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HomeMy WebLinkAboutResolution - 5608 - Interlocal Contract - TNRCC - Well Head Protection Program - 08_28_1997Resolution No.5608 Item #23 August 28, 1997 RESOLUTION BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK: THAT the Mayor of the City of Lubbock BE and is hereby authorized and directed to execute for and on behalf of the City of Lubbock an Interlocal Contract for the Well Head Protection Program, by and between the City of Lubbock and the Texas Natural Resource Conservation Commission, attached herewith, in substantially the same form as Exhibit "A", and any associated documents, which Contract shall be spread upon the minutes of the Council and as spread upon the minutes of this Council shall constitute and be a part of this Resolution as if fully copied herein in detail Passed by the City Council this 28th day of August _, 1997. ATTEST: Kaytge Darnell, City Secretary APPROVED AS TO CONTENT: e ry Elle rook, Managing Director o Water Utilities APPROVED AS TO Richard K. Casner, atural Resources Ittorney aaltoaoesiweuneaa.ms August 22, 1997 THE STATE OF TEXAS COUNTY OF TRAVIS IN7ERLOCAL CONTRACT Contract Number 2000006 (90 THIS INTERLOCAL (INTERGOVERNMENTAL) CONTRACT (CONTRACT) is entered into by and between the Governmental Entities shown below as Contracting Parties, pursuant to the authority granted and in compliance with the provisions of the Interlocal Cooperation Act, Texas Government Code, Chapter 791. I. CONTRACTING PARTIES: The RECEIVING AGENCY, OR TNRCC: Texas Natural Resource Conservation Commission The PERFORMING PARTY: City of Lubbock. Texas II. STATEMENT OF SERVICES TO BE PERFORMED: See Attachment A III. BASES FOR CALCULATING REIMBURSABLE COSTS: See Attachment B and Exhibits B-1 through B-3. IV. CONTRACT AMOUNT TNRCC shall reimburse allowable costs of performing services under this contract in the maximum amount of $%,600. Reimbursement of costs is contingent on Performing Party's providing 40% of funds or in kind contribution in the amount or value of $64,400. Performing Party's contribution shall be drawn from non-federal sources. V. ADDMONAL CONTRACT PROVISIONS See Attachment C VI. TERM OF CONTRACT: This Contract shall begin on the date of execution by TNRCC, and shall terminate on full performance. Full performance is due on August 31. 1999. It is expressly understood and agreed by the parties hereto that the performance on the part of the Agency and/or the Performing Party of any obligations hereunder is contingent upon and subject to actual receipt by the Agency of sufficient and adequate funds from the sources contemplated by this Contract. To the extent the performance of this contract transcends the biennium in which this Contract is entered into, this Contract is specifically contingent upon the continued authority of the Agency and appropriations therefor. VII. FUNDING This Contract is fimded in part by a grant from the U.S. Environmental Protection Agency (EPA) piasoant to the Federal Water Pollution Control Act (Clean Water Act) 9319. Neither the United States nor the EPA or any of its employees is a party to this Contract. This Contract is subject to the availability of fiords from EPA. This Contract is subject to and shall be in accordance with all terms and conditions of the Cooperative Grant between the Texas Natural Resource Conservation Commission (MCC) and EPA. The RECEIVING AGENCY sball comply will all terms and provisions of the Cooperative Grant (EPA Assistance Agreement C9-96146-04-0) between the Texas Natural Resource Conservation Commission and Environmental Protection Agency. This Contract is also subject to the Federal Regulations contained in 40 CFR Part 31. v The RECEIVING AGENCY and the PERFORMING PARTY agree that appropriate clauses, as applicable, in 40 CFR §31.36(l) and 133.1030 apply to the work to be performed under this Contract. Each party paying for the performance of government functions or services must make those payments from current revenues available to the paring party. VIII. ATTACHMENTS Attachments A, B, and C are attached to this Contract and are made a part of this Contract for all purposes. Exhibits B-1, B-2 and B-3 are attached to this Contract and are made a part of this Contract for all purposes. All exhibits specifically mentioned in Attachment A andattached thereto are made a part of this Contract for all purposes. The RECEIVING AGENCY farthercerfifies that it has the authority to contract for the above services by authority granted in the Current Appropriations Act, TEx. WATER CoDE §5.229 and TEx. HEALTH Aim SAFETY CoDE 1382.033. PERFORMING PARTY further certifies that it has authority to perform the services coat m.-ted for by authority granted in GOVERNMENT CODE §791.001. VII. FUNDING This Contract is funded in part by a grant from the U.S. Environmental Protection Agency (EPA) pursuant to the Federal Water Pollution Control Act (Clean Water Act) §319. Neither the United States nor the EPA or any of its employees is a party to this Contract. This Contract is subject to the availability of funds from EPA. This Contract is subject to and shall be in accordance with all terms and conditions of the Cooperative Grant between the Texas Natural Resource Conservation Commission (MCC) and EPA. The RECEIVING AGENCY shall comply will all terms and provisions of the Cooperative Grant (EPA Assistance Agreement C9-961464)4-0) between the Texas Natural Resource Conservation Commission and Environmental Protection Agency. This Contract is also subject to the Federal Regulations contained in 40 CFR Part 31. The RECEIVING AGENCY and the PERFORMING PARTY agree that appropriate clauses, as applicable, in 40 CFR §31.36(1) and §33.1030 apply to the work to be performed under this Contract. Each party paying for the performance of government functions or services must make those payments from current revenues available to the paying party. VIII. ATTACHMENTS Attachments A, B, and C are attached to this Contract and are made a part of this Contract for all purposes. Exhibits B-1, B-2 and B-3 are attached to this Contract and are made a part of this Contract for all purposes. All exhibits specifically mentioned in Attachment A and attached thereto are made a part of this Contract for all purposes. The RECEIVING AGENCY further certifies that it has the authority to contract for the above services by authority granted in the Current Appropriations Act, TEx. WATER CODE §5.229 and TEx. HEALTH AND SAFETY CoDE 1382.033. PERFORMING PARTY further certifies that it has authority to perform the services contracted for by authority granted in FOCAL GOVERNMENT CODE §391.004 AND HEALTH AND SAFETY CODE §363.0615. ii RECEIVING AGENCY: Texas Natural Resource Conservation Commission By: 6 f Sea Pete! n, Deputy r Office of Water Resource Management Date: g 0- - ' q —I PERFORMING PARTY: City of Lubbock, Texas BY Mayor ATTEST: City Secretary APPROVED AS TO CONTENT: r of�cWorks�� APPROVED AS TO FORM: Assistant City Attorney ** THIS CONTRACT DOES NOT REQUIRE APPROVAL BY THE GENERAL SERVICES COMMISSION ** iii ATTACE ENT A SCOPE OF SERVICES AND SCHEDULE OF DELIVERABLES ATTACEMENT A SCOPE OF SERVICES AND SCHEDULE OF DELIVE1tABLES The TNRCC is the state's designated administrator of the Wellhead Protection (WHP) Program. As such, the TNRCC strives to work with local governments to establish VnIP programs and implement best management practices (BMPs) to prevent contamination of the state's ground water resources. The RECEIVING AGENCY AND THE PERFORMING PARTY desire to enter into this cooperative agreement in order to combine their resources and abilities. The TNRCC will provide technical assistance to the PERFORMING PARTY in order to coordinate WB P program implementation by governmental entities having jurisdiction. Details of the contracted duties are listed below: I. SCOPE OF SERVICES A. Project Preparation 1. Purchase global positioning system (GPS) receivers and geographic information system (GIs) software. a. PERFORMING PARTY shall obtain two (2) GPS receivers, accessories, and real time correction (RTC) receiver components. These receivers shall be used to verify and digitize potential contaminant source and public water supply well locations. PERFORMIMG PARTY shall also obtain necessary software for postprocessing collected GPS data and/or real-time correction accessories. The GPS components and RTC components shall be completely compatible with RECBIVMG AGENCY equipment and software. b. PERFORIVIING PARTY shall obtain not less than two copies of GIs software. Software must be completely compatible with RECEIVING AGENCY equipment and software. C. PERFORMING PARTY shall train project staff in the use and operation of the GPS and GIs equipment. 2. PERFORMING PARTY shall use GPS receivers to verify locations of public water supply wells to within 2 to 5 meter accuracy level. Digitized data shall then be input into PERFORMING PARTY's GIs system and correlated to data collected in Paragraph I.(B)(2). A-1 B. Potential Contaminant Source Identification 1. PERFORMING PARTY shall prioritize potential sources of contamination (PSOC) to be included in this project. This project is limited to PSOCs located within Wellhead Protection Areas (WHPAs) delineated by the RECEIVING AGENCY around the city of Lubbock's public water supply (PWS) wells. The TNRCC Wellhead Protection Report for the city of Lubbock (AS-101/WBP) identifies the delineated Wellhead Protection Areas and PSOCs. 2. PERFORMING PARTY shall use GPS receivers to assign accurate (2 to 5 meter accuracy level) locations to prioritized PSOCs. Digitized inventory data shall then be input into the GIS system. PERFORMING PARTY, with consultation from RECEIVING AGENCY, shall determine which PSOCs present the greatest threat to public water supply wells. Of particular interest are locations of hydrocarbon contamination plumes located in the soil horizon and/or in the water table and abandoned water wells. Task shall be completed not later than March 31, 1999. C. Best Management Practice Implementation A. Best Management Practices: Best Management Practices to be implemented under this Contract may include but are not limited to: Abandoned water well closure%apping according to state guidelines; Clean-up of illegal dumping activities; Enforcement of existing ordinances; Adoption of new ordinances (e.g. Wellhead Protection Ordinance); Adoption of Wellhead Protection contingency plan, Household hazardous waste collection; Erection of Wellhead Protection signs/roadside markers, Public education/outreach; Clean-up of hydrocarbon contamination dire to leaking petroleum storage tanks (100% of this cost will be borne out of the state's Petroleum Storage Tank (PS7) Fund administered by the RECEIVING AGENCY); Best management practices identified in the State of Texas Nonpoint Source Strategy; and Activities which are approved by the RECEIirING AGENCY as an appropriate best management practice. A-2 Note: Silvicultural activities are under jurisdiction of the Texas State Soil and Water Conservoation Board Coordination with the Board if necessary, will be coordinated by the PERFORMING PARTY. These best management practices have been approved by the United States Environmental Protection Agency, Region 6 for the Texas Wellhead Protection Program. Other best management practices, as listed in the Texas Nonpoint Source Strategy, may also be implemented under this Contract. 2. PERFORMING PARTY shall conduct public education/outreach activities to inform the public about the Wellhead Protection Program and best management practices to be implemented. 3. Before temporarily capping abandoned water wells, PERFORMING PARTY shall obtain cost estimates and provide such estimates to RECEIVING AGENCY in writing for coordination and input from the RECEIVING AGENCY and the United States Environmental Protection Agency Region 6 (EPA) prior to temporary capping activities. 4. PERFORMING PARTY shall contact owners/operators of leaking PSTs to which it has knowledge. PERFORMING PARTY shall advise owners/operators of legal and financial responsibilities, availability of state funds for remediation, and Wellhead Protection potential threats. TNRCC PST Program will address all PST related potential sources found in the delineated WHPAs for mitigation. The PST fund is established by the Texas Legislature and is used to clean up contamination caused by leaking PSTs on a first come, first serve basis. The responsibility for accessing this fund lies with the responsible party and the local governing authority. In this project, the city will direct the responsible parties to begin clean-up activities The responsible party will then contact the 7NRCC PST Program who will fund the cleavr-up activities Because of the sensitivity of the aquifer and the extent of the brown contcnnination, the PST Program has placed considerable priority to clean-up of these sites Assurances that clean-up will take place are incumbent upon the PST Remediation Funds regulations as mandated by the Texas Legislature. Any "hot slots" turned over to the PST Program will receive attention. Notwithstanding the above, the PERFORMING PARTY shall not be responsible, in any way, manner or form, for the supervision, or monitoring activities, or any costs whatsoever, of the PST clean up activities Further any and all costs of PST clean up, whether paid out of the PST fund by the landowner, or by the RECEMNG AGENCY, shall not comprise any portion of the funds contemplated in this A-3 contract, nor shall said PST clean up, other than delineated above, he construed as apart of the project contemplated by this contract. D. Mapping 1. RECEIVING AGENCY shall generate GIS maps of city Public Water Supply (PWS) wells, potential contaminant sources, Wellhead Protection Areas, and mitigated potential contaminant sources. PERFORMING PARTY and RECEIVING AGENCY shall coordinate the design of the maps. These maps shall be provided to PERFORMING PARTY. 2. RECEIVING AGENCY and PERFORMING PARTY agree to share all GPS and/or GIS data files, maps and records directly related to the project contemplated in this contract. This information shall be made reasonably available to the public and other government agencies at the time which the PERFORMING PARTY is reasonably able to do so. E. Reporting 1. PERFORMING PARTY shall provide to RECEIVING AGENCY quarterly reports not later than 14 days after the close of each quarter. Reports shall describe activities undertaken to meet Contract objectives and milestones achieved. Quarterly reports shall be in a format specified by the RECEIVING AGENCY AND PERFORMING PARTY. 2. PERFORMING PARTY shall provide to RECEIVING AGENCY a final report which documents mitigation activities, problems, successes, cost analyses of mitigation activities, and integration of GPS and GIS. H. SCHEDULE OF DE1 NERABLES A. Project Preparation- All services described in Section I.A. of this Attachment shall be completed by 3/31/99. B. Potential Contaminant Source Identification- All services described in Section I.B. of this Attachment shall be completed by 3/31/99. C. Best Management Practice Implementation- All services described in Section I. C. of this Attachment shall be completed by 6/30/99. A-4 D. Mapping- All services described in Section I.D. of this Attachment shall be completed by 7/31/99. E. Reporting - All services described in Section I.E. of this Attachment shall be completed by 7/31/99. A-5 ATTACENMNT B PAYMENT CONDITIONS AND PROCEDURES ARTICLE 1. CONSIDERATION AND PAYMENT a. TNRCC shall pay for services received from appropriation items or accounts of the TNRCC from which like expenditures would normally be paid, based upon vouchers drawn by the TNRCC payable to PERFORMING PARTY. b. Payments received by the PERFORMING PARTY shall be credited to its current appropriation item(s) or account(s) from which the expenditures of that character were originally made. Requests for reimbursement must be submitted to the individual indicated in "Exhibit B-2, Payment Details." Requests for reimbursement shall be submitted on S (five) copies of a properly completed State of Texas Purchase Voucher (Comptroller of Public Accounts Form 74-112) or an Interagency Transaction Voucher (Form 73-140). The Request shall be accompanied by a properly completed and signed Financial Status Report (State Supplemental Form 269a). For each category of expense shown in Exhibit B-1, this Report shall clearly indicate the PERFORMING PARTY's expenditures for the period in question, cumulative expenditures to date, and the balance which will remain in each category following reimbursement of the amount being requested. All requests for reimbursement shall contain sufficient detail for audit thereof. d. To be eligible for reimbursement under this Agreement, a cost must have been incurred and paid by the PERFORMING PARTY within the tmne period indicated in Box 9 of the Financial Status Report (TNRCC Form 269a), or incurred within the time period indicated in Box 9 of the Financial Status Report with the intent to pay in full by notlater than 30 days following receipt of reimbursement from the TNRCC, or 30 days after receipt of a bill or invoice from the subcontractor or supplier, whichever occurs later. e. Upon the TNRCC's approval of each payment request, payment shall be made to the PERFORMING PARTY as soon as practicable of the approved reimbursement amount, less applicable retainage and less all previous payments. f. TNRCC reserves the right to suspend or withhold payment for any services or reports pending the PERFORMING PARTY's completion, revision, or correction of services or reports identified in "Attachment A." g. The TNRCC may require the reimbursement of any over -payments determined as a result of any audit or inspection of records kept by the PERFORMING PARTY on work performed under this Contract. ARTICLE 2. RETAINAGE Tire TNRCC will retain the pez=uge amount shown on Exhibit B-1 from the amounts to be paid to the PERFORMING PARTY, pending satisfactory completion by the PERFORMING PARTY OF all work specified under this Contract, acceptance of such work by the TNRCC Project Representative, and delivery to the TNRCC of the release of claims specified in Article 3.b below. B-1 ARTICLE 3. PROCEDURES FOR FINAL PAYMENT a. The TNRCC may refuse to reimburse expenditures for which the PERFORMING PARTY submits a voucher more than 60 days after the contract's termination. b. As a condition to final payment or to a termination settlement under this Contract, the PERFORMING PARTY shall execute and deliver to the TNRCC a release of all claims against the TNRCC arising under, or by virtue of, this Contract. The PERFORMING PARTY may exempt any specific claims it may assert, in its discretion, under this provision, which specific claims shall be set forth in the release of claims. C. Upon satisfactory completion by the PERFORMING PARTY OF all work specified under this Contract, acceptance of such work by the TNRCC Project Representative, and delivery to the TNRCC of the release of claims specified in section 2.b above, the PERFORMING PARTY will be paid the unpaid balance of any money due for the work (including retainage, if applicable). The PERFORMING PARTY agrees that the determination of satisfactory completion of any and all work or other services performed or furnished under this Contract will be based entirely on the judgment of the staff of the TNRCC, which judgment will be exercised in a reasonable manner and in good faith. d. The PERFORMING PARTY agrees that the determination of satisfactory completion will be based entirely on the judgment of the staff of the TNRCC, which judgement will be exercised in a reasonable manner and in good faith. The PERFORMING PARTY further agrees to hold the TNRCC, its officers, agents, and employees harmless from any damages or claims arising from its determination whether PERFORMING PARTY has satisfactorily completed the work. e. Final payment shall not constitute a waiver of the TNRCC's claims against the PERFORMING PARTY under this Contract. ARTICLE 4. COST AND PRICE OF THIS CONTRACT If the total compensation to be paid to PERFORMING PARTY under this Contract exceeds $25,000.00, then: a. all cost -type payments to PERFORMING PARTY within the meaning of 40 CFR §31.3 (e.g., payments for expenses incurred, time and materials, or hourly rates), and all payments where PERFORMING PARTY's services have not been competitively procured, shall be based on allowable costs (refer to 40 CFR §31.22), and shall be based on a cost or price analysis. i. Allowable costs are the direct and indirect costs incurred in or directly attributable to the performance of the services under this Contract (refer to 40 CFR f31.22, OMB Circular A-87, and Title 48 CFR Part 31; see also 'Exhibit B-3" to this Agreement), including the following: (1) Direct Labor Costs: Direct salary costs (without employee benefits) incurred by the PERFORMING PARTY for the time the PERFORMING PARTY's personnel are directly utilized on the work necessary to fulfill the terms of the contract. The maximum allowable salary rate (excluding overhead) for individual consultants retained by the PERFORMING PARTY or by the PERFORMING PARTY's subcontractors is the maximum daily rate for Federal Grade Step 18 ("GS18', or its current equivalent. 140 CFR 31.360)] B-2 s. �e7•�m Other allowable direct costs to the extent that they are reasonable and approved by the TNRCC. (3) Indirect Costs: Overhead costs, employee benefits and other indirect costs agreed to by the TNRCC. These rates shall not exceed the audited indirect cost rates applied to direct labor costs and certain other direct costs, materials and supplies purchased from outside sources, as determined by an audit based on federal procurement regulations in effect for the period of the Contract. ii. PERFORMING PARTY shall provide the cost or price analysis to the TNRCC in the TNRCC approved format (Cost or Price Summary, EPA form no. 5700-41), which shall be attached to this Contract and incorporated herein as Exhibit D-1. If indirect costs are to be reimbursed under this Contract, 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. b. All feed -price payments to PERFORMING PARTY within the meaning of 40 CFR § 31.22 (e.g., fixed prices per deliverable, or a fixed hemp sum price), where the PERFORMING PARTY's services have been competitively procured, shall be btuod on reasonable prices as evidenced by a price analysis meeting the requirements of 40 CFR § 31.36, which shall be submitted to TNRCC by PERFORMING PARTY (using Cost or Price Summary, EPA form no. 5700-41). i. The PERFORMING PARTY assures that any cost and pricing data submitted for evaluation with respect to prices for this Contract are based on current, accurate and complete data supported by its books and records. ii. If the TNRCC and/or EPA determine that any price negotiated in connection with this Contract was increased by any significant sum tecause the PERFORMING PARTY, or any subcontractor, furnished incomplete or inaccurate cost or pricing data or data not current, then such price or cost shall be reduced accordingly, and the Contract shall be modified in writing to reflect such reduction. ARTICLE 5. BUDGET a. TNRCC's obligation for reimbursement of PERFORMING PARTY's expenses (costs) authorized under this Agreement shall in no case exceed the Maximum TNRCC Obligation Amount set forth in ITEM IV, on page i, of this Agreement, unless this Agreement is formally amended in writing. b. Budgeted expenses authorized under this Agreement are as described in Exhibit B-1. ARTICLE 6. BUDGET CATEGORY ADJUSTMENTS a. The PERFORMING PARTY is responsible for ensuring that expenditure amounts remain within the various budget limits, set forth in Exhibit B-1 to this Attachment. B-3 b. The PERFORMING PARTY may expend funds in excess of the funds listed for a particular budget category within the budget contained in Exhibit B-1 to this Attachment, without requiring an amendment to this Agreement, or otherwise requiring the TNRCC's prior written approval, provided that: i. The cumulative dollar amount of all excess expenditures among direct budget categories is equal to or less than ten percent (10%) of the total amount of the total budget as specified in Exhibit B-1 to this Attachment; Sufficient funds are available in other budget categories, or from earned interest, to cover the excess expenditures; The transfer will not change the scope or objective of the programs, projects, and activities funded under this Agreement; iv. The PERFORMING PARTY adheres to all other requirements of this Agreement obtaining prior written authorization; V. The PERFORMING PARTY notifies the TNRCC as soon as practical of the deviation from the budget categories, and not later than with the first Financial Status Report (rNRCC Form 269a) submitted to the TNRCC after the changes are made. C. The provisions of this Article shall apply in addition to any other standards for budget changes required elsewhere in this Agreement or by applicable law. ARTICLE 7. PERSONNEL a. Salaries for positions funded under this Agreement shall be docxunented by appropriate time and attendance records. At a minimum, those records must include the number of hours worked each day on all projects in which time is shared, the signature of the employee, and the signature of the supervisor. b. Payments firm fiords provided under this Agreement for accruals such as vacation, sick leave, severance pay, or other accruals are allowed only for time during which the employee was employed and performing work under this Agreement. C. The PERFORMING PARTY shall ensure that all personnel assigned to work on activities funded under this Agreement are qualified for the position assigned, and that the number of personnel assigned, as well as the salary of those personnel, are appropriate for the work performed. d. The PERFORMING PARTY shall notify the TNRCC in writing as soon as practical, and not later than with the first Financial Status Report (MCC Form 269a) submitted to the TNRCC after the changes are made, of any changes to the personmel assignments outlined in the PERFORMING PARTY's original funding application. ARTICLE 8. TRAVEL a. Expenses inchxW under the Travel expense category shall be subject to the provision of the budget contained in Exhibit B-1 to this Attachment. B-4 b. All employee travel -related expenses, whether for in -state or out-of-state travel, shall be claimed (.e., reported for reimbursement) at the same rates allowed by the PERFORMING PARTY for its employees or by the State of Texas for its employees, whichever is less. For is -state travel, automobile mileage will be reimbursed at no more than 28 cents per mile; per diem will be for actual costs (lodging and meals) up to $80 per day per individual (maximum of $25 per day for meals and $55 per day for lodging). Copies of the most current state of Texas out-of-state travel standards may be obtained from the TNRCC. Travel allowances or car allowances may not be claimed under this Agreement. C. All travel for which expenses are claimed must be in connection with the tasks and activities required under this Agreement. The PERFORMING PARTY must obtain prior written authorization from the TNRCC for reimbursement under this Agreement of any travel outside of the state of Texas. ARTICLE 9. SUPPLIES a. Expenses included under the Supplies expense category of the budget contained in Exhibit B-1 to this Attachment shall be for non -construction related costs for goods and materials having a unit acquisition cost (including freight) of less than $1,000. Such expenditures shall generally relate to the routine purchase of office supplies (paper, pencils, and staplers) or other goods which are consumed by the PERFORMING PARTY in a relatively short period of time, in the regular performance of the general activities funded under this Agreement. b. Non -routine expenditures of goods and materials, not falling under the definition of Equipment under Article 10 of this Attachment, shall be charged to the Other expense category and are subject to the restrictions outlined in Articles 12 of this Attachment. ARTICLE 10. EQUIPMENT a. Expenses included under the Equipment expense category of the budget contained in Exhibit B-1 to this Attachment shall be for non -construction related, tangible, personal property having a unit acquisition cost of $1,000 or more (including freight and set up costs) with an estimated usefirl life of over one year. b. No purchases of equipment to be charged to the equipment expense category of the budget contained in Exhibit B-1 to this Attachment shall be allowed under this Agreement unless approved ahead of time, in writing, by the TNRCC. ARTICIE 11. CONTRACTUAL EXPENSES a. Expenses included under the Contractual expense category of the budget contained in Exhibit B-1 to this Attachment shall be for costs for professional services or tasks provided by a firm or individual who is not employed by the PERFORMING PARTY. b. No contractual expenses included under the contractual expenses category of the budget contained in Exhibit 1-1 to this Attachment shall be allowed under this Agreement unless such contract has been approved ahead of time, in writing, by the TNRCC, using a format B-5 provided by the TNRCC. All contractual expenditures using funds provided under this Agreement shall meet all procurement laws applicable to the PERFORMING PARTY and the Uniform Grant and Contract Management Act, TEX GOWT CODE ANN. 1783.001 et seq (Vernon, 1992) which adopts `the Common Rule% OMB Circular A-102. C. Any amendment to a PERFORMING PARTY subcontract authorized for reimbursement under this Agreement, whether or not such subcontract required TNRCC pre -approval, which will result in or require substantive changes to any of the tasks required to be performed under this Agreement, as set forth in Attachment A of this Agreement, must be approved in writing by the TNRCC. ARTICLE 12. OTHER EXPENSES a. All expenses under the Other expense categories of the budget listed in Exhibit B-1 to this Attachment must be in connection with the tasks and activities to be performed under this Agreement. b. Except as provided for under Section 11.c of this Article, ao expenses under the Other expense categories of the budget listed in Exhibit B-1 to this Attachment, including computer hardware or software purchases not included under the Equipment expense category, shall be eligible for reimbursement under this Agreement unless approved ahead of time, in writing, by the TNRCC. Subcategories of Other expenses for which prior authorization, as described in Section I l.b of this Article, is not required include: i. Books and reference materials; ii. Dues and membership fees for the PERFORMING PARTY's affiliation with organizations and associations which directly relate to the performance of activities under this Agreement (dues for individual employee affiliation to particular organizations or professional associations, unless listed in Exhibit B-1 to this Attachment, must be approved individually, in writing, by the TNRCC); Subscriptions, only insomuch as they relate directly to the performance of activities under this Agreement; iv. Postage, telephone, and utilities expenses; V. Printing and reproduction expenses; vi. Advertising and public notices; vii. Registration fees and other approved staff training costs (fees and training costs for persons not employed by the PERFORMING PARTY must be approved individually by the TNRCC); viii. Repair and maintenance costs; ix. Office furniture, not filrmg under the definition of equipment under Article 9 of this Attachment; X. Space and equipment rentals; and B-6 xi. Additional Other expenses specifically listed herein. d. The PERFORMING PARTY shall ensure that expenditures charged under the Other expense category are not also included within the expenses reimbursed through the Indirect expense category. ARTICLE 13. FINANCIAL STATUS REPORTS a. Except as otherwise provided in this Article, a Financial Status Report (TNRCC Form 269a) containing as its "reporting period" the latest State fiscal year quarter shall be submitted with each progress report submitted under Attachment A. Such reports shall be required even if no expenses or encumbrances have been incurred during the report period. For each expenditure that falls within either the "Equipment,' 'Construction,' or "Contractual' budget categories, the PERFORMING PARTY shall attach legible documentation (such as copies of invoices marked paid and purchase orders) issued by the contractor or vendor that support the amount being requested. All expenses or costs listed on the Financial Status Report shall be for the period identified in Box 9 of the Financial Status Report. b. When, under a reimbursement payment method, the PERFORMING PARTY has already submitted one or more properly completed Financial Status Reports (MCC Form 269a) together with appropriate TNRCC Supplemental Forms covering the entire time period in question, the report for that quarterly period, required under this Article, shall be considered as having been submitted. A Final Financial Status Report (MCC Form 269a), indicating in the appropriate box that it is the final report, shall be submitted by the PERFORMING PARTY, by not later than forty-five (45) days following the termination date of this Agreement. d. The PERFORMING PARTY shall adequately track program income (interest) earned from the funds provided under this Agreement, and shall document any income, and/or expenditures from that income, in the appropriate section of the financial status report. ARTICLE 14. ADDMONAL REQUIREMENTS a. The TNRCC reserves the right to withhold or deny payment of funds awarded under this Agreement due to materially incomplete, incorrect, or inconsistent reports or tasks required user this Agreement until the PERFORMING PARTY satisfactorily completes, revises, or corrects such services or reports. In the event the PERFORMING PARTY fails to perform any material obligations m accordance with the terms herein, subject to the terms hereof, TNRCC may terminate this Agreement, and pursue such other remedies as are allowed by law, due to the PERFORMING PARTY's continued or repeated failure to perform tasks and submit reports m a complete, correct and consistent manner. The TNRCC also reserves the right to require the reimbursement of any overpayments determined as a result of any audit or inspection of records kept by the PERFORMING PARTY concerning the Agreement supported tasks to be performed. In the event the TNRCC fails to perform any material obligations, in accordance with the terms herein, the PERFORMING PARTY may terminate this Agreement and pursue such other remedies as allowed by law. Notwithstanding the above, if the failure of the TNRCC to perform its obligations is solely as a result of the TNRCC not receiving sufficient funds from EPA, the sole and exclusive remedy of the PERFORMING PARTY is termination of this Agreement. B-7 b. The TNRCC shall not be liable for costs incurred by the PERFORMING PARTY for employee travel or for the purchase or acquisition of any items or services covered under this attachment, except to the extent that the requirements of this Attachment have been fully complied with by the PERFORMING PARTY. C. With respect to any expense, item, or activity which is identified or listed by the PERFORMING PARTY on TNRCC Form 269a or on TNRCC Supplemental Forms, the TNRCC reserves the right to require from the PERFORMING PARTY, prior to providing reimbursement or additional disbursement, additional information concerning (1) the nature or purpose of the expense, item, or activity, (2) how the expense, item, or activity benefited the overall purpose or goal of the grant supported project, and (3) why the expense, item, or activity was necessary for the successful performance of one or more of the grant supported tasks set forth in Attachment A of this Agreement. d. Failure on the part of the PERFORMING PARTY to comply with the conditions set forth in this Agreement shall be the basis for termination of this Agreement, the revocation of any unexpended or inappropriately expended funds, and/or any other remedies permitted by law. ARTICLE 15. ADDITIONAL PROM BITED ACTIVITIES Unless authorization is otherwise specifically provided for in or under the terms of this Agreement, the PERFORMING PARTY shall ensure that funds provided under this Agreement are not used for the following activities, programs, or Projects: a. Construction. Funds provided under this Agreement may not be used for construction, the enhancement or building of permanent facilities. Construction costs include: the cost of planning the project; the cost of materials and labor connected to the construction project; the cost of equipment attached to the permanent structure; and any subcontracts, including contracts for services, which are performed as a portion of the project administered by the PERFORMING PARTY. b. Legislative and Lobbying Expenses. Any expenses (mchuding Legal expenses, staff time, travel, phone calls, and telefaxes) that are related in any way to drafting legislation, lobbying for legislation, or other political activities are not authorized. C. Food/Entertainment Expenses. Funds provided under this Agreement may not be used for food or eatery expewes, including nefivshments at meetings and other functions. This provision does not apply to authorized employee per diem expenses for food costs incurred while on travel status. d. Automotive Repair Costs. Funds provided under this Agreement may not be used to pay for the cost of vehicle repairs or maintenance, including the cost of vehicle parts or labor. This does not apply to administrative expenses incurred while administering a program described in Task 4 (See Attachment A). B-8 EDIT B-1 BASIS FOR CALCULATING RF.Il OURSABLE COSTS (Must reflect all services described in statement of services) Categories C29 Direct Labor $ 21,000 Indirect Costs (rate: 30%) $ 6,300 EqaiPment Reproduction & Printing GPS/GIS Equipment & Training Vehicle Use Public Outreach & Education Capping Wells Total $ 2,500 $ 34,000 $ 51,500 $ 15,000 $ 54,200 $ 28,000 $161,000 Retainage for this contract shall be equal to zero dollars and zero cents ($0.00). 1. t, A. Completed vouchers and their corresponding 269a forms, shall be submitted quarterly to the following address (type or print legibly): Attn: David P. Terry Environmental Scientist Water Utilities Division Mail Code: 155 Texas Natural Resource Conservation Commission P.O. Box 13087 Austin, Texas 78711-3087 ALLOWABLE DIRECT COST CATEGORIES: • Personnel - Costs for salaries and wages. • fringe Benefits - Costs for employee benefits, i.e., social security contribution, retirement, insurance, unemployment compensation, W. • Travel - Costs of transportation, lodging, meals, and related expenses for staff official business travel conducted in carrying out the contract. Travel costs may be paid on the bads of fixed mileage, per diem rates, or actual cost reimbursement. Note: Contractors without formal written travel regulations must use state regulations. • Supplies - Costs for materials and supplies necessary to carry out the program. This includes all supplies and any item of equipment having a purchase price (including freight) of $500.00 or less. a Equipment - Costs for tangible personal property having a unit acquisition cost over $500.00 and a useful life of one year or longer. Equipment must be itemized. Items costing less than $500.00 should be shown under "Supplies." s Contractual - Costs for professional services or advice provided by a firm or individual, who are not employed by the applicant. Charges may include fees and travel costs (transportation/lodging/meals). • Other - All direct cost items not identified and explained in the above categories. Some of the major expenditures that should be budgeted in this category are: 1. Space and equipment rental 2. Utilities and telephone expenses 3. Data processing services 4. Printing and reproduction expenses S. Postage and shipping 6. Contract clerical or other personnel services 7. Contract CPA or bookkeeping services 8. Janitorial services 9. Exterminating services 10. Security services 11. Insurance and bonds 12. Equipment repairs or service (maintenance agreements, etc.) 13. Books, periodicals, pamphlets, and memberships 14. Advertising 15. Registration fees 16. Laboratory expenses 17. Payments to individuals such as stipends and allowances for trainee, consulting fees, etc. 19. Administrative costs rendered by a third party ALLOWABLE INDIRECT COSTS: Indirect Charges - Costs incurred for a common or joint purpose benefiting more than one cost objective of the proposed project and not readily identifiable as a direct cost. These costs may be determined utilizing: A negotiated contract from the applicant organization's Federal Cognizant or State Coordinating Agency (photocopy of contract must be attached); The Standard Indirect Cost Computation Table - Table 1 in the Uniform Grant and Contract Management Standards (UGCMS); or A cost allocation plan may be submitted to the appropriate cognizant or coordinating agency, or to the Texas Natural Resource Conservation Commission Health, Fiscal Services Division for approval of an indirect charges rate. AT TAC MENT C ADDITIONAL CONTRACT PROVISIONS ATTACEMIENT C: ADDITIONAL CONTRACT PROVISIONS ARTICLE 1. RESPONSIBILITY OF TIC PERFORMING PARTY (a) 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 Contract. (b) The PERFORMING PARTY shall perform such professional services as may be necessary to accomplish the work required to be performed under this Contract, in accordance with this Contract and applicable EPA and RECEIVING AGENCY requirements and any and all applicable law. (c) The RECEIVING AGENCY may require the PERFORMING PARTY to correct or revise any errors, omissions or other deficiencies in any reports or services provided by the PERFORMING PARTY to ensure that such reports and services fulfill the purposes of this Contract. The PERFORMING PARTY shall make the required corrections or revisions without additional.cost to the RECEIVING AGENCY. (d) Neither the TNRCC's nor EPA's review, approved or acceptance of, nor payment for any of the services provided under this Contract shall be construed to operate as a waiver of any rights under this Contract or of any cause of action arising out of the performance of this Contract; and the PERFORMING PARTY shall be, and remain, liable in accordance with applicable law for all damages to the RECEIVING AGENCY or EPA inchrdmg reasonable attorneys' fees and court costs which are solely caused by the PERFORMING PARTY's negligent performance of any of the services furnished under this Contract. (e) The obligations of the PERFORMING PARTY under this Article are in addition to the PERFORMING PARTY's other express or implied assurances under this Contract or implied assurances under applicable law. M The RECEIVING AGENCY agrees to provide the PERFORMING PARTY with oversight and coordination with activities stipulated in Attachment A. and reasonable requests imthorized by the- Project Representatives. The RECEIVING AGENCY further recognizes that, where applicable, the PERFORMING PARTY'S responsibilities may be contingent upon the RECEIVING AGENCY'S assistance, oommuaiation, feedback, or oversight. ARTICLE 2. UCEN1SES, PERMITS AND, LAWS The PERFORMING PARTY shall, except as otherwise provided in this Contract, be responsible for obtaining any necessary licenses sad permits, and for complying with any applicable federal, state, and municipal laws, codes and regulations, in action with the work required by this Contract. ARTICLE 3. CONSIDERATION AND PAYMENT (a) Requests for reimbursement must be submitted an S (five) copies of a properly completed State of Texas Purchase Voucher (CcaTt oller of Public Accoumb Form 74-IM or an Interagency Transaction Voucher (Form 73-140) do accompanied by a properly completed and itgned Financial Status Report (State Supplemental Form 269a). The Report shall clearly indicate, for each category of expense in Attachment B, the PERFORMING PARTY's expenditures for the period in question, the PERFORMING PARTY's cumulative expenditures to date, and the balance remaining in each category following reimbursement of the amount being requested. Vouchers and State Supplemental 269a Forms shall cantata sufficient detail for audit thereof, to the individual indicated in Attachment B, Exhibit B-1, Payment Details. C-1 The RECEIVING AGENCY may refuse to reimburse expenditures for which the PERFORMING PARTY submits a voucher more than 60 days after the contract's termination. (b) Allowable Costs: The costs charged under this contract, or the price of this contract, shall be based on allowable costs. Allowable costs are the direst and indirect costs (refer to Attachment B, Exhibit B-2 Allowable Costs, 40 CFR § 31.22, OMB Circular A-87, and Title 48 CFR Sections 31.103 or 31.105 and Subpart 31.2) incurred in or directly attributable to the performance of the services under this Contract, including the following: Direct salary costs (without employee benefits) incurred by the PERFORMING PARTY for the time the PERFORMING PARTY's personnel are directly utilized on the work necessary to fulfill the terms of this Contract. The maximum allowable salary rate (excluding overhead) for individual consultants retained by the PERFORMING PARTY or by the PERFORMING PARTY's subcontractors is the maximum daily rate for Federal Grade Step 18 ("ES-6'). Other allowable direct costs to the extent that they arc reasonable and approved by the RECEIVING AGENCY. (3) Indirect Costs: Overhead costs, employee benefits and other indirect costs agreed to by the RECEIVING AGENCY. These rates shall not exceed the audited indirect cost rates applied to direct labor costs and certain other direct costs, materials and supplies purchased from outside sources, as determined by an audit based on federal procurement regulations in effect for the period of this Contract. (c) Cost/Price Summary: If the total compensation to be paid to PERFORMING PARTY under this Contract exceeds $25,000.00, the PERFORMING PARTY shall provide the following to the RECEIVING AGENCY upon execution of this Contract: (1) a Cost and Price analysis meeting the requirements of 40 CFR 131.36(f) and 40 CFR §31.22. The Cost and Price analysis sball be incorporated into this Contract as Exhibit D-1; and (2) an indirect cost proposal, unless no indirect costs are to be paid under this Contract. The indirect cost proposal nziit be accompanied by 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. (d) The RECEIVING AGENCY shall pay to the PERFORMING PARTY 60 % of the total amount of each invoice, subject to a maximum total payment by the RECEIVING AGENCY of $96,600. This payment shall be made within 30 days of receipt and approval of each invoice. (e) Upon satisfactory completion of the work performed hereunder and prior to final payment under this Contract for such services, or prior to settlement upon termination of the Contract and as a condition thereto, the PERFORMING PARTY shall execute and deliver to the RECEIVING AGENCY a release of all claims against the RECEIVING AGENCY arising under or by virtue of this Contract. (f) Upon satisfactory completion by the PERFORMING PARTY of all of the services identified in Attachment A, including all exhibits to Attachment A, as called for under the terms of this Contract and upon acceptance of such services by the RECEIVING AGENCY, the PERFORMING PARTY will be paid the unpaid balance of any money due for such tasks, including the retained percentages relating to that portion of the tasks, where such C-2 retained percentage are applicable. The PERFORMING PARTY agrees that the determination of satisfactory completion will be based entirely on the judgement of the staff of the RECEIVING AGENCY. The PERFORMING PARTY further agrees to exempt the RECEIVING AGENCY and its staff from damages or claims arising from the enforcement of this provision. (g) Final payment under this Contract or settlement upon termination shall not constitute a waiver of the TNRCC's claims against the PERFORMING PARTY arising under this Contract. (h) RECEIVING AGENCY reserves the right to suspend payment for any servioes or reports pending the PERFORMING PARTY's completion, revision, or correction of services or reports identified in Attachment A. (1) The RECEIVING AGENCY. may require the reimbursement of any over -payments determined as a result of any audit or inspection of seconds kept by the PERFORMING PARTY on work performed under this Contract. ARTICLE 4. AUTHORIZED REPRESENTATIVES (a) The RECEIVING AGENCY EXECUTTVE DIRECTOR will identify a person authorized to give direction to the PERFORMING PARTY, and act on behalf of the RECEIVING AGENCY. The person designated as the RECEIVING AGENCY Authorized Representative is identified in Exhibit C-1, Designation of Authorized Representatives and Designated Location for Record Access and Review. (b) The RECEIVING AGENCY'S EXECUTIVE DIRECTOR hereby authorizes such identified person to further delegate his or her authority as necessary, including any delegation of authority to a RECEIVING AGENCY employee who will act as the TNRCC's authorized Field Representative. Written notice of any such delegation shall be provided to the PERFORMING PARTY. The PERFORMING PARTY may rely on the TNRCC, the RECEIVING AGENCY Authorized Representative or any of its employees, officers, or agents representations that said party has been delegated such authority. (c) The PERFORMING PARTY will identify the person authorized to receive direction from the RECEIVING AGENCY, to manage the vm& being ped'eamed, and to ad on behalf of the PERFORMING PARTY. The person designated as an Authac zed Representative is identified in Exhibit C-1, Designation of Authorized Representatives and Designated Location for Record Aocess and Review. (d) The PERFORMING PARTY agrees to make whatever arrangements are necessary to ensure that the Authorized Representative, or someone to whom that person has delegated his or her authority, is reasonably available at all times for consultation with the RECEIVING AGENCY. Written notice of any such delegation shall be provided to the RECEIVING AGENCY. ARTICLE & TERMINATION (a) Subject to the terms hereof, this Contract shall terminate upon fall performance of all requirements contained herein, unless the Contract term is extended in writing. (b) This Contract may be terminated in whole or is part in writing by either party in the event of substantial facture by the other party to i'ulfill any of its material obligations under this Contract through no fault of the terminating party: Piovided that no such termination may be effected unless die other party is given (1) not less than ddrty (30) days written notice (delivered by certified =4 return receipt requested) of intent to terminate, with specific descittion of the substantial failure, and an opportunity to cure the substantial failure with said time; and (2) an opportunity for consultation with the terminating party prior to termination. C-3 (c) This Contract may be terniinated in whole or in part in writing by the RECEIVING AGENCY for its convenience: Provided that the PERFORMING PARTY is given not less than thirty (30) days written notice (delivered by certified mail, return receipt requested) of intent to terminate. (d) If termination for default under Section (b) or termination for convenience under Section (c) is effected by the RECEIVING AGENCY, an equitable adjustment in the price provided for in this Contract shall be made, but: (1) no amount shall be allowed for anticipated profit on unperformed services, tasks or other work and (2) any payment due the PERFORMING PARTY at the time of termination may be adjusted to the extent of any additional costs occasioned to the RECEIVING AGENCY by reason of the PERFORMING PARTY's defanit However, the equitable adjustment for any termination shall provide for payment to the PERFORMING PARTY for services rendered and expenses incurred prior to the termination, in addition to termination settlement costs reasonably mcurred by the PERFOEV.1ING PARTY relating to commitments which had become firm prior to the termination. (e) Upon receipt of a termination action pursuant to Sections (b) or (c) above, the PERFORMING PARTY shall (1) promptly discontinue all services affected (unless the notice directs otherwise); and (2) make male to the RECEIVING AGENCY two copies of 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 Contract, whether completed or in the process. (f) Upon termination pursuant to Sections (b) and (c) above, the RECEIVING AGENCY may take over the work and prosecute the same to completion by Contract with another party or otherwise. (g) K 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 ooe of the RECEIVING AGENCY. In such event, adjustment of the price provided for in this Contract shall be made as provided in Section (d) of this Article. (h) In the event that the Contract is terminated under Section (c), the RECEIVING AGENCY shall release the PERFORMING PARTY firm all liability or responsibility for complefion of this project ARTICLE 6. CHANGES (a) The Executive Director of the RECEIVING AGENCY, or his Authorized Reprewmtative may, at any 6me, by written won to the PERFORMING PARTY, make changes to the scope of thiis Contract or in the services or work to be performed after reasonable consultation with the PERFORMING PARTY and to the mutual agreement of the RECEIVING AGENCY and the PERFORMING PARTY. If such changes cause an iacrem or decrease in lire PERFORMING PARTY's cost of, or time required for, performance of any services under this Contract, whether or not changed by an order, an equitable adjustment shall be made and this Cant -ad shall be mod£ ad is wry a000Aingiy. Any claim of the PERFORMING PARTY for adjument under this clause mast 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 RECEIVING AGENCY or his Authorized Representative grants a farther period of time before the date of final payment under this Contract. (b) A Major Change will include one or more of the following: (1) An increase or decrease in the amount of compensation to the PERFORMING PARTY; C-4 (2) An extension or shortening of the term of the Contract; (3) A change in the scope of the Contract or the services to be performed; or (4) Any action that is beyond the authority of the RECEIVING AGENCY EXECUTIVE DIRECTOR. (c) Implementation of a Major Change must be preceded by a formal written amendment to the Contract. The amendment must contain a description and justification of the proposed change: and the formal signature of persons authorized to bind each party in contract. Any amendment that will exceed the contractual authority of the RECEIVING AGENCY EXECUTIVE DIRECTOR also requires the consent, at Agenda, of a majority of Commissioners of the RECEIVING AGENCY. (d) Any proposed change that is not a Major Change may qualify as a Minor Change. Such change must be authorized in writing by the Authorized Representatives of both parties, but does not require a formal amendment to the Contract. (a) If the PERFORMING PARTY requests a Minor Change and the Authorized Representative of the RECEIVING AGENCY 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 (c) of this Article. ARTICLE 7. WAIVER Unless authorized in accordance with Article 6 of this Attachment (relating to Changes), or in writing by the RECEIVING AGENCY EXECUTIVE DIRECTOR, no waiver of any obligation of the PERFORMING PARTY under this Contract shall bind the Commission. Furthermore, unless specified in the written authorization, the authorized waiver by the RECEIVING AGENCY EXECUTIVE DIRECTOR of such obligation shall not constitute a continuing waiver of the obligation. Except as provided herein, no waiver by the RECEIVING AGENCY EXECUTIVE DIRECTOR shall constitute a waiver of the Commission's subsequent right to demand and receive performance within a reasonable time to be specified by the Commission, in accordance with all provisions of this Contract. ARTICLE S. FORCE MAJEURE If a force majeure event occurs which causes delays or the reasonable likelihood of delay in the achievement of the r+eq�riremeatts of this Contract, the PERFORMING PARTY shall immediately notify the RECEIVING AGENCY orally and shall, within five (5) working days of the event, notify the RECEIVING AGENCY in writing 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 . A force majeure avant shall be an act of God, strike, war, blockade, public riot, lightning, fire, flood, explosion, governmental restraint or decree, and any other cause, whether of the kind specifically enumerated herein or otherwise, which is not reasonably within the control of the PERFORMING PARTY. ARTICLE 9. ACCOUNTING SYSTEMS The PERFORMING PARTY shall have an accounting system which accounts for costs in accordance with generally accepted accounting standards or principles. The PERFORMING PARTY must propose and account for costs in a manner consistent with such standards or principles. ARTICLE 10. AUDIT, ACCESS TO RECORDS C-5 (a) The PERFORMING PARTY shall maintain and make available for inspection, audit, or review books, financial records, documents, and other evidence directly pertinent to performance on all work under this Contract, including negotiated changes or amendments thereto, in accordance with accepted professional practice, appropriate accounting procedures and practices, and, as applicable, 40 CFR §§ 31.36, 31.42 and 35.935-7 at the PERFORMING PARTY's Texas office. The PERFORMING PARTY shall also make available at this office the financial information and data used by the PERFORMING PARTY in the preparation or support of any cost submission required pursuant to 40 CFR § 31.36 and a copy of the cost summary submitted to the RECEIVING AGENCY. The EPA, the Comptroller General of the United States, the United States Department of Labor, and the RECEIVING AGENCY or any of their duly Authorized Representatives, shall have access to such books, records, documents, and other evidence for the purpose of inspection, audit or review. During the conduct of any such audit, review or inspection, the PERFORMING PARTY's books, financial records, and other pertinent documents may, upon conference with the PERFORMING PARTY, be copied by the EPA, the Comptroller General of the United States, the United States Department of Labor, and the RECEIVING AGENCY or any of their duly Authorized Representatives. All such information shall be handled by the auditing parties in accordance with good business ethics. (b) The PERFORMING PARTY agrees to include Sections (a) through (e) of this Article in all its contracts and all its subcontracts directly related to project performance which are in excess of TwentyFive Thousand Dollars 42s,000). (c) Audits conducted pursuant to this provision shall be in accordance with generally accepted auditing standards and established procedures and guidelines of the reviewing or audit agency(ies). (d) The PERFORMING PARTY agrees to the disclosure of all information and reports resulting from access to records pursuant to Section (a) above to any of the agencies referred to in Section (a) above. Where the audit concerns the PERFORMING PARTY, the auditing agency will afford the PERFORMING PARTY an opportunity for an audit exit conference and an opportunity to comment on the pertinent portions of the draft audit report. The final audit report will inchde the written comments, if any, of the audited parties. (e) Records under Section (a) above shall be maiotained and made available during performance on EPA work under this Contract and until three years from date of final payment by the RECEIVING AGENCY for the project. In addition, those records which relate to any dispute under an EPA cooperative Contract or application for assistance, any litigation, or the settlement of claims arising out of such performance, or costs or items to which an audit exception has been taken shall be maintained and made available until three years after the date of resolution of such disputes, litigation, or claim or exception. Q) Authorized representatives shall have access to records at any reasonable time during the term of this agreement and not less than two (2) years thereafter. However, nothing in this article shall obligate the PERFORMING PARTY to maintain records for a period of time in excess of such time as required by law. (g) Subjed to the terms hereof, this right of access article applies to financial records pertaining to all subcontracts and all subcontract change orders and subcontract amendments. (h) The RECEIVING AGENCY reserves the right to require the reimbursement of any over -payments determined as a result of any audit or inspection of records kept by the PERFORMING PARTY on work performed under this Contract. C-6 ARTICLE 11. ASSIGNABILITY This Contract is not transferable or otherwise assignable by the PERFORMING PARTY. ARTICLE 12. SUBCONTRACTS Any subcontractors and outside associates or consultants required by the PERFORMING PARTY in connection with the services covered by this Contract shall be limited to such individuals or firms as were specifically identified in Attachment A to this Contract and agreed to during negotiations or as are specifically approved by tho RECEIVING AGENCY or person(s) identified in writing under Article 4 during the pe6mmance of this Contract. Any substitution in such subcontractors, associates, or consultants shall be subject to the prior written approval of the RECEIVING AGENCY. ARTICLE 13. UM IZATION OF SMALL, MINORITY, AND WOMEN'S BUSINESS ENTERPRISES (a) In accordance with 40 C.F.R. 1 31.36(e) and RECEIVING AGENCY policy, the PERFORMING PARTY agrees that qualified small, minority, and women's businesses and labor surplus area fume shall have the maximum practicable opportunity to participate in the performance of EPA gram -assisted contracts and subcontracts. (b) In accordance with RECEIVING AGENCY policy, the PERFORMING PARTY agrees that it will attempt to ad ie-m thirty percrat (30%) participation by minority and women's business enterprises in the performance of this project. Consistent with EPA guidance in effect on the date of this Contract, the PERFORMING PARTY agrees that if it fails to achieve twelve percent (12%) participation by minority and women's enterprises over the duration of this project, the PERFORMING PARTY will demonstrate in writing that the six affirmative action steps outlined in 40 C.F.R. 131.36(e)(2) were followed, i.e., that the PERFORMING PARTY: (1) Placed qualified small and minority business enterprises and womm's business enterprises on solicitation lists; (2) Assured that such business enterprises were solicited whenever they were potential sources; (3) Divided total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by such business enterprises; (4) Established delivery schedules, where the requite permitted, which encouraged participation, by such business enterprises; (S) Used the services and assistance of the Equal Opportunity Development Division of the RECEIVING AMWCY, the Small Business Aeration, and lira Mmonty Business Development Agency of the Department of Commerce; and (6) Required its subcontractors to take the affirmative steps listed in Sections 1 S above in all of its subcontracts that contemplate the letting of lower -tier subcontracts. (c) The PERFORMING PARTY's firbure to abide by the terms of this Article shall be yrr xb for termination of this Contract for cause. C-7 ARTICLE 14. EMPLOYMENT PRACTICES The PERFORMING PARTY agrees that in the performance of this Contract it will not disaruninate against any employee or applicant for employment 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 (Title 41 CFR Part 60). ARTICLE 15. AMERICANS WITH DISABILITIES ACT The PERFORMING PARTY shall comply with all applicable regaurinents of the Americans with Disabilities Act of 1990, Public Law 101-336,101 Congress, 2nd Session,104 Stat. 327 (July 26,1990). ARTICLE 16. ENERGY EFFICIENCY STANDARDS 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 the Energy Policy and Conservation Act (P.L. 94-163). ARTICLE 17. UNIFORM GRANT AND CONTRACT MANAGEMENT ACT The provisions of the Uniform Grant and Contract Management Act, TEX GOUT CODE ANN. §783.001 et seq (Vernon, 1992), apply to this Contract. Compliance with the conditions and requirements contained therein is necessary for the satisfactory performance of the services and work required under this Contract. ARTICLE 18. DATA AND PUBLICITY (a) All data and other information developed under this Contract shall be furnished to the RECEIVING AGENCY and shall be public data and information except to the extent that it is exempted f -mn public access by Vernon's Tex. Gov. Code § 552.001 et seq. Upon terminatiian of this Contract, all data and information shall become the property of RECEIVING AGENCY and flee PERFORMING PARTY. (b) Except as otherwise provided by this Contract, the PERFORMING PARTY shall not provide data generated or otherwise obtained in the performance of its responsff) iries under this Contract to any party other than the State of Texas and its authorized agents. (c) Unless required by law, the PERFORMING PARTY agrees 10 notify and obtain the verbal approval of RECEIVING AGENCY prior to releasing any information to the news media regarding the activities being conducted under this Contract if the information being released contains reference, other than as set forth m Article 21 hereof either expressed or implied, to the RECEIVING AGENCY. The Project Representatives shall be authorized to establish reasonable exceptions to this section where the lack of such exceptions would present an unusual hardship to &e PERFORMING PARTY in implementing the services stipulated in Attachment A. (d) All equipment acquired by the PERFORM NG PARTY pursuant to this agreemmit shall be and remain the property of the PERFORMING PARTY upon the Sul completion and texnmuation of this Agreement. ARTICLE 19. PATENTS If this Contract i wdws research, devela wzn1al, oTcrimental, or demonstration work and any discovery or invention arises or is developed in fic course o for under this Contract, such invention or discovery shall be subject to the reporting and rights C-8 and rights provisions of 40 CFR ff 31.25 and 31.36 (Refer to 40 CFR § 30.1101-.1112 and 37 CFR Part 401). In such case, the PERFORMING PARTY shall report the discovery or invention to EPA directly or through the RECEIVING AGENCY and shall otherwise comply with the TNRCC's responsibilities in accordance with Part 31. The PERFORMING PARTY hereby agrees that the disposition of rights to inventions made under this Contract shall be in accordance with the applicable reporting and rights provisions of 37 CFR Part 401. The PERFORMING PARTY shall include provisions appropriate to effectuate the purposes of this condition in all subcontracts involving research, developmental, experimental, or demonstration work. ARTICLE 20. COPYRIGHTS AND RIGHTS IN DATA The PERFORMING PARTY agrees that any plans, drawings, specifications, computer programs, technical reports, operating manuals, and any work as stated in 40 CFR 131.34 are subject to the rights in the United States, as set forth therein as applicable, including the right to use, duplicate and disclose such manuals, etc., in whole or in part, in any manner for any purpose whatsoever, and to have others do so. If the material is copyrightable, the PERFORMING PARTY may copyright such, in accordance with the aforesaid provisions, but the RECEIVING AGENCY and the Federal Government reserve a royalty -free, nonexclusive and irrevocable license to reproduce, publish, and use such materials, in whole or in part, and to authorize others to do so. The RECEIVING AGENCY and the Federal Government also reserve a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use for any purpose whatsoever any rights of copyright to which PERFORMING PARTY purchases ownership with fiords received under this Contract. The PERFORMING PARTY shall include provisions appropriate to effectuate the purpose of these conditions in all subcontracts expected to produce copyrightable work or under which rights of copyright are expected to be purchased. ARTICLE 21. ACKNOWLEDGMENT OF FINANCIAL SUPPORT The PERFORMING PARTY shall acknowledge the financial support of the RECEIVING AGENCY and the U.S. EPA whenever work funded, in whole or part, by this Contract is publicized or reported in news media or publications. All reports and other documents con4b ted as a part of this Contract, other than documents prepared exclusively for internal use within the RECEIVING. AGENCY, shall carry the following notation on the front cover or title page: PREPARED IN COOPERATION VNM THE TEXAS NATURAL RESOURCE CONSERVATION COW&SSION AND THE U.S ENVIRONNIENrAL PROTECTION AGENCY The pieparad a of this report, was Laanoed through grants fioai the U.S. Environmental Protection A,aenry through the Teas Natural Resource Comervation Commission. ARTICLE 22. DEBARMENT In connection with the procurement of the PERFORMING PARTY's services under this Contract and in accordance with Executive Order 12549 and 40 CFR Part 32, the PERFORMING PARTY has submitted Certification Regarding Debarment, Suspension and Other Responsibility Matters, ('Certification) a copy of which is attached hereto and incorporated herein as Exhibit D-2. The PERFORMING PARTY further acknowledges and agrees, that by signing this Contract, the PERFORMING PARTY agrees to be bound by the provisions relating to lower tier participants set forth in 40 CFR Part 32 and in Appendix B - Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transactions, a copy of which is attached hereto and incorporated herein as Exhibit D-3. C-9 ARTICLE 23. INSURANCE AND INDEMNIFICATION To the extent permitted by law, the PERFORMING PARTY agrees to indemnify and hold harmless the TNRCC and all of its employees and officers against and from any and all liability, loss, or damage arisinged of the contract. The PERFORMING PARTY shall require its subcontractors to obtain and maintain, at their own expense, insurance as will protect the subcontractor, the PERFORMING PARTY and the TNRCC, its employees, and its officers from all such claims arising from the performance by the PERFORMING PARTY'S subcontractors or subcontractors' employees resulting from the functions and services required under this Contract, or comprehensive general liability insurance in the amount of $250,000.00 in the aggregate and per occurrence, whichever is less. ARTICLE 24. VIOLATING FACILITIES The PERFORMING PARTY shall not in the performance of this contract use any facility placed on the List of Violating Facilities maintained by the ERA pursuant to 40 CFR Part 15 during the period the facility remains on such list. ARTICLE 25. HEADINGS The headings to sections contained in this Contract are for convenience and reference only and in no way define, describe, extend or limit the scope or intent of the substantive provision to which the heading applies unless the context so requires. ARTICLE 26. ORDER OF PREFERENCE Unless otherwise stated, a listing of factors, criteria or subjects in the Contract does not constitute an order of preference. ARTICLE 27. SEVERABIL 17Y If any provision of this Contract is held invalid, such invalidity shall not affect any other provision which can be given effect without the invalid provision, and to this end the provisions of this Contract are declared to be severable. ARTICLE 28. NOTICE Any notice or other written communication shall be considered delivered three (3) days aRer the date postmarked, provided such notice or written communication is sent by certified mail, return receipt requested, or delivered in person to the authorized representative of the party specified as described in Article 4 this Attachment. ARTICLE 29. REMEDIES (a) In accordance with Tex. Water Code Section 5.354 and Tex. Civ. Practice do Remedies Section 15.014, venue for all claims, counterclaims, disputes, and other matters in question between the RECEIVING AGENCY and the PERFORMING PARTY arising out of or relating to this Contract or the breach thereof shall be in a court of competent jurisdiction in the City of Austin, Travis County, Texas. (b) The parties may agree to submit such claims, counterclaims, disputes, and other matters in question between the RECEIVING AGENCY and the PERFORMING PARTY to a6hration or nrodiation,.but only by written amendment to this Contract signed by both the RECEIVING AGENCY and the PERFORMING PARTY. (c) This article is not intended as a waiver of sovereign immunity. C-10 ARTICLE 30. LOBBYING ACTIVITIES [31 U.S.C. 1352; 40 CFR 34.110(d)] (a) If it is reasonably foreseeable that payments to the PERFORMING PARTY under this Contract 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. (b) 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 Contract for default. (c) The PERFORMING PARTY shall forward to the RECEIVING AGENCY the Certification it is required to submit under Section 1352(b)(2)(C) 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 RECEIVING AGENCY any disclosure forms it is required to submit under Section 1352(b)(2)(A)&(B) of the Act, which requires disclosure of lobbying activities paid for with finds. Copies of the Certification and Disclosure forms are attached hereto as Exhibits D4 and D-5, respectively. (d) 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)(C) 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 RECEIVING AGENCY any of the forms its subcontractors submit to it. ARTICLE 31. ENTIRE CONTRACT This Contract (IneWing the document entitled 'Interlocal Contract,' Attachments A-C, and all Exhibits thereto) represents the entire Contract between the parties hereto and supersedes any and all prior Contracts between the parties, whether written or oral. ARTICLE 32. AMENDMENTS Any amendments, modifications or supplements to this Contract shall be in writing and shall be signed by both parties. END OF ATTACEMENT C C-11 EXHIBIT C-1 DESIGNATION OF AUTHORIZED REPRESENTATIVES AND DESIGNATED LOCATION FOR RECORD ACCESS AND REVIEW (a) The EXECUTIVE DIRECTOR of the TNRCC hereby designates the individual named below as the person authorized to give direction to the PERFORMING PARTY as an Authorized Representative of the TNRCC: David P. Terry Environmental Scientist Water Utilities Division (MC-155) Texas Natural Resource Conservation Commission Voice (512) 239-6020 FAX (512) 239-6050 (b) The PERFORMING PARTY hereby designates the individual named below as the person authorized to receive direction from the TNRCC, to nnanage the work being performed, and to act on behalf of the PERFORMING PARTY as an Authorized Representative: Sherry Stephens Water Programs Manager City of Lubbock Water Utilities P.O. Box 2000 Lubbock, Texas 79457 Voice (806) 767-2989 Fax (806) 7"32 (c) The PERFORMING PARTY designates the following location for record access and review: City of Lubbock Water Utilities 600 Municipal Drive Lubbock, Texas 79401 EDIT D-1 Cost or Price Summary Instructions and Form PURPOSE AND APPLICABILITY The purpose of this form is to provide a simple form for the display of cost and price data. 40 CFR 33.290 requires the recipient to perform cost or price analysis for every procurement action. including subagreement modifications. This form is not required by EPA, but may be used at the recipient's option.. If the recipient currently uses a cost and price analysis form which accomplishes the same objectives as this form, the recipient may use its own form. INSTRUCTIONS If this form is used, CAREFULLY READ AND FOLLOW ALL INSTRUCTIONS. Many items arc not self-explanatory. Attach additional sheets if necessary. Use only the applicable portion of this form: Part I is applicable to all subagreements. Part II is applicable to all subagreements requiring a cost analysis pursuant to EPA procurement regulations. Part III is applicable to all subagre ments where review is bases on price comparison (i.e., price analysis). Part IV certification will be executed as required by the instructions for each block. PART 1-GENERAL Item 1 - Enter the name of the of the recipient as shown on the assistance agreement. Item 2 - Enter the assistance identification number shown on the assistance agreement (or assigned to the project, if no assistance agreement has yet been executed). Item 3 - Enter the name of the contractor or subcontractor with whom the subagreement is proposed to be executed. Item 4 -Enter the date of the contractor's or subcontractoes proposal to the recipient. Item S - Enter the full mailing address of the contractor or subcontractor. Item 6 - dive a brief description of the work to be performed under the proposed subagreement. Part 11- COST SUMMARY This portion of the form is to be completed by the contractor (or his/her subcontractor) with whom a subagreement is a formally advertised, competitively bid, fixed price subagreement. Nothing in the following discussion should be interpreted as recommending the inclusion as direct costs any items normally treated as overhead costs in the firms accounting or estimating system. 40 CFR Part 30 identifies general cost principles applicable to subagreements under EPA assistance. Pursuant to that Pan, all subagreements awarded to profit -making organizations arc subject to, cost principles of 48 CFR 312. Architect engineer and construction contracts are also subject to 48 CFR 31.105. Item 7 - Direct Labor Direct labor costs normally include salaries at a regular time rate. Overtime premiums should be identified separately on an attachment. Exhibit D-1 Incurrence of unanticipated overtime costs requires the approval of the recipient at the time of incurrence. If significant overtime is known to be needed at the time of completion of the cost review form, the reasons therefore, labor categories, rates and hours should be identified on the attachment. Also included is the cost of partners' or principals' time when they are directly engaged in services to be rendered under the subagreement. In case the full time of any employee is not to be devoted to work to be performed under the subagrcement, only the cost ofactual time to be applied should be included. The compensation of a partner or principal shall be included as direct cost only for the time that she/he is expected to be engaged directly in the performance of work under the subagrocment ami only if it is the firm's normal practice to charge such time directly to all jobs. The rate of compensation of a partner or principal shall be commensurate with the cost of employing another qualified person to do such work, but the salary portion shall not exceed the actual salary rate of the individual eoneemed. Distribution of profits shall not be included in the rate of compensation. Enter in block 7 the categories of professional or technical personnel necessary to perform each major clement of work under the subagreement scope of services. Estimate hours worked for each category and extend them by the wage rates to be paid during the actual performance of the work. Current rates, adjusted for projected increases, if any should be useful for the actual categories of labor contemplated. All projected increases should be supported by recent experience or established personnel policy. Enter in the far right column the total estimated direct labor cost. Supporting records to be maintained by the contractor and which must be submitted or made available to the recipient or EPA upon request include: a. The method of estimating proposed hours worked. b. The computation techniques used in arriving at proposed labor rates. c. The specific documents, books or other records used as factual source material to develop proposed hours worked and labor rates. d. Detailed rate computations which were used in computing the information submitted on the form. If in block 14a, the contractor has checked "No," a brief narrative description of the methods used in arriving at items a though d above shall be included on an attached sheet. Item 8- Indirect Costs Indirect cost may consist of one or more pools of expenses which are grouped on the basis of the benefits accruing to the cost objectives represented by the distribution bax or bases to which they are allocated. Since accounting practices vary, the use of particular groupings is not required. Neither is the use of"t particular allocation base mandatory. However, it is mandatory that the method used results in an equitable allocation of indirect costs objectives which they support Normally, the firm's accounting system and estimating practices will determine the method used to allocate overhead costs. The firm's established practices, if in accord with generally accepted accounting principles and PROVIDED THEY PRODUCE EQUITABLE RESULTS IN THE CIRCUMSTANCES, will generally be accepted. Proposed overhead rates should represent the firm's best estimate of the rates to be experienced during the subagreement period. They should be based upon recent experience and be adjusted for known factors which will influence experienced trends. Common overhead groupings are overhead on direct labor and general and administrative expenses. The first groupings usually include employment tares, fringe benefits, holidays, vacation idle time, bonuses, applicable and direct labor, etc. The second generally includes the remaining costs, which, because of their incurrence for common or joint objectives, are not readily subject to treatment as direct costs. It is expected, however, that proposal groupings will correspond with the firm's normal method for accumulating indirect costs. (Under some accounting systems, the first grouping would be included instead under item 7.) No special categorization is required, provided the results are realistic and equitable. Direct salaries are the normal distribution base for overhead cost but in some circumstances other bases produce more equitable results. As in the case of overhead cost groupings, the method to be used will depend upon the firm's normal practices and the equity of the results produced in the circumstances. In the case of multibranch firms, joint ventures, or affiliates, it is expected that overhead costs applicable to specific location(s) where work is to be based on cost data from the most recent fiscal periods updated to reflect changes in volume of business or operations. Enter in block 9 the indirect cost pools normally used by the firm for allocation of indirect costs. Enter indirect cost rate for each pool and extend each one by the rate base to which it applies to arrive at the estimated indirect costs to be incurred during the actual performance of the work If dic indirect labor total from block 7 is not used as the rate base for any of the indirect cost pools, the rate base used must be explained on an attached sheet. A brief narrative statement outlining the firm's policies and practices for accumulating indirect costs. Enter the indirect cost rate costs and the method used to compute the proposed rate or rates shall accompany the form. Include comment on the firm's policies regarding the pricing and costing of principals' time. The normal accounting treatment of principals' salaries, the annual amounts, and the hourly charge rate, if used, should be discussed. Enter in the far right column the total estimated indirect costs. Supporting records to be maintained by the contractor and which must be submitted or made available to the recipient or EPA upon request include: a. Detailed cost data showing overhead accounts, allocation bases, and rate computations for the preceding fiscal period. If more than six months of the current fiscal period have elapsed, cost data for this Exhibit D-1 • period should be included as one of the three period(s). b. Company budgets, budgetary cost data and overhead rates computations for future period(s). Item 9 - Other Direct Costs The following items are illustrative of costs normally included in this category of costs: a. Travel cast including transportation, lodging, subsistence, and incidental expenses incurred by personnel or consultants while in #%ml status in connection with the performance of services required by the contract. The cost principles generally require the use of less than first class air accommodations and also limit the cost of private aircraft. b. Equipment Materials, and Supplies (1) Long distance telephone calls~ telegraph and cable expenses to be incurred in connection with the performance of services required in connection the subagreement (2) Reproduction costs, including blueprints, black and white prints, ozalid prints, photographs, photostats, negatives; and express charges. (3) Commercial printing, binding, artwork; and models (4) Special equipment c. Subcontractors d. Other Direct costs, ifany, not included above. Enter in blocks 9a-d all other direct costs proposed. Travel costs entered must be supported by an attachment which identifies the number of staff trips proposed and the estimated cost per staff trip for both local and long distance transportation. The number of days and the rate per day must be provided to support the per diem shown. Each subcontract and consultant agreement must be identified separately in block 9c. Enter in the far right column on line 9e the total of all other direct costs (9a-d). Suppotting data to be maintained by the contractor and which must be submitted or made available to the recipient or EPA upon request include: a. basis for other direct costs proposed. b. factual sources of costs, rates, etc., used in computing proposed amount of each cost element. Item 10 - Total Estimated Cost Enter the total of all direct labor, indirect costs and other direct costs from items 7, 8, and 9. Item 11- Profit A fair and reasonable pravision for profit cannot be made by simply applying a certain predetermined percentage to the total estimated cos[ Rather, profit will be estimated as a dollar amount after considering: a. degree of risk b. nature of the work to be performed. c. extent offirm's firvestment d. subcontracting of work, and e. other criteria. The Federal Acquisition: Regulation cast principles applicable to subagreements with profit -making organizations (40 CFR 31.2 and 31.105) disallow certain types of costs which are sometimes incurred by firms in the normal conduct of their business. Examples of costs which are not allowable under these costs principles include, but are not limited to, entertainmen4 interest on borrowed capital, and bad debits. Because the Government considers "profit" to be the excess ofprice over allowable casts, such computation can indicate a higher profit estimate that the firm's experienced profit as it customarily computes it The contractor pray separately disclose to the recipient its customary computations Enter the dollar amount of profit in block 11. Item 12 - Total Price Enter the total of items 10 and 11. Part III - PRICE SUMMARY This portion of the form is for use by a recipient when price comparison, i.e., price analysis, is used subagreement review. It may also be used by a contractor when price comparison is used as a basis for award of a subcontract Item 13 - Competitor's Catalog Listings, In -House Estimates, Price Quotes Enter sources of all competitive bids or quotes received, or catalogs used and their prices, or in-house estimates made, if appropriate, for comparison. Attach additional sheets if necessary, particularly for, purchases of several different items. Enter in the far right column the proposed price for the subagreement. Part IV - CERTIFICATIONS Item 14 - Contractor - FOR USE BY CONTRACTOR OR SUBCONTRACTOR ONLY. Exlubit D-1 Complete this block only if part II has been completed. Enter the specific cost principles with which the costs summary of Part 11 conforms. Cost principles applicable to subagreements with various types or organizations are identified in 40 CFR Part 30.4010. Cost principles applicable to subagtxrnrnts with profit -making organizations are those at 48 CFR 312 and, for architect -engineer or construction contracts, 48 CFR 31.105. c. (1) Describe the proposal, quotation, request for price adjustment, or other submission involved, giving appropriate identifying number (e.g., RFP No. (2) Enter the date when the price negotiations were concluded and the contract price was agreed to. The responsibility of the subagreement is not limited by the personal knowledge of the contractoes negotiator if the time of agreement, showing that the negotiated price is not based on complete, current, and accurate data (3) Enter the date of signature. This date should be as close as practicable to the date when the price negotiations were concluded and the subagreement price was agreed to (not to exceed 30 days). Item 15 - Recipient Reviewer - FOR USE BY RECIPIENT ONLY. If required by applicable assistance regulations, the recipient must submit the signed form for EPA review prior to execution of the subagreement. Item 16 - EPA Reviewer - FOR USE BY EPA ONLY. t19 1.61% 1":153 .\ wFiiC' _. ;1,oC-_i. G� _ � v�PA COST OR PRICE SUMMARY tta JFa&wtkw be&m form) fi?II►1 �I+e yen Mv►+T e+r�+•+ ra�1.88 1. REOPIENT Texas Natural Resource Conservation Commission 1 A. ASNITANCE EMMFiCATM NO. •.1ihW CONTRACTOR OR SUBCONTRACTOR Citj of Lubbock 4. DATE OF PROPOSAL 11-8-96 6. ADORES$ OF CONTRACTOR OR SUICONTRACTOR [#X* d.IF C"w Water Utilities P.O. Box 2000 Lubbock, TX 79457 s. TYPE OF SIPMCE TO N FURWA*D Wellhead Protection Best Management Practices Implementation TCLONONE NVM6ERb►+c0jd# At" Co*; EMT � • COfT 1. aF= LAM fAw*#�Y hbr �Tltt+N rONRR MURLY RATE leTMAIW Cosi TOTALS Engineering Tech 1.920 1 4 10.92 s. fewecT UWAUP Stability, retirement Social Security 0 s 21.000 Insurance, Worker's cam 00 cag= VRAA& UnNAleo War "AYK tummy 7 t1T�T� T ReDroductleg I Drintine Equipment 6 Training Vehicie Use 1 20 7. T r . tiT7YATfD T amp 1 UTUM can u is treac Education capping e s 13 `7 n Ott fLI�WA Oft it 61.000 EPA, Yo m S7ia41 ¢t". 4*Q Pterious edition xW be used utd rippW we satbwslsd. 1/13/1996 16:34 686-763-8167 WATERMAN PAGE 82 d` , L IS, yb 1 S : b4 1 A WA I kr! 1-LMM 1 jFJ kP I LF: L-' : L W- ►M? tJ • 6VMMA1lY +a. cowlmoR's CATALOG USTIMOS, V44JWs2 RJIT*AATM MtM nVvns MARKET Fil FROPOW ...� •r.C�. �Y I` t rr �L �i�M�> M PAW IV - M" T 140. NASA PINUL AGENCY OR K=RALLY aRT119ED STATE OR LOCAL ABENCY ►tRFM4W ANY Rn19W OF YOUR ACCWJWM a" PACO" CQ"N[CT" YMM ANY OTHEFED R ERAL IISSPOTANCt ACRE EMT OR cONTRACT Y�ATmm THE MST 1t k NTHSt On*� NO dl 'ra' plra ►rKne, Aaltlsa, .ram a1►.phon. r,�« orhrrf�wl�p olt7o+1 Annual Reviews performed by: Robinson, Burdett, Hartin & Cowan, L.L.P. 1500 Broadway, Suite 1300 Lubbock, TX 79401 Sample review attached to this summary 14b. TTAS SVMMARY COWORMS WITH THE FOILOWIMG COST PMMCIRES OM Circular A-87 140. TWO "eell In 4%kff lt'ed Ier WW In eennesdan VVM and to MWOR" to: 11Section 319 FY96 Grant Project: Uellbead Protection Program - Best Management Practices Implementation TNO b to ea" to the beat of"qRavoudes See bast t M no sort wad PeAing dale VAM'Puta Rarda an sernptNU, earrar1 aM1d «+un►eo as St 111 DATE 11- 3-96 1 ftsftr eer ft t41rt a f rood wwnepanerd aapsblRq 1r14n Ode pleJaol. 11WVW awdty Cut I Lrdo/a1a 4 t1+ot tM "bprvN=M post M" is eYbloa to dowmrard rwwvds*n arle/ur H9w4wt M W41ere 1ha abb- sees artd onshadel-4 bW bypr. lkwminoda end warit0s e{ the N P1 Trux Or PitOF0UR , • MWATVRR OF RAVIRVVIR OI rtChi- of t. )44t- 1�+hf 1*4 Terry Ellerbrook PATS OF VQQnIOM 1 S. *90%tMTPXVUMA .» Tall or PROrmto NOIU►Ti!!tt 01 WYRWEII DAn OF 0mcut" ti. IPA A T;TLLr OF F'RO"SER S"ATVRE OF ftVe& 1A GAT! OF MCVT10M E7EIIBIT D-2 Certification Regarding Debarment, Suspension and Other Responsibility Matters EPA EXHIBIT D-2 !PA hvjea Oomioi Nmber Ueimd &A" Pnvim meow Praeaion Agency Wnrbingmn. DC 2oeeo Certification Regarding Debarment, Suspension, and Other Responsibility Matters The Prospective participant certifies to the best of its knowledge and belief that it and its principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; (b) Have not within a three-year period preceding this proposal been convicted of or had a civil judgement rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a government entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (b) of this certification; and (d) Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State, or local) terminated for cause or default. I understand that a false statement on this certification may be grounds for rejection of this proposal or termination of the award. In addition, under 18 USC Sec. 1001, a false statement may result in a fine of up to $10, 000 or imprisonment for up to 5 years, or both. Typed Name & Title of Authorized Representative Signature of Authorized Representative Date 13 I am unable to certify to the above statements. My explanation is attached. zPA rore 5700-49 (11-81) ;I : I I S Y I�c7 Certification Regarding Debarment, Suspension, and Other Responsibility Matters Lower Tier (to be filled out by all lower tier contractors & recipients) EPA EXHIBIT D-3 LOWER TIER CPA Project Control Number Unites States Cnvironmental Protection Agency Yasnington, DC 20660 Certification Regarding Debarment, Suspension, and Other Responsibility Matters The Prospective participant certifies to the best of its knowledge and belief that it and its principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; (b) Have not within a three-year period preceding this proposal been convicted of or had a civil judgement rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction;. violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a government entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (b) of this certification; and (d) Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State, or local) terminated for cause or default. I understand that a false statement on this certification may be grounds for rejection of this proposal or termination of the award. In addition, under 18 USC Sec. 1001, a false statement may result in a fine of up to $10,000 or imprisonment for up to 5 years, or both. Typed Name & Title of Authorized Representative Signature of Authorized Representative Date O I am unable to certify to the above statements. -My explanation is attached. CPA rorm 5700-49 (11-PP) :4:11: Certification Regarding Lobbying Must be filled out by PERFORMING PARTY if the contract i5 over $100,000.00 Exhibit DA CERTIFICATION REtARDING LOBBYING Certification for Contracts, Grants, Loan, and Cooperative Agreements Ile undersigned certifies, to the best of his or her knowledge and belief, that: (1) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or any employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts raider grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to the civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Statement for Loan Guarantees and Loan Insurance The undersigned states, to the best of his or her knowledge and belief, that: If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL,.'Disclosure Form to Report Lobbying,' in accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fans to file the required statement shall be subject to a civil penalty of not less than $10,000 and mot more than $100,000 for each such failure. ORGANIZATION NAME AWARD NUMBER NAME AND TITLE OF AUTHORIZED REPRESENTATIVE SIGNATURE DATE Please check appropriate box below: [ ] Disclosure Form attached [ ] Disclosure Form Forthcoming [ ] Disclosure Form Not Applicable I EX " IT D-S Disclosure of Lobbying Activities Must be filled out by PERFORMING PARTY if the contract is over $100,000.00 Exhibit D-5 Page I of 3 DISCLOSURE OF LOBBYING ACTIVITIES Complete this form to disclose lobbying activities pursuant to 31 USC 1352 1. Type of Federal Action: [ J 2. Status of Federal Action: [ J 3. Report Type: [ ) a. contract a. bid/offer/application a. initial filing b. grant b. initial award b. material change e. cooperative agreement c. post -award d. loan For Material change only: e. loan guarantee year Quarter 4. Name and Address of Report Entity 5. if Reporting Entity in No. 4 is Subawardee, enter name and address of [ I prime [ I subawardee Prime: her , if known: Congressional District, if known: ional Districk if known: 6. Federal Department/Agency: 7. Federal Program name/Description: g. Federal Action Number, if known: 10. a. Name and address of Lobbying Entity (if individual, last mate, first name, Ml): 11. Amount of Payment (check all that apply): $ [ J actual [ J planned 12. Amount of payment (check all that apply): [ 1 a. cash [ 1 b. in -kind; specify nature value 9. Award Amount if known: S b. Individuals Performing Services (including address if different from No. 10a) (last name, first name, M1): 13. Type of Payment (check all that apply): [ J a. retaraer [ 1 b. one-time fee [ ) c. commission [ 1 d. contingent fee [ 1 e. deferred [ J f. other, specify: 14. Brief description of services perforated or to be performed and date(s) of service, including officer(s), employee(s), or Member(s) contacted for Payment indicated in Item 11: (attach Continuation sheets) SF-LLL-A if necessary) SF-LLL-A attached: I I Yes Signature Print Nacre Titre Telephone No. Date Exhibit D-S DISCLOSURE OF LOBBYING CONTINUATION SHEET Reporting Entity: Page 2of3 Page of Authorized for Local Reproduction Standard Form - LLL-A Exhibit D-5 Page 3 of 3 INSTRUCTIONS FOR COMPLETION OF SF-LL DISCLOSURE OF LOBBYING ACTIVITIES This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or receipt of a covered Federal action. or a material change to a previous filing, pursuant to Title 31 U.S.C. Section 1352. The filing of a form is required for each payment or agreement to make payment to any lobbying antity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action. Use the SF-LLL-A Continuation Sheet for additional information if the space on the form is inadequate. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information. I . Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action. 2. Identify the status of the covered Federal action. 3. identify the appropriate classification of this report. If this is a follow-up report caused by a material change to the information previously reported, enter the year and quarter in which the change occurred. Enter the date of the lest previously submitted report by this reporting entity for this covered Federal action. 4. Enter the full name, address, city, state and zip code of the reporting entity. Include Congressional District if known. Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or subaward recipient. Identify the tier of the subawardee, e.g., the first subawardee of the prime is the first tier. Subawards include but are not limited to subcontracts, wbgrants, and contract awards under grants.. 5. If the organization filing die report in hem 4 checks 'Subawardee", then enter the full name, address, city, state and zip code of the prime Federal recipient. Include Congressional District, if known. 6. Enter the name of the Federal Agency making the award or loan commitment. Include at least one organizational level below agency name, if known. For example, Department of Transportation, United States Coast Guard. 7. Enter the Federal program name or description for the covered Federal action (Item 1). if known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments. a. Enter the most appropriate Federal identifying number available for the Federal action identified in Item 1 (e.g., Request for Proposal (RFP) number, invitation for Bid (IFB) number, grant announcement number, the contract, grant, or loan award number, the application/proposal control number assigned by the Federal agency) Include prefixes, e.g., RFP-DE-90-001.' 9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan commitment for the prime entity identified in item 4 or 5. 10. (a) Enter the full name, address, city, state and zip code for the lobbying entity engaged by the reporting entity identified in Item 4 to influence the covered Federal action. (b) Enter the toll comes of the individual(s) performing services, and include full address if different from 10(a). Eater Last Name, Fast Name, and Middle Initial (MI). 11. Enter die amount of ration paid or reasonably expected to be paid by the repotting entity (Item 4) to the lobbying entity (Item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this is a material change report, enter the cumulative amount of payment made or planned to be made. 12. Check the appropriate box(es). Check all boxes that apply. If payment is made through an in -kind contribution, specify the nature and value of the in -kind payment. 13. Check the appropriate box(ex). Check all boxes that apply. If other, specify nature. l4. Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to perform., and the date(s) of any services rendered. Include all preparatory and related activity, not just time spent in actual contact with Federal officials. identify the Federal official(,) or employee(:) contacted or the officer(s), employee(,), or Member() of Congress that were contacted. 15. Check whether or not a SF-LLL-A Continuation Shect(s) is attached. 16. The certifying official shall sign and date the form, print his/her name, title, and telephone number. Public reporting burden for this collation of information is estimated to average 30 minutes per response, including time for reviewing instruction, searching existing data sources, gathering and maintaining tine data needed, and completing and reviewing the collection of information. Send comments regarding the - burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to the Office of Management and Budget Paperwork Reduction Project 48-004 , Washington, D.C. 29503.