HomeMy WebLinkAboutResolution - 2004-R0557 - Resolution Authorizing Filing Of Solid Waste Grants Program With SPAG - 11_18_2004Resolution No. 2004—RO553
November 18, 2004
Item No. 21
RESOLUTION
A RESOLUTION OF THE CITY OF LUBBOCK, TEXAS, AUTHORIZING
THE FILING OF A GRANT APPLICATION WITH THE SOUTH PLAINS
ASSOCIATION OF GOVERNMENTS FOR A REGIONAL SOLID WASTE GRANTS
PROGRAM GRANT; AUTHORIZING THE MAYOR TO ACT ON BEHALF OF THE
CITY OF LUBBOCK IN ALL MATTERS RELATED TO THE APPLICATION; AND
PLDEDGING THAT IF A GRANT IS RECEIVED THE CITY OF LUBBOCK WILL
COMPLETELY COMPLY WITH THE GRANT REQUIREMENTS OF THE SOUTH
PLAINS ASSOCIATION OF GOVERNMENTS; THE TEXAS COMMISSION ON
ENVIRONMENTAL QUALITY AND THE STATE OF TEXAS.
WHEREAS, the South Plains Association of Governments is directed by the
Texas Commission on Environmental Quality to administer solid waste grant funds for
implementation of the COG's adopted regional solid waste management plan;
WHEREAS, the City of Lubbock in the State of Texas is qualified to apply for
grant funds under the Request of Applications.
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK:
1. THAT the Mayor of the City of Lubbock is hereby authorized and directed to
request grant funding under the South Plains Association of Governments Request for
Applications of the Regional Solid Waste Grants Program and act on behalf of the City of
Lubbock in all matters related to the grant application and any subsequent grant contract
and grant project that may result.
2. THAT if the project is funded, the City of Lubbock will comply with the grant
requirements of the South Plains Association of Governments, the Texas Commission on
Environmental Quality and the State of Texas.
3. THAT the grant funds and any grant -funded equipment or facilities will be used
only for the purposes for which they are intended under the grant.
4. THAT activities will comply with and support the regional and local solid
waste management plans adopted for the geographical area in which the activities ware
performed.
5. THAT the City Secretary of the City of Lubbock is hereby authorized and
directed to make a certified copy of this Resolution available for said grant application.
Passed by the City Council this 18th day of
ATTEST:
Rebe ca Garza, City Secretary
November
, 2004.
MARL M115bUgAL, MAYOR
APPROVED AS TO CONTENT:
oac, kRafly�
Debra Frankhous r, Solid Waste Collections Manager
APPROVED AS TO FORM:
G. Vanier, Attorney of
Mres/SPAGsolwasGrantRes
November 2, 2004
Resolution No. 2004-RO557
STATE OF TEXAS
COUNTY OF LUBBOCK
FY2005 SOLID WASTE MANAGEMENT PROJECT CONTRACT
This Agreement is made this 1st day of February , i, by and between the South
Plains Association of Governments, hereinafter referred to as the "PLANNING AGENCY"
and the City of Lubbock, hereinafter referred to as the "GRANTEE". Neither the TCEQ nor
the State of Texas is a party to this Agreement.
WITNESSETH:
WHEREAS, PLANNING AGENCY desires to enhance certain solid waste management
activities in its region;
WHEREAS, one of the objectives of the PLANNING AGENCY is to support local and
regional solid waste projects in conjunction with the Texas Commission on Environmental
Quality, (TCEQ), hereinafter referred to as the "STATE AGENCY";
WHEREAS, PLANNING AGENCY has entered into Contract Number `05-02-G0 '
("TCEQ Contract") with the State Agency to obtain certain funds to accomplish certain
objectives of HB 3072,74`h Texas Legislature, as such bill relates to the support of local and
regional solid waste projects;
WHEREAS, all such regional solid waste projects shall comply with the provisions of 30
TAC Chapter 330 of the Texas Natural Resource Code;
WHEREAS, GRANTEE desires certain grant funds from PLANNING AGENCY and
PLANNING AGENCY is willing to provide such funds to GRANTEE to accomplish certain
Solid Waste Management Projects contemplated by HB 3072 and the TCEQ Contract;
WHEREAS, the GRANTEE shall adhere to the Single Audit Requirements of the Uniform
Grant and Contract Management Act.
NOW, THEREFORE, in consideration of the mutual covenants and promises contained
herein, and for good and valuable consideration, the PLANNING AGENCY and GRANTEE,
agree as follows:
Article 1. Work
GRANTEE shall complete all work as specified or indicated in the Agreement.
Article 2. Contract Times
This Agreement shall commence on the Effective Date and terminate on July 3T 2005 This
Agreement shall immediately terminate at the end of any state fiscal year for which the Texas
Legislature fails to appropriate funds necessary to perform this Agreement.
Article 3. Contract Price
PLANNING AGENCY shall provide GRANTEE with grant funds not to exceed fi -three
thousand and nine hundred and ninety eight dollars ($53.998.001 unless the parties amend
this amount in accordance with this Agreement. Furids'are to be used for the sole purposes
described herein.
The GRANTEE must receive written authorization to purchase prior to purchasing any
equipment.
The GRANTEE'S expenditures must adhere to the authorized budget. To applicable
contracts, the "Estimated Cost of Operation" includes the grant -funded amount plus in -kind
and/or matching funds to arrive at total "Estimated Cost of Operation."
Article 4. Payment Procedures
GRANTEE shall submit Applications for Payment in accordance with the Program
Conditions and the General Conditions of this Agreement. Requests for reimbursement must
be made in accordance with the terms in this Agreement. See General Conditions, Section
5.11.
Article 5. Fundin
This Agreement is funded through the Municipal Solid Waste Disposal and Transportation
Revenue Fee. This Agreement is subject to: (1) §361.014 of the TEXAS HEALTH AND
SAFETY CODE and (2) the Uniform Grant and Contract Management Act. Texas
Government Code, §783.001 et seq., and the Uniform Grant Management Standards for State
Agencies, 1 Texas Administrative Code, §5.141 et seq.
Article 6. GRANTEE's Representations
In order to induce PLANNING AGENCY to enter into this Agreement THE GRANTEE
makes the following representations:
6.1 GRANTEE has examined and carefully studied the Agreement and other related data
identified in the Agreement.
6.2 GRANTEE is familiar with and understands all federal, state and local Laws and
Regulations that may affect cost, progress, performance or furnishing of the work.
6.3 GRANTEE is aware of the general nature of work to be performed by PLANNING
AGENCY and others that relates to the work as indicated in the Agreement.
6.4 GRANTEE has given PLANNING AGENCY written notice of all conflicts, errors,
ambiguities or discrepancies that GRANTEE has discovered in the Agreement and
the written resolution thereof by the PLANNING AGENCY is acceptable to
GRANTEE, and the Agreement is generally sufficient to indicate and convey
understanding of all terms and conditions for performance and furnishing of the work.
6.5 GRANTEE hereby ratifies and attests to all certifications and deliverables it has
provided to PLANNING AGENCY during the offer process and agrees to give
2
prompt written notice to PLANNING AGENCY if there is any material change in
these certifications or deliverables.
Article 7. Contract Documents
The Contract Documents, which comprise the entire Agreement between the PLANNING
AGENCY and GRANTEE concerning the work, listed in the order of preference in the event
of a conflict, consist of the following:
7.1 The Regional Standard Form of State Funded Grant Agreement.
7.2 Regional Solid Waste Grants Program Conditions.
7.3 The Regional Standard Form of State Funded Grant General Conditions.
7.4 GRANTEE'S Application.
7.5 The following which may be delivered or issued after the Effective Date of the
Agreement and are not attached hereto: All Written Amendments and other
documents amending, modifying or supplementing the Agreement pursuant to the
General or Program Conditions. These documents will be attached to the Agreement
following execution thereof.
There are no Contract Documents other than those listed above in this Article. The
Agreement may be amended, modified or supplemented only as provided in the General
Conditions.
Article 8. Miscellaneous
8.1 Terms used in this Agreement, which are defined in Article 1 of the General
Conditions, will have the meanings indicated in the General Conditions.
8.2 No delegation by a party hereto of any duties or obligations nor assignment by a party
hereto of any rights under or interests in the Agreement will be binding on another
party hereto without the written consent of the party sought to be bound; and,
specifically but without limitation, monies that may become due and monies that are
due may not be assigned without such consent (except to an extent that the effect of
this restriction may be limited by law), and unless specifically stated to the contrary
in any written consent to an assignment, no assignment will release or discharge the
assignor from any duty or responsibility under the Agreement.
8.3 The PLANNING AGENCY and GRANTEE each binds itself, its partners,
successors, assigns and representatives to the other party hereto, its partners,
successors, assigns and representatives in respect to all covenants, agreements and
obligations contained in the Agreement. This Agreement is not transferable or
otherwise assignable by the GRANTEE without the written consent of the
PLANNING AGENCY and any attempted transfer without such consent is void.
8.4 The parties hereby agree that this agreement does not waive the State's sovereign
immunity relating to suit, liability, and the payment of damages. The parties further
agree that all claims, suits or obligations arising under or related to this Agreement
are subject to and limited to the availability of funds appropriated by the Texas
Legislature for that respective claim, suit or obligation.
8.5 Any provision of the Agreement held to be void or unenforceable under any Laws or
Regulations shall be deemed stricken, and all remaining provisions shall continue to
be valid and binding upon PLANNING AGENCY and GRANTEE, who agree that
Agreement shall be reformed to replace such stricken provision or part thereof with a
valid and enforceable provision that comes as close as possible to expressing the
intention of the stricken provision.
8.6 The GRANTEE acknowledges and agrees that because this Agreement has been
executed and will be administered in Lubbock County, Texas, that the Agreement is
to be performed in said County. The GRANTEE acknowledges and agrees that any
permissible cause of action involving this agreement will arise solely in Lubbock
County. If a legal action related to this claim is permissible and there are two (2) or
more counties of proper venue under the rules of mandatory, general, or permissive
venue, and one such county is Lubbock County, the GRANTEE hereby agrees to
venue in Lubbock County.
8.7 Any notice issued pursuant to this Agreement shall be addressed to the respective
party at the addresses set out below, or at such other address as they have theretofore
specified by written notice. Such notices shall be sent by certified mail, return receipt
requested, or shall be delivered in hand and a receipt provided therefore. Any notice
or other written communication shall be considered delivered three (3) days after the
date postmarked, provided it is sent in accordance with this Article.
ADDRESSES FOR NOTICE:
PLANNING AGENCY: South Plains GRANTEE: City of Lubbock
Association of Governments
Kelli McElhone Debra Frankhouser
(Printed Name) (Project Manager) (Printed Name) (Project Manager)
PO Box 3730 Freedom Station
(Address)
Lubbock, TX 79452
P.O. Box 2000
(Address)
Lubbock, TX 79457
IN WITNESS WHEREOF, PLANNING AGENCY and GRANTEE have signed three
(3) originals of this Agreement. One executed counterpart has been delivered to
GRANTEE and two executed counterparts have been delivered to PLANNING
AGENCY.
This Agreement will be effective on February 1, 2005 (which is the Effective Date of
the Agreement).
2005
Executed on February 1 , 2994., at Lubbock, Lubbock County, Texas.
(Printed Name)
Executive Director
(Title)
Idiq I O� —
(Date)
Approved as to Content:
0&—k Amfqklpt�y'
Debra Frankhouser
Manager of Solid Waste
City of Lu bock
(By �re1
Marc McDougal i
(Printed Name)
Nbvor
(Title)
February 1, 2005
(Date)
Attest: Q�
R Garza, City Secretary Q5
Approved as to form..
�.,., ,— -ney
PROGRAM CONDITIONS
Article 1. Grant Funds
1.1 Specifically subject to availability of funds and verification of expenditures,
PLANNING AGENCY agrees to reimburse GRANTEE for all sums expended by
GRANTEE for the purposes set forth below and authorized by this Agreement;
however, in no event shall such reimbursement exceed the amount set forth in
Article 3 of the Agreement section above pertaining to Contract Price.
1.2 GRANTEE agrees that such funds shall not be used for any expense, cost, or
charge incurred by GRANTEE prior to the effective date of the Agreement or for
expense, cost, or charges incurred after termination date of this Agreement as set
forth below.
Article 2. Purpose (s)
2.1 The City of Lubbock seeks to enhance their recycling drop-off center with the
purchase of equipment.
Article 3. GRANTEE Duties
GRANTEE shall, during the term of this Agreement:
3.1 Create a Solid Waste Management Project as described in Attachment A
incorporated by reference.
3.2 Obtain and maintain during the term of this Agreement all permits and licenses
necessary to operate the machinery and equipment purchased with the Funds
provided herein.
3.3 Comply with all Federal, State, and Municipal laws, regulations, and ordinances
in the performance of this Agreement.
3.4 Establish and provide PLANNING AGENCY with policies, procedures, and
hours of operation for the Plan contemplated by this Agreement.
3.5 Notify PLANNING AGENCY in writing within thirty (30) days of any change in
Plan policies, procedures, or hours of operations.
3.6 Provide PLANNING AGENCY, on a quarterly basis or as required, beginning
January 1, 2005, with written status and progress reports of the Plan. It is
required that the GRANTEE submit a final progress report or mechanism to
certify in writing the completion of all activities and deliverables. The use of
standard reporting forms is to be provided by the PLANNING AGENCY. For the
final progress report see Attachment A Exhibit 3 — Project Summary Report.
3.7 Maintain accurate books, records, and documentation detailing work performed
and Funds spent pursuant to this Agreement and allow PLANNING AGENCY
access to review and inspect such books, records, and documentation upon
reasonable notice to GRANTEE.
3.7.1 The GRANTEE shall maintain and make available for review, inspection
and/or audit, books, records, documents, and other evidence reasonably
pertinent to performance on all work under this Agreement, including
negotiated changes or amendments thereto, in accordance with accepted
professional practice, appropriate accounting procedures and practices at
the GRANTEE'S office. The GRANTEE shall also maintain and make
available at its Texas office the financial information and used by the
GRANTEE or its designee (including independent financial auditors) in
the preparation or support of any cost submission or cost (direct and
indirect), price or profit analysis for this Agreement or any negotiated sub -
agreement of change order and a copy of the cost summary submitted to
the State Agency. The State Agency, Texas State Auditor's Office or any
of the State Agency's duly authorized representatives, shall have access to
such books, records, documents, and other evidence for the purpose of
review, inspection and/or audit. During the conduct of any such review,
audit or inspection, the GRANTEE'S books, records, and other pertinent
documents may, upon prior conference with the PLANNING AGENCY,
be copied by the State Agency or any of its duly authorized
representatives. All such information shall be handled by the parties in
accordance with good business ethics. The GRANTEE shall provide
proper facilities within the State of Texas for such access and inspection.
3.7.2 Audits conducted pursuant to this provision shall be in accordance with
State law, regulations and policy, and generally accepted auditing
standards and established procedures and guidelines of the reviewing or
audit agency(ies).
3.7.3 The GRANTEE agrees to the disclosure of all information and reports
resulting from access to records pursuant to Sub -article 3.7.1, above to the
State Agency. Where the audit concerns the GRANTEE the auditing
agency will afford the GRANTEE an opportunity for an audit exit
conference and an opportunity to comment on the pertinent portions of the
draft audit report.
3.7.4 Records under Sub -article 3.7.1, above shall be maintained and made
available during the entire period of performance of this Agreement and
until three (3) years from date to final State Agency payment for the
project. In addition, those records which relate to any dispute, litigation,
or the settlement of claims arising out of such performance, or costs or
items to which an audit exception had been taken shall be maintained and
made available until completion of such action and resolution of all issues
2 Program Conditions
which arise from it, or until the end of the regular three-year period,
whichever is later.
3.7.5 Access to records is not limited to the required retention periods. The
authorized representatives designated in Sub -article 3.7.1 of this Article
shall have access to records at any reasonable time for as long as the
records are maintained.
3.7.6 This audit/access to records Article applies to financial records pertaining
to all sub -agreement change orders and sub -agreement amendments: to the
extent the records reasonably pertain to sub -agreements, sub -agreement
change orders and sub -agreement amendments: to the extent the records
reasonably pertain to sub -agreement performance; if there is any
indication that fraud, gross abuse or corrupt practices may be involved; or
if the sub -agreement is terminated for default or for convenience.
3.7.7 The State Agency reserves the right to require the reimbursement of any
overpayments determined as a result of any audit or inspection of records
kept by the GRANTEE on work performed under this Agreement.
3.7.8 The GRANTEE agrees to include Sub -articles 3.7.1 through 3.7.8 of this
Article in all sub -agreements and all change orders directly related to
project performance.
3.8 Adhere to the Single Audit Requirements of the Uniform Grant and Contract
Management Act.
3.9 Comply with all provisions of the Americans with Disabilities Act, as amended.
3.10 Comply with all provisions of the Texas State Energy Conservation Plan, as
amended, if applicable.
3.11 Comply with all the provisions of Article 1 of this Agreement.
3.12 Maintain in good working order all machinery, equipment, and facilities
purchased or constructed with Funds pursuant to this Agreement, and provide
continued operation of the project.
3.13 Take all necessary steps to prevent any adverse environmental consequences in
the pursuit of the activities under this Agreement.
3.14 Immediately remedy any adverse environmental consequence resulting from the
activities under this Agreement.
3.15 Maximize, to the greatest extent practicable, participation opportunities to
qualified Historically Under-utilized Businesses.
Program Conditions
3.16 Acknowledge, in any public media forum, the financial support provided to the
GRANTEE by the State Agency. At a minimum, any such acknowledgment
should include the following:
PREPARED (OR SUPPORTED) IN COOPERATION 97TH THE TEXAS
COMMISSION ON ENVIRONMENTAL QUALITY
3.17 Notify the PLANNING AGENCY, prior to any changes in personnel whose
salaries will be funded under the pass -through grant.
3.18 Submit Requests for Reimbursement on a monthly basis or as needed. Requests
for Reimbursement are due within five (5) days of the contract termination date.
Article 4. Pass -through Grant Agreement Standards
The pass -through grant agreements shall incorporate standards for project categories, as
applicable to the funded projects, as set forth in the following:
4.1 Implementation Project Categories. The GRANTEE shall ensure that all
implementation projects funded under this Agreement fit within the categories set
forth in this Section. The category -specific funding limitations outlined for each
category shall apply to all uses of funds under implementation projects conducted
for that category.
4.1.1 Local Enforcement. This category consists of projects, which contribute
to the prevention of illegal dumping of municipal solid waste, including
liquid wastes. Under this category, grant recipients may investigate illegal
dumping problems; enforce laws and regulations pertaining to the illegal
dumping of municipal solid waste, including liquid waste; establish a
program to monitor the collection and transport of municipal liquid
wastes, through administration of a manifesting system: and educate the
public on illegal dumping laws and regulations. Funding limitations
specific to this category are set forth in this Section.
4.1.1.1 Funds provided under this Agreement may not be used for
enforcement activities related to the illegal disposal of industrial
or hazardous waste. Instances where industrial or hazardous
waste may be discovered at an investigation site do not preclude
the general investigation of that site, so long as the funded
program is specifically aimed at the illegal disposal of municipal
solid waste.
4.1.1.2 Funds provided under this agreement may not be used for either
the cleanup of illegal disposal sites nor the transportation and/or
disposal of wastes collected at those sites. Note that while this
restriction applies to ongoing enforcement programs dealing with
4 Program Conditions
illegal dumping, general community cleanup events that may
include the cleanup and transportation of general letter and
materials may be authorized under a separate category.
4.1.2 Source Reduction and Recycling. This category includes projects,
which provide a direct and measurable effect on reducing the amount of
municipal solid waste going into landfills, by diverting various materials
from the municipal solid waste stream for reuse or recycling, or by
reducing waste generation at the source. Activities funded under this
category may include: diversion from the waste stream and/or recycling;
implementation of efficiency improvements in order to increase source
reduction and recycling, to include full -cost accounting systems and cost -
based rate structures, establishment of a solid waste services enterprise
fund, and mechanisms to track and assess the level of recycling activity in
the community on a regular basis; and educational and promotional
activities to increase source reduction and recycling. Funding limitations
specific to this category are set forth in this Section.
4.1.2.1 Programs and projects funded under this category shall have as a
goal and be designed to provide a measurable effect on reducing
the amount of municipal solid waste being disposed of in
landfills.
4.1.2.2 Any program or project aimed at demonstrating the use of
products made from recycled and/or reused materials shall have
as its primary function the education and training of residents,
governmental officials, and others, in order to encourage support
for recycling efforts.
4.1.2.3 Programs. aimed at efficiency improvements in a local
government's solid waste management system to increase the
source reduction of solid waste must be coordinated with South
Plains Association of Governments. Any program to develop a
full -cost accounting system shall utilize the full -cost accounting
guidance prepared by South Plains Association of Governments.
4.1.2.4 Projects funded under this Agreement may not include programs
dedicated to the collection and/or recycling of automotive
wastes, to include scrap tires, used oil, oil filters, antifreeze, or
lead -acid batteries. This restriction includes the purchase of
equipment to shred or split scrap tires. However, this restriction
does not apply to the ancillary collection of these materials as
part of a comprehensive Household Hazardous Waste Collection
facility or program.
5 Program Conditions
4.1.3 Local Solid Waste Management Plans. This category includes projects
to develop and have adopted by South Plains Association of Governments
a local solid waste management plan, in accordance with SubchapterD,363
of the Texas Health & Safety Code, as implemented by South Plains
Association of Governments rule,30 TAC Chapter 330, Subchapter O., or
to amend an existing local solid waste management plan that has been
adopted by South Plains Association of Governments. Funding limitations
applicable to this category are set forth in this Section.
4.1.3.1 The local planning area must be consistent with one or a
combination of local solid waste management planning sub-
regions identified by the GRANTEE in its regional solid waste
management plan.
4.1.3.2 All local solid waste management plans shall be consistent with
the adopted regional solid waste management plan, and prepared
in accordance with Subchapter O of South Plains Association of
Governments Municipal Solid Waste regulations (30 TAC
Chapter 330) and the Content and Format Guidelines provided
by South Plains Association of Governments.
4.1.3.3 Funding provided under this category may not be used for final
engineering work, designs, or construction plans.
4.1.3.4 At least one year should be allowed for the completion and
adoption of the local plan.
4.1.4 Citizens' Collection Stations and "Small" Registered Transfer
Stations. This category includes projects to construct municipal solid
waste collection facilities in areas of the state, which are under served by
collection services or do not have access to proper disposal facilities.
Projects funded under this category may include citizens' collection
stations, as these facilities are defined under South Plains Association of
Governments Municipal Solid Waste regulations (30 TAC Chapter 330.4
(d)(1)-(3) or 330.4 (r) of the regulations may also be funded. A project
funded under this category shall include consideration of an integrated
approach to solid waste management, to include providing recycling
services at the site, if appropriate to the management system in place.
Funding limitations specific to this category are set forth in this Section.
4.1.4.1 Transfer stations that require a permit from TCEQ may not be
funded.
4.1.4.2 Municipal solid waste transfer stations that qualify for
registration under 330.4-(d) (1)-(3) of the Municipal Solid Waste
Regulations may be funded.
6 Program Conditions
4.1.4.3 Transfer stations that qualify for registration solely due to their
location within a permitted municipal solid waste facility, under
330.4 (d) (4), may not be funded.
4.1.4.4 Municipal solid waste transfer stations that qualify for a
registration only under the provisions of 330.4 (q) of the
Municipal Solid Waste regulations allowing for registration of
facilities that recover 10% or more of the waste stream for reuse
or recycling, but not also under the provisions of 330.4 (d) of the
Municipal Solid Waster regulations, may not be funded.
However, those components of a transfer facility dedicated to the
reuse or recycling activities may qualify for funding under the
source reduction and recycling grant category.
4.1.4.5 Municipal Solid Waste transfer stations that are used only in the
transfer of grease trap waste, grit trap waste, septage, or other
similar liquid waste, and which qualify for registration under
330.4 (r) of the Municipal Solid Waste regulations may be
funded under this category. Specifically, 330.4 (r) of the
regulations allows for registration of a liquid waste transfer
facility that will receive 32,000 gallons a day or less.
4.1.4.6 Only the costs necessary to construct the facility and/or purchase
and install necessary equipment may be funded. Costs
associated with operating a facility once it is completed may not
be funded.
4.1.4.7 Transfer stations that require a registration must have already
received that registration from TCEQ before a grant may be
awarded.
4.1.5 Household Hazardous Waste Management. This category includes
projects which provide a means for the collection, recycling or reuse,
and/or proper disposal of household hazardous waste, including household
chemical and other materials. Projects may include collection events;
consolidation and transportation costs associated with collection activities,
permanent collection facilities, and education and public awareness
programs. Funding limitations specific to this category are set forth in this
Section.
4.1.5.1 Projects under this category must be coordinated with South
Plains Association of Governments to ensure that all applicable
regulations and guidelines are followed.
7 Program Conditions
4.1.5.2 Funds provided under this Agreement may not be used for costs
related to disposal of collected wastes.
4.1.5.3 Funds provided under this Agreement may not be used for
programs and activities related to the collection and management
of commercial, industrial, and hazardous wastes.
4.1.5.4 Funds provided under this Agreement may not be used for
programs and activities solely related to the management of scrap
tires, used oil, oil filters, antifreeze, lead -acid batteries, or other
special wastes excluded from disposal in municipal solid waste
landfills. However, collection of these materials may be
included as part of a comprehensive Household Hazardous
Waste collection and management program, so long as that is not
the sole intent of the program.
4.1.6 Installation of Scales at Municipal Solid Waste Landfills. This
category includes projects for the installation of scales and related
equipment for the operation of those scales at a municipal solid waste
landfill. Projects under this category may include design and engineering
work, purchase and installation of scales and related equipment, site
improvements necessary for equipment installation, and the purchase and
installation of computer hardware and software necessary to operate the
scales. Funding limitations specific to this category are set forth in this
Section.
4.1.6.1 All technical studies shall be consistent with the adopted regional
solid waste management plan, and prepared in accordance with
the Content and Format Guidelines provided by South Plains
Association of Governments.
4.1.6.2 Funding may not be used for final engineering work, designs, or
construction plans.
4.1.6.3 A landfill or landfilling may be the topic of a technical study
only if it is part of an overall, integrated solid waste management
system. However, this restriction does not apply to research
related to an inventory of closed municipal solid waste landfill
sites.
4.1.7 Community Cleanup Events. This category includes projects to support
periodic community cleanup activities, to include Lake and River Cleanup
events and South Plains Association of Governments Texas Country
Cleanup program. Projects included under this category may include
general community cleanup events designed to involve the residents and
community in periodic cleanup of litter and trash within the community.
8 Program Conditions
In addition, projects may include Lake and River Cleanup events
conducted inclose coordination with South Plains Association of
Governments Texas County Cleanup program to collect empty, properly
rinsed pesticide containers, batteries, tires used oil and oil filters in rural
areas which have historically had limited options in handling these types
of waste. Funding limitations specific to this category are set forth in this
section.
4.1.7.1 Funding under this category is for periodic events involving
residents and the community to clean up litter and to collect
material for recycling. Funds provided under this Agreement
may not be provided for ongoing activities aimed at cleanup of
chronic illegal dumping sites, major debris removal from
waterways, and similar activities that go beyond the scope of
general community cleanup activities.
4.1.7.2 Lake and River Cleanups and Texas County Cleanups shall be
closely coordinated with the appropriate TCEQ cleanup program
staff. Prior to developing a proposal for these events, the
applicant shall contact South Plains Association of Governments
program staff to discuss potential program activities. Lake and
River Cleanup programs shall be coordinated with the
appropriate local or state Keep Texas Beautiful organization,
which is coordination the Lake and River Cleanup program
under contract with TCEQ.
4.1.7.3 Agricultural or household chemicals shall not be accepted under
this program, unless a portion of the grant is also designated for
household hazardous waste collection event, in accordance with
the standards and procedures under the Household Hazardous
Waste project category.
4.1.7.4 Funds may not be used for the disposal of collected wastes.
4.1.8 Educational and Training Projects. Educational components are
encouraged under the other categories in order to better ensure public
participation in projects; those educational components should be funded
as part of those projects and not separately under this category. This
category may be used for "stand-alone" educational projects dealing with
a variety of solid waste management topics. This category may include
funding for information -exchange activities, subject to the other
limitations on travel expenses. Funding limitations specific to this
category are set forth in this Section.
4.1.8.1 Programs and projects funded under this category shall be
primarily related to issues involved in the management of
9 Program Conditions
municipal solid waste. Education or training events that cover a
broader range of environmental issues may be funded on a partial
basis appropriate to the extent to which municipal solid waste
issues are covered.
4.1.9 Project Screening Criteria. In order for any proposed project to be
considered, the following screening criteria must be met. If these
screening criteria are not met, the GRANTEE shall ensure that the
proposed project shall receive no further consideration for grant funding.
The GRANTEE shall clearly state these screening criteria on all RFA's
and application materials, to ensure that all applicants are aware of the
criteria set forth in this Section.
4.1.9.1 The application must be complete and all application
requirements and procedures followed, including requirements to
notify private service providers of the proposed project, when
applicable.
4.1.9.2 The proposed project must conform to eligible category
standards, eligible recipient standards, and allowable expense
and funding standards, as established by this Agreement and
under all applicable laws and regulations.
4.1.9.3 The applicant must agree to document the results of the project
as required by the GRANTEE.
4.1.9.4 The proposed project must be technically feasible, and there
must be a reasonable expectation that the project can be
satisfactorily completed within the required time frames.
4.1.9.5 The proposed project activities and expenses must be reasonable
and necessary to accomplish the goals and objectives of the
project. One factor in determining reasonableness of expenses
shall be whether comparable costs are proposed for comparable
goods and services.
4.1.9.6 The proposed project must be consistent with applicable goals,
objectives, and recommendations of the adopted regional solid
waste management plan.
4.2 The pass -through grant agreements shall require the pass -through grant recipients
to maintain record and documentation materials consistent with the records listed
in "Guidelines Concerning Additional Documentation and Financial Monitoring
Requirements".
10 Program Conditions
4.2.1 Documents that should be maintained, as appropriate for the expense,
include by category, the records set forth in this Section.
4.2.1.1 SALARY/WAGES - Time sheets that have been signed and
approved.
4.2.1.2 TRAVEL- Documentation which, at a minimum, is consistent
with State Travel Regulations. The purpose of the travel should
be documented and supported with actual receipts for hotel
accommodations, public transportation receipts, airline receipts,
etc.
4.2.1.3 EQUIPMENT -Purchase orders, invoices, and canceled checks.
4.2.1.4 SUPPLIES -Purchase orders (if issued), invoices, and canceled
checks.
4.2.1.5 CONTRACTUAL- All of the above plus documentation that the
costs were reasonable and necessary. The same standards should
be applicable to subGRANTEEs.
4.2.1.6 OTHER- All of the above apply.
4.2.2 If requested by South Plains Association of Governments, the GRANTEE
agrees to provide to South Plains Association of Governments the
additional expense records and documentation materials, as listed in
Section 4.2 of this Article and appropriate for the expense, for the time
period requested by South Plains Association of Governments, except that
the GRANTEE will not be asked to submit records that have already been
provided to South Plains Association of Governments with a progress
report. South Plains Association of Governments will provide reasonable
time for the GRANTEE to comply with a request for additional records. If
South Plains Association of Governments requests to review additional
records to be provided by the GRANTEE under South Plains Association
of Governments financial monitoring program, South Plains Association
of Governments will review those records and provide the GRANTEE a
written summary of the findings of that review. South Plains Association
of Governments will also allow the GRANTEE reasonable time to respond
to any findings of noncompliance or other problems identified by the
records review.
4.2.3 All pass -through grant recipients shall maintain records and
documentation materials consistent with the records listed in this Article.
The GRANTEE shall also follow up on any problems identified through
its financial monitoring program.
11 Program Conditions
4.3 The pass -through grant agreements shall incorporate the standards set forth in
"Title To and Management of Real Property and Equipment", of these Program
Conditions, relating to title to and management of real property and equipment.
Subject to the obligations and conditions set forth in this Agreement, title to real
property and equipment (together hereafter referred to in this Article as
"property") acquired under this Agreement by the GRANTEE or a pass -through
grant recipient will vest upon acquisition or construction in the GRANTEE or the
pass -through grant recipient respectively.
4.3.1 Subject to the provisions of this Agreement and as otherwise provided by
state statutes, property acquired or replaced under this Agreement or a
pass -through grant contract shall be used for the duration of its normally
expected useful life to support the purposes of this Agreement whether or
not the original projects on programs continue to be supported by state
funds.
4.3.2 The GRANTEE or pass -through grant recipient shall not grant to or allow
a third party a security interest in any original or replacement property
purchased or constructed with funds made available to the GRANTEE
under this Agreement.
4.3.3 The use of property acquired under this Agreement, both during the term
of this Agreement and for the useful life of the property or until
compensation is provided to South Plains Association of Governments for
the applicable percentage share of the fair market value of the property,
shall be in compliance with 361.014 (b) of the TEXAS HEALTH &
SAFETY CODE ANN., which directs that a project or service funded
under this program must promote cooperation between public and private
entities and may not be otherwise readily available or create a competitive
advantage over a private industry that provides recycling or solid waste
services.
4.3.4 The GRANTEE may develop and use their own property management
systems, which must conform with all applicable federal, state, and local
laws, rules and regulations. If an adequate system for accounting for
property owned by the GRANTEE or the pass -through grant recipient is
not in place or is not used properly, the Property Accounting System
Manual issued by the State Comptroller of Public Accounts will be used as
a guide for establishing such a system. The property management system
used by the GRANTEE and pass -through grant recipients must meet the
requirements set forth in this Section.
4.3.4.1 Property records must be maintained that include a description of
the property, a serial number or other identification number, the
source of the property, who holds title, the acquisition date, and
the cost of the property, percentage of state participation in the
12 Program Conditions
cost of the property, the location, use and condition of the
property, and any ultimate disposition data including the date of
disposal and sake price of the property.
4.3.4.2 A physical inventory of all equipment acquired or replaced under
this Agreement shall be conducted no less frequently than once
every two years and the results of such inventories reconciled
with the appropriate property records. Property control
procedures utilized by the GRANTEE and the pass -through grant
recipients shall include adequate safeguards to prevent loss,
damage, or theft of the acquired property. Any loss, damage, or
theft shall be investigated. The GRANTEE and the pas -through
grant recipients shall develop and carry out a program of
property maintenance as necessary to keep both originally
acquired and any replace property in good condition, and to
utilize proper sales procedures to ensure the highest possible
return, in the event such property is sold.
4.3.4.3 Certain types of equipment are classified as "controlled assets"
and are subject to annual revision. In accordance with the
UGMS, the GRANTEE and pass -through grant recipients should
contact the Texas Comptroller of Public Accounts' property
accounting staff or review the Comptroller's state Property
Accounting User Manual available on the Internet, for the most
current listing. Firearms shall be maintained on the
GRANTEE'S or pass -through grant recipients inventory system
irrespective of cost, and the following equipment with costs
between $500 and $1,000 shall be maintained on the inventory:
(1) stereo systems, (2) still and video cameras, (3) facsimile
machines, (4) VCRs and VCR/TV combinations and (5) cellular
and portable telephones.
4.3.5 The GRANTEE or the pass -through grant recipient, respectively, may for
the purpose of replacing property acquired under this Agreement either
trade in or sell the property and use the proceeds of such trade-in or sale to
offset the cost of acquiring needed replacement property.
4.3.6 The GRANTEE agrees that if a determination is made that any property
acquired with funds provided under this Agreement with a current per -unit
fair market value of $1,000 or more is no longer needed for the originally
authorized purpose, South Plains Association of Governments has the
right to require disposition of the property by the PERFORMING PARTY
or a pass -through grant recipient in accordance with the provisions of this
Article.
13 Program Conditions
4.3.7 When, during the useful life of property acquired with grant funds under
this Agreement by the GRANTEE and with a current per -unit fair market
value of $ 1,000 or more, the property is no longer needed for the
originally authorized purpose, the GRANTEE agrees to request
disposition instructions from South Plains Association of Governments.
When property acquired by a pass -through grant recipient with grant funds
provided by the GRANTEE under this Agreement is no longer needed for
the originally authorized purpose, the GRANTEE agrees that a pass -
through grant contract will require the pass -through grant recipient to
request disposition instructions from the GRANTEE or, if the GRANTEE
is no longer administering a Regional Solid Waste Grants Program, South
Plains Association of Governments, The GRANTEE shall, in turn, request
authorization from South Plains Association of Government to provide
disposition instructions to the pass -through grant recipients.
Disposition instructions shall solicit, at a minimum, information on the
source and amount of funds used in acquiring the property, the date
acquired, the fair market value and how the value was determined (e.g., by
appraisal, bids, etc.), and the proposed use of the proceeds. The
assessment of whether to authorize the proposed disposition of the
property must include a determination that the disposition plan will
comply with the private industry provisions of 361.014 (b) of the TEXAS
HEALTH & SAFETY CODE ANN.
In cases where the GRANTEE or pass -through grant recipient fails to take
appropriate disposition actions, South Plains Association of Governments
may direct the GRANTEE or pass -through grant recipient to take excess
and disposition actions. The disposition instructions may provide for one
of the alternatives as set forth in this Section.
4.3.7.1 Retain title, sell, or otherwise dispose of with no obligation to
compensate South Plains Association of Governments or, in the
case of a pass -through grant recipient, the GRANTEE.
4.3.7.2 Retain title after compensating South Plains Association of
Governments or, in the case of a pass -through grant recipient, the
GRANTEE. If the GRANTEE is compensated by a pass -through
grant recipient for property acquired using funds provided under
this Agreement, the GRANTEE will in turn compensate South
Plains Association of Governments or, upon authorization by
South Plains Association of Governments, use those funds for
other projects or activities that support this or similar future
programs conducted by South Plains Association of
Governments. The amount due will be computed by applying
the percentage of state -funded participation in the cost of the
original purchase to the fair market value of the property.
14 Program Conditions
4.3.7.3 Transfer title to South Plains Association of Governments or, in
the case of a pass -through grant recipient, the GRANTEE or to a
third party designated/approved by South Plains Association of
Governments. If the GRANTEE or the pass -through grant
recipient participated financially in the original purchase of the
property, the GRANTEE or the pass -through grant recipient may
be authorized payment from the receiving party of an amount
calculated by applying the percentage of the participation in the
original purchase of the property to the current fair market value
of the property.
4.3.8 Items of property with a current per -unit fair market value of less that
$1,000 may be retained, sold or otherwise disposed of by the GRANTEE
or the pass -through grant recipient with no further obligation to South
Plains Association of Governments. Methods used to determine per -unit
fair market value must be documented, kept on file and made available to
South Plains Association of Governments upon request.
4.3.9 Pass -Through Grant Provisions. The GRANTEE shall include provisions
in its pass -through grant contracts to implement and enforce the provisions
of this Article.
4.4 The pass -through grant agreements shall incorporate applicable requirements and
standards necessary to implement and enforce provisions for the use of pass -
through grant funds as set forth in the General Conditions, including, where
appropriate, provisions similar to those set forth in the General Conditions
referenced in this Section.
15 Program Conditions
GENERAL CONDITIONS
Article 1. Definitions
Wherever used in these General Conditions or in the other Contract Documents
(Agreement) the following terms have the meaning indicated which are applicable to both
the singular and plural thereof.
1.1 Accrued expenditures - means the charges incurred by the grantee during a given
period requiring the provision of funds for: (1) Goods and other tangible property
received; (2) services performed by employees, GRANTEEs, sub -grantees,
subGRANTEE, and other payees; and (3) other amounts becoming owed under
programs for which no current services or performance is required, such as
annuities, insurance claims, and other benefit payments.
1.2 Accrued income — means the sum of (1) Earnings during a given period from
services performed by the grantee and goods and other tangible property
deliverable to purchasers, and (2) amounts becoming owed to the grantee for
which no current services or performance is required by the grantee.
1.3 Acquisition cost — of an item of purchased equipment means the net invoice unit
price of the property including the cost of modification, attachments, accessories,
or auxiliary apparatus necessary to make that property usable for the purpose for
which it was acquired. Other charges such as the cost of installation,
transportation, taxes, duty or protective in -transit insurance, shall be included or
excluded from the unit acquisition cost in accordance with the grantee's regular
accounting practices.
1.4 Addenda — written or graphic instruments issued prior to the execution of the
Agreement, which clarify, correct or change the Proposal Requirements or the
Agreement.
1.5 Administrative requirements — mean those matters common to grants in general,
such as financial management, kinds and frequency of reports, and retention of
records. These are distinguished from "programmatic" requirements, which
concern matters that can be treated only on a program -by program or grant -by
grant basis, such as kinds of activities that can be supported by grants under a
particular program.
1.6 Agreement — refers to the "PLANNING AGENCY Grant Agreement" which
contains the salient terms of the Agreement between PLANNING AGENCY and
the GRANTEE and covers the work to be performed; also describes and includes
any additional Agreement documents, which may be attached to the Agreement
and made a part thereof as provided therein.
1.7 Cash contributions - means the grantee's cash outlay, including the outlay of
money contributed to the grantee or sub -grantee by other public agencies and
institutions, and private legislation, federal funds received from other assistance
Agreement may be considered as grantee or sub -grantee cash contributions.
1.8 Common rule — means Part III of the Uniform Grant Management Standards,
which were promulgated by the Texas Governor's Office of Budget and Planning
pursuant to the Uniform Grant Conditions and Management Act, Tex. Gov't Code
Chapter 783.
1.9 Contract — means (except as used in the definitions for "grant" and "sub -grant" in
this section and except where qualified by "federal") a procurement contract
under a grant or sub -grant, and means a procurement subcontract under a contract.
1.10 Contract Documents —the Agreement and the documents, which are described in
and incorporated into the Agreement. Together, the Contract Documents form the
contract between the parties.
1.11 Contract Price —the moneys payable by PLANNING AGENCY to GRANTEE
for completion of the Work in accordance with the Contract Documents as stated
in the Agreement (subject to the provisions of these General Conditions.)
1.12 Contract Times — the number of days or dates stated in the Agreement to complete
the work so that it is ready for final payment.
1.13 Cost sharing or matching — means the value of the third parry in -kind
contributions and the portion of the costs of a State assisted project or programs
not born by the State.
1.14 Cost -type contract — means a contract or subcontract under a grant in which the
GRANTEE or subGRANTEE is paid on the basis of the costs it incurs, with or
without a fee.
1.15 Defective — a adjective which when modifying the word work refers to work that
is unsatisfactory, faulty or deficient, in that is does not conform to the Agreement,
or does not meet the requirements of any inspection, reference standard, test on
approval referred to in the Agreement, or has been damaged prior to final
payment.
1.16 Effective Date of the Agreement —the date indicated in the Agreement on which it
becomes effective, but if no such date is indicated it means the date on which the
Agreement, or has been damaged prior to final payment.
1.17 Equipment —means tangible, non -expendable, personal property having a useful
life of more than one year and an acquisition cost of $1,000 or more per unit. A
grantee may use its own definition of equipment provided that such definition
would at least include all equipment defined above.
2 General Conditions
1.18 Expenditure report— means for non -construction grants the SF-269a "Financial
Status Report," as distributed by the Comprehensive Waste Planning Team,
Strategic Environmental Analysis & Assessment Division.
1.19 Final Completion —the work is completed in the judgment of PLANNING
AGENCY.
1.20 PLANNING AGENCY— means the South Plains Association of Governments.
1.21 General Conditions — refers to this document titled "General Condition," a
document, which is one of the Contract Documents described in and incorporated
into the Agreement.
1.22 Government — means a State agency or local government.
1.23 Grant — means an award of financial assistance, including cooperative
Agreement, in the form of money, or property in lieu of money, by the State to an
eligible grantee. The term does not include technical assistance, which provides
services instead of money, or other assistance in the form of revenue sharing,
loans, loan guarantees, interest subsidies, insurance, or direct appropriations.
Also, the term does not include assistance, such as a fellowship or other lump sum
award, which the grantee is not required to account for.
1.24 Grantee — means the government to which a grant is awarded and which is
accountable for the use of the funds provided. The grantee is the entire legal
entity even if only a particular component of the entity is designated in the grant
award document. Also means the GRANTEE.
1.25 HUB — Historically Underutilized Business as defined by Texas law. The State
Purchasing and General Services Act, amended September 1, 1995, defines a
historically underutilized business as a corporation or a partnership in which fifty-
one percent (51 %) or more of the corporation's stock (or other equitable
securities) or partnership's assets and interest are owned by one or more socially
disadvantaged persons, who have a proportionate interest and actively participate
in the corporation or partnership control, operation, and management. If the
business is a sole proprietorship, the socially disadvantaged person must
completely own, operate and control the business. Socially disadvantaged person
includes members of certain groups including Black Americans, Hispanic
American, American Women, Asian Pacific Americans and Native Americans.
1.26 Intellectual Property — (1) any and all inventions, discoveries, improvements, or
creations for which copyright, trade secret, patent or other proprietary rights may
be acquired, (2) any photographs, graphic designs, plans, drawings, specifications,
computer programs, computer files, documentation, technical reports, operating
manuals, or other copyrightable materials, and (3) any other work fixed in any
tangible medium of expression which can be perceived, reproduced, or otherwise
3 General Conditions
communicated for which copyright, trade secret, patent or other proprietary rights
may be acquired.
1.27 Intellectual Property Rights — patent, trademarks, trade secret rights, confidential
information rights or any other proprietary rights to which a person may be
entitled or may actually possess. Intellectual Property Rights include all rights of
ownership and original authorship throughout the world.
1.28 Laws and Regulations: Laws or Regulations —any and all applicable laws, rules,
regulation, ordinances, codes and orders of any and all governmental bodies,
agencies, authorities and courts having jurisdiction.
1.29 Liens — liens, charges, security interest or encumbrances upon real property or
personal property.
1.30 Local government — only those local and regional political subdivisions located
within the State of Texas as listed below are eligible to receive funding from the
GRANTEE as a pass -through grant; Cities; Counties; Public Schools and school
districts (does not include Universities or post secondary educational institutions);
Other general and special law districts created in accordance with state law, and
with authority and responsibility for water quality protection or municipal solid
waste management, to include river authorities.
1.31 Minor Change — a written document which provides for minor changes in the
work in accordance with these General Conditions, but which does not involve a
change in the Contract Price on the Contract Times.
1.32 Obligations — means the amount of orders placed, contracts and sub -grants
awarded, goods and services received, and similar transactions during a given
period that will require payment by the grantee during the same or a future period.
1.33 Outlay — (expenditures) mean charges made to the project or program. They may
be reported on a cash or accrual basis. For reports prepared on a cash basis,
outlays are the sum of actual cash disbursement for direct charges for goods and
services, the amount of indirect expense incurred, the value of in -king
contributions applied, and the amount of cash advances and payments made to
GRANTEE and sub -grantees. For reports prepared on an accrued expenditure
basis, outlays are the sums of actual cash disbursements, the amount of indirect
expense incurred, the value of in -kind contributions applied, and the new increase
(or decrease) in the amounts owed by the grantee for goods and other property
received, for services performed by employees, GRANTEES, sub -grantees,
subGRANTEEs, and other payees, and other amounts becoming owed under
program for which no current services or performance are required, such as
annuities, insurance claims, and other benefit payment.
4 General Conditions
1.34 Percentage of completion method — refers to a system under which payments are
made for work according to the percentage of the completed work, rather than to
GRANTEE'S cost incurred.
1.35 Prior approval — means documentation evidencing consent prior to incurring
specific cost.
1.36 Produced — participle or passive verb which when used in connection with the
term Intellectual Property means conceived, developed, implemented, discovered,
invented, first actually reduced to practice or otherwise produced.
1.37 Project — the body of services rendered of which the work to be provided under
the Agreement may be the whole, or a part as indicated elsewhere in the
Agreement.
1.38 Project Representative — the Project Representative of the PLANNING AGENCY
and the GRANTEE are designated in the Supplementary Conditions.
1.39 Real property —means land, including land improvements, structures and
appurtenances thereto, excluding movable machinery and equipment.
1.40 Share — when referring to the FUNDING AGENUS portion of real property,
equipment or supplies, means the same percentage as the PLANNING
AGENCY'S portion of the acquiring parry's total costs under the grant to which
the acquisition cost of the property was charged. Only costs are to be counted, no
the value of third -party in -kind contributions.
1.41 Standards — refer to the Uniform Grant and Contract Management Standards.
1.42 State — means the State of Texas
1.43 SubGRANTEE — and individual, firm, or corporation having a direct contract with
GRANTEE or with any other SubGRANTEE for the performance of a part of the
work.
1.44 Sub -grant — means an award of financial assistance in the form of money, or
property in lieu of money, made under a grant by the GRANTEE to an eligible
sub -grantee. The term includes financial assistance when provided by contractual
legal Agreement, but does not include procurement purchases, nor does it include
any form of assistance which is excluded from the definition of "grant", "sub -
grant" is synonymous with "pass through grant."
1.45 Sub grantee — means the government or other legal entity to which a sub -grant is
awarded and which is accountable to the GRANTEE for the use of the funds
provided. "Sub -grantee" is synonymous with "pass through grant recipient."
5 General Conditions
1.46 Supplementary Conditions — the part of the Agreement, which amends or
supplements these General Conditions.
1.47 Supplies —means all tangible personal property other than "equipment" as defined
in these General Conditions.
1.48 Suspension — means, depending on the context, either (1) temporary withdrawal
of the authority to obligate grant funds pending corrective action by the
GRANTEE, or sub -grantee or a decision to terminate the grant, or (2) an action
taken by a PLANNING AGENCY official in accordance with the Agreement,
State or Federal law, or Regulations to immediately exclude a person from
participation in grant transaction for a period, pending completion of an
investigation and such legal debarment proceedings as may ensue.
1.49 Termination — means permanent withdrawal of the authority to obligate
previously -award grant funds before the authority would otherwise expire. It also
means the voluntary relinquishment of that authority by the GRANTEE or sub -
grantee. "Termination" does not include: (1) withdrawal of funds awarded on the
basis of the GRANTEE'S underestimate of the un-obligated balance in a prior
period balance in a prior period; (2) withdrawals of the un-obligated balance as of
the expiration of a grant; (3) refusal to extend a grant or award additional funds to
make a competing or non -competing continuation, renewal, extension or
supplemental award; or (4) voiding of a grant upon determination that the award
was obtained fraudulently or was otherwise illegal or invalid from inception.
1.50 Terms of a grant or sub grant — means all requirements of the grant or sub -grant,
whether contained in statutes, regulation, or the Agreement.
1.51 Third party in -kind contributions — mean property or services which benefit a
state assisted project or program and which are contributed by third parties
without charge to the GRANTEE, or a cost -type GRANTEE under the grant
Agreement.
1.52 TCEQ — the Texas Commission on Environmental Quality.
1.53 Un-liquidated obligations — for reports prepared on a cash basis, means the
amount of obligations incurred by the GRANTEE that has not been paid. Reports
prepared on an accrued expenditure basis represent the amount of obligations
incurred by the GRANTEE for which an outlay has not been recorded.
Article 2. Subiective Funding
2.1 It is the understanding of the parties that the source of the funds is the Municipal
Solid Waste Disposal and Transportation Revenue Fee (MSWDTRF). Due to
demands upon that source for funds necessary to protect the health and safety of
the public, it is possible that the funds contained in the MSWDTRF will be
6 General Conditions
depleted prior to completion of this Agreement. The parties agree that all funding
arranged under this Agreement is subject to sufficient funds in the MSWDTRF.
The GRANTEE shall place this notice in all sub -grants and subcontracts.
Article 3. GRANTEE'S Responsibilities
Employment Practices
3.1 The GRANTEE agrees that in the performance of this Agreement, it will not
discriminate against any employee or applicant because of race, religion, color,
sex, age, or national origin and it will comply with Executive Order 11246,
entitled "Equal Employment Opportunity," as amended by Executive Order
11375, and as supplemented in Department of Labor Regulations (41 CFR Part
60). The GRANTEE assures that no person will, on the grounds of race, creed,
color, handicap, national origin, sex, political affiliation or beliefs, be excluded
from, be denied the benefit of, or be subject to discrimination under any program
or activity funded in whole or part under this Agreement.
3.1.1 The GRANTEE shall comply with all applicable state and federal statutes
relating to non-discrimination, which include, but are not limited to, those
listed in the Uniform Grant Management Standards.
SubGRANTEEs, Suppliers and Others
3.2 All contractual expenditures using funds provided under this Agreement shall
meet all procurement laws and regulations applicable to the GRANTEE and
subGRANTEEs and the Uniform Grant and Contract Management Act and the
Uniform Grant Management Standards. Note that competitive bidding will
generally be required.
3.3 The GRANTEE shall be responsible for the management and fiscal monitoring of
all subGRANTEEs and sub -grantees. The GRANTEE shall monitor its
subGRANTEEs and sub -grantees as necessary to ensure that the subGRANTEEs
and sub -grantees are operating consistently with applicable laws and regulations,
applicable contracting policies, and this Agreement. The GRANTEE shall ensure
that all subGRANTEEs and sub -grantees comply with all record keeping and
access requirements set forth in this Agreement. The PLANNING AGENCY
reserves the right to perform an independent audit of all subGRANTEEs and sub -
grantees. The GRANTEE, subGRANTEEs and sub -grantees shall maintain
detailed records.
3.4 Funds provided by the PLANNING AGENCY pursuant to this Agreement that
are paid to the sub -GRANTEE shall be used by the sub -GRANTEE solely to
satisfy the purposes of the Agreement.
7 General Conditions
Permits
3.5 Unless otherwise provided in the Agreement, GRANTEE shall obtain and pay for
all construction permits and licenses. GRANTEE shall pay all charges of utility
owners for connections to the work, and GRANTEE shall pay all charges of such
utility owners for capital costs related thereto such as plant investment fees.
Laws and Regulations
3.6 GRANTEE shall give all notices and comply with all Laws and Regulations
applicable to furnishing and performance of the work. Except where otherwise
expressly required by applicable Laws and Regulations, PLANNING AGENCY
shall not be responsible for monitoring Agreement's compliance with any Laws
or Regulations.
Sub grant Activities as set forth in this Section
3.7 If GRANTEE performs any work knowing or having reason to know that it is
contrary to Laws or Regulations, GRANTEE shall bear all claims, costs, losses
and damages caused by, arising out of or resulting there -from.
Uniform Grant and Contract Management Act
3.8 The provisions of Uniform Grant and Contract Management Act, TEXAS
GOVERNMENT CODE, Chapter 783 applies to this Agreement, all amendments
thereto, and all subcontracts and sub -agreements. Compliance with the conditions
and requirements contained therein is necessary for the satisfactory performance
of the services and work required under this Agreement.
Records, Documents, Data, Access, and Audit
3.9 The GRANTEE shall maintain books, records, documents, and other evidence
reasonably pertinent to performance of the work and requirements of the
Agreement, including the Agreement or amendments thereto. All financial
records shall be maintained in accordance with generally accepted accounting
principles, the Uniform Grant Management Standards and this Agreement. The
GRANTEE shall also maintain the financial information and data used in the
preparation or support of any request for reimbursement (direct and indirect),
price or profit analysis for this Agreement or any sub -agreement or subcontract
and a copy of any cost information or analysis submitted to the PLANNING
AGENCY. The PLANNING AGENCY, TCEQ, Texas State Auditor's Office, or
any of their authorized representatives shall have access to all such books,
records, documents and other evidence for the purpose of review, inspection,
audit, excerpts, transcriptions and/or copying during normal business hours. The
GRANTEE shall provide proper facilities for such access and inspection.
8 General Conditions
3.10 The GRANTEE agrees that all record keeping and access requirements shall be
included in and applicable to all subcontracts and sub -agreements.
3.11 The GRANTEE agrees to the disclosure of all information and reports resulting
from access to records under this Agreement.
3.12 Records under paragraph 3.9 and 3.10 shall be maintained by the GRANTEE
during performance of work under this Agreement, and for three (3) years after
final payments, final expenditure reports and all other pending matters are closed.
If any litigation, claim, negotiation, audit, cost recovery, or other action (including
actions concerning costs of items to which an audit exception has been taken)
involving such records has been started before the expiration of the three year
period, such records must be retained until completion of the action or resolution
of all issues which arise from it, or until the end of the regular three year period,
whichever is later.
3.13 Access to records is not limited to the required retention periods. The entities
designated in paragraph 3.9 shall have access to records at any reasonable time for
as long as the records are maintained.
3.14 This right -of -access article applies to financial records pertaining to this
Agreement and all sub -agreements and amendments. In addition, this right of
access article applies to all records pertaining to this Agreement and all sub -
agreements and amendments as set forth in this Section.
3.14.1 The extent the records pertain reasonably to Agreement or subcontract
performance.
3.14.2 If there is any indication that fraud, gross abuse, or corrupt practices may
be involved.
3.14.3 If the Agreement or subcontract is terminated for default or for
convenience.
Data and Publicity
3.15 All data and other information developed under this Agreement shall be furnished
to the PLANNING AGENCY and shall be public data and information except to
the extent that it is exempted from public access by the Texas Public Information
Act, TEX. GOWT CODE Chapter 552 ("Act"). Upon termination of this
Agreement, all copies of data and information shall be furnished, at no charge to
the PLANNING AGENCY, upon request, to include data bases prepared using
funds provided under this Agreement, and become the property of the
PLANNING AGENCY. Except as otherwise provided by the Agreement or the
Act, the GRANTEE shall not provide data generated or otherwise obtained in the
9 General Conditions
performance of its responsibilities under this Agreement to any party other than
the State of Texas and its authorized agents.
Safety and Protection
3.16 Where applicable, GRANTEE shall be responsible for requiring subGRANTEEs
and sub -grantees to maintain and supervise all necessary safety precautions and
programs in connection with the work. GRANTEE shall take all necessary safety
precautions.
Accounting Systems
3.17 The GRANTEE shall have an accounting system which accounts for costs in
accordance with generally accepted accounting standards or principles and
complies with applicable State law, regulations, and policies relating to
accounting standards or principles. The GRANTEE must account for costs in a
manner consistent with such standards or principles.
Independent Financial Audit
3.18 Provisions of the Single Audit Circular in Part IV of UGMS shall apply to all
non -state entities expending the funds of this grant (recipients or sub -recipients).
In addition, the GRANTEE shall require the independent auditor to supply all
audit work papers substantiating the work performed, at the request of the
PLANNING AGENCY or its designee.
Hazardous Substances, Waste Disposal and Manifests
3.19 GRANTEE and sub -grantees must comply with all applicable Laws and
Regulations, including but not limited, to those relating to hazardous substances,
waste disposal and manifests.
Conflict of Interest
3.20 GRANTEE shall notify the PLANNING AGENCY immediately upon discovery
of any potential or actual conflict of interest. GRANTEE agrees that PLANNING
AGENCY has sole discretion to determine whether a conflict exists and that
PLANNING AGENCY may terminate the Agreement at any time, on the grounds
of actual or apparent conflict of interest.
3.20.1 Notice of Conflict oflnterest: The GRANTEE shall notify the
PLANNING AGENCY in writing of any actual, apparent, or potential
conflict of interest regarding any individual performing or having access
to information regarding the work. As applicable, the notification shall
include both organizational conflicts of interest and personal conflicts of
interest. Any individual with a personal conflict of interest shall be
10 General Conditions
disqualified from taking part in any way in the performance of any work
that created the conflict of interest.
Survival of Obligations
3.21 All representations, indemnifications, warranties and guarantees made in, required
by or given in accordance with the Agreement, as well as all continuing
obligations indicated in the Agreement, will survive final payment, completion
and acceptance of the work and termination or completion of the Agreement.
Contractual Costs
3.22 GRANTEE's contractual costs must comply with allowable costs requirements.
GRANTEES which are governmental entities must engage in sub -GRANTEE
selection on a competitive basis in accordance with their established policies. If
GRANTEE has no competitive procurement policy or is a private entity,
GRANTEE must generally select subGRANTEEs by evaluation and comparison
of price, quality of goods or services and past performance. All sub -grants
awarded under this Agreement shall be in accordance with Subpart C, Sec._.37,
Subsection (b) of the State Uniform Administrative Requirements for Grants and
Cooperative Agreements as set forth in Part III of the Uniform Grant Management
Standards adopted by the Governor's Office of Budget and Planning.
Termination
3.23 Article 14, relating to termination.
Acknowledgment of Financial Support
3.24 The GRANTEE shall acknowledge the financial support of the TCEQ and the
State of Texas whenever work funded, in whole or part, by this Agreement is
publicized or reported in news media or publications. All reports and other
documents completed as a part of this Agreement, other than documents prepared
exclusively for internal use within the PLANNING AGENCY, shall carry the
following notation on the front cover or title page.
PREPARED IN COOPERATION WITH THE TEXAS COMMISSION ON
ENVIRONMENTAL QUALITY
The preparation of this report was financed through grants from the State of
Texas through the Texas Commission on Environmental Quality.
Article 4. Schedule of Remedies available to the PLANNING AGENCY
4.1 In accordance with Chapter 2259, Texas Government Code, the following
Schedule of Remedies applies to this contract in the event of substandard performance or
11 General Conditions
other failure to conform to the requirements of the contract or applicable law as set forth
in this Section.
4.1.1 Reject substandard performance and request corrections without charge to
the PLANNING AGENCY.
4.1.2 Issue notice of substandard performance or other non -conforming act or
omission.
4.1.3 Request and receive return of any over payments or inappropriate
payments.
4.1.4 Reject reimbursement request and suspend payment pending accepted
revision of substandard performance or non -conformity.
4.1.5 Suspend all or part of the work and/or payments pending accepted revision
of sub -standard performance or non -conformity.
4.1.6 Reject reimbursement requested and withhold all or partial payments.
Funds may be retained by the PLANNING AGENCY for recovery or
administrative costs or returned to funding source as authorized by
agreements with the funding source and by state or federal law.
4.1.7 Terminate the contract, demand and receive: return of all equipment
purchased of contract funds, return of all unexpended funds, and
repayment of expended funds.
4.3 If the PLANNING AGENCY evaluation finds GRANTEE's performance to be
substandard, PLANNING AGENCY may provide its written evaluation report to
other governmental entities at any time. PLANNING AGENCY may also
provide its written evaluation report to the public as authorized by law.
Cumulative Remedies
4.4 PLANNING AGENCY may avail itself of any remedy or sanction provided in this
Agreement or in law to recover any losses rising from or caused by the GRANTEE's
substandard performance or any non -conformity with the Agreement or the law.
The remedies and sanctions available to PLANNING AGENCY in this Agreement
shall not limit the remedies available to the PLANNING AGENCY under law.
4.5 The duties and obligations imposed by these General Conditions and the rights and
remedies available hereunder to the parties hereto, and, in particular but without
limitation, the Schedule of Remedies, obligations imposed upon GRANTEE by
these General Conditions, and all other rights and remedies available to PLANNING
AGENCY there -under, are in addition to, and are not to be in any way as a
limitation of, any rights and remedies available to any or all of them which are
12 General Conditions
otherwise imposed or available, by Laws or Regulations, by special warranty or
guarantee or by other provisions of the Agreement, and the provisions of this
paragraph will be as effective as if repeated specifically in the Agreement in
connection with each particular duty, obligation, right and remedy to which they
apply.
Article 5. Pass-Throup-h Grant Agreements
5.1 The pass -through grant agreements shall include requirements for the pass -
through grant recipient to document the results of the grant -funded project and to
provide those results to the South Plains Association of Governments for use in
evaluating program effectiveness and for providing regional results information as
required under this Agreement.
The results reporting documentation and reporting requirements shall specifically
cover reporting on results during the term of the pass -through grant agreement,
with additional provisions for the pass -through grant recipient to agree to continue
to document, as appropriate to the type of project, the results of the project
activities for the life of the program or activity.
The GRANTEE shall further adhere to the requirement that the pass -through
grant recipient agrees to provide the South Plains Association of Governments
with follow-up results information in a report to SPAG in September 2005 or as
requested.
5.2 The pass -through grant agreements shall include provisions and requirements
necessary to implement the financial administration procedures set forth in
Section 5.10 of this Article, to include the use of a reimbursement request form
and financial status report form.
5.3 The pass -through grant agreements shall include a budget, broken down into
individual categories consistent with the budget categories, and the definitions of
those categories, as used in this Agreement.
5.4 The pass -through grant agreements shall incorporate the supplemental funding
standards set forth in this Agreement.
5.5 The pass -through grant agreements shall require prior notification and written
approval by the GRANTEE of the specific details of an expense or purchase set
forth in this Section, if those expenses were not already authorized under the
original grant application and included in the pass -through grant Agreement.
5.5.1 Changes in personnel whose salaries will be funded under the pass -
through grant.
5.5.2 Out-of-state travel and special out -of region travel to training events and
conferences. Prior to authorizing any out-of-state travel by a pass -through
13 General Conditions
grant recipient, the GRANTEE shall obtain written approval from South
Plains Association of Governments to provide such authorization.
5.5.3 Equipment, construction or contractual expenses.
5.5.4 Other category expenses not specifically authorized in the pass -through
grant Agreement.
5.6 The GRANTEE may authorize indirect costs under an agreement with a pass -
through grant recipient, in accordance with the procedures established in the
UGMS. In accordance with the UGMS, when a pass -through grant recipient has a
negotiated agreement signed within the past 24 months by a federal cognizant
agency or state single audit -coordinating agency, the indirect rate authorized in
that agreement may be accepted by the GRANTEE. Alternatively, the
GRANTEE may authorize a pass -through grant recipient to recover up to 10%
(percent) of the direct salary and wage costs of providing the service (excluding
overtime, shift premiums, and fringe benefits) as indirect costs, subject to
adequate documentation.
5.7 The pass -through grant agreements shall include other standards and requirements
as may be necessary to ensure that applicable requirements as set forth in this
Agreement are met.
5.8 The pass -through grant agreements shall include a defined work program to
include specific tasks and deliverables, with a concise schedule for completing the
tasks and providing the deliverables.
5.9 The pass -through grant agreements shall include requirements for reporting on the
progress of completing the project tasks and deliverables to include a requirement
that a pass -through grant recipient certify in writing to SPAG, either through a
final progress report or other mechanism established by SPAG or TCEQ, the
satisfactory completion of all activities and deliverables required under the pass -
through grant agreement. South Plains Association of Governments shall provide
the grantee examples of recommended forms that may be used by the grantee for
this purpose.
5.10 Pass -Through Grant Administration. The City shall administer and manage
each pass -through grant in accordance with this Agreement and shall be
responsible for ensuring that the provisions included in the pass -through grant
agreements are adhered to. In administering the pass -through grants under this
Agreement, the grantee shall also follow the procedures set forth in this Section.
5.10.1 SPAG may require a pass -through grant recipient to provide any
additional reports or information as may be necessary to adequately track
the progress of the grant -funded project.
14 General Conditions
5.10.2 SPAG shall conduct as least one visit to each implementation project
funded under this Agreement to evaluate the progress of the project.
For any project that entails the purchase of equipment or expenditures for
a constructed facility, SPAG shall, whenever possible, view all equipment
and facilities to verify the equipment purchases or the facility
construction. SPAG shall maintain records and documentation of all
project site visits, to include pictures of project sites and equipment,
documentation of visit dates, a summary of the status of the project, and
any notes or other information about the visit.
5.11 Financial Administration of Pass -Through Grants. SPAG agrees to establish
and administer a financial management program to make reimbursements to pass -
through grant recipients for authorized expenditures and to ensure that the
expenditures by the pass -through grant recipients were, in fact, incurred and were
reasonable and necessary to the project. In administering a financial management
system, SPAG shall adhere to the specific standards and requirements set forth in
this Section and in the UGMS, except that the requirements and processes may be
more stringent than what is set forth in this Section.
5.11.1 SPAG shall include the applicable minimum financial standards and
controls as set forth in this Agreement in agreements with pass -through
grant recipients.
5.11.2 SPAG shall establish a process to make payments to pass -through grant
recipients for authorized expenses. Payments by SPAG to pass -through
grant recipients shall be solely for reimbursement of actual allowable costs
utilizing the same standards and requirements for cost reimbursement
payments from South Plains Association of Governments to the
PERFORMING PARTY set out in this Agreement. All pass -through
grants will utilize a process in which SPAG reimburses the actual incurred
costs of grantees with no payments in advance. No pass -through grant
may be made on a fixed amount of cost reimbursement unless this method
is specifically approved by South Plains Association of Governments
based on supporting evidence of the proposed pass -through grant
recipient's actual costs.
The Pass -Through Grantee is not eligible to receive project fund
reimbursement until May 1, 2005. Payment will not occur before May 1,
2005. The payment schedule will be as follows for the Grantee:
May 1, 2005: 30% of eligible costs
June 1, 2005: 30% of eligible costs
July 1, 2005: 40% of eligible costs
5.11.3 SPAG may allow a pass -through grant recipient to account for expenses
incurred and request reimbursement of outlays under either a cash or an
15 General Conditions
accrual basis, as defined and authorized under the UGMS. To be eligible
for reimbursement under this Agreement, a cost must have been incurred
and either paid by the pass -through grant recipient prior to claiming
reimbursement from SPAG or incurred by the last day of the time period
indicated on a request for reimbursement form and liquidated no later than
forty-five (45) days after the end of that time period.
5.11.4 The grantee shall utilize a standard reimbursement request form to be
submitted by pass -through grant recipients. South Plains Association of
Governments shall provide the grantee the required forms that should be
used for this purpose. See Attachment A Exhibit 3 included with this
contract for the required reimbursement forms. These forms, along with
receipts and cancelled checks, should be submitted to SPAG for grantee
reimbursement. Reimbursements will not be processed until all required
reimbursement paperwork is received by SPAG.
The pass -through grant recipient should submit expense documentation
records as deemed necessary by the PERFORMING PARTY' S financial
monitoring plan and program, to ensure that the outlays by the pass -
through grant recipient are authorized and appropriate.
5.11.5 The GRANTEE shall also utilize a financial status report form and/or
supplemental forms to be submitted by pass -through grant recipients as
required to itemize expenditures and materials diverted by category.
South Plains Association of Governments shall provide the grantee
recommended forms that may be used by the grantee for this purpose. See
Attachment A Exhibit 4 and Exhibit 5.
5.11.6 SPAG shall review all materials provided by a pass -through grant
recipient with a request for reimbursement, and shall not make a
reimbursement payment unless all required items have been provided and
are deemed to be accurate
5.11.7 SPAG shall reimburse or otherwise make payment to a pass -through grant
recipient only for expenses incurred during the term of the pass -through
grant agreement between SPAG and the pass -through grant recipient, the
term of which may not be outside of the term of this Agreement.
5.11.8 SPAG shall not reimburse or otherwise make payment to a pass -through
grant recipient for an expenditure that is not authorized under this
Agreement. If it is determined, by the PLANNING AGENCY that an
expenditure that was reimbursed is not an authorized expense, the
PLANNING AGENCY shall request return and reimbursement of those
funds from the grant recipient or, where appropriate, the application of
those funds to other authorized expenses, and shall not provide any
additional reimbursements to the pass -through grant recipient until the
funds are returned or are applied to other authorized expenses.
16 General Conditions
5.12 Supplemental Funding Standards. In addition to the standards set forth in
applicable laws and regulations, the standards outlined below apply to all uses of
the funds provided under this Agreement. Unless authorization is otherwise
specifically provided for in or under the terms of this Agreement, the use of funds
provided under this Agreement shall be in accordance with the supplemental
funding standards set forth in this Article.
5.12.1 Payment of Fees. Local and regional political subdivisions subject to
the payment of state solid waste disposal fees and whose payments are
in arrears are not eligible to receive grant funding.
5.12.2 Land Acquisition Costs. Funds provided under this Agreement may
not be used to acquire land or an interest in land.
5.12.3 Municipal Solid Waste -Related Programs Only. Funds provided
under this Agreement may not be used for programs dealing with wastes
that are not considered municipal solid waste (MSW), including
programs dealing with industrial or hazardous wastes.
5.12.4 Programs Solely Related to Collection of Certain Wastes. Funds
provided under this Agreement may not be used for programs and
activities solely related to the management of automotive wastes, to
include: scrap tires, used oil, oil filters, antifreeze, lead -acid batteries, or
other similar wastes excluded from disposal in MSW landfills.
Funds may also not be used for the processing of scrap tires, such as
through the purchase of equipment to shred or split the tires. However,
collection of these materials may be included as part of a comprehensive
household hazardous waste collection and management program, so long
as that is not the sole intent of the program.
5.12.5 Activities Related to the Disposal of Municipal Solid Waste. Except
as may be specifically authorized under an eligible project category,
funds provided under this Agreement may not be used for activities
related to the disposal of municipal solid waste. This restriction
includes: solid waste collection and transportation to a disposal facility;
waste combustion (incineration or waste -to -energy); processing for
reducing the volume of solid waste which is to be disposed of; any
landfill -related facilities or activities, including the closure and post -
closure care of a landfill; or other activities and facilities associated with
the ultimate disposal of municipal solid waste. This provision does not
apply to activities specifically included under an authorized project
category, to include landfill scales, citizens' collection stations, and
small registered transfer stations.
5.12.6 Projects Requiring a TCEQ Permit. Funds may not be used for
expenses related to projects or facilities that require a permit from the
17 General Conditions
TCEQ and/or that are located within the boundaries of a permitted
facility, including landfills, wastewater treatment plants, and other
facilities. This provision, however, may be waived by the PLANNING
AGENCY, at the TCEQ's discretion, for otherwise eligible activities to
be located at a closed permitted facility and/or for recycling activities
that will take place within the boundaries of an open facility. Recycling
activities that may qualify for such a waiver may include recyclables
collection, composting, and land application of bio-solids for beneficial
use. The applicant should request a preliminary determination from the
PLANNING AGENCY as to the eligibility of the project prior to
consideration for funding.
5.12.7 Projects Requiring TCEQ Registration. Projects or facilities that
require registration from the TCEQ, and which are otherwise eligible for
funding, may be funded. However, the registration for the facility must
be finally received before that project can be selected for funding.
5.12.8 Projects that Create a Competitive Advantage Over Private
Industry. In accordance with §361.014(b) of the Texas Health and
Safety Code, a project or service funded under this Agreement must
promote cooperation between public and private entities and may not be
otherwise readily available or create a competitive advantage over a
private industry that provides recycling or solid waste services. Under
this definition, the term private industry includes non-profit entities.
5.12.9 Supplanting Existing Funds. Funds provided under this Agreement
may not be used to supplant existing funds. In particular, staff positions
where the functions assigned to that position will remain the same and
that were active at the time of the grant application, and were funded
from a source other than a previous solid waste grant, are not eligible for
grant funding.
5.12.10 Food/Entertainment Expenses. Funds provided under this Agreement
may not be used for food or entertainment expenses, including
refreshments at meetings and other functions. This provision does not
apply to authorized employee per -diem expenses for food costs incurred
while on travel status.
5.12.11 Use of Alcoholic Beverages. Funds provided under this Agreement
may not be used for payment of salaries to any employee who uses
alcoholic beverages on active duty. None of these funds may be used
for the purchase of alcoholic beverages, including travel expenses
reimbursed with these funds.
5.12.12 Funds to Law Enforcement Agencies. Funds provided under this
Agreement may not be provided to any law enforcement agency
18 General Conditions
regulated by Chapter 415 of the Texas Government Code, unless the law
enforcement agency is in compliance with all rules developed by the
Commission on Law Enforcement Officer Standards and Education
pursuant to Chapter 415 of the Texas Government Code, or the
Commission on Law Enforcement Officer Standards and Education
certifies that the requesting agency is in the process of achieving
compliance with such rules.
Article 6. Public Data
6.1 GRANTEE specifically agrees that any and all data or information developed as a
result of the performance of this Agreement shall be data or information in the
public domain, unless specifically legislated otherwise.
6.1.1 All data and other information developed under this Agreement shall be
furnished to the PLANNING AGENCY and shall be public data and
information except to the extent that it is exempted from public access by
the Texas Open Records/Public information Act, Vernon's Tex. Gov't
Cod 552. Upon termination of this Agreement, all data and information
shall become the joint property of the State Agency and GRANTEE.
Article 7. Indemnification
The grantee agrees to hold harmless SPAG and the State Agency, and any of its directors,
officers, agents, employees, and attorneys, from and against any and all claim, losses,
damages, including consequential damages, causes of action, suits, and liability of any
character, type, description or kind, including without limiting the generality of the
foregoing, expenses of litigation, court costs, and attorneys fees, from bodily injury,
sickness, disease or death of any person, or from damages or injury to any property to the
extent arising out of or resulting from the negligent act of the GRANTEE or its agents or
employee or in the execution or performance of this Contract.
Article 8. Partial Invalidity
If any term or provision of this Agreement is held by a court of competent jurisdiction to
be invalid, void, or unenforceable, the remainder of the provisions of this Agreement
shall remain in full force and effect and it shall in no way be affected, impaired, or
invalidated.
Article 9. Breach of Agreement.
9.1 The PLANNING AGENCY may, by written notice of default to the grantee,
terminate this Contract in whole or in part if the grantee:
9.1.1 Fails to perform any of the Grantee Duties as set forth in Article 3, or
19 General Conditions
9.1.2 Fails to perform any other condition or covenant of this Agreement.
9.1.3 The PLANNING AGENCY's right to terminate this Contract may be
exercised if the grantee does not cure any default within ten (10) days after
receipt of notice from the PLANNING AGENCY specifying the default.
If this Agreement is terminated for default, the PLANNING AGENCY
shall not be obligated to pay any unpaid Funds to the grantee under this
Agreement.
9.1.4 The PLANNING AGENCY reserves the right to revoke any unexpended
or inappropriately expended funds not made in accordance with this
Agreement.
Article 10. Intellectual Proverty
Intellectual Property requirements as set forth in this Section.
10.1 For the purpose of this Article, "intellectual property" refers to 1) any discovery
or invention for which patent rights may be acquired, and 2) any photographs,
graphic designs, plans, drawings, specification, computer programs, technical
reports, operating manuals, or other copyright table materials, and 3) any other
materials in which intellectual property rights may be obtained.
10.2 If the GRANTEE first conceives of, actually puts into practice, discovers, invents,
or produces any intellectual property during the course of its work under this
Agreement, it shall report that fact to the PLANNING AGENCY.
10.3 Royalties and Patent Fees. GRANTEE shall pay all license fees and royalties and
assume all costs incident to the use or possession in the performance of the work
or the incorporation in the work of any Intellectual Property.
10.4 The GRANTEE may obtain governmental protection for rights in the intellectual
property. However, the State Agency hereby reserves a nonexclusive, royalty -
free and irrevocable license to use, publish, or reproduce the intellectual property
for sale or otherwise, and to authorize others to do so. The State Agency also
reserves a royalty -free nonexclusive, and irrevocable license to use, publish, or
reproduce for sale or otherwise, and to authorize others to use, publish, or
reproduce, for sake or otherwise (to extent consistent with the rights of third
parties) any intellectual property for which the GRANTEE obtains rights with
fund received under this Agreement.
10.5 The GRANTEE shall include provisions adequate to effectuate the purposes of
this paragraph in all subcontracts and sub -grants under this Agreement in the
course of which Intellectual Property may be produced or acquired.
20 General Conditions
Article 11. Assignment.
This Contract shall not be assignable by GRANTEE without the prior written consent of
South Plains Association of Governments.
Article 12. Successors and Assiens
This Agreement shall be binding on and inure to the benefit of any successors and assigns
of the respective parties to this Agreement.
Article 13. Amendments.
Any amendments, modifications, or supplements to this Contract shall be in writing and
signed by both parties in accordance with the provisions of the TCEQ Contract with
South Plains Association of Governments.
Article 14. Mediation.
If a dispute arises out of, or related to this contract, or the breach thereof, and if the
dispute cannot be settled through negotiation, the parties agree first to try in good faith to
settle the dispute by mediation administered by the Dispute Resolution Center, before
resorting to arbitration, litigation, or some other dispute resolution procedure.
Article 15. Termination.
15.1 This Agreement shall terminate no later than July 31, 2005, unless extended in
writing and executed by both parties. This Agreement shall terminate upon full
performance of all requirements contained herein, unless extended in writing and
executed by both parties.
15.2 This Agreement may be terminated in whole or in part by the PLANNING
AGENCY in the event of material failure to comply with the contract terms, in
accordance with the Uniform Grant Management Standards: Provided that no
such termination may be effected unless the other party is given as set forth in this
Section.
15.2.1 Not less than ten (10) days written notice (delivered by certified mail,
return receipt requested) of intent to terminate.
15.2.2 An opportunity for consultation with the terminating party prior to
termination.
15.3 This Agreement may be terminated in whole or in part in writing by the
PLANNING AGENCY for its convenience, in accordance with the Uniform
Grant Management Standards: Provided that the GRANTEE is given not less than
ten (10) days written notice (delivered by certified mail, return receipt requested)
21 General Conditions
of intent to terminate. Circumstances in which the PLANNING AGENCY may
terminate for convenience include, but are not limited to, the Texas Legislature's
withdrawal of appropriations for this project and the depletion of funds in the
Municipal Solid Waste Disposal and Transportation Revenue Fee.
15.4 If the PLANNING AGENCY terminates the Agreement for a material failure to
comply with the Agreement terms under Section 14.2 or the PLANNING
AGENCY terminates the Agreement for convenience under Section 14.3, an
adjustment in the Agreement amount shall be made in accordance with the
Uniform Grant Management Standards.
15.5 Upon receipt of a termination action pursuant to Sections 14.2 or 14.3 above, the
GRANTEE shall perform the actions set forth in this Section.
15.5.1 Promptly discontinue all services affected (unless the notice directs
otherwise).
15.5.2 Deliver or otherwise make available to the PLANNING AGENCY all
data, drawings, specifications, reports, estimates, summaries, and such
other information and materials as may have been accumulated by the
GRANTEE in performing this Agreement, whether completed or in the
process.
15.6 If, after termination for failure of the GRANTEE to fulfill contractual obligations,
it is determined that the GRANTEE had not so failed, the termination shall be
deemed to have been effected for the convenience of the PLANNING AGENCY.
15.7 If any delay or failure of performance is caused by a force majeure event as
describe in the force majeure Article of this Agreement, the PLANNING
AGENCY may in its sole discretion terminate this Agreement in whole or part
pursuant to this Article.
Force Majeure
15.8 A force majeure event shall be defined to include decrees of or restraints by a
governmental instrumentality, acts of God (except that rain, wind, flood or other
natural phenomena normally expected for the locality shall not be construed as an
act of God), work stoppages due to labor disputes or strikes, fires, explosions,
epidemics, riots, war, rebellion, and sabotage.
15.9 Provided this Agreement has not been terminated, and subject to the conditions
below, if a delay or failure of performance by either party results from the
occurrence of a force majeure event, the delay shall be excused and the time fixed
for completion of the work extended by a period equivalent to the time lost
because of the event to the extent as set forth in this Section.
22 General Conditions
15.9.1 The delay or failure was beyond the control of the party affected and not
due to its fault or negligence.
15.9.2 The delay or failure was not extended because of the affected parry's
failure to use all diligence to overcome the obstacle or to resume
performance immediately after the obstacle was overcome.
15.10 No time extension shall be granted under this Article unless the party seeking
relief has notified the other in writing within a reasonable time after
commencement of the event, or 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 GRANTEE intends to implement these measures. The party seeking relief
shall also five written notice of the ending of the event within a reasonable time
after the event has ended.
15.11 The PLANNING AGENCY shall be responsible for costs related to a force
majeure event only if they are incurred by the GRANTEE after the prior written
request by the PLANNING AGENCY Project Representative, to incur such costs
in connection with any force majeure event. Neither the PLANNING AGENCY
nor the GRANTEE shall have, and both hereby waive, any claim whatever for
any damages resulting from delays caused by force majeure events.
Article 16. Attorney's Fees.
If any legal action is brought by either of the parties hereto, it is expressly agreed that the
prevailing party in such action shall be entitled to recover from the other party reasonable
attorney's fees in addition to any other relief awarded.
Article 17. Entire Agreement.
This Contract contains the entire Agreement of the parties with respect to the matters
covered by its terms. NEITHER THE STATE OF TEXAS NOR THE TCEQ ARE
PARTIES TO THIS CONTRACT. No other agreement, statement, or promise made by
any party or to any employee, officer, or agent of any party that is not contained in this
Contract shall be any force or effect.
23 General Conditions
ATTACHMENT A
Exhibit 1
Attachment A
GRANTEE Work Program
PROJECT GOAL STATEMENT — This project will be for the purchase of the following
equipment that will be used to collect recyclable materials at the City of Lubbock Recycling
Drop -Off Centers, cleanup events and other special events and activities:
Four 20-foot trailers with hydraulic dump — These trailers will be used to collect and transport
recyclable materials from drop-off centers, cleanup events and alleyways.
Six 30-cubic yard roll -off boxes — These will be used to collect recyclable materials at drop-off
centers, cleanups and special events. The type of recyclable material collected will include
white goods, yard waste, cardboard, phone books, plastics and Christmas trees, as well as
other items.
One detachable truck body system with chipper body — The City will retrofit an existing one -ton
truck with a detachable truck body system and purchase one chipper body. This equipment will
be used to travel to areas where yard trimmings have been placed or illegally dumped and to
chip brush on -site and into a chipper body so that material doesn't have to be handled twice.
The chipped wood will be given away as mulch and used in composting or other landfill
operations. The truck system will pull the chipper that was bought with grant funds during the
2004 grant cycle. Primary storage for the purchased equipment will be at the Recycling Center
located at 82"d and Avenue P.
The benefits of this program will be increased opportunities for residents to recycle. The City
currently operates two Type I landfills, three permanent and three mobile recycling drop-off
centers. The City's solid waste department provides educational presentations and outreach
events on an on -going basis to educate the public on topics related to Recycling and Waste
Minimization.
Phase I — Planning
Task 1: Identify Project Representative/Coordinator
Deliverable: Designate a responsible individual familiar with the project to receive
direction from SPAG, to manage the work being performed and to act on
behalf of the GRANTEE.
Task 2: Evaluate Needs
Deliverable: Meet with SPAG Staff to discuss specific project goals and develop
appropriate work program, budget and schedule of deliverables, as needed.
Phase II — Contract Execution
Task 3: Coordinate Contract Execution with Officials, SPAG
Deliverable: Present completed contract to officials for approval and authorization to
sign the document, coordinate return of signed copies to SPAG.
Deliverable: Coordinate with designated SPAG Project Representative to ensure timely
return of fully executed contracts to officials, indicating authorization to
begin formal implementation of the project.
Phase III — Implementation
Task 4: Prepare Specifications/Design Project
Deliverable: Provide project specifications and summary of proposed project to SPAG
for review and approval, based on previously evaluated, needs before
advertising for bids, as required.
Task 5: Advertise for Bids
Attachment A
Deliverable: Provide copies of bids received to SPAG with request to authorize
spending.
Task 6: Purchase Equipment/Construct Facility
Deliverable: Submit Requests for Reimbursement with invoices and other required
forms and reports to SPAG (following purchases) in order to receive
funds.
Task 7: Receive Equipment/Complete Construction
Deliverable: Upon receipt of equipment/completion of construction of the project, all
items will be inventoried property; provide notification and photo to
SPAG, as required.
Task 8: Operate Equipment/Facility
Deliverable: Maintain logs of operation and track waste diversion; keep records for
onsite visits and inspections. Submit reports as required to SPAG on
waste diversion.
Task 9: Publicity and Education
Deliverable: Submit copies of all instructional fliers, educational materials and news
articles to SPAG.
Phase IV — Monitoring and Reporting
Task 10: Maintain Adequate Records
Deliverable: Record and compile daily/weekly/monthly activities; submit as requested
to SPAG.
Task 11: Quarterly Reporting and Evaluation
Deliverable: Submit quarterly Summary and Results Reports to SPAG, as required in
this Agreement, with updated evaluation of project results, as detailed in
this Contract.
Task 12: Follow-up Monitoring
Deliverable: Track results/activities for the life of the project; submit one-year follow-
up Results Report on waste diversion rates, and other reports or
information if requested by SPAG and/or TCEQ. See Attachment A
Exhibit 5 for required reporting format.
Attachment A
Schedule of Deliverables from
GRANTEE
Tasks
Description of Deliverables
Schedule
(Completion Date)
Phase 1 - Planning
1
Identify Project Representative / Coordinator
2
Evaluate Needs
Phase 11 & III - Contract Execution/Implementation
3
Execute Contract with Officials
Jan-2005
4
Execute Contract with SPAG
Jan-2005
5
Finalize Specifications / Design Project
Jan-2005
6
Advertise for Bids
Feb-2005
7
Purchase Equipment / Construct Facilities
Feb-2005
8
Receive Equipment / Complete Construction or Project
Mar-2005
9
Operate Equipment / Facility or Implement Project
Mar-2005
10
Publicity and Education
As required
Phase IV - Monitoring and Reporting
11
Maintain Adequate Records as Required
Continuous
12
Quarterly Reports and Evaluation
Quarterly or as
required
13
Follow -Up Results Report to SPAG
As required
Attachment A
ATTACHMENT A
Exhibit 2
Attachment A
Program Budget
Budget Categories
FY '05
Budget
a.
Personnel / Salaries
-0-
b.
Fringe Benefits
-0-
c.
Travel
-0-
d.
ISupplies
-0-
e.
Equipment
$53,998.00
f.
Construction
-0-
g.
Contractual
-0-
h.
� Other
-0-
i.
Total Direct (Sum a - )
$53,998.00
J.
Indirect Costs
-0-
k.
Total Sum h & i)
$53,998.00
List equipment, construction and contractual expenses. $53,998
4 20-foot hydraulic dump trailers $25,600
Detachable work truck body with chipper body $9,000
6 30-cubic yard roll -off containers $19,398
Attachment A
ATTACHMENT A
Exhibit 3
Attachment A
FY 2004/2005 REGIONAL SOLID WASTE GRANT
PASS -THROUGH GRANT RECIPIENT
REQUEST FOR FUNDS - FORM PT- F1
1. From:
2. Date:
(Grantee)
3. Contract/Project Number:
(Business Address)
(City) (Zip)
(Contact person name and phone number)
4. These funds are requested to cover expenditures for the
period: through
5. Pass -Through Grant funds received/requested to date: $
6. Total project expenditures to date, as of 7/31/04: $
7. How much of item 6 is to be covered by grant funds? $
8. Net (subtract item 7 from item 5): $
9. Amount requested: $
10. Submitted by:
Printed Name of Certifying Official Signature Date
TO BE COMPLETED BY PAYING AGENCY
Agency Approvals:
Solid Waste Coordinator
Signature Title Date
Signature Title Date
Attachment A
PASS -THROUGH GRANT RECIPIENT
REQUEST FOR FUNDS - FORM PT- F1
Detailed Instructions
Please type or print legibly.
Item Entry
1. Self-explanatory
2. Self-explanatory
3. Enter your grant contract number
4. Period for which you are requesting reimbursement.
5. Enter total funds received since the beginning of the grant period plus funds requested but not yet received
to date (DO NOT include this request).
6. Enter total PROJECT expenditures (actual/accrued) from the beginning of the grant period to a cut-off date
(NOT A PROJECTED DATE). This includes any local match.
7. Enter the amount that will be covered by grant funds from the amount in Item 6.
8. Self-explanatory.
9. Enter the amount of grant funds requested.
The original signature of the authorized certifying official is required.
Attachment A
FY 2004/2005 REGIONAL SOLID WASTE GRANTS PROGRAM
SUMMARY OF PASS -THROUGH GRANT EXPENDITURES - FORM PT-F2
1.
COUNCIL OF GOVERNMENTS
TO WHICH REPORT IS SUBMITTED:
South Plains Association of Governments
2.
VENDOR IDENTIFICATION NUMBER:
3. RECIPIENT ORGANIZATION (NAME AND COMPLETE
ADDRESS, INCLUDING ZIP CODE):
4. CONTRACT/PROJECT NUMBER:
5. FINAL REPORT: Yes No
b. ACCOUNTING BASIS: Cash Accrual
7.
TOTAL GRANT PERIOD:
FROM: TO:
8. PERIOD COVERED BY THIS REPORT:
FROM: TO:
9.
BUDGET CATEGORIES
Total
Budget
Project Cost
This Report'
Cumulative
Project Cost
Total
Balance
a.
Personnel/Salaries
b.
Fringe Benefits
c.
Travel
d.
Supplies
e.
Equipment
f.
Contractual
g.
Construction
h.
Other
i.
Total Direct Sum a - h
j.
Indirect Costs
k.
Total Sum i &
'List (Itemize) on the appropriate supplemental form, component expenses comprising the total cost.
10. CERTIFICATION: I certify to the best of my knowledge and belief that this report is correct and complete and that all outlays and
unliquidated obligations are for the purposes set forth in the award documents.
Signature of Authorized Certifying Official
Typed or Printed Name and Title
Telephone (area code, number and ext.) Date Submitted:
Attachment A
SUMMARY OF PASS -THROUGH GRANT EXPENDITURES - FORM PT-F2
Detailed Instructions
Form PT-F2
Please type or print legibly. A completed Form PT-172, and appropriate supplemental forms, must be submitted with
each request for reimbursement. The grant recipient may modify these forms to allow for electronic generation, so long as
the applicable information is still provided.
Item Entry
1. Enter the Council of Governments to which the report is submitted.
2. Enter your 14-digit vendor identification number assigned by the State Comptroller's Office.
3. Enter organization name and complete address.
4. Enter the contract or project number.
Indicate whether or not this submittal constitutes the final report of expenses incurred under the contract.
6. Indicate accounting basis (cash or accrual).
Enter the contract term.
8. Enter the reporting period. Reports are required to be submitted with each request for reimbursement and/or on a
schedule set forth in the grant contract.
9. For each category listed in the contract budget, enter the appropriate amount under each vertical column heading.
Do not include expenditures funded from other sources.
10. The report must be signed and dated by the authorized official of the submitting agency.
Supplemental Forms
Form F2-A
Itemize all expenditures (for this report period) from the Personnel/Salaries and Travel budget categories. Supplemental
documentation (time sheets, travel receipts, etc.) is not required to be attached to this form, but must be retained by the
grant recipient.
Form F2-B
Itemize all equipment purchases and contractual expenditures (for this report period) from the Equipment and Contractual
budget categories. Legible receipts, if required, must be attached to this form for each listed item or expenditure.
Form F2-C
Itemize all expenditures (for this report period) from the Construction budget category. Legible receipts, if required, must
be attached to this form for each listed item or expenditure.
Form F2-D
Itemize all expenditures (for this report period) from the Supplies and the Other budget categories. Legible receipts, if
required, must be attached to this form for each listed item or expenditure that equals or exceeds $500.
Attachment A
FY 2004/2005 REGIONAL SOLID WASTE GRANTS PROGRAM
ITEMIZATION OF PERSONNEL/SALARIES AND TRAVEL COSTS
SUPPLEMENTAL FORM F2-A
PERSONNEL/SALARIES EXPENDITURES Onrin this reportperiod)
EMPLOYEE NAME
TITLEIPOSITION
SALARY THIS
PERIOD
TOTAL PERSONNEL/SALARY EXPENDITURES (Must agree with line 9a on Form PT-F2)
TRAVEL EXPENDITURES (during this report period)
DESCRIPTION
REASON
COST THIS PERIOD
TOTAL TRAVEL EXPENDITURES (Must agree with line 9c on Form PT-172)
Supplemental documentation (time sheets, travel receipts, etc.) is not required to be attached to this form, but must be retained by the grant
recipient.
ATTACH ADDITIONAL SHEETS, IF NEEDED
Attachment A
FY 2004/2005 REGIONAL SOLID WASTE GRANTS PROGRAM
ITEMIZATION OF EQUIPMENT AND CONTRACTUAL COSTS
SUPPLEMENTAL FORM F2-B
EOUIPMENT PURCHASES (during this renort neriod)
NUMBER
PURCHASED
ITEM DESCRIPTION
UNIT
COST
TOTAL
COST
TOTAL EQUIPMENT EXPENDITURES (Must agree with line 9e on Form PT-F2)
CONTRACTUAL EXPENDITURES (durine this renort period)
SUBGRANTEE (NAME)
FOR
TOTAL
COST
t
TOTAL CONTRACTUAL EXPENDITURES (Must agree with line 9f on Form PT-F2)
Legible receipts must be attached to this form for each listed item or expenditure.
ATTACH ADDITIONAL SHEETS, IF NEEDED
Attachment A
FY 2004/2005 REGIONAL SOLID WASTE GRANTS PROGRAM
ITEMIZATION OF CONSTRUCTION COSTS
SUPPLEMENTAL FORM F2-C
CONSTRUCTION COSTS (during this report period)
DESCRIPTION
PURPOSE
TOTAL
COST
TOTAL CONSTRUCTION EXPENDITURES (Must agree with line 9g on Form PT-F2)
Legible receipts must be attached to this form for each listed item or expenditure.
ATTACH ADDITIONAL SHEETS, IF NEEDED
Attachment A
FY 2004/2005 REGIONAL SOLID WASTE GRANTS PROGRAM
ITEMIZATION OF SUPPLIES AND OTHER COSTS
SUPPLEMENTAL FORM F2-D
SUPPLIES EXPENDITURES (during this report period)
NUMBER
PURCHASED
ITEM DESCRIPTION
UNIT
COST
TOTAL
COST
TOTAL SUPPLIES EXPENDITURES (Must agree with line 9d on Form PT-F2)
OTHER EXPENDITURES (during this report period)
NUMBER
PURCHASED
ITEM DESCRIPTION
UNIT
COST
TOTAL
COST
TOTAL OTHER EXPENDITURES (Must agree with line 9h on Form PT-F2)
*****Legible receipts must be attached to this form for each listed item or expenditure.
ATTACH ADDITIONAL SHEETS, IF NEEDED
Attachment A
PROJECT SUMMARY REPORT
STATUS OF COMPLETION OF WORK TASKS
Sheet of
1. Task/deliverable:
A. Percent (%) completed:
B. Activities conducted to date:
C. Major activities remaining to complete the task:
D. Estimated completion date:
E. Comments:
2. Task/deliverable:
A. Percent (%) completed:
B. Activities conducted to date:
C. Major activities remaining to complete the task:
D. Estimated completion date:
E. Comments:
3. Task/deliverable:
A. Percent (%) completed:
B. Activities conducted to date:
C. Major activities remaining to complete the task:
D. Estimated completion date:
E. Comments:
REMARKS: Explain any problems encountered in conducting the overall project. Provide other
information that may be helpful in understanding the status of the project.
ATTACH ADDITIONAL SHEETS, IF NEEDED
Attachment A
ATTACHMENT A
Exhibit 4
Attachment A
TEXAS COMMISSION ON ENVIRONMENTAL QUALITY
FY 2004 REGIONAL SOLID WASTE GRANT
FINANCIAL STATUS REPORT - FORM 269a
STATE AGENCY ORGANIZATIONAL UNIT
TO WHICH REPORT IS SUBMITTED: Comprehensive Waste Planning Team Mail Code -
206
1.
VENDOR IDENTIFICATION NUMBER:
2. RECIPIENT ORGANIZATION (NAME AND
COMPLETE ADDRESS, INCLUDING ZIP
CODE):
3.
TCEQ CONTRACT NUMBER:
4.
FINAL REPORT: Yes No
5.
ACCOUNTING BASIS: Cash Accrual
6.
TOTAL GRANT PERIOD: 7. PERIOD COVERED BY THIS REPORT:
FROM: TO: FROM: TO:
8.
BUDGET FY `00 Total FY Project Co Cumulative Total FY
CATEGORIES Budget' 100/01 This Repo Project Cost 100/01
Budget Balance
a.
Personnel/Salaries
b.
Fringe Benefits
c.
Travel
d.
Supplies
e.
Equipment
f.
Contractual
g.
Implementation
Pro'ects
h.
Other
I.
Total Direct (Sum a -
h
j.
Indirect Costs
k.
Total Sum I &
'Expenses incurred prior to July 31, 2004, may not exceed the FY'04 budget.
2List (Itemize) on the appropriate supplemental form, component expenses comprising the total cost.
9.
Total funds received from TCEQ to date: $
10.
Unexpended Cash Balance (do not include earned interest): $
11.
FY 2002-2003 CARRY-OVER INTEREST 12. FY 2004-2005 EARNED INTEREST 13. CLOSED
LANDFILL INVENTORY
Total interest carried forward: $ Total interest earned to date:$
Total expended to date: $
Attachment
Total interest used to date: $
Total interest used to date: $
Remaining Interest balance: $ Remaining Interest balance: $
14. CERTIFICATION: I certify to the best of my knowledge and belief that this report is correct and
complete and that all outlays and unliquidated obligations are for the purposes set forth in the award
documents.
Signature of Authorized Certifying Official
Typed or Printed Name and Title
Telephone (area code, number and ext.)
Date Submitted:
Attachment A
ATTACHMENT A
Exhibit 5
Attachment A
REGIONAL SOLID WASTE GRANTS PROGRAM
FOLLOW-UP REPORT ON THE RESULTS OF FY 2004/2005
GRANT -FUNDED PROJECTS
Cover Page
1. COG Name:
South Plains Association of Governments
2. TCEQ Contract Number:
3. Submittal Date:
4. Report Period (cumulative):
6. ATTACHMENTS: Complete the applicable form(s) for the categories of projects conducted
with grant funds (indicate with a &if attached):
4 Equipment/Facility Status Form (this form must be included)
_ Form A (Local Enforcement)
— Form B (Litter and Illegal Dumping Cleanup)
Form C (Source Reduction and Recycling)
_ Form D (Local Solid Waste Management Plans)
_ Form E (Citizens' Collection Stations, "Small" Registered Transfer Stations, and
Community Collection Events)
_ Form F (Household Hazardous Waste (HHW) Management)
— Form G (Technical Studies)
_ Form H (Educational and Training Projects)*
*Use for both stand-alone education/training projects as well as
education training components of projects in other categories)
7. CERTIFICATION: I certify to the best of my knowledge and belief that this report is
correct and complete.
Signature of Authorized Representative
Printed Name and Title
Date
Attachment A
REGIONAL SOLID WASTE GRANTS PROGRAM
FOLLOW-UP RESULTS REPORT
EQUIPMENT/FACILITY STATUS FORM
1. Total number of projects with equipment/facility grant funding:
2. Total funding awarded for equipment/facilities: $
3. Status of equipment/facilities. Article 20, ofyour 200412005 grant contract contains the requirements
pertaining to the management ofgrant funded equipment and constructedfacilities. This follow-up reporting
process is an opportunity for each COG to obtain information from its FY200412005 grant recipients
concerning the status of equipment/facilities. Importantly, any equipment/facilities with a per -unit value of over
$1,000 or over may not be transferred or sold without prior authorization from TCEQ. Please also note the
requirements of Article 9.5 of the contract, pertaining to restrictions on creating a competitive advantage over
private industry. A review of the equipment/facility status by the COG will help to ensure that grant -funded
property is being used in accordance with contractual requirements.
Please complete the following:
a) Identify any projects that are not currently utilizing the equipment/facilities purchased
with grant funding, and provide an explanation of subsequent actions taken or planned by the
COG:
b) Identify any projects that report the transfer, replacement, or sale of grant -funded
equipment/facilities (with a per -unit value of $1,000 or more) without having first
received authorization to do so from the COG and TNRCC, and provide an explanation
of subsequent actions taken or planned by the COG:
Attachment A
FY 2004/2005 REGIONAL SOLID WASTE GRANTS PROGRAM
Form A: Local Enforcement
The following table should be a calculation of all grant funded FY 200412005 local enforcement
projects.
Reporting Parameter
Cumulative
FY 2004/2005
Results
Total number of projects funded
0
Total project funding
$
Number of small illegal dumping sites investigated (<5 lbs.)
0
Number of medium illegal dumping sites investigated (5-100 lbs.)
0
Number of large illegal dumping sites investigated (>100 lbs.)
0
Total number of illegal dumping sites investigated (small + medium + large)
0
Total number of fines issued
0
Total amount of fines issued
$0
Total number of illegal dumping sites cleaned up through enforcement
actions
0
Total amount of waste (in pounds) removed from illegal dumping sites
through enforcement actions
0
List each Local Enforcement project:
Name of Grantee Proiect Number Amount
Comments:
Attachment A
FY 2004/2005 REGIONAL SOLID WASTE GRANTS PROGRAM
Form B: Litter and Illegal Dumping Cleanup
The following table should be a calculation of all grant funded FY 200412005 litter and illegal
dumping cleanup projects.
Reporting Parameter
Cumulative FY
2004/2005 Results
Grant funding amount ($)
For river/lake and community litter cleanups:
Total number of individual cleanup events held
Total number of participants/volunteers
If applicable, total waterfront cleaned up (in miles)
If applicable, total estimated land area cleaned up (in acres)
Total debris/litter collected for disposal (in pounds)
Total amount of materials collected for recycling/reuse (in pounds)
For periodic or ongoing cleanup of illegal dumping sites:
Total number of litter and illegal dumping sites cleaned up
Total estimated land area cleaned up (in acres)
Total amount materials collected for disposal (in pounds)
Total amount of material collected for recycling/reuse (in pounds)
List each Litter and Illegal Dumping Cleanup project:
Name of Grantee Proiect Number Amount
Comments:
Attachment A
FY 2004/2005 REGIONAL SOLID WASTE GRANTS PROGRAM
Form C: Source Reduction/Recycling
The following table should be a calculation of all grant -funded FY 200412005 source reduction recycling projects.
Reporting Parameter
Cumulative
FY 2004/2005 Results
Total number of projects funded
Total project funding
Total amount (in tons) of materials diverted
Amount (in tons) of brush/yard waste diverted
Amount (in tons) of glass diverted
Amount (in tons) of metal diverted
Amount (in tons) of plastic diverted
Amount (in tons) of cardboard diverted
Amount (in tons) of newspaper diverted
Amount (in tons) of other paper diverted
Amount (in tons) of C&D debris diverted
Sum of the average monthly diversion amounts for each project (in tons)
Total number of persons served
Total revenue from sale of diverted materials
Sum of the average monthly revenues for each project
Total disposal costs avoided
Sum of the average monthly disposal costs avoided for each project
List each Source Reduction/Recycling project:
Comments:
Attachment A
FY 2004/2005 REGIONAL SOLID WASTE GRANTS PROGRAM
Form D: Local/Subregional Solid Waste Management Plans
The following table should be a calculation of all grant funded FY 200412005 local/subregional
solid waste management plan projects.
Reporting Parameter
Cumulative
FY 2004/2005
Results
Total number of projects funded
Total project funding
$
Total population affected or covered by plans
Total number of municipalities affected or covered by plans
Total number of counties affected or covered by plans
Total number of entities having implemented actions related to plan
goals, objectives, or recommendations
List each Local/Subregional Solid Waste Management Plan project:
Name of Grantee Proiect Number Amount
Comments:
Attachment A
FY 2004/2005 REGIONAL SOLID WASTE GRANTS PROGRAM
Form E: Citizens' Collection Stations, Small Registered Transfer Stations, and
Community Collection Events
The following table should be a calculation of all grant funded FY 200412005 citizens' collection
stations, small registered transfer stations, and community cleanup event projects.
Reporting Parameter
Cumulative FY
2004/2005 Results
Grant funding amount
Total number of persons served
Total amount of waste collected for disposal (in tons)
Total amount of materials diverted for beneficial use (in tons)
Total revenue from sale of diverted materials
For community collection events:
Total number of community collection events held
For collection or transfer stations:
Number of months collection or transfer station in operation (to be used in
obtaining averages)
Average monthly disposal amount (in tons)
Average monthly amount diverted for beneficial use (in tons)
Total fees collected for station use
Average monthly fees collected
Average monthly revenues from sale of materials diverted for beneficial use
List each CCS, Small Registered Transfer Station, and Community Collection Event project:
Name of Grantee Proiect Number Amount
Comments:
Attachment A
FY 2004/2005 REGIONAL SOLID WASTE GRANTS PROGRAM
Form F: Household Hazardous Waste Management
The following table should be a calculation of all grant funded FY 200412005 household
hazardous waste management projects.
Reporting Parameter
Cumulative
FY 2004/2005
Results
Total number of projects funded
Total project funding
Total number of individual collection events
Total number of permanent collection facilities/mobile collection units
Total number of participants/customers
Total amount of HHW (excluding hazardous paint) collected (in
pounds)
Total amount of hazardous paint collected (in pounds)
Total cost of hazardous materials GRANTEE services
Total amount of nonhazardous paint collected for reuse/recycling (in
gallons)
Total number of lead -acid batteries collected for reuse/recycling
Total amount of used oil collected for reuse/recycling (in gallons)
Total number of used oil filters collected for reuse/recycling
Total amount of used antifreeze collected for reuse/recycling (in
gallons)
Total number of used tires collected for reuse/recycling
List each Household Hazardous Waste Management project:
Comments:
Attachment A
FY 2004/2005 REGIONAL SOLID WASTE GRANTS PROGRAM
Form G: Technical Studies
The following table should be a calculation of all grant funded FY 200412005 technical study
projects.
Reporting Parameter
Cumulative
FY 2004/2005
Results
Total number of projects funded
Total project funding
$
Total population affected or covered by studies
Total number of municipalities affected or covered by studies
Total number of counties affected or covered by studies
Total number of entities having implemented actions related to study
findings or recommendations
List each Technical Study project:
Name of Grantee Proiect Number Amount
Comments:
Attachment A
FY 2004/2005 REGIONAL SOLID WASTE GRANTS PROGRAM
Form H: Education and Training Projects*
* Use for stand-alone education and training projects, as well as projects in other grant
categories containing education and training components.
The following table should be a calculation of all grant funded FY 200412005 education/training
projects.
Reporting Parameter
Results
Total number of stand-alone education/training projects funded
Total funding for stand-alone education/training projects
Total number of projects in other grant categories including
education/training components
Total funding for education/training components in other grant
categories
Total number of COG coordination activities with education/training
components
Total funding for COG coordination activities with education/training
components
Combined total of all education/training events
Total number of persons involved in education/training events
Combined total of all items distributed related to education/training
events (e.g., brochures, fliers, manuals, freebies, etc.)
Total number of mass media activities (e.g., press releases, PSAs,
billboards or signs, etc.)
Estimated total number of people reached through mass media activities
List each Education/Training project:
Comments:
Attachment A