R-04-04-22-14D1 - 4/22/2004RESOLUTION NO. R -04-04-22-14D1
WHEREAS, Chapter 791 of the Texas Government Code, V.T.C.A.,
authorizes local governments and agencies of the state to enter into
agreements with one another to perform governmental functions and
services, and
WHEREAS, the City of Round Rock wishes to enter into an
Interlocal Contract for FY 2004 Solid Waste Equipment and Services with
the Capital Area Planning Council for regional solid waste grant funds,
Now Therefore
BE IT RESOLVED BY THE COUNCIL OF THE CITY OF ROUND ROCK, TEXAS,
That the Mayor is hereby authorized and directed to execute on
behalf of the City an Interlocal Contract for FY 2004 Solid Waste
Equipment and Services with the Capital Area Planning Council, a copy
of same being attached hereto as Exhibit "A" and incorporated herein
for all purposes.
The City Council hereby finds and declares that written notice of
the date, hour, place and subject of the meeting at which this
Resolution was adopted was posted and that such meeting was open to the
publicus required by law at all times during which this Resolution and
the subject matter hereof were discussed, considered and formally acted
upon, all as required by the Open Meetings Act, Chapter 551, Texas
Government Code, as amended.
RESOLVED this 22nd day of April, 2004.
no/eL--d)
Es' WELL, Mayor
City of Round Rock, Texas
CHRISTINE R. MARTINEZ, City Secre(ary
@PFDeskt p\::ODMA/WORLDOX/O:/WDOX/RESOLUTI/R40422D1.WPD/sc
CAPITAL AREA PLANNING COUNCIL
INTERLOCAL CONTRACT FOR
FY2004 SOLID WASTE EQUIPMENT AND SERVICES
The Capital Area Planning Council (hereafter, CAPCO) and the agreeing party (hereafter,
SUBCONTRACTOR) each certifies that it has authority to perform this Contract under Chapter
391 of the Local Government Code, and Chapter 361 of the Health and Safety Code.
This Solid Waste Interlocal Contract is entered into by and between the parties named
below. Neither the Texas Commission on Environmental Quality (TCEQ) nor the State of
Texas is a party to this agreement.
I. CONTRACTING PARTIES:
Contractor: Capital Area Planning Council
Sub Contractor: City of Round Rock
Contract #: 04 -12-G01
Amount Awarded: $26,288
II. SERVICES TO BE PERFORMED:
See Attachment B — "Work Program of SUBCONTRACTOR"
See Attachment C — "Schedule of Deliverables from SUBCONTRACTOR"
III. BUDGET AND PAYMENT PROCEDURES:
See Attachment D — "Budget and Authorizations"
IV. ADDITIONAL CONTRACT PROVISIONS:
See Attachment A — "Special Contract Provisions
See Attachment E — "General Contract Provisions"
CAPCO FY2004 Solid Waste Interlocal Contract 1
CONTRACTING PARTIES
CONTRACTOR: Capital Are Planning Council (CAPCO)
SIGNATURE:
NAME:
TITLE:
DATE:
Betty Voights
Executive Director
03/is/Qq
SUBCONTRACTOR: City of Round Rock
SIGNATURE:
NAME: Nvle Maxwell
TITLE: Mayor
DATE:
CAPCO FY2004 Solid Waste Interlocal Contract 2
TABLE OF CONTENTS
Attachment A: Special Contract Provisions 4
Article 1: Period of Performance 4
Article 2: Scope of Services 4
Article 3: CAPCO Obligations 4
Article 4: Reporting Requirements 7
Article 5: Monitoring Requirements 8
Article 6: Title To & Management of Real Property & Equipment 8
Article 7: Compliance with Applicable Laws 11
Article 8: Authorized Representatives 11
Attachment B: Work Program of SUBCONTRACTOR 13
Attachment C: Schedule of Deliverables from SUBCONTRACTOR 14
Attachment D: SUBCONTRACTOR Budget and Authorizations 15
Article 1: Expense Category Standards 15
Article 2: Supplemental Funding Standards 18
Article 3: SUBCONTRACTOR Authorized Budget 20
Attachment E: General Contract Provisions
Article 1: Legal Authority & Indemnification
Article 2: Scope of Services
Article 3: Purpose
Article 4: Eligible Entities
Article 5: Implementation Project Categories
Article 6: Liability Insurance
Article 7: Audit/Access to Records
Article 8: Independent Financial Audit
Article 9: Amendments to Contract
Article 10: Termination of Contract for Convenience
Article 11: Suspension or Termination of Contract for
Article 12: Termination for Breach of Contract
Article 13: Severability
Article 14: Data and Publicity
Article 15: Intellectual Property
Article 16: Energy Efficiency Standards
Article 17: Identification of Funding Sources
Article 18: Dispute Resolution
Article 19: Oral and Written Contracts
Article 20: Nondiscrimination and Equal Opportunity
Article 21: Utilization of Small, Minority, & Women's Business
Article 22: Force Majeure
Article 23: Conflict of Interest
Article 24: Miscellaneous
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Unavailability of Funds 29
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Enterprises 32
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CAPCO FY2004 Solid Waste Interlocal Contract 3
ATTACHMENT A
Special Contract Provisions
Article 1: Period of Performance
The period of performance of this Solid Waste Interlocal Contract (hereafter, the Contract)
begins on the date that it is executed on behalf of CAPCO and ends, unless sooner terminated
under Attachment E, on December 31, 2004. The SUBCONTRACTOR has from the time the
Contract is executed to the ending date shown above to complete the tasks as shown in
Attachment B of this Contract. The SUBCONTRACTOR may request in writing a time
extension, but CAPCO is not obligated to provide the time extension.
Article 2: Scope of Services
All parties agree that the City of Round Rock, in consideration of compensation hereinafter
described, shall provide as specifically described in the Special and General Provisions of this
Solid Waste Interlocal Contract, the services of: Household Hazardous Waste Management.
The SUBCONTRACTOR agrees to implement the Project according to the agreed upon budget
in an amount not to exceed $26,288 as detailed in Attachment D, Article 3 of this Contract.
Failure on the part of the SUBCONTRACTOR to comply with the conditions set forth in this
Contract shall be the basis for termination of the Contract and recovery of any unexpended or
inappropriately expended funds.
Article 3: CAPCO Obligations
(a). Consideration
In consideration of full and satisfactory performance hereunder, CAPCO will be liable to
SUBCONTRACTOR in an amount equal to the allowable costs defined in OMB Circular
No. A-87 and incurred by SUBCONTRACTOR in rendering such performance, subject to
the following limitations:
1. CAPCO is not liable for expenditures made in violation of the Authorized Budget and
funding guidelines in Attachment D, which outline the standards which shall apply to
the SUBCONTRACTOR'S use of funds provided under this Contract, including
prohibited activities and expense categories as defined by the TCEQ.
2. CAPCO is not liable for any costs incurred by SUBCONTRACTOR in the
performance of this Contract which have not been billed to CAPCO within thirty (30)
days following termination of this Contract.
3. CAPCO is not liable to SUBCONTRACTOR for costs incurred or performance
rendered by SUBCONTRACTOR for costs incurred by SUBCONTRACTOR before
commencement of this Contract or after termination of this Contract.
CAPCO FY2004 Solid Waste Interlocal Contract 4
4. Except as specifically authorized by CAPCO in writing, CAPCO is liable only for
expenditures made in compliance with the cost principles and administrative
requirements set forth in Federal OMB Circular No. A-87. CAPCO is not liable for
expenditures made in violation of Attachment D, Article 2 of this Contract.
(b). Additional Documentation and Financial Monitoring Program
1. Financial Monitoring Program. The SUBCONTRACTOR will adhere to the
following financial monitoring requirements in order to receive reimbursement for
authorized expenditures and to ensure that the expenditures incurred were
reasonable and necessary to the project.
i) Payments to the SUBCONTRACTOR will be made only on a reimbursement
basis. To receive reimbursement the SUBCONTRACTOR must submit the
following:
a) Form PT -F1
b) Form PT -F2
c) Supplemental Forms F2-1 through F2-4 (if appropriate)
d) Copies of checks
e) Copies of Invoices
f) List of bid responses for purchases over $5,000 up to $15,000
g) Copy of RFP and list of RFP responses (if applicable)
ii) If the SUBCONTRACTOR does not have a Purchasing Policy that complies with
state law, the SUBCONTRACTOR must adhere to the general provisions of
CAPCO's Purchasing Policy, which are outlined below:
a) Purchases over $10,000 must be approved by the organization's governing
body (i.e. school board, city council, and commissioner's court)
b) Purchases above $25,000 require formal competitive sealed bids
c) Purchases between $5,000 and $25,000 require informal bids (at least three
written quotes) and must be approved by the governing body
d) Purchases between $2,500 and $4,999 require informal bids (at least three
written quotes)
e) Purchases between $300 and $2,499 require at least three verbal quotes
f) Purchase less than $300 do not require quotes
g) Split purchases to avoid bidding requirements will not be allowed
h) Cumulative purchases of like items through the fiscal year could be
considered circumvention of the policy if it was reasonable to anticipate the
purchases in advance
Note: The use of State Contract items can eliminate the need for many of the
bidding requirements. However, purchases over $10,000 still require
approval of the organization's governing body.
iii) The SUBCONTRACTOR is allowed to account for expenses incurred and
request reimbursement of outlays under either a cash or an accrual basis, as
defined and authorized under the UGMS. To be eligible for reimbursement under
this Contract, a cost must have been incurred and either paid by the
CAPCO FY2004 Solid Waste Interlocal Contract 5
SUBCONTRACTOR prior to claiming reimbursement from CAPCO or incurred by
the last day of the time period indicated on a request for reimbursement form and
liquidated no later than thirty (30) days after the end of that time period.
iv) CAPCO will review all materials provided by the SUBCONTRACTOR with a
request for reimbursement (Forms PT -F1 and PT -F2), and will not make a
reimbursement payment unless all required items listed under Article 3 (b)1(i) of
this Attachment have been provided and are deemed to be accurate.
v) CAPCO shall reimburse or otherwise make payment to the SUBCONTRACTOR
only for expenses incurred during the term of the Contract between CAPCO and
the SUBCONTRACTOR, the term of which may not be outside of the term of this
Contract.
vi) CAPCO will not reimburse or otherwise make payment to the
SUBCONTRACTOR for an expenditure that is not authorized under this
Contract. If it is determined by either CAPCO or the TCEQ that an expenditure
that was reimbursed is not an authorized expense, CAPCO shall request return
and reimbursement of those funds from the SUBCONTRACTOR or, where
appropriate, the application of those funds to other authorized expenses, and
shall not provide additional reimbursements to the SUBCONTRACTOR until the
funds are returned or are applied to other authorized expenses.
2. Documentation required. In general, expenditure documentation to be maintained
by the SUBCONTRACTOR should be whatever is necessary to show that the work
was indeed performed and that the expense was, in fact, incurred. In addition, the
documentation should also support the fact that the expenditure was reasonable and
necessary to this Contract. Documents that should be maintained, as appropriate for
the expense, include but are not limited to the following:
i) Salary/Wages — Time sheets that have been signed and approved.
ii) 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.
iii) Equipment — Purchase orders, invoices, and canceled checks.
iv) Supplies — Purchase orders (if issued), invoices, and canceled checks.
v) Contractual — All of the above plus documentation that the costs were
reasonable and necessary. The same standards should be applicable to
subcontractors.
3. Additional Documentation. If requested by CAPCO, the SUBCONTRACTOR
agrees to provide to CAPCO the additional expense records and documentation
materials, as listed in Section (b) 2 of this Article and appropriate for the expense, for
the time period requested by CAPCO, except that the SUBCONTRACTOR will not
be asked to submit records that have already been provided to CAPCO with a
Financial Status Report. CAPCO will provide reasonable time for the
CAPCO FY2004 Solid Waste Interlocal Contract 6
SUBCONTRACTOR to comply with a request for additional records. If CAPCO
requests to review additional records to be provided by the SUBCONTRACTOR
under CAPCO's financial monitoring program, CAPCO will review those records and
provide the SUBCONTRACTOR a written summary of the findings of that review.
CAPCO will also allow the SUBCONTRACTOR reasonable time to respond to any
findings of noncompliance or other problems identified by the records review.
(c). SUBCONTRACTOR Close Out Report
No later than thirty (30) days following the termination of this Contract,
SUBCONTRACTOR must submit to CAPCO a final "Financial Status Report," which
indicates that the report is the "Final Report." If all expenditures have been completed
before the end of the Contract, SUBCONTRACTOR shall submit the final "Financial
Status Report" with the final "Request for Reimbursement:'
(d). Independent Contractor
SUBCONTRACTOR is not an employee or agent of CAPCO, but provides goods and
performs services under this Contract solely as an independent contractor.
Article 4: Reporting Requirements
(a). The SUBCONTRACTOR shall prepare and submit to CAPCO progress reports as
designated in Attachment C of this Contract. These reports concern the performance
under this Contract documenting program accomplishments and units of work performed
under Attachment B of this Contract. These progress reports, to be submitted by the
SUBCONTRACTOR, shall include:
1. Form PT -S1 which documents the progress and completion of tasks
2. Form PT -R1, the Waste Diversion Tracking Form
3. Forms R1 A, R1 B, R11) or R1 E (as applicable to the project or as requested by
CAPCO)
Payments (reimbursements) required under this Contract will be withheld by CAPCO
until such time as any past due progress reports are received.
(b). The SUBCONTRACTOR progress reports required under Subsection A of Article 4
contain descriptions of activities and costs for CAPCO to ensure that the provisions of
this Contract are being complied with. In particular, any legal research and related legal
activities shall be clearly detailed in the quarterly progress reports in order to assure
CAPCO that the activities are not prohibited under Attachment D Article 2 of this
Contract (relating to Supplemental Funding Standards). The SUBCONTRACTOR shall
comply with any reasonable request by CAPCO for additional information on activities
conducted in order for CAPCO to adequately monitor the SUBCONTRACTOR's
progress in completing the requirements of and adhering to the provisions of this
Contract.
(c). The SUBCONTRACTOR will certify in writing to CAPCO through a final progress report,
the satisfactory completion of all activities and deliverables required under this Contract.
The final progress report shall consist of the forms described in Section A of this Article
4.
CAPCO FY2004 Solid Waste Interlocal Contract 7
(d). The SUBCONTRACTOR shall maintain the forms listed in Part A of this Section so that
a follow-up results report can be prepared. The SUBCONTRACTOR shall provide
CAPCO with a follow-up results report in FY 2005 so that CAPCO can report to the
TCEQ the results of the projects funded under this Contract.
(e). The SUBCONTRACTOR'S failure to comply with the requirements of this Article shall
constitute a breach of this Contract.
(f).
(g).
The SUBCONTRACTOR shall maintain documentation on the results of the project
activities for the life of the program or activity.
The reporting requirements of this Article 4 survive the ending or early termination of this
Contract.
Article 5: Monitoring Requirements
(a). CAPCO may periodically monitor SUBCONTRACTOR for:
1. The degree of compliance with the terms of this Contract, including compliance with
applicable rules, regulations, and promulgations referenced herein; and
2. The administrative and operational effectiveness of the project.
(b). CAPCO shall conduct periodic analysis of SUBCONTRACTOR'S performance under
this Contract for the purpose of assessing the degree to which contractual objectives
and performance standards, as identified in this Contract or as subsequently amended,
are achieved by SUBCONTRACTOR.
Article 6: Title To and Management of Real Property and Equipment
(a). 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 SUBCONTRACTOR will vest upon acquisition or construction in
CAPCO or the SUBCONTRACTOR respectively.
(b). Subject to the provisions of this Agreement, and as otherwise provided by state statutes,
property acquired or replaced under this Agreement shall be used for the duration of its
normally expected useful life to support the purposes of this Agreement whether or not
the original projects or programs continue to be supported by state funds.
(c). The SUBCONTRACTOR shall not grant or allow to a third party a security interest in any
original or replacement property purchased or constructed with funds made available to
the SUBCONTRACTOR under this Agreement.
(d). 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 the
FUNDING AGENCY 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
CAPCO FY2004 Solid Waste Interlocal Contract A
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.
(e). The SUBCONTRACTOR 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
SUBCONTRACTOR 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
SUBCONTRACTOR must meet the requirements set forth in this Section.
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 cost of the property, the location, use and condition of the
property, and any ultimate disposition data including the date of disposal and sale
price of the property.
(fl.
(g).
2. A physical inventory of all equipment acquired or replaced under this Agreement
shall be conducted no Tess frequently than once every two years and the results of
such inventories reconciled with the appropriate property records. Property control
procedures utilized by the SUBCONTRACTOR shall include adequate safeguards to
prevent Toss, damage, or theft of the acquired property. Any loss, damage, or theft
shall be investigated. The SUBCONTRACTOR shall develop and carry out a
program of property maintenance as necessary to keep both originally acquired and
any replaced property in good condition, and to utilize proper sales procedures to
ensure the highest possible return, in the event such property is sold.
3. Certain types of equipment are classified as "controlled assets" and are subject to
annual revision. In accordance with the UGMS, the SUBCONTRACTOR 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
SUBCONTRACTOR's inventory system irrespective of cost, and the following
equipment with costs between $500 and $1,000 shall be maintained on the inventory
system: (1) stereo systems, (2) still and video cameras, (3) facsimile machines, (4)
VCRs and VCR/TV combinations and (5) cellular and portable telephones.
The SUBCONTRACTOR 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.
The SUBCONTRACTOR 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,
CAPCO has the right to require disposition of the property by the SUBCONTRACTOR in
accordance with the provisions of this Article.
CAPCO FY2004 Solid Waste Interlocal Contract 9
(h). When, during the useful life of property acquired with grant funds under this Agreement
by the SUBCONTRACTOR 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,
SUBCONTRACTOR agrees to request disposition instructions from the CAPCO or, if
CAPCO is no longer administering a Regional Solid Waste Grants Program, the TCEQ.
CAPCO shall, in turn, request authorization from the TCEQ to provide disposition
instructions to the SUBCONTRACTOR. 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
SUBCONTRACTOR fails to take appropriate disposition actions, CAPCO may direct
SUBCONTRACTOR to take excess and disposition actions. The disposition instructions
may provide for one of the alternatives as set forth in this Section.
1. Retain title, sell, or otherwise disposed of with no obligation to compensate CAPCO.
2. Retain title after compensating CAPCO. If CAPCO is compensated by the
SUBCONTRACTOR for property acquired using funds provided under this
Agreement, CAPCO will in turn compensate the TCEQ or, upon authorization by the
TCEQ, use those funds for other projects or activities that support this or similar
future programs conducted by the TCEQ. 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.
3. Sell the property and compensate CAPCO. If CAPCO is compensated the
SUBCONTRACTOR for property acquired using funds provided under this
Agreement, CAPCO will in turn compensate the TCEQ or, upon authorization by the
TCEQ, use those funds for other projects or activities that support the goals of this or
similar future programs conducted by the TCEQ. The amount due will be calculated
by applying CAPCO's percentage of participation in the cost of the original purchase
to the proceeds of the sale after deduction of any actual and reasonable selling and
fixing -up expenses. If the grant is still active, the net proceeds from sale may be
offset against the original cost of the property. When SUBCONTRACTOR is directed
to sell property, sales procedures shall be followed that provide for competition to the
extent practicable and result in the highest possible return.
4. Transfer title to CAPCO or to a third -party designated/approved by the TCEQ. If the
SUBCONTRACTOR participated financially in the original purchase of the property,
the SUBCONTRACTOR 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.
i) Items of property with a current per-unit fair market value of Tess than $1,000
may be retained, sold or otherwise disposed of by the SUBCONTRACTOR with
no further obligation to CAPCO. Methods used to determine per-unit fair market
value must be documented, kept on file and made available to CAPCO and the
TCEQ upon request.
CAPCO FY2004 Solid Waste Interlocal Contract 10
Article 7: Compliance with Applicable Laws
The SUBCONTRACTOR shall give all notices and comply with all laws, ordinances, rules,
regulations and order of any public authority bearing on the performance of this Contract
including, but not limited to, the laws referred to in this Contract. If the SUBCONTRACTOR or
CAPCO observes that this Contract is at variance, the observing party shall promptly notify the
other party in writing, and any necessary changes shall be addressed by appropriate Contract
modification. On request, the SUBCONTRACTOR shall furnish CAPCO modification. The main
governing standards include, but may not be limited to the following:
(a). Section 361.014, TEX. HEALTH & SAFETY CODE ANN;
(b). Section 330.569 of the TCEQ Municipal Solid Waste Regulations (30 TAC Chapter 330);
and
(c). The Uniform Grant and Contract Management Act, Chapter 783 of the TEX. GOV'T
CODE ANN, and the Uniform Contract Management Standards, 1 Texas Administrative
Code Section 5.141 et. seq. (UGMS).
Article 8: Authorized Representatives
(a). CAPCO hereby designates the person named in Exhibit A-1, Project Representative, to
this Attachment A, as the individual authorized to give direction to the
SUBCONTRACTOR for the purposes of this Contract. CAPCO Project Representative
shall not be deemed to have authority to bind CAPCO in Contract unless the Executive
Director of CAPCO has delegated such authority in writing.
(b). Immediately upon execution of this Contract, the SUBCONTRACTOR shall identify, as
its Project Representative, the person authorized to receive direction from CAPCO, to
manage the work being performed, and to act on behalf on the SUBCONTRACTOR as
Project Representative The SUBCONTRACTOR's Project Representative shall be
deemed to have authority to bind the subcontractor in Contract unless the
SUBCONTRACTOR, in writing, specifically limits or denies such authority to the
SUBCONTRACTOR's Project Representative with respect to the administration of the
Contract.
(c). Either party may change its Project Representative. In addition, the Project
Representative of either party may further delegate his or her authority as necessary,
including any delegation of authority to a new Project Representative. The party making
the change in Project Representative shall provide written notice of the change to the
other party.
(d). The SUBCONTRACTOR shall ensure that its Project Representative, or his or her
delegate, is available at all times for consultation with CAPCO. If the project
representative will be absent during the term of this Contract, the SUBCONTRACTOR
shall designate an alternate that will be available to consult with CAPCO.
CAPCO FY2004 Solid Waste Interlocal Contract 11
Exhibit A-1
The Capital Area Planning Council hereby designates the individual below as the person
to give direction to the SUBCONTRACTOR as Project Representative of CAPCO:
Name: Heather Parscal
Title: Solid Waste Program Coordinator
Address: 2512 IH 35 South, Suite 200
Austin, TX 78704
Phone: (512) 916-6170
Fax: (512) 916-6001
E-mail: hparscal(a�capco.state.tx.us
The SUBCONTRACTOR hereby designates the individual named below as the person
authorized to receive direction from CAPCO, to manage the work being performed, and
to act on behalf of the SUBCONTRACTOR as a Project Representative:
(Please complete all of the following information)
Name: Tracy Herring
Title: Environmental Services Supervisor
Address: 2008 Enterprise Drive
Round Rock, TX 78664
Phone: (512) 218-5559
Fax: (512) 341-3316
E-mail: tracyh(a�round-rock.tx.us
The SUBCONTRACTOR designates the following location for record access and review
pursuant to Attachment A & Attachment E of this Contract or any other applicable
provision:
CAPCO FY2004 Solid Waste Interlocal Contract
12
ATTACHMENT B
Work Program of SUBCONTRACTOR
Task 1: Obtain pricing on equipment and request permission to purchase by CAPCO
Completed By: April 2004
Task 2: Purchase oil units and place into operation
Completed By: May 2004
Task 3: Submit 90 -day notification to TCEQ regarding permanent HHW facility
Completed By: May 2004
Task 4: Submit 45 -day Operational Plan to TCEQ
Completed By: June 2004
Task 5: Purchase hazardous waste storage building and place into operation
Completed By: July 2004
Task 6: Document hazardous waste amounts for oil and materials collected for storage unit
Completed By: ongoing through entire contract period
Task 7: Prepare quarterly reports for CAPCO
Completed By: April 30, 2004; July 31, 2004; October 31, 2004; and January 15, 2005
CAPCO FY2004 Solid Waste Interlocal Contract 13
ATTACHMENT C
Schedule of Deliverables from SUBCONTRACTOR
REQUIRED REPORTS*
Report
Reporting Period
Due Date
Progress Report #1
Progress Report #2
Progress Report #3
Final Report #4
Follow Up Results Report
Execution of Contract — April 15, 2004
April 16 — July 15, 2004
July 16 — October 15, 2004
October 16 — December 31, 2004
April 30, 2004
July 31, 2004
October 31, 2004
January 15, 2005
TBD — FY 2005
NOTE: For the purposes of preparing quarterly reports, it is suggested that the
SUBCONTRACTOR maintain the Waste Diversion Tracking Form on a monthly basis.
Please see Attachment A Article 4 for forms that are due at the above due dates. The
reporting forms will be sent to the SUBCONTRACTOR after this Contract becomes effective.
CAPCO FY2004 Solid Waste Interlocal Contract 14
ATTACHMENT D
SUBCONTRACTOR Budget and Authorizations
Article 1: Expense Category Standards
In addition to the other standards and requirements of this Agreement, the definitions and
requirements set forth in Sections (a) — (h) of this Article shall apply to the
SUBCONTRACTOR's use of funds provided under this Agreement and assignment of expenses
to the expense categories of the budget set forth in Attachment D Article 3 of this Agreement.
(a). Personnel. In accordance with §391.0117 of the Local Government Code, as amended
by the 76th Legislature, the SUBCONTRACTOR shall utilize the Salary Administration
Provisions and Schedules, and Position Classification Schedules applicable to state
agencies for all salaries of employees of the SUBCONTRACTOR funded under this
Agreement.
1. The SUBCONTRACTOR's employee positions covered in this Agreement are set
forth in Detailed Budget Sheet 2 of the grant application. Any change in employee
position constitutes a minor amendment pursuant to Article 9 of the General
Provisions (Attachment E) of this Agreement.
(b). Travel. The SUBCONTRACTOR shall comply with state travel regulations as required
by §391.0115 of the Local Government Code, for all of the SUBCONTRACTOR's travel
expenses to be reimbursed with funds provided under this Agreement as set forth in this
Section.
1. The SUBCONTRACTOR shall obtain prior written authorization from CAPCO for
reimbursement under this Agreement of any travel outside of the State of Texas.
2. Except as provided for under Subsection 1 of this Section, the SUBCONTRACTOR
shall obtain prior written authorization from CAPCO for reimbursement from the
travel expense category of the budget set forth in Attachment D Article 3, of any
travel expenses for persons not employed by the SUBCONTRACOTR, and for travel
by any employee not included in Detailed Budget Sheet 2 of the grant application.
(c). Supplies. Expenses included under the Supplies expense category of the budget set
forth in Attachment D Article 3, shall be for non -construction related costs for goods and
materials having a unit acquisition cost (including freight) of Tess than $1,000. Such
expenditures shall generally relate to the routine purchase of office supplies (paper,
pencils, and staplers) or other goods which are consumed by the SUBCONTRACTOR in
a relatively short period of time, in the regular performance of the general activities
funded under this Agreement.
1. Non -routine expenditures of goods and materials, not falling under the definition of
Equipment under Section (d). of these Program Conditions, shall be charged to the
Other expense category.
CAPCO FY2004 Solid Waste Interlocal Contract 15
(d). Equipment. Expenses included under the Equipment expense category of the budget
set forth in Attachment D Article 3, shall be for non -construction related, tangible,
personal property having a unit acquisition cost of $1,000 or more (including freight and
set up costs) with an estimated useful life of over one year.
1. No purchases of equipment to be charged to the equipment expense category of the
budget set forth in Attachment D Article 3, shall be allowed under this Agreement
unless approved ahead of time, in writing, by CAPCO. Approvals for equipment
purchases in conjunction with COG -managed projects shall be included with the
overall approvals for those projects.
2. Any equipment that will be used for other projects or activities, in addition to the
funded project, may only be funded at an amount reflecting the appropriate
percentage of time that the equipment will be directly used for the funded project.
The special conditions and requirements set forth in the grant agreement (relating to
Title to and Management of Equipment and Constructed Facilities), also apply to
equipment purchased with pass-through grant funding.
(e). Construction. Expenses included under the Construction expense category of the
budget set forth in Attachment D Article 3, shall be for costs related to projects,
administered by the SUBCONTRACTOR, concerned with the enhancement or building
of permanent facilities.
(f).
1. Expenses budgeted under the construction expense category of the budget set forth
in Attachment D Article 3, should be for costs related to the enhancement or building
of permanent facilities. Appropriate costs to include under the Construction expense
category are set forth in this Section.
i) The cost of planning the project.
ii) The cost of materials and labor connected to the construction project.
iii) The cost of equipment attached to the permanent structure.
iv) Any subcontracts, including contracts for services, which are performed as a
portion of the project administered by the SUBCONTRACTOR.
2. No expenditures under the Construction expense categories of the budget set forth
in Attachment D Article 3, shall be allowed under this Agreement unless approved
ahead of time, in writing, by CAPCO.
Contractual Expenses. Expenses included under the Contractual expense category of
the budget set forth in Attachment D Article 3, shall be for costs for professional services
or tasks provided by a firm or individual who is not employed by the SUBCONTRACTOR
as set forth in the Section.
1. No contractual expenses included under the contractual expenses category of the
budget set forth in Attachment D Article 3, shall be allowed under this Agreement
unless such contracts' scope of work has been approved ahead of time, in writing, by
CAPCO.
2. Any amendment to the SUBCONTRACTOR's subcontract authorized for
reimbursement under this Agreement, whether or not such subcontract required
CAPCO pre -approval, which will result in or require substantive changes to any of
CAPCO FY2004 Solid Waste Interlocal Contract 16
(9).
the tasks required to be performed under this Agreement, as set forth in these
Program Conditions, must be approved in writing by the CAPCO.
3. All applicable laws and regulations concerning bidding and contracting for services
shall be followed.
Other Expenses. All expenses under the Other expense categories of the budget set
forth in Attachment D Article 3, shall be in connection with the tasks and activities to be
performed under this Agreement. Expenses not falling under the main expense
categories may be included under the Other expense category if appropriate for the
proposed project as set forth in this Section.
1. No expenses under the Other expense category including computer hardware or
software purchases not included under the Equipment expense category, shall be
eligible for reimbursement under this Agreement unless approved ahead of time, in
writing, by CAPCO.
2. Subcategories of Other expenses for which prior authorization, as described in
Subsection 1. of this Section, is not required are set forth in this Section.
i) Books and reference materials.
ii) Dues and membership fees for the SUBCONTRACTOR's affiliation with
organizations and associations which directly relate to the performance of
activities under this Agreement (dues for individual employee affiliation to
particular organizations or professional associations, unless listed in Detailed
Budget Sheet 8 of the grant application, must be approved individually, in
writing, by CAPCO).
iii) Subscriptions, only insomuch as they relate directly to the performance of
activities under this Agreement.
iv) Postage, telephone, FAX, and utilities expenses.
v) Printing and reproduction expenses.
vi) Advertising and public notices.
vii) Registration fees and other staff training costs (fees and training costs for
persons not employed by the SUBCONTRACTOR, unless listed in Detailed
Budget Sheet 8 of the grant application, must be approved individually by
CAPCO).
viii) Repair and maintenance costs.
ix) Office furniture, not falling under the definition of equipment under
Attachment D Article 1 of the Agreement.
x) Space and equipment rentals.
xi) Signs.
xii) Additional Other expenses listed in Detailed Budget Sheet 8 of the grant
application.
3. The SUBCONTRACTOR shall ensure that expenditures charged under the Other
expense category are not also included within the expenses reimbursed through the
Indirect Costs category.
(h). Indirect Cost Rates. Not withstanding this section or any other part of this Agreement,
the SUBCONTRACTOR shall comply with all provisions of §391.0115 of the Texas Local
Government Code relating to the restrictions on commission costs, and shall advise
CAPCO FY2004 Solid Waste Interlocal Contract 17
CAPCO in writing in the event such compliance will necessitate a reduction or other
change to the indirect cost rate(s) set forth in the budget portion of this Agreement. The
SUBCONTRACTOR shall comply with all requirements and rules to be adopted by the
Office of the Governor pursuant to §391.009 of the Texas Local Government Code
relating to the operations and oversight of Regional Planning Commissions.
Article 2: 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.
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.
2. Land Acquisition Costs.Funds provided under this Agreement may not be used to
acquire land or an interest in land.
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.
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. 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 citizens' collection stations, and small registered transfer stations.
6. Projects Requiring a TCEQ Permit. Funds may not be used for expenses related to
projects or facilities that require a permit from the 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 TCEQ, at its
CAPCO FY2004 Solid Waste Interlocal Contract 18
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 biosolids for beneficial use. The applicant should
request a preliminary determination from the TCEQ as to the eligibility of the project prior
to consideration for funding.
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.
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.
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. This provision does not apply to the salaries for staff of the
SUBCONTRACTOR in its conduct of activities under this Agreement.
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.
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.
12. Funds to Law Enforcement Agencies. Funds provided under this Agreement may not
be provided to any law enforcement agency 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.
CAPCO FY2004 Solid Waste Interlocal Contract 19
Article 3: SUBCONTRACTOR'S AUTHORIZED BUDGET
City of Round Rock - HHW Management
GRANT BUDGET SUMMARY
1. Personnel (Salary)
2. Fringe Benefits
3. Travel
4. Supplies (unit cost of less than $1,000)
5. Equipment (unit cost of $1000 or more)
6. Construction
7. Contractual (other than for construction)
8. Other
$0.00
$0.00
$0.00
$0.00
$26,288.00
9. Indirect charges
TOTAL
10. Fringe Benefit Rate:
0%
11. Indirect Cost Rate:
0%
$0.00
$0.00
$0.00
$0.00
$26,288.00
Used oil tanks
Hoz waste storage building
TBD
TBD
$2,096.00
$20,000.00
$0.00
3
1
0
$6,288.00
$20,000.00
$0.00
ATTACHMENT E
General Provisions
Article 1: Legal Authority and Indemnification
The SUBCONTRACTOR warrants and assures CAPCO that it possesses adequate legal
authority to enter into this Contract. The SUBCONTRACTOR'S governing body where
applicable has authorized the signatory official(s) to enter into this Contract and bind the
SUBCONTRACTOR to the terms of this Contract and any subsequent amendments hereto. The
SUBCONTRACTOR agrees to adhere to the provisions of Section 361.014 of the Texas Health
and Safety Code, Title 30 Texas Administrative Code section 330.569, to the provisions of section
330.59 of the TNRCC Municipal Solid Waste Regulations, this agreement and the Uniform Grant
Management Standards ("UGMS").
Indemnification
(a) To the extent allowed by Texas law, SUBCONTRACTOR agrees at its own expense
to defend CAPCO and TCEQ, their governing body members, officers, employees, and
agents, against any claim, suit, or administrative proceeding, and to indemnify them
against any liability (including all expenses and reasonable counsel fees incurred),
arising out of any act or omission of SUBCONTRACTOR's governing body member,
officer, employee, or agent under this Contract.
(b) If SUBCONTRACTOR is served with process in a suit or proceeding described in
Subsection (a), SUBCONTRACTOR agrees to furnish CAPCO promptly with a copy of
the process.
(c) SUBCONTRACTOR agrees that its indemnification obligations under Subsection (a)
apply to causes of action accruing during the term of this Contract, and that for this
purpose the obligations will survive the ending or early termination of this Contract.
Article 2: Scope of Services
The services to be performed by the SUBCONTRACTOR are herewith outlined in the General
Contract (Attachment E) and the Special Contract Provisions (Attachment A), which are hereby
incorporated into and made a part of this Contract as if set out word-for-word herein.
Article 3: Purpose
(a). The purpose of this Contract is to accomplish the goals of the Solid Waste Disposal Act
of 1989, as amended, as they relate to distributing solid waste fee revenue funds to
support local and regional solid waste projects consistent with the regional solid waste
management plans approved by the TCEQ and to update and maintain those plans.
CAPCO FY2004 Solid Waste Interlocal Contract 21
(b). Under the overall goals of the funding program the purposes of this Contract are:
1. To enable CAPCO to carry out or conduct various municipal solid waste
management -related services and support activities within CAPCO 's regional
jurisdiction; and
2. To enable CAPCO to report to the Legislature and promote the continuation of pass-
through grant funding; and
3. To administer an efficient and effective, region -wide, pass-through (subgrantee)
assistance grants program and/or, where authorized by CAPCO in accordance with
Article 5 of this Attachment, to conduct various CAPCO - managed projects.
(c). The specific purposes of this grant Contract, to implement paragraph (b) above are:
To provide equipment to the citizens of Round Rock to promote household
hazardous waste management. Both the storage facility and used oil
collection tanks will help implement CAPCO's Goal #1: Develop and manage
a HHW collection and diversion program.
Article 4: Eligible Entities
(a). Only those local and regional political subdivisions located within the State of Texas as
listed below are eligible to receive funding from CAPCO as a pass-through grant:
1. Cities;
2. Counties;
3. Public schools and school districts (does not include Universities or post secondary
educational institutions); and
4. Other general and special law districts created in accordance with state law, and with
the authority and responsibility for water quality protection or municipal solid waste
management, to include river authorities.
(b). Local and regional political subdivisions that are subject to the payment of state solid
waste disposal fees and whose fee payments are in arrears, as determined by CAPCO,
are not eligible to receive pass-through grant funding from CAPCO. CAPCO shall allow
a potential pass-through grant applicant that is listed as being in arrears in its fee
payments the opportunity to provide documentation of payment of the fees owed the
state. If the potential applicant provides CAPCO with documentation of payment of the
fees, such as a canceled check or receipt from the state, CAPCO may consider that
applicant to be eligible to receive pass-through grant funding under this Contract.
CAPCO FY2004 Solid Waste Interlocal Contract 99
Article 5: Implementation Project Categories
The standards and requirements set forth in this Article shall apply to all implementation projects
funded under this Agreement. CAPCO shall be responsible for ensuring that the
implementation projects funded under this Agreement comply with the standards set forth in this
Article.
(a). Eligible Implementation Funding Recipients. Only those local and regional political
subdivisions located within the State of Texas as set forth in this Section are eligible to
receive funding from CAPCO as a pass-through grant.
1. Cities.
2. Counties.
3. Public schools and school districts (does not include Universities or post secondary
educational institutions).
4. Other general and special law districts created in accordance with state law, and with
the authority and responsibility for water quality protection or municipal solid waste
management, to include river authorities.
5. Councils of Governments.
(b). Implementation Project Categories. CAPCO 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.
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.
i) 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.
ii) 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 illegal dumping, general community cleanup events that
may include the cleanup and transportation of general litter and materials may be
authorized under a separate category.
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
CAPCO FY2004 Solid Waste Interlocal Contract 23
under this category may include: diversion from the waste stream and/or collection,
processing for transport, and transportation of materials for reuse 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.
i) 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.
ii) 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.
iii) 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 the TCEQ. Any program to develop a full -cost accounting
system shall utilize the full -cost accounting guidance prepared by the TCEQ.
iv) 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.
3. Citizens' Collection Stations, Community Collection Events, 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 the TCEQ's Municipal Solid Waste regulations (30 TAC Chapter
330, §330.2). Municipal Solid Waste Transfer Stations that qualify for registration
under §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.
i) Transfer stations that require a permit from the TCEQ may not be funded.
ii) Municipal solid waste transfer stations that qualify for registration under
§330.4(d)(1)- (3) of the Municipal Solid Waste regulations may be funded.
iii) Transfer stations that qualify for a registration solely due to their location within a
permitted municipal solid waste facility, under §330.4(d)(4), may not be funded.
CAPCO FY2004 Solid Waste Interlocal Contract 24
iv) 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
Waste 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.
v) 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 Tess.
vi) 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.
vii) Transfer stations that require a registration must have already received that
registration from the TCEQ before a grant may be awarded.
4. 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 chemicals 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.
i) Projects under this category must be coordinated with the TCEQ to ensure that
all applicable regulations and guidelines are followed.
ii) Funds provided under this Agreement may not be used for programs and
activities related to the collection and management of commercial or industrial
hazardous wastes.
iii) 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.
5. 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
CAPCO FY2004 Solid Waste interlocal Contract 25
limitations on travel expenses. Funding limitations specific to this category are set
forth in this Section.
i) Programs and projects funded under this category shall be primarily related to
issues involved in the management of 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.
Article 6: Liability Insurance
(a). Contractor agrees to maintain its own commercial general liability insurance, or the
equivalent in amount and coverage of self-insurance, during the term of this Contract
and to name CAPCO an additional insured on the policy Contractor agrees to provide
the minimum primary insurance coverage of $500,000 general aggregate and $250,000
each occurrence plus $500,000 excess coverage.
(b). Contractor's liability insurance must contain provisions, to the extent legally permitted,
that the insurer will notify CAPCO in writing at least 10 calendar days in advance of (1)
cancellation of non -renewal of the policy; (2) any reduction in the policy amounts; and (3)
deletion of CAPCO as an additional insured.
(c). SUBCONTRACTOR agrees to furnish CAPCO with a certificate of the Contractor's
commercial liability insurance or copy of its policy, or to certify in writing that it has in
force the equivalent amount and coverage of self-insurance, within 30 calendar days
after the date this Contract is signed on behalf of CAPCO.
(d). SUBCONTRACTOR shall maintain and supervise all safety precautions and programs in
connection with its performance of the work program.
Article 7: Audit/Access to Records
(a). The SUBCONTRACTOR 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 Contract, including negotiated changes or
amendments thereto, in accordance with accepted professional practice, appropriate
accounting procedures and practices at the SUBCONTRACTOR'S Texas office. The
SUBCONTRACTOR shall also maintain and make available at its Texas Office the
financial information and data used by the SUBCONTRACTOR 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 Contract or any negotiated sub -
agreement or change order and a copy of the cost summary submitted to CAPCO.
CAPCO, TCEQ, Texas State Auditor's Office or any of CAPCO'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, SUBCONTRACTOR'S books, records, and other
CAPCO FY2004 Solid Waste Interlocal Contract 26
pertinent documents may, upon prior conference with the SUBCONTRACTOR, be
copied by CAPCO or any of its duly authorized representatives. All such information
shall be handled by the parties in accordance with good business ethics. The
SUBCONTRACTOR shall provide proper facilities within the State of Texas for such
access and inspection.
(b). 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.
(c). The SUBCONTRACTOR agrees to the disclosure of all information and reports resulting
from access to records pursuant to Section (a) above to CAPCO. Where the audit
concerns the SUBCONTRACTOR, the auditing agency will afford the
SUBCONTRACTOR an opportunity for an audit exit conference and an opportunity to
comment on the pertinent portions of the draft audit report.
(d). Records under Sections (a) above shall be maintained and made available during the
entire period of performance of this Contract and until three (3) years from date of final
CAPCO 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 has been taken shall be maintained and made available until
completion of such action and resolution of all issues which arise from it, or until the end
of the regular three-year period, whichever is later.
(e). Access to records is not limited to the required retention periods. The authorized
representatives designated in Section (a) of this Article shall have access to records at
any reasonable time for as long as the records are maintained.
(f).
(g).
This audit/access to records Article applies to financial records pertaining to all
subagreements and all subagreement change orders and amendments. In addition, this
right of access applies to all records pertaining to all subagreements, subagreement
change orders and subagreement amendments: to the extent the records reasonably
pertain to subagreement performance; if there is any indication that fraud, gross abuse
or corrupt practices may be involved; or if the subagreement is terminated for default or
for convenience.
CAPCO reserves the right to require the reimbursement of any over -payments
determined as a result of any audit or inspection of records kept by the
SUBCONTRACTOR on work performed under this Contract.
(h). The SUBCONTRACTOR agrees to include Sections (a) through (g) of this Article in all
subagreements and all change orders directly related to project performance.
Article 8: Independent Financial Audit
The SUBCONTRACTOR shall adhere to the Single Audit requirements of the UGMS. The
SUBCONTRACTOR shall deliver to CAPCO any applicable audit report within thirty (30) days of
completion of the audit report. The SUBCONTRACTOR is responsible for including the Single
Audit requirements in all subagreements and shall be responsible for insuring adherence to
those requirements by all subgrantees and subcontractors.
CAPCO FY2004 Solid Waste Interlocal Contract 27
CAPCO reserves the right to conduct or cause to be conducted an independent audit of all
funds received under this Contract which may be performed by the local government audit staff,
a certified public accountant firm, or other auditors as designated by CAPCO, at CAPCO's
expense. Such audit will be conducted in accordance with applicable professional standards
and practices. SUBCONTRACTOR understands and agrees that the SUBCONTRACTOR shall
be liable to CAPCO for any costs disallowed as a result of audit.
Article 9: Amendments to Contract
Any alterations, additions, or deletions to the terms of this Contract which are required by
changes in Federal Law or Regulations are automatically incorporated into this Contract without
written amendment hereto, and shall become effective on the date designated by such law or
regulation, provided if the SUBCONTRACTOR may not legally comply with such change,
SUBCONTRACTOR may terminate its participation herein as authorized by Article 10.
CAPCO may, from time to time, require changes in the Scope of the Services of the
SUBCONTRACTOR to be performed hereunder. Such changes that are mutually agreed upon
by and between CAPCO and the SUBCONTRACTOR in writing shall be incorporated into this
Contract.
Any changes in personnel whose salaries are funded under this Contract or any other Contract
amendments, including increasing or decreasing the amount of total funding, altering budget
category allocations, extending or shortening the term of the agreement, or making significant
changes in the scope of work, schedule or deliverables, must be approved in advance by
CAPCO. A detailed description of the proposed change(s) shall be submitted in writing by the
SUBCONTRACTOR to CAPCO for approval. Authorization to amend the Contract will be
documented in writing and copies of the authorization retained in the files of both CAPCO and
SUBCONTRACTOR.
Article 10: Termination of Contract for Convenience
a) CAPCO may terminate this Contract in whole or part for its convenience. CAPCO
terminates this Contract for convenience by giving SUBCONTRACTOR at least 30
calendar days notice of the termination, specifying the termination date, and describing
the part or arts terminated.
b) Upon receipt of the termination notice, SUBCONTRACTOR agrees to stop work on or
before the termination date, cancel all subcontracts and orders entered into under this
Contract, and settle all claims resulting from cancellation of the subcontracts and orders.
If CAPCO terminates only part of the Contract, Contractor agrees to complete the un-
terminated part if CAPCO so requests.
c) At CAPCO's request, following termination of the Contract for convenience,
SUBCONTRACTOR agrees to transfer title and deliver to CAPCO, at CAPCO's
expense, all work produced in performing this Contract. SUBCONTRACTOR agrees to
preserve and protect the work until it is delivered to CAPCO.
CAPCO FY2004 Solid Waste Interlocal Contract 28
d) SUBCONTRACTOR agrees to submit to CAPCO a written termination claim itemizing
and documenting the amounts due because of termination of the Contract. If Contractor
does not submit the termination claim within 90 calendar days from the effective date of
termination, SUBCONTRACTOR's termination claim is barred.
e) If SUBCONTRACTOR's termination claim is timely submitted, complete, and correct,
CAPCO agrees to pay SUBCONTRACTOR the following amounts in full settlement of
SUBCONTRACTOR's termination claim: (1) the reasonable cost of all work performed
through the date of termination; and (2) the reasonable cost of settling and paying claims
resulting from cancellation of subcontracts and orders. However, CAPCO's total
payment under this paragraph may not exceed the total Contract price, Tess amounts
already paid SUBCONTRACTOR under this Contract, any lawful offsets, and the
Contract price for any work not terminated.
Article 11: Suspension or Termination of Contract for Unavailability of Funds
a) SUBCONTRACTOR acknowledges that CAPCO is a governmental entity without taxing
power and that its only source for paying SUBCONTRACTOR under this Contract is the
Municipal Solid Waste Disposal and Transportation Revenue Fee administered by
TCEQ under Contract with CAPCO. If TCEQ suspends or terminates its Contract with
CAPCO, SUBCONTRACTOR agrees that CAPCO may suspend its payment obligations
under or terminate this Contract in whole or part if CAPCO learns that funds to pay for all
or part of the goods or services will not be available at the time of delivery or
performance. If CAPCO suspends or terminates only part of this Contract for
unavailability of funds, SUBCONTRACTOR agrees to perform the unsuspended or
unterminated part if CAPCO so requests.
b) CAPCO suspends or terminates this Contract for unavailability of funds by giving
SUBCONTRACTOR notice of the suspension or termination, as soon as it learns of the
funding unavailability, specifying the suspension or termination date, and describing the
part or parts suspended or terminated. CAPCO agrees to promptly return to
SUBCONTRACTOR at CAPCO's expense any goods Contractor shipped to CAPCO
before receiving notice of suspension or termination.
c) If this Contract is terminated for unavailability of funds under this Article 11,
SUBCONTRACTOR is entitled to compensation for goods it furnished and services it
performed before it received notice of termination. However, CAPCO is not liable to
SUBCONTRACTOR for costs it paid or incurred under this Contract after or in
anticipation of its receipt of notice of termination.
Article 12: Termination for Breach of Contract
(a). If CAPCO or SUBCONTRACTOR breaches a material provision of this Contract, the
other may notify the breaching party describing the breach and demanding corrective
action. The breaching party has five business days from its receipt of the notice to
correct the breach, or to begin and continue with reasonable diligence and in good faith
to correct the breach. If the breach cannot be corrected within a reasonable time,
despite the breaching party's reasonable diligence and good faith effort to do so, either
party may terminate the Contract for breach by notifying the other party of the
CAPCO FY2004 Solid Waste Interlocal Contract 29
termination date, which may be no sooner than 10 calendar days from the notice date, or
either party may invoke the dispute resolution process of Article 18.
(b). If this Contract is terminated for breach under Subsection (a), Contractor is entitled to
compensation for services it performed and goods it provided before it received notice of
termination. However, CAPCO is not liable to Contractor for costs it paid or incurred
under this Contract after or in anticipation of its receipt of notice of termination.
(c). Termination for breach under Subsection (a) does not waive CAPCO's claim for
damages resulting from the breach, and CAPCO among other remedies may withhold
from compensation owed Contractor an amount necessary to satisfy CAPCO's claim.
Article 13: Severability
All parties agree that should any provision of this Contract be determined to be invalid or
unenforceable, such determination shall not affect any other term of this Contract, which shall
continue in full force and effect.
Article 14: Data and Publicity
All data and other information developed under this Contract shall be furnished to CAPCO 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, TEX. GOV'T CODE Chapter 552. Upon
termination of this Contract, all data and information shall become the joint property of CAPCO
and the SUBCONTRACTOR.
Article 15: Intellectual Property
(a). 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, specifications, computer programs, technical reports,
operating manuals, or other copyrightable materials, and 3) any other materials in which
intellectual property rights may be obtained.
(b). If the SUBCONTRACTOR conceives of, actually puts into practice, discovers, invents or
produces any intellectual property during the course of its work under this Contract, it
shall report that fact to CAPCO.
(c). The SUBCONTRACTOR may obtain governmental protection for rights in the intellectual
property. However, CAPCO and TCEQ hereby reserve 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. CAPCO and TCEQ also reserve 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 sale or otherwise (to
the extent consistent with the rights of third parties) any intellectual property for which
the SUBCONTRACTOR obtains rights with funds received under this Contract.
CAPCO FY2004 Solid Waste Interlocal Contract 30
(d). In performing work under this Contract, the SUBCONTRACTOR shall comply with all
laws, rules, and regulations relating to intellectual property, and shall not infringe on any
third party's intellectual property rights. It shall hold CAPCO and the TCEQ harmless
for, and to the extent permitted by the laws and Constitution of the State of Texas,
defend and indemnify CAPCO against, any claims for infringement related to its work
under this Contract.
Article 16: Energy Efficiency Standards
The SUBCONTRACTOR is encouraged to follow standards and policies on energy efficiency
which are contained in the Texas State Energy Conservation Plan issued in compliance with the
Energy Policy and Conservation Act (P.L. 94-163).
Article 17: Identification of Funding Sources
The SUBCONTRACTOR shall acknowledge the financial support of the TCEQ and CAPCO
whenever work funded, in whole or part, by this Contract is publicized or reported in news media
or publications. All reports and other documents completed as a part of this Contract, other
than documents prepared exclusively for internal use within CAPCO, shall carry the following
notation on the front cover or title page:
FINANCED WITH FUNDS FROM
THE TEXAS COMMISSION ON ENVIRONMENTAL QUALITY (TCEQ)
THROUGH THE CAPITAL AREA PLANNING COUNCIL (CAPCO)
Article 18: Dispute Resolution
(a). The parties desire to resolve disputes arising under this Contract without litigation.
Accordingly, if a dispute arises, the parties agree to attempt in good faith to resolve the
dispute between themselves. To this end, the parties agree not to sue one another,
except to enforce compliance with this Article 18, until they have exhausted the
procedures set out in these subsections.
(b). At the written request of either party, each party shall appoint one non -lawyer
representative to negotiate informally and in good faith to resolve any dispute arising
under this Contract. The representatives appointed shall determine the location, format,
frequency, and duration of the negotiations.
(c). If the representatives cannot resolve the dispute within 30 calendar days after the first
negotiation meeting, the parties agree to refer the dispute to the Dispute Resolution
Center of Austin for mediation in accordance with the Center's mediation procedures by
a single mediator assigned by the Center. Each party shall pay half the cost of the
Center's mediation services.
(d). The parties agree to continue performing their duties under this Contract, which are
unaffected by the dispute, during the negotiation and mediation process.
CAPCO FY2004 Solid Waste Interlocal Contract 31
Article 19: Oral and Written Contracts
All oral or written agreements between the parties hereto relating to the subject matter of this
Contract which were developed and executed prior to the execution of this Contract have been
reduced to writing and are contained herein.
Article 20: Nondiscrimination and Equal Opportunity
(a). Subsection (b) summarizes the nondiscrimination requirements applicable to
SUBCONTRACTOR's performance under this Contract that are set out in detail in title
41, chapter 60, and title 28, parts 35 and 36, Code of Federal Regulations. The
SUBCONTRACTOR agrees to comply with the detailed requirements.
(b). SUBCONTRACTOR shall not exclude anyone from participating under this Contract,
deny anyone benefits under this Contract, or otherwise unlawfully discriminate against
anyone in carrying out this Contract because of race, color, religion, sex, age, disability,
handicap, or national origin.
Article 21: Utilization of Small, Minority, and Women's Business Enterprises
(a). A Historically Underutilized Business (HUB) is a Corporation, Sole Proprietorship,
Partnership, or Joint Venture in which as least 51 percent is owned, operated, controlled
and actively managed by a person or persons who are historically underutilized (socially
disadvantaged) because of their identification with members of certain groups, including
Black Americans, Hispanic Americans, Asian Pacific Americans, Native Americans
(American Indians) and Women who suffered the effects of discriminatory practices or
similar insidious circumstances over which they have no control.
(b). The SUBCONTRACTOR agrees that qualified Historically Underutilized Businesses
(HUBs) shall have the maximum practicable opportunity to participate in the
performance of this Contract.
Article 22: Force Majeure
(a). Subject to the requirements of Subsections (b) and (c) and the limitation of Subsection
(d), a party's obligations under this Contract are suspended during any period the party
is unable to perform its obligations because of work stoppage or strike resulting from a
labor dispute; fire, flood, wind, earthquake, or other natural disaster; epidemic, riot,
sabotage, rebellion, or war; governmental intervention; or other cause beyond the party's
control.
(b). Subsection (a) does not apply unless the party invoking it notifies the other party of the
force majeure event within five business days after it occurs, describing the nature of the
event in detail and estimating its likely duration. The party invoking Subsection (a) has
the burden of proving that the force majeure event exists.
CAPCO FY2004 Solid Waste Interlocal Contract 32
(c). If the other party is reasonably satisfied that the force majeure event exists, it shall notify
the invoking party that the obligations of this Contract are suspended from the effective
date of the event throughout its duration. The party invoking Subsection (a) shall notify
the other party within five business days after the force majeure event ends. When the
force majeure event ends, the obligations of this Contract are reinstated for the
remainder of the Contract's term.
(d). If the obligations of this Contract are suspended because of a force majeure event for a
cumulative period of more than 30 calendar days, either party may terminate this
Contract in whole or part for convenience under Article 10.
Article 23: Conflict of Interest
(a). SUBCONTRACTOR agrees to comply with its internal policy prohibiting conflict of
interest and with Chapter 171 of the TEX. LOCAL GOVT. CODE ANN. in carrying out
this Contract.
(b). If SUBCONTRACTOR learns that one of its governing body members, officers,
employees, or agents has violated or may violate its internal policy or Chapter 171,
SUBCONTRACTOR agrees promptly to take corrective and appropriate disciplinary
action and to notify CAPCO in writing of the actual or potential violation and the
corrective and disciplinary action taken.
Article 24: Miscellaneous
(a). All representations and warranties of SUBCONTRACTOR, together with all continuing
obligations described in this Contract, survive the ending or early termination of this
Contract.
(b). This Contract states the entire agreement of the parties, and an amendment to it is not
effective unless in writing and signed by both parties.
(c). This Contract is binding on and inures to the benefit of the parties' successors in interest.
(d). This Contract is performable in Travis County, Texas, and Texas law governs the
interpretation and application of this Contract.
(e). This Contract is executed in duplicate originals.
CAPCO FY2004 Solid Waste Interlocal Contract 33
DATE: April 16, 2004
SUBJECT: City Council Meeting - April 22, 2004
ITEM: 14.D.1. Consider a resolution authorizing the Mayor to execute an
Interlocal Contract for FY 2004 Solid Waste Equipment and
Services with the Capital Area Planning Council for regional
solid waste grant funds.
Department: Water and Wastewater Utilities
Staff Person: Tom Clark, Utilities Director
Justification:
Solid Waste Interlocal Contract Capital Area Planning Council
(CAPCO) for regional solid waste grant funds will allow the City to
offer a permanent household hazardous waste collection facility and
to update current waste oil centers. These items will provide for
waste diversion, recycling and safe storage of items such as oil,
paint, pesticides, and home chemicals for the Round Rock service
area. The funds received will go to the purchase of replacement used
oil collection units and a new hazardous materials storage building.
Contract must be signed if the grant funds to be allocated.
Funding:
Cost: $26,288
Source of funds: Reimbursed by CAPCO Grant Funds
Outside Resources:
Background Information:
Public Comment: N/A
CAPCO
The city has conducted a waste oil recycling program
for over twelve years. An average of 20,000 gallons of
waste oil has been collected each of the past four
years. Three of the initial oil units are in need of
replacement. The City has participated in Household
Hazardous Waste (HHW) event since 1996 and has
begun to establish a permanent HHW collection facility.
Hazardous materials storage buildings are necessary
for this transition.
Previous Resolution No. R -04-01-22-14G1 for grant
application was approved by council on January 22,
2004.
EXECUTED
DOCUMENT
FOLLOWS
CAPITAL AREA PLANNING COUNCIL
INTERLOCAL CONTRACT FOR
FY2004 SOLID WASTE EQUIPMENT AND SERVICES
The Capital Area Planning Council (hereafter, CAPCO) and the agreeing party (hereafter,
SUBCONTRACTOR) each certifies that it has authority to perform this Contract under Chapter
391 of the Local Government Code, and Chapter 361 of the Health and Safety Code.
This Solid Waste Interlocal Contract is entered into by and between the parties named
below. Neither the Texas Commission on Environmental Quality (TCEQ) nor the State of
Texas is a party to this agreement.
I. CONTRACTING PARTIES:
Contractor: Capital Area Planning Council
Sub Contractor: City of Round Rock
Contract #:
OSI -12- GOl
Amount Awarded: $26,288
II. SERVICES TO BE PERFORMED:
See Attachment B — "Work Program of SUBCONTRACTOR"
See Attachment C — "Schedule of Deliverables from SUBCONTRACTOR"
III. BUDGET AND PAYMENT PROCEDURES:
See Attachment D — "Budget and Authorizations"
IV. ADDITIONAL CONTRACT PROVISIONS:
See Attachment A — "Special Contract Provisions
See Attachment E — "General Contract Provisions"
R-641- QLl-as- NDI
CAPCO FY2004 Solid Waste Interlocal Contract 1
CONTRACTING PARTIES
CONTRACTOR: Capital Are Planning Council (CAPCO)
SIGNATURE:
NAME:
TITLE:
DATE:
Betty Voights
Executive Director
SUBCONTRACTOR:
SIGNATURE:
NAME:
TITLE:
03/i S/Gti
City of Round Rock
Nyle Maxwell
Mayor
DATE: L{ Oy
CAPCO FY2004 Solid Waste Interlocal Contract 2
TABLE OF CONTENTS
Attachment A: Special Contract Provisions 4
Article 1: Period of Performance 4
Article 2: Scope of Services 4
Article 3: CAPCO Obligations 4
Article 4: Reporting Requirements 7
Article 5: Monitoring Requirements 8
Article 6: Title To & Management of Real Property & Equipment 8
Article 7: Compliance with Applicable Laws 11
Article 8: Authorized Representatives 11
Attachment B: Work Program of SUBCONTRACTOR 13
Attachment C: Schedule of Deliverables from SUBCONTRACTOR 14
Attachment D: SUBCONTRACTOR Budget and Authorizations 15
Article 1: Expense Category Standards 15
Article 2: Supplemental Funding Standards 18
Article 3: SUBCONTRACTOR Authorized Budget 20
Attachment E: General Contract Provisions 21
Article 1: Legal Authority & Indemnification 21
Article 2: Scope of Services 21
Article 3: Purpose 21
Article 4: Eligible Entities 22
Article 5: Implementation Project Categories 23
Article 6: Liability Insurance 26
Article 7: Audit/Access to Records 26
Article 8: Independent Financial Audit 27
Article 9: Amendments to Contract 28
Article 10: Termination of Contract for Convenience 28
Article 11: Suspension or Termination of Contract for Unavailability of Funds 29
Article 12: Termination for Breach of Contract 29
Article 13: Severability 30
Article 14: Data and Publicity 30
Article 15: Intellectual Property 30
Article 16: Energy Efficiency Standards 31
Article 17: Identification of Funding Sources 31
Article 18: Dispute Resolution 31
Article 19: Oral and Written Contracts 32
Article 20: Nondiscrimination and Equal Opportunity 32
Article 21: Utilization of Small, Minority, & Women's Business Enterprises 32
Article 22: Force Majeure 32
Article 23: Conflict of Interest 33
Article 24: Miscellaneous 33
CAPCO FY2004 Solid Waste Interlocal Contract 3
ATTACHMENT A
Special Contract Provisions
Article 1: Period of Performance
The period of performance of this Solid Waste Interlocal Contract (hereafter, the Contract)
begins on the date that it is executed on behalf of CAPCO and ends, unless sooner terminated
under Attachment E, on December 31, 2004. The SUBCONTRACTOR has from the time the
Contract is executed to the ending date shown above to complete the tasks as shown in
Attachment B of this Contract. The SUBCONTRACTOR may request in writing a time
extension, but CAPCO is not obligated to provide the time extension.
Article 2: Scope of Services
AH parties agree that the City of Round Rock, in consideration of compensation hereinafter
described, shall provide as specifically described in the Special and General Provisions of this
Solid Waste Interlocal Contract, the services of: Household Hazardous Waste Management.
The SUBCONTRACTOR agrees to implement the Project according to the agreed upon budget
in an amount not to exceed $26,288 as detailed in Attachment D, Article 3 of this Contract.
Failure on the part of the SUBCONTRACTOR to comply with the conditions set forth in this
Contract shall be the basis for termination of the Contract and recovery of any unexpended or
inappropriately expended funds.
Article 3: CAPCO Obligations
(a). Consideration
In consideration of full and satisfactory performance hereunder, CAPCO will be liable to
SUBCONTRACTOR in an amount equal to the allowable costs defined in OMB Circular
No. A-87 and incurred by SUBCONTRACTOR in rendering such performance, subject to
the following limitations:
1. CAPCO is not liable for expenditures made in violation of the Authorized Budget and
funding guidelines in Attachment D, which outline the standards which shall apply to
the SUBCONTRACTOR'S use of funds provided under this Contract, including
prohibited activities and expense categories as defined by the TCEQ.
2. CAPCO is not liable for any costs incurred by SUBCONTRACTOR in the
performance of this Contract which have not been billed to CAPCO within thirty (30)
days following termination of this Contract.
3. CAPCO is not liable to SUBCONTRACTOR for costs incurred or performance
rendered by SUBCONTRACTOR for costs incurred by SUBCONTRACTOR before
commencement of this Contract or after termination of this Contract.
CAPCO FY2004 Solid Waste Interlocal Contract 4
4. Except as specifically authorized by CAPCO in writing, CAPCO is liable only for
expenditures made in compliance with the cost principles and administrative
requirements set forth in Federal OMB Circular No. A-87. CAPCO is not liable for
expenditures made in violation of Attachment D, Article 2 of this Contract.
(b). Additional Documentation and Financial Monitoring Program
1. Financial Monitoring Program. The SUBCONTRACTOR will adhere to the
following financial monitoring requirements in order to receive reimbursement for
authorized expenditures and to ensure that the expenditures incurred were
reasonable and necessary to the project.
i) Payments to the SUBCONTRACTOR will be made only on a reimbursement
basis. To receive reimbursement the SUBCONTRACTOR must submit the
following:
a) Form PT -F1
b) Form PT -F2
c) Supplemental Forms F2-1 through F2-4 (if appropriate)
d) Copies of checks
e) Copies of Invoices
f) List of bid responses for purchases over $5,000 up to $15,000
g) Copy of RFP and list of RFP responses (if applicable)
ii) If the SUBCONTRACTOR does not have a Purchasing Policy that complies with
state law, the SUBCONTRACTOR must adhere to the general provisions of
CAPCO's Purchasing Policy, which are outlined below:
a) Purchases over $10,000 must be approved by the organization's governing
body (i.e. school board, city council, and commissioner's court)
b) Purchases above $25,000 require formal competitive sealed bids
c) Purchases between $5,000 and $25,000 require informal bids (at least three
written quotes) and must be approved by the governing body
d) Purchases between $2,500 and $4,999 require informal bids (at least three
written quotes)
e) Purchases between $300 and $2,499 require at least three verbal quotes
f) Purchase less than $300 do not require quotes
g) Split purchases to avoid bidding requirements will not be allowed
h) Cumulative purchases of like items through the fiscal year could be
considered circumvention of the policy if it was reasonable to anticipate the
purchases in advance
Note: The use of State Contract items can eliminate the need for many of the
bidding requirements. However, purchases over $10,000 still require
approval of the organization's governing body.
iii) The SUBCONTRACTOR is allowed to account for expenses incurred and
request reimbursement of outlays under either a cash or an accrual basis, as
defined and authorized under the UGMS. To be eligible for reimbursement under
this Contract, a cost must have been incurred and either paid by the
CAPCO FY2004 Solid Waste Interlocal Contract 5
SUBCONTRACTOR prior to claiming reimbursement from CAPCO or incurred by
the last day of the time period indicated on a request for reimbursement form and
liquidated no later than thirty (30) days after the end of that time period.
iv) CAPCO will review all materials provided by the SUBCONTRACTOR with a
request for reimbursement (Forms PT -F1 and PT -F2), and will not make a
reimbursement payment unless all required items listed under Article 3 (b)1(i) of
this Attachment have been provided and are deemed to be accurate.
v) CAPCO shall reimburse or otherwise make payment to the SUBCONTRACTOR
only for expenses incurred during the term of the Contract between CAPCO and
the SUBCONTRACTOR, the term of which may not be outside of the term of this
Contract.
vi) CAPCO will not reimburse or otherwise make payment to the
SUBCONTRACTOR for an expenditure that is not authorized under this
Contract. If it is determined by either CAPCO or the TCEQ that an expenditure
that was reimbursed is not an authorized expense, CAPCO shall request return
and reimbursement of those funds from the SUBCONTRACTOR or, where
appropriate, the application of those funds to other authorized expenses, and
shall not provide additional reimbursements to the SUBCONTRACTOR until the
funds are returned or are applied to other authorized expenses.
2. Documentation required. In general, expenditure documentation to be maintained
by the SUBCONTRACTOR should be whatever is necessary to show that the work
was indeed performed and that the expense was, in fact, incurred. In addition, the
documentation should also support the fact that the expenditure was reasonable and
necessary to this Contract. Documents that should be maintained, as appropriate for
the expense, include but are not limited to the following:
i) Salary/Wages — Time sheets that have been signed and approved.
ii) 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.
iii) Equipment — Purchase orders, invoices, and canceled checks.
iv) Supplies — Purchase orders (if issued), invoices, and canceled checks.
v) Contractual — All of the above plus documentation that the costs were
reasonable and necessary. The same standards should be applicable to
subcontractors.
3. Additional Documentation. If requested by CAPCO, the SUBCONTRACTOR
agrees to provide to CAPCO the additional expense records and documentation
materials, as listed in Section (b) 2 of this Article and appropriate for the expense, for
the time period requested by CAPCO, except that the SUBCONTRACTOR will not
be asked to submit records that have already been provided to CAPCO with a
Financial Status Report. CAPCO will provide reasonable time for the
CAPCO FY2004 Solid Waste Interlocal Contract 6
SUBCONTRACTOR to comply with a request for additional records. If CAPCO
requests to review additional records to be provided by the SUBCONTRACTOR
under CAPCO's financial monitoring program, CAPCO will review those records and
provide the SUBCONTRACTOR a written summary of the findings of that review.
CAPCO will also allow the SUBCONTRACTOR reasonable time to respond to any
findings of noncompliance or other problems identified by the records review.
(c). SUBCONTRACTOR Close Out Report
No later than thirty (30) days following the termination of this Contract,
SUBCONTRACTOR must submit to CAPCO a final "Financial Status Report," which
indicates that the report is the "Final Report." If all expenditures have been completed
before the end of the Contract, SUBCONTRACTOR shall submit the final "Financial
Status Report" with the final "Request for Reimbursement."
(d). Independent Contractor
SUBCONTRACTOR is not an employee or agent of CAPCO, but provides goods and
performs services under this Contract solely as an independent contractor.
Article 4: Reporting Requirements
(a). The SUBCONTRACTOR shall prepare and submit to CAPCO progress reports as
designated in Attachment C of this Contract. These reports concern the performance
under this Contract documenting program accomplishments and units of work performed
under Attachment B of this Contract. These progress reports, to be submitted by the
SUBCONTRACTOR, shall include:
1. Form PT -S1 which documents the progress and completion of tasks
2. Form PT -R1, the Waste Diversion Tracking Form
3. Forms R1 A, R1 B, R1 D or R1 E (as applicable to the project or as requested by
CAPCO)
Payments (reimbursements) required under this Contract will be withheld by CAPCO
until such time as any past due progress reports are received.
(b). The SUBCONTRACTOR progress reports required under Subsection A of Article 4
contain descriptions of activities and costs for CAPCO to ensure that the provisions of
this Contract are being complied with. In particular, any legal research and related legal
activities shall be clearly detailed in the quarterly progress reports in order to assure
CAPCO that the activities are not prohibited under Attachment D Article 2 of this
Contract (relating to Supplemental Funding Standards). The SUBCONTRACTOR shall
comply with any reasonable request by CAPCO for additional information on activities
conducted in order for CAPCO to adequately monitor the SUBCONTRACTOR's
progress in completing the requirements of and adhering to the provisions of this
Contract.
(c). The SUBCONTRACTOR will certify in writing to CAPCO through a final progress report,
the satisfactory completion of all activities and deliverables required under this Contract.
The final progress report shall consist of the forms described in Section A of this Article
4.
CAPCO FY2004 Solid Waste Interlocal Contract 7
(d). The SUBCONTRACTOR shall maintain the forms listed in Part A of this Section so that
a follow-up results report can be prepared. The SUBCONTRACTOR shall provide
CAPCO with a follow-up results report in FY 2005 so that CAPCO can report to the
TCEQ the results of the projects funded under this Contract.
(e). The SUBCONTRACTOR'S failure to comply with the requirements of this Article shall
constitute a breach of this Contract.
(f).
(g).
The SUBCONTRACTOR shall maintain documentation on the results of the project
activities for the life of the program or activity.
The reporting requirements of this Article 4 survive the ending or early termination of this
Contract.
Article 5: Monitoring Requirements
(a). CAPCO may periodically monitor SUBCONTRACTOR for:
1. The degree of compliance with the terms of this Contract, including compliance with
applicable rules, regulations, and promulgations referenced herein; and
2. The administrative and operational effectiveness of the project.
(b). CAPCO shall conduct periodic analysis of SUBCONTRACTOR'S performance under
this Contract for the purpose of assessing the degree to which contractual objectives
and performance standards, as identified in this Contract or as subsequently amended,
are achieved by SUBCONTRACTOR.
Article 6: Title To and Management of Real Property and Equipment
(a). 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 SUBCONTRACTOR will vest upon acquisition or construction in
CAPCO or the SUBCONTRACTOR respectively.
(b). Subject to the provisions of this Agreement, and as otherwise provided by state statutes,
property acquired or replaced under this Agreement shall be used for the duration of its
normally expected useful life to support the purposes of this Agreement whether or not
the original projects or programs continue to be supported by state funds.
(c). The SUBCONTRACTOR shall not grant or allow to a third party a security interest in any
original or replacement property purchased or constructed with funds made available to
the SUBCONTRACTOR under this Agreement.
(d). 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 the
FUNDING AGENCY 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
CAPCO FY2004 Solid Waste Interlocal Contract 8
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.
(e). The SUBCONTRACTOR 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
SUBCONTRACTOR 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
SUBCONTRACTOR must meet the requirements set forth in this Section.
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 cost of the property, the location, use and condition of the
property, and any ultimate disposition data including the date of disposal and sale
price of the property.
(f).
(g).
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 SUBCONTRACTOR shall include adequate safeguards to
prevent Toss, damage, or theft of the acquired property. Any loss, damage, or theft
shall be investigated. The SUBCONTRACTOR shall develop and carry out a
program of property maintenance as necessary to keep both originally acquired and
any replaced property in good condition, and to utilize proper sales procedures to
ensure the highest possible return, in the event such property is sold.
3. Certain types of equipment are classified as "controlled assets" and are subject to
annual revision. In accordance with the UGMS, the SUBCONTRACTOR 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
SUBCONTRACTOR's inventory system irrespective of cost, and the following
equipment with costs between $500 and $1,000 shall be maintained on the inventory
system: (1) stereo systems, (2) still and video cameras, (3) facsimile machines, (4)
VCRs and VCR/TV combinations and (5) cellular and portable telephones.
The SUBCONTRACTOR 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.
The SUBCONTRACTOR 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,
CAPCO has the right to require disposition of the property by the SUBCONTRACTOR in
accordance with the provisions of this Article.
CAPCO FY2004 Solid Waste Interlocal Contract 9
(h). When, during the useful life of property acquired with grant funds under this Agreement
by the SUBCONTRACTOR 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,
SUBCONTRACTOR agrees to request disposition instructions from the CAPCO or, if
CAPCO is no longer administering a Regional Solid Waste Grants Program, the TCEQ.
CAPCO shall, in turn, request authorization from the TCEQ to provide disposition
instructions to the SUBCONTRACTOR. 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
SUBCONTRACTOR fails to take appropriate disposition actions, CAPCO may direct
SUBCONTRACTOR to take excess and disposition actions. The disposition instructions
may provide for one of the alternatives as set forth in this Section.
1. Retain title, sell, or otherwise disposed of with no obligation to compensate CAPCO.
2. Retain title after compensating CAPCO. If CAPCO is compensated by the
SUBCONTRACTOR for property acquired using funds provided under this
Agreement, CAPCO will in turn compensate the TCEQ or, upon authorization by the
TCEQ, use those funds for other projects or activities that support this or similar
future programs conducted by the TCEQ. 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.
3. Sell the property and compensate CAPCO. If CAPCO is compensated the
SUBCONTRACTOR for property acquired using funds provided under this
Agreement, CAPCO will in turn compensate the TCEQ or, upon authorization by the
TCEQ, use those funds for other projects or activities that support the goals of this or
similar future programs conducted by the TCEQ. The amount due will be calculated
by applying CAPCO's percentage of participation in the cost of the original purchase
to the proceeds of the sale after deduction of any actual and reasonable selling and
fixing -up expenses. If the grant is still active, the net proceeds from sale may be
offset against the original cost of the property. When SUBCONTRACTOR is directed
to sell property, sales procedures shall be followed that provide for competition to the
extent practicable and result in the highest possible return.
4. Transfer title to CAPCO or to a third -party designated/approved by the TCEQ. If the
SUBCONTRACTOR participated financially in the original purchase of the property,
the SUBCONTRACTOR 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.
i) Items of property with a current per-unit fair market value of less than $1,000
may be retained, sold or otherwise disposed of by the SUBCONTRACTOR with
no further obligation to CAPCO. Methods used to determine per-unit fair market
value must be documented, kept on file and made available to CAPCO and the
TCEQ upon request.
CAPCO FY2004 Solid Waste Interlocal Contract 10
Article 7: Compliance with Applicable Laws
The SUBCONTRACTOR shall give all notices and comply with all laws, ordinances, rules,
regulations and order of any public authority bearing on the performance of this Contract
including, but not limited to, the laws referred to in this Contract. If the SUBCONTRACTOR or
CAPCO observes that this Contract is at variance, the observing party shall promptly notify the
other party in writing, and any necessary changes shall be addressed by appropriate Contract
modification. On request, the SUBCONTRACTOR shall furnish CAPCO modification. The main
governing standards include, but may not be limited to the following:
(a). Section 361.014, TEX. HEALTH & SAFETY CODE ANN;
(b). Section 330.569 of the TCEQ Municipal Solid Waste Regulations (30 TAC Chapter 330);
and
(c). The Uniform Grant and Contract Management Act, Chapter 783 of the TEX. GOV'T
CODE ANN, and the Uniform Contract Management Standards, 1 Texas Administrative
Code Section 5.141 et. seq. (UGMS).
Article 8: Authorized Representatives
(a). CAPCO hereby designates the person named in Exhibit A-1, Project Representative, to
this Attachment A, as the individual authorized to give direction to the
SUBCONTRACTOR for the purposes of this Contract. CAPCO Project Representative
shall not be deemed to have authority to bind CAPCO in Contract unless the Executive
Director of CAPCO has delegated such authority in writing.
(b). Immediately upon execution of this Contract, the SUBCONTRACTOR shall identify, as
its Project Representative, the person authorized to receive direction from CAPCO, to
manage the work being performed, and to act on behalf on the SUBCONTRACTOR as
Project Representative The SUBCONTRACTOR's Project Representative shall be
deemed to have authority to bind the subcontractor in Contract unless the
SUBCONTRACTOR, in writing, specifically limits or denies such authority to the
SUBCONTRACTOR's Project Representative with respect to the administration of the
Contract.
(c). Either party may change its Project Representative. In addition, the Project
Representative of either party may further delegate his or her authority as necessary,
including any delegation of authority to a new Project Representative. The party making
the change in Project Representative shall provide written notice of the change to the
other party.
(d). The SUBCONTRACTOR shall ensure that its Project Representative, or his or her
delegate, is available at all times for consultation with CAPCO. If the project
representative will be absent during the term of this Contract, the SUBCONTRACTOR
shall designate an alternate that will be available to consult with CAPCO.
CAPCO FY2004 Solid Waste Interlocal Contract
11
Exhibit A-1
The Capital Area Planning Council hereby designates the individual below as the person
to give direction to the SUBCONTRACTOR as Project Representative of CAPCO:
Name: Heather Parscal
Title: Solid Waste Program Coordinator
Address: 2512 IH 35 South, Suite 200
Austin, TX 78704
Phone: (512) 916-6170
Fax: (512) 916-6001
E-mail: hparscal(c�capco.state.tx.us
The SUBCONTRACTOR hereby designates the individual named below as the person
authorized to receive direction from CAPCO, to manage the work being performed, and
to act on behalf of the SUBCONTRACTOR as a Project Representative:
(Please complete all of the following information)
Name: Tracy Herring
Title: Environmental Services Supervisor
Address: 2008 Enterprise Drive
Round Rock, TX 78664
Phone: (512) 218-5559
Fax: (512) 341-3316
E-mail: tracyhround-rock.tx.us
The SUBCONTRACTOR designates the following location for record access and review
pursuant to Attachment A & Attachment E of this Contract or any other applicable
provision:
CAPCO FY2004 Solid Waste Interlocal Contract
12
ATTACHMENT B
Work Program of SUBCONTRACTOR
Task 1: Obtain pricing on equipment and request permission to purchase by CAPCO
Completed By: April 2004
Task 2: Purchase oil units and place into operation
Completed By: May 2004
Task 3: Submit 90 -day notification to TCEQ regarding permanent HHW facility
Completed By: May 2004
Task 4: Submit 45 -day Operational Plan to TCEQ
Completed By: June 2004
Task 5: Purchase hazardous waste storage building and place into operation
Completed By: July 2004
Task 6: Document hazardous waste amounts for oil and materials collected for storage unit
Completed By: ongoing through entire contract period
Task 7: Prepare quarterly reports for CAPCO
Completed By: April 30, 2004; July 31, 2004; October 31, 2004; and January 15, 2005
CAPCO FY2004 Solid Waste Interlocal Contract
13
ATTACHMENT C
Schedule of Deliverables from SUBCONTRACTOR
REQUIRED REPORTS*
Report
Reporting Period
Due Date
Progress Report #1
Progress Report #2
Progress Report #3
Final Report #4
Follow Up Results Report
Execution of Contract — April 15, 2004
April 16 — July 15, 2004
July 16 — October 15, 2004
October 16 — December 31, 2004
April 30, 2004
July 31, 2004
October 31, 2004
January 15, 2005
TBD — FY 2005
NOTE: For the purposes of preparing quarterly reports, it is suggested that the
SUBCONTRACTOR maintain the Waste Diversion Tracking Form on a monthly basis.
Please see Attachment A Article 4 for forms that are due at the above due dates. The
reporting forms will be sent to the SUBCONTRACTOR after this Contract becomes effective.
CAPCO FY2004 Solid Waste Interlocal Contract 14
ATTACHMENT D
SUBCONTRACTOR Budget and Authorizations
Article 1: Expense Category Standards
In addition to the other standards and requirements of this Agreement, the definitions and
requirements set forth in Sections (a) — (h) of this Article shall apply to the
SUBCONTRACTOR's use of funds provided under this Agreement and assignment of expenses
to the expense categories of the budget set forth in Attachment D Article 3 of this Agreement.
(a). Personnel. In accordance with §391.0117 of the Local Government Code, as amended
by the 76th Legislature, the SUBCONTRACTOR shall utilize the Salary Administration
Provisions and Schedules, and Position Classification Schedules applicable to state
agencies for all salaries of employees of the SUBCONTRACTOR funded under this
Agreement.
1. The SUBCONTRACTOR's employee positions covered in this Agreement are set
forth in Detailed Budget Sheet 2 of the grant application. Any change in employee
position constitutes a minor amendment pursuant to Article 9 of the General
Provisions (Attachment E) of this Agreement.
(b). Travel. The SUBCONTRACTOR shall comply with state travel regulations as required
by §391.0115 of the Local Government Code, for all of the SUBCONTRACTOR's travel
expenses to be reimbursed with funds provided under this Agreement as set forth in this
Section.
1 The SUBCONTRACTOR shall obtain prior written authorization from CAPCO for
reimbursement under this Agreement of any travel outside of the State of Texas.
2. Except as provided for under Subsection 1 of this Section, the SUBCONTRACTOR
shall obtain prior written authorization from CAPCO for reimbursement from the
travel expense category of the budget set forth in Attachment D Article 3, of any
travel expenses for persons not employed by the SUBCONTRACOTR, and for travel
by any employee not included in Detailed Budget Sheet 2 of the grant application.
(c). Supplies. Expenses included under the Supplies expense category of the budget set
forth in Attachment D Article 3, shall be for non -construction related costs for goods and
materials having a unit acquisition cost (including freight) of Tess than $1,000. Such
expenditures shall generally relate to the routine purchase of office supplies (paper,
pencils, and staplers) or other goods which are consumed by the SUBCONTRACTOR in
a relatively short period of time, in the regular performance of the general activities
funded under this Agreement.
1. Non -routine expenditures of goods and materials, not falling under the definition of
Equipment under Section (d). of these Program Conditions, shall be charged to the
Other expense category.
CAPCO FY2004 Solid Waste Interlocal Contract 15
(d). Equipment. Expenses included under the Equipment expense category of the budget
set forth in Attachment D Article 3, shall be for non -construction related, tangible,
personal property having a unit acquisition cost of $1,000 or more (including freight and
set up costs) with an estimated useful life of over one year.
1. No purchases of equipment to be charged to the equipment expense category of the
budget set forth in Attachment D Article 3, shall be allowed under this Agreement
unless approved ahead of time, in writing, by CAPCO. Approvals for equipment
purchases in conjunction with COG -managed projects shall be included with the
overall approvals for those projects.
2. Any equipment that will be used for other projects or activities, in addition to the
funded project, may only be funded at an amount reflecting the appropriate
percentage of time that the equipment will be directly used for the funded project.
The special conditions and requirements set forth in the grant agreement (relating to
Title to and Management of Equipment and Constructed Facilities), also apply to
equipment purchased with pass-through grant funding.
(e). Construction. Expenses included under the Construction expense category of the
budget set forth in Attachment D Article 3, shall be for costs related to projects,
administered by the SUBCONTRACTOR, concerned with the enhancement or building
of permanent facilities.
1. Expenses budgeted under the construction expense category of the budget set forth
in Attachment D Article 3, should be for costs related to the enhancement or building
of permanent facilities. Appropriate costs to include under the Construction expense
category are set forth in this Section.
i) The cost of planning the project.
ii) The cost of materials and labor connected to the construction project.
iii) The cost of equipment attached to the permanent structure.
iv) Any subcontracts, including contracts for services, which are performed as a
portion of the project administered by the SUBCONTRACTOR.
2. No expenditures under the Construction expense categories of the budget set forth
in Attachment D Article 3, shall be allowed under this Agreement unless approved
ahead of time, in writing, by CAPCO.
(f). Contractual Expenses. Expenses included under the Contractual expense category of
the budget set forth in Attachment D Article 3, shall be for costs for professional services
or tasks provided by a firm or individual who is not employed by the SUBCONTRACTOR
as set forth in the Section.
1. No contractual expenses included under the contractual expenses category of the
budget set forth in Attachment D Article 3, shall be allowed under this Agreement
unless such contracts' scope of work has been approved ahead of time, in writing, by
CAPCO.
2. Any amendment to the SUBCONTRACTOR's subcontract authorized for
reimbursement under this Agreement, whether or not such subcontract required
CAPCO pre -approval, which will result in or require substantive changes to any of
CAPCO FY2004 Solid Waste Interlocal Contract 16
(g).
the tasks required to be performed under this Agreement, as set forth in these
Program Conditions, must be approved in writing by the CAPCO.
3. All applicable laws and regulations concerning bidding and contracting for services
shall be followed.
Other Expenses. All expenses under the Other expense categories of the budget set
forth in Attachment D Article 3, shall be in connection with the tasks and activities to be
performed under this Agreement. Expenses not falling under the main expense
categories may be included under the Other expense category if appropriate for the
proposed project as set forth in this Section.
1. No expenses under the Other expense category including computer hardware or
software purchases not included under the Equipment expense category, shall be
eligible for reimbursement under this Agreement unless approved ahead of time, in
writing, by CAPCO.
2. Subcategories of Other expenses for which prior authorization, as described in
Subsection 1. of this Section, is not required are set forth in this Section.
i) Books and reference materials.
ii) Dues and membership fees for the SUBCONTRACTOR's affiliation with
organizations and associations which directly relate to the performance of
activities under this Agreement (dues for individual employee affiliation to
particular organizations or professional associations, unless listed in Detailed
Budget Sheet 8 of the grant application, must be approved individually, in
writing, by CAPCO).
iii) Subscriptions, only insomuch as they relate directly to the performance of
activities under this Agreement.
iv) Postage, telephone, FAX, and utilities expenses.
v) Printing and reproduction expenses.
vi) Advertising and public notices.
vii) Registration fees and other staff training costs (fees and training costs for
persons not employed by the SUBCONTRACTOR, unless listed in Detailed
Budget Sheet 8 of the grant application, must be approved individually by
CAPCO).
viii) Repair and maintenance costs.
ix) Office furniture, not falling under the definition of equipment under
Attachment D Article 1 of the Agreement.
x) Space and equipment rentals.
xi) Signs.
xii) Additional Other expenses listed in Detailed Budget Sheet 8 of the grant
application.
3. The SUBCONTRACTOR shall ensure that expenditures charged under the Other
expense category are not also included within the expenses reimbursed through the
Indirect Costs category.
(h). Indirect Cost Rates. Not withstanding this section or any other part of this Agreement,
the SUBCONTRACTOR shall comply with all provisions of §391.0115 of the Texas Local
Government Code relating to the restrictions on commission costs, and shall advise
CAPCO FY2004 Solid Waste Interlocal Contract 17
CAPCO in writing in the event such compliance will necessitate a reduction or other
change to the indirect cost rate(s) set forth in the budget portion of this Agreement. The
SUBCONTRACTOR shall comply with all requirements and rules to be adopted by the
Office of the Governor pursuant to §391.009 of the Texas Local Government Code
relating to the operations and oversight of Regional Planning Commissions.
Article 2: 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.
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.
2. Land Acquisition Costs.Funds provided under this Agreement may not be used to
acquire land or an interest in land.
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.
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. 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 citizens' collection stations, and small registered transfer stations.
6. Projects Requiring a TCEQ Permit. Funds may not be used for expenses related to
projects or facilities that require a permit from the 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 TCEQ, at its
CAPCO FY2004 Solid Waste Interlocal Contract 18
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 biosolids for beneficial use. The applicant should
request a preliminary determination from the TCEQ as to the eligibility of the project prior
to consideration for funding.
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.
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.
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. This provision does not apply to the salaries for staff of the
SUBCONTRACTOR in its conduct of activities under this Agreement.
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.
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.
12. Funds to Law Enforcement Agencies. Funds provided under this Agreement may not
be provided to any law enforcement agency 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.
CAPCO FY2004 Solid Waste Interlocal Contract 19
Article 3: SUBCONTRACTOR'S AUTHORIZED BUDGET
City of Round Rock - HHW Management
v+tea.. 1 Al V1FVL`1y, OUiVi1V1Hi(1
5 1 � �' � �.'jdr,• 3 e".;t � f5 � i hied a" � m'� i 3 v
4
1. Personnel (Salary)
$0.00
2. Fringe Benefits
$0.00
3. Travel
$0.00
4. Supplies (unit cost of less than $1,000)
$0.00
5. Equipment (unit cost of $1000 or more)
$26,288.00
6. Construction
$0.00
7. Contractual (other than for construction)
$0.00
8. Other
$0.00
9. Indirect charges
$0.00
TOTAL
$26,288.00
10. Fringe Benefit Rate:
0%
11. Indirect Cost Rate:
0%
Used oil tanks
Hoz waste storage building
TBD
TBD
$2,096.00
$20,000.00
$0.00
3
1
0
$6,288.00
$20,000.00
$0.00
ATTACHMENT E
General Provisions
Article 1: Legal Authority and Indemnification
The SUBCONTRACTOR warrants and assures CAPCO that it possesses adequate legal
authority to enter into this Contract. The SUBCONTRACTOR'S governing body where
applicable has authorized the signatory official(s) to enter into this Contract and bind the
SUBCONTRACTOR to the terms of this Contract and any subsequent amendments hereto. The
SUBCONTRACTOR agrees to adhere to the provisions of Section 361.014 of the Texas Health
and Safety Code, Title 30 Texas Administrative Code section 330.569, to the provisions of section
330.59 of the TNRCC Municipal Solid Waste Regulations, this agreement and the Uniform Grant
Management Standards ("UGMS").
Indemnification
(a) To the extent allowed by Texas law, SUBCONTRACTOR agrees at its own expense
to defend CAPCO and TCEQ, their governing body members, officers, employees, and
agents, against any claim, suit, or administrative proceeding, and to indemnify them
against any liability (including all expenses and reasonable counsel fees incurred),
arising out of any act or omission of SUBCONTRACTOR's governing body member,
officer, employee, or agent under this Contract.
(b) If SUBCONTRACTOR is served with process in a suit or proceeding described in
Subsection (a), SUBCONTRACTOR agrees to furnish CAPCO promptly with a copy of
the process.
(c) SUBCONTRACTOR agrees that its indemnification obligations under Subsection (a)
apply to causes of action accruing during the term of this Contract, and that for this
purpose the obligations will survive the ending or early termination of this Contract.
Article 2: Scope of Services
The services to be performed by the SUBCONTRACTOR are herewith outlined in the General
Contract (Attachment E) and the Special Contract Provisions (Attachment A), which are hereby
incorporated into and made a part of this Contract as if set out word-for-word herein.
Article 3: Purpose
(a). The purpose of this Contract is to accomplish the goals of the Solid Waste Disposal Act
of 1989, as amended, as they relate to distributing solid waste fee revenue funds to
support local and regional solid waste projects consistent with the regional solid waste
management plans approved by the TCEQ and to update and maintain those plans.
CAPCO FY2004 Solid Waste Interlocal Contract 21
(b). Under the overall goals of the funding program the purposes of this Contract are:
1. To enable CAPCO to carry out or conduct various municipal solid waste
management -related services and support activities within CAPCO's regional
jurisdiction; and
2. To enable CAPCO to report to the Legislature and promote the continuation of pass-
through grant funding; and
3. To administer an efficient and effective, region -wide, pass-through (subgrantee)
assistance grants program and/or, where authorized by CAPCO in accordance with
Article 5 of this Attachment, to conduct various CAPCO - managed projects.
(c). The specific purposes of this grant Contract, to implement paragraph (b) above are:
To provide equipment to the citizens of Round Rock to promote household
hazardous waste management. Both the storage facility and used oil
collection tanks will help implement CAPCO's Goal #1: Develop and manage
a HHW collection and diversion program.
Article 4: Eligible Entities
(a). Only those local and regional political subdivisions located within the State of Texas as
listed below are eligible to receive funding from CAPCO as a pass-through grant:
1. Cities;
2. Counties;
3. Public schools and school districts (does not include Universities or post secondary
educational institutions); and
4. Other general and special law districts created in accordance with state law, and with
the authority and responsibility for water quality protection or municipal solid waste
management, to include river authorities.
(b). Local and regional political subdivisions that are subject to the payment of state solid
waste disposal fees and whose fee payments are in arrears, as determined by CAPCO,
are not eligible to receive pass-through grant funding from CAPCO. CAPCO shall allow
a potential pass-through grant applicant that is listed as being in arrears in its fee
payments the opportunity to provide documentation of payment of the fees owed the
state. If the potential applicant provides CAPCO with documentation of payment of the
fees, such as a canceled check or receipt from the state, CAPCO may consider that
applicant to be eligible to receive pass-through grant funding under this Contract.
CAPCO FY2004 Solid Waste Interlocal Contract
22
Article 5: Implementation Project Categories
The standards and requirements set forth in this Article shall apply to all implementation projects
funded under this Agreement. CAPCO shall be responsible for ensuring that the
implementation projects funded under this Agreement comply with the standards set forth in this
Article.
(a). Eligible Implementation Funding Recipients. Only those local and regional political
subdivisions located within the State of Texas as set forth in this Section are eligible to
receive funding from CAPCO as a pass-through grant.
1. Cities.
2. Counties.
3. Public schools and school districts (does not include Universities or post secondary
educational institutions).
4. Other general and special law districts created in accordance with state law, and with
the authority and responsibility for water quality protection or municipal solid waste
management, to include river authorities.
5. Councils of Governments.
(b). Implementation Project Categories. CAPCO 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.
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.
i) 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.
ii) 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 illegal dumping, general community cleanup events that
may include the cleanup and transportation of general litter and materials may be
authorized under a separate category.
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
CAPCO FY2004 Solid Waste Interlocal Contract 23
under this category may include: diversion from the waste stream and/or collection,
processing for transport, and transportation of materials for reuse 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.
i) 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.
ii) 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.
iii) Programs aimed at efficiency improvements in a local governments solid waste
management system to increase the source reduction of solid waste must be
coordinated with the TCEQ. Any program to develop a full -cost accounting
system shall utilize the full -cost accounting guidance prepared by the TCEQ.
iv) 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.
3. Citizens' Collection Stations, Community Collection Events, 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 the TCEQ's Municipal Solid Waste regulations (30 TAC Chapter
330, §330.2). Municipal Solid Waste Transfer Stations that qualify for registration
under §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.
i) Transfer stations that require a permit from the TCEQ may not be funded.
ii) Municipal solid waste transfer stations that qualify for registration under
§330.4(d)(1)- (3) of the Municipal Solid Waste regulations may be funded.
iii) Transfer stations that qualify for a registration solely due to their location within a
permitted municipal solid waste facility, under §330.4(d)(4), may not be funded.
CAPCO FY2004 Solid Waste Interlocal Contract 24
iv) 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
Waste 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.
v) 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 Tess.
vi) 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.
vii) Transfer stations that require a registration must have already received that
registration from the TCEQ before a grant may be awarded.
4. 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 chemicals 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.
i) Projects under this category must be coordinated with the TCEQ to ensure that
all applicable regulations and guidelines are followed.
ii) Funds provided under this Agreement may not be used for programs and
activities related to the collection and management of commercial or industrial
hazardous wastes.
iii) 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.
5. 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
CAPCO FY2004 Solid Waste Interlocal Contract 25
limitations on travel expenses. Funding limitations specific to this category are set
forth in this Section.
i) Programs and projects funded under this category shall be primarily related to
issues involved in the management of 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.
Article 6: Liability Insurance
(a). Contractor agrees to maintain its own commercial general liability insurance, or the
equivalent in amount and coverage of self-insurance, during the term of this Contract
and to name CAPCO an additional insured on the policy Contractor agrees to provide
the minimum primary insurance coverage of $500,000 general aggregate and $250,000
each occurrence plus $500,000 excess coverage.
(b). Contractor's liability insurance must contain provisions, to the extent legally permitted,
that the insurer will notify CAPCO in writing at least 10 calendar days in advance of (1)
cancellation of non -renewal of the policy; (2) any reduction in the policy amounts; and (3)
deletion of CAPCO as an additional insured.
(c). SUBCONTRACTOR agrees to furnish CAPCO with a certificate of the Contractor's
commercial liability insurance or copy of its policy, or to certify in writing that it has in
force the equivalent amount and coverage of self-insurance, within 30 calendar days
after the date this Contract is signed on behalf of CAPCO.
(d). SUBCONTRACTOR shall maintain and supervise all safety precautions and programs in
connection with its performance of the work program.
Article 7: Audit/Access to Records
(a). The SUBCONTRACTOR 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 Contract, including negotiated changes or
amendments thereto, in accordance with accepted professional practice, appropriate
accounting procedures and practices at the SUBCONTRACTOR'S Texas office. The
SUBCONTRACTOR shall also maintain and make available at its Texas Office the
financial information and data used by the SUBCONTRACTOR 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 Contract or any negotiated sub -
agreement or change order and a copy of the cost summary submitted to CAPCO.
CAPCO, TCEQ, Texas State Auditor's Office or any of CAPCO'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, SUBCONTRACTOR'S books, records, and other
CAPCO FY2004 Solid Waste Interlocal Contract 26
pertinent documents may, upon prior conference with the SUBCONTRACTOR, be
copied by CAPCO or any of its duly authorized representatives. All such information
shall be handled by the parties in accordance with good business ethics. The
SUBCONTRACTOR shall provide proper facilities within the State of Texas for such
access and inspection.
(b). 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.
(c). The SUBCONTRACTOR agrees to the disclosure of all information and reports resulting
from access to records pursuant to Section (a) above to CAPCO. Where the audit
concerns the SUBCONTRACTOR, the auditing agency will afford the
SUBCONTRACTOR an opportunity for an audit exit conference and an opportunity to
comment on the pertinent portions of the draft audit report.
(d). Records under Sections (a) above shall be maintained and made available during the
entire period of performance of this Contract and until three (3) years from date of final
CAPCO 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 has been taken shall be maintained and made available until
completion of such action and resolution of all issues which arise from it, or until the end
of the regular three-year period, whichever is later.
(e). Access to records is not limited to the required retention periods. The authorized
representatives designated in Section (a) of this Article shall have access to records at
any reasonable time for as long as the records are maintained.
This audit/access to records Article applies to financial records pertaining to all
subagreements and all subagreement change orders and amendments. In addition, this
right of access applies to all records pertaining to all subagreements, subagreement
change orders and subagreement amendments: to the extent the records reasonably
pertain to subagreement performance; if there is any indication that fraud, gross abuse
or corrupt practices may be involved; or if the subagreement is terminated for default or
for convenience.
(f).
(g).
CAPCO reserves the right to require the reimbursement of any over -payments
determined as a result of any audit or inspection of records kept by the
SUBCONTRACTOR on work performed under this Contract.
(h). The SUBCONTRACTOR agrees to include Sections (a) through (g) of this Article in all
subagreements and all change orders directly related to project performance.
Article 8: Independent Financial Audit
The SUBCONTRACTOR shall adhere to the Single Audit requirements of the UGMS. The
SUBCONTRACTOR shall deliver to CAPCO any applicable audit report within thirty (30) days of
completion of the audit report. The SUBCONTRACTOR is responsible for including the Single
Audit requirements in all subagreements and shall be responsible for insuring adherence to
those requirements by all subgrantees and subcontractors.
CAPCO FY2004 Solid Waste Interlocal Contract 27
CAPCO reserves the right to conduct or cause to be conducted an independent audit of all
funds received under this Contract which may be performed by the local government audit staff,
a certified public accountant firm, or other auditors as designated by CAPCO, at CAPCO's
expense. Such audit will be conducted in accordance with applicable professional standards
and practices. SUBCONTRACTOR understands and agrees that the SUBCONTRACTOR shall
be liable to CAPCO for any costs disallowed as a result of audit.
Article 9: Amendments to Contract
Any alterations, additions, or deletions to the terms of this Contract which are required by
changes in Federal Law or Regulations are automatically incorporated into this Contract without
written amendment hereto, and shall become effective on the date designated by such law or
regulation, provided if the SUBCONTRACTOR may not legally comply with such change,
SUBCONTRACTOR may terminate its participation herein as authorized by Article 10.
CAPCO may, from time to time, require changes in the Scope of the Services of the
SUBCONTRACTOR to be performed hereunder. Such changes that are mutually agreed upon
by and between CAPCO and the SUBCONTRACTOR in writing shall be incorporated into this
Contract.
Any changes in personnel whose salaries are funded under this Contract or any other Contract
amendments, including increasing or decreasing the amount of total funding, altering budget
category allocations, extending or shortening the term of the agreement, or making significant
changes in the scope of work, schedule or deliverables, must be approved in advance by
CAPCO. A detailed description of the proposed change(s) shall be submitted in writing by the
SUBCONTRACTOR to CAPCO for approval. Authorization to amend the Contract will be
documented in writing and copies of the authorization retained in the files of both CAPCO and
SUBCONTRACTOR.
Article 10: Termination of Contract for Convenience
a) CAPCO may terminate this Contract in whole or part for its convenience. CAPCO
terminates this Contract for convenience by giving SUBCONTRACTOR at least 30
calendar days notice of the termination, specifying the termination date, and describing
the part or arts terminated.
b) Upon receipt of the termination notice, SUBCONTRACTOR agrees to stop work on or
before the termination date, cancel all subcontracts and orders entered into under this
Contract, and settle all claims resulting from cancellation of the subcontracts and orders.
If CAPCO terminates only part of the Contract, Contractor agrees to complete the un-
terminated part if CAPCO so requests.
c) At CAPCO's request, following termination of the Contract for convenience,
SUBCONTRACTOR agrees to transfer title and deliver to CAPCO, at CAPCO's
expense, all work produced in performing this Contract. SUBCONTRACTOR agrees to
preserve and protect the work until it is delivered to CAPCO.
CAPCO FY2004 Solid Waste Interlocal Contract 28
d) SUBCONTRACTOR agrees to submit to CAPCO a written termination c:aim itemizing
and documenting the amounts due because of termination of the Contract. If Contractor
does not submit the termination claim within 90 calendar days from the effective date of
termination, SUBCONTRACTOR's termination claim is barred.
e) If SUBCONTRACTOR's termination claim is timely submitted, complete, and correct,
CAPCO agrees to pay SUBCONTRACTOR the following amounts in full settlement of
SUBCONTRACTOR's termination claim: (1) the reasonable cost of all work performed
through the date of termination; and (2) the reasonable cost of settling and paying claims
resulting from cancellation of subcontracts and orders. However, CAPCO's total
payment under this paragraph may not exceed the total Contract price, less amounts
already paid SUBCONTRACTOR under this Contract, any lawful offsets, and the
Contract price for any work not terminated.
Article 11: Suspension or Termination of Contract for Unavailability of Funds
a) SUBCONTRACTOR acknowledges that CAPCO is a governmental entity without taxing
power and that its only source for paying SUBCONTRACTOR under this Contract is the
Municipal Solid Waste Disposal and Transportation Revenue Fee administered by
TCEQ under Contract with CAPCO. If TCEQ suspends or terminates its Contract with
CAPCO, SUBCONTRACTOR agrees that CAPCO may suspend its payment obligations
under or terminate this Contract in whole or part if CAPCO learns that funds to pay for all
or part of the goods or services will not be available at the time of delivery or
performance. If CAPCO suspends or terminates only part of this Contract for
unavailability of funds, SUBCONTRACTOR agrees to perform the unsuspended or
unterminated part if CAPCO so requests.
b) CAPCO suspends or terminates this Contract for unavailability of funds by giving
SUBCONTRACTOR notice of the suspension or termination, as soon as it learns of the
funding unavailability, specifying the suspension or termination date, and describing the
part or parts suspended or terminated. CAPCO agrees to promptly return to
SUBCONTRACTOR at CAPCO's expense any goods Contractor shipped to CAPCO
before receiving notice of suspension or termination.
c) If this Contract is terminated for unavailability of funds under this Article 11,
SUBCONTRACTOR is entitled to compensation for goods it furnished and services it
performed before it received notice of termination. However, CAPCO is not liable to
SUBCONTRACTOR for costs it paid or incurred under this Contract after or in
anticipation of its receipt of notice of termination.
Article 12: Termination for Breach of Contract
(a). If CAPCO or SUBCONTRACTOR breaches a material provision of this Contract, the
other may notify the breaching party describing the breach and demanding corrective
action. The breaching party has five business days from its receipt of the notice to
correct the breach, or to begin and continue with reasonable diligence and in good faith
to correct the breach. If the breach cannot be corrected within a reasonable time,
despite the breaching party's reasonable diligence and good faith effort to do so, either
party may terminate the Contract for breach by notifying the other party of the
CAPCO FY2004 Solid Waste Interlocal Contract 29
termination date, which may be no sooner than 10 calendar days from the notice date, or
either party may invoke the dispute resolution process of Article 18.
(b). If this Contract is terminated for breach under Subsection (a), Contractor is entitled to
compensation for services it performed and goods it provided before it received notice of
termination. However, CAPCO is not liable to Contractor for costs it paid or incurred
under this Contract after or in anticipation of its receipt of notice of termination.
(c). Termination for breach under Subsection (a) does not waive CAPCO's claim for
damages resulting from the breach, and CAPCO among other remedies may withhold
from compensation owed Contractor an amount necessary to satisfy CAPCO's claim.
Article 13: Severability
All parties agree that should any provision of this Contract be determined to be invalid or
unenforceable, such determination shall not affect any other term of this Contract, which shall
continue in full force and effect.
Article 14: Data and Publicity
All data and other information developed under this Contract shall be furnished to CAPCO 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, TEX. GOV'T CODE Chapter 552. Upon
termination of this Contract, all data and information shall become the joint property of CAPCO
and the SUBCONTRACTOR.
Article 15: Intellectual Property
(a). 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, specifications, computer programs, technical reports,
operating manuals, or other copyrightable materials, and 3) any other materials in which
intellectual property rights may be obtained.
(b). If the SUBCONTRACTOR conceives of, actually puts into practice, discovers, invents or
produces any intellectual property during the course of its work under this Contract, it
shall report that fact to CAPCO.
(c). The SUBCONTRACTOR may obtain governmental protection for rights in the intellectual
property. However, CAPCO and TCEQ hereby reserve 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. CAPCO and TCEQ also reserve 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 sale or otherwise (to
the extent consistent with the rights of third parties) any intellectual property for which
the SUBCONTRACTOR obtains rights with funds received under this Contract.
CAPCO FY2004 Solid Waste Interlocal Contract 30
(d). In performing work under this Contract, the SUBCONTRACTOR shall comply with all
laws, rules, and regulations relating to intellectual property, and shall not infringe on any
third party's intellectual property rights. It shall hold CAPCO and the TCEQ harmless
for, and to the extent permitted by the laws and Constitution of the State of Texas,
defend and indemnify CAPCO against, any claims for infringement related to its work
under this Contract.
Article 16: Energy Efficiency Standards
The SUBCONTRACTOR is encouraged to follow standards and policies on energy efficiency
which are contained in the Texas State Energy Conservation Plan issued in compliance with the
Energy Policy and Conservation Act (P.L. 94-163).
Article 17: Identification of Funding Sources
The SUBCONTRACTOR shall acknowledge the financial support of the TCEQ and CAPCO
whenever work funded, in whole or part, by this Contract is publicized or reported in news media
or publications. All reports and other documents completed as a part of this Contract, other
than documents prepared exclusively for internal use within CAPCO, shall carry the following
notation on the front cover or title page:
FINANCED WITH FUNDS FROM
THE TEXAS COMMISSION ON ENVIRONMENTAL QUALITY (TCEQ)
THROUGH THE CAPITAL AREA PLANNING COUNCIL (CAPCO)
Article 18: Dispute Resolution
(a). The parties desire to resolve disputes arising under this Contract without litigation.
Accordingly, if a dispute arises, the parties agree to attempt in good faith to resolve the
dispute between themselves. To this end, the parties agree not to sue one another,
except to enforce compliance with this Article 18, until they have exhausted the
procedures set out in these subsections.
(b). At the written request of either party, each party shall appoint one non -lawyer
representative to negotiate informally and in good faith to resolve any dispute arising
under this Contract. The representatives appointed shall determine the location, format,
frequency, and duration of the negotiations.
(c). If the representatives cannot resolve the dispute within 30 calendar days after the first
negotiation meeting, the parties agree to refer the dispute to the Dispute Resolution
Center of Austin for mediation in accordance with the Center's mediation procedures by
a single mediator assigned by the Center. Each party shall pay half the cost of the
Center's mediation services.
(d). The parties agree to continue performing their duties under this Contract, which are
unaffected by the dispute, during the negotiation and mediation process.
CAPCO FY2004 Solid Waste Interlocal Contract 31
Article 19: Oral and Written Contracts
All oral or written agreements between the parties hereto relating to the subject matter of this
Contract which were developed and executed prior to the execution of this Contract have been
reduced to writing and are contained herein.
Article 20: Nondiscrimination and Equal Opportunity
(a). Subsection (b) summarizes the nondiscrimination requirements applicable to
SUBCONTRACTOR's performance under this Contract that are set out in detail in title
41, chapter 60, and title 28, parts 35 and 36, Code of Federal Regulations. The
SUBCONTRACTOR agrees to comply with the detailed requirements.
(b). SUBCONTRACTOR shall not exclude anyone from participating under this Contract,
deny anyone benefits under this Contract, or otherwise unlawfully discriminate against
anyone in carrying out this Contract because of race, color, religion, sex, age, disability,
handicap, or national origin.
Article 21: Utilization of Small, Minority, and Women's Business Enterprises
(a). A Historically Underutilized Business (HUB) is a Corporation, Sole Proprietorship,
Partnership, or Joint Venture in which as least 51 percent is owned, operated, controlled
and actively managed by a person or persons who are historically underutilized (socially
disadvantaged) because of their identification with members of certain groups, including
Black Americans, Hispanic Americans, Asian Pacific Americans, Native Americans
(American Indians) and Women who suffered the effects of discriminatory practices or
similar insidious circumstances over which they have no control.
(b). The SUBCONTRACTOR agrees that qualified Historically Underutilized Businesses
(HUBs) shall have the maximum practicable opportunity to participate in the
performance of this Contract.
Article 22: Force Majeure
(a). Subject to the requirements of Subsections (b) and (c) and the limitation of Subsection
(d), a party's obligations under this Contract are suspended during any period the party
is unable to perform its obligations because of work stoppage or strike resulting from a
labor dispute; fire, flood, wind, earthquake, or other natural disaster; epidemic, riot,
sabotage, rebellion, or war; governmental intervention; or other cause beyond the party's
control.
(b). Subsection (a) does not apply unless the party invoking it notifies the other party of the
force majeure event within five business days after it occurs, describing the nature of the
event in detail and estimating its likely duration. The party invoking Subsection (a) has
the burden of proving that the force majeure event exists.
CAPCO FY2004 Solid Waste Interlocal Contract 32
(c). If the other party is reasonably satisfied that the force majeure event exists, it shall notify
the invoking party that the obligations of this Contract are suspended from the effective
date of the event throughout its duration. The party invoking Subsection (a) shall notify
the other party within five business days after the force majeure event ends. When the
force majeure event ends, the obligations of this Contract are reinstated for the
remainder of the Contract's term.
(d). If the obligations of this Contract are suspended because of a force majeure event for a
cumulative period of more than 30 calendar days, either party may terminate this
Contract in whole or part for convenience under Article 10.
Article 23: Conflict of Interest
(a). SUBCONTRACTOR agrees to comply with its internal policy prohibiting conflict of
interest and with Chapter 171 of the TEX. LOCAL GOVT. CODE ANN. in carrying out
this Contract.
(b). If SUBCONTRACTOR learns that one of its governing body members, officers,
employees, or agents has violated or may violate its internal policy or Chapter 171,
SUBCONTRACTOR agrees promptly to take corrective and appropriate disciplinary
action and to notify CAPCO in writing of the actual or potential violation and the
corrective and disciplinary action taken.
Article 24: Miscellaneous
(a). All representations and warranties of SUBCONTRACTOR, together with all continuing
obligations described in this Contract, survive the ending or early termination of this
Contract.
(b). This Contract states the entire agreement of the parties, and an amendment to it is not
effective unless in writing and signed by both parties.
(c). This Contract is binding on and inures to the benefit of the parties' successors in interest.
(d). This Contract is performable in Travis County, Texas, and Texas law governs the
interpretation and application of this Contract.
(e). This Contract is executed in duplicate originals.
CAPCO FY2004 Solid Waste Interlocal Contract 33