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Review Page I of 2
Official site of the City of rt Woth,Texas
FOR*"Wo RT I I
Ci IT NCI L AGEENUm"l-A
COUNCIL ACTION,: Approved on 9/10/20,13 -Ordinance No. 20894-09-2013
REFERENCE 20STATE GRANT
DATE,,- 9/10/12013 NO.: **C-26423 LOG NAME.* AGREEMENT FOR PM10
OPERATION 2013 TO 2015,
CODE: C TYPE: CONSENT PUBLIC NO
HEARING:
SUBJECT,,,, Authorize Execution of aTexas 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)
100=294=40"00
RECOMMENDATION,
It i I s 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$308,1856.00 for a,two-
year term starting September 1, 2013,, through August 31, 20151
2. Authorize the use of existing, pe�rsonnel services for the City's in-kind match with an anticipated
value f'$101,022.00 for the two-year term of September 1, 2013, through August 31, 20151
3. Adopt appropriation ordinance increasing estimated receipts and appropriations in the Grants
Fund in the amount of$206,934.00 for grant years 2013-201 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
Publ,ic Works Department.
DISCUSSION,.,
The Texas,Commission on Environmental Quality ( is the pass-through agency for ail
Environmental Protection Agency (EPA) Section 105 Grant Funds. EPA Section 1 5 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(PIVI), 10, Luis,a VOC
Canister, and Ozone monitoring networks for the TCEQ and requires a local in-bind match of
$50,961.100 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 P u,blic Works Department's proposed, Fiscal Year 2014 General Fund budget
inc,ludes,funds required for the in,-kind match.
No City funds will be expended before the contract is approved U,pon approval and acceptance of
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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.
httpl://apps.cfwnet.oirg/counc'i',I_packet/mc review.asp?'ID=18 770&cotinci1date=9/10/2013 9/12/2013
�uOC Review Page 2 of 2.
I S'CAL INFO T 1 NX ERT IC :T O'N
The Financial Management Services Director certifies that upon approval of the above
recommendations, and adoption of the attached appropriation ordinance„ funds will he available, in
the current operating budget, as appropriated,, of the Greats Fund.
TO Fund/AccounVCe rs FROM Fund/Account/Centers
X76 5 $�2 34,00
CARIOUS 020412669010
Q $101 L.922.00
GR 6 517040 020412669020
21 $1,0,11
GR76 488279 020412669000
92.00
1 $206.4-934.00
GR70 451 543 020412060000
Subimifted fir gf Cana pr's Office Fernando Costa 6122
Ors na "n Df @r men Head g,las W. Wiersig (7801)
Add" for al Information Contact: Michael Gan a (6569)
ATTACHMENTS
20STATEPM 1 Oupdate.pd,f
2 TCEQ COMP lA lCE RA ' FY14 A01 3 revised 9 4- 3crr2.d c
ht ; a s.cfwne .or count* ��� � n�� r�� ��.;�� " DI t 8770&counc da e 9 0/20 3 9/12/2013
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rexas Commission, on Environmental QuaHty
Co pe a,dve Reimbursement Contact
for State Agencies =c I i Local Governments
CON"rRACT SIGNATURE PAGE
Contract N Ambient Air 1' on tut tag- Grant
Contract Number: 582-14-40060
FIR
Performing "arty: City u " ort Worth
Performing Party.Identification Number: 1 7560005286
Maxlmum Authorized Reimbttrsement. S-2061934.00
Effective Date. 9/l/131 Date of last signature
Expiration Date: 8/31/15 E] Last day of Fiscal Year in which the Contract was signed
Lf ies atchir a s �°c e , s onracrequ �
If checked,this Contract is funded with federal funds.
CFDA Number: 66.605
Federal Grant Number
h is Contract'is entered der: n!Govt Cede ch..7 i Gov't Code ch.7'� 1 Water Code§,x.124
IN Tex."mater Code § 5.2291 and 7.351-7.358 and'Safety Cade§,§382.033 382.111
382.11
The Texas Commission on E,nvlirol=ontal Quality TC ,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 goverrmental ffinctions and activities under
the laws of the State of Texas,-
The Panties agree as follows: a to be efflectiiwe;,the Contract must he signed her an authorized official of the TCEQ and the Performing P h this
Contract consists,of all documents specified in the list oContract Documents following this gee and c'as authorized by T° Q,Perfonning Party
IMF will conduct Contmict Activities as part of its own authorUcd governmental functions and TCBQ will reins curse Allowable Costs subject to the Texas
Uniform Grant Management Stand LJ MS and this Contract.
Notwithstanding the requirement fbr both parties to sign this contraot,Performing Party is authorized to begin work Linder this agreement on the
Effective Date stated ire 'in order to maintain continuous monitoring under to EPA Section 105 pas-diru granL
Texas Commission on City of Fort Worth
Envi rmimental Quality i CFQ (Performing Pa t )
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Autheri7xd Signature Authorized Signature
Printed Name Printed Name
Deputy Director, Assistant. City Manager
Ofn"-Qf Como l"
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,., Coiitract Name:Am,blent Air Monitoring_Pass-Thru Grant Contract Number:582-14-40060
rr CONTRACT DOCUMENTS LIST
Cooperative Reimbursement Contract
for State Agencies and Local Governments
This Contrac.,t between T:CEQ an Perform.rrg Party consists of the Contract Documents listed on this
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age and marked by an"X," cements on this list include all amendments. I.the event of a conflict
of terms, the Contract Documents as,amended control 1n.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 mad by the applicable estate and federal
laws, rules grid regulations.
[Z Contract Signature Page
Contract l o errs ents List(this page)
Special Terms and Conditions
Federal Section(Including Federal Con itlovis and Completed Forms)
Scope o f`"Work.
General" A rr as and Conditions
Cost Btidget
Notices,Project Representatives and Records Locations
TCE - roved Contract Work Plan
TCE —Approved Performing Party l ro osal
1 xhibi -1.- U.S. Environmental Protection Agency EPA)Requirements,Jb
Management Plans(QA/R-2)(March 2001.)
Exhibit A-2: EPA e irenzentfor Quality Assurance Project Plans QA/R-5)(March
IF
2001)
Exhibit A-3:1 Qucarterly.Report Checklist
hit it 4 Federal Funding Tr p a,rency Act Reporting font
Form B .1: grime Contractor Progress Assessment Report
;y l r rr -2 TCEQ State Purchase Voucher
Forte B-31 TCEQ Invoice
Form BI-4 Financial Status Report
Page 2 of 141
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o Contract Marne:Ambient Air oinitcring-Puss-Thru Grant Contract Number:582-14--40 D60
SPECIAL TERMS,AND CONDITIONS
ARTICLE 1, DEFINITIONS
The following terns are defined as follows:
1.1. Acquisition Cost .... (of are item of purchased Equipment) The net invoke unit, pfice of the
property includin the cost of modifications, attachments, accessories, or auxiliary apparatus necessarly
to inake that property usable for the purpose for which it was acquired. Other charges such as the Est of
installation, transportation., t axes, duty or protective in.-transit imuran.ce, shall be included or {excluded
from the unit Acquisition Cost in accordance with the PER-FORMING PARTY's regular accounting
}
practices.
1.2. Cost Sharing or Marc - The value of the third party in--bind contributions and the portion of the
costs of a State assisted prof ect or program not borne by the State,
1.3. Equipment - Tangible, nonexpendable, personal property laving a useful life of more than on
year and an Acquisition Cost of$1,000 or more per tit. A PERFORMING PARTY may use its own.
n definition of equipment provided that such definition would at least include all equipment defined
above.
IMP 1.4. Major Change, -- A change in the Work that meets the requirements of Article 4 of the 4, the
Special Terns and Conditions of this Agreement.
1.5. Minor Change - A written document which provides for minor changes in. the Work in
accordance with these -Special Conditions, but which doles not involve a change in the Contract Price,
contract duration, or any contract deadline,
1.6 No conform ,c - A deficiency in characteristic, documentation, or procedure that renders the
quality or an itern or activit Lmacceptable or determinate; non fulfillment of a,specified requirement.
1.7. Quality Assurance Q' ) — An integrated system of management activities involving planning,
miplementing, assessment, .repoiling, and quality improvernent to ens�ure that a process, item,, or service
is of tfic type and quality needed and expected by the customer.
. . ± '� Con a► The overall system of technical activities that measur es the attributes and
performance of a process, item, or service a, ainst defined standards to verify that they meet the stated
.requirements es abhs hed by the customer; operational techniques and activities that are used to fulfill
require�c.ents far quality.
.1.91, Quality Management Plan A document that describes ,the quality system In terl of'
organizational st�:ructure, functional responsibilities of �nana e ent and staff, lines of autho-it r, d
required interfaces for those planning,implementing, and a.,ssessin.g all activities conducted.
1,10 S�cpplies �-Tan; ible,personal pLroplerty other than Equ' gent.
Page 3 of 141
Contract Dame:Ambient Air Monitoring 'ass-ThrL,Grant Contract Number:582-14 006101
1.IT Surveillance- Continual or frequent monitoring nd verification of the status of an entity d the
analysis of regards to ensure that,specific reqWrennents are being fulfilled.
1.12. Suspension temporary withdrawal of aut. orlty to obligate Grant funds pending corrective
act"on b the PEA�� IN "ARTY car a decision to ter in to the Great, 2 action by CE
official to exclude a person from participating in G r ant transactions for a period of ti Me.
", Pen—nary ent withdrawal f"the autho 4y t b�l ga.t �prey ously awafded Grant funds
before that authority would otherwise expire, or voluntary relinquishment of that authority b y the
PER 14 ORM fNG PARTY or Subgrantee,
1.114. Third party in--kind contributions _.. Property or services which benefit a State assisted project or
pr grarn and which are contributed by third parties without charge to the PERFORMING PARTY, or a
Cost-type PERFORMING PARTY under the Grant Agreement.
L15, Uniform Grant Management Standards r S - mewis the Uniform Grant Management
Standards romu.l ate d by the Texas Comptroller pursuant to the Uniform, Grant Conditions d
Manage ent pct,Tex Govt. Cods Chapter 783.
. Work- -the crtlrc cotriplcted services or the various separately identifiable parts thereof required
to be fullu'shcd under the Contract. Work includes and 's the result of perfor n or furnishing labor,
sciTiccs, materials or equipment as required by the Contract Documents,
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AR:FICLE 2. CON CT D C MENTS Ili. E "I"
2.1. The Contract Documents its c mprise [he euti're Contract between CEQ and PERFORMING
'ARTY concerning the Work. T'lie Contract Documents are complementary; what is called for by'one IS
as binding as if called for by ill..
2.2. It is the intent of the Contract Documents to descHbe a functionally complete project r part
thereof to bo constructed % . aec rd `ce � tb the total Contract. Any Wor1c, materials or equipment that
may reasonably be inferred from the Contract Documents or from prevailing custom. or tradeusage as
a being required to produce the intended result will be f `shed and performed whether or not
e : �� ��.a.led f" r. h el have a yell 10iow .tec "c;�l or p ll�uti a cleanup
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ndustry or trade meaning are used to describe Work, materials or equipment, such words or pbrases
shall be inte rpreted in accordance with that me .n .
ARTICLE 3. PERFORMING PARTY'S RE SPONSIBILI IES
11. The PERFORMING ARTY shall be responsible fo�w
the p�~ fc��i+��a�I ����alfty, tec�'���� c ���1
accuracy, timely completion and the coordination f all services and other Work furnished by the
F" 'PER_F0 M)NG.P-ART"_u .d6r tb is� ).gf6effient.
Page 4 at 141
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Contract Name:Ambient fir Monitoring-Pa r>-Th:r Great Contrael Number:582-14-40060
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Pemonne
3.2. PERFORMING PAR:rY shall provide cor etent, suitably . fed personnel to perforin to
Work as required by Uie Contract Documents PERFORMING PARTY shall at all times Malntaln good
discipline and order on the 'ro�cct.
Materials Equipment
3.3. Unless otheivise specified ]in the Contract Documents,,, PERFORMING PARTY shall -ftirnish
and assume dill responsibility for all materials, equipment, labor, transportation, tools, appliances, luel,
power, light', heat, telephone,, water, swu*tary facilities, temporary f cllltlos and all other facilltics and
incidentals necessary for���furnishing,performance,,testing', start-up and.completion of the Work.
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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 provi ,
'ded in the Contract ocu-nc t .
Title to,and Management of F-,qu'men.t
Subject to the obliga.tl ns and conditions sot forth in "s Contract;, tithe to all equipment acquired with
� t with the PERFORMING �RTY.n under th Contract shall vest, upon act h�lir r
3.5. The PERFORMING PARTY will conduct physical property inventories, maintain property
records and necessary control procedures, and provide ad-equate maintenance with respect to all
equipment acquired w der this,Contract,..
3.6 The PERFORMING PARTY may develop and use its own property mma eme t system which
must conform to all applicable State and local .Laws,, rules a nd regulations. If an adequate system for
accounting for personal prolperty owned by the PER,iORM NG PARTY or its subcontractor is not in
ta�oo or, currently In use, the Property Accounting System. Manual issued by the Texas Comptroller of
Public Accounts shall he used as a guide for csta ll l-ng such a system.
3.7. Property records must be mai taln..c l 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 cast of the property, the location,use
and condition of the property,, anal any ultimate disposition data including the date of disposal and sale
Pro 0
price of the property.
3.8. A physical inventory of all equipment, acquired or,rcplaoc l under this Contract having an initial
u cha�c price one Thousand Dollars more ,shall loo conducte no l- s requ ntly n.+
once every 2 years and the results of such inventories reconciled with the appropriate property"
records-..... Pro ert wntrol p ocedur S�'tillze .: -y:_the,..P-. " .� P mil:Y shall_-in lade a:d c :�tQ....,._ ..
safeguards to prevent loss, damage, or theft of the acquired property. y loss, damage or theft shall he
investigated The PERFORMING PARTY agrees to develop and carry out a progra.n of property
maintenance asuecessary to beep both:originally acquired and any replaced property In good condition,
and to utilize proper sales procedures to ensure the highest possibile return, in the event such equipment
is sold.
Page 5 of 141
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Contract Name:Ambient Air i' ors toting-mass-Thru Great Contract Number:582-14-40060
3 . All equipment acquired or replaced -Linder this Contract shall be used for the duration of its
normally expected useful lifo to support the purposes of this Contract whether or riot the original
Projects or Programs continue to be supported by Federal or State rinds.
Subject provisions�n f-this Article, ff n longer needed for �he support of the authorized
zed
Projects r : rograrn , referred to in this Contract, equipment acquired under th s Contract, whether
i� original or replacement, may be used in support of other activities currently or previously supported by
TCEQ or the Federal Government, or alternatively,ly 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 equi IP ment or property being replaced and use the proceeds of
such trade-in or sale to offset the cost of acquiring needed re laceinent property, Items of c ui -rip nt
whin a current per-unit fair market value of less than.$/,000 may be retained, sold or otherwise disposed
of with no further obligation to TCEQ. Items of equipment with a current per-unit marrlcet value of
l �00 or more may be retained or sold and TCEQ shall have a right to an amount calculated by
ra-Ldtiplying the current market value or proceeds from sale by TCEQ's share of'the equi 1P ment. TCEQ's
share pis the portion of the total costs charged to the grant. Methods used to determine ine peg,- lit T"ai
market value must he documented, kept on:bile and made available to TCEQ upon request.
3.12, If prior to the termination date of this Contract, the PERF40RNIING PARTY or its
1,5
Subcontractors or Subgra:nt es determine that any equ.�ment acquired with;dins provided as a.result of
this Contract is no longer n for support of the Pregirams er: r c ct referred try In t.:is Contract
:tract, the
TCEQ may require the PERFORMING 'PARTY' to tTansfer title and possession to such equipment to
/ TCEQ or a third party named by TCEQ.
3.13, The PERFORMING PARTY agrees that if ai determination is made within six (6) yeas of the
IFF Initiation date of' thiis Contract that any c ulpme t acquired with fads provided as a result of this
Contract is no longer needed for support of the Programs or Projects rcfcrred to in this Contract, TCEQ
has a ri t t require trans r `a� c�lu went having a fair i .arket per unit aye ;f more than
1,o t `CEQ or a third. ai-ty named by TCEQ
3.14. The PERFORMING PARTY shall not grant or allow to third party a security interest In any
original or replacement equipment purchased or constructed with funds made available to
ERIO RMING PARTY under Ills Contract,
3 15. Tl e `ERFORMING PA.RTY agrees that, in the event any,funds provided under this Contract are
in tern awarded to any Subco tTactcr for the purchase or acquisition of any equipment by such other
party, the PERFORMING PARTY's contract with that Subcontractor shall include the requireinents of
this Contract.
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Page 6 of 141
PIMP
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Contract Fume',Ambient Air Monitoring_Pass-Thru Grant Contract Number:582-14-40060
,, Substitutes and"or Equa lame.
3,1 6. Whenever an ite n of material or equip errt i spec' red or described in the Conti-act Doeu rre ts
I by us.n the name of a proprietary item or the name of a particular Supplier, the specification or
� rrpt.r4 r� I� .rrt�-tided to establish the hype, unction and quality required. Unless e s�ecr�rcatrn�rr r
description contains or is followed by words reading that no, like, equivalent or "or-equal" item or no,
subs tution is pe *tied, other items of material or equipment of other Suppliers may be accepted by
CEQ"
3..17'" a.spec11e meant method,technique, � or procedure
"
Procedures:� ���Methods � a sequence..
is shown or � 1 e� rr ss r qu red y the Contract D cuments,,, PE�ORMlNG PARTY
may furnish or utilize a substitute means, method,, technique, sequence or procedure acceptable to
TCE " E PARTY shall submit sufficient infonnation to allow TCEQ in 'TCEQ's sole
discretion, to ale ermine that the substitute proposed is equivalent to that expressly coed for by the
Contract Documents.
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Coneerning Sub:contractors,Suppliers and Others
3,18, All contractual expenditures usig ffrnds� �provided wider t .s, Agreement shall meet all the procurement la regulations applicabl e to O� 'Y and Subcontractor and the
Ur�i orm, Grant and Contract Managenient Act and the Uniform Grant Management Standards.
Competitive bidd ng will generally be required or c ontracts other than interlocal and interagency
contracts, which are Wi der TEx GOV. COD , 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 f cost method ofcontractfilg.
319. l e PE o:. PARTY shall �" r�arr any r�o�os e sub,�.greer�errt for the performance of'
.
Work required under this Contract's scope of Work -to TCEQ's Project Representative prior to
ex.ecution of the sub agreement.ent. CE may, within 21 days of receipt of the proposed su.bagreemen.t,
provide written notice (fax or email, acceptable) to the PER]r4ORMING PARTY questioning whether the
s ba ar." emen.t is 1�o r a legitimate purpose relating to the satisfaction of th s Agreement or has, been
procured in accordance with the i "'.um standards o f the UGC MA. 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 sub agreement nor its subsequent withdrawal of any
,, questions raise regarding regar a s �ba reer� ent ;g all �% any way n ply TCEQ's approval of the
sou agreement's purpose or method of r�ocur-erncnt tl�c� srrbagreernerrtµ Further, fire terms of this
provision Flo not n any way restrict TCEQ's rights under this Agreement to subsequently refuse
relnauxse ment for expenses inctmed pursuant to the sublagreement. The PERFORMING PARTY may
require a laid bond to protect the local and State interests by assuring that a bidder will, upon acceptance,
execute all required red contractual documents within the time period specified.
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.2 c :� 'O IN PARTY shall be responsible for the, management and fiscal monitorlrr of
all Subcontractors and Subgr'antees. The PE.�1���� ��� �"���'� shall rno fur: its Subcontractors, and
S ubgtrantees to ensure that the Subcontractors and Sub grantees are operatin.g consistently with applicable
Laws and �rrl ations, applicable contracting po.tii�cies, and these Contract fi ocuments, The
PERFORMING PAWFY shall ensure that all Subcontractors and Subgrantees, comply with all record
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Page 7of141
Contract Name*Ambient ir'Monitoring Fuss-Thru Grant Contract Number:582-14-40060
keeping and access requirements set forth in these Contract Documents. TCEQ preserves the right to
perform an independent audit of all Subcontractors and Subgrantees.
y 3.21, PERFORMING PARTY, Su'bcontraetc rs and Subgrantees skull implement and maintain a
Quality Assurance Program that addresses quality-related activities performed under this Contract and
conforms to the American.National Standards Tl stltute(ANSI)/theAmerican Society for Quality SQ
E-4-2004 Qualion S em i jbr Environmental Data and 7echnology Frogs Requirements with
Guidance for Use, the EPA QA/R-2 and with the TCEQ Qual'ty Management.Flan. e T EQ 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,, transcri W ti'o
n,% and/or copying during
normal business hours. The ER—FO KING PARTY shall provide proper access.
3.22. Funds provided h TCE pursuant to this Agreement that are paid t� the Subcontractor�� �� he
used by the Subcontractor solely"to satisfy to purposes of the Agreement.
Procurement
3.23. All procurements by the PERFORMING PARTY of goods door services under this Agreement
shall ble conducted in a marmer p���ldrfull a�d
open com etlti,on In accordance witli Subpart C,
Sec. . 6, Subsections b though of dart III of UGMS.
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3.2 . PERFORMING PARTY shall perform cost or price analysis in cotuiection with all
procurements in excess of$2,000 which are not competitively procured. A cost analysi s will also be
required when adequate price competition is lacIdng and fog• sale source procuxlemcnts, unless the
reasonableness abl ness ` the price can. est�b lsl�.ed on the asp of a catalog or arl�et pr.'ce. Failure M 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 P'ER�ORMING PARTY under° this Agreement shall he in
accordance with Chapter 2261 Texas Government Code and gait III Subpart C, See. .3 7, Subsection
(b)of TJGMS
Sul5grant Activities
3.26. All Su grants awarded by the PER170RAUNG PARTY under this Agreement will be awarded on
I I"M the basis of competitive z.ppl eati.ons and proposals when feasible. The applications and proposals will
be evaluated utilizing criteria including cost
_ ._. . ._ _ m._.__.. c_o p_..l_an. .s_a_n, probable of goods or services and past
performance, on request, P + ING A I must provide evidence to support the selection
.
_.
..
mid award.
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3.27. Payments by PE..U' RMIN'G PARTY to Sub grantees will be solely for reimbursement of actual
allowable costs utilizing the see standards and requirements as the reimbu rsement payments, fi-om
"f"CEQ to PERFORMING PARTY set out in this Agreement, No Subgrant will he made on a fixed-
Page 8 of 1141
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Contract Marne:Arnblent Ai'r Monitoring- "a s-T ru Gram Contract Number:582-14-40060
amount of cost, reimbursement unless this method is splec*fically approved. by TCEQ based on
supporting evidence 'r osed Subg rantee's actual costs.
3,28. All Subgrant agreements must be in.rating and must he approved by TCEQ. The standards and
requirements for re rruhiursements and standards for performance will he ineer�erated into the Subgrant
agreements as well as ether provisions required by this agreement"
Permits
Unless otherwise ppro ldecl In the Contract Docuuments,......., E1tF PARTY shall obtain and
pay for all construction permits and licenses. PERFORMING PARTY shall all charges of utility
owners for connections to the Wert and PER-FORMING P ARTY shall pay all charges of such utility
owners for capital casts related ther" to such as plant investinent fees
Re rdv,Documents,Data,Access, andAudit
3,3 0. The PERFORMING PARTY shall maintain bucks, records, documents,, and ether evidence
reasonably pertinent to performance of the Work and requirements of'the Contract Documents.
I r11
3.31. The PER-FORMING PARTY will pass threw all record keeping, quality assurance
requirements, and access requirements to all subcontracts and suha.greementss
3.32. The PERFORMING PARTY agrees to the disclosure of all inf"erunaton and reports resulting
from access to records and quality activities under this Agreement.
3.33, Records shall be maintained by the PERFORMING P Y during performance of Work under
" (3) payments, final, Ex ends e Reports and all other
this Agreement, anal. �r tl�•ee years after final �" � ..
pending utters are closed" If any litigation, claim., negotiation, audit, quality assurance assessment,
cost recovery,or other,action iu-ieluud ng actions concern-ing" costs of ater s 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) yew"period, such records must be retained until completion
of the actin or res luutioru of all issues which arise fTe it:, or until the end of the regular three 3 year
period,whichever is later,
3.34. Access to records or Work activity i's 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 u.ecor& or
nonconformance identified pursuant to an Assessment are maintained.
3.35. ` "his rigl t of aeees. article applies to financial and quality records pertaining to this Agreement
". ". �.
and-all su bagreeme ats and aine.d nents.- .In addition,this right o ac�ess.,ait"cle applaes tu�_al r erds- d'.--
�er� aetl�lt es ertainin�t�this Agreement d all suubagreements and w eu cents
3.35.1. to the extent the records pertain reasonably to Agreement or subcontract eufor an.ee
its there is any in.d'cadon that fsu d, gross abuse, ,e���u, corrupt practices may he "Involved-
3.35.2.
or
Page 9 of 141
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Contract Name:Ambient Air Monitoring Pass,-Thru Grant Contract umber 582-14-40060
3.35.3. if the Agreement or subcontract is tennin,ated for default or for convenience.
Data and Publicity
3.36. All data and other inf r at on developed under this,Agreement shall be furnished to TCEQ mid
shall be public data and informa.tlon except to the extent that It is exempted, from public access by the
; X52 Ac . Upon tenninatio� of this Agreement,Public d atuon het, T ► CODE
all copies of data and information. atlon shell be ftun shed, at no charge to TCEQ, upon request, to Inelude
databases prepared using finds provided under this, Agreement, and become the property of TCEQ.
Except otherwise p-rovtded by these Contract Documents the Act, the PERF-40RMING PARTY
all not provide data generated or otherwise obtained tn the performance of its responsibilities under
this Contimet to any party other than the State of Texas and its authorized agents.
Safety and Protectio n
r 3. 7. Where applicable, PERFORMING PARTY shall be responsible for requiring Subcontractors and
ubgrantees to maintain and supervise all necessary safety precautions and programs in Connection with
the Worle,. PER-FORMING PARTY shall tale all necessary"sa.fety precautions.
Performance Reports
3.38. In accordance with the Uniform Grant Management Standards, the e ""E_ Teo MTNG PARTY
shall sub "t 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 subn1it the reports not later than 30 days after the close of each quarter..
The reporting periods shall correspond to the Mate of texas fiscal year Setena er--Noveni er;
December-February, March-May; June- uguust .
OR 1nde en e t Financial Audit
31.39. By February l of each yeax, the PERFORMING : AK]"Y' shall engage an Independent Financial
Auditor and conduct an annual audit of the PERFORWNG PARTY'S financial statements In
�t accordance with the S hijale Audit provisions of UGMS. The fnial report shall, be submitted to the TCEQ
no liter than days following the completion of the audit.
3.39.1. All terms used In connection with. Audits in this, agreement shall have the defuil'tion,
aj.1,d meanings assigned in the Single Audit Circular In UGMS.
3.39.2, Provisions of the ;dingle Audit Circular in Part TV of UG .S shall apply to all non-State
Government entities ex, ending the fun& o this Grant, whether they are recipients, 1 ei in the
funds directly from'TCEQ,or axe subrecuipients, receiving the fends froin,a. ass throuugl entity a
i, reelpwnt or another suubreci ien . In addition, the PERFORMING PARTY shall require the
independent, auditor to supply all audit work a ers substantiating the orl( performed, at the
request of TCEQ or its designee.
7
PZge 10 of141
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Contract Name.Ambient Air onitoring- `ass-Thru Grant Contract Number:582.14-0 60
Exceptions in Audit
3.39.3. TCEQ is required to take action on exceptions rooted in an audit of PERFORMING
PA Y's financial records. Therefore, PERFORMING PARTY agrees to submit to TCEQ
cop of the report :r � u� t eerudu ete � `� e aI zeers
witbin 20 days of PERFORMING P RTY's receipt of an audit report. At the same t ne,
PERFORM.NG PARTY will also provide a statement containing explanation of the
conditions giving rise to each exec tion in the audit report as well as a plan for correction of any
signiricant deficiencies in PERFORMING P TY"s operations s er Contract performance.
TCEQ may approve the statement or reject as insufficient. At the option of Ti CEQ, the
P RFO fNG P R.. `Y may revise and resubmit. If the statement is fully or subsequently
y
rejected by TCEQ with no further opportunity to revise, TCEQ may suspend payments or may
terminate the Contract for cau se and may undertake my other remedies or sanctions provided
under this Contract,
ARTICLE 4., CHANGES IN THE WORK
4.1. TCEQ may by written.notification to the PERFORMING PARTY, makes 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, fear, performance of any services
tinder this Agreement, h.eth.er or not changed b order, n equitable adjustment shall be rude d.
this Agreement ement shall be mo iatect i writing ,ri.eeor ingly. Any claim.of the PERFORMING 'G PART fior
r� adjustment under the clause must be asserted in writing within 30 days after the date of receipt
by the
PERFORMING TY of the notification of ehecinge, unless the e xeeutive Director of" "CEQ, or his
Project Representative grants a I u Cher period of tame before the date of final payment under this
Contract.
4.l2. An Amendment( Change)will include one or more of the followilig
92. change in the corn ensa ion to the PER1, T��r� T�`
4.2.2. chang e M Inc
tee `tae ee e t ear
4.2.3. a significant change in the scope of the Agreement or the services to be performed.
4. Implementation � � Change -nu.st be receded by a formal r�tten Amendment to due
Agreement. Requests for an amendment must st be in writing mod be submitted to the TCEQ Project
Representative prier to %nitiat.ir g e ban es. The amendment must contain a description of the proposed
change. The amenchnent must be signed by persons authorized to bind each party its colntract.
i 4,..4.._._ n p, p6s 6 d'-611 an ge that us not a or Chan'e .may quali fy as a Minor Change A Mhio
Change shall. require the written agreement of both Project Representatives,ivies, hit sham. not require a
lonnal amendment to the Contract. A copy f"the authorization must be retied in the appropriate fi1e
of both the:P`ER�OR ING PARTY and TCEQ.
4.5. PERFORMING PAKfY is permitted to rebud et within the approved direct east budget to meet
any -�unantic gated requirements, and may wake ,limited program changes to the approved Project.
Page 11 of 141
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Contrad Name*Ambient AIr MonitorIng-Pass e hru Greet Contract NiurTiber:582-14-40060
i
e a n types of theme changes require e prior written approval of TCEQ. Applicable cast principles
f set forth in 40 CFR Part 31.22 contain additional requireine .ts for prior approval of certain
yp
es Q
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 fimds allotted for training low ces.
4.5*4. Changes in ley personnel in cases where specified in an application or print award; or
4.5.5. Subcontracting those activities which are central to the utl--)osm of the award.
t 4,6. y request �'shall e in writing to C and T E shall promptly review, rove or
ply
disapprove the request in writ . l " such cha ges require "�era approval, T E 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 Pre sect Plan for this Contract.
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f
Inclement Weather
4.8. A do dli ne set Forth in the Schedule of Deliverables-may be extended by a period equivalent to
the time lost because of inclement ent weather that precludes Work towards the completion of that
deliverable. "'I'he PERFORMINO PARTY shall mainta.ixi, and i ake available at CEQ's request daily
records adequately supporting its claim that inclement weather precluded Work towards the completion
of a deliverable. The PERFORMING AR shall make lest attempts to recoup time lost due to
inclement weather. The PERFORMING PARTY' shall notify TCEQ in writing fax and/car email
acceptable) prior to the delivet a le deadline of the deadline e extension pursuant to i s Article,
Extensions of a deliverable dea ffline pursuant to this Article will constitute a Minor Change. N
extension under, this Paragrapb s ia.11 extend the t erms of is, Contract. TCEQ reserves the right to
re'e ct, in good faith, within 3 days of receipt of the notification of the deadline extension, the
.PERFORMING PARTY'S claim that incle ment weather precluded, Work towards the completion of'a
deliverable.
ARTICLE 5 PAYMENTS TO PERFORMING PARTY
Cost R'e ursement
5.1 The PERFORMING PARTY has submitted a cost analysis. The PERFORMING G PARTY and
TCEQ acknowledge that this cost analysis is the basis .tpcn which the Contract Costs Budget has been
developed.
CFIF
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Contract dame:Ambient Air Monitoring-Pass-Thru Grant Contact Number.,5$2-14-4006,0
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5.2. Because certain M nit ro.ng Division Program activities may not be performed in a given month,
,.
the PER-FORMING PARTY shall perform a quaiterly
review of the Monitoring Division Program
actrvrtr s it, actually performs or expects to actually perform dining that quarter, In this review, the
PERFORMING PARTY' shall determine whether the nearest practicable estimate of its actual cost of
r Wing those services for that quarter is within the constraints established elsewhere In this
Agreement.
5.3. The PERFORMING PARTY shall make its review and deter=ate on. available to "I"CEQ upon
request. TC Q may por fo
rm. an 'n ependent review make its own independent determination, or
may inalce its own independent determination based upon the PERFORMING PARTY's review.
Contractual ass
5.44, PERFORMING PARTIES which are Governmental entitles must engage In contractor ;selectioll
on a competitive
eats i'nraccordance with their established policies., If PERFORMING PARTY has no
competitive preetrement 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 Ef
fort Prohibited
5.5. In addition to the funds Provided to PERFORMING PARTY tinder this Grant Agreement, TCEQ
mayprovi
We funds to PERFORMING PARTY runner a separate Grant Agreement so that finds oft o or
more c�rrantg are to be provided to a single activity of the PERFORMING TY, PERFORMING
PARTY rust monitor all activities to ensure that the Grant l nds complement one another and do not
result in double payments,for the same activity.
Payment Request Procedures
l
5.6. Oil a quarterly basis, within in 3 0 days after the end o f a quarter,the PERFORMING PARTY shall
submit one 1 copy of a properly completed State of Texas Purchase Voucher Form B-2), an itemized
inice provided, by TCEQ (Form B-3), a Financial Status Report (I'SR), F B- and a Quarterly
Report ( becklrst rneor orated herein as Exhibit A.- , in. order to obtain payment f' r try s � �wlete+�
Linder this Agreement, The PERFORMING PARTY will indicate the Match
Amount In the space
p rov Wed on the FS R. A deser"ption of the services provided by your Match mount should be
described 'in the SR n the srrpplen�ental pages attache to the � .�.. The lte lzc invoice includes on
a. separate line, the total amount that is being matched by the PERFORWING PARTY. The.
PERFORMING PARTY shall corgi lete a quarterly HUB Progress Assessment Report, incorporated.
.herein as Form B-1, and submit this deport with each quarterly invoice and voucher. Completed
vouchers, invoices, and reports ,shall be e ailed to Stephacnie.Ma j2tceciAqxas.goy
and-l "l:ax Hernandez tree :texas'. c�...or-nlalle -to-the.-f' llowlr:g address:
Rage 13 of 1
Contract Name� Ambient Air Monitoring-Pass-Thru Grant Contract Number:582-14-40060
f
Attu s. Stephanie Ma
TCEIQ
N
Morli Division, Cam-165
P.O. Box 13087
Austin, J' 78711-3087
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5.7. The TCEQ Project Representative will review the purchase vouchers, invoices, the quarterly
S" R, and Quarterly Report Checklists for requests for payment of ser 1ces performed as identified 'in
Section A (Statement of Worl.} and Section , Del l ver l s) 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 unaccepta lie. If the requests do not satisfactorily demonstrate o strate the
accompllsl nel t of the required tasks, the TCEQ Project Representative will not authorize payment on
the accompanying voucher and in-voice until such time as deficiencies have been corrected.
5.8. TCEQ will not issue any payment of an approved reimbursement request from the
PER-FORMING PER-FORMING PARTY -unt l TCEQ receives from the PA Ends speolfically aww-ded for activities
provided by the PERFORMING PARTY under th"s Agreement.
5.9. -Nothing In this Article shall be construed to prevent TGEQ or the pE O G PAR]"" ftom
e er�l l� any its ruts under this Agreement �i�r��lud'n but ra t l m'ted t t ose relatln to
termination and remedies,
1
5.10. TC EQ is not obligated to make payment until it approves a request for reimbursement.t. TCEQ
may suspend payment for any incomplete, inconsistent or incorrect deliverable until the PER-FORMING
G
PARTY completes or corrects lt.
Closeout
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l i required Work have been
. e E et r it es that all administrative aett r
completed, TCEQ shall close out t he Contract. Within 60 days after the expiration or termination of the
py Contract,the PERFORMING PARTY must submit all financial,perl`ermance, and other repoils require
within� days after the expiration of termination of the Contract. T. e reports may include:
5.11:.1.* All Performance ante or Progress Reports required by this Agreement.
t.
5.11.2. Financial Status Repoi ors B-4).
5 11 M 3, Final bequest for pa e t, Ii eluding Forms -1, _2, B-3 .
a
5.1.1, .....fin en 1. .-di'sclosur-e-(if,apl)ll le). __ ........
5,11.5. State-owned Property Report(if applicable).
5.12. In accordance with the IJnifor n Grant Management Standards, the PERFORMING PARTY
must suit an inventory of all State-owned property as distinct from property acquired with Grant
Page 14 of 141
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Contract Nerve.Ambient Air Monitoring-Pa s T"hru Grant Contract NumbeF.582-14-40060
funds)for which it is accountable a:n,d request disposition instructions from TCEQ f or property no longer
needed.
5,131. Within 90 days of receipt of the reports set fob above, TCEQ will male upward or downward
adjustments to the allowable ousts_. TCEQ will, ��� prompt rom t a en the PERFORMING PARTY
for allowable re" :. hursahle costs, Closeout of the Grant does not affect.,
"R
. .1. 'TCEQ' right to disallow costs � nd reee er funds ova. the basis f a later audit, quality
assurance assessment, or other review',
5.13.2. The PERFORMING PARTY'S obligation to re ru any s due as a result of later
reflunds, coiTeet ons, or other t°a aot ons
5.13.3, Records retention as required herein;
5.13.4. Property mar a eme t requirerrients set forth herein; and
�s
5.13 including,quality assurance assessment,.re a ren ents set forth herein.
5.14. The PERFORMING PARTY east immediately refund to TCEQ any balance of unobligated
-Lmeneun h red cash advanced that is not authorized to be retained `or use on another Grant..
5.15. Any funds paid to a P :RUORMWG PARTY in excess of the amount to which the
PERFORMING PAR 'is f1ut ally deter fined to he 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 w
5.15.1. Makmg an administrative offset against other" requests for rel thursenier t,
5.15.2. Withholding advance payments otherwise dije to the PERFORMING PARTY,TY,or
5.15.3. Other action permitted hy,law.
5.J 6, Except where otherwise provided by st atutes or :regulations, TCEQ w'11 cure interest on an
overdue ebt yin accordance with the Uniform Grant Management Standards. The date :from w lich
interest is comp uted i's not extended by litigation or the filing f any form. of appeal.
5.17. 'The PERFORMING PARTY shall provide to TCEQ docuinentation showing all tasks that have
been completed by the PERFORMING PARTY. The PERFORMING PARTY agrees that the
determination of satisfactory pletion of any and all Work or other services performed or furnished
under this Contract will he based can the judgment of the staff of TCEQ which udgi errt 1 he
_exei,elsed..in,a-roasona ,e manner an .in.goad faith,
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5.18. TCEQ nlay re so to reimburse expenditures for which the PERP OR ING PARTY suhr111 s a.
voucher more ban 60 days after the termination date of this Contract.
Page 15 of 141
2� Contract ar e:Ambient Air Monitoring-Pais-Thr u •ratit Cortract Number:582-14-40060
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1
Fudeeral
ARTICLE 1, FEDERAL REQUIREMEMS
P M w M
w r is Agreement'is funded in whole or in p art With federal grant money. "Me following cenduti
cns apply
this Agreement an
and future amend e;ntan.addition to all hAgreement terms. All applicable
requirements "�+ � federa)grants and With 0 CF Chapter ,Suheha ter B,including but not
limited to,,Party 31 through 3%as well as any additional federal funding conditions that arise durling,the
Agreement period,are incor arated herein reference. FCC 11 provide p� of applicable�
.
federal
grants or regulations upon re west , The tern"Performing�Fa r�"as used in these fiec "era�Conditions
means either Performing Party,Grantee,or Contractor,as applicable,
licahle,
ARTICLE 2. FEDERAL ZNTELLECTUAL PROPERTY""Y RE 'U REMENTS
Anonexclusive,perpetual,irrevocable license to use,copy,publish,and modify any ntell.ectua.l property
to which rights are granted or assigned to TCEQ In this Agreement a re hereby also granted to,assigned to,
Iry or reserved by the Federal Government. To the extent consistent with the nights,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 Pam shall acknowledge the financial support of the TCEQ and the U.S''.EPA whenever
work funded,in whole or part,by thi's Agreement is publicized alicized or reported in news media or publications,
All rep�e�rt and other documents completed as a part fthis Agreement,rater than documents prepa red
exclusively for internal use within the"CEQ,shall care the following notation on the front cover or title
page*-
PRE,PARED IN COOPS RATION WITH THE
gp TEXAS COMMISSION ON ENVIRONMENTAL UALT'"`AND
U.S, ENVIRONMENTAI,PROTE(TrIONAGLiNCY
The preparation of this report was financed-through grants from the U.S,Environmental Protection
Agency,through the'texas Coninuission on Environmental Quality.,
If the funding source is a U.S. agency other than an .S,EPA,the name of the ap rc n ate federal agency
should be substituted#
ARTZCLE 4. COST AND PRICE OF THIS AGREEMENT'
If this Agreement was not co petiti ely procured or if payment is based on reimbursement of actual
costs,then Performing Party shall ubmit cost information sufficient for a cost analysis as required.hY 40
CFR§31.36. This information must be submitted on forms provided by the TCEIQ..
a
` ARTICLE 5 ACCOUNTING S STEMS AND PROPERTY MANAGEMENT SYSTEMS
i. Performing Party shall have an accounting system which accounts for,costs in accordance with.
�»r
generally accepted accounting standards or principles and complies i CF §3 .20. This system
.ace
e�an
shall provide for the identification,accumulation,and segregation of allowable and unallowable protect
costs among projects.
2 Performing�a� shall have a r�
crt management s stern lat complies With 40 CFR H 31.32
through 31,33,
ARTICLE 6. RECORD DOCUMENTS, DATA, RECORDSr ACCESS, AND AUDIT
i. 11le Federal Government and Its agencies Will have the same rights of access to records as are granted
to,assigned to,or reserved l e FQ under this Agreement.The P� �ru�ing Party shall maintain fiscal
Page 1 141
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Contract Name:Ambient Air P onitorli r - a s-Thru Grant Contract Number:582-14-40060
records and supporting documentation fair all expe�r�d.i#:r.�ur�es�� �� pursuant� Office��Management
errrer�at
and Budget(OMB)Cimulars -21,A-871 A-102,,or -iio,as appropriate.
2, In accordance With OMB Circular A-133,the Performing Party shall obtain a single audit if it expends
$15ool,000 or more a year in federal awards.
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ARTICLE 7. SUSPENSZON AND DEBARMENT
1. Pei-forming Party shall fully comply with Subpart C of 2 C1-1'R Part i8o,entitled"Responsibilities of
1
Participants Regarding Transactions Doing Business With Other Persons."Performing Party is
responsib le for ensuring that any lower tier covered transaction,as described in Subpart B of 2 CFR Part
:. o,entitled"Covered.Transactions,"''includes a term or condition requiring compliance with Subpart C.
Pei-foaming Party is responsible for further requiring the inclusi a:n of a similar term or condition in any
subsequent lower tier covered transactions.Performing Party acknowledges that faring to disclose the
inforr atia as rewired under 2 CFR 180.335 may resuh in the delay or negation of this agreement or
pursuance of legal remedies.
1
2,Performing 'air may access the Excluded Parties List System at ht -ePis.&Q-V
AR TZCLE 8. DISADVANTAGED BUSINE S ENTERPRISES( RE'S)
1. The Performing Party shall n,ot discriminate mate ors,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
Program for Utilization of Minority Business Enterprises(MBE/W BE)as
found in 40 CFR Part 33.Failure by th e Performing Wring Party to carry out these requirements irements is a
material breach of this contra c which r�pry result irr the termination of this contract or other~
legally available remedies.
2. Perforrning party a, reel that qualified DBEs shall have the maximum practicable opportunity to
participate in the performance �a�f��e Work required tinder this Contract throu�possible
subcontracts to carry out portions of the Work or any goods and/or semices procurements that
directly,support the required Work.
Ong�a is required to make a food faith effort,to include her "o
:businesses H ' s or DBEs on any solicitations for subcontractors and for suppliers(vendors)of
contract-required goods and/or ser V ices.Records docr,rerun g con pliaance with the siX good.with.
efforts found in 40 CFR Section,33.30.shall be retained.
M Perform't'ng Pate must submit r completed HUB Progress Assessment Report PAID, or the L4 PA
Form 5700-a if a HUB Subcontracting Plan 1tSp I's not required)with each reimbursement
request nest sti mrt e , .
trrn
dude the m e of the or BE,a
minimum s report shall
description of"the,wort semices or materials provided,the amount paid to the HUB or CBE,and
the name and telephone number of a contact person within the HUB or DBE.
a,
5. Before terminating DBE for convenience,the Pei-forming Party must notify TCEQ in writing,for
Prior approval.
6. If as 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 time replacement subcontractor.
7. �"%e Performing Warty na.ust pay
its subcontractors for satisfactory rformance no more than .o
y .
daays from the Performing Party's receipt of payment from T'CEIQ.
8. " CET requires Performing Party to complete the following o►rms
a. the Performing �� shall provide tie attached�� Subcontractor Participation aeon Form,
Form 61oO-2,to all its DBE sUl contraactors With instructions that each DBE may
complete the form and submit it direefly to the appropriate EFTA DBE Coordinator for
gion.6.
Page'17 of 141
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Contract llame.Arnbl rat Air Monitoring-Pass-ThrU Grant Contract Number,582-'4-40060!
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b, The Performing `arty must have its ME subcontractors complete Form X100— ,DBE
Program Subcontractor Performance dorm.
c "Phe: e of i n �.
rMi
Party must complete et. and submit,Form 6 o-4,DBE Program.
Subcontractor Utilization F'onn.
d., Performing Park must submit forms -001-3 and 61o0 to TCEQ HUB Ogee prior to
contract award. When the agency requires a HSP,the completed HSP and supportln
-documentat on.must be included with the proposal/ids otherwise propwoaal ld shall he
deemed non-responsive for failure to comply With advertised ed speciflcatlons
ARTICLE 9. PROHIB11710N USE OF FEDERAL FUNDS FOR LOBBYING AND
L1TXGA TIO N
w e Performing Parity agrees o comply with Title 40 CFR Part 3 ,New Restrictions on ohl O
Thng.
The Performing Party agrees at 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 Perfornuing Party applies for final payment,Performing
P" will cer �� �rrtte Prodded l the Q that Performing Party has complied
nth this provision.
2. In accordance M"th the Byrd Anti-Lobbying en "p' who makes a prohibited
w
Amendment,+ �, "�.� �eft�'
er drtnre under Title� � Pam or " 1 tea fxlc. � o f certification or to yrn forms
w . �
ex 3
shall be subject to a civil penalty of net less than$io,000 and not more than .00,o o for each
such expenditure.
3. The Performing Pam shall submit to the TCEQ to Certification Regarding Lobbying form.
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ARTICLE '. FEDERAL, FUNDING ACCOUNTABXLXTY AND TRANSPARENCY ACT
(FFATA) REPORTING
1. In accordance With 2 CFR.
�a / Par 25,entities,
that receive suhaw ards from C that are f r
nded
wholly or partially withfederal ftrds mus t he registered in the Central Contractor Registration
C pr7i or to submitting an application
or plan or entering into an agreement 2 maintain an
active CCR registration with current inform atlon at all,times while the application or plan is
under consideration by TCEQ or during the term of the agreement;and 3 provi de its data
Universal Numbering System(DUNS)number in each application or plan It submits to TCE ',
unless,art exemption applies.
. No funds may he 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 17 ,if certain elements are met,Performing Part'
musty report the total com ens,ation for each of its five most highly compensated executives for the
preceding completed fecal year.
al Funding Accountability and 4. The Performing Party shall submit to,the T Q the Feder
Trans arency Act Reporting Forin
ARTICLE 11. MISCELLANEOUS PROVISIONS
1. l rug P`r°ec Workplace.The Pero rmin,g Part r must male an ongoing,goad faith effort to aintain
a drag-free workplace pursuant to the specific regrilrement et foi h.inTitle .+ CFR 36.2 -
dltio�a�ll n-accordancc�_with theme rcg * the Performing-Party-must identify all.__... __.
.���: d �_uldt�:on �-
1 nown workplaces under its federal.awards and Jeep this infor•m.ation oil file,during the
Performance of the award.
2. In accordance with.EPA Order,1000.25 and.Fxec�ntie girder 13423,Strengthening Federal
Env cnmerrtal Energy and I"ra s ortatlor Management.(January 24 2007),the Pelforinin.g
Page l a of 1
M
i,;;
Contract Name ,Ambient fir Monitoring-Pa s T ru Grant Contract dumber: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 require.n ent does not app y to reports
repar+ed on forms supplied by LA PA,or to Standard P arcs,which are panted on recycled paper
and are available through the General Services Administration.,
3. Pursuant to 40 CFR 30.18,if applicable,and 15 USC 2225a,the Performing Party agrees to ensure
that all sae for conferences,meetings,conventions,or"training semmiars funded in whole or in
part with federal funds eon. lies "t.the protection and control guidelines of the hotel and Motel
Fire ��
rre � � t -3 1,�as amended).. 'erg'a in arty m search the Hotel-Motel�National
Master List at i c * � e � f a property is nn compliance,
or to find other information about the Act,
4. Tra cldrr,g in Persons.Prohibition ition Stateme t You as the recipient,your employees,
subreei lents ruder this award,and su recipients'employees may not engage in severe forms of
trafficIdng 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 su award under'the award.
a. `CEQ may unilaterally ter in.ate this award,without penalty,if a Performing tarty that
is a private entity: is deter i ned to have violated an a lic,al le prohibition n the
Prohibition Statement above;or 2 has an employee who is determined by the agent
official authorized to terminate the award to have violated an applicable prohibition in
the Prohibition tion Statement through conduct at ei r.er a ass¢ ciat+ed Frith performance
tinder this award- or h)imputed to the sub recipient using the standards and due process
PIP for imputing the conduct of an individual to an or ani ation that are provided in 2 CF
�Pa�rt 18o,"OMB Guidelines to Agen i n Govern entw de Debarment and Srrs�ensi n.
(Nonprocurrern nt)",as implemented,at 2 C R Part 1.532.riwhe Perfort'rig at y roust
A TCEQ imi-nediatel; of any information you receive from any source alleging a
t violation of a prohibition in the Prohibition Statement above.
. C.� s right to ter mate unilaterally that's described rn��re�rous section .a.: 1
implern nts section xo g of the Trafficking Victims,Protection Act of 2000(SPA),as
amended U.S.C.7104(g)),and 2 is in addition to all other remedies for
noncompliance ;hat are available to TCEQ under this award.
I
Page 19 of 141
l�
Contract Name:Ambient Air Monitodng-Pass-' ru Grant Contract Number:582-14-40060
InsjLructions
out attached
Federal Form�s,
ire
1. � r� �"i
I
Contract Name:Ambient AJr Monitoring-Pass-T ru Grant Contact i uumbev 582-14-40060
U
$XPAEnvimmental ProftLctton,
EPA Project Control Number
CERTIFICATION REGARDING Lo Y
CERTIFICATION, FOR CONTRACTS, GRANTS,
�f LOANS AND COOPERATIVE AGREEMENTS
The undersigned certibes, to the best of his or her knowledge and belief, that:
1 No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to Influence an officer or
emplo'y'ee of any agency, a, Member of Cong,ressr an officer or employee of on r~ess or
Member n with the awarding of any Federal
'her
of Congress ire connection
i r a grant,, fi
a� employee o a� m
contract,, thre making of any Fe er l gr t, the real ng of any Federal loan, the entering
into of any cooperative agreement, and the extension, continuation, renewal,
amiendment, or modification of any Federal contract, grant, loan, or cooperative
agreement.
i
(2) If any funds other than Federal appropriated Funds have been prld or will be paid to any
person for influencing or attempting to Influence are 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-LL L, "Disclosure of Lobbying
Activities," In accordance with its Instructions,
The undersigned shall require that the language of this ce tl the
i a� on be Included,� In
f
-,awards a all tiers (including stab-contracts sub-grants, and
award documents or all sub ads t e � � �
contracts under grants, loans, and cooperative agreements) and that all sub recipients
shall Certify and disclose accordingly.
This certification is a material repmsentation 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 fair to file
the required certification shall be subject to a civil penalty of'not less than $10,000 and not more than
$ 00,000 for each such failure.
APPLICANT'S ORGANIZA'nON
CITY OF FORT WORTH
,
Fernando Costa �st nt City Man4 e
Typed Narne of A!-t orized Repass I e Authorized Representative
113
Signature of Authorized Repres tative Date of Si mature
nnm1 n mi iieu.ri inrvr i�+u ;ii ,,,;a,i u uin ii iarmmtttiagiriwiuirrvarreioxw ra„&+a aw„„mc.:w,:;
A*9ed
mmdWO
�+
a1 r a
r
becretMPage,21 d 1,41,
Maq erZCii
1� , _. ,.,,. ,r_.,m moho ian r,;,rvuimu.nimrur'xa.murr nrmra awl,rrrrvuG,;d`'
Approved by Ali '
DISCLOSURE OF LOBBYING ACTIVITIES
Complete this form,to disclose lobbying activities pursuant to 31 US.C. 1352 0348-00,46
(See reverse for public burden,disc osuure.
1.Type of Federal Actions 2 Status of Federal Action.
gr
. contract a. bid/offer/application pit
filing b. grant a b. initial award b. maten'al change
c. c,00ple re C. postwar
. loan
e. loan guarantee F'or aterial Change Only:
f loan, insurance year quarter
ate of last report
4 and Address of Reporting EnCity 5. If Reporting Entity in No.4 1*s a Subawardlee Enter Name
and Address of Prime,
City of Fort Worth rt Texas Corn mission on Er v iron mental,duality
1 000 Throckmorton Street 12 100 Park 3 5 Circle
Fort Worth,TX 61: 2 Austfin.TX 78753
Congressional District,, known w° 12 Congresslional District, "mown:
6. 'Federal, Diepartment/Agency: . Federal Program N ume escr p on'.
US,EPA
Air[Iollution C'o,trol Program Support
FRO CFDANurnber, if applicable: 66,001,111,
8. Federal Action Number,,i "known.• 9. Awa,r�d Amount, f known;
$206934.00
Name and Address, `Lo a s r n b. lM ls erfor lung Services(including address if
if individual, last game, first name, re om No., a
(last name, first mama ):
None N/A
r
1 1. Information requested t1 r this form is a t ri ed by title 31 nature:
U.S.C.section 1352.. his disclosure lobbying activities material
representation of "act upon which rel m ee was placed by the tier above
'riot arne. Femand
erg this,transaction was made ofentered into. his disclosure is required
Costa
pursuant to 31 U.SS C, 1 352. Th is inform tion NviI1 be reported to the
Congress semil-annually and will be availabile for public inspection. Any '" i e: Asisii st,ant City Manager
r p rsoi mho fails to file the required d,isciosu,re shall be subject,to a civil
penwalty of not less that 1 0, and not more than 1 I0I, I 0 for each s,uc
fai I u re. 091131�
Federal �Use Only,. rl�ed for Loical Reproduction
Standard Form LLL(Rev, 7-
FO
Contract Name:Amblei t Air Monitoring-Pass- hru Giant Contract Number:582-14-40060
P'
INSTRUCT,I NS FOR COMPLETION OF SF—ALL ��I����R �� LOBBYING ���"�" �"�
-rbi is disclosure form shall be completed by the reporting entity,vmuheethler subawnearldeee or prlrne Federal reciple.nt,at the Initiation or receipt of a covered federal
action,or a material change,to a prevIous filling,pursuant to title 31 U.S.C. 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 calf a Member of Congress in connection with a covered Federal actloln. Complete all I'teerns that apply for both the Initial filing and nrmateri!al!
change report, Refer to the impleementing guidance pubiisheed by the Office of Management and Budglet 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.
M 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 wvhilch the change occurred.enter the date of the last prevlously submitted report by th!s reporting entity for this covered
Federal action.
4. inter the full name,address,city,State and zip code of the reporting entity, Include Congressional District,if known, Check thew appropriate
1 classification of the reporting entity that designates If it is,or expects)to tile,a prune or subaw ard,recipient.Identify the tier of the subaverardee,ewg.,the
first subawardee of the prune is the Ist tier. Su.mbawruards include but are not limited to subcontracts,su.rbgrants and contract awards under grarmts.l
. If the organization filing the report in item 4 checks'4Subawardee,"then enter the full l name,address,city,State and zip'code of the prime Federal
recipient, include Congressional District,if known,
, Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational level'brelow agency name,if know n.
For example,Department of Transportation,u'ni'ted States,Coast Guard.
y. Enter the Federal program,name or des'crip:tion for the covered f=ederal action(ltd 1). if known,enter the feullll Catalog of Fedrrral'Uornestic Assistance
FOAL number for grants,cooperative agreements,loans,and loan commitments.
8. Enter the most appropriate Federal identifying number auvallabl'eel for the Feadeeral action Identified in item 1(e.g.,Request for Proposal(RFP)1 number;
Invltat�on for Bid(IF5) number;grant announcement number-the contralct,grant,or loan award number;the apph cation/proposal control number
assigned by the Federal agency). Include prefixes,e.g.,`RrP CAE-90-,,001.'
g. For a covered Federal action where there has been,arr award or loan commitment by the..Federal agency,enter the Federal arnotunt of they award/loan
PI commitment for the prime entity Identified In Item 4 or 5.
10. (a) Enter the full name, address, clty, '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 narnes of the individuals performing services,;arid Include full address if different from 10(a). Enter Last Name,,First Name,and
Diddle Initial(MI).
11. Fhe certifying offlclai 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 01VID Control
number. Jhe vapid MB,control number for this Information colleectlon is OMB No.01348-0040, Public reporting burden for this collection of information is
estimated tot 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 estlrtmalte or any other,aspect of this collection of
Information,Including suggestions for reducing this burden,to the Office of Management and Budget,Paperwork fterluctlon Project i 348-DO i6),Washington,
ton,
DC 20503.
Il,,
10
Page 23 of 141
t,
f
1' o�ntr ct'Naas.Arnbient.Ali-Monitoring-Pass-T"I rw Grant Contract Number.582-1
OMB Cont.-of No 2090-0030
1, Approved: 05/01/2008
9% Approval Expires: 01/31/2011
Environmental
Protection Agency
Disadvantaged Business Enterprise Program
v DBE Su n r�ac or Participation Form.
f
NAME OF SUBCONTRACTOR' PR EC 7 NAME
ADDRESS CONTRACT NO.
TELEPHONE,NO. EMAIL DRASS
Follp
RIME CONTRAC 0R NAME
Please use to space below to report any ca ncer ns rega r ft.ig thecabove EPA-funded project reason for
tioln by ter=a � i p' ).
1,
AMOUNT
CO,NTRACr ITEM OF WORK OR DESCRIPTION Of SERVICES RECEIVED IVED FROM SUBCONTRACTOR
ITEM NO. THE PRIME,CONUUCTOR WAS PAID BY PRIME
CONTRACTOR,
PIP
r
'Subcontractor is dnf ed as a compare ,firm,joint veriture,orhtdividural who enters inLo an agr eernenL
with a contractor to provide services ptursu nt to,wi EPA,award of financial ssfgtMicew
l EPA FORM 6100-2(DB,E Subcontractor Pm-ti patic Form)
Page 24 of 141
POP
m,
Contract Name:Arribient Air M oNtoring-Pass Th,ru Gaunt Contract Number 582-14- 0060
OMB Control No 2090
Approved: 0 /01/2
Approval Expires: 01/31/2011
Environmental
Protection Agency
Disadvantaged Business Enterp6se Program
DBE Subcontractor,Performance For
ADDRESS NAME OF SUBCONTRACTORi PROJECT NAME
TELEPHONE NO. E-MM L ADDRESS
PRIME CONTRACTOR NAME
PRICE OF A
WORK
CONTRACT ITEM WORK OR DESCRIPTION O SER SERVICES ID T�
SUBMITTED O
ITEM NO. PRIME PRIME,CONTRALTO
-'Program.7 rnature of
CurTently ceitified as an MBE,or!WBE under EPA's DBE Yes No Si6
n,
Prime Contractor Date Print Name"Title
,,, Signature of Subcontractor Date
Print
Name Title
y
subcontractor is defined as .compi y,.firm,joint venture,or ndiv t al who qtr into cm agreement with a contractor,
to provide ivices pursti nt to are EPA award of finaricial assistance.
EPA FORM 1 0!x-3;(LOBE '�u bcontruictor Pro t ��
Page 25 of 141
Contract game,Ambient Air Monitoring-Pass hru Great Contract Number-,582-14-�400
OMB Control No: 2090-0030
Approved; 05/01./
Approval Expires: 01/31/2011.
Environmental
Protection Ageii
Disadvantaged'Business Enterprise Program
DBE Subcontra or�Utilization Form
BID/PROPOSAL NO. PROJECT NAME
NAME OF PRIME BIDDER/PROPOSER E-MAIL ADDRESS
ADDRESS
FAX NO.
TELEPHONE NO.
The f ollowIng su bcontr .c o rsi.Will be used on this Project:
C01MPANY NAME,,ADDRESS,PHONE TYPE OF WORK"m BE ESTIMAT E C ORRENTLY
NUMBER.AND E-MAM ADDRESS PERFORMED D DOLLAR CERTIFIED
MOUNT AS,AN W
OR
i
I certffy under, natty of perjury that fhe forgomig statements care true and ow the event of a
� � ractor, wall odhere o 1110 replacement.requirements set forth in 0 CFR Part 3
Secfion 33.302(c).
V,
Signature of Prime Contractor Date
Print Nan-ie J
Tifle
'Su c oars t r is,dew a(.::oivtpany,firm,Johit ventM.l1!e,or x fiv d,ual who enters into an agreement with a contractor
to provide services p rsuan to n EPA award of financial assistance,
ace,
EPA FOORNI 61001-4(DBE Subconfaactor Utilization Tl n i
Page 26 of 141
Contract Name:Ambient Alr Monitoring-bass-7hru Grant Contract Number,582-14-4000
Solicitation# � Fed. Tax or Vendor
applicable) ID
Company game:
� s:
gi „State,Zip:
Phone
E , l Address*
To qualify for EPA DBE Status all of the following must apply*
Cert!!yinq Eli Libili,ty Criteria Indicate Certifying�ntit
Texas Certified Rstofically Underutilized Business 8B texas Comptroller of Plu,blio Accounts(CPA-TI ASS
*Personal Net Worth less than$750,000 for each individual claiming disadvantage status(Excludes equity of primary residence and
irndividuual°s ownership interest in company). These undi ideal s must own at least 51, of the company and have a managing control,in the daa�ll
o rations.. Bee 4B CFR 3 3a 201,, Personal Net Worth is deterrrnlned as er 1'3 CF (24.104 and 124..105(c)(2)1.
_..
r atleastoneb elow mast a Jw
Cen1i �ill i ll Criteria: Indicate�erti rnt�t
..._. .�........_. � .__.� �. �.��.. end
t � l�irnoril reed Bwusir�e
Woman-Owned Business
Disabl Amerlc n Business
Native-American Small Business
**HUBZone Ern err ent ontE o n��ram —_..- —._.-_. .._. ..——.,"_.. S tl Buis1,ne. Admini.str Unn
*`Small Business--beets Brrnall Business Administration(BB sate standards for a small business, SBA size standards are located at
h(1p1/www.sb vlld rou t ubllc"doc:Ltments!'sha home a pIs+erv�sstd tablewdf. df.
lop
Please mote,if your firm quaHes as a Small Business,you may self-certify your company with SBA.Your can not claim Small'Business status
unless you are SBA certified, More information on Small Disadvantage Business cerrtifieation is a ailab�o at
h t ,/i .sbau, �o� aboutsbarlsba r ra ns dbA ndex.ht nl.
Historically Black,Colley niver pit (H8 or Minority Institution(MI), The Secretary of Education must designate I BCUS/Mls„seo lint at
httL,,� �ed, ovlabo "cffioes/lists/ocrledlit rn,,,i,iio�t,v insthtml
** ertificatioti rni ust'bla currefitly listed In the fedora]database-Central Contractor Register(OCR) C w
And Lail below mus t
Certifying,Eligibility Criteria
U n ited startes Citizen
Personal Net Worth less than$750,000 for each individual claiming disadvantage status Exclude�..� �..a
'' � � s equity of prir�rnary residence and
individual's ownership interest In oom:parny. These irndividluals must own at least 51 of the,company and have a man,Ning cornlrol in the daily
operations,, F 33, B 1 Personal Net'Worth is determined as r 1 CFR 124,10 and 1 2424.1 Q§ 2
�ee� o�
Company meets e! er.. .�.. ...
p y certifying criteria listed In Section 8(a)(5)and B)of SBA ktj 15 UBC 631 et seq. Bee l ebsite for eligibility
htl L1 arrnot. ov/fanr/cunrrernU teal/Sunb art*'2 19 7 litrel
Please it is Eour respon.vibility to ngfi&TCEQ ty your It , (,a�vnen r st net wort1 y" .
By execution of this form,y ou attest the information provided ins accurate and true.
r
S19ntre Date
*important-Under y p o misrepresents its size or net worth statti mall( ,fie,�unislied by a fine,r npilso anent or both;(2
'.
be subject to ad'rrn st t e d ethos,and(3)be nnefi rdte for participation in programs conducted tinder Me authorily of the Small Business Acr.
'age 27 of 141,
D))
Contract Namw Ambient Air iMonNto,rNnig Pass-Thar G.rarrt Contract Number,582-14-40060
_ PART I-GEN E,RAL
.RECIPIENT..��..... ..m� �w..2.ASSISTANCE IDENTIFICATION
3.NAME OF CONTRACTOR OR SUBCONTRACTOR 4.DATE:OF PROPOSAL
5.ADDRESS OF CONTRACTOR OR SUBCONTRACTOR 6.TYPE OF SERVICE TO,BE FURNISHED
PART 11-COST SUMMARY
`.DIRECT t.. B SuAfy labor categories) ESTIMATED FlURLY ESTIMATED Cos'r TOTAL
HOURS RATL
e
i
DIRECT'LABOR TOTAL.
8.NN DIRECT COSTS(Specify Indirect st
p �� T X BASE Es"N`NN, TENI COS
r
INDIRECT T COSTS TOTAL:
9.OTHER DIRECT COSTS
a.TRAVEL ESTIMATED CST
i
1)TRANSPORTATION
2 PER DIEM
TRAVEL,SUBTOTAL:
� ..
b.E
EQUIPMENT.MATERIALS,SUPPLIES a T' ��T I
ESTIMATED
���T I
(Specify catagorias)
w.... w.....
EQUIPMENT SUBTOTAL:
SUBCONTRACTS ESTIMATED COST
SUBCONTRACTS SUBTOTAL:
d.OTHER(Specify categories) W ESTIMATED COST
OTHER SUBTOTAL:
TIE -,DI EC G ST6-T T L� _
PIP .TOTAL ESTIMATED COST Em M1111 11mvilmn $
I
PRICE _.
PART III- ON S,
-RACTOR OR SUBCONTRACTOR
13.CONI
EPA Form,
MR,
Contract Name:Ambient,Ar I oriftuing-Pass-T rru Grant Contract NiumbY r:582-14-4 60
El
IMP TINS proposal Is submitted for use In ccnnacticn with and in response to 1) .�..
.
This Is to certltY to the best at my knowledge and belie that
the cost and pricing data surnmarlzed 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 subagreer ent price may be subject to downward renegotiation andfor rec upment where
the above cost and pricing data have been determined,as a result of audit,not to have been cornpiete,current and accurate as of
the date above
7 3
DATE OF EXECU"NON SIGNATURE OF COMPOSE
J,
TITLE OF COMPOSER
14,LOAN RECIPIENT
I certify that I have reviewed the cosVprbce summary set forth herein and the proposed costs/price appear acceptable
for subaguroement.award.
lop
DATE OF EXECUTION SIGNATURE OF REVIEWER
TITLE OF REVIEWER
7P
l
r:
EPA Form 5700-41
Page 29 of 141
Contract Dame.Ambient Air Monitoring Pass-Thru Grant contract Number:582-14-40060
SuvrE OF WORK
The PERFORMING PARTY will operate and maintain six air monitoring static s in Tarrant,Parker,
and Johnson Counties in accordance with the rnost recent TCEQ QAPP pertaining to the State and Local.
W Air Monitoring Stations(SLAMS), Border,.Natlonal Core(NCore), ouJ4ate Matter of 2. Microns o,,,.
Less M2. , or Photochemical Assessment Monitoring Stations(PA MS)S) rcgr s, equipment
standard operating procedures, and Preventative Maintenance Instructions Manual. All
dccuiiientation is located at t .//rhr nc c i:h',' r ccdiirc does. l ,
Station locations:
1. Stage Coach, 8900 West Freeway, White Settlement
2. CAMS 1 -Keller, FAA Site cuff Alta Vista Read, Fort Worth
3. CAMS 61 Arlington Municipal Airport, Arlington
Eagle �orrtcirac, �cr Morris ad c I ad, Eagle cr�taln 4 CAMS 7 i
5. CAMS 76 Parker County, 3033 New Aut rcn Road, Weatherford
6. CAMS 1 008 -Johnson County L ulna,2420 L isa Lane,Alvarado
These stations are subject to relocation depend*i,g upon property owner request. In the event of a site
relocation the contractor will be notified 30 days pri.or to relocation and will operate the site at the new
location.
u
Equipment at Stage Coach includes two PM10 P 10 monitors.
Equipment at roller includes one ozone 03 monitor, one solar eradiation monitor, and one
meteorological tower to monitor temperature, wind speed., and wind direction.
E wpnacnt at CAMS 6 Arl r gt n . -Lmici al Airport ' eludes one carbon.monoxide CO monitor,one
'des Q nitrogen monitor, : 3 t+ , rc :� tapered cicrncatsclratin rcr+� ralancc
I TEOM)rn ni.tcr,one solar radiation 11,10 .itor, and one meteorological tower to monitor temperature,
wind speed,and wired direction.
Equipment at Eagle le ounta r Labe inchrdcs one 03 monitor, one solar radiation moaitor, and one
mete rologicM.tower to monitor temperature, wind s-pced, and wind direction.
Equipment Parker County includes one 3 monitor, one solar radiation monitor, and one
meteorological tower to monitor temperature,wind s?eed, "Coal wind direction.
Egwpmcnt at Johnson County Lrrisa includes one cardster volatile organic compotmds(VOC)r omto�r
and one meteo17 logical tower to monitor temperature mind speed, �at�d wired 111 ction.
The will- � � �_an y additional.e,r i�_.r.
a or
_ar mbient air
equipjnentat the currently _.
....
established or new monitoring stations as needed or agreed upon by both pailies.
.,, Grants
ull comply w tb and complete all r c uiremeWs,and output The PERFORMING PARTY shall I
objectives utidcr any EPA grant agreements from which,it receives "weds l-or*the period of s
Agreement. This task shall apply, but not be 1411ffi*ted,to grants awarded under Section 105 of the Federal.
Page 30 of 141
Contract N r er :Arnblent Air Monitoring_Pass-, hru Grant Contract Number:582-14-40060
Clean Air Act.
2 Administrative Regulations
The PERFORMING ARTY shall provide adequate recorcl eep-ng and reporting to ensure conformance
to the financial, propel, and procurement regulations. Guidelines or criteria. for accomp ishi re rt.
Treasury Ci rcul ar 1 075, Chapters 1000 and 20 00 OMB C rcu err A--102, -13 3 and A-8 7 40 CFR 3
40 CFR 35.
TCEQ or t s appropriate,may update any or all,o the exhibits referred to n this Agreement.
.�� �. .
r The PER-FORMING PARTY shall implement editions of any such updated exhibits within
days of receipt,
�
2.1 Requests for Rebudget Approval
As .seeded, the E ING PARTY shall submit to TCEQ a request for arehud et approval
y
according to the requirements described 40 CFR 31.30 c (Ili)or d (1-3). Within 30 days of
request,TCEQ will provide comments is or approve the request.
2.2 Purchase of Property Items
Pn*or to purchase, the PERFORMING PARTY shall submit a request and a justification to
'TCEQ for approval to purchase property" iterns, with a unit acquisition cost of$ .,000 or more, if
purchased with funds provided by contracts and/or matching funds ro�m TCEQ.
2.3 Financial Status Report
By September 30 of each fiscal year, the PERFORMING P TY shall submit a final Financial.
Status Repot FSR for this Contract, in accordance with SPA Fiscal Guidance 40, CFA. 31.41.
r"IFF, With the final F "� PARTY shall submit a List of property purchase wholly
t
or partially with. funs from this Cont'�ct � � unit ac u�rs Lion cost of$1,000 or more,
The FSR shall, sa.tls:y State finmicial repoiling requirements for this. Contract. This reqularer rent
PIP for a final FSR is in ,addition to the FS required to he submitted with each invoice. The
requirements of this Section shall sure ve the termination of this Agreement.
2,4 Quality Assurance Audit
The Quality Assurance Audit will consist o ' an End-cf-Year Qucstionnaire plus any on-site
evaluations dee med nec s s,ary by the lead TCEQ Quality Assurance Specialist. TCEQ will
I� submit to the EPA the res r.ts of C-111y Quality Assurance Audits conducted on the activities of the
. ets. The report '' M "Y d ts progress � r et contract et � xre� in
dude quality assurance findings and recorni,nended solutions to y quality assurance problems
,,noted �"t �r�� r 1.. he "oV _ A� �' r
d tai t e . YFS
reg,aTding any Quality Assurance Audit shall survive "th.e termination of this Agreement. The
Quality Assur,ncc Audit will he conducted as an on-site evaluation as dee nee necessary by the
lead TCEQ Quality Assurance Specialist. An E,nd-of-Year Questionnaire will he used and
conducted as ollows
Page 3,1 of 141
1
Contract N arise Amblent Arr Monloring-Pass-Tharu Grant Contract Number,582-14-40060
2.4.1 FY2 � 4 End-of-Year Questionnaire covering 7/l/201-3 fl-Irou gh 6/30/2014) and
FY2 l 5 End-of-Year Questiotmaire(covering f 1201 for ugh 6/30/2015)
t
a. Within. 30 days of receipt, the PERFORMING PARTY shall respond to
the End-of-Year Questi afire.
l, h. If CE 'Identifies deficiencies in the Ambient Air Monitoring 'ro ra
J% upon its Endo Year Questionnaire eva cuation, the PERFORNUNG
PARTY shall, within 30 days, after receipt of TCEQ comments, provide
information to '_T'CHQ concerning actions that will he taken to correct any,
deficiencies noted the report. This response will include a description
of the nature and extent of each deficiency's impact on data quality, the
,
cc corrective actions taken or planned to address the deficiencies,
actions taken or planned to prevent recurrence, a., sche(lute to bring any
deficiencies in the Ambient Air Monitoring Program up to TCEQ
standards, the Means to be used to document completion ofeach action
d It will identify resources to accomplish the necessary corrections.
C. If TCEQ identifies deficiencies In the Ambient bient Air Monitoring Prow rain
upon its End-of-Year Questionnaire evaluation,, the PER-FORMING
PARTY shall, within 90 days after receipt of TCEQ comments or as
directed by TCEQ, c� �rrcct any similar def cienc es n the Work performed
under this Contract and report to TCEQ any deficiencies that cannot he
corrected within the allocated time-fiamc. If the deficiencies are not
corrected to the satisfaction of TCEQ, 'in addition to th r rights TCEQ
may have against the PEFX-AORMING PARTY, it may result in TCEQ
withholding payment to the PE _G PARTY for future monitoring
activities and/or in the PERFORMING PARTY becoming neli ible �fo r
future funding,
2A2 When, TCEQ deerns it necessary, a "ECEQ Quatity Assurance Specialist will
conduct Quality Assurance Audits in accordance with TCEQ OPP 18,09.01 and
TCEQ
@1 , a. The PERFORMINU `ARTY shall artic p rte in audit entrance and exit
mectings, and audit �a rrovi e the audit tea a wit access to work areas,
doctunen:ts, records, and staff; provide equipment (e.g., safety goggles,
hard hats) and other resources e.g,, wore areas, telephones, copy
machines) needed to conduct an audit.
Within 30 days of receipt of the Quality, Assurance Audit report, the
PER.-,ORMING PARTY shall subnu*t an action plan dcscrib'the steps it
v'11 take to correct the deficiencies notea in the report. This action plan
i _ and extent f" each detipeney s
�i include� Viµ.. .+����°.�. �.�.�
impact on data quality, the s core corrective actions taken or i a cd to
address tae deficiencies, actions taken or planned to prevent recurrence, a
schedule to bring any deficiencies in the Amhlent Air MoUl t grin Program
up to TCEQ standards, the means to he used to cheat-nent completion of
each action, (-find identify resources to accomplish the necessary
corrections.
Page 32 of 141
Contract Narne Ambient Air Monitoring Puss-Thru Great Contract Number,582-14-40060
C. Upon review of the action pJan, TCEQ will,reply with s comments to,the
PERFORMING PAR'P'y., Within 90 days f r receipt of TCEQ comments
or as directed by TCEQ, the PERF0RMfN PARTY shall correct
deficiencies and report any deficiencies that carrot he corrected wlthm the
allotted tlrneframe. If the deficiencies, are not corrected to the satisfaction
of TCEQ, In addition to other rights TCEQi�i may have against the
PERFORMING PARTY9 TCEQ may withhold payment to the
� PERFORMING PARTY for future monitoring activities and/or designate
the,PERFORMING PARTY m'ellghle for futures funding.
3. Quality Assurance Plans,
A complete task under this Section shall include all of the requ ire .tints listed below. In order t.o...receive
the payment set out " is Budget), the PERFORMNG PAR:FY must.
fulfill all of the following subsections. Guidelines or criteria .r accomplishment: See. 3,1 9, CAA;
CFR, P�arts 50, 1 53, and 58, EPA QA/R2) EPA QA/R5; HPA QA G4 EPA QA/G-6 EPA.. QA/G-77
EPA QA/09.
By 120 days Prior to the expiration of the most current Quality Management Plan (AN/ , the
PERFORMING PARTY shall s�rh�lt to TCEQ its draft revised or a certification that no
changes were made to the existing Plan. The P" must adhere to PA QAJR2 guidance
mcorporated herein, as Exhibit -2, and be approved Prior to the expiration of the then-current
Q MP. P' I-ure to have an approved plan may result It in w 4hhol in of all Section 105 Contract
R ing until the plan i approved submitted and rove by TCEQ,TCEQ, Servi ces or Work performed tinder
this Conti-act by the PE.RXORMING PARTY and any Subcontractor shall conform to the Q
3. u.al ty Assurance Project Plan
r
No later than 120 days prior to the expiration of the most current Quality Assurance Project Man.
(QAPP) associated with this Scope of Work, the PERFORMING PARTY shall submit its draft
revised QA.PP or a ceitl ication that no changes were male to the dieting plan. The QAPP must.
.. QA/R-5 incorporated herein as Exhibit , 3, and requirements eats inu.st he at least as
;� l�.crc t� � � rr�c
stringent as those described yin.the rrrnst current version ofti c applicable TCEQ QA-PP pert � g
to the SLAMS, Border NC
�orc PM .5 or PAMS Programs, he u.hrnitted QAPP(s) or
certi-fications of no change must he approved prior to the expiration of the most current QAPP. In.
a. Bence ofsubmittiug a separate QAPP, the PER-FORMING P ,ry may elect to sign onto the
most current versi n of the applicable '1'C Q QAPP peilaini'ng to the SLAMS,, Border, NCorc
P 2.5. o1r PA MS Pro .an s. �lVhc PERFORMING PARTY shall submit revised da.tod
appendices detailing, any c:�c��t ions or .1�"crc��ces h he PERFORMING P Y'
implementation of the applicable "C,EQ QAPPs within 30 days of the request from tlic CEQ's.
Project Representative. Submitted contributions to T'CEQ QAPPs,must he approved prior to the
on. Fail u,re to have an �. P.r' ► � .Plan may, exult in. wi h ldin all Section
_QAPPs' ��pirati 105 Contract funding until the plan is submitted and approved by TCEQ Services or work
k
performed under this contact by the contractor wed a a
tiny su �contr•actoi�shall conPonu the� P
or applicable TCEQ QAPP. By mutual agreement, PERFORMING P. RTY and TCEQ may
amend the Q�APP as necessary to reflect changes, lin the services on work to he performed under
this contract.
4. Monitoring Program
Page 33 of 141
Contract Narne:A le Air orjt°r*In'. -A was.s."Thru GIrant Contract Number:582-14-40060
The G RARTY provide support of the Texas, bi ent Air Monitoring
objectives for FY2014 and r#Y-201,5 by operating and submitting data, for airpollution monitoring sites,
The PARTY shall ensure that the monitoring sites are operated in compliance ,witIl
applicable regulations,.
The PERFORMING PARTY shall implement and conduct a Monitoring Program s r e the
Imp 4.1 Maintenance and Repair of Equipment
The PF� F R I PARTY shall be responsible for a]I the ma n cn ce and/or all the
repair of any of its equipment at these sites n uding proci:irement of replacement parts
d constun,abler.
4.2 Training
The PERF-1 O,RMfNG PARTY shall.ens e that its staff s adequately train an qualified
in r r p o arms tasks. The PERFORMING .
PARTY shall provide
mininium, of one r error and at least one secondary, or ac operator, with a
mmimum of six, months oflexperience, operating the equipment listed in the, Scope of
"� � � � capable
e site ech c�� rake ec c s of
olpera,ting and per�orrning light maintenance on meteorological rd and elegy
11.11onitoring equi.jyment., One operator must be present during the annual er c
evaluation
� �� � � � � � PERFORMING �� ""�expected attend
'1VE " d t"wm'nworkshops, a nd/or other activities designed ncr a
technical capabilities require suppoft this Agreement. It shah the responsibility of
e PERFORMI.NiCT PARTY to identify and a in any necessary safety training,. The
PE N ry steal provide a quarterly report fattendance by staff
oftrairuing, workshops, and/or other activities desi,gned tol increase technical capabilities
of h PERFORMING PART 's personnel. The report sball include any safety training
"M that e PERFORMLNG PA. T ''spersonnel attended. This report(s) shell be discussed
during,the End-of-Year Assessment.,
4.3 Quality Assurance/Quality Control Assessments
4.3.1 On aii annual basis, the TCEQ shall perform perk",)romance evaluations, for
acc r c o e monitors era ed y the � G ���` der s contract.
Within, 0 days of r eiv notice � a scheduled audit, � G
-ed Audit Questionnaire. The PERFORMING
shall cornplete and submit the requit ,
PARTY shall be available onsitic for the duration off'' the scheduled audit., After the
IMP scheduled audit, if the data quality objectives are not, ER ,
V f
must producc in wn'ting, within 30 days of notification, an assignable cause for .
specification,mectingthis
.....
—,nonconformance, actions.-.aye or- 1 a _ .. to - re -recurrence, e- " eta e—fo..
u
completing eact action, e means to be of each actioll.
TCEQ reserves h. right to reject the affected. data sets wig payment may be gel f
75 percent a s return per quarter not accomplished,
�� 'The �P RFORM1,NG PARTY s required ��r e she ilolw n el verab es toy
he TCEQ by the spec � ed niefra e.,
low
Pogo 34 of 1
Ifni
P 11
Contract Name.Ambient Air Monitoring- 'ass-Thlru Grant Contract Ncjruuber:582-14-40060
is
...........
Deliverable Applicable Date Dim Submit to
Equipment
„ � y PM1 Close f business (COB)� 2th day f the, pm�r�tceg e:
Monthly
verifications . month.
_n a e:January report is due February 12.
Seasonal PM10 COB 12'It,day of the first month of the seasonal � �r
Quarter quarter.
calibration Example:
V
. December-,rnl�er February calibration is due
December 121 11.
11. March-May calibration is due March l2th.
11. June-August calibration is due June 1201,
Pro IV. Septe ber Novernnber calibration la due
September 1201.
Two NOx,O3,CO COB 2 calendar days after performed;two per e_ tc q�jt.xgo.v...
laboratory u.a.rter approximately 45 days apart,
control Fir Example.
• ��"' t calendar quafter January-
checks March, LCC performed January anuary 5 due
LCCs per January 7,next LCC needs to be performed
calendar around February 14(45 days,later)due on
quarter February xg.
_.............
Monthly p 2. EOM Lose of business(COB)i2tb day o t e &tee .te a," o
er'fication� following u nth
� .Januuap resort is dine bra 1 .
Seasonal PM2,5 TEEM COB 12th day of the first month of the seasonal m @t e o,
Quarter quarter. Ex m 1e
calibration V. December..February calibration is due
December 12"'.
L March-May calibration 'is,due Marchl2th
L June August calibration'is due June 12111.
'; ,Sept+ember-November calibration is due
September 12t-.
Sample pMro d Samples gust b� ailed to the Austin TCE Austin� � p �' n aburato
sl i 1'rig canister V C orate thin.2 da retrieval.
lab � ��f �°
other All Calibrations p� rf r med due to instrument 6 tee.. xa . v r I-Ceca?tcegil
calibrations ropair,mo ication,,or r pl a coments are due texas.ggv,.
within 7 calendar days'.
Audits and Contractor mast be present duhng all TCE
assessments assessment and reply to all TCE ritteru
requests for audit findings Within 30 calendar
lays.
w� .�. ..........�....
�. _... han� .�a tee ..... .,�
Invoices days after close of the irurelein pried .teas, o
Ma .Hei-nan.dez t eU.te as,izoy
43.3 On an ongoing basis, TCEQ1 reserves the right to assess (which includes
performance evaluation, inspection, S ve m 'peer review, or au monitors
operated y the PERFORMING PARTY,, Such Assessments, are expected to be
Page 35 of 141
�,; ConVact Narne:Arribient Air Mont ring 'Pass-Thru Grant Contract Number,582-14-40060
PF iouneed and access to the monitors and t-ie associated measurement data are expected
to coordinated with the -4+ ING PARTY's staff, At least one assessment Per
year should he expected. More frequent assessments, may occur if significant or
persistent data quality issues occur. If the data quality objectives are not met, the
PFRFORMING PARTY must produce M" writing, witMn 30 days of r otific .tion, an
assignable e,aus,le for not meeting t is 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 use to
doe-ament completion of each action.
li , 4.4 Air Quality Data A Reporting
7
The PERFORMING PARTY shall submit to TCEQ all air quality data collected under the terms
of this contract 'a. a mutually agreed upon format for, the preceding quarter. To satisfy federal
PRO
requirements, this data shall be, submitted within 45 days after the end of-the federal calendar
quarter. All. air quality data submittals shall, he aoeom aed by the precision and accuracy
reports for applicable ambient molmtors that describe the quality of the data submitted.
4.4.1 Because the "e .eral]y— andate . irne- r roes. 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 PERFORMTNG 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
CEQ to the PER-FORMING P'ARJ'Y. If the deficiencies are not corrected to the
r
satisfaction TCE may withhold payment to the PERFORMING- PARTY for
�
atis���etion of�� ��
future monitoring activities and/or in the PERFORMING PARTY becoming ineligibles
for future ceding.
4,5 Not* e of'Special Purpose Mor.torm* g
At least 30 days monitoring g e on as is practicable, the PERF0RM.1NC3
PARTY shall provide written notification to the TCEQ Monitoring, Program and the TCEQ
Regional Of icc of any ,special purpose mon'toring to be performed under the terms of this
contract, Yids notification shall include a(summary report dese ���s�eei�l purpose�o�torin
to he conducted. If the monitoring is anticipated to continue fbr a,period greater than 90 days,
uarterly accuse y audits and biweekly precision checks, In the case of continuous c nito n
shall be porformed.
1,
4. Reporting of Special,Pu ore. o 'to ri ng Data
With quarterly data., the PERFORMING PAR TY shall submit data to TCEQ In a mutually
agreed upon fors-at for speci al purpose monitoring conducted under the terms of this contract. A
sulynnaxy report of monitor'ing, results will he submitted within. 45 days after completion. of
_.. none itol,ng.-_All.air..quality-,data.subm*ttals.sh al:l,be-submitted w.i6in forty five_(45).-days aft er4thc
end of the federal ealendiu quarter, �All air quality data s bmittals shall be aeeo p "ed by the
precision and accuracy reports For applicable ambient onitors that describe the quality of the
data subn tted.
4.7 Notification on.of Clia n es to the Monitoring Network
a,
Page 36 of 141
df;
Contract Name.AmWent Air Monbring-Pans-T hr a Great Contract Number:582-14-40D60
. minima f 9 days prior t proposed modification the PERFORMING �' .RTY's'toring network, the om
I Y shall subnlit a written proposal detailing the
modification, reason for the modification, and projected fi elms for the modification to the
CEQ1 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
Prod ect Representative. TCEQ may modify or waive this notice requirement on a case-by-ease
beam, at its sole discretion.,
IF-
4.8 Annual Monitoring Networ c.Review
On annual bps , the PE A �I G PARTY s all, conduct n � ��� n tor�g network
review by evaluating the adequacy of the existing networ k to meet current state eand 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 P I'Y s all submit to
TCEQ a review and evaluation do!cument with reconu end tions for local networ k
changes.
u
4,82 By April I of each fiscal year, TCEQ shy provide draft of y Proposed
revisions t the PE PW _O NG PARTY s monitoring network for review. The
PERFORMING PARTY shall submit any comments or revisions to TC,EQ withm' 5
worldng days.
4,83 8 y Rdy I of each flscal year, TCEQ shall sub "t ;a fns.l annual monitoring
network an to the EPA. A copy of the final document will be Provided to th
P R. G PARTY.
EU
p 4.8.4 On as ongoing banns, TCEQ will notify the PERFORMING PARTY of EPA.
approved changes to the ir�onitor.ng or .
ol
h
Pro,
Page 37 of 141
J '
Contract Name.Ambient Air Monitodrig Pass-71,hru Grant Contract v m r:582-14-40060
I PRO
GENERAL TERMS AND CONDITION'S
or Cooperative Reimbursement Contract
for State Agencies and Local Governments
C ONTRACT PERIOD
I.I. Contract Period. The ContTact begins on the Effective Date and ends on the Expiration
Date as provided n the Contract Signature Page. If no Effective Dato is provided,,th
Effective Date of the Contract is the date of signature. If no Expiration Date is
Gov
the Exp'ation etc i's august 3 1, o the same Fiscal Year in which the Contract
is signed. The Contract may he renewed for one two-year period by aniendment.
1.2. Amendments. phis Contract is net subject to c mpctltivc 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 exten c Expiration rate for
a period of up, to,90 days. Til-mess otherwise indicated in the applicable,contract
110", arnendnientl 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 f4n s apprcprlated by
the Texas s cis at re or the purposes of this Contract or the respective clam,suit or
obligation, as applicable. Performing Party will ensure that this article is included in any
subcontract it awards.
2.2. Maximum Aut o lzed Re"mbursemn.t. c total m�ount o� t����s provided � "��,
for the Contract will not exceed the amount of the Maximums Authorized Rcimburseme t:
as shown on the Contract S i r ate re Page.
2.3. Fiscal Year Restrictions. W order,to he reimbursed under th Is Contract costs must be
PO incurred during the Contract Period and within the tfine limits applicable to the funds
from which the Contract is being pair.. TC Q is under no obli gation to offer deadline
extensions which extend to the r aximmn availability of the contrast funding source.
2.4. Grants. , this Co tract was entered under the rl°CE 's authority to award ra is TCE
is pr 'ding f6 al assist�cc t the recipient to undertake its own�project,
2 5. No Debt against the State, This Contract is contingent cn the continuing appropriation
of fiends, This Contract shall not he construed to create debt against the State of Teas,
FRI
i
Page 38 of 141
i
Contract Name:Ambient Air Monitoring Pass-Thu Grant Contract Number:582-14.40060
PIP 3, ALLOWABLE COSTS
.�M � ►� des. TCEQ will reimburse the P O .ING "ARTY for
necessary and reasonable Allowable Costs that are incurred and paid b the
PERFORMING AKFY in performance of the Scope of Work as aut r.oriZed by this
Contract in the Cost Budget or Fixed 1'a
3.2. UG S. Allowable Costs are restricted to costs that comply wl�the'r xas U 'fore
Management Sty idards UGMS and appileable state and federal rules and haw. The text
of UGMS is available online at the Comptroller's wel site. The I ai-tree agree that all the
WIP requirements o f the UGMS apply to this Contract, molud the or t ria for Allowable
Cowsts. Additional federal requirements apply if this Contract Is ffinwded, in whole or In
part,with federal ands
4. REIMBURSEMENT
4. . Reimbursement Requests. PERFORMING PARTY shall invoice CEQ to request
ro ►orser r.ont for Its Allowable Costs for performing the S co o of Work.
PERFORMING BART 'S invoice shall confirm to all reimbursement requirements
spooned by CEQ�..
4.2. Conditional Payments. Reimbursements are conditioned on the Scope of Work In
performed i compliance with the Contract. PERFORMING PARTY shall return
payment to,TCEQ for either overpayment or activities undertaken that are not compliant
t t� � of s not l � t �� �any other remedy.I i ii
4.3. No Interest for Delayed Payment. Because the PERFAORMING PARTY is not a vcnd r
of goods and services within the meaning of Texas Government eat b ode Chapter 225 1,no
interest is applicable in the case of late payments.
Release of Claims. Asa condition to final payment or settlement,or both, .rho
PERFORMING ARTY shall execute and deliver to the T CEQ a release f'all clafins
against the TCEQ for payment tinder this Contract.
54 FINANCIAL RECORDS, ACCESS AND AUDITS
5.1. Audit of Funds. "rho 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 P. TY fw1her agrees to ,fully cooperate with the State Auditor's
Office or its successor the conduct of the audit or nvestl at on,includin.g providing all
_. _ ecords_ro uested. __Per-foormin -Pwty..s all cr sr.rre brat-this clause-co oern.-n .the aud.iit.o:"
funds accepted under this Contract is included in any subcontract it awards.
5.2. Financial Records. PERI-L4ORMING PARTY shall estrablisil WWI Maintain financial
records including,records of costs of the Scope ofWork n accordance with enerall%
accepted accounting practices. Upon request PER—FORMING .ARTY shall s ub
in'
records in support o:freimbursement requests. PERFORMING PARTY shall allow
rw
`age 30 of 141
ir.
Contract 'arme:Ambient Air Monitoring-has -Thru Grant Cotract Number:5821-14-40060
J.
access during business hours to its financial records by TCEQ and other stets agencies for
the purpose of inspection wid audit, Financial records regarding this coot"act shy.ll be
retained for a period of three 3 years after date of submission of the final reirnbursement
request.
6J. PERFORMING PARTY's Responsibility for the Scope of Work. P
PARTY-underakes performance of the Scope of Work as its own project and does not
act in any capacity loin behalf of the TCBQ nor as a TCEQ agent or employee.
PERFORMING: ARXY agrees at the Scope of Word is furnished and performed
PERFORMING P FY's sole rise i to the means, methods, design,processes,
procedures c,i . .perfor�ance.
6.2. Independent Contractor., The parties rc that the PERFORMING PARTY is an
independent contractor.Nothing,in this Contract sha creat e gin,employee-employer
relationship� etwcen PERFORMING PARTY Y and TCEQ N� tag n the Contract shall
create a joint venture between TCEQ, and the PERFORMING PARTY.
.
63. PERFORMING P. ��Y's,Resp si ire for S�. a ntractors. All acts and emissions
t o f ubcor tract r , suppliers and other persons and organizations perform g or furnishing
any of the Scope of Work under a direct or ndlrect contract with PERFORMING
PARTY shal .he consider' to he the acts and ornIssl ns of PERFORMING PARTY.
6.4. No Third Party Beneficiary. TCEQl does not assume any duty to exercise any of its
rights and.powers under the Contract for the benefit of'�thlyd parties. Nothing in,this
M' C ntr et shall.create a contractual relationship st eer TCEQ and any of the
PERFORMING PARTY's subcontractors,suppliers or other persons or organizations
with a contractual relationship with the PE-1 FO IG PARTY.
,,
7. TIME
u
7.1. Times of the essence. PERFORMING PAR, y,s timely performance is a material
term of this Contract.
7.2. Delays. Where �PERFORMING P TY s performance l's delayed, except by Force
j enure or act of T'CE ,TCEQ may withhold or suspend reimbursement,to at
the Contract for cause, or enforce any of its other rights ter i-inat on folr convenience
may be effected even in case of Force M eure: or act of TCEQ).
The PERFORMING PARTY shall timely notify TCEQ n writing of any actual, apparent, or potential,
comffiet of interest regarding the PE O - . G PARTY or any related entity or individual. Nolentity
or individual with any actual, apparent, or potential con .et 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
" ` , ut"� s written consent the y .-tmla�teral yen ent, PE
Page 40 of 11
IMF
p
Contract Name:Ambient Xr"Monitoring Pegs-Thru Grant CDntract Number;582-14-4000
PARTY agrees that TCE Q has sole discretion to detennine whether a conflict exlsts, and that a conflict
of interest is grounds for termination for cause.
s
9�. DATA ADD QUALITY
9.1. Quality and Acceptance. All work performed under this Contract must be complete and
satisfactory in the r asona l e judgment off"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 rmed ur er this Contract at involves the
acquisition of environmental data will be per,or ed in accordance with a TCEQ-
ro
approve'.QAPP meet ng all applicable TCEQ and EPA requirements. Environmentai
data includes any nieasu re e is or information that describe environmental processes,
location, o . itions, ecolo ,cal or health sleds and consequences. Environmental data
includes information collected directly from measurements,produced from models, and
f compllerntlr scars such,as databases literature. data collection other
work covered by this requirement will be implemented prior to PERFORMING
P: TY's receipt of the QAPP signed by TCEQ aid, f necessary,the EPA. Without
prcj a ice to any other remedies available l 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 PElUORMLNG PARTY"s failure to meet the terms of the QAPP may result in
t p Q's suspens'on off'associated a t vities and r n relmb�u.rs���A R 0 e�p�r�s�s related to
the associated activities.
�a
9�.3. Laboratory Accreditati ,laratr data or analyses provided under this
Contract must be,pr pared by a laboratory that is accredited by TCEQ according to 3
T
„ was Adnifill"strative Code Chapter 251, subchapters,A and B,unless TCEQ agrees in
f w rl
't'ng to allow one of e regulatory exceptions sp��l�� l � "Teas lnlstrati e
Code Section 25,6.
to. INTELLECTUAL PROPERTY
10.1. Thir "art Intellectual Property. Unless specifically modified,in an amendment or
waived in a unilateral a.��zcnd�.��t,PERFORMING� ��.�� must�htal z slur lntellect al
property licenses exptessly required in the Scope of rk, or incident to the use or
rr
possession of any deliverable wader the Contract. P ERF R- G PARTY shall obtain.
and furnish to TCEQ, locum ntatlon on the use of such'Intellectual p operty, and a
perpetual, irrevocable, enterprise-wise license tea,reproduce,publish, ofi. rwise use,or
moot,y s��c�Intell t. p"`"cp"� t associate d user � n �t� �r,an( o aut,oriz
others to reproduce, publish otherwise use, or inouny such intellectual pr p erty.for
TCEQ non-commercial purposes, and other purposes tie State of Texas.
. »2, Grant of License. PERFORM�G�PARTY rests t TCEQ a nonexclusive,perpetual,
irrevocable,enterpy'se-wide llceu.se to reproduce, publish,modif �►���tl�����ls�use Bor
any non-coininercial" "CEQ purpose any prccxlstin i tcllectual property belonging to the
Ir=
1
Page 41 or 141
lid Con ra Name Ambient Air Monitoring- ass-T ru Grant Contract Number:5182-14-40060
PERFORMING PARTY that is incorporated into any,new works created as pail of the
Scrape of Work, intellectual property created under the Contract, and associated user
documentation.
plr
II. INSURANCE AND INDEMNIFICATION
11.1. Insurance. Unless prohibited by law, the PERFORMING PART shall require its
contractors,to obtain and maintain during the Contract Period adequate insurance
ever .gc sufficient to Protect the PERF RIVING PARTY'and to TCEQ from all claims
and liability for itiju-y to ersons and for dainage to property using from the Contract.
.' �specifically� � �� the TCI Q, sufficient,coverage shall include Workers
Compensation and Employer' Liability Insurance,Ccnm cr clal Automobile I A*a b 111,ty
J
Insurance, and Commercial General L i ab i1i ty Insurance.
L .2w I.ndemnifiv t on. TO THE:MKTE T AUTHORIZED BY LAWJI1E PERFORIVIING
PARTY SHALL REQUIRE ALL CONTRACTORS PERFORMING CONTRACT
' PARTY TO INDEMNLFY, DEFEND,
ACTfVITIES ON BlEHALF OF PERFORMING
AND HOLD HARMLESS T HE TCEQ AND PERFORMING PARTY AND THEE
P"P".LCERS, AND EMPLOYEES, FROM AND AGAINST AL LOSSES,
LIABILITIES, DAMAGES,AN OTHER CLAIMS, OF ANY TYPE,ARISIN ��'�.OM
THE,PERFORMANCE OF CONTRACT ACTIVITIES BY THE CONTRACTOR OR
ITS S UBCONTRA�" , P I � � I + THOSE
ARISING FROM DEFEC'I"IN DESIGN WORKMANSHIP, MATERIALS, OR FROM
INFRINGEMENT OF ANY PATEN[', TRADEMARK OR COPYRIGHT; OR FROM A
REACH OF APPLICABLE LAWS,REGULATIONS, SAFETY STANDARDS OR
DIRECTIVES. THE DEFENSE OF T EQ SHALL BE SUBJECT TO THE
AUTHORITY OF THE OFFICE 'PHE ATTORNEY GENERAL OF TEXAS T
REPRESENT T CEO THIS CONV NA T SURVIVES THE TERMINATION OF
THE-0 CONTRACT.
12. TERNUNATION
12.1. Termination for Cause. TCEQ may,upon providing 10 days' r tten notice and the
�
opportunity to cure to the PERFORMING'PARTY,to ate Contract for cause if
PERFORMING PARTY mater-ably falls to comply with the Contract including y one
or more of the following acts or omissions: nonconforming work,, cr existence f a
conflict of interest. Termination for cause doles not prejudice"I CEQ's other remedies
atitho *zed by this Contract or by law.
-2- x.0 Tc m inafi'lon-for Conven ien cc T"CEQ-n a.y�.- n pr y .- g,.l d-.y ' itten-.notice to .-
the PERFORMING PARTY, terminate this Contract for convenience. Tcrmiliati(..)n shall
not prejudice a other r� 't o remedy� ��� � � I TCEQ or the PERFORMING PAI..TY.
PERFORMING PARTY may request reimbursement for: c nfcrrnhig work and timely,
reasonabte costs dixectly attributable to to " ation. PER14'ORMTNG PARTY shall not
be paid fors work not performed, less of anticipated profits or revenue, consequential
damages or other economic loss arising out of or resulting from file tertxu'xiation.
Fags 42 of 141
%j
Contract Name*Ambient,Air Monitoring-Paiss-Tbru Gran. Contract Number:582,14-40060
12.34 If, aver termination for cause h�y TC Q it is determined that the PERFORMING
PARTY had not materially failed to comply�� ��Contract, � termination hall be
deemed to have been for the convenience TCEQ.
r
13,x. Payment of a Release. Ne't e.r payment byTCEQ nor any ether act or omission other
than an explicit written release,in the form of a unilateral, amendment, constitutes a
f,
release of PER O P AKI'Y from liability under this Contract.
•
. Schedule Remedies available ;e°' ""C accordance�Wirth'Texas Government
Code Chapter 2261 the follow-1119 Schedule ofd Remedies applies to this Contract. ha the
event ofPERFORMING PARTY's nonconformance)TCEQ may do one or more of the
13.2.1. Issue notice of nonconforming performance
13.2.2. Rejectnonconforming performance and request corrections without charge to the
TCE Q
w
13.23. Reject a reiniburse n nt request or suspe nd further payments, or bath,pending
accepted revision of the n nconfori-n ty
131.2.4. Suspend all or Part of the Contract Activities or payments,or both,pending
accepted revision of the n neon tbrmrty
13.,2.5.Demand restitution and reviver prey m s payments where m erfo ce.w
subsequently deter rho d.nonconforming
13.2.6.Terminate the contract without further obligation for pending or fu ther payment
by the TCEQ and receive restitution of previous payments,
3w3. Opportunity to C . The �"ER-FORMING PARTY will have a reasonable opportunity to
cure its noncon.-forrning performance I if possible under to circumstances.
13.4, Ctunu at ve Remedies. Remedies are cumulative;the exercise of any remedy under this
Contract,or applicable law does not preclude or hm t the exercise of y other remedy
available Wi der this Contract or applicable law,
14* SOVERFAGN IMMUNITY
The parties agree that this Contract sloes n.ot waive any sovereign inm-i mty to which either party is
entitled b�y.law.
14.1. Survival al of O . g t un.s. Except where a di cr ent period 's s ec'fied in this Contract or
applicable law, all epreser tat ons inde ilfieations, kind warranties made in, reluired by
or given in accordance with the Contract, as well as all continuing obligations indicated
Page 43 of 141
°u
� Contract Name:Ambient Air Monitoring-Fuss-Thr a Groat Contract Number:682-14-40060
° in the Contract, survive for,dour 4 years beyond the termination or letion;of t
Contract,, or until four years after r the end,of a related proceeding., A relate
proceeding includes any litigation, legal proceeding,permit appl ca ' n 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 inatter f'�t e Contract. Either qty
shall notify the other of any related proceeding if notice of the proceeding has not been
provided directly to that other panty.
15. CONTRACT INTERPRE TATION
15.1. Definitions.The word Include and all fort-as such as"incl�ud "n` g e "Including but
not limited to"'in the Contract mid in documents issued in accordance with the Contract,
such as Work Orders or Proposals for Ch-ant Activities es GAs),
15.2, Headings. The headings of the sections contained this,Contract are for convenience
only and do not control or affect the meaning or construction ofany 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.Sw Postal Service certified or registered mail,return receipt
requested,Notices delivered by other means s are decxned delivered,upon receipt by the
addressee. Routine communications ns ay be made by-first class mail, facsimile.
transmission, email, or rather o n�.erolally accepted means"
15.4. Interpretation of Time. All days are calendar days unless stated otherwise.ise. Day, 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 i•funeral holiday, it is omitted from the
computation.
1 15.5. State,Federal Caen t his Contract is governed by, and interpreted under the laws of the
State of Texas, as well as applicable federal law.
15.6. Sev era ility. If any provision of this Conti-ant is found by any court, tribunal or
adrx in'strative bred o competer�t� �ri�dieti�r�t�be�l�ell�or ��tly illegal,invalid, yid
or unenforoeaMe7 it shall be deemed severable to the extent of such illuegal.ity, invalidity
or unen. arceability and the remaining part of the provision and the rest of the provisions
of this Contract shall continue in l force and effect. If possible)the severed provision
shall be deemed to have been replaced by a valid pro-vision,having as near are effect to
that intended by the severed provision as will be legal and enforceable.
15-7,, ssig ment. No delegation of the obligations,rights,or interests in the Contract, and no
__. .-assignment f pa -ents-- y'P F . . G--PA TY will l e...bintlin� on- 'C-EQ 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 1 inn. Pe rwio rmed Travis
in
County,Texas,because this Contract has been,performed or an "ste r
id, or both, it
Page 44 of 141
Contract Name.,Ambient Ar N' onitadr -Pass-Thy U Grant Contract Number:582-14-40�0 0
Travis County Texas, The PER-FORMING PAXrY agrees that any cause of action
involving this Contract arises solar n Trav s County,Texas.
r
15.9. Publication. PERFORMING PARTY area to notj'fy TCEQ five Sys prior to the
publication or dvertiser ent f in rmat'on ~elated:t this Contract. �
R.FORM
P' TY 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. Wai r'. With the excepti n ofan express,, written waiver in the form of unilateral
amendment signed by"rCEQ,no act or omissionwill
MERE. PARTY's obfig flon to perf'orin confol-��in Contract Activities,
JU
waiver,on one occasion, whether expresses or implied, shall be,construed as a waiver on
any gather occasion.
1
15.11. Co mae with aws. TCEQ relies n P O :I� �"Y t per�"o��rn all
Contract Activities in conforini"'ty with all applicable laws, regulations, and r ies and
obtain all necessary p n l:ts,and licenses.
15.12. Counterparts. This Contract may be signed in any number of copies. Each copy when
silted is deemed an origin.l and each copy constitutes one M d the same Contract.
15.13. Access,ibility. All electronic. content and documents created as deliverables under this
For Contract must Meet the accessibility standards presc ibe
din l Texas Administrative Code
sections 206.50 and 213 for state agency web pages,wed content, software,and
hardware, unless TCEQ agrees that exceptions or exemptions apply.
PIPJ
Page 46 of"141
1 Contract Name,Ambient Air Monitoring- "ass-T 'r a Grant Contract Number:582.14,40060
"et
u0st rpudg
Cooperative Rel"'mbursement Contract
:for,State Agencies and Local Governments
.Budget. Authorized a .geted expends es,for work perfortnedin fiscal ycax 2,014 arc as follows:
Midget CRfegory Cost for Work to be Performed
Salary Wages $541746.56
J' Pena tenet $207054.
Travel $800.00
Supplies $444.07
Eqp l rn nt $0.
Contractual $0.00
Construction $0.00
i
thee, $]"1 1355.00
Other Thh• ate to $0.010
In�'1 rest Costs $1 6,067.. _._...
Total s 1 31467.00
o
TCEQ Beare $1031467.00.
Grantee Cost Share $50,961.00
TOTAL COSTS 515141428.0
The funds,budgeted by category reflect the T'C Q Shire of the contract. The local match rate is thirty
three percent 33% mid t c � c�cra share re resents sixty seven percent 67%.
u rea Cost Reimbursable Rate. The reimbursable rate for this Contract is 21.48 %of c lad:
one).
salary and fringe benefits
E] inodiflied total direct costs
p other direct costs base
If other direct cast base identify.
This rate is less than or equal to(check one):
moved pre ete t-pined rate
experienced-based predetermined rate
Ej default rate
PIP
Page 46 of 141
Contract me:,Ambient Air Monitoring-Pass-Thru Grant Contract Number:582-14-40060
.
'ter. �: lid Category �.� ��greater than��� o
thr. budget tot .l "
p
the main constituents
WNP
d
Budget Categories. The Budget Categories above have the definitions,reqwreinents mid 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 he reimbursed must be at or less
than the total specified, All invoices must be submitted in a format that clealrly 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 ofbudget projected to be spent.
Invoice Submittal. Unless otherwise stipulated in the Contract, Invoices Must he submitted,to the
individual named in TCEQ Project representatives and Records:location at quarterly intervals.
Final invoices shall he su.bmitled within one 1) calendar nionth after completing the Scope of
J Wog-k activities. TCEQ may extend this deadline b unilateral contract agreement
Grant Cha r e acl.Invoices. In the case of an invoice for grant ac' vit.ies being paid during e second
;fiscal year for hich the l ds were appropriated, ALL l OICES MUST BE SLIBMITTED1 IN
S IC NT TIME FOR TCEQ V NECESSARY SSAR CORREC71ONSP TCEQ
AND SUBSEQUENT PRESENTATION TO THE COMPTROLLER ER B {FORE TIJE END OF THE
r, FISCAL YEAR.
"ravel, in order o be reimbursable,ti costs must be sped icall ��utl�ori�ed advance of the
travel.. Travel costs, Includig,per diem, will he 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* PERFORMLNG PARTY shall submit records and doournentation to TCEQ as
appropriate for the review and approval of reirntmrsing costs. TCEQ nab reject invoices without
appropriate supporting docwne:ntation TCEQ has the right to request additional documentation.
PERFORMING PARTY shall maintain records subject to the ter ms of this Contract.
Indirect Costs. PERFORMING PARTY'S indirect costs mill 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 he less than or equal to the rate authorized unde•UG S. To
the extent that the reimbursable r(.te is lower than PERFORMING PA TY'S actual indirect casts,
PERFORMING,PAR 111 is con-U-ibuting its unrei biused indirect costs to the successful
performance off'this Contract, and waives any right it may have to reimbursement of those costs i
this Contract re u-ires matching fti ds, PE ." G PARTY may cla.hn its un-reimbursed :direct
costs as art or all.of its match).
Indirect Rates Authorized under UGMS. Thefollowing rates are au thori zed under LJG MS
"P Approved Predetermined Rate_ .. w
An approved predetermined, ate is an indirect cost rate agreed to
c
within the preceding 2 months 'n a signed indirect rate negotiation a ree ent with th.c �� licable
federal cognizant agency, state single audit coordinating agency,ma or state funding agency,or
another state agency designated by the Govern. An approved predetermined rate shall be
ercenta e o the direct cost base s eci: ed in the signed indirect rate negotiation
exl�xess ed P - p
agreement.
Page 47 of 141
�} Contract Name:Amba ent Air Moritoring- '"ass-Thrul G�ra� t Contract Number:582-14-40060
Experience-Based Predetermined Rate. An experienced-based predetermined rate is an indirect cost
rate agreed to between TCEQ and PERFO WM- G PARTY where there:s no approved
redetermined rate awe.d there is sufficient cost experience and ether pertinent facts to enable the
parties to rcacfa an f rmed judgment a as to the Probable I.evel of indirect costs M'
' -n d ri g t e PERFORMING PARTY'S prc�ta t ofthe Contract, covered by the negotiated rate,
and h that the arrio nt allowable under that rate would not exceed actual indirect ,its. An
expert eiice-based predetermined rate shall expressed as a percentage of either(a)sa1w.-y an
wages, or b)modified total direct costs, Modified total direct costs are total direct costs less
"extraordinary or distorting expenditures,"usually capital expenditures, su a arils, contracts,
assistance payments r es an d provider payinents. The direct cost base selected
should result in the fair di trio-ut cn,of indirect costs among all state and federal grants and contracts
affecte , as well other PE OR G PANTY activities that share in teindirect costs.
:default Rate. A default gate is an indirect of ten percent % of direct salaTy and wages,to be used
where(a)there i no approved or ex comer c�_� arc Pre�ctc�•ani�r cd�rata,� (b), �e P�,RFO��
PARTY represents that 'Its actual indirect costs equal
or cxccc ..,c erccnt 1 0�',1%' of salary mi ..
Inge,
Afflustm�ent rid r ct Rates., A re'rnbursabie,rate�� intended t he final. PERFORM G 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 upwar d.
adjustment of its indirect rate, and agrees to contribute any such increase to the successful
performance of this Contract if matching ds are red wired,PERFORMfNG PARTY may claim
such costs as all or p art of its match)l, TCEQ1 waives any right may have to a downward
adjiust=nt ofPERFO MINE PARTY'S indirect rate, unless,the reimbursable rate is greater than
tb.c PERFORA�1G PARTY'S act-Lial Indirect costs. If the latter case if reasonably feasible a
compensating a ust ent shall.be carried forward to thi s Con Tact or a future contract. If"not
feasible,where permitted bly law TCEQ and PERFORMING PAR.":Y may identify additional
services to be performed by PERFORMING PARW as a compensating adjustment, or
PERFO RMING PARTY shall reimburse TCEQ the excess 'Indirect costs Paid.
P
p
�l
l
Page 48 of 141
i
Contract Name-Ambient Air Monitoring-Peas-T rug Grant Contract Number.582-14-40060
s
NOTICES PROJECT REPRESENTATIVES D RECORDS LOCATION
ij
CONTRACT NO, 58244-40060
PROJEC T"I"ITLE: AMBIENT AID.MONITORING-
ASS
a
Representatives.The indl ldual a narned below are the representatives of TCEQ and Performing Party. '11hey arc
authorized to live and receive communications nications aid directions on behalf of the TCEQ and the Perfbrn-ing,Patty cis
indicated below. Al communications in. lu din official contract a bees must be addressed to the appropriate
represe ntative or his or tier designee.
Changes in Representatives. Either party may change its repTesontative by unilateral amendment.
1,
TCFIQ Represcntati es
TCF, CONTRACT MANAGER TCFQ PROJECT MANAGER
(for Contractual Matters) (for Tech ncal Matters)
Max Hernandez Stci)haranic Ma
Contract Manager Network oord nator
'Title 'T`ltie
Texas C miissiion on Environmental uallty Texas Commission on Environmental Quality
P.O.Box 13087 P.O.Box 13087
MC-165 MC-165
Austin,Texas 78711-3087 Austin,Texas 11-308
Telephone No.(512)239-0461 Telephone N , 512 2396256
Facsiinlc No.(5 12)239-1605 Facsi " c No.(512)239-1605
Perforn-ting Party Representatives.
i
For Contractual Matters For Technical Matters
T.C.Michael Tl.,C.Michael
Pr `cct Cana cr Same as Contractual Matters
Title Title
p, City of Fort Worth,Transportation and
Public Works Department Telephone No.
Environ mental Management Ilivis1011 Facsimile No.
320 Vast Jefferson,Room LL1` 1. tt0
f�r�cl��rt�r Street
Fort Worth,,,TX 76102- 11rTeicpw zone No.
81-7/392-5455
Facsimile No.817/392-6359
Invoice Sti rauittal, 1h olccs must be submitted to the TCEQ Conti-act Manager,unless anot.h r recipient is ldcntifi
below:
4„ TCEQ Project Manager El TCEQ Disbursements Scctlon/ +ether:
e
Designated Location for Records Access and Review. r ac Performing Pat designates the physical location
indicated below for record access and review puursmant to any applicable provision ision of this Contract:
City State ZIP)
Page 49 at 141
7 ,
Contract Naas:Am,blen,t Alr Monitoring-Pass's hr a Grant Coats t Number;682-14-40060
A"TACH-rMENTS
M,,,
D"w
MR,
Page 50 of 141
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Page 51 of 141
7P A7 � ,. AIR' ��
n
Contract N Ambient Air Mori or n Pass-Thru Grant Contract umber:582-14,-40060
I FOR c WORD
,.,he U.S. Envirortmental.Protection Agency EPA has developed the Quality
Management Plan s a means of documenting how ergam* t' ' 1 plan,implement, and
assess the effectiveness of Its quality a������cc �r� its control operations applied to
environinental programs. The process of pl g,,,I men: d assessing these
management systems is called quality management and the product of this process is called the
Qual t System. The Qual ty Management Plan s pai of the r�a�mandatory Ag nc;�-w d Quality.
System that re a rc8 all organizations perfor1_D wore for EPA to develop any operate
Pro management processes and structures for ass-ur g that data or or ati n collected are of the
needed and expected quality for their c es].re .use.
This doc neat provides the development and content rq " e eats for Quality
Management Plans for orgam'zations 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 anual br Environmental Programs, for EPA organizations,
This document is one of the 1.S. Environmental onmental Protection Agency Quality Systair Series,
documents. These documents describe the SPA mpc c es and procedures for fanning,
im ,p e e t� a as�e the e T v ess o the Quality Systems. Questions regarding "s
document or other Quality System Series documents should be directed to the Quality Staff-.
U.S. EPA
Quality Staff(2811,R.
1 Washington, DC 20460
(202) 564-6830
(202) 565-2441
-rnal - qual'ty epa. v
:epics of EPA Quality System Seri s documents may he obtained from the Quality staff directly
or by downloading them m its Homc Page:
www.epa.gov/quality
f
Final
A QA/R-2 Majrch 2001
PIP
1
Page 53 of 141
Contract Naas. Ambient Air Monitoring-Pass-Thru Grant Contract Number.582-14-40060
ACKNOWLEDGMENTS
p; This document reflects the collaborative e orts or in&ny q-uality management professionals
nals
who participate in the challenge for continual " rovcanent in quality systems supporting
enviromnental programs. These individuals, representing the EPA,, other Federal agencies, State
and local govern nents, and private industry,reflect a diverse and broad range of needs and
experiences in environmental data collection r gr s. Their contributions and to
comprehensive reviews during the development of this document are greatly appreciated.
PF
Final
� � � aj 2001
POR
Page 54 of 141
Contract Narne.,Arnbient Air Monitoring-Pass-Thru Grant Contract Number:582-14-40060
TABLE OF; CONTENTS
P
CHAPTERI. INTRODUCTION
1.1 BACKGROUND . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I
1.2 QUALITY MANAGEMENT PLANS,THE EPA QUALITY SYSTEK AND
ANSI/ASQCE4-1994
1.3 THE GRADED APPROACH AND THE EPA Q ALITY SYS EM
1.4 INTENDED AUDIENCE .' . 1 • 000 * . Do Boom & A # . . $ ., 4
1"M
1.5 PERIOD OF APPLICABILITY . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . 4
1.61 ADDITIONAL RESOURCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . r IN
1,7 SUPERSESSION . . . . . . . .I . . . . . . i. . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . 4
CHAPTER 2. QUALITY MANAGEMENT PLAN REQUA REIVIENTS . . . 15
2.1 POLICY . . . . . . .' . 0 opo 0 . 1 * . 00 04 40 . f 0 . 14 A so oo . o vo . . A . , 5
2.2 PURPOSE . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2.3 APPLICABILITY' . . . . . . . . . . i. . . . . . . . i. . . . . . . . . . . . . . 5
2.4 GENERAL CONTENT AND DETAIL REQUIREMENTS - 0 6 # # * - * o # a & 4 . 5
2.4,1 General Content . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2.4.2 Level of Detail . . . . . . . . . . . . . . . . . r. 6
2.5 QUALITY MANAGE N/IENT PLAN'p REPARATION 6
"M 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 CONTENTREQUIREMENTS 9
3.2 MANAGS M .NT AND ORGANIZATION . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
3.4 PERSONNEL QUA LIFICATION AND TRAINING 0 w 0 V .. . 4 * 0 4 12
3.5 PROCUREMENT OF 1TEMSAND SERVICES . . . . . . . . . . . . . . . 12
33.6 DOCUM.'EiNTS AND RECORDS . . . . . . . .. • 61 6 4 1 0 0 • 9 . 0 0 0 V . , # V . 1 1 3:
" AND SOFTWARE . . . . . . . . . . . . . . . . . . . . . 4
.7 COMPUTER HARDWARE
0 0 d * a * 4 a . 0 3 1 w •0 0 * I - 4 0 •- 9 a 15
3.81 PLANNING . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.9 IMPLEMENTAT ION OF WORK PROCESS,ES . . . . . . . . . . . . . . . . . . . . . . .. 16
3.10 ASSESSMENT AND RESPONSE . . . . . .. . too 1 00 ' . 04 . 0 06 # 0040 17
3.11 QUALITY IMPROVEMENT q 0 . 1. j 0 6 A 4 * 18
REFERENCES . 0 1k p 0, w 0 assess ,tv * too 0 * 60 * 66 * 1, 60 ,0 PIN006 # 19
E
APPENDIX A T E1RM- 'S-AND--D cFINITIONS
Final
March 2001
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(',FMs,page hw been use -cu k intentionally.),
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CHAPTER
INTRODUCTION
p
1.1. BACKGROUND
The U.S Environmental Protection Agency(EPA)annually spends several .undred
m*Ili n dollars the collection of env'o enta data for scientific research d regulatory
decision making. In addition, non-EPA organizations may spend as much as an order of
PP magnitude more each year to resporu.d to Agency re uire men s. Furthermore, as EPA.is
increasingly involved the use c environmental technology for pollution control and rite
clean-up,the use of particular technologies is often specified in ex its any regulations, If
decision once . q i� environmental d to used to
. .
makers � �� �necessary confidence
support their decisions or treat environmental technology successfully performed its intended role,
there must be a structured process for quality in place.
A stnietu.red stem that describes the policies and procedures for ensuring that work
processes,products, car s foes satisfy stated expectations or eel�e��ens is called� �� �i
systems.. All ergaru zatio .s conducting environmental progna .s fm ded by EPA are required to
establish and implement a quality system. EPA organizations are reel 'red to document their
cult system� a uality uu Bement " an through EPA Order 536 .:A2,,Policy and
Program.fie a em s, the Mandy y. ,den Quality-wide System (EPA 2000). Non-E 'A
organ:iz tions ended y EPA are required to do cement their quality system in a Quality
Management Plan(or equivalent document ' through:
:
8 C':FR 46, for contractors;
CFR 30, 3 1, and 35 for assistance agreement recipients; and
WF
ether mechanisms,such gas consent agreements In enforcement actions,
.a Quality Management Plan documents yew an organization structures its quality system
and describes its quality p licles and procedures, criterla for and areas of application, and roles,
responsibilities,es, and authorities, It also describes an ergarax .tion's policies and procedures for
imp ement g and assessing the effectiveness of the quality system. This document describes the
elements of quality system t must be.dec uriented M' a Quat'
ty Mc a, einent Plan to comp
v lth EPA. req a irements.
r equivalent docunient may not be called a Quality Mwiage gent Plan but still would document an
organization's quality system and,address the required quality manag inn t practices described hi this document.
"f Final.
PA QA/R-,2 March 2001
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lk, Contract N rrie:Ambient Ar Monitoring-Pass-'Thru Grant Contract Number:582-14-40060
This requirements document presents specifioatio s and instructions for the i:nfor nati n
that must be contained in a Quality Management organizations
programs forded by EPA.. The document also:discusses the procedures for review, approval,
implementation, and revision of Quality Management Plans. Users of this docunent should
assume that all of the elements described herein are required in a Quality Management Plan mess
otherwise directed by EPA.
1.2 QUALITY MANAGEMENT PL NS THE EPA QUALITY SYSTEM,
AND ANSTASQC E4-1994
PF
EPA Order 5360.1 A2 and,the applicable Federal regulations ere above) establish a
mandatory Quailty System that applies to all EPA organizations and organizations,that are ftinded
IR, by EPA, Components of this system are illustrated in Fig= 1. Organizations must ens ure that
data collected for characterization of environmental processes and conditions are of the
appropriate type and quality for them~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 tic EPA Quality
System as shown in Figure 1
EPA poilley is based on the national consensus standard, NS ASQC E4-19,943
n �r Environmental "� �� � �� 'S eel cans and Gui i
Technology Frogs nts, The ANSFASQC E:4-1994 standard describes the necessary management
ement
d technical elements for developing d implementing a quality s stei ��� i ,t�dard
recommends sm�a tiered approach to a qua it r:�rstcrn. �e standard reco �er�ds���s►t
documenting each organization-wide quality system in a Quality anagement Pan or Quality
Manual(to,address r q iements of Part A:Management S ste my olf the standard)" -ld then
documenting the applicability of the quality system to tee 'cal activity-s �ecific cff�rts a
Quality Assurance Project elan QA Project Plan)or similar docent(to address the
requirements of Part B.- Collection and Ef valuation of'Environmental Date, of the standard).
EPA.has adopted this tiered approach for its n date Agen. -wide Quality� �st��. �"�is
document addresses Part A requIren en.ts of the standard.
The Qwdity Management Plan may he viewed as the 'umbrella' document under which
individual projects are conducted.. The Quality Management Pian is then supported by project-
specific QA Project Plans. A QA Project flan is the blue r' t by which individual projects
involving environmental dataare implemented and assessed and h. w specific quality assurance
(Q'A) and guilty control C activities will he applied du�z g a p'ai icular project. EPA
requirements fog-QA Project Plans are defined in..EPA Requirementsfor Quality Assurance
Project s AIR 5 PA 20 1). In some cases, a QA Pr 'eet Flan anal.a Quality
1
Management flan may he combined into a smgie document that,c ntai:ns bcth organizationaland.
rouctspeefflczlements The-QA7ManaperfoT-th-e EPA" 011at
the authority to determine when a single doewnent is applicable and will define the content
requirements of such a document.
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/j
A tI�'■'.8 i1ASQC E41
180 9000 Series
E&erngf-Pok l
EPA Carr�� ... ..... Contracts_ 8 Cl 46
0 EPA Manual 5360 Assistance
40 CAF R 80,3t,and 85
FRI
EPA lr+agrarra
Regional policy
9
Quality System
Documentation
e#g,,am
0
W
Supporting System Elements Train Ing/Commu ni cation
(e,g,,Procurements, ,g,,Training Plan,
Computer I'laar l'w rar/Sa w are) Conferences)
z
Annual Review Systems and Planning Assessments
S tic ystenna Conduct Study/ ,. Data Verafction
Planning
Experiment Validation
xV
Standard Technical 11) OA
Data Quality
" er�tin g Pr►j ct Plan Procedures
ne 0.
PLANNING Op IMPLEMENTATION flo ASSESSMENT
Defensible Pr c s and Decisions
r gure I. EPA y ality System Coniponents and Tools
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3 THE GRADED APPROACH 'I" A QUAIATY SYSTEM
� � �� � � �� approach,
mplem a r "the P l
This pTinc,lple recogni7eS that a 'one size fits all approach quality requirements will nit work.
-ganization as diverse as EPA so manager'all controls are ap,pl'ed according to,the scol le of
in an oj
the program n s r theintended use of the outputs from a process. For example,
expectatioms of a f un. marital research r r m are different fry that of a regulatory compliance
program ec s e the.purpose or intended use of the data s different. Apps i' . a rade approach
means that quality systems for different organizations and pillogrmns,will varly according w e
specific obj 7 s and needs of the organization. fic application of the graded approach
prricie Quality creme Plans 's escr n S clon 2.4.2,
"W" 1.4 INTENDED AUDIENCE
This document s eo. es the requirements tints for developu"ig a Quality Management Plan for
organizations a conduct environmental ata operations funded by EPA fluough contracts,
fimmcial assistance agreements, and interagency ree e ., EPA organizations may,also use
document eve of 1 th r Quality .Plans since the document clearer,and ore
er ffien 'than the equivalent requirements defined in,Slection 3.3 of SPA Order 53160
(EPA 2000), The EPA Quiv-Manualfior E invirlonmental Programs internal policy
document). However, the preparation,submiss lion,review, and approval
organizations r still contained, n Section 3.2 o'FJ1') Order 5360 , as these represent ffiternal
A polio
PERIOD OF APPLICABILITY
bis document steal I be valid,for a period of tip to, five years (m the of ic'al date of
publication. .er fiive yeals,it shall e r reissued without change, ev.se , or withdrawn
from ty cyst
ADDITIONAL RESOURCES
EPA.has .sued ,checklist for revue . Quality� Management� �� �� ��� ���to
Berl y if t � � ents defined in this,document are siatisfied. This checks i's available one the
Quality Staff e isi e, www.,cpa.gov/quall*ty/tools-org,htn�l#qmp.
10,71 SUPERSESSION
This curn(v replaces Q - /80 Interim Guidelines a d Speclij!'cat omfor
Preparing Quality Assurance Progranz.Plans 19 80) its entirety.
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CHAPTER 2,
QUALITY MANAGEMENT PLAN REQUIRE ME.' T S
2.1 POLICY
Quality systems supporting envirolimental programs involVng cnvlronl nental data or
technology conducted by EPA ergamzat ons or by ergam*zatlons funds by EPA shall he covered
by an Agency-approved Quality Management Filar...
Y ,
2.2 PURPOSE
Quality g management tool that documents an organization's
quality system for play , L"mpleiner t rr documenting,, d assessing the effectiveness of
activities supporting enviromnental data operations and other e.n lrorrrnental programs. The
Quality Management Pan is used to dcm, onstrate conformance to Rol A requirements of
SI AS C E4-1994.
2.3 APPLICABILITY
These requ,"remen.ts ably tc all � � ions,cond���;t n environmental. �ental fro ams funded
by EPA that acquire, generate,compile, oil use environmental data and technology. These
requirements apply to all� performed� � e contracts, cooperative agreements, cetera.
agreements, State-EPA agreements,, Statel local and Tribal Fnall6al Ass'stants/Grants,(I eluding
Pere anee a,rtners p Grants and Agreements), Research Grants, and `i response to statutory
or regulatory requirements and consent agreements,, These requirements shall'be negotiated into
interagency agreements,ents, including sub-agreements, and, In some cases, ffieluded in enforcement
consent agreements and orders. Where specific Federal regulations re ul.re the application of QA
9
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 e):pllcltly
superseded by regulation,
FRI
2.4 GENERAL CONTENT AND DETAIL Q
2.4.1 General Content
The Quality Management Plan documents the quality management practices which are
critical to a quality syste . Specific Quality Manag ement Plan content reqturrements are desc lbe
�'
in Chapter 3. Each organization,should evaluate these requirements fog applicability to their
quality syste m. Where a particular element is not relevant, an explanation of why It is not relevant
e provided --M -Plan. Alpo, the Q ality- ana efnd t Plaii
pre parer or EPA organization s onsorring the work determines that additional quality manager ent
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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 ManagementPlan should describe a Quality System that is designed to
support the o ectives of to organization. The level of effort expended to develop a Quality
Management Plan should _e 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 sigru'f cant inn a.cts 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 ent places can QA
an(] QC activities, the establisnea quality policies and procedures, and their respective quality-
related roles an
res onsil ilitics. The Quality Ma ago ent Plan roust be written so that an
assessment of the suitability and effectiveness of the orga ati"on's quality systern can be
aocom l'shed. Such assessments will enable management to determine 'f the quality system meets
the needs of the organization. The Quality Management Man 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�s ►�a ro�ria,te authorities and r-espo ibiliti: or managers d staff.
2,5 QUALITY MANAGEMENT PLAN PRE PARA TON
An o'r "nation's seni or manager is responsible for assuring the preparation of'a Quality
Management Plan to cover all environmental pro rains srkpported or undertaken by the
organization. Senior management,i.e., the executives are r�tartagers who are responsible and
accountable for mission accomplishment and overall operations of the organization,is responsible
for ensuring that the Quality Mwiagement Flan is prepared and that the quality system
!' docuanorrted i:r the Quality Mmiagement Phan satisfies all EPA pulicy requirements and meets all.
statutory, contractual and assistance agreement requirements for EPA work.
While.server management rs responsible f�t�the l�r'e�a�'atrorr of Qual'ty r Management
Plan, the actual preparation may be assigned to the organization's staff so long as it is assured that
all managers,support fl-ie effort; for example, the preparation of the Quality Management Plan may
be directed by the QA Manager of the organization. However, It is e seltial that all maria ement
levels understand fully the content of he Quality Management Plan and concur with its
implementation.
5 e I pre ar�a,flon,seb m s o ,review and approval requirements Foy"EPA " �����1����� � contained" " "ned ire
SectIon 3.2 of EPA Order 5 Al (EPA 2000)as these represent internal EPA policy.
h
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16 QUALITY MANAGEMENT PLAN S BMISSIO AND APPROVAL
.
The Quality Management plan must be approved and signed by the senior management of
1,, the rganization, This will certify that the organization has,conducted an internal review of the
-nt Plan and that management has concurred with its,contents.
Quality Managerne
When a Quality Management Plan �required either statue contractual requirement,or
assistance agreement condition,, the Quality Management plan must he 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 assig,mnent manager, or
delivery order pr ect office), the award official, and the EPA QA Manager, For example,the
reel e . approval of a State Quality Management Flan that has been submitted as pat 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 gevenunents or the length of the extramural agreement ement for all other
extramural agreement holders. The period for whi h�a Quafity anagem nt Pia s,valid is
defmcd in the Quality Management Plan of the EPA organization sponsoring, t the work.
2.7 QUALITY MANAGEMENT PLAN RE VISIONS
Each organization shall review its Quality Management plan at least annually to reconf.,u
the e to Rit r and effectiveness of the approved q�al'ty management practices. The process of'
devieloping,,ruinually reviewing, and revising, as needed)the Quality Management Plan provides
an opportunity for man.a. emient and staff to clarify roles and responsibilities, address problem
areas, wid institutionalize improvements. Having an accurate Quality Management Plan at all
times is an essential element u*i every quality,systeun,tL s changes in QA pohey acid procedures
shall he documented in the Quality M n Management plan a timely f
g ast on .
r
In general, a copy of any Quality Management Plan.revision(s) made dur' g the year
should he subitnitted to EPA as a report when such changes occur. However, if significant
changes have been made t the q ualit s stem.that affect the p►er�formcaace of work for the
Agency,it may he necessary to re-submit the entire Quality Management Plan to EPA for re
-
4: approval. Conditions requiu-ing � e revision f" approved Quality�'lana.geunent l ` elude.
expiration of the five-year life span of the('hiality Management Plan
PF major changes in mission and responsibilities, such as changes in the delegation
status of a program;
re-organization of existing etlons that affect p7rog,rau ns covered by the Quality
dh s re
assessment f� g q g co��u��ct�ve actions and response.
t inza
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Contract Names e Ambient Air Monitoring Pass-T r grant Contract Number 582-14-40060
All appropriate personnel in the orgy t o p r o mn� covered ���� �of the
ial ty Management Plan shall be tiotified of changes to to quality system and the Quality
Management plan to keep them informed of the current regiirements. This practice should also
RI include active sub-contractors for retevant work-.
c,
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CHAPTER 3
QUALITY MANAGEMENT PLAN ELEMENTS
3.1 CONTENT REQUIREMENTS
he Quality Management Plan documents management practices,lnclu frig QA and QC
ti ties,used to ensure that the results of technical work are of the type and quality n for
their intended use. Accordingly, e QuWlty Management Flan documents:
the n i quality policy z ^�
IMP the specific vales, authorities,and responsibilities of a ag ent and staff with
respect to QA and QC activities;
t
the means by whi"ch effiectx e communications with pe s nnel actually performing
the work are assured;
the processes used to plan, � rlcmcnt, and assess the work per'or-nom.;
e r cess y which me .sue s o effectiveness� � � QC tl�ltl�s will be
established and how 1.-re ently effectiveness will be measured; and
the continual i provement based on_lessons learned from previous,ie;�perience.
The Quality Managemeut Plan reflects the organization's commitment to quality management
principles an practices,tailored,when approp rate, y senior 1�any ���nt t�meet the
orgy *.ratl n.'s needs.
The elements t ,� in Qual'ty Management l.ud . management and
organization; quality y spy stems description-, personnel qualifications and m' m' g- procurement of
items and services documentation and records i computer hardware and software,planning,*
i plel cnt tien 1 processes, assessment res �� and quality improvement. Specific
re ukeme- is for each of these elements are describedbelow in Secfions 3.2 through 31.11. Items
N, specific toQuality Management Flans developed by FPA organizations-Lm der EPA Order 5360.1
Ana e�c�t l l�s�' Organizations funded h A2 (EPA 20010) are noted y"EP Qualit
o not have to address these EPA-specific items.
e era le but not necessary, that the Quality:��r�age ent Man address the
It is f
spec�cat"ons the same order as presented below to ensure un'formity and a consistent and
c ob:-iP ere--'' w1� ne st
these topics, it should not be rewtitten simply to cenfonm to the outline provided lure.
F in aI
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3.2 MAN GEM 'NT AND G IZATIO
Purpose_ To document the overall policy, scope, applicability, and inanagememt responsibilities
1,
of the organization's quality system.
Specifications--Provide the following:
an approval page for the signatures attires o the or `zati n's m anagement and Q!A
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. . For SPA Quality Management Plans', the approval page
I shall contain the signatures of the organization's senior manager,, senior line
management(as appropriate), the QA Manager,the Director of the Quality Star",
and the Assistant.A brim' teat r of the Office of Enviroiunental Information,
a statement of the organization's ation's policy on quality assurance, including-,the . zati �n why,
IIII importance� activities to rgar
the general objectives and goals of the quality system, and
the policy for ource allocation s the duality system
Management Plans rust discuss porsoiuLel, intramural and extramural
funding, and travel resources)-
an organization chart that i entiFios all of the components of the organization axed,
in particular, the orgal�zatio al.position and linos of reporting for the QA Manager
(or sim*lar position such as a Quality Manager) and any QA staff
a.discussion of the a r l oriti s of the QA Manager and any other QA staff that also:
vrr
Or
documents the organizational Independence of the QA Manager frow
groups generating, c mpili gig, and evaluating envirom—n.cntal data., a d
indicates how t� am atimo�will ensure that QA personnel will have
access to the appropriate levels of ma lagcment in order to plan, assess, and
improve the orb z ation's quality system;
a discussion,of fc tcchmcal activities or progranis that are supported by the
quality system including-.
the specific programs that require quality management controls
i
i
30i-ganizations furided by EPA do tint have to,Areas these EPA-specific c 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 yA and QC activities among the
group's organizational units needs to occur
a.discussion of how management will assure that applicable elements of to quality
system are-u derstood d implemented In all en
4, o �ental program-, and
a discussion off`the�e or �zat o �goe s for resolving � tee re ar�n�quality
system requirements, Q�A and QC procedures, assessments,or corrective actions
(requirement for EPA Quality management Pans only)
11"M 33 QUALITY SYSTEM COMPONENTS
Purpose To deuument how an organization manages its quality system and defames the prilnar
responsibilities for mariagingi and implementing each
Speciffications Provide the following:
a escript o 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 timited to.-
-
quality system documenta.tio l
annual reviews and plfflmig
r
management assessments
training
- systematic plan nzg of projects
- ect sp i s quality documentation
project and data assessments;
a list of.five tools for finplementing each component of the quality system These
tools include, but are not i t d t
Quality Mana ement Plans(quality system documentati
- Qua]ity Systems Audits(management assessments),
V„ -
Training. la ns(training)
-
QA Project Play.(piroj e ct-specifc quality docu entation ?
.. at a,Verification and Validation(data assessments);
�4
Fins.
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I,
a list of any component of the org "nation.t at develop+ ua y M ageme at
""lan, or egw*valent document) In support of to organization's Quality System
and the review and approval procedures for such documentation- and
a disc a ssion.of Dow roles and res .s it s for�e 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 assure"g that all personnel performing work for an
organization have the necessary skills to effectively a000mplis their work.
p�+ + 'f cation -- ro ud.e following:
ollow n.,g:
`17" a statement of the policy regarding tryOng for management and staff
r
a d.esori'ptlon of t he process(es), including the roles, res-ponsibilities, an aunt .or t es
of management and staff, for
dend fy Ong, ens mg and doeuu-.enting that personnel have and ma,inta,
the appropriate k g . -y., regulatory,professional or
other certifications, aocredtutat ons, lieenseS,or other formal qualification
necessary, and
u i entify.ing the need for retraining based on changing requl.re en.ts*
3.5 PROCURE ME E NT of ITEMS AND SERVICES
Purpose—To o d oe eat the procedures uro for purchased lto and er i e� -h t directly affect tie
quality of en ironnienW programs.
1
Specifications
Describe or reference the process es , fneluudinj);the roles, respon.sl llltles,and au.°t of ides
ofnianagement and sta-11 pertaining to all appropriate proo�.urement doewnenAts our extramural
i
agreements, grants, cooperative agreements, and �ontraeted and subcontracted
activities, . vol g or a:fect ng en iron rental progr s, for.
reviewing and approvin.g procurement d u.ui-rents(and any changes to these
P,, documents)to ensure that-procurement documents' are accurate,µcomplete, an
clearly describe:
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IMP -" the item or service needed,
e associated techl cai and qnality requirements,
Jie quell" or which the suppc � e,and
f li � �
how the supplier's conf ormance to the a tomer's e u emeN.:is will be
veri e d
review and approval of all applicable responses to solicitations to ensure that these
documents:
satisfy all too nioai and quality roqu ff'emont,s, and
"
ro ad c'dcncc of the supplier's capability to satisfy EPA CfUality system
rs a� � � the tra agreement � �i�aho �oraireguire
Rcgulation(requirement for EPA Quality Management Plans only);
c.ri cur that pr crire items and services are o acceptable quality,Mclu n"I the
review of objective evidence of quality for applicable items and services `shed.
by suppliers and subcontractors, source selection, souse inspections, supplier
audits and exmnwatit n.of deliverables;
review and approval procedures for mandatory quality-related documentation
e.g., Quality Management Plane or QA Project Plans)from suppliers requ'reme t
for SPA Quality Management Plans y)
policies and criteria f6r delegations of EPA. authority to review and approve
manamory quality-related documentation(e.g, Quality Management Plans or QA
Project P from suppliers consistent t with Chapter w 2 of EPA Order 5360 Al
(requirement for EPA.Quality Manage e ent Plans only)? and
ensuring that EPA quality-related nt sac t" policies, as deft defted by the Federal
Acquisition Regulations, Office of Federal Procurement Policy, and the EPA
C nt lots Management Manual [EPA Order 1900 EPA 1 998)], are satisfied
(requirement for EPA Quality Management Plans only).
3.6 DOCUMENTS AND:RECORDS
Purpose—To document appropriate c:ontro,ls for quality related documents and records
determined to be Important to the mission of the f amati on.
Specifications—Describe or reference the process(es),Including the toles, responsibilities, and
authorities of inanagem e;nt and staf,
id 6t f.yiig t al rciated documer'ts and rec tds o' tb printed and electronic)
/
requiring control;
Final
EPA QA/R-2 13 Mach 2001
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I^, Contract Name:Ambient,Air Monitoring-Pass Thru Grant Contract Nluimber.582-1.. -40060.........
1 i
1
preparing, reviewing for con.forlinanceto technical and quality s; stein
requirements, approving,,issuring, .sing,authenticating, and revising documents
d records;
ensurin.g that records and documents accurately reflect completed worm;
maintaining in documents and records including transmittal, distribution,retention,
(including retention times), access,preservation(including protcctiorl frorn
d ainage, loss, and deter iorati n),,traceability, retri eval,removal of obsolete
documentation, and disposition-,
ensuring,compliance wid dl applicable statutory, regulatory, and EP
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 l998)]; and
f p appropriate * of c t dy and co .d cnti i
establishing and implementing
procedures for evidentiary records.
3.7 COMPUTER HARDWARE' AND SOFTWARE
P rpose—To document how the organization will ensure that computer hardware and software
F, satisfies the organ.izatton, requirements.
Specifications Deserible or reference the process(es),it ciu.ding the roles,responsibilities'. and
riti.es or management and staff, for:
developing, i.nstalll*n,testing v erification and validation), Using,
it 'i *n9,controlling,
�, anaand documenting computer hardware and softrar+e used
tai p bra s to technical d�uai � e m en in envr nn i i
and directives from management[EPA Quality Management,Plan specifications,
must be consistent with pA Directive 2 i (EPA 1998)]
assessing and documenting the impact of changes to user requirements and/or the
hardware and software on performance,
J
evaluating purchased hardware and soft=ware to ensure it meets user requirements
i .
d complies with applicable contractual requirements tints d standards
ensuring that data and information
produced from, or collected by, computers
meet ica lc i t arnat n �s�ur Cana c rapal ent requirements and tand ds
and .�
Fbial
EPA Q -2 4 Match 2001.
Page 70 at 141
lip
f%
Contract Name:Ambleent Air Monitoring-!Pass-Thru Grant. C ont art Number::582-14-40060
ensuring that applicable EPA requirements for information resources management
are a�. ��e e�� [EPA Directive 21 (EPA l 998)] including sec urity rivacy
requirements (requirement for EPA Quality Mana ement Plans only).
Computer software covered by thi's requirement includes,but is not limited to dell n,data
handling, data analysis, ode �� �`environmental�rooc��c� conditions,. operations, Or
process,control of environmental.technology system (includin automated data acquisition and
laboratory instrumentation), data bases containing environmental data.
348 PLANNING
Pur. p�os,e—To doc-oinent how individual data operations will be planned ltl . 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 mid staff, for
planning envii-ormiental data operations using a y t matt arming process 4 which
includes:
too i�.o to l cation and 'nvol cr�or t of the pry oot manager, �ponsor
s ate and responsible ofoal, root orso el, stakeholders,
io�tl o experts etc. (e.g., all custom ere and suppliers)-
a description of the project goal, objectives, and questions and issues to be
addressed-,
the identification rif toject schedule, resources (including budget),
milestones, and any applicable requirements c,g.,regulatory and
contractual requirements);
the identification of the type and quantity of data needed and how the data
will be usled to support the Project's objectives;
the s eetticat�,o� of er���Z�a��cc ot��tcr�,a for measuring uallt
1
POP
n "EPA has developed a systematic planning recess called the Data Quality Objectives O Process See the
EPA Guida ce for the Data Quality Objectives.Process QAIG-' ESA 2000)]. While not mandatory,the DQO
Process is the recommended planning approach far,many EPA data collection activities.
Final
EPA QA/R-2 15 March 2001
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Contract Name*Amib emt Air Mop"oiring-Pass-T ,ru Great Contract Number:582-14-40060
the specification of needed QA and QC activities to assess the quality
pe � �� ' (e,g.,QC samples for bath the field and laboratory,
audits,technical assessments, performance evaluations, etc.)-
a deser-1 tx i� when, and where the data will e obtained(including
existing data) and identification of'any constraints on data collection; and
. a description of how'die acquired data will be analyze (either In the field
or the laboratory), evaluated .e.,QA review,, verification, validation), and
assessed against its intended use mid the quality perfonnancc criteria
developing,reviewing, approving, ' plernent" g,and revlsg a QA Project Plan or
equivalent la .ng decmuinen.t[see EPA Requi`omen s for QualityAssurance
Pr�a e ans (QAIR (EPA 2001)] n
evaluating and qualifying data collected for other purposes or hem other sources,
including the application of any statistical methods, for a new use.
19 IWLEMENTATION OF WORK PROCESSES
Purpose--To document how work processes will be implemented witlihl the organization to
ensure that data or in-formation collected are of the needed and expected duality for their desired
Use.
Specifications -Describe or reference the process(es), including the roles, responsibilities, and
authorities of management and staff or
en in that work e �i e according to approved pla 'n and.technical
documents;
identff ea.tion of operations needing procedures e.g., stwida dined, special, er
critical operations),pre a ration lnelud' g,form,content, and applicability),
use-
review, approval,revision, and w* lidr iwal of these procedures, and po licy fox
and
controlling and ocumentii'Ag the release,change, and se!of planned proced es,
"including y necessary approvals, specific tines and points forimplementing
changes, removal of obsolete documentation fi*or work areas, and verification that
the changes are ode as prescribed.
"I
Final
EPA QA/R-2 16 March 2001
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C r1tract Name.Ambient bient Airw Nv onitorlrg-Pass-Ttiru Great Contract Number:582-14-4060
iiJ.
3.10 ASS ESS NT 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.
Speci ca ons Describe or reference the process(es), including the roles, responsibilities, and
authorities ofmanagement and staff,pertairting to, both management and technical assessments
for:
assessing the adequacy of the quality system at least annually-
planning, . plenienting I and documenting assessments and reporting assessment
results to management fficludig l�cw to select an assessment to�►l, the expected
frequency of their application to environi rental programs, and the.roles and
res r l ib l ties a sesso s
determining the level of competence, experience, and training necessary to ensure
nt�s are technically��: wledgeable have n real
that personnel. ecn.d��,t�. assessments
or perceived conflict of interest mid have no d feet involvement or responsibility
for the work being assessed
cnsurl.ng that personnel cc .dct assessments �a� ale%cnt atcrit , access to
programs, managers,documents, and records, and organizational freedoms to:
_ 'dentify both quality,problems and noteworthy preticcs,
propose recommendations fir resolving quality problel , and
independently confirm implementation and electiveness of solutions
management's review and response to endings
identifying:how and when corrective actions are to,be taken in response to,the
tic assessn e ,c zsu� �e reind gs o vc actions are made promptly,.
ecrf rte. n tl�e implementatio and effectiveness of`any corrective action, and
document�' (including the identification of root causes, tf.e determination,of
whether the problem is unique or has more generic in ficatl ns, and
recommendation of procedures to prevent recurrence) such aetions� anal
add-essing any disputes encountered as a result ofassessments.
vai'Lble assessment tools include qual.ity systems audits, management systems rei-v.ews,peer
' , ness reviews,a ons, data quality assessments, read�
reviews,technical reviews, fo � c al t
technical systems audits, and surveillance.
Final
EPA QA/R.-2 17 Maith 2001
Page 73 of 141
r,
Contract Naas,Ambient Air Monitoring Pass-Thru Grant Contract umber*,582-14-4006
3.11 QUALITY IMPROVEMENT
a.
Prose To how the or awzati r will improve the organization's quality system,
Specifications Identif. (org ��� � �r�� � i for � " `� : is n ,
implementing, and evaluating the effect verse'qs of .alit improvement activities and describe the
process to ensure continuous city improvement, including the roles responsibilities of
management and styf, for
ensuring that conditions adverse to quality ;ire:
prevented
identified ►i o��ti�me I �deterrr�ir�atior of�e nature extent of
fhe problem,
�, "�
e�-rested as soon as r;etical, Mcludir� implementing tin a +� �riate
corrective actions and actions to prevent reoccurrence,
docuinenting all corrective actions, and
.,
tracla*ng such actions to closure-
encoaraging stiff`at all levels to establish conununications between customers,and
supplier, identify roee s improvement opportunities,, and identify .offer
solutions to problems.
I„
Final
EPA QA/R-2 48 March 2001
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llr/
If
p Contract Marne;Arnblient Air Monitoring-Pass-Thrul Grant Contract Nu i�mb:er 582-14400
REFERENCES
1
40 CF's.30, Colde of Federal Regulations, "Grants and Agreements With Institutions of Higher
Education,Hospitals, and.Other Non-Profit rgar-dzations."
40 CFR 3 1,Code of Federal Regulations, "Uniform Adini'strative Requirements for Grants and
Cooperative Agreement t to State and Local overraxients."
j
40 CFA.3 5, Code offedera.l Regulations, "State and Local Assistance."
J
48 CFR 46, Code of Federal Regulations, "Federal Acquisition Reg latio s."
A. SI/ASQC E4-19914,s cc xati ns and Guidelinesfor Quality s sternsfor Environmental
Data Collection and Environmental Technology Programs, American National Standard,
January 1995.
FIR SPA D' eetive 2100 (19919),Information Resources Management Policy Manual,U.S.
Environmental Protection Agency, Washington, DC,
r
EPA.Order 1 900, (Febi~ a� 1 , Contracts Manual, irexunental
Protection.Agency, Washington,DiC.,
u .
EPA Order 2160 (July 1984),,Records Management Manual,U.S. Environmental Protection
allt
Aygency, Wa.sbington,IBC.
EPA Order 5360 Al (May 2000),EPA Quality Man al or Environmental Programs,U.S.
Environmental Protection Agency, Washington, DC.
EPA Order 5 3 60-1 A (May 2000),Policy and Program Req.0 'cements for the Mandatory
Quality Assurance Program,U.S, EnviTo rental Protection Agency,Waslhzgton,DC..
. . n i•c ra�ental P"r atecticn A eney � 1-. °P Requirements for Quality Assurance Project
Flans (QA/R-5), EPAJ24 /B- 1/003,Office of Environmental. I Inn rtion.
U.S. Environmental Protection Agency, 2000. Guidancefor the Data. Quality Objectives Process
t,.
(QAIG-4),EPA/6 0l R-9 /'0 5, Office of En ironinental InI"ormaticn.
U.S. Envixom en.tal Protection Agency, 1980. Interim Chi i ellnes and specificat o�ns or
Prc,)p=ring Quality Assuran e Program Flans, QAMS-0�04/80, Office of Research and
Development.
:final
EPA QTR72 19 March 2001
Pap 75 of 141
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(This page has been,left blank intentionally)
V
�I
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P, aial
EPA QA/R-2 20 Maivb 200
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Contract,Name, mbient Air �rfitoaring-Pass-Thru Grant Contract N rber�582-14-40060
i
APPENDIX A
TERMS AND DEFINIUONS
assessment en -the evaluation process used to measure the performance or effectiveness of a system.
and its elements. As,used bare, assessment is,an all-inclusive term it ed to de ote �y f tl e
full y. audit,performance evaluation management systems review,peer review inspection,or
s uullarc
audit(quality) - a systematic and independent,examination to determine whether quality
activities, and related results comply with planned arrangements and whether these arrai� ����
are implemented effectively mid are suitable to achieve objectives,
data quality assessment a statistical and scientific evaluation of the data set to determine the
validity and performance of die data collection design and statistical test, and to determine the
adequacy of the data set for its intended use.
design -specifica,tlons, drawings,design criteria, and performance,require tints. Also the result
of deliberate pla. `ng, analysis,mathematical mar ulatio ,and design processes.
environmental can l l�u� � e��r.p��n��` physical � . e.g., air,water, soil, sediment)
or biological system expressed in terms of its physical, chemical,radiological, or biological
oharacteristics.
env.ronmenta.l data - any meal,urements or ffiforn atlun that describe environs entai processes,
ik locatio , or eon(Hons ec ological or health effects and consequences; or d e performance of
c c l g r .,environmental inclu e rr�at0 ell tee ctl envir
environmental tc % 1
ftom measurements,produced frern models, and compiled from othe•sources such as as data bases
or the literature.
environmental data operations-work performed to obtain,use, Or reportinfonnation
perta nffig to en vir ental pTOCCSSCS and conditions.
environmental programs-work or activities involving the eivirotunent, including but not
l inited tea. ch,aracterizatien of environmental processes and conditions; environmental monitoring;
env
irc enta.l�research and development- the e�i�r�, cr�n�ructien, and operation of
environmental technologies; and laboratory operations on en roninental samples.
environmental t chn clog an all i�no�lusi�vc te�•rn a c��toy���� n p llu�tien control dery ties and
systems,waste treatment processes and storage facilities, and site rer e iation technologies Mad.
he components is t� _.
�� p � at may e utilized to remove pcl ��conta.��n.�ants� r �.�r :�prevent then.
ft~+ gin entering, the cnviron m nt. E a plc include met scrubbers �c► l aahi (so'l),
granulated activated carbon unit(water), and filtration(air, water). Usually, the term will apply
Final
EPA Q 2 A-l Mai-c 2 t.
VII
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Contract Name*Ambient dour Mionitoring-Piss-T u G�rannit Contract Number.582-14-40060
to hardware-based system however, it will .lso apply to methods or techniques used for
pollution prevention,pollutant reduction, or,containment of contamination to prevent further
move neat of the contaminants, such as capping, solidification or tri "cation and biological
graded approach flae 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
or zatlon that is r at a part of the rganization directly per`onn ng and ascot-mtable for the
work befig assessed.
��� �t item r��tl�it� t�verify conformance t� �� ��ns p ect
inspection r r .
requirements.
management those individuals du'lectly responsible and accountable for au n , ���n��t�ug
and assessing work.
management system a structured,, non tec rrnlcal system dese g the policies, objectives,
principles, or a at orral authority, responsibilities, accountability, anal implementation plain of
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 st e,policies,
practices, and procedures are Cadequate for ensuring that the type and gusty of data needed are
u act, � n r tdoe + ` r or record, art �r objective evidence
quantitative ta.tive or qualitative" ertainin to the quality of an itern or activity,based on observations,
asurenients,or tests which can be vented.
organization y, corporation,, firrn,, enterprise, or institu.tlorr.1, or part thereof,whether
incorporated or not,public or private,that has its own functions and adnii.ru trration.
peer resew sated c.'tical r ev ew off"wort y qualified indi 'duals (or car arYi�ati
who are independent of those who perforrned the work,, but are collectively equivalent in technical
expertise. A peer review is conducted to ensure that activities are technically adequate,
c crptntly performed,properly documented, rd satisfy established technical and quality
requirements. The peen review is in-depth ass assessment the assurnpt ons, calcula.tion.s,
T
extrapolations,.. , alter a .... .
r i'o1S rrr�t odci acce tance criteria, and conclu.� ..
r.o � tc �ntc r�+etat� � ��'� � � � .�
erta.-*n to sp eo ffic wort d of the documentation that supports tl�.er�..
-w
EPA QVRI-2 A-2 Much 20,01
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Page 78 of 141
11
Controc ct Narre:Ambient,Air Monitoring-P'as Thr Great Co:ntr'act Nur ber:582-94-4000
performance evaluation - a type of audit in which the quantitative data,generated in
measurement system are ohtalnec ind c�c��� tl� � c��a���ar� �.th r� ut'nely,obtained data to
evaluate the proficiency of an analyst or laboratory.
c ce t "' :e e � -esou ces and activities which transforins inputs into outputs,
Examples of processes include analysis, design,data collection,operation, fabrication, and
"
calculation.
quality the totality of features and ch.ara:tenstica of a product or service that hear on its ability
to meet the stated or iTplied needs and expectations of the us, r.,
equality assurance (QA) - an.integrated,system of management activities involving planning,
implementation,documentation, assessment,rePorting, and quality improvement to ensuxe that a
process,item, or service is of"the type and quality needed and expected by the client,
quality assurance of e t plan- a formal document describing in comprehensive detail the
necessary QA, QC, and other;technical activities that must �e l�u l r��t� t�����that the
results of the work performed will satisfy the stated performance criteria.
quality control (QQ the overall system of technical,activities that measures es tic attributes as
performance of a process, item, or service against defined standards to verify that they meet the
stag
requirements established by the custolmer operational techniques and activities that are
used to fulfill rcg i'reme its:fox quality..
uality improvement - a management program for improving the quality of operations, Stich.
management programs generally entail a Bor a.l mechanism for encouraging worker
recommendations with timely management evaluation and feedback or implementation.
quality management- that aspect of the overall management system of the orgamzation
that
determines roes and hn .lements the,qualm policy. Quality management includes strategic planning,
allocation of resources, and other systematics activities te..g,,planning, implementation,
documentation, and assessment) erl,ai�c�.
la ng to flie quality system,
quality management play a document than describes the quality system in terms oft he
o• a.iizadonal structure, fluncti nal responsibilities of management d staff,linos of a thori
and required interfaces for those l lan in ,h plementin ,and assessing a1l activities conducted.
quality system - a structured and d cumented management ement system describing the policies,
ob ect it' responsibilities,, accountability, aid ini lamentation i � a�i�ati��al a� tho�
plan of an 9r ganization for crisuring,quality in its work processes, products iteras) and services,
e quality system providestlie fi-amework for planning,itn le enth g, documenting, and
assess mg worx performed by the orgaxiizati.on and for cw-rying op it rcqu red QA and QC activities.
Final
PA QA/R-2 A-3 Mardi 2001.
gage of 141
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Contract Name:Ambient Air Monitoring-Pass-ThrU c rar Contract M lumber:582-14-400,60
readiness review- a systematic, doeu nen.ted revI'ew of the readiness for the start 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 word conducted by individuals,groups, or organizations directly.
i le � r �ers�ei �r performing the respons
specification - a document t stating requirements and which refers to r includes drawings or other
relevant documents. Specifications should indicate the means and the criteria for deter:n' 'gig
conformance.
ce.
standard operating rooe'd�ure(SOP) - a written document that details the method for an
o ration, analysis, or action.with thoroughiy prescribed techniques and steps, and that is
officially approved as the method for performing certain routine or repetitive tasks.
supplier individual or organization �s hi g items or sc "ces or performffig,work
according to a procurement document or fmancial assi,sta nce agreement. J s 'sanall-'nelusive
term used in pilace of any of the following: vendor, seller,contractor, subcontTactor, fabricator, or'
consultant.
1/, k
surveillance quality - continual or f.•ecl ent nion.t ring and verification of the status of an
PIP entity and the analysis of records to ensure that specified requirements are e' ,fulfilled.
technical review _ a documented critical review o work that has been performed within'the state
of the art � , ' � � �
� e review �.s a.ccon-�.�lisl�.�d� �one�r more qualified reviewers�1 � are independent
of those who performed the work,but are collectively equivalent n technical expertise to those
who performed the original work. "l e review is an in-dept'n aiialysis, 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 satisfiicd�
I technical systems audit a thorough, systematic,on site, qualitative audit of facilities,
equipment,personnel.,training, ro cedures, record kee 'ng, data val id atiort, data ma n ag ern ent,
and reporting aspects o a,system.
"
P
Final.
PA QA/R-2 A-,4 March 2001
1
Page 80 of 141
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Page 81 of 141
MIR
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Contract lame,Ambient fir Monitoring `ass-Th%Grant Contract Number.582-14-4006O
FOREWORD
'The U.S. Environmental Protection Agency has developed the Quality Assurance
Project Plan A Project Plan)as a too], For project managers and planners to document the type
and quality of data needed for environmental decisions and to describe to methods for collecting
and'.assessing those data �rhe e elopme t,review, approval, and i��p ementation of the QA
Project Pia is past of EPA's mandatory,Quality System. The EPA Quality System requires all
organi,zati ns to develop, operate management structures d processes to ensure that data
used in.Agency decisions are of the type and gvality needed for their intended use. The QA
r ec Plan is an 'ntegra of the��� �ntal�ri.n�ci�i �� x��ti�e� �� �
foundation of to EPA Quality System,
® This doctunent provides to QA Project Plan requirements For organizations that conduct
environmental data operations n behalf o EPA through contracts, financial assist ance
J
agreements, interagency agreements;however, it may be used by EPA as well. It contains Uffie
same requirements as Chapter 5 of PA Order 5360 Al (EPA 2000), The EPA Quality.Manual
for Lf`nvir' onmenlal Programs, which has been developed for internal use by EPA organizations.
document,A companion EPA Cnildancefbr Quality Assurance Project Plane AEG-5 (EPA
1998)provides suggestions, for bob EPA and non EPA org zati ins on prc arnig, reviewing,
g,
and . ie en . g 100 ct Plans s that,satisfy the requirements define in the +doeum nt.
This document is one of the EPA u 'ty Syste m Series documents which describe EPA.
Policies and procedures for a.n® ' gig, Vii. tinting, and assessing the effectiveness of a quality
systems. Questions regarding this document or other EPA Quality System eries documents
should be directed t
U.S. EPA
Q
pity Staff`( i R
'Wash ingtion,DC 20460
Phone-, 202)1564-68
FAX 2) 565-2441
e-mail: quality@,epa.gov
Copies s off"Quality System Series doewnents may be obtained from the Quality Staff or by
downloading them frown tine Q alit taFF H u fag :
www.epa.gov/qLial.'ty
Final
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Contract,Name:Ambient,Air Monitoring-Pass-"Thru Grant Contract Number*582-14-40060
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A0.07OWLEDGMENTS
This doctiment reflects the collaborative efforts of many quality management professions
who participate i"n the chalienge for continual improvement in quality systems supporting,
enwon.mental programs. These individuals, representing the EPA, gather Federal agencies, State
and local governments,and private industry,reflect a diverse and broad range of reeds and
experiences in environmental data collection programs. Their,contribtitions and the
comprehensive reviews dunffig the development of thl's document are greatly appreciated.
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TABLE OF CONTENTS
fage
C'HAPTERL INTRODUCTION . . so # 000 * 90440 $ & * so * W006960604 # boo w k6 * 0060406
1.1 BACKGROtND ., . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . .
1.2 QA PROJECT PLANS,". HE EPA QUALITY SYSl EM,AND
ANSI/ASQC E4-19914 . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . 2
1.3 THE GRADED APPROACH AND THE EPA QUALITY SYSTEM . . . . . . . 4
1.4 INTENDED AUDIENCE
1.5 PERIOD OF APPLICABILITY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
1#6 ADDITIONTAL -RESOtJRCES . . . . . . . . . . . 0, . 4 d a . 0 0 0 6 . 0 a 0 4 P . 1, 0 0 . 0 . . 4
1.7 SUPERSESSION M. . . . . . . . . . . . . . . . . . . . . . . . . . . 5
C11APTER 2. QA PROJECT PLAN'REQUIREMENTS
2..,1 POLICY . . . . . . . . 7
2.2 PURPOSE, . ♦ 9 V 0 V 1 6 10 0 4 - n A N 4 D m w • w o r s p p o o a m p 7
2.3 APPLICABILITY . . . . . . . . . . . . . # 7
2 A 7
7r GENERAL CONTENT AND DETAIL REQUIREMEWs . .
2. .1 General Content . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
2.4.2 Level o etall • 8
2.5 QA PROJECT PLAN PREPARATIONAND APPROVAL, 8
2.-6 QA PROJE-4,CT PLAN MPLEMENTA-110N . . . . . . . . . . . . . . . . . . . . . . . . . . 9
2.7 QA PROJECT Pl.,,AN REVISION . . . . . . . . . i. . . . . . . . . . o 0 * 0 * 0 0 . V 9
CHAPTER 3. Q,A PROJECT PLAN ELEMENTS 0 • P. 0, r'. r ■ 0 0 q .11,
3.1 CONTENT'REQUIREMENTS, . . . . 0 41 V 0 V 1 4 1 1 0 1 0 . 4 * d * 6 . 4
3.2 GROUP A: PROJECT MANAGEMENT . . . . . . . . . . . . . . . . . .. . .i . . . . . . . . 12
3.2.1
3,2.2 A2 -Table of Contents . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 13
3.2.3 A3 -Distn'bution LI*st . . . . . . I . . . . . . A.
31.2.4 A4-Project/Task Organ iza-fion . . . . . . . . . . . . . . . . . . . . . . . 14
31.2.5 A5 -Pfoblem DefinitioniBackground. . . . . . . . . . . . . . . . . . . . . . . . . .� . 14
.3..2.6 A6- 11�-Oject/`Task Description . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . .. 14
3.2.7 A7- Quality Objectives and Cfl*teria . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
3.2.8 A Special'Trw*=' g/Certification . . . . . . . . . 00P15
3.2.9 A9- Documents and Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
3.3 GROUP B DATA CrENERATION AND ACQUISITION 15
3.,3.1 B I- Sampling Process Design(Experimentcd Design) . . . . . . . . . . . . . . 16
3 .2 B2 - San-ipting Meth ods . . . . . . . . . . . . . . . . , . . . . . . . 17
3'.3'-3 B3 - Sdn-�--pl-e-ffithffllffig dnd Custody * pit $ . M . . .. . m • .. � . • . f . • ,�,..,.m
3.3.4 B,4- Analytical Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
3.3.5 B'5 - Q I all C'on wol 18
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3.3.6 B6- Instrument/Equipment Testing, Inspection,, and Maintenance 18
3.3.7 B7 - Instrument/Equipment Calibration and Frequency 18
3.3.8 B8 - Inspection/Acceptance of Supplies and.Cons umablei 19,
3.3.9 B9-Non-direct Measurements . . . . . . . . . . . . . . . . . . . . .. . . . . 19
3'. ...A4 B 10- Data Management . . . . . . . . . . . . 19
NO 3.4 GROUP C. ASSESSMENT AND OVERSIGHT . . . . . . . . . . . . . . . . . . . . . . 20
3-4.1 Cl - Assessments an 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. .2 D2 -Ven'fication and Validation,Methods, . . . . .. . . . . . . . . . . . . . . . . . 21
3.5.3 D3 - Reconciliation with User Requirements 21
REi FE'RENCES 0 rt 0 a lk 0 0 a 11 .1 0 0 0 Is 0 4 0 4. 0 0 0 0 IF 4 • 9W 0 0 4 0 #w OP 0 0 0 4 YM 0 a 0 IP 0 'O aN 0 4 23
APPENDIX A. CROSSWALKS AMONG QUAL11"Y' ASSURANCE DOCUMENT'S . A-1
A.I BACKGROUND . . . . . . . . . . . . i. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-I
A.2 CROSSWALK BET W EEN. EPA Q.AA.Z-5 AND QAMS-005t8O . . . . . . . . . . . A-I
-S
4N THE DQO PROCES
A.3 CROSSWALK BETWEE
AND THE QA PROJECT PLAN # A-3
APPENDIX B. TERMS AND DEFINITIONS v o • o e . . . . . . . . . . . . w B4
FIGURES
Pa
1. EPA Quality System Components and`-rools . . . . . . . . . . . . . . . . . 3
2. Ex. le Do,cwiae-nt Control Format . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . 14
TABLES
Pa e
L Group A: Projeut Management'Elements . . . . . . . . . . . . . . . . # a 13:
2, Group B: Data Generation and Acqul'sition Elements . . . . . . . . . 16
Assessment and Oversight Elements . . . . . . . . . . . . . . . . . . . . . . 20
yroup C.
3,. C
4. Group. Di: Data Validation and Usability Elements
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CHA-PTERI.
INTRODUCTION
1.1 BACKGROUND
Environmentai programs conducted by or funded by the U.S. Environmental Protection
Agency(EPA)involve many diverse activities that address complex en o ental issues. The
EPA annually fiends several hundred million dollars in the colflection of environmental data for
I, scientific research and regulatory decision making. In addition, on- PA 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 environinental data
; used to sup port their de ision g there must structured r� �� for��alit place.
structured system that describes the policies and procedures for ensuring that wort
processes,,s r du t , services agate ex. ectations or ec'fic�ations called a quality
s e cry a n c �,g environmental pr grains:funded EPA are required to
establish and implement a,quality,system. EP also requires that all environmental data used in
decision makcing be supported by an approved all Assurance Pro.ect P lan(QA Project
This requirement is de fined in EPA Order 5360.1 A2 A 2000),Policy and P-�g a
e u ements for the Mandatory Agency-wide Quali�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 re ipients-, and
other mechanisms, such as consent agreements inn enforcement actions.
The A ProjectPlan integrates all technical d quality aspects of a pro eet, in,nclu n
planning, implementation., and assessment. The purpose of the QA Project Plan.is to document
planning r is for environmental data operations an to provide, a pry ect specific"blueprint"
for obtaining h e and ait���"env'
r� ironment:al data needed fbr a specific decision or use. The
QA Project Plan documents,how quality assurance QUA and quality control QQ are applied to
all environmental..data operation to assure that the results obtained area of the tie and quality
needed and expected.
The ultimate success c 'an envn`oninental program or project depends on the quality of the
r
environmental data collectedand used in decision-making, and this may depend significantly on
the adequacy old the QA project ''lan anal its effective implementation. Stakeholders .e., the data
users,c.at ion -uce'i~-,"'cle�clsi:'i'i rr�.,�crs, etc.)sh6ll be involVe -i -the,planning rc ce Tora,
�:�• � � p,rc ct to ensure that their needs re defined adequately and.addressed. While t
spent on such l ng may seem unproductive and costly,the penalty for ineffective plannuig,
Final.
EPA QA/R-5 March 2001.
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includes greater cost lost ti ne. `�l�herefore, EPA red rep 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 DQ Process, "I'lle DQ�O Process is the Agency's
prey` p :� g process and is described lay the Guldancefor the Data al Objectives
Process (QAIG-4) (EPA 000b). The QA Project Plan documents the outputs from systematic,
plammig.
e
Th s re re x ents document present, ,specifications d instructions for the information
that must be contained in a QA Project Flan for environmental data operations funded by EPA.
The document also discusses the procedures for review, approval, implementation, and revision.of
QA Project Flans. Users of this document should asstune that all of the elements described hereffi.
are require d in a QA Prod eet Plan wi less'otherw'Ise directed y SPA
QA PROJECT PLANS,THE EPA QUALITY SYSTEM,AND ANS1/ASQC
F4-1994
EPA order 5360�.f A2 and the;pplieable' ederal regulations (defined above)establish a
mandatory Quality System that applies to all EPA organizations and organizations ceded by.
EPA. Components of the EPs.Quality System are illustrated in Figure L Or ame zations 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 Q,A Project Plan is
key pr eet-level component of the EPA Qual1 ty System.
EPA policy is based on the national consensus standard,ANSI Q E4-1994,
5p c��"ca o s'and delinc-,�s fbr Environmental Data Collection and Environmental
Technology Progranu. The A SIB` S C 4-1994 standard describes,the-n e s ry management
and technical elements for developing and implementing a quality system, This standard
recommends usiTig a tiered approach to a quality system. This standard reconunends first
Ir
documenting each organization-wide qualm systems in,a Quali M ag ent Plan or Qua t
Manual(to address requirements of Pert,!. Management S, stems of the standard) and then
documenting the applicability of the quality systems to technical,activity-specific effort in a QA
Pa° ► eet Plan or, i `lair docui ent(to address the re u*remerats of Part B: Collection and
Evaluation ofEnvironmental Data of the standard). EPA has adopted,,this tiered approach for its
W
mandatory Agency-wide Quality System. This d un ent addresses Part B requirements of the
�f standard.
i t A Quality Management plan, o r equivalent Quality Manual, docim-.ents how an
or glues ati e � "ties, and
o � �etlues ats quality system,,defines and assigns QA an QC r expo s`bi
describes the processes and procedures used to plan, implement,and assess the effectiveness veness of
PIP the quality s stei . The Quality Management P1 an may b�6 viewed.as llie`urab fell.a"does. e It
under which individual projects are condticted. EPA requi, ei ents for yu,ala ty Management Plans
are defined in EPA Requirementsfor Quality Management Plan QA R . (EPA 2001). The
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', Contract rage:Ambient Air Monito6ng -Pass-Thru Grant Contract Number*582-1 - 0W
,.
CQn2g,njiUg,,Sj@ndardS
NSI ASQC
l 1650 X000 Series
EPA Program&
r;
Extemal Policies
1nterng1jEpA,Policies
Regional Polk
Quality System
Documentation
.g., NW
1
CL
Training/Communication!Su gor In st m EN r n�
0 , .a Procurements, . .,Training Plan,
Compoler°Hardware/Software) Conferences)
R" Systems
Annual RevIew
0 j —
w and Planning Assessments
�., �d . S )
F
Systemotic
Conduct Study/ Data Verification
i
Planning
Experfrnient Validation
(e.g.,DOO Prose
F-�
Standard
Technical Data Quality
l Assessments Assessnvnt
CL
OFF
PLANNING ASSESSWENT
0 Leper aitl ra
N r� lrnres
a
h
r,
Defensible Products and G S Is
i
i
1gure 1. EPA Quality System C napon n and I00
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Quality Management Plan is then supported by roject spcciftc 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
orcraruzatiOn sParIs rErl r tlac work has the aut cr ty to deter e when a smgIle document is
applicable and will define the content requircrn.cnts of such a document.
13 THE GRADED, APPROACH AND THE EPA QUALIT" SYSTEM
Recognizing that a"one size:its all" approach to quality requirements will not wore in
tl��s lcrsc implementation � l � �or aniza , on the
Principle f ra cd h, lying a graded approach means that quality s stc n.s for
different ►rganzaticns and Programs will vary according to the specific objectives and needs of
the organization, For example,t� q it
expectations of a fundamental research program are
I -ercnt from that a reg regulatory coml
ancc p c ram,because the purpose or ntended use of the
data is different. The specific application of the graded approach.principle le tc QA Project Plans its
described i Section 2. .2.
1.4 INTENDED AUDIENCE
"his document specifics the requirements for developing QA Project Pans for
erg. . zat.c►ns that conduct environmental data operations funded by EPA through contracts,
financi al assistance ccmcnts mcd interagency eemcnts. EPA organizations may also use this
document to develop QA Project Plans slnce this document is clearer and more user friendly than
e equivalent requirements defined In Section 5,3 of EPA Order 5360 Al (EPA 2000), The EPA.
Quality Manualfor Eo nvironmental Progra "hits al policy document). However,the
preparation, submission,review, and approval reqtlirements for EPA organizations are still
contau*i in Section 5.2 of EPA Order 5360 Al as these represent intern al ESA policy.
�7 13PERIOD OF APPLICARRITY
This document shall he valid for a period of-up to five years from the official date of
publication. A er five years, It shall either be re se ed without change, revised, or withch-awn
ol
from the EPA Quality System.
t.6 ADDITIONAL RESOURCES
Guldc,mce on prepan'ng QA Project Plans may be found in a companion on doc ent,EI"A'
Guldancefor Qluality Assurance Plans A G-5) (EPA 1998). This
guidance
the application f Cie Qr0i
' cc ire Flan requirements and provides examples, Other documents
that Provide guidance on activities critical, to successful en ironmen�tal data operations d
cc��l n-ent A Prod ect Plan prepar Lion effort elude
lip Final
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FF
1
Contract arner Ambient,fir Monitoring-'Pass-T ru Grant Contract Number:582-14-40060.
G � . l the Data bu y Objectives Proce s QA G 4 , (EPA 2000b)
Guidancefbr the repave o of'Standard Operating�roced resfo Quality-
1 Related Documents (EPA. 995)
Cmid nce for Data Qualify Assessment: Practical Methods for Data A ys s
(QAIG-,9), (EPA 2000a)
1.7 SUPERSESSION
T s document replaces QAMS-005/80,1n,teri'm Guidelines ana yecifications for
Preparing Q Prqject Pans(EPA 980)In its entirety.
It
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CHAPTER 2
QA PROJECT P'LAN REQUIRF-MENTS
2,1 POLICY
All work funded by EPA that wolves the acquisition of envi'ronmental data generated
from direct measurement activities, collected from other sources, or compiled from comput�r*zed.
data bases and information systems shall be implemented in accordance with,wi approved QIA
Project t 'lan, The QA Project Plan will be developed using a systematic planning process baste
on the graded approach. No work covered by this rc ti,rerrrent shall be im p l sated without an
approved QA Project elan available prior to the start of the work except under circumstances
IMP requiring.rn.rnedlate action to protect human health and the environment or operations conducted
under police powers.
2.2, PUtPOSE
The QA Project Plan documents the planning,implementation, and assessment procedures
w specific anal C aot�� � is will a 'p' eduring a particular project, The Q�A
"rc "1 d�. a � trat�� � n�" rrnance t Part requlrnents f ANSASQC E4-1994.
n,.
2.3 AIPPLICABILITY
These requirements apply to all environmental programs funded.by EPA that acquire,
generate, or compile le enviro ental data including worx performed ormed.through contracts,wort
, rders task orders cooperative agreements, interagency agreements, State, assignments,delivery o
EPA agreen-tents, State, local and Tribal,Financial Assistance/Grants,research Grants, and In
response to statutory or regulatory requirements and consent agreements. These requirements are
n go ated into nt a n a r� rents, noluding sub-agreements, and, in.some cases, are
inc luded in enforcement en.t settlement wid consent agreements and orders. Where specific Federal
regulations require t,ne 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
dec rrrrent less explicitly superseded by the regu at'
2A GLA NERAL CONTENT AND DETAIL REQUIREMENT
2,4.1 General Content
The QA PrcJect Plan must be cor iposed of standardized,recognizable elements covering
the entire project from planning,for ugh implementation, to assessment. Chapter ter of this
p nt describes V specific elements to address for QA*oJe_C't""Pfass su r�I l tea o EPA', hi some
eases, it n es m-y to add special requirements to the QA Project l 1"b EPA.
organization sponsoring the work has the authority to define any special requirements beyond
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those listed M this document. :limo additional requireinents, are specified, the QA Project Pl
shall address all re *red elements. Each EPA.organization defines their org�zationa,l- eeifie
requirements for QA Project Flax documentation tatien in.their Quality Management Plan.
o
applicable elements defined by the EPA organization s onserilig the work must be addressed,
r
r
i le 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 programs that are to be conducted at multiple
locations or over a long period of tine; for example, it may be use l for a large momkoring
program that,uses the same methodology at different locations. A generic QA Project Plan
describes, in ri led e rat,die info ation that is not site or t` e-S ec fc,but appl,
es
throughout the program. Application-specific infext-nation is then added to the approved QA.
�a Project Plan as that information becomes knovm,or completely,defined. A generic QA Project
PlanshaU be reviewed periodically dically tc 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 ofthe QA Project Plan should be based on a graded approach,so that
the level detail in each A "re t Pl�. will v according to the nature of the work berg.
performed and the intended use of'Oe data.. As a result an acceptable QA Project Plan for some
enviremnen.ta.l data operations may require a qualitative discussion of the experimental Process
Pro and its objectives while others may require extensive documentation to adequately describe a
complex env mental program,
2.5 QA PROJECTPLAN PRE'PARATION AND APPROVAL
'The Q�A Project Plan n may be prepared by an EPA organization, a contractor, an assi-stance
agrecment holder,or another Federal agency under an interagency agreement. Except,where
specifically delegated in the Quality Management Plan of the EPA.organization sponsora ig the
work, all QA Project Plans prepared by non-EPA.organizations must be approved by EPA before
i implementation.
The QA Project Plan shall be reviewed and ap rc ed by an authorized EPA reviewer to
ensure that to QA PioJect Plan eontai�s the appropriate content and level of detail. The
authorized reviewer, for example the EPA.project manager' with the assistance and approval of
the EPA QA Manager or by the EPA. QA Manager alone, are defined.by the EPA organization's
Quality Management Plan.. I.some cases,the authority to review and approve QA Proj eet Plans
is delegated to another Part oft the EPA organization covered by t1le sa me Quality Management
I
This ter in refers to the EPA fi ial responsible f r 6e prOj ect. Tl-iis individual tea ; also be calle d Project Officer,
Delivery Order Project Office r,Work A signinent 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
y EPA to another organization :1,.e., a Federal agency or a State under an EPA-approved Qual't-Y
Management Plan when the enviromnental data c�peratlon itself has been delegated to that
r organization implementation), it is possible that the EPA project manager and'Ll PA QA
Mar agcr may not be involve in the regrew and approval steps.
2.61 QA PROJECT PLAN. 1L, M �NTAT O
None of the environmental work addressed by the Q,A Pre"cct Plan,shall be started until
the QA Project Plan has been approved and distributed to project personnel except in situations
requi-ring innuediate action to protect human health and the environment,or operations conducted
der police powers. Subject to these exceptions, It is the responsibility of the organization
perfomiing the work to assure that me environmental data are generated or acquired before the
QA Project Plan is approved and received by the appropriate project personnel. J.-Iowever,EP
may grant conditional approval to a QA Project Plan to permit some work to begin while non-
cr.tical e�"icierrcics In the QA Project Man are e'in
g resolved,
The organization,performing the work shall ensure that the QA Project Plan is
implemented as approved e and fat p ors
involved�the work 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.
247 QA PROJECT PLAN REVISION
Although the approved QA Project Plan must be mplemented as prescribed; it is not
inflexible. Because of the complex and diverse nature of environmental data operations, changes
to original plans are often needed. . en such changes occ-ur,the approving official shall
determine if this change significantly impacts the technical and duality objectives of the project.
When a s-L l stand re change is warranted, tic originator of the QA Project Plan shall modify the
QA Project Plan to ocume t the change and submit the revision for approval by the sane
authol tiers that perforined tic n", inal review. Only aster the revision has been received and
approved(at least verb with written l*fllo�-�P 'Prc� t personr�cl, shall the�� �e be
implemented.
For programs or projects of long duration, such as multi-year monitoring programs or
projects using a geneiic QA Project Plan, the QA Project Plans shall be reviewed at least annually
by the EPA,Project Manager or authorized representative). When revisions are necessar.y,the
QA Project Flan must be revised and resubmitted for review and approval.
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EPA QAIR 9 Mamb 2001
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Contr+ ct Name:Ambient Air Morito ung-Pas's- hru Grant Contract Number,582-14-40060
CHAPTER 3
Q,A PROJECT PLAN ELEMENTS
3.1 COYfENTI REQILJW!oMENTS
i
f,
The QA Pro ect "l is a formal -urnent describing In comprehensive detail the
necessary QA, QC, and other teclmcal activities fat must be implemented to,ensure that the
results of the work performed will satisfy the stated performance criteria. The QA Project Plan
t
must provide sufficient cent e tail to demonstrate that:
the,project technical aid ��l�t� 1 ecti es e lde tl�ed� agreed upon-,
the intended r eas rer aerrts, data xmer- tlor or data '.t n methods are
appropriate for achieving project objectives,
a.ssminent r e ures are s� f cl nt for cor�m�rmnlrrg that data f the t�
quality needed and expected are obtained; and
J
any limitations on the use of the data can b id nt fred�and d ��aent�w
Most envirotunental data operations require the coordinated efforts of many individuals, inclr din.
managers, engi tiers, Scientists, statisticians .otbcrs "I. e Q�A Project flan must integrate the
, tr rbutr�.. r � r� eats of everyone involved 'nt� a clear, concise statement f what is to
be accomplished,how It will be dome, and by whom. It must provide understandable "instructions
to those must im��l��► m-t:the QA.l�"r ject Plan, such as to field saran lie team, die analytical
r�
laboratory, modelers, d the data..reviewers, In all aspects of the Q, .l roject flan,the use of
national consensus standards and practices are encourage((
In.order to be effective, the Q,A Project Plan rust 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 o work being done,EP bellev�s that graded approach
should be used in planning the work.k. I'his means that the QA and QC activities applied to a
project ect wily be commensurate with
the p rl)ose of the environmental data operation . ., enforcement research and
development, rtileipaldng),
I,.
the l
� work t l l rr (e.g.,pollutant r r rt m site no .
characterization,,beneb level proof"of concept experiments), and
the intended- se of the results ( compliance determination,selection of
re-i-nedia.:l technologY, development of environmental regulation),
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EPA Q l l March 2001
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Contract Name:AmWent Air Monitoring-bass-Thr l Grant Contract Number'.582-14-40060
The 'A:Project plan shall bile composed of standardized., recognizable elements covering
the entire Project from planning, through implementation,enta.tion, to assessment. These elements are
presented in that order and have been arranged for convenience into lour general groups. The
four groups of elements and their intent are summmized as follows
Project Management The elements in this romp address the basic area of project
management, including the px eet history and objectives,roles and respoinsibi,lities
of re participants, etc. These elements ensure that the prod Oct has a defined goal,
that the participants nn.d.erstand the goal and the approach to he used,, and that the
planning outputs have been documented.
Data Genera.tion.and AN risition The elements in this group address all aspects
of project design and r ple. ent�tion. Implementation of these elements ensure
s
at appropriate c o s :fors piing,measurement and an.alys's, data collection
or generation,data handling, and QC activities are employed and are properly
oc-a ented'..
C Assessment and Ov r -The elements in this group address the activities for
assessing the effectiveness of the implementation of the project an d associated QA
and .. activities. The purpose of assessment is to ensure that the QA:project
Plan is implemented as prescribed.
o
Data vailatiorr Usa,bili - he elements in this group address the QA
activities that occ, r after the data collection or generation phase of the project is
r
completed. �p le m
ontatron o�these elf me is e
nsures that the data conform to the
specified criteria,thus achieving the proj ect objectives.
All applicable elements, including the content and level of detail under each element,
defined by the EPA organiza,tion sponsoring the work must he addressed in the QA Project Plan.
If an element is net applicable, state this in the QA Project pan. Documentation, such an
approved Work Platt, Standard Operating Procedures, etc., may he rel"erieneed in response to a
articular required QA Project Flan element to reduce the size of die QA Project Plan. Current
versions o�all referenced documents must he attached too the .Pro eet Plan itself or he placed
on file with the appropriate EPA office and available for routine reforenci-nig when needed. The
QA Project Plan shall also address related QA planning doe� entatiorr e�g., Quality Manage errt
Plans h*om suppliers of services critical to the technical and quality objectives of the project or
task.
GROUP A PROJECT MANAGEMENT
/
The elements in this group ' hle l) address pro eet management, I"nclud"ing prof t
history and objectives,rol � and!responsibilities of the participants,etc. ""'hose elements document
Final
EPA QAJR-5 12 March 2 1.
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ii;.
Contract Name,me,Amblent Air Monitoring Pas -rhru Granit Contract Nurnbec,582-14-40050
at the project has a defined goal, that the participants, 'understand the goal and the approach to
be used, and that the a mg luts have been documented.
Table 1. Group A: Project Management Elements
eats
A Title end Approval Sheet
A2 Table ofContents
A Distribution List
A4 P *ect/Tasl� Organization
rOJ
A5 Problem of MI t o pro d
A6 Project/Task Descrip ton
A �Quality Objectives and Criteria
A8 Special Training/Certification
A9 Documents and Records
3.2.1 Al Title and Approval Beset
On the Title and Ap rov Sheet, include the title of the plan, the naive of the
organization(s) implementing the project, the effective date of tliz plan, and the names, titles,
s'lg atures, and approval dates off"appropriate approving officials. Approving o ffli u als may
include:
Organization s Project Manager
Organization's QA Meager
p,
.Pro Jett Manager
EPA QA Manager
Others, as needed(e.g., field operation manager, laboratory onager
State and ether,Federal agency officials)
3.12 A2 Table of Contents
Pro Vide a table of contents for the docent, including,sections, figures, tables,
ref rence�s, and appendices. Apply a document control format(Figure,2 on each page following
the Title and Approval Sheet when requ d b y he EPA Pr ect Manag r and QA Managcr.
Final
EPA A/ -5 13 march 20011
A
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i
Contract N reel-Arnblient Air Monitoring-Pass-Thru Grant Contract lumber:582-14-4006
j%
l r
Sections No.
r
f
M
Revision Nn.
Date
of
Figure 2. El ample Document Control Format
3.2.E A3- Distribution List
List the individuals and their organizations who need copies of the approved Q,A Project
Plan.and any�� �� �� revisions, ln�ludin ..persons responsible � l�rr��ntat on (e.g.,
project managers),the QA managers, and representatives,of all groups involved. Paper copies
need not be provided to individuals if equivalent electronic information systems can e used.
.2 4 A4- r ect/Tasty Organization
pN
Identify the individuals or orgardzations participating in the project an discuss tl. i r
s pecl "ic r les and respon� i ilitles,. Include the pr�lnci l data.user �,the decision r�.al �rs,the
O,,I project QA inanager, and all persons responsible for implementation, The project quality
ass a
assurance manager� �� �independent of the unit generating the data. (This does n. t include
�.��Cana.
being 'Independent,of senior officials, such as corporate managers or agency adn irustrat+ rs,who
are norninally,but not functionally, involved in data generation, data use, or decision making.)
Identify the individual al respon.sible for maintaining the olficial, approved.QA Project Flan.
} Provide a concise organization chi showing the relationships and the lines of
Communication aniong all PrOj e t participants, Include other data users who are outside of the
cr amzaticn generatin the c ata�,but f �why ,the data c nevcu�tl��l��s intended. � e;
organization chart inust,also identify any subcontractor act or relationsh ps relevant to environmental
data operations, including laboratories rovi�n analytical ;s�r�iccs.
3.2.5 A5-Problem Definition/Background
State the specific problem to be solved, decision to be made, or outco ne to be achieved.
Include suf dent background in..orinaticn to Provide a.historical, scicntillc,, and regulatory
perspective for this par e culu project.
3.2.6 A6 Plrn + "'ask Description
Provid.e a.su n xuary of all work to be performed,,products to he produced, and the
schedule for Mpjementation. Provide Mapsw or tables that show or state the geographic locations
Pr, , of field tasks. This discussion need t he lengthy or overly detailed,but should give an overa a
picture of how the project will resolve the problein or question d.c cr ibee in A5.
Final
EPA QA/R-5 1 Much 2001
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Contract Naas:Ambient Air Monitoring Peen-Thru Gram Contract Number:5 - -40060
r,,,:
3.2-7 Quality Objectives and Criteri"a
Discuss the quality objectives for the project and the pe fo.tmaii e criteria to achieve those
objectives, EPA requires the use of a systematic planning process to define these quality
Objectives a.d performance criteria.
3.2.8 A8 -Special Training/Certifleation
Identify describe any specialized trainig or certifications needed by persormel,in order
t successfully con.plete the project r task. Discuss how such traitw`ig will be provided and how
the necessary s i � .� w tired nd � .
3.2.9 A Documents and Records
�"
Describe the process and res cnsi i lities,for ensuring the appropriate project personnel
have the most current approved version of the Q-A Project Ply,including version control,
trol,
u. dot s,distri uti n,and di spe►siticn.
Itemize the information and records which must be included in,the data,report package
and specify the reporting f rx .at for hard copy and any electronic ;forms. Records can include raw
data, data from other sources such as data bases or literature, field logs, sampte preparation and
an alysis,logs, mtrun ent printouts,model input and output files,and results is cf calibration and QC
checks.
%denffy any other records cmd doeutncnts applicable to the project that will be produced,
such as audit reports,interim progress reports, and final reports. Specify the level of d tal I of the
field sampling" , laboratory analyses,liter � � data �e data�c11 ticn., or�.�.ewdeling doc�rr�ents
or records needed,to provide a complete description of any difficulties encountered.
Specify or reference all applicable requirements for the final,disposition of records and
documents including location and length of retcnt cry period.
PIP
DATA GENERATION AND ACQUISITION
3.3 GROUP Bi,
I P11 The elements in this group (Table
address all aspects of data generation
I ion cr in ,measurement end an l � , �to ensure that a r riate methods for 5�npl
generation, data handling, and QC activities are employed and documented. The followm' .g QA
Project Plan elements describe the requirements related to the actual mahods or methodology to
be used for the:
collection,hand f g,and analysis,-of samples-,
Fiat
PA QA/tt-5 15 QA/t-5 1 Mavc h 200 .
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Contract Name:Ambient Air Moonit rNrng-Pass-Thru Great Contract NVumber:582-14-40064
data obtained from other sources(e.g., contained in a computer data bye from
previous sampling act vities,, compiled from surveys, taken from the literat-urea and
e management(I.e.,compiling, handling') the date..
w
The methods described. these elements should have been sunmiarized earlier In element A6. The
purpose w ` Aforma " � designated methods are
ere �t��r� ��l:�detailed information�e� �.the��t� �sw I " �.
well documented and.are readily available to all project participants, citations are adequate;
otherwise, detailed copies of the methods anger SOPS must accompany the QA Project Plan
either in the text or as attachments..
Table 2. Group Bs. Data Generation and
Acquisition Elements
BI Sampling Process Design(Experimental ental esl n
Sampling Methods
B3 Sample H ling a Custody
B4 Analytical Methods
B5 Quality Control
B6 1ns m-ie luipmcnt Testing, fnspeetler, and Maintenance
7 Instrument/Equipment Calibration and Frequency
B8 nspection/Ac pta e of Supplies and Consumables
Non-direct Measurements
10 Data Management
3.3.1 Samplil"ng Process design (Experimental Des' n
Describe the exper`_ enta,l data generation or data collection design for the project,
including as appropriate,
the types and nwnbers of samples required,
the design of the sampling network,
the sainpling loeations .nd frequenc es,
sam e-matfices,
measurement parainete,rs,of interest, and
ffic rationale for the design.
Fiiia
16 Much 2001
Page 102 of 141
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Contract lame:Ambient Asir Monitoring-Pass-Thru Grant Contract Number:582-14-40060
3.3.2 B2 Sampling Methods
Describe the procedures or collecting sa.��ple�and identify the �p� ng methods and
i c l di g any � �� ��ir r �� , �P e preservation r firer tints,
decontamffiation procedures, and materials s 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 citattons should state
exactly which options are being selected. Describe specific performance requirements for the
meth od. For each sampling method,identtif r any support facilities needed. The discussion should
also address what to do when a fail ure u thesampling or measurement system occurs,who is
responsible for corrective action, and how the effectiveness of the corrective tiv action shall be
etermined and documented.
p . " �
Describe he the recess for the preparation and d.eeon.ta�ux nation of sampling equipment,
including the disposal of decontamination by-products,the selection and preparation of sample
containers, samplevolumes, and preservation methods and maximum holding times to sample
POP extraction and/or analysis.
� .3.3 B3 - Sample Handling and Custody
e�Cril e tho re �.�uirernents for sample handling and custody in the field, laboratory, and
transport, taking into account the nature of the samples,the maximwn allowable sample holding
times before extraction or analysis, and available shippffig options and sche&i es for projects
olvin physical sa pling, Sample handli.n incl;ides. acl a i , shipment t f o e site, and
storage at t �laboratory.�� � �a�ples of sample labels, custody forms,
d sample custody leis
I;, should be included.
3.3.4 B4 Analytical Methods.
' Ident ify the analyticai metliods and equipment required, M. luding,sub-sampling
extraction-methods, laboratory decontamination procedures and materials(such as in the case of
hazardous or radioactive samples),waste disposal requirements if any), and any spociffic
performance req ireme t: f" r��method. �u�r� �pprop Fiat , al alyti a.l i e i ds may h
identified by n. a Wber,date, and regulatory citation.. Address what to do when a failure in the
analytical system occ urs,who is responsible for c rrecdve action, and how the effectiveness of the
corrective actin shall he determined � d docu��er�ted. Specify��laboratory�� around time
needed, if'important to the project schedule.
List any method Performance standards, l�f'a method allows the user to select fi-om
various options,then the method citation s should state exactly which options are being selected,
d.app 'cations, such as for s al sample matrices and situations,Fer non;-standard mo �
lo 1 app ate method p�e f rmnce study ror at c p ii o is needed to c nfu m.the perf rimance of the
Final
EPA Q- -5 17 Mat-ch 20,01
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Page 103 of 141
Iry
a
Contract N'am :Amblent Air I on1toring Pass-Tbru Grant Cointract Number 582-14-40060
method for the particular matn . If previous pertormance studies are not available, they must be
developed during the prqj eet and included as pad o f the pr eet results,.
3.3.5 B5 -Quality Control
Identify QC activities needed for each sampling, analysis, or measurement technique. For
each required C aetMty,list the associated ethod or roced��re,�.eee t�r�ee eriten , and
corrective action. Because standard methods are often vague or incomplete in specifying QC
requirements, simply relying on the cited method to provide s nfo.rmation pis usually insufficient,
QC activities for the field and,the laboratory include, but are not limited to, he use of blanks,
duplicates,matrix spires, laboratory control samples, surrogates,or second column confirmation.
State the frequency ofanalysis for each type of QC activity, and the spike compounds sources and
levels. State or reference the required control lints for each QiC activity and corrective action
mo required when control lnt�,is are exceeded d how the e "t"eetivene of e corrective action shall
'be determined and documented,
Describe or reference the procedures to be used to calculate applicable statistics(c.,g.,
precision.and bas),. Copies of the fog alas are aee� tabl.e as lore the accompanying narrative
or explanation specifies clearly how the calculations will address potentially difficult situations
s
such as missing ing data...values,, "less than"or `greater thane values, and other common data
qualifiers.
3. . 6-Instrurnent/Equipment Testing,,Ins eet , and Maintenance
Describe how inspections and acceptance testing or instruments, equipment, .d their
components affecting quality will be per on-ned and documented to assure their intended use,as
spec, ed. Ide tify an:d disc ss the proeeduare ley which final aeee:p�tanee will be ergo�ned by
independent t personnel (e.g.,personnel other than those erfoi in the work) and/or by the EPA
project manager, Describe how deficiencies are to be resolved, when re-inspection will be
performed, ,cmd how the effectiveness of the corrective action shall he determined and
documented.
Describe or reere��r� ho periodic and corrective main of
measurement or test equipment or other systems aj d their components affecting gushy shall be
perf-orsed to ensure availability and satisfactory performance o 44e stems. Identify the
equipment and/or systems requ ing periodic maintenance, Discuss how the availability of critical
spare pets, .dents� ed h the operating guidance or designspecifications� o the sy er. , ill
e assured and maintained,
3.3.7 B7 Instrument/Equipment Calibration and Frequency
Identi all tools, gauges, inst�rnents, other s� lin ., measuring,� ;nd. test equip went
used for data generation or eolleetion, activities affecting quality that rust be controlled and, at
V"il"a'
EPA QA/R- t
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Contract Name:Ambwent Air Monitoring-Pass-Ttlgj Grant Contract Number:582.14-40060
��eGrfed� ds, calibrated to maintain performance within specified limits, Describe or
reference how eallbiration will be conducted using certined equipment r standards with
known valid relationships to nationally recognized performance standard's. If no such nationally
recognized standards exist,d.oeun ent the basis for the calibration. Identify the certified
equipment der standards used for calibration. Indicate hew records of calibration shall be
rnai to ed.and be traceable to-the instrument.
3.3.8 Inspection/Acceptance of Supplies and Cons lee
m supplies and cans � n a�lls and
ever. � �� � �� �� (e.g., standard r�.ate
solutions saw le bottles calibration gases, reagents, loses delorrrzed water,potable water,
elect rom.e data storage media) shall be inspected and accepted for use in the project. State
acceptance criteria for such supplies and eonsuma:bles.
3.3.9 B9 - Nun-direct Measurements
I, Identify any types of data needed for profeet ��pler entat on or decision inalci g that are
obtained fr non- easurement sources such as computer data bases,programs, literature files,
and historical data bases, Describe the intended use of the data. Define the acceptance eri'terla
�n for the use of such data In the project and specify any ll `tatio s on the use of the data.
3.3.10 B1 -Data Management
1"11101
Describe the project data mana er. eat process,traein die pad of the data from their
generation to their ftnal use or storage age(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 medlar Discuss the control meehar' m for
detecting and correcting errors a .d for preventing lose of data during data reduction,data
reporting, and data entry to forms, reports, and databases, Provide,examples,of y foirms or
ohec lists to be used..
Identify and describe all data hand.11ug equipment and procedures to process compile, ai-A
1
analyze the data. This includes procedures for addressing data generated as part of the project as
well as data ft-om other sources. Include any required computer,hardware and software and
p
address any specific performance requirements for the hardware/software configuration used.
Describe the procedures that wUI be followed to demonstrate.•ate acceptability of the
hardware/software configuration required. Describe the process for assuring that applicable
ftyffirmation resource managerno-at requirements are,satisfied.
Describe the process-for assuring that applicable Agency information resource
�
management requirements- lPA Directive 21.00),are satisfied EPA QA Project Plans only)."If
,
other Agency data rx arra�,en e t re . cements are appllca le, such a the�l er�ieal�bst•set
Service iegistry Number Data Standard(FICA Order 2`180.1), Data Standards :for the electronic
a
Fiji al
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Contract "arse b'ie t Air Monitoring-Pass--."u Grant Contract umbeT-582-1 -4
r
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Transmission of Laboratory Measurement Results(EPA Order 2 f 80.2), the Minimum Set of Data
: en, "+ Ground-Water Quality(EPA Order 7,500,1 A), or new date.sty . ds as they are
issued by EPA, discuss how these requirements are addressed.
3 GROUIP C: ASST,SSMENT AND O E SIGH
group The elements M* this e address the activities for assessing the effectiveness
of,project implementation and associated.QA and activities. The purpose of assessment is t
ensure that the QA Project Plan is irtip m n ed as prescribed.
Table 3. Group C: Assessment aDd
versigf Ele ents
H C f Assessments d Response Actions
C2 Reports is to Management
3.4.1 C1 -Assessments and Response Actions
W Describe e e h assessment to be used 'in the project inlu.d� the frequency and type.
Assessments '
ss ssr nts � �, but rat lir `ted , surveillance,management systems reviews,readiness
reviews,technical systems audits, performance evaluations, audits o data quality, and data qua i Y
assessments. Discuss the *information expected and the success criteria(i,e., goals, performance
objectives, acceptance errterra spce�.fre�tions, etc. er�each assessment propose first h
approximate schedule of assessment activities, For any planned self-assessments(utilizing
personnel furor, .within the project groups),identify potential participantsmcd their exact
re at nshi wit. in the project �r nizat*on., For i deper dent assessments, identif"y 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 sell be reported.
Define the scope of a t onky of the assessors,including stop work orders,and when
assessors r-e authorized to act.
Discuss I-low response actions to assessment findings, incivamg corrective actions for
deficiencies and curer non-conforming conditions, are to be ad(h-essed aiAd by whom. Include
details on how the corrective actions will be vol'ified and documented.
3.4.2 C2 Reports to Management
MIR
p s s t n rmanagement �r Identify the frequency and d'stribut'o f r
otherwise)--of the project stat�.s-.fora,examples, repents on the results-of-performance evaluations �....
and system audits results f`periodic data gushy assessments, and.slgn%fie nt quality assurance
Final
EPA QA/R-5 20 March 2,001.
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Contract Nar e',Ambient Air M4n!itonng-Pass-Thru Grant Contract Number.5842-14-40060
IF
i
((f„
I
problems and recd vended solutions. Identify the preparer and the recipients of the reports, and
any speexa. actions rellentsre expected take rSUt reports.
3.5 GROUP D. DATA VALIDATION AND USABILITY
The elements in thi's group Table 4 address the QA activities that occur after the,data
collection phase of the project is cornpl�eted. Implementation of-these elements deter 'nes
e a nf o the s ec �d criteria, satisfying e project objectives.
hether or not
Table 4. Group D Data Validation
and Usability Elements
Dil Data Review, Verification, and Validation,
D2 Verification and Validation Methods
LD 3 Reconciliation with User Re wr ni nts
S-5.1 DI -Data Review, Verification, and Validatlion
State the criteria used to review and validate.._ that is ac,Qept,i 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 Oren:ding and validating data, including the chain-of-
custody for data tlu•ong of the r , ct or task. Discuss how issues shall be resolved
and the authollitles or resolving such issues. Describe how the res ults are conveyed to dam users.
Precisely define and interpret hew validation issues differ from v�f �.t n issues for this �r vet.
MRProvide xamples of any forms or checklists to be used. Identify aay project-specific,calculations
refired.
3.5.3 D3 - Recd�cillation w1 User Req i rem �r�ts
Describe how the results obtained tom the project or task will be ire anciled with the
requirements defined by the data user or decision maker. Out hie the proposed methods to
analyze the data and determine possible anomalies or departures from assumptions established M
the plan *n phase of data colle tion. Describe how reconciliation with user requirements will be
documented, issues will be resolved, and how ll r tion.s on the use of the data will be reported to
decis ionmakers.
IIMM Final
E T A QA/R-5 21 Mc-uch 2001
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'age 107 of 41
Contract Came.Ambient Air Monitoring-Pass-Thru Grant Contract Nurnberr 582-14-40060
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(TWs page 1s,intetitionally blank.)
If.
uMR
'lop
Final
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RFTERENCES
40 CFR.30,Code of Federal Regulations,"Grants and Agreements With Institutions of Higher
Education, Hospitals, and Other Nora-Pro fit Orga izations.
l
4 C �'.3 1 Code "Federal Re at ns "-Uniform d n n st a�ive I e I %rom nts for Grants;�
Cooperative Agreement to State and Local Govan nts.
40 C 5, Code of Federal Regulations, "State and Local Assistance.
48 CFR 46, Code of Federal Regulations, "Federal Acquisition Regulations."
ST/AS C E4 1994 Specific iron mental
� " "t , American �t z �r ,Data Collect' E .and
Janus 1995.
EPA Directive 2 I nformat on Resources Management P'o is 'Manual U.S.
Env romnenta Protection.Agency,Wass t r,DC.
EPA Order 2180.1 (June 1 987), Chemical str ct Seridee Retry Number Data Standard,
U.S. Environmental Protection.Agency, Washington, D C.
EPA Order 2180.2 (December 1988)1,Data,Standardsfor the..Electronle Transmission of
Laboratory ea s are rent Results, U,S.EnvironmenU Protection Agency, Washington,
DC,
PA Order 5360 Al (May 201010)1. EP Quality Manualfor 'nv ronment l Programs, U.S.
Environmental Protection Agency,WasWngton, DC.
EPA Order 5360.1 A2 ay 2000), Policy and Program Requiremenitsfor the Mandatory
Agency-wide Quality System, U.S. Environmental Protection Agency,Wash i g n, DC.
I Order�� � (October ' , � � � t r ata E"'em n s for G cunt�- to a ty,
U.S. Environinental Protection agency, Washington, DC.
��t Protect'on Agency, �� � r � t� ' Quality� � �U.S. nwro
Plane (QAIR-2)1, EPA/240/B-01/002, ice o Envir anrnen-tal Information.
:..
U.S. Environmental r tcct n Agency, 2000a. Gu d ance, oar Data Quality Assessment.-
Practical Methods ,Methodsfo,r Data Analysis(QAIG-9)15 E�: ,A/601 /.. ►6/084, Office
Environmental Information.
Final
EPA QA(R 5 23 Mat-c. 2001
Page 109 of 141
m.
r Contract Name:Ambient,far Monitoring-Pass-T ru Grant Contract Number;562-14.40060
'U.S. Environmental Protection Agency, 2000b. Guidanc r the Data Quality '' ject ves
Process (QAIG-4 , E. A'60 R 96/055, � ce of'Environrnental Information..
U.S. Environmental Protection Agency, 1998, Gu dance f or Quality Assurance Project Plans
(QAIG- , EPA/600/R-98/0 18, Ofice of Research and Developi ent.
U.S. Environmental Protection Agency, 1995, Guidance for the Preparation of Standard
-ocedures (SOPs)Jbr Quality-Related Documents (QAIG-6),EPA/6OO/R-
01-)era ting Pi
96/027,Office of Research and Development.
U.S. Envi'rownental Protection Agency,, 1980, Interim Guidelines and Specifications for
Preparing Quality Assurance Project Plans, S 005`80, Office of Research and
ern.
Y
1`
i
ii
Y;
J Final
EPA Q 5 24 March 2001
Page 110 olf 1411
Contract Name:Ambient ANr Monitoring-N ass-Thru Grant Contract Number:582-14,-40WO
l
a
u APPENDIX A
CROSSWALKS AMONG QUALITY ASSURANCE DOCUMENTS
A.1 BACKGROUND
7; d
This, appendix contains crossways between this document and other QA plan
documents. The first crosswalk mpar s `s r �irer��en�document t its predecessor
document, QA MS' 005180,Interim Guidelines and,Specs cation fbr Preparing Quality
Assurance Project Plans EPA 980). The second crosswalk compares the elements of the QA
Prgj ect Plan refined M this,document with the steps defined in Guidan e for the Data Quality
Objectives Process (EPA 2 b),the Agency's preferred systematic planning process
for envronmenta.l
decision making. This crosswalk is provided to assist the reader in deterrmning
how the outputs from the DQO Process can be integrated into a QUA Project Plan,
A.2 CROSSWALK BETWEEN EPA QA/R-5 AND QAMS-005/80
QAMS-005/80 ELEMENTS, QAIR- ELL ME NTS
1.0 Title Page with Provision for Al Title and Approval Sheet
Approval Signatures
2.0 Table of Contents A2 Table of Contents
3.0 PrO ect Description S Problem I: e 'ti on/B ackgrou d
6 Project/Task.Descri tion
.0 Project Organization and A3 Distribution List
Responsibility
Pr ej e t/T ask Organization
A8 Spy eci al Tra ning/ `mt:i att'on
A9 Documents and Records
5.0 QA Objectives f r Measurement A7 Quality Objectives and Cr ter a.
Data PARCC
Sampling Procedures BI Sainpling Process Diesign
2 Sampling Methods IJ
B Sample Custody
. Sample Custody M 00
8.0 Calibration Procedures and B In t rumentffi u*me t Calibration an
Frequency Frequency
Fi na
EPA AI -5 A-1 March 2001
Naas 111 of 141
1,
r
Contract Ia .Arable Air Monitoring-Pass-'rhlru Grant Confract Number.582-14-40060
i
QAM'S-00l5/80 TIC QA/R-5 E LEMENTS
9.0 Analytical,Procedures B 'iaiyt cai Methods
Data aU a o and data Review, eri ca io ,
R .n Validation
s, D2 Verification and Validation hod
Non-direct eas ern s
B 1,01 Data na e n
11.0 Internal Quality Control Checks BS Quality Control
IMP and Frequency
its,and Response Actions
12.O Performanceand Systems CI Asses,smei
Inspection, and Maintenance
14.0 ci c Define Procedures e Reconciliation with User Requirements
� surd eat Parameters, InvoIved.
15.0 Corrective Actioll CI Assessments and R. .ponce Actions
116.10 QA Reports to Management sports to Mal
l�
I
SPA R-5 March 2001
Page 11 12 olf 141
Contract Name: Ambient Air Monitoring Pass-Thru Grant
A.3 CROSSWALK BETWEEN THE DQO PROCESS AND THE QA PROJECT PLAN
Elements Requirements
Al Title and Approval Sheet
A2 Table of'Contents
A3 Distribution List
A4 Project/Task
Or anization.
A5 Problem Definition/
Background
Ab Project/Task Description
7 Quality Objectives and
Criteria
A8 Special Training/
Certification
A9 Documents and Records
EPA QA/R-5
PROJECT MANAGEMENT
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.
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.
.111111.
A-3
Page 113 of 141
Contract Number: 582-14-40060
DQO Overlap
NJA
N/A
Step : State the Problem
Step : State the Problem
Step I : State the Problem
Step 2: Identify the Decision
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
I I I
Final
March 2001
Coif
act Name: Ambient Air Monitoring - Pass-Thru Grant
Elem
Sampling Process Des
(Experimental Design)
B2 S$ piing Methods
3 Sample Handling and
Custody
B4
B5
a
ical Methods
Quality Control
B6 Ins ent' quipment
Testing, Inspection, and
Maintenance
B7 Instrument/Equipment
Calibration and
Frequency
B8 InspectioAccept ce o
Supplies and
Con - -- - ables
EPA Q =5
Requirements
DATA G
Outline the experimental design, including
sampling design and rationale, sampling
frequencies, matrices, and measurement
parameter of interest.
S sple 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 test
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 calibratio
should be done.
Define how and by whom the s pling
supplies and other consumables will be
_.
accepted for use in the project.
A-4
Page 114 of 141
RATION AND ACQUISITION
Step 5 Develop a Decision Rule
Step 7: Optimize the Design for Obtaming Data
Contract Number. 582-14-40060
DQO Overlap
Step 7: Optimize the Des i - for Oh
uA
Step 3: Identify the Inputs to the Decision
Step 7: Optimize the Design for Obta n n
Step 3: Identify the Inputs to the Decision
Step 3: Identify the Inputs to the Decision
Step 3 : Identify the Inputs to _ e Decision
Final
March 2001
Contact Name: Ambient Ajr Monitorin
Elements
....... _
B9 Non -direct
Measurements
11 111111111111III.1.,,,,,,
B 10 Data Management
Cl Assessments and
Response Actions
C2 Reports to Management
D1 Data Review,
Verification, and
Validation
. _
D2 Verification and
Validation Methods
a
D3 Reconciliation With User
Requirements
EPA QA/R-5
s-Thru Grant
Requirements
CcIntract Number: 582-14-40060
DQO Overlap
Define the criteria for the use of non- Step : State the Problem
measurement data, such as data that come Step 7: Optimize the Desi
from databases or literature.
for ObtainingData
Outline the data management scheme including Step 3: Identify the Inputs to the Decision
the path and storage of the data and the data Step 7: Optimize the Design for Obtaining Data
record -keeping system. Identify all data
handling equipment and procedures that will be
used to process, compile, and analyze the data.
ASSESSMENT AND OVERSIGHT
Describe the assessment activities needed for Step 7: Optimize the Design for Obtaining Data
this project.
Identify the frequency, content, and N/A
distribution of reports issued to keep
management informed.
DATA VALIDATION AND USABILITY
State the criteria used to accept or reject the Step 7: Optimize the Design for Obtaining Da
data based on quality.
Describe the process to be used for verifyi
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.
Page 115 of 141
Step 3: Identify the Inputs to the Decision
Step 7: Optimize the D
sign
,1111111.1111.
Obtaining Data
Final
March 2001
1
Contract Name:e;Ambie ACr Monitoring- ass ThrUl Grant Contract Number,582-14-40060
1p
(TI-ds page IS intaitionally a
5
�l
Final
EP QA/R-5 A-6 March 2001.
Page 116 of 141
1//
Contract Name:Ambient Air Monitoring Pass-Th'ru Grant Contract Number:582-14-40060
APPENDIX B
TERMS ANA DEFINITIONS
assessment the evaluation process used to measure the pertbrmance or effectiveness of a system
d its elements. As used bare, assessment is an all-lnncl is e terra used to denote any of the
fallowing: audit,performance evaluation,management systems rev w,peer review,inspection, or
surveillance,
RIP audit(quality) - a systematic and independent examination to determine whether quality
activities and related results comply with planned arrangements and whether those arrangements
are implemented effectively and are suitable to achieve objectives.
cali rati n comparl son of a measurement standard, ins ant, 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 or
samples, data, and records.
contractor any organization or,individual that contracts to f.r lish sere ers or items or perform
wor a supplier in a contractual situation.
data quality assessment- statistI a. � s�i�ntific evaluation of the data set to det�rn�i e the
validity and performance of the data collection design and statistical test, and to determine the
adequacy of the data set for its 1*11tended use,.
data usability the process of nsur g or det n-A " whether the quality of the data produced
meets the intended use of the data.
design -specifications, &-awings, design criteria,and purformance requirements. Also the result
of deliberate planning, analysis, mathematical manipulations, and design processes.
environmental conditions - the description of a physical mediinn(e.g., ai r,water, soil,sediment)
or biological system expressed l i:n temps o its physical, eh�e eal,rad'olagie,a�, o�r biol gic l
eharacten'sti:es.
e irar me t data any measurer ents or information that describe environ ental processes,
log:ation.,or conditions ecological or health effects and cons epees or theperformance of
environmental technology. For EPA, environmental data elude information collected directly
fro .. 4_„ca.sur me'n s,produced ffotn models, and co iledfrom other sources such as data bases
or the literature.
Final
PIP
Page 117 of 141
Contract Name:;mI)Ient Air M n1 ri g-Pass-Thru Grant Contract Number.582-14-40060
environmental data operations work performed to obtain, use, or report information
pertaining to n it nmental.processes and conditions.
environmental processes manufactured or natural processes tliat produce discharges to, or that
impact the ambient env'ra�nrn�nt.
environmental programs -work or activities involving the environment, including but not
limited to: characterization o enVUODmental processes w d conditions, environmental monitoring-
environin, ent l research and developme nt the desi h,construction, and operation of
environmental technologies; and laboratory ry operatio on environmental samples.
environmental to hnolo - an all-inclusive terms,used to descri c pollution control devices rind,
p�
systems, waste treatment processes, and storage facilities, mid site rcmedi ation technologies and
their components that may be utilized to remove pollutants or contarninants from or prevent them
from entering the environment. Examples include wet scrubbers (air),,soil washing� (soil),
granulated Mated.actaivated 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 contamiffiants, such as capering, solicHicati n or vitrification, and biological
treatment.
financial assistance-the Process by funds are provided by one organization usually.
goverment to another er iz tion for the purpose of performing work or furnishing services or
items,s. Financial assistance mechanisms include grants, cooperative agreements,performance
partnersliipi agreements, and government interagency agreements..
w
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
71 P
needed in the quzlity of the results.
independent assessment an assessment performed by a.q'ualitied it dividual, group,or
organization that is not a p �
t of the or� i.izat'on directly erf r*ning and accountable,for the
work being assessed.
" "oar at on resources management the planning, budgeting,organizing, directing,, training
and controls associated with in orrnation. The term en onapasses both information itself and
.related resources such as p rson-nel, equipment, funds and technology.
inspection - an activity such as measuring, exam" ' ,testing, or gauging one or nr re
characteristics of an entity and co pup in the results with specified requirements in order to
PIP
es-tabli�sl whether d nforn .nce is achieved for each characteristic.
f
Final
EPA QAJR
B- March 2001
Page 118 of 141
POP Contract Name:Ambient Air Monitorirg-Pass-Thru Great Contract Number:582-14-40,060
u management system - a structured,-non tech.r c .l system des' g te ollces, object"
principles,organizational authority,responsibilities, accountabilit
and y, IMP ement tion plan of an
organization for conducting work and producing,items and services.
method - dy �f procedur d techniques r e
activity (e.g., sampling,
rr odelfg, chemical analysis, quantification)systernatically presented in the order in which.they
to executed.
participant- when us in the context of environmental programs, an organization, group, or
individual that talces.part in the,planning and design process and provides s eel al knowledge or
,skills to enable the planning and design process to meet its objective,
performance evaluation -- a type of audit in which the quantitative tltative data generated in a
measurement stern. are obtained independently and compared with routinely obtained data to
evaluate the proficiency,of an analyst or laboratory..
quality-tlic totality of feaftires 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 A - an integrated system f management activities involving l rain ,
implementation, documentation, assessment, reporting, and quality finprovenient to ensure that,
process,item., or service is of the tic and quality needed and expected by the client.
ill assurance manager -the ln�vidual designated as the � pa manager wit the
orgallIzation hang management oversight and responsibilities for planning, documenting,
coop~diriat , and assessin the c ectivcnes�of tl�c quality � , tc�ai. .°the or arizatior�..
� � �
quality assurance project plait a document describing in comprehensive detail the necessary
QA, QQ and other technical activities that must he implemented to ensure that the results of the
work performed will satisfy the stated performance criteria.
qualm control Q - 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 tcchniqucs and activities that are
p
used to fulfill requirements for quality.
quality management-that aspect of the overall mariagement 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, im lcr entation,
documentation, and assessment)pertaining to the quality system.,
quality management plan - a document that describes a quality system '111 terms of the
organizational al structure,policy and procedures, f inetional responsi.bilities of management an.d
iiial
EPA -.5 B-3 Marc h 2001
I
Fags 119 of 141
O
Contract Name..a rnblent Air Mon1toring-Pass-Thni Grant Contract Number:582-1440060
staff, lines of authority, and required interfaces for these " lementina, documenting,
IMP
and asmessfig all �.etiv ties e�� ducted.
quality system-a structured and documented management system describing the policies,,
b c s pr e p es, organizational authority,respor sihi :hies, aeeount a w*bty, and " ale :eratation
plea of n,organization for ensuring quality m its wore processes, products (items), and services.
The quality systein provides the ftinnework for planning, Implementing, d eumenfin , and
assess n *k performedby the ergardzation and for carrying out required QA and QC activities.
read. r ess review -a systematic, documented e of the read for the stagy~ or continued
use of a facil-Ity, process,or activity. Readiness reviews are typically conducted before proceeding
beyond project milestones and prier to initiation of a major phase of work,
record completed d e e t th at pro*des,object*ne ev*dence an ite or process. Records
may i eiude photographs, drawings,, ray agnet e tape, and other data reeordi g media.
�p�e ' cation a document stating requ. �eme�n� and which refers t o• "includes drawings, r other
relevant documents.eats. Specifications ou ,indicate to the me ns and the criteria for determining
conformance.
supplier any individual or er; , r zat o ffirra'shi ag iteins or services or pertorming work
accordffig to a procurement document or Financial assistance,agreement. This is ail 'elusive
terra used in place of any of the following-, vendor, seller,contractor, subcontractor, fabricator,or
FM surveillance qualli - continual or frequent monitoring and veri,tication of the status of an
entity and the analysis,of records to ensure that spec. led requirements are be ng f1iffilled.
,s
tee hnl*ca I systems audit TSA a
. thorough, systematic, or-site, qualitative audit of facilities,
equipment,personnel,training,procedures, record keeping, data validation, data management,
d reporting aspects of a syste n,
Vall
'd atio -confirmation by examinatior and provision of o eeti° c evidence that the particular
requirements for a specific mended use are fulfilled. In design and development,validation
concerns the process of examining a product or rest'.t to determine conforinance to user needs.
verification confirmation by exWnMation and provision of objective evidence that specified
requirements have been fulfilled. "In design mid development, ver-fic tioll conee s the process of
e ara i n a result i` en et t� to deter in' conformance t �e fated a"eat aireme�ats for that
activity.
Fi,nal
EPA QA/R- Much 2001
Page 120 of 141
;, Contract game:Armbient Air Monitorling-less- hru Grant Contract Number:582-14-40060
Exhibit A-3
147Y-201,.4 SECTION 105 CONTRACT QUARTERLY REPORT
Check List for Reimbursement Request Approval.
QUARTER DATES TO
Sections C are all part of this Ch .
� i� with CFR 5 acc r ng t� . you reviewed procurement,n �� � n
the Procurement System, Certification nn EPA fore 5� 0 � 8 In your Financial Application
Package
Yes. The certification was submitted on
No. This is not our year to do this.
IMP
2, Have,you purchased any propel items with a unit acquisition cost of$1,000 or more
} Yes. The request to purchase, the property i i s was approved tae TCEQ on
4
No. We have not madeany such purchases.
3. Are you a n i-drng,property records: physical inventory)
Yes. 'They are available in our off-ice..
1
—_..—N . Pease exp l c
A-4, Is the queerly Progress Assessment Reports, attached o this Reimbursement
Request.?
r Yes,
..._,_ o Please expo
r
A-5. What is the date of our most recent n e pendent audit report (required by O A-133).
Was this report submitted to the TCEQ Project Representative?
Yes. Submitted on
No. 'lease explain.
gin.
M;,
Page 121 of 141
Contract Name:Ambient rear Motillor n�g-Pass-Thru Great Contract Number:582-14-40060
A-6., Have you provided wn'tten response to the FAY-2013 End-of-Year Review que
ire by
the deadline of September 30, 2013 car within 30 days after rese t o the quest omiaire
yeso It was submitted on
-.---No. Please explain.
Due,in the l st quarter of the Contract only.
A-7. Within 3 (lays of receipt of your Y-201 End-of-Year Review Assessment did you
r de " formation concern'ng act'ons, to he taken to correct any deficiencies, fo�tmd during
the End-of-Year Review
Yes.
Now Please explain.
N/A. We had no deficiencies,
A. Not due this quarter.
A Have the decencies been corrected9
Yes.
r .
-No. We are still within the 9�O da y window.
No. There are deficiencies that cannot be corrected within, the allotted time-frame.
An explanation is attached.
N/A.
A-9, Have you perforined a physical inventory of total property purchased with funds provided
by contracts with TCEQ by the deadline of August 31, l
_....�..._Yes. The report is,available in our of ce,
No. Please explain.
NA. Due in the 4th garter of the Contract only.
A-10. y unresolved sbortages zuid w1 �o ram med.lasses exceeding 1,0'00 y
a�� � reported �nrc��l�r
the deadline'off"August 31, 2
Yes. The report was made on
No. We have n. ne to report,
� N A. Due In the 4th quarter of the Contract Daly.
Page 122 of 141
Pro
,
Contract Namen ,'Ambient Air Monitoring-Pass-Thru Grant Contract Number:532-1440
v
A-11. Is the final Financial Stat 8 R p -rt for this Contract, along with a list of property costing
$1,0100 w or more and purchased with contract funds, attached to this reimbursement request
and being submitted no later than the deadline of September 30, 201
Yes.
No. Please explain.
NA, Due in the 4th quarter of the Contract Daly.
A-12. You are required to provide matching d of not less than thirty -three percent (33% for
the Section 105 Contract part of wbich can be ids from the State Compliance Contract.
Funding allocated for T'it e 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 no more than amity. sever, percent (67%) of tots. funding for
this program comes from State d Federal sources. Please .tilt the breakdown for your FY-
2014 air program:
State Compliance Contract %
Section 105 Contract %
Other 1 F and s
City/County Funds %
Total 1010%
I order to accurately calculate your match under the terms of the State Compliance
Go .tr,act and the Smtiori 105 Contract, you must include any additional 1.05 funding you
have received directly fi-orn the EPA that.% not processed through the CEQ-
........:.
Page 123 of 141
o;.
M Contract Name'.Ambient Air Monitoring-Pass-Thru Grant Contract JUmber:582-14-40060
B.
ua11 Assur ce Planning
-I Have you sub 'ttod a reused updated Quality Management Plan or certification of no
changes by the deadline of November 15,,2013?
VIP
Yes, The report was submitted on
.� No. please explain.,
NA. Not due this a :rter.
B-2. Have you submitted the QualityAssurance Project Plan or certification o no changesby the
deadline of'March 15 20 �?
Yes. Tt was submitted.on
No. Please explain.
NA. Not due this quarter.
C. Monitoring Overations Program
G 1. Have there beein any changes to your Scrape of Work as outlined gun Attachment
(Statement of er ices to be perl"orrned).9,
MIR, Yes.
No.
C-2. laid, your monitoring staff participate in any applicable training activities during this
reporting pen'od?
Imp Yeas. Please list.
N .
C-3. Have you performed, accuracy audits on at least twenty five 'percent 25 of the
SLAMS[PAMS designated monitors during the reporting period
Yes. The report for this wilt be submitted with forty eve 1 4 days of'the end of the
quarter.
No.
C . Have you collected air quality data during the quarter which you will s ub 't to CE in a
mutually agreed upon format
Yes, The report will be submitted no later than
No.
C-5. Was precision and accuracy data collected to quality assure the aff* data?
—Yes, The report will be submitted no later than
No..
Page 124 of W
PIP
w
Contract Nainne:Amblent Air Monitoring-b'as's- hw Grant Contract Number:582-14-40060
C-6, Have you experienced any significant equip ent f"aflUTC or instniment malfunction?
Yes. Please!explain.
m
f C-7. Ha s 30 days written:notice been given prior to the start of any special purpose monitoring?
Yes. Notice and a s Crary report submitted on
o.
N/A. We a no new SPMs..
C-8. Has reporting of Special Purpose Monitoring data been submitted in a mutually agreed upon
f`orina.t w'th quarterly data?
Yes.
�.. . Please explain.
N/A.
C-9. Has a summary report of.Special Purpose onitor ng results been submitted in a mutually
agreed upon format,upon completion of monitoring?.
Yes. Report was submitted o
No. Please explain.
N/A.
C-10. Have you submitted a review and evaluation document, including recorrunendat ons for
network changes, for the SLAMS'Network Review by the deadline f May 1
Yes, Submitted on for . quarter.
No.
��11. Have you subs tt d� t requ rid Quarterly Status Report for e a uatln ade ua of the
emstmg network to:greet State and Federal standards?
Yes.
o. Please explain.
NA
G 12. If any changes were reads to your local monitoring network during a quarter, have you
determined wh ther the nearest Practicable estimate of you x actual cost (including your
required. match of thirty three percent (33%)) for the Morlitoring Pr gram activities, 'is less
than or equal to the cumulative fixed montMy fee?
f
ye- s.
No.
Page 125 of 141
� � � wr I �' I �I� i
w� �r I
j,
Texas Commission Environmental Quality
Pr'110 Form
j' 1W 4I
Federal F d*ng Tra s ar ncy Art Reporting Foy rrr
(See attached instructions and return completed form with signed copies of contract)
[CEO
1) Name City of Fort Worth
2) DBA Name Transportation&Public Works Department,
Environmental Services Division
3 DUNS Number 4)DUNS Number
5)Address 1 000 Throckmorton Street
ity Fort Worth State Texas Zip Code 76102
County Tarrant
6 Parent DUNS Number
7 Primary site where the 1000 Throckmorton Street
work will
be performed
City Fort Worth State Texas Zip Code 76102
County Tarrant
) a),In your business or organization's previous fiscal year,did your business or organization(including parent Yes
organization,all branches,and all affiliates world wide)receive 80 percent or more in annual grass revenues Promo
U.S.federal contracts,subcontracts,loans,girants,sulagrants,and/or cooperative agreements? No
If No,then go to question No.g and complete remaining questiions.
In your business or organization's previous,fiscal year,did your business or organization(including parent "des
organization,all branches,and all affiliates world wide)receive$25,,000,000 or more in annual grass revenues No
from U.S.federal contracts,subcontracts,loans,grants,subigrants,and/car cooperative agreements?
If No,then go to Question No.9 and complete rernaiining questions.
c),If Yes,complete link to SF htt ,//www.sec. ova/
p p g
Otherwise,provide names below
d Provide below names and compensation of top 5 highly compensated officers:
Name Amount
Name Amount
Name Amount
Name Amount
7 Flame Amount
`CEQ-20589 Page 1 of 4
Texas Comm6sion n tnv onm r� a Quality
4W Federal Funding Transparency Ac t Reporting ti Form (Continued)
(See attached instructions and return completed form with signed copies of contract
EQ,7
D1, 9 Project Description
[Operation and Maintenance of the PM 1 0 sampling net work
1 Contract Number 582-14-40060
11 Form Pre parer"'s Name Samellla Wilson 12 Pre arer's Title
Accounting Services Supervisor
13)Preparer's Phone Number 1 7.392-2335 14 Date Form Completed 109/11/2013
T'CEQ's USE ON�L,Y
1 Date Contract Signed 1 )Amount of Contract
1 CFD Program Number 1 )CFDA Program Title
1 Federal Agency Name
2 11)TCEQ Umbrella Contract Number
20)TCEQ C�onitract Number Work Order Number apipil cab e)
22 USS Grant Number
TCEQ-205 9 Page 2 of 4
is
Texas Commission n Environmental Quality
Federal Transparency Act Reporting Form Instructions
Ab MM
EG
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)profiler
N 2 The"doing-business-as" name of the contractor's organization which corresponds with the contractor's DUNS which appears in
the ventral contractor Registration (CC profile.
3 The contractor's organization's g!-digit DUNS number.
The extension to
the NS,number created by registrants in Cc R when there is a need for more than one bank/Electronic
Funds Transfer(EFTS account for a location,
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5 Address where the contractor's organization is,located which corresponds with a CCR profile..
The contractor's parent organization's -digit DUNS number which corresponds with the parent CCR profile.
Primary site where the work will be performed.
If.,, a In your business or organization's previous fiscal year,did your,business or organization(including parent organization,all
Ibranches,and all affiliates world wide),receive 80 percent or more in annual grass revenues from U.S,.federal contracts,
subcontracts,loans,grants,subgrants,and/or cooperative agreements? check Yes or No. If NO,,then go to question#g and
complete remaining questions.
Ib 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 Igo. 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 fled sunder section(113(a)or 5(dl)of the Securities Exchange Act of 934 U.S.C. 8m a, (d)or section
6104 of the Internal Revenue Code of 19867 Complete the link:to Securities and Exchange Commission(SEC S
http://wwwwww.sec,gov/
d)If not,then provide the following: Names and compensation of top 5 high�lly compensated of i'cers, if applicable(This will be the
same compensation information which appears in contractor's CCR profile.)
g 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 piroect in the umbrella contract.)
10 Identifying contract number assigned b►the contractor for tracking.
11 Identify the form preparer"s name.
1 identify the form preparer"s title.
13�), Identify the form prepa,re,r's hone n mbeir.
1 Gate form is completed,
NO
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TCEQ-20589 Page 3 of 4
�,
elan Commission nv1ron� ntl Quality
go AIM
low "M Federal Funding Transparency Act Reporting Form Instructions,
M I' '
(ContiUnued)
TCE
TCEQ si USE ONLY
5 Date the contract agreement was signed.
1 The net dollar amount of federal i funds awarded to the contractor.
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1I7 The program number,associated ed wit the published description of ecleral assistance program in the catalog of Federal Domestic
Assistance(CFDA)
1 The program title ass ciated with the publilsh:ed description of federal assistance program in the Catalog of Feclerall Domestic
Assistance CFC ,
19 The name of the federal awarding agency.
2 Identify CEQ's contract number.
2 Identify c Q's Umbrella Contract Number and Work Order Number(if applicable).
22 Identify Tic 's Uniform Statewide ccou ntin System S Grant Nu ber.
IMP
TCEQ-20589 Page 4 of
Contract Nerve*Arnblenit Air Monitoring Pes -Thr Great Contract Number:582-14-40060
Texas C trdsslo n on Envi"rionmental Quality
ffistorfcaEy UnderutiflIzeld Business(BUR),
nst uctio s for prime contractors of hew to,fill out the Progrw Assessment R pl ir t(PAR)tone. Refer attached
PAR for n'n excel,.
(a) Con a eq 'sltlon Nt x r:enter your contract number,for example., 582-12-
H�UO Subconrm; ft Plan)
Aftac men
r Progress Assessment
be.completed
,ontraetl ,equisition Number. Via) bete of Award: (b) Object Code. c
( rn (Aqorq Use nn
MW Contracting Agency/University Name* dl
Contractor(Company)Narne: (e) State of "e w "I . f
P!oint of Contact: W Phone#
Reporting tin (Month)Period: i) 'Total!Arn l Paid thins,Reporting Period t �
Report HUB and MW HUB subcontractor intormation
................
ubcontractor's Name Subcontractor s V'ID or Tees.. ` � r�t a
... . il Total Contra�t�� . m �..�
ota�Contract ot
HUB Certificate Number Certified Amount from HSP Tills Reporting Period A ou:nt Paid to
' B with Subcontractor to Subcontractor Date to
(Yes or Subcontractor
U rr o
$_
e
$- w,
.. .........
� $- -
$
........_......
$- $-
$_
$!-
1 _
1 n h
Signature: Titlo Date:
'Note:,HI B certificatlion stalt is can be verified on-line al.: p,- .c .sta A x.uI c l u IIy. Rev®1
'Date of Award,:enter award date of contract.
Page 131 of 141
,
c
R�, Contract Dame:ambient Air Monitoringi..Fuss-Thru grant Contract lumber 582-14-40060
c Leave this blank;agency to fill-in,
l Contracting A nc Unt"Ve city Name.-ent-er Texas Commission on:Environmental Quality.
J Enter Work Order number(example 221-01.23,)aid in dit e N'Umber
e Contractor(Company)Name:e:enter your company me as stated in the Contract
State o Texas VED#.
Prime contractor Vendor Identification. Number
er
g post of Contact enter company's representative
h Phone#: enter point of contact phone number* start with area c xx-yyy-z z or
your -800 number
l" Reporting oath period:enter invoice s,ervice period
1 Total amount paid this reporting period to prlme—contractor: Delude lump sum of all
totals paid t prime contractor and all
-contracting for t�, invo c pe iold. This
"
should equal '111 sum to the prime contractor invoice.
1 Sub contractor I''s name: list all your subcontractors.This will inckide all HUB aj d non-IIUB Subcontractors
listed on the HUB Sub-contracting Plan,HSP.
k2Subcontractor's VID
1 Texas Certified HUB"?(Yes or No):enter YES If the s bcontractor is an Active HUB,
w
tal Contract �n��n�t f �n �p With Subcontractor:enter t�� ��rt from����
by ultlplying the
percentage goals with your Cont act Amount.This
arnount will be the sarnie,throughout the life of the Contract,
unless an amendment has taken place.
n) Total S Amount Paid"etas Reporting Period to S t c ntractor: cr ter the participation amount from
Subcontractor for this invoice only.
'.petal Contract$Ajino ant Bald to Bate to Subcontractor:alter the total amount for this subcontractor
invoicing,from the initiation of this contract,
Leave this blank;agency to fill-in.
M,;
If you have any questions please feet free to contact the TCEQ 14UB office at 512/239-1273.
r
P�
Page 132 of 141
i
Contract Name:Ambient Air Monitoring Pass-Thru Grant Contract Nurr) er.582-14-40060
-ru QPURCHASE,VOUCHER page of Form B-2
Agency No. 582 Agee y Mr nc 'Tc.xas Coainiission on Eilvil°oai. ,ellt;vid Qu j
I dale TCEQ Received 2. Sciii,ce Dates
I1� r�a�ala-a�;t/Pcaa�°hs �I�, Tex�a,amtec.l P'a�eaa�: '. I�""ax�szmaA:L'D�tae
Order 1) r
a, payee Idell.�c adol)Now 8. Vow Prepared Br, D
7. Pay T (Payee Nam /&dr ss): 9. Cotrad oudmr Auditor, Dec
10. FINAL BUJ
DOS REFDOC SFX TRANS INDEX MOD AY 11. PCA
Fx PCC
CODE p
281
001
SEAQ REQ N COMP A Y OBJ 1 2. +4A MOUTVF RVS K NUMBER
gg NO OBJ
i
1 , EWOICE NUMER DESCRIPTION 14. CONTRACT GRANT PROJECT NO,
NO. NO.
DOCS { D
Fx CODE
281
001
No COMP AGE'OBJ 12. AMOUNT RV
NO. 'off
J„1
13 OICE NUM03ER ]DESCRIPTION 14. GRAS NO. PROJECT NO.
CONTRACT
NO.
15. DES'CRII�I"ON F GOODS w �5I*11VIC�I.� 16. QUAN l I'ZxY 17. 13 Irr 1 . AMOUNT
I�I
PRICE
a
j
I GAL D'I . 11ll` `. X'T
approvc ffils volixtif.;r llor Iaymait. 'llic above goods or scaices causp s aaevery invoice{�� ��r� (lc c ��acN� �c1c�� �ca �� ��� �aacla��� "�a Ior the goods
1
Correct.selTices is "T`h! xa Dealt o=lies valh die G aaej° A Baia lions Act.
19. DIVISION S)GN 19. P11011L(Area I.Q. 1141te
APPROVAL I cod
BATCH NO BATCH DAB E NTEWM BY DATE, BASED'BY:
DATE MAR-ED OR WARRANT MJMBER D ERECT DEP OSIT TRANS MY[TAL NUNS El R
TRANSMYTTED
Page 133 of 141
Contract Name: Ambient Air Monitoring - Pass-Thru Grant
TCEQ INVOICE
Agency No.
Agency Name
582 Texas Commission on Environmental Quality
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
4. Prepared By:
6_ FINAL BILLING:
(Please circle one) YES NO
7. DELIVERABLES $. QUANTITY 9. UNIT PRICE 10. AMOUNT
Total Amount of Services
Rendered
Less 33% Match
Total Reimbursement
Tota
APPROVAL SIGNATURE REQUIRED FOR FINAL BILLING ONLY.
Contract ember: 582-14-40060
Form B 3
TCEQ Contract No. 582-14-40060
Date
6. This Invoice Amount: $
CUMULATIVE 12.
QUANTITY CUMULATIVE
AMOUNT
I approve this release of the clams for payment of any funds due and payable by the TCEQ pursuant to the terns of the Contract n Attachment B, Article 2a., entitled Anna! Payment Request
13. PAYE SIN 14. Pntea 15.
APPROVAL HERE: Name Date:
BATCH
NO./TYPE
i 4
ISSUE
DAT MATE
MAILED
DATE ENTERED
NT NUMBER
ENTERED BY
RELEASED BY
DATE RELEASED
Page 134 of 141
INVOICE NUMBER RTI NUMBER
TRANSMITTAL TAL NUMBER
DO
C
NO.
�j
*, Contract Name:Amt blent Air Monitoring_Pass-Thru Great Contract N rnber,582-1440060
-Financial Status Report
STATE AGENCY ORGANIZATION UNIT T
WHICH REPORT IS SUBMITTED-.
2.F3 GRANT/CONTRACT, L
PAYEE IDENTIFICATION NUMBER . RECIPIENT O GANIZ T: N NAI E AND COMPLETE ADDRESSr INCLUDING
Z mr P CODE
5. TCEQ CONTRACT NUMBER;
6. FINAL YES NO_
REPORT:
7. ACCOUNT'-"NG 'CASH ACCRUAL
BASIS:
TOTAL PROJECT/GRANT PE I D 9., PERIOD COVERED BY THIS REPORT!
10. BUDGET CATEGORIES Approvied Pro3ect Cost Cumulative Balance
Budget T,his Report Project Cast
.rsom. S
b.Fringe Benefits
.Tra o
d.Supplies
e.Equipment
.Cont actaal
,,.
/ i iM,«W..o t,a,l D_:,r o c,t ✓o ikJ t ham..
S T a � �}
.Indlre t Cost
k.Total Cohn of
LRecipient Cost Sham
(33' )
MTotal Reimbursable
Costs (k-1)
i t (Itemize) on the appropriate supplemental fV m all c J mp n ent expenses py is 4 }
h.
U
a ce categories.,
Please attach receipts, i
in rdan e with Attachment B of your contract.
**!Negative balances in and of the budget... categories should be explained in a brief accompanying
11. ERTIFICATTON T certify to the best of my knowledge,. and belie' that this report is c rrect and
complete and that all Outlays and Unliquidated Obligations are for the purposes set forth n, the
award, document.
�1_4_n7sture of Authorized Certifying
Official
'yped or Printed Name are
T.I.
Ielephone (Area code, number and Date Submi tted
t.
Form B-4
Page 135 of 14
Contract me:Ambient Air Monitoring-Pas Thru Grant �c�rrtr� t�Nr_ 582-14-40060
Contract Nu���r.582-14-40060
7 ITEMIZATION OF EQUIPMENT AND CONTRACTUAL COST'S
EQUIPMENT PURCHASES d q,rinq TtS �eport eriod)
NUMBER 11 g: "'I'lWill 1"1,
ITEM DESCRIPTION UNIT' TOTAL
PURCHASED COST TASKS
�►
(Should mach description pro for COST'
r,
approval)
TOTAL EQUIPMENT EXPEN ITURES(roust agree with:line 10e on,Form 2 a) $
CONTRACTUAL EXPENDITURES (during this report p
P� SUBCO ITRACT NAME FOR COST THIS PERIOD) TASKS
.. .
TOTAL CONTRACTUAL EXPENDITURES(rrust agree with lino 1 Of on Form 269x)
m LEGIBLE PURCHASE ORDER AND/'OR INVOICES MUST BE ATTACHED TO THIS FORM FOR EACH LISTED ITEM OR
EXPENDITURE.
ITUNEE..
Page 136 of 1
Contract Name:Ambient Air Ionitoring_Pass-Thru Grant Contract Number.582.14-4OD60
ITEMIZATION OF CONSTRUCTION COSTS
CONSTRUCTION CO TS (during this report period)
a
DESCRIPTION
1111 1 20,111101
I rp
"
y
"
t
I, 1
i
TOTAL CONSTRUCTION EXPENDITURES(miust agree wiith lime 109 on For+ r 269a)
i
*LEGIBLE DOCUMENTATION MUST BE ATTACHED!FOR ALL LISTED EXPENDITURES
Page 1.17 of 141
N�
ortrac Name:Amble t Air Monitoring-Pass-Thru Grant Contract Number:582-14-40060
ITEMIZATION OF' SUPPLY AND OTHER COSTS
SUPPLIES PURCHASED (during this report period)
ol-Iiiii"- I
NlUiMBER ITEM DESCRIPTION 7- BIT TOTAL TASKS
PURCHASED "hould match description provided for approval
COST
COST
e
OP
TOTAL SU PP I-Y EXPEND 1 T RES(mask agree with line 1 Od on Fora 269a)
OTHER EXPENDITURES (during this report
.................
NUMBER DESCRIPTION IPTION UNIT TOTAL ASKS
PURCHASED COST COST
r
It
1=
TOTAL OTHER EXPEN DITURES(mint agree will~ lire 10,h on Form 269x) �
*LEGIBLE RECEIPTS OR OTHER SUBSTANTIATING DOCUMENTATION MAY BE ATTACHED FOR EXPENDITURES THAT
EQUAL OR EXCEED$5 r
ITEMIZATION OF PERSON N E USALARY AND TRAVEL COSTS
Page 138 of 141
„
i P ,r
Contract Name,Arrblent Air Monitoring-Pa -Thru Grant Contract Number.582-14-40060
ERSCJMNEL/SALARY EXPENDITURES (duri iod)
EMPLOYEE NAME TITL,EIPOSITION SLR (THIS
PIF TASKS
l 14=0W PERIOD
or
I„
TOTAL PERSONNELISALARY EXPENDITURES must agree with lire 10a can Form 269x)
T AVER. EXPENDITURES a "n phis report lod)
................... ...
DESCRIPTION REASON COS” `HIS PERIOD' TASKS
1 pp
FRIT
ri
1rJ
J/
OTALT RAVEL EXPENDITURES (must agree with flee, 1 Oc on $
IF" m 269�)
SUBSTANTIATING DO MF T TI (time sheets,travel receipts,etc.)IMAM BE REQUIRED TO BE ATTACHED TO THIS FORM
Page 139 of 141
Cortract Name-,Amblent Air Monitoring-Pass-Thru G�rant Cortract Number:582-14-40060
F m
andal Status Rep�ort Preparation Instructions
I. The PERFORMING PAR"IT, 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
other�lAn'se 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
"M
quarter. The reporting periods shall also�correspond to the State of Texas fiscal year quarters
(September-November; December-February, March-May; June-August). Each Financiai
Status, Report shall indicate, for eacbbudget sub-category the PERFORMING PAXI'Y'S Pr "ect
Is -1 to 03
expenditures for the perlocL in question,the cumulative expenditures With respect to ellach
budget sub-ca,tegory, and,the balance remaining in each.budget sub-category following
0 2
reimbursement of the amount being requested. A quarterly Financial Status Report is required
a& -
ev�en it 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
I with respect to
-i and *dent'fied
PARTY on Supplemental Form 269a I
th aj
e m or tasks or
objectives,,set forth 'in the Scope of Work,that such expenditures,support or satisfy. In
4
addition,the PERFORMING PARTY shall attach,f0Teach reimbursable cost listed on
Supplemental Form 2.6ga-i, legible documentation that (1) serves to further 'Identify the
specific piece of equipment received br the services prov ided, (2)clearly identifies the vendor
4 0
or Subcontractor who provided the equipment or se!mces,and(3)that confirms the
reimbursable amount listed on the form. In the case of equipment purchases, the attached
-subm,tted
documentation shall be either a purchase order marked"rece'ved/p�a"d"or a vendor,
6 6 4 t I
invoice simiiariy marked. Inthe case of Subcontractor provided services,the documentation
shall consist of a datedinvoice that shows the amount billed to the PERFORMING PARTY and
0 it
-om previous invoices.
any"past due" amount.ft
3. All requests under this Contract for the reimbursement of expenditures that fall,Within the
IF "Construction"category of the Contracts Cost Budget shall be 'Item ized by the PERFO RM ING
PAR"IT on Supplemental Form 26ga-2 and "Identified with respect to the major tasks or
objectives, set forth in-the Scope of Workthat such expenditures support or satisfy. In
addition, the PERFORMING PARTY shall attach,for each,reimbursable cost listed on
Supplemental Form 269,a-2,legible documentation that(1.) serves to furtheridentify the
11 .0 t" the vendor or Subcontractor who pro *ded the construct'
specific CoSt, (2) clearly ictenti-nes, 'V1 ion
related materials or services, and (3,) that confirnis the,reimbursable amount listed on the
forin. The attached documentation shall be either a purchase or�der marked "received./paid"or
a i I i flarly marked. In the,case of Subco tractor provided construction services)the
n involce s m Ti
documentation shall consist of a dated invoice that shows the amount billed to the
PERFORMING PARrIT and any"past due"amount from previous invoices.
4. Altrequests-for the reimbursement of expenditures that fall wiMin either the"Supply" or
"Other"categories of the C;ontracts Cost Budget shallbe itemized by the PERFORMING
PARTY on Supplemental Form 2.69�a-3 andidentified with respect to the major tasks or
objectives,set forth in the Scope of Work, that such expenditures support or satisfy'. In
addition,for anysingle-listed itern or Service costing more than$50�0,the PER-FORMING
PARTY shall attach, for each reimbursable cost listed on Supplemental F orM 26ga-3,,legible
Page 140 of W
Contract Name'.Ambient Air Monitoring-Pass-Thru Great Contract Number*582-14-40060
RR V
documentation that i serves to further 'Identify the sped ffic 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 marled"received/paid" represent the preferred es of documentation for purposes
of this section the PERFORMING PARTY may substitute/attach other records or documents
that provide the saes type of information. ne PERFORMING PAWIT shall not Into titionally
brash up single orders o 'identical,or similar r e , materials,or Supplies simply for the
ming u»
purpose avoiding the above requirement v�. onfir �-nta ' n when
submitting reimbursement requests to the TCEQ4
u All requests for reirTibursement of expenditures that fall Within either the"Personnel/S Lary,
r ` "ra el"categories of the Contracts Cost Budget shall be itemized by the PERFORMING
PARS on Supplemental F"orM.269a-4 and identified With respect to the major tasks or
u
objectives, set forth * 1 the Scope of Work, that such expenditures support or sate fy Although
no supporting documentation is required t be attached to Supplemental Form,269a-4 with
:respect to reported cc pers nnel/Salary a� expenditures in order to receive reimbursement,the
pE RFORMING p to mall twin signed time sheets that can serve to verify the
total, overall,hours of staff time b g directly billed to this Contract. With respect to,employee
travel, all costs listed on Forts 269 must be supported by attached documentation that
identifies the name of the tr veler's, and that substantiates the reported reimbursable costs.
Documentation,for the purpose of substantiating travel-related casts, includes the following:
(1)l �l l � �"the PERFORMING . WJ.Y-ap; rove travel vouchers signed by the
employees who traveled,and for any travel-related expenses under this contract borne.
W!� directly by the PERFORMING PARTY(and thus for which reimbursement by the
PERFORMING PARTY't� the try, -�l�r was not r�� �r��.� separate r �� pt�show ing,,at
minimum,the trav,eler'�s name,the travel location, �� �t� travel date(s).
6. When a single expenditure supports or satisfies more than one task or objective,the
PERFORMING PAKrY need obreakdown that particular expenditure by s�p c�i�
t� c.contract
tall or obj e tive but may simply ply l d ntl y, i n relative ost order,the arlo u's task's or objectives
supported.
I
Page 141 of 141