HomeMy WebLinkAboutContract 44799 (2)CITY SECRETARY ',brig
CONTRACT NO. . , , ,
CilN '1 RA C T
Between
CITY OF FORT WORTH
and
Texas Commission on
—Environmental Quality
For
TCEQ Contract #:
582-14-40060
Federally Funded Grant Agreement for Air Pollution Control Services
(PM10 2013-2015)
Transportation & Public Works Department
Environmental Management Division
September 2013
RECEIVED SEP 16 2013
ivI&C Review
Page 1 of 2
IL
Official site of the City of Fort Worth, Texas
FORTWORTI1
COUNCIL ACTION: Approved on 9/10/2013 - Ordinance No. 20894-09-2013
DATE: 9/10/2013 REFERENCE
NO.:
20STATE GRANT
**C-26423 LOG NAME: AGREEMENT FOR PM10
OPERATION 2013 TO 2015
CODE: C TYPE: CONSENT PUBLIC NO
HEARING:
SUBJECT: Authorize Execution of a Texas Commission on Environmental Quality Federally Funded
Grant Agreement in an Amount Not to Exceed $308,856.00 for Air Pollution Control
Services, Apply Indirect Costs at Approved Percentage Rate and Adopt Appropriation
Ordinance (COUNCIL DISTRICT 4)
RECOMMENDATION:
It is recommended that the City Council:
1. Authorize the execution of the Texas Commission on Environmental Quality Federally Funded
Grant Agreement for air pollution control services with a maximum amount of $308,856.00 for a two-
year term starting September 1, 2013, through August 31, 2015;
2. Authorize the use of existing personnel services for the City's in -kind match with an anticipated
value of $101,922.00 for the two-year term of September 1, 2013, through August 31, 2015;
3. Adopt appropriation ordinance increasing estimated receipts and appropriations in the Grants
Fund in the amount of $206,934.00 for grant years 2013-2014 through 2014-2015, subject to receipt
of an executed Contract; and
4. Apply indirect costs at the most recently approved rate of 21.48 percent for the Transportation and
Public Works Department.
DISCUSSION:
The Texas Commission on Environmental Quality (TCEQ) is the pass -through agency for all
Environmental Protection Agency (EPA) Section 105 Grant Funds. EPA Section 105 Grant Funds
have been received annually by the City for its Air Pollution Control Program in cooperation with
TCEQ to maintain and operate various ambient air monitoring stations. This includes daily monitoring
of ozone and particulate levels.
This grant covers the operation and maintenance of the Particulate Matter (PM) 10, Luisa VOC
Canister, and Ozone monitoring networks for the TCEQ and requires a local in -kind match of
$50,961.00 per year. The City must provide matching funds such that the combined Federal and
State share of the total funding for the Section 105 Grant does not exceed 67 percent. The matching
funds must be allocated per maintenance of effort requirements for federal air pollution grants. The
Transportation and Public Works Department's proposed Fiscal Year 2014 General Fund budget
includes funds required for the in -kind match.
No City funds will be expended before the contract is approved. Upon approval and acceptance of
the grant and execution of the contract, City funds will be expended before receipt of grant funds.
Work performed under this grant Agreement will service COUNCIL DISTRICT 4.
http://apps.cfwnet.org/council packet/mc_review.asp?ID=18770&councildate=9/10/2013 9/12/2013
M&C Review Page 2 of 2
FISCAL INFORMATION/CERTIFICATION:
The Financial Management Services Director certifies that upon approval of the above
recommendations, and adoption of the attached appropriation ordinance, funds will be available in
the current operating budget, as appropriated, of the Grants Fund.
TO Fund/Account/Centers
3) GR76 5
(VARIOUS) 020412669010
21
GR76 517040 020412669020
21
GR76 488279 020412669000
GR76 451543 020412669000
$206.934.00
$101.922.00
$101.922.00
$206,934.00
Submitted for City Manager's Office bv:
Oriainatina Department Head:
Additional Information Contact:
FROM Fund/Account/Centers
Fernando Costa (6122)
Douglas W. Wiersig (7801)
Michael Gange (6569)
ATTACHMENTS
20STATEPM 10update.pdf
20TCEQ COMPLIANCE GRANT FY14 A013 revised 9-4-13crr2.doc
http://apps.cfwnet.org/council_packet/mc_review.asp?ID=18770&councildate=9/10/2013 9/12/2013
Texas Commission on Environmental Quality
Cooperative Reimbursement Contract
for State Agencies and Local Governments
CONTRACT SIGNATURE PAGE
Contract Name:
Contract Number:
Performing Party:
Performing Party Identification Number:
Maximum Authorized Reimbursement:
Ambient Air Monitoring — Pass-Thru Grant
582-14-40060
City of Fort Worth
17560005286
$206,934.00
Effective Date: El 9/1/13 0 Date of last signature
Expiration Date: ® 8/31/15 0 Last day of Fiscal Year in which the Contract was signed
If checked, this Contract requires thatching funds. Match Requirement: 33%
El If checked, this Contract is funded with federal funds.
CFDA Number:
Federal Grant Number:
This Contract is entered under:
66.605
❑ Gov't Code ch. 771 0 Gov't Code ch. 791 ❑ Water Code § 5.124
El Tex. Water Code § 5.229 and 7.351— 7.358 and Safety Code §§ 382,033 382.111 —
382.115
The Texas Commission on Environmental Quality (TCEQ), an agency of the State of Texas, and the named Performing Party, a state agency or local
government of the State of Texas, enter this agreement (Contract) to cooperatively conduct authorized governmental functions and activities under
the laws of the State of Texas.
The Parties agree as follows: (a) to be effective, the Contract must be signed by an authorized official of the TCEQ and the Performing Party; (b) this
Contract consists of all documents specified in the list of Contract Documents following this page; and (c) as authorized by TCEQ, Performing Party
will conduct Contract Activities as part of its own authorized governmental functions and TC13Q will reimburse Allowable Costs subject to the Texas
Uniform Grant Management Standards (UGMS) and this Contract.
Notwithstanding the requirement for both parties to sign this contract, Performing Party is authorized to begin work under this agreement on the
Effective Date stated above, in order to maintain continuous monitoring under the EPA Section 105 pass-thru grant.
Texas Commission on City of Fort Worth
Environmental Quality (TCEQ) (Performing Party)
13y:
Authorized Signature
Ramiro Garcia. Jr.
Printed Name
Deputy Director,
Office of Compliance and Enforcement
Title
111�
Date
Procurements St Contracts Representative
Printed Name
Date
Authorized Signature
Fernanrlri Costa
Printcxl Name
Assistant City Manager
Title
5/3j3
Date
airy
APPROVED AS TO FORM AND LEGALITY:
Assiitaht City A.A.
by
ecretary
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
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 and marked by an "X," 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.
n
Contract Signature Page
Contract Documents List (this page)
Special Terms and Conditions
Federal Section (Including Federal Conditions and Completed Forms)
Scope of Work
General Terms and Conditions
Cost Budget
Notices, Project Representatives and Records Locations
TCEQ -- Approved Contract Work Plan
TCEQ — Approved Performing Party Proposal
Exhibit A-1:
® Exhibit A-2:
n
Exhibit A-3:
Exhibit A-4
Form B-1:
Form B-2
Form B-3
Form B-4
U.S. Environmental Protection Agency (EPA) Requirements for Quality
Management Plans (QA/R-2) (March 2001)
EPA Requirements for Quality Assurance Project Plans (QA/R-5) (March
2001)
Quarterly Report Checklist
Federal Funding Transparency Act Reporting form
Prime Contractor Progress Assessment Report
TCEQ State Purchase Voucher
TCEQ Invoice
Financial Status Report
Page 2 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
SPECIAL TERMS AND CONDITIONS
ARTICLE 1. DEFINITIONS
The following terms are defined as follows:
1.1, Acquisition Cost — (of an item of purchased Equipment) The net invoice unit price of the
property including the cost of modifications, attachments, accessories, or auxiliary apparatus necessary
to make that property usable for the purpose for which it was acquired. Other charges such as the cost of
installation, transportation, taxes, duty or protective in -transit insurance, shall be included or excluded
from the unit Acquisition Cost in accordance with the PERFORMING PARTY's regular accounting
practices.
1.2. Cost Sharing or Match - The value of the third party in -kind contributions and the portion of the
costs of a State assisted project or program not borne by the State.
1.3. Equipment - Tangible, nonexpendable, personal property having a useful life of more than one
year and an Acquisition Cost of $1,000 or more per unit. A PERFORMING PARTY may use its own
definition of equipment provided that such definition would at least include all equipment defined
above.
1.4, Major Change - A change in the Work that meets the requirements of Article 4 of the 4, the
Special Terms and Conditions of this Agreement.
1.5. Minor Change - A written doeument which provides for minor changes in the Work in
accordance with these Special Conditions, but which does not involve a change in the Contract Price,
contract duration, or any contract deadline.
1,6. Nonconformance - A deficiency in characteristic, documentation, or procedure that renders the
quality or an item or activity unacceptable or indeterminate; non -fulfillment of a specified requirement.
1.7. Quality Assurance (QA) — An integrated system of management activities involving planning,
implementing, assessment, reporting, and quality improvement to ensure that a process, item, or service
is of the type and quality needed and expected by the customer.
1.8. Quality Control - The overall system of technical activities that measures the attributes and
performance of a process, item, or service against defined standards to verify that they meet the stated
requirements established by the customer; operational techniques and activities that are used to fulfill
requirements for quality.
.1.9. Quality Management Plan - A document that describes the quality system in terms of
organizational structure, functional responsibilities of management and staff, lines of authority, and
required interfaces for those planning, implementing, and assessing all activities conducted.
1.10. Supplies - Tangible personal property other than Equipment.
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
1.11. Surveillance - Continual or frequent monitoring and verification of the status of an entity and the
analysis of records to ensure that specific requirements are being fulfilled.
1.12. Suspension - (1) temporary withdrawal of authority to obligate Grant funds pending corrective
action by the PERFORMING PARTY or a decision to terminate the Grant; (2) an action by a TCEQ
official to exclude a person from participating in Grant transactions for a period of time.
1.13. Termination - Permanent withdrawal of the authority to obligate previously -awarded Grant funds
before that authority would otherwise expire, or voluntary relinquishment of that authority by the
PERFORMING PARTY or Subgrantee.
1.14. Third party in -kind contributions - Property or services which benefit a State assisted project or
program and which are contributed by third parties without charge to the PERFORMING PARTY, or a
Cost -type PERFORMING PARTY under the Grant Agreement.
1.15. Uniform Grant Management Standards (UGMS) - means the Uniform Grant Management
Standards promulgated by the Texas Comptroller pursuant to the Uniform Grant Conditions and
Management Act, Tex. Govt. Code Chapter 783.
1.16. Work - the entire completed services or the various separately identifiable parts thereof required
to be furnished under the Contract. Work includes and is the result of performing or furnishing labor,
services, materials or equipment as required by the Contract Documents,
ARTICLE 2. CONTRACT DOCUMENTS: INTENT
2.1. The Contract Documents comprise the entire Contract between TCEQ and PERFORMING
PARTY concerning the Work. The Contract Documents are complementary; what is called for by one is
as binding as if called for by all.
2.2. It is the intent of the Contract Documents to describe a functionally complete Project (or part
thereof) to be constructed in accordance with the total Contract. Any Work, materials or equipment that
may reasonably be inferred from the Contract Documents or from prevailing custom or trade usage as
being required to produce the intended result will be furnished and performed whether or not
specifically called for. When words or phrases which have a well-known technical or pollution cleanup
industry or trade meaning are used to describe Work, materials or equipment, such words or phrases
shall be interpreted in accordance with that meaning.
ARTICLE 3. PERFORMING PARTY'S RESPONSIBILITIES
3.1. The PERFORMING PARTY shall be responsible for the professional quality, technical
accuracy, timely completion and the coordination of all services and other Work furnished by the
PERFORMING -PARTY under this Agreement.
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Personnel
3.2. PERFORMING PARTY shall provide competent, suitably qualified personnel to perform the
Work as required by the Contract Documents. PERFORMING PARTY shall at all times maintain good
discipline and order on the Project.
Materials & Equipment
3.3. Unless otherwise specified in the Contract Documents, PERFORMING PARTY shall furnish
and assume full responsibility for all materials, equipment, labor, transportation, tools, appliances, fuel,
power, light, heat, telephone, water, sanitary facilities, temporary facilities and all other facilities and
incidentals necessary for the furnishing, performance, testing, start-up and completion of the Work.
3.4. All materials and equipment shall be of good quality and new, except as otherwise provided in
the Contract Documents. All materials and equipment shall be applied, installed, connected, erected,
used, cleaned and conditioned in accordance with instructions of the applicable Supplier, except as
otherwise provided in the Contract Documents.
Title to and Management of Equipment
Subject to the obligations and conditions set forth in this Contract, title to all equipment acquired with
funds under this Contract shall vest, upon acquisition or construction, with the PERFORMING PARTY.
3.5. The PERFORMING PARTY will conduct physical property inventories, maintain property
records and necessary control procedures, and provide adequate maintenance with respect to all
equipment acquired under this Contract.
3.6. The PERFORMING PARTY may develop and use its own property management system which
must conform to all applicable State and local Laws, rules and regulations. If an adequate system for
accounting for personal property owned by the PERFORMING PARTY or its subcontractor is not in
place or currently in use, the Property Accounting System Manual issued by the Texas Comptroller of
Public Accounts shall be used as a guide for establishing such a system,
3.7. Property records must be maintained that include a description of the property, a serial number or
other identification number, the source of property, identification of the title holder, the acquisition date,
the cost of the property, percentage of federal participation in the cost of the property, the location, use
and condition of the property, and any ultimate disposition data including the date of disposal and sale
price of the property.
3.8. A physical inventory of all equipment acquired or replaced under this Contract having an initial
purchase price of One Thousand Dollars ($1,000) or more shall be conducted no less frequently than
once every two (2) years and the results of such inventories reconciled with the appropriate property
recoxsls..._ Property_eontrol _procedures utilized...by_the .PERFORMING PARTY shall._ine1ude_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.
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
3.9. All equipment acquired or replaced Linder this Contract shall be used for the duration of its
normally expected useful life to support the purposes of this Contract whether or not the original
Projects or Programs continue to be supported by Federal or State funds.
3.10. Subject to the provisions of this Article, if no longer needed for the support of the authorized
Projects or Programs referred to in this Contract, equipment acquired under this Contract, whether
original or replacement, may be used in support of other activities currently or previously supported by
TCEQ or the Federal Government, or alternatively, may be made available for use on other Projects or
Programs, providing such other use will not interfere with the work on those Projects or Programs for
which such equipment was originally acquired.
3.11. The PERFORMING PARTY may for the purpose of replacing various equipment utilized under
this Contract, either trade in or sell the equipment or property being replaced and use the proceeds of
such trade-in or sale to offset the cost of acquiring needed replacement property. Items of equipment
with a current per -unit fair market value of less than $1,000 may be retained, sold or otherwise disposed
of with no further obligation to TCEQ. Items of equipment with a current per -unit market value of
$1,000 or more may be retained or sold and TCEQ shall have a right to an amount calculated by
multiplying the current market value or proceeds from sale by TCEQ's share of the equipment. TCEQ's
share is the portion of the total costs charged to the grant. Methods used to determine per -unit fair
market value must be documented, kept on file and made available to TCEQ upon request.
3.12. If prior to the termination date of this Contract, the PERFORMING PARTY or its
Subcontractors or Subgrantees determine that any equipment acquired with funds provided as a result of
this Contract is no longer needed for support of the Programs or Projects referred to in this Contract, the
TCEQ may require the PERFORMING PARTY to transfer title and possession to such equipment to
•TCEQ or a third party named by TCEQ.
3.13. 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 fonds provided as a result of this
Contract is no longer needed for support of the Programs or Projects referred to in this Contract, TCEQ
has a right to require the transfer of any equipment having a fair market, per unit value of more than
$1,000 to TCEQ or a third party named by TCEQ.
3.14. The PERFORMING PARTY shall not grant or allow to a third party a security interest in any
original or replacement equipment purchased or constructed with funds made available to
PERFORMING PARTY under this Contract.
3.15. The PERFORMING PARTY agrees that, in the event any funds provided under this Contract are
in turn awarded to any Subcontractor for the purchase or acquisition of any equipment by such other
party, the PERFORMING PARTY's contract with that Subcontractor shall include the requirements of
this Contract.
Page 6 of 141
Contract Name: Ambient Alr Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Substitutes and "or Equal" Items:
3,16. Whenever an item of material or equipment is specified or described in the Contract Documents
by using the name of a proprietary item or the name of a particular Supplier, the specification or
description is intended to establish the type, function and quality required. Unless the specification or
description contains or is followed by words reading that no like, equivalent or "or -equal" item or no
substitution is permitted, other items of material or equipment of other Suppliers may be accepted by
TCEQ.
3.17. Substitute Methods or Procedures: If a specific means, method, technique, sequence or procedure
is shown or indicated in and expressly required by the Contract Documents, PERFORMING PARTY
may furnish or utilize a substitute means, method, technique, sequence or procedure acceptable to
TCEQ. PERFORMING PARTY shall submit sufficient information to allow TCEQ, in TCEQ's sole
discretion, to determine that the substitute proposed is equivalent to that expressly called for by the
Contract Documents.
Concerning Subcontractors, Suppliers and Others
3.18. All contractual expenditures using funds provided under this Agreement shall meet all
procurement laws and regulations applicable to the PERFORMING PARTY and Subcontractor and the
Uniform Grant and Contract Management Act and the Uniform Grant Management Standards.
Competitive bidding will generally be required for contracts other than interlocal and interagency
contracts, which are under TEx. Gov. CODE, Chapter 791 et seq. Note also that the Common Rule of
OMB Circular A-102, as adopted in the Uniform Grant Management Standards, precludes the use of the
cost plus a percentage of cost method of contracting.
3.19. The PERFORMING PARTY shall forward any proposed subagreement for the performance of
Work required under this Contract's Scope of Work to TCEQ's Project Representative prior to
execution of the subagreement. TCEQ may, within 21 days of receipt of the proposed subagreement,
provide written notice (fax or email acceptable) to the PERFORMING PARTY questioning whether the
subagreement is for a legitimate purpose relating to the satisfaction of this Agreement or has been
procured in accordance with the minimum standards of the UGCMA. The PERFORMING PARTY
shall not enter into a questioned subagreement until TCEQ has withdrawn all questions raised in the
notice. Neither TCEQ's failure to question a subagreement nor its subsequent withdrawal of any
questions raised regarding a subagreement shall in any way imply TCEQ's approval of the •
subagreement's purpose or method of procurement of the subagreement, Further, the terms of this
provision do not in any way restrict TCEQ's rights under this Agreement to subsequently refuse
reimbursement for expenses incurred pursuant to the subagreement. The PERFORMING PARTY may
require a bid bond to protect the local and State interests by assuring that a bidder will, upon acceptance,
execute all required contractual documents within the time period specified.
3.20. The PERFORMING PARTY shall be responsible for the management and fiscal monitoring of
all Subcontractors and Subgrantees. The PERFORMING PARTY shall monitor its Subcontractors and
Subgrantees to ensure that the Subcontractors and Subgrantees are operating consistently with applicable
Laws and Regulations, applicable contracting policies, and these Contract Documents. The
PERFORMING PARTY shall ensure that all Subcontractors and Subgrantees comply with all record
Page 7 of 141
Contract Name: Ambient Alr Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
keeping and access requirements set forth in these Contract Documents. TCEQ reserves the right to
perform an independent audit of all Subcontractors and Subgrantees.
3.21. PERFORMING PARTY, Subcontractors and Subgrantees shall implement and maintain a
Quality Assurance Program that addresses quality -related activities performed under this Contract and
conforms to the American National Standards Institute (ANSI) /the American Society for Quality (ASQ)
E-4-2004 Quality Systems for Environmental Data and Technology Program - Requirements with
Guidance for Use, the EPA QA/R-2 and with the TCEQ Quality Management Plan. The TCEQ Quality
Assurance specialists, or any of their authorized representatives shall have access to all such Work
activities, monitors, records, documents and other evidence for the purpose of management systems
review, inspection, audit, surveillance, peer review, excerpts, transcriptions and/or copying during
normal business hours. The PERFORMING PARTY shall provide proper access.
3.22. Funds provided by TCEQ pursuant to this Agreement that are paid to the Subcontractor shall be
used by the Subcontractor solely to satisfy the purposes of the Agreement.
Procurements
3.23. All procurements by the PERFORMING PARTY of goods and/or services under this Agreement
shall be conducted in a manner providing full and open competition in accordance with Subpart C,
Sec._.36, Subsections (b) through (i) of Part III of UGMS.
3.24. PERFORMING PARTY shall perform a cost or price analysis in connection with all
procurements in excess of $2,000 which are not competitively procured. A cost analysis will also be
required when adequate price competition is lacking and for sole source procurements, unless the
reasonableness of the price can be established on the basis of a catalog or market price. Failure' to
follow these requirements for providing the greatest possible competition in procurement is grounds for
disallowance of costs for reimbursement.
3.25. All Subgrants awarded by the PERFORMING PARTY under this Agreement shall be in
accordance with Chapter 2261 Texas Government Code and Part III Subpart C, Sec._.37, Subsection
(b) of UGMS.
Subgrant Activities
3.26. All Subgrants awarded by the PERFORMING PARTY under this Agreement will be awarded on
the basis of competitive applications and proposals when feasible. The applications and proposals will
be evaluated utilizing criteria including cost comparison, probable quality of goods or services and past
performance. Upon request, PERFORMING PARTY must provide evidence to support the selection
and award.
3.27. Payments by PERFORMING PARTY to Subgrantees will be solely for reimbursement of actual
allowable costs utilizing the same standards and requirements as the reimbursement payments from
TCEQ to PERFORMING PARTY set out in this Agreement. No Subgrant will be made on a fixed -
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Contract Name: Ambient Alr Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
amount of cost reimbursement unless this method is specifically approved by TCEQ based on
supporting evidence of proposed Subgrantee's actual costs.
3.28. Ail Subgrant agreements must be in writing and must be approved by TCEQ. The standards and
requirements for reimbursements and standards for performance will be incorporated into the Subgrant
agreements as well as other provisions required by this Agreement.
Permits
3.29. Unless otherwise provided in the Contract Documents, PERFORMING PARTY shall obtain and
pay for all construction permits and licenses. PERFORMING PARTY shall pay all charges of utility
owners for connections to the Work, and PERFORMING PARTY shall pay all charges of such utility
owners for capital costs related thereto such as plant investment fees.
Records, Documents, Data, Access, and Audit
3.30. The PERFORMING PARTY shall maintain books, records, documents, and other evidence
reasonably pertinent to performance of the Work and requirements of the Contract Documents.
3.31. The PERFORMING PARTY will pass through all record keeping, quality assurance
requirements, and access requirements to all subcontracts and subagreements.
3.32, The PERFORMING PARTY agrees to the disclosure of all information and reports resulting
from access to records and quality activities under this Agreement.
3.33, Records shall be maintained by the PERFORMING PARTY during performance of Work under
this Agreement, and for three (3) years after final payments, final Expenditure Reports and all other
pending matters are closed. If any litigation, claim, negotiation, audit, quality assurance assessment,
cost recovery, or other action (including actions concerning costs of items to which an audit exception or
nonconformance has been taken or identified) involving such records or corrective actions has been
started before the expiration of the three (3) year period, such records must be retained until completion
of the action or resolution of all issues which arise from it, or until the end of the regular three (3) year
period, whichever is later,
3.34. Access to records or Work activity is not limited to the required retention periods. TCEQ shall
have access to records or Work activity at any reasonable time for as long as the records or
nonconformance identified pursuant to an Assessment are maintained.
3.35. This right -of -access article applies to financial and quality records pertaining to this Agreement
and _all subagreements .and_amendments... In addition, -this _right. of access -article. applies to -all -records -and- -
Work activities pertaining to this Agreement and all subagreements and amendments:
3.35.1. to the extent the records pertain reasonably to Agreement or subcontract performance;
3.35.2. if there is any indication that fraud, gross abuse, or corrupt practices may be involved;
or
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Contract Name: Ambient Alr Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
3.35.3. if the Agreement or subcontract is terminated for default or for convenience.
Data and Publicity
3.36. All data and other information developed under this Agreement shall be furnished to TCEQ and
shall be public data and information except to the extent that it is exempted from public access by the
Texas Public Information Act, TEx. Gov'T CODE § 552 ("Act"). Upon termination of this Agreement,
all copies of data and information shall be furnished, at no charge to TCEQ, upon request, to include
databases prepared using funds provided under this Agreement, and become the property of TCEQ.
Except as otherwise provided by these Contract Documents or the Act, the PERFORMING PARTY
shall not provide data generated or otherwise obtained in the performance of its responsibilities under
this Contract to any party other than the State of Texas and its authorized agents.
Safety and Protection
3.37. Where applicable, PERFORMING PARTY shall be responsible for requiring Subcontractors and
Subgrantees to maintain and supervise all necessary safety precautions and programs in connection with
the Work. PERFORMING PARTY shall take all necessary safety precautions.
Performance Reports
3.38. In accordance with the Uniform Grant Management Standards, the PERFORMING PARTY
shall submit written progress reports documenting all activities during a quarter pursuant to the Schedule
of Deliverables set forth in the Scope of Work. In the absence of a schedule in the Scope of Work, the
PERFORMING PARTY shall submit the reports not later than 30 days after the close of each quarter.
The reporting periods shall correspond to the State of Texas fiscal year (September -November;
December -February, March -May; June -August).
Independent Financial Audit
3.39. By February 1 of each year, the PERFORMING PARTY shall engage an Independent Financial
Auditor and conduct an annual audit of the PERFORMING PARTY'S financial statements in
accordance with the Single Audit provisions of UGMS. The fmal report shall be submitted to the TCEQ
no later than 90 days following the completion of the audit.
3.39.1. All terms used in connection with Audits in this Agreement shall have the definitions
and meanings assigned in the Single Audit Circular in UGMS.
3.39.2. Provisions of the Single Audit Circular in Part IV of UGMS shall apply to all non -State
Government entities expending the funds of this Grant, whether they are recipients, receiving the
funds directly from TCEQ, or are subrecipients, receiving the funds from a pass -through entity (a
recipient or another subrecipient). In addition, the PERFORMING PARTY shall require the
independent auditor to supply all audit work papers substantiating the Work performed, at the
request of TCEQ or its designee.
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Exceptions in Audit
3.39.3. TCEQ is required to take action on exceptions noted in an audit of PERFORMING
PARTY's financial records. Therefore, PERFORMING PARTY agrees to submit to TCEQ a
copy of the report from any audit conducted of the PERFORMING PARTY's financial records
within 20 days of PERFORMING PARTY's receipt of an audit report. At the same time,
PERFORMING PARTY will also provide a statement containing an explanation of the
conditions giving rise to each exception in the audit report as well as a plan for correction of any
significant deficiencies in PERFORMING PARTY's operations or Contract performance.
TCEQ may approve the statement or reject as insufficient. At the option of TCEQ, the
PERFORMING PARTY may revise and resubmit. If the statement is initially or subsequently
rejected by TCEQ with no further opportunity to revise, TCEQ may suspend payments or may
terminate the Contract for cause and may undertake any other remedies or sanctions provided
under this Contract.
ARTICLE 4. CHANGES IN THE WORD
4.1. TCEQ may by written notification to the PERFORMING PARTY, make changes to the scope of
this Agreement or in the services or Work to be performed. If such changes cause an increase or
decrease in the PERFORMING PARTY's cost of, or time required for, performance of any services
under this Agreement, whether or not changed by an order, an equitable adjustment shall be made and
this Agreement shall be modified in writing accordingly. Any claim of the PERFORMING PARTY for
adjustment under this clause must be asserted in writing within 30 days after the date of receipt by the
PERFORMING PARTY of the notification of change, unless the Executive Director of TCEQ or his
Project Representative grants a further period of time before the date of final payment under this
Contract.
4.2. An Amendment (Major Change) will include one or more of the following:
4.2.1. a change in the compensation to the PERFORMING PARTY;
4.2.2. a change in the term of the Agreement; or
4.2.1 a significant change in the scope of the Agreement or the services to be performed.
4.3. Implementation of a Major Change must be preceded by a formal Written Amendment to the
Agreement. Requests for an amendment must be in writing and be submitted to the TCEQ Project
Representative prior to initiating changes. The amendment must contain a description of the proposed
change. The amendment must be signed by persons authorized to bind each party in contract.
-- --- - - - - -- ---
4.4. Any proposed change that is not a Major Change may qualify as a Minor Change. A Minor
Change shall require the written agreement of both Project Representatives, but shall not require a
formal amendment to the Contract. A copy of the authorization must be retained in the appropriate file
of both the PERFORMING PARTY and TCEQ.
4.5. PERFORMING PARTY is permitted to rebudget within the approved direct cost budget to meet
any unanticipated requirements and may make limited program changes to the approved Project.
Page 11 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Certain types of these changes require the prior written approval of TCEQ. Applicable cost principles
set forth in 40 CFR Part 31.22 contain additional requirements for prior approval of certain types of
costs and apply to all grants and Subgrants. Prior approval shall be required as follows:
4.5.1. Any change resulting in the need for additional funding;
4.5.2. Cumulative transfers among direct cost categories, or, if applicable, among separately
budgeted programs of projects and which exceed or are expected to exceed the total costs for the
current year's budget by ten percent (10%);
4,5.3. Transfers of funds allotted for training allowances;
4.5.4. Changes in key personnel in cases where specified in an application or Grant award; or
4.5.5. Subcontracting those activities which are central to the purposes of the award.
4.6. Any request shall be in writing to TCEQ and TCEQ shall promptly review, approve or
disapprove the request in writing. If such changes require federal approval, TCEQ shall obtain that
approval before approving the request.
4.7. Changes to the services or Work to be performed shall be included as revisions in the Quality
Assurance Project Plan for this Contract.
Inclement Weather
4.8. A deadline set forth in the Schedule of Deliverables may be extended by a period equivalent to
the time lost because of inclement weather that precludes Work towards the completion of that
deliverable. The PERFORMING PARTY shall maintain, and make available at TCEQ's request, daily
records adequately supporting its claim that inclement weather precluded Work towards the completion
of a deliverable. The PERFORMING PARTY shall make best attempts to recoup time lost due to
inclement weather. The PERFORMING PARTY shall notify TCEQ in writing (fax and/or email
acceptable) prior to the deliverable deadline of the deadline extension pursuant to this Article.
Extensions of a deliverable deadline pursuant to this Article will constitute a Minor Change. No
extension under this Paragraph shall extend the terms of this Contract. TCEQ reserves the right to
reject, in good faith, within 30 days of receipt of the notification of the deadline extension, the
PERFORMING PARTY'S claim that inclement weather precluded Work towards the completion of a
deliverable.
ARTICLE 5.
PAYMENTS TO PERFORMING PARTY
Cost Reimbursement
5.1 The PERFORMING PARTY has submitted a cost analysis. The PERFORMING PARTY and
TCEQ acknowledge that this cost analysis is the basis upon which the Contract Costs Budget has been
developed.
Page 12 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
5.2. Because certain Monitoring Division Program activities may not be performed in a given month,
the PERFORMING PARTY shall perform a quarterly review of the Monitoring Division Program
activities it actually performs or expects to actually perform during that quarter. In this review, the
PERFORMING PARTY shall determine whether the nearest practicable estimate of its actual cost of
providing those services for that quarter is within the constraints established elsewhere in this
Agreement.
5.3. The PERFORMING PARTY shall make its review and determination available to TCEQ upon
request. TCEQ may perform an independent review and make its own independent determination, or
may make its own independent determination based upon the PERFORMING PARTY's review.
Contractual Costs
5.4. PERFORMING PARTIES which are Governmental entities must engage in contractor selection
on a competitive basis in accordance with their established policies. If PERFORMING PARTY has no
competitive procurement policy or is a private entity, PERFORMING PARTY must generally select
contractors by evaluation and comparison of price, quality of goods or services and past performance.
Duplication of Effort Prohibited
5.5. In addition to the funds provided to PERFORMING PARTY under this Grant Agreement, TCEQ
may provide funds to PERFORMING PARTY under a separate Grant Agreement so that funds of two or
more Grants are to be provided to a single activity of the PERFORMING PARTY. PERFORMING
PARTY must monitor all activities to ensure that the Grant funds complement one another and do not
result in double payments for the same activity.
Payment Request Procedures
5.6. On a quarterly basis, within 30 days after the end of a quarter, the PERFORMING PARTY shall
submit one (1) copy of a properly completed State of Texas Purchase Voucher (Form B-2), an itemized
invoice provided by TCEQ (Form B-3), a Financial Status Report (FSR) (Form B-4) and a Quarterly
Report Checklist incorporated herein as Exhibit A-4, in order to obtain payment for tasks completed
under this Agreement. The PERFORMING PARTY will indicate the Match Amount in the space
provided on the FSR. A description of the services provided by your Match Amount should be
described in the FSR on the supplemental pages attached to the form. The itemized invoice includes on
a separate line, the total amount that is being matched by the PERFORMING PARTY. The
PERFORMING PARTY shall complete a quarterly HUB Progress Assessment Report, incorporated
herein as Form B-1, and submit this Report with each quarterly invoice and voucher. Completed
vouchers, invoices, and reports shall be cmailed to Steohanie.Ma a,tcea.texas. a_ ov
and- Max.Hernandez(a�tceet:texas:aov-or--mailed-to -the-following-address:
Page 13 of 141
Contract Name Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Attn: Ms. Stephanie Ma
TCEQ
Monitoring Division, MC-165
P.O. Box 13087
Austin, TX 78711-3087
5.7. The TCEQ Project Representative will review the purchase vouchers, invoices, the quarterly
FSR, and Quarterly Report Checklists for requests for payment of services performed as identified in
Section A (Statement of Work) and Section B (Deliverables) and will notify the PERFORMING
PARTY that the requests are acceptable or will provide an explanation of why the requests or the Work
identified in the requests are unacceptable. If the requests do not satisfactorily demonstrate the
accomplishment of the required tasks, the TCEQ Project Representative will not authorize payment on
the accompanying voucher and invoice until such time as deficiencies have been corrected.
5.8. TCEQ will not issue any payment of an approved reimbursement request from the
PERFORMING PARTY until TCEQ receives from the EPA funds specifically awarded for activities
provided by the PERFORMING PARTY under this Agreement.
5.9. Nothing in this Article shall be construed to prevent TCEQ or the PERFORMING PARTY from
exercising any of its rights under this Agreement including but not limited to those relating to
termination and remedies,
5.10. TCEQ is not obligated to make payment until it approves a request for reimbursement. TCEQ
may suspend payment for any incomplete, inconsistent or incorrect deliverable until the PERFORMING
PARTY completes or corrects it.
Closeout
5.11, When TCEQ determines that all administrative activities and all required Work have been
completed, TCEQ shall close out the Contract. Within 60 days after the expiration or termination of the
Contract, the PERFORMING PARTY must submit all financial, performance, and other reports required
within 45 days after the expiration of termination of the Contract. These reports may include:
5.11.1. All Performance or Progress Reports required by this Agreement.
5.11.2. Financial Status Report (Form B-4).
5.11.3. Final Request for Payment. (Including Forms B-1, B-2, B-3).
Invention _disclosure. (if applicable)... _...
5.11.5. State-owned Property Report (if applicable).
5.12. In accordance with the Uniform Grant Management Standards, the PERFORMING PARTY
must submit an inventory of all State-owned property (as distinct from property acquired with Grant
Page 14 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
funds) for which it is accountable and request disposition instructions from TCEQ for property no longer
needed.
5.13. Within 90 days of receipt of the reports set forth above, TCEQ will make upward or downward
adjustments to the allowable costs. TCEQ will make prompt payment to the PERFORMING PARTY
for allowable reimbursable costs. Closeout of the Grant does not affect:
5.13.1. TCEQ's right to disallow costs and recover funds on the basis of a later audit, quality
assurance assessment, or other review;
5.13.2. The PERFORMING PARTY'S obligation to return any funds due as a result of later
refunds, corrections, or other transactions;
5.13.3. Records retention as required herein;
5.13.4. Property management requirements set forth herein; and
5.13.5. Audit, including quality assurance assessment, requirements set forth herein.
5.14. The PERFORMING PARTY must immediately refund to TCEQ any balance of unobligated
(unencumbered) cash advanced that is not authorized to be retained for use on another Grant.
5.15. Any funds paid to a PERFORMING PARTY in excess of the amount to which the
PERFORMING PARTY is finally determined to be entitled under the terms of the award constitute a
debt to TCEQ. If not paid within a reasonable period after demand, TCEQ may reduce the debt by:
5.15.1. Making an administrative offset against other requests for reimbursement;
5.15.2. Withholding advance payments otherwise due to the PERFORMING PARTY, or
5.15.3. Other action permitted by law.
5.16. Except where otherwise provided by statutes or regulations, TCEQ will charge interest on an
overdue debt in accordance with the Uniform Grant Management Standards. The date from which
interest is computed is not extended by litigation or the filing of any form of appeal.
5.17. The PERFORMING PARTY shall provide to TCEQ documentation showing all tasks that have
been completed by the PERFORMING PARTY. The PERFORMING PARTY agrees that the
determination of satisfactory completion of any and all Work or other services performed or furnished
under this Contract will be based on the judgment of the staff of TCEQ, which judgment will be
._exercised.in a_reasonable. manner and -in.good faith.
5.18. TCEQ may refuse to reimburse expenditures for which the PERFORMING PARTY subunits a
voucher more than 60 days after the termination date of this Contract.
Page 15 of 141
Contract Name: Ambient Alr Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Federal Conditions and Forms
ARTICLE 1. FEDERAL REQUIREMENTS
This Agreement is funded in whole or in part with federal grant money. The following conditions apply to
this Agreement and any future amendments in addition to all other Agreement terms. All applicable
requirements of TCEQ's federal grants and with 4o CFR Chapter 1, Subchapter 13, including but not
limited to, Parts 7, 31 through 35, as well as any additional federal funding conditions that arise during the
Agreement period, are incorporated herein by reference. (TCEQ will provide copies of applicable federal
grants or regulations upon request). The term "Performing Party" as used in these Federal Conditions
means either Performing Party, Grantee, or Contractor, as applicable.
ARTICLE 2. FEDERAL INTELLECTUAL PROPERTY REQUIREMENTS
A nonexclusive, perpetual, irrevocable license to use, copy, publish, and modify any intellectual property
to which rights are granted or assigned to TCEQ in this Agreement are hereby also granted to, assigned to,
or reserved by the Federal Government. To the extent consistent with the rights of third parties, the
Federal Government shall also have the right to sell any intellectual property right it reserves or acquires
through this Agreement.
ARTICLE 3. ACKNOWLEDGMENT OF FINANCIAL SUPPORT
The Performing Party shall acknowledge the financial support of the TCEQ and the U.S. EPA whenever
work funded, in whole or part, by this Agreement is publicized or reported in news media or publications.
All reports and other documents completed as a part of this Agreement, other than documents prepared
exclusively for internal use within the TCEQ, shall carry the following notation on the front cover or title
page:
PREPARED IN COOPERATION WITH THE
TEXAS COMMISSION ON ENVIRONMENTAL QUALITY AND
U.S. ENVIRONMENTAL PROTECTION AGENCY
The preparation of this report was financed through grants from the U.S. Environmental Protection
Agency through the Texas Commission on Environmental Quality.
If the funding source is a U.S. agency other than U.S. EPA, the name of the appropriate federal agency
should be substituted,
ARTICLE 4. COST AND PRICE OF THIS AGREEMENT
If this Agreement was not competitively procured or if payment is based on reimbursement of actual
costs, then Performing Party shall submit cost information sufficient for a cost analysis as required by 4o
CFR §31.36. This information must be submitted on forms provided by the TCEQ.
ARTICLE 5. ACCOUNTING SYSTEMS AND PROPERTY MANAGEMENT SYSTEMS
1. Performing Party shall have an accounting system which accounts for costs in accordance with
generally accepted accounting standards or principles and complies with 4o CFR §31.2o. This system
shall provide for the identification, accumulation, and segregation of allowable and unallowable project
costs among projects.
2. Performing Party shall have a property management system that complies with 40 CFR §§ 31.32
through 31.33.
ARTICLE 6. RECORD DOCUMENTS, DATA, 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
Page 16 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number. 582-14-40060
records and supporting documentation for all expenditures of funds pursuant to Office of Management
and Budget (OMB) Circulars A-21, A-87, A-1o2, or A-11o, as appropriate.
2. In accordance with OMB Circular A-133, the Performing Party shall obtain a single audit if it expends
$500,000 or more a year in federal awards.
ARTICLE 7. SUSPENSION AND DEBARMENT
1. Performing Party shall fully comply with Subpart C of 2 CFR Part 18o, entitled "Responsibilities of
Participants Regarding Transactions Doing Business With Other Persons." Performing Party is
responsible for ensuring that any lower tier covered transaction, as described in Subpart B of 2 CFR Part
18o, entitled "Covered Transactions," includes a term or condition requiring compliance with Subpart C.
Performing Party is responsible for further requiring the inclusion of a similar term or condition in any
subsequent lower tier covered transactions. Performing Party acknowledges that failing to disclose the
information required under 2 CFR 180.335 may result in the delay or negation of this agreement or
pursuance of legal remedies.
2. Performing Party may access the Excluded Parties List System at httn://www.enls.gov.
ARTICLE 8. DISADVANTAGED BUSINESS ENTERPRISES (DBEs)
1. The Performing Party shall not discriminate on the basis of race, color, national origin or sex in
the performance of this contract, The Performing Party agrees to comply with the requirements of
EPA's Program for Utilization of Minority and Women's Business Enterprises (MBE/WBE) as
found in 40 CFR Part 33. Failure by the Performing Party to carry out these requirements is a
material breach of this contract which may result in the termination of this contract or other
legally available remedies.
2. Performing Party agrees that qualified DBEs shall have the maximum practicable opportunity to
participate in the performance of the Work required under this Contract through possible
subcontracts to carry out portions ofthe Work or any goods and/or services procurements that
directly support the required Work.
3. The Performing Party is required to make a good faith effort to include Historically Underutilized
Businesses (HUBs) or DBEs on any solicitations for subcontractors and for suppliers (vendors) of
contract -required goods and/or services. Records documenting compliance with the six good faith
efforts found in 4o CFR Section 33.301 shall be retained.
4, Performing Party must submit a completed HUB Progress Assessment Report (PAR) or the EPA
Form 57oo-a (if a HUB Subcontracting Plan (HSP) is not required) with each reimbursement
request submitted. At a minimum this report shall include the name of the HUB or DBE, a
description ofthe work, services or materials provided, the amount paid to the HUB or DBE, and
the name and telephone number of a contact person within the HUB or DBE.
5. Before terminating a DBE for convenience, the Performing Party must notify TCEQ in writing for
prior approval.
6. If a DBE subcontractor fails to complete work, for any reason, and the Performing Party plans to
procure a replacement subcontractor, the Performing Party must demonstrate the same good
faith effort to procure the replacement subcontractor,
7. The Performing Party must pay its subcontractors for satisfactory performance no more than 10
days from the Performing Party's receipt of payment from TCEQ.
8. TCEQ requires Performing Party to complete the following forms:
a. The Performing Party shall provide the attached DBE Subcontractor Participation Form,
Form 6100-2, to all its DBE subcontractors with instructions that each DBE may
complete the form and submit it directly to the appropriate EPA DBE Coordinator for
Region 6.
Page 17of141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
b. The Performing Party must have its DBE subcontractors complete Form 6100-3, DBE
Program Subcontractor Performance Form.
c. The Performing Party must complete and submit Form 6100-4, DBE Program
Subcontractor Utilization Form.
d. Performing Party must submit forms 6100-3 and 6100-4 to TCEQ HUB Office prior to
contract award. When the agency requires a HSP, the completed HSP and supporting
documentation must be included with the proposal/hid; otherwise proposal/bid shall be
deemed non -responsive for failure to comply with advertised specifications.
ARTICLE 9. PROHIBITION USE OF FEDERAL FUNDS FOR LOBBYING AND
LITIGATION
1, The Performing Party agrees to comply with Title 40 CFR Part 34, New Restrictions on Lobbying.
The Performing Party agrees that none of the funds paid under this Contract will be used to
engage in the lobbying of the Federal Government or in litigation against the United States unless
authorized under existing law. When Performing Party applies for final payment, Performing
Party will certify on a written form provided by the TCEQ that Performing Party has complied
with this provision.
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 $io,000 and not more than $ioo,000 for each
such expenditure.
3. The Performing Party shall submit to the TCEQ to Certification Regarding Lobbying form.
ARTICLE 10. FEDERAL FUNDING ACCOUNTABILITY AND TRANSPARENCY ACT
(FFATA) REPORTING
1. In accordance with 2 CFR Part 25, entities that receive subawards from TCEQ that are funded
wholly or partially with federal funds must (1) be registered in the Central Contractor Registration
(CCR) prior to submitting an application or plan or entering into an agreement; (2) maintain an
active CCR registration with current information at all times while the application or plan is
under consideration by TCEQ or during the term of the agreement; and (3) provide its Data
Universal Numbering System (DUNS) number in each application or plan it submits to TCEQ,
unless an exemption applies.
2. No funds may be received or awarded until Performing Party has complied with these
requirements and provided a valid DUNS number.
3. Additionally, in accordance with 2 CFR 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. The Performing Party shall submit to the TCEQ the Federal Funding Accountability and
Transparency Act Reporting Form
ARTICLE 11. 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 4o CFR 36.200-
• a6.2-3 .-Additionally, irraccordanceewith these regulations; -the Performing -Party -must identify all
known workplaces under its federal awards and keep this information on file during the
performance of the award.
2. In accordance with EPA Order 1000.25 and Executive Order 13423, Strengthening Federal
Environmental, Energy and Transportation Management (January 24, 2007), the Performing
Page 18 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14.40060
Party agrees to use recycled paper and double sided printing for all reports which are prepared as
a part of this agreement and delivered to EPA. This requirement does not apply to reports
prepared on forms supplied by EPA, or to Standard Forms, which are printed on recycled paper
and are available through the General Services Administration.
3. Pursuant to 4o CFR 30.18, if applicable, and 15 USC 2225a, the Performing Party agrees to ensure
that all space for conferences, meetings, conventions, or training seminars funded in whole or in
part with federal funds complies with the protection and control guidelines of the Hotel and Motel
Fire Safety Act (PL tot-391, as amended). Performing Party may search the Hotel -Motel National
Master List at http://www.usfa.dhs.aov/annlications/hotel/ to see if a property is in compliance,
or to find other information about the Act.
4. Trafficking in Persons. Prohibition Statement — You as the recipient, your employees,
subrecipients under this award, and subrecipients' employees 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 used 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 subrecipient 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 that is described in previous section 4.a.: (1)
implements section 1o6(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as
amended (22 U.S.C. 71o4(g)), and (2) is in addition to all other remedies for
noncompliance that are available to TCEQ under this award.
Page 19 of 141
Contract Name: Ambient Aft Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Instructions on how to fill out attached
Federal Forms:
1. Certification Regarding Lobbying - EPA Form 6600-06 - Form
should be filled out and returned with Respondents response.
2. Disclosure of Lobbying Activities - Form should be filled out and
returned with Respondents response to disclose any lobbying activities.
3. DBE Subcontractor Participation Form - EPA Form 6100-2 - If
respondent is awarded a contract, the respondent will give these forms to
his/her subcontractors to fill out and turn into EPA. Forms will be
submitted after award of contract.
4. DBE Subcontractor Performance Form - EPA Form 6100-3 - If
respondent is awarded a contract, the respondent will fill this out after
award. Forms will be submitted after award of contract.
5. DBE Subcontractor Utilization Form - EPA Form 6100-4 - If
respondent is awarded a contract, the respondent will fill this out after
award. Forms will be submitted after award of contract.
6. EPA DBE Program Self -Certification Form - TCEQ Form 20567 -
This form is to be filled out in conjunction with EPA Form 6100-4 (#5
above). The form is used by TCEQ to verify minority and/or women -
owned businesses listed on EPA Form 6100-4 comply with the EPA DBE
program. Forms will be submitted after award of contract.
7. Cost or Price Summary Format for Sub -agreements under U.S.
EPA Assistance - This form is only filled out if there is only one
respondent that turned in a response. TCEQ will contact the respondent if
the form needs to be filled out.
Page 20 of 141
Contract Name: Ambient Alr Monitoring - Pass-Thru Grant Contract Number: 582-14-40080
United States
EPA
Environmental Protection Agency
EPA Project Control Number
CERTIFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTRACTS, GRANTS,
LOANS AND COOPERATIVE AGREEMENTS
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1)
No Federal appropriated funds have been pald or will be pald, by or on behalf of the
undersigned, to any person for Influencing or attempting to Influence an officer or
employee of any agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal loan, the entering
into of any cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any Federal contract, grant, loan, or cooperative
agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to Influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress In connection with this Federal contract, grant, loan, or cooperative agreement,
the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying
Activities," In accordance with its Instructions.
The undersigned shall require that the language of this certification be Included in the
award documents for all sub -awards at all tiers (including sub -contracts, sub -grants, and
contracts under grants, loans, and cooperative agreements) and that all sub -recipients
shall certify and disclose accordingly.
(3)
This certification Is a material representation of fact upon which reliance was placed when this
transaction was made or entered Into. Submission of this certification Is a prerequisite for making or
entering Into this transaction Imposed by section 1352, title 31 U.S. Code. Any person who fails to file
the required certification shall be subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
APPLICANT'S ORGANIZATION
CITY OF FORT WORTH
Fernando Costa
Typed Name of Authorized Repres
Signature of Authorized Represe
istant City Manager
Authorized Representative
Date of Signature
Secretary Page 21 of 141
APPROVED AS TO FORM AND LEGALITY:
Astia t ,r4,, „ 0,117,1
Approved by OMB
1. Type of Federal Action:
b
DISCLOSURE OF LOBBYING ACTIVITIES
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352
(See reverse for public burden disclosure.)
a. contract
b. grant
c. cooperative agreement
d. loan
e. loan guarantee
f. loan insurance
4. Name and Address of Reporting Entity
City of Fort Worth
1000 Throckmorton Street
Fort Worth, TX 76102
ICongressional District, if known: TX-012
6. Federal Department/Agency:
US EPA
8. Federal Action Number, if known:
2. Status of Federal Action:
a
10. a. Name and Address of Lobbying Registrant
(if individual, last name, first name, MI):
a. bid/offer/application
b. initial award
c. post -award
3. Report Type:
a
a. initial filing
b. material change
0348-0046
For Material Change Only:
year quarter
date of last report
5. If Reporting Entity in No. 4 is a Subawardee, Enter Name
and Address of Prime:
Texas Commission on Environmental Quality
12100 Park 35 Circle
Austiin, TX 78753
Congressional District, if known:
7. Federal Program Name/Description:
Air Pollution Control Program Support
CFDA Number, if applicable: 66.001
9. Award Amount, if known:
$ 206934.00
b. Individuals Performing Services (including address if
different from No. 10a)
(last name, first name, MI):
None N/A
11. Information requested through this form is authorized by title 31
U.S.C. section 1352. This disclosure of lobbying activities is a material
representation of fact upon which reliance was placed by the tier above
when this transaction was made of entered into. This disclosure is required
pursuant to 31 U.S.C. 1352. This information will be reported to the
Congress semi-annually and will be available for public inspection. Any
person who fails to file the required disclosure shall be subject to a civil
penalty of not less that $10,000 and not more than $100,000 for each such
failure.
Federal Use Only:
Signature:
Print Name: Fernando Costa
Title: Assistant City Manager
Telephone No: 817-392-6122
Date: 9//,3//3
Authorized for Local Reproduction
Standard Form LLL (Rev. 7-97)
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
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 filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreement to make
payment to any lobbying entity for Influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with a covered Federal action. Complete all Items that apply for both the initial filing and material
change report. Refer to the implementing guidance published by the Office of Management and Budget for additional Information.
1. Identify the type of covered Federal action for which lobbying activity Is and/or has been secured to influence the outcome of a covered Federal action,
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report. If this is a follow up report caused by a material change to the information previously reported,
enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered
Federal action.
4. Enter the full name, address, city, State and zip code of the reporting entity, Include Congressional District, If known. Check the appropriate
classification of the reporting entity that designates if it Is, or expects to be, a prime or subaward recipient. Identify the tier of the subawardee, e.g., the
first subawardee of the prime Is the 1st tier, Subawards Include but are not limited to subcontracts, subgrants and contract awards under grants.
5. If the organization filing the report in item 4 checks "Subawardee," then enter the full name, address, city, State and zip code of the prime Federal
recipient. Include Congressional District, if known.
6. Enter the name of the Federal agency making the award or loan commitment, Include at least one organizational level below agency name, if known.
For example, Department of Transportation, United States Coast Guard,
7, Enter the Federal program name or description for the covered Federal action (Item 1). If known, enter the full Catalog of Federal Domestic Assistance
(CFDA) number for grants, cooperative agreements, loans, and loan commitments.
8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number;
Invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number
assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001."
9, For a covered Federal, action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan
commitment for the prime entity identified In item 4 or 5,
10. (a) Enter the full name, address, city, State and zip code of the lobbying registrant under the Lobbying Disclosure Act of 1995 engaged by the
reporting entity identified In Item 4 to influence the covered Federal action.
(b) Enter the full names of the individual(s) performing services, and Include full address if different from 10 (a). Enter Last Name, First Name, and
Middle Initial (MI).
11. The certifying official shall sign and date the form, print his/her name, title, and telephone number.
According to the Paperwork Reduction Act, as amended, no persons are required to respond to a collection of information unless it displays a valid OMB Control
number. The valid OMB control number for this information collection Is OMB No. 0348-0046. Public reporting burden for this collection of Information is
estimated to average 10 minutes per response, Including time for reviewing instructions, searching existing data sources, gathering and maintaining the data
needed, and completing and reviewing the collection of information.. Send comments regarding the burden estimate or any other aspect of this collection of
information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington,
DC 20503.
Page 23 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Environmental
Protection Agency
OMB Control No: 2090-0030
Approved: 05/01/2008
Approval Expires: 01/31/2011
Disadvantaged Business Enterprise Program
DBE Subcontractor Participation Form
NAME OF SUBCONTRACTOR' PROJECT NAME
ADDRESS CONTRACT NO.
TELEPHONE NO. EMAIL ADDRESS
PRIME CONTRACTOR NAME
Please use the space below to report any concerns regarding the above EPA -funded project
termination by prime contractor, late payment, etc.).
e
reason for
AMOUNT
CONTRACT ITEM OF WORK OR DESCRIPTION OF SERVICES RECEIVED FROM SUBCONTRACTOR
ITEM NO. THE PRIME CONTRACTOR WAS PAID BY PRIME
CONTRACTOR
Subcontractor Signature
Title/ Date
`Subcontractor is defined as a company, firm, joint venture, or individual who enters into an agreement
with a contractor to provide services pursuant to an EPA award of financial assistance,
EPA FORM 6100-2 (DBE Subcontractor Participation Form)
Page 24 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Environmental
Protection Agency
OMB Control No: 2090-0030
Approved: 05/01/2008
Approval Expires: 01/31/2011
Disadvantaged Business Enterprise Program
DBE Subcontractor Perforrnance Form
NAME OF SUBCONTRACTORI PROJECT NAME
ADDRESS BID/PROPOSAL NO.
TELEPHONE NO. E-MAIL ADDRESS
PRIME CONTRACTOR NAME
CONTRACT ITEM OF WORK OR DESCRIPTION OF SERVICES BID TO
ITEM NO. PRIME
PRICE OF WORK
SUBMITTED TO
PRIME CONTRACTOR
Currently certified as an MBE or WEE under EPA's DBE Program? Yes No Signature of
Prime Contractor Date Print Name Title
Signature of Subcontractor Date
Name Title
Print
'Subcontractor is defined as a company, firm, joint venture, or individual who enters into an agreement with a contractor
to provide services pursuant to an EPA award of financial assistance.
EPA FORM 6100-3 (DBB Subcontractor Performance Form)
Page 25 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Environmental
Protection Agency
OMB Control No: 2090-0030
Approved: 05/01/2008
Approval Expires: 01/31/2011
Disadvantaged Business Enterprise Program
DBE Subcontractor Utilization Form
BID/PROPOSAL NO. PROJECT NAME
NAME OF PRIME BIDDER/PROPOSER E-MAIL ADDRESS
ADDRESS
TELEPHONE NO. I FAX NO.
The following subcontractorsi will be used on this project:
COMPANY NAME, ADDRESS, PHONE TYPE OF WORK TO BE ESTIMATE CURRENTLY
NUMBER, AND E-MAIL ADDRESS PERFORMED D DOLLAR CERTIFIED
AMOUNT AS AN MBE
OR WBE?
I certify under penalty of perjury that the forgoing statements are true and correct. In the event of a
replacement of a subcontractor, I will adhere to the replacement requirements set forth in 40 CFR Part 33
Section 33,302(c),
Signature of Prime Contractor
Print Naive
Date
Title
'Subcontractor is defined as a company, firm, Joint venture, or individual who enters into an agreement with a contractor
to provide services pursuant to an EPA award of financial assistance.
EPA FORM 6100-4 (DBE Subcontractor Utilization Fonn)
Page 26 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Solicitation # (if I Fed. Tax or Vendor
applicable) ID
Company Name:
Address:
City, State, Zip:
Phone #: J Fax #:
Email Address:
To qualify for EPA DBE Status afof the following must apply:
Certifying Eligibility Criteria:
Texas Certified Historically underutilized Business (HUB)
Indicate Certifying Entity :
Texas Comptroller of Public Accounts (CPA••TPASS)
*Personal Net Worth less than $750,000 for each individual claiming disadvantage status (Excludes equity of primary residence and
individual's ownership interest in company), These individuals must own at least 51 % of the company and have a managing control in the daily
operations. See 40 CFR 33,201, Personal Net Worth is determined as per 13 CFR 124.104(2) and 124.105(c)(2).
Or (at least one below must molt')
Certifying Eligibility Criteria: Indicate Certifying Entity :
❑ Minority -Owned Business
❑ Woman -Owned Business
❑ Disabled -American Business
❑ Native -American Small Business
❑ **HUBZone Empowerment Contracting Program Small Business Administration
**Small Business Meets Small Business Administration (SBA) size standards for a small business. SBA size standards are located at
htta:llwww,sba.aovJidc/aroueslpubtIcldocumentslsba homeoacelsery sstd tableodf,odf,
❑ Please note, if your firm qualifies as a Small Business, you may self -certify your company with SBA. You can not claim Small Business status
unless you are SBA certified. More information on Small Disadvantage Business certification is available at
httpl/www,sba.gov/aboutsba/sbaprograms/sdb/index,html.
El Historically Black College/University (HBCU) or Minority Institution (MI). The Secretary of Education must designate HBCUsIM1s, see list at
httpJlwww,ed.g_oviabouf/offices(listslocrledlite-minority inst,html
*"Certification must be currently listed in the federal database - Central Contractor Register (CCR) www.CCR.aov
And (all below must aaaly)
Certifying Eligibility Criteria:
El United States Citizen
*Personal Net Worth less than $750,000 for each individual claiming disadvantage status (Excludes equity of primary residence and
❑ individual's ownership interest in company). These individuals must own at least 51 % of the company and have a managing control in the daily
operations. See 40 CFR 33.201. Personal Net Worth is determined as per 13 CFR 124.104(2) and 124.105(c)(2).
❑ Company meets other certifying criteria listed in Section 8(a)(5) and (6) of SBA Act, 15 USC 631 et seq. See Website for eligibility:
ht(p_Jlwww.arnet gov/fartcurrentlhtml/Subpart%2019 7,html
Please Note, it is your responsibility to notify TCGO Wow size, ownership status, net worth or certification status chances
By execution of this form, you attest the information provided is accurate and true.
--Print Name .... ...__... Title- -
Signature Date
*Important - Under 15 USC 645(d), any person who misrepresents its size or net worth status shall (1) be punished by a fine, imprisonment or both; (2)
be subject to administrative remedies; and (3) be ineligible for participation in programs conducted under the authority of the Small Business Act.
Page 27 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
COST OR PRICE SUMMARY FORMAT FOR SUBAGREEMENTS UNDER U.S. EPA ASSISTANCE
PART I - GENERAL
1. RECIPIENT 2, ASSISTANCE IDENTIFICATION NO.
3. NAME OF CONTRACTOR OR SUBCONTRACTOR 4. DATE OF PROPOSAL
5. ADDRESS OF CONTRACTOR OR SUBCONTRACTOR 6. TYPE OF SERVICE TO BE FURNISHED
7. DIRECT LABOR (Specify labor categories)
DIRECT LABOR TOTAL:
8. INDIRECT COSTS (Specify indirect cost pools)
INDIRECT COSTS TOTAL:
9. OTHER DIRECT COSTS
a. TRAVEL
(1) TRANSPORTATION
(2) PER DIEM
TRAVEL SUBTOTAL:
b. EQUIPMENT, MATERIALS, SUPPLIES
(Specify categories)
EQUIPMENT SUBTOTAL;
PART II - COST SUMMARY
ESTIMATED HOURLY
HOURS RATE
RATE
QTY
ESTIMATED COST
X BASE = ESTIMATED COST
COST
ESTIMATED COST
$
$ _
ESTIMATED COST
c. SUBCONTRACTS ESTIMATED COST
SUBCONTRACTS SUBTOTAL:
d. OTHER (Specify categories)
OTHER SUBTOTAL:
-OTHER-DIRECT COSTS TOTAL:
110. TOTAL ESTIMATED COST
11. PROFIT
12. TOTAL PRICE
13. CONTRACTOR OR SUBCONTRACTOR
EPA Form 5700-41
PART III - CERTIFICATIONS
Page 28 of 141
ESTIMATED COST
TOTALS
Contract Name: Ambient Alr Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
This proposal is submitted for use In connection with and in response to (1)
, . This Is to certify to the best of my knowledge and belief that
the cost and pricing data summarized herein are complete, current, and accurate as of (2)
and that a financial management capability exists to fully and accurately account for the financial transactions under this project.
I further certify that I understand that the subagreement price may be subject to downward renegotiation and/or recoupment where
the above cost and pricing data have been determined, as a result of audit, not to have been complete, current and accurate as of
the date above.
(3)
DATE OF EXECUTION SIGNATURE OF COMPOSER
TITLE OF COMPOSER
14, LOAN RECIPIENT
I certify that I have reviewed the cosiprice summary set forth herein and the proposed costs/price appear acceptable
for subagreement award.
DATE OF EXECUTION SIGNATURE OF REVIEWER
EPA Form 5700-41
Page 29 of 141
TITLE OF REVIEWER
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
SCOPE OF WORK
The PERFORMING PARTY will operate and maintain six air monitoring stations in Tarrant, Parker,
and Johnson Counties in accordance with the most recent TCEQ QAPP pertaining to the State and Local
Air Monitoring Stations (SLAMS), Border, National Core (NCore), Particulate Matter of 2.5 Microns or
Less (PM2.5), or Photochemical Assessment Monitoring Stations (PAMS) Programs, equipment
standard operating procedures, and Preventative Maintenance Instructions Manual. All
documentation is located at httn://rhone/cai-bin/nrocedure docs.pl .
Station locations:
1. Stage Coach, 8900 West Freeway, White Settlement
2. CAMS 17 — Keller, FAA Site off Alta Vista Road, Fort Worth
3. CAMS 61 Arlington Municipal Airport, Arlington
4. CAMS 75 — Eagle Mountain Lake, 14290 Morris Dido Newark Road, Eagle Mountain
5, CAMS 76 — Parker County, 3033 New Authon Road, Weatherford
6. CAMS 1008 — Johnson County Luisa, 2420 Luisa Lane, Alvarado
These stations are subject to relocation depending upon property owner request. In the event of a site
relocation the contractor will be notified 30 days prior to relocation and will operate the site at the new
location.
Equipment at Stage Coach includes two PM10 monitors.
Equipment at Keller includes one ozone (03) monitor, one solar radiation monitor, and one
meteorological tower to monitor temperature, wind speed, and wind direction.
Equipment at CAMS 61 Arlington Municipal Airport includes one carbon monoxide (CO) monitor, one
oxides of nitrogen (N0x) monitor, one 03 monitor, one PM2.5 tapered element oscillating microbalance
(TEOM) monitor, one solar radiation monitor, and one meteorological tower to monitor temperature,
wind speed, and wind direction.
Equipment at Eagle Mountain Lake includes one 03 monitor, one solar radiation monitor, and one
meteorological tower to monitor temperature, wind speed, and wind direction.
Equipment at Parker County includes one 03 monitor, one solar radiation monitor, and one
meteorological tower to monitor temperature, wind speed, and wind direction.
Equipment at Johnson County Luisa includes one canister volatile organic compounds (VOC) monitor
and one meteorological tower to monitor temperature, wind speed, and wind direction.
The contractor will operate any additional or relocated ambient air equipment at the currently
established or new monitoring stations as needed or agreed upon by both parties.
1. Grants
The PERFORMING PARTY shall fully comply with and complete all requirements and output
objectives under any EPA grant agreements from which it receives funds for the period of this
Agreement. This task shall apply, but not be limited, to grants awarded under Section 105 of the Federal
Page 30 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Clean Air Act.
2. Administrative Regulations
The PERFORMING PARTY shall provide adequate recordkeeping and reporting to ensure conformance
to the financial, property, and procurement regulations. Guidelines or criteria for accomplishment:
Treasury Circular 1075, Chapters 1000 and 2000; OMB Circular A-102, A-133, and A-87; 40 CFR 31;
40 CFR 35.
TCEQ or the EPA, as appropriate, may update any or all of the exhibits referred to in this Agreement.
The PERFORMING PARTY shall implement updated editions of any such updated exhibits within 30
days of receipt.
2.1 Requests for Rebudget Approval
As needed, the PERFORMING PARTY shall submit to TCEQ a request for rebudget approval
according to the requirements described in 40 CFR 31.30 (c) (iii) or (d) (1-3). Within 30 days of
request, TCEQ will provide comments or approve the request.
2.2 Purchase of Property Items
Prior to purchase, the PERFORMING PARTY shall submit a request and a justification to
TCEQ for approval to purchase property items with a unit acquisition cost of $1,000 or more, if
purchased with funds provided by contracts and/or matching funds from TCEQ.
2.3 Financial Status Report
By September 30 of each fiscal year, the PERFORMING PARTY shall submit a final Financial
Status Report (FSR) for this Contract, in accordance with EPA Fiscal Guidance 40 CFR 31.41.
With the final FSR, the PERFORMING PARTY shall submit a list of property purchased wholly
or partially with funds from this Contract and having a unit acquisition cost of $1,000 or more.
The FSR shall satisfy State financial reporting requirements for this Contract. This requirement
for a final FSR is in addition to the FSR required to be submitted with each invoice. The
requirements of this Section shall survive the termination of this Agreement.
2.4 Quality Assurance Audit
The Quality Assurance Audit will consist of an End -of -Year Questionnaire plus any on -site
evaluations deemed necessary by the lead TCEQ Quality Assurance Specialist. TCEQ will
submit to the EPA the results of any Quality Assurance Audits conducted on the activities of the
PERFORMING PARTY and its progress in meeting contract requirements. The report will in-
clude quality assurance findings and recommended solutions to any quality assurance problems
/ioteil Acopy of-tlze report -Will he provided to the PERFORMING- PARTY.. The requirements
regarding any Quality Assurance Audit shall survive the termination of this Agreement. The
Quality Assurance Audit will be conducted as an on -site evaluation as deemed necessary by the
lead TCEQ Quality Assurance Specialist. An End -of -Year Questionnaire will be used and
conducted as follows:
Page 31 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
2.4.1 FY2014 End -of -Year Questionnaire (covering 7/1/2013 through 6/30/2014) and
FY2015 End--of-Year Questionnaire (covering 7/1/2014 through 6/30/2015)
a. Within 30 days of receipt, the PERFORMING PARTY shall respond to
the End -of -Year Questionnaire.
b. If TCEQ identifies deficiencies in the Ambient Air Monitoring Program
upon its End -of -Year Questionnaire evaluation, the PERFORMING
PARTY shall, within 30 days after receipt of TCEQ continents, provide
information to TCEQ concerning actions that will be taken to correct any
deficiencies noted in the report. This response will include a description
of the nature and extent of each deficiency's impact on data quality, the
specific corrective actions taken or planned to address the deficiencies,
actions taken or planned to prevent recurrence, a schedule to bring any
deficiencies in the Ambient Air Monitoring Program up to TCEQ
standards, the means to be used to document completion of each action,
and it will identify resources to accomplish the necessary corrections.
c. If TCEQ identifies deficiencies in the Ambient Air Monitoring Program
upon its End -of -Year Questionnaire evaluation, the PERFORMING
PARTY shall, within 90 days after receipt of TCEQ comments or as
directed by TCEQ, correct any similar deficiencies in the Work performed
under this Contract and report to TCEQ any deficiencies that cannot be
corrected within the allocated time -frame. If the deficiencies are not
corrected to the satisfaction of TCEQ, in addition to other rights TCEQ
may have against the PERFORMING PARTY, it may result in TCEQ
withholding payment to the PERFORMING PARTY for future monitoring
activities and/or in the PERFORMING PARTY becoming ineligible for
future funding.
2,4,2 When TCEQ deems it necessary, a TCEQ Quality Assurance Specialist will
conduct Quality Assurance Audits in accordance with TCEQ OPP 18.09.01 and
TCEQ OPP 18.09.02.
a. The PERFORMING PARTY shall participate in audit entrance and exit
meetings and audits; provide the audit team with access to work areas,
documents, records, and staff; provide equipment (e.g., safety goggles,
hard hats) and other resources (e.g., work areas, telephones, copy
machines) needed to conduct an audit.
b. Within 30 days of receipt of the Quality Assurance Audit report, the
PERFORMING PARTY shall submit an action plan describing the steps it
will take to correct the deficiencies noted in the report. This action plan
will include a description of the nature and extent of each deficiency's
impact on data quality, the specific corrective actions taken or planned to
address the deficiencies, actions taken or planned to prevent recurrence, a
schedule to bring any deficiencies in the Ambient Air Monitoring Program
up to TCEQ standards, the means to be used to document completion of
each action, and identify resources to accomplish the necessary
corrections.
Page 32 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
c. Upon review of the action plan, TCEQ will reply with its comments to the
PERFORMING PARTY. Within 90 days after receipt of TCEQ comments
or as directed by TCEQ, the PERFORMING PARTY shall correct
deficiencies and report any deficiencies that cannot be corrected within the
allotted timeframe. If the deficiencies are not corrected to the satisfaction
of TCEQ, in addition to other rights TCEQ may have against the
PERFORMING PARTY, TCEQ may withhold payment to the
PERFORMING PARTY for future monitoring activities and/or designate
the PERFORMING PARTY ineligible for future funding.
3. Quality Assurance Plans
A complete task under this Section shall include all of the requirements listed below. In order to receive
the payment set out in the Scope of Work (Contract Costs Budget), the PERFORMING PARTY must
fulfill all of the following subsections. Guidelines or criteria for accomplishment: Sec. 319, CAA; 40
CFR, Parts 50, 51, 53, and 58; EPA QA/R2; EPA QA/R5; EPA QA 04; EPA QA/G-6; EPA QA/G-7;
EPA QA/G9.
3.1 Quality Management Plan
By 120 days prior to the expiration of the most current Quality Management Plan (QMP), the
PERFORMING PARTY shall submit to TCEQ its draft revised QMP or a certification that no
changes were made to the existing plan. The QMP must adhere to EPA QA/R2 guidance
incorporated herein as Exhibit A-2, and be approved prior to the expiration of the then -current
QMP. Failure to have an approved plan may result in withholding of all Section 105 Contract
funding until the plan is submitted and approved by TCEQ. Services or Work performed under
this Contract by the PERFORMING PARTY and any Subcontractor shall conform to the QMP.
3.2 Quality Assurance Project Plan
No later than 120 days prior to the expiration of the most current Quality Assurance Project Plan
(QAPP) associated with this Scope of Work, the PERFORMING PARTY shall submit its draft
revised QAPP or a certification that no changes were made to the existing plan. The QAPP must
adhere to EPA QA/R5 incorporated herein as Exhibit A-3, and requirements must be at least as
stringent as those described in the most current version of the applicable TCEQ QAPP pertaining
to the SLAMS, Border, NCore, PM2.5, or PAMS Programs. The submitted QAPP(s) or
certifications of no change must be approved prior to the expiration of the most current QAPP. In
absence of submitting a separate QAPP, the PERFORMING PARTY may elect to sign onto the
most current version of the applicable TCEQ QAPP pertaining to the SLAMS, Border, NCore,
PM2.5, or PAMS Programs. The PERFORMING PARTY shall submit revised/updated
appendices detailing any exceptions or differences in the PERFORMING PARTY's
implementation of the applicable TCEQ QAPPs within 30 days of the request from the TCEQ's
Project Representative. Submitted contributions to TCEQ QAPPs must be approved prior to the
QAPPs' expiration. Failure to have an approved_plan may result in withholding of all Section
105 Contract funding until the plan is submitted and approved by TCEQ. Services or work
performed under this contact by the contractor and any subcontractor shall conform to the QAPP
or applicable TCEQ QAPP. By mutual agreement, PERFORMING PARTY and TCEQ may
amend the QAPP as necessary to reflect changes in the services on work to be performed under
this contract.
4. Monitoring Program
Page 33 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
The PERFORMING PARTY shall provide support of the Texas Ambient Air Monitoring network
objectives for FY2014 and FY-2015 by operating and submitting data for air pollution monitoring sites.
The PERFORMING PARTY shall ensure that the monitoring sites are operated in compliance with
applicable regulations.
The PERFORMING PARTY shall implement and conduct a Monitoring Program as required by the
following:
4.1 Maintenance and Repair of Equipment
The PERFORMING PARTY shall be responsible for all the maintenance and/or all the
repair of any of its equipment at these sites including procurement of replacement parts
and consuunables.
4,2 Training
The PERFORMING PARTY shall ensure that its staff is adequately trained and qualified
in order to perform designated tasks. The PERFORMING PARTY shall provide a
minimum of one primary operator and at least one secondary, or backup operator, with a
minimum of six months of experience operating the equipment listed in the Scope of
Work. These site operators must be electrical/mechanical grade technicians capable of
operating and performing light maintenance on meteorological hardware and electronic
monitoring equipment. One operator must be present during the annual performance
evaluation audit. Representatives for the PERFORMING PARTY are expected to attend
TCEQ provided training, workshops, and/or other activities designed to increase
technical capabilities required to support this Agreement. It shall be the responsibility of
the PERFORMING PARTY to identify and obtain any necessary safety training. The
PERFORMING PARTY shall provide a quarterly report to TCEQ of attendance by staff
of training, workshops, and/or other activities designed to increase technical capabilities
of the PERFORMING PARTY's personnel. The report shall include any safety training
that the PERFORMING PARTY's personnel attended. This report(s) shall be discussed
during the End -of -Year Assessment,
4.3 Quality Assurance/Quality Control Assessments
4.3.1 On an annual basis, the TCEQ shall perform performance evaluations for
accuracy on the monitors operated by the PERFORMING PARTY under this contract.
Within 30 days of receiving notice of a scheduled audit, the PERFORMIMG PARTY
shall complete and submit the required Audit Questionnaire. The PERFORMING
PARTY shall be available onsite for the duration of the scheduled audit. After the
scheduled audit, if the data quality objectives are not met, the PERFORMING PARTY
must produce in writing, within 30 days of notification, an assignable cause for not
meeting this specification, the specific corrective actions taken or planned to address the
nonconformance, actions --taken -ors planned - to -prevent- recurrence, the- timetable--for--
completing each action, and the means to be used to document completion of each action.
TCEQ reserves the right to reject the affected data sets and payment may be withheld if
75% percent data return per quarter is not accomplished.
4.3.2 The PERFORMING PARTY is required to provide the following deliverables to
the TCEQ by the specified timeframe:
Page 34 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Deliverable
Monthly
verifications
Seasonal
Quarter
calibration
Two
laboratory
control
checks
(LCCs) per
calendar
quarter
Monthly
verifications
Seasonal
Quarter
calibration
Sample
shipping
Other
calibrations
Audits and
assessments
Invoices
Applicable
Equipment
PMio
PMio
NOx, 03, CO
PM2.5 TEOM
PM2.5 TEOM
PMio and
canister VOC
All
Date Due
Close of business (COB) 12th day of the
following month.
Example: January report is due February 12.
COB 12th day of the first month of the seasonal
quarter.
Example:
I. December- February calibration is due
December 120'.
II. March -May calibration is due March 12th.
[II. June -August calibration is due June 121h.
IV. September -November calibration is due
September 12th.
COB 2 calendar days after performed; two per
quarter approximately 45 days apart.
Example: First calendar quarter January -
March, LCC performed January 5 due
January 7, next LCC needs to be performed
around February 14 (45 days later) due on
February 19,
Close of business (COB)12th day of the
following month
Example: January report is due February 12.
COB 12th day of the first month of the seasonal
quarter. Example:
V. December - February calibration is due
December 12th.
VI. March - May calibration is due March 126.
III, June - August calibration is due June 1201.
September - November calibration is due
September 12th.
Samples must be mailed to the Austin
laboratory within 2 days of retrieval.
Calibrations performed due to instrument
repair, modification, or replacements are due
within 7 calendar days.
Contractor must be present during all TCEQ
assessments and reply to all TCEQ written
requests for audit findings within 3o calendar
days.
30 days after close of the invoicing period
Submit to:
Dm cr tceo.texas.eov
DMOtcea.texas.gov
lccPtcea.texas.gov
DM tcea.texas.eov
Dm(a tcea.texas.eov
TCEQ Austin laboratory
nmatcea.texas.gov or Iccntcea.
texas.aov
SteD hanie. Ma Ca) tcea .texas. gov
Max.HernandezOtcea.texas. aov
4.3.3 On an ongoing basis, TCEQ reserves the right to assess (which includes
performance evaluation, inspection, surveillance, peer review, or audit) monitors
operated by the PERFORMING PARTY. Such Assessments are expected to be
Page 35 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
announced and access to the monitors and the associated measurement data are expected
to be coordinated with the PERFORMING PARTY's staff At least one assessment per
year should be expected. More frequent assessments may occur if significant or
persistent data quality issues occur. If the data quality objectives are not met, the
PERFORMING PARTY must produce in writing, within 30 days of notification, an
assignable cause for not meeting this specification, the specific corrective actions taken
or planned to address the nonconformance, actions taken or planned to prevent
recurrence, the timetable for completing each action, and the means to be used to
document completion of each action.
4.4 Air Quality Data (AQD) Reporting
The PERFORMING PARTY shall submit to TCEQ all air quality data collected under the terms
of this contract in a mutually agreed upon format for the preceding quarter. To satisfy federal
requirements, this data shall be submitted within 45 days after the end of the federal calendar
quarter. All air quality data submittals shall be accompanied by the precision and accuracy
reports for applicable ambient monitors that describe the quality of the data submitted.
4.4.1 Because the federally -mandated time -frames do not coincide with the Contract
period, the data submittal required in Section 4.4 (Air Quality Data Reporting) may be
evaluated by TCEQ after payment has been made to the PERFORMING PARTY or after
the Contract period has expired for monitoring services. Any deficiency related to the
quality and/or timeliness of the data submittal report will be documented and reported by
TCEQ to the PERFORMING PARTY. If the deficiencies are not corrected to the
satisfaction of TCEQ, TCEQ may withhold payment to the PERFORMING PARTY for
future monitoring activities and/or in the PERFORMING PARTY becoming ineligible
for future funding.
4.5 Notice of Special Purpose Monitoring
At least 30 days before monitoring begins or as soon as is practicable, the PERFORMING
PARTY shall provide written notification to the TCEQ Monitoring Program and the TCEQ
Regional Office of any special purpose monitoring to be performed under the terms of this
contract. This notification shall include a summary report describing special purpose monitoring
to be conducted. If the monitoring is anticipated to continue for a period greater than 90 days,
quarterly accuracy audits and biweekly precision checks, in the case of continuous monitoring,
shall be performed.
4.6 Reporting of Special Purpose Monitoring Data
With quarterly data, the PERFORMING PARTY shall submit data to TCEQ in a mutually
agreed upon format for special purpose monitoring conducted under the terms of this contract. A
summary report of monitoring results will be submitted within 45 days after completion of
.monitoring.--All-aii- quality -data subrnittals.shall.be-submitted within fort-y five-(45) days after -the -
end of the federal calendar quarter. All air quality data submittals shall be accompanied by the
precision and accuracy reports for applicable ambient monitors that describe the quality of the
data submitted.
4.7 Notification of Changes to the Monitoring Network
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
A minimum of 90 days prior to a proposed modification to the PERFORMING PARTY's
monitoring network, the PERFORMING PARTY shall submit a written proposal detailing the
modification, reason for the modification, and projected timeline for the modification to the
TCEQ Project Representative. The TCEQ Project Representative shall review and approve or
disapprove the proposed modification within that 90 day time period. The PERFORMING
PARTY shall not proceed with the modification until receiving written approval from the TCEQ
Project Representative. TCEQ may modify or waive this notice requirement on a case -by -case
basis, at its sole discretion.
4.8 Annual Monitoring Network Review
On annual basis, the PERFORMING PARTY shall conduct an annual monitoring network
review by evaluating the adequacy of the existing network to meet current state and federal
monitoring objectives. Guidelines or criteria for accomplishment: 40 CFR, Part 58.
The monitoring network review process shall be conducted as follows:
4.8.1 By February 14 of each fiscal year, the PERFORMING PARTY shall submit to
TCEQ a review and evaluation document with recommendations for local network
changes.
4.8.2 By April 1 of each fiscal year, TCEQ shall provide a draft of any proposed
revisions to the PERFORMING PARTY's monitoring network for review. The
PERFORMING PARTY shall submit any comments or revisions to TCEQ within 15
working days.
4,8.3 By July 1 of each fiscal year, TCEQ shall submit a final annual monitoring
network plan to the EPA. A copy of the final document will be provided to the
PERFORMING PARTY.
4.8.4 On an ongoing basis, TCEQ will notify the PERFORMING PARTY of EPA
approved changes to the monitoring network.
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
1. CONTRACT PERIOD
1.1.
GENERAL TERMS AND CONDITIONS
for Cooperative Reimbursement Contract
for State Agencies and Local Governments
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. The Contract may be renewed for one two-year period by amendment.
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 agreed to 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.
2,5. No Debt against the State. This Contract is contingent on the continuing appropriation
of funds. This Contract shall not be construed to create debt against the State of Texas.
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
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
Management Standards (UGMS) and applicable state and federal rules and law, The text
of UGMS is available online at the Comptroller's website. 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 confirm to all reimbursement requirements
specified by TCEQ.
4.2. Conditional Payments. Reimbursements are conditioned on the Scope of Work being
performed in compliance with the Contract. PERFORMING 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,
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-theaudit-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
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
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
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
The PERFORMING PARTY shall timely notify TCEQ in writing of any actual, apparent, or potential
conflict of interest regarding the PERFORMING PARTY or any related entity or individual. No entity
or individual with any actual, apparent, or potential conflict of interest shall 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
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
PARTY agrees that TCEQ has sole discretion to determine whether a conflict exists, and that a conflict
of interest is grounds for termination for cause.
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 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
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 -wise 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
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
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 ACTIVITIES BY THE CONTRACTOR OR
ITS SUBCONTRACTORS, SUPPLIERS AND AGENTS, INCLUDING THOSE
ARISING FROM DEFECT IN DESIGN, WORKMANSHIP, MATERIALS, OR FROM
INFRINGEMENT OF ANY PATENT, TRADEMARK OR COPYRIGHT; OR FROM A
BREACH OF APPLICABLE LAWS, REGULATIONS, SAFETY STANDARDS OR
DIRECTIVES. THE DEFENSE OF TCEQ SHALL BE SUBJECT TO THE
AUTHORITY OF THE OFFICE OF THE ATTORNEY GENERAL OF TEXAS TO
REPRESENT TCEQ. THIS CONVENANT SURVIVES THE TERMINATION OF
THE CONTRACT.
12. TERMINATION
12.1. Termination for Cause. TCEQ may, upon providing 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 performed, loss of anticipated profits or revenue, consequential
damages or other economic loss arising out of or resulting from the termination.
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Contract Name: Ambient Alr Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
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 of 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. SOVE
The parties agi
by law
14.1.
REIGN IMMUNITY
ree that this Contract does not waive any sovereign immunity to which either party is
•
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
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
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.
15. CONTRACT INTERPRETATION
15.1. 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).
15.2. 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.
15.3. 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.
15.4. 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.
15.5. State, Federal Law. This Contract is governed by, and interpreted under the laws of the
State of Texas, as well as applicable federal law.
15.6. 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.
15.7, 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.
15.8. 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
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Travis County, Texas. The PERFORMING PARTY agrees that any cause of action
involving this Contract arises solely in Travis County, Texas.
15.9. 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.
15.10. 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.
15.11. 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.
15.12. 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.
15.13. 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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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Cost Budget
Cooperative Reimbursement Contract
for State Agencies and Local Governments
Budget. Authorized budgeted expenditures for work performed in fiscal year 2014 are as follows:
Budget Category Cost for Work to be Performed
Salary / Wages $54,746.56
Fringe Benefits $20,054.17
Travel $800.00
Supplies $444.07
Equipment $0.00
Contractual $0.00
Construction $0.00
Other $11,355.00
Other Third Party In Kind $0.00
Indirect Costs $16,067.20
Total $103,467.00
TCEQ Share $103,467.00
Grantee Cost Share $50,961.00
TOTAL COSTS $154,428.00
The funds budgeted by category reflect the TCEQ Share of the contract. The local match rate is thirty
three percent 33% and the TCEQ/Federal share represents sixty seven percent 67%.
Indirect Cost Reimbursable Rate. The reimbursable rate for this Contract is 21.48 % of (check
one):
® salary and fringe benefits
—I modified total direct costs
P other direct costs base
If other direct cost base, identify:
This rate is less than or equal to (check one):
approved predetermined rate
n experienced -based predetermined rate
default rate
(I
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Other. If Budget Category "Other" is greater than $25,000 or more than 10% of budget total, identify
the main constituents:
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.
Budget Control. Actual costs to be reimbursed for each line item above must not exceed ten percent
(10%) over the budgeted amount for that line item. Total costs to be reimbursed must be at or less
than the total specified. All invoices must be submitted in a format that clearly shows how this
requirement is being met. At a minimum, invoices must show 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 proj ected to be spent.
Invoice Submittal. Unless otherwise stipulated in the Contract, invoices must be submitted to the
individual named in TCEQ Project Representatives and Records Location at quarterly intervals.
Final invoices shall be submitted within one (1) calendar month after completing the Scope of
Work activities. TCEQ may extend this deadline by unilateral contract agreement.
Grant Chargeback Invoices. In the case of an invoice for grant activities being paid during the second
fiscal year for which the funds were appropriated, ALL INVOICES MUST BE SUBMITTED IN
SUFFICIENT TIME FOR TCEQ REVIEW, NECESSARY CORRECTIONS, TCEQ APPROVAL,
AND SUBSEQUENT PRESENTATION TO THE COMPTROLLER BEFORE THE END OF THE
FISCAL YEAR.
Travel. In order to be reimbursable, travel costs must be specifically authorized in advance of the
travel. Travel costs, including per diem, 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.
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.
PERFORMING PARTY shall maintain records subject to the terms of this Contract.
Indirect Costs. PERFORMING PARTY'S indirect costs will be reimbursed at the reimbursable rate
shown above (if no reimbursable rate is shown above, indirect costs are not reimbursable under this
Contract). The reimbursable rate must be less than or equal to the rate authorized under UGMS. To
the extent that the reimbursable rate is lower than PERFORMING PARTY'S actual indirect costs,
PERFORMING PARTY is contributing its unreimbuused 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).
Indirect Rates Authorized under UGMS. The following rates are authorized under UGMS:
Approved Predetermined Rate. An approved predetermined rate is an indirect cost rate agreed to
within the preceding 24 months in a signed indirect rate negotiation agreement with the applicable
federal cognizant agency, state single audit coordinating agency, major state funding agency, or
another state agency designated by the Governor. An approved predetermined rate shall be
expressed as a percentage of the direct cost base specified in the signed indirect rate negotiation
agreement.
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Experience -Based Predetermined Rate. An experienced -based predetermined rate is an indirect cost
rate agreed to between TCEQ and PERFORMING PARTY, where there is no approved
predetermined rate and there is sufficient cost experience and other pertinent facts to enable the
parties to reach an informed judgment (a) as to the probable level of indirect costs in the
PERFORMING PARTY' S programs during the term of the Contract, covered by the negotiated rate,
and (b) that the amount allowable under that rate would not exceed actual indirect costs. An
experience -based predetermined rate shall be expressed as a percentage of either (a) salary and
wages, or (b) modified total direct costs. Modified total direct costs are total direct costs less
"extraordinary or distorting expenditures," usually capital expenditures, subawards, contracts,
assistance payments (e.g., to beneficiaries), and provider payments. The direct cost base selected
should result in the fair distribution of indirect costs among all state and federal grants and contracts
affected, as well as other PERFORMING PARTY activities that share in the indirect costs.
Default Rate, A default rate is an indirect of ten percent (10%) of direct salary and wages, to be used
where (a) there is no approved or experienced -based predetermined rate, and (b) the PERFORMING
PARTY represents that its actual indirect costs equal or exceed' ten percent (10%) of salary and
fringe.
Adjustment of Indirect Rates. A reimbursable rate is intended to be final. PERFORMING PARTY
acknowledges that TCEQ's budget is limited and funds may not be available to reimburse any
increase in indirect costs. PERFORMING PARTY waives any right it may have to upward
adjustment of its indirect rate, and agrees to contribute any such increase to the successful
performance of this Contract (if matching funds are required, PERFORMING PARTY may claim
such costs as all or part of its match). TCEQ waives any right it may have to a downward
adjustment of PERFORMING PARTY' S indirect rate, unless the reimbursable rate is greater than
the PERFORMING PARTY' S actual indirect costs. If the latter case, if reasonably feasible, a
compensating adjustment shall be carried forward to this Contract or a future contract. If not
feasible, where permitted by law TCEQ and PERFORMING PARTY may identify additional
services to be performed by PERFORMING PARTY as a compensating adjustment, or
PERFORMING PARTY shall reimburse TCEQ the excess indirect costs paid.
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NOTICES, PROJECT REPRESENTATIVES AND RECORDS LOCATION
CONTRACT NO. 582-14-40060
PROJECT TITLE: AMBIENT AIR MONITORING -
PASS-THRU GRANT
Representatives. The individual(s) named below are the representatives of TCEQ and Performing Party. They are
authorized to give and receive communications and directions on behalf of the TCEQ and the Performing Party as
indicated below. All communications including official contract notices must be addressed to the appropriate
representative or his or her designee.
Changes in Representatives. Either party may change its representative by unilateral amendment.
TCEQ Representatives
TCEQ CONTRACT MANAGER TCEQ PROJECT MANAGER
(for Contractual Matters) (for Technical Matters)
Max Hernandez
Contract Manager
Title
Texas Commission on Environmental Quality
P.O. Box 13087
MC-165
Austin, Texas 78711-3087
Telephone No. (512) 239-0461
Facsimile No. (512) 239-1605
Performing Party Representatives.
For Contractual Matters
T.C. Michael
Proiect Manager
Title
City of Fort Worth, Transportation and
Public Works Department
Environmental Management Division
320 East Jefferson, Room LL131000
Throckmorton Street
Fort Worth, TX 76102-6311Telephone No.
817/392-5455
Facsimile No. 817/392-6359
Stenhanie Ma
Network Coordinator
Title
Texas Commission on Environmental Quality
P.O. Box 13087
MC-165
Austin, Texas 78711-3087
Telephone No. (512) 239-6256
Facsimile No. (512) 239-1605
For Technical Matters
T.C. Michael
Same as Contractual Matters
Title
Telephone No.
Facsimile No.
Invoice Submittal. Invoices must be submitted to the TCEQ Contract Manager, unless another recipient is identified
below:
® 'TCEQ Project Manager / [] TCEQ Disbrirsements Section / ❑ Other:
Designated Location for Records Access and Review. The Performing Party designates the physical location
indicated below for record access and review pursuant to any applicable provision of this Contract:
(City / Stale ZIP)
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ATTACHMENTS
Page 50 of 141
United AS,tat s t� Office of Environmental
Contract Name: Atnnvi onmenoani monitoring s-Thru GrantInformation
Agency
Washington, DC 20460
ci` � t�,ope° a2-14-40060
&EPA EPA Requirements for
Quality Management Plans
EPA QNR-2
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FOREWORD
The U.S, Environmental Protection Agency (EPA) has developed the Quality
Management Plan as a means of documenting how an organization will plan, implement, and
assess the effectiveness of its quality assurance and quality control operations applied to
environmental programs. The process of planning, implementing, and assessing these
management systems is called quality management and the product of this process is called the
Quality System. The Quality Management Plan is part of the mandatory Agency -wide Quality
System that requires all organizations performing work for EPA to develop and operate
management processes and structures for assuring that data or information collected are of the
needed and expected quality for their desired use.
This document provides the development and content requirements for Quality
Management Plans for organizations that conduct environmental data operations for EPA through
contracts, assistance agreements, and interagency agreements; however, it may be used by EPA as
well. It contains the same requirements as Chapter 3 of the EPA Order 5360 Al (2000), EPA
Quality Manual for Environmental Programs, for EPA organizations.
This document is one of the U.S. Environmental Protection Agency Quality System Series
documents. These documents describe the EPA policies and procedures for planning,
implementing, and assessing the effectiveness of the Quality System. Questions regarding this
document or other Quality System Series documents should be directed to the Quality Staff:
U.S. EPA
Quality Staff (2811R)
Washington, DC 20460
Phone: (202) 564-6830
FAX: (202) 565-2441
e-mail: quality@epa.gov
Copies of EPA Quality System Series documents may be obtained from the Quality Staff directly
or by downloading them from its Home Page:
EPA QA/R-2
www.epa.gov/quality
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ACKNOWLEDGMENTS
This document reflects the collaborative efforts of many quality management professionals
who participate in the challenge for continual improvement in quality systems supporting
environmental programs. These individuals, representing the EPA, other Federal agencies, State
and local goverrunents, and private industry, reflect a diverse and broad range of needs and
experiences in environmental data collection programs. Their contributions and the
comprehensive reviews during the development of this document are greatly appreciated.
EPA QA/R-2
ii
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TABLE OF CONTENTS
Page
CHAPTER 1. INTRODUCTION 1
1.1 BACKGROUND 1
1.2 QUALITY MANAGEMENT PLANS, THE EPA QUALITY SYSTEM, AND
ANSI/ASQC E4-1994 2
1.3 THE GRADED APPROACH AND THE EPA QUALITY SYSTEM 4
1.4 INTENDED AUDIENCE 4
1.5 PERIOD OF APPLICABILITY 4
1.6 ADDITIONAL RESOURCES 4
1.7 SUPERSESSION 4
CHAPTER 2. QUALITY MANAGEMENT PLAN REQUIREMENTS 5
2.1 POLICY 5
2.2 PURPOSE 5
2.3 APPLICABILITY 5
2.4 GENERAL CONTENT AND DETAIL REQUIREMENTS 5
2.4.1 General Content 5
2.4.2 Level of Detail 6
2.5 QUALITY MANAGEMENT PLAN PREPARATION 6
2.6 QUALITY MANAGEMENT PLAN SUBMISSION AND APPROVAL 7
2.7 QUALITY MANAGEMENT PLAN REVISIONS 7
CHAPTER 3. QUALITY MANAGEMENT PLAN ELEMENTS 9
3,1 CONTENT REQUIREMENTS 9
3.2 MANAGEMENT AND ORGANIZATION 10
3,3 QUALITY SYSTEM COMPONENTS 11
3.4 PERSONNEL QUALIFICATION AND TRAINING 12
3,5 PROCUREMENT OF ITEMS AND SERVICES 12
3.6 DOCUMENTS AND RECORDS 13
3.7 COMPUTER HARDWARE AND SOFTWARE 14
3.8 PLANNING 15
3.9 IMPLEMENTATION OF WORK PROCESSES 16
3.10 ASSESSMENT AND RESPONSE 17
3.11 QUALITY IMPROVEMENT 18
REFERENCES 19
•APPENDI-X A:- TERMS -AND -DEFINITIONS- _.. A=1
EPA QAIR-2
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(This page has been left blank intentionally.)
Final
EPA QA/R-2 iv March 2001
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CHAPTER 1
INTRODUCTION
1.1 BACKGROUND
The U.S. Environmental Protection Agency (EPA) annually spends several hundred
million dollars in the collection of environmental data for scientific research and regulatory
decision making. In addition, non -EPA organizations may spend as much as an order of
magnitude more each year to respond to Agency requirements. Furthermore, as EPA is
increasingly involved in the use of environmental technology for pollution control and waste
clean-up, the use of particular technologies is often specified in permits and regulations. If
decision makers are to have the necessary confidence in the quality of environmental data used to
support their decisions or that environmental technology successfully performed its intended role,
there must be a structured process for quality in place.
A structured system that describes the policies and procedures for ensuring that work
processes, products, or services satisfy stated expectations or specifications is called a quality
system. All organizations conducting environmental programs funded by EPA are required to
establish and implement a quality system. EPA organizations are required to document their
quality system in a Quality Management Plan through EPA Order 5360.1 A2, Policy and
Program Requirements for the Mandatory Agency -wide Quality System (EPA 2000). Non -EPA
organizations funded by EPA are required to document their quality system in a Quality
Management Plan (or equivalent document)' through:
• 48 CFR 46, for contractors;
• 40 CFR 30, 31, and 35 for assistance agreement recipients; and
• other mechanisms, such as consent agreements in enforcement actions.
A Quality Management Plan documents how an organization structures its quality system
and describes its quality policies and procedures, criteria for and areas of application, and roles,
responsibilities, and authorities. It also describes an organization's policies and procedures for
implementing and assessing the effectiveness of the quality system. This document describes the
elements of a quality system that must be documented in a Quality Management Plan to comply
with EPA requirements.
'An equivalent document may not be called a Quality Management Plan but still would document an
organization's quality system and address the required quality managernent practices described in this document,
EPA QA/R.2
1
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This requirements document presents specifications and instructions for the information
that must be contained in a Quality Management Plan for organizations conducting environmental
programs funded by EPA. The document also discusses the procedures for review, approval,
implementation, and revision of Quality Management Plans. Users of this document should
assume that all of the elements described herein are required in a Quality Management Plan unless
otherwise directed by EPA.
1.2 QUALITY MANAGEMENT PLANS, THE EPA QUALITY SYSTEM,
AND ANSI/ASQC E4-1994
EPA Order 5360.1 A2 and the applicable Federal regulations (defined above) establish a
mandatory Quality System that applies to all EPA organizations and organizations that are funded
by EPA. Components of this system are illustrated in Figure 1. Organizations must ensure that
data collected for the characterization of environmental processes and conditions are of the
appropriate type and quality for their intended use and that environmental technologies are
designed, constructed, and operated according to defined expectations. Quality system
documentation (e.g., the Quality Management Plan) is a key component of the EPA Quality
System as shown in Figure 1.
EPA policy is based on the national consensus standard, ANSI/ASQC E4-1994,
Specifications and Guidelines for Environmental Data Collection and Environmental
Technology Programs. The ANSI/ASQC E4-1994 standard describes the necessary management
and technical elements for developing and implementing a quality system. This standard
recommends using a tiered approach to a quality system. The standard recommends first
documenting each organization -wide quality system in a Quality Management Plan or Quality
Manual (to address requirements of Part A: Management Systems of the standard) and then
documenting the applicability of the quality system to technical activity -specific efforts in a
Quality Assurance Project Plan (QA Project Plan) or similar document (to address the
requirements of Part B.. Collection and Evaluation of Environmental Data of the standard).
EPA has adopted this tiered approach for its mandatory Agency -wide Quality System, This
document addresses Part A requirements of the standard.
The Quality Management Plan may be viewed as the `umbrella' document under which
individual projects are conducted. The Quality Management Plan is then supported by project -
specific QA Project Plans. A QA Project Plan is the `blueprint' by which individual projects
involving environmental data are implemented and assessed and how specific quality assurance
(QA) and quality control (QC) activities will be applied during a particular project. EPA
requirements for QA Project Plans are defined in EPA Requirements for Quality Assurance
Project Plans (QA/R-5) (EPA 2001). In some cases, a QA Project Plan and a Quality
Management Plan may be combined into a single document that contains both organizational and
project -:specific elements: The •QA Manager feT the EPA o3gatlizatiori sporisoriztg the workhas
the authority to determine when a single document is applicable and will define the content
requirements of such a document.
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ORGANIZATION/PROGRAM
U
tu
a
re
Consensus Standards
ANSI/ASQC E4
ISO 9000 Series
Internal EPA Policies
EPA Order 5360.1
EPA Manual 5360
i
1.
Supporting System Elements
(e.g., Procurements,
Computer Hardware/Software)
Systematic
Planning
(e.g., DQO Process)
1
QA
Project Plan
Contract Number: 582-14-40060
External Policies
Contracts - 48 CFR 46
Assistance Agreements -
40 CFR 30, 31, and 35
Quality System
Documentation
(e.g., QMP)
Annual Review
and Planning
(e.g., QAARWP)
l
Train ing/Communication
(e.g., Training Plan,
Conferences)
Systems
Assessments
(e.g., QSAs)
Conduct Study!
Experiment/
t t
Standard
Operating
Procedures
Data Verification
& Validation
i
Technical Data Quality
Assessments Assessment
PLANNING I- IMPLEMENTATION >a' ASSESSMENT
Defensible Products and Decisions
Figure 1. EPA Quality System Components and Tools
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1.3 THE GRADED APPROACH AND THE EPA QUALITY SYSTEM
Implementation of the EPA Quality System is based on the principle of graded approach.
This principle recognizes that a one size fits all' approach to quality requirements will not work
in an organization as diverse as EPA so managerial controls are applied according to the scope of
the program and/or the intended use of the outputs from a process. For example, the quality
expectations of a fundamental research program are different from that of a regulatory compliance
program because the purpose or intended use of the data is different. Applying a graded approach
means that quality systems for different organizations and programs will vary according to the
specific objectives and needs of the organization. The specific application of the graded approach
principle to Quality Management Plans is described in Section 2.4.2.
1.4 INTENDED AUDIENCE
This document specifies the requirements for developing a Quality Management Plan for
organizations that conduct environmental data operations funded by EPA through contracts,
financial assistance agreements, and interagency agreements. EPA organizations may also use this
document to develop their Quality Management Plans since this document is clearer and more
user-friendly than the equivalent requirements defined in Section 3.3 of EPA Order 5360 Al
(EPA 2000), The EPA Quality Manual for Environmental Programs (an internal policy
document). However, the preparation, submission, review, and approval requirements for EPA
organizations are still contained in Section 3.2 of EPA Order 5360 Al as these represent internal
EPA policy.
1.5 PERIOD OF APPLICABILITY
This document shall be valid for a period of up to five years from the official date of
publication. After five years, it shall either be reissued without change, revised, or withdrawn
from the EPA Quality System.
1.6 ADDITIONAL RESOURCES
EPA has issued a checldist for reviewing Quality Management Plans that can be used to
verify if the requirements defined in this document are satisfied. This checklist is available on the
Quality Staff website, www.epa.gov/quality/tools-org.html#qmp.
1.7 SUPERSESSION
This document replaces QAMS-004/80, Interim Guidelines and Specifications for
Preparing Quality Assurance Program Plans (EPA 1980) in its entirety.
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CHAPTER 2
QUALITY MANAGEMENT PLAN REQUIREMENTS
2.1 POLICY
Quality systems supporting environmental programs involving environmental data or
technology conducted by EPA organizations or by organizations funded by EPA shall be covered
by an Agency -approved Quality Management Plan.
2.2 PURPOSE
A Quality Management Plan is a management tool that documents an organization's
quality system for planning, implementing, documenting, and assessing the effectiveness of
activities supporting environmental data operations and other environmental programs. The
Quality Management Plan is used to demonstrate conformance to Part A requirements of
ANSI/ASQC E4-1994.
2.3 APPLICABILITY
These requirements apply to all organizations conducting environmental programs funded
by EPA that acquire, generate, compile, or use environmental data and technology. These
requirements apply to all work performed through contracts, cooperative agreements, interagency
agreements, State -EPA agreements, State, local, and Tribal Financial Assistants/Grants (including
Performance Partnership Grants and Agreements), Research Grants, and in response to statutory
or regulatory requirements and consent agreements. These requirements shall be negotiated into
interagency agreements, including sub -agreements, and, in some cases, included in enforcement
consent agreements and orders. Where specific Federal regulations require the application of QA
and QC activities (see Section 1.1), Quality Management Plans shall be prepared, reviewed, and
approved in accordance with the specifications contained in this document unless explicitly
superseded by regulation.
2.4 GENERAL CONTENT AND DETAIL REQUIREMENTS
2.4.1 General Content
The Quality Management Plan documents the quality management practices which are
critical to a quality system. Specific Quality Management Plan content requirements are described
in Chapter 3. Each organization should evaluate these requirements for applicability to their
quality system. Where a particular element is not relevant, an explanation of why it is not relevant
muff be provided in the QualityyManagement-Plan. Also, if the Qtiality-Management Plan -
preparer or EPA organization sponsoring the work determines that additional quality management
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elements are useful or necessary for an adequate quality system, these elements should be
discussed in the Quality Management Plan.
2.4.2 Level of Detail
The Quality Management Plan should describe a Quality System that is designed to
support the objectives of the organization. The level of effort expended to develop a Quality
Management Plan should be based on the scope of the program. For example, large grants to a
State government may require a comprehensive quality system and Quality Management Plan,
whereas smaller grants for programs with relatively less significant impacts may require less
substantial documentation.
The Quality Management Plan must be sufficiently inclusive, explicit, and readable to
enable both management and staff to understand the priority which management places on QA
and QC activities, the established quality policies and procedures, and their respective quality -
related roles and responsibilities. The Quality Management Plan must be written so that an
assessment of the suitability and effectiveness of the organization's quality system can be
accomplished. Such assessments will enable management to determine if the quality system meets
the needs of the organization. The Quality Management Plan should be focused on the processes
and procedures used to plan, implement, and assess the programs to which it is applied, and must
include definitions of appropriate authorities and responsibilities for managers and staff.
2,5 QUALITY MANAGEMENT PLAN PREPARATION'
An organization's senior manager is responsible for assuring the preparation of a Quality
Management Plan to cover all environmental programs supported or undertaken by the
organization. Senior management, i.e., the executives and managers who are responsible and
accountable for mission accomplishment and overall operations of the organization, is responsible
for ensuring that the Quality Management Plan is prepared and that the quality system
documented in the Quality Management Plan satisfies all EPA policy requirements and meets all
statutory, contractual, and assistance agreement requirements for EPA work.
While senior management is responsible for the preparation of the Quality Management
Plan, the actual preparation may be assigned to the organization's staff so long as it is assured that
all managers support the effort; for example, the preparation of the Quality Management Plan may
be directed by the QA Manager of the organization. However, it is essential that all management
levels understand fully the content of the Quality Management Plan and concur with its
implementation.
'Specific preparation, submission, review, and approval requirements for EPA organizations are contained in
Section 3.2 of EPA Order 5360 Al (EPA 2000) as these represent internal EPA policy.
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2.6 QUALITY MANAGEMENT PLAN SUBMISSION AND APPROVAL
The Quality Management Plan must be approved and signed by the senior management of
the organization. This will certify that the organization has conducted an internal review of the
Quality Management Plan and that management has concurred with its contents.
When a Quality Management Plan is required either by statute, contractual requirement, or
assistance agreement condition, the Quality Management Plan must be submitted for review and
approval to the EPA official responsible for the work. The EPA official may include the
contracting officer's representative (such as the project officer, work assignment manager, or
delivery order project office), the award official, and the EPA QA Manager. For example, the
review and approval of a State Quality Management Plan that has been submitted as part of a
request for an assistance agreement may be performed by the QA Manager of the office awarding
the assistance agreement.
EPA approval of a Quality Management Plan will be valid for no more than five years for
State, local, and Tribal governments or the length of the extramural agreement for all other
extramural agreement holders. The period for which a Quality Management Plan is valid is
defined in the Quality Management Plan of the EPA organization sponsoring the work.
2.7 QUALITY MANAGEMENT PLAN REVISIONS
Each organization shall review its Quality Management Plan at least annually to reconfirm
the suitability and effectiveness of the approved quality management practices. The process of
developing, annually reviewing, and revising (as needed) the Quality Management Plan provides
an opportunity for management and staff to clarify roles and responsibilities, address problem
areas, and institutionalize improvements. Having an accurate Quality Management Plan at all
times is an essential element in every quality system, thus changes in QA policy and procedures
shall be documented in the Quality Management Plan in a timely fashion.
In general, a copy of any Quality Management Plan revision(s) made during the year
should be submitted to EPA as a report when such changes occur. However, if significant
changes have been made to the quality system that affect the performance of work for the
Agency, it may be necessary to re -submit the entire Quality Management Plan to EPA for re -
approval. Conditions requiring the revision of an approved Quality Management Plan include:
•
expiration of the five-year life span of the Quality Management Plan;
major changes in mission and responsibilities, such as changes in the delegation
status of a program;
re -organization of existing functions that affect programs covered by the Quality
Management -Plan; and
assessment findings requiring corrective actions and response.
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All appropriate personnel in the organization performing work covered by the scope of the
Quality Management Plan shall be notified of changes to the quality system and the Quality
Management Plan to keep them informed of the current requirements. This practice should also
include active sub -contractors for relevant work,
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CHAPTER 3
QUALITY MANAGEMENT PLAN ELEMENTS
3.1 CONTENT REQUIREMENTS
The Quality Management Plan documents management practices, including QA and QC
activities, used to ensure that the results of technical work are of the type and quality needed for
their intended use. Accordingly, the Quality Management Plan documents:
• the mission and quality policy of the organization;
• the specific roles, authorities, and responsibilities of management and staff with
respect to QA and QC activities;
• the means by which effective communications with personnel actually performing
the work are assured;
• the processes used to plan, implement, and assess the work performed;
• the process by which measures of effectiveness for QA and QC activities will be
established and how frequently effectiveness will be measured; and
• the continual improvement based on lessons learned from previous experience.
The Quality Management Plan reflects the organization's commitment to quality management
principles and practices, tailored, when appropriate, by senior management to meet the
organization's needs.
The elements to be addressed in a Quality Management Plan include: management and
organization; quality system description; personnel qualifications and training; procurement of
items and services; documentation and records; computer hardware and software; planning;
implementation of work processes; assessment and response; and quality improvement. Specific
requirements for each of these elements are described below in Sections 3.2 through 3.11. Items
specific to Quality Management Plans developed by EPA organizations under EPA Order 5360.1
A2 (EPA 2000) are noted by "EPA Quality Management Plans." Organizations funded by EPA
do not have to address these EPA -specific items.
It is preferable, but not necessary, that the Quality Management Plan address the
specifications in the same order as presented below to ensure uniformity and a consistent and
complete review. If an existing, approved Quality Management Plan adequately addresses each of —
these -
these topics, it should not be rewritten simply to conform to the outline provided here.
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3.2 MANAGEMENT AND ORGANIZATION
Purpose — To document the overall policy, scope, applicability, and management responsibilities
of the organization's quality system.
Specifications — Provide the following:
an approval page for the signatures of the organization's management and QA
manager. The approval page may be part of a title page or a separate sheet
following the title page. If EPA approval of the Quality Management Plan is
required, the approval page shall include a section for the signature of the EPA
official (see Section 2.6). For EPA Quality Management Plans', the approval page
shall contain the signatures of the organization's senior manager, senior line
management (as appropriate), the QA Manager, the Director of the Quality Staff,
and the Assistant Administrator of the Office of Environmental Information;
• a statement of the organization's policy on quality assurance, including:
the importance of QA and QC activities to the organization and why,
the general objectives and goals of the quality system, and
the policy for resource allocation for the quality system (EPA Quality
Management Plans must discuss personnel, intramural and extramural
funding, and travel resources);
an organization chart that identifies all of the components of the organization and,
in particular, the organizational position and lines of reporting for the QA Manager
(or similar position such as a Quality Manager) and any QA staff;
• a discussion of the authorities of the QA Manager and any other QA staff that also:
documents the organizational independence of the QA Manager from
groups generating, compiling, and evaluating environmental data, and
indicates how the organization will ensure that QA personnel will have
access to the appropriate levels of management in order to plan, assess, and
improve the organization's quality system;
• a discussion of the technical activities or programs that are supported by the
quality system including:
the specific programs that require quality management controls,
'Organizations funded by EPA do not have to address these EPA -specific elements.
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where oversight of delegated, contracted, or other extramural programs is
needed to assure data quality, and
where and how internal coordination of QA and QC activities among the
group's organizational units needs to occur;
a discussion of how management will assure that applicable elements of the quality
system are understood and implemented in all environmental programs; and
a discussion of the organization's process for resolving disputes regarding quality
system requirements, QA and QC procedures, assessments, or corrective actions
(requirement for EPA Quality Management Plans only).
3.3 QUALITY SYSTEM COMPONENTS
Purpose — To document how an organization manages its quality system and defines the primary
responsibilities for managing and implementing each component of the system.
Specifications — Provide the following:
a description of the organization's quality system that includes the principal
components of the system and the roles and implementation responsibilities of
management and staff with regards to these components. These components
include, but are not limited to:
quality system documentation
annual reviews and planning
management assessments
training
systematic planning of projects
project -specific quality documentation
project and data assessments;
• a list of the tools for implementing each component of the quality system. These
tools include, but are not limited to:
Quality Management Plans (quality system documentation),
Quality Systems Audits (management assessments),
Training Plans (training),
QA Project Plan (project -specific quality documentation),
Data Verification and Validation (data assessments);
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a list of any components of the organization that develop Quality Management
Plans (or equivalent document) in support of the organization's Quality System
and the review and approval procedures for such documentation; and
a discussion of how roles and responsibilities for the principal components of the
Quality System are incorporated into performance standards (requirement for EPA
Quality Management Plans only).
3.4 PERSONNEL QUALIFICATION AND TRAINING
Purpose — To document the procedures for assuring that all personnel performing work for an
organization have the necessary skills to effectively accomplish their work.
Specifications — Provide the following:
• a statement of the policy regarding training for management and staff;
• a description of the process(es), including the roles, responsibilities, and authorities
of management and staff, for:
identifying, ensuring, and documenting that personnel have and maintain
the appropriate knowledge, skill, and statutory, regulatory, professional or
other certifications, accreditations, licenses, or other formal qualification
necessary, and
- identifying the need for retraining based on changing requirements.
3.5 PROCUREMENT OF ITEMS AND SERVICES
Purpose — To document the procedures for purchased items and services that directly affect the
quality of environmental programs.
Specifications --
Describe or reference the process(es), including the roles, responsibilities, and authorities
of management and staff, pertaining to all appropriate procurement documents or extramural
agreements, including grants, cooperative agreements, and contracted and subcontracted
activities, involving or affecting environmental programs, for:
reviewing and approving procurement documents (and any changes to these
documents) to ensure that procurement documents are accurate, complete, and
clearly describe:
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the item or service needed,
the associated technical and quality requirements,
the quality system elements for which the supplier is responsible, and
how the supplier's conformance to the customer's requirements will be
verified;
review and approval of all applicable responses to solicitations to ensure that these
documents:
satisfy all technical and quality requirements, and
provide evidence of the supplier's capability to satisfy EPA quality system
requirements as defined in the extramural agreement or applicable Federal
Regulation (requirement for EPA Quality Management Plans only);
ensuring that procured items and services are of acceptable quality, including the
review of objective evidence of quality for applicable items and services furnished
by suppliers and subcontractors, source selection, source inspections, supplier
audits, and examination of deliverables;
review and approval procedures for mandatory quality -related documentation
(e.g., Quality Management Plans or QA Project Plans) from suppliers (requirement
for EPA Quality Management Plans only);
policies and criteria for delegations of EPA authority to review and approve
mandatory quality -related documentation (e.g., Quality Management Plans or QA
Project Plans) from suppliers consistent with Chapter 2.2 of EPA Order 5360 Al
(requirement for EPA Quality Management Plans only); and
ensuring that EPA quality -related contracting policies, as defined by the Federal
Acquisition Regulations, Office of Federal Procurement Policy, and the EPA
Contracts Management Manual [EPA Order 1900 (EPA 1998)], are satisfied
(requirement for EPA Quality Management Plans only).
3.6 DOCUMENTS AND RECORDS
Purpose — To document appropriate controls for quality -related documents and records
determined to be important to the mission of the organization.
Specifications — Describe or reference the process(es), including the roles, responsibilities, and
authorities of management and staff, for:
identifying Atiality-related-docuirierits and records (both printed and electrehic)
requiring control;
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•
preparing, reviewing for conformance to technical and quality system
requirements, approving, issuing, using, authenticating, and revising documents
and records;
• ensuring that records and documents accurately reflect completed work;
maintaining documents and records including transmittal, distribution, retention
(including retention times), access, preservation (including protection from
damage, loss, and deterioration), traceability, retrieval, removal of obsolete
documentation, and disposition;
ensuring compliance with all applicable statutory, regulatory, and EPA
requirements for documents and records [EPA Quality Management Plans shall
ensure compliance with EPA Order 2160 (EPA 1984) and EPA Directive 2100,
Chapter 10 (EPA 1998)]; and
• establishing and implementing appropriate chain of custody and confidentiality
procedures for evidentiary records.
3.7 COMPUTER HARDWARE AND SOFTWARE
Purpose — To document how the organization will ensure that computer hardware and software
satisfies the organization's requirements.
Specifications — Describe or reference the process(es), including the roles, responsibilities, and
authorities of management and staff, for:
developing, installing, testing (including verification and validation), using,
maintaining, controlling, and documenting computer hardware and software used
in envirormiental programs to ensure it meets technical and quality requirements
and directives from management [EPA Quality Management Plan specifications
must be consistent with EPA Directive 2100 (EPA 1998)];
• assessing and documenting the impact of changes to user requirements and/or the
hardware and software on performance;
• evaluating purchased hardware and software to ensure it meets user requirements
and complies with applicable contractual requirements and standards;
• ensuring that data and information produced from, or collected by, computers
meet applicable information resource management requirements and standards; and
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ensuring that applicable EPA requirements for information resources management
are addressed [EPA Directive 2100 (EPA 1998)] including security and privacy
requirements (requirement for EPA Quality Management Plans only).
Computer software covered by this requirement includes, but is not limited to, design, data
handling, data analysis, modeling of environmental processes and conditions, operations, or
process control of environmental technology system (including automated data acquisition and
laboratory instrumentation), data bases containing environmental data.
3.8 PLANNING
Purpose — To document how individual data operations will be planned within the organization to
ensure that data or information collected are of the needed and expected quality for their desired
use.
Specifications — Describe or reference the process(es), including the roles, responsibilities, and
authorities of management and staff, for:
• planning environmental data operations using a systematic planning process' which
includes:
the identification and involvement of the project manager, sponsoring
organization and responsible official, project personnel, stakeholders,
scientific experts, etc, (e.g., all customers and suppliers);
a description of the project goal, objectives, and questions and issues to be
addressed;
the identification of project schedule, resources (including budget),
milestones, and any applicable requirements (e.g., regulatory and
contractual requirements);
the identification of the type and quantity of data needed and how the data
will be used to support the project's objectives;
the specification of perfonnance criteria for measuring quality;
'EPA has developed a systematic planning process called the Data Quality Objectives (DQO) Process [See the
EPA Guidance for the Data Quality Objectives Process (QA/G-4) (EPA 2000)]. While not mandatory, the DQO
Process is the recommended planning approach for many EPA data collection activities.
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•
the specification of needed QA and QC activities to assess the quality
performance criteria (e.g., QC samples for both the field and laboratory,
audits, technical assessments, performance evaluations, etc.);
a description of how, when, and where the data will be obtained (including
existing data) and identification of any constraints on data collection; and
a description of how the acquired data will be analyzed (either in the field
or the laboratory), evaluated (i.e., QA review, verification, validation), and
assessed against its intended use and the quality performance criteria;
developing, reviewing, approving, implementing, and revising a QA Project Plan or
equivalent planning document [see EPA Requirements for Quality Assurance
Project Plans (QA/R-S) (EPA 2001)]; and
• evaluating and qualifying data collected for other purposes or from other sources,
including the application of any statistical methods, for a new use.
3.9 IMPLEMENTATION OF WORK PROCESSES
Purpose — To document how work processes will be implemented within the organization to
ensure that data or information collected are of the needed and expected quality for their desired
use.
Specifications — Describe or reference the process(es), including the roles, responsibilities, and
authorities of management and staff for:
• ensuring that work is performed according to approved planning and technical
documents;
identification of operations needing procedures (e.g., standardized, special, or
critical operations), preparation (including forth, content, and applicability),
review, approval, revision, and withdrawal of these procedures; and policy for use;
and
controlling and documenting the release, change, and use of planned procedures,
including any necessary approvals, specific times and points for implementing
changes, removal of obsolete documentation from work areas, and verification that
the changes are made as prescribed.
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3.10 ASSESSMENT AND RESPONSE
Purpose — To document how the organization will determine the suitability and effectiveness of
the implemented quality system and the quality performance of the environmental programs to
which the quality system applies.
Specifications — Describe or reference the process(es), including the roles, responsibilities, and
authorities of management and staff, pertaining to both management and technical assessments
for:
assessing the adequacy of the quality system at least annually;
planning, implementing, and documenting assessments and reporting assessment
results to management including how to select an assessment tool, the expected
frequency of their application to environmental programs, and the roles and
responsibilities of assessors;
determining the level of competence, experience, and training necessary to ensure
that personnel conducting assessments are technically knowledgeable, have no real
or perceived conflict of interest, and have no direct involvement or responsibility
for the work being assessed;
ensuring that personnel conducting assessments have sufficient authority, access to
programs, managers, documents, and records, and organizational freedom to:
identify both quality problems and noteworthy practices,
propose recommendations for resolving quality problems, and
independently confirm implementation and effectiveness of solutions;
• management's review and response to findings;
identifying how and when corrective actions are to be taken in response to the
findings of the assessment, ensuring corrective actions are made promptly,
confirming the implementation and effectiveness of any corrective action, and
documenting (including the identification of root causes, the determination of
whether the problem is unique or has more generic implications, and
recommendation of procedures to prevent recurrence) such actions; and
• addressing any disputes encountered as a result of assessments.
Available assessment tools include quality systems audits, management systems reviews, peer
reviews, technical reviews, performance evaluations, data quality assessments, readiness reviews,
technical systems audits, and surveillance.
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3.11 QUALITY IMPROVEMENT
Purpose — To document how the organization will improve the organization's quality system.
Specifications — Identify who (organizationally) is responsible for identifying, planning,
implementing, and evaluating the effectiveness of quality improvement activities and describe the
process to ensure continuous quality improvement, including the roles and responsibilities of
management and staff, for:
ensuring that conditions adverse to quality are:
prevented,
identified promptly including a determination of the nature and extent of
the problem,
corrected as soon as practical, including implementing appropriate
corrective actions and actions to prevent reoccurrence,
documenting all corrective actions, and
tracking such actions to closure;
encouraging staff at all levels to establish communications between customers and
suppliers, identify process improvement opportunities, and identify and offer
solutions to problems.
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REFERENCES
40 CFR 30, Code of Federal Regulations, "Grants and Agreements With Institutions of Higher
Education, Hospitals, and Other Non -Profit Organizations."
40 CFR 31, Code of Federal Regulations, "Uniform Administrative Requirements for Grants and
Cooperative Agreement to State and Local Governments."
40 CFR 35, Code of Federal Regulations, "State and Local Assistance."
48 CFR 46, Code of Federal Regulations, "Federal Acquisition Regulations."
ANSI/ASQC E4-1994, Specifications and Guidelines for Quality Systems for Environmental
Data Collection and Environmental Technology Programs, American National Standard,
January 1995.
EPA Directive 2100 (1999), Information Resources Management Policy Manual, U.S.
Environmental Protection Agency, Washington, DC.
EPA Order 1900 (February 1998), Contracts Management Manual, U.S. Environmental
Protection Agency, Washington, DC.
EPA Order 2160 (July 1984), Records Management Manual, U.S. Environmental Protection
Agency, Washington, DC.
EPA Order 5360 Al (May 2000), EPA Quality Manual for Environmental Programs, U.S.
Environmental Protection Agency, Washington, DC.
EPA Order 5360.1 A2 (May 2000), Policy and Program Requirements for the Mandatory
Quality Assurance Program, U.S. Environmental Protection Agency, Washington, DC.
U.S. Environmental Protection Agency, 2001. EPA Requirements, for Quality Assurance Project
Plans (QA/R-5), EPA/240/B-01/003, Office of Environmental Information.
U.S. Environmental Protection Agency, 2000. Guidance for the Data Quality Objectives Process
(QA/G-4), EPA/600/R-96/055, Office of Environmental Information.
U.S. Environmental Protection Agency, 1980. Interim Guidelines and Specifications for
Preparing Quality Assurance Program Plans, QAMS-004/80, Office of Research and
Development.
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APPENDIX A
TERMS AND DEFINITIONS
assessment - the evaluation process used to measure the performance or effectiveness of a system
and its elements. As used here, assessment is an all-inclusive term used to denote any of the
following: audit, performance evaluation, management systems review, peer review, inspection, or
surveillance.
audit (quality) - a systematic and independent examination to determine whether quality
activities and related results comply with planned arrangements and whether these arrangements
are implemented effectively and are suitable to achieve objectives.
data quality assessment - a statistical and scientific evaluation of the data set to determine the
validity and performance of the data collection design and statistical test, and to determine the
adequacy of the data set for its intended use.
design - specifications, drawings, design criteria, and performance requirements. Also the result
of deliberate planning, analysis, mathematical manipulations, and design processes.
environmental conditions - the description of a physical medium (e.g,, air, water, soil, sediment)
or biological system expressed in terms of its physical, chemical, radiological, or biological
characteristics.
environmental data - any measurements or information that describe environmental processes,
location, or conditions; ecological or health effects and consequences; or the performance of
environmental technology. For EPA, environmental data include information collected directly
from measurements, produced from models, and compiled from other sources such as data bases
or the literature.
environmental data operations - work performed to obtain, use, or report information
pertaining to environmental processes and conditions.
environmental programs - work or activities involving the environment, including but not
limited to: characterization of environmental processes and conditions; environmental monitoring;
environmental research and development; the design, construction, and operation of
environmental technologies; and laboratory operations on environmental samples.
environmental technology - an all-inclusive term used to describe pollution control devices and
systems, waste treatment processes and storage facilities, and site remediation technologies and
their components that may be utilized to remove pollutants or contaminants from or prevent them
from entering the environment. Examples include wet scrubbers (air), soil washing (soil),
granulated activated carbon unit (water), and filtration (air, water). Usually, this term will apply
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to hardware -based systems; however, it will also apply to methods or techniques used for
pollution prevention, pollutant reduction, or containment of contamination to prevent further
movement of the contaminants, such as capping, solidification or vitrification, and biological
treatment.
graded approach - the process of basing the level of application of managerial controls applied
to an item or work according to the intended use of the results and the degree of confidence
needed in the quality of the results.
independent assessment - an assessment performed by a qualified individual, group, or
organization that is not a part of the organization directly performing and accountable for the
work being assessed.
inspection - examination or measurement of an item or activity to verify conformance to specific
requirements.
management - those individuals directly responsible and accountable for planning, implementing,
and assessing work.
management system - a structured, non -technical system describing the policies, objectives,
principles, organizational authority, responsibilities, accountability, and implementation plan of an
organization for conducting work and producing items and services.
management systems review - the qualitative assessment of a data collection operation and/or
organization(s) to establish whether the prevailing quality management structure, policies,
practices, and procedures are adequate for ensuring that the type and quality of data needed are
obtained.
objective evidence - any documented statement of fact, other information or record, either
quantitative or qualitative, pertaining to the quality of an item or activity, based on observations,
measurements, or tests which can be verified.
organization - a company, corporation, firm, enterprise, or institution, or part thereof, whether
incorporated or not, public or private, that has its own functions and administration.
peer review - a documented critical review of work by qualified individuals (or organizations)
who are independent of those who performed the work, but are collectively equivalent in technical
expertise. A peer review is conducted to ensure that activities are technically adequate,
competently performed, properly documented, and satisfy established technical and quality
requirements. The peer review is an in-depth assessment of the assumptions, calculations,
extrapolations, alternate interpretations, methodology, acceptance criteria, and conclusions
pertaining to specific work and of the docurnentation that supports them.
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performance evaluation - a type of audit in which the quantitative data generated in a
measurement system are obtained independently and compared with routinely obtained data to
evaluate the proficiency of an analyst or laboratory.
process - a set of interrelated resources and activities which transforms inputs into outputs.
Examples of processes include analysis, design, data collection, operation, fabrication, and
calculation.
quality - the totality of features and characteristics of a product or service that bear on its ability
to meet the stated or implied needs and expectations of the user.
quality assurance (QA) - an integrated system of management activities involving planning,
implementation, documentation, assessment, reporting, and quality improvement to ensure that a
process, item, or service is of the type and quality needed and expected by the client.
quality assurance project plan - a formal document describing in comprehensive detail the
necessary QA, QC, and other technical activities that must be implemented to ensure that the
results of the work performed will satisfy the stated performance criteria.
quality control (QC) - the overall system of technical activities that measures the attributes and
performance of a process, item, or service against defined standards to verify that they meet the
stated requirements established by the customer; operational techniques and activities that are
used to fulfill requirements for quality.
quality improvement - a management program for improving the quality of operations. Such
management programs generally entail a formal mechanism for encouraging worker
recommendations with timely management evaluation and feedback or implementation.
quality management - that aspect of the overall management system of the organization that
determines andunplements the quality policy. Quality management includes strategic planning,
allocation of resources, and other systematic activities (e.g., planning, implementation,
documentation, and assessment) pertaining to the quality system.
quality management plan - a document that describes the quality system in terms of the
organizational structure, functional responsibilities of management and staff, lines of authority,
and required interfaces for those planning, implementing, and assessing all activities conducted.
quality system - a structured and documented management system describing the policies,
objectives, principles, organizational authority, responsibilities, accountability, and implementation
plan of an organization for ensuring quality in its work processes, products (items), and services.
The quality system provides the framework for planning, implementing, documenting, and
assessing work performed by the organization and for canying out required QA and QC activities.
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readiness review - a systematic, documented review of the readiness for the start-up or continued
use of a facility, process, or activity. Readiness reviews are typically conducted before proceeding
beyond project milestones and prior to initiation of a major phase of work.
record - a completed document that provides objective evidence of an item or process. Records
may include photographs, drawings, magnetic tape, and other data recording media.
self -assessment - assessments of work conducted by individuals, groups, or organizations directly
responsible for overseeing and/or performing the work.
specification - a document stating requirements and which refers to or includes drawings or other
relevant documents. Specifications should indicate the means and the criteria for determining
conformance.
standard operating procedure (SOP) - a written document that details the method for an
operation, analysis, or action with thoroughly prescribed techniques and steps, and that is
officially approved as the method for performing certain routine or repetitive tasks.
supplier - any individual or organization furnishing items or services or performing work
according to a procurement document or financial assistance agreement. This is an all-inclusive
term used in place of any of the following: vendor, seller, contractor, subcontractor, fabricator, or
consultant.
surveillance (quality) - continual or frequent monitoring and verification of the status of an
entity and the analysis of records to ensure that specified requirements are being fulfilled.
technical review - a documented critical review of work that has been performed within the state
of the art. The review is accomplished by one or more qualified reviewers who are independent
of those who performed the work, but are collectively equivalent in technical expertise to those
who performed the original work. The review is an in-depth analysis and evaluation of
documents, activities, material, data, or items that require technical verification or validation for
applicability, correctness, adequacy, completeness, and assurance that established requirements
are satisfied.
technical systems audit - a thorough, systematic, on -site, qualitative audit of facilities,
equipment, personnel, training, procedures, record keeping, data validation, data management,
and reporting aspects of a system.
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Contract Name: Ambient Air aMonitoring- Pass-Thru GrantInfice of Environmental
'nvironmentai yroction Information
Agency Washington, DC 20460
FN/ao r c 81i imber:582-14-40060
fro EPA EPA Requirements for Quality
Assurance Project Plans
EPA QA/R-5
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FOREWORD
The U.S. Environmental Protection Agency (EPA) has developed the Quality Assurance
Project Plan (QA Project Plan) as a tool for project managers and planners to document the type
and quality of data needed for environmental decisions and to describe the methods for collecting
and assessing those data. The development, review, approval, and implementation of the QA
Project Plan is part of EPA's mandatory Quality System. The EPA Quality System requires all
organizations to develop and operate management structures and processes to ensure that data
used in Agency decisions are of the type and (reality needed for their intended use. The QA
Project Plan is an integral part of the fundamental principles and practices that form the
foundation of the EPA Quality System.
This document provides the QA Project Plan requirements for organizations that conduct
environmental data operations on behalf of EPA through contracts, financial assistance
agreements, and interagency agreements; however, it may be used by EPA as well. It contains the
same requirements as Chapter 5 of EPA Order 5360 Al (EPA 2000), The EPA Quality Manual
for Environmental Programs, which has been developed for internal use by EPA organizations.
A companion document, EPA Guidance for Quality Assurance Project Plans (QA/G-5) (EPA
1998) provides suggestions for both EPA and non -EPA organizations on preparing, reviewing,
and implementing QA Project Plans that satisfy the requirements defined in this document.
This document is one of the EPA Quality System Series documents which describe EPA
policies and procedures for planning, implementing, and assessing the effectiveness of a quality
system. Questions regarding this document or other EPA Quality System Series documents
should be directed to:
U.S. EPA
Quality Staff (2811R)
Washington, DC 20460
Phone: (202) 564-6830
FAX: (202) 565-2441
e-mail: quality@epa.gov
Copies of Quality System Series documents may be obtained from the Quality Staff or by
downloading them from the Quality Staff Home Page:
EPA QA/R-5
www.epa.gov/quality
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ACKNOWLEDGMENTS
This document reflects the collaborative efforts of many quality management professionals
who participate in the challenge for continual improvement in quality systems supporting
environmental programs. These individuals, representing the EPA, other Federal agencies, State
and local governments, and private industry, reflect a diverse and broad range of needs and
experiences in environmental data collection programs. Their contributions and the
comprehensive reviews during the development of this document are greatly appreciated.
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TABLE OF CONTENTS
Page
CHAPTER 1. INTRODUCTION 1
1.1 BACKGROUND 1
1.2 QA PROJECT PLANS, THE EPA QUALITY SYS I'FM, AND
ANSI/ASQC E4-1994 2
1,3 THE GRADED APPROACH AND THE EPA QUALITY SYSTEM 4
1,4 INTENDED AUDIENCE 4
1,5 PERIOD OF APPLICABILITY 4
1.6 ADDITIONAL RESOURCES 4
1.7 SUPERSESSION 5
CHAPTER 2. QA PROJECT PLAN REQUIREMENTS 7
2,1 POLICY 7
2.2 PURPOSE 7
2.3 APPLICABILITY 7
2,4 GENERAL CONTENT AND DETAIL REQUIREMENTS 7
2.4.1 General Content 7
2,4.2 Level of Detail 8
2.5 QA PROJECT PLAN PREPARATION AND APPROVAL 8
2.6 QA PROJECT PLAN IMPLEMENTATION 9
2.7 QA PROJECT PLAN REVISION 9
CHAPTER 3. QA PROJECT PLAN ELEMENTS 11
3.1 CONTENT REQUIREMENTS 11
3.2 GROUP A: PROJECT MANAGEMENT 12
3.2.1 Al - Title and Approval Sheet 13
3.2.2 A2 - Table of Contents 13
3.2.3 A3 - Distribution List 14
3.2.4 A4 - Project/Task Organization 14
3.2.5 A5 - Problem Definition/Background 14
3.2.6 A6 - Project/Task Description 14
3.2.7 A7 - Quality Objectives and Criteria 15
3.2.8 A8 - Special Training/Certification 15
3.2.9 A9 - Documents and Records 15
3.3 GROUP B: DATA GENERATION AND ACQUISITION 15
3.3.1 B1- Sampling Process Design (Experimental Design) 16
3.3,2 B2 - Sampling Methods 17
3.3,3 B3 Sample Haridiiiig and Custody 17-
3.3.4 B4 - Analytical Methods 17
3.3.5 B5 - Quality Control 18
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3.3.6 B6 - Instrument/Equipment Testing, Inspection, and Maintenance 18
3.3.7 B7 - Instiument/Equipment Calibration and Frequency 18
3.3.8 B8 - Inspection/Acceptance of Supplies and Consumables 19
3.3.9 B9 - Non -direct Measurements 19
3,3.10 B10 - Data Management 19
3.4 GROUP C: ASSESSMENT AND OVERSIGHT 20
3.4.1 Cl - Assessments and Response Actions 20
3.4.2 C2 - Reports to Management 20
3.5 GROUP D: DATA VALIDATION AND USABILITY 21
3.5.1 Di - Data Review, Verification, and Validation 21
3.5.2 D2 - Verification and Validation Methods 21
3.5.3 D3 - Reconciliation with User Requirements 21
REFERENCES 23
APPENDIX A. CROSSWALKS AMONG QUALITY ASSURANCE DOCUMENTS . A-1
A.1 BACKGROUND A-1
A.2 CROSSWALK BETWEEN EPA QA/R-5 AND QAMS-005/80 A-1
A.3 CROSSWALK BETWEEN THE DQO PROCESS
AND THE QA PROJECT PLAN A-3
APPENDIX B. TERMS AND DEFINITIONS B-1
FIGURES
Page
1. EPA Quality System Components and Tools 3
2. Example Document Control Format 14
TABLES
Page
1. Group A: Project Management Elements 13
2. Group B: Data Generation and Acquisition Elements 16
3. Group C: Assessment and Oversight Elements 20
4. Group D: Data Validation and Usability Elements 21
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CHAPTER
INTRODUCTION
1.1 BACKGROUND
Environmental programs conducted by or funded by the U.S. Environmental Protection
Agency (EPA) involve many diverse activities that address complex environmental issues. The
EPA annually spends several hundred million dollars in the collection of environmental data for
scientific research and regulatory decision making. In addition, non -EPA organizations may
spend as much as an order of magnitude more each year to respond to Agency requirements. If
decision makers (EPA and otherwise) are to have confidence in the quality of environmental data
used to support their decisions, there must be a structured process for quality in place.
A structured system that describes the policies and procedures for ensuring that work
processes, products, or services satisfy stated expectations or specifications is called a quality
system. All organizations conducting environmental programs funded by EPA are required to
establish and implement a quality system. EPA also requires that all environmental data used in
decision making be supported by an approved Quality Assurance Project Plan (QA Project Plan).
This requirement is defined in EPA Order 5360.1 A2 (EPA 2000), Policy and Program
Requirements for the Mandatory Agency -wide Quality System, for EPA organizations. Non -EPA
organizations funded by EPA are required to develop a QA Project Plan through:
48 CFR 46, for contractors;
40 CFR 30, 31, and 35 for assistance agreement recipients; and
othermechanisms, such as consent agreements in enforcement actions.
The QA Project Plan integrates all technical and quality aspects of a project, including
plamiing, implementation, and assessment. The purpose of the QA Project Plan is to document
planning results for environmental data operations and to provide a project -specific "blueprint"
for obtaining the type and quality of environmental data needed for a specific decision or use. The
QA Project Plan documents how quality assurance (QA) and quality control (QC) are applied to
an environmental data operation to assure that the results obtained are of the type and quality
needed and expected.
The ultimate success of an environmental program or project depends on the quality of the
environmental data collected and used in decision -making, and this may depend significantly on
the adequacy of the QA Project Plan and its effective implementation. Stakeholders (i.e., the data
users, data producers; decision makers, etc.) shall lie involved intheplanning process -for a
program or project to ensure that their needs are defined adequately and addressed. While time
spent on such planning may seem unproductive and costly, the penalty for ineffective planning
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includes greater cost and lost time. Therefore, EPA requires that a systematic planning process be
used to plan all environmental data operations. To support this requirement, EPA has developed
a process called the Data Quality Objectives (DQO) Process. The DQO Process is the Agency's
preferred planning process and is described in the Guidance for the Data Quality Objectives
Process (QA/G-4) (EPA 2000b). The QA Project Plan documents the outputs from systematic
planning,
This requirements document presents specifications and instructions for the information
that must be contained in a QA Project Plan for environmental data operations funded by EPA.
The document also discusses the procedures for review, approval, implementation, and revision of
QA Project Plans. Users of this document should assume that all of the elements described herein
are required in a QA Project Plan unless otherwise directed by EPA.
1.2 QA PROJECT PLANS, THE EPA QUALITY SYSTEM, AND ANSI/ASQC
E4-1994
EPA Order 5360.1 A2 and the applicable Federal regulations (defined above) establish a
mandatory Quality System that applies to all EPA organizations and organizations funded by
EPA, Components of the EPA Quality System are illustrated in Figure 1. Organizations must
ensure that data collected for the characterization of environmental processes and conditions are
of the appropriate type and quality for their intended use and that environmental technologies are
designed, constructed, and operated according to defined expectations. The QA Project Plan is a
key project -level component of the EPA Quality System.
EPA policy is based on the national consensus standard, ANSI/ASQC E4-1994,
Specifications and Guidelines for Environmental Data Collection and Environmental
Technology Programs. The ANSI/ASQC E4-1994 standard describes the necessary management
and technical elements for developing and implementing a quality system. This standard
recommends using a tiered approach to a quality system. This standard recommends first
documenting each organization -wide quality system in a Quality Management Plan or Quality
Manual (to address requirements of Part A: Management Systems of the standard) and then
documenting the applicability of the quality system to technical activity -specific efforts in a QA
Project Plan or similar document (to address the requirements of Part B: Collection and
Evaluation of Environmental Data of the standard). EPA has adopted this tiered approach for its
mandatory Agency -wide Quality System. This document addresses Part B requirements of the
standard.
A Quality Management Plan, or equivalent Quality Manual, documents how an
organization structures its quality system, defines and assigns QA and QC responsibilities, and
describes the processes and procedures used to plan, implement, and assess the effectiveness of
the quality system. The Quality Management Plan may be vievved-as-the "umbrella" document
under which individual projects are conducted. EPA requirements for Quality Management Plans
are defined in EPA Requirements for Quality Management Plans (QA/R-2) (EPA 2001). The
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Consensus Standards
ANSI/ASQC E4
ISO 9000 Series
1
v Internal EPA Policies
J EPA Order 5360.1
2 \ EPA Manual 5360
Supporting System Elements
(e.g., Procurements,
Computer Hardware/Software)
Systematic
Planning
(e.g., DQO Process)
111
QA
Project Plan
External Policies
Contracts - 48 CFR 46
Assistance Agreements -
40 CFR 30, 31, and 35
Quality System
Documentation
(e.g., QMP)
Annual Review
and Planning
(e.g., QAARWP)
Training/Communication
(e.g., Training Plan,
Conferences)
Systems
Assessments
(e.g., QSAs)
Conduct Study/
Experiment
t_ t
Standard
Operating
Procedures
Technical
Assessments
Data Verification
& Validation
i
1 DaQuality
Assesstament
PLANNING L-• IMPLEMENTATION m- ASSESSMENT
4
Defensible Products and Decisions
Figure 1. EPA Quality System Components and Tools
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Quality Management Plan is then supported by project -specific QA Project Plans. In some cases,
a QA Project Plan and a Quality Management Plan may be combined into a single document that
contains both organizational and project -specific elements. The QA Manager for the EPA
organization sponsoring the work has the authority to determine when a single document is
applicable and will define the content requirements of such a document.
1.3 THE GRADED APPROACH AND THE EPA QUALITY SYSTEM
Recognizing that a "one size fits all" approach to quality requirements will not work in
organizations as diverse as EPA, implementation of the EPA Quality System is based on the
principle of graded approach. Applying a graded approach means that quality systems for
different organizations and programs will vaiy according to the specific objectives and needs of
the organization. For example, the quality expectations of a fundamental research program are
different from that of a regulatory compliance program because the purpose or intended use of the
data is different. The specific application of the graded approach principle to QA Project Plans is
described in Section 2.4.2.
1.4 INTENDED AUDIENCE
This document specifies the requirements for developing QA Project Plans for
organizations that conduct environmental data operations funded by EPA through contracts,
financial assistance agreements, and interagency agreements. EPA organizations may also use this
document to develop QA Project Plans since this document is clearer and more user-friendly than
the equivalent requirements defined in Section 5.3 of EPA Order 5360 Al (EPA 2000), The EPA
Quality Manual for Environmental Programs (an internal policy document). However, the
preparation, submission, review, and approval requirements for EPA organizations are still
contained in Section 5.2 of EPA Order 5360 Al as these represent internal EPA policy.
1.5 PERIOD OF APPLICABILITY
This document shall be valid for a period of up to five years from the official date of
publication. After five years, it shall either be reissued without change, revised, or withdrawn
from the EPA Quality System.
1.6 ADDITIONAL RESOURCES
Guidance on preparing QA Project Plans may be found in a companion document, EPA
Guidance for Quality Assurance Project Plans (QA/G-5) (EPA 1998). This guidance discusses
the application of the QA Project Plan requirements and provides examples. Other docuinents
that provide guidance on activities critical to successful environmental data operations and
complement the QA Project Planpreparation effort irichide: _.
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Guidance for the Data Quality Objectives Process (QA/G-4), (EPA 2000b)
Guidance for the Preparation of Standard Operating Procedures for Quality -
Related Documents (QA/G-6), (EPA 1995)
Guidance for Data Quality Assessment: Practical Methods for Data Analysis
(QA/G-9), (EPA 2000a)
1.7 SUPERSESSION
This document replaces QAMS-005/80, Interim Guidelines and Specifications for
Preparing Quality Assurance Project Plans (EPA 1980) in its entirety.
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CHAPTER 2
QA PROJECT PLAN REQUIREMENTS
2.1 POLICY
All work funded by EPA that involves the acquisition of environmental data generated
from direct measurement activities, collected from other sources, or compiled from computerized
data bases and information systems shall be implemented in accordance with an approved QA
Project Plan. The QA Project Plan will be developed using a systematic planning process based
on the graded approach. No work covered by this requirement shall be implemented without an
approved QA Project Plan available prior to the start of the work except under circumstances
requiring immediate action to protect human health and the environment or operations conducted
under police powers.
2.2 PURPOSE
The QA Project Plan documents the planning, implementation, and assessment procedures
of, and how specific QA and QC activities will be applied during a particular project. The QA
Project Plan demonstrates conformance to Part B requirements of ANSI/ASQC E4-1994.
2.3 APPLICABILITY
These requirements apply to all environmental programs funded by EPA that acquire,
generate, or compile environmental data including work performed through contracts, work
assignments, delivery orders, task orders, cooperative agreements, interagency agreements, State -
EPA agreements, State, local and Tribal Financial Assistance/Grants, Research Grants, and in
response to statutory or regulatory requirements and consent agreements. These requirements are
negotiated into interagency agreements, including sub -agreements, and, in some cases, are
included in enforcement settlement and consent agreements and orders. Where specific Federal
regulations require the application of QA and QC activities (see Section 1.1), QA Project Plans
shall be prepared, reviewed, and approved in accordance with the specifications contained in this
document unless explicitly superseded by the regulation.
2.4 GENERAL CONTENT AND DETAIL REQUIREMENTS
2.4.1 General Content
The QA Project Plan must be composed of standardized, recognizable elements covering
the entire project from planning, through implementation, to assessment. Chapter 3 of this
document describes specific elements to address for QA Project Plans submitted to EPA. In some
cases, it may be necessary to add special requirements to the QA Project Plan. The EPA
organization sponsoring the work has the authority to define any special requirements beyond
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those listed in this document. If no additional requirements are specified, the QA Project Plan
shall address all required elements. Each EPA organization defines their organizational -specific
requirements for QA Project Plan documentation in their Quality Management Plan. All
applicable elements defined by the EPA organization sponsoring the work must be addressed.
While most QA Project Plans will describe project- or task -specific activities, there may be
occasions when a generic QA Project Plan may be more appropriate. A generic QA Project Plan
addresses the general, common activities of a program that are to be conducted at multiple
locations or over a long period of time; for example, it may be useful for a large monitoring
program that uses the same methodology at different locations. A generic QA Project Plan
describes, in a single document, the information that is not site or time -specific but applies
throughout the program. Application -specific information is then added to the approved QA
Project Plan as that information becomes known or completely defined. A generic QA Project
Plan shall be reviewed periodically to ensure that its content continues to be valid and applicable
to the program over time.
2.4.2 Level of Detail
The level of detail of the QA Project Plan should be based on a graded approach so that
the level of detail in each QA Project Plan will vary according to the nature of the work being
performed and the intended use of the data. As a result, an acceptable QA Project Plan for some
environmental data operations may require a qualitative discussion of the experimental process
and its objectives while others may require extensive documentation to adequately describe a
complex environmental program.
2.5 QA PROJECT' PLAN PREPARATION AND APPROVAL
The QA Project Plan may be prepared by an EPA organization, a contractor, an assistance
agreement holder, or another Federal agency under an interagency agreement. Except where
specifically delegated in the Quality Management Plan of the EPA organization sponsoring the
work, all QA Project Plans prepared by non -EPA organizations must be approved by EPA before
implementation.
The QA Project Plan shall be reviewed and approved by an authorized EPA reviewer to
ensure that the QA Project Plan contains the appropriate content and level of detail. The
authorized reviewer, for example the EPA project managert with the assistance and approval of
the EPA QA Manager or by the EPA QA Manager alone, are defined by the EPA organization's
Quality Management Plan. In some cases, the authority to review and approve QA Project Plans
is delegated to another part of the EPA organization covered by the same Quality Management
1 This term refers to the EPA official responsible for the project. This individual may also be called Project Officer,
Delivery Order Project Officer, Work Assignment Manager, or Principal Investigator.
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Plan. In cases where the authority to review and approve QA Project Plans is delegated in writing
by EPA to another organization (i.e., a Federal agency or a State under an EPA -approved Quality
Management Plan when the environmental data operation itself has been delegated to that
organization for implementation), it is possible that the EPA project manager and EPA QA
Manager may not be involved in the review and approval steps.
2.6 QA PROJECT PLAN IMPLEMENTATION
None of the environmental work addressed by the QA Project Plan shall be started until
the QA Project Plan has been approved and distributed to project personnel except in situations
requiring immediate action to protect human health and the environment or operations conducted
under police powers. Subject to these exceptions, it is the responsibility of the organization
performing the work to assure that no environmental data are generated or acquired before the
QA Project Plan is approved and received by the appropriate project personnel. However, EPA
may grant conditional approval to a QA Project Plan to permit some work to begin while non-
critical deficiencies in the QA Project Plan are being resolved.
The organization performing the work shall ensure that the QA Project Plan is
implemented as approved and that all personnel involved in the work have direct access to a
current version of the QA Project Plan and all other necessary planning, implementation, and
assessment documents. These personnel should understand the requirements prior to the start of
data generation activities.
2.7 QA PROJECT PLAN REVISION
Although the approved QA Project Plan must be implemented as prescribed; it is not
inflexible. Because of the complex and diverse nature of environmental data operations, changes
to original plans are often needed. When such changes occur, the approving official shall
determine if the change significantly impacts the technical and quality objectives of the project.
When a substantive change is warranted, the originator of the QA Project Plan shall modify the
QA Project Plan to document the change and submit the revision for approval by the same
authorities that performed the original review. Only after the revision has been received and
approved (at least verbally with written follow-up) by project personnel, shall the change be
implemented.
For programs or projects of long duration, such as multi -year monitoring programs or
projects using a generic QA Project Plan, the QA Project Plans shall be reviewed at least annually
by the EPA Project Manager (or authorized representative). When revisions are necessary, the
QA Project Plan must be revised and resubmitted for review and approval.
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CHAPTER 3
QA PROJECT PLAN ELEMENTS
3.1 CONTENT REQUIREMENTS
The QA Project Plan is a formal document describing in comprehensive detail the
necessary QA, QC, and other technical activities that must be implemented to ensure that the
results of the work performed will satisfy the stated performance criteria. The QA Project Plan
must provide sufficient detail to demonstrate that:
the project technical and quality objectives are identified and agreed upon;
the intended measurements, data generation, or data acquisition methods are
appropriate for achieving project objectives;
• assessment procedures are sufficient for confirming that data of the type and
quality needed and expected are obtained; and
• any limitations on the use of the data can be identified and documented.
Most environmental data operations require the coordinated efforts of many individuals, including
managers, engineers, scientists, statisticians, and others. The QA Project Plan must integrate the
contributions and requirements of everyone involved into a clear, concise statement of what is to
be accomplished, how it will be done, and by whom. It must provide understandable instructions
to those who must implement the QA Project Plan, such as the field sampling team, the analytical
laboratory, modelers, and the data reviewers. In all aspects of the QA Project Plan, the use of
national consensus standards and practices are encouraged.
In order to be effective, the QA Project Plan must specify the level or degree of QA and
QC activities needed for the particular environmental data operations. Because this will vary
according to the purpose and type of work being done, EPA believes that the graded approach
should be used in planning the work. This means that the QA and QC activities applied to a
project will be commensurate with:
• the purpose of the environmental data operation (e.g., enforcement, research and
development, rulemaking),
• the type of work to be done (e.g., pollutant monitoring, site characterization, risk
characterization, bench level proof of concept experiments), and
• the intended use of the results (e.g., compliance determination, selection of
remedial technology, development of environmental regulation).
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The QA Project Plan shall be composed of standardized, recognizable elements covering
the entire project from planning, through implementation, to assessment. These elements are
presented in that order and have been arranged for convenience into four general groups. The
four groups of elements and their intent are summarized as follows:
A Proiect Management - The elements in this group address the basic area of project
management, including the project history and objectives, roles and responsibilities
of the participants, etc. These elements ensure that the project has a defined goal,
that the participants understand the goal and the approach to be used, and that the
planning outputs have been documented.
B Data Generation and Acquisition - The elements in this group address all aspects
of project design and implementation. Implementation of these elements ensure
that appropriate methods for sampling, measurement and analysis, data collection
or generation, data handling, and QC activities are employed and are properly
documented.
C Assessment and Oversight - The elements in this group address the activities for
assessing the effectiveness of the implementation of the project and associated QA
and QC activities. The purpose of assessment is to ensure that the QA Project
Plan is implemented as prescribed.
D Data Validation and Usability - The elements in this group address the QA
activities that occur after the data collection or generation phase of the project is
completed. Implementation of these elements ensures that the data conform to the
specified criteria, thus achieving the project objectives.
All applicable elements, including the content and level of detail under each element,
defined by the EPA organization sponsoring the work must be addressed in the QA Project Plan.
If an element is not applicable, state this in the QA Project Plan, Documentation, such as an
approved Work Plan, Standard Operating Procedures, etc., may be referenced in response to a
particular required QA Project Plan element to reduce the size of the QA Project Plan. Current
versions of all referenced documents must be attached to the QA Project Plan itself or be placed
on file with the appropriate EPA office and available for routine referencing when needed. The
QA Project Plan shall also address related QA planning documentation (e.g., Quality Management
Plans) from suppliers of services critical to the technical and quality objectives of the project or
task.
3.2 GROUP A: PROJECT MANAGEMENT
The e1einents in this group (Table 1) address project management, including project
history and objectives, roles and responsibilities of the participants, etc, These elements document
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that the project has a defined goal, that the participants understand the goal and the approach to
be used, and that the planning outputs have been documented.
Table 1. Group A: Project Management Elements
Al Title and Approval Sheet
A2 Table of Contents
A3 Distribution List
A4 Project/Task Organization
A5 Problem Definition/Background
A6 Project/Task Description
A7 Quality Objectives and Criteria
A8 Special Training/Certification
A9 Documents and Records
3.2.1 Al - Title and Approval Sheet
On the Title and Approval Sheet, include the title of the plan, the name of the
organization(s) implementing the project, the effective date of the plan, and the names, titles,
signatures, and approval dates of appropriate approving officials. Approving officials may
include:
Organization's Project Manager
Organization's QA Manager
EPA Project Manager
EPA QA Manager
Others, as needed (e.g., field operations manager, laboratory managers,
State and other Federal agency officials)
3.2.2 A2 - Table of Contents
Provide a table of contents for the document, including sections, figures, tables,
references, and appendices. Apply a document control format (Figure 2) on each page following
the Title and Approval Sheet when required by the EPA Project Manager and QA Manager.
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Section No.
Revision No.
Date
Page of
Figure 2. Example Document Control Format
3.2.3 A3 - Distribution List
List the individuals and their organizations who need copies of the approved QA Project
Plan and any subsequent revisions, including all persons responsible for implementation (e.g.,
project managers), the QA tanagers, and representatives of all groups involved. Paper copies
need not be provided to individuals if equivalent electronic information systems can be used.
3.2.4 A4 - Project/Task Organization
Identify the individuals or organizations participating in the project and discuss their
specific roles and responsibilities. Include the principal data users, the decision makers, the
project QA manager, and all persons responsible for implementation. The project quality
assurance manager must be independent of the unit generating the data. (Thus does not include
being independent of senior officials, such as corporate managers or agency administrators, who
are nominally, but not functionally, involved in data generation, data use, or decision making.)
Identify the individual responsible for maintaining the official, approved QA Project Plan.
Provide a concise organization chart showing the relationships and the lines of
communication among all proj eet participants. Include other data users who are outside of the
organization generating the data, but for whom the data are nevertheless intended. The
organization chart must also identify any subcontractor relationships relevant to environmental
data operations, including laboratories providing. analytical services.
3.2.5 A5 - Problem Definition/Background
State the specific problem to be solved, decision to be made, or outcome to be achieved.
Include sufficient background information to provide a historical, scientific, and regulatory
perspective for this particular project.
3.2.6 AG - Project/Task Description
Provide a summary of all work to be performed, products to be produced, and the
schedule for implementation. Provide maps or tables that show or state the geographic locations
of field tasks, This discussion need not be lengthy or overly detailed, but should give an overall
picture of how the project will resolve the problem or question described in A5.
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3.2.7 A7 - Quality Objectives and Criteria
Discuss the quality objectives for the project and the performance criteria to achieve those
objectives, EPA requires the use of a systematic planning process to define these quality
objectives and performance criteria.
3.2.8 A8 - Special Training/Certification
Identify and describe any specialized training or certifications needed by personnel in order
to successfully complete the project or task. Discuss how such training will be provided and how
the necessary skills will be assured and documented.
3.2.9 A9 - Documents and Records
Describe the process and responsibilities for ensuring the appropriate project personnel
have the most current approved version of the QA Project Plan, including version control,
updates, distribution, and disposition.
Itemize the information and records which must be included in the data report package
and specify the reporting format for hard copy and any electronic forms. Records can include raw
data, data from other sources such as data bases or literature, field logs, sample preparation and
analysis logs, instrument printouts, model input and output files, and results of calibration and QC
checks.
Identify any other records and documents applicable to the project that will be produced,
such as audit reports, interim progress reports, and final reports. Specify the level of detail of the
field sampling, laboratory analysis, literature or data base data collection, or modeling documents
or records needed to provide a complete description of any difficulties encountered.
Specify or reference all applicable requirements for the fmal disposition of records and
documents, including location and length of retention period.
3,3 GROUP B: DATA GENERATION AND ACQUISITION
The elements in this group (Table 2) address all aspects of data generation and acquisition
to ensure that appropriate methods for sampling, measurement and analysis, data collection or
generation, data handling, and QC activities are employed and documented. The following QA
Project Plan elements describe the requirements related to the actual methods or methodology to
be used for the:
collection, handling, and analysis of samples;
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data obtained from other sources (e.g., contained in a computer data base from
previous sampling activities, compiled from surveys, taken from the literature); and
the management (i.e., compiling, handling) of the data.
The methods described in these elements should have been summarized earlier in element A6. The
purpose here is to provide detailed information on the methods. If the designated methods are
well documented and are readily available to all project participants, citations are adequate;
otherwise, detailed copies of the methods and/or SOPs must accompany the QA Project Plan
either in the text or as attachments.
Table 2. Group B: Data Generation and
Acquisition Elements
B1 Sampling Process Design (Experimental Design)
B2 Sampling Methods
B3 Sample Handling and Custody
B4 Analytical Methods
B5 Quality Control
B6 InstrumenUEquipment Testing, Inspection, and Maintenance
B7 Instrument/Equipment Calibration and Frequency
B8 lnspection/Acceptance of Supplies and Consumables
B9 Non -direct Measurements
B10 Data Management
3.3.1 B1- Sampling Process Design (Experimental Design)
Describe the experimental data generation or data collection design for the project,
including as appropriate:
the types and numbers of samples required,
the design of the sampling network,
the sampling locations and frequencies,
sample-matriees, - - - - - -
measurement parameters of interest, and
the rationale for the design.
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3.3.2 B2 - Sampling Methods
Describe the procedures for collecting samples and identify the sampling methods and
equipment, including any implementation requirements, sample preservation requirements,
decontamination procedures, and materials needed for projects involving physical sampling.
Where appropriate, identify sampling methods by number, date, and regulatory citation. If a
method allows the user to select from various options, then the method citations should state
exactly which options are being selected. Describe specific performance requirements for the
method. For each sampling method, identify any support facilities needed. The discussion should
also address what to do when a failure in the sampling or measurement system occurs, who is
responsible for corrective action, and how the effectiveness of the corrective action shall be
determined and documented.
Describe the process for the preparation and decontamination of sampling equipment,
including the disposal of decontamination by-products; the selection and preparation of sample
containers, sample volumes, and preservation methods; and maximum holding times to sample
extraction and/or analysis.
3.3.3 B3 - Sample Handling and Custody
Describe the requirements for sample handling and custody in the field, laboratory, and
transport, taking into account the nature of the samples, the maximum allowable sample holding
times before extraction or analysis, and available shipping options and schedules for projects
involving physical sampling. Sample handling includes packaging, shipment from the site, and
storage at the laboratory. Examples of sample labels, custody forms, and sample custody logs
should be included.
3.3.4 B4 - Analytical Methods
Identify the analytical methods and equipment required, including sub -sampling or
extraction methods, laboratory decontamination procedures and materials (such as in the case of
hazardous or radioactive samples), waste disposal requirements (if any), and any specific
performance requirements for the method. Where appropriate, analytical methods may be
identified by number, date, and regulatory citation. Address what to do when a failure in the
analytical system occurs, who is responsible for corrective action, and how the effectiveness of the
corrective action shall be determined and documented. Specify the laboratory turnaround time
needed, if important to the project schedule.
List any method performance standards. If a method allows the user to select from
various options, then the method citations should state exactly which options are being selected.
For non-standard method -applications; such as for unusual sample matrices and situations,
appropriate method performance study information is needed to confurn the performance of the
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method for the particular matrix. If previous performance studies are not available, they must be
developed during the project and included as part of the project results.
3.3.5 B5 - Quality Control
Identify QC activities needed for each sampling, analysis, or measurement technique. For
each required QC activity, list the associated method or procedure, acceptance criteria, and
corrective action. Because standard methods are often vague or incomplete in specifying QC
requirements, simply relying on the cited method to provide this information is usually insufficient.
QC activities for the field and the laboratory include, but are not limited to, the use of blanks,
duplicates, matrix spikes, laboratory control samples, surrogates, or second column confirmation.
State the frequency of analysis for each type of QC activity, and the spike compounds sources and
levels. State or reference the required control limits for each QC activity and corrective action
required when control limits are exceeded and how the effectiveness of the corrective action shall
be determined and documented.
Describe or reference the procedures to be used to calculate applicable statistics (e.g.,
precision and bias). Copies of the formulas are acceptable as long as the accompanying narrative
or explanation specifies clearly how the calculations will address potentially difficult situations
such as missing data values, "less than" or "greater than" values, and other common data
qualifiers.
3.3.6 B6 - Instrument/Equipment Testing, Inspection, and Maintenance
Describe how inspections and acceptance testing of instruments, equipment, and their
components affecting quality will be performed and documented to assure their intended use as
specified. Identify and discuss the procedure by which fmal acceptance will be performed by
independent personnel (e.g., personnel other than those performing the work) and/or by the EPA
project manager. Describe how deficiencies are to be resolved, when re -inspection will be
performed, and how the effectiveness of the corrective action shall be determined and
documented.
Describe or reference how periodic preventive and corrective maintenance of
measurement or test equipment or other systems and their components affecting quality shall be
performed to ensure availability and satisfactory performance of the systems. Identify the
equipment and/or systems requiring periodic maintenance. Discuss how the availability of critical
spare parts, identified in the operating guidance and/or design specifications of the systems, will
be assured and maintained.
3.3.7 B7 - Instrrunent/Equiprncnt Calibration and Frequency
Identify all tools, gauges, instruments, and other sampling, measuring, and test equipment
used for data generation or collection activities affecting quality that must be controlled and, at
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specified periods, calibrated to maintain performance within specified limits. Describe or
reference how calibration will be conducted using certified equipment and/or standards with
known valid relationships to nationally recognized performance standards. If no such nationally
recognized standards exist, document the basis for the calibration. Identify the certified
equipment and/or standards used for calibration. Indicate how records of calibration shall be
maintained and be traceable to the instrument.
3.3.8 B8 - Inspection/Acceptance of Supplies and Consumables
Describe how and by whom supplies and consumables (e.g., standard materials and
solutions, sample bottles, calibration gases, reagents, hoses, deionized water, potable water,
electronic data storage media) shall be inspected and accepted for use in the project. State
acceptance criteria for such supplies and consumables.
3.3.9 B9 - Non -direct Measurements
Identify any types of data needed for project implementation or decision making that are
obtained from non -measurement sources such as computer data bases, programs, literature files,
and historical data bases. Describe the intended use of the data. Define the acceptance criteria
for the use of such data in the project and specify any limitations on the use of the data.
3.3.10 B10 - Data Management
Describe the project data management process, tracing the path of the data from their
generation to their final use or storage (e.g., the field, the office, the laboratory). Describe or
reference the standard record -keeping procedures, document control system, and the approach
used for data storage and retrieval on electronic media. Discuss the control mechanism for
detecting and correcting errors and for preventing loss of data during data reduction, data
reporting, and data entry to forms, reports, and databases. Provide examples of any forms or
checklists to be used.
Identify and describe all data handling equipment and procedures to process, compile, and
analyze the data. This includes procedures for addressing data generated as part of the project as
well as data from other sources. Include any required computer hardware and software and
address any specific performance requirements for the hardware/software configuration used.
Describe the procedures that will be followed to demonstrate acceptability of the
hardware/software configuration required. Describe the process for assuring that applicable
information resource management requirements are satisfied.
Describe the process for assuring that applicable Agency information resource
management requirements -(EPADirective 21-00) are satisfied (EPA QA Project Plans -only). If
other Agency data management requirements are applicable, such as the Chemical Abstract
Service Registry Number Data Standard (EPA Order 2180.1), Data Standards for the Electronic
Final
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Transmission of Laboratory Measurement Results (EPA Order 2180.2), the Minimum Set of Data
Elements for Ground -Water Quality (EPA Order 7500.1 A), or new data standards as they are
issued by EPA, discuss how these requirements are addressed.
3.4 GROUP C: ASSESSMENT AND OVERSIGHT
The elements in this group (Table 3) address the activities for assessing the effectiveness
of project implementation and associated QA and QC activities. The purpose of assessment is to
ensure that the QA Project Plan is implemented as prescribed.
Table 3. Group C: Assessment and
Oversight Elements
Cl Assessments and Response Actions
C2 Reports to Management
3.4.1 C1 - Assessments and Response Actions
Describe each assessment to be used in the project including the frequency and type.
Assessments include, but are not limited to, surveillance, management systems reviews, readiness
reviews, technical systems audits, performance evaluations, audits of data quality, and data quality
assessments. Discuss the information expected and the success criteria (i.e., goals, performance
objectives, acceptance criteria specifications, etc.) for each assessment proposed. List the
approximate schedule of assessment activities. For any planned self -assessments (utilizing
personnel from within the project groups), identify potential participants and their exact
relationship within the project organization. For independent assessments, identify the
organization and person(s) that shall perform the assessments if this information is available.
Describe how and to whom the results of each assessment shall be reported.
Define the scope of authority of the assessors, including stop work orders, and when
assessors are authorized to act.
Discuss how response actions to assessment findings, including corrective actions for
deficiencies and other non -conforming conditions, are to be addressed and by whom. Include
details on how the corrective actions will be verified and documented.
3.4.2 C2 - Reports to Management
Identify the frequency and distribution of reports issued to inform management (EPA or
otherwise) -of the project status; --for examples, reports on the results -of -performance evaluations
and system audits; results of periodic data quality assessments; and significant quality assurance
Final
EPA QA/R 5 20 March 2001
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number 582-14-40060
problems and recommended solutions. Identify the preparer and the recipients of the reports, and
any specific actions recipients are expected to take as a result of the reports.
3.5 GROUP D: DATA VALIDATION AND USABILITY
The elements in this group (Table 4) address the QA activities that occur after the data
collection phase of the project is completed. Implementation of these elements determines
whether or not the data conform to the specified criteria, thus satisfying the project objectives.
Table 4. Group D: Data Validation
and Usability Elements
DI Data Review, Verification, and Validation
D2 Verification and Validation Methods
D3 Reconciliation with User Requirements
3.5.1 D1. - Data Review, Verification, and Validation
State the criteria used to review and validate -- that is, accept, reject, or qualify -- data, in
an objective and consistent manner.
3.5.2 D2 - Verification and Validation Methods
Describe the process to be used for verifying and validating data, including the chain -of -
custody for data throughout the life of the project or task. Discuss how issues shall be resolved
and the authorities for resolving such issues. Deset ibe how the results are conveyed to data users.
Precisely define and interpret how validation issues differ from verification issues for this project.
Provide examples of any forms or checklists to be used. Identify any project -specific calculations
required.
3.5.3 D3 - Reconciliation with User Requirements
Describe how the results obtained from the project or task will be reconciled with the
requirements defined by the data user or decision maker. Outline the proposed methods to
analyze the data and determine possible anomalies or departures from assumptions established in
the planning phase of data collection. Describe how reconciliation with user requirements will be
documented, issues will be resolved, and how limitations on the use of the data will be reported to
decision makers.
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EPA QA/R-5 21 March 2001
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Final
EPA QA/R-5 22 March 2001
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Contract Name: Ambient Air Monitoring ,Pass-Thru Grant Contract Number. 582-14-40060
REFERENCES
40 CFR 30, Code of Federal Regulations, "Grants and Agreements With Institutions of Higher
Education, Hospitals, and Other Non -Profit Organizations."
40 CFR 31, Code of Federal Regulations, "Uniform Administrative Requirements for Grants and
Cooperative Agreement to State and Local Governments."
40 CFR 35, Code of Federal Regulations, "State and Local Assistance."
48 CFR 46, Code of Federal Regulations, "Federal Acquisition Regulations."
ANSI/ASQC E4-1994, Specifications and Guidelines for Quality Systems for Environmental
Data Collection and Environmental Technology Programs, American National Standard,
January 1995.
EPA Directive 2100 (1998), Information Resources Management Policy Manual, U.S.
Environmental Protection Agency, Washington, DC.
EPA Order 2180.1 (June 1987), Chemical Abstract Service Registry Number Data Standard,
U.S. Environmental Protection Agency, Washington, DC.
EPA Order 2180.2 (December 1988), Data Standards for the Electronic Transmission of
Laboratory Measurement Results, U.S. Environmental Protection Agency, Washington,
DC.
EPA Order 5360 Al (May 2000). EPA Quality Manual for Environmental Programs, U.S.
Environmental Protection Agency, Washington, DC.
EPA Order 5360.1 A2 (May 2000), Policy and Program Requirements for the Mandatory
Agency -wide Quality System, U.S. Environmental Protection Agency, Washington, DC.
EPA Order 7500.1A (October 1992), Minimum Set of Data Elements for Ground -Water Quality,
U.S. Environmental Protection Agency, Washington, DC.
U.S. Environmental Protection Agency, 2001. EPA Requirements for Quality Management
Plans (QA/R-2), EPA/240/B-01/002, Office of Enviromnental Information.
U.S. Environmental Protection Agency, 2000a. Guidance for Data Quality Assessment:
Practical Methods for Data Analysis (QA/G-9), EPA/600/R-96/084, Office of
Environmental Information.
Final
EPA QA/R-5 23 March 2001
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
U.S. Environmental Protection Agency, 2000b. Guidance for the Data Quality Objectives
Process (QA/G-4), EPA/600/R-96/055, Office of Environmental Information,
U.S. Environmental Protection Agency, 1998. Guidance for Quality Assurance Project Plans
(QA/G-5), EPA/600/R-98/018, Office of Research and Development.
U.S. Environmental Protection Agency, 1995. Guidance for the Preparation of Standard
Operating Procedures (SOPs) for Quality -Related Documents (QA/G-6), EPA/600/R-
96/027, Office of Research and Development.
U.S. Environrental Protection Agency, 1980. Interim Guidelines and Specifications for
Preparing Quality Assurance Project Plans, QAMS-005/80, Office of Research and
Development.
Final
EPA QAfR-5 24 March 2001
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
APPENDIX A
CROSSWALKS AMONG QUALITY ASSURANCE DOCUMENTS
A.1 BACKGROUND
This appendix contains crosswalks between this document and other QA planning
documents. The first crosswalk compares this requirements document with its predecessor
document, QAMS 005/80, Interim Guidelines and Specifications for Preparing Quality
Assurance Project Plans (EPA 1980). The second crosswalk compares the elements of the QA
Project Plan defined in this document with the steps defined in Guidance for the Data Quality
Objectives Process (QA/G-4) (EPA 2000b), the Agency's preferred systematic planning process
for environmental decision making. This crosswalk is provided to assist the reader in determining
how the outputs from the DQO Process can be integrated into a QA Project Plan.
A.2 CROSSWALK BETWEEN EPA QA/R-5 AND QAMS-005/80
QAMS-005/80 ELEMENTS
1.0 Title Page with Provision for
Approval Signatures
2.0 Table of Contents
3.0 Project Description
4.0 Project Organization and
Responsibility
5.0 QA Objectives for Measurement
Data (PARCC)
6.0 Sampling Procedures
7.0 Sample Custody
8.0 Calibration Procedures and
Frequency
EPA QAJR-5
QA/R-5 ELEMENTS
Al Title and Approval Sheet
A2 Table of Contents
A5 Problem Definition/Background
A6 Project/Task Description
A3 Distribution List
A4 Project/Task Organization
A8 Special Training/Certification
A9 Documents and Records
A7 Quality Objectives and Criteria
131 Sampling Process Design
B2 Sampling Methods
B3 Sample Handling and Custody
B7 Instrument/Equipment Calibration and
Frequency
A-1
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Final
March 2001
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
QAMS-005/80 ELEMENTS
9.0 Analytical Procedures
10.0 Data Reduction, Validation, and
Reporting
11.0 Internal Quality Control Checks
and Frequency
12.0 Performance and Systems
13.0 Preventive Maintenance
14.0 Specific Routine Procedures Mea-
surement Parameters Involved
15.0 Corrective Action
16.0 QA Reports to Management
QA/R-5 ELEMENTS
B4 Analytical Methods
D1 Data Review, Verification, and
Validation
D2 Verification and Validation Methods
B9 Non -direct Measurements
B 10 Data Management
B5 Quality Control
C1 Assessments and Response Actions
B6 Instrument/Equipment Testing,
Inspection, and Maintenance
D3 Reconciliation with User Requirements
C1 Assessments and Response Actions
C2 Reports to Management
EPA QA/R-5 A-2
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Final
March 2001
Contract Name: Ambient Air Monitoring - Pass-Thru Grant
A.3 CROSSWALK BETWEEN THE DQO PROCESS AND THE QA PROJECT PLAN
Al
A2
A3
Elements
Title and Approval Sheet
Table oflContents
Distribution List
A4 Project/Task
Organization
A5 Problem Definition/
Background
A6 Project/Task Description
A7 Quality Objectives and
Criteria '
A8 Special Training/
Certification
A9 Documents and Records
EPA QA/R-5
Requirements
Title and approval sheet_
Document control format.
Distribution list for the QA Project Plan
revisions and final guidance.
Identify individuals or organizations
participating in the project and discuss their
roles, responsibilities and organization.
1) State the specific problem to be solved or
the decision to be made.
2) Identify the decision maker and the principal
customer for the results.
1) Hypothesis test, 2) expected measurements,
3) ARARs or other appropriate standards, 4)
assessment tools (technical audits), 5) work
schedule and required reports.
PROJECT MANAGEMENT
N/A
N/A
Step 1:
Decision(s), population parameter of interest,
action level, summary statistics and acceptable
limits on decision errors. Also, scope of the
project (domain or geographical locale).
Identify special training that personnel will N/A
need.
Itemize the information and records that must
be included in a data report package, including
report format and requirements for storage,
etc.
Contract Number: 582-14-40060
DQO Overlap
State the Problem
Step 1: State the Problem
Step 1: State the Problem
Step 2: Identify the Decision
A-3
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Step 1:
Step 2:
Step 3:
Step 6:
Step 4:
Step 5:
Step 6:
State the Problem
Identify the Decision
Identify the Inputs to the Decision
Specify Limits on Decision Errors
Define the Boundaries
Develop a Decision Rule
Specify Limits on Decision Errors
Step 3: Identify the Inputs to the Decision
Step 7: Optimize the Design for Obtaining Data
Final
March 2001
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Bl
Elements
Sampling Process Design
(Experimental Design)
B2 Sampling Methods
B3 Sample Handling and
Custody
B4 Analytical Methods
B5 Quality Control
B6 Instrument/Equipment
Testing, Inspection, and
Maintenance
B7 Instrument/Equipment
Calibration and
Frequency
B8 Inspection/Acceptance of
Supplies and
Consumables
EPA QA/R 5
Requirements
DATA GENERATION AND ACQUISITION
Outline the experimental design, including
sampling design and rationale, sampling
frequencies, matrices, and measurement
parameter of interest.
Sample collection method and approach.
Describe the provisions for sample labeling,
shipment, chain -of -custody forms, procedures
for transferring and maintaining custody of
samples.
Identify analytical method(s) and equipment
for the study, including method performance
requirements.
Describe quality control procedures that
should be associated with each sampling and
measurement technique_ List required checks
and corrective action procedures.
Discuss how inspection and acceptance testing,
including the use of QC samples, must be
performed to ensure their intended use as
specified by the design.
Identify tools, gauges and instruments, and
other sampling or measurement devices that
need calibration. Describe how the calibration
should be done.
Define how and by whom the sampling
supplies and other consumables will be
accepted for use in the project.
A-4
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DQO Overlap
Step 5: Develop a Decision Rule
Step 7: Optimize the Design for Obtaining Data
Step 7: Optimize the Design for Obtaining Data
N/A
Step 3: Identify the Inputs to the Decision
Step 7: Optimize the Design for Obtaining Data
Step 3: Identify the Inputs to the Decision
Step 3: Identify the Inputs to the Decision
Step 3: Identify the Inputs to the Decision
N/A
Final
March 2001
Contract Name: Ambient Air Monitoring - Pass-Thru Grant
Elements
B9 Non -direct
Measurements
B 10 Data Management
Cl
C2
Assessments and
Response Actions
Reports to Management
Di Data Review,
Verification, and
Validation
D2 Verification and
Validation Methods
D3 Reconciliation With User
Requirements
EPA QA/1t 5
Requirements
Define the criteria for the use of non -
measurement data, such as data that come
frorn databases or literature.
Outline the data management scheme including
the path and storage of the data and the data
record -keeping system. Identify all data
handling equipment and procedures that will be
used to process, compile, and analyze the data.
ASSESSMENT AND OVERSIGHT
Describe the assessment activities needed for
this project.
Identify the frequency, content, and N/A
distribution of reports issued to keep
management informed.
DATA VALIDATION AND USABILITY
Step I:
Step 7:
Step 3:
Step 7:
State the criteria used to accept or reject the
data based on quality.
Describe the process to be used for verifying
and validating data, including the chain -of -
custody for data throughout the lifetime of the
project.
Describe how results will be evaluated to
determine if performance criteria have been
satisfied.
A-5
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Step 7:
Contract Number: 582-14-40060
DQO Overlap
State the Problem
Optimize the Design for Obtaining Data
Identify the Inputs to the Decision
Optimize the Design for Obtaining Data
Step 7: Optimize the Design for Obtaining Data
Optimize the Design for Obtaining Data
Step 3: Identify the Inputs to the Decision
Step 7: Optimize the Design for Obtaining Data
Final
March 2001
Contract Name: Ambient Alr Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
(This page is intentionally blank.)
Final
EPA QA/R-5 A-6 March 2001
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
APPENDIX B
TERMS AND DEFINITIONS
assessment - the evaluation process used to measure the performance or effectiveness of a system
and its elements. As used here, assessment is an all-inclusive term used to denote any of the
following: audit, performance evaluation, management systems review, peer review, inspection, or
surveillance.
audit (quality) - a systematic and independent examination to determine whether quality
activities and related results comply with planned arrangements and whether these arrangements
are implemented effectively and are suitable to achieve objectives.
calibration - comparison of a measurement standard, instrument, or item with a standard or
instrument of higher accuracy to detect and quantify inaccuracies and to report or eliminate those
inaccuracies by adjustments.
chain -of -custody - an unbroken trail of accountability that ensures the physical security of
samples, data, and records.
contractor - any organization or individual that contracts to furnish services or items or perform
work; a supplier in a contractual situation.
data quality assessment - a statistical and scientific evaluation of the data set to determine the
validity and performance of the data collection design and statistical test, and to determine the
adequacy of the data set for its intended use.
data usability - the process of ensuring or determining whether the quality of the data produced
meets the intended use of the data.
design - specifications, drawings, design criteria, and performance requirements. Also the result
of deliberate plaiming, analysis, mathematical manipulations, and design processes.
environmental conditions - the description of a physical medium (e.g., air, water, soil, sediment)
or biological system expressed in terms of its physical, chemical, radiological, or biological
characteristics.
environmental data - any measurements or information that describe environmental processes,
location, or conditions; ecological or health effects and consequences; or the performance of
environmental technology. For EPA, environmental data include information collected directly
from measurement's, produced froin models, and compiled froth other source such as data bases
or the literature.
Final
EPA QA/R-5 B-1 Match 2001
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environmental data operations - work performed to obtain, use, or report information
pertaining to environmental processes and conditions.
environmental processes - manufactured or natural processes that produce discharges to or that
impact the ambient environment.
environmental programs - work or activities involving the environment, including but not
limited to: characterization of environmental processes and conditions; environmental monitoring;
environmental research and development; the design, construction, and operation of
environmental technologies; and laboratory operations on environmental samples.
environmental technology - an all-inclusive term used to describe pollution control devices and
systems, waste treatment processes and storage facilities, and site remediation technologies and
their components that may be utilized to remove pollutants or contaminants from or prevent them
from entering the environment. Examples include wet scrubbers (air), soil washing (soil),
granulated activated carbon unit (water), and filtration (air, water). Usually, this term will apply
to hardware -based systems; however, it will also apply to methods or techniques used for
pollution prevention, pollutant reduction, or containment of contamination to prevent further
movement of the contaminants, such as capping, solidification or vitrification, and biological
treatment.
financial assistance - the process by which funds are provided by one organization (usually
government) to another organization for the purpose of performing work or furnishing services or
items, Financial assistance mechanisms include grants, cooperative agreements, performance
partnership agreements, and government interagency agreements.
graded approach - the process of basing the level of application of managerial controls applied
to an item or work according to the intended use of the results and the degree of confidence
needed in the quality of the results.
independent assessment - an assessment performed by a qualified individual, group, or
organization that is not a part of the organization directly performing and accountable for the
work being assessed.
information resources management - the planning, budgeting, organizing, directing, training
and controls associated with information. The term encompasses both information itself and
related resources such as personnel, equipment, funds and technology.
inspection - an activity such as measuring, examining, testing, or gauging one or more
characteristics of an entity and comparing the results with specified requirements in order to
establish whether coriformahce is achieved for each characteristic,
Final
EPA QA/R-5 B-2 March 2001
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
management system - a structured, non -technical system describing the policies, objectives,
principles, organizational authority, responsibilities, accountability, and implementation plan of an
organization for conducting work and producing items and services.
method - a body of procedures and techniques for performing an activity (e.g., sampling,
modeling, chemical analysis, quantification) systematically presented in the order in which they are
to be executed.
participant - when used in the context of environmental programs, an organization, group, or
individual that takes part in the planning and design process and provides special knowledge or
skills to enable the planning and design process to meet its objective.
performance evaluation - a type of audit in which the quantitative data generated in a
measurement system are obtained independently and compared with routinely obtained data to
evaluate the proficiency of an analyst or laboratory.
quality - the totality of features and characteristics of a product or service that bear on its ability
to meet the stated or implied needs and expectations of the user.
quality assurance (QA) - an integrated system of management activities involving planning,
implementation, documentation, assessment, reporting, and quality improvement to ensure that a
process, item, or service is of the type and quality needed and expected by the client.
quality assurance manager - the individual designated as the principal manager within the
organization having management oversight and responsibilities for planning, documenting,
coordinating, and assessing the effectiveness of the quality system for the organization.
quality assurance project plan - a document describing in comprehensive detail the necessary
QA, QC, and other technical activities that must be implemented to ensure that the results of the
work performed will satisfy the stated performance criteria.
quality control (QC) - the overall system of technical activities that measures the attributes and
performance of a process, item, or service against defined standards to verify that they meet the
stated requirements established by the customer; operational techniques and activities that are
used to fulfill requirements for quality.
quality management - that aspect of the overall management system of the organization that
determines and implements the quality policy. Quality management includes strategic planning,
allocation of resources, and other systematic activities (e.g., planning, implementation,
documentation, and assessment) pertaining to the quality system.
quality management plan - a document that describes a quality system in terms of the
organizational structure, policy and procedures, f inetional responsibilities of management and
Final
EPA QAJR-5 B-3 March 2001
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
staff, lines of authority, and required interfaces for those planning, implementing, documenting,
and assessing all activities conducted,
quality system - a structured and documented management system describing the policies,
objectives, principles, organizational authority, responsibilities, accountability, and implementation
plan of an organization for ensuring quality in its work processes, products (items), and services.
The quality system provides the framework for planning, implementing, documenting, and
assessing work performed by the organization and for carrying out required QA and QC activities.
readiness review - a systematic, documented review of the readiness for the start-up or continued
use of a facility, process, or activity. Readiness reviews are typically conducted before proceeding
beyond project milestones and prior to initiation of a major phase of work.
record - a completed document that provides objective evidence of an item or process. Records
may include photographs, drawings, magnetic tape, and other data recording media.
specification - a document stating requirements and which refers to or includes drawings or other
relevant documents. Specifications should indicate the means and the criteria for determining
conformance.
supplier - any individual or organization furnishing items or services or performing work
according to a procurement document or financial assistance agreement. This is an all-inclusive
term used in place of any of the following: vendor, seller, contractor, subcontractor, fabricator, or
consultant.
surveillance (quality) - continual or frequent monitoring and verification of the status of an
entity and the analysis of records to ensure that specified requirements are being fulfilled.
technical systems audit (TSA) - a thorough, systematic, on -site, qualitative audit of facilities,
equipment, personnel, training, procedures, record keeping, data validation, data management,
and reporting aspects of a system.
validation - confirmation by examination and provision of objective evidence that the particular
requirements for a specific intended use are fulfilled. In design and development, validation
concerns the process of examining a product or result to determine conformance to user needs.
verification - confirmation by examination and provision of objective evidence that specified
requirements have been fulfilled. In design and development, verification concerns the process of
examining a result of a given activity to determine conformance to the stated requirements for that
activity.
Final
EPA QA/R.-5 B-4 March 2001
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Exhibit A-3
QUARTER
FY-2014 SECTION 105 CONTRACT QUARTERLY REPORT
Check List for Reimbursement Request Approval
DATES TO
Sections A - C are all part of this Checklist.
A. Administrative Regulations
A-1. Have you reviewed your procurement systems for compliance with 40 CFR 35 according to
the Procurement System Certification form (EPA form 5700-48) in your Financial Application
Package?
Yes. The certification was submitted on
No. This is not our year to do this.
A-2. Have you purchased any property items with a unit acquisition cost of $1,000 or more?
Yes. The request to purchase the property item(s) was approved by the TCEQ on
No. We have not made any such purchases.
A-3. Are you maintaining property records (performing physical inventory) as required?
Yes. They are available in our office.
No. Please explain.
A-4. Is the quarterly HUB Progress Assessment Reports attached to this Reimbursement
Request?
Yes.
No. Please explain.
A-5. What is the date of your most recent independent audit report (required by OMB A-133).
Was this report submitted to the TCEQ Project Representative?
Yes. Submitted on
No. Please explain.
Page 121 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
A-6. Have you provided written response to the FY-2013 End -of -Year Review questionnaire by
the deadline of September 30, 2013 or within 30 days after receipt of the questionnaire?
Yes, It was submitted on
No. Please explain.
NA. Due in the 1st quarter of the Contract only.
A-7. Within 30 days of receipt of your FY-2013 End -of -Year Review Assessment did you
provide information concerning actions to be taken to correct any deficiencies found during
the End -of -Year Review?
Yes.
No. Please explain.
N/A. We had no deficiencies.
N/A. Not due this quarter.
A-8, Have the deficiencies been corrected?
Yes.
No. We are still within the 90 day window.
No. There are deficiencies that cannot be corrected within the allotted time -frame.
An explanation is attached.
N/A.
A-9. Have you performed a physical inventory of total property purchased with funds provided
by contracts with TCEQ by the deadline of August 31, 2014?
Yes. The report is available in our office.
No. Please explain.
NA. Due in the 4th quarter of the Contract only.
A-10. Have you reported any unresolved shortages and unprogrammed losses exceeding $1,000 by
the deadline of August 31, 2014?
Yes. The report was made on
No. We have none to report.
NA. Due in the 4th quarter of the Contract only.
Page 122 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
A-11. Is the final Financial Status Report for this Contract, along with a list of property costing
$1,000 or more and purchased with contract funds, attached to this reimbursement request
and being submitted no later than the deadline of September 30, 2014?
Yes.
No. Please explain.
NA. Due in the 4th quarter of the Contract only.
A-12. You are required to provide matching funds of not less than thirty three percent (33%) for
the Section 105 Contract, part of which can be funds from the State Compliance Contract.
Funding allocated for Title V activities in the State Compliance Contract cannot be used as
match. You must demonstrate that funds provided to your program under the Section 105
Contract do not cause failure of the match requirements under the State Compliance
Contract, which requires that no more than sixty seven percent (67%) of total funding for
this program comes from State and Federal sources. Please list the breakdown for your FY-
2014 air program:
State Compliance Contract $ %
Section 105 Contract $ %
Other 105 Funds* $ %
City/County Funds $ %
Total $ 100%
* In order to accurately calculate your match under the terms of the State Compliance
Contract and the Section 105 Contract, you must include any additional 105 funding you
have received directly from the EPA that is not processed through the TCEQ.
Page 123 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
B. Ouality Assurance Planning
B-1. Have you submitted a revised/updated Quality Management Plan or certification of no
changes by the deadline of November 15, 2013?
Yes. The report was submitted on
No. Please explain.
NA. Not due this quarter,
B-2. Have you submitted the Quality Assurance Project Plan or certification of no changes by the
deadline of March 15, 2014?
Yes, It was submitted on
No. Please explain.
NA. Not due this quarter.
C. Monitoring Operations Program
C-1, Have there been any changes to your Scope of Work as outlined in Attachment A
(Statement of Services to be performed)?
Yes.
No.
C-2. Did your monitoring staff participate in any applicable training activities during this
reporting period?
Yes. Please list.
No.
C-3, Have you performed accuracy audits on at least twenty five percent (25%) of the
SLAMS/PAMS designated monitors during this reporting period?
_ Yes. The report for this will be submitted within forty five (45) days of the end of the
quarter.
No.
C-4.
Have you collected air quality data during this quarter which you will submit to TCBQ in a
mutually agreed upon format?
Yes, The report will be submitted no later than
No.
C-S. Was precision and accuracy data collected to quality assure the air data?
Yes, The report will be submitted no later than
No.
Page 124 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
C-6. Have you experienced any significant equipment failure or instrument malfunction?
Yes. Please explain.
No.
C-7. Has 30 days written notice been given prior to the start of any special purpose monitoring?
_ Yes. Notice and a summary report submitted on
No.
N/A. We have no new SPMs.
C-8. Has reporting of Special Purpose Monitoring data been submitted in a mutually agreed upon
format with quarterly data?
Yes.
No. Please explain.
N/A.
C-9. Has a summary report of Special Purpose Monitoring results been submitted in a mutually
agreed upon format upon completion of monitoring?
Yes. Report was submitted on
No. Please explain
N/A.
C-10. Have you submitted a review and evaluation document, including recommendations for
network changes, for the SLAMS Network Review by the deadline of May 1?
Yes. Submitted on
No.
for quarter.
C-11, Have you submitted the required Quarterly Status Report for evaluating adequacy of the
existing network to meet State and Federal standards?
Yes,
No. Please explain.
NA
C-12. If any changes were made to your local monitoring network during a quarter, have you
determined whether the nearest practicable estimate of your actual cost (including your
required match of thirty three percent (33%)) for the Monitoring Program activities is less
than or equal to the cumulative fixed monthly fee?
Yes.
No,
Page 125 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Sections A - C are all part of this Checklist.
Authorized Signatory of Performing Party Date
Printed Name of Signatory
Page 126 of 141
TCEQ
Texas Commission on Environmental Quality
Federal Funding Transparency Act Reporting Form
(See attached instructions and return completed form with signed copies of contract)
1) Name
2) DBA Name
3) DUNS Number
5) Address
City
County
6) Parent DUNS Number
7) Primary site where the
work will be performed
City
County
City of Fort Worth
Transportation & Public Works Department, Environmental Services Division
107-3170458
1000 Throckmorton Street
Fort Worth
'Tarrant
1000 Throckmorton Street
'Fort Worth
'Tarrant
4) DUNS Number + 4
Print Form I
State 'Texas I Zip Code 176102
State 'Texas I Zip Code' 76102
8) a) In your business or organization's previous fiscal year, did your business or organization (including parent
organization, all branches, and all affiliates world wide) receive 80 percent or more in annual gross revenues from
U.S. federal contracts, subcontracts, loans, grants, subgrants, and/or cooperative agreements?
If No, then go to Question No. 9 and complete remaining questions.
b) In your business or organization's previous fiscal year, did your business or organization (including parent
organization, all branches, and all affiliates world wide) receive $25,000,000 or more in annual gross revenues
from U.S. federal contracts, subcontracts, loans, grants, subgrants, and/or cooperative agreements?
If No, then go to Question No. 9 and complete remaining questions.
c) If Yes, complete link to SEC: http://www.sec.gov/
Otherwise, provide names below:
d) Provide below names and compensation of top 5 highly compensated officers:
Name
Name
Name
Name
Name
Amount
Amount
Amount
Amount
Amount
❑ Yes
❑X No
❑ Yes
❑ No
TCEQ-20589 Page 1 of 4
p 1 Texas Commission on Environmental Quality
Federal Funding Transparency Act Reporting Form (Continued)
(See attached instructions and return completed form with signed copies of contract)
TCEQ
9) Project Description
Operation and Maintenance of the PM 10 sampling net work
10) Contract Number 1582-14-40060
11) Form Preparer's Name 1Samella Wilson
13) Preparer's Phone Number 1817-392-2335
TCEQ's USE ONLY
15) Date Contract Signed
17) CFDA Program Number
19) Federal Agency Name
20) TCEQ Contract Number
22) USAS Grant Number
! 12) Preparer's Title !Accounting Services Supervisor !
14) Date Form Completed 109/11/2013
16) Amount of Contract
18) CFDA Program Title
21) TCEQ Umbrella Contract Number &
Work Order Number (if applicable)
TCEQ-20589 Page 2 of 4
Texas Commission on Environmental Quality
Federal Funding Transparency Act Reporting Form Instructions
TCEQ
1) The name of the contractor organization that corresponds with the contractor's Data Universal Numbering System (DUNS) which
appears in the Central Contractor Registration (CCR) profile.
2) The "doing -business -as" name of the contractor's organization which corresponds with the contractor's DUNS which appears in
the Central Contractor Registration (CCR) profile.
3) The contractor's organization's 9-digit DUNS number.
4) The +4 extension to the DUNS number created by registrants in CCR when there is a need for more than one bank / Electronic
Funds Transfer (EFT) account for a location.
5) Address where the contractor's organization is located which corresponds with a CCR profile.
6) The contractor's parent organization's 9-digit DUNS number which corresponds with the parent CCR profile.
7) Primary site where the work will be performed.
8) a) In your business or organization's previous fiscal year, did your business or organization (including parent organization, all
branches, and all affiliates world wide) receive 80 percent or more in annual gross revenues from U.S. federal contracts,
subcontracts, loans, grants, subgrants, and/or cooperative agreements? Check Yes or No. If NO, then go to question #9 and
complete remaining questions.
b) In your business or organization's previous fiscal year, did your business or organization (including parent organization, all
branches, and all affiliates world wide) receive $25,000,000 or more in annual gross revenues from U.S. federal contracts,
subcontracts, loans, grants, subgrants, and/or cooperative agreements? Check Yes or No. If NO, then go to question #9 and
complete remaining questions.
c) If YES to both (a) and (b) above, then does the public have access to the information about the compensation of the senior
executives in your business or organization (including parent organization, all branches, and all affiliates worldwide) through
periodic reports filed under section (13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 780(d) or section
6104 of the Internal Revenue Code of 1986? Complete the link to Securities and Exchange Commission (SEC):
http://www.sec.gov/
d) If not, then provide the following: Names and compensation of top 5 highly compensated officers; if applicable (This will be the
same compensation information which appears in contractor's CCR profile.)
9) Project Description (The description should capture the overall purpose of the contract and / or, if there is an umbrella contract
then describe the work order project in the umbrella contract.)
10) Identifying contract number assigned by the contractor for tracking.
11) Identify the form preparer's name.
12) Identify the form preparer's title.
13) Identify the form preparer's phone number.
14) Date form is completed.
TCEQ-20589 Page 3 of 4
_� Texas Commission on Environmental Quality
5 = Federal Funding Transparency Act Reporting Form Instructions
(Continued)
TCEQ
TCEQ's USE ONLY
15) Date the contract agreement was signed.
16) The net dollar amount of federal funds awarded to the contractor.
17) The program number associated with the published description of federal assistance program in the Catalog of Federal Domestic
Assistance (CFDA).
18) The program title associated with the published description of federal assistance program in the Catalog of Federal Domestic
Assistance (CFDA).
19) The name of the federal awarding agency.
20) Identify TCEQ's contract number.
21) Identify TCEQ's Umbrella Contract Number and Work Order Number (if applicable).
22) Identify TCEQ's Uniform Statewide Accounting System (USAS) Grant Number.
TCEQ-20589 Page 4 of 4
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Texas Commission on Environmental Quality
Historically Underutilized Business (HUB)
Instructions for prime contractors on how to fill out the Progress Assessment Report (PAR) form. Refer to attached
PAR form in Excel,
(a)
Contract/Requisition Number: enter your contract number, for example: 582-12-
HUB Subcontracting Plan (HSP) Attachment B••1
Prime Contractor Progress Assessment Report
ContractiRequisition Number: (a)
Contracting AgencylUniversity Name: (d1)
(d21
Contractor (Company) Name: (e)
Point of Contact: {g)
Date of Award: (b)
(mm/ddlyyyy)
State of Texas VID #: (f)
Phone #: (h)
Reporting (Month) Period: (I) Total Amount Paid this Reporting Period to (j)
Object Code: c
(Agony Use 0ntr)
Report HUB and Non -HUB subcontractor information
Subcontractor's Name Subcontractor's VID or 'Texas Total Contract $ Total $ Amount Paid Total Contract $
HUB Certificate Number Certified Amount from HSP This Reporting Period Amount Paid to
HUB? with Subcontractor to Subcontractor Date to
(Yes or Subcontractor
Nnl
(k1) (k2) (I) (m) (n) (o)
TOTALS:
Signature: Title: Date:
*Note: HUB certification status can be verified on-line at: http:l/www2.cpa.state.tx.uslcmbl/hubonly.html
(b) Date of Award: enter award date of contract,
Page 131 of 141
Object Code
(Agency Use 004
Rev. 1O 7
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
(c) Leave this blank; agency to fill-in.
(d1) Contracting Agency/University Name: enter Texas Commission on Environmental Quality
(d2) Enter Work Order number (example 228-0123,) and Invoice Number
(e) Contractor (Company) Name: enter your company name as stated in the Contract
(f) State of Texas VID#: Prime contractor Vendor Identification Number
(g) Point of Contact: enter company's representative
(h) Phone#: enter point of contact phone number, start with area code (xxx-yyy-zzzz) or
your 1-800 number
(i) Reporting (month) period: enter invoice service period
(j) Total amount paid this reporting period to prime -contractor: Include Iump sum of all
totals paid to prime contractor and all sub -contracting for this invoice period. This
should equal in sum to the prime contractor invoice.
(k1) Subcontractor's name: list all your subcontractors. This will include all HUB and non -HUB Subcontractors
listed on the HUB Sub -contracting Plan, HSP.
(k2) Subcontractor's VID
(1) Texas Certified HUB? (Yes or No): enter YES if the subcontractor is an Active HUB
(m) Total Contract $ Amount from HSP with Subcontractor: enter the amount from HSP, by multiplying the
percentage goals with your Contract Amount. This amount will be the same throughout the life of the Contract,
unless an amendment has taken place.
(n) Total $ Amount Paid This Reporting Period to Subcontractor: enter the participation amount from
Subcontractor for this invoice only.
(o) Total Contract $ Amount Paid to Date to Subcontractor: enter the total amount for this subcontractor
invoicing from the initiation of this contract.
(p) Leave this blank; agency to fill-in.
If you have any questions please feel free to contact the TCEQ HUB office at 512/239-1273.
Page 132 of 141
Contract Name: Ambient Alr Monitoring - Pass-Thru Grant Contract Number: 582.14-40060
TCEQ PURCHASE VOUCHER Page of
Agency No. 582 Agency Narne Texas Commission on Environmental Quality
Current Document No.
Form B-2
1. Date TCEQ Received 2. Service Dates 3. Contract/Purchase 4. Requested Payment 5. Payment Due
Invoice Order Date Date Date
6. Payee Identification No,
7. Pay To (Payee Name /Address):
8. Voucher Prepared By Date:
9. ContractVoucherAuditor: Date:
10. FINAL BILLING YES NO (Please circle one)
DOGS REF DOC SEX TRANS INDEX MOD AY
FX CODE P
281
001
SEQ REQ NO COMP AGY OAT 12. AMOUNT RVS
NO. OBJ
18. INVOICE NUMBER DESCRIPTION 14. CONTRACT GRANT
NO. NO.
11. PCA PCC
RTI NUMBER
PROJECT NO.
DOCS REF DOC SIX TRANS INDEX MOD AY 11. PCA PCC
FX CODE P
281
001
SEQ REQ NO COMP AGY OBJ 12. AMOUNT RVS RTI NUMBER
NO. OAT
13. INVOICE NUMBER DESCRIPTION 14. GRANT NO. PROJECT NO.
CONTRACT
NO.
15. DESCRIPTION OF GOODS or SERVICES 16. QUANTITY
17. UNIT
PRICE
18. AMOUNT
LEGAL DL'SCRJVI'IVli TEXT:
I approve this voucher for payment. The above goods or services conespond in every particular with the contract under which they were purchased. The invoice for the goods or
services is correct. This payment complies with the General Appropriations Act.
19, DIVISION SICK 19. Phone (Area W. Date
APPROVAL HERE code and number)
BATCH NO - BATCH
TYPE
4
DATE
ENTERED
ENTERED BY
DATE RELEASED BY:
RELEASED
DATE MAILED OR WARRANT NUMBER DIRECT DEPOSIT TRANSMITTAL NUMBER
TRANSMITTED
Page 133 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant
TCEQ INVOICE
Agency No. Agency Name
582 Texas Commission on Environmental Quality
1. Payee Identification No. 2. Service Dates:
3. Pay To: (Payee Name /Address)
City of Fort Worth
Environmental Management
Division
1000 Throckmorton Street
Fort Worth, TX 76102-6311
Contract Number: 582-14-40060
Form B-3
TCEQ Contract No. 582-14-40060
Date
4. Prepared By:
5. FINAL BILLING: 6. This Invoice Amount: $
(Please circle one) YES NO
7. DELIVERABLES 8. QUANTITY 9. UNIT PRICE 10. AMOUNT 11. CUMULATIVE
QUANTITY
Total Amount of Services
Rendered
Less 33% Match
Total Reimbursement
Total
APPROVAL SIGNATURE REQUIRED FOR FINAL BILLING ONLY
I approve this release of the claims for payment of any funds due and payable by the TCEQ pursuant to the terms of the Contract in Attachment B, Article 2a., entitled AFinal Payment Request
13. PAYEE SIGN 14. Printed
APPROVAL HERE Name
BATCH
NOJTYPE
! 4
ISSUE
DATE/DATE
MAILED
DATE ENTERED
WARRANT NUMBER
ENTERED BY
RELEASED BY
DATE RELEASED INVOICE NUMBER
Page 134 of 141
TRANSMITTAL NUMBER
IRTt NUMBER
12.
CUMULATIVE
AMOUNT
15.
Date:
DO
c
NO.
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Financial Status Report
j, 'STATE AGENCY ORGANIZATION UNIT TO T
WHICH REPORT IS SUBMITTED:
2. GRANT/CONTRACT TITLE:
3. PAYEE IDENTIFICATION NUMBER: 4. RECIPIENT ORGANIZATION (NAME AND COMPLETE ADDRESS, INCLUDING
ZIP CODE) :
5. TCEQ CONTRACT NUMBER:
6. FINAL YES NO
REPORT:
7. ACCOUNTING CASH ACCRUAL
BASIS:
8. (TOTAL PROJECT/GRANT PERIOD: 9. PERIOD COVERED BY THIS REPORT:
10. BUDGET CATEGORIES: Approved Project Cost Cumulative Balance **
Budget This Report Project Cost
a.Personnel/Salary
b.Fringe Benefits
c.Travel
d.Supplies
e.Equipment
f.Contractual
g.Construction
h.Other
i.Total Direct Costs
(Sum a - h)
j.Indirect Costs
k.Total Costs (Sum of i
& j)
LRecipient Cost Share
(33%)
MTotal Reimbursable
Costs (k-1)
*List (Itemize) on the appropriate supplemental form all component expenses comprising the
total for each of these categories.
Please attach receipts, as required, in accordance with Attachment B of your contract.
**Negative balances in any of the budget categories should be explained in a brief accompanying
narrative.
11. CERTIFICATION I certify to the best of my knowledge and belief that this report is correct and
complete and that all Outlays and Unliquidated Obligations are for the purposes set forth in the
award document.
(Signature of Authorized Certifying
Official
Typed or Printed Name and
Title
Telephone (Area code, number and
ext.)
Page 135 of 141
Date Submitted
Form B-4
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
ITEMIZATION OF EQUIPMENT AND CONTRACTUAL COSTS
EQUIPMENT PURCHASES (during this report period)
NUMI3ER
PURCHASED
ITEM DESCRIPTION
(Should match description provided for
approval)
TOTAL EQUIPMENT EXPENDITURES (must agree with line 10e on Form 269a)
UNIT TOTAL
COST COST
CONTRACTUAL EXPENDITURES (during this report period)
SUBCONTRACTOR (NAME) FOR
TOTAL CONTRACTUAL EXPENDITURES (must agree with line 10f on Form 269a)
TASKS
COST (THIS PERIOD) II TASKS I
I
* LEGIBLE PURCHASE ORDER AND/OR INVOICES MUST BE ATTACHED TO THIS FORM FOR EACH LISTED ITEM OR
EXPENDITURE.
Page 136 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
ITEMIZATION OF CONSTRUCTION COSTS
CONSTRUCTION COSTS (during this report period)
DESCRIPTION
1
PURPOSE
1OTAL eOReT'1iUti'It51J EXPENDITURES (must agree with line 10g on Form 269a)
*LEGIBLE DOCUMENTATION MUST BE ATTACHED FOR ALL LISTED EXPENDITURES,
Page 137 of 141
COST (THIS PERIOD)
11
u
TASKS
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
ITEMIZATION OF SUPPLY AND OTHER COSTS
SUPPLIES PURCHASED (during this report period)
NUMBER ITEM DESCRIPTION UNIT TOTAL TASKS
PURCHASED (Should match description provided for approval) COST COST
TOTAL SUPPLY EXPENDITURES (must agree with line 10d on Form 269a) $
OTHER EXPENDITURES (during this report period)
NUMBER DESCRIPTION
PURCHASED
UNIT TOTAL TASKS
COST COST
TOTAL OTHER EXPENDITURES (must agree with line 10h on Form 269a) $
*LEGIBLE RECEIPTS OR OTHER SUBSTANTIATING DOCUMENTATION MAY BE ATTACHED FOR EXPEI DITURES THAT
EQUAL OR EXCEED $500,
.
ITEMIZATION OF PERSONNEL/SALARY AND TRAVEL COSTS
Page 138 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
PERSONNEL/SALARY EXPENDITURES (during this report period)
EMPLOYEE NAME TITLE/POSITION SALARY{T11(
PERIOD
TASKS
TOTAL PERSONNEL/SALARY EXPENDITURES (must agree with line 10a on Form 269a)
TRAVEL EXPENDITURES (during this report period)
DESCRIPTION REASON
COST ('THIS PERIOD
TASKS
TOTAL -TRAVEL EXPENDITURES (must agree with line.10c on $
,Form 269a)
* SUBSTANTIATING DOCUMENTATION (time sheets, travel receipts, etc.) MAY BE REQUIRED TO BE ATTACHED TO THIS FORM
Page 139 of 141
Contract Name. Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
Financial Status Report Preparation Instructions
1. The PERFORMING PARTY, in order to obtain reimbursement for those expenditures
authorized under this Contract, shall submit a completed, legible TCEQ Financial Status
Report (TCEQ Form 269a) and any required TCEQ Supplemental 269a forms. Unless directed
otherwise in the Contract, the PERFORMING PARTY shall submit such payment request
documents by not later than twenty-one (21) days after the close of each State fiscal year
quarter. The reporting periods shall also correspond to the State of Texas fiscal year quarters
(September -November; December -February, March -May; June -August), Each Financial
Status Report shall indicate, for each budget sub -category the PERFORMING PARTY'S Project
expenditures for the period in question, the cumulative expenditures with respect to each
budget sub -category, and the balance remaining in each budget sub -category following
reimbursement of the amount being requested. A quarterly Financial Status Report is required
even if no expenses were incurred during the report period.
2. All requests for reimbursement of expenditures that fall within either the "Equipment" or
"Contractual" categories of the Contracts Cost Budget shall be itemized by the PERFORMING
PARTY on Supplemental Form 269a-1 and identified with respect to the major tasks or
objectives, set forth in the Scope of Work, that such expenditures support or satisfy. In
addition, the PERFORMING PARTY shall attach, for each reimbursable cost listed on
Supplemental Form 269a-1, legible documentation that (1) serves to further identify the
specific piece of equipment received 'or the services provided, (2) clearly identifies the vendor
or Subcontractor who provided the equipment or services, and (3) that confirms the
reimbursable amount listed on the form. In the case of equipment purchases, the attached
documentation shall be either a purchase order marked "received/paid" or a vendor -submitted
invoice similarly marked. In the case of Subcontractor provided services, the documentation
shall consist of a dated invoice that shows the amount billed to the PERFORMING PARTY and
any "past due" amount from previous invoices.
3. All requests under this Contract for the reimbursement of expenditures that fall within the
"Construction" category of the Contracts Cost Budget shall be itemized by the PERFORMING
PARTY on Supplemental Form 269a-2 and identified with respect to the major tasks or
objectives, set forth in the Scope of Work that such expenditures support or satisfy. In
addition, the PERFORMING PARTY shall attach, for each reimbursable cost listed on
Supplemental Form 269a-2, legible documentation that (1) serves to further identify the
specific cost, (2) clearly identifies the vendor or Subcontractor who provided the construction
related materials or services, and (3) that confirms the reimbursable amount listed on the
form. The attached documentation shall be either a purchase order marked "received/paid" or
an invoice similarly marked. In the case of Subcontractor provided construction services, the
documentation shall consist of a dated invoice that shows the amount billed to the
PERFORMING PARTY and any "past due" amount from previous invoices.
4. All requests for the reimbursement of expenditures that fall within either the "Supply" or
"Other" categories of the Contracts Cost Budget shall be itemized by the PERFORMING
PARTY on Supplemental Form 269a-3 and identified with respect to the major tasks or
objectives, set forth in the Scope of Work, that such expenditures support or satisfy. In
addition, for any single -listed item or service costing more than $500, the PERFORMING
PARTY shall attach, for each reimbursable cost listed on Supplemental Form 269a-3, legible
Page 140 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant Contract Number: 582-14-40060
documentation that (1) serves to further identify the specific items or services, (2) clearly
identifies the vendor or Subcontractor who provided the items or services, and (3) that
confirms the reimbursable amount listed on the form. Although issued purchase orders and/or
invoices marked "received/paid" represent the preferred types of documentation for purposes
of this section, the PERFORMING PARTY may substitute/attach other records or documents
that provide the same type of information. The PERFORMING PARTY shall not intentionally
break up single orders of identical or similar items, materials or Supplies simply for the
purpose of avoiding the above requirement to provide confirming documentation when
submitting reimbursement requests to the TCEQ.
5. All requests for reimbursement of expenditures that fall within either the "Personnel/Salary"
or "Travel" categories of the Contracts Cost Budget shall be itemized by the PERFORMING
PARTY on Supplemental Form 269a-4 and identified with respect to the major tasks or
objectives, set forth in the Scope of Work, that such expenditures support or satisfy. Although
no supporting documentation is required to be attached to Supplemental Form 269a-4 with
respect to reported "Personnel/Salary" expenditures in order to receive reimbursement, the
PERFORMING PARTY is expected to maintain signed time sheets that can serve to verify the
total, overall hours of staff time being directly billed to this Contract. With respect to employee
travel, all costs listed on Form 269a-4 must be supported by attached documentation that
identifies the name of the traveler's, and that substantiates the reported reimbursable costs.
Documentation, for the purpose of substantiating travel -related costs, includes the following:
(1) legible copies of the PERFORMING PARTY -approved travel vouchers, signed by the
employees who traveled, and (2) for any travel -related expenses under this contract borne
directly by the PERFORMING PARTY (and thus for which reimbursement by the
PERFORMING PARTY to the traveler was not required) separate receipts showing, at a
minimum, the traveler's name, the travel location, and the travel date(s).
6. When a single expenditure supports or satisfies more than one task or objective, the
PERFORMING PARTY need not breakdown that particular expenditure by specific contract
task or objective but may simply identify, in relative cost order, the various tasks or objectives
supported.
Page 141 of 141