HomeMy WebLinkAboutContract 62482Texas Commission on Environmental Quality
CONTRACT SIGNATURE PAGE
Contract Dame:
Contract Number:
Performing Party
Performing Party Idendficat[on Number;
Mwdmum Authorized Reimbursement:
Effective Date: September 1, 2021
Expiration Date: August 31, 2023
City of Ft. Worth - 105
582-22-30132
City o f Fort Worth
17560DOS286
S 124,800.00
CITY SECRETARY 62482
CONTRACT NO.
If checked, this Contract requires matching funds, Match Requirement; S61*4.69-66
if checked, this Contract is funded with fedcral Funds_
CFDA Number. 66.605
Federal Grant Number, BG-90662722
This Contract is entered under: [] Gov't Code ch_ 771 (Interagency) Q G(3v ( Cade ch. 791 (Interlocal)
❑ Water Cade S 5.229 (In I e rgover nrn ental) Z Water Cade§ 5.124 (Grant)
The Texas Commissiian on Environmental Quaiity (TCEQ), an agency of the State of Texas, and the named
Performing Farty, a state agency a local government of the State cr Texas, enter this agreement (Contract) tD
cooperatively conduct authorized governmental functions and activities under the laws of the State cf Tcxas.
The Parties agree as follows- (a) to be effective, the Contract must be signed by an authorized official of the TCEQ
and the Performing Party, {b) this Contract consists of aH documents specified in the list crContract Documents
following this page, and (c) as authorized byTCEQ. Perf arming Part ywiil conduct Contract Activities as part of its
u%m awhorized govemmental functions and TCEQ will reimburse Allowable Costs subject to the Texas Uniform
grant Alanagemew Standards WGIMS) and this Contract,
Texas Cnmrnissinn on
Fnvircnmerital Quality
Autborized Signature
Rirhafd C. Chism
Primed Name
Deputy DireciDr, MDnitorinkfkiiidsIon
— Nile
1/112021
Da t+;
Procurements & Contracts Representative
Samuel Davis M. CDCRt. CTCD
—Printed Name
12/1/2021
Date
OFFICIAL RECORD
CITY SECRETARY
FT. WORTH, TX
City of Fort Worth
[ erforrrting J'arty)
-mot,
.Authorized Signature
Valerie Washington
Printed Name
ASSIStant City Manager
Title
Nov 30, 2021
Date
APPROVED ASTO FORM AND LEGALITY:
* fir~`
UNor &sivWnt t";ty AFib"wr- *r-Wm R. Lo"PI14ynalds
ATTEST:
ok!1DStr
By:
Jannette Goodall
City Secretary
RP
TEAS COMNUSSIDN UN Pagc l of 145 592-22-30132
ENVIRONMENTAL fj.ilA> M CITY OF FT. WORT II - 105
CONTRACT DOCUMENTS LIST
This Contract between TCEQ and Performing Party consists of the Contract Documents listed
on this page. Documents on this list include all amendments. In the event of a conflict of
terms, the Contract Documents as amended control in the descending order of the list, subject
to provisions in the Special Terms and Conditions, if any. All Contract provisions, however, are
subject to control by the latest amendment and most specific provision and by the applicable
state and federal laws, rules and regulations.
• Contract Signature Page
• Contract Documents List (this page)
• Special Terms and Conditions
• Federal Section (Including Federal Conditions and Completed Forms)
• Scope of Work
• General Terms and Conditions
• Cost Budget
• Notices, Project Representatives and Records Locations
• Attachment A - Financial Status Report
• Attachment B - Release of Claims
• Attachment C - Budget Revision Request Form
• Attachment D - Level of Effort Certification
• Attachment E - Personnel Eligibility List
• Exhibit A-1 US Environmental Protection Agency (EPA) Requirements
for Quality Management Plans (QA/R-2) (March 2001)
• Exhibit A-2 EPA
Requirements for Quality Assurance Project Plans (QA/R-5) (2001)
• Exhibit A-3 Quarterly Report Checklist
• Form B-1 HUB Subcontracting Plan (HSP) Prime Contractor Progress
Assessment Report
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SPECIAL TERMS AND CONDITIONS
ARTICLE 1. DEFINITIONS
These terms are defined as follows:
1.1. Acquisition Cost - (of an item of purchased Equipment) The net invoice unit price of the
property including the cost of modifications, attachments, accessories, or auxiliary
apparatus necessary to make that property usable for the purpose for which it was
acquired. Other charges such as the cost of installation, transportation, taxes, duty or
protective in -transit insurance, will be included or excluded from the unit Acquisition
Cost in accordance with the Performing Party's regular accounting practices.
1.2. Cost Sharing or Match - The value of the third -party in -kind contributions and the portion
of the costs of a State -assisted project or program not paid by the State.
1.3. Equipment- Tangible, nonexpendable, personal property having a useful life of more than
one year and an Acquisition Cost of $ 5,000 or more per unit. A Performing Party may use
its own definition of equipment provided that such definition would at least include all
equipment defined above.
1.4. Nonconformance - A deficiency in characteristic, documentation, or procedure that
renders the quality or an item or activity unacceptable or indeterminate; non -fulfillment
of a specified requirement.
1.5. Quality Assurance (QA) - An integrated system of management activities involving
planning, implementing, assessment, reporting, and quality improvement to ensure that
a process, item, or service is of the type and quality needed and expected by the customer.
1.6. Quality Control - The overall system of technical activities that measures the attributes
and performance of a process, item, or service against defined standards to verify that
they meet the stated requirements established by the customer; operational techniques
and activities that are used to fulfill requirements for quality.
1.7. Quality Management Plan - A document that describes the quality system in terms of
organizational structure, functional responsibilities of management and staff, lines of
authority, and required interfaces for those planning, implementing, and assessing all
activities conducted.
1.8. Supplies - Tangible personal property other than Equipment.
1.9. Surveillance - Continual or frequent monitoring and verification of the status of an entity
and the analysis of records to ensure that specific requirements are being fulfilled.
1.10. Suspension - temporary withdrawal of authority to obligate Grant funds pending
corrective action by the Performing Party or a decision to terminate the Grant; (2) an action
by a TCEQ official to exclude a person from participating in Grant transactions for a
period of time.
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1.11. Termination - Permanent withdrawal of the authority to obligate previously -awarded
Grant funds before that authority would otherwise expire, or voluntary relinquishment of
that authority by the Performing Party or subgrantee.
1.12. Third party in -kind contributions - Property or services which benefit a State assisted
project or program and which are contributed by third parties without charge to the
Performing Party, or a Cost -type Performing Party under the Contract.
1.13. Uniform Grant Management Standards (UGMS) - means the Uniform Grant Management
Standards promulgated by the Texas Comptroller pursuant to the Uniform Grant
Conditions and Management Act, Tex. Govt. Code Chapter 783. UGMS is defined to include
its successor guidance, Texas Grant Management Standards, the terms of which control
for purposes of this Contract effective January 1, 2022
1.14. Work - the entire completed services or the various separately identifiable parts thereof
required to be furnished under the Contract. Work includes and is the result of
performing or furnishing labor, services, materials or equipment as required by the
Contract Documents.
ARTICLE 2. CONTRACT DOCUMENTS: INTENT
2.1. The Contract Documents comprise the entire Contract between TCEQ and Performing
Party concerning the Work. The Contract Documents are complementary; what is called
for by one is as binding as if called for by all.
2.2. It is the intent of the Contract Documents to describe a functionally complete project (or
part thereof) to be constructed in accordance with the total Contract. Any Work, materials
or equipment that may reasonably be inferred from the Contract Documents or from
prevailing custom or trade usage as being required to produce the intended result will be
furnished and performed whether or not specifically called for. When words or phrases
which have a well-known technical or pollution cleanup industry or trade meaning are
used to describe Work, materials or equipment, such words or phrases will be interpreted
in accordance with that meaning.
ARTICLE 3. PERFORMING PARTY'S RESPONSIBILITIES
3.1. The Performing Party is responsible for the professional quality, technical accuracy,
timely completion and the coordination of all services and other Work furnished by the
Performing Party under this Contract.
Personnel
3.2. Performing Party will provide competent, suitably qualified personnel to perform the
Work as required by the Contract Documents. Performing Party will at all times maintain
good discipline and order on the Project.
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Materials & Equipment
3.3. Unless otherwise specified in the Contract Documents, Performing Party will furnish and
assume full responsibility for all materials, equipment, labor, transportation, tools,
appliances, fuel, power, light, heat, telephone, water, sanitary facilities, temporary
facilities and all other facilities and incidentals necessary for the furnishing, performance,
testing, start-up and completion of the Work.
3.4. All materials and equipment will be of good quality and new, except as otherwise provided
in the Contract Documents. All materials and equipment will be applied, installed,
connected, erected, used, cleaned and conditioned in accordance with instructions of the
applicable Supplier, except as otherwise provided in the Contract Documents.
Title to, Use, Management and Disposition of Equipment
3.5 Subject to the obligations and conditions set forth in this Contract, title to all equipment
acquired with funds under this Contract will vest, upon acquisition, in the Performing
Party. Performing Party must comply with all use, management and disposition
requirements set out in 2 CFR Part 200.313 in connection with any such equipment.
3.6 In the event any funds provided under this Contract are in turn awarded to any subgrantee
for the purchase or acquisition of any equipment, the Performing Party's contract with
that subgrantee will include the requirements of this Contract.
Substitutes and "or -Equal" Items:
3.7 Whenever an item of material or equipment is specified or described in the Contract
Documents by using the name of a proprietary item or the name of a particular Supplier,
the specification or description is intended to establish the type, function and quality
required. Unless the specification or description contains or is followed by words reading
that no like, equivalent or "or -equal" item or no substitution is permitted, other items of
material or equipment of other Suppliers may be accepted by TCEQ.
3.8 Substitute Methods or Procedures: If a specific means, method, technique, sequence or
procedure is shown or indicated in and expressly required by the Contract Documents,
Performing Party may furnish or utilize a substitute means, method, technique, sequence
or procedure acceptable to TCEQ. Performing Party will submit sufficient information to
allow TCEQ, in TCEQ's sole discretion, to determine that the substitute proposed is
equivalent to that expressly called for by the Contract Documents.
Concerning Subcontractors, Suppliers and Others
3.9 All contractual expenditures using funds provided under this Contract will comply with
all procurement laws and regulations applicable to the Performing Party and its
subcontractors, including Chapter 783 of the Texas Government Code and UGMS.
3.10 The Performing Party will forward any proposed subagreement for the performance of
Work required under this Contract's Scope of Work to TCEQ's Network Coordinator prior
to execution of the sub agreement. TCEQ may, within 21 days of receipt of the proposed
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subagreement, provide written notice (fax or email acceptable) to the Performing Party
questioning whether the subagreement is for a legitimate purpose relating to the
satisfaction of this Contract or has been procured in accordance with state and federal
law. The Performing Party will not enter into a subagreement until TCEQ has withdrawn
all questions raised in the notice. Neither TCEQ's failure to question a subagreement nor
its subsequent withdrawal of any questions raised regarding a subagreement implies
TCEQ's approval of the subagreement's purpose or method of procurement of the
subagreement. Further, the terms of this provision do not in any way restrict TCEQ's
rights under this Contract to subsequently refuse reimbursement for expenses incurred
pursuant to the subagreement. The Performing Party may require a bid bond to protect
the local and State interests by assuring that a bidder will, upon acceptance, execute all
required contractual documents within the time period specified.
3.11 The Performing Party is responsible for the management and fiscal monitoring of all
subcontractors and subgrantees. The Performing Party will monitor its subcontractors
and subgrantees to ensure that the subcontractors and subgrantees are operating
consistently with applicable laws and regulations, contracting policies, and these Contract
Documents. The Performing Party will ensure that all subcontractors and subgrantees
comply with all record keeping and access requirements set forth in these Contract
Documents. TCEQ reserves the right to perform an independent audit of all
subcontractors and subgrantees.
3.12 Performing Party, subcontractors and subgrantees must implement and maintain a
Quality Assurance Program that addresses quality -related activities performed under this
Contract and conforms to the American National Standards Institute (ANSI) /the American
Society for Quality (ASQ) E-4-2004 Quality Systems for Environmental Data and
Technology Programs - Requirements with Guidance for Use, the EPA QA/R-2 and with the
TCEQ Quality Management Plan. The TCEQ Quality Assurance specialists, or any of their
authorized representatives, will have access to all such Work activities, monitors, records,
documents and other evidence for the purpose of management systems review,
inspection, audit, surveillance, peer review, excerpts, transcriptions and/or copying
during normal business hours. The Performing Party will provide proper access.
3.13 Funds provided by TCEQ pursuant to this Contract that are paid to the subcontractor may
be used by the subcontractor solely to satisfy the purposes of the Contract.
Procurements
3.14 All procurements by the Performing Party of goods and/or services under this Contract
will be conducted in accordance with its internal procedures and state and federal law.
3.15 Performing Party will perform a cost or price analysis in connection with all procurements
in excess of $2,000 which are not competitively procured. A cost analysis will also be
required when adequate price competition is lacking and for sole source procurements,
unless the reasonableness of the price can be established on the basis of a catalog or
market price. Failure to follow these requirements for providing the greatest possible
competition in procurement is grounds for disallowance of costs for reimbursement.
Subgrant Activities
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3.16 All Subgrants awarded by the Performing Party under this Contract must comply with
state and federal law.
3.17 Payments by Performing Party to subgrantees will be solely for reimbursement of actual
allowable costs utilizing the same standards and requirements as the reimbursement
payments from TCEQ to Performing Party set out in this Contract. No Subgrant will be
made on a fixed amount of cost reimbursement unless this method is specifically
approved by TCEQ based on supporting evidence of proposed subgrantee's actual costs.
3.18 All Subgrant agreements must be in writing and approved by TCEQ. The standards and
requirements for reimbursements and standards for performance will be incorporated
into the Subgrant agreements as well as other requirements of this Contract.
Permits
3.19 Unless otherwise provided in the Contract Documents, Performing Party will obtain and
pay for all construction permits and licenses. Performing Party will pay all charges of
utility owners for connections to the Work and all charges of such utility owners for
capital costs related thereto, such as plant investment fees.
Records, Documents, Data, Access, and Audit
3.20 The Performing Party will maintain books, records, documents, and other evidence
reasonably pertinent to performance of the Work and requirements of the Contract
Documents as required by the Federal Conditions and General Terms and Conditions of
the Contract.
3.21 The Performing Party will pass through all record keeping, quality assurance
requirements, and access requirements to all subcontracts and subagreements.
3.22 The Performing Party agrees to the disclosure of all information and reports resulting
from access to records and quality activities under this Contract.
3.23 Records will be maintained by the Performing Party during performance of Work under
this Contract, and for three (3) years after final payments, final expenditure reports and
all other pending matters are closed. If any litigation, claim, negotiation, audit, quality
assurance assessment, cost recovery, or other action (including actions concerning costs
of items to which an audit exception or nonconformance has been taken or identified)
involving such records or corrective actions has been started before the expiration of the
three (3) year period, such records must be retained until completion of the action or
resolution of all issues which arise from it, or until the end of the regular three (3) year
period, whichever is later.
3.24 Access to records or Work activity is not limited to the required retention periods. TCEQ
will have access to records or Work activity at any reasonable time for as long as the
records or nonconformance identified pursuant to an assessment are maintained.
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3.25 This right -of -access article applies to financial and quality records pertaining to this
Contract and all subagreements and amendments. In addition, this right of access article
applies to all records and Work activities pertaining to this Contract and all
subagreements and amendments:
3.25.1 to the extent the records pertain reasonably to this Contract or subcontract
performance;
3.25.2 if there is any indication that fraud, gross abuse, or corrupt practices may be
involved; or
3.25.3 if the Contract or subcontract is terminated for default or for convenience.
Data and Publicity
3.26 All data and other information developed under this Contract will be furnished to TCEQ
and will be public data and information except to the extent that it is exempted from
public access by the Texas Public Information Act, TEx. Gov'T CODE § 552. Upon
termination of this Contract, all copies of data and information will be furnished, at no
charge to TCEQ, upon request, to include databases prepared using funds provided under
this Contract, and become the property of TCEQ. Except as otherwise provided by these
Contract Documents or the Texas Public Information Act , the Performing Party will not
provide data generated or otherwise obtained in the performance of its responsibilities
under this Contract to any party other than the State of Texas and its authorized agents.
Safety and Protection
3.27 Where applicable, Performing Party is responsible for requiring subcontractors and
subgrantees to maintain and supervise all necessary safety precautions and programs in
connection with the Work. Performing Party will take all necessary safety precautions.
Performance Reports
3.28 In accordance with UGMS, the Performing Party will submit data completeness 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 will submit the reports not later than 30 days after the close of each
quarter. The reporting periods correspond to the State of Texas fiscal year (September -
November; December -February, March -May; June -August).
Independent Financial Audit
3.29 By February 1 of each year, the Performing Party will engage an Independent Financial
Auditor and conduct an annual audit of the Performing Party's financial statements in
accordance with the Single Audit provisions of UGMS. The final report will be submitted
to the TCEQ Contract Manager no later than 90 days following the completion of the audit.
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3.29.1 All terms used in connection with Audits in this Contract have the definitions
and meanings assigned in the Texas Grant Management Standards and the Single
Audit Circular in UGMS.
3.29.2 Provisions of the Single Audit Circular in Part IV of UGMS apply to all non -State
Government entities expending the funds of this Grant, whether they are
recipients, receiving the funds directly from TCEQ, or are subrecipients, receiving
the funds from a pass -through entity (a recipient or another subrecipient). In
addition, the Performing Party will require the independent auditor to supply all
audit work papers substantiating the Work performed at the request of TCEQ or
its designee.
Exceptions in Audit
3.29.3 TCEQ is required to take action on exceptions noted in an audit of Performing
Party's financial records. Therefore, Performing Party agrees to submit to TCEQ a
copy of the report from any audit conducted of the Performing Party's financial
records within 20 days of Performing Party's receipt of an audit report. At the
same time, Performing Party will also provide a statement containing an
explanation of the conditions giving rise to each exception in the audit report as
well as a plan for correction of any significant deficiencies in Performing Party's
operations or Contract performance. TCEQ may approve the statement or reject
as insufficient. At the option of TCEQ the Performing Party may revise and
resubmit. If the statement is initially or subsequently rejected by TCEQ with no
further opportunity to revise, TCEQ may suspend payments or may terminate the
Contract for cause and may undertake any other remedies or sanctions provided
under this Contract.
ARTICLE 4. CHANGES IN THE WORK
4.1. TCEQ may by written notification to the Performing Party, make changes to the scope of
this Contract or in the services or Work to be performed. If such changes cause an
increase or decrease in the Performing Party's cost of, or time required for, performance
of any services under this Contract, whether or not changed by an order, an equitable
adjustment will be made and this Contract will be modified in writing accordingly. Any
claim of the Performing Party for adjustment under this clause must be asserted in writing
within 30 days after the date of receipt by the Performing Party of the notification of
change unless the Executive Director of TCEQ or his or her Network Coordinator grants a
further period of time before the date of final payment under this Contract.
4.2. Performing Party is permitted to rebudget within the approved direct cost budget to meet
any unanticipated requirements and may make limited program changes to the approved
Project. Certain types of these changes require the prior written approval of TCEQ.
Applicable cost principles set forth in 2 CFR Part 200.308 contain additional requirements
for prior approval of certain types of costs and apply to all grants and Subgrants. Prior
approval is required as follows:
4.2.1. Any change resulting in the need for additional funding;
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4.2.2. 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%);
4.2.3. Transfers of funds allotted for training allowances;
4.2.4. Changes in key personnel in cases where specified in an application or Grant award;
or
4.2.5. Subcontracting those activities that are central to the purposes of the award.
4.3. Any request must be in writing to TCEQ and TCEQ will promptly review, approve or
disapprove the request in writing. If a change requires federal approval, TCEQ will obtain
that approval before approving the request.
4.4. Changes to the services or Work to be performed will be included as revisions in the
Quality Assurance Project Plan for this Contract.
ARTICLE 5. PAYMENTS TO PERFORMING PARTY
Cost Reimbursement
5.1 The Performing Party has submitted a cost analysis. The Performing Party and TCEQ
acknowledge that this cost analysis is the basis upon which the Contract Cost Budget has
been developed.
5.2. Because certain Monitoring Division Program activities may not be performed in a given
month, the Performing Party will perform a quarterly review of the Monitoring Division
Program activities that it actually performs or expects to actually perform during that
quarter. In this review, the Performing Party will determine whether the nearest
practicable estimate of its actual cost of providing those services for that quarter is within
the constraints established elsewhere in this Contract.
5.3. The Performing Party will make its review and determination available to TCEQ upon
request. TCEQ may perform an independent review and make its own independent
determination or make its own independent determination based upon the Performing
Party's review.
Duplication of Effort Prohibited
5.4. In addition to the funds provided to Performing Party under this Contract, TCEQ may
provide funds to Performing Party under a separate Grant Agreement so that funds of
two or more Grants are to be provided to a single activity of the Performing Party.
Performing Party must monitor all activities to ensure that the Grant funds complement
one another and do not result in double payments for the same activity.
Payment Request Procedures
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5.5. On a quarterly basis, within 30 days after the end of a quarter, the Performing Party will
submit a Financial Status Report (FSR) (Attachment A) and a Quarterly Report Checklist
incorporated herein as Exhibit A-3, in order to obtain payment for tasks completed under
this Contract. The Performing Party will indicate the Match Amount in the space provided
on the FSR. A description of the services provided by your Match Amount should be
described in the FSR on the supplemental pages attached to the form. In addition, the
Performing Party will submit either a completed quarterly HUB Progress Assessment
Report, incorporated herein as Form B-1, or a TCEQ Disadvantaged Business Enterprise
(DBE) Program MBE and WBE Expenditures Report (see Federal Conditions and Forms
section of Contract).
5.6. The TCEQ Network Coordinator will review the quarterly FSR and Quarterly Report
Checklists for requests for payment of services performed as identified in Section A
(Statement of Work) and Section B (Deliverables) and will notify the Performing Party that
the requests are acceptable or will provide an explanation of why the requests or the Work
identified in the requests are unacceptable. If the requests do not satisfactorily
demonstrate the accomplishment of the required tasks, the TCEQ Network Coordinator
will not authorize payment until such time as deficiencies have been corrected.
5.7. TCEQ will not issue any payment of an approved reimbursement request from the
Performing Party until TCEQ receives from the EPA funds specifically awarded for
activities provided by the Performing Party under this Contract.
5.8. Funding for the Work performed under this Contract is derived from Federal
Section 105 pass -through funding from the TCEQ and will not exceed 67% of the
Performing Party's Total Program Cost. If the Performing Party does not provide
matching funds such that the combined federal and state share of the funding exceeds
67%, then the amount of TCEQ reimbursement for this Contract will be reduced so that
this condition is met.
5.9 Nothing in this Article may be construed to prevent TCEQ or the Performing Party from
exercising any of its rights under this Contract including but not limited to those relating
to termination and remedies.
5.10 TCEQ is not obligated to make payment until it approves a request for reimbursement.
TCEQ may suspend payment for any incomplete, inconsistent or incorrect deliverable
until the Performing Party completes or corrects it.
Closeout
5.11 When TCEQ determines that all administrative activities and all required Work have been
completed, TCEQ will close out the Contract. Within 60 days after the expiration or
termination of the Contract, the Performing Party must submit all financial, performance,
and other reports required must be submitted within 45 days after the expiration of
termination of the Contract. These reports may include:
5.11.1 All Performance or Progress Reports required by this Contract.
5.11.2 Financial Status Report (Attachment A).
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5.11.3 Final Request for Payment. (Including Form B-1).
5.11.4 Invention disclosure (if applicable).
5.11.5 State-owned Property Report (if applicable).
5.12. In accordance with UGMS, the Performing Party must submit an inventory of all State-
owned property (as distinct from property acquired with Grant funds) for which it is
accountable and request disposition instructions from TCEQ for property no longer
needed.
5.13. Within 90 days of receipt of the reports set forth above, TCEQ will make upward or
downward adjustments to the allowable costs. TCEQ will make prompt payment to the
Performing Party for allowable reimbursable costs. Closeout of the Contract does not
affect:
5.13.1.TCEQ's right to disallow costs and recover funds on the basis of a later audit,
quality assurance assessment, or other review;
5.13.2.The Performing Party's obligation to return any funds due as a result of later
refunds, corrections, or other transactions;
5.13.3.Records retention as required herein;
5.13.4.Property management requirements set forth herein; and
5.13.5.Audit, including quality assurance assessment, requirements set forth herein.
5.14. The Performing Party must immediately refund to TCEQ any balance of unobligated
(unencumbered) cash advanced that is not authorized to be retained for use on another
Grant.
5.15. Any funds paid to a Performing Party in excess of the amount to which the Performing
Party is finally determined to be entitled under the terms of the award constitute a debt
to TCEQ. If not paid within a reasonable period after demand, TCEQ may reduce the debt
by:
5.15.1. Making an administrative offset against other requests for reimbursement;
5.15.2. Withholding advance payments otherwise due to the Performing Party, or
5.15.3. Other action permitted by law.
5.16. Except where otherwise provided by statutes or regulations, TCEQ will charge interest on
an overdue debt in accordance with UGMS. The date from which interest is computed is
not extended by litigation or the filing of any form of appeal.
5.17. The Performing Party will provide to TCEQ documentation showing all tasks that have
been completed by the Performing Party. The Performing Party agrees that the
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determination of satisfactory completion of any and all Work or other services performed
or furnished under this Contract will be based on the judgment of the staff of TCEQ,
which judgment will be exercised in a reasonable manner and in good faith.
5.18. TCEQ may refuse to reimburse expenditures for which the Performing Party submits a
voucher more than 60 days after the termination date of this Contract.
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Federal Conditions and Forms
(GRANTS)
ARTICLE]. FEDERAL REQUIREMENTS
This Agreement is funded in whole or in part with federal grant money. All applicable
requirements of TCEQ's federal grants; EPA grant policies and guidance; 2 Code of Federal
Regulations (CFR) Part 200, including procurement standards; and any additional federal
funding conditions that arise during the Agreement period, are incorporated herein by
reference. (TCEQ will provide copies of applicable federal grants or regulations upon request).
TCEQ has separately provided the current and available pass -through information required
under 2 CFR 200.331 to the Performing Party with this agreement. The term "Performing Party"
as used in these Federal Conditions means either Performing Party, Grantee, or Contractor, as
applicable.
ARTICLE 2. FEDERAL INTELLECTUAL PROPERTY REQUIREMENTS
In accordance with 2 CFR 200.315, EPA has the right to reproduce, publish, use and
authorize others to reproduce, publish and use copyrighted works or other data developed
under this agreement for Federal purposes. EPA may authorize another grantee to use
copyrighted works or other data developed with EPA funds provided under this agreement
to perform another grant when such use promotes efficient and effective use of Federal
grant funds.
ARTICLE 3. ACKNOWLEDGMENT OF FINANCIAL SUPPORT
The Performing Party shall acknowledge the financial support of the TCEQ and the U.S. EPA
whenever work funded, in whole or part, by this Agreement is publicized or reported in news
media or publications. All reports and other documents completed as a part of this Agreement,
other than documents prepared exclusively for internal use within the TCEQ, shall carry the
following notation on the front cover or title page:
PREPARED IN COOPERATION WITH THE
TEXAS COMMISSIONON ENVIRONMENTAL QUALITY AND
U.S. ENVIRONMENTAL PROTECTION AGENCY
This project has been funded wholly or in part by the United States Environmental Protection
Agency under assistance agreement (number) to Texas Commission on Environmental Quality.
The contents of this document do not necessarily reflect the views and policies of the
Environmental Protection Agency, nor does the EPA endorse trade names or recommend the
use of commercial products mentioned in this document.
ARTICLE 4. RECYCLED MATERIALS
When Performing Party procures $10,000 or more of a designated item in a fiscal year
for this Contract or did so in the preceding fiscal year, Performing Party will select the
item containing the highest percentage of recycled materials practicable as required by
42 U.S.C. 6962 and 2 CFR 200.322. This requirement does not apply to incidental
purchases that are not a direct result of this Contract. Designated items are listed by
the EPA in the most recent Consolidated Recovered Materials Advisory Notice. If the
item with the highest percentage of recycled materials does not meet performance
standards or is not available in a reasonable time or at a reasonable price, or the
purchase of the item would not allow a reasonable level of competition, Performing
Party may select a different item. With its invoice, Performing Party will report any
purchases to which this section applies to TCEQ and indicate the percentage of recycled
TEXAS COMMISSION ON Page 14 of 146 S82-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
materials in the items purchased. If Performing Party does not select the item
containing the highest percentage of recycled materials, it will also state the reason.
Paper for Reports to EPA. When directed to provide paper documents, the Performing
Party agrees to use recycled paper and double -sided printing for all reports which are
prepared as a part of this agreement and delivered to EPA. This requirement does not
apply to reports prepared on forms supplied by EPA.
ARTICLE 5. ACCOUNTING SYSTEMS AND PROPERTY MANAGEMENT
1. Performing Party shall have an accounting system which accounts for costs in
accordance with generally accepted accounting standards or principles and complies
with 2 CFR § 200.49. This system shall provide for the identification, accumulation, and
segregation of allowable and unallowable project costs among projects.
2. Performing Party shall comply with the property management requirements of 2 CFR §§
200.310 through 200.316.
ARTICLE 6. RECORDS, ACCESS, AND AUDIT
The Federal Government and its agencies will have the same rights of access to records
as are granted to, assigned to, or reserved by the TCEQ under this Agreement. The
Performing Party shall maintain fiscal records and supporting documentation for all
expenditures of funds pursuant to 2 CFR Part 200, Subparts D and F, as appropriate.
In accordance with 2 CFR 200.501(a), the Performing Party shall obtain a single audit if
it expends $750,000 or more a year in federal awards.
Performing Party must immediately notify the TCEQ of any audit findings specifically
related to this award and provide the TCEQ a copy of such findings within three (3)
business days after issuance. By submitting an invoice, Financial Status Report, or other
financial reporting documentation, Performing Party certifies that it did not receive any
audit findings specifically related to this award during the invoicing/reporting period,
except for such audit findings Performing Party already provided notice of in
accordance with this Section.
ARTICLE 7. SUSPENSION AND DEBARMENT
Performing Party shall fully comply with Subpart C of 2 CFR Part 180, entitled "Responsibilities
of Participants Regarding Transactions Doing Business With Other Persons," as implemented
and supplemented by 2 CFR Part 1532. Performing Party is responsible for ensuring that any
lower tier covered transaction, as described in Subpart B of 2 CFR Part 180, entitled "Covered
Transactions," includes a term or condition requiring compliance with Subpart C. Performing
Party is responsible for further requiring the inclusion of a similar term or condition in any
subsequent lower tier covered transactions. Performing Party acknowledges that failing to
disclose the information required under 2 CFR § 180.335 may result in the delay or negation of
this agreement or pursuance of legal remedies. Performing Party may access the System for
Award Management at: https://www.sam.gov/SAM/ or type "System for Award Management' in
an internet. search.
ARTICLE 8. PROHIBITION ON USE OF FEDERAL FUNDS FOR LOBBYING AND LITIGATION
1. The Performing Party agrees to comply with Title 40 CFR Part 34, New Restrictions on
Lobbying. The Performing Party agrees that none of the funds paid under this Contract
will be used to engage in the lobbying of the Federal Government in connection with
obtaining any federal contract, grant, or other award, or in litigation against the United
States unless authorized under existing law.
2. The Performing Party shall submit to the TCEQ the EPA Certification Regarding
Lobbying form and if applicable, the Disclosure of Lobbying Activities form. The
Performing Party must file a disclosure form at the end of each calendar quarter in
TEXAS COMMISSION ON Page 15 of 146 582-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
which there occurs any event that requires disclosure or that materially affects the
accuracy of the information contained in any disclosure form previously filed.
In accordance with the Byrd Anti -Lobbying Amendment, any recipient who makes a
prohibited expenditure under Title 40 CFR Part 34 or fails to file the required
certification or lobbying forms shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such expenditure.
ARTICLE 9. CIVIL RIGHTS OBLIGATIONS
In carrying out this agreement, the recipient must comply with:
a. Title VI of the Civil Rights Act of 1964, which prohibits discrimination based on
race, color, and national origin, including limited English proficiency (LEP), by
entities receiving Federal financial assistance.
b. Section 504 of the Rehabilitation Act of 1973, which prohibits discrimination
against persons with disabilities by entities receiving Federal financial assistance;
and
C. The Age Discrimination Act of 1975, which prohibits age discrimination by
entities receiving Federal financial assistance.
If the recipient is conducting an education program under this agreement, it must also
comply with:
a. Title IX of the Education Amendments of 1972, which prohibits discrimination
on the basis of sex in education programs and activities operated by entities
receiving Federal financial assistance.
If this agreement is funded with financial assistance under the Clean Water Act (CWA),
the recipient must also comply with:
a. Section 13 of the Federal Water Pollution Control Act Amendments of 1972,
which prohibits discrimination on the basis of sex in CWA-funded programs or
activities.
4. Regulatory Requirements
a. The recipient agrees to comply with all applicable EPA civil rights regulations,
including:
i. For Title IX obligations, 40 CFR Part 5; and
ii. For Title VI, Section 504, Age Discrimination Act, and Section 13
obligations, 40 CFR Part 7.
iii. As noted on the EPA Form 4700-4 signed by the recipient's authorized
representative, these regulations establish specific requirements
including maintaining compliance information, establishing grievance
procedures, designating a Civil Rights Coordinator and providing notices
of non-discrimination.
TITLE VI - LEP, Public Participation and Affirmative Compliance Obligation
a. As a recipient of EPA financial assistance, you are required by Title VI of the Civil
Rights Act to provide meaningful access to LEP individuals. In implementing that
requirement, the recipient agrees to use as a guide the Office of Civil Rights
(OCR) document entitled "Guidance to Environmental Protection Agency
Financial Assistance Recipients Regarding Title VI Prohibition Against National
Origin Discrimination Affecting Limited English Proficient Persons." The
guidance can be found at
httDs://www.federalre2ister.Lov/documents/2004/06/2 5 /04-14464/guidance-to-
environmental-brotection-aLyencv-financial-assistance-recibients-re2ardinLy-title-
vi. - - - -
TEXAS COMMISSION ON Page 16 of 146 S82-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
6. If the recipient is administering permitting programs under this agreement, the
recipient agrees to use as a guide OCR's Title VI Public Involvement Guidance for EPA
Assistance Recipients Administering Environmental Permitting Programs. The Guidance
canbe found at https://www.2ovi_nfo.2ov/content/pk2/FR-2006-03-21/pdf/06-
2691.pdf.
7. In accepting this assistance agreement, the recipient acknowledges it has an affirmative
obligation to implement effective Title VI compliance programs and ensure that its
actions do not involve discriminatory treatment and do not have discriminatory effects
even when facially neutral. The recipient must be prepared to demonstrate to EPA that
such compliance programs exist and are being implemented or to otherwise
demonstrate how it is meeting its Title VI obligations.
ARTICLE 10. DISADVANTAGED BUSINESS ENTERPRISES (DBEs)
1. The Performing Party shall not discriminate on the basis of race, color, national origin or
sex in the performance of this Contract. The Performing Party shall carry out applicable
requirements of 40 CFR Part 33 in the award and administration of contracts awarded
under EPA financial assistance agreements. Failure by the Performing Party to carry out
these requirements is a material breach of this Contract which may result in the
termination of this Contract or other legally available remedies.
2. Performing Party agrees that qualified DBEs and active Historically Underutilized
Businesses (HUBs) shall have the maximum practicable opportunity to participate in the
performance of the Work required under this Contract through possible subcontracts to
carry out portions of the Work or any goods or services procured to directly support the
Work.
3. The Performing Party is required to make a good faith effort to include HUBs or DBEs on
any procurement for subcontractors or suppliers/vendors for Work under this Contract.
4. The Performing Party must submit one of the following forms with each invoice.
a. TCEQ Disadvantaged Business Enterprise (DBE) Program MBE and WBE
Expenditures Report (attached); or
b. Texas Comptroller HUB Subcontracting Plan Progress Assessment Report (PAR)
found at https://comptroller.texas.2ov/purchasing/vendor/hub/forms.php.
At minimum, this form shall include the name and identification number of the
HUB or DBE and the amount paid to the HUB or DBE.
5. The Performing Party shall retain all records documenting compliance with good faith
efforts when performing under the EPA DBE program.
6. Before terminating a DBE for convenience, the Performing Party must notify TCEQ in
writing.
7. If a DBE subcontractor fails to complete work for any reason, and the Performing Party
plans to procure a replacement subcontractor, the Performing Party must demonstrate
the same good faith effort to procure the replacement subcontractor.
8. The Performing Party must pay its subcontractors for satisfactory performance no more
than 10 days from the Performing Party's receipt of payment from TCEQ.
9. TCEQ's established fair share goals are as follows:
MBE GOAL( %) WBE GOAL (%)
Construction 7.34 10.60
Equipment 19.57 19.64
Services 12.98 23.70
Supplies 19.37 14.15
TEXAS COMMISSION ON Page 17 of 146 S82-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
ARTICLE 11. DEMONSTRATION OF COMPETENCY
In accordance with EPA directive FEM 2012-02 Rev. 1, "Policy to Assure the Competency of
Organizations Generating Environmental Measurement Data Under Agency -Funded Assistance
Agreements," if the Work performed by the Performing Party or any of its subcontractors or
subrecipients under this Contract includes generating or using environmental data through
sample collection, field measurements and/or laboratory analysis, then it must document and
maintain certification demonstrating the competency of individuals using or generating
environmental data under this Contract. Certification may include training records, certificates,
or educational credentials.
ARTICLE 12. TRAFFICKING IN PERSONS
Prohibition Statement - Performing Party may not engage in severe forms of trafficking
in persons during the period of time that the award is in effect; procure a commercial
sex act during the period of time of the award; or use forced labor in the performance of
the award or subaward under the award.
a. TCEQ may unilaterally terminate this award, without penalty, if a Performing
Party that is a private entity: (1) is determined to have violated an applicable
prohibition in the Prohibition Statement above; or (2) has an employee who is
determined by the agency official authorized to terminate the award to have
violated an applicable prohibition in the Prohibition Statement through conduct
that is either (a) associated with performance under this award; or (b) imputed to
the Performing Party using the standards and due process for imputing the
conduct of an individual to an organization that are provided in 2 CFR Part 180,
"OMB Guidelines to Agencies on Governmentwide Debarment and Suspension
(Nonprocurement)", as implemented at 2 CFR Part 1532. The Performing Party
must inform TCEQ immediately of any information you receive from any source
alleging a violation of a prohibition in the Prohibition Statement above.
b. TCEQ's right to terminate unilaterally: (1) implements section 106(g) of the
Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C.
7104(g)), and (2) is in addition to all other remedies for noncompliance that are
available to TCEQ under this award.
ARTICLE 13. MISCELLANEOUS PROVISIONS
Drug -Free Workplace. The Performing Party must make an ongoing, good faith effort to
maintain a drug -free workplace pursuant to the specific requirements set forth in Title 2
CFR Part 1536. Additionally, in accordance with these regulations, the Performing Party
must identify all known workplaces under its federal awards and keep this information
on file during the performance of the award.
Hotel and Motel Fire Safety Act. Pursuant to 40 CFR 30.18, if applicable, and 15 U.S.C.
2225a, the Performing Party agrees to ensure that all space for conferences, meetings,
conventions, or training seminars funded in whole or in part with federal funds
complies with the protection and control guidelines of the Hotel and Motel Fire Safety
Act (PL 101-391, as amended). Performing Party may search the Hotel -Motel National
Master List at httns://anns.usfa.fema.aov/hotel/ to see if a property is in compliance, or
to find other information about the Act.
3. Clean Air Act and Federal Water Pollution Control Act. If the Agreement is in excess of
$150,000, the Performing Party agrees to comply with all applicable standards, orders
and regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401 - 7671q) and the
Federal Water Pollution Control Act as amended (33 U.S.C. 1251 - 1387).
4. Prohibition on Certain Telecommunications and Video Surveillance Services or
Equipment. The Performing Party is prohibited from using grant funds to enter into
contracts or subawards (or extend or renew contracts or subawards) with entities that
TEXAS COMMISSION ON Page 18 of 146 S82-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
use or provide covered telecommunications equipment or services as described in 2 CFR
§ 200.216 and Public Law 115-232, Section 889. This prohibition includes in -kind
contributions. This provision is subject to the exceptions provided in Public Law 115-
232, Section 889.
5. Domestic Preferences for Procurements. In accordance with 2 CFR 200.322, and to the
maximum extent practicable, appropriate, and consistent with applicable law,
Performing Party will provide a preference for the purchase, acquisition, or use of goods,
products, or materials produced in the United States (including but not limited to iron,
aluminum, steel, cement, and other manufactured products). The requirements of this
provision must be included in all subawards, contracts, and purchase orders for work or
products funded by this award.
6. Religious Liberty. In accordance with 2 CFR § 200.300 and Executive Order 13798,
ensure, for states and other public recipients, that subawards are not conditioned in a
manner that would disadvantage applicants for subawards based on their religious
character.
ARTICLE 14. FEDERAL FUNDING ACCO UNTABILITY AND TRANSPARENCY ACT (FFATA)
REPORTING
1. In accordance with 2 CFR Part 2 5, entities that receive subawards from TCEQ that are
funded wholly or partially with federal funds must (1) be registered in the Central
Contractor Registration (CCR) prior to submitting an application or plan or entering into
an agreement; (2) maintain an active CCR registration with current information at all
times while the application or plan is under consideration by TCEQ or during the term
of the agreement; and (3) provide its Data Universal Numbering System (DUNS) number
in each application or plan it submits to TCEQ, unless an exemption applies.
2. No funds may be received or awarded until Performing Party has complied with these
requirements and provided a valid DUNS number.
3. Additionally, in accordance with 2 CFR Part 170, if certain elements are met, Performing
Party must report the total compensation for each of its five most highly compensated
executives for the preceding completed fiscal year.
4. These elements are found on the TCEQ Federal Funding Accountability and
Transparency Act Reporting Form, which must be completed and provided to TCEQ no
later than the Performing Party's date of signature on this agreement.
ARTICLE 15. CONSULTANT SALARY CAP
1. The salary rate (excluding overhead) paid to individual consultants retained by the
Performing Party is limited to the maximum daily rate for a Level IV of the Executive
Schedule, available at: httDs://WWW.obm.QOV/Dolicv_ -data-oversiLht/bav-leave/salaries-
wa es , and adjusted annually.
2. This limit applies to consultation services of designated individuals with specialized
skills who are paid at a daily or hourly rate. This salary limit applies unless the
consultant was selected through a procurement process that conforms to Subpart D of 2
CFR 200.
3. Under EPA's policy regarding payments to consultants under grants, consultants are
typically individuals who are experts with excellent qualifications and are usually
regarded as authorities or practitioners of unusual competence and skill by other
individuals engaged in the same profession.
ARTICLE 16. MANAGEMENT FEES
Management fees or similar charges in excess of the direct costs and approved indirect rates
are not allowable. The term "management fees or similar charges" refers to expenses added to
the direct costs in order to accumulate and reserve funds for ongoing business expenses;
TEXAS COMMISSION ON Page 19 of 146 S82-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
unforeseen liabilities; or for other similar costs which are not allowable under this assistance
agreement. Management fees or similar charges may not be used to improve or expand the
project funded under this agreement, except to the extent authorized as a direct cost of
carrying out the scope of work.
ARTICLE 17. COST AND PRICE OF THIS AGREEMENT
The Performing Party must comply with 2 CFR §200.323. The Performing Party may request a
form from TCEQ to use when performing a cost or price analysis.
ARTICLE 18. CYBERSECURITY
1. Any connection between the Grantee's network or information technology system and
an EPA network or information technology system used to transfer data under this
agreement must be secure. A connection is a dedicated persistent interface between the
Grantee's network or information technology system and EPA's network or information
technology system for the purpose of transferring information.
2. The Grantee will contact the EPA Project Officer (PO) and work with the designated
Regional/Headquarters Information Security Officer to ensure that the connections meet
EPA security requirements, including entering into Interconnection Service Agreements
as appropriate. Contact the TCEQ Grant Manager for the EPA PO's contact information.
3. This condition does not apply to (1) transitory user -controlled connections, such as
website browsing, (2) manual entry of data by the Grantee into systems operated and
used by EPA's regulatory programs for the submission of reporting and/or compliance
data, or (3) Grantee's connections that use the Environmental Information Exchange
Network or EPA's Central Data Exchange.
TEXAS COMMISSION ON Page 20 of 146 S82-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - IOS
Instructions on how to fill out the
attached Federal Forms:
Certification Regarding Lobbying (EPA Form 6600-06) — Complete and return with
signed Contract. Contains certifications about the use of Federal appropriated funds in
connection with lobbying. If at any time during the course of the Contract you have any
federal lobbying to report, you must provide a Disclosure Regarding Lobbying Form
(SF-LLL) to the TCEQ Project Representative, with quarterly updates. Note, this form is
not attached, but may be found online.
2. TCEQ Disadvantaged Business Enterprise (DBE) Program MBE and WBE Expenditures
Report — submitted with each invoice.
TCEQ Federal Funding Accountability and Transparency Act Reporting Form —
Completed upon or prior to Contract execution.
TEXAS COMMISSION ON Page 21 of 146 S82-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
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_ = TCEQ - DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM -
MINORITY BUSINESS ENTERPRISE (MBE) AND WOMAN OWNED BUSINESS
TCF ENTERPRISE (WBE) EXPENDITURES REPORT
Federally Funded Grants
Grantee Name:
Grantee ID #:
Grantee Point of Contact (POC) Name:
POC Phone Number: POC Email:
TCEQ Contract #:
Invoice Reporting
Period Date:
Invoice #:
Invoice Amount:
MBE/WBE Subcontractor Expenditures for this Reporting Period
Was this
payment for
Services, Indicate
Equipment or MBE or
MBE/WBE Subcontractor Vendor ID: Supplies? WBE Amt. Paid
A DBE is a Disadvantaged, Minority, or Woman Business Enterprise Total MBE/WBE Pmts.
that has been certified by an entity from which EPA accepts for this Reporting Period:
certifications as described in 40 CFR 33.204-33.205 or certifies by
EPA. Subcontractor is defined as a company, firm, joint venture, or
individual who provides goods or services pursuant to an EPA
award of financial assistance. This does not include a grantee's
subrecipients.
AFFIRMATION. The information provided on this form is accurate and complete.
Signature: Date:
TEXAS COMMISSION ON Page 23 of 146 582-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
�_ Federal Funding Accountability and Transparency Act
i
This form is required to be completed by the subrecipient for contracts funded wholly or
partially with federal funds by TCEQ. In accordance with 2 Code of Federal Regulation (CFR)
TCEQ Part 170 the Federal Funding Accountability and Transparency Act, TCEQ must collect
subrecipient information for transactions $25,000 or greater.
Information completed by TCEQ Program Area:
TCEQ Contract 582-22-30132
No./PCR
Information completed by Subrecipient:
Legal Name of Entity
DUNS Number + 4
Location of Entity
City of Fort Worth
005698212
200 Texas Street
I(address)
Fort Worth, Texas 76102
(city, state) (zip + 4)
Exemption from reporting compensation information _
�* (N Please check box for exemption from reporting if in the preceding fiscal year ANY of the
following applied: I
• Recipient received less than 80% of its annual gross revenues in Federal awards (federal
contracts (and subcontracts), loans, grants (and subgrants) and cooperative agreements); or
• the recipient received less than $25,000,000 in annual gross revenues from Federal awards; or
• the public has access to information about compensation of the senior executives through
periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15
U.S.C. 78m(a), 78o(d))_pLiection 6104 of the Internal Revenue Code of 1986.
Total Compensation and Names of Top Five Executives (if applicable)
Name Compensation Amount
Subrecipient Responsible Party
Title Print Name I Signature/Date
Assistant City Manager Valerie Washington rf� Ov 30'02JL'
�.s fr.a wa
TEXAS COMMISSION ON Page 24 of 146 582.22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
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Federal Funding Accountability and Transparency Act I
This form is required to be completed by the subrecipient for contracts funded wholly
or partially with Federal funds by TCEQ. In accordance with 2 CFR 170 the Federal
TCe Funding Accountability and Transparency Act (FFATA), TCEQ must collect
subrecipient information for transactions $25,000 or greater.
FFATA Form Instructions
Information completed by TCEQ Program Area:
This field should be completed by TCEQ program area.
• TCEQ Contract No./PCR - Enter the Contract Number and Purchase Contract Request
(PCR) generated by BAMS when the original contract is first established. The PCR number
does not need to be provided if it is the same as the last five digits of the Contract number.
Information completed by Subrecipient:
Each field requires a response by the subrecipient. If data is not available, the subrecipient should
enter an asterisk N in the field and provide an explanation.
• Legal Name of Entity - Enter name of the subrecipient organization that corresponds with
subrecipient's Data Universal Numbering System (DUNS) as it appears in the System for
Award Management (SAM) profile, www.sam.gov.
DUNS Number + 4 - Enter subrecipient's organization's 9-digit DUNS number as it appears
in its SAM Profile and the +4 extension to the DUNS number. The +4 extension is created by
registrants in SAM when there is a need for more than one bank/Electronic Funds Transfer
(EFT) account for a location.
• Location of Entity - Provide address where subrecipient's organization is located as it
appears in subrecipient's SAM profile.
Total Compensation and Names of Top Five Executives (if applicable) - As defined in 2
CFR 170.110, you must report Executive Compensation from your preceding fiscal year
unless any of the exemption criteria apply.
• Subrecipient Responsible Party - The person completing the form should provide title,
print name, signature, and date the form was signed.
Return completed and signed form to TCEQ Contract Manager.
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ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
SCOPE OF WORK
I. FACTS/PURPOSE
The Performing Party will act as a Tier I local program to operate, support, and
maintain the air monitoring stations in listed in Table I.A, located in or around
Fort Worth, Texas, in accordance with 40 Code of Federal Regulations (CFR)
Parts 50 and 58, the effective Texas Commission on Environmental Quality
(TCEQ) quality assurance project plan (QAPP) pertaining to the State or Local Air
Monitoring Stations (SLAMS) /Photochemical Assessment Monitoring Stations
(PAMS)/National Core (NCore)/Border and Federally Funded Special Purpose
Monitor (SPM) Network (SLAMS QAPP), equipment standard operating
procedures (SOPS), and the Preventive Maintenance Instructions (PMI) Manual.
Documentation is available upon request.
Table I.A lists monitoring equipment and air monitoring stations operated,
supported, and maintained under this contract.
Table I.A: Stations and Equipment
Station
I Address
I Equipment Type
Operating
Schedule
Eagle Mountain
14290 Morris
03
continuous
Lake*
Dido Newark
SR
continuous
AQS number
Road,
484390075
Eagle Mountain
met
continuous
CAMS 0075
Fort Worth
1198 California
CO
continuous
California Parkway
Parkway North,
North*
Fort Worth
NO/NO,/NO,
continuous
AQS number
484391053
met
continuous
CAMS 1053
Keller*
FAA Site off Alta
03
continuous
AQS number
Vista Road,
484392003
Fort Worth
SR
continuous
CAMS 0017
met
continuous
Arlington Municipal
5504 South
03
continuous
Airport*
Collins Street,
NO/NO,/NO,
continuous
AQS number
Arlington
484393011
SR
continuous
CAMS 0061
met
continuous
*TCEQ owned site. All other sites are city -owned.
AQS - Air Quality System
CAMS - continuous air monitoring station
CO - carbon monoxide
met - meteorological equipment with sensors for monitoring temperature, wind speed,
and wind direction
TEXAS COMMISSION ON Page 26 of 146 S82-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 10S
City of Fort Worth
TCEQ Contract Number 582-22-30132
NO/NO2/NO. - oxides of nitrogen; includes nitric oxide (NO) and nitrogen dioxide (NO,)
03 - ozone
SR - solar radiation
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ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
City of Fort Worth TCEQ Contract Number 582-22-30132
II. A NISTRATION REGULATIONS
A. Grants
This contract is contingent on continued federal funding through grants
awarded under Section 105 of the Federal Clean Air Act.
B. Contract Amendments
a. The Performing Party may initiate a contract amendment by submitting a
revised cost budget sheet and justification to the TCEQ Network
Coordinator. The TCEQ will provide comments, deny, or approve the
request. If approved, a contract amendment is initiated by the TCEQ
Network Coordinator. The Performing Party will return the signed
contract amendment within 30 calendar days of receipt. A contract
amendment is required for the following.
• cumulative transfers among direct cost budget categories that exceed
10 percent (%) of the total current year's budget
• changes to the monitoring stations listed in Table I.A
• changes to the equipment operations listed in Table I.A
• changes in the scope of work constituting a Major Change under the
General Terms and Conditions of the Contract
• transfer of funds to a zero -dollar budget category
b. The TCEQ may initiate a contract amendment, as agreed by both parties,
to account for changes to the funding and air monitoring stations and/or
equipment listed in Table I.A. The Performing Party will return the signed
contract amendment within 30 calendar days of receipt. A contract
amendment is required for the following.
• when additional Pass-Thru grant funds are available for use by the
Performing Party or other funding changes are needed
• site equipment changes including deployment of a new equipment
type, equipment decommission, or revised sampling frequency
• additional sites with equipment similar to those already included in
Table I.A
C. Budget Change Requests
To adjust funds between cost categories, the Performing Party must submit a
budget change request with a revised cost budget sheet, including a brief
justification, to the TCEQ Network Coordinator. The TCEQ will provide
comments, deny, or approve the request. Budget change requests are
required for the following.
• cumulative transfers among direct cost categories not to exceed 10% of
the total costs for the current year's budget
• changes in key personnel in cases where specified in an application or
grant award
• subcontracting activities that are central to the purposes of the award
D. This contract details work to be performed in fiscal year (FY) 2022-2023.
E. FY 2022 begins September 1, 2021 and ends August 31, 2022. Calendar
quarters are as follows.
• 1st quarter: January - March
• 2nd quarter: April - June
• 3rd quarter: July - September
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ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
• 411 quarter: October - December
F. Fiscal and seasonal quarters are as follows.
• Ist quarter: September - November
• 2nd quarter: December - February
• 3Td quarter: March - May
• 41h quarter: June - August
G. Quality Assurance/Quality Control Assessments
The TCEQ and the United States Environmental Protection Agency (EPA)
reserve the right to assess the program managed by the Performing Party.
Assessments may include performance evaluation, inspection, surveillance,
peer review, or audit and are expected to be announced and coordinated
with the Performing Party.
H. Tiered Local Program Definitions
A local program (LP) is a governmental entity funded in part by a grant from
the EPA through the TCEQ to operate and maintain air monitoring stations in
Texas under Section 105 of the Clean Air Act, 42 U.S.C. 7405. The TCEQ
contracts with an LP using the Section 105 Pass-Thru Grant funds. The LP is
responsible for collecting ambient air quality data and reporting them to the
TCEQ and the EPA to demonstrate compliance with the U.S. National
Ambient Air Quality Standards (NAAQS). The TCEQ is the Primary Quality
Assurance Organization (PQAO) for the data collected by the LP and provides
LP oversight. An LP must effectively complete the tasks and submit the
deliverables listed below for the applicable project tier based on LP program
participation.
A Tier I LP is responsible for the following.
o Operate equipment listed in Table I.A, including associated support
equipment such as zero air generators and communications
equipment.
o Complete tasks listed in Section IV of this Contract.
o Submit complete and accurate deliverables as listed in Table VIII.A.
A Tier II LP is responsible for the following.
o Own, repair, and operate equipment listed in Table I.A and associated
support equipment such as zero air generators and communications
equipment.
o Obtain, maintain, and pay for (where negotiated by a property owner)
written site agreements for sites listed in Table I.A. Site agreements
may not be required for city -owned property.
o Establish, maintain, and pay for site utilities, including electricity and
communications services for sites listed in Table I.A.
o Complete tasks listed in Section IV of this Contract.
o Submit complete and accurate deliverables as listed in Table VIII.A.
A Tier III LP is responsible for the following.
o Own, repair, and operate equipment listed in Table I.A and associated
support equipment such as zero air generators and communications
equipment.
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ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
City of Fort Worth
TCEQ Contract Number 582-22-30132
o Obtain, maintain, and pay for (where negotiated by a property owner)
written site agreements for sites listed in Table I.A. Site agreements
may not be required for city -owned property.
o Establish, maintain, and pay for site utilities, including electricity and
communications services for sites listed in Table I.A.
o Perform validation on data collected by equipment listed in Table I.A.
o Contract or coordinate analytical services for discrete, non -continuous
samples collected at sites listed in Table I.A.
o Complete tasks listed in Section IV of this Contract.
o Submit complete and accurate deliverables as listed in Table VIII.A.
III. TCEQ RESPONSIBILITIES/DESIGNATION OF STAFF
A. The TCEQ will provide equipment certification services for calibrators and
audit kits.
B. The TCEQ will provide verified audit standards as requested by the
Performing Party.
C. The TCEQ provides contract oversight and acts as a liaison between the
Performing Party and the EPA.
D. The TCEQ will provide contract -related documents such as SOPS, QAPPs,
business practices, and PMIs when requested by the Performing Party. Where
the Performing Party chooses to develop and maintain its own quality
documents, the TCEQ posts those documents on the internal web page
during the term of the Contract and includes them in the project QAPPs. The
TCEQ may amend the QAPP to reflect changes in work performed under this
Contract.
E. The TCEQ will review the Performing Party's draft QMP, routes the draft QMP
to the designated Lead Quality Assurance Specialist, and provides signatures
when the QMP is approved.
F. The TCEQ will provide individual Performing Party staff with virtual private
network (VPN) accounts to access the TCEQ internal status report webpage
during the term of the Contract.
G. The TCEQ will review and approve subcontractors used by the Performing
Party.
H. The TCEQ provides the Performing Party with audit announcements related
to Performing Party sites and equipment, conducts annual air monitoring
station field audits, and provides audit results.
I. The TCEQ provides review, comment, and quality assurance approval on
Performing Party corrective action plans submitted to the TCEQ Quality
Assurance Specialist or to the EPA in response to Performing Party audit
findings and non -audit non -conformances.
J. The TCEQ will perform financial report reviews to confirm Performing Party
charges conform to contract and budget documents.
K. The TCEQ will schedule and conduct quarterly conference calls with the
Performing Party and documents and distributes a written call summary.
L. The TCEQ will perform data validations on Performing Party data.
M. The TCEQ will act as the PQAO and upload validated Performing Party data,
including quality control samples, to the EPA Air Quality System (AQS).
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ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
N. The TCEQ provides all electrical and communication accounts necessary for
the proper operation of air monitoring stations.
O. The TCEQ provides technical support for TCEQ-owned air monitoring
equipment by phone, email, or on -site visit, during regular business hours
between 8:00 AM and 5:00 PM CST on standard business days.
P. The TCEQ designates staff set out below to provide contract oversight.
• Courtney Groff, 512-239-1713, is the Network Coordinator and technical
point -of -contact.
• DeeAnn Fagins, 512-239-5057, is the Contract Specialist and financial
point -of -contact.
• Heather Stewart 512-239-5241 is the Air Quality System (AQS) Data
Coordinator and data point -of -contact.
Additional experienced TCEQ staff are available in the absence of those
listed above. Contact information for technical staff is available upon
request.
IV. PERFORMING PARTY RESPONSIBILITIES
A. Project Management
a. The Performing Party will designate a Project Manager who receives
communications from the TCEQ, manages the work being performed, and
acts on behalf of the Performing Party as an authorized representative.
The Project Manager is responsible for tracking, coordinating completion,
and submission of contract deliverables.
b. The Performing Party Project Manager will participate in quarterly
conference calls with the TCEQ Network Coordinator and coordinate
participation of other Performing Party staff when requested by the
TCEQ. Calls are scheduled as agreed upon by both parties.
c. The Performing Party will reply in writing to all TCEQ requests by set
deadlines and responds promptly to and comply with verbal and written
guidance from the TCEQ Network Coordinator.
B. Equipment Operation, Maintenance, and Repair
a. The Performing Party will operate monitoring equipment and collects
data using federally approved methods (i.e., federal reference methods
[FRMs] or federal equivalent methods [FEM], etc.), following federal
regulations and established SOPS, QMPs, QAPPs, and written guidance
provided by the Network Coordinator.
b. The Performing Party must provide the TCEQ with at least 85% calendar
quarter data return from monitors and samplers and collect make-up
samples with Network Coordinator approval for non -continuous
parameters to achieve 85% data completeness.
c. The Performing Party must provide a minimum of one primary operator
with at least six months documented experience with ambient air
monitoring equipment and one backup site operator with similar
documented experience. These site operators must be
electrical/mechanical grade technicians capable of operating and
performing light maintenance on meteorological hardware and electronic
monitoring equipment. Site operators must be proficient in the use of
digital volt meters and personal computers.
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d. The Performing Party must ensure staff independently possess and
utilize the information, practical knowledge, techniques, and skills
needed to comply with state and federal air monitoring regulations.
e. The Performing Party must check the site status each business day
through the TCEQ internal status report webpage using VPN access and
documents the check in the electronic site logbook. Site status checks
include the following.
• shelter temperature
• quality control check completion
• ambient sample collection
• instrument drift
• data logger status
• modem status, where used
f. The Performing Party must document all site activities in the electronic
site logbook before leaving a site where access to electronic logbook is
available or within two business days where site access to electronic
logbooks is not available. Entries include the following.
• visit reason
• inclusive visitors list
• tasks performed, including sample installation, sample retrieval, and
shipping dates
• quality control check results
• equipment status
• exchanged, removed, or deployed equipment, including asset or serial
number(s)
• exchanged, removed, or delivered compressed gas cylinders and
standards, including cylinder numbers
• atypical site or weather conditions
• siting criteria assessments
• grounds keeping
g. The Performing Party will perform SOP -listed preventive maintenance
instructions (PMIs), monthly verifications, laboratory control checks
(LCCs), quarterly audits and calibrations, within the timeframe stated in
the equipment related SOPs (see also Table VULA).
h. The Performing Party will ensure equipment and standard certifications
are current and obtain prior written approval from the TCEQ Network
Coordinator if a situation requires use of expired equipment or
standards.
i. The Performing Party must use an audit gas standard that is verified by
the TCEQ Calibration Laboratory Team.
j. The Performing Party must document all equipment and gas cylinder
changes in Hardware Tracker within two business days of the change.
k. The Performing Party must address all warnings and failures as soon as
detected, or no later than the next business day.
1. The Performing Party must obtain the TCEgs written approval prior to
allowing third party access to a monitoring site for which the TCEQ is
PQAO. This excludes service representatives accompanied by Performing
Party staff. The TCEQ may request the names and titles of individuals
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ENVIRONMENTAL QUALITY CITY OF FT. WORTH - IOS
seeking approval to enter a site and a schedule of the dates and times
when site visits are anticipated.
m. The Performing Party must obtain the TCEQ's written approval prior to
adding any non-TCEQ equipment to a site for which the TCEQ is PQAO.
The TCEQ may request an equipment summary and its impact on existing
equipment and siting criteria.
C. Quality Assurance and Quality Control
The Performing Party will provide quality assurance oversight including
ensuring guidance documents are up-to-date; conducting internal audits;
participating in external audits; developing audit responses within the
established deadlines; and developing, implementing, tracking, and verifying
corrective actions for non -conformances.
D. Audits and Assessments
The Performing Party must ensure that at least one site operator responsible
for the equipment of interest is present during TCEQ and EPA assessments
or site visits. At least one assessment per year should be expected. More
frequent assessments may be scheduled if significant or persistent data
quality issues occur.
E. Deliverables
The Performing Party must submit the deliverables listed in Table VIII.A and
ensure the deliverables meet data quality objectives and are submitted on
time and in the manner listed.
F. Training
a. The Performing Party will allocate budget, plan travel, make travel
arrangements, and cover expenses for staff to attend all requested
meetings and trainings. Not all staff are required to attend all meetings
and training. Requested meetings and training including the following.
• EPA national conferences
• TCEQ annual site operator training
• TCEQ annual local program meeting
b. The Performing Party is responsible for training its staff, documenting
their competency, overseeing their work, and assessing their work
quality. The TCEQ may include local program staff in the annual site
operator training. The Performing Party is responsible for ensuring all
staff demonstrate passing competency demonstrations before working
independently.
G. Siting Criteria and Site Maintenance
a. The Performing Party will monitor site conditions and perform grounds
keeping, minimizing growth of brush and trees to reduce fire risk and
insect and animal access to the shelters and equipment. Grounds keeping
tasks are entered in the electronic site log to assist with siting criteria
evaluations.
b. The Performing Party must ensure sites listed in Table I.A meet siting
criteria as defined in 40 Code of Federal Regulations (CFR), Part 58,
Appendix E.
c. The Performing Party will provide logistical support related to relocating
or establishing new air monitoring sites. This may include locating
TEXAS COMMISSION ON Page 33 of 146 S82-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
potential sites, providing access to contractors and utility companies for
site construction, and reviewing and documenting site construction
activities.
H. Subcontracting
The Performing Party must submit subcontractor information, such as name,
qualifications, National Environmental Laboratory Accreditation Program
(NELAP) accreditation status, etc., to the TCEQ for approval.
I. The Performing Party will conduct an annual monitoring network review
using guidance in 40 CFR Part 58.10 and submit a summary of the current
network, network changes completed in the previous six months, and
proposed changes over the next twelve months.
J. General
a. The Performing Party must ensure individual VPN access accounts remain
active. If VPN access is lost, the Performing Party must notify the TCEQ
Network Coordinator upon discovery. The Performing Party must ensure
VPN access accounts are not shared amongst staff.
b. The Performing Party must maintain and provide documentation of
shipping expenses, insurance costs (required) and any additional
information necessary to track shipped equipment or be reimbursed for
the activity. The Performing Party must insure the shipped item for the
replacement cost.
c. When visiting the TCEQ headquarters, Performing Party staff must enter
through the front of the building, check in with the security guard, and
be escorted by TCEQ staff.
d. Upon request by the TCEQ, the Performing Party will provide guided
tours of the monitoring sites to local school districts or governing
agencies, not to exceed four hours per quarter.
e. The Performing Party must ensure the sites remain locked and secure
when staff are not on site.
f. The Performing Party must provide adequate replacement for equipment
that is lost, stolen, or damaged due to negligence by the Performing Party
or any subcontractor. The TCEQ is not responsible for damages due to
negligence of the Performing Party or its subcontractors.
g. When requested by the TCEQ, the Performing Party will provide
arrangements to convey equipment to the TCEQ at mutually agreed upon
locations for exchange, delivery, or transfer.
h. The Performing Party must identify, obtain, and document necessary
safety training annually, ensuring all training is documented and records
are maintained for a minimum of five years.
i. The Performing Party will provide transitional services. Given the nature
and importance of the services requested under this Contract, the TCEQ
must maintain uninterrupted services. The Performing Party will provide
services as needed to assist in the smooth transition of a replacement
contractor. Transitional services include the following.
• Provide one week of training to the replacement contractor.
• Provide reports, maps, property site contact information, keys,
equipment, and other TCEQ property to replacement contractor upon
execution of the new contract.
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ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
City of Fort Worth
TCEQ Contract Number 582-22-30132
• Report to replacement contractor pending problems being
investigated or for which equipment repair is incomplete.
• Provide access to site trailers, buildings, utilities, or other locked
areas.
• Notifying the TCEQ Network Coordinator in writing when the
transition of services is complete.
• Provide complete cooperation, courtesy, civility, and professionalism
when providing transitional services and communicating with
replacement contractor staff.
K. Financial Status Report (FSR) Form
The Performing Party must match the TCEQ expenditures by contributing
33% of the total project costs. Each FSR form must include supporting
documentation demonstrating that the Performing Party is contributing the
required 33% match for the period specified on the FSR.
V. DESCRIPTION OF DELIVERABLES
The Performing Party must operate and maintain the air monitoring stations
listed in Table I.A following applicable federal regulations and effective TCEQ
QAPPs, SOPS, and written directives provided by the TCEQ Network Coordinator
to meet federal and state air monitoring requirements. The TCEQ documents
can be accessed through the TCEQ Rhone page and are also available upon
request.
The Performing Party must submit deliverables listed in Table VIII.A by the
listed deadlines and with the established content and quality. If a deadline
cannot be met by the Performing Party, the project representative must notify
the TCEQ Network Coordinator prior to the due date and provide a justification
and an alternative deadline.
VI. ACCEPTANCE CRITERIA
A. The Performing Party is required to provide the TCEQ with at least an 85%
quarterly data return for parameters listed in Table I.A. If the 85% data
return is not achieved, the Performing Party must identify the assignable
cause within a week after the end of each month. Assignable causes may
include acts of nature (tornadoes, hurricanes, hail, etc.), vandalism, or
circumstances beyond the control of the Performing Party. Site neglect is not
an assignable cause.
B. Performing Party's failure to meet 85% quarterly data returns without
assignable cause may result in discretionary payment reductions.
Considerations for the payment reduction consist of Performing Party's
performance evaluation for required operating procedures, quality control
procedures, and effective and timely communication of non-compliance
issues. Payment adjustments made under this section are cumulative with all
other remedies, and non-compliance issues may require additional corrective
action.
C. The parties agree that the following payment reductions represent a
reasonable calculation of damages to the TCEQ if the Performing Party fails
to meet the required 85% quarterly data return without an assignable cause.
a. The TCEQ may reduce payment to the Performing Party for a non-
compliant quarter by up to 2 5% of the total amount on FSR.
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b. Payment reductions made under this section may not reduce the total
amount paid to the Performing Party for an entire fiscal year by more
than 2 5% of the total amount on FSR. After receipt of the fourth quarter
invoice, the TCEQ will perform an accounting of all payment reductions
and make necessary adjustments to the final payment to ensure that
Performing Party is paid at least 75% of the total amount on FSR for the
fiscal year.
VII. ANNUAL VENDOR PERFORMANCE EVALUATION
Performing Party's failure to submit complete and accurate contract deliverables
by the established deadlines may be used in the TCEQ annual Performing Party
performance evaluation.
VIII. SCHEDULE OF DELIVERABLES
The Performing Party must provide the deliverables listed in Table VIII.A to the
TCEQ in accordance with the noted deadlines.
Table VIII.A: Contract Deliverables
Group
Deliverables
Equipment
Task Summary
Timeframe or
Submit to:
Due Date
Equipment
Audit Equipment
Audit
a. Maintain certification of audit
a. Annually,
Network
Certification
calibrators
calibrators and kits by submitting
prior to
Coordinator
and kits
them to the TCEQ
expiration
b. Notify the TCEQ in writing when
b. Prior to
transferring TCEQ or Performing
transfer
Party equipment to the TCEQ for
calibration.
Equipment
a. Expired
All
a. Request approval to use audit
a. Prior to
Network
equipment
equipment with expired
expiration
Coordinator
certification
certifications.
b. Prior to
request
b. Request approval to use gas
expiration
b. Expired
standards with expired
standard
certifications.
certification
request
Equipment
Hardware (HW)
Sites listed
Document all equipment and gas
Within three
Hardware
Tracker
in Table LA
cylinder changes in HW Tracker.
business days
Tracker in
of change
Rhone at LEADS
Hardware
Configuration
Tracker
(texas.gOV)
Equipment
a. Performing
All
a. Submit Performing Party SOPS for
a. When issued
Network
Party Standard
project equipment when TCEQ
b. Review SOPS
Coordinator
Operating
SOPs are not used.
biannually,
Procedures
b. Review SOPS and revise if current
submit
(SOPS)
practice is not reflected. Submit
revised SOPS
b. Revised SOPS
revised SOPS, as applicable.
when issued
c. Deviation
c. Submit a deviation amendment
c. 30 calendar
amendments
for approved TCEQ SOP
days after
deviations.
TCEQ SOP is
issued
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Group
Deliverables
Equipment Task Summary
Timeframe or
Submit to:
Due Date
Equipment
a. Report of
All a. Provide symptoms or cause of
a. the same
a. Network
equipment
failures or malfunctions in
day
Coordinator
failure or
writing.
discovered
b. Network
malfunction
b. Provide the reason for the data
b. within one
Coordinator
that results in
loss and corrective action taken to
business day
c. Network
data loss
resolve the problem in writing.
c. within one
Coordinator
b. Report of
c. problem in writing.
business day
continuous
d. Provide resolution description
of resolution
monitor
and final equipment status.
failures longer
than 48
consecutive
hours
c. Report
problem
resolution
Equipment
Competency
All Submit completed CD forms and
Within 30 days
Network
Demonstrations
supporting documentation to the
of contract
Coordinator
(CDs)
TCEQ Network Coordinator for site
effective date
operators for assigned equipment.
or prior to the
• For site operators hired after the
effective date
effective date of this contract,
for newly
submit the completed CD.
issued SOPS
• Within six
months of
hire date
Financial
a. CAMS
All a. Complete for each site, maintain
a. Monthly,
Network
Reports (FR)
Operator and
completed forms as a hard copy
note in
Coordinator
Safety
or electronic file accessible by
electronic
Checklist
request. Submit tracking
operator log
b. Safety
overview sheet with FR
and submit
Training
deliverables.
tracking
b. Provide staff safety training
sheet
documentation.
quarterly
with FR
b. When
requested
Financial
a. All FR
All a. Submit FR at the following
a. Quarterly by
Network
Reports (FR)
deliverables
intervals:
fiscal year
Coordinator
b. Data
• September - November
b. with each FR
Completeness
• Due December 315t
c. within 10
c. Revised
• December - February
calendar
invoices
• Due March 3155
days of FR
d. Release of
• March - May
rejection
Claims form
• Due June 30"'
d. with final
• June - August
contract FR
• Due October 31 st
• FR must include detailed and
itemized supply and equipment
purchases, contractual, travel,
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Group Deliverables Equipment Task Summary
Financial
Inventory All
Reports (FR)
management
reports
Financial
Revised cost All
Reports (FR)
budget sheet
Other
a. Annual All
Monitoring
Network
Review
(AMNR)
b. Revised AMNR
C. Substantive
network
changes
and other expenditures, and
salary breakdowns.
• Provide receipts for travel
reimbursement, supplies,
equipment and expenses and
ensure that dollar limits do not
exceed the contract amount.
• Notify in writing with
justification, prior to the due
date, when FR will be late.
• Sign final, end of contract FR,
for contract closeout final
billing
b. Track and submit data
completeness for parameters
listed in Table I.A. Include
description of how data
completeness was determined
and provide justification for data
loss and corrective actions taken.
c. Correct and resubmit rejected
FR.
d. Submit completed Release of
Claims form.
Track TCEQ assets and LP owned
audit equipment and provide an
inventory status.
When the total contract amount
changes or funds are moved between
budget categories, submit a revised
cost budget sheet with .justification.
a. Submit a current network
summary, network changes
completed in the previous six
months, and proposed changes
over the next twelve months.
• Evaluate the adequacy of the
existing network to meet
current federal monitoring
objectives.
• Include, at a minimum:
operator names and contacts,
equipment models and ages,
method codes, equipment
maintenance and replacement
plans, local importance of
each site/parameter, design
value trends, and program
sops.
b. Correct and return TCEQ
revisions.
c. Submit substantive network
changes in writing. This includes
changes to the monitoring
network, deployment of new
equipment, and changes to the
quality assurance program.
Timeframe or Submit to:
Due Date
Quarterly with
Network
FR
Coordinator
Prior to
Network
submitting the
Coordinator and
affected FR
Contract
Specialist
a. by
Network
September
Coordinator
30 of each
year
b. within 30
calendar
days of
receipt
c. 30 calendar
days in
advance of
making
changes
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ENVIRONMENTAL QUALITY CITY OF FT. WORTH - IOS
City of Fort Worth
TCEQ Contract Number 582-22-30132
Group Deliverables
Equipment Task Summary
Timeframe or
Submit to:
Due Date
Other a. Damage and
All a. Submit summary of damages due
a. Within 48
Network
vandalism
to accident or vandalism at sites
hours of
Coordinator
notification
for which the TCEQ is PQAO.
discovery
Include pictures, and police
reports and communications.
Other Deadline
All Submit a notification in writing for a
Prior to the due
Network
notifications
deadline that cannot be met and
date
Coordinator
provide a justification and an
alternative deadline.
Other a. Siting Criteria
Sites listed a. Measure and document checklist
a. After a new
Network
Checklist
in Table I.A distances.
site
Coordinator
b. Corrective
• Complete second checklist tab
deployment,
actions
for identified obstructions to
by January 31
c. Confirmation
determine impact on sample
and by July
Siting Criteria
path.
31
Checklist
• Submit siting criteria threats
• within one
identified during the year, such
business
as the growth of trees or nearby
day of
construction, in writing.
first tab
b. Develop and implement
comple-
corrective actions to ensure the
tion
site meets established criteria
. within
and submit them in writing
three
c. After corrective actions, confirm
business
and document checklist
days of
distances and submit a new
discovery
form.
b. within 30
calendar
days of
checklist
completion
c. within 30
calendar
days of
primary
checklist
completion
Other a. Staff changes
Not a. Submit staff changes so the VPN
a. Within 10
Network
b. TCEQ
applicable access can be updated.
calendar
Coordinator
Information
b. Submit forms for each staff
days of
Resources Non-
member requiring VPN access.
change
Disclosure and
b. Annually by
Password
August 31
Agreement
forms
Other a. Travel
Not a. Submit a written request for
a. Prior to
Network
Requests
applicable contract related travel. Once
travel
Coordinator
b. Purchase
approved, make travel
b. Prior to
Requests
arrangements and cover expenses
purchase
for staff to attend trainings or
meetings.
b. Submit a request and justification
to purchase items with a unit
TEXAS COMMISSION ON Page 39 of 146 582-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
City of Fort Worth
TCEQ Contract Number 582-22-30132
Group
Quality
Assurance
(QA)
Deliverables Equipment Task Summary
a. End -of -Year All
Questionnaire
b. Corrective
action plans
(CAP) for audits
or other
nonconformanc
es
c. CAP status
report
d. CAP
verifications
QA a. External
Technical
Systems Audit
b. CAP(s)
c. CAP status
report
d. CAP
verification
All
acquisition cost of $ 5,000 or
more.
a. Complete the End -of -Year
questionnaire and provide
requested documentation.
b. Submit a written corrective
action plan for audit findings.
Include the following.
• the finding or
nonconformance
• an assignable root cause for
not meeting the specification
• the programmatic and data
impact
• specific corrective actions
taken or planned to address
the nonconformance and to
prevent recurrence
• a timeline for completing
each action
• the means by which
corrective action will be
documented and verified as
effective
• the individual(s) responsible
for corrective action
implementation and
verification
c. Provide a status reports on CAP
implementation and status.
d. For completed CAPS, provide
verification documentation.
a. Submit a written corrective
action plan for external audit
findings. Include the following.
• the finding or
nonconformance
• an assignable root cause for
not meeting the specification
• the programmatic and data
impact
• specific corrective actions
taken or planned to address
the nonconformance and to
prevent recurrence
• a timeline for completing
each action
• the means by which
corrective action will be
documented and verified as
effective
• the individual(s) responsible
for corrective action
implementation and
verification
Timeframe or
Due Date
a. within the
requested
deadline
b. within 14
calendar
days of
audit
findings
report
c. quarterly
d. by the CAP
deadlines
Submit to:
a. Designated QA
Specialist
b. Network
Coordinator
c. Network
Coordinator
d. Network
Coordinator
a. within 14 a. Designated QA
calendar
Specialist
days of
b. Network
report issue
Coordinator
b. quarterly
c. Network
c. by the CAP
Coordinator
deadlines
TEXAS COMMISSION ON Page 40 of 146 582-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
Group Deliverables
Equipment Task Summary
b.
Provide a status reports on CAP
implementation and status.
c.
For completed CAPS, provide
verification documentation.
QA a.
Internal
All a.
Conduct and submit a report for
Technical
a thorough, systematic, on -site
Systems
technical systems audit of
Audit (TSA)
facilities, equipment, personnel,
b.
CAP(s)
training, procedures, record
c.
CAP status
keeping, data validation, data
report
management, and reporting
d.
CAP
aspects of the project described
verification
in this contract. Ensure the entire
program is audited every three
years.
b.
Submit CAPS for audit findings
c.
Provide a status reports on CAP
implementation and status.
d.
For completed CAPS, provide
verification documentation.
QA a.
Laboratory
Continuous a.
Perform two LCCs following the
Control Check
gaseous
instrument SOPs.
(LCC)
• Download a new spreadsheet
spreadsheet
from TCEQ Rhone at
b.
Spreadsheet
httD://rhone.tcea.texas.gov/cgi-
corrections
bin/worksheet_docs.Dl.
• Enter all audits in the electronic
operator log, identifying the
instrument and the LCC date.
• Perform independent
spreadsheet review for accuracy
and completeness and
document in the comments
section with name and review
date.
• Submit the audit spreadsheet.
b.
Submit corrections.
QA a. Performance All
a. Complete the provided PE pre -
Evaluation (PE)
audit questionnaire.
Pre -Audit
b. Participate in the audit by being
questionnaire
on -site and assisting the TCEQ
b. Written
auditor and provide written
response to
assignable cause for warnings
warnings and
and failures and describe
failures
corrective actions and issue
c. Corrective
resolutions.
action plan
c. Submit a written corrective
(CAP)
action plan for audit findings.
d. CAP status
Include the following.
report
• the finding or
e. CAP
nonconformance
verifications
• an assignable root cause for
not meeting the specification
Timeframe or
Due Date
a. Annually,
with a
complete
audit every
three years
b. Within 14
calendar
days of TSA
completion
c. Quarterly
d. By the CAP
deadlines
a.
0
a.
R
Quarterly,
approximate
ly 45
calendar
days apart
• for each
LCC
• prior to
LCC
submittal
• prior to
LCC
submittal
• within five
business
days of
completed
LCC
Within one
business day
of request
acknowledge
audit
notification
within one
business
day; submit
completed
questionnair
e per the
requested
deadline.
within two
business
days of
audit
Submit to:
Network
Coordinator
lcc@tceq.texas.go
v
Network
Coordinator
TEXAS COMMISSION ON Page 41 of 146 582-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
City of Fort Worth
TCEQ Contract Number 582-22-30132
Group Deliverables Equipment
Task Summary
Timeframe or
Submit to:
I
Due Date
I
• the programmatic and data
c. within 14
impact
calendar
• specific corrective actions
days of
taken or planned to address
report issue
the nonconformance and to
d. quarterly
prevent recurrence
e. by the CAP
• a timeline for completing
verification
each action
deadlines
• the means by which
corrective action will be
documented and verified as
effective
• the individual(s) responsible
for corrective action
implementation and
verification
d. Provide status reports on CAP
implementation and status.
e. For completed CAPS, provide
verification documentation.
QA Quality All
Review the QAPP and submit
By the
Network
Assurance
appendices detailing deviations in
established
Coordinator
Project Plan
the Performing Party's
deadline or
(QAPP)
implementation of the TCEQ QAPP.
when
Deviations
significant
changes occur
QA a. Quality All
a. Review and revise the Performing
a. Every two
Network
Management
Party QMP. Ensure the QMP
years, 120
Coordinator
Plan (QMP)
adheres to U.S. EPA Requirements
calendar
b. QMP
for Quality Management Plans
days prior to
certification
(QA/R2) and reflects current
expiration
practice.
and when
b. Submit a written certification
significant
that the existing plan is current.
changes
If changes are needed, submit an
occur
amended plan.
b. 30 calendar
days prior to
annual
anniversary
of effective
date.
CAMS - continuous air monitoring station
LP - local program
QA - Quality Assurance
TCEQ - Texas Commission on Environmental Quality
U.S. EPA - United States Environmental Protection Agency
VPN - virtual private network
TEXAS COMMISSION ON Page 42 of 146 582-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
GENERAL TERMS AND CONDITIONS
1. CONTRACT PERIOD
1.1. Contract Period. The Contract begins on the Effective Date and ends on the
Expiration Date as provided on the Contract Signature Page. If no Effective Date
is provided, the Effective Date of the Contract is the date of last signature. If no
Expiration Date is provided, the Expiration Date is August 31 of the same Fiscal
Year in which the Contract is signed.
1.2. Amendments. This Contract is not subject to competitive selection requirements
and may be amended by mutual agreement. Except as specifically allowed by the
Contract, all changes to the Contract require a written amendment that is signed
by both parties.
1.2.1. Material Changes. Material changes to the contract require a written
amendment signed by both parties. These Amendments take effect when
signed by the Contractor and TCEQ unless otherwise designated in the
Amendment. Material changes include the following:
1.2.1.1. Changes in the total amount of funds in the Budget or the Contract;
1.2.1.2. Changes to the Contract's Expiration Date;
1.2.1.3. Changes to the Scope of Work that affect TCEQ's obligations to the
entity providing funding, such as the United States Environmental
Protection Agency (EPA), another state or federal agency, or the
Texas Legislature; and
1.2.1.4. Changes that affect the material obligations of the Performing Party
in this Contract.
1.2.2. Unilateral Amendments. As specifically allowed by the Contract, TCEQ may
issue unilateral amendments. Unilateral amendments take effect when issued
by TCEQ.
1.2.3. Minor Changes. The TCEQ Contract Manager and/or the TCEQ Project
Manager has the authority, without a formal Amendment, to correct
typographical errors; make written Contract interpretations; and make
minor, non -material changes to the requirements in the Scope of Work, the
Procedures for Work Orders, or the Work Orders (Work Orders include
Proposals for Grant Activities); or as agreed to elsewhere in the Contract.
Contractor must provide TCEQ with a written objection to any Notice of
Interpretation no later than five (5) business days from the effective date of
the Notice. A copy of the agreed change must be retained in the appropriate
file by both the Performing Party and TCEQ.
1.2.3.1. Minor, non -material changes include:
1.2.3.1.1. Changes to the schedule in the Scope of Work including an
extension of a deliverable due date, not to exceed the
expiration date of the Contract;
1.2.3.1.2. Changes to the schedule in the Work Order including an
extension of a deliverable due date, not to exceed the
expiration date of the Work Order;
1.2.3.1.3. Changes to the individual tasks/activities in the Scope of
Work or Work Order, if applicable, that do not substantially
change the obligations of the Parties relative to those
tasks/activities;
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1.2.4. It is the Performing Party's responsibility to request extensions to the
deliverable schedule and other changes that are within the authority of
TCEQ.
1.3. Extensions. TCEQ may by unilateral written amendment extend the Expiration
Date for a period of up to 90 days. Unless otherwise indicated in the applicable
contract amendment, an extension does not extend any other deadlines or due
dates other than the expiration of the Contract Period.
2. FUNDS
2.1 Availability of Funds. This Contract and all claims, suits or obligations arising
under or related to this Contract are subject to the receipt and availability of
funds appropriated by the Texas Legislature for the purposes of this Contract or
the respective claim, suit or obligation, as applicable. Performing Party will
ensure that this article is included in any subcontract it awards.
2.2 Maximum Authorized Reimbursement. The total amount of funds provided by
TCEQ for the Contract will not exceed the amount of the Maximum Authorized
Reimbursement as shown on the Contract Signature Page.
2.3 Fiscal Year Restrictions. In order to be reimbursed under this Contract, costs
must be incurred during the Contract Period and within the time limits
applicable to the funds from which the Contract is being paid. TCEQ is under no
obligation to offer deadline extensions which extend to the maximum availability
of the contract funding source.
2.4 Grants. If this Contract was entered under the TCEQ's authority to award grants,
TCEQ is providing financial assistance to the recipient to undertake its own
project.
2.5 No Debt against the State. This Contract is contingent on the continuing
appropriation of funds. This Contract shall not be construed to create debt
against the State of Texas.
2.6 Abortion Funding Limitation. Performing Party represents and warrants that
payments made by TCEQ to Performing Party and Performing Party's receipt of
appropriated funds under the contract are not prohibited by Article IX, Section
6.25 of the General Appropriations Act, 861 Legislative Session (2019), nor by
Texas Government Code Chapter 2272 Prohibited Transactions [Senate Bill 22,
861h Legislative Session (2019)].
2.7 Excluded Parties. Performing Party represents and warrants that it is not listed
in the prohibited vendors lists authorized by Executive Order No. 13224,
"Blocking Property and Prohibiting Transactions with Persons Who Commit,
Threaten to Commit, or Support Terrorism," published by the United States
Department of the Treasury, Office of Foreign Assets Control. Performing Party
will notify TCEQ if it can no longer make this representation.
3. ALLOWABLE COSTS
3.1 Conforming Activities. TCEQ will reimburse the Performing Party for necessary
and reasonable Allowable Costs that are incurred and paid by the Performing
Party in performance of the Scope of Work as authorized by this Contract in the
Cost Budget or Fixed Payment Amounts.
3.2 UGMS. Allowable Costs are restricted to costs that comply with the Texas
Uniform Grant Management Standards (UGMS) and applicable state and federal
rules and law. The parties agree that all the requirements of the UGMS apply to
this Contract, including the criteria for Allowable Costs. UGMS is defined to
TEXAS COMMISSION ON Page 44 of 146 S82-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
include its successor guidance, Texas Grant Management Standards, the terms of
which shall control for purposes of this contract effective January 1, 2022.
Additional federal requirements apply if this Contract is funded, in whole or in
part, with federal funds.
4. REIMBURSEMENT
4.1. Reimbursement Requests. Performing Party shall invoice TCEQ to request
reimbursement for its Allowable Costs for performing the Scope of Work.
Performing Party's invoice shall conform to all reimbursement requirements
specified by TCEQ.
4.2. Personnel Eligibility List (PEL). Performing Party must submit a completed
Personnel Eligibility List (PEL) prior to starting activities under this Contract and
an updated PEL with any invoice following changes to the information provided
in the most recent PEL. If a Contract amendment is necessary due to changes
reflected on the PEL, Performing Party must immediately submit an updated PEL
with a request to amend the Contract.
4.3. Level -of -Effort Certification (LEC). Performing Party must complete the attached
Level -of -Effort Certification (LEC) for salaried employees performing work under
this Contract. LEC must be completed monthly and LEC(s) must be submitted
with each invoice, except for nonexempt employees, for which the Performing
Party must submit time sheets. Performing Party may develop and use its own
LEC method, which must be reviewed and approved by TCEQ prior to
implementation. The LEC method must meet the following requirements and all
other federal and state requirements regarding documentation for personnel
expenses:
a. Reflect an after -the -fact distribution of the actual activity of each employee;
b. Account for the total activity for which each employee is compensated,
including activities not performed under this Contract;
c. Be prepared at least monthly and must coincide with one or more pay
periods; and
d. Be signed, physically or electronically, by the employee and the supervisory
official having first-hand knowledge of the work performed by the employee.
The employee's signature is not required in the event the employee cannot be
reached due to termination of employment, lack of forwarding address,
death or other documented reason.
4.4. Conditional Payments. Reimbursements are conditioned on the Scope of Work
being performed in compliance with the Contract. Performing Party shall return
payment to TCEQ for either overpayment or activities undertaken that are not
compliant with the Scope of Work. This does not limit or waive any other TCEQ
remedy.
4.5. No Interest for Delayed Payment. Because the Performing Party is not a vendor
of goods and services within the meaning of Texas Government Code Chapter
2251, no interest is applicable in the case of late payments.
4.6. Release of Claims. As a condition to final payment or settlement, or both, the
Performing Party shall execute and deliver to the TCEQ a release of all claims
against the TCEQ for payment under this Contract.
4.7. State Agencies/Institutions of Higher Education. If the Contractor is a State
agency or institution of higher education payments must be made via
interagency transaction voucher (ITV), please provide a Recurring Transaction
TEXAS COMMISSION ON Page 45 of 146 S82-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
Index (RTI) number on the face of the invoice OR if payments are to be deposited
into a local bank account, the following statement must be placed on the face of
the invoice: "Funds to be deposited into local bank account." For additional
information, please refer to the Texas Comptroller's Accounting Policy Statement
(APS) 014.
5. FINANCIAL RECORDS, ACCESS AND AUDITS
5.1 Audit of Funds. The Performing Party understands that acceptance of funds
under this Contract acts as acceptance of the authority of the State Auditor's
Office, or any successor agency, to conduct an audit or investigation in
connection with those funds. Performing Party further agrees to fully cooperate
with the State Auditor's Office or its successor in the conduct of the audit or
investigation, including providing all records requested. Performing Party shall
ensure that this clause concerning the audit of funds accepted under this
Contract is included in any subcontract it awards.
5.2 Financial Records. Performing Party shall establish and maintain financial
records including records of costs of the Scope of Work in accordance with
generally accepted accounting practices. Upon request Performing Party shall
submit records in support of reimbursement requests. Performing Party shall
allow access during business hours to its financial records by TCEQ and other
state agencies for the purpose of inspection and audit. Financial records
regarding this contract shall be retained for a period of three (3) years after date
of submission of the final reimbursement request.
6. PERFORMING PARTY'S RESPONSIBILITIES
6.1 Performing Party's Responsibility for the Scope of Work. Performing Party
undertakes performance of the Scope of Work as its own project and does not
act in any capacity on behalf of the TCEQ nor as a TCEQ agent or employee.
Performing Party agrees that the Scope of Work is furnished and performed at
Performing Party's sole risk as to the means, methods, design, processes,
procedures and performance.
6.2 Standard Assurances. Performing Party assures compliance with the provisions
found in UGMS III Subpart B, _.14 State assurances, that are applicable to this
Contract.
6.3 Independent Contractor. The parties agree that the Performing Party is an
independent contractor. Nothing in this Contract shall create an employee -
employer relationship between Performing Party and TCEQ. Nothing in this
Contract shall create a joint venture between TCEQ and the Performing Party.
6.4 Performing Party's Responsibilities for Subcontractors. All acts and omissions
of subcontractors, suppliers and other persons and organizations performing or
furnishing any of the Scope of Work under a direct or indirect contract with
Performing Party shall be considered to be the acts and omissions of Performing
Party.
6.5 No Third Party Beneficiary. TCEQ does not assume any duty to exercise any of
its rights and powers under the Contract for the benefit of third parties.
Nothing in this Contract shall create a contractual relationship between TCEQ
and any of the Performing Party's subcontractors, suppliers or other persons or
organizations with a contractual relationship with the Performing Party.
6.6 Cybersecurity Training. Performing Party shall ensure that any Performing
Party representative (employee, officer, or subcontractor personnel) who has
Access to a TCEQ Computer System or Database completes a cybersecurity
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training program certified by the Texas Department of Information Resources
(DIR) under § 2054.519 of the Texas Government Code, during the term of the
Contract and each renewal.
6.6.1. "Access to TCEQ Computer System or Database" means having a TCEQ
network user account or the authorization to maintain, modify, or allow
access control to any TCEQ web page, TCEQ computer system or TCEQ
database.
6.6.2. Within seven (7) days after the execution of the Contract and any renewals,
Performing Party shall provide a list of persons requiring training to the
TCEQ Contract Manager, and thereafter provide an updated list by the first
workday of any additional person who becomes subject to the training
requirements. For applicable umbrella contracts, Contractor shall provide a
list of any persons requiring training within seven (7) days of issuance of
Notice to Proceed/Commence for any Work Order/Proposal for Grant
Activities that requires Access to a TCEQ Computer System or Database.
6.6.3. If a Performing Party representative has previously completed a DIR-certified
cybersecurity training during the term of the Contract or renewal, Contractor
shall provide evidence that the Performing Party representative completed
the required training to the TCEQ Contract Manager within seven (7) days
after the execution of the Contract or as applicable, the issuance of Notice to
Proceed/Commence for any Work Order/Proposal for Grant Activities that
requires Access to a TCEQ Computer System or Database.
6.6.4. For the term of the Contract and each renewal, all Performing Party
representatives subject to the training requirement must complete DIR-
certified training within seven (7) calendar days after TCEQ provides access
to the training, unless the Performing Party provides evidence to TCEQ that
the Performing Party representative previously completed the required
training. Performing Party shall retain in their records, and upon request,
provide the TCEQ Contract Manager evidence that the training was
successfully completed.
6.6.5. Performing Party shall notify the TCEQ Contract Manager within two (2)
business days when a person with Access to a TCEQ Computer System or
Database no longer needs Access to such Computer System or Database.
6.6.6. TCEQ may terminate the Contract for Cause if Performing Party fails to
adhere to any of the above terms, including completing the required certified
cybersecurity training or notifying the TCEQ Contract Manager when access
is no longer needed.
6.6.7. TCEQ may terminate the Contract for Cause if a Performing Party's
representative misuses a TCEQ Computer System or Database, including
allowing multiple individuals to utilize a single individual's TCEQ network
user account.
7. TIME AND FORCE MAJEURE
7.1 Time is of the Essence. Performing Party's timely performance is a material
term of this Contract.
7.2 Delays. Where Performing Party's performance is delayed, except by Force
Majeure or act of the TCEQ, TCEQ may withhold or suspend reimbursement,
terminate the Contract for cause, or enforce any of its other rights (termination
for convenience may be effected even in case of Force Majeure or act of TCEQ).
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7.3 Force Majeure. Force majeure is defined as acts of God, war, fires, explosions,
hurricanes, floods, or other causes that are beyond the reasonable control of
either party, could not reasonably be foreseen, and by the exercise of all
reasonable due diligence, is unable to be overcome by either party. Neither party
shall be liable to the other for any failure or delay of performance of any
requirement included in the contract caused by force majeure. Upon timely
notice by the non -performing party, the time for performance shall be extended
for a reasonable period after the causes of delay or failure have been removed
provided the non -performing party exercises all reasonable due diligence to
perform. The non -performing party must provide evidence of any failure
resulting in impossibility to perform.
8. CONFLICT OF INTEREST
Performing Party shall have a policy governing disclosure of actual and potential conflicts of
interests. Specifically, for work performed under this Contract by Performing Party or any
related entity or individual, Performing Party shall promptly disclose in writing to TCEQ any
actual, apparent, or potential conflicts of interest, including but not limited to disclosure of:
i. Any consulting fees or other compensation paid to employees, officers, agents of
Performing Party, or members of their immediate families, or paid by subcontractor
or subrecipients; or
ii. Any organizational conflicts of interest between Performing Party and its
subcontractors or subrecipients under a subaward.
No entity or individual with any actual, apparent, or potential conflict of interest will take part
in the performance of any portion of the Scope of Work, nor have access to information
regarding any portion of the Scope of Work, without TCEQ's written consent in the form of a
unilateral amendment. Performing Party agrees that TCEQ has sole discretion to determine
whether a conflict exists, and that a conflict of interest is grounds for termination of this
Contract.
9. DATA AND QUALITY
9.1 Quality and Acceptance. All work performed under this Contract must be
complete and satisfactory in the reasonable judgment of the TCEQ. All materials
and equipment shall be handled in accordance with instructions of the
applicable supplier, except as otherwise provided in the Contract.
9.2 Quality Assurance. All work performed under this Contract that involves the
acquisition of environmental data will be performed in accordance with a TCEQ
approved Quality Assurance Project Plan (QAPP) meeting all applicable TCEQ and
EPA requirements. Environmental data includes any measurements or
information that describe environmental processes, location, conditions,
ecological or health effects and consequences. Environmental data includes
information collected directly from measurements, produced from models, and
compiled from other sources such as databases or literature. No data collection
or other work covered by this requirement will be implemented prior to
Performing Party's receipt of the QAPP signed by TCEQ and, if necessary, the
EPA. Without prejudice to any other remedies available to TCEQ, TCEQ may
refuse reimbursement for any environmental data acquisition performed prior to
approval of a QAPP by TCEQ and, if necessary, the EPA. Also, without prejudice
to any other remedies available to TCEQ, Performing Party's failure to meet the
terms of the QAPP may result in TCEQ's suspension of associated activities and
non -reimbursement of expenses related to the associated activities.
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ENVIRONMENTAL QUALITY CITY OF FT. WORTH - IOS
9.3 Laboratory Accreditation. Any laboratory data or analyses provided under this
Contract must be prepared by a laboratory that is accredited by TCEQ according
to 30 Texas Administrative Code Chapter 25, subchapters A and B, unless TCEQ
agrees in writing to allow one of the regulatory exceptions specified in 30 Texas
Administrative Code Section 25.6.
10. INTELLECTUAL PROPERTY
10.1. Third Party Intellectual Property. Unless specifically modified in an
amendment or waived in a unilateral amendment, Performing Party must obtain
all intellectual property licenses expressly required in the Scope of Work, or
incident to the use or possession of any deliverable under the Contract.
Performing Party shall obtain and furnish to TCEQ: documentation on the use of
such intellectual property, and a perpetual, irrevocable, enterprise -wide license
to reproduce, publish, otherwise use, or modify such intellectual property and
associated user documentation, and to authorize others to reproduce, publish,
otherwise use, or modify such intellectual property for TCEQ non-commercial
purposes, and other purposes of the State of Texas.
10.2. Grant of License. Performing Party grants to TCEQ a nonexclusive, perpetual,
irrevocable, enterprise -wide license to reproduce, publish, modify or otherwise
use for any non-commercial TCEQ purpose any preexisting intellectual property
belonging to the Performing Party that is incorporated into any new works
created as part of the Scope of Work, intellectual property created under this
Contract, and associated user documentation.
11. INSURANCE AND INDEMNIFICATION
11.1 Insurance. Unless prohibited by law, the Performing Party shall require its
contractors to obtain and maintain during the Contract Period adequate
insurance coverage sufficient to protect the Performing Party and the TCEQ from
all claims and liability for injury to persons and for damage to property arising
from the Contract. Unless specifically waived by the TCEQ, sufficient coverage
shall include Workers Compensation and Employer's Liability Insurance,
Commercial Automobile Liability Insurance, and Commercial General Liability
Insurance.
11.2 Indemnification. TO THE EXTENT AUTHORIZED BY LAW, THE PERFORMING
PARTY SHALL REQUIRE ALL CONTRACTORS PERFORMING CONTRACT
ACTIVITIES ON BEHALF OF PERFORMING PARTY TO INDEMNIFY, DEFEND, AND
HOLD HARMLESS THE TCEQ AND PERFORMING PARTY AND THEIR OFFICERS,
AND EMPLOYEES, FROM AND AGAINST ALL LOSSES, LIABILITIES, DAMAGES, AND
OTHER CLAIMS OF ANY TYPE ARISING FROM THE PERFORMANCE OF CONTRACT
ACTIVITIES BY THE CONTRACTOR OR ITS SUBCONTRACTORS, SUPPLIERS AND
AGENTS, INCLUDING THOSE ARISING FROM DEFECT IN DESIGN, WORKMANSHIP,
MATERIALS, OR FROM INFRINGEMENT OF ANY PATENT, TRADEMARK OR
COPYRIGHT; OR FROM A BREACH OF APPLICABLE LAWS, REGULATIONS, SAFETY
STANDARDS OR DIRECTIVES. THE DEFENSE OF TCEQ SHALL BE SUBJECT TO
THE AUTHORITY OF THE OFFICE OF THE ATTORNEY GENERAL OF TEXAS TO
REPRESENT TCEQ. THIS CONVENANT SURVIVES THE TERMINATION OF THE
CONTRACT.
12. TERMINATION
12.1 Termination for Cause. TCEQ may, upon providing 10 days' written notice and
the opportunity to cure to the Performing Party, terminate this Contract for
cause if Performing Party materially fails to comply with the Contract including
any one or more of the following acts or omissions: nonconforming work, or
TEXAS COMMISSION ON Page 49 of 146 S82-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - IOS
existence of a conflict of interest. Termination for cause does not prejudice
TCEQ's other remedies authorized by this Contract or by law.
12.2 Termination for Convenience. TCEQ may, upon providing 10 days' written
notice to the Performing Party, terminate this Contract for convenience.
Termination shall not prejudice any other right or remedy of TCEQ or the
Performing Party. Performing Party may request reimbursement for:
conforming work and timely, reasonable costs directly attributable to
termination. Performing Party shall not be paid for: work not performed, loss of
anticipated profits or revenue, consequential damages or other economic loss
arising out of or resulting from the termination.
12.3 If, after termination for cause by TCEQ it is determined that the Performing
Party had not materially failed to comply with the Contract, the termination shall
be deemed to have been for the convenience of TCEQ.
13. DISPUTES, CLAIMS AND REMEDIES
13.1 Payment as a Release. Neither payment by TCEQ nor any other act or omission
other than an explicit written release, in the form of a unilateral amendment,
constitutes a release of Performing Party from liability under this Contract.
13.2 Schedule of Remedies available to the TCEQ In accordance with Texas
Government Code Chapter 2261 the following Schedule of Remedies applies to
this Contract. In the event of Performing Party's nonconformance, TCEQ may do
one or more of the following:
13.2.1. Issue notice of nonconforming performance;
13.2.2. Reject nonconforming performance and request corrections without charge
to the TCEQ;
13.2.3. Reject a reimbursement request or suspend further payments, or both,
pending accepted revision of the nonconformity;
13.2.4. Suspend all or part of the Contract Activities or payments, or both, pending
accepted revision of the nonconformity;
13.2.5. Demand restitution and recover previous payments where performance is
subsequently determined nonconforming;
13.2.6. Terminate the contract without further obligation for pending or further
payment by the TCEQ and receive restitution of previous payments.
13.3 Opportunity to Cure. The Performing Party will have a reasonable opportunity to
cure its nonconforming performance, if possible under the circumstances.
13.4 Cumulative Remedies. Remedies are cumulative; the exercise of any remedy
under this Contract or applicable law does not preclude or limit the exercise of
any other remedy available under this Contract or applicable law.
14. SOVEREIGN IMMUNITY
The parties agree that this Contract does not waive any sovereign immunity to which either
party is entitled by law.
I.S. SURVIVAL OF OBLIGATIONS.
Except where a different period is specified in this Contract or applicable law, all
representations, indemnifications, and warranties made in, required by or given in accordance
with the Contract, as well as all continuing obligations indicated in the Contract, survive for
four (4) years beyond the termination or completion of the Contract, or until four (4) years after
the end of a related proceeding. A related proceeding includes any litigation, legal proceeding,
TEXAS COMMISSION ON Page 50 of 146 582-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
permit application, or State Office of Administrative Hearings proceeding, which is brought in
relation to the Contract or which in TCEQ's opinion is related to the subject matter of the
Contract. Either party shall notify the other of any related proceeding if notice of the
proceeding has not been provided directly to that other party.
16. CONTRACT INTERPRETATION
16.1 Definitions. The word "include" and all forms such as "including" mean
"including but not limited to" in the Contract and in documents issued in
accordance with the Contract, such as Work Orders or Proposals for Grant
Activities (PGAs).
16.2 Headings. The headings of the sections contained in this Contract are for
convenience only and do not control or affect the meaning or construction of
any provision of this Contract.
16.3 Delivery of Notice. Notices are deemed to be delivered three (3) working days
after postmarked if sent by U.S. Postal Service certified or registered mail, return
receipt requested. Notices delivered by other means are deemed delivered upon
receipt by the addressee. Routine communications may be made by first class
mail, facsimile transmission, email, or other commercially accepted means.
16.4 Interpretation of Time. All days are calendar days unless stated otherwise. Days
are counted to exclude the first and include the last day of a period. If the last
day of the period is a Saturday or Sunday or a state or federal holiday, it is
omitted from the computation.
16.5 State, Federal Law. This Contract is governed by, and interpreted under the laws
of the State of Texas, as well as applicable federal law.
16.6 Severability. If any provision of this Contract is found by any court, tribunal or
administrative body of competent jurisdiction to be wholly or partly illegal,
invalid, void or unenforceable, it shall be deemed severable (to the extent of such
illegality, invalidity or unenforceability) and the remaining part of the provision
and the rest of the provisions of this Contract shall continue in full force and
effect. If possible, the severed provision shall be deemed to have been replaced
by a valid provision having as near an effect to that intended by the severed
provision as will be legal and enforceable.
16.7 Assignment. No delegation of the obligations, rights, or interests in the
Contract, and no assignment of payments by Performing Party will be binding on
TCEQ without its written consent, except as restricted by law. No assignment
will release or discharge the Performing Party from any duty or responsibility
under the Contract.
16.8 Venue. Performing Party agrees that the Contract is being performed in Travis
County, Texas, because this Contract has been performed or administered, or
both, in Travis County, Texas. The Performing Party agrees that any cause of
action involving this Contract arises solely in Travis County, Texas.
16.9 Publication. Performing Party agrees to notify TCEQ five (5) days prior to the
publication or advertisement of information related to this Contract. Performing
Party agrees not to use the TCEQ logo or the TCEQ graphic as an advertisement
or endorsement without written permission signed by the appropriate TCEQ
authority.
16.10 Waiver. With the exception of an express, written waiver in the form of a
unilateral amendment signed by TCEQ, no act or omission will constitute a
waiver or release of Performing Party's obligation to perform conforming
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Contract Activities. No waiver on one occasion, whether expressed or implied,
shall be construed as a waiver on any other occasion.
16.11 Compliance with Laws. TCEQ relies on Performing Party to perform all Contract
Activities in conformity with all applicable laws, regulations, and rules and
obtain all necessary permits and licenses.
16.12 Counterparts. This Contract may be signed in any number of copies. Each copy
when signed is deemed an original and each copy constitutes one and the same
Contract.
16.13 Accessibility. All electronic content and documents created as deliverables
under this Contract must meet the accessibility standards prescribed in 1 Texas
Administrative Code sections 206.50 and 213 for state agency web pages, web
content, software, and hardware, unless TCEQ agrees that exceptions or
exemptions apply.
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COST BUDGET
1. Budget. Authorized budgeted expenditures for work performed are as follows:
Budget Category
Salary / Wages
Fringe Benefits
Travel
Supplies
Equipment
Contractual
Construction
Other
Total Direct Costs
Indirect Costs
Other In -Kind Contributions
Total Contract Cost
Cost Share (33%)
TCEQ Reimbursement
Amount (67%)
FY22 Total Project
Costs
$48,000.00
$24,000.00
$1,250.00
$7,584.33
$0.00
$0.00
$0.00
$7,500.00
$88,334.33
$4,800.00
$0.00
$93,134.33
$30,734.33
$62,400.00
FY23 Total Project
Costs
$48,000.00
$24,000.00
$1,250.00
$7,584.33
$0.00
$0.00
$0.00
$7,500.00
$88,334.33
$4,800.00
$0.00
$93,134.33
$30,734.33
$62,400.00
2. Matching Funds. This Contract requires matching funds. Performing Party must
match TCEQ expenditures by contributing 33 percent (%) of the total project
costs as shown above. Each invoice must demonstrate that the Performing Party
is contributing the required match for the period specified on the invoice.
3. Indirect Cost Reimbursable Rate. The reimbursable rate for this Contract is 10%
of (check one):
❑ salary and fringe benefits
❑ modified total direct costs
® other direct costs base
If other direct cost base, identify: Salary/Wages
This rate is less than or equal to (check one):
❑ Predetermined Rate —an audited rate that is not subject to adjustment.
TEXAS COMMISSION ON Page 53 of 146 582-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
City of Fort Worth
TCEQ Contract Number 582-22-30132
❑ Negotiated Predetermined Rate —an experienced -based predetermined rate
agreed to by Performing Party and TCEQ. This rate is not subject to
adjustment.
® Default rate —a standard rate of ten percent of salary/wages may be used in
lieu of determining the actual indirect costs of the service.
4. Other. If Budget Category "Other" is greater than $25,000 or more than 10% of
budget total, identify the main constituents:
5. Travel. In order to be reimbursable, travel costs must be specifically authorized
in advance of the travel. Travel costs will be reimbursed only in the amount of
actual costs, up to the maximum allowed by law for employees of the State of
Texas at the time the cost is incurred.
6. Budget Categories. The Budget Categories above have the definitions,
requirements and limitations stated in UGMS. Construction costs are not
reimbursable without prior, specific written authorization from TCEQ.
7. Budget Control.
a. Cumulative transfers equal to or less than 10% of the Total Budget.
Performing Party may transfer amounts between the approved direct cost
budget categories so long as cumulative transfers from direct cost budget
categories during the Contract Period do not exceed ten percent (10%) of the
Total Budget amount. Performing Party must timely submit a Budget Revision
Request (BRR) Form reflecting the revised budget. Upon approval by TCEQ
the BRR will be incorporated into this Contract as though it is a document
revised under General Term and Condition Section 1.2. The 10% limit does not
reset with the approval of each BRR. It resets when an amendment is signed
by the parties reflecting changes to the budget.
b. Cumulative transfers greater than 10% of the Total Budget. TCEQ must pre -
approve in writing all budget revisions that result in the cumulative transfer
from direct cost budget categories of funds greater than 10% of the Total
Budget during the Contract Period. The Performing Party must request to
amend the Contract. A contract amendment is required before Performing
Party incurs these costs.
c. Performing Party may not transfer amounts to budget categories containing
zero dollars without TCEQ pre -approval in writing.
8. Invoice Submittal. Unless otherwise stipulated in the Contract, invoices must be
submitted to the individual named in TCEQ Project Representatives and Records
Location at monthly intervals. Final invoices shall be submitted within two (2)
calendar months after completing the Scope of Work activities. TCEQ may
unilaterally extend this deadline by e-mail.
a. All invoices must be submitted in a format that clearly shows how
the budget control requirement is being met.
9. Supporting Records. Performing Party shall submit records and documentation
to TCEQ as appropriate for the review and approval of reimbursing costs. TCEQ
may reject invoices without appropriate supporting documentation. TCEQ has
the right to request additional documentation such as expenses for the invoice
period, year-to-date expenses, projected totals for the year (or applicable contract
TEXAS COMMISSION ON Page 54 of 146 582-22-30132
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period), percent of budget spent to date, and percentage of budget projected to
be spent. Performing Party shall maintain records subject to the terms of this
Contract.
10.Indirect Costs. Performing Party's indirect costs will be reimbursed at the
reimbursable rate entered above. If no reimbursable rate is shown above, indirect
costs are not reimbursable under this Contract. The reimbursable rate must be
less than or equal to the rate authorized under UGMS. To the extent that the
reimbursable rate is lower than Performing Party's actual indirect costs,
Performing Party is contributing its unreimbursed indirect costs to the successful
performance of this Contract, and waives any right it may have to reimbursement
of those costs (if this Contract requires matching funds, Performing Party may
claim its unreimbursed indirect costs as part or all of its match). Performing Party
must fund all unreimbursed indirect costs from other funds. It is the Performing
Party's responsibility to ensure that unreimbursed indirect costs are not charged
to other projects which do not benefit from them, and that it uses funding
sources that may be properly used to fund its unreimbursed costs.
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NOTICES, PROJECT REPRESENTATIVES, AND RECORDS LOCATION
1. Representatives. The individual(s) named below are the representatives of TCEQ and Performing
Party. They are authorized to give and receive communications and directions on behalf of the TCEQ
and Performing Party as indicated below. All communications including official contract notices must
be addressed to the appropriate representative or his or her designee.
2. Changes in Information. Either party may change its information in this Notices, Project
Representatives and Records Location document by providing notice to the other party's
representative for contractual matters.
3. TCEQ Representatives
TCEQ CONTRACT SPECIALIST
(for Contractual Matters)
DeeAnn Fagins
Contract Specialist 165
(Title) (Mail Code)
Texas Commission on Environmental Quality
P.O. Box 13087
Austin, Texas 78711-3087
Telephone No.: (512) 239-5057
Facsimile No.: (512) 239-1605
4. Performing Party Representatives
For Contractual Matters:
Anthonv Williams
(Name)
Environmental Supervisor
(Title)
The City of Fort Worth
Environmental Management Department
c/o Anthony Williams
200 Texas Street
Fort Worth, Texas 76102
Telephone No.: (817) 392-5462
Facsimile No.: (817) 392-6359
TCEQ PROJECT MANAGER
(for Technical Matters)
Courtney Groff
Proiect Manager 165
(Title) (Mail Code)
Texas Commission on Environmental Quality
P.O. Box 13087
Austin, Texas 78711-3087
Telephone No.: (512) 239-1713
Facsimile No.: (512) 239-1605
For Technical Matters:
Daniel Fernandez
(Name)
Sr_ Rnvirnnmental Sn(-cialkt
(Title) -�
The City of Fort Worth
Environmental Management Department
c/o Anthony Williams
200 Texas Street
Fort Worth, Texas 76102
Telephone No.: (817) 392-5466
Facsimile No.: (817) 392-6359
5. Invoice Submittal. Invoices must be submitted to the TCEQ Contract Specialist and the Project
Manager.
6. Designated Location for Records Access and Review. Contractor designates the physical
location indicated below for record access and review pursuant to any applicable provision of this
contract:
City of Fort Worth - City Hall
Annex, 7"' Floor
(Physical Location Address Line 1)
908 Monroe Street
(Physical Location Address Line 2)
Fort Worth, Texas 76102
(City) (State) (Zip Code)
TEXAS COMMISSION ON Page 56 of 146 582-22-30132
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Attachment A:
Financial Status Report
TEXAS COMMISSION ON Page 57 of 146 582-22-30132
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Texas Commission on Environmental Quality Attachment A
FINANCIAL STATUS REPORT
1. STATE AGENCY TO WHICH REPORT IS Texas Commission on Environmental Quality
SUBMITTED:
2. GRANT/AGREEMENT TITLE:
3. PAYEE IDENTIFICATION NUMBER: 4. RECIPIENT ORGANIZATION (NAME AND
COMPLETE ADDRESS, INCLUDING ZIP CODE):
5.
6.
7.
8.
10
a.
b.
C.
d.
e.
f.
n.
TCEQ AGREEMENT NUMBER:
FINAL REPORT: YES
ACCOUNTING BASIS: CASH
TOTAL PROJECT/GRANT PERIOD:
FROM: TO:
BUDGET CATEGORIES:
Salary/Wages
Fringe Benefits ( %)
Travel
Supplies
Equipment
Contractual
Construction
Other
Total Direct Costs (Sum a - h)
Indirect Costs ( % x $
Other In -Kind Contributions
Total Project Costs (Sum of i & j)
Cost Share (33%)
TCEQ Reimbursement Amount (67%)
NO
ACCRUAL
9. PERIOD COVERED BY THIS REPORT:
FROM: TO:
Approved Project Cost Cumulative
Budget This Report Project Cost Balance
List (Itemize) on the appropriate supplemental form all component expenses comprising the total for
each of these categories.
Please attach receipts, as required,
Negative balances in any of the budget categories should be explained in a brief accompanying narrative.
11. CERTIFICATION: I certify to the best of my knowledge and belief that this report is correct and complete
and that all outlays and unliquidated obligations are for the purposes set forth in the award document.
Signature of Authorized Certifying Official:
Typed or Printed Name and Title:
Telephone (Area code, number and ext.):
TCEQ Form 20248
Date Submitted:
TEXAS COMMISSION ON
ENVIRONMENTAL QUALITY
Page 58 of 146 582-22-30132
CITY OF FT. WORTH - 105
Attachment A (continued)
PERSONNEL/SALARY EXPENDITURES (during this report period)
EMPLOYEE NAME
A. PERSONNEL/SALARY
All Employees listed on current PEL?
_Yes _No
B. FRINGE Rate =
Total for the reporting period =
(Do not include fringe in total at right)
TITLE/POSITION SALARY TASKS
(THIS
PERIOD)
TOTAL PERSONNEL/SALARY EXPENDITURES (must agree with line 10a on Form
20248)
On this Supplemental Form, list employee's name, title/position, salary for the period, and Task number(s)
worked. An updated PEL is required when employment status changes occur.
TRAVEL EXPENDITURES (during this report period)
EMPLOYEE(S) DATE(S) OF DESTINATION & MEALS LODGING TRANSPORTATION TASKS
TRAVEL PURPOSE OF (Miles X Rate)
TRAVEL
TOTAL TRAVEL EXPENDITURES (must agree with line 10c on Form 20248)
On this Supplemental Form, itemize each traveler's costs to show name of traveler, date(s) of travel,
destination and purpose, mode of transportation, costs for meals, lodging, transportation, and Tasks for
which the cost applies (itemization may be attached).
TEXAS COMMISSION ON Page 59 of 146 582-22-30132
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Attachment A (continued)
SUPPLIES PURCHASED (during this report period)
NUMBER ITEM DESCRIPTION
PURCHASED (Should match description provided for approval)
UNIT TOTAL
COST COST
TOTAL SUPPLIES PURCHASED (must agree with line 10h on Form 20248)
TASKS
On this Supplemental form, list materials and supplies purchased for the Contract, cost, and Task to which each
supply item applies. Provide enough information in the description to enable the TCEQ to determine the
allowability of cost.
EQUIPMENT PURCHASES (during this report period)
NUMBER ITEM DESCRIPTION UNIT TOTAL TASKS
PURCHASED (Should match description provided for approval) COST COST
TOTAL EQUIPMENT EXPENDITURES (must agree with line l0e on Form 20248)
List the description of equipment, serial No., cost and Task to which each equipment item applies. Note: TCEQ
may disallow the cost of equipment purchased without prior approval.
TEXAS COMMISSION ON Page 60 of 146 S82-22-30132
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Attachment A (continued)
CONTRACTUAL EXPENDITURES (during this report period)
SUBCONTRACTOR (NAME)
FOR
COST (THIS TASKS
PERIOD)
TOTAL CONTRACTUAL EXPENDITURES (must agree with line lOf on Form
20248)
List all subcontractor costs either incurred or paid during the period, including subcontractor name, description
of activities performed, date(s) performed, costs, and related Tasks.
CONSTRUCTION COSTS (during this report period)
DESCRIPTION
PURPOSE
COST (THIS
PERIOD)
TOTAL CONSTRUCTION EXPENDITURES (must agree with line 10g on Form $
20248)
LEGIBLE RECEIPTS MUST BE ATTACHED TO THIS FORM FOR EACH LISTED ITEM OR EXPENDITURE.
OTHER EXPENDITURES (during this report period)
NUMBER PURCHASED
DESCRIPTION UNIT COST TOTAL COST
TASKS
TASKS
TOTAL Other EXPENDITURES (must agree with line lOg on Form 20248) $
On this Supplemental form, list the description of the item or cost, cost, and Task to which each item or cost
applies. Provide enough information in the description to enable the TCEQ to determine the allowability of cost.
TEXAS COMMISSION ON Page 61 of 146 S82-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - IOS
Attachment B:
Release of Claims
(Must be returned with last invoice per the General Term and Condition titled Release of Claims)
TEXAS COMMISSION ON Page 62 of 146 S82-22-30132
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TEXAS COMMISSION ON ENVIRONMENTAL QUALITY
Conditional Final Waiver and Release of Claims
Upon receipt and clearance of payment from the Texas Commission on Environmental
Quality (TCEQ) in the sum of $--------- which constitutes final payment to City of Ft. Worth
(hereinafter referred to as "Performing Party"), Performing Party and its successors and
assigns, release, discharge and relinquish the TCEQ its officers, agents, and employees from
all claims, known or unknown, arising out of or relating to TCEQ Contract Number
582-22-30132 (Contract).
It is expressly agreed and understood that this conditional FINAL waiver and release of
all claims is effective, without any further action of any party, only upon clearance of final
payment to Performing Party in the above -mentioned amount. Performing Party warrants that
it has completed all activities described in the Contract.
Executed on this --------- day of ---------------, 20----.
By:
(signature)
-----------------------------
(name)
(title)
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Attachment C:
Budget Revision Request
TEXAS COMMISSION ON Page 64 of 146 582-22-30132
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BUDGET REVISION REQUEST FORM
Purpose: To document recipient organization's proposed budget changes to ensure project deliverables are met and fiscal accountability.
Prior TCEQ review and approval is required before incurring specific costs resulting in cumulative transfers of more than 10% of the total
budget.
Instructions: Complete 1. - 8. The spreadsheet will total the amounts in 9., i., and k.
1. Recipient Organization (Name & Complete Address Including Zip Code):
2. Grant/ Contract Title:
4. TCEQ Contract No.:
6. Budget Categories:
a. Personnel/Salaries
b. Fringe Benefits
c. Travel
d. Supplies
e. Equipment
f. Contractual
g. Construction
h. Other
i. Total Direct Costs (sum a - h)
j. Indirect Costs ( --- %x $_____ Salary)
k. Total (sum i & j)
1. Recipient Cost Share
m. Total Reimbursable Cost (k-1)
7. Approved Budget
Justification (Attach additional sheets, if necessary):
3. Payee Identification No.:
5. Total Project/ Grant Period:
8. Change Requested (+ or -)
*** Budget Revision Request must contain all signatures to be approved/valid
Signature of Recipient's Representative Date Type or Printed Name and Title
Signature of TCEQ Project Manager Date Type or Printed Name and Title
Signature of TCEQ Contract Manager Date Type or Printed Name and Title
9. New or Revised Budget
Attachment D:
Level -of -Effort Certification
(Certification(s) must be returned with each invoice per General Terms and
Conditions Section 4.3)
TEXAS COMMISSION ON Page 66 of 146 582-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
Level -of -Effort Certification
[Month] 20[XX]
Employee Name: [Name]
Project Actual Activities Performed Activity for Which
Employee was
Compensated
N of Total Hours
Worked)
TCEQ Contract
Nos.
Albin,
582-XX-XXXXX
X
582-XX-XXXXX
X
582-XX-XXXXX •_
X
582-XX-XXXXX •_
X
582-XX-XXXXX
X
582-XX-XXXXX
X
Other Projects
(Not Related to
TCEQ
Contracts/Grants)
X%
The information listed above is true and correct. TCEQ may request additional
information.
Employee Name
Employee Signature
Date
Supervisor Name
Supervisor Signature
Date
TEXAS COMMISSION ON Page 67 of 146 582-22-30132
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Attachment E:
Personnel Eligibility List
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Personnel Eligibility List (PEL)
Performing Party: City of Ft. Worth
Conract Number: 582-22-30132
Date:
Initial
Staff Name or Date Added Date Estimated
"Vacant" Position or Title to PEL Removed Time to
from PEL Contract
(% or hours)
*Only provided for estimation purposes and may be different from actual hours worked.
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Exhibit A-1
U.S. Environmental Protection Agency
Requirements for Quality Management Plans (QA/R-2)
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United States Office of Environmental
Environmental 'Protection information
Agency Washington, DC 20460
^EPA EPA Requirements for
Quality Management Plans
EPA QA/R-2
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FOREWORD
The U.S. Environmental Protection Agency (EPA) has developed the Quality
Management Plan as a means of documenting how an organization will plan, implement, and
assess the effectiveness of its quality assurance and quality control operations applied to
environmental programs. The process of planning, implementing, and assessing these
management systems is called quality management and the product of this process is called the
Quality System. The Quality Management Plan is part of the mandatory Agency -wide Quality
System that requires all organizations performing work for EPA to develop and operate
management processes and structures for assuring that data or information collected are of the
needed and expected quality for their desired use.
This document provides the development and content requirements for Quality
Management Plans for organizations that conduct environmental data operations for EPA through
contracts, assistance agreements, and interagency agreements; however, it may be used by EPA as
well. It contains the same requirements as Chapter 3 of the EPA Order 5360 Al (2000), EPA
Quality Manual for Environmental Programs, for EPA organizations.
This document is one of the U.S. Environmental Protection Agency Quality System Series
documents. These documents describe the EPA policies and procedures for planning,
implementing, and assessing the effectiveness of the Quality System. Questions regarding this
document or other Quality System Series documents should be directed to the Quality Staff:
U.S. IPA
Quality Staff (2811 R)
Washington, DC 20460
Phone: (202) 564-6830
FAX: (202) 565-2441
e-mail: quality@epa.gov
Copies of EPA Quality System Series documents may be obtained from the Quality Staff directly
or by downloading them from its Home Page:
www.epa.gov/quality
EPA QAlR-2
Final
March 2001
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ACKNOWLEDGMENTS
This document reflects the collaborative efforts of many quality management professionals
who participate in the challenge for continual improvement in duality systems supporting
environmental programs. These individuals, representing the EPA, other Federal agencies, State
and local governments, and private industry, reflect a diverse and broad range of needs and
experiences in environmental data collection programs. Their contributions and the
comprehensive reviews during the development of this document are greatly appreciated.
Final
EPA QA/R-2 ii March 2001
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TABLE OF CONTENTS
paze
CHAPTER 1.
INTRODUCTION ............................................. 1
1.1
BACKGROUND ................................................ 1
1.2
QUALITY MANAGEMENT PLANS, THE EPA QUALITY SYSTEM, AND
ANSI/ASQC E4-1994............................................ 2
1.3
THE GRADED APPROACH AND THE EPA QUALITY SYSTEM ........ 4
1.4
INTENDED AUDIENCE ......................................... 4
1.5
PERIOD OF APPLICABILITY ..................................... 4
1.6
ADDITIONAL RESOURCES ...................................... 4
1.7
SUPERSESSION................................................4
CHAPTER 2. QUALITY MANAGEMENT PLAN REQUIREMENTS ............... 5
2.1 POLICY.......................................................5
2.2 PURPOSE.....................................................5
2.3 APPLICABILITY...............................................5
2.4 GENERAL CONTENT AND DETAIL REQUIREMENTS ................ 5
2A.1 General Content ........................................... 5
2.4.2 Level of Detail ............................................ 6
2.5 QUALITY MANAGEMENT PLAN PREPARATION .................... 6
2.6 QUALITY MANAGEMENT PLAN SUBMISSION AND APP.ROVAI....... 7
2.7 QUALITY MANAGEMENT PLAN REVISIONS ....................... 7
CHAPTER
3. QUALITY MANAGEMENT PLAN ELEMENTS .................... 9
3.1
CONTENT REQUIREMENTS .....................................
9
3.2
MANAGEMENT AND ORGANIZATION ...........................
10
3.3
QUALITY SYSTEM COMPONENTS ..............................
11
3.4
PERSONNEL QUALIFICATION AND TRAINING ....................
12
3.5
PROCUREMENT OF ITEMS AND SERVICES .......................
12
3.6
DOCUMENTS AND RECORDS.. . ................................
13
3.7
COMPUTER HARDWARE AND SOFTWARE .......................
14
3.8
PLANNING...................................................15
3.9
IMPLEMENTATION OF WORK PROCESSES .......................
16
3.10
ASSESSMENT AND RESPONSE .................................
17
3.11
QUALITY IMPROVEMENT .....................................
18
REFERENCES...........................................................19
APPENDIX A. TERMS AND DEFINITIONS ................................. A-1
Final
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(This page has been left blank intentionally.)
Final
EPA QA/R-2 1V March 2001
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CHAPTER 1
INTRODUCTION
1.1 BACKGROUND
The U.S. Environmental Protection Agency (EPA) annually spends several hundred
million dollars in the collection of environmental data fbr scientific research and regulatory
decision making. In addition, non -EPA organizations may spend as much as an order of
magnitude more each year to respond to Agency requirements. Furthermore, as EPA is
increasingly involved in the use of environmental technology for pollution control and waste
clean-up, the use of particular technologies is often specified in permits and regulations. If
decision makers are to have the necessary confidence in the quality of enviromnental data used to
support their decisions or that environmental technology successfully performed its intended role,
there must be a structured process for quality in place.
A structured system that describes the policies and procedures for ensuring that work
processes, products, or services satisfy stated expectations or specifications is called a quality
system. All organizations conducting environmental programs funded by EPA are required to
establish and implement a quality system. EPA organizations are required to document their
quality system in a Quality Management Plan through EPA Order 5360.1 A2, Policy and
Program Requirements for the Mandatory Agency -wide Quality System (EPA 2000). Non -EPA
organizations funded by EPA are required to document their quality system in a Quality
Management Plan (or equivalent document)' through:
48 CFR 46, for contractors;
40 CFR 30, 31, and 35 for assistance agreement recipients; and
other mechanisms, such as consent agreements in enforcement actions.
A Quality Management Plan documents how an organization structures its quality system
and describes its quality policies and procedures, criteria for and areas of application, and roles,
responsibilities, and authorities. It also describes an organization's policies and procedures for
implementing and assessing the effectiveness of the quality system. This document describes the
elements of a quality system that must be documented in a Quality Management Plan to comply
with EPA requirements.
'An equivalent document may not be called a Quality Management Plan but still would document an
organization's quality system and address the required quality management practices described in this document.
EPA QA/K-2
Final
March 2001
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This requirements document presents specifications and instructions for the information
that must be contained in a Quality Management Plan for organizations conducting environmental
programs funded by EPA, The document also discusses the procedures for review, approval,
implementation, and revision of Quality Management Plans. Users of this document should
assume that all of the elements described herein are required in a Quality Management Plan unless
otherwise directed by EPA.
1.2 QUALITY MANAGEMENT PLANS, THE EPA QUALITY SYSTEM,
AND ANSI/ASQC E4-1994
EPA Order 5360.1 A2 and the applicable Federal regulations (defined above) establish a
mandatory Quality System that applies to all EPA organizations and organizations that are funded
by EPA. Components of this system are illustrated in Figure 1. Organizations must ensure that
data collected for the characterization of environmental processes and conditions are of the
appropriate type and quality for their intended use and that environmental technologies are
designed, constructed, and operated according to defined expectations. Quality system
documentation (e.g., the Quality Management Plan) is a key component of the EPA Quality
System as shown in Figure 1.
EPA policy is based on the national consensus standard, ANSI/ASQC E4-1994,
Specifications and Guidelines for Environmental Data Collection and Environmental
Technology Programs. The ANSI/ASQC E4-1994 standard describes the necessary management
and technical elements for developing and implementing a quality system. This standard
recommends using a tiered approach to a quality system. The standard recommends first
documenting each organization -wide duality system in a Quality Management Plan or Quality
Manual (to address requirements of Part A: Management Systems of the standard) and then
documenting the applicability of the quality system to technical activity -specific efforts in a
Quality Assurance Project Plan (QA Project Plan) or similar document (to address the
requirements of Part B: Collection and Evaluation of Environmental Data of the standard).
EPA has adopted this tiered approach for its mandatory Agency --wide Quality System. This
document addresses Part A requirements of the standard.
The Quality Management Plan may be viewed as the `umbrella' document under which
individual projects are conducted. The Quality Management Plan is then supported by project -
specific QA Project Plans, A QA Project Plan is the `blueprint' by which individual projects
involving environmental data are implemented and assessed and how specific quality assurance
(QA) and quality control (QC) activities will be applied during a particular project. EPA
requirements for QA Project Plans are defined in EPA Requirements for Quality Assurance
Project Plans (QA/R-5) (EPA 2001). In some cases, a QA Project Plan and a Quality
Management Plan may be combined into a single document that contains both organizational and
project -specific elements. The QA Manager for the EPA organization sponsoring the work has
the authority to determine when a single document is applicable and will define the content
requirements of such a document.
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Consensus Standards
ANSI/ASQC E4
ISO 9000 Series
r internal EPA Poli -ins External Policies
z Contracts - 48 CFR s
OEPA Order 5360. t Assistance Agreements -
a EPA Manual 5360 40 CFR 30, 31, and 35_
EPA Program &
Regional Policy
Quality System
r r. Documentation
(e.g., QMP) T
[7
1;� Supporting System Elemenic Training/Communication
Z (e.g., Procurements, (e.g., Training Plan,
0 Computer Hardware/Software) Conferences)
a�
N
z
Q Annual Review systems
and Planning Assessments
0 (e.g., QAARWP) (e.g., QSAs)
Systematic vndu Study Data Verification
1
Planning --
Plannil
Experiment & Validation
(e.g., DQO Process)
ul JQA I Standard I Technical I Data Quality
O I Proect Plan Operating Assessments Assessment
ix
Procedures
PLANNING IMPLEMENTATION ASSESSMENT
Defensible Products and Decisions J
Figure 1. EPA Quality System Components and Tools
Final
EPA QA/R-2 3 March 2001
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1.3 THE GRADED APPROACH AND THE EPA QUALITY SYSTEM
Implementation of the EPA Quality System is based on the principle of graded approach.
This principle recognizes that a `one size fits all' approach to quality requirements will not work
in an organization as diverse as EPA so managerial controls are applied according to the scope of
the program and/or the intended use of the outputs from a process. For example, the quality
expectations of a fundamental research program are different from that of a regulatory compliance
program because the purpose or intended use of the data is different. Applying a graded approach
means that quality systems for different organizations and programs will vary according to the
specific objectives and needs of the organization. The specific application of the graded approach
principle to Quality Management Plans is described in Section 2.4.2.
1.4 INl'ENDED AUDIENCE
This document specifies the requirements for developing a Quality Management Plan for
organizations that conduct environmental data operations funded by EPA through contracts,
financial assistance agreements, and interagency agreements. EPA organizations may also use this
document to develop their Quality Management Plans since this document is clearer and more
user-friendly than the equivalent requirements defined in Section 3.3 of EPA Order 5360 Al
(EPA 2000), The EPA Quality Manualfor Environmental Programs (an internal policy
document). However, the preparation, submission, review, and approval requirements for EPA
organizations are still contained in Section 3.2 of EPA Order 5360 Al as these represent internal
EPA policy.
1.5 PERIOD OF APPLICABILITY
This document shall be valid for a period of up to five years from the official date of
publication. After five years, it shall either be reissued without change, revised, or withdrawn
from the EPA Quality System.
1.6 ADDITIONAL RESOURCES
EPA has issued a checklist for reviewing Quality Management Plans that can be used to
verify if the requirements defined in this document are satisfied. This checklist is available on the
Quality Staff website, www.epa.gov/quality/tools-org,htrnl#qmp.
1.7 SUPERSESSION
This document replaces QAMS-004/80, .Interim Guidelines and Specifications for
Preparing Quality Assurance Program Plans (EPA 1980) in its entirety.
Final
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CHAPTER 2
QUALITY MANAGEMENT PLAN REQUIREMENTS
2.1 POLICY
Quality systems supporting environmental programs involving environmental data or
technology conducted by EPA organizations or by organizations funded by EPA shall be covered
by an Agency --approved Quality Management Plan.
2.2 PURPOSE
A Quality Management Plan is a management tool that documents an organization's
quality system for planning, implementing, documenting, and assessing the effectiveness of
activities supporting environmental data operations and other environmental programs. The
Quality Management Plan is used to demonstrate conformance to Part A requirements of
ANSI/ASQC E4-1994.
2.3 APPLICABILITY
These requirements apply to all organizations conducting environmental programs funded
by EPA that acquire, generate, compile, or use environmental data and technology. These
requirements apply to all work performed through contracts, cooperative agreements, interagency
agreements, State -EPA agreements, State, local, and Tribal Financial Assistants/Grants (including
Performance Partnership Grants and Agreements), Research Grants, and in response to statutory
or regulatory requirements and consent agreements. These requirements shall be negotiated into
interagency agreements, including sub -agreements, and, in some cases, included in enforcement
consent agreements and orders. Where specific Federal regulations require the application of QA
and QC activities (see Section 1.1), Quality Management Plans shall be prepared, reviewed, and
approved in accordance with the specifications contained in this document unless explicitly
superseded by regulation.
2.4 GENERAL CONTENT AND DETAIL REQUIREMENTS
2.4.1 General Content
The Quality Management Plan documents the quality management practices which are
critical to a quality system. Specific Quality Management Plan content requirements are described
in Chapter 3. Each organization should evaluate these requirements for applicability to their
quality system. Where a particular element is not relevant, an explanation of why it is not relevant
must be provided in the Quality Management Plan. Also, if the Quality Management Plan
preparer or EPA organization sponsoring the work determines that additional quality management
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elements are useful or necessary for an adequate quality system, these elements should be
discussed in the Quality Management Plan.
2.4.2 Level of Detail
The Quality Management Plan should describe a Quality System that is designed to
support the objectives of the organization. The level of effort expended to develop a Quality
Management Plan should be based on the scope of the program. For example, large grants to a
State government may require a comprehensive quality system and Quality Management Plan,
whereas smaller grants for programs with relatively less significant impacts may require less
substantial documentation.
The Quality Management Plan must be sufficiently inclusive, explicit, and readable to
enable both management and staff to understand the priority which management places on QA
and QC activities, the established quality policies and procedures, and their respective quality -
related roles and responsibilities. The Quality Management Plan must be written so that an
assessment of the suitability and effectiveness of the organization's quality system can be
accomplished. Such assessments will enable management to determine if the quality system meets
the needs of the organization. The Quality Management Plan should be focused on the processes
and procedures used to plan, implement, and assess the programs to which it is applied, and must
include definitions of appropriate authorities and responsibilities for managers and staff.
2.5 QUALITY MANAGEMENT PLAN PREPARATION'
An organization's senior manager is responsible for assuring the preparation of a Quality
Management Plan to cover all environmental programs supported or undertaken by the
organization. Senior management, i.e., the executives and managers who are responsible and
accountable for mission accomplishment and overall operations of the organization, is responsible
for ensuring that the Quality Management Plan is prepared and that the quality system
documented in the Quality Management Plan satisfies all EPA policy requirements and meets all
statutory, contractual, and assistance agreement requirements for EPA work.
While senior management is responsible for the preparation of the Quality Management
Plan, the actual preparation may be assigned to the organization's staff so long as it is assured that
all managers support the effort; for example, the preparation of the Quality Management Plan may
be directed by the QA Manager of the organization. However, it is essential that all management
levels understand fully the content of the Quality Management Plan and concur with its
implementation.
'Specific preparation, submission, review, and approval requirements for EPA organizations are contained in
Section 3.2 of EPA Order 5360 Al (EPA 2000) as these represent internal EPA policy.
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2.6 QUALITY MANAGEMENT PLAN SUBMISSION AND APPROVAL
The Quality Management Plan must be approved and signed by the senior management of
the organization. This will certify that the organization has conducted an internal review of the
Quality Management Plan and that management has concurred with its contents.
When a Quality Management Plan is required either by statute, contractual requirement, or
assistance agreement condition, the Quality Management Plan must be submitted for review and
approval to the EPA official responsible for the work. The EPA official may include the
contracting officer's representative (such as the project officer, work assignment manager, or
delivery order project office), the award official, and the EPA QA Manager. For example, the
review and approval of a State Quality Management Plan that has been submitted as part of a
request for an assistance agreement may be performed by the QA Manager of the office awarding
the assistance agreement.
EPA approval of a Quality Management Plan will be valid for no more than five years for
State, local, and Tribal governments or the length of the extramural agreement for all other
extramural agreement holders. The period for which a Quality Management Plan is valid is
defined in the Quality Management Plan of the EPA organization sponsoring the work.
2.7 QUALITY MANAGEMENT PLAN REVISIONS
Each organization shall review its Quality Management Plan at least annually to reconfirm
the suitability and effectiveness of the approved quality management practices. The process of
developing, annually reviewing, and revising (as needed) the Quality Management Plan provides
an opportunity for management and staff to clarify roles and responsibilities, address problem
areas, and institutionalize improvements. Having an accurate Quality Management Plan at all
times is an essential element in every quality system, thus changes in QA policy and procedures
shall be documented in the Quality Management Plan in a timely fashion.
In general, a copy of any Quality Management Plan revision(s) made during the year
should be submitted to EPA as a report when such changes occur. However, if significant
changes have been made to the quality system that affect the performance of work for the
Agency, it may be necessary to re -submit the entire Quality Management Plan to EPA for re -
approval. Conditions requiring the revision of an approved Quality Management Plan include;
• expiration of the five-year life span of the Quality Management Plan;
• major changes in mission and responsibilities, such as changes in the delegation
status of a program;
• re -organization of existing functions that affect programs covered by the Quality
Management Plan; and
• assessment findings requiring corrective actions and response.
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All appropriate personnel in the organization performing work covered by the scope of the
Quality Management Plan shall be notified of changes to the quality system and the Quality
Management Plan to keep them informed of the current requirements. This practice should also
include active sub -contractors for relevant work.
Final
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CHAPTER 3
QUALITY MANAGEMENT PLAN ELEMENTS
3.1. CONTENT REQUIREMENTS
The Quality Management Plan documents management practices, including QA and QC
activities, used to ensure that the results of technical work are of the type and quality needed for
their intended use. Accordingly, the Quality Management Plan documents:
• the mission and quality policy of the organization;
• the specific roles, authorities, and responsibilities of management and staff with
respect to QA and QC activities;
• the means by which effective communications with personnel actually performing
the work are assured;
• the processes used to plan, implement, and assess the work performed;
• the process by which measures of effectiveness for QA and QC activities will be
established and how frequently effectiveness will be measured; and
• the continual improvement based on lessons learned from previous experience.
The Quality Management Plan reflects the organization's commitment to quality management
principles and practices, tailored, when appropriate, by senior management to meet the
organization's needs.
The elements to be addressed in a Quality Management Plan include: management and
organization; quality system description; personnel qualifications and training; procurement of
items and services; documentation and records; computer hardware and software; planning;
implementation of work processes; assessment and response; and quality improvement. Specific
requirements for each of these elements are described below in Sections 3.2 through 3.11. Items
specific to Quality Management Plans developed by EPA organizations under EPA Order 5360.1
A2 (EPA 2000) are noted by "EPA Quality Management Plans." Organizations funded by EPA
do not have to address these EPA -specific items.
It is preferable, but not necessary, that the Quality Management Plan address the
specifications in the same order as presented below to ensure uniformity and a consistent and
complete review. If an existing, approved Quality Management Plan adequately addresses each of
these topics, it should not be rewritten simply to conform to the outline provided here.
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3.2 MANAGEMENT AND ORGANIZATION
Purpose — To document the overall policy, scope, applicability, and management responsibilities
of the organization's quality system.
Specifications -- Provide the following:
an approval page for the signatures of the organization's management and QA
manager. The approval page may be part of a title page or a separate sheet
following the title page. If EPA approval of the Quality Management Plan is
required, the approval page shall include a section for the signature of the EPA
official (see Section 2.6). For EPA Quality Management Plans', the approval page
shall contain the signatures of the organization's senior manager, senior line
management (as appropriate), the QA Manager, the Director of the Quality Staff,
and the Assistant Administrator of the Office of Environmental Information;
a statement of the organization's policy on quality assurance, including:
the importance of QA and QC activities to the organization and why,
the general objectives and goals of the quality system, and
the policy for resource allocation for the quality system (EPA Quality
Management Plans must discuss personnel, intramural and extramural
funding, and travel resources);
an organization chart that identifies all of the components of the organization and,
in particular, the organizational position and lines of reporting for the QA Manager
(or similar position such as a Quality Manager) and any QA staff;
a discussion of the authorities of the QA Manager and any other QA staff that also:
documents the organizational independence of the QA Manager from
groups generating, compiling, and evaluating envirolunental data, and
indicates how the organization will ensure that QA personnel will have
access to the appropriate levels of management in order to plan, assess, and
improve the organization's quality system;
a discussion of the technical activities or programs that are supported by the
quality system including:
the specific programs that require quality management controls,
'Organizations funded by EPA do not have to address these EPA -specific elements.
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where oversight of delegated, contracted, or other extramural programs is
needed to assure data quality, and
where and how internal coordination of QA and QC activities among the
group's organizational units needs to occur;
a discussion of how management will assure that applicable elements of the quality
system are understood and implemented in all environmental programs; and
a discussion of the organization's process for resolving disputes regarding quality
system requirements, QA and QC procedures, assessments, or corrective actions
(requirement for EPA Quality Management Plans only).
3.3 QUALITY SYSTEM COMPONENTS
Purpose — To document how an organization manages its quality system and defines the primary
responsibilities for managing and implementing each component of the system.
Specifications — Provide the following:
a description of the orgariization's quality system that includes the principal
components of the system and the roles and implementation responsibilities of
management and staff with regards to these components. These components
include, but are not limited to:
- quality system documentation
annual reviews and planning
management assessments
- training
- systematic planning of projects
project -specific quality documentation
project and data assessments;
a list of the tools for implementing each component of the quality system. These
tools include, but are not limited to:
Quality Management Plans (quality system documentation),
- Quality Systems Audits (management assessments),
- Training Plans (training),
- QA Project Plan (project -specific quality documentation),
Data Verification and Validation (data assessments);
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a list of any components of the organization that develop Quality Management
Plans (or equivalent document) in support of the organization's Quality System
and the review and approval procedures for such documentation; and
a discussion of how roles and responsibilities for the principal components of the
Quality System are incorporated into performance standards (requirement for EPA
Quality Management Plans only).
3.4 PERSONNEL QUALIFICATION AND TRAINING
Purpose -- To document the procedures for assuring that all personnel performing work for an
organization have the necessary skills to effectively accomplish their work.
Specifications — Provide the following:
a statement of the policy regarding training for management and staff;
a description of the process(es), including the roles, responsibilities, and authorities
of management and staff; for:
identifying, ensuring, and documenting that personnel have and maintain
the appropriate Imowledge, skill, and statutory, regulatory, professional or
other certifications, accreditations, licenses, or other formal qualification
necessary, and
identifying the need for retraining based on changing requirements.
3.5 PROCUREMENT OF ITEMS AND SERVICES
Purpose -- To document the procedures fbr purchased items and services that directly affect the
quality of environmental programs.
Specifications —
Describe or reference the process(es), including the roles, responsibilities, and authorities
of management and staff, pertaining to all appropriate procurement documents or extramural
agreements, including grants, cooperative agreements, and contracted and subcontracted
activities, involving or affecting environmental programs, for:
reviewing and approving procurement documents (and any changes to these
documents) to ensure that procurement documents are accurate, complete, and
clearly describe:
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the item or service needed,
the associated technical and quality requirements,
- the quality system elements for which the supplier is responsible, and
how the supplier's conformance to the customer's requirements will be
verified;
review and approval of all applicable responses to solicitations to ensure that these
documents:
- satisfy all technical and quality requirements, and
provide evidence of the supplier's capability to satisfy EPA quality system
requirements as defined in the extramural agreement or applicable Federal
Regulation (requirement for EPA Quality Management Plans only);
■ ensuring that procured items and services are of acceptable quality, including the
review of objective evidence of quality for applicable items and services furnished
by suppliers and subcontractors, source selection, source inspections, supplier
audits, and examination of deliverables;
• review and approval procedures for mandatory quality -related documentation
(e.g., Quality Management Plans or QA Project Plans) from suppliers (requirement
for EPA Quality Management Plans only);
• policies and criteria for delegations of EPA authority to review and approve
mandatory quality -related documentation (e.g., Quality Management Plans or QA
Project Plans) from suppliers consistent with Chapter 2.2 of EPA Order 5360 Al
(requirement for EPA Quality Management Plans only); and
• ensuring that EPA quality -related contracting policies, as defined by the Federal
Acquisition Regulations, Office of Federal Procurement Policy, and the EPA
Contracts Management Manual [EPA Order 1900 (EPA 1998)], are satisfied
(requirement for EPA Quality Management Plans only).
3.6 DOCUMENTS AND RECORDS
Purpose To document appropriate controls for quality -related documents and records
determined to be important to the mission of the organization.
Specifications — Describe or reference the process(es), including the roles, responsibilities, and
authorities of management and staff, for:
identifying quality -related documents and records (both printed and electronic)
requiring control;
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• preparing, reviewing for conformance to technical and quality system
requirements, approving, issuing, using, authenticating, and revising documents
and records;
• ensuring that records and documents accurately reflect completed work;
• maintaining documents -and records including transmittal, distribution, retention
(including retention times), access, preservation (including protection from
damage, loss, and deterioration), traceability, retrieval, removal of obsolete
documentation, and disposition;
• ensuring compliance with all applicable statutory, regulatory, and EPA
requirements for documents and records [EPA Quality Management Plans shall
ensure compliance with EPA Order 2160 (EPA 1984) and EPA Directive 2100,
Chapter 10 (EPA 1998)]; and
• establishing and implementing appropriate chain of custody and confidentiality
procedures for evidentiary records.
3.7 COMPUTER HARDWARE AND SOFTWARE
Purpose — To document how the organization will ensure that computer hardware and software
satisfies the organization's requirements.
Specifications — Describe or reference the process(es), including the roles, responsibilities, and
authorities of management and staff, for:
developing, installing, testing (including verification and validation), using,
maintaining, controlling, and documenting computer hardware and software used
in environmental programs to ensure it meets technical and quality requirements
and directives from management [EPA Quality Management Plan specifications
must be consistent with EPA Directive 2100 (EPA 1998)];
assessing and documenting the impact of changes to user requirements and/or the
hardware and software on performance;
evaluating purchased hardware and software to ensure it meets user requirements
and complies with applicable contractual requirements and standards;
ensuring that data and information produced from, or collected by, computers
meet applicable information resource management requirements and standards; and
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• ensuring that applicable EPA requirements fbr information resources management
are addressed [EPA Directive 2100 (EPA 1998)] including security and privacy
requirements (requirement for EPA Quality Management Plans only).
Computer software covered by this requirement includes, but is not limited to, design, data
handling, data analysis, modeling of environmental processes and conditions, operations, or
process control of environmental technology system (including automated data acquisition and
laboratory instrumentation), data bases containing environmental data,
3.8 PLANNING
Purpose — To document how individual data operations will be planned within the organization to
ensure that data or information collected are of the needed and expected quality for their desired
use.
Specifications — Describe or reference the process(es), including the roles, responsibilities, and
authorities of management and staff, for:
planning environmental data operations using a systematic planning process4 which
includes:
the identification and involvement of the project manager, sponsoring
organization and responsible official, project personnel, stakeholders,
scientific experts, etc. (e.g., all customers and suppliers);
a description of the project goal, objectives, and questions and issues to be
addressed;
- the identification of project schedule, resources (including budget),
milestones, and any applicable requirements (e,g., regulatory and
contractual requirements);
the identification of the type and quantity of data needed and how the data
will be used to support the project's objectives;
- the specification of performance criteria for measuring quality;
'EPA has developed a systematic planning process called the Data Quality Objectives (DQO) Process [See the
EPA Guidance for the Data Quality Objectives Process (QA/G-4) (EPA 2000)]. While not mandatory, the DQO
Process is the recommended planning approach for many EPA data collection activities.
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the specification of needed QA and QC activities to assess the quality
performance criteria (e.g., QC samples for both the field and laboratory,
audits, technical assessments, performance evaluations, etc.);
a description of how, when, and where the data will be obtained (including
existing data) and identification of any constraints on data collection; and
a description of how the acquired data will be analyzed (either in the field
or the laboratory), evaluated (i.e., QA review, verification, validation), and
assessed against its intended use and the quality performance criteria;
developing, reviewing, approving, implementing, and revising a QA Project Plan or
equivalent planning document [see EPA Requirements for Quality Assurance
Project Plans (QAIR-S) (EPA 2001)]; and
evaluating and qualifying data collected for other purposes or from other sources,
including the application of any statistical methods, for a new use.
3.9 IMPLEMENTATION OF WORK PROCESSES
Purpose — To document how work processes will be implemented within the organization to
ensure that data or information collected are of the needed and expected quality for their desired
use.
Specifications — Describe or reference the process(es), including the roles, responsibilities, and
authorities of management and staff for:
EPA QA/R-2
ensuring that work is performed according to approved planning and technical
documents;
identification of operations needing procedures (e.g., standardized, special, or
critical operations), preparation (including form, content, and applicability),
review, approval, revision, and withdrawal of these procedures; and policy for use;
and
controlling and documenting the release, change, and use of planned procedures,
including any necessary approvals, specific times and points for implementing
changes, removal of obsolete documentation from work areas, and verification that
the changes are made as prescribed.
Final
16 March 2001
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3.10 ASSESSMENT AND RESPONSE
Purpose — To document how the organization will determine the suitability and effectiveness of
the implemented quality system and the quality performance of the environmental programs to
which the quality system applies.
Specifications — Describe or reference the process(es), including the roles, responsibilities, and
authorities of management and staff, pertaining to both management and technical assessments
for:
• assessing the adequacy of the quality system at least annually;
• planning, implementing, and documenting assessments and reporting assessment
results to management including how to select an assessment tool, the expected
frequency of their application to envirommental programs, and the roles and
responsibilities of assessors;
• determining the level of competence, experience, and training necessary to ensure
that personnel conducting assessments are technically knowledgeable, have no real
or perceived conflict of interest, and have no direct involvement or responsibility
for the work being assessed;
• ensuring that personnel conducting assessments have sufficient authority, access to
programs, managers, documents, and records, and organizational freedom to:
identify both quality problems and noteworthy practices,
propose recommendations for resolving quality problems, and
independently confirm implementation and effectiveness of solutions;
management's review and response to findings;
identifying how and when corrective actions are to be taken in response to the
findings of the assessment, ensuring corrective actions are made promptly,
confirming the implementation and effectiveness of any corrective action, and
documenting (including the identification of root causes, the determination of
whether the problem is unique or has more generic implications, and
recommendation of procedures to prevent recurrence) such actions; and
addressing any disputes encountered as a result of assessments.
Available assessment tools include quality systems audits, management systems reviews, peer
reviews, technical reviews, performance evaluations, data quality assessments, readiness reviews,
technical systems audits, and surveillance.
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3.11 QUALITY IMPROVEMENT
Purpose — To document how the organization will improve the organization's quality system.
Specifications — Identify who (organizationally) is responsible for identifying, planning,
implementing, and evaluating the effectiveness of quality improvement activities and describe the
process to ensure continuous quality improvement, including the roles and responsibilities of
management and staff, for:
ensuring that conditions adverse to quality are:
prevented,
- identified promptly including a determination of the nature and extent of
the problem,
- corrected as soon as practical, including implementing appropriate
corrective actions and actions to prevent reoccurrence,
- documenting all corrective actions, and
- traclaing such actions to closure;
encouraging staff at all levels to establish communications between customers and
suppliers, identify process improvement opportunities, and identify and offer
solutions to problems.
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REFERENCES
40 CFR 30, Code of Federal Regulations, "Grants and Agreements With Institutions of Higher
Education, Hospitals, and Other Non -Profit Organizations."
40 CFR 31, Code of Federal Regulations, "Uniform Administrative Requirements for Grants and
Cooperative Agreement to State and Local Governments."
40 CFR 35, Code of Federal Regulations, "State and Local Assistance."
48 CFR 46, Code of Federal Regulations, "Federal Acquisition Regulations."
ANSI/ASQC E4-1994, Specifications and Guidelines for Quality Systems for Environmental
Data Collection and Environmental Technology Programs, American National Standard,
January 1995.
EPA Directive 2100 (1999), .Information Resources Management Policy Manual, U.S.
Environmental Protection Agency, Washington, DC.
EPA Order 1900 (February 1998), Contracts Management Manual, U.S. Environmental
Protection Agency, Washington, DC.
EPA Order 2160 (July 1984), Records Management Manual, U.S. Envirorunental Protection
Agency, Washington, DC.
EPA Order 5360 A 1 (May 2000), EPA Quality Manual for Environmental Programs, U.S.
Environmental Protection Agency, Washington, DC.
EPA Order 5360.1 A2 (May 2000), Policy and Program Requirements for the Mandatory
Quality Assurance Program, U.S. Environmental Protection Agency, Washington, DC.
U.S. Environmental Protection Agency, 2001. EPA .Requirements for Quality Assurance Project
Plans (QAIR-5), EPA/240/B-01/003, Office of Environmental Information.
U.S. Environmental Protection Agency, 2000. Guidance for the Data Quality Objectives Process
(QAIG-4), EPA/600/R-96/055, Office of Environmental Information.
U.S. Environmental Protection Agency, 1980. Interim Guidelines and Specifications for
Preparing Quality Assurance Program Plans, QAMS-004/80, Office of Research and
Development.
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APPENDIX A
TERMS AND DEFINITIONS
assessment - the evaluation process used to measure the performance or effectiveness of a system
and its elements. As used here, assessment is an all-inclusive term used to denote any of the
following: audit, performance evaluation, management systems review, peer review, inspection, or
surveillance.
audit (quality) - a systematic and independent examination to determine whether quality
activities and related results comply with planned arrangements and whether these arrangements
are implemented effectively and are suitable to achieve objectives.
data quality assessment - a statistical and scientific evaluation of the data set to determine the
validity and performance of the data collection design and statistical test, and to determine the
adequacy of the data set for its intended use.
design - specifications, drawings, design criteria, and performance requirements. Also the result
of deliberate planning, analysis, mathematical manipulations, and design processes.
environmental conditions - the description of a physical medium (e.g., air, water, soil, sediment)
or biological system expressed in terms of its physical, chemical, radiological, or biological
characteristics.
environmental data - any measurements or information that describe environmental processes,
location, or conditions; ecological or health effects and consequences; or the performance of
environmental technology. For EPA, environmental data include information collected directly
from measurements, produced from models, and compiled from other sources such as data bases
or the literature.
environmental data operations - work performed to obtain, use, or report information
pertaining to environmental processes and conditions.
environmental programs - work or activities involving the environment, including but not
limited to: characterization of environmental processes and conditions; environmental monitoring;
environmental research and development; the design, construction, and operation of
environmental technologies; and laboratory operations on environmental samples.
environmental technology - an all-inclusive term used to describe pollution control devices and
systems, waste treatment processes and storage facilities, and site remediation technologies and
their components that may be utilized to remove pollutants or contaminants from or prevent them
from entering the environment. Examples include wet scrubbers (air), soil washing (soil),
granulated activated carbon unit (water), and filtration (air, water), Usually, this term will apply
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to hardware -based systems; however, it will also apply to methods or techniques used for
pollution prevention, pollutant reduction, or containment of contamination to prevent further
movement of the contaminants, such as capping, solidification or vitrification, and biological
treatment.
graded approach - the process of basing the level of application of managerial controls applied
to an item or work according to the intended use of the results and the degree of confidence
needed in the quality of the results.
independent assessment - an assessment performed by a qualified individual, group, or
organization that is not a part of the organization directly performing and accountable for the
work being assessed.
inspection - examination or measurement of an item or activity to verify conformance to specific
requirements.
management - those individuals directly responsible and accountable for planning, implementing,
and assessing work.
management system - a structured, non -technical system describing the policies, objectives,
principles, organizational authority, responsibilities, accountability, and implementation plan of an
organization for conducting work and producing items and services.
management systems review - the qualitative assessment of a data collection operation and/or
organization(s) to establish whether the prevailing quality management structure, policies,
practices, and procedures are adequate for ensuring that the type and quality of data needed are
obtained,
objective evidence - any documented statement of fact, other information or record, either
quantitative or qualitative, pertaining to the quality of an item or activity, based on observations,
measurements, or tests which can be verified.
organization - a company, corporation, fine, enterprise, or institution, or part thereof, whether
incorporated or not, public or private, that has its own functions and administration.
peer review - a documented critical review of work by qualified individuals (or organizations)
who are independent of those who performed the work, but are collectively equivalent in technical
expertise. A peer review is conducted to ensure that activities are technically adequate,
competently performed, properly documented, and satisfy established technical and quality
requirements. The peer review is an in-depth assessment of the assumptions, calculations,
extrapolations, alternate interpretations, methodology, acceptance criteria, and conclusions
pertaining to specific work and of the documentation that supports them.
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performance evaluation - a type of audit in which the quantitative data generated in a
measurement system are obtained independently and compared with routinely obtained data to
evaluate the proficiency of an analyst or laboratory,
process - a set of interrelated resources and activities which transforms inputs into outputs.
Examples of processes include analysis, design, data collection, operation, fabrication, and
calculation.
quality - the totality of features and characteristics of a product or service that bear on its ability
to meet the stated or implied needs and expectations of the user.
quality assurance (QA) - an integrated system of management activities involving planning,
implementation, documentation, assessment, reporting, and quality improvement to ensure that a
process, item, or service is of the type and quality needed and expected by the client.
quality assurance project plan - a formal document describing in comprehensive detail the
necessary QA, QC, and other technical activities that must be implemented to ensure that the
results of the work performed will satisfy the stated performance criteria.
quality control (QC) - the overall system of technical activities that measures the attributes and
performance of a process, item, or service against defined standards to verify that they meet the
stated requirements established by the customer; operational techniques and activities that are
used to fulfill requirements for quality.
quality improvement - a management program fbr improving the quality of operations. Such
management programs generally entail a formal mechanism for encouraging worker
recommendations with timely management evaluation and feedback or implementation.
quality management - that aspect of the overall management system of the organization that
determines and implements the quality policy. Quality management includes strategic planning,
allocation of resources, and other systematic activities (e.g., planning, implementation,
documentation, and assessment) pertaining to the quality system.
quality management plan - a document that describes the quality system in terms of the
organizational structure, functional responsibilities of management and staff, lines of authority,
and required interfaces for those planning, implementing, and assessing all activities conducted,
quality system - a structured and documented management system describing the policies,
objectives, principles, organizational authority, responsibilities, accountability, and implementation
plan of an organization for ensuring quality in its work processes, products (items), and services.
The quality system provides the framework for planning, implementing, documenting, and
assessing work performed by the organization and for carrying out required QA and QC activities.
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readiness review - a systematic, documented review of the readiness for the start-up or continued
use of a facility, process, or activity. Readiness reviews are typically conducted before proceeding
beyond project milestones and prior to initiation of a major phase of work.
record - a completed document that provides objective evidence of an item or process. Records
may include photographs, drawings, magnetic tape, and other data recording media.
self -assessment - assessments of work conducted by individuals, groups, or organizations directly
responsible for overseeing and/or performing the work.
specification - a document stating requirements and which refers to or includes drawings or other
relevant documents. Specifications should indicate the means and the criteria for determining
conformance.
standard operating procedure (SOP) - a written document that details the method for an
operation, analysis, or action with thoroughly prescribed techniques and steps, and that is
officially approved as the method for performing certain routine or repetitive tasks.
supplier - any individual or organization furnishing items or services or performing work
according to a procurement document or financial assistance agreement. This is an all-inclusive
term used in place of any of the following: vendor, seller, contractor, subcontractor, fabricator, or
consultant.
surveillance (duality) - continual or frequent monitoring and verification of the status of an
entity and the analysis of records to ensure that specified requirements are being fulfilled.
technical review - a documented critical review of work that has been performed within the state
of the art. The review is accomplished by one or more qualified reviewers who are independent
of those who performed the work, but are collectively equivalent in technical expertise to those
who performed the original work. The review is an in-depth analysis and evaluation of
documents, activities, material, data, or items that require technical verification or validation for
applicability, correctness, adequacy, completeness, and assurance that established requirements
are satisfied,
technical systems audit - a thorough, systematic, on -site, qualitative audit of facilities,
equipment, personnel, training, procedures, record keeping, data validation, data management,
and reporting aspects of a system.
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Exhibit A-2
U.S. Environmental Protection Agency
Requirements for Quality Assurance Project Plans
(QA/R-5)
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United States Office of Environmental
Environmental Protection Information
Agency Washington, DC 20460
�tiEPA EPA Requirements for Quality
Assurance Project Plans
EPA QA/R-5
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FOREWORD
The U.S. Environmental Protection Agency (EPA) has developed the Quality Assurance
Project Plan (QA Project Plan) as a tool for project managers and planners to document the type
and quality of data needed for environmental decisions and to describe the methods for collecting
and assessing those data. The development, review, approval, and implementation of the QA
Project Plan is part of EPA's mandatory Quality System, The EPA Quality System requires all
organizations to develop and operate management structures and processes to ensure that data
used in Agency decisions are of the type and quality needed for their intended use. The QA
Project Plan is an integral part of the fundamental principles and practices that form the
foundation of the EPA Quality System.
This document provides the QA Project Plan requirements for organizations that conduct
environmental data operations on behalf of EPA through contracts, financial assistance
agreements, and interagency agreements; however, it may be used by EPA as well. It contains the
saine requirements as Chapter 5 of EPA Order 5360 Al (EPA 2000), The EPA Quality Manual
,for Environmental Programs, which has been leveloped for internal use by EPA organizations.
A companion document, EPA Guidance for Quality Assurance Project .Plans (QA/G-5) (EPA
1998) provides suggestions for both EPA and non -EPA organizations on preparing, reviewing,
and implementing QA Project Plans that satisfy the requirements defined in this document.
This document is one of the EPA Quality System Series documents which describe EPA
policies and procedures for planning, implementing, and assessing the effectiveness of a quality
system. Questions regarding this document or other EPA Quality System Series documents
should be directed to:
U.S. EPA
Quality Staff (2811.R)
Washington, DC 20460
Phone: (202) 564-6830
FAY: (202) 565-2441
e-mail: quality a epa.gov
Copies of Quality System Series documents may be obtained from the Quality Staff or by
downloading them from the Quality Staff Home Page:
www.epa.gov/q-Liality
EPA QA/R-5
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ACKNOWLEDGMENTS
This document reflects the collaborative efforts of many quality management professionals
who participate in the challenge for continual improvement in quality systems supporting
environmental programs. These individuals, representing the EPA, other Federal agencies, State
and local governments, and private industry, reflect a diverse and broad range of needs and
experiences in environmental data collection programs. Their contributions and the
comprehensive reviews during the development of this document are greatly appreciated.
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TABLE OF CONTENTS
P. 9C
CHAPTER 1. INTRODUCTION ............................................. 1
1.1 BACKGROUND ................................................ 1
1.2 QA PROJECT PLANS, THE EPA QUALITY SYSTEM, AND
ANSI/ASQC E4-1994............................................ 2
1.3 THE GRADED APPROACH AND THE EPA QUALITY SYSTEM ........ 4
1.4 INTENDED AUDIENCE ......................................... 4
1.5 PERIOD OF APPLICABILITY ..................................... 4
1.6 ADDITIONAL RESOURCES ...................................... 4
L7 SUPERSESSION................................................5
CHAPTER 2. QA PROJECT PLAN REQUIREMENTS .......................... 7
2.1 POLICY.......................................................7
2.2 PURPOSE.....................................................7
2.3 APPLICABILITY...............................................7
2.4 GENERAL CONTENT AND DETAIL REQUIREMENTS ................ 7
2.4.1 General Content ........................................... 7
2.4.2 Level of Detail ............................................ 8
2.5 QA PROJECT PLAN PREPARATION AND APPROVAL ................ 8
2.6 QA PROJECT PLAN IMPLEMENTATION ........................... 9
2.7 QA PROJECT PLAN REVISION ................................... 9
CHAPTER
3. QA
PROJECT PLAN ELEMENTS ...............................
11
3.1
CONTENT REQUIREMENTS ....................................
11
3.2
GROUP A: PROJECT MANAGEMENT ............................
12
3.2.1
Al - Title and Approval Sheet ................................
13
3.2.2
A2 - Table of Contents .....................................
13
3.2.3
A3 - Distribution List ......................................
14
3.2.4
A4 - Projeevrask Organization ...............................
14
3.2.5
A5 - Problem Definition/Background ..........................
14
3.2.6
A6 - Project/Task Description ................................
14
3.2.7
A7 - Quality Objectives and Criteria ...........................
15
3.2.8
A8 - Special Training/Certification ............................
15
3.2.9
A9 - Documents and Records ................................
15
3.3
GROUP
B: DATA GENERATION AND ACQUISITION ...............
15
3.3.1
B1- Sampling Process Design (Experimental Design) ..............
16
3.3.2
B2 - Sampling Methods ....................................
17
3.3.3
B3 - Sample Handling and Custody ............................
17
3.3.4
B4 - Analytical Methods ....................................
17
3.3.5
B5 - Quality Control .......................................
18
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Page
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 Consumables ...........
19
3.3.9
B9 - Non -direct Measurements ...............................
19
3.3.10
B 10 - Data Management ....................................
19
3.4 GROUP
C: ASSESSMENT AND OVERSIGHT ......................
20
3.4.1
C1 - Assessments and Response Actions ........................
20
3.4.2
C2 - Reports to Management ................................
20
3.5 GROUP
D: DATA VALIDATION AND USABILITY ..................
21
3.5.1
D1 -Data Review, Verification, and Validation ...................
21
3.5.2
D2 - Verification and Validation Methods .......................
21
3.5.3
D3 - Reconciliation with User Requirements .....................
21
REFERENCES...........................................................23
APPENDIX A. CROSSWALKS AMONG QUALITY ASSURANCE DOCUMENTS . A-1
A.1 BACKGROUND .............................................. A-1
A.2 CROSSWALK BETWEEN EPA QA/R-5 AND QAMS-005/80 ........... A -I
A.3 CROSSWALK BETWEEN THE DQO PROCESS
AND THE QA PROJECT PLAN .................................. A-3
APPENDIX R. TERMS AND DEFINITIONS ................................. B-1
FIGURES
Page
1. EPA Quality System Components and Tools ..................................... 3
2. Example Document Control Format .......................................... 14
TABLES
Page
1. Group A: Project Management Elements ...................................... 13
2. Group B: Data Generation and Acquisition Elements ............................. 16
3. Group C: Assessment and Oversight Elements .................................. 20
4. Group D: Data Validation and Usability Elements ................................ 21
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CHAPTER 1
INTRODUCTION
1.1 BACKGROUND
Envirommental programs conducted by or funded by the U.S. Environmental Protection
Agency (EPA) involve many diverse activities that address complex environmental issues. The
EPA annually spends several hundred million dollars in the collection of environmental data for
scientific research and regulatory decision making. In addition, non -EPA organizations may
spend as much as an order of magnitude more each year to respond to Agency requirements. If
decision makers (EPA and otherwise) are to have confidence in the quality of environmental data
used to support their decisions, there must be a structured process for quality in place.
A structured system that describes the policies and procedures for ensuring that work
processes, products, or services satisfy stated expectations or specifications is called a quality
system. All organizations conducting environmental programs funded by EPA are required to
establish and implement a quality system. EPA also requires that all enviromnental data used in
decision making be supported by an approved Quality Assurance Project Plan (QA Project Plan),
This requirement is defined in EPA Order 5360.1 A2 (EPA 2000), Policy and Program
Requirements for the Mandatory Agency -wide Quality System, for EPA organizations. Non -EPA
organizations funded by EPA are required to develop a QA Project Plan through:
48 CFR 46, for contractors;
40 CFR 30, 31, and 35 for assistance agreement recipients; and
other mechanisms, such as consent agreements in enforcement actions.
The QA Project Plan integrates all technical and quality aspects of a project, including
planning, implementation, and assessment. The purpose of the QA Project Plan is to document
planning results for environmental data operations and to provide a project -specific "blueprint"
for obtaining the type and quality of environmental data needed for a specific decision or use. The
QA Project Plan documents how quality assurance (QA) and quality control (QC) are applied to
an environmental data operation to assure that the results obtained are of the type and quality
needed and expected.
The ultimate success of an environmental program or project depends on the quality of the
environmental data collected and used in decision -making, and this may depend significantly on
the adequacy of the QA Project Plan and its effective implementation. Stakeholders (i.e., the data
users, data producers, decision makers, etc.) shall be involved in the planning process fbr a
program or project to ensure that their needs are defined adequately and addressed. While time
spent on such planning may seem unproductive and costly, the penalty for ineffective planning
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includes greater cost and lost time. Therefore, EPA requires that a systematic planning process be
used to plan all environmental data operations. To support this requirement, EPA has developed
a process called the Data Quality Objectives (DQO) Process. The DQO Process is the Agency's
preferred planning process and is described in the Guidance for the Data Quality Objectives
Process (QA/G-4) (EPA 2000b). The QA Project Plan documents the outputs from systematic
planning.
This requirements document presents specifications and instructions for the information
that must be contained in a QA Project Plan for environmental data operations funded by EPA.
The document also discusses the procedures for review, approval, implementation, and revision of
QA Project Plans. Users of this document should assume that all of the elements described herein
are required in a QA Project Plan unless otherwise directed by EPA.
1.2 QA PROJECT PLANS, THE EPA QUALITY SYSTEM, AND ANSUASQC
E4-1994
EPA Order 5360.1 A2 and the applicable Federal regulations (defined above) establish a
mandatory Quality System that applies to all EPA organizations and organizations funded by
EPA. Components of the EPA Quality System are illustrated in Figure 1. Organizations must
ensure that data collected for the characterization of environmental processes and conditions are
of the appropriate type and quality for their intended use and that environmental technologies are
designed, constructed, and operated according to defined expectations. The QA Project Plan is a
key project -level component of the EPA Quality System.
EPA policy is based on the national consensus standard, ANSI/ASQC E4-1994,
Specifications and Guidelines for Environmental Data Collection and Environmental
Technology Programs. The ANSUASQC E4-1994 standard describes the necessary management
and technical elements for developing and implementing a quality system. This standard
recommends using a tiered approach to a quality system. This standard recommends first
documenting each organization -wide quality system in a Quality Management Plan or Quality
Manual (to address requirements of Part A: Management Systems of the standard) and then
documenting the applicability of the quality system to technical activity -specific efforts in a QA
Project Plan or similar document (to address the requirements of Part B: Collection and
Evaluation of Environmental Data of the standard). EPA has adopted this tiered approach for its
mandatory Agency -wide Quality System. This document addresses Part B requirements of the
standard.
A Quality Management Plan, or equivalent Quality Manual, documents how an
organization structures its quality system, defines and assigns QA and QC responsibilities, and
describes the processes and procedures used to plan, implement, and assess the effectiveness of
the quality system. The Quality Management Plan may be viewed as the "umbrella" document
under which individual projects are conducted. EPA requirements for Quality Management Plans
are defined in EPA Requirements for Quality? Management Plans (QA/R-2) (EPA 2001). The
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Consensus Standards
ANSI/ASQC E4
ISO 9000 Series
v Internal EPA Policies External Policies
Contracts -48 CFR 46
0 EPA Order 5360.1 Assistance Agreements -
a EPA Manual 5360 40 CFR 30, 31, and 35,
EPA Program &
Regional Policy
g Quality System
Documentation .4
(e.g., QMP) 1!
n
a
t1 Supporting System Elements Training/Communlcatlon
z (e.g., Procurements, (e.g., Training Plan,
G
d� Computer Hardware/Software) Conferences)
M
Z
ad Annual Review Systems
and Planning Assessments
0 (e.g., QAARINP) (e.g., Q5As)
Systematic �on�fuct
(e.g., DQO Process) 5tudy`� — i Data Verification
Planning Experiment` I & Valldatlon
�+
}- f
Standard
D QA I Operating
Technical Data Quality
Project plan procedures Assessments Assessment
PLANNING ;�— IMPLEMENTATION �- ASSESSMENT
Defensible Products and Decisions
Figure 1. EPA Quality System Components and Tools
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Quality Management Plan is then supported by project -specific QA Project Plans. In some cases,
a QA Project Plan and a Quality Management Plan may be combined into a single document that
contains both organizational and project -specific elements. The QA Manager for the EPA
organization sponsoring the work has the authority to determine when a single document is
applicable and will define the content requirements of such a document.
1.3 THE GRADED APPROACH AND THE EPA QUALITY SYSTEM
Recognizing that a "one size fits all" approach to quality requirements will not work in
organizations as diverse as EPA, implementation of the EPA Quality System is based on the
principle of graded approach. Applying a graded approach means that quality systems for
different organizations and programs will vary according to the specific objectives and needs of
the organization. For example, the quality expectations of a fundamental research program are
different from that of a regulatory compliance program because the purpose or intended use of the
data is different. The specific application of the graded approach principle to QA Project Plans is
described in Section 2.4.2.
1.4 INTENDED AUDIENCE
This document specifies the requirements for developing QA Project Plans for
organizations that conduct environmental data operations funded by EPA through contracts,
financial assistance agreements, and interagency agreements. EPA organizations may also use this
document to develop QA Project Plans since this document is clearer and more user-friendly than
the equivalent requirements defined in Section 5.3 of EPA Order 5360 Al (EPA 2000), The EPA
Quality Manual.for Environmental Programs (an internal policy document). However, the
preparation, submission, review, and approval requirements for EPA organizations are still
contained in Section 5.2 of EPA Order 5360 Al as these represent internal EPA policy.
1.5 PERIOD OF APPLICABILITY
This document shall be valid for a period of up to five years from the official date of
publication. After five years, it shall either be reissued without change, revised, or withdrawn
from the EPA Quality System.
1.6 ADDITIONAL RESOURCES
Guidance on preparing QA Project Plans may be found in a companion document, EPA
Guidance for Quality Assurance Project Plans (QAG-5) (EPA 1998). This guidance discusses
the application of the QA Project Plan requirements and provides examples. Other documents
that provide guidance on activities critical to successful environmental data operations and
complement the QA Project Plan preparation effort include:
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Guidance for the Data Quality Objectives Process (QAIG-4), (EPA 2000b)
Guidance for the Preparation of Stamiard Operating Procedures for Quality -
Related Documents (QAIG-6), (EPA 1995)
Guidance for Data Quality Assessment: Practical Methods for Data Analysis
(QAIG-9), (EPA 2000a)
1.7 SUPERSESSION
This document replaces QAMS-005/80, Interim Guidelines and Specifications for
Preparing Quality Assurance Project Plans (EPA 1980) in its entirety,
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CHAPTER
QA PROJECT PLAN REQUIREMENTS
2.1 POLICY
All work funded by EPA that involves the acquisition of environmental data generated
from direct measurement activities, collected from other sources, or compiled from computerized
data bases and information systems shall be implemented in accordance with an approved QA
Project Plan. The QA Project Plan will be developed using a systematic planning process based
on the graded approach. No work covered by this requirement shall be implemented without an
approved QA Project Plan available prior to the start of the work except under circumstances
requiring immediate action to protect human health and the environment or operations conducted
under police powers.
2.2 PURPOSE
The QA Project Plan documents the planning, implementation, and assessment procedures
of, and how specific QA and QC activities will be applied during a particular project. The QA
Project Plan demonstrates conformance to Part B requirements of ANSI/ASQC E4--1994.
2.3 APPLICABILITY
These requirements apply to all environmental programs funded by EPA that acquire,
generate, or compile environmental data including work performed through contracts, work
assignments, delivery orders, task orders, cooperative agreements, interagency agreements, State -
EPA agreements, State, local and Tribal Financial Assistance/Grants, Research Grants, and in
response to statutory or regulatory requirements and consent agreements. These requirements are
negotiated into interagency agreements, including sub -agreements, and, in some cases, are
included in enforcement settlement and consent agreements and orders. Where specific Federal
regulations require the application of QA and QC activities (see Section 1.1), QA Project Plans
shall be prepared, reviewed, and approved in accordance with the specifications contained in this
document unless explicitly superseded by the regulation.
2.4 GENERAL CONTENT AND DETAIL REQUIREMENTS
2.4.1 General Content
The QA Project Plan must be composed of standardized, recognizable elements covering
the entire project from planning, through implementation, to assessment. Chapter 3 of this
document describes specific elements to address for QA Project Plans submitted to EPA. In some
cases, it may be necessary to add special requirements to the QA Project Plan. The EPA
organization sponsoring the work has the authority to define any special requirements beyond
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those listed in this document. If no additional requirements are specified, the QA Project Plan
shall address all required elements. Each EPA organization defines their organizational -specific
requirements for QA Project Plan documentation in their Quality Management Plan. All
applicable elements defined by the EPA organization sponsoring the work must be addressed.
While most QA Project Plans will describe project- or task -specific activities, there may be
occasions when a generic QA Project Plan may be more appropriate. A generic QA Project Plan
addresses the general, common activities of a program that are to be conducted at multiple
locations or over a long period of time; for example, it may be useful for a large monitoring
program that uses the saine methodology at different locations. A generic QA Project Plan
describes, in a single document, the information that is not site or time -specific but applies
throughout the program. Application -specific information is then added to the approved QA
Project Plan as that information becomes brown or completely defined. A generic QA Project
Plan shall be reviewed periodically to ensure that its content continues to be valid and applicable
to the program over time.
2.4.2 Level of Detail
The level of detail of the QA Project Plan should be based on a graded approach so that
the level of detail in each QA Project Plan will vary according to the nature of the work being
performed and the intended use of the data. As a result, an acceptable QA Project Plan for some
environmental data operations may require a qualitative discussion of the experimental process
and its objectives while others may require extensive documentation to adequately describe a
complex environmental program.
2.5 QA PROJECT PLAN PREPARATION AND APPROVAL
The QA Project Plan may be prepared by an EPA organization, a contractor, an assistance
agreement holder, or another Federal agency under an interagency agreement. Except where
specifically delegated in the Quality Management Plan of the EPA organization sponsoring the
work, all QA Project Plans prepared by non -EPA organizations must be approved by EPA before
implementation.
The QA Project Plan shall be reviewed and approved by an authorized EPA reviewer to
ensure that the QA Project Plan contains the appropriate content and level of detail. The
authorized reviewer, for example the EPA project manager' with the assistance and approval of
the EPA QA Manager or by the EPA QA Manager alone, are defined by the EPA organization's
Quality Management Plan. In some cases, the authority to review and approve QA Project Plans
is delegated to another part of the EPA organization covered by the same Quality Management
' This term refers to the EPA official responsible for the project. This individual may also be called Project Officer,
Delivery Order Project Officer, Work Assignment Manager, or Principal Investigator.
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Plan. In cases where the authority to review and approve QA Project Plans is delegated in writing
by EPA to another organization (i.e., a Federal agency or a State under an EPA -approved Quality
Management Plan when the environmental data operation itself has been delegated to that
organization for implementation), it is possible that the EPA project manager and EPA QA
Manager may not be involved in the review and approval steps.
2.6 QA PROJECT PLAN IMPLEMENTATION
None of the environmental work addressed by the QA Project Plan shall be started until
the QA Project Plan has been approved and distributed to project personnel except in situations
requiring immediate action to protect human health and the environment or operations conducted
under police powers. Subject to these exceptions, it is the responsibility of the organization
performing the work to assure that no environmental data are generated or acquired before the
QA Project Plan is approved and received by the appropriate project personnel. However, EPA
may grant conditional approval to a QA Project Plan to permit some work to begin while non-
critical deficiencies in the QA Project Plan are being resolved.
The organization performing the work shall ensure that the QA Project Plan is
implemented as approved and that all personnel involved in the work have direct access to a
current version of the QA Project Plan and all other necessary planning, implementation, and
assessment documents. These personnel should understand the requirements prior to the start of
data generation activities.
2.7 QA PROJECT PLAN REVISION
Although the approved QA Project Plan must be implemented as prescribed; it is not
inflexible. Because of the complex and diverse nature of environmental data operations, changes
to original plans are often needed. When such changes occur, the approving official shall
determine if the change significantly impacts the technical and quality objectives of the project.
When a substantive change is warranted, the originator of the QA Project Plan shall modify the
QA Project Plan to document the change and submit the revision for approval by the same
authorities that performed the original review. Only after the revision has been received and
approved (at least verbally with written follow-up) by project personnel, shall the change be
implemented.
For programs or projects of long duration, such as multi -year monitoring programs or
projects using a generic QA Project Plan, the QA Project Plans shall be reviewed at least annually
by the EPA Project Manager (or authorized representative). When revisions are necessary, the
QA Project Plan must be revised and resubmitted for review and approval.
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CHAPTER 3
QA PROJECT PLAN ELEMENTS
3.1 CONTENT REQUIREMENTS
The QA Project Plan is a formal document describing in comprehensive detail the
necessary QA, QC, and other technical activities that must be implemented to ensure that the
results of the work performed will satisfy the stated performance criteria. The QA Project Plan
must provide sufficient detail to demonstrate that:
• the project technical and quality objectives are identified and agreed upon;
• the intended measurements, data generation, or data acquisition methods are
appropriate for achieving project objectives;
• assessment procedures are sufficient for confirming that data of the type and
quality needed and expected are obtained; and
• any limitations on the use of the data can be identified and documented.
Most environmental data operations require the coordinated efforts of many individuals, including
managers, engineers, scientists, statisticians, and others. The QA Project Plan must integrate the
contributions and requirements of everyone involved into a clear, concise statement of what is to
be accomplished, how it will be done, and by whom. It must provide understandable instructions
to those who must implement the QA Project Plan, such as the field sampling team, the analytical
laboratory, modelers, and the data reviewers. In all aspects of the QA Project Plan, the use of
national consensus standards and practices are encouraged.
In order to be effective, the QA Project Plan must specify the level or degree of QA and
QC activities needed for the particular environmental data operations. Because this will vary
according to the purpose and type of work being done, EPA believes that the graded approach
should be used in planning the work. This means that the QA and QC activities applied to a
project will be commensurate with:
the purpose of the environmental data operation (e.g., enforcement, research and
development, rulemaking),
the type of work to be done (e.g., pollutant monitoring, site characterization, risk
characterization, bench level proof of concept experiments), and
the intended use of the results (e.g., compliance determination, selection of
remedial technology, development of environmental regulation).
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The QA Project Plan shall be composed of standardized, recognizable elements covering
the entire project from planning, through implementation, to assessment. These elements are
presented in that order and have been arranged fbr convenience into four general groups. The
four groups of elements and their intent are summarized as follows:
A Project Management - The elements in this group address the basic area of project
management, including the project history and objectives, roles and responsibilities
of the participants, etc. These elements ensure that the project has a defined goal,
that the participants understand the goal and the approach to be used, and that the
planning outputs have been documented.
B Data Generation and Acquisition - The elements in this group address all aspects
of project design and implementation. Implementation of these elements ensure
that appropriate methods for sampling, measurement and analysis, data collection
or generation, data handling, and QC activities are employed and are properly
documented.
C Assessment and Oversight - The elements in this group address the activities for
assessing the effectiveness of the implementation of the project and associated QA
and QC activities. The purpose of assessment is to ensure that the QA Project
Plan is implemented as prescribed.
D Data Validation and Usabilitv - The elements in this group address the QA
activities that occur after the data collection or generation phase of the project is
completed. Implementation of these elements ensures that -the data conform to the
specified criteria, thus achieving the project objectives.
All applicable elements, including the content and level of detail under each element,
defined by the EPA organization sponsoring the work must be addressed in the QA Project Plan.
If an element is not applicable, state this in the QA Project Plan. Documentation, such as an
approved Work Plan, Standard Operating Procedures, etc., may be referenced in response to a
particular required QA Project Plan element to reduce the size of the QA Project Plan. Current
versions of all referenced documents must be attached to the QA Project Plan itself or be placed
on file with the appropriate EPA office and available for routine referencing when needed. The
QA Project Plan shall also address related QA planning documentation (e.g., Quality Management
Plans) from suppliers of services critical to the technical and duality objectives of the project or
task.
3.2 GROUP A: PROJECT MANAGEMENT
The elements in this group (Table 1) address project management, including project
history and objectives, roles and responsibilities of the participants, etc. These elements document
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that the project has a defined goal, that the participants understand the goal and the approach to
be used, and that the planning outputs have been documented.
Table 1. Group A: Project Management Elements
Al Title and Approval Sheet
A2 Table of Contents
A3 Distribution List
A4
Project/Task Organization
A5
Problem Definition/Backgroun4
A6
Project/Task Description
A7
Quality Objectives and Criteria
A8
Special Training/Certification
A9
Documents and Records
3.2.1 Al - Title and Approval Sheet
On the Title and Approval Sheet, include the title of the plan, the name of the
organization(s) implementing the project, the effective date of the plan, and the names, titles,
signatures, and approval dates of appropriate approving officials. Approving officials may
include:
- Organization's Project Manager
- Organization's QA Manager
- EPA Project Manager
EPA QA Manager
- Others, as needed (e.g., held operations manager, laboratory managers,
State and other Federal agency officials)
3.2.2 A2 - Table of Contents
Provide a table of contents for the document, including sections, figures, tables,
references, and appendices. Apply a document control format (Figure 2) on each page following
the Title and Approval Sheet when required by the EPA Project Manager and QA Manager.
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Section No.
Revision No.
Date
Page of
Figure 2. Example Document Control Format
3.2.3 A3 - Distribution List
List the individuals and their organizations who need copies of the approved QA Project
Plan and any subsequent revisions, including all persons responsible for implementation (e.g.,
project managers), the QA managers, and representatives of all groups involved. Paper copies
need not be provided to individuals if equivalent electronic information systems can be used.
3.2.4 A4 - Project/Task Organization
Identify the individuals or organizations participating in the project and discuss their
specific roles and responsibilities. Include the principal data users, the decision makers, the
project QA manager, and all persons responsible for implementation. The project quality
assurance manager most be independent of the unit generating the data. (This does not include
being independent of senior officials, such as corporate managers or agency administrators, who
are nominally, but not functionally, involved in data generation, data use, or decision making.)
Identify the im ivi4ival responsible for maintaining the official, approved QA Project Plan.
Provide a concise organization chart showing the relationships and the lines of
communication among all project participants. Include other data users who are outside of the
organization generating the data, but for whom the data are nevertheless intended. The
organization chart must also identify any subcontractor relationships relevant to environmental
data operations, including laboratories providing analytical services.
3.2.5 A5 - Problem Definition/Background
State the specific problem to be solved, decision to be made, or outcome to be achieved.
Include sufficient background information to provide a historical, scientific, and regulatory
perspective for this particular project.
3.2.6 A6 - Project/Task Description
Provide a summary of all work to be performed, products to be produced, and the
schedule for implementation. Provide maps or tables that show or state the geographic locations
of field tasks. This discussion need not be lengthy or overly detailed, but should give an overall
picture of how the project will resolve the problem or question described in A5.
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3.2.7 A7 - Quality Objectives and Criteria
Discuss the quality objectives for the project and the performance criteria to achieve those
objectives. EPA requires the use of a systematic planning process to define these quality
objectives and performance criteria,
3.2.8 A8 - Special Training/Certification
Identify and describe any specialized training or certifications needed by personnel in order
to successfully complete the project or task. Discuss how such training will be provided and how
the necessary skills will be assured and documented.
3.2.9 A9 - Documents and Records
Describe the process and responsibilities for ensuring the appropriate project personnel
have the most current approved version of the QA Project Plan, including version control,
updates, distribution, and disposition.
Itemize the information and records which must be included in the data report package
and specify the reporting format for hard copy and any electronic forms. Records can include raw
data, data from other sources such as data bases or literature, field logs, sample preparation and
analysis logs, instrument printouts, model input and output files, and results of calibration and QC
checks.
Identify any other records and documents applicable to the project that will be produced,
such as audit reports, interim progress reports, and final reports. Specify the level of detail of the
field sampling, laboratory analysis, literature or data base data collection, or modeling documents
or records needed to provide a complete description of any difficulties encountered.
Specify or reference all applicable requirements for the final disposition of records and
documents, including location and length of retention period.
3.3 GROUP S: DATA GENERATION AND ACQUISITION
The elements in this group (Table 2) address all aspects of data generation and acquisition
to ensure that appropriate methods for sampling, measurement and analysis, data collection or
generation, data handling, and QC activities are employed and documented. The following QA
Project Plan elements describe the requirements related to the actual methods or methodology to
be used for the;
collection, handling, and analysis of samples;
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• data obtained from other sources (e.g., contained in a computer data base from
previous sampling activities, compiled from surveys, taken from the literature); and
• the management (i.e., compiling, handling) of the data.
The methods described in these elements should have been summarized earlier in element A6, The
purpose here is to provide detailed information on the methods. If the designated methods are
Well documented and are readily available to all project participants, citations are adequate;
otherwise, detailed copies of the methods and/or SOPS must accompany the QA Project Plan
either in the text or as attachments.
Table 2. Group B: Data Generation and
Acquisition Elements
Bl Sampling Process Design (Experimental Design)
B2 Sampling Methods
B3 Sample Handling and Custody
B4 Analytical Methods
B5 Quality Control
B6 Instrument/Equipment Testing, Inspection, and Maintenance
B7 Instrument/Equipment Calibration and Frequency
B8 Inspection/Acceptance of Supplies and Consumables
B9 Non -direct Measurements
B 10 Data Management
3.3.1 Bl- Sampling Process Design (Experimental Design)
Describe the experimental data generation or data collection design for the project,
including as appropriate:
• the types and numbers of samples required,
• the design of the sampling network,
• the sampling locations and frequencies,
• sample matrices,
• measurement parameters of interest, and
• the rationale for the design.
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3.3.2 B2 - Sampling Methods
Describe the procedures for collecting samples and identify the sampling methods and
equipment, including any implementation requirements, sample preservation requirements,
decontamination procedures, and materials needed for projects involving physical sampling.
Where appropriate, identify sampling methods by number, date, and regulatory citation. If a
method allows the user to select from various options, then the method citations should state
exactly which options are being selected. Describe specific performance requirements for the
method. For each sampling method, identify any support facilities needed. The discussion should
also address what to do when a failure in the sampling or measurement system occurs, who is
responsible for corrective action, and how the effectiveness of the corrective action shall be
determined and documented.
Describe the process for the preparation and decontamination of sampling equipment,
including the disposal of decontamination by-products; the selection and preparation of sample
containers, sample volumes, and preservation methods; and maximum holding times to sample
extraction and/or analysis.
3.3.3 B3 - Sample Handling and Custody
Describe the requirements for sample handling and custody in the field, laboratory, and
transport, taking into account the nature of the samples, the maximum allowable sample holding
times before extraction or analysis, and available shipping options and schedules for projects
involving physical sampling. Sample handling includes packaging, shipment from the site, and
storage at the laboratory. Examples of sample labels, custody forms, and sample custody logs
should be included.
3.3.4 B4 - Analytical Methods
Identify the analytical methods and equipment required, including sub -sampling or
extraction methods, laboratory decontamination procedures and materials (such as in the case of
hazardous or radioactive samples), waste disposal requirements (if any), and any specific
performance requirements for the method. Where appropriate, analytical methods may be
identified by number, date, and regulatory citation. Address what to do when a failure in the
analytical system occurs, who is responsible for corrective action, and how the effectiveness of the
corrective action shall be determined and documented. Specify the laboratory turnaround time
needed, if important to the project schedule.
List any method performance standards. If a method allows the user to select from
various options, then the method citations should state exactly which options are being selected.
For non-standard method applications, such as for unusual sample matrices and situations,
appropriate method performance study information is needed to confirm the performance of the
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method for the particular matrix. If previous performance studies are not available, they must be
developed during the project and included as part of the project results.
3.3.5 B5 - Quality Control
Identify QC activities needed for each sampling, analysis, or measurement technique. For
each required QC activity, list the associated method or procedure, acceptance criteria, and
corrective action. Because standard methods are often vague or incomplete in specifying QC
requirements, simply relying on the cited method to provide this information is usually insufficient.
QC activities for the field and the laboratory include, but are not limited to, the use of blanks,
duplicates, matrix spikes, laboratory control samples, surrogates, or second column confirmation.
State the frequency of analysis for each type of QC activity, and the spike compounds sources and
levels. State or reference the required control limits for each QC activity and corrective action
required when control limits are exceeded and how the effectiveness of the corrective action shall
be determined and documented.
Describe or reference the procedures to be used to calculate applicable statistics (e.g.,
precision and bias). Copies of the formulas are acceptable as long as the accompanying narrative
or explanation specifies clearly how the calculations will address potentially difficult situations
such as missing data values, "less than" or "greater than" values, and other common data
qualifiers.
3.3.6 116 - InstrumentlEquipment Testing, Inspection, and Maintenance
Describe how inspections and acceptance testing of instruments, equipment, and their
components affecting quality will be performed and documented to assure their intended use as
specified. Identify and discuss the procedure by which final acceptance will be performed by
independent personnel (e.g., personnel other than those performing the work) and/or by the EPA
project manager. Describe how deficiencies are to be resolved, when re -inspection will be
performed, and how the effectiveness of the corrective action shall be determined and
documented.
Describe or reference how periodic preventive and corrective maintenance of
measurement or test equipment or other systems and their components affecting quality shall be
perfbrmed to ensure availability and satisfactory performance of the systems. Identify the
equipment and/or systems requiring periodic maintenance. Discuss how the availability of critical
spare parts, identified in the operating guidance and/or design specifications of the systems, will
be assured and maintained.
3.3.7 B7 - Instrument/Equipment Calibration and Frequency
Identify all tools, gauges, instruments, and other sampling, measuring, and test equipment
used for data generation or collection activities affecting quality that must be controlled and, at
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specified periods, calibrated to maintain performance within specified limits. Describe or
reference how calibration will be conducted using certified equipment and/or standards with
known valid relationships to nationally recognized performance standards. If no such nationally
recognized standards exist, document the basis for the calibration. Identify the certified
equipment and/or standards used for calibration. Indicate how records of calibration shall be
maintained and be traceable to the instrument.
3.3.8 B8 - Inspection/Acceptance of Supplies and Consurnables
Describe how and by whom supplies and consumables (e.g., standard materials and
solutions, sample bottles, calibration gases, reagents, hoses, deionized water, potable water,
electronic data storage media) shall be inspected and accepted for use in the project. State
acceptance criteria for such supplies and consumables.
3.3.9 B9 - Non -direct Measurements
Identify any types of data needed for project implementation or decision making that are
obtained from non -measurement sources such as computer data bases, prograrns, literature files,
and historical data bases. Describe the intended use of the data. Define the acceptance criteria
for the use of such data in the project and specify any limitations on the use of the data.
3.3.10 B10 -Data Management
Describe the project data management process, tracing the path of the data from their
generation to their final use or storage (e.g., the field, the office, the laboratory). Describe or
reference the standard record -keeping procedures, document control system, and the approach
used for data storage and retrieval on electronic media. Discuss the control mechanism for
detecting and correcting errors and for preventing loss of data during data reduction, data
reporting, and data entry to forms, reports, and databases. Provide examples of any forms or
checklists to be used.
Identify and describe all data handling equipment and procedures to process, compile, and
analyze the data. This includes procedures for addressing data generated as part of the project as
well as data from other sources. Include any required computer hardware and software and
address any specific performance requirements for the hardware/software configuration used.
Describe the procedures that will be followed to demonstrate acceptability of the
hardware/software configuration required. Describe the process for assuring that applicable
information resource management requirements are satisfied.
Describe the process for assuring that applicable Agency information resource
management requirements (EPA Directive 2100) are satisfied (EPA QA Project Plans only). If
other Agency data management requirements are applicable, such as the Chemical Abstract
Service Registry Number Data Standard (EPA Order 2180,1), Data Standards for the Electronic
rival
EPA QA/R-5 19 March 2001
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Transmission of Laboratory Measurement Results (EPA Order 2180.2), the Minimum Set of Data
Elements for Ground -Water Quality (EPA Order 7500.1A), or new data standards as they are
issued by EPA, discuss how these requirements are addressed.
3.4 GROUP C: ASSESSMENT AND OVERSIGHT
The elements in this group (Table 3) address the activities for assessing the effectiveness
of project implementation and associated QA and QC activities. The purpose of assessment is to
ensure that the QA Project Plan is implemented as prescribed.
Table 3. Group C: Assessment and
Oversight Elements
C1 Assessments and Response Actions
C2 Reports to Management
3.4.1 C1 - Assessments and Response Actions
Describe each assessment to be used in the project including the frequency and type.
Assessments include, but are not limited to, surveillance, management systems reviews, readiness
reviews, technical systems audits, performance evaluations, audits of data quality, and data quality
assessments. Discuss the information expected and the success criteria (i.e., goals, performance
objectives, acceptance criteria specifications, etc.) for each assessment proposed. List the
approximate schedule of assessment activities. For any planned self -assessments (utilizing
personnel from within the project groups), identify potential participants and their exact
relationship within the project organization. For independent assessments, identify the
organization and person(s) that shall perform the assessments if this information is available.
Describe how and to whom the results of each assessment shall be reported.
Define the scope of authority of the assessors, including stop work orders, and when
assessors are authorized to act.
Discuss how response actions to assessment findings, including corrective actions for
deficiencies and other non -conforming conditions, are to be addressed and by whom. Include
details on how the corrective actions will be verified and documented.
3.4.2 C2 - Reports to Management
Identify the frequency and distribution of reports issued to inform management (EPA or
otherwise) of the project status; for examples, reports on the results of performance evaluations
and system audits; results of periodic data quality assessments; and significant quality assurance
Final
EPA QA/R-5 20 Mardi 2001
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problems and recommended solutions. Identify the preparer and the recipients of the reports, and
any specific actions recipients are expected to take as a result of the reports.
3.5 GROUP D: DATA VALIDATION AND USABILITY
The elements in this group (Table 4) address the QA activities that occur after the data
collection phase of the project is completed. Implementation of these elements determines
whether or not the data conform to the specified criteria, thus satisfying the project objectives.
Table 4. Group D: Data Validation
and Usability Elements
D1 Data Review, Verification, and Validation
D2 Verification and Validation Methods
D3 Reconciliation with User Requirements
3.5.1 D1 - Data Review, Verification, and Validation
State the criteria used to review and validate -- that is, accept, reject, or qualify -- data, in
an objective and consistent manner.
3.5.2 02 - Verification and Validation Methods
Describe the process to be used for verifying and validating data, including the chain -of -
custody for data throughout the life of the project or task. Discuss how issues shall be resolved
and the authorities for resolving such issues. Describe how the results are conveyed to data users.
Precisely define and interpret how validation issues differ from verification issues for this project.
Provide examples of any forms or checklists to be used. Identify any project -specific calculations
required.
3.5.3 D3 - Reconciliation with User Requirements
Describe how the results obtained from the project or task will be reconciled with the
requirements defined by the data user or decision maker. Outline the proposed methods to
analyze the data and deterinine possible anomalies or departures from assumptions established in
the planning phase of data collection. Describe how reconciliation with user requirements will be
documented, issues will be resolved, and how limitations on the use of the data will be reported to
decision makers.
Final
EPA QA/R-5 21 March 2001
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22
Final
March 2001
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REFERENCES
40 CFR 30, Code of Federal Regulations, "Grants and Agreements With Institutions of Higher
Education, Hospitals, and Other Non -Profit Organizations."
40 CFR 31, Code of Federal Regulations, "Uniform Administrative Requirements fbr Grants and
Cooperative Agreement to State and Local Governments."
40 CFR 3 5, Code of Federal Regulations, "State and Local Assistance."
48 CFR 46, Code of Federal Regulations, "Federal Acquisition Regulations."
ANSI/ASQC E4-1994, Specifications and Guidelines,for Quality Systems,for Environmental
Data Collection any' Environmental Technology Programs, American National Standard,
January 1995.
EPA Directive 2100 (1998), .Information Resources Management Policy Manual, U.S.
Environmental Protection Agency, Washington, DC.
EPA Order 2180.1 (June 1987), Chemical Abstract Service Registry Number Data Standard,
U.S. Environmental Protection Agency, Washington, DC.
EPA Order 2180.2 (December 1989), Data Stondards for the Electronic Transmission of
Laboratory Measurement Results, U.S. Environmental Protection Agency, Washington,
DC.
EPA Order 5360 Al (May 2000). EPA Quality Manual for Environmental Programs, U.S.
Environmental Protection Agency, Washington, DC.
EPA Order 5360.1 A2 (May 2000), Policy and Program Requirements for the Mandatory
Agency -wide Quality System, U.S. Environmental Protection Agency, Washington, DC.
EPA Order 7500.1A (October 1992), Minimum Set of Data Elements for Ground -Water Quality,
U.S. Environmental Protection Agency, Washington, DC.
U.S. Environmental Protection Agency, 2001. EPA Requirements.for Quality Management
Plans (QA/.R-2), EPA/240/B-01/002, Office of Environmental Information,
U.S. Environmental Protection Agency, 2000a. Guidance for Data Quality Assessment:
Practical Methods for Data Analysis (QA/G-9), EPA/600/R-96/084, Office of
Envirormiental Information.
Final
EPA QA/R-5 23 March 2001
Page 110 of 142
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Contract Name: Ambient Air Monitoring - Pass-Thru Grant
Contract Number: 582.14-40044
U.S. Environmental Protection Agency, 2000h. Guidance for the Data Quality Objectives
Process (QAIG-4), EPA/600/R-96/055, Office of Environmental Information.
U.S. Environmental Protection Agency, 1998. Guidance for Quality Assurance Project Plans
(QAIG-5), EPA/600/R-98/018, Office of Research and Development.
U.S. Environmental Protection Agency, 1995. Guidance for the Preparation of Standard
Operating Procedures (SOPS) for Quality -Related Documents (QAIG-6), EPA/600/R-
96/027, Office of Research and Development.
U.S. Environmental Protection Agency, 1980. Interim Guidelines and Specifications for
Preparing Quality Assurance Project Plans, QAMS-005/80, Office of Research and
Development.
Final
EPA QA/R-5 24 March 2001
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APPENDIX A
CROSSWALKS AMONG QUALITY ASSURANCE DOCUMENTS
A.1 BACKGROUND
This appendix contains crosswalks between this document and other QA planning
documents. The first crosswalk compares this requirements document with its predecessor
document, QAMS 005/80, Interim Guidelines and Specifications for Preparing Quality
Assurance Project Plans (EPA 1980). The second crosswalk compares the elements of the QA
Project Plan defined in this document with the steps defined in Guidance for the Data Quality
Objectives Process (QAIG-4) (EPA 2000b), the Agency's preferred systematic planning process
for environmental decision making. This crosswalk is provided to assist the reader in determining
how the outputs from the DQO Process can be integrated into a QA Project Plan.
A.2 CROSSWALK BETWEEN EPA QA/R-5 AND QAMS-005/80
QAMS-005/80 ELEMENTS
QA/R-5 ELEMENTS
1.0
Title Page with Provision for
Al
Title and Approval Sheet
Approval Signatures
2.0
Table of Contents
A2
Table of Contents
3.0
Project Description
A5
Problem Definition/Background
A6
Project/Task Description
4.0
Project Organization and
A3
Distribution List
Responsibility
A4
Project/Task Organization
A8
Special Training/Certification
A9
Documents and Records
5.0
QA Objectives for Measurement
A7
Quality Objectives and Criteria
Data (PARCC)
6.0
Sampling Procedures
B1
Sampling Process Design
B2
Sampling Methods
7.0
Sample Custody
B3
Sample Handling and Custody
8.0
Calibration Procedures and
B7
Instiument/Equipment Calibration and
Frequency
Frequency
Final
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QAMS-005/80 ELEMENTS
9.0 Analytical Procedures B4
10.0 Data Reduction, Validation, and D1
Reporting
11.0 Internal Quality Control Checks
and Frequency
12.0 Performance and Systems
13.0 Preventive Maintenance
14.0 Specific Routine Procedures Mea-
surement Parameters Involved
15.0 Corrective Action
16.0 QA Reports to Management
EPA QA/R-5
D2
B9
B10
B5
QA/R-5 ELEMENTS
Analytical Methods
Data Review, Verification, and
Validation
Verification and Validation Methods
Non -direct Measurements
Data Management
Quality Control
CI Assessments and Response Actions
B6 Instrument/Equipment Testing,
Inspection, and Maintenance
D3 Reconciliation with User Requirements
C1
C2
A-2
Assessments and Response Actions
Reports to Management
Final
March 2001
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A.3 CROSSWALK BETWEEN THE DQO PROCESS AND THE QA PROJECT PLAN
Elements
Al Title and Approval Sheet
A2 Table of Contents
A3 Distribution List
A4 Project/Task
Organization
A5 Problem Definition/
Background
A6 Project/Task Description
A7 Quality Objectives and
Criteria
A8 Special Training/
Certification
A9 Documents and Records
EPA QA/R 5
Requirements I DQO Overlap
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
need.
Itemize the information and records that must
be included in a data report package, including
report format and requirements for storage,
etc.
A-3
N/A
N/A
Step 1: State the Problem
Step 1: State the Problem
Step 1: State the Problem
Step 2: Identify the Decision
Step 1:
State the Problem
Step 2:
Identify the Decision
Step 3:
Identify the Inputs to the Decision
Step 6:
Specify Limits on Decision Errors
Step 4:
Define the Boundaries
Step 5:
Develop a Decision Rule
Step 6:
Specify Limits on Decision Errors
N/A
Step 3: Identify the Inputs to the Decision
Step 7: Optimize the Design for Obtaining Data
Final
March 2001
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Elements
i
BI Sampling Process Design
(Experimental Design)
B2 Sampling Methods
B3 Sample Handling and
Custody
B4 Analytical Methods
B5 Quality Control
B6 Instrument/Equipment
Testing, Inspection, and
Maintenance
B7 Instrument/Equipment
Calibration and
Frequency
B8 Inspection/Acceptance of
Supplies and
Consumables
EPA QA/R 5
Requirements
I DQO Overlap
DATA GENERATION AND ACQUISITION
Outline the experimental design, including
Step 5: Develop a Decision Rule
sampling design and rationale, sampling
Step 7: Optimize the Design for Obtaining Data
frequencies, matrices, and measurement
parameter of interest.
Sample collection method and approach.
Step 7: Optimize the Design for Obtaining Data
Describe the provisions for sample labeling,
N/A
shipment, chain -of -custody forms, procedures
for transferring and maintaining custody of
samples.
Identify analytical method(s) and equipment
Step 3: Identify the Inputs to the Decision
for the study, including method performance
Step 7: Optimize the Design for Obtaining Data
requirements.
Describe quality control procedures that
Step 3: Identify the Inputs to the Decision
should be associated with each sampling and
measurement technique. List required checks
and corrective action procedures.
Discuss how inspection and acceptance testing,
Step 3: Identify the Inputs to the Decision
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
Step 3: Identify the Inputs to the Decision
other sampling or measurement devices that
need calibration. Describe how the calibration
should be done.
Define how and by whom the sampling
N/A
supplies and other consumables will be
accepted for use in the project.
Final
A-4 March 2001
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Elements
B9 Non -direct
Measurements
B 10 Data Management
CI Assessments and
Response Actions
C2 Reports to Management
D I Data Review,
Verification, and
Validation
D2 Verification and
Validation Methods
D3 Reconciliation With User
Requirements
Ll
EPA QA/R-S
Requirements
DQO Overlap
Define the criteria for the use of non-
Step I: State the Problem
measurement data, such as data that come
Step 7: Optimize the Design for Obtaining Data
from databases or literature.
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 Data
data based on quality.
Describe the process to be used for verifying
and validating data, including the chain -of -
custody for data throughout the lifetime of the
project.
Describe how results will be evaluated to
determine if performance criteria have been
satisfied.
Step 3: Identify the Inputs to the Decision
Step 7: Optimize the Design for Obtaining Data
Final
March 2001
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11'A QA/R-5
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A-6
Final
March 2001
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APPENDIX B
TERMS AND DEFINITIONS
assessment - the evaluation process used to measure the performance or effectiveness of a system
and its elements. As used here, assessment is an all-inclusive term used to denote any of the
following: audit, performance evaluation, management systems review, peer review, inspection, or
surveillance.
audit (quality) - a systematic and independent examination to determine whether quality
activities and related results comply with planned arrangements and whether these arrangements
are implemented effectively and are suitable to achieve objectives.
calibration - comparison of a measurement standard, instrument, or item with a standard or
instrument of higher accuracy to detect and quantify inaccuracies and to report or eliminate those
inaccuracies by adjustments.
chain -of -custody - an unbroken trail of accountability that ensures the physical security of
samples, data, and records.
contractor - any organization or individual that contracts to furnish services or items or perform
work; a supplier in a contractual situation.
data quality assessment - a statistical and scientific evaluation of the data set to determine the
validity and performance of the data collection design and statistical test, and to determine the
adequacy of the data set for its intended use.
data usability - the process of ensuring or determining whether the quality of the data produced
meets the intended use of the data.
design - specifications, drawings, design criteria, and performance requirements. Also the result
of deliberate planning, analysis, mathematical manipulations, and design processes.
environmental conditions - the description of a physical medium (e.g., air, water, soil, sediment)
or biological system expressed in terms of its physical, chemical, radiological, or biological
characteristics.
environmental data - any measurements or information that describe environmental processes,
location, or conditions; ecological or health effects and consequences; or the performance of
environmental technology. For EPA, environmental data include information collected directly
from measurements, produced from models, and compiled from other sources such as data bases
or the literature.
Final
EPA QA/R-S B-1 Match 2001
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environmental data operations - work performed to obtain, use, or report information
pertaining to environmental processes and conditions.
environmental processes - manufactured or natural processes that produce discharges to or that
impact the ambient environment.
environmental programs - work or activities involving the environment, including but not
limited to: characterization of environmental processes and conditions; environmental monitoring;
environmental research and development; the design, construction, and operation of
environmental technologies; and laboratory operations on environmental samples.
environmental technology - an all-inclusive term used to describe pollution control devices and
systems, waste treatment processes and storage facilities, and site remediation technologies and
their components that may be utilized to remove pollutants or contaminants from or prevent them
from entering the enviromnent. Examples include wet scrubbers (air), soil washing (soil),
granulated activated carbon unit (water), and filtration (air, water). Usually, this term will apply
to hardware -based systems; however, it will also apply to methods or techniques used for
pollution prevention, pollutant reduction, or containment of contamination to prevent further
movement of the contaminants, such as capping, solidification or vitrification, and biological
treatment,
financial assistance - the process by which funds are provided by one organization (usually
government) to another organization for the purpose of performing work or furnishing services or
items. Financial assistance mechanisms include grants, cooperative agreements, performance
partnership agreements, and government interagency agreements.
graded approach - the process of basing the level of application of managerial controls applied
to an item or work according to the intended use of the results and the degree of confidence
needed ii-i the quality of the results.
independent assessment - an assessment performed by a qualified individual, group, or
organization that is not a part of the organization directly performing and accountable for the
work being assessed,
information resources management - the planning, budgeting, organizing, directing, training
and controls associated with information. The term encompasses both information itself and
related resources such as personnel, equipment, funds and technology.
inspection - an activity such as measuring, examining, testing, or gauging one or more
characteristics of an entity and comparing the results with specified requirements in order to
establish whether conformance is achieved for each characteristic.
Final
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management system - a structured, non -technical system describing the policies, objectives,
principles, organizational authority, responsibilities, accountability, and implementation plan of an
organization for conducting work and producing items and services.
method - a body of procedures and techniques for performing an activity (e.g., sampling,
modeling, chemical analysis, quantification) systematically presented in the order in which they are
to be executed.
participant -- when used in the context of environmental programs, an organization, group, or
individual that takes part in the planning and design process and provides special knowledge or
skills to enable the planning and design process to meet its objective.
performance evaluation - a type of audit in which the quantitative data generated in a
measurement system are obtained independently and compared with routinely obtained data to
evaluate the proficiency of an analyst or laboratory.
quality - the totality of features and characteristics of a product or service that bear on its ability
to meet the stated or implied needs and expectations of the user.
quality assurance (QA) - an integrated system of management activities involving planning,
implementation, documentation, assessment, reporting, and quality improvement to ensure that a
process, item, or service is of the type and quality needed and expected by the client.
quality assurance manager - the individual designated as the principal manager within the
organization having management oversight and responsibilities for planning, documenting,
coordinating, and assessing the effectiveness of the quality system for the organization.
quality assurance project plan - a docuunent describing in comprehensive detail the necessary
QA, QC, and other technical activities that must be implemented to ensure that the results of the
work performed will satisfy the stated performance criteria.
quality control (QC) - the overall system of technical activities that measures the attributes and
performance of a process, item, or service against defined standards to verify that they meet the
stated requirements established by the customer; operational techniques and activities that are
used to fulfill requirements for quality.
quality management - that aspect of the overall management system of the organization that
determines and implements the quality policy. Quality management includes strategic planning,
allocation of resources, and other systematic activities (e.g., planning, implementation,
documentation, and assessment) pertaining to the quality system.
quality management plan -- a document that describes a quality system in terms of the
organizational structure, policy and procedures, functional responsibilities of management and
Final
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staff, lines of authority, and required interfaces for those planning, implementing, documenting,
and assessing all activities conducted,
quality system - a structured and documented management system describing the policies,
objectives, principles, organizational authority, responsibilities, accountability, and implementation
plan of an organization for ensuring quality in its work processes, products (items), and services.
The quality system provides the framework for planning, implementing, documenting, and
assessing work performed by the organization and for carrying out required QA and QC activities.
readiness review - a systematic, documented review of the readiness for the start-up or continued
use of a facility, process, or activity. Readiness reviews are typically conducted before proceeding
beyond project milestones and prior to initiation of a major phase of work.
record - a completed document that provides objective evidence of an item or process. Records
may include photographs, drawings, magnetic tape, and other data recording media.
specification - a document stating requirements and which refers to or includes drawings or other
relevant documents. Specifications should indicate the means and the criteria for determining
conformance.
supplier - any individual or organization furnishing items or services or performing work
according to a procurement document or financial assistance agreement. This is an all-inclusive
term used in place of any of the following: vendor, seller, contractor, subcontractor, fabricator, or
consultant.
surveillance (quality) - continual or frequent monitoring and verification of the status of an
entity and the analysis of records to ensure that specified requirements are being fulfilled.
technical systems audit (TSA) - a thorough, systematic, on -site, qualitative audit of facilities,
equipment, personnel, training, procedures, record keeping, data validation, data management,
and reporting aspects of a system.
validation - confirmation by examination and provision of objective evidence that the particular
requirements for a specific intended use are fulfilled. In design and development, validation
concerns the process of examining a product or result to determine conformance to user needs.
verification - confirmation by examination and provision of objective evidence that specified
requirements have been fulfilled. In design and development, verification concerns the process of
examining a result of a given activity to determine conformance to the stated requirements for that
activity.
Final
EPA QA/R-5 B-4 March 2001
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Exhibit A-3
Quarterly Report Checklist
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SECTION 105 CONTRACT QUARTERLY REPORT
Exhibit A-3
Check List for Reimbursement Request Approval
QUARTER ------------------- DATES ------------------- TO ----------------------
Sections A - B are part of this Checklist.
A. Administrative Regulations
A-1. Have you reviewed your procurement systems for compliance with 40 CFR 35
according to the Procurement System Certification form (EPA form 5700-48) in your
Financial Application Package?
--- Yes. The certification was submitted on -----------------------.
--- No. This is not our year to do this.
A-2. Have you purchased any property items with a unit acquisition cost of $ 5,000 or
more?
--- Yes. The request to purchase the property item(s) was approved by the TCEQ on
----------------
--- No. We have not made any such purchases.
A-3. Are you maintaining property records (performing physical inventory) as required?
--- Yes. They are attached.
--- No. Please explain.
A-4. Is the quarterly HUB Progress Assessment and Financial Status Reports required in
the General Conditions, Article 4.34 attached to this Reimbursement Request?
--- Yes.
--- No. Please explain.
A-5. What is the date of your most recent independent audit report (required by OMB A-
133)? Was this report submitted to the TCEQ Project Representative?
--- Yes. Submitted on ---------------.
--- No. Please explain.
A-6. Have you provided written response to the FY-End-of-Year questionnaire within
thirty (30) days after receipt of the questionnaire?
--- Yes. It was submitted on -----------------------------.
--- No. Please explain.
--- NA. Due in the 41h quarter of the Contract only.
A-7. Within thirty (30) days of receipt of your FY-End-of-Year Report did you provide
corrective action plans (CAPS) for all findings found during the End -of -Year Review?
--- Yes.
--- No. Please explain.
--- NA. We had no findings.
--- NA. Not due this quarter.
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SECTION 105 CONTRACT QUARTERLY REPORT
Check List for Reimbursement Request Approval
A-8. Have the CAPs been approved and initiated?
___ Yes.
___ No.
___ NA.
A-9. Did you attach a physical inventory of total property purchased with funds provided
by contracts with the TCEQ?
___ Yes. Attached.
___ No. Please explain.
___ NA.
A-10. Have you reported any unresolved shortages or program losses exceeding $1,000 by
the deadline of August 31?
Yes. The report was submitted on ------------
No. We have none to report.
NA. Due in the T' quarter of the Contract only.
A-11 You are required to provide matching funds of not less than thirty three percent
(33%) for the Section 105 Contract, part of which can be funds from the State
Compliance Contract. Funding allocated for Title V activities in the State Compliance
Contract cannot be used as match. You must demonstrate that funds provided to
your program under the Section 105 Contract do not cause failure of the match
requirements under the State Compliance Contract, which requires that no more
than sixty seven percent (67%) of total funding for this program comes from State
and Federal sources. Please list the breakdown for your FY air program:
State Compliance Contract $
Section 105 Contract $
Other 105 Funds* $
City/County Funds $
Total $ 100%
*In order to accurately calculate your match under the terms of the State Compliance
Contract and the Section 105 Contract, you must include any additional 105
funding you have received directly from the EPA that is not processed through
the TCEQ.
TEXAS COMMISSION ON Page 142 of 146 S82-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
SECTION 105 CONTRACT QUARTERLY REPORT
Check List for Reimbursement Request Approval
B. Monitoring Operations ProLyram
B-1. Did your monitoring staff participate in any applicable training activities during this
reporting period?
___ Yes. Please list.
___ No.
B-2. Have you ensured that all the data loss is reported in the Quarterly report?
___ Yes. The report is attached
___ No. Please Explain.
Authorized Signatory of Performing Party Date
Printed Name of Signatory
Texas Commission on Environmental Quality
Page 3 of 3
TEXAS COMMISSION ON Page 143 of 146 S82-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 10S
Form B-1:
HUB Subcontracting Plan (HSP)
Prime Contractors Progress
TEXAS CO SSIO O Page 144 of M6 N 582-22-30132
ENVIRO NTAL QUALITY CITY OF FT. WO TH - 105
HUB Subcontracting Plan (HSP) Form B-1
Prime Contractor Progress Assessment Report
Contract/Requisition Number: (a)
Contracting Agency/University Name: (dl)
(0
Contractor (Company) Name: (e)
Point of Contact: (g)
Date of Award: (b)
(mm/dd/yyyy)
State of Texas VID #: (f)
Phone #: (h)
Object Code: c
(Agency Use Only)
Reporting (Month) Period: (i) Total Amount Paid this Reporting Period to 0) 1
Report HUB and Non -HUB subcontractor information
Subcontractor's Name Subcontractor's VID or *Texas Total Contract $ Total $ Amount Paid Total Contract $ Object Code
HUB Certificate Number Certified Amount from HSP This Reporting Period Amount Paid to (Agency Use Only)
HUB? with Subcontractor to Subcontractor Date to
(Yes or Subcontractor
Nnl
(kl) (k2) (1) (m) (n) (o) (p)
$- $- $-
$- $- $-
$- $- $-
$- $- $-
$- $- $-
$- $- $-
$- $- $-
$- $- $-
$- $- $-
$- $- $-
$- $- $-
$- $- $-
$- $- $-
$- $- $-
$- $- $-
Signature:
*Note: HUB certification status can be verified on-line at:
Title: Date:
http://www2.cpa.state.tx.us/cmbl/hubonly.html Rev. 10/07
TEXAS COMMISSION ON Page 145 of 146 582-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
Texas Commission on Environmental Quality
rl Historically Underutilized Business (HUB)
Instructions for prime contractors on how to fill out the Progress Assessment Report (PAR) form. Refer to attached
PAR form in Excel.
(a) Contract/Requisition Number: enter your contract number, for example: 582-12-
(b) Date of Award: enter award date of contract.
(c) Leave this blank; agency to fill-in.
(dl) Contracting Agency/University Name: enter Texas Commission on Environmental Quality
(d2) Enter Work Order number (example 228-0123,) and Invoice Number
(e) Contractor (Company) Name: enter your company name as stated in the Contract
(f) State of Texas VID#: Prime contractor Vendor Identification Number
(g) Point of Contact: enter company's representative
(h) Phone#: enter point of contact phone number, start with area code (xxx-yyy-zzzz) or your 1-800 number
(i) Reporting (month) period: enter invoice service period
(j) Total amount paid this reporting period to prime -contractor: Include lump sum of all totals paid to prime
contractor and all sub -contracting for this invoice period. This should equal in sum to the prime contractor
invoice.
(kl) Subcontractor's name: list all your subcontractors. This will include all HUB and non -HUB Subcontractors
listed on the HUB Sub -contracting Plan, HSP.
(k2) Subcontractor's VID
(1) Texas Certified HUB? (Yes or No): enter YES if the subcontractor is an Active HUB
(m) Total Contract $ Amount from HSP with Subcontractor: enter the amount from HSP, by multiplying the
percentage goals with your Contract Amount. This amount will be the same throughout the life of the Contract,
unless an amendment has taken place.
(n) Total $ Amount Paid This Reporting Period to Subcontractor: enter the participation amount from
Subcontractor for this invoice only.
(o) Total Contract $ Amount Paid to Date to Subcontractor: enter the total amount for this subcontractor
invoicing from the initiation of this contract.
(p) Leave this blank; agency to fill-in.
If you have any questions please feel free to contact the TCEQ HUB office at 512/239-1273.
TEXAS COMMISSION ON Page 146 of 146 582-22-30132
ENVIRONMENTAL QUALITY CITY OF FT. WORTH - 105
Contract Compliance Manager:
By signing this document, I acknowledge that I am the person responsible for the monitoring
and administration of this contract, including ensuring all performance and reporting
requirements.
Anthony Williams
NAME SIGs
Environmental Supervisor
TITLE
❑ This form is N/A as No City Funds are associated with this Contract
Printed Name Signature
City of Fort Worth, Texas
Mayor and Council Communication
DATE: 11/09/21 M&C FILE NUMBER: M&C 21-0856
LOG NAME: 23TCEQ PM 10 CONTRACT FY2022
SUBJECT
(ALL) Authorize the Execution of Amendment #9 of the Intergovernmental Cooperative Reimbursement Contract with the Texas Commission on
Environmental Quality in an Amount Not to Exceed $124,800.00 for Air Pollution Control Services for the Two -Year Term Starting September 1,
2021 through August 31, 2023, Authorize Cash Match of $61,468.66 the Two -Year Term Starting September 1, 2021 through August 31, 2023, and
Adopt the Attached Appropriation Ordinance
RECOMMENDATION:
It is recommended that the City Council:
1. Authorize the execution of Amendment #9 of the intergovernmental cooperative reimbursement contract with the Texas Commission on
Environmental Quality (Contract #582-18-80091) in an amount not to exceed $124,800.00 for air pollution control services for the two-year
term starting September 1, 2021 through August 31, 2023;
2. Authorize cash match from the City's Environmental Protection Fund of $61,468.66 for the two-year term starting September 1, 2021 through
August 31, 2023; and
3. Adopt the attached appropriation ordinance increasing estimated receipts and appropriations in the Grants Operating Federal Fund, subject
to receipt of the grant, in the amount of $186,268.66, for the purpose of funding ambient air monitoring operations.
DISCUSSION:
The City of Fort Worth (City) operates a comprehensive air quality program under four separate, but related contracts with the Texas Commission
on Environmental Quality (TCEQ) This overall program benefits the City by ensuring that facilities are in compliance with air quality regulations and
by supporting reliable data collection for air pollutants. One of the four contracts, partially funded by the State of Texas, specifically supports a
portion of a regional ambient air pollution monitoring network. The Texas Commission on Environmental Quality is the pass -through agency for all
Environmental Protection Agency (EPA) Section 105 Grant Funds. EPA Section 105 Grant Funds have been received annually by the City for its
Air Pollution Control Program in cooperation with TCEQ to maintain and operate various ambient air monitoring stations. This includes daily
monitoring of ozone, oxides of nitrogen, carbon monoxide, solar radiation, and meteorological data.
Document
M&C No. Approval
Grant
Matching Total
Date
Amount
Funds
Initial Contract
C-28367 09/12/2017
$206,934.00
$101,922.00 $308,856.00
(FY18/FY19)
Amendment #1
C-28367 09/12/2017
$0.00
$0.00 $0.00
(Changes to Scope of Work Only)
Amendment #2 C-28367 09/12/2017 $0.00 $0.00 $0.00
(VIN Correction Only)
Amendment #3 C-28367 09/12/2017 $0.00 $0.00 $0.00
(FY18 and FY19 Revisions)
Amendment#4 M&C 19- 08/20/2019 $206,934.00 $101,922.00 $308,856.00
0042
(FY20/21 Renewal)
Document
M&C No. Approval
Grant
Matching
Total
Date
Amount
Funds
Amendment #5
M&C 19-
108/20/2019
$0.00
$0.00
$0.00
0042
(90-Day Extension)
Amendment #6
M&C 19-
08/20/2019
$0.00
$0.00
$0.00
0042
(Multiple Revisions)
Amendment #7
M&C 19-
08/20/2019
$0.00
$0.00
$0.00
0042
(Revise Special Terms &
Conditions)
Amendment #8
M&C 19-
08/20/2019
$0.00
$0.00
$0.00
0042
(Unexecuted)
Amendment #9
PENDING
PENDING
$15,600.00
$7,684.00
$23,283.58
(90-Day Extension)
This grant covers the operation and maintenance of four Continuous Air Monitoring Stations and requires matching funds of $61,468.66 for the
two-year period. The City provides matching funds not to exceed 33 percent from the City's Environmental Protection Fund, 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. Apply indirect costs at the approved percentage rate of 10
percent.
CONTAMINANT
SITE NAME CAMS # LOCATION DETECTION
Ozone
CAMS
Alta Vista Road,
Keller
0017
Solar Radiation
Fort Worth, Texas
Met Data
Oxides of Nitrogen
Arlington Municipal
CAMS
5504 South Collins Street,
Ozone
Airport
0061
Arlington, Texas
Solar Radiation
Met Data
Ozone
CAMS
14290 Morris Dido Newark Road,
Eagle Mountain Lake
0075
Solar Radiation
Eagle Mountain, Texas
CYCLE
Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
Continuous
CONTAMINANT
SITE NAME CAMS # LOCATION DETECTION CYCLE
Met Data Continuous
CO Continuous
Fort Worth California 1198 California Parkway North,
Parkway North CAMS
1053 Oxides of Nitrogen Continuous
AQS # 48-439-1053 Fort Worth
Met Data Continuous
No City funds will be expended before the contract is approved. Upon approval and acceptance of the grant and execution of the contract, City
funds will be expended before receipt of grant funds.
This Agreement will serve ALL COUNCIL DISTRICTS.
A Form 1295 is not required because: This contract will be with a governmental entity, state agency or public institution of higher education: TCEQ
FISCAL INFORMATION / CERTIFICATION:
The Director of Finance certifies that upon approval of the above recommendations and adoption of the attached appropriation ordinance, funds
will be available in the current operating budget, as appropriated, in the Grants Operating Federal Fund. The Code Compliance Department (and
Financial Management Services) will be responsible for the collection and deposit of funds due to the City. Prior to making any expenditure, the
Code Compliance Department has the responsibility to validate the availability of funds. This is a reimbursement grant.
Submitted for Citv Manaaer's Office bv: Valerie Washington 6192
Oriainatina Business Unit Head: Brandon Bennett
6322
Additional Information Contact: David B. Carson
6336
Cody Whittenburg
5455