes to the work plan with the Contractor.

3.  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.

4.  To amend the SOW of the WA/DO/TO; this is frequently done in
    conjunction with the CO's negotiations with the contractor.

The Contract-Level COR will review and make a final recommendation to
the CO who will carry out one of the four actions listed above. The CO
is the only individual with negotiation and amendment authority.
However, the Contract-Level and/or WA/DO/TO COR may be requested by the
CO to assist in negotiations. If a change is required, the resulting
procedure for preparing an amendment/modification request should be
discussed among the CORs and the CO. The body of the
amendment/modification may be written by the COR, but only the CO has
the authority to issue it. The COR should prepare a memorandum to the
Contract-Level COR addressing the need for the amendment/modification
and providing appropriate background information. The Contract-Level COR
should review the request and submit it to the CO for action. Guidance
on reviewing work plans and proposals can be found in Chapter 4,
"Reviewing the Contractor's Work Plan" in the *EPA Contracting Officer's
Representative Training Text.*

### Perform Technical Monitoring

Once the TO, DO, or WA has been issued, and any plan submitted by the
contractor for performing the effort including staffing and costs (if
applicable) is approved, all assigned CORs are responsible for
monitoring the contractor\'s performance to ensure that EPA obtains a
quality product or service, on time, and within cost. Before commencing
monitoring activities, all CORs should be thoroughly familiar with the
requirements of both the basic contract and the tasking document. The
COR should also determine whether the contract is performance-based and
will require monitoring of specific performance metrics established
under the contract or DOs or TOs. The Project Manager and Project Team
Lead(s) have responsibility for providing feedback to the COR(s) on
contractor deliverables and proposals, progress against schedule, and
overall performance.

The Contract-Level and/or WA/DO/TO COR should develop a framework for
conducting technical monitoring using the contract and the contractor's
approved work plan or proposal. This framework should incorporate
relevant processes described in *PMP-04 Project Status, Reporting and
Forecasting Procedure* and *PMP-09 Quality Management Procedure* for
ensuring effective project monitoring and achievement of quality
objectives. This framework should encompass development of a list of:
each of the major tasks and all associated deliverables, a list of all
reporting requirements and deadlines, and any specific inspection
requirements and duties of the government to include in-progress reviews
and other performance assessments. This list should be kept up-to-date
by the COR and used as a tool for monitoring progress and determining
the extent of contract completion. If the contract is performance-based,
the COR is responsible for ensuring that surveillance of the
contractor's performance is completed in accordance with the established
QASP. The QASP describes how and when the government will monitor
contractor performance. The COR is responsible for identifying and
securing the appropriate staff to assist in conducting the delineated
QASP reviews.

There are three areas in which the COR monitors the contractor's
performance:

-   Technical progress, quality of deliverables or services.

-   Schedule compliance (meeting due dates).

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-   Staying within cost estimates in work plan.

The broad category of technical monitoring includes:

-   Giving technical direction.

-   Avoiding vulnerabilities related to technical monitoring.

-   Reviewing deliverables.

-   Conducting test and inspection.

-   Conducting meetings.

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-   Reviewing monthly progress reports.

-   Evaluating contractor performance (to include assessment against
    performance-based performance objectives and/or metrics and/or
    service level agreements).

Guidance on performing technical monitoring can be found in Chapter 5,
"Monitoring the Contractor's Performance" of the *EPA Contracting
Officer's Representative (COR) Training Text.* EPA also has specific
guidance on the proper use of contract services: EPA Order 1900.1A, *Use
of Contractor Services to Avoid Improper Contractor Relationships*. It
is very important that all Agency employees, not just CORs, comply with
this order when interacting with contractors. The order is available on
the EPA intranet at:
<http://epawww.epa.gov/oamintra/policy/eo19011a.pdf.> Specific guidance
on management of performance-based contracts is provided in the Office
of Federal Procurement Policy (OFPP) Guide, *Information on Best
Practices for Performance-based Service Contracting*, also available on
the intranet.

### Perform Financial Monitoring

Invoice review is a critical function for managing public funds. CORs
must (1) review contract invoices thoroughly for cost reasonableness,
and (2) process invoices in a timely manner. Adherence to this practice
will result in payment of costs which are allowable, allocable, and
reasonable, and avoid interest penalties due on late payments.

CORs should closely examine and, when appropriate, question costs or
suspend contractor payments. Every COR must indicate in his or her files
that an invoice review was performed. CORs must maintain a file of all
invoices, invoice review checklists, and other documentation associated
with the invoices for the life of the contract. For EPA awarded
contracts, CORs should use the Electronic Approval System (EASY), which
allows invoices to be approved on-line. For non-EPA contracts, the
Research Triangle Park (RTP) finance office will email a copy of the
invoice to the COR along with instructions for approval. The COR reviews
the invoice and, if appropriate, approves the invoice in an email back
to RTP.

The Contract-Level COR is responsible for monitoring costs on the
contract as a whole. However, for each delivery/task order contract,
OETI shall determine whether the Contract-Level COR or second level COR
will submit approval or disapproval to the paying office. In the case of
WA contracts the WA COR coordinates with the Contract-Level COR on
reviewing invoices but does not have authority to sign them. This
process should be discussed with the CO as part of step 4.2.1.

Guidance on performing financial monitoring can be found in Chapter 6,
"Financial Monitoring (Invoice Review Process)" in the *EPA Contracting
Officer's Representative (COR) Training Text.* For more guidance, the
Invoice Review Guide is available at
[http://intranet.epa.gov/oamintra](http://intranet.epa.gov/oamintra ) by
clicking on contract financial information. Chapter 11 of the EPA
*Contracts Management Manual* also covers procedures for invoice review.
It is available at the same site.

### New WAs, DOs, TOs or Changes Required?

At any point in time during the project, the need for new WAs, DOs, TOS,
or contract modifications may be identified. These requirements may be a
result of follow-on work to an existing task, identification of a new
approach/technology that would improve performance, or other
circumstances. How these changes will be handled is dependent on the
complexity of the change, which is addressed in step 4.2.15.

### Changes are Minor or Major?

If the change impacts cost, performance, and/or schedule, it is
considered a major change and will need to go through the change control
process as described in the *PMP-08 Change Control Procedure*. A minor
change is one that will not impact cost, performance, and/or schedule,
such as changing designated personnel, submission addresses, etc. The
COR should review the Change Control Plan developed under the PMP-08
procedure for further guidance on the change control process.

If the requirement or change is within the scope of the basic contract
or WA/DO/TO and is a minor change or has been approved by the Change
Control Board, the COR should go back to step 4.2.9 to initiate the new
WA/DO/TO or modification process, repeating steps 4.2.9 -- 4.2.13.
However, if the requirement is out of scope, the COR must return to
project planning to determine the best way to satisfy the new
requirement or change. Refer to *PMP-02 Project Initiation and Planning
Procedure* for further details for project planning activities. Once a
DO/TO/WA or overall contract has been completed, the DO/TO/WA or overall
contract can be closed out as described in Section 4.2.16.

### Conduct WA/DO/TO or Contract Close Out

A contract is considered complete when all deliverables have been
delivered and accepted (or all required services have been performed and
accepted) and the period of performance (including all option provisions
that have been exercised) has expired. Contracts that are physically
complete must be administratively closed out, which involves the
settlement of all outstanding contractual issues and the documentation
of the file. The CO is responsible for closing out the contract with the
assistance of the COR. Listed below are the tasks the COR will normally
be responsible for performing in contract close out:

-   Certifying that all technical requirements of the contract have been
    satisfied, that the products or services have been satisfactorily
    completed within the contract amount, and that the final report and
    all deliverables have been received and accepted.

-   Reviewing and determining the accuracy of the contractor's reporting
    of inventions.

-   Examining the completion voucher (in the case of cost reimbursement
    contracts).

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-   Evaluating the contractor's performance under the contract.

It is important that the Contract-Level CORs consider contractor
evaluations carefully and maintain documentation that justifies their
conclusions. These evaluations can later serve as the basis for
evaluating the past performance of a potential contractor in
consideration for award of future requirements. The CO can use good or
bad experiences as a basis for judgment, making EPA's acquisition
program more effective.

The duties of CORs do not end until contract close out is completed. It
is essential that contract close out tasks be performed as promptly as
possible and coordinated with the process explained in *PMP-13 Project
Closure Procedure*.

# Considerations

The following provides a list of general best practices that should be
considered when conducting procurement management:

-   Develop clear, well defined SOWs and delivery/task orders:

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-   Clearly state the goods or services expected.

-   Ensure that roles and responsibilities are clearly differentiated
    among the contractor, the government and other support contractors.

-   Clearly define performance standards and measurable outcomes and
    include positive or negative performance incentives (when
    applicable).

-   Identify how performance will be evaluated and include a QASP as
    appropriate.

-   Identify constraints, schedules, deadlines, and any mandatory items.

-   Specify required deliverables, reporting obligations (see
    Appendix D) and payment terms.

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-   For information technology (IT) procurements, ensure that the SOW
    and/or resulting contract or WA/DO/TO adequately addresses key
    aspects related to IT such as licensing, hosting, technology
    insertion/refreshment, copyrights, data rights, etc.

-   Get the procurement and legal office engaged early on in the
    procurement process. Obtain not only an assigned CO but an assigned
    legal point of contact at the onset of a procurement.

-   Include staff that can provide the right set of expertise to review
    contractor proposals, deliverables, and provide overall input on
    contractor performance.

-   Ensure that sufficient resources are available to handle
    vendor/contract management properly. In particular, ensure that
    adequate resources are allocated to execute the surveillance
    activities specified in the QASP and/or review of deliverables.

-   Ensure that adequate time is provided in the project schedule for
    both pre-award and post-award contracting activities as these
    activities are frequently allocated insufficient time to complete
    all required activities and obtain the necessary approvals.

-   Provide contractors adequate time to develop proposals and the
    government adequate time to review, negotiate, and accept proposals.

###### Acronyms

  -------------- -----------------------------------------------------------
  Abbreviation   Description

  **BPA**        Blanket Purchase Agreement

  **CO**         Contracting Officer

  **COR**        Contracting Officer's Representative

  **DAU**        Defense Acquisition University

  **DO**         Delivery Order

  **DO COR**     Delivery Order Contracting Officer's Representative

  **EASY**       Electronic Approval System

  **EPA**        Environmental Protection Agency

  **EPAAR**      EPA Acquisition Regulation

  **FAI**        Federal Acquisition Institute

  **FAR**        Federal Acquisition Regulation

  **FOIA**       Freedom of Information Act

  **GAO**        Government Accountability Office

  **GFP**        Government Furnished Property

  **GSA**        General Services Administration

  **GWAC**       Government-wide Acquisition Contract

  **ID/IQ**      Indefinite Delivery/Indefinite Quantity

  **IFB**        Invitation for Bid

  **IGCE**       Independent Government Cost Estimate

  **IT**         Information Technology

  **MAC**        Multiple Award Contract

  **MAS**        Multiple Award Schedule

  **OAM**        Office of Acquisition Management

  **OEI**        Office of Environmental Information

  **OETI**       Office of Enterprise Technology and Innovation

  **OFPP**       Office of Federal Procurement Policy

  **OIG**        Office of the Inspector General

  **PIN**        Procurement Initiation Notice

  **PR**         Procurement Request

  **QASP**       Quality Assurance Surveillance Plan

  **RFP**        Request for Proposal

  **RTP**        Research Triangle Park

  **SIO**        Senior Information Official

  **SOO**        Statement of Objectives

  **SOW**        Statement of Work

  **TO**         Task Order

  **TO COR**     Task Order Contracting Officer's Representative

  **WA**         Work Assignment

  **WA COR**     Work Assignment Contracting Officer's Representative

  **WBS**        Work Breakdown Structure
  -------------- -----------------------------------------------------------

###### Checklist for Procurement Management

The following provides a checklist for the key activities associated
with each step of this procurement management procedure.

+-------------------------------------------------+--------------------+
| Activities                                      | Responsible        |
|                                                 | Parties            |
+=================================================+====================+
| 4.2.1 Assign Contracting Officer and            |                    |
| Contracting Officer's Representative            |                    |
+-------------------------------------------------+--------------------+
| -   Contracting office contacted and CO         | Project Officer    |
|     assigned                                    | and/or Project     |
|                                                 | Manager            |
+-------------------------------------------------+--------------------+
| -   Met with the assigned CO to determine if    | Project Officer    |
|     the action warrants delegation of a COR     | and/or Project     |
|                                                 | Manager, CO        |
+-------------------------------------------------+--------------------+
| -   EPA Form 1900-65, Nomination of Contracting | Project Officer    |
|     Officer's Representative, submitted to the  | and/or Project     |
|     CO                                          | Manager            |
+-------------------------------------------------+--------------------+
| -   COR delegation by the CO received           | Project            |
|                                                 | Offi               |
|                                                 | cer/Contract-Level |
|                                                 | COR and/or Project |
|                                                 | Manager; CO        |
+-------------------------------------------------+--------------------+
| -   Government Ethics Form 450, *Confidential   | Contract-Level COR |
|     Financial Disclosure Report,* submitted to  |                    |
|     designated ethics official by each COR      |                    |
+-------------------------------------------------+--------------------+
| -   COR Training (initial or recertification)   | Contract-Level COR |
|     completed (within last three years) and 40  |                    |
|     CLPs obtained (within two year cycle) for   |                    |
|     each COR                                    |                    |
+-------------------------------------------------+--------------------+
| **4.2.2 Develop Acquisition Strategy/Plan**     |                    |
+-------------------------------------------------+--------------------+
| -   Procurement options for satisfying          | Contract-Level COR |
|     requirements discussed with CO:             | and CO             |
|                                                 |                    |
| ```{=html}                                      |                    |
| <!-- -->                                        |                    |
| ```                                             |                    |
| -   Existing EPA contract                       |                    |
|                                                 |                    |
| -   GSA Multiple Award Schedule Contracts       |                    |
|                                                 |                    |
| -   EPA BPAs                                    |                    |
|                                                 |                    |
| -   Government-wide Acquisition Contracts       |                    |
|                                                 |                    |
| -   Multi-agency Contracts                      |                    |
|                                                 |                    |
| -   New procurement                             |                    |
+-------------------------------------------------+--------------------+
| -   Research and evaluation on each relevant    | Contract-Level COR |
|     procurement option completed                | and CO             |
+-------------------------------------------------+--------------------+
| -   The acquisition strategy to include         | Contract-Level     |
|     procurement methodology finalized with CO   | COR, Project       |
|                                                 | Manager, and CO    |
+-------------------------------------------------+--------------------+
| -   Acquisition Plan completed and approved     | Contract-Level     |
|                                                 | COR, Project       |
|                                                 | Manager, and CO    |
+-------------------------------------------------+--------------------+
| **4.2.3 Prepare PIN Package**                   |                    |
+-------------------------------------------------+--------------------+
| -   PIN package requirements established with   | Contract-Level COR |
|     CO                                          | and CO             |
+-------------------------------------------------+--------------------+
| -   Procurement Request (EPA Form 1900-8)       | Contract-Level     |
|     package completed with the following        | COR, Project       |
|     relevant documentation:                     | Manager, and CO    |
|                                                 |                    |
| ```{=html}                                      |                    |
| <!-- -->                                        |                    |
| ```                                             |                    |
| -   PIN Form                                    |                    |
|                                                 |                    |
| -   Form 1900-65A, Nomination of COR            |                    |
|                                                 |                    |
| -   Copy of the Certificate of Training         |                    |
|                                                 |                    |
| -   PIN Questionnaire (to be completed during   |                    |
|     meeting with CO)                            |                    |
|                                                 |                    |
| -   Acquisition Plan                            |                    |
|                                                 |                    |
| -   SOW or SOO                                  |                    |
|                                                 |                    |
| -   IGCE                                        |                    |
|                                                 |                    |
| -   Budget Information                          |                    |
|                                                 |                    |
| -   Market Survey Information                   |                    |
|                                                 |                    |
| -   Evaluation Criteria                         |                    |
|                                                 |                    |
| -   List of Deliverables                        |                    |
|                                                 |                    |
| -   Labor Categories                            |                    |
|                                                 |                    |
| -   Quality Assurance Surveillance Plan (QASP)  |                    |
|                                                 |                    |
| -   Quality Assurance Review Forms              |                    |
|                                                 |                    |
| -   Information Technology Information          |                    |
|                                                 |                    |
| -   Organizational Conflict of Interest         |                    |
|     Information                                 |                    |
|                                                 |                    |
| -   Non-duplication of Effort Statement         |                    |
|     (required by some contracting offices)      |                    |
|                                                 |                    |
| -   Justification for Other than Full and Open  |                    |
+-------------------------------------------------+--------------------+
| -   Determined and obtained necessary approvals | Contract-Level COR |
|     and submitted PIN package to CO             | and Project        |
|                                                 | Manager            |
+-------------------------------------------------+--------------------+
| -   PIN Package approved by OAM                 | Contract-Level     |
|                                                 | COR, Project       |
|                                                 | Manager, CO        |
+-------------------------------------------------+--------------------+
| **4.2.4 Support Solicitation Process**          |                    |
+-------------------------------------------------+--------------------+
| -   Supported CO in development of draft and    | Contract-Level COR |
|     final solicitation                          |                    |
+-------------------------------------------------+--------------------+
| -   Supported industry day and/or pre-proposal  | Contract-Level COR |
|     conference                                  |                    |
+-------------------------------------------------+--------------------+
| -   Reviewed and developed responses to vendor  | Contract-Level COR |
|     questions on solicitation as directed by CO |                    |
+-------------------------------------------------+--------------------+
| **4.2.5 Support Evaluation, Selection, and      |                    |
| Contract Award**                                |                    |
+-------------------------------------------------+--------------------+
| -   Evaluation team members identified          | Project Manager or |
|                                                 | Contract-Level     |
|                                                 | COR, or WA/DO/TO   |
|                                                 | COR                |
+-------------------------------------------------+--------------------+
| -   Evaluation team members fully understand    | Eval Team Member,  |
|     their role and responsibilities, the        | CO                 |
|     evaluation process methodology, and         |                    |
|     requirements of the procurement             |                    |
+-------------------------------------------------+--------------------+
| -   Evaluation team members completed review of | Eval Team Member,  |
|     proposals and documented findings and       | CO                 |
|     clarifications                              |                    |
+-------------------------------------------------+--------------------+
| -   Contract or WA/DO/TO negotiated and awarded | CO, Eval Team      |
|                                                 | Member (as         |
|                                                 | required)          |
+-------------------------------------------------+--------------------+
| **4.2.6 Review Contract Management Procedures   |                    |
| with Contracting Officer**                      |                    |
+-------------------------------------------------+--------------------+
| -   The contract management procedures          | Project Manager,   |
|     (including COR structure and roles and      | Contract-Level     |
|     responsibilities) pertaining to specific    | COR, CO            |
|     contract finalized with the CO              |                    |
+-------------------------------------------------+--------------------+
| -   *EPA Form 1900-65, Nomination of            | COR Supervisors    |
|     Contracting Officer's Representatives*,     |                    |
|     submitted to the CO for each COR            |                    |
+-------------------------------------------------+--------------------+
| -   COR Delegation by the CO for each COR       | CO, all CORs       |
|     received                                    |                    |
+-------------------------------------------------+--------------------+
| -   Government Ethics Form 450, Confidential    | All CORs           |
|     Financial Disclosure Report submitted to    |                    |
|     designated ethics Official by each COR      |                    |
+-------------------------------------------------+--------------------+
| -   COR Training (initial or recertification)   | All CORs           |
|     completed (within last three years) and 40  |                    |
|     CLPs obtained (within two year cycle) for   |                    |
|     each COR                                    |                    |
+-------------------------------------------------+--------------------+
| **4.2.7 Establish and Maintain COR Contract     |                    |
| File**                                          |                    |
+-------------------------------------------------+--------------------+
| -   Strategy for maintaining COR Contract File  | Contract-Level COR |
|     established                                 | and/or DO/TO/WA    |
|                                                 | COR                |
+-------------------------------------------------+--------------------+
| -   COR Contract File is updated on ongoing     | Contract-Level COR |
|     basis                                       | and DO/TO/WA COR   |
+-------------------------------------------------+--------------------+
| **4.2.9 Prepare WA/DO/TO Procurement Request    |                    |
| Package or Contract Modification**              |                    |
+-------------------------------------------------+--------------------+
| -   PR package requirements established with CO | Contract-Level     |
|                                                 | COR, CO            |
+-------------------------------------------------+--------------------+
| -   PR (EPA Form 1900-8) package completed with | DO/TO/WA COR or    |
|     the following relevant documentation:       | Contract-Level     |
|                                                 | COR, Project       |
| ```{=html}                                      | Manager, and CO    |
| <!-- -->                                        |                    |
| ```                                             |                    |
| -   SOW or SOO                                  |                    |
|                                                 |                    |
| -   IGCE                                        |                    |
|                                                 |                    |
| -   QASP (if applicable)                        |                    |
|                                                 |                    |
| -   Cover Sheet or Memo WA, TO, or DO Form      |                    |
|                                                 |                    |
| -   Contracting Officer's Representative        |                    |
|     Nomination Form (EPA Form 1900-65)          |                    |
|                                                 |                    |
| -   Copy of the Certificate of Training         |                    |
|                                                 |                    |
| -   Quality Assurance Review Form               |                    |
|                                                 |                    |
| -   Non-duplication of Effort Statement         |                    |
|     (required by some COs)                      |                    |
|                                                 |                    |
| -   SIO approval for IT services (as needed)    |                    |
|                                                 |                    |
| -   Intra-agency funding request and approval   |                    |
|     (as needed)                                 |                    |
|                                                 |                    |
| -   Government-Furnished Property worksheet     |                    |
|                                                 |                    |
| -   Justification and Approval for Sensitive    |                    |
|     and/or Vulnerable Services (as needed)      |                    |
+-------------------------------------------------+--------------------+
| -   Approvals on PR package and Funding         | DO/TO/WA COR or    |
|     Authorization obtained                      | Contract-Level     |
|                                                 | COR, Project       |
|                                                 | Manager            |
+-------------------------------------------------+--------------------+
| -   PR package submitted to CO                  | Contract-Level COR |
|                                                 | or DO/TO/WA COR,   |
|                                                 | Project Manager,   |
|                                                 | CO                 |
+-------------------------------------------------+--------------------+
| -   Approval of PR package by CO obtained       | Contract-Level     |
|                                                 | COR, CO            |
+-------------------------------------------------+--------------------+
| -   TO, DO, WA or contract modification issued  | CO, All CORs       |
|     by CO                                       |                    |
+-------------------------------------------------+--------------------+
| **4.2.11 Review/Approve Proposal or Work Plan** |                    |
+-------------------------------------------------+--------------------+
| -   Contractor's Technical/Mgmt/Staffing/Cost   | DO/TO/WA COR or    |
|     Plan and/or Proposal fully reviewed and     | Contract-Level     |
|     findings documented                         | COR, Project       |
|                                                 | Manager and/or     |
| -   Appropriate personnel for review (with      | Team Leads         |
|     appropriate mix of expertise) identified    |                    |
|     and briefed on project                      |                    |
|                                                 |                    |
| -   Mechanism for obtaining and consolidating   |                    |
|     inputs has developed                        |                    |
|                                                 |                    |
| -   Feedback obtained, consolidated, and        |                    |
|     reviewed                                    |                    |
|                                                 |                    |
| -   Recommendation developed.                   |                    |
+-------------------------------------------------+--------------------+
| -   Recommendation to Contract-Level COR        | DO/TO/WA COR or    |
|     submitted (if applicable)                   | Contract-Level COR |
+-------------------------------------------------+--------------------+
| -   Recommendation to CO submitted              | DO/TO/WA COR or    |
|                                                 | Contract-Level COR |
+-------------------------------------------------+--------------------+
| -   Comments provided to contractor;            | CO, DO/TO/WA COR   |
|     discussions, clarifications, negotiations   | or Contract-Level  |
|     with Contractor conducted as required       | COR                |
+-------------------------------------------------+--------------------+
| -   Memorandum for contract file prepared for   | DO/TO/WA COR or    |
|     documenting review of plan/proposal and     | Contract-Level COR |
|     final resolution                            |                    |
+-------------------------------------------------+--------------------+
| **4.2.12 Perform Technical Monitoring**         |                    |
+-------------------------------------------------+--------------------+
| -   Thorough review of basic contract and       | All CORs, CO       |
|     contractor proposal completed               |                    |
+-------------------------------------------------+--------------------+
| -   Framework for conducting technical          | DO/TO/WA COR and   |
|     monitoring established; methodology has     | Contract-Level COR |
|     been established for:                       |                    |
|                                                 |                    |
| ```{=html}                                      |                    |
| <!-- -->                                        |                    |
| ```                                             |                    |
| -   Tracking submission and acceptance of       |                    |
|     deliverables for each task against schedule |                    |
|     requirements                                |                    |
|                                                 |                    |
| -   Obtaining and consolidating feedback on     |                    |
|     each deliverable, contractor proposal, and  |                    |
|     overall Contractor performance              |                    |
|                                                 |                    |
| -   Conducting testing, inspection, and         |                    |
|     acceptance of requirements (if applicable)  |                    |
|                                                 |                    |
| -   Conducting In-Progress Reviews and other    |                    |
|     performance reviews                         |                    |
|                                                 |                    |
| -   Conducting assessments against              |                    |
|     performance-based metrics/SLAs in           |                    |
|     accordance with QASP (applicable under a    |                    |
|     performance-based contract)                 |                    |
|                                                 |                    |
| -   Providing appropriate dialog with           |                    |
|     Ccntractor (e.g., conducting regular status |                    |
|     meetings)                                   |                    |
|                                                 |                    |
| -   Updating tracking mechanisms on a regular   |                    |
|     basis                                       |                    |
+-------------------------------------------------+--------------------+
| -   Status reports submitted and reviewed on a  | All CORs           |
|     regular basis                               |                    |
+-------------------------------------------------+--------------------+
| -   Progress against schedule reviewed on an    | All CORs           |
|     ongoing basis                               |                    |
+-------------------------------------------------+--------------------+
| -   Costs against work plan and schedule are    | All CORs           |
|     tracked on an ongoing basis                 |                    |
+-------------------------------------------------+--------------------+
| -   Status meetings are conducted with the      | All CORs           |
|     contractor on a regular basis               |                    |
+-------------------------------------------------+--------------------+
| -   Thorough review of each deliverable         | DO/TO/WA COR or    |
|     completed:                                  | Contract-Level COR |
|                                                 |                    |
| ```{=html}                                      |                    |
| <!-- -->                                        |                    |
| ```                                             |                    |
| -   Feedback obtained and consolidated in       |                    |
|     accordance with framework established above |                    |
|                                                 |                    |
| -   Recommendations on acceptance or rejection  |                    |
|     made to Contract-Level COR (as appropriate) |                    |
|     or CO                                       |                    |
|                                                 |                    |
| -   Feedback provided to Contractor on          |                    |
|     deliverable                                 |                    |
|                                                 |                    |
| -   Review findings and final results           |                    |
|     documented in contract file                 |                    |
+-------------------------------------------------+--------------------+
| -   Performance Reviews are being performed in  | DO/TO/WA COR or    |
|     accordance with contract and QASP (if       | Contract-Level COR |
|     applicable)                                 |                    |
+-------------------------------------------------+--------------------+
| -   Test, inspection, and acceptance is being   | DO/TO/WA COR or    |
|     performed in accordance with contract and   | Contract-Level COR |
|     framework established above (if required    |                    |
|     under the contract)                         |                    |
+-------------------------------------------------+--------------------+
| **4.2.13 Perform Financial Monitoring**         |                    |
+-------------------------------------------------+--------------------+
| -   Framework for evaluating and approving      | DO/TO/WA COR and   |
|     invoices developed:                         | Contract-Level COR |
|                                                 |                    |
| ```{=html}                                      |                    |
| <!-- -->                                        |                    |
| ```                                             |                    |
| -   Developed checklist appropriate for invoice |                    |
|     review                                      |                    |
|                                                 |                    |
| -   Developed invoice tracking mechanism (e.g., |                    |
|     excel spreadsheet)                          |                    |
+-------------------------------------------------+--------------------+
| -   Invoices are being reviewed and approved in | DO/TO/WA COR or    |
|     a timely manner                             | Contract-Level COR |
+-------------------------------------------------+--------------------+
| -   Issues identified have been raised to       | DO/TO/WA COR or    |
|     Contract-Level COR or CO and have been      | Contract-Level COR |
|     addresses with contractor                   |                    |
+-------------------------------------------------+--------------------+
| **4.2.14 Conduct WA/DO/TO or Contract           |                    |
| Closeout**                                      |                    |
+-------------------------------------------------+--------------------+
| -   Certified that all technical requirements   | DO/TO/WA COR or    |
|     of the contract satisfied, that the         | Contract-Level COR |
|     products or services have been              |                    |
|     satisfactorily completed within the         |                    |
|     contract amount, and that the final report  |                    |
|     and all deliverables received and accepted  |                    |
+-------------------------------------------------+--------------------+
| -   Completed and submitted contractor Past     | DO/TO/WA COR or    |
|     Performance Evaluation                      | Contract-Level COR |
+-------------------------------------------------+--------------------+

###### Additional Resources

The following provides a list of key resources and references associated
with the procurement management procedure that can be used to assist in
completion of the activities.

+---+-------------------+--------------------------+-------------------+
|   | Form/ Guidance    | Source                   | Website           |
+===+===================+==========================+===================+
| 1 | Guidance on       | Chapter 7, "Acquisition  | <http://epawww.   |
| \ | preparing PIN     | Planning," of the EPA    | epa.gov/oamintra> |
| . | packages:         | Contracts Management     |                   |
|   |                   | Manual, Section 7.3      |                   |
|   | PIN Process Flow  | Procurement Initiation   |                   |
|   | Chart             | and Related              |                   |
|   |                   | Documentation            |                   |
|   | Procurement       |                          |                   |
|   | Initiation Notice |                          |                   |
|   |                   |                          |                   |
|   | PIN Questionnaire |                          |                   |
|   |                   |                          |                   |
|   | Checklist of PIN  |                          |                   |
|   | package           |                          |                   |
|   | Atta              |                          |                   |
|   | chments/Approvals |                          |                   |
|   |                   |                          |                   |
|   | Justification for |                          |                   |
|   | Other than Full   |                          |                   |
|   | and Open          |                          |                   |
|   | Competition       |                          |                   |
+---+-------------------+--------------------------+-------------------+
| 2 | Guidance on COR   | EPA Contracting          | <http://epaww     |
| \ | Delegations:      | Officer's Representative | w.epa.gov/oamintr |
| . |                   | (COR) Training Text,     | a/policy/cmm.pdf> |
|   | COR Nomination    | Chapter 1, "The Basics   |                   |
|   | Form (1900.65)    | of Contracts and Roles   |                   |
|   |                   | and Responsibilities"    |                   |
|   | COR Sample CO     |                          |                   |
|   | Designation       |                          |                   |
|   | Memorandum        |                          |                   |
+---+-------------------+--------------------------+-------------------+
| 3 | Guidance on COR   | EPA Contract Management  | <http://epawww.   |
| \ | Training          | Manual, Chapter 42,      | epa.gov/oamintra> |
| . |                   | "Contract Administration |                   |
|   |                   | and Audit Services" and  | <https://         |
|   |                   | the *Implementation of   | acc.dau.mil/Commu |
|   |                   | the Continuing Learning  | nityBrowser.aspx> |
|   |                   | Policy for the USEPA     |                   |
|   |                   | Acquisition Workforce    |                   |
|   |                   | Members*                 |                   |
|   |                   |                          |                   |
|   |                   | DAU's COR Training       |                   |
+---+-------------------+--------------------------+-------------------+
| 4 | Office of         | A list of Agency ethics  | <http:/           |
| \ | Government Ethics | officials is available   | /intranet.epa.gov |
| . | Form 450,         | on the Agency Intranet   | /ogc/ethics.htm>. |
|   | Confidential      |                          |                   |
|   | Financial         |                          |                   |
|   | Disclosure Report |                          |                   |
+---+-------------------+--------------------------+-------------------+
| 5 | Guidance on       | FAR Subpart 7.1 --       | <http://ww        |
| \ | development of    | Acquisition Planning.    | w.arnet.gov/far/> |
| . | Acquisition Plans |                          |                   |
+---+-------------------+--------------------------+-------------------+
| 6 | Guidance on       | EPA Contracting          | <http://epaww     |
| \ | developing SOWs   | Officer's Representative | w.epa.gov/oamintr |
| . | and IGCEs:        | (COR) Training Text,     | a/policy/cmm.pdf> |
|   |                   | Chapter 3, "Preparation  |                   |
|   | Statement of Work | of Work Assignments,     |                   |
|   | Review Checklist  | Delivery and Task        |                   |
|   |                   | Orders"                  |                   |
|   | Sample Work       |                          |                   |
|   | Assignment        | Contract Management      |                   |
|   |                   | Manual, Chapter 11.1,    |                   |
|   | Cost Estimating   | "Statements of Work"     |                   |
|   | Worksheet (full   |                          |                   |
|   | costing Method)   |                          |                   |
|   |                   |                          |                   |
|   | Planning          |                          |                   |
|   | Worksheet: Other  |                          |                   |
|   | Direct Costs      |                          |                   |
+---+-------------------+--------------------------+-------------------+
| 7 | Guidance on       | Contract Management      | <http://epawww.   |
| \ | development of    | Manual, Chapter          | epa.gov/oamintra> |
| . | QASPs             | 11.1.5.7, "Developing a  |                   |
|   |                   | Performance-based        |                   |
|   |                   | Service Contract QASP"   |                   |
+---+-------------------+--------------------------+-------------------+
| 8 | Guidance on       | Chapter 5, "Monitoring   | [http://ep        |
| \ | performing        | the Contractor's         | awww.epa.gov/oami |
| . | technical         | Performance" of the EPA  | ntra/policy/cmm.p |
|   | monitoring        | Contracting Officer's    | df](http://epawww |
|   |                   | Representative (COR)     | .epa.gov/oamintra |
|   |                   | Training Text            | /policy/cmm.pdf ) |
+---+-------------------+--------------------------+-------------------+
| 9 | Guidance on       | EPA Order 1900.1A, Use   | [http:            |
| \ | managing          | of Contractor Services   | //epawww.epa.gov/ |
| . | Contractor        | to Avoid Improper        | oamintra/policy/e |
|   | relationships     | Contractor               | o19011a.pdf.](htt |
|   |                   | Relationships.           | p://epawww.epa.go |
|   |                   |                          | v/oamintra/policy |
|   |                   |                          | /eo19011a.pdf.  ) |
+---+-------------------+--------------------------+-------------------+
| 1 | Guidance on       | EPA Contracting          | <http://epaww     |
| 0 | reviewing work    | Officer's Representative | w.epa.gov/oamintr |
| \ | plans and         | (COR) Training Text,     | a/policy/cmm.pdf> |
| . | proposals to      | Chapter 4, "Reviewing    |                   |
|   | include:          | the Contractor's Work    |                   |
|   |                   | Plan"                    |                   |
|   | Checklist for     |                          |                   |
|   | Evaluating        |                          |                   |
|   | Contractor's      |                          |                   |
|   | R                 |                          |                   |
|   | esponse/WorkPlan, |                          |                   |
|   | Technical         |                          |                   |
|   | Approach and      |                          |                   |
|   | Staffing Plan     |                          |                   |
|   |                   |                          |                   |
|   | Sample            |                          |                   |
|   | Contractor's Work |                          |                   |
|   | Plan              |                          |                   |
+---+-------------------+--------------------------+-------------------+
| 1 | Guidance on       | Chapter 6, "Financial    | [http://ep        |
| 1 | performing        | Monitoring (Invoice      | awww.epa.gov/oami |
| \ | financial         | Review Process)" of EPA  | ntra/policy/cmm.p |
| . | monitoring        | Contracting Officer's    | df](http://epawww |
|   |                   | Representative (COR)     | .epa.gov/oamintra |
|   |                   | Training Text.           | /policy/cmm.pdf ) |
+---+-------------------+--------------------------+-------------------+
| 1 | Guidance on       | Invoice Review Guide     | [                 |
| 2 | reviewing         | (click on contract       | http://intranet.e |
| \ | invoices          | financial information)   | pa.gov/oamintra]( |
| . |                   |                          | http://intranet.e |
|   |                   | Chapter 11 of the        | pa.gov/oamintra ) |
|   |                   | Contracts Management     | by clicking on    |
|   |                   | Manual also covers       | contract          |
|   |                   | procedures for invoice   | financial         |
|   |                   | review.                  | information.      |
+---+-------------------+--------------------------+-------------------+
| 1 | Guidance on       | Seven Steps to           | <http:/           |
| 3 | Performance-based | Performance-Based        | /www.acqnet.gov/c |
| \ | Services          | Services Acquisition, an | omp/seven_steps/i |
| . | Acquisition       | Interagency-Industry     | ntroduction.html> |
|   |                   | Partnership in           |                   |
|   |                   | Performance, 2006        |                   |
+---+-------------------+--------------------------+-------------------+
| 1 | Guidance on       | EPA Contracting          | <http://epaww     |
| 4 | contract closeout | Officer's Representative | w.epa.gov/oamintr |
| \ |                   | (COR) Training Text,     | a/policy/cmm.pdf> |
| . |                   | Chapter 7 "Establishing  |                   |
|   |                   | Project Files"           |                   |
+---+-------------------+--------------------------+-------------------+
| 1 | Guidance on COR   | EPA Contracting          | <http://epaww     |
| 5 | File management   | Officer's Representative | w.epa.gov/oamintr |
| \ |                   | (COR) Training Text,     | a/policy/cmm.pdf> |
| . |                   | Chapter 7 "Establishing  |                   |
|   |                   | Project Files"           | <http://          |
|   |                   |                          | www.epa.gov/recor |
|   |                   | Handling Sensitive       | ds/policy/schedul |
|   |                   | Information of EPA,      | e/sched/202.htm>. |
|   |                   | Series 202, Contract     |                   |
|   |                   | Management Records       |                   |
+---+-------------------+--------------------------+-------------------+

###### Interface Requirements

The purpose of this appendix is to provide general guidelines for
collecting the appropriate information from contractors to ensure
seamless integration of project data and promote efficient monitoring of
the overall project. Frequently, data is needed by support contractors
to enable the Project Manager to assess real-time status accurately
against overall performance, schedule and cost objectives. In addition,
the interface points among the different parties, both government and
contractor, need to be fully delineated to ensure that each party
understands its specific role and responsibility in data management and
reporting and that the information can be efficiently captured utilizing
the project's established management processes and tools. As a result it
is essential that these data, reporting, and interface requirements be
well defined early in the process in order to ensure that they are fully
delineated in the awarded contract, WAs, DOs, and/or TOs. In addition,
the frequency, format and mode of submission for the different reporting
requirements also needs to be defined within the contract or WA, DO, or
TO.

The following series of questions is provided to help determine the
data, reporting and interface requirements that may be required for a
specific project. Requirements may vary significantly depending on the
scope, complexity, size, duration and of the project and type of
contracts awarded. Overall the questions are designed to help refine
what kind of information will be needed to ensure effective management
of the project and the correlating responsibilities of the contractor.

-   Will the contractor be required to provide regular status reports?

```{=html}
<!-- -->
```
-   What level of detail is needed regarding technical, cost, and
    performance on the status reports?

-   How frequent should the reports and/or data be submitted?

-   Will the contractor be required to provide earned value management
    data?

-   What kind of format will the contractor need to provide status
    reports and/or data?

-   Will the contractor be required to feed reporting data into an
    automated process or tool?

-   If so, what tools (if any) will the contractor be required to
    interface with or provide data to support?

-   What is acceptable data submission formats?

-   What data elements must be provided?

-   What is the frequency for submission?

-   Is real-time data required?

```{=html}
<!-- -->
```
-   What data are needed for EPA to access contractor performance in the
    manner described by the QASP? How and when should this data be
    submitted?

-   Will the contractor be required to identify and track risks and
    issues and provide updates to EPA? If so, in what format and at what
    frequency?

-   What are the contractor's responsibilities related to development
    and updating of the master schedule?

```{=html}
<!-- -->
```
-   Will the contractor be required to provide schedule information in a
    specific format, software?

-   Will the contractor be required to follow a defined WBS?

[^1]: A Guide to the Project Management Body of Knowledge (PMBOK Guide)
    Third Edition 2004 (Chapter 12 -- Project Procurement Management)

[^2]:
    > Note: For the purpose of this procedure, the term "Project
    > Officer" is used to describe the party responsible for activities
    > that may occur prior to a COR delegation being established. Once
    > COR delegation has been established, the term "COR" will be used
    > in place of "Project Officer".

[^3]:
    > Note: CO appointment of a COR does not grant authority to enter
    > into contractual agreements or amendments. CORs may perform only
    > those functions delegated to them, and must not take any action
    > reserved for the CO.

[^4]: Note: CO appointment of a COR does not grant authority to enter
    into contractual agreements or amendments. CORs may perform only
    those functions delegated to them, and must not take any action
    reserved for the CO.

[^5]: Note: For the purpose of this procedure, the term "Project
    Officer" is used to describe the party responsible for activities
    that may occur prior to a COR delegation being established. Once COR
    delegation has been established, the term "COR" will be used in
    place of "Project Officer".