HomeMy WebLinkAboutPACKET Town Board 2021-08-24The Mission of the Town of Estes Park is to provide high‐quality, reliable services
for the benefit of our citizens, guests, and employees, while being good stewards
of public resources and our natural setting.
The Town of Estes Park will make reasonable accommodations for access to Town services,
programs, and activities and special communication arrangements for persons with disabilities.
Please call (970) 577-4777. TDD available.
BOARD OF TRUSTEES - TOWN OF ESTES PARK
Tuesday, August 24, 2021
7:00 p.m.
Board Room
170 MacGregor Avenue
Estes Park, CO 80517
In Person Meeting – Mayor, Trustees, Staff and Public
ADVANCED PUBLIC COMMENT
By Public Comment Form: Members of the public may provide written public comment on a specific
agenda item by completing the Public Comment form found at
https://dms.estes.org/forms/TownBoardPublicComment. The form must be submitted by 12:00 p.m.,
Tuesday, August 24, 2021. All comments will be provided to the Board for consideration during the
agenda item and added to the final packet.
OPTIONAL REMOTE PUBLIC PARTICIPATION DURING BOARD MEETING
Remote options for participation in the meeting will be available by call-in telephone option or online
via Zoom Webinar which will be moderated by the Town Clerk’s Office. Instructions are also available
at www.estes.org/boardsandmeetings by clicking on “Virtual Town Board Meeting Participation”.
Individuals participating in the Zoom session should also watch the meeting through that site, and not
via the website, due to the streaming delay and possible audio interference.
CALL-IN (TELEPHONE OPTION):877-853-5257 (toll-free) Webinar ID: 982 1690 2040
ONLINE (ZOOM WEBINAR): https://zoom.us/j/98216902040 Webinar ID: 982-1690-2040.
PLEDGE OF ALLEGIANCE.
(Any person desiring to participate, please join the Board in the Pledge of Allegiance).
AGENDA APPROVAL.
PUBLIC COMMENT. (Please state your name and address).
TOWN BOARD COMMENTS / LIAISON REPORTS.
TOWN ADMINISTRATOR REPORT.
CONSENT AGENDA:
1. Bills.
2. Town Board Minutes dated August 10, 2021 and Town Board Study Session Minutes
dated August 10, 2021.
3. Audit Committee Minutes dated August 11, 2021.
Prepared 08-13-2021
*Revised
Page 1
NOTE: The Town Board reserves the right to consider other appropriate items not available at the time the agenda was
prepared.
4. Estes Park Planning Commission Minutes dated June 15, 2021 and Estes Park
Planning Commission Study Session Minutes dated July 20, 2021 (acknowledgement
only).
5. Estes Park Comprehensive Plan Advisory Committee Minutes dated July 22, 2021
(acknowledgement only).
6. Policy 208 - Naming of Town-Owned Parks, Open Spaces, and Facilities.
7. Resolution 63-21 Approving an Intergovernmental Agreement with CDOT for FTA
5339(b) Grant Funding for the Design of Two Large Vehicle Bays to Store Two Electric
Battery Trolley Buses (CDOT PO #491002610).
ACTION ITEMS:
1. ACCEPT DELIVERY OF THE AUDITED FINANCIAL STATEMENTS FOR THE
YEAR ENDING DECEMBER 31, 2020. Director Hudson.
Formally accept the Haynie & Company audit of the Comprehensive Annual Financial
Report (CAFR), including the Single Audit Reports, for the year ended December 31,
2020.
2. APPOINTMENT OF HAYNIE & COMPANY TO PERFORM THE AUDIT OF THE
COMPREHENSIVE ANNUAL FINANCIAL REPORT FOR THE YEAR ENDING
DECEMBER 31, 2021. Director Hudson.
Appointment of Haynie & Company to perform the Town’s audit of the 2021 CAFR,
which will be the second year of a five-year engagement.
3. UTILITIES REORGANIZATION AND STAFFING INCREASE. Director Bergsten.
The increased workload from the current multimillion-dollar capital projects and
Trailblazer Broadband requires additional staffing and a new structure.
REPORTS AND DISCUSSION ITEMS:
1. VACATION HOME PHILOSOPHY. Town Clerk Williamson/Attorney Kramer.
Continue the August 10, 2021 Town Board Study Session discussion related to
transferability, residential cap, and potential revenue sources.
REQUEST TO ENTER EXECUTIVE SESSION:
For a conference with an attorney for the Board for the purposes of receiving legal
advice on specific legal questions - Section 24-6-402(4}(b}, C.RS., and for the purpose
of determining positions relative to matters that may be subject to negotiations,
developing strategy for negotiations, and/or instructing negotiators - Section 24-6-
402(4}(e}, C.RS. - Regarding the Water Service Agreement with the YMCA of the
Rockies.
ADJOURN.
Page 2
Q)__TownofEstesParkSIGN-INSHEETFORPUBLICCOMMENTIndividualswishingtobeheardduringPublicCommentproceedingsareencouragedtobepreparedandwillgenerallybelimitedto()minutesinordertoalloweveryonetheopportunitytobeheard.PublicCommentsareexpectedtobeconstructive.WrittencommentsarewelcomeandshouldbegiventotheTownClerkpriortothestartofthemeeting.TownBoardMeetingAugust24,2021GENERALPUBLICCOMMENTTOICF-FORNAME(PLEASEPRINT)STREETADDRESSA-AGAINST,31yc1(Vkx\‘w\9I-ä4ozj32CA+A(pV191W&t5)(4)1011121314Page 3
Page 4
Town of Estes Park, Larimer County, Colorado, August 10, 2021
Minutes of a Regular meeting of the Board of Trustees of the Town of Estes
Park, Larimer County, Colorado. Meeting held in the Town Hall in said Town
of Estes Park on the 10th day of August, 2021.
Present: Wendy Koenig, Mayor
Patrick Martchink, Mayor Pro Tem
Trustees Carlie Bangs
Marie Cenac
Barbara MacAlpine
Scott Webermeier
Cindy Younglund
Also Present: Travis Machalek, Town Administrator
Dan Kramer, Town Attorney
Jackie Williamson, Town Clerk
Reuben Bergsten, Utilities Director
Chris Eshelman, Water Plant Superintendent and
Deputy Town Clerk Beers
Absent: None
Mayor Koeing called the regular meeting to order at 7:00 p.m. and all desiring to do so,
recited the Pledge of Allegiance.
AGENDA APPROVAL.
It was moved and seconded (Cenac/Bangs) to approve the Agenda, and it passed
unanimously.
PUBLIC COMMENTS.
None.
TRUSTEE COMMENTS.
Trustee comments were heard and have been summarized: Behavioral Health Services
would be considering the distribution of $2.5 million in impact funds across applications
requesting a total of $4.7 million in grants; and a presentation was attended through the
Fort Collins Rescue Mission who operate the Harvest Farm program for addiction
rehabilitation for adult males which has been successful.
TOWN ADMINISTRATOR REPORT.
None.
CONSENT AGENDA:
1.Bills.
2.Town Board Minutes dated July 27, 2021 and Town Board Study Session
Minutes dated July 27, 2021.
3.Parks Advisory Board Minutes dated May 20, 2021 (acknowledgement only).
4. Transportation Advisory Board Minutes dated June 16, 2021 (acknowledgement
only).
5.Resolution 62-21 Setting a Show Cause Liquor Hearing for Galex LLC dba
Chelitos Mexican Restaurant, 145 E. Elkhorn Avenue, Hotel and Restaurant
Liquor License on September 14, 2021.
It was moved and seconded (Martchink/Webermeier) to approve the Consent
Agenda, and it passed unanimously. DRAFTPage 5
Board of Trustees – August 10, 2021 – Page 2
ACTION ITEMS:
1. ORDINANCE 11-21 AMENDING CHAPTER 13.24 OF THE ESTES PARK
MUNICIPAL CODE REGARDING AGREEMENTS TO PROVIDE RAW WATER.
Mayor Koenig opened the public hearing. Director Bergsten stressed the
importance of responsible management of raw water resources. Staff foresees
an increase in the number of replacement water requests as the State Water
Commissioner increases their effort to audit augmentation plans which include
private wells. The raw water lease agreements are beneficial to the local
economy and the surrounding communities although they tie up Town water
rights. Staff proposed requiring Town Board approval of raw water agreements
lasting longer than one year and a provision which states staff shall not process
agreements for properties which could reasonably connect to the Town’s water
system. Board comments have been summarized: Questioned what alternatives
exist outside of connecting to Town water resources; whether the change would
be retroactive, and who are considered typical clients requesting raw water
resources. Attorney Kramer stated augmentation plans which are solely for
agricultural or irrigation purposes are exempt due to generally not requiring
treated water. The Mayor closed the public hearing and it was moved and
seconded (Martchink/Younglund) to approve Ordinance 11-21, and it passed
unanimously.
REQUEST TO ENTER EXECUTIVE SESSION:
It was moved and seconded (Younglund/MacAlpine) to enter into Executive Session
for discussion of specialized details of security arrangements or investigations –
section 24-5-402(4)(d). C.R.S. – Regarding Board Security, and it passed
unanimously.
Mayor Koenig recessed the meeting at 7:20 p.m. The Board entered executive
session at 7:35 p.m. and concluded the executive session at 8:38 p.m.
Mayor Koenig reconvened the regular meeting at 8:40 p.m.
Whereupon Mayor Koenig adjourned the meeting at 8:40 p.m.
Wendy Koenig, Mayor
Bunny Victoria Beers, Deputy Town Clerk DRAFTPage 6
Town of Estes Park, Larimer County, Colorado August 10, 2021
Minutes of a Study Session meeting of the TOWN BOARD of the Town of
Estes Park, Larimer County, Colorado. Meeting held at Town Hall in the
Board Room in said Town of Estes Park on the 10th day of August, 2021.
Board: Mayor Koenig, Mayor Pro Tem Martchink, Trustees Bangs,
Cenac, MacAlpine, Webermeier, and Younglund
Attending: All
Also Attending: Town Administrator Machalek, Assistant Town
Administrator Damweber, Town Attorney Kramer, Recording
Secretary Disney, Town Clerk Williamson, and Manager
Solesbee
Absent: None.
Mayor Koenig called the meeting to order at 4:45 p.m.
VACATION HOME PHILOSOPHY.
Town Clerk Williamson and Town Attorney Kramer provided background on the
vacation home philosophy and sought direction from the Town Board on transferability,
the cap for residentially zoned properties, taxes and fees on vacation homes, and
provided a brief update on the life safety inspection requirements for window wells.
The Board discussed the number of licenses, waitlist requirements, complaints on
residentially zoned vacation homes, non-compliant short-term rentals, commercial
property taxes for short-term rentals, costs of a fee study, current licensing fees,
occupation taxes, the value of a license when selling a property, the amount of revenue
which could be potentially generated, and the level of stress on staff to remove
transferability. A continuation of the discussion was scheduled as a report and
discussion item for the August 24, 2021 Town Board meeting.
MID-SEASON UPDATE ON PAID PARKING.
Manager Solesbee provided a mid-season update on paid parking and highlighted
successes of the increased usage of free parking areas, decreased traffic congestion,
and budgeting. She stated improvements could be made with signage, transaction
times, and staffing. The Board discussed a survey of business owners following the paid
parking season, effects of paid parking on Town staff and volunteers, the Wi-Fi stations,
and real-time availability of shuttles.
SEMI-ANNUAL COMPLIANCE REVIEW WITH BOARD GOVERNING POLICIES –
POLICY 1.10 SELF-MONITORING OF THE BOARD. Mayor Koenig reported
compliance with Policy 1.10 Self-Monitoring, requiring semi-annual review by the Board.
TRUSTEE & ADMINISTRATOR COMMENTS & QUESTIONS.
None.
FUTURE STUDY SESSION AGENDA ITEMS.
Town Administrator Machalek requested and it was determined to schedule the Larimer
County Early Childhood Policy for September 14, 2021, the Fund Balance Policy
Review and the Future Fire Safety in the Estes Valley for September 28, 2021, and the
Trailblazer Broadband Project Update for October 12, 2021.
There being no further business, Mayor Koenig adjourned the meeting at 6:40 p.m.
Kimberly Disney, Recording Secretary DRAFTPage 7
Town of Estes Park, Larimer County, Colorado, August 11, 2021
Minutes of a Regular meeting of the AUDIT COMMITTEE of the Town of
Estes Park, Larimer County, Colorado. Meeting held in the Municipal
Building and Virtually in said Town of Estes Park on the 11th day of August,
2021.
Committee: Mayor Koenig, Mayor Pro Tem Martchink, Trustee
MacAlpine, Town Administrator Machalek, Finance Director
Hudson, and Accounting Manager Garcia
Attending: Mayor Koenig, Mayor Pro Tem Martchink, Trustee
MacAlpine, Town Administrator Machalek, Finance Director
Hudson, Accounting Manager Garcia, Deputy Town Clerk
Beers, and Auditors Ty Holman and Abbie Irvine
Absent: None
Mayor Koenig called the meeting to order at 4:01 p.m.
2020 COMPREHENSIVE ANNUAL FINANCIAL REPORT (CAFR) AND AUDIT
REVIEW. Ty Holman and Abbie Irvine, Hayine & Company reviewed the audit scope,
required communication in accordance with audit standards, financial highlights and
new accounting pronouncements and general observations. Irvine stated the Town’s net
position was positive in 2020 while medical claims were higher than anticipated.
Clarification was requested on audit adjustments related to pension and other post-
employee benefits (OPEB) reporting.
Director Hudson stated the audit would be presented to the Town Board on August 24,
2021 as an action item.
CONSIDER APPOINTMENT OF HAYNIE & COMPANY TO PERFORM THE 2021
AUDIT. Director Hudson stated the audit process in 2020 was completed without an
extension for the first time in several years and recommended appointment of Hayine &
Company to perform the 2021 audit which the committee was in agreement.
There being no further business, Mayor Koenig adjourned the meeting at 4:45 p.m.
Bunny Victoria Beers, Deputy Town Clerk DRAFTPage 8
1
Town of Estes Park, Larimer County, Colorado, June 15, 2021
Minutes of a Regular meeting of the ESTES PARK PLANNING
COMMISSION of the Town of Estes Park, Larimer County, Colorado.
Meeting held VIRTUALLY in said Town of Estes Park on the 15 day of June
2021.
Committee: Chair Matt Comstock, Vice-Chair Matthew Heiser,
Commissioners Joe Elkins, Howard Hanson, Janene
Centurione.
Attending: Chair Comstock, Vice-Chair Heiser, Commissioner
Centurione, Commissioner Elkins, Commissioner Hanson,
Director Randy Hunt, Senior Planner Jeff Woeber, Planner II
Alex Bergeron, Planning Technician Charlie Rugaber,
Recording Secretary Karin Swanlund, Town Attorney Dan
Kramer, Town Board Liaison Barbara MacAlpine, Pavement
Manager Ryan Barr, Public Works Director Greg Muhonen
Absent: none
Chair Comstock called the meeting to order at 1:30 p.m. Also attending were Matt Ashby
and Mike Scholl, Ayres Associates consultants.
AGENDA APPROVAL
It was moved and seconded (Heiser/Hanson) to approve the agenda. The motion
passed 5-0.
PUBLIC COMMENT.
None
CONSENT AGENDA APPROVAL
It was moved and seconded (Heiser/Elkins) to approve the consent agenda. The
motion passed 5-0.
ACTION ITEMS
1. CODE AMENDMENT: WIRELESS TELECOM FACILITIES
Senior Planner Woeber
Staff requested this item be continued to the July 20, 2021 meeting.
It was moved and seconded (Heiser/Hanson) to continue the Code Amendment to
July 20, 2021. The motion passed 5-0.
Page 9
2
2. LOCATION AND EXTENT: BIG THOMPSON RECREATION AREA
Planner II Bergeron
The Town of Estes Park Public Works Department, through its Parks division,
proposes to install three new picnic shelters (each with a table and benches), a
climbing boulder with a safety pad, a garden, a new walkway, and some rock steps
(for river access) at the Big Thompson Recreational & Picnic Area. The Town's
Public Works Department pursued and was awarded a Great Outdoors Colorado
(GOCO) grant. The Parking Structure, which went through a development plan
review and approval process (along with a variance process) in 2014, received a
formal Location and Extent (L&E) Review. For that reason is included in this review.
No further improvements are proposed in this L&E Review or modified Development
Plan for the completed Parking Structure. Staff recommended approval of the
location and extent of the public improvements and the associated revised
Development Plan.
Vice-Chair Heiser asked if the Town has authority to regulate the Bureau of
Reclamation property. Planner Bergeron confirmed that the federal government
gave authorization through a Special Use Permit, which is understood as the
controlling document. Attorney Kramer stated that any property in town limits could
be regulated under our development code, with some special exemptions.
The internal review produced a staff comment noting that an underground power line
runs through the site. Pavement Manager Barr confirmed that the location is known
and structures will not be built over the buried power line. Attorney Kramer noted
that this review is to make sure there is no impact on the neighborhood or anything
missed in the study by staff. In response to a question on the matter, Public Works
Director Muhonen stated that separation between the west driveway and the
proposed park area is unnecessary as there is no active traffic on that driveway. It is
only used by the Bureau of Land Management during the dredging of the river.
Heiser asked for clarification on prior conditions of approval from the former
Planning Commission and Board of Adjustment were met and Director Hunt
confirmed that the Parking Garage does have a Certificate of Occupancy.
PUBLIC COMMENT: none
It was moved and seconded (Hanson/Centurione) to APPROVE the described
Location and Extent Review and the associated modified Development Plan. The
motion passed 5-0.
DISCUSSION ITEMS:
DOWNTOWN BUILDING HEIGHT:
Constultants from Ayres Associates Mike Scholl and Matt Ashby reviewed the
why/what/how of the Code amendment under consideration to allow a greater building
height in the CD (Downtown Commercial) Zone District. This includes 42 feet as use-by-
Page 10
3
right, and the review of proposed design guidelines for buildings above 30 feet, all
exclusive to the CD zone district. In addition, stepbacks, building articulation, building
materials and transparency were discussed. It was questioned if articulation and
materials need to be regulated as they could be a matter of style preference.
There was considerable discussion on developers' needs, floodplains and the
fundamental goal of increasing building height. Expanding downtown inventory with
economic development and financial incentives are needed. In conclusion, there is
some desire for simple articulation and transparency and no desire to regulate the use
of building materials. A final discussion can take place in the July meeting, with a
possible public hearing in August.
WILDFIRE MITIGATION:
A Memorandum of Understanding between Headwaters Economics, Inc. and the Town
hasa been agreed upon to guide the Town’s participation in the latter’s Community
Planning Assistance for Wildfire (CPAW) program.
This includes strategic communication, practical assistance with code rewrites, and
partnerships development (RMNP, USFS). Director Hunt also thanked the Estes Park
Middle School 6th graders for their thoughtful letter regarding wildfire mitigation.
COMPREHENSIVE PLAN UPDATE:
Meetings are scheduled on the 2nd and 4th Thursdays at 9:00 a.m. Matt Heiser is the
Chair of CompPAC, and Bob Leavitt is the Vice-Chair. The Planning Commission will
be sent links to the CompPAC meeting materials. Public engagement strategies and
large-scale public meetings are planned, with smaller focus groups and individualized
outreach meetings looking for one-on-one ideas. On August 26, the CompPAC meeting
will be a joint meeting with EPPC and LCPAC.
Voluntary homework for Planning Commission: two issues you think are most important
for the Comp Plan to address and two keywords you would like to see in the Vision
Statement.
BYLAWS UPDATE:
Attorney Kramer and Town Clerk Williamson have updated the template. One change
is the numbers used for a quorum. There were no outstanding concerns from the
Planning Commission.
REPORTS:
June 24 will be a meet-and-greet for the four Community Development Director
candidates from 5:30-6:30 at the Museum.
There being no further business, Chair Comstock adjourned the meeting at 4:05 p.m.
Page 11
4
Matt Comstock, Chair
Karin Swanlund, Recording Secretary
Page 12
Town of Estes Park, Larimer County, Colorado July 20, 2021
Minutes of a Study Session meeting of the PLANNING COMMISSION of Estes Park,
Larimer County, Colorado. Meeting held virtually on Zoom.
Commission: Chair Matt Comstock, Vice-Chair Matthew Heiser,
Commissioners Joe Elkins, Howard Hanson, Janene
Centurione
Attending: Centurione, Elkins, Heiser, Hanson
Also Attending: Director Randy Hunt, Senior Planner Jeff Woeber, Planner II
Alex Bergeron, Town Board Liaison Barbara MacAlpine,
Chief Building Official Gary Rusu, Engineer Jennifer Waters,
Recording Secretary Karin Swanlund
Absent: Chair Comstock
Acting Chair Heiser called the meeting to order at 1:30 p.m. This study session was
held virtually via ZOOM and was streamed and recorded on the Town of Estes Park
YouTube channel.
Heiser spoke on the joint study session held between the Planning Commission and
Town Board on July 8, 2021. The main topic centered around code changes and
support for continuing them while the Comprehensive Plan is being updated. Trustee
MacAlpine commented that the meeting was valuable and available to view on the town
website. Director Hunt noted that a semi-annual meeting would be beneficial.
Director Hunt introduced Mike Scholl, Ayres Associates consultant for the code
amendment on Downtown Building Height. Mike reviewed the final draft for the code
amendment via a PowerPoint presentation, with the main content focusing on clear
guidelines for projects above 30 feet in height. The proposed timeline would be a
Planning Commission vote in August and Town Board in September. Engineer Jennifer
Waters described what will be required for building in the floodplain and insurance
premiums related to those regulations noting that floodplain performance standards are
for safety, not to restrict building. Commissioner Elkins expressed concerns with corner
lot articulation. Commissioners Hanson and Centurione requested that the short-term
rental wording not exclude accommodations. Town Attorney Kramer will review the
language on the final Code Amendment. Hanson also asked for the Lidar data on
current downtown building height be reviewed prior to a vote. Heiser requested
bringing this code amendment to a vote at the August 17 meeting.
Chief Building Official Gary Rusu spoke on building inspections in the downtown
corridor and the possibility of a building collapse. Concerns in Estes Park are the age of
buildings, structural issues, and fire hazards. Adopting the 2021 Building Code, which
includes the Property Maintenance Code, would allow vacant buildings to be inspected
prior to occupation. Life safety is the primary role of the building department.
Director Hunt reviewed the CompPac meetings that have taken place to date. Different
department heads have been attending guest speakers, and Hunt encouraged the
Planning Commission to watch these meetings, either live or recorded. He also
reminded the Commission about scheduling one-on-one interviews with Logan Simpson
and reviewing the 1996 Comprehensive Plan.
Stemming from the Joint Study Session, Hunt also spoke on prioritizing housing
options, suggesting a “floating” multi-family zone district due to the lack of developable
land and large lot zones resulting in “sprawl development.” Commissioner Elkins
described a concept called transferrable development rights and asked if that would be
possible in Estes Park. Attorney Kramer said he wouldn’t rule it out, but it may be a
Page 13
Planning Commission Study Session July 20, 2021 – Page 2
solution to a different type of problem requiring a significant undertaking. Centurione
suggested looking up past housing studies and comparing data. Heiser encouraged all
thoughts and ideas related to the housing crisis to be voiced.
Planner II Bergeron introduced a possible new code amendment relating to Accessory
Dwelling Units (ADUs). The time is right for ADUs as a use-by-right in certain zoning
districts. Allowing long-term rentals via ADU’s will considerably help the housing
situation.
Upcoming: Study Session and regular meeting on August 17. A joint meeting with PC,
EVPAC and CompPac on August 26.
Acting Chair Heiser adjourned the Study Session at 4:20 p.m.
Karin Swanlund, Recording Secretary
Page 14
Town of Estes Park, Larimer County, Colorado, July 22, 2021
Minutes of a Regular meeting of the Comprehensive Plan Advisory
Committee of the Town of Estes Park, Larimer County, Colorado. Meeting
held via ZOOM in said Town of Estes Park on July 22 2021.
Committee: Chair Matthew Heiser, Vice-Chair Bob Leavitt, Members
David Bangs, Eric Blackhurst, Chuck Cooper, Kirby Nelson-
Hazelton, John Schnipkoweit, Dave Shirk, Karen Thompson,
Rose Truman, David Wolf, Matt Comstock, Mike Kennedy
Also Attending: Community Development Director Randy Hunt, Larimer
County Community Development Director Lesli Ellis, Trustee
Barbara MacAlpine, Recording Secretary Karin Swanlund
Absent: Member Hazelton
Chair Heiser called the meeting to order at 9:00 a.m.
APPROVAL OF AGENDA:
It was moved and seconded (Kennedy/Cooper) to approve the agenda. The motion
passed with a visual thumbs-up vote.
PUBLIC COMMENT.
None
ACTION ITEM:
Approval of Minutes from July 8, 2021
It was moved and seconded (Blackhurst/Leavitt) to approve the minutes. The motion
passed with a visual thumbs-up vote.
DISCUSSION ITEMS: (all comments have been summarized)
1. Fire Chief David Wolf discussed the Estes Valley Fire Protection District
(EVFPD) origins, the scope of services, and the fire problem in the Estes
Valley. The EVFPD consists of six full-time employees and 40 volunteers and
has been around since 1907. In 2010, they became a “District.” Current
projects consist of Community Wildfire Protection Plan (CWPP), participation
in Community Planning Assistance for Wildfire (CPAW) program, Fire Wise,
and the “Ready, Set, Go!” program. All of the Estes Valley is in the Wildland
Urban Interface (WUI). Landscaping codes should be reviewed and reformed
to help prevent fires. Adoption of the Property Maintenance Code would allow
for proactive fire hazard mitigation. Future needs are expanding services,
updating fire codes, wildfire mitigation, sorting yard/slash collection, and
maintaining equipment and staff. The most significant prevention piece is
educating and working with the public.
2. On July 8, the Planning Commission and the Town Board had a joint meeting
to discuss code amendments during the Comprehensive Plan rewrite. Moving
ahead as needed was the overall consensus. Coordination between boards
regarding significant code changes would be beneficial. Code rewrites aren’t
an either/or scenario, but a joint effort and cross-communication is essential.
Chair Heiser reviewed the current code amendments the Planning Commission
is discussing, including downtown building height and zone density changes to
help the housing situation.
3. Director Hunt informed the Committee that a poll would be sent to decide on
in-person meetings beginning in August. There is a high probability that the
Planning Commission and Town Board will be invited to the August 26 meeting.
Page 15
CompPAC – July 22, 2021 – Page 2
There being no further business, Chair Heiser adjourned the meeting at 10:50 a.m.
Karin Swanlund, Recording Secretary
Page 16
TOWN ADMINISTRATOR’S
OFFICE
Memo
To: Honorable Mayor Koenig
Board of Trustees
From: Town Administrator Machalek
Date: August 24, 2021
RE: Policy 208 – Naming of Town-Owned Parks, Open Spaces, and Facilities
(Mark all that apply)
PUBLIC HEARING ORDINANCE LAND USE
CONTRACT/AGREEMENT RESOLUTION OTHER: _Policy_
QUASI-JUDICIAL YES NO
Objective:
Town Board consideration of Policy 208 – Naming of Town-Owned Parks, Open
Spaces, and Facilities.
Present Situation:
The Town Board adopted Policy 205 – Naming of Town-Owned Parks, Open Spaces,
and Facilities on March 8, 2016. Unfortunately, policy number 205 was already in use
and we now have two policies using that same number. Additionally, although the Town
Board minutes from March 8, 2016 reflect the approval of the naming policy, staff
cannot find the final signed copy.
Proposal:
Staff is asking the Town Board to approve Policy 208 in order to clean up the policy
numbering and prevent any confusion stemming from having two Policy 205s. There are
only three changes from the previously adopted Policy 205 to Policy 208:
• Correction of policy number from Policy 205 to Policy 208;
• Updating the policy signatory to Mayor Koenig; and
• Updating the footer date and department.
Advantages:
• Updates policy numbering to avoid confusion.
Disadvantages:
• None
Action Recommended:
Page 17
Staff recommends the Town Board approve Policy 208 – Naming of Town-Owned
Parks, Open Spaces, and Facilities.
Finance/Resource Impact:
No direct financial impact.
Level of Public Interest
Low
Sample Motion:
I move to approve Policy 208.
Attachments:
1. Policy 208
Page 18
Policy 208 Naming of Town-Owned Parks, Open Spaces, and Facilities 08/24/2021
Revisions: 0 Town of Estes Park, Town Administrator’s Office Page 1 of 6
Effective Period: Until superceded
Review Schedule: Biennially
Effective Date: 08/24/2021
References: Governing Policies 1.1.3 and 1.3.2
ADMINISTRATION
208
Naming of Town-Owned Parks, Open Spaces, and Facilities
1.PURPOSE
To establish a consistent and systematic approach for selecting names for Town-owned
parks, open spaces, and facilities.
2. POLICY
Maintaining consistent and understandable procedures for naming and re-naming Town-owned
parks, open spaces, and facilities is crucial for identification purposes. These names aid
emergency response, help to develop a sense of place, and help to honor community leaders.
The Town of Estes Park will follow the procedures outlined in this policy to name or re-name
any Town-owned park, open space, or facility. When choosing a name for a Town-owned
facility, park, or open space, the Town will endeavor to ensure that such names: (1) are
appropriate; (2) aid in the identification and location of the property or facility in question; and (3)
encourage the donation of lands, facilities, and funds to the Town.
3.PROCEDURE
a.Naming a New Town-Owned Park, Open Space, or Facility
i.Working Name for Facilities under Consideration or Construction
All new facilities under consideration or construction will be given a working name
by staff.
ii.Naming Criteria
In order to be considered, proposed names for a new Town-owned park, open
space, or facility shall be reflective of at least one of the following criteria:
1)Specific purpose of the facility (e.g., Senior Center, Museum)
2)Geographic location
3)Prominent geographic feature or local reference point
4)Adjoining subdivision/community
5)Historical feature
Attachment 1
Page 19
Policy 208 Naming of Town-Owned Parks, Open Spaces, and Facilities 08/24/2021
Revisions: 0 Town of Estes Park, Town Administrator’s Office Page 2 of 6
6) A deceased individual (see section 3.a.iii)
7) An individual or group via a donation or sponsorship agreement (see section
3.a.iv)
iii. Naming a Park, Open Space, or Facility after a Deceased Individual
Consideration shall be given to the naming of a Town-owned park, open space, or
facility after a deceased individual only if both of the following conditions have been
met:
1) The individual has been deceased for at least three (3) years; and
2) The individual has made significant contributions to the Town through a
long-term commitment to the residents and guests of the Town of Estes
Park.
iv. Individual or Group Donations or Sponsorships
Consideration shall be given to the naming of a Town-owned park, open space, or
facility after a group or individual based on a donation or sponsorship only if such
donation or sponsorship comprises 75 percent or more of the overall value of the
park, open space, or facility. This provision shall not apply to any naming rights
sold for the Estes Park Events Complex.
v. Sponsorship Naming Rights
Sponsorship naming rights made by contract, for a specific period of time, are
exempt from this policy.
vi. Naming Process
The naming of a new Town-owned park, open space, or facility will follow the
process below:
1) Public Announcement: When the Town signs a contract to construct a
building or purchase land to be used as a park or open space, the Town
Clerk’s Office will publish a legal notice in the paper of record inviting the
public to submit prospective names for the building or park/open space. The
deadline for submitting names will be two weeks from the date of the printed
legal notice. The legal notice shall refer to the facility or property by
description, in addition to common/informal names. The Public Information
Office will also notify the community of the opportunity to participate through
a news release and other appropriate channels.
2) Review for Facilities: Within two weeks of the deadline to submit names, the
Town Clerk will submit to the Town Board all of the names received that
meet the criteria in section 3.a.ii.
3) Review and Recommendation for Parks/Open Space: Within two weeks of
the deadline to submit names, the Town Clerk will submit to the Parks
Advisory Board all of the names received that meet the criteria in section
Page 20
Policy 208 Naming of Town-Owned Parks, Open Spaces, and Facilities 08/24/2021
Revisions: 0 Town of Estes Park, Town Administrator’s Office Page 3 of 6
3.a.ii. The Parks Advisory Board will review the submitted names, and make
a recommendation to the Town Board.
4) Notice of Submitted Names - Facilities: A legal notice shall be published in
the paper of record as soon as reasonable after the Town Clerk submits the
list of qualifying names to the Town Board. This legal notice shall include
the qualifying proposed names, a description of the facility to be named,
and the time and place of the Board Meeting at which the recommendation
will be considered. The legal notice must be published at least 30 days prior
to the Town Board meeting where the recommendation will be considered.
The Public Information Office will also notify the community of the
opportunity to participate through a news release and other appropriate
channels.
5) Notice of Recommendation – Parks/Open Space: A legal notice shall be
published in the paper of record as soon as reasonable after the Parks
Advisory Board submits its recommendation to the Town Board. This legal
notice shall include the proposed name, a description of the park/open
space to be named, and the time and place of the Board Meeting at which
the recommendation will be considered. The legal notice must be published
at least 30 days prior to the Town Board meeting where the
recommendation will be considered. The Public Information Office will also
notify the community of the opportunity to participate through a news
release and other appropriate channels.
6) Town Board Review and Approval: Upon receipt of the recommendation
from the Leadership Team, the Board will consider the recommended name
at a regular Board meeting as an action item.
b. Re-Naming a Town-Owned Park, Open Space, or Facility
i. Conditions
The existing names of Town-owned parks, open spaces, and facilities are deemed
to have historic recognition. The Town of Estes Park will not change the name of
any existing Town-owned park, open space, or facility unless: (1) there are
compelling reasons to consider such change; (2) there is a thorough study of the
change consisting of a public hearing at a regularly scheduled Town Board
meeting; and (3) there is a unanimous vote of the Town Board.
Additionally, the Town Board will consider renaming a Town-owned park, open
space, or facility to commemorate a person or persons only when said person or
persons: (1) is/are deceased, (2) has/have made a major, overriding contribution
to the Town; (3) has/have made contributions that have not been honored in
another manner; and (4) has/have notable historic significance to the Estes Valley.
Potential re-naming applicants should consider other appropriate options to
memorialize individuals including, but not limited to, plaques, memorial benches,
and memorial trees.
Page 21
Policy 208 Naming of Town-Owned Parks, Open Spaces, and Facilities 08/24/2021
Revisions: 0 Town of Estes Park, Town Administrator’s Office Page 4 of 6
ii. Requests to Re-Name a Town-Owned Park, Open Space, or Facility
Any requests to re-name a Town-owned park, open space, or facility shall use the
following procedure:
1) The applicant shall submit a completed “Request to Re-Name a Town-
Owned Park, Open Space, or Facility” application form (Appendix A) to the
Town Clerk.
2) The application will be reviewed for completeness based upon the naming
criteria set forth in section 3.a.ii of this policy.
3) Completed applications will be forwarded to the Town Administrator and
Town Board.
4) If the Town Board wishes to consider the proposed re-naming, the Board
will set a date to consider the proposal as an Action Item on a Town Board
Meeting Agenda.
iii. Costs of Renaming
The Town Board may request that any cost of renaming (e.g. the replacement of
signs) be borne by the individual or group recommending the change.
iv. Noticing of Google
Upon any renaming, Town staff will endeavor to ensure that said renaming is
reflected on Google Maps as soon as possible.
c. Naming of Meeting Rooms in or on Town-Owned Parks, Open Spaces, or
Facilities
Meeting rooms located in or on Town-owned parks, open spaces, or facilities may be
named administratively by the Town Administrator.
d. Revocation of Name
Under extraordinary circumstances that would cast a negative image upon the Town,
any naming of Town-owned parks, open spaces, or facilities in honor of an individual,
family, or group may be revoked at the discretion of the Town Board.
e. Naming of Streets
All streets will be named in accordance with Policy 421 (Addressing and Street
Naming Policy).
Approved:
_____________________________
Wendy Koenig, Mayor
_____________
Date
Page 22
Policy 208 Naming of Town-Owned Parks, Open Spaces, and Facilities 08/24/2021
Revisions: 0 Town of Estes Park, Town Administrator’s Office Page 5 of 6
APPENDIX 1 - Request to Re-Name a Town-Owned Park, Open Space, or Facility
Town of Estes Park
Request to Re-Name a Town-Owned Park, Open Space, or Facility
1. Applicant General Information Name: ______________________________________________ Date: ________________ Address: ____________________________________________ City/State: ________________ Zip Code: ___________________________________________ Telephone: ________________ Does the Applicant Represent an Organization? Y N If Yes, Name of Organization: ___________________________________________________________
2. Nature of Re-Naming Request Park OR Open Space OR Facility Location: ____________________________________________________________________ Proposed Name: _______________________________________________________________
3. Re-Naming Justification
Page 23
Policy 208 Naming of Town-Owned Parks, Open Spaces, and Facilities 08/24/2021
Revisions: 0 Town of Estes Park, Town Administrator’s Office Page 6 of 6
Specific Purpose Historical Feature Geographic Location Deceased Individual Geographic Feature Donation/Sponsorship Adjoining Community Explanation of Justification Attached (Required)?* Y N ________________________________________________ _________________________ Signature Date ________________________________________________ Print Name
*Please ensure that the justification addresses the conditions for re-naming contained in Policy 205.3.b.i
Page 24
Public Works Memo
To: Honorable Mayor Koenig
Board of Trustees
Through: Town Administrator Machalek
From: Vanessa Solesbee, Parking & Transit Manager
Greg Muhonen, Public Works Director
Date: August 24, 2021
RE: Resolution 63-21 Approving an Intergovernmental Agreement with CDOT
for FTA 5339(b) Grant Funding for Design of Two Large Vehicle Bays to
Store Two Electric Battery Trolley Buses (CDOT PO #491002610)
(Mark all that apply)
PUBLIC HEARING ORDINANCE LAND USE
CONTRACT/AGREEMENT RESOLUTION OTHER______________
QUASI-JUDICIAL YES NO
Objective:
Public Works staff seek Town Board approval for this Intergovernmental Agreement
(IGA) with the Colorado Department of Transportation (CDOT) for Federal Transit
Administration (FTA) 5339(b) grant funding for architectural plans and design of two
large vehicle bays to store two electric battery trolley buses.
Present Situation:
In 2020, the Town received the first of two battery electric trolley buses. The second bus
is on schedule to arrive in early 2022. Both trolleys were purchased using FTA grant
funds (80% FTA funding, 20% budgeted local match).
In order to house and protect the new trolleys, Town staff successfully obtained
additional FTA funding in August 2020 to design and construct two large vehicle bays
by adding to an existing Town building located at 575 Elm Rd. (former Water Division
shop; new Fleet Division shop).
CDOT divided the Town’s 5339(b) award into three separate “projects,” each of which
require a separate FTA 5339(b) grant funding agreement: 1) Charging Station (IGA
executed by the Town Board on July 13, 2021), 2) Facility Design (the item before you
this evening); and 3) Facility Construction.
Proposal:
In April 2021, the Town conducted a competitive Request for Proposal (RFP) process
seeking qualified firms to design an addition to the Town’s Fleet Division Shop to house
the Town’s battery electric trolley buses. Work to be completed by the selected firm for
Page 25
this project will include conceptual designs, engineered construction plans, and
construction management.
Public Works staff identified a preferred design firm through the competitive RFP
process and recommend approval of the IGA with CDOT as presented in order to move
the project forward.
Advantages:
•This project is in line with the defined purpose of FTA 5339(b) grant funding: “to improve the
condition of the nation’s public transportation bus fleets, expand transportation access to
employment, educational, and healthcare facilities, and to improve mobility options in rural
and urban areas throughout the country”.
•This project supports the Town Board’s 2021 Strategic Plan, Key Outcome Area:
Transportation – “Increase use of charging stations and electric vehicle tourism”.
•The acquisition of this electric vehicle will help fulfill the goals of the Statewide Transit Plan.
Disadvantages:
•Acceptance of grant funding is accompanied with additional administrative burdens;
however, Town staff have recent experience managing a Federal grant of this type.
•Acceptance of grant funding always comes with risk that the project will not go as planned;
however, Town staff have a good working relationship with CDOT and will actively work to
identify and mitigate any challenges that may arise.
Action Recommended:
Public Works staff respectfully request that the Board authorize execution of the
proposed grant agreement with CDOT for Federal Transit Administration (FTA) 5339(b)
grant funding for design of two large vehicle bays to store two electric battery trolley
buses.
Finance/Resource Impact:
For the facility design “project”, the financial impact to the Town is as follows:
FTA 5339(b) funds: $ 28,715
Matching Town funds (budgeted): $ 7,179
Total project cost: $ 35,894
The charging station fits into FTA Category 11 - Bus and Bus Facilities, and as such,
cost sharing is required for the grant, as provided in 49 U.S.C. § 5307(d). The local
match for this award (noted as “Subrecipient Matching Funds” in Exhibit A of the
attached contract) was legally appropriated for the purposes of this Agreement as part
of the regular 2021 Town budget process in Fall 2020. The Town’s local match will
come from the Fleet Fund (612).
Level of Public Interest
Public interest in this item is low. The grant award was announced by Congressman
Neguse’s office via press release in August 2020. The Transportation Advisory Board
receives updates on this project during their regular monthly meetings.
Page 26
Sample Motion:
I move for the approval/denial of Resolution 63-21.
Attachments:
1.Resolution 63-21
2.CDOT IGA (PDF version for TB review only; contract to be issued electronically through
Docusign)
Page 27
RESOLUTION 63-21
APPROVING AN INTERGOVERNMENTAL AGREEMENT WITH THE COLORADO
DEPARTMENT OF TRANSPORTATION FOR FEDERAL TRANSIT ADMINISTRATION
5339(B) GRANT FUNDING FOR DESIGN OF TWO LARGE VEHICLE BAYS TO
STORE TWO ELECTRIC BATTERY TROLLEY BUSES
WHEREAS, the Town Board desires to enter the intergovernmental agreement
referenced in the title of this resolution for the purpose of accepting Federal Transit
Administration (FTA) 5339(b) grant funding to develop architectural plans and design for
two large vehicle bays to store two electric battery trolley buses; and
WHEREAS, the project will support the goals of the Statewide Transit Plan.
NOW, THEREFORE, BE IT RESOLVED BY THE BOARD OF TRUSTEES OF
THE TOWN OF ESTES PARK, COLORADO:
The Board approves, and authorizes the Mayor to sign, the intergovernmental
agreement referenced in the title of this resolution in substantially the form now before
the Board.
DATED this day of , 2021.
TOWN OF ESTES PARK
Mayor
ATTEST:
Town Clerk
APPROVED AS TO FORM:
Town Attorney
Attachment 1
Page 28
Contract Number: 21-HTR-ZL-00308/491002610 Page 1 of 45 Version 10/23/19
STATE OF COLORADO SUBAWARD AGREEMENT
COVER PAGE
State Agency
Department of Transportation
Agreement Number / PO Number
21-HTR-ZL-00308 / 491002610
Subrecipient
TOWN OF ESTES PARK
Agreement Performance Beginning Date
The Effective Date
Initial Agreement Expiration Date
December 31, 2024 Subaward Agreement Amount
Federal Funds
Maximum Amount (80%)
Local Funds
Local Match Amount (20%)
Agreement Total
$28,715.00
$7,179.00
$35,894.00
Fund Expenditure End Date
December 31, 2024
Agreement Authority
Authority to enter into this Agreement exists in
CRS §§43-1-106, 43-1-110, 43-1-117.5, 43-1-701,
43-1-702 and 43-2-101(4)(c), appropriated and
otherwise made available pursuant to the FAST
ACT, MAP-21, SAFETEA_LU, 23 USC §104 and
23 USC §149.
Agreement Purpose
In accordance with 49 USC §5339(b), the purpose of this Grant is to provide capital funding to improve the
condition of the nation’s public transportation bus fleets, expand transportation access to employment,
educational, and healthcare facilities, and to improve mobility options in rural and urban areas throughout
the country. The work to be completed under this Grant b y the Grantee is more specifically described in
Exhibit A.
Exhibits and Order of Precedence
The following Exhibits and attachments are included with this Agreement:
1.Exhibit A – Statement of Work and Budget.
2.Exhibit B – Sample Option Letter.
3.Exhibit C – Federal Provisions.
4.Exhibit D – Required Federal Contract/Agreement Clauses.
5. Exhibit E – Verification of Payment.
In the event of a conflict or inconsistency between this Agreement and any Exhibit or attachment, such
conflict or inconsistency shall be resolved by reference to the documents in the following order of priority:
1.Exhibit C – Federal Provisions.
2.Exhibit D – Required Federal Contract/Agreement Clauses.
3.Colorado Special Provisions in §17 of the main body of this Agreement.
4.The provisions of the other sections of the main body of this Agreement.
5.Exhibit A – Statement of Work and Budget.
6. Executed Option Letters (if any).
Principal Representatives
For the State:
Moira Moon
Division of Transit and Rail
Colorado Dept. of Transportation
2829 W. Howard Place
Denver, CO 80204
moira.moon@state.co.us
For Subrecipient:
Vanessa Solesbee
TOWN OF ESTES PARK
PO BOX 1200
ESTES PARK, CO 80517
vsolesbee@estes.org
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6 Attachment 2
Page 29
Contract Number: 21-HTR-ZL-00308/491002610 Page 2 of 45 Version 10/23/19
SIGNATURE PAGE
THE PARTIES HERETO HAVE EXECUTED THIS AGREEMENT
Each person signing this Agreement represents and warrants that the signer is duly authorized to execute this
Agreement and to bind the Party authorizing such signature.
SUBRECIPIENT
TOWN OF ESTES PARK
__________________________________________
__________________________________________
By: Print Name of Authorized Individual
Date: _________________________
STATE OF COLORADO
Jared S. Polis, Governor
Department of Transportation
Shoshana M. Lew, Executive Director
__________________________________________
By: Herman Stockinger, Deputy Director and
Director of Policy
Date: _________________________
2nd State or Subrecipient Signature if needed
__________________________________________
__________________________________________
By: Print Name of Authorized Individual
Date: _________________________
LEGAL REVIEW
Philip J. Weiser, Attorney General
__________________________________________
By: Assistant Attorney General
Date: __________________________
In accordance with §24-30-202, C.R.S., this Agreement is not valid until signed and dated below by the State
Controller or an authorized delegate.
STATE CONTROLLER
Robert Jaros, CPA, MBA, JD
___________________________________________
By: Department of Transportation
Effective Date:_____________________
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 30
Contract Number: 21-HTR-ZL-00308/491002610 Page 3 of 45 Version 10/23/19
TABLE OF CONTENTS
1. PARTIES................................................................................................................................................. 3
2. TERM AND EFFECTIVE DATE .......................................................................................................... 3
3. DEFINITIONS ........................................................................................................................................ 4
4. STATEMENT OF WORK AND BUDGET ........................................................................................... 6
5. PAYMENTS TO SUBRECIPIENT ........................................................................................................ 6
6. REPORTING - NOTIFICATION ........................................................................................................... 8
7. SUBRECIPIENT RECORDS ................................................................................................................. 9
8. CONFIDENTIAL INFORMATION - STATE RECORDS .................................................................... 9
9. CONFLICTS OF INTEREST ............................................................................................................... 10
10. INSURANCE ........................................................................................................................................ 11
11. BREACH OF AGREEMENT ............................................................................................................... 12
12. REMEDIES ........................................................................................................................................... 12
13. DISPUTE RESOLUTION .................................................................................................................... 14
14. NOTICES and REPRESENTATIVES .................................................................................................. 14
15. RIGHTS IN WORK PRODUCT AND OTHER INFORMATION ...................................................... 14
16. GENERAL PROVISIONS .................................................................................................................... 15
17. COLORADO SPECIAL PROVISIONS (COLORADO FISCAL RULE 3-3) ..................................... 17
1. PARTIES
This Agreement is entered into by and between Subrecipient named on the Cover Page for this Agreement (the
“Subrecipient”), and the STATE OF COLORADO acting by and through the State agency named on the Cover
Page for this Agreement (the “State”). Subrecipient and the State agree to the terms and conditions in this
Agreement.
2. TERM AND EFFECTIVE DATE
A. Effective Date
This Agreement shall not be valid or enforceable until the Effective Date, and the Grant Funds shall be
expended by the Fund Expenditure End Date shown on the Cover Page for this Agreement. The State shall
not be bound by any provision of this Agreement before the Effective Date, and shall have no obligation to
pay Subrecipient for any Work performed or expense incurred before the Effective Date, except as described
in §5.D, or after the Fund Expenditure End Date.
B. Initial Term
The Parties’ respective performances under this Agreement shall commence on the Agreement Performance
Beginning Date shown on the Cover Page for this Agreement and shall terminate on the Initial Agreement
Expiration Date shown on the Cover Page for this Agreement (the “Initial Term”) unless sooner terminated
or further extended in accordance with the terms of this Agreement.
C. Extension Terms - State’s Option
The State, at its discretion, shall have the option to extend the performance under this Agreement beyond the
Initial Term for a period, or for successive periods, of one year or less at the same rates and under the same
terms specified in this Agreement (each such period an “Extension Term”). In order to exercise this option,
the State shall provide written notice to Subrecipient in a form substantially equivalent to the Sample Option
Letter attached to this Agreement.
D. End of Term Extension
If this Agreement approaches the end of its Initial Term, or any Extension Term then in place, the State, at
its discretion, upon written notice to Subrecipient in a form substantially equivalent to the Sample Option
Letter attached to this Agreement, may unilaterally extend such Initial Term or Extension Term for a period
not to exceed two months (an “End of Term Extension”), regardless of whether additional Extension Terms
are available or not. The provisions of this Agreement in effect when such notice is given shall remain in
effect during the End of Term Extension. The End of Term Extension shall automatically terminate upon
execution of a replacement Agreement or modification extending the total term of this Agreement.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 31
Contract Number: 21-HTR-ZL-00308/491002610 Page 4 of 45 Version 10/23/19
E. Early Termination in the Public Interest
The State is entering into this Agreement to serve the public interest of the State of Colorado as determined
by its Governor, General Assembly, or Courts. If this Agreement ceases to further the public interest of the
State, the State, in its discretion, may terminate this Agreement in whole or in part. A determination that this
Agreement should be terminated in the public interest shall not be equivalent to a State right to terminate for
convenience. This subsection shall not apply to a termination of this Agreement by the State for Breach of
Agreement by Subrecipient, which shall be governed by §12.A.i.
i. Method and Content
The State shall notify Subrecipient of such termination in accordance with §14. The notice shall specify
the effective date of the termination and whether it affects all or a portion of this Agreement, and shall
include, to the extent practicable, the public interest justification for the termination.
ii. Obligations and Rights
Upon receipt of a termination notice for termination in the public interest, Subrecipient shall be subject
to the rights and obligations set forth in §12.A.i.a.
iii. Payments
If the State terminates this Agreement in the public interest, the State shall pay Subrecipient an amount
equal to the percentage of the total reimbursement payable under this Agreement that corresponds to the
percentage of Work satisfactorily completed and accepted, as determined by the State, less payments
previously made. Additionally, if this Agreement is less than 60% completed, as determined by the State,
the State may reimburse Subrecipient for a portion of actual out-of-pocket expenses, not otherwise
reimbursed under this Agreement, incurred by Subrecipient which are directly attributable to the
uncompleted portion of Subrecipient’s obligations, provided that the sum of any and all reimbursement
shall not exceed the Subaward Maximum Amount payable to Subrecipient hereunder.
F. Subrecipient’s Termination Under Federal Requirements
Subrecipient may request termination of this Agreement by sending notice to the State, or to the Federal
Awarding Agency with a copy to the State, which includes the reasons for the termination and the effective
date of the termination. If this Agreement is terminated in this manner, then Subrecipient shall return any
advanced payments made for work that will not be performed prior to the effective date of the termination.
3. DEFINITIONS
The following terms shall be construed and interpreted as follows:
A. “Agreement” means this subaward agreement, including all attached Exhibits, all documents incorporated
by reference, all referenced statutes, rules and cited authorities, and any future modifications thereto.
B. “Award” means an award by a Recipient to a Subrecipient funded in whole or in part by a Federal Award.
The terms and conditions of the Federal Award flow down to the Award unless the terms and conditions of
the Federal Award specifically indicate otherwise.
C. “Breach of Agreement” means the failure of a Party to perform any of its obligations in accordance with
this Agreement, in whole or in part or in a timely or satisfactory manner. The institution of proceedings under
any bankruptcy, insolvency, reorganization or similar law, by or against Subrecipient, or the appo intment of
a receiver or similar officer for Subrecipient or any of its property, which is not vacated or fully stayed within
30 days after the institution of such proceeding, shall also constitute a breach. If Subrecipient is debarred or
suspended under §24-109-105, C.R.S., at any time during the term of this Agreement, then such debarment
or suspension shall constitute a breach.
D. “Budget” means the budget for the Work described in Exhibit A.
E. “Business Day” means any day other than Saturday, Sunday, or a legal holiday as listed in §24-11-101(1),
C.R.S.
F. “CORA” means the Colorado Open Records Act, §§24 -72-200.1, et. seq., C.R.S.
G. “Deliverable” means the outcome to be achieved or output to be provided, in the form of a tangible or
intangible Good or Service that is produced as a result of Subrecipient’s Work that is intended to be delivered
by Subrecipient.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 32
Contract Number: 21-HTR-ZL-00308/491002610 Page 5 of 45 Version 10/23/19
H. “Effective Date” means the date on which this Agreement is approved and signed by the Colorado State
Controller or designee, as shown on the Signature Page for this Agreement.
I. “End of Term Extension” means the time period defined in §2.D.
J. “Exhibits” means the exhibits and attachments included with this Agreement as shown on the Cover Page
for this Agreement.
K. “Extension Term” means the time period defined in §2.C.
L. “Federal Award” means an award of Federal financial assistance or a cost-reimbursement contract, under
the Federal Acquisition Regulations or by a formula or block grant, by a Federal Awarding Agency to the
Recipient. “Federal Award” also means an agreement setting forth the terms and conditions of the Federal
Award. The term does not include payments to a Subrecipient or payments to an individual that is a
beneficiary of a Federal program.
M. “Federal Awarding Agency” means a Federal agency providing a Federal Award to a Recipient. Federal
Transit Administration (FTA) is the Federal Awarding Agency for the Federal Award which is the subject of
this Agreement.
N. “FTA” means Federal Transit Administration.
O. “Goods” means any movable material acquired, produced, or delivered by Subrecipient as set forth in this
Agreement and shall include any movable material acquired, produced, or delivered by Subrecipient in
connection with the Services.
P. “Grant Funds” means the funds that have been appropriated, designated, encumbered, or otherwise made
available for payment by the State under this Agreement.
Q. “Incident” means any accidental or deliberate event that results in or constitutes an imminent threat of the
unauthorized access, loss, disclosure, modification, disruption, or destruction of any communications or
information resources of the State, which are included as part of the Work, as described in §§24 -37.5-401,
et. seq., C.R.S. Incidents include, without limitation (i) successful attempts to gain unauthorized access to a
State system or State Records regardless of where such information is located; (ii) unwanted disruption or
denial of service; (iii) the unauthorized use of a State system for the processing or sto rage of data; or (iv)
changes to State system hardware, firmware, or software characteristics without the State’s knowledge,
instruction, or consent.
R. “Initial Term” means the time period defined in §2.B.
S. “Master Agreement” means the FTA Master Agreement document incorporated by reference and made part
of FTA’s standard terms and conditions governing the administration of a project supported with federal
assistance awarded by FTA.
T. “Matching Funds” (Local Funds, or Local Match) means the funds provided by Subrecipient as a match
required to receive the Grant Funds and includes in -kind contribution.
U. “Party” means the State or Subrecipient, and “Parties” means both the State and Subrecipient.
V. “PII” means personally identifiable information including, without limitation, any information maintained
by the State about an individual that can be used to distinguish or trace an individual’s identity, such as name,
social security number, date and place of birth, mother’s maide n name, or biometric records. PII includes,
but is not limited to, all information defined as personally identifiable information in §§24 -72-501 and 24-
73-101, C.R.S.
W. “Recipient” means the State agency shown on the Signature and Cover Page s of this Agreement, for the
purposes of this Federal Award.
X. “Services” means the services to be performed by Subrecipient as set forth in this Agreement and shall
include any services to be rendered by Subrecipient in connection with the Goods.
Y. “State Confidential Information” means any and all State Records not subject to disclosure under CORA.
State Confidential Information shall include but is not limited to PII and State personnel records not subject
to disclosure under CORA. State Confidential Information shall not include information or data concerning
individuals that is not deemed confidential but nevertheless belongs to the State, which has been
communicated, furnished, or disclosed by the State to Subrecipient which (i) is subject to disclosure pursuant
to CORA; (ii) is already known to Subrecipient without restrictions at the time of its disclosure to
Subrecipient; (iii) is or subsequently becomes publicly available without breach of any obligation owed by
Subrecipient to the State; (iv) is disclosed to Subrecipient, without confidentiality obligations, by a third party
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 33
Contract Number: 21-HTR-ZL-00308/491002610 Page 6 of 45 Version 10/23/19
who has the right to disclose such information; or (v) was independently developed without reliance on any
State Confidential Information.
Z. “State Fiscal Rules” means the fiscal rules promulgated by the Colorado State Controller pursuant to §24 -
30-202(13)(a), C.R.S.
AA. “State Fiscal Year” means a 12-month period beginning on July 1 of each calendar year and ending on June
30 of the following calendar year. If a single calendar year follows the term, then it means the State Fiscal
Year ending in that calendar year.
BB. “State Records” means any and all State data, information, and records regardless of physical form.
CC. “Subaward Maximum Amount” means an amount equal to the total of Grant Funds for this Agreement.
DD. “Subcontractor” means any third party engaged by Subrecipient to aid in performance of the Work.
“Subcontractor” also includes sub -recipients of Grant Funds.
EE. “Subrecipient” means a non-Federal entity that receives a sub-award from a Recipient to carry out part of a
Federal program but does not include an individual that is a beneficiary of such program. A Subrecipient may
also be a recipient of other Federal Awards directly from a Federal Awarding Agency. For the purp oses of
this Agreement, Contractor is a Subrecipient.
FF. “Uniform Guidance” means the Office of Management and Budget Uniform Administrative Requirements,
Cost Principles, and Audit Requirements for Federal Awards, 2 CFR Part 200, commonly known as the
“Super Circular, which supersedes requirements from OMB Circulars A -21, A-87, A-110, A-122, A-89, A-
102, and A-133, and the guidance in Circular A-50 on Single Audit Act follow-up.
GG. “Work” means the Goods delivered and Services performed pursuant to this Agreement.
HH. “Work Product” means the tangible and intangible results of the Work, whether finished or unfinished,
including drafts. Work Product includes, but is not limited to, documents, text, software (including source
code), research, reports, proposals, specifications, plans, notes, studies, data, images, photographs, negatives,
pictures, drawings, designs, models, surveys, maps, materials, ideas, concepts, know-how, information, and
any other results of the Work. “Work Product” does not include any material that was developed prior to the
Effective Date that is used, without modification, in the performance of the Work.
Any other term used in this Agreement that is defined elsewhere in this Agreement or in an Exhibit shall be
construed and interpreted as defined in that section.
4. STATEMENT OF WORK AND BUDGET
Subrecipient shall complete the Work as described in this Agreement and in accordance with the provisions of
Exhibit A. The State shall have no liability to compen sate Subrecipient for the delivery of any goods or the
performance of any services that are not specifically set forth in this Agreement.
5. PAYMENTS TO SUBRECIPIENT
A. Subaward Maximum Amount
Payments to Subrecipient are limited to the unpaid, obligated balance of the Grant Funds. The State shall not
pay Subrecipient any amount under this Agreement that exceeds the Subaward Maximum Amount shown on
the Cover Page of this Agreement as “Federal Funds Maximum Amount”.
B. Payment Procedures
i. Invoices and Payment
a. The State shall pay Subrecipient in the amounts and in accordance with the schedule and other
conditions set forth in Exhibit A.
b. Subrecipient shall initiate payment requests by invoice to the State, in a form and manner approved
by the State.
c. The State shall pay each invoice within 45 days following the State’s receipt of that invoice, so long
as the amount invoiced correctly represents Work completed by Subrecipient and previously
accepted by the State during the term that the invoice covers. If the State determines that the amount
of any invoice is not correct, then Subrecipient shall make all changes necessary to correct that
invoice.
d. The acceptance of an invoice shall not constitute acceptance of any Work performed or Deliverables
provided under this Agreement.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 34
Contract Number: 21-HTR-ZL-00308/491002610 Page 7 of 45 Version 10/23/19
ii. Interest
Amounts not paid by the State within 45 days of the State’s acceptance of the invoice shall bear interest
on the unpaid balance beginning on the 45th day at the rate of 1% per month, as required by §24-30-
202(24)(a), C.R.S., until paid in full; provided, however, that interest shall not accrue on unpaid amounts
that the State disputes in writing. Subrecipient shall invoice the State separately for accrued interest on
delinquent amounts, and the invoice shall reference the delinquent payment, the number of days’ interest
to be paid and the interest rate.
iii. Payment Disputes
If Subrecipient disputes any calculation, determination or amount of any payment, Subrecipient shall
notify the State in writing of its dispute within 30 days following the earlier to occur of Subrecipient’s
receipt of the payment or notification of the determination or calculation of the payment by the State.
The State will review the information presented by Subr ecipient and may make changes to its
determination based on this review. The calculation, determination or payment amount that results from
the State’s review shall not be subject to additional dispute under this subsection. No payment subject to
a dispute under this subsection shall be due until after the State has concluded its review, and the State
shall not pay any interest on any amount during the period it is subject to dispute under this subsection.
iv. Available Funds-Contingency-Termination
The State is prohibited by law from making commitments beyond the term of the current State Fiscal
Year. Payment to Subrecipient beyond the current State Fiscal Year is contingent on the appropriation
and continuing availability of Grant Funds in any subsequent year (as provided in the Colorado Special
Provisions). If federal funds or funds from any other non-State funds constitute all or some of the Grant
Funds, the State’s obligation to pay Subrecipient shall be contingent upon such non-State funding
continuing to be made available for payment. Payments to be made pursuant to this Agreement shall be
made only from Grant Funds, and the State’s liability for such payments shall be limited to the amount
remaining of such Grant Funds. If State, federal or other funds are not appropriated, or otherwise become
unavailable to fund this Agreement, the State may, upon written notice, terminate this Agreement, in
whole or in part, without incurring further liability. The State shall, however, remain obligated to pay
for Services and Goods that are delivered and accepted prior to the effective date of notice of termination,
and this termination shall otherwise be treated as if this Agreement were terminated in the public interest
as described in §2.E.
v. Federal Recovery
The close-out of a Federal Award does not affect the right of the Federal Awarding Agency or the State
to disallow costs and recover funds on the basis of a later audit or other review. Any cost disallowance
recovery is to be made within the Record Retention Period, as defined below.
C. Matching Funds
Subrecipient shall provide Matching Funds as provided in Exhibit A. Subrecipient shall have raised the full
amount of Matching Funds prior to the Effective Date and shall report to the State regarding the status of
such funds upon request. Subrecipient’s obligation to pay all or any part of any Matching Funds, whether
direct or contingent, only extends to funds duly and lawfully appropriated for the purposes of this Agreement
by the authorized representatives of Subrecipient and paid into Subrecipient’s treasury or bank account.
Subrecipient represents to the State that the amount designated “Subrecipient’s Matching Funds” in Exhibit
A has been legally appropriated for the purposes of this Agreement by its authorized representatives and paid
into its treasury or bank account. Subrecipient does not by this Agreement irrevocably pledge present cash
reserves for payments in future fiscal years, and this Agreement is not intended to create a multiple-fiscal
year debt of Subrecipient. Subrecipient shall not pay or be liable for any claimed interest, late charges, fees,
taxes or penalties of any nature, except as required by Subrecipient’s laws or policies.
D. Reimbursement of Subrecipient Costs
i. The State shall reimburse Subrecipient for the federal share of properly documented allowable costs
related to the Work after review and approval thereof, subject to the provisions of §5, this Agreement,
and Exhibit A. However, any costs incurred by Subrecipient prior to the Effective Date shall not be
reimbursed absent specific allowance of pre-award costs and indication that the Federal Award funding
is retroactive. The State shall pay Subrecipient for costs or expenses incurred or performance by the
Subrecipient prior to the Effective Date, only if (1) the Grant Funds involve federal funding and (2)
federal laws, rules, and regulations applicable to the Work provide for such retroactive payments to the
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 35
Contract Number: 21-HTR-ZL-00308/491002610 Page 8 of 45 Version 10/23/19
Subrecipient. Any such retroactive payments shall comply with State Fiscal Rules and be made in
accordance with the provisions of this Agreement.
ii. The State shall reimburse Subrecipient’s allowable costs, not exceeding the Subaward Maximum
Amount shown on the Cover Page of this Agreement and on Exhibit A for all allowable costs described
in this Agreement and shown in Exhibit A, except that Subrecipient may adjust the amounts between
each line item of Exhibit A without formal modification to this Agreement as long as the Subrecipient
provides notice to the State of the change, the change does not modify the Subaward Maximum Amount
or the Subaward Maximum Amount for any federal fiscal year or State Fiscal Year, and the change does
not modify any requirements of the Work.
iii. The State shall only reimburse allowable costs described in this Agreement and shown in the Budget if
those costs are:
a. Reasonable and necessary to accomplish the Work and for the Goods and Services provided; and
b. Equal to the actual net cost to Subrecipient (i.e. the price paid minus any items of value received by
Subrecipient that reduce the cost actually incurred).
iv. Subrecipient’s costs for Work performed after the Fund Expenditure End Date shown on the Cover Page
for this Agreement, or after any phase performance period end date for a respective phase of the Work,
shall not be reimbursable. Subrecipient shall initiate any payment request by submitting invoices to the
State in the form and manner set forth and approved by the State.
E. Close-Out
Subrecipient shall close out this Award within 45 days after the Fund Expenditure End Date shown on the
Cover Page for this Agreement. To complete close-out, Subrecipient shall submit to the State all Deliverables
(including documentation) as defined in this Agreement and Subrecipient’s final reimbursement request or
invoice. The State will withhold 5% of allowable costs until all final documentation has been submitted and
accepted by the State as substantially complete. If the Federal Awarding Agency has not closed this Federal
Award within one year and 90 days after the Fund Expenditure End Date shown on the Cover Page for this
Agreement due to Subrecipient’s failure to submit required documentation, then Subrecipient may be
prohibited from applying for new Federal Awards through the State until such documentation is submitted
and accepted.
6. REPORTING - NOTIFICATION
A. Quarterly Reports
In addition to any reports required pursuant to any other Exhibit, for any Agree ment having a term longer
than three months, Subrecipient shall submit, on a quarterly basis, a written report specifying progress made
for each specified performance measure and standard in this Agreement. Such progress report shall be in
accordance with the procedures developed and prescribed by the State. Progress reports shall be submitted
to the State not later than five Business Days following the end of each calendar quarter or at such time as
otherwise specified by the State.
B. Litigation Reporting
If Subrecipient is served with a pleading or other document in connection with an action before a court or
other administrative decision making body, and such pleading or document relates to this Agreement or may
affect Subrecipient’s ability to perform its obligations under this Agreement, Subrecipient shall, within 10
days after being served, notify the State of such action and deliver copies of such pleading or document to
the State’s Principal Representative identified on the Cover Page for this Agreement.
C. Performance and Final Status
Subrecipient shall submit all financial, performance and other reports to the State no later than 45 calendar
days after the end of the Initial Term if no Extension Terms are exercised, or the final Extension Term
exercised by the State, containing an evaluation and review of Subrecipient’s performance and the final status
of Subrecipient’s obligations hereunder.
D. Violations Reporting
Subrecipient shall disclose, in a timely manner, in writing to the State and the Federal Awarding Agency, all
violations of federal or State criminal law involving fraud, bribery, or gratuity violations potentially affecting
the Federal Award. The State or the Federal Awarding Agency may impose any penalties for noncompliance
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 36
Contract Number: 21-HTR-ZL-00308/491002610 Page 9 of 45 Version 10/23/19
allowed under 2 CFR Part 180 and 31 U.S.C. 3321, which may include, without limitation, suspension or
debarment.
7. SUBRECIPIENT RECORDS
A. Maintenance
Subrecipient shall make, keep, maintain, and allow inspection and monitoring by the State of a complete file
of all records, documents, communications, notes and other written materials, electronic media files, and
communications, pertaining in any manner to the Work and the delivery of Services (including, but not
limited to the operation of programs) or Goods hereunde r (collectively, the “Subrecipient Records”).
Subrecipient shall maintain such records for a period of three years following the date of submission to the
State of the final expenditure report, or if this Award is renewed quarterly or annually, from the da te of the
submission of each quarterly or annual report, respectively (the “Record Retention Period”). If any litigation,
claim, or audit related to this Award starts before expiration of the Record Retention Period, the Record
Retention Period shall extend until all litigation, claims, or audit findings have been resolved and final action
taken by the State or Federal Awarding Agency. The Federal Awarding Agency, a cognizant agency for audit,
oversight or indirect costs, and the State, may notify Subrecipient in writing that the Record Retention Period
shall be extended. For records for real property and equipment, the Record Retention Period shall extend
three years following final disposition of such property.
B. Inspection
Subrecipient shall permit the State, the federal government, and any other duly authorized agent of a
governmental agency to audit, inspect, examine, excerpt, copy and transcribe Subrecipient Records during
the Record Retention Period. Subrecipient shall make Subrecipient Records available during normal business
hours at Subrecipient’s office or place of business, or at other mutually agreed upon times or locations, upon
no fewer than two Business Days’ notice from the State, unless the State determines that a shorter period of
notice, or no notice, is necessary to protect the interests of the State.
C. Monitoring
The State, the federal government, and any other duly authorized agent of a governmental agency, in its
discretion, may monitor Subrecipient’s performance of its obligations under this Agreement using procedures
as determined by the State or that governmental entity. Subrecipient shall allow the State to perform all
monitoring required by the Uniform Guidance, based on the State’s risk analysis of Subrecipient and this
Agreement. The State shall have the right, in its sole discretion, to change its monitoring procedures and
requirements at any time during the term of this Agreement. The State shall monitor Subrecipient’s
performance in a manner that does not unduly interfere with Subrecipient’s performance of the Work.
D. Final Audit Report
Subrecipient shall promptly submit to the State a copy of any final audit report of an audit performed on
Subrecipient’s records that relates to or affects this Agreement or the Work, whether the audit is conducted
by Subrecipient or a third party. Additionally, if Subrecipient is required to perform a single audit under 2
CFR 200.501, et. seq., then Subrecipient shall submit a copy of the results of that audit to the State within
the same timelines as the submission to the federal government.
8. CONFIDENTIAL INFORMATION - STATE RECORDS
A. Confidentiality
Subrecipient shall keep confidential, and cause all Subcontractors to keep confidential, all State Records,
unless those State Records are publicly available. Subrecipient shall not, without prior written approval of
the State, use, publish, copy, disclose to any third party, or permit the use by any third party of any State
Records, except as otherwise stated in this Agreement, permitted by law or approved in writing by the State.
Subrecipient shall provide for the security of all State Confidential Information in accordance with all
applicable laws, rules, policies, publications, and guidelines. Subrecipient shall immediately forward any
request or demand for State Records to the State’s Principal Representative identified on the Cover Page of
the Agreement.
B. Other Entity Access and Nondisclosure Agreements
Subrecipient may provide State Records to its agents, employees, assigns and Subcontract ors as necessary to
perform the Work, but shall restrict access to State Confidential Information to those agents, employees,
assigns and Subcontractors who require access to perform their obligations under this Agreement.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 37
Contract Number: 21-HTR-ZL-00308/491002610 Page 10 of 45 Version 10/23/19
Subrecipient shall ensure all such agents, employees, assigns, and Subcontractors sign agreements containing
nondisclosure provisions at least as protective as those in this Agreement, and that the nondisclosure
provisions are in force at all times the age nt, employee, assign or Subcontractor has access to any State
Confidential Information. Subrecipient shall provide copies of those signed nondisclosure provisions to the
State upon execution of the nondisclosure provisions if requested by the State.
C. Use, Security, and Retention
Subrecipient shall use, hold and maintain State Confidential Information in compliance with any and all
applicable laws and regulations only in facilities located within the United States, and shall maintain a secure
environment that ensures confidentiality of all State Confidential Information. Subrecipient shall provide the
State with access, subject to Subrecipient’s reasonable security requirements, for purposes of inspecting and
monitoring access and use of State Confidential Information and evaluating security control effectiveness.
Upon the expiration or termination of this Agreement, Subrecipient shall return State Records provided to
Subrecipient or destroy such State Records and certify to the State that it has done so, as directed by the State.
If Subrecipient is prevented by law or regulation from returning or destroying State Confidential Information,
Subrecipient warrants it will guarantee the confidentiality of, and cease to use, such State Confidential
Information.
D. Incident Notice and Remediation
If Subrecipient becomes aware of any Incident, Subrecipient shall notify the State immediately and cooperate
with the State regarding recovery, remediation, and the necessity to involve law enforcement, as determined
by the State. Unless Subrecipient can establish that Subrecipient and its agents, employees, and
Subcontractors are not the cause or source of the Incident, Subrecipient shall be responsible for the cost of
notifying each person who may have been impacted by the Incident. After an Incident, Subrecipient shall
take steps to reduce the risk of incurring a similar type of Incident in the future as directed by the State, which
may include, but is not limited to, developing and implementing a remediation plan that is approved by the
State at no additional cost to the State. The State may adjust or direct modifications to this plan, in its sole
discretion and Subrecipient shall make all modifications as directed by the State. If Subrecipient cannot
produce its analysis and plan within the allotted time, the State, in its sole discretion, may perform such
analysis and produce a remediation plan, and Subrecipient shall reimburse the State for the reasonable costs
thereof. The State may, in its sole discretion and at Subrecipient’s sole expense, require Subrecipient to
engage the services of an independent, qualified, State-approved third party to conduct a security audit.
Subrecipient shall provide the State with the results of such audit and evidence of Subrecipient’s planned
remediation in response to any negative findings.
E. Data Protection and Handling
Subrecipient shall ensure that all State Records and Work Product in the possession of Subrecipient or any
Subcontractors are protected and handled in accordance with the requirements of this Agreement, including
the requirements of any Exhibits hereto, at all times. As used in this section, the protections afforded Work
Product only apply to Work Product that requires confidential treatment.
F. Safeguarding PII
If Subrecipient or any of its Subcontractors will or may receive PII under this Agreement, Subrecipient shall
provide for the security of such PII, in a manner and form acceptable to the State, including, without
limitation, State non-disclosure requirements, use of appropriate technology, security practices, computer
access security, data access security, data storage encryption, data transmission encryption, security
inspections, and audits. Subrecipient shall be a “Third -Party Service Provider” as defined in §24-73-
103(1)(i), C.R.S., and shall maintain security procedures and practices consistent with §§24 -73-101 et seq.,
C.R.S.
9. CONFLICTS OF INTEREST
A. Actual Conflicts of Interest
Subrecipient shall not engage in any business or activities or maintain any relationships that conflict in any
way with the full performance of the obligations of Subrecipient under this Agreement. Such a conflict of
interest would arise when a Subrecipient or Subcontractor’s employee, officer or agent were to offer or
provide any tangible personal benefit to an employee of the State, or any member of his or her immediate
family or his or her partner, related to the award of, entry into or management or oversight of thi s Agreement.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 38
Contract Number: 21-HTR-ZL-00308/491002610 Page 11 of 45 Version 10/23/19
B. Apparent Conflicts of Interest
Subrecipient acknowledges that, with respect to this Agreement, even the appearance of a conflict of interest
shall be harmful to the State’s interests. Absent the State’s prior written approval, Subrecipient shall refrain
from any practices, activities or relationships that reasonably appear to be in conflict with the full
performance of Subrecipient’s obligations under this Agreement.
C. Disclosure to the State
If a conflict or the appearance of a conflict arises, or if Subrecipient is uncertain whether a conflict or the
appearance of a conflict has arisen, Subrecipient shall submit to the State a disclosure statement setting forth
the relevant details for the State’s consideration. Failure to promptly submit a disclosure statement or to
follow the State’s direction in regard to the actual or apparent conflict constitutes a breach of this Agreement.
D. Subrecipient acknowledges that all State employees are subject to the ethical principles described in §24-18-
105, C.R.S. Subrecipient further acknowledges that State employees may be subject to the requirements of
§24-18-105, C.R.S., with regard to this Agreement. For the avoidance of doubt, an actual or apparent conflict
of interest shall exist if Subrecipient employs or contracts with any State employee, any former State
employee within six months following such employee’s termination of employment with the State, or any
immediate family member of such current or former State employee. Subrecipient shall provide a disclosure
statement as described in §9.C. no later than ten days following entry into a contractual or employment
relationship as described in this section. Failure to timely submit a disclosure statement shall constitute a
Breach of Agreement. Subrecipient may also be subject to such penalties as are allowed by law.
10. INSURANCE
Subrecipient shall obtain and maintain, and ensure that each Subcontractor shall obtain and maintain, insurance
as specified in this section at all times during the term of this Agreement. All insurance policies required by this
Agreement that are not provided through self-insurance shall be issued by insurance companies as approved by
the State.
A. Workers’ Compensation
Workers’ compensation insurance as required by state statute, and employers’ liability insurance covering
all Subrecipient or Subcontractor employees acting within the course and scope of their employment.
B. General Liability
Commercial general liability insurance covering premises operations, fire damage, independent contractors,
products and completed operations, blanket contractual liability, personal injury, and advertising liability
with minimum limits as follows:
i. $1,000,000 each occurrence;
ii. $1,000,000 general aggregate;
iii. $1,000,000 products and completed operations aggregate; and
iv. $50,000 any 1 fire.
C. Automobile Liability
Automobile liability insurance covering any auto (including owned, hired and non -owned autos) with a
minimum limit of $1,000,000 each accident combined single limit .
D. Additional Insured
The State shall be named as additional insured on all commercial general liability policies (leases and
construction contracts require additional insured coverage for completed operations) required of Subrecipient
and Subcontractors.
E. Primacy of Coverage
Coverage required of Subrecipient and each Subcontractor shall be primary over any insurance or self-
insurance program carried by Subrecipient or the State.
F. Cancellation
All insurance policies shall include provisions preventing cancellation or non -renewal, except for
cancellation based on non-payment of premiums, without at least 30 days prior notice to Subrecipient and
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 39
Contract Number: 21-HTR-ZL-00308/491002610 Page 12 of 45 Version 10/23/19
Subrecipient shall forward such notice to the State in accordance with §14 within seven days of
Subrecipient’s receipt of such notice.
G. Subrogation Waiver
All insurance policies secured or maintained by Subrecipient or its Subcontractors in relation to this
Agreement shall include clauses stating that each carrier shall waive all rights of recovery under subrogation
or otherwise against Subrecipient or the State, its agencies, institutions, organizations, officers, agents,
employees, and volunteers.
H. Public Entities
If Subrecipient is a "public entity" within the meaning of the Colorado Governmental Immunity Act, §24 -
10-101, et seq., C.R.S. (the “GIA”), Subrecipient shall maintain, in lieu of the liability insurance requirements
stated above, at all times during the term of this Agreement such liability insurance, by commercial policy or
self-insurance, as is necessary to meet its liabilities under the GIA. If a Subcontractor is a public entity within
the meaning of the GIA, Subrecipient shall ensure that the Subcontractor maintain at all times during the
terms of this Subrecipient, in lieu of the liability insurance requirements stated above, such liability insurance,
by commercial policy or self-insurance, as is necessary to meet the Subcontractor’s obligations under the
GIA.
I. Certificates
For each insurance plan provided by Subrecipient under this Agreement, Subrecipient shall provide to the
State certificates evidencing Subrecipient’s insurance coverage required in this Agreement prior to the
Effective Date. Subrecipient shall provide to the State certificates evidencing Subcontractor insurance
coverage required under this Agreement prior to the Effective Date, except that, if Subrecipient’s subcontract
is not in effect as of the Effective Date, Subrecipient shall provide to the S tate certificates showing
Subcontractor insurance coverage required under this Agreement within seven Business Days following
Subrecipient’s execution of the subcontract. No later than 15 days before the expiration date of Subrecipient’s
or any Subcontractor’s coverage, Subrecipient shall deliver to the State certificates of insurance evidencing
renewals of coverage. At any other time during the term of this Agreement, upon request by the State,
Subrecipient shall, within seven Business Days following the request by the State, supply to the State
evidence satisfactory to the State of compliance with the provisions of this section.
11. BREACH OF AGREEMENT
In the event of a Breach of Agreement, the aggrieved Party shall give written notice of breach to the other
Party. If the notified Party does not cure the Breach of Agreement, at its sole expense, within 30 days after
the delivery of written notice, the Party may exercise any of the remedies as described in §12 for that Party.
Notwithstanding any provision of this Agreement to the contrary, the State, in its discretion, need not provide
notice or a cure period and may immediately terminate this Agreement in whole or in part or institute any
other remedy in this Agreement in order to protect the public interest of the State; or if Subrecipient is
debarred or suspended under §24-109-105, C.R.S., the State, in its discretion, need not provide notice or cure
period and may terminate this Agreement in whole or in part or institute any other remedy in this Agreement
as of the date that the debarment or suspension takes effect.
12. REMEDIES
A. State’s Remedies
If Subrecipient is in breach under any provision of this Agreement and fails to cure such breach, the State,
following the notice and cure period set forth in §11, shall have all of the remedies listed in this section in
addition to all other remedies set forth in this Agreement or at law. The State may exercise any or all of the
remedies available to it, in its discretion, concurrently or consecutively.
i. Termination for Breach of Agreement
In the event of Subrecipient’s uncured breach, the State may terminate this entire Agreement or any part
of this Agreement. Additionally, if Subrecipient fails to comply with any terms of the Federal Award,
then the State may, in its discretion or at the direction of a Federal Awarding Agency, terminate this
entire Agreement or any part of this Agreement. Subrecipient shall continue performance of this
Agreement to the extent not terminated, if any.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 40
Contract Number: 21-HTR-ZL-00308/491002610 Page 13 of 45 Version 10/23/19
a. Obligations and Rights
To the extent specified in any termination notice, Subrecipient shall not incur further obligations or
render further performance past the effective date of such notice, and shall terminate outstanding
orders and subcontracts with third parties. However, Subrecipient shall complete and deliver to the
State all Work not cancelled by the termination notice, and may incur obligations as necessary to do
so within this Agreement’s terms. At the request of the State, Subrecipient shall assign to the State
all of Subrecipient’s rights, title, and interest in and to such terminated orders or subcontracts. Upon
termination, Subrecipient shall take timely, reasonable and necessary action to protect and preserve
property in the possession of Subrecipient but in which the State has an interest. At the State’s
request, Subrecipient shall return materials owned by the State in Subrecipient’s possession at the
time of any termination. Subrecipient shall deliver all completed Work Product and all Work
Product that was in the process of completion to the State at the State’s request.
b. Payments
Notwithstanding anything to the contrary, the State shall only pay Subrecipient for accepted Work
received as of the date of termination. If, after termination by the State, the State agrees that
Subrecipient was not in breach or that Subrecipient’s action or inaction was excusable, such
termination shall be treated as a termination in the public interest , and the rights and obligations of
the Parties shall be as if this Agreement had been terminated in the public interest under §2.E.
c. Damages and Withholding
Notwithstanding any other remedial action by the State, Subrecipient shall remain liable to the State
for any damages sustained by the State in connection with any breach by Subrecipient, and the State
may withhold payment to Subrecipient for the purpose of mitigating the State’s damages until such
time as the exact amount of damages due to the State from Subrecipient is determined. The State
may withhold any amount that may be due Subrecipient as the State deems necessary to protect the
State against loss including, without limitation, loss as a result of outstanding liens and excess costs
incurred by the State in procuring from third parties replacement Work as cover.
ii. Remedies Not Involving Termination
The State, in its discretion, may exercise one or more of the following additional remedies:
a. Suspend Performance
Suspend Subrecipient’s performance with respect to all or any portion of the Work pending
corrective action as specified by the State without entitling Subrecipient to an adjustment in price
or cost or an adjustment in the performance schedule. Subrecipient shall promptly cease performing
Work and incurring costs in accordance with the State’s directive, and the State shall not be liable
for costs incurred by Subrecipient after the suspension of performance.
b. Withhold Payment
Withhold payment to Subrecipient until Subrecipient corrects its Work.
c. Deny Payment
Deny payment for Work not performed, or that due to Subrecipient’s actions or inactions, cannot be
performed or if they were performed are reasonably of no value to the state ; provided, that any
denial of payment shall be equal to the value of the obligations not performed.
d. Removal
Demand immediate removal of any of Subrecipient’s employees, agents, or Subcontractors from the
Work whom the State deems incompetent, careless, insubordinate, unsuitable, or otherwise
unacceptable or whose continued relation to this Agreement is deemed by the State to be contrary
to the public interest or the State’s best interest.
e. Intellectual Property
If any Work infringes, or if the State in its sole discretion determines that any Work is likely to
infringe, a patent, copyright, trademark, trade secret or other intellectual property right, Subrecipient
shall, as approved by the State (i) secure that right to use such Work for the State and Subrecipient;
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 41
Contract Number: 21-HTR-ZL-00308/491002610 Page 14 of 45 Version 10/23/19
(ii) replace the Work with noninfringing Work or modify the Work so that it becomes noninfringing;
or, (iii) remove any infringing Work and refund the amount paid for such Work to the State.
B. Subrecipient’s Remedies
If the State is in breach of any provision of this Agreement and does not cure such breach, Subrecipient,
following the notice and cure period in §11 and the dispute resolution process in §13 shall have all remedies
available at law and equity.
13. DISPUTE RESOLUTION
A. Initial Resolution
Except as herein specifically provided otherwise, disputes concerning the performance of this Agreement
which cannot be resolved by the designated Agreement representatives shall be referred in writing to a senior
departmental management staff member designated by the State and a senior manager designated by
Subrecipient for resolution.
B. Resolution of Controversies
If the initial resolution described in §13.A fails to resolve the dispute within 10 Business Days, Subrecipient
shall submit any alleged breach of this Agreement by the State to the Procurement Official of the State
Agency named on the Cover Page of this Agreement as described in §24-101-301(30), C.R.S., for resolution
following the same resolution of controversies process as described in §§24 -106-109, and 24-109-101.1
through 24-109-505, C.R.S., (collectively, the “Resolution Statutes”), except that if Subrecipient wishes to
challenge any decision rendered by the Procurement Official, Subrecipient’s challenge shall be an appeal to
the executive director of the Department of Personnel and Administration, or their delegate, in the same
manner as described in the Resolution Statutes before Subrecipient pursues any further action. Except as
otherwise stated in this Section, all requirements of the Resolution Statutes shall apply including, without
limitation, time limitations regardless of whether the Colorado Procurement Code applies to this Agreement .
14. NOTICES and REPRESENTATIVES
Each individual identified as a Principal Representative on the Cover Page for this Agreement shall be the
principal representative of the designating Party. All notices required or permitted to be given under this
Agreement shall be in writing, and shall be delivered (A) by hand with receipt required, (B) by certified or
registered mail to such Party’s principal representative at the address set forth on the Cover Page for this
Agreement or (C) as an email with read receipt requested to the principal representative at the email address, if
any, set forth on the Cover Page for this Agreement. If a Party delivers a notice to another through email and the
email is undeliverable, then, unless the Party has been provided with an alternate email contact, the Party
delivering the notice shall deliver the notice by hand with receipt required or by certified or registered mail to
such Party’s principal representative at the address set forth on the Cover Page for this Agreement. Either Party
may change its principal representative or principal representative contact information, or may designate specific
other individuals to receive certain types of notices in addition to or in lieu of a principal representative, by notice
submitted in accordance with this section without a formal amendment to this Agreement. Unless otherwise
provided in this Agreement, notices shall be effective upon delivery of the written notice.
15. RIGHTS IN WORK PRODUCT AND OTHER INFORMATION
A. Work Product
Subrecipient agrees to provide to the State a royalty-free, non-exclusive and irrevocable license to reproduce
publish or otherwise use and to authorize others to use the Work Product described herein, for the Federal
Awarding Agency’s and State’s purposes. All Work Product shall be delivered to the State by Subrecipient
upon completion or termination hereof.
B. Exclusive Property of the State
Except to the extent specifically provided elsewhere in this Agreement, all State Records, documents, text,
software (including source code), research, reports, proposals, specifications, plans, notes, studies, data,
images, photographs, negatives, pictures, drawings, designs, models, surveys, maps, materials, ideas,
concepts, know-how, and information provided by or on behalf of the State to Subrecipient are the exclusive
property of the State (collectively, “State Materials”). Subrecipient shall not use, willingly allow, cause or
permit Work Product or State Materials to be used for any purpose other than the performance of
Subrecipient’s obligations in this Agreement without the prior written consent of the State. Upon termination
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 42
Contract Number: 21-HTR-ZL-00308/491002610 Page 15 of 45 Version 10/23/19
of this Agreement for any reason, Subrecipient shall provide all Work Product and State Materials to the
State in a form and manner as directed by the State.
C. Exclusive Property of Subrecipient
Subrecipient retains the exclusive rights, title, and ownership to any and all pre -existing materials owned or
licensed to Subrecipient including, but not limited to, all pre-existing software, licensed products, associated
source code, machine code, text images, audio and/or video, and third -party materials, delivered by
Subrecipient under this Agreement, whether incorporated in a Deliverable or necessary to use a Deliverable
(collectively, “Subrecipient Property”). Subrecipient Property shall be licensed to the State as set forth in this
Agreement or a State approved license agreement: (i) entered into as exhibits to this Agreement, (ii) obtained
by the State from the applicable third-party vendor, or (iii) in the case of open source software, the license
terms set forth in the applicable open source license agreement.
16. GENERAL PROVISIONS
A. Assignment
Subrecipient’s rights and obligations under this Agreement are personal and may not be transferred or
assigned without the prior, written consent of the State. Any attempt at assignment or transfer without such
consent shall be void. Any assignment or transfer of Subrecipient’s rights and obligations approved by the
State shall be subject to the provisions of this Agreement.
B. Subcontracts
Subrecipient shall not enter into any subaward or subcontract in connection with its obligations under this
Agreement without the prior, written approval of the State. Subrecipient shall submit to the State a copy of
each such subaward or subcontract upon request by the State. All subawards and subcontracts entered into
by Subrecipient in connection with this Agreement shall comply with all applicable federal and state laws
and regulations, shall provide that they are governed by the laws of the State of Colorado, and shall be subject
to all provisions of this Agreement. If the entity with whom Subrecipient enters into a subcontract or
subaward would also be considered a Subrecipient, then the subcontract or subaward entered into by
Subrecipient shall also contain provisions permitting both Subrecipient and the State to perform all
monitoring of that Subcontractor in accordance with the Uniform Guidance.
C. Binding Effect
Except as otherwise provided in §16.A, all provisions of this Agreement, including the benefits and burdens,
shall extend to and be binding upon the Parties’ respective successors and assigns.
D. Authority
Each Party represents and warrants to the other that the execution and delivery of this Agreement and the
performance of such Party’s obligations have been duly authorized.
E. Captions and References
The captions and headings in this Agreement are for convenience of reference only, and shall not be used to
interpret, define, or limit its provisions. All references in this Agreement to sections (whether spelled out or
using the § symbol), subsections, exhibits or other attachments, are references to sections, subsections,
exhibits or other attachments contained herein or incorporated as a part hereof, unless otherwise noted.
F. Counterparts
This Agreement may be executed in multiple, identical, original counterparts, each of which shall be deemed
to be an original, but all of which, taken together, shall constitute one and the same agreement.
G. Entire Understanding
This Agreement represents the complete integration of all understandings between the Parties related to the
Work, and all prior representations and understandings related to the Work, oral or written, are merged into
this Agreement. Prior or contemporaneous additions, deletions, or other changes to this Agreement shall not
have any force or effect whatsoever, unless embodied herein.
H. Digital Signatures
If any signatory signs this Agreement using a digital signature in a ccordance with the Colorado State
Controller Contract, Grant and Purchase Order Policies regarding the use of digital signatures issued under
the State Fiscal Rules, then any agreement or consent to use digital signatures within the electronic system
through which that signatory signed shall be incorporated into this Agreement by reference.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 43
Contract Number: 21-HTR-ZL-00308/491002610 Page 16 of 45 Version 10/23/19
I. Modification
Except as otherwise provided in this Agreement, any modification to this Agreement shall only be effective
if agreed to in a formal amendment to this Agreement, properly executed and approved in accordance with
applicable Colorado State law and State Fiscal Rules. Modifications permitted under this Agreement, other
than Agreement amendments, shall conform to the policies issued by the Colorado State Controller.
J. Statutes, Regulations, Fiscal Rules, and Other Authority.
Any reference in this Agreement to a statute, regulation, State Fiscal Rule, fiscal policy or other authority
shall be interpreted to refer to such authority then current, as may have b een changed or amended since the
Effective Date of this Agreement.
K. External Terms and Conditions
Notwithstanding anything to the contrary herein, the State shall not be subject to any provision included in
any terms, conditions, or agreements appearing on Subrecipient’s or a Subcontractor’s website or any
provision incorporated into any click-through or online agreements related to the Work unless that provision
is specifically referenced in this Agreement.
L. Severability
The invalidity or unenforceability of any provision of this Agreement shall not affect the validity or
enforceability of any other provision of this Agreement, which shall remain in full force and effect, provided
that the Parties can continue to perform their obligations under this Ag reement in accordance with the intent
of this Agreement.
M. Survival of Certain Agreement Terms
Any provision of this Agreement that imposes an obligation on a Party after termination or expiration of this
Agreement shall survive the termination or expiration of this Agreement and shall be enforceable by the other
Party.
N. Taxes
The State is exempt from federal excise taxes under I.R.C. Chapter 32 (26 U.S.C., Subtitle D, Ch. 32) (Federal
Excise Tax Exemption Certificate of Registry No. 84-730123K) and from State and local government sales
and use taxes under §§39-26-704(1), et seq., C.R.S. (Colorado Sales Tax Exemption Identification Number
98-02565). The State shall not be liable for the payment of any excise, sales, or use taxes, regardless of
whether any political subdivision of the State imposes such taxes on Subrecipient. Subrecipient shall be solely
responsible for any exemptions from the collection of excise, sales or use taxes that Subrecipient may wish
to have in place in connection with this Agree ment.
O. Third Party Beneficiaries
Except for the Parties’ respective successors and assigns described in §16.A, this Agreement does not and is
not intended to confer any rights or remedies upon any person or entity other than the Parties. Enforcement
of this Agreement and all rights and obligations hereunder are reserved solely to the Parties. Any services or
benefits which third parties receive as a result of this Agreement are incidental to this Agreement, and do not
create any rights for such third parties.
P. Waiver
A Party’s failure or delay in exercising any right, power, or privilege under this Agreement, whether explicit
or by lack of enforcement, shall not operate as a waiver, nor shall any single or partial exercise of any right,
power, or privilege preclude any other or further exercise of such right, power, or privilege.
Q. CORA Disclosure
To the extent not prohibited by federal law, this Agreement and the performance measures and standards
required under §24-106-107, C.R.S., if any, are subject to public release through the CORA.
R. Standard and Manner of Performance
Subrecipient shall perform its obligations under this Agreement in accordance with the highest standards of
care, skill and diligence in Subrecipient’s industry, trade, or profession.
S. Licenses, Permits, and Other Authorizations
i. Subrecipient shall secure, prior to the Effective Date, and maintain at all times during the term of this
Agreement, at its sole expense, all licenses, certifications, permits, and other authorizations required to
perform its obligations under this Agreement, and shall ensure that all employees, agents and
Subcontractors secure and maintain at all times during the term of their employment, agency or
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 44
Contract Number: 21-HTR-ZL-00308/491002610 Page 17 of 45 Version 10/23/19
Subcontractor, all license, certificatio ns, permits and other authorizations required to perform their
obligations in relation to this Agreement.
ii. Subrecipient, if a foreign corporation or other foreign entity transacting business in the State of Colorado,
shall obtain prior to the Effective Date and maintain at all times during the term of this Agreement, at its
sole expense, a certificate of authority to transact business in the State of Colorado and designate a
registered agent in Colorado to accept service of process.
T. Federal Provisions
Subrecipient shall comply with all applicable requirements of Exhibits C and D at all times during the term
of this Agreement.
17. COLORADO SPECIAL PROVISIONS (COLORADO FISCAL RULE 3-3)
These Special Provisions apply to all agreements except where noted in italics.
A. STATUTORY APPROVAL. §24-30-202(1), C.R.S.
This Agreement shall not be valid until it has been approved by the Colorado State Controller or designee.
If this Agreement is for a Major Information Technology Project, as defined in §24 -37.5-102(2.6), C.R.S.,
then this Agreement shall not be valid until it has been approved by the State’s Chief Information Officer or
designee.
B. FUND AVAILABILITY. §24-30-202(5.5), C.R.S.
Financial obligations of the State payable after the current State Fiscal Year are contingent upon funds for
that purpose being appropriated, budgeted, and otherwise made available .
C. GOVERNMENTAL IMMUNITY.
Liability for claims for injuries to persons or property arising from the negligence of the State, its
departments, boards, commissions committees, bureaus, offices, employees and officials shall be controlled
and limited by the provisions of the Colorado Governmental Immunity Act, §24 -10-101, et seq., C.R.S.; the
Federal Tort Claims Act, 28 U.S.C. Pt. VI, Ch. 171 and 28 U.S.C. 13 46(b), and the State’s risk management
statutes, §§24-30-1501, et seq. C.R.S. No term or condition of this Agreement shall be construed or
interpreted as a waiver, express or implied, of any of the immunities, rights, benefits, protections, or other
provisions, contained in these statutes.
D. INDEPENDENT CONTRACTOR.
Subrecipient shall perform its duties hereunder as an independent contractor and not as an employee. Neither
Subrecipient nor any agent or employee of Subrecipient shall be deemed to be an agent or employee of the
State. Subrecipient shall not have authorization, express or implied, to bind the State to any agreement,
liability or understanding, except as expressly set forth herein. Subrecipient and its employees and agents
are not entitled to unemployment insurance or workers compensation benefits through the State and
the State shall not pay for or otherwise provide such coverage for Subrecipient or any of its agents or
employees. Subrecipient shall pay when due all applicable employment taxes and income taxes and
local head taxes incurred pursuant to this Agreement. Subrecipient shall (i) provide and keep in force
workers' compensation and unemployment compensation insurance in the amounts required by law,
(ii) provide proof thereof when requested by the State, and (iii) be solely responsible for its acts and
those of its employees and agents.
E. COMPLIANCE WITH LAW.
Subrecipient shall comply with all applicable federal and State laws, rules, and regulations in effect or
hereafter established, including, without limitation, laws applicable to discrimination and unfair employment
practices.
F. CHOICE OF LAW, JURISDICTION, AND VENUE.
Colorado law, and rules and regulations issued pursuant thereto, shall be applied in the interpretation,
execution, and enforcement of this Agreement. Any provision included or incorporated herein by reference
which conflicts with said laws, rules, and regulations shall be null and void. All suits or actions related to this
Agreement shall be filed and proceedings held in the State of Colorado and exclusive venue shall be in the
City and County of Denver.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 45
Contract Number: 21-HTR-ZL-00308/491002610 Page 18 of 45 Version 10/23/19
G. PROHIBITED TERMS.
Any term included in this Agreement that requires the State to indemnify or hold Subrecipient harmless;
requires the State to agree to binding arbitration; limits Subrecipient’s liability for damages resulting from
death, bodily injury, or damage to tangible property; or that conflicts with this provision in any way shall be
void ab initio. Nothing in this Agreement shall be construed as a waiver of any provision of §24 -106-109,
C.R.S.
H. SOFTWARE PIRACY PROHIBITION.
State or other public funds payable under this Agreement shall not be used for the acquisition, operation, or
maintenance of computer software in violation of federal copyright laws or applicable licensing restrictions.
Subrecipient hereby certifies and warrants that, during the term of this Agreement and any extensions,
Subrecipient has and shall maintain in place appropriate systems and controls to prevent such improper use
of public funds. If the State determines that Subrecipient is in violation of this provision, the State may
exercise any remedy available at law or in equity or under this Agreement, including, without limitation,
immediate termination of this Agreement and any remedy consistent with federal copyright laws or
applicable licensing restrictions.
I. EMPLOYEE FINANCIAL INTEREST/CONFLICT OF INTEREST. §§24-18-201 and 24-50-507,
C.R.S.
The signatories aver that to their knowledge, no employee of the State has any personal or beneficial interest
whatsoever in the service or property described in this Agreement. Subrecipient has no interest and shall not
acquire any interest, direct or indirect, that would conflict in any manner or degree with the performance of
Subrecipient’s services and Subrecipient shall not employ any person having such known interests.
J. VENDOR OFFSET AND ERRONEOUS PAYMENTS. §§24-30-202(1) and 24-30-202.4, C.R.S.
[Not applicable to intergovernmental agreements] Subject to §24-30-202.4(3.5), C.R.S., the State Controller
may withhold payment under the State’s vendor offset intercept system for debts owed to State agencies for:
(i) unpaid child support debts or child support arrearages; (ii) unpaid balances of tax, accrued interest, or
other charges specified in §§39-21-101, et seq., C.R.S.; (iii) unpaid loans due to the Student Loan Division
of the Department of Higher Education; (iv) amounts required to be paid to the Unemployment Compensation
Fund; and (v) other unpaid debts owing to the State as a result of final agency determination or judicial action.
The State may also recover, at the State’s discretion, payments made to Subrecipient in error for any reason,
including, but not limited to, overpayments or improper payments, and unexpended or excess funds received
by Subrecipient by deduction from subsequent payments under this Agreement, deduction from any payment
due under any other contracts, grants or agreements between the State and Subrecipient, or by any other
appropriate method for collecting debts owed to the State.
K. PUBLIC CONTRACTS FOR SERVICES. §§8-17.5-101, et seq., C.R.S.
[Not applicable to agreements relating to the offer, issuance, or sale of securities, investment advisory
services or fund management services, sponsored projects, intergovernmental agreements, or information
technology services or products and services] Subrecipient certifies, warrants, and agrees that it does not
knowingly employ or contract with an illegal alien who will perform work under this Agreement and will
confirm the employment eligibility of all employees who are newly hired for employment in the United States
to perform work under this Agreement, through participation in the E-Verify Program or the State verification
program established pursuant to §8-17.5-102(5)(c), C.R.S., Subrecipient shall not knowingly employ or
contract with an illegal alien to perform work under this Agreement or enter into a contract with a
Subcontractor that fails to certify to Subrecipient that the Subcontractor shall not knowingly employ or
contract with an illegal alien to perform work under this Agreement. Subrecipient (i) shall not use E-Verify
Program or the program procedures of the Colorado Department of Labor and Employment (“Department
Program”) to undertake pre-employment screening of job applicants while this Agreement is being
performed, (ii) shall notify the Subcontractor and the contracting State agency or institution of higher
education within three days if Subrecipient has actual knowledge that a Subcontractor is employing or
contracting with an illegal alien for work under this Agreement, (iii) shall terminate the subcontract if a
Subcontractor does not stop employing or contracting with the illegal alien within three days of receiving the
notice, and (iv) shall comply with reasonable requests made in the course of an investigation, undertaken
pursuant to §8-17.5-102(5), C.R.S., by the Colorado Department of Labor and Employment. If Subrecipient
participates in the Department program, Subrecipient shall deliver to the contracting State agency, Institution
of Higher Education or political subdivision, a written, notarized affirmation, affirming that Subrecipient has
examined the legal work status of such employee, and shall comply with all of the other requirements of the
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 46
Contract Number: 21-HTR-ZL-00308/491002610 Page 19 of 45 Version 10/23/19
Department program. If Subrecipient fails to comply with any requirement of this provision or §§8-17.5-101,
et seq., C.R.S., the contracting State agency, institution of higher education or political sub division may
terminate this Agreement for breach and, if so terminated, Subrecipient shall be liable for damages.
L. PUBLIC CONTRACTS WITH NATURAL PERSONS. §§24-76.5-101, et seq., C.R.S.
Subrecipient, if a natural person eighteen (18) years of age or older, hereby swears and affirms under penalty
of perjury that Subrecipient (i) is a citizen or otherwise lawfully present in the United States pursuant to
federal law, (ii) shall comply with the provisions of §§24 -76.5-101, et seq., C.R.S., and (iii) has produced
one form of identification required by §24-76.5-103, C.R.S., prior to the Effective Date of this Agreement.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 47
Contract Number: 21-HTR-ZL-00308/491002610 Page 20 of 45 Version 10/23/19
EXHIBIT A, STATEMENT OF WORK AND BUDGET
Project Description* 2020 5339 (b) Estes Park Electric Trolley Facility Design
Federal Awarding Agency Federal Transit Administration (FTA)
Federal Regional Contact Cindy Terwilliger
Federal Award Date To Be Determined
Project End Date December 31, 2024
FAIN To Be Determined CFDA # 20.526
CFDA Title
Bus and Bus Facilities Grants Program
Subrecipient Estes Park, Town of DUNS # 078355450
Contact Name Vendor # 2000306
Address PO Box 1200
Estes Park, Colorado 80517-1200
Phone 970-577-3957
Email vsolesbee@estes.org Indirect Rate N/A
WBS** 20-39-0025.ESTE.114 ALI 11.41.04
Total Project Budget $35,894.00
Federal FTA-5339 Funds (at 80% or less) $28,715.00
Local Funds (at 20% or more) $7,179.00
Total Project Amount Encumbered via this Subaward Agreement $35,894.00
*This is not a research and development grant.
**The WBS numbers may be replaced without changing the amount of the subaward at CDOT’s discretion.
A. Project Description
The Town of Estes Park will use 2020 FTA Section 5339(b) funds, along with local matching funds, to develop the
architectural plans and design for the construction of two large vehicle bays within which to store two electric
battery trolley buses, as more fully described below. The project will support the goals of the Statewide Transit Plan.
ALI QTY Fuel Type Description FTA Amount
11.41.04 N/A N/A Facility design $28,715
The Town of Estes Park is a governmental entity located in Larimer County, Colorado, and operates Estes Transit, a
free public transportation shuttle service. The service is free and open to all riders and is offered both during the
summer months (“peak season service”) and for special events throughout the year. Transit service information is
presented on the Town’s website at www.estes.org/shuttles.
The Town currently operates gasoline-fueled trolley buses and has no indoor storage. The Town was recently
awarded FTA grants for the purchase two (2) electric battery trolley buses and a charging station for one of the
buses. One electric trolley was put into service in 2020, and the second is expected to be delivered in 2021. The
Public Works Department, sponsor of the Town’s transit service, is moving its fleet shop into a n existing building
previously occupied by the Town Water Division. In order to house and protect the new trolleys, two large vehicle
bays will need to be constructed by adding to the existing building. Federal Section 5339(b) funds have been
awarded for design and construction of the two vehicle bays, as well as fo r the purchase of an additional charging
station. Before initiating construction, a site review of the construction site must be completed and design work must
be conducted. In accordance with Chapter III of FTA Circular 4702.1 B, a Title VI Equity Analysi s comparing the
impacts on minority and low-income persons of sitting facilities at any identified feasible locations will also be
completed. At 30% design, a Categorical Exclusion (CatEx) worksheet should be completed to address
environmental compliance prior to construction. Separate scopes and agreements will be developed for the purchase
of the additional charging station and for the construction of the vehicle bays.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 48
Contract Number: 21-HTR-ZL-00308/491002610 Page 21 of 45 Version 10/23/19
Other project details are listed below:
Project Address: 577 Elm Road, Estes Park, Colorado 80517
National Environmental Policy Act (NEPA):
The Town of Estes Park must ensure that the environmental consequences of its transportation project have been
adequately considered and that required mitigation measures can be completed within the time frame and budget
described in the Subaward Agreement. An environmental clearance is required before final design, right-of-way
acquisition and construction funds are authorized. The Town will work with CDOT and FTA on CatEX approval in
order to meet the environmental requirements. Among those requirements, Environmental Justice c onsiderations
should be analyzed and documented, if applicable. For more information, see Chapter 9.15 of the CDOT NEPA
Manual, found at: https://www.codot.gov/programs/e nvironmental/nepa-program/nepa-manual.
Key Tasks/Deliverables:
a. Review of the site plan by a professional engineer.
b. Procure the professional services of a design/architectural firm
c. Review the site plan
d. Design the project at a 30% level for environmental review ( CDOT Staff will participate in the review)
e. Conduct environmental clearance process and attain FTA’s approval prior to final design stage
f. Complete the final design, notifying CDOT in advance so CDOT staff can review the final design along
with the Town of Estes Park
g. Prepare construction cost estimates
B. Performance Standards
Design Milestone Description Original Estimated
Completion Date
Submit Procurement Concurrence Request (PCR) to CDOT Project Manager for
Approval
6/30/2021
Submit Procurement Authorization (PA) and solicitation doc uments to a CDOT Project
Manager for Approval
7/15/2021
30% of Design Completion Date 9/30/2021
Submit First Reimbursement Request in COTRAMS 10/31/2021
Submit First Progress Report to Grant Unit Manager 10/31/2021
100% of Design Completion Date 12/31/2021
Submit Final Reimbursement Request in COTRAMS 5/31/2022
IMPORTANT NOTE: All milestones in this Statement of Work (except for the final reimbursement request)
must be completed no later than the expiration date of this Grant Agreement: 12/31/2024.
Performance will be reviewed throughout the duration of this Grant Agreement. Town of Estes Park shall report to
the CDOT Project Manager whenever one or more of the following occurs:
a. Budget or schedule changes;
b. Scheduled milestone or completion dates are not met;
c. Identification of problem areas and how the problems will be resolved; and/or
d. Expected impacts and the efforts to recover from delays.
Town of Estes Park will be responsible for performing and adhering to the following design requirements:
a. Prepare and provide preliminary and final design (“Construction Plans”) including drawings,
plans, plats, descriptive or supportive material or special provisions and estimates (collectively
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 49
Contract Number: 21-HTR-ZL-00308/491002610 Page 22 of 45 Version 10/23/19
known as “Plans”), as required to communicate the design intent a nd to achieve all required local
and state approvals, including planning approvals as required by the Local Authority Having
Jurisdiction (AHJ), adopted County or Town Codes, and applicable State and Federal
requirements.
b. Upon reaching 30% design, work with CDOT and FTA on CatEX approval in order to meet
NEPA environmental requirements prior to finalizing design work.
c. Prepare final design construction plans in accordance with the requirements, as applicable, of the
latest edition of the International Building Code, latest edition adopted by the Town of Estes Park.
d. Prepare special provisions and estimates in accordance with any specifications as approved by
CDOT.
e. The Plans produced shall be stamped by Colorado Registered Professional Engineers and
Architect. Plans shall be reviewed and approved in accordance with all Town or AHJ requirements
and shall be permitted through the local authority.
f. Provide final assembly of Plans and contract documents for the purpose of bidding the project for
construction.
g. Comply with the requirements of the Americans with Disabilities Act (ADA), and applicable
federal regulations and standards as contained in the document “ADA Accessibility Requirements
in CDOT Transportation Projects” as well as CDOT Procedural Directive 6 05.1, “ADA
Accessibility Requirements.”
h. Afford CDOT ample opportunity to review the Plans and make any changes in the Plans that are
directed by CDOT to comply with State requirements.
i. Submit to CDOT no less than quarterly, or more frequently as requested by CDOT, a report of
progress and expenditures made throughout the implementation of the project.
C. Project Budget
1. The Total Project Budget is $35,894.00. CDOT will pay no more than 80% of the eligible, actual
project costs, up to the maximum amount of $28,715.00. CDOT will retain any remaining balance
of the federal share of FTA-5339 Funds. Town of Estes Park shall be solely responsible for all
costs incurred in the project in excess of the amount paid by CDOT from Federal Funds for the
federal share of eligible, actual costs. For CDOT accounting purposes, the Federal Funds of
$28,715.00 (80%) and matching Local Funds of $7,179.00 (20%), will be encumbered for this
Subaward Agreement.
2. No refund or reduction of the amount of Town of Estes Park’s share to be p rovided will be
allowed unless there is at the same time a refund or reduction of the federal share of a
proportionate amount.
3. Town of Estes Park may use eligible federal funds for the Local Funds share, but those funds
cannot be from other Federal Department of Transportation (DOT) programs. Town of Estes
Park’s share, together with the Federal Funds share, must be enough to ensure payment of the
Total Project Budget.
4. Per the terms of this Subaward Agreement, CDOT shall have no obligation to provide state funds
for use on this project. CDOT will administer Federal Funds for this project under the terms of this
Subaward Agreement, provided that the federal share of FTA funds to be administered by CDOT
are made available and remain available. Town of Estes Park shall initiate and prosecute to
completion all actions necessary to enable Town of Estes Park to provide its share of the Total
Project Budget at or prior to the time that such funds are needed to meet the Total Project Budget.
D. Procurement
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 50
Contract Number: 21-HTR-ZL-00308/491002610 Page 23 of 45 Version 10/23/19
Procurement of the professional services will comply with state procurement procedures, the DTR Quick
Procurement Guide, as well as FTA’s requirements and 2 CFR 200.320. In addition to the state requirements
outlined below, state and FTA procedures (where applicable) for purchase of the Capital Asset(s) must be followed
and will be outlined prior to purchase.
1. The first step in the procurement process will be to obtain an Independent Cost Estimate (ICE).
2. The second step will be to obtain a Procurement Concurrence Request (PCR) approval from the
CDOT Project Manager through COTRAMS.
3. Prior to entering into a purchasing agreement with the selected vendor, Town of Estes Park shall
request a Purchase Authorization (PA), and submit a vendor quote for the Capital
Asset(s)/Service(s) in COTRAMS.
4. Town of Estes Park shall be responsible for reimbursing the selected vendor within forty-five (45)
calendar days after acceptance of the professional services provided.
E. Reimbursement Eligibility
Requests for reimbursement for eligible project costs will be paid to Town of Estes Park upon submission of a
complete reimbursement packet in COTRAMS for those eligible costs incurred during the Subaward Agreement
effective dates.
Accepted reimbursement packets will include the following completed documents:
Independent Cost Estimate (ICE)
Procurement Concurrence Request (PCR)
Purchase Authorization (PA)
Invoice
Proof of Payment to vendor(s)
Environmental Clearance
Final Design Plans, upon completion
Town of Estes Park must submit the final invoice within sixty (60) calendar days of acceptance of the professional
services provided, and submit a Grant Closeout and Liquidation (GCL) Form in COTRAMS within fifteen (15)
calendar days of issuance of the final reimbursement payment.
F. Restrictions on Lobbying
Town of Estes Park is certifying that it complies with 2 CFR 200.450 by entering into this Subaward Agreement.
G. Special Conditions
1. Town of Estes Park will comply with all requirements imposed by CDOT on Town of Estes Park
so that the federal award is used in accordance with federal statutes, regulations, and the terms and
conditions of the federal award.
2. Town of Estes Park must permit CDOT and their auditors to have access to Town of Estes Park’s
records and financial statements as necessary, with reasonable advance notice.
3. Except as provided in this Subaward Agreement, Town of Estes Park shall not be reimbursed for
any purchase, issued purchase order, or leased capital equipment prior to the execution of this
Subaward Agreement.
4. Town of Estes Park cannot request reimbursement for costs on this project from more than one
Federal Awarding Agency or other federal awards (i.e., no duplicate billing).
5. Town of Estes Park must obtain CDOT approval, in writing, if FTA funds are inte nded to be used
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 51
Contract Number: 21-HTR-ZL-00308/491002610 Page 24 of 45 Version 10/23/19
for payment of a lease or for third-party contracts.
6. Town of Estes Park shall ensure that it does not exclude from participation in, deny the benefits of,
or subject to discrimination any person in the United States on the ground of race, color, national
origin, sex, age or disability in accordance with Title VI of the Civil Rights Act of 1964.
7. Town of Estes Park shall seek to ensure non-discrimination in its programs and activities by
developing and maintaining a Title VI Program in accordance with the “Requirements for FTA
Subrecipients” in CDOT’s Title VI Program Plan and Federal Transit Administration Circular
4702.1B, “Title VI Requirements and Guidelines for FTA Recipients.” The Town shall also
facilitate FTA’s compliance with Executive Order 12898 and DOT Order 5610.2(a) by
incorporating the principles of environmental justice in planning, project developmen t and public
outreach in accordance with FTA Circular 4703.1 “Environmental Justice Policy Guidance for
Federal Transit Administration Recipients.”
8. Town of Estes Park will provide transportation services to persons with disabilities, in accordance
with Americans with Disabilities Act of 1990, as amended, 42 U.S.C. § 12101 et seq.
9. Town of Estes Park shall develop and maintain an ADA Program in accordance with 28 CFR Part
35, Nondiscrimination on the Basis of Disability in State and Local Government Services, FTA
Circular 4710.1, and any additional requirements established by CDOT for FTA subrecipients.
10. Town of Estes Park shall ensure that it will comply with the Americans with Disabilities Act,
Section 504 of the Rehabilitation Act, FTA guidance, and any othe r federal, state, and/or local
laws, rules and/or regulations. In any contract utilizing federal funds, land, or other federal aid,
Town of Estes Park shall require its subrecipients and/or contractors to provide a statement of
written assurance that they will comply with Section 504 and not discriminate on the basis of
disability.
11. Town of Estes Park shall agree to produce and maintain documentation that supports compliance
with the Americans with Disabilities Act to CDOT upon request.
12. Town of Estes Park shall include nondiscrimination language and the Disadvantaged Business
Enterprise (DBE) assurance in all contracts and solicitations in accordance with DBE regulations,
49 CFR Part 26, and CDOT’s DBE program.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 52
Contract Number: 21-HTR-ZL-00308/491002610 Page 25 of 45 Version 10/23/19
EXHIBIT B, SAMPLE OPTION LETTER
State Agency
Department of Transportation
Option Letter Number
Insert the Option Number (e.g. "1" for the first
option)
Subrecipient
Insert Subrecipient's Full Legal Name, including "Inc.",
"LLC", etc...
Original Agreement Number
Insert CMS number or Other Contract Number of
the Original Contract
Subaward Agreement Amount
Federal Funds
Option Agreement Number
Insert CMS number or Other Contract Number of
this Option Maximum Amount (%) $0.00
Local Funds Agreement Performance Beginning Date
The later of the Effective Date or Month, Day,
Year
Local Match Amount (%) $0.00
Agreement Total $0.00 Current Agreement Expiration Date
Month, Day, Year
1. OPTIONS:
A. Option to extend for an Extension Term or End of Term Extension.
2. REQUIRED PROVISIONS:
A. For use with Option 1(A): In accordance with Section(s) 2.B/2.C of the Original Agreement referenced
above, the State hereby exercises its option for an additional term/end of term extension, beginning Insert
start date and ending on the current agreement expiration date shown above, at the rates stated in the
Original Agreement, as amended.
B. For use with Options 1(A): The Subaward Agreement Amount table on the Agreement’s Cover Page
is hereby deleted and replaced with the Current Subaward Agreement Amount table shown above.
3. OPTION EFFECTIVE DATE:
A. The effective date of this Option Letter is upon approval of the State Controller or ____, whichever is
later.
STATE OF COLORADO
Jared S. Polis, Governor
Department of Transportation
Shoshana M. Lew, Executive Director
By: ________________________________________
Herman Stockinger, Deputy Director and Director of
Policy
Date: ________________________________
In accordance with §24-30-202, C.R.S., this Option
Letter is not valid until signed and dated below by
the State Controller or an authorized delegate.
STATE CONTROLLER
Robert Jaros, CPA, MBA, JD
By:_______________________________________
Department of Transportation
Option Letter Effective Date: __________________
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 53
Contract Number: 21-HTR-ZL-00308/491002610 Page 26 of 45 Version 10/23/19
EXHIBIT C, FEDERAL PROVISIONS
1. APPLICABILITY OF PRO VISIONS
1.1. The Contract to which these Federal Provisions are attached has been funded, in whole or in part, with
an Award of Federal funds. In the event of a conflict between the provisions of these Federal Provisions,
the Special Provisions, the body of the Contract, or any attachments or exhibits incorporated into and
made a part of the Contract, the provisions of these Federal Provisions shall control.
2. DEFINITIONS
2.1. For the purposes of these Federal Provisions, the following terms shall have the meanings ascribed to
them below.
2.1.1. “Award” means an award of Federal financial assistance, and the Contract setting forth the terms
and conditions of that financial assistance, that a non-Federal Entity receives or administers.
2.1.1.1. Awards may be in the form of:
2.1.1.1.1. Grants;
2.1.1.1.2. Contracts;
2.1.1.1.3. Cooperative agreements, which do not include cooperative research and development
agreements (CRDA) pursuant to the Federal Technology Transfer Act of 1986, as amended
(15 U.S.C. 3710);
2.1.1.1.4. Loans;
2.1.1.1.5. Loan Guarantees;
2.1.1.1.6. Subsidies;
2.1.1.1.7. Insurance;
2.1.1.1.8. Food commodities;
2.1.1.1.9. Direct appropriations;
2.1.1.1.10. Assessed and voluntary contributions; and
2.1.2.1.11. Other financial assistance transactions that authorize the expenditure of Federal funds by
non-Federal Entities.
2.1.1.1.12. Any other items specified by OMB in policy memoranda available at the OMB website or
other source posted by the OMB.
2.1.1.2. Award does not include:
2.1.1.2.1. Technical assistance, which provides services in lieu of money;
2.1.1.2.2. A transfer of title to Federally-owned property provided in lieu of money; even if the award
is called a grant;
2.1.1.2.3. Any award classified for security purposes; or
2.1.1.2.4. Any award funded in whole or in part with Recovery funds, as defined in section 1512 of
the American Recovery and Reinvestment Act (ARRA) of 2009 (Public Law 111 -5).
2.1.2. “Contract” means the Agreement or Subaward Agreement to which these Federal Provisions are
attached and includes all Award types in §2.1.1.1 of this Exhibit.
2.1.3. “Contractor” means the party or parties to a Contract or Subaward Agreement funded, in whole or
in part, with Federal financial assistance, other than the Prime Recipient, and includes Subrecipients
and borrowers. For purposes of Transparency Act reporting, Contractor does not include Vendors .
2.1.4. “Data Universal Numbering System (DUNS) Number” means the nine-digit number established and
assigned by Dun and Bradstreet, Inc. to uniquely identify a business entity. Dun and Bradstreet’s
website may be found at: http://fedgov.dnb.com/webform.
2.1.5. “Entity” means all of the following as defined at 2 CFR part 25, subpart C;
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 54
Contract Number: 21-HTR-ZL-00308/491002610 Page 27 of 45 Version 10/23/19
2.1.5.1. A governmental organization, which is a State, local government, or Indian Tribe;
2.1.5.2. A foreign public entity;
2.1.5.3. A domestic or foreign non-profit organization;
2.1.5.4. A domestic or foreign for-profit organization; and
2.1.5.5. A Federal agency, but only a Subrecipient under an Award or Sub award to a non-Federal entity.
2.1.6. “Executive” means an officer, managing partner or any other employee in a management position.
2.1.7. “Federal Award Identification Number (FAIN)” means an Award number assigned by a Federal
agency to a Prime Recipient.
2.1.8. “Federal Awarding Agency” means a Federal agency providing a Federal Award to a Recipient as
described in 2 CFR §200.37
2.1.9. “FFATA” means the Federal Funding Accountability and Transparency Act of 2006 (Public Law
109-282), as amended by §6202 of Public Law 110 -252. FFATA, as amended, also is referred to
as the “Transparency Act.”
2.1.10. “Federal Provisions” means these Federal Provisions subject to the Transparency Act and Uniform
Guidance, as may be revised pursuant to ongoing guidance from the relevant Federal or State of
Colorado agency or institutions of higher education.
2.1.11. “OMB” means the Executive Office of the President, Office of Management and Budget.
2.1.12. “Prime Recipient” means a Colorado State agency or institution of higher education that receives
an Award.
2.1.13. “Subaward” means an award by a Recipient to a Subrecipient funded in whole or in part by a Federal
Award. The terms and conditions of the Federal Award flow down to the Award unless the te rms
and conditions of the Federal Award specifically indicate otherwise in accordance with 2 CFR
§200.38. The term does not include payments to a contractor or payments to an individual that is a
beneficiary of a Federal program.
2.1.14. “Subrecipient” means a non-Federal Entity (or a Federal agency under an Award or Subaward to a
non-Federal Entity) receiving Federal funds through a Prime Recipient to support the performance
of the Federal project or program for which the Federal funds were awarded. A Sub recipient is
subject to the terms and conditions of the Federal Award to the Prime Recipient, including program
compliance requirements. The term “Subrecipient” includes and may be referred to as Subrecipient.
The term does not include an individual who is a beneficiary of a federal program.
2.1.15. “Subrecipient Parent DUNS Number” means the sub recipient parent organization’s 9 -digit Data
Universal Numbering System (DUNS) number that appears in the sub recipient’s System for Award
Management (SAM) profile, if applicable.
2.1.16. “System for Award Management (SAM)” means the Federal repository into which an Entity must
enter the information required under the Transparency Act, which may be found at
http://www.sam.gov.
2.1.17. “Total Compensation” means the cash and noncash dollar value earned by an Executive during the
Prime Recipient’s or Subrecipient’s preceding fiscal year and includes the following:
2.1.17.1. Salary and bonus;
2.1.17.2. Awards of stock, stock options, and stock appreciation rights, using the dollar amount
recognized for financial statement reporting purposes with respect to the fiscal year in
accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2005)
(FAS 123R), Shared Based Payments;
2.1.17.3. Earnings for services under non-equity incentive plans, not including group life, health,
hospitalization or medical reimbursement plans that do not discriminate in favor of Executives
and are available generally to all salaried employees;
2.1.17.4. Change in present value of defined benefit and actuarial pension plans;
2.1.17.5. Above-market earnings on deferred compensation which is not tax-qualified;
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 55
Contract Number: 21-HTR-ZL-00308/491002610 Page 28 of 45 Version 10/23/19
2.1.17.6. Other compensation, if the aggregate value of all such other compensation (e.g. severance,
termination payments, value of life insurance paid on behalf of the employee, perquisites or
property) for the Executive exceeds $10,000.
2.1.18. “Transparency Act” means the Federal Funding Accountability and Transparency Act of 2006
(Public Law 109-282), as amended by §6202 of Public Law 110-252. The Transparency Act also
is referred to as FFATA.
2.1.19. “Uniform Guidance” means the Office of Management and Budget Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards, which supersedes
requirements from OMB Circulars A-21, A-87, A-110, and A-122, OMB Circulars A-89, A-102,
and A-133, and the guidance in Circular A-50 on Single Audit Act follow-up. The terms and
conditions of the Uniform Guidance flow down to Awards to Subrecipie nts unless the Uniform
Guidance or the terms and conditions of the Federal Award specifically indicate otherwise.
2.1.20. “Vendor” means a dealer, distributor, merchant or other seller providing property or services
required for a project or program funded by an Award. A Vendor is not a Prime Recipient or a
Subrecipient and is not subject to the terms and conditions of the Federal award. Program
compliance requirements do not pass through to a Vendor.
3. COMPLIANCE
3.1. Contractor shall comply with all applicable provisions of the Transparency Act, all applicable provisions
of the Uniform Guidance, and the regulations issued pursuant thereto, including but not limited to these
Federal Provisions. Any revisions to such provisions or regulations shall automatically become a part of
these Federal Provisions, without the necessity of either party executing any further instrument. The
State of Colorado may provide written notification to Contractor of such revisions, but such notice shall
not be a condition precedent to the effectiveness of such revisions.
4. SYSTEM FOR AWARD MANAGEMENT (SAM) AND DATA UNIVERSAL NUMBERING
SYSTEM (DUNS) REQUIREMENTS
4.1. SAM. Contractor shall maintain the currency of its information in SAM until the Contractor submits the
final financial report required under the Award or receives final payment, whichever is later. Contractor
shall review and update SAM information at least annually after the initial registration, and more
frequently if required by changes in its information.
4.2. DUNS. Contractor shall provide its DUNS number to its Prime Recipient, and shall update Contractor’s
information in Dun & Bradstreet, Inc. at least annually after the initial registration, and more frequently
if required by changes in Contractor’s information.
5. TOTAL COMPENSATION
5.1. Contractor shall include Total Compensation in SAM for each of its five most highly compensated
Executives for the preceding fiscal year if:
5.1.1. The total Federal funding authorized to date under the Award is $25,000 or more; and
5.1.2. In the preceding fiscal year, Contractor received:
5.1.2.1. 80% or more of its annual gross revenues from Federal procurement contracts and subcontracts
and/or Federal financial assistance Awards or Sub awards subject to the Transparency Act; and
5.1.2.2. $25,000,000 or more in annual gross revenues from Federal procurement contracts and
subcontracts and/or Federal financial assistance Awards or Sub awards subject to the
Transparency Act; and
5.1.3. The public does not have access to information about the compensation of such Executives through
periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C.
78m(a), 78o(d) or § 6104 of the Internal Revenue Code of 1986.
6. REPORTING
6.1. Contractor shall report data elements to SAM and to the Prime Recipient as required in this Exhibit if
Contractor is a Subrecipient for the Award pursuant to the Transparency Act. No direct payment shall
be made to Contractor for providing any reports required under these Federal Provisions and the cost of
producing such reports shall be included in the Contract price. The reporting requirements in this Exhibit
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 56
Contract Number: 21-HTR-ZL-00308/491002610 Page 29 of 45 Version 10/23/19
are based on guidance from the US Office of Management and Budget (OMB), and as such are subject
to change at any time by OMB. Any such changes shall be automatically incorporated into this Contract
and shall become part of Contractor’s obligations under this Contract.
7. EFFECTIVE DATE AND DOLLAR THRESHOLD FOR REPORTING
7.1. Reporting requirements in §8 below apply to new Awards as of October 1, 2010, if the initial award is
$25,000 or more. If the initial Award is below $25,000 but subsequent Award modifications result in a
total Award of $25,000 or more, the Award is subject to the reporting requirements as of the date the
Award exceeds $25,000. If the initial Award is $25,000 or more, but funding is subsequently de -
obligated such that the total award amount falls below $25,000, the Award shall continue to be subject
to the reporting requirements.
7.2. The procurement standards in §9 below are applicable to new Awards made by Prime Recipient as of
December 26, 2015. The standards set forth in §11 below are applicable to audits of fiscal years
beginning on or after December 26, 2014 .
8. SUBRECIPIENT REPORTING REQUIREMENTS
8.1. If Contractor is a Subrecipient, Contractor shall report as set forth below.
8.1.1. To SAM. A Subrecipient shall register in SAM and report the following data elements in SAM for
each Federal Award Identification Number no later than the end of the month following the month
in which the Sub award was made:
8.1.1.1. Subrecipient DUNS Number;
8.1.1.2. Subrecipient DUNS Number + 4 if more than one electronic funds transfer (EFT) account;
8.1.1.3. Subrecipient Parent DUNS Number;
8.1.1.4. Subrecipient’s address, including: Street Address, City, State, Country, Zip + 4, and
Congressional District;
8.1.1.5. Subrecipient’s top 5 most highly compensated Executives if the criteria in §4 above are met;
and
8.1.1.6. Subrecipient’s Total Compensation of top 5 most highly compensated Executives if criteria in
§4 above met.
8.1.2. To Prime Recipient. A Subrecipient shall report to its Prime Recipient, upon the effective date of
the Agreement, the following data elements:
8.1.2.1. Subrecipient’s DUNS Number as registered in SAM.
8.1.2.2. Primary Place of Performance Information, including: Street Address, City, State, Country, Zip
code + 4, and Congressional District.
9. PROCUREMENT STANDARDS
9.1. Procurement Procedures. A Subrecipient shall use its own documented procurement procedures which
reflect applicable State, local, and Tribal laws and regulations, provided that the procurements conform
to applicable Federal law and the standards identified in the Uniform Guidance, inclu ding without
limitation, §§200.318 through 200.326 thereof.
9.2. Procurement of Recovered Materials. If a Subrec ipient is a State Agency or an agency of a political
subdivision of the State, its contractors must comply with section 6002 of the Solid Waste Disposal Act,
as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include
procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR
part 247 that contain the highest percentage of recovered materials practicable, consistent with
maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or
the value of the quantity acquired during the preceding fiscal year exceeded $10,000; procuri ng solid
waste management services in a manner that maximizes energy and resource recovery; and establishing
an affirmative procurement program for procurement of recovered materials identified in the EPA
guidelines.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 57
Contract Number: 21-HTR-ZL-00308/491002610 Page 30 of 45 Version 10/23/19
10. ACCESS TO RECORDS
10.1. A Subrecipient shall permit Recipient and auditors to have access to Sub recipient’s records and financial
statements as necessary for Recipient to meet the requirements of §200.331 (Requirements for pass -
through entities), §§200.300 (Statutory and national policy requirements) through 200.309 (Period of
performance), and Subpart F-Audit Requirements of the Uniform Guidance. 2 CFR §200.331(a)(5).
11. SINGLE AUDIT REQUIREMENTS
11.1. If a Subrecipient expends $750,000 or more in Federal Awards during the Subrecipient’s fiscal year, the
Subrecipient shall procure or arrange for a single or program-specific audit conducted for that year in
accordance with the provisions of Subpart F-Audit Requirements of the Uniform Guidance, issued
pursuant to the Single Audit Act Amendments of 1996, (31 U.S.C. 7501-7507). 2 CFR §200.501.
11.1.1. Election. A Subrecipient shall have a single audit conducted in accordance with Uniform Guidance
§200.514 (Scope of audit), except when it elects to have a program -specific audit conducted in
accordance with §200.507 (Program-specific audits). The Subrecipient may elect to have a
program-specific audit if Subrecipient expends Federal Awards under only one Federal program
(excluding research and development) and the Federal program's statutes, regulations, or the terms
and conditions of the Federal award do not require a financial statement audit of Prime Recipient.
A program-specific audit may not be elected for research and development unless all of the Federal
Awards expended were received from Recipient and Recipient approves in advance a program-
specific audit.
11.1.2. Exemption. If a Subrecipient expends less than $750,000 in Federal Awards during its fiscal year,
the Subrecipient shall be exempt from Federal audit requirements fo r that year, except as noted in 2
CFR §200.503 (Relation to other audit requirements), but records shall be available for review or
audit by appropriate officials of the Federal agency, the State, and the Government Accountability
Office.
11.1.3. Subrecipient Compliance Responsibility. A Subrecipient shall procure or otherwise arrange for
the audit required by Part F of the Uniform Guidance and ensure it is properly performed and
submitted when due in accordance with the Uniform Guidance. Subrecipient shall prepare
appropriate financial statements, including the schedule of expenditures of Federal awards in
accordance with Uniform Guidance §200.510 (Financial statements) and provide the auditor with
access to personnel, accounts, books, records, supporting documentation, and other information as
needed for the auditor to perform the audit required by Uniform Guidance Part F -Audit
Requirements.
12. CONTRACT PROVISIONS FOR SUBRECIPIENT CONTRACTS
12.1. If Contractor is a Subrecipient, then it shall comply with and shall include all of the following applicable
provisions in all subcontracts entered into by it pursuant to this Agreement.
12.1.1. Equal Employment Opportunity. Except as otherwise provided under 41 CFR Part 60, all
contracts that meet the definition of “federally assisted construction contract” in 41 CFR Part 60 -
1.3 shall include the equal opportunity clause provided under 41 CFR 60-1.4(b), in accordance with
Executive Order 11246, “Equal Employment Opportunity” (30 FR 12319, 12935, 3 CFR Part, 1964 -
1965 Comp., p. 339), as amended by Executive Order 11375, “Amending Executive Order 11246
Relating to Equal Employment Opportunity,” and implementing regulations at 41 CFR part 60,
“Office of Federal Contract Compliance Programs, Equal Employment Op portunity, Department of
Labor.
12.1.1.1. During the performance of this contract, the contractor agrees as follows:
12.1.1.1.1. Contractor will not discriminate against any employee or applicant for employment
because of race, color, religion, sex, or national origin. The contractor will take affirmative
action to ensure that applicants are employed, and that employees are treated during
employment, without regard to their race, color, religion, sex, or national origin. Such
action shall include, but not be limited to the following: Employment, upgrading,
demotion, or transfer, recruitment or recruitment advertising; layoff or termination; rates
of pay or other forms of compensation; and selection for training, including apprenticeship.
The contractor agrees to post in conspicuous places, available to employees and applicants
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 58
Contract Number: 21-HTR-ZL-00308/491002610 Page 31 of 45 Version 10/23/19
for employment, notices to be provided by the contracting officer setting forth the
provisions of this nondiscrimination clause.
12.1.1.1.2. Contractor will, in all solicitations or advertisements for employees placed by or on behalf
of the contractor, state that all qualified applicants will receive consideration for
employment without regard to race, color, religion, sex, or national origin.
12.1.1.1.3. Contractor will send to each labor union or representative of workers with which he has a
collective bargaining agreement or other contract or understanding, a notice to be provided
by the agency contracting officer, advising the labor union or workers' representative of
the contractor's commitments under section 202 of Executive Order 11246 of September
24, 1965, and shall post copies of the notice in conspicuous places available to employees
and applicants for employment.
12.1.1.1.4. Contractor will comply with all provisions of Executive Order 11246 of September 24,
1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.
12.1.1.1.5. Contractor will furnish all information and reports required by Executive Order 11246 of
September 24, 1965, and by the rules, regulations, and orders of the Secretary of Labor, or
pursuant thereto, and will permit access to his books, records, and accounts by the
contracting agency and the Secretary of Labor for purposes of investigation to ascertain
compliance with such rules, regulations, and orders.
12.1.1.1.6. In the event of Contractor's non-compliance with the nondiscrimination clauses of this
contract or with any of such rules, regulations, or orders, this contract may be canceled,
terminated or suspended in whole or in part and the contractor may be declared ineligible
for further Government contracts in accordance with procedures authorized in Executive
Order 11246 of September 24, 1965, and such other sanctions may be imposed and
remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule,
regulation, or order of the Secretary of Labor, or as otherwise provided by law.
12.1.1.1.7. Contractor will include the provisions of paragraphs (1) through (7) in every subcontract
or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor
issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that
such provisions will be binding upon each subcontractor or vendor. The contractor will
take such action with respect to any subcontract or purchase order as may be directed by
the Secretary of Labor as a means of enforcing such provisions including sanctions for
noncompliance: Provided, however, that in the event Contractor becomes involved in, or
is threatened with, litigation with a subcontractor or vendor as a result of such direction,
the contractor may request the United States to enter into such litigation to protect the
interests of the United States.”
12.1.2. Davis-Bacon Act. Davis-Bacon Act, as amended (40 U.S.C. 3141-3148). When required by
Federal program legislation, all prime construction contracts in excess of $2,000 awarded by non -
Federal entities must include a provision for compliance with the Davis-Bacon Act (40 U.S.C. 3141-
3144, and 3146-3148) as supplemented by Department of Labor regulations (29 CFR Part 5, “Labor
Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted
Construction”). In accordance with the statute, contractors must be required to pay wages to laborers
and mechanics at a rate not less than the prevailing wages specified in a wage determination made
by the Secretary of Labor. In addition, contractors must be required to pay wages not less than once
a week. The non-Federal entity must place a copy of the current prevailing wage determination
issued by the Department of Labor in each solicitation. The decision to award a contract or
subcontract must be conditioned upon the acceptance of the wage determination. The non -Federal
entity must report all suspected or reported violations to the Federal awarding agency. The contracts
must also include a provision for compliance with the Copeland “Anti -Kickback” Act (40 U.S.C.
3145), as supplemented by Department of Labor regulations (29 CFR Part 3, “Contractors and
Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants
from the United States”). The Act provides that each contractor or Subrecipient must be prohibited
from inducing, by any means, any person employed in the construction, completion, or repair of
public work, to give up any part of the compensation to which he or she is otherwise entitled. The
non-Federal entity must report all suspected or reported violations to the Federal awarding agency.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 59
Contract Number: 21-HTR-ZL-00308/491002610 Page 32 of 45 Version 10/23/19
12.1.3. Rights to Inventions Made Under a Contract or Contract. If the Federal Award meets the
definition of “funding Contract” under 37 CFR §401.2 (a) and Subrecipient wishes to enter into a
contract with a small business firm or nonprofit organization regarding the substitution of parties,
assignment or performance of experimental, developmental, or research work under that “funding
Contract,” Subrecipient must comply with the requirements of 37 CFR Part 401, “Rights to
Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants,
Contracts and Cooperative Contracts,” and any implementing regulations issued by the awarding
agency.
12.1.4. Clean Air Act (42 U.S.C. 7401-7671q.) and the Federal Water Pollution Control Act (33 U.S.C.
1251-1387), as amended. Contracts and subawards of amounts in excess of $150,000 must contain
a provision that requires the non-Federal award to agree to comply with all applicable standards,
orders or regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401-7671q) and the Federal
Water Pollution Control Act as amended (33 U.S.C. 1251-1387). Violations must be reported to the
Federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA).
12.1.5. Debarment and Suspension (Executive Orders 12549 and 12689). A contract award (see 2 CFR
180.220) must not be made to parties listed on the government wide exclusions in the System for
Award Management (SAM), in accordance with the OMB guidelines at 2 CFR 180 that imple ment
Executive Orders 12549 (3 CFR part 1986 Comp., p. 189) and 12689 (3 CFR part 1989 Comp., p.
235), “Debarment and Suspension.” SAM Exclusions contains the names of parties debarred,
suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory
or regulatory authority other than Executive Order 12549.
12.1.6. Byrd Anti-Lobbying Amendment (31 U.S.C. 1352). Contractors that apply or bid for an award
exceeding $100,000 must file the required certification. Each tier certifies to the tier above that it
will not and has not used Federal appropriated funds to pay any person or organization for
influencing or attempting to influence an officer or employee of any agency, a member of Congress,
officer or employee of Congress, or an employee of a member of Congress in connection with
obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier must
also disclose any lobbying with non-Federal funds that takes place in connection with obtaining any
Federal award. Such disclosures are forwarded from tier-to-tier up to the non-Federal award.
13. CERTIFICATIONS
13.1. Unless prohibited by Federal statutes or regulations, Recipient may require Subrecipient to submit
certifications and representations required by Federal statutes or regulations on an annual basis. 2 CFR
§200.208. Submission may be required more frequently if Subrecipient fails to meet a requirement of
the Federal award. Subrecipient shall certify in writing to the State at the end of the Award that the
project or activity was completed, or the level of effort was expended. 2 CFR §200.201(3). If the
required level of activity or effort was not carried out, the amount of the Award must be adjusted .
14. EXEMPTIONS
14.1. These Federal Provisions do not apply to an individual who receives an Award as a natural person,
unrelated to any business or non-profit organization he or she may own or operate in his or her name.
14.2. A Contractor with gross income from all sources of less than $300,000 in the previous tax year is exempt
from the requirements to report Subawards and the Total Compensation of its most highly compensated
Executives.
14.3. There are no Transparency Act reporting requirements for Vendors.
15. EVENT OF DEFAULT
15.1. Failure to comply with these Federal Provisions shall constitute an event of default under the Contract
and the State of Colorado may terminate the Contract upon 30 days prior written notice if the default
remains uncured five calendar days following the termination of the 30-day notice period. This remedy
will be in addition to any other remedy available to the State of Colorado under the Contract, at law or
in equity.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 60
Contract Number: 21-HTR-ZL-00308/491002610 Page 33 of 45 Version 10/23/19
EXHIBIT D, REQUIRED FEDERAL CONTRACT/AGREEMENT CLAUSES
All FTA-Assisted Third-Party Contracts and Subawards from the Current FTA Master Agreement
[FTA MA(23)]
Section 3.l. – No Federal government obligations to third-parties by use of a disclaimer
No Federal/State Government Commitment or Liability to Third Parties. Except as the Federal Government or
CDOT expressly consents in writing, the Subrecipient agrees that:
(1) The Federal Government or CDOT do not and shall not have any commitment or liability related to the
Agreement, to any Third-Party Participant at any tier, or to any other person or entity that is not a party (FTA,
CDOT or the Subrecipient) to the Agreement, and
(2) Notwithstanding that the Federal Government or CDOT may have concurred in or approved any Solicitation
or Third-Party Agreement at any tier that may affect the Agreement, the Federal Government and CDOT
does not and shall not have any commitment or liability to any Third Party Participant or other entity or
person that is not a party (FTA, CDOT, or the Subrecipient) to the Agreement.
Section 4.f. – Program fraud and false or fraudulent statements and related acts
False or Fraudulent Statements or Claims.
(1) Civil Fraud. The Subrecipient acknowledges and agrees that:
(a) Federal laws, regulations, and requirements apply to itself and its Agreement, including the Program
Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. § 3801 et seq., and U.S. DOT regulations,
“Program Fraud Civil Remedies,” 49 C.F.R. part 31.
(b) By executing the Agreement, the Subrecipient certifies and affirms to the Federal Government the
truthfulness and accuracy of any claim, statement, submission, certification, assurance, affirmation, or
representation that the Subrecipient provides to the Federal Government and CDOT.
(c) The Federal Government and CDOT ma y impose the penalties of the Program Fraud Civil Remedies
Act of 1986, as amended, and other applicable penalties if the Subrecipient presents, submits, or makes
available any false, fictitious, or fraudulent information.
(2) Criminal Fraud. The Subrecipient acknowledges that 49 U.S.C. § 5323(l)(1) authorizes the Federal
Government to impose the penalties under 18 U.S.C. § 1001 if the Subrecipient provides a false, fictitious,
or fraudulent claim, statement, submission, certification, assurance, or re presentation in connection with a
federal public transportation program under 49 U.S.C. chapter 53 or any other applicable federal law.
Section 9. Record Retention and Access to Sites of Performance.
a. Types of Records. The Subrecipient agrees that it will retain, and will require its Third-Party Participants to retain,
complete and readily accessible records related in whole or in part to the Underlying Agreement, including, but
not limited to, data, documents, reports, statistics, subagreements, leases, third party contracts, arrangements,
other third-party agreements of any type, and supporting materials related to those records.
b. Retention Period. The Subrecipient agrees that it will comply with the record retention requirements in the
applicable U.S. DOT Common Rule. Records pertaining to its Award, the accompanying Agreement, and any
Amendments thereto must be retained from the day the Agreement was signed by the authorized FTA or State
official through the course of the Award, the accompanying Agree ment, and any Amendments thereto until three
years after the Subrecipient has submitted its last or final expenditure report, and other pending matters are closed.
c. Access to Recipient and Third-Party Participant Records. The Subrecipient agrees and assures that each
Subrecipient, if any, will agree to:
(1) Provide, and require its Third Party Participants at each tier to provide, sufficient access to inspect and audit
records and information related to its Award, the accompanying Agreement, and any Amendments thereto to
the U.S. Secretary of Transportation or the Secretary’s duly authorized representatives, to the Comptroller
General of the United States, and the Comptroller General’s duly authorized representatives, and to the
Subrecipient and each of its Subrecipient,
(2) Permit those individuals listed above to inspect all work and materials related to its Award, and to audit any
information related to its Award under the control of the Subrecipient or Third-Party Participant within books,
records, accounts, or other locations, and
(3) Otherwise comply with 49 U.S.C. § 5325(g), and federal access to records requirements as set forth in the
applicable U.S. DOT Common Rules.
d. Access to the Sites of Performance. The Subrecipient agrees to permit, and to require its Third-Party Participants
to permit, FTA and CDOT to have access to the sites of performance of its Award, the accompanying Agreement,
and any Amendments thereto, and to make site visits as needed in compliance with State and the U.S. DOT
Common Rules.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 61
Contract Number: 21-HTR-ZL-00308/491002610 Page 34 of 45 Version 10/23/19
e. Closeout. Closeout of the Award does not alter the record retention or access requirements of this section of th e
Master Agreement.
3.G – Federal Changes
Application of Federal, State, and Local Laws, Regulations, Requirements, and Guidance .
The Subrecipient agrees to comply with all applicable federal requirements and federal guidance. All standards
or limits are minimum requirements when those standards or limits are included in the Recipient’s Agreement or
this Master Agreement. At the time the FTA Authorized Official (CDOT) awards federal assistance to the
Subrecipient in support of the Agreement, the federal requirements and guidance that apply then may be modified
from time-to-time and will apply to the Subrecipient or the accompanying Agreement.
12 – Civil Rights
a. Nondiscrimination – Title VI of the Civil Rights Act. The Subrecipient agrees to, and assures that each Third-
Party Participant, will:
(1) Prohibit discrimination on the basis of race, color, or national origin,
(2) Comply with:
(a) Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000d et seq.,
(b) U.S. DOT regulations, “Nondiscrimination in Federally-Assisted Programs of the Department of
Transportation – Effectuation of Title VI of the Civil Rights Act of 1964,” 49 C.F.R. part 21, and
(c) Federal transit law, specifically 49 U.S.C. § 5332 , and
(3) Follow:
(a) The most recent edition of FTA Circular 4702.1, “Title VI Requirements and Guidelines for Federal
Transit Administration Recipients,” to the extent consistent with applicable federal laws,
regulations, requirements, and guidance,
(b) U.S. DOJ, “Guidelines for the enforcement of Title VI, Civil Rights Act of 1964,” 28 C.F.R. § 50.3,
and
(c) All other applicable federal guidance that may be issued.
b. Equal Employment Opportunity.
(1) Federal Requirements and Guidance. The Subrecipient agrees to, and assures that each Third-Party
Participant will, prohibit, discrimination on the basis of race, color, religion, sex, sexual orientation,
gender identity, or national origin, and:
(a) Comply with Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e et seq.,
(b) Facilitate compliance with Executive Order No. 11246, “Equal Employment Opportunity”
September 24, 1965, 42 U.S.C. § 2000e note, as amended by any later Executive Order that amends
or supersedes it in part and is applicable to federal assistance programs,
(c) Comply with federal transit law, specifically 49 U.S.C. § 5332, as provided in section 12 of this
Master Agreement,
(d) FTA Circular 4704.1 “Equal Employment Opportunity (EEO) Requirements and Guidelines for
Federal Transit Administration Recipients,” and
(e) Follow other federal guidance pertaining to EEO laws, regulations, and requirements, and
prohibitions against discrimination on the basis of disability,
(2). Specifics. The Subrecipient agrees to, and assures that each Third-Party Participant will:
(a) Prohibited Discrimination. Ensure that applicants for employment are employed and employees are
treated during employment without discrimination on the basis of their race, color, religion, national
origin, disability, age, sexual orientation, gender identity, or status as a parent, as provided in
Executive Order No. 11246 and by any later Executive Order that amends or supersedes it, and as
specified by U.S. Department of Labor regulations,
(b) Affirmative Action. Take affirmative action that includes, but is not limited to:
1 Recruitment advertising, recruitment, and employment,
2 Rates of pay and other forms of compensation,
3 Selection for training, including apprenticeship, and upgrading, and
4 Transfers, demotions, layoffs, and terminations, but
(c) Indian Tribe. Recognize that Title VII of the Civil Rights Act of 1964, as amended, exempts Indian
Tribes under the definition of “Employer,” and
(3) Equal Employment Opportunity Requirements for Construction Activities . Comply, when undertaking
“construction” as recognized by the U.S. Department of Labor (U.S. DOL), with:
(a) U.S. DOL regulations, “Office of Federal Contract Compliance Programs, Equal Employment
Opportunity, Department of Labor,” 41 C.F.R. chapter 60, and
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 62
Contract Number: 21-HTR-ZL-00308/491002610 Page 35 of 45 Version 10/23/19
(b) Executive Order No. 11246, “Equal Employment Opportunity in Federal Employment,” September
24, 1965, 42 U.S.C. § 2000e note, as amended by any later Executive Order that amends or
supersedes it, referenced in 42 U.S.C. § 2000e note.
c. Nondiscrimination on the Basis of Disability. The Subrecipient agrees to comply with the following federal
prohibitions against discrimination on the basis of disability:
(1) Federal laws, including:
(a) Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794, which prohibits
discrimination on the basis of disability in the administration of federally assisted Programs,
Projects, or activities,
(b) The Americans with Disabilities Act of 1990 (ADA), as amended, 42 U.S.C. § 12101 et seq., which
requires that accessible facilities and services be made available to individuals with disabilities:
1 For FTA Recipients generally, Titles I, II, and III of the ADA apply, but
2 For Indian Tribes, Titles II and III of the ADA apply, but Title I of the ADA does not apply
because it exempts Indian Tribes from the definition of “employer,”
(c) The Architectural Barriers Act of 1968, as amended, 42 U.S.C. § 4151 et seq., which requires that
buildings and public accommodations be accessible to individuals with disabilities,
(d) Federal transit law, specifically 49 U.S.C. § 5332, which now includes disability as a prohibited
basis for discrimination, and
(e) Other applicable federal laws, regulations, and requirements pertaining to access for seniors or
individuals with disabilities.
(2) Federal regulations and guidance, including:
(a) U.S. DOT regulations, “Transportation Services for Individuals with Disabilities (ADA),” 49
C.F.R. part 37,
(b) U.S. DOT regulations, “Nondiscrimination on the Basis of Disability in Programs and Activities
Receiving or Benefiting from Federal Financial Assistance,” 49 C.F.R. part 27,
(c) Joint U.S. Architectural and Transportation Barriers Compliance Board (U.S. ATBCB) and U.S.
DOT regulations, “Americans With Disabilities (ADA) Accessibility Specifications for
Transportation Vehicles,” 36 C.F.R. part 1192 and 49 C.F.R. part 38,
(d) U.S. DOT regulations, “Transportation for Individuals with Disabilities: Passenger Vessels,” 49
C.F.R. part 39,
(e) U.S. DOJ regulations, “Nondiscrimination on the Basis of Disability in State and Local
Government Services,” 28 C.F.R. part 35,
(f) U.S. DOJ regulations, “Nondiscrimination on the Basis of Disability by Public Accommodations
and in Commercial Facilities,” 28 C.F.R. part 36,
(g) U.S. EEOC, “Regulations to Implement the Equal Employment Provisions of the Americans with
Disabilities Act,” 29 C.F.R. part 1630,
(h) U.S. Federal Communications Commission regulations, “Telecommunications Relay Services and
Related Customer Premises Equipment for Persons with Disabilities,” 47 C.F.R. part 64, Subpart
F,
(i) U.S. ATBCB regulations, “Electronic and Information Technology Accessibility Standard s,” 36
C.F.R. part 1194,
(j) FTA regulations, “Transportation for Elderly and Handicapped Persons,” 49 C.F.R. part 609,
(k) FTA Circular 4710.1, “Americans with Disabilities Act: Guidance,” and
(l) Other applicable federal civil rights and nondiscrimination regulations and guidance.
Incorporation of FTA Terms – 16.a.
a. Federal Laws, Regulations, Requirements, and Guidance. The Subrecipient agrees:
(1) To comply with the requirements of 49 U.S.C. chapter 53 and other applicable federal laws, regulations,
and requirements in effect now or later that affect its third party procurements,
(2) To comply with the applicable U.S. DOT Common Rules, and
(3) To follow the most recent edition and any revisions of FTA Circular 4220.1, “Third Party Contra cting
Guidance,” to the extent consistent with applicable federal laws, regulations, requirements, and
guidance.
Energy Conservation – 26.j
a. Energy Conservation. The Subrecipient agrees to, and assures that its Subrecipients, if any, will comply with the
mandatory energy standards and policies of its state energy conservation plans under the Energy Policy and
Conservation Act, as amended, 42 U.S.C. § 6321 et seq., and perform an energy assessment for any building
constructed, reconstructed, or modified with federal assistance required under FTA regulations, “Requirements
for Energy Assessments,” 49 C.F.R. part 622, subpart C.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 63
Contract Number: 21-HTR-ZL-00308/491002610 Page 36 of 45 Version 10/23/19
Applicable to Awards exceeding $10,000
Section 11. Right of the Federal Government to Terminate.
a. Justification. After providing written notice to the Subrecipient, the Subrecipient agrees that the Federal
Government may suspend, suspend then terminate, or terminate all or any part of the federal assistance for the
Award if:
(1) The Subrecipient has failed to make reasonable progress implementing the Award,
(2) The Federal Government determines that continuing to provide federal assistance to support the Award does
not adequately serve the purposes of the law authorizing the Award, or
(3) The Subrecipient has violated the terms of the Agreement, especially if that violation would endanger
substantial performance of the Agreement.
b. Financial Implications. In general, termination of federal assistance for the Award will not invalidate obligations
properly incurred before the termination date to the extent that the obligations cannot be canceled. The Federal
Government may recover the federal assistance it has provided for the Award, including the federal assistance for
obligations properly incurred before the termination date, if it determines that the Subrecipient has misused its
federal assistance by failing to make adequate progress, failing to make appropriate use of the Project property,
or failing to comply with the Agreement, and require the Subrecipient to refund the entire amount or a lesser
amount, as the Federal Government may determine including obligations properly incurred before the termination
date.
c. Expiration of the Period of Performance. Except for a Full Funding Grant Agreement, expiration of any period of
performance established for the Award does not, by itself, constitute an expiration or termination of the Award;
FTA may extend the period of performance to assure that each Formula Project or related activities and each
Project or related activities funded with “no year” funds can receive FTA assistance to the extent FTA deems
appropriate.
Applicable to Awards exceeding $25,000
From Section 4. Ethics.
a. Debarment and Suspension. The Subrecipient agrees to the following:
(1) It will comply with the following requirements of 2 C.F.R. part 180, subpart C, as adopted and
supplemented by U.S. DOT regulations at 2 C.F.R. part 1200.
(2) It will not enter into any arrangement to participate in the development or implementation of the
Underlying Agreement with any Third-Party Participant that is debarred or suspended except as
authorized by:
(a) U.S. DOT regulations, “Nonprocurement Suspension and Debarment,” 2 C.F.R. part 1200,
(b) U.S. OMB regulatory guidance, “Guidelines to Agencies on Government-wide Debarment and
Suspension (Nonprocurement),” 2 C.F.R. part 180, including any amendments thereto,
(c) Executive Orders No. 12549, “Uniform Suspension, Debarment, or Exclusion of Participants from
Procurement or Nonprocurement Activity,” October 13, 1994,” 31 U.S.C. § 6101 note, as amended
by Executive Order No. 12689, “Debarment and Suspension,” August 16, 1989 , 31 U.S.C. § 6101
note, and
(d) Other applicable federal laws, regulations, or guidance regarding participation with debarred or
suspended Subrecipients or Third-Party Participants.
(3) It will review the U.S. GSA “System for Award Management – Lists of Parties Excluded from Federal
Procurement and Nonprocurement Programs,” https://www.sam.gov, if required by U.S. DOT
regulations, 2 C.F.R. part 1200.
(4) It will include, and require each Third-Party Participant to include, a similar provision in each lower tier
covered transaction, ensuring that each lower tier Third Party Participant:
(a) Complies with federal debarment and suspension requirements, and
(b) Reviews the SAM at https://www.sam.gov, if necessary to comply with U.S. DOT regulations, 2
C.F.R. part 1200.
(5) If the Subrecipient suspends, debars, or takes any similar action against a Third-Party Participant or
individual, the Subrecipient will provide immediate written notice to the:
(a) FTA Regional Counsel for the Region in which the Subrecipient is located or implements the
Agreement,
(b) FTA Headquarters Manager that administers the Grant or Cooperative Agreement, or
(c) FTA Chief Counsel.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 64
Contract Number: 21-HTR-ZL-00308/491002610 Page 37 of 45 Version 10/23/19
Applicable to Awards exceeding the simplified acquisition threshold ($100,000-see Note)
Note: Applicable when tangible property or construction will be acquired
Section 15. Preference for United States Products and Services.
Except as the Federal Government determines otherwise in writing, the Subrecipient agrees to comply with FTA’s
U.S. domestic preference requirements and follow federal guidance, including:
Buy America. The domestic preference procurement requirements of 49 U.S.C. § 5323(j), and FTA regulations,
“Buy America Requirements,” 49 C.F.R. part 661, to the extent consistent with 49 U.S.C. § 5323(j).
Section 39. Disputes, Breaches, Defaults, or Other Litigation.
a. FTA Interest. FTA has a vested interest in the settlement of any violation of federal law, regulation, or
disagreement involving the Award, the accompanying Agreement, and any Amendments thereto including,
but not limited to, a default, breach, major dispute, or litigation, and FTA reserves the right to co ncur in any
settlement or compromise.
b. Notification to FTA. If a current or prospective legal matter that may affect the Federal Government emerges,
the Subrecipient must promptly notify the FTA Chief Counsel, or FTA Regional Counsel for the Region in
which the Subrecipient is located.
(1) The types of legal matters that require notification include, but are not limited to, a major dispute, breach,
default, litigation, or naming the Federal Government as a party to litigation or a legal disagreement in
any forum for any reason.
(2) Matters that may affect the Federal Government include, but are not limited to, the Federal Government’s
interests in the Award, the accompanying Underlying Agreement, and any Amendments thereto, or the
Federal Government’s administration or enforcement of federal laws, regulations, and requirements.
(3) If the Subrecipient has credible evidence that a Principal, Official, Employee, Agent, or Third Party
Participant of the Subrecipient, or other person has submitted a false claim under the False Claims Act,
31 U.S.C. § 3729 et seq., or has committed a criminal or civil violation of law pertaining to such matters
as fraud, conflict of interest, bribery, gratuity, or similar misconduct involving federal assistance, the
Subrecipient must promptly notify the U.S. DOT Inspector General, in addition to the FTA Chief
Counsel or Regional Counsel for the Region in which the Subrecipient is located.
c. Federal Interest in Recovery. The Federal Government retains the right to a proportionate share of any
proceeds recovered from any third party, based on the percentage of the federal share for the Agreement.
Notwithstanding the preceding sentence, the Subrecipient may return all liquidated damages it receives to its
Award Budget for its Agreement rather than return the federal share of those liquidated damages to the
Federal Government, provided that the Subrecipient receives FTA’s prior written concurrence.
d. Enforcement. The Subrecipient must pursue its legal rights and remedies available under any third-party
agreement, or any federal, state, or local law or regulation.
Applicable to Awards exceeding $100,000 by Statute
From Section 4. Ethics.
a. Lobbying Restrictions. The Subrecipient agrees that neither it nor any Third-Party Participant will use federal
assistance to influence any officer or employee of a federal agency, member of Congress or an employee of a
member of Congress, or officer or employee of Congress on matters that involve the Agreement, including any
extension or modification, according to the following:
(1) Laws, Regulations, Requirements, and Guidance. This includes:
(a) The Byrd Anti-Lobbying Amendment, 31 U.S.C. § 1352, as amended,
(b) U.S. DOT regulations, “New Restrictions on Lobbying,” 49 C.F.R. part 20, to the extent consistent with
31 U.S.C. § 1352, as amended, and
(c) Other applicable federal laws, regulations, requirements, and guidance prohibiting the use of federal
assistance for any activity concerning legislation or appropriations designed to influence the U.S.
Congress or a state legislature, and
(2) Exception. If permitted by applicable federal law, regulations, requirements, or guidance, such lobbying
activities described above may be undertaken through the Subrecipient’s or Subrecipient’s proper official
channels.
Section 26. Environmental Protections – Clean Air and Clean Water
Other Environmental Federal Laws. The Subrecipient agrees to comply or facilitate compliance and assures
that its Third Party Participants will comply or facilitate compliance with all applicable federal laws,
regulations, and requirements, and will follow applicable guidance, including, but not limited to, the Clean
Air Act, Clean Water Act, Wild and Scenic Rivers Act of 1968, Coastal Zone Management Act of 1972,
the Endangered Species Act of 1973, Magnuson Stevens Fishery Conservation and Management Act,
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 65
Contract Number: 21-HTR-ZL-00308/491002610 Page 38 of 45 Version 10/23/19
Resource Conservation and Recovery Act, Comprehensive Environmental Response, Compensation, and
Liability Act, Executive Order No. 11990 relating to “Protection of Wetlands,” and E xecutive Order Nos.
11988 and 13690 relating to “Floodplain Management.”)
Applicable with the Transfer of Property or Persons
Section 15. Preference for United States Products and Services.
Except as the Federal Government determines otherwise in writing, the Subrecipient agrees to comply with FTA’s
U.S. domestic preference requirements and follow federal guidance, including:
a. Buy America. The domestic preference procurement requirements of 49 U.S.C. § 5323(j), and FTA
regulations, “Buy America Requirements,” 49 C.F.R. part 661, to the extent consistent with 49 U.S.C. §
5323(j),
b. Cargo Preference. Preference – Use of United States-Flag Vessels. The shipping requirements of 46 U.S.C.
§ 55305, and U.S. Maritime Administration regulations, “Cargo Preference – U.S.-Flag Vessels,” 46 C.F.R.
part 381, and
c. Fly America. The air transportation requirements of Section 5 of the International Air Transportation Fair
Competitive Practices Act of 1974, as amended, 49 U.S.C. § 40118, and U.S. General Services
Administration (U.S. GSA) regulations, “Use of United States Flag Air Carriers,” 41 C.F.R. §§ 301 -10.131
– 301-10.143.
Applicable to Construction Activities
Section 24. Employee Protections.
a. Awards Involving Construction. The Subrecipient agrees to comply and assures that each Third-Party Participant
will comply with all federal laws, regulations, and requirements providing protections for construction employees
involved in each Project or related activities with federal assistance provided through the Agreement, including
the:
(1) Prevailing Wage Requirements of:
(a) Federal transit laws, specifically 49 U.S.C. § 5333(a), (FTA’s “Davis -Bacon Related Act”),
(b) The Davis-Bacon Act, 40 U.S.C. §§ 3141 – 3144, 3146, and 3147, and
(c) U.S. DOL regulations, “Labor Standards Provisions Applicable to Contracts Covering Federally
Financed and Assisted Construction (also Labor Standards Provisions Applicable to Nonconstruction
Contracts Subject to the Contract Work Hours and Safety Standards Act),” 29 C.F.R . part 5.
(2) Wage and Hour Requirements of:
(a) Section 102 of the Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. § 3702, and
other relevant parts of that Act, 40 U.S.C. § 3701 et seq., an
(b) U.S. DOL regulations, “Labor Standards Provisions Applicable to Contracts Covering Federally
Financed and Assisted Construction (also Labor Standards Provisions Applicable to Nonconstruction
Contracts Subject to the Contract Work Hours and Safety Standards Act),” 29 C.F.R. part 5.
(3) “Anti-Kickback” Prohibitions of:
(a) Section 1 of the Copeland “Anti-Kickback” Act, as amended, 18 U.S.C. § 874,
(b) Section 2 of the Copeland “Anti-Kickback” Act, as amended, 40 U.S.C. § 3145, and
(c) U.S. DOL regulations, “Contractors and Subcontractors on Public Building or Public Work Financed in
Whole or in Part by Loans or Grants from the United States,” 29 C.F.R. part 3.
(4) Construction Site Safety of:
(a) Section 107 of the Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. § 3704, an d
other relevant parts of that Act, 40 U.S.C. § 3701 et seq., and
(b) U.S. DOL regulations, “Recording and Reporting Occupational Injuries and Illnesses,” 29 C.F.R. part
1904; “Occupational Safety and Health Standards,” 29 C.F.R. part 1910; and “Safety and Health
Regulations for Construction,” 29 C.F.R. part 1926.
From Section 16
b. Bonding. The Subrecipient agrees to comply with the following bonding requirements and restrictions as provided
in federal regulations and guidance:
1 Construction. As provided in federal regulations and modified by FTA guidance, for each Project or related
activities implementing the Agreement that involve construction, it will provide bid guarantee bonds, contract
performance bonds, and payment bonds.
2 Activities Not Involving Construction. For each Project or related activities implementing the Agreement not
involving construction, the Subrecipient will not impose excessive bonding and will follow FTA guidance.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 66
Contract Number: 21-HTR-ZL-00308/491002610 Page 39 of 45 Version 10/23/19
From Section 23
c. Seismic Safety. The Subrecipient agrees to comply with the Earthquake Hazards Reduction Act of 1977, as
amended, 42 U.S.C. § 7701 et seq., and U.S. DOT regulations, “Seismic Safety,” 49 C.F.R. part 41, specifically,
49 C.F.R. § 41.117.
Section 12 Civil Rights D.3
d. Equal Employment Opportunity Req uirements for Construction Activities. Comply, when undertaking
“construction” as recognized by the U.S. Department of Labor (U.S. DOL), with:
a. U.S. DOL regulations, “Office of Federal Contract Compliance Programs, Equal Employment Opportunity,
Department of Labor,” 41 C.F.R. chapter 60, and
b. Executive Order No. 11246, “Equal Employment Opportunity in Federal Employment,” September 24, 1965,
42 U.S.C. § 2000e note, as amended by any later Executive Order that amends or supersedes it, referenced
in 42 U.S.C. § 2000e note.
Applicable to Nonconstruction Activities
From Section 24. Employee Protections
a. Awards Not Involving Construction. The Subrecipient agrees to comply and assures that each Third Party
Participant will comply with all federal laws, regulations, and requirements providing wage and hour protections
for nonconstruction employees, including Section 102 of the Contract Work Hours and Safety Standards Act, as
amended, 40 U.S.C. § 3702, and other relevant parts of that Act, 40 U.S.C. § 3701 et s eq., and U.S. DOL
regulations, “Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted
Construction (also Labor Standards Provisions Applicable to Nonconstruction Contracts Subject to the Contract
Work Hours and Safety Standards Act),” 29 C.F.R. part 5.
Applicable to Transit Operations
a. Public Transportation Employee Protective Arrangements . As a condition of award of federal assistance
appropriated or made available for FTA programs involving public transportation ope rations, the Subrecipient
agrees to comply and assures that each Third-Party Participant will comply with the following employee
protective arrangements of 49 U.S.C. § 5333(b):
(1) U.S. DOL Certification. When its Awarded, the accompanying Agreement, or any Amendments thereto
involve public transportation operations and are supported with federal assistance appropriated or made
available for 49 U.S.C. §§ 5307 – 5312, 5316, 5318, 5323(a)(1), 5323(b), 5323(d), 5328, 5337, 5338(b),
or 5339, or former 49 U.S.C. §§ 5308, 5309, 5312, or other provisions of law as required by the Federal
Government, U.S. DOL must provide a certification of employee protective arrangements before FTA
may provide federal assistance for that Award. The Subrecipient agrees that the certification issued by
U.S. DOL is a condition of the Agreement and that the Subrecipient must comply with its terms and
conditions.
(2) Special Warranty. When its Agreement involves public transportation operations and is supported with
federal assistance appropriated or made available for 49 U.S.C. § 5311, U.S. DOL will provide a Special
Warranty for its Award, including its Award of federal assistance under the Tribal Transit Program. The
Subrecipient agrees that its U.S. DOL Special Warranty is a condition of the Agreement and the
Subrecipient must comply with its terms and conditions.
(3) Special Arrangements for Agreements for Federal Assistance Authorized under 49 U.S.C. § 5310. The
Subrecipient agrees, and assures that any Third Party Participant providing public transportation
operations will agree, that although pursuant to 49 U.S.C. § 5310, and former 49 U.S.C. §§ 5310 or 5317,
FTA has determined that it was not “necessary or appropriate” to apply the conditions of 49 U.S.C. §
5333(b) to any Subagreement participating in the program to provide public transportation for seniors
(elderly individuals) and individuals with disabilities, FTA reserves the right to make case-by- case
determinations of the applicability of 49 U.S.C. § 5333(b) for all trans fers of funding authorized under
title 23, United States Code (flex funds), and make other exceptions as it deems appropriate.
Section 28. Charter Service.
a. Prohibitions. The Recipient agrees that neither it nor any Third -Party Participant involved in the Award will
engage in charter service, except as permitted under federal transit laws, specifically 49 U.S.C. § 5323(d), (g),
and (r), FTA regulations, “Charter Service,” 49 C.F.R. part 604, any other Federal Charter Service regulations,
federal requirements, or federal guidance.
b. Exceptions. Apart from exceptions to the Charter Service restrictions in FTA’s Charter Service regulations, FTA
has established the following additional exceptions to those restrictions:
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 67
Contract Number: 21-HTR-ZL-00308/491002610 Page 40 of 45 Version 10/23/19
(1) FTA’s Charter Service restrictions do not apply to equipment or facilities supported with federal assistance
appropriated or made available for 49 U.S.C. § 5307 to support a Job Access and Reverse Commute (JARC)-
type Project or related activities that would have been eligible for assistance under repealed 49 U.S.C. § 5316
in effect in Fiscal Year 2012 or a previous fiscal year, provided that the Subrecipient uses that federal
assistance for FTA program purposes only, and
(2) FTA’s Charter Service restrictions do not apply to equipment or fa cilities supported with the federal
assistance appropriated or made available for 49 U.S.C. § 5310 to support a New Freedom -type Project or
related activities that would have been eligible for federal assistance under repealed 49 U.S.C. § 5317 in
effect in Fiscal Year 2012 or a previous fiscal year, provided the Subrecipient uses that federal assistance for
program purposes only.
c. Violations. If it or any Third Party Participant engages in a pattern of violations of FTA’s Charter Service
regulations, FTA may require corrective measures and remedies, including withholding an amount of federal
assistance as provided in FTA’s Charter Service regulations, 49 C.F.R. part 604, appendix D, or barring it or the
Third Party Participant from receiving federal assistance provided in 49 U.S.C. chapter 53, 23 U.S.C. § 133, or
23 U.S.C. § 142.
Section 29. School Bus Operations.
a. Prohibitions. The Subrecipient agrees that neither it nor any Third Party Participant that is participating in its
Award will engage in school bus operations exclusively for the transportation of students or school personnel in
competition with private school bus operators, except as permitted by federal transit laws, 49 U.S.C. § 5323(f) or
(g), FTA regulations, “School Bus Operations,” 49 C.F.R. part 605, and any other applicable federal “School Bus
Operations” laws, regulations, federal requirements, or applicable federal guidance.
b. Violations. If a Subrecipient or any Third-Party Participant has operated school bus service in violation of FTA’s
School Bus laws, regulations, or requirements, FTA may require the Subrecipient or Third Party Participant to
take such remedial measures as FTA considers appropriate, or bar the Subrecipient or Third Party Participant
from receiving federal transit assistance.
From Section 35 Substance Abuse
c. Alcohol Misuse and Prohibited Drug Use.
(1) Requirements. The Subrecipient agrees to comply and assures that its Third -Party Participants will comply
with:
(a) Federal transit laws, specifically 49 U.S.C. § 5331,
(b) FTA regulations, “Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations,” 49
C.F.R. part 655, and
(c) Applicable provisions of U.S. DOT regulations, “Procedures for Transportation Workplace Drug and
Alcohol Testing Programs,” 49 C.F.R. part 40.
(2) Remedies for Non-Compliance. The Subrecipient agrees that if FTA determines that the Subrecipient or a
Third-Party Participant receiving federal assistance under 49 U.S.C. chapter 53 is not in compliance with 49
C.F.R. part 655, the Federal Transit Administrator may bar that Subrecipient or Third Party Participant from
receiving all or a portion of the federal transit assistance for public transportation it would otherwise receive.
Applicable to Planning, Research, Development, and Documentation Projects
Section 17. Patent Rights.
a. General. The Subrecipient agrees that:
(1) Depending on the nature of the Agreement, the Federal Government may acquire patent rights when the
Subrecipient or Third-Party Participant produces a patented or patentable invention, improvement, or
discovery;
(2) The Federal Government’s rights arise when the patent or patentable information is conceived or reduced to
practice with federal assistance provided through the Agreement; or
(3) When a patent is issued or patented information becomes available as described in the preceding section
17.a.(2) of this Master Agreement (FTA MA(23)), the Subrecipient will notify FTA immediately and provide
a detailed report satisfactory to FTA.
b. Federal Rights. The Subrecipient agrees that:
(1) Its rights and responsibilities, and each Third-Party Participant’s rights and responsibilities , in that federally
assisted invention, improvement, or discovery will be determined as provided in applicable federal laws,
regulations, requirements, and guidance, including any waiver thereof, and
(2) Unless the Federal Government determines otherwise in writing, irrespective of its status or the status of any
Third Party Participant as a large business, small business, state government, state instrumentality, local
government, Indian tribe, nonprofit organization, institution of higher education, or individual, the
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 68
Contract Number: 21-HTR-ZL-00308/491002610 Page 41 of 45 Version 10/23/19
Subrecipient will transmit the Federal Government’s patent rights to FTA, as specified in 35 U.S.C. § 200 et
seq., and U.S. Department of Commerce regulations, “Rights to Inventions Made by Nonprofit Organizations
and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements,” 37 C.F.R.
part 401.
c. License Fees and Royalties. Consistent with the applicable U.S. DOT Common Rules, the Subrecipient agrees
that license fees and royalties for patents, patent applications, and inventions produced with federal assistance
provided through the Agreement are program income and must be used in compliance with applicable federal
requirements.
Section 18. Rights in Data and Copyrights.
a. Definition of “Subject Data.” As used in this section, “subject data” means recorded information whether or not
copyrighted, and that is delivered or specified to be delivered as required by the Agreement. Examples of “subject
data” include, but are not limited to computer software, standards, specifications, engineering drawings and
associated lists, process sheets, manuals, technical reports, catalog item identifications, and related information,
but do not include financial reports, cost analyses, or other similar information used for performance or
administration of the Agreement.
b. General Federal Restrictions. The following restrictions apply to all subject data first produced in the performance
of the Agreement:
(1) Prohibitions. The Subrecipient may not publish or reproduce any subject data, in whole, in part, or in any
manner or form, or permit others to do so.
(2) Exceptions. The prohibitions do not apply to publications or reproductions for the Subrecipient’s own internal
use, an institution of higher learning, the portion of subject data that the Federal Government has previously
released or approved for release to the public, or the portion of data that has the Federal Government’s prior
written consent for release.
c. Federal Rights in Data and Copyrights. The Subrecipient agrees that:
(1) General. It must provide a license to its “subject data” to the Federal Government that is royalty -free, non-
exclusive, and irrevocable. The Federal Government’s license must permit the Federal Government to
reproduce, publish, or otherwise use the subject data or permit other entities or individuals to use the subject
data provided those actions are taken for Federal Government purposes, and
(2) U.S. DOT Public Access Plan – Copyright License. The Subrecipient grants to U.S. DOT a worldwide, non-
exclusive, non-transferable, paid-up, royalty-free copyright license, including all rights under copyright, to
any and all Publications and Digital Data Sets as such terms are defined in the U.S. DOT Public Access plan,
resulting from scientific research funded either fully or partially by this funding agreement. The Subrecipient
herein acknowledges that the above copyright license grant is firs t in time to any and all other grants of a
copyright license to such Publications and/or Digital Data Sets, and that U.S. DOT shall have priority over
any other claim of exclusive copyright to the same.
d. Special Federal Rights in Data for Research, Development, Demonstration, Deployment, Technical Assistance,
and Special Studies Programs. In general, FTA’s purpose in providing federal assistance for a research,
development, demonstration, deployment, technical assistance, or special studies program is to increase
transportation knowledge, rather than limit the benefits of the Award to the Subrecipient and its Third-Party
Participants. Therefore, the Subrecipient agrees that:
(1) Publicly Available Report. When an Award providing federal assistance for any of the programs described
above is completed, it must provide a report of the Agreement that FTA may publish or make available for
publication on the Internet.
(2) Other Reports. It must provide other reports related to the Award that FTA may request.
(3) Availability of Subject Data. FTA may make available its copyright license to the subject data, and a copy
of the subject data to any FTA Recipient or any Third -Party Participant at any tier, except as the Federal
Government determines otherwise in writing.
(4) Identification of Information. It must identify clearly any specific confidential, privileged, or proprietary
information submitted to FTA.
(5) Incomplete. If the Award is not completed for any reason whatsoever, all data developed with federa l
assistance for the Award becomes “subject data” and must be delivered as the Federal Government may
direct.
(6) Exception. This section does not apply to an adaptation of any automatic data processing equipment or
program that is both for the Subrecipient’s use and acquired with FTA capital program assistance.
e. License Fees and Royalties. Consistent with the applicable U.S. DOT Common Rules, the Subrecipient agrees
that license fees and royalties for patents, patent applications, and inventions produced with federal assistance
provided through the Agreement are program income and must be used in compliance with federal applicable
requirements.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 69
Contract Number: 21-HTR-ZL-00308/491002610 Page 42 of 45 Version 10/23/19
f. Hold Harmless. Upon request by the Federal Government, the Subrecipient agrees that if it intentionally violates
any proprietary rights, copyrights, or right of privacy, and if its violation under the preceding section occurs from
any of the publication, translation, reproduction, delivery, use or disposition of subject data, then it will indemnify,
save, and hold harmless against any liability, including costs and expenses of the Federal Government’s officers,
employees, and agents acting within the scope of their official duties. The Subrecipient will not be required to
indemnify the Federal Government for any liability described in the preceding sentence, if the violation is caused
by the wrongful acts of federal officers, employees or agents, or if indemnification is prohibited or limited by
applicable state law.
g. Restrictions on Access to Patent Rights. Nothing in this section of this Master Agreement (FTA MA(23))
pertaining to rights in data either implies a license to the Federal Government under any patent, or may be
construed to affect the scope of any license or other right otherwise granted to the Feder al Government under any
patent.
h. Data Developed Without Federal Assistance or Support. The Subrecipient agrees that in certain circumstances it
may need to provide to FTA data developed without any federal assistance or support. Nevertheless, this section
generally does not apply to data developed without federal assistance, even though that data may have been used
in connection with the Award. The Subrecipient agrees that the Federal Government will not be able to protect
data developed without federal assistance from unauthorized disclosure unless that data is clearly marked
“Proprietary,” or “Confidential.”
i. Requirements to Release Data. The Subrecipient understands and agrees that the Federal Government may be
required to release data and information the Subrecipient submits to the Federal Government as required under:
(1). The Freedom of Information Act (FOIA), 5 U.S.C. § 552,
(2) The U.S. DOT Common Rules,
(3) U.S. DOT Public Access Plan, which provides that the Subrecipient agrees to satisfy the reporting and
compliance requirements as set forth in the U.S. DOT Public Access plan, including, but not limited to, the
submission and approval of a Data Management Plan, the use of Open Researcher and Contributor ID
(ORCID) numbers, the creation and maintenance of a Research Project record in the Transportation Research
Board’s (TRB) Research in Progress (RiP) database, and the timely and complete submission of all required
publications and associated digital data sets as such terms are defined in the DOT Public Access plan.
Additional information about how to comply with the requirements can be found at:
http://ntl.bts.gov/publicaccess/howtocomply.html, or
(4) Other federal laws, regulations, requirements, and guidance concerning access to records pertai ning to the
Award, the accompanying Agreement, and any Amendments thereto.
Miscellaneous Special Requirements
From Section 12. Civil Rights.
a. Disadvantaged Business Enterprise (and Prompt Payment and Return of Retainage). To the extent authorized by
applicable federal laws, regulations, or requirements, the Subrecipient agrees to facilitate, and assures that each
Third-Party Participant will facilitate, participation by small business concerns owned and controlled by socially
and economically disadvantaged individuals, also referred to as “Disadvantaged Business Enterprises” (DBEs),
in the Agreement as follows:
(1) Statutory and Regulatory Requirements. The Subrecipient agrees to comply with:
(a) Section 1101(b) of the FAST Act, 23 U.S.C. § 101 note,
(b) U.S. DOT regulations, “Participation by Disadvantaged Business Enterprises in Department of
Transportation Financial Assistance Programs,” 49 C.F.R. part 26, and
(c) Federal transit law, specifically 49 U.S.C. § 5332, as provided in section 12 of this Mast er Agreement
(FTA MA(23)).
(2) DBE Program Requirements. A Subrecipient that receives planning, capital and/or operating assistance and
that will award prime third-party contracts exceeding $250,000 the requirements of 49 C.F.R. part 26.
(3) Special Requirements for a Transit Vehicle Manufacturer (TVM). The Subrecipient agrees that:
(a) TVM Certification. Each TVM, as a condition of being authorized to bid or propose on FTA-assisted
transit vehicle procurements, must certify that it has complied with the requirements of 49 C.F.R. part
26, and
(b) Reporting TVM Awards. Within 30 days of any third -party contract award for a vehicle purchase, the
Subrecipient must submit to FTA the name of the TVM contractor and the total dollar value of the third
party contract, and notify FTA that this information has been attached to FTA’s electronic award
management system. The Subrecipient must also submit additional notifications if options are exercised
in subsequent years to ensure that the TVM is still in good standin g.
(4) Assurance. As required by 49 C.F.R. § 26.13(a):
(a) Recipient Assurance. The Subrecipient agrees and assures that:
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 70
Contract Number: 21-HTR-ZL-00308/491002610 Page 43 of 45 Version 10/23/19
1 It must not discriminate on the basis of race, color, national origin, or sex in the award and
performance of any FTA or U.S. DOT-assisted contract, or in the administration of its DBE program
or the requirements of 49 C.F.R. part 26,
2 It must take all necessary and reasonable steps under 49 C.F.R. part 26 to ensure nondiscrimination
in the award and administration of U.S. DOT assisted contracts,
3 Its DBE program, as required under 49 C.F.R. part 26 and as approved by U.S. DOT, is incorporated
by reference and made part of the Underlying Agreement, and
4 Implementation of its DBE program approved by U.S. DOT is a legal obligation and failure to carry
out its terms shall be treated as a violation of the Master Agreement (FTA MA(23)).
(b) Subrecipient/Third Party Contractor/Third Party Subcontractor Assurance. The Subrecipient agrees and
assures that it will include the following assurance in each subagreement and third-party contract it signs
with a Subrecipient or Third-Party Contractor and agrees to obtain the agreement of each of its
Subrecipients, Third Party Contractors, and Third Party Subcontractors to include the following
assurance in every subagreement and third party contract it signs:
1 The Subrecipient, each Third-Party Contractor, and each Third-Party Subcontractor must not
discriminate on the basis of race, color, national origin, or sex in the award and performance of any
FTA or U.S. DOT-assisted subagreement, third party contract, and third party subcontract, as
applicable, and the administration of its DBE program or the requirements of 49 C.F.R. part 26,
2 The Subrecipient, each Third-Party Contractor, and each Third-Party Subcontractor must take all
necessary and reasonable steps under 49 C.F.R. part 26 to ensure nondiscrimination in the award
and administration of U.S. DOT-assisted subagreements, third party contracts, and third party
subcontracts, as applicable,
3 Failure by the Subrecipient and any of its Third Party Contractors or Third Party Subcontractors to
carry out the requirements of subparagraph 12.e(4)(b) (of FTA MA(23)) is a material breach of their
subagreement, third party contract, or third party subcontra ct, as applicable, and
4 The following remedies, or such other remedy as the Subrecipient deems appropriate, include, but
are not limited to, withholding monthly progress payments; assessing sanctions; liquidated damages;
and/or disqualifying the Subrecipient, Third Party Contractor, or Third -Party Subcontractor from
future bidding as non-responsible.
(5) Remedies. Upon notification to the Subrecipient of its failure to carry out its approved program, FTA or U.S.
DOT may impose sanctions as provided for under 49 C.F.R. part 26, and, in appropriate cases, refer the
matter for enforcement under either or both 18 U.S.C. § 1001, and/or the Program Fraud Civil Remedies Act
of 1986, 31 U.S.C. § 3801 et seq.
From Section 12. Civil Rights.
b. Nondiscrimination on the Basis of Disability. The Subrecipient agrees to comply with the following federal
prohibitions against discrimination on the basis of disability:
(1) Federal laws, including:
(a) Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794, which prohibits
discrimination on the basis of disability in the administration of federally assisted Programs,
Projects, or activities,
(b) The Americans with Disabilities Act of 1990 (ADA), as amended, 42 U.S.C. § 12101 et seq., which
requires that accessible facilities and services be made available to individuals with disabilities:
1 For FTA Recipients generally, Titles I, II, and III of the ADA apply, but
2 For Indian Tribes, Titles II and III of the ADA apply, but Title I of the ADA does not apply
because it exempts Indian Tribes from the definition of “employer,”
(c) The Architectural Barriers Act of 1968, as amended, 42 U.S.C. § 4151 et seq., which requires that
buildings and public accommodations be accessible to individuals with disabilities,
(d) Federal transit law, specifically 49 U.S.C. § 5332, which now includes disability as a prohibited
basis for discrimination, and
(e) Other applicable federal laws, regulations, and requirements pertaining to access for seniors or
individuals with disabilities.
(2) Federal regulations and guidance, including:
(a) U.S. DOT regulations, “Transportation Services for Individuals with Disabilities (ADA),” 49 C.F.R.
part 37,
(b) U.S. DOT regulations, “Nondiscrimination on the Basis of Disability in Programs and Activities
Receiving or Benefiting from Federal Financial Assistance,” 49 C.F.R. part 27,
(c) Joint U.S. Architectural and Transportation Barriers Compliance Board (U.S. ATBCB) and U.S.
DOT regulations, “Americans With Disabilities (ADA) Accessibility Specifications for
Transportation Vehicles,” 36 C.F.R. part 1192 and 49 C.F.R. part 38,
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 71
Contract Number: 21-HTR-ZL-00308/491002610 Page 44 of 45 Version 10/23/19
(d) U.S. DOT regulations, “Transportation for Individuals with Disabilities: Passenger Vessels,” 49
C.F.R. part 39,
(e) U.S. DOJ regulations, “Nondiscrimination on the Basis of Disability in State and Local Government
Services,” 28 C.F.R. part 35,
(f) U.S. DOJ regulations, “Nondiscrimination on the Basis of Disability by Public Accommodations
and in Commercial Facilities,” 28 C.F.R. part 36,
(g) U.S. EEOC, “Regulations to Implement the Equal Employment Provisions of the Americans with
Disabilities Act,” 29 C.F.R. part 1630,
(h) U.S. Federal Communications Commission regulations, “Telecommunications Relay Services and
Related Customer Premises Equipment for Persons with Disabilities,” 47 C.F.R. part 64, Subpart F,
(i) U.S. ATBCB regulations, “Electronic and Information Technology Accessibility Standards,” 36
C.F.R. part 1194,
(j) FTA regulations, “Transportation for Elderly and Handicapped Persons,” 49 C.F.R. part 609,
(k) FTA Circular 4710.1, “Americans with Disabilities Act: Guidance,” and
(l) Other applicable federal civil rights and nondiscrimination regulations and guidance .
Section 16. Procurement. For Assignability
a. Federal Laws, Regulations, Requirements, and Guidance. The Subrecipient agrees:
(1 To comply with the requirements of 49 U.S.C. chapter 53 and other applicable federal laws, regulations, and
requirements in effect now or later that affect its third-party procurements,
(2) To comply with the applicable U.S. DOT Common Rules, and
(3) To follow the most recent edition and any revisions of FTA Circular 4220.1, “Third Party Contracting
Guidance,” to the extent consistent with applicable federal laws, regulations, requirements, and guidance.
State Requirements
Section 37. Special Notification Requirements for States.
a. Types of Information. To the extent required under federal law, the State, agrees to provide the following
information about federal assistance awarded for its State Program, Project, or related activities:
(1) The Identification of FTA as the federal agency providing the federal assistance for a State Program or
Project,
(2) The Catalog of Federal Domestic Assistance Number of the program from which the federal assistance for a
State Program or Project is authorized, and
(3) The amount of federal assistance FTA has provided for a State Program or Project.
b. Documents. The State agrees to provide the information required under this provision in the following documents:
(1) applications for federal assistance, (2) requests for proposals, or solicitations, (3) forms, (4) notifications, (5)
press releases, and (6) other publications..
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 72
Contract Number: 21-HTR-ZL-00308/491002610 Page 45 of 45 Version 10/23/19
EXHIBIT E, VERIFICATION OF PAYMENT
This checklist is to assist the Subrecipient in preparation of its billing packets to State. This checklist
is provided as guidance and is subject to change by State. State shall provide notice of any such
changes to Subrecipient. All items may not apply to your particular entity. State’s goal is to
reimburse Subrecipients as quickly as possible and a well organized and complete billing packet
helps to expedite payment.
Verification of Payment –
General Ledger Report must have the following:
Identify check number or EFT number;
If no check number is available, submit Accounts Payable Distribution report with the
General Ledger;
In-Kind (must be pre-approved by State) and/or cash match;
Date of the report;
Accounting period;
Current period transactions; and
Account coding for all incurred expenditures.
If no General Ledger Report, all of the following are acceptable :
copies of checks;
check registers; and
paycheck stub showing payment number, the amount paid, the check number or
electronic funds transfer (EFT), and the date paid.
State needs to ensure that expenditures incurred by the local agencies have been paid by
Party before State is invoiced by Party.
Payment amounts should match the amount requested on the reimbursement. Additional
explanation and documentation is required for any variances.
In-Kind or Cash Match – If an entity wishes to use these types of match, they must be
approved by State prior to any Work taking place.
If in-kind or cash match is being used for the Local Match, the in-kind or cash match
portion of the project must be included in the project application and the statement of work
attached to the Agreement or purchase order. FTA does not require pre-approval of in-kind
or cash match, but State does.
General ledger must also show the in-kind and/or cash match.
Indirect costs – If an entity wishes to use indirect costs, the rate must be approved by State
prior to applying it to the reimbursements.
If indirect costs are being requested, an approved indirect letter from State or your
cognizant agency for indirect costs, as defined in 2 CCR §200. 19, must be provided. The
letter must state what indirect costs are allowed, the approved rate and the time period for
the approval. The indirect cost plan must be reconciled ann ually and an updated letter
submitted each year thereafter.
Fringe Benefits- Considered part of the Indirect Cost Rate and must be reviewed and
approved prior to including these costs in the reimbursements.
Submit an approval letter from the cognizant agency for indirect costs, as defined in 2 CCR
§200. 19, that verifies fringe benefit, or
Submit the following fringe benefit rate proposal package to State Audit Division:
Copy of Financial Statement;
Personnel Cost Worksheet;
State of Employee Benefits; and
Cost Policy Statement.
DocuSign Envelope ID: 50C083F8-B11A-4838-8691-8D49E75F04F6
Page 73
Page 74
FINANCE DEPARTMENT Memo
To: Honorable Mayor Koenig
Board of Trustees
Through: Town Administrator Machalek
From: Duane Hudson, Finance Director
Date: August 24, 2021
RE: Accept Delivery of the Audited Financial Statements for the Year Ending
December 31, 2020
(Mark all that apply)
PUBLIC HEARING ORDINANCE LAND USE
CONTRACT/AGREEMENT RESOLUTION OTHER
QUASI-JUDICIAL YES NO
Objective:
Formally accept the Haynie & Company audit of the Annual Financial Report (AFR),
including the Single Audit Reports, for the year ended December 31, 2020.
Present Situation:
The Town of Estes Park has received the annual audit of its financial statements as
required by State Statute CRS 29-1-603 and, when applicable, the Federal Single Audit
Act. The AFR has been posted online on the Finance webpage at: 2020 Annual
Financial Report
The audit covers both the Town’s operations and Visit Estes Park (VEP) as a required
component unit. Note 1 Summary of Significant Accounting Policies on page 10 of the
AFR explains the inclusion of VEP in the reporting entity.
Ty Holman, Audit Partner and Abbey Irvine, Senior Auditor with Haynie & Company,
met virtually with the audit committee on Aug 11, 2021 at 4:00 pm to review the AFR
and results of the audit. The independent auditor’s report expressed an unmodified
(“clean”) opinion that the financial statements presented fairly, in all material respects,
the financial positon of the funds and activities of the Town of Estes Park in conformity
with Generally Accepted Accounting Principles (GAAP). This is the first year the audit
was performed by this firm.
To comply with State Statute filing deadlines as well as grant and bond filing deadlines,
the AFR has already been filed with the appropriate agencies. This action item is to
formally acknowledge the receipt of the audit by the Town Board, as recommended by
the audit committee.
Page 75
You will notice an attempt by the Finance Department to change reoccurring references
to the Comprehensive Annual Financial Report to simply the Annual Financial Report.
The previous four letter acronym, CAFR, is pronounced the same way as a profoundly
offensive racial slur in South Africa most often associated with the apartheid regime.
Also, the pronunciation is similar to a controversial meaning in Arabic for those who
practice Islam. Out of respect, the Government Finance Officers Association (GFOA)
issued a policy statement earlier this year in an effort to eliminate the use of this
acronym in the future. As a common term used for the last 30 years or more, it will be
difficult to eliminate old habits but we are attempting to do so. As a result, we have
changed our website pages and will be endeavoring to remove this reference in future
years. A copy of the GFOA policy statement has been attached hereto. Additional
information can be found on the GFOA website at: GFOA End the Acronym FAQ
Proposal:
Approve the audit committee’s recommendation to accept the audit report and AFR as
presented.
Advantages:
This will demonstrate compliance with State Statutes, bond covenants, and grantor
requirements.
Disadvantages:
None identified.
Action Recommended:
The audit committee, by unanimous consent, referred the acceptance of the audit report
and AFR for the year ended Dec 31, 2020 to the Town Board for consideration.
Finance/Resource Impact:
The audit is an ongoing annual obligation budgeted within the three following accounts:
101-1500-415-22-01, 502-6501-560-22-01, 503-6500-560-22-01
The total fee for the audit of the 2020 AFR was $49,000. This is within the budgeted
amount for the audit of $54,500.
Level of Public Interest
I have received no inquiries or comments from the public regarding this AFR.
Sample Motion:
I move for the approval/denial of acceptance of the audit report and Annual Financial
Report for the year ended December 31, 2020.
Attachments:
1. Management Letter
2. GFOA End the Acronym Policy Statement
3. 2020 Annual Financial Report – Available online at: 2020 Annual Financial
Report (hard copy distributed separately)
Page 76
Certified Public Accountants
& Management Consultants
1221 W. Mineral Avenue, Suite 202
Littleton, CO 80120
303-734-4800
303-795-3356
www.HaynieCPAs.com
An Association of Independent Accounting Firms
July 23, 2021
To the Board of Trustees and Management
Town of Estes Park, Colorado
We have audited the financial statements of Town of Estes Park, Colorado (the “Town”) for the year ended
December 31, 2020, and have issued our report thereon dated June 25, 2021. Professional standards require that
we provide you with the following information related to our audit.
Our responsibility under U.S Generally Accepted Auditing Standards was provided to you in the engagement
letter dated December 28, 2020. This letter also communicated the general scope and timing of our audit; any
significant updates have been verbally communicated.
We have also requested and received written representations from management regarding the financial statements.
A copy of this letter can be provided to you upon request.
Significant Accounting Policies
The significant accounting policies used by the Town are described in Note 1 to the financial statements. No new
accounting policies were adopted and the application of existing policies did not materially change during 2020.
We noted no transactions entered into by the Town during the year that were both significant and unusual, and of
which, under professional standards, we are required to inform you, or transactions for which there is a lack of
authoritative guidance or consensus.
Significant Accounting Estimates
Accounting estimates are an integral part of the financial statements prepared by management and are based on
management’s knowledge and experience about past and current events and assumptions about future events.
Certain accounting estimates are particularly sensitive because of their significance to the financial statements and
because of the possibility that future events affecting them may differ significantly from those expected. The most
sensitive estimates affecting the financial statements were:
•Management’s estimate of the depreciable lives and estimated residual value of property and equipment is
based on prior management experience. We evaluated the key factors and assumptions used to develop
the depreciable lives and estimated residual value in determining that it is reasonable in relation to the
financial statements taken as a whole.
•The estimates of the net pension and OPEB liabilities are based on actuarial valuations, which make
certain assumptions and estimations. We reviewed the valuations and key assumptions and found them to
be reasonable.
•The Town estimates the year-end self-insurance claims payable. This estimate is based on past experience
and expected results. We reviewed the calculation of this liability and the key assumptions used to
determine it, and consider the estimated liability to consistent with expectations.
Attachment 1
Page 77
Corrected and Uncorrected Misstatements
Professional standards require us to accumulate all known and likely misstatements identified during the audit,
other than those that are clearly trivial, and communicate them to the appropriate level of management.
Management has corrected all such misstatements. In addition, none of the misstatements detected as a result of
audit procedures and corrected by management were material, either individually or in the aggregate, to each
opinion unit’s financial statements taken as a whole.
Disagreements with Management
None.
Consultations with Other Independent Accountants
None of which we are aware.
Significant Issues Discussed Prior to Retention of Independent Auditors
We generally discuss a variety of matters, including the application of accounting principles and auditing
standards, with management each year prior to retention as the Town’s auditors. However, these discussions
occurred in the normal course of our professional relationship and our responses were not a condition to our
retention.
Significant Difficulties Encountered in Performing the Audit
None.
Other Matters
We applied certain limited procedures to the management’s discussion and analysis and required supplementary
information (RSI), as listed in the table of contents. Our procedures consisted of inquiries of management
regarding the methods of preparing the information and comparing the information for consistency with
management’s responses to our inquiries, the basic financial statements, and other knowledge we obtained during
our audit of the basic financial statements. We did not audit the RSI and do not express an opinion or provide any
assurance on the RSI.
We were engaged to report on the budgetary comparison schedules, combining and individual nonmajor fund
financial statements listed in the table of contents, which accompany the financial statements but are not RSI.
With respect to this supplementary information, we made certain inquiries of management and evaluated the form,
content, and methods of preparing the information to determine that the information complies with accounting
principles generally accepted in the United States of America, the method of preparing it has not changed from
the prior period, and the information is appropriate and complete in relation to our audit of the financial
statements. We compared and reconciled the supplementary information to the underlying accounting records
used to prepare the financial statements or to the financial statements themselves.
We were not engaged to report on the introductory section, statistical section and Local Highway Finance Report
which accompany the financial statements but are not RSI. Such information has not been subjected to the
auditing procedures applied in the audit of the basic financial statements, and accordingly, we do not express an
opinion or provide any assurance on it.
Page 78
Other Findings or Issues Noted During the Audit
Audit Observations:
During our engagement, we reviewed schedules that could not be converted to excel easily, and noted some
processes that are manual due to system features that limit automation. Additionally, we noted the current
accounting system cannot create functional financial statements. In our experience, a more robust ERP system
can eliminate department inefficiencies and provide robust reporting that can aid the Town with overall
monitoring.
This information is intended solely for the use of the Town Board and management of the Town of Estes Park,
Colorado and is not intended to be and should not be used by anyone other than these specified parties.
Sincerely,
Page 79
GFOA Policy Statement
Issued March 9, 2021
Proper Referencing of the Comprehensive Annual Financial Report
–An Inclusivity Concern -
Purpose:
The purpose of this policy is to outline an intentional change in the professional
standards and expectations of government finance professionals and their industry
affiliates as it relates to the formal and day-to-day discussion of Comprehensive Annual
Financial Reports.
Applies To:
-All GFOA members
-All GFOA employees
-Media partners, especially those covering government and financial news and
analysis
-The broader national bond management and government finance community
Overview:
The Government Finance Officers Association (GFOA) is asking all industry affiliates to
immediately stop using the common four-letter acronym most often associated with the
Comprehensive Annual Financial Report. Instead, GFOA recommends referring to the report by
either the full name or by using a shortened format that does not include the four-letter
acronym. For instance, the “Annual Report” is advised, the four-letter acronym even
pronounced by saying each letter individually is still not advised.
This policy change is the result of a new and evolving industry understanding that the acronym,
when pronounced aloud, mimics the pronunciation of a deeply derogatory term often used in
other parts of the world but readily recognized among certain populations in the United States
as well.
Attachment 2
Page 80
As an organization made up of 21,000 finance professionals that serve diverse communities
across the country, and a growing list of important partners around the world, GFOA believes it
is the responsibility of all government finance professionals to embrace change that moves us
towards becoming more thoughtful, responsible, and inclusive global citizens.
Background:
Recently it came to the attention of GFOA leadership that this four-letter acronym, frequently
leveraged in the government financial accounting industry to shorten the name of the
Comprehensive Annual Financial Report, is pronounced the same way as a profoundly offensive
racial slur in South Africa. The offensive version of this term is most often associated with the
atrocities of the apartheid regime. Separately, a similar pronunciation also has a deeply
controversial meaning in Arabic for those who practice Islam.
While GFOA serves governments in the US and Canada, the organization has significant
international partners, including in South Africa through the Chartered Institute of Government
Finance, Audit and Risk Officers (CIGFARO).
Much of the research, best practices, and programs that GFOA produces are relevant to, and
recognized by, government finance officers around the world. Through the years, GFOA has
been a leading partner helping to build financial best practices in South Africa’s emerging
democracy.
GFOA’s leadership team understands that there may always be biases and concerns of which
we are unaware, but has determined, with significant member input, that when confronted
with new information on how our words or actions may negatively impact a particular group, it
is our collective professional responsibility to give that information serious consideration.
While GFOA recognizes that the spellings of the South African slur, the Arabic term, and the
acronym are different – as are the contexts in which they are used – the organization has
determined that as influential community leaders with a shared commitment to diversity,
equity, and inclusion, there is a responsibility to act. While doing so, GFOA and our partners can
demonstrate our values in action, become more inclusive, and create safer spaces for the
important work that we conduct.
Timeline: Effective Immediately, no end-date identified
Resources:
End the Acronym – Fact Sheet
FAQ Document
Page 81
Page 82
FINANCE DEPARTMENT Memo
To: Honorable Mayor Koenig
Board of Trustees
Through: Town Administrator Machalek
From: Duane Hudson, Finance Director
Date: Aug 24, 2021
RE: Appointment of Haynie & Company to Perform the Audit of the Annual
Financial Report for the Year Ending December 31, 2021
(Mark all that apply)
PUBLIC HEARING ORDINANCE LAND USE
CONTRACT/AGREEMENT RESOLUTION OTHER
QUASI-JUDICIAL YES NO
Objective:
Appointment of Haynie & Company to perform the audit for the year ending December
31, 2021.
Present Situation:
As required by state statute, grant agreements and other regulations, the Town is
required to have an annual audit of its Annual Financial Report (AFR). Haynie &
Company was appointed on Jan 12, 2021 to perform the audit of the Town’s 2020 AFR.
This action item is to appoint Haynie & Company to perform the Town’s audit of the
2021 AFR, which will be the second year of a five year engagement.
Proposal:
Since the auditor works on behalf of the Town’s Audit Committee and the full Town
Board, the audit committee recommends that the Town Board formally approve re-
appointment of Haynie & Company to audit the 2021 AFR.
Advantages:
The Town is required by state statute and by grantor agreements to have an annual
audit conducted by a qualified CPA firm. This action will demonstrate continued
compliance with this requirement.
Disadvantages:
None identified.
Action Recommended:
The Audit Committee and the Finance Department is recommending appointment of
Haynie & Company to conduct the audit of the 2021 AFR.
Page 83
Finance/Resource Impact:
The audit is an ongoing annual obligation budgeted within the three following accounts:
101-1500-415-22-01, 502-6501-560-22-01, 503-6500-560-22-01
The total fee for the audit of the 2021 AFR was $50,250. This is within the budgeted
amount for the audit of $60,500.
Level of Public Interest
No comments or inquiries have been received regarding this appointment.
Sample Motion:
I move for the approval/denial to award the engagement for the financial statement
audit for the year ended December 31, 2021 to Haynie & Company.
Page 84
UTILITIES Memo
To: Honorable Mayor Koenig
Board of Trustees
Through: Town Administrator Machalek
From: Utilities Director Bergsten
Date: August 24, 2021
RE: Utilities Reorganization and Staffing Increase
(Mark all that apply)
PUBLIC HEARING ORDINANCE LAND USE
CONTRACT/AGREEMENT RESOLUTION OTHER ACTION
QUASI-JUDICIAL YES NO
Objective:
To provide efficient, reliable, and high-quality utility services by reducing the workload
and fee for services charged by the consultants and contractors hired to implement
broadband valley wide while improving efficiencies through direct
management/supervision of staff by creating new positions.
Present Situation:
The Utilities department workload has increased with the addition of the implementation
and ongoing operations of Trailblazer Broadband and the Water Division's USDA
financed capital projects. Staff has been excited to cultivate these improvements, and
initially absorb the additional workload; however, the long hours are unsustainable and
staff often find themselves reacting to issues instead of proactively addressing them.
Trailblazer Broadband is transitioning from a startup to the scale-up and growth phases
of the business plan. Our consultants and contractors have developed a Call Center,
Sales, Marketing, Network Operations, and physical fiber-optic infrastructure.
Transitioning from startup to scale-up includes a transfer of the workload away from the
consultants and contractors.
The Water Division is also experiencing a workload increase which requires specific
project management skills that exceed the current staff’s ability to effectively absorb
with ongoing workload or other staff members skillset. The USDA has financed $21
million of improvements to the Glacier Treatment Plant and Prospect Mountain water
system.
Proposal:
The proposed reorganization of Utilities will establish direct management of Trailblazer
Broadband operations to increase workflow efficiency and reduce the costs of
Page 85
consultants/contractors. Transitioning six (6) positions to Town employees will allow
current over worked Town staff to focus on their core responsibilities and be more
proactive.
The reorganization will add one FTE, Utilities Business Manager, and add a Lead Fiber
Technician to provide direct and efficient day-to-day oversight for the fiber crew through
an internal hire, which would not create a change in headcount.
August 2021, Proposed
Position
Number of
FTE’s
Outsourced/
Current Cost
Proposed,
with Benefits
Cost Impact,
Annual
Utilities Business Manager 1, Utilities Absorbed by
existing staff $131,000 $131,000
Customer Service
Representatives
2, Trailblazer
Broadband $109,242 $130,000 $ 20,758
Customer Experience
Manager
1, Trailblazer
Broadband $ 94,078 $100,000 $ 5,922
Broadband Network Tech 1, Trailblazer
Broadband $141,440 $ 90,000 -$51,440
Broadband Installation Tech 1, Trailblazer
Broadband $141,440 $ 75,000 -$66,440
Lead Fiber Tech 0, Internal Hire $ 90,000 $108,000 $18,000
Net impact $ 57,800
Note: Town Board approval is required to add long-term positions. Trailblazer bond funds cover these
positions through 2022. After 2022 Trailblazer operating revenues will be used to fund these positions.
Staff further proposes the hiring of three limited-term contract support staff to complete
grant and bond funded projects which have specific end dates for completion. Two
positions will support the capital construction of our smart grid/Broadband infrastructure,
and one position will be a limited term contract employee or consultant to support the
Water Division’s capital projects. We will use Board-approved capital project funds for
these limited-term positions.
Position
Number of
FTE’s Outsourced/
Current Cost
Proposed, with
Benefits
Cost Impact,
Annual Notes
Limited Term Capital
Projects Support
1, Water, capital
projects
Absorbed by
existing staff $165,000 $165,000 USDA Financed
Project Funds
Net impact to
Water projects $165,000
Limited Term
Groundworkers
2, Smart
Grid/Trailblazer
Broadband
$291,200 $165,000 -$126,200 Bond Funded
Net Trailblazer
Broadband/Smart
Grid
-$126,200
Advantages:
● Increased efficiency from unmediated management and direction of staff
● Reduced consultant/contractor costs by transferring workload to in-house staff
● The additional support will help transition our work from urgent/crisis management
to planning, prevention, and continuous improvement
Page 86
● The addition of capital project support will allow focused time and effort to jump-
start the USDA projects
● Existing management staff should see more manageable workloads leading to
improved job satisfaction and work/life balance
Disadvantages:
● The addition of upper-level management increases costs; however, this was
expected with the addition of Trailblazer Broadband. Additionally, our
organizational goals to mature into a performance-based management
organization requires additional management support.
● The addition of the limited-term contract or consultant project management support
does increase overall costs on a temporary basis; however, the approximate 100%
increase in workload requires additional limited-term capital project support, funded
with capital project budgets.
● Additional office space is required; however, the new Trailblazer Broadband office
was purchased and remodel to accommodate the new community owned and
operated broadband service.
Action Recommended:
Staff recommends the Town Board approve the proposed reorganization and addition of
Utilities’ staff.
Finance/Resource Impact:
Trailblazer Broadband/Smart Grid, Fund 502, Project Code “TBNBND”
The bond funds are allocated through 2022. Future Trailblazer Broadband revenues will
support the ongoing costs beyond 2022.
Water, fund 503, Glacier Pretreatment project and Prospect Mountain Water system.
The project funds are allocated; however, the additional capital project support will likely
increase the projects’ costs an estimated 2.4% or $500,000.
Level of Public Interest
High, the success of our community-owned Trailblazer Broadband service combined
with the modernization of the electric grid (smart grid) will provide modern high-speed
internet connections while enabling increased renewable energy resources on the grid.
Sample Motion:
I move for the approval of the reorganization.
Attachments:
1. Utilities Organization Chart
2. Power and Communications Organization Chart
3. Utilities Reorganization Documentation
Page 87
Power and
Communications
Utilities Department
Director
Additional Marketing
Outsourced 4
Customer
Experience Manager
Customer
Service Rep
DRAFT
Work Product
P&C Line Superintendent Utilities Business Manager
Utilities Operations
(Sales, Marketing, Customer Care, Budgeting, Capital Planning)
Limited Term
Contract Capital
Project Support3
Project Manager
Capital and Development
100% P&C
Fractional Chief
Technology Officer 5
GIS
Outsourced
Water
Water Superintendent
Utilities Admin. Assistant
Notes
1) IGA with Fort Collins and Loveland provides Technical Service Reps,
Network Administrators and Network Engineers.
2) Estrategy3 LLC
3)Contract Position billed to capital projects; $11M PMWC, $13M Glacier
Pretreatment, $40M Glacier Plant rebuild.
4) Old Town Media
5) Fullstack Inc.
NEW Full Time Positions
Call Center, Sales &
Marketing Support2
IGA with Fort Collins
and Loveland 1
Utilities Coordinator
Customer
Service Rep
Attachment 1
Page 88
Outside Plant
SCADA, Smart Grid, GPON
P&C
Superintendent
Meter Tech
Power and Communications Operations
Apprentice
Lineworker
Utility Field
Specialist
Contracted
Broadband Field
Techs
Lead Line
Equipment
Specialist
Groundworker
Line Equipment
Specialist
Inventory
Specialist
Line Supervisor
Lead LineworkerLead
Lineworker
Apprentice
Groundworker
Apprentice
Lineworker Apprentice
Lineworker
Apprentice
Lineworker
Ground worker
Apprentice
Lineworker
Tree trimming supports capital
construction so the same crew
supervisor oversees them
The Line Crew including Line Equipment Specialists and Ground Workers are rotated between the four crews
Fractional CTO
DRAFT
Work Product
AMI Coordinator Line Supervisor
Contractors:
Tree Trimming
Seasonal Lights
Boring
SCADA
(PRPA, Contractor)
Smart Grid Manager reports to P&C manager, relies on Service Crew to install field instrumentation and
telecommunications
Capital Construction
Fiber Tech
33.5575
Proposed NEW
HEADCOUNT
For Trailblazer
Existing Vacant Position
(1)
Contractor or
Contract Employee
New Position
No Additional FTE
Lead Lineworker
Apprentice/Journey
fiber override in high
voltage conduit
Construction
Support Services
(for all crews)
Service Crew
Metering,
External Work Orders (Development)
Internal Work Orders (examples: maintenance,
repair, primary outage response team)
Temp Water
meter
Fiber OSP requires work in the hot zone
which requires Journey Lineworkers or
second year apprentice on the OSP crew.
Broadband Network
Technician
Lead Fiber Tech
Pending approval
Internal Advertising
IGA provides
NOC, Engineering,
24/7 Call Center
CSRs, TSRs
Apprentice/Journey
fiber override in high
voltage conduitBroadband Install
Technician
Limited Term
Contract Ground
Worker
Limited Term
Contract Ground
Worker
Attachment 2
Page 89
Utilities Phase 2 Reorganization – August 10, 2021 Page 1 of 9
Utilities Reorganization
Capital Construction Projects & Trailblazer Broadband
August 2021
Executive Summary
We recommend reorganizing the Utilities Department to accommodate Trailblazer Broadband
operations and support the significant increase in capital construction projects. The Town has
increased its efforts to rebuild its aging infrastructure, and we currently have $50 million of booked
capital projects underway. These capital projects represent a tenfold increase over a typical year. For
the past couple of years, staff has been fueled with excitement to make improvements, often working
nights and weekends. The long hours are unsustainable and often result in reacting to issues instead of
proactively addressing them. The recommended changes will increase efficiency through more
effective management of both the short-term and long-term increased workload.
In 2015, the Town citizens voted to take back their right to provide municipal broadband services. In
2019, the Town Board approved a $26 million bond to construct a Fiber To The Premise (FTTP) Gigabit
Passive Optical Network (GPON) broadband internet service. We are leveraging consultants to startup
the new service. Trailblazer is transitioning from a startup to the scale-up and growth phases as
described in our business plan. Moving tasks from consults to in-house staff will improve management
oversight and be more cost-effective. We anticipate another reorganization when Trailblazer transitions
from growth to the operations phase of the business plan.
The proposed reorganization includes the following changes:
1)Adding a Utilities Business Manager to oversee capital projects and Trailblazer Broadband
business operations (New upper-level management position).
2)Adding a limited term project support position.
3)Creating Trailblazer Broadband positions at the Town of Estes Park:
a)Broadband Customer Service Representatives x2 (currently provided by a consultant).
b)Broadband Customer Experience Manager (currently provided by a consultant)
c)Broadband Network Technician (currently provided by a consultant)
d)Broadband Installation Technician (currently provided by a consultant)
4)Establishing a new position, Lead Fiber Tech, as an internal hire to oversee the outside plant fiber
crew.
5)Adding two contracted Groundworkers (currently performed by contractors)
Attachment 3
Page 90
Utilities Phase 2 Reorganization – August 10, 2021 Page 2 of 9
Objective
Ensure the Utilities Department efficiently delivers reliable, high-quality, and well-maintained utility
services for electric, water, and broadband customers.
Present Situation and Justification for Recommendations
Working through the growth of the Utilities Department has been exhilarating. Large capital construction
projects are helping to rebuild our aging infrastructure while meeting our communities’ number one
priority 1, modern high speed internet service provided by Trailblazer Broadband. The exhilaration and
accompanying long hours have stretched the Utilities Department. These recommendations will
improve our efficiency and provide much needed project support.
1) Adding an Utilities Business Manager Position
Ten years ago, we made a conscious decision to remain small and lean at the management level
while focusing time and funds on our aging infrastructure. As a result, the Utilities' base workload
has increased approximately 50% without increasing upper-level management. The graph below
shows a projected long-term increase of 30% in our base workload and a short-term workload
increase of 100%.
Financial transactions as a reflection of workload; i.e., every invoice must be reviewed and approved by staff.
Over the last three and a half years, the Department's management staff has worked long hours to
manage the utilities including the challenging startup of Trailblazer Broadband services. Today’s
1 Based on the 2018 Citizen Survey Page 91
Utilities Phase 2 Reorganization – August 10, 2021 Page 3 of 9
staffing levels can only focus on urgent issues as we do not have adequate management staff to
work on departmental workflow efficiencies, policies, strategic planning, implementing performance-
based management metrics, and other important but not as urgent needs.
The addition of a Utilities Business Manager will add one position to oversee Trailblazer’s business
operations (in house), support project management, and support overall Utilities management.
2) Adding Water Division Capital Project Support with a Limited Term Contract Employee or
Consultant
The current outlook for the water division includes $64 million in debt-financed capital construction
projects to be completed over the next 5 to 8 years. This increase in projects will require additional
capital project support.
Capital Project Size ($) Estimated Duration Type
Glacier Pre-Treatment $13 million 2 years USDA - contracted
Prospect Mountain $11 million 4 years USDA - contracted
Glacier Plant $40 million 4 years To Be Determined
Spruce Knob Water System $1 million To Be Determined To Be Determined
Annual Distribution Pipe (on-
going) $1 million/ year Long-Term In-House
Five years ago, our smaller workload allowed staff to multitask and meet multiple responsibilities.
Today’s larger workload requires a division of labor so staff can narrower their area of
responsibilities allowing them to efficiently and successfully complete our workload. For example,
the Prospect Mountain Project and Glacier Pre-Treatment Plant Project are behind schedule. The
Prospect Mountain project was financed in September 2018 and was estimated to be a four-year
project. We are three years into the project and have yet to advertise for construction bids. Without
dedicated project support for these projects, the Town may be at risk of losing USDA funds,
delaying the projects.
The Water Superintendent successfully managed the design phase of the Glacier Pre-Treatment
project on top of their existing duties with late hours and weekend efforts; however, the project is
now moving into the construction phase, requiring an increased commitment of time. We can see
this project is beginning to run behind schedule, even with these extraordinary efforts. Additional
project management support is necessary to oversee coordination between the finance department,
a bond attorney, the Town attorney, special counsel, and the Town Board. This is not even
considering the additional time necessary to manage the project once construction starts. Without
additional capital project support, we are at jeopardy of not meeting regulatory standards pertaining
to water, which would impact every member and guest of our community.
The current Project Manager for utilities focuses the vast majority of their time on Trailblazer
Broadband operations and construction. As a result, there is no available time to oversee other
Page 92
Utilities Phase 2 Reorganization – August 10, 2021 Page 4 of 9
ongoing capital projects in the Department. We anticipate this position continuing to dedicate most
of their time to broadband operations.
The additional contracted capital project support will represent the Town in construction meetings,
track the projects’ budgets, communicate with USDA Rural Development, complete and submit
USDA forms, provide project updates and address complaints from the public. Most importantly,
they will keep the projects moving forward. With the additional capital project support, existing staff
can go back to focusing on their core responsibilities.
We are recommending a contracted project support position or consultant; the position will be re-
evaluated after 3 years, to determine if the position should become a full-time position or remain a
contract/consultant position based on what will be the current and anticipated project needs. The
capital project funds will pay for this additional support.
3) Creating Trailblazer Broadband positions at the Town of Estes Park
The Town hired consultants FullStack, Inc. and eStrategies3, LLC, to implement Trailblazer
Broadband.
• FullStack serves as the network subject matter expert. They have hired and trained staff to
startup the broadband network and perform customer installations.
• eStrategies3 serves as the business operations subject matter expert. They have developed
our call center, sales, and marketing operations.
Trailblazer Broadband’s transition from a startup to scale-up/growth is underway. The indirect
management of outsourced staff is inefficient and costly. We recommend transitioning some tasks
from consultants to new full-time Town positions as listed in the job description. Direct management
and employment of these new Town staff will lower our average cost of installation. The
recommendations for additional staff are conservative to ensure we are “right-sized” for the long-
term operations phase of our business model. Consultant support will continue over our scale-up
and growth phases as we continue to mature the network and business operations.
To provide more direct management over the broadband services and increase efficiency, we are
recommending creating the following broadband positions at the Town of Estes Park:
• Broadband Customer Service Representatives (two (2) positions), currently outsourced.
• Broadband Customer Experience Manager, currently outsourced.
• Broadband Network Technician, currently outsourced.
• Broadband Installation Technician, currently outsourced. Adding an entry level Installation
Technician will help us meet existing workload for installations while lowering the average
installation cost.
All of these positions are long-term to meet on-going customer service needs.
Page 93
Utilities Phase 2 Reorganization – August 10, 2021 Page 5 of 9
4) Creating a Lead Fiber Technician Position
We have learned Trailblazer is more efficient with one outside plant crew that also performs
premise installation. We can eliminate the industry standard of having an inside plant crew by
outsourcing some of the inside plant responsibilities through the Fort Collins/Loveland IGA and a
fractional Chief Technology Officer.
The outside plant fiber crew will be responsible for repairing fibers and constructing new fiber
routes, in addition to premise installations. Creating a lead position will formally streamline
operations and management of the fiber crew and their premise installation responsibilities.
We recommend creating a Lead Fiber Technician position to schedule and oversee field operations
of the outside plant fiber crew and premise installations. This will be an internal posting, therefore
not creating additional headcount.
5) Adding Two Limited Term Contract Employee Groundworkers
These two limited term contract Groundworkers will reduce contractor workload by completing field
infrastructure along-side current Town staff and contractors. The cost savings is estimated to be
$126,000 annually for the next three years.
Recommendation
The recommendation is to move forward with the advertising and hiring of the new proposed positions.
The proposed P&C Organizational Chart can be seen in the Addendum A at the end of this document.
Advantages
● Creating broadband positions at the Town will allow unmediated management and direction of
staff, ultimately leading to more efficiency.
● Creating broadband positions at the Town will save money as there will not be a consulting fee.
● Additional support will help transition our workload focus from urgent/crisis management to
planning, prevention and continuous improvement.
● Additional project management support will allow focus time and effort to jump start the USDA
projects experiencing delays.
● Existing Management staff should see more manageable workloads. This will lead to improved
job satisfaction and work/life balance.
Disadvantages
● The addition of upper-level management support does increase costs; however, we are seeing a
sustained workload increase of approximately 30% from 2012 levels. Additionally, our
organizational goals to mature into a performance-based management organization requires
additional management support.
● The addition of the limited term contract or consultant project management support does increase
overall project costs; however, the approximate 100% increase in workload requires additional
capital project management support, funded with capital project budgets.
Page 94
Utilities Phase 2 Reorganization – August 10, 2021 Page 6 of 9
Ongoing positions for operations
August 2021, Proposed
Position
Number of
FTE’s
Outsourced/
Current Cost
Proposed,
with Benefits
Cost Impact,
Annual Notes
Utilities Business Manager 1, Utilities Absorbed by
existing staff $131,000 $131,000 1
Customer Service
Representatives
2, Trailblazer
Broadband $109,242 $130,000 $ 20,758 1
Customer Experience
Manager
1, Trailblazer
Broadband $ 94,078 $100,000 $ 5,922 1
Broadband Network Tech 1, Trailblazer
Broadband $141,440 $ 90,000 -$51,440 1
Broadband Installation Tech 1, Trailblazer
Broadband $141,440 $ 75,000 -$66,440 1
Lead Fiber Tech 0, Internal Hire $ 90,000 $108,000 $18,000 1
Net impact $ 57,800
Note 1, Town Board approval is required to add long-term positions. Trailblazer bond funds cover these
positions through 2022. After 2022 Trailblazer operating revenues will be used to fund these positions.
Limited-term positions for capital projects
Position
Number of
FTE’s Outsourced/
Current Cost
Proposed, with
Benefits
Cost Impact,
Annual Notes
Limited Term Capital
Project Support
1, Water, capital
projects
Absorbed by
existing staff $165,000 $165,000 USDA Financed
Project Funds
Net impact to
Water projects $165,000
Limited Term
Groundworkers
2, Smart
Grid/Trailblazer
Broadband
$291,200 $165,000 -$126,200 Bond Funded
Net Trailblazer
Broadband/Smart
Grid
-$126,200
Note: We will use Board-approved capital project funds for these limited-term positions.
Page 95
Utilities Phase 2 Reorganization – August 10, 2021 Page 7 of 9
Summary
The proposed reorganization will allow the Utilities Department to address current and ongoing project
management needs associated with a backlog of debt financed capital improvement projects and
provide much needed project management throughout the Utilities Department. This reorganization
also helps us to bring broadband utility operations in-house and under direct supervision of the Town,
helping ensure that broadband business operations, installations, and future needs of this utility are
met.
The development of the broadband utility is being funded by a municipal bond. This reorganization is a
natural and effective for Trailblazer Broadband to transition from a startup to our scale-up/growth
phase. The reorganization will allow direct supervision of staff and reduce consulting and contractor
charges.
Page 96
Utilities Phase 2 Reorganization – August 10, 2021 Page 8 of 9
Addendum A: Utilities Org Chart
Page 97
Utilities Phase 2 Reorganization – August 10, 2021 Page 9 of 9
Page 98
8/25/2021
1
Vacation Home Philosophy
Town Board of Trustees
August 24, 2021
Why Are We Here?
Staff committed to bring back
transferability and cap discussion after
adoption of new vacation home code
amendments in May 2021.
To address Mayor Pro Tem Martchink’s
comments to consider vacation home
revenue sources.
Page 99
8/25/2021
2
Outline
1.Transferability
2.Residential Cap
3.Potential Revenue
4.Board Discussion and Direction
Transferability
Currently allow license to be transferred to new property owner. Must be completed
within 30 days of purchase.
Transfers impact waitlist of residential.
Limiting transfers would allow properties
on the waitlist to secure license.
Continue to allow?
If no, direct staff to bring forward options.
Restrict transferability for newer vacation homes established after 2016 regulations?
Restrict for new vacation homes moving forward?
Etc.
Transfers
by Year
Applications
Processed
2018 38
2019 42
2020 34
2021 12
Page 100
8/25/2021
3
Transferability - Add’l Data
Transfers by Year Applications
Process
Residential Commercial
2018 38 31 7
2019 42 32 10
2020 34 23 11
2021 12 10 2
0
5
10
15
20
25
30
35
40
45
2018 2019 2020 2021
Transfers per Year
Applications
Process
Residential Commercial
Residential Vacation Home Cap
Current Cap 322Year Total Registered
Town Limits
Residential Commercial
2010 113 94 19
2011 117 100 17
2012 122 104 18
2013 143 122 21
2014 162 139 23
2015 191 163 29
2016 267 203 64
2017 377 282 95
2018 423 319 104
2019 424 308 116
2020 463 322 141
2021 480 322 158
0
50
100
150
200
250
300
350
400
450
500
0
50
100
150
200
250
300
350
400
450
500
2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021
Vacation Homes - 2010-2021
Total Registered
Town Limits
Residential Commercial
Page 101
8/25/2021
4
Residential Vacation Home Cap Cont’d
Board Discussion
Continue current cap
Reduce through attrition
Impact on housing – workforce, cost, etc.
Waitlist by Year Applications
Processed
2018 8
2019 16
2020 15
2021 12
Waitlist 56
Grown by 37 in 2021
Next Application on
Waitlist Received
11/2019
Waitlist 56
Grown by 37 in 2021
Next Application on
Waitlist Received
11/2019
Residential Unit Data
Number of
Bedrooms
Residential
Units
Studio 5 (1%)
1 39 (12%)
2 58 (18%)
3 147 (46%)
4 51 (16%)
5 or more 22 ( 7%)
Owner
Address
Outside of
Estes
Owner
Address
Estes Park
Total #
Vacation
Homes
All Zoning
Districts 369 112 481
Commercial
Zoning
Districts
129 30 159
Residential
Zoning
Districts
240 82 322
-20 – 25% owned by individuals within an hour’s drive
-59% owned by individuals living in Colorado
Page 102
8/25/2021
5
Vacation Ownership Analysis
Total # of
Property Owners
# VHs
All Zoning Districts
# VHs
Residentially
# VHs
Commercially
Ownership of 2 VHs 44 88 59 29
Ownership of 3 VHs 12 36 23 13
Ownership of 4 VHs 5 20 8 12
Ownership of 5 VHs 1 5 5 0
Ownership of 14 VHs 1 14 0 14
0
10
20
30
40
50
60
70
80
90
100
44 Property Owners of 2
VHs
12 Property Owners of 3
VHs
5 Property Owners of 4 VHs 1 Property Owner of 5 VHs 1 Property Owner of 14 VHs
# VHs
All Zoning Disstricts
# VHs
Residentially
# VHs Commercially
Potential Revenue
Fee or Tax ($X/night)
Vacation Home Workforce Housing Linkage Fee
Fee Study
Vacation Home Occupational Tax
Breadth Options:
Residentially Zoned Vacation Homes
All Vacation Homes
Other/Tiers
Page 103
8/25/2021
6
Aspen - 45% of .45% Sales Tax
Avon – 4% Accommodation Tax
Breckenridge – 3.4% Accommodation Tax
Crested Butte – 5% Vacation Rental Excise Tax
Dillion - .6% Sales Tax
Mt. Crested Butte – 2.9% Excise Tax dedicated to affordable/workforce housing
Pagosa Springs – 2022 Ballot for excise tax on STRs and/or a dedicated sales tax
Telluride – 2.5% Town Affordable Housing Excise Tax
Vail - November 2021 Ballot for .05 cent sales tax dedicated to Housing Fund
Summit County - .725% sales dedicated to workforce housing
Board Discussion & Questions
Vacation Home Philosophy
Page 104
8/25/2021
7
August 10th Direction
Staff to bring a budget amendment to the September 14th
Board meeting to fund an initial fee study.
General Funds to be used
Page 105
Public Comment Received by 08-20-2021
Fwd: Vacation Rentals
To: Town Clerk <TownClerk@estes.org> Tue, Aug 17, 2021 at 10:34 AM
Dear Mayor,
My brother, two cousins and I are Estes Park home owners (124 Stanley Circle) and hold a vacation rental registration.
I listened to the town meeting on August 10th and want to convey my concern and objection to increasing the tax
burden or adding fees on rentals. I understand there is a significant need to address workforce housing, but I feel like
vacation rentals have been an ongoing target for several years.
My grandparents built our cabin in 1947 and the legacy has been passed down to my generation. We don’t hold a
permit without using it or look at it as a means to inflate our property value. Instead, we rent in order to afford to keep
the house we love and maintain it in the best manner possible. As you know, the window for rental is primarily from
May to October and then we wait and budget to get to the next season. In 2019, we spent $10,913.40 to meet and
pass the safety inspection requirements. We use a very qualified management company and our neighbors have not
complained about our rental guests. I feel like we contribute to the economy in Estes Park as a provider of
accommodations, a customer of many local repair trades and a client of a local management group.
Thank you for representing our community. I really appreciated your balanced viewpoint. We love Estes Park and view
it as a family treasure.
Mary Ross
STR's
Jeffrey Doran <jdoran@realtec.com> Thu, Aug 19, 2021 at 2:38 PM
Hello City Council –
We have had two STR’s in Estes Park for years and feel we have contributed greatly to the City in many ways thru
higher fees and the like. The potential new fees etc. introduced is not equitable. Place this fee on every home in
Estes…they get the benefit as we all would. Partner with a private company to get this done….there are many other
options. Please let me know if I can help in any way.
Thank you, Jeffrey Doran
Fwd: STV rentals/pillow taxes
To: Town Clerk <TownClerk@estes.org> Wed, Aug 18, 2021 at 6:51 PM
I just got an email sent to me by mistake from a STR owner talking about how it was unfair that they have been
targeted to pay a tax that would go towards affordable housing. I have lived in Estes for almost 30 years and recently
had a scare that I might lose my rental. I know a lot of people in Estes and wasn’t able to find anything…and I have
great references with a steady income. I cannot live in a hotel nor can so many of the others that I know are looking
for housing. While I realize that not all STRs would work for a single person renting certainly quite a few of them
would have or did in the past. Estes does’t feel like a community because people don’t live here anymore. Please tax
the STRs so that it can actually change our affordable housing. We need teachers, servers, police officers, post office
employees, caregivers, grocery store clerks, town employees, firefighters, shop workers, dental assistants, gas station
attendants, librarians, ordinary people working ordinary jobs…not just tourists that come for a short term stay. Even if
you just look at it as they (STR owners) bought up all of the housing that might have been affordable to a normal
person here in Estes. SHAME ON THEM FOR THEIR GREED.
Sincerely,
Someone that Once Loved Estes
Report & Discussion Item 1:
Vacation Home Philosophy
Page 106
Public Comment Received by 08-20-2021
MUST READ & ACTION NEEDED - Estes Park Considering to Propose a Tax or Fee
on Short Term Rentals to Fund Affordable Housing Initiatives
Stracer STRs <fastpacedace1970@gmail.com> Thu, Aug 19, 2021 at 11:21 AM
TO STR RENTAL OWNERS & PROPERTY MANAGEMENT COMPANIES:
To all Short-Term Rental property owners (STRs as they call us). I wanted to share the below email as I and
am sure most of you will oppose the Town of Estes or any other entity from singling us out to pay for an
issue the Town of Estes has had for as long as I can remember. At the August 10, 2021 Study Session, the
Trustees were strongly considering hiring a consultant to perform a study on the Affordable Housing
situation in Estes Park and looking to add a nightly fee and/or tax on STR bookings to go into a fund reserved
for Affordable Housing initiatives. STRs bring a huge amount of tourists into our Town, spending lots of
money and generating a lot of sales tax/revenue in our community. It is time the STRs stand up for what is
right.
This proposed Fee and/or Tax would be solely on STRs and not any other business (including other types of
lodging businesses)! We all know how unfair such action would be to single out STRs. There is no such
thing as affordable housing in Estes Park. According to Zillow.com the average price of home values in Estes
is over $602,000.00. This is just another tax the town wants to impose. The town needs to manage their funds
and their expenses vs. passing it on to STRs to fix a problem that has existed since way before the 1990’s.
We rent our homes short term, so we can still enjoy beautiful Estes Park and our home. Most of us who own
an STR would not consider using our properties for affordable housing as we want to share our homes on a
short-term basis so our friends and families can still use our homes and not commit to a long-term affordable
housing rental.
I sat through several of the meetings the town had when they kicked off the charge to regulate us, mandate
permits and mandatory inspections on our STRs in Estes. The Town told the home owners how many people
could stay at their STR by limiting the number of people per bedroom in OUR house, charge us for
inspections, charge us a yearly fee for permits and told us they would NOT look to increase the number of
homes for STR permits and now the town is telling us people are converting the affordable housing into
STRs. If the town said there would be a CAP on the amount of STRs, how are these affordable houses being
converted to STRs ? There was to be a limit of STR permits allowed ! Also, if we own a STR rental permit and
we want to sell it someday with our home, they should be transferable. We bought the permit, it is ours !!! If
the new owner doesn’t want to rent the home they just purchased then they should have the right to pass and
the permit can go back to the town to resell to someone else and continue to limit the number of STR permits
like the town told us at the original meetings !
I encourage everyone owning a STR or Property Management Company to call into the meeting that is
coming up in the next week and also email the town administrators and all town trustees to let them know
how you feel. Their emails are listed below. Now is the time to share your opinion of how you feel and how
this will impact you and our customers. Doing nothing or thinking someone else can handle this for us is
what lead to us having to pay for higher utilities, STR yearly permits, a one-way road through the heart of
Historic Downtown Estes, the demolition of a landmark the Donut Haus and now the parking meters
downtown that are an eyesore when the city/town has already spent millions of dollars on a parking ramp !
Remember when the Town of Estes Park shut down due to Covid ? They not only told the STRs that were not
living in Estes to STAY away and not come to town, when the town reopened from Covid they let the motels
open first and discriminated against STRs and wouldn’t let us rent for quite some time after the motels were
opened 1st. Leave the STRs that bring lots of revenue into Estes ALONE and STOP discriminating against us
!
This is a CALL TO ACTION to submit your comments to the Town Trustees (See Links Below to the Recorded
Study Session and link to submit your comments) to review prior to their August 24th meeting to have your
voices heard.
STR as a solution
Randi Jones <randi.jones10@gmail.com> Thu, Aug 19, 2021 at 11:39 AM
You all have a lot of tough decisions to make.
Please don't waste money to try and find a nexus between affordable housing and STR's. I can use statistics to
support almost anything. More fees on an STR are not going to solve a lack of affordable housing.
Page 107
Public Comment Received by 08-20-2021
I have a licensed STR and I am able to use the money I make bringing tourists to town to pay my mortgage and it
allows me to provide low cost housing to traveling nurses in the off season.
More fees would take away from that.
A more direct solution would be to use the General Fund to BUILD more affordable housing and helping builders to
reduce or eliminate some of the indirect government's red tape which adds thousands to the cost of an affordable
house.
Randi Jones
Study Meeting on Short Term Rental Properties
Bob Korte <bob.korte@mail.com> Thu, Aug 19, 2021 at 3:34 PM
To: Estes Park Trustees
From: Robert & Carol Korte – Owners of Kings Retreat 1950 Sharon Ct. North
Subject: Affordable Housing Study
As owners of one of Estes Park’s permitted short-term rental (STR) homes, I am once again disappointed in the Estes
Park government again looking to the STR’s to fund a study that is not an issue caused by the STR’s. The problem of
Affordable Housing in Estes Park has been a long-term problem that has been there for many years. Average prices
in houses in Estes Park, which I am assuming has contributed to the housing issue, have been increasing for a
number of years and has been a benefit to the City of Estes Park with increases in Real Estate taxes. The STR’s have
not caused the issue of increasing real estate prices as the city has capped the number of STR’s a few years ago that
can operate within the city. Real Estate prices have gone up as Estes Park is a very desirable place for retirees (I
have been told that Estes Park is the retirement capital of Colorado) to come and live and enjoy the wonderful views.
STR’s provide a lot of benefits, (money spent on food, entertainment, souvenirs, parking, other services and the taxes
paid on such items) for the city already. We know from the comments that we receive from our guest that they come
to Estes Park because they have the opportunity for their whole family to come to Estes and enjoy their vacation in an
environment where they can spend their days together in a home instead of in three or four separate motel rooms. I
know from my own past vacation experiences that when we wanted the whole family to go to a destination, we chose
one where we could rent a whole house big enough for everyone. We did not pick a location where we would have all
had to have stayed in separate motel rooms. Thus, the city with the STR location benefitted as opposed to one that
did not have the opportunity.
I do not think that the City of Estes Park should again place another tax on the STR’s to pay for a consultant for a
long-term problem not specifically caused by them. If the City feels they need someone from outside to look at this
issue it should be the City’s responsibility to pay for it as it’s an economic development city issue.
Maybe the city should do what our home town of Keokuk Iowa is doing to combat this very same issue. They formed
an organization and have gotten grants and contributions and started a program to build reasonably priced homes in
Keokuk.
Without STR’s in Estes Park there would be less families visiting, spending money and generating taxes for the city
coffers.
Sincerely,
Robert and Carol Korte
STR tax proposal/affordable housing initiative
Kent Weems <kweems7777@gmail.com> Thu, Aug 19, 2021 at 4:02 PM
Good Afternoon, My family and I have been visiting Estes Park for thirty five years and in all that time I've never seen
affordable housing as compared to any community not based on tourism. We too own a home with a short term
license. It's the only way this working class family can afford to visit ourselves. Until recent times, short term rentals
weren't even part of the landscape. Most of you have been around long enough to know this but seem to be
overlooking that key piece of evidence. I believe, without any consideration of factual data to back it up, that short
Page 108
Public Comment Received by 08-20-2021
term rentals are being singled out and arbitrarily penalized. If my rudimentary and somewhat hasty research is
accurate, 17% of the households in the Estes community are licensed short term rental properties. Since many of
these properties are quite large, they could never be viable options for wage and hour employees. It defies common
sense and demonstrates a capricious state of mind to place blame and financial burden in a disparate fashion upon
short term property owners. ROI's for long term rental property in Estes will not cash flow a purchase (this is nothing
new). It is an undeniable, glaring truth that has existed for decades. You cannot solve the employee housing
challenge on the back of one portion of property owners. I hope you know there are programs out there at the federal
level which will subsidize housing units in order that they can be viable. Those commercial contractors familiar with
such housing options should be actively sought out and recruited to help solve the issue. Full cooperation from
city hall is imperative for these types of endeavors to be successful. I encourage you to pursue them. In addition, do
not forget, short term rentals are substantial in their contribution to the tax coffers now, generating millions in recent
years to help build recreation facilities, repair streets, et al.? Housing issues are no different in Estes for employee
groups than they are in any tourism destination and shouldn't be mitigated by singling out one sector of the
community you can marginalize to achieve political ends. Keep in mind many businesses will suffer with fewer options
for the millions of tourists who visit to linger longer. This also drives the financial well being of Estes. Please consider
how positive these additional visitors are on the tax revenue because they stay in town rather than traverse back to
front range accommodations. I don't have the statistics but it seems quite obvious the entire business community, as
well as the town of Estes, benefit greatly. Please think about this, as well. Thanks for listening. Kent Weems.
STR
jclark c <jclark1503@gmail.com> Thu, Aug 19, 2021 at 1:23 PM
Good afternoon all,
I am certain that your emails have been exploding with comments concerning STR's and the study to draw the
conclusion that STR's remove affordable housing from the marketplace.
My wife and I have been coming to Estes Park for Decades with our families. In that time there has ALWAYS been a
shortage of employee housing. You should never believe that this is an exclusive situation to Estes Park. This is a
nationwide situation with EVERY vacation/tourism location. Trust me Estes Park didn't invent this. To blame it on the
STR's is also absurd. If you look at the average cost of a Vacation home in Estes they will be well above the
affordability level of Service workers. Why not figure out how to increase their level of income?
Why does the Town and Staff find it necessary to burden STR's with additional Taxes/Fees etc. while other
businesses utilize the same exact service personnel classification at a higher rate? Shouldn't they also be
burdened by the cost if they are utilizing the classification of workers as well?
As I understand there are also grants from the state available to fund exploration for Housing shortages.. Why
hasn't Staff made an application for these grants rather than hire their own 3rd party to do the study? Could it be that
they couldn't manipulate the data to get the results they are looking for?
STR's have jumped through many hoops. We pay a higher rate for Utilities. We endured the Dark Skies
inspection (Which I might add that we were in compliance, and my neighbors do not. Further there is a street light
which shines directly into the outside seating area of my property and we have asked multiple times to have the Town
put some type of shielding on the light and NOTHING has been done about that.) We had the Life Safety Inspection
which was fine. I don't mind having that completed, I would never want to have anyone injured or perish in my
home. We were told we had a few things to accomplish, however I could NOT do the work myself even though I am a
Licensed contractor. NOPE, YOU DON'T LIVE IN THE HOUSE FULL TIME so that wasn't allowed. There's another
$14,000.00 out of pocket.
It would appear that someone with a lot more leverage than the STR's (hotel motel/ restaurant industry) has the ear
of the Town leaders. Estes Park Citizen and Town philosophy "You visitors just come and leave your money at the
gate, but DON'T STAY. All you Vacationers are using up space that the locals have but don't want to pay any more
for."
Remember STR's pay taxes too, as well as generate REVENUE for the Town, the Businesses and the State! How
much revenue does the Full time residents Generate? I would bet it is FRACTIONAL to the amount that STR's
Generate.
John Clark
Page 109
Public Comment Received by 08-20-2021
Short Term Rentals - Affordable Housing
Alpha Omega <rentestespark@gmail.com> Thu, Aug 19, 2021 at 12:28 PM
To Whom It May Concern:
I would like to voice my strongest possible objections to an added tax (a government fee is a tax) on short term
vacation rentals in order to fund "affordable housing". The need for affordable housing affects every individual and
business in this region and to single out one small segment of the business sector to help meet this need is absurd. It
should be the position of the town government to incentivize the construction of "affordable housing" and not to tax
people to house others. Make things easier, not more burdensome! Get out of the tax and spend mindset and
consider alternatives that promote free enterprise and the growth of the tax base.
Sincerely,
Steve Ferrante
Response to Aug. 10th Meeting
Nicole Schneider <Niki@planllc.org> Fri, Aug 20, 2021 at 8:44 AM
To All Concerned with affordable housing in Estes Park,
I want to commend Richard James for doing all his research and providing this valuable information to the city
concerning affordable housing. He has done a lot of work for the city leaders. I think his ideas are better than the
proposed study on fees and/ or taxes on STR's. Fees and taxes are just a band aid that targets a small group. ( STR's
) A study of affordable housing and a solution using grant money would save the city money and be a more
comprehensive solution. If the city does a study on fees or tax for STR's they would STILL need to do research or a
study of how to use the money to fix the problem. Why not just fast forward to Richard James's suggestion. The
grants are going to be a long-term solution to a long-term problem. Short Term rentals have mainly been around since
the late 1990's and have blossomed in the last 10 to 15 years. The problem of affordable housing has been around for
much longer. I realize it has gotten much worse lately. The town should have been dealing with this long ago. Water
under the bridge! Now, don't single out and penalize one small group for a problem the whole town has. You would
be discriminating.
Again, this is a WHOLE community problem that is best dealt with by doing a study and finding a solution to the
affordable housing problem, not a specific fee or tax study on STR's.
Let's not forget that this community survives because of tourists and that ALL businesses and services benefit from
the tourists and that ALL these businesses and services bring in employees that require housing. This burden of
affordable housing should NOT fall on the shoulders of one small group. The study and solution to the problem should
encompass the whole community.
Thank You for your time and consideration,
Niki Schneider
Utilize federal and state grants targeted specifically for affordable housing rather
than charging or taxing a very small percentage of the community for a problem
that is community wide.
John Leverington <john.leverington@gmail.com> Fri, Aug 20, 2021 at 1:13 PM
Affordable Housing: My wife and I watched the Estes Park Trustee meeting regarding Short Term Rental philosophy
and discussion regarding assessing fees or taxes on STRs. Like many others it was a life-long dream to live in Estes
that we did not think was possible due to the cost of living. Five years ago we purchased a condo as our residence
and because of the ability to use it as a short-term rental when we are not in town we have been able to afford to
happily live here. As lifelong Social Workers we have a great interest in serving others and a special interest in
helping those who need affordable housing. We agree this that needs to be made a priority for the town of Estes Park
Page 110
Public Comment Received by 08-20-2021
and support consideration of grants and public funding available to start this process. We will be retiring at the end of
the year and look forward to becoming more active in volunteer roles in the community to help in meeting community
needs such as this.
We do not believe that singling out Short Term Rental property owners is the way to solve this problem and that to do
so is not equitable or fair. All commercial STRs, hotels, restaurants, bars, and businesses who employ people in the
service industry benefit from their work and need to contribute a fair share of the costs of providing them affordable
housing, if such a fee or tax is judged the only way to accomplish this goal. In fact, STRs only employ 1 or 2 people in
the service industry, while these other businesses employ many more of them. Further, STRs could not afford to rent
our homes for affordable housing as we live in them much of the year ourselves. For the past three years, we have
only rented our home 60-75 nights. There is only rental interest from June through August, with some additional
weekends in the fall, meaning the maximum number of rentable nights for the year is 90-100 total. We already pay
sales tax, property management fee, cleaning and laundry fees, annual rental license fees. If an additional tax or fee
were to be added it would price STRs out of competition with hotels and other accommodations in the Estes Park
short term rental market. We earn only about $10,000 past costs for the STR, which helps us to live in Estes Park as
retirees. Since it is the entire Estes Community, all residents, who benefit from the work and service of the service
industry who need affordable housing, a solution that does not put the burden on one very small part of the
community needs to be found.
Adding another tax or fee to the businesses and residents of Estes Park is not the way to go. The availability of
grants at this key time is a wonderful and timely opportunity to pursue to solve this problem that Estes Park has faced
long term. We understand that House Bill 21-1271 was enacted into law on June 27, 2021. It will provide $13 million
to communities that adopt rules that promote affordable housing projects. The legislation would create three grant
programs for housing development, planning and a “affordable housing guided toolkit” for communities, all managed
by the Division of Local Government and the Department of Local Affairs. We understand that the application for the
first of these grants is a competitive process, and that the first application for the study grant is due sometime in
September. For more information see https://coloradosun.com/2021/06/09/colorado-mountains-developers-
affordable-housing-funding/
STR License Cap: The presentation regarding the license cap seemed more concerned for people who would like a
license than those who had gone through the whole application, getting the home to meet standards, and complying
year after year with the license. The city determined the cap and it can choose to increase it whenever it deems it
appropriate. In the meantime, the focus should be on good relations with those it does license. It seems that the city
could determine approximately how many licenses generally turn over in a given year or two and allow only that many
homes on a waiting list.
Transferability: Whenever a change in a rule is imposed, it seems fairest to make it effective going forward, not
backward to some past date, such as 2016. Even though the language in the rental license changed then, the city did
not change the rule on transferability then. In the interest of good community relations, it would seem most fair to
change the rule only for any new STRs approved going forward if and when the city council changes the
transferability.
Sale Price of STR homes: We would also like to speak to the question of the general understanding that relators told
someone that STR homes sold for $50,000 more than comparable homes. There was no concrete data to support
this, and if there were it would understandably show a range depending on the size and price of the home.
We would like to provide a personal example. We bought our condo in excellent condition because we did not have
the time or finances to fix it up to live in and make it meet STR standards. Little did we know how strict those
standards would be. The inspector came up with a list of 17 small but altogether expensive changes we had to make
to pass inspection. We were shocked and struggled. It cost us $12,000, which put us in the hole for more than our
whole first season of rentals, not to mention living there ourselves. These included the following, to show you how
stringent they are: exterior, night sky friendly lighting over outside stairs; inside stairs had handrail but it had to be
grooved requiring it to be removed, grooved, and restained to match other woodwork; address letters by front door
had to be illuminated; all electrical work had to be double checked/tested by a new electrician to ensure it was correct;
the size of the ground level deck was 6x8, not 5 x 5 as per records (why was this important anyway?); the fireplace
had to have another inspector come out to ensure it was direct vent (and it was but we had to pay for the service); the
railings along the inside stairs were 6 inches apart but needed to be 3 inches apart, so additional railings had to be
added and stained to match; the mechanical room needed fire blocking, which made sense; the ceiling vent from the
garage was not constructed according to current codes and had to be changed; they didn’t have a record of a building
permit from the much earlier division of one large bedroom into two smaller ones, so that had to be applied
for/approved along with an electrical permit for the wiring that had been done before, even though they had been
permitted at the time and were up to standard currently; smoke alarms and carbon monoxide alarms had to be placed
in each bedroom and hallway (we were happy to add the additional ones needed). Why should we not be able to sell
the home if/when we sell it as a STR since we have done all the work and paid all the cost to make it meet
Page 111
Public Comment Received by 08-20-2021
standards? Commercial properties are not penalized for making their properties commercial when they go to sell
them.
We would like the trustees to also understand that the people we know who own STR homes do it to help ourselves
be able to afford living in Estes Park, not as a commercial venture to make a lot of money. We trust this personal
example gives provides you helpful additional input on factors to consider as you debate these matters. and request
ta
We appreciate the trustees’ careful deliberations on so many topics necessary to keep Estes Park the wonderful small
town we are so thankful to live in and be a part of.
John and Becky Leverington
Short Term Rental and Affordable Housing situation
Aaron Acela <aaronacela@yahoo.com> Fri, Aug 20, 2021 at 3:45 PM
To whom it may concern,
Good afternoon,
I wanted to voice my opinion on the Town of Estes spending money for a survey/consultant or even considering a fee
or extra tax on STRs for renting our home out. I strongly oppose the Town of Estes for singling out STRs as this has
nothing to do with the Affordable Housing situation in Estes Park. STRs bring a huge amount of tourists into our Town,
spending lots of money and generating a lot of sales tax/revenue in our community. I know the town looks down on
STRs, however these tourists would stay in other communities if we didn’t rent our home out when we are not using
them. We bring revenue into Estes and are not the bad guy. Please find another way to generate funds for affordable
house in Estes. I thought the town had a cap on the number of SBRs in Estes ? How are more permits being issued to
allow other rentals to convert/become SBRs and reducing the number of rentals for the working members around
town ?
Thank you for listening,
Sincerely,
Aaron Acela
Page 112
8/20/2021
Town Trustees,
I am writing this letter to add my thoughts on the August 10th Study Session. I will start by saying that I
am not a Colorado native or a full-time resident of Estes Park. Nevertheless, I have deep ties to the
town, I have business interests here and I have a great appreciation for the town and the awesome
natural beauty that draws millions to the area every year. I took serious interest in the real estate
market in the Estes Valley in 2016 and have been immersed in the same ever since.
As all of you are aware, housing wasn’t “affordable” in the sense that the board is currently viewing the
issue from in 2016 (or well before), it isn’t now and likely never will be without subsidization. That being
the case, it seems that STR owners are being singled out and looked to as a financial solution to a
problem that they didn’t create. This issue has nothing to do with short term rentals and everything to
do with the charm and natural beauty that draw the previously mentioned crowds to the area every
year. This same charm and beauty are likely what kept or drew everyone reading this letter to Estes
Park as well. There is no denying that homes that have a transferrable STR license bring a premium in
comparison to those that don’t but with the current cap, STRs make up a fraction of all homes in the
Estes Valley and are hardly a driving factor in the overall market. Evidence to substantiate this is readily
available.
My family bought our first vacation rental in Estes Park in 2017 and shortly thereafter my impression
was that the Town Trustees and many full time residents take a negative view of STRs in general. Let me
be clear, my intent here is not to be critical of the Town Trustees or anyone for that matter but to add
perspective from the viewpoint of a vacation home owner. All of you have a great deal of responsibility
and I have the utmost respect for your willingness to serve. My perception is based on what seems like
an ever-changing rulebook, increasing and/or added fees and inconsistencies in how STRs are regulated
in comparison to hotels and motels which provide a similar service. I would point to the additional
restrictions placed on STR properties versus hotels/motels during the pandemic mandates last year as
an example of the latter.
Regarding the transfer of STR permits, for the last several years it has been the practice of the Town of
Estes Park to allow the transfer of permits with the sale of a permitted house. In fact, as you are all
aware that procedure is outlined on the town website which further establishes the precedent that has
been set. If the Town Trustees elect to discontinue this practice, I feel it will be a great disservice to
both the owners and potential buyers of those properties as well as to the town of Estes Park.
The downside of changing the established practice in respect to the property owners is self-explanatory
but not allowing these transfers will result in lost revenue for the town. Being very familiar with the
vacation rental market I can tell you that taking an established, earning vacation property off the market
just because the ownership changes and then replacing it with a property with no rental history will in
fact, without a doubt, result in a net loss in revenue for the town. Financially, this practice is akin to not
allowing the sale of any established business in town but instead requiring that business to close if
ownership of the real estate changes so a totally new and unknown business can open at a different
location. The difference in revenue will be drastically different and ultimately will affect the revenue of
the Town of Estes Park.
Page 113
If the intent of this issue is to identify a source of funding to subsidize workforce housing (which I fully
support) then I would offer an alternative to discontinuing the transfer of STR licenses that would help in
achieving that goal. I have no specific information, perhaps you do, but I would anticipate that a
considerable number of STR licenses that have been issued are being held by homeowners who don’t
actively rent their homes and have no intent of doing so. They simply hold the permit and pay the fees
as they know that having the permit increases the value of their home significantly. Alternatively, some
hold the permits simply so they can’t be issued to someone else in a futile attempt reduce the number
of tourist that come to their town. Aside from the annual fees, the town derives no revenue from these
licenses meanwhile, the homeowners who hold them are depriving the town of much needed revenue.
With the cap in place, this loss of revenue will only increase as homeowners on the waitlist with similar
intentions get their turn at a license they will never use. If the town wants to study revenue sourcing I
would suggest this issue as a good place to start.
Rather than eliminating the transfer of licenses I would propose enacting changes that would require
homeowners who hold a STR license to actively utilize their license or forfeit it. This isn’t the platform to
outline this procedure in detail but placing requirements on a minimum number of nights per year the
property must be rented for example could generate significant income for the town that is currently
being lost. Enacting such a policy would without a doubt generate more revenue for Estes Park without
increasing the cap on STR properties which I believe is also a concern amongst the some of the Town
Trustees and residents.
As for increasing and/or adding fees I am in general, opposed. Ultimately, as a result of this ongoing
discussion I would presume that an increase in fees to STR owners will likely happen anyway. Going
back to my earlier point of what I feel is a negative view of STR properties in general I would ask, why
are these properties being singled out? Why is there not a movement to increase fees, taxes, etc. on all
businesses within Estes Park? After all, the housing crisis touches nearly every business in town to some
degree yet the owners of STR properties are being singled out even though such properties make up a
fraction of all housing in the Estes Valley.
No one blames the owners of businesses on Elkhorn for the high price of commercial real estate
downtown and there is no talk to taxing those businesses to pay for the development of “affordable”
commercial properties, how is this problem any different than the issue at hand? Where is the equality
in imposing taxes and fees on one subset of business within the town to pay for a problem that affects
nearly every business in town whether they be restaurants, bars or any of the various other types of
business in Estes Park? To be clear, I don’t want to see an increase in fees and/or taxation for any
business in Estes Park and my intent here is not to suggest any such idea.
I would like to thank all of you for your dedication to the betterment of Estes Park and for hearing my
concerns.
Sincerely,
Nate Weems
Page 114
Start date Agenda_Item_Title Name Stance_on_itemStance_on_item_For Stance_on_item_Against Stance_on_item_Neutral Comments_for_the_Board_of_Trustees_File_Upload
8/20/2021 2:00 PM Vacation Home Philosophy. mark newman Against 0 1 0
please consider my concerns outlined on the attached regarding the
proposals discussed at your recent meeting.
Short Term Vacation Rental
Opinion - EP Town Board - Mark
Newman.pdf
8/19/2021 8:21 PM Vacation Home Philosophy. Dawn Clark Against 0 1 0
I plead to you to be just, moral, and ethical as you create any
further philosophy toward vacation rental homes. This has not
been the case thus far. Vacation homes hves been the scape goat
for all evils and it is time for this to stiop. I don't know who is
behind this negative movement or how much power they have, but
the non-democratic way of accusing vacation rentals for every
problem Estes has without a shred of documented proof is getting
old.A plea for Justice.pdf
8/19/2021 4:19 PM Vacation Home Philosophy. Durango Kellie Steele Against 0 1 0
Hello Mayor Koenig and Trustees,
Attached is a file with my comments about the August 10 - Study
Session:
Vacation Rental Philosophy and Work Force Housing.
Thank you all for your time and commitment to Estes Park.
Durango Steele
Vacation Rental Philosophy - EP
Town Board.pdf
8/19/2021 11:54 AM Vacation Home Philosophy. Kris Troxtell Against 0 1 0
We will NOT convert our 2 STR homes to affordable housing. They
are too big and would not be affordable unless we had 8-12 people
living in them. Our neighbors would HATE that. Think of all the
cars, dogs, people full time, etc.
As for the STR fee, it isn't fair to only charge a fee to the vacation
homes. You would also need to charge retail stores, restaurants,
horseback riding facilities, mini golf, fly fishing, motels, etc. ALL of
these entities use employees who need housing.
8/19/2021 11:44 AM Vacation Home Philosophy. Kristine Hodges Against 0 1 0
Please stop discriminating against short term rental homes. We
follow the existing rules and pay the fees and are good neighbors.
We bring alternative housing options to the town for short term
visitors as well as medium term / seasonal residents. We have
suffered through unfair treatment during the past year where the
town had different requirements for STR vs hotel accommodations.
We are at a disadvantage because most of us own a single property
and don’t have a loud voice or a powerful owner to represent our
interests like the hotels and resorts. We do not need any additional
regulations or additional fees. Those do not provide any benefits
and cause extra unnecessary red tape. STR owners are a small
group due to the limited number of permits issued by the city. We
cannot bear the cost or solve the problem of affordable housing in
the community.
8/18/2021 3:13 PM Vacation Home Philosophy.John Clark Against 0 1 0 Please see comments in my PDF file attached Trustees.pdf
Page 115
8/18/2021 2:41 PM Vacation Home Philosophy. Seth Hanson Against 0 1 0
My name is Seth Hanson. I have been a realtor/developer in Estes
since 2004. I am against the proposed tax/fee levied on STRs for the
purpose of affordable housing. Please know that I am a strong
advocate of aff. housing. As a developer, I have built more market
rate homes under $350k in the past 17 years than any other
developer. I also own rentals that house working members of our
community. The answer to our affordable housing crisis has to be
approached from a variety of ways. I would participate in a
conversation about the fee/tax on STRs if the conversation also
included other ways to tackle our housing crisis. For years, I have
been an advocate for changing our zoning laws. The housing study
that was done many years ago revealed that our density standards
are well below the norm. We need to increase density in RM, A, A1,
R2, and some of our E zonings. How about loosening accessory
dwelling laws?
8/18/2021 2:40 PM Vacation Home Philosophy. Susan Mills For 1 0 0
This is clearly a wealth tax and I am 100% for it.
I ran an STR property on and off for over forty years. long before
licenses were required. I have also used the property for long-term
rentals. I strongly prefer short-term rental because I can get 4x the
money with far less damage to the house.
I absolutely think STRs should pay the same lodging tax that a hotel
must, along with all the other fees they have to pay. Short-term
rentals can certainly afford it.
If you could include some incentives for long-term rental use, that
would be great!
Page 116
8/17/2021 11:06 AM Vacation Home Philosophy. Robert Niemeyer For 1 0 0
1. Licensed vacation homes once sold should not be allowed to
transfer to the new owner.
The reason is the homes are sold as a vacation home having a
permit which adds considerable value to the sold home . That
causes a artificial valuation which affects other homeowners
valuations . The argument that they have invested in a licensed
home has no validity as the town took away all owners property
rights to rent out short term when this ordinance was enacted .
Once you give up ownership the license should go back into the
pool.
2. The point made that 10 percent of licensed vacation homes are
not used as such also shows a Perceived value. This is not fair to
those who want to rent out their homes but are stuck on a waiting
list.
A daily tax on a rental would show the town who uses their permit
snd those who do not. Their should be a minimum usage assigned
so people don’t take advantage. Also if the home is not rented out
during a period of time. The permit should be forfeited .
8/17/2021 10:37 AM Vacation Home Philosophy. Christopher Eric Wood Against 0 1 0
I urge the townboard to consider perhaps the most pressing
question: How are we (or why are we) allowing commercial
businesses to operate in areas zoned residential?
Look at this oversight as helping to destroy our sense of community
where no longer "neighbors are neighbors" but transient guests.
Our kids are moving out of the community, the very essense of our
future, largely relative to their parents no longer being able to
afford to live here. We are chosing for few dollars over the health
and well being of the future of our town. Our town with thus, only
in essence, become a business. Let's help our community thrive by
putting a moratorium on all vacation rentals, and taking back our
community helping our working class afford to live AND work here.
8/16/2021 10:29 PM Vacation Home Philosophy. Kuyler Coopwood For 1 0 0
Vacation rentals help contribute to the overall tourism dollars in
Estes Park. Some people rely on Airbnb or VRBO to book their trip
as they trust the brand and community reviews.
Page 117
8/16/2021 4:32 PM Vacation Home Philosophy. Richard James Against 0 1 0
UPDATE TO EARLIER COMMENT SUBMITTED: The link to the DOLA
website: https://cdola.colorado.gov/1271
The portal to submit your grant application to obtain grant money
to retain a Consultant to Perform a Comprehensive Study of
Affordable Housing Strategies under the Planning Grant Program is
available on this website.
The deadline for the first review of applications is September 20,
2021 Applications will then be reviewed and awarded on a rolling
basis monthly until funds are depleted. Grantees are encouraged to
complete their qualifying planning work as quickly as possible so
they may compete for the Incentives Grant Program, which is
expected to open for a main funding round in fall 2022.
8/16/2021 4:09 PM Vacation Home Philosophy. Tari King For 1 0 0
Thank you for the discussion around the Vacation Home Philosophy
of Estes Park. I have held my VHL since the inception of the
program. I cannot say enough about how helpful the folks at the
Town of Estes Park have been. During the application process, the
Life Safety Inspection program and renewal have been effective and
efficient to navigate. My home in EP has been in our family since
the 1930s. My Uncle Harry Tregent was the Mayor of Estes during
the Big Thompson flood. Estes has been a part of my life since I was
a little girl and I care very much about the growth of Estes and
keeping Estes unique. I support the VHR program. I enjoy working
with my guests and sharing the cottage. I have also been able to
make improvements to the cottage with the revenue generated
from the VHR program. All of these improvements were made by
local carpenters generating more revenue for the community.
Airbnb fees have greatly increased over the last year-please
minimize fees and taxes.
8/16/2021 3:42 PM Vacation Home Philosophy. Richard James Against 0 1 0
See attached e-mail sent to Trustees today entitled "Affordable
Housing Grants Will Soon Be Available - Focus efforts on Obtaining
Grant Money Under HB21-1271 (Not Waste Money on STR Fee
Study)"
Affordable Housing Grants Will
Soon Be Available - Focus efforts
on Obtaining Grant Money Under
HB21-1271 (Not Waste Money
on STR Fee Study).pdf
4 10 0
Page 118
Work Force Housing
James Gunlicks <jimgunlicks@gmail.com> Sun, Aug 22, 2021 at 10:48 AM
Good morning. First of all, we want you to know that we are in favor of supporting investment in Estes Park affordable
work force housing, and we voluntarily contribute to the EDC in support of this effort. We do, however, strongly
object to requiring only short term rentals to fund this new city fee, or tax. Since the fee will help provide employees of
local businesses affordable housing, all businesses should contribute to its funding. These businesses benefit from
the tourist revenue and these employees keep the businesses running. A significant portion of the tourist dollars
(revenue for the businesses and sales tax for the city) comes from short term rental taxes. Our property can
accommodate up to 16 people and our customer base is primarily family reunions. These guests would choose
another city for their vacation rather than stay in motels or hotels. Many of them have told us this. We believe the city
should actively support these rentals instead of making it more difficult for us to operate successfully.
While we believe all businesses should share in this tax, it is particularly disturbing that bed and breakfasts, hotels,
motels, and other lodging venues are excluded. We believe the premise that short term rentals alone cause the work
force housing shortage is unsubstantiated.
Another viable option to reconsider is allowing the rental of auxiliary housing for workforce employees, especially
seasonal ones. Parking, noise, and other objections can be dealt with through existing city ordinances.
We sincerely appreciate you working to solve this housing shortage, but please consider the unfairness in requiring
only short term rentals to bear the burden. Please spread the new tax to all businesses, therefore, reducing the
impact on one segment of your constituents. Thank you. Sincerely, Jim and Lois Gunlicks,
Short Term Rental and Affordable Housing situation
Sherry Timm <steve_sherry@q.com> Sun, Aug 22, 2021 at 2:36 PM
Good Morning,
Amazing that you are not requiring hotels, motels, bnbs, and I’m sure huge places like Estes Park Condos who didn’t
have to get the registrations and live safety done are also exempt from helping pay for the study. You need to
reconsider who has to pay for this research for affordable housing.
One more thing of interest: next to my place are 3 empty houses that have been inherited that aren’t even being
used over the 4th of July. They sit empty. This kind of thing also is causing housing shortages. 2 are next to me and
1 has a house in between mine and it. But there are 3 empty houses within a half block of my place.
It looks like you need to build more of the low income housing apartments that you have already built.
Thank you for listening and reading, Sherry Timm
STR tax for affordable housing
Centurytel <prnmd@centurytel.net> Sun, Aug 22, 2021 at 7:44 PM
Dear Fellow citizen,
I am writing out of concern regarding the consideration being given to single out a small subset of the population for
additional taxation. This type of plan represents the worst of the tendencies of any government, to choose to tax only
certain citizens for whom you seem to have less regard than others. If there is a segment of the population that cannot
afford to share in the activities of government, then give some deferment of the taxation to that group, but don’t
choose to punish one group that you do not think can affect you as much politically and not ask others that can
certainly afford to share in the cost.
We who own short term rentals are a varied population but we share one thing, a love of the Estes Park area. It is not
just the owners but property managers and cleaners (among other support personnel) who already pay local taxes in
various forms. We also bring in many thousands of tourists who support the economy and pay taxes. You have
already in recent years added to our burden of fees and if more is added, that will also then need to be passed on to
renters. Eventually, families, the type of whom we attracted with affordable rentals for a large family or two families
together will be priced out of coming to Estes.
Please reconsider pursuing the ill conceived and unfair plan.
Sincerely yours, Paul Neis
Public Comment Received by 08-24-2021 12:00pm
Page 119
STR tax
Dolores Neis <dodyneis@gmail.com> Sun, Aug 22, 2021 at 7:27 PM
I disagree with having a tax on short term rentals to fund the affordable housing initiative. We purchased a condo in
Estes and stay there several weeks every year. We rent it out through a manager and pay a permit. This is not a fair
way to just expect short term rentals to handle the load.
Dody Neis
STR - Recent meeting and potential actions
Jim Meek <jrmeek57@gmail.com> Mon, Aug 23, 2021 at 1:41 PM
I am an owner of a STR in Estes Park that I have owned for 10 years now. While I was concerned when the town
began to add regulations to STR 5 – 6 years ago, I also recognized the need to address concerns of neighbors and
other permanent residents. I have a good relation with my neighbors. I accepted the new regulations and agreed
some minimum standards were needed. The inspections turned into a 3 year process, and lots of uncertainty,
including last minute work to be in compliance. Some of this went beyond common sense, but I am in compliance,
have a safe, clean and comfortable home for guests. I have spent significant sums to keep the home well maintained,
safe and providing guests with lots of amenities.
Now I hear about the recent meeting and the quick decision to consider a study (with end result already settled) to
add a fee or tax on STR to address the affordable housing situation. Estes Park needs to develop a comprehensive
approach to “affordable housing”. EP also needs to access all available funding and resources (see paragraph
below). Further, EP is by far not the only town dealing with “affordable housing”. The entire state no longer has
affordable housing. That said, it would be a good idea to assess and discuss with other towns what approaches they
are considering to address this issue.
Town Trustees need to first become more knowledgeable on the Affordable Housing Crisis Issue and best practices
not only from other Colorado Mountain towns but also best practices from Colorado Developer’s on how to eliminate
the “barriers” in Estes Park and incentives that actually work to promote the building of Affordable Housing. The
Trustees should stop focusing on a STR Fee Study (a very small part of the issue) and instead focus all efforts on
obtaining grant money under all 3 grant programs under the newly enacted HB21-1271. Furthermore, as discussed
below, the Trustees can obtain funding to pay for the Consultant to put together a comprehensive Affordable Housing
plan & strategy under the NEW “local government grant funding program” provided under HB21-1271, enacted June
27, 2021. Below in Paragraph [1] is a summary and a link to an article from The Colorado Sun that I found as a helpful
starting point towards learning more about the Affordable Housing Issue in Colorado, and after reading this article I
researched House Bill 21-1271 and I learned that it was enacted into law on June 27, 2021. Below in Paragraph [2] is
a summary and link to HB 21- 1271 that provides for grant money in 3 different program in the department of local
affairs (DOLA): [1] “Developers working on affordable housing in Colorado’s mountains offer suggestions for pending
wave of funding”, June 9, 2021. https://coloradosun.com/2021/06/09/colorado-mountains-developers-affordable-
housing-funding/ · The unprecedented housing crisis in Colorado will soon see an equally extraordinary flood of
cash. · In Colorado’s high country, where affordable housing is a decades-long issue that exploded into a catastrophe
last year, an army of developers on the front lines of a complex campaign to build workforce housing are ready to help
guide the sudden influx of funding. · State and federal money is coming soon. House Bill 21-1271 would provide $13
million to communities that adopt rules that promote affordable housing projects. The legislation would create three
grant programs for housing development, planning and a “affordable housing guided toolkit” for communities, all
managed by the 2 Division of Local Government in the Department of Local Affairs.
Any long term/permanent resident will sell their home for a market price, not a subsidized price; and I doubt
the town will assess a fee on the sellers. Why not? That sale adds to the skyrocketing value of properties as
much or more than STR’s. So picking on STR is simply unfair, wrong, and asking for a fight. The issue of
“affordable housing” is not one that was created by owners of STR’s, and the focus should not be on
STR’s. This issue cannot be addressed by individual towns alone; most other Colorado Mountain towns are
dealing with similar issue. The state and counties need to step up and work toward a comprehensive
solution.
Page 120
I also know the issue of transferability is in question. I have a right to sell my home with the permit – period! I do not
have plans to sell any time soon, BUT any action by the town to negate or cancel my permit as a result of a sale
would be met with legal action if it interferes with a sale.
STR License Cap: suspend any talk of raising the cap while you are putting together a comprehensive plan on how to
address the Affordable Housing Issue. It should be addressed but, as part of a comprehensive approach.
I plan to eventually live in my home at some point in retirement. Until then, I remain an STR owner who takes care of
my property, treats guests and neighbors with respect, remain in full compliance and through my guests, add to the
economy of EP. The approach going forward must be cooperative, open and transparent. Without that, there will be
difficulty solving any problems.
I am reminded how the Trustees treated owners of STR’s last year during the COVID pandemic; a second stab at
STR’s owners is not a wise or thoughtful course of action. Please be considerate and deliberate for taking action.
Regards, Jim Meek
STR discussion
Mark Richins <mlrichinns@gmail.com> Tue, Aug 24, 2021 at 10:31 AM
I am writing in response to the STR discussion that was held and will continue this evening. As a new home owner in
Estes (Jan 2020), we bought as a second home to have a place to spend time with family but also as retirement
income to rent when we are not using it. We have found it to be not only profitable for us to have this but we enjoy
helping those who want to visit our beautiful area have a comfortable, clean, safe and nice place to stay. We would
love to invest in our town and continue to be an asset to the town economy and continue as funds allow to reinvest
our investments in Estes Park. The discussions that are being had are discouraging to say the least. For a town that
thrives on tourism and where the tourist and recreation industry is essential to its sustainability the restrictions and
suggested taxing/fees being discussed is disheartening.
I hope during your discussions that you will consider my input and impact on STRs.
* I do not believe that any (or if so, very minimal amount) of Estes Park STR’s are taking away any affordable housing
from the community and therefore should not be imposed upon for the solution to the affordable housing situation.
* IF a fee was to be imposed, I do not feel it would be a fair imposition on only STRs and not all lodging
accommodations in Estes.
* permits that are already ACTIVELY being used as STRs (maybe with an occupancy percentage attached to it)
should stay with the house when sold allowing those looking for investment property to be able to start profit right
away.
*Houses holding permits to increase property value but not being used for a significant STR occupancy should forfeit
their permits to reduce the waiting list for those wanting to actively STR their property.
* The STR cap should be increased which would help ease the burden of those wanting to use their homes as income
properties but have to cover mortgages etc. and can’t wait 2-4 yrs on the waiting list (unless those permits that are
held but not used are given up and reduce the waiting list significantly).
Thank you for considering my suggestions and I hope that you will be an advocate for those STR owners who provide
a valuable asset to the Estes Park tourism industry.
Kindly, Laura Richins
Estes Park Short Term Rentals
RANDALL BURGE <randallburge@comcast.net> Tue, Aug 24, 2021 at 12:31 PM
To all,
It has come to our attention that at the recent Study Session it was discussed to investigate a proposed tax on short
term rental owners.
We feel it is unfair to target a specific group to fund a much broader issue of affordable housing in the Estes Valley.
The entire town/area will benefit from more housing, it should be up to all to provide such resources.
Regards, Randy & Jill Burge
Page 121
Start date Agenda_Item_Title Name Stance_on_item For Against Neutral Comments_for_the_Board_of_Trustees_File_Upload
8/24/2021 12:07 PM Vacation Home Philosophy. Donna Carlson For 1 0 0
The Estes Chamber of Commerce formed the Vacation Rental Council (the
Council) to give a unified voice to owners of Short-Term Rentals (STR) and to
educate the town government on facts surrounding the STR market to inform
sound decision-making. We are in favor of a fair and balanced, fact-based
vacation rental philosophy. We urge you to partner with our business
community in forming your opinions regarding decisions that will impact
business revenue. The Estes Chamber of Commerce and its Vacation Rental
Council are at your service in partnering to create a vacation rental
philosophy in service to making this a great place for all of us to live, work
and play.
Chamber Vacation Rental
Council Letter to Trustees August
24, 2021.pdf
8/24/2021 11:10 AM Vacation Home Philosophy.Alissa Anderson Neutral 0 0 1 Please see attached pdf To the town trustees and.pdf
8/24/2021 10:14 AM Vacation Home Philosophy.Nicholas C Ducharme Against 0 1 0 File uploaded EP Comments.pdf
8/23/2021 9:50 AM Vacation Home Philosophy. Ed Wagner Neutral 0 0 1 See attached document EP Vacation Home Philosophy.pdf
8/23/2021 3:04 PM Vacation Home Philosophy. Dennis and Janet Byars Against 0 1 0
Please find attached our letter for your consideration.
Thank you.
Sincerely,
Dennis and Janet Byars
Letter to Town of Estes
Park.August 23, 2021.pdf
8/23/2021 10:59 AM Vacation Home Philosophy.Vincent J Laurent Against 0 1 0 Please read our comments about the STR proceedings.STR Letter.pdf
8/23/2021 1:55 PM Vacation Home Philosophy.Darren Rundell-Little Against 0 1 0 See document uploaded.STR nightly rate proposal.pdf
8/23/2021 1:54 PM Vacation Home Philosophy. James R Meek Against 0 1 0
I am an owner of a STR in Estes Park and have been for 10 years. I was
concerned when the town began to add regulations, but I recognized the
need to address concerns of neighbors and other permanent residents. I
have a good relation with my neighbors. I accepted the new regulations and
agreed some minimum standards were needed. I have spent significant sums
on my home to keep well maintained, safe and providing guests with
comfort.
I am opposed to a study/action to add a fee or tax on STR to address the
affordable housing situation. Estes Park needs to develop a comprehensive
approach to “affordable housing”, and access all resources and seek county
and state support. Permits are transferable. CAP increase could be
considered in a comprehensive approach. Picking on STR's is not a solution.
Homes sold that are not STR's show the value of properties, and the town is
not assessing fees to those who sell these homes. Please be considerate and
deliberate before taking action.
Page 122
8/22/2021 9:04 PM Vacation Home Philosophy. Gordon C Ulrickson For 1 0 0
I am in favor of Workforce Housing for the Estes Park Area, but not with the
sole funding source of Vacation Rentals. This cost should be shared by all
Estes Park Area businesses.
Comments to Town Trustees
on Workforce Housing.pdf
8/22/2021 7:34 PM Vacation Home Philosophy. Theresa Flicek Neutral 0 0 1
We wanted to respond to the new tax being considered. We just started
using our permanent condo as an STR. We live in it full time during the week
and then rent it out on weekends to use as a supplement to our income.
Because this is our permanent home we could not use this as a place for
workforce housing. We are using the funds we make to pay for
improvements and to lower our mortgage.
When we purchased our home 14 years ago we could barely do it and it was
a foreclosure. Housing costs have always been and always will be high due to
the location. Not due to STR’s ONLY.
Taxation to help with affordable housing ok, but maybe Estes businesses with
workforce needs should work together with STRs and others to pay taxes to
address affordable housing issues. Not just STR’s.
We are working hard to provide a nice place for people to stay. We hope and
know these guests will then go forward and spend money in Estes businesses
and restaurants.
Sincerely, Theresa Flicek and Rob Teigen
8/22/2021 4:13 PM Vacation Home Philosophy. Lowell Richardson Against 0 1 0 Please my comments concerning agenda item vacation rental philosophy letter to town board 8-22-21.pdf
8/22/2021 11:20 AM Vacation Home Philosophy. BJ & Ann Wakely Against 0 1 0 Please review our PDF letter against the vacation rental license tax.
Town of Estes Park- Vacation
Rental Letter.pdf
8/21/2021 4:06 PM Vacation Home Philosophy. Kevin Pugh Against 0 1 0
Please find the attached letter to the board regarding the proposed plan to
add a nightly fee and/or tax to short term rentals. Thank you.
Kevin EP_trustees_letter.pdf
Page 123
8/20/2021 5:55 PM Vacation Home Philosophy. Penny McCord Against 0 1 0
If this is driven by the need for affordable housing for persons working in
Estes Park to provide services to vacationers and other persons in town, it
seems like the commercial vacation rentals use more of these employees. It
does not seem fair to have residential vacation homes pay more fees or
taxes.
Having vacation rentals self report occupancy and then trying to police this
also will be burdensome for both the city and the owner of the vacation
rental.
It seems like a better way to raise revenue for affordable housing would be to
raise the annual rental permit fees based on the approved occupancy level.
This could be tiered similar to current renewal rates. It would also make it
more costly for owners to keep their rental permit if they are not renting
their property.
Page 124