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HomeMy WebLinkAboutContract 32354 CITY SECRETARY CONTRACT NO. TCEQ FORM : TCEQ STATE FUNDED GRANT AGREEMENT Fiscal Year 2006 and 2007 CONTRACT NO. 582-6-74392 THIS AGREEMENT is entered by and between Texas Commission on Environmental Quality (hereinafter called TCEQ) and the City of Fort Worth acting through Environmental Management Department(hereinafter called PERFORMING PARTY). TCEQ and PERFORMING PARTY, in consideration of the mutual covenants hereinafter set forth, agree as follows: ARTICLE 1. WORK 1.1 PERFORMING PARTY shall complete all Work related to Work Plan activities identified in the City of Fort Worth, Texas, related portion of Exhibit A-21 Local Air Program Work Plan for the term of this Agreement. Work is generally described in this article, and includes activities consistent with the direction and intent of the Compliance Monitoring Strategy for the Air and/or Stage H programs. Activities to be performed under this Agreement are more fully described in the attached Scope of Work Section, which is hereby incorporated by reference into this Agreement. 1.2 The intended outcome is the PERFORMING PARTY's assistance to the TCEQ in the enforcement of the Clean Air Act. ARTICLE 2. AGREEMENT TERMS 2.1 This Agreement shall have a term commencing on§ept&bb, &1,20054nd shall tgminate on August 31,2007.43oth parties have an option to renew the Agreement for two (2)additional one (1)year periods upon written consent of the parties by an Amendment to this Agreement.. The Annual Performance Evaluation requirements identified in the Scope of Work Section and certain reporting requirements as identified in this Agreement shall survive the termination of this Agreement. Other than for administrative matters,this Agreement shall not extend into a fiscal year for which the Texas Legislature has not appropriated funding necessary to perform this Agreement. ARTICLE 3. AGREEMENT AMOUNT 3.1 TCEQ and PERFORMING PARTY agree that the maximum amount to be paid by TCEQ for completion of the Work shall not exceed$549,100',dlver the Agreement term, limited in each fiscal year to one half of the total Agreement amount, unless the parties amend this amount in accordance with the Agreement Documents. TCEQ SFG Agreement. Contract No.582-6-74392 Page I of 59 March 19,2005 3.2 The term"Local Air Program" is defined as the eligible local air pollution program conducted by PERFORMING PARTY under Section 382.0622,Texas Health and Safety Code. The combined federal and state share of the funding for the PERFORMING PARTY's Local Air Program(including the state funds under this Agreement) shall not exceed 67% (sixty-seven percent)of the PERFORMING PARTY's total cost for the program. The PERFORMING PARTY must provide matching funds such that the combined federal share, derived from the Section 105 pass-through funding from the TCEQ,and the state share, derived from the current Appropriations Act, shall not exceed 67%,or the total amount of this Agreement will be reduced proportionately so that this condition is met. ARTICLE 4. PAYMENT PROCEDURES 4.1 PERFORMING PARTY shall submit requests for Payment in accordance with ARTICLE 7 of the General Conditions. 4.2 Quality. All investigations and investigation documentation must be prepared in accordance with applicable Field Operations Division Standard Operating Procedures (FODSOP), issued protocols and guidance documents, and Enforcement Division Standard Operating Procedures(EnfSOP). Adherence to FODSOP, issued protocols and guidance, and EnfSOP are required for the successful completion of any investigation. ARTICLE 5. BASES FOR CALCULATING PAYMENT 5.1 The PERFORMING PARTY shall receive the dollar amount as specified and agreed upon for all properly rendered and received environmental services, investigations and related items as described in Scope of Work Section and detailed within Exhibit A-21: Local Air Program Work Plan. 5.2 Investigations that are subject to more than one chapter(whether state or federal rule) shall be considered one investigation for payment purposes. ARTICLE 6. FUNDING 6.1 Availability of Funds. The parties agree that this Agreement and all claims, suits, or obligations arising under or related to this Agreement are subject to and limited to the availability of funds appropriated by the Texas Legislature for the purposes of this Agreement or for the respective claim, suit, or obligation, as applicable. 6.2 Source of Funds and Legal Authority. This Agreement is funded through the FY2006- 2007 Appropriations Act; TEX.WATER CODE&5.229;TEX.HEALTH AND SAFETY CODE &&382.111-382.115. The PERFORMING PARTY certifies that it has authority to perform the services contracted for by authority granted in the City of Fort Worth City Code 16,Article IX, Fort Worth Air Pollution Ordinance. This Agreement is subject to: the Uniform Grant and Contract Management Act(UGCMA),Texas Government Code, Section 783.001 et seq., and the Uniform Grant Management Standards(UGMS) for State Agencies, 1 Texas Administrative Code, Section 5.141 et seq. TCEQ SFG Agreement. Contract No.582-6-74392 Page 2 of 59 March 19,``2005 GrG �pp 6.3. PERFORMING PARTY agrees to place the above notices relating to availability of funds, the source of funds and legal authority in all subgrants and subcontracts. ARTICLE 7. PERFORMING PARTY'S REPRESENTATIONS In order to induce TCEQ to enter into this Agreement, PERFORMING PARTY makes the following representations: 7.1 PERFORMING PARTY is familiar with and understands all applicable federal, state and local Laws and Regulations that may affect cost, progress,performance or furnishing of the Work. 7.2 PERFORMING PARTY is aware of the general nature of work to be performed by TCEQ and others that relate to the Work as indicated in the Agreement Documents. 7.3 PERFORMING PARTY has given TCEQ written notice of all conflicts, errors, ambiguities or discrepancies that PERFORMING PARTY has discovered in the Agreement Documents and the written resolution thereof by TCEQ is acceptable to PERFORMING PARTY, and the Agreement Documents are generally sufficient to indicate and convey understanding of all terms and conditions for performance and furnishing of the Work. 7.4 PERFORMING PARTY hereby ratifies and attests to all certifications and deliverables it has provided to TCEQ during the offer process and agrees to give prompt written notice to TCEQ if there is any material change in these certifications or deliverables. 7.5 PERFORMING PARTY agrees that it is not a vendor and that this Agreement is not subject to the prompt payment act. ARTICLE 8. CONTRACT DOCUMENTS The Contract Documents which comprise the entire Agreement between TCEQ and PERFORMING PARTY concerning the Work consist of the following which are attached to and incorporated herein: 8.1 The TCEQ Form: TCEQ State Funded Grant Agreement 8.2 Scope of Work Section of the TCEQ State Funded Grant Agreement. 8.3 The General Conditions of the TCEQ State Funded Grant Agreement. 8.4 Other Documents 8.4.1 Exhibits Exhibits A-1 through A-20: Reserved. Exhibit A-21: Local Air Program Work Plan Available electronically only as Quattro Pro spreadsheet filename: htip://ntcfprd/fod/index.cfm?fuseaction=layouts.lp TCEQ SFG Agreement. Contract No.582-6-74392 Page 3 of 59 March 19 2 05 Exhibit A-22: Work Plan Cost Matrix Available electronically as the "Cost Matrix" tab of Exhibit A-21 Exhibit A-23: Investigation Typecode Definitions 8.4.2 FORMS Form B-1: HUB/MWBE Progress Assessment Report Form B-2: TCEQ STATE PURCHASE VOUCHER Form B-3: TCEQ Invoice Form B-4: Financial Status Report Form B-5: Fiscal Analysis Package 8.5 The following which may be delivered or issued after the Effective Date of the Agreement and are not attached hereto: Work Plan Amendments, all Written Amendments, and other documents amending, modifying or supplementing the Agreement Documents pursuant to the General Conditions. 8.6 There are no Contract Documents other than those listed above in this ARTICLE. The Contract Documents may be amended, modified or supplemented only as provided in this Agreement. ARTICLE 9. MISCELLANEOUS 9.1 Terms used in this Agreement which are defined in ARTICLE 1 of the General Conditions will have the meanings indicated in the General Conditions. 9.2 Notwithstanding any provisions relating to assignment in the Uniform Commercial Code, no delegation by a party hereto of any duties or obligations nor assignment by a party hereto of any rights under or interests in the Agreement Documents will be binding on another party hereto without the written consent of the party sought to be bound; and, specifically but without limitation, monies that may become due and monies that are due may not be assigned without such consent (except to an extent that the effect of this restriction may be limited by law), and unless specifically stated to the contrary in any written consent to an assignment, no assignment will release or discharge the assignor from any duty or responsibility under the Agreement Documents. 9.3 TCEQ and PERFORMING PARTY each binds itself, its partners, successors, assigns and representatives to the other party hereto, its partners, successors, assigns and representatives in respect to all covenants, Agreements and obligations contained in the Agreement Documents. This Agreement is not transferable or otherwise assignable by the PERFORMING PARTY without the written consent of the TCEQ and any attempted transfer without such consent is void. 9.4 The parties hereby agree that this Agreement does not waive the State's sovereign immunity relating to suit, liability, and the payment of damages. TCEQ SFG Agreement. Contract No.582-6-74392 Page 4 of 59 March 19,2005 9.5 Any provision of the Contract Documents held to be void or unenforceable under any Laws or Regulations shall be deemed stricken, and all remaining provisions shall continue to be valid and binding upon TCEQ and PERFORMING PARTY, who agree that Agreement Documents shall be reformed to replace such stricken provision or part thereof with a valid and enforceable provision that comes as close as possible to expressing the intention of the stricken provision. 9.6 The PERFORMING PARTY acknowledges and agrees that because this Agreement has been executed, and will be administered in Travis County, State of Texas, that in this sense, the Agreement is considered performed in said County. The PERFORMING PARTY acknowledges and agrees that any permissible cause of action involving this Agreement will arise solely in Travis County. If a legal action related to this claim is permissible and there are two (2)or more counties of proper venue under the rules of mandatory, general,or permissive venue, and one such county is Travis County, the PERFORMING PARTY hereby agrees to venue in Travis County. This provision does not waive TCEQ's sovereign immunity. 9.7 Any notice issued pursuant to these Contract Documents shall be addressed to the respective party at the addresses set out below, or at such other address as they have theretofore specified by written notice. Such notices shall be sent by certified mail, return receipt requested, or by nationally recognized courier, and evidenced by the confirmation of delivery rendered by the courier service, or shall be delivered in hand and a receipt provided therefor. Minor modifications to the Work Plan and notice of updating or clarifying any of the Exhibits or Agreement referenced guidance documents shall be communicated in writing sent by email,U.S. Postal Service via first class mail or hand delivered. Any notice or other written communication shall be considered delivered upon receipt, or in the case of communications sent by first class mail. 9.8 This Agreement is subject to cancellation,without penalty, in whole or in part, if funds are not appropriated by the Texas Legislature,or otherwise made available to TCEQ. TCEQ SFG Agreement. Contract No.582-6-74392 Page 5 of 59 M rch 19.2005 _ 9.9 ADDRESSES FOR NOTICE: TCEQ Local Program Contract Manager: PERFORMING PARTY REPRESENTATIVE: Printed name: Gloria Castillo, MC 174 Printed Name: Brian Boerner, CHMM Field Operations Division Title: Director Texas Commission on Environmental Quality Environmental Management Department P. O. Box 13087, Capitol Station 1000 Throckmorton Street Austin,Texas 78711-3087 Fort Worth,Texas 76102 TCEQ Local Program Project Manager: Email: Brian.Boerner@fortworthgov.org Phone: (817) 392-6088 Printed name: Tracy Callen, MC 174 Fax: (817) 392-6359 Field Operations Division ALTERNATE CONTACT Texas Commission on Environmental Quality P. O. Box 13087, Capitol Station T.C. Michael,RS, QEP Austin, Texas 78711-3087 Program Manager, Air Quality Division 5000 MLK Freeway TCEQ Project Field Representative: Fort Worth, Texas 76119 Printed Name: Frank Espino Email: TC.Michael@fortworthgov.org Phone: (817) 871-5450 Title: Regional Director Fax: (817) 871-5464 Texas Commission on Environmental Quality Dallas -Fort Worth Regional Office 2309 Gravel Drive Fort Worth,TX 76118-6951 Email: fespino@tceq.state.tx.us Phone: (817) 588-5800 Fax (Administration): (817) 588-5700 CONTINUED ON NEXT PAGE TCEQ SFG Agreement. Contract No.582-6-74392 Page 6 of 59 March 19,2005 IN WITNESS WHEREOF, TCEQ and PERFORMING PARTY have executed this Agreement in multiple copies, each of which is an original. This Agreement will be commence upon the Effective Date of the Agreement as defined by section 1.20 of the General Terms and Conditions. Performing Party: Texas Commission on Environmental Quality By By r Signature: Signature: Printed Name: A 1^ Printed Name: Mark R: Vickery, P.G. Title: Assistant City Manager Date: , m Title: Deputy Executive Director Approved As To Form: Date: C2 By Signature: 4,A&F By _ Printed Name: Chri a R. Lopez Title: Assistant i Attorne Signature: ��-_. - �,�,/ Date: Printed Name: Deirdre C. Moss, C.T.P.M. Title: Agency Contract Coordinator Date: 1 l TCEQ SFG Agreement. Contract No.582-6-74392 Page 7 of 59 March 19,2005 APPROVED AS TO FORM & LEGALITY: B, [�W4,q - v Title: Asst. City Attorney ATTEST: By Printed Name: Marty Hendrix Title: City Secretary Date: (Ak cv 14 1 AU-16 M & C 0 -11ceiLl GENERAL CONDITIONS OF THE TCEQ STATE FUNDED GRANT AGREEMENT ARTICLE 1. DEFINITIONS Wherever used in these General Conditions or in the other Agreement Documents the following terms have the meanings indicated which are applicable to both the singular and plural thereof- 1.1. hereof:1.1. Accrued Expenditures -means the charges incurred by the PERFORMING PARTY during a given period requiring the provision of funds for: (1)goods and other tangible property received; (2) services performed by employees, and (3) other amounts becoming owed under programs for which no current services or performance is required, such as annuities, insurance claims, and other benefit payments. 1.2. Accrued Income-means the sum of: (1)earnings during a given period from services performed by the PERFORMING PARTY and goods and other tangible property deliverable to purchasers, and (2) amounts becoming owed to the PERFORMING PARTY for which no current services or performance is required by the PERFORMING PARTY. 1.3. Acquisition Cost-of an item of purchased equipment means the net invoice unit price of the property including the cost of modifications, attachments, accessories, or auxiliary apparatus necessary to make that property usable for the purpose for which it was acquired. Other charges such as the cost of installation, transportation, taxes, duty or protective in-transit insurance, shall be included or excluded from the unit acquisition cost in accordance with the PERFORMING PARTY's regular accounting practices. 1.4. Addenda-written or graphic instruments issued prior to the execution of the Agreement which clarify, correct or change the Proposal Requirements or the Agreement Documents. 1.5. Administrative Requirements -mean those matters common to grants in general, such as financial management,kinds and frequency of reports, and retention of records. These are distinguished from "programmatic"requirements, which concern matters that can be treated only on a program-by-program or grant-by-grant basis, such as kinds of activities that can be supported by grants under a particular program. 1.6. Agreement-refers to the form"TCEQ State Funded Grant Agreement"which contains the salient terrns of the contract between TCEQ and the PERFORMING PARTY and covers the Work to be performed; also includes any additional Contract Documents which may be attached to the Agreement and made a part thereof as provided therein. 1.7. Assessment-The evaluation process used to measure the performance or effectiveness of a system and its elements, including audit,performance evaluation, management systems review,peer review, inspection, or surveillance. 1.8 Audit -A systematic and independent examination to determine whether activities and related results comply with planned arrangements and whether these arrangements are implemented effectively and are suitable to achieve objectives. 1.9 Awarding Agency-means the TCEQ. TCEQ SFG Agreement. Contract No.582-6-74392 Page 8 of 59 March 19,2005 1.10. Bonds- Bid, Performance and Payment bonds and other instruments of security. 1.11. Cash Contributions -means the PERFORMING PARTY's cash outlay, including the outlay of money contributed to the PERFORMING PARTY or subgrantee by other public agencies and institutions, and private legislation, federal funds received from other assistance Agreement may be considered as PERFORMING PARTY or subgrantee cash contributions. 1.12. Common Rule-means the Uniform Grant Management Standards which were promulgated by the Texas Governor's Office of Budget and Planning pursuant to the Uniform Grant Conditions and Management Act,Tex. Government. Code Chapter 783. 1.13. Contract-means (except as used in the definitions for"grant" and "subgrant" in this section and except where qualified by "federal") a procurement contract under a grant or subgrant, and means a procurement subcontract under a contract. 1.14. Contract Documents - asset forth in the Agreement. 1.15. Contract Price-the moneys payable by TCEQ to PERFORMING PARTY for completion of the Work in accordance with the Contract Documents as stated in the Agreement(subject to the provisions of these General Conditions). 1.16. Contract Times- the number of days or dates stated in the Agreement to complete the Work so that it is ready for final payment. 1.17. Cost Sharing or Matching- means the value of the third party in-kind contributions and the portion of the costs of a State assisted project or program not borne by the State. 1.18. Cost-type Contract - means a contractor subcontract under a grant in which the PERFORMING PARTY or subcontractor is paid on the basis of the costs it incurs, with or without a fee. 1.19. Defective-an adjective which when modifying the word Work refers to Work that is unsatisfactory, faulty or deficient, in that it does not conform to the Contract Documents, or does not meet the requirements of any inspection, reference standard, test on approval referred to in the Contract Documents, or has been damaged prior to final payment. 1.20. Effective Date of the Agreement -the date indicated in the Agreement on which it becomes effective,but if no such date is indicated it means the date on which the Agreement is signed and delivered by the last of the two parties to sign and deliver. 1.21. Equipment- means 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. "Equipment"definition pertaining to acquisition cost of$5,000 or more per unit as modified to subject state funds to the state definition or minimum cost for capitalized equipment. A state awarding agency will advise a PERFORMING PARTY of the rules for capitalizing equipment purchased from state funds and ultimate disposition thereof. TCEQ SFG Agreement. Contract No.582-6-74392 Page 9 of 59 Mardi 19,i06!P.t 1.22. Expenditure Report - means (1) for nonconstruction grants the"Financial Status Report"(or other equivalent report); and(2) for construction grants, the SF-271 "Outlay Report and Request for Reimbursement"(or other equivalent report). 1.23. Final Completion -the Work is completed in the judgment of TCEQ. 1.24. General Conditions-refers to the "General Conditions of the TCEQ Federally Funded Grant Agreement." 1.25. Government -means a State agency or local government. 1.26. Grant - means an award of financial assistance, including cooperative Agreement, in the form of money, or property in lieu of money,by the State to an eligible PERFORMING PARTY. The term does not include technical assistance which provides services instead of money, or other assistance in the form of revenue sharing, loans, loan guarantees, interest subsidies, insurance, or direct appropriations. Also, the term does not include assistance, such as a fellowship or other lump sum award, which the PERFORMING PARTY is not required to account for. 1.27. Grantee - means the government to which a grant is awarded and which is accountable for the use of the funds provided. The grantee is the entire legal entity even if only a particular component of the entity is designated in the grant award document. Also means the PERFORMING PARTY. 1.28. HUB- Historically Underutilized Business as defined by Texas law. The State Purchasing and General Services Act defines a historically underutilized business as an entity with its principal place of business in Texas in which fifty-one percent(51%)or more of the corporation's stock(or other equitable securities) or partnership's assets and interest are owned by one or more economically disadvantaged persons, who have a proportionate interest and actively participate in the corporation or partnership control,operation, and management. If the business is a sole proprietorship,the socially disadvantaged person must completely own, operate and control the business. Economically disadvantaged persons include members of certain groups including Black Americans,Hispanic Americans, American Women, Asian Pacific Americans and Native Americans. 1.29. 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. 1.30 Intellectual Property- 1) any and all inventions, discoveries, improvements, or creations for which copyright, trade secret, patent or other proprietary rights may be acquired, 2) any photographs, graphic designs,plans, drawings, specifications, computer programs, computer files, documentation, technical reports, operating manuals, or other copyrightable materials, and 3) any other work fixed in any tangible medium of expression which can be perceived,reproduced, or otherwise communicated for which copyright, trade secret, patent or other proprietary rights may be acquired. 1.31. Intellectual Property Rights -patent, trademarks, trade secret rights, confidential information TCEQ SFG Agreement. Contract No.582-6-74392 Page 10 of 59 March 19,2005 rights or any other proprietary rights to which a person may be entitled or may actually possess. Intellectual Property Rights include all rights of ownership and original authorship throughout the world. 1.32. ISO/IEC-The International Organization for Standardization and the International Electrotechnical Commission. 1.33. Laws and Regulations; Laws or Regulations- any and all applicable laws,rules, regulations, ordinances, codes and orders of any and all governmental bodies, agencies, authorities and courts having jurisdiction. 1.34. Liens- liens, charges, security interests or encumbrances upon real property or personal property. 1.35. Local Government- means a county, municipality, city,town, township, local public authority (including public and Indian housing agencies under the United States Housing Act of 1937,42 U.S.C. §1437 et seq.) school district, special district, intrastate district, council of governments (whether or not incorporated as a nonprofit corporation under state law), any other regional or interstate government entity, or any agency of instrumentality of a local government. 1.36. Major Change-any change in the work that meets the requirements of ARTICLE 6, Section 6.2 of the General Conditions of this Agreement 1.37. Management Systems Review(MSR) - 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. 1.38. Minor Change- a written document which provides for minor changes in the work in accordance with these General Conditions,but which does not involve a change in the Contract Price or the Contract Times. 1.39. 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. 1.40. Notice of Award- the written notice by TCEQ to an apparent successful Applicant stating that upon compliance by the apparent successful Applicant with the conditions precedent enumerated therein, within the time specified, TCEQ will sign and deliver the Agreement. 1.41. Obligations - means the amount of Work performed by the PERFORMING PARTY during a given period that may result in reimbursement by the TCEQ during the same or a future period. 1.42. Outlay- (expenditures)mean charges made to the project or program. They may be reported TCEQ SFG Agreement. Contract No.582-6-74392 Page l l of 59 March 19,2005 on a cash or accrual basis. For reports prepared on a cash basis, outlays are the sum of actual cash disbursement for direct charges for goods and services, the amount of indirect expense incurred, the value of in-kind contributions applied, and the amount of cash advances and payments made to PERFORMING PARTY and subgrantees. For reports prepared on an accrued expenditure basis, outlays are the sums of actual cash disbursements, the amount of indirect expense incurred, the value of in-kind contributions applied, and the new increase (or decrease) in the amounts owed by the PERFORMING PARTY for goods and other property received, for services performed by employees, contractors, subgrantees, subcontractors, and other payees , and other amounts becoming owed under programs for which no current services or performance are required, such as annuities, insurance claims, and other benefit payments. 1.43. Peer Review- A documented, critical review of work generally beyond the state of the art or characterized by the existence of potential uncertainty.The peer review is conducted by qualified individuals(or organizations)who are independent of those who performed the work but are equivalent in technical expertise (i.e.,peers) to those who performed the original work. The 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, methodology, acceptance criteria, and conclusions pertaining to specific work and of the documentation that supports them. Peer reviews provide an evaluation of a subject where quantitative methods of analysis or measures of success are unavailable or undefined, such as in research and development. 1.44. Percentage of Completion Method-refers to a system under which payments are made for Work according to the percentage of the completed Work, rather than to the PERFORMING PARTY's cost incurred. 1.45. Performance Evaluation -A type of audit in which 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. 1.46. Prior Approval- means documentation evidencing consent prior to incurring specific cost. 1.47. Produced-participle or passive verb which when used in connection with the term Intellectual Property means conceived, developed, implemented, discovered, invented, first actually reduced to practice or otherwise produced. 1.48. Project - the total body of services rendered of which the Work to be provided under the Contract Documents may be the whole, or a part as indicated elsewhere in the Contract Documents. 1.49. Project Representative- the Project Representative of the TCEQ and the PERFORMING PARTY are designated in the Supplementary Conditions. 1.50. Real Property- means land, including land improvements, structures and appurtenances thereto, excluding movable machinery and equipment. TCEQ SFG Agreement. Contract No.582-6-74392 Page 12 of 59 March 19,2005 1.5 1. Share- when referring to the TCEQ's portion of real property, equipment or supplies, means the same percentage as the TCEQ's portion of the acquiring party's total costs under the grant to which the acquisition cost of the property was charged. Only costs are to be counted, not the value of third-party in-kind contributions. 1.52 Source oflnterest to the EPA -For the purposes of this Agreement, any air pollution site that meets the definition of Major Source as listed in this Agreement or any TCEQ Air Program account whose actual emissions equal or exceed 80% of the major source emissions threshold. 1.53. Standards - refers to the Uniform Grant Management Standards, 1.54. State-means the State of Texas. 1.55. Subcontractor-an individual, firm, or corporation having a direct contract with PERFORMING PARTY or with any other Subcontractor for the performance of a part of the Work. 1.56. Subgrant - means an award of financial assistance in the form of money ,or property in lieu of money,made under a grant by the PERFORMING PARTY to an eligible subgrantee. The term includes financial assistance when provided by contractual legal Agreement, but does not include procurement purchases, nor does it include any form of assistance which is excluded from the definition of"grant." 1.57. Subgrantee- means the government or other legal entity to which a subgrant is awarded and which is accountable to the PERFORMING PARTY for the use of the funds provided. "Subgrantee" is synonymous with"subrecipient"and refers to any entity receiving grant or contract funds from or through a state agency. 1.58. Supplementary Conditions - synonymous with"Program Conditions,"the part of the Contract Documents which amends or supplements these General Conditions. 1.59. Supplies - means all tangible personal property other than"equipment" as defined in these General Conditions. 1.60. 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. 1.61. Suspension - means, depending on the context, either(1)temporary withdrawal of the authority to obligate grant funds pending corrective action by the PERFORMING PARTY, or subgrantee or a decision to terminate the grant, or(2)an action taken by a TCEQ official in accordance with the Contract Documents, State or Federal law, or Regulations to immediately exclude a person from participating in grant transactions for a period, pending completion of an investigation and such legal or debarment proceedings as may ensue. 1.62. 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. 1.63. Termination -means permanent withdrawal of the authority to obligate previously-awarded grant funds before that authority would otherwise expire. It also means the voluntary relinquishment of that TCEQ SFG Agreement. Contract No.582-6-74392 Page 13 of 59 March 19,2005 authority by the PERFORMING PARTY or subgrantee. "Termination"does not include: (1) withdrawal of funds awarded on the basis of the PERFORMING PARTY's underestimate of the unobligated balance in a prior period; (2) withdrawal of the unobligated balance as of the expiration of a grant; (3) refusal to extend a grant or award additional funds to make a competing or noncompeting continuation, renewal, extension or supplemental award; or (4)voiding of a grant upon determination that the award was obtained fraudulently or was otherwise illegal or invalid from inception. 1.64. Terms of a Grant or Subgrant - mean all requirements of the grant or subgrant, whether contained in statutes, regulations, or the Contract Documents. 1.65. Third Party In-kind Contributions - mean property or services which benefit a state assisted project or program and which are contributed by third parties without charge to the PERFORMING PARTY, or a cost-type PERFORMING PARTY under the grant Agreement. 1.66. TCEQ-the Texas Commission on Environmental Quality. 1.67. Uniform Grant Management Standards (UGMS) -means the Uniform Grant Management Standards which were promulgated by the Texas Governor's Office of Budget and Planning pursuant to the Uniform Grant Conditions and Management Act, Tex. Govt. Code Chapter 783. 1.68. Unliquidated Obligations - for reports prepared on a cash basis mean the amount of obligations incurred by the PERFORMING PARTY that has not been paid. Reports prepared on an accrued expenditure basis represent the amount of obligations incurred by the PERFORMING PARTY for which an outlay has not been recorded. 1.69. Unobligated Balance-means the portion of the funds authorized by the TCEQ that has not been obligated by the PERFORMING PARTY, and is determined by deducting the cumulative obligations from the cumulative funds authorized. 1.70. Work -the entire completed services or the various separately identifiable parts thereof required to be furnished under the Contract Documents. Work includes and is the result of performing or furnishing labor, services, materials or equipment as required by the Contract Documents. 1.71. Work Plan- the Work Plan submitted by the Applicant as amended at the time of award and subsequently according to procedures set forth in these General Conditions. The Work Plan consists of written technical descriptions of, equipment, schedules, standards &workmanship as applied to the Work and certain administrative details applicable thereto. 1.72. Written Amendment -a document signed by PERFORMING PARTY and TCEQ which authorizes an addition, deletion or revision in the Work, or an adjustment in the Contract Price or the Contract Times, issued on or after the Effective Date of the Agreement. ARTICLE 2. TCEQ SFG Agreement. Contract No.582-6-74392 Page 14 of 59 March 19,2005 (Reserved) ARTICLE 3. CONTRACT DOCUMENTS: INTENT 3.1. The Contract Documents comprise the entire Agreement 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. The Contract Documents will be construed in accordance with the laws of the State of Texas. 3.2. 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 Agreement. Any Work, materials or equipment that may reasonably be inferred from the Contract Documents or from prevailing custom or trade usage as being required to produce the intended result will be furnished and performed whether or not specifically called for. When words or phrases which have a well-known technical or pollution cleanup industry or trade meaning are used to describe Work,materials or equipment, such words or phrases shall be interpreted in accordance with that meaning. 3.3. Whenever in the Contract Documents the terms "as ordered," "as directed,""as required,""as allowed,""as approved" or terms of like effect or import are used, or the adjectives"reasonable", "suitable," "acceptable," "proper" or"satisfactory"or adjectives of like effect or import are used to describe a requirement, direction,review or judgment of TCEQ as to the Work, it is intended that such requirement, direction, review or judgment will be solely to evaluate, in general, the completed Work for compliance with the requirements of and information in the Contract Documents and conformance with the design concept of the completed Project as a functioning whole as shown or indicated in the Contract Documents (unless there is a specific statement indicating otherwise). The use of any such term or adjective shall not be effective to assign to TCEQ any duty or authority to supervise or direct the furnishing or performance of the Work or any other provision of the Contract Documents. ARTICLE 4. PERFORMING PARTY'S RESPONSIBILITIES 4.1. The PERFORMING PARTY shall be responsible for the professional quality, technical accuracy, timely completion and the coordination of all services and other work furnished by the PERFORMING PARTY under this Agreement. Supervision and Superintendence: 4.2. PERFORMING PARTY shall supervise, inspect and direct the Work competently and efficiently, devoting such attention thereto and applying such skills and expertise as may be reasonably to perform the Work in accordance with the Contract Documents. PERFORMING PARTY shall be solely responsible for the means, methods, techniques, sequences and procedures of the Work. PERFORMING PARTY shall be responsible to see that the completed Work complies accurately with the Contract Documents. PERFORMING PARTY's Representative 4.3. The PERFORMING PARTY will identify in writing the person authorized to receive direction from the TCEQ, to manage the work being performed, and to act on behalf of the PERFORMING PARTY. 4.4. The PERFORMING PARTY agrees to make reasonable arrangements necessary to ensure that its authorized Representative, or someone to whom that person has delegated his or her authority, is TCEQ SFG Agreement. Contract No.582-6-74392 Page 15 of 59 "n` Offi(eh..,:i M199 ' CITY tKIREI Y available at all reasonable times for consultation with the TCEQ. Written notice of any such delegation shall be provided to the TCEQ. Personnel 4.5. PERFORMING PARTY shall provide competent, suitably qualified personnel to perform the Work as required by the Agreement Documents. PERFORMING PARTY shall at all times maintain good discipline and order on the project. Employment Practices 4.6. The PERFORMING PARTY agrees that in the performance of this Agreement, it will not discriminate against any employee or applicant because of race,religion, color, sex, age, or national origin and it will comply with Executive Order 11246, entitled"Equal Employment Opportunity,"as amended by Executive Order 11375, and as supplemented in Department of Labor Regulations (41 CFR Part 60). The PERFORMING PARTY assures that no person will, on the grounds of race, creed, color, disability,national origin, sex, political affiliation or beliefs, be excluded from, be denied the benefit of, or be subject to discrimination under any program or activity funded in whole or part under this Agreement. Americans with Disabilities Act 4.7. The PERFORMING PARTY shall comply with all applicable requirements of the Americans with Disabilities Act of 1990,42 U.S.C. §12131 et seq., as well as state and federal statutes relating to nondiscrimination which include, but are not limited to, those listed in the Uniform Grant Management Standards. Materials &Equipment 4.8. Unless otherwise specified in the Contract Documents, PERFORMING PARTY shall furnish and assume full responsibility for all materials, equipment, labor, transportation, tools, appliances, fuel, power, light, heat, telephone, water, sanitary facilities, temporary facilities and all other facilities and incidentals necessary for the furnishing,performance, testing, start-up and completion of the Work. 4.9. All materials and equipment shall be of good quality and to the extent practicable, except as otherwise provided in the Contract Documents. All materials and equipment shall be applied, installed, connected, erected, used, cleaned and conditioned in accordance with instructions of the applicable Supplier, except as otherwise provided in the Contract Documents. Title to and Management of Equipment 4.10. Subject to the obligations and conditions set forth in this Agreement, title to all equipment acquired under this Agreement shall vest, upon acquisition or construction, in the PERFORMING PARTY. 4.11. The PERFORMING PARTY agrees to conduct physical property inventories, to maintain property records and necessary control procedures, and to provide adequate maintenance with respect to all equipment acquired under this Agreement. TCEQ SFG Agreement. Contract No.582-6-74392 Page 16 of 59 March.19,2005 4.12. The PERFORMING PARTY may develop and use its own property management system which must conform with all applicable State and local laws, rules and regulations. If an adequate system for accounting for personal property owned by the PERFORMING PARTY or its subcontractor is not in place or currently in use, the Property Accounting System Manual issued by the State of Texas General Services Commission shall be used as a guide for establishing such a system. 4.13. Property records must be maintained that include a description of the property, a serial number or other identification number, the source of property, who holds title, the acquisition date, and the cost of the property, percentage of federal participation in the cost of the property, the location, use and condition of the property, and any ultimate disposition data including the date of disposal and sale price of the property. 4.14. A physical inventory of all equipment acquired or replaced under this Agreement having an initial purchase price of Five Thousand Dollars ($5,000)or more, shall be conducted no less frequently than once every two years and the results of such inventories reconciled with the appropriate property records. Property control procedures utilized by the PERFORMING PARTY shall include adequate safeguards to prevent loss, damage, or theft of the acquired property. Any loss, damage or theft shall be investigated. The PERFORMING PARTY agrees to develop and carry out a program of property maintenance as necessary to keep both originally acquired and any replaced property in good condition, and to utilize proper sales procedures to ensure the highest possible return, in the event such equipment is sold. 4.15. All equipment acquired or replaced under this Agreement shall be used for the duration of its normally expected useful life to support the purposes of this Agreement whether or not the original projects or programs continue to be supported by federal or state funds. 4.16. Subject to the provisions of this Article, if no longer needed for the support of the authorized projects or programs referred to in paragraph 4.15 of this Article, equipment acquired under this Agreement, whether original or replacement, may be used in support of other activities currently or previously supported by the TCEQ or the Federal Government, or alternatively, may be made available for use on other projects or programs, providing such other use will not interfere with the work on those projects or programs for which such equipment was originally acquired. 4.17. The PERFORMING PARTY may for the purpose of replacing various equipment utilized under this Agreement, either trade in or sell the equipment or property referred to in paragraph 4.10 and use the proceeds of such trade-in or sale to offset the cost of acquiring needed replacement property. 4.18. Items of equipment with a current per-unit fair market value of less than $5,000 may be retained, sold or otherwise disposed of with no further obligation to the awarding agency. Methods used to determine per-unit fair market value must be documented, kept on file and made available to the awarding agency upon request. Items of equipment with a current per-unit market value of$5,000 or more may be retained or sold and the awarding agency shall have a right to an amount calculated by multiplying the current market value or proceeds from sale by the awarding agency's share of the equipment. Methods used to determine per- unit fair market value must be documented,kept on file and made available to the awarding agency upon request. 4.19. If prior to the termination date of this Agreement,the PERFORMING PARTY or its subcontractors or subgrantees determine that any equipment acquired with funds provided as a result of this Agreement is no longer needed for support of the programs or projects referred to in paragraph 4.15, the TCEQ may require the PERFORMING PARTY to transfer title and possession to such equipment to the TCEQ or a third party named by the TCEQ. TCEQ SFG Agreement. Contract No.582-6-74392 Page 17 of 59 March 19,2005 4.20. The PERFORMING PARTY agrees that if a determination is made within six years of the initiation date of this Agreement that any equipment acquired with funds provided as a result of this Agreement is no longer needed for support of the programs or projects referred to in paragraph 4.15, the TCEQ has a right to require the transfer of any equipment having a fair market, per unit value of more than five thousand dollars($5,000)to the TCEQ or a third party named by the TCEQ. 4.21. The PERFORMING PARTY shall not grantor allow to a third party a security interest in any original or replacement equipment purchased or constructed with funds made available to PERFORMING PARTY under this Agreement. 4.22. The PERFORMING PARTY agrees that, in the event any funds provided under this Agreement are in turn awarded to any subcontractor for the purchase or acquisition of any equipment by such other party, the PERFORMING PARTY's contract with that subcontractor shall include the requirements set forth in these General Conditions. Substitutes and"or-Equal"Items: 4.23. 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. 4.24. Substitute Methods or Procedures: If a specific means, method, technique, sequence or procedure is shown or indicated in and expressly required by the Contract Documents, PERFORMING PARTY may furnish or utilize a substitute means, method, technique, sequence or procedure acceptable to TCEQ. PERFORMING PARTY shall submit sufficient information to allow TCEQ, in TCEQ's sole discretion, to determine that the substitute proposed is equivalent to that expressly called for by the Contract Documents. Concerning Subcontractors,Suppliers and Others 4.25. All contractual expenditures using funds provided under this Agreement shall meet all procurement laws and regulations applicable to the PERFORMING PARTY and subcontractor and the Uniform Grant and Contract Management Act and the Uniform Grant Management Standards. Note that competitive bidding will generally be required for contracts other than interlocal and interagency contracts,which are under TEx.Gov.CODE,Chapter 791 et seq. Note also that the Common Rule of OMB Circular A-102, as adopted in the Uniform Grant Management Standards, precludes the use of the cost plus a percentage of cost method of contracting. 4.26. The PERFORMING PARTY shall forward any proposed subagreement for the performance of work required under this Agreement's Scope of Work to TCEQ's Project Representative prior to execution of the subagreement. The TCEQ may,within twenty-one(2 1)days of receipt of the proposed subagreement,provide written notice(fax acceptable)to the PERFORMING PARTY questioning whether the subagreement is for a legitimate purpose relating to the satisfaction of this Agreement or has been procured in accordance with the minimum standards of the UGCMA. The PERFORMING PARTY shall not enter into a questioned subagreement until the TCEQ has withdrawn all questions raised in the notice. Neither the TCEQ's failure to question a subagreement nor its subsequent withdrawal of any questions raised regarding a subagreement shall in any way imply the 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 the TCEQ's rights under this Agreement to subsequently refuse reimbursement for expenses incurred pursuant to the subagreement. The PERFORMING PARTY may TCEQ SFG Agreement. Contract No.582-6-74392 Page I8 of 59 March f9,2005 U. 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. 4.27. No employee,officer or agent of the PERFORMING PARTY shall participate in selection,or in the award or administration of a subagreement supported by this Agreement if a conflict of interest,real or apparent, would be involved. Such a conflict arises when: 4.27.1. The employee,officer or agent, 4.27.2. Any member of his immediate family, 4.27.3. His or her partner, or 4.27.4. An organization which employs, or is about to employ any of the above, has financial or other interest in the subcontractor selected. The officers, employees or agents will neither solicit nor accept gratuities, favors or anything of monetary value from contractors, potential contractors, or parties to Subcontracts. To the extent permitted by State or local law or regulations, such standards of conduct will provide for penalties,sanctions,or other disciplinary actions for violations of such standards by the PERFORMING PARTY officers,employees, or agents, or by contractors or their agents. See Uniform Grant Management Standards,Part III, Subpart C, Sec. .36(3). 4.28. The PERFORMING PARTY shall be responsible for the management and fiscal monitoring of all subcontractors and subgrantees. The PERFORMING PARTY shall monitor its subcontractors and subgrantees to ensure that the subcontractors and subgrantees are operating consistently with applicable laws and regulations,applicable contracting policies,and these Contract Documents. The PERFORMING PARTY shall ensure that all subcontractors and subgrantees comply with all recording keeping and access requirements set forth in these Contract Documents. The TCEQ reserves the right to perform an independent audit of all subcontractors and subgrantees. PERFORMING PARTY, subcontractors and subgrantees shall maintain detailed records 4.29. Funds provided by the TCEQ pursuant to this Agreement that are paid to the subcontractor shall be used by the subcontractor solely to satisfy the purposes of the Agreement. Procurements 4.30. All procurements by the PERFORMING PARTY of goods and/or services under this Agreement shall be conducted in a manner providing full and open competition in accordance with Subpart C, Sec._.36, Subsections(b)through(1) of Part III of UGMS. 4.31. PERFORMING PARTY shall perform a cost or price analysis in connection with all procurements in excess of$2,000 which are not competitively procured. A cost analysis will also be required when adequate price competition is lacking and for sole source procurements,unless the reasonableness of the price can be established on the basis of a catalog or market price. Failure to follow these requirements for providing the greatest possible competition in a procurement are grounds for disallowance of costs for reimbursement. 4.32. All subgrants awarded by the PERFORMING PARTY under this Agreement shall be in accordance with Chapter 2261 Texas Government Code and Part III Subpart C, Sec._.37, Subsection(b) of UGMS. Historically Underutilized Businesses 4.33. PERFORMING PARTY agrees that qualified HUBs shall have the maximum practicable opportunity to participate in the performance of the Work. TCEQ SFG Agreement. Contract No. 582-6-74392 Page 19 of 59 March 19,2005 4.34. PERFORMING PARTY will submit a completed HUB/MWBE PROGRESS ASSESSMENT REPORT, contained in Form B-1,with each quarterly invoice and voucher submitted under the provisions of ARTICLE 7 of these General Conditions of this Agreement, Payments to PERFORMING PARTY and Completion of the TCEQ State Funded Grant Agreement. 4.35. PERFORMING PARTY's failure to comply with this ARTICLE shall be grounds for termination for cause in accordance with ARTICLE 8 of these General Conditions of this Agreement. 4.36. (Reserved) Intellectual Property Requirements 4.37. Intellectual Property 4.37.1. Royalties and Patent Fees. PERFORMING PARTY shall pay all license fees and royalties and assume all costs incident to the use or possession in the performance of the Work or the incorporation in the Work of any Intellectual Property. 4.37.2. Disclosure of Intellectual Property Produced during the Work. PERFORMING PARTY shall promptly notify TCEQ and EPA of all Intellectual Property which PERFORMING PARTY or PERFORMING PARTY's employees, subcontractors, or subcontractor's employees may produce, either solely or jointly with others, during the course of the Work. In addition, PERFORMING PARTY shall promptly notify TCEQ of all Intellectual Property to which PERFORMING PARTY may acquire rights in connection with the performance of the Work. Any notification under this paragraph shall contain sufficient technical detail to convey a clear understanding of the Intellectual Property, and shall identify any publication, sale,public use, or impending publication. Promptly upon request,PERFORMING PARTY shall supply such additional information as TCEQ may request. 4.37.3. If PERFORMING PARTY fails to protect any Intellectual Property Rights in the Intellectual Property Rights in the Intellectual Property produced in the course of performing the Work,TCEQ shall have full authority to protect, assume and retain all Intellectual Property Rights in any and all such Intellectual Property. 4.37.4. PERFORMING PARTY agrees that PERFORMING PARTY, its agents, and its employees shall not in any manner use, sell,distribute, disclose or otherwise communicate any portion of Intellectual property owned by or licensed to TCEQ, except in the course of performing the Work, unless PERFORMING PARTY has independent Intellectual Property Rights to such Intellectual Property. 4.37.5. Grant of License. With respect to such Intellectual Property as is (1) incorporated in the Work(other than Intellectual Property for which TCEQ already possesses equal or greater Intellectual Property Rights by virtue of this Agreement or otherwise), (ii)produced by PERFORMING PARTY or PERFORMING PARTY's employees, subcontractors,or subcontractor's employees during the course of performing the Work, or(iii) specifically identified in the Supplemental Conditions as Intellectual Property to which Intellectual Property Rights are granted pursuant to this paragraph,PERFORMING PARTY hereby grants to TCEQ (I) a nonexclusive,perpetual, irrevocable, enterprise-wide license to reproduce,publish, or otherwise use such Intellectual Property and associated use documentation, and (ii) a nonexclusive, perpetual, irrevocable,enterprise-wide license to authorize others to reproduce,publish, or otherwise use such Intellectual Property for TCEQ's purposes. TCEQ SFG Agreement. Contract No. 582-6-74392 Page 20 of 59 March 19,2005 4.37.6. Modification;Derivative Works. TCEQ shall have the right, in its own discretion, to independently modify any Intellectual Property to which license is granted herein for TCEQ's own purposes and use,through the services of its own employees or independent contractors. TCEQ shall own all Intellectual Property Rights to such modifications. PERFORMING PARTY shall not incorporate any such modifications into its Intellectual Property for distribution to third parties unless it first obtains a license from TCEQ. 4.37.7 PERFORMING PARTY shall comply with all Laws and Regulations relating to Intellectual Property. PERFORMING PARTY represents and warrants to TCEQ that PERFORMING PARTY will not infringe any Intellectual Property Right of any third party. PERFORMING PARTY further represents and warrants to TCEQ that in the course of performing the Work it will not use or possess any Intellectual Property owned by a third party without paying any required royalty or patent fees. PERFORMING PARTY warrants that it has full title in and ownership of the Intellectual Property and any enhancements, updates or other modifications, or that it has full power and authority to grant all licenses granted herein, and that such license use by the TCEQ will in no way constitute an infringement or other violation of any Intellectual Property right of any third party. The PERFORMING PARTY warrants that it shall have,throughout any applicable license term hereunder, free and clear title to,or the right to possess,use sell,transfer, assign, license,or sublicense,products that are licensed or provided hereunder to the TCEQ by PERFORMING PARTY. Except as permitted in the Contract Documents,PERFORMING PARTY shall not create or permit the creation of any lien, encumbrance,or security interest in the Work or any part thereof,or any product licensed or provided hereunder to TCEQ for which title has not yet passed to TCEQ, without the prior written consent of TCEQ. PERFORMING PARTY represents and warrants to TCEQ that neither it nor any other company or individual performing the Work is under any obligation to assign or give to any third party any Intellectual Property rights granted or assigned to TCEQ,or reserved by TCEQ,pursuant to the Contract Documents. 4.37.8. To the fullest extent permitted by Laws and Regulations, PERFORMING PARTY shall indemnify and hold harmless TCEQ, and its officers, directors, employees and agents, as more fully specified in these General Conditions, from and against all fines,penalties, claims, damages, losses, demands,judgments, settlements,punitive damages,costs of suit, attorneys' fees and delays to the contractors,whether arising in tort or otherwise, and whether the parties are individually or jointly responsible from any damages, that arise out of, result from or relate to any infringement of property, contractual,or employment rights or Intellectual Property Rights incident to the use in the performance of the Work or resulting from the incorporation in the Work of any Intellectual Property. PERFORMING PARTY agrees that it will make no settlement which prevents TCEQ from continuing use of the Intellectual Property without TCEQ's prior written approval. In all events,TCEQ shall have the right to participate in the defense of any such suit or proceeding through counsel of its own choosing. Technology Access Clause 4.38. PERFORMING PARTY expressly acknowledges that state funds may not be expended in connection with the purchase of an automated information system unless the system meets certain statutory requirements under section 2157.005 of the Government Code, relating to accessibility by persons with visual impairments. Accordingly, the PERFORMING PARTY represents and warrants to TCEQ that the technology provided to TCEQ for purchase is capable, either by virtue of features included within the technology or because it is readily adaptable by use with other technology, of(1)providing equivalent access for effective use by both visual and nonvisual means; (2) presenting information, including prompts used for interactive communications, in formats intended for nonvisual use; and(3)being integrated into networks for obtaining, retrieving, and disseminating information used by individuals who are not blind or visually impaired. For purposes of this paragraph,the phrase"equivalent access"means a substantially similar ability to TCEQ SFG Agreement. Contract No.582-6-74392Page 21 of 59 March 19,2005 communicate with or make use of the technology, either directly by features incorporated within the technology or by other reasonable means such as assistive devices or services which would constitute reasonable accommodations under the Americans with Disabilities Act or similar state or federal laws. Examples of methods by which equivalent access may be provided include,but are not limited to, keyboard alternatives to mouse commands and other means of navigating graphical displays, and customizable display appearance. Subgrant Activities 4.39. All subgrants awarded by the PERFORMING PARTY under this Agreement will be awarded on the basis of competitive applications and proposals when feasible. The applications and proposals will be evaluated utilizing criteria including cost comparison,probable quality of goods or services and past performance. Upon request,PERFORMING PARTY must provide evidence to support the selection and award. 4.40. Payments by PERFORMING PARTY to subgrantees will be solely for reimbursement of actual allowable costs utilizing the same standards and requirements as the reimbursement payments from TCEQ to PERFORMING PARTY set out in this Agreement. No subgrant will be made on a fixed-amount of cost reimbursement unless this method is specifically approved by the TCEQ based on supporting evidence of proposed subgrantee's actual costs. 4.41. All subgrant agreements must be in writing and must be approved by the TCEQ. The standards and requirements for reimbursements and standards for performance will be incorporated into the subgrant agreements as well as other provisions required by this Agreement. Permits 4.42. Unless otherwise provided in the Contract Documents, PERFORMING PARTY shall obtain and pay for all construction permits and licenses. PERFORMING PARTY shall pay all charges of utility owners for connections to the Work, and PERFORMING PARTY shall pay all charges of such utility owners for capital costs related thereto such as plant investment fees. Laws and Regulations 4.43. PERFORMING PARTY shall give all notices and comply with all Laws and Regulations applicable to furnishing and performance of the Work. Except where otherwise expressly required by applicable Laws and Regulations,TCEQ shall not be responsible for monitoring PERFORMING PARTY's compliance with any Laws or Regulations. 4.44. If PERFORMING PARTY performs any Work knowing or having reason to know that it is contrary to Laws or Regulations,PERFORMING PARTY shall bear all claims,costs, losses and damages caused by, arising out of or resulting therefrom. Uniform Grant and Contract Management Act 4.45. The provisions of Uniform Grant and Contract Management Act,TEx.Gov.CODE,Chapter 783 applies to this Agreement, all amendments thereto, and all subcontracts and subagreements. Compliance with the conditions and requirements contained therein is necessary for the satisfactory performance of the services TCEQ SF'G Agreement. Contract No.582-6-74392Page 22 of 59 March 19,2005 and work required under this Agreement. Energy Efficiency Standards 4.46. The PERFORMING PARTY shall follow standards and policies on energy efficiency which are contained in the Texas State Energy Conservation Plan issued in compliance with federal requirements. Taxes 4.47. Where applicable PERFORMING PARTY shall pay all sales, consumer,use and other similar taxes required to be paid by PERFORMING PARTY in accordance with the Laws and Regulations in connection with the work required by this Agreement. Records,Documents,Data,Access, and Audit 4.48. The PERFORMING PARTY shall maintain books,records, documents, and other evidence reasonably pertinent to performance of the Work and requirements of the Contract Documents, including the Agreement or amendments thereto. All financial records shall be maintained in accordance with generally accepted accounting principles, the Uniform Grant Management Standards and these Contract Documents. The PERFORMING PARTY shall also maintain the financial information and data used in the preparation or support of any request for reimbursement (direct and indirect), price or profit analysis for this Agreement or any subagreement or subcontract and a copy of any cost information or analysis submitted to the TCEQ. The TCEQ,Texas State Auditor's Office,or any of their authorized representatives shall have access to all such books,records,documents and other evidence for the purpose of review, inspection, audit, excerpts, transcriptions and/or copying during normal business hours. The PERFORMING PARTY shall provide proper facilities for such access and inspection. 4.49. The PERFORMING PARTY agrees that all record keeping,quality assurance requirements, and access requirements shall be applicable to all subcontracts and subagreements. 4.50. The PERFORMING PARTY agrees to the disclosure of all information and reports resulting from access to records and quality activities under this Agreement. 4.51. Records under paragraph 4.48 and 4.49 shall be maintained by the PERFORMING PARTY during performance of Work under this Agreement, and for three (3)years after final payments, final expenditure reports and all other pending matters are closed. If any litigation, claim,negotiation, audit, quality assurance assessment, cost recovery, or other action (including actions concerning costs of items to which an audit exception or nonconformance has been taken or identified) involving such records or corrective actions has been started before the expiration of the three 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 year period, whichever is later. 4.52. Access to records or work activity is not limited to the required retention periods. The entities designated in paragraph 4.48 shall have access to records or work activity at any reasonable time for as long as the records or nonconformance identified pursuant to an assessment are maintained. 4.53. This right-of-access article applies to financial and quality records pertaining to this Agreement and all subagreements and amendments. In addition,this right of access article applies to all records and work activities pertaining to this Agreement and all subagreements and amendments: 4.53.1. to the extent the records pertain reasonably to Agreement or subcontract performance; TCEQ SFG Agreement. Contract No.582-6-74392Page 23 of 59 March 19,2005 4.53.2. if there is any indication that fraud, gross abuse, or corrupt practices may be involved; or 4.53.3. if the Agreement or subcontract is terminated for default or for convenience. 4.54. 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. Data and Publicity 4.55. All data and other information developed under this Agreement shall be furnished to the TCEQ and shall be public data and information except to the extent that it is exempted from public access by the Texas Public Information Act, TEX.Gov'T CODE § 552 ("Act"). Upon termination of this Agreement, all copies of data and information shall be furnished, at no charge to the TCEQ, upon request, to include data bases prepared using funds provided under this Agreement, and become the property of the TCEQ. Except as otherwise provided by these Contract Documents or the Act, the PERFORMING PARTY shall not provide data generated or otherwise obtained in the performance of its responsibilities under this Agreement to any party other than the State of Texas. 4.56. The PERFORMING PARTY agrees to notify and obtain the verbal approval of TCEQ prior to releasing any information to the news media regarding the activities being conducted under this Agreement. Safety and Protection 4.57. Where applicable, PERFORMING PARTY shall be responsible for requiring subcontractors and subgrantees to maintain and supervise all necessary safety precautions and programs in connection with the Work. PERFORMING PARTY shall take all necessary safety precautions. Independent Contractor 4.58. In performing any services hereunder, the PERFORMING PARTY is, and undertakes performance as, an independent contractor. Lobbying Activities 4.59. As set forth in these Contract Documents, and in accordance with the Uniform Grant Management Standards,and State law, PERFORMING PARTY shall not use funds provided under this Agreement to support political activity either directly or indirectly. This preclusion includes funds paid in reimbursement of direct or indirect costs. 4.59.1. If it is reasonably foreseeable that payments to the PERFORMING PARTY under this Agreement will exceed $100,000, the PERFORMING PARTY shall comply with the following requirements. This Article applies regardless of whether the PERFORMING PARTY is a for-profit or not-for-profit entity, including a state or local governmental entity. 4.59.2. The PERFORMING PARTY shall comply with the requirements of the "Anti-Lobbying Act" (Public Law 101-121, Section 319, 31 U.S.C. 1352) (hereinafter, "Act"), and with all applicable regulations, standards, orders, or requirements issued thereunder. Any violation of this provision by the PERFORMING PARTY constitutes grounds for termination of this Agreement for default. 4.59.3. The PERFORMING PARTY shall forward to the TCEQ the Certification it is required to submit under Section 1352(b)(2)(0)of the Act, which requires the recipient of federal funds to certify that it is in compliance with the Act. It shall also forward to the TCEQ any disclosure forms it is TCEQ SFG Agreement. Contract No.582-6-74392Page 24 of 59 March 19,2005 required to submit under Section 1352(b)(2)(A)&(B) of the Act, which requires disclosure of lobbying activities paid for with non-federal funds. 4.59.4. PERFORMING PARTY shall require all of its subcontractors under subcontracts that will exceed $100,000: (1) as a condition of the subcontract, to furnish the PERFORMING PARTY with the Certification required under Section 1352(b)(2)(D)of the Act; and (2)to furnish the PERFORMING PARTY with any disclosure forms required under Section 1352(b)(2)(A)&(B)of the Act. PERFORMING PARTY shall promptly forward to the TCEQ any of the forms its subcontractors submit to it. 4.60. (Reserved) Accounting Systems 4.61. The PERFORMING PARTY shall have an accounting system which accounts for costs in accordance with generally accepted accounting standards or principles and complies with 40 CFR §31.20.and all applicable State law, regulations,and policies relating to accounting standards or principles. The PERFORMING PARTY must account for costs in a manner consistent with such standards or principles. This system shall provide for the identification, accumulation,and segregation of allowable and unallowable project costs among projects. Independent Financial Audit 4.62. The PERFORMING PARTY shall engage an independent financial auditor and conduct an annual audit of the PERFORMING PARTY'S financial statements in accordance with the Single Audit provisions of UGMS 4.62.1 All terms used in connection with audits in this Agreement shall have the definitions and meanings assigned in the Single Audit Circular in UGMS. 4.62.2 Provisions of the Single Audit Circular in Part IV of UGMS shall apply to all non-state government entities expending the funds of this grant, whether they are recipients, receiving the funds directly from the TCEQ, or are subrecipients, receiving the funds from a pass-through entity(a recipient or another subrecipient). In addition, the PERFORMING PARTY shall require the independent auditor to supply all audit work papers substantiating the work performed, at the request of the TCEQ or its designee. Exceptions in Audit 4.62.3 TCEQ is required to take action on exceptions noted an audit of PERFORMING PARTY's financial records. Therefore, PERFORMING PARTY agrees to submit to TCEQ a copy of the report any audit conducted of the PERFORMING PARTY's financial records within 20 days of receipt 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 Agreement performance. TCEQ may approve the statement or reject as insufficient. At the option of the TCEQ, the PERFORMING PARTY may revise and resubmit. If the statement is initially or subsequently rejected by the TCEQ with no further opportunity to revise, the TCEQ may suspend payments or may terminate the Agreement for cause and may undertake any other remedies or sanctions provided under this Agreement. Hazardous Substances, Waste Disposal and Manifests TCEQ SFG Agreement. Contract No.582-6-74392Page 25 of 59 Ma 61 4-1Qla� 4.63. PERFORMING PARTY, subcontractors and subgrantees must comply with all applicable Laws and Regulations. Conflict of Interest 4.64. PERFORMING PARTY shall notify TCEQ immediately upon discovery of any potential or actual conflict of interest. PERFORMING PARTY agrees that TCEQ has sole discretion to determine whether a conflict exists and that TCEQ may terminate the Agreement under Article 8 of the General Conditions; using the mechanism provided under section 8.2.1,on the grounds of actual or apparent conflict of interest. See paragraph 4.27 of these General Conditions concerning conflicts of interest with subgrantees, subcontractors and others. 4.64.1. Notice of Conflict oflnterest: The PERFORMING PARTY shall notify the TCEQ in writing of any actual, apparent, or potential conflict of interest regarding any individual performing or having access to information regarding the Work. As applicable, the notification shall include both organizational conflicts of interest and personal conflicts of interest. Any individual with a personal conflict of interest shall be disqualified from taking part in any way in the performance of any work that created the conflict of interest. Survival of Obligations: 4.65. All representations, indemnifications,warranties and guarantees made in, required by or given in accordance with the Contract Documents, as well as all continuing obligations indicated in the Contract Documents,will survive final payment, completion and acceptance of the Work and termination or completion of the Agreement. Interest and Unexpended Funds 4.66 Interest Earned on Grant Agreement Funds. If PERFORMING PARTY earns any interest from grant funds, then PERFORMING PARTY is required to handle interest earned from grant funds in the same manner and under the same conditions as the actual grant funds. This includes at a minimum, describing the expenditure of the interest funds in the plan and budget of PERFORMING PARTY submitted to the TCEQ, and reporting the actual use of that interest to the TCEQ on the financial reports required under the new grant agreement. Any interest earned under this Agreement must be expended within state fiscal year 2002. Any remaining interest earned under this Agreement which is not expended by August 31,2003, shall be returned to the TCEQ within one hundred and twenty(120)days following the end of fiscal year 2002 unless TCEQ authorizes an alternative. 4.67 Unexpended funds and Interest Remaining at Termination. The PERFORMING PARTY shall,not later than one hundred and twenty(120)days following termination of this Agreement, or thirty(30)days following submittal of the final Financial Status Report,whichever is earlier, return to the TCEQ any unexpended disbursements and/or reimbursements remaining in any accounts containing such funds. By not later than the same date, the PERFORMING PARTY,unless authorized otherwise in writing by the TCEQ, shall return to the TCEQ any remaining interest earned, in excess of one hundred dollars ($100). Amounts of earned interest less than one hundred dollars($100)may be retained by the PERFORMING PARTY for administration expenses. ARTICLE 5. TCEQ'S RESPONSIBILITIES 5.1. The Executive Director of the TCEQ will identify a person authorized to give direction to the PERFORMING PARTY, and act on behalf of the TCEQ. The person designated as the TCEQ Authorized Representative is identified on page 6 of this Agreement. TCEQ SFG Agreement. Contract No.582-6-74392Page 26 of 59 March 19,2005 5.2. The Executive Director of the TCEQ hereby authorizes such identified person to further delegate his or her authority as necessary, including a delegation of authority to a TCEQ employee. 5.3. The Contract Documents and the Uniform Grant Management Standards contain provisions that provide for withholding of payment as well as suspension and termination of the Agreement by the TCEQ. 5.4. The TCEQ shall not supervise, direct or have control or authority over, nor be responsible for, PERFORMING PARTY'S means, methods, techniques, sequences or procedures of performing the Work or the Safety precautions and programs incident thereto,or for any failure of PERFORMING PARTY to comply with Laws and Regulations applicable to the furnishing or performance of the Work. TCEQ will not be responsible for PERFORMING PARTY's failure to perform or furnish the Work in accordance with the Contract Documents. ARTICLE 6. CHANGES IN THE WORK 6.1. The Executive Director of the TCEQ, or his Project Representative may, at any time, by written notification to the PERFORMING PARTY, make changes to the scope of this Agreement or in the services or work to be performed. If such changes cause an increase or decrease in the PERFORMING PARTY's cost of, or time required for,performance of any services under this Agreement, whether or not changed by an order, an equitable adjustment shall be made and this Agreement shall be modified in writing accordingly. Any claim of the PERFORMING PARTY for adjustment under this clause must be asserted in writing within thirty(30) days after the date of receipt by the PERFORMING PARTY of the notification of change, unless the Executive Director of the TCEQ or his Project Representative grants a further period of time before the date of final payment under this Agreement. 6.2. An Amendment(Major Change) will include one or more of the following: 6.2.1. an increase or decrease in the amount of compensation to the PERFORMING PARTY; 6.2.2. an extension or shortening of the term of the Agreement; 6.2.3. a significant change in the scope of the Agreement or the services to be performed; or 6.2.4. any action that is beyond the authority of the Executive Director or the Project Representative of the TCEQ. 6.3. Implementation of a Major Change must be preceded by a formal written amendment to the Agreement. Requests for an Amendment must be in writing and be submitted to the TCEQ Project Representative prior to initiating changes. The amendment must contain a description of the proposed change. The amendment must be signed by persons authorized to bind each party in contract. Any amendment that will exceed the contractual authority of the Executive Director of the TCEQ also requires the consent, at Agenda, of a majority of Commissioners of the TCEQ. 6.4. Any proposed change that is not a Major Change(Amendment) may qualify as a Minor Change. A Minor Change shall require the written agreement of both Project Representatives, but shall not require a formal amendment to the Agreement. A copy of the authorization must be retained in the appropriate file of both the PERFORMING PARTY and the TCEQ. 6.5. If the PERFORMING PARTY requests a Minor Change and the Project Representative of the TCEQ does not approve the request as a Minor Change, then the change shall be deemed a Major Change and the PERFORMING PARTY may only obtain authorization to proceed in accordance with Section 6.3 of this Article. TCEQ SFG Agreement. Contract No.582^6-74392Page 27 of 59 March 19,2005 6.6. 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 the TCEQ. Applicable cost principles set forth in 40 CFR Part 31.22 contain additional requirements for prior approval of certain types of costs and apply to all grants and subgrants. Prior approval shall be required as follows: 6.6.1. Any change resulting in the need for additional funding; 6.6.2. 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 budget by ten percent(10%); 6.6.3. Transfers of funds allotted for training allowances. 6.6.4. Changes in key personnel in cases where specified in an application or grant award. 6.6.5. Subcontracting those activities which are central to the purposes of the award 6.7. Any request shall be in writing to TCEQ and TCEQ shall promptly review and approve or disapprove the request in writing. If such changes requires federal prior approval, TCEQ shall obtain that approval before approving the request Inclement Weather 6.8 A deadline set forth in the schedule of deliverables may be extended by a period equivalent to the time lost because of inclement weather that precludes work towards the completion of that deliverable. The PERFORMING PARTY shall maintain, and make available at the TCEQ's request, daily records adequately supporting its claim that inclement weather precluded work towards the completion of a deliverable. The PERFORMING PARTY shall make best attempts to recoup time lost due to inclement weather. The PERFORMING PARTY shall notify the TCEQ in writing(fax acceptable)prior to the deliverable deadline of the deadline extension pursuant to this Article. Extensions of a deliverable deadline pursuant to this Article will constitute a minor change. No extension under this paragraph shall extend the terms of this Agreement. The TCEQ reserves the right to reject, in good faith, within 30 days of receipt of the notification of the deadline extension, the PERFORMING PARTY'S claim that inclement weather precluded work towards the completion of a deliverable Waiver 6.9. Unless authorized in accordance with these Contract Documents (relating to Changes), or in writing by the TCEQ, no waiver of any obligation of the PERFORMING PARTY, the authorized waiver by the TCEQ of such obligation shall not constitute a continuing waiver of the obligation. No waiver by the TCEQ Executive Director shall constitute a waiver of the TCEQ's subsequent right to demand and receive performance within a reasonable time to be specified by the TCEQ, in accordance with all provisions of this Agreement. TCEQ SFG Agreement. Contract No.582-6-74392Page 28 of 59 March 19,2005 ARTICLE 7. PAYMENTS TO PERFORMING PARTY Payment based on Reimbursement of Actual Cost of Performance 7.1 Allowable Costs. Payments from the TCEQ to the PERFORMING PARTY are for reimbursement of PERFORMING PARTY's actual allowable costs of PERFORMING PARTY's performance. Actual costs include reasonable and necessary direct and indirect costs. Allowable costs are those deemed allowable by the TCEQ in accordance with the requirements of this Agreement and the following which are hereby incorporated into this Agreement: 61. Uniform Grant Management Standards prepared and promulgated by the office of the Governor of Texas; 62. Rules and guidelines of the office of the Governor of Texas 63. Allowable Expenditure Guidelines of the TCEQ 64. Applicable rules and policies of the TCEQ 65. Applicable State law 66. For funds received from a federal government source,applicable federal regulations and law. Payments by TCEQ 7.2 PERFORMING PARTY must request payment by submitting one copy of an itemized invoice in a format provided by the TCEQ , a properly completed TCEQ PURCHASE VOUCHER, and such other forms as the TCEQ requires. PERFORMING PARTY will also submit any supporting documentation required by TCEQ. TCEQ will review the submittal and approve or reject the request for payment. PERFORMING PARTY must make any revisions required by the TCEQ in order to gain approval. TCEQ is not obligated to make payment until the request for payment is approved by TCEQ. Fixed-Amount Cost Reimbursement 7.3 In accordance with Chapter 2261 Texas Government Code, all payments by TCEQ to PERFORMING PARTY are based on reimbursement of PERFORMING PARTY's actual costs incurred in performing the Work. If this Agreement utilizes a pre-determined fixed-amount of reimbursement, this amount is determined on the basis of an estimate of PERFORMING PARTY's actual costs of performing one or more of the following: 1)specified service(s) (tasks); or 2) specified service(s) (tasks) during a specified time period; or 3)providing specified good(s), or product. PERFORMING PARTY has provided the estimate of costs in its Fiscal Analysis Package(Form B-5) for this grant. The TCEQ relies on the accuracy of that estimate to determine the fixed-amount of reimbursement. PERFORMING PARTY will provide supporting evidence to establish the accuracy of its estimate of actual costs. PERFORMING PARTY will monitor its actual costs of performance and provide TCEQ with a report annually to confirm that the original estimate of costs remains accurate. If in fact that estimate exceeds the actual costs of performance,TCEQ may recover the excess amount paid by 1)rejecting all or part of any reimbursement requests by PERFORMING PARTY and retaining amounts sufficient for repayment; or 2)by demanding and receiving repayment of the amount from PERFORMING PARTY. TCEQ may also use any other remedies and sanctions available under this Agreement. Contractual Costs 7.4 PERFORMING PARTY's contractual costs must comply with allowable costs requirements. PERFORMING PARTIES which are governmental entities must engage in contractor selection on a competitive basis in accordance with their established policies. If PERFORMING PARTY has no competitive procurement policy or is a private entity, PERFORMING PARTY must generally select contractors by evaluation and comparison of price, quality of goods or services and past performance. TCEQ SFG Agreement. Contract No.582-6-74392Page 29 of 59 March 19,2005 Comparison of PERFORMING PARTY's Costs 7.5 In accordance with Section 2259.203 Texas Government Code, the TCEQ is required to perform a comparison of costs reimbursed under this Agreement. PERFORMING PARTY will provide a report to verify that its costs of performance are reasonably comparable to prices generally charged for similar goods or services. Indirect Cost Rate 7.6 If indirect costs are to be paid under this Agreement, PERFORMING PARTY shall also submit an indirect cost proposal and a copy of an approval document reflecting that the proposed indirect cost rate has been approved by a federal agency or a federally certified State or local agency. Duplication of Effort Prohibited 7.7 In addition to the funds provided to PERFORMING PARTY under this Grant Agreement, the TCEQ may provide funds to PERFORMING PARTY under a separate Grant Agreement(so that funds of two or more TCEQ grants are funding a single activity of 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 7.8. All requests for reimbursement under this Agreement shall be submitted in accordance with the requirements set forth in this Article. 7.9 On a quarterly basis,within thirty(30)days after the end of a quarter, the PERFORMING PARTY shall submit one copy of an itemized invoice in a format provided by the TCEQ and a properly completed TCEQ PURCHASE VOUCHER, in order to obtain payment for tasks completed under this Agreement. Completed request for reimbursement packages should be mailed or delivered to the TCEQ Local Program Contract Manager identified in paragraph 9.8 of ARTICLE 9 of this Agreement(related to Notice). Concurrent with the submittal to the Local Program Contract Manager, a copy of the same documents shall be submitted to the TCEQ Project Regional Representative identified in paragraph 9.8 of ARTICLE 9 of this Agreement(related to Notice). 7.10 The TCEQ Local Program Contract Manager will review the invoices and purchase vouchers for requests for payment for services performed as identified in Section 7.8 of this ARTICLE and as required in Scope of Work Section,and will provide written documentation to the PERFORMING PARTY and the TCEQ Project Regional Representative that the requests are acceptable or will provide a written explanation of why the requests or the work identified in the requests is unacceptable. If the requests do not satisfactorily demon- strate the accomplishment of the required tasks, the TCEQ Local Program Contract Manager and TCEQ Project Regional Representative will not authorize payment on the accompanying voucher until such time as deficiencies have been corrected. 7.11. TCEQ is not obligated to make payment until the request for reimbursement is approved by TCEQ. Further, the TCEQ reserves the right to suspend payment for any incomplete, inconsistent or incorrect services or reports as required by this Agreement until the PERFORMING PARTY satisfactorily completes,revises, or corrects such services or reports. Closeout 7.12 When it is determined that all applicable administrative activities and all required work of the grant have been completed, the TCEQ shall close out the award. Within thirty(30) days after the expiration or TCEQ SFG Agreement. Contract No.582-6-74392Page 30 of 59 March 19,2005 termination of the grant, the PERFORMING PARTY must submit all financial, performance, and other reports required as a condition of the grant. These reports may include,but are not limited to: 7.12.1 All performance or progress reports required by this Agreement. 7.12.2 Financial Status Report 7.12.3 Final request for payment 7.12.4 Invention disclosure(if applicable). 7.12.5 State-owned property report(if applicable). 7.13 In accordance with the Uniform Grant Management Standards, a 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 the TCEQ of property no longer needed. 7.14 Within ninety(90) days of receipt of the reports set forth above, the TCEQ will make upward or downward adjustments to the allowable costs. The TCEQ agency will make prompt payment to the PERFORMING PARTY for allowable reimbursable costs. Closeout of the grant does not affect: 7.14.1 The TCEQ's right to disallow costs and recover funds on the basis of a later audit or other review; 7.14.2 The PERFORMING PARTY'S obligation to return any funds due as a result of later refunds, corrections, or other transactions; 7.14.3 Records retention as required herein; 7.14.4 Property management requirements set forth herein; and 7.14.5 Audit requirements set forth herein. 7.15 The PERFORMING PARTY must immediately refund to the TCEQ any balance of unobligated (unencumbered) cash advanced that is not authorized to be retained for use on other grant. 7.16 Any funds paid to a PERFORMING PARTY in excess of the amount to which the PERFORMING PARTY is finally determined to be entitled under the terms of the award constitute a debt to the TCEQ. If not paid within a reasonable period after demand, the TCEQ may reduce the debt by: 7.16.1 Making an administrative offset against other requests for reimbursement; 7.16.2 Withholding advance payments otherwise due to the PERFORMING PARTY, or 7.16.3 other action permitted by law. 7.17 Except where otherwise provided by statutes or regulations, the TCEQ will charge interest on an overdue debt in accordance with the Uniform.Grant Management Standards. The date from which interest is computed is not extended by litigation or the filing of any form of appeal. 7.18 Upon satisfactory completion of the work performed hereunder and prior to final payment under this Agreement for such work, or prior to settlement upon termination of this Agreement and as a condition thereto, the PERFORMING PARTY shall execute and deliver to the TCEQ a release of all claims for payment of any funds due and payable by the TCEQ pursuant to the terms of this Agreement. Such release shall be conditioned upon payment of all fund amounts due and payable to PERFORMING PARTY under this Agreement, and limited to only those claims which reasonably could have been foreseen at the time the release is executed. PERFORMING PARTY reserves the right to identify claims to be excluded thereby. 7.19 The PERFORMING PARTY shall provide to the TCEQ documentation showing all tasks that have been completed by the PERFORMING PARTY. 7.20 Final Payment under this Agreement or settlement upon termination shall not constitute a waiver of the TCEQ's claims against the PERFORMING PARTY. Cost Provisions Applying Solely to Regional Planning Commissions and Councils of Government TCEQ SFG Agreement. Contract No.582-6-74392Page 31 of 59 March 19,2005 7.21 The provisions of this Paragraph and Subparagraphs apply solely to Performing Parties, Subgrantees and other Recipients of the funds under this Grant Agreement defined as a"Regional Planning Commission"as defined in Chapter 391 of the Texas Local Government Code,which includes, among others, a Council of Government. In the event of conflict with other provisions of the Agreement Documents, the provisions of this ARTICLE prevail. 7.21.1 PERFORMING PARTY will comply with all requirements and rules to be adopted by the Office of the Governor of Texas pursuant to Section 391.009 Texas Local Government Code relating to the operation and oversight of Regional Planning Commissions. These rules are due for adoption on or about January 1,2000. If those rules conflict with provisions of the Agreement Documents,the rules will prevail. 7.21.2 PERFORMING PARTY will comply with the requirement of Chapter 391 Texas Local Government Code by adopting competitive procurement methods equivalent to Chapter 252 Texas Local Government Code for the purchase of all goods and services. PERFORMING PARTY will notify the TCEQ upon adoption of these methods. 7.21.3 PERFORMING PARTY will comply with all other requirements of Chapter 391 Texas Local Government Code with special attention to the following restrictions on the use of funds provided under this Agreement: 7.21.3.1 Contracts with or employment of lobbyists 7.21.3.2 Lobbying activities by employees 7.21.3.3 Auto allowance of members of the governing body 7.21.3.4 Travel reimbursements at the state rate 7.21.3.5 Alcoholic beverages and entertainment 7.21.3.6 Indirect cost rate limited to 15%of total direct expenditures 7.21.3.7 Classification salary schedules and appropriate exempt positions. 7.22 If indirect costs are to be paid under this Agreement,PERFORMING PARTY shall also submit an indirect cost proposal and a copy of an approval document reflecting that the proposed indirect cost rate and an analysis of the determination for the proposed indirect cost rate. ARTICLE 8. TERMINATION 8.1. This Agreement shall terminate upon full performance of all requirements contained herein, unless extended in writing. 8.2. This Agreement may be terminated in whole or in part by either party in the event of a material failure to comply with the Agreement terms, in accordance with the Uniform Grant Management Standards: Provided that no such termination may be effected unless the other party is given 8.2.1. not less than ten (10)days written notice(delivered by certified mail,return receipt requested) of intent to terminate, and 8.2.2. an opportunity for consultation with the terminating party prior to termination. 8.3. This Agreement may be terminated in whole or in part in writing by the TCEQ for its convenience, in accordance with the Uniform Grant Management Standards: Provided that the PERFORMING PARTY is given not less than ten(10) days written notice (delivered by certified mail,return receipt requested) of intent to terminate. Circumstances in which the TCEQ may terminate for convenience include,but are not limited to,the Texas Legislature's withdrawal of appropriations for this project. 8.4. If the TCEQ terminates the Agreement for a material failure to comply with the Agreement terms under Section 8.2 or the TCEQ terminates the Agreement for convenience under Section 8.3,an adjustment in the Agreement amount shall be made in accordance with the Uniform Grant Management Standards. TCEQ SFG Agreement. Contract No.582-6-74392Page 32 of 59 _ �n � L' , 8.5. Upon receipt of a termination action pursuant to Sections 8.2 or 8.3 above, the PERFORMING PARTY shall: 8.5.1 promptly discontinue all services affected (unless the notice directs otherwise), and 8.5.2 deliver or otherwise make available to the TCEQ all data, drawings, specifications, reports, estimates, summaries, and such other information and materials as may have been accumulated by the PERFORMING PARTY in performing this Agreement, whether completed or in the process. 8.6. If, after termination for failure of the PERFORMING PARTY to fulfill contractual obligations, it is determined that the PERFORMING PARTY had not so failed, the termination shall be deemed to have been effected for the convenience of the TCEQ. 8.7. If any delay or failure of performance is caused by a force majeure event as described in the force majeure Article of this Agreement, either party may in its sole discretion terminate this Agreement in whole or part pursuant to this Article. Force Majeure 8.8. A force majeure event shall be defined to include decrees of or restraints by a governmental instrumentality, acts of God(except that rain, wind, flood or other natural phenomena normally expected for the locality shall not be construed as an act of God),work stoppages due to labor disputes or strikes, fires, explosions, epidemics,riots,war,rebellion, and sabotage. 8.9. Provided this Agreement has not been terminated, and subject to the conditions below, if a delay or failure of performance by either party results from the occurrence of a force majeure event, the delay shall be excused and the time fixed for completion of the work extended by a period equivalent to the time lost because of the event if, and to the extent that: 8.9.1. the delay or failure was beyond the control of the party affected and not due to its fault or negligence; and 8.9.2. the delay or failure was not extended because of the affected party's failure to use all diligence to overcome the obstacle or to resume performance immediately after the obstacle was overcome. 8.10. No time extension shall be granted under this Article unless the party seeking relief has notified the other in writing within a reasonable time after commencement of the event, of the anticipated length and cause of the delay, the measures taken or to be taken to minimize the delay, and the timetable by which the PERFORMING PARTY intends to implement these measures. The party seeking relief shall also give written notice of the ending of the event within a reasonable time after the event has ended. 8.11. The TCEQ shall be responsible for costs related to a force majeure event only if they are incurred by the PERFORMING PARTY after the prior written request by the TCEQ Project Representative, to incur such costs in connection with any force majeure event. Neither the TCEQ nor the PERFORMING PARTY shall have, and both hereby waive, any claim whatever for any damages resulting from delays caused by force majeure events. ARTICLE 9. MISCELLANEOUS Computation of Times: TCEQ SFG Agreement. Contract No.582-6-74392Page 33 of 59 March 19,2005 TEN. 9.1. When any period of time is referred to in the Contract Documents by days, it will be computed to exclude the first and include the last day of such period. If the last day of any such period falls on a Saturday or Sunday or on a federal holiday, such day will be omitted from the computation. 9.2. A calendar day of twenty-four(24)hours measured from midnight to the next midnight will constitute a day. 9.3 A working day is any day that both the TCEQ and the PERFORMING PARTY are open for business. Notice of Claim: 9.4. Should TCEQ or PERFORMING PARTY suffer injury or damage to person or property because of any error, omission or act of the other party or of any of the other party's employees or agents or others for whose acts the other party is legally liable, claim will be made in writing to the other party within a reasonable time of the first observance of such injury or damage. The provisions of this paragraph shall not be construed as a substitute for or a waiver of the provisions of any applicable statute of limitations or repose or sovereign immunity. Professional Fees and Court Costs Included. 9.5. Whenever reference is made to "claims, costs, losses, and damages," it shall include in each case, but not be limited to, all fees and charges of TCEQ,architects, attorneys and other professionals and all court or other dispute resolution costs. Acknowledgment of Financial Support 9.6. The PERFORMING PARTY shall acknowledge the financial support of the TCEQ whenever work funded, in whole or part,by this Agreement is publicized or reported in news media or publications. All reports and other documents completed as a part of this Agreement, other than documents prepared exclusively for internal use within the TCEQ, shall carry the following notation on the front cover or title page: PREPARED IN COOPERATION WITH THE TEXAS COMMISSION ON ENVIRONMENTAL QUALITY The preparation of this report was financed through grants from the State of Texas through the Texas Commission on Environmental Quality ARTICLE 10. INSURANCE,LIABILITY AND INDEMNIFICATION 10.1 To the extent permitted bylaw, the PERFORMING PARTY agrees to indemnify and hold harmless the TCEQ and all of its employees and officers against and from any and all liability, loss, or damage arising out of the performance of this Agreement. To the extent that any activity conducted by PERFORMING PARTY with funds provided under this Agreement entails significant risk of loss or injury to individuals and third parties or their property, the PERFORMING PARTY will secure and maintain insurance sufficient to protect PERFORMING PARTY and the TCEQ, and its employees and officers against claims arising from the conduct of such activities. 10.2 In all subcontracts and subgrants,PERFORMING PARTY shall require its subcontractors and subgrantees to obtain and maintain, at their own expense, insurance as will protect the subcontractor, the PERFORMING PARTY and the TCEQ, its employees, and its officers from all such claims arising from the TCEQ SFG Agreement. Contract No.582-6-74392Page 34 of 59 March 19,2005 performance by the PERFORMING PARTY's subcontractors or subcontractors' employees resulting from the functions and services required under this Agreement, including workers compensation in accordance with Texas statutory requirements. 10.3. PERFORMING PARTY will purchase and maintain Directors and Officers insurance or equivalent insurance coverage or other financial assurance sufficient to protect the interests of the state in the event of an actionable act or omission by a director or officer of the PERFORMING PARTY. Self insurance may satisfy the requirements of this section if the PERFORMING PARTY is a home rule municipality and the PERFORMING PARTY's self insurance covers acts or omissions of officers or directors. ARTICLE 11. STANDARDS FOR PERFORMING PARTY'S PERFORMANCE 11.1 In accordance with Chapter 2261 Texas Government Code, the TCEQ is required to monitor PERFORMING PARTY's performance under this Agreement. Therefore, PERFORMING PARTY agrees that the following are appropriate standards for PERFORMING PARTY's performance during the Agreement: 11.1.1. Timeliness of Work. Standard: Work is provided on schedule. 11.1.2. Quality of Work. Standard: PERFORMING PARTY's Work conforms to the requirements of the Agreement and is technically accurate. 11.1.3. Subcontract Activities. Standard: PERFORMING PARTY's subcontract and subgrant activities comply with all TCEQ contract requirements regarding subcontracts especially competitive procurement methods for goods and services,use of required subcontract provisions, and monitoring performance of subcontractors and subgrantees. 11.1.4. Administrative and Financial Operations. Standard: PERFORMING PARTY's administrative and financial operations comply with all obligations in law and in the contract especially record-keeping, reimbursement requests, audits, allowable costs,and restricted expenditures. Performance Measures 11.2. TCEQ will monitor PERFORMING PARTY 's performance and evaluate the level of compliance with the standards utilizing the following performance measures: Exemplary: DELETED Satisfactory: PERFORMING PARTY generally complied with the standard consistently; occasional deficiencies may have occurred which were corrected on a timely basis. Unsatisfactory: Significant deficiencies have occurred, or PERFORMING PARTY frequently or substantially failed to comply with the standard. Agreement Monitoring and Evaluation Report 11.3. In accordance with Chapter 2261 Texas Government Code,TCEQ will monitor and evaluate PERFORMING PARTY's performance utilizing the performance standards and performance measures set out in this Agreement. TCEQ will prepare a cumulative written report of the evaluation upon termination or expiration of the Agreement and also as frequently as determined appropriate by the TCEQ. 11.3.1. Within 30 days of receipt of a Periodic or Annual Performance Evaluation, the PERFORMING PARTY shall provide information to the TCEQ concerning action(s) that will be taken TCEQ SFG Agreement. Contract No.582-6-74392Page 35 of 59 March 19,2005 to correct any deficiencies noted in the End-of-Year Assessment report. This response will include a description of the nature and extent of each deficiencies' impact on data quality, the specific corrective actions taken or planned to address the deficiencies,actions taken or planned to prevent recurrence, a schedule to bring any deficiencies in the ambient air monitoring program up to TCEQ standards, the means to be used to document completion of each action, and it will identify resources to accomplish the necessary corrections. 11.3.2. Within 90 days after receipt of TCEQ comments or as recommended by the TCEQ, the PERFORMING PARTY shall correct deficiencies and report to the TCEQ any deficiencies that cannot be corrected within the allocated time-frame. If the deficiencies are not corrected to the satisfaction of the TCEQ, in addition to other rights the TCEQ may have against the PERFORMING PARTY, it may result in the TCEQ withholding payment to the PERFORMING PARTY for future agreement activities and/or in the PERFORMING PARTY becoming ineligible for future funding. Resolution Process far Disallowed/Questioned Costs: 11.3.3. The PERFORMING PARTY has the right to dispute any such determination by the TCEQ, utilizing the process identified in Article 12, below. Schedule of Remedies available to the TCEQ 11. 4. In accordance with Chapter 2261 Texas Government Code, the following Schedule of Remedies applies to this Agreement in the event of substandard performance or other failure to conform to the requirements of the Agreement or applicable law. 11.4.1. Reject substandard performance and request corrections without charge to the TCEQ. 11.4.2. Issue notice of substandard performance or other non-conforming act or omission. 11.4.3. Request and receive return of any over payments or inappropriate payments. 11.4.4. Reject reimbursement request and suspend payment pending accepted revision of substandard performance or non-conformity. 11.4.5. Suspend all or part of the Work and/or payments pending accepted revision of substandard performance or non-conformity. 11.4.6. Reject reimbursement request and withhold all or partial payments. Funds may be retained by the TCEQ for recovery of administrative costs or returned to funding source as authorized by agreements with the funding source and by state or federal law. 11.4.7. Terminate the Agreement, demand and receive: return of all equipment purchased of contract funds, return of all unexpended funds, and repayment of expended funds. 11.4.8 Withhold payment to the PERFORMING PARTY for future air program activities and/or result in the PERFORMING PARTY becoming ineligible for future funding. Sanctions for Substandard Performance 11.5. If the TCEQ evaluation finds PERFORMING PARTY's performance to be substandard, TCEQ may provide its written evaluation report to other governmental entities at any time. TCEQ may also provide its written evaluation report to the public as authorized by law. TCEQ SFG Agreement. Contract No.582-6-74392Page 36 of 59 March 19,2005 Cumulative Remedies 11.6. TCEQ may avail itself of any remedy or sanction provided in this Agreement or in law to recover any losses rising from or caused by the PERFORMING PARTY's substandard performance or any non-conformity with the Agreement or the law. The remedies and sanctions available to TCEQ in this Agreement shall not limit the remedies available to the TCEQ under law. 11.7. The duties and obligations imposed by these General Conditions and the rights and remedies available hereunder to the parties hereto, and, in particular but without limitation,the Schedule of Remedies, obligations imposed upon PERFORMING PARTY by these General Conditions, and all other rights and remedies available to TCEQ thereunder, are in addition to,and are not to be construed in any way as a limitation of, any rights and remedies available to any or all of them which are otherwise imposed or available,by Laws or Regulations,by special warranty or guarantee or by other provisions of the Contract Documents, and the provisions of this paragraph will be as effective as if repeated specifically in the Contract Documents in connection with each particular duty, obligation,right and remedy to which they apply. ARTICLE 12. DISPUTE RESOLUTION Alternative Dispute Resolution 12.1 The dispute resolution process provided for in Chapter 2260 of the Texas Government Code and applicable rules of the TCEQ must be used by the Contractor to attempt to resolve all disputes arising under this Agreement. TCEQ SFG Agreement. Contract No.582-6-74392Page 37 of 59 March 19,2005 ff f , WORTH, TEX, SCOPE OF WORK SECTION The PERFORMING PARTY shall perform the following tasks by the deadlines indicated in this Scope of Work section. Only work related to tasks listed in the Notice to Proceed for which the funding level is listed as greater than zero are subject to the requirements of this Scope of Work section. 1. Grants The PERFORMING PARTY shall complete all the Work described in this Scope of Work section and shall fully comply with all requirements of the fiscal year 2006—2007 General Appropriations Act from which it receives funds during the term of this Agreement. 2. Administrative Regulations 2.1 Changes to Exhibits. The TCEQ may update,add new, or remove any or all of the exhibits referenced in this Agreement as either a minor or major amendment to this Agreement, depending upon the nature of the change. 2.2 Changes to Guidance Documents. The TCEQ may update, add new, or remove any or all of the guidance documents referenced in this Agreement. The TCEQ shall promptly notify the PERFORMING PARTY in writing of any changes to the guidance documents,and will attach a copy of the updated documents, except for guidance manuals available only electronically. In the case of guidance available only electronically, the communication from the TCEQ to the PERFORMING PARTY will include an electronic address of the electronic document. The PERFORMING PARTY shall implement updated editions of any such documents within the time frames specified within each of the documents or within the communication describing the document change or within thirty days of receipt, whichever comes first. If the PERFORMING PARTY does not agree to comply with updated editions of these documents, the PERFORMING PARTY shall have the option of declining to perform a particular task(as task is defined by this Scope of Work)which requires use of these documents. If the PERFORMING PARTY declines to perform all or part of a task, it will not receive any payment for that task. 2.3 Fiscal Analysis of Fixed Payment. Within thirty(30)days after the beginning of each fiscal year of this Agreement term, the PERFORMING PARTY shall submit to the TCEQ its current Fiscal Analysis Package (Form B-5). The analysis shall include the following: 2.3.1 An analysis of funding expenditures shall be submitted on Form B-5, through completion of the Table of Estimated Funding, the Budget Information Work Sheet: Sections A—E, and the Staffing List Information Work Sheet. 2.3.2 The PERFORMING PARTY must demonstrate how it will provide matching funds for its share of the State Compliance Agreement funds as required by Article 3, Agreement Amount,paragraph 3.2 of this Agreement. 2.4 Requests for Payment. On a quarterly basis from the beginning of the Agreement Term, the PERFORMING PARTY shall submit requests for payment to the TCEQ Local Program Contract Manager with a copy to the Local Program Project Regional Representative in accordance with Article 7, Payments to Performing Party of the General Conditions of this TCEQ State Funded Grant Agreement. 2.5 Reserved. 2.6 Financial Status Report. By December 1,2006,the PERFORMING PARTY shall submit a TCEQ SFG Agreement. Contract No.582-6-74392Page 38 of 59 March 19,2005 final Financial Status Report(FSR) (Form B-3) for this Agreement for fiscal year 2005. By December 1, 2007, the PERFORMING PARTY shall submit a final Financial Status Report (FSR) (Form B-3) for this Agreement for fiscal year 2006. With each FSR, the PERFORMING PARTY shall submit a list of property purchased wholly or partially with funds from this Agreement and having a unit acquisition cost of$5000 or more. The FSR shall satisfy state financial reporting requirements for this Agreement. The requirements of this paragraph shall survive the termination of this Agreement. 2.7 A copy of the annual independent financial audit required by the Uniform Grant Management Standards shall be provided by the PERFORMING PARTY to the TCEQ Contract Manager within nine(9) months after the end of the PERFORMING PARTY's fiscal year for each fiscal year of the contract period. 2.8 The PERFORMING PARTY shall implement and maintain internal quality control procedures to ensure completeness and accuracy of all Agreement deliverables. 2.9 Annual Work Plan Development. Work Plans shall be developed and a consensus shall be reached on the Work Plan through either a Major or Minor Amendment to the Agreement by August 1, 2006 for fiscal year 2007. The developed Work Plan shall be comprised of work consistent with the direction and intent of the Compliance Monitoring Strategy for the Air and/or Stage H programs. 3. Performance Evaluations of PERFORMING PARTY Consistent with Article 11 of the General Provisions of this Agreement(related to Standards for Performing PARTY'S PERFORMANCE) the TCEQ will evaluate the PERFORMING PARTY'S work. 3.1 Ongoing work product evaluations. The TCEQ will make evaluations of PERFORMING PARTY'S work in an ongoing manner throughout the Agreement term. Evaluations will be conducted of PERFORMING PARTY'S work product utilizing standardized procedures and will typically be conducted by one or more persons designated with that task by the TCEQ Project Regional Representative. At least two of the ongoing evaluations shall be conducted in conjunction with oversight investigations. An oversight investigation may be either a joint or follow-up investigation. A joint investigation is defined as an investigation in which a TCEQ representative accompanies the PERFORMING PARTY during an investigation for the primary purpose of PERFORMING PARTY program oversight. A follow-up investigation is an investigation conducted by a TCEQ representative for the primary purpose of PERFORMING PARTY program oversight at a site where the PERFORMING PARTY had recently completed an investigation. The TCEQ will provide written assessments of each work product evaluated, including oversight investigation results. Written work product evaluations will be provided to the PERFORMING PARTY'S representative responsible for the day to day implementation of the program by the 7"working day of each month for work product evaluations conducted in the preceding month, or at another mutually agreed upon time during the month. 3.2 Periodic program evaluation meetings. The intention of periodic program evaluations is to ensure ongoing program effectiveness. Evaluations of the PERFORMING PARTY are based on both individual work product evaluations and trends identified through work product evaluations as well as performance under the various activities TCEQ SFG Agreement. Contract No.582-6-74392Page 39 of 59 Mar IM required under the Agreement. Program evaluation meetings will be held at least quarterly during the course of this Agreement term. The meetings will include at least the TCEQ Project Regional Representative or his/her designee, the TCEQ Air and Waste Section Managers and the PERFORMING PARTY'S representative responsible for day to day program oversight. Standing topics for each meeting should include at least the following topics: updates on progress made on the work plan, updates on program implementation issues, work plan development for future years, discussions on progress implementing corrective action plans, if any, and discussions related to the various work product evaluations conducted by the TCEQ. If the TCEQ work product evaluations conducted since the previous quarterly meetings result in the TCEQ identifying a trend toward unsatisfactory performance, the discussions will include the area of concern. The TCEQ Project Regional Representative designee will document the meetings and will provide meeting minutes to the PERFORMING PARTY'S representative within three calendar weeks of the meeting. 3.3 Unsatisfactory Performance. If after discussions with the PERFORMING PARTY during the quarterly program evaluation meeting, the TCEQ Project Regional Representative determines that a structural or procedural problem is the likely source of deficiencies, the TCEQ Project Regional Representative will document this issue and notify the PERFORMING PARTY in writing of the suspected program deficiency within 30 days. The PERFORMING PARTY will provide a written assessment of the situation to the TCEQ within 30 days of receiving the TCEQ notification. The PERFORMING PARTY will provide either an explanation of why no program deficiency should be found or a corrective action plan where one is warranted. Any corrective action plan shall include a statement of the problem being addressed by the corrective action plan, the identification of measures implemented to correct the specific problems identified, structural or procedural measures that have been or will be taken to preclude similar problems from recurring, a time line for implementation of such measures, and milestones and measures to be used to demonstrate improvement. The plan does not require approval by the TCEQ and should be implemented immediately by the PERFORMING PARTY. 3.4 Correction to unsatisfactory performance. The efficacy of any plans submitted under paragraph 3.3 of this section will be assessed through subsequent periodic work product evaluations and demonstrations made by the PERFORMING PARTY concerning progress made to correct the underlying cause of the unsatisfactory performance. Demonstrations concerning corrective action plans shall be provided to the TCEQ by the PERFORMING PARTY during the periodic program evaluation meetings unless the TCEQ specifically agrees to an alternative schedule or venue of demonstrations. 3.5 Sanctions for unsatisfactory performance. The TCEQ may avail itself of any remedies identified in Article 11 of the General Conditions of this Agreement after the TCEQ makes a written finding to the PERFORMING PARTY of unsatisfactory performance. 3.6 Performance Evaluation addressing performance for work approved in CCEDS in Fiscal Year 2005. 3.6.1 If the TCEQ identifies deficiencies in the air program compliance and enforcement TCEQ SFG Agreement. Contract No.582-6-74392Page 40 of 59 March 19,2005 activities during the Fiscal Year 2005 Annual Performance Evaluation required by a previous Agreement between the TCEQ and the PERFORMING PARTY, the PERFORMING PARTY shall, within 90 days after receipt of TCEQ comments or as recommended by the TCEQ, correct any similar deficiencies in the work performed under that Agreement and report to the TCEQ any deficiencies that cannot be corrected within the 90 days. 3.7 Annual Performance Evaluation addressing work approved in CCEDS in each fiscal year of this agreement. 3.7.1 By the first day of August of each fiscal year covered in this Agreement, the TCEQ will provide an Annual Performance Evaluation Questionnaire to be completed by the PERFORMING PARTY. The response to the Questionnaire will be used as the basis for the on-site evaluation of air program compliance and enforcement activities which have occurred during the prior fiscal year. 3.7.2 By the 15`h day of September following the receipt of the Questionnaire identified in paragraph 3.7.1 above, the TCEQ will provide a schedule for the Annual Performance Evaluation. 3.7.3 By the first day of October following the receipt of the Questionnaire identified in paragraph 3.7.1 above, the PERFORMING PARTY shall provide a written response to the Annual Performance Evaluation Questionnaire to the TCEQ. 3.7.4 By the first day of December following the receipt of the Questionnaire identified in paragraph 3.7.1 above, the TCEQ will complete the on-site evaluation of the air program compliance and enforcement activities. The on-site review will include discussion of preliminary findings and recommendations. 3.7.5 Within forty-five (45) days of completing the on-site Annual Performance Evaluation, the TCEQ will provide a written report containing the findings of the on-site Annual Performance Evaluation to the PERFORMING PARTY. 3.7.6 Within forty-five (45) days of receipt of the Annual Performance Evaluation Report covering PERFORMING PARTY's performance for fiscal year 2006, the PERFORMING PARTY shall provide information to the TCEQ in writing concerning action(s) that will be taken or have been taken to correct any deficiencies noted in the Annual Performance Evaluation report, if applicable. This response will include a schedule to bring any deficient areas up to TCEQ standards and will identify resources to accomplish necessary corrections. 3.7.7 Within ninety(90) days after receipt of the Annual Performance Evaluation report provided by the TCEQ the PERFORMING PARTY shall correct deficiencies and report to the TCEQ any deficiencies that cannot be corrected within the 90 days. 4. Requirements Applicable to All Affected Work Activities. TCEQ SFG Agreement. Contract No.582-6-74392Page 41 of 59 March 19,112005 �c L C2 K The following requirements apply to each Work Plan task(activity) that is listed in paragraph 5 of this Scope of Work section. 4.1 Payment. The PERFORMING PARTY shall receive the dollar amount specified and agreed upon in this Agreement for each completed Work Plan task listed in paragraph 5 of this Scope of Work section. 4.1.1 No additional compensation will be paid for any Work Plan tasks not included in this Scope of Work section or in excess of the number specified in the Work Plan unless the Work Plan is modified by mutual agreement of both parties. 4.2 Responsibility of PERFORMING PARTY: A complete work task under this Agreement shall include all of the general requirements applicable to all affected work task types as listed in this paragraph and all the requirements specific for each work task type listed paragraph 5 of this Scope of Work section. In order to receive the compensation set out in Article 5 of this Agreement, incorporated herein as the"Bases For Calculating Payment,"the PERFORMING PARTY must fulfill all of the following subparagraphs, including investigation and enforcement or task handling, direct data entry, and training for each of the relevant work types listed in paragraph 5 of this Scope of Work section: 4.2.1 Program: PERFORMING PARTY shall implement and conduct a program for each task type identified in paragraph 5 of this Scope of Work section and conduct the relevant activities related to those paragraphs. In the process of conducting work under this Agreement, the PERFORMING PARTY shall comply with the requirements of the most recent applicable version of the following guidance documents and exhibits: Guidance Documents: • Air Program Investigator's Manual,revision approved January 6, 2004. Available from the T-net at: http://ntcfprd/fod/index.cfm?fuseaction=layouts.airinv • Open Records Decision No. 391, dated July 26, 1983 • TCEQ Records Management, Chapter 10. 1 1.http://home.tceg.state.tx.us/intemal/admin/it/recordsmgint/recordsmanua1.htmI • Criteria for Initiation of Formal Enforcement Action for Air, Water, and Waste Violations, Enforcement Initiation Criteria, Field Operations Division Standard Operating Procedures (FODSOP) Appendix 3, rev 9.0. Available electronically at: http://ntcfdev l/fod/index.cfm?fuseaction=layouts.response • Enforcement Standard Operating Procedures(Enforcement SOP)rev. November 8, 2004. Available as hard copy and as electronic copy on the T-Net at: h ttp://home.tceq.state.tx.us/cgi-bin/intemal/en forcement/I istofapp.pl • Field Operations Division Standard Operating Procedures (FODSOP), rev August 1, 2004. Available as hard copy and as electronic copy from the T-Net at: http://ntcfdevI/fod/index.cfin?fuseaction=Iayouts.divprotocoIs • Exceptions Report Guidance, rev 1.0. Available as hard copy and electronically from TCEQ SFG Agreement. Contract No.582-6-74392Page 42 of 59 March 19,2005 the T-Net at: http://home.tceq.state.tx.us/intemal/enforcement/air_inspect/index.htm • "Format for Air Investigations Reports" memorandum, November 18, 2004. Available from the T-net at: http://ntcfprd/fod/Documents/ee-report-format-e-mai1.pdf • Comprehensive Compliance and Enforcement Data System(CCEDS)User Manual. Available via the CCEDS application or electronically from the T-Net at: http://home.tceq.state.tx.us/intemal/enforcement/cceds/ccedsug.hhul • CCEDS Guidance from FODWEB at: http://ntcfprd/fod/index.cfm?fuseaction=layouts.cceds.cfm • TCEQ Compliance Monitoring Strategy. Available as hard copy and electronically from the T-Net at: http://ntcfdevl/fod/index.cfn?fuseaction=layouts.airinv • Written Exit Interview Implementation Guidance. Available from the T-Net at: http://ntcfprd/fod/index.cfni?fuseaction=layouts.guidance • Guidance Document for Field Operations Division Investigations of Complaints. Available on the T-net at: http://ntcfdevl/fod/index.cfin?fuseaction=layouts.guidance • Petroleum Storage Tank Facility Investigator's Manual, FODSOP Appendix 29. Available as hard copy and individual sections on the T-Net at: http://home.tceq.state.tx.us/cgi-bin/internal/enforcement/fodforms?page=FOD_SOP • 30 TAC, Chapter 116, Investigation Protocol, rev July 15, 2000 Available as hard copy or electronically from the T-Net at: http://ntcfdev 1/fod/index.cfm?fuseaction=lavouts.airinv • OpLeaks Program Investigations Protocol, rev 1.0 Available as hard copy and electronically from the T-Net at: http://ntcfdev 1/fod/index.cfm?fuseaction=lavouts.airinv • 30 TAC, Chapter 111, Investigation Protocol, rev 1.0. Available electronically from the T-Net at: http://ntcfdevl/fod/index.cfm?fuseaction=layouts.airinv • Oxygenate and Reid Vapor Pressure Test Methods • Emissions Events Investigations Protocol, Revised November 22, 2004. Available electronically from the T-Net at: http:/!ntcfdevl/fod/index.cfin?fuseaction=Iayouts.ee • 30 TAC, Chapter 122, Investigation Protocol, rev July 15, 2000. Available as hard copy or electronically from the T-Net at: http://home.tceq.state.tx.us/intemaI/enforcement/air_inspect/index.htm • Vapor Recovery Test Procedures Handbook,RG-399,November 2002. Available on the TCEQ web page at: TCEQ SFG Agreement. Contract No.582-6-74392Page 43 of 59 March 19,2005 http://www.tceq.state.tx.us/comm exec/forms_pubs/pubs/rg/rg-399.htm1 • Stage H portion of the TCEQ Compliance Monitoring Strategy • Guidance for the Review of Non-Reportable Emissions Events Records Required Under 30 TAC Chapter 101 (relating to Emissions Event Reporting and Record keeping Requirements). (04/06/11)Available from the T-net at: http:Hntcfprd/fod/Documents/non-report-events-memo.l)df • Authorization for Emissions Under Permit by Rule, 30 TAC Chapter 106. (04/11/05) Available from the T-net at: http://ntcford/fod/Documents/permit-by-rule-memo.pdf • Updated Guidance for Determining Maximum Allowable Operating Rates and Requesting a Retest. (02/21/05)Available by hard copy. Exhibits: • Exhibit A-21: Local Air Program Work Plan • Exhibit A-22: Work Plan Pricing Matrix • Exhibit A-23: Investigation Typecode Definitions 4.2.2 Work Plan Activities 4.2.2.1 The PERFORMING PARTY will prepare and submit a detailed proposed Work Plan in the form of Exhibit A-21. When developing the Work Plan the PERFORMING PARTY shall select the number and type of investigations consistent with the Compliance Monitoring Strategy of the TCEQ effecting maximum benefit for air pollution control consistent with TCEQ objectives. Planned investigations conducted at the same site in successive fiscal years may only be scheduled for such repeat planned investigations where the Compliance Monitoring Strategy requires such or after prior approval by the TCEQ. TCEQ may approve of all or part of the activities proposed in the submitted Work Plan. Approval will be in the form of a written Notice to Proceed that will document the portion of the Work Plan that was approved. Upon approval, PERFORMING PARTY may recover reimbursable costs for the completion of approved Work Plan activities. 4.2.2.2 The PERFORMING PARTY shall plan for and conduct the number and type of Work Plan activities as identified in the Notice to Proceed for the respective local program. The parties to this Agreement may provide for fewer investigations or activities, or a smaller percentage of investigations or activities, or investigations or activities of different types by making a Minor Change or Written Amendment, as appropriate, to the work plan. 4.2.3 Maintain Lists of Sources. The Performing party shall develop and maintain a census of sources subject to recurring planned investigations resulting from applying the Compliance Monitoring Strategy for the Air and Waste Programs. TCEQ SFG Agreement. Contract No.582-6-74392Page 44 of 59 March 19,2005 4.2.3.1 Sources of Interest to EPA. For air pollution control subject sources, the census shall include those sources which meet the definition of"Sources of Interest to the EPA"as defined in the General Conditions of this Agreement. The PERFORMING PARTY and the TCEQ agree that the List of Sources of Interest to the EPA contained in the Notice to Proceed for the appropriate local program constitutes the list of sources subject to this investigation and enforcement program. The PERFORMING PARTY and the TCEQ agree that those sources marked as scheduled for an ANBI, OPCC,UML2,NSR1, NSR2, and NSR3 in that same Notice to Proceed will constitute the sources to be investigated for the fiscal year, and the type of investigation that will be performed on those sources for the fiscal year.No additional compensation will be paid for any ANBI, OPCC, UML2,NSR1,NSR2, and NSR3 investigations conducted at sources not listed in the Notice to Proceed unless the list is modified via a Minor Change to this Agreement. No modification in the type of investigation conducted at the sources during the fiscal year, as identified in the Notice to Proceed, may be made except through a Minor Change to this Agreement. By May I"of each fiscal year of this Agreement, the PERFORMING PARTY must provide an updated list of Sources of Interest to the EPA to the TCEQ. Such a list shall identify any changes to existing sources on the list in the Notice to Proceed,and propose any new sources that should be added to that list along with an explanation of why such changes should be made. 4.2.3.2 Reid Vapor Pressure or Oxygenate Requirements.The census shall include those sources subject to a 100% inspection commitment annually, such as sources subject to Reid Vapor Pressure or Oxygenate sampling requirements. 4.2.3.3 Stage H.The PERFORMING PARTY shall identify and submit a list to TCEQ identifying those motor vehicle fuel dispensing facilities within the PERFORMING PARTY'S territorial jurisdiction where Stage H vapor recovery equipment is required pursuant to the TCEQ rules (30 TAC §§115.221 — 115.229 and §§115.241 — 115.249).The census of these sources shall be utilized when developing and implementing Work Plans, and therefore should be maintained as the fiscal year progresses,but must be as accurate as possible prior to Work Plan development in any given fiscal year. A listing of Stage II facilities which were newly identified or which were identified as closed or no longer in business shall be created and updated and maintained quarterly by the PERFORMING PARTY. The listing shall include the total number identified during the calendar quarter and the cumulative number identified since the beginning of the fiscal year covered by this Agreement. 4.2.4 Reserved. 4.2.5 Enforcement: TCEQ SFG Agreement. Contract No.582-6-74392Page 45 of 59 M trek 19,101r 4.2.5.1 The PERFORMING PARTY shall issue Notices of Violations (NOVs) and initiate appropriate enforcement actions on all violations detected during any Work Plan related investigation for which the performing party is responsible, even when violations are discovered at the site that may be unrelated to the primary purpose of the investigation being conducted. 4.2.5.2 The PERFORMING PARTY shall refer cases requiring consideration for enforcement action to the TCEQ within sixty(60)days from the last day of the investigation in which the violation was detected unless an otherwise specifically identified deadline is established in the exhibits or Agreement documents for the enforcement action and related investigation type. 4.2.5.3 PERFORMING PARTY and TCEQ shall agree to an Addendum to this Agreement that will establish the process the PERFORMING PARTY and TCEQ will use to address and resolve violations detected during Work Plan related investigations. This Addendum will address the process to be used to resolve cases and mitigate the issues. The process would include a protocol for the PERFORMING PARTY to notify TCEQ of its interest in pursuing enforcement under Texas Water Code §7.351 and the factors that would be considered by the TCEQ in determining whether to support such enforcement. The PERFORMING PARTY shall not pursue enforcement if the TCEQ is pursing enforcement in the same matter. In consideration of the parties' commitment to develop this Addendum,the PERFORMING PARTY will not pursue any enforcement action without the review and consent of the TCEQ, until the parties agree to the Addendum, at which point the Addendum will control the actions of the parties. 4.2.6 Reserved. 4.2.7 Database Usage. Unless otherwise specifically directed, all investigation and enforcement tasks performed under this Agreement shall be documented in CCEDS in a manner consistent with the various guidance documents created for that purpose related to investigations, enforcement, CCEDS,FODSOP, and EnfSOP. In addition, all incidents reported to the PERFORMING PARTY shall be documented in CCEDS in the manner required by the investigation protocols related to the incident type and by the CCEDS manual. Data entry of all required enforcement and investigation data into CCEDS shall be an ongoing requirement through out the term of this Agreement. 4.2.7.1 Mutual Obligations of Parties related to CCEDS: 4.2.7.1.1 TCEQ Support: • The TCEQ shall provide phone support(512-239-6231), as outlined in the CCEDS User Manual during normal business hours to guide PERFORMING PARTY'S technical personnel in trouble-shooting network and application issues. • The TCEQ shall provide the appropriate level of technical support, including but not limited to, on-site support to facilitate the timely correction of technical problems, to facilitate the PERFORMING PARTY in the completion of data entry and reporting obligations. TCEQ SFG Agreement. Contract No. 582-6-74392Pa¢e 46 of 59 March 19,2005 • TCEQ is responsible for the installation, termination and maintenance of the data circuit from TCEQ to the Point of Presence at the Local Programs site. TCEQ is responsible for terminating the circuit into the local router. Local router is owned, operated and maintained by TCEQ. • The TCEQ shall configure all TCEQ network software to TCEQ standards. • The TCEQ shall provide information on the TCEQ WAN and applications to the PERFORMING PARTY as needed. 4.2.7.1.2 PERFORMING PARTY support: • The PERFORMING PARTY is responsible for extension of connectivity from the local router to an ethernet switch and distribution on a local area network to each workstation. • The PERFORMING PARTY shall configure all network hardware and software on the segment of their network connected to the TCEQ WAN in order to maintain compatibility with TCEQ standards and to assure that TCEQ applications can properly operate on the network segment. • The PERFORMING PARTY network segment connected to the TCEQ WAN will be a separate and distinct network with no connections to other LANs,WANs or data circuits. • The PERFORMING PARTY shall provide a primary and secondary automation point of contact,who shall be responsible for security of the network and equipment used by PERFORMING PARTY staff, responding to TCEQ inquiries,requests for network assistance and communicating automation questions and/or problems to the TCEQ WAN manager or TCEQ Automation staff. • The PERFORMING PARTY shall allow TCEQ technical staff physical and electronic, and logical network access for application support and security monitoring. • The PERFORMING PARTY shall obtain approval from the TCEQ Regional LAN Support Supervisor(Becky Schiffel, bschiffe@tceq.state.tx.us or at (512)239-6034)prior to making network segment configuration changes that may negatively impact access to the TCEQ WAN or the TCEQ applications. 4.2.7.2 Reserved. 4.2.7.3 Quality and Timeliness: Timely,accurate,and complete data entry related to all Work Plan items is essential to completion of the work, and must be accomplished in accordance with the Agreement and relevant guidance documents. The data entry and/or submission of reports delayed by the PERFORMING PARTY due to the unavailability of TCEQ data systems when the unavailability is due to the TCEQ systems shall not be deemed TC V0 CFG Avreement. C ontrnet Nn.5R2—A-74392Pa9e 47 of 59 March 19.2005 untimely and/or deficient. 4.2.7.4 Database Training. The PERFORMING PARTY shall attend TCEQ- sponsored database application training on an as-scheduled basis. It shall be the responsibility of the PERFORMING PARTY to ensure that its staff is adequately trained and qualified in order to perform designated tasks. 4.2.8 Monthly Reporting. On a monthly basis, the PERFORMING PARTY shall provide the appropriate TCEQ Project Regional Representative with an original copy of each approved investigation report or enforcement referral package. In addition, the PERFORMING PARTY shall provide a report on the accomplishment of each of the tasks identified as deliverable by the PERFORMING PARTY in Exhibit A-21. The PERFORMING PARTY shall provide this documentation within seven (7) working days after the end of each calendar month of the fiscal years for which this Agreement is in effect. Where the information necessary to complete the monthly Work Plan task progress reports is required to reside in CCEDS or other TCEQ data systems, the reports may be generated from that data. Where possible, Crystal Reports will be the preferred mechanism of generating the reports and as they are developed, will be an acceptable mechanism of providing the reports. The monthly reporting must contain at least the following elements: 4.2.8.1 A summary report of progress against the Work Plan specifying the number and type of Work Plan activities approved for the month, and a year-to-date listing of progress for each Work Plan type listed in the Scope of Work Section showing both activities performed, and activities completed and approved. The listing of activities approved for the month shall include sources investigated by name, regulated entity number, and investigation type code. 4.2.8.2 A listing of any Work Plan revision(s) detailing changes that have been made in the Work Plan for the month and indicating the approval date and approving parties of each change. Properly executed minor or major amendments may suffice for this section of the report. 4.2.8.3 A listing by type of enforcement initiated (NOV or NOES) during the month. For each activity initiated, indicate the type of enforcement activity initiated, the rules violated, and the resolution of each enforcement action initiated. 4.2.8.4 A listing of each Work Plan task approved more than thirty (30) days after the required deadline and an explanation of why that delay occurred, and what action has been implemented to minimize recurrence of similar delays. 4.2.8.5 Investigation Reports or activity results: The PERFORMING PARTY shall submit an original hard copy of each investigation report and any associated or referenced attachments approved during the month. Enforcement referral packages (including any work product referenced attachments) approved during the month will be forwarded to the TCEQ in accordance with paragraph 4.2.5 of this Scope of Work section. TCEQ SFG Agreement. Contract No.582-6-74392Page 48 of 59 March 19,2005 1 4.2.8.6 The monthly report will also include additional reporting as may be listed in each of paragraph 5 of this Scope of Work section. 4.2.8.7 Exceptions and Deadlines. The PERFORMING PARTY will include a section in the monthly report detailing each of the following: 4.2.8.7.1 the identification of each enforcement action that was untimely and an explanation for the untimeliness, including the identification of any violation situation indicated to include a High Priority Violation(HPV) that has not or will likely not meet the timeliness requirements. 4.2.8.7.2 the identification of, and response to, any enforcement exceptions requests made pursuant to the enforcement exception request process described in the Criteria for Initiation of Formal Enforcement Action for Air, Water, and Waste Violations, Enforcement Initiation Criteria, FODSOP Appendix 3. 4.2.9 Quarterly Reporting. 4.2.9.1 The PERFORMING PARTY shall provide a listing of newly identified Stage II facilities or Stage II facilities which were identified as closed or no longer in business. This listing shall be created and updated and maintained quarterly by the PERFORMING PARTY. The listing shall include the total number of facilities identified during the calendar quarter and the cumulative number identified since the beginning of the fiscal year covered by this Agreement. 4.2.9.2 The PERFORMING PARTY shall provide the TCEQ a current organizational chart each quarter to the Project Manager. This chart shall delineate,by name and title, all staff utilized to complete the requirements of this contract. 4.2.10 Training and qualification for investigators may include, but is not limited to: 4.2.10.1 Annual TCEQ Air Investigators Training or Annual PST Stage II Training, as appropriate. 4.2.10.2 Visible Emissions Evaluator's Certification (required for investigators who will be making opacity readings using EPA Method 9). 4.2.10.3 Training related to TCEQ database use when available. 4.2.10.4 Training and certification of Emissions Evaluators performing stack test pretest meetings, observations and report reviews. It shall be the responsibility of the PERFORMING PARTY to identify and obtain any necessary safety training. TCEQ SFG Agreement. Contract No.582-6-74392Page 49 of 59 , vppJ16Y I����q�p��U 4.2.11 Managers or manager-appointed representatives for the PERFORMING PARTY shall attend TCEQ-sponsored Local Program Managers' Meetings in Austin,Texas, on an as-scheduled basis. 5. Required Investigation and Enforcement programs: A complete task under each of these items shall include all of the general requirements of paragraph 4 of this Scope of Work Section and additionally any specific guidance listed below. 5.1 ANBI: CCI investigations at sources of interest to the EPA 5.2 NMNC: Non-Major Non-Checklisted Source CCI Investigations 5.3 NMCL: Non-Major Checklisted Source CCI Investigations 5.4 CMPL: Complaint Investigations 5.4.1 List of Sources. The PERFORMING PARTY shall respond to all citizen air pollution complaints within its jurisdiction received or referred to it in a time frame at least as quickly as that required in the "Incident Guidance" section of FODSOP. Any investigation performed which is not required by the Exhibits listed in this section or policy shall be considered outside the scope of this Agreement. However, if a violation is detected, it may be referred to TCEQ for consideration of enforcement action, where appropriate. 5.4.2 Disclosure of Confidential Information. The PERFORMING PARTY shall protect from disclosure information regarding the identity of a complainant to the extent allowed by the Texas Public Information Act, Govt. Code Chapter 552. (See also Guidance Document, Attorney General of Texas Open Records Decision No. 391 (1983)). In the event that information which tends to identify a complainant is requested pursuant to the Texas Public Information Act, PERFORMING PARTY shall seek to protect that information through a request for opinion of the Attorney General's Office. The PERFORMING PARTY shall also maintain an information file about each complaint filed with the PERFORMING PARTY. 5.4.3 Special Reporting. 5.4.3.1 In accordance with Section 5.177 of the Water Code, the PERFORMING PARTY shall provide to complainants a quarterly status report for any unresolved written complaint received from within its jurisdiction. 5.4.3.2 The PERFORMING PARTY shall make available to the TCEQ, monthly and upon request, information regarding the investigation and handling of Stage H vapor recovery related complaints. 5.4.3.3 The PERFORMING PARTY shall include both the number of citizen air program and Stage H program complaints received in the month covered by the report and cumulative for the year. TCEQ SFG Agreement. Contract No.582-6-74392Page 50 of 59 March 19,2005 5.4.4 Coordination with TCEQ. The PERFORMING PARTY shall immediately coordinate with the appropriate TCEQ regional office and, as necessary,the Office of Compliance &Enforcement, Enforcement Division, on action to respond to any complaints that are substantial in terms of concentration,duration, or potential health impacts. 5.4.5 Violations Detected. The PERFORMING PARTY shall issue a notice of violation and initiate the enforcement action on all cases of nuisance,confirmed complaints, or any other violations of state air pollution laws or rules detected during a complaint investigation, as required by the most recent version of each of the exhibits previously cited in Item 4.2.1 of this Scope of Work section. 5.4.6 Information Access. The PERFORMING PARTY shall make available to the TCEQ, upon request, information regarding the investigation and handling of complaints. Available information shall include the number of citizen air pollution complaints investigated by the PERFORMING PARTY each month. 5.4.7 Timeliness of Data Entry. The PERFORMING PARTY shall enter all complaints information into CCEDS as soon as practical after receiving the complaint. 5.4.8 Training. Complaint Coordinator Training, when provided by the TCEQ is required for appropriate staff and a manager,as changes may affect handling procedures. 5.5 PMSI and POSI: Permit Site Review Investigations (Stationary and Portable permits respectively) 5.5.1 Special Reporting. In addition to the data entry requirements listed in paragraph 4 of this part, response to these investigations will also include reporting to the Air Permits program in the manner described in the referenced guidance documents. 5.6 PMPR: Permit Provisions Review Investigations 5.6.1 Special Reporting. In addition to the data entry requirements listed in paragraph 4 of this part,response to these investigations will also include reporting to the Air Permits program in the manner described in the referenced guidance documents. 5.7 RCSP:Review of a request for authorization under Tier 11 of the standard permit for temporary rock crushers. 5.7.1 Special Reporting. In addition to the data entry requirements listed in paragraph 4 of this part, response to these investigations will also include reporting to the Air Permits program in the manner described in the referenced guidance documents. 5.8 NSR1: On-Site NSR Level 1 review of all preconstruction authorizations at a source of interest to EPA. TCEQ SFG Agreement. Contract No.582-6-74392Page 51 of 59 5.8.1 Special Equipment. It shall be the responsibility of the PERFORMING PARTY to acquire and maintain the special equipment identified in the Special Investigation Training and Equipment Costs table of Exhibit A-21. 5.9 NSR2: On-Site NSR Level 2 permits review limited to flexible permits. 5.9.1 Special Equipment. It shall be the responsibility of the PERFORMING PARTY to acquire and maintain the special equipment identified in the Special Investigation Training and Equipment Costs table of Exhibit A-21. 5.10 NSR3: On-Site NSR Level 3 In-depth investigation of preconstruction authorization, determining VOC emissions from Organic Process Leaks (OpLeaks) from cooling towers or component leak detection and repair programs 5.10.1 Special Equipment. It shall be the responsibility of the PERFORMING PARTY to acquire and maintain the special equipment identified in the Special Investigation Training and Equipment Costs table of Exhibit A-21. 5.11 MNSR: Same as an NSR1, except not at a source of interest to EPA. 5.11.1 Special Equipment. It shall be the responsibility of the PERFORMING PARTY to acquire and maintain the special equipment identified in the Special Investigation Training and Equipment Costs table of Exhibit A-21. 5.12 BURN: Investigations related to outdoor burning and burning approval 5.12.1 Response to Events. The PERFORMING PARTY shall conduct Investigations related to outdoor burning within its jurisdiction received or referred to it as expeditiously as possible. 5.13 FI: NOV Followup Investigations 5.14 ENF FI: Agreed Order followup Investigations 5.14.1 Response to Events. The PERFORMING PARTY shall conduct any ENT FI Investigations within its jurisdiction received or referred to it in a timely manner. 5.15 BD04: Investigation of vehicle emissions controls at used car lots 5.16 BD14: Fuel Oxygenate Determination Investigations 5.17 BD05-RVP: Determination of Gasoline Reid Vapor Pressure Investigations 5.18 UML1: Level 1 Emissions Events Investigation of a Single Event (or related events) requiring immediate on-site response. TCEQ SFG Agreement. Contract No.582-6-74392Page 52 of 59 March 19,2005 5.18.1 Lists of Sources. The PERFORMING PARTY shall respond to all notifications for UML1 and UML3 Investigations within its jurisdiction consistent with the requirements outlined in the protocols for these type of investigations. 5.18.2 Scope of Investigation. A complete UML1 Investigation involves either a single event or may involve several related events that occurred over a finite span of time at a given site. 5.18.3 Coordination with TCEQ. The PERFORMING PARTY shall immediately coordinate with the appropriate TCEQ regional office and, as necessary, the Office of Compliance &Enforcement, Enforcement Division, on action to respond to any Emissions Events or Scheduled Maintenance, Startup, or Shutdown activities that are substantial in terms of concentration, duration, or potential health impacts, or that meet the criteria of a UML 1 investigation. 5.18.4 Violations Detected. The PERFORMING PARTY shall issue a notice of violation and initiate the enforcement action on all cases of nuisance or any other violations of state air pollution laws or rules detected during an UML1 investigation, as required by the most recent version of each of the exhibits previously cited in Item 4.2.1 of this Scope of Work Section. 5.18.5 Timeliness of Data Entry. The PERFORMING PARTY shall enter all Emissions Events or Scheduled Maintenance, Startup, or Shutdown information into CCEDS as soon as practical after receiving the notification. 3.18.6 Training. Emissions Events training, when provided by the TCEQ is required for appropriate staff and a manager, as changes may affect handling procedures. 5.19 UML2: Level 2 Emissions Events Investigations of all emissions events, scheduled maintenance, startup,and shutdowns, and excess opacity only events for an entire site for the previous 12-month period. 5.19.1 Scope of Investigation. A complete Level 2 Emissions Event Investigation at a given site shall include the review of all Emissions Events or Scheduled Maintenance, Startup, or Shutdown activities related to that site for at least the 12 months preceding the investigation. 5.19.2 Training. Emissions Events training, when provided by the TCEQ is required for appropriate staff and a manager, as changes may affect handling procedures. 5.20 UML3: Level 3 Emissions Events Investigation of an emissions event or scheduled maintenance,startup, or shutdown activity not requiring immediate on-site response. 5.20.1 Lists of Sources. The PERFORMING PARTY shall respond to all notifications for UML3 Investigations within its jurisdiction consistent with the requirements outlined TCEQ SFG Agreement. Contract No.582-6-74392Page 53 of 59 March 19,2005 in the protocols for these type of investigations. 5.20.2 Scope of Investigation. A complete UML1 or UML3 Investigation involves either a single event or may involve several related events that occurred over a finite span of time at a given site. 5.20.3 Coordination with TCEQ. The PERFORMING PARTY shall immediately coordinate with the appropriate TCEQ regional office and, as necessary, the Office of Compliance &Enforcement, Enforcement Division, on action to respond to any Emissions Events or Scheduled Maintenance, Startup, or Shutdown activities that are substantial in terms of concentration, duration, or potential health impacts, or that meet the criteria of a UML1 investigation. 5.20.4 Violations Detected. The PERFORMING PARTY shall issue a notice of violation and initiate the enforcement action on all cases of nuisance or any other violations of state air pollution laws or rules detected during an UML3 investigation, as required by the most recent version of each of the exhibits previously cited in Item 4.2.1 of this Scope of Work Section. 5.20.5 Timeliness of Data Entry. The PERFORMING PARTY shall enter all Emissions Events or Scheduled Maintenance, Startup,or Shutdown information into CCEDS as soon as practical after receiving the notification. 5.20.6 Training. Emissions Events training, when provided by the TCEQ is required for appropriate staff and a manager, as changes may affect handling procedures. 5.21 RPCAP: Review of a proposed Corrective Action Plan (CAP) or letter of intent (LOI) as a response to a finding of an excessive emissions event determination by the Executive Director. 5.21.1 Scope of Investigation. The scope of the investigation is outlined in the protocol for this investigation type. The TCEQ Executive Director reserves the authority to approve or deny any CAP or Permit Request to address excessive emissions events. Therefore,the PERFORMING PARTY may neither approve nor deny CAPs,but rather, they must make a recommendation, in writing,to the TCEQ regional office on approval or denial of such a plan or permitting request. Where this issue arises,the PERFORMING PARTY will work in conjunction with the appropriate TCEQ Air Section Manager or his/her designee for handling CAPS or CAP denials for a timely resolution of the situation. 5.22 CAPC: Compliance Investigation of an approved CAP. 5.23 CHRONC: On-site follow-up compliance investigation following a chronic finding by the Commission. 5.24 RCHRON: Review to determine whether a site experiencing excessive emissions events is chronic. TCEQ SFG Agreement. Contract No.582-6-74392Page 54 of 59 March 19,2005 5.24.1 Scope of Investigation. The scope of the investigation is outlined in the protocol for this investigation type. The Commission reserves the authority to issue, based on determinations made by the Executive Director, orders finding that a site has chronic excessive emissions events. Therefore, the PERFORMING PARTY must make a recommendation, in writing, to the TCEQ regional office on forwarding such findings. The PERFORMING PARTY will work in conjunction with the appropriate TCEQ Air Section Manager or his/her designee for initiating chronic excessive emissions events recommendations. 5.25 OPCC: In-Office Permit Compliance Certification Review. 5.26 INES: Investigations related to reviewing reports received from sources subject to the National Emissions Standards for Hazardous Air Pollutants (NESHAPs,40 CFR 61). 5.26.1 Response to Events. The PERFORMING PARTY shall conduct investigations of the listed types within its jurisdiction received or referred to it consistent with the plan of reviewing such reports received as described in the referenced guidance documents. 5.27 INSP: Investigations related to reviewing reports received from sources subject to the New Source Performance Standards (HSPS,40 CFR 60). 5.27.1 Response to Events. The PERFORMING PARTY shall conduct investigations of the listed types within its jurisdiction received or referred to it consistent with the plan of reviewing such reports received as described in the referenced guidance documents. 5.28 RR07: Investigations related to reviewing reports received from sources subject to 30 TAC 117,related to Nitrogen Oxide requirements. 5.28.1 Response to Events. The PERFORMING PARTY shall conduct investigations of the listed types within its jurisdiction received or referred to it consistent with the plan of reviewing such reports received as described in the referenced guidance documents. 5.29 RRGR: Investigations related to reviewing reports received from sources subject to any other air related requirement not otherwise listed specifically in the Work Plan. including,but not Limited to 30 TAC 115,related to Control of Volatile Organic Compounds,30 TAC 106, related to Permits by Rule, or 30 TAC 116, related to Permits. 5.29.1 Response to Events. The PERFORMING PARTY shall conduct investigations of the listed types within its jurisdiction received or referred to it consistent with the plan of reviewing such reports received as described in the referenced guidance documents. 5.30 RR63: Review of compliance related reports driven by Maximum Achievable Control Technology standards (MACT,40 CFR 63). 5.30.1 Response to Events. The PERFORMING PARTY shall conduct investigations of the listed types within its jurisdiction received or referred to it consistent with the plan of TCEQ SFG Agreement. Contract No.582-6-74392Page 55 of 59 March 19,2005 reviewing such reports received as described in the referenced guidance documents. 5.31 PRES: Pre-test meeting investigations. 5.31.1 Response to Events. The PERFORMING PARTY shall conduct investigations of the listed types within its jurisdiction received or referred to it as expeditiously as possible. 5.31.2 Training. No work of this type will be performed unless the work is conducted by a person who has successfully completed the Emissions Evaluator Certification test as administered by the TCEQ unless that person is working directly under the guidance of persons specifically designated by the TCEQ. 5.32 OBPT/OBCC: Observation of Performance Test or CEM Certification test, respectively. 5.32.1 Response to Events. The PERFORMING PARTY shall conduct investigations of the listed types within its jurisdiction received or referred to it as expeditiously as possible. 5.32.2 Training. No work of this type will be performed unless the work is conducted by a person who has successfully completed the Emissions Evaluator Certification test as administered by the TCEQ unless that person is working directly under the guidance of persons specifically designated by the TCEQ. 5.33 RPFT: Review of Stack Test report 5.33.1 Response to Events. The PERFORMING PARTY shall conduct investigations of the listed types within its jurisdiction received or referred to it as expeditiously as possible. 5.33.2 Training. No work of this type will be performed unless the work is conducted by a person who has successfully completed the Emissions Evaluator Certification test as administered by the TCEQ unless that person is working directly under the guidance of persons specifically designated by the TCEQ. 5.34 Stage II System Test Observations 5.34.1 The Stage II Vapor Recovery investigation and enforcement program includes investigation and enforcement with respect to both Stage I and Stage II vapor recovery equipment and requirements at motor vehicle fuel dispensing facilities where Stage H vapor recovery equipment is required. 5.34.2 Violations Detected. The PERFORMING PARTY shall issue a notice of violation and initiate the enforcement action on all cases of nuisance, confirmed complaints,or any other violations of state air pollution laws or rules detected during a complaint investigation, as required by the most recent version of each of the exhibits previously cited in Paragraph 4.2.1 of this Scope of Work section. TCEQ SFG Agreement. Contract No.5824-74392Page 56 of 59 March 19,2005 5.34.3 Timeliness of Data Entry. The PERFORMING PARTY shall enter all Stage I and Stage II investigation information into CCEDS within the time frames specified in the relevant exhibits. 5.34.4 Training and Committee Participation. Investigators conducting Stage I and II Vapor Recovery work shall attend the TCEQ-sponsored Stage II Vapor Recovery Annual Training or Stage II Committee meetings on an as-scheduled basis. 5.35 Stage II Compliance Evaluation Investigations(CEI) 5.35.1 The Stage II Vapor Recovery investigation and enforcement program includes investigation and enforcement with respect to both Stage I and Stage II vapor recovery equipment and requirements at motor vehicle fuel dispensing facilities where Stage II vapor recovery equipment is required. 5.35.2 Violations Detected. The PERFORMING PARTY shall issue a notice of violation and initiate the enforcement action on all cases of nuisance, confirmed complaints,or any other violations of state air pollution laws or rules detected during a complaint investigation, as required by the most recent version of each of the exhibits previously cited in Paragraph 4.2.1 of this Scope of Work section. 5.35.3 Timeliness of Data Entry. The PERFORMING PARTY shall enter all Stage I and Stage II investigation information into CCEDS within the time frames specified in the relevant exhibits. 5.35.4 Training and Committee Participation. Investigators conducting Stage I and II Vapor Recovery work shall attend the TCEQ-sponsored Stage II Vapor Recovery Annual Training or Stage II Committee meetings on an as-scheduled basis. 5.36 Stage II Followup Investigations 5.36.1 The Stage II Vapor Recovery investigation and enforcement program includes investigation and enforcement with respect to both Stage I and Stage II vapor recovery equipment and requirements at motor vehicle fuel dispensing facilities where Stage II vapor recovery equipment is required. 5.36.2 Violations Detected. The PERFORMING PARTY shall issue a notice of violation an4initiate the enforcement action on all cases of nuisance, confirmed complaints, or any other violations of state air pollution laws or rules detected during a complaint investigation, as required by the most recent version of each of the exhibits previously cited in Paragraph 4.2.1 of this Scope of Work section. 5.36.3 Timeliness of Data Entry. The PERFORMING PARTY shall enter all Stage I and Stage II investigation information into CCEDS within the time frames specified in the relevant exhibits. 5.36.4 Training and Committee Participation. Investigators conducting Stage I and II Vapor TCEQ SFG Agreement. Contract No.582-6-74392Page 57 of 59 March 19,2005 Recovery work shall attend the TCEQ-sponsored Stage II Vapor Recovery Annual Training or Stage II Committee meetings on an as-scheduled basis. 5.37 Stage H Record Review Investigations 5.37.1 The Stage II Vapor Recovery investigation and enforcement program includes investigation and enforcement with respect to both Stage I and Stage II vapor recovery equipment and requirements at motor vehicle fuel dispensing facilities where Stage II vapor recovery equipment is required. 5.37.2 Violations Detected. The PERFORMING PARTY shall issue a notice of violation and initiate the enforcement action on all cases of nuisance, confirmed complaints, or any other violations of state air pollution laws or rules detected during a complaint investigation, as required by the most recent version of each of the exhibits previously cited in Paragraph 4.2.1 of this Scope of Work section. 5.37.3 Timeliness of Data Entry. The PERFORMING PARTY shall enter all Stage I and Stage II investigation information into CCEDS within the time frames specified in the relevant exhibits. 5.37.4 Training and Committee Participation. Investigators conducting Stage I and II Vapor Recovery work shall attend the TCEQ-sponsored Stage II Vapor Recovery Annual Training or Stage II Committee meetings on an as-scheduled basis. 5.38 Issuance of Notices of Violations 5.38.1 Response to Events. The PERFORMING PARTY shall conduct complete enforcement activities within the time frames established in the various investigation protocols,being particularly careful to meet any enforcement driven deadlines related to EPA's High Priority Violation (HPV)policy that are reflected in the various investigation and enforcement exhibits. 5.39 Enforcement Case Development,Issuance of Notice of Enforcement and Enforcement Referral 5.39.1 Response to Events. The PERFORMING PARTY shall conduct complete enforcementlactivities within the time frames established in the various investigation protocols,being particularly careful to meet any enforcement driven deadlines related to EPA's High Priority Violation(HPV) policy that are reflected in the various investigation and enforcement exhibits. 5.40 Investigation Quality Review Activities 5.40.1 It is recognized that the PERFORMING PARTY is responsible for the development of their own Investigation Quality Review program, and suggests the guidelines listed in paragraph 4.2.1 of this Scope of Work section may be followed by the PERFORMING PARTY when implementing their program: TCEQ SFG Agreement. Contract No.582-6-74392Page 58 of 59 hin eh 19,2006 1,f Fi �f Y�t 5.40.2 Reporting. In a separate section of the monthly report required under paragraph 4.2.8 of this Scope of Work section,provide a listing of the activities performed under this task for the month. 5.41 Special Investigation Training/Equipment 5.41.1 A complete task under this paragraph shall include all of the general requirements of paragraph 4 of this Scope of Work section and additionally: Exhibit A-21: Local Air Program Work Plan, specifically the TRNG_EQUIP table, Table 4, of the exhibit. 5.41.2 Level of Effort. The PERFORMING PARTY and the TCEQ agree that the level of effort reflected in the participation in required training and purchase of required equipment identified in the TNRG_EQUIP table of Exhibit A-21 related to this activity for the local program shall constitute the initial Work Plan for this program. 5.41.3 Provide a section in the monthly report indicating training received under this task and progress made in acquiring any equipment. END OF SCOPE OF WORK SECTION TCEQ SFG Agreement. Contract No. 582-6-74392Page 59 of 59 March 19,2005 FORM B-1 TCEQ HUB PROGRESS ASSESSMENT REPORT (PAR) TCEQ HUB Progress Assessment Report(PAR) Part A.Identifying Information. 1,TCEQ Contract No.: 2.Your Invoice No. 3.Work Order No.(if applicable) 4.For work completed between / / and 5.Prime Contractor("You"): 6.Prime Contractor Vendor ID ii: 7.Contact: 8.Phone:( ) 9.Is the Prime Contractor a Texas certified HUB and performing at least 25%of the total value of the contract? Yes_ No— .Part o_.Part B.Current Invoice FOR HUB and/or Non-HUB Subcontracting Information. 10. a Check box if no HUB and/or Non-HUB subcontractors have been used this period,otherwise fill out below listed table: Value of this subcontractor's Name and Address of HUB Type of participation for this invoicing and/or Non-HUB Subcontractor Vendor ID No. HUB Provided": period ❑MBE ❑Services $ ❑WBE ❑Commodities ❑MBE ❑Services $ ❑WBE ❑Commodities ❑NIBE ❑Services $ ❑WBE ❑Commodities 7–Total $ •If subcontractor's services include both labor and materials,check"services"only. Note:If you need room to list more subcontractors,enter this information on a plain sheet of paper and attach it to this form. 11.Total of current invoice: $ 12.Total of current invoices from certified HUB subcontractors: $ 13.Percent of HUB expenditures for this invoice: % (line 12=line 11)x 100 Part C.Total Contract/HUB Subcontracting Information 14.Total amount invoiced to date: $ 15.Total invoiced from certified HUB Subcontractors to date: $ 16. Percent of HUB invoices for total contract to date: % (line 15_line 14)x100 17.HUB subcontracting goal for this contract: % Part D.Affirmation.The information provided on this form is complete and correct. You or our representative must sign here: 18.Name: Signature 19.Date: Part E.Other Information.For TCEQ use only. (Project manager. Conspide this box and si Type of funding: ❑State ❑Federal ❑Both Date In: / / PCA Code(s) Check if prime contractor is one of the following: Printed Name: ❑River Authority ❑Interlocal Index: COB?: Signature: G e n e ra I Information 4.For work completed between-Enter the period of time in which the work covered by these invoices was carried out Wurpose of this form is to help the Texas Commission on Environmental 5.Prime Contractor-Enter the name of the contractor to which we awarded this ty(ICEQ;`Sts")to track the value of business we do with Texas-certified contracL "historically underutilized businesses"(HUBS)and federally designated"minority. or woman-owned business enterprises"(MWBEs}In this form,the acronym 6. Prime Contractor Vendor ID#-Enter the 11-digit vendor identification "HUB"refers to both of these classes of businesses. number the Comptroller of Public Accounts has assigned the prime contractor. Do I Have to Complete This Form? 7. Contact-Enter the name of the person authorized to complete this form for the If we have awarded you a contract to provide us with professional services,other prime contractor.We will contact this person if we have any questions about the services,or commodities and your contract contains a subcontracting plan,then you information you have provided on this form. must complete this form each time you submit an invoice or set of invoices to us-moven ifno subcontracting occurred during the period covered by these 8. Phone-Enter the phone number at which we can reach the contact person invoices. named in Item 7. If you an a HUB,you must perform at least 25 percent of the total value of the 9. Indicate"Yes"or"No". contract with your own or leased employees as defined by the Internal Revenue Service in order for the agency to receive 100 percent HUB credit for the entire 10.HUB and/or Non-HUB Subcontractor Information-First column—Enter contrail.You may subcontract more than 75 percent of the contract with HUBS or the complete name and address of each subcontractor.Enter information about this non-HUB subcontractors,but you must report to us the value—both dollar amount subcontractor in the remaining columns of this row.Check box if no subcontractors and percentage--of your contract that was actually performed by you and your were used during this invoicing period. subcontractors during each invoicing period. Second column—Enter the 13-digit vendor identification number the Comptroller Where Do 1 Turn This Form In? of Public Accounts has assigned to this HUB subcontractor. When you have completed this form,attach it to your invoices and submit it to our project manager for your contract, Third column—You have three options: • If this subcontractor is a minority-owned business enterprise,check Where Can I Get More Answers? "MBE." If you have any other questions,call the project manager named on your contract or • If this subcontractor is a woman-owned business enterprise,check our HUB Program Director:(512/239-1273). "WBE." • If this subcontractor qualifies as both an MBE and a WBE,check both Definitions boxes. These brief definitions may help you complete this form For terms where a full Fourth column—Indicate,by checking the appropriate box,whether the legal definition may be helpful,we have cited the rule or law that gives that subcontractor provided services or commodities.(If both,check"services" definition.. only.) Frflh column—Enter the total of all invoices attached for this HUB subcontractor. Commodities--materials,supplies,or equipment.May include consumable articles(for example,office supplies)or durable items(for example,computers, 11.Total of current invoice-Enter the total of the Prime Contractor's current furniture,or equipment). invoice. Other servicer---a11 services other than construction and professional services, 12.Total of current Invoices from certified HUB subcontractors-Enter the including consulting services(Texas Goverment Code,Chapter 2254,Subchapter total amount of all attached invoices from HUBs. B). 13.Percent of HUB expenditures for this invoice-Use the instructions on the Prime contractor(or"prime")--any business,agency,or individual who PAR form to calculate the percentage of this invoice that HUB subcontractors have provides commodities or services to us under a purchase order or other contract. completed- Professional ompletedProfessional services--services of accountants,architects,engineers,land 14.Total amount invoiced to date-Enter the total of all invoices you have surveyors,optometrists,and physicians(Texas Government Code,Chapter 2254, submitted to us to date for this contract,including the invoices attached to this PAR Subchapter A). form, Services--(1)functions performed for us by an outside source—for example, 15.Total of HUB expenditures on the total contract to date-Enter the total of equipment repair,consulting,hazardous waste disposal,or work by short-term all HUB subcontractor invoices for this contract to date. temporary employees. (2)similar functions performed for the prime contractor by an outside source. 16.Percent of HUB invoices for the total contract to date-Use the instructions on the PAR form to calculate the percentage of this contract that HUB Subcontractors—any business,agency,or individual(other than an employee)who subcontractors have completed to date. provides commodities or services to the prime contractor. 17.HUB Subcontracting goal for this contract-The HUB goal is stated as a Total contract(Item 14)---on this form,total value of your contract with us, percentage in your contriacL Enter the HUB goal here. including all monetary amendments,if any, 18.Name and Signature-The contractor or authorized representative of the Vendor ID No.—the 11-digit taxpayer identification number assigned to this contractor. subcontractor by Comptroller of Public Accounts.The subcontractor should be able to provide you with this number. 19.Date-Enter the date you completed this report Instructions 1.TCEQ Contract No.-Enter the contract number we have assigned to this contract.This number appears on the first page of the contract 2.Your Invoice No.-Enter your invoice number for each invoice you are submitting with this form 3.Work Order No.-If applicable,enter your work order number for the site, phase,or program. FORM B-2 TCEQ PURCHASE VOUCHER TCEQ PURCHASE VOUCHER Page of Agency No. 582 Agency Name Texas Commission on Environmental Quality Current Document No. I. Date TCEQ Received I Service Dates 3. Contract/Purchase 4. Requested Payment 5. Payment Due Invoice Order Date Date Data 6. Payee Identification No. & Voucher Prepared By: Date: 7. Pay To (Payee Name/Address): 9. Contract Voucher Auditor: Date: 10. FINAL BILLING YES NO (Please circle one) DOC REF DOC SFX TRANS INDEX MOD AY 11. PCA PCC SFX CODE P 231 001 SEQ REQ NO COMP OBJ AGY OBJ 12. AMOUNT RVS RTI NUMBER NO. 13. INVOICE NUMBER DESCRIPTION l4. CONTRACT NO. GRANT NO. PROJECT NO. DOC REF DOC SFX TRANS INDEX MOD AY Il. PCA PCC SFX CODE P 231 002 SEQ REQ NO COMP OBJ AGY OBJ 12. AMOUNT RVS RTI NUMBER NO. 13. INVOICE NUMBER DESCRIPTION 14. CONTRACT NO. GRANT NO. PROJECT NO. 15. DESCRIPTION OF GOODS or SERVICES 16. QUANTITY 17. UNIT PRICE 18. AMOUNT LEGAL DESCRIPTIVE TEXT: I approve this voucher for payment. The above goods or services correspond in every particular with the contract under which they were purchased The invoice for the goods or services is correct This payment complies with the General Appropriations Act 19. DIVISION SIGN 19. Phone(Area code and number) 19. Date APPROVAL HERE BATCH NO BATCH TYPE DATE ENTERED ENTERED BY DATE RELEASED RELEASED BY: 4 DATE MAILED OR TRANSMITTED WARRANT NUMBER DIRECT'DEPOSIT TRANSMITTAL NUMBER Revised 9/00 TCEQ PURCHASE VOUCHER CONTINUATION FORM Page nf DOC REF DOC SFX TRANS INDEX MOD AY 11. PCA PCC SFX CODE P 231 01 003 SEQ REQ NO COMP OBJ AGY OBJ 12. AMOUNT RVS RTI NUMBER NO. 13. INVOICE NUMBER DESCRIPTION 14. CONTRACT GRANT NO. PROJECT NO. NO. DOC REF DOC SFX TRANS INDEX MOD AY 11. PCA PCC SFX CODE P 231 01 004 SEQ REQ NO COMP OBJ AGY OBJ 12. AMOUNT RVS RTI NUMBER NO. $ 13. INVOICE NUMBER DESCRIPTION 14. CONTRACT GRANT NO. PROJECT NO. NO. DOC REF DOC SFX TRANS INDEX MOD AY 11. PCA PCC SFX CODE P 101 231 01 005 SEQ REQ No COMP OBJ AGY OBJ 12. AMOUNT RVS RTI NUMBER NO. 13. INVOICE NUMBER DESCRIPTION 14. CONTRACT GRANT NO. PROJECT NO. NO. DOC REF DOC SFX TRANS INDEX MOD AY 11. PCA PCC SFX CODE P 231 01 006 SEQ REQ NO COMP OBJ AGY OBJ 12. AMOUNT RVS RTI NUMBER NO. $ 13. INVOICE NUMBER DESCRIPTION 14. CONTRACT GRANT NO. PROJECT NO. NO. DOC REF DOC SFX TRANS INDEX MOD AY 11. PCA PCC SFX CODE P 231 01 007 SEQ REQ NO COMP OBJ AGY OBJ 12. AMOUNT RVS RTI NUMBER NO. 13. INVOICE NUMBER DESCRIPTION 14. CONTRACT GRANT NO. PROJECT NO. NO. FORM B-4 ITEMIZATION OF EQUIPMENT AND CONTRACTUALCOSTS FINANCIAL STATUS REPORT ITEMIZATION OF EQUIPMENT AND CONTRACTUAL COSTS ' EXHIBIT - XH B 1 FINANCIAL STATUS REPORT 1. ORGANIZATION UNIT TO WHICH REPORT IS SUBMITTED: 2. GRANT/CONTRACT TITLE: 3. PAYEE IDENTIFICATION NUMBER: 4. RECIPIENT ORGANIZATION(NAME AND COMPLETE ADDRESS,INCLUDING ZIP CODE): 5. TCEQ CONTRACT NUMBER: 6. FINAL REPORT: ❑YES ❑NO 7. ACCOUNTING BASIS: ❑CASH ❑ACCRUAL 8. TOTAL PROJECT/GRANT PERIOD: 9. PERIOD COVERED BY THIS REPORT: FROM TO FROM TO 10. BUDGET CATEGORIES: Approved Project Cost Cumulative Balance•• Budget This Report Project Cost a. Personnel/Salary • b. Fringe Benefits c. Travel • d. Supplies • e. Equipment • f Contractual g. Construction • h. Other • i. Total Direct Costs (Sum a-h) j. Indirect Costs k. Total (Sum of i&j) L. Local,/In Kind Match (Minus) (Minus) (Minus)*** M. Total Obligation Payable(K-L) • List (Itemize) on the appropriate supplemental form all component expenses comprising the total for each of these categories. Please attach receipts,as required,in accordance with Attachment B of your contract. •* Negative balances in any of the budget categories should be explained in a brief accompanying narrative. *•* Up Total maximum Local,/In Kind Match Provided 11. CERTIFICATION I certify to the best of my knowledge and belief that this report is correct and complete and that all outlays and unliquidated obligations are for the purposes set forth in the award document. Signature of Authorized Certifying Official Typed or Printed Name and Title Telephone (Area code,number and ext.) Date Submitted TCEQ Supplemental Form 269a-2(6/1/94) (See Attachment B of Contract for additional Details) EQUIPMENT PURCHASES (during this report period) NUMBER ITEM DESCRIPTION UNIT TOTAL PURCHASED (Should match description provided for approval) COST COST TASKS TOTAL EQUIPMENT EXPENDITURES(must agree with line 10e on Form 269a) $ CONTRACTUAL EXPENDITURES (during this report period) SUBCONTRACTOR NAME FOR COST THIS PERIOD TASKS TOTAL CONTRACTUAL EXPENDITURES (must agree with line 1 Of on Form 269a) Is " LEGIBLE RECEIPTS, IF REQUIRED, MUST BE ATTACHED TO THIS FORM FOR EACH LISTED ITEM OR EXPENDITURE. Supplemental Form 269a-2 (6/1/94) (See Contract for Additional Details) ITEMIZATION OF CONSTRUCTION COSTS CONSTRUCTION COSTS (during this report period) DESCRIPTION PURPOSE COST(THIS PERIOD) TASKS TOTAL CONSTRUCTION EXPENDITURES must agree with line I Og on Form 269a Is "LEGIBLE RECEIPTS, IF REQUIRED, MUST BE ATTACHED FOR ALL LISTED EXPENDITURES THAT EQUAL OR EXEED$500. Supplemental Form 269a-3(6/1/94) (See Contract for Additional Details) ITEMIZATION OF SUPPLY AND OTHER COSTS SUPPLIES PURCHASED (during this report period) NUMBER ITEM DESCRIPTION UNIT TOTAL PURCHASED Should match description provided forapproval) COST COST TASKS TOTAL SUPPLY EXPENDITURES must agree with line 10d on Form 269a $ OTHER EXPENDITURES (during this report period) NUMBER UNIT TOTAL PURCHASED DESCRIPTION COST COST TASKS TOTAL OTHER EXPENDITURES must agree with line 10h on Form 269a Is 'LEGIBLE RECEIPTS, IF REQUIRED, MUST BE ATTACHED FOR ALL LISTED EXPENDITURES THAT EQUAL OR EXEED$500. Supplemental Form 269a4 (6/1/94) (See Contract for Additional Details) ITEMIZATION OF PERSONNEL/SALARY AND TRAVEL COSTS PERSON NEUSALARY EXPENDITURES (during this report period) SALARY(THIS EMPLOYEE NAME TITLE/POSITION PERIOD TASKS TOTAL PERSONNEUSALARY EXPENDITURES (must agree with line 10a on Form 269a) $ TRAVEL EXPENDITURES (during this report period) COST (THIS DESCRIPTION REASON PERIOD TASKS TOTAL TRAVEL EXPENDITURES (must agree with line 10c on Form 269a) $ *SUPPLEMENTAL DOCUMENTATION (time sheets, travel receipts, etc.) IS NOT REQUIRED TO BE ATTACHED TO THIS FORM. Supplemental Form 269a-5(6/1/94) (See Contract for Additional Details) FORM B-5 FISCAL ANALYSIS PACKAGE / < / E g / 2 \ \ � 3 � 3 Q � E _ 2 k � ILI 2 a m / / / \ } § J } § ° a � { § 00 = 3 / G l $ E / j G 3 / § / \ § ( \ § E \ / v \ bjD / j J E ( y / ° F / � to 41L. � / \ a \ \ to� 3 � [ \ ¥ G § W ° } ƒ j 2 e > f / �� ° \� r /U %G 3 2 k \ ƒ a $ \ / g 2 7