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Home My WebLink AboutContract 33784 CITY SEORETARYQ CONTRACT NO TIRE STATE OF TEXAS Contract Number 582-7-72674 COUNTY OF TRAVIS AGREEMENT INTERAGENCYANTERLOCAL CATEGORY I JUL 2 1 2006 BioWatch Monitoring Activities ENVIRONMENTAL MGMT.DEPT. Name of Project FOIST WORTH THIS AGREEMENT is entered into by and between: the Texas Commission on Environmental Quality, an agency of the State of Texas (hereinafter TCEQ or `Commission'), and City.of Fort Worth , an agency or political subdivision of the State of Texas (hereinafter PERFORMING PARTY), pursuant to the authority granted and in compliance with applicable provisions of the Interagency Cooperation Act, TEX. GOVT.CODE ch. 771 and Intergovernmental Cooperation Act, TEx. GOVT CODE ch. 791. TCEQ and PERFORMING PARTY, in consideration of the mutual covenants hereinafter set forth, agree as follows: ARTICLE 1. WORK See attached Scope of Work. ARTICLE 2. PRICING AND PAYMENT See attached Contract Costs Budget, ARTICLE 3. MAXIMUM AMOUNT OF CONTRACT The total amount of this Contract shall not exceed: Five Hundred Twenty Nine Thousand Dollars and no cents $529,000.00 (Written amount) (Numerical amount) unless this Contract is amended in writing. It is expressly understood and agreed by the parties hereto that the performance on the part of the TCEQ of its obligations hereunder is contingent upon and subject to actual receipt by the TCEQ of sufficient and adequate funds from the sources contemplated by this Contract, ARTICLE 4. TERM OF CONTRACT This Contract shall begin on 9-1, 2006 and shall terminate on full performance, which is due on 8-31, 2007, unless terminated early or extended in accordance with the terms of the Contract. ARTICLE 5. CERTIFICATIONS 1. THE UNDERSIGNED CONTRACTING PARTIES do hereby certify that(1) the services specified above are necessary and essential for activities that are properly within the statutory functions and programs of the parties, Contract Number 682-7-72674 15age T of 60 (2) the proposed arrangements serve the interest of efficient and economical administration of State Government, and (3)the services, supplies or materials contracted for are not required by Section 21 of Article 16 of the Constitution of Texas to be supplied under contract given to the lowest responsible bidder. 2. The TCEQ further certifies that it has the authority to contract for the above services by authority granted in the Current Appropriations Act, and TEx.WATER CODE§5.229. 3. PERFORMING PARTY further certifies that it has authority to perform the services contracted for herein. ARTICLE 6. CONTRACT DOCUMENTS The Contract Documents which comprise the entire Contract between TCEQ and PERFORMING PARTY concerning the Work consist of the following: 1. Scope of Work 2- Project Representatives/Records Location 3. Additional exhibits titled: Exhibit A -HUB/MWBE Progress Assessment Report Forms Exhibit B- Certification Regarding Debarment, Suspension&Other Matters Exhibit C-Release of Claims Form Exhibit D-Certification Regarding Lobbying Exhibit E- Cost and Price Analysis Exhibit F- Operations Security Procedures for the Bio-Watch Program Exhibit G-Department of Homeland Security Management Directive 11042.1 Exhibit H- Department of Homeland Security Non-Disclosure Agreement(Form 110M 00-6) Exhibit I—TCF- Financial Status Report(Form 269a) 4. One of the following (whichever is checked): X Contracts Costs Budget or ❑ Schedule of Fixed Rates (it neither is checked, or both are checked, this Contract is void) 5. Special Terms and Conditions 6. General Terms and Conditions One of the following (whichever is checked): X Federal Conditions or ❑ DELIBERATELY OMITTED (Federal Conditions are not incorporated into this Contract) (If neither is checked, or both are checked, this Contract is void) There are no Contract Documents other than those listed above in this Article. The Contract Documents may be amended, modified or supplemented only as provided in the General Conditions. Contract Number 582-7-72674 Page 2 of 60 The undersigned bind themselves to the faithful performance of this Contract: TCEQ: PERFORMING PARTY: Texas ommission on E Dn ntal Quality City of fort Worth By. K � By: Authorized Signature Authorized Signature Mark R. Vickery," P.G. 1-166Y ---- Printed Name Printed Name nn Title: Deputy Executive Director Title: 7 . 1i EGA Date: -7 - t tJ- o� ' Date: Contract Number 582-7-72674 APPROVED AS TO FORM & LEGALITY: B, b/UU,Xg, A Title: Asst. City Attorney ATTEST: By Printed Name: Marty Hendrix Title: City Secretary Date�l Aw Dwi- m & C ojai6z I_�1wLU-0 MY �1 %; Scope of Work A. Facts/Purpose 1. The Texas Commission on Environmental Quality(TCEQ)has a need to contract for the service to operate and maintain sixteen(16)whole-air samplers in the Fort Worth, Texas area. 2. In general,information about the BioWatch program operations, including locations of sites, cities, etc, is considered to be "For Official Use Only", or Sensitive But Unclassified (SBU) information. The PERFORMING PARTY will protect such information in accordance with DHS Management Directive 11042.1 and the DHS BioWatch Program Security Classification Guide (copies of both documents are attached). As such, the PERFORMING PARTY cannot publish reports or disseminate data on this program for general public consumption, unless otherwise approved in writing by theTCEQ Program Manager or the DHS BioWatch Program Manager. All PERFORMING PARTY personnel who may have access to SBU or FOUO information will be required to sign the DHS Non-Disclosure Agreement form(DHS Form 11000-6(08-04)) (copy attached). 3. The proposed work must be performed in compliance with all applicable federal and state statutes, regulations, executive orders, Office of Management and Budget(OMB)circulars, and the terms and conditions presented herein. 4. The proposed work must also be performed in accordance with currently applicable Standard Operating procedures (SOP)developed by the U.S. Environmental Protection Agency(EPA) (reference follows), the TCEQ, and the respective instrument manufacturers. (Ref: Compendium of Standard Operating Procedures-MoWatch Field Monitoring Program:Ambient Air Sampling Using a Portable Sampling Unit version 2 (PSU-2);Revision No:1.1;Date Issued:June 30, 2005) In the event of conflict in procedural instructions, instructions approved by the Department of Homeland Security shall prevail. 5. Funds provided under this contract may only be used for the purposes set forth and relating to the BioWatch Program as described below. B. TCEQ Responsibilities TCEQ staff will be responsible for providing: 1. All computer hardware and software required to perform this service. 2. Specific equipment and supplies necessary to perform this service, unless otherwise noted under Section C (PERFORMING PARTY Responsibilities)below. C. PERFORMING PARTY Responsibilities Contract Number 582-7-72674 Page 4 of 60 The PERFORMING PARTY shall secure sensitive information and shall only transfer such information through a secure means such as the BioWatch portal. The PERFORMING PARTY shall provide: 1. Competent personnel who, if a new hire or have not previously held a position in the BioWatch Program, must meet the following requirements: a. Have U.S. citizenship; b. Have successfully passed a background or suitability investigation consistent with specific guidance from DHS or the local Federal Bureau of Investigation(FBI); c. Have no criminal record of felonies; and, d. Have passed an"Initial Display of Analytical Capability(IDAC)" if involved in the operation of a collector(form provided by TCEQ). Failure to comply with the above listed personnel requirements may be considered a material failure to comply with the Contract Terms. 2. Cell phones or pagers to all appropriate BioWatch personnel at all times during assigned working hours. 3, Vehicles necessary to provide for all on-site services and the maintenance of an accurate mileage record reflecting all significant BioWatch-related activities. 4. All minor equipment or supply components considered either durable(e.g., hinges, locks) or consumableldisposable(e.g., fuses, wiring, wipes, gloves)that are considered normally available at a local hardware or electronics store. 5. Purchases of equipment having a unit cost exceeding$5,000 are subject to review and prior approval of TCEQ. D. Qualifications and Experience Site operators shall have sufficient hands-on experience with the operation and maintenance of ambient-air particulate samplers/collectors to pass the IDAC as required in Article C.I.d. listed above. E. Description and Schedule of Deliverables All deliverables must be in accordance with currently applicable guidelines including the EPA's BioWatch Quality Assurance Project Plan(QAPP) (6117105; Revision 1.1), the EPA's Compendium of Standard Operating Procedures (SOP)referenced in Article A.,3., listed above, and any other guidance mutually-agreed upon with the TCEQ, DHS, EPA, and the Los Alamos National Laboratories(LANL), as applicable. Contract Number 582-7-72674 Page 5 of 60 The PERFORMING PARTY shall provide: 1. The collection of air monitoring samples from each active collector, seven days a week, including, but not limited to, operations, maintenance, quality assurance/quality control(QA/QC), data review, and reporting on these activities in accordance with currently applicable SOP'S. 2. Delivery of the collected daily samples to the designated analytical laboratory by the laboratory's requested deadline and no later than three(3)hours following the collection of the last sample from the routine daily sampling run. 3. Routine filter-holder cleaning, assembly, and maintenance as assigned. 4. Assurance that each sample meets minimum Measurement Quality Objectives(MQO)specified in the referenced EPA QAPP including meeting the sampling interval restriction of 24 hours + 3 hours. 5. Exclusive utilization of the information technology (IT)system(hardware and software) as provided by DHS/EPA/LANL that includes assurance of the daily completion of all appropriate paperwork and the efficient operation of the assigned Sample Management System(SMS)including: a. The required maintenance of sample integrity and chain of-custody; b. The creation of biweekly electronic backup files on securely-stored removable media; and, c. The maintenance of each full year's data records in a secure Iocation for one full year following December 31'of the year in which the data was generated and, after which, will be destroyed in accordance with the currently applicable EPA QAPP, 6. A record and concatenation(linking)of the unique identification(ID)numbers of each collector with site location information and provide this information as well as any updating or revisions of such information to the TCEQ within three(3)business days of such changes(not to be confused with the 24-hour reporting deadlines applying to Item 8., listed below). 7. The arrangement for new collector-site setup(s)or the relocation of existing collector(s) including, but not limited to,property agreements, building contractor negotiations, electrical power, security (fencing), and site-access requirements. 8. Performing Party shall notify TCEQ by telephone, as soon as possible, and no later than 24 hours following, any significant exceptions to the normal sample-collection routine. TCEQ shall provide a list of contact telephone numbers. These exceptions include,but are not limited to: a. Collector failures or downtimes; b. Site start-up or closure (whether seasonal or permanent, planned or sudden); c. Collector relocations(note that consensus approval must be received from the TCEQ and DHS/EPA/LANL, as applicable, for any relocation of permanent BioWatch-network collectors); d. Special-event monitoring (i.e., activation of spare collectors) (note that costs associated with special-event monitoring may be under specified budget limitations and, therefore, not reimbursable under this contract without special approval); Contract Number 582-7-72674 Page 6 of 60 e. Details regarding any breach of security including tampering, break-in, theft, defacement, or other suspicious activity, or, L Any deviation from normal operations or the approved and currently applicable SOP. 9. A complete list of persons authorized to access the SMS with a brief description of their qualifications as described in Article D. listed above. 10. Appropriate training of personnel assigned to BioWatch operations and the maintenance of a pool of appropriately-trained personnel and participation in the annual National BioWatch Workshop. 11. The designation and assignment of persons experienced with BioWatch operations to be available via telephone or pager on a 24-hour, 7-day per week, 365-day per year basis. 12. Written quarterly reports submitted to TCEQ electronically within 15 days following the end of each quarter and in accordance with established security procedures that include the following; a. Identification the primary point of contact(POC)and all staff conducting operations with notation of any changes from previous reports(e.g., new hires or turnover); b. QA information as specified in the currently applicable QAPP; c. Collector inventory details including number of operable and non-operable collectors in reserve (i.e., spares), details relating to any malfunctions or lost sampling time due to human error and the measures taken to address such concerns; and, d. Information on the number of filter holders in rotation and their attrition rate. 13. Invoicing on a quarterly basis accompanied by a detailed breakdown of expenditures including, but not limited to: a. Personnel (FTE)time specifying persons billing under this contract by name, position, billing rate, weekly billing period, weekly hours billed, and a brief description of the person's duties fulfilled or accomplishments achieved.; b. Fringe benefits; c. Travel outside of normal work routine including mileage/transportation(and specifying persons involved and reason for travel); d. Training; e. Equipment; f. Supplies; g. Vehicle purchases; It. Operational vehicular costs including mileage/transportation; Contract Number 582-7-72674 Page 7 of 60 i. Collector re-siting; and, j. Other relevant expenses. Note that the use of BioWatch funds for construction activities is not allowable. Costs associated with the set up of new or relocated collector sites or improvements to existing collector sites, subject to prior written approval of TCEQ, are not generally considered construction activities. 14. Annual inventory of any equipment purchased having a cost of$5,000 or more per unit, due on September 30 following each year of the Contract. The inventory shall include a description of the item, serial number, and purchase amount. See Article 7(e) of the Special Terms and Conditions. 15. Maintain a level of inter-governmental exchange and situational awareness through substantial participation in local BioWatch planning and training activities including, but not limited to, BioWatch Advisory Committee (BAC)meetings, local and regional exercises,routine communications with TCEQ, EPA, and DHS as requested or necessitated by unforeseen events. F. Acceptance Criteria If, during any quarter, a 90% efficiency in falter delivery to the laboratory is not met(excluding missed deliveries due to acts of God), TCEQ may take actions consistent with Section 15 of the General Terms and Conditions. Contract Number 582-7-72674 Page 8 of 60 PROJECT REPRESENTATIVES RECORDS LOCATION ARTICLE 1. PERFORMING PARTY The term`PERFORMING PARTY"as used in this Project Representatives/Records Location means either PERFORMING PARTY or CONTRACTOR, as applicable. ARTICLE 2. TCEQ PROJECT REPRESENTATIVE The individual named below is the TCEQ Project Representative, who is authorized to give and receive communications and directions on behalf of the TCEQ. All communications including all payment requests must be addressed to the TCEQ Project Representative or his or her designee. Dan McClellan Telephone No.: 512/239-6306 (Name) Air Monitoring Coordinator for Homeland Security 165Facsimile No.: 5121239-1605 (Title) (Mail Code) Texas Commission on Environmental Quality P.O. Box 13087 Austin,Texas 78711-3087 ARTICLE 3. PERFORMING PARTY PROJECT REPRESENTATIVE The individual named below is the PERFORMING PARTY Project Representative, who is authorized to give and receive communications and directions on behalf of the PERFORMING PARTY. All communications to the PERFORMING PARTY will be addressed to the PERFORMING PARTY Project Representative or his or her designee. T. C. Micheal Telephone No.: 817/871--5455 (Name) Manager, Air Quali!y Program Facsimile No.: 817/871-5464 (Title) 5000 MLK Freeway (Mailing Address) Fort Worth TX 76119 (City) (Slate) 1(zip Code) ARTICLE 4. SUBMITTAL OF PAYMENT REQUESTS Payment requests must be submitted to (whichever is checked): X the TCEQ Project Representative. t, the TCEQ Disbursements Section. (f neither box is checked,payment requests must be submitted to the TCEQ Disbursements Section). ARTICLE 5. DESIGNATED LOCATION FOR RECORDS ACCESS AND REVIEW The PERFORMING PARTY designates the physical location indicated below for record access and review pursuant to any applicable provision of this contract: (Location) (Mailing Address) (City) (State) (Zip Code) Contract Number 582-7-72674 Page 9 of 60 Contract Costs Budget PERFORMING PARTY shall submit its detailed budget to TCEQ, in the format specified below, within thirty (30)days prior to the beginning of the Term of this Contract. The total budget amount shall not exceed the Maximum Amount of Contract listed in Article 1 of the Contract. Upon approval by TCEQ, the budget shall be incorporated into this contract as the Contract Costs Budget. No expenditures by PERFORMING PARTY shall be deemed to be in accordance with this contract until the Contract Costs Budget has been approved in writing by TCEQ. ARTICLE 1. AUTHORIZED EXPENSE BUDGET 1.1. The authorized expenses, acquisitions, or expenditures under this Contract are as follows: Budget Category Budget Personnel/Salary $ .00 Fringe Benefitsl .00 Travel .00 Supplies .00 Equipment .00 Contractual .00 Other .00 Other-Third Party In-kind $ 0 Total Direct Costs $00 Authorized Indirect Costs2 0 TOTAL COSTS $00 Grantee Cost Share 00 TCEQ Share $00 1. Fringe benefits shall be reimbursed at actual costs and shall not exceed_% of total direct personnel/salary costs for the term of the Contract without written approval of the TCEQ Project Representative. 2. The indirect rate currently authorized(far the purpose of calculating amounts to be reimbursed by the TCEQ)shall not exceed"±0 of salaries (distribution base)for the Term of the Contract, subject to the provisions outlined in the Indirect Cost Rate section of this Article. 1.2. The PERFORMING PARTY is responsible, throughout the term of this Contract, for tracking and ensuring that expenditure amounts under this Contract remain within the various budgeted cost categories set forth in this Article. If, after taking into consideration the requirements set forth in this Article, the PERFORMING PARTY determines that changes or adjustments to any of the current cost category Contract Number 582-7-72674 Page 10 of 60 amounts are likely to be necessary, the PERFORMING PARTY shall submit a Budget Revision Form to the TCEQ for review and approval. 1.3. Indirect Cost Rate: The Commission and the PERFORMING PARTY must choose one of the following options relating to indirect rate, and identify that option clearly in the contract budget. If no option is selected, indirect rate will NOT be reimbursed. Option One: 1.3.1. The PERFORMING PARTY shall comply with OMB Circular A-87 and the Uniform Grant Management Standards (UGMS)relating to Indirect Cost Rates. 1.3.2. The PERFORMING PARTY shall maintain all indirect rate records for the Commission's inspection or submit records as per the agency's request. 1.3.3. PERFORMING PARTY agrees to utilize the provisional rate as established below and agrees to conduct an indirect rate audit. A final indirect rate will be established based on the actual allowable costs, as provided in UGMS, for the period as established by an audit conducted by a currently licensed independent certified public accountant and submitted to the PERFORMING PARTY and the Commission. This indirect rate audit may be conducted at the same time as any other audit required of the PERFORMING PARTY. The cost of the indirect rate audit will be accounted for within the indirect rate, and not directly charged to the Commission. If the indirect rate audit is not provided to the Commission within the earlier of 30 days after receipt of the auditor's report or nine months after the end of the audit period, Option Two (below)will apply. (i)In accordance with OMB Circular A-87 and the UGMS, when the PERFORMING PARTY has a federal cognizant agency or a state coordinating agency, the PERFORMING PARTY must submit the indirect rate approved by the federal cognizant agency or state coordinating agency within the past 24 months as the provisional indirect rate. (ii)Alternatively, if the PERFORMING PARTY does not have an assigned federal cognizant agency or a designated state coordinating agency or if no rate is approved by the designated oversight agency, the Commission and the PERFORMING PARTY may negotiate a provisional indirect rate in accordance with UGMS. (iii)In the event,prior to the termination date of this Contract, an audited indirect rate which is different from the initial provisional indirect rate set forth in this section is accepted by Commission,the Commission and PERFORMING PARTY may negotiate a new contract budget and incorporate such into this Contract by way of a contract change. (iv)The provisional rate will be included in the Authorized Expense Budget and shall remain in effect subject to determination of a final indirect rate which is based on an audit of the contract period, performed by a currently licensed independent certified public accountant, which specifically examines and reports the indirect rate for the PERFORMING PARTY's accounting period(s)covered under this Contract. (v)The PERFORMING PARTY agrees to reimburse the Commission any overpayments received as a result of this provisional rate being higher than the approved final audited indirect rate for the period under consideration. Nothing in this section, or the results of any indirect cost audit or final indirect rate approval, shall cause the Commission to owe the PERFORMING PARTY more than the "Total Obligation Amount" or result in a reduction in the deliverables set forth in the Scope of Work. If the final indirect rate is higher than the provisional rate, an adjustment may be made in a future year contract. Contract Number 582-7-72674 Page 11 of 60 Option Two: 1.3.4. Indirect Cost Rates. The PERFORMING PARTY shall comply with OMB Circular A-87 and the Uniform Grant Management Standards(UGMS)relating to Indirect Cost Rates. 1.3.5. The PERFORMING PARTY shall maintain all indirect rate records for the Commission's inspection or submit records as per the agency's request. 1.3.6. PERFORMING PARTY agrees to an indirect rate ofd or less of the direct salary and wage costs of providing the service, in accordance with UGMS Part II, Attachment E, Paragraph E.2.d. No audit of this rate will be required by the Commission. Option Three: 1.3.7. PERFORMING PARTY agrees to direct bill all costs and not require indirect cost for the contract. 1.4. When the PERFORMING PARTY applies for final payment,the PERFORMING PARTY will certify on a written form provided by TCEQ that the PERFORMING PARTY has not engaged in the lobbying of the Federal Government or in litigation against the United States unless authorized under existing law. ARTICLE 2. SUBMITTAL OF PAYMENT REQUESTS Payment requests must be submitted at the interval specified below (whichever is checked; if none is checked, payment requests must be submitted monthly; if more than one is checked, invoices must be submitted when both requirements are met): ❑ monthly ❑upon completion of deliverables specified herein(see ). ❑upon completion of all Work X Other(specify) Quarterly to be received within 3Q da s after the end of the quarter. Included with the invoice which shall be provided in a format acceptable to the TCEQ, will be the FSR(Financial Status Report) and the PAR form. Contract Number 582-7-72674 Page 12 of 60 SPECIAL TERMS AND CONDITIONS 1. These conditions add to, or in the case of conflicts, supersede and take precedence over the general conditions set forth in this Contract. 2. The contract period shall be effect from contract execution through August 31, 2007. TCEQ reserves the option to renew, by written agreement of the parties, the contract for two (2)additional one (1)year periods. 3. Any information provided to, gathered or produced by the PERFORMING PARTY in connection with providing services under this contract constitutes confidential information under Texas Government Code§§418.176-77 and 418.181, and the PERFORMING PARTY shall not release such information without prior written authorization of the TCEQ. Confidential information includes, but is not limited to, the areas covered, the number of areas covered, the total number of monitors, the numbers of monitors in any given areas, the specific location of monitors, the types of monitors, the identity of employees involved in the project, and the nature of the parameters monitored. 4. Force Majeure. _If either party is delayed in carrying out its obligations due to acts of God, labor stoppages, or other similar irresistible forces, the party shall give notice and full particulars of such delay supported by sufficient evidence, in writing,to the other party within a reasonable time after occurrence of the delay. The time of performance by the party shall be extended for such a period of time as is reasonably necessary to remedy the effects thereof. Force majeure does not include ordinary delays that are common to the industry or location. Force majeure does not include an event of the sort that this network is designed to detect. 5. PERFORMING PARTY agrees that the contract award is subject to the following requirements in addition to other requirements listed in this Contract. The PERFORMING PARTY will ensure that these requirements are included in any subcontract it awards. a. TITLE VI OF THE CIVIL RIGHTS ACT OF 1964. As amended,provides that no person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, or be denied the benefits of, or be subject to discrimination under any program or activity receiving federal financial assistance. Title VI also extends protection to persons with limited English proficiency. (42 U.S.C. 2000d et seq.) b. TITLE IX OF THE EDUCATION AMENDMENTS OF 1972. Provides that no person in the United States shall, on the basis of sex, be excluded from participation in, or be denied benefits of, or be subject to discrimination under any education program or activity receiving federal financial assistance. (20 U.S.C. 1681 etseq.) C. THE AGE DISCRIMINA'T'ION ACT OF 1975. Provides that no person in the United States shall, on the basis of age, be excluded from participation in, or be denied benefits of, or be subject to discrimination under any program or activity receiving federal financial assistance. (42 U.S.C. 6101 et seq-) d. SECTION 504 OF THE REHABIITATION ACT OF 1973. Provides that no other qualified individual with a disability in the United States, shall, solely by reason of his/her disability, be excluded from participation in, or be denied benefits of, or be subject to discrimination under any program or activity receiving federal financial assistance. (29 U.S.C. 794) e. THE AMERICANS WITH DISABILITIES ACT OF 1990("ADA"). Prohibits discrimination on the basis of disability in employment (Title 1), state and local government services (Title II), places of public accommodation and commercial facilities (Title If1). (42 U.S.C. 12101-12213) Contract Number 582-7-72674 Page 13 of 60 6. PERFORMING PARTY agrees to comply with the following requirements in addition to other requirements listed in this Contract. The PERFORMING PARTY will ensure that these requirements are included in any subcontract it awards. a. DRUG-FREE WORKPLACE ACT. Requires the recipient to publish a statement about its drug- free workplace program and give a copy of the statement to each employee(including consultants and temporary personnel)who will be involved in federally funded activities at any site where these activities will be carried out. Also, place(s) where work is being performed(i.e., street address, city, state, and zip code)must be maintained on file. The PERFORMING PARTY must notify the TCEQ Project Manager of any employee convicted of a violation of a criminal drug statute that occurs in the workplace. (41 U.S.C. 701 et seq.) b. FEDERAL DEBT STATUS. The PERFORMING PARTY may not be delinquent in the repayment of any federal debt. Examples of relevant debt include delinquent payroll or other taxes, audit disallowances, and benefit overpayments. (OMB Circular A-129) C. HOTEL AND MOTEL SAFETY ACT. The PERFORMING PARTY agrees to ensure that all conference, meeting, convention or training space funded in whole or in part with federal funds, complies with the Hotel and Motel Fire Safety Act of 1990. 7. Equipment. a. Subject to the obligations and conditions set forth in this Contract, title to al]equipment acquired under this Contract shall vest, upon acquisition or construction, in the PERFORMING PARTY. b. The PERFORMING PARTY agrees to conduct physical property inventories, to maintain property records and necessary control procedures, and to provide adequate maintenance with respect to all equipment acquired under this Contract. C. The PERFORMING PARTY may develop and use its own property management system which must conform with all applicable State and local laws, rules and regulations. If an adequate system for accounting for personal property owned by the PERFORMING PARTY or its subcontractor is not in place or currently in use, the Property Accounting System Manual issued by the State of Texas General Services Comtnission shall be used as a guide for establishing such a system. d. Property records must be maintained that include a description of the property, a serial number or" other identification number, the source of property, who holds title, the acquisition date, and the cost of the property, percentage of federal participation in the cost of the property, the location, use and condition of the property, and any ultimate disposition data including the date of disposal and sale price of the property. e. A physical inventory of all equipment acquired or replaced under this Contract having an initial purchase price of Five Thousand Dollars ($5,000) or more, shall be conducted annually and the results of such inventories reconciled with the appropriate property records. Property control procedures utilized by the PERFORMING PARTY shall include adequate safeguards to prevent loss, damage, or theft of the acquired property. Any loss, damage or theft shall be investigated. The PERFORMING PARTY agrees to develop and carry out a program of property maintenance as necessary to keep both originally acquired and any replaced property in good condition, and to utilize proper sales procedures to ensure the highest possible return, in the event such equipment is sold. f. All equipment acquired or replaced under this Contract shall be used for the duration of its normally expected useful life to support the purposes of this Contract whether or not the original projects or programs continue to be supported by federal or state funds. g. Subject to the provisions of this Article, if no longer needed for the support of the authorized Contract Number 582-7-72674 Page 14 of 60 projects or programs referred to in the Scope of Work, equipment acquired under this Contract, whether original or replacement, may be used in support of other activities currently or previously supported by the TCEQ or the Federal Government, or alternatively, may be made available for use on other projects or programs, providing such other use will not interfere with the work on those projects or programs for which such equipment was originally acquired. h. The PERFORMING PARTY may, for the purpose of replacing various equipment utilized under this Contract, either trade in or sell the equipment or property referred to in paragraph 7(a) and use the proceeds of such trade-in or sale to offset the cost of acquiring needed replacement property. i. Items of equipment with a current per-unit fair market value of less than$1,000 may be retained, sold or otherwise disposed of with no further obligation to the awarding agency. Methods used to determine per-unit fair market value must be documented, kept on file and made available to the awarding agency upon request. Items of equipment with a current per-unit market value of$5,000 or more may be retained or sold and the awarding agency shall have a right to an amount calculated by multiplying the current market value or proceeds from sale by the awarding agency's share of the equipment. Methods used to determine per-unit fair market value must be documented, kept on file and made available to the awarding agency upon request. j. If prior to the termination date of this Contract, the PERFORMING PARTY or its subcontractors or subgrantees determine that any equipment acquired with funds provided as a result of this Contract is no longer needed for support of the programs or projects referred to in the Scope of Work, the TCEQ may require the PERFORMING PARTY to transfer title and possession to such equipment to the TCEQ or a third party named by the TCEQ. k. The PERFORMING PARTY agrees that if a determination is made within six years of the initiation date of this contract that any equipment acquired with funds provided as a result of this Contract is no longer needed for support of the programs or projects referred to in paragraph 4.15, the TCEQ has a right to require the transfer of any equipment having a fair market, per unit value of more than five thousand dollars($5,000) to the TCEQ or a third party named by the TCEQ. 8. Administrative and Cost Principles. Performing Party agrees that the following Administrative and Cost Principles, as applicable,apply to this Contract: a. The Uniform Grant and Contract Management Act(UGCMA), Texas Government Code, Section 783.001 et seq.,and the Uniform Grant Management Standards (UGMS)for State Agencies b. OMB Circular A-87 "Cost Principals for State, Local, and Indian Tribal Governments." c. OMB Circular A-102 "Grants and Cooperative Agreements with State and Local Governments" d. OMB Circular A-133 "Audits of States, Local Governments, and Non-Profit Organizations" Aft _7 Contract Number 582-7-72674 Page 15 of 60 GENERAL CONDITIONS ARTICLE 1. WORK PERFORMING PARTY agrees to provide the work described in and required by this Contract. In this Contract the term"Work"means the entire completed undertaking,or the various separately identifiable parts thereof. Work includes all goods, labor, services, materials and equipment provided in fulfillment of this Contract by any person or entity including PERFORMING PARTY's employees, agents, assigns, suppliers, and subcontractors. ARTICLE 2. AMENDMENT This Contract may be amended only by written agreement signed by both parties. ARTICLE 3. INSURANCE PERFORMING PARTY will require its contractors and their subcontractors to maintain insurance coverage sufficient to protect TCEQ against any and all claims that may arise out of or resulting from their performance of the Work and the other obligations undertaken in this Contract, and to maintain Workers Compensation Insurance which complies with Texas statutory requirements. ARTICLE 4. ACCEPTANCE CORRECTIONS, WAIVER, WARRANTY, QUALITY 1. Acceptance. All Work must be complete and satisfactory in the reasonable judgment of the TCEQ. 2. Corrections. PERFORMING PARTY will correct errors, omissions, and deficiencies at no charge to the TCEQ. 3. Waiver. No waiver,whether expressed or implied,shall be construed as a continuing waiver unless it is specifically described in writing as a continuing waiver. 4. Warranty. All warranties implied by law are applicable to the Work. Nothing in this Contract nor any action of the TCEQ will act as a disclaimer of any warranty. All warranties are for a period of ONE YEAR from the date of acceptance unless a different period is stated in this Contract or in a written warranty. PERFORMING PARTY expressly warrants that the TCEQ will receive the benefits of third-party warranties(whether manufacturer or supplier) applicable to the Work. 5. Quality. All materials and equipment shall be of good quality and new,except as otherwise provided in the Contract. If required by TCEQ, PERFORMING PARTY will furnish satisfactory evidence (which may include reports of required tests) as to the kind and quality of materials and equipment. All materials and equipment shall be applied, installed,connected,erected,used,cleaned and conditioned in accordance with instructions of the applicable Supplier, except as otherwise provided in the Contract. ARTICLE S. PAYMENT 1. Payment Methods. TCEQ will reimburse PERFORMING PARTY's allowable costs of providing Work which is satisfactory, accepted by TCEQ, and in conformity with all requirements of this Contract and applicable law. 2. Reimbursement of Actual Cost as Incurred. This Contract contains a Contract Costs Budget indicating expected contract-related costs for the required Work. PERFORMING PARTY will be paid on the basis of reimbursement of actual costs. At the intervals specified in the Contract Costs Budget,PERFORMING PANTY may submit a request for reimbursement of the actual costs it has incurred. All such requests must be accompanied by supporting documentation as required by this Contract. PERFORMING PARTY agrees that the TCEQ's obligation to reimburse the PERFORMING PARTY's costs will remain within the Contract Costs Budget and that cumulative transfers among the budgeted direct cost categories will not exceed ten percent(10%) of the total reflected therein. a. If PERFORMING PARTY is a state agency as defined in GOVT CODE,Chapter 791,then all reimbursement requests thrust be submitted to the TCEQ Project Representative on a State of Texas Interagency Transaction Voucher. All requests must be accompanied by a summary report or invoice showing the budgeted cost Contract Number 582-7-72674 Page 16 of 60 categories for the reported expenditures and indicating the amount remaining in each category. b. If PERFORMING PARTY is not a state agency, then all reimbursement requests must be submitted to the TCEQ Project Representative with a completed TCEQ Financial Status Report(TCEQ Form 269a) and (as applicable)TCEQ Supplemental Financial Status Report Forms 269a-1,269a-3,and 269a-4. A final Financial Status Report must be submitted no later than 90 days following the termination date of this Contract. 3. Tlmely Payment Requests Required. TCEQ may refuse to pay any request submitted more than 90 days after the termination of this Contract. ARTICLE 6. SUBCONTRACTORS, OTHERS 1. Qualified Personnel. All employees and subcontractors employed by PERFORMING PARTY on or for the Work must have sufficient qualifications to perform the Work. 2. Objections. PERFORMING PARTY will not employ any particular subcontractor, supplier or other person or organization on or for the Work if TCEQ makes a reasonable written objection against such subcontractor, supplier, person,or organization. PERFORMING PARTY will not be required to employ any particular subcontractor,supplier or other person or organization if PERFORMING PARTY makes a reasonable objection. 3. Subcontracts. PERFORMING PARTY will include all provisions which may be necessary to accomplish all requirements of this Contract in its employment policies and contracts and its subcontracts, and shall require its subcontractors to do the same. ARTICLE 7. INTELLECTUAL PROPERTY 1. License of Future Rights. With respect to any intellectual property which is conceived,developed,written,invented, first actually reduced to practice or otherwise produced by PERFORMING PARTY, its employees,subcontractors, or subcontractor's employees during the performance of the Work, PERFORMING PARTY hereby assigns to TCEQ a nonexclusive,perpetual,irrevocable,enterprise-wide license to use,copy,publish and modify such intellectual property and authorize others to do so for TCEQ purposes. Upon termination of this Contract, all data and information by PERFORMING PARTY will be furnished to TCEQ. 2. License of Existing Rights. PERFORMING PARTY grants to TCEQ a nonexclusive, perpetual, irrevocable, enterprise-wide license to use,copy,publish,and modify any intellectual property in the Work and to authorize others to do so for TCEQ purposes. PERFORMING PARTY shall secure all necessary intellectual property licenses from third parties and warrants that the Work and the intended use of the Work will not infringe any property rights of any third- party. PERFORMING PARTY agrees to require its contractors to indemnify and hold harmless TCEQ from damages arising from or related to any infringement of rights in intellectual property. To the extent permitted by law, PERFORMING PARTY agrees to indemnify and hold harmless TCEQ from damages arising from or related to any infringement of rights in intellectual property. ARTICLE S. SEVERABILITY The fact that a particular provision is held under any applicable law to be void or unenforceable in no way affects the validity of other provisions and the contract will continue to be binding on both parties. Any provision that is held to be void or unenforceable will be replaced with language that is as close as possible to the intent of the original provision. ARTICLE 9. SUSPENSION; TERMINATION 1. For Cause. In the event of PERFORMING PARTY's failure to perform the Work as required by the Contract, violation of applicable law, substantial or material default, or other cause, TCEQ may suspend the Work or terminate this Contract for cause. 2. Force Majeure. In the event of delay or failure of performance caused by force majeure,TCEQ may terminate this Agreement in whole or part upon seven(7) days written notice. 3. For Convenience. TCEQ may terminate this Contract for convenience and without cause upon seven(7)days notice. Contract Number 582-7-72674 Page 17 of 60 4. Payment Adjustment. If the TCEQ terminates for convenience or because offorce majeure,PERFORMING PARTY shall be paid only for goods and services provided and necessary expenses incurred prior to termination. ARTICLE 10. SURVIVAL OF OBLIGATIONS All representations,indemnifications, warranties and guarantees made in,required by or given in accordance with this Contract, as well as all continuing obligations indicated in the Contract, will survive final payment, completion and acceptance of the Work and termination or completion of the Contract. ARTICLE 11. LAWS AND REGULATIONS PERFORMING PARTY shall give all notices and comply with all applicable law regarding the Work. Except where otherwise expressly required by applicable law,TCEQ shall not be responsible for monitoring PERFORMING PARTY compliance with any applicable law. ARTICLE 12. AUDIT,ACCESS TO RECORDS The PERFORMING PARTY shall maintain books and records concerning all Work under this Contract(including that performed by subcontractors), and shall retain them for at least three (3) years from the date of termination of this Contract. The TCEQ, the Texas State Auditor's Office, or any of their duly authorized representatives may review, audit, copy, or disclose the contents of such books or records at any time. ARTICLE 13. MISCELLANEOUS 1. Except as otherwise provided in this Contract, PERFORMING PARTY will direct all communications with the TCEQ to the Project Representative designated by the TCEQ. The PERFORMING PARTY will designate a Project Representative to receive all communications from the TCEQ. Both Project Representatives wilt be designated in writing (see Project Representatives/Records Location). 2. "Time is of the Essence" will apply to all time limits stated in the Contract. 3. The PERFORMING PARTY will adhere to all applicable standards, principles and guidelines detailed in the Uniform Grant and Contract Management Standards(UGCMS),including those related to financial monitoring,auditing and record keeping. ARTICLE 14. DELINQUENT STATE'TAXES The PERFORMING PARTY agrees that any payments due under this Contract will be applied towards any debt owed to the State of Texas. This requirement is not applicable to PERFORMING PARTIES who are state agencies as defined in Gov't Code, Chapter 791. ARTICLE 15. REMEDIES AND SANCTIONS 1. In accordance with Chapter 2261 Texas Government Code, the following Schedule of Remedies applies to this Contract in the event of substandard performance or other failure to conform to the requirements of the Contract or applicable law. a Reject the substandard performance and request corrections without charge to the TCEQ. b. Issue a notice of substandard performance or other non-conforming act or omission. G. Request and receive the return of any over payments or inappropriate payments. d. Reject associated reimbursement requests and suspend payments,pending accepted revision of substandard performance or non-conformity. Note: Funds may be retained by TCEQ for recovery of administrative costs or returned to funding source as authorized by agreements with the funding source and by state or federal law. e. Suspend all or part of the Work,pending accepted revision of substandard performance or non-conformity. f, Terminate the contract, demand and receive: return of all equipment purchased of contract funds, return of all unexpended funds, and repayment of expended funds. 777-1 Oil lr 2.If the TCEQ finds the PERFORMING PARTY's performance to be substandard, TCEQ may pro ideg r! cl' „r '�� :�. R; 1EA1 Contract Number 582-7-72674 Page 18 of 60 evaluation report to other governmental entities at any time. TCEQ may also provide its written evaluation report to the public as authorized by law. 3.TCEQ may avail itself of any remedy or sanction provided in this Contract or in law to recover any losses rising from or caused by the PERFORMING PARTY's substandard performance or any non-conformity with the Contract or the law. The remedies and sanctions available to TCEQ in this contract shall not limit the remedies available to the TCEQ under law. ARTICLEI6. DISPUTES, CLAIMS, REMEDIES Continuing the Contract Activities. Performing Party shall carry on the Contract Activities and adhere to the progress schedule during all disputes or disagreements with TCEQ unless ordered to stop the Contract Activities. No Contract Activities shall be delayed or postponed pending resolution of any disputes or disagreements. Payment not a Release.Neither payment by TCEQ nor any other act or omission other than an explicit written release constitutes a release of Performing Party from Iiability for losses under this Contract. Cumulative Remedies. The rights and remedies provided to the TCEQ in this Contract,are in addition to, and are not to be construed in any way as a limitation of,any rights and remedies available under state and federal rules,regulations, and laws and at common law. ARTICLE 17, INSURANCE AND INDEMNIFICATION Insurance. Unless prohibited by law, the Performing Party shall require its contractors and suppliers to obtain and maintain during the Contract Term adequate insurance coverages sufficient to protect the Performing Party and the TCEQ from all claims and liability for injury to persons and for damage to property arising from the Contract,whether caused by the Performing Party or by the contractor(s) or by anyone directly or indirectly employed by either. The Performing Party shall insure the activity of its contractor in Performing Party's own policies. Unless specifically waived by the TCEQ,sufficient coverages shall include but are not limited to Workers Compensation and Employer's Liability Insurance, Commercial Automobile Liability Insurance, and Commercial General Liability Insurance. Indemnification. To the extent authorized by law, the Performing Party shall require all contractors performing the Contract Activities on behalf of Performing Party to indemnify, defend, and hold harmless the TCEQ and Performing Party and their officers,employees and representatives from and against all losses,liabilities, damages,and other claims of any type arising from the performance of the Contract Activities by the Performing Party or its contractors, suppliers and agents, including those arising from a defect in design, workmanship,materials,or fromm infringement of any U.S. or foreign patent,trademark or copyright,or from a breach of applicable laws,regulations,safety standards or directives regardless of whether such acts or omissions are negligently or recklessly performed. The defense of the TCEQ shall be subject to the authority of the Office of the Attorney General of Texas to represent the TCEQ This covenant survives the termination of the Contract. ARTICLE 18. RELEASE OF CLAIMS Upon satisfactory completion of the work performed hereunder and prior to final payment under this Agreement for such work, or prior to settlement upon termination of this Agreement and as a condition to final payment/settlement, the PERFORMING PARTY shall execute and deliver to the TCEQ a release of all claims against the TCEQ arising under or by virtue of this Agreement. ARTICLE 19. BANKRUPTCY CLAUSE If the Contractor files for bankruptcy,immediately notify TCEQ in writing according to the Notice provisions AND send notification directly to TCEQ 13ankruptey Program. The Contractor's notice to the bankruptcy program must include the appropriate contract number(s). Contract Number 582-7-72674 Page 19 of 60 FEDERAL TERMS AND CONDITIONS _ ARTICLE 1. FEDERAL REQUIREMENTS This Contract is funded in part with federal grant money. The following conditions apply to this Contract in addition to all other contract terms. All applicable requirements of TCEQ's federal grants and 40 CFR Parts 30 through 35 are incorporated herein by reference(TCEQ will provide copies of applicable federal grants or regulations upon request). The term"PERFORMING PARTY" as used in these Federal Conditions means either PERFORMING PARTY or CONTRACTOR, as applicable. ARTICLE 2. FEDERAL INTELLECTUAL PROPERTY REQUIREMENTS A nonexclusive, perpetual, irrevocable license to use, copy,publish, and modify any intellectual property to which rights are granted or assigned to TCEQ in this Contract are hereby also granted to, assigned to, or reserved by the Federal Government. To the extent consistent with the rights of third parties, the Federal Government shall also have the right to sell any intellectual property right it reserves or acquires through this Contract. ARTICLE 3. ACKNOWLEDGMENT OF FINANCIAL SUPPORT The PERFORMING PARTY shall acknowledge the financial support of the TCEQ and the U.S. EPA whenever work funded, in whole or part, by this Contract is publicized or reported in news media or publications. All reports and other documents completed as a part of this Contract, other than documents prepared exclusively for internal use within the TCEQ, shall carry the following notation on the front cover or title page: PREPARED IN COOPERATION WITH THE Texas Commission on Environmental Quality AND DEPARTMENT OF HOMELAND SECURITY AGENCY The preparation of this report was financed through grants from the U.S. Department of Homeland Security through the Texas Commission on Environmental Quality. (If the funding source is a U.S. agency other than U.S. EPA, the name of the appropriate federal agency should be substituted.) ARTICLE 4. COST AND PRICE OF THIS CONTRACT If this Contract was not competitively procured or if payment is based on reimbursement of actual costs, then PERFORMING PARTY shall submit cost information sufficient for a cost analysis as required by 40 CFR§31:36. This information must be submitted on forms provided by the TCEQ. ARTICLE 5. ACCOUNTING SYSTEMS AND PROPERTY MANAGEMENT SYSTEMS J. PERFORMING PARTY shall have an accounting system which accounts for costs in accordance with generally accepted accounting standards or principles and complies with 40 CFR§31.20. This system shall provide for the identification, accumulation, and segregation of allowable and unallowable project costs among projects. 2. PERFORMING PARTY shall have a property management system that complies with the standard of and requirements in 40 CFR§§31.32 through 31.33. ARTICLE 6. RECORD DOCUMENTS, DATA, RECORDS, ACCESS, AND AUDIT The Federal Government and its agencies will have the same rights of access to records as are granted to, assigned to, or reserved by the TCEQ under this Contract. ARTICLE 7. DEBARMENT On or prior to the effective date of this Contract, PERFORMING PARTY must submit a Certification Regarding Debarment, Suspension, and Other Responsibility Matters. PERFORMING PARTY must also submit a Certification Regarding Debarment, Suspension, and Other Responsibility Matters/Lower Tier for each Contract Number 582-7-72674 Page 20 of 60 subcontractor it employs to conduct the.Work. These certifications must be submitted on forms provided by the TCEQ. ARTICLE 8. MINORITY BUSINESS ENTERPRISES/WOMEN'S BUSINESS ENTERPRISES (MWBEs) 1. PERFORMING PARTY shall take steps to encourage participation by minority business enterprises and women's business enterprises (MWBES)in the performance of this Contract. 2. If the General Conditions of this Contract do not contain a requirement that PERFORMING PARTY submit information regarding its subcontracts with Historically Underutilized Businesses(HUBS)as defined by Texas law, then PERFORMING PARTY shall comply with the MBE/WBE requirements imposed on TCEQ in the federal grant or grants funding this Contract, and submit information regarding its subcontracts with MBE/WBEs on forms provided by the TCEQ. 3. PERFORMING PARTY agrees that qualified MWBEs shall have the maximum practicable opportunity to participate in the performance of the Work required under this Contract through possible subcontracts to carry out portions of the Work and by way of goods and/or services procurement contracts that directly support the required Work. 4. PERFORMING PARTY will submit a completed HUB PROGRESS ASSESSMENT REPORT with each reimbursement request submitted. At a minimum this report shall include the name of the MWBE, a description of the work, services or materials provided, the amount paid to the MWBE, and the name and telephone number of a contact person within the MWBE. 5. The PERFORMING PARTY shall conduct the following actions in connection with solicitations for subcontractors and for suppliers (vendors)of contract-required goods and/or services: 5.1. Place qualified MWBEs on solicitation lists for subcontractors and vendors; 5.2. Assure that at least three(3)MWBEs are solicited whenever they are potential sources for subcontractor-performed work or vendor-provided goods and/or services; 5.3. Each solicitation shall include a copy of the specifications, adequate information about the plans, Scope of Service, and requirements of the work to be subcontracted or the goods and/or services to be procured, and shall provide sufficient time to allow all interested parties the opportunity to participate effectively; 5.4. Records of solicitations for subcontractor and/or vendor services, including the responses received from potential MWBE subcontractors and vendors, shall be maintained and reported to TCEQ; 5.5. Submit explanatory information in cases where bids were not solicited prior to obtaining the services of subcontractors or vendors, or where a MWBE was low bidder but the subcontract or procurement contract was awarded to a non MWBE; 5.6 Divide total subcontractor or vendor requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by such business enterprises; if sufficient subcontracting or goods and/or service provider opportunities are not available, PERFORMING PARTY shall submit explanatory information to TCEQ; 5.7. Establish delivery schedules, where requirements permit, which encourage participation by MWBEs; 5.8. Utilize the Texas General Services Commission (GSC) Centralized Master Bidders List(CMBL)and Historically Underutilized Business (HUB)Directory (<http://www.gse.state.tx.us>) and the services and assistance of the Small Business Administration and the Minority Business Development Agency of the U.S. Department of Commerce(<http://www.doc.gov>)when searching for MWBE subcontractors Contract Number 582-7-72674 Page 21 of 60 and/or vendors; and 5.9. Require its subcontractors to take the actions listed in 5.1 -5.8 of this Article in all of its subcontracts that contemplate the letting of lower-tier subcontracts. ARTICLE 9. PROHIBITION USE OF FEDERAL FUNDS FOR LOBBYING AND LITIGATION Contractor agrees that none of the funds paid under this Contract will be used to engage in the lobbying of the Federal Government or in litigation against the United States unless authorized under existing law. When Contractor applies for final payment, Contractor will certify on a written form provided by the TCEQ that Contractor has complied with this provision. Contract Number 582-7-72674 Page 22 of 60 Exhibit A TCEQ HUB Progress Assessment Report(PAR) Part A.Identifying Information. 1.TCEQ Contract No.: 2.You're Invoice No. 3.Work Order No.(if 4. For work completed applicable) between and 5.Prime Contractor("You"): 6.Prime Contractor Vendor ID#: 7.Contact 8.Phone: 9.Is the Prime Contractor a Texas certified HUB and performing at least 25%of the total value of the contract? El Yes ❑ No Part B.Current Invoice FOR HUB and/or Non-HUB Subcontracting Information. 10.Check box if no HUB and/or Non-HUB subcontractors have been used this period,otherwise fill out below listed table: Value of this subcontractor's Name and Address of HUB Type of participation for this invoicing and/or Non-HUB Subcontractor Vendor ID No. FIUB Provided*: period ❑MBE ❑Services $ ❑WBE ❑Commodities ❑MBE ❑Services $ ❑WBE ❑Commodities ❑MBE ❑Services $ ❑WBE ❑Commodities Total $ *If subcontractor's services include both labor and materials,check"services"only, Nate:If you need room to list more subcontractors,enter this information on a plain sheet of paper and attach it to this form. 11.Total of current invoice: $ 12.Total of current invoices from certified HUB subcontractors: $ 13.Percent of HUB expenditures for this invoice: (line 12-line 11)x 100 Part C.Total Contract/HUB Subcontracting Information 14.Total amount invoiced to date: 15.Total invoiced from certified HUB Subcontractors to date: $ 16. Percent of HUB invoices for total contract to date: % (line I5—line 14)x 100 17.HUB subcontracting goal for this contract: % Pant D.Affirmation.The information provided on this form is complete and con-eel.You or our representative must sign here: 18.Name Signature 19. Date: Type of funding: ❑State ❑Federal ❑Both Date In: PCA Code(s) Check if prime contractor is one of the fallowing: ❑ River Authority ❑ Interlocal Printed Name: Index: COB7: Signature: Contract Number 582-7-72674 Page 23 of 60 General Information submitting with this form. 3.Work Order No.-If applicable,enter your work order number for the site, The purpose of this form is to help the Texas Commission on Environmental phase,or program, Quality(TCEQ;"us")to track the value of business we do with Texas-certified "historically underutilized businesses"(HUBS)and federally designated"minority- 4.For work completed between-Enter the period of time in which the work or woman-owned business enterprises"(MWBEs),In this form,the acronym covered by these invoices was carried out. "HUB"refers to both of these classes of businesses. 5.Prime Contractor-Enter the name of the contractor to which we awarded this Do I Have to Complete This Form? contract. If we have awarded you a contract to provide us with professional services,other services,or commodities and your contract contains a subcontracting plan,then 6. Prime Contractor Vendor IDII-Enter the 11-digit vendor identification You must complete this form each time you submit an invoice or set of invoices to number the Comptroller of Public Accounts has assigned the prime contractor. us—even ifno subcontracting occurred during the period covered by these invoices. 7. Contact-Enter the name ofthe person authorized to complete this form for the prime contractor.We will contact this person if we have any questions about the If you are a HUB,you must perform at least 25 percent of the total value of the information you have provided on this form. contract with your own or leased employees as defined by the Internal Revenue Service in order for the agency to receive 100 percent HUB credit for the entire g, Phone-Enter the phone number at which we can reach the contact person contract.You may subcontract more than 75 percent of the contract with HUBS or named in Item 7. non-HUB subcontractors,but you must report to us the valuesboth dollar amount and percentage---of your contract that was actually performed by you and your 9. Indicate"Yes'or"No". subcontractors during each invoicing period. 10.HUB and/or Non41UIJ Subcontractor Information-First column—Enter Where Do I Turn This Form In? the complete name and address of each subcontractor.Enter information about this When you have completed this form,attach it to your invoices and submit it to our subcontractor in the remaining columns of this row.Check box ifno project manager for your contract. subcontractors were used during this invoicing period. Where Can I Get More Answers? Second column:—Enter the 13-digit vendor identification number the Comptroller Ifyou have any other questions,call the project manager named on your contract of Public Accounts has assigned to this HUB subcontractor, or our HUB Program Director:(512/239-1273). Third cohunn,—You have three options: Definitions • If this subcontractor is a minority-owned business enterprise,check "MBE." These brief definitions may help you complete this form.For terms where a fid] If this subcontractor is a woman-owned business enterprise,check legal definition may be helpful,we have cited the rule or law that gives that "WBE." definition.. If this subcontractor qualifies as both and MBE and a WBE,check both boxes Commodities—materials,supplies,or equipment.May include consumable articles(for example,office supplies)or durable items(for example,computers, Fourlh-column-Indicate,by checking the appropriate box,whether the furniture,or equipment), subcontractor provided services orconunodities.(Ifboth,check"services"only.) Other services—all services other than construction and professional services, Fah column—Enter the total of all invoices attached for the HUB subcontractor. including consulting services(Texas Government Code,Chapter 2254,Subchapter B) 11.Total of current invoice-Enter the total of the Prime Contractor's current invoice. Prime contractor(or"prime")--any business,agency,or individual who provides commodities or services to us under a purchase order or other contract. 12.Total of current invoices from certified HUB subcontractors-Enter the total amount of all attached invoices from HUBS. Professional services—services of accountants,architects,engineers,land surveyors,optometrists,and physicians(Texas Government Code,Chapter 2254, 13.Percent of HUB expenditures for this invoice-Use the instructions on the Subchapter A). PAR form to calculate the percentage of this invoice that HUB subcontractors have completed. Services—{1)functions performed for us by an outside source—for example, equipment repair,consulting,hazardous waste disposal,or work by short-term 14.Total amount invoiced to date-Enter the total of all invoices you have temporary employees. submitted to us to date for[tris contract,including the invoices attached to this (2)similar functions performed for the prime contractor by an outside source. PAR form. Subcontractor—any business,agency,or individual(other than an employee) 15.Total:ofHUB expenditures on the tutu]contract to date-Enter the total of who provides commodities or services to the prime contractor. all HUB subcontractor invoices for this contract to date. Total contract(Item 14"n this form,totat value of your contract with us, 16.Percent of HUB invoices for the total contract to date-Use the instructions including all monetary amendments,if any. on the PAR form to calculate the percentage of this contract that HUB subcontractors have completed to date. Vendor ID No.—the I 1-digit taxpayer identification number assigned to this subcontractor by Comptroller of Public Accounts.The subcontractor should be 17.HUB Subcontracting goal for this contract-The HUB goal is slated as a able to provide you with this number. percentage in your contract.Enter the IIUB goal here. Instructions 18.Name and Signature-The contractor or authorized representative of the contractor. 1.TCEQ Contract No.-Enter the contract number we have assigned to this 19.Date-Enter the date you completed this report. contract.This number appears on the first page of the contract 2.Your Invoice No.-Enter your invoice number for each invoice you are Contract Number 582-7-72674 Page 24 of 60 Exhibit B United States Environmental Protection Agency Washington,DC 20460 Certification Regarding Debarment,Suspension,and Other Responsibility Matters The Prospective participant certifies to the best of its knowledge and belief that it and-its principals: (a) Are not presently debarred,suspended,proposed for debarment,declared ineligible,or voluntarily excluded from covered transactions by any Federal department or agency; (b) Have not within a three-year period preceding this Offer been convicted of or had a civil judgement rendered against them for commission of fraud or a criminal offense in connection with obtaining,attempting to obtain,or performing a public(Federal, State,or local)transaction or contract under a public transaction;violation of Federal or State antitrust statutes or commission of embezzlement,theft,forgery,bribery,falsification or destruction of records,malting false statements,or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a government entity(Federal,Slate,or local)with commission of any of the offenses enumerated in paragraph(b)of this certification;and (d) Have not within a three-year period preceding this application/Offer had one or more public transactions(Federal,State,or local)terminated for cause or default. I understand that a false statement on this certification maybe grounds for rejection of this Offer or termination of the award. in addition,under 18 UBC Sec.1001,a false statement may result in a fine of n to 510,000 or imprisonment for up to 5 years,or both. Fernando Costa, Director Planning Dept. for Libby Matson Ty ed lSame&Title of Authorized Representative Signature of Authorized Representative Date D 1 am unable to certify to the above statements. My explanation is attached. FPA J-94 Contract Number 582-7-72674 Page 25 of 60 LOWER TIER EPA United States Environmental Protection Agency Washington,DC 20,160 Certification Regarding Debarment,Suspension,and Other Responsibility Matters The Prospective participant certifies to the best of its knowledge and belief that it and its principals: (a) Are not presently debarred,suspended,proposed for debarment,declared ineligible,or voluntarily excluded from covered transactions by any Federal department or agency; (b) [lave not within a three-year period preceding this Offer been convicted of or had a civil judgement rendered against them for commission of fraud or a criminal offense in connection with obtaining,attempting to obtain,or performing a public(Federal, State,or local)transaction or contract under a public transaction;violation of Federal or State antitrust statutes or commission of embezzlement,theft,forgery,bribery,falsification or destruction of records,making raise statements,or receiving stolen property; ®) Are not presently indicted for or otherwise criminally or civilly charged by a government entity(Federal,State,or local)with commission of any of the offenses enumerated in paragraph(b)or this certification;and (d) Have not within a three-year period preceding this application/Offer had one or more public transactions(Federal,State,or local)terminated for cause or default. I understand that a false statement on this certification may be grounds for rejection of this Offer or termination of the award. In addition,under 18 USC Sec.1001,a false statement may result in a fine of up to$10,000 or imprisonment for up to 5 years,or both. Fernando Costa Director Planning Dept. for Libby Watson ame Title out orized Representative 119-fdii4i-� 7/.%1 O42 Signature of Authorized Representative Date ❑ 1 am unable to certify to the above statements.My explanation is attached. EPA F.-570949(11-83) i Contract Number 582-7-72674 Page 26 of 60 Exhibit C TEXAS COMMISSION ON ENVIRONMENTAL QUALITY Release of Claims hereby releases the Texas Commission on Environmental Quality (TCEQ), its officers, agents, and employees from any and all future claims arising under or by virtue of TCEQ Contract Number Further certifies that all subcontractors, suppliers, employees and any party which has performed or provided service for this contract has been paid in full and satisfied. All services and tasks required to be completed under the referenced contract have been completed. Prompt payment, therefore, of any and all funds which may have been "retained" by TCEQ in accordance with said contract is requested. Executed on this day of By: (sigxra ture1 (name, typed orprinted) (title) Contract Number 582-7-72674 Page 27 of 60 Exhibit D CERTIFICATION REGARDING LOBBYING Certification for Contracts,Grants,Loan,and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that: (1) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or any employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers(including Subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements)and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to the civil penalty of not less than$10,000 and not more than$100,000 for each such failure. Statement for Loan Guarantees and Loan Insurance The undersigned states, to the best of his or her knowledge and belief, that: If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement shall be subject to a civil penalty of not less than$10,000 and not more than$100,000 for each such failure. ORGANIZATION NAME AWARD NUMBER Fernando C #D.TrIrT AUTHO IZjD REPRESS TATIVE a� T 1/04 SIGNATURE DATE Please check appropriate box below: [ ] Disclosure Form attached [ ] Disclosure Form Forthcoming [ ] Disclosure Form Not Applicable Contract Number 582-7-72674 Page 28 of 60 DISCLOSURE OF LOBBYING ACTIVITIES Complete this forst to disclose lobbying activities pursuant to 31 USC 1352 1. Type of Federal Action: [ ] 2. Status of Federal Action: [ ] 3. Report Type: [ ] a. contract a. bid/offer/application a. initial filing h. grant b. initial award b. material change c. cooperative agreement c. post-award it. loan For Material change only: e. loan guarantee year Quarter f. loan insurance date of last report 4. Name and Address of Report Entity 5. If Reporting Entity in No.4 is Subawardee,enter name and [ ] prime [ ] subawardee address of Prime: tier ,if known: Congressional District,if known Congressional District,if known: 6. Federal Department/Agency: 7. Federal Program name/Description: CFDA Number,if applicable: S. Federal Action Number,if known: 9. Award Amount if known: 10. a. Name and address of Lobbying Entity(if individual,last name, b. Individuals Performing Services(including address if different first name,NM- (attach Continuation Sheet(s) from No.10a) (last name,first name,Ml):SF--LLL-A if necessary) 11. Amount of Payment(check all That apply): 13. Type or Payment(check all that apply): $ ( ] actual [ ] planned I ] a. retainer [ ] b. one-time fee [ ] C. commission 12. Amount of payment(check all that apply): [ ] it. contingent fee [ J e. deferred ( ] a. cash [ ] f. other,specify: [ ] b. in-kind;specify nature value 14. Brief description of services performed or to he performed and date(s)or service,including officer(s),employee(s),or Member(s) contacted for Payment indicated in Item 11: (attach Continuation sheet(s)SF,-LLL-A if necessary) 15. Continuation shect(s)SF-LLIrA attached: I ] Yes [ ] No 16. Information requested through this form is authorized by Title 31 Signature U.S.C.z Section 1352. This disclosure of lobbying activities is a material representation of fact upon which reliance was placed by the tier above when this transaction was made or entered into. This disclosure is Print Name required pursuant to 31 U.S.C.1352. This information will be reported to the Congress semi-annually and will be available for public inspection. Any person who fails to file the required disetosure'shall be suhlect to a Title civil penalty of not less than$10 000 and not more than$100,000 for each such failure. Telephone No. Date Standard Form-LL Contract Number 582-7-72674 . Page 29 of 60 DISCLOSURE OF LOBBYING CONTINUATION SHEET Reporting Entity: Page of Authorized for Local Reproduction Standard Form- LLL-A Contract Number 582-7-72674 Page 30 of 60 INSTRUCTIONS FOR COMPLETION OF SF-LL DISCLOSURE OF LOBBYING ACTIVITIES This disclosure form shall be completed by the reporting entity,whether subawardee or prince Federal recipient,at the Initiation or receipt of a covered Federal action,or a material change to a previous tiling,pursuant to Title 31 U.S.C.Section 1352. The filing of a form is required for each payment or agreement to make payment to any lobbying entity for influencing or attempting to influence an officer or employee of any agency,a Member of Congress,an officer or employee of Congress,or an employee of a Member of Congress in connection with a covered Federal action. Use the SF-LLL- A Continuation Sheet for additional information if the space on the form is inadequate. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional Information. 1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action. 2. Identify the status of the covered Federal action. 3. Identify the appropriate classification of this report. If this is a follow-up report caused by a material change to the information previously reported,enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered Federal action. J. Enter the full name,address,city,state and zip code of the reporting entity. Include Congressional District if known. Check the appropriate classification of the reporting entity that designates if it is,or expects to be,a prime or subaward recipient. Identify the tier of the subawardee,e.g.,the first subawardee or the prime is the first tier. Subawards include but are not limited to Subcontracts,subgrants, and contract awards under grants. 5. If the organization filing the report in Item 4 checks"Subawardee",then enter the full name,address,city,state and zip code of the prime Federal recipient. Include Congressional District,if known. 6. Enter the name of the Federal Agency making the award or loan commitment. Include at least one organizational level below agency name, if known. For example,Department of Transportation,United States Coast Guard. 7. Enter the Federal program name or description for the covered Federal action(Item 1). If known,enter the full Catalog of Federal Domestic Assistance(CFDA)number for grants,cooperative agreements,loans,and loan commitments. 8. Enter the most appropriate Federal identifying number available for the Federal action identified in Item 1(e.g.,Request for Offer(RFP) number,invitation for Bid(IFB)number,grant announcement number,the contract,grant,or loan award number,the application/Offer control number assigned by the Federal agency) Include prefixes,e.g.,RFP-DE-90-001." 9. For a covered Federal action where there has been an award or loan commitment by the Federal agency,enter the Federal amount of the award/loan commitment for the prime entity identified in Item 4 or 5. 10. (a) Enter the full name,address,city,state and zip code for the lobbying entity engaged by the reporting entity identified in Item 4 to influence the covered Federal action. (b) Enter the full names of the individual(s)performing services,and include full address if different from 10(a). Enter Last Name,First Name,and Middle Initial(MI). 11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity(Item 4)to the lobbying entity(Item 10). Indicate whether the payment has been made(actual)or will be made(planned). Check all boxes that apply. If this is a material change report,enter the cumulative amount of payment made or planned to be made. 12. Check the appropriate box(es). Check all boxes that apply. If payment is made through an in-kind contribution,specify the nature and value of the in-kind payment. 13. Check the appropriate box(ex). Check all boxes that apply. If other,specify nature. 14. Provide a specific and detailed description of the services that the lobbyist has performed,or will he expected to perform,and the date(s)of any services rendered. Include all preparatory and related activity,not just time spent in actual contact with Federal officials. 'Identify the Federal official(s)or employee(s)contacted or the officer(s),employee(s),or Member(s)of Congress that were contacted. 15. Check whether or not a SF-LLL-A Continuation Sheet(s)is attached. 16. The certifying official sball sign and date the form,print hislbcr name,title,and telephone number. Public reporting burden for this collection of information is estimated to average 30 minutes per response,including time for reviewing instruction,searching existing data sources,gathering and maintaining the data needed,and completing and reviewing the collection of Information. Send comments regarding the burden estimate or any other aspect of this collection of information,including suggestions for reducing this burden to the Office of Management and Budget Paperwork Reduction Project(0348-0046),Washington,D.C.29503. Contract Number 582-7-72674 Page 31 of 60 Exhibit E PURPOSE AND APPLICABILITY OF THE COST OR PRICE SUMMARY (COST OR PRICE SUMMARY IS ATTACHED BELOW) The purpose of this form is to provide a simple form for the display of cost and price data. 40 CFR 33.290 requires the recipient to perform cost or price analysis for every procurement action, including subagreement modifications. This form is not required by EPA, but may be used at the recipient's option. If the recipient currently uses a cost and price analysis form which accomplishes the same objectives as this form, the recipient may use its own form. INSTRUCTIONS rate. Overtime premiums should be identified separately on If this form is used,CAREFULLY READ AND FOLLOW ALL an attachment. Incurrence of unanticipated overtime costs INSTRUCTIONS. Many items are not self-explanatory. requires the approval of the recipient at the time of Attach additional sheets if necessary. incurrence. If significant overtime is known to be needed at the time of completion of the cost review form,the reasons Use only the applicable portion of this form: therefore, labor categories, rates and hours should be identified on the attachment. Also included is the cost of Part I is applicable to all subagreements. partners'or principals'time when they are directly engaged in Part li is applicable to all subagreements requiring a cost services to be rendered under the subagreement. In case analysis pursuant to EPA procurement regulations. the full time of any employee is not to be devoted to work to Part Ili is applicable to all subagreements where review is be performed under the subagreement, only the cost of based on price comparison(i.e.,price analysis). actual time to be applied should be included. The Part IV certification will be executed as required by the compensation of a partner or principal shall be included as instructions for each block. direct cost only for the time that she/he is expected to be engaged directly in the performance of work under the PART I-GENERAL subagreement and only if it is the firm's normal practice to charge such time directly to all jobs. The rate of Item 1 -Enter the name of the of the recipient as shown on compensation of a partner or principal shall.be the assistance agreement. commensurate with the cost of employing another qualified Item 2-Enter the assistance identification number shown on person to do such work, but the salary portion shall not the assistance agreement(or assigned to the project, if no exceed the actual salary rate of the individual concerned. assistance agreement has yet been executed). Distribution of profits shall not be included in the rate of Item 3-Enter the name of the contractor or Subcontractor compensation. with whom the subagreement is proposed to be executed. Item 4-Enter the date of the contractor's or Subcontractor's Enter in block 7 the categories of professional or technical Offer to the recipient. personnel necessary to perform each major element of work Item 5-Enter the full mailing address of the contractor or under the subagreement scope of services. Estimate hours Subcontractor. worked for each category and extend them by the wage rates Item 6-Give a brief description of the work to be performed to be paid during the actual performance of the work. under the proposed subagreement. Current rates, adjusted for projected increases, if any should be useful for the actual categories of labor contemplated. All Part Il-COST SUMMARY projected increases should be supported by recent experience or established personnel policy. Enter in the far This portion of the form is to be completed by the contractor right column the total estimated direct labor cost. (or his/her Subcontractor)with whom a subagreement is a formally advertised,competitively bid,fixed price Supporting records to be maintained by the contractor and subagreement, which must be submitted or made available to the recipient or EPA upon request include: Nothing in the following discussion should be interpreted as a.The method of estimating proposed hours worked. recommending the inclusion as direct costs any items b.The computation techniques used in arriving at proposed normally treated as overhead costs in the firm's accounting or labor rates. estimating system. 40 GFR Pah 30 identifies general cost c.The specific documents, books or other records used as principles applicable to subagreements under EPA factual source material to develop proposed hours worked assistance. Pursuant to that Part, all subagreements and labor rates. awarded to profit-snaking organizations are subject to cost d. Detailed rate computations which were used in computing principles of 48 CFR 31.2.Architect engineer and the information submitted on the form. construction contracts are also subject to 48 GFR 31.105. If in block 144,the contractor has checked"No,"a brief Item 7-Direct Labor' narrative description of the methods used in arriving at items a though d above shall be included on an attached sheet. Direct labor costs normally include salaries at a regular time Contract Number 582-7-72674 Page 32 of 60 Item 8-Indirect Costs vary,the use of particular groupings is not required. Neither Indirect cost may consist of one or more pools of expenses is the use of any particular allocation base mandatory. which are grouped on the basis of the benefits accruing to However, it is mandatory that the method used results in an the cost objectives represented by the distribution base or equitable allocation of indirect costs objectives which they bases to which they are allocated. Since accounting practices support. Normally,the firm's accounting system'and estimating Supporting records to be maintained by the contractor and practices will determine the method used to allocate which must be submitted or made available to the recipient or overhead costs. The firm's established practices, if in accord EPA upon request include: with generally accepted accounting principles and PROVIDED THEY PRODUCE EQUITABLE RESULTS IN a. Detailed cost data showing overhead accounts, allocation THE CIRCUMSTANCES,will generally be accepted. bases, and rate computations for the preceding fiscal period. Proposed overhead rates should represent the firm's best If more than six months of the current fiscal period have estimate of the rates to be experienced during the elapsed, cost data for this period should be included as one subagreement period. They should be based upon recent of the three period(s). experience and be adjusted for known factors which will influence experienced trends. b. Company budgets,budgetary cost data and overhead rates computations for future period(s). Common overhead groupings are overhead on direct labor and general and administrative expenses. The first Item 9-Other Direct Costs groupings usually include employment taxes,fringe benefits, holidays,vacation idle time,bonuses,applicable and direct The following items are illustrative of costs normally included labor,etc. The second generally includes the remaining in this category of costs: costs,which, because of their incurrence for common orjoint objectives,are not readily subject to treatment as direct a. Travel cost, including transportation, lodging, subsistence, costs. It is expected, however,that Offer groupings will and incidental expenses incurred by personnel or consultants correspond with the firm's normal method for accumulating while in travel status in connection with the performance of indirect costs. (Under some accounting systems,the first services required by the contract. The cost principles grouping would be included instead under item 7.) No generally require the use of less than first class air special categorization is required,provided the results are accommodations and also limit the cost of private aircraft. realistic and equitable. b. Equipment, Materials, and Supplies Direct salaries are the normal distribution base for overhead cost but in some circumstances other bases produce more (1) Long distance telephone calls, telegraph and cable equitable results. As in the case of overhead cost groupings, expenses to be incurred in connection with the the method to be used will depend upon the firm's normal performance of services required in connection the practices and the equity of the results produced in the subagreement. circumstances. (2) Reproduction costs,including blueprints, black and white In the case of multibranch firms,joint ventures,or affiliates, it prints, ozalid prints,photographs,photostats, negatives; is expected that overhead costs applicable to specific and express charges. location(s)where work is to be based on cost data from the most recent fiscal periods updated to reflect changes in (3) Commercial printing,binding, artwork, and models. volume of business or operations. (4) Special equipment. Enter in block 8 the indirect cost pools normally used by the firm for allocation of indirect costs. Enter indirect cost rate for c. Subcontractors each pool and extend each one by the rate base to which it applies to arrive at the estimated indirect costs to be incurred d. Other Direct costs, if any,not included above. during the actual performance of the work. If the indirect labor total from block 7 is not used as the rate base for any of Enter in blocks 9a-d all other direct costs proposed. `(ravel the indirect cost pools,the rate base used must be explained costs entered must be supported by an attachment which on an attached sheet, identifies the number of staff trips proposed and the estimated cost per staff trip for both local and long distance A brief narrative statement outlining the firm's policies and transportation. The number of days and the rate per day practices for accumulating indirect costs. Enter the indirect must be provided to support the per diem shown. Each cost rate costs and the method used to compute the Subcontract and consultant agreement must be identified proposed rate or rates shall accompany the form. Include separately in block 9c. comment on the firm's policies regarding the pricing and costing of principals'time. The normal accounting treatment Enter in the far right column on line 9e the total of all other of principals'salaries,the annual amounts, and the hourly direct costs(9a-d). charge rate, if used, should be discussed. Supporting data to be maintained by the contractor and which Enter in the far right column the total estimated indirect costs. must be submitted or made available to the recipient or EPA upon request include: Contract Number 582-7-72674 Page 33 of 60 Item 10 -Total Estimated Cost a. basis for other direct costs proposed. Enter the total of all direct labor, indirect costs and other b. factual sources of costs, rates,etc., used in computing direct costs from items 7, 8,and 9. proposed amount of each cost element. Item 11 -Profit A fair and reasonable provision for profit cannot be made by simply applying a certain predetermined percentage to the Complete this block only if part II has been completed. total estimated cost. Rather,profit will be estimated as a dollar amount after considering: Enter the specific cost principles with which the costs summary of Part II conforms. Cost principles applicable to a. degree of risk subagreements with various types or organizations are identified in 40 CFR Part 30.4010. Cost principles applicable b. nature of the work to be performed. to subagreements with profit-making organizations are those at 48 CFR 31.2 and, for architect-engineer or construction c. extent of firm's investment. contracts,48 CFR 31.105. d. Subcontracting of work, and c. (1) Describe the Offer, quotation, request for price adjustment,or other submission involved, giving appropriate e. other criteria. identifying number(e.g., RFP No. ). The Federal Acquisition Regulation cost principles applicable (2) Enter the date when the price negotiations were to subagreements with profit-making organizations(40 CFR concluded and the contract price was agreed to. The 31.2 and 39.105)disallow certain types of costs which are responsibility of the subagreement is not limited by the sometimes incurred by firms in the normal conduct of their personal knowledge of the contractor's negotiator if the time business. Examples of costs which are not allowable under of agreement,showing that the negotiated price is not based these costs principles include,but are not limited to, on complete,current, and accurate data. entertainment,interest on borrowed capital, and bad debits. Because the Government considers 'Profit"to be the excess (3) Enter the date of signature. This date should be as of price over allowable costs,such computation can indicate close as practicable to the date when the price negotiations a higher profit estimate than the firm's experienced profit as it were concluded and the subagreement price was agreed to customarily computes it. The contractor may separately (not to exceed 30 days). disclose to the recipient its customary computations. Item 15-Recipient Reviewer-FOR USE BY RECIPIENT Enter the dollar amount of profit in block 11. ONLY. Item 12-Total Price If required by applicable assistance regulations,the recipient must submit the signed form for EPA review prior to Enter the total of items 10 and 11. execution of the subagreement. Part III-PRICE SUMMARY Item 16-EPA Reviewer-FOR USE BY EPA ONLY. This portion of the form is for use by a recipient when price comparison,i.e.,price analysis, is used for subagreement review. It may also be used by a contractor when price comparison is used as a basis for award of a Subcontract. Item 13-Competitor's Catalog Listings, In-House Estimates, Price Quotes I=nter sources of all competitive bids or quotes received,or catalogs used and their prices,or in-house estimates made, if appropriate, for comparison. Attach additional sheets if necessary,particularly for purchases of several different items. Enter in the far right column the proposed price for the subagreement. Part IV-CERTIFICATIONS Item 14-Contractor-FOR USE BY CONTRACTOR OR SUBCONTRACTOR ONLY. Contract Number 582-7-72674 Page 34 of 60 COST OR PRICE SUMMARY Form approvedOMB No.2030-0011 EPA (see accompanying instructions before completing this form) Approval expires 10-31-86 PARTI-GENERAL 1.RECIPIENT 2.ASSISTANCE IDENTIFICATION NO. 3.NAME CONTRACTOR OR SUBCONTRACTOR 4.DATE OF PROPOSAL. 5.ADDRESS OF CONTRACTOR OR SUBCONTRACTOR(Include ZIP Code) 6.TYPE OF SERVICE TO BE FURNISHED TELEPHONE NUMBER(Inciude Area Code) PART II-COST SUMMARY 7.DIRECT LABOR(specify labor categories) ESTIMATED HOURLY ESTIMATED TOTALS HOURS RATE COST $ $ DIRECT LABOR TOTAL: $ ESTIMATED 8.INDIRECT COSTS(Specify indirect cost pool) RATE x BASE = COST INDIRECT COSTS TOTAL: $ 9.OTHER DIRECT COSTS ESTIMATED a.TRAVEL COST 1)TRANSPORTATION $ (2)PER DIEM $ TRAVEL SUBTOTAL: $ ESTIMATED b.EQUIPMENT,MATERIALS,SUPPLIES(Specify categories QTY COST COST EQUIPMENT SUBTOTAL: ESTIMATED c,SUBCONTRACTS COST SUBCONTRACTS SUBTOTAL: $ ESTIMATED d.OTHER(Specify categories) COST OTHER SUBTOTAL: $ e.OTHER DIRECT COSTS TOTAL: Is Contract Number 582-7-72674 Page 35 of 60 10.TOTAL ESTIMATED COST $ 11.PROFIT $ 12.TOTAL PRICE _ PART III_PRICE SUMMARY 13.COMPETITOR'S CATALOG LISTINGS,IN-HOUSE ESTIMATES,PRIOR QUOTES MARKET PROPOSED Indicate basis for price comparison) PRICE(S) PRICE PART IV-CERTIFICATIONS 14 CONTRACTOR OR 14a. HAS A FEDERAL AGENCY OR FEDERALLY CERTIFIED STATE OR LOCAL AGENCY PERFORMED ANY REVIEW OF YOUR ACCOUNTS OR RECORDS IN CONNECTION WITH ANY OTHER FEDERAL ASSISTANCE AGREEMENT OR CONTRACT WITHIN THE PAST 12 MONTHS? =YES []NO(If"Yes"give name,address,and telephone number of reviewing office) 14b. THIS SUMMARY CONFORMS WITH THE FOLLOWING COS`(PRINCIPLES 14c. This proposal is submitted for use in connection with and in response to: (1) This is to certify to the best of my knowledge and belief that the cost and pricing data summarized (2)DATE herein are complete,current,and accurate as of: further certify that a financial management capability exists to fully accurately account for the financial transactions under this project.I further certify that I understand that the subagreement price may be subject to downward renegotiation and/or recoupment where the above cost and pricing data have been determined,as a result of audit,not to have been complete,current,and accurate as of the date above. (3)TITLE OF SIGNATURE OF REVIEWER DATE OF EXECUTION PROPOSER s 15. RECIPIENT REVIEWER leertifyythatlhave reviewed the cost) rice summary set forth herein and the proposed costlprice appear acceptable for Buba reennent award. TITLE OF SIGNATURE OF REVIEWER DATE OF EXECUTION PROPOSER 16. EPA REVIEWER TITLE OF SIGNATURE OF REVIEWER DATE OF EXECUTION PROPOSER Contract Number 582-7-72674 Page 36 of 60 Exhibit F Operations Security.procedures for the Bio-Watch Program[ 27 February 2003 1. References:National Security Decision Directive (NSDD)'Number 298;National Operations Security Program; The White House, Washington D.C.; Dated: January 22, 1988 I Scope and Applicability: This document describes the procedures necessary to protect information associated with the Bio-Watch Program. Information that is generally available to the public through observation or access to open sources of formation can reveal the existence of, aitd sometimes details about sensitive information or undertakings. Application of the operations security(OPSBC)process promotes operational effectiveness by helping to prevent the inadvertent compromise of sensitive government activities, capabilities or intentions. For Brio-Watch,the information the public needs to know is that the program is a US Environmental Protection Agency managed air-monitoring program.. Requests for additional program information need to be'formally submitted to the US EPA, and if required, to the Centers for Disease Control and Prevention(for laboratory issues) or the Department of Horneland Security(for other programmatic issues), 3. Summary of Method The-operations security process involves five steps: identification of sensitive information, analysis of threats, analysis of vulnerabilities, assessments of risks, and application of appropriate Countermeasures. 'The Bio-Watch process began with an examination of fhe total activity to determine what exploitable indicators could be pieced together to discern critical information. The indicators stem from routine administrative,physical, or technical actions taken-to•plan, train and execute the Bio-watch program. S Once the indicators are identified, they are analyzed against the threat to determine the extent to which they may reveal critical information.• The program manager in conjunction with other Bio-Watch participants,used risk assessment to select and adopt countermeasures. 4. Sensitive Information a. Number of cities actually protected b. Names of cities actually protected c. 'Agents to be detected d, Size of attacks.that can be detected e. Names of individuals involved in the deployment f Names of cities not protected g. Anything that provides information about areas not-monitored by Bio-Watch -- e.g. detects only outdoors, or protects only facilities, or only special venues or does not monitor h. Nature of attacks that cannot•be detected i, Specific equipment or protocols used Contract Number 582-7-72674 Page 37 of 60 Exhibit F 5. Analysis of threats a. "Terrorists" b. Enviromnental activists c. Disgruntled.,employees/disaffected/disrcpter 6. Analysis of Vulnerabilities a. Detector location accessibility and lack of physical security b. Sabotage of filter when installed in collector, enroute, or at lab for processing c. .Sampler.results and.subsequent.chain of-custody d. . Program associates (employees and those:knDwledgeable of the program) 7. 'Application of appropriate countermeasures a. Physical security b. Tag names for cities :c. , Data entry,processing, and access password protected d. -Sensitivity..,ta personnel:reliabihty e. Background clearance checks=(National-Agency Check, or local background checks) L . Initial.O SEC training.and annual refresher training S: Ultimately,responsibility for protecting the information associated with the Bio-Watch program rests with those associated with the program. No trainingbr policy document can.address-every-conceivable issue'that may arise. When an-individnal encounters a situation where they feel:they need:giiidance when questioned about the Bio'-watch program,or how to haiidle requests for.information,the-y:should refer the individual to the appropriate Department of Homeland,Security representative. 77,771 le ,� Contract Number 582-7-72674 Page 38 of 60 Exhibit G Department of Homeland Security Management Directive System MD Number:11042.1 SAFEGUARDING SENSITIVE BUT UNCLASSIFIED (FOR OFFICIAL USE ONLY) INFORMATION 1.6.2005 -- w 1. Purpose This directive establishes Department of Homeland Security (DHS) policy regarding the identification and safeguarding of sensitive but unclassified information originated within DHS. It also applies to other sensitive but unclassified information received by DHS from other government and non-governmental activities. 2. Scope This directive is applicable to all DHS Headquarters, components, organizational elements, detailees, contractors, consultants, and others to whom access to information covered by this directive is granted. 3. Authorities Homeland Security Act of 2002. 4. Definitions Access: The ability or opportunity to gain knowledge of information. For official Use OrriyLF000 . The term used within DHS to identify unclassified information of a sensitive nature, not otherwise categorized by statute or regulation, the unauthorized disclosure of which could adversely impact a person's privacy or welfare, the conduct of Federal programs, or other programs or operations essential to the national interest. Information impacting the National Security of the United States and classified Confidential, Secret, or Top Secret under Executive Order 12958, "Classified National Security Information," as amended, or its predecessor or successor orders, is not to be considered FOUO_ FOLIO is not to be considered classified information. Need-to-know., The determination made by an authorized holder of information that a prospective recipient requires access to specific information in order to t MD 11042.1 Contract Number 582-7-72674 Page 39 of 60 Exhibit G perform or assist in a lawful and authorized governmental function, i.e., access is required for the performance of official duties. Orcianizational Element. As used in this directive, organizational element is as defined in DHS MD Number 0010.1, Management Directive System and DHS Announcements. Protected Critical Infrastructure Information PC11; Critical infrastructure information (CII) is defined in 6 U.S.C. 131(3) (Section 212(3) of the Homeland Security Act). Critical infrastructure information means information not customarily in the public domain and related to the security of critical infrastructure or protected systems. Protected Critical Infrastructure Information is a subset of CII that is voluntarily submitted to the Federal Government and for which protection is requested under the PCII program by the requester. Sensitive Security Information (Sg Sensitive security information (SSI) is defined in 49 C.F.R. Part 1520. SSI is a specific category of information that requires protection against disclosure. 49 U.S.C. 40119 limits the disclosure of information obtained or developed in carrying out certain security or research and development activities to the extent that it has been determined that disclosure of the information would be an unwarranted invasion of personal privacy; reveal a trade secret or privileged or confidential commercial or financial information; or be detrimental to the safety of passengers in transportation. 5. Responsibilities A. The DHS Office of Security will: 1_ Be responsible for practical application of all aspects of the program to protect FOLIO. 2. Promulgate Department-wide policy guidance. 3. Develop and implement an education and awareness program for the safeguarding of FOUO and other sensitive but unclassified information. B. Heads of DHS Organizational Elements will: 1. Ensure compliance with the standards for safeguarding FOUO and other sensitive but unclassified information as cited in this directive. 2. Designate an official to serve as a Security Officer or Security Liaison. C. The organizational element's Security Officer/Security Liaison will: 2 MD 11042.1 Contract Number 582-7-72674 Page 40 of 60 Exhibit G Be responsible for implementation and oversight of the FOLIO information protection program and will serve as liaison between the DHS Office of Security and other organizational security officers. D. DHS employees, detailees, contractors, consultants and others to whom access is granted will: 1. Be aware of and comply with the safeguarding requirements for FOUO information as outlined in this directive. 2. Participate in formal classroom or computer based training sessions presented to communicate the requirements for safeguarding FOLIO and other sensitive but unclassified information. 3. Be aware that divulging information without proper authority could result in administrative or disciplinary action. E. Contractors and Consultants shall: Execute a DHS Form 11000-6, Sensitive But Unclassified Information Non- Disclosure Agreement (NDA), as a condition of access to such information. Other individuals not assigned to or contractually obligated to DHS, but to whom access to information will be granted, may be requested to execute an NDA as determined by the applicable program manager. Execution of the NDA shall be effective upon publication of this directive and not applied retroactively. F. Supervisors and managers will: 1. Ensure that an adequate level of education and awareness is established and maintained that serves to emphasize safeguarding and prevent unauthorized disclosure of FOUO information. 2. Take appropriate corrective actions, to include administrative or disciplinary action as appropriate, when violations occur. 6. Policy and Procedures A. General 1. The Computer Security Act of 1987, Public Law 100-235, defines "sensitive information" as "any information, the loss, misuse, or unauthorized access to or modification of which could adversely affect the national interest or the conduct of Federal programs, or the privacy to which individuals are entitled under Section 552a of Title 5, United States Code (the Privacy Act) but which has not been specifically authorized under criteria established by an executive NO 11042.1 J 97 •v34�iv�3��I •,r 1.9 4i Contract Number 582-7-72674 Page 41 of 60 Exhibit G order or an act of Congress to be kept secret in the interest of national defense or foreign policy." However, with the exception of certain types of information protected by statute, specific, standard criteria and terminology defining the types of information warranting designation as"sensitive information" does not exist within the Federal government. Such designations are left to the discretion of each individual agency. 2. Within the "sensitive but unclassified" arena, in addition to the various categories of information specifically described and protected by statute or regulation, e.g.,-Tax Return Information, Privacy Act Information, Sensitive Security Information (SSI), Critical Infrastructure Information (Cll), Grand Jury Information, etc. There are numerous additional caveats used by various agencies to identify unclassified information as sensitive, e.g., For Official Use Only; Law Enforcement Sensitive; Official Use Only; Limited Official Use; etc. Regardless of the caveat used to identify it, however, the reason for the designation does not change. Information is designated as sensitive to control and restrict access to certain information, the release of which could cause harm to a person's privacy or welfare, adversely impact economic or industrial institutions, or compromise programs or operations essential to the safeguarding of our national interests. 3. Information shall not be designated as FOUO in order to conceal government negligence, ineptitude, illegalities, or other disreputable circumstances embarrassing to a government agency. 4. Information designated as FOUO is not automatically exempt from disclosure under the provisions of the Freedom of Information Act, 5 U.S.C. 552, (FOIA). Information requested by the public under a FOIA request must still be reviewed on a case-by-case basis. B. For Official Use Only Within DHS, the caveat"FOR OFFICIAL USE ONLY" will be used to identify sensitive but unclassified information within the DHS community that is not otherwise specifically described and governed by statute or regulation. The use of these and other approved caveats will be governed by the statutes and regulations issued for the applicable category of information. C. Information Designated as FOUO 1. The following types of information will be treated as FOUO information. Where information cited below also meets the standards for designation pursuant to other existing statutes or regulations, the applicable statutory or regulatory guidance will take precedence. For example, should information meet the standards for designation as Sensitive Security Information (SSI), then SSI guidance for marking, handling, and safeguarding will take precedence. 4 MD 11042.1 Contract Number 582-7-72674 Page 42 of 60 Exhibit G (a) Information of the type that may be exempt from disclosure per 5 U.S.C. 552, Freedom of Information Act, and its amendments. Designation of information as FOUO does not imply that the information is already exempt from disclosure under FOIA. Requests under FOIA, for information designated as FOUO, will be reviewed and processed in the same manner as any other FOIA request. (b) Information exempt from disclosure per 5 U.S.C. 552a, Privacy Act. (c) Information within the international and domestic banking and financial communities protected by statute, treaty, or other agreements. (d) Other international and domestic information protected by statute, treaty, regulation or other agreements. (e) Information that could be sold for profit. (f) Information that could result in physical risk to personnel. (g) DHS information technology(IT) internal systems data revealing infrastructure used for servers, desktops, and networks; applications. name, version and release; switching, router, and gateway information; interconnections and access methods; mission or business uselneed. Examples of information are systems inventories and enterprise architecture models. Information pertaining to national security systems and eligible for classification under Executive Order 12958, as amended, will be classified as appropriate. (h) Systems security data revealing the security posture of the system. For example, threat assessments, system security plans, contingency plans, risk management plans, Business Impact Analysis studies, and Certification and Accreditation documentation. (i) Reviews or reports illustrating or disclosing facility infrastructure or security vulnerabilities, whether to persons, systems, or facilities, not otherwise eligible for classification under Executive Order 12958, as amended. {j) Information that could constitute an indicator of U.S. government intentions, capabilities, operations, or activities or otherwise threaten operations security. (k) Developing or current technology, the release of which could hinder the objectives of DHS, compromise a technological advantage or countermeasure, cause a denial of service, or provide an adversary with �, r,C F�iN ro�� W n Contract Number 582-7-72674 Page 43 of 60 Exhibit G sufficient information to clone, counterfeit, or circumvent a process or system. 2. Other government agencies and international organizations may use different terminology to identify sensitive information, such as "Limited Official Use (LOU),"and "Official Use Only(OUO)." In most instances the safeguarding requirements for this type of information are equivalent to FOUO. However, other agencies and international organizations may have additional requirements concerning the safeguarding of sensitive information. Follow the safeguarding guidance provided by the other agency or organization. Should there be no such guidance, the information will be safeguarded in accordance with the requirements for FOUO as provided in this manual. Should the additional guidance be less restrictive than in this directive, the information will be safeguarded in accordance with this directive. D. Designation Authority Any DHS employee, detailee, or contractor can designate information failing within one or more of the categories cited in section 6, paragraph C, as FOUO_ Officials occupying supervisory or managerial positions are authorized to designate other information, not listed above and originating under their jurisdiction, as FOLIO. E. Duration of Designation Information designated as FOLIO will retain its designation until determined otherwise by the originator or a supervisory or management official having program management responsibility over the originator and/or the information. F. Marking 1. Information designated as FOUO will be sufficiently marked so that persons having access to it are aware of its sensitivity and protection requirements. The lack of FOLIO markings on materials does not relieve the holder from safeguarding responsibilities. Where the FOUO marking is not present on materials known by the holder to be FOUO, the holder of the material will protect it as FOUO. Other sensitive information protected by statute or regulation, e.g., PCII and SSI, etc., will be marked in accordance with the applicable guidance for that type of information. Information marked in accordance with the guidance provided for the type of information need not be additionally marked FOUO. (a) Prominently mark the bottom of the front cover, first page, title page, back cover and each individual page containing FOUO information with the caveat "FOR OFFICIAL USE ONLY." 6u� �,�>}.`� W MD 11042.1 ;v 3 Contract Number 582-7-72674 Page 44 of 60 Exhibit G (b) Materials containing specific types of FOUO may be further marked with the applicable caveat, e.g., "LAW ENFORCEMENT SENSITIVE," in order to alert the reader of the type of information conveyed. Where the sensitivity of the information warrants additional access and dissemination restrictions, the originator may cite additional access and dissemination restrictions. For example: WARNING: This document is FOR OFFICIAL USE ONLY(FOUO). Itis to be controlled, stored, handled, transmitted, distributed, and disposed of in accordance with DHS policy relating to FOUO information. This information shall not be distributed beyond the original addressees without prior authorization of the originator. (c) Materials being transmitted to recipients outside of DHS, for example, other federal agencies, state or local officials, etc. who may not be aware of what the FOUO caveat represents, shall include the following additional notice: WARNING: This document is FOR OFFICIAL USE ONLY(FOLIO). 1t contains information that may be exempt from public release under the Freedom of lnfonnation Act(5 U.S.C. 552). It is to be controlled, stored, handled, transmitted, distributed, and disposed of in accordance with DHS policy relating to FOLIO information and is not to be released to the public or other personnel who do not have a valid"need-to-know"without prior approval of an authorized DNS official. (d) Computer storage media, i.e., disks, tapes, removable drives, etc., containing FOUO information will be marked "FOR OFFICIAL USE ONLY." (e) Portions of a classified document, i.e., subjects, titles, paragraphs, and subparagraphs that contain only FOUO information will be marked with the abbreviation (FOLIO). (f) Individual portion markings on a document that contains no other designation are not required. (g) Designator or originator information and markings, downgrading instructions, and date/event markings are not required. G. General Handling Procedures Although FOLIO is the DHS standard caveat for identifying sensitive unclassified information,some types of FOLIO information may be more sensitive than others 7 MD 11042.1 Contract Number 582-7-72674 Page 45 of 60 Exhibit G and thus warrant additional safeguarding measures beyond the minimum requirements established in this manual. For example, certain types of information may be considered extremely sensitive based on the repercussions that could result should the information be released or compromised. Such repercussions could be the loss of life or compromise of an informant or operation. Additional control requirements may be added as necessary to afford appropriate protection to the information. DHS employees, contractors, and detailees must use sound judgment coupled with an evaluation of the risks, vulnerabilities, and the potential damage to personnel or property as the basis for determining the need for safeguards in excess of the minimum requirements and protect the information accordingly. 1. When removed from an authorized storage location (see section 6.1) and persons without a need-to-know are present, or where casual observation would reveal FOUO information to unauthorized persons, a "FOR OFFICIAL USE ONLY" cover sheet(Enclosure 1) will be used to prevent unauthorized or inadvertent disclosure. 2. When forwarding FOUO information, a FOUO cover sheet should be placed on top of the transmittal letter, memorandum or document. 3. When receiving FOLIO equivalent information from another government agency, handle in accordance with the guidance provided by the other government agency. Where no guidance is provided, handle in accordance with the requirements of this directive. H. Dissemination and Access 1. FOUO information will not be disseminated in any manner- orally, visually, or electronically -to unauthorized personnel. 2. Access to FOUO information is based on "need-to-know" as determined by the holder of the information. Where there is uncertainty as to a person's need-to-know, the holder of the information will request dissemination instructions from their next-level supervisor or the information's originator. 3. The holder of the information will comply with any access and dissemination restrictions. 4. A security clearance is not required for access to FOUO information. 5. When discussing or transferring FOLIO information to another individual(s), ensure that the individual with whom the discussion is to be held or the information is to be transferred has a valid need-to-know, and that: precautions are taken to prevent unauthorized individuals from overhearing the conversation, observing the materials, or otherwise obtaining the information. S MD 11042.1 Contract Number 552-7-72674 Page 46 of 60 Exhibit G 6. FOLIO information may be shared with other agencies, federal, state, tribal, or local government and law enforcement officials, provided a specific need-to-know has been established and the information is shared in furtherance of a coordinated and official governmental activity. Where FOUO information is requested by an Official of another agency and there is no coordinated or other official governmental activity, a written request will be made from the requesting agency to the applicable DHS program office providing the name(s) of personnel for whom access is requested, the specific information to which access is requested, and basis for need-to-know. The DHS program office shall then determine if it is appropriate to release the information to the other agency official. (see section 6.17 for marking requirements) 7. Other sensitive information protected by statute or regulation, i.e., Privacy Act, CII, SSI, Grand Jury, etc., will be controlled and disseminated in accordance with the applicable guidance for that type of information. 8. If the information requested or to be discussed belongs to another agency or organization, comply with that agency's policy concerning third party discussion and dissemination. S. When discussing FOUO information over a telephone, the use of a STU III (Secure Telephone Unit), or Secure Telephone Equipment (STE), is encouraged, but not required. I. Storage 1. When unattended, FOUO materials will, at a minimum, be stored in a lacked file cabinet, locked desk drawer, a locked overhead storage compartment such as a systems furniture credenza, or similar locked compartment. Materials can also be stored in a room or area that has sufficient physical access control measures to afford adequate protection and prevent unauthorized access by members of the public, visitors, or other persons without a need-to-know, such as a locked room, or an area where access is controlled by a guard, cipher lock, or card reader. 2. FOUO information will not be stored in the same container used for the storage of classified information unless there is a correlation between the information. When FOUO materials are stored in the same container used for the storage of classified materials, they will be segregated from the classified materials to the extent possible, i.e. separate folders, separate drawers, etc. 3. IT systems that store FOLIO information will be certified and accredited for operation in accordance with federal and DHS standards. Consult the DHS Information Technology Security Program Handbook for Sensitive Systems, Publication 4300A, for more detailed information. 9 -r+r. rl'.' .m; , MD 11042.1 r�. ' 1 NT3,W-R IVI,la:rr Contract Number 582-7-72674 Page 47 of 60 Exhibit G 4. Laptop computers and other media containing FOUO information will be stored and protected to prevent loss, theft, unauthorized access and unauthorized disclosure. Storage and control will be in accordance with DHS Information Technology Security Program Handbook for Sensitive Systems, Publication 4300A. J. Transmission 1. Transmission of hard copy FOUO within the U.S. and its Territories: (a) Material will be placed in a single opaque envelope or container and sufficiently sealed to prevent inadvertent opening and to show evidence of tampering. The envelope or container will bear the complete name and address of the sender and addressee, to include program office and the name of the intended recipient (if known). (b) FOLIO materials may be mailed by U.S. Postal Service First Class Mail or an accountable commercial delivery service such as Federal Express or United Parcel Service. (c) FOUO materials may be entered into an inter-office mail system provided it is afforded sufficient protection to prevent unauthorized access, e.g., sealed envelope. 2. Transmission to Overseas Offices: When an overseas office is serviced by a military postal facility, i.e., APO/FPO, FOUO may be transmitted directly to the office. Where the overseas office is not serviced by a military postal facility, the materials will be sent through the Department of State, Diplomatic Courier. 3. Electronic Transmission. (a) Transmittal via Fax. Unless otherwise restricted by the originator, FOUO information may be sent via nonsecure fax. However, the use of a secure fax machine is highly encouraged. Where a nonsecure fax is used, the sender will coordinate with the recipient to ensure that the materials faxed will not be left unattended or subjected to possible unauthorized disclosure on the receiving end. The holder of the material will comply with any access, dissemination, and transmittal restrictions cited on the material or verbally communicated by the originator. (b) Transmittal via E-Mail (i) FOUO information transmitted via email should be protected by encryption or transmitted within secure communications systems. When this is impractical or unavailable, FOUO may be transmitted over regular email channels. For added security, when 10 MD 11042.1 Contract Number 582-7-72674 Page 48 of 60 Exhibit G transmitting FOUO over a regular email channel, the information can be included as a password protected attachment with the password provided under separate cover. Recipients of FOLIO information will comply with any email restrictions imposed by the originator. (ii) Per DHS MD 4300,,DHS Sensitive Systems Handbook, due to inherent vulnerabilities, FOLIO information shall not be sent to personal email accounts. (c) DHS Internet/intranet (i) FOLIO information will not be posted on a DHS or any other internet (public)website. (ii) FOUO information may be posted on the DHS intranet or other government controlled or sponsored protected encrypted data networks, such as the Homeland Security Information Network (HSIN). However, the official authorized to post the information should be aware that access to the information is open to all personnel who have been granted access to that particular intranet site. The official must determine the nature of the information is such that need-to-know applies to all personnel; the benefits of posting the information outweigh the risk of potential compromise; the information posted is prominently marked as FOR OFFICIAL USE ONLY; and information posted does not violate any provisions of the Privacy Act. K. Destruction 1. FOLIO material will be destroyed when no longer needed. Destruction may be accomplished by: (a) "Hard Copy" materials will be destroyed by shredding, burning, pulping, pulverizing, such as to assure destruction beyond recognition and reconstruction. After destruction, materials may be disposed of with normal waste. (b) Electronic storage media shall be sanitized appropriately by overwriting or degaussing. Contact local IT security personnel for additional guidance. (c) Paper products containing FOUO information will not be disposed of in regular trash or recycling receptacles unless the materials have first been destroyed as specified above. 11 MD 11042.1 Contract Number 552-7-72674 Page 49 of 60 Exhibit G L. Incident Reporting 1. The loss, compromise, suspected compromise, or unauthorized disclosure of FOUO information will be reported. Incidents involving FOUO in DHS IT systems will be reported to the-organizational element Computer Security Incident Response Center in accordance with IT incident reporting requirements. 2. Suspicious or inappropriate requests for information by any means, e.g., email or verbal, shall be report to the DHS Office of Security. 3. Employees or contractors who observe or become aware of the loss, compromise, suspected compromise, or unauthorized disclosure of FOUO information will report it immediately, but not later than the next duty day, to the originator and the local Security Official. 4. Additional notifications to appropriate DHS management personnel will be made without delay when the disclosure or compromise could result in physical harm to an individual(s) or the compromise of a planned or on-going operation. 5. At the request of the originator, an inquiry will be conducted'by the local security official or other designee to determine the cause and affect of the incident and the appropriateness of administrative or disciplinary action against the offender. Dated: -� At�Y6 ry of HomelandSecurity I2 MD 11042.1 Contract Number 582-7-72674 Page 50 of 60 Exhibit G Department ®f Homeland Security FOR OFFICIAL USE ONLY THE ATTACHED MATERIALS CONTAIN DEPARTMENT OF HOMELAND SECURITY INFORMATION THAT IS "FOR OFFICIAL USE ONLY," OR OTHER TYPES OF SENSITIVE BUT UNCLASSIFIED INFORMATION REQUIRING PROTECTION AGAINST UNAUTHORIZED DISCLOSURE. THE ATTACHED MATERIALS WILL BE HANDLED AND SAFEGUARDED IN ACCORDANCE WITH DHS MANAGEMENT DIRECTIVES GOVERNING PROTECTION AND DISSEMINATION OF SUCH INFORMATION. AT A MINIMUM, THE ATTACHED MATERIALS WILL BE DISSEMINATED ONLY ON A "NEED-TO-KNOW" BASIS AND THEN UNATTENDED, WILL BE STORED IN A LOCKED CONTAINER OR AREA OFFERING SUFFICIENT PROTECTION AGAINST THEFT, COMPROMISE, INADVERTENT ACCESS AND UNAUTHORIZED DISCLOSURE. 13 MD 11042.1 Contract Number 582-7-72674 Page 51 of 60 DEPARTMENT OF HOMELAND SECURITY ® Exhibit H NON-DISCLOSURE AGREEMENT I, an individual official,employee,consultant, or subcontractor of or to (the Authorized Entity), intending to be legally bound,hereby consent to the terms in this Agreement in consideration of my being granted conditional access to certain information,specified below,that is owned by,produced by,or in the possession of the United States Government. (Signer will acknowledge the category or categories of information that he or she may have access to,and the signer's willingness to comply with the standards for protection by placing his or her initials in Front of the applicable category or categories.) Initials: Protected Critical infrastructure Information (PCII) I attest that I am familiar with,and I will comply with all requirements of the PCII program set out in the Critical Infrastructure Information Act of 2002(CII Act)(Title 11, Subtitle B, of the Homeland Security Act of 2002,Public Law 107-296, 196 Stat.2135,6 USC 101 et seq.),as amended,the implementing regulations thereto(6 CFR Part 29), as amended, and the applicable PCII Procedures Manual,as amended,and with any such requirements that may be officially communicated to me by the PCII Program Manager or the PCII Program Manager's designee. Initials: Sensitive Security Information (5S1) I attest that I am familiar with,and I will comply with the standards for access,dissemination,handling, and safeguarding of SSI information as cited in this Agreement and in accordance with 49 CFR Part 1520,"Protection of Sensitive Security Information,""Policies and Procedures for Safeguarding and Control of SSI,"as amended, and any supplementary guidance issued by an authorized official of the Department of Homeland Security. Initials: Other Sensitive but Unclassified (SBU) As used in this Agreement,sensitive but unclassified information is an over-arching term that covers any information, not otherwise indicated above,which the loss of,misuse of,or unauthorized access to or modification of could adversely affect the national interest or the conduct of Federal programs, or the privacy to which individuals are entitled under Section 552a of Title 5,as amended,but which has not been specifically authorized under criteria established by an Executive Order or an Act of Congress to be kept secret in the interest of national defense or foreign policy.This includes information categorized by DHS or other government agencies as:For Official Use Only(FOLIO); Official Use Only(OUO); Sensitive Homeland Security Information(SHSI);Limited Official Use (LOU);Law Enforcement Sensitive(LES); Safeguarding Information(SGI);Unclassified Controlled Nuclear Information(UCNI);and any other identifier used by other government agencies to categorize information as sensitive but unclassified. I attest that I am familiar with,and I will comply with the standards for access,dissemination, handling,and safeguarding of the information to which I am granted access as cited in this Agreement and in accordance with the guidance provided to me relative to the specific category of information. I understand and agree to the following terms and conditions of my access to the information indicated above: 1.1 hereby acknowledge that I have received a security indoctrination concerning the nature and protection of information to which I have been provided conditional access,including the procedures to be followed in ascertaining whether other persons to whom I contemplate disclosing this information have been approved for access to it,and that I understand these procedures. 2.By being granted conditional access to the information indicated above,the United States Government has placed special confidence and trust in me and I am obligated to protect this information from unauthorized disclosure, in accordance with the terms of this Agreement and the laws,regulations,and directives applicable to the specif c categories of information to which I am granted access. 3.I attest that I understand my responsibilities and that 1 am familiar with and will comply with the standards for protecting such information that I may have access to in accordance with the terms of this Agreement and the laws,regulations,and/or directives applicable to the specifi c categories of information to which I am granted access.I understand that the United States Government may conduct inspections,at any time or place,for the purpose of ensuring compliance with the conditions for access,dissemination, handling and safeguarding information under this Agreement. DHS Form 11000-6(08-04) Page 1 Contract Number 582-7-72674 Page 52 of 60 4. 1 will not disclose or release any information provided to me pursuant to this Agreement without proper aaknOw or authorization. Should situations arise that warrant the disclosure or release of such information I will do so only under approved circumstances and in accordance with the laws,regulations, or directives applicable to the specific categories of information. I will honor and comply with any and all dissemination restrictions cited or verbally relayed to me by the proper authority. 5. (a)For PCII-(1)Upon the completion of my engagement as an employee,consultant,or subcontractor under the contract,or the completion of my work on the PCII Program,whichever occurs first,I will surrender promptly to the PCII Program Manager or his designee,or to the appropriate PCII officer,PCII of any type whatsoever that is in my possession. (2)If the Authorized Entity is a United States Government contractor performing services in support of the PCII Program,I will not request,obtain,maintain,or use PCII unless the PCII Program Manager or Program Manager's designee has first made in writing,with respect to the contractor,the certification as provided for in Section 29.8(c)of the implementing regulations to the CII Act, as amended. (b)For SSI and SBU-I hereby agree that material which I have in my possession and containing information covered by this Agreement,will be handled and safeguarded in a manner that affords sufficient protection to prevent the unauthorized disclosure of or inadvertent access to such information,consistent with the laws,regulations, or directives applicable to the specific categories of information.I agree that I shall return all information to which I have had access or which is in my possession 1)upon demand by an authorized individual; and/or 2)upon the conclusion of my duties, association, or support to DHS; and/or 3)upon the determination that my official duties do not require further access to such information. b. I hereby agree that I will not alter or remove markings,which indicate a category of information or require specific handling instructions, from any material I may come in contact with, in the case of SSI or SBU, unless such alteration or removal is consistent with the requirements set forth in the laws,regulations,or directives applicable to the specific category of information or, in the case of PCII,unless such alteration or removal is authorized by the PCII Program Manager or the PCII Program Manager's designee.i agree that if I use information from a sensitive document or other medium, I will carry forward any markings or other required restrictions to derivative products, and will protect them in the same matter as the original. 7. I hereby agree that I shall promptly report to the appropriate official, in accordance with the guidance issued for the applicable category of information, any Ioss,theft,misuse,misplacement,unauthorized disclosure, or other security violation,I have knowledge of and whether or not I am personally involved. I also understand that my anonymity will be kept to the extent possible when reporting security violations. 8. If I violate the terms and conditions of this Agreement,such violation may result in the cancellation of my conditional access to the information covered by this Agreement.This may serve as a basis for denying me conditional access to other types of information,to include classified national security information. 9. (a) With respect to SST and SBU,I hereby assign to the United States Government all royalties,remunerations, and emoluments that have resulted,will result, or may result from any disclosure,publication,or revelation of the information not consistent with the terms of this Agreement. (b) With respect to PCIl I hereby assign to the entity owning the PCII and the United States Government,all royalties,remunerations, and emoluments that have resulted,will result,or may result from any disclosure, publication,or revelation of PCII not consistent with the terms of this Agreement. 10.This Agreement is made and intended for the benefit of the United States Government and may be enforced by the United States Government or the Authorized Entity. By granting me conditional access to information in this context,the United States Government and,with respect to PCII,the Authorized Entity, may seek any remedy available to it to enforce this Agreement including, but not limited to,application for a court order prohibiting disclosure of information in breach of this Agreement.I understand that if I violate the terms and conditions of this Agreement,I could be subjected to administrative,disciplinary,civil,or criminal action, as appropriate,under the laws,regulations, or directives applicable to the category of information involved and neither the United States Government nor the Authorized Entity have waived any statutory or common law evidentiary privileges or protections that they may assert in any administrative or court proceeding to protect any sensitive information to which I have been given conditional access under the terms of this Agreement. DHS Form 11000-6(08-04) Page 2 Contract Number 582-7-72674 Page 53 of 60 11. Unless and until I am released in writing by an authorized representative of the Department of HomelandAggp4ity(if permissible for the particular category of information), I understand that all conditions and obligations imposed upon me by this Agreement apply during the time that I am granted conditional access,and at all times thereafter. 12.Each provision of this Agreement is severable. If a court should find any provision of this Agreement to be unenforceable, all other provisions shall remain in full force and effect. 13.My execution of this Agreement shall not nullify or affect in any manner any other secrecy or non-disclosure Agreement which I have executed or may execute with the United States Government or any of its departments or agencies. 14. These restrictions are consistent with and do not supersede,conflict with, or otherwise alter the employee obligations,rights, or liabilities created by Executive Order No. 12958, as amended; Section 7211 of Title 5,United States Code(governing disclosures to Congress); Section 1034 of Title 10,United States Code,as amended by the Military Whistleblower Protection Act(governing disclosure to Congress by members of the military); Section 2302(b)(8)of Title 5,United States Code,as amended by the Whistleblower Protection Act(governing disclosures of illegality,waste, fraud,abuse or public health or safety threats);the Intelligence Identities Protection Act of 1982(50 USC 421 et seq.)(governing disclosures that could expose confidential Government agents);and the statutes which protect against disclosure that may compromise the national security,including Sections 641,793,794,798,and 952 of Title 18,United States Code,and Section 4(b) of the Subversive Activities Act of 1950(50 USC 783(b)).The definitions,requirements, obligations,rights,sanctions, and liabilities created by said Executive Order and listed statutes are incorporated into this agreement and are controlling. 15. Signing this Agreement does not bar disclosures to Congress or to an authorized official of an executive agency or the Department of Justice that are essential to reporting a substantial violation of law. 16. 1 represent and warrant that I have the authority to enter into this Agreement. 17.I have read this Agreement carefully and my questions, if any,have been answered. I acknowledge that the briefing officer has made available to me any laws,regulations, or directives referenced in this document so that I may read them at this time, if so choose. DEPARTMENT OF HOMELAND SECURITY NON-DISCLOSURE AGREEMENT Acknowledgement Typed/Printed Name: Government/DepartmenVAgency/Business Address Telephone Number: I make this Agreement in good faith,without mental reservation or purpose of evasion. Signature: WITNESS: TypedlPrinted Name: Government/Department/Agency/Business Address 1 Telephone Number: Signature: This form is not subject to the requirements of P.L. 104-13, "Paperwork Reduction Act of 1995"44 USC, Chapter 35. DHS Form 11000-6 (08-04) Page 3 Contract Number 582-7-72674 Page 54 of 60 Texas Commission on Environmental Quality Exhibit I FINANCIAL STATUS REPORT 1. STATE AGENCY ORGANIZATION UNIT TO WHICH REPORT IS SUBMITTED: 2. GRANT/CONTRACT TITLE: 3. PAYEE IDENTIFICATION NUMBER: 4. RECIPIENT ORGANIZATION (NAME AND COMPLETE ADDRESS, INCLUDING ZIP CODE): 5. TCEQ CONTRACT NUMBER: 6. FINAL REPORT: YES NO 7. ACCOUNTING BASIS: CASH ACCRUAL 8. TOTAL PROJECT/GRANT PERIOD: 9. PERIOD COVERED BY THIS REPORT: FROM TO FROM TO 10. BUDGET CATEGORIES: Approved Project Cost Cumulative Balance * Budget This Report Project Cost a.Personnel/Salary b.Fringe Benefits c.Travel d.Supplies e.Equipment (.Contractual g.Construction h.Other i.Total Direct Costs (Sum a-h) j.lndirect Costs k.Total (Sum of i&j) 'List (itemize) on the appropriate supplemental form all component expenses comprising the total for each of these categories. Please attach receipts,as required,in accordance with Attachment B of your contract. "Negative balances in any of the budget categories should be explained in a brief accompanying narrative. 11. CERTIFICATION I certify to the best of my knowledge and belief that this report is correct and complete and that all outlays and unliquidated obligations are for the purposes set forth in the award document. Signature of Authorized Certifying Official Typed or Printed Name and Title a UIS°?l N��'U Telephone (Area code, number and ext.) Date Submitted CNM C� v3` 5 LIiiI-L TCEQ Form -Page 1 of 6 Contract Number 582-7-72674 Page 55 of 60 ITEMIZATION OF EQUIPMENT AND CONTRACTUAL COSTS Exhibit I EQUIPMENT PURCHASES durin this reportperiod) NUMBER ITEM DESCRIPTION UNIT TOTAL TASKS PURCHASED Should match description rovided for approval COST COST TOTAL EQUIPMENT EXPENDITURES(must agree with line 10e on Form 269a) $ CONTRACTUAL EXPENDITURES (during this report period) SUBCONTRACTOR(NAME) FOR COST(THIS PERIOD) TASKS OTAL CONTRACTUAL EXPENDITURES(must agree with line 10f on Form 269a) $ LEGIBLE PURCHASE ORDER AND/OR INVOICES MUST BE ATTACHED TO THIS FORM FOR EACH LISTED ITEM OR EXPENDITURE. TCEQ Form-Page 2 of 6 Contract Number 582-7-72674 Page 56 of 60 ITEMIZATION OF CONSTRUCTION COSTS Exhibit 1 CONSTRUCTION COSTS (during this report period) DESCRIPTION PURPOSE COST(THIS PERIOD) TASKS -1 L IT OTAL CONSTRUCTION EXPENDITURES(must agree with line 10g on Form 269a) $ *LEGIBLE DOCUMENTATION MUST BE ATTACHED FOR ALL LISTED EXPENDITURES. TCEQ Form-Page 3 of 6 Contract Number 582-7-72674 Page 57 of 60 Exhibit ITEMIZATION OF SUPPLY AND OTHER COSTS SUPPLIES PURCHASED (during this report period) NUMBER ITEM DESCRIPTION UNIT TOTAL TASKS PURCHASED (Should match description provided for approval) COST COST TOTAL SUPPLY EXPENDITURES(must agree with line 10d on Form 269a) $ OTHER EXPENDITURES (during this report period) NUMBER DESCRIPTION UNIT TOTAL TASKS PURCHASED COST COST OTAL OT!!ER EXPENDITURES(must agree with line 10h on Form 269a) $ *LEGIBLE RECEIPTS OR OTHER SUBSTANTIATING DOCUMENTATION MAY BE ATTACHED FOR EXPENDITURES THAT EQUAL OR EXCEED$500. TCEQ Form-Page 4 of 6 Contract Number 582-7-72674 Page 58 of 60 Exhibit I ITEMIZATION OF PERSONNEUSALARY AND TRAVEL COSTS PERSONNEL/SALARY EXPENDITURES (during this report period) EMPLOYEE NAME TITLE/POSITION SALARY(THIS TASKS PERIOD TOTAL PERSONNEUSALARY EXPENDITURES (must agree with line 10a on Form 269a) [s . TRAVEL EXPENDITURES (during this report period) DESCRIPTION REASON COST(THIS PERIO TASKS TOTAL TRAVEL EXPENDITURES (must agree with line 10c on $ Form 269x) * SUBSTANTIATING DOCUMENTATION (time sheets, travel receipts,etc.)MAY BE REQUIRED TO BE ATTACHED TO THIS FORM TCEQ Form - Page 5 of 6 Contract Number 582-7-72674 Page 59 of 60 Exhibit Financial Status Report Preparation Instructions 1. The PERFORMING PARTY,in order to obtain reimbursement for those expenditures authorized under this Contract,shall submit, a completed, legible TCEQ Financial Status Report(TCEQ Form 269a)and any required TCEQ Supplemental 269a forms. Unless directed otherwise in the Contract,the PERFORMING PARTY shall submit such payment request documents by not later than twenty-one(21)days after the close of each state fiscal year quarter. The reporting periods shall also correspond to the State of Texas fiscal year quarters(September-November; December-February, March-May,June-August). Each Financial Status Report shall indicate,for each budget sub-category the PERFORMING PARTY'S project expenditures for the period in question,the cumulative expenditures with respect to each budget sub-category, and the balance remaining in each budget sub-category following reimbursement of the amount being requested. A quarterly Financial Status Report is required even if no expenses were incurred during the report period. 2. All requests for reimbursement of expenditures that fall within either the"Equipment"or"Contractual"categories of the Contracts Cost Budget shall be itemized by the PERFORMING PARTY on Supplemental Form 269a-1 and identified with respect to the major tasks or objectives,set forth in the Scope of Work, that such expenditures support or satisfy. In addition, the PERFORMING PARTY shall attach,for each reimbursable cost listed on Supplemental Form 269a-1, legible documentation that(1)serves to further identify the specific piece of equipment received or the services provided, (2)clearly identifies the vendor or subcontractor who provided the equipment or services, and(3)that confirms the reimbursable amount listed on the form. In the case of equipment purchases,the attached documentation shall be either a purchase order marked "received/paid"or a vendor-submitted invoice similarly marked. In the case of subcontractor provided services,the documentation shall consist of a dated invoice that shows the amount billed to the PERFORMING PARTY and any"past due" amount from previous invoices. 3. All requests under this Contract for the reimbursement of expenditures that fall within the"Construction"category of the Contracts Cost Budget shall be itemized by the PERFORMING PARTY on Supplemental Form 269a-2 and identified with respect to the major tasks or objectives,set forth in the Scope of Work, that such expenditures support or satisfy. In addition, the PERFORMING PARTY shall attach,for each reimbursable cost listed on Supplemental Form 269a-2, legible documentation that(1)serves to further identify the specific cost, (2)clearly identifies the vendor or subcontractor who provided the construction related materials or services,and (3)that confirms the reimbursable amount listed on the form. The attached documentation shall be either a purchase order marked"received/paid"or an invoice similarly marked. In the case of subcontractor provided construction services,the documentation shall consist of a dated invoice that shows the amount billed to the PERFORMING PARTY and any"past due"amount from previous invoices. 4. All requests for the reimbursement of expenditures that fall within either the"Supply"or"Other"categories of the Contracts Cost Budget shall be itemized by the PERFORMING PARTY on Supplemental Form 269a-3 and identified with respect to the major tasks or objectives,set forth in the Scope of Work,that such expenditures support or satisfy. In addition,for any single- listed item or service costing more than$500,the PERFORMING PARTY shall attach, for each reimbursable cost listed on Supplemental Form 269a-3, legible documentation that(1)serves to further identify the specific items or services,(2)clearly identifies the vendor or subcontractor who provided the items or services,and(3)that confirms the reimbursable amount listed on the form. Although issued purchase orders and/or invoices marked"received/paid"represent the preferred types of documentation for purposes of this section,the PERFORMING PARTY may substitute/attach other records or documents that provide the same type of information. The PERFORMING PARTY shall not intentionally break up single orders of identical or similar items, materials or supplies simply for the purpose of avoiding the above requirement to provide confirming documentation when submitting reimbursement requests to the TCEQ. 5. All requests for reimbursement of expenditures that fall within either the"Personnel/Salary"or"Travel"categories of the Contracts Cost Budget shall be itemized by the PERFORMING PARTY on Supplemental Form 269a-4 and identified with respect to the major tasks or objectives,set forth in the Scope of Work,that such expenditures support or satisfy. Although no supporting documentation is required to be attached to Supplemental Form 269a-4 with respect to reported"Personnel/Salary" expenditures in order to receive reimbursement, the PERFORMING PARTY is expected to maintain signed time sheets that can serve to verify the total,overall hours of staff time being directly billed to this Contract. With respect to employee travel, all costs listed on Form 269a-4 must be supported by attached documentation that identifies the name of the traveler's, and that substantiates the reported reimbursable costs. Documentation,for the purpose of substantiating travel-related costs, includes the following: (1)legible copies of the PERFORMING PARTY-approved travel vouchers, signed by the employees who traveled, and (2)for any travel-related expenses under this contract borne directly by the PERFORMING PARTY(and thus for which reimbursement by the PERFORMING PARTY to the traveler was not required)separate receipts showing, at a minimum,the traveler's name,the travel location,and the travel date(s). 6. When a single expenditure supports or satisfies more than one task or objective,the PERFORMING PARTY need not breakdown that particular expenditure by specific contract task or objective but may simply identify, in relative cost order,the various tasks or objectives supported. Form Instructions -Page 6 of 6 Contract Number 582-7-72674 Page 60 of 60 City of Fort Worth, Texas Mayor and Council Communication COUNCIL ACTION: Approved on 6/20/2006 -Ordinance No. 17011-06-2006 DATE: Tuesday, June 20, 2006 LOG NAME: 52AIRMONITORING REFERENCE NO.: **C-21625 SUBJECT: Authorize Execution of Inter-Local Agreement with the Texas Commission on Environmental Quality for the Operation of Local Air Pollution Monitors and Adopt Appropriation Ordinance RECOMMENDATION: It is recommended that the City Council: 1. Authorize the City Manager to execute an inter-local agreement with the Texas Commission on Environmental Quality (TCEQ) in the amount of $529,000.00 for the operation of whole air samplers by the City of Fort Worth during FY 2006-2007; 2. Adopt the attached appropriation ordinance increasing estimated receipts and appropriations in the Grants Fund by $ 529,000.00 in FY 2006-2007, subject to receipt of an executed inter-local agreement; and 3. Apply indirect cost at the rate of10.00% in accordance with the terms of the interlocal agreement. DISCUSSION: In 2003 the United States Environmental Protection Agency launched a new air monitoring network. The Texas Commission on Environmental Quality has been designated as the administering agency. Since the inception of this new monitoring program, the TCEQ has contracted with the City for operation and maintenance of the monitoring equipment. The City will be responsible for retrieving the sampling data, sending it for analysis and performing regular maintenance activities on the equipment under the terms of this agreement. FISCAL INFORMATION/CERTIFICATION: The Finance Director certifies that upon approval of the above recommendations and adoption of the attached appropriation ordinance, funds will be available in the current operating budget, as appropriated, of the Grants Fund. TO Fund/Account/Centers FROM Fund/AccountlCCeenters GR76 451543 052412??? $529,000.00 000 GR76 _5 $529,000.00 (VARIOUS 052412???010 Submitted for City Manager's Office W. Libby Watson (6199) Logname: 60SOUTHWEST Page 1 of 2 Originating Department Head: Brian Boerner(6647) Additional Information_Contact: Michael Gange (6569) Logname: 60SOUTHWEST Page 2 of 2