HomeMy WebLinkAboutContract 51455e Q o wily of Fort Worth Whole Air Monitoring
TCEQ Contract Number: 582-19-90031
Texas Commission on Environmental Quality
Az U CONTRACT SIGNATURE PAGE
Contract Name: City of Fort Worth Whole Air Monitoring
Contract Number: 582-19-90031
Performing Party: City of Fort Worth 1 Tlynrf.
Performing Party Identification Number: 17560005286 Cjwg;i;T NO
Maximum Authorized Reimbursement: $386,000.00
Effective Date: ® 9/1/2018 ❑ Date of last signature
Expiration Date: ED 8/,31/2019 ❑ Last day of Fiscal Year in which the Contract was signed
❑ If checked, this Contract requires matching funds. Match Requirement:
® If checked, this Contract is funded with federal funds.
CFDA Number: 97.091
Federal Grant Number: 209119
This Contract is entered under: ❑ Govt Code ch. 771 (Interagency) ® Gov't Code ch. 791(Interlocal)
❑ Water Code § 5.229 (Intergovernmental) ❑ Water Code § 5.124 (Grant)
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 a nd TCEQ will
reimburse Allowable Costs subject to the Texas Uniform Grant Management Standards (UGMS) and this Contract.
Texas Commission on
Environmental Quality (TCEQ)
Authorized Signature
Ramiro Garcia Jr.
Printed Name
Deputy Director, Office of Compliance and Enforcement
Procurements ntracts Representative
Robert M. Apolinario, CTCM, CTPM
Printed Name
Date
OFF10AL RECORD
ar !iECRET"ARY
RFCF/V FT WORTH, T
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F0RWq�y r�' Texas Commision On
Environmental Quality
by;
19
City of Fort Worth
(Perf ing Party)
Au orized Signature
Ms. Valerie Washington
Printed Name
Assistant City Manager
Title
Date
...ANN ANN
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City'
M&C: L-;-,
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Page 1 of 79
City of Fort Worth Whole Air Monitoring
TCEQ Contract Number: 582-19-90031
CONTRACT DOCUMENTS LIST
Cooperative Reimbursement Contract
for State Agencies and Local Governments
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 Section (Including Federal Conditions and Completed Forms)
o Disclosure of Lobbying Activities
• Scope of Work
• General Terms and Conditions
• Cost Budget
• Notices, Project Representatives and Records Locations
• Attachment A - Release of Claims
• Attachment B - Budget Revision Request Form
• Attachment.0 - Safeguarding Sensitive But Unclassified Information
• Attachment D - Non -Disclosure Agreement
• Attachment E - Security Classification Guide
• Attachment F - Financial Status Report
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Environmental Quality
City of Fort Worth Whole Air Monitoring
Special Terms and Conditions
TCEQ Contract Number: 582-19-90031
These conditions add to, or in the case of conflicts, supersede and take precedence
over the general conditions set forth in this Contract.
1. The Contract period shall be in effect from Contract execution through August 31,
2019. TCEQ reserves the option to renew, by written agreement of the parties, the
Contract for three (3) additional one (1) year periods.
2. Any information provided to, gathered or produced by the PERFORMING PARTY in
connection with providing services under this Contract constitutes confidential
information under Texas Government Code, Sections 418.176, 418.177, and 418.181,
and the PERFORMING PARTY shall not release such information without prior written
authorization of TCEQ. Confidential information includes, but is not limited to, the
areas covered, the number of areas covered, the total number of monitors, the
numbers of monitors in any given area, the specific location of monitors, the types
of monitors, the identity of employees involved in the project, and the nature of the
parameters monitored.
3. Force Majeure.
If either party is delayed in carrying out its obligations due to acts of God, labor
stoppages, or other similar irresistible forces, the delayed Party shall give notice and
full particulars of such delay, supported by sufficient evidence, in writing, to the
other Party within a reasonable time after occurrence of the delay. The time of
performance by the delayed Party shall be extended for such a period of time as is
reasonably necessary to remedy the effects thereof. Force majeure does not include
ordinary delays that are common to the industry or location. Force majeure does not
include an event of the sort that this network is designed to detect.
4. Equipment.
a. Subject to the obligations and conditions set forth in this Contract, title to all
equipment acquired under this Contract shall vest, upon acquisition or
construction, in the PERFORMING PARTY.
b. PERFORMING PARTY agrees to conduct physical property inventories, to
maintain property records and necessary control procedures, and to provide
adequate maintenance with respect to all equipment acquired under this
Contract.
c. 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 State of Texas Comptroller of
Public Accounts shall be used as a guide for establishing such a system.
d. Property records must be maintained to include a description of the property, a
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Environmental Quality
City of Fort Worth Whole Air Monitoring
TCEQ Contract Number: 582-19-90031
serial number or other identification number, the source of property, who holds
title, the acquisition date, and the cost of the property, percentage of federal
participation in the cost of the property, the location, use and condition of the
property, and any ultimate disposition data including the date of disposal and
sale price of the property.
e. A physical inventory of all equipment acquired or replaced under this Contract
having an initial purchase price of Five Thousand Dollars ($5,000) or more shall
be conducted annually and the results of such inventories shall be reconciled
with the appropriate property records. Property control procedures utilized by
the PERFORMING PARTY shall include adequate safeguards to prevent loss,
damage, or theft of the acquired property. Any loss, damage or theft shall be
investigated. The PERFORMING PARTY agrees to develop and carry out a
program of property maintenance as necessary, to keep both originally acquired
and any replaced property in good condition, and to utilize proper sales
procedures to ensure the highest possible return, in the event such equipment
is sold.
f. All equipment acquired or replaced under this Contract shall be used for the
duration of its normally expected useful life to support the purposes of this
Contract whether or not the original projects or programs continue to be
supported by federal or state funds.
g. Subject to the provisions of this Article, if no longer needed for the support of
the authorized projects or programs referred to in the Scope of Work,
equipment acquired under this Contract, whether original or replacement, may
be used in support of other activities currently or previously supported by TCEQ
or the Federal Government, or alternatively, may be made available for use on
other projects or programs, providing such other use will not interfere with the
work on those projects or programs for which such equipment was originally
acquired.
h. PERFORMING PARTY may, for the purpose of replacing various equipment
utilized under this Contract, either trade or sell the equipment or properties
referred to in Paragraph 6(a) of the Special Terms and Conditions, and use the
proceeds of such trade or sale to offset the cost of acquiring needed
replacement property.
i. Items of equipment with a current per unit fair market value of less than One
Thousand Dollars ($1,000) maybe retained, sold or otherwise disposed of with
no further obligation to the awarding agency. Methods used to determine per
unit fair market value must be documented, kept on file and made available to
the awarding agency upon request.
Items of equipment with a current per unit market value of Five Thousand
Dollars ($5,000) or more may be retained or sold and the awarding agency shall
have a right to an amount calculated by multiplying the current market value or
proceeds from sale by the awarding agency's share of the equipment. Methods
used to determine per unit fair market value must be documented, retained on
file and made available to the awarding agency upon request.
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Environmental Quality
City of Fort Worth Whole Alr Monitoring
TCEQ Contract Number: 582-19-90031
j. If prior to the termination date of this Contract, the PERFORMING PARTY or its
subcontractors or sub -grantees determine that any equipment acquired with
funds provided as a result of this Contract is no longer needed for support of
the programs or projects referred to in the Scope of Work, TCEQ may require
the PERFORMING PARTY to transfer title and possession to such equipment to
TCEQ or a third party named by TCEQ
k. The PERFORMING PARTY agrees that if a determination is made within six (6)
years of the initiation date of this Contract, that any equipment acquired with
funds provided as a result of this Contract is no longer needed for support of
the programs or projects referred to in the Scope of Work, TCEQ has a right to
require the transfer of any equipment having a fair market, per unit value of
more than Five Thousand Dollars ($ 5,000) to TCEQ or a third party named by
TCEQ.
7. Administrative and Cost Principles. Performing Party agrees that the following
Administrative and Cost Principles, as applicable, apply to this Contract:
a. The Uniform Grant and Contract Management Act (UGCMA), Texas
Government Code, Section 783.001 et seq., and the Uniform Grant
Management Standards (UGMS) for State Agencies;
b. 2 Code of Federal Regulations (CFR) Part 200.
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Environmental Quality
City of Fort Worth Whole Air Monitoring
Federal Conditions and Forms
ARTICLE 1. FEDERAL REQUIREMENTS
TCEQ Contract Number: 582-19-90031
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, 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 and Forms 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 United States Government. All recipients must affix
the applicable copyright notices of 17 U.S.C. §§ 401 or 402 and an acknowledgement of
Government sponsorship (including award number) to any work first produced under Federal
financial assistance awards, unless the work includes any information that is otherwise
controlled by the Government (e.g., classified information or other information subject to
national security or export control laws or regulations). All recipients are subject to the specific
requirements governing the development, reporting, and disposition of rights to inventions and
patents resulting from financial assistance awards are in 37 C.F.R. Part 401 and the standard
patent rights clause in 37 C.F.R. § 401.14.
ARTICLE 3. ACKNOWLEDGMENT OF FINANCIAL SUPPORT
The Performing Party shall acknowledge the financial support of the TCEQ and the U.S.
Department of Homeland Security (DHS) 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 QUALITY AND
U.S. DEPARTMENT OF HOMELAND SECURITY
This project has been funded wholly or in part by the United States Department of Homeland
Security under assistance agreement (number) to Texas Commission on Environmental Quality.
ARTICLE 4. RECYCLED MATERIALS
All recipients must comply with section 6002 of the Solid Waste Disposal Act, as amended by
the Resource Conservation and Recovery Act. The requirements of Section 6002 include
procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at
40 C.F.R. Part 247 that contain the highest percentage of recovered materials practicable,
consistent with maintaining a satisfactory level of competition, where the purchase price of the
item exceeds 510,000 or the value of the quantity acquired by the preceding fiscal year
exceeded $10,000; procuring solid waste management services in a manner that maximizes
energy and resource recovery; and establishing an affirmative procurement program for
procurement of recovered materials identified in the EPA guidelines.
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Environmental Quality
City of Fort Worth Whole Air Monitoring
TCEQ Contract Number: 582-19-90031
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 §§
2 00.3 10 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 $750,000 or more a year in federal awards.
ARTICLE 7. SUSPENSION AND DEBARMENT
Performing Party shall fully comply with Subpart C of 2 CFR Part 180, 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 180, 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: httr)s://www.sam.gov/aortal/SAM/#1.
ARTICLE & PROHIBITION ON USE OF FEDERAL FUNDS FOR LOBBYING AND LITIGATION
1. The Performing Party agrees to comply with Title 31 U.S.C. § 1352. 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. 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
$10,000 and not more than $100,000 for each such expenditure.
ARTICLE 9. CIVIL RIGHTS OBLIGATIONS
1. In carrying out this agreement, the recipient must comply with:
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. Implementing regulations are
found at 6 C.F.R. Part 21 and 44 C.F.R. Part 7. For additional assistance and
information regarding language access obligations, please refer to the DHS
Recipient Guidance https://www.dhs.gov/guidance-published-help-department-
supported-organizations-provide-meaningful-accesspeople-limited and
additional resources on http://www.lep.gov.
b. Section 504 of the Rehabilitation Act of 1973, which prohibits discrimination
against persons with disabilities by entities receiving Federal financial assistance;
and
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Environmental Quality
City of Fort Worth Whole Alr Monitoring
TCEQ Contract Number: 582-19-90031
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. 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 that such
compliance programs exist and are being implemented or to otherwise demonstrate how
it is meeting its Title VI obligations.
4. All recipients must comply with Title VIII of the Civil Rights Act of 1968, which
prohibits recipients from discriminating in the sale, rental, financing, and advertising of
dwellings, or in the provision of services in connection therewith, on the basis of race,
color, national origin, religion, disability, familial status, and sex (42 U.S.C. § 3601 et
seq.), as implemented by the Department of Housing and Urban Development at 24
C.F.R. Part 100. The prohibition on disability discrimination includes the requirement
that new multifamily housing with four or more dwelling units—i.e., the public and
common use areas and individual apartment units (all units in buildings with elevators
and ground -floor units in buildings without elevators)—be designed and constructed
with certain accessible features (see 24 C.F.R. § 100.201).
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 180,
"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 106(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.
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.
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Environmental Quality
City of Fort Worth Whole Air Monitoring
TCEQ Contract Number: 582-19-90031
2. Hotel and Motel Fire Safety Act. Pursuant to 15 USC 222Sa, 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://apps.usfa.fema.gov/hotel/ to see if a property is in compliance, or to find other
information about the Act.
ARTICLE 14. FEDERAL FUNDING ACCO UNTABILITY AND TRANSPARENCY A CT (FFA TA)
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 Part 170, 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 16. COST AND PRICE OF THIS AGREEMENT
The Performing Party must comply with 2 C.F.R. § 200.323. The Performing Party may request
a form from TCEQ to use when performing a cost or price analysis.
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Environmental Quality
City of Fort Worth Whole Air Monitoring TCEQ Contract Number: 582-19-90031
ARTICLE 17. DHS REQUIREMENTS
All recipients must acknowledge and agree—and require any sub -recipients, contractors,
successors, transferees, and assignees acknowledge and agree—to comply with applicable
provisions governing DHS access to records, accounts, documents, information, facilities, and
staff.
Recipients must cooperate with any compliance review or complaint investigation
conducted by DHS.
Recipients must give DHS access to and the right to examine and copy records,
accounts, and other documents and sources of information related to the grant and
permit access to facilities, personnel, and other individuals and information as may be
necessary, as required by DHS regulations and other applicable laws or program
guidance.
3. Recipients must submit timely, complete, and accurate reports to the appropriate DHS
officials and maintain appropriate backup documentation to support the reports.
4. Recipients must comply with all other special reporting, data collection, and evaluation
requirements, as prescribed by law or detailed in program guidance.
If, during the past three years, the recipient has been accused of discrimination on the
grounds of race, color, national origin (including limited English proficiency), sex, age,
disability, religion, or familial status, the recipient must provide a list of all such
proceedings, pending or completed, including outcome and copies of settlement
agreements to the DHS awarding office and the DHS Office of Civil Rights and Civil
Liberties.
6. In the event any court or administrative agency makes a finding of discrimination on
grounds of race, color, national origin (including limited English proficiency), sex, age,
disability, religion, or familial status against the recipient, or the recipient settles a case
or matter alleging such discrimination, recipients must forward a copy of the complaint
and findings to the DHS Component and/or awarding office.
The United States has the right to seek judicial enforcement of these obligations.
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Environmental Quality
City of Fort Worth Whole Air Monitoring
TCEQ Contract Number: 582-19-90031
Instructions on how to fill out the attached Federal Forms:
1. 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.
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Environmental Quality
City of Fort Worth Whole Air Monitoring TCEQ Contract Number: 582-19-90031
DISCLOSURE OF LOBBYING ACTIVITIES 0348-0 ed by OMS
0348-0ed
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.
b. grant
b. initial award
material change
c. cooperative agreement
d. loan
c. post -award
For Material Change Only.
g y.
e. loan guarantee
year quarter
t. loan insurance
date of last report
4. Name and Address of Reporting Entity:
S. If Reporting Entity in No. 4 is Subawardee, Enter Name
❑ Prime ❑ Subawardee
and Address of Prime:
Tier if known:
Congressional District, if known:
Congressional District. if known:
6. Federal Department/Agency:
7. Federal Program Name/Description:
CFDA Number, if applicable:
S. Federal Action Number, if known:
9. Award Amount. if known:
S
10. a. Name and Address of Lobbying Entityy b. Individuals Performing Services (including address if
(if individual, last name, first name, MA: different from No. ioa)
(last name, firs! name, Ml):
atfach Conhnuahon SA r * SF -LU -A d n c ssa
11. Amount of Payment (check all that apply):
13. Type of Payment (check all that apply):
S ❑ actual ❑ planned
❑ a. retainer
❑ b. one-time fee
❑ c. commission
12. Form of Payment (check all that apply):
❑ a. cash.
❑ d. contingent fee
❑ b. in-kind; specify: nature
❑ e. deferred
❑ f. other; specify:
value
14. Brief Description of Services Perlormed of to be Performed and Dates) of Service, including officer(s), employee(s).
or Member(s) contacted, for Payment Indicated in Item 11:
attAch MIlinuation she'"J.1 sf-iii- if PI .ss
1S. Continuation Sheet(s) SF -LLL -A attached: ❑ Yes ❑ No
tn/e,nteU... req, td d ---q1 tM* fors. w —0..aed by ntb It USX.
Signature:
taclien uSi. Thi* s:.cfeaw. or lobbying sti..e:.* w a nat.ti.t repte/.rthtian
of fact upen wt*Kb foUa a w. ohced by the tier abon wMn thn
Print Name•.
tremactian w. r—& - .Mend int.. n.* &kl.on n —p -.d ptewr-t t.
11 U.S-C. ilS7. Thi* kftr,naTten -0 b. , nwnod to the Canpota fano.
Title:
anwuery arW -4 b. -6d bi. for Wrb" w,*P. bG . any pend, who hat to
Rh th. n q,.l..d &Kle—. -haa M wbi.ct w • c -A p.nalty el aw l.*t than
Telephone No.: Date:
s to mo .,a rot w,e+. then 1-m.ttoo ld ..ch such hat...
,..-. .._...
ra,d la tncal ttepred--ct ton
Texas Commision On Page 12 of 79
Environmental Quality
City of Fort Worth Whole Air Monitoring TCEQ Contract Number: 582-19-90031
DISCLOSURE OF LOBBYING ACTIVITIES Approveby OMS
0740& -0046
CONTINUATION SHEET
Reporting Enfitra Page of
AWhodxwd For incA R4productba
Srarrdacd Form - ULNA
Texas Commision On Page 13 of 79
Environmental Quality
City of Fort Worth Whole Air Monitoring
TCEQ Contract Number: 582-19-90031
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 Ming, pursuant to title 31 U.S.C.
section 1352. The filing of a form is required for each payment or ageement to make payment to any lobbying entity for
Influencing or attempting to influence an officer or employee of arty 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• LL -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 reported, enter the year and quarter in which the change occurred. Enter the date of the last
previously submitted report by this reporting entity for this covered Federal action.
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 if 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 are 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, state and
zip code of the prime Federal recipient. Include Congressional District, if known.
6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational
level below agency name, if known. For example, Department of Transportation, United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full
Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan
commitments.
8. Enter the most appropriate Federal identifying number available for the Federal action identified in item v (e.g.,
Request for Proposal (RFP) number. Invitation for Bid (IFS) number, grant announcement number, the contract,
grant, or loan award number, the applicationtproposal control number assigned by the Federal agency). Include
prefixes, e.g., "RFP -DE -90-001."
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the
Federal amount of the award/loan commitment for the prime entity identified in item 4 or 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). Check all boxes that apply. If payment Is made through an in-kind contribution,
specify the nature and value of the In-kind payment.
13. Check the appropriate box(es). Check all boxes that apply. of 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 officials) or employee(s) contacted or the officer(s),
employee(s), or Member(s) of Congress that were contacted.
1S. Check whether or not a SF -LLL -A Continuation Sheet(s) is attached.
16. The certifying official shill sign and date the form, print hisAher name, title, and telephone number.
Public reporting burden for this collection of irrforrnation k estlmated to avenge 30 rnirrtnes per response, including time for reviewirhs
instructions, searching existing data sources, gaitheriwhg and mafntahhing the data needed, and completing "reviewing the collection of
information. Send continents 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 Commision On Page 14 of 79
Environmental Quality
City of Fort Worth Whole Air Monitoring
TCEQ Contract Number: 582-19-90031
Scope of Work
A. Facts/Purpose
1. The Texas Commission on Environmental Quality (TCEQ) has a need to
contract for the service to operate and maintain a continuous, Whole Air
monitoring network in the Fort Worth Texas area.
2. In general, information about program operations, including but not limited
to, the locations and numbers of sites, cities, etc., is considered to be "For
Official Use Only" (FOUO), and Sensitive but Unclassified (SBU) information.
The PERFORMING PARTY will protect such information in accordance with
the U.S. Department of Homeland Security (DHS) Management Directive
11042.1 and the DHS Program Security Classification Guide (copies of both
documents are attached). As such, the PERFORMING PARTY cannot publish
reports or disseminate information about this program to persons without a
need to know unless otherwise approved in writing by DHS or TCEQ
Program Coordinator. Presentation content and a description of the
measures to be taken to maintain confidentiality of the material must be
approved in writing by DHS or TCEQ prior to its dissemination to persons
not routinely associated with day-to-day operations.
All PERFORMING PARTY personnel who may have access to SBU or FOUO
information will be required to sign the DHS Non -Disclosure Agreement
Form (DHS Form 11000-6 (08-04) copy attached).
3. The proposed work must be performed in compliance with all applicable
federal and state statutes, regulations, executive orders, Office of
Management and Budget (OMB) circulars, and the terms and conditions
presented herein.
4. The proposed work must also be performed in accordance with currently
applicable Standard Operating Procedures (SOP) developed by DHS
(reference follows), TCEQ, and the respective instrument manufacturers.
(Ref Field SOP -Version 5.0; Date Issued: April 2017 and Annex A; version 5.0;
Date Issued August 2017). In the event of conflict in procedural instructions,
instructions approved by DHS shall prevail.
S. Funds provided under this Contract may only be used for the purposes set
forth and relating to the program described below and are contingent on
continued federal funding.
B. TCEQ Responsibilities
1. Serves as liaison between the contract awardee and the Department of
Homeland Security on matters of BioWatch field operations in the state of
Texas. TCEQ Program Coordinator shall provide guidance on DHS directives,
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City of Fort Worth Whole Air Monitoring
TCEQ Contract Number: 582-19-90031
standard operating procedures, logistical annexes and contract/grant
requirements.
2. BioWatch Program Coordinator serves as both Contract and Grant Manager
for BioWatch program in the state of Texas. The program coordinator shall
serve as the intermediary between the contract awardee and DHS providing
guidance and directives on the Whole Air contract and grant.
3. Provides or facilitates the acquisition of DHS -authorized monitoring
equipment, parts, supplies and consumables needed for operation, repair,
and maintenance of all air monitoring equipment at all sites including
replacement of unserviceable equipment.
4. Conducts assessments of operational collector sites, as deemed necessary by
the program coordinator, ensuring site construction and configurations are
in compliance with DHS guidelines and standards.
S. Upon request of the contract awardee or as deemed necessary the TCEQ:
a.) Provides subject matter expertise and manpower in support of siting,
deploying and operating remote collectors during emergency response
activities and/or special event surge operations.
b.) Provides BioWatch specific emergency response training to field
operations team members.
c.) Provides guidance and assistance in the construction of new collector
sites and/or improvements of existing sites.
6. Conduct audit of contract when deemed necessary by TCEQ contract
specialist. Prior notice of audit will be given.
C. PERFORMING PARTY Responsibilities
The PERFORMING PARTY shall provide:
1. The capacity to readily transfer sensitive information through a secure
means such as the DHS BioWatch Portal, password -protected email and/or
DHS designated system.
2. Competent personnel who must meet the following requirements:
a. Have U.S. citizenship;
b. Have successfully passed a background or suitability investigation
consistent with specific guidance from DHS or the local Federal Bureau of
Investigation (FBI);
c. Have no criminal record of felonies; and
d. Have passed an "Initial Display of Analytical Capability (IDAC)" if
involved in the operation of a collector (form provided by TCEQ).
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City of Fort Worth Whole Air Monitoring TCEQ Contract Number: 582-19-90031
e. Sign a Non -Disclosure Statement
Failure to comply with these personnel requirements may be considered a
material failure to comply with the Contract Terms.
3. Communication device assigned to Lead Field Office (LFO) Manager (smart
phones or equivalent), Lead Field Operator or designated personnel who is
directly and routinely involved in field activities associated with
management of the network so that after-hours communication capability is
maintained.
4. Appropriate, readily -available vehicles for providing daily network
operations and maintenance duties as well as timely and applicable after-
hours activities associated with responding to an emergency action.
S. All minor equipment or supply components considered either durable (e.g.,
hinges, locks) or consumable/disposable (e.g., fuses, wiring, wipes, gloves)
and normally available at a local hardware or electronics store. All purchases
are subject to review. Single purchases exceeding $1,000 require prior TCEQ
written (email) approval.
D. Qualifications and Experience
1. Field operators shall have sufficient hands-on experience with the operation
and maintenance of low-volume, ambient -air particulate sample collectors, as
necessary to pass the IDAC as required in Article C.2.d. listed above, deploy,
operate, repair and maintain a 24hr/365 day a year biological air monitoring
network.
2. Field operators shall have knowledge of donning and doffing personnel
protective equipment (gloves) and specified packaging, decontamination and
chain of custody procedures of air samples for delivery to a designated
BioWatch laboratory.
3. Experience or knowledge of utilizing meteorological data in response
planning for a release of an aerosolized biological agent.
4. Experience or knowledge of conducting site/venue assessments for
deployment of air monitoring equipment assessing for security, power and
maximum air monitoring coverage.
S. Field operators shall be familiar with the Incident Command System (ICS) and
the National Incident Management System (NIMS). Official training in ICS (ICS
100 & ICS 200) and NIMS through FEMA Independent Study is preferred.
https:ZZtrainin,g.fema.gov/is/crshst.aspx?au=true
E. Description and Schedule of Deliverables
All deliverables must be in accordance with currently applicable DHS guidelines
and Standard Operating Procedures referenced in Article AA., listed above, and
any other guidance established by DHS, CDC (Centers for Disease Control and
Prevention), DHS -designated national laboratories, or TCEQ, as applicable.
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Environmental Quality
City of Fort Worth Whole Air Monitoring
TCEQ Contract Number: 582-19-90031
The PERFORMING PARTY shall provide:
1. Establish a Lead Field Office (LFO) and appropriate manpower levels to
perform collection of air -monitoring samples from all active collectors in the
network, seven (7) days a week/365 days a year.
2. Deliver daily samples to the designated analytical laboratory no later than
09:00 am and no later than three (3) hours following the collection of any
individual sample, unless otherwise approved by the Lead Laboratory
Manager and BAC Chairperson in coordination with the TCEQ BioWatch
Program Coordinator. If the 09:00am delivery time cannot be met then the
participating contractor must submit an exception report to the DHS
BioWatch Portal.
3. Perform daily collection operations and equipment
maintenance/replacement as well as special event monitoring as directed by
DHS and the local BioWatch Advisory Committee (BAC) in coordination with
TCEQ Program Coordinator. Daily collections and maintenance shall be
performed in accordance with DHS's BioWatch Field Operations Standards
Operating Procedures (SOP) and BioWatch Field Logistics Annex A.
4. Perform equipment maintenance and document maintenance on the
BioWatch Portal in accordance with DHS Field Operations SOP.
5. Lead Field Office shall establish and maintain a minimum 90 -day supply of
consumables (gloves, wipes, bags etc.) and portable sampling unit parts (O -
rings, fuses, wiring harnesses, timers, etc.). Reasonable effort should be
applied in acquiring all parts and consumables through DHS and/or TCEQ. .
All other approved supply chain mechanisms can be used if supply needs
cannot be met through DHS and/or TCEQ. Parts and consumables requiring
purchase through approved vendors (for example HiQ) shall be expensed to
contract.
6. Utilize DHS Sample Tracking Tool (STT) in performing daily collections. Field
operators shall follow DHS STT protocols and employ DHS approved STT
software and hardware.
7. Perform special event indoor and outdoor monitoring to include but not
limited to assessing venue for security, power and scientifically driven
placement of air monitoring equipment. Deploy, operate and demobilize
special event monitors. Coordinate and secure venue credentials for field
operators for the special events and coordinate activities with local officials,
TCEQ and DHS Jurisdictional Coordinator (JC). Costs associated with special -
event monitoring are not reimbursable under this Contract without prior
approval by TCEQ BioWatch Program Coordinator;
8. Lead Field Office (LFO), using the DHS BioWatch Portal, shall maintain an
accurate and current list of operational sites in the jurisdiction. The LFO
shall also maintain a current and accurate list of air collectors deployed at
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City of Fort Worth Whole Air Monitoring
TCEQ Contract Number: 582-19-90031
each site and link the collectors to the sites using the BioWatch portal.
Removal and replacement of a collector/s at a site constitute an exception
report on the BioWatch portal. See Article 12 of the scope of work for
exception reporting.
9. Participate in external audits of Field Operations. Audits of field operations
are directed and arranged by DHS; and scheduled with the Lead Field Office
in advance of the audit. The LFO shall comply with corrective actions
resulting from the field audit and report on the status of compliance to the
audit agency and DHS in coordination with TCEQ Program Coordinator.
1 O.Upon request, assist DHS, the BAC and/or TCEQ in the identification,
improvement, or relocation of new or existing collector sites.
11.LF0 shall provide one Field Operator to the BioWatch Advisory Committee
during response activities. The Field Operator shall provide the BAC with
information on the affected site, exceptions filed at the site and any
observations at the site outside of normal operations. LFO shall be prepared
to supply the BAC with additional air sampling units during a response and
coordinate surge/response activities with the TCEQ Program Coordinator.
12.Exception Reporting: LFO shall report any significant exceptions to the
normal sample -collection routine by utilizing the BioWatch Portal Exception
Reporting process. Report notification must be made as soon as possible
and no later than 3:00 pm on the day of discovery. Exceptions to normal
operations include, but are not limited to:
a. Collector failures or downtimes regardless of duration;
b. Site start-up or closure (whether seasonal, permanent, planned or
unexpected);
c. Collector relocations because of continual flooding, construction, or
other circumstances must receive prior approval. Site relocations,
whether planned or emergent, will be coordinated though DHS, in
coordination with TCEQ BioWatch Coordinator, with final approval
residing with DHS.
d. Any breach of security including tampering, break-in, theft, defacement,
or other suspicious activity;
e. Failure to meet sample delivery time (09:OOam) or exception that will
affect the daily routine of the lab (See Article E.2);
f. Any deviation from normal operations or to the approved and currently
applicable SOP; or,
g. Any changes in personnel whereby a person will be given access to
sensitive program information or whose existing access is being
eliminated or limited.
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Environmental Quality
City of Fort Worth Whole Air Monitoring TCEQ Contract Number: 582-19-90031
13. Provide a minimum of one (1) representative from the jurisdiction's Lead
Field Office to participate in the annual national workshop.
14. Lead Field Office shall provide initial, recurring or refresher training to Field
Operators in accordance with DHS Field Operations Logistics Annex A,
appendix C. The LFO shall identify trainers and maintain records that
indicate type and date of training. Retention of training records will be in
accordance with Table 10-2 of the Logistics Annex A.
15.Assist TCEQ, DHS JC, and local BioWatch Advisory Committee with post
detection Just -In -Time training for first responders. This training includes,
but not limited to site access, site specific details, sample collection,
documentation and chain of custody.
16.Web-Based Data Collection. Lead Field Office shall populate and update the
lists and data points described in Table 10-1 of the Field Operations
Logistics Annex A. This includes the following:
a. Field Personnel;
b. Site List;
c. Special Event Site List;
d. Exception Reports;
e. Maintenance Logs;
f. O&M Reports
17.Contract awardee shall submit invoices to the TCEQ Contract Specialist on a
monthly basis, unless otherwise directed by TCEQ or DHS, accompanied by a
detailed breakdown of expenditures including, but not limited to:
a. Personnel time billed to the contract by name, position, and cost;
b. Fringe Benefits;
c. Indirect Costs;
d. Vehicle Miles - broken down per vehicle, per month;
e. Vehicle maintenance (only actual work performed);
f. Fuel Costs;
g. Travel outside of the normal work routine, including
mileage/transportation, lodging, meals (including pre -approved travel
costs related to training);
h. Equipment (including pre -approved vehicle purchases);
i. Supplies; and,
j. Other relevant expenses (e.g. electric, cell phones and maintenance costs).
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Environmental Quality
City of Fort Worth Whole Air Monitoring
TCEQ Contract Number: 582-19-90031
All expenses for which reimbursement will be sought under this contract
must be 100% -related to program, actual incurred costs or otherwise
apportioned according to the percent of the expense that is specifically
related to this Scope of Work.
18.Establish and maintain an equipment inventory. Awardee shall submit an
annual inventory list to TCEQ by 1 August of each year to the TCEQ contract
specialist.
a. The inventory shall include an list of any equipment purchased and/or
provided by DHS or TCEQ having a cost of $ 5,000 or more per unit. The
inventory shall include a description of the item, serial number, DHS or
TCEQ inventory number (as applicable) and purchase amount. See Article
6(e) of the Special Terms and Conditions.
b. The inventory must include a separate list of all durable equipment
including air-samplers/collectors, hand-held measurement devices, or
other durable items purchased by Performing Party utilized in
performing the Scope of Work regardless of the source of funding.
19.Maintain a level of inter -governmental exchange and situational awareness
through substantial participation in local BioWatch Advisory Council
meetings and routinely schedule conference calls between the Lead Field
Office and TCEQ as well as LFO and DHS. The Lead Field Office shall
participate in local planning and training activities including, but not limited
to, attendance at local program -related meetings; participation in local and
regional exercises; maintaining routine communications with TCEQ; assist
TCEQ, upon request, with meeting local and statewide response -planning
objectives including collaboration with other program jurisdictions to
provide equipment and/or personnel support, and as requested or
necessitated by unforeseen events.
F. Acceptance Criteria
If, during any quarter, a 95% efficiency in filter delivery rate to the laboratory is
not met (excluding missed deliveries due to acts of God), TCEQ may take
actions consistent with Section 7 of the General Terms and Conditions.
Texas Commision On Page 21 of 79
Environmental Quality
City of Fort Worth Whole Air Monitoring
1. CONTRACT PERIOD
TCEQ Contract Number: 582-19-90031
GENERAL TERMS AND CONDITIONS
Cooperative Reimbursement Contract
for State Agencies and Local Governments
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 90 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.
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.S 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 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.
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Environmental Quality
City of Fort Worth Whole Air Monitoring TCEQ Contract Number: 582-19-90031
4.2. Conditional Payments. Reimbursements are conditioned on the Scope of Work being
performed in compliance with the Contract. Performing Party 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 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 Party 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
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Environmental Quality
City of Fort Worth Whole Air Monitoring
TCEQ Contract Number: 582-19-90031
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 may be
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
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 30
Texas Administrative Code Chapter 25, subchapters A and B, unless TCEQ agrees in
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City of Fort Worth Whole Air Monitoring
TCEQ Contract Number: 582-19-90031
writing to allow one of the regulatory exceptions specified in 30 Texas Administrative
Code Section 25.6.
10. 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, 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.
11. 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 BY LAW, 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 ACTMTIES 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 10 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 10 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
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performed, loss of 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.
13. 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.
15. 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 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 party.
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).
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TCEQ Contract Number: 582-19-90031
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 Party
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.
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.
16.11 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 206.50 and 213 for state agency web pages, web content, software, and
hardware, unless TCEQ agrees that exceptions or exemptions apply.
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TCEQ Contract Number: 582-19-90031
Cost Budget
Cooperative Reimbursement Contract
for State Agencies and Local Governments
1. Budget. Authorized budgeted expenditures for work performed are as follows:
Budget Category
Cost for Work to be Performed
Salary / Wages
$210,00.00
Fringe Benefits
$79,254.00
Travel
$4,126.44
Supplies
$26,000.00
Equipment
$4,000.00
Contractual
$0.00
Construction
$0.00
Other
$26,000.00
Indirect Costs
$36,619.56
Total
$386,000.00
2. Indirect Cost Reimbursable Rate. The reimbursable rate for this Contract is
12.66% of (check one):
❑ salary and fringe benefits
® modified total direct costs
❑ other direct costs base
If other direct cost base, identify:
This rate is less than or equal to (check one):
❑ Predetermined Rate—an audited rate that is not subject to 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.
3. Other. If Budget Category "Other" is greater than $25,000 or more than 10% of
budget total, identify the main constituents:
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4. 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.
5. 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.
6. Budget Control.
a. Cumulative transfers equal to or less than 10% 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 (10%) 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 10% limit does not reset with the approval
of each BRR. It resets when an amendment is signed by the parties reflecting
changes to the budget.
b. Cumulative transfers greater than 10% 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 10% 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.
7. Invoice Submittal. Unless otherwise stipulated in the Contract, invoices must be
submitted monthly and invoices shall be submitted within thirty (30) days after the
end of the month to the individual named in TCEQ Project Representatives and
Records Location. Final invoices shall be submitted within one (1) calendar month
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.
8. Supporting Records. Performing Party shall submit records and documentation to
TCEQ as appropriate for the review and approval of reimbursing costs. TCEQ may
reject 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.
9. Indirect Costs. Performing Party's indirect costs will be reimbursed at the
reimbursable rate entered above. If no reimbursable rate is shown above, indirect
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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.
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TCEQ Contract Number: 582-19-90031
Notices, Representatives, And Records Location
Contract Number: 582-19-90031
Contract Name: Whole Air Monitoring
1. Representatives. The individual(s) named below are the representatives of TCEQ and Contractor. They are authorized to
give and receive communications and directions on behalf of the TCEQ and Contractor 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 representatives by unilateral amendment.
3. TCEQ Representatives.
TCEQ CONTRACT MANAGER
(for Contractual Matters)
lk-m"It"U71111111
Contract Manager 177
(Title) (Mail Code)
Texas Commission on Environmental Quality
P.O. Box 13087
Austin, Texas 78711-3087
Telephone No.: (512)239-6761
Facsimile No.: (512)239-0404
TCEQ PROJECT MANAGER
f3�i1F�F[$
Whole Air Coordinator 177
(Title) (Mail Code)
Texas Commission on Environmental Quality
P.O. Box 13087
Austin, Texas 78711-3087
Telephone No.: (512)239-63o6
Facsimile No.: (512)239-0404
4. Contractor Representatives.
For Contractual Matters:
Anthony Williams
(Name)
Environmental Supervisor
(Title) 200 Texas Street
tort ordress) TX 76102
W tthh
(City)
(State) (Zip Code)
Telephone No.:
817092-5462
Facsimile No.:
flri M=
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Environmental Quality
TCEQ PROJECT MANAGER
(For Homeland Security)
Michelle Havelka. Manager
]homeland Security Section 177
(Title) Mail Code
Texas Commission on Environmental Quality
P.O. Box 13087
Austin, Texas 78711-3087
Telephone No.: (512)239-3828
Facsimile No.: (512)239-0404
For Technical Matters:
Daniel Fernandez
(Name)
Senior Environmental Specialist
CrA Texas Street
o1i-�rVoft) TX 76102
(City) (State) (Zip Code)
Telephone No.: C§ 13 3 92- 5444
Facsimile No.: (S 17) 3.92- 6359
City of Fort Worth Whole Air Monitoring TCEQ Contract Number: 582-19-90031
5. Invoice Submittal. Invoices must be submitted to the TCEQ Contract Manager.
6. Designated Location for Records Access and Review. Contractor designates the physical location indicated below
for record access and review pursuant to any applicable provision of this contract:
908 Monroe Street
(Physical Location Address Line i)
(Physical Location Address Line 2)
Fort Worth, TX 76102
(City),(State),(Zip Code)
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TCEQ Contract Number: 582-19-90031
Attachment A:
Release of Claims
(Must be returned with last invoice per General Term and Condition Section 4.4)
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TCEQ Contract Number: 582-19-90031
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 582-19-90031, 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)
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TCEQ Contract Number: 582-19-90031
Attachment B:
Budget Revision Request Form
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TCEQ Contract Number: 582-19-90031
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 10% of the total
budget.
Instructions: Complete 1. - 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
c. Travel
d. Supplies
e. Equipment
f. Contractual
g. Construction
h. Other
i.Total Direct Costs (sum a - h)
j. Indirect Costs ( ___% x S_____ Salary)
k.Total (sum i & j)
Justification (Attach additional sheets, if necessary):
**k 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
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Attachment C:
TCEQ Contract Number: 582-19-90031
Safeguarding Sensitive But
Unclassified Information
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1. Purpose
TCEQ Contract Number: 582-19-90031
Department of Homeland Security
Management Directive System
MD Number: 11042.1
SAFEGUARDING SENSITIVE
BUT UNCLASSIFIED
(FOR OFFICIAL USE ONLY)
INFORMATION
1.6.2005
This directive establishes Department of Homeland Security (DHS) policy regarding the
identification and safeguarding of sensitive but unclassified information originated within
DHS. It also applies to other sensitive but unclassified information received by DHS
from other government and non-governmental activities.
2. Scope
This directive is applicable to all DHS Headquarters, components, organizational
elements, detailees, contractors, consultants, and others to whom access to information
covered by this directive is granted.
3. Authorities
Homeland Security Act of 2002.
4. Definitions
Access: The ability or opportunity to gain knowledge of information.
For Official Use Only (FOUO): The term used within DHS to identify
unclassified information of a sensitive nature, not otherwise categorized by
statute or regulation, the unauthorized disclosure of which could adversely
impact a person's privacy or welfare, the conduct of Federal programs, or other
programs or operations essential to the national interest. Information impacting
the National Security of the United States and classified Confidential, Secret, or
Top Secret under Executive Order 12958, "Classified National Security
Information," as amended, or its predecessor or successor orders, is not to be
considered FOUO. FOUO is not to be considered classified information.
Need -to -know. The determination made by an authorized holder of information
that a prospective recipient requires access to specific information in order to
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perform or assist in a lawful and authorized governmental function, i.e., access is
required for the performance of official duties.
Organizational Element: As used in this directive, organizational element is as
defined in DHS MD Number 0010.1, Management Directive System and DHS
Announcements.
Protected Critical Infrastructure Information (PCII): Critical infrastructure
information (CII) is defined in 6 U.S.C. 131(3) (Section 212(3) of the Homeland
Security Act). Critical infrastructure information means information not
customarily in the public domain and related to the security of critical
infrastructure or protected systems. Protected Critical Infrastructure Information
is a subset of CII that is voluntarily submitted to the Federal Government and for
which protection is requested under the PCII program by the requestor.
Sensitive Security Information (SSI): Sensitive security information (SSI) is
defined in 49 C.F.R. Part 1520. SSI is a specific category of information that
requires protection against disclosure. 49 U.S.C. 40119 limits the disclosure of
information obtained or developed in carrying out certain security or research and
development activities to the extent that it has been determined that disclosure of
the information would be an unwarranted invasion of personal privacy; reveal a
trade secret or privileged or confidential commercial or financial information; or
be detrimental to the safety of passengers in transportation.
5. Responsibilities
A. The DHS Office of Security will:
1. Be responsible for practical application of all aspects of the program to
protect FOUO.
2. Promulgate Department -wide policy guidance.
3. Develop and implement an education and awareness program for the
safeguarding of FOUO and other sensitive but unclassified information.
B. Heads of DHS Organizational Elements will:
1. Ensure compliance with the standards for safeguarding FOUO and other
sensitive but unclassified information as cited in this directive.
2. Designate an official to serve as a Security Officer or Security Liaison.
C. The organizational element's Security Officer/Security Liaison will:
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Be responsible for implementation and oversight of the FOUO information
protection program and will serve as liaison between the DHS Office of Security
and other organizational security officers.
D. DHS employees, detailees, contractors, consultants and others to whom access
is granted will:
1. Be aware of and comply with the safeguarding requirements for FOUO
information as outlined in this directive.
2. Participate in formal classroom or computer based training sessions
presented to communicate the requirements for safeguarding FOUO and other
sensitive but unclassified information.
3. Be aware that divulging information without proper authority could result in
administrative or disciplinary action.
E. Contractors and Consultants shall:
Execute a DHS Form 11000-6, Sensitive But Unclassified Information Non -
Disclosure Agreement (NdA), as a condition of access to such information.
Other individuals not assigned to or contractually obligated to DHS, but to whom
access to information will be granted, may be requested to execute an NdA as
determined by the applicable program manager. Execution of the NdA shall be
effective upon publication of this directive and not applied retroactively.
F. Supervisors and managers will:
1. Ensure that an adequate level of education and awareness is established
and maintained that serves to emphasize safeguarding and prevent unauthorized
disclosure of FOUO information.
2. Take appropriate corrective actions, to include administrative or
disciplinary action as appropriate, when violations occur.
6. Policy and Procedures
A. General
1. The Computer Security Act of 1987, Public Law 100-235, defines
"sensitive information" as "any information, the loss, misuse, or unauthorized
access to or modification of which could adversely affect the national interest or
the conduct of Federal programs, or the privacy to which individuals are entitled
under Section 552a of Title 5, United States Code (the Privacy Act) but which
has not been specifically authorized under criteria established by an executive
order or an act of Congress to be kept secret in the interest of national defense
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or foreign policy." However, with the exception of certain types of information
protected by statute, specific, standard criteria and terminology defining the types
of information warranting designation as "sensitive information" does not exist
within the Federal government. Such designations are left to the discretion of
each individual agency.
2. Within the "sensitive but unclassified" arena, in addition to the various
categories of information specifically described and protected by statute or
regulation, e.g., Tax Return Information, Privacy Act Information, Sensitive
Security Information (SSI), Critical Infrastructure Information (CII), Grand Jury
Information, etc. There are numerous additional caveats used by various
agencies to identify unclassified information as sensitive, e.g., For Official Use
Only; Law Enforcement Sensitive; Official Use Only; Limited Official Use; etc.
Regardless of the caveat used to identify it, however, the reason for the
designation does not change. Information is designated as sensitive to control
and restrict access to certain information, the release of which could cause harm
to a person's privacy or welfare, adversely impact economic or industrial
institutions, or compromise programs or operations essential to the safeguarding
of our national interests.
3. information shall not be designated as FOUO in order to conceal
government negligence, ineptitude, illegalities, or other disreputable
circumstances embarrassing to a government agency.
4. Information designated as FOUO is not automatically exempt from
disclosure under the provisions of the Freedom of Information Act, 5 U.S.C. 552,
(FOIA). Information requested by the public under a FOIA request must still be
reviewed on a case-by-case basis.
B. For Official Use Only
Within DHS, the caveat "FOR OFFICIAL USE ONLY" will be used to identify
sensitive but unclassified information within the DHS community that is not
otherwise specifically described and governed by statute or regulation. The use
of these and other approved caveats will be governed by the statutes and
regulations issued for the applicable category of information.
C. Information Designated as FOUO
1. The following types of information will be treated as FOUO information.
Where information cited below also meets the standards for designation pursuant
to other existing statutes or regulations, the applicable statutory or regulatory
guidance will take precedence. For example, should information meet the
standards for designation as Sensitive Security Information (SSI), then SSI
guidance for marking, handling, and safeguarding will take precedence.
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(a) Information of the type that may be exempt from disclosure per 5
U.S.C. 552, Freedom of Information Act, and its amendments.
Designation of information as FOUO does not imply that the information is
already exempt from disclosure under FOIA. Requests under FOIA, for
information designated as FOUO, will be reviewed and processed in the
same manner as any other FOIA request.
(b) Information exempt from disclosure per 5 U.S.C. 552a, Privacy Act.
(c) Information within the international and domestic banking and
financial communities protected by statute, treaty, or other agreements.
(d) Other international and domestic information protected by statute,
treaty, regulation or other agreements.
(e) Information that could be sold for profit.
(f) Information that could result in physical risk to personnel.
(g) DHS information technology (IT) internal systems data revealing
infrastructure used for servers, desktops, and networks; applications
name, version and release; switching, router, and gateway information;
interconnections and access methods; mission or business use/need.
Examples of information are systems inventories and enterprise
architecture models. Information pertaining to national security systems
and eligible for classification under Executive Order 12958, as amended,
will be classified as appropriate.
(h) Systems security data revealing the security posture of the system.
For example, threat assessments, system security plans, contingency
plans, risk management plans, Business Impact Analysis studies, and
Certification and Accreditation documentation.
(i) Reviews or reports illustrating or disclosing facility infrastructure or
security vulnerabilities, whether to persons, systems, or facilities, not
otherwise eligible for classification under Executive Order 12958, as
amended.
0) Information that could constitute an indicator of U.S. government
intentions, capabilities, operations, or activities or otherwise threaten
operations security.
(k) Developing or current technology, the release of which could hinder
the objectives of DHS, compromise a technological advantage or
countermeasure, cause a denial of service, or provide an adversary with
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sufficient information to clone, counterfeit, or circumvent a process or
system.
2. Other government agencies and international organizations may use
different terminology to identify sensitive information, such as "Limited Official
Use (LOU)," and "Official Use Only (OUO)." In most instances the safeguarding
requirements for this type of information are equivalent to FOUO. However,
other agencies and international organizations may have additional requirements
concerning the safeguarding of sensitive information. Follow the safeguarding
guidance provided by the other agency or organization. Should there be no such
guidance, the information will be safeguarded in accordance with the
requirements for FOUO as provided in this manual. Should the additional
guidance be less restrictive than in this directive, the information will be
safeguarded in accordance with this directive.
D. Designation Authority
Any DHS employee, detailee, or contractor can designate information falling
within one or more of the categories cited in section 6, paragraph C, as FOLIO.
Officials occupying supervisory or managerial positions are authorized to
designate other information, not listed above and originating under their
jurisdiction, as FOUO.
E. Duration of Designation
Information designated as FOUO will retain its designation until determined
otherwise by the originator or a supervisory or management official having
program management responsibility over the originator and/or the information.
F. Marking
1. Information designated as FOUO will be sufficiently marked so that
persons having access to it are aware of its sensitivity and protection
requirements. The lack of FOUO markings on materials does not relieve the
holder from safeguarding responsibilities. Where the FOUO marking is not
present on materials known by the holder to be FOUO, the holder of the material
will protect it as FOUO. Other sensitive information protected by statute or
regulation, e.g., PCII and SSI, etc., will be marked in accordance with the
applicable guidance for that type of information. Information marked in
accordance with the guidance provided for the type of information need not be
additionally marked FOUO.
(a) Prominently mark the bottom of the front cover, first page, title
page, back cover and each individual page containing FOUO information
with the caveat "FOR OFFICIAL USE ONLY."
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(b) Materials containing specific types of FOLIO may be further marked
with the applicable caveat, e.g., "LAW ENFORCEMENT SENSITIVE," in
order to alert the reader of the type of information conveyed. Where the
sensitivity of the information warrants additional access and dissemination
restrictions, the originator may cite additional access and dissemination
restrictions. For example:
WARNING: This document is FOR OFFICIAL USE ONLY (FOLIO). It is to
be controlled, stored, handled, transmitted, distributed, and disposed of in
accordance with DHS policy relating to FOLIO information. This
information shall not be distributed beyond the original addressees without
prior authorization of the originator.
(c) Materials being transmitted to recipients outside of DHS, for
example, other federal agencies, state or local officials, etc. who may not
be aware of what the FOLIO caveat represents, shall include the following
additional notice:
WARNING: This document is FOR OFFICIAL USE ONLY (FOLIO). It
contains information that may be exempt from public release under the
Freedom of Information Act (5 U. S. C. 552). It is to be controlled, stored,
handled, transmitted, distributed, and disposed of in accordance with DHS
policy relating to FOLIO information and is not to be released to the public
or other personnel who do not have a valid "need -to -know" without prior
approval of an authorized DHS official.
(d) Computer storage media, i.e., disks, tapes, removable drives, etc.,
containing FOLIO information will be marked "FOR OFFICIAL USE
ONLY."
(e) Portions of a classified document, i.e., subjects, titles, paragraphs,
and subparagraphs that contain only FOLIO information will be marked
with the abbreviation (FOUO).
(f) Individual portion markings on a document that contains no other
designation are not required.
(g) Designator or originator information and markings, downgrading
instructions, and date/event markings are not required.
G. General Handling Procedures
Although FOLIO is the DHS standard caveat for identifying sensitive unclassified
information, some types of FOLIO information may be more sensitive than others
and thus warrant additional safeguarding measures beyond the minimum
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requirements established in this manual. For example, certain types of
information may be considered extremely sensitive based on the repercussions
that could result should the information be released or compromised. Such
repercussions could be the loss of life or compromise of an informant or
operation. Additional control requirements may be added as necessary to afford
appropriate protection to the information. DHS employees, contractors, and
detailees must use sound judgment coupled with an evaluation of the risks,
vulnerabilities, and the potential damage to personnel or property as the basis for
determining the need for safeguards in excess of the minimum requirements and
protect the information accordingly.
1. When removed from an authorized storage location (see section 6.1) and
persons without a need -to -know are present, or where casual observation would
reveal FOLIO information to unauthorized persons, a "FOR OFFICIAL USE
ONLY" cover sheet (Enclosure 1) will be used to prevent unauthorized or
inadvertent disclosure.
2. When forwarding FOLIO information, a FOLIO cover sheet should be
placed on top of the transmittal letter, memorandum or document.
3. When receiving FOLIO equivalent information from another government
agency, handle in accordance with the guidance provided by the other
government agency. Where no guidance is provided, handle in accordance with
the requirements of this directive.
H. Dissemination and Access
1. FOLIO information will not be disseminated in any manner - orally,
visually, or electronically - to unauthorized personnel.
2. Access to FOLIO information is based on "need -to -know" as determined
by the holder of the information. Where there is uncertainty as to a person's
need -to -know, the holder of the information will request dissemination
instructions from their next -level supervisor or the information's originator.
3. The holder of the information will comply with any access and
dissemination restrictions.
4. A security clearance is not required for access to FOLIO information.
5. When discussing or transferring FOLIO information to another
individual(s), ensure that the individual with whom the discussion is to be held or
the information is to be transferred has a valid need -to -know, and that
precautions are taken to prevent unauthorized individuals from overhearing the
conversation, observing the materials, or otherwise obtaining the information.
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6. FOUO information may be shared with other agencies, federal, state,
tribal, or local government and law enforcement officials, provided a specific
need -to -know has been established and the information is shared in furtherance
of a coordinated and official governmental activity. Where FOUO information is
requested by an official of another agency and there is no coordinated or other
official governmental activity, a written request will be made from the requesting
agency to the applicable DHS program office providing the name(s) of personnel
for whom access is requested, the specific information to which access is
requested, and basis for need -to -know. The DHS program office shall then
determine if it is appropriate to release the information to the other agency
official. (see section 61 for marking requirements)
7. Other sensitive information protected by statute or regulation, i.e., Privacy
Act, CII, SSI, Grand Jury, etc., will be controlled and disseminated in accordance
with the applicable guidance for that type of information.
8. If the information requested or to be discussed belongs to another agency
or organization, comply with that agency's policy concerning third party discussion
and dissemination.
9. When discussing FOUO information over a telephone, the use of a STU III
(Secure Telephone Unit), or Secure Telephone Equipment (STE), is encouraged,
but not required.
I. Storage
1. When unattended, FOUO materials will, at a minimum, be stored in a
locked file cabinet, locked desk drawer, a locked overhead storage compartment
such as a systems furniture credenza, or similar locked compartment. Materials
can also be stored in a room or area that has sufficient physical access control
measures to afford adequate protection and prevent unauthorized access by
members of the public, visitors, or other persons without a need -to -know, such as
a locked room, or an area where access is controlled by a guard, cipher lock, or
card reader.
2. FOUO information will not be stored in the same container used for the
storage of classified information unless there is a correlation between the
information. When FOUO materials are stored in the same container used for
the storage of classified materials, they will be segregated from the classified
materials to the extent possible, i.e. separate folders, separate drawers, etc.
3. IT systems that store FOUO information will be certified and accredited for
operation in accordance with federal and DHS standards. Consult the DHS
Information Technology Security Program Handbook for Sensitive Systems,
Publication 4300A, for more detailed information.
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4. Laptop computers and other media containing FOUO information will be
stored and protected to prevent loss, theft, unauthorized access and
unauthorized disclosure. Storage and control will be in accordance with DHS
Information Technology Security Program Handbook for Sensitive Systems,
Publication 4300A.
J. Transmission
Transmission of hard copy FOUO within the U.S. and its Territories:
(a) Material will be placed in a single opaque envelope or container and
sufficiently sealed to prevent inadvertent opening and to show evidence of
tampering. The envelope or container will bear the complete name and
address of the sender and addressee, to include program office and the
name of the intended recipient (if known).
(b) FOUO materials may be mailed by U.S. Postal Service First Class
Mail or an accountable commercial delivery service such as Federal
Express or United Parcel Service.
(c) FOUO materials may be entered into an inter -office mail system
provided it is afforded sufficient protection to prevent unauthorized access,
e.g., sealed envelope.
2. Transmission to Overseas Offices: When an overseas office is serviced
by a military postal facility, i.e., APO/FPO, FOUO may be transmitted directly to
the office. Where the overseas office is not serviced by a military postal facility,
the materials will be sent through the Department of State, Diplomatic Courier.
3. Electronic Transmission.
(a) Transmittal via Fax. Unless otherwise restricted by the originator,
FOUO information may be sent via nonsecure fax. However, the use of a
secure fax machine is highly encouraged. Where a nonsecure fax is
used, the sender will coordinate with the recipient to ensure that the
materials faxed will not be left unattended or subjected to possible
unauthorized disclosure on the receiving end. The holder of the material
will comply with any access, dissemination, and transmittal restrictions
cited on the material or verbally communicated by the originator.
(b) Transmittal via E -Mail
(i) FOUO information transmitted via email should be protected
by encryption or transmitted within secure communications
systems. When this is impractical or unavailable, FOUO may be
transmitted over regular email channels. For added security, when
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transmitting FOUO over a regular email channel, the information
can be included as a password protected attachment with the
password provided under separate cover. Recipients of FOUO
information will comply with any email restrictions imposed by the
originator.
(ii) Per DHS MD 4300, DHS Sensitive Systems Handbook, due
to inherent vulnerabilities, FOUO information shall not be sent to
personal email accounts.
(c) DHS Internet/Intranet
(i) FOUO information will not be posted on a DHS or any other
internet (public) website.
(ii) FOLIO information may be posted on the DHS intranet or
other government controlled or sponsored protected encrypted data
networks, such as the Homeland Security Information Network
(HSIN). However, the official authorized to post the information
should be aware that access to the information is open to all
personnel who have been granted access to that particular intranet
site. The official must determine the nature of the information is
such that need -to -know applies to all personnel; the benefits of
posting the information outweigh the risk of potential compromise;
the information posted is prominently marked as FOR OFFICIAL
USE ONLY; and information posted does not violate any provisions
of the Privacy Act.
K. Destruction
1. FOUO material will be destroyed when no longer needed. Destruction may be
accomplished by:
(a) "Hard Copy" materials will be destroyed by shredding, burning, pulping,
pulverizing, such as to assure destruction beyond recognition and reconstruction.
After destruction, materials may be disposed of with normal waste.
(b) Electronic storage media shall be sanitized appropriately by
overwriting or degaussing. Contact local IT security personnel for
additional guidance.
(c) Paper products containing FOUO information will not be disposed of in
regular trash or recycling receptacles unless the materials have first been
destroyed as specified above.
L. Incident Reporting
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1. The loss, compromise, suspected compromise, or unauthorized disclosure
of FOUO information will be reported. Incidents involving FOUO in DHS IT
systems will be reported to the organizational element Computer Security
Incident Response Center in accordance with IT incident reporting requirements.
2. Suspicious or inappropriate requests for information by any means, e.g.,
email or verbal, shall be report to the DHS Office of Security.
3. Employees or contractors who observe or become aware of the loss,
compromise, suspected compromise, or unauthorized disclosure of FOUO
information will report it immediately, but not later than the next duty day, to the
originator and the local Security Official.
4. Additional notifications to appropriate DHS management personnel will be
made without delay when the disclosure or compromise could result in physical
harm to an individual(s) or the compromise of a planned or on-going operation.
5. At the request of the originator, an inquiry will be conducted by the local
security official or other designee to determine the cause and affect of the
incident and the appropriateness of administrative or disciplinary action against
the offender.
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THE ATTACHED MATERIALS CONTAIN DEPARTMENT OF HOMELAND SECURITY
INFORMATION THAT IS "FOR OFFICIAL USE ONLY," OR OTHER TYPES OF
SENSITIVE BUT UNCLASSIFIED INFORMATION REQUIRING PROTECTION
AGAINST UNAUTHORIZED DISCLOSURE. THE ATTACHED MATERIALS WILL BE
HANDLED AND SAFEGUARDED IN ACCORDANCE WITH DHS MANAGEMENT
DIRECTIVES GOVERNING PROTECTION AND DISSEMINATION OF SUCH
INFORMATION.
AT A MINIMUM, THE ATTACHED MATERIALS WILL BE DISSEMINATED ONLY ON A
"NEED -TO -KNOW" BASIS AND WHEN UNATTENDED, WILL BE STORED IN A
LOCKED CONTAINER OR AREA OFFERING SUFFICIENT PROTECTION AGAINST
THEFT, COMPROMISE, INADVERTENT ACCESS AND UNAUTHORIZED
DISCLOSURE.
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Attachment D:
Non -Disclosure Agreement
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City of Fort Worth Whole Air Monitoring TCEQ Contract Number: 582-19-90031
DEPARTMENT OF HOMELAND SECURITY
NON -DISCLOSURE AGREEMENT
I, an individual official, employee, consultant, or subcontractor of or to
(the Authorized Entity), intending to be legally bound, hereby consent to the terms in this
Agreement in consideration of my being granted conditional access to certain information, specified below, that is owned
by, produced by, or in the possession of the United States Government.
(Signer will acknowledge the category or categories of information that he or she may have access to, and the signer's willingness to
comply with the standards for protection by placing his or her initials in front of the applicable category or categories.)
Initials: Protected Critical Infrastructure Information (PCII)
I attest that I am familiar with, and I will comply with all requirements of the PCII program set out in the Critical
Infrastructure Information Act of 2002 (CII Act) (Title II, Subtitle B, of the Homeland Security Act of 2002, Public Law
107-296, 196 Stat. 2135, 6 USC 101 et seq.), as amended, the implementing regulations thereto (6 CFR Part 29), as
amended, and the applicable PCII Procedures Manual, as amended, and with any such requirements that may be
officially communicated to me by the PCII Program Manager or the PCII Program Manager's designee.
Initials: Sensitive Security Information (SSI)
I attest that I am familiar with, and 1 will comply with the standards for access, dissemination, handling, and safeguarding
of SSI information as cited in this Agreement and in accordance with 49 CFR Part 1520, 'Protection of Sensitive Security
Information," "Policies and Procedures for Safeguarding and Control of SSI," as amended, and any supplementary
guidance issued by an authorized official of the Department of Homeland Security.
Initials: Other Sensitive but Unclassified (SBU)
As used in this Agreement, sensitive but unclassified information is an over -arching term that covers any information, not
otherwise indicated above, which the loss of, misuse of, or unauthorized access to or modification of could adversely
affect the national interest or the conduct of Federal programs, or the privacy to which individuals are entitled under
Section 552a of Title 5, as amended, but which has not been specifically authorized under criteria established by an
Executive Order or an Act of Congress to be kept secret in the interest of national defense or foreign policy. This includes
information categorized by DHS or other government agencies as: For Official Use Only (FOUO); Official Use Only
(OUO); Sensitive Homeland, Security Information (SHSI); Limited Official Use (LOU); Law Enforcement Sensitive (LES);
Safeguarding Information (SGI); Unclassified Controlled Nuclear Information (UCNI); and any other identifier used by
other government agencies to categorize information as sensitive but unclassified.
I attest that I am familiar with, and I will comply with the standards for access, dissemination, handling, and safeguarding
of the information to which I am granted access as cited in this Agreement and in accordance with the guidance provided
to me relative to the specific category of information.
1 understand and agree to the following terms and conditions of my access to the information indicated above:
1. 1 hereby acknowledge that I have received a security indoctrination concerning the nature and protection of information to which I
have been provided conditional access, including the procedures to be followed in ascertaining whether other persons to whom I
contemplate disclosing this information have been approved for access to it, and that I understand these procedures.
2. By being granted conditional access to the information indicated above, the United States Government has placed special
confidence and trust in me and I am obligated to protect this information from unauthorized disclosure, in accordance with the
terms of this Agreement and the laws, regulations, and directives applicable to the specific categories of information to which 1 am
granted access.
3. 1 attest that I understand my responsibilities and that I am familiar with and will comply with the standards for protecting such
information that I may have access to in accordance with the terms of this Agreement and the laws, regulations, and/or directives
applicable to the specific categories of information to which I am granted access. I understand that the United States Government
may conduct inspections, at any time or place, for the purpose of ensuring compliance with the conditions for access, dissemination,
handling and safeguarding information under this Agreement.
DHS Form 11000-6 (08-04)
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4. 1 will not disclose or release any information provided to me pursuant to this Agreement without proper authority or
authorization. Should situations arise that warrant the disclosure or release of such information I will do so only under
approved circumstances and in accordance with the laws, regulations, or directives applicable to the specific categories of
information. I will honor and comply with any and all dissemination restrictions cited or verbally relayed to me by the proper
authority.
5. (a) For PCII - (1) Upon the completion of my engagement as an employee, consultant, or subcontractor under the
contract, or the completion of my work on the PCII Program, whichever occurs first, I will surrender promptly to the PCII
Program Manager or his designee, or to the appropriate PCII officer, PCII of any type whatsoever that is in my possession.
(2) If the Authorized Entity is a United States Government contractor performing services in support of the PCII Program, I
will not request, obtain, maintain, or use PCII unless the PCII Program Manager or Program Manager's designee has first
made in writing, with respect to the contractor, the certification as provided for in Section 29.8(c) of the implementing
regulations to the CII Act, as amended.
(b) For SSI and SBU - I hereby agree that material which I have in my possession and containing information covered by
this Agreement, will be handled and safeguarded in a manner that affords sufficient protection to prevent the unauthorized
disclosure of or inadvertent access to such information, consistent with the laws, regulations, or directives applicable to the
specific categories of information. I agree that I shall return all information to which I have had access or which is in my
possession 1) upon demand by an authorized individual; and/or 2) upon the conclusion of my duties, association, or
support to DHS; and/or 3) upon the determination that my official duties do not require further access to such information.
6. 1 hereby agree that I will not alter or remove markings, which indicate a category of information or require specific
handling instructions, from any material I may come in contact with, in the case of SSI or SBU, unless such alteration or
removal is consistent with the requirements set forth in the laws, regulations, or directives applicable to the specific
category of information or, in the case of PCII, unless such alteration or removal is authorized by the PCII Program
Manager or the PCII Program Manager's designee. I agree that if I use information from a sensitive document or other
medium, I will carry forward any markings or other required restrictions to derivative products, and will protect them in the
same matter as the original.
7. 1 hereby agree that I shall promptly report to the appropriate official, in accordance with the guidance issued for the
applicable category of information, any loss, theft, misuse, misplacement, unauthorized disclosure, or other security
violation, I have knowledge of and whether or not I am personally involved. I also understand that my anonymity will be kept
to the extent possible when reporting security violations.
8. If I violate the terms and conditions of this Agreement, such violation may result in the cancellation of my conditional
access to the information covered by this Agreement. This may serve as a basis for denying me conditional access to other
types of information, to include classified national security information.
9. (a) With respect to SSI and SBU, I hereby assign to the United States Government all royalties, remunerations, and
emoluments that have resulted, will result, or may result from any disclosure, publication, or revelation of the information
not consistent with the terms of this Agreement.
(b) With respect to PCII I hereby assign to the entity owning the PCII and the United States Government, all royalties,
remunerations, and emoluments that have resulted, will result, or may result from any disclosure, publication, or revelation
of PCII not consistent with the terms of this Agreement.
10. This Agreement is made and intended for the benefit of the United States Government and may be enforced by the
United States Government or the Authorized Entity. By granting me conditional access to information in this context, the
United States Government and, with respect to PCII, the Authorized Entity, may seek any remedy available to it to enforce
this Agreement including, but not limited to, application for a court order prohibiting disclosure of information in breach of
this Agreement. I understand that if I violate the terms and conditions of this Agreement, I could be subjected to
administrative, disciplinary, civil, or criminal action, as appropriate, under the laws, regulations, or directives applicable to
the category of information involved and neither the United States Government nor the Authorized Entity have waived any
statutory or common law evidentiary privileges or protections that they may assert in any administrative or court proceeding
to protect any sensitive information to which I have been given conditional access under the terms of this Agreement.
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11. Unless and until I am released in writing by an authorized representative of the Department of Homeland Security (if
permissible for the particular category of information), I understand that all conditions and obligations imposed upon me by
this Agreement apply during the time that I am granted conditional access, and at all times thereafter.
12. Each provision of this Agreement is severable. If a court should find any provision of this Agreement to be
unenforceable, all other provisions shall remain in full force and effect.
13. My execution of -this Agreement shall not nullify or affect in any manner any other secrecy or non -disclosure Agreement
which I have executed or may execute with the United States Government or any of its departments or agencies.
14. These restrictions are consistent with and do not supersede, conflict with, or otherwise alter the employee obligations,
rights, or liabilities created by Executive Order No. 12958, as amended; Section 7211 of Title 5, United States Code
(governing disclosures to Congress); Section 1034 of Title 10, United States Code, as amended by the Military
Whistleblower Protection Act (governing disclosure to Congress by members of the military); Section 2302(b)(8) of Title 5,
United States Code, as amended by the Whistleblower Protection Act (governing disclosures of illegality, waste, fraud,
abuse or public health or safety threats); the Intelligence Identities Protection Act of 1982 (50 USC 421 et seq.) (governing
disclosures that could expose confidential Government agents); and the statutes which protect against disclosure that may
compromise the national security, including Sections 641, 793, 794, 798, and 952 of Title 18, United States Code, and
Section 4(b) of the Subversive Activities Act of 1950 (50 USC 783(b)). The definitions, requirements, obligations, rights,
sanctions, and liabilities created by said Executive Order and listed statutes are incorporated into this agreement and are
controlling.
15. Signing this Agreement does not bar disclosures to Congress or to an authorized official of an executive agency or the
Department of Justice that are essential to reporting a substantial violation of law.
16. 1 represent and warrant that I have the authority to enter into this Agreement.
17. 1 have read this Agreement carefully and my questions, if any, have been answered. I acknowledge that the briefing
officer has made available to me any laws, regulations, or directives referenced in this document so that I may read them at
this time, if I so choose.
DEPARTMENT OF HOMELAND SECURITY
NON -DISCLOSURE AGREEMENT
Acknowledgement
Typed/Printed Name: Government/Department/Agency/Business Address I Telephone Number:
I make this Agreement in good faith, without mental reservation or purpose of evasion.
Signature:
WITNESS:
Typed/Printed Name:
Signature:
Date:
Government/Department/Agency/Business Address I Telephone Number:
Date:
This form is not subject to the requirements of P.L. 104-13, "Paperwork Reduction Act of 1995" 44 USC, Chapter 35.
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Attachment E:
Security Classification
Guide
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DEPARTMENT OF HOMELAND SECURITY
BioWatch Program
SECURITY CLASSIFICATION GUIDE
Issued and Approved By:
Richard M. McComb
DHS SCG OCSO-007.1
C.:)'
ziy
October 2017
otiP'-�F,�
Chief Security Officer
Department of Homeland Security
g&7 Z,-7
Date
This -guide supersedes DHS SCG OCSO-007, (December 2012), which is hereby cancelled.
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DHS SCG OCSO-007.1
BioWatch Program Security Classification Guide
October 2017
Department of Homeland Security
Office of the Chief Security Officer
Washington D.C. 20528
Change Number
Date of Change Notice
DHS SCG OS -100
May 6, 2006 (Initial Version)
DHS SCG OCSO-007
December 2012
DHS SCG OCSO-007.1
October 2017
In accordance with DHS Instruction 121-01-011 (Ch. 2, Sec. 1.E.6.d.vii), reviewed by:
OCSO/NSSD Representative
September 5, 2017
Date
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BIO WATCH PROGRAM
SECURITY CLASSIFICATION GUIDE
TABLE OF CONTENTS
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3
PAGE
1
GENERAL
4
1.1
PURPOSE
4
1.2
AUTHORITY
4
1.3
SCOPE AND APPLICABILITY
4
1.4
OFFICE OF PRIMARY RESPONSIBILITY
4
2
POLICY
5
2.1
GENERAL
5
2.2
REASON FOR CLASSIFICATION
6
2.3
FOREIGN DISCLOSURE
6
2.4
CLASSIFICATION BY COMPILATION
6
2.5
EXCEPTIONAL CIRCUMSTANCES
7
2.6
CHALLENGES TO CLASSIFICATION
7
2.7
USE OF THIS GUIDE
7
2.8
MARKING
8
2.9
CLASSIFIED PROCESSING
9
2.10
REPRODUCTION AND DISSEMINATION
9
3
RELEASE OF INFORMATION
9
3.1
PUBLIC RELEASE
9
3.2
SENSITIVE BUT UNCLASSIFIED INFORMATION
9
4
EFFECTIVE DATE AND IMPLEMENTATION
9
CLASSIFICATION GUIDANCE
10
DEFINITIONS
17
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GENERAL
1.1 PURPOSE
TCEQ Contract Number: 582-19-90031
This Department of Homeland Security (DHS) Security Classification Guide (SCG) is issued for
the purpose of identifying specific topics of information associated with the BioWatch Program
in the Office of Health Affairs (DHA) that meet the standards and criteria for classification and
protection in accordance with Executive Order (E.O.) 13526, Classified National Security
Information, and its implementing directives. The guide also provides topics of information that do
not meet the standards and criteria for classification under E.O. 13526, but are nonetheless
sensitive and require protection against unauthorized disclosure. Such sensitive but unclassified
information shall be categorized as "FOR OFFICIAL USE ONLY" (FOLIO), or another approved,
applicable caveat and marked as applicable to reflect that status.
1.2 AUTHORITY
This guide is approved by Richard McComb, DHS, a delegated TOP SECRET Original
Classification Authority. It is issued in accordance with E.O. 13526.
1.3 SCOPE AND APPLICABILITY .
This document provides security classification guidance for information associated with the
BioWatch Program. This guide shall be cited as the basis for classification, reclassification, and
declassification of information and materials under DHS cognizance and control related to the
BioWatch Program. Changes in classification guidance required for operational necessity will be
made immediately upon notification and concurrence of the approving authority and will be
disseminated to original recipients of this guide. The provisions of. this guide are applicable to all
Components, offices, contractors, detailees, and other persons who create products that contain
information on subjects covered by this guide and under the auspices of the Department of
Homeland Security.
1.4 OFFICE OF PRIMARY RESPONSIBILITY
The Office of Primary Responsibility (OPR) for this guide is:
Department of Homeland Security
Office of Health Affairs
Attn: The BioWatch Program
Washington, DC 20528
Telephone: 202-254-6469 Email: BioWatch(a)hg.dhs.gov
The office of secondary responsibility for this guide is:
Department of Homeland Security
Office of the Chief Security Officer (OCSO)
National Security Services Division
Security Policy & Implementation Branch
Washington, DC 20528
Telephone: (202) 447-5969 Fax: (202) 447-5312 Email: NSSD hq.dhs.gov
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2 POLICY
2.1 GENERAL
The BioWatch Program's mission is to operate a nationwide aerosol detection system providing
early warning across all levels of government to support public health and emergency
management communities to prepare for and respond to a biological incident. BioWatch is an
early warning system designed to detect the intentional release of select aerosolized biological
agents. It is a cornerstone in the comprehensive strategy for countering terrorism. The main
objective of the BioWatch Program is to effectively detect a bio -terrorist event and to enable more
effective mitigation of consequences. The program achieves more effective mitigation of
consequences by assisting federal, State, and local public health officials and emergency
management officials (stakeholders) to prepare for and rapidly and effectively respond to a bio -
terrorist attack. The nature of these objectives may require the proper and efficient handling of
classified data.
The BioWatch Program operates nationwide and partners with State and local agencies, to
include public health agencies and their laboratories. In addition, multiple federal agencies are
involved with the development, deployment, and functions of the BioWatch Program, including
DHS; Department of Energy; Department of Health and Human Services, Centers for Disease
Control and Prevention and the Assistant Secretary for Preparedness and Response;
Environmental Protection Agency; Department of Justice, FBI; and the Department of Defense.
Therefore, it is imperative that every effort is made to facilitate the rapid, effective and secure
exchange of critical information.
The purpose of the BioWatch SCG is to facilitate a standardized and efficient classification
management program. This SCG provides detailed classification guidance on program -specific
information for use in applying appropriate security classification markings. It provides initial
guidance as to what topics of program -specific information should or should not be classified,
reasons for classification, and how long the information is to remain classified. The SCG is
intended to provide guidance to facilitate the proper and uniform derivative classification of
information.
DHS acknowledges that, in the interests of national security, classification of data is required.
However, over -classification or unnecessary classification creates an undue economic burden,
requires expenditure of funds and commitment of resources, and dilutes the legitimacy of
properly classified information. For the BioWatch Program, over -classification carries the extra
burden of potential public health harm. DHS officials involved in the classification process for the
BioWatch Program shall comply with DHS standards and ensure integrity of the system is
maintained by implementing a sound classification management program, while balancing the
need to provide appropriate information to state and local officials to ensure proper daily
operations, as well as during an emergency to save lives. The BioWatch Program focuses on
homeland security needs and consequently has significant partnerships with State and local
officials and the private sector. These individuals, many of whom do not have security
clearances, must make informed decisions based on awareness of technology specifications and
limitations. Therefore, in crafting this SCG, effort has been made to balance the competing
demands of this complex program.
Assessing the risks of classification, as well as the costs and benefits of implementing this SCG
for the BioWatch Program will be an ongoing process and will require close coordination with
federal, State, and local agencies participating in the BioWatch Program to ensure effective
classification policy is implemented.
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2.2 REASON FOR CLASSIFICATION
Classification is reserved for specific categories of information or the compilation of related
information meeting the standards and criteria for classification as defined in E.O. 13526 and
falling within one or more of the categories of information eligible for classification per Section 1.4
of the Order. The topics of information cited in this guide are classified pursuant to:
1.4 (c) intelligence activities (including covert action), intelligence sources or methods, or
cryptology,
1.4 (e) scientific, technological, or economic matters relating to the national security,-
1.4
ecurity,1.4 (g) vulnerabilities or capabilities of systems, installations, infrastructure, projects,
plans, or protection services relating to the national security,
1. 4 (h) the development, production, or use of weapons of mass destruction.
2.3 FOREIGN DISCLOSURE
The DHS OHA programs sometimes require exchanges of information with foreign governments
or international organizations. Unconstrained sharing of information with foreign entities is not
automatic and must be in accordance with protocols established in the National Industrial
Security Program as implemented by DHS Instruction 121-01-011, Administrative Security
Program; Intelligence Community Directive 403, Foreign Disclosure and Release of Classified
National Intelligence; as well as the Department of Defense Manual 5220.22-M, National
Industrial Security Program Operating Manual (NISPOM) and applicable U.S. export control
regulations.
Any classified information provided by another U.S. government agency should be reviewed and
cleared with the originator prior to release to foreign governments. The transfer of articles and
services and related technical data (unclassified or classified) to a foreign national or the physical
movement of articles and technical data to any foreign destination constitutes an export. The
export of both unclassified and classified information may be restricted by the International Traffic
in Arms Regulations (15 C.F.R. Parts 120-130) and Export Administration Regulations
(15 C.F.R. Parts 730-744). If you have questions or concerns about an export control matter,
please contact the Office of Intelligence and Analysis, DHS Foreign Disclosure Office at
202-282-8978 for guidance.
2.4 CLASSIFICATION BY COMPILATION
A compilation of unclassified information is normally not classified. However, in certain
circumstances, information that would otherwise be marked unclassified may become classified
when combined or associated with other unclassified information, if the compiled information
reveals an additional association or relationship, not otherwise evident by the individual items of
information, that meets the standards and criteria for classification. Under such circumstances, it
is the additional association or relationship revealed by the combination or compilation of
information that is classified, not the individual items of information. Careful consideration must
be taken when determining the need for classification by compilation. When the determination is
made that classification by compilation is necessary, if not already covered in this or another
approved SCG, the determination must be presented to an OCA for a classification decision. If
the OCA determines a compilation of unclassified information is classified, the OCA must provide
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explicit instructions as to what elements of the compilation, when combined, constitutes
classification and the additional association or relationship that warrants the classification. Users
of this SCG should be aware of such a possibility when compiling unclassified information (see
2.5 below).
Likewise, the compilation of classified information will be classified, at a minimum, at the highest
classification within the aggregated data, but it may become a higher classification if the compiled
information reveals an additional association or relationship that warrants a higher level of
classification (see 2.5 below). Individual portion markings, however, must reflect the highest level
of classification in that portion 2DIy - not the classification of the entire compilation.
2.5 EXCEPTIONAL CIRCUMSTANCES
Should a situation arise where a holder of information believes the information should be
classified, but it is not covered by this classification guide, or, a compilation of unclassified
information should be classified or, if already classified, classified at a higher level, the
information will be handled and safeguarded in accordance with the level of classification the
holder believes it to be.
In such instances, the information will be marked with the tentative level of classification and the
notation, "Pending Classification Review."
The information will be transmitted by a means approved for the level of classification to the OPR
identified in Section 1.4 of this guide for a classification determination.
2.6 CHALLENGES TO CLASSIFICATION
If at any time a user of this guide or its derivative products believes that the application of a
security classification to a specific topic or topics of information is inappropriate, they are
expected and encouraged to challenge the classification. Should security classification guidance
contained herein be challenged, the items of information involved shall continue to be protected
at the level prescribed by this guide until such time as a formal decision by an appropriate
authority is made. Classification challenges should be addressed to the OPR identified in Section
1.4 of this guide. Appeal procedures to classification determinations are found in DHS Instruction
121-01-011 (Chapter 2, Section 4.A), or successor Instructions.
Classification challenges are not confined to classification guidance provided in this or other
guides but to any classified product created by DHS or any other agency. In all cases, authorized
holders of classified information are expected and encouraged to challenge what they believe to
be inappropriate classifications.
2.7 USE OF THIS GUIDE
This guide is for the use of DHS employees, detailees, contractors, and other personnel who are
authorized to perform derivative classification actions based on requirements outlined in
E.O. 13526 and implementing DHS policies. Such authority is based on the completion of
derivative classification training at least once every two years. For information on completion of
the required training, contact the OCSO Training Branch at (202) 447-0950 or via email at
securitytraining(dit.dhs.gov or your local security official.
General guidance is added prior to each topic to provide an overarching summary of the topic
material at hand. The guidance provides individuals with a brief description of the topic and those
areas that require protection, as seen by the subject matter experts writing the guide. The
summary is general in nature and broken down to be understood by individuals not familiar with
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the program or the topic in question. However, derivative decisions should be based on individual
topics; the general guidance should only be the framework within which their decisions are made.
2.8 MARKING
For the purpose of marking documents containing classified information covered by this guide,
derivative classifiers will cite "DHS SCG OCSO-007.1, dated October 2017" on the "Derived
From" line, followed by the declassification instructions specified in the guide. For example:
Classified By: (Name and title of derivative classifier)
Derived From: DHS SCG OCSO-007.1, dated October 2017
Declassify On: (Insert declassification instruction as cited for the particular
Topic in the SCG)
If classified information covered by this guide, as well as classified information from other
classified sources, is included in the same document, the document will be marked as follows:
Classified By: (Name and title of derivative classifier)
Derived From: (List each classified source individually, or, enter "Multiple Sources"
and list each source individually elsewhere in the document, e.g., as an attachment
or addendum).
Declassify On: (Carry forward the single most restrictive declassification instruction from
all source documents)
NOTE: If "Multiple Sources" are used for a derivatively classified document, a record of the
sources used will be cited on every copy of the document.
Where the declassification instruction from a source is marked "OADR" or "Originating Agency
Determination Required," "MR" or "Manual Review," or any of the exemption markings X1
through X8, the declassification instructions for the newly created document will be dated 25
years from date of document in question. For example:
Classified By: (Name and title of derivative classifier)
Derived From: Identity and Date of Sources
Declass On: Dated 25 years from date of document in question
Detailed instructions for marking classified materials can be found in the Information Security
Oversight Office (ISOO) pamphlet titled "Marking Classified National Security Information." The
ISOO Marking Pamphlet is available for download at
http://www.archives.gov/isoo/training/marking-booklet.pdf. You can also download it from the
DHS intranet via DHS Connect >Organization > Components > Management (MGMT) > Office of
the Chief Security Officer > Safeguarding Information > then scroll to ISOO Marking Booklet.
Training on marking classified materials can be obtained by contacting the DHS OCSO Training
Branch at (202) 447-0950 or via email at securitytraining(@hg.dhs.gov.
2.9 CLASSIFIED PROCESSING
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Classified information will not be processed on any automated IT equipment unless the
equipment has been specifically accredited and approved for classified processing. Consult
OCSO or Component Security Office for instructions on what equipment may be used.
2.10 REPRODUCTION AND DISSEMINATION
This guide may be reproduced and disseminated within DHS as needed; however, to ensure
receipt of updates, revisions, and classification changes, whenever the guide is disseminated
beyond an initial addressee, notify the OPR.
Coordinate dissemination to government agencies outside of DHS through the OPR.
3 RELEASE OF INFORMATION
3.1 PUBLIC RELEASE
This guide is designated "FOR OFFICIAL USE ONLY" (FOUO) and will not be released to the
public. Requests for copies of this guide by non-governmental officials will be processed under
the Freedom of Information Act. The fact that this guide indicates some information may be
unclassified does not imply the information is automatically releasable to the public. Requests for
public release of information will be processed in accordance with DHS Directive 262-11,
Freedom of Information Act Compliance.
3.2 SENSITIVE BUT UNCLASSIFIED INFORMATION (SBU)
The classification guide applies to information that requires protection to prevent damage to the
national security and thus meets the standards and criteria for classification in accordance with
E.O. 13526. In addition to classified information, there are certain types of sensitive but
unclassified information for which Executive Branch agencies require application of controls and
protective measures for a variety of reasons. FOLIO is the designation applied by DHS to SBU
information not otherwise governed by statute that may be exempt from mandatory release to the
public under Section 552 of Title 5, U.S.C., Freedom of Information Act (FOIA).
NOTE: Use of FOLIO and similar caveats and standards used to identify and protect information
that is SBU, but not otherwise governed by statute will be rescinded upon implementation of the
governmentwide Controlled Unclassified Information (CUI) Framework. When the CUI framework
is implemented, information in this SCG that is categorized as FOUO or similar SBU markings
will be identified and marked in derivative products as CUI pursuant to directives issued in
support of the CUI Framework, until such time as this SCG is updated to reflect the appropriate
markings.
4 EFFECTIVE DATE AND IMPLEMENTATION
This classification guide is effective immediately upon release.
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BioWatch Program
Security Classification Guidance
DHS SCG OCSO-007.1
BioWatch Program General
Guidance, Topic 1
This section addresses BioWatch administrative details, which are normally treated as
unclassified. However, information may require classification if information about the program or
individuals is disclosed. Additional information regarding categorization of unclassified data or
documents is discussed in the
BioWatch standard operating procedure for unclassified data and
documents.
1. BtOWATCH PROGRAM GENERAL GUIDANCE
TOPIC
CLASSIFICATION
DURATION
REMARKS
a. Emerging Technologies
UNCLASSIFIED
Research and Methodology
b. All general concepts and
UNCLASSIFIED
methods of research and
development, including hardware
and software, except as classified
by other sections of this guide.
c. If no specific BioWatch methods,
FOLIOmaterials,
and procedures are
revealed.
d. Technological advances or
SECRET
achievements which change the
ability to detect a specific threat or
the possibility of detecting it.
Revealing information regarding
the technology advances or
FOLIO
10 years from
achievements that could be used to
date of origination
ment or agency, follow their guidance
BioWatch Program
defeat the system or circumvent
and instructions.
detection or
If the information is owned by another federal
Otherwise
SEE REMARKS
department or agency, follow their guidance
and instructions.
e. Quality Assurance (QA)
UNCLASSIFIED
e.1. Implementation Plans
FOLIOe.2.
Quality Assurance Program
FOLIO
Plan
f. Reagent Quality Control (QC)
FOLIO
Protocol
If the information is owned by another federal
If protocols are established by
SEE REMARKS
depart
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ment or agency, follow their guidance
BioWatch Program
and instructions.
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BioWatch Operational Guidance, Topic 2
This section addresses BioWatch data, which are normally treated as unclassified. However,
information may require classification if information about the program or individuals is disclosed.
Additional information regarding categorization of unclassified data or documents is discussed in
the BioWatch standard operating procedure for unclassified data and documents.
2. BIOWATCH OPERATIONAL GUIDANCE
TOPIC
CLASSIFICATION
DURATION
REMARKS
a. Operational Data
UNCLASSIFIED
b. Site Operational Status
UNCLASSIFIED
b.1. Identification of the
operational status of a single site
FOUO
Otherwise
b.2. Identification of the
FOUO
operational status of a single
jurisdiction or all BioWatch sties
c. Identification of a single
UNCLASSIFIED
For clarification on collector locations
collector location
aggregation, please contact the BioWatch
Program Manager for guidance.
c.1. Identification of a single
FOUO
collector location and the
For clarification on collector locations
associated laboratory provided
aggregation, please contact the BioWatch
service to the sensor
Program Manager for guidance.
c.2. Identification of multiple
FOUO
For clarification on collector locations
collector locations
aggregation, please contact the BioWatch
Program Manager for guidance.
c.3. Identification of multiple
FOUO
For clarification on collector locations
collector locations and the
aggregation, please contact the BioWatch
associated
Program Manager for guidance.
laboratory/laboratories providing
services to the sensors
d. BioWatch Bio Threat Agent
UNCLASSIFIED
d.1. Identity of a single agent
UNCLASSIFIED
d.2. List of more than one
FOUO
BioWatch threat agent
e. Equipment
UNCLASSIFIED
e.1. Information that reveals how
SECRET
10 years from date
If the information is owned by another federal
the equipment can be defeated
or origination
department or agency, follow their guidance
without being evident to system
SEE REMARKS
and instructions.
users
e.2. Basic upgrades to the
FOUO
system and new equipment
supporting the detection system
e.3. Revealing that equipment
SECRET
10 years from date
cannot detect a specific
of origination
BioWatch threat agent.
, 1
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2. BIOWATCH OPERATIONAL GUIDANCE
TOPIC
CLASSIFICATION
DURATION
REMARKS
e.4. Equipment Inventory Lists
FOLIO
If the information is owned by another federal
(e.g., types and numbers
department or agency, follow their guidance
available)
SEE REMARKS
and instructions.
e.5. Equipment Maintenance
FOLIO or PCII or
Consult PCII Office to determine if
Schedules and Routes
SSI
characteristics of information are protected
under the PCII program and approved by the
SEE REMARKS
PCII Program Representative.
Consult SSI office to determine if
characteristics of the site, facility, or location
fall within the SSI guidelines. If not PCII or
SSI, then FOLIO.
e.6. Instrumentation, Reliability,
FOLIO
Availability and Maintainability
Issues
e.7. Operational Status of
FOLIO
Specific Piece of Equipment
f. Guidance Documents
UNCLASSIFIED
f.1. Standard operational plans or
FOLIO or PCII or
Consult PCII Office to determine if
procedures for the development
SSI
characteristics of information are protected
and/or implementation of a
under the PCII program and approved by the
collector site
SEE REMARKS
PCII Program Representative.
Consult SSI office to determine if
characteristics of the site, facility, or location
fall within the SSI guidelines. If not PCII or
SSI, then FOLIO.
If developed by another federal department
or agency, classify/declassify according to
their instruction.
f.2. Guidance for the deployment
FOLIO or PCII or
Consult PCII Office to determine if
and/or implementation of a
SSI
characteristics of information are protected
collector site
under the PCII program and approved by the
SEE REMARKS
PCII Program Representative.
Consult SSI office to determine if
characteristics of the site, facility, or location
fall within the SSI guidelines. If not PCII or
SSI, then FOLIO.
If developed by another federal department
or agency, classify/declassify according to
their instruction.
g. Operational System Security
SECRET
10 years from the
date of origination
If the information contains the
system sensitivity for a given
FOLIO
agent at a given probability of
detection, or
If the information is owned by another federal
department or agency, follow their guidance
Otherwise
SEE REMARKS
and instructions.
12
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2. BIOWATCH OPERATIONAL GUIDANCE
TOPIC
CLASSIFICATION
DURATION
REMARKS
h. Special Event Playbook
FOLIO or PCII
Consult PCII Office to determine if
characteristics of information are protected
SEE REMARKS
under the PCII program and approved by the
PCII Program Representative.
I. Supported Jurisdictions
UNCLASSIFIED
i.1. Jurisdiction Collector
FOLIO or PCII or
Consult PCII Office to determine if
Sampling Plans and Phase 1
SSI
characteristics of information are protected
Sampling Plans
under the PCII program and approved by the
SEE REMARKS
PCII Program Representative.
Consult SSI office to determine if
characteristics of the site, facility, or location
fall within the SSI guidelines. If not PCII or
SSI, then FOLIO.
If the information is owned by another federal
department or agency, follow their guidance
and instructions.
i.2. List of Supported
FOLIO
Jurisdictions
1.3. Identification of Deployment
FOLIO or PCII or
Consult PCII Office to determine if
Sites
SSI
characteristics of information are protected
under the PCII program and approved by the
SEE REMARKS
PCII Program Representative.
Consult SSI office to determine if
characteristics of the site, facility, or location
fall within the SSI guidelines. If not PCII or
SSI, then FOLIO.
If the information is owned by another federal
department or agency, follow their guidance
and instructions.
j. Laboratory Specific Guidance
UNCLASSIFIED
j.1. Assay Results
UNCLASSIFIED
j.1.2 Provided no classified or
UNCLASSIFIED
FOLIO information is revealed.
j.1.3 Revealing a result fora
FOLIO
given agent
j.2. Assay validation Data from
SECRET
Performance Testing
If containing information
regarding assay Limit of
Detection (LOD), signature
information, or test results that
are assay specific and reveal an
assay vulnerability, or
FOLIO
If the information is owned by another federal
department or agency, follow their guidance
Otherwise
SEE REMARKS
and instructions.
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2. BIOWATCH OPERATIONAL GUIDANCE
TOPIC
CLASSIFICATION
DURATION
REMARKS
j.2.1. The assay Limit of
Detection (LOD) for a bio threat
agent as defined by:
• specified concentration
• at a specified probability
of detection, and
• at a specified
concentration level
If agent is identified and if assay
SECRET
has not been superseded by new
10 years from date
If the information is owned by another federal
or revised assay, or
of origination or
department or agency, follow their guidance
upon the
and instructions.
development of a
new or revised
assay
If agent is not identified or if
FOUO
assay has been superseded by
new or revised assay.
SEE REMARKS
j.2.2 Signature information that is
FOUO
used to characterize or identify a
biological threat agent
If the information details specific
SECRET
base sequences of primers and
10 years from date
If the information is owned by another federal
probes used in detection of
SEE REMARKS
of origination
department or agency, follow their guidance
target DNA sequences
and instructions.
j.2.3. Test results identifying
specific agent assay
performance against any or all of
the inclusivity panel, exclusivity
panel, and environmental panel
Test results identifying specific
SECRET
10 years from date
agent any or all of the inclusivity
of origination or
If the information is owned by another federal
panel, exclusivity panel, and
upon the
department or agency, follow their guidance
environmental panel and reveal
development of a
and instructions.
assay specific vulnerabilities, or
new or revised
assay
Otherwise
FOUO
SEE REMARKS
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DEFINITIONS
Access. The ability and opportunity to obtain knowledge of classified information.
Applicable Associated Markings. Markings, other than those which designate classification
level, that are required to be placed on classified documents. These include the "Derived From"
line, downgrading and declassification instructions, special control notices, Special Access
Program caveats, etc.
Automatic Declassification. The declassification of information based solely upon: (1) the
occurrence of a specific date or event as determined by the original classification authority; or (2)
the expiration of a maximum time frame for duration of classification established under Executive
Order 13526.
Classification. The act or process by which information is determined to be classified
information.
Classification Guidance. Any instruction or source that prescribes the classification of specific
information.
Classification Guide. A documentary form of classification guidance issued by an original
classification authority that identifies the elements of information regarding a specific subject that
must be classified and establishes the level and duration of classification for each such element.
Classified National Security Information. Information that has been determined pursuant to
E.O. 13526 or any predecessor order to require protection against unauthorized disclosure and is
marked to indicate its classified status when in documentary form. Also known as classified
information.
Classifier. An individual who makes a classification determination and applies a security
classification to information or material. A classifier may be an original classification authority
(OCA) or a person who derivatively assigns a security classification based on a properly
classified source or a classification guide.
Communications Security (COMSEC). The protection resulting from all measures designed to
deny unauthorized persons information of value that might be derived from the possession and
study of telecommunications and to ensure the authenticity of such communications. COMSEC
includes cryptosecurity, emission security, transmission security, and physical security of
COMSEC materials and information.
Compilation. An aggregation of pre-existing unclassified items of information. Compilations of
information that are individually unclassified may be Classified if the compiled information reveals
an additional association or relationship that qualifies for classification pursuant to E.O. 13526
and is not otherwise revealed by the individual information. Classification by compilation must
meet the same standards and criteria as other original classification actions.
Confidential Information. Information, the unauthorized disclosure of which reasonably could be
expected to cause damage to the national security that the original classification authority is able
to identify or describe.
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Confidential Source. Any individual or organization who has provided, or might reasonably be
expected to provide, information to the United States on matters pertaining to the national
security with the expectation the information or relationship, or both, are to be held in confidence.
Damage to the National Security. Harm to the national defense or foreign relations of the
United States from the unauthorized disclosure of information, taking into consideration such
aspects of the information as the sensitivity, value, utility, and provenance of that information.
Declassification. The authorized change in the status of information from classified information
to unclassified information.
Declassification Authority. a. The official who authorized the original classification, if that official
is still serving in the same position; b. the originator's current successor in function; c. a
supervisory official of either; or d. officials delegated declassification authority in writing by the
agency head or the senior agency official.
Derivative Classification. Incorporating, paraphrasing, restating, or generating in new form
information that is already classified, and marking the newly developed material consistent with
the classification markings that apply to the source information. Derivative classification includes
the classification of information based on classification guidance provided in a security
classification guide. The duplication or reproduction of existing classified information is not
derivative classification.
Document. Recorded information regardless of the nature of the medium or the method or
circumstances of recording.
Downgrading. A determination by a declassification authority that information classified and
safeguarded at a specified level shall be classified and safeguarded at a lower level.
Event. An occurrence or happening that is reasonably certain to occur and that can be set as the
signal for automatic declassification of information.
Foreign Government Information. Information provided to the U.S. Government by a foreign
government or governments, an international organization of governments, or any element
thereof, with the expectation that the information, the source of the information, or both, are to be
held in confidence; information produced by the U.S. Government pursuant to or as a result of a
joint arrangement with a foreign government or governments, or an international organization of
governments, or any element thereof, requiring that the information, the arrangement, or both,
are to be held in confidence; or information received and treated as "Foreign Government
Information" under the terms of a predecessor order.
For Official Use Only. The term used within DHS to identify unclassified information of a
sensitive nature, not otherwise categorized by statute or regulation, the unauthorized disclosure
of which could adversely impact a persons privacy or welfare, the conduct of federal programs, or
other programs or operations essential to the national interests. Information impacting the
National Security of the United States and classified Confidential, Secret, or Top Secret under
Executive Order 13526, "Classified National Security Information," or its predecessor or
successor orders, is not to be considered FOUO. FOUO is not to be considered classified
information.
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Information. Any knowledge that can be communicated or documentary material, regardless of
its physical form or characteristics that is owned by produced by or for, or is under the control of
the United States Government.
Information Security. The system of policies, procedures, and requirements established under
the authority of E.O. 13526 to protect information that, if subjected to unauthorized disclosure,
could reasonably be expected to cause damage to the national security.
National Security. The national defense or foreign relations of the United States.
Need -to -know. A determination within the Executive Branch in accordance with directives issued
pursuant to E.O. 13526 that a prospective recipient requires access to specific classified
information in order to perform or assist in a lawful and authorized governmental function.
Original Classification. An initial determination that information requires, in the interest of
national security, protection against unauthorized disclosure.
Original Classification Authority. An individual authorized in writing, either by the President, or
by agency heads or other officials designated by the President, to classify information in the first
instance.
Secret Information. Information, the unauthorized disclosure of which reasonably could be
expected to cause serious damage to the national security that the original classification authority
is able to identify or describe.
Top Secret Information. Information, the unauthorized disclosure of which reasonably could be
expected to cause exceptionally grave damage to the national security that the original "
classification authority is able to identify or describe.
Unauthorized Disclosure. A communication or physical transfer of classified information to an
unauthorized recipient.
Unclassified Information. Information not meeting criteria for classification set forth in Executive
Order 13526.
Texas Commision On 17
Environmental Quality Page 72 of 79
City of Fort Worth Whole Air Monitoring
TCEQ Contract Number: 582-19-90031
Attachment F:
Financial Status Report
Texas Commision On Page 73 of 79
Environmental Quality
City of Fort Worth Whole Air Monitoring TCEQ Contract Number: 582-19-90031
Texas Commission on Environmental Quality
FINANCIAL STATUS REPORT
1. STATE AGENCY ORGANIZATION UNIT
TO WHICH REPORT IS SUBMITTED:
2. GRANT/CONTRACT TITLE:
3. PAYEE IDENTIFICATION NUMBER:
4. RECIPIENT ORGANIZATION (NAME AND COMPLETE ADDRESS,
INCLUDING ZIP CODE) :
5. TCEQ CONTRACT NUMBER:
6. FINAL REPORT: YES
NO
7. ACCOUNTING BASIS: CASH
ACCRUAL
8. TOTAL PROJECT/GRANT PERIOD:
FROM TO
9. PERIOD COVERED BY THIS REPORT:
FROM TO
10. BUDGET CATEGORIES:
Approved
Budget
Project Cost
This Report
Cumulative
Project Cost
Balance "*
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 (Sum of i & j)
*List (Itemize) on the appropriate supplemental form all component expenses comprising the total for each of these categories.
Please attach receipts, as required, in accordance with Attachment B of your contract.
**Negative balances in any of the budget categories should be explained in a brief accompanying narrative.
11. CERTIFICATION I certify to the best of my knowledge and belief that this report is correct and complete and that all outlays and unliquidated
obligations are for the purposes set forth in the award document.
Signature of Authorized Certifying Official
Typed or Printed Name and Title
Telephone (Area code, number and ext.) Date Submitted
Texas Commision On Page 74 of 79
Environmental Quality
City of Fort Worth Whole Air Monitoring
ITEMIZATION OF EQUIPMENT AND CONTRACTUAL COSTS
EQUIPMENT PURCHASES (during this report period)
TCEQ Contract Number: 582-19-90031
NUMBER ITEM DESCRIPTION UNIT
PURCHASED Should match description provided fora roval COST
TOTAL
COST
TASKS
TOTAL EQUIPMENT EXPENDITURES (must agree with line 10e on Form 20248)
$
CONTRACTUAL EXPENDITURES (during this report period)
SUBCONTRACTOR (NAME) FOR
COST (THIS PERIOD)
TASKS
OTAL CONTRACTUAL EXPENDITURES (must agree with line 10f on Form 20248)
` LEGIBLE PURCHASE ORDER AND/OR INVOICES MUST BE ATTACHED TO THIS FORM FOR EACH LISTED ITEM OR
EXPENDITURE.
Texas Commision On Page 75 of 79
Environmental Quality
City of Fort Worth Whole Air Monitoring
ITEMIZATION OF CONSTRUCTION COSTS
TCEQ Contract Number: 582-19-90031
'LEGIBLE DOCUMENTATION MUST BE ATTACHED FOR ALL LISTED EXPENDITURES.
Texas Commision On Page 76 of 79
Environmental Quality
City of Fort Worth Whole Air Monitoring
ITEMIZATION OF SUPPLY AND OTHER COSTS
SUPPLIES PURCHASED (during this report period)
TCEQ Contract Number: 582-19-90031
NUMBER ITEM DESCRIPTION
PURCHASED (Should match description provided forapproval)
UNIT
COST
TOTAL
COST
TASKS
TOTAL OTHER EXPENDITURES (must agree with line 1 Oh on Form 20248)
$
OTAL SUPPLY EXPENDITURES (must agree with line 10d on Form 20248)
$
OTHER EXPENDITURES (during this report period)
NUMBER DESCRIPTION UNIT
PURCHASED COST
TOTAL
COST
TASKS
TOTAL OTHER EXPENDITURES (must agree with line 1 Oh on Form 20248)
$
'LEGIBLE RECEIPTS OR OTHER SUBSTANTIATING DOCUMENTATION MAY BE ATTACHED FOR EXPENDITURES THAT EQUAL
OR EXCEED $500.
Texas Commision On Page 77 of 79
Environmental Quality
City of Fort Worth Whole Air Monitoring
ITEMIZATION OF PERSONNEUSALARY AND TRAVEL COSTS
TCEQ Contract Number: 582-19-90031
PERSONNEL/SALARY EXPENDITURES (during this report period)
EMPLOYEE NAME TITLE/POSITION
SALARY (THIS
PERIOD
TASKS
TOTAL TRAVEL EXPENDITURES (must agree with line 10c on
Form 20248
$
TOTAL PERSONNEUSALARY EXPENDITURES (must agree with line 10a on Form 20248)
TRAVEL EXPENDITURES (during this report period)
DESCRIPTION REASON
COST (THIS PERIOD
TASKS
TOTAL TRAVEL EXPENDITURES (must agree with line 10c on
Form 20248
$
* SUBSTANTIATING DOCUMENTATION (time sheets, travel receipts, etc.) MAY BE REQUIRED TO BE ATTACHED TO THIS FORM
Texas Commision On Page 78 of 79
Environmental Quality
City of Fort Worth Whole Air Monitoring
TCEQ Contract Number: 582-19-90031
Financial Status Report Preparation Instructions
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 20248) and any required TCEQ Supplemental
20248 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.
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 20248-1 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 20248-1, 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.
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 20248-2 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 20248-2, 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.
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 20248-3 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 20248-3, 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.
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 20248-4 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 20248-4 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 20248-4 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).
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 Commision On Page 79 of 79
Environmental Quality
9121/2018 M&C - Council Agenda
City of Fort Worth, Texas
Mayor and Council Communication
COUNCIL ACTION: Approved on 9/18/2018 - Ordinance No. 23388-09-2018
DATE: Tuesday, September 18, 2018 REFERENCE NO.: **C-28852
LOG NAME: 23TCEQ FY2019 WHOLE AIR MONITORING CONTRACT
SUBJECT:
Authorize Acceptance and Execution of the Intergovernmental Cooperative Reimbursement Contract with
the Texas Commission on Environmental Quality in the Amount of $386,000.00 for the Operation of Local
Air Pollution Monitors for a 12 month period, 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 acceptance and execution of the cooperative reimbursement contract (TCEQ contract #
582-19-90031) with the Texas Commission on Environmental Quality (TCEQ) in an amount not to
exceed $386,000.00.
2. Apply the indirect cost rate of 12.66 percent in accordance with the terms of the Cooperative
Reimbursement Contract.
3. Adopt the attached appropriation ordinance increasing estimated receipts and appropriations in the
Grants Operating Federal Fund (21001) in an amount not to exceed $386,000.00 after receipt of all grant
funds.
DISCUSSION:
Since the inception of this monitoring program, the Texas Commission on Environmental Quality (TCEQ)
has contracted with the City of Fort Worth for operation and maintenance of air monitoring equipment.
The city will be required to operate local air pollution monitors to include retrieving sampling filters and
data; sending filters and data for analysis; and performing audit and maintenance activities on the
equipment under the terms of the contract.
The contract period will be September 1, 2018, through August 31, 2019, with a not to exceed amount of
$386,000.00 for reimbursement of expenses to the City with the option to renew the initial contract for
three additional 12 month periods upon written consent of both parties by future amendment.
There is no local match requirement for this grant.
An indirect cost rate of 12.66 percent will be applied in accordance with the terms of the cooperative
reimbursement contract.
The equipment that is operated and maintained is located throughout the city. Therefore, this contract will
serve ALL COUNCIL DISTRICTS.
This contract will be with a governmental entity, state agency or public institution of higher education:
(Texas Commission on Environmental Quality).
FISCAL INFORMATION / CERTIFICATION:
http:llapps.cfwnet.org/ecouncillprintmc.asp?id=26146&print=true&DocType=Print 1/2
9121/2018
M&C - Council Agenda
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 Operating Grants fund. Funds will be on a
reimbursement basis from the Grantor after receipt of expenses as outlined in the executed contract.
FUND IDENTIFIERS (FIDs):
TO
Fund
Department
ccounj
Project
JProgram
ctivity
Budget
I
I Reference #
moun
ID
ID
JProgram
Year
Chartfield 2)
r
FROM
Fund
Department
ccounj
Project
ctivity
Budget
Reference #
mount
ID
ID
JProgram
Year
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r
CERTIFICATIONS:
Submitted for City Manager's Office by: Valerie Washington (6199)
Origins ing Department Head: Brandon Bennett (6345)
Additional Information Contact: Cody Whittenburg (5455)
ATTACHMENTS
1.23TCEQ WHOLE AIR MONITORING CONTRACT FY18-19 AO18.docx (Public)
2.582-19-90031 - City of Fort Worth - Final 051718.pdf (CFW Internal)
http://apps.cfwnet.org/ecounciVprintmc.asp?id=26146&print=true&DocType=Print 2/2
Contract Compliance Manager:
By signing this document, I acknowledge that I am the person responsible for the monitoring
and administration of this contract, including ensuring all performance and reporting
requirements.
Anthony Williams
NAME
Environmental Supervisor
TITLE
❑ This form is N/A as No City Funds are associated with this Contract
Printed Name Signature