Loading...
HomeMy WebLinkAboutPACKET Town Board 2022-04-12The 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, April 12, 2022 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, March 22, 2022. All comments will be provided to the Board for consideration during the agenda item and added to the final packet. REMOTE PUBLIC PARTICIPATION DURING BOARD MEETING Remote participation in the meeting will be available by call-in (telephone) 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):877-853-5257 (toll-free) Webinar ID: 982 1690 2040 ONLINE (ZOOM WEBINAR): https://zoom.us/j/98216902040 Webinar ID: 982-1690-2040. AGENDA 5:15 p.m. REQUEST TO ENTER EXECUTIVE SESSION: For discussion of a personnel matter - Section 24-6-402(4}(f}, C.RS. and not involving: any specific employees who have requested discussion of the matter in open session; any member of the Town Board; the appointment of any person to fill an office of the Town Board; or personnel policies that do not require discussion of matters personal to particular employees – Town Attorney and Municipal Judge Annual Evaluations. REGULAR BUSINESS 7:00 p.m. PLEDGE OF ALLEGIANCE. (Any person desiring to participate, please join the Board in the Pledge of Allegiance). PROCLAMATION – VOLUNTEER APPRECIATION MONTH. AGENDA APPROVAL. PUBLIC COMMENT. (Please state your name and address). TOWN BOARD COMMENTS / LIAISON REPORTS. Prepared 04-01-2022 * Page 1 NOTE: The Town Board reserves the right to consider other appropriate items not available at the time the agenda was prepared. TOWN ADMINISTRATOR REPORT. 1.POLICY GOVERNANCE MONITORING REPORT - POLICIES 3.3 AND 3.7. Policy 2.3 designates specific reporting requirements for the Town Administrator to provide information on policy compliance to the Board. The above policies are reported on each April. CONSENT AGENDA: 1.Bills. 2.Town Board Minutes dated March 22, 2022. 3.Transportation Advisory Board Minutes dated February 16, 2022 (acknowledgment only). 4.Parks Advisory Board Minutes dated February 17, 2022 (acknowledgment only). 5.Estes Park Planning Commission Minutes dated February 15, 2022 (acknowledgment only). 6.Resolution 28-22 Intergovernmental Agreement for Fiscal Year 2022 American Rescue Plan Funding to Support Estes Transit Administration and Operating Expenses with CDOT, PO 491002884, $51,481 – Budgeted. 7.Resolution 29-22 Intergovernmental Agreement for Fiscal Year Certifications and Assurances as required for Federal Transit Administration Funding for Public Transportation with CDOT. 8.Resolution 30-22 Approving the USDA Loan Resolution for the Prospect Mountain Water Distribution Project. 9.Ordinance 03-22 Amendments to Chapter 17.66 of the Estes Park Municipal Code Regarding Signs. Request to continue to May 10, 2022. 10.Appointments to the Family Advisory Board: •Jessica Moffett, 1-year term expiring April 30, 2023 •Debra Avezzano and Nicole White, 2-year term expiring April 30, 2024 •Deanna Ferrell, Rut Miller, and Susan Yowell, 3-year term expiring April 30, 2025 11.Acceptance of Town Administrator Policy Governance Monitoring Report. ACTION ITEMS: 1.RESOLUTION 31-22 SUPPLEMENTAL BUDGET APPROPRIATIONS #1 TO THE 2022 BUDGET. Director Hudson. To roll over uncompleted 2021 purchase orders and projects and other amendments. 2.RESOLUTION 32-22 AMENDING RESOLUTION 81-21 AND APPROVING PROPOSED UPDATES TO PUBLIC WORKS POLICY 842 – PARKING PERMITS. Manager Solesbee. To consider reductions in the 2022 Seasonal Paid Parking hours and permit fees. 3.REVISIONS TO POLICY 225 – CHILDCARE FUNDING GUIDELINES. Assistant Town Administrator Damweber. REPORTS AND DISCUSSION ITEMS: 1. MUSEUM’S 2021 ANNUAL REPORT. Director Fortini. ADJOURN. Page 2 Town Administrator’s Office Memo To: Honorable Mayor Koenig Board of Trustees From: Town Administrator Machalek Date: April 12, 2022 RE: Policy Governance Monitoring Report – Policy 3.3 and 3.7 (Mark all that apply) PUBLIC HEARING ORDINANCE LAND USE CONTRACT/AGREEMENT RESOLUTION OTHER: Policy QUASI-JUDICIAL YES NO Board Policy 2.3 designates specific reporting requirements for the Town Administrator to provide information on policy compliance to the Board. In April of each year the Town Administrator is required to report on Policies 3.3 and 3.7. Policy 3.3 states: “With respect for strategic planning for projects, services and activities with a fiscal impact, the Town Administrator may not jeopardize either the operational or fiscal integrity of Town government.” Policy 3.7 states: “The Town Administrator shall have an Emergency Preparedness Process in place for coordination of all emergency management partners – Federal, State, and local governments, voluntary disaster relief organizations, and the private sector to meet basic human needs and restore essential government services following a disaster.” This report constitutes my assurance that, as reasonable interpreted, these conditions have not occurred and further, that the data submitted below are accurate as of this date. Travis Machalek Town Administrator Page 3 Policy 3.3: With respect for strategic planning for projects, services and activities with a fiscal impact, the Town Administrator may not jeopardize either the operational or fiscal integrity of Town government. Accordingly, the Town Administrator shall not allow budgeting which: 3.3.1: Deviates from statutory requirements. Status: Compliance Interpretation: I interpret this to mean that our budgeting practices and policies comply with all requirements contained in the Colorado Revised Statutes that are applicable to statutory towns. Compliance with the policy will be achieved when: There are no deviations in our practices or policies from what is required by State Statute. Evidence: 1. The annual independent audit 2. Annual Comprehensive Financial Report (ACFR) 3. All policies are reviewed for legal compliance by the Town Attorney 4. No State-issued non-compliance notifications to the Town of Estes Park regarding our budgetary obligations under State Statute. Report: I report compliance. 3.3.2: Deviates materially from Board-stated priorities in its allocation among competing budgetary needs. Status: Compliance Interpretation: I interpret this to mean that the annual budget adopted by the Board of Trustees represents the officially adopted priorities of the Board. This includes any budget amendments approved by the Town Board throughout the year and any specific spending authorizations approved by the Town Board. I interpret “materially deviate” to mean any change in spending priority that results in a resource diversion away from any Board objective, goal, or outcome that is substantial enough to hinder the achievement of the objective, goal, or outcome. I do not interpret minor deviations resulting from changing circumstances, community demands, and/or unforeseen circumstances outside of the Town’s control as material deviations. Compliance with the policy will be achieved when: Budget spending does not materially deviate from the levels approved in the adopted budget. Evidence: Page 4 1. The 2022 adopted budget was prepared based on the Board’s Strategic Plan. 2. Any substantial budget changes have been presented to the Board for review and approval as budget amendments. 3.HTE budget reports for each department are available on request. Report: I report compliance 3.3.3: Contains inadequate information to enable credible projection of revenues and expenses, separation of capital and operational items, cash flow and subsequent audit trails, and disclosure of planning assumptions. Status: Compliance Interpretation: I interpret this to mean that the Town Administrator’s recommended budget must be based on credible data and the best available information concerning the local economy and other factors that may impact the Town’s revenues and expenses. In addition, the budget is to be structured to separate capital expenditures from operational costs. All revenue projections will be based on the professional judgement of the Town’s Finance Director. Compliance with the policy will be achieved when: •Revenue projections are clear and projected and actual revenues are within a 5-10% margin of error, barring any catastrophic events. •Actual revenues are not less than projected, barring any catastrophic events. •The budget presented to the Board for adoption is in a format that separates revenues, expenses, and capital expenditures. •Critical assumptions used in preparing the budget are clearly articulated to the Board during budget review sessions. Evidence: 1.The persistence of COVID-19 and the uncertainty of its impacts on long- term visitation trends continue to cause difficulties in projecting revenues. We will continue to track revenues and update projections as we learn more. 2. The 2022 adopted budget is presented in a format that separates revenues, expenditures, and capital. 3. Critical assumptions used in preparing the budget were discussed with the Board during budget review sessions as well as during budget amendment discussions. Page 5 Report: I report compliance. Revenue projections continue to be impacted by the uncertainty created by COVID-19. Staff will continue to closely monitor projected and actual revenues and will continue to err on the side of caution when projecting revenues in order to protect the financial position of the Town. 3.3.4: Plans the expenditure in any fiscal year of more funds than are conservatively projected to be received in that period, or which are otherwise available. Status: Compliance Interpretation: I interpret this to mean that the proposed budget must be balanced. This includes expenditures for the year not exceeding the revenues received from all sources. Exceptions are Board-approved use of fund balances, and use of funds that have been accumulated over a period of time, with the approval of the Board, with the intent of saving funds to pay for a specific project or capital expense. Compliance with the policy will be achieved when: The proposed budget meets the above criteria, inclusive of any board approved spending of fund balance or specific reserve funds. Evidence: 1. The adopted budget demonstrates that I have not allowed budgeting which plans the expenditure in any fiscal year of more funds than are conservatively projected to be received in that period, or which are otherwise available. Report: I report compliance. 3.3.5: Reduces fund balances or reserves in any fund to a level below that established by the Board of Town Trustees by adopted policy. Status: Compliance Interpretation: I interpret this to mean that the audited year-end unrestricted fund balance in the General Fund does not drop below 25% unless otherwise authorized by the Board. If the Board approves and adopts a budget that plans for reducing the fund balance below the 25% level, I interpret this as being authorized by the Board. Compliance with the policy will be achieved when: •The final ACFR shows a General-Fund fund balance of 25% or greater, unless otherwise approved by the Board. Page 6 • The proposed budget anticipates an end-of-year fund balance in the General Fund of 25% or greater, unless otherwise approved by the Board. Evidence: 1. The 2020 ACFR shows a 70.4% General-Fund fund balance at the end of 2020. 2. The 2021 budget, as amended, anticipates a 60.6% General-Fund fund balance at the end of 2021. 3. The adopted 2022 budget anticipates a 34.7% General-Fund fund balance at the end of 2022. Report: I report compliance. 3.3.6: Fails to maintain a Budget Contingency Plan capable of responding to significant shortfalls within the Town’s budget. Status: Compliance Interpretation: I interpret this to mean that I must prepare a budget that maintains a fund balance of 25% or more in the General Fund and adequate fund balances in all enterprise funds, including the required TABOR reserve and the current cash reserves as defined in Board Policy 670 – Cash and Investment Reserve and Contingency. Compliance with the policy will be achieved when: • The final ACFR indicates a General-Fund fund balance of 25% or greater, unless otherwise authorized by the Board. • The proposed budget anticipates an end-of-year fund balance in the General Fund of 25% or greater, unless otherwise authorized by the Board. • The current cash reserves meet the criteria defined in Board Policy 670 – Cash and Investment Reserve and Contingency. Evidence: 1. The 2020 ACFR shows a 70.4% General-Fund fund balance at the end of 2020. 2. The 2021 budget, as amended, anticipates a 60.6% General-Fund fund balance at the end of 2021. 3. The adopted 2022 budget anticipates a 34.7% General-Fund fund balance at the end of 2022. 4. Current cash and investment reserves are reported to the Board on a monthly basis, as required by Board Policy 670. 5. The Town’s budget contingency plan is established in Policy 670 (Section 3.b). Page 7 Report: I report compliance. 3.3.7: Fails to provide for an annual audit. Status: Compliance Interpretation: I interpret this to mean that I must ensure that the Town completes an independent audit annually. Further, that audit report should result in an unqualified and unmodified opinion from the Board’s auditors. Compliance with the policy will be achieved when: The annual audit is complete and presented to the Town Board. Evidence: 1. The 2020 Audit has been completed and the ACFR prepared and submitted to the State of Colorado with an unqualified and unmodified opinion from the Board’s auditors. Report: I report compliance. The 2021 Audit is currently underway. 3.3.8: Fails to protect, within his or her ability to do so, the integrity of the current or future bond ratings of the Town. Status: Compliance Interpretation: I interpret this to mean that I cannot take any action that will negatively impact the Town’s bond rating. This includes maintaining adequate fund balances as required in 3.3.5 and maintaining adequate bond coverage ratios for all revenue bonds associated with the Town’s enterprise funds. Compliance with the policy will be achieved when: • I am in compliance with 3.3.5. • Required bond coverage ratios are met. Evidence: 1. The 2020 ACFR shows a 70.4% General-Fund fund balance at the end of 2020. 2. Our current (December 31, 2021) estimated bond-coverage ratio for Power and Communications (190%) exceeds the required ratio of 125%. 3. Our current (December 31, 2021) estimated bond-coverage ratio for Water (799%) exceeds the required ratio of 110%. Report: I report compliance. Page 8 3.3.9: Results in new positions to staffing levels without specific approval of the Board of Town Trustees. The Town Administrator may approve positions funded by grants, which would not impose additional costs to the Town in addition to the grant funds and any temporary positions for which existing budgeted funds are allocated. Status: Compliance Interpretation: I interpret this to mean that I cannot allow any new positions or expansion of any part-time positions to be advertised or filled without prior Board approval. I may allow new positions or partial positions funded by grants or temporary positions for which existing budgeted funds are allocated without prior approval of the Board. I may also allow reductions in staffing without Board approval. Compliance with the policy will be achieved when: No new positions or expansion of any part-time positions are approved and/or hired without approval of the Board, with the exceptions noted above. Evidence: 1. All positions are indicated in the adopted and proposed budgets and no unapproved positions have been created. Report: I report compliance. Policy 3.7: The Town Administrator shall have an Emergency Preparedness Process in place for coordination of all emergency management partners – Federal, State, and local governments, voluntary disaster relief organizations, and the private sector to meet basic human needs and restore essential government services following a disaster. 3.7.1: The Town Administrator shall be responsible for the assigned responsibilities identified in the Town of Estes Park Emergency Operations Plan. Status: Compliance Interpretation: I interpret this to mean that the Town has adopted and kept current an Emergency Operations Plan that covers multiple possible emergency situations and outlines the roles and responsibilities of Town staff during an emergency. These roles are consistent with the standards of the National Incident Management System (NIMS) process. I also interpret this to mean that key staff have had basic NIMS/Incident Command System (ICS) training. Compliance with the policy will be achieved when: • The Town has an up-to-date Emergency Operations Plan. • Key staff have completed NIMS/ICS 100 training. Page 9 Evidence: 1. The Town has an up-to-date Emergency Operations Plan 2. All key staff have completed NIMS/ICS 100 training Report: I report compliance. 3.7.2: The Town Administrator shall not fail to have a business continuity plan for the Town. Status: Compliance Interpretation: I interpret this to mean that the Town has adopted and kept current a Continuity of Operations Plan (COOP) for Town operations. Compliance with the policy will be achieved when: The Town has an up-to- date Continuity of Operations Plan (COOP). Evidence: 1. The Town has an up-to-date Continuity of Operations Plan Report: I report compliance. 3.7.3: In the event of an emergency, the Town Administrator shall not fail to take appropriate action immediately to ensure the safety of the public and public and private assets, including authorizing specific actions by Town staff and declaring an emergency on behalf of the Board of Town Trustees. Status: Compliance Interpretation: I interpret this to mean that in the event of an emergency I take appropriate steps to respond to the emergency including, but not limited to, actions outlined in the Town Emergency Operation Plan and Chapter 2.28 of the Municipal Code. Compliance with the policy will be achieved when: •During an emergency, I ensure that we follow the Emergency Operations Plan and standard NIMS procedures (as applicable) in implementing our response. •Response and recovery efforts are prudent and in compliance with state and federal requirements for aid and reimbursements (when applicable). Evidence: 1. The most recent evidence of compliance can be found in the Town’s response to the East Troublesome Thompson Zone fire and COVID-19, Page 10 which included declarations of emergency, emergency orders, and implementation of NIMS structure to coordinate Town response. Report: I report compliance. Page 11 Page 12 Town of Estes Park, Larimer County, Colorado, March 22, 2022 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 and Virtually in said Town of Estes Park on the 22nd day of March, 2022. Present: Wendy Koenig, Mayor Patrick Martchink, Mayor Pro Tem Trustees Carlie Bangs Barbara MacAlpine Scott Webermeier Cindy Younglund Also Present: Travis Machalek, Town Administrator Jason Damweber, Assistant Town Administrator Dan Kramer, Town Attorney Jackie Williamson, Town Clerk Duane Hudson, Finance Director Bunny Victoria Beers, Deputy Town Clerk Absent: Trustee Marie Cenac Mayor Koenig called the meeting to order at 6:00 p.m. REQUEST TO ENTER EXECUTIVE SESSION: It was moved and seconded (Webermeier/MacAlpine) to enter into executive session to discuss a personnel matter - Section 24-6-402(4)(f) C.R.S., and not involving: any specific employees who have requested discussion of the matter in open session; any member of the Town Board; the appointment of any person to fill an office of the Town Board; or personnel policies that do not require discussion of matters personal to particular employees - regarding Town Administrator Annual Evaluation, and it passed unanimously. The Board entered into executive session at 6:05 p.m. and concluded the executive session at 6:54 p.m. Mayor Koenig called the meeting to order at 7:09 p.m. and all desiring to do so, recited the Pledge of Allegiance. MOMENT OF REMEMBERANCE – RECOGNIZING THE TWO-YEAR ANNIVERSARY OF THE DECLARATION OF COVID-19 AS A PANDEMIC (03/11/2020). March 11, 2022 marked the two-year anniversary of the World Health Organization declaring COVID-19 as a pandemic. The pandemic had resulted in over 6 million deaths globally to date. Mayor Koenig acknowledged a moment of silence to honor and remember individuals lost during the pandemic. AGENDA APPROVAL. It was moved and seconded (Webermeier/Younglund) to approve the Agenda, and it passed unanimously. PUBLIC COMMENTS. Donna Carlson, Estes Chamber of Commerce Executive Director attended a Small Business Advisory Council meeting organized by Senator Neguse and comprised of Chamber Executives. Discussions involved major initiatives and concerns for chambers including supply chain, workforce housing shortage, and a highly stressed and overworked business community. TRUSTEE COMMENTS. Trustee comments have been summarized: Transportation Advisory Board met with downtown business owners to discuss parking and would hold a special meeting to discuss the Fall River Trail expansion; Police Auxiliary held a meeting with a Wildlife DR A F T Page 13 Board of Trustees – March 22, 2022 – Page 2 Officer to discuss the upcoming elk calving season and dangers to the unaware public; Mayor Pro Tem Martchink and Trustee Younglund would hold Family Advisory Board interviews bringing recommendations to a future meeting; the Comprehensive Plan Advisory Committee met with the Estes Valley Advisory Planning Committee to discuss public engagement questions related to the economy, infrastructure, transportation and health and social issues; and the Estes Park Planning Commission reviewed the Community Planning Assistance for Wildfire program report recommendations and would continue discussing zoning and opportunities for increasing housing density. Mayor Pro Tem Martchink stated younger families are the workforce who provide the services which improve Estes Park’s quality of life and they are having a harder time living in Estes Park. He referenced the United States 2020 Census which reflected a median age of 61 in Estes Park, an increase of 10 years in age compared to 2010. He stated concerns for the decline in the Estes Park School District enrollment numbers which dropped from 1,411 students in the 2002/2003 school year to 1,021 students in the 2020/2021 school year. TOWN ADMINISTRATOR REPORT. Town Administrator Machalek presented his policy governance report for policies 3.0, 3.1, 3.2, 3.4, 3.5, 3.6, 3.9, 3.10, and 3.11. He reported full compliance. Town Clerk Williamson reminded citizens ballots were mailed to all active voters who live within town limits for the regular municipal election on April 5, 2022. She stated voted ballots can be returned by mail, in person at the Clerk’s office or through the new 24-hour ballot drop off box located at Town Hall adjacent to Bond Park. 1. CONSENT AGENDA: 1. Bills. 2. Town Board Minutes dated March 8, 2022, Town Board Study Session Minutes dated March 8, 2022 and Town Board Special Study Session Minutes dated March 1, 2022. 3. Comprehensive Plan Advisory Committee Minutes dated February 10, 2022 (acknowledgment only). 4. Reappointment to the Estes Park Board of Adjustment of Francis Holtzman to a term expiring March 31, 2025 and clarify the reappointment of Guy Newsom for a term expiring March 31, 2024. 5. Reappointment of Janene Centurione and Howard Hanson to the Estes Park Planning Commission for terms expiring March 31, 2028. 6. Acceptance of Town Administrator Policy Governance Monitoring Report. It was moved and seconded (Webermeier/Younglund) to approve the Consent Agenda, and it passed unanimously. It was moved and seconded (Younglund/MacAlpine) to move the Report and Discussion Item, Utility Lockbox Go Live Notification to be heard prior to the Action Items, and it passed unanimously. REPORT & DISCUSSION ITEMS: 1. UTILITY LOCKBOX GO LIVE NOTIFICATION. Director Hudson stated the Finance Department would implement a new utility billing lockbox for bills due April 5, 2022. The change improves efficiencies and rebalances workloads with minimal impacts to customers. Lockbox service fees in the amount of $40,000 for 2022 has been budgeted. Staff anticipates between a $3,000 to $4,000 monthly charge, depending on the volume of payments received through the lockbox. No Board discussion occurred. ACTION ITEMS: DR A F T Page 14 Board of Trustees – March 22, 2022 – Page 3 1. ORDINANCE 02-22 AMENDING TITLE 5 OF THE ESTES PARK MUNICIPAL CODE REGARDING VACATION HOME BUSINESS LICENSE FEES AND ESTABLISHING A RELATED ENTERPRISE. Mayor Koenig opened the public hearing. Town Clerk Williamson stated discussions to review a use tax or a fee on vacation home rentals, more specifically to address the impact on workforce housing, began in June 2021. It was determined by the Board to fund a fee study and a consultant, Root Policy Research, was identified in the fall of 2021. Several study sessions were held to review the methodology and draft reports. On March 8, 2022, the Board directed staff to draft an ordinance with specific requirements to establish a vacation home workforce housing regulatory linkage fee and the associated enterprise fund to collect revenues and expend funds to support the Town’s workforce housing programs and policies. She prefaced the ordinance would impose a fee on vacation homes or short-term rentals as identified in the Municipal Code who rent their property for less than 30 days, not for owners who own second homes which they do not rent out as short term rentals. Town Attorney Kramer noted a few minor inclusions into the ordinance, including a statement which specifically allows the owners to pass along the fee to their customers; development of an enterprise structure to account for the fee revenues to ensure the funds would be used for the purposes set forth in the ordinance, and a narrow exception for outlying commercial zoned specific homes where the home was not converted from residential use to a vacation home or would not have been able to be created as residential living at that time. Members of the public speaking against the proposed ordinance included: Steve McCrane/County citizen, Eric Blackhurst/Town citizen and Chairman of the Housing Authority, Robert Galyan/County citizen, Becky Robbins/Town citizen, Suzy Blackhurst/Town citizen, Dana Kramer/Town citizen, Gordon Ulrickson/Town citizen, Lindsay Lamson/County citizen, Bob Fixter/Town citizen, Tom Shepherd/Town citizen, Bill Kiefer/Town citizen, Liz Mulhern/Town citizen, Steve Keller/Town citizen, Scott Thompson/County citizen, Laura Campbell/County citizen, Donna Carlson/County citizen, Rich Chiappe/County citizen, Kristine Hodges/Town citizen, Eunice Doctor/Town citizen, Karen Thompson/County citizen, Carl Merry/Town citizen, Bill Brown/Town citizen, Eric Lund/Town citizen, Reem Ghalib/Town citizen, Jim Meek/Texas citizen, Dominique Hawn/Town citizen, Nathan Welton/County citizen, and Jason Mitcham/County citizen. Comments have been summarized: Utilizing funds from HB221117 to infuse money into the community; concerns for charging one segment of the community to address an issue which impacts the whole community; short term rentals support the workforce; interest was stated for an increase to the lodging and accommodations tax or a separate tax established by the voters; land acquisitions and public and private partnerships; increase in fees can be seen by the renter which may result in less bookings; questioned why second home owners not renting out their homes were not included in the study; exploring additional opportunities to partner with the Housing Authority; gaining more community input before instituting a fee; and concerns were heard regarding the data research, its comprehensiveness, and a lack of an established plan for the new funds. Laurie Dale Marshall/Town citizen stated concern with the lack of long-term housing and has been forced to move because her residence was being converted to a short-term rental. She was in favor of Ordinance 02-22. It was moved and seconded to approve Ordinance 02-22 (Martchink/Bangs) and a substitute motion was made. A substitute motion was moved and seconded (Koenig/Webermeier) to indefinitely postpone the vacation home regulatory linkage impact fee described in section 5.20.120 of the Estes Park Municipal Code and establishing a related enterprise, and after further discussion the motion failed with Mayor Pro Tem Martchink and Trustees Bangs, MacAlpine and Younglund voting “No”. DR A F T Page 15 Board of Trustees – March 22, 2022 – Page 4 Board comments have been summarized: Estes Park has a unique economy derived from tourists and tourism; it was reiterated the ordinance would establish a fee not a tax; implementation would not occur until 2023; short term rentals are a key economic driver for the Town; the established cap has been working to reduce the number of rentals in residential zone districts; Board policy outlines fund spending; the ordinance would be part of a multi-prong approach to address workforce housing needs; establishing a fee would create a real opportunity to make impactful positive change; it was stated the Housing Authority has provided different action items for addressing housing needs and is a partner with the Town; it was noted, the 2016 Housing Needs Assessment identified 2000 people who were lacking homes in our community; interest was heard for more information related to the HB221117 and opportunities associated; placing a fee would cause an undue burden on in town short-term rentals; additional research was requested to review every entity which benefits from work force housing and find comprehensive financial participation; lack of housing has been and continues to be a problem and the nexus exists, not zero; establishing a Task Force to advance recommendations developed by the Task Force, taking into consideration the comments provided by the public on the ordinance; questioned whether short term rentals pay commercial property tax, and the possibility of a tiered fee could be imposed versus a single fee. After further discussion the original motion to approve Ordinance 02-22, passed with Mayor Koenig and Trustee Webermeier voting “No”. A motion was moved and seconded (Webermeier/Martchink) to continue the meeting past 10:00 p.m., and the motion passed with Trustee Webermeier voting “No”. 2. RESOLUTION 27-22 SUPPORTING THE TABOR BALLOT ISSUE #3A. Town Administrator Machalek stated the Town has two ballot questions and one ballot issue regarding TABOR. A resolution of support has been approved for past issues to encourage support for an item. Questions were raised regarding the date the item was added to the agenda. Town Attorney Kramer stated there were no process or legal issues moving the item forward. After further discussion, it was moved and seconded (Martchink/Webermeier) to approve Resolution 27- 22, and the motion passes with Mayor Koenig abstaining. Whereupon Mayor Koenig adjourned the meeting at 10:22 p.m. Wendy Koenig, Mayor Bunny Victoria Beers, Deputy Town Clerk DR A F T Page 16 Town of Estes Park, Larimer County, Colorado, February 16, 2022 Minutes of a Regular meeting of the TRANSPORTATION ADVISORY BOARD of the Town of Estes Park, Larimer County, Colorado. Meeting held Virtually in said Town of Estes Park on the 16th day of February, 2022. Board: Chair Morris; Vice-Chair Ekeren; Members Bernal, Finley, Gamble, Hanick, Moulton, Slack, and Street Attending: Chair Morris; Vice-Chair Ekeren; Members Finley, Gamble, Hanick, Moulton, Slack, and Street; Director Muhonen; Managers Hook and Solesbee; John Hannon, RMNP; Matt Eisenberg, The Car Park; and Recording Secretary McDonald Absent: Member Bernal, Trustee Bangs Chair Morris called the meeting to order at 12:04 p.m. PUBLIC COMMENT Peter Gibbs (Town citizen) stated the benefits of encouraging the use of ebikes on Town bike and pedestrian trails; suggested that Town signage reflect the distinction between acceptable ebikes and prohibited “motorized vehicles” like motorcycles; and inquired whether ebike charging stations could be provided. It was agreed that speed limit language on signage be avoided because it would require official enforcement. Further discussion included the current ebike policy in Rocky Mountain National Park (RMNP) and communities similar to Estes Park. TRUSTEE LIAISON UPDATE None. APPROVAL OF MINUTES DATED JANUARY 19, 2022 It was moved and seconded (Slack/Ekeren) to approve the January 19, 2022, meeting minutes with amendments, and the motion passed unanimously. PARKING & TRANSIT UPDATES Manager Solesbee invited Matt Eisenberg (The Car Park) to present draft versions of the 2022 Town parking instructional signs. Discussion points focused on defining and clarifying language on signs that mention 30 minutes of free parking, particularly near the Post Office; general clarification about where and on what days paid parking applies; and the impact of color and font size on sign legibility. Presenter Eisenberg encouraged the use of brief, clear language on all signage. The sign draft files would be added to the final packet for this meeting. Manager Solesbee advised on continued efforts by the Downtown Parking Task Force to address concerns about paid parking that were submitted in 2021. The TAB’s March meeting would feature downtown business owners to share perspectives on the current paid parking program and recommendations for future phases. The Town and RMNP would partner on extra staff support for summer 2022 transit. The Town Board Study Session on March 8 would focus on extending transit service beyond Town limits, starting with the YMCA. ENGINEERING UPDATES Manager Hook reported on the Downtown Wayfinding design status and February 17 kick-off meeting. The review of Graves Avenue plans would be completed soon, with bidding to begin in the next few months. Fall River Trail Extension plans would be reviewed and presented at the March meeting. The Trails Master Plan Addendum 1 would be presented for Town Board adoption on February 22. Pedestrian bridge inspections and West Elkhorn Avenue improvements continue. PROJECT/ADMINISTRATION UPDATES Page 17 Transportation Advisory Board – February 16, 2022 – Page 2 Director Muhonen discussed preparation for the March 3 Upper Front Range Transportation meeting. The City of Wellington funds would be redirected to the Town for the Community Roundabout project. A Multimodal Transportation and Mitigation Options Fund (MMOF) grant would be pursued in March; the TAB would provide letters of support. A new monthly planning meeting would bring together various development agencies in Larimer County. CDOT produced meeting slides regarding conceptual designs for bike and pedestrian needs. With the cessation of the mask mandate, the TAB should discuss whether to meet live or virtually in March. 2023 TAB INTERESTS & PLANNING Chair Morris presented the TAB Matrix Worksheet. Discussion points included status details and comments regarding the 32 topics accomplished or carried over from 2021; the 18 topics listed for 2022; and topics on the radar for 2023 and beyond. Given the scope of the Matrix topics and potential demands on Public Works staff, it was agreed that the TAB members would individually review the list and bring their 1-2 priority topic preferences for discussion during the March meeting; Chair Morris would add further topic notes to the Matrix worksheet to assist in this review process. OTHER BUSINESS It was agreed that the TAB would meet virtually for the March 17 meeting. Director Muhonen clarified that advisory board terms are three-year appointments that end on March 31, but that officer elections or transitions are effective on the date of the annual January election. There being no further business, Chair Morris adjourned the meeting at 2:02pm. /s/Lani McDonald, Recording Secretary Page 18 Town of Estes Park, Larimer County, Colorado, February 17, 2022 Minutes of a Regular meeting of the PARKS ADVISORY BOARD of the Town of Estes Park, Larimer County, Colorado. Meeting held in the Municipal Building in said Town of Estes Park on the 17th day of February, 2022. Board: Chair Elliot; Vice-Chair Poggenpohl; Members Berry, Nelson- Hazelton, Papineau, and Wilcocks Attending: Chair Elliot; Vice-Chair Poggenpohl; Members Nelson- Hazelton, Papineau, and Wilcocks; Trustee Cenac; Supervisor Berg; and Recording Secretary McDonald Absent: Member Berry Chair Elliot called the meeting to order at 8:33 a.m. PUBLIC COMMENT None. TRUSTEE LIAISON UPDATES Trustee Cenac reported no updates. APPROVAL OF MINUTES DATED JANUARY 20, 2022 It was moved and seconded (Nelson-Hazelton/Papineau) to approve the January 20, 2022, meeting minutes, and the motion passed. Vice-Chair Poggenpohl and Member Wilcocks abstained due to absence from the January meeting. EVFPD SIGN APPLICATION Chair Elliot introduced Chief Wolf to discuss the Estes Valley Fire Protection District’s letter requesting that the Parks Department place wildfire education signs in Bond Park, the Visitor Center, and Benbrook Plaza. Discussion points included the criteria for placement; sign maintenance and replacement responsibilities; efforts to translate the signs into other languages; and QR code strategies. It was moved and seconded (Poggenpohl/Nelson-Hazelton) to submit the application for Town Board consent after Chief Wolf acquires approval from Community Development, and the motion passed unanimously. ART IN PUBLIC PLACES REVIEW AND TOWN BOARD STUDY SESSION UPDATE Chair Elliot reported that budgetary and other guidance on the Arts Master Plan (AMP) was received at the February 8 Town Board Study Session. Vice-Chair Poggenpohl noted the Board’s interest in having the AMP expand the Art in Public Places (AIPP) Program, and that he would research AMP sample plans. Trustee Cenac advised that a dollar amount would be necessary for 2023 budget consideration. Further discussion points included whether to develop the AMP in-house, hire a consultant, or have staff collaborate with a consultant; the overall cost considerations of each method; how similar municipalities have developed their AMP; and community outreach, support, and involvement efforts. It was agreed that Vice-Chair Poggenpohl and Member Wilcocks would gather financial and other AMP information for the PAB to present in a future Town Board meeting, and that the final decision about the AMP should rest with the Town Administrator or the Town Board. Chair Elliot advised that minor clarifications had been made to the AIPP Guidelines since the January meeting, and that the AMP would lead to further changes. It was moved and seconded (Poggenpohl/Wilcocks) to submit the current draft of the AIPP Guidelines for Town Board consent, and the motion passed unanimously. It was moved and seconded (Nelson-Hazelton/Poggenpohl) to submit the Artwork Donation Forms for 2022 Yarn Bombing and the recently discussed bronze sculptures for Town Board consent, and the motion passed unanimously; Supervisor Berg would clarify with the Yarn Bombing applicant the specific location of the artwork. Page 19 Parks Advisory Board – February 17, 2022 – Page 2 2022 INITIATIVES PLANNING Chair Elliot thanked the PAB for contributing to the PAB 2022 Priorities Matrix. The four priority areas would be establishing and finding a home for the AMP, reviewing AIPP submissions, and consolidating the Town art inventory sources; advising the Parks Department on the official openings of the Thumb Open Space and Big Thompson Recreation Area; supporting Mrs. Walsh’s Garden developments; and collaborating with Estes Land Stewardship Association (ELSA) and Estes Valley Watershed Coalition (EVWC) to provide opportunities for environmental and wetlands education. Chair Elliot would summarize these priorities on a future document. Further discussion points included current and long-term efforts to maintain Tree City USA standards; the purchase of 300 trees to be given away on the agreed-upon date of April 30; the source of the QR code for planting; how leftover trees would be distributed; and the need for the PAB to review the 40 recommendations of the Environmental Sustainability Task Force (ESTF). PARKS UPDATE Supervisor Berg advised that he had requested featuring the Walsh’s Garden Committee minutes in the current packet. The boulder ordered for the Big Thompson Recreation Area would be installed by Parks staff. Staff have been busy plowing snow, and those who attended the ProGreen EXPO 2022 returned with new ideas. The grand opening of the Thumb Open Space would take place in May or June, and the information kiosk should be ready for Memorial Day visitors. OTHER BUSINESS Member Wilcocks inquired how Parks landscaping and art placement will be impacted when the Downtown Estes Loop project commences. Supervisor Berg advised that the Parks Department would possibly undertake projects to compensate for areas where landscaping would be compromised. The PAB would consider an earlier or later meeting time for the May meeting due to a mandatory staff meeting that day. There being no further business, Chair Elliot adjourned the meeting at 9:56 a.m. /s/Lani McDonald, Recording Secretary Page 20 Town of Estes Park, Larimer County, Colorado, February 15, 2022 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 February 2022. Committee: Chair Matt Comstock, Vice-Chair Matthew Heiser, Commissioners Joe Elkins, Howard Hanson, Janene Centurione. Attending: Chair Comstock, Vice-Chair Heiser, Commissioner Elkins, Commissioner Hanson, Director Jessica Garner, Senior Planner Jeff Woeber, Planner II Alex Bergeron, Planning Technician LJ Baur, Recording Secretary Karin Swanlund, Town Attorney Dan Kramer, Town Board Liaison Barbara MacAlpine, Also Attending: Jeremy Call from Logan Simpson Absent: Centurione Chair Comstock called the meeting to order at 1:30 p.m. AGENDA APPROVAL It was moved and seconded (Heiser/Hanson) to approve the agenda. The motion passed 4-0. PUBLIC COMMENT none CONSENT AGENDA APPROVAL It was moved and seconded (Hanson/Elkins) to approve the consent agenda. The motion passed 4-0. ACTION ITEMS 1. Golden Leaf Minor Subdivision In relation to the slope reduction/density calculation discussed at the January 18 meeting, Planner Woeber found examples where staff or the Planning Commission had granted a "minor modification" for the minimum lot area or requested. For zone district standards, staff may grant a modification up to 10% before final approval. Planning Commission may grant up to 25%. This authority is found within EPDC Section 3.7.A.2. where it explicitly identifies zone district standards, including minimum lot area. Lot 1 of Golden Leaf is an 8% modification. Staff requested this subdivision hearing be continued to the March 15, 2022, meeting. It was moved and seconded (Hanson/Heiser) to continue this item to the March 15, 2022 meeting. The motion passed 4-0. DISCUSSION ITEMS Comprehensive Plan consultant from Logan Simpson, Jeremy Call, reviewed the current state of the CompPlan rewrite and the working vision to date with a Powerpoint Presentation. He shared the draft vision and draft guiding principles with the Commission. Hanson questioned the use of "Estes Valley" in the vision statement. The upcoming stage will move the dialog into the "Civic Square" with the development of Community Choices and Priorities Outreach for different ways to accomplish the vision. Considerable discussion was had on one of the main choices: Growth Management Area. Mapping annexations in the past 20 years could help shed light on Page 21 Planning Commission – February 15, 2022 – Page 2 future growth locations. Another critical choice pertains to supporting stronger development regulations and solutions to Hazards and Climate Change regulations. Chair Comstock stated that if we are planning for growth, we need to support the protection of natural resources, and this is our opportunity to set the standard. Vice-Chair Heiser reminded the Commissioners that the Planning Commission will recommend adopting the Comp Plan to the Town Board; therefore, keeping apprised on it is essential. With two Commissioners needing to leave the meeting, it was decided to continue the Community Planning Assistance for Wildfire (CPAW) discussion to March 15. There being no further business, Chair Comstock adjourned the meeting at 3:00 p.m. Matt Comstock, Chair Karin Swanlund, Recording Secretary Page 22 PUBLIC WORKS Memo To: Honorable Mayor Koenig Board of Trustees Through: Town Administrator Machalek From: Vanessa Solesbee, CAPP, CCTM, Parking & Transit Manager Greg Muhonen, PE, Public Works Director Date: April 12, 2022 RE: Resolution 28-22 Intergovernmental Agreement for fiscal year 2022 American Rescue Plan Funding to Support Estes Transit Administration and Operating Expenses with CDOT, PO 491002884, $51,481 - Budgeted (Mark all that apply) PUBLIC HEARING ORDINANCE LAND USE CONTRACT/AGREEMENT RESOLUTION OTHER QUASI-JUDICIAL YES NO Objective: Public Works staff seeks approval of an Intergovernmental Agreement (IGA) with the Colorado Department of Transportation (CDOT) for Federal Transit Administration (FTA) American Rescue Plan (ARP) Act funds to support Estes Transit operating expenses. Present Situation: On March 11, 2021, the ARP Act became law with a budget of $1.9 trillion. This Act includes $30.5 billion in federal funding to support the nation’s public transportation system, which was especially hard hit during the pandemic. The majority of these funds ($26.6 billion) support rural and urban community transit services. CDOT, as the direct recipient of ARP funds, received $378,183,810 to distribute to transit agencies across the State of Colorado. In early 2022, the Town received notification from CDOT that the Town would be receiving an allocation of $51,481 in ARP Act funding. Similar to other stimulus funds received and successfully managed by the Town in 2020 and 2021 – including the Coronavirus Aid, Relief, and Economic Security Act (CARES) and the Coronavirus Response and Relief Supplemental Appropriations Act (CRRSAA) –the purpose of ARP funding is to support the transit industry in recovery from the COVID-19 pandemic. Page 23 Proposal: Public Works staff recommends that the Town Board approve the IGA with CDOT and allow the Town to accept ARP funds in support of the following goals and activities (as outlined in the Grant Agreement): 1.Support transit operations to prevent, prepare for, and respond to COVID-19; 2.Enhance access to health care, education, employment, public services, recreation, social transactions, and other basic needs; 3.Assist in the maintenance, development, improvement, and use of public transportation in our Transportation Planning Region (TPR); 4.Encourage and facilitate the most efficient use of all transportation funds used to provide passenger transportation in our TPR through the coordination of programs and services; and 5.Encourage mobility management, employment-related transportation alternatives, joint development practices, and transit-oriented development. Upon notification of the Town’s ARP allocation, Public Works requested that 100% of the award be allocated for operating expenses (rather than administrative expenses), as that is where staff believes the greatest need exists. Eligible operating expenses include contracted transit services, cleaning supplies, and any other cost related to direct system operation. Advantages: •The funds will be used to directly support Estes Transit operations, allowing for a one-time increase in service days and a continuation of COVID-19 public safety protocols (driver barriers, enhanced cleaning measures). •Accepting these funds sends a strong message to both CDOT and the FTA (key grant funding partners) that the Town values public transportation for residents and visitors. •There is no cost share (local match) requirement. Disadvantages: •Grant administration is required to ensure accurate and complete documentation; however, the Town has resources including the Parking & Transit Manager, Finance Director, and Grant Accountant to ensure compliance. •These are one-time funds; however, staff are planning expenditures accordingly. Action Recommended: Staff recommends approval of Resolution 28-22 Approving an IGA with CDOT for FTA ARP Act funds to support Estes Transit operating expenses. Finance/Resource Impact: •Budget account number: 101-5600-456.22-60 •Project name: ARP Transit Funds •Amount: $51,481 Page 24 •This item was not budgeted in 2022; however, there is no local match required (100% Federal share). These are one-time funds and expenditures will be managed accordingly. There are no ongoing costs. Town staff involved in this program will track time through the Town’s electronic timesheet program for eligible reimbursement, and the Town is allowed to use the ARP funds to pay for eligible contracted transit services (through Rocky Mountain Transit Management). These funds support services from January 1, 2022 through June 30, 2023. Level of Public Interest Public interest in continued transit services is moderate. Interest in this particular resolution for ARP funds to support Estes Transit is likely low. Sample Motion: I move to approve/deny Resolution 28-22. Attachments: 1.28-22 Resolution 2.CDOT Subaward Agreement Page 25 RESOLUTION 28-22 APPROVING AN INTERGOVERNMENTAL AGREEMENT WITH THE COLORADO DEPARTMENT OF TRANSPORTATION FOR FEDERAL TRANSIT ADMINISTRATION AMERICAN RESCUE PLAN FUNDS TO SUPPORT ESTES TRANSIT ADMINISTRATION AND OPERATING EXPENSES FROM JANUARY 1, 2022 TO JUNE 30, 2023 WHEREAS, the Town Board desires to enter into the intergovernmental agreement referenced in the title of this resolution for the purpose of supporting transit administration and operations. 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 , 2022. TOWN OF ESTES PARK Mayor ATTEST: Town Clerk APPROVED AS TO FORM: Town Attorney Attachment 1 Page 26 Contract Number: 22-HTR-ZL-00205/491002884 Page 1 of 44 Version 10/23/19 STATE OF COLORADO SUBAWARD AGREEMENT COVER PAGE State Agency Department of Transportation Agreement Number / PO Number 22-HTR-ZL-00205 / 491002884 Subrecipient TOWN OF ESTES PARK Agreement Performance Beginning Date The Effective Date Initial Agreement Expiration Date June 30, 2023 Subaward Agreement Amount Federal Funds Maximum Amount (100%) Local Funds Local Match Amount (0%) Agreement Total $51,481.00 $0.00 $51,481.00 Fund Expenditure End Date June 30, 2023 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 the American Rescue Plan (ARP) Act, additional assistance funding has been made available through a discretionary process to eligible recipients or subrecipients of Urbanized Area Formula funds (49 U.S.C. 5307) or Rural Area Formula funds (49 U.S.C. 5311) in response to Coronavirus disease 2019 (COVID–19). Eligible expenses are operating costs related to operations, personnel, cleaning, and sanitization combating the spread of pathogens on transit systems, and debt service payments incurred to maintain operations and avoid layoffs and furloughs as a result of COVID -19. 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Attachment 2 Page 27 Contract Number: 22-HTR-ZL-00205/491002884 Page 2 of 44 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: Mayor, Mayor Pro Tem, or Designated Delegate Date: _________________________ STATE OF COLORADO Jared S. Polis, Governor Department of Transportation Shoshana M. Lew, Executive Director __________________________________________ By: Amber Blake, Director Division of Transit and Rail Date: _________________________ SUBRECIPIENT TOWN OF ESTES PARK __________________________________________ __________________________________________ By: Town Clerk Date: _________________________ SUBRECIPIENT TOWN OF ESTES PARK __________________________________________ By: Town Attorney 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 28 Contract Number: 22-HTR-ZL-00205/491002884 Page 3 of 44 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, th e 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 29 Contract Number: 22-HTR-ZL-00205/491002884 Page 4 of 44 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 perfo rmed 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 appointment 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 30 Contract Number: 22-HTR-ZL-00205/491002884 Page 5 of 44 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 storage 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 maiden 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 31 Contract Number: 22-HTR-ZL-00205/491002884 Page 6 of 44 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 purposes 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 compensate 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 a ll 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 32 Contract Number: 22-HTR-ZL-00205/491002884 Page 7 of 44 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 Subrecipient and may make changes to its determination based on this review. The calculation, determination or payment amount that results fro m 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 33 Contract Number: 22-HTR-ZL-00205/491002884 Page 8 of 44 Version 10/23/19 Subrecipient. Any such retroactive payments shall comply with State Fiscal Rules and be ma de 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 Agreement 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 connect ion 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 34 Contract Number: 22-HTR-ZL-00205/491002884 Page 9 of 44 Version 10/23/19 allowed under 2 CFR Part 180 and 31 U.S.C. 3321, which may include, without limi tation, 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 hereunder (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 date 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 Subcontractors 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 35 Contract Number: 22-HTR-ZL-00205/491002884 Page 10 of 44 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 agent, 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 Confid ential 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 perfor m 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 im mediate family or his or her partner, related to the award of, entry into or management or oversight of this Agreement. DocuSign Envelope ID: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 36 Contract Number: 22-HTR-ZL-00205/491002884 Page 11 of 44 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 th e 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 emplo yee’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 e mployment 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 ad vertising 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 37 Contract Number: 22-HTR-ZL-00205/491002884 Page 12 of 44 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 State 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 38 Contract Number: 22-HTR-ZL-00205/491002884 Page 13 of 44 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 ri ght, Subrecipient shall, as approved by the State (i) secure that right to use such Work for the State and Subrecipient; DocuSign Envelope ID: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 39 Contract Number: 22-HTR-ZL-00205/491002884 Page 14 of 44 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 requi red 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 40 Contract Number: 22-HTR-ZL-00205/491002884 Page 15 of 44 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 accordance 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 e lectronic system through which that signatory signed shall be incorporated into this Agreement by reference. DocuSign Envelope ID: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 41 Contract Number: 22-HTR-ZL-00205/491002884 Page 16 of 44 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 been 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 Agreement 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 Agreement. 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 42 Contract Number: 22-HTR-ZL-00205/491002884 Page 17 of 44 Version 10/23/19 Subcontractor, all license, certifications, 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. 1346(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 no t 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 43 Contract Number: 22-HTR-ZL-00205/491002884 Page 18 of 44 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 tangib le 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 44 Contract Number: 22-HTR-ZL-00205/491002884 Page 19 of 44 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 subdivision 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 45 Contract Number: 22-HTR-ZL-00205/491002884 Page 20 of 44 Version 10/23/19 EXHIBIT A, STATEMENT OF WORK AND BUDGET Project Description* 2022 5311 Operating using American Rescue Plan (ARP) Funds Federal Awarding Agency Federal Transit Administration (FTA) Federal Regional Contact Cindy Terwilliger Federal Award Date To Be Determined Project End Date June 30, 2023 FAIN To Be Determined CFDA# 20.509 CFDA Title Formula Grants for Rural Areas Program SAM UEID# KNMKSMB6JNW5 Subrecipient Estes Park, Town of DUNS # 078355450 Contact Name Vanessa Solesbee Vendor # 2000306 Address 170 MacGregor Avenue Estes Park, Colorado 80517-9649 Phone # (970) 577-3957 Email vsolesbee@estes.org Indirect Rate N/A Total Project Budget $51,481.00 Budget WBS** ALI Federal Funds Local Funds Total Operating 21-11-4ARPA.ESTE.600 30.09.08 100% $51,481.00 0% $0.00 $51,481.00 Total Project Amount Encumbered via this Subaward Agreement $51,481.00 *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 Town of Estes Park shall maintain the existence of public transportation services through but not limited to the following goals: 1. Support transit operations to prevent, prepare for, and respond to COVID-19 (see Section D for more details); 2. Enhance access to health care, education, employment, public services, recreation, social transactions, and other basic needs; 3. Assist in the maintenance, development, improvement and use of public transportation in their Transportation Planning Region (TPR); 4. Encourage and facilitate the most efficient use of all transportation funds used to provide passenger transportation in their TPR through the coordination of programs and services; and 5. Encourage mobility management, employment-related transportation alternatives, joint development practices, and transit-oriented development. This funding provides support for the services described above for the performance period from January 1, 2022 to June 30, 2023. DocuSign Envelope ID: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 46 Contract Number: 22-HTR-ZL-00205/491002884 Page 21 of 44 Version 10/23/19 B. Performance Standards 1. Project Milestones Milestone Description Original Estimated Completion Date Submit Reimbursement Request in COTRAMS Monthly Submit Quarterly Reports in COTRAMS Quarterly Submit Final Reimbursement Request in COTRAMS 9/1/2023 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 Subaward Agreement: June 30, 2023. 2. Performance will be reviewed throughout the duration of this Subaward 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. C. Project Budget 1. The Total Project Budget is $51,481.00. CDOT will pay 100% of the eligible, actual operating costs, up to the maximum amount of $51,481.00. CDOT will retain any remaining balance of the federal share of ARP FTA- 5311 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 $51,481.00 (100%) for operating costs, will be encumbered for this Subaward Agreement. 2. No refund or reduction of the amount of Town of Estes Park’s share to be provided will be allowed unless there is at the same time a refund or reduction of the federal share of a proportionate amount. 3. Per the terms of this Subaward Agreement, CDOT shall have no obligation to provide state funds for use o n 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. Allowable Costs 1. Town of Estes Park shall agree to adhere to the provisions for allowable and unallowable costs cited in the following regulations: 2 CFR 200.420 through 200.475; FTA C 5010.1E Chapter VI : Financial Management; Master Agreement, Section 6 “Non-Federal Share;” and 2 CFR 200.102. Other applicable requirements for cost allowability not cited previously, shall also be considered. Town of Estes Park’s operating expenses (net fare revenue) are eligible beginning January 1, 2022. T hose costs include a. Paying administrative leave of operations personnel due to reductions in services or quarantine; paratransit service operating expenses; b. Items having a useful life of less than one year, including personal protective equipment and cleaning supplies; or c. Costs directly related to system operations. Town of Estes Park at a minimum, should consider the following items as operating expenses: fuel, oil, drivers and dispatcher salaries and fringe benefits, and licenses. DocuSign Envelope ID: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 47 Contract Number: 22-HTR-ZL-00205/491002884 Page 22 of 44 Version 10/23/19 2. If Town of Estes Park elects to take administrative assistance, eligible costs may include but are not limited to: general administrative expenses (e.g., salaries of the project director, secretary, and bookkeeper); marketing expenses; insurance premiums or payments to a self-insurance reserve; office supplies; facilities and equipment rental; standard overhead rates; and the costs of administering drug and alcohol testing. Additionally, administrative costs for promoting and coordinating ridesharing are eligible as project adm inistration if the activity is part of a coordinated public transportation program. 3. Eligible expenses under ARP funds cannot also be reimbursed utilizing regular 5311, CARES, or CRRSAA Act funds. 4. No eligible expenses can be charged to this subaward agreement until the previously awarded subaward agreement has been fully expensed in the following order: CARES, CRRSAA, ARPA. For subrecipients who have a previous subaward agreement (or agreements) for multiple funding types (e.g. both operating and administrative funds) that is still active, if one of those funding types has been fully exhausted and there are eligible expenses that can be charged to this subaward agreement, only those expenses related to that funding type are allowed to be charged to this subaward agreement. However, any remaining expenses that would fall under the other category may not be charged to this subaward agreement until that funding type is fully expensed from that particular subaward agreement. E. Reimbursement Eligibility 1. Town of Estes Park must submit invoice(s) monthly via COTRAMS. Reimbursement will apply only to eligible expenses that are incurred within the period of performance (January 1, 2022 – June 30, 2023) of this Subaward Agreement. 2. Reimbursement requests must be within t he limits of Section D., Allowable Costs, of this Subaward Agreement. 3. Town of Estes Park must submit the final invoice within sixty (60) calendar days of June 30, 2023, and submit a Grant Closeout and Liquidation (GCL) Form in COTRAMS within fifteen (15) d ays of issuance of the final reimbursement payment. F. Training In an effort to enhance transit safety, Town of Estes Park and any subrecipients and subcontractors shall make a good faith effort to ensure that appropriate training of agency and contracted personnel is occurring and that personnel are up to date in appropriate certifications. In particular, Town of Estes Park shall ensure that driving personnel are provided professional training in defensive driving and training on the handling of mobility devices and transporting older adults and people with disabilities. G. Restrictions on Lobbying Town of Estes Park is certifying that it complies with 2 CFR 200.450 by entering into this Subaward Agreement. H. 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 agrees that if it receives federal funding from the Federal Emergency Management Agency (FEMA) or through a pass-through entity through the Robert T. Stafford Disaster Relief and Emergency Assistance Act, a different federal agency, or insurance proceeds for any portion of a project activity approved for FTA funding under this Grant Agreement, it will provide written notification to CDOT, and reimburse CDOT for any federal share that duplicates funding pro vided by FEMA, another federal agency, or an insurance company. 3. 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. DocuSign Envelope ID: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 48 Contract Number: 22-HTR-ZL-00205/491002884 Page 23 of 44 Version 10/23/19 4. Record retention shall adhere to the requirements outlined in 2 CFR 200.334 and FTA C 5010.1E. 5. 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). 6. Town of Estes Park must obtain prior CDOT approval, in writing, if FTA funds are intended to be used for payment of a lease or for third-party contracts. 7. If receiving FTA 5311 funding, Town of Estes Park shall advertise its fixed route and/or rural based service as available to the general public and service will not be explicitly limited by trip purpose or client type. 8. If receiving FTA 5311 funding, Town of Estes Park shall maintain and report annually all information required by NTD and any other financial, fleet, or service data. 9. If receiving FTA 5311 or 5339 funding, Town of Estes Park will ensure subcontractors and subrecipients comply with FTA Drug and Alcohol Regulations. 10. Town of Estes Park will comply with the Federal Transit Administration (FTA) Drug and Alcohol Regulations, to include on time submission to FTA’s Drug and Alcohol Management Information System (DAMIS). 11. Town of Estes Park shall ensure that it does not exclude from participation in, deny the benefits of, or subject to discrimination any perso n 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. 12. Town of Estes Park shall seek to ensure non-discrimination in its programs and activities by developin g 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 Party 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 development and public outreach in accordance with FTA Circular 4703.1 “Environmental Justice Policy Guidance for Federal Transit Administration Recipients.” 13. Town of Estes Park will provide transportation services to persons with disabilities in accordance with the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. § 12101 et seq. 14. 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 FT A Subrecipients. 15. 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 other 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. 16. Town of Estes Park shall agree to produce and maintain documentation that supports compliance with the Americans with Disabilities Act to CDOT upon request. 17. Town of Estes Park shall update its Agency Profile in COTRAMS with any alterations to existing constr uction or any new construction in accordance with FTA Circular 4710.1. 18. If applicable, Town of Estes Park will adopt a Transit Asset Management Plan that complies with regulations implementing 49 U.S.C. § 5326(d). 19. 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 49 Contract Number: 22-HTR-ZL-00205/491002884 Page 24 of 44 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: ________________________________________ Amber Blake, Director, Division of Transit & Rail 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 50 Contract Number: 22-HTR-ZL-00205/491002884 Page 25 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 51 Contract Number: 22-HTR-ZL-00205/491002884 Page 26 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 52 Contract Number: 22-HTR-ZL-00205/491002884 Page 27 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 53 Contract Number: 22-HTR-ZL-00205/491002884 Page 28 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 54 Contract Number: 22-HTR-ZL-00205/491002884 Page 29 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 55 Contract Number: 22-HTR-ZL-00205/491002884 Page 30 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 56 Contract Number: 22-HTR-ZL-00205/491002884 Page 31 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 57 Contract Number: 22-HTR-ZL-00205/491002884 Page 32 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 58 Contract Number: 22-HTR-ZL-00205/491002884 Page 33 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 59 Contract Number: 22-HTR-ZL-00205/491002884 Page 34 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 60 Contract Number: 22-HTR-ZL-00205/491002884 Page 35 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 61 Contract Number: 22-HTR-ZL-00205/491002884 Page 36 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 62 Contract Number: 22-HTR-ZL-00205/491002884 Page 37 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 63 Contract Number: 22-HTR-ZL-00205/491002884 Page 38 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 64 Contract Number: 22-HTR-ZL-00205/491002884 Page 39 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 65 Contract Number: 22-HTR-ZL-00205/491002884 Page 40 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 66 Contract Number: 22-HTR-ZL-00205/491002884 Page 41 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 67 Contract Number: 22-HTR-ZL-00205/491002884 Page 42 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 68 Contract Number: 22-HTR-ZL-00205/491002884 Page 43 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 69 Contract Number: 22-HTR-ZL-00205/491002884 Page 44 of 44 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: 46B5A48D-2EE0-4874-8D1A-1FFFB69C6B21 Page 70 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: April 12, 2022 RE: Resolution 29-22 Intergovernmental Agreement for 2022 fiscal year Certifications and Assurances as required by the Federal Transit Administration funding for public transportation with CDOT (Mark all that apply) PUBLIC HEARING ORDINANCE LAND USE CONTRACT/AGREEMENT RESOLUTION OTHER QUASI-JUDICIAL YES NO Objective: Adoption of Resolution 29-22 which approves an Intergovernmental Agreement (IGA) with the Colorado Department of Transportation (CDOT) for Fiscal Year (FY) 2022 Certifications and Assurances required by the Federal Transit Administration (FTA) for recipients of FTA funding for public transportation. Present Situation: Before the FTA may award federal assistance for public transportation in the form of a federal grant, cooperative agreement, loan, line of credit, or loan guarantee, certain pre- award agency (Town) Certifications and Assurances are required. CDOT has requested that each agency (Town) review the FTA’s Certification and Assurance overview and select those categories that will apply to any application for which the agency (Town) might seek or receive federal assistance for from FTA during the fiscal year listed (FY 2022). Because the FTA’s annual Certification and Assurance overview contains various agreements and commitments, it requires Town Board approval as an IGA under Town Policy 1101. Proposal: Public Works staff propose that the Town Board authorize the Parking & Transit Manager to complete and submit the FY 2022 Certifications and Assurances as required by the FTA using CDOT’s online document management portal COTRAMS. Page 71 Advantages: •By completing the requested FY 2022 Certifications and Assurances, the Town will ensure that it remains in compliance with State and Federal requirements for agencies that receive grant funding for public transportation projects. •Completing the requested FY 2022 Certifications and Assurances secures Town eligibility to receive FTA grant funding for reimbursement for several existing projects (e.g., second electric trolley, trolley barn facility) and allows the Town to receive FY 2022 FTA 5311 American Rescue Plan (ARP) funding (in the amount of $51,481), which has already been awarded. Disadvantages: •Accepting and processing Federal grants adds administrative workload to the Public Works staff which redirects staff resources away from other community services. Action Recommended: Staff recommend approval of Resolution 29-22. Finance/Resource Impact: This item does not require funding or resources from the Town. Level of Public Interest Public interest in this item is low. Sample Motion: I move to approve/deny Resolution 29-22. Attachments: 1.29-22 Resolution 2.FY 2022 FTA Certification and Assurances Overview Page 72 RESOLUTION 29-22 APPROVING AN INTERGOVERNMENTAL AGREEMENT WITH THE COLORADO DEPARTMENT OF TRANSPORTATION FOR FISCAL YEAR 2022 CERTIFICATIONS AND ASSURANCES AS REQUIRED BY THE FEDERAL TRANSIT ADMINISTRATION (FTA) FOR RECIPIENTS OF FTA FUNDING FOR PUBLIC TRANSPORTATION WHEREAS, the Town Board desires to enter into the intergovernmental agreement referenced in the title of this resolution for the purpose of receiving FY 2022 grant funding for public transportation in Estes Park from the Federal Transit Administration. 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 , 2022. TOWN OF ESTES PARK Mayor ATTEST: Town Clerk APPROVED AS TO FORM: Town Attorney Attachment 1 Page 73 Certifications and Assurances Fiscal Year 2022 1 Not every provision of every certification will apply to every applicant or award. If a provision of a certification does not apply to the applicant or its award, FTA will not enforce that provision. Refer to FTA’s accompanying Instructions document for more information. Text in italics is guidance to the public. It does not have the force and effect of law, and is not meant to bind the public in any way. It is intended only to provide clarity to the public regarding existing requirements under the law or agency policies. CATEGORY 1. CERTIFICATIONS AND ASSURANCES REQUIRED OF EVERY APPLICANT. All applicants must make the certifications in this category. 1.1. Standard Assurances. The certifications in this subcategory appear as part of the applicant’s registration or annual registration renewal in the System for Award Management (SAM.gov) and on the Office of Management and Budget’s standard form 424B “Assurances—Non-Construction Programs”. This certification has been modified in places to include analogous certifications required by U.S. DOT statutes or regulations. As the duly authorized representative of the applicant, you certify that the applicant: (a) Has the legal authority to apply for Federal assistance and the institutional, managerial and financial capability (including funds sufficient to pay the non-Federal share of project cost) to ensure proper planning, management and completion of the project described in this application. (b)Will give the awarding agency, the Comptroller General of the United States and, if appropriate, the State, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award; and will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives. (c)Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. (d)Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency. (e)Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. §§ 4728– 4763) relating to prescribed standards for merit systems for programs funded under one of the 19 statutes or regulations specified in Appendix A of OPM’s Standards for a Merit System of Personnel Administration (5 CFR 900, Subpart F). Attachment 2 Page 74 Certifications and Assurances Fiscal Year 2022 2 (f) Will comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (1) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color or national origin, as effectuated by U.S. DOT regulation 49 CFR Part 21; (2) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§ 1681– 1683, and 1685–1686), which prohibits discrimination on the basis of sex, as effectuated by U.S. DOT regulation 49 CFR Part 25; (3) Section 5332 of the Federal Transit Law (49 U.S.C. § 5332), which prohibits any person being excluded from participating in, denied a benefit of, or discriminated against under, a project, program, or activity receiving financial assistance from FTA because of race, color, religion, national origin, sex, disability, or age. (4) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which prohibits discrimination on the basis of handicaps, as effectuated by U.S. DOT regulation 49 CFR Part 27; (5) The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101–6107), which prohibits discrimination on the basis of age; (6) The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (7) The comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91–616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (8) Sections 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§ 290 dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (9) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§ 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental, or financing of housing; (10) Any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and, (11) the requirements of any other nondiscrimination statute(s) which may apply to the application. (g) Will comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (“Uniform Act”) (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally-assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. The requirements of the Uniform Act are effectuated by U.S. DOT regulation 49 CFR Part 24. Page 75 Certifications and Assurances Fiscal Year 2022 3 (h) Will comply, as applicable, with provisions of the Hatch Act (5 U.S.C. §§ 1501–1508 and 7324–7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. (i) Will comply, as applicable, with the provisions of the Davis–Bacon Act (40 U.S.C. §§ 276a to 276a-7), the Copeland Act (40 U.S.C. § 276c and 18 U.S.C. § 874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. §§ 327–333), regarding labor standards for federally assisted construction subagreements. (j) Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more. (k) Will comply with environmental standards which may be prescribed pursuant to the following: (1) Institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (2) Notification of violating facilities pursuant to EO 11738; (3) Protection of wetlands pursuant to EO 11990; (4) Evaluation of flood hazards in floodplains in accordance with EO 11988; (5) Assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451 et seq.); (6) Conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§ 7401 et seq.); (7) Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended (P.L. 93-523); and (8) Protection of endangered species under the Endangered Species Act of 1973, as amended (P.L. 93–205). (l) Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. (m) Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. § 470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §§ 469a-1 et seq.). (n) Will comply with P.L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance. (o) Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C. §§ 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded Page 76 Certifications and Assurances Fiscal Year 2022 4 animals held for research, teaching, or other activities supported by this award of assistance. (p) Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. §§ 4801 et seq.) which prohibits the use of lead-based paint in construction or rehabilitation of residence structures. (q) Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and 2 CFR Part 200, Subpart F, “Audit Requirements”, as adopted and implemented by U.S. DOT at 2 CFR Part 1201. (r) Will comply with all applicable requirements of all other Federal laws, executive orders, regulations, and policies governing the program under which it is applying for assistance. (s) Will comply with the requirements of Section 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. § 7104) which prohibits grant award recipients or a subrecipient from: (1) Engaging in severe forms of trafficking in persons during the period of time that the award is in effect; (2) Procuring a commercial sex act during the period of time that the award is in effect; or (3) Using forced labor in the performance of the award or subawards under the award. 1.2. Standard Assurances: Additional Assurances for Construction Projects. This certification appears on the Office of Management and Budget’s standard form 424D “Assurances—Construction Programs” and applies specifically to federally assisted projects for construction. This certification has been modified in places to include analogous certifications required by U.S. DOT statutes or regulations. As the duly authorized representative of the applicant, you certify that the applicant: (a) Will not dispose of, modify the use of, or change the terms of the real property title or other interest in the site and facilities without permission and instructions from the awarding agency; will record the Federal awarding agency directives; and will include a covenant in the title of real property acquired in whole or in part with Federal assistance funds to assure nondiscrimination during the useful life of the project. (b) Will comply with the requirements of the assistance awarding agency with regard to the drafting, review, and approval of construction plans and specifications. (c) Will provide and maintain competent and adequate engineering supervision at the construction site to ensure that the complete work confirms with the approved plans and specifications, and will furnish progressive reports and such other information as may be required by the assistance awarding agency or State. Page 77 Certifications and Assurances Fiscal Year 2022 5 1.3. Procurement. The Uniform Administrative Requirements, 2 CFR § 200.324, allow a recipient to self-certify that its procurement system complies with Federal requirements, in lieu of submitting to certain pre-procurement reviews. The applicant certifies that its procurement system complies with: (a) U.S. DOT regulations, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” 2 CFR Part 1201, which incorporates by reference U.S. OMB regulatory guidance, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” 2 CFR Part 200, particularly 2 CFR §§ 200.317–200.326 “Procurement Standards; (b) Federal laws, regulations, and requirements applicable to FTA procurements; and (c) The latest edition of FTA Circular 4220.1 and other applicable Federal guidance. 1.4. Suspension and Debarment. Pursuant to Executive Order 12549, as implemented at 2 CFR Parts 180 and 1200, prior to entering into a covered transaction with an applicant, FTA must determine whether the applicant is excluded from participating in covered non-procurement transactions. For this purpose, FTA is authorized to collect a certification from each applicant regarding the applicant’s exclusion status. 2 CFR § 180.300. Additionally, each applicant must disclose any information required by 2 CFR § 180.335 about the applicant and the applicant’s principals prior to entering into an award agreement with FTA. This certification serves both purposes. The applicant certifies, to the best of its knowledge and belief, that the applicant and each of its principals: (a) Is not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily or involuntarily excluded from covered transactions by any Federal department or agency; (b) Has not, within the preceding three years, been convicted of or had a civil judgment rendered against him or her for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public or private agreement or transaction; violation of Federal or State antitrust statutes, including those proscribing price fixing between competitors, allocation of customers between competitors, and bid rigging; commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, receiving stolen property, making false claims, or obstruction of justice; or commission of any other offense indicating a lack of business integrity or business honesty; Page 78 Certifications and Assurances Fiscal Year 2022 6 (c) Is not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any offense described in paragraph (b) of this certification; (d) Has not, within the preceding three years, had one or more public transactions (Federal, State, or local) terminated for cause or default. 1.5. Coronavirus Response and Relief Supplemental Appropriations Act, 2021, and CARES Act Funding. The applicant certifies: (a) To the maximum extent possible, funds made available under title IV of division M of the Consolidated Appropriations Act, 2021 (Public Law 116–260), and in title XII of division B of the CARES Act (Public Law 116–136; 134 Stat. 599) shall be directed to payroll and operations of public transit (including payroll and expenses of private providers of public transportation); or (a) The applicant certifies that the applicant has not furloughed any employees. 1.6. American Rescue Plan Act Funding. The applicant certifies: (a) Funds made available by Section 3401(a)(2)(A) of the American Rescue Plan Act of 2021 (Public Law 117-2) shall be directed to payroll and operations of public transportation (including payroll and expenses of private providers of public transportation); or (b) The applicant certifies that the applicant has not furloughed any employees. CATEGORY 2. PUBLIC TRANSPORTATION AGENCY SAFETY PLANS This certification is required of each applicant under the Urbanized Area Formula Grants Program (49 U.S.C. § 5307), each rail operator that is subject to FTA’s state safety oversight programs, and each State that is required to draft and certify a public transportation agency safety plan on behalf of a small public transportation provider pursuant to 49 CFR § 673.11(d). This certification is required by 49 U.S.C. § 5329(d)(1) and 49 CFR § 673.13. This certification does not apply to any applicant that receives financial assistance from FTA exclusively under the Formula Grants for the Enhanced Mobility of Seniors Program (49 U.S.C. § 5310), the Formula Grants for Rural Areas Program (49 U.S.C. § 5311), or combination of these two programs. If the applicant is an operator, the applicant certifies that it has established a public transportation agency safety plan meeting the requirements of 49 U.S.C. § 5329(d)(1) and 49 CFR Part 673. Page 79 Certifications and Assurances Fiscal Year 2022 7 If the applicant is a State, the applicant certifies that: (a) It has drafted a public transportation agency safety plan for each small public transportation provider within the State, unless the small public transportation provider provided notification to the State that it was opting out of the State-drafted plan and drafting its own public transportation agency safety plan; and (b) Each small public transportation provider within the State has a public transportation agency safety plan that has been approved by the provider’s Accountable Executive (as that term is defined at 49 CFR § 673.5) and Board of Directors or Equivalent Authority (as that term is defined at 49 CFR § 673.5). CATEGORY 3. TAX LIABILITY AND FELONY CONVICTIONS. If the applicant is a business association (regardless of for-profit, not for-profit, or tax exempt status), it must make this certification. Federal appropriations acts since at least 2014 have prohibited FTA from using funds to enter into an agreement with any corporation that has unpaid Federal tax liabilities or recent felony convictions without first considering the corporation for debarment. E.g., Consolidated Appropriations Act, 2021, Pub. L. 116-260, div. E, title VII, §§ 744–745. U.S. DOT Order 4200.6 defines a “corporation” as “any private corporation, partnership, trust, joint-stock company, sole proprietorship, or other business association”, and applies the restriction to all tiers of subawards. As prescribed by U.S. DOT Order 4200.6, FTA requires each business association applicant to certify as to its tax and felony status. If the applicant is a private corporation, partnership, trust, joint-stock company, sole proprietorship, or other business association, the applicant certifies that: (a) It has no unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability; and (b) It has not been convicted of a felony criminal violation under any Federal law within the preceding 24 months. CATEGORY 4. LOBBYING. If the applicant will apply for a grant or cooperative agreement exceeding $100,000, or a loan, line of credit, loan guarantee, or loan insurance exceeding $150,000, it must make the following certification and, if applicable, make a disclosure regarding the applicant’s lobbying activities. This certification is required by 49 CFR § 20.110 and app. A to that part. Page 80 Certifications and Assurances Fiscal Year 2022 8 This certification does not apply to an applicant that is an Indian Tribe, Indian organization, or an Indian tribal organization exempt from the requirements of 49 CFR Part 20. 4.1. Certification for Contracts, Grants, Loans, and Cooperative Agreements. The undersigned certifies, to the best of his or her knowledge and belief, that: (a) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (b) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions. (c) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. 4.2. Statement for Loan Guarantees and Loan Insurance. The undersigned states, to the best of his or her knowledge and belief, that: If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions. Page 81 Certifications and Assurances Fiscal Year 2022 9 Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. CATEGORY 5. PRIVATE SECTOR PROTECTIONS. If the applicant will apply for funds that it will use to acquire or operate public transportation facilities or equipment, the applicant must make the following certification regarding protections for the private sector. 5.1. Charter Service Agreement. To enforce the provisions of 49 U.S.C. § 5323(d), FTA’s charter service regulation requires each applicant seeking assistance from FTA for the purpose of acquiring or operating any public transportation equipment or facilities to make the following Charter Service Agreement. 49 CFR § 604.4. The applicant agrees that it, and each of its subrecipients, and third party contractors at any level who use FTA-funded vehicles, may provide charter service using equipment or facilities acquired with Federal assistance authorized under the Federal Transit Laws only in compliance with the regulations set out in 49 CFR Part 604, the terms and conditions of which are incorporated herein by reference. 5.2. School Bus Agreement. To enforce the provisions of 49 U.S.C. § 5323(f), FTA’s school bus regulation requires each applicant seeking assistance from FTA for the purpose of acquiring or operating any public transportation equipment or facilities to make the following agreement regarding the provision of school bus services. 49 CFR § 605.15. (a) If the applicant is not authorized by the FTA Administrator under 49 CFR § 605.11 to engage in school bus operations, the applicant agrees and certifies as follows: (1) The applicant and any operator of project equipment agrees that it will not engage in school bus operations in competition with private school bus operators. (2) The applicant agrees that it will not engage in any practice which constitutes a means of avoiding the requirements of this agreement, part 605 of the Federal Mass Transit Regulations, or section 164(b) of the Federal-Aid Highway Act of 1973 (49 U.S.C. 1602a(b)). (b) If the applicant is authorized or obtains authorization from the FTA Administrator to engage in school bus operations under 49 CFR § 605.11, the applicant agrees as follows: Page 82 Certifications and Assurances Fiscal Year 2022 10 (1) The applicant agrees that neither it nor any operator of project equipment will engage in school bus operations in competition with private school bus operators except as provided herein. (2) The applicant, or any operator of project equipment, agrees to promptly notify the FTA Administrator of any changes in its operations which might jeopardize the continuation of an exemption under § 605.11. (3) The applicant agrees that it will not engage in any practice which constitutes a means of avoiding the requirements of this agreement, part 605 of the Federal Transit Administration regulations or section 164(b) of the Federal-Aid Highway Act of 1973 (49 U.S.C. 1602a(b)). (4) The applicant agrees that the project facilities and equipment shall be used for the provision of mass transportation services within its urban area and that any other use of project facilities and equipment will be incidental to and shall not interfere with the use of such facilities and equipment in mass transportation service to the public. CATEGORY 6. TRANSIT ASSET MANAGEMENT PLAN. If the applicant owns, operates, or manages capital assets used to provide public transportation, the following certification is required by 49 U.S.C. § 5326(a). The applicant certifies that it is in compliance with 49 CFR Part 625. CATEGORY 7. ROLLING STOCK BUY AMERICA REVIEWS AND BUS TESTING. 7.1. Rolling Stock Buy America Reviews. If the applicant will apply for an award to acquire rolling stock for use in revenue service, it must make this certification. This certification is required by 49 CFR § 663.7. The applicant certifies that it will conduct or cause to be conducted the pre-award and post- delivery audits prescribed by 49 CFR Part 663 and will maintain on file the certifications required by Subparts B, C, and D of 49 CFR Part 663. 7.2. Bus Testing. If the applicant will apply for funds for the purchase or lease of any new bus model, or any bus model with a major change in configuration or components, the applicant must make this certification. This certification is required by 49 CFR § 665.7. The applicant certifies that the bus was tested at the Bus Testing Facility and that the bus received a passing test score as required by 49 CFR Part 665. The applicant has received or will Page 83 Certifications and Assurances Fiscal Year 2022 11 receive the appropriate full Bus Testing Report and any applicable partial testing reports before final acceptance of the first vehicle. CATEGORY 8. URBANIZED AREA FORMULA GRANTS PROGRAM. If the applicant will apply for an award under the Urbanized Area Formula Grants Program (49 U.S.C. § 5307), or any other program or award that is subject to the requirements of 49 U.S.C. § 5307, including the Formula Grants for the Enhanced Mobility of Seniors Program (49 U.S.C. § 5310); “flex funds” from infrastructure programs administered by the Federal Highways Administration (see 49 U.S.C. § 5334(i)); projects that will receive an award authorized by the Transportation Infrastructure Finance and Innovation Act (“TIFIA”) (23 U.S.C. §§ 601–609) or State Infrastructure Bank Program (23 U.S.C. § 610) (see 49 U.S.C. § 5323(o)); formula awards or competitive awards to urbanized areas under the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339(a) and (b)); or low or no emission awards to any area under the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339(c)), the applicant must make the following certification. This certification is required by 49 U.S.C. § 5307(c)(1). The applicant certifies that it: (a) Has or will have the legal, financial, and technical capacity to carry out the program of projects (developed pursuant 49 U.S.C. § 5307(b)), including safety and security aspects of the program; (b) Has or will have satisfactory continuing control over the use of equipment and facilities; (c) Will maintain equipment and facilities in accordance with the applicant’s transit asset management plan; (d) Will ensure that, during non-peak hours for transportation using or involving a facility or equipment of a project financed under this section, a fare that is not more than 50 percent of the peak hour fare will be charged for any— (1) Senior; (2) Individual who, because of illness, injury, age, congenital malfunction, or any other incapacity or temporary or permanent disability (including an individual who is a wheelchair user or has semi-ambulatory capability), cannot use a public transportation service or a public transportation facility effectively without special facilities, planning, or design; and (3) Individual presenting a Medicare card issued to that individual under title II or XVIII of the Social Security Act (42 U.S.C. §§ 401 et seq., and 1395 et seq.); (e) In carrying out a procurement under 49 U.S.C. § 5307, will comply with 49 U.S.C. §§ 5323 (general provisions) and 5325 (contract requirements); (f) Has complied with 49 U.S.C. § 5307(b) (program of projects requirements); Page 84 Certifications and Assurances Fiscal Year 2022 12 (g) Has available and will provide the required amounts as provided by 49 U.S.C. § 5307(d) (cost sharing); (h) Will comply with 49 U.S.C. §§ 5303 (metropolitan transportation planning) and 5304 (statewide and nonmetropolitan transportation planning); (i) Has a locally developed process to solicit and consider public comment before raising a fare or carrying out a major reduction of transportation; (j) Either— (1) Will expend for each fiscal year for public transportation security projects, including increased lighting in or adjacent to a public transportation system (including bus stops, subway stations, parking lots, and garages), increased camera surveillance of an area in or adjacent to that system, providing an emergency telephone line to contact law enforcement or security personnel in an area in or adjacent to that system, and any other project intended to increase the security and safety of an existing or planned public transportation system, at least 1 percent of the amount the recipient receives for each fiscal year under 49 U.S.C. § 5336; or (2) Has decided that the expenditure for security projects is not necessary; (k) In the case of an applicant for an urbanized area with a population of not fewer than 200,000 individuals, as determined by the Bureau of the Census, will submit an annual report listing projects carried out in the preceding fiscal year under 49 U.S.C. § 5307 for associated transit improvements as defined in 49 U.S.C. § 5302; and (l) Will comply with 49 U.S.C. § 5329(d) (public transportation agency safety plan). CATEGORY 9. FORMULA GRANTS FOR RURAL AREAS. If the applicant will apply for funds made available to it under the Formula Grants for Rural Areas Program (49 U.S.C. § 5311), it must make this certification. Paragraph (a) of this certification helps FTA make the determinations required by 49 U.S.C. § 5310(b)(2)(C). Paragraph (b) of this certification is required by 49 U.S.C. § 5311(f)(2). Paragraph (c) of this certification, which applies to funds apportioned for the Appalachian Development Public Transportation Assistance Program, is necessary to enforce the conditions of 49 U.S.C. § 5311(c)(2)(D). (a) The applicant certifies that its State program for public transportation service projects, including agreements with private providers for public transportation service— (1) Provides a fair distribution of amounts in the State, including Indian reservations; and (2) Provides the maximum feasible coordination of public transportation service assisted under 49 U.S.C. § 5311 with transportation service assisted by other Federal sources; and Page 85 Certifications and Assurances Fiscal Year 2022 13 (b) If the applicant will in any fiscal year expend less than 15% of the total amount made available to it under 49 U.S.C. § 5311 to carry out a program to develop and support intercity bus transportation, the applicant certifies that it has consulted with affected intercity bus service providers, and the intercity bus service needs of the State are being met adequately. (c) If the applicant will use for a highway project amounts that cannot be used for operating expenses authorized under 49 U.S.C. § 5311(c)(2) (Appalachian Development Public Transportation Assistance Program), the applicant certifies that— (1) It has approved the use in writing only after providing appropriate notice and an opportunity for comment and appeal to affected public transportation providers; and (2) It has determined that otherwise eligible local transit needs are being addressed. CATEGORY 10. FIXED GUIDEWAY CAPITAL INVESTMENT GRANTS AND THE EXPEDITED PROJECT DELIVERY FOR CAPITAL INVESTMENT GRANTS PILOT PROGRAM. If the applicant will apply for an award under any subsection of the Fixed Guideway Capital Investment Program (49 U.S.C. § 5309), including an award made pursuant to the FAST Act’s Expedited Project Delivery for Capital Investment Grants Pilot Program (Pub. L. 114-94, div. A, title III, § 3005(b)), the applicant must make the following certification. This certification is required by 49 U.S.C. § 5309(c)(2) and Pub. L. 114-94, div. A, title III, § 3005(b)(3)(B). The applicant certifies that it: (a) Has or will have the legal, financial, and technical capacity to carry out its Award, including the safety and security aspects of that Award, (b) Has or will have satisfactory continuing control over the use of equipment and facilities acquired or improved under its Award. (c) Will maintain equipment and facilities acquired or improved under its Award in accordance with its transit asset management plan; and (d) Will comply with 49 U.S.C. §§ 5303 (metropolitan transportation planning) and 5304 (statewide and nonmetropolitan transportation planning). CATEGORY 11. GRANTS FOR BUSES AND BUS FACILITIES AND LOW OR NO EMISSION VEHICLE DEPLOYMENT GRANT PROGRAMS. If the applicant is in an urbanized area and will apply for an award under subsection (a) (formula grants), subsection (b) (buses and bus facilities competitive grants), or subsection (c) (low or no emissions grants) of the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339), the applicant must make the certification in Category 8 for Urbanized Area Formula Page 86 Certifications and Assurances Fiscal Year 2022 14 Grants (49 U.S.C. § 5307). This certification is required by 49 U.S.C. § 5339(a)(3), (b)(6), and (c)(3), respectively. If the applicant is in a rural area and will apply for an award under subsection (a) (formula grants), subsection (b) (bus and bus facilities competitive grants), or subsection (c) (low or no emissions grants) of the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339), the applicant must make the certification in Category 9 for Formula Grants for Rural Areas (49 U.S.C. § 5311). This certification is required by 49 U.S.C. § 5339(a)(3), (b)(6), and (c)(3), respectively. Making this certification will incorporate by reference the applicable certifications in Category 8 or Category 9. If the applicant will receive a competitive award under subsection (b) (buses and bus facilities competitive grants), or subsection (c) (low or no emissions grants) of the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339) related to zero emissions vehicles or related infrastructure, it must make the following certification. This certification is required by 49 U.S.C. § 5339(d). The applicant will use 5 percent of grants related to zero emissions vehicles (as defined in subsection (c)(1)) or related infrastructure under subsection (b) or (c) to fund workforce development training as described in section 49 U.S.C. § 5314(b)(2) (including registered apprenticeships and other labor-management training programs) under the recipient’s plan to address the impact of the transition to zero emission vehicles on the applicant’s current workforce; or the applicant certifies a smaller percentage is necessary to carry out that plan. CATEGORY 12. ENHANCED MOBILITY OF SENIORS AND INDIVIDUALS WITH DISABILITIES PROGRAMS. If the applicant will apply for an award under the Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Program (49 U.S.C. § 5310), it must make the certification in Category 8 for Urbanized Area Formula Grants (49 U.S.C. § 5307). This certification is required by 49 U.S.C. § 5310(e)(1). Making this certification will incorporate by reference the certification in Category 8, except that FTA has determined that (d), (f), (i), (j), and (k) of Category 8 do not apply to awards made under 49 U.S.C. § 5310 and will not be enforced. In addition to the certification in Category 8, the applicant must make the following certification that is specific to the Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Program. This certification is required by 49 U.S.C. § 5310(e)(2). The applicant certifies that: Page 87 Certifications and Assurances Fiscal Year 2022 15 (a) The projects selected by the applicant are included in a locally developed, coordinated public transit-human services transportation plan; (b) The plan described in clause (a) was developed and approved through a process that included participation by seniors, individuals with disabilities, representatives of public, private, and nonprofit transportation and human services providers, and other members of the public; (c) To the maximum extent feasible, the services funded under 49 U.S.C. § 5310 will be coordinated with transportation services assisted by other Federal departments and agencies, including any transportation activities carried out by a recipient of a grant from the Department of Health and Human Services; and (d) If the applicant will allocate funds received under 49 U.S.C. § 5310 to subrecipients, it will do so on a fair and equitable basis. CATEGORY 13. STATE OF GOOD REPAIR GRANTS. If the applicant will apply for an award under FTA’s State of Good Repair Grants Program (49 U.S.C. § 5337), it must make the following certification. Because FTA generally does not review the transit asset management plans of public transportation providers, the asset management certification is necessary to enforce the provisions of 49 U.S.C. § 5337(a)(4). The certification with regard to acquiring restricted rail rolling stock is required by 49 U.S.C. § 5323(u)(4). Note that this certification is not limited to the use of Federal funds. The applicant certifies that the projects it will carry out using assistance authorized by the State of Good Repair Grants Program, 49 U.S.C. § 5337, are aligned with the applicant’s most recent transit asset management plan and are identified in the investment and prioritization section of such plan, consistent with the requirements of 49 CFR Part 625. If the applicant operates a rail fixed guideway service, the applicant certifies that, in the fiscal year for which an award is available to the applicant under the State of Good Repair Grants Program, 49 U.S.C. § 5337, the applicant will not award any contract or subcontract for the procurement of rail rolling stock for use in public transportation with a rail rolling stock manufacturer described in 49 U.S.C. § 5323(u)(1). CATEGORY 14. INFRASTRUCTURE FINANCE PROGRAMS. If the applicant will apply for an award for a project that will include assistance under the Transportation Infrastructure Finance and Innovation Act (“TIFIA”) Program (23 U.S.C. §§ 601–609) or the State Infrastructure Banks (“SIB”) Program (23 U.S.C. § 610), it must make the certifications in Category 8 for the Urbanized Area Formula Grants Program, Category 10 for the Fixed Guideway Capital Investment Grants program, and Category 13 for the State of Good Repair Grants program. These certifications are required by 49 U.S.C. § 5323(o). Page 88 Certifications and Assurances Fiscal Year 2022 16 Making this certification will incorporate the certifications in Categories 8, 10, and 13 by reference. CATEGORY 15. ALCOHOL AND CONTROLLED SUBSTANCES TESTING. If the applicant will apply for an award under FTA’s Urbanized Area Formula Grants Program (49 U.S.C. § 5307), Fixed Guideway Capital Investment Program (49 U.S.C. § 5309), Formula Grants for Rural Areas Program (49 U.S.C. § 5311), or Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339) programs, the applicant must make the following certification. The applicant must make this certification on its own behalf and on behalf of its subrecipients and contractors. This certification is required by 49 CFR § 655.83. The applicant certifies that it, its subrecipients, and its contractors are compliant with FTA’s regulation for the Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations, 49 CFR Part 655. CATEGORY 16. RAIL SAFETY TRAINING AND OVERSIGHT. If the applicant is a State with at least one rail fixed guideway system, or is a State Safety Oversight Agency, or operates a rail fixed guideway system, it must make the following certification. The elements of this certification are required by 49 CFR §§ 672.31 and 674.39. The applicant certifies that the rail fixed guideway public transportation system and the State Safety Oversight Agency for the State are: (a) Compliant with the requirements of 49 CFR Part 672, “Public Transportation Safety Certification Training Program”; and (b) Compliant with the requirements of 49 CFR Part 674, “Sate Safety Oversight”. CATEGORY 17. DEMAND RESPONSIVE SERVICE. If the applicant operates demand responsive service and will apply for an award to purchase a non-rail vehicle that is not accessible within the meaning of 49 CFR Part 37, it must make the following certification. This certification is required by 49 CFR § 37.77. The applicant certifies that the service it provides to individuals with disabilities is equivalent to that provided to other persons. A demand responsive system, when viewed in its entirety, is deemed to provide equivalent service if the service available to individuals with disabilities, including individuals who use wheelchairs, is provided in the most integrated setting appropriate to the needs of the individual and is equivalent to the service provided other individuals with respect to the following service characteristics: (a) Response time; Page 89 Certifications and Assurances Fiscal Year 2022 17 (b) Fares; (c) Geographic area of service; (d) Hours and days of service; (e) Restrictions or priorities based on trip purpose; (f) Availability of information and reservation capability; and (g) Any constraints on capacity or service availability. CATEGORY 18. INTEREST AND FINANCING COSTS. If the applicant will pay for interest or other financing costs of a project using assistance awarded under the Urbanized Area Formula Grants Program (49 U.S.C. § 5307), the Fixed Guideway Capital Investment Grants Program (49 U.S.C. § 5309), or any program that must comply with the requirements of 49 U.S.C. § 5307, including the Formula Grants for the Enhanced Mobility of Seniors Program (49 U.S.C. § 5310), “flex funds” from infrastructure programs administered by the Federal Highways Administration (see 49 U.S.C. § 5334(i)), or awards to urbanized areas under the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339), the applicant must make the following certification. This certification is required by 49 U.S.C. §§ 5307(e)(3) and 5309(k)(2)(D). The applicant certifies that: (a) Its application includes the cost of interest earned and payable on bonds issued by the applicant only to the extent proceeds of the bonds were or will be expended in carrying out the project identified in its application; and (b) The applicant has shown or will show reasonable diligence in seeking the most favorable financing terms available to the project at the time of borrowing. CATEGORY 19. CYBERSECURITY CERTIFICATION FOR RAIL ROLLING STOCK AND OPERATIONS. If the applicant operates a rail fixed guideway public transportation system, it must make this certification. This certification is required by 49 U.S.C. § 5323(v), a new subsection added by the National Defense Authorization Act for Fiscal Year 2020, Pub. L. 116-92, § 7613 (Dec. 20, 2019). For information about standards or practices that may apply to a rail fixed guideway public transportation system, visit https://www.nist.gov/cyberframework and https://www.cisa.gov/. The applicant certifies that it has established a process to develop, maintain, and execute a written plan for identifying and reducing cybersecurity risks that complies with the requirements of 49 U.S.C. § 5323(v)(2). Page 90 Certifications and Assurances Fiscal Year 2022 18 CATEGORY 20. PUBLIC TRANSPORTATION ON INDIAN RESERVATIONS FORMULA AND DISCRETIONARY PROGRAM (TRIBAL TRANSIT PROGRAMS). Before FTA may provide Federal assistance for an Award financed under either the Public Transportation on Indian Reservations Formula or Discretionary Program authorized under 49 U.S.C. § 5311(c)(1), as amended by the FAST Act, (Tribal Transit Programs), the applicant must select the Certifications in Category 21, except as FTA determines otherwise in writing. Tribal Transit Program applicants may certify to this Category and Category 1 (Certifications and Assurances Required of Every Applicant) and need not make any other certification, to meet Tribal Transit Program certification requirements. If an applicant will apply for any program in addition to the Tribal Transit Program, additional certifications may be required. FTA has established terms and conditions for Tribal Transit Program grants financed with Federal assistance appropriated or made available under 49 U.S.C. § 5311(c)(1). The applicant certifies that: (a) It has or will have the legal, financial, and technical capacity to carry out its Award, including the safety and security aspects of that Award. (b) It has or will have satisfactory continuing control over the use of its equipment and facilities acquired or improved under its Award. (c) It will maintain its equipment and facilities acquired or improved under its Award, in accordance with its transit asset management plan and consistent with FTA regulations, “Transit Asset Management,” 49 CFR Part 625. Its Award will achieve maximum feasible coordination with transportation service financed by other federal sources. (d) With respect to its procurement system: (1) It will have a procurement system that complies with U.S. DOT regulations, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” 2 CFR Part 1201, which incorporates by reference U.S. OMB regulatory guidance, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” 2 CFR Part 200, for Awards made on or after December 26, 2014, (2) It will have a procurement system that complies with U.S. DOT regulations, “Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments,” 49 CFR Part 18, specifically former 49 CFR § 18.36, for Awards made before December 26, 2014, or (3) It will inform FTA promptly if its procurement system does not comply with either of those U.S. DOT regulations. (e) It will comply with the Certifications, Assurances, and Agreements in: (1) Category 05.1 and 05.2 (Charter Service Agreement and School Bus Agreement), (2) Category 06 (Transit Asset Management Plan), Page 91 Certifications and Assurances Fiscal Year 2022 19 (3) Category 07.1 and 07.2 (Rolling Stock Buy America Reviews and Bus Testing), (4) Category 09 (Formula Grants for Rural Areas), (5) Category 15 (Alcohol and Controlled Substances Testing), and (6) Category 17 (Demand Responsive Service). CATEGORY 21. EMERGENCY RELIEF PROGRAM. An applicant to the Public Transportation Emergency Relief Program, 49 U.S.C. § 5324, must make the following certification. The certification is required by 49 U.S.C. § 5324(f) and must be made before the applicant can receive a grant under the Emergency Relief program. The applicant certifies that the applicant has insurance required under State law for all structures related to the emergency relief program grant application. Page 92 Certifications and Assurances Fiscal Year 2022 1 FEDERAL FISCAL YEAR 2022 CERTIFICATIONS AND ASSURANCES FOR FTA ASSISTANCE PROGRAMS (Signature pages alternate to providing Certifications and Assurances in TrAMS.) Name of Applicant:_____________________________________________________ The Applicant certifies to the applicable provisions of all categories: (check here) _______. Or, The Applicant certifies to the applicable provisions of the categories it has selected: Category Certification 01 Certifications and Assurances Required of Every Applicant 02 Public Transportation Agency Safety Plans 03 Tax Liability and Felony Convictions 04 Lobbying 05 Private Sector Protections 06 Transit Asset Management Plan 07 Rolling Stock Buy America Reviews and Bus Testing 08 Urbanized Area Formula Grants Program 09 Formula Grants for Rural Areas 10 Fixed Guideway Capital Investment Grants and the Expedited Project Delivery for Capital Investment Grants Pilot Program 11 Grants for Buses and Bus Facilities and Low or No Emission Vehicle Deployment Grant Programs Page 93 Certifications and Assurances Fiscal Year 2022 2 12 Enhanced Mobility of Seniors and Individuals with Disabilities Programs 13 State of Good Repair Grants 14 Infrastructure Finance Programs 15 Alcohol and Controlled Substances Testing 16 Rail Safety Training and Oversight 17 Demand Responsive Service 18 Interest and Financing Costs 19 Cybersecurity Certification for Rail Rolling Stock and Operations 20 Tribal Transit Programs 21 Emergency Relief Program CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE AFFIRMATION OF APPLICANT Name of the Applicant: BY SIGNING BELOW, on behalf of the Applicant, I declare that it has duly authorized me to make these Certifications and Assurances and bind its compliance. Thus, it agrees to comply with all federal laws, regulations, and requirements, follow applicable federal guidance, and comply with the Certifications and Assurances as indicated on the foregoing page applicable to each application its Authorized Representative makes to the Federal Transit Administration (FTA) in the federal fiscal year, irrespective of whether the individual that acted on his or her Applicant’s behalf continues to represent it. The Certifications and Assurances the Applicant selects apply to each Award for which it now seeks, or may later seek federal assistance to be awarded by FTA during the federal fiscal year. The Applicant affirms the truthfulness and accuracy of the Certifications and Assurances it has selected in the statements submitted with this document and any other submission made to FTA, and acknowledges that the Program Fraud Civil Remedies Act of 1986, 31 U.S.C. § 3801 et seq., and implementing U.S. DOT regulations, “Program Fraud Civil Remedies,” 49 CFR part 31, apply to any certification, assurance or submission made to FTA. The criminal provisions of 18 U.S.C. § 1001 apply to any certification, assurance, or submission made in connection with a federal public transportation program authorized by 49 U.S.C. chapter 53 or any other statute Page 94 Certifications and Assurances Fiscal Year 2022 3 In signing this document, I declare under penalties of perjury that the foregoing Certifications and Assurances, and any other statements made by me on behalf of the Applicant are true and accurate. Signature Date: Name Authorized Representative of Applicant AFFIRMATION OF APPLICANT’S ATTORNEY For (Name of Applicant): As the undersigned Attorney for the above-named Applicant, I hereby affirm to the Applicant that it has authority under state, local, or tribal government law, as applicable, to make and comply with the Certifications and Assurances as indicated on the foregoing pages. I further affirm that, in my opinion, the Certifications and Assurances have been legally made and constitute legal and binding obligations on it. I further affirm that, to the best of my knowledge, there is no legislation or litigation pending or imminent that might adversely affect the validity of these Certifications and Assurances, or of the performance of its FTA assisted Award. Signature Date: Name Attorney for Applicant Each Applicant for federal assistance to be awarded by FTA must provide an Affirmation of Applicant’s Attorney pertaining to the Applicant’s legal capacity. The Applicant may enter its electronic signature in lieu of the Attorney’s signature within TrAMS, provided the Applicant has on file and uploaded to TrAMS this hard-copy Affirmation, signed by the attorney and dated this federal fiscal year. Page 95 Page 96 UTILITIES Memo To: Honorable Mayor Koenig Board of Trustees Through: Town Administrator Machalek From: Utilities Director Bergsten, Superintendent Eshelman, Coordinator Rusch Finance Director Hudson Date: April 12, 2022 RE: Resolution 30-22 Approving the USDA Loan Resolution for the Prospect Mountain Water Distribution Project (Mark all that apply) PUBLIC HEARING ORDINANCE LAND USE CONTRACT/AGREEMENT RESOLUTION OTHER________ QUASI-JUDICIAL YES NO Objective: To ensure the successful rebuild of the water infrastructure system on Prospect Mountain providing high-quality, reliable drinking water service by accepting the generous USDA construction loan. Present Situation: The Town acting by and through its Water Activity Enterprise, now provides drinking water service to residents on Prospect Mountain with two water treatment plants. The Town took ownership of the Prospect Mountain Water Company (PMWC) in June of 2019 at the customers’ and Bankruptcy Trustee’s request. Our Voluntary Transfer Agreement requires reconstruction of the water system and requires the former PMWC customers to fund the project, including the loan portion of the USDA financing. Town Board approval of the project recurs annually during the budget process. The USDA bond process requires the Town Board to approve the USDA Loan Resolution (RUS BULLETIN 1780-27). Proposal: Staff proposes the continuation of the Prospect Mountain Water project and approval of the USDA Loan Resolution. This is the next USDA required step. Advantages: •The project supports the Town’s mission to provide high-quality, reliable services Page 97 •The favorable financing will help reduce future rate pressure •The funds will support construction to ensure reliable and high-quality water service to the customers Disadvantages: •USDA financing comes with many conditions and processes; however, we are familiar with the program and conditions •The project is expensive; however, their distribution system is past its useful life and the cost will be equitably assigned to the customers of the former Prospect Mountain Water Company •The additional administrative workload is a concern; however, this will be monitored and if required, staff will be augmented with short-term consultant support Action Recommended: Staff recommends approval of Resolution 30-22. Finance/Resource Impact: Town Board has approved the USDA financing, a $6,547,000 grant and a $4,493,000 loan. Level of Public Interest Low for the general public, however high for the former customers of PMWC. Sample Motion: I move for the approval of Loan Resolution 30-22 Attachments: 1. Resolution 30 -22 - Loan Resolution Form 1780-27 Page 98 Position 5 RUS BULLETIN 1780-27 APPROVED OMB. No. 0572-0121 LOAN RESOLUTION (Public Bodies) A RESOLUTION OF THE OF THE AUTHORIZING AND PROVIDING FOR THE INCURRENCE OF INDEBTEDNESS FOR THE PURPOSE OF PROVIDING A PORTION OF THE COST OF ACQUIRING, CONSTRUCTING, ENLARGING, IMPROVING, AND/OR EXTENDING ITS FACILITY TO SERVE AN AREA LAWFULLY WITHIN ITS JURISDICTION TO SERVE. WHEREAS, it is necessary for the _______________________________________________________________________________ (Public Body) (herein after called Association) to raise a portion of the cost of such undertaking by issuance of its bonds in the principal amount of __________________________________________________________________________________________________________ pursuant to the provisions of _______________________________________________________________________________; and WHEREAS, the Association intends to obtain assistance from the United States Department of Agriculture, (herein called the Government) acting under the provisions of the Consolidated Farm and Rural Development Act (7 U.S.C. 1921 et seq.) in the planning. financing, and supervision of such undertaking and the purchasing of bonds lawfully issued, in the event that no other acceptable purchaser for such bonds is found by the Association: NOW THEREFORE, in consideration of the premises the Association hereby resolves: 1.To have prepared on its behalf and to adopt an ordinance or resolution for the issuance of its bonds containing such items and in such forms as are required by State statutes and as are agreeable and acceptable to the Government. 2.To refinance the unpaid balance, in whole or in part, of its bonds upon the request of the Government if at any time it shall appear to the Government that the Association is able to refinance its bonds by obtaining a loan for such purposes from responsible cooperative or private sources at reasonable rates and terms for loans for similar purposes and periods of time as required by section 333(c) of said Consolidated Farm and Rural Development Act (7 U.S.C. 1983(c)). 3.To provide for, execute, and comply with Form RD 400-4, "Assurance Agreement," and Form RD 400-1, "Equal Opportunity Agreement," including an "Equal Opportunity Clause," which clause is to be incorporated in, or attached as a rider to, each construction contract and subcontract involving in excess of $10,000. 4.To indemnify the Government for any payments made or losses suffered by the Government on behalf of the Association. Such indemnification shall be payable from the same source of funds pledged to pay the bonds or any other legal ly per- missible source. 5.That upon default in the payments of any principal and accrued interest on the bonds or in the performance of any covenant or agreement contained herein or in the instruments incident to making or insuring the loan, the Government at its option may (a) declare the entire principal amount then outstanding and accrued interest immediately due and payable, (b) for the account of the Association (payable from the source of funds pledged to pay the bonds or any other legally permissible source), incur and pay reasonable expenses for repair, maintenance, and operation of the facility and such other reasonable expenses as may be necessary to cure the cause of default, and/or (c) take possession of the facility, repair, maintain, and operate or rent it. Default under the provisions of this resolution or any instrument incident to the making or insuring of the loan may be construed by the Government to constitute default under any other instrument held by the Government and executed or assumed by the Association, and default under any such instrument may be construed by the Government to constitute default hereunder. 6.Not to sell, transfer, lease, or otherwise encumber the facility or any portion thereof, or interest therein, or permit others to do so, without the prior written consent of the Government. 7.Not to defease the bonds, or to borrow money, enter into any contractor agreement, or otherwise incur any liabilities for any purpose in connection with the facility (exclusive of normal maintenance) without the prior written consent of the Government if such undertaking would involve the source of funds pledged to pay the bonds. 8.To place the proceeds of the bonds on deposit in an account and in a manner approved by the Government. Funds may be deposited in institutions insured by the State or Federal Government or invested in readily marketable securities backed by the full faith and credit of the United States. Any income from these accounts will be considered as revenues of the system. 9.To comply with all applicable State and Federal laws and regulations and to continually operate and maintain the facility in good condition. 10.To provide for the receipt of adequate revenues to meet the requirements of debt service, operation and maintenance, and the establishment of adequate reserves. Revenue accumulated over and above that needed to pay operating and mainte- nance, debt service and reserves may only be retained or used to make prepayments on the loan. Revenue cannot be used to pay any expenses which are not directly incurred for the facility financed by USDA. No free service or use of the facility will be permitted. According to the Paperwork Reduction Act of 1995, an agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid OMB control number. The valid OMB control number for this information collection is 0572-0121. The time required to complete this information collection is estimated to average 1 hour per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Page 99 -2- 11.To acquire and maintain such insurance and fidelity bond coverage as may be required by the Government. 12.To establish and maintain such books and records relating to the operation of the facility and its financial affairs and to provide for required audit thereof as required by the Government, to provide the Government a copy of each such audit without its request, and to forward to the Government such additional information and reports as it may from time to time require. 13.To provide the Government at all reasonable times access to all books and records relating to the facility and access to the property of the system so that the Government may ascertain that the Association is complying with the provisions hereof and of the instruments incident to the making or insuring of the loan. 14.That if the Government requires that a reserve account be established, disbursements from that account(s) may be used when necessary for payments due on the bond if sufficient funds are not otherwise available and prior approval of the Government is obtained. Also, with the prior written approval of the Government, funds may be withdrawn and used for such things as emergency maintenance, extensions to facilities and replacement of short lived assets. 15.To provide adequate service to all persons within the service area who can feasibly and legally be served and to obtain USDA’s concurrence prior to refusing new or adequate services to such persons. Upon failure to provide services which are feasible and legal, such person shall have a direct right of action against the Association or public body. 16.To comply with the measures identified in the Government's environmental impact analysis for this facility for the pur- pose of avoiding or reducing the adverse environmental impacts of the facility's construction or operation. 17.To accept a grant in an amount not to exceed $ under the terms offered by the Government; that the and of the Association are hereby authorized and empowered to take all action necessary or appropriate in the execution of all written instruments as may be required in regard to or as evidence of such grant; and to operate the facility under the terms offered in said grant agreement(s). The provisions hereof and the provisions of all instruments incident to the making or the insuring of the loan, unless otherwise specifically provided by the terms of such instrument, shall be binding upon the Association as long as the bonds are held or insured by the Government or assignee. The provisions of sections 6 through 17 hereof may be provided for in more specific detail in the bond resolution or ordinance; to the extent that the provisions contained in such bond resolution or ordinance should be found to be inconsistent with the provisions hereof, these provisions shall be construed as controlling between the Association and the Government or assignee. The vote was: Yeas Nays Absent IN WITNESS WHEREOF, the of the has duly adopted this resolution and caused it to be executed by the officers below in duplicate on this , day of (SEAL) By Attest: Title Title Page 100 -3- CERTIFICATION TO BE EXECUTED AT LOAN CLOSING I, the undersigned, as of the hereby certify that the of such Association is composed of members, of whom , constituting a quorum, were present at a meeting thereof duly called and held on the day of ; and that the foregoing resolution was adopted at such meeting by the vote shown above, I further certify that as of , the date of closing of the loan from the United States Department of Agriculture, said resolution remains in effect and has not been rescinded or amended in any way. Dated, this day of Title Page 101 Page 102 COMMUNITY DEVELOPMENT Memo To: Honorable Mayor Koenig Board of Trustees Through: Town Administrator Machalek From: Alex Bergeron, Planner II Date: April 12, 2022 RE: Continuance Request, Ordinance 03-22 Amendments to Chapter 17.66 of the Estes Park Municipal Code Regarding Signs Continuance Discussion Town of Estes Park Community Development staff is requesting a continuance of the Code Amendment to the May 10, 2022 Town Board hearing. This will allow additional time for staff to respond to comments produced during legal review. Page 103 Page 104 TOWN CLERK’S OFFICE Memo To: Honorable Mayor Koenig Board of Trustees Through: Town Administrator Machalek From: Jackie Williamson, Town Clerk Date: April 12, 2022 RE: Appointments to the Family Advisory Board (Mark all that apply) PUBLIC HEARING ORDINANCE LAND USE CONTRACT/AGREEMENT RESOLUTION OTHER Appointments QUASI-JUDICIAL YES NO Objective: To consider the appointments recommended by the interview committee for the Family Advisory Board. Present Situation: The Town Clerk’s Office advertised for vacant positions on the Board. Nine applications were received and the interview committee, consisting of Mayor Pro Tem Martchink and Trustee Younglund, conducted interviews on March 24, 2022, March 25, 2022, March 31, 2022, and April 1, 2022. Proposal: The interview committee recommends the following appointments: •Jessica Moffett, 1-year term expiring April 30, 2023 •Debra Avezzano and Nicole White, 2-year terms expiring April 30, 2024 •Deanna Ferrell, Rut Miller, and Susan Yowell, 3-year terms expiring April 30, 2025 Advantages: Filling the positions would bring the Board to ten members. Disadvantages: If the appointments are not made, the positions would remain vacant until additional applications are received and interviews conducted. Action Recommended: Appoint Jessica Moffett to a 1-year term expiring April 30, 2023, Debra Avezzano and Nicole White to 2-year terms expiring April 30, 2024, and Deanna Ferrell, Rut Miller, and Susan Yowell to 3-year terms expiring April 30, 2025. Page 105 Finance/Resource Impact: None. Level of Public Interest Low. Sample Motion: I move to approve/deny the appointments to the Family Advisory Board of Jessica Moffett to a term expiring April 30, 2023, Debra Avezzano and Nicole White to terms expiring April 30, 2024, and Deanna Ferrell, Rut Miller, and Susan Yowell to terms expiring April 30, 2025. Attachments: None. Page 106 FINANCE DEPT Memo To: Honorable Mayor Koenig Board of Trustees Through: Town Administrator Machalek From: Duane Hudson, Finance Director Date: 4/12/2022 RE: Resolution 31-22 Supplemental Budget Appropriations #1 to the 2022 Budget (Mark all that apply) PUBLIC HEARING ORDINANCE LAND USE CONTRACT/AGREEMENT RESOLUTION OTHER______________ QUASI-JUDICIAL YES NO Objective: To re-appropriate remaining balances for uncompleted 2021 purchase orders to complete the acquisition of goods or services ordered in 2021 but not received by the end of the year and to roll over uncompleted projects underway but not completed in 2021. This amendment also includes some additional appropriations for a few new items identified in 2022. Present Situation: At the end of each year, the Town will have certain purchases, contracts or projects already in progress that were not completed within the fiscal year just ending. 2021 was no exception to this process with several purchase orders and projects still in process at year end. Purchase orders (PO’s) were entered into the 2021 accounting records to encumber the 2021 budgets for specific purchases. At the end of 2021, the balances left on the PO’s need to be rolled over into the 2022 budget as a budget amendment to complete these transactions in the new year. This is a standard accounting process common to governmental entities that use purchase orders. Uncompleted projects that were budgeted in 2021 but were not completed within the year also need to be evaluated. A PO is only pulled on a contract or actual outstanding order from a specific vendor. However, not all of a project’s budget may be contracted and encumbered by a PO at the end of the year. The Town follows the practice of budgeting for the full project up front when possible, requiring the funding to be clearly identified and budgeted before the project can start. The 2022 budget was developed with the expectation that these 2021 projects would be Page 107 completed and the appropriations would be fully utilized in 2021. Since some of the projects were not completed, the unused appropriations fall to fund balance and must be re-appropriated in 2022 to allow completion of the project. Also, any grants associated with these projects must also be rolled over into 2022 to help pay for the project costs. This is a standard accounting process common to governmental entities that perform significant capital projects each year. There are a few additional items that were not included in the original 2022 budget because they were not known at the time. Proposal: Staff is seeking approval of the budget resolution authorizing the proposed budget amendments. Detailed schedules of the proposed amendments are included in the packet materials listing out each purchase order, capital project, other amendment and related grant revenues. The following contains explanations of the more significant items to be rolled forward or added to 2022: Summary of Supplemental Appropriations: General Fund – Increase of $1,518,573 This includes PO’s totaling $263,951 as detailed in the attached exhibit. The General Fund increase also includes $815,404 in project rollovers, the most significant of which are $454,370 for the second electric trolley, $134,764 for the Federal CRRSAA transportation operations program, and $128,000 for remaining unobligated comprehensive plan funding. Related grant revenue rollovers for were included as well. Other amendments increased appropriations by $439,218. This includes $73,000 for the housing needs assessment grant project and $226,764 for the remaining CRRSAA operating funds. These other amendments also include correction of an error in salary projections of $147,485 due to confusion between the new police sergeant position and the new police patrol officer position. Community Reinvestment Fund – Increase of $725,713 This includes PO’s totaling $197,800, including the facility needs study and Community Drive / US 36 intersection project. Project rollovers totaling $1,559,942 include the Community Drive / US 36 intersection and Town Hall AC Unit Replacement projects. The amendment includes a new reduction of $1,032,029 for other changes as detailed in the attached exhibit, including a $1,081,410 reduction to the transfer back to the General Fund to cover the proposed Community Reinvestment Fund amendments. Conservation Trust Fund – Increase of $19,000 This increase includes rollover of $19,000 for the Thumb Open Space parking lot improvements. Larimer County Open Space Fund – Increase of $986,023 This includes PO’s totaling $130,400 with the most significant PO for the Fall River Trail project. Project rollovers totaled $855,623, again primarily for the Fall River Trail project. Page 108 Trails Expansion Fund – Increase of $2,721,244 This includes PO rollovers of $91,631 for the Fall River Trail and Graves Avenue projects. Project rollovers totaled $2,629,613, again primarily for the Fall River Trail and Graves Avenue projects. Parking Services Fund – Increase of $119,079 This includes rollover of the parking service software & equipment project balance of $23,233 and $95,846 for uncompleted PO’s to The Car Park. Street Improvement Fund – Increase of $928,010 This includes PO rollovers of $59,150 for Cleave Street improvements and the Wildfire Development project. Project rollovers totaled $868,860, including $604,200 left on the 3rd Street Major Rehabilitation project. Power and Communications Fund – Increase of $9,715,464 This includes PO rollovers of $1,362,333 including $1,091,993 for broadband contracts and $111,619 for transformer orders. Project rollovers of $8,345,970 include $7,165,442 for broadband buildout, $308,427 for the broadband office remodel, and $405,415 for line rebuilds. Other amendments of $7,161 are included in the Schedule of Budget Changes summary. Water Fund – Increase of $25,828,667 This includes PO rollovers of $988,941 for various items including $594,435 for the Prospect Mountain Water District project engineering & design, $136,717 for the Glacier Creek Water Treatment Plant DOVE project and $140,982 for the Thunder Mountain Pump House project. Project rollovers of $24,836,268 include $9,994,710 for Prospect Mountain Water District project, $10,043,300 for the Glacier Creek Water Treatment Plant DOVE project, $1,169,176 for the Bureau Area Phases 3 & 4 water line projects, and additional amounts for numerous other projects detailed out on the project sheet. Other amendments of $3,458 are included in the Schedule of Budget Changes summary. Fleet Maintenance Fund – Increase of $894,575 A PO in the amount of $41,868 was rolled over on the electric trolley facility and charging station project. Project rollovers of $752,623 included $423,143 to complete the remodel the old water shop into the new fleet shop and $329,480 on the Electric trolley facility and charging station project. The $100,084 in other amendments is for personnel costs to add a new mechanic position. Information Systems Technology Fund - Increase of $17,500 This is to roll over a project to install climate control equipment into the backup computer server room in the event center. Vehicle Replacement Fund – Increase of $538,713 POs totaling $313,946 are currently outstanding on 3 pieces of equipment at the end of 2021. In addition, project rollovers of $192,098 include 6 pieces of equipment. Other amendments include $32,669 for replacement of a Parks utility cart for $15,288 and a transfer of funds to the Community Reinvestment fund for $17,381 in accumulated funding on the truck being traded in for the new stormwater crew vehicle. Page 109 Risk Management Fund – Increase of $10,500 The CIRSA annual insurance renewal came in a little higher than expected so additional funding is proposed to cover the actual premium. Advantages: The Town will be able to operate in compliance with statutory requirements regarding municipal budget law. The Town will also be able to complete the acquisitions and construction projects already underway at the end of the previous year. Disadvantages: None identified. Action Recommended: Staff recommends approval of the 2022 supplemental budget appropriation #1 resolution to roll PO balances forward from 2021, roll over the remaining project budgets as mentioned above, and the other miscellaneous amendments. Finance/Resource Impact: Rollover of uncompleted 2021 purchase orders and project budgets were factored into the development of the 2022 budget. Full use of the existing 2021 PO’s and project budgets were reflected within the ending fund balance projections so rollover of these will not negatively impact the original projected fund balances. General Fund reserves after these amendments are projected at 47.2% of 2022 operating expenditures. Level of Public Interest Limited – no comments received. Sample Motion: I move for the approval/denial of Resolution 31-22 appropriating additional sums of money for the Town of Estes Park for the budget year ended December 31, 2022. Attachments: 1. Resolution 31-22 Supplemental Budget Appropriations #1 to the 2022 Budget 2.Recaps of Proposed Budget Adjustments and Supporting Documents Page 110 RESOLUTION 31-22 SUPPLEMENTAL BUDGET APPROPRIATIONS #1 TO THE 2022 BUDGET WHEREAS, the Board of Trustees of the Town of Estes Park adopted the 2022 annual budget in accordance with the Local Government Budget Law on November 9th, 2021; and WHEREAS, the Town of Estes Park’s accounting system incorporates a purchase order system that encumbers the budget appropriation when commitments for the purchase of goods or services are made; and WHEREAS, encumbrances that were not liquidated in the fiscal year ended December 31, 2021 are to be re-appropriated in the next fiscal year; and WHEREAS, appropriations for certain projects underway that have not been encumbered with a purchase order are to be rolled over to facilitate completion of these projects; and WHEREAS, additional projects and activities have been identified that were not known or included in the original annual budget; and WHEREAS, it is not only required by law, but also necessary to appropriate the revenues provided in the budget to and for the purposes described below, so as not to impair the operations of the Town of Estes Park. NOW, THEREFORE, BE IT RESOLVED BY THE BOARD OF TRUSTEES OF THE TOWN OF ESTES PARK, COLORADO: That the appropriations for 2022 be increased by $44,023,061 for the funds specified below and these amounts are hereby appropriated from additional revenue or available fund balance of each fund. Fund # Fund Name Existing Appropriations Amendment Amended Appropriations 101 General Fund 29,606,231 1,518,573 31,124,804 204 Community Reinvestment Fund 8,253,043 725,713 8,978,756 211 Conservation Trust Fund 15,000 19,000 34,000 220 Larimer County Open Space Fund 109,668 986,023 1,095,691 236 Emergency Response System Fund 65,245 0 65,245 238 Community Center Fund 1,016,766 0 1,016,766 244 Trails Fund 502,050 2,721,244 3,223,294 256 Parking Services Fund 693,976 119,079 813,055 260 Street Fund 2,608,226 928,010 3,536,236 502 Power and Communications Fund 21,989,004 9,715,464 31,704,468 503 Water Fund 7,549,173 25,828,667 33,377,840 606 Medical Insurance Fund 4,145,000 0 4,145,000 Attachment 1 Page 111 Fund # Fund Name Existing Appropriations Amendment Amended Appropriations 612 Fleet Maintenance Fund 598,707 894,575 1,493,282 625 Information Technology Fund 950,624 17,500 968,124 635 Vehicle Replacement Fund 272,000 538,713 810,713 645 Risk Management Fund 385,000 10,500 395,500 Total All Funds 78,759,713 44,023,061 122,782,774 DATED this ______ day of _____________, 2022. TOWN OF ESTES PARK Mayor ATTEST: Town Clerk APPROVED AS TO FORM: Town Attorney Page 112 4/3/2022 4:15 PM BA#1 - 2022 Rollover.xlsb 101 204 211 220 236 238 244 256 260 GENERAL FUND COMMUNITY REINVESTMENT CONSERVATION TRUST LARIMER COUNTY OPEN SPACE EMERGENCY RESPONSE COMMUNITY CENTER TRAILS PARKING SERVICES STREET Revenues $26,889,697 $8,684,800 $34,100 $968,501 $101,777 $1,016,766 $2,507,328 $816,095 $3,490,239 Expenses 31,124,804 8,978,756 34,000 1,095,691 65,245 1,016,766 3,223,294 813,055 3,536,236 Net (4,235,107)(293,956)100 (127,190)36,532 0 (715,966)3,040 (45,997) Estimated Beginning Fund Balance, 1/1/21 16,208,978 294,956 71,789 1,102,889 155,144 11 1,299,667 320,340 2,648,123 Estimated Ending Fund Balance, 12/31/21 $11,973,871 $1,000 $71,889 $975,699 $191,676 $11 $583,701 $323,380 $2,602,126 502 503 606 612 625 635 645 POWER AND COMMUNICATIONS WATER MEDICAL INSURANCE FLEET INFORMATION TECHNOLOGY VEHICLE REPLACEMENT RISK MANAGEMENT TOTAL Revenues $20,509,610 $26,974,272 $3,335,368 $1,032,597 $939,672 $647,057 $395,500 $98,343,379 Expenses 31,704,468 33,377,840 4,145,000 1,493,282 968,124 810,713 395,500 122,782,774 Net (11,194,858)(6,403,568)(809,632)(460,685)(28,452)(163,656)0 (24,439,395) Estimated Beginning Fund Balance, 1/1/21 18,039,718 10,191,245 2,423,651 635,760 627,105 1,426,189 35,865 55,481,430 Estimated Ending Fund Balance, 12/31/21 $6,844,860 $3,787,677 $1,614,019 $175,075 $598,653 $1,262,533 $35,865 $31,042,035 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS RECAP OF BUDGET ALL FUNDS Attachment 1 Page 113 101 204 211 220 236 238 244 256 260 GENERAL FUND COMMUNITY REINVESTMENT CONSERVATION TRUST LARIMER COUNTY OPEN SPACE EMERGENCY RESPONSE COMMUNITY CENTER TRAILS PARKING SERVICES STREET Estimated Ending Fund Balance, 12/31/21 11,973,871 1,000 71,889 975,699 191,676 11 583,701 323,380 2,602,126 Add Back Contingencies included in Budgeted Expenses 250,000 - - - - - - - - Add Back Reserves included in Budgeted Expenses 512,000 - - - - - - - - Estimated Ending Fund Balance, 12/31/21 $12,735,871 $1,000 $71,889 $975,699 $191,676 $11 $583,701 $323,380 $2,602,126 Contingency - Grants *250,000 - - - - - - - - Contingency - Med Ins Claims **- - - - - - - - - Budgeted Reserves *** Pkg Garage Maint Reserve 101-1700-417-37-99 48,000 - - - - - - - - Workforce Housing Reserve 500,000 - - - - - - - - Capital Reserves 1,700,000 - - - - - - - - Nonspendable Prepaid Fund Bal & Restr Donations 192,228 - - - - - - - - Policy 660 Fund Balance Reserves 5,949,527 - - - - - - - - Total Reserved Fund Balance 8,639,755 - - - - - - - - Unreserved Budgetary Fund Balance $4,096,116 $1,000 $71,889 $975,699 $191,676 $11 $583,701 $323,380 $2,602,126 502 503 606 612 625 635 645 POWER AND COMMUNICATIONS WATER MEDICAL INSURANCE FLEET INFORMATION TECHNOLOGY VEHICLE REPLACEMENT RISK MANAGEMENT TOTAL Estimated Ending Fund Balance, 12/31/21 6,844,860 3,787,677 1,614,019 175,075 598,653 1,262,533 35,865 31,042,035 Add Back Contingencies included in Budgeted Expenses - - 750,000 - - - - 1,000,000 Add Back Reserves included in Budgeted Expenses - - - - - - - 512,000 Estimated Ending Fund Balance, 12/31/21 $6,844,860 $3,787,677 $2,364,019 $175,075 $598,653 $1,262,533 $35,865 $32,554,035 Contingency - Grants *- - - - - - - 250,000 Contingency - Med Ins Claims **- - 750,000 - - - - 750,000 Budgeted Reserves *** Pkg Garage Maint Reserve 101-1700-417-37-99 - - - - - - - 48,000 Workforce Housing Reserve - - - - - - - 500,000 Capital Reserves - - - - - - - 1,700,000 Nonspendable Prepaid Fund Bal & Restr Donations - - - - - - - 192,228 Equipment Reserve 1,975,931 641,687 - - - 1,262,533 - 3,880,151 Policy 660 Fund Balance Reserves 4,335,430 1,218,711 1,256,032 149,328 200,000 - - 13,109,028 Total Reserved Fund Balance 6,311,361 1,860,398 1,256,032 149,328 200,000 1,262,533 - 19,429,407 Unreserved Budgetary Fund Balance 533,499 1,927,279 1,107,987 25,747 398,653 - 35,865 13,124,628 * The Grant contingency is intended to be used only to manage unanticipated delays in collection of grant funds. Transfers may be necessary to cover these deferrals in other funds so a contingency budget has been developed for that purpose. It is not anticipated to be used so it is added back for budgetary fund balance reserve comparisons. ** The Medical Insurance Claims contingency is budgeted to cover unanticipated large medical claims at year end. Final claim expenses are not known until Feb or March of the following year, much too late to amend the budget, resulting in the possibility of large claims paid out exceeding budgeted expenditures. This contingency has been developed to avoid appearance of a budgetary violation when year end liabilities dramatically exceed historical amounts. Since this is not anticipated to be used, the reserve is added back for budgetary fund balance reserve comparisons. *** These miscellaneous reserves include current year additions to the reserves budgeted as expenses plus amounts accumulated in prior years. The current year additions are added back to fund balance since these appropriations are budget management accounts and are not intended to be spent in the current budgeted year. TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS RECAP OF BUDGETED RESERVES ALL FUNDS Page 114 Fund/Dept Fund Name 2019 Actual 2020 Actual 2021 Estimated 2022 Approved 2022 Amended 101 GENERAL FUND 22,300,431 18,324,050 27,280,032 26,956,603 26,889,697 204 COMMUNITY REINVESTMENT 3,396,952 1,313,175 8,211,923 7,917,419 8,684,800 211 CONSERVATION TRUST 38,679 33,086 33,300 34,100 34,100 220 LARIMER COUNTY OPEN SPACE 572,500 810,449 2,025,635 477,000 968,501 236 EMERGENCY RESPONSE 373,961 75,881 106,995 101,777 101,777 238 COMMUNITY CENTER 816,967 756,452 968,349 1,016,766 1,016,766 244 TRAILS 999,193 430,886 2,485,919 508,583 2,507,328 256 PARKING SERVICES - 365,882 792,200 816,095 816,095 260 STREET 2,047,078 1,848,541 2,367,037 3,490,239 3,490,239 502 POWER AND COMMUNICATIONS 20,021,167 19,557,503 18,985,875 20,509,610 20,509,610 503 WATER 7,304,661 6,870,008 27,766,472 5,815,272 26,974,272 606 MEDICAL INSURANCE 3,440,602 3,574,638 2,784,228 3,335,368 3,335,368 612 FLEET 521,653 365,239 801,707 706,725 1,032,597 625 INFORMATION TECHNOLOGY 850,161 906,802 976,491 939,672 939,672 635 VEHICLE REPLACEMENT 495,512 478,563 509,386 647,057 647,057 645 RISK MANAGEMENT 271,671 307,631 361,327 385,000 395,500 TOTAL 63,451,188 56,018,786 96,456,876 73,657,286 98,343,379 TOWN OF ESTES PARK 2022 BUDGET SUMMARY OF ANTICIPATED REVENUE ALL FUNDS Page 115 Fund/Dept Fund Name 2019 Actual 2020 Actual 2021 Estimated 2022 Approved 101 GENERAL FUND 101-1100 Legislative 244,133 229,068 305,822 367,569 101-1190 Town Attorney 157,524 270,372 352,634 341,957 101-1200 Judicial 79,935 68,179 72,156 78,015 101-1300 Town Administrator's Office 333,761 346,845 351,526 366,830 101-1400 Town Clerk's Office 389,566 288,595 323,853 352,340 101-1500 Finance 545,941 552,905 605,925 659,199 101-1600 Planning 683,115 565,588 1,143,522 972,023 101-1700 Facilities 1,126,354 1,065,982 1,148,556 1,212,599 101-1800 Employee Benefits 120,124 181,909 298,207 410,058 101-1900 Community Service Grants 1,229,985 1,634,290 1,633,251 1,436,653 101-1945 Workforce Housing - - - 525,000 101-2100 Police - Patrol 3,613,063 3,852,231 4,265,574 4,592,839 101-2155 Police - Communications 1,020,236 960,067 1,076,799 1,238,675 101-2175 Police - Comm Svcs 313,582 369,657 395,188 382,586 101-2185 Police - Code Enforcement 98,345 127,757 136,301 143,752 101-2300 Building Safety Divison 620,963 506,550 558,542 647,837 101-2400 Engineering 314,032 332,073 392,638 423,661 101-2600 Visitor Center 487,629 403,016 515,727 562,019 101-3100 Streets 1,027,385 905,366 1,332,579 1,459,904 101-3175 Stormwater Maintenance - - - 361,067 101-5200 Parks 1,087,145 974,428 1,157,910 1,603,849 101-5500 Special Events 1,834,159 1,369,265 2,123,423 2,261,079 101-5600 Transportation 620,908 887,723 996,482 537,088 101-5690 Parking 179,474 - - - 101-5700 Museum 391,419 395,116 431,371 435,713 101-9000 Transfers 3,199,789 1,345,138 8,287,523 8,233,919 101 GENERAL FUND 19,718,567 17,632,120 27,905,509 29,606,231 204 COMMUNITY REINVESTMENT 4,756,051 1,097,534 8,091,941 8,253,043 211 CONSERVATION TRUST 17,207 7,191 102,966 15,000 220 LARIMER COUNTY OPEN SPACE 421,580 1,574,680 1,958,926 109,668 236 EMERGENCY RESPONSE 363,110 53,655 63,845 65,245 238 COMMUNITY CENTER 793,392 780,025 968,349 1,016,766 244 TRAILS 813,685 325,427 3,038,398 502,050 256 PARKING SERVICES - 322,855 788,350 693,976 260 STREET 4,360,260 1,290,332 2,752,539 2,608,226 502 POWER AND COMMUNICATIONS 20,995,894 26,322,059 39,803,040 21,989,004 503 WATER 5,805,350 7,297,503 32,403,756 7,549,173 606 MEDICAL INSURANCE 2,636,662 3,301,785 3,481,792 4,145,000 612 FLEET 425,540 364,124 1,363,380 598,707 625 INFORMATION TECHNOLOGY 819,474 709,405 885,034 950,624 635 VEHICLE REPLACEMENT 243,430 123,559 450,693 272,000 645 RISK MANAGEMENT 271,627 307,015 345,447 385,000 TOTAL ALL FUNDS 62,441,829 61,509,269 124,403,965 78,759,713 TOWN OF ESTES PARK 2022 BUDGET SUMMARY OF APPROPRIATIONS ALL FUNDS Page 116 Dept # 2019 Actual 2020 Actual 2021 EOY Estimate 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes 14,431,402 13,467,699 16,842,779 17,669,731 - 17,669,731 Licenses and permits 809,296 630,290 699,893 703,950 - 703,950 Intergovernmental 638,151 1,385,415 1,565,074 419,604 1,014,504 1,434,108 Charges for services 756,871 310,959 470,501 655,318 - 655,318 Fines and forfeitures 61,890 37,284 30,000 32,000 - 32,000 Rental income 312,372 293,228 189,569 195,791 - 195,791 Investment income 166,001 110,437 124,000 175,000 - 175,000 Donations 141,447 41,510 43,900 34,800 - 34,800 Miscellaneous 235,563 188,022 147,096 536,879 - 536,879 Transfers-In from other funds 4,747,438 1,858,565 7,167,220 6,533,530 (1,081,410) 5,452,120 Sale of assets - 641 - - - - Financing Proceeds - -- - - - Total Revenues 22,300,431 18,324,050 27,280,032 26,956,603 (66,906) 26,889,697 EXPENDITURES Legislative 1100 244,133 229,068 305,822 367,569 34,066 401,635 Attorney 1190 157,524 270,372 352,634 341,957 2,400 344,357 Judicial 1200 79,935 68,179 72,156 78,015 - 78,015 Town Administrator 1300 333,761 346,845 351,526 366,830 - 366,830 Town Clerk 1400 389,566 288,595 323,853 352,340 32,194 384,534 Finance 1500 545,941 552,905 605,925 659,199 - 659,199 Planning 1600 683,115 565,588 1,143,522 972,023 81,532 1,053,555 Facilities 1700 1,126,354 1,065,982 1,148,556 1,212,599 21,422 1,234,021 Human Resources 1800 120,124 181,909 298,207 410,058 - 410,058 Outside Entity Funding 1900 1,229,985 1,634,290 1,633,251 1,436,653 - 1,436,653 Workforce Housing 1945 - - - 525,000 73,000 598,000 Police - Patrol 2100 3,613,063 3,852,231 4,265,574 4,592,839 168,067 4,760,906 Police - Communications 2155 1,020,236 960,067 1,076,799 1,238,675 - 1,238,675 Police - Comm Svc 2175 313,582 369,657 395,188 382,586 - 382,586 Police - Code Enforcement 2185 98,345 127,757 136,301 143,752 - 143,752 Building Safety 2300 620,963 506,550 558,542 647,837 - 647,837 Engineering 2400 314,032 332,073 392,638 423,661 31,774 455,435 Visitor Services 2600 487,629 403,016 515,727 562,019 55,000 617,019 Streets 3100 1,027,385 905,366 1,332,579 1,459,904 80,245 1,540,149 Stormwater Maintenance 3175 - - - 361,067 15,585 376,652 Parks 5200 1,087,145 974,428 1,157,910 1,603,849 23,704 1,627,553 Senior Center 5304 - - - - - - Special Events 5500 1,834,159 1,369,265 2,123,423 2,261,079 17,716 2,278,795 Transit 5600 620,908 887,723 996,482 537,088 866,868 1,403,956 Parking 5690 179,474 - - - - - Museum 5700 391,419 395,116 431,371 435,713 15,000 450,713 Transfers Out 9000 3,199,789 1,345,138 8,037,523 7,983,919 - 7,983,919 Contingency - Grants 9000 - - 250,000 250,000 - 250,000 Rounding (8) (15) - - - - Total Expenditures 19,718,559 17,632,105 27,905,509 29,606,231 1,518,573 31,124,804 Net Income (Loss)2,581,872 691,945 (625,477) (2,649,628) (1,585,479) (4,235,107) Beginning Fund Balance 8,652,961 11,234,833 11,926,778 16,208,978 16,208,978 16,208,978 Ending Fund Balance 11,234,833 11,926,778 11,301,301 13,559,350 14,623,499 11,973,871 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY BY FUND & DEPARTMENT GENERAL FUND # 101 Page 117 Dept # 2019 Actual 2020 Actual 2021 EOY Estimate 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental 173,516 480,761 750,000 50,000 750,000 800,000 Charges for services - - - - - - Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 38,647 15,867 29,000 500 - 500 Donations - - - - - - Miscellaneous - - - - - - Transfers-In from other funds 3,184,789 816,547 7,432,923 7,848,919 17,381 7,866,300 Sale of assets - - - 18,000 - 18,000 Financing Proceeds - - - - - - Total Revenues 3,396,952 1,313,175 8,211,923 7,917,419 767,381 8,684,800 EXPENDITURES Community Reinvestment Fund 5400 72,264 49,613 126,340 123,500 35,738 159,238 Capital Outlay 5400 941,453 131,093 1,892,409 2,280,628 1,771,385 4,052,013 Debt Service 6700 916,866 916,828 918,001 928,135 - 928,135 Transfers Out 9000 2,825,468 - 5,155,191 4,920,780 (1,081,410) 3,839,370 Rounding - (1) - - - - Total Expenditures 4,756,051 1,097,533 8,091,941 8,253,043 725,713 8,978,756 Net Income (Loss)(1,359,099) 215,642 119,982 (335,624) 41,668 (293,956) Beginning Fund Balance 1,359,099 - 215,642 294,956 294,956 294,956 Ending Fund Balance - 215,642 335,624 (40,668) 336,624 1,000 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY BY FUND & DEPARTMENT COMMUNITY REINVESTMENT FUND # 204 Page 118 Dept # 2019 Actual 2020 Actual 2021 EOY Estimate 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental 35,949 32,536 33,000 34,000 - 34,000 Charges for services - - - - - - Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 970 550 300 100 - 100 Donations - - - - - - Miscellaneous 1,760 - - - - - Transfers-In from other funds - - - - - - Sale of assets - - - - - - Financing Proceeds - - - - - - Total Revenues 38,679 33,086 33,300 34,100 - 34,100 EXPENDITURES Conservation Trust Fund 17,207 7,191 102,966 15,000 19,000 34,000 Rounding - - - - - - Total Expenditures 17,207 7,191 102,966 15,000 19,000 34,000 Net Income (Loss)21,472 25,895 (69,666) 19,100 (19,000) 100 Beginning Fund Balance 70,605 92,077 117,972 71,789 71,789 71,789 Ending Fund Balance 92,077 117,972 48,306 90,889 52,789 71,889 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY BY FUND & DEPARTMENT CONSERVATION TRUST FUND # 211 Page 119 Dept # 2019 Actual 2020 Actual 2021 EOY Estimate 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental 561,059 592,904 1,437,635 475,000 491,501 966,501 Charges for services - - - - - - Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 11,441 7,545 8,000 2,000 - 2,000 Donations - - - - - - Miscellaneous - - - - - - Transfers-In from other funds - 210,000 580,000 - - - Sale of assets - - - - - - Financing Proceeds - - - - - - Total Revenues 572,500 810,449 2,025,635 477,000 491,501 968,501 EXPENDITURES Open Space 4600 82,355 80,770 117,837 109,668 12,080 121,748 Capital Outlay 4600 39,225 1,493,910 1,631,089 - 973,943 973,943 Transfers Out 9000 300,000 - 210,000 - - - Rounding - 1 - - - - Total Expenditures 421,580 1,574,681 1,958,926 109,668 986,023 1,095,691 Net Income (Loss)150,920 (764,232) 66,709 367,332 (494,522) (127,190) Beginning Fund Balance 553,476 704,396 (59,836) 1,102,889 1,102,889 1,102,889 Ending Fund Balance 704,396 (59,836) 6,873 1,470,221 608,367 975,699 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY BY FUND & DEPARTMENT LARIMER COUNTY OPEN SPACE FUND # 220 Page 120 Dept # 2019 Actual 2020 Actual 2021 EOY Estimate 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes 81,697 75,645 96,835 101,677 - 101,677 Licenses and permits - - - - - - Intergovernmental - - 9,960 - - - Charges for services - - - - - - Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 419 236 200 100 - 100 Donations - - - - - - Miscellaneous - - - - - - Transfers-In from other funds - - - - - - Sale of assets - - - - - - Financing Proceeds 291,845 - - - - - Total Revenues 373,961 75,881 106,995 101,777 - 101,777 EXPENDITURES Emergency Response System 3600 7,962 5,112 15,300 16,700 - 16,700 Debt Service 3600 48,544 48,543 48,545 48,545 - 48,545 Capital Outlay 3600 306,604 - - - - - Transfers Out 9000 - - - - - - Rounding 1 3 - - - - Total Expenditures 363,111 53,658 63,845 65,245 - 65,245 Net Income (Loss)10,850 22,223 43,150 36,532 - 36,532 Beginning Fund Balance 79,363 90,213 112,436 155,144 155,144 155,144 Ending Fund Balance 90,213 112,436 155,586 191,676 155,144 191,676 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY BY FUND & DEPARTMENT EMERGENCY RESPONSE SYSTEM FUND # 236 Page 121 Dept # 2019 Actual 2020 Actual 2021 EOY Estimate 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes 816,967 756,447 968,349 1,016,766 - 1,016,766 Licenses and permits - - - - - - Intergovernmental - - - - - - Charges for services - - - - - - Fines and forfeitures - - - - - - Rental income - - - - - - Investment income - 5 - - - - Donations - -- - - - Miscellaneous - -- - - - Transfers-In from other funds - - Sale of assets - - Financing Proceeds - - Total Revenues 816,967 756,452 968,349 1,016,766 - 1,016,766 - EXPENDITURES - Community Center 3800 793,392 780,025 968,349 1,016,766 - 1,016,766 Transfers Out 9000 - - - - - - Rounding - 1 - - - - Total Expenditures 793,392 780,026 968,349 1,016,766 - 1,016,766 Net Income (Loss)23,575 (23,574) - - - - Beginning Fund Balance - 23,575 1 11 11 11 Ending Fund Balance 23,575 1 1 11 11 11 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY BY FUND & DEPARTMENT COMMUNITY CENTER FUND # 238 Page 122 Dept # 2019 Actual 2020 Actual 2021 EOY Estimate 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes 408,484 378,223 484,174 508,383 - 508,383 Licenses and permits - - - - - - Intergovernmental 286,000 50,000 1,998,745 - 1,998,745 1,998,745 Charges for services - - - - - - Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 4,709 2,663 3,000 200 - 200 Donations - - - - - - Miscellaneous - - - - - - Transfers-In from other funds 300,000 - - - - - Sale of assets - - - - - - Financing Proceeds - - - - - - Total Revenues 999,193 430,886 2,485,919 508,583 1,998,745 2,507,328 - EXPENDITURES - Trails Expansion Operations 3400 40,220 32,056 33,431 102,050 - 102,050 Capital Outlay 3400 773,465 293,371 3,004,967 400,000 2,721,244 3,121,244 Transfers Out 9000 - - - - - - Rounding 2 (3) - - - - Total Expenditures 813,687 325,424 3,038,398 502,050 2,721,244 3,223,294 Net Income (Loss)185,506 105,462 (552,479) 6,533 (722,499) (715,966) Beginning Fund Balance 612,721 798,227 903,689 1,299,667 1,299,667 1,299,667 Ending Fund Balance 798,227 903,689 351,210 1,306,200 577,168 583,701 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY BY FUND & DEPARTMENT TRAILS EXPANSION FUND # 244 Page 123 Dept # 2019 Actual 2020 Actual 2021 EOY Estimate 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - 60 4,000 4,000 - 4,000 Intergovernmental - 24,500 - - - - Charges for services - -771,105 795,000 - 795,000 Fines and forfeitures - 22,641 17,095 17,095 - 17,095 Rental income - -- - - - Investment income - -- - - - Donations - -- - - - Miscellaneous - 90 - - - - Transfers-In from other funds - 318,591 - - - - Sale of assets - -- - - - Financing Proceeds - -- - - - Total Revenues - 365,882 792,200 816,095 - 816,095 - EXPENDITURES - Parking Services Operations 5690 - 322,396 638,116 693,976 67,317 761,293 Capital Outlay 5690 - 459 150,234 - 51,762 51,762 Transfers Out 9000 - -- - - - Rounding - (1) - - - - Total Expenditures - 322,854 788,350 693,976 119,079 813,055 Net Income (Loss)- 43,028 3,850 122,119 (119,079) 3,040 Beginning Fund Balance - - 43,028 320,340 320,340 320,340 Ending Fund Balance - 43,028 46,878 442,459 201,261 323,380 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY BY FUND & DEPARTMENT PARKING SERVICES FUND # 256 Page 124 Dept # 2019 Actual 2020 Actual 2021 EOY Estimate 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget - REVENUE - Taxes 1,960,721 1,815,472 2,324,037 2,440,239 - 2,440,239 Licenses and permits - - - - - - Intergovernmental - - - 1,030,000 - 1,030,000 Charges for services - - - - - - Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 86,357 33,069 43,000 20,000 - 20,000 Donations - - - - - - Miscellaneous - - - - - - Transfers-In from other funds - - - - - - Sale of assets - - - - - - Financing Proceeds - - - - - - Total Revenues 2,047,078 1,848,541 2,367,037 3,490,239 - 3,490,239 - EXPENDITURES - Street Improvement Operations 2000 588,488 581,815 709,415 791,226 - 791,226 Capital Outlay 2000 3,771,772 708,517 2,043,124 1,817,000 928,010 2,745,010 Transfers Out 9000 - - - - - - Rounding (2) 1 - - - - Total Expenditures 4,360,258 1,290,333 2,752,539 2,608,226 928,010 3,536,236 Net Income (Loss)(2,313,180) 558,208 (385,502) 882,013 (928,010) (45,997) Beginning Fund Balance 3,557,952 1,244,772 1,802,980 2,648,123 2,648,123 2,648,123 Ending Fund Balance 1,244,772 1,802,980 1,417,478 3,530,136 1,720,113 2,602,126 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY BY FUND & DEPARTMENT STREET IMPROVEMENT FUND # 260 Page 125 Dept # 2019 Actual 2020 Actual 2021 EOY Estimate 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental 6,548 (759) - - - - Charges for services 19,072,995 19,045,257 18,638,875 20,289,610 - 20,289,610 Fines and forfeitures - - - - - - Rental income 2,745 5,400 - - - - Investment income 316,767 311,020 241,000 122,000 - 122,000 Donations 487,398 - 10,000 - - - Miscellaneous 144,708 196,585 96,000 98,000 - 98,000 Transfers-In from other funds - - - - - - Sale of assets (9,994) - - - - - Financing Proceeds - - - - - - Total Revenues 20,021,167 19,557,503 18,985,875 20,509,610 - 20,509,610 EXPENDITURES Source of Supply 6100 8,142,386 7,718,129 8,218,997 8,168,860 - 8,168,860 Distribution 6301 3,430,531 3,898,088 4,599,569 4,725,610 32,820 4,758,430 Customer Accounts 6401 421,817 495,490 568,102 566,354 4,161 570,515 Admin & General 6501 2,164,940 2,099,898 2,410,730 2,557,168 6,633 2,563,801 Debt Service 6700 489,968 974,346 1,828,726 1,792,940 - 1,792,940 Broadband 6900 442,826 675,547 763,695 1,323,728 61,361 1,385,089 Capital Outlay 7001 4,130,498 8,740,532 19,743,192 1,366,344 9,610,489 10,976,833 Transfers Out 6600 1,772,928 1,720,029 1,670,029 1,488,000 - 1,488,000 Rounding (1) 1 - - - - Total Expenditures 20,995,893 26,322,060 39,803,040 21,989,004 9,715,464 31,704,468 Net Income (Loss)(974,726) (6,764,557) (20,817,165) (1,479,394) (9,715,464) (11,194,858) Beginning Fund Balance 8,969,681 37,175,241 28,716,335 18,039,718 18,039,718 18,039,718 Ending Fund Balance 7,994,955 30,410,684 7,899,170 16,560,324 8,324,254 6,844,860 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY BY FUND & DEPARTMENT POWER AND COMMUNICATIONS FUND # 502 Page 126 Dept # 2019 Actual 2020 Actual 2021 EOY Estimate 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental 348,087 97,309 8,916,000 - 8,991,000 8,991,000 Charges for services 6,636,801 6,584,836 6,206,272 5,580,272 - 5,580,272 Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 221,134 136,974 166,000 100,000 - 100,000 Donations - - - - - - Miscellaneous 103,852 50,889 45,200 - - - Transfers-In from other funds - - - - - - Sale of assets (5,213) - 265,000 135,000 - 135,000 Financing Proceeds - - 12,168,000 - 12,168,000 12,168,000 Total Revenues 7,304,661 6,870,008 27,766,472 5,815,272 21,159,000 26,974,272 EXPENDITURES Source of Supply 6100 105,523 146,014 123,000 120,000 - 120,000 Purification 6200 880,041 894,748 1,138,853 1,114,130 6,519 1,120,649 Distribution 6300 1,490,360 1,583,472 1,967,471 1,970,802 - 1,970,802 Customer Accounts 6400 245,114 293,507 373,115 408,891 1,958 410,849 Admin & General 6500 764,451 816,504 956,338 1,261,022 4,425 1,265,447 Debt Service 6700 104,892 127,513 391,836 487,181 - 487,181 Capital Outlay 7000 2,065,927 3,297,209 27,321,143 2,062,397 25,815,765 27,878,162 Transfers Out 6600 149,042 138,536 132,000 124,750 - 124,750 Rounding 1 (3) - - - - Total Expenditures 5,805,351 7,297,500 32,403,756 7,549,173 25,828,667 33,377,840 Net Income (Loss)1,499,310 (427,492) (4,637,284) (1,733,901) (4,669,667) (6,403,568) Beginning Fund Balance 8,070,619 9,354,291 9,123,115 10,191,245 10,191,245 10,191,245 Ending Fund Balance 9,569,929 8,926,799 4,485,831 8,457,344 5,521,578 3,787,677 SUMMARY BY FUND & DEPARTMENT WATER FUND # 503 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS Page 127 Dept # 2019 Actual 2020 Actual 2021 EOY Estimate 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental - - - - - - Charges for services 944,889 887,817 100,000 250,000 - 250,000 Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 35,806 22,987 27,000 20,000 - 20,000 Donations - - - - - - Miscellaneous 2,459,907 2,663,834 2,657,228 3,065,368 - 3,065,368 Transfers-In from other funds - - - - - - Sale of assets - - - - - - Financing Proceeds - - - - - - Total Revenues 3,440,602 3,574,638 2,784,228 3,335,368 - 3,335,368 EXPENDITURES Medical Insurance Fund Operations 4200 2,636,662 3,301,785 2,731,792 3,395,000 - 3,395,000 Contingency - Med Ins Claims 4200 - - 750,000 750,000 - 750,000 Rounding (1) - - - - - Total Expenditures 2,636,661 3,301,785 3,481,792 4,145,000 - 4,145,000 Net Income (Loss)803,941 272,853 (697,564) (809,632) - (809,632) Beginning Fund Balance 1,228,803 2,032,744 2,305,597 2,423,651 2,423,651 2,423,651 Ending Fund Balance 2,032,744 2,305,597 1,608,033 1,614,019 2,423,651 1,614,019 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY BY FUND & DEPARTMENT MEDICAL INSURANCE FUND # 606 Page 128 Dept # 2019 Actual 2020 Actual 2021 EOY Estimate 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental 10 - 300,800 - 300,800 300,800 Charges for services 505,992 361,131 469,307 567,725 25,072 592,797 Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 7,321 4,138 7,000 4,000 - 4,000 Donations - - - - - - Miscellaneous 580 - - - - - Transfers-In from other funds - - 24,600 135,000 - 135,000 Sale of assets 7,750 (30) - - - - Financing Proceeds - - - - - - Total Revenues 521,653 365,239 801,707 706,725 325,872 1,032,597 EXPENDITURES Fleet Maintenance 4300 409,863 364,124 450,380 463,707 100,084 563,791 Capital Outlay 7000 15,677 - 913,000 135,000 794,491 929,491 Rounding (1) - - - - - Total Expenditures 425,539 364,124 1,363,380 598,707 894,575 1,493,282 Net Income (Loss)96,114 1,115 (561,673) 108,018 (568,703) (460,685) Beginning Fund Balance 477,135 573,249 574,364 635,760 635,760 635,760 Ending Fund Balance 573,249 574,364 12,691 743,778 67,057 175,075 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY BY FUND & DEPARTMENT FLEET MAINTENANCE FUND # 612 Page 129 Dept # 2019 Actual 2020 Actual 2021 EOY Estimate 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental (7) 5,000 20,740 - - - Charges for services 841,570 896,096 950,751 935,672 - 935,672 Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 6,751 3,815 5,000 4,000 - 4,000 Donations - - - - - - Miscellaneous 1,847 1,891 - - - - Transfers-In from other funds - - - - - - Sale of assets - - - - - - Financing Proceeds - - - - - - Total Revenues 850,161 906,802 976,491 939,672 - 939,672 - EXPENDITURES - IT Operations 2500 739,274 654,012 799,934 861,624 - 861,624 Capital Outlay 2500 80,200 55,393 85,100 89,000 17,500 106,500 Transfers Out 9000 - - - - - - Rounding (1) - - - - - Total Expenditures 819,473 709,405 885,034 950,624 17,500 968,124 Net Income (Loss)30,688 197,397 91,457 (10,952) (17,500) (28,452) Beginning Fund Balance 276,297 306,985 504,382 627,105 627,105 627,105 Ending Fund Balance 306,985 504,382 595,839 616,153 609,605 598,653 BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY BY FUND & DEPARTMENT INFORMATION SYSTEMS TECHNOLOGY FUND # 625 TOWN OF ESTES PARK Page 130 Dept # 2019 Actual 2020 Actual 2021 EOY Estimate 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental - - - - - - Charges for services 455,898 478,139 508,736 646,557 - 646,557 Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 857 484 650 500 - 500 Donations - - - - - - Miscellaneous - - - - - - Transfers-In from other funds 15,000 - - - - - Sale of assets 23,757 (60) - - - - Financing Proceeds - - - - - - Total Revenues 495,512 478,563 509,386 647,057 - 647,057 EXPENDITURES Fleet Replacement Operations 3500 - - - - - - Capital Outlay 7000 243,430 123,559 450,693 272,000 521,332 793,332 Transfers Out 9000 - - - - 17,381 17,381 Rounding - 2 - - - - Total Expenditures 243,430 123,561 450,693 272,000 538,713 810,713 Net Income (Loss)252,082 355,002 58,693 375,057 (538,713) (163,656) Beginning Fund Balance 319,092 571,174 926,176 1,426,189 1,426,189 1,426,189 Ending Fund Balance 571,174 926,176 984,869 1,801,246 887,476 1,262,533 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY BY FUND & DEPARTMENT VEHICLE REPLACEMENT FUND # 635 Page 131 Dept # 2019 Actual 2020 Actual 2021 EOY Estimate 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget - REVENUE - Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental - - - - - - Charges for services 271,616 307,344 361,327 385,000 10,500 395,500 Fines and forfeitures - - - - - - Rental income - - - - - - Investment income - - - - - - Donations - - - - - - Miscellaneous 55 287 - - - - Transfers-In from other funds - - - - - - Sale of assets - - - - - - Financing Proceeds - - - - - - Total Revenues 271,671 307,631 361,327 385,000 10,500 395,500 EXPENDITURES Risk Management Operations 4100 271,627 307,015 345,447 385,000 10,500 395,500 Rounding - - - - - - Total Expenditures 271,627 307,015 345,447 385,000 10,500 395,500 Net Income (Loss)44 616 15,880 - - - Beginning Fund Balance - 44 660 35,865 35,865 35,865 Ending Fund Balance 44 660 16,540 35,865 35,865 35,865 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY BY FUND & DEPARTMENT RISK MANAGEMENT FUND # 645 Page 132 General Fund Community Reinvestment Fund Total Total Revenues 26,889,697 7,917,419 34,807,116 Less: Capital Grants (One time funds)- - - Transfers between GF & CRF 3,839,370 7,848,919 11,688,289 3,839,370 7,848,919 11,688,289 Net Ongoing Revenues 23,050,327 68,500 23,118,827 Total Expenditures 31,124,804 8,978,756 40,103,560 Less: Transfers between GF & CRF 7,848,919 3,839,370 11,688,289 Less Significant One Time Expenditures: Parking Garage Maint Reserve 101-1700-417-37-99 12,000 - 12,000 Workforce Housing Reserve 101-1945-419-37-98 500,000 - 500,000 Conting-Grants 101-1900-419-60-02 250,000 - 250,000 US 34 Corridor Study - 100,000 100,000 Capital 565,151 4,052,013 4,617,164 One Time Transfer to Fleet for final Water Shop Pmt 135,000 - 135,000 1,462,151 4,152,013 5,614,164 Net Ongoing Expenditures 21,813,734 987,373 22,801,107 Net Ongoing Rev vs Exp 1,236,593 (918,873) 317,720 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS GENERAL & COMMUNITY REINVESTMENT FUNDS ONGOING REVENUES VS ONGONG EXPENDITURES Page 133 General Fund Comm Reinvestment Fund Total Fund Balance 11,973,871$ 1,000$ 11,974,871$ Reserves to Exclude Parking Garage Maintenance Reserve 48,000 48,000 Workforce Housing Reserve 500,000 500,000 Prepaids and Restricted Donations Estimate 192,228 192,228 740,228 - 740,228 Fund Balance Subject to Reserve Calculation 11,233,643 1,000 11,234,643 Total Expenditures 31,124,804 8,978,756 40,103,560 Less Transfers Out Between GF & CRF 7,848,919 3,839,370 11,688,289 Net Expenditures 23,275,885 5,139,386 28,415,271 Less Capital Expenditures General Fund 565,151 - 565,151 Community Reinvestment Fund - 4,052,013 4,052,013 Total Capital to Exclude 565,151 4,052,013 4,617,164 Total Expenditures Subject to Reserve Calculation 22,710,734$ 1,087,373$ 23,798,107$ Projected Reserve Ratio as of 12-31-2022 49.5%0.1%47.2% TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS GENERAL & COMMUNITY REINVESTMENT FUNDS FUND BALANCE RESERVE RATIO Page 134 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SCHEDULE OF PURCHASE ORDERS ALL FUNDS Account #PO #Date Vendor #Vendor Name Project Encumb Outstanding 101-1600-416.22-13 038239 7/26/2021 0005617 LOGAN SIMPSON DESIGN INC COMPPL 98,666.37 101-1600-416.22-13 038429 12/21/2021 0005617 LOGAN SIMPSON DESIGN INC COMPPL 4,866.00 101-1700-417.25-02 038158 6/15/2021 0001599 FAIRBANKS EXCAVATING, INC.3,000.00 101-1700-417.25-02 038296 9/8/2021 0001955 COLORADO DOORWAYS, INC.5,832.00 101-1700-417.28-06 038414 12/13/2021 0003703 REVOLUTION MATERIALS LLC 9,590.00 101-2100-421.26-11 038057 4/6/2021 0006153 SALT LAKE WHOLESALE SPORTS 5,351.00 101-2100-421.27-01 038407 12/6/2021 0006500 AARDVARK 3,719.00 101-2400-424.22-02 037368 1/1/2021 0006304 GALLOWAY & COMPANY INC 14,274.15 101-2400-424.22-02 038425 12/20/2021 0006032 TRAIL RIDGE CONSULTING ENGINEERS 8,000.00 101-2400-424.22-02 038427 12/21/2021 0002522 CORNERSTONE ENGINEERING AND 9,500.00 101-3100-431.25-20 038422 12/15/2021 0000710 IDEAL FENCING CORPORATION 16,000.00 101-3100-431.25-20 038437 12/30/2021 0000461 4 RIVERS EQUIPMENT LLC 10,000.00 101-3100-431.25-24 037365 1/1/2021 0000200 COLORADO PRECAST CONCRETE 4,948.47 101-3100-431.25-24 037366 1/1/2021 0003601 HDR ENGINEERING SERVICES, INC.4,948.00 101-3100-431.25-24 038421 12/15/2021 0004583 MARTIN MARIETTA MATERIALS INC 11,837.00 101-5200-452.25-03 038434 12/28/2021 0006465 NATURAL STRUCTURES 17,704.00 101-5200-452.25-03 038436 12/28/2021 0000660 ATKINS CONSTRUCTION AND LANDSCAPE 6,000.00 101-5500-455.25-02 038389 11/11/2021 0006497 RTC-REGIONAL TOWN CENTRE LLC 17,715.53 101-5700-457.32-22 038331 9/27/2021 0002046 APEX ROOFING COMPANY CBNRF 12,000.00 TOTAL GENERAL FUND PURCHASE ORDERS ROLLED OVER 263,951.52 204-5400-544.22-02 038211 7/16/2021 0002924 STEWART ENVIRONMENTAL CONSULTANTS 13,748.00 204-5400-544.22-98 037214 1/1/2021 0006262 STUDIO ARCHITECTURE LLC *SPACE 21,990.18 204-5400-544.35-51 036511 1/1/2021 0002522 CORNERSTONE ENGINEERING AND COMMDR 119,424.00 204-5400-544.35-51 036940 1/1/2021 0006059 MTJ ENGINEERING LLC COMMDR 29,905.00 204-5400-544.35-63 037528 1/1/2021 0006325 E. HOLDINGS INC WAYFND 12,733.40 TOTAL COMMUNITY REINVESTMENT FUND PURCHASE ORDERS ROLLED OVER 197,800.58 220-4600-462.35-61 038428 12/21/2021 0006505 INTEGRATED DESIGN SOLUTIONS LLC ROCK 16,610.62 220-4600-462.36-60 037551 1/1/2021 0006339 JAG'S ENTERPRISES INC FRTR2A 113,789.20 TOTAL OPEN SPACE FUND PURCHASE ORDERS ROLLED OVER 130,399.82 Page 135 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SCHEDULE OF PURCHASE ORDERS ALL FUNDS Account #PO #Date Vendor #Vendor Name Project Encumb Outstanding 244-3400-434.35-60 037978 2/4/2021 0006422 SANDERSON STEWART GRAVES 8,828.12 244-3400-434.36-60 038393 11/16/2021 0005538 OTAK INC FRTRL 82,802.81 TOTAL TRAILS EXPANSION FUND PURCHASE ORDERS ROLLED OVER 91,630.93 256-5690-569.22-13 038112 5/11/2021 0006324 THE CAR PARK LLC 67,316.76 256-5690-569.33-33 038112 5/11/2021 0006324 THE CAR PARK LLC PKSOFT 28,528.50 TOTAL PARKING SERVICES FUND PURCHASE ORDERS ROLLED OVER 95,845.26 260-2000-420.35-51 037433 1/1/2021 0005896 KIMLEY-HORN & ASSOCIATES INC CLEAVE 48,150.00 260-2000-420.35-51 038431 12/27/2021 0006506 WILDFIRE DEVELOPMENT LLC WLDFIR 11,000.00 TOTAL STREET IMPROVEMENT FUND PURCHASE ORDERS ROLLED OVER 59,150.00 502-6301-540.25-07 038001 2/19/2021 0000867 SOLOMON CORPORATION 28,939.00 502-6301-540.25-30 037931 1/13/2021 0000586 FLASH ELECTRIC 3,881.00 502-6501-560.25-01 038415 12/13/2021 0002093 ITRON 3,633.03 502-6900-669.22-13 038034 3/15/2021 0001412 CITY OF FORT COLLINS TBNBND 45,016.49 502-6900-669.22-98 037855 1/1/2021 0005332 NEO FIBER INC TBNBND 1,418.75 502-6900-669.28-30 038033 3/15/2021 0001412 CITY OF FORT COLLINS TBNBND 14,925.72 502-7001-580.32-21 037724 1/1/2021 0005769 INTECONNECT INC TBNBND 1,947.00 502-7001-580.33-35 038195 7/9/2021 0000828 WESTERN UNITED ELECTRIC SUPPLY TRANSF 73,878.32 502-7001-580.33-35 038288 9/1/2021 0000828 WESTERN UNITED ELECTRIC SUPPLY TRANSF 8,340.00 502-7001-580.33-35 038372 11/2/2021 0000828 WESTERN UNITED ELECTRIC SUPPLY TRANSF 29,401.04 502-7001-580.35-57 038360 10/28/2021 0004374 BORDER STATES ELECTRIC LRBLDS 3,785.84 502-7001-580.35-57 038363 10/28/2021 0000829 WESCO DISTRIBUTION INC LRBLDS 16,391.00 502-7001-580.35-59 038413 12/9/2021 0000828 WESTERN UNITED ELECTRIC SUPPLY WOKEXT 37,035.51 502-7001-580.35-66 037224 1/1/2021 0006253 ALPHA TECHNOLOGIES SERVICES INC TBNBND 13,518.22 502-7001-580.35-66 037343 1/1/2021 0006193 NOKIA OF AMERICA CORP TBNBND 499,578.82 502-7001-580.35-66 037826 1/1/2021 0006312 SPLASH FIBER LLC TBNBND 78,030.00 502-7001-580.35-66 037992 2/17/2021 0005929 FULLSTACK SMTFBR 3,693.74 502-7001-580.35-66 037993 2/17/2021 0005814 BACKBONE FIBER SYSTEMS LLC TBNBND 65,504.86 Page 136 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SCHEDULE OF PURCHASE ORDERS ALL FUNDS Account #PO #Date Vendor #Vendor Name Project Encumb Outstanding 502-7001-580.35-66 038229 7/22/2021 0000347 GRAYBAR ELECTRIC COMPANY INC TBNBND 41,492.90 502-7001-580.35-66 038261 8/11/2021 0006251 GE CONSTRUCTION INC TBNBND 372,067.29 502-7001-580.35-66 038276 8/25/2021 0000829 WESCO DISTRIBUTION INC TBNBND 3,531.00 502-7001-580.35-66 038278 8/25/2021 0004374 BORDER STATES ELECTRIC TBNBND 4,380.00 502-7001-580.35-66 038280 8/26/2021 0000347 GRAYBAR ELECTRIC COMPANY INC TBNBND 1,621.10 502-7001-580.35-66 038316 9/17/2021 0004374 BORDER STATES ELECTRIC TBNBND 2,582.50 502-7001-580.35-66 038342 10/7/2021 0000829 WESCO DISTRIBUTION INC TBNBND 7,740.00 TOTAL POWER AND COMMUNICATION FUND PURCHASE ORDERS ROLLED OVER 1,362,333.13 503-6200-530.25-08 038386 11/9/2021 0004102 SUEZ ANALYTICAL INSTRUMENTS INC 5,309.00 503-6200-530.26-40 038077 4/16/2021 0004102 SUEZ ANALYTICAL INSTRUMENTS INC 1,210.00 503-6500-560.27-05 038355 10/20/2021 0000354 HACH COMPANY 2,925.00 503-7000-580.32-22 036944 1/1/2021 0003601 HDR ENGINEERING SERVICES, INC.GCDOVE 9,621.95 503-7000-580.32-22 037508 1/1/2021 0003601 HDR ENGINEERING SERVICES, INC.GCDOVE 127,095.13 503-7000-580.33-36 038093 5/10/2021 0000753 TIMBER LINE ELECTRIC & CONTROL GPSCAD 33,337.00 503-7000-580.33-36 038312 9/15/2021 0000753 TIMBER LINE ELECTRIC & CONTROL GPSCAD 10,500.00 503-7000-580.33-36 038387 11/10/2021 0000753 TIMBER LINE ELECTRIC & CONTROL EQUIP 23,708.00 503-7000-580.34-42 038350 10/18/2021 0004840 SPRADLEY BARR - GREELEY 90310B 30,000.00 503-7000-580.35-54 037295 1/1/2021 0005600 JVA INCORPORATED PMLOAN 594,434.53 503-7000-580.35-54 037606 1/1/2021 0006244 AECOM TECHNICAL SERVICES INC ROCKWL 9,818.00 503-7000-580.35-54 038408 12/7/2021 0001745 YMCA OF THE ROCKIES THRMTN 42,000.00 503-7000-580.35-54 038409 12/8/2021 0006501 DAHL PLUMBING & HEATING THRMTN 98,981.76 TOTAL WATER FUND PURCHASE ORDERS ROLLED OVER 988,940.37 612-7000-610.32-22 038416 12/13/2021 0006502 COLLAB ARCHITECTURE LLC ELTRCH 41,868.00 TOTAL FLEET MAINTENANCE FUND PURCHASE ORDERS ROLLED OVER 41,868.00 635-7000-435.34-42 038156 6/11/2021 0004840 SPRADLEY BARR - GREELEY G140A 38,072.00 635-7000-435.34-42 038306 9/13/2021 0000305 FARIS MACHINERY COMPANY G116A 248,261.00 Page 137 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SCHEDULE OF PURCHASE ORDERS ALL FUNDS Account #PO #Date Vendor #Vendor Name Project Encumb Outstanding 635-7000-435.34-42 038341 10/7/2021 0000985 DELLENBACH MOTORS G66C 27,613.00 TOTAL VEHICLE REPLACEMENT FUND PURCHASE ORDERS ROLLED OVER 313,946.00 GRAND TOTAL PURCHASE ORDERS ROLLED OVER 3,545,865.61 Page 138 Fund Account # Project Code Project Descr Grant Program / Grantor Federal / State / Other 2022 Approved Budget 2021 Grants to Roll Forward Current Proposed Amendment 2022 Amended Budget 101 101-1600-334.20-00 EVLTGT EV Land Trust Grant GOCO S -$ -$ -$ 101 101-1600-334.20-00 COMPPL Comp Plan Grant DOLA S - 150,000 150,000 101 101-1945-334.20-00 *22HSN Housing Needs Study Grant DOLA S - - 51,000 51,000 101 101-1900-334.20-00 COVBUS Colorado Small Business Relief Program State of Colorado S - - - 101 101-2100-334.20-00 CDOT High Visibility Enforcement (Seatbelt and DUI Checkpoints)State of Colorado S - - - 101 101-2100-334.20-00 PDPOST PD Post Grants State of Colorado S - - - 101 101-2100-334.20-00 PDPOST PD Post Grants State of Colorado S - 5,834 5,834 101 101-2100-334.20-00 LEAF LEAF State of Colorado S - - - 101 101-2100-334.20-00 PDPOST PD Post Grants State of Colorado S 5,000 - 5,000 101 101-2100-334.20-00 LEAF LEAF State of Colorado S 7,000 7,000 101 101-2100-334.20-00 PDPOST PD Post Grants State of Colorado 5,625 5,625 101 101-2100-334.20-00 CDOT High Visibility Enforcement (Seatbelt and DUI Checkpoints)State of Colorado S 5,000 - 5,000 101 101-2175-334.20-00 LPTOP2 Restorative Justice Remote Conferencing CDOT-RMS Grant S - - - 101 101-3100-334.20-00 *SIGNS Revitalizing Main St Program CDOT F - - - 101 101-5500-334.20-00 *WINTR Revitalizing Main St Program CDOT S - - - 101 101-5600-333.00-00 ELTRL2 Electric Trolley #2 CDOT F - 382,547 382,547 101 101-5600-333.00-00 COVTRN COVID-19 Transit Operations CARES Act F - - - 101 101-5600-333.00-00 CRRSAA Coronavirus Response & Relief Suppl Approp Allocation CRRSSA Federal Grant F - 361,017 361,017 101 101-5600-333.00-00 *TR22 2022 TRANSIT 5311 OPERATING GRANT FTA-5311 F - - 51,481 51,481 101 Total 10,000 912,023 102,481 1,024,504 204 204-0000-333.00-00 COMMDR Community Drive Intersection CDOT F - 750,000 750,000 204 204-0000-334.20-00 34STDY US 34 Corridor Study CDOT S 50,000 - 50,000 204 Total 50,000 750,000 - 800,000 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY OF BUDGETED GRANT REVENUES ALL FUNDS Page 139 Fund Account # Project Code Project Descr Grant Program / Grantor Federal / State / Other 2022 Approved Budget 2021 Grants to Roll Forward Current Proposed Amendment 2022 Amended Budget TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY OF BUDGETED GRANT REVENUES ALL FUNDS 220 220-0000-333.00-00 FRTR3 Fall River Trail Phase 3 Dept of Interior - Nat'l Park Service F - - - 220 220-0000-333.00-00 FRTR2A Fall River Trail Phase 2A Recreation Trail Grant Program F - - - 220 220-0000-334.10-00 PICNIC Big Thompson River Picnic Area (Pkg Gar)GOCO S - 43,275 43,275 220 220-0000-334.30-00 FRTR1B Fall River Trail Phase 1B MTF M405-026 S - 448,226 448,226 220 220-0000-334.30-00 ROCK Climbing Rock Big Thompson River Picnic Area Visit Estes Park O - - - 220 Total - 491,501 - 491,501 236 236-0000-334.20-00 LPTOP3 Police EOC Computer Repl CDOT-RMS Grant S - - - 236 Total - - - - 244 244-0000-333.00-00 GRAVES Graves Ave Trail Grant Safe Routes to School F - 500,000 500,000 244 244-0000-333.00-00 FRTR1A Fall River Trail Phase 1A TAP M405-025 F - 955,000 955,000 244 244-0000-334.40-00 FRTR3 Fall River Trail Phase 3 Rocky Mnt Conservancy O - 120,039 120,039 244 244-0000-334.30-00 FRTR2B Fall River Trail Phase 2B Colorado the Beautiful S - 363,706 363,706 244 244-0000-334.40-00 FRTR2B Fall River Trail Phase 2B EV Parks and Rec District O - 50,000 50,000 244 244-0000-334.40-00 FRTR2B Fall River Trail Phase 2B Larimer County Dept of Nat Res O - 10,000 10,000 244 Total - 1,998,745 - 1,998,745 256 256-0000-334.20-00 *EVPLN Electric Vehicle Infrastructure Plan DOLA - EIAF S - - - 256 Total - - - - 260 260-0000-334.30-00 EPMOBH EP Mobility Hub - Visitor Center Parking Lot CDOT S 1,030,000 - 1,030,000 260 Total 1,030,000 - - 1,030,000 Page 140 Fund Account # Project Code Project Descr Grant Program / Grantor Federal / State / Other 2022 Approved Budget 2021 Grants to Roll Forward Current Proposed Amendment 2022 Amended Budget TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SUMMARY OF BUDGETED GRANT REVENUES ALL FUNDS 503 503-0000-333.00-00 PMLOAN Prospect Mtn Water Dist Waterline USDA Grant F - 6,547,000 6,547,000 503 503-0000-333.00-00 GCDOVE GC Disinfection Outreach & Verification Effort USDAGrant F - 2,369,000 2,369,000 503 503-0000-333.00-00 WUSBOR BOR Water Meter Project US BOR F - 75,000 75,000 503 503-0000-388.40-00 PMLOAN Prospect Mtn Water Dist Waterline USDA Loan F - 7,675,000 7,675,000 503 503-0000-388.40-00 GCDOVE GC Disinfection Outreach & Verification Effort USDA Loan F - 4,493,000 4,493,000 503 Total - 21,084,000 75,000 21,159,000 612 612-0000-333.00-00 ELTRCH Trolly Charging Station CDOT Grant F - 300,800 300,800 612 Total - 300,800 - 300,800 625 625-0000-334.20-00 HOTSPT Wireless Hotspot Grant S - - - 625 625-0000-334.20-00 PHONES Phone System Upgrade CDOT-RMS S - - - 625 625-0000-334.20-00 LPTOP1 Laptop Grant CDOT CanDo Program S - - - 625 Total - - - - Grand Total 1,090,000$ 25,537,069$ 177,481$ 26,804,550$ Page 141 Project Name/Description Project Code ACCOUNT NUMBER ACCOUNT DESCRIPTION 2022 Approved Budget PO's Rolled Over 2021 Project Rollovers After POs Current Proposed Amendment 2022 Amended Budget WILLOW KNOLLS LEGACY PROJECT WILL17 101-1300-413.31-13 LAND IMPROVEMENTS -$ -$ -$ -$ -$ WILLOW KNOLLS LEGACY PROJECT - 2022 Phase WILL22 101-1300-413.31-13 LAND IMPROVEMENTS - - - DOCUMENT MANAGEMENT SOFTWARE & EQUIP DOCMGT 101-1400-414.37-01 SOFTWARE - 32,194 32,194 COMPREHENSIVE LAND USE PLAN COMPPL 101-1600-416.22-13 CONTRACT/SKILLED SVCS 300,000 103,532 128,000 (300,000) 231,532 EV LAND TRUST OS & OUTDOOR REC PLAN EVLTGT 101-1600-416.22-13 CONTRACT/SKILLED SVCS - - - PARKING GARAGE MAINTENANCE RESERVE PKGRES 101-1700-417.37-99 MAINTENANCE RESERVE 12,000 - 12,000 COVID SMALL BUSINESS RELIEF COVBUS 101-1900-419.91-55 COVID19 ECON ASSISTANCE - - - COMMUNITY WILDFIRE PROTECTION PLAN WILDFR 101-1900-419-91-42 EV WATER COALITION - - - HOUSING STUDY/NEEDS ASSESSMENT *22HSN 101-1945-419.22-98 PROFESSIONAL SERVICES - OTHER - - 73,000 73,000 WORKFORCE HOUSING RESERVE WFHRES 101-1945-419.37-98 WORKFORCE HSNG RESERVES 500,000 - 500,000 NEW SPEED ALERT SIGN TRAILER SPEED 101-2100-421-33-98 EQUIPMENT-OTHER - - - RESTORATIVE JUSTICE REMOTE CONFERENCING TECH LPTOP2 101-2175-421.26-33 DATA PROCESSING EQUIPMENT & MEMBER DUES/SUBSCRIPTIONS - - - VISITOR CENTER MAIN DOOR REPLACEMENT VCDOOR 101-2600-426.32-22 BUILDING REMODELING - 55,000 55,000 VARIABLE MESSAGE SIGNS (CDOT COVID GRANT)*SIGNS 101-3100-431.34-98 OTHER MACHINERY/EQUIPMENT - 8,587 8,587 COVID OUTDOOR WINTERIZATON EQUIPMENT *WINTR 101-5500-455.24-01 EQUIPMENT - - - 2022 TRANSIT 5311 OPERATING GRANT *TR22 101-5600-456.22-60 TRANSPORTATION FEES - 51,481 51,481 CRRSAA TRANSPORTATION GRANT CRRSAA 101-5600-456.22-60 TRANSPORTATION FEES - 134,253 226,764 361,017 ELECTRIC TROLLEY #2 - 2ND GRANT ELTRL2 101-5600-456.34-42 VEHICLES/TRUCKS - 454,370 454,370 COBB-MACDONALD CABIN RE-ROOF CBNRF 101-5700-457.32-22 BUILDING REMODELING - 12,000 3,000 15,000 *TOTAL GENERAL FUND 812,000 115,532 815,404 51,245 1,794,181 * TOWN WIDE FACILITIES SPACE NEEDS STUDY *SPACE 204-5400-544.22-98 PROF SVCS - OTHER - 21,990 - 21,990 FACILITY OPPORTUNITY SITES - FIRST RIGHT OF REFUSAL FACOPP 204-5400-544.31-11 LAND 100,000 - 100,000 MUSEUM ANNEX FOUNDATION REPAIRS MUSANX 204-5400-544.32-22 BUILDING REMODELING - 12,200 12,200 MUSEUM BOYD BUILDING ROOF REPLACEMENT BOYDRF 204-5400-544.32-22 BUILDING REMODELING - - 32,000 32,000 STREET SHOP REMODEL STSHOP 204-5400-544.32-22 BUILDING REMODELING 299,000 - 299,000 TREGENT RESTROOM REMODEL TREGRR 204-5400-544.32-22 BUILDING REMODELING 286,000 - 286,000 EVENT CENTER ARENA FOOTING RENOVATION ARNA22 204-5400-544.32-22 BUILDING REMODELING 90,128 - 90,128 EVENT COMPLEX PAVING MPECPV 204-5400-544.32-22 BUILDING REMODELING 250,000 - 250,000 PERFORMANCE PARK REFURBISHMENT PERFPK 204-5400-544.32-22 BUILDING REMODELING 200,000 - 200,000 TOWN HALL AC UNIT REPLACEMENT - PHASE 1 & 2 ACUNIT 204-5400-544.33-31 FURNITURE/FIXTURES 242,000 198,000 440,000 EVENT CENTER PUBLIC ACCESS WIRELESS INTERNET ECWIRE 204-5400-544.33-36 COMMUNICATION EQUIPMENT 100,000 - 100,000 EVENT CENTER SECURITY CAMERA SYSTEM ECSEC 204-5400-544.33-98 EQUIPMENT-OTHER 148,500 - 148,500 STORMWATER CREW PICKUP G68C 204-5400-544.34-41 AUTOMOBILES 45,000 - 17,381 62,381 NEW OFFICER PATROL CAR G158 204-5400-544.34-41 AUTOMOBILES 70,000 - 70,000 COMMUNITY DR INTERSECTION CONSTRUCTION CDINTR 204-5400-544.35-51 STREETS - 1,338,244 1,338,244 COMMUNITY DR ENGINEERING DESIGN COMMDR 204-5400-544.35-51 STREETS - 149,329 11,498 160,827 GRAVES AVE IMPROVEMENT- SCOPE EXPANSION GRAVES 204-5400-544.35-60 WALKWAYS & BIKEWAYS 250,000 - 250,000 DOWNTOWN WAYFINDING PROJECT - PHASE 1 & 2 WAYFND 204-5400-544.35-63 WAYFINDING SIGNAGE 200,000 12,733 - 212,733 *TOTAL COMMUNITY REINVESTMENT FUND 2,280,628 184,052 1,559,942 49,381 4,074,003 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SCHEDULE OF BUDGETED PROJECTS ALL FUNDS Page 142 Project Name/Description Project Code ACCOUNT NUMBER ACCOUNT DESCRIPTION 2022 Approved Budget PO's Rolled Over 2021 Project Rollovers After POs Current Proposed Amendment 2022 Amended Budget TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SCHEDULE OF BUDGETED PROJECTS ALL FUNDS * THUMB OPEN SPACE ACQUISITION THMBGO 211-5900-459.31-11 LAND - - - THUMB OPEN SPACE PARKING IMPROVEMENTS THMBPK 211-5900-459.35-61 PARK IMPROVEMENTS - 19,000 19,000 *TOTAL CONSERVATON TRUST FUND - - 19,000 - 19,000 * THUMB OPEN SPACE ECOLOGICAL ASSESSMENT *THUMB 220-4600-462-22-13 PROF SVCS - CONTRACT/SKILLED SVC - 2,080 2,080 THUMB OPEN SPACE ROCK FALL STUDY *THUMB 220-4600-462-22-13 PROF SVCS - CONTRACT/SKILLED SVC - 10,000 10,000 THUMB OPEN SPACE ACQUISITION THMBGO 220-4600-462.31-11 LAND - - - BRODIE TRAIL EXTENSION BRODIE 220-4600-462.35-60 WALKWAYS & BIKEWAYS - - - BIG THOMPSON RIVER PICNIC AREA (PKG GAR PAVILION) (G PICNIC 220-4600-462.35-61 PARK IMPROVEMENTS - 41,094 41,094 THUMB OS - GATE ON CURRY DRIVE THGATE 220-4600-462.35-61 PARK IMPROVEMENTS - 16,000 16,000 THUMB OS - KIOSK & SIGNS THKIOS 220-4600-462.35-61 PARK IMPROVEMENTS - 6,500 6,500 THUMB OS - TRAIL IMPROVEMENTS THTIMP 220-4600-462.35-61 PARK IMPROVEMENTS - 30,240 30,240 CLIMBING ROCK BIG THOMPSON RIVER PICNIC AREA ROCK 220-4600-462.35-61 PARK IMPROVEMENTS - 16,611 17,878 34,489 FALL RIVER TRAIL PHASE 1B (MTF GRANT)FRTR1B 220-4600-462.36-60 FALL RIVER TRAIL IMPR - 686,513 686,513 FALL RIVER TRAIL PHASE 2A FRTR2A 220-4600-462.36-60 FALL RIVER TRAIL IMPR - 113,789 45,318 159,107 FALL RIVER TRAIL PHASE 3 FRTR3 220-4600-462.36-60 FALL RIVER TRAIL IMPR - -- - *TOTAL LARIMER COUNTY OPEN SPACE FUND - 130,400 855,623 - 986,023 * POLICE EOC COMPUTER REPL LPTOP3 236-3600-436.26-33 DATA PROCESSING EQUIPMENT - - - *TOTAL EMERGENCY RESPONSE SYSTEM FUND - - - - - * BRODIE TRAIL EXTENSION BRODIE 244-3400-434.35-60 WALKWAYS & BIKEWAYS - - - GRAVES AVE TRAIL (SRT SCHOOL GRANT PROJECT)GRAVES 244-3400-434.35-60 WALKWAYS & BIKEWAYS - 8,828 639,652 648,480 FALL RIVER TRAIL FRTRL 244-3400-434.36-60 FALL RIVER TRAIL IMPR - 82,803 29,587 112,390 FALL RIVER TRAIL PHASE 1A (TAP GRANT)FRTR1A 244-3400-434.36-60 FALL RIVER TRAIL IMPR 400,000 - 1,193,750 1,593,750 FALL RIVER TRAIL PHASE 2B FRTR2B 244-3400-434.36-60 FALL RIVER TRAIL IMPR - - 491,862 491,862 FALL RIVER TRAIL PHASE 3 FRTR3 244-3400-434.36-60 FALL RIVER TRAIL IMPR - - 274,762 274,762 *TOTAL TRAILS FUND 400,000 91,631 2,629,613 - 3,121,244 * MISCELLANEOUS DATA PROCESSING EQUIP EQUIP 256-5690-569.33-33 DATA PROCESSING EQUIPMENT - 3,200 3,200 PARKING SERVICE SOFTWARE & EQUIP PKSOFT 256-5690-569.33-33 DATA PROCESSING EQUIPMENT - 28,529 20,033 48,562 *TOTAL PARKING SERVICES FUND - 28,529 23,233 - 51,762 Page 143 Project Name/Description Project Code ACCOUNT NUMBER ACCOUNT DESCRIPTION 2022 Approved Budget PO's Rolled Over 2021 Project Rollovers After POs Current Proposed Amendment 2022 Amended Budget TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SCHEDULE OF BUDGETED PROJECTS ALL FUNDS * PINE KNOLLS DR IMPROVEMENTS PKNOLL 260-2000-420.35-51 STREETS - 70,462 70,462 WILDFIRE ROAD IMPROVEMENTS WLDFIR 260-2000-420.35-51 STREETS - 11,000 - 11,000 CLEAVE STREET MAJOR REHAB CLEAVE 260-2000-420.35-51 STREETS - 48,150 22,513 70,663 3RD STREET MAJOR REHAB 3STLR 260-2000-420.35-51 STREETS - 604,200 604,200 OVERLAY PROGRAM 2021 OVRLAY 260-2000-420.35-51 STREETS - 135,116 135,116 OVERLAY PROGRAM 2022 OVRLAY 260-2000-420.35-51 STREETS 530,000 - 530,000 PARKING LOT REHABILITATION PARKLT 260-2000-420.35-52 PARKING LOT - 36,569 36,569 EP Mobility Hub - Visitor Center Parking Lot EPMOBH 260-2000-420.35-52 PARKING LOT 1,287,000 - 1,287,000 FLAP/RAMP ESTIMATED COSTS FLAP 260-2000-420.36-60 FED GRANT - FLAP - - - *TOTAL STREET FUND 1,817,000 59,150 868,860 - 2,745,010 * TRAILBLAZER BROADBAND OFFICE TBNBND 502-7001-580.32-21 BUILDINGS - 1,947 308,427 310,374 REPAVE PARKING LOT AT WOODSTOCK FACILITY TBNBND 502-7001-580.32-22 BUILDING REMODELING - - - WOODSTOCK FACILITY LANDSCAPING TBNBND 502-7001-580.32-22 BUILDING REMODELING - 14,404 14,404 P&C UPSTAIRS REMODEL PROJECT PCUPST 502-7001-580.32-22 BUILDING REMODELING 30,000 - 30,000 WOODSTOCK OFFICE FURNITURE TBFURN 502-7001-580.33-32 FURNITURE/FIXTURES - 69,773 69,773 UTILITY PLOTTER / PRINTER PLOTR 502-7001-580.33-32 FURNITURE/FIXTURES - - - METERS ELMTR 502-7001-580.33-34 METERS 150,000 - 150,000 TRANSFORMER & TRIP SAVERS TRANSF 502-7001-580.33-35 TRANSFORMERS 75,000 111,619 40,061 226,680 SMART METER PURCHASES SMRTEL 502-7001-580.33-36 COMMUNICATION EQUIPMENT - 70,000 70,000 VC, REPEATERS, SPARE VC CARDS EQUIP 502-7001-580.33-36 COMMUNICATION EQUIPMENT 10,000 - 10,000 NONSPECIFIC EQUIPMENT EQUIP 502-7001-580.33-41 TOOLS 15,000 - 15,000 2 REEL TRAILERS - #93370 & 93371 REELTR 502-7001-580.33-98 OTHER EQUIPMENT - 48,000 48,000 SIDE BY SIDE WITH TRACKS 93389C 502-7001-580.33-98 OTHER EQUIPMENT - - - BACKYARD MACHINE BYMACH 502-7001-580.33-98 OTHER EQUIPMENT - - - 2021 LINE REBUILD TRAILER 21TRLR 502-7001-580.33-98 OTHER EQUIPMENT - - - 3 PHASE REEL TRAILER 933104 502-7001-580.33-98 OTHER EQUIPMENT 130,000 - 130,000 REPL 2013 JEEP FREEDOM 93313C 502-7001-580.33-98 OTHER EQUIPMENT 36,344 - 36,344 NEW ONE TON PICKUP 93345 502-7001-580.33-98 OTHER EQUIPMENT 65,000 - 65,000 REPL 2003 JD 310SG BACKHOE 93328B 502-7001-580.33-98 OTHER EQUIPMENT 140,000 - 140,000 REPL 2015 CHEV 3500 93338B 502-7001-580.33-98 OTHER EQUIPMENT 65,000 - 65,000 REPL ONE TON TRUCK WITH TWO 1/2 TON TRUCKS 93319C 502-7001-580.33-98 OTHER EQUIPMENT 45,000 - 45,000 REPL ONE TON TRUCK WITH TWO 1/2 TON TRUCKS 93335A 502-7001-580.33-98 OTHER EQUIPMENT 45,000 - 45,000 Page 144 Project Name/Description Project Code ACCOUNT NUMBER ACCOUNT DESCRIPTION 2022 Approved Budget PO's Rolled Over 2021 Project Rollovers After POs Current Proposed Amendment 2022 Amended Budget TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SCHEDULE OF BUDGETED PROJECTS ALL FUNDS L&P FORK LIFT REPLACEMENTS - 93387A 93387A 502-7001-580.34-42 TRUCKS - - - L&P FORK LIFT REPLACEMENT 93388A 93388A 502-7001-580.34-42 TRUCKS - - - FORD F-550 REPLACEMENT #93327 93327A 502-7001-580.34-42 TRUCKS - - - INTERNATIONAL 7400 REPLACEMENT #93325B 93325C 502-7001-580.34-42 TRUCKS - - - STREET LIGHTING, POLES & FIXTURES LIGHTS 502-7001-580.35-55 STREET LIGHTS 40,000 - 40,000 CARRIAGE HILLS CAHILL 502-7001-580.35-57 POWER LINE CONSTRUCTION - - - SMART FUSES (INTELLIRUPTER & TRIP SAVERS)SMTFUS 502-7001-580.35-57 POWER LINE CONSTRUCTION - 82,030 82,030 LINE REBUILD LRBLDS 502-7001-580.35-57 POWER LINE CONSTRUCTION 200,000 20,177 28,304 248,481 NEW SERVICE CONNECTIONS WOKEXT 502-7001-580.35-59 CUSTOMER SERVICE LINES 300,000 37,036 405,415 742,451 SMART GRID FIBER OPTIC INSTALL SMTFBR 502-7001-580.35-66 FIBER OPTIC INSTALL - 3,694 - 3,694 TRAILBLAZER BROADBAND CONSTRUCTION TBNBND 502-XXXX-XXX.XX-XX PERSONNEL COST ACCTS - - - TRAILBLAZER BROADBAND CONSTRUCTION TBNBND 502-7001-580.35-66 FIBER OPTIC INSTALL - 1,090,046 7,165,442 8,255,488 GIS MAPPING IMPROVEMENTS GIS18 502-7001-580.37-01 SOFTWARE DEVELOPMENT - 104,114 104,114 SMART GRID SOFTWARE/MIDDLEWARE DEVELOPMENT SMTGRD 502-7001-580.37-01 SOFTWARE DEVELOPMENT 20,000 - 20,000 BUDGET MODULE PROJECT BUDGET 502-7001-580.37-01 SOFTWARE DEVELOPMENT - - - UTILITY BILLING MODERNIZATON PROJECT UBPRTL 502-7001-580.37-01 SOFTWARE DEVELOPMENT - 10,000 10,000 *TOTAL POWER & COMMUNICATIONS FUND 1,366,344 1,264,519 8,345,970 - 10,976,833 * GLACIER CREEK WTP - DISCHARGE OUT STRUCTURE GCDSCH 503-7000-580.32-22 BUILDING REMODELING 50,000 - 50,000 BROOK DRIVE WATER SHOP REMODEL (KEARNEY SHOP)KEARNY 503-7000-580.32-22 BUILDING REMODELING - 62,555 62,555 GCWTP ENGINEERING FOR INTAKE & PLANT IMPR GCTRET 503-7000-580.32-22 BUILDING REMODELING - 1,650,000 1,650,000 GC DISINFECTION OUTREACH AND VERIFICATION EFFORT GCDOVE 503-7000-580.32-22 BUILDING REMODELING - 136,717 47,224 183,941 BROOK DRIVE WATER SHOP FURNITURE & FIXT KEARNY 503-7000-580.33-31 FURNITURE/FIXTURES - - - GENERAL OFFICE EQUIPMENT REPLACEMENT EQUIP 503-7000-580.33-32 OFFICE EQUIPMENT 6,000 - 6,000 UTILITY PLOTTER / PRINTER PLOTR 503-7000-580.33-32 FURNITURE/FIXTURES - - - WONDERWARE SOFTWARE WONDER 503-7000-580.33-33 DATA PROCESSING EQUIPMENT - - - METER REPLACEMENT PROJECT SMRTW 503-7000-580.33-34 METERS 250,000 183,390 (183,390) 250,000 BOR WATER METER REPLACEMENT PROJECT WUSBOR 503-7000-580-33-34 METERS - 183,390 183,390 SCADA UPGRADES AT GLACIER WTP GPSCAD 503-7000-580.33-36 COMMUNICATION EQUIPMENT - 43,837 13,686 57,523 SCADA VHF REPEATER & RADIOS EQUIP 503-7000-580.33-36 COMMUNICATION EQUIPMENT 50,000 23,708 17,185 90,893 VARIOUS LAB EQUIPMENT REPL EQUIP 503-7000-580.33-37 LABORATORY EQUIPMENT - - - VARIOUS PURIFICATION EQUIP REPL EQUIP 503-7000-580.33-40 PURIFICATION EQUIPMENT - - - STORAGE TANK MIXER WTRMXR 503-7000-580.33-40 PURIFICATION EQUIPMENT 18,000 - 18,000 CONFINED SPACE ENTRY EQUIPMENT WTTOOL 503-7000-580.33-41 TOOLS 15,000 - 15,000 SAFETY EQUIP (TRENCH BOXES AND SPEED SHORING EQUIP WTTOOL 503-7000-580.33-41 TOOLS 5,000 - 5,000 SAFETY EQUIP WTTOOL 503-7000-580.33-41 TOOLS - - - CAT 308 EXCAVATOR BREAKER ATTACHMENT BREAK 503-7000-580.33-41 TOOLS - - - Page 145 Project Name/Description Project Code ACCOUNT NUMBER ACCOUNT DESCRIPTION 2022 Approved Budget PO's Rolled Over 2021 Project Rollovers After POs Current Proposed Amendment 2022 Amended Budget TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SCHEDULE OF BUDGETED PROJECTS ALL FUNDS LEAK CORRELATOR EQUIP LEAKCO 503-7000-580.33-98 OTHER EQUIPMENT 30,000 - 30,000 BULK WATER DISPENSER REPLACEMENT WTRDIS 503-7000-580.33-98 OTHER EQUIPMENT 150,000 - 150,000 EXCAVATOR & SKID STEER ANNUAL TRADE-INS EQUIP 503-7000-580.33-98 OTHER EQUIPMENT 8,000 - 8,000 TRUCK FOR ADDITIONAL CREW 90315 503-7000-580.34-42 TRUCKS - 3,345 (3,345) - CHEV COLORADO PICKUP 90314 503-7000-580.34-42 TRUCKS - 3,345 3,345 344 LOADER 90382 503-7000-580.34-42 TRUCKS - - - JOBSITE UTV 90383 503-7000-580.34-42 TRUCKS - 20,000 20,000 FORKLIFT 90384 503-7000-580.34-42 TRUCKS - - - 2011 FORD F-350 UNIT 9037A REPL 9037B 503-7000-580.34-42 TRUCKS - 62,471 62,471 2007 FORD F-150 UNIT 90311A REPL 90311B 503-7000-580.34-42 TRUCKS - 3,362 3,362 2013 Dodge 3500 90310B 503-7000-580.34-42 TRUCKS - 30,000 34,000 64,000 2011 FORD EXPLORER REPL 9035B 503-7000-580.34-42 TRUCKS 31,300 - 31,300 2012 FORD F-350 4X4 REPL 9036B 503-7000-580.34-42 TRUCKS 59,700 - 59,700 PROSPECT MTN WATER DIST - LOAN IMPROVEMENTS PMLOAN 503-7000-580.35-54 WATER SYSTEM - 594,435 9,994,710 10,589,145 18" MAIN VALVE INSTALLATIONS 18VALV 503-7000-580.35-54 WATER SYSTEM - 120,000 120,000 NCWCD MUNICIPAL SUBDISTRICT INCLUSIONS NCWCD 503-7000-580.35-54 WATER SYSTEM 21,000 58,048 79,048 GLACIER CREEK WTP INTAKE ENGINEERING GCINTK 503-7000-580.35-54 WATER SYSTEM - - - CIP ROCKWELL/WEST RIVERSIDE DR 16" MAIN ROCKWL 503-7000-580.35-54 WATER SYSTEM - 9,818 85,235 95,053 CIP BUREAU AREA PHASE 3 WTBRP3 503-7000-580.35-54 WATER SYSTEM - 521,264 521,264 CIP BUREAU AREA PHASE 4 WTBRP4 503-7000-580.35-54 WATER SYSTEM 1,000,000 647,912 1,647,912 ACACIA 4" ABANDONMENT ACACA4 503-7000-580.35-54 WATER SYSTEM 39,500 - 39,500 1360 BROOK DRIVE WATER SHOP WATERLINE (KEARNEY SH KEARNY 503-7000-580.35-54 WATER SYSTEM - 39,950 39,950 PARKING STRUCTURE WATERLINE PKGWTR 503-7000-580.35-54 WATER SYSTEM 125,000 100,000 225,000 BIG HORN DR WATER MAIN REPL BHWTRM 503-7000-580.35-54 WATER SYSTEM 193,397 315,694 509,091 SPRUCE DRIVE WATER MAIN REPL SPWTRM 503-7000-580.35-54 WATER SYSTEM - 295,496 295,496 DEVILS GULCH WATER LINE EXTENSION DEVEXT 503-7000-580.35-54 WATER SYSTEM - 12,000 12,000 GC DISINFECTION OUTREACH AND VERIFICATION EFFORT GCDOVE 503-7000-580.35-54 WATER SYSTEM - 10,043,300 10,043,300 CARRIAGE DRIVE WATER MAIN REPL CAHILL 503-7000-580.35-54 WATER SYSTEM - 271,079 271,079 YMCA/THUNDER MOUNTAIN PUMP HOUSE THRMTN 503-7000-580.35-54 WATER SYSTEM - 140,982 26,816 167,798 ROCK GRIZZLY DIRT SCREEN RCKGRZ 503-7000-580.35-54 WATER SYSTEM 10,500 - 10,500 UTILITY MASTER PLAN WTRMPL 503-7000-580.35-62 UT SYSTEM MASTER PLAN - 30,000 30,000 WTR RISK ASSESSMT & EMERG RESPONSE PLAN UPDATE WTREMG 503-7000-580.35-62 UT SYSTEM MASTER PLAN - 69,024 69,024 GIS WORK WTRGIS 503-7000-580.37-01 SOFTWARE DEVELOPMENT - 19,725 19,725 BUDGET MODULE PROJECT BUDGET 503-7000-580.37-01 SOFTWARE DEVELOPMENT - - - CIP USA WATER RIGHTS WITH BOR WTRRBR 503-7000-580.37-10 WATER RIGHTS - 48,797 48,797 WATER RIGHT ACQUISITION/RENEWAL WTRRIT 503-7000-580.37-10 WATER RIGHTS - 40,000 40,000 *TOTAL WATER FUND 2,062,397 979,497 24,836,268 - 27,878,162 Page 146 Project Name/Description Project Code ACCOUNT NUMBER ACCOUNT DESCRIPTION 2022 Approved Budget PO's Rolled Over 2021 Project Rollovers After POs Current Proposed Amendment 2022 Amended Budget TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SCHEDULE OF BUDGETED PROJECTS ALL FUNDS * PURCH WATER SHOP FOR NEW FLEET MAINT FAC FLSHOP 612-7000-610.32-21 BUILDINGS 135,000 265,000 400,000 DESIGN FOR REMODEL OF WATER SHOP FOR PW FLSHOP 612-7000-610.32-22 BUILDING REMODELING - 158,143 158,143 ELECTRIC TROLLEY FACILITY & CHG STATION ELTRCH 612-7000-610.32-22 BUILDING REMODELING - 41,868 329,480 371,348 *TOTAL FLEET MAINTENANCE FUND 135,000 41,868 752,623 - 929,491 * LAPTOP COMPUTERS LPTOP1 625-2500-425.26-33 DATA PROCESSING EQUIPMENT - - - PHONE SYSTEM UPGRADE PHONES 625-2500-425.26-46 COMMUNICATION EQUIPMENT - - - WIRELESS HOTSPOT GRANT HOTSPT 625-2500-425.33-36 COMMUNICATION EQUIPMENT - - - NEW NETWORK SERVER NETWRK 625-2500-425.33-98 OTHER EQUIPMENT - - - NEW NETWORK SWITCHES / WIFI COMPONENTS NETWRK 625-2500-425.33-98 OTHER EQUIPMENT - - - NAS/BACKUP COMPONENTS NETWRK 625-2500-425.33-98 OTHER EQUIPMENT - - - DELL SERVERS & 10 G SWITCHES & NAS STORAGE NETWRK 625-2500-425.33-98 OTHER EQUIPMENT 89,000 - 89,000 EDGE ROUTER REPLACEMENT NETWRK 625-2500-425.33-98 OTHER EQUIPMENT - - - MPEC SERVER ROOM AC UNIT ACMPEC 625-2500-425.33-98 OTHER EQUIPMENT - 17,500 17,500 *TOTAL INFORMATION TECHNOLOGY FUND 89,000 - 17,500 - 106,500 * POLICE G-155 CRUISER REPLACEMENT G-155A 635-7000-435.34-42 TRUCKS - 64,000 64,000 POLICE NEW UNIT FOR NEW OFFICER POSITION G-153 635-7000-435.34-42 TRUCKS - - - POLICE CRUISER G-98A G-98B 635-7000-435.34-42 TRUCKS - 21,068 21,068 POLICE CRUISER G-140A G-140A 635-7000-435.34-42 TRUCKS - 38,072 21,928 60,000 STREETS -NEW STREET SWEEPER COMBINE G116A & G97B G116A 635-7000-435.34-42 TRUCKS - 248,261 265 248,526 PARKS G-66B G66C 635-7000-435.34-42 TRUCKS - 27,613 14,387 42,000 FLEET G-61 G61A 635-7000-435.34-42 TRUCKS - 70,450 70,450 POLICE CRUISER REPL G142A 635-7000-435.34-42 TRUCKS 70,000 - 70,000 POLICE CRUISER REPL G148A 635-7000-435.34-42 TRUCKS 70,000 - 70,000 POLICE CRUISER REPL G71C 635-7000-435.34-42 TRUCKS 70,000 - 70,000 PARKS FORD RANGER PICKUP G45C 635-7000-435.34-42 TRUCKS 30,000 - 30,000 PARKS 4X4 UTILITY VEHICLE G114B 635-7000-435.34-42 TRUCKS 16,000 - 16,000 PARKS 4X4 UTILITY VEHICLE G128A 635-7000-435.34-42 TRUCKS 16,000 - 16,000 PARKS VANTAGE CART REPLACEMENT G202A 635-7000-435.34-42 TRUCKS - - 15,288 15,288 *TOTAL VEHICLE REPLACEMENT FUND 272,000 313,946 192,098 15,288 793,332 * *TOTAL PROJECT RECAP 9,234,369$ 3,209,124$ 40,916,134$ 115,914$ 53,475,541$ Page 147 TOWN OF ESTES PARK BA#1 - 2022 PROJECT & PO ROLLOVERS SCHEDULE OF BUDGETED APPROPRIATION CHANGES ALL FUNDS Fund Fund Name Department Division Description Of Change Type (One Time or Ongoing) One Time Increase (Decrease) Ongoing Increase (Decrease) Total Changes Increase (Decrease) 101 General Fund Legislative NA Roll over remaining vacation home fee study contract balance One Time 34,066 34,066 101 General Fund Attorney NA The car allowance was not included in the original salary and benefit projections for 2022.Ongoing 2,400 2,400 101 General Fund Community Development Planning The original budget included the comprehensive plan project budget in error, duplicating the amount budgeted since it was already budgeted in 2021. Funding was also needed for additional consulting so this adjustment removes the appropration in excess of anticipated needs. One Time (150,000) (150,000) 101 General Fund Public Works Facilities CIRSA insurance renewal premiums were slightly higher than originally budgeted. Ongoing 3,000 3,000 101 General Fund Workforce Housing NA Budget for the housing study and needs assessment project *22HSN partially funded by a State grant in the amount of $51,000.One Time 73,000 73,000 101 General Fund Police Patrol Correction of an error in the original salary projection due to confusion regarding "conversion" of a position to a police sergeant and adding one new officer.Ongoing 147,485 147,485 101 General Fund Police Patrol CIRSA insurance renewal premiums were slightly higher than originally budgeted. Ongoing 3,000 3,000 101 General Fund Police Patrol Roll over funding for Sept Badge order - still waiting on delivery One Time 5,850 5,850 101 General Fund Police Patrol Roll over balance of the restricted donations for the PD Exployer program One Time 2,662 2,662 101 General Fund Public Works Streets New sweeper will not be built until Oct 2022 so equipment rental funding is needed for the Spring 2022 cleanup - 2 months rental One Time 18,730 18,730 101 General Fund Public Works Streets Increase in CDL certification training costs resulting from new Federal regulations.Ongoing 5,195 5,195 101 General Fund Public Works Stormwater Increase in CDL certification training costs resulting from new Federal regulations.Ongoing 15,585 15,585 101 General Fund Public Works Transit New FTA grant passed through CDOT for preserving and expanding the Town's transit service.One Time 51,481 51,481 Page 148 Fund Fund Name Department Division Description Of Change Type (One Time or Ongoing) One Time Increase (Decrease) Ongoing Increase (Decrease) Total Changes Increase (Decrease) 101 General Fund Public Works Transit Appropriate remaining funding on CRRSAA transit operations federal grant. $134,253 of the $361,017 federal grant had been budgeted in 2021, leaving 265,xxx to appropriate in 2022.One Time 226,764 226,764 204 Comm. Reinvest. Fund Museum NA Boyd building roof replacement One Time 32,000 32,000 204 Comm. Reinvest. Fund Public Works Stormwater Additional funding for the Stormwater Crew pickup. The funding accumulated in the Vehicle Replacement Fund for the vehicle to be traded in was transferred from the Vehicle Replacement Fund to help fund this new pickup.One Time 17,381 17,381 204 Comm. Reinvest. Fund NA NA Reduce transfers back to the General Fund to cover the projects rolled forward from 2021.One Time (1,081,410) (1,081,410) 502 Power & Communications Finance Customer Accounts (Utility Billing & Collection) The planned position reclassification to create a Utility Billing manager position was originally budgeted in 2021 but was missed during the salary projections for 2022. Split between Power and Communication (68%) and Water (32%).Ongoing 4,161 4,161 502 Power & Communications Utilities Admin & General CIRSA insurance renewal premiums were slightly higher than originally budgeted. Ongoing 3,000 3,000 503 Water Finance Customer Accounts (Utility Billing & Collection) The planned position reclassification to create a Utility Billing manager position was originally budgeted in 2021 but was missed during the salary projections for 2022. Split between Power and Communication (68%) and Water (32%).Ongoing 1,958 1,958 503 Water Utilities Admin & General CIRSA insurance renewal premiums were slightly higher than originally budgeted. Ongoing 1,500 1,500 612 Fleet Maintenance Fund Public Works Fleet Maintenance Adds one new mechanic position. The position is needed to meet Town vehicle maintenance needs. It will also allow more time to be dedicated to the Fire District as requested in return for additional funding. Staff are currently in discussion with the Fire District to finalize these arrangements. Ongoing 100,084 100,084 635 Vehicle Replacement Fund Public Works Parks Replace 2019 Vantage cart since parts are not available from China to fix the existing unit One Time 15,288 15,288 635 Vehicle Replacement Fund Public Works Stormwater Transfer funds accumulated on the pickup to be traded in on the new Stormwater Crew pickup to the Community Reinvestment Fund.One Time 17,381 17,381 645 Risk Management Risk NA CIRSA insurance renewal premiums were slightly higher than originally budgeted. Ongoing 10,500 10,500 Page 149 Fund Fund Name Department Division Description Of Change Type (One Time or Ongoing) One Time Increase (Decrease) Ongoing Increase (Decrease) Total Changes Increase (Decrease) Total Other Amendments (736,807) 297,868 (438,939) Var Various Various Various Rollover of purchase orders placed in 2021 but goods or services were not delivered until 2022. See detailed schedule of PO's to roll over by fund.Various 3,240,956 304,910 3,545,866 Total PO Rollovers 3,240,956 304,910 3,545,866 Var Various Various Various Rollover of remaining balances on 2021 projects not completed by Dec 31, 2021. See the detailed schedule of projects to roll over by fund.Various 40,641,801 274,333 40,916,134 Total Project Rollovers 40,641,801 274,333 40,916,134 Total Expenditure Appropriation Changes 43,145,950 877,111 44,023,061 Page 150 PUBLIC WORKS Memo To: Honorable Mayor Wendy Koenig Board of Trustees Through: Town Administrator Machalek From: Vanessa Solesbee, CAPP, CCTM, Parking & Transit Manager Greg Muhonen, PE, Public Works Director Date: April 12, 2022 RE: Resolution 32-22 Amending Resolution 81-21 and Approving Proposed Updates to Public Works Policy 842 Parking Permits PUBLIC HEARING ORDINANCE LAND USE CONTRACT/AGREEMENT RESOLUTION OTHER______________ QUASI-JUDICIAL YES NO Objective: Adopt Resolution 32-22 amending Resolution 81-21, which established 2022 seasonal paid parking and parking permit fees. Approve proposed updates to Public Works Policy 842 Parking Permits. Present Situation: At a Town Board Study Session (TBSS) on October 26, 2021, Public Works (PW) staff presented results from the 2021 paid parking season and recommendations for the 2022 paid parking program. At that time, staff recommended a focus on enhancing the existing operation and customer experience rather than expanding the program and/or raising parking fees in 2022. Staff also proposed to work actively with the Estes Chamber of Commerce during the 2021/2022 winter season to address the concerns raised by the Chamber at the 10/26 TBSS. On November 9, 2021, the Town Board approved Resolution 81-21 Establishing 2022 Seasonal Paid Parking and Parking Permit Fees. Between December 2021 and April 2022, PW staff have: • Worked with staff from the Chamber, Visit Estes Park, and The Car Park to prioritize the Chamber’s list of suggested program improvements. • Assembled a stakeholder working group (Downtown Parking Task Force or DPTF) to provide a venue to collect input directly from downtown businesses, to build trust, and open up lines of communication. Chamber staff and members (specifically downtown business owners), Transportation Advisory Board (TAB) members, and staff from Visit Estes Park, The Car Park, and Public Works all participated. Page 151 • Held individual interviews with downtown business owners and stakeholders to gather additional perspectives about planned improvements to the seasonal paid parking program. • Two DPTF members presented to TAB at their regular meeting on March 16, 2022. Earlier this evening at the Study Session, PW staff presented a more robust overview of this stakeholder process, and detailed all of the program improvements and refinements planned for this summer. While the majority of the proposed improvements can happen at the administrative (staff) level, program changes related to setting new or changing existing paid parking or permit fees and/or making adjustments related to the hours or days of the seasonal paid parking program requires Town Board approval. Proposal: PW staff seek Town Board approval to amend Resolution 81-21 Establishing 2022 Seasonal Paid Parking and Parking Permit Fees for the purpose of incorporating direct feedback received from community members and guests during the 2021 paid parking season and from the DPTF’s work this winter/spring, including: 1. Reduce the daily hours of paid parking to end at 5 p.m. rather than 6 p.m. As a result, the 2022 hours of operation would be 10 a.m. to 5 p.m. daily. This recommendation is supported by occupancy data which shows a decrease in parking lot utilization during the 5 to 6 p.m. hour. 2. Add the following new permit types and associated fees to better accommodate the needs of those who work, live, volunteer and visit downtown: o Volunteer Permit: Available to businesses, organizations and/or governmental entities that offer uncompensated employment and/or volunteer opportunities. Price: $0 per permit. o Temporary Guest Permit: Available to guests of those with residences in the downtown area who do not have access to private overnight parking for their guests. Price: $0 per permit. Additionally, as required by Ordinance 30-19, staff are seeking Town Board approval for proposed updates to Public Works Policy 842 Parking Permits. In addition to including eligibility requirements, rules and regulations for the new permit types listed above, staff are also recommending minor adjustments to two existing permits and some clean-up in the General Rules section recommended by the Town Attorney. Policy adjustments proposed in direct response to customer feedback include: o Providing for bulk discounting of the Employee Convenience Permit for individuals and/or businesses who purchase five or more permits in one season: 5-9 permits (10% discount), 10-20 permits (20% discount) and 21+ permits (30% discount). o Allowing for those with Commercial Loading Permits to park vehicles in public parking spaces overnight (between 5 p.m. and 10 a.m.). o Updating the Local Permit allowance from 30-minutes to 60-minutes, as approved by the Town Board in Fall 2021 (Ordinance 12-21). Page 152 The updated policy is included as an Attachment. Advantages: • Town staff, the Transportation Advisory Board and community partners/stakeholders have worked together to identify and collaboratively support these meaningful improvements to the 2022 paid parking program. • Proposed changes to both the resolution and Public Works Policy are in line with the data-driven approach to parking management outlined in the Downtown Parking Management Plan. Disadvantages: • Implementation of seasonal paid parking has been vocally opposed by some residents and business owners; however, as demonstrated by the recommendations included in this memo, staff continue to be committed to working with all stakeholders to find solutions and common ground whenever possible. • The permit cost reductions and decrease in applicable hours for seasonal paid parking are expected to reduce program revenue; however, they deliver offsetting intangible goodwill benefits and are expected to expand retail and restaurant activity into the evening hours. Action Recommended: PW staff recommends the Town Board adopt Resolution 32-22 Amending Resolution 81-21 and approve the proposed updates to Public Works Policy 842 Parking Permits (Revision #1 dated April 12, 2022). Finance/Resource Impact: As was shared during the 2022 budget process, Public Works staff are projecting $816,095 in total (gross) revenue for the Parking Fund (256) in 2022. $4,000 of this total comes from 256-0000-322.31-00 (Parking Permits), $795,000 comes from 256-0000- 341.45-00 (Paid Parking Fees), and $17,095 comes from 256-0000-351.20-00 (Parking Tickets ). The recommendations included in this memo that are projected to have the following impact on those two revenue line items as follows: • Reducing hours of operation by one hour. In 2021, the 5 p.m. to 6 p.m. hour brought in approximately $32,000 in paid parking fees. This represents 4% of total revenue for the Paid Parking Fees revenue line item. • Offering discounts for bulk purchases of the Employee Convenience Permit. Based on 2021 sales for this permit type, staff estimates that offering the proposed discount tiers could decrease permit revenue by approximately $1000 or 25% (impacting the Parking Permits revenue line item). • Creation of two new permit types: Volunteer Permit and Temporary Guest Permit. In 2021, those volunteering downtown were allowed to purchase an Page 153 Employee Convenience Permit. While staff did not track the number of Employee Convenience Permits purchased by volunteers in 2021, the new Volunteer Permit is expected to have a negligible impact on projected revenue. The Temporary Guest will not have any effect on revenue as it is only available overnight (while paid parking is not in effect). • Adjustment of the Commercial Loading Permit. Proposed changes to the Commercial Loading Permit only impact overnight parking and will not have any effect on revenue. Staff plan to track the revenue implications of these proposed changes during the 2022 paid parking season and will provide an update to the Town Board during the annual End of Season program update this fall. Even without specific figures on the impact of the Volunteer Permit, staff are confident that these program adjustments will be covered with 2022 parking revenues or surplus revenues from the 2021 program. As a reminder, all parking fees (from paid parking, permits, citations and special events) go into a Special Revenue Fund for the explicit purpose of reducing future reliance on the General Fund for future investment in parking and transportation management, infrastructure (e.g., additional parking supply, transit vehicles), maintenance and/or programming. Level of Public Interest Public interest in seasonal paid parking is moderate with some areas of the community, specifically some members of the downtown business community who, feel the impact of parking management more acutely. It has always been the commitment of PW staff and our contractor, The Car Park, to listen, adapt and build bridges where possible and the process to bring these recommendations forward is no exception. Sample Motion #1: I move for the approval/denial of Resolution 32-22. Sample Motion #2: I move for the approval/denial of Public Works Policy 842 Parking Permits as proposed (Revision #1 dated April 12, 2022). Attachments: 1. Resolution 32-22 Amending Resolution 81-21 2. Public Works Policy 842 Parking Permits (Clean version) 3. Public Works Policy 842 Parking Permits (Redline version) 4. Letter of Support (Transportation Advisory Board) Page 154 RESOLUTION 32-22 AMENDING RESOLUTION 81-21 ESTABLISHING 2022 SEASONAL PAID PARKING AND PARKING PERMIT FEES, AND AMENDING PARKING PERMIT RULES AND REGULATIONS WHEREAS, the Board of Trustees of the Town of Estes Park has adopted Chapter 10.06 of the Municipal Code, authorizing the implementation of seasonal parking fees by resolution; and WHEREAS, section 10.06.040 provides for permits in lieu of paid parking, governed by rules and regulations to be approved by the Town Board; and WHEREAS, section 10.04.040 allows for overnight parking where authorized by a Town-issued parking permit; and WHEREAS, the Town Board established paid parking and parking permit fees for 2022 by Resolution 81-21; and WHEREAS, the Town Board wishes to amend certain fees and permits for the Town’s parking management program previously set forth in Resolution 81-21. NOW, THEREFORE, BE IT RESOLVED BY THE BOARD OF TRUSTEES OF THE TOWN OF ESTES PARK, COLORADO: 1.Daily parking fees shall be $2.00 per hour between the hours of 10 a.m. and 5 p.m., seven days per week. 2.The Board of Trustees hereby amends Public Works Policy 842, Parking Permits, adopting the amended policy in the form now before the Board. 3.Fees for parking permits set forth in Public Works Policy 842 shall be set as follows: a. Overnight: Downtown Resident: $35 per permit b. Overnight: Downtown Rental Unit / Commercial Lodging: $40 per permit c.Overnight: General Use: $10 per space per night d. Overnight: Temporary Guest: $0 per permit e. Employee: Convenience: $40 per permit; except businesses or individuals that purchase bulk quantities of this permit type in a season will be entitled to receive the following discounts upon request: i.5-9 permits = 10% off ii.10-19 permits = 20% off iii.20+ permits = 30% off f.Business: Commercial Loading: $80 per permit g.Volunteer: $0 per permit Attachment 1 Page 155 4. Resolution 81-21 is hereby amended by the foregoing. The Board repeals all resolutions or parts of resolutions in conflict with this resolution, but only to the extent of such inconsistency. 5. The resolution to be in full force and effect from and after its passage and approval. DATED this day of , 2022. TOWN OF ESTES PARK Mayor ATTEST: Town Clerk APPROVED AS TO FORM: Town Attorney Page 156 Document Title: Policy 842 – Parking Permits 4/12/2022 Revisions: 1 Town of Estes Park, Public Works Page 1 of 7 Effective Period: Until Superseded Review Schedule: Annually Effective Date: April 12, 2022 References: EP Municipal Code Title 10 Vehicles & Traffic PUBLIC WORKS 842 Parking Permits 1)PURPOSE The Town of Estes Park provides several options for permits that confer special parking privileges to those who live, work and/or own a business in the downtown area (as defined by the Town of Estes Park’s Commercial Downtown (CD) zoning district). 2)POLICY As described in section 10.04.040 of the Estes Park Municipal Code, no person shall park a vehicle in any Town-owned parking area overnight or longer than 18 hours except where authorized by one of the permits described in this policy (Parking Permits) or Revocable Encroachment Permit issued by the Town’s Public Works Department (or designated representative or contractor). Furthermore, fees are required to park in several Town parking spaces, except where an individual holds a permit in lieu of paid parking under section 10.06.040. Violating vehicles will be subject to a parking citation or removal of the vehicle pursuant to Colorado statutes. 3)PERMIT TYPES The rules and regulations of each specific permit type are detailed below. Section 4 then provides general rules for all permit types. a.Overnight Permit: Downtown Resident i)Eligibility: 1)This permit type is only available to those who can demonstrate proof of residency in the downtown core, as defined by the Town of Estes Park’s Commercial Downtown (CD) zoning district. ii)Rules & Regulations: 1)Permits are valid for an entire calendar year. 2)Each permit must be registered to a specific license plate. 3)Permits are valid only in one assigned parking area (lot), on a first-come, first-served basis. 4)Permits are not valid in time-limited or reserved spaces. Attachment 2 Page 157 Document Title: Policy 842 – Parking Permits 4/12/2022 Revisions: 1 Town of Estes Park, Public Works Page 2 of 7 5) There are no time restrictions for this permit; permit holders are allowed access to their assigned parking area 24 hours per day, seven (7) days per week. b. Overnight Permit: Downtown Rental Unit / Commercial Lodging i) Eligibility: 1) This permit type is only available to those who own, operate or manage a licensed rental unit/hotel room/lodging property in the downtown core, as defined by the Town of Estes Park’s Commercial Downtown (CD) zoning district. ii) Rules & Regulations: 1) Permits are valid for an entire calendar year. 2) A valid hangtag issued by the Town must always be displayed on the vehicle’s rearview mirror. 3) Permits are valid only in one assigned parking area (lot). This assignment will be indicated on the permit. 4) Permits are not valid in time-limited or reserved spaces. 5) There are no time restrictions for this permit; permit holders are allowed access to their assigned parking lot/area 24 hours per day, seven (7) days per week. 6) A $20 replacement fee will apply for lost or damaged hangtags. c. Overnight Permit: General Use i) Eligibility: General use overnight parking is only allowed in the following circumstances: 1) An individual is taking the Hiker Shuttle into Rocky Mountain National Park to camp overnight in the park; 2) An individual is participating in an extended hike in the Estes Park Valley (either on their own or as part of a commercially-run tour) and does not have a private location for their vehicle to park overnight; 3) An individual has an extraordinary/emergency need for overnight parking (e.g., vehicle is broken down). In this instance, the reason must be deemed appropriate by Parking & Transit Division staff; or 4) An individual is staying with a local lodging establishment and/or staying at a licensed vacation rental (e.g., VRBO, Airbnb) and the main lodging location does not have sufficient parking to accommodate all guests. ii) Rules & Regulations: 1) Not valid for use on a recreational vehicle as defined by Chapter 13 of the Estes Park Development Code. 2) Permit holders may not sleep in their vehicle at any time. 3) Valid for up to seven (7) nights. 4) Must be registered to a specific license plate. Vehicles that take up multiple spaces (e.g., truck pulling a trailer) will be required to pay per vehicle, per night for each occupied space. Page 158 Document Title: Policy 842 – Parking Permits 4/12/2022 Revisions: 1 Town of Estes Park, Public Works Page 3 of 7 5) Must be purchased at the time of parking. 6) Only valid in the designated area of the Events Complex Park-n-Ride lot (1125 Rooftop Way) as indicated on the following map: d. Overnight Permit: Temporary Guest Permit i) Eligibility: 1) This permit is available to those who are guests of a valid Downtown Resident Permit holder. 2) The Downtown Resident Permit holder must apply for the Temporary Guest Pass on behalf of their guests. ii) Rules & Regulations: 1) Not valid for use on a recreational vehicle as defined by Chapter 13 of the Estes Park Development Code. 2) Permit holders may not sleep in their vehicle at any time. 3) Valid for up to seven (7) nights. 4) Must be registered to a specific license plate. A valid hangtag issued by the Town must always be displayed on the vehicle’s rearview mirror. 5) Permits are valid only in one assigned parking area (lot). This assignment will be indicated on the permit. 6) Permits are not valid in time-limited or reserved spaces. There are no time restrictions for this permit; permit holders are allowed access to their assigned parking lot/area 24 hours per day, seven (7) days per week. Page 159 Document Title: Policy 842 – Parking Permits 4/12/2022 Revisions: 1 Town of Estes Park, Public Works Page 4 of 7 e. Employee Permit: Convenience Permit i) Eligibility: 1) Anyone who works in the downtown core is eligible to purchase this permit. 2) Applicant must provide proof of employment or that they conduct business in the downtown core, as defined by the Town of Estes Park’s Commercial Downtown (CD) zoning district. ii) Rules & Regulations: 1) Permits are valid in any seasonal paid parking area. 2) Permits are valid for an entire annual paid parking season. 3) Permits are not valid in time-limited or reserved spaces. 4) Permit is not valid for overnight parking. 5) Only valid for non-marked personal vehicles (marked commercial vehicles are not eligible for this permit). 6) Each permit must be registered to a specific license plate. 7) There is no limit to the number of vehicles that can share one permit, however, permit holders that use a shared permit will be responsible for managing the shared use of their permits. The Town is not responsible for shared permit holders that receive a citation for attempting to use the same permit on more than one vehicle at one time. f. Business Permit: Commercial Loading i) Eligibility: 1) Anyone who works or conducts business in the downtown core (as defined by the Town of Estes Park’s Commercial Downtown (CD) zoning district) is eligible to purchase this permit. 2) Applicant must provide proof of employment or that they conduct business in the downtown core. 3) Subject to proof of current business license. ii) Rules & Regulations: 1) Only valid for marked commercial or business vehicles (not for use on unmarked personal vehicles). 2) Permits are valid only in assigned parking areas (lots) and are available on a first-come, first-served basis. 3) Vehicles displaying this permit must be actively loading or unloading people and/or goods. 4) Each permit must be registered to a specific license plate or plates, in the case of a shared permit. 5) There is no limit to the number of vehicles that can share one permit, however permit holders that use a shared permit will be responsible for managing the shared use of their permits. The Town is not responsible for shared permit holders that receive a citation for attempting to use the same permit on more than one vehicle at one time. Page 160 Document Title: Policy 842 – Parking Permits 4/12/2022 Revisions: 1 Town of Estes Park, Public Works Page 5 of 7 6) Parking shall be permitted between the hours of 5 p.m. and 10 a.m. One space per permit; multiple vehicles sharing a single permit may not park overnight at the same time. g. Local 60 Minutes Free i) Eligibility: 1) Anyone who resides within the Estes Park R3 School District. 2) Applicant must provide proof of residency. ii) Rules & Regulations: 1) Permits are valid in any seasonal paid parking area, for up to 60 minutes of free parking per day. 2) Permits are valid for an entire annual paid parking season. 3) Permits are not valid in time-limited or reserved spaces. 4) Permit is not valid for overnight parking. 5) Only valid for non-marked personal vehicles (marked commercial vehicles are not eligible for this permit). 6) Each permit must be registered to a specific license plate. 7) In the event of a conflict, the Estes Park Municipal Code controls over any provisions of this Policy. h. Volunteer Permit i) Eligibility: 1) This permit is available to any business, organization or governmental entity who offers uncompensated employment or volunteer opportunities in the downtown core (as defined by the Town of Estes Park’s Commercial Downtown (CD) zoning district). 2) Applicant must provide proof that those who will be receiving a volunteer permit are not being compensated, financially or otherwise. ii) Rules and Regulations: 1) Applicant must provide a specific time frame during which the permit(s) will be active. 2) This permit type can only be used while the vehicle’s driver is actively volunteering without compensation. The permit is not valid while the vehicle’s driver is conducting personal business. 3) Permits are issued as physical hangtags for temporary display in a volunteer’s vehicle. 4) The hangtag must be clearly visible in the dash of the vehicle. 5) During the time that the permit is active, it is the organization’s sole responsibility to distribute, manage and account for all permits, and ensure they are being used appropriately. 6) A $20 replacement fee will apply for lost or damaged hangtags. 4. GENERAL RULES Page 161 Document Title: Policy 842 – Parking Permits 4/12/2022 Revisions: 1 Town of Estes Park, Public Works Page 6 of 7 The following rules are generally applicable to all of the permit types listed above. Permit holders will be asked to review and agree via signature to the following terms prior to receiving any Parking Permit. a. Permits have no cash value and are non-transferable. b. Permit holders must be parked legally in a designated public parking area (e.g., no double-parking, parking in reserved areas, or parking in areas designated “No Parking”). Permits are not valid in spaces for persons with disabilities, in fire lanes, or in spaces marked “Reserved” for other uses (e.g., Police, Library). c. Permit holder must move their vehicle within 24 hours for parking lot maintenance (e.g., striping, sweeping, cleaning, snow removal). Written notice will be provided to permit holders by email at least 24 hours in advance. If the vehicle has not been moved after 24 hours of notice, the vehicle will be removed from the parking area at the owner’s expense pursuant to Colorado statutes. d. Permits are valid only for designated purposes as described in this Policy. Vehicles are not exempt from paying hourly fees for paid parking when vehicles are parked out of compliance with the rules and regulations of this Policy, and such noncompliant parking is subject to enforcement under the Estes Park Municipal Code. e. Any permit holder who does not abide by this Policy will risk loss of their permit. Upon first violation of the stated Rules and Regulations for their permit type, the permit owner will receive a written warning by email and USPS mail. A second violation will result in suspension of the permit for 30 days with the opportunity to appeal. Appeals must be submitted in writing to The Car Park, PO Box 2285, Estes Park, CO 80517, or in person at 363 East Elkhorn Ave, Suite 208. A third violation could result in an additional suspension of the permit of up to 180 days with similar opportunity to appeal, as well as immediate revocation of one’s ability to purchase any additional parking permit for one year. The Parking and Transit Manager or designee is authorized to make determinations on such warnings, suspensions, and revocations, in their reasonable discretion. The hearing officer for any appeal shall be designated by the Town Administrator. Notice of suspension of permit shall be given with no less than ten (10) days’ opportunity to appeal, in the form and manner specified by the Parking and Transit Manager, unless, in the Parking and Transit Manager’s determination, the circumstances amount to an emergency and immediate suspension is warranted. f. The Town of Estes Park assumes no responsibility or liability for all risks, losses, costs, and damages incurred during use of the Town-owned parking facilities. g. Inoperable or abandoned vehicles are subject to towing at the owner’s expense pursuant to Colorado statutes. h. Any vehicle parked in violation of these stated regulations may be removed at the owner’s expense pursuant to Colorado statutes. 5. COST OF PERMITS a. The cost of the Parking Permits is intended to be set annually by December 15 of the preceding year by resolution of the Town Board. b. Full payment must be made prior to receiving the permit. Page 162 Document Title: Policy 842 – Parking Permits 4/12/2022 Revisions: 1 Town of Estes Park, Public Works Page 7 of 7 Approved: Wendy Koenig, Mayor Date Page 163 Document Title: Policy 842 -– Parking Permits 11/24/20204/12/2022 Revisions: 01 Town of Estes Park, Public Works Page 1 of 7 Effective Period: Until Superseded Review Schedule: Annually Effective Date: November 24, 2020April 12, 2022 References: EP Municipal Code Title 10 Vehicles & Traffic PUBLIC WORKS 842 Parking Permits 1.1) PURPOSE The Town of Estes Park provides several options for permits that confer special parking privileges to those who live, work and/or own a business in the downtown area (as defined by the Town of Estes Park’s Commercial Downtown (CD) zoning district). 2.2) POLICY As described in section 10.04.040 of the Estes Park Municipal Code, no person shall park a vehicle in any Town-owned parking area overnight or longer than 18 hours except where authorized by one of the permits described in this policy (Parking Permits) or Revocable Encroachment Permit issued by the Town’s Public Works Department (or designated representative or contractor). Furthermore, fees are required to park in several Town parking spaces, except where an individual holds a permit in lieu of paid parking under section 10.06.040. Violating vehicles will be subject to a parking citation or removal of the vehicle pursuant to Colorado statutes. 3.3) PERMIT TYPES The rules and regulations of each specific permit type are detailed below. Section 4 then provides general rules for all permit types. a. Overnight Permit: Downtown Resident i.i) Eligibility: 1)Overnight permits areThis permit type is only available to those who can demonstrate proof of residency in the downtown core, as defined by the Town of Estes Park’s Commercial Downtown (CD) zoning district. ii.ii)Rules & Regulations: 1) Permits are valid for an entire calendar year. 2) Each permit must be registered to a specific license plate. 3) Permits are valid only in one assigned parking area (lot), on a first-come, first-served basis. This assignment will be indicated on the permit. 4) Permits are not valid in time-limited or reserved spaces. Attachment 3 Page 164 Document Title: Policy 842 -– Parking Permits 11/24/20204/12/2022 Revisions: 01 Town of Estes Park, Public Works Page 2 of 7 4)5) There are no time restrictions for this permit; permit holders are allowed access to their assigned parking area 24 hours per day, seven (7) days per week. b. Overnight Permit: Downtown Rental Unit / Commercial Lodging i.i) Eligibility: 1) Overnight permits areThis permit type is only available to those who own, operate or manage a licensed rental unit/hotel room/lodging property in the downtown core, as defined by the Town of Estes Park’s Commercial Downtown (CD) zoning district. ii.ii)Rules & Regulations: 1) Permits are valid for an entire calendar year. 2) A valid hangtag issued by the Town must always be displayed on the vehicle’s rearview mirror. 3) Permits are valid only in one assigned parking area (lot). This assignment will be indicated on the permit. 4) Permits are not valid in time-limited or reserved spaces. 4)5) There are no time restrictions for this permit; permit holders are allowed access to their assigned parking lot/area 24 hours per day, seven (7) days per week. 5)6) A $20 replacement fee will apply for lost or damaged hangtags. c. Overnight Permit: General Use Overnight Parking i) Eligibility: i) General use overnight parking is only allowed in the following circumstances: 1) An individual is taking the Hiker Shuttle into Rocky Mountain National Park to camp overnight in the park; 2) An individual is participating in an extended hike in the Estes Park Valley (either on their own or as part of a commercially-run tour) and does not have a private location for their vehicle to park overnight; 3) An individual has an extraordinary/emergency need for overnight parking (e.g., vehicle is broken down). In this instance, the reason must be deemed appropriate by Parking & Transit Division staff; or 4) An individual is staying with a local lodging establishment and/or staying at a licensed vacation rental (e.g., VRBO, Airbnb) and the main lodging location does not have sufficient parking to accommodate all guests. ii.ii)Rules & Regulations: 1) Not valid for use on a recreational vehicle as defined by Chapter 13 of the Estes ValleyPark Development Code. 2) Permit holders may not sleep in their vehiclesvehicle at any time. 3) Valid for up to seven (7) nights. 4) Must be registered to a specific license plate. Vehicles that take up multiple spaces (e.g., truck pulling a trailer) will be required to pay per vehicle, per night for each occupied space. Page 165 Document Title: Policy 842 -– Parking Permits 11/24/20204/12/2022 Revisions: 01 Town of Estes Park, Public Works Page 3 of 7 5) Must be purchased in advanceat the time of parking. 6) Only valid in the designated area of the Events Complex Park-n-Ride lot (1125 Rooftop Way) as indicated on the following map: d. Overnight Permit: Temporary Guest Permit i) Eligibility: 1) This permit is available to those who are guests of a valid Downtown Resident Permit holder. 2) The Downtown Resident Permit holder must apply for the Temporary Guest Pass on behalf of their guests. ii) Rules & Regulations: 1) Not valid for use on a recreational vehicle as defined by Chapter 13 of the Estes Park Development Code. 2) Permit holders may not sleep in their vehicle at any time. 3) Valid for up to seven (7) nights. 4) Must be registered to a specific license plate. A valid hangtag issued by the Town must always be displayed on the vehicle’s rearview mirror. 5) Permits are valid only in one assigned parking area (lot). This assignment will be indicated on the permit. 6) Permits are not valid in time-limited or reserved spaces. There are no time restrictions for this permit; permit holders are allowed access to their assigned parking lot/area 24 hours per day, seven (7) days per week. Page 166 Document Title: Policy 842 -– Parking Permits 11/24/20204/12/2022 Revisions: 01 Town of Estes Park, Public Works Page 4 of 7 d.e. Employee Permit: Convenience PassPermit i.i) Eligibility: 1) Anyone who works in the downtown core is eligible to purchase this permit. 2) Applicant must provide proof of employment or that they conduct business in the downtown core, as defined by the Town of Estes Park’s Commercial Downtown (CD) zoning district. ii.ii)Rules & Regulations: 1) Permits are valid in any seasonal paid parking area. 2) Permit holders will receive a 50% discount on the hourly rate for all Town- established paid parking. 3) Permit holders are responsible for entering their personal access code and remitting payment prior to the commencement of their parking session (e.g., at the parking meter kiosk or via any current ParkMobile or Text2Park mobile payment options). An account can be set up in advance so that parking fees would be billed monthly. 4)2) Permits are valid for an entire annual paid parking season. 3) Permits are not valid in time-limited or reserved spaces. 5)4) Permit is not valid for overnight parking. 6)5) Only valid for non-marked personal vehicles (marked commercial vehicles are not eligible for this permit). 7)6) Each permit must be registered to a specific license plate. 7) There is no limit to the number of vehicles that can share one permit, however, permit holders that use a shared permit will be responsible for managing the shared use of their permits. The Town is not responsible for shared permit holders that receive a citation for attempting to use the same permit on more than one vehicle at one time. e.f. Business Permit: Commercial Loading i.i) Eligibility: 1) Anyone who works or conducts business in the downtown core (as defined by the Town of Estes Park’s Commercial Downtown (CD) zoning district) is eligible to purchase this permit. 2) Applicant must provide proof of employment or that they conduct business in the downtown core. 3) Subject to proof of current business license. ii.ii)Rules & Regulations: 1) Only valid for marked commercial or business vehicles (not for use on unmarked personal vehicles). 2) Valid in any public parking area.Permits are valid only in assigned parking areas (lots) and are available on a first-come, first-served basis. 2) Vehicles Permits are not valid in spaces for persons with disabilities, in fire lanes, or in spaces marked “Reserved” for other uses (e.g., Police, Library). Page 167 Document Title: Policy 842 -– Parking Permits 11/24/20204/12/2022 Revisions: 01 Town of Estes Park, Public Works Page 5 of 7 3) Vehicle displaying this permit must be actively loading or unloading people and/or goods. 4) Each permit must be registered to a specific license plate or plates, in the case of a shared permit. 5) There is no limit to the number of vehicles that can share one permit, however permit holders that use a shared permit will be responsible for managing the shared use of their permits. The Town is not responsible for shared permit holders that receive a citation for attempting to use the same permit on more than one vehicle at one time. 6) Parking shall be permitted between the hours of 5 p.m. and 10 a.m. One space per permit; multiple vehicles sharing a single permit may not park overnight at the same time. g. Local 60 Minutes Free i) Eligibility: 1) Anyone who resides within the Estes Park R3 School District. 2) Applicant must provide proof of residency. ii) Rules & Regulations: 1) Permits are valid in any seasonal paid parking area, for up to 60 minutes of free parking per day. 2) Permits are valid for an entire annual paid parking season. 3) Permits are not valid in time-limited or reserved spaces. 4) Permit is not valid for overnight parking. 5) Only valid for non-marked personal vehicles (marked commercial vehicles are not eligible for this permit). 6) Each permit must be registered to a specific license plate. 7) In the event of a conflict, the Estes Park Municipal Code controls over any provisions of this Policy. h. Volunteer Permit i) Eligibility: 1) This permit is available to any business, organization or governmental entity who offers uncompensated employment or volunteer opportunities in the downtown core (as defined by the Town of Estes Park’s Commercial Downtown (CD) zoning district). 2) Applicant must provide proof that those who will be receiving a volunteer permit are not being compensated, financially or otherwise. ii) Rules and Regulations: 1) Applicant must provide a specific time frame during which the permit(s) will be active. 2) This permit type can only be used while the vehicle’s driver is actively volunteering without compensation. The permit is not valid while the vehicle’s driver is conducting personal business. Page 168 Document Title: Policy 842 -– Parking Permits 11/24/20204/12/2022 Revisions: 01 Town of Estes Park, Public Works Page 6 of 7 3) Permits are issued as physical hangtags for temporary display in a volunteer’s vehicle. 4) The hangtag must be clearly visible in the dash of the vehicle. 5) During the time that the permit is active, it is the organization’s sole responsibility to distribute, manage and account for all permits, and ensure they are being used appropriately. 6) A $20 replacement fee will apply for lost or damaged hangtags. 3. 6.4. GENERAL RULES The following rules are generally applicable to all of the permit types listed above. Permit holders will be asked to review and agree via signature to the following terms prior to receiving any Parking Permit. i.a. Permits have no cash value and are non-transferable. ii.b. Permit holders must be parked legally in a designated public parking area (e.g.., no double-parking, parking in reserved areas, or parking in areas designated “No Parking”). Permits are not valid in spaces for persons with disabilities, in fire lanes, or in spaces marked “Reserved” for other uses (e.g., Police, Library). iii.c. Permit holder must move their vehicle within 24 hours for parking lot maintenance (e.g., striping, sweeping, cleaning, snow removal). Written notice will be provided to permit holders by email at least 24 hours in advance. If the vehicle has not been moved after 24 hours of notice, the vehicle will be removed from the parking area at the owner’s expense pursuant to Colorado statutes. d. Permits are valid only for designated purposes as described in this Policy. Vehicles are not exempt from paying hourly fees for paid parking when vehicles are parked out of compliance with the rules and regulations of this Policy, and such noncompliant parking is subject to enforcement under the Estes Park Municipal Code. iv.e. Any permit holder who does not abide by this Policy will risk loss of their permit. Upon first violation of the stated Rules and Regulations for their permit type, the permit owner will receive a written warning by email and USPS mail. A second violation will result in suspension of the permit for 30 days with the opportunity to appeal. Appeals must be submitted in writing to The Car Park, PO Box 2285, Estes Park, CO 80517, or in person at 363 East Elkhorn Ave, Suite 208 between the hours of 8 a.m. to 5 p.m. Monday through Friday.. A third violation could result in an additional suspension of the permit of up to 180 days with similar opportunity to appeal, as well as immediate revocation of one’s ability to purchase any additional parking permit for one year. The Parking and Transit Manager or designee is authorized to make determinations on such warnings, suspensions, and revocations, in their reasonable discretion. The hearing officer for any appeal shall be designated by the Town Administrator. Notice of suspension of permit shall be given with no less than ten (10) days’ opportunity to appeal, in the form and manner specified by the Parking and Transit Manager, unless, in the Parking and Transit Manager’s determination, the circumstances amount to an emergency and immediate suspension is warranted . Page 169 Document Title: Policy 842 -– Parking Permits 11/24/20204/12/2022 Revisions: 01 Town of Estes Park, Public Works Page 7 of 7 v.f. The Town of Estes Park assumes no responsibility or liability for all risks, losses, costs, and damages incurred during use of the Town-owned parking facilities. vi.g. Inoperable or abandoned vehicles are subject to towing at the owner’s expense pursuant to Colorado statutes. vii.h. Any vehicle parked in violation of these stated regulations may be removed at the owner’s expense pursuant to Colorado statutes. 5. COST OF PERMITS i.a. The cost of the Parking Permits is intended to be set annually by December 15 of the preceding year by resolution of the Town Board. ii.b. Full payment must be made prior to receiving the permit. Approved: Wendy Koenig, Mayor Date Page 170 Dear Mayor Koenig, and Trustees,  The Transportation Advisory Board (TAB) has continued to actively participate in the process of creating a proposed 2022 Seasonal Paid Parking Program. We appreciate the opportunity to provide thoughtful and constructive feedback that can assist in making the program successful and continue to thrive. In the Fall of 2021, TAB came before you with a list of successes from the implementation of the Downtown Parking Management Plan, Phase II. 1. Demonstrated movement of vehicles to the periphery lots. 2.Parking Structure usage increased significantly by 21%. 3.Turnover rate of 2.4 times on average, per day, in Town-controlled parking spaces allowing access to downtown businesses. 4.Program can support itself, demonstrated by net revenue at $300,000. in the first year of implementation. 5.Program aligns with other mountain communities such as Idaho Springs and Breckenridge programs. 6.Enhances environmental stewardship and health of our community. 7.Enhances the Estes Transit program. As a result of these improvements, our community and visitors experienced a reduction in congestion and an increase in traffic flow as recorded in the July 2021 Traffic Count Study conducted by Public Works Department. In Fall 2021, TAB members recommended: 1.Continuation of the Seasonal Paid Parking Program into 2022, without significant changes. Although there was discussion about the advantages and disadvantages to expanding paid parking lots and possible fee increases (triggered by using only a data driven analysis), TAB came to the awareness that the community was already experiencing enough stress from the on-going pandemic as well as needing time to adapt to changes to parking in downtown. 2.Robust improvements to the existing program such as signage and awareness of the parking apps., which could influence parking behaviors. TAB participation in communication improvements. During the winter months, TAB members actively engaged in discussions about how to improve the 2022 program. 1. Representation on the Parking Task Force and worked alongside downtown business representatives and leaders from the Chamber of Commerce and Visit Estes Park. Through discussions and sharing of perspectives, the group was able to understand areas of common interests and support. 2. Individual meetings with business and property owners that were productive. Attachment 4 Page 171 3. In March, TAB hosted Mark Igel and Jamie Palmesano to hear their presentation about their personal histories, the business and visitor perspectives and suggestions to improve the parking program. The TAB enthusiastically supports the following improvements that PW staff is presenting at this study session presentation. 1. Improvements to signage 2. Adding 4 new pay stations 3. Free and stronger Wi-Fi connectivity throughout the downtown 4.Employee Convenience Permit that is discounted based on the number of employees for fairness. 5.Volunteer Permit that recognizes the parking needs of local non-profit volunteers 6.Temporary Guest Pass for the short-term overnight residents 7.Special Events Permit for vendors needing overnight parking to station their vehicles for unloading. 8.Commercial Overnight Permit for marked commercial vehicles 9. Change hours to 10AM to 5PM, a data driven program change approach Further top suggestions: 1. Provide more time for TAB members to explore the details of multi-day express passes before introducing the program. There have been several concerning issues about the initial version discussed at the parking task force meeting. 2. Improve program promotion, so visitors and residents better understand more parking options. 3. Refine parking program education to encourage friendliness and flexibility. Example: Provide warning citations for first time violators. TAB recognizes the amount of time and effort Parking and Transit Manager, Vanessa Solesbee, PW Department and Car Park have dedicated to improving the Seasonal Paid Parking Program. We appreciate their approach to engaging directly with stakeholders and involving them in finding shared solutions. The TAB thanks the Honorable Mayor, Wendy Koenig, and Town Trustees for allowing the opportunity to provide our observations regarding the proposed 2022 Seasonal Paid Parking Program. Sincerely, Belle Morris Chair, Estes Park Transportation Advisory Board (PW Comment--this permit is not proposed tonight & may be discussed in the future.) Page 172 Start date Agenda_Item_Title Name Stance_on_item Comments_for_the_Board_of_Trustees_ 4/7/2022 12:33 PM Resolution 32-22. Jamie Palmesano Neutral As a member of the business community, I would like to take a moment and publicly thank Vanessa Solesbee, Donna Carlson, and the Downtown Parking Task Force for their efforts in seeking improvements for the Paid Parking Program. We are grateful for a platform where we can share feedback from our customers and work together to improve their parking experience in Estes. An excellent Estes Park experience for each visitor is our highest goal and it is exciting to know that we share this lofty goal with members from all facets of our community. We expect that the modifications for the 2022 program will result in a more accessible, friendly and efficient parking experience for all of the people we have the honor to welcome to our town. Public Comment received by 2022-04-08 Page 173       Page 174 TOWN ADMINISTRATOR’S OFFICE Memo To: Honorable Mayor Koenig Board of Trustees Through: Town Administrator Machalek From: Jason Damweber, Assistant Town Administrator Date: April 6, 2022 RE: Revisions to Policy 225 – Childcare Funding Guidelines (Mark all that apply) PUBLIC HEARING ORDINANCE LAND USE CONTRACT/AGREEMENT RESOLUTION OTHER Policy QUASI-JUDICIAL YES NO Objective: Approve revisions to Policy 225: Childcare Funding Guidelines Present Situation: The Town Board reviewed proposed revisions to Policy 225: Childcare Funding Guidelines at a Study Sessions held on February 8, with further discussion at a special Study Session held on March 1. The primary revisions discussed included clarification of the Town’s role with respect to childcare, creation of a reserve fund for expenditures related to childcare, and an explanation regarding how funds in the reserve can be used. Proposal: Review and approve revisions to Policy 225: Childcare Funding Guidelines. The revisions are based on direction provided by the Town Board. Substantive revisions are highlighted in the attached revised policy. Advantages: The revised policy clarifies the Town’s role with respect to childcare and establishes a reserve fund dedicated to providing funding to increase local childcare capacity. Disadvantages: When funds are dedicated to a particular purpose in a reserve fund, it typically means they cannot be used for other competing needs. Action Recommended: Staff recommends approval of the policy revisions. Finance/Resource Impact: To be determined. Page 175 Level of Public Interest High Sample Motion: I move for the approval/denial of Policy 225 – Childcare Funding Guidelines Attachments: 1.Revised Administrative Policy 225: Childcare Funding Guidelines (clean version) 2.Revised Administrative Policy 225: Childcare Funding Guidelines (redline version) Page 176 Document Title Policy 225 – Childcare Reserve Fund 04/12/2022 Revisions: 1 Town of Estes Park, Town Administrator’s Office Page 1 of 4 Effective Period: Until superseded Review Schedule: Annually Effective Date: October 13, 2020; Revised April 12, 2022 References: ADMINISTRATION 225 CHILDCARE FUNDING GUIDELINES 1. PURPOSE This policy articulates the Town’s role related to childcare, establishes a funding mechanism to address local childcare needs, and provides guidelines for how available funds shall be awarded. 2. PROBLEM STATEMENT The lack of childcare options in the Estes Valley creates significant challenges for families in the Estes Valley and for local organizations, including the Town, trying to recruit and retain employees. 3. PROCEDURE a. The Town’s Role i.The Town’s primary goal related to childcare is to create additional capacity for children in the Estes Valley, especially for infants and toddlers. The Town’s role in achieving this goal may include, but is not limited to: Providing funding that childcare providers can utilize for capital needs through: o Direct contributions from the Town’s budget (the Childcare Reserve Fund). o Serving as the applicant for grants or other financial assistance from other levels of government or agencies where the grantee must be a governmental entity. Providing property that childcare providers can utilize for capital needs that facilitate the creation of additional capacity for childcare. Making policy and/or zoning changes that facilitate the creation of additional capacity for childcare. Providing financial support through the Town’s Outside Entity Funding program to local nonprofits that exist to support children and families. Representing the Town of Estes Park in collaborative efforts to address childcare capacity issues. Providing financial support to childcare providers to assist with addressing workforce challenges. Attachment 1 Page 177 Document Title Policy 225 – Childcare Reserve Fund 04/12/2022 Revisions: 1 Town of Estes Park, Town Administrator’s Office Page 2 of 4 b. Childcare Reserve i. Establishment: There shall be a reserve within the General Fund dedicated to creating additional capacity for children, especially infants and toddlers, in the Estes Valley. ii. Appropriations to the Childcare Reserve: On an annual basis as part of the budget development process, Town staff will recommend a dollar amount to appropriate to the Childcare Reserve. The recommendation will be based on available funds and/or known needs in the community. Town staff will inform the Board if the recommended allocation to the reserve is expected to impact other Town operations. The Town Board may appropriate funds to the Childcare Reserve whenever and in whatever amount it deems appropriate. This consideration will occur concurrently with the Board’s consideration of an appropriation to the Workforce Housing Reserve. a) Other Revenues: In addition to the appropriations outlined above, other revenue sources for the Childcare Reserve may include donations, proceeds from the sale or lease of public property, and grants or other financial assistance related to childcare related activities. iii. Qualification/Eligibility Criteria for Funding from Childcare Reserve a)Entities or individuals receiving Town funds for childcare related purposes must: Be a childcare provider that provides or intends to provide year-round childcare for at least four children between the ages of 0 and 4 who are unrelated to the caregiver OR an in-home provider who provides year- round care for at least three children between the ages of 0 and 4 who are unrelated to the caregiver. Own or lease a facility or home (or demonstrate intent to own or lease a facility or home) located within the Estes Park School District R-3 where childcare services are provided or will be provided after capital improvements are made. Be in compliance with state and local health and safety requirements, if applicable. b)Among entities or individuals who meet the qualification criteria outlined above, although the Town reserves the right to make any funding decisions it is entitled to, priority/preference will be given to applicants who: Use Town funds to finance the design, construction, expansion, renovation or other improvements of facilities at which childcare services are provided in order to increase capacity. Provide year-round childcare for children between the ages of 0 and 2.5. Provide full day childcare for children between the ages of 0 and 2.5. Page 178 Document Title Policy 225 – Childcare Reserve Fund 04/12/2022 Revisions: 1 Town of Estes Park, Town Administrator’s Office Page 3 of 4 Can demonstrate ability to provide greatest number of new childcare spaces. Are licensed by the State of Colorado to provide childcare services. Are actively pursuing State licensure or demonstrate intent to pursue such. Can demonstrate that financial contributions from the requesting entity or individual will at least match funding from the Town. Can demonstrate how financial contributions from the Town will assist with addressing workforce challenges. iv. Childcare Reserve Expenditures: a) The Childcare Reserve will be the primary source of funds from the Town used to facilitate the creation of additional capacity for childcare or assist with addressing workforce challenges. b) Eligible expenditures from the Childcare Reserve include the following:  Financing the design, construction, expansion, renovation or other improvements to facilities at which childcare services are provided or will be provided in order to increase capacity or if such improvements are required to retain existing capacity.  Subsidizing tap fees for new construction or expansion of existing childcare facilities for facilities that qualify as a Day Care Center as defined in the Estes Park Development Code.  Purchasing property to be used for a childcare facility.  Providing financial assistance or subsidies to childcare providers that can be directly linked to addressing workforce challenges. The childcare provider, whether in-home or center based, must demonstrate how financial assistance from the Town will directly enable them to recruit and/or retain staff. For example, if financial assistance is provided to help with rent or utility bills, the provider must show how such assistance will result in higher wages or other benefits (such as health insurance) to employees. If financial assistance is provided to a single-person provider, they must demonstrate how such assistance is needed in order to begin or continue to provide childcare services. c) The Outside Entity Funding budget will be the source of Town funds for any other childcare expenditures, including Base Funding for the EVICS Family Resource Center, consistent with Finance Policy 671: Town Funding of Outside Entities. c. Process Page 179 Document Title Policy 225 – Childcare Reserve Fund 04/12/2022 Revisions: 1 Town of Estes Park, Town Administrator’s Office Page 4 of 4 i.Funds from the Childcare Reserve will be made available through either an application process (application attached) or direct contribution from the Town at the Town’s discretion. a)Application materials must demonstrate need and how funds will be used in order to increase childcare capacity or retain existing capacity, or address workforce challenges. Town staff, in consultation with partnering agencies as appropriate, will review applications and recommend funding allocations based on the criteria outlined in this document. d. Funding and Requirements i.Awards and award amounts will be determined by the Town and will depend on availability of funds in the Childcare Reserve. ii.The Town Administrator or Assistant Town Administrator may make award decisions and execute agreements for awards of $10,000 or less. The Town Board must make decisions and approve agreement for awards greater than $10,000. iii.The Town reserves the right to determine whether to disperse all funds prior to a project commencing, after a project is completed, or based on certain milestones. iv.Awards will be accompanied by an agreement from the Town that stipulates, at a minimum: a)If award amounts for capital projects are not spent within 12 months of the award date, the receiving entity or person will be required to return the funds to the Town, at the Town’s discretion. Extensions beyond 12 months may be granted depending on the project scope or other circumstances. b)If the receiving entity is no longer providing the childcare services that Town funds were awarded in order to facilitate after 24 months of the project completion date, the receiving entity or person will be required to return the funds to the Town. Repayment of tap fee subsidies may be waived by the Town at the Town’s discretion. c)Entities receiving Town funding will be required to submit a report to the Assistant Town Administrator at pre-determined intervals and upon completion of the project that details how funds were spent and provides supporting documentation to confirm expenditure of funds. d)The Town may require additional stipulations on a case-by-case basis as deemed necessary. Approved: _____________________________ Wendy Koenig, Mayor _____________ Date Page 180 POLICY 225 – CHILDCARE FUNDING GUIDELINES APPLICATION Page 1 of 2 Childcare Funding Application Funding Year: ______ Entity/Individual:________________________________________________________ Date of Establishment of Childcare Operations?:_______________________________ Contact Person:__________________________ Title:__________________________ Phone:___________________________ E-mail:_______________________________ Address_______________________________________________________________ Dollar amount requested: $_________________ Please provide the following information to help us assess your entity’s eligibility and need. Responses should submitted as an attachment to this application form. Does your childcare operation serve the Estes Valley? Y___ N___ 1. What population and geographic area will be targeted for service through this project or program (100 words max)? 2. How many children in the Estes Valley (total and unduplicated) do you expect to serve with the project or program for which you are requesting funding? What age groups (100 words max)? 3. Will you be able to demonstrate that the families you serve fall below 100% of Area Median Income? If so, how? (100 words max) (Note: Answering “No” to this question does not impact eligibility for funds.) 4. Describe the project or program that will be supported with the assistance of Town of Estes Park funding if granted (200 words max). a. Please attach your anticipated detailed budget for this project or program. 5. How will you measure the success of the project or program for which funding is requested (200 words max)? Page 181 POLICY 225 – CHILDCARE FUNDING GUIDELINES APPLICATION Page 2 of 2 6. Who will be responsible for the administration of the project or program for which you are requesting funding (name, title, and entity)? 7. If you are requesting funds on behalf of an existing entity, please attach the most recent fiscal year-end financial statements reflecting your entity’s beginning and ending balances for the year. This requirement can be met by submitting one or more of the following: a. Most recent financial statements as approved by your board b. Most recent audited statement or review by an outside expert c. Most recently filed IRS Form 990 OR If you are requesting funds on behalf of yourself as an in-home or unlicensed childcare provider, please skip #7 and respond to #8, below. 8. Please list all anticipated funding sources for this project or program. Be sure to highlight any opportunities to leverage Town funds with external funds. I swear and affirm that all of the information included in this application, its attachments, and its supplemental documents is true and correct to the best of my knowledge. I understand that funds awarded must be spent within twelve (12) months of the award date or the funds must be returned to the Town. I understand that the entity receiving Town funds to facilitate childcare service offerings must provide the services outlined in this application for a minimum of 24 months from the award date or the funds must be returned to the Town. _____________________________________________________________ Name and Signature of Requestor of Funds _____________________________________________________________ Name and Signature of Witness Page 182 Policy 225 – Childcare Funding Guidelines 4/6/224/125/22 Revisions: 10 Town of Estes Park, Town Administrator Page 1 of 8 Effective Period: Until superceded Review Schedule: Annually Effective Date: October 13, 2020; Revised April 12, 2022 References: N/A ADMINISTRATION 225 CHILDCARE FUNDING GUIDELINES 1. PURPOSE To provide guidelines for Town investments in childcare in order to increase capacity. Guidelines include qualification and evaluation criteria, including an indication of a preference for matching funds. This policy does not obligate the Town to budget for or disburse any funds for childcare purposes, but rather provides guidelines for how funds should be disbursed when budgeted. This policy articulates the Town’s role related to childcare, establishes a funding mechanism to address local childcare needs, and provides guidelines for how available funds shall be awarded. 2. PROBLEM STATEMENT The lack of availability of infant and toddler care in the Estes Valley is widely recognized as a crisis. The lack of childcare options creates significant challenges for families in the Estes Valley and for local organizations, including the Town, trying to recruit and retain employees. The lack of childcare options in the Estes Valley creates significant challenges for families in the Estes Valley and for local organizations, including the Town, trying to recruit and retain employees. Attachment 2 Page 183 Policy 225 – Childcare Funding Guidelines 4/6/224/125/22 Revisions: 10 Town of Estes Park, Town Administrator Page 2 of 8 3. PROCEDURE a. The Town’s Role i. The Town’s primary goal related to childcare is to create additional capacity for children in the Estes Valley, especially for infants and toddlers. The Town’s role in achieving this goal may include, but is not limited to:  Providing funding that childcare providers can utilize for capital needs through: o Direct contributions from the Town’s budget (the Childcare Reserve Fund). o Serving as the applicant for grants or other financial assistance from other levels of government or agencies where the grantee must be a governmental entity.  Providing property that childcare providers can utilize for capital needs that facilitate the creation of additional capacity for childcare.  Making policy and/or zoning changes that facilitate the creation of additional capacity for childcare.  Providing financial support through the Town’s Outside Entity Funding program to local nonprofits that exist to support children and families.  Representing the Town of Estes Park in collaborative efforts to address childcare capacity issues.  Providing financial support to childcare providers to assist with addressing workforce challenges. b. Childcare Reserve i. Establishment: There shall be a reserve within the General Fund dedicated to creating additional capacity for children, especially infants and toddlers, in the Estes Valley. ii. Appropriations to the Childcare Reserve: On an annual basis as part of the budget development process, Town staff will recommend a dollar amount to appropriate to the Childcare Reserve. The recommendation will be based on available funds and/or known needs in the community. Town staff will inform the Board if the recommended allocation to the reserve is expected to impact other Town operations. The Town Board may appropriate funds to the Childcare Reserve whenever and in whatever amount it deems appropriate. This consideration will occur concurrently with the Board’s consideration of an appropriation to the Workforce Housing Reserve. a) Other Revenues: In addition to the appropriations outlined above, other revenue sources for the Childcare Reserve may include donations, proceeds from the sale or lease of public property, and grants or other financial assistance related to childcare related activities. iii. Qualification/Eligibility Criteria for Funding from Childcare Reserve a) Entities or individuals receiving Town funds for childcare related purposes must:  Be a childcare provider that provides or intends to provide year-round childcare for at least four children between the ages of 0 and 4 who are unrelated to the caregiver OR an in-home provider who provides year- Page 184 Policy 225 – Childcare Funding Guidelines 4/6/224/125/22 Revisions: 10 Town of Estes Park, Town Administrator Page 3 of 8 round care for at least three children between the ages of 0 and 4 who are unrelated to the caregiver. Own or lease a facility or home (or demonstrate intent to own or lease a facility or home) located within the Estes Park School District R-3 where childcare services are provided or will be provided after capital improvements are made. Be in compliance with state and local health and safety requirements, if applicable. b)Among entities or individuals who meet the qualification criteria outlined above, although the Town reserves the right to make any funding decisions it is entitled to, priority/preference will be given to applicants who: Use Town funds to finance the design, construction, expansion, renovation or other improvements of facilities at which childcare services are provided in order to increase capacity. Provide year-round childcare for children between the ages of 0 and 2.5. Provide full day childcare for children between the ages of 0 and 2.5. Can demonstrate ability to provide greatest number of new childcare spaces. Are licensed by the State of Colorado to provide childcare services. Are actively pursuing State licensure or demonstrate intent to pursue such. Can demonstrate that financial contributions from the requesting entity or individual will at least match funding from the Town. Can demonstrate how financial contributions from the Town will assist with addressing workforce challenges. iv. Childcare Reserve Expenditures: a) The Childcare Reserve will be the primary source of funds from the Town used to facilitate the creation of additional capacity for childcare or assist with addressing workforce challenges. b) Eligible expenditures from the Childcare Reserve include the following: Financing the design, construction, expansion, renovation or other improvements to facilities at which childcare services are provided or will be provided in order to increase capacity or if such improvements are required to retain existing capacity. Subsidizing tap fees for new construction or expansion of existing childcare facilities for facilities that qualify as a Day Care Center as defined in the Estes Park Development Code. Purchasing property to be used for a childcare facility. Providing financial assistance or subsidies to childcare providers that can be directly linked to addressing workforce challenges. The Page 185 Policy 225 – Childcare Funding Guidelines 4/6/224/125/22 Revisions: 10 Town of Estes Park, Town Administrator Page 4 of 8 childcare provider, whether in-home or center based, must demonstrate how financial assistance from the Town will directly enable them to recruit and/or retain staff. For example, if financial assistance is provided to help with rent or utility bills, the provider must show how such assistance will result in higher wages or other benefits (such as health insurance) to employees. If financial assistance is provided to a single-person provider, they must demonstrate how such assistance is needed in order to begin or continue to provide childcare services. Page 186 Policy 225 – Childcare Funding Guidelines 4/6/224/125/22 Revisions: 10 Town of Estes Park, Town Administrator Page 5 of 8 c)The Outside Entity Funding budget will be the source of Town funds for any other childcare expenditures, including Base Funding for the EVICS Family Resource Center, consistent with Finance Policy 671: Town Funding of Outside Entities. c. Process i.Funds from the Childcare Reserve will be made available through either an application process (application attached) or direct contribution from the Town at the Town’s discretion. a)Application materials must demonstrate need and how funds will be used in order to increase childcare capacity or retain existing capacity, or address workforce challenges. Town staff, in consultation with partnering agencies as appropriate, will review applications and recommend funding allocations based on the criteria outlined in this document. d. Funding and Requirements i.Awards and award amounts will be determined by the Town and will depend on availability of funds in the Childcare Reserve. ii.The Town Administrator or Assistant Town Administrator may make award decisions and execute agreements for awards of $10,000 or less. The Town Board must make decisions and approve agreement for awards greater than $10,000. iii.The Town reserves the right to determine whether to disperse all funds prior to a project commencing, after a project is completed, or based on certain milestones. iv.Awards will be accompanied by an agreement from the Town that stipulates, at a minimum: a)If award amounts for capital projects are not spent within 12 months of the award date, the receiving entity or person will be required to return the funds to the Town, at the Town’s discretion. Extensions beyond 12 months may be granted depending on the project scope or other circumstances. b)If the receiving entity is no longer providing the childcare services that Town funds were awarded in order to facilitate after 24 months of the project completion date, the receiving entity or person will be required to return the funds to the Town. Repayment of tap fee subsidies may be waived by the Town at the Town’s discretion. c)Entities receiving Town funding will be required to submit a report to the Assistant Town Administrator at pre-determined intervals and upon completion of the project that details how funds were spent and provides supporting documentation to confirm expenditure of funds. d)The Town may require additional stipulations on a case-by-case basis as deemed necessary. 3. FUNDING AND APPROPRIATIONS The Town of Estes Park recognizes the need for increased capacity for childcare, especially for infants and toddlers. On an annual basis, the Town Board may appropriate funds in order to provide financial support for endeavors aimed at increasing the capacity for childcare. Such appropriations may be in the form of contributions to a reserve fund Page 187 Policy 225 – Childcare Funding Guidelines 4/6/224/125/22 Revisions: 10 Town of Estes Park, Town Administrator Page 6 of 8 earmarked for capital or other expenditures related to childcare, funds budgeted annually in a Capital Grant Pool to assist with capital needs for new facilities or improvements to existing facilities that would enable growth in capacity, and/or funds budgeted annually in the General Fund that are dedicated to increasing childcare capacity. 4. GUIDELINES FOR CAPITAL FUNDS a. Qualification Criteria for Capital Funds Entities or individuals receiving Town funds for childcare related purposes must: Be a childcare provider that provides or intends to provide year-round childcare for at least four children between the ages of 0 and 4 who are unrelated to the caregiver OR an in-home provider who provides year-round care for at least three children between the ages of 0 and 4 who are unrelated to the caregiver. Own or lease a facility or home located within the Estes Park School District R- 3 where childcare services are provided or will be provided after capital improvements are made. Be in compliance with applicable state and local health and safety requirements. b. Evaluation Criteria for Capital Funds Among applicants who meet the qualification criteria outlined above, priority/preference in determining how funds will be allocated shall be given to applicants who: Use Town funds to finance the design, construction, expansion, renovation or other improvements of facilities at which childcare services are provided in order to increase capacity. Provide year-round childcare for children between the ages of 0 and 2.5. Provide full day childcare for children between the ages of 0 and 2.5. Can demonstrate ability to provide greatest number of new childcare spaces. Are licensed by the State of Colorado to provide childcare services. Are actively pursuing State licensure or demonstrate intent to pursue such. Can demonstrate that financial contributions from the requesting entity or individual will at least match funding from the Town. 5. GUIDELINES FOR NON-CAPITAL FUNDS a. Qualification Criteria for Non-Capital Funds Entities or individuals receiving Town funds for childcare related purposes must: Be a childcare provider that provides or intends to provide childcare for at least four children who are unrelated to the caregiver OR an in-home provider who provides care for at least three children who are unrelated to the caregiver. Own or lease a facility or home located within the Estes Park School District R- 3 where childcare services are provided or will be provided after capital improvements are made. Be in compliance with applicable state and local health and safety requirements. Page 188 Policy 225 – Childcare Funding Guidelines 4/6/224/125/22 Revisions: 10 Town of Estes Park, Town Administrator Page 7 of 8 b. Evaluation Criteria for Non-Capital Funds Among applicants who meet the qualification criteria outlined above, priority/preference in determining how funds will be allocated shall be given to applicants who: Provide childcare for children between the ages of 0 and 11. Provide childcare for children whose household income falls below 100% of Area Median Income. Can demonstrate ability to provide greatest number of new childcare spaces. Are licensed by the State of Colorado to provide childcare services. Are actively pursuing State licensure or demonstrate intent to pursue such. 6. SELECTION PROCESS Town funds from any source will be distributed based on an application process (application attached). Application materials must demonstrate need and how funds will be used in order to increase childcare capacity. A selection committee made up of Town staff, in consultation with partnering agencies as appropriate, will review applications and recommend funding allocations based on the criteria outlined in this document. 7. FUNDING AND REQUIREMENTS Award amounts will depend on funds budgeted annually for the purpose of investment in childcare. The Town reserves the right to determine whether to disperse all funds prior to a project commencing, after a project is completed, or based on certain milestones (for larger or more costly projects). Awards will be made on a first-come, first-served basis. Awards will be accompanied by an agreement from the Town that stipulates, at a minimum: If award amounts are not spent within six (6) months of the award date, the receiving entity or person will be required to return the funds to the Town. If the receiving entity is no longer providing the childcare services that Town funds were awarded in order to facilitate after 18 months of the award date, the receiving entity or person will be required to return the funds to the Town. Entities or individuals are only eligible for funding once per 12 months. Entities receiving Town funding will be required to submit a report to the Assistant Town Administrator within seven (7) months of award date that details how funds were spent and provides supporting documentation to confirm expenditure of funds. The report must be no more than 350 words. Page 189 Policy 225 – Childcare Funding Guidelines 4/6/224/125/22 Revisions: 10 Town of Estes Park, Town Administrator Page 8 of 8 Approved: _____________________________ Wendy Koenig, Mayor _____________ Date Page 190 POLICY 225 – CHILDCARE FUNDING GUIDELINES APPLICATION Page 1 of 2 Childcare Funding Application Funding Year: ______ Entity/Individual:________________________________________________________ Date of Establishment of Childcare Operations?:_______________________________ Contact Person:__________________________ Title:__________________________ Phone:___________________________ E-mail:_______________________________ Address_______________________________________________________________ Dollar amount requested: $_________________ Please provide the following information to help us assess your entity’s eligibility and need. Responses should submitted as an attachment to this application form. Does your childcare operation serve the Estes Valley? Y___ N___ 1.What population and geographic area will be targeted for service through this project or program (100 words max)? 2.How many children in the Estes Valley (total and unduplicated) do you expect to serve with the project or program for which you are requesting funding? What age groups (100 words max)? 3.Will you be able to demonstrate that the families you serve fall below 100% of Area Median Income? If so, how? (100 words max) (Note: Answering “No” to this question does not impact eligibility for funds.) 4.Describe the project or program that will be supported with the assistance of Town of Estes Park funding if granted (200 words max). a.Please attach your anticipated detailed budget for this project or program. 5.How will you measure the success of the project or program for which funding is requested (200 words max)? Page 191 POLICY 225 – CHILDCARE FUNDING GUIDELINES APPLICATION Page 2 of 2 6.Who will be responsible for the administration of the project or program for which you are requesting funding (name, title, and entity)? 7.If you are requesting funds on behalf of an existing entity, please attach the most recent fiscal year-end financial statements reflecting your entity’s beginning and ending balances for the year. This requirement can be met by submitting one or more of the following: a.Most recent financial statements as approved by your board b.Most recent audited statement or review by an outside expert c.Most recently filed IRS Form 990 OR If you are requesting funds on behalf of yourself as an in-home or unlicensed childcare provider, please skip #7 and respond to #8, below. 8.Please list all anticipated funding sources for this project or program. Be sure to highlight any opportunities to leverage Town funds with external funds. I swear and affirm that all of the information included in this application, its attachments, and its supplemental documents is true and correct to the best of my knowledge. I understand that funds awarded must be spent within six twelve (612) months of the award date or the funds must be returned to the Town. I understand that the entity receiving Town funds to facilitate childcare service offerings must provide the services outlined in this application for a minimum of 18 24 months from the award date or the funds must be returned to the Town. _____________________________________________________________ Name and Signature of Requestor of Funds _____________________________________________________________ Name and Signature of Witness Page 192 Estes Park Museum Memo To: Honorable Mayor Koenig Board of Trustees Through: Travis Machalek, Town Administrator From: Derek Fortini, Museum Director Date: March 22, 2022 RE: Museum Annual Report: 2021 Report: Background The Estes Park Museum cultivates a passion for Estes Park History. Each year strategic initiatives are developed by Museum staff in consultation with the Assistant Town Administrator addressing goals beyond ongoing annual operations. The initiatives are derived from community interest and staff proposals that further the Museum’s mission to conduct activities that preserve, share, and respect the unique history of Estes Park. Initiatives are aligned with department resources and put into context within outcome areas. The overall Strategic Initiatives Outcome Areas align with Town Strategic Goals: 1)Preserve History (Town Strategic Goal: Outstanding Community Services) 2)Share History (Town Strategic Goal: Exceptional Guest Services) 3)Operational Excellence (Town Strategic Goal: Governmental Services and Internal Support) 2021 Strategic Initiatives Met •Digitize local newspapers from 1965-1978 •Secure funding for 2022 newspaper digitization phase (1978-1991) •Completed processing postcards from Estes Valley Library Donation •Phase III (additional 2,000 artifacts) of artifact cleaning, relocation, re- housing and catalogue update •Create a process for assigning insurance values of artifacts •Develop a Collections Processing Manual •Completion of Museum Annex Building Improvements, Phase I: Increase building foundation to 200 lbs/ft2 •Utilize contracted media specialist to conduct 5 oral history interviews •Identify process for collecting current newspapers Page 193 • Play/exterior property enhancements with Parks: Addition of three musical instruments between Museum main building and back historic buildings • Extend temporary exhibit: Now We Are Very Modern: Estes Park during the 1920s • Adjust ongoing operations due to COVID-19: increase amount of online programming while gallery is closed • Previously recorded oral history interviews offered online (multi-year project) o Basic research was done on how to pursue this while making several previously recorded interviews available to the public. This will continue into 2022. • Attend virtual conferences/trainings • Initiate Disaster Plan for Museum o Initial research complete 2021 Strategic Initiatives not met • Finish second part of walkway at Burch Ruins with State grant completing preservation project o State Grant cycle deferred to 2022 • Collect items/stories of current events o This did not take place due to lack of staff resources o Staff made some attempts, but received no community response • Refine collection through deaccessioning (the legal and ethical removal of artifacts from a collection; see Collections Policy 1207 for more details of what and how artifacts can be deaccessioned) o Due to lack of staff resources, this goal has been deferred • Develop a Collections Plan o Deferred to 2022 • Pursue grant to re-roof Birch Cabin (on State Register) and Hydroplant cottages (on National Register) o Need more support from Facilities Department to complete • Cobb-Macdonald Cabin and Historic Boyd Building interpretive signs o Deferred to future outcome • Complete Museum Annex public research space o The opening of this space should take place in 2022 • Utilize contracted media specialist to develop virtual content for Tours (Hydroplant/Downtown), virtual exhibit, oral histories online, artifact highlights o These goals were identified because of the Gallery closure due to COVID. Upon reopening in May 2021, these goals were not considered as a high priority. Page 194 Attendance Comparison Venue 2017 2018 2019 2020 2021 Cumulative 2017-2021 Estes Park Museum Gallery 3,533 3,6281 3,8232a & b 7184 4,4696 16,171 Estes Park Museum Programs and Tours 2,296 2,159 2,291 7125 3,1857 10,643 Historic Fall River Hydroplant 1,176 1,007 2693 04 544 2,996 Total 7,005 6,794 6,383 1,430 8,198 29,810 1. The Museum gallery was closed to prepare for the remodel project and to move artifacts for April-May, and October-December in 2018. In all, the gallery was open seven complete months. 2. Gallery attendance was affected by: a. Gallery was open May 31-December 28, 2019 (due to remodel January - May) b. Gallery hours were revised to Wednesday – Saturday, 10 a.m. - 4 p.m. year-round as opposed to May-October Tuesday-Saturday 10 a.m. -4 p.m., Sunday 1-4 p.m. and November – April Friday and Saturday 10 a.m. -4 p.m., Sunday 1-4 p.m. 3. In an attempt to manage workload, the Hydroplant was opened by appointment only in 2019. This effort created more of a time burden on staff. In 2021, hours were adjusted to Thursday – Saturday, 1-4 p.m. with docent led tours at 1, 2, and 3 p.m. Staff analyzed the times/days tours were requested in 2019 to establish the most popular times for hours. 4. The Museum closed to the public on March 15, 2020 due to COVID-19 and did not reopen in 2020. The Historic Fall River Hydroplant did not open in 2020 due to COVID-19. 5. This included 394 “in-person” program attendees before the closure and 318 YouTube views of virtual program presentations and recordings. 6. The Museum Gallery was opened from May 19,2021-December 31, 2021. 7. This includes attendance from 10 online programs and 59 walking tours attendees. Page 195 Gallery Attendance Page 196 2021 Collaborations: Estes Park Museum Friends & Foundation, Inc. • Continued to collaborate on the capital campaign for the funding to convert the Museum Annex into an ideal Collections and Research Facility • Sale of paver stones • Sale of Museum Friends publication Estes Park and Rocky Mountain National Park: Then and Now, Revised Edition • Newspaper Digitization (see below) Other Town of Estes Park Committees that Museum staff serve on: • Web Team • Customer Service Team • Volunteer Coordination Team • Grant Coordination Team • Philanthropy Committee Estes Valley Library District • Digitized roughly 14 years-worth of local newspapers (1965-1978). This is a multi-year project that will end when the local newspapers are digitized to the current year. Digitized, keyword-searchable files are available on the Colorado Page 197 Historic Newspaper Collection website (coloradohistoricnewspapers.org). The project is funded with an annual commitment of $5,000 from the Estes Valley Library District, $5,000 from the Estes Park Museum Friends & Foundation, Inc., and $5,000 from the Town of Estes Park. The Library and Museum Friends doubled their budget for the 2022 phase of the project. Outside Funding in 2021 •Estes Park Museum Friends & Foundation, Inc. o Donated $21,575 towards exhibits, collections, programming, and advertising expenses This included $8,000 towards the digitization of newspapers in 2021 and an additional $10,000 commitment for 2022 o Estes Park Museum Annex building improvements fundraising: YTD - $557,101 (growth of $13,244 during 2021) Collections Comparison 2016 2017 2018 2019 2020 2021 Acquisitions Donors 33 50 15 21 22 43 Items 9521 823 3002 154 215, 4 collections3 189, 4 collections3 Research Requests (utilizing the collection to answer history related questions posed by public researchers) Research Requests 61 145 87 115 86 121 (up 40%) Staff Hours spent researching 56 62 36 42.5 47.3 64.7 (up 36%) PastPerfect Catalogue Online searches conducted 2,081 3,514 3,408 2,561 2,710 2,917 (up 7%) 1.This number will increase in the future as the Estes Valley Library’s Local History Archive continues to be processed and accounted for as a 2016 donation 2.In April 2018, there was a hold in accepting donations (with a few exceptions), the donation hold was lifted in October of 2019 3.A collection is a group of archival materials numbering more than 100 individual pieces that are grouped together with a finding aid Page 198 Artifact Update Since the collections move from on- and off-site storage to the Museum Annex in 2018/2019, staff has taken the opportunity to clean and rehouse each artifact. While completing this task, database records are revised with the artifact’s new location, a new photograph, and a revision of any missing data. The process is ongoing and will benefit the preservation of artifacts, along with aiding staff and the public during research. Pre-2018 (preparation for move) 2018 2019 2020 2021 Total number and percentage updated out of 32,404 artifacts currently recorded in database Number of artifacts updated 1,032 625 1,231 3,983 3,065 10,097 or 31% Volunteer Comparison Museum volunteers hold specific titles of Gallery Host, Historic Fall River Hydroplant Tour Docent, Volunteer Collections Assistant, Volunteer Exhibit Assistant, and Downtown Walking Tour Docent. 2017 20181 20192 20203 20213 Volunteers 45 40 31 18 28 Hours 3,239 1,456 1,096 527 1,165 1. In 2018, the total volunteer hours were affected by the closure of the Museum gallery for 5 months out of the year. 2. In 2019, the total volunteer hours were affected by the gallery being open only 7 months out of the year because of the building remodel. 3. Even though the gallery closed to the public in March 2020, volunteers assisted in a limited capacity with projects in Collections throughout the year. This carried though through the gallery reopening in May 2021. Strategic Initiatives for 2022 • Finish second part of walkway at Birch Ruins completing preservation project (Grant dependent: State Grant application due in February) • Digitize newspapers from 1978-1991 • Continue processing local history collection from Estes Valley Library • Continue to work on donation backlog Page 199 •Complete phase of artifact cleaning, relocation, re-housing, and catalogue update o Phase IV: additional 5,000 records •Museum Annex improvements: o Phase II: Annex building upgrades/compact storage (Museum Friends Funding) •Utilize contracted media specialist to conduct 9 oral histories •Cobb-Macdonald and Historic Boyd Building interpretive signs •Historic Boyd Building temporary exhibit o 2022: Greig Steiner exhibit •Complete Annex public research space o Define/promote access time/hours for use •Develop virtual content: o Continue to publish oral histories online o Film on Birch Ruins/Cabin with completion of grant •Add and develop Museum Assistant 2022 summer seasonal position: o Operate/Oversee seasonal operation of Historic Fall River Hydroplant Volunteer management Facility responsibility Explore specific invitations to Hydroplant with regional towns, universities, and senior centers o Explore popularity of times and topics of tours outside the Museum Offer Birch Ruins/Cabin tour on Knoll-Willows property Offer downtown walking tour o Program assistance •Knoll-Willows signage for historic Stanley Golf Course (Parks to install sign) •Draft Disaster Plan for Museum and make any necessary purchases •Explore how to convert lighting in Museum Annex building to LED for efficiency/better preservation of artifacts 2021 Oral History Interview Highlights Below are quotes from the much larger stories of five local individuals filmed and interviewed by the Estes Park Museum in 2021. These interviews will be available to view at www.estes.org/museum in the near future. With the increased budget for 2022, there are plans to capture 9 oral history interviews throughout the current year. Greig Steiner: A permanent resident since 1959, Greig Steiner has been involved in the local theatre, art, and architecture scene since he has arrived. “…Not only the theatre itself, but the entertainment values in the Town of Estes Park changed tremendously when TV came. The main street had 4-5 nightclubs of some sort or another and there was Harmony Ranch…the Stanley Hotel had nightly dancing… And many of the lodges had entertainment and dancefloors and that sort of thing. Page 200 When TV hit town, they started closing down hand over fist because people were, instead of coming out to theatre and that sort of thing, they were huddled over television sets in the motels.” Dorothy Scott Gibbs: A permanent resident since 1994, Dorothy is the descendant of a multigenerational family dating back to summering in Estes Park in the 1890s. “In 1976, I happened to be leading a student tour to France. And we were in Paris, we were getting ready to come home. We had been in Paris for the laying of the wreath and Arc de Triomphe and all this in celebration of the United States… bicentennial. And we were boarding the plane to come home, my students and I, and one of them saw an English language newspaper and the flood in Estes Park was in that newspaper in Paris…” Fire Chief David Wolf: Relocating to Estes Park in 2016 to become Chief of the Estes Valley Fire Protection District, Chief Wolf was instrumental in leading the operations of the 2020 Cameron Peak and East Troublesome Fires. “…but that is where the community aspect really comes together: people looking out for each other. It’s not every person for themselves. It’s ‘ok, this person is going to make sure all the volunteer fire fighter families are taken care of and are going to the same evacuation center and have the support of each other that they need.’ Instead of having to worry about, you know: ‘my wife being all on her own with, you know, two kids under seven’ and navigating that. So, the team family atmosphere of those emergency service organizations really shines through at a time like that.” Lois Smith: The second owner of the historic Baldpate Inn (now known as the Seven Keys Lodge), Lois Smith owned and operated the 1917 hotel for over 35 years beginning in 1986. “People would ask me what’s my favorite key, and every day it was a different key because every key in there has a different story…” “I think the best success for Baldpate is the fact that it is still there. It’s still being run by a family. It’s still a unique location. It’s got a family vibe that is hard to create in today’s world. So I think being able to look up there and see the property, much as it was in the very beginning in 1917 when they opened their doors. You know, from the outside, it doesn’t look all that much different, a little bit bigger, but, you know, still a beautiful property. Still a place families can go to make memories. I think that is it.” Greg White: Beginning to work with the former Town attorney in 1974, Greg White held the title of the Town of Estes Park Attorney from 1980 into 2019. “First of all, the seasons has changed a little bit; it expanded. Used to be, when I started (mid-1970s), from (the) first of October ‘til June first, there was nothing going on. Now, I think there is nothing going on from January to the first, of maybe, May. The Page 201 seasons have expanded, there is a lot more emphasis on recreation, and the Town is just bigger, it has doubled in size… there has been a lot more building that just isn’t core activity; it’s more outside activity for recreation and the health of the entire community.” Page 202