HomeMy WebLinkAboutContract 49671 CITY SECRETARY4q�
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CONTRACT NO. `
Texas Commission on Environmental Quality
Cooperative Reimbursement Contract
for State Agencies and Local Governments
CONTRACT SIGNATURE PAGE
Contract Name: City of Fort Worth-105 Pass-Thru Grant
Contract Number: 582-18-800915..?
Performing Party: City of Fort Worth
Performing Party Identification Number i7560005088 \}D e
Maximum Authorized Reimbursement: $2o6,934.00LyORTf
Effective Date: ® 9/1/17 ❑ Date of last signature '
Expiration Date: ® 8/31/19 ❑ Last day of Fiscal Year in which the Contract was signed
® If checked,this Contract requires matching funds. Match Requirement: 33%
® If checked,this Contract is funded with federal funds.
CFDA Number: 66.6o5
Federal Grant Number: 9oo638
This Contract is entered under: ❑Gov't Code ch.771❑Godt Code ch.791❑Water Code§5.124
®Tex.Water Code §5.229 and 7.351-7.358 and Safety Code§§382.033 382.111-
382.115
The Texas Commission on Environmental Quality(TCEQ),an agency of the State of Texas,and the named Performing Party,a state
agency or local government of the State of Texas,enter this agreement(Contract)to cooperatively conduct authorized governmental
functions and activities under the laws of the State of Texas.
The Parties agree as follows: (a)to be effective,the Contract must be signed by an authorized official of the TCEQ and the Performing
Party;(b)this Contract consists of all documents specified in the list of Contract Documents following this page;and(c)as authorized
by TCEQ,Performing Party will conduct Contract Activities as part of its own authorized governmental functions and TCEQ will
reimburse Allowable Costs subject to the Texas Uniform Grant Management Standards(UGMS)and this Contract.
Texas Commission on City of Fort Worth
Environmental Quality(TCEQ) (Performing Party)
By; Or By: _
Authorized Signature )� Authorized Signature
AgjWro Garcia:Jr. Fernando Costa
Printed Name Printed Name
Assistant City Manager
Deputy Director-Office of Compliance&Enforcement Title
Title 9//8 /7
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Procurements&Contracts Representative
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Texas Commission PFICIAL RECORD Page 1 of 1 onald P. Gonzales,Asst.-City
Environmental Que litVITY SECRETARY 582-18-80091
FT.WORTH,TX L 1 13 112-111
CONTRACT DOCUMENTS LIST
This Contract between TCEQ and Performing Party consists of the Contract Documents
listed on this page. Documents on this list include all amendments. In the event of a
conflict of terms,the Contract Documents as amended control in the descending order of
the list,subject to provisions in the Special Terms and Conditions, if any. All Contract
provisions,however,are subject to control by the latest amendment and most specific
provision and by the applicable state and federal laws, rules and regulations.
• Contract Signature Page
• Contract Documents List(this page)
• Special Terms and Conditions
• Federal Conditions and.Forms
o. EPA Certification Regarding Lobbying
o EPA Disclosure of Lobbying Activities
o EPA MBE/WBE Utilization Under Federal Grants and Cooperative
Agreements
o TCEQ Pass-Through Funding Information and Federal Funding
Accountability and Transparency Act Reporting Form
• General Terms and Conditions
• Scope of Work
Cost Budget
• Notices,Project Representatives and Records Locations
• Attachment A: Release of Claims
• Attachment B: Budget Revision Request Form
• Exhibit A-i: U.S. Environmental Protection Agency(EPA)Requirements for
Quality Management Plans(QA/R-2)
• Exhibit A-2: U.S.Environmental Protection Agency(EPA)Requirements for
Quality Assurance Project Plans(QA/R-5)
• Exhibit A-3: Quarterly Report Checklist
o Form B-1: HUB Subcontracting Plan(HSP) Prime Contractor Progress
Assessment Report
o Form B-2:TCEQ State Purchase Voucher
o Form B-3:TCEQ Invoice
o Form B-4: Financial Status Report
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SPECIAL TERMS AND CONDITIONS
ARTICLE i. DEFINITIONS
The following terms are defined as follows:
Y.Y. Acquisition Cost—(of an item of purchased Equipment)The net invoice unit price of the
property including the cost of modifications, attachments, accessories, or auxiliary apparatus
necessary to make that property usable for the purpose for which it was acquired.Other charges
such as the cost of installation, transportation, taxes, duty or protective in-transit insurance,
shall be included or excluded from the unit Acquisition Cost in accordance with the
PERFORMING PARTY's regular accounting practices.
1.2. Cost Sharing or Match--The value of the third party in-kind contributions and the portion
of the costs of a State assisted project or program not borne by the State.
1.3. Equipment - Tangible, nonexpendable, personal property having a useful life of more
than one year and an Acquisition Cost of$1,000 or more per unit. A PERFORMING PARTY
may use its own definition of equipment provided that such definition would at least include all
equipment defined above.
1.4. Major Change -A change in the Work that meets the requirements of Article 4.4 of the
Special Terms and Conditions of this Agreement.
1.5. Minor Change -A written document which provides for minor changes in the Work in
accordance with these Special Conditions,but which does not involve a change in the Contract
Price, contract duration, or any contract deadline.
1.6. Nonconformance - A deficiency in characteristic, documentation, or procedure that
renders the quality or an item or activity unacceptable or indeterminate; non-fulfillment of a
specified requirement.
1.7 Quality Assurance (QA) — An integrated system of management activities involving
planning, implementing, assessment, reporting, and quality improvement to ensure that a
process, item, or service is of the type and quality needed and expected by the customer.
1.8. Quality Control - The overall system of technical activities that measures the attributes
and performance of a process,item,or service against defined standards to verify that they meet
the stated requirements established by the customer; operational techniques and activities that
are used to fulfill requirements for quality.
1.9. Quality Management Plan - A document that describes the quality system in terms of
organizational structure,functional responsibilities of management and staff,lines of authority,
and required interfaces for those planning,implementing,and assessing all.activities conducted.
1.1o. Supplies-Tangible personal property other than Equipment.
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1.11. Surveillance-Continual or frequent monitoring and verification of the status of an entity
and the analysis of records to ensure that specific requirements are being fulfilled.
1.12. Suspension - (1) temporary withdrawal of authority to obligate Grant funds pending
corrective action by the PERFORMING PARTY or a decision to terminate the Grant; (2) an
action by a TCEQ official to exclude a person from participating in Grant transactions for a.
period of time.
1.13. Termination - Permanent withdrawal of the authority to obligate previously-awarded
Grant funds before that authority would otherwise expire, or voluntary relinquishment of that
authority by the PERFORMING PARTY or Subgrantee.
1.1¢. Third party in-kind contributions - Property or services which benefit a State assisted
project or program and which are contributed by third parties without charge to the
PERFORMING PARTY, or a Cost-type PERFORMING PARTY under the Grant Agreement.
1.15. Uniform Grant Management Standards (UGMS) - means the Uniform Grant
Management Standards promulgated by the Texas Comptroller pursuant to the Uniform Grant
Conditions and Management Act,Tex. Govt.Code Chapter 783.
1.16. Work-the entire completed services or the various separately identifiable parts thereof
required to be furnished under the Contract. Work includes and is the result of performing or
furnishing labor, services,materials or equipment as required by the Contract Documents.
1.17 Total Program Cost - means the amount of allowable costs for this Agreement in a
particular fiscal year.
ARTICLE 2. CONTRACT DOCUMENTS: INTENT
2.1. The Contract Documents comprise the entire Contract between TCEQ and
PERFORMING PARTY concerning the. Work. The Contract Documents are complementary;
what is called for by one is as binding as if called for by all.
2.2. It is the intent of the Contract Documents to describe a functionally complete project(or
part thereof) to be constructed in accordance with the total Contract. Any Work; materials or
equipment that may reasonably be inferred from the Contract Documents or from prevailing
custom or trade usage as being required to produce the intended result will be furnished and
performed whether or not specifically called for. When words or phrases which have a well-
known technical or pollution cleanup industry or trade meaning are used to describe Work,
materials or equipment, such words or phrases shall be interpreted in accordance with that
meaning.
ARTICLE 3. PERFORMING PARTY'S RESPONSIBILITIES
3.1. The PERFORMING PARTY shall be responsible for the professional quality, technical
accuracy, timely completion and the coordination of all services and other Work furnished by
the PERFORMING PARTY under this Agreement.
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Personnel
3.2. PERFORMING PARTY shall provide competent, suitably qualified personnel to perform
the Work as required by the Contract Documents. PERFORMING PARTY shall at all times
maintain good discipline and order on the Project.
Materials&Equipment
3.3• Unless otherwise specified in the Contract Documents, PERFORMING PARTY shall
furnish and assume full responsibility for all materials, equipment,labor, transportation,tools,
appliances,fuel,power,light,heat,telephone,water,sanitary facilities,temporary facilities and
all other facilities and incidentals necessary for the furnishing, performance, testing, start-up
and completion of the Work.
3.4• All materials and equipment shall be of good quality and new, except as otherwise
provided in the Contract Documents. 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 Documents.
Title to and Management of Equipment
3.5 Subject to the obligations and conditions set forth in this Contract,title to all equipment
acquired with funds under this Contract shall vest, upon acquisition or construction, with the
PERFORMING PARTY.
3.6 The PERFORMING PARTY will conduct physical property inventories,maintain property
records and necessary control procedures,and provide adequate maintenance with respect to all
equipment acquired under this Contract.
3.7 The PERFORMING PARTY may develop and use its own property management system
which must conform to 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 Texas Comptroller of Public Accounts shall be used as a guide for establishing such a
system.
3.8 Property records must be maintained that include a description of the property, a serial
number or other identification number,the source of property, identification of the title holder,
the acquisition date, 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.
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3.9 A physical inventory of all equipment acquired or replaced under this Contract having an
initial purchase price of One Thousand Dollars ($1,000) or more shall be conducted no less
frequently than once every two(2)years 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.
3.10 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.
3.11 Subject to the provisions of this Article, if no longer needed for the support of the
authorized Projects or Programs referred to in this Contract, equipment acquired under this
Contract, whether original or replacement, may be used in support of other activities currently
or previously supported by 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.
3.12 The PERFORMING PARTY may, for the purpose of replacing equipment utilized under
this Contract, either trade in or sell the equipment or property being replaced and use the
proceeds of such trade-in or sale to offset the cost of acquiring needed replacement property.
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 TCEQ. Items of equipment
with a current per-unit market value of$1,000 or more may be retained or sold and TCEQ shall
have a right to an amount calculated by multiplying the current market value or proceeds from
sale by TCEQ's share.of the equipment. TCEQ's share is the portion of the total costs charged.to
the grant. Methods used to determine per-unit fair market value must be documented, kept on
file and made available to TCEQ upon request.
3.13 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 this Contract, the TCEQ may require the PERFORMING PARTY to transfer title and
possession to such equipment to TCEQ ora third party named by TCEQ.
3.14 The PERFORMING PARTY agrees that if a determination is made within six(6) 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 this
Contract, TCEQ has a right to require the transfer of any equipment having a fair market, per
unit value of more than $1,000 to TCEQ or a third party named by TCEQ.
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3.15 The PERFORMING PARTY shall not grant or allow to a third party a security interest in
any original or replacement equipment purchased or constructed with funds made available to
PERFORMING PARTY under this Contract.
3.16 The PERFORMING PARTY agrees that, in the event any funds provided under this
Contract are in turn awarded to any Subcontractor for the purchase or acquisition of any
equipment by such other party, the PERFORMING PARTY's contract with that Subcontractor
shall include the requirements of this Contract.
Substitutes and"or-Equal"Items:
3.17 Whenever an item of material or equipment is specified or described in the Contract
Documents by using the name of a proprietary item or the name of a particular Supplier, the
specification or description is intended to establish the type, function and quality required.
Unless the specification or description contains or is followed by words reading that no like,
equivalent or "or-equal" item or no substitution is permitted, other items of material or
equipment of other Suppliers may be accepted by TCEQ.
3.18 Substitute Methods or Procedures: If a specific means, method, technique, sequence or
procedure is shown or indicated in and expressly required by the Contract Documents,
PERFORMING PARTY may furnish or utilize a substitute means, method,technique,sequence
or procedure acceptable to TCEQ. PERFORMING PARTY shall submit sufficient information to
allow TCEQ, in TCEQ's sole discretion, to determine that the substitute proposed is equivalent
to that expressly called for by the Contract Documents.
Concerning Subcontractors,Suppliers and Others
3.19 All contractual expenditures using funds provided under this Agreement shall meet all
procurement laws and regulations applicable to the PERFORMING PARTY and Subcontractor
and the Uniform Grant and Contract Management Act and the Uniform Grant Management
Standards. Competitive bidding will generally be required for contracts other than interlocal
and interagency contracts, which are under TEx.Gov.CODE, Chapter 791 et seq. Note also that
the Common Rule of OMB Circular A-102, as adopted in the Uniform Grant Management
Standards,precludes the use of the cost plus a percentage of cost method of contracting.
3.2o The PERFORMING PARTY shall forward any proposed. subagreement for the
performance of Work required under this Contract's Scope of Work to TCEQ's Project
Representative prior to execution of the subagreement. TCEQ may,within 21 days of receipt of
the proposed subagreement, provide written notice (fax or email acceptable) to the
PERFORMING PARTY questioning whether the subagreement is for a legitimate purpose
relating to the satisfaction of this Agreement or has been procured in accordance with the
minimum standards of the UGCMA. The PERFORMING PARTY shall not enter into a
questioned subagreement until TCEQ has withdrawn all questions raised in the notice.Neither
TCEQ's failure to question a subagreement nor its subsequent withdrawal of any questions
raised regarding a subagreement shall in any way imply TCEQ's approval of the subagreement's
purpose or method of procurement of the subagreement. Further,the terms of this provision do
not in any way restrict TCEQ's rights under this Agreement to subsequently refuse
reimbursement for expenses incurred pursuant to the subagreement. The PERFORMING
PARTY may require a bid bond to protect the local and State interests by assuring that a bidder
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will, upon acceptance, execute all required contractual documents within the time period
specified: '
3.21 The PERFORMING PARTY shall be responsible for the management and fiscal
monitoring of all Subcontractors and Subgrantees. The PERFORMING PARTY shall monitor its
Subcontractors and Subgrantees to ensure that the Subcontractors and Subgrantees are
operating consistently with applicable Laws and Regulations, applicable contracting policies,
and these Contract Documents, The PERFORMING PARTY shall ensure that all Subcontractors
and Subgrantees comply with all record keeping and access requirements set forth in these
Contract Documents. TCEQ reserves the right to perform an independent audit of all
Subcontractors and Subgrantees.
3.22 PERFORMING PARTY, Subcontractors and Subgrantees shall implement and maintain
a Quality Assurance Program that addresses quality-related activities performed under this
Contract and conforms to the American National Standards Institute (ANSI) /the American
Society for Quality(ASQ) E-4-2004 Quality Systems for Environmental Data and Technology
Programs-Requirements with Guidance for Use,the EPA QA/R-2 and with the TCEQ Quality
Management Plan. The TCEQ Quality Assurance specialists, or any of their authorized
representatives shall have access to all such Work activities,monitors, records, documents and
other evidence for the purpose of management systems review, inspection, audit, surveillance,
peer review, excerpts, transcriptions and/or copying during normal business hours. The
PERFORMING PARTY shall provide proper access.
3.23 Funds provided by TCEQ pursuant to this Agreement that are paid to the Subcontractor
shall be used by the Subcontractor solely to satisfy the purposes of the Agreement.
Procurements
3.24 All procurements by the PERFORMING PARTY of goods and/or services under this
Agreement shall be conducted in a manner providing full and open competition in accordance
with Subpart C,Sec.—.36,Subsections(b)through(i) of Part III of UGMS.
3.25 PERFORMING PARTY shall perform a cost or price analysis in connection with all
procurements in excess of $2,000 which are not competitively procured. A cost analysis will
also be required when adequate price competition is lacking and for sole source procurements,
unless the reasonableness of the price can be established on the basis of a catalog or market
price. Failure to follow these requirements for providing the greatest possible competition in
procurement is grounds for disallowance of costs for reimbursement.
3.26 All Subgrants awarded by the PERFORMING PARTY under this Agreement shall be in
accordance with Chapter 2261 Texas Government Code and Part III Subpart C, Sec.—.37,
Subsection(b) of UGMS.
Subgrant Activities
3.27 All Subgrants awarded by the PERFORMING PARTY under this Agreement will be
awarded on the basis of competitive applications and proposals when feasible. The applications
and proposals will be,evaluated utilizing criteria including cost comparison,probable quality of
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goods or services and past performance. Upon request, PERFORMING PARTY must provide
evidence to support the selection and award.
3.28 Payments by PERFORMING PARTY to Subgrantees will be solely for reimbursement of
actual allowable costs utilizing the same standards and requirements as the reimbursement
payments from TCEQ to PERFORMING PARTY set out in this Agreement. No Subgrant will be
made on a fixed-amount of cost reimbursement unless this method is specifically approved by
TCEQ based on supporting evidence of proposed Subgrantee's actual costs.
3.29 All Subgrant agreements must be in writing and must be approved by TCEQ. The
standards and requirements for reimbursements and standards for performance will be
incorporated into the Subgrant agreements as well as other provisions required by this
Agreement.
Permits
3.30 Unless otherwise provided in the Contract Documents,PERFORMING PARTY shall
obtain and pay for all construction permits and licenses. PERFORMING PARTY shall pay all
charges of utility owners for connections to the Work,and PERFORMING PARTY shall pay all
charges of such utility owners for capital costs related thereto such as plant investment fees.
Records,Documents,Data,Access, and Audit
3.31 The PERFORMING PARTY shall maintain books, records, documents, and other
evidence reasonably pertinent to performance of the Work and requirements of the Contract
Documents.
3.32 The PERFORMING PARTY will pass through all record keeping, quality assurance
requirements,and access requirements to all subcontracts and subagreements.
3.33 The PERFORMING PARTY agrees to the disclosure of all information and reports
resulting from access to records and quality activities under this Agreement.
3.34 Records shall be maintained by the PERFORMING PARTY during performance of Work
under this Agreement, and for three (3) years after final payments, final Expenditure Reports
and all other pending matters are closed. If any litigation, claim, negotiation, audit, quality
assurance assessment,cost recovery,or other action(including actions concerning costs of items
to which an audit exception or nonconformance has been taken or identified) involving such
records or corrective actions has been started before the expiration of the three(3)year period,
such records must be retained until completion of the action or resolution of all issues which
arise from it,or until the end of the regular three (3)year period,whichever is later.
3.35 Access to records or Work activity is not limited to the required retention periods. TCEQ
shall have access to records or Work activity at any reasonable time for as long as the records or
nonconformance identified pursuant to an Assessment are maintained.
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3.36 This right-of-access article applies to financial and quality records pertaining to this
Agreement and all subagreements and amendments. In addition, this right of access article
applies to all records and Work activities pertaining to this Agreement and all subagreements
and amendments:
3.36.1 to the extent the records pertain reasonably to Agreement or subcontract
performance;
3.36.2 if there is any indication that fraud, gross abuse, or corrupt practices may be
involved; or
3.36.3 if the Agreement or subcontract is terminated for default or for convenience.
Data and Publicity
3.37 All data and other information developed under this Agreement shall be furnished to
TCEQ and shall be public data and information except to the extent that it is exempted from
public access by the Texas Public Information Act, TEx. GOVT CODE § 552 ("Act"). Upon
termination of this Agreement,all copies of data and information shall be furnished,at no charge
to TCEQ, upon request, to include databases prepared using funds provided under this
Agreement, and become the property of TCEQ. Except as otherwise provided by these Contract
Documents or the Act,the PERFORMING PARTY shall not provide data generated or otherwise
obtained in the performance of its responsibilities under this Contract to any party other than
the State of Texas and its authorized agents.
Safety and Protection
3.38 Where applicable, PERFORMING PARTY shall be responsible for requiring
Subcontractors and Subgrantees to maintain and supervise all necessary safety precautions and
programs in connection with the Work. PERFORMING PARTY shall take all necessary safety
precautions.
Performance Reports
3.39 In accordance with the Uniform Grant Management Standards, the PERFORMING
PARTY shall submit written progress reports documenting all activities during a quarter
pursuant to the Schedule of Deliverables set forth in the Scope of Work. In the absence of a
schedule in the Scope of Work,the PERFORMING PARTY shall submit the reports not later than
30 days after the close of each quarter. The reporting periods shall correspond to the State of
Texas fiscal year(September-November; December-February, March-May;June-August).
Independent Financial Audit
3.40 By February 1 of each year, the PERFORMING PARTY shall engage an Independent
Financial Auditor and conduct an annual audit of the PERFORMING PARTY'S financial
statements in accordance with the Single Audit provisions of UGMS. The final report shall be
submitted to the TCEQ no later than 90 days following the completion of the audit.
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3.40.1 All terms used in connection with Audits in this Agreement shall have the definitions
and meanings assigned in the Single Audit Circular in UGMS.
3.40.2 Provisions of the Single Audit Circular in Part IV of UGMS shall apply to all non-State
Government entities expending the funds of this Grant, whether they are recipients, receiving
the funds directly from TCEQ, or are subrecipients, receiving the funds from a pass-through
entity(a recipient or another subrecipient). In addition,the PERFORMING PARTY shall require
the independent auditor to supply all audit work papers substantiating the Work performed, at
the request of TCEQ or its designee.
Exceptions in Audit
3.40.3 TCEQ is required to take action on exceptions noted in an audit of PERFORMING
PARTY's financial records. Therefore, PERFORMING PARTY agrees to submit to TCEQ a copy
of the report from any audit conducted of the PERFORMING PARTY's financial records within
20 days of PERFORMING PARTY's receipt of an audit report. At the same time,PERFORMING
PARTY will also provide a statement containing an explanation of the conditions giving rise to
each exception in the audit report as well as a plan for correction of any significant deficiencies
in PERFORMING PARTY's operations or Contract performance. TCEQ may approve the
statement or reject as insufficient. At the option of TCEQ,the PERFORMING PARTY may revise
and resubmit. If the statement is initially or subsequently rejected by TCEQ with no further
opportunity to revise, TCEQ may suspend payments or may terminate the Contract for cause
and may undertake any other remedies or sanctions provided under this Contract.
ARTICLE 4. CHANGES IN THE WORK
4.1. TCEQ may by written notification to the PERFORMING PARTY, make changes to the
scope of this Agreement or in the services or Work to be performed. If such changes cause an
increase or decrease in the PERFORMING PARTY's cost of, or time required for, performance
of any services under this Agreement, whether or not changed by an order, an equitable
adjustment shall be made and this Agreement shall be modified in writing accordingly. Any
claim of the PERFORMING PARTY for adjustment under this clause must be asserted in writing
within 3o days after the date of receipt.by the PERFORMING PARTY of the notification of
change, unless the Executive Director of TCEQ or his Project Representative grants a further
period of time before the date of final.payment under this Contract.
4.2. An Amendment(Major Change)will include one or more of the following:
4.2.1. a change in the compensation to the PERFORMING PARTY;
4.2.2. a change in the term of the Agreement;or
4.2.3• a significant change in the scope of the Agreement or the services to be
performed.
4.3• Implementation of a Major Change must be preceded by a formal Written Amendment to
the Agreement. Requests for an amendment must be in writing and be submitted to the TCEQ
Project Representative prior to initiating changes. The amendment must contain a description
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of the proposed change. The amendment must be signed by persons authorized to bind each
party in contract.
4.4• Any proposed change that is not a Major Change may qualify as a Minor Change.A Minor
Change shall require the written agreement of both Project Representatives,but shall not require
a formal amendment to the Contract. A copy of the authorization must be retained in the
appropriate file of both the PERFORMING PARTY and TCEQ.
4.5• PERFORMING PARTY is permitted to rebudget within the approved direct cost budget
to meet any unanticipated requirements and may make limited program changes to the
approved Project. Certain types of these changes require the prior written approval of TCEQ.
Applicable cost principles set forth in 40 CFR Part 31.22 contain additional requirements for
prior approval of certain types of costs and apply to all grants and Subgrants. Prior approval
shall be required as follows:
4.5.1• Any change resulting in the need for additional funding;
4.5.2. Cumulative transfers among direct cost categories, or, if applicable, among
separately budgeted programs of projects and which exceed or are expected to exceed the
total costs for the current year's budget by ten percent(10%);
4.5.3• Transfers of funds allotted for training allowances;
4.5.4• Changes in key personnel in cases where specified in an application or Grant
award; or
4.5.5• Subcontracting those activities which are central to the purposes of the award.
4.6. Any request shall be in writing to TCEQ and TCEQ shall promptly review, approve or
disapprove the request in writing. If such changes require federal approval,TCEQ shall obtain
that approval before approving the request.
4.7. Changes to the services or Work to be performed shall be included as revisions in the
Quality Assurance Project Plan for this Contract.
Inclement Weather
4.8. A deadline set forth in the Schedule of Deliverables may be extended by a period
equivalent to the time lost because of inclement weather that precludes Work towards the
completion of that deliverable. The PERFORMING PARTY shall maintain, and make available
at TCEQ's request, daily records adequately supporting its claim that inclement weather
precluded Work towards the completion of a deliverable. The PERFORMING PARTY shall make
best attempts to recoup time lost due to inclement weather. The PERFORMING PARTY shall
notify TCEQ in writing (fax and/or email acceptable) prior to the deliverable deadline of the
deadline extension pursuant to this Article. Extensions of a deliverable deadline pursuant to this
Article will constitute a Minor Change. No extension under this Paragraph shall extend the terms
of this Contract. TCEQ reserves the right to reject,in good faith,within 3o days of receipt of the
notification of the deadline extension, the PERFORMING PARTY'S claim that inclement
weather precluded.Work towards the completion of a deliverable.
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ARTICLE 5. PAYMENTS TO PERFORMING PARTY
Cost Reimbursement
5.1 The PERFORMING PARTY has submitted a cost analysis. The PERFORMING PARTY
and TCEQ acknowledge that this cost analysis is the basis upon which the Contract Costs Budget
has been developed.
5.2. Because certain Monitoring Division Program activities may not be performed in a given
month,the PERFORMING PARTY shall perform a quarterly review of the Monitoring Division
Program activities it actually performs or expects to actually perform during that quarter. In this
review, the PERFORMING PARTY shall determine whether the nearest practicable estimate of
its actual cost of providing those services for that quarter is within the constraints established
elsewhere in this Agreement.
5.3• The PERFORMING PARTY shall make its review and determination available to TCEQ
upon request. TCEQ may perform an independent review and make its own independent
determination,or may make its own independent determination based upon the PERFORMING
PARTY's review.
Contractual Costs
5.4• PERFORMING PARTIES which are Governmental entities must engage in contractor
selection on a competitive basis in accordance with their established policies. If PERFORMING
PARTY has no competitive procurement policy or is a private entity, PERFORMING PARTY
must generally select contractors by evaluation and comparison of price, quality of goods or
services and past performance.
Duplication ofE,,ffortProhibited
5.5• In addition to the funds provided to PERFORMING PARTY under this Grant Agreement,
TCEQ may provide funds to PERFORMING PARTY under a separate Grant Agreement so that
funds of two or more Grants are to be provided to a single activity of the PERFORMING PARTY.
PERFORMING PARTY must monitor all activities to ensure that the Grant funds complement
one another and do not result in double payments for the same activity.
Payment Request Procedures
5.6. On a quarterly basis,within 3o days after the end of a quarter,the PERFORMING PARTY
shall submit one(1)copy of a properly completed State of Texas PurchaseiVoucher(Form B-2),
an itemized invoice provided by TCEQ(Form B-3),a Financial Status Report(FSR) (Form B-4)
and a Quarterly Report Checklist incorporated herein as Exhibit A-4, in order to obtain payment
for tasks completed under this Agreement. The PERFORMING PARTY will indicate the Match
Amount in the space provided on the FSR. A description of the services provided byyour Match
Amount should be described in the FSR on the supplemental pages attached to the form. The
itemized invoice includes on a separate line, the total amount that is being matched by the
PERFORMING PARTY. The PERFORMING PARTY shall complete a quarterly HUB Progress
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Assessment Report, incorporated herein as Form B-1, and submit this Report with each
quarterly invoice and voucher. Completed vouchers, invoices, and reports shall be emailed to
Haniiah.Crews(@tceg,,texas.gov and Marcia.KingPtceq.texas.gov or mailed to the following
address:
Attn: Ms. Hannah Crews
TCEQ
Monitoring Division, MC-165
P.O. Box 13087
Austin,TX 78711-3087
5.7• The TCEQ Project Representative will review the purchase vouchers, invoices, the
quarterly FSR, and Quarterly Report Checklists for requests for payment of services performed
as identified in Section A(Statement of Work) and Section B (Deliverables) and will notify the
PERFORMING PARTY that the requests are acceptable or will provide an explanation of why
the requests or the Work identified in the requests are unacceptable. If the requests do not
satisfactorily demonstrate the accomplishment of the required tasks, the TCEQ Project
Representative will not authorize payment on the accompanying voucher and invoice until such
time as deficiencies have been corrected.
5.8. TCEQ will not issue any payment of an approved reimbursement request from the
PERFORMING PARTY until TCEQ receives from the EPA funds specifically awarded for
activities provided by the PERFORMING PARTY under this Agreement.
5.9• Funding for the Work performed under this agreement is derived from Federal Section
105 pass-through funding from the TCEQ and shall not exceed 67% of the PERFORMING
PARTY's Total Program Cost. If the PERFORMING PARTY does not provide matching funds
such that the combined federal and state share of the funding does not exceed 67%, then the
amount of TCEQ reimbursement for this Agreement will be reduced so that this condition is met.
5.10. Nothing in this Article shall be construed to prevent TCEQ or the PERFORMING PARTY
from exercising any of its rights under this Agreement including but not limited to those relating
to termination and remedies.
5.11. TCEQ is not obligated to make payment until it approves a request for reimbursement.
TCEQ may suspend payment for any incomplete, inconsistent or incorrect deliverable until the
PERFORMING PARTY completes or corrects it.
Closeout
5.12. When TCEQ determines that all administrative activities and all required Work have been
completed, TCEQ shall close out the Contract. Within .6o days after the expiration or
termination of the Contract,the PERFORMING PARTY must submit all financial,,performance,
and other reports required within 45 days after the expiration of termination of the Contract.
These reports may include:
5.12.1. AllPerformance or Progress Reports required by this Agreement.
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5.12.2. Financial Status Report(Form B-4).
5.12.3. Final Request for Payment. (Including Forms B-1, B-2, B-3).
5.12.4. Invention disclosure(if applicable).
5.12.5. State-owned Property Report(if applicable).
5.13. In accordance with the Uniform Grant Management Standards, the PERFORMING
PARTY must submit an inventory of all State-owned property(as distinct from property acquired
with Grant funds) for which it is accountable and request disposition instructions from TCEQ
for property no longer needed.
5.14. Within go days of receipt of the reports set forth above, TCEQ will make upward or
downward adjustments to the allowable costs. TCEQ will make prompt payment to the
PERFORMING PARTY for allowable reimbursable costs. Closeout of the Grant does not affect:
5.14.1. TCEQ's right to disallow costs and recover funds on the basis of a later audit,
quality assurance assessment, or other review;
5.14.2. The PERFORMING PARTY'S obligation to return any funds due as a result of
later refunds,corrections, or other transactions;
5.14.3• Records retention as required herein;
5.14.4• Property management requirements set forth herein; and
5.14.5• Audit,including quality assurance assessment, requirements set forth herein.
5.15. The PERFORMING PARTY must immediately refund to TCEQ any balance of
unobligated (unencumbered) cash advanced that is not authorized to be retained for use on
another Grant.
5.16. Any funds paid to a PERFORMING PARTY in excess of the amount to which the
PERFORMING PARTY is finally determined to be entitled under the terms of the award
constitute a debt to TCEQ. If not paid within a reasonable period after demand, TCEQ may
reduce the debt by:
5.16.1. Making an administrative offset against other requests for reimbursement;
5.16.2. Withholding advance payments otherwise due to the PERFORMING PARTY, or
5.16.3. Other action permitted by law.
5.17. Except where otherwise provided by statutes or regulations,TCEQ will charge interest on
an overdue debt in accordance with the Uniform Grant Management Standards. The date from
which interest is computed is not extended by litigation or the filing of any form of appeal.
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5.18. The PERFORMING PARTY shall provide to TCEQ documentation showing all tasks that
have been completed by the PERFORMING PARTY.The PERFORMING PARTY agrees that the
determination of satisfactory completion of any and all Work or other services performed or
furnished under this Contract will be based on the judgment of the staff of TCEQ, which
judgment will be exercised in a reasonable manner and in good faith.
5.19• TCEQ may refuse to reimburse expenditures for which the PERFORMING PARTY
submits a voucher more than 6o days after the termination date of this Contract.
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Federal Conditions and Forms
(GRANTS)
ARTICLE 1. FEDERAL REQUIREMENTS
This Agreement is funded in whole or in part with federal grant money.All applicable requirements of
TCEQ's federal grants;2 Code of Federal Regulations(CFR)Part 200,including procurement standards;
and any additional federal funding conditions that arise during the Agreement period,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,
Grantee,or Contractor,as applicable.
ARTICLE 2. FEDERAL INTELLECTUAL PROPERTY REQUIREMENTS
A royalty-free,nonexclusive,and irrevocable license to use,copy,publish,and modify any intellectual
property to which rights are granted or assigned to TCEQ in this Agreement are also granted to,assigned
to,or reserved by the Federal Government.
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 Agreement is publicized or reported in news media or publications.
All reports and other documents completed as a.part of this Agreement,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 COMMISSIONON ENVIRONMENTAL QUALITYAND
U.S.ENVIRONMENTAL PROTECTION AGENCY
This project has been funded wholly or in part by the United States Environmental Protection Agency
under assistance agreement(number)to Texas Commission on Environmental Quality. The contents of
this document do not necessarily reflect the views and policies of the Environmental Protection Agency,
nor does the EPA endorse trade names or recommend the use of commercial products mentioned in this
document.
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. RECYCLED MATERIALS
1. When Performing Party procures$io,000 or more of a designated item in a fiscal year for this
Contract or did so in the preceding fiscal year,Performing Party will select the item containing the
highest percentage of recycled materials practicable as required by 42 U.S.C.6962 and 2 CFR
200.322. This requirement does not apply to incidental purchases that are not a direct result of
this Contract. Designated items are listed by the EPA in the most recent Consolidated Recovered
Materials Advisory Notice. If the item with the highest percentage of recycled materials does not
meet performance standards or is not available in a reasonable time or at a reasonable price,or
the purchase of the item would not allow a reasonable level of competition,Performing Party may
select a different item. With its invoice,Performing Party will report any purchases to which this'
section applies to TCEQ and indicate the percentage of recycled materials in the items purchased.
If Performing Party does not select the item containing the highest percentage of recycled
materials,it will also state the reason.
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2. Paper for Reports to EPA. When directed to provide paper documents,the Performing Party
agrees to use recycled paper and double sided printing for all reports which are prepared as a part
of this agreement and delivered to EPA. This requirement does not apply to reports prepared on
forms supplied by EPA.
ARTICLE 5. ACCOUNTING SYSTEMS AND PROPERTY MANAGEMENT
1. Performing Party shall have an accounting system which accounts for costs in accordance with
generally accepted accounting standards or principles and complies with 2 CFR§200.49. This
system shall provide for the identification,accumulation,and segregation of allowable and
unallowable project costs among projects.
2. Performing Party shall comply with the property management requirements of 2 CFR§§200.310
through 200.316.
ARTICLE 6. RECORDS,ACCESS, AND AUDIT
1. 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 Agreement.The Performing Party
shall maintain fiscal records and supporting documentation for all expenditures of funds
pursuant to 2 CFR Part 200,Subparts D and F,as appropriate.
2. In accordance with 2 CFR 200.501(a),the Performing Party shall obtain a single audit if it
expends$75o,000 or more a year in federal awards.
ARTICLE 7. SUSPENSION AND DEBARMENT
Performing Party shall fully comply with Subpart C of 2 CFR Part 18o,entitled"Responsibilities of
Participants Regarding Transactions Doing Business With Other Persons,"as implemented and
supplemented by 2 CFR Part 1532.Performing Party is responsible for ensuring that any lower tier
covered transaction,as described in Subpart B of 2 CFR Part 18o,entitled".Covered Transactions,"
includes a term or condition requiring compliance with Subpart C.Performing Party is responsible for
further requiring the inclusion of a similar term or condition in any subsequent lower tier covered
transactions.Performing Party acknowledges that failing to disclose the information required under 2
CFR§180.335 may result in the delay or negation of this agreement or pursuance of legal remedies.
Performing Party may access the System for Award Management at:
https:/I-vvww.sam.gov/portal/SAM/#i.
ARTICLE S. PROHIBITION ON USE OF FEDERAL FUNDS FOR LOBBYING AND
LITIGATION
1.. The Performing Party agrees to comply with Title 40 CFR Part 34,New Restrictions on Lobbying.
The Performing Party agrees that none of the funds paid under this Contract will be used to
engage in the lobbying of the Federal Government in connection with obtaining any federal
contract,grant,or other award,or in litigation against the United States unless.authorized.under
existing law.
2. The Performing Party shall submit to the TCEQ the EPA Certification Regarding Lobbying form
and if applicable,the Disclosure of Lobbying Activities form.The Performing Party must file a
disclosure form at the end of each calendar quarter in which there occurs any event that requires
disclosure or that materially affects the accuracy of the information contained in any disclosure
form previously filed.
3. In accordance with the Byrd Anti-Lobbying.Amendment,any recipient who makes a prohibited
expenditure under Title 40 CFR Part 34 or fails to file the required certification or lobbying forms
shall be subject to.a civil penalty of not less than$1o,000 and not more than$loo,000 for each
such expenditure.
ARTICLE 9. CIVIL RIGHTS OBLIGATIONS
1. In carrying out this agreement,the recipient must comply with:
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a. Title VI of the Civil Rights Act of 1964,which prohibits discrimination based on race,
color,and national origin,including limited English proficiency(LEP),by entities
receiving Federal financial assistance.
b. Section 504 of the Rehabilitation Act of 1973,which prohibits discrimination against
persons with disabilities by entities receiving Federal financial assistance;and
C. The Age Discrimination Act of 1975,which prohibits age discrimination by entities
receiving Federal financial assistance.
2. If the recipient is conducting an education program under this agreement,it must also comply
with:
a. Title IX of the Education Amendments of 1972,which prohibits discrimination on the
basis of sex in education programs and activities operated by entities receiving Federal
financial assistance.
3. If this agreement is funded with financial assistance under the Clean Water Act(CWA),the
recipient must also comply with:
a. Section 13 of the Federal Water Pollution Control Act Amendments of 1972,which
prohibits discrimination on the basis of sex in CWA-funded programs or activities.
4. Regulatory Requirements
a. The recipient agrees to comply with all applicable EPA civil rights regulations,including:
i. For Title IX obligations,40 CFR Part 5;and
ii. For Title VI,Section 504,Age Discrimination Act,and Section 13 obligations,40
CFR Part 7.
iii. As noted on the EPA Form 4700-4 signed by the recipient's authorized
representative, these regulations establish specific requirements including
maintaining compliance information,establishing grievance procedures,
designating a Civil Rights Coordinator and providing notices of non-
discrimination.
5. TITLE VI—LEP,Public Participation and Affirmative Compliance Obligation
a. As a recipient of EPA financial assistance,you are required by Title VI of the Civil Rights
Act to provide meaningful access to LEP individuals.In implementing that requirement,
the recipient agrees to use as a guide the Office of Civil Rights(OCR)document entitled
"Guidance to Environmental Protection Agency Financial Assistance Recipients
Regarding Title VI Prohibition Against National Origin Discrimination Affecting Limited
English Proficient Persons."The guidance can be found at
htti)://,,vww.epa.gov/civilriglits/lepaccess.htm.
6. If the recipient`is administering permitting programs under this agreement,the recipient agrees
to use as a guide OCR's Title VI Public Involvement Guidance for EPA Assistance Recipients
Administering Environmental Permitting Programs.The Guidance can be found at
http://edocket.access.ano.eov/2oo6/2df/o6-26gl.pdf.
7. In accepting this assistance agreement,the recipient acknowledges it has an affirmative obligation
to implement effective Title VI compliance programs and ensure that its actions do not involve
discriminatory treatment and do not have discriminatory effects even when facially neutral.The
recipient must be prepared to demonstrate to EPA that such compliance programs exist and are
being implemented or to otherwise demonstrate how it is meeting its Title VI obligations.
ARTICLE ZO. DISADVANTAGED BUSINESS ENTERPRISES(DBEs)
1. The Performing Party shall not discriminate on the basis of race,color,national origin or sex in
the performance of this contract. The Performing Party shall carry out applicable requirements of
40 CFR Part 33 in the award and administration of contracts awarded under EPA financial
assistance agreements. Failure by the Performing Party to carry out these requirements is a
material breach of this contract which may result in the termination of this contract or other
legally available remedies.
2. Performing Party agrees that qualified.DBEs 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 or any goods or services procured to directly
support the Work.
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3. The Performing Party is required to make a good faith effort to include Historically Underutilized
Businesses(HUBS)or DBEs on any procurement for subcontractors or suppliers/vendors for
Work under this Contract.
4. The Performing Party must submit EPA Form 5700-52A on or before October 15 of each year of
the Contract(littp://,vvwvv.epa.gov/osbp/pdfs/.r,7oo S2a.pdfl..At minimum,this form shall
include the name of the HUB or DBE;a description of the work,services,or materials provided;
the amount paid to the HUB or DBE;and the name and telephone number of a contact person for
the HUB or DBE.
5. The Performing Party shall retain all records documenting compliance with good faith efforts
when performing under the EPA DBE program.
6. Before terminating a DBE for convenience,the Performing Party must notify TCEQ in writing.
7. If a DBE subcontractor fails to complete work for any reason,and the Performing Party plans to
procure a replacement subcontractor,the Performing Party must demonstrate the same good
faith effort to procure the replacement subcontractor.
8. The Performing Party must pay its subcontractors for satisfactory performance no more than 10
days from the Performing Party's receipt of payment from TCEQ.
9. TCE 's established fair share goafs are as follows:
MBE GOAL(%) WBE GOAL(%)
Construction 7.34 1o.6o
Equipment 19.57 19.64
Services 12.98 23.70
Supplies 19.37 14.15
ARTICLE 11. DEMONSTRATION OF COMPETENCY
In accordance with EPA directive FEM 2012-02 Rev.1,"Policy to Assure.the Competency of Organizations
Generating Environmental Measurement Data Under Agency-Funded Assistance Agreements,"if the
Work performed by the Performing Party or any of its subcontractors under this Contract includes
generating or using environmental data through sample collection,field measurements and/or laboratory
analysis,then it must document and maintain certification demonstrating the competency of individuals
using or generating environmental data under this Contract.Certification may include training records,
certificates,or educational credentials.
ARTICLE 12. TRAFFICKING IN PERSONS
1. Prohibition Statement—Performing Party may not engage in severe forms of trafficking in
persons during the period of time that the award is in effect;procure a commercial sex act during
the period-of time of the award;or use forced labor in the performance of the award or subaward
under the award.
a. TCEQ may unilaterally terminate this award,without penalty,if a Performing Party that
is a private entity:(1)is determined to have violated an applicable prohibition in the
Prohibition Statement above;or(2)has an employee who is determined by the agency
official authorized to terminate the award to have violated an applicable prohibition in
the Prohibition Statement through conduct that is either(a)associated with performance
under this award;or(b)imputed to the Performing Party using the standards and due
process for imputing the conduct of an individual to an organization that are provided in
2 CFR Part 18o,"OMB Guidelines to Agencies.on Governmentwide Debarment and
Suspension(Nonprocurement)",as implemented at 2 CFR Part 1532.The Performing
Party must inform TCEQ immediately of any information you receive from any source
alleging a violation of a prohibition in the Prohibition Statement above.
b. TCEQ's right to terminate unilaterally: (1)implements section 1o6(g)of the Trafficking
Victims Protection Act of 2000(TVPA),as amended(22 U.S.C.7104(g)),and(2)is in
addition to all other-remedies for noncompliance that are available to TCEQ under this
award.
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ARTICLE 13. MISCELLANEOUS PROVISIONS
1. Drug-Free Workplace.The Performing Party must make an ongoing,good faith effort to maintain
a drug-free workplace pursuant to the specific requirements set forth in Title 2 CFR Part 1536.
Additionally,in accordance with these regulations,the Performing Party must identify all known
workplaces under its federal awards and keep this information on file during the performance of
the award.
2. Hotel and Motel Fire Safety Act.Pursuant to 40 CFR 30.18,if applicable,and 15 USC 2225a,the
Performing Party agrees to ensure that all space for conferences,meetings,conventions,or
training seminars funded in whole or in part with federal funds complies with the protection and
control guidelines of the Hotel and Motel Fire Safety Act(PL 101-391,as amended).Performing
Party may search the Hotel-Motel National Master List at https://apl2s.usfa.fema.gov/hotel/to
see if a property is in compliance,or to find other information about the Act.
ARTICLE 14. FEDERAL FUNDING ACCOUNTABILITY AND TRANSPARENCY ACT
(FFATA) REPORTING
1. In accordance with 2 CFR Part 25,entities that receive subawards from TCEQ that are funded
wholly or partially with federal funds must(1)be registered in the Central Contractor Registration
(CCR)prior to submitting an application or plan or entering into an agreement;(2)maintain an
active CCR registration with current information at all times while the application or plan is
under consideration by TCEQ or during the term of the agreement;and(3)provide its Data
Universal Numbering System(DUNS)number in each application or plan it submits to TCEQ,
unless an exemption applies.
2. No funds may be received or awarded until Performing Party has complied with these
requirements and provided a valid DUNS number.
3. Additionally,in accordance with 2 CFR Part170,if certain elements are met,Performing Party
must report the total compensation for each of its five most highly compensated executives for the
preceding completed fiscal year.
4. These elements are found on the attached,completed TCEQ Pass-Through Funding Information
and Federal Funding Accountability and Transparency Act Reporting Form.
ARTICLE 15. CONSULTANT SALARY CAP
1. The salary rate(excluding overhead)paid to individual consultants retained by the Performing
Party is limited to the maximum daily rate for a Level IV of the Executive Schedule,available at:
https://wivw,opm.gov/policy-data-oversight/pay-leave/salaries-wages/,and adjusted annually.
2. This limit applies to consultation services of designated individuals with specialized skills who are
paid at a daily or hourly rate.This salary limit applies unless the consultant was selected through
a procurement process that conforms to Subpart D of 2 CFR 200.
3. Under EPA's policy regarding payments to consultants under grants,consultants are typically
individuals who are experts with excellent qualifications and are usually regarded as authorities
or practitioners of unusual competence and skill by other individuals engaged in the same
profession.
ARTICLE 16. MANAGEMENT FEES
1. Management fees or similar charges in excess of the direct costs and approved indirect rates are
not allowable.The term"management fees or similar charges"refers to expenses added to the
direct costs in order to accumulate and reserve funds for ongoing business expenses;unforeseen
liabilities;or for other similar costs which are not allowable under this assistance agreement.
Management fees or similar charges may not be used to improve or expand the project funded
under this agreement,except to the extent authorized as a direct cost of carrying out the scope of
work.
ARTICLE 17. COST AND PRICE OF THIS AGREEMENT
The Performing Party must.comply with 2 CFR§200.323. The Performing Party may request a form
from TCEQ to use when performing a cost or price analysis.
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ARTICLE 1S. CYBERSECURITY
1. Any connection between the Grantee's network or information technology system and an EPA
network or information technology system used to transfer data under this agreement must be
secure.A connection is a dedicated persistent interface between the Grantee's network or
information technology system and EPA's network or information technology system for the
purpose of transferring information.
2. The Grantee will contact the EPA Project Officer(PO)and work with the designated
Regional/Headquarters Information Security Officer to ensure that the connections meet EPA
security requirements,including entering into Interconnection Service Agreements as
appropriate.Contact the TCEQ Grant Manager for the EPA PO's contact information.
3. This condition does not apply to(i)transitory user-controlled connections,such as website
browsing,(2)manual entry of data by the Grantee into systems operated and used by EPA's
regulatory programs for the submission of reporting and/or compliance data,or(3)Grantee's
connections that use the Environmental Information Exchange Network or EPA's Central Data
Exchange.
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Instructions on how to fill out the
attached Federal Forms:
1. Certification Regarding Lobbying(EPA Form 6600-06)-Complete and return with
signed contract.Contains certifications about the use of Federal appropriated funds in connection
with lobbying. If at any time during the course of the contract you have any federal lobbying to
report,you must provide a Disclosure Regarding Lobbying Form(SF-LLL)to the TCEQ
Project Representative,with quarterly updates.Note,this form is not attached,but may be found
online.
2. MBE/WBE Utilization Under Federal Grants and Cooperative Agreements(EPA
Form 5700-52A)—submitted annually on or before October 15.Detailed instructions are on
the EPA Form.
3. TCEQ Pass-Through Funding information and Federal Funding Accountability and
Transparency Act Reporting Form-Completed prior to contract execution and attached
below.
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A United States OMB Control No.2030-0020
\�.E PA ENVIRONMENTAL PROTECTION AGENCY Approval expires 06!30/2017
Washington, DC 20460
EPA Project Control Number
CERTIFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTRACTS, GRANTS,
LOANS 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 the 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 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 sub-awards at all tiers(including sub-contracts,sub-grants,and
contracts under grants,loans,and cooperative agreements) and that all sub-recipients
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 a civil penalty of not less than$10,000 and not
more than$100,000 for each such failure.
Fernando Costa,Assistant City Manager
Typed Name&Title of Authorized Representative
Signature 2nd Date of Authorized Representative
The public reporting and recordkeeping burden for this collection of information is estimated to average 15 minutes per response.
Send comments on the Agency's need for this information,the accuracy of the provided burden estimates,and any suggested methods for
minimizing respondent burden,including through the use of automated collection techniques to the Director,Collection Strategies Division,
U.S.Environmental Protection Agency(2822T), 1200 Pennsylvania Ave.,NW,Washington,D.C.20460.Include the OMB control number
in any correspondence.Do not send the completed form to this address.
EPA Form 6600-06(Rev.06/2014)Previous editions are obsolete.
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DISCLOSURE OF LOBBYING ACTIVITIES Approves by oh/s
os4s•ooes
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352
(See reverse for public burden disclosure.)
1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type:
® a. contract a. bid/offer/application a. initial filing
b. grantb. material change
c. cooperative agreement b. initial award
d loan c. post-award For Material Change Only:
e. loan guarantee year quarter
I. loan insurance date of last report
4. Name and Address of Reporting Entity: S. If Reporting Entity in No. 4 is Subawardee.Enter Name
XPrime O Subawardee and Address of Prime:
Tier ,if known;
City of Forth Worth Texas Commission on Environmental Quality
200 Texas Street 12100 Park 35 Circle
Fort Worth,Texas 76102 Austin,Texas 78753
Congressional District,if known: Congressional District.if known:
S. Federal Department/Agency- 7. Federal Program Nanne/Descripliow.
Air Pollution Control Program Suport
US EPA 66.001
CFDA Number,if applicable:
8. Federal Action Number,i/known: S. Award Amount.i/known:
S 206,934.00
10. a- Name and Address of Lobbying Entilyy b. Individuals Performen Services(including address if
of individual,last name, first name. MII: different from No. 102f
(last name. first name, MII:
None N/A
arch connnwtron Sheet sl Sr-LLL- dneces.a )
11. Amount of Payment(check all that apply): 13. Type of Payment(check all that apply):
f O actual O planned O a. retainer
O b. one-time fee
12. Form of Payment(check all that apply): O c. commission
O a. cash O d. contingent fee
O b. in-kind;specify: nature O e. deterred
O f. other;specify:
value
14. Brief Description of Services Performed or to be Performed and Date(s)of Service,including officer(s).employee(s).
or Member(s)contacted for Payment Indicated in Item 11:
attach Continuation Sheet s)SF-LU. dnecess
15. Continuation Sheet(s)SF-LLL-A attached: O Yes O No
16. t d—sim wpuwwd dwwrh duS form ti authe.0 d by ntt. 31 U.S.C.
.scion/2S7.rhls diKlwuw Of Iob►rint{ecthiti..It•rn.t.rr.f repreMntatian Signature:
of r.ct upon wN h r*01&%* .m pyced by th. fler .bo.. when this Fernando Costa
V r iw o msd.e,ent.wd into.nwo diScia—v is r.p..wd pre.r..nt to Print Name
St U.S.C. lase. rhe.infennation-w b. r.per.d to th. Cenar.0 t.rn- Title: Assistant City Manager
rtnu.ay.nd tits W...a.bs.for W Wic�.pecuon.M1 p..+on who 1M.so
al.the r.erared d4downl"f be wA*ct to.e"p.wehy or r.ot sm tt+.n 817-392-6122
s a 000.rtdeo—ot nw.d..rr s/oo.tan fw..ch,..th f.ar.w. Telephone No.: Dale: A1841
ta.sda.
zed
Ow tK��tfpduaiOw
o.tw-
Texas Commission on Page 25 of 168 Contract
Environmental Quality 582-18-80091
DISCLOSURE OF LOBBYING ACTIVITIES 0344-0 4 by O'�6
�.a-oo.s
CONTINUATION SHEET
Reporting Entity: Page of
Authorized for Local R*production
Standard form-UL-A
Texas Commission on Page 26 of 168 Contract
Environmental Quality 582-18-80091
INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity whether subawardee or prime Federal recipient, at the
initiation or receipt of a covered Federal action, or a material change to a previous flling, 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 followup report caused by a material change to the
information previously repotted,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.
4. 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 of the prime is the 1st tier.
Subawards include but arc not limited to subcontracts,subgrants and contract awards under grants.
S. if the organization filing the report in item 4 checks"Subawardee",then enter the full name,address,city,stale 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 Proposal (RFP) number, Invitation for Bid (IFB) number, grant announcement number, the contract,
grant, or loan award number, the application/proposal 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 award4oan commitment for the prime entity identified in item 4 or S.
10. (a)Enter the full name, address, city, state and zip code of 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 individuals) 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). heck 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(es). 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 be 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 shall sign and date the form,print hish►er name,title,and telephone number.
Public reporting burden for tills collection of information Is estimated to average 30 mintues per response,including time for reviewing
Instructions.searching existing data sources,gathering and maintaining the data needed,and completing and reviewing the collection of
information.Send cormments 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(0340-0046),Washington,D.C.20503.
Texas Commission on Page 27 of 168 Contract
Environmental Quality 582-18-80091
OMB CONTROL NO. 2030-0020
APPROVED: 08/3012014
APPROVAL EXPIRES: 06/302017
U.S. ENVIRONMENTAL PROTECTION AGENCY
MBENVBE UTILIZATION UNDER FEDERAL GRANTS
AND COOPERATIVE AGREEMENTS
PART I. (Reports are reqwired even if no procurements are made during the reporting period.)
1A. FEDERAL FISCAL YEAR 1B. REPORTING PERIOD(Check ALL appropriate boxes)
(Oct.1-Sep 30) ❑ 1"(Oct-Dec) ❑ 2""(Jan-Mar) ❑ 3"(Apr-Jun) ❑ 4'"(Jul-Sep)
❑ Semi-Annual(Oct-Mar) ❑ Semi-Annual(Apr-Sep)
20 ❑Annual
❑ Check if this is the last report for the project(Project completed).
10. REVISION OF A PRIOR REPORT? Y BRIEFLY DESCRIBE THE REVISIONS YOU ARE MAKING:
or N Year:
Quarter:
2A. EPA FINANCIAL ASSISTANCE OFFICE ADDRESS (ATTN:DBE 3A. RECIPIENT NAME AND ADDRESS
Coordinator)
28. EPA DBE COORDINATOR 2C. PHONE: 3B. RECIPIENT REPORTING CONTACT: 3C. PHONE:
Name: Name:
E-mail: Fax: E-mail: Fax:
4A. FINANCIAL ASSISTANCE AGREEMENT ID NUMBER 4B. FEDERAL FINANCIAL ASSISTANCE PROGRAM TITLE or CFDA
(SRF State Recipients,refer to Instructions for Completion of blocks NUMBER:
4A,5A and 5C.)
5A. TOTAL ASSISTANCE AGREEMENT AMOUNT 5B. If NO procurement and NO accomplishments were made this reporting period(by the
(SRF State Recipients,refer to Instructions for completion of blocks recipients,sub-recipients,loan recipients,and prime contractors),CHECK and SKIP to Black
4A,5A and 5C.) No.7. (Procurements are all expenditures through contract,order,purchase,lease or barter of
supplies,equipment,construction,or services needed to complete Federal assistance
EPA Share: $ programs. Accomplishments in this context,are procurements made with MBEs and/or WBEs.
Recipient Share:$
O
5C. Total Procurements This Reporting Period
(Only include amount not reported in any prior reporting period)
Total Procurement Amount$ (Include total dollar values awarded by recipient,sub-recipients and SRF loan recipients,
including MBEIWBE expenditures.)
5D.
Were sub-awards issued under this assistance agreement?Yes— No Were contracts issued under this assistance agreement? Yes No-
5E.
o5E. MBE/WBE Accomplishments This Reporting Period
Actual MBENUBE Procurement Accomplished:
(include total dollar values awarded by recipient,sub-recipients,SRF loan recipients and Prime Contractors.)
Construction Equipment Services Supplies Total
$MBE:
$WBE:
6. COMMENTS:(if no MBEIWBE procurements were accomplished during the reporting period,please explain what steps you are taking to achieve the
MBENVBE Program requirements specified in the terms and conditions of the Assistance Agreement.)
7. NAME OF RECIPIENT'S AUTHORIZED TITLE
REPRESENTATIVE
8. SIGNATURE OF RECIPIENT'S AUTHORIZED DATE
REPRESENTATIVE
Texas Commission on Page 28 of 168 Contract
EP,EIRON ierentaWaetiti•1eble electronically at https://www.epa.gov/sites/production/files/2014-09/documents/epa form 5=-fAttpa91
PART II. MBEIWBE PROCUREMENTS MADE DURING REPORTING PERIOD
EPA Financial Assistance Agreement Number:
1. Procurement Made By 2. Business 3. $Value of 4. Date of 5. Type of 6. Name/Address/Phone Number of MBENVBE
Enterprise Procurement Procurement Product or Contractor or Vendor
MM/DD/YY ServiceSA
Recipient i Sub- 1 Prime Minority i Women (Enter Code)
Recipient I I
i and/or SRF I
Loan
Recipient i
i
1
i
i
i !
E
e i
i
Type of product or service codes:
1=Construction 2=Supplies 3=Services 4=Equipment
Note: Refer to Terms and conditions of your Assistance Agreement to determine the frequency of reporting. Recipients are required to submit MBEM/BE reports to EPA beginning with the Federal fiscal year quarter
the recipients receive the award,coNinuing until the project is completed.
EPA FORM 5700-52A-(Approval Expires 06130117)
Texas Commission on Page 29 of 168 Contract
Environmental Quality 562-180091
Instructions: recipients under EPA's DBE Program,an entity must be
properly certified as required by 40 CFR Part 33, Subpart
B.
A.General Instructions:
U.S.citizenship is required. Recipients shall presume
MBENVBE utilization is based on 40 CFR Part 33. EPA that.minority individuals include Black Americans,
Form 5700=52A must be completed by recipients of Hispanic Americans, Native Americans,Asian Pacific
Federal grants,cooperative agreements, or other Federal Americans, or other groups whose members are found to
financial assistance which involve procurement of be disadvantaged by the Small Business Act or by the
supplies,equipment,construction or services to Secretary of Commerce under section 5 of Executive
accomplish Federal assistance programs. order 11625. The reporting contact at EPA can provide
additional information.
Recipients are required to report 30 days after the end of
each federal fiscal quarter,semiannually, or annually, per A woman business enterprise(WBE)is a business
the terms and conditions of the financial assistance concern that is, (1)at least 51 percent owned by one or
agreement. more women,or, in the case of a publicly owned
business,at least 51 percent of the stock is owned by one
Quarterly Semiannual Annual or more women and(2)whose daily business operations
Reporting Reporting Reporting are managed and directed by one or more of the women
Due Date Due Date Due Date owners. In order to qualify and participate as a WBE
Agreements January 30, prime or subcontractor for EPA recipients under EPA's
awarded April 30, N/A October DBE Program, an entity must be properly certified as
prior to May July 30, 30 required by 40 CFR Part 33,Subpart B.
27,2008 October 30
Agreements Business firms which are 51 percent owned by minorities
awarded on N/A April 30, October or women, but are in fact managed and operated by non-
or after May October 30 30 minority individuals do not qualify for meeting MBENVBE
27,2008 procurement goals. U.S. Citizenship is required.
MBENVBE program requirements, including reporting, are Good Faith Efforts
material terms and conditions of the financial assistance
agreement. A recipient is required to make the following good faith
efforts whenever procuring construction, equipment,
B. Definitions: services,and supplies under an EPA financial assistance
agreement. These good faith efforts for utilizing MBEs
Procurement is the acquisition through contract,order, and WBEs must be documented. Such documentation is
purchase, lease or barter of supplies, equipment, subject to EPA review upon request:
construction or services needed to accomplish Federal
assistance programs. 1. Include of MBEs/WBEs on.solicitationlists.
A contract is a written agreement between an EPA 2. Assure that MBEsNVBEs are solicited once they
recipient and another party(also considered"prime are identified.
contracts") and any lower tier agreement(also considered
"subcontracts")for equipment,services, supplies,or 3. Divide total requirements into smaller tasks to
construction necessary to complete the project. This permit maximum MBENVBE participation,where
definition excludes written agreements with another public feasible.
agency. This definition includes personal and
professional services,agreements with consultants,and 4. Establish delivery schedules which will encourage
purchase orders. MBENVBE participation,where feasible.
A minority business enterprise(MBE)is a business 5. Encourage use of the services of the U.S.
concern that is(1)at least 51 percent owned by one or Department of Commerce's Minority Business
more minority individuals, or, in the case of a publicly Development Agency(MBDA)and the U.S. Small
owned business,at least 51 percent of the stock is owned Business Administration to identify MBEs/VVBEs.
by one or more minority individuals;and(2)whose daily
business operations are managed and directed by one or
more of the minority owners. In order to qualify and
participate as an MBE prime or subcontractor for EPA
Texas Commission on Page 30 of 168 Contract
Environmental Quality 582=18-80091
6. Require that each party to a subgrant, 4b. Refer back to Assistance Agreement document
subagreement, or contract award take the good for this information.
faith efforts outlined here.
C.Instructions for Part I: 5a. Provide the total amount of the Assistance
Agreement which includes Federal funds plus
1a. Specify Federal fiscal year this report covers.The recipient matching funds and funds from other
Federal fiscal year runs from October 1 st through sources.
September 30th(e.g. November 29,2010 falls
within Federal fiscal year 2011) '`For SRF recipients only: SRF'recipients will not
enter an amount in 5a. Please leave 5a blank.
1b. Check applicable reporting box, quarterly, 5b. Self-explanatory.
semiannually, or annually. Also indicate if this is
the last report for the project. 5c. Provide the total dollar amount of ALL
1c. Indicate if this.is a revision to a previous year, procurements awarded this reporting period by
half-year, or quarter, and provide a brief the recipient, sub-recipients,and SRF loan
description of the revision you are making. recipients, including MBE/WBE expenditures.
2a-c. Please refer to your financial assistance For example: Actual dollars for procurement from
agreement for the mailing address of the EPA the procuring office; actual contracts let from the
financial assistance office for your agreement. contracts office;actual goods,services, supplies,
etc.,from other sources including the central
The"EPA DBE Reporting Contact"is the DBE, purchasing/procurement centers).
Coordinator for the EPA Region from which your
financial assistance agreement was originated. '`NOTE: To prevent double counting on line 5C,if
For a list of DBE Coordinators please refer to the any amount on 5E is for a subcontract and the
EPA OSBP website at www.epa.gov/osbp. Click prime contract has already been included on Line
on"Regional Contacts"for the name of your 5C in a prior reporting period,then report the
coordinator. amount going to MBE or WBE subcontractor on
line 5E, but exclude the amount from Line 5C. To
3a-c. Identify the agency, state authority, university or include the amount on 5C again would result in
other organization which is the recipient of the double counting because the prime contract,
Federal financial assistance and the person to which includes the subcontract,would have
contact concerning this report. already been reported.
4a. Provide the Assistance Agreement number 5d. State whether or not sub-awards and/or
assigned by EPA.A separate report must be subcontracts have been issued under the
submitted for each Assistance Agreement. assistance agreement by indicating"yes"or"no".
;For SRF recipients: In box 4a list numbers for 5e. Where requested, also provide the total dollar
ALL OPEN Assistance Agreements being amount of all MBE/WBE procurement awarded
reported on this form. Please note that although during this reporting period by the recipient,sub-
the New DBE Rule(which took effect May 27, recipients, SRF loan recipients, and prime
2008)revised the reporting frequency contractors in the categories of construction,
requirements from quarterly to semiannually,that equipment,services and supplies.These
change only applies to agreements awarded amounts include Federal funds plus recipient
AFTER the New DBE Rule took effect. matching funds and funds from other sources.
Therefore, SRF recipients may either continue to
report activity for all Agreements on one form on '`For SRF recipients only: In 5c please enter the
a quarterly basis until the last award that was total procurement amount for the quarter, or
made prior to the New DBE Rule has been closed semiannual period, under all of your SRF
Assistance Agreements.The figure reported in
out; OR,the recipient may split the submission of
SRF reports into quarterly reports for Agreements this section is not directly tied to an individual
awarded prior the New DBE Rule, and Assistance Agreement identification number.
semiannually for the awards made after the New (SRF state recipients report state
DBE Rule. procurements in this section)
6. If there were no MBEIWBE accomplishments this
reporting period, please briefly explain what
Texas Commission on Page 31 of 168 Contract
Environmental Quality 582-18-80091
specific steps you are taking to achieve the and 33); OMB Circulars; or added by EPA to ensure
MBE/WBE requirements specified in the terms sound and effective assistance management. Accurate,
and conditions of the Assistance Agreement. complete data are required to obtain funding,while no
7. Name and title of official administrator or pledge of confidentiality is provided.
designated reporting official.
The public reporting and recording burden for this
8. Signature, month, day, and year report submitted. collection of information is estimated to average I hour per
response annually. Burden means the total time, effort,
D.Instructions for Part 11: or financial resources expended by persons to.generate,
maintain, retain,or disclosure or provide information to or
For each MBE/WBE procurement made under this for a Federal agency. This includes the time needed to
assistance agreement during the reporting period, provide review instructions; develop,acquire, install,and utilize
the following information: technology and systems for the purposes of collecting,
validating, and verifying information, processing and
1. Check whether this procurement was made by maintaining information,and disclosing and providing
the recipient,sub-recipient/SRF loan recipient,or information; adjust the existing ways to comply with any
the prime contractor. previously applicable instructions and requirements;train
personnel to be able to respond to a collection of
2. Check either the MBE or WBE column. If a firm information;search data sources;complete and review
is both an MBE and WBE,the recipient may the collection of information; and transmit or otherwise
choose to count the entire procurement towards disclose the information. An agency may not conduct or
EITHER its MBE or WBE accomplishments. The sponsor,and a person is not required to respond to,a
recipient may also divide the total amount of the collection of information unless it displays a currently valid
procurement(using any ratio it so chooses)and OMB control number.
count those divided amounts toward its MBE and
WBE accomplishments. If the recipient chooses Send comments on the Agency's need for this
to divide the procurement amount and count information, the accuracy of the provided burden
portions toward its MBE and WBE estimates,and any suggested methods for minimizing
accomplishments, please state the appropriate respondent burden, including through the use of
amounts under the MBE and WBE columns on automated collection techniques to the Director, OPPE
the form. The combined MBE and WBE Regulatory Information Division, U.S. Environmental
amounts for that MBE/WBE contractor must Protection Agency(2136), 1200 Pennsylvania Avenue,
not exceed the"Value of the Procurement" NW,Washington, D.C. 20460. Include the OMB Control
reported in column#3 number in any correspondence. Do not send the
completed form to this address.
3. Dollar value of procurement.
4. Date of procurement, shown as month,day, year.
Date of procurement is defined as the date the
contract or procurement was awarded, not the
date the contractor received payment under the
awarded contract or procurement, unless
payment occurred on the date of award. (Where
direct purchasing is the procurement method,
the date of procurement is the date the
purchase was made)
5. Using codes at the bottom of the form, identify
type of product or service acquired through this
procurement(e.g.,enter 1 if construction, 2 if
supplies,etc).
6. Name, address,and telephone number of
MBE/WBE firm.
**This data is requested to comply with provisions
mandated by: statute or regulations (40 CFR Part 30, 31,
Texas Commission on Page 32 of 168 Contract
Environmental Quality 582-18-80091
Teras Commission on Environmental Quality
---'� - -- '¢Pass—Through Funding—Information—end-Federal-Funding Aeeountabilit and----a----
---I r ansparency Act Reporting Form
(see attached instructions and return completed form with signed copies of contract)
Brgff The purpose of the form is to identify this contract as a subawari using federal funds and to report the
obligation of federal funds.
1)Recipient Name
2)DBA Name
3)DUNS Number 4)DUNS Number+4
5)Address
City I � State Zip Code —�
Texas County Out of State County
6)Parent DUNS Number
7)Primary site where the work will be performed
City State Zip Code
Texas County Out of State County �1
8) a) in your business or organization's previous fiscal year did your business or organization(Including parent Yes
organization,all branches,and all affiliates world wide receive 80 percent or more in annual gross revenues
from U.S.federal contracts,subcontracts,loans,grants,sub-grants,and/or cooperative agreements? F1 No
if No,skip to Question No.9 and complete remaining questions.
b) In your business or organization's previous fiscal year,did your business or organization(including parent
organization,all branches,and all affiliates world wide)receive$25,000,000 or more in annual gross revenues ❑Yes
from U.S.federal contracts,subcontracts,loans,grants,sub-grants,and/or cooperative agreements?
No
!f No,skip to Question No.9 and complete remaining questions.
c) If Yes,complete link to SEC: httpJ/www.sec.gov/
d) If not,then provide the following: Names and compensation of top 5 highly compensated officers,if applicable.
(This will be the same compensation information which appears in recipient's System for Award Management(SAM)profile.)
Texas Commission on Page 33 of 168 Contract
Environmental Quality 582-18-80091
Texas Commission on Environmental Quality
Pass-Through Funding Information and Federal.Funding Accountability and
— - Transparency Act lreporting.Form (Continued) ...
TCEO (Seeattached instructions and return completed form with signed copies of contract)
Narne Amount
Name Amount
Name Amount
Name Amount
Name Amount
9)Recipient's Contract Number 12)Preparer's Phone Number�-
10)Form Preparers Name 13)Date Form Completed
11)Preparers Title
TCEQ To Complete-fill in all boxes or indicate N/A or TSD
Information marked TBD will be subsequently provided by TCEQ.
- ,-__�
- � . 14)TCEQ Contract Number
R� of 15)TCEQ Amendment Numberor Work Order Number(if applicable)
� r
16)Contract Effective Date
FUZZ
F 17)Amendment or Work Order or Notice to Proceed Effective Date
� a _
ice- r r
18)USAS Grant Number l r 19)Federal Award Identification No.
20)Federal Award Date 21)Federal Grant Start Date
4 L
r " 22)CFDA Program Number 1 23)CFDA Program Title
24)Federal Awarding Agency 25)Amount.Obligated
# C11 � (this action) $
26)Total Amount Obligated from Federal Award $
- r
C
27)Project Description
-r 28)TCEQ Preparer's Name
Texas Commission on Page 34 of 168 Contract
Environmental Quality 582-18-80091
Texas Commission on Environmental Quality
.� Pass-Through Funding Information and Federal Funding Accountability and
Transparency Act.Rep.oxting FormlContimed)_._._
TCELI
27iefoilaioing are RXEMPTfrom thisforin:
•Vendors providing goods or services(See 2 074R§200.330)
•Individuals acting as a natural person(i.e.,not owning or operating a business or-non-profit organization in his or her name)
•Federal Agencies
If you believe your entity is qualified for an additional exemption for the following reasons,please notify your TCEQ Project
Representative.(See 2 CFR§25.110)
•Disclosing the entity would compromise classified information,national security,or jeopardize the personal safety of the
entity's clients.
•Foreign entity applying foror receiving an award or subawardfor a project or program performed outside the Unitel States
and valued at less than$25,000.
1)The name of the recipient organization that corresponds with the recipient's Data Universal Numbering
System(DUNS)which appears in the System for Award Management(SAM)profile.
2)The "doing-business-as"name of the recipient's organization which corresponds with the recipient's DUNS
which appears in the SAM profile.
3)The recipient's organization's 9-digit DUNS number.
4)The+4 extension to the DUNS number created by registrants in SAM when there is a need for more than one
bank/Electronic Funds Transfer(EFT)account for a location.
5)Address where the recipient's organization is located which corresponds with a SAM profile.
6)The recipient's parent organization's 9-digit DUNS number which corresponds with the parent SAM profile.
7)Primary site where the work will be performed.
8)a)In your business or organization's previous fiscal year,did your business or organization(including parent
organization,all branches,and all affiliates worldwide) receive 8o percent or more in annual gross revenues
from U.S,federal contracts, subcontracts, Ioans,grants,subgrants, and/or cooperative agreements?Check Yes
or No.If NO,ship to question#9 and complete remaining questions.
b)In your business or organization's previous fiscal year,did your business or organization(including parent
organization,all branches, and all affiliates worldwide) receive$25,000,000 or more in annual gross
revenues from U.S.federal-contracts,subcontracts,loans,grants,subgrants,and/or cooperative agreements?
Check Yes or No. If NO,skip to question#9 and complete remaining questions.
c)If YES to both(a) and(b)above,then does the public have access to the information about the compensation
of the senior executives in your business or organization(including parent organization,all branches,and all
affiliates worldwide)through periodic reports filed under section(13(a)or 15(d) of the Securities Exchange
Act of 1934(15 U.S.C.78m(a),78o(d)or section 6104 of the'Internal Revenue Code of x986?Complete the
link to Securities and Exchange Commission(SEC).
d)If not,then provide the following:Names and compensation of top 5 highly compensated officers;if
applicable. ('Phis will be the same compensation information which appears in recipient's SAM profile.)
9)Identifying contract number assigned by the recipient for trading.
10)Identify the form preparer's name.
11)Identify the form preparer's title.
12)Identify the form preparer's phone number.
13) Date form is completed.
Texas Commission on Page 35 of 168 Contract
Environmental Quality 582-18-80091
m
Texas Commission on Environmental Quality
Pass-Through Funding Information and Federal Funding Accountability and
=Transparency-AttReporting Form InstructionslCont'inued)= -- - -
TCE
TCEQ to Complete Each time federal funds are obligated,a form must be completed for
each federal grant per contract or contract amendment.
14) Identify TCEQ's contract number.
15) Identify TCEQ's Amendment number or Work Order number(if applicable).
16) The date the contract is effective.
17) The date the Amendment,Work Order,or Notice to Proceed is effective.
18) USAS Grant Number.
ig) Federal Award Identification Number(FAIN).
20) Identify date federal award signed by authorized official of federal awarding agency.
21) Identify start date of federal grant.
22) The program number associated with the published description of federal assistance program in the
Catalog of Federal Domestic Assistance(CFDA).
23) The CFDA program name.
24) Name of Federal Awarding Agency.
25) Dollar amount of Federal funds obligated by this action.
26) Total dollar amount of Federal funds obligated.under this contract-only for the grant indicated above.
27) Project Description(The description should capture the overall purpose of the contract and/or,if this is
an umbrella contract describe the Work Order activity.)
28) Identify TCEQ's form preparer's name.
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GENERAL TERMS AND CONDITIONS
i. CONTRACT PERIOD
1.1. Contract Period. The Contract begins on the Effective Date and ends on the
Expiration Date as provided on the Contract Signature Page. If no Effective Date
is provided,the Effective Date of the Contract is the date of last signature. If no
Expiration Date is provided,the Expiration Date is August 31 of the same Fiscal
Year in which the Contract is signed.
1.2. Amendments.This Contract is not subject to competitive selection
requirements and may be amended by mutual agreement. Except as specifically
allowed by the Contract,all changes to the Contract require a written amendment
and agreement by both parties.
1.3. Extensions. TCEQ may by unilateral written amendment extend the Expiration
Date for a period of up to go days. Unless otherwise indicated in the applicable
contract amendment, an extension does not extend any other deadlines or due
dates other than the expiration of the Contract Period.The Contract maybe
renewed for one two-year period by amendment.
2. FUNDS
2.1 Availability of Funds. This Contract and all claims,suits or obligations arising
under or related to this Contract are subject to the receipt and availability of
funds appropriated by the Texas Legislature for the purposes of this Contract or
the respective claim, suit or obligation,as applicable. Performing Party will
ensure that this article is included in any subcontract it awards.
2.2 Maximum Authorized Reimbursement. The total amount of funds
provided by TCEQ for the Contract will not exceed the amount of the Maximum
Authorized Reimbursement as shown on the Contract Signature Page.
2.3 Fiscal Year Restrictions. In order to be reimbursed under this Contract,costs
must be incurred during the Contract Period and within the time limits
applicable to the funds from which the Contract is being paid. TCEQ is under no
obligation to offer deadline extensions which extend to the maximum availability
of the contract funding source.
2.4 Grants. If this Contract was entered under the TCEQ's.authority to award
grants,.TCEQ is providing financial assistance to the recipient to undertake its
own project.
2.5 No Debt against the State. This Contract is contingent on the continuing
appropriation of funds. This Contract shall not be construed to create debt
against the State of Texas.
3. ALLOWABLE COSTS
3.1 Conforming Activities. TCEQ will reimburse the Performing Party for
necessary and reasonable Allowable Costs that are incurred and paid by the
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Performing Party in performance of the Scope of Work as authorized by this
Contract in the Cost Budget or Fixed Payment Amounts.
3.2 UGMS. Allowable Costs are restricted to costs that comply with the Texas
Uniform Grant Management Standards(UGMS)and applicable state and federal
rules and law. The parties agree that all the requirements of the UGMS apply to
this Contract,including the criteria for Allowable Costs. Additional federal
requirements apply if this Contract is funded, in whole or in part,with federal
funds.
4. REIMBURSEMENT
4.1. Reimbursement Requests. Performing Party shall invoice TCEQ to request
reimbursement for its Allowable Costs for performing the Scope of Work.
Performing Party's invoice shall-conform to all reimbursement requirements
specified by TCEQ.
4.2. Conditional Payments. Reimbursements are conditioned on the Scope of
Work being performed in compliance with the Contract. Performing Parry shall
return payment to TCEQ for either overpayment or activities undertaken that are
not compliant with the Scope of Work. This does not limit or waive any other
TCEQ remedy.
4.3• No Interest for Delayed Payment. Because the Performing Party is not a
vendor of goods and services within the meaning of Texas Government Code
Chapter 2251,no interest is applicable in the case of late payments.
4.4• Release of Claims. As a condition to final payment or settlement,or both,the
Performing Party shall execute and deliver to the TCEQ a release of all claims
against the TCEQ for payment under this Contract.
4.5• State agencies/Institutions of Higher education. If the Contractor is a
State agency or institution of higher education payments must be made via
interagency transaction voucher(ITV),please provide a Recurring Transaction
Index(RTI) number on the face of the invoice OR if payments are to be deposited
into a local bank account,the following statement must be placed on the face of
the invoice: "Funds to be deposited into local bank account." For additional
information,please refer to the Texas Comptroller's Accounting Policy Statement
(APS) 014.
5. FINANCIAL RECORDS,ACCESS AND AUDITS
5.1 Audit of Funds. The Performing Party understands that acceptance of funds
under this Contract acts as acceptance of the authority of the State Auditor's
Office,or any successor agency,to conduct an audit or investigation in
connection with those funds. Performing Party further agrees to fully cooperate
with the State Auditor's Office or its successor in the conduct of the audit or
investigation,including providing all records requested. Performing Party shall
ensure that this clause concerning the audit of funds accepted under this Contract
is included in any subcontract it awards.
5.2 Financial Records. Performing Party shall establish and maintain financial
records including records of costs of the Scope of Work in accordance with
generally accepted accounting practices. Upon request Performing Party shall
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submit records in support of reimbursement requests. Performing Party shall
allow access during business hours to its financial records by TCEQ and other
state agencies for the purpose of inspection and audit. Financial records
regarding this contract shall be retained for a period of three(3)years after date
of submission of the final reimbursement request.
6. PERFORMING PARTY'S RESPONSIBILITIES
6.1 Performing Party's Responsibility for the Scope of Work. Performing
Party undertakes performance of the Scope of Work as its own project and does
not act in any capacity on behalf of the TCEQ nor as a TCEQ agent or employee.
Performing Party agrees that the Scope of Work is furnished and performed at
Performing Party's sole risk as to the means, methods,design,processes,
procedures and performance.
6.2 Independent Contractor. The parties agree that the Performing Parry is an
independent contractor.Nothing in this Contract shall create an employee-
employer relationship between Performing Party and TCEQ. Nothing in this
Contract shall create a joint venture between TCEQ and the Performing Party.
6.3 Performing Party's Responsibilities for Subcontractors. All acts and
omissions of subcontractors,suppliers and other persons and organizations
performing or furnishing any of the Scope of Work under a direct or indirect
contract with Performing Party shall be considered to be the acts and omissions
of Performing Party.
6.4 No Third Party Beneficiary. TCEQ does not assume any duty to exercise any
of its rights and powers under the Contract for the benefit of third parties.
Nothing in this Contract shall create a contractual relationship between TCEQ
and any of the Performing Party's subcontractors,suppliers or other persons or
organizations with a contractual relationship with the Performing Party.
7. TIME
7.1 Time is of the Essence. Performing Party's timely performance is a material
term of this Contract.
7.2 Delays. Where Performing Party's performance is delayed, except by Force
Majeure or act of the TCEQ,TCEQ may withhold or suspend reimbursement,
terminate the Contract for cause, or enforce any of its other rights(termination
for convenience maybe effected even in case of Force Majeure or act of TCEQ).
8. CONFLICT OF INTEREST
Performing Party shall have a policy governing disclosure of actual and potential.conflicts of
interests. Specifically,for work performed under this Contract by Performing Party or any
related entity or individual, Performing Party shall promptly disclose in writing to TCEQ any
actual,apparent,or potential conflicts of interest,including but not limited to disclosure of:
i. Any consulting fees or other compensation paid to employees,officers, agents of
Performing Party, or members of their immediate families,or paid by subcontractor
or subrecipients; or
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ii. Any organizational conflicts of interest between Performing Party and its
subcontractors or subrecipients under a subaward.
No entity or individual with any actual, apparent,or potential conflict of interest will take part
in the performance of any portion of the Scope of Work, nor have access to information
regarding any portion of the Scope of Work,without TCEQ's written consent in the form of a
unilateral amendment. Performing Party agrees that TCEQ has sole discretion to determine
whether a conflict exists,and that a conflict of interest is grounds for termination of this
Contract.
9. DATA AND QUALITY
9.1 Quality and Acceptance. All work performed under this Contract must be
complete and satisfactory in the reasonable judgment of the TCEQ. All materials
and equipment shall be handled in accordance with instructions of the applicable
supplier, except as otherwise provided in the Contract.
9.2 Quality Assurance. All work performed under this Contract that involves the
acquisition of environmental data will be performed in accordance with a TCEQ-
approved-Quality Assurance Project-Plan(QAPP) meeting all applicable TCEQ
and EPA requirements. Environmental data includes any measurements or
information that describe environmental processes,location, conditions,
ecological or health effects and consequences. Environmental data includes
information collected directly from measurements,produced from models,and
compiled from other sources such as databases or literature. No data collection
or other work covered by this requirement will be implemented prior to
Performing Party's receipt of the QAPP signed by TCEQ and,if necessary,the
EPA. Without prejudice to any other remedies available to TCEQ,TCEQ may
refuse reimbursement for any environmental data acquisition performed prior to
approval of a QAPP by TCEQ and, if necessary,the EPA. Also;without prejudice
to any other remedies available to TCEQ, Performing Party's failure to meet the
terms of the QAPP may result in TCEQ's suspension of associated activities and
non-reimbursement of expenses related to the associated activities.
9.3 Laboratory Accreditation. Any laboratory data or analyses provided under
this Contract must be prepared by a laboratory that is accredited by TCEQ
according to 3o Texas Administrative Code Chapter 25,subchapters A and B,
unless TCEQ agrees in writing to allow one of the regulatory exceptions specified
in 3o Texas Administrative Code Section 25.6.
io. INTELLECTUAL PROPERTY
10.1. Third Party Intellectual Property. Unless specifically modified in an
amendment or waived in a unilateral amendment,Performing Party must obtain
all intellectual property licenses expressly required in the Scope of Work,or
incident to the use or possession of any deliverable under the Contract.
Performing Party shall obtain and furnish to TCEQ: documentation on the use of
such intellectual property, and a perpetual, irrevocable,enterprise-wide license to
reproduce,publish, otherwise use, or modify such intellectual property and
associated user documentation,and to authorize others to reproduce,publish,
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otherwise use, or modify such intellectual property for TCEQ non-commercial
purposes, and other purposes of the State of Texas.
10.2. Grant of License. Performing Party grants to TCEQ a nonexclusive,perpetual,
irrevocable,enterprise-wide license to reproduce,publish, modify or otherwise
use for any non-commercial TCEQ purpose any preexisting intellectual property
belonging to the Performing Party that is incorporated into any new works
created as part of the Scope of Work, intellectual property created under this
Contract, and associated user documentation.
ii. INSURANCE AND INDEMNIFICATION
11.1 Insurance. Unless prohibited by law,the Performing Party shall require its
contractors to obtain and maintain during the Contract Period adequate
insurance coverage 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. Unless specifically waived by the TCEQ, sufficient coverage
shall include Workers Compensation and Employer's Liability Insurance,
Commercial Automobile Liability Insurance, and Commercial General Liability
Insurance.
11.2 Indemnification. TO THE EXTENT AUTHORIZED BYLAW,THE
PERFORMING PARTY SHALL REQUIRE ALL CONTRACTORS PERFORMING
CONTRACT ACTIVITIES ON BEHALF OF PERFORMING PARTY TO
INDEMNIFY, DEFEND,AND HOLD HARMLESS THE TCEQ AND
PERFORMING PARTY AND THEIR OFFICERS,AND EMPLOYEES, FROM
AND AGAINST ALL LOSSES, LIABILITIES, DAMAGES,AND OTHER CLAIMS
OF ANY TYPE ARISING FROM THE PERFORMANCE OF CONTRACT
ACTIVITIES BY THE CONTRACTOR OR ITS SUBCONTRACTORS,SUPPLIERS
AND AGENTS, INCLUDING THOSE ARISING FROM DEFECT IN DESIGN,
WORKMANSHIP,MATERIALS, OR FROM INFRINGEMENT OF ANY PATENT,
TRADEMARK OR COPYRIGHT; OR FROM A BREACH OF APPLICABLE LAWS,
REGULATIONS, SAFETY STANDARDS OR DIRECTIVES. THE DEFENSE OF
TCEQ SHALL BE SUBJECT TO THE AUTHORITY OF THE OFFICE OF THE
ATTORNEY GENERAL OF TEXAS TO REPRESENT TCEQ. THIS CONVENANT
SURVIVES THE TERMINATION OF THE CONTRACT.
12. TERMINATION
12.1 Termination for Cause. TCEQ may,upon providing to days'written notice
and the opportunity to cure to the Performing Party,terminate this Contract for
cause if Performing Party materially fails to comply with the Contract including
any one or more of the following acts or omissions: nonconforming work,or
existence of a conflict of interest. Termination for cause does not prejudice
TCEQ's other remedies authorized by this Contract or by law.
12.2 Termination for Convenience. TCEQ may, upon providing to days'written
notice to the Performing Party,terminate this Contract for convenience.
Termination shall not prejudice any other right or remedy of TCEQ or the
Performing Party. Performing Party may request reimbursement for:
conforming work and timely,reasonable costs directly attributable to
termination. Performing Party shall not be paid for: work not performed,loss of
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anticipated profits or revenue,consequential damages or other economic loss
arising out of or resulting from the termination.
12.3 If,after termination for cause by TCEQ,it is determined that the Performing
Party had not materially failed to comply with the Contract,the termination shall
be deemed to have been for the convenience of TCEQ.
i3. DISPUTES, CLAIMS AND REMEDIES
13.1 Payment as a Release. Neither payment by TCEQ nor any other act or
omission other than an explicit written release,in the form of a unilateral
amendment, constitutes a release of Performing Party from liability under this
Contract.
13.2 Schedule of Remedies available to the TCEQ. In accordance with Texas
Government Code Chapter 2261 the following Schedule of Remedies applies to
this Contract. In the event of Performing Party's nonconformance,TCEQ may do
one or more of the following:
13.2.1. Issue notice of nonconforming performance;
13.2.2. Reject nonconforming performance and request corrections without charge to
the TCEQ;
13.2.3. Reject a reimbursement request or suspend further payments, or both,
pending accepted revision of the nonconformity;
13.2.4. Suspend all or part of the Contract Activities or payments, or both,pending
accepted revision of the nonconformity;
13.2.5. Demand restitution and recover previous payments where performance is
subsequently determined nonconforming;
13.2.6. Terminate the contract without further obligation for pending or further
payment by the TCEQ and receive restitution of previous payments.
13.3 Opportunity to Cure. The Performing Party will have a reasonable opportunity to
cure its nonconforming performance, if possible under the circumstances.
13.4 Cumulative Remedies. Remedies are cumulative;the exercise of any remedy
under this Contract or applicable law does not preclude or limit the exercise of
any other remedy available under this Contract or applicable law.
:14. SOVEREIGN IMMUNITY
The parties agree that this Contract does not waive any sovereign immunity to which either
party is entitled by law.
i5. SURVIVAL OF OBLIGATIONS.
Except.where a different period is specified in this Contract or applicable law,all
representations,indemnifications, and warranties made in,required by or given in accordance
with the Contract,as well as all continuing obligations indicated in the Contract,survive for
four(4)years beyond the termination or completion of the Contract, or until four(4)years
after the end of a related proceeding.A related proceeding includes any litigation,legal
proceeding,permit application,or State Office of Administrative Hearings proceeding,which is
brought in relation to the Contract or which in TCEQ's opinion is related to the subject matter
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of the Contract. Either party shall notify the other of any related proceeding if notice of the
proceeding has not been provided directly to that other parry.
16.CONTRACT INTERPRETATION
16.1 Definitions. The word"include"and all forms such as"including" mean
"including but not limited to"in the Contract and in documents issued in
accordance with the Contract,such as Work Orders or Proposals for Grant
Activities (PGAs).
16.2 Headings. The headings of the sections contained in this Contract are for
convenience only and do not control or affect the meaning or construction of any
provision of this Contract.
16.3 Delivery of Notice. Notices are deemed to be delivered three (3) working days
after postmarked if sent by U.S. Postal Service certified or registered mail,return
receipt requested.Notices delivered by other means are deemed delivered upon
receipt by the addressee. Routine communications may be made by first class
mail, facsimile transmission,email, or other commercially accepted means.
16.4 Interpretation of Time. All days are calendar days unless stated otherwise.
Days are counted to exclude the first and include the last day of a period. If the
last day of the period is a Saturday or Sunday or a state or federal holiday,it is
omitted from the computation.
16.5 State, Federal Law. This Contract is governed by, and interpreted under the
laws of the State of Texas,as well as applicable federal law.
16.6 Severability. If any provision of this Contract is found by any court,tribunal or
administrative body of competent jurisdiction to be wholly or partly illegal,
invalid,void or unenforceable,it shall be deemed severable(to the extent of such
illegality,invalidity or unenforceability)and the remaining part of the provision
and the rest of the provisions of this Contract shall continue in full force and
effect. If possible,the severed provision shall be deemed to have been replaced
by a valid provision having as near an effect to that intended by the severed
provision as will be legal and enforceable.
16.7 Assignment. No delegation of the obligations,rights, or interests in the
Contract, and no assignment of payments by Performing Party will be binding on
TCEQ without its written consent, except as restricted by law. No assignment
will release or discharge the Performing Party from any duty or responsibility
under the Contract.
16.8 Venue. Performing Party agrees that the Contract is being performed in Travis
County,Texas, because this Contract has been performed or administered,or
both,in Travis County,Texas. The Performing Party agrees that any cause of
action involving this Contract arises solely in Travis County,Texas.
16.9 Publication. Performing Party agrees to notify TCEQ five(5) days prior to the
publication or advertisement of information related to this Contract. Performing
Parry agrees not to use the TCEQ logo or the TCEQ graphic as an advertisement
or endorsement without written permission signed by the appropriate TCEQ
authority.
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16.10 Waiver. With the exception of an express,written waiver in the form of a
unilateral amendment signed by TCEQ,no act or omission will constitute a
waiver or release of Performing Party's obligation to perform conforming
Contract Activities. No waiver on one occasion,whether expressed or implied,
shall be construed as a waiver on any other occasion.
16al Compliance with Laws. TCEQ relies on Performing Party to perform all
Contract Activities in conformity with all applicable laws, regulations,and rules
and obtain all necessary permits and licenses.
16.12 Counterparts. This Contract may be signed in any number of copies. Each
copy when signed is deemed an original and each copy constitutes one and the
same Contract.
16.13 Accessibility. All electronic content and documents created as deliverables
under this Contract must meet the accessibility standards prescribed in 1 Texas
Administrative Code sections 2o6.5o and 213 for state agency web pages,web
content,software,and hardware, unless TCEQ agrees that exceptions or
exemptions apply.
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SCOPE OF WORK
I. FACTS/PURPOSE
The Performing Party will operate and maintain five continuous air monitoring
stations (CAMS) and one non-continuous air monitoring station(NCAMS)in the
Fort Worth,Texas area in accordance with the effective equipment standard
operating procedures(SOPs),the Preventive Maintenance Instructions(PMI)
Manual,the Performing Party quality management plan(QMP),and the Texas
Commission on Environmental Quality(TCEQ) quality assurance project plan
(QAPP)pertaining to the State or Local Air Monitoring Stations(SLAMS)
network. Documentation is available upon request.
Station Locations:
CAMS 0017—Keller,Alta Vista Road, Fort Worth
CAMS oo61 —Arlington Municipal Airport,6604 South Collins Street,
Arlington
CAMS 0075—Eagle Mountain Lake, 14290 Morris Dido Newark Road,
Eagle Mountain
CAMS 0076 —Parker County,3033 NewAuthon Road, Weatherford
CAMS loo8 —Johnson County Luisa, 2420 Luisa Lane,Alvarado
NCAMS—Stagecoach, 89oo West Freeway,White Settlement
The Performing Party will operate any additional or relocated ambient air
monitoring equipment at the currently established or new monitoring station as
needed or as agreed upon by both parties. In the event of site relocation,the
Performing Party will notify TCEQ immediately,receive approval prior to
relocation,and will operate the site at the new location.
Table 1.A lists all equipment and air monitoring stations operated and
maintained under this contract.
Table i.A Air Monitoring Stations and Equipment
Station Equipment Type Operating
Schedule
Keller 03 continuous
SR continuous
met continuous
Arlington Municipal Airport NOx continuous
03 continuous
SR continuous
met continuous
Eagle Mountain Lake 03 continuous
SR continuous
met continuous
Parker County 03 continuous
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Station Equipment Type Operating
Schedule
SR continuous
met continuous
Johnson County Luisa VOC canister 1 6 days
met continuous
Sta ecoach PMio FRM 1/6 days
met—meteorological equipment with sensors for monitoring temperature,wind speed,and wind direction
NO.—oxides of nitrogen;includes nitric oxide(NO)and nitrogen dioxide(NOO
03—ozone
PM,,,—particulate matter of io micrometers or less in diameter
FRM—federal reference method
SR—solar radiation sensor
VOC—volatile organic compound
II. ADMINISTRATION REGULATIONS/DESIGNATION OF STAFF
A. Grants
This contract is contingent on continued federal funding through grants
awarded under Section 1o5 of the Federal Clean Air Act.
B. Re-Budget Approval
As needed,the Performing Party shall submit to the TCEQ Project Manager a
request for re-budget approval with a revised cost budget sheet and any
required justification submitted by set deadline.Within to business days of
the request,the TCEQ will provide comments,deny,or approve the request.
Re-budget approval shall be required for:
• cumulative transfers among direct cost categories not to exceed 10 percent
(%) of the total costs for the current year's budget;
• transfers of funds allotted for training;
• changes in key personnel in cases where specified in an application or
grant award;
• subcontracting those activities which are central to the purposes of the
award; or
• when extra funds are available from other local programs to be used by the
Performing Party.
C. Contract Amendment
As needed,the Performing Party shall submit to the TCEQ Project Manager a
request for a contract amendment with a revised cost budget sheet and any
required justification submitted by set deadline. Within to business dayq of
the request,the TCEQ will provide comments,deny,or approve the request.If
approved,a contract amendment will be issued by the Project Manager within
to business days.A contract amendment shall be required for:
• cumulative transfers among direct cost budget categories that exceed lo%
of the total current year's budget; or
• when extra funds are available from other local program(s)to be used by
the Performing Party.
As needed, and as agreed upon by both parties,the TCEQ may perform a
contract amendment to account for changes to the stations and/or equipment
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listed in Table 1.A. Performing Party shall return signed contract amendment
within 3o days of receipt.
D. Purchase of Items Over$1,000.0o per unit
• Prior to purchase,the Performing Party must submit a request and
justification to the TCEQ Project Manager for approval to purchase items
with a unit acquisition cost of$1,000.00 or more.
• Within 3o days of the start of the fiscal year,the Performing Party shall
submit an equipment replacement plan for all scheduled equipment
replacement.
E. This contract details work to be performed in Fiscal years(FY) 2018 and 2019.
• FY 2018 begins September 1, 2017, and ends August 31, 2018.
• FY 2019 begins September 1, 2018,and ends August 31, 2019.
F. Calendar quarters are defined as:
• 1St quarter: January-March
• 2nd quarter:.April-June
• 3rd quarter:July-September
• 4th quarter- October-December
G. Fiscal and seasonal quarters are defined as:
• 1St quarter: September-November
• 2nd quarter: December-February
• 3rd quarter: March-May
• 4th quarter: June-August
H. Quality Assurance/Quality Control Assessments
On an ongoing basis,both the TCEQ and the United States Environmental
Protection Agency(U.S. EPA)reserve the right to assess monitors operated by
the Performing Party,which includes performance evaluation,inspection,
surveillance,peer review, or audit.Such assessments are expected to be
announced and coordinated with the Performing Party's staff.
III. TCEQ RESPONSIBILITIES
A. Provide all monitoring equipment,parts,supplies,and consumables needed
for operation, repair, and maintenance of all air monitoring equipment at all
sites listed in Table 1.A,including replacement of unserviceable equipment.
B. Provide the Performing Party staff with individual virtual private network
(VPN)access accounts to check the site status remotely,via the Agency's
internal status report webpage, during the term of the contract.
C. Provide training for equipment operations and other activities designed to
increase technical capabilities required to support this agreement upon
request by the Performing Party.
D. Provide limited technical support related to TCEQ air monitoring equipment
by phone, email, or on-site visits,during regular business days between the
hours of 8:0o AM and 5:00 PM CST on standard business days.
E. Conduct annual air monitoring station.field audits.
F. Designate staff to provide contract oversight.
• Hannah Crews (512) 239-1828 is the Project Manager and point-of-
contact for this contract.
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• Marcia King(512) 239-1766 is the Contract Specialist.
• Heather Stewart(512)239-5241 is the Air Quality System(AQS) Data
Coordinator.
Additional experienced TCEQ staff are available in the absence of those listed
above. Contact information for technical staff is available upon request.
IV. PERFORMING PARTY RESPONSIBILITIES
A. Maintain,troubleshoot,and/or repair equipment at all monitoring sites listed
in Table 1.A.
B. Ensure that all audit equipment,including calibrators and PM kits, date of
certification is current.Equipment must be sent to TCEQ for certification prior
to expiration.
C. Ensure all deliverables listed in Table VLA are performed adequately and on
time.Document completion and submit deliverables in the manner listed in
Table VI.A.
D. Provide equipment replacement plan to TCEQ Project Manager by September
30 of each year for the coming fiscal year. Plan should include an inventory of
all existing equipment and age,and planned date for replacement or upgrade.
E. Designate a Project Representative who receives directions from TCEQ,
manages the performed work,and acts on behalf of the Performing Party as
an authorized representative.
F. Provide one primary operator(with a minimum of six months experience with
ambient air monitoring equipment) and one backup site operator(with
similar experience)for each site.These site operators must be
electrical/mechanical grade technicians proficient in the use and maintenance
of meteorological hardware, monitoring equipment,digital volt meters, and
personal computers.
G. All operators shall operate the equipment according to established applicable
SOPS, PMIs, QAPPs, QMPs,and any guidance documents supplied by the
TCEQ Project Manager. Documentation is available upon request and on the
TCEQ Rhone webpage.For any operations performed under this contract in
which the Performing Party is not using TCEQ SOPS,the Performing Party
must develop its own SOPS and must receive TCEQ approval prior to
implementation.It is the responsibility of the Performing Party to ensure its
staff is adequately trained and qualified in order to perform designated tasks.
H. One operator must be present during all on-site audits, assessments, or site
visits. Expect at least one assessment per year..More frequent assessments
may occur if significant or persistent data quality issues are identified. If the
data quality objectives are not met, the Performing Party must produce a
corrective action plan in writing,within 3o days of notification or set
deadline,including:
• an assignable root cause for not meeting this specification;
• the programmatic impact;
• specific corrective actions taken or planned to address the
nonconformance and prevent recurrence;
• a timeline for completing each action;
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• the means by which corrective action completion will be documented and
verified; and
• the individuals responsible for implementation.
I. Possess and utilize the requisite information,practical knowledge, techniques,
and skills to comply with all federal and state air monitoring rules,including
those listed in the effective Code of Federal Regulations. Ensure that the
monitoring sites are operated in compliance with all applicable state and
federal regulations.
J. Request TCEQ approval prior to all travel related to this contract. Once
approved,make travel arrangements and cover expenses for staff to attend
requested trainings,demonstrations of competency, and meetings.
K. Document all site activities in the electronic operator log before leaving a site
where access to electronic log is available and within two business days where
site access to electronic logs is not available.
L. Identify,obtain,and document any necessary safety training annually. Upon
TCEQ request,provide proof of completed training.
M. Ensure all training is documented and records are maintained in accordance
with the TCEQ retention rate of at least five years and that records are readily
accessible.
N. Respond to site and contractual.information requests from the TCEQ Project
Manager by requested deadlines.
O. Respond to and comply with verbal and written guidance supplied by the
TCEQ Project Manager and technical support staff by requested deadlines.
P. Contract with a TCEQ approved National Environmental Laboratory
Accreditation Program(NELAP) accredited analytical laboratory for analysis
of non-continuous samples if samples are not.analyzed by the TCEQ.
Q. Use the Financial Status Report(FSR)form,provided as Form B4 in
Appendix B of the original contract,for all FSRs.
R. Collect and monitor continuous ambient air data and operate non-continuous
samplers according to applicable Standard Operating Procedures(SOPs)and
the U.S. EPA Monitoring Schedule.
S. Monitor the site status remotely through the agency's internal status report
webpage using the TCEQ-provided VPN access. Ensure individual VPN
access accounts remain active. If VPN access is lost,it is the Performing
Party's responsibility to alert the TCEQ Project Manager upon discovery.VPN
access accounts are issued to individuals and must not be shared amongst
Performing.Party's staff.
T. The Performing Party must match TCEQ expenditures by contributing 33%of
the total project costs. Each invoice must include supporting documentation
demonstrating that the Performing Party is contributing the required match
for the period specified on the invoice.
V. DESCRIPTION OF DELIVERABLES
The Performing Party must operate and maintain the air monitoring stations
listed in Section I according to all effective TCEQ approved QAPPs, SOPs, QMPs,
and PMI Manual, as well as any additional guidance provided by the TCEQ
Texas Commission on Page 49 of 168 Contract
Environmental Quality 582-18-80091
Project Manager.The TCEQ documents can be accessed through the TCEQ
RHONE page and are also available upon request.
V1. SCHEDULE OF DELIVERABLES
The Performing Party must provide the deliverables listed in Table VIA to the TCEQ in
accordance with the noted timeframes.
Table VLA Contract Deliverables
Deliverable Equipment Summary of Tasks and Submit to:
Timeframes
Quality NOx, 03, • As part of the SLAMS network, Project
Assurance PMio FRM, participate in all reviews of the Manager
Project Plan met, SR, SLAMS QAPP.Submit
(QAPP) VOC revised/updated appendices detailing
Review any deviations in the Performing
Party's implementation of the TCEQ
QAPP,or a certification that no
changes were made,within 3o days of
the request from the Project
Manager.
• By mutual agreement,the Performing
Parry and TCEQ may amend the
QAPP as necessary to reflect changes
in work to be performed under this
contract to meet data quality
objectives(D Os).
Quality NOx,031 • A minimum of 12o days prior to the Project
Management PMio FRM, expiration of the most current TCEQ- Manager
Plan(QMP) met, SR, approved Performing Party QMP,
Review VOC submit a draft revised QMP or a
signed certification letter that no
changes were made to the existing
plan to the TCEQ Project Manager.
• Ensure the QMP adheres to U.S.EPA
Requirements for Quality Assurance
Project Plans(QA/R2).
• By mutual agreement, the Performing
Party and TCEQ may amend the QMP
as necessary to reflect changes in
work to be performed under this
contract to meet DQOs.
• QMPs are reviewed on a biennial
basis.
Preventive NO., 03, Execute the following: Leading
Maintenance PMio FRM, • 4-014,Analyzer Sample Inlet Environmental
Instruction met, SR, Particulate Filter Replacement(03i Analysis and
VOC Dis lay System
Texas Commission on Page 50 of 168 Contract
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Deliverable Equipment Summary of Tasks and Submit to:
Timeframes
(PMI) CO, SO2, NOx),a minimum of every (LEADS)via
Completion two weeks; VPN
- City of Fort Worth Standard
Operating Procedure(SOP):Sierra-
Andersen Model#SAW-11H PM1 o
Sampler, Sections 9.3 Gasket
Inspection, 9.7 Motor Brush Change,
and 9.8 Inlet Cleaning for the Sierra
Anderson sampler, a minimum of
every go days and at motor
replacement;
- 26-i8o, Climatronics F46o
Temperature Boom Cleaning, a
minimum of every six months;
- 26-3.6o,Replacement of Wind
Direction and Wind Speed Sensors
for Climatronics F46o,a minimum of
once per year and at failure;
- 3-030,Replacement of Air
Conditioning Unit Return Air Filter,
a minimum of every 3o days;
- 4-36o,Ambient Sample Line
Replacement, a minimum of once per
year;
- 5-36o,Exhaust Scrubber Charcoal
Replacement,a minimum of once per
year;
- 9-18o,Zero Air Module Charcoal
Scrubber Replacement,a minimum
of once every six months;
- 10-36o, Calibrator Air Inlet Filter
Change, a minimum of once per year;
30-030,Solar Rad Cleaning,a
minimum of every 3o days; and
- any future PMIs developed for this
equipment with TCEQ notification
- After PMI completion,document
PMIs in the site electronic operator
log and within two business days
where site access to electronic logs is
not available.
Demonstratio NOx, 03, - Ensure all site operators demonstrate Project
n of PM,o FRM, passing DOCs. Manager
Competency met, SR, - Submit completed DOC forms and
(DOC) VOC supporting documentation to the
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Environmental Quality 582-18-80091
Deliverable Equipment Summary of Tasks and Submit to:
Timeframes
TCEQ Project Manager for all
equipment and all current operators
within six months after the effective
date of this contract.
• If an operator is hired after the
effective date of this contract, submit
completed DOC form within six
months of the operator's hire date.
Ensure the operator demonstrates a
passing DOC.
• Complete all DOCS using Form 1:
DOC Documentation Form
(incorporated by reference), and
submit original forms to the TCEQ
within to business days of
completion. Maintain copies of the
completed forms and any supporting
documentation for a minimum of five
years.Make this documentation
available upon request.
Quarterly NOx,031 • Submit quarterly invoices within one Project
Invoices PMio FRM, calendar month after close of fiscal Manager
met, SR, quarter. Fiscal quarters are defined in and Contract
VOC Section II of this contract. Specialist
• Invoices must include a detailed
breakdown of all expenditures,
including sufficient supporting
documentation.
• Any inappropriate expenditure,
including items not related to the
project,will result in the invoice
being rejected.
• In the event that an invoice is
rejected,the Performing Party must
submit a revised invoice within to
business days of rejection date.
Final NOx, 03, • Submit a 4th quarter invoice by Contract
Financial PMio FRM, October 30 of each fiscal year along Specialist and
Status Report met, SR, with the final FSR.Fiscal years are Project
(FSR),4th VOC defined in Section II of this contract. Manager
Quarter • With the final FSR,submit a list of
Invoice, and property purchased with funds from
Release of this contract having a unit acquisition
cost of$1,000.00 or more.Attach
Texas Commission on Page 52 of 168 Contract
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Deliverable Equipment Summary of Tasks and Submit to:
Timeframes
Claims written documentation of TCEQ
Submission approval.
• Ensure the FSR.satisfies the state
financial reporting requirements for
this contract.
• Submit completed Release of Claims
form with final contract invoice.
Data NOXI 03, • Review continuous data in Leading Report
Collection and PMto FRM, Environmental Analysis and Display continuous
Submission met, SR, System(LEADS)daily to ensure data through
VOC sampler function. Document this LEADS via
review in the electronic operator log VPN or
on the day it occurs. through the on-
* Monitor each non-continuous sample site data logger.
collection to ensure sequential valid
samples are collected. Document this Submit non-
review in the site electronic operator continuous
log according to the requirements samples to
listed in Section IV of this contract. TCEQ or
• Unless otherwise specified,provide contract
all air quality data submittals within laboratory.
45 days after the end of the calendar
quarter. Calendar quarters are
defined in Section II of this contract.
• Ensure all continuous air quality data
submittals are accompanied by
precision reports,and all non-
continuous air quality data submittals
are accompanied by accuracy reports.
Data NO,, 03, •Track and submit data completeness Project
Completeness PMio FRM, reports within one calendar month Manager
met, SR, after close of fiscal quarter. Fiscal
VOC quarters are defined in Section II of
this contract.
• Ensure data completeness is a
minimum of 85 percent(%)per
monitor per month. Include
description of how data completeness
was determined and provide
justification for data loss.
•If the data quality objectives are not
met,produce in writing,within 30
days of notification, a corrective
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Deliverable Equipment Summary of Tasks and Submit to:
Timeframes
action plan as described in Section
IV.
TAMIS Raw NOx, 03, Ensure all air quality data collected AQS Data
Data AQS PMio FRM, under the terms of this contract are Coordinator
Report met, SR, submitted to the TCEQ in a TAMIS and
VOC Raw Data AQS Report for the Project
preceding quarter. This report shall Manager
be submitted within 45 days after
the end of the calendar quarter.
Calendar quarters are defined in
Section II of this contract.
• The TAMIS Raw Data AQS Report
can be accessed at
http://tamis.tceq.texas.gov jtamis/i
ndex.cfm?fuseaction=report.main.
• For assistance completing the
TAMIS Raw Data AQS Report
contact the AQS Data Coordinator.
Non- PMio FRM . Ship collected non-continuous TCEQ Air
continuous samples to the laboratory for analysis Laboratory or
Sample prior to the next scheduled sample contracted
Shipping collection or as defined in instrument laboratory.
SOPS. Project
• Fill out required sample custody Manager
documentation with no errors.
• Document collection and shipping
dates in electronic operator log
according to the requirements listed
in Section IV of this contract.
• Respond within 48 hours to any
sample issues provided by the lab.
Inventory NO,,03, • Provide updated equipment Project
Management PMio FRM, replacement plan by September 3o as Manager
and Reports met, SR, noted in Section IV.
VOC • Request approval from the Project
Manager, in writing, go days prior to
all equipment purchases.
• Document any equipment
replacement or change in Hardware
Tracker and the electronic operator
log according to the requirements
listed in Section IV of this contract.
•Track and submit inventory reports
within one calendar month after close
Texas Commission on Page 54 of 168 Contract
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Deliverable Equipment Summary of Tasks and Submit to:
Timeframes
of fiscal quarter.Fiscal quarters are
defined in Section II of this contract,
Equipment NOx, 037 • Respond to equipment failures or Project
Failure PM,o FRM, malfunctions by visiting the site on Manager,
Response met,SR, the same day if feasible,but no later TCEQ
VOC than the next business day. Equipment
• Notify TCEQ in writing within one Support
business day of problem resolution. Work4roup
(ESWL),and
Leads via VPN
Equipment NOx, 03, • Report equipment failures or Project
Failure and PM,o FRM, malfunctions in writing the same day Manager,
Sample Loss met, SR, as discovered. Include symptoms or TCEQ ESWG,
Reports VOC root cause and estimated timeframe and
to restore data collection. LEADS via
• Inform Project Manager in writing VPN
within one business day if any
continuous monitor fails to collect
data for more than 48 consecutive
hours or when two consecutive non-
continuous samples are missed or
invalid.
• If the data quality objectives are not
met,produce in writing,within 30
days of notification,a corrective
action plan as described in Section
IV.
Monthly PM,o FRM . Perform verifications monthly within PM listserv,
Verifications first five business days of the month. Project
and Reports • Perform verification procedures as Manager
defined by instrument SO Ps using
unexpired calibration equipment.
• Download anew verification
worksheet from the TCEQ Rhone
page at htt12://rhone4 JpZi-
bin/worksheet docs.pl for each
verification.
• Enter all verifications in the
electronic operator log according to
the requirements listed in Section IV
of this contract,identifying the
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Deliverable Equipment Summary of Tasks and Submit_ to:
Timeframes
sampler, and the date of the
verification.
• Verification reports must be
independently reviewed by someone
other than the originator prior to
submission to the TCEQ to ensure
accuracy.
• Submit verification report within two
business days of completion.
• If corrections are requested by the
TCEQ Project Manager,correct and
return the worksheet within one
business day.
Quarterly PM,o FRM • Perform quarterly calibrations within PM listserv,
Calibration first five business days of the quarter Project
using unexpired calibration Manager
equipment.Quarters are defined by
instrument SOPS.
• Perform additional calibrations after
instrument repair,modification,or
replacement.
• Download a new calibration
worksheet from the TCEQ Rhone at
http:flrhone4/cgi
bin/worksheet docs.pl page for each
calibration.
• Enter all calibrations in the electronic
operator log according to the
requirements listed in Section IV of
this contract,identifying the sampler,
and the date of the calibration.
• Calibration reports must be
independently reviewed and verified
by someone other than the originator
prior to submission to the TCEQ to
ensure accuracy.
• Submit calibration reports within two
business days of completion of
calibration.
• If corrections are requested by the
TCEQ Project Manager,correct and
return the worksheet within one
business da .
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Deliverable Equipment Summary of Tasks and Submit to:
Timeframes
Seasonal PM,o FRM • Perform quarterly audits within first PM listserv,
Quarterly five business days of the quarter, Project
Audits and using unexpired calibration Manager
Reports equipment. Quarters are defined by
instrument SOPs.
•Perform additional audits after
instrument repair,modification,or
replacement.
• Download a new audit worksheet
from the TCEQ Rhone at
http://rhone4/cgi-
bin/worksheet does.pl page for each
audit.
• Enter all audits in the electronic
operator log according to the
requirements listed in Section IV of
this contract,identifying the sampler,
and the date of the audit.
•Audit reports must be independently
reviewed by someone other than the
originator prior to submission to the
TCEQ to ensure accuracy.
• Submit audit reports within two
business days of audit completion.
• If corrections are requested by the
TCEQ Project Manager,correct and
return the worksheet within one
business day.
Laboratory 03,NO. • Perform eight LCCs per year,two per LCC listserv,
Control seasonal quarter, approximately 45 Project
Checks(LCC) days apart per instrument. Provide an Manager
and Reports annual LCC schedule for each
parameter by September 30.
•Download a new LCC worksheet from
the TCEQ Rhone page at
http://rhone4/cai-
bin/worksheet docs.pl for each LCC.
• Enter all LCCs in the electronic
operator log according to the
requirements listed in Section IV of
this contract,identifying the sampler,
and the date of the LCC.
• LCC reports must be independently
reviewed by someone other than the
Texas Commission on Page 57 of 168 Contract
Environmental Quality 582-18-80091
Deliverable Equipment Summary of Tasks and Submit to:
Timeframes
originator prior to submission to the
TCEQ to ensure accuracy.
• Submit LCC reports within two
business days of LCC completion.
• If corrections are requested by the
TCEQ Project Manager,correct and
return the worksheet within one
business day.
Site site • Maintain each site free of vegetation LEADS via
Maintenance higher than six inches and trash or VPN
debris.
• Ensure the site remains locked and
secure when staff are not on-site.
• Record all site maintenance in the
electronic operator log according to
the requirements listed in Section IV
of this contract.
• Ensure compliance with siting criteria
in 40 Code of Federal Regulations
(CFR) Part 58 Appendix E.
• Notify the Project Manager
immediately when site does not meet
siting criteria.
On-site QA NOx, 031 • On-site evaluations of the program Lead QA
Audits PMlo FRM, occur when deemed necessary by Specialist and
met, SR, TCEQ. Project
VOC. • Submit a corrective action plan as Manager
described in Section IV within 30
days of receipt of an audit report.or
by set deadline.
• Correct any deficiencies noted in the
audit report within go days after
submission or as directed by the
TCEQ.
• Provide status update on any
deficiencies that could not be
corrected within the allocated time-
frame and request a formal written
extension from TCEQ.
End-of-Year NOx, 03, • Submit a completed EOYQ to the Lead QA
Questionnaire PMIo FRM, Lead QA Specialist within 3o days of Specialist and
(EOYQ) met, SR, initial request. Project
VOC Manager
Texas Commission on Page 58 of 168 Contract
Environmental Quality 582-18-80091
Deliverable Equipment Summary of Tasks and Submit to:
Timeframes
• Address any comments the TCEQ
may have on the EOYQ and submit a
revised EOYQ to the Lead QA
Specialist by set deadline.
• Submit a corrective action plan to the
Project Manager within 3o days of
report receipt or by set deadline, as
described in Section IV.
• Correct any deficiencies noted in the
audit report within go days after
submission or as directed by the
TCEQ.
• Provide status update on any
deficiencies that could not be
corrected within the allocated time-
frame and request a formal written
extension from TCEQ.
Performance NOx, 03, • Complete and submit the required TCEQ
Evaluations PM,o FRM, pre-audit questionnaire within ten Calibration
(PEs) met, SR, days of receiving notice of a Work Group
VOC scheduled PE audit.
• After the scheduled audit,if the data
quality objectives are not met,
produce in writing,within 3o days of
notification, a corrective action plan
as described in Section IV.
Special NOx, 03, • Submit a written request of any Project
Purpose PM,o FRM, special purpose monitoring to be Manager
Monitoring met, SR, performed under the terms of this
VOC contract for consideration and DMS
approval. Include a summary report
and monitoring plan describing the
special purpose monitoring to be
conducted.
• If monitoring is approved and
continues for a period greater than go
days, all TCEQ required QC checks
must be performed.
•Submit data to the TCEQ in AQS
format for special purpose
monitoring conducted under the
terms of this contract within one
calendar month after close of fiscal
quarter. Fiscal quarters are defined in
Texas Commission on Page 59 of 168 Contract
Environmental Quality 582=18-80091
Deliverable Equipment Summary of Tasks and Submit to:
Timeframes
Section II of this contract.
• Submit a summary report of
monitoring results within 45 days
after completion of the special
purpose monitoring project.
Annual NOx,03, • Conduct an AMNR using criteria in Project
Monitoring PM,o FRM, 40 Code of Federal Regulations Part Manager
Network met,SR, 58.10.
Review VOC . Submit an AMNR report by January
(AMNR) 30 of each fiscal year. Fiscal years are
defined in Section II of this contract.
• Evaluate the adequacy of the existing
network to meet current federal
monitoring objectives.
• Ensure the review includes, at a
minimum: operator names and
contacts,equipment models and ages,
method codes, equipment
maintenance and replacement plans,
local importance of each
site/parameter,design value.trends,
and program SOPS.
• Correct and return any proposed
revisions to the AMNR within 3o days
after receipt.
Changes to the NOx,03, • Submit a written proposal for any Project
Monitoring PM,,FRM, proposed modifications to the local Manager
Network met,SR, monitoring network for TCEQ
VOC,site approval prior to implementation.
• Modification proposal should include,
at a minimum,detailed explanation
of plan, reason for proposed change,
timeline for implementation, and
data analysis to support modification.
AQS—Air Quality System QA—quality assurance
FRM—federal reference method SLAMS—State or Local Air Monitoring Stations
met—meteorological equipment with sensors for monitoring SOP—standard operating procedure
wind speed,wind direction,and ambient temperature SR—solar radiation sensor
NO.—nitrogen oxide site—trailer,fence,electrical equipment,and site pad,and
03—ozone any encroaching vegetation
OPP—operating policies and procedures TAMIS—Texas Air Monitoring Information System _
Pb—lead TCEQ—Texas Commission on Environmental Quality
PM,o—particulate matter of io micrometers or less in VOC—volatile organic compounds
diameter VPN—virtual private network
Texas Commission on Page 60 of 168 Contract
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VII. ACCEPTANCE CRITERIA
The Performing Party is required to provide the TCEQ with at least an 85%
monthly data return from all monitors and.samplers.If the 85% data return is
not achieved,assignable cause must be identified within one week after each
month end.Assignable causes may include acts of nature(tornadoes,hurricanes,
hail,etc.),vandalism,or circumstances beyond the control of the Performing
Party. Neglect of the site is not an assignable cause.The Performing Party must
also meet each deliverable stated in this contract. Failure to meet the contract
deliverables, and/or the 85%data completeness threshold,will require corrective
action.Non-compliance issues will also require corrective action and include
deviation from the documented procedures outlined in the current Performing
Party QMP,TCEQ QAPPs, applicable SOPs,the PMI manual,and this contract.
Texas Commission on Page 61 of 168 Contract
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Cost Budget — Matching Funds
Cooperative Reimbursement Contract
for State Agencies and Local Governments
1. Budget. Authorized budgeted expenditures for work performed are as follows:
2.
Budget Category Total Project Total Project
Costs FY18 Costs FYi9
Salary/Wages $105,7o8.00 $105,7o8.00
Fringe Benefits $20,054-00 $20,054-00
Travel $800.00 $800.00
Supplies $444-00 $444.00
Equipment $0.00 $0.00
Contractual $0.00 $0.00
Construction $0.00 $0.00
Other $11,355.00 $11,35.5.00
Total Direct Cost $138,361.00 $138,361.00
Indirect Cost $16,o67.00 $16,o67.00
Other In-kind
Contributions $0.00 $0.00
Total Contract Cost $ 154,428•oo $ 154,428.00
Cost Share(33%) $ 5o,96i.00 $ 5o,961.00
TCEQ Reimbursement $ iO3,467.00 $ 103,467.00
Amount (67%)
3. Matching Funds. This Contract requires matching funds.
Performing Party must match TCEQ expenditures by contributing 33% of the total project
costs as shown above. Each invoice must demonstrate that the Performing Party is
contributing the required match for the period specified on the invoice.
4. Indirect Cost Reimbursable Rate. The reimbursable rate for this Contract is 21.48% of
(check one):
M salary and fringe benefits
❑modified total direct costs
❑other direct costs base
If other direct cost base, identify:
Texas Commission on Page 62 of 168 Contract
Environmental Quality 582-18-80091
This rate is less than or equal to(check one):
® Predetermined Rate—an audited rate that is not subjectto adjustment.
❑ Negotiated Predetermined Rate—an experienced-based predetermined rate agreed to by
Performing Party and TCEQ.This rate is not subject to adjustment.
❑ Default rate—a standard rate of ten percent of salary/wages may be used in lieu of
determining the actual indirect costs of the service.
5. Other. If Budget Category"Other"is greater than$25,000 or more than io 0 of budget
total,identify the main constituents:
6. Travel. In order to be reimbursable,travel costs must be specifically authorized in
advance of the travel. Travel costs will be reimbursed only in the amount of actual costs,up
to the maximum allowed by law for employees of the State of Texas at the time the cost is
incurred.
7. Budget Categories. The Budget Categories above have the definitions, requirements and
limitations stated in UGMS. Construction costs are not reimbursable without prior,specific
written authorization from TCEQ.
8. Budget Control.
a. Cumulative transfers equal to or less than io% of the Total Budget.
Performing Party may transfer amounts between the approved direct cost budget
categories so long as cumulative transfers from direct cost budget categories during the
Contract Period do not exceed ten percent(io%) of the Total Budget amount.
Performing Party must timely submit a Budget Revision Request(BRR) Form reflecting
the revised budget. Upon approval by TCEQ,the BRR will be incorporated into this
Contract as though it is a document revised under General Term and Condition Section
1.2.The lo% limit does not reset with the approval of each SRR. It resets when an
amendment is signed by the parties reflecting changes to the budget.
b. Cumulative transfers greater than io%of the Total Budget. TCEQ must pre-
approve in writing all budget revisions that result in the cumulative transfer from
direct cost budget categories of funds greater than io% of the Total Budget during the
Contract Period. The Performing Party must request to amend the Contract.A contract
amendment is required before Performing Party incurs these costs.
c. Performing Party may not transfer amounts to budget categories containing zero dollars
without TCEQ pre-approval in writing.
g. Invoice Submittal. Unless otherwise stipulated in the Contract,invoices must be
submitted to the individual named in TCEQ Project Representatives and Records Location
at monthly intervals. Final invoices shall be submitted within two(2) calendar months
after completing the Scope of Work activities. TCEQ may unilaterally extend this deadline
by e-mail.
a. All invoices must be submitted in a format that clearly shows how the budget control
requirement is being met.
io.Supporting Records. Performing Party shall submit records and documentation to
TCEQ as appropriate for the review and approval of reimbursing costs. TCEQ may reject
Texas Commission on Page 63 of 168 Contract
Environmental Quality 582-18-80091
invoices without appropriate supporting documentation. TCEQ has the right to request
additional documentation such as expenses for the invoice period,year-to-date expenses,
projected totals for the year(or applicable contract period),percent of budget spent to date,
and percentage of budget projected to be spent. Performing Party shall maintain records
subject to the terms of this Contract.
ii. Indirect Costs. Performing Party's indirect costs will be reimbursed at the reimbursable
rate entered above. If no reimbursable rate is shown above,indirect costs are not
reimbursable under this Contract. The reimbursable rate must be less than or equal to the
rate authorized under UGMS. To the extent that the reimbursable rate is lower than
Performing Party's actual indirect costs, Performing Party is contributing its unreimbursed
indirect costs to the successful performance of this Contract,and waives any right it may
have to reimbursement of those costs(if this Contract requires matching funds,Performing
Party may claim its unreimbursed indirect costs as part or all of its match).Performing
Party must fund all unreimbursed indirect costs from other funds. It is the Performing
Party's responsibility to ensure that unreimbursed indirect costs are not charged to other
projects which do no benefit from them,and that it uses funding sources that may be
properly used to fund its unreimbursed costs.
Texas Commission on Page 64 of 168 Contract
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NOTICES, PROJECT REPRESENTATIVES AND RECORDS LOCATION
CONTRACT NO. 582-i8-800gi
PROJECT TITLE: CITY OF FORT WORTH - io5
AMBIENT AIR MONITORING PASS-THRU GRANT
1. Representatives.The individual(s)named below are the representatives of TCEQ and Performing Party.
They are authorized to give and receive communications and directions on behalf of the TCEQ and the
Performing Party as indicated below. All communications including official contract notices must be
addressed to the appropriate representative or his or her designee.
2. Changes in Representatives. Either party may change its representative by unilateral amendment.
3. TCEQ Representatives
TCEQ CONTRACT SPECIALIST TCEQ PROJECT MANAGER
(for Contractual Matters) (for Technical Matters)
Marcia Kin a Hannah Crews
Contract Specialist Network Coordinator
Title Title
Texas Commission on Environmental Texas Commission on Environmental
Quality Quality
P.O.Box 13o87 P.O.Box 13o87
MC-165 MC-165
Austin,Texas 78711-3087 Austin,Texas 78711-3o87
Telephone No.(512)239-1766 Telephone No.(512)239-1828
Facsimile No.(512)239-1605 Facsimile No.(512)239-1605
4. Performing Party Representatives.
For Contractual Matters For Technical Matters
Anthony Williams John Dahlem
Environmental Supervisor Sr.Environmental Specialist
Title Title
Telephone No.817.392.5462 Telephone No.817.999.3331
Facsimile No.817.392.6359 Email:john.dahlem0fortworthtexas.gov
Email:
Anthonv.Williams 0fortworthtexas.gov
5. Invoice Submittal. Invoices must be submitted to the TCEQ Contract Manager,unless another recipient is
identified below:
®TCEQ Project Manager/❑TCEQ Disbursements Section/❑Other:
6. 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:
(City/State ZIP)
Texas Commission on Page 65 of 168 Contract
Environmental Quality 582-18-80091
Attachment A:
Release of Claims
(Must be returned with last invoice per General Term and Condition Section 4.4)
Texas Commission on Page 66 of 168 Contract
Environmental Quality 582-18-80091
TEXAS COMMISSION ON ENVIRONMENTAL QUALITY
Release of Claims
(Contractor) releases the Texas Commission on
Environmental Quality(TCEQ),its officers,agents, and employees from all claims
arising out of or relating to TCEQ Contract Number (Contract),
except for Contractor's final invoice in the amount of$ and retainage
withheld by TCEQ in the amount of$ . Contractor releases any and
all liens related to the Contract,and relinquishes any right it may have to place liens
related to the Contract. Contractor warrants that it has completed all Work described in
the Contract.
Executed on this day of .20
By:
(signature)
(name)
(title)
Texas Commission on Page 67 of 168 Contract
Environmental Quality 582-18-80091
Attachment B:
Budget Revision Request Form
Texas Commission on Page 68 of 168 Contract
Environmental Quality 582-18-80091
BUDGET REVISION REQUEST FORM
Purpose:To document recipient organization's proposed budget changes to ensure project deliverables are met and fiscal accountability.Prior TCEQ
review and approval is required before incurring specific costs resulting in cumulative transfers of more than io%of the total budget.
Instructions:Complete i.-8. The spreadsheet will total the amounts in 9.,i.,and k.
1.Recipient Organization(Name&Complete Address Including Zip Code):
2.Grant/Contract Title: 3.Payee Identification No.:
4.TCEQ Contract No.: 5.Total Project/Grant Period:
6.Budget Categories: 7.Approved Budget 8.Change Requested(+or-) 9.New or Revised Budget
A.Personnel/Salaries
b.Fringe Benefits
a Travel
d.Supplies
e.Equipment
f. Contractual
g.Construction
h.Other
L Total Direct Costs(sum a-h)
j.Indirect Costs(__-_%x$ Salary)
k.Total(sum i&j)
Justification(Attach additional sheets,if-necessary):
••'Budget Revision Request must contain all signatures to be approved/valid•""
Signature of Recipient's Representative Date 'type or Printed Name and Title
Signature of TCEQ Project Manager Date Type or Printed Name and Title
Signature of TCEQ Contract Manager Date 'Type or Printed Name and Title
Texas Commission on Page 69 of 168 Contract
Environmental Quality 582-18-80091
Exhibit A-1
U.S. Environmental Protection Agency
Requirements for Quality Management Plans (QA/R-2)
Texas Commission on Page 70 of 168 Contract
Environmental Quality 582-18-80091
Up(ted States office of Environmental
Environmental Protection Information
Agency Washington,DC 20460
EPA EPA Requirements for
Quality Management Pians
EPA QA/R-2
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Texas Commission on Page 71 of 168 Contract
582-18-80091
Environmental Quality
Texas Commission on Page 72 of 168 Contract
Environmental Quality 582-18-80091
FOREWORD
The U.S.Environmental Protection Agency(EPA)has developed the Quality
Management Plan as a means of documenting how an organization will plan,implement, and
assess the effectiveness of its quality assurance and quality control operations applied to
environmental programs. The process of planning,implementing, and assessing these
management systems is called quality management and the product of this process is called the
-Quality System. The Quality Management Plan is part of the mandatory Agency-wide Quality
System that requires all organizations performing work for EPA to develop and operate
management processes and structures for assuring that data or information collected are of the
needed and expected quality for their desired use.
This document provides the development and content requirements for Quality
Management Plans for organizations that conduct environmental data operations for EPA through
contracts, assistance agreements,and interagency agreements; however,it may be used by EPA as
well. It contains the same requirements as Chapter 3 of the EPA Order 5360 Al (2000),EPA
Quality Manual for Environmental Programs,for EPA organizations.
This document is one of the U.S.Environmental Protection Agency Quality System Series
documents. These documents describe the EPA policies and procedures for planning,
implementing,and assessing the effectiveness of the Quality System. Questions regarding this
document or other Quality System Series documents should be directed to the Quality Staff:
U.S. HPA
Quality Staff(2811R)
Washington,DC 20460
Phone: (202) 564-6830
FAX: (202) 565-2441
e-mail: quality@epa.gov
Copies of PTA Quality System Series documents may be obtained from the Quality Staff directly
or by downloading them from its Home Page:
www.epa.gov/quality
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i
ACKNOWLEDGMENTS
This document reflects the collaborative efforts of many quality management professionals
who participate in the challenge for continual improvement in quality systems supporting
environmental programs. These individuals,representing the EPA,other Federal agencies,State
and local governments,and private industry,reflect a diverse and broad range of needs and
experiences in environmental data collection programs. Their contributions and the
comprehensive reviews during the development of this document are greatly appreciated.
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TABLE OF CONTENTS
Page
CHAPTER 1. INTRODUCTION . .. .......... ...... ... ... .. .. . .... . .... . .. .. . 1
1.1 BACKGROUND . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . 1
1.2 QUALITY MANAGEMENT PLANS,THE EPA QUALITY SYSTEM,AND
ANSI/ASQC E4-1994 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. .2
1.3 THE GRADED APPROACH AND THE EPA QUALITY SYSTEM . . . . ... . 4
1.4 INTENDED AUDIENCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. .4
1.5 PERIOD OF APPLICABILITY . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . .. . ..4
1.6 ADDITIONAL RESOURCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. .. . . .4
1.7 SUPERSESSION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4
CHAPTER 2. QUALITY MANAGEMENT PLAN REQUIREMENTS ... . . . . . . . . ....5
2.1 POLICY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . 5
2.2 PURPOSE . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . 5
2.3 APPLICABILITY . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2.4 GENERAL CONTENT AND DETAIL REQUIREMENTS . . . . . . . . . . . ... . . 5
2,4.1 General Content . . . . . . . . .. . .. . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . 5
2.4.2 Level of Detail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. .. .6
2.5 QUALITY MANAGEMENT PLAN PREPARATION . . . . . . . . . . . . . . . .. .. . 6
2.6 QUALITY MANAGEMENT PLAN SUBMISSION AND AP.P.ROVAJ. . . . .. .7
2.7 QUALITY MANAGEMENT PLAN REVISIONS . . . . . . . . . . . . . . . . . . .. .. . 7
CHAPTER 3. QUALITY MANAGEMENT PLAN ELEMENTS ... .. . .. .. . .. ... .....9
3.1 CONTENT REQUIREMENTS . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . 9
3.2 MANAGEMENT AND ORGANIZATION . . . . . . . . . . . . . . . . . . . . . . . .... 10
3.3 QUALITY SYSTEM COMPONENTS . . . . .. . . . . . . . . . . . . . . . . . . .. . . 11
3.4 PERSONNEL QUALIFICATION AND TRAINING . . . . . . . . . . . . . . . . . . .. 12
3.5 PROCUREMENT OF ITEMS AND SERVICES . . . . . . . . . . . . . . . . . . . .. . . 12
3.6 DOCUMENTS AND RECORDS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . 13
3.7 COMPUTER HARDWARE AND SOFTWARE . . . . . . . . . . . . . . . . . . . .. . . 14
3.8 PLANNING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 15
3.9 IMPLEMENTATION OF WORK PROCESSES . . . . . . . . . . .. . . . . . . . . . . . 16
3.10 ASSESSMENT AND RESPONSE . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . 17
3.11 QUALITY IMPROVEMENT . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . .. 18
REFERENCES .. . . .. .. .... . . . . . . . . . . . .. . .... . .. . . . . . . .... .. . .. .. . ... . .... 19
APPENDIX A. TERMS AND DEFINITIONS . ... . . .. . .... .. . .......... .......A-1
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('This page has been lett blank intentionally.)
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CHAPTER 1
INTRODUCTION
1.1 BACKGROUND
The U.S.Environmental Protection Agency(EPA)annually spends several hundred
million dollars in the collection of environmental data for scientific research and regulatory
decision making. In addition,non-EPA organizations may spend as much as an order of .
magnitude more each year to respond to Agency requirements. Furthermore,as EPA is
increasingly involved in the use of environmental technology for pollution control and waste
clean-up,the use ofparticular technologies is often specified in permits and regulations. If
decision makers are to have the necessary confidence in the quality of environmental data used to
support their decisions or that environmental technology successfully performed its intended role,
there must be a structured process for quality in place.
A structured system that describes the policies and procedures for ensuring that work
processes,products, or services satisfy stated expectations or specifications is called a quality
system. All organizations conducting environmental programs ftmded by EPA are required to
establish and implement a quality system. EPA organizations are required to document their
quality system in a Quality Management Plan through EPA Order 5360.1 A2,Policy and
Program Requirements for the Mandatory Agency-wiare Quality System(EPA 2000). Non-EPA
organizations funded by EPA are required to document their quality system in a Quality
Management Plan(or equivalent document)'through:
• 48 CFR 46, for contractors;
• 40 CFR 30,31, and 35 for assistance agreement recipients; and
• other mechanisms, such as consent agreements in enforcement actions.
A Quality Management Plan documents how an organization structures its quality system
and describes its quality_policies and procedures,criteria for and areas of application, and roles,
responsibilities, and authorities. It also describes an organization's policies and procedures for
implementing and assessing the effectiveness of the quality system. This document describes the
elements of a quality system that must be documented in a Quality Management Plan to comply
with EPA requirements.
'An equivalent,document may not be called a Quality Management Plan but still would document an
organization's quality system and address the required quality management practices described in this docinnent.
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This requirements document presents specifications and instructions for the information
that must be contained in a Quality Management Plan for organizations conducting environmental
programs funded by EPA. The document also discusses the procedures for review,approval,
implementation, and revision of Quality Management Plans. Users of this document should
assume that all of the elements described herein are required in a Quality Management Plan unless
otherwise directed.by EPA.
1.2 QUALITY MANAGEMENT PLANS, THE EPA QUALITY SYSTEM,
AND ANSI/ASQC E4-1994
EPA Order 5360.1 A2 and the applicable Federal regulations(defined above)establish a
mandatory Quality System that applies to all EPA organizations and organizations that are funded
by EPA. Components of this system are illustrated in Figure.1. Organizations must ensure that
data collected for the characterization of environmental processes and conditions are of the
appropriate type and quality for their intended use and that environmental technologies are
designed,constructeri,and operated according to defined expectations. Quality system
documentation(e.g.,the Quality Management Plan)is a key component of the EPA Quality
System as shown in Figure 1.
EPA policy is based on the national consensus standard,ANSI/ASQC E4-1994,
Specifications and Guidelines for Environmental Data Collection and Environmental
Technology Programs. The ANSI/ASQC E4-1994 standard describes the necessary management
and technical elements for developing and implementing a quality system. This standard
recommends using a tiered approach to a quality system. The standard recommends fust
documenting each organization-wide quality system in a Quality Management Plan or Quality
Manual(to address requirements of Part A;Management 4stems of the standard) and then
documenting the applicability of the quality system to technical activity-specific efforts in a
Quality Assurance Project Plan(QA Project Plan)or similar document(to address the
requirements of Part B; Collection and Evaluation of Environmental Data of the standard).
EPA has adopted this tiered approach for its mandatory Agency-wide Quality System. This
document addresses Part A requirements of the standard.
The Quality Management Plan may be viewed as the `umbrella'document under which
individual projects are conducted. The Quality Management Plan is then supported by project-
specific QA Project Plans. A QA Project Plan is the`blueprint'by which individual projects
involving environmental data are implemented and assessed and how specific quality assurance
(QA) and quality control(QC) activities will be applied during a particular project. EPA
requirements for QA Project Plans are defined in EPA Requirements for Quality Assurance
Project Plans(QAIR-5) (EPA 2001). In some cases, a QA Project Plan and a Quality
Management Plan may be combined into a single document that contains both organizational and
project-specific elements. The QA.Manager for the EPA organization sponsoring the work has
the authority to determine when a single document is applicable and will define the content
requirements of such a document.
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Consensus Standards
ANSYASQG E4
\ ISO 9000 Series
internal EPA Polict External Policies
Contracts-46 CFR 46
OEPA Order 5360,1 — Assistance Agreements
n. EPA Manual 5360 40 CFR 30,31,and 35
EPA Program&
Regional Policy
Quality system
Documentation
(e.g.,QMP)
C7
a
n Supporting System Elements Training/Communicatlon
Z (e.g.,Procurements, (e.g..Training Plan,
a0 Computer Hardware/Software) Conferences)
N
Z
Annual Review systems
tr and Planning Assessments
0 (e.g.,QAARiNP) (e.g.,QSAs)
Systernauc Conduct Study/ Data Verification
Planning Experiment &Validation
(mg.,DQO Process)
U
W OStAhdarct. Technical Data Quality
aProject Plan Operating Assossments Assessment
n Procedures
PLANNING 0 IMPLEMENTATION -----► ASSESSMENT
L.._..__... ..__ _ _....—. -- - -,_,_-.1
Defensible Products and Decisions
Figure 1. EPA Quality System Components and Tools
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1.3 THE GRADED APPROACH AND THE EPA QUALITY SYSTEM
Implementation of the EPA Quality System is based on the principle of graded approach
This principle recognizes that a `one size fits an' approach to quality requirements will not work
in an organization as diverse as EPA so managerial controls are applied according to the scope of
µ the program and/or the intended use of the outputs from a process. For example,the quality
expectations'of a fundamental research program are different from that of a regulatory compliance
program because the purpose or intended use of the data is different. Applying a graded approach
means that quality systems for different organizations and programs will vary according to the
specific objectives and needs of the organization. The specific application of the graded approach
principle to Quality Management Plans is described in Section 2.4.2.
1.4 INTENDED AUDIENCE
This document specifies the requirements for developing a Quality Management Plan for
organizations that conduct environmental data operations funded by EPA through contracts,
financial assistance agreements,and interagency agreements. EPA organizations may also use this
document to develop their Quality Management Plans since this document is clearer and more
user-friendly than the equivalent requirements defined in Section 3.3 of EPA Order 5360 Al
(EPA 2000), The EPA Quality Manual for. Environmental Programs(an internal policy
document). However, the preparation, submission,review, and approval requirements for EPA
organizations are still contained in Section 3.2 of EPA Order 5360 Al as these represent internal
EPA policy.
1.5 PERIOD OF APPLICABILITY
This document shall be valid for.a period of up to five years from the official date of
publication. After five years,it shall either be reissued without change,revised,or withdrawn
from the EPA Quality System.
1.6 ADDITIONAL RESOURCES
EPA has issued a checldist for reviewing Quality Management Plans that can be used to
verify if the requirements defined in this document are satisfied. This checklist is available on the
Quality Staff website,www.epa.gov/qualityltools-org.htrnl#gmp.
1.7 SUPERSESSION
This document replaces QAMS-004/80,Interim Guidelines and Specifications for
I
Preparing QualityAssurance Program Plans(EPA 1980)in its entirety.
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CHAPTER 2
QUALITY MANAGEMENT PLAN REQUIREMENTS
2.1 POLICY
Quality systems supporting environmental programs involving environmental data or
technology conducted by EPA organizations or by organizations funded by EPA shall be covered
by an Agency-approved Quality Management Plan,
2.2 PURPOSE
A Quality Management Plan is a management tool that documents an organization's
quality system for planning,implementing,documenting, and assessing the effectiveness of
activities supporting environmental data operations and other environmental programs. The
Quality Management Plan is used to demonstrate conformance.to Part A requirements of
ANSI/ASQC E4-1994.
2.3 APPLICABILITY
These requirements apply to all organizations conducting environmental programs funded
by EPA that acquire, generate,compile,or use environmental data and technology. These
requirements apply to all work performed through contracts,cooperative agreements,interagency
agreements, State-EPA agreements, State, local, and Tribal Financial Assistants/Grants(including
Performance Partnership Grants and Agreements),Research Grants, and in response to statutory
or regulatory requirements and consent agreements. These requirements shall be negotiated into
interagency agreements,including sub-agreements,and,in some cases, included in enforcement
consent agreements and orders. Where specific Federal regulations require the application of QA
and QC activities(see Section 1.1),Quality Management Plans shall be prepared,reviewed,and
approved in accordance with the specifications contained in this document unless explicitly
superseded by regulation.
2.4 GENERAL CONTENT AND DETAIL REQUIREMENTS
2.4.1 General Content
The Quality Management Plan documents the quality management practices which are
critical to a quality system. Specific Quality Management Plan content requirements are described
in Chapter 3. Each organization should evaluate these requirements for applicability to their
quality system. Where a particular element is not relevant, an explanation of why it is not relevant
must be provided in the Quality Management Plan. Also,if the Quality Management Plan
preparer or EPA organization sponsoring the work determines that additional quality managetnent
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elements are useful or necessary for an adequate quality system,these elements should be
discussed in the Quality Management Plan.
2.4.2 Level of Detail
The Quality Management Plan should describe a Quality System that is designed to
support the objectives of the organization. The level of effort expended to develop a Quality
Management Plan should be based on the scope of the program. For example,large grants to a
State government may require a comprehensive quality system and Quality Management Plan,
whereas smaller grants for programs with relatively less significant impacts may require less
substantial documentation.
The Quality Management Plan must be sufficiently inclusive, explicit,and readable to
enable both management and staff to understand the priority which management places on QA
and QC activities,the established quality policies and procedures,and their respective quality-
related roles and responsibilities. The Quality Management Plan must be written so that an
assessment of the suitability and effectiveness of the organization's quality system can be
accomplished. Such assessments will enable management to determine if the quality system meets
the needs of the organization. The Quality Management Plan should be focused on the processes
and procedures used to plan,implement,and assess the programs to which it is applied, and must
include definitions of appropriate authorities and responsibilities for managers and staff.
2.5 QUALITY MANAGEMENT PLAN PRE,PARATIONZ
An organization's senior manager is responsible for assuring the preparation of a Quality
Management Plan to coverall environmental programs supported or undertaken by the
organization. Senior management,Le..,the executives and managers who are responsible and
accountable for mission accomplishment and overall operations of the organization,is responsible
for ensuring that the Quality Management Plan is prepared and that the quality system
documented in the Quality Management Plan satisfies all EPA policy requirements and meets all
statutory, contractual, and assistance agreement requirements for EPA work.
While senior management is responsible for the preparation of the Quality Management
Plan,the actual preparation may be assigned to the organization's staff so long as it is assured that
all managers support the effort;for example, the preparation of the Quality Management Plan may
be directed by the QA Manager of the organization. However,it is essential that all management
levels understand fully the content of the Quality Management Plan and concur with its
implementation.
Specific prepaution,submission,review,and approval requirements for EPA organizations are contained in
Section 3.2 of EPA Order 5360 Al(EPA 2000)as these represent internal EPA policy.
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2.6 QUALITY MANAGEMENT PLAN SUBMISSION AND APPROVAL
The Quality Management Plan must be approved and signed by the senior management of
the organization. This will certify that the organization has conducted an internal review of the
' Quality Management Plan and that management has concurred with its contents.
When a Quality Management Plan is required either by statute,contractual requirement,or
assistance agreement condition,the Quality Management Plan must be submitted for review and
approval to the EPA official responsible for the work. The EPA official may include the
contracting officer's representative(such as the project officer,work assignment manager, or
delivery order project office),the award official,and the EPA QA Manager. For example,the
review and approval of a State Quality Management Plan that has been submitted as part of a
request for an assistance agreement may be performed by the QA Manager of the office awarding
the assistance agreement.
EPA approval of a Quality Management Plan will be valid for no more than five yeah for
State,local,and Tribal governments or the length of the extramural agreement for all other
extramural agreement holders. Thee period for which a Quality Management Plan is valid is
defined in the Quality Management Plan of the EPA organization sponsoring the work.
2.7 QUALITY MANAGEMENT PLAN REVISIONS
Each organization shall review its Quality Management Plan at least annually to reconfirm
the suitability and effectiveness of the approved quality management practices. The process of
developing,annually reviewing, and revising(as needed)the Quality Management Plan provides
an opportunity for management and staff"to clarify roles and responsibilities, address problem
areas, and institutionalize improvements. Having an accurate Quality Management Plan at all
times is an essential element in every quality system,thus changes in QA policy and procedures
shall be documented in the Quality Management Plan in a timely fashion.
In general,a copy of any Quality Management Plan revision(s)made during the year
should be submitted to EPA as a report when such changes occur. However,if significant
changes have been made to the quality system that affect the performance of work for the
Agency, it may be necessary to re-submit the entire Quality Management Plan to EPA for re-
approval. Conditions requiring the revision of an approved Quality Management Plan include:
• expiration of the five-year life span of the Quality Management Plan;
• major changes in mission and responsibilities,such as changes in the delegation
status of a program;
• re-organization of existing functions that affect programs covered by the Quality
Management Plan; and
• assessment findings requiring corrective actions and response.
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All appropriate personnel in the organization performing work covered by the scope of the
Quality Management Plan shall be notified of changes to the quality system and the Quality
Management Plan to keep them informed of the current requirements. This practice should also
include active sub-contractors for relevant work.
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CHAPTER 3
QUALITY MANAGEMENT PLAN ELEMENTS
3.1. CONTENT REQUIREMENTS
The Quality. Management Plan documents management practices,including QA and QC
activities,used to.ensure that the results of tecbnical work are of the type and quality needed for
their intended use. Accordingly,the Quality Management Plan documents:
• the mission and quality policy of the organization;
• the specific roles, authorities,and responsibilities of management and staff with
respect to QA and QC activities;
• the means by which effective communications with personnel actually performing
the work are assured;
• the processes used to plan,implement, and assess the work performed;
• the process by which measures of effectiveness for QA and QC activities will be
established and how frequently effectiveness will be measured; and
• the continual improvement based on lessons learned from previous experience.
The Quality Management Plan reflects the organization's commitment to quality management
principles and practices,tailored, when appropriate,by senior management to meet the
organization's needs.
The elements to be addressed in a Quality Management Plan include:management and
organization;quality system description;personnel qualifications and training;procurement of
items and services;documentation and records;computer hardware and software;planning;
implementation of work processes; assessment and response;and quality improvement. Specific
requirements for each of these elements are described below in Sections 3..2 through 3.11. Items
specific to Quality Management Plans developed by EPA organizations under EPA Order 5360.1
A2 (EPA 2000) are noted by"EPA Quality Management Plans." Organizations funded by EPA
do not have to address these EPA-specific items.
It is preferable, but not necessary,that the Quality Management Plan address the
specifications in the same order as presented below to ensure uniformity and a consistent and
complete review. If an existing, approved Quality Management Plan adequately addresses each of
these topics, it should not be rewritten simply to conform.to the outline provided here.
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3.2 MANAGEMENT AND ORGANIZATION
Purpose—To document the overall policy,scope, applicability, and management responsibilities
of the organization's quality system.
Specifications—Provide the following:
• an approval page for the signatures of the organization's management and QA
manager. The approval page may be part of a title page or a separate sheet
folluwjug the ti P page. If EPA approval of the Quality Management Plan is
required, the approval p ge shall include a section for the signature of the EPA
official(see Section 2.6). For EPA Quality Management Plans,the approval page
shall contain the signatures of the organization's senior manager,senior line
management(as appropriate),the QA Manager,the Director of the Quality Staff,
and the Assistant Administrator of the Office of Environmental Information;
• a statement of the organization's policy on quality assurance, including:
- the importance of QA and QC activities to the organization and wby,
- the general objectives and goals of the quality system, and
- the policy for resource allocation for the quality system(EPA Quality
Management Plans must discuss personnel, intramural and extramural
funding, and travel resources);
• an organization chart that identifies all of the components of the organization and,
in particular,the organizational position and lines of reporting for the QA Manager
(or similar position such as a Quality Manager) and any QA staff;
• a discussion of the authorities of the QA Manager and any other QA staffthat also:
- documents the organizational independence of the QA Manager from
groups generating,compiling, and evaluating environmental data,and
- indicates how the organization will ensure that QA personnel will have
access to the appropriate levels of management in order to plan, assess,and
improve the organization's quality system;
• a discussion of the technical activities or programs that are supported by the
quality system including:
the specific programs that require quality management controls,
'Organizations funded by EPA do not have to address these EPA-specific.elements.
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where oversight of delegated, contracted, or other extramural programs is
needed to assure data quality,and
where and how internal coordination of QA and QC activities among the
group's organizational units needs to occur;
• a discussion of how management will assure that applicable elements of the quality
system are understood and implemented in all environmental programs; and
• a discussion of the organization's process for resolving disputes regarding quality
system requirements, QA and QC procedures,assess}.ents, or corrective actions
(requirement for EPA Quality Management Plans only)."`
3.3 QUALITY SYSTEM COMPONENTS
Purpose—To document how an organization manages its quality system and defines the primary
responsibilities for managing and implementing each component of the system.
Specifications—Provide the following:
• a description of the organization's quality system that includes the principal
components of the system and the roles and implementation responsibilities of
management and staff with regards to these components. These components
include,biit are not limited to:
- quality system documentation
- annual reviews and planning
- management assessments
- Itraining
- systematic planning of projects
- project-specific quality documentation
- project and data assessments;
• a list of the tools for implementing each component of the quality system. These
tools include,but are not limited to:
- Quality Management Plans(quality system documentation),
- Quality Systems Audits (management assessments),
- Training Plans(training),
- QA Project Plan(project-specific quality documentation),
- Data Verification and Validation(data assessments);
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• a list of any components of the organization that develop Quality Management
Plans(or equivalent document)in support of the organization's Quality System
and the review and approval procedures for such documentation;and
• a discussion of how roles and responsibilities for the principal components of the
Quality System are incorporated into performance standards(requirement for EPA
Quality Management Plans only).
3.4 PERSONNEL QUALIFICATION AND TRAINING
Purpose"To document the procedures for assuring that all personnel performing work for an
organization have the necessary skills to effectively accomplish their work.
Specifications—Provide the following:
• a statement of the policy regarding training for management and staff;
• a description of the process(es),including the roles,responsibilities, and authorities
of management and staff,for:
- identifying,ensuring, and documenting that personnel have and maintain
the appropriate knowledge, skill, and statutory,regulatory,professional or
other certifications, accreditation,licenses,or other formal qualification
necessary, and
- identifying the need for retraining based on changing requirements,
3.5 PROCUREMENT OF ITEMS AND SERVICES.
Purpose—To document the procedures for purchased items and services that directly affect the
quality of environmental programs.
Specifications—
Describe or reference the process(es),including the roles,responsibilities, and authorities
of management and staff,pertaining to all appropriate procurement documents or extramural
agreements,including grants, cooperative agreements, and contracted and subcontracted
activities,.involving or affecting environmental programs, for:
• reviewing and approving procurement documents(and any changes to these
documents)to ensure that procurement documents are accurate,complete, and
clearly. describe:
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the item or service needed,
the associated technical and quality requirements,
the quality system elements for which the supplier is responsible,and
- how the supplier's conformance to the customer's requirements will be
verified;
• review and approval of all applicable responses to solicitations to ensure that these
documents:
- satisfy all technical and quality requirements,and
- provide evidence of the supplier's capability to satisfy EPA quality system
requirements as defined in the extramural agreement or applicable Federal
Regulation(requirement for EPA Quality Management Plans only);
• ensuring that procured items and services are of acceptable quality,including the
review of objective evidence of quality for applicable items and services famished
by suppliers and subcontractors,source selection,source inspections, supplier
audits, and examination of deliverables;
• review and approval procedures for mandatory quality-related documentation
(e.g., Quality Management Plans or QA Project Plans)from suppliers(requirement
for EPA Quality Management Plans only);
• policies and criteria for delegations of EPA authority to review and approve
mandatory quality-related documentation(e.g.,.Quality Management Plans or QA
Project Plans)from suppliers consistent with Chapter 2.2 of EPA Order 5360 Al
(requirement for EPA Quality Management Plans only); and
• ensuring that EPA quality-related contracting policies, as defined by the Federal
Acquisition Regulations, Office of Federal Procurement Policy, and the EPA
Contracts Management Manual [EPA Order 1900(EPA 1998)],are satisfied
(requirement for EPA Quality Management Plans only).
3.6 DOCUMENTS AND RECORDS
Purpose—To document appropriate controls for quality-related documents and records
determined to be important to the mission of the organization.
Specifications—Describe or reference the process(es),including the roles,responsibilities, and
authorities of management and staff, for:
• identifying quality-related documents and records (both printed and electronic)
requiring control;
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• preparing,reviewing for conformance to technical and quality system
requirements, approving, issuing,using, authenticating,and revising documents
and records;
• ensuring that records and documents accurately reflect completed work;
• maintaining documents-and records including transmittal,distribution,retention
(including retention times),access,preservation(including protection from
damage,loss,and deterioration),traceability,retrieval,removal of obsolete
documentation,and disposition;
• ensuring compliance with all applicable statutory,regulatory,and EPA
requirements for documents and records [EPA Quality Management Plans shall
ensure compliance with EPA Order 2160(EPA 1984)and EPA Directive 2100,
Chapter 10(EPA 1998)]; and
• establishing and implementing appropriate chain of custody and confidentiality
procedures for evidentiary records.
3.7 COMPUTER HARDWARE AND SOFTWARE
Purpose—To document how the organization will ensure that computer hardware and software
satisfies the organization's requirements.
Specifications—Describe or reference the process(es),including the roles,responsibilities, and
authorities of management and staff,for:
• developing, installing,testing(including verification and validation),using,
maintaining,controlling, and documenting computer hardware and software used
in environmental programs to ensure it meets technical and quality requirements
and directives from management[EPA Quality Management Plan specifications
must be consistent with EPA Directive 2100(EPA 199$)];
• assessing and documenting the impact of changes to user requirements and/or the
hardware and software on performance;
• evaluating purchased hardware and software to ensure it meets user requirements
and complies with applicable contractual requirements and standards;
• ensuring that data and information produced from, or collected by,computers
meet applicable information resource management requirements and standards; and
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• ensuring that applicable EPA requirements for information resources management
are addressed(EPA Directive 2100(EPA 1998)] including security and privacy
requirements(requirement for EPA Quality Management Plans only).
Computer software covered by this requirement includes,but is not limited to,design,data
handling, data analysis, modeling of environmental processes and conditions, operations,or
process control of environmental technology system(including automated data acquisition and
laboratory instrumentation), data bases containing environmental data.
3.8 PLANNING
Purpose--To document how individual data operations will be planned within the organization to
ensure that data or information collected are of the needed and expected quality for their desired
use.
Specifications—Describe or reference the process(es), including the roles,responsibilities,and
authorities of management and staff,for:
• planning environmental data operations using a systematic planning process¢which
includes:
- the identification and involvement of the project manager,sponsoring
organization and responsible official,project personnel, stakeholders,
scientific experts,etc. (e.g., all customers and suppliers);
- a description of the project goal,objectives,and questions and issues to be
addressed;
- the identification of project schedule,resources(including budget),
milestones,,and any applicable requirements(e.g.,regulatory and
contractual requirements);
- the identification of the type and quantity of data needed and how the data
will be used to support the project's objectives;
- the specification of performance criteria for measuring quality;
¢EPA has developed a systematic planning process called the Data Quality Objectives(DQO)Process[See the
EPA.(,uidunce for the Data Quality Objectives Process(QAIG-4)(EPA 2000)). While not mandatory,the DQO
Process is the recommended planning approach formany EPA data collection activities.
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the specification of needed QA and QC activities to assess the quality
performance criteria(e.g.,QC samples for both the field and laboratory,
audits, technical assessments,performance evaluations,etc,);
a description of how,when,and where the data will be obtained(including
existing data)and identification of any constraints on data collection;and
a description of how the acquired data will be analyzed(either in the field
or the laboratory),evaluated(i.e.,QA review,verification,validation), and
assessed against its intended use and the quality performance criteria;
• developing,reviewing,approving,implementing,and revising a QA Project Plan or
equivalent planning document[see EPA Requirements for Quality Assurance
Project Plans(QA/R-S)(EPA 2001)];and
• evaluating and qualifying data collected for other purposes or from other sources,
including the application of any statistical methods,for a new use.
3.9 IMPLEMENTATION OF WORK PROCESSES
Purpose—To document how work processes will be implemented within the organization to
ensure that data or information collected are of the needed and expected quality for their desired
use.
Specifications—Describe or reference the process(es),including the roles,responsibilities,and
authorities of management and staff for:
• ensuring that work is performed according to approved planning and technical
documents;
• identification of operations needing procedures(e.g.,standardized,special,or
critical operations),preparation(including form,content,and applicability),
review, approval,revision,and withdrawal of these procedures;and policy for use;
and
• controlling and documenting the release,change,and use of planned procedures,
including any necessary approvals,specific times and points for implementing
changes,removal of obsolete documentation from work areas, and verification that
the changes are made as prescribed.
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3.10 ASSESSMENT AND RESPONSE
Purpose—To document how the organization will determine the suitability and effectiveness of
the implemented quality system and the quality performance of the environmental programs to
which the quality system applies.
j Specifications—Describe or reference the process(es),including the roles,responsibilities, and
authorities of management and staff,pertaining to both management and technical assessments
for:
• assessing the adequacy of the quality system at least annually;
• planning,implementing,-and documenting assessments and reporting assessment
results to management including how to select an assessment too],the expected
frequency of their application to environmental programs, and the roles and
responsibilities of assessors;
• determining the level of competence, experience, and training necessary to ensure
that personnel conducting assessments are technically knowledgeable,have no real
or perceived conflict of interest,and have no direct involvement or responsibility
for the work being assessed;
• ensuring that personnel conducting assessments have sufficient authority,access to
programs,managers,documents, and records,and organizational freedom to:
- identify both quality problems and noteworthy practices,
- propose recommendations for resolving quality problems,and
- independently confirm implementation and effectiveness of solutions;
• management's review and response to findings;
• identifying how and when corrective actions are to be taken in response to the
findings of the assessment,ensuring corrective actions are made promptly,
confirming the implementation and effectiveness of any corrective action, and
documenting(including the identification of root causes, the detem-iination of
whether the problem is unique or has more generic implications,and
recommendation of procedures to prevent recurrence) such actions;and
• addressing any disputes encountered as a result of assessments.
Available assessment tools include quality systems audits,management systems reviews,peer
reviews,technical reviews,performance evaluations,data quality assessments,readiness reviews,
technical systems audits, and surveillance.
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3.11 QUALITY IMPROVEMENT
Purpose—To document how the organization will improve the organization's quality system.
Specifications—Identify who(organizationally)is responsible for identifying,planning,
implementing,and evaluating the effectiveness of quality improvement activities and describe the
process to ensure continuous quality improvement,including the roles and responsibilities of
management and staff,for:
• ensuring that conditions adverse to quality are:
- prevented,
- identified promptly including a deteimination of the nature and extent of
the problem,
- corrected as soon as practical,including implementing appropriate
corrective actions and actions to prevent reoccurrence,
- documenting all corrective actions, and
- tracking such actions to closure;
• encouraging staff at all levels to establish communications between customers and
suppliers, identify process improvement opportunities,and identify and offer
solutions to problems.
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REFERENCES
40 CFR 30,Code of Federal Regulations,"Grants-ltd Agreements With Institutions of Higher
�h. .._. Education,Hospitals,and Other Non-Proft tnizations."
40 CFR 31,Code of Federal Regulations,"Uniform Administrative Requirements for Grants and
Cooperative Agreement to State and Local Governments."
40 CFR 35,Code of Federal Regulations,"State and Local Assistance."
48 CFR 46,Code of Federal Regulations,"Federal Acquisition Regulations."
ANSI/ASQC E4-1994,Specifications and Guidelines for Quality Systems for Environmental
Data Collection and Environmental Technology Programs,American National Standard,
January 1995.
EPA Directive 2100(1999),Information Resources Management Policy Manual,U.S.
Environmental Protection Agency,Washington,DC.
EPA Order 1900(February 1998),Contracts Management Manual,U.S.Environmental
Protection Agency,Washington,DC.
FPA Order 2160(July 1984),Records Management Manual, U.S.Environmental Protection
Agency,Washington,DC.
EPA Order 5360 Al (May 2000),EPA Quality Manual for Environmental Programs,U.S.
Environmental Protection Agency,Washington,DC,
EPA Order 5360.1 A2(May 2000),Policy and Program Requirements for the Mandatory
Quality Assurance Program,U.S. Environmental Protection Agency,Washington,DC.
'U.S. Environmental Protection Agency, 2001. EPA Requirements for Quality Assurance Project
Plans(QAIR-5),EPA/240/B-01/003, Office of Environmental Information.
U.S.Environmental Protection Agency,2000. Guidance for the Data Quality Objectives Process
(QAIG--4),EPA/600/R-96/055,Office of Environmental Information.
U.S. Environmental Protection Agency, 1980. Interim Guidelines and Specifications for
Preparing Quality Assurance Program Plans,QAMS-004/80, Office of Research and
Development.
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N
APPENDIX A
TERMS AND DEFINITIONS
assessment-the evaluation process.used to measure the performance or effectiveness of a system
and its elements. As used here, assessment is an all-inclusive term used to denote any of the
following: audit,performance evaluation,management systems review, peer review, inspection,or
surveillance.
audit(quality)-a systematic and independent examination to determine whether quality
activities and related results comply with planned anmgements and whether these arrangements
are implemented effectively and are suitable to achieve objectives.
data quality assessment-a statistical and scientific evaluation of the data set to determine the
validity and performance of the data collection design and statistical test, and to determine the
adequacy of the data set for its intended use.
design-specifications,drawings,design criteria,and performance requirements. Also the result
of deliberate planning, analysis,mathematical manipulations, and design processes.
environmental conditions-the description of a physical medium(e.g.,air,water,soil,sediment)
or biological system expressed in terms of its physical,chemical,radiological,or biological
characteristics.
environmental data-any measurements or information that describe environmental processes,
location,or conditions; ecological or health effects and consequences; or the performance of
environmental technology. For EPA, environmental data include information collected directly
from measurements,produced from models, and compiled from other sources such as databases
or the literature.
environmental data operations-work performed to obtain,use,or report information
pertaining to environmental processes and conditions.
environmental programs-work or activities involving the environment,including but not
limited to: characterization of environmental processes and conditions; environmental monitoring,
environmental research and development; the design,construction,and operation of
environmental technologies; and'laboratory operations on environmental samples.
environmental technology-an all-inclusive term used to describe pollution control devices and
systems,waste treatment processes and storage facilities,and site remediation technologies and
their components that may be utilized to remove pollutants or contaminants from or prevent them
from entering the environment Examples include wet scrubbers(air),soil washing.(soil),
granulated activated carbon unit(water),and Filtration(air,water). Usually,this term will apply
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to hardware-based systems;however,it will also apply to methods or techniques used for
pollution prevention,pollutant reduction,or containment of contamination to prevent further
movement of the contaminants,such as capping,solidification or vitrification,and biological
n
treatment.
graded approach-the process of basing the level of application of managerial controls applied
to an item or work according to the intended use of the results attd the degree of confidence
needed in the quality of the results.
independent assessment-an assessment performed by a qualified individual,group, or
organization that is not a part of the organization directly performing and accountable for the
work being assessed.
inspection-examination or measurement of an item or activity to verify conformance to specific
requirements.
management-those individuals directly responsible and accountable for planning,implementing,
and assessing work.
management system -a structured,non-technical system describing the policies,objectives,
principles,organizational authority,responsibilities,accountability,and implementation plan of an
organization for conducting work and producing items and services.
management systems review-the qualitative assessment of a data collection operation and/or
organization(s)to establish whether the prevailing quality management structure,policies,
practices,and procedures are adequate for ensuring that the type and quality of data needed are
obtained.
objective evidence-any documented statement of fact,other information or record, either
quantitative or qualitative,pertaining to the quality of an item or activity,based on observations,
measurements,or tests which can be verified.
organization-a company,corporation, fine,enterprise,or institution,or part thereof, whether
incorporated or not,public or private,that has its own functions and administration.
peer review-a documented critical review of work by qualified individuals(or organizations)
who are independent of those who performed the work,but are collectively equivalent in technical
expertise. A peer review is conducted to ensure that activities are technically adequate,
competently performed,properly documented,and satisfy established technical and quality
requirements. The peer review is an in-depth assessment of the assumptions,calculations,
extrapolations, alternate interpretations,methodology,acceptance criteria,and conclusions
pertaining to specific work and of the documentation that supports them,
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performance evaluation -a type of audit in which the quantitative data generated in a
measurement system are obtained independently and compared with routinely obtained data to
evaluate de proficiency of an analyst or laboratory.
I ... „ —.process..a-set i f interrelated resouroesand aFtivities which transforms Inputs into outputs.
Examples of processes include analysis,design,data..olft iep operation, fabrication,and
�
calculation.
quality-the totality of features and characteristics of a product or service that bear on its ability
to meet the stated or implied needs and expectations of the user.
quality assurance(QA)-an integrated system of management activities involving planning,
implementation, documentation, assessment,reporting, and quality improvement to ensure that a
process,item, or service is of the type and quality needed and expected by the client.
quality assurance project plan -a formal document describing in comprehensive detail the
necessary QA,QC,and other technical activities that must be implemented to ensure that the
results of the work performed will satisfy the stated performance criteria.
quality control (QQ-the overall system of technical activities that measures the attributes and
performance of a process, item,or service against defined standards to verify that they meet the
stated requirements established by the customer;operational techniques and activities that are
used to fulfill requirements for quality.
quality improvement-a management program for improving the quality of operations. Such
management programs generally entail a formal mechanism for encouraging worker
recommendations with timely management evaluation and feedback or implementation.
quality management-that aspect of the overall management system of the organization that
determines and implements the quality policy. Quality management includes strategic planning,
allocation of resources,and other systematic activities(e.g.,planning, implementation,
documentation, and assessment)pertaining to the quality system.
quality management plan- a document that describes the quality system in terms of the
organizational structure, functional responsibilities of management and staff, lines of authority,
and required interfaces for those planning,implementing,and assessing all activities conducted
quality system-a structured and documented management system describing the policies,
objectives,principles,organizational authority,responsibilities,accountability,and implementation
plan of an organization for ensuring quality in its work processes,products(items), and services.
The quality system provides the fi-amework for planning,implementing,documenting,and
assessing work performed by the organization and for carrying out required QA and QC activities.
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readiness review-a systematic, documented review of the readiness for the start-up or continued
use of a facility,process,or activity. Readiness reviews are typically conducted before proceeding
t
beyond project milestones and prior to initiation of a major phase of work.
record-a completed document that provides objective evidence of an-item orprocess. Records
may include photographs, drawings, magnetic tape,and other data recording media.
self-assessment-assessments of work conducted by individuals, groups, or organizations directly
responsible for overseeing and/or performing the work
specification -a document stating requirements and which refers to or includes drawings or other
relevant documents. Specifications should indicate the means and the criteria for determining
conformance.
standard operating procedure (SOP)-a written document that details the method for an
operation, analysis, or action with thoroughly prescribed techniques and steps,and that is
officially approved as the method for performing certain routine or repetitive tasks.
supplier-any individual or organization furnishing items or services or-performing work
according to a procurement document or financial assistance agreement. This is an all-inclusive
term used in place of any of the following; vendor,seller, contractor, subcontractor, fabricator, or
consultant.
surveillance(quality)-continual or frequent monitoring and verification of the status of an
entity and the analysis of records to ensure that specified requirements are being fulfilled.
technical review-a documented critical review of work that has been performed within the state
of the art. The review is accomplished by one or more qualified reviewers who are independent
of those who performed the work, but are collectively equivalent in technical expertise to those
who performed the original work. The review is an in-depth analysis and evaluation of
documents,activities,material, data, or items that require technical verification or validation for
applicability, coirectness, adequacy,completeness,and assurance that established requirements
are satisfied.
technical systems audit-a thorough,systematic,on-site,qualitative audit of facilities,
equipment,personnel, training,procedures,record keeping,data validation,data management,
and reporting aspects of a system.
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Exhibit A-2
U.S. Environmental Protection Agency
Requirements for Quality Assurance Project Plans
(QA/R-5)
Texas Commission on Page 101 of 168 Contract
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Upted States Office of Environmental
Environmental ProMchon Information
Agency Washington,DC 20460
EPA EPA Requirements for Quality
Assurance Project Plans
EPA QA/R-5
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FOREWORD
"as The U S..Eavitomnental Protection. 1 has developed the Quality;Assurance
Project Plan(QA Project Plan)as a tool for project manager*and n �ocument the type
and quality of data needed for environmental decisions and to describe tide tnedw&for collecting
and assessing those data. The development,review,approval, and implementation of the QA
Project Plan is part of EPA's mandatory Quality System. The EPA Quality System requires all
organizations to develop and operate management structures and processes to ensure that data
used in Agency decisions are of the type and quality needed for their intended use. The QA
Project Plan is an integral pal t of the fundamental principles and practices that form the
foundation of the EPA Quality System.
This document provides the QA Project Plan requirements for organizations that conduct
environmental data operations on behalf of EPA through contracts,financial assistance
agreements, and interagency agreements;however,it may be used by EPA as well. It contains the
same requirements as Chapter 5 of EPA Order 5360 Al (EPA 2000), The EPA Quality Manual
for Environmental Programs, which has been developed for internal use by EPA organizations.
A companion document,EPA Guidance for Quality Assurance Project.Plans(QA/G-S) (EPA
1998)provides suggestions for both EPA and non-EPA organizations on preparing,reviewing,
and implementing QA Project Plans that satisfy the requirements defined in this document.
This document is one of the EPA Quality System Series documents which describe EPA
policies and procedures for planning,implementing,and assessing the effectiveness of a quality
system, Questions regarding this document or other EPA Quality System Series documents
should be directed to:
U.S. EPA
Quality Staff(28118)
Washington,DC 20460
Phone: (202)564-6830
FAX: (202)565-2441
e-mail: quality@epa.gov
Copies of Quality System Series documents may be obtained from the Quality Staff or by
downloading them from the Quality Staff Home Page:
www.epa.gov/quality
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ACKNOWLEDGMENTS
This document reflects the collaborative efforts of many quality management professionals
who participate in the challenge for continual improvement in quality systems supporting
environmental programs. These individuals,representing the EPA, other Federal agencies,State
and local governments, and private industry,reflect a diverse and broad range of needs and
experiences in environmental data collection programs. Their contributions and the
comprehensive reviews during the development of this document are greatly appreciated.
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TABLE OF CONTENTS
Pase
CHAPTER 1, INTRODUCTION . . .. . . . . . . . .... . . . . .... ... . . ... . . .. .. . . .... .. 1
1.1 BACKGROUND . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . 1
1.2 QA PROJECT PLANS,THE EPA QUALITY SYSTEM,AND
ANSI/ASQC E4-1994 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2
1.3 THE GRADED APPROACH AND THE EPA QUALITY SYSTEM . . . . . . . . 4
1.4 INTENDED AUDIENCE . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . 4
1.5 PERIOD OF APPLICABILITY . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . .. . . 4
1.6 ADDITIONAL RESOURCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
1.7 SUPERSESSION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . 5
CHAPTER 2. QA PROJECT PLAN REQUIREMENTS . . . . . . . ... . . . . ... .. . .. .. .. 7
2.1 POLICY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . , . . . . . . . . 7
2.2 PURPOSE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
2.3 APPLICABILITY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
2.4 GENERAL CONTENT AND DETAIL REQUIREMENTS . . . . . . . . . . . . .. . . 7
2.4.1 General Content . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
2.4.2 Level of Detail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
2.5 QA PROJECT PLAN PREPARATION AND APPROVAL . . . . . . . . . . . . . . . . 8
2.6 QA PROJECT PLAN IMPLEMENTATION . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
2.7 QA PROJECT PLAN REVISION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
CHAPTER 3. QA PROJECT PLAN ELEMENTS . . . .. . . . .. . . . ... . ... . . . . ... ... . 11
3.1 CONTENT REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
3.2 GROUP A: PROJECT MANAGEMENT . . . . . . . . . . . . . . . . . . . . . . . . 12
3.2.1 Al -Title and Approval Sheet:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
3.2.2 A2-Table of Contents . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . 13
3.2.3 A3 -Distribution List . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
3.2.4 A4 -Project/Task Organization . . . . . . . . . . . • . . . . . . . . . . . . . . . . . . . 14
3.2.5 A5 -Problem Definition/Background . . . . . . . . . . . . . . . . . . . . . . . . . . 14
3.2.6 A6 -ProjectPTask Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
3.2.7 A7-Quality Objectives and Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
3.2.8 A8-Special Training/Cmlil"ication . . . . .. . . . . . .. . . . . . . . . . . . . . . . 15
3.2.9 A9-Dociunents and Records . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . 15
3.3 GROUP B: DATA GENERATION AND ACQUISITION . . . . . . . . . . . . . . . 15
3.3.1 31- Sampling Process Design(.Experimental Design) . . . . . . . . . . . . . . 16
3.3.2 B2-Sampling Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
3.3.3 B3 -Sample Hanlling and Custody . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
3.3.4 B4-Analytical Methods . . . . . . . . . . . . . ... . . . . . .. . . . . . . . , . , . . . . 17
3.3.5 B5-Quality Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
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i
Pace
3.3.6 B6-Instrument/Equipment Testing,Inspection,and Maintenance . .. . . 18
3.3.7 B7-Instrument/Equipment Calibration and Frequency . . . . . . . . . . . .. 18
i 3.3.8 B 8-Inspection/Acceptance of Supplies and Consumables . . . . . . . . . . . 19
3.3..9 B9-Non-direct Measurements . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. 19
3.3.10 B 10-Data Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . 19
3.4 GROUP C. ASSESSMENT AND OVERSIGHT . . . . . . . . . . . . . . . . . . . . .. 20
3.4.1 Cl -Assessments and Response Actions . . . . . . . . . . . . . . . . . . . . .. . . 20
3.4.2 C2-Reports to Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. ..20
3.5 GROUP D: DATA VALIDATION AND USABILITY. . . . . . . . . . . .. . . . . . 21
3.5.1 D1 -Data Review,Verification, and Validation . . . . . . . . . . . . . . . . . .. 21
3.5.2 D2-Verification and Validation Methods . . . . . . . . . . . . . . . . . . . . . . . 21
3.5.3 D3 -Reconciliation with User Requirements . . . . . . . . . . . . . . . . . . ... 21
REFERENCES . . . . . . . . ... . . . .. . ... . .. . . ..... . . .. .. . .. .. . . . ... ... . . . . . ....23
APPENDIX A. CROSSWALKS AMONG QUALITY ASSURANCE DOCUMENTS .A-1
A.1 BACKGROUND . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. .A-1
A.2 CROSSWALK BETWEEN EPA QA/R-5 AND QAMS-005/80 .. . . . . . . . . .A-1
A.3 CROSSWALI{BETWEEN THE DQO PROCESS
AND THE QA PROJECT PLAN . . . . . . . . . . .. . . . . . . . . . . . . . . ... . . . . . .A-3
APPF,NDIX R. TERMS AND DEFINITIONS ... . . . . ... . . ... . .. ... . . .. . . ... ...R-1
FIGURES
page
1. EPA Quality System Components and Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3
2. Example Document Control Format . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . 14
TABLES
PagC
1. Group A:Project Management Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. .. 13
2. Group B: Data Generation and Acquisition Elements . . . . . . . . . . . . . . . . . . . . . . . ..... 16
3. Group C:Assessment and Oversight Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . 20
4. Group D: Data Validation and Usability Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 21
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CHAPTER 1
INTRODUCTION
1.1 BACKGROUND
Environmental programs conducted by or funded by the U.S.Environmental Protection
Agency(EPA)involve many diverse activities that address complex environmental issues. The
EPA annually spends several hundred million dollars in the collection of environmental data for
scientific research and regulatory decision making. In addition,non-EPA organizations may
spend as much as an order of magnitude more each year to respond to Agency requirements. If
decision makers(EPA and otherwise) are to have confidence in the quality of environmental data
used to support their decisions, there must be a structured process for quality in place.
A structured system that describes the policies and procedures for ensuring that work
processes,products,or services satisfy stated expectations or specifications is called a quality
system All organizations conducting environmental programs funded by EPA are required to
establish and implement a quality system. EPA also requires that all environmental data used in
decision making be supported by an approved Quality Assurance Project Plan(QA Project Plan).
This requirement is defined in EPA Order 5360.1 A2(EPA 2000),Policy and Program
Requirements for the Mandatory Agency-wide Quality System,for EPA organizations. Non-EPA
organizations funded by EPA are required to develop a QA Project Plan through:
• 48 CFR 46,for contractors;
• 40 CFR 30,31,and 35 for assistance agreement recipients; and
• other mechanisms, such as consent agreements in enforcement actions.
The QA Project Plan integrates all technical and quality aspects of a project,including
planning, implementation, and assessment. The purpose of the QA Project PIan is to document
planning results for environmental data operations and to provide a project-specific"blueprint"
for obtaining the type and quality of environmental data needed for a specific decision or use. The
QA Project Plan documents how quality assurance(QA) and quality control (QC) are applied to
an environmental data operation to assure that the results obtained are of the type and quality
needed and expected.
The ultimate success of an environmental program or project depends on the quality of the
environmental data collected and used in decision-malting,and this may depend significantly on
the adequacy of the QA Project Plan and its effective implementation. Stakeholders(i.e.,the data
users,data producers, decision makers,etc.)shall be involved in the planning process for a
program or project to ensure that their needs are defined adequately and addressed. While time
spent on such planning may seem unproductive and costly,the penalty for ineffective planning
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includes greater cost and lost time. Therefore,EPA requires that a systematic.planning process be
used to plan all environmental data operations. To support this requirement, EPA has developed
a process called the Data Quality Objectives(DQO)Process. The DQO Process is the Agency's
preferred planning process and is described in the Guidance for the Data Quality Objectives
Process(QAIG-4)(EPA 2000b). The QA Project Plan documents the outputs from systematic
planning.
This requirements document presents specifications and instructions for the information
that must be contained in a QA Project Plan for environmental data operations funded by EPA.
The document also discusses the procedures for review,approval,implementation,and revision of
QA Project Plans. Users of this document should assume that all of the elements described herein
are required in a QA Project Plan unless otherwise directed by EPA.
1.2 QA PROJECT PLANS,THE EPA QUALITY SYSTEM, AND ANSIVASQC
E4-1994
EPA Order 5350.1 A2 and the applicable Federal regulations(defined above)establish a
mandatory Quality System that applies to all EPA organizations and organizations funded by
EPA. Components of the EPA Quality System are illustrated in Figure 1. Organizations must
ensure that data collected for the characterization of environmental processes and conditions are
of the appropriate type and quality for their intended use and that environmental technologies are
designed, constructed, and operated according to defined expectations. The QA Project Plan is a
key project-level component of the EPA Quality System.
EPA policy is based on the national consensus standard,ANSI/ASQC E4-1994,
Specifications and Guidelines for Environmental Data Collection and Environmental
Technology Programs. The ANSI(ASQC E4-1994 standard describes the necessary management
and technical elements for developing and implementing a quality system. This standard
recommends using a tiered approach to a quality system. This standard recommends first
documenting each organization-wide quality system in a Quality Management Plan or Quality
Manual(to address requirements of Part A:Management Systems of the standard) and then
documenting the applicability of the quality system to technical activity-specific efforts in a QA
Project Plan or sirnilar document(to address the requirements of Part B. Collection and
Evaluation of Environmental Data of the standard). EPA has adopted this tiered approach for its
mandatory Agency-wide Quality System. This document addresses Part B requirements of the
standard.
A Quality Management Plan, or equivalent Quality Manual, documents how an
organization structures its quality system,defines and assigns QA and QC responsibilities,and
describes the processes and procedures used to plan,implement,and assess the effectiveness of
the quality system. The Quality Management Plan may be viewed as the"umbrella"document
under which individual projects are conducted. EPA requirements for Quality. Management Plans
are defined in EPA Requirements for Quality Management Plans (QAIR-2)(EPA 2001). The
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Consensus Standards
ANSI/ASQC E4
ISO 9000 Series
Internal EPA Policles External Policies
.J EPA Order 5360.1 eontracts-46 CFR 46
OEPA Manual 5360 Assistance Agreements-
0 40 CFR 30,31,and 35
EPA Program 6
Regional Policy
ovattty system
Documentation �—
{e,p.,QMP)
U)
O
D:
Supporting System Elements Tralning/Communlcation
Z (e.g.,Procurements, (e.g.,Training Plan,
F Computer Hardware/Software) Conferences)
Z
Q Annual Review systems
Wgoand Planning °' Assessments
O (e g.,QAARINP) (e.g..QsAs)
Systematic Condluct Study/ Data Verification
Planning Experiment &Validation
(e.g.,DQO Process)
t—
U
2 Operating Technical Data Quality
[�;L—
procedures Assessments Assessment
CL
PLANNING — -- IMPLEMENTATION ---tom ASSESSMENT
Defensible Products and Decisions
Figure 1. EPA Quality System Components and Tools
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.�„�
a �w ,� ��
-�„
�,
Quality Management Plan is then supported by project-specific QA Project Plans. In some cases,
a QA Project Plan and a Quality Management Plan may be combined into a single document that
contains both organizational and project-specific elements. The QA Manager for the EPA
organization sponsoring the work has the authority to determine when a single document is
applicable and will define the content requirements of such a document.
I
1.3 THE GRADED APPROACH AND THE EPA QUALITY SYSTEM
Recognizing that a"one size fits all"approach to quality requirements will not work in
organizations as diverse as EPA, implementation of the EPA Quality System is based on the
principle of graded approach. Applying a graded approach means that quality systems for
different organizations and programs will vary according to the specific objectives and needs of
the organization. For example, the quality expectations of a fundamental research program are
different from that of a regulatory compliance program because the pu>pose or intended use of the
data is different. The specific application of the graded approach principle to QA Project Plans is
described in Section 2.4.2.
1.4 INTENDED AUDIENCE
This document specifies the requirements for developing QA Project Plans for
organizations that conduct environmental data operations funded by EPA through contracts,
financial assistance agreements, and interagency agreements. EPA organizations may also use this
document to develop QA Project Plans since this document is clearer and more user-friendly than
the equivalent requirements defined in Section 5.3 of EPA Order 5360 Al (EPA 2000), The EPA
Quality Manual for Environmental Programs (an internal policy document). However,the
preparation, submission,review,and approval requirements for EPA organizations are still
contained in Section 5.2 of EPA Order 5360 Al as these represent internal EPA policy.
1.5 PERIOD OF APPLICABILITY
This document shall be valid for a period of up to five years from the official date of
publication. After five years,it shall either be reissued without change,revised, or withdrawn
from the EPA Quality System.
1.6 ADDITIONAL RESOURCES
Guidance on preparing QA Project Plans may be found in a companion document,EPA
Guidance for Quality Assurance Project Plans(QAIG-S) (EPA 1998). 'Ibis guidance discusses
the application of the QA Project Plan requirements and provides examples. Other documents
that provide guidance on activities critical to successful environmental data operations and
complement.the QA Project Plan preparation effort include:
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i
• Guidancefor the Data Quality Objectives Process(Q41G-4), (EPA 2000b)
• Guidance for the Preparation of Standard Operating Procedures for Quality-
Related Documents(QA/G-6),(EPA 1995)
• Guidance for Data Quality Assessment.Practical Methods for Data Analysis
(QAIG-9), (EPA 2000a)
1.7 SUPERSESSION
This document replaces QAMS-005180,Interim Guidelines and Specifications for
Preparing Quality Assurance Project Plans(EPA 1980) in its entirety.
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CHAPTER 2
QA PROJECT PLAN REQUIREMENTS
2.1 POLICY
All work.funded by EPA that involves the acquisition of environmental data generated
from direct measurement activities,collected from other sources, or compiled from computerized
data bases and information systems shall be implemented in accordance with an approved QA
Project Plan. The QA Project Plan will be developed using a systematic planning process based.
on the graded approach. No work covered by this requirement shall be implemented without an
approved QA Project Plan available prior to the start of the work except under circumstances
requiring immediate action to protect human health and the environment or operations conducted
under police powers.
2.2 PURPOSE
The QA Project Plan documents the planning,implementation, and assessment procedures
of,and how specific QA and QC activities will be applied during a particular project. The QA
Project Plan demonstrates conformance to Part B requirements of ANSFASQC E4-1.994.
2.3 APPLICABILITY
These requirements apply to all environmental programs funded by EPA that acquire,
generate,or compile environmental data including work performed through contracts,work
assignments, delivery orders, task orders,cooperative agreements,interagency agreements,State-
EPA agreements,State, local and Tribal Financial Assistance/Grants,Research Grants,and in
response to statutory or regulatory requirements and consent agreements. These requirements are
negotiated into interagency agreements,including sub-agreements,and,in some cases,are
included in enforcement settlement and consent agreements and orders. Where specific Federal
regulations require the application of QA and QC activities(see Section 1.1),QA Project Plans
shall be prepared,reviewed, and approved in accordance with the specifications contained in this
document unless explicitly superseded by the regulation.
2.4 GENERAL CONTENT AND DETAIL REQUIREMENTS
2.4.1 General Content
The QA Project Plan must be composed of standardized,recognizable elements covering
the entire project from planning, through implementation,to assessment. Chapter 3 of this
document describes specific elements to address for QA Project Plans submitted to EPA. In some
cases,it may be necessary to add special requirements to the QA Project Plan. The EPA
organization sponsoring the work has the authority to define any special requirements beyond
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those listed in this document. If no additional requirements are specified,the QA Project Plan
shall address all required elements. Each EPA organization defines their organizational-specific
requirements for QA Project Plan documentation in their Quality Management Plan. All
applicable elements defined by the EPA organization sponsoring the work must be addressed.
While most QA Project Plans will describe project-or task-specific activities,there may be
occasions when a generic QA Project Plan may be more appropriate. A generic QA Project Plan
addresses the general, common activities of a program that are to be conducted at multiple
locations or over a long period of time;for example,it may be useful for a large monitoring
program that uses the same methodology at different locations. A generic QA Project Plan
describes,in a single document,the information that is not site or time-specific but applies
throughout the program. Application-specific information is then added to the approved QA
Project Plan as that information becomes 14nown or completely defined. A generic QA Project
Plan shall be reviewed periodically to ensure that its content continues to.be valid and applicable
to the program over time.
2.4.2 Level of Detail
The level of detail of the QA Project Plan should be based on a graded approach so that
the level of detail in each QA Project Plan will vary according to the nature of the work being
performed and the intended use of the data. As a result,.an acceptable QA Project Plan for some
environmental data operations may require a qualitative discussion of the experimental process
and its objectives while others may require extensive documentation to adequately describe a
complex environmental program.
2.5 QA PROJECT PLAN PREPARATION AND APPROVAL
The QA Project Plan may be prepared by an EPA organization,a contractor,an assistance
agreement holder, or another Federal agency under an interagency,agreement. Except where
specifically delegated in the Quality Management Plan of the EPA organization sponsoring the
work, all QA Project Plans prepared by non-EPA organizations must be approved by EPA before
implementation.
The QA Project Plan shall be reviewed and approved by an authorized EPA reviewer to
ensure that the QA Project Plan contains the appropriate content and level of detail, The
authorized reviewer,for example the EPA project'manager'with the assistance and approval of
the EPA QA Manager or by the EPA QA Manager alone, are defined by the EPA organization's
Quality Management Plan. In some cases,the authority to review and approve QA Project Plans
is delegated to another part of the EPA organization covered by the same Quality Management
This term refers to the EPA official responsible for the project. This individual may also be called Project Officer,
Delivery Order Project Officer,Work Assignment Manager,or Principal Investigator.
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Plan. In cases where the authority to review and approve QA Project Plans is delegated in writing
by EPA to another organization(i.e.,a Federal agency or a State under an EPA-approved Quality
Management Plan when the environmental data.operation itself has been delegated to that
organization for implementation),it is possible that the EPA project manager and EPA QA
j Manager may not be involved in the review and approval steps.
2.6 QA PROJECT PLAN IMPLEMENTATION
None of the environmental work addressed by the QA Project Plan shall be started until
the QA Project Plan has been approved and distributed to project personnel except in situations
requiring immediate action to protect human health and the environment or operations conducted
under police powers. Subject to these exceptions,it is the responsibility of the organization
performing the work to assure that no environmental data are generated or acquired before the
QA Project Plan is approved and received by the appropriate project personnel. However,EPA
may grant conditional approval to a QA Project Plan to permit some work to begin while non-
critical deficiencies in the QA Project Plan are being resolved.
The organization performing the work shall ensure that the QA Project Plan is
implemented as approved and that all personnel involved in the work have direct access to a
current version of the QA Project Plan and all other necessary planning, implementation, and
assessment documents. These personnel should understand the requirements prior to the start of
data generation activities.
2.7 QA PROJECT PLAN REVISION
Although the approved QA Project Plan must be implemented as prescribed;it is not
inflexible. Because of the complex and diverse nature of environmental data operations, changes
to original plans are often needed. When such changes occur, the approving official shall
determine if the change significantly impacts the technical and quality objectives of the project.
When a substantive change is warranted,the originator of the QA Project Plan shall modify the
QA Project Plan to document the change and submit the revision for approval by the same
authorities that performed the original review. Only after the revision has been received and
approved(at least verbally with written follow-up)by project personnel, shall the change be
implemented.
For programs or projects of long duration,such as multi-year:monitoring programs or
projects using a generic QA Project Plan,the QA Project Plans shall be reviewed at least annually
by the EPA Project Manager(or authorized representative). When revisions are necessary,the
QA Project Plan must be revised and resubmitted for review and approval.
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The QA Project Plan shall be composed of standardized,recognizable elements coveting
the entire project from planning, through implementation, to assessment. These elements are
presented in that order and have been arranged for convenience into four general groups. The
four groups of elements and their intent are summarized as follows:
A Proiect Management-The elements in this group address the basic area of project
management, including the project history and objectives,roles and responsibilities
of the participants, etc. These elements ensure that the project has a defined goal,
that the participants understand the goal and the approach to be used, and that the
planning outputs have been documented.
B Data Generation and Acquisition-The elements in this group address all aspects
of project design and implementation. Implementation of these elements ensure
that appropriate methods for sampling,measurement and analysis, data collection
or generation, data handling,and QC activities are employed and are properly
documented.
C Assessment and Oversight-The elements in this group address the activities for
assessing the effectiveness of the implementation of the project and associated QA
and QC activities. The purpose of assessment is to ensure that the QA Project
Plan is implemented as prescribed.
D Data Validation and Usability-The elements in this group address the QA
activities that occur after the data collection or generation phase of the project is
completed. Implementation of these elements ensures that-the data conform to the
specified criteria, thus achieving the project objectives.
All applicable elements,including the content and level of detail under each element,
defined by the EPA organization sponsoring the work must be addressed in the QA Project Plan.
If an element is not applicable, state this in the QA Project Plan. Documentation,such as an
approved Work Plan, Standard Operating Procedures,etc.,may be referenced in response to a
particular requited QA Project Plan element to reduce the size of the QA Project Plan. Current
versions of all referenced documents must be attached to the QA Project Plan itself or be placed
on file with the appropriate EPA office and available for routine referencing when needed. The
QA Project Plan shall also address related QA planning documentation(e.g.,Quality Management
Plans) from suppliers of services critical to the technical and quality objectives of the project or
task.
3.2 GROUP A: PROJECT MANAGE,MENT
The elements in this group (Table 1)address prQject management,including project
history and objectives,roles and responsibilities of the participants,etc. These elements document
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that the project has a defined goal,that the participants understand the goal and the approach to
be used,and that the planning outputs have been documented.
s
Table 1. Group A:Project Management Elements
Al Title and Approval Sheet
A2 Table of Contents
A3 Distribution List
A4 Project/Task Organization
A5 Problem Definition/Background
A6 Project/Task Description
A7 Quality Objectives and Criteria
A8 Special Training/Certification
A9 Documents and Records
3.2.1 Al-Title and Approval Sheet
On the Title and Approval Sheet,include the title of the plan,the name of the
organization(s)implementing the project, the effective date of the plan,and the names,titles,
signatures, and approval dates of appropriate approving officials. Approving officials may
include:
- Organization's Project Manager
- Organization's QA Manager
- EPA Project Manager
EPA QA Manager
Others,as needed(e.g.,.field operations manager,laboratory managers,
State and other Federal agency officials)
3.2.2 A2-Table of Contents
Provide a table of contents for the document,including sections,figures,tables,
references, and appendices. Apply a document control format(Figure 2)on each page following
the Title and Approval Sheet when required by the EPA Project Manager and QA Manager.
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Section No.
Revision No.
Date
Page_of
Figure 2. Example Document Control Format
3.2.3 A3-Distribution List
List the individuals and their organizations who need copies of the approved QA Project
Plan and any subsequent revisions,including all persons responsible for implementation(e.g.,
project managers),the QA managers, and representatives of all groups involved, Paper copies
need not be provided to individuals if equivalent electronic information systems can be used.
3.2,4 A4-Project/Task Organization
Identify the individuals or organizations participating in the project and discuss their
specific roles and responsibilities. Include the principal data users,the decision makers,the
project QA manager, and all persons responsible for implementation. The project quality
assurance manager must be independent of the unit generating the data. (This"does not include
being independent of senior officials,such as corporate managers or agency administrators,who
are nominally,but not functionally,involved in data generation,data use,or decision making,)
.Identify the individual responsible for maintaining the official,approved QA Project Plan.
Provide a concise organization chart showing the relationsbips and the lines of
communication among all project participants. Include other data users who are outside of the
organization generating the data, but for whom the data are nevertheless intended. The
organization chart must also identify any subcontractor relationships relevant to environmental
data operations, including laboratories providing analytical services.
3.2.5 A5 -Problem Definition/Background
State the specific problem to be solved,decision to be made,or outcome to be achieved.
Include sufficient background info>mation to provide a historical,scientific, and regulatory
perspective for this particular project.
3.2.6 A6-Project/Task.Desaription
Provide a summary of all work to be performed,products to be produced, and the
schedule for implementation. Provide maps or tables that show or state the geographic locations
of field tasks. This discussion need not be lengthy or overly detailed,but should give an overall
picture of how the project will resolve the problem or question described in A5.
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3.2.7 A7-Quality Objectives and Criteria
Discuss the quality objectives for the project and the performance criteria to achieve those
objectives. EPA requires the use of a systematic planning process to define these quality
objectives and performance criteria.
3.2.8 A8-Special Training/Certifieation
Identify and describe any specialized training or certifications needed by personnel in order
to successfully complete the project or task. Discuss how such training will be provided and how
the necessary skills will be assured and documented.
3.2.9 A9-Documents and Records
Describe the process and responsibilities for ensuring the appropriate project personnel
have the most current approved version of the QA Project Plan,including version control,
updates,distribution,and disposition.
Itemize the information and records which must be included in the data report package
and specify the reporting format for hard copy and any electronic forms. Records can include raw
data, data from other sources such as data bases or literature,field logs,sample preparation and
analysis logs,instrument printouts, model input and output files,and results of calibration and QC
checks.
Identify any other records and documents applicable to the project that will be produced,
such as audit reports, interim progress reports, and final reports. Specify the level of detail of the
field sampling,laboratory analysis,literature or data base data collection,or modeling documents
or records needed to provide a complete description of any difficulties encountered.
Specify or reference all applicable requirements for the final disposition of records and
documents,including location and length of retention period.
3.3 GROUP B: DATA GENERATION AND ACQUISITION
The elements in this group(Table 2)address all aspects of data generation and acquisition
to ensure that appropriate methods for sampling, measurement and analysis, data collection or
generation, data handling,and QC activities are employed and documented. The following QA
Project Plan elements describe the requirements related to the actual methods or methodology to
be used for the:
• collection,handling,and analysis of samples;
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• data obtained from other sources(e.g.,contained in a computer data base from
previous sampling activities,compiled from surveys, taken from the literature);and
• the management(i.e.,compiling,handling)of the data.
The methods described in these elements should have been summarized earlier in element A6,The
purpose here is to provide detailed information on the methods. If the designated methods are
well documented and are readily available to all project participants, citations are adequate;
otherwise, detailed copies of the methods and/or SOPs must accompany the QA Project Plan
either in the text or as attachments.
Table 2. Group B:Data Generation and
Acquisition Elements
B1 Sampling Process Design(Experimental Design)
B2 Sampling Methods
B3 Sample Handling and Custody
B4 Analytical Methods
B5 Quality Control
B6 Instrument/Equipment Testing, Inspection, and Maintenance
B7 Instrument/Equipment Calibration and Frequency.
B8 Inspection/Acceptance of Supplies and Consumables
B9 Non-direct Measurements
B10 Data Management
3.3.1 Bl-Sampling Process Design(Experimental Design,)
Describe the experimental data generation or data collection design for the project,
including as appropriate:
• the types and numbers of samples required,
• the design of the sampling network,
• the sampling locations and frequencies,
• sample matrices,
• measurement.parameters of interest,and
• the rationale for the design.
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3.3.2 B2-Sampling Methods
Describe the procedures for collecting samples and identify the sampling methods and
equipment,including any,implementation requirements,sample preservation requirements,
decontamination procedures,and materials needed for projects involving physical sampling.
Where appropriate,identify sampling methods by number, date,and regulatory citation. If a
method allows the user to select from various options,then the method citations should state
exactly which options are being selected. Describe specific performance requirements for the
method For each sampling method,identify any support facilities needed. The discussion should
also address what to do when a failure in the sampling or measurement system occurs,who is
responsible for corrective action,and how the ef-ectiveness of the corrective action shall be
determined and documented.
Describe the process for the preparation and decontamination of sampling equipment,
including the disposal of decontamination by-products;the selection and preparation of sample
containers,sample volumes,and preservation methods;and maximum holding times to sample
extraction and/or analysis.
3.3.3 B3 -Sample Handling and Custody
Describe the requirements for sample handling and custody in the fieId,laboratory,and
transport,taking into account the nature of the samples, the maximum allowable sample holding
times before extraction or analysis,and available shipping options and schedules for projects
involving physical sampling. Sample handling includes packaging,shipment from the site,and
storage at the laboratory. Examples of sample labels, custody forms, and sample custody logs
should be included.
3.3.4 B4-Analytical Methods
Identify the analytical methods and equipment required,including sub-sampling or
extraction methods, laboratory decontamination procedures and materials(such as in the case of
hazardous or radioactive samples), waste disposal requirements (if any), and any specific
performance requirements for the method. Where appropriate,analytical methods may be
identified by number,date,and regulatory citation. Address what to do when a failure in the
analytical system occurs, who is responsible for corrective action, and how the effectiveness of the
corrective action shall be determined and documented. Specify the laboratory turnaround time
needed,if important to the project schedule.
List any method performance standards. If a method allows the user to select from
various options,then the method citations should state exactly which options are being.selected.
For non-standard method applications, such as for unusual sample matrices and situations,
appropriate method performance study information is needed to confirm the performance of the
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method for the particular matrix. If previous performance studies are not available, they must be
_. developed during the project and included as part of the project results.
3.3.5 B5 -Quality Control
Identify QC activities needed for each sampling, analysis,or measurement technique. For
each required QC activity,list the associated method or procedure,acceptancecriteria, and
corrective action. Because standard methods are often vague or incomplete in specifying QC
requirements,simply relying on the cited method to provide this information is usually insufficient.
QC activities for the field and the laboratory include,but are not limited to,the use of blanks,
duplicates,matrix spikes, laboratory control samples, surrogates, or second column confirmation.
State the frequency of analysis fnr each type of QC activity, and the spike compounds sources and
levels. State or reference the required control limits for each QC activity and corrective action
required when control hints are exceeded and how the effectiveness of the corrective action shall
be determined and documented.
Describe or reference the procedures to be used to calculate applicable statistics(e.g.,
precision and bias). Copies of the formulas are acceptable as long as the accompanying narrative
or explanation specifies clearly how the calculations will address potentially difficult situations
such as missing data values,"less than"or"greater than"values, and other common data
qualifiers.
3.3.6 B6-Instrument/Equipment Testing,Inspection,and Maintenance
Describe how inspections and acceptance testing of instruments,equipment,and their
components affecting quality will be performed and documented to assure their intended use as
specified. Identify and discuss the procedure by which final acceptance will be performed by
independent personnel(e.g.,personnel other than those performing the work)and/or by the EPA
project manager. Describe how deficiencies are to be resolved,when re-inspection will be
performed, and how the effectiveness of the corrective action shall be determined and
documented.
Describe or reference how periodic preventive and corrective maintenance of
measurement or test equipment or other systems and theircomponents affecting quality shall be
performed to ensure availability and satisfactory performance of the systems. Identify the
equipment and/or systems requiring periodic maintenance. Discuss how the availability of critical
spare parts, identified in the operating guidance and/or design specifications of the systems,will
be assured and maintained.
3.3.7 B7-Instrument/Equipment Calibration and Frequency
Identify all tools, gauges, instruments, and other sampling,measuring, and test equipment
used for data generation or collection activities affecting quality that must be controlled and,at
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specified periods,calibrated to maintain performance within specified limits. Describe or
reference how calibration will be conducted using certified equipment and/or standards with
known valid relationships to nationally recognized performance standards. If no such nationally
recognized standards exist, document the basis for the calibration. Identify the certified
equipment and/or standards used for calibration. Indicate how records of calibration shall be
maintained and be traceable to the instrument.
3.3.8 B8-Inspection/Acceptance of Supplies and Consumables
Describe how and by whom supplies and consumables(e.g.,standard materials and
solutions,sample bottles,calibration gases,reagents,hoses, deionized water,potable water,
electronic data storage media) shall be inspected and accepted for use in the project. State
acceptance criteria for such supplies and consumables.
3.3.9 B9-Non-direct Measurements
Identify any types of data needed for project implementation or decision making that are
obtained from non-measurement sources such as computer data bases,programs,literature files,
and historical data bases. Describe the intended use of the data. Define the acceptance criteria
for the use of such data in the project and specify any limitations.on the use of the data.
3.3.10 B10-Data Management
Describe the project data management process,tracing the path of the data from their
generation to their final use or storage(e.g.,the field, the office, the laboratory). Describe or
reference the standard record-keeping procedures, document control system, and the approach
used for data storage and retrieval on electronic media. Discuss the control mechanism for
detecting and correcting errors and for preventing loss of data during data reduction,data
reporting, and data entry to forms,reports, and databases. Provide examples of any forms or
checklists to be used.
Identify and describe all data handling equipment and procedures to process, compile,and
analyze the data. This includes procedures for addressing data generated as part of the project as
well as data from other sources. Include any required computer hardware and software and
address any specific performance requirements for the hardware(software configuration used.
Describe the procedures that will be followed to demonstrate acceptability of the
hardwarelsoftware configuration required. Describe the process for assuring that applicable
information resource management requirements are satisfied.
Describe the process for assuring that applicable Agency information resource
management requirements(EPA Directive 2100) are satisfied(EPA QA Project Plans only). If
other Agency data management requirements are applicable, such as the Chemical Abstract
Service Registry Number Data Standard(EPA Order 2180.1),Data Standards for the Electronic
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Transmission of Laboratory Measurement Results(EPA Order 2180.2),the Minimum Set of Data
Elements for Ground-Water Quality(EPA Order 7500.IA),or new data standards as they are
issued by EPA,discuss how these requirements are addressed.
3.4 GROUP C: ASSESSMENT AND OVERSIGHT
The elements in this group (Table 3)address the activities for assessing the effectiveness
of project implementation and associated QA and QC activities. The purpose of assessment is to
ensure that the QA Project Plan is implemented as prescribed.
Table 3. Group C; Assessment and
Oversight Elements
Cl Assessments and Response Actions
C2 Reports to Management
3.4.1 C1 -Assessments and Response Actions
Describe each assessment to be used in the project including the frequency and type.
Assessments include,but are not limited to,surveillance,management systems reviews,readiness
reviews,technical systems audits,performance evaluations,audits of data quality,and data quality
assessments. Discuss the information expected and the success criteria(i.e.,goals,performance
objectives, acceptance criteria specifications,.etc.)for each assessment proposed. List the
approximate schedule of assessment activities. For any planned self-assessments(utilizing
personnel from within the project groups),identify potential participants and their exact
relationship within the project organization. For independent assessments,identify the
organization and person(s)that shall perform the assessments if this information is available.
Describe how and to whom the results of each assessment shall be reported.
Define the scope of authority of the assessors,including stop work orders, and when
assessors are authorized to act,
Discuss how response actions to assessment findings,including corrective actions for
deficiencies and other non-conforming conditions, are to be addressed and'by whom. Include
details on how the corrective actions will be verified and documented.
3.4.2 C2-Reports to Management
Identify the frequency and distribution of reports issued to inform management(EPA or
otherwise) of the project status;for examples,reports on the results of performance evaluations
and system audits;results of periodic data quality assessments; and significant quality assurance
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problems and recommended solutions. Identify the preparer and the recipients of the reports, and
any specific actions recipients are expected to take as a result of the reports.
3.5 GROUP D: DATA VALIDATION AND USABILITY
The elements in this group(Table 4) address the QA activities that occur after the data
collection phase of the project is completed. Implementation of these elements determines
whether or not the data conform to the specified criteria,thus satisfying the project objectives.
Table 4. Group D:Data Validation
and Usability Elements
Dl Data Review,Verification, and Validation
D2 Verification and Validation Methods
D3 Reconciliation with User Re uirements
3.5.1 DI -Data Review,Verification, and Validation
State the criteria used to review and validate--that is, accept,reject, or qualify--data,in
an objective and consistent manner.
3.5.2 D2 -Verification and Validation Methods
Describe the process to be used for verifying and validating data, including the chain-of-
custody for data throughout the life of the project or task. Discuss how issues shall be resolved
and the authorities for resolving such issues. Describe how the results are conveyed to data users.
Precisely define and interpret how validation issues differ from verification.issues for this project.
Provide examples of any forms or checklists to be used. Identify any project-specific calculations
required.
3.5.3 D3 -Reconciliation with User Requirements
Describe how the results obtained from the project or task will be reconciled with the
requirements defined by the data user or decision maker. Outline the proposed methods to
analyze the data and determine possible anomalies or departures from.assumptions established in
the planning phase of data collection. Describe how reconciliation with user requirements will be
documented,issues will be resolved,and how limitations on the use of the data will be reported to
decision makers.
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REFERENCES
40 CFR 30, Code of Federal Regulations,"Grants and Agreements With Institutions,of Higher
Education,hospitals,and Other Non-Profit Organizations."
40 CFR 31, Code of Federal Regulations,"Uniform Administrative Requirements for Grants and
Cooperative Agreement to State and Local Governments."
40 CFR 35, Code of Federal Regulations,"State and Local Assistance."
48 CFR 46, Code of Federal Regulations, "Federal Acquisition Regulations."
ANSI/ASQC E4-1994,Specifications and Guidelines for Quality Systems for Environmental
Data Collection andEnvironmental Technology Programs,.American National Standard,
January 1995.
EPA Directive 2100(1998),Information Resources Management Policy Manual,U.S.
Environmental Protection Agency,Washington,DC.
EPA Order 2180.1 (June 1987), Chemical Abstract Service RegistryNumber Data Standard,
U.S. Environmental Protection Agency,Washington,DC.
EPA Order 2180.2(December 1988),Data Standaris for the Electronic Transmission of
Laboratory Measurement Results, U.S.Environmental Protection Agency,Washington,
DC.
EPA Order 5360 Al (May 2000). EPA Quality Manual for Environmental Programs,U.S.
Environmental Protection Agency,Washington,DC.
EPA Order 5360.1 A2(May 2000),Policy and Program Requirements for the Mandatofy
Agency-wide Quality System,U.S.Environmental Protection Agency,Washington,DC.
EPA Order 7500.1A (October 1992),Minimum Set of Data Elements for Ground-Water Quality,
U.S. Environmental Protection Agency,Washington,DC.
U.S. Environmental Protection Agency, 2001. EPA Requirements for Quality Management
Plans(QA/R-2),EPA/240B-01/002,Office of Environmental Information.
U.S.Environmental Protection Agency, 2000a. Guidance for Data Quality Assessment.
Practical Methods for Data Analysis(QA/G-9),EPA/600/R-96/084,Office of
Environmental Information.
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Contract Name:Ambient Air Monitoring-Pass-Thru Grant Contract Number:582-14.40044
U.S.Environmental Protection Agency,2000b. Guidancefor the Data Quality Objectives
Process(QA/G4),EPA/600/R-96/055,Office of Environmental Information.
U.S. Environmental Protection Agency, 1998. Guidance for Quality Assurance Project Plans
(QA/G-5),EPA/600/R-98/018,Office of Research and Development.
U.S.Environmental Protection Agency, 1995. Guidance for the Preparation of Standard
Operating Procedures(SOPS)for Quality-Related Documents(QAIG-6),EPA/600/R-
96/027, Office of Research and Development.
U.S. Environmental Protection Agency, 1980. Interim Guidelines and Speciflcationsfor
Preparing Quality Assurance Project Plans, QAMS-005/80, Office of Research and
Development.
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APPENDIX A
CROSSWALKS AMONG QUALITY ASSURANCE DOCUMENTS
A.1 BACKGROUND
This appendix contains crosswalks between this document and other QA planning
documents. The fust crosswalk compares this requirements document with its predecessor
document, QAMS 005/80,Interim Guidelines and Specifications for Preparing Quality
Assurance Project Plans (EPA 1980). The second crosswalk compares the elements of the QA
Project Plan defined in this document with the steps defined in Guidance for the Data Quality
Objectives Process (QAIG-4)(EPA 2000b),the Agency's preferred systematic planning process
for environmental decision making. This crosswalk is provided to assist the reader in determining
how the outputs from the DQO Process can be integrated into a QA Project Plan.
A.2 CROSSWALK BETWEEN EPA QA/R-5 AND QAMS-005/80
QAMS-005/80 ELEMENTS QA/R 5 ELEMENTS
1.0 Title Page with Provision for Al Title and Approval Sheet
Approval Signatures
2.0 Table of Contents A2 Table of Contents
3.0 Project Description A5 Problem Definition/Background
A6 Project/Task Description
4.0 Project Organization and A3 Distribution.List
Responsibility
A4 Project/Task Organization
A8 Special Training/Certification
A9 Documents and Records
5.0 QA Objectives for Measurement A7 Quality Objectives and Criteria
Data(PARCC)
6.0 Sampling Procedures B1 Sampling Process Design
132 Sampling Methods
7.0 Sample Custody 133 Sample Handling and Custody
F-0
Calibration Procedures and B7 Iustrument/Equipment Calibration and
Frequency Frequency
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QAMS-005/80 ELEMENTS QA/R-5 ELEMENTS
9.0 Analytical Procedures B4 Analytical Methods
10.0 Data Reduction, Validation,and Dl Data Review,Verification,and
Reporting Validation
D2 Verification and Validation Methods
B9 Non-direct Measurements
B10 Data Management
11.0 Intemal Quality Control Checks B5 Quality Control
and Frequency
12.0 Performance and Systems Cl Assessments and Response Actions
13.0 Preventive Maintenance B6 Instrument/Equipment Testing,
Inspection,and Maintenance
14.0 Specific Routine Procedures Mea- D3 Reconciliation with User Requirements
surement Parameters Involved
15.0 Corrective Action C1 Assessments and Response Actions
16.0 QA Reports to Management C2 Reports to Management
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A3 CROSSWALK BETWEEN THE DQO PROCESS AND THE QA PROJECT PLAN
Elements Requirements I DQO Overlap:
PROJECT MANAGEMENT
Al Title and Approval Sheet Title and approval sheet. N/A
A2 Table of Contents Document control format. N/A
A3 Distribution List Distribution list for the QA Project Plan Step 1: State the Problem
revisions and final guidance.
A4 Project/Task Identify individuals or organizations Step 1: State the Problem
Organization participating in the project and discuss their
roles,responsibilities and organization.
A5 Problem Definition/ I)State the specific problem to be solved or Step 1.: State the Problem
Background the decision to be made. Step 2: Identify the Decision
2)Identify the decision maker and the principal
customer for the results.
A6 Project/Task Description 1)Hypothesis test,2)expected measurements, Step 1: State the Problem
3)ARARs or other appropriate standards,4) Step 2: Identify the Decision
assessment tools(technical audits),5)work Step 3: Identify the Inputs to the Decision
schedule and required reports. Step 6: Specify Limits on Decision Errors
A7 Quality Objectives and Decision(s),population parameter of interest, Step 4: Define the Boundaries
Criteria action level,summary statistics and acceptable Step 5: Develop a Decision Rule
limits on decision errors.Also,scope of the Step 6: Specify Limits on Decision Errors
project(domain or geographical locale).
A8 Special Training/ Identify special training that personnel will N/A
Certification need.
A9 Documents and Records Itemize the information and records that in Step 3: Identify the Inputs to the Decision
be included in a data report package,including Step 7: Optimize the Design for Obtaining Data
report format and requirements for storage,
etc.
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Elements Requirements DQO Overlap
DATA GENERATION AND ACQUISITION
B 1 Sampling Process Design Outline the experimental design,including Step 5: Develop a Decision Rule
(Experimental Design) sampling design and rationale,sampling Step 7: Optimize the Design for Obtaining Data
frequencies,matrices,and measurement
parameter of interest.
B2 Sampling Methods Sample collection method and approach. Step 7: Optimize the Design for Obtaining Data
B3 Sample Handling and Describe the provisions for sample labeling, N/A
Custody shipment,chain-0f--custody forms,procedures
for transferring and maintaining custody of
samples.
B4 Analytical Methods Identify analytical method(s)and equipment Step 3: Identify the Inputs to the Decision
for the study,including method performance Step 7: Optimize the Design for Obtaining Data
requirements.
B5 Quality Control Describe quality control procedures that Step 3: Identify the Inputs to the Decision
should be associated with each sampling and
measurement technique. List required checks
and corrective action procedures.
B6 Instrument/Equipment Discuss how inspection and acceptance testing, Step 3: Identify the Inputs to the Decision
Testing,Inspection,and including the use of QC samples,,must be
Maintenance performed to ensure their intended use as
specified by the design.
B7 Instrument/Equipment Identify tools,gauges and instruments,and Step 3: Identify the Inputs to the Decision
Calibration and other sampling or measurement devices that
Frequency need calibration. Describe how the calibration
should be done.
B8 rnspection/Acceptance of Define how and by-whom the sampling N/A
Supplies and supplies and other consumables will be
Consumables accepted for use in the project.
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Elements Requirements DQO Overlap
B9 Non-direct Define the criteria for the use of non- Step 1: State the Problem
Measurements measurement data,such as data that come Step 7: Optimize the Design for Obtaining Data
from databases or literature.
B 10 Data Management Outline the data management scheme including Step 3: Identify the Inputs to the Decision
the path and storage of the data and the data Step 7: Optimize the Design for Obtaining Data
record-keeping system- Identify all data
handling equipment and procedures that will be
used to process,compile,and analyze the data.
ASSESSMENT AND OVERSIGHT
Cl Assessments and Describe the assessment activities needed for Step 7:Optimize the Design for Obtaining Data
Response Actions this project.
C2 Reports to Management Identify the frequency,content,and N/A
distribution of reports issued to keep
management informed.
DATA VALIDATION AND USABILITY
DI Data Review, State the criteria used to accept or reject the Step 7: Optimize the Design for Obtaining Data
Verification,and data based on quality.
Validation
D2 Verification and Describe the process to be used for verifying Step 3: Identify the Inputs to the Decision
Validation Methods and validating data,including the chain-of-
custody for data throughout the lifetime of the
project.
D3 Reconciliation With User Describe how results will be evaluated to Step 7: Optimize the Design for Obtaining Data
Requirements determine if performance criteria have been
satisfied.
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APPENDIX B
TERMS AND DEFINITIONS
assessment-the evaluation process used to measure the performance or effectiveness of a system
and its elements. As used here, assessment is an all-inclusive term used to denote any of the
following:audit,performance evaluation,management systems review,peer review,inspection,or
surveillance.
audit(quality) -a systematic and independent examination to determine whether quality
activities and related results comply with planned arrangements and whether these arrangements
are implemented effectively and are suitable to achieve objectives.
calibration-comparison of a measurement standard,instrument, or item with a standard or
instrument of higher accuracy to detect and quantify inaccuracies and to report or eliminate those
inaccuracies by adjustments.
chain-of-custody-an unbroken trail of accountability that ensures the physical security of
samples,data, and records.
contractor-any organization or individual that contracts to furnish services or items or perform
work; a supplier in a contractual situation.
data quality assessment-a statistical and scientific evaluation of the data set to determine the
validity and performance of the data collection design and statistical test,and to determine the
adequacy of the data set for its intended use.
data usability -the process of ensuring or determining whether the quality of the data produced
meets the intended use of the data.
design-specifications, drawings, design criteria, and performance requirements. Also the result
of deliberate planning, analysis,mathematical manipulations, and design processes.
environmental conditions-the description of physical medium(e.g., air,water,soil,sediment)
or biological system expressed in terms of its physical,chemical,radiological,or biological
characteristics,
environmental data -any measurements or information that describe environmental processes,
location,or conditions; ecological or health effects and consequences; or the performance of
environmental technology. For EPA,environmental data include information collected directly
from measurements,produced from models, and compiled from other sources such as data bases
or the literature.
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environmental data operations-work performed to obtain,use,or report information
pertaining to environmental processes and conditions.
environmental processes -manufactured or natural processes that produce discharges to or that
impact-the ambient environment.
environmental programs -work or activities involving the environment,including but not
limited to:characterization of environmental processes and conditions;environmental monitoring;
environmental research and development; the design,construction,and operation of
environmental technologies; and laboratory operations on environmental samples.
environmental technology-an all-inclusive term used to describe pollution control devices and
systems, waste treatment processes and storage facilities, and site remediation technologies and
their components that may be utilized to remove pollutants or contaminants from or prevent them
from entering the environment. Examples include wet scrubbers(air),soil washing (soil),
granulated activated carbon unit (water), and filtration(air, water). Usually,this term will apply
to hardware-based systems;however,it will also apply to methods or techniques used for
pollution prevention,pollutant reduction,or containment of contamination to prevent further
movement of the contaminants, such as capping, solidification or vitrification, and biological
treatment,
financial assistance-the process by which funds are provided by one organization(usually
government)to another organization for the purpose of performing work or furnishing services or
items. Financial assistance mechanisms include grants, cooperative agreements,performance
partnership agreements, and government interagency agreements.
graded approach-the process of basing the level of application of managerial controls applied
to an item or work according to the intended use of the results and the degree of confidence
needed in the quality of the results.
independent assessment-an assessment performed by a qualified individual,group,or
organization that is not a part of the organization directly performing and accountable for the
work being assessed.
information resources management-the planning,budgeting,organizing,directing, training
and controls associated with information.The term encompasses both information itself and
related resources such as personnel,equipment,funds and technology.
inspection-an activity such as measuring,examining,testing,or gauging one or more
characteristics of an entity and comparing the results with specified requirements in order to
establish whether conformance is achieved for each characteristic.
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management system - a structured,non-technical system describing the policies,objectives,
principles,organizational authority,responsibilities, accountability,and implementation plan of an
organization for conducting work and producing items and services.
method-a body of procedures and techniques for performing an activity(e.g., sampling,
modeling,chemical analysis,quantification)systematically presented in the order in which they are
to be executed,
participant-when used in the context of environmental programs, an organization, group, or
individual that takes part in the planning and design process and provides special knowledge or
skills to enable the planning and design process to meet its objective.
performance evaluation-a type of audit in which the quantitative data generated in a
measurement system are obtained independently and compared with routinely obtained data to
evaluate the proficiency of an analyst or laboratory.
quality-the totality of features and characteristics of a product or service that bear on its ability
to meet the stated or implied needs and expectations of the user.
quality assurance(QA)-an integrated system of management activities involving planning,
implementation, documentation,assessment,reporting, and quality improvement to ensure that a
process,item, or service is of the type and quality needed and expected by the client.
quality assurance manager -the individual designated as the principal manager within the
organization having management oversight and responsibilities for planning,documenting,
coordinating,and assessing the effectiveness of the quality system for the organization.
quality assurance project plan- a document describing in comprehensivedetail the necessary
QA, QC, and other technical activities that must be implemented to ensure that the results of the
work performed will satisfy the stated performance criteria.
quality control(QC)-the overall system of technical activities that measures the attributes and
performance of a process,item,or service against defined standards to verify that they meet the
stated requirements established by the customer, operational techniques and activities that are
used to fulfill requirements for quality,
quality management-that aspect of the overall management system of the organization that
determines and implements the quality policy. Quality management includes strategic planning,
allocation of resources, and other systematic activities(e.g.,planning,implementation,
documentation, and assessment)pertaining to the quality system.
quality management playa-a document that describes a quality system in terms of the
organizational structure,policy and procedures,functional responsibilities of management and
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staff, lines of authority, and required interfaces for those planning,implementing, documenting,
and assessing all activities conducted.
` quality system-a structured and documented management system describing the policies,
objectives,principles,organizational authority,responsibilities, accountability,and implementation
plan of an organization for ensuring quality in its work processes,products(items),and services.
The quality system provides the framework for planning,implementing, documenting,and
assessing work performed by the organization and for carrying out required QA and QC activities.
readiness review-a systematic, documented review of the readiness for the start-up or continued
use of a facility,process, or activity.. Readiness reviews are typically conducted before proceeding
beyond project milestones and prior to initiation of a major phase of work.
record-a completed document that provides objective evidence of an item or process. Records
may include photographs,drawings,magnetic tape,and other data recording media.
specification -a document stating requirements and which refers to or includes drawings or other
relevant documents. Specifications should indicate the means and the criteria for determining.
conformance.
supplier-any individual or organization famishing items or services or performing work
according to a procurement document or financial assistance agreement. This is an all-inclusive
tern used in place of any of the following:vendor,seller,contractor,subcontractor, fabricator,or
consultant.
surveillance(quality)-continual or frequent monitoring and verification of the status of an
entity and the analysis of records to ensure that specified requirements are being fulfilled.
technical systems audit(TSA)-a thorough, systematic, on-site,qualitative audit of facilities,
equipment,personnel, training, procedures,record keeping,data validation,data management,
and reporting aspects of a system.
validation -confirmation by examination and provision of objective evidence that the particular
requirements for a specific intended use are fulfilled. In design and development,validation
concerns the process of examining a product or result to determine conformance to user needs.
verification-confirmation by examination and provision of objective evidence that specified
requirements have been fulfilled. In design and development, verification concerns the process of
examining a result of a given activity to determine conformance to the stated requirements for that
activity,
Final
EPA QA/R-5 B-4 March 2001
Texas Commission on Page 141 of 168 Contract
Environmental Quality 582-18-80091
Financial Status Report Preparation Instructions
Y. 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-i,legible documentation that(i)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
Texas Commission on Page 142 of 168 Contract
Environmental Quality 582-18-80091
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.
Texas Commission on Page 143 of 168 Contract
Environmental Quality 582-18-80091
Exhibit A-3
Quarterly Report Checklist
Form B-i: HUB Subcontracting Plan
Form B-2: TCEQ State Purchase Voucher
Form B-3: TCEQ Invoice
Form B-4: Financial Status Report
Texas Commission on Page 144 of 168 Contract
Environmental Quality 582-18-80091
Exhibit A-3
FY-2018 SECTION 105 CONTRACT QUARTERLY REPORT
Check List for Reimbursement Request Approval
QUARTER------------------- DATES ------------------- TO----------------------
Sections A-C are all part of this Checklist.
A. Administrative Regulations
A-1. Have you reviewed your procurement systems for .compliance with ,40 CFR 35
according to the Procurement System Certification form (EPA form 5700-48) in your
Financial Application Package?
--- Yes. The certification was submitted on----------------------
---_No. This is not our year to do this.
A-2. Have you purchased any property items with a unit acquisition cost of $1,000 or
more?
--- Yes. The request to purchase the property item(s) was approved by the TCEQ
on —----
---No. We have not made any such purchases.
A-3. Are you maintaining property records(performing physical inventory) as required?
---Yes. They are available in our office.
--_No. Please explain.
A-4. Is the quarterly HUB Progress Assessment Reports required in the Special
Terms and Conditions,Article 5.6 attached to this Reimbursement Request?
---Yes.
---No. Please explain.
A-5. What is the date of your most recent independent audit report (required by OMB A-
133). Was this report submitted to the TCEQProject Representative?
---Yes. Submitted on----------------
---No. Please explain.
Texas Commission on Page 145 of 168 Contract
Environmental Quality 582-18-80091
A-6. Have you provided written response to the FY-2018 End-of-Year questionnaire
within thirty(30) days after receipt of the questionnaire?
___Yes. It was submitted on-----------------------------
---No. Please explain.
___NA. Due in the 41h quarter of the Contract only.
A-7. Within thirty (30) days of receipt of your FY-2018 End-of-Year Report did you
provide information concerning actions to be taken to correct any deficiencies
found during the End-of-Year Review?
Yes.
No. Please explain.
___ NA. We had no deficiencies.
___NA. Not due this quarter.
A-8. Have the deficiencies been corrected?
___Yes.
___No. We are still within the ninety(90) day window.
___ No. There are deficiencies that cannot be corrected within the allotted time-
frame. An explanation is attached.
___NA..
A-9. Have you performed a physical inventory of total property purchased with funds
provided by contracts with the TCEQ?
___Yes. The report has been submitted to the Contract Manager and is available
in our office.
___ No. Please explain.
___NA. Due in the 41h quarter of the Contract only.
A-10. Have you reported any unresolved shortages or program losses exceeding $1,000
by the deadline of August 31, 2018?
Yes. The report was submitted on__—----------------—______-
___No. We have none to report.
___NA. Due in the 4th quarter of the Contract only.
Texas Commission on Page 146 of 168 Contract
Environmental Quality 582-18-80091
A-11. Is the final Financial Status Report for this Contract, along with a list of property
costing $1,000 or more and purchased with contract funds, attached to this
reimbursement request and being submitted no later than the deadline of
September 30, 2018?
___ Yes.
___No. Please explain.
___NA. Due in the 4th quarter of the Contract only.
A-12. Have you submitted your funding application for FY-2019 within thirty(30) days
of receipt of funding allocation notification and current Funding Application
Package?
___Yes. It was submitted on—_—--------__---_-------------
---No. Projected submittal date:__—___-----------
---NA. Due in the 4th quarter of the Contract only.
A-13 You are required to provide matching funds of not less than thirty three percent
(33%) for the Section 105 Contract, part of which can be funds from the State
Compliance Contract. Funding allocated for Title V activities in the State
Compliance Contract cannot be used as match.You must demonstrate that funds
provided to your program under the Section 105 Contract do not cause failure of
the match requirements under the State Compliance Contract,which requires that
no more than sixty seven percent (67%) of total funding for this program comes
from State and Federal sources. Please list the breakdown for your FY-2018 air
program:
State Compliance Contract $ %
Section 105 Contract $ %
Other 105 Funds* $ %
City/County Funds $ %
Total $ 100%
* In order to accurately calculate your match under the terms of the State
Compliance Contract and the Section 105 Contract, you must include any
additional 105 funding you have received directly from the EPA that is not
processed through the TCEQ.
Texas Commission on Page 147 of 168 Contract
Environmental Quality 682-18-80091
B. Quality Assurance Planning
B-1. Have you submitted a revised/updated Quality Management Plan or certification of
no changes by 120 days prior to the expiration of the most current TCEQ approved
Performing Party QMP?
___Yes. The report was submitted on______________________.
___No. Please explain.
___NA. Not due this quarter.
B-2. Have you submitted the revised/updated appendices detailing any exceptions or
differences in the Performing Party's implementation of the TCEQ QAPP, or a
certification that no changes were made, within 30 days of the request from the
Contract Administrator?
Yes. It was submitted on---------------—
No. Please explain.
___ NA. Not due this quarter.
Texas Commission on Page 148 of 158 Contract
Environmental Quality 582-18-80091
C. Monitoring Operations Program
C-1. Have there been any changes to your Scope of Work (Statement of Services to be
performed)?
___ Yes.
___ No.
C-2. Did your monitoring staff participate in any applicable training activities during this
reporting period?
___ Yes. Please list.
___ No.
C-3. Have you performed accuracy audits on at least twenty five percent (25%) of the
SLAMS/PAMS designated monitors during this reporting period?
___ Yes. The report for this will be submitted within forty five (45) days of the end
of the quarter.
___ No.
C-4. Have you collected air quality data during this quarter which you will submit to
TCEQ in a mutually agreed upon format?
___Yes. The report will be submitted no later than------------—_—__
___No.
C-5. Was precision and accuracy data collected to quality assure the air data?
---Yes. The report will be submitted no later than_—-----—------------
--- No.
C-6. Have you experienced any significant equipment failure or instrument malfunction?
___Yes. Please explain.
___No.
C-7. Has thirty (30) days written notice been given prior to the start of any special
purpose monitoring?
___Yes. Notice and a summary report submitted on--------—___________-
___ No.
N/A. We have no new SPMs.
Texas Commission on Page 149 of 168 Contract
Environmental Quality 582-18-80091
C-8. Has reporting of Special Purpose Monitoring data been submitted in a mutually
agreed upon format with quarterly data?
___Yes.
___ No. Please explain.
___N/A.
C-9. Has a summary report of Special Purpose Monitoring results been submitted in a
mutually agreed upon format upon completion of monitoring?
___Yes. Report was submitted on__—______—---------.
___ No. Please explain.
___N/A.
C-10. Have you submitted a review and evaluation document,including recommendations
for network changes, for the SLAMS Network Review by the deadline of May 1?
___Yes. Submitted on___________ _for___ quarter.
___No.
C-11. Have you submitted the required Quarterly Status Report for evaluating adequacy
of the existing network to meet State and Federal standards?
___Yes.
___No. Please explain.
___NA
C-12. If any changes were made to your local monitoring network during a quarter, have
you determined whether the nearest practicable estimate of your actual cost
(including your required match of thirty three percent. (3396)) for the Monitoring
Program activities is less than or equal to the cumulative fixed monthly fee?
___ Yes.
___ No.
Texas Commission on Page 150 of 168 Contract
Environmental Quality 582-18-80091
Sections A- C are all part of this Checklist.
Authorized Signatory of Performing Party Date
Printed Name of Signatory
Texas Commission on Page 151 of 168 Contract
Environmental Quality 582-18-80091
Exhibit A-3
FY-2019 SECTION 105 CONTRACT QUARTERLY REPORT
Check List for Reimbursement Request Approval
QUARTER------------------- DATES ------------------- TO----------------
Sections A- C are all part of this Checklist.
A. Administrative Regulations
A-1. Have you reviewed your procurement systems for compliance with 40 CFR 35
according to the Procurement System Certification form (EPA form 5700-48) in your
Financial Application Package?
--- Yes. The certification was submitted on ------------------.
------------------
--- No. This is not our year to do this.
A-2. Have you purchased any property items with a unit acquisition cost of $1,000 or
more?
--- Yes. The request to purchase the property item(s) was approved by the TCEQ
on ---------------
---No. We have not made any such purchases.
A-3. Are you maintaining property records (performing physical inventory) as required?
---Yes. They are available in our office.
--- No. Please explain.
A-4. Is the quarterly HUB Progress Assessment Reports required in the Special
Terms and Conditions,Article 5.6 attached to this Reimbursement
Request?
---Yes.
---No. Please explain.
A-5. What is the date of your most recent independent audit report(required by OMB A-
133). Was this report submitted to the TCEQ Project Representative?
-_-Yes. Submitted on---------------.
-_-No. Please explain.
Texas Commission on Page 152 of 168 Contract
Environmental Quality 582-18-80091
A-6. Have you provided written response to the FY-2019 End-of-Year questionnaire
within thirty(30) days after receipt of the questionnaire?
___Yes. It was submitted on-----------------------------
---No. Please.explain.
___NA. Due in the 411 quarter of the Contract only.
A-7. Within thirty (30) days of receipt of your FY-2019 End-of-Year Report did you
provide information concerning actions to be taken to correct any deficiencies
found during the End-of-Year Review?
___Yes.
___ No. Please explain.
___NA. We had no deficiencies.
___ NA. Not due this quarter.
A-8. Have the deficiencies been corrected?
___Yes.
___No. We are still within the ninety(90) day window.
___ No. There are deficiencies that cannot be corrected within the allotted time-
frame.An explanation is attached.
___NA.
A-9. Have you performed a physical inventory of total property purchased with funds
provided by contracts with the TCEQ?
___Yes. The report has been submitted to the Contract Manager and is available
in our office.
___ No. Please explain.
___ NA. Due in the 41h quarter of the Contract only.
A-10. Have you reported any unresolved shortages or program losses exceeding$1,000
by the deadline of August 31, 2019?
___Yes. The report was submitted on_—---------r------V.__-
--
--- No. We have none to report.
___NA. Due in the 4th quarter of the Contract only.
Texas Commission on Page 153 of 168 Contract
Environmental Quality 582-18-80091
A-11. Is the final Financial Status Report for this Contract, along with a list of property
costing $1,000 or more and purchased with contract funds, attached to this
reimbursement request and being submitted no later than the deadline of
September 30, 2019?
___Yes.
___No. Please explain.
___NA. Due in the 4th quarter of the Contract only.
A-12. Have you submitted your funding application for FY-2020 within thirty(30) days
of receipt of funding allocation notification and current Funding Application
Package?
___Yes. It was submitted on-----------—----------—-------
---No. Projected submittal date: ---—_y-----------
---NA. Due in the 4th quarter of the Contract only.
A-13 You are required to provide matching funds of not less than thirty three percent
(33%) for the Section 105 Contract, part of which can be funds from the State
Compliance Contract. Funding allocated for Title V activities in the State
Compliance Contract cannot be used as match.You must demonstrate that funds
provided to your program under the Section 105 Contract do not cause failure of
the match requirements under the State Compliance Contract,which requires that
no more than sixty seven percent (67%) of total funding for this program comes
from State and Federal sources. Please list the breakdown for your FY-2018 air
program:
State Compliance Contract $ %
Section 105 Contract $ %
Other 105 Funds* $ %
City/County Funds $ %
Total $ 100%
* In order to accurately calculate your match under the terms of the State
Compliance Contract and the Section 105 Contract, you must include any
additional 105 funding you have received directly from the EPA that is not
processed through the TCEQ
Texas Commission on Page 154 of 168 Contract
Environmental Quality 582-18-80091
B. Quality Assurance Planning
B-1. Have you submitted a revised/updated Quality Management Plan or certification of
no changes by 120 days prior to the expiration of the most current TCEQ approved
Performing Party QW.
___Yes. The report was submitted on----------------------
---No. Please explain.
___ NA. Not due this quarter.
B-2. Have you submitted the revised/updated appendices detailing any exceptions or
differences in the Performing Party's implementation of the TCEQ QAPP, or a
certification that no changes were made, within 30 days of the request from the
Contract Administrator?
___ Yes. It was submitted on________________
___ No. Please explain.
___ NA. Not due this quarter.
Texas Commission on Page 155 of 168 Contract
Environmental Quality 582-18-80091
C. Monitoring Program
C-1. Have there been any changes to your Scope of Work (Statement of Services to be
performed)?
___ Yes.
___No.
C-2. Did your monitoring staff participate in any applicable training activities during this
reporting period?
___Yes. Please list.
___No.
C-3. Have you performed accuracy audits on at least twenty five percent (25%) of the
SLAMS/PAMS designated monitors during this reporting period?
___Yes. The report for this will be submitted within forty five (45) days of the end
of the quarter.
___No.
C-4. Have you collected air quality data during this quarter which you will submit to
TCEQ in a mutually agreed upon format?
Yes. The report will be submitted no later than
___No.
C-5. Was precision and accuracy data collected to quality assure the air data?
---Yes. The report will be submitted no later than—-------------------
--- No.
C-6. Have you experienced any significant equipment failure or instrument malfunction?
---Yes. Please explain.
___No.
C-7. Has thirty (30) days written notice been given prior to the start of any special
purpose monitoring?
___Yes. Notice and a summary report submitted on----------------------
--- No.
___ N/A. We have no new Special Purpose Monitoring.
Texas Commission on Page 156 of 168 Contract
Environmental Quality 582-18-80091
C-8. Has reporting of Special Purpose Monitoring data been submitted in a mutually
agreed upon format with quarterly data?
___Yes.
___No. Please explain.
___N/A.
C-9. Has a summary report of Special Purpose Monitoring results been submitted in a
mutually agreed upon format upon completion of monitoring?
___Yes. Report was submitted on--------------------
--- No. Please explain.
___N/A.
C-10. Have you submitted a review and evaluation document,including recommendations
for network changes, for the SLAMS Network Review by the deadline of May 1?
___ Yes. Submitted on-----------------for___ quarter.
___ No.
C-11. Have you submitted the required Quarterly Status Report for evaluating adequacy
of the existing network to meet State and Federal standards?
___Yes.
___ No. Please explain.
___ NA
C-12. If any changes were made to your local monitoring network during a quarter,have
you determined whether the nearest practicable estimate of your actual cost
(including your required match of thirty three percent(33%}}for Monitoring Program
activities is less than or equal to the cumulative fixed monthly fee?
___Yes.
___No.
Texas Commission on Page 157 of 168 Contract
Environmental Quality 582-18-80091
Sections A- C are all part of this Checklist.
Authorized Signatory of Performing Party Date
Printed Name of Signatory
Texas Commission on Page 158 of 168 Contract
Environmental Quality 582-18-80091
HUB Subcontracting Plan (HSP) Form B-1
Prime Contractor Progress Assessment Report
Thi's form . . , . . ..
Contract/Requisition Number: (a) Date of Award: (b) Object Code: c
(mm/ddlyyyy) (Agmwy Use Only)
Contracting Agency/University Name: (dl)
Contractor(Company)Name: (e) State of Texas VID#: (f)
Point of Contact: (g) Phone#: (h)
Reporting(Month)Period: (1) Total Amount Paid this Reporting Period to 0)
Report HUB and Non-HUB subcontractor information
Subcontractor's Name Subcontractor's VIA or 'Texas Total Contract$ Total$Amount Paid Total Contract$ CbjedCode
HUB Certificate Number Certified Amount from HSP This Reporting Period Amount Paid to (Agency use ony)
HUB? with,Subcontractor to Subcontractor Date to
(Yes or Subcontractor
(k1) (k2) (m) (n) (o) (P)
$- $- $-
• $ $ $-
Signature: Title: Date:
Note:HUB certification status can be verified on-line at: http://www2.cpa.state.tx.us/cmbl/hubonly.htmI Ree.ID/07
Texas Commission on Page 159 of 168 Contract
Environmental Quality 582-18-80091
Texas Commission on Environmental Quality
Historically Underutilized Business(HUS)
Instructions for prime.contractors on how to fill out the Progress Assessment Report(PAR)form. Refer to attached
PAR form in Excel.
(a) Contract/Requisition Number:enter your contract number,for example:582-12-
(b) Date of Award:enter award date of contract.
(c) Leave this blank;agency to fill-in.
(dl) Contracting Agency/University Name:enter Texas Commission on Environmental Quality
(d2) Enter Work Order number(example 228-0123,)and Invoice Number
(e) Contractor(Company)Name:enter your company name as stated in the Contract
(f) State of Texas VID#:Prime contractor Vendor Identification Number
(g) Point of Contact:enter company's representative
(h) Phone#:enter point of contact phone number,start with area code(xxx-yyy-zzzz)or your 1-800 number
(i) Reporting(month)period:enter invoice service period
(j) Total amount paid this reporting period to prime-contractor:Include lump sum of all totals paid to prime
contractor and all sub-contracting for this invoice period. This should equal in sum to the.prime contractor
invoice.
(kl) Subcontractor's name: list all your subcontractors.This will include all HUB and non-HUB Subcontractors
listed on the HUB Sub-contracting Plan,HSP.
(k2) Subcontractor's VID
(1) Texas Certified HUB?(Yes or.No):enter YES if the subcontractor is an Active HUB
(m) Total Contract S Amount from HSP with Subcontractor:enter the amount from HSP,by multiplying the
percentage goals with your Contract Amount.This amount will be the same throughout the life of the Contract,
unless an amendment has taken place.
(n) Total S Amount Paid This Reporting Period to Subcontractor:enter the participation amount from
Subcontractor for this invoice only.
(o) Total Contract S Amount Paid to Date to Subcontractor:enter the total amount for this subcontractor
invoicing from the initiation of this contract.
(p) Leave this blank;agency to fill-in.
If you have any questions please feel free to contact the TCEQ HUB office at 512/239-1273.
Texas Commission on Page 160 of 168 Contract
Environmental Quality 582-18-80091
Form-B-2
TCEQ PURCHASE VOUCHER rage_ _of
Agency No. 582 Agency Name Texas Cornnussion on EwirotunentA Quality C nTent Document No.
1. Date TCEQ Received 2. Service Dates 3. Contract/Purchase 4. Requested Payment 5. Payment Due
Invoice Order Date Date Date
6. Payee Idcutiftca6ou No. 8. Voucher Prepared By: Date:
7. Pay To (Payee Name/Address): 9. Contract Voucher Auditor. Date:
10. FINAL BILLING YES NO (Please circle one)
DOCS REF DOC SFX TRANS INDEX MOD AY 11. PCA PCC
FX CODE P
231
001
SEQ REQ NO COMP AGY OBj 12. AMOUNT RVS RTI NUMBER
NO. O$)
13. INVOICE NUMBER DESCRIPTION 14. CONTRACT GRANT PROJECT NO.
NO. NO.
DOCS REF DOC SFX TRANS INDEX MOD AY 11. PCA PCC
FX CODE P
231
001
SEQ REQ NO COMP AGY O$) 12. AMOUNT RVS RTI NUMBER
NO. O$)
13. INVOICE NUMBER DESCRIPTION 14. GRANTNO. PROJECT NO.
CONTRACr
NO.
15. DESCRIPTION OF GOODS or SERVICES 16. QUANTITY 17. UNIT 18. AMOUNT
PRICE
LEG.0 DESCRIPTIVE TEXT:
I approve this voucher for payment. T1ic above goods or services correspond in every particular pith the contact twder which thgv were purchased, The invoice for the goods or
sendces is con'ect. This payrueut complies ssith the General Appropriations Act.
19. DIVISION SIGN 19. Phone(Area 19. Date
APPROVAL HERE code and number)
BATCH NO BATCH DATE ENTERED BY DATE RELEASED BY
TYPE ENTERED RELEASED
4
DATE WULED OR WARRANT NUMBER DIRECT DEPOSIT TRANSMITTAL NUMBER
TRANSMTITED
Texas Commission on Page 161 of 168 Contract
Environmental Quality 582-18-80091
TCEQ INVOICE Form B-3
Agency No. Agency Name TCEQ Contract No. 582-18-
582 Texas Commission on Environmental Quality
Date
1. Payee Identification No. 2. Service Dates:
3, Pay To:(Payee Name/Address) 4. Prepared By:
5. FINAL BILLING: 6. This Invoice Amount: $
(Please circle one) YES NO
7. DELIVERABLES 8. QUANTITY 9. UNIT PRICE 10. AMOUNT 11. CUMULATIVE 12. CUMULATIVE
QUANTITY AMOUNT
Total Amount of Services Rendered S
Less 33%Match
Total S
Reimbursement
Total
'APPROVAL SIGNATURE REQUIRED FOR FINALBILLING ONLY.
1 sWeve dos telesse of the Balms for payment of any kinds due and Payable by the TCEQ pueuaM to the terms of the Contract M Attachment S.Article 2a.,enesed AFinal Payment RegaesL
17.PAYEE SIGN U:Iilnlad 15.D,W..
APPROVAL HERE: Nome
BATCH NOJTYPE DATE ENTERED ENTERED BY RELEASED BY DATE RELEASED INVOICE NUMBER RTI NUMBER O
I a o
C
N
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Texas Commission on Page 162 of 168 Contract
Environmental Quality 592.18.80091
Form B-4
Financial Status Report
1. iSTATE 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 YES NO
REPORT:
7. ACCOUNTING CASH ACCRUAL
BASIS:
8. IT
OTAL PROJECT/GRANT PERIOD: 9. PERIOD COVERED BY THIS REPORT:
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
f.Contractual
g.Construction
h.Other
i.Total Direct Costs
(Sum a h)
j.Indirect Costs
k.Total Costs (Sum of i
& j)
LRecipient Cost Share
(338)
MTotal Reimbursable
Costs (k-1)
*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
ATTyped or Printed Name and
itle
Telephone (Area code, number and Date Submitted
ext.)
Texas Commission on Page 163 of 168 Contract
Environmental Quality 582-18-80091
ITEMIZATION OF EQUIPMENT AND CONTRACTUAL COSTS
EQUIPMENT PURCHASES (during this re ort eriod)
NUMBER ITEM DESCRIPTION UNIT TOTAL TASKS
PURCHASED (Should match description provided for COST COST
approval)
TOTAL EQUIPMENT EXPENDITURES(must agree with line 10e on Form 269a)
CONTRACTUAL EXPENDITURES (during this report period)
SUBCONTRACTOR(NAME) FOR COST(THIS PERIOD) TASKS
TOTAL CONTRACTUAL EXPENDITURES(must agree with line 1 O on Form 269a) —J
"LEGIBLE PURCHASE ORDER AND/OR INVOICES MUST BE ATTACHED TO THIS FORM FOR EACH LISTED ITEM OR
EXPENDITURE.
Texas Commission on Page 164 of 168 Contract
Environmental Quality 582-18-80091
ITEMIZATION OF CONSTRUCTION COSTS
1CONSTRUCTION COSTS (during this report period)
DESCRIPTION [ PURPOSE COST(THIS PERIOD) TASKS
IF F
OTAL CONSTRUCTION EXPEND[TURES(must agree with line 10g on Form 269a)
"LEGIBLE DOCUMENTATION MUST BE ATTACHED FOR ALL LISTED EXPENDITURES.
Texas Commission on Page 165 of 168 Contract
Environmental Quality 582-18-80091
ITEMIZATION OF SUPPLY AND OTHER COSTS
SUPPLIES PURCHASED (during this report period)
NUMBER ITEM DESCRIPTION UNIT TOTAL TASKS
PURCHASED (Should match description provided forapproval) 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
I
I'
TOTAL OTHER 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.
Texas Commission on Page 166 or 1-68 Contract
Environmental Quality 582-18-80091
ITEMIZATION OF PERSONNEUSALARY AND TRAVEL COSTS
PERSONNEL/SALARY EXPENDITURES (during this report period)
EMPLOYEE NAME TITLE/POSITION SALARY(THIS TASKS
PERIOD
TOTAL PEf2SONNELISALARY EXPENDITURES (must agree with line 10a on Form 269a)
TRAVEL EXPENDITURES (during this report period)
DESCRIPTION REASON COST(THIS PERIOD TASKS
TOTAL TRAVEL EXPENDITURES (must agree with line 10c on $
Form 269a)
SUBSTANTIATING DOCUMENTATION(time sheets,travel receipts,etc.)MAY BE REQUIRED TO BE ATTACHED TO THIS FORM
Texas Commission on Page 167 of 168 Contract
Environmental Quality 582-18-80091
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 269a4 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 travelers,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.
Texas Commission on Page 168 of 168 Contract
Environmental Quality 582-18-80091
M&C Review Page 1 of 3
Official site of the City of Fort Worth,Texas
CITY COUNCIL AGENDANtor—
COUNCIL ACTION: Approved on 9/12/2017 -Ordinance No. 22864-09-2017
REFERENCE ** 23AIR MONITORING PM10
DATE: 9/12/2017 NO.: C-28367 LOG NAME: GRANT TCEQ CONTRACT
FY18 THRU FY19
CODE: C TYPE: CONSENT PUBLIC NO
HEARING:
SUBJECT: Authorize Execution of a Federally Funded Grant Agreement with the Texas Commission
on Environmental Quality in an Amount Not to Exceed $308,856.00 for Air Pollution
Control Services, Apply Indirect Costs at Approved Percentage Rate and Adopt
Appropriation Ordinance (ALL COUNCIL DISTRICTS)
RECOMMENDATION:
It is recommended that the City Council:
1. Authorize the execution of the Texas Commission on Environmental Quality Federally Funded Grant
Agreement for air pollution control services with a maximum amount of$308,856.00 for a two-year
term starting September 1, 2017 through August 31, 2019;
2. Authorize expense incurred from existing personnel for the City's in-kind match with an anticipated
value of$101,922.00 for the two-year term of September 1, 2017 through August 31, 2019;
3. Adopt the attached appropriation ordinance increasing estimated receipts and appropriations in the
Grants Fund in the amount of$308,856.00 for grant years 2017-2018 through 2018-2019, subject to
receipt of an executed Contract; and
4. Apply indirect costs at the most recently approved rate of 21.48 percent for the Code Compliance
Department.
DISCUSSION:
The City of Fort Worth operates a comprehensive air quality program under five separate, but related
contracts with the Texas Commission on Environmental Quality (TCEQ). This overall program benefits
the City by ensuring that facilities are in compliance with air quality regulations and by supporting
reliable data collection for air pollutants. This Agreement provides for data collection from monitoring
stations. If executed, this Agreement continues this program for the 2018 and 2019 fiscal years.
The Texas Commission on Environmental Quality (TCEQ) is the pass-through agency for all
Environmental Protection Agency(EPA) Section 105 Grant Funds. In cooperation with TCEQ , EPA
Section 105 Grant Funds have been received annually by the City to maintain and operate various
ambient air monitoring stations. This includes daily monitoring of ozone, oxides of nitrogen, solar
radiation, and meteorological data, as well as the monitoring of volatile organic compounds and
particulate matter.
Upon full execution of this contract amendment, the agreement will continue from September 1, 2017,
through August 31, 2019, with a limit in the amount of$206,934.00 for reimbursement of expenses to
the City. This Agreement requires an additional in-kind match of$101,922.00, which is $50,961.00 per
fiscal year. The Environmental Protection Fund provides for the required in-kind match. This contract
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includes the option to renew the Initial Contract for one additional two-year period upon written consent
of the parties.
M&C APPROVAL TCEQ CITY OF FORT
DOCUMENT NO. DATE GRANT WORTH IN-KIND TOTAL
Initial Pending Pending $206,934.00 $101,922.00 $308,856.00
Contract
SITE NAME CAMS # LOCATION CONTAMINANT CYCLE
DETECTION
Ozone Continuous
Keller CAMS Alta Vista Road, Fort Worth, Solar Radiation Continuous
0017 Texas
Meteorological Data Continuous
Oxides of Nitrogen Continuous
Arlington CAMS 5504 South Collins Street, Ozone Continuous
Municipal Airport 0061 Arlington, Texas Solar Radiation Continuous
11 Meteorological Data Continuous
Ozone
14290 Morris Dido Newark Continuous
Eagle Mountain CAMS
Lake 0075 Road, Eagle Mountain, Solar Radiation Continuous
Texas Continuous
Meteorological Data
Ozone Continuous
Parker County CAMS 3033 New Authon Road,0076 Weatherford, Texas Solar Radiation Continuous
Meteorological Data IContinuous
I ILL:
Johnson Count CAMS 2420 Luisa Lane, Alvarado, Volatile Organic Continuous
Luisa 1008 Texas Compounds
Particulate
Stagecoach NCAMS 8900 West Freeway, Fort Mater (<10 Every 6
Worth Texas days
microns)
This grant specifically covers the operation and maintenance of five Continuous Air Monitoring Stations
and one Non-Continuous Air Monitoring Station.
No City funds will be expended before the contract is approved. Upon approval and acceptance of the
grant and execution of the contract, City funds will be expended before receipt of grant funds.
This contract will be with a governmental entity, state agency or public institution of higher
education: Texas Commission on Environmental Quality.
FISCAL INFORMATION/CERTIFICATION:
The Director of Finance 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. The Code Compliance Department will be responsible for the
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M&C Review Page 3 of 3
collection and deposit of funds due to the City. Prior to expenditure being made, the Code Compliance
Department has the responsibility to validate the availability of funds. Match funding is provided from
the Environmental Protection Fund. This is a reimbursement grant.
TO
Fund Department Account Project Program Activity Budget Reference# Amount
ID ID Year Chartfield 2
FROM
Fund Department Account Project Program Activity Budget Reference# Amount
ID ID Year Chartfield 2
Submitted for City Manager's Office by: Fernando Costa (6122)
Originating Department Head: Brandon Bennett (6345)
Additional Information Contact: Cody Whittenburg (5455)
Elmer DePaula (7251)
ATTACHMENTS
ATTACHMENT- Map of PM10 Air Monitors.pdf
ATTACHMENT- Ordiance - PM10 Contract FY18.docx
htMv//annc rfixmat nrrr/rnnnril narlrat/mr raxAt-ar 0/1 VIM 7