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HomeMy WebLinkAboutPACKET Town Board 2022-09-13The 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, September 13, 2022 7:00 p.m. 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, September 13, 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. PLEDGE OF ALLEGIANCE. (Any person desiring to participate, please join the Board in the Pledge of Allegiance). PROCLAMATION – CONSTITUTION WEEK. AGENDA APPROVAL. PUBLIC COMMENT. (Please state your name and address). TOWN BOARD COMMENTS / LIAISON REPORTS. TOWN ADMINISTRATOR REPORT. CONSENT AGENDA: 1. Bills. 2. Town Board Minutes dated August 23, 2022, Town Board Study Session Minutes dated August 23, 2022 and Special Joint Study Session Minutes dated August 19, 2022. 3. Audit Committee Minutes dated August 31, 2022. 4. Transportation Advisory Board Minutes dated July 20, 2022 (acknowledgment only). 5. Revised Policy 305 – Benefits. Prepared 09-02-2022 *Revised 09-09-2022 Page 1 NOTE: The Town Board reserves the right to consider other appropriate items not available at the time the agenda was prepared. 6. Resolution 67-22 Intergovernmental Agreements with the United States Department of Agriculture (USDA) for Grant Funding and Loan Financing to Support the Reconstruction of the Former Prospect Mountain Water Distribution System and USDA Financing Agreements for Construction of the Replacement Water Distribution System of the Former Prospect Mountain Water Company, comprised of a Grant, a 40-Year Loan t and Declaring an Emergency. 7. Resolution 68-22 USDA Loan Resolution to fund the Prospect Mountain Water System Reconstruction Project. 8. Resolution 69-22 Limited Waiver of Section 5.3 of the Intergovernmental Agreement with Platte River Power Authority Regarding Changes to Billing Rate. 9. Resolution 70-22 Setting the Public Hearing for a New Hotel and Restaurant Liquor License Application for Della Terra LLC dba Della Terra Mountain Chateau for September 27, 2022. 10. Resolution 71-22 Setting the Public Hearing for a New Lodging and Entertainment Liquor License Application for Della Terra LLC dba Della Terra Events for September 27, 2022. REPORTS AND DISCUSSION ITEMS: (Outside Entities). 1. ESTES PARK HOUSING NEEDS: PAST, PRESENT, AND FUTURE. Board Chairperson Blackhurst. LIQUOR ITEMS: 1. RESOLUTION 72-22 TRANSFER OF A RETAIL LIQUOR LICENSE FROM RAMBO’S LONGHORN LIQUOR, INC., DBA RAMBO’S LONGHORN LIQUOR TO AAA, INC., DBA LONGHORN LIQUOR, 1640 BIG THOMPSON AVENUE, ESTES PARK, CO 80517. Town Clerk Williamson. To consider the transfer of the current liquor license to the new business owner to allow them to continue the sale of alcohol at the location. ACTION ITEMS: 1. RESOLUTION 73-22 AMENDING THE INTERGOVERNMENTAL AGREEMENT WITH THE COLORADO DEPARTMENT OF TRANSPORTATION FOR US 36/COMMUNITY DRIVE INTERSECTION IMPROVEMENTS. Director Muhonen. Supplemental funding for the proposed roundabout. 2. FEE WAIVER REQUEST, 1041 SOUTH SAINT VRAIN AVENUE, PROSPECTOR APARTMENTS (FORMERLY KNOWN AS WIND RIVER APARTMENTS), RURAL COZ ESTES PARK LLC, OWNER/TRIUMPH DEVELOPMENT WEST, APPLICANT. Director Garner. To consider the fee waiver request for building division fees. 3. RESOLUTION 74-22 AGREEMENT WITH RURAL COZ ESTES PARK ST VRAIN LLC FOR WATER TAP FEES FOR THE PROSPECTOR APARTMENTS. Director Hudson. To consider the proposed installment agreement for water tap fees for the Prospector Apartments development. 4. ACCEPT DELIVERY OF THE AUDITED FINANCIAL STATEMENTS FOR THE YEAR ENDING DECEMBER 31, 2021. Director Hudson and Manager Garcia. To consider formally accepting the Haynie & Company audit of the Annual Comprehensive Financial Report (ACFR) for the year ended December 31, 2021. * * Page 2 5. APPOINTMENT OF HAYNIE & COMPANY TO PERFORM THE AUDIT OF THE ANNUAL FINANCIAL REPORT FOR THE YEAR ENDING DECEMBER 31, 2022. Director Hudson and Manager Garcia. The Town is required to have an annual audit of its Annual Comprehensive Financial Report (ACFR), this action would be the third year of a five-year engagement with Haynie & Company. 6. RESOLUTION 75-22 SUPPLEMENTAL BUDGET APPROPRIATIONS #3 SUPPLEMENTAL COMPENSATION ADJUSTMENT. Town Administrator Machalek, Director’s Hudson and Williamson. ADJOURN. Page 3       Page 4 Town of Estes Park, Larimer County, Colorado, August 23, 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 in said Town of Estes Park on the 23rd day of August, 2022. Present: Wendy Koenig, Mayor Scott Webermeier, Mayor Pro Tem Trustees Marie Cenac Kirby Hazelton Barbara MacAlpine Patrick Martchink Cindy Younglund Also Present: Travis Machalek, Town Administrator Jason Damweber, Assistant Town Administrator Dan Kramer, Town Attorney Jackie Williamson, Town Clerk Bunny Victoria Beers, Deputy Town Clerk Absent: None Mayor Koenig called the meeting to order at 7:00 p.m. and all desiring to do so, recited the Pledge of Allegiance. AGENDA APPROVAL. Trustee Younglund requested the Workforce Housing Regulatory Linkage Fee discussion item be removed from the agenda. Trustee Hazelton requested clarification on public comment on non-agenda and non-actionable items. The Board agreed to allow public comment on the discussion item following approval of the agenda and Trustee Younglund removed her request. It was moved and seconded (Hazelton/Webermeier) to approve the Agenda as presented, and it passed unanimously. PUBLIC COMMENTS. Cato Kraft, Estes Park Nonprofit Resource Center (EPNRC) Executive Director introduced Gena Duran, the new Diversity Engagement Coordinator. Director Kraft acknowledged the $12,000 increase in EPNRC base funding request which would help offset the cost of the new position. Gena Duran stated her excitement to collaborate and build trusting relationships with members of the community in her new role. Members of the public spoke in favor of repealing Ordinance 02-22 which established the Workforce Housing Regulatory Linkage Fee including: Bob Fixter/Town citizen, Carissa Streib/Estes Chamber of Commerce Board Chair and William Brown/Town citizen. Comments have been summarized: Concerns for double taxation on vacation home operators; HB22-1117 and the proposed increase to the lodging tax to address workforce housing and childcare initiatives; and lack of community support for the ballot issue to increase the lodging and accommodations tax without repealing Ordinance 02-22. TRUSTEE COMMENTS. Trustee comments have been summarized: Both Comprehensive Plan Advisory Committee meetings in August were cancelled to allow consultants time to continue work on the comprehensive plan; the Estes Valley Watershed Coalition program on Climate Change and Sustainability was well attended and established climate change as a concern for the community; Trustee Cenac would attend the Colorado Association of Ski Towns August meeting, topics for discussion would include State and Federal Immigration Issues, U.S. Forest Service Regional Recreation Investment Strategy and roundtables related to housing and other issues; Western Heritage would dissolve with funds being transferred over to the Foundation and the event being organized by the Town moving forward; Visit Estes Park would host a roundtable discussion on marketing strategy, ongoing efforts and to allow public input on the upcoming ballot issue; Police Auxiliary September and October training would be focused on defensive tactics and radio communication and have started their school zone monitoring operations to ensure the safety of the students in the upcoming year; the Estes Park Economic Development DR A F T Page 5 Board of Trustees – August 23, 2022 – Page 2 Corporation (EDC) reviewed 2022 budget amendments and would hold a series of Fall events; Scott Moulton to join the EDC Board; the Transportation Advisory Board received a mid-summer parking update from The Car Park and discussed Cleave Street Improvement options and encouraged the community provide input through the survey; Downtown Wayfinding survey results can be viewed on the Town’s website; the Behavioral Health Committee had selected a number of organizations for 2023 funding and would consider expanding further; and the Mayor announced the Department of Local Affairs awarded a grant in the amount of $1,190,250 to assist with the Estes Park Broadband Planning and Implementation Project. TOWN ADMINISTRATOR REPORT. Town Administrator Machalek stated a public meeting would be held on August 25, 2022 regarding conceptual designs and to elicit feedback on the Cleave Street Improvement project. CONSENT AGENDA: 1. Bills. 2. Town Board Minutes dated August 9, 2022. 3. Family Advisory Board Minutes dated July 7, 2022 (acknowledgment only). 4. Change Order for a Contract Extension of the 2022 Overlay & Patching Program with Coulson Excavating Co. Inc., for $227,042 – Budgeted. 5. Resolution 63-22 First Extension of the Memorandum of Understanding for Workforce Housing Occupancy Certification with the Estes Park Housing Authority. 6. Resolution 64-22 Intergovernmental Agreement for Fleet Services with the Estes Valley Fire Protection District, $43,885 – Budgeted. 7. Resolution 65-22 Amendment to Idlewild Water Lease. It was moved and seconded (Webermeier/Younglund) to approve the Consent Agenda, and it passed unanimously. REPORTS AND DISCUSSION ITEMS: (Outside Entities). 1. ESTES PARK ECONOMIC DEVELOPMENT CORPORATION (EDC) UPDATE. EDC Chair Cramer and President/CEO Shake provided an update on EDC efforts, the Business Accelerator Services of Estes Program, and workforce development. He stated approximately 20 businesses would participate in the program in 2022. Key problems identified in the community included: declining and aging workforce, workforce attraction and retention, demand for workforce housing, demand for childcare services, better entrepreneurial ecosystem, frequency/intensity of natural disasters and resulting business recovery challenges. He outlined opportunities for success related to economic development impact, the EDC vision, workforce housing initiatives and housing advocating accomplishments. He elaborated on the missing middle and highlighted the importance of discussing living wage. EDC Chair Cramer provided information on the E-Center formed by the Ecosystem Committee which allows key innovators the ability to tell their story during sessions held throughout Town. The Board requested more information on the metrics utilized to measure success for businesses to which the EDC responded they collect data through program surveys and would have more data after the 2022 BASE program conclusion. ACTION ITEMS: 1. RESOLUTION 66-22 2022 ESTES VALLEY FIRE PROTECTION DISTRICT COMMUNITY WILDFIRE PROTECTION PLAN (CWPP). Town Administrator Machalek stated the Estes Valley Fire Protection District (EVRPD) collaborated with the Town, Larimer County, the Colorado State Forest Service and the Estes Valley Watershed Coalition to update the 2009 CWPP to address changing conditions and take advantage of fire science breakthroughs. EVFPD Chief Wolf provided a history of eleven wildfires in the valley since 2000. The CWPP would entail four main steps: Community Engagement, Wildfire Risk Analysis, Project Prioritization and On-the Ground Action. The plan was completed by The Ember Alliance. He reviewed a DR A F T Page 6 Board of Trustees – August 23, 2022 – Page 3 relative risk mapping which helped identify project priority areas. Highlights of the updates include a wildfire risk analysis, prioritization of mitigation activities, and implementation recommendations. The plan would be utilized as a tool for the Fire District, Town, land managers, residents, communities, and homeowner’s associations (HOA’s) to prioritize projects to make the Estes Valley a safer and more resilient community against wildfire. Staff recommended adoption of the 2022 CWPP signifying a commitment to work with community partners to implement the recommendations contained in the plan. It was moved and seconded (Webermeier/Hazelton) to approve Resolution 66-22 and it passed unanimously. REPORTS AND DISCUSSION ITEMS: 1. WORKFORCE HOUSING REGULATORY LINKAGE FEE. At the Board’s request Town Clerk Williamson provided an overview of the history of the fee study, final results and Ordinance 02-22 approved on March 22, 2022. Attorney Kramer stated Ordinance 02-22 was in effect and staff would begin collecting the linkage fee at the beginning of 2023 concurrently with annual renewals of vacation home licenses. Board comments and questions have been summarized: What the total number of short term rental licenses are in valley; whether staff had any information related to County changes currently being discussed; clarification was requested on the residential CAP and the $15,000 increase from March in potential funding; when the linkage fee would be collected, and if approved by voters when would the increased lodging and accommodations tax be collected. Mayor Koenig recommended tabling the discussion until the results of the November election and requested Board comments. Mayor Pro Tem Webermeier requested staff prepare an ordinance to repeal Ordinance 02-22 and supported a decision in advance of the November election. A majority of the Board were in favor of tabling the discussion. Comments have been summarized: HB22-1117 would be an opportunity for substantial funding which should not be contingent upon the repeal of the linkage fee; whether the lodging increase passes in November there have been no funds collected to address workforce housing and childcare needs in the community to date; both the linkage fee and lodging tax increase would provide approximately $5.9 million dollars which could begin to address the issues; the linkage fee if removed would represent approximately 11% of the funding anticipated if both the linkage fee and the lodging tax increase are implemented. The Board was in agreement to schedule a special study session in November 2022 following the November 8, 2022 General Election to further discuss the linkage fee. Whereupon Mayor Koenig adjourned the meeting at 9:03 p.m. Wendy Koenig, Mayor Bunny Victoria Beers, Deputy Town Clerk DR A F T Page 7 Town of Estes Park, Larimer County, Colorado, August 23, 2022 Minutes of a Study Session meeting of the TOWN BOARD of the Town of Estes Park, Larimer County, Colorado. Meeting held at Town Hall in said Town of Estes Park on the 23rd day of August, 2022. Board: Mayor Koenig, Trustees Cenac, Hazelton, MacAlpine, Martchink, Webermeier and Younglund Attending: All Also Attending: Town Administrator Machalek, Assistant Town Administrator Damweber, Attorney Kramer, Town Clerk Williamson Absent: None Mayor Koenig called the meeting to order at 6:00 p.m. OVERVIEW OF BUDGETARY IMPLICATIONS OF RECESSIONS. Director Hudson provided an overview of a recession, noting recessions are officially declared by the National Bureau of Economic Research in the United States; highlighted recent recessions, including COVID-19 in 2020, the Great Recession in 2007 – 2009; and the collapse of the dot.com bubble in 2001. He discussed the impact of the most recent recession on the local economy noting a decrease in sales tax of approximately 7.4% which required the Town to decrease sales tax projections, impose a hiring freeze, reduce seasonal hires, cancel events, and reduce expenditures by $10 million. The Town held monthly meetings to ensure it was responding appropriately to changes in the economic climate, monitored utility delinquencies, and cash and investments were monitored for liquidity. The Town has policies and procedures in place to effectively manage future recession, including budgeting revenues conservatively, regularly monitoring financial position, amend budgets as necessary throughout the year to address financial changes, and Finance Policy 670 has established a set of contingency actions to mitigate financial downturns without having to set aside large reserves. SEMI-ANNUAL COMPLIANCE REVIEW WITH BOARD GOVERNING POLICIES – POLICY 1.10 SELF-MONITORING OF THE BOARD. Mayor Koenig questioned if the Board had any questions or concerns related to the Board Governance policies. No comments or questions were discussed. TRUSTEE & ADMINISTRATOR COMMENTS & QUESTIONS. None. FUTURE STUDY SESSION AGENDA ITEMS. The September 13th meeting would include a discussion on a racial covenant ordinance and a proposed framework for expenditure of potential lodging tax revenues. The September 27th meeting would include a discussion on the draft wayfinding plan and building codes. Mayor Koenig requested a study session on the Western Heritage issues at a future meeting. There being no further business, Mayor Koenig adjourned the meeting at 6:45 p.m. Jackie Williamson, Town Clerk DR A F T Page 8 Town of Estes Park, Larimer County, Colorado August 19, 2022 Minutes of a Joint Study Session meeting of the ESTES PARK TOWN BOARD and LARIMER COUNTY COMMISSION of the Town of Estes Park, Larimer County, Colorado. Meeting held in said Town of Estes Park on the 19th day of August 2022. Town Board: Mayor Koenig, Mayor Pro Tem Webermeier, Trustees Cenac, Hazelton, MacAlpine, Martchink and Younglund County Commission: Chair Kefalas, Commissioners Shadduck-McNally and Stephens Also Attending: Assistant Town Administrator Damweber, Attorney Kramer, County Manager Volker, County Community Planning Director Kadrich, Public Works Director Muhonen and Deputy Town Clerk Beers Absent: Trustee Cenac and Town Administrator Machalek. STORMWATER AUTHORITY DISCUSSION. Director Muhonen stated the stormwater utility concepts had been researched and discussed for the last four years. Building encroachment toward streams has increased over time further increasing the risk of repetitive flood damage in the Estes Valley. The Estes Valley Stormwater Management Programs implementation relies on decisions about scope, service area, and funding. Director Muhonen anticipated funding from three sources: grants at 20%, ($28 million), user fees at 30% ($40 million), and sales tax at 50% ($70 million) for a total program cost of $138 million by the year 2050. Coordinating a sales tax ballot question would be complex due to the expansive area of the program. The Elected Boards agreed the program area should be defined as the watershed and acknowledged adjustments can be made over time. Discussion ensued and has been summarized regarding program funding, imposing a new user fee or sales tax and formation of a special district: questioned the relationship between neighboring communities within the watershed which are not in the Estes Valley Development Area and Rocky Mountain National Park; whether the analyzed area includes vacant lots; questioning the comparison between the watershed and utility service area for the Town; associating the fee with impervious area in a fair way for land which would eventually be built to contribute to the administrative fee of the program; reviewing uninhabited land which contains impervious area; imposing a fee on developed property and not including vacant property; benefits of tying a rate solely to impervious area and its complexities; clarification was requested regarding the process of referring the item to the voters, timing and past community outreach efforts; concerns were stated for back to back tax questions posed to the voters; comparison between a fee and a sales tax; whether staff has generated a map reflecting the shrinkage of the floodplain after program completion; safety concerns were heard related to the decrease in time between catastrophic events; interest in pursuing funding from the infrastructure and climate bills; contingency plans if funding sources do not reach anticipated percentages; and the prioritization. Discussion ensued regarding property tax and implications of creating a special district. It was noted the stormwater authority would be voted on by the Planning Commission for the County. Consensus was reached to draft an intergovernmental agreement, direct staff to research cost models and grant funding opportunities and bring information back to the Board in approximately three months. There being no further business, Mayor Koenig adjourned the meeting at 3:25 p.m. Bunny Victoria Beers, Deputy Town Clerk DR A F T Page 9       Page 10 Town of Estes Park, Larimer County, Colorado, August 31, 2022 Minutes of a Regular meeting of the AUDIT COMMITTEE of the Town of Estes Park, Larimer County, Colorado. Meeting held in the Municipal Building in said Town of Estes Park on the 31st day of August, 2022. Committee: Mayor Koenig, Mayor Pro Tem Webermeier, Trustee Hazelton, Town Administrator Machalek, Finance Director Hudson, and Accounting Manager Garcia Attending: Mayor Koenig, Mayor Pro Tem Webermeier, Trustee Hazelton, Town Administrator Machalek, Assistant Town Administrator Damweber, Finance Director Hudson, Accounting Manager Garcia, Recording Secretary Disney, and Auditors Christine Mcleod and Abbie Irvine Absent: None Mayor Koenig called the meeting to order at 3:00 p.m. 2021 COMPREHENSIVE ANNUAL FINANCIAL REPORT (CAFR) AND AUDIT REVIEW. Christine Mcleod and Abbie Irvine, Haynie & Company, reviewed field work the audit scope, procedures, required communication in accordance with audit standards, financial highlights and new accounting standards and general observations. McCloud stated there were no Single Audit Reports for 2021. Irvine commented on issues with collecting inventory counts due to staffing changes and future efforts to schedule inventory counts for 2022. The Committee discussed Town inventories opposed to assets, external legal restrictions, net of accumulated depreciation of capital assets, the ballot issue for an increase to the lodging tax and affects it may have on future audits should it pass, and merits of the Local Marketing District completing a separate audit from the Town. Director Hudson stated the audit would be presented to the Town Board on September 13, 2022 as an action item. CONSIDER APPOINTMENT OF HAYNIE & COMPANY TO PERFORM THE 2022 AUDIT. Director Hudson recommended the appointment of Haynie & Company to perform the 2022 audit of which the committee was in agreement. This would be presented to the Town Board on September 13, 2022 as an action item. There being no further business, Mayor Koenig adjourned the meeting at 3:58 p.m. Kimberly Disney, Recording Secretary DR A F T Page 11       Page 12 Town of Estes Park, Larimer County, Colorado, July 20, 2022 Minutes of a Regular meeting of the TRANSPORTATION 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 20th day of July, 2022. Board: Chair Morris; Vice-Chair Ekeren; Members Bernal, Ferko, Finley, Gamble, Hanick, Igel, and Slack Attending: Chair Morris; Vice-Chair Ekeren; Members Bernal, Ferko, Gamble, Hanick, Igel, and Slack; Managers Hook and Solesbee; Director Muhonen; Trustee Martchink; Recording Secretary McDonald; and Jessica Garner, Town of Estes Park Community Development Director Absent: Member Finley Chair Morris called the meeting to order at 12:06 p.m. PUBLIC COMMENT None. TRUSTEE LIAISON UPDATE Trustee Martchink reported no updates. APPROVAL OF MINUTES DATED JUNE 15, 2022 It was moved and seconded (Igel/Bernal) to approve the June 15, 2022, minutes, and the motion passed unanimously. COMPREHENSIVE PLAN, TRANSPORTATION & INFRASTRUCTURE Director Garner presented the Estes Forward (EF) Draft Goals and Policies document and invited the TAB to provide comments and questions during and any time before the next draft due out in mid-August. The EF plan, which is intended to boldly improve upon the 1996 comprehensive plan, outlines its vision, guiding principles, goals, and policies under the categories of Natural Environment, Economy, Health & Social, Housing, and Transportation & Infrastructure. Discussion points included the importance of updating comprehensive plans approximately every ten years; the cross-category nature of certain goals, and how all goals will be prioritized in the final EF plan; the possibility of separating transportation and utility infrastructure goals; how the plan will affect the Estes Park Development Code and Building Codes; the plan’s priority of featuring an implementation table of actions and scheduled review to ensure accountability; integration and promotion of EVs and bicycling, including the need for education on these options; emergency vehicle access, particularly in congested areas, and whether medical providers will be consulted on health-related aspects of the plan; how the plan addresses the Page 13 Transportation Advisory Board – July 20, 2022 – Page 2 regional/demographic nature of mobility options, and the resulting impact on equity and inclusion efforts; and the plan’s collaborative efforts with Larimer County since mobility users should not have to consider where Town/county boundaries lie. Director Garner emphasized the “should” nature of a comprehensive plan versus the “shall” language of the Development Code, Building Code, and other regulatory sources that will be updated according to the approved plan. The TAB is encouraged to attend the August 3 Community Conversation event and follow all EF’s activities and progress by visiting https://engageestes.org/. PARKING & TRANSIT UPDATES Manager Solesbee reported that June trolley ridership was up 32 percent from 2021, while Fourth of July ridership was down 6 percent. According to CDOT, “Bustang is hitting it” this year with ridership already at 60 percent of the 2021 passenger total. The Transit Branding RFP has a proposal deadline of July 28, and Manager Solesbee invites a willing TAB member to serve on the selection committee for this grant-funded project; email her for details. EV charging station data for June was summarized. The Car Park’s manager, Dana Klein, will be at the August TAB meeting to present a mid-season report on paid parking. Manager Solesbee’s “walking tour” of downtown businesses during the Fourth of July weekend revealed busy but manageable activity. The parking webpage continues to be updated with Key Performance Indicator (KPI) reports. The Park-n-Walk program was expanded to include registration for those commuting downtown using alternative modes of transportation (cycling, EVs, walking, etc.). Discussion points included what types of data would help promote, educate, and “tell the story” behind the green technology of EVs; whether privately-owned, local charging station numbers could be acquired for comprehensive analysis; and the issue of “range anxiety” for some EV users. Trustee Martchink inquired whether the availability status of the electric vehicle (EV) charging stations could be featured on the Estes Parking app. ENGINEERING UPDATES Manager Hook reported the ongoing vacancies of the Grants Specialist and Civil Engineer positions; some discussion ensued about the high demand for engineers and the overall struggle for companies to fill these and other vacancies. The Downtown Wayfinding Plan (DWP) is in the public survey phase on design options; online and manual survey access is being promoted at the Farmers’ Market during July. Fall River Trail (FRT) expansion plans are being finalized for bid in August, and the goal remains for construction to coincide with Rocky Mountain National Park’s (RMNP) construction of its Fall River Entrance Station. Graves Avenue Safe Routes to School (SRTS) plans are being reviewed by the Colorado Department of Transportation (CDOT) for right of way plan clearance. Elkhorn Lodge redevelopment continues with the building of the retaining wall. DOWNTOWN ESTES LOOP Director Muhonen advised that he would be presenting the Town Board with a proposed amendment to the two Central Federal Lands Highway Division (CFLHD) agreements due to escalating construction costs for the Downtown Estes Loop (DEL); if the local match increases by $500k, additional Federal Lands Access Program (FLAP) grant funding can be secured. The DEL goes to bid in September. The construction timeline is Page 14 Transportation Advisory Board – July 20, 2022 – Page 3 likely to experience significant delay; Director Muhonen will also present the Town Board with an amendment to the Estes Park Municipal Code’s noise ordinance to allow for nighttime construction in the right of way, which would expedite the project. Discussion points included community perspectives of the DEL; the project’s cost-benefit analysis for downtown business owners; the impact of the CFLHD amendment on other areas of the budget; the possibility of modifying the noise ordinance amendment to apply on a per-project basis, or whether the public should have another opportunity to provide feedback on nighttime construction; and whether the TAB is in favor of writing a letter of support for either or both of these DEL items scheduled on the July 26 Town Board agenda. It was moved and seconded (Slack/Ferko) to write a balanced letter of support for the CFLHD amendment item, and the motion passed by quorum. The TAB declined to write support for the noise ordinance amendment as it stands. ADMINISTRATION UPDATES Director Muhonen advised that the Estes Park Police Auxiliary is discussing the pros and cons of adding speed limit signs where they are not readily visible. Discussion points focused on options for clarifying the speed limit only in neighborhoods that allow a speed limit above the statuary speed limit of 25; the existence of multiple signs in some areas already; whether posting more signs will influence driver behavior; and whether reducing the limit from 25 to 20 would significantly impact the safety level. OTHER BUSINESS There being no further business, Chair Morris adjourned the meeting at 2:14 p.m. /s/Lani McDonald, Recording Secretary Page 15       Page 16 Human Resources Memo To: Honorable Mayor Koenig Board of Trustees Through: Town Administrator Machalek From: Jackie Williamson, HR Director Date: September 13, 2022 RE: Revised Policy 305 - Benefits PUBLIC HEARING ORDINANCE LAND USE CONTRACT/AGREEMENT RESOLUTION OTHER – Policy Revision QUASI-JUDICIAL YES NO Objective: To amend Policy 305 Benefits to provide the Town Administrator the ability to approve an exception to the Medical Insurance for Retiree requirements. Present Situation: The Town adopted the original Policy 305 Benefits in June 2016 and at that time placed a moratorium on providing medical insurance for retirees for all new hires. The benefit provides all employee hired prior to June 1, 2016 access to the Town’s medical insurance at retirement so long as they have 15 years of service and are at least age 60 at retirement. The retiree only, no spouse or other family members, are able to continue their enrollment in the Town’s medical insurance and pay the employee only contribution rate up to age 65. Proposal: The Town’s Human Resources department was recently notified by our insurance broker, Brown and Brown, that the policy should be amended to address any exceptions that could be granted. Without the amendment the Town’s medical insurance company may decline claims filed by a retiree that does not meet the requirements outlined in the policy. The Town has in the past provided two exceptions to the policy both related to rare circumstances such as the elimination of a division, and therefore position in the Town, and the retirement of a long term (30+) year employee. The proposed revision to Policy 305 Benefits would provide the Town Administrator the ability to make an exception to an employee retiring that meets the hiring requirements but may not meet the required years of service or the age requirements. Page 17 Advantages: • To provide the Town Administrator the ability to provide an exception to the policy as outlined above in very limited circumstances. • To ensure the medical costs for a retiree on the Town’s medical plan is covered and services are not denied due to a technicality within the Town’s benefit policy. Disadvantages: • The Town may incur additional costs to pay for medical insurance premiums for those that do not meet the requirement of the policy. Action Recommended: Approve the revisions to Policy 305 Benefits. Budget: No direct costs. The Town may experience an increase in cost if an employee retires earlier than 60 and maintains the Town’s overage up to age 65. Level of Public Interest: Low. Sample Motion: I approve/deny the amendments to Policy 305 Benefits. Attachments: 1. Amended Policy 305 Benefits (Revision3) with redlines. Page 18 Document Title Policy 305 - Benefits 03/19/202109/13/2022 Revisions 32 Town of Estes Park, Human Resources Page 1 of 9 Effective Period: Until superceded Review Schedule: Annually Effective Date: 03/09/202109/13/2022 References: Governing Policies Manual 3.2, 3.8 HUMAN RESOURCES 305 Benefits 1.PURPOSE To provide information for all employees regarding the Town of Estes Park’s employee benefits. 2. POLICY It is the policy of the Town of Estes Park to provide its employees with a benefits package and competitive compensation package that is annually reviewed and updated. Any recommended funding changes to either the compensation or benefits package, based on annual studies, audits or reviews, is dependent on available funding and final approval by the Town Board of Trustees. The benefits package offered by the Town of Estes Park includes medical, dental, vision, group life and dismemberment insurance, optional additional life insurance, tuition assistance, training, an employee assistance program, discounted health club memberships, flexible spending plans, an employee home ownership program, childcare assistance program and a retirement plan. 3.PROCEDURE a. Medical, Dental, and Vision Coverage i.Regular Full-Time Employees (30 or more hours per week) The Town provides medical, dental, and vision insurance to all full-time employees at ninety percent (90%) of the premium paid by the Town. The employee may elect medical insurance for the employee only, employee and children, employee and eligible spouse, or family (employee, children, and eligible spouse). The employee may elect dental and vision insurance for the employee only or employee and family, which includes spouse and children. ii.Regular Part-Time Employees (24-29 hours per week) Part-time employees who work 24-29 hours per week may participate in the plans, but must pay the entire premium. iii.Contracted Employees Benefits are determined through, and bound by, a contractual employment agreement. Attachment 1 Page 19 Document Title Policy 305 - Benefits 03/19/202109/13/2022 Revisions 32 Town of Estes Park, Human Resources Page 2 of 9 iv. Elected Officials The Town provides full medical, dental, and vision insurance to members of the Town Board of Trustees. Ninety percent (90%) of Trustee-only coverage and Trustee with dependents coverage is paid by the Town. b. Continuance of Medical, Dental, and Vision Insurance The Town’s policy for continuance of medical, dental, and vision insurance is consistent with the requirements of the Consolidated Budget Reconciliation Act (COBRA). i. 18-Month Continuance The Town offers employees and/or their dependents the option to continue their medical, dental, and vision coverage for an 18-month period under the following qualifying events: 1) Employees who are terminated for reasons other than misconduct; or 2) Employees whose working hours have been reduced. ii. 29-Month Continuance The Town offers employees and/or their dependents the option to continue their medical, dental, and vision coverage for a 29-month period under the following qualifying events: 1) Employees who are disabled at the time of termination; 2) Employees who are disabled and whose working hours have been reduced; 3) Disabled dependents of a terminated employee; or 4) Disabled dependents of an employee whose hours have been reduced. iii. 36-Month Continuance The Town offers employees and/or their dependents the option to continue their medical, dental, and vision coverage for a 36-month period under the following qualifying events: 1) Death of employee (eligible beneficiary can continue insurance); 2) Employees who become eligible for Medicare coverage; or 3) Dependent child losing “dependent” status under the requirements of the plan. iv. Cost of Continuance For continuation of coverage, the employee and/or dependent will be required to pay one-hundred and two percent (102%) of the total insurance premium. The added two percent (2%) covers administrative costs. It is the responsibility of the employee to notify the Town of changes in status which will affect dependent Page 20 Document Title Policy 305 - Benefits 03/19/202109/13/2022 Revisions 32 Town of Estes Park, Human Resources Page 3 of 9 coverage. This notification must take place within 60 days after change of status has occurred. v. Evidence of Insurability No evidence of insurability need be provided for continuation to occur. The continuation coverage must be identical to the coverage offered to other Town employees presently enrolled in the plan. vi. Pre-Mature End of Continuance of Coverage Coverage under these provisions will end earlier than stipulated if: 1) The Town ceases to provide a group medical plan to its employees; 2) Premium payments are not met by the insured; or 3) The insured is re-employed and is covered under another group plan or becomes eligible for Medicare. c. Medical Insurance for Retirees Employees hired prior to June 1, 2016 who have at least 15 years of service and are at least 60 years of age at the time of retirement are eligible to continue medical coverage under the Town’s medical coverage until reaching age 65. The Town will pay the Town’s portion of the premium under the same terms covered for qualifying full-time and part-time employees. Dependent coverage must be paid by the retired employee. The Town Administrator may approve this benefit for a retiree who meets the hire date but may not meet the years of service requirement or the age requirement. d. Group Life and Dismemberment Insurance 1) Employees are insured up to one times the employee’s annual salary (not to exceed $50,000). 2) Additional Life Insurance coverage is available for employees at their own expense. e. Retirement Plans i. Types of Retirement Plans The Town of Estes Park provides two types of retirement plans; a Defined Benefit Plan (Public Employees Retirement Association) and a Defined Contribution Plan (International City Management Association Retirement Corporation). 1) Benefit-eligible employees who do not fall into either the Senior Management Category or the Sworn Police Officer category are covered by the Public Employees Retirement Association (PERA) and Social Security Administration as required by current state and federal law. 2) Senior Management (defined in Colorado State Statute 24-51-308 as …”the city manager and key management staff who report directly to the city Page 21 Document Title Policy 305 - Benefits 03/19/202109/13/2022 Revisions 32 Town of Estes Park, Human Resources Page 4 of 9 council or city manager…”) may choose between participating in PERA or participating in the International City Management Association Retirement Corporation (ICMA-RC) program. If a member of Senior Management chooses to participate in the ICMA-RC program, that person must waive, in writing, PERA coverage. 3) For those members of Senior Management that elect to be exempted from PERA, the Town of Estes Park will contribute an amount equal to the Town’s PERA contribution into an ICMA-RC defined contribution plan on behalf of the employee. In order to be eligible for the Town’s match, members of Senior Management who choose this option are required to contribute an amount equal to the PERA required employee contribution into the ICMA-RC defined contribution plan. 4) Sworn Police Officers are covered by the ICMA-RC program, with the Town of Estes Park contributing an amount equal to the Town’s PERA contribution on behalf of the employee. In order to be eligible for the Town’s match, the employee is required to contribute an amount equal to the PERA required contribution into the ICMA-RC defined contribution plan. ii. Retirement Contributions Benefit eligible employees are required to contribute to their retirement plan. Contribution amounts by the Town of Estes Park are based on PERA’s annual contribution requirement. The determined amount by PERA shall serve as the baseline for retirement contributions by the Town for all employee retirement plans. f. Tuition Assistance The Town of Estes Park values education and recognizes that the skills, knowledge, and abilities of its employees are critical to the success of the organization. The Town encourages higher education and has the discretion to offer tuition and textbook cost reimbursement (dependent on departmental budget availability) for relevant college coursework expenses as allowable under Section 127 of the IRS regulations (currently $5,250). Tuition/textbook reimbursement is budget dependent through the employee’s assigned department and is disbursed on a first come, first served basis. i. Reimbursement Amount Subject to the eligibility conditions listed in 305.3.f.ii, employees will be reimbursed at a rate of 50% of the cost of the course tuition and textbooks. The maximum annual reimbursement level is equal to the maximum untaxable benefit allowed by the IRS pursuant to section 127 per year (currently $5,250). ii. Eligibility Both full-time and part-time employees are eligible for tuition assistance under the following conditions: 1) The employee has worked for the Town for at least one (1) calendar year. Page 22 Document Title Policy 305 - Benefits 03/19/202109/13/2022 Revisions 32 Town of Estes Park, Human Resources Page 5 of 9 2) The employee completes a “Tuition Assistance Agreement” each semester, and obtains approval from the Department Director prior to beginning the course. The “Tuition Assistance Agreement” will be submitted to Human Resources 3) The proposed coursework is offered by an institution that is fully accredited by the Higher Learning Commission (HLC). 4) The coursework is job-related or part of an established career plan that benefits the Town of Estes Park and has been approved by the Department Director and Human Resources. iii. Reimbursement Process Employees seeking reimbursement for approved courses will use the following process: 1) The employee will submit a transcript displaying final grade for the course and a “Request for Reimbursement Form” to Human Resources. Undergraduate courses must be completed with a grade of “C” or better, graduate courses with a grade of “B” or better, and pass/fail courses with a grade of “Pass”. The Town will not reimburse any employee for any course where the required grade level is not accomplished. 2) Upon receipt of the transcript and “Request for Reimbursement Form”, Human Resources will verify that the grade required for reimbursement was achieved. If the grade meets the requirements, Human Resources will forward the “Request for Reimbursement Form” to Finance for processing. 3) Human Resources will process the “Request for Reimbursement” within thirty (30) days of the receipt of complete documentation. 4) The employee agrees to reimburse the Town for the cost of the education paid by the Town if the employee terminates their employment within one year after completing a course. The Town has the right to withhold the appropriate retroactive amount from the employee’s final separation check. iv. Use of Work Time for Coursework Whenever possible, employees are to pursue classes on their own time. When necessary, and upon approval of the employee’s supervisor, an employee may flex time to attend classes. g. Training and Professional Development i. Required Training All costs for training programs or classes, including tuition and books, which are required to improve the employee’s performance of job assignments and duties shall be paid by the Town of Estes Park with appropriate approval (approval authority shall be commiserate with purchasing authority limits). Requests and Page 23 Document Title Policy 305 - Benefits 03/19/202109/13/2022 Revisions 32 Town of Estes Park, Human Resources Page 6 of 9 suggestions for approved, required training may be initiated by the employee or the employee’s supervisor. However, all requests must be approved in advance by the appropriate authority (again, approval authority is commiserate with purchasing authority limits). ii. Certification/License Retention All associated expenses for training required to maintain an employee’s certification or license for their job will be paid for by the Town. Advanced certification or license training expenses will be paid for by the Town based on organization need of that particular skill level. Expenses associated with retesting due to failing a test shall be reimbursed at the discretion of the Department Director. iii. Career Advancement Training In an effort to support succession planning, the Town of Estes Park will pay for training specific to developing an employee’s skills for promotion and advancement within the organization. These trainings will require Department Director approval. h. Employee Assistance Program The Town participates in an Employee Assistance Program (EAP) for all full-time, part- time employees and eligible contract employees. This program provides help for employees that are facing personal problems. The EAP provides confidential assessment, referral, and focused therapy for employees and household members. The program also assists employees in obtaining the most effective treatment, while ensuring quality of service. The Town does not receive any personal identifying information regarding the usage of the EAP. i. Health Club/Community Center Health club/Community Center memberships may be available at a group or reduced rate. All fees are the employee’s responsibility. Monthly memberships may be deducted from participating employee’s paychecks. j. Social Security Benefits The Town abides by all applicable federal requirements for Social Security contributions. k. Flexible Spending Plan The Town offers employees the option of participating in a Section 125 Flexible Spending Account. This benefit includes pre-tax options for premiums, child care, and medical expenses. l. Voluntary Plans The following are voluntary plans available to Town employees. The Town does not contribute to these plans. 1) Voluntary 401K Page 24 Document Title Policy 305 - Benefits 03/19/202109/13/2022 Revisions 32 Town of Estes Park, Human Resources Page 7 of 9 2) Voluntary 457/Roth 3) Voluntary Long-Term Disability 4) AFLAC 5) Voluntary Life and Accidental Death and Dismemberment. m. Employee Home Ownership Program i. Purpose The Home Ownership program provides financial assistance to an employee for the purchase or build of an employee’s first owner-occupied home and primary residence in the Estes Valley or qualifying surrounding area. The boundary map for this program is provided in Exhibit A. Additionally, the home must be accessed by the roadways entirely within the boundary area when traveling to and from downtown Estes Park. The Town benefits from this program through increased employee retention and improvement in the quality and timeliness of services provided by employees who are also residents. The Town reserves the right to alter this program at any time, and may impose a cap on the number of participants if deemed necessary by the Town Administrator. ii. Eligibility Any permanent, full-time employee with an annual household income less than or equal to 175% of the Larimer County Median Income for the most current year is eligible for this program. The employee must be a first-time home buyer in the designated area. The Estes Park Housing Authority will evaluate eligibility for all participants. Only one Town savings account may be used to purchase a home (i.e. two employees may not use this benefit to purchase or build a single home). iii. Program Responsibilities of Town The Town of Estes Park shall establish an internal account that is funded through the budget process. The Town offers a 3-year and a 5-year program. For the 3- year program, the Town of Estes Park shall credit the account $555.55 per month for each participating employee. For the 5-year program, the Town of Estes Park shall credit the account $333.33 per month for each participating employee. This monthly amount will serve as a fund to be used as part of a down payment on the purchase or construction of a home by the employee in the area defined in Exhibit A. In the event that an employee withdraws from the program, this money remains the property of the Town. iv. Program Responsibilities of Employee The employee shall establish a savings account that shall only be used for the Home Ownership Savings Program (separate from the aforementioned Town account). The employee is required to establish an electronic transfer funded by a deduction from the employee’s paycheck (deposits shall be made to the account each payday). The minimum amount of the deposit for the 3-year program shall be Page 25 Document Title Policy 305 - Benefits 03/19/202109/13/2022 Revisions 32 Town of Estes Park, Human Resources Page 8 of 9 $159 per pay period ($4,134 annually). The minimum amount of the deposit for the 5-year program shall be $95 per pay period ($2,470 annually). It is the employee’s responsibility to ensure that the home to be purchased falls within the designated program boundary area. The employee must further ensure the location of the home meets any requirements outlined in their job description with the Town. v. Withdrawals from Employee Account Withdrawals from this account are not allowed, and will be considered an automatic disqualification from the program. These funds may not be withdrawn prior to the issuance of the Town funds unless the employee provides documentation supporting the necessity of the prior use of the funds. vi. Payment Request At the end of the three or five years, or sooner, the employee may request payment of the funds for a qualified purchase (Town funds may not be used for earnest money). At the time of the payment request, Human Resources must have on file a statement for every month the employee participated in the program. Again, the employee will be disqualified from the program if any unauthorized withdraws have been made. Finance shall issue the funds payable to the title company handling the purchase closing. The employee must provide documentation of the use of the funds such as a copy of a signed contract to Human Resources. Town funds will be taxed at the supplemental tax rate. The Town will hold funds for a period of up to two (2) years after an employee completes his or her chosen program. vii. Program Hiatus A participating employee may take up to a one (1) year hiatus from contributing to the Home Ownership Savings Program Account. During that time, the employee may not make any withdrawals from their account. The Town will not contribute to the account during the hiatus. A hiatus must be taken in one continuous period (i.e., if an employee only takes a three-month hiatus, said employee cannot take another nine-month hiatus at a later time). n. Childcare Assistance Program i. Purpose The purpose of this program is to assist full-time benefited employees who are cost-burdened by childcare expenses. ii. Eligibility In order to participate in this program, employees must meet the following requirements: 1) Seasonal, part-time and contract employees without benefits are not eligible for this program; 2) Have one or more dependent children aged birth through twelve (12) years; Page 26 Document Title Policy 305 - Benefits 03/19/202109/13/2022 Revisions 32 Town of Estes Park, Human Resources Page 9 of 9 3) If there are two parents/guardians in the household, the second parent/guardian must work a minimum of 20 hours per week or attend school with 6 credit hours or equivalent per term; and 4) One (1) Childcare Assistance per household as allowed by IRS standards. 5) Sign up for Dependent Care Flexible Spending Account through the Town. iii. Program Responsibilities of Town The Town will make an annual contribution to a qualifying employee’s Dependent Care Flexible Spending Account (DCFSA). The amount of this contribution will depend on available budget, but the Town will endeavor to match an employee’s contribution on a one-to-one basis up to the annual maximum limit of the DCFSA as established by the Internal Revenue Service ($5,000 in 2018, equivalent to a $2,500 contribution from both the Town and one employee). iv. Program Responsibilities of Employee Employees must provide all materials necessary for qualification. Application for this benefit must be made in coordination with open enrollment or in conjunction with a qualifying event. o. Effective Date of Benefits If a benefit-eligible employee is hired on or after the 2nd day of the month, benefits will be effective the 1st of the following month. If the hire date is the 1st of the month, the benefits will be effective immediately. p. Changes to Provided Benefits The Town reserves the right, at any time, to: 1) Amend or modify, in whole or in part, any or all of the provisions of a benefit program, including provisions concerning who is eligible for coverage and the coverage provided. 2) Discontinue, terminate, or add a benefit program. 3) Change the amount or nature of the required contribution to be made by the participant or beneficiary of a benefit program. Approved: _____________________________ Wendy Koenig, Mayor _____________ Date Page 27       Page 28 UTILITIES Memo To: Honorable Mayor Koenig Board of Trustees Through: Town Administrator Machalek From: Utilities Director Bergsten, Project Manager Wesley, Finance Director Hudson, Town Attorney Kramer Date: September 13, 2022 RE: Resolution 69-22 Limited Waiver of Section 5.3 of the Intergovernmental Agreement with Platte River Power Authority Regarding Changes to Billing Rate (Mark all that apply) ☐ PUBLIC HEARING ☐ ORDINANCE ☐ LAND USE ☐ CONTRACT/AGREEMENT ☒ RESOLUTION ☐ OTHER______________ QUASI-JUDICIAL ☐ YES ☒ NO Objective: To provide reliable, environmentally responsible and financially sustainable electric service, the Town outsources professional services to Platte River Power Authority (PRPA). Approving this resolution will allow PRPA to pass through their direct cost increases and ensure Estes Park pays their fair share. Present Situation: March 10, 2022 the Town Board approved the Engineering Support Services IGA with PRPA. Section 5.3 of the Technical Support Services IGA contains the following sentence: “The billing rate in any Project Order is binding for the duration of the applicable Project.” PRPA bills actual costs. Projects can extend for multiple years and locking in a billing rate in the first year is unreasonable. Proposal: Staff requests approval of the resolution to waive this concept of locking in one billing rate so PRPA can recover their actual costs. Advantages: ● No cross subsidization from our co-owner communities ● PRPA will continue providing professional services without fear of losing money ● The Town will continue collaboration with PRPA, benefiting from their subject matter experts, without paying a profit premium required by private consulting firms. Page 29 Disadvantages: None Action Recommended: Staff recommends approval of the resolution. Finance/Resource Impact: None Level of Public Interest Low Sample Motion: This item is on consent. If it is removed from consent the following sample motion can be made by any Trustee agreeing with the resolution: I move to approve Resolution 69-22 Attachments: 1.Resolution 69-22 2.Intergovernmental Agreement Waiver Letter 3.Intergovernmental Agreement for Technical Support Services [with PRPA] Page 30 RESOLUTION 69-22 APPROVING A LIMITED WAIVER OF SECTION 5.3 OF THE INTERGOVERNMENTAL AGREEMENT FOR TECHNICAL SUPPORT SERVICES WITH PLATTE RIVER POWER AUTHORITY REGARDING CHANGES TO BILLING RATE WHEREAS, the Town of Estes Park and Platte River Power Authority entered into an Intergovernmental Agreement for Technical Support Services on March 10, 2022; and WHEREAS, the Agreement could result in an inaccurate billing rate for services rendered; and WHEREAS, the Town of Estes Park and Platte River Power Authority wish to correct the inaccuracy. 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, a letter acknowledging the limited waiver 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 31 Board of Trustees 970-577-4777 wkoenig@estes.org 170 MACGREGOR AVE. P.O. BOX 1200, ESTES PARK CO. 80517 WWW.ESTES.ORG 9/13/2022 Mr. Jason Frisbie General Manager/CEO Platte River Power Authority 2000 E. Horsetooth Road Fort Collins, CO 80525 RE: Limited waiver – billing rate restriction in Intergovernmental Agreement for Engineering Support Services between the Town of Estes Park and Platte River Power Authority Dear Jason: The Town of Estes Park (Estes Park) and Platte River Power Authority (Platte River) are parties to an Intergovernmental Agreement for Engineering Support Services dated March 10, 2022 (the Engineering Support Services IGA). Section 5.3 of the Engineering Support Services IGA contains the following sentence: “The billing rate in any Project Order is binding for the duration of the applicable Project.” In discussions since we signed the Engineering Support Services IGA, we learned this sentence may cause an unintended problem for Platte River. Specifically, there will be a mismatch between Platte River’s actual costs to provide engineering support services to Estes Park and the amount Platte River can bill Estes Park if Platte River cannot adjust the billing rate for an ongoing Project Order when salaries or benefits (or both) paid to Platte River employees who provide services under the Engineering Support Services IGA change. This is not what either party intended. To avoid this mismatch, by this letter Estes Park formally waives the application of the final sentence of Section 5.3 of the Engineering Support Services IGA when it would prevent Platte River from billing Estes Park for the actual salaries or benefits paid to Platte River employees who provide services under the Engineering Support Services IGA. Thank you. Mayor Wendy Koenig cc: Dan Kramer, Town Attorney, Town of Estes Park Sarah Leonard, General Counsel, Platte River Power Authority Attachment 2 Page 32 OocuSign EnveJope ID, B84B57B8-0060-4B96-822B-O43832F3E1FB INTERGOVERNMENTAL AGREEMENT FOR TECHNICAL SUPPORT SERVICES This l"te ,governmentat Agreement for Technical Support Services (" Agreement") is made ;) lD 1,):/1/l-(the "Effective Date") by and between the Town of Estes Park, a Colorado municipal corporation (the "Town") and PLATTE RIVER POWER AUTHORITY, a political subdivision of the state of Colorado ("Platte River"). The Town and Platte River may be referred to individually as a "Party" and together as the "Parties." RECITALS A.Platte River is a political subdivision of the state of Colorado, formed by agreement of its owner communities of Estes Park, Fort Collins. Longmont, and Loveland with the primary purpose of providing electric generation and transmission services to the owner communities. B.To fulfill its mission, Platte River maintains full-time staff with engineering and other types of technical expertise relevant to utility operations. C.The Town may at times have projects that could be completed efficiently with assistance from Platte River to com plement the technical expertise of the Town's own staff. D.As governmental entities in Colorado, the Town and Platte River are authorized under Colorado Revised Statues section 29-1-203 to cooperate or contract with one another to provide any function, service, or facility lawfully authorized to each. E.Platte River is willing to provide technical services to support the Town projects when requested from time to tlme, provided Platte River's Authorized Signatory (as defined in Section 1) determines Platte River's available staff have the necessary qualifications and capacity to do so without compromising Platte River's ability to fulfill its primary purpose. The Parties agree. therefore agree as follows: AGREEMENT 1.Defined Terms. ''Active Project" means a Project for which a Project Order is in effect but not yet completed. "Agreement" has the meaning given in the preamble. "Authorized Contact" means a specific individual, as listed on Exhibit B to this Agreement on the Effective Date or as subsequently designated as provided in Section 6.2, who serves as the primary contacts for Project implementation under Section 6.6 and for all routine, informal communications related to this Agreement on behalf of the designating Party. 1 Attachment 3 Page 33 DocuSign Envelope ID: B84B57B8-0060-4B96-822B-D43832F3E1FB "Authorized Signatory" means a specific individual, as listed on Exhibit B to this Agreement on the Effective Date or as subsequently designated as provided in Section 6.2, who has authority to bind a Party by approving and signing Project Orders. "Effective Oaten has the meaning given in the preamble. "Town'' has the meaning given in the preamble. "Party" and "Parties" have the meanings given in the preamble. "Platte River" has the meaning given in the preamble. "Project" means a specific set of tasks or services or activities that, with the agreement of the Authorized Signatories for the Town and Platte River, may be implemented according to the terms of this Agreement and a signed Project Order. "Project Order" means a written instrument (consisting of or including an agreed-upon Project Work Scope) that has been approved and signed by at least one Authorized Signatory of each Party and is therefore binding on the Parties according to its terms and this Agreement. "Project Work Scopen means a written instrument, consistent with the requirements of Exhibit A, that describes a particular Project to be carried out subject to the terms of this Agreement. 2.Purpose. The purpose of this Agreement is to establish a framework and set of general terms and conditions to govern periodic collaborations where Platte River may assist the Town by providing technical support services (such as engineering). Consistent with these general terms and conditions, when terms specified in a Project Work Scope are mutually acceptable to the Town and Platte River, Authorized Signatories can approve and sign Project Orders to facilitate more timely and efficient completion of agreed-upon Projects using the Parties' combined technical resources. 3.Term and Termination. 3.1 Term. This Agreement will be effective on the Effective Date and will remain in effect for a period of one year. Thereafter, this Agreement will automatically renew for additional one-year periods unless both Parties agree in writing to terminate it or one of the Parties exercises its termination rights under Section 3.2. 3.2 Termination. Either Party may, at any time in its sole discretion for any reason or no reason, terminate this Agreement by providing at least 60 days' prior written notice to the other Party. 3.3 Survival. If this Agreement terminates, any provisions in a Project Order that has not been completed by the termination date will survive until completed unless the Parties specify a written instrument providing for termination that all Active Projects are to be terminated concurrently with this Agreement. Any payment obligations outstanding on the termination date, as well as the provisions in Section 5 (Reimbursement for Services; Payment), will survive until fully satisfied. In addition, this Section 3.3 (Survival}, Section 8 (Standard of Service; No Warranties), 2 Page 34 DocuSign Envelope ID: B84B57B8-0060-4B96-822B-D43832F3E1 FB Section 9 (Limitation of Liability) Section 10 (Independent Contractor Relationship), Section 11 (No Third-Party Beneficiaries), Section 13 (Governmental Immunity), Section 14 (Governing Law and Venue), Section 15 (Headings; Section and Other References), Section 16 (Severability), and Section 18 (Entire Agreement; Amendment) will survive until all statutes of limitations related to claims that could be made in connection with this Agreement have run. 4.Services. Subject to Section 6.4 and Section 8, Platte River's services to the Town under this Agreement will generally consist of engineering, field services, or other technical support services, as more specifically described in Project Orders the Parties elect to issue from time to time. 5.Reimbursement for Services: Payment. Platte River will invoice the Town, and the Town will reimburse Platte River, for its costs to fulfill any Project Orders, as specified in this Section 5. If the Town asks for a Project cost estimate (and Platte River elects to offer a Project proposal under Section 6.4), Platte River will provide a good-faith estimate of its total cost to complete the Project Order based on the information the Town has provided. Any cost estimate for a Project is nonbinding and offered as courtesy only. The Town's payment obligations for any Project Orders will be as stated in Sections 5.1 through 5.4. 5.1 Invoicing. Platte River will invoice the Town on a monthly basis for services provided for all Active Projects. Monthly invoices will reflect (a) the time spent by Platte River staff on Active Projects (calculated as provided in Section 5.2), (b)Platte River's actual costs for any parts or third-party services purchased on behalf of the Town, (c) Platte River's actual costs for any unique equipment necessary to carry out Active Projects, and (d) vehicle costs incurred by Platte River on behalf of the Town (using the applicable federal business mileage rate). 5.2 Billing Rate. Platte River's billing rate for staff time devoted to Project Orders will consist of the applicable staff members' direct pay and benefits (without the addition of any administrative costs). 5.3 Changes to Billing Rate. The Town acknowledges that Platte River's billing rate for staff time may change from time to time during the term of this Agreement to reflect changes to applicable staff members' pay and benefits. The billing rate in any Project Order is binding for the duration of the applicable Project. 5.4 Payment Terms. Payment will be due within 20 days after Platte River's delivery to the Town of an invoice under this Agreement. Platte River has the right apply a late fee of 1 % per month to any balance outstanding after the due date. 6.Project Order Development Process. Whenever the Parties propose to collaborate on a Project within the scope of this Agreement, they will follow the procedures specified in this Section 6 with the goal of developing a mutually acceptable Project Order. 6.1 Project Work Scope Elements. Each Project Work Scope under this Agreement must contain, at a minimum, the information specified in Exhibit A, "Project Work Scope Elements." 3 Page 35 OocuSign Envelope ID: B84B57B8-0060-4B96-822B-O43832F3E1 FB 6.2 Authorized Signatories and Contacts. A Project Order must be approved and signed by at least one Authorized Signatory for each Party. As of the Effective Date, the Authorized Signatories and Contacts of the Parties are as listed in Exhibit B, "Authorized Signatories and Contacts." Platte River's Authorized Signatories and Contacts may be changed only by Platte River's delivery to the Town of written notice specifically referring to this Agreement and signed by an officer of Platte River. The Town's Authorized Signatories and Contacts may be changed only by the Town's delivery to Platte River of written notice specifically referring to this Agreement and signed by the Town's Utilities Director or designee. Exhibit B, ''Authorized Signatories and Contacts," may be updated from time to time to reflect notices validly given under this Section 6.2. For the Town, only the Authorized Signatory may bind the Town, approve Project Orders under Section 6.5, or approve Changes to Project Orders in writing under Section 6.7. The Town's Authorized Contacts may participate in development of Project Work Scope by initiating requests under Section 6.3 and will be the primary contacts for Project implementation under Section 6.6 and for all routine, informal communications between the Parties. Two Authorized Contacts are provided to ensure availability and redundancy for the Town, and Platte River may confer with one or both of them as appropriate for a given project and as each is available. 6.3 Request for Support Services. The Town may request support services from time to time according to its needs and preferences. The process to develop a Project Order will begin when an the Town's Authorized Signatory or Contact contacts a Platte River Authorized Signatory to request a proposed Project Work Scope. A request under this Section 6.3 may be informal (for example, by telephone call or email), but should describe the applicable Project and requested support services in enough detail to enable Platte River to develop a proposed Project Work Scope under Section 6.4. 6.4 Proposed Project Work Scope. After the Town requests a proposed Project Work Scope under Section 6.3, Platte River will make good-faith efforts to promptly acknowledge and consider the Town's request. Platte River will determine, in its sole discretion, whether it has available and qualified staff and other resources to accommodate the request and whether to develop and deliver to the Town a proposed Project Work Scope. The Town acknowledges and agrees that Platte River has no obligation to provide a proposed Project Work Scope and may decline to do so for any reason or no reason. Upon Platte River's decision to decline to provide a proposed Project Work Scope, it will inform the Town within a reasonable time of the request so that the Town may make other arrangements. 6.5 Project Order Approval and Memorialization. A Project Order will take effect and become binding on the Parties when the terms of the Project Order {including the applicable Project Work Scope) have been approved by at least one Authorized Signatory for each of the Parties, which they must signify by signing and dating the applicable Project Order. All Project Orders will be governed by this Agreement; nothing in a Project Order or Project Work Scope may amend, modify, or override any provision of this Agreement. The Parties recognize and agree that multiple Active Projects may be in effect concurrently. 6.6 Project Implementation. Whenever there are one or more Active Projects under this Agreement, the Parties will collaborate in good faith to facilitate efficient, 4 Page 36 DocuSign Envelope ID: B84B57B8-0060-4B96-822B-D43832F3E1 FB successful completion of the applicable Projects. The Parties envision that consistent coordination, ongoing communication, and periodic monitoring will enhance the likelihood of mutually satisfactory outcomes. 6. 7 Changes to Project Orders. Once signed as provided in Section 6.5, a Project Order may be modified only by a written instrument (specifically referring to the applicable Project Order) signed by the Authorized Signatories of both Parties. 7.Notices. Any formal notice, request, consent, approval, or communication under this Agreement will be binding only if delivered in writing to the Authorized Signatory of the intended recipient by (a) personal service, (b) first class mail, (c) email (confirmed by reply email from the Authorized Signatory) at the contact information specified for the Authorized Signatory in Exhibit B, "Authorized Signatories and Contacts." 8.Standard of Service; No Warranties. Platte River, in carrying out Project Orders, will make good-faith efforts to carry out the applicable tasks or activities or services according to the terms specified in the Project Orders using suitably qualified staff members. Except as stated in the preceding sentence, Platte River disclaims all warranties or guarantees concerning its performance under this Agreement (and all associated Project Orders) or the results of any tasks or activities or services it may provide (including warranties of merchantability or fitness for a particular purpose). The Town acknowledges and agrees that it is fully and independently responsible for determining whether to accept or rely on any services, advice, or recommendations provided by Platte River in connection with this Agreement or any Project Order. 9.Limitation of Liability. Neither Party will be liable to the other Party under this Agreement for any consequential, incidental, punitive, exemplary, special, equitable, or indirect damages, lost profits, or other business interruption damages, whether by statute, in tort, or by contract. 10.Independent Contractor Relationship. The Parties agree that Platte River is an independent contractor and not an employee, agent, or servant of the Town. Nothing in this Agreement creates an association, joint venture, or partnership between the Parties or imposes any partnership obligation or liability on either Party. Neither Party will have any right, power, or authority to enter into any agreement or undertaking for, act on behalf of, or act as an agent or representative of the other Party. 11.No Third-Party Beneficiaries. This Agreement governs only rights and obligations between the Parties with respect to its subject matter. There are no express or implied third-party beneficiaries of this Agreement. 12.Appropriation Required. The financial obligations of the Parties under this Agreement are from year to year only and do not constitute a multiple-fiscal-year debt or other financial obligation or fiscal obligation of any kind payable in any fiscal year beyond the fiscal year for which funds are appropriated for the payment of expenditures related to this Agreement. 13.Governmental Immunity. Nothing in this Agreement will operate as an express or implied waiver by either Party of any of the immunities, rights, benefits, protections, or other provisions of the Colorado Governmental Immunity Act, C.R.S. §§24-10-101, et 5 Page 37 OocuSign Envelope ID: B8485788-0060-4896-8228-O43832F3E1FB seq., or of any other defenses, immunities, and limitations of liability available by law to the Parties or their governing bodies, officers, or employees. 14.Governing Law and Venue. This Agreement will be governed in all respects by the laws of the state of Colorado (exclusive of choice-of-law principles), and venue for any action related to this Agreement will be in Larimer County, Colorado. 15.Headings; Section and Other References. Captions and headings in this Agreement are for ease of reference only and do not constitute part of this Agreement. References to "preamble," "Section," and "Exhibit'' are to the preamble, sections, and exhibits of this Agreement and encompass the preamble, relevant section (and associated subsections) or exhibit in its entirety unless specifically stated otherwise. 16.Severability. If any term (or the application of any term) of this Agreement (or any Project Order) is held invalid, illegal, or unenforceable by any court or administrative body having jurisdiction, all other terms and their application will remain valid and the Parties will attempt to amend this Agreement in a mutually acceptable manner to restore the Parties to the positions they would been in but for the holding. 17.Authority. The Parties recognize the legal constraints imposed on them by the constitutions, statutes, and regulations of the state of Colorado and of the United States, as well as those imposed on the Town by its charter. Subject to these constraints, the Parties intend to carry out the terms of this Agreement and any Project Order. Nothing in this Agreement obligates either Party to exercise any power or take any action prohibited by applicable law. 18.Entire Agreement; Amendment. This Agreement (together with provisions set forth in any Project Orders) contains the entire agreement of the Parties concerning its subject matter. This Agreement may not be amended, modified, or overridden except by a signed, written instrument that specifically refers to this Agreement and is authorized by the city council of the Town and the general manager of Platte River. Project Orders approved and signed under Section 6.5 do not constitute amendments to this Agreement. 19.Counterparts. This Agreement (and Project Orders) may be signed in counterparts, each of which will be deemed an original and which together will constitute a single binding instrument (and, in the case of a Project Order, an integrated part of this Agreement). 6 Page 38 DocuSign Envelope ID: B84B57B8-0060-4B96-822B-D43832F3E1 FB PLATTE RIVER POWER AUTHORITY ATTEST: '1:;:: gn ; ���jt, By: �A51620D480824E8 ----------------- lnOacuSlgned by: By: l!:�F�isl -----------------Gener a I Manager/CEO Secretary APPROVED AS TO FORM: r;::n:;;y�eo� By: Lsaess1ce1Ao2432 -----------------Gener a I Counsel 7 Page 39 OocuSlgn Envelope ID: 88485788-0060-4896-822B-O43832F3E1FB Town of Estes Park By: �� Jr ayor APPROVED AS TO FORM: iz::g_ Town Attorney ATTEST: 8 'b _. \,. LJ C) Q • -...::f'e:>:0:t� Town Clerk Page 40 DocuSign Envelope ID: B8485788-0060-4896-822B-O43832F3E1 FB EXHIBIT A PROJECT WORK SCOPE ELEMENTS •Effective date of Project Order •Expiration date of Project Order (if any) •General description of Project •Type of expertise and skills needed for Project •Project start date •Project completion date •Estimated staff work hours, vehicle charges, and materials to be devoted to Project •General description of Project management and coordination process •Nonbinding cost estimate (upon request) •[Optional additional information] 9 Page 41 DocuSign Envelope 10: B84B57B8-0060-4B96-8228-D43832F3E1FB EXHIBIT B AUTHORIZED SIGNATORIES AND CONTACTS Platte River Power Authority For Platte River, only an Authori zed Signatory may bind Platte River, approve Project Orders under Section 6.5, or approve Changes to Project Orders in writing under Section 6.7. Platte River's Authorized Contacts will be the primary contacts for Project implementation under Section 6.6 and for all routine, informal communications between Parties. Authorized Signatory: Matthew Scheppers System Engineering Manager Telephone: 970-229-5303 Email: Schepper sM@prpa.org Authorized Signatory: Gary Whittenberg Director of System Maintenance & Facilities Telephone: 970-229-5371 Email: Whittenber qG@prpa orq Authorized Signatory: David Smalley Chief Financial Officer Telephone: 970-229-5256 Email: SmalleyD@prpa.org Authorized Signatory: Rob Morse Director of Technology Telephone: 970-229-4825 Email: MorseR@prpa.org Authorized Contact: Brian Snell Substation Maintenance Supervisor Telephone: 970-229-1758 Email: SneUB@prpa.org Authorized Contact: Mark Siano System Engineering Design Supervisor Telephone: 970-229-5258 Email: SianoM@prpa.org 10 Page 42 DocuSign Envelope ID: 88485788-0060-4896-822B-D43832F3E1 FB Town of Estes Park For the Town, only the Authorized Signatory may bind the Town, approve Project Orders under Section 6.5, or approve Changes to Project Orders in writing under Section 6.7. The Town's Authorized Contacts may participate in development of Project Work Scope by initiating requests under Section 6.3 and will be the primary contacts for Project Implementation under Section 6.6 and for all routine, informal communications between the Parties. Authorized Signatory: Reuben Bergsten, Utilities Director, RBergsten@Estes.org Authorized Contact: Joe Lockhart, Line Superintendent, JLockhart@Estes.org 11 Page 43       Page 44 RESOLUTION 70-22 SETTING THE PUBLIC HEARING FOR A NEW HOTEL AND RESTAURANT LIQUOR LICENSE APPLICATION FOR DELLA TERRA LLC DBA DELLA TERRA MOUNTAIN CHATEAU BE IT RESOLVED BY THE BOARD OF TRUSTEES OF THE TOWN OF ESTES PARK, COLORADO: That the filing date of the application for a New HOTEL & RESTAURANT Liquor License, filed by Della Terra LLC, 3501 Fall River Rd, Estes Park, Colorado, is August 26, 2022. It is hereby ordered that a public hearing on said application shall be held in the Board Room of the Municipal Building, 170 MacGregor Avenue, on Tuesday, September 27, 2022, at 7:00 P.M., and that the neighborhood boundaries for the purpose of said application and hearing shall be the area included within a radius of 5.95 miles, as measured from the center of the applicant's property. DATED this day of , 2022 TOWN OF ESTES PARK Mayor ATTEST: Town Clerk APPROVED AS TO FORM: Town Attorney Page 45       Page 46 RESOLUTION 71-22 SETTING THE PUBLIC HEARING FOR A NEW LODGING AND ENTERTAINMENT LIQUOR LICENSE APPLICATION FOR DELLA TERRA LLC DBA DELLA TERRA EVENTS BE IT RESOLVED BY THE BOARD OF TRUSTEES OF THE TOWN OF ESTES PARK, COLORADO: That the filing date of the application for a New LODGING AND ENTERTAINMENT Liquor License, filed by Della Terra LLC, 3501 Fall River Rd, Estes Park, Colorado, is August 26, 2022. It is hereby ordered that a public hearing on said application shall be held in the Board Room of the Municipal Building, 170 MacGregor Avenue, on Tuesday, September 27, 2022, at 7:00 P.M., and that the neighborhood boundaries for the purpose of said application and hearing shall be the area included within a radius of 5.95 miles, as measured from the center of the applicant's property. DATED this day of , 2022 TOWN OF ESTES PARK Mayor ATTEST: Town Clerk APPROVED AS TO FORM: Town Attorney Page 47       Page 48 9/9/2022 1 Estes Park Housing Needs PAST, PRESENT, AND FUTURE What is the magnitude of the problem? Trail Gazette Quote from 1968: “The single, most urgent lack of housing appears to be in year-round rentals, especially of the two and three-bedroom variety. Potential newcomers are frequently discouraged from making their home here because they cannot locate suitable, winterized apartments and homes that can be rented year-round many are able to find temporary places during the winter, but must vacate the premises before the summer season because of the jump in rental prices or because the owners themselves will move in for the summer.” Page 49 9/9/2022 2 1989-1990 1st Housing Needs Study + To quantify the extent of the housing needs across the community + To survey the housing needs of employers for projected growth + To provide realistic data to plan for future development _____________________________________________________________________ 508 employees completed the survey; 223 employers responded Statistically significant and reliable results. What did we Learn Back Then? 4,000 Estes Workers filled 5,000 jobs. 22% held more than 1 job. Renters & new-comers experienced the most problems with housing. 23% of worker households & 30% of renters were cost burdened paying more than 30% of gross income for housing. 46.6% of employees (1,860 people) were renters and most in need of assistance. 26% of population studied were seasonal employees. 35% of employers had unfilled jobs due to lack of housing 123 employees left the area because of housing issues 36% of employees expressed an interest in renting vs. owning Page 50 9/9/2022 3 Housing Needs Identified in 1990 1,260-1,740 individuals were in need of assistance/units 555 to 790 new units needed 1,502 new housing units built between 1993 and 1999 So, what was built? Commercial Lodging Large Upscale Homes Middle Income Homes Multi Family Units Page 51 9/9/2022 4 1999 Housing Study What did we learn since 1990? Housing sales prices increased rapidly since 1990 Median home prices rose from $89,950 to $189,000 – a 110% increase Condominium prices increased from $72,000 to $160,900 – 123% increase While housing prices continued to rise, wages did not keep pace 1993 Town Board established itself as a Housing Authority Lone Tree Village provided 57 income qualifying rental units (built by Loveland Housing Authority) Between 1990 and 1999 summer employment increased 42% Development and zoning code changes decreased density 2000: Town Board restructures Housing Authority(EPHA) as an independent quasi- governmental entity with its own Commissioners, staff, mission and budget. The Town: > Appoints the Commissioners for 5 year terms > Provides benefits and computer support to EPHA staff > Interacts with EPHA on projects and planning > Engages EPHA for tenant workforce/income status Page 52 9/9/2022 5 Housing Needs Identified by the 1999 Needs Assessment Estimated needs: 809-1032 new housing units What did we build? By 2008 1,106 new units in the Estes Valley Here’s a Sample of What was built. Ranch Meadow The Overlook The Neighborhood The Reserve Page 53 9/9/2022 6 Fast Forward to 2008 The needs assessment showed continued job growth and continued need for additional housing units to meet general growth trends. More workers are commuting from the front range to work in Estes Trends reported in the 1990 and 1999 studies continue to increase Total need by 2015: 756 to 959 Units What was Built by 2015? 214 units 22% of projected demand Page 54 9/9/2022 7 So here we are in 2022 1990 1999 2000 2008 2009 2016 The 2016 Needs Assessment projected a “catch up/keep up” need between 1,480 and 1,690 new units. By the end of 2021 there were 234 Permits issued. A Few More Numbers to Consider In 2012 there were 206 listings for single family homes. Average sales price was $363,000. In 2016 There were 93 listings for single family homes. Average sales price was $420,000. At the end of 2021 there were 18 listings for single family homes. Average sales price was $814,362. As of August 29, 2022 there were 58 listings for single family homes. 31 of those are in the 80517 zip code. As of August 29, 2022 there were 13 condominiums listed in the Estes Park Market area. Page 55 9/9/2022 8 What do we have and what do we have to work with? 2 distinct populations need housing Seasonal employees & Year round work force Different needs Different products Motel conversion into seasonal housing then to year- round apartments and now back to condominium development. 7 Families were displaced and had to find other place to live or left the community. Page 56 9/9/2022 9 Employer provided housing Is more common in Estes Park than in many other Colorado mountain communities. Community needs multi-family projects for rental and purchase, and moderately priced, single-family homes for its workforce. Page 57 9/9/2022 10 Cleave Street - 10 Units 26 units for workforce 1,2,&3 Bedrooms 57 units 1,2&3 Bedrooms Senior Housing – 55 & up Low Income 24 units 29 Home Ownership Condos With the additional units of Talons Point and Falcon Ridge the Estes Park Housing Authority has acquired or built in conjunction with the Town of Estes Park 210 rental units and 29 for-sale condominiums since 2000. The vision for the use of the proposed lodging tax funds would significantly expand efforts to: >Plan >Build >Acquire >Evaluate >Landbank >Maintain >Collaborate >Assess >Renovate >Create >Develop >Finance >Remodel >Sell >Expand >Advocate Page 58 9/9/2022 11 Questions? Comments? Ideas? Page 59       Page 60 To: Honorable Mayor Koenig Board of Trustees Through: Town Administrator Machalek From: Jackie Williamson Date: September 13, 2022 RE: Resolution 72-22 Transfer of Ownership from Rambo’s Longhorn Liquor, Inc. dba Rambo’s Longhorn Liquor to AAA, Inc. dba Longhorn Liquor located at 1640 Big Thompson Avenue, Estes Park, Retail Liquor License. PUBLIC HEARING ORDINANCE LAND USE CONTRACT/AGREEMENT RESOLUTION OTHER QUASI-JUDICIAL YES NO Objective: Transfer an existing liquor license located at 1640 Big Thompson Avenue to the applicant, AAA Inc. Present Situation: A Retail Liquor License is currently held at the location referenced above by Rambo’s Longhorn Liquor, Inc. dba Rambo’s Longhorn Liquor. The applicant is requesting a transfer of the license and submitted a complete application to the Town Clerk’s office on July 18, 2022, and a temporary permit was issued on the same day. The temporary permit authorizes the transferee to continue the sale of alcohol as permitted under the permanent license while the application to transfer ownership of the license is pending. The applicant has submitted all necessary paperwork and fees and is aware of the TIPS training requirement. Proposal: Town Board review and consideration of the application to transfer the existing license to AAA, Inc. dba Longhorn Liquor. Advantages: The transfer of the license provides the business owner with the opportunity to continue operating an existing, liquor-licensed establishment without an interruption of service to its clientele. TOWN CLERK’S OFFICE Memo Page 61 Disadvantages: The business owner is denied the opportunity to continue operating an existing liquor- licensed business during the licensing process. Action Recommended: Approval to transfer the existing Retail liquor license to AAA, Inc. dba Longhorn Liquor. Budget: The fee paid to the Town of Estes Park for a Lodging & Entertainment Liquor license transfer is $1086. The fee covers the administrative costs related to processing the application, background checks, and business licensing. In addition, the renewal fee payable to the Town for a Retail liquor license is $636 per year. Level of Public Interest: Low Sample Motion: I move to approve/deny Resolution 72-22 for the transfer of the Retail liquor license filed by AAA, Inc. dba Longhorn Liquor. Attachments 1. Procedures for Transfer 2. Resolution 72-22 3. Application 4. Individual History 5. Diagram 6. Police Report Page 62 April 2022 PROCEDURE FOR TRANSFER OF LIQUOR LICENSE MAYOR. The next order of business will be the public hearing on the application to transfer a Retail liquor license held by Rambo’s Longhorn Liquor, Inc. dba Rambo’s Longhorn Liquor to AAA, Inc. dba Longhorn Liquor located at 1640 Big Thompson Avenue, Estes Park, Colorado. TOWN CLERK. Will present the application to transfer a Retail liquor license to AAA, Inc. dba Longhorn Liquor and confirm the following: The application was filed July 18, 2022 . The Town has received all necessary fees and hearing costs. The applicant is filing as a Inc. . There is a police report with regard to the investigation of the applicants. Status of T.I.P.S. Training: Unscheduled Completed X Pending Confirmation MAYOR.  Ask the Board of Trustees if there are any questions of any person speaking at any time during the course of this hearing.  Declare the public hearing closed. MOTION: I move that Resolution 72-22 be approved/denied to transfer a Retail liquor license held by Rambo’s Longhorn Liquor, Inc. dba Rambo’s Longhorn Liquor to AAA, Inc. dba Longhorn Liquor located at 1640 Big Thompson Avenue, Estes Park, Colorado. Attachment 1 Page 63       Page 64 RESOLUTION 72-22 APPROVING A TRANSFER OF A RETAIL LIQUOR LICENSE FROM RAMBO’S LONGHORN LIQUOR INC. DBA RAMBO’S LONGHORN LIQUOR TO AAA INC. DBA LONGHORN LIQUOR, 1640 BIG THOMPSON AVENUE, ESTES PARK, CO 80517 WHEREAS, the Town Board of Trustees acting in their capacity as the Liquor Licensing Authority for the Town of Estes Park held a public hearing on September 13, 2022 for a Transfer of a Retail Liquor License, filed by AAA Inc. dba Longhorn Liquor, 1640 Big Thompson Avenue, Estes Park, Colorado; and NOW, THEREFORE, BE IT RESOLVED BY THE BOARD OF TRUSTEES OF THE TOWN OF ESTES PARK, COLORADO: The Board approves the application for a Transfer of a Retail Liquor License, filed by AAA Inc. dba Longhorn Liquor, 1640 Big Thompson Avenue, Estes Park, Colorado. DATED this day of , 2022. TOWN OF ESTES PARK Mayor ATTEST: Town Clerk APPROVED AS TO FORM: Town Attorney Attachment 2 Page 65 DR 8404 (12/29/21) COLORAOO DEPARTMENT OF REVENUE Liquor Enforcement Division (303) 205·2300 Colorado Liquor Retail License Application D New License D New-Concurrent Transfer of Ownership D State Property Only D Master file •All answers must be printed in black ink or typewritten •Applicant must check the appropriate box(es) •Applicant should obtain a copy of the Colorado Liquor and Beer Code: SBG. Colorado.gov/Liquor 1.Applicant is applying as a/an D Individual D Limited Liability Company D Association or Other Corporation D Partnership (includes Limited Liability and Husband and Wife Partnerships) 2.Applicant If an LLC, name of LLC; if partnership, at least 2 partner's names; if corporation, name of corporation FEIN Number r It 2a. Tr de Name of Establishment (OBA) l-/try· 10/QN l:.Z:@-Ctd,.Q_ 3. Address of Premises (specify exact location of premises, include suite/unit numbers)L-/o /3( 4. Mailing Address (Number and Street)( o o 5 o & . I 3 CZ ·1r, 5.Email Address,. ,4 w Pr fc<A-.:r: (}vE County State ZIP Code (., f)-R::r/J E,Q.. Co Bo'5J7 City or Town State ZIP Code � I (_-r, H'TD (3, 8D 00� 6. If the premises currently has a liquor or beer license, you must answer the following questions Present Trade Name of Establishment (OBA) Present State License Number Present Class of License · A- 15 ·oNbJHtJ c)9uo� 6 8 �o 6 7 /!?TI . L Section A Nonrefundable Application Fees* Section B (Cont.) Liquor License Fees* D Application Fee for New License ............................................ $1,100.00 D Liquor-Licensed Drugstore (County) .................................................. $312.50 D Application Fee for New License w/Concurrent Review ............ $1,200.00 D Lodging & Entertainment. L&E (City) ................................................. $500.00 Application Fee for Transfer ................................................... $1, 100.00 D Lodging & Entertainment-L&E (County) ........................................... $500.00 Section B Liquor License Fees* D Manager Registration - H & R ................................................................ $75.00 1--------------------=--------l D Manager Registration -Tavern ............................................................... $75.00 D Manager Registration -Lodging & Entertainment... ............................. $75.00 · D Manager Registration -Campus Liquor Complex ............................... $75.00 D Optional Premises License (City) ......................................................... $500.00 D Optional Premises License (County) ................................................... $500.00 D Racetrack License (City) ....................................................................... $500.00 D Racetrack License (County) ................................................................. $500.00 D Resort Complex License (City) ............................................................. $500.00 D Resort Complex License (County) ....................................................... $500.00 D Related Facility-Campus Liquor Complex (City) .............................. $160.00 D Related Facility-Campus Liquor Complex (County) ........................ $160.00 D Related Facility-Campus Liquor Complex (State) ............................ $160.00 D Retail Gaming Tavern License (City) ................................................... $500.00 D Retail Gaming Tavern License (County) .............................................. $500.00 D Retail Liquor Store License-Additional (City) ...................................... $227.50 D Retail Liquor Store License•-Additional (County) ................................ $312.50 �Retail Liquor Store (City) ....................................................................... $227.50 D Retail Liquor Store (County) ................................................................. $312.50 D Tavern License (City) .......................................................................... $500.00 D Tavern License (County) .................................................................... $500.00 D Vintners Restau�nt License (City) ...................................................... $750.00 D Vintners Restaurant License (County) ................................................. $750.00 D Add Optional Premises to H & R ......... $100.00 X ___ Total __ _ D Add Related Facility to Resort Complex$75.00 X ___ Total __ _ D Add Sidewalk Service Area .................................................................... $75.00 D Arts License (City) ................................................................................ $308.75 D Arts License (County) .......................................................................... $308.75 D Beer and Wine License (City) .............................................................. $351.25 D Beer and Wine License (County) ........................................................ $436.25 D Brew Pub License (City) .................................................................... $750.00 D Brew Pub License (County) ................................................................. $750.00 D Campus Liquor Complex (City) ........................................................... $500.00 D Campus Liquor Complex (County) ..................................................... $500.00 D Campus Liquor Complex (State) ......................................................... $500.00 D Club License (City) ............................................................................... $308.75 D Club License (County) ........................................................................ $308.75 D Distillery Pub License (City) ................................................................. $750.00 D Distillery Pub License (County) ........................................................... $750.00 D Hotel and Restaurant License (City) ................................................... $500.00 D Hotel and Restaurant License (County) ............................................ $500.00 D Hotel and Restaurant License w/one opt premises (City) ................. $600.00 D Hotel and Restaurant License w/one opt premises (County) ............ $600.00 D Liquor-Licensed Drugstore (City) ....................................................... $227.50 *Note that the Division will not accept cash Questions? Visit: SBG.Colorado.gov/Uquorfor more information Do not write in this space -For Department of Revenue use only Liability Information License Account Number Liability Date License Issued Through (Expiration Date) Total $ Attachment 3 Page 66 Page 67 Page 68 Page 69 Page 70 DR 8404-1 (03/20/19) COLORADO DEPARTMENT OF REVENUE Liquor Enforcement Division (303) 205-2300 Individual History Record To be completed by the following persons, as applicable: sole proprietors; general partners regardless of percentage ownership, and limited partners owning 10% or more of the partnership; all principal officers of a corporation, all directors of a corporation, and any stockholder of a corporation owning 10% or more of the outstanding stock; managing members or officers of a limited liability company, and members owning 10% or more of the company; and any intended registered manager of Hotel and Restaurant, Tavern and Lodging and Entertainment class of retail license Notice: This individual history record requires information that is necessary for the licensing investigation or inquiry. All questions must be answered in their entirety or the license application may be delayed or denied. If a question is not applicable, please indicate so by "N/A". Any deliberate misrepresentation or material omission may jeopardize the license application. (Please attach a separate sheet if necessary to enable you to answer questions completely) 1.Name of Business Home Phone Number I Cellular NumberA A A r/\\c.7 2 o -4� b -2. "1 L\ \ 2.Your Full Name (last, first, middle)3. List any other names you have used �A0(AjA DA-�V NA 4.Mailing address (if clifferent from residence)Email Address�A ... TWA'°-A3!:V� '-1A1-tCH) • e.-oM 5.List current residence address. Include any previous addresses within the last five years. (Attach separate sheet if necessary) Street and Number City, State, Zip From To Current loo�o �. J?, B Th (>L. 1�f.2r &,t-t,oA/, c_�,() -go 6tJ:J 2/21 {)l)s,J.,-Previous 5 /201� loq Sb LT.t'V\A sr 1-1 GN I) GQ .<..oN. UJ So 1,4n 2 /2.1 6.List all employment within the last five years. Include any self-employment. (Attach separate sheet if necessary) Name of Employer or Business Address (Street, Number, City, State, Zip) Position Held From To A !'I\ Q A '3" :I:-N C.. C!O 80 2.l(o ICi:J.o I Wu/QoAJ ST Tuo"1Nro,., M�l\l.t\-C:s\�? /20/b P1<SN-r . 7.List the name(s) of relatives working in or holding a financial interest in the Colorado alcohol beverage industry. Name of Relative Relationship to You AMiQIT 8-A::rw A-OA-u r .... 1-1-rE R Position Held rJWNEI< IM/.,, ,R_ Name of Licensee 1}-1 pie f-t-A-A 15 XNC.. 8.Have you ever applied for, held, or had an interest in a Colorado Liquor or Beer License, or loaned money,Ji[ves 0 Jo furniture, fixtures, equipment or inventory to any licensee? (If yes, answer in detail.) BA:YuJA \--) R01v-t E-RS C-0 ( o o«ol. o \st-<3� +T.LL c_-ErN-L/ Co -L{7 B513(p I J5Th BV\ -st'\/\ es-s vJ A-S LvLp•+v11 1 a,o _ 8CJ (i, � 1 SDt& 9v\ 201 (p 9.Have you ever received a violation notice, suspension, or revocation for a liquor law violation, or have youapplied for or been denied a liquor or beer license anywhere in the United States? (If yes, explain in detail.) □Yes �No Attachment 4 Page 71 DR 8404-1 (03/20/19) 10.Have you ever been convicted of a crime or received a suspended sentence, deferred sentence, or forfeited bail for any offense in criminal or military court or do you have any char es pending? (If yes, explain in detail. 11.Are you currently under probation (supervised or unsupervised), parole, or completing the requirements of a deferred sentence? (If yes, explain in detail. 12.Have you ever had any professional license suspended, revoked, or denied? (If yes, explain in detail.) Personal and Financial Information □Yes !$No □Yes �No □Yes No d.U.S. Citizen � Yes D No 14.Financial Information. a.Total purchase oricA or investment being made by the applying entity, corporation, partnership, limited liability company, other. __ $ _ _' � l,J 3 �tJO=-D========-----------------------1 b.List the total amount of the personal investment , made by the person listed on question #2, in this bu!'linAc:c: inrluding any notes, loans, cash, services or equipment, operating capital, stock purchases or fees paid. $ / 4 .3 0 D D' ,., *If corporate investment only please skip to and ·complete section (d) ** Section b should reflect the total of sections c and e c.Provide details of the personal investment described in 14b. You must account for all of the sources of this investment. (Attach a separate sheet if needed) Type: Cash, Services or Equipm d.Provide details of the corporate investment described in 14 (a). You must account for all of the sources of this investment. {Attach a separate sheet if needed) Type: Cash, Services or Equipment Loans Account Type e.Loan Information (Attach copies of all notes or loans) Name of Lender Address '7"777 fH .. {lf+(J.A Do C. Bank Name Amount Term \0 'f R.5 Page 72 ----i-..---- I I Attachment 5 Page 73 -�---- TOWN OF ESTES PARI'-., July 25, 2022 Jackie Williamson, Town Clerk Town of Estes Park Estes Park, CO 80517 Dear Ms. Williamson: RE: Longhorn Liquors Bajwa, Rajiv A check of the Estes Park Police Department local records on the above business and individual was conducted. The system reports date back to possibly October of 2004 or more recently when our system upgraded in December 2020. Unfortunately, there is limited information in the update. There are no rep01ts involving the individual in the system. C�r�ss Interim Chief of Police, Estes Park Police Department 170 MACGREGOR AVE. P.O. BOX 1287 ESTES PARK, CO 80517 www.estes.org Police Department Corey P. Pass, Interim Chief of Police 970-586-4000 www.estes.org/pd Attachment 6 Page 74 PUBLIC WORKS Memo To: Honorable Mayor Koenig Board of Trustees Through: Town Administrator Machalek From: Greg Muhonen, Public Works Department Director Date: September 13, 2022 RE: Resolution 73-22 Amending the Intergovernmental Agreement with the Colorado Department of Transportation for US 36/Community Drive Intersection Improvements (Mark all that apply) PUBLIC HEARING ORDINANCE LAND USE CONTRACT/AGREEMENT RESOLUTION OTHER QUASI-JUDICIAL YES NO Objective: Public Works staff seeks Town Board approval of an amendment to the Intergovernmental Agreement (IGA) from the Colorado Department of Transportation (CDOT) for Federal Highway Administration (FHWA) Congestion Mitigation and Air Quality (CMAQ) funding to support the US Highway 36 and Community Drive intersection improvements. Staff is also asking the Board to support additional local funding to construct this project. Present Situation: At the proposed location, US 36 is a two-lane, east-west state highway bringing traffic to and from Estes Park. Currently, any westbound traffic waiting to make a left turn onto Community Drive will cause traffic to queue eastward along US 36 back onto the Causeway. Similarly, heavy traffic volumes on US 36 cause long delays for northbound traffic entering the highway from Community Drive. A traffic impact study performed in 2009, in conjunction with the construction of the Stanley Park Fairgrounds Event Center, identified the need for both westbound to southbound and eastbound to southbound turn lanes from US 36 onto Community Drive. As a condition of approval, CDOT required the Town to install these proposed turn lanes. A separate traffic impact study performed in 2016, in conjunction with the Estes Valley Community Center, also identified the need for intersection improvements as a result of increased vehicle trips. The Town considered options and determined that a roundabout at this intersection was preferred, as it delivers the added benefit of traffic calming as vehicles enter Estes Park. Page 75 This amendment updates the original CDOT IGA supporting construction costs. With the pandemic’s impact on supply chains and labor, construction was delayed and costs have increased. Some line items from the original cost estimate have increased significantly. Cost to relocate the Town’s electrical utility infrastructure increased from under $100,000 to over $400,000. At the time of the original estimate, the Power & Communication Department anticipated using their own crew for this project. Now, existing workload commitments preclude the Town’s electrical staff from performing this work. It must be done now by a contractor. Additionally, the cost of concrete barriers for traffic control increased by over $30,000, and curb and gutter material and labor increased by over $30,000. These are just a few examples of the increased cost for this project. These increased costs have created a forecast budget shortfall. Proposal: Additional funds are needed before this project can go out to bid in the fall so construction can start in late 2022 and be completed by June 30, 2023. Public Works staff propose the Board accept additional CDOT funding for this project and approve additional local funds to cure the projected funding shortfall. We propose to utilize our PW Parks Division staff to beautify the central island and install trees along the northside on US 36 to limit the line of sight of westbound vehicles traveling through this offset roundabout. These costs are included in the estimate. Advantages: • A roundabout intersection at this major entrance to Estes Park will slow the US36 traffic and feature welcoming landscaping. • Studies document fewer fatalities and injury accidents occur when a roundabout is used for intersection control instead of a traffic signal. • While initial construction costs for roundabouts typically exceed that of stop signs and traffic signals, the 20-year life-cycle costs are typically 60% less than a traffic signal. • Pedestrian crossings of the approaching roadways are shorter and safer than crossing at signalized intersection (see future pedestrian crossing as proposed in the Stanley Park Master Plan and the Events Complex plan). • Roundabouts are a more environmentally sustainable option because vehicles emit less air and noise pollution due to a reduction in idling, hard stops, and start-up that occur with stop sign and signalized control. • The MacGregor and Wonderview (US 34) roundabout, constructed and opened in 2020, coupled with over 35 roundabouts in the Loveland area, have familiarized residents and visitors with navigating roundabouts. • Moving expediently to construction completion reduces risk of added cost escalation. • Since several other construction projects will be active during the proposed construction timeline, there may be better contractor availability and public information regarding traffic detours and delays. Disadvantages: • A local match cost share is required with this IGA amendment; however, funds are available to support this project. The cost share for the CMAQ grant portion is 82.79% federal funds and 17.21% local funds. Page 76 •The budget shortfall requires the Town to further support this project before it can go out to bid; however, continued delays will likely result in increased costs. •Construction will cause traffic disruption; however, a traffic control plan will be implemented including detour options. US 36 will remain open, and construction completion is planned before July 2023. Action Recommended: Public Works staff recommends acceptance of this IGA amendment and approval of additional local funds to support this project. Finance/Resource Impact: The Town previously budgeted $1,499,071 in 2022 in Account # 204-5400-544.35-51 for this project. $1,335,017 is unencumbered and available as of August 22, 2022. Additionally, the Town set aside $1,700,000 in reserve within the General Fund (101) for potential unfunded construction cost increases in the 2022. A portion ($500,000) was recently allocated for the Downtown Estes Loop. An additional $600,000 is requested for this project as summarized below. The Engineer’s Estimated Cost for the total project is $3,355,894. Proposed funding is: CDOT IGA: $750,000 Town-required cost share: $ 155,907 CDOT Amendment: $710,000 Town-required cost share: $ 147,591 CDOT Amendment: $550,000 Town-required cost share: $ 0 Town previous overmatch: $ 445,572 Town shortfall funding: $ 600,000 Total CDOT Funds: $2,010,000 Total Town funds: $1,349,070 Total Proposed Project Funds: $3,359,070 Future Ongoing Impacts: The Town will incur future ongoing expenditures for landscape, trail underpass, and street lighting maintenance. Future One Time Impacts: A fourth leg from this roundabout is planned in the future for direct access into the Events Complex as contemplated in the Stanley Park Master Plan. Level of Public Interest The level of public interest in this project has been modest. Sample Motion: I move for the denial/ approval of Resolution 73-22 and direct staff to bring a future 2022 budget supplement to the Town Board to allocate $600,000 for this project. Attachments: 1.Resolution 73-22 2.CDOT IGA dated October 21, 2019 3.CDOT IGA Amendment #1 Page 77 RESOLUTION 73-22 AMENDING THE INTERGOVERNMENTAL AGREEMENT WITH THE COLORADO DEPARTMENT OF TRANSPORTATION FOR US 36/COMMUNITY DRIVE INTERSECTION IMPROVEMENTS WHEREAS, the Town Board desires to enter into the amended intergovernmental agreement referenced in the title of this resolution for the purpose of constructing the roundabout at US 36 and Community Drive. 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 amendment to 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 78 OLA#: 331001981 Routing#: 20-HA4-XC-OOO 18 STATE OF COLORADO INTERGOVERNMENTAL AGREEMENT s· t d C P 12na ure an over age State Agency Agreement Routing Number Department of Transportation 20-HA4-XC-000 18 Local Agency Agreement Effective Date TOWN OF ESTES PARK The later of the effective date or July 24, 2019 Agreement Description Agreement Expiration Date Construction oflntersection Improvements on US l 0 years after the Effective Date, or the date of final 36/Community Drive payment for and final audit of the project, whichever occurs sooner. Project# Region# Contract Writer Agreement Maximum Amount AQC M405-4 LSC $905,907.00 024 (23040) THE PARTIES HERETO HA VE EXECUTED THIS AGREEMENT Each person signing this Agreement represents and warrants that he or she is duly authorized to execute this A reement and to bind the Part authorizin his or her si nature. LOCAL AGENCY OF ESTES PARK Todd A. Jirsa, Mayor By: (Print Name and Title) Date: __ °1....c.......c../-'-3_o""""'/--'�'--t5...L...-_ 2nd State or Local Agency Signature if Needed Signature By: (Print Name and Title) STATE OF COLORADO Jared S. Polis, Governor Department of Transportation Shoshana M. Lew, Executive Director Date: ----------- LEGAL REVIEW Philip J. Weiser, Attorney General jJ /A- Assistant Au6rney General By: (Print Name and Title) Date: 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. Document Builder Generated Rev. 12109/2016 Page I of }(!'J.'f Attachment 2 Page 79 OLA#: 331001981 Routing#: 20-HA4-XC-00018 TABLE OF CONTENTS 1.PARTIES ................................................................................................................................................. 2 2.TERM AND EFFECTIVE DATE ........................................................................................................... 2 3.AUTHORITY .......................................................................................................................................... 3 4.PURPOSE ............................................................................................................................................... 3 5.DEFINITIONS ........................................................................................................................................ 4 6.STATEMENT OF WORK ...................................................................................................................... 6 7.PAYMENTS ........................................................................................................................................... 9 8.REPORTING -NOTIFICATION ......................................................................................................... 13 9.LOCAL AGENCY RECORDS ............................................................................................................. 14 l 0. CONFIDENTIAL INFORMATION-ST A TE RECORDS .................................................................... 15 11.CONFLICT OF INTEREST .................................................................................................................. 15 12.INSURANCE ........................................................................................................................................ 16 13.BREACH ............................................................................................................................................... 17 14.REMEDIES ........................................................................................................................................... 18 15.DISPUTE RESOLUTION ..................................................................................................................... 19 16.NOTICES AND REPRESENTATIVES ............................................................................................... 19 17.RIGHTS IN WORK PRODUCT AND OTHER INFORMATION ...................................................... 19 18.GOVERNMENT AL IMMUNITY ........................................................................................................ 20 19.STATEWIDE CONTRACT MANAGEMENT SYSTEM ................................................................... 20 20.GENERAL PROVISIONS .................................................................................................................... 20 21.COLORADO SPECIAL PROVISIONS (COLORADO FISCAL RULE 3-3) ..................................... 22 22.FEDERAL REQUIREMENTS ............................................................................................................. 23 23.DISADVANTAGED BUSINESS ENTERPRISE (DBE) ..................................................................... 23 24.DISPUTES ............................................................................................................................................ 24 EXHIBIT A, ST A TEMENT OF WORK EXHIBIT B, SAMPLE OPTION LETTER EXHIBIT C, FUNDING PROVISIONS EXHIBIT D, LOCAL AGENCY RESOLUTION EXHIBIT E, LOCAL AGENCY AGREEMENT ADMINISTRATION CHECKLIST EXHIBIT F, CERTIFICATION FOR FEDERAL-AID AGREEMENTS EXHIBIT G, DISADVANTAGED BUSINESS ENTERPRISE EXHIBIT H, LOCAL AGENCY PROCEDURES FOR CONSULT ANT SERVICES EXHIBIT I, FEDERAL-AID AGREEMENT PROVISIONS FOR CONSTRUCTION AGREEMENTS EXHIBIT J, ADDITIONAL FEDERAL REQUIREMENTS EXHIBIT K, FFATA SUPPLEMENTAL FEDERAL PROVISIONS EXHIBIT L, SAMPLE SUBRECIPIENT MONITORING AND RISK ASSESSMENT FORM EXHIBIT M, 0MB UNIFORM GUIDANCE FOR FEDERAL AW ARDS 1.PARTIES This Agreement is entered into by and between Local Agency named on the Signature and Cover Page for this Agreement ("Local Agency"), and the ST ATE OF COLORADO acting by and through the State agency named on the Signature and Cover Page for this Agreement (the "State" or "CDOT"). Local Agency 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 Agreement Funds shall be expended within the dates shown in Exhibit C for each respective phase ("Phase Performance Period(s)"). The State shall not be bound by any provision of this Agreement before the Effective Date, and shall have no obligation to pay Local Agency for any Work performed or expense incurred before l)the Effective Date of this original Agreement; 2) before the encumbering document for the respective phase and the official Notice to Proceed for the respective phase; or 3) after the Final Phase Performance Document Builder Generated Rev. 12/09/2016 Page 2 of24 Page 80 End Date, as shown in Exhibit C. B.Initial Term OLA#: 331001981 Routing#: 20-HA4-XC-OOO 18 The Parties' respective performances under this Agreement shall commence on the Agreement Effective Date shown on the Signature and Cover Page for this Agreement and shall terminate on the date of notice of CDOT final acceptance ("Agreement Expiration Date") shown on the Signature and Cover Page for this Agreement, unless sooner terminated or further extended in accordance with the terms of this Agreement. C.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. This subsection shall not apply to a termination of this Agreement by the State for breach by Local Agency, which shall be governed by §14.A.i. 1. Method and Content The State shall notify Local Agency of such termination in accordance with §16. The notice shall specify the effective date of the tennination and whether it affects all or a portion of this Agreement. 11. Obligations and Rights Upon receipt of a termination notice for termination in the public interest, Local Agency shall be subject to §14.A.i.a 111. Payments If the State terminates this Agreement in the public interest, the State shall pay Local Agency 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 Local Agency for a portion of actual out-of­ pocket expenses, not otherwise reimbursed under this Agreement, incurred by Local Agency which are directly attributable to the uncompleted portion of Local Agency's obligations, provided that the sum of any and all reimbursement shall not exceed the maximum amount payable to Local Agency hereunder. 3.AUTHORITY Authority to enter into this Agreement exists in the law as follows: A.Federal Authority Pursuant to Title I, Subtitle A, of the "Fixing America's Surface Transportation Act" (FAST Act) of 2015, and to applicable provisions of Title 23 of the United States Code and implementing regulations at Title 23 of the Code of Federal Regulations, as may be amended, (collectively referred to hereinafter as the "Federal Provisions"), certain federal funds have been and arc expected to continue to be allocated for transportation projects requested by Local Agency and eligible under the Surface Transportation Improvement Program that has been proposed by the State and approved by the Federal Highway Administration ("FHW A"). B.State Authority Pursuant to CRS §43-1-223 and to applicable portions of the Federal Provisions, the State is responsible for the general administration and supervision of performance of projects in the Program, including the administration of federal funds for a Program project performed by a Local Agency under a contract with the State. This Agreement is executed under the authority of CRS §§29-1-203, 43-1-11 O; 43-1-116, 43-2-101(4)(c) and 43-2-104.5. 4.PURPOSE The purpose of this Agreement is to disburse Federal funds to the Local Agency pursuant to CDOT's Stewardship Agreement with the FHW A. Document Builder Generated Rev. 12/09/2016 Page 3 of24 Page 81 5.DEFINITIONS The following terms shall be construed and interpreted as follows: OLA#: 331001981 Routing#: 20-HA4-XC-00018 A."Agreement" means this agreement, including all attached Exhibits, all documents incorporated by reference, all referenced statutes, rules and cited authorities, and any future modifications thereto. B."Agreement Funds" means the funds that have been appropriated, designated, encumbered, or otherwise made available for payment by the State under this Agreement. C."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. D."Budget" means the budget for the Work described in Exhibit C. E."Business Day" means any day in which the State is open and conducting business, but shall not include Saturday, Sunday or any day on which the State observes one of the holidays listed in §24-11-IO l (I) C.R.S. F."Consultant" means a professional engineer or designer hired by Local Agency to design the Work Product. G."Contractor" means the general construction contractor hired by Local Agency to construct the Work. H."CORA" means the Colorado Open Records Act, §§24-72-200.1 et. seq., C.R.S. I."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 and Cover Page for this Agreement. J."Evaluation" means the process of examining Local Agency's Work and rating it based on criteria established in §6, Exhibit A and Exhibit E. K."Exhibits" means the following exhibits attached to this Agreement: 1.Exhibit A, Statement of Work. 11. Exhibit B, Sample Option Letter. iii.Exhibit C, Funding Provisions 1v. Exhibit D, Local Agency Resolution v.Exhibit E, Local Agency Contract Administration Checklist vi.Exhibit F, Certification for Federal-Aid Contracts v11. Exhibit G, Disadvantaged Business Enterprise vm. Exhibit H, Local Agency Procedures for Consultant Services 1x. Exhibit I, Federal-Aid Contract Provisions for Construction Contracts x.Exhibit J, Additional Federal Requirements xi.Exhibit K, The Federal Funding Accountability and Transparency Act of 2006 (FFATA) Supplemental Federal Provisions xii.Exhibit L, Sample Sub-Recipient Monitoring and Risk Assessment Form xiii.Exhibit M, Supplemental Provisions for Federal Awards Subject to The Office of Management and Budget Uniform Administrative Requirements, Cost principles, and Audit Requirements for Federal Awards (the "Uniform Guidance") L."Federal Award" means an award of Federal financial assistance or a cost-reimbursement contract under the Federal Acquisition Requirements by a Federal Awarding Agency to a 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 contractor or payments to an individual that is a beneficiary of a Federal program. Document Builder Generated Rev. 12/09/2016 Page 4 of24 Page 82 OLA#: 331001981 Routing#: 20-HA4-XC-00018 M. "Federal Awarding Agency" means a Federal agency providing a Federal Award to a Recipient. N."FHWA" means the Federal Highway Administration, which is one of the twelve administrations under the Office of the Secretary of Transportation at the U.S. Department of Transportation. FHWA provides stewardship over the construction, maintenance and preservation of the Nation's highways and tunnels. FHWA is the Federal Awarding Agency for the Federal Award which is the subject of this Agreement. 0 "Goods" means any movable material acquired, produced, or delivered by Local Agency as set forth in this Agreement and shall include any movable material acquired, produced, or delivered by Local Agency in connection with the Services. P. "Incident" means any accidental or deliberate event that results in or constitutes an imminent threat of the unauthorized access or disclosure of State Confidential Information or of the unauthorized modification, disruption, or destruction of any State Records. Q."Initial Term" means the time period defined in §2.B R."Notice to Proceed" means the letter issued by the State to the Local Agency stating the date the Local Agency can begin work subject to the conditions of this Agreement. S."OMB" means the Executive Office of the President, Office of Management and Budget. T."Oversight" means the term as it is defined in the Stewardship Agreement between CDOT and the FHWA. U."Party" means the State or Local Agency, and "Parties" means both the State and Local Agency. 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; and any other information that is linked or linkable to an individual, such as medical, educational, financial, and employment information. PII includes, but is not limited to, all information defined as personally identifiable information in §24-72-50 l C.R.S. W."Recipient" means the Colorado Department of Transportation (CDOT) for this Federal Award. X."Services" means the services to be performed by Local Agency as set forth in this Agreement, and shall include any services to be rendered by Local Agency 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. Z."State Fiscal Rules" means the fiscal rules promulgated by the Colorado State Controller pursuant to §24-30-202(13)(a). AA. "State Fiscal Year" means a 12 month period beginning on July I 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 Purchasing Director" means the position described in the Colorado Procurement Code and its implementing regulations. CC."State Records" means any and all State data, information, and records, regardless of physical form, including, but not limited to, information subject to disclosure under CORA. DD."Subcontractor" means third-parties, if any, engaged by Local Agency to aid in performance of the Work. 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 ofother Federal Awards directly from a Federal Awarding Agency. FF. "Uniform Guidance" means the Office of Management and Budget Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, which supersedes requirements from 0MB Circulars A-21, A-87, A-110, A-122, A-89, A-102, and A-133, and the Document Builder Generated Re\·. 12/09/2016 Page 5 of24 Page 83 OLA#: 331001981 Routing#: 20-HA4-XC-O00 18 guidance in Circular A-50 on Single Audit Act follow-up. GG. "Work" means the delivery of the Goods and performance of the Services in compliance with CDOT's Local Agency Manual described in 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, 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 in an Exhibit shall be construed and interpreted as defined in that Exhibit. 6.STATEMENT OF WORK Local Agency shall complete the Work as described in this Agreement and in accordance with the provisions of Exhibit A, and the Local Agency Manual. The State shall have no liability to compensate Local Agency for the delivery of any Goods or the performance of any Services that are not specifically set forth in this Agreement. Work may be divided into multiple phases that have separate periods of performance. The State may not compensate for Work that Local Agency performs outside of its designated phase perfom1ance period. The performance period of phases, including, but not limited to Design, Construction, Right of Way, Utilities, or Environment phases, are identified in Exhibit C. The State may unilaterally modify Exhibit C from time to time, at its sole discretion, to extend the period of performance for a phase of Work authorized under this Agreement. To exercise this phase performance period extension option, the State will provide written notice to Local Agency in a form substantially equivalent to Exhibit B. The State's unilateral extension of phase performance periods will not amend or alter in any way the funding provisions or any other terms specified in this Agreement, notwithstanding the options listed under §7.E A.Local Agency Commitments 1. Design If the Work includes preliminary design, final design, design work sheets, or special provisions and estimates (collectively referred to as the "Plans"), Local Agency shall ensure that it and its Contractors comply with and are responsible for satisfying the followingrequirements: a.Perform or provide the Plans to the extent required by the nature of the Work. b.Prepare final design in accordance with the requirements of the latest edition of the American Association of State Highway Transportation Officials (AASHTO) manual or other standard, such as the Uniform Building Code, as approved by the State. c.Prepare provisions and estimates in accordance with the most current version of the State's Roadway and Bridge Design Manuals and Standard Specifications for Road and Bridge Construction or Local Agency specifications if approved by the State. d.Include details of any required detours in the Plans in order to prevent any interference of the construction Work and to protect the traveling public. e.Stamp the Plans as produced by a Colorado registered professional engineer. f.Provide final assembly of Plans and all other necessary documents. g.Ensure the Plans are accurate and complete. h.Make no further changes in the Plans following the award of the construction contract to Contractor unless agreed to in writing by the Parties. The Plans shall be considered final when approved in writing by COOT, and when final, they will be deemed incorporated herein. 11. Local Agency Work a.Local Agency shall comply with the requirements of the Americans With Disabilities Act (ADA) 42 U.S.C. § 12101, et. seq., and applicable federal regulations and standards as contained in the document "ADA Accessibility Requirements in COOT Transportation Document Builder Generated Rev. 12/09/2016 Page 6 of24 Page 84 OLA#: 331001981 Routing#: 20-HA4-XC-00018 Projects". b.Local Agency shall afford the State ample opportunity to review the Plans and shall make any changes in the Plans that are directed by the State to comply with FHW A requirements. c.Local Agency may enter into a contract with a Consultant to perform all or any portion of the Plans and/or construction administration. Provided, however, if federal-aid funds are involved in the cost of such Work to be done by such Consultant, such Consultant contract (and the performance provision of the Plans under the contract) must comply with all applicable requirements of23 C.F.R. Part 172 and with any procedures implementing those requirements as provided by the State, including those in Exhibit H. If Local Agency enters into a contract with a Consultant for the Work: I)Local Agency shall submit a certification that procurement of any Consultant contract complies with the requirements of23 C.F.R. 172.5(1) prior to entering into such Consultant contract, subject to the State's approval. If not approved by the State, Local Agency shall not enter into such Consultant contract. 2)Local Agency shall ensure that all changes in the Consultant contract have prior approval by the State and FHW A and that they are in writing. Immediately after the Consultant contract has been awarded, one copy of the executed Consultant contract and any amendments shall be submitted to the State. 3)Local Agency shall require that all billings under the Consultant contract comply with the State's standardized billing format. Examples of the billing formats are available from the CDOT Agreements Office. 4)Local Agency (and any Consultant) shall comply with 23 C.F.R. 172.5(b) and (d) and use the CDOT procedures described in Exhibit H to administer the Consultant contract. 5)Local Agency may expedite any CDOT approval of its procurement process and/or Consultant contract by submitting a letter to CDOT from Local Agency's attorney/authorized representative certifying compliance with Exhibit H and 23 C.F.R. l 72.5(b)and (d). 6)Local Agency shall ensure that the Consultant contract complies with the requirements of 49 CFR l 8.36(i) and contains the following language verbatim: (a)The design work under this Agreement shall be compatible with the requirements of the contract between Local Agency and the State (which is incorporated herein by this reference) for the design/construction of the project. The State is an intended third­ party beneficiary of this agreement for that purpose. (b)Upon advertisement of the project work for construction, the consultant shall make available services as requested by the State to assist the State in the evaluation of construction and the resolution of construction problems that may arise during the construction of the project. (c)The consultant shall review the construction Contractor's shop drawings for conformance with the contract documents and compliance with the provisions of the State's publication, Standard Specifications for Road and Bridge Construction, in connection with this work. (d)The State, in its sole discretion, may review construction plans, special provisions and estimates and may require Local Agency to make such changes therein as the State determines necessary to comply with State and FHW A requirements. 111. Construction If the Work includes construction, Local Agency shall perform the construction in accordance with the approved design plans and/or administer the construction in accordance with Exhibit E. Such administration shall include Work inspection and testing; approving sources of materials; performing required plant and shop inspections; documentation of contract payments, testing and inspection activities; preparing and approving pay estimates; preparing, approving and securing the funding for contract modification orders and minor contract revisions; processing construction Contractor claims; construction supervision; and meeting the quality control requirements of the FHW A/CDOT Stewardship Agreement, as described in Exhibit E. Document Builder Generated Rev. 12/09/2016 Page 7 of24 Page 85 OLA#: 331001981 Routing#: 20-HA4-XC-00018 a.The State may, after providing written notice of the reason for the suspension to Local Agency, suspend the Work, wholly or in part, due to the failure of Local Agency or its Contractor to correct conditions which are unsafe for workers or for such periods as the State may deem necessary due to unsuitable weather, or for conditions considered unsuitable for the prosecution of the Work, or for any other condition or reason deemed by the State to be in the public interest. b.Local Agency shall be responsible for the following: 1)Appointing a qualified professional engineer, licensed in the State of Colorado, as Local Agency Project Engineer (LAPE), to perform engineering administration. The LAPE shall administer the Work in accordance with this Agreement, the requirements of the construction contract and applicable State procedures, as defined in the CDOT Local Agency Manual (https://www.codot.gov/business/designsupport/bulletins_manuals/2006- local-agency-manual). 2)For the construction Services, advertising the call for bids, following its approval by the State, and awarding the construction contract(s) to the lowest responsible bidder(s). (a)All Local Agency's advertising and bid awards pursuant to this Agreement shall comply with applicable requirements of 23 U.S.C. § 112 and 23 C.F.R. Parts 633 and 635 and C.R.S. § 24-92-10 I et seq. Those requirements include, without limitation, that Local Agency and its Contractor(s) incorporate Form 1273 (Exhibit I) in its entirety, verbatim, into any subcontract(s) for Services as terms and conditions thereof, as required by 23 C.F.R. 633.102(e). (b)Local Agency may accept or reject the proposal of the apparent low bidder for Work on which competitive bids have been received. Local Agency must accept or reject such bids within 3 working days after they are publicly opened. ( c)If Local Agency accepts bids and makes awards that exceed the amount of available Agreement Funds, Local Agency shall provide the additional funds necessary to complete the Work or not award such bids. (d)The requirements of §6.A.iii.b.2 also apply to any advertising and bid awards made by the State. (e)The State (and in some cases FHWA) must approve in advance all Force Account Construction, and Local Agency shall not initiate any such Services until the State issues a written Notice to Proceed. 1v. Right of Way (ROW) and Acquisition/Relocation a.If Local Agency purchases a ROW for a State highway, including areas of influence, Local Agency shall convey the ROW to CDOT promptly upon the completion of the project/construction. b.Any acquisition/relocation activities shall comply with all applicable federal and State statutes and regulations, including but not limited to, the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, the Uniform Relocation Assistance and Real Property Acquisition Policies for Federal and Federally Assisted Programs, as amended (49 C.F.R. Part 24), CDOT's Right of Way Manual, and CDOT's Policy and Procedural Directives. c.The Parties' respective responsibilities for ensuring compliance with acquisition, relocation and incidentals depend on the level of federal participation as detailed in CDOT's Right of Way Manual (located at http://www.codot.gov/business/manuals/right-of-way); however, the State always retains oversight responsibilities. d.The Parties' respective responsibilities at each level of federal participation in CDOT's Right of Way Manual, and the State's reimbursement of Local Agency costs will be determined pursuant the following categories: I)Right of way acquisition (31 l I) for federal participation and non-participation; 2)Relocation activities, if applicable (3109); 3)Right of way incidentals, if applicable (expenses incidental to acquisition/relocation of right of way-3114). Document Builder Generated Rev. 12/09/2016 Page 8 of24 Page 86 v.Utilities OLA#: 331001981 Routing#: 20-HA4-XC-000 18 If necessary, Local Agency shall be responsible for obtaining the proper clearance or approval from any utility company that may become involved in the Work. Prior to the Work being advertised for bids, Local Agency shall certify in writing to the State that all such clearances have been obtained. v1. Railroads If the Work involves modification of a railroad company's facilities and such modification will be accomplished by the railroad company, Local Agency shall make timely application to the Public Utilities Commission ("PUC") requesting its order providing for the installation of the proposed improvements. Local Agency shall not proceed with that part of the Work before obtaining the PUC's order. Local Agency shall also establish contact with the �ailroad company involved for the purpose of complying with applicable provisions of 23 C.F.R. 646, subpart B, concerning federal-aid projects involving railroad facilities,and: a.Execute an agreement with the railroad company setting out what work is to be accomplished and the location(s) thereof, and which costs shall be eligible for federal participation. b.Obtain the railroad's detailed estimate of the cost of the Work. c.Establish future maintenance responsibilities for the proposed installation. d.Proscribe in the agreement the future use or dispositions of the proposed improvements in the event of abandonment or elimination of a grade crossing. e.Establish future repair and/or replacement responsibilities, as between the railroad company and the Local Agency, in the event of accidental destruction or damage to the installation. v11. Environmental Obligations Local Agency shall perform all Work in accordance with the requirements of current federal and State environmental regulations, including the National Environmental Policy Act of 1969 (NEPA) as applicable. viii.Maintenance Obligations Local Agency shall maintain and operate the Work constructed under this Agreement at its own cost and expense during their useful life, in a manner satisfactory to the State and FHW A. Local Agency shall conduct such maintenance and operations in accordance with all applicable statutes, ordinances, and regulations pertaining to maintaining such improvements. The State and FHWA may make periodic inspections to verify that such improvements are being adequately maintained. 1x. Monitoring Obligations Local Agency shall respond in a timely manner to and participate fully with the monitoring activities described in §7.F.vi. x.Limitations The Local Agency 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 the Local Agency. The Local Agency shall not pay or be liable for any claimed interest, late charges, fees, taxes or penalties of any nature except as required by the Local Agency's laws or policies. B. State's Commitments 1.The State will perform a final project inspection of the Work as a quality control/assurance activity. When all Work has been satisfactorily completed, the State will sign the FHWA Form 12 I 2. 11.Notwithstanding any consents or approvals given by the State for the Plans, the State shall not be liable or responsible in any manner for the structural design, details or construction of any Work constituting major structures designed by, or that are the responsibility of, Local Agency, as identified in Exhibit E. 7.PAYMENTS A.Maximum Amount Payments to Local Agency are limited to the unpaid, obligated balance of the Agreement Funds set forth in Exhibit C. The State shall not pay Local Agency any amount under this Agreement that exceeds the Agreement Maximum set forth in Exhibit C. B.Payment Procedures 1. Invoices and Payment Document Builder Generated Rev. 12/09/2016 Page 9 of24 Page 87 a.The State shall pay Local Agency in the amounts and in accordance with conditions set forth in Exhibit C. b.Local Agency 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 Local Agency 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 Local Agency shall make all changes necessary to correct that invoice. d.The acceptance of an invoice shall not constitute acceptance of any Work performed or deliverables provided under the Agreement. 11.Interest Amounts not paid by the State within 45 days after the State's acceptance of the invoice shall bear interest on the unpaid balance beginning on the 46th day at the rate of I% 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. Local Agency 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 Local Agency disputes any calculation, determination, or amount of any payment, Local Agency shall notify the State in writing of its dispute within 30 days following the earlier to occur of Local Agency'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 Local Agency and may make changes to its determination based on this review. The calculation, determination, or payment amount that results from the State's review shall not be subject to additional dispute under this subsection. No payment subject to a dispute under this subsection shall be due until after the State has concluded its review, and the State shall not pay any interest on any amount during the period it is subject to dispute under this subsection. 1v. Available Funds-Contingency-Termination The State is prohibited by law from making commitments beyond the term of the current State Fiscal Year. Payment to Local Agency beyond the current State Fiscal Year is contingent on the appropriation and continuing availability of Agreement 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 Agreement Funds, the State's obligation to pay Local Agency 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 Agreement Funds, and the State's liability for such payments shall be limited to the amount remaining of such Agreement 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.C v.Erroneous Payments The State may recover, at the State's discretion, payments made to Local Agency in error for any reason, including, but not limited to, overpayments or improper payments, and unexpended or excess funds received by Local Agency. The State may recover such payments by deduction from subsequent payments under this Agreement, deduction from any payment due under any other contracts, grants or agreements between the State and Local Agency, or by any other appropriate method for collecting debts owed to the State. The close out of a Federal Award does not affect the right ofFHWA 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 in §9.A.). C.Matching Funds Local Agency shall provide matching funds as provided in §7.A. and Exhibit C. Local Agency 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. Local Agency's obligation to pay all or any part of any matching funds, whether direct or contingent, only extend to funds duly and lawfully appropriated for the purposes of this Agreement by the authorized representatives of Local Agency and paid into Local Agency's treasury. Local Agency represents to the State that the amount designated "Local Agency Matching Funds" in Exhibit C has been legally appropriated for the purpose of this Agreement by its authorized Document Builder Generated Rev. 12/09/2016 Page 10 of24 Page 88 representatives and paid into its treasury. Local Agency may evidence such obligation by an appropriate ordinance/resolution or other authority letter expressly authorizing Local Agency to enter into this Agreement and to expend its match share of the Work. A copy of any such ordinance/resolution or authority letter is attached hereto as Exhibit D.Local Agency 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 Local Agency. Local Agency shall not pay or be liable for any claimed interest, late charges, fees, taxes, or penalties of any nature, except as required by Local Agency's laws or policies. D.Reimbursement of Local Agency Costs The State shall reimburse Local Agency's allowable costs, not exceeding the maximum total amount described in Exhibit C and §7. The applicable principles described in 2 C.F.R. Part 200 shall govern the State's obligation to reimburse all costs incurred by Local Agency and submitted to the State for reimbursement hereunder, and Local Agency shall comply with all such principles. The State shall reimburse Local Agency for the federal-aid share of properly documented costs related to the Work after review and approval thereof, subject to the provisions of this Agreement and Exhibit C. Local Agency costs for Work performed 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. Local Agency costs for Work performed after any Performance Period End Date for a respective phase of the Work, is not reimbursable. Allowable costs shall be: i.Reasonable and necessary to accomplish the Work and for the Goods and Services provided. 11. Actual net cost to Local Agency (i.e. the price paid minus any items of value received by Local Agency that reduce the cost actually incurred). E.Unilateral Modification of Agreement Funds Budget by State Option Letter The State may, at its discretion, issue an "Option Letter" to Local Agency to add or modify Work phases in the Work schedule in Exhibit C if such modifications do not increase total budgeted Agreement Funds. Such Option Letters shall amend and update Exhibit C, Sections 2 or 4 of the Table, and sub-sections B and C of the Exhibit C. Option Letters shall not be deemed valid until signed by the State Controller or an authorized delegate. Modification of Exhibit C by unilateral Option Letter is permitted only in the specific scenarios listed below. The State will exercise such options by providing Local Agency a fully executed Option Letter, in a form substantially equivalent to Exhibit B. Such Option Letters will be incorporated into this Agreement. 1. Option to Begin a Phase and/or Increase or Decrease the Encumbrance Amount The State may require by Option Letter that Local Agency begin a new Work phase that may include Design, Construction, Environmental, Utilities, ROW Incidentals or Miscellaneous Work (but may not include Right of Way Acquisition/Relocation or Railroads) as detailed in Exhibit A. Such Option Letters may not modify the other terms and conditions stated in this Agreement, and must decrease the amount budgeted and encumbered for one or more other Work phases so that the total amount of budgeted Agreement Funds remains the same. The State may also issue a unilateral Option Letter to simultaneously increase and decrease the total encumbrance amount of two or more existing Work phases, as long as the total amount of budgeted Agreement Funds remains the same, replacing the original Agreement Funding exhibit (Exhibit C) with an updated Exhibit C-1 (with subsequent exhibits labeled C-2, C-3, etc.). 11. Option to Transfer Funds from One Phase to Another Phase. The State may require or permit Local Agency to transfer Agreement Funds from one Work phase (Design, Construction, Environmental, Utilities, ROW Incidentals or Miscellaneous) to another phase as a result of changes to State, federal, and local match funding. In such case, the original funding exhibit (Exhibit C) will be replaced with an updated Exhibit C-1 (with subsequent exhibits labeled C-2, C-3, etc.) attached to the Option Letter. The Agreement Funds transferred from one Work phase to another are subject to the same terms and conditions stated in the original Agreement with the total budgeted Agreement Funds remaining the same. The State may unilaterally exercise this option by providing a fully executed Option Letter to Local Agency within thirty (30) days before the initial targeted start date of the Work phase, in a form substantially equivalent to Exhibit B. iii.Option to Exercise Options i and ii. The State may require Local Agency to add a Work phase as detailed in Exhibit A, and encumber and transfer Agreement Funds from one Work phase to another. The original funding exhibit (Exhibit C) in the original Agreement will be replaced with an updated Exhibit C-1 (with subsequent exhibits labeled C-2, C-3, etc.) attached to the Option Letter. The addition of a Work phase and encumbrance and transfer of Agreement Funds are subject to the same terms Document Builder Generated Rev. 12109/2016 Page 11 of24 Page 89 OLA#: 331001981 Routing#: 20-HA4-XC-00018 and conditions stated in the original Agreement with the total budgeted Agreement Funds remaining the same. The State may unilaterally exercise this option by providing a fully executed Option Letter to Local Agency within 30 days before the initial targeted start date of the Work phase, in a form substantially equivalent to Exhibit B. iv.Option to Update a Work Phase Performance Period and/or modify information required under the 0MB Uniform Guidance, as outlined in Exhibit C. The State may update any information contained in Exhibit C, Sections 2 and 4 of the Table, and sub-sections Band C of the Exhibit C. F.Accounting Local Agency shall establish and maintain accounting systems in accordance with generally accepted accounting standards (a separate set of accounts, or as a separate and integral part of its current accounting scheme). Such accounting systems shall, at a minimum, provide as follows: 1.Local Agency Performing the Work If Local Agency is performing the Work, it shall document all allowable costs, including any approved Services contributed by Local Agency or subcontractors, using payrolls, time records, invoices, contracts, vouchers, and other applicable records. 11.Local Agency-Checks or Draws Checks issued or draws made by Local Agency shall be made or drawn against properly signed vouchers detailing the purpose thereof. Local Agency shall keep on file all checks, payrolls, invoices, contracts, vouchers, orders, and other accounting documents in the office of Local Agency, clearly identified, readily accessible, and to the extent feasible, separate and apart from all other Work documents. iii.State-Administrative Services The State may perform any necessary administrative support services required hereunder. Local Agency shall reimburse the State for the costs of any such services from the budgeted Agreement Funds as provided for in Exhibit C.IfFHWA Agreement Funds are or become unavailable, or if Local Agency terminates this Agreement prior to the Work being approved by the State or otherwise completed, then all actual incurred costs of such services and assistance provided by the State shall be reimbursed to the State by Local Agency at its sole expense. 1v. Local Agency-Invoices Local Agency's invoices shall describe in detail the reimbursable costs incurred by Local Agency for which it seeks reimbursement, the dates such costs were incurred and the amounts thereof, and Local Agency shall not submit more than one invoice per month. v.Invoicing Within 60 Days The State shall not be liable to reimburse Local Agency for any costs invoiced more than 60 days after the date on which the costs were incurred, including costs included in Local Agency's final invoice. The State may withhold final payment to Local Agency at the State's sole discretion until completion of final audit. Any costs incurred by Local Agency that are not allowable under 2 C.F.R. Part 200 shall be Local Agency's responsibility, and the State will deduct such disallowed costs from any payments due to Local Agency. The State will not reimburse costs for Work performed after the Performance Period End Date for a respective Work phase. The State will not reimburse costs for Work performed prior to Performance Period End Date, but for which an invoice is received more than 60 days after the Performance Period End Date. v1. Risk Assessment & Monitoring Pursuant to 2 C.F.R. 200.331 (b ), -CDOT will evaluate Local Agency's risk of noncompliance with federal statutes, regulations, and terms and conditions of this Agreement. Local Agency shall complete a Risk Assessment Form (Exhibit L) when that may be requested by CDOT. The risk assessment is a quantitative and/or qualitative determination of the potential for Local Agency's non-compliance with the requirements of the Federal Award. The risk assessment will evaluate some or all of the following factors: l.Experience: Factors associated with the experience and history of the Subrecipient with the same or similar Federal Awards or grants. 2.Monitoring/Audit: Factors associated with the results of the Subrecipient's previous audits or monitoring visits, including those performed by the Federal Awarding Agency, when the Subrecipient also receives direct federal funding. Include audit results Document Builder Generated Rev. 12/09/2016 Page 12 of24 Page 90 OLA#: 331001981 Routing#: 20-HM-XC-00018 if Subrecipient receives single audit, where the specific award being assessed was selected as a major program. 3.Operation: Factors associated with the significant aspects of the Subrecipient's operations, in which failure could impact the Subrecipient's ability to perform and account for the contracted goods or services. 4.Financial: Factors associated with the Subrecipient's financial stability and ability to comply with financial requirements of the Federal Award. 5.Internal Controls: Factors associated with safeguarding assets and resources, deterring and detecting errors, fraud and theft, ensuring accuracy and completeness of accounting data, producing reliable and timely financial and management information, and ensuring adherence to its policies and plans. 6.Impact: Factors associated with the potential impact of a Subrecipient's non-compliance to the overall success of the program objectives. 7.Program Management: Factors associated with processes to manage critical personnel, approved written procedures, and knowledge of mies and regulations regarding federal-aid projects. Following Local Agency's completion of the Risk Assessment Tool (Exhibit L), CDOT will determine the level of monitoring it will apply to Local Agency's performance of the Work. This risk assessment may be re-evaluated after CDOT begins performing monitoring activities. G.Close Out Local Agency shall close out this Award within 90 days after the Final Phase Performance End Date. Close out requires Local Agency's submission to the State of all deliverables defined in this Agreement, and Local Agency'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 FHW A has not closed this Federal Award within I year and 90 days after the Final Phase Performance End Date due to Local Agency's failure to submit required documentation, then Local Agency may be prohibited from applying for new Federal Awards through the State until such documentation is submitted and accepted. 8.REPORTING -NOTIFICATION A.Quarterly Reports In addition to any reports required pursuant to §19 or pursuant to any exhibit, for any contract having a term longer than 3 months, Local Agency 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 (5) Business Days following the end of each calendar quarter or at such time as otherwise specified by the State. B.Litigation Reporting If Local Agency is served with a pleading or other document in connection with an action before a court or other administrative decision making body, and such pleading or document relates to this Agreement or may affect Local Agency's ability to perform its obligations under this Agreement, Local Agency 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 in §16. C.Performance and Final Status Local Agency shall submit all financial, performance and other reports to the State no later than 60 calendar days after the Final Phase Performance End Date or sooner termination of this Agreement, containing an Evaluation of Subrecipient's performance and the final status of Subrecipient's obligations hereunder. D.Violations Reporting Local Agency must disclose, in a timely manner, in writing to the State and FHW A, all violations of federal or State criminal law involving fraud, bribery, or gratuity violations potentially affecting the Federal Award. Penalties for noncompliance may include suspension or debarment (2 CFR Part 180 and 31 U.S.C. 3321). 9.LOCAL AGENCY RECORDS A.Maintenance Local Agency shall make, keep, maintain, and allow inspection and monitoring by the State of a complete file of all records, Document Builder Generated Rev. 12/09/2016 Page 13 of24 Page 91 OLA#: 331001981 Routing#: 20-HA4-XC-000 18 documents, communications, notes and other written materials, electronic media files, and communications, pertaining in any manner to the Work or the delivery of Services (including, but not limited to the operation of programs) or Goods hereunder. Local Agency shall maintain such records for a period (the "Record Retention 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. 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 Local Agency 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 Local Agency shall permit the State to audit, inspect, examine, excerpt, copy, and transcribe Local Agency Records during the Record Retention Period. Local Agency shall make Local Agency Records available during normal business hours at Local Agency's office or place of business, or at other mutually agreed upon times or locations, upon no fewer than 2 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 will monitor Local Agency's performance of its obligations under this Agreement using procedures as determined by the State. The State shall monitor Local Agency's performance in a manner that does not unduly interfere with Local Agency's performance of the Work. D.Final Audit Report Local Agency shall promptly submit to the State a copy of any final audit report of an audit performed on Local Agency's records that relates to or affects this Agreement or the Work, whether the audit is conducted by Local Agency or a third party. 10.CONFIDENTIAL INFORMATION-ST A TE RECORDS A.Confidentiality Local Agency shall hold and maintain, and cause all Subcontractors to hold and maintain, any and all State Records that the State provides or makes available to Local Agency for the sole and exclusive benefit of the State, unless those State Records are otherwise publicly available at the time of disclosure or are subject to disclosure by Local Agency under CORA. Local Agency shall not, without prior written approval of the State, use for Local Agency's own benefit, publish, copy, or otherwise disclose to any third party, or permit the use by any third party for its benefit or to the detriment of the State, any State Records, except as otherwise stated in this Agreement. Local Agency shall provide for the security of all State Confidential Information in accordance with all policies promulgated by the Colorado Office oflnformation Security and all applicable laws, rules, policies, publications, and guidelines. Local Agency shall immediately forward any request or demand for State Records to the State's principal representative. B.Other Entity Access and Nondisclosure Agreements Local Agency 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. Local Agency shall ensure all such agents, employees, assigns, and Subcontractors sign nondisclosure agreements with provisions at least as protective as those in this Agreement, and that the nondisclosure agreements are in force at all times the agent, employee, assign or Subcontractor has access to any State Confidential Information. Local Agency shall provide copies of those signed nondisclosure agreements to the State upon request. C.Use, Security, and Retention Local Agency shall use, hold and maintain State Confidential Information in compliance with any and all applicable laws and regulations in facilities located within the United States, and shall maintain a secure environment that ensures confidentiality of all State Confidential Information wherever located. Local Agency shall provide the State with access, subject to Local Agency'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, Local Agency shall return State Records provided to Local Agency or destroy such State Records and certify to the State that it has done so, as directed by the State. If Local Agency is prevented by law or regulation from returning Document Builder Generated Rev. 12/09/2016 Page 14 of24 Page 92 OLA#: 331001981 Routing#: 20-HA4-XC-00018 or destroying State Confidential Information, Local Agency warrants it will guarantee the confidentiality of, and cease to use, such State Confidential Information. D.Incident Notice and Remediation If Local Agency becomes aware of any Incident, it 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 Local Agency can establish that none of Local Agency or any of its agents, employees, assigns or Subcontractors are the cause or source of the Incident, Local Agency shall be responsible for the cost of notifying each person who may have been impacted by the Incident. After an Incident, Local Agency 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. 11.CONFLICT OF INTEREST A.Actual Conflicts of Interest Local Agency 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 Local Agency under this Agreement. Such a conflict of interest would arise when a Local Agency or Subcontractor's employee, officer or agent were to offer or provide any tangible personal benefit to an employee of the State, or any member of his or her immediate family or his or her partner, related to the award of, entry into or management or oversight of this Agreement. Officers, employees and agents of Local Agency may neither solicit nor accept gratuities, favors or anything of monetary value from contractors or parties to subcontracts. B.Apparent Conflicts oflnterest Local Agency 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, Local Agency shall refrain from any practices, activities or relationships that reasonably appear to be in conflict with the full performance of Local Agency's obligations under this Agreement. C.Disclosure to the State If a conflict or the appearance of a conflict arises, or if Local Agency is uncertain whether a conflict or the appearance of a conflict has arisen, Local Agency 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. 12.INSURANCE Local Agency 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 with an AM Best rating of A-VIII or better. A.Local Agency Insurance Local Agency is a "public entity" within the meaning of the Colorado Governmental Immunity Act, §24-10-101, et seq., C.R.S. (the "GIA") and shall maintain 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. B.Subcontractor Requirements Local Agency shall ensure that each Subcontractor that is a public entity within the meaning of the GIA, maintains at all times during the terms of this Agreement, such liability insurance, by commercial policy or self-insurance, as is necessary to meet the Subcontractor's obligations under the GIA. Local Agency shall ensure that each Subcontractor that is not a public entity within the meaning of the GIA, maintains at all times during the terms of this Agreement all of the following insurance policies: 1. Workers' Compensation Workers' compensation insurance as required by state statute, and employers' liability insurance covering all Local Agency or Subcontractor employees acting within the course and scope of their employment. ii.General Liability Commercial general liability insurance written on an Insurance Services Office occurrence form, covering premises operations, fire damage, independent contractors, products and completed operations, blanket contractual liability, personal injury, and advertising liability with minimum limits as follows: Document Builder Generated Rev. 12/09/2016 Page 15 of24 Page 93 a.$1,000,000 each occurrence; b.$1,000,000 general aggregate; c.$1,000,000 products and completed operations aggregate; and d.$50,000 any 1 fire. 111. Automobile Liability OLA#: 331001981 Routing#: 20-HA4-XC-000 18 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. iv.Protected Information Liability insurance covering all loss of State Confidential Information, such as PII, PHI, PCI, Tax Information, and CJI, and claims based on alleged violations of privacy rights through improper use or disclosure of protected information with minimum limits as follows: a.$1,000,000 each occurrence; and b.$2,000,000 general aggregate. v.Professional Liability Insurance Professional liability insurance covering any damages caused by an error, omission or any negligent act with minimum limits as follows: a.$1,000,000 each occurrence; and b.$1,000,000 general aggregate. vi.Crime Insurance Crime insurance including employee dishonesty coverage with minimum limits as follows: a.$1,000,000 each occurrence; and b.$1,000,000 general aggregate. C.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 Local Agency and Subcontractors. In the event of cancellation of any commercial general liability policy, the carrier shall provide at least 10 days prior written notice to COOT. D.Primacy of Coverage Coverage required of Local Agency and each Subcontractor shall be primary over any insurance or self-insurance program carried by Local Agency or the State. E.Cancellation All commercial 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 Local Agency and Local Agency shall forward such notice to the State in accordance with §16 within 7 days of Local Agency's receipt of such notice. F.Subrogation Waiver All commercial insurance policies secured or maintained by Local Agency 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 Local Agency or the State, its agencies, institutions, organizations, officers, agents, employees, and volunteers. G.Certificates For each commercial insurance plan provided by Local Agency under this Agreement, Local Agency shall provide to the State certificates evidencing Local Agency's insurance coverage required in this Agreement within 7 Business Days following the Effective Date. Local Agency shall provide to the State certificates evidencing Subcontractor insurance coverage required under this Agreement within 7 Business Days following the Effective Date, except that, if Local Agency's subcontract is not in effect as of the Effective Date, Local Agency shall provide to the State certificates showing Subcontractor insurance coverage required under this Agreement within 7 Business Days following Local Agency's execution of the subcontract. No later than 15 days before the expiration date of Local Agency's or any Subcontractor's Document Builder Generated Rev. 12/09/2016 Page 16 of 24 Page 94 OLA#: 331001981 Routing#: 20-HA4-XC-000 18 coverage, Local Agency 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, Local Agency shall, within 7 Business Days following the request by the State, supply to the State evidence satisfactory to the State of compliance with the provisions of this §12. 13.BREACH A.Defined 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, shall be a breach. The institution of proceedings under any bankruptcy, insolvency, reorganization or similar law, by or against Local Agency, or the appointment of a receiver or similar officer for Local Agency 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. B.Notice and Cure Period In the event of a breach, the aggrieved Party shall give written notice of breach to the other Party. If the notified Party does not cure the breach, at its sole expense, within 30 days after the delivery of written notice, the Party may exercise any of the remedies as described in §14 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 the Agreement in order to protect the public interest of the State. 14.REMEDIES A.State's Remedies If Local Agency 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 §13.B, shall have all of the remedies listed in this §14.A. 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 In the event of Local Agency's uncured breach, the State may terminate this entire Agreement or any part of this Agreement. Local Agency shall continue performance of this Agreement to the extent not terminated, if any. a.Obligations and Rights To the extent specified in any termination notice, Local Agency 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, Local Agency 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, Local Agency shall assign to the State all of Local Agency's rights, title, and interest in and to such terminated orders or subcontracts. Upon termination, Local Agency shall take timely, reasonable and necessary action to protect and preserve property in the possession of Local Agency but in which the State has an interest. At the State's request, Local Agency shall return materials owned by the State in Local Agency's possession at the time of any termination. Local Agency 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 Local Agency for accepted Work received as of the date of termination. If, after termination by the State, the State agrees that Local Agency was not in breach or that Local Agency'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.C. c.Damages and Withholding Notwithstanding any other remedial action by the State, Local Agency shall remain liable to the State for any damages sustained by the State in connection with any breach by Local Agency, and the State may withhold payment to Local Agency for the purpose of mitigating the State's damages until such time as the exact amount of damages due to the State from Local Agency is determined. The State may withhold any amount that may be due Local Agency 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. Document Builder Generated Rev. 12/09/2016 Page 17 of24 Page 95 11. Remedies Not Involving Termination The State, in its discretion, may exercise one or more of the following additional remedies: a.Suspend Perfonnance OLA#: 331001981 Routing#: 20-HA4-XC-00018 Suspend Local Agency's perfonnance with respect to all or any portion of the Work pending corrective action as specified by the State without entitling Local Agency to an adjustment in price or cost or an adjustment in the perfonnance schedule. Local Agency shall promptly cease perfonning Work and incurring costs in accordance with the State's directive, and the State shall not be liable for costs incurred by Local Agency after the suspension of performance. b.Withhold Payment Withhold payment to Local Agency until Local Agency corrects its Work. c.Deny Payment Deny payment for Work not performed, or that due to Local Agency'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 from the Work of any of Local Agency'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 a patent, copyright, trademark, trade secret, or other intellectual property right, Local Agency shall, as approved by the State (a) secure that right to use such Work for the State or Local Agency; (b) replace the Work with noninfringing Work or modify the Work so that it becomes noninfringing; or, (c) remove any infringing Work and refund the amount paid for such Work to the State. B.Local Agency's Remedies If the State is in breach of any provision of this Agreement and does not cure such breach, Local Agency, following the notice and cure period in §13.B and the dispute resolution process in §15 shall have all remedies available at law and equity. 15.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 Local Agency for resolution. B.Resolution of Controversies If the initial resolution described in § 15.A fails to resolve the dispute within 10 Business Days, Contractor shall submit any alleged breach of this Contract by the State to the Procurement Official of CDOT as described in §24-101-30 I (30), C.R.S. for resolution in accordance with the provisions of §§24-106-109, 24-109-101.1, 24-109-101.5, 24-109-106, 24- 109-107, 24-109-201 through 24-109-206, and 24-109-501 through 24-109-505, C.R.S., (the "Resolution Statutes"), except that if Contractor wishes to challenge any decision rendered by the Procurement Official, Contractor's challenge shall be an appeal to the executive director of the Department of Personnel and Administration, or their delegate, under the Resolution Statutes before Contractor pursues any further action as pennitted by such statutes. Except as otherwise stated in this Section, all requirements of the Resolution Statutes shall apply including, without limitation, time limitations. 16.NOTICES AND REPRESENTATIVES Each individual identified below shall be the principal representative of the designating Party. All notices required or permitted to be given under this Agreement shall be in writing, and shall be delivered (i) by hand with receipt required, (ii) by certified or registered mail to such Party's principal representative at the address set forth below or (iii) as an email with read receipt requested to the principal representative at the email address, if any, set forth below. 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 below. Either Party may change its principal representative or principal representative Document Builder Generated Rev. 12/09/2016 Page 18 of24 Page 96 OLA#: 331001981 Routing#: 20-HA4-XC-OOO 18 contact information by notice submitted in accordance with this §16 without a formal amendment to this Agreement. Unless otherwise provided in this Agreement, notices shall be effective upon delivery of the written notice. For the State Colorado Department of Transportation (CDOT) Jake Schuch, PE, Project Manager Traffic 10601 W. 10th Street Greeley, CO 80634 970-350-2205 jake.schuch@state.co.us For the Local Agency TOWN OF ESTES PARK David Hook, Engineer PO BOX 1200 ESTES PARK, CO 80517 970-577-3560 dhook@estes.org 17.RIGHTS IN WORK PRODUCT AND OTHER INFORMATION A. Work Product Local Agency assigns to the State and its successors and assigns, the entire right, title, and interest in and to all causes of action, either in law or in equity, for past, present, or future infringement of intellectual property rights related to the Work Product and all works based on, derived from, or incorporating the Work Product. Whether or not Local Agency is under contract with the State at the time, Local Agency shall execute applications, assignments, and other documents, and shall render all other reasonable assistance requested by the State, to enable the State to secure patents, copyrights, licenses and other intellectual property rights related to the Work Product. The Parties intend the Work Product to be works made for hire. 1. Copyrights To the extent that the Work Product (or any portion of the Work Product) would not be considered works made for hire under applicable law, Local Agency hereby assigns to the State, the entire right, title, and interest in and to copyrights in all Work Product and all works based upon, derived from, or incorporating the Work Product; all copyright applications, registrations, extensions, or renewals relating to all Work Product and all works based upon, derived from, or incorporating the Work Product; and all moral rights or similar rights with respect to the Work Product throughout the world. To the extent that Local Agency cannot make any of the assignments required by this section, Local Agency hereby grants to the State a perpetual, irrevocable, royalty-free license to use, modify, copy, publish, display, perform, transfer, distribute, sell, and create derivative works of the Work Product and all works based upon, derived from, or incorporating the Work Product by all means and methods and in any format now known or invented in the future. The State may assign and license its rights under this license. 11. Patents In addition, Local Agency grants to the State (and to recipients of Work Product distributed by or on behalf of the State) a perpetual, worldwide, no-charge, royalty-free, irrevocable patent license to make, have made, use, distribute, sell, offer for sale, import, transfer, and otherwise utilize, operate, modify and propagate the contents of the Work Product. Such license applies only to those patent claims licensable by Local Agency that are necessarily infringed by the Work Product alone, or by the combination of the Work Product with anything else used by the State. B.Exclusive Property of the State Except to the extent specifically provided elsewhere in this Agreement, any pre-existing State Records, State software, research, reports, studies, photographs, negatives, or other documents, drawings, models, materials, data, and information shall be the exclusive property of the State (collectively, "State Materials"). Local Agency shall not use, willingly allow, cause or permit Work Product or State Materials to be used for any purpose other than the performance of Local Agency's Document Builder Generated Rev. 12/09/2016 Page 19 of24 Page 97 OLA#: 331001981 Routing#: 20-HA4-XC-00018 obligations in this Agreement without the prior written consent of the State. Upon termination of this Agreement for any reason, Local Agency shall provide all Work Product and State Materials to the State in a fonn and manner as directed by the State. 18.GOVERNMENTAL IMMUNITY Liability for claims for injuries to persons or property arising from the negligence of the Parties, their departments, boards, commissions committees, bureaus, offices, employees and officials shall be controlled and limited by the provisions of the GIA; 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. 19.STATEWIDE CONTRACT MANAGEMENT SYSTEM If the maximum amount payable to Local Agency under this Agreement is $100,000 or greater, either on the Effective Date or at anytime thereafter, this §19 shall apply. Local Agency agrees to be governed by and comply with the provisions of §24 -102-205, §24-102-206, §24-103-601, §24-103.5-101 and §24-105-102 C.R.S. regarding the monitoring of vendor performance and the reporting of contract performance information in the State's contract management system ("Contract Management System" or "CMS"). Local Agency's performance shall be subject to evaluation and review in accordance with the terms and conditions of this Agreement, Colorado statutes governing CMS, and State Fiscal Rules and State Controller policies. 20.GENERAL PROVISIONS A.Assignment Local Agency'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 Local Agency's rights and obligations approved by the State shall be subject to the provisions of this Agreement B.Subcontracts Local Agency shall not enter into any subcontract in connection with its obligations under this Agreement without the prior, written approval of the State. Local Agency shall submit to the State a copy of each such subcontract upon request by the State. All subcontracts entered into by Local Agency 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. C.Binding Effect Except as otherwise provided in §20.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.Jurisdiction and Venue All suits or actions related to this Agreement shall be filed and proceedings held in the State of Colorado and exclusive Document Builder Generated Rev. 12/09/2016 Page 20 of24 Page 98 venue shall be in the City and County of Denver. I.Modification OLA#: 331001981 Routing#: 20-HA4-XC-000 18 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 contract amendments, shall conform to the policies promulgated 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.Order of Precedence In the event of a conflict or inconsistency between this Agreement and any exhibits or attachment such conflict or inconsistency shall be resolved by reference to the documents in the following order of priority: 1.Colorado Special Provisions in the main body of this Agreement. 11.The provisions of the other sections of the main body of this Agreement. 111 Exhibit A, Statement of Work. 1v. Exhibit D, Local Agency Resolution. v.Exhibit C, Funding Provisions. vi.Exhibit B, Sample Option Letter. vii.Exhibit E, Local Agency Contract Administration Checklist. viii.Other exhibits in descending order of their attachment. 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 the Agreement. M.Survival of Certain Agreement Terms Any provision of this Agreement that imposes an obligation on a Party after termination or expiration of the Agreement shall survive the termination or expiration of the 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 Local Agency. Local Agency shall be solely responsible for any exemptions from the collection of excise, sales or use taxes that Local Agency may wish to have in place in connection with this Agreement. N.Third Party Beneficiaries Except for the Parties' respective successors and assigns described in §20.C, 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 the Agreement, and do not create any rights for such third parties. 0. 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. P.CORA Disclosure To the extent not prohibited by federal law, this Agreement and the performance measures and standards required under Document Builder Generated Rev. 12/09/2016 Page 21 of24 Page 99 §24-103.5-101 C.R.S., if any, are subject to public release through the CORA. Q.Standard and Manner of Performance OLA#: 331001981 Routing#: 20-HA4-XC-00018 Local Agency shall perform its obligations under this Agreement in accordance with the highest standards of care, skill and diligence in Local Agency's industry, trade, or profession. R.Licenses, Permits, and Other Authorizations. Local Agency 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 subcontract, all license, certifications, permits and other authorizations required to perform their obligations in relation to this Agreement. 21.COLORADO SPECIAL PROVISIONS (COLORADO FISCAL RULE 3-3) These Special Provisions apply to all contracts except where noted in italics. A. STATUTORY APPROVAL. §24-30-202(1), C.R.S. This Contract shall not be valid until it has been approved by the Colorado State Controller or designee. If this Contract is for a Major Information Technology Project, as defined in §24-37.5-102(2.6), then this Contract shall not be valid until it has been approved by the State's Chieflnformation 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.GOVERNMENT AL 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 Contract 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 Contractor shall perform its duties hereunder as an independent contractor and not as an employee. Neither Contractor nor any agent oremployee of Contractor shall be deemed to be an agent or employee of the State. Contractor shall not have authorization, express or implied,to bind the State to any agreement, liability or understanding, except as expressly set forth herein. Contractor 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 Contractor or any of its agents or employees. Contractor shall pay when due all applicable employment taxes and income taxes and local head taxes incurred pursuant to this Contract. Contractor 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. Contractor shall comply with all applicable federal and State laws, rules, and regulations in effect or hereafter established, including, withoutlimitation, 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 Contract. 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 Contract shall be filed and proceedings held in the State of Colorado and exclusive venue shall be inthe City and County of Denver. G.PROHIBITED TERMS. Any term included in this Contract that requires the State to indemnify or hold Contractor harmless; requires the State to agree to bindingarbitration; limits Contractor's liability for damages resulting from death, bodily injury, or damage to tangible property; or that conflicts with this provision in any way shall be void ab initio. Nothing in this Contract shall be construed as a waiver of any provision of §24-106-109 C.R.S. Any term included in this Contract that limits Contractor's liability that is not void under this section shall apply only in excess of any insurance to be maintained under this Contract, and no insurance policy shall be interpreted as being subject to any limitations of liability of this Contract. H.SOFTWARE PIRACY PROHIBITION. Document Builder Generated Rev. 12/09/2016 Page 22 of24 Page 100 OLA#: 331001981 Routing#: 20-HA4-XC-00018 State or other public funds payable under this Contract shall not be used for the acquisition, operation, or maintenance of computer software in violation of federal copyright laws or applicable licensing restrictions. Contractor hereby certifies and warrants that, during the term of this Contract and any extensions, Contractor has and shall maintain in place appropriate systems and controls to prevent such improper use of public funds. If the State determines that Contractor is in violation of this provision, the State may exercise any remedy available at law or in equity or under this Contract, including, without limitation, immediate termination of this Contract 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 Contract. Contractor has no interest and shall not acquire any interest, direct or indirect, that would conflict in any manner or degree with the performance of Contractor's services and Contractor 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 i11tergove1·11me11tal agreeme11ts] 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 Contractor in error for any reason, including, but not limited to, overpayments or improper payments, and unexpended or excess funds received by Contractor by deduction from subsequent payments under this Contract, deduction from any payment due under any other contracts, grants or agreements between the State and Contractor, 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 agreeme11ts relati11g to the offer, issua11ce, or sale of securities, i11vestme11t advisOIJ' services or fu11d ma11ageme11t services, spo11sored projects, i11tergover11me11tal agreeme11ts, or i11formatio11 tech11ology services or products a11d services] Contractor certifies, warrants, and agrees that it does not knowingly employ or contract with an illegal alien who will perform work under this Contract and will confirm the employment eligibility of all employees who are newly hired for employment in the United States to perfom1 work under this Contract, through participation in the E-Verify Program or the State verification program established pursuant to §8-17.5-102(5)( c ), C.R.S., Contractor shall not knowingly employ or contract with an illegal alien to perfom1 work under this Contract or enter into a contract with a Subcontractor that fails to certify to Contractor that the Subcontractor shall not knowingly employ or contract with an illegal alien to perform work under this Contract. Contractor (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 Contract is being performed, (ii) shall notify the Subcontractor and the contracting State agency or institution of higher education within 3 days if Contractor has actual knowledge that a Subcontractor is employing or contracting with an illegal alien for work under this Contract, (iii) shall terminate the subcontract if a Subcontractor does not stop employing or contracting with the illegal alien within 3 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 Contractor participates in the Department program, Contractor shall deliver to the contracting State agency, Institution of Higher Education or political subdivision, a written, notarized affirmation, affirming that Contractor has examined the legal work status of such employee, and shall comply with all of the other requirements of the Department program. If Contractor 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 Contract for breach and, if so terminated, Contractor shall be liable for damages. L.PUBLIC CONTRACTS WITH NATURAL PERSONS. §§24-76.5-101, et seq., C.R.S. Contractor, if a natural person eighteen ( 18) years of age or older, hereby swears and affirms under penalty of perjury that Contractor (i) is a citizen or otherwise lawfully present in the United States pursuant to federal law, (ii) shall comply with the provisions of §§24-76.5-10 I, et seq., C.R.S., and (iii) has produced one fom1 of identification required by §24-76.5-103, C.R.S. prior to the Effective Date of this Contract. Revised 11-1-18 22.FEDERAL REQUIREMENTS Local Agency and/or their contractors, subcontractors, and consultants shall at all times during the execution of this Agreement strictly adhere to, and comply with, all applicable federal and State laws, and their implementing regulations, as they currently exist and may hereafter be amended. A summary of applicable federal provisions are attached hereto as Exhibit F, Exhibit I, Exhibit J, Exhibit Kand Exhibit Mare hereby incorporated by this reference. 23.DISADVANTAGED BUSINESS ENTERPRISE (DBE) Local Agency will comply with all requirements of Exhibit G and Local Agency Contract Administration Checklist regarding DBE requirements for the Work, except that if Local Agency desires to use its own DBE program to implement and administer the DBE provisions of 49 C.F.R. Part 26 under this Agreement, it must submit a copy of its program's requirements to the State for review and approval before the execution of this Agreement. If Local Agency uses any State-approved DBE program for this Agreement, Local Agency shall be solely responsible to defend that DBE program and its use of that program against all Document Builder Generated Rev. 12/09/2016 Page 23 of24 Page 101 OLA#: 331001981 Routing#: 20-HA4-XC-000l8 legal and other challenges or complaints, at its sole cost and expense. Such responsibility includes, without limitation, determinations concerning DBE eligibility requirements and certification, adequate legal and factual bases for DBE goals and good faith efforts. State approval (if provided) of Local Agency's DBE program does not waive or modify the sole responsibility of Local Agency for use of its program. 24.DISPUTES Except as otherwise provided in this Agreement, any dispute concerning a question of fact arising under this Agreement which is not disposed ofby agreement shall be decided by the Chief Engineer of the Department of Transportation. The decision of the Chief Engineer will be final and conclusive unless, within 30 calendar days after the date of receipt of a copy of such written decision, Local Agency mails or otherwise furnishes to the State a written appeal addressed to the Executive Director of COOT. In connection with any appeal proceeding under this clause, Local Agency shall be afforded an opportunity to be heard and to offer evidence in support of its appeal. Pending final decision of a dispute hereunder, Local Agency shall proceed diligently with the performance of this Agreement in accordance with the Chief Engineer's decision. The decision of the Executive Director or his duly authorized representative for the determination of such appeals shall be final and conclusive and serve as final agency action. This dispute clause does not preclude consideration of questions of law in connection with decisions provided for herein. Nothing in this Agreement, however, shall be construed as making final the decision of any administrative official, representative, or board on a question of law. Document Builder Generated Rev. 12/09 /2016 THE REMAINDER OF THIS PAGE IS INTENTIONALLY LEFT BLANK Page 24 of24 Page 102 EXHIBIT A, STATEMENT OF WORK The Colorado Department of Transportation (CDOT) will oversee the Town of Estes Park when Estes Park designs and constructs the following: intersection improvements on US 36 and Community Drive which will include construction of a roundabout, and box culvert extension (Herein referred to as "this work"). COOT and Estes Park believe it will be beneficial to perform this work to improve mobility and safety through the intersection. This project will conform to all applicable state and federal regulations and standards. The design phase is underway and will be followed by a construction phase. Construction is anticipated to begin as early as calendar year 2020 and is anticipated to be completed within 12 months of commencing constmction. THE REST OF THIS PAGE INTENTIONALLY LEFT BLANK Exhibit A -Page I of I Page 103 EXHIBIT B, SAMPLE OPTION LETTER State Agency Option Letter Number Department of Transportation ZOPTLETNUM Local Agency Agreement Routing Number ZVENDORNAME ZSMARTNO Agreement Maximum Amount Initial term State Fiscal Year ZFYY _ l $ ZFYA_l Extension terms Agreement Effective Date State Fiscal Year ZFYY _2 $ ZFYA_2 The later of the effective date or ZSTARTDATEX State Fiscal Year ZFYY_3 $ZFYA_3 State Fiscal Year ZFYY _ 4 $ ZFYA_4 State Fiscal Year ZFYY _5 $ZFYA_5 Current Agreement Expiration Date Total for all state fiscal years $ ZTERMDATEX ZPERSVC _MAX -AMOUNT I.OPTIONS: A.Option to extend for an Extension Term B.Option to unilaterally authorize the Local Agency to begin a phase which may include Design, Construction, Environmental, Utilities, ROW incidentals or Miscellaneous ONLY (does not apply to Acquisition/Relocation or Railroads) and to update encumbrance amounts (a new Exhibit C must be attached with the option letter and shall be labeled C-1, future changes for this option shall be labeled as follows: C-2, C-3, C-4, etc.). C.Option to unilaterally transfer funds from one phase to another phase (a new Exhibit C must be attached with the option letter and shall be labeled C-1, future changes for this option shall be labeled as follows: C-2, C-3, C- 4, etc.). D.Option to unilaterally do both A and B (a new Exhibit C must be attached with the option letter and shall be labeled C-1, future changes for this option shall be labeled as follows: C-2, C-3, C-4, etc.). E.Option to update a Phase Performance Period and/or Modify 0MB Uniform Guidance Information. 2.REQUIRED PROVISIONS: Option A In accordance with Section 2, C of the Original Agreement referenced above, the State hereby exercises its option for an additional term, beginning on (insert date) and ending on the current contract expiration date shown above, under the same funding provisions stated in the Original Contract Exhibit C, as amended. Option B In accordance with Section 7, E of the Original Agreement referenced above, the State hereby exercises its option to authorize the Local Agency to begin a phase that will include (describe which phase will be added and include all that apply -Design, Construction, Environmental, Utilities, ROW incidentals or Miscellaneous) and to encumber previously budgeted funds for the phase based upon changes in funding availability and authorization. The encumbrance for (Design, Construction. Environmental, Utilities, ROW incidentals or Miscellaneous)is (insert dollars here). A new Exhibit C-1 is made part of the original Agreement and replaces Exhibit C. (The following is a NOTE only, please delete when using this option. Future changes for this option for Exhibit C shall be labeled as follows: C-2, C-3, C-4, etc.). Option C In accordance with Section 7, E of the Original Agreement referenced above, the State hereby exercises its option to Exhibit B -Page I of 2 Page 104 authorize the Local Agency to transfer funds from (describe phase from which funds will be moved) to (describe phase to which.funds will be moved) based on variance in actual phase costs and original phase estimates. A new Exhibit C­ t is made part of the original Agreement and replaces Exhibit C. Option D In accordance with Section 7, E of the Original Agreement referenced above, the State hereby exercises its option to authorize the Local Agency to begin a phase that will include (describe which phase will be added and include all that apply-Design, Construction, Environmental, Utilities, ROW incidentals or Miscellaneous); 2) to encumber funds for the phase based upon changes in funding availability and authorization; and 3) to transfer funds from (describe phase from which.funds will be moved) to (describe phase to which.funds will be moved) based on variance in actual phase costs and original phase estimates. A new Exhibit C-1 is made part of the original Agreement and replaces Exhibit C. (The following language 11111st be included on All options): The Agreement Maximum Amount table on the Contract's Signature and Cover Page is hereby deleted and replaced with the Current Agreement Maximum Amount table shown above. Option E In accordance with Section 7, E of the Original Agreement referenced above, the State hereby exercises its option to authorize the Local Agency to update a Phase Perfom1ance Period and/or Modify 0MB Uniform Guidance Information. A new Exhibit C-1 is made part of the original Agreement and replaces Exhibit C. 3.OPTION EFFECTIVE DATE: The effective date of this option letter is upon approval of the State Controller or delegate. APPROVALS: State of Colorado: Jared S. Polis, Governor By: ____________________ Date: _______ _ Executive Director, Colorado Department of Transportation ALL CONTRACTS MUST BE APPROVED BY THE ST ATE CONTROLLER CRS §24-30-202 requires the State Controller to approve all State Contracts. This Agreement is not valid until signed and dated below by the State Controller or delegate. Contractor is not authorized to begin performance until such time. If the Local Agency begins performing prior thereto, the State of Colorado is not obligated to pay the Local Agency for such performance or for any goods and/or services provided hereunder. State Controller Robert Jaros, CPA, MBA, JD B y: ____________ _ D ate: ______________ _ Exhibit B -Page 2 of 2 Page 105 EXHIBIT C-FUNDING PROVISIONS A. Cost of Work Estimate AQC M405-024 (23040) Th L IA I d h e oca ,gency 1as estnnate t e tota cost t e or to e , W IC 1 IS to h W k b $905 907 00 h. I .e un e as o ows: bfid d fill 1.BUDGETED FUNDS a.Federal Funds $750,000.00 (82.79% of Participating Costs) b.Local Agency Matching Funds $155,907.00 ( 17 .21 % of Participating Costs) TOTAL BUDGETED FUNDS I $905,907.00 2.0MB UNIFORM GUIDANCE a.Federal Award Identification Number (FAIN):TBD b.Federal Award Date (also Phase Performance Start Date):See Below c.Amount of Federal Funds Obligated:$0.00 d.Total Amount of Federal Award:$750,000.00 e.Name of Federal Awarding Agency:FHWA f.CFDA# -Highway Planning and Construction CFDA 20.205 g.Is the Award for R&D?No h.Indirect Cost Rate (if applicable)NIA 3.ESTIMATED PAYMENT TO LOCAL AGENCY a.Federal Funds Budgeted $750,000.00 b.Less Estimated Federal Share ofCDOT-lncurred Costs $0.00 TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY I $750,000.00 4.FOR CDOT ENCUMBRANCE PURPOSES a.Total Encumbrance Amount $905,907.00 b.Less ROW Acquisition 3111 and/or ROW Relocation 3109 $0.00 Net to be encumbered as follows: I $905,907.00 Note: No fimds are c11rre11tly available. Co11str11ctio11 /u11ds will become available after Federal Authorizatio11 a11d exec11tio11 of a11 Optio11 letter (Exhibit B) or fo1·111al Ame11d111e11t. I Performance Period Start*/End Date I Constr. I 3301 I WBS Element 23040.20.10 TBD I TBD $0.00 'The Local Agency should not begin work until all three of the following are in place: 1) Phase Performance Period Start Date; 2) The execution of the document encumbering funds for the respective phase; and 3) Local Agency receipt of the official Notice to Proceed. Any work performed before these three milestones are achieved will not be reimbursable. Exhibit C -Page I of 2 Page 106 B.Matching Funds The matching ratio for the federal participating funds for this Work is 82. 79% federal-aid funds to 17 .21 % Local Agency funds, it being understood that such ratio applies only to the $905,907.00 that is eligible for federal participation, it being further understood that all non-participating costs are borne by the Local Agency at I 00%. If the total participating cost of performance of the Work exceeds $905,907.00, and additional federal funds are made available for the Work, the Local Agency shall pay 17 .21 % of all such costs eligible for federal participation and I 00% of all non-participating costs; if additional federal funds are not made available, the Local Agency shall pay all such excess costs. If the total participating cost of perfonnance of the Work is less than $905,907.00, then the amounts of Local Agency and federal-aid funds will be decreased in accordance with the funding ratio described herein. The performance of the Work shall be at no cost to the State. C.Maximum Amount Payable The maximum amount payable to the Local Agency under this Agreement shall be $750,000.00 (for COOT accounting purposes, the federal funds of$750,000.00 and the Local Agency matching funds of$155,907.00 will be encumbered for a total encumbrance of$905,907.00), unless such amount is increased by an appropriate written modification to this Agreement executed before any increased cost is incurred. It is understood and agreed by the parties hereto that the total cost of the Work stated hereinbefore is the best estimate available, based on the design data as approved at the time of execution of this Agreement, and that such cost is subject to revisions (in accord with the procedure in the previous sentence) agreeable to the parties prior to bid and award. The maximum amount payable shall be reduced without amendment when the actual amount of the Local Agency's awarded contract is less than the budgeted total of the federal participating funds and the Local Agency matching funds. The maximum amount payable shall be reduced through the execution of an Option Letter as described in Section 7.A. of this contract. D.Single Audit Act Amendment All state and local government and non-profit organizations receiving more than $750,000 from all funding sources defined as federal financial assistance for Single Audit Act Amendment purposes shall comply with the audit requirements of 2 CFR part 200, subpart F (Audit Requirements) see also, 49 C.F.R. 18.20 through 18.26. The Single Audit Act Amendment requirements applicable to the Local Agency receiving federal funds are as follows: i.Expenditure less than $750,000If the Local Agency expends less than $750,000 in Federal funds (all federal sources, not just Highway funds) in its fiscal year then this requirement does not apply. ii.Expenditure of $750,000 or more-Highway Funds OnlyIf the Local Agency expends $750,000 or more, in Federal funds, but only received federal Highway funds (Catalog of Federal Domestic Assistance, CFDA 20.205) then a program specific audit shall be performed. This audit will examine the "financial" procedures and processes for this program area. iii.Expenditure of $750,000 or more-Multiple Funding SourcesIf the Local Agency expends $750,000 or more in Federal funds, and the Federal funds are from multiple sources (FT A, HUD, NPS, etc.) then the Single Audit Act applies, which is an audit on the entire organization/entity. iv.Independent CPA Single Audit shall only be conducted by an independent CPA, not by an auditor on staff. An audit is an allowable direct or indirect cost. Exhibit C -Page 2 of 2 Page 107 EXHIBIT D, LOCAL AGENCY RESOLUTION NOT APPLICABLE Exhibit D -Page I of I Page 108 COLORADO DEPARTMENT OF TRANSPORTATION LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST Project No. STIP No. Project Code Region AQC M405-024 SR47001 23040 04 Project Location I Date Estes Park 6/27/2019 Project Description Community Drive Intersection Local Agency Local Agency Project Manager Town of Estes Park David Hook COOT Resident Engineer COOT Project Manager Katrina Kloberdanz Jake Schuch INSTRUCTIONS: This checklist shall be utilized to establish the contract administration responsibilities of the individual parties to this agreement. The checklist becomes an attachment to the Local Agency agreement. Section numbers correspond to the applicable chapters of the COOT Local Agency Manual. The checklist shall be prepared by placing an "X" under the responsible party, opposite each of the tasks. The "X" denotes the party responsible for initiating and executing the task. When neither COOT nor the Local Agency is responsible for a task, not applicable (NA) shall be noted. In addition, a"#" will denote that COOT must concur or approve. Tasks that will be performed by Headquarters staff will be indicated. The Regions, in accordance with established policies and procedures, will determine who will perform all other tasks that are the responsibility of COOT. The checklist shall be prepared by the COOT Resident Engineer or the COOT Project Manager, in cooperation with the Local Agency Project Manager, and submitted to the Region Program Engineer. If contract administration responsibilities change, the COOT Resident Enqineer, in cooperation with the Local Aqencv Project Manaqer, will prepare and distribute a revised checklist. RESPONSIBLE NO. DESCRIPTION OF TASK PARTY LA COOT TIP/ STIP AND LONG-RANGE PLANS 2-1 Review Project to ensure consistency with STIP and amendments thereto X FEDERAL FUNDING OBLIGATION AND AUTHORIZATION 4-1 Authorize funding by phases (COOT Form 418 -Federal-aid Program Data. Requires FHWA X concurrence/involvement) PROJECT DEVELOPMENT 5-1 Prepare Design Data -COOT Form 463 X 5-2 Prepare Local Aqencv/CDOT Inter-Governmental Aqreement (see also Chapter 3) X 5-3 Conduct Consultant Selection/Execute Consultant Aqreement X 5-4 Conduct Oesiqn Scopinq Review meetinq X X 5-5 Conduct Public Involvement X 5-6 Conduct Field Inspection Review (FIR} X 5-7 Conduct Environmental Processes (may require FHWA concurrence/involvement) X 5-8 Acquire Riqht-of-Way (may require FHWA concurrence/involvement) X # 5-9 Obtain Utility and Railroad Agreements X 5-10 Conduct Final Office Review (FOR) X 5-11 Justify Force Account Work by the Local Agency -COOT Form 895 X # 5-12 Justify Proprietary, Sole Source, or Local Agency Furnished items -COOT Form 1381 X # 5-13 Document Oesian Exceptions -COOT Form 464 X # 5-14 Prepare Plans, Specifications and Construction Cost Estimates X # 5-15 Ensure Authorization of Funds for Construction -COOT Form 1180 X COOT Form 1243 09/06 Page 1 of 4 Previous editions are obsolete and may not be used Page 109 RESPONSIBLE NO. DESCRIPTION OF TASK PARTY LA COOT PROJECT DEVELOPMENT CIVIL RIGHTS AND LABOR COMPLIANCE 6-1 Set Disadvantaged Business Enterprise (DBE) Goals for Consultant and Construction X Contracts (COOT Region EEO/Civil Rights Specialist) 6-2 Determine Applicability of Davis-Bacon Act This project O is � is not exempt from Davis-Bacon requirements as determined by the X functional classification of the project location (Projects located on local roads and rural minor collectors may be exempt.) Katrina Kloberdanz 6/27/2019 COOT Resident Enaineer(Sianature on File) Date 6-3 Set On-the-Job Training Goals. X 6-4 Title VI Assurances X Ensure the correct Federal Wage Decision, all required Disadvantaged Business Enterprise/On-the-Job Training special provisions and FHWA Form 1273 are included in the X II Contract (COOT Resident Engineer) ADVERTISE, BID AND AWARD 7-1 Obtain Aooroval for Advertisement Period of Less Than Three Weeks X # 7-2 Advertise for Bids X 7-3 Distribute "Advertisement Set" of Plans and Specifications X 7-4 Review Worksite and Plan Details with Prospective Bidders While Project is Under X Advertisement 7-5 Open Bids X 7-6 Process Bids for Compliance X .,. Check COOT Form 1415 -Certificate of Proposed DBE Participation when the low bidder Ill meets DBE aoals X Evaluate CDOT Form 1416 -DBE Good Faith Effort Documentation and determine if the Contractor has made a good faith effort when the low bidder does not meet DBE aoals X Submit reauired documentation for COOT award concurrence X 7-7 Concurrence from COOT to Award X 7-8 Aoorove Rejection of Low Bidder X 7-9 Award Contract X # 7-10 Provide "Award" and "Record" Sets of Plans and Specifications X CONSTRUCTION MANAGEMENT 8-1 Issue Notice to Proceed to the Contractor X 8-2 Project Safetv X 8-3 Conduct Conferences: .,'"'" ililll. Pre-construction Conference (Appendix Bl X 11 Ill Presurvey •Construction staking X � . •Monumentation X "a_. d PartnerinQ (Optional) X m I Structural Concrete Pre-Pour (Agenda is in CDOT Construction Manual)X II ""'•Ill -Ill Concrete Pavement Pre-PavinQ (Agenda is in CDOT Construction Manual)X h di HMA Pre-Paving (Agenda is in COOT Construction Manual) X 8-4 Develop and distribute Public Notice of Planned Construction to media and local residents X 8-5 Suoervise Construction A Professional Engineer (PE) registered in Colorado, who will be "in respons ible charge of construction supervision." David Hook 970-577-3586 X Local Agency Professional Engineer or Phone number COOT Resident Engineer COOT Form 1243 09/06 Page 2 of 4 Previous editions are obsolete and may not be used Page 110 RESPONSIBLE NO. DESCRIPTION OF TASK PARTY LA COOT 1,ll[l"ill' I'll Provide competent, experienced staff who will ensure the Contract work is constructed in X accordance with the plans and specifications l!I •Construction inspection and documentation X 8-6 Approve Shop Drawings X 8-7 Perform Traffic Control Inspections X # 8-8 Perform Construction Surveving X 8-9 Monument Right-of-Way X 8-10 Prepare and Approve Interim and Final Contractor Pay Estimates X Provide the name and phone number of the person authorized for this task, David Hook 970-577-3586 Local AQency Representative Phone number 8-11 Prepare and Aoorove Interim and Final Utility/Railroad Billings X 8-12 Prepare Local Agency Reimbursement Requests X 8-13 Prepare and Authorize Change Orders -CDOT Form 90 X # 8-14 Aoorove All Chanae Orders X 8-15 Monitor Proiect Financial Status X 8-16 Prepare and Submit Monthly Proaress Reports X 8-17 Resolve Contractor Claims and Disputes X 8-18 Conduct Routine and Random Project Reviews Provide the name and phone number of the person responsible for this task, X Katrina Kloberdanz 970-350-2211 CDOT Resident EnQineer Phone number MATERIALS 9-1 9-2 9-3 9-4 9-5 9-6 9-7 9-8 9-9 9-10 Discuss Materials at Preconstruction Meeting X -Buy America documentation prior to installation of steel Complete CDOT Form 250 -Materials Documentation Record •Generate form, which includes determining the minimum number of required tests and X applicable material submittals for all materials placed on the project •Update the form as work progresses X •Complete and distrib ute form after work is completed X Perform Project Acceptance Samples and Tests X Perform Laboratory Verification Tests X Accept Manufactured Products X Inspection of structural components: •Fabrication of structural steel and pre-stressed concrete structural components X •Bridge modular expansion devices (O" to 6" or greater)X •Fabrication of bearing devices X Aoorove Sources of Materials X Independent Assurance Testing (IAT), Local Agency Procedures C8l CDOT Procedures□ •Generate IAT schedule -CDOT Form 379 X •Schedule and provide notification X •Conduct IAT X Approve Mix Designs •Concrete X # •Hot Mix Asphalt X # Check Final Materials Documentation X Complete and Distribute Final Materials Documentation X COOT Form 1243 09/06 Page 3 of 4 Previous editions are obsolete and may not be used Page 111 CONSTRUCTION CIVIL RIGHTS AND LABOR COMPLIANCE 10-1 Fulfill Proiect Bulletin Board and Pre-construction Packet Reauirements 10-2 Process COOT Form 205b -Sublet Permit Application Review and sign completed COOT Form 205 for each subcontractor, and submit to EEO/Civil Riqhts Specialist 10-3 Conduct Equal Employment Opportunity and Labor Compliance Verification Employee Interviews. Complete COOT Form 280 10-4 Monitor Disadvantaged Business Enterprise Participation to Ensure Compliance with the "Commercially Useful Function" requirements -COOT Form 1432 10-5 Conduct Interviews When Project Utilizes On-the-Job Trainees. Complete COOT Form 200 - OJT Traininq Questionnaire 10-6 Check Certified Payrolls (Contact the Region EEO/Civil Rights Specialists for training requirements.) 10-7 Submit FHWA Form 1391 -Highway Construction Contractor's Annual EEO Report FINALS 11-1 11-2 11-3 11-4 11-5 11-6 11-7 11-8 11-9 11-10 11-11 11-12 11-13 Conduct Final Project Inspection. Complete and submit CDOT Form 1212 -Final Acceptance Report (Resident Engineer with mandatory Local Agency participation.) Write Final Project Acceptance Letter Advertise for Final Settlement Prepare and Distribute Final As-Constructed Plans Prepare EEO Certification Check Final Quantities, Plans and Pay Estimate; Check Project Documentation; and submit Final Certifications Check Material Documentation and Accept Final Material Certification {See Chapter 9) Obtain COOT Form 1419 -Contractor DBE Payment Certification from the Contactor and submit to the Resident Enqineer (Quarterly) Obtain FHWA Form 47 -Statement of Materials and Labor Used ... from the Contractor Process Final Payment Complete and Submit COOT Form 950 -Project Closure Retain Project Records for Three Years from Date of Project Closure Retain Final Version of Local Agency Contract Administration Checklist cc: COOT Resident Engineer/Project Manager COOT Region Program Engineer CDOT Region EEO/Civil Rights Specialist COOT Region Materials Engineer CDOT Contracts and Market Analysis Branch Local Agency Project Manager X X X X X X # X X # X X X X X X X NA X X X X X X CDOT Form 1243 09/06 Page 4 of 4 Previous editions are obsolete and may not be used Page 112 EXHIBIT F, CERTIFICATION FOR FEDERAL-AID CONTRACTS The Local Agency certifies, by signing this Agreement, to the best of its knowledge and belief, that: No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal 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 loan, the entering into of any cooperative agreement, and the extension, continuation, renewa I, amendment, or modification of any Federal contract, Agreement, loan, or cooperative agreement. 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 of Congress, or an employee of a Member of Congress in connection with this Federal contract, Agreement, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. 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 I 352, 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. The prospective participant also agree by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub­ recipients shall certify and disclose accordingly. Exhibit F -Page I of I Page 113 EXHIBIT G SECTION 1. It is the policy of the Colorado Department of Transportation (COOT) that disadvantaged business enterprises shall have the maximum opportunity to participate in the performance of contracts financed in whole or in part with Federal funds under this agreement, pursuant to 49 CFR Part 26. Consequently, the 49 CFR Part IE DBE requirements the Colorado Department of Transportation DBE Program (or a Local Agency DBE Program approved in advance by the State) apply to this agreement. SECTION 2. DBE Obligation. The recipient or its the Local Agency agrees to ensure that disadvantaged business enterprises as determined by the Office of Certification at the Colorado Department of Regulatory Agencies have the maximum opportunity to participate in the performance of contracts and subcontracts financed in whole or in part with Federal funds provided under this agreement. In this regard, all participants or contractors shall take all necessary and reasonable steps in accordance with the COOT DBE program (or a Local Agency DBE Program approved in advance by the State) to ensure that disadvantaged business enterprises have the maximum opportunity to compete for and perform contracts. Recipients and their contractors shall not discriminate on the basis of race, color, nat ional origin, or sex in the award and performance of COOT assisted contracts. SECTION 3 DBE Program. The Local Agency (sub-recipient) shall be responsible for obtaining the Disadvantaged Business Enterprise Program of the Colorado Department of Transportation, 1988, as amended, and shall comply with the applicable provisions of the program. (If applicable). A copy of the DBE Program is available from and will be mailed to the Local Agency upon request: Civil Rights & Business Resource Center Colorado Department of Transportation 2829 W. Howard Place Denver, Colorado 80204 Phone: (303) 757-9234 REVISED 1/22/98 REQUIRED BY 49 CFR PART Exhibit G -Page I of I Page 114 EXHIBIT H, LOCAL AGENCY PROCEDURES FOR CONSULTANT SERVICES Title 23 Code of Federal Regulations (CFR) 172 applies to a federally funded Local Agency project agreement administered by COOT that involves professional consultant services. 23 CFR 172.1 states "The policies and procedures involve federally funded contracts for engineering and design related services for projects subject to the provisions of 23 U.S.C. 112(a) and are issued to ensure that a qualified consultant is obtained through an equitable selection process, that prescribed work is properly accomplished in a timely manner, and at fair and reasonable cost" and according to 23 CFR 172.5 "Price shall not be used as a factor in the analysis and selection phase." Therefore, local agencies must comply with these CFR requirements when obtaining professional consultant services under a federally funded consultant contract administered by CDOT. COOT has formulated its procedures in Procedural Directive (P.D.) 400.1 and the related operations guidebook titled "Obtaining Professional Consultant Services". This directive and guidebook incorporate requirements from both Federal and State regulations, i.e., 23 CFR 172 and CRS §24-30-1401 et seq. Copies of the directive and the guidebook may be obtained upon request from CDOT's Agreements and Consultant Management Unit. [Local agencies should have their own written procedures on file for each method of procurement that addresses the items in 23 CFR 172]. Because the procedures and laws described in the Procedural Directive and the guidebook are quite lengthy, the subsequent steps serve as a short-hand guide to COOT procedures that a Local Agency must follow in obtaining professional consultant services. This guidance follows the format of 23 CFR 172. The steps are: I. The contracting Local Agency shall document the need for obtaining professional services. 2.Prior to solicitation for consultant services, the contracting Local Agency shall develop a detailed scope of work and a list of evaluation factors and their relative importance. The evaluation factors are those identified in C.R.S. 24-30-1403. Also, a detailed cost estimate should be prepared for use during negotiations. 3. The contracting agency must advertise for contracts in confonnity with the requirements of C.R.S. 24-30-1405. The public notice period, when such notice is required, is a minimum of IS days prior to the selection of the three most qualified firms and the advertising should be done in one or more daily newspapers of general circulation. 4.The Local Agency shall not advertise any federal aid contract without prior review by the COOT Regional Civil Rights Office (RCRO) to detennine whether the contract shall be subject to a DBE contract goal. If the RCRO detennines a goal is necessary, then the Local Agency shall include the goal and the applicable provisions within the advertisement. The Local Agency shall not award a contract to any Contractor or Consultant without the continuation by the CDOT Civil Rights and Business Resource Center that the Contractor or Consultant has demonstrated good faith efforts. The Local Agency shall work with the CDOT RCRO to ensure compliance with the established terms during the performance of the contract. S.The Local Agency shall require that all contractors pay subcontractors for satisfactory perfonnance of work no later than 30 days after the receipt of payment for that work from the contractor. For construction projects, this time period shall be reduced to seven days in accordance with Colorado Revised Statute 24-91-103(2). If the Local Agency withholds retainage from contractors and/or allows contractors to withhold retainage from subcontractors, such retainage provisions must comply with 49 CFR 26.29. 6.Payments to all Subconsultants shall be made within thirty days of receipt of payment from [the Local Agency] or no later than ninety days from the date of the submission of a complete invoice from the Subconsultant, whichever occurs first. If the Consultant has good cause to dispute an amount invoiced by a Subconsultant, the Consultant shall notify [the Local Agency] no later than the required date for payment. Such notification shall include the amount disputed and justification for the withholding. The Consultant shall maintain records of payment that show amounts paid to all Subconsultants. Good cause does not include the Consultant's failure to submit an invoice to the Local Agency or to deposit payments made. 7.The analysis and selection of the consultants shall be done in accordance with CRS §24-30-1403. This section of the regulation identifies the criteria to be used in the evaluation of CDOT pre-qualified prime consultants and their team. It also shows which criteria are used to short-list and to make a final selection. The short-list is based on the following evaluation factors: a.Qualifications, Exhibit H -Page I of 2 Page 115 b.Approach to the Work, c.Ability to furnish professional services. d.Anticipated design concepts, and e.Alternative methods of approach for furnishing the professional services. Evaluation factors for final selection are the consultant's: a. Abilities of their personnel, b. Past performance, c.Willingness to meet the time and budget requirement, d.Location, e.Current and projected work load, f.Volume of previously awarded contracts, and g.Involvement of minority consultants. 8.Once a consultant is selected, the Local Agency enters into negotiations with the consultant to obtain a fair and reasonable price for the anticipated work. Pre-negotiation audits are prepared for contracts expected to be greater than $50,000. Federal reimbursements for costs are limited to those costs allowable under the cost principles of 48 CFR 31. Fixed fees (profit) are determined with consideration given to size, complexity, duration, and degree of risk involved in the work. Profit is in the range of six to 15 percent of the total direct and indirect costs. 9.A qualified Local Agency employee shall be responsible and in charge of the Work to ensure that the work being pursued is complete, accurate, and consistent with the terms, conditions, and specifications of the contract. At the end of Work, the Local Agency prepares a performance evaluation (a COOT form is available) on the consultant. CRS §§24-30-1401 THROUGH 24-30-1408, 23 CFR PART 172, AND P.D. 400.1, PROVIDE ADDITIONAL DETAILS FOR COMPLYING WITH THE PRECEEDING EIGHT (8) STEPS. Exhibit H -Page 2 of2 Page 116 EXHIBIT I, FEDERAL-AID CONTRACT PROVISIONS FOR CONSTRUCTION CONTRACTS FHWA-1273 -ReV!Sed May I, 2012 REQUIRED CONTRACT PROVISIONS FEDERAL-AID CONSTRUCTION CONTRACTS I.General ti Nondiscriminallon Ill. Nonsegregated Fae rues IV. Davis-Bacon and Related Act Provisions V. Contract Worll Hours and Sa'ety Standa.rd5 Act ProvislOlls VI. Subletting or Assign g the Con!ract VII. Safety Ac.c t PreventlDll VIII. False Statements Conce in,g Highway Projects IX. lmplementat1011 of Clean Air Act and Federal Waler P otlutJon Control Act X. Compiance ,vrth Govemmaitwlde Suspension and Debarment Requ emen1S XI. CertJficalion Reganling Use of Contract Fimds for Lobbying ATTACHMENTS A. Employment and Materials Preference for App3\xhian Development High vray System or Appa\3ch 131\ Local A<:cess Road Contracts {mcluded m Appalachian comracts ) I. GENERAL I Form FHWA-1273 must be physically rncorporated n each constructio n contracl funded under litfe 23 {exctuding emergency contracts solEfy ntatded for debris removal). The contractor {or subcontractor) must insen th.JS form in each subcontract and further require its 111 'on in all lovrer tie-r subcontracts (exclud ng purchase orders. renul agreements and other agrMments for suppl:es or sen,ioes). The applicable requ en1S ct Form FHWA-1273 are incorporated by reference for rrork done unde-r any purchase order, rental agreemen t or agreement for otha services. The prime contractor shal be responstie for ccmpliance by any subcontractor, loWE1'-ller r.ubcofltracto,r or senrioe provider Form FHWA-1273 must be included in all Federal-aid design­ build contracts, in aU subcontracts and in lower tier subcontracts {excluding subcontracts for des911 servlCE!s, purchase orders. renUJ agreements and otha agreEf!lents for supplies or seJV1ces). The design-builders be responsible for compliance by ainy subcontractor. lcurer-t1er std)ccntractor or sen,ice provider Contracting agencies m:ry reference Form FHW A-1273 in bid proposal or request for proposal documents. howeYer. Che Form FHWA-1273 must be physically ncorporated (not referenced) 111 all contracts subcontracl5 and lower-Iler subcontracts {excluding purchase orders rental agreements and other agreements for sup .es or servic,e,s related to a constructJon contract). 2 Subject to the applicab rty critem noted in !he f wmg sections . 1hese contract provislOOS shall apply to all v,ork performed on the contract by the contractor's o•m organiza on and wrth the asstStance of workas under the contractor'r. imm ediate superintendence and to all work per'ormed on the contract by pieoevrork, strt10n vrork, or by s ubcontract 3. A breach of any of the s!Ipulallons contained 111 !hese Required Contract Provisions may be suffic·ent grounds for withholding of progress payments, withholding of final payment, termination of the contract, suspension / debannent or any other action determ ed to be appropnate by the contracting agency and FHWA 4. Selection of Labor: During the performance of this contract, the contractor shall not use conYJCt labor for any p urpose 'tllithin the limits of a construction project on a Federal-aid h•ghway unless it is labor perfonned by convicts who are on parole . supervised release , or probation . The term Federal-aid h•gh,vay does not IIIClude roadv,ays functJonally classrled as loC31 ro.lds or rural minor collectors II. NONDISCRIMINATION The provIs<OnS of thtS section related to 23 CFR Part 230 are applicable to all Federal-a•d construct1011 contracts and to all related oonstructlOfl subcontracts of $10,000 or more_ The provisions of 23 CFR Part 230 are not appfioable to material supply, engin eering, or architectural serv.ce contracts In addition. the contractor and all subcontractors must comply v,ith the focu11mg po�cies: Executve Order 11246. 41 CFR 00. 29 CFR 1625-1627. Ttle 23 USC Section 140, the Rehablnation Act of 1tl73, as amended (29 USC 794 � Title VI of the Cilnl Rights Act of 1964. as amended, and related regulations 1ncludmg 49 CFR Parts 21, 26 and 27: and 23 CFR Parts 200, 230. and 633. The contractor and all subcontractors must comply vfth: the requiremen ts of the Equal Opportumty Clause in 41 CFR 60- 1.4{b) and, tor all construction contracts exceed111g $10 ,000, the Standard Federal Equal Employment Opportunity Construction Contract Specifications in 4 1 CFR 60-4 3 Note: The U.S . Department of Labor has exclusive authority to determine comphance with Executive Order 11246 and the policies of the Secretary of Labor including 41 CFR 60, and 29 CFR 1625-1627. The contracting agency and the FHWA haYe !he authonty and the responSlb rty to ensure compliance wth Title 23 USC SectlOll 140, the Rehab�1tallon Act of 1973, as amended {2Q USC 794 ). and Title VI of the CM! Rights Act of 1P64. as amended, and related regulations IIIClud1119 49 CFR Parts 21. 26 and 27: and 23 CFR Parts 200, 230. and 633. The following provision is adopted from 23 CFR 230. Appendix A, w'th appropnate revisions to con•orm to the U.S. Department of Labor {US DOL) and FHWA requu-ements. 1. Equal Employment Opportunity: Equal employment opportunrty {EEO) requirements not to d1scnninate and to take affi1mallve action to assure equal opportunity as set forth under la\'l's, execullve order.;, rules, regu1abons (28 CFR 35, 2Q CFR 1630, 2Q CFR 625-1627. 41 CFR 60 and 49 CFR 27) and orders of the Secretary of Labor as mod med by the prowisions prescribed herein, and ·mposed pursuant to 23 U S.C_ 140 shall constitute the EEO and specific atfumative action standards for the oontractor·s project activities undH Exhibit I -Page I of 12 Page 117 this contract. The pro,,is,ons of the Amencans wrth Disab "lies Act of 1990 (42 U.S.C 12101 e1 seq.) set forth under 28 CFR 35 and 29 CFR 1630 are n�ed by reference this contract. I the execution of this oontr.lct, the cootr.lctor agrees to comply"· the follar,ling m111mum specific requirement activllies cl EEO: a. The contractor will work with the contracbng agency and the Federal GOYemment to ensure that rt has made every good faith effort to provide equal opportunity wrth respect to aD o' its terms and conditions of employmEflt and in their reviev, of activities under the contract. b. The contr.lctor w·II acoept as ltS oper.1tmg pol cy the following statement: ·11 is the policy o• this Corn�y to assure that applicants are employed, and that em;iloyees are treated dunng employment, 't'lithout regard to their race religion. sex. col or. national origi • age or disabaity Such actoo shall include: employment. upgrading.. demotion, or transfer. recruitment or reauitmEnt advernsing. layoff« tenninabon; rates of pay or other fonns of compensation; and selectlO!l for training. including apprentlceshi), pre-apprenticeship, and/or on-the­ job training • 2. EEO Officer: contractor ,,m des,gnate and make known to the con!rac1ing o"!icers an EEO Of'icer who v1ill have the responsibility for and t be capable of effectM!ly administeraig and promotl!Q an active EEO program and l'lllo must be ass,gned adequate a'llthority and responsib 1Y to do so. 3. Dissemination of Pol icy: All members of the contract«·s sblf who are authoriZ!l'd to hire, supervise. promote, and discharge employees. or Ylho recommend such action or l\tlo are substantially in\lO'IIIE!d in such action, wlll be made fully cognizant o'. and vlill 1111 ent. thie contractor's EEO policy and contractual res ponsibifities to provide EEO 1/l each grade and classification of emp'!o)lrnent . To ensure that the above agreement will be met. the followng actx>ns w be taken as a minimwn: a.Pet'lOl]ic meetings of Supe,Msory and personnel ofioe emp loyees w be conducted be�re the start of wort and tltffl not less often than onoe every stx months. at which lane the contractor's EEO policy and its implementation w be reviewed and explained The meetings w be conducted by the EEO Officer. b.All new supeMS<ny or p�onnel office employees will be given a thorough indoctr: on by the EEO Officer, covenng all major aspects of the C011trador's EEO obligabons mthin thirty days following the a reporting for duty with the contractor. c. All pE15onnE,1 MIO are en�d direct recruitment for the project vlill be mtructed by the EE O O'ficer in the contractor's p�dures for loca.ting and hi minorities and women. d . Notices and postff!i setting forth the contractor's EEO policy wil be placed m lllNS readily accessi ble to employees. applicants for employmen1 and po1ential em p.'oyees. e.The contractor's EEO policy and the procedures to mplement such policy 1Y1I be brought to the attention of employees by means cf meetings, employee handbooks. or other appropriate means 4. Recruitment: When advenismg for employees, the contrador wil include in a!i advertisements for employees the ootation "An Equal Oppo :ty Employer." All such adwrlisements vlill be p� in publications hav a large circulation among minorities and v,omen in the area from which the project worlt foo:e would normally be derM!d a. The contractor will, unless precluded by a valid bargai ning agreement, condu ct systema1ic and direct recruitment through public and private employee referral sources hke ly to yield qualified minorities and women. To meet this requirement, the contractor w identify sources of potenb31 mUIOrity group employees. and establish vlith such Identified sources procedures whereby minonty and 1romen applicants may be referred to the contractor for emimyment consideration. b. In the event the contractor has a valid barga11111Q agreement providing for exclusive hiring hall referrals, 1he contractor is expected to observe the provisions of that agreement to the extent that the system m*ts the co n tractor's comphance with EEO contract prov1sions. Where unplementat10n of such an agreement has the effect of discriminating agaJ1st minorities or women , or obhiµtes the con tractor to do the same. such pl emelltat10n Y1olar.es Federal nondiscrim ation pl'Ollis,ons. c. The contractor mll encourage its preSEflt employees 10 refer minorities and women as applicants for emplo:,ment. lnfol'T1l.lbon and procedures with regard to refemng SIICh applicants Wtll be discussed with em�ees. 5. Personnel Actions: Wages, vrorlling con d1Iom·,. and emp!oyee benefits sha be establ,shed and admimslE-led, and personnel actions of every type, 1Rclud111g hinng. upgradilliQ, promo ·on . transfer, demotion. layo,'f. and tenrunat10n, sh be taken without regard to race. color, · 10n. �x. nat ional ongIn. age or d1sablrty. The fo!"Jcwling procedures shall be followed· a. Th e contractor wm conduct peno<tic inspection� o' pro;ec:t s�es to ins ure that working cond11ons and employee facilrtll:'S do not indicate discriminatory treatment o project s�e personnel. b. The contractor will periodically eva: te the spread of v,ages paid vlithin e3Ch classification 10 determine any evidence of d1scrtninatory wage practices c . The contractor will penod ically review selectEd personn actions in depth to detennine WMther there IS e111dence of dJscnm natlOII. Where evidenoe is found. the contr.lctor promptly take corrective action . If the review indicates that the discrimination may extend beyond the acnons reviE'tied such correciive aclion shal l include all affected persons d. The contractor will promptly mvesbgate all complaints of alleged d1scriminat10n made ID the contractor III connection with Its obhgations under this contract, w attempt to resolve such complaints, and wiU take appropriate corrective ac�Ion within a reasonable tllne. If the invest1gat1on �,cates that the discnminat10n may affect persons other than the complainant . such CO!Tective aclion shaU include such other persons. Upon completion of each inves11gation. the contractor 1�11 inform every compla,nant of all of thell' aYenues of appeal. 6. Training and Promotion: a The contractor will assist I/I locating, qualry111.g, and creasing the skills of minori1les 311d vromen who are Exhibit I -Page 2 of 12 Page 118 applicants f01 employment or current employees. Such efforts should be amed at developing journey level status employees m the tyJ)E of trade or job s,fication involved. b Consistent ,v,th the contractor's VIOO force requirements and as pem1iss1b-'e unde Federal and State regulations, the contractor shall make hi! use of training programs, i.e .• app 1iceship, and on-the-job training programs for the geog ical area ct contract perlonnanee. In the event a special provis•on for train is provided under this contract. tnis subparagraph w be superseded as indicated in the special provi5 on. The contracung agency may reserve training pos!lions for persons wh o receive welfare a5sIstance in aoc«dance ,'tith 23 U S.C. 140(al c. The contractor will actvJse employees and applicants for employment of avalable training programs and entrance requlreme tr. for each d The contractor \\11 penod:cally reV1ew the tram1119 and promotJOn potenti al of empk)yees v1ho are m1110rities and wome-n and w' encourage elig�e employees to apply for such training and promotion 7 Unions: lf1he contractor re es whole or part upon unions as a source of employees, the contractor will use good faith e.'tons to obtain the cooperatlOII of such un:ons to increase � ;ties for mInor1Jes and women. ActlOlls by the contractor. either directly or through a contractor's associat ion acting as agent, 1-.ill include the procedures set forth belo-w: a The contractor 1"1111 use good faith efforts to develop cooperation v11th the unions. joint tra ning programs aimed to1Y.1rd qualify" g more mtmorities and vromen for membership in lflE-un:or.s and 11l<:reasmg the skills of minorrties and women so that they rnay qualify for higher paying employment b. The contrac.1or ml use good faith effons to incorporate an EEO dause into e:tth un ion agreement to the end that such unio w be contra::tually bound to refer applicants V1ithout regard to their raoe, = . eligion sex. national origin, age or disability c. The contractor Is to obla!ll m'olm31Jon as to the ref practices and pofic1es of the labor union except that to the extent such 111fonn.:rtlon is Vlithln the exclusive possession of tne labor un10n �-Id such labor union re'uses to fum1Sh such ,n•ormatio,n to the contractor . the contractor shall so catify to the contrac1ing agency and sha set forth l'lflat efforts have been rnade to obta· such 1n'onnation . d. In the event the union is unable to proV1de the contractor w1h a reasonabl e flow oo referrals Y1ithin the ttme lmit set forth 10 the collecti...e tJ.3r931mng agreement. the contractor wi!I. through independent recrurtment e.'forts. fill the employment vac.1octes v1ithout regard to race. color. rerg on. sex. national ong1 n. age or di sability; making full efforts to obtain qualified and/or qualifiable minon.1es and women. The failure of a union to p ovide suffic�M1 refarals ( evM though it is obligated to pro-,ide exclusive re;erral s under the terms of a collective barga.irung 31J!ff t) does not relieve the contractor from the requI1Eff1en1S o; this paragraph. the event the union referral practice prevents the contractor from meeting the obligatJoris pursuant lo Execut111e Order 11246. as amended. and these special provis ons. such contractor shall immediately notl'y the contracung agency. 8. Reasonable Accommodati on for Applicants/ Employees with Disabilities: he contractor must be fam�iar with the requirements fin and comply v11th the Amereans with Disabilities Act and all and regulabons estabhshed lflE-re under. Employer.; must provide reasonable accommodation m all employment ac1ivities less to do so Y1ould cause an Wldue hardship 9. Selection of Subcontractors. Procurement of Materials and Leasing of Equipment The contractor shal l not d1scnm nate on the gro: of race, cd:or, religion. sex, naf orig:n, age or dJsabdty 10 the selection and retention of subcontractors. inc!ud1ng pro ent of materials and leases of equipment. The co trac!Dr shall bke all necessary and reaso e steps to ensure discrimination · the ad JStration of 1h15 contract. a. The contractor shall notify al l poten'hal subco tractors and supp!:ers and lessors o• their EEO obligations under this contract b. The contracto.r will use good faith ef'orts to ens e subcontractor compliance v11th their EEO obhgatons 10. Assurance Required by 49 CFR 26.13(b): a. The requirements of 49 CFR Part 26 and lflE-State DOT's U.S DOT-appro\led DBE program are oorporated by refer b. The contractor or subcontractor sha not dtSUininate on the basis of race, co!or, national origin, or sex III the performance of 1h15 co ract contractor shall cany out applicable requirements of 49 CFR Part 26 in the award and adnunJStratlOII of DOT-assisted contracts Fail.Ire by the contractor to carry out thes-e requ ents Is a mateml breach of 1h15 contract. which may result In the t· Ina11on of thJS ccntract or such other rem.E-dy as 111,e contrac.1mg agency deems appropnate. 11. Records and Reports: The contractor 5hall keep such recotds as necessary to document comp!ianoe W1h the EEO requirements Such records shall be n.tamed for a penod of thn!i! years , m�ng the date o' the final payment to the con tractor for all contract wort and sha be available at reascnable llmes and places for Inspec1Jon by authorized repres-entalives of the contracting agE,ncy and the FHWA. a. The records k-ept by the contractor sh document tl>e follOY.ring ( 1) number and work ours ct minority and non- minorrty group members and women employEd In each V10rk classrficat10 on lflE-project; (21 The pfOiJresS efforts beL'!,Q made in cooperation 1'1'1th umons. Wh app!JCa • to increase employment opportumtoes for minorities and ,TOmen (3) The progress efforts being made in atIng, hmng. tra111ing. qua ;fylllg, and upgrad ng m111orities. and V1omen· b. The contractor5 and subcontractors 'I.rill s ubmit an annual report to the contracting agency each July for the duration of the project, indica ting the number of mmonty. lf/OlTlen, and non-minority group employees currently engaged in each VIOrk classlficat10n requ ed by the contract work ThlS information IS to be reported on Form FHWA-1391. The staffing data should repres-ent lflE-pro;ect work force on board m all or any part of th� last pa pe-rod preceding the e-nd of J uly . If on-the-job train· is being r ired by special prov1SIon. the contractor Exhibit I - Page 3 of 12 Page 119 w be requ ll'ed to colled: and report training data. The empt�ent data should reflect the woril force on board during all or any part of the last 1>3yroll period preceding the end of July. Ill. NONSEGREGATED FACILffiES is provis,on is appl1cal>.'e to aD Federal-aid construction contracts and to all related construct1011 subcontracts of $10 .000 or more. The contractor must ensure that facili1ies provided for employees are proYlded such a ma that segregation on the basis of�. color, religion, sex, or national origin cannot result. The contractor may neither requ e such segregated use by mitten or oral policies nor tolerate such use by employee custom. The contractor's obligation extends further to ensure that its employees are not assigned to perform their services at any location, under the contractor's control, where the facJities are segregated. The term ·tac rues· 111cludes wa1.ng rooms, woril areas, restaurants and other eating areas, time clocks, restrooms. Y1ashrooms , locl!er rooms. and othff sto� or dressing areas. pariling lots. dnnking fountains. recreat:on or enterta ent areas. transportation. and housm,g provided fot employees. The contractor sha provide separa1e or s,nole-user restrooms and necessary dress ing or sleeping areas to assure pri113ey between sexes IV. DAVIS-BACON AND RELATED ACT PROVlSIONS This secti on rs applicable to all Federal-aid construction projects exce eding S2.000 and to all rebted subcontracts low�,r-ter subcontracts (regardless of subcontract size). The requ1reme ts apply to all projects located Ylithin the nght-<n· wa y of a roadway that is functionally classi'ied as Federa l-aid h1ghvray. This excludes roadways functJonally classified as local roads or rural minor collectors, 1�ich are exe mpt. Contracting agencies may elect to app ly these requ· ements to other projects. The foll oY1ing provrsion s are from the U.S. Oepartment C: Labor regulation s · 29 CFR 5.5 ·contract pro11rsIons and related matter5• 1,ith minor revisl()lls to conform to the FHWA- 1273 format and FHWA program requirements. 1. Minimum wages a. All laborers and mechanics errf)!oyed or working upon the site of the worf<., will be paid uncond1t10nally and not fess o.'ten than once a weell. and without subsequent deduction or rebate on a y account (except such payroll deductions as are permitted by regulations rssued by the Secretary of Labor under the Copela nd Act (29 CFR part 3)). the full amount of �s and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those conta ined in the wage determ atlOll o• the Secretary of Labor wh"ch is attached hereto and made a part hereof, regar ess of any contractual raationsh1p 1'ttlich may be alleged to ex st between the contractor and such la� and mechanics. ContnD\ltions m� or costs reasonably anticipated for bona fide fringe benefits der section 1 (b)<2} of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics. subject to the p1t1111sI0ns of paragrap 1.d. of this sect ion . also. regular contnbutJons made or costs in�d for more than a weekly penod (but not less often than quarterly) under plans, funds, or programs which cover the partlc:Ular weekly period, are deemed to be con struct1\lely made or incurred • g such v,eekfy period Such laborers and mechanics be 1>3id the appropriate v,age rate a1ld fringe benefits en the v,age determ nation for the classification of v1ork 3Clually perlormed. without regard to skill. except as provided 29 CFR 5~5(a)(4) Laborers or mechanics perfo g woril In more than one classification may be compensated at the rate specified for each classilicatllll!I for the time actually worlced therein Provided. That the employe<s l)lYTOll records accurately set fonh the time spent each classification In vlhich Ylorf<. rs pelformed. The 1vage determination �ncluding any addit1011af classification and v,age rate-s conformed under paragraph 1.b. of this section) and the DaV!s-Bacon poster (WH-1321) shall be posted at a ll times by the contractor and rts subcontractors at the srte of the woril in a prom t and accessible place where it can be easly seen by the workers. b. (I} The contracting of.iceJ shall require that any class of laborers M mech311ilCS, in ding helpers. wt11ch is not listed 1n 1he wage determination and which 1s to be employed unde r the contract be dassifEil in conformance with the wage determination The contracting o'licer shall approve an 3ddltl01lal class-tication and wage rate and fringe benefits therefore onl y when the f 01\·ng oriteria have been met. (i) The v1ork to be pt'rformed by the classification requested rs ot performE(j by a classification n the wage determinafoo; and {ii) The classflcatro 1s utilized In the area by the construcbon 1nd11'Stl)r and (in) The propo<..Ed wage rate, rnclud1ng any bona fide llringe benef1s. bears a reasonable relationship to the W3ge rates contained in the wage determinat10n. (2) If the contractor and the lallore-f!; and mechanics to be employed in the class ification (if known). or their represen�ves, and the contracting o.'ficer agree on the classification and wage rate (including the amount des,gnatEd tor fringe benefits where appropriate), a report of tne action taken shall be sent by the contracbng officer to the Administrator of the Wage w Hour Divis!Ofl, Employment Standards Acministral!on U S. Department of Labor. Wash1.ngton DC 20210. The Administrator, or an authorized represen�ve, Yl�I approve. modify, or drsapprove every addiuonal classrlicat:on act1011 within 30 days of receipt and so advise the contracting officeJ or w notify the contracting officer Y the 30-day penod that addrtional trne is neoessary. (311 the event the co rador, the laborers or mechantes to be employed 111 the class1fication or their representatives. and the contracting officer do not agree on the proposed cbssification wage rate (including the amount des gnatE<i 'or fringe benefits, where appropriate). the oon1ractt11g ctfx:er re'er the questions, including the V:E'itS 0: tnteres� parties and the recommendation ct the contr.lctmg o1fx:er 1D the Wa,ge and Hour Adrmnrstrator for determ on. The W• and Hour Administrator, or an auttionzE<i reprasentatrve v,ill issue a determinat!Oll withm 30 days of receipt and so advise the contracting officer or Exhibit I -Page 4 of 12 Page 120 will notify the contracting officer with the 30-day perlOd that addrtional time is necessary. (4) The wage rate (mdudng fringe benefits vlhere appropriate) determined pursuant to paragraphs 1.b.(2) or 1.b.(3) of this section. shall be paid to all vrorkers peronmn,g work in the c lasslficallon under this contract from the fi15t day on which vrork is performed in 1he dassdicat,on, c. Whenever the min mum v,age rate prescrl>ed · the contract for a class of laborers or medw!ICS includes a mnge benefit which 1s not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage delernl1nalion or shall pay another bona fide fringe ben e.'it or an oourty cash eq uivalent thereof. d . If the contractor does not make payments to a trustee or other third person. the con tractor may consider as part of 1he wages of any laborer or mechanic the amount of any costs reasonably anticipated 111 pl"Olliding bona fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the Vlritten request of the oon1r3ctor. that the applicable stan dards of the Davis-Bacon Ad have been met. The Secretary of Labor may require the oontractor to set aside in a separate account assets for the meeting of ob ligation s under the plan or program . 2. Withholdi ng The contracting agen cy shall upon its own actlOn or upo written request of an authorized re�entatwe of the Department of Labor. withhold or cause to be wi1hhe«f from the contractor under this contract. or any other Fe<teral contract with the same prime oontractor, or any otha federally­ assisted contract su bject to Dau-rs-Bacon prevailing vrage requirements, which is held by the same prime contractor. so much of the accrued payments or adll3nces as may be considered necessary to pay laborers and mechanics, including apprenbces. trainees. and helpers, employed by1he contractor or an y subcon!Detor the fuD amount of wages requi red by the contract. In the event of fa e to P3Y any laborer or mechanic. Including any apprentice. tra nee, cw helper, employed or worf!ing on the ste of the worl(, or part of the wages requi red by the contract, the contracting agency may. after written notice to the contractor. take such actJon as may be necessary to cause the suspension of any further payment. advance, or guarantee of funds untl such violatlOOS have ceased. 3. Payrol� and basic records a. Payrolls and basic records relating thereto s be ma intained by the contractor d g the course of the wort and preserved for a penod of three years thereafter for all laborers and mechanics work ng at the srte of the work. Such records shall contain the name, address. and social security number of each such vror!(er. his or her co:rect classncat1on howty rates of wages paid (including rates of oon1ribu1ions or costs antic pated for bona fide fnnge benefrts or cash equ;valents thereof of the types descn'bed sectJon 1(b)(2KB) of the Davis-Bacon Act). daily and weekly number of hours woit,;ed, deductions made and actual vrages paid. Whenevatlle Secretary of Labor has found under 2Q CFR 5.5(a)( 1)(,v) that the wages of any laborer or mechanic mdude the amount of any costs reason ably anhcipated 111 providing benefi3 under a plan or program described in section 1 (b )(2 l(B) of the Davis- Baoon Act. the contractor shall maintain records which shov, that the Cffl'lmitment to provide such benefrts IS enforceable. that the plan or program is financially responsible, and that the plan or program has beai communicated In wnting to the laborers or mechanics affected. and records which show the costs ant,cipated or the actual cost incurred in providing such benefrts. Contractors employing apprenl!ces or trainees under approved programs sh all maintain written eVJdence of the registration of apprenticeship programs and certification of trainee programs. the registration of the apprentices and trainees, the ralios and wage rates preSCflbed in the applicable programs b. ( I l contractor shall submit v,eekly for each wee!! whi ch any contract work is performed a copy of all payrolls to th1o contracting agency. The payrolls submitted shaD set out accurately and completely al l of the information required to be ma iltain ed under 2Q CFR 5.5(a)(3)(i). except that fuD social security numbers and home addresses shall not be included on '11eekly transmltlals. Instead the payrolls sha!I only need to moude an individually identifying number for each employee ( e.g .• the last four digits of the employee's SOQal securty mimber). The ired vieekly payroll ormat10n may be submitted in any fonn desired. Optional Form WH-347 Is avail.lilxe for this pwpose from the Wage and Hour Divl5ion Webs le at httpJfwviw.dol.g ov /esa/whdllormslv1h347ins tr.h1m or its successor srte The pnme contractor Is respoll5ible for the subm1ss10n of copies of payrolls by all subcontractors. Contracton and subcontractors shall ma·ntain the fuO social secunty number and current address of each covered wor!(er. and shall prov.de them upon request to the oontracting agency for transmiss ion to the State DOT. the FHWA or the Wage and Hour D;v1sion of the Department of Labor for purposes of an vestigallon or audit of compliance with prevailing W.l!Jl' requirements. It is not a violat1011 of this section for a pr.me contractor to requue a subcontractor to provide addresses a social security numbers to the prune contractor for rts own E<:O:ds. w1thou1 weekly submission to the contracting agency . {2) Each payr submitted shaD be accompanied by a "Statement ot Com 1ance," signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and sh certify the f owing: (1) That the payroll for the payroll period contains the 1n'ormation required to be pl"Ollided under §5.5 (a)(3)(ii) of Regulations. 29 CFR part 5 . the appropriate information is bemg maintained under §5.5 (a)(3)(i) of Regulations. 29 CFR part 5. and that such informatJOn IS correct and cornp:ete. (i1) That each laborer 01 mechanic (including each helper, apprentice, and trainee ) employed on the contract during the payroll period has been paid the full v1eekly W3Qes earned. Without reb.ite, either directly or indirectly. and that no deductions have been made either directly or md,rect ly from the full wages ea med , other than permiss ible deduct10ns as set forth Regulations . 29 CFR part 3; (iii) That each laborer 01 mechanic has been paid not less than the applicable vrage rates and fringe benefits or cash equivalents for the dassdica!Jon of work perfonned. as specified In the applicable wage determinatlOn incorporated into the contract. Exhibit I -Page 5 of 12 Page 121 (3) The weekly submission of a property executed certification set forth on the re-se side of Opli Fonn WH-347 shall satisfy the requirement for submission of the "Statement of Com pl e· required by p,vaigraph 3.b (2) of this section (4) The falsification of any of the above c«t,"ications may subject the contractor or subcontractor to c ivl or · inal prosecut10n u sec1Jon 1001 oft11e 18 and sec1Jon 231 of title 31 of the U nited States Code c. The contractor or suboontractor shall make the records required under paragraph 3.a. of th is section a•,ailable for 1nspeclion, copying. or transcriptlOll by authorized representatives of the contract agency. the State DOT. the FHW A. or the Department of Labo(, and sh permit such representatives to · tervlew emp loyees during 1'.'Dfking ho on the job. If the contractor or subcontractor fails to submit the required records or to make them a...ailable, the FHWA may. Jftef written notice to the contractor, the contr�g agEnc-y or the State DOT, take such action as may be necessary to cause the suspensson of any further paymen1, ad•,ance, or guarantee of funds. Furthermore. fl ure to submit the required records. upon request o to make s records a•,.ai lable may be grounds for debarment acbOll pursuant to 2Q CFR 5.12. 4. Apprentices and trainee5 a . Apprentices {programs of tfte USDOL). Ap prentices will be permitted to work at less the predetermined rate fo� the work they performed v1hen tnE-y are employed pursuant to and 111d1v lly reg1stffed in a bona fide apprenticesh p program registered with the U.S. Cn-paT!ment of Labor, Emp!oyrnent and Tra ining Acm istrat:on, Office of Apprenticeship Trai ning. Employer and abor Services. or Y1ith a State Apprenticeship Agency reoognized by the Office. or if a person is employed in his. or her first 90 days. of probationary employment as an apprentice in such a apprEilliceship program, who 15 not individually registered in the program. but who has been certif�d by the Office of Apprentic.eship Training Em plo yer and Labor Seniices or a Stlte Ap prenticeship Age-ncy (Vlhere appropriate) to be eligible for probationary employment as an appl'E!llnce . The allowable rat10 of apptentioes to joume)Tllen on the job site in any craft classmca1ion sha not be greater than the ratio permitted to the contractor as to the en!Jre wort fo:ce under the regts tered program. Any worker listed oo a pa at a appren tice v,age rate. l\ho is not registered oro1hemise employed as stated above. shall be paid not less than the applicable wage rate on the wage dete nation ior the classification of wort actually penonned. In ad d11on. y apprentice perfonning won on the job site in excess of the ratio permitted u the registered program shall be paid not less than the applicab le vrage rate on tfte wage detennin.Tl.ion for the 1vorll actually penonned. Where a contractor lS perfonn ing construction on a project in a locality other than that in v1hich its program is. regst.!f'ed, the ratios and wage rates (expressed In percentlges of the journeyman's hourly rate) specified in the contixtor's or subcontr3ctor's registered program be observed. Every apprentice must be paid at not less than the rate specified in the regiSlered progr31ll for the apprentce's. level of progress. expressed as a peroentage of the j )Tllen hourly rate specified in the applicable wage determinabon. Apprentices shaO be pa id fringe bene..'its in accordance with the provislOOs of the apprentJceshlj) program. I the apprenbcesh1p program does not specify fnnge benef.1s, apprenllces must be paid the amount of fringe benefits �sted on the wage dete ation for the applicable cbssificatlOO. If the Administrator determines that a df!'erent practice prevails for the appficable apprentice classification. fnnges shall be paid in accordance with that determinat1011. In the event the Office of Apprenticeship Training. Employer and Labor Services. or a State Apprenticeship Agency recognized by the Office. withdraws appl'Olial of an apprent!Ceship program. the contractor v,m no longer be pennltted to utifize apprenoces at less than the apii.,cable predetenn · ed rate for the wort performed u !JI an acceptab'.e program is approved. b . Trainees (programs of the USDOL). Except as provided in 29 CFR 5 16. tra;nees wD not be permitted to viork at less than the predetermined rate for the v,ork performed unless they are employed pursu.3nt to and mdivldually registered In a program which has ,_d prior approval. evidenced by formal certficat10n by the U.S. Department of Labor, Emp!o)Tlle nt and Training Adm istratoo. The ratio of trainees to journeymen on the job site shaD not be greater than pennitted u� the plan approved by the Emp!oyrnent and Training Admirustrat1011. Every ua·nee must be pa-d at not less ttian the rate Sl)ECified m the approved program for the trainee·s level of progress. expressed as a percentage of the journeyman ourty rate specified i n the appbcab!e wage determination. Trainees sha ll be pa:d fringe benefits i accordance w1h the pro11islOllS of the trainee program If the trainee program does not mention fringe benefits. trainees shall be pa·d the ful amount of nge benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determ that there is an apprenticeship prog,am associated w'th the corresponcfmg jowneyman wage rate on the wage detennination which provides for less than full fringe benefits for apprentices. Any employee hsted on the payroll at a tra inee rate 1'1ho is not registered and partlcipating in a training plan approved by the Employment and Tra· ing Administration sha be paid not less than the applicable 1Yage rate on the wage detenmna1ion for the classif,cation of ll(OB actual ly pelformed_ In add1t1on, any trainee perfonmng work on the job srte in excess of the ratio permitted u er the registered program shaD be paid not less the appl cab l'lage rate on lhe wage detennin atlOll for the IYDrk actually performed. In the event the Emplo)lllli!nl and Traming Adm1ntstra!JOll v,ithdraws approval of a training program . the contractor mll no nger be permitted to utilize trainees al less than the applicable predetennined rate for the wort perfom,ed until a xceplable program is approved. c. Equal employment opportunity The ut 12.1tion of apprenbces. trainees and journeymen der this pan sh be con'.ormlty with the employment opportunity requirements of Executive Order 11246, as amended and 29 CFR part 30. Exhibit I - Page 6 of 12 Page 122 d . Appffll1ices and Trainees (programs of the U.S. DOT). Apprentices and Ira ees W07ting under appren1lceship and skill Ira· ing programs 1-m:ich have been certfied by the Secretary of Transportation as promot;ng EEO in ooonection with Feueral-aid highway co.nstrudion programs are not subject to the req · Eflts o 1)3ra9Tap h 4 of this Section IV. The straight time h ourly vrage rates for apprer.llces and trainees un.der such programs vlill be estabhslled by the par1icu1ar programs The ralio of appren1ices and tra · s to journeymen shall not be gre.;iter than permitted by the terms of e particular program. 5. Compliance with Cope-land Act requirements. The contractor shall comply with the �-re�nts of 29 CFR part 3. which are incorporated by referen,ce in this contract. 6. Subcontracts. The contractor or subcontractor shall insert Form FHWA-1273 in any su,b00111racts and also require the suboontractors tom de Form FHWA-1273 111 any lower t<er suboontracts The e co tractor shall be responsible for the comp! ance by any subcontractor or lower tier subcontractor w1h all the contract ctJuses in 2g CFR E,.5 7. Contract termination: deba;rment. A brea ch of the contract clauses in 29 CFR 5 �. may be grounds for term•natcon of the contract. for �rmM1 as a contractor and a suboontractor as provided tn 29 CFR 5.12. 8. Compliance with Davis-Bacon and Related Act requirements. All rulings and inteqm,ta1ions of the Davis- Bacon and Related Acts conta In 29 CFR parts 1. 3. and 5 are herein incorporated t,y rl'fer e In th is contract. 9. Disputes concerning l abor standards. Disputes arising ou1 of the labor standards prov.s1ons of this contract shall not be subject to the genera disputes clause of !hrs contract Such disputes sha be resolU"cO In accordance v11th the procedures of the Department o' Lat.or set forth in 2Q CFR parts 5. 6. and 7. Ois.putes within the me3ning of thi s clause mdude disputes belVI the contractor ( or any of its s bcontractors J and the contracting agency. the U S . [)ep.3rtrnent of Labor. or the employees or the· representatives. 10. Certification of e ligibility. a.By ente into 1his contract, the contractor certifies that neither It (nor he or she) oor any � or firm v1ho has a interest in the coo1raclols firm Is a person or inn 1nel1g1ble to be awarded Govem men1 contrae1s by virtue of sect10 3(a) o' the Davis--Ba,coo Act or 2£1 CFR 5. 12(aX 1) b No part o' this contract shall be subcont13Cted to any person orfim ineligible for Jw:ird of a Government contract by virtu e of secllon 3(a► of th,e Dav1S-Bxon Act or 2Q CFR �•.12(aX1). c The pemilty ior making fJlse sbtements Is prescribed in the U.S. Crimina JC�. 18 U.S.C 1001. V.CONTRACT WORK HOURS AND SAFETY STANDARDS ACT The followmg clauses appl y to Fedi?ral-aid OOllitruction contract in an amount in excess of $100.000 and s ;ect to the overtime provisions oi the Contract Wont Ho= and Safety Standards Act. These clauses be insert In add1t1on to the clauses required by 29 CFR 5:,(aj or 29 CFR 4.6. As used in thlS paragraph. the tefms labo� and mechanics include watchmen and glllr ds 1. Overtime requirements. No contracro: or s ubcontractor contracting for any part of the contract work vlhich may require or involve the employment of INS or mechanics 11 require or pennit any such l abore r or mechanic in an y viorkweek in which he o. she IS anployed on s uch 't'lork to viork · excess of forty hours in wch 1voritweek unless such laborer or mechanic receives comp ensat,on al a rate not less Iha one and one-half 1lme-s the basic rate o f pay for all hours worked excess of forty hours such woritweek. 2. Violation; liability for unpaid wages: l iqu idated damages. In the event of any VJOlatlOO o' the clause set forth in paragraph (I.) of this SE-Ct ion. the contrac:tor and any subcontractor re sponsible therl'for shall be lial> 'or the unpaid viages. In addition. such contractor and subcontractor shal be liable to. the Un�ed States {in the case of 1't'Ort done under contract for the District of Cduml>ia 0-1 a territory. to such D 1stnct or to such territory). for lql[ldate<i damages. Such liqu idated damages sha be computed v11jji respect to each mdiv I laborer or mech.ll!ic. llldud1ng watchmen and guards. employed in violatlon of the clause set forth in paragraph (1.) of this seclion III the sumo•$ 0 for each calendar day on vlhich such indv1dual w� required or pennrtted to v1orfl in excess of the standard 1voritwi:ek of forty hours w t hout payment of the ovenime, .,.,ages �uired by the clause set forth in paragr {1.} of thrs sect,on 3. Witflholding for unpaid wages and liqu idated damagK. The FKWA or the contac1ing agency shall upon its own action or upon writte n request of an aumon� representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of wo,rit performed by the contractor or su bcontractor nder 3nY such contract or any other Federal contract w1h the S3lfle prime contractor. or any other federally-assisted contract subject to the Con� Worfl Hours and Safety Standards h:.t., which rs he ld by the same p ·me contractor. s sums as may be determ1ned to be ecessary to satisfy any li.lbllities 0: such contractor or subcontrae1or for unpaid wages and liquidated da� as provided In the clause set forth in paragraph (2 .) of this se<:tlO . 4. Subcontracts.•·The contractor or subcontract or shall in�rt in any subcontracts the clauses s,e.t forth m paragraph (1.) through (4 .) of this sectlOll and also a clause requiring the subcontractors to elude these cl.luses III any lower tier subcontracts. The prime contrae1or sha'I be respons .e for c«npliance by any subcontractor or lower tier subcontractor v1ith the clauses set forth in paragraphs ( 1.) 'Ough {4.) of this sectlOn. Exhibit I - Page 7 of 12 Page 123 VI. SUBLETTING OR ASSIGNING THE CONTRACT This pl'0'1is,on is I to aD Federal-aid construction contracts on the National H gh1vay System 1 The contracio: s II perfumi with its own organization contract work amoun ·ng to not less than 30 percent (or a greater peroenrage · specified else¥1here in the contract) of the total ong al contract pnce, excluding any specialty Items designated by the contracting agency. Specialty Items may be performed by subcontract and the amount of any such spec1.11ty ems performed may be deducted fran the total original contract pnce before computing the amount of work required to be perfonned by the contractor's own organization (23 CFR 635.116). a.Th e tenn "P£'(form vrork with its own organization" refer.; to worker.; empl oyl!d o leased by the prime contractor. and equipment D'ilned or rented by the prime contractor, with or w1hout o pe rators. Such term does not include employees or equipmeflt of a suboontractor or lower tier subcontractor . agents o' the prime contractor, or any other assignees. The term m3y inaude payments for the costs of hiring leased employees from an employee leasmg firm meetmg all relevant Federal and S1ate regulatory requirements. leased employees may only be included in this term if the pmne contract or meets all of the following cond· ions: {I) the pnme contractor maintains control over the supervision o' the day-to-day acbvities of the leased employees; {2) the prime contractor remains responsible for the quality of the wort of tli-e leased employees; (3) the prirM contractor reta·ns all power to accept or exclude indTVidual employees from work on the project and {4) the prime contractor rEmains ulttmately responsible for the payment of predetermined minimum wages. the submi ssion of payrolls, statements of compliance and all o1her Fedefal regulatory requirements b . "Specialty Items· sh be construed to be hmJted to worl! that requ·re-s highly spec. '!Zed knowledge. abilities. or equipment not ordinarily available in the type of contracting organizations qu · ed and expected to bid or propose on the contract as a whole and III gen are to be limited to minor ccrnponents of the overall con tract 2. The oontract amount upon which the requirements set fonh in paragraph ( 1) of Section VI is computed incl udes the cost of matE-fl.ll and manufactured products which are to be purchased or produced by the contractor under the contrac t provi s,ons, 3 The contractor shall furnish (a) a competent supenntendent or supe,rvisor who is employed by the firm . has full authority to direct performance of the work m accordance wi1h the oontracl requirements. and ts m charge of all construction operatJOns (regar<fess of 1\tio performs the work) and (b) such other of Its own Oll?lliza ·ana l resources (supervis ion. management. and engineering services) as the contracting officer determines is necessary to ass ure the performance of the contract. 4 No port1011 at the contract be sublet, assigned or othenvtse disposed at except ,�th the written consent of the contracting office , or authorized representative. and such consent .men given sha not be construed to relieve the contractor of any responsrb:lity for the fulfillment of the contract. Wntten consent will be gNen only after the contracting agency has assured that each subcontract is evidenced in imting and that it conta ins all pertment provisions and irements of the prime contract. 5. The 30% self-pericnnance requirement of paragraph {1 ) is not applicab le to design-b uUd oontracts. however, oontractmg agencies may establish 1heir ow self•performance requirements~ VII. SAFETY: ACCIDENT PREVENTION T h I S p r O V i S i O n i S appllcab!e to all Federal-a:<! construction con tracts to related subcontracts. 1. In the perfonnance of ·-s oontract the contractor shall comply with all app licable Fee • State. and local laws go · sa�ty. health. and s.in:tat ion (23 CFR 635). The contractor shall provide all safeguards, safety devices and protecti1re equipment an d take any other needed actions as ii detem11nes, or as the contracting officer may determme, to be reasooably necessary to potect the I fe and th of Employees on the job aoo the safay of the public and to protect propeny in oonneclion wth the performance of the v1ork covered by lite contract. 2. It IS a condition of this contract. and sham be made a concftlon of each subcontract, 1m1Ch the contractor enters · to purs to this contract, tha.t the contractor and any subcontractor sh not p,ennit ;my ernp!oyee. performance of the contract, to "'m in surro .ndings or under conditi ons which are unsanitary. hazardous or dangerous to hiSJher health or safety. as det in ed under construction safety and health sta ds (29 CFR 1926) promulgated by the Secretary of labor accad:mce 1\'1h Section 107 of the Contract Work Hours and Safety Standards Act (40 U .S C 3 704) 3. Pursuant to 29 CFR m.3. ts a cond1t1on of thts contract that the Secretary of labor or .1111horized representa11ve theffllf. shall ave right of enlry to any srte of contract performance 10 inspect or m•,estgate the matter of compliance v11th 1he oonstrucllon safety and health standards and to carry out the duties of the Seareb.ry der Section 107 of the Contract Wort H� and Safety Standa rds Act (40 U .S.C.3704).. VIII. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS T h i s p r o v i s i o n I s applicable to all Federal-a'd construction contracts aoo to related subcontracts. I order to ass ure hig quality and durable construction in conformity vlith approued plans speclficatl()(IS and a high degree of reliabtr1Y on s131Ef!1en1S and represenbbons made by eng1neers contrxtors. suppl.,ers, and workers on Federa l­ a1d highway projects. It is essential tha1 a ll persons concerned with 1he project perf.onn tl!eir 'uncllons as carefully, thoroughly. and es1ly as possi ble. Willful falsification. distortion. or misre presenta1ioo l\'llh re�ct to any facts related to the project ,s a violation of Federal law To prevent any m1sunder ing egarding the seriousness of these and s m1lar acts. FCJ.ITTI FHWA-022 sha ll be posted on each Federal-aid highway project (23 CFR 635) in one or more places l'lf1ere it is rNdily available to an persons concerned vlith 1he project. 8 U.S.C. 1020 reads as follovis: Exhibit I -Page 8 of 12 Page 124 'Whoever. being an officer. agent, or emp'.oyee o the United States. or of any State or Territory. or whoever. whether a person. association, finn, or corporation, knowingly makes Mty false statement. false r epresentatJOn, or false report as to the character. quahty. quantity. or cost of the material used or to be used, or the quantity or quality of the vrork perlon'ned or to be performed, or the cost thereof m connection with the submission of plans, maps, specifications. contracts, or costs of cons1ructoo on any highway or related project submi tted &>r approval to the Secretary of Transportation; or Whoever knowingly makes any false statement false representation, false report or false claim with res!)ffl to the character, quality, quantity, or cost of any work perfOITlled or to be performed, or materials furnished or to be furnished, in connection with the construction of any higtnvay or related project approved by the Secretary of Transportation; or Whoever knowingly makes any false statement or false representation as to material fact in any statement. certificate, or report submitted pursua t to provisions of the Federal-ax! Roads Act approved July 1, 1Q1 6, (3Q Stat �). as amended and s pplemented; S be fined under this title or unpnsoned not more Iha 5 years or both." IX.IMPLEMENTATION OF CLEAN AIR ACT AND FEDERALWATER POLLUTION CONTROL ACT This provis1011 is appl cab'e to aD Federal-aid construction contracts and to all related subcontracts By submission of tl11s bicl/pro po or the execu1Jon of this contr3CI, or subcontract , as appropriate. the bidder. propOSE-r. Federal-aid construction contractor, or subcontractor, as appropriate. will be deemed to have stipulated as ows: 1. That any persoll who IS or v.rill be utilized Ill the performance of this contract is not prohibited from receiving an award due to a violabon of Section 508 of the Clean Water Act or Section 306 of the Clean Air Act. 2. That the contractor agrees to in or cause to be mcluded the requ ements of paragraph ( 1) of this Section X in every subcontract, and further agrees to take such acbon as the contracting age ncy may direct 35 a means of enforcmg such requirements. X.CERTIFICATION REGARDING DEBARMENT,SUSPENSION. INELIGIBILITY AND VOLUNTARYEXCLUSION This provis10n 1s app licable to al Federal-aid construction contr3Cts, design-build contracts. subcontracts. lower-tJer subcontracts, purchase orders, lease agreements. consu contracts or any other covered transaction requ1nng FHWA approval or that is estimated to cost $25,000 or more - 35 de'ined m 2 CFR Parts 180 and 1200. 1. Instructions for Certific ation -First Tier Participants: a. By signing and submitting this proposal. the prospective first tier participant IS provld ng the certification set out be low. b. The inability of a person to provide the certlficat1011 set out belov, will not necessaril y result in denial of participation Ill this covere d transactll)!I. The prospectJve first tier participant shall submit an e)pl:anation of vihy it cannot provide the certification set out below. Th.e certification or explanatJon wil be considered In connection viith the department or agency's de i nation whether to enter 111to ttus transactJon. However , fath.ae of the prospective first tier participant to furnish a certification or an eiq> nat1011 shall disqualify such a person from partcipa.tton m this transact1011. c. The Offti'ication in this clause 1s a material representation of fact upon which reliance was placed when the contracting agency determined to enter into this transactlOll. If rt IS later detennined that the prospective particip.111t knowingly rendered an EiTOllieous certification, in addition to other remed-es a-r.Jilatcle to the Federal Government, the contracting agency may terminate this transaction for cause of default d. The prospective first tier participant shall provide unmediate vmtten notice to the contracting agency to whom 1his proposal is submitted if an y time the prospective first tier part1C1pant learns that its certification was erroneous when subm itted or tus become erroneous by reason of ged -• c1rcumstanoe-s e. The tenns ·covered transacti on." ·debarred," "suspen : '1:iel:,gible. • "pa rticipant," "person," prioopal," Jt!lJd ' 1anl y exclude d.· as used in thlS clause. are defined 2 CFR Parts 180 and 1200. "First rier Covered Transacbo s· refer.; to any covered transactJon betvieen a gi3nlffo oz Sllbgrantee of Federal funds and a part1Ci pan1 {s uch as the prime or gene..-al contract). "Lower Tier Covered TransactiOflS. refas to any covered transaction under a First Tier C011ered Transaction (such as subcontracts). "First Tier Part1tipant" refe,s to the participant who has entered into a co,.•ered tra: :sactlDll wih a grantee or subgrantee of Federal funds (such as the prime or general contractor) "Lower Tier Part1e1pan1· refer.; any partx:ipant vlho has entered into a co•,•ered transactlOll wrlh a First Tier Participant or other Lower Tier Part1cip.3nts {such as subcontractors and s uppliers). f. The prospec11ve first tier participant agrees by submitting th is proposal that, should the proposed covered tram,action be entered into it shall not knowingly enter into any lower tier C01.•ered tra.�actll)!I wrth a person who is debarred. suspended. declared inel:,g ble. or voluntanly excluded from partlClpation m this cowred transaction. unless authonzed by the dep-artment or agency ent into this transaction. g. The prospective first Iler pmicipant further agrees by submitting thlS proposal that it will include the clause titled 'C£ottncation Regarding Debarment. Suspens ion. lneligibd1ty and Volunwy Exclusion-lower Tier Covered Transactions," provtded by the department or contracting agency, en to tl\lS oovered transactlO!l. without modifica tion. Ill all lower ·er covered transactions and in all solicitations for kwier lier COIJered transactions exceeding the $25,000 threshold. h. A participant m a covered transaction may re l y upon a certification of a prospective participant a lower tier covered transaCIJo:i that is not debalTed, suspended. inehgib!e, or volu tlrily ex ded from the covered tra saction, unless it knows that the certlficatlO!l is erroneous. A partic pant is respons1blle for ensuring that its princt pals are not suspended, debarred or othenvise ine ligible to partiapate 1n covered transactioos To verify the eligibility of Its principals as well as the eliglb 1y of any lower Iler prospective participants, each part1etpant may, but 1s not required to , check the Excluded Parties List System website (https:Jhwl\v.epls.govl). which 1s compiled by the General Services Administration . Exhibit I -Page 9 of 12 Page 125 L Nothing contained 111 lhe foregomg shall be cons.1rued to require the establishment of a system of records in order to render m good tarth the oe.rtification required by is e The knowledge and 111fom,ation of the prospective partic ipant IS not required to exceed that whi ch is normally possessed by a prudent pe,5on in the ordinary course of b us· ess de-3Iings. J Except for transactiom, authorized under paragraph (f) of these instruclions, if a p artic"pant in a COYered transaC'lion knowingly enters into a loWl!f tier cowred transaction with a person who is suspended. debarred, ineligible, or 11o luntari ly excluded from participation in this transaction, · adcf1ion to other remedies available to the Federal Gove ent !tie department or agency may temiinate this transaction for cause or default. 2. Certification Regarcfing Debarment, Suspen sio n, Ineligibility and Vol untary Exdusion -First T�r Participants: a. The prospective first tier particpant certfies to the best of its knowledge and belief, that it and ns ·pals ( 1) Are not p resently debalT1!d, suspended. propose-d 'or debarment declared inel1g1ble. Of YO!un y excluded from parti cipating ,n covered transact by an y Federa department or agency: (2) Have not with•n a three-year penod precedin,g this proposal been convicted of or had a civJ j�ent re-ndered against them for com1mss,on of fraud or a crim al offense in connection with obtaining, anemp to obta· . or pE<forming a publ ic (Federal. State or local) transaction or contract nder a public transaction. v1olat,on of Federal or State ant1rus.t statutes or corrumssion of emb ezzfe t. theft forgery, bribery, fal sification or des1ruct,on � records, m3k 1n g false statements., or receiving stolen property; (3) Are not presently indicted fur or otherwise crvmnall y or civil ly charged by a go vernmental entity {Fect,e.ral, State or local) with commission of any of the o�es erated in paragraph {a )(2) of this cert-ficat,on; and (4) Have not viithin a three-year penod preced in,g this applicatlonlproposal had one or more public transactions (Federal. State or local) terminated for cause or defa ult. b. Whe re the prospective partte1pant IS unable to oel1l'y to any of the statements in thlS certJflC.lllon, such prospecllve participant sha I anach an explanation to this. proposal 2 In structi ons for Certification -Lower Tie-r Participants: (Apphcab e to all s bcontrac:IS, purchas.e orders and o!her lowe-r ber transactiorni req uiring prior FHWA approv or estimated to cost $25,000 or more - 2 CFR Parts SO and 1200) a. By srgntng and submitting this p,ropos.al, the prospective lower tier is. providing the certification set o ut below . b. The certification in this clause Is a matenal representation of fact upon which reliance was placed wh en this transacbcn was entered into. If it is later determined that tile prospE<:tive lower tier participant knowingly rendered 3n error..eous certification, in addition to Olher temedies ava le to the Federal Government. the department. or agency w,th v.tnch this transaction on ginated may pursue availab le remi!dies. · dud g suspens.ion and/or debarment. c. The prospective lower tier participant s provi de immediate vmtten notice to the person to which this. proposal IS submitted if at any time the prospective lower tier participant learns that its certification \Y.lS M0fleous. by reason of changed circumstances. d. The tenns ·covered transaction." "debarred.· ·suspended," "'ineligible." "part1ei pant." "per.;on • "principal." and • , tanly excluded," as used in this clau se. are defined 2 CFR Parts 180 and 1200. You may contact the per.;on to which this proposal is submitted for as.sistance · obtai ning a copy of those regulations. "First Tier Coutied Trans.actions.· refers to any covered transaction between a grantee or subgrantee of Federal funds and a partlopant (such as the pnme or general contract). "Lower Tier Covered Transactio ns" refers to any covered transaction nder a First Tier Covered Transaction (such as. s ubcontracts). "F�t Tier Partt:ipa nt" refers to the partic pant who has entered into a col/En!d transacllon With a grantee or subgrantee of Federal funds (such as the prime or general contractor). "Lo\'l'E!T Tier Part�ipan t" refers any particip t v.rho has en tered into a covered transactlOfl w'th a First Tier Pamcipant o: other Lower Ier Participants (such as subcontractors and suppliers). e. The prospective lower tier participant agrEE-5 by submittin g this proposal that, should the propos.ed COll'ffl!d transacllon be entered · to. 11 shall not know,ngly enter 10 any lower tier covered tra sact,on w;th a person who is debarred. suspended. declared ineligi�. or voluntarily excluded from part(etpation m this covered transaction, unless authonzed by the department or agency w th 1-mich this transacllo onglllated. f. The prospective lower tier participant further agrees by submitting thlS proposal that it will nclude this. clause tilled "Cenffication Reg;irding Debarment, Suspension, elig1b ihty and Voluntary Exclusion-lower Tier Covered Trans.action," v11thout modification, in all lower tier covered transactions a s.ohcitat:ons for lower Iler covered s.actions. exCEEd ng the S25,000 threshold. g. A participant III a covered transact10n may rely llJ)On a certiflC.ltion of a prospective partlCipant in a lower tier covered transaction that is not deba!fed, suspended, inelig , or voluntanly exclu ded from the covered transact10n, un less. It knows. that the certlficabon is e-rror.eo11s.. A participant Is responsible for ensunng that its ·pa's are not sus�d. debarred, Of otherwise ineligible to partiopate in co-.. ered transacllortS To venfy the eligib�ity of its princ pals. as well as the ehg ib l1y of any l o-r ter prospedrve participa,l'ts, each participant may , but Is not required to, che<:k the Excluded Parties List System website (https:Jhwnw.epts..govl), which ,s compiled by the General Services Administration h. Nothing conta n ed in the foregoi ng shall be cons1rued to require estabfishment of a system of �s · order to r�r good faith the certificatlOfl req · ed by this clause. e knovlledge and information of particlp t is. not requ to exceed that which IS norma lly possessed by a prudent person 111 the ordinary course of busin ess d� 1119s. 1. Except for transactions authonzed under p.lr.lgraph e of these 111structions. if a participant · a covered trans.action knowingly enters · to a lower tier cov� trans.action vlith a person who is suspended, debarred, igible. or voruntarlly excluded from part,cipation in this tran53Ction, in addit10n to other remedies availabl e to the Federal Government, the Exhibit I - Page IO of 12 Page 126 dep,1 ent or agency vrith which this transaction ong,nated may pursue avai remedies, including suspension and/01 debarment. Certificati on Rega.nting Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Participants: 1 . The prospective lower tier participa : certifies, by subm1Ssion of this propo , th.at ne·1her It no its princlpals is presendy debarre<I. suspended. proposed for debarment. declared ineligib le. or voluntarily excluded from participating in coveled transacti ons by any Fede-lal department or agency. 2. Where the prospectrue lower tier participant is ble to certify to any of the statements m this cert· ,cation. such prospecbve participant shall attaoh an exp1anat10 to this proposal. XI. CERHHCATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING This proYision is ca to a Federal-aid construcbon conuacts and to all relal!Ed subcon1racts which exceed $100,000 (49 CFR 201 1 . The prospe,ctiv,e, par1lc,;pant oerti'ies, by signing and submitting this b:d or proposal, to lh.E, best o& his or knowledge-and ief that a. No F eral arwropnated funds have been paid or w·u be paid, by or b of tllt,e undelr'signed. to any pe�on for in'luencing or attempting to infhiE<flCe an offioe-r or employee of any Feder-a agency, a Mem!ber of Congress, an officer or employee of Co.n.gress, or an e.'!1ployee of a Member of Congress in conn,,e.ction-,, the .wrard1 a: a y Federal contract, mak. o� ;my Feda';:i gra ii,, the making of any Federal loan, the en.t into of any cooperative agreement. and the eJCten:5I0 • continuation. ren ewa l, amendment. or modification of any Federal con tract. grant loan, or cooperative ag reement. b.If any funds O!her tih.an Federal appropriated funds have been paid or v,ill be paid to any person for influencing or attempting to influE'lll>Ce an offioe-r or emplo�e of any Federal agency, a Member of Congress. an offioe-r or employee of Congress , or an employeE 05 a Member of Congress in connection wilh tlhns Fecl\a'a contract. grant. loan or cooperative agreement. under!iig shall com plete and submit Standard Form-LLL. "Disclosure Fonn to Report Lobbying; • in .'leeordanoe with its in structions. 2. This certrlicatl0l1l is a ma, · representat10n o' fad upon wh,ch reliance was placed w'ltE-n this transaction was made or entered into. Submiss ion o• this CE;Jt:lication ,s a prerequ1Site for making or entering into th s tr.msactx:m imposed by 31 U.S .C. 1352 Any person who falls to f the required cert"'iC31ion shall be-subject to a ci\• �lty of not less tha $10.000 and not more than S100.0D0 for each such failur e. 3. The prospe,ctiu-e p-articipant also agr� by submrttmg ,ts bid or proposal that the participant shall ll!'quire that the language o f th,s certrlicat>0n be in ded lower tier subcontracts. which e� S 100,000 and that aU such recipients I certify aoo disclose accordingly. Exhibit I -Page 11 of 12 Page 127 ATTACHMENT A-EMPLOYMENT AND MATERIALS PREFERENCE FOR APPALACHIAN DEVELOPMENT HIGHWAY SYSTEM OR APPALACHIAN LOCAL ACCESS ROAD CONTRACTS This prcwis!OII is � to a Federal-aid projects funded under the Appalachian Regi Development Act of 1 Q65. 1 . Dunng the perlormanoe of 1his contract. the contractor undfftaking to do yrork which is, or reasonably may be. done a.s on-s ite work. I give preference to qual lfied persons who regulalfy reside in the labor area as designated by the DOL wherein 1he contract work is situated. or the subregion , or the Appalachian counties of the State wherein the contract worll is situated. exoept a . To the extent Iha! qualified persons re the area are not avallabee. rty resKling m b. Fer the reasonabl e needs of 1he contractor to employ supervisory or specially expenenoed personnel necessary to a.s an effie1enl execut ion of the contract work. c. For the obligat>on of the oontractor to offer employment to present or former emploYN"S as the result of a lawful co!lective barga:mng contract provided the number of nonresident persons employed under 1h1s subparagra.ph (1c) shall not exceed 20 percent of the total number of employees employed by the contractor on the oon1ract work. except as provided in subparagraph (4J below. 2. The CO!i1ractor shall pbce a ,ob order wrth the State Employment Service indicating (a) the classif!C.ltions of the laborers. mechanics and other emp!oyees required to perform the contract Y1ork. (b) 1he number of employees required in each classrliC31Joo, {c) the date on which the par1icipant estmates such employee-s YIIII be required. and (d ) any other pertinent informatlOll req by 1he State Employment Service to complete the ,ob orda foml The ,ob order may be placed with the State Employment Service in wnting or by teleph one I f during the course of the contract work, the in'ormation subm tted by the contractor in the original job order is substan1Jally modified , ltle participant shall promptly notify the S1ate Emplo}'111ti!t Service 3. The CO!i1ractor shall g;ve full consideration to all qual· ed job appricants refened to by the Sbte Employment Service. The COfltractor is not required to grant employment to any job ap 1CJnts w!!o, in his opinion. are not qualified to perionn the class1icatio.'l of work required. 4 If. within one week folloWlllg the placing of a job order by ltle contractor l\ith 1he State Employment Service, the State EmplO)fflent Service is unable to refer any qualified JOb applicants to the contractor or less than the number requested, the Slate Employment Serv� w1U forward a cert cate to the contrac:(or dicat1ng the unavaifabarty of apphcants. Such CErtlficate shall be made a part of the contractor's permanent project records. Upon raoelpt of this cerfficate, the con1raclof may employ per-sons who do not normally reside in the labor area to fill positions covered by the cert Icate notwithstanding the prov1SIons of subparagraph (le) above. 5. The provis,ons o' 23 CFR 633.207(e) allow the contracting agency to provide a contractual preference for the use of mineral resource materials native to the Appalachian region. 6. The contractor shall m de the provisions of Sections through 4 of this Attachment A every suboontract for work which is . or reasonably may be. done as on-srte wor11. Exhibit I -Page 12 of 12 Page 128 EXHIBIT J, ADDITIONAL FEDERAL REQUIREMENTS Federal laws and regulations that may be applicable to the Work include: Executive Order 11246 Executive Order 11246 of September 24, 1965 entitled "Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967 and as supplemented in Department of Labor regulations ( 41 CFR Chapter 60) (All construction contracts awarded in excess of$10,000 by the Local Agencies and their contractors or the Local Agencies). Copeland "Anti-Kickback" Act The Copeland "Anti-Kickback" Act (I 8 U.S.C. 874) as supplemented in Department of Labor regulations (29 CFR Part 3) (All contracts and sub-Agreements for constmction or repair). Davis-Bacon Act The Davis-Bacon Act (40 U.S.C. 276a to a-7) as supplemented by Department of Labor regulations (29 CFR Part 5) (Construction contracts in excess of $2,000 awarded by the Local Agencies and the Local Agencies when required by Federal Agreement program legislation. This act requires that all laborers and mechanics employed by contractors or sub-contractors to work on construction projects financed by federal assistance must be paid wages not Jess than those established for the locality of the project by the Secretary of Labor). Contract Work Hours and Safety Standards Act Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 327-330) as supplemented by Department of Labor regulations (29 CFR Part 5). (Construction contracts awarded by the Local Agency's in excess of $2,000, and in excess of $2,500 for other contracts which involve the employment of mechanics or laborers). Clean Air Act Standards, orders, or requirements issued under section 306 of the Clean Air Act (42 U.S.C. 1857(h), section 508 of the Clean Water Act (33 U.S.C. 1368). Executive Order 11738, and Environmental Protection Agency regulations ( 40 CFR Part 15) ( contracts, subcontracts, and sub-Agreements of amounts in excess of$I00,000). Energy Policy and Conservation Act Mandatory standards and policies relating to energy efficiency which are contained in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub. L. 94-163). 0MB Circulars Office of Management and Budget Circulars A-87, A-21 or A-122, and A-l02 or A-I JO, whichever is applicable. Hatch Act The Hatch Act (5 USC 1501-1508) and Public Law 95-454 Section 4728. These statutes state that federal funds cannot be used for partisan political purposes of any kind by any person or organization involved in the administration of federally-assisted programs. Nondiscrimination The Local Agency shall not exclude from participation in, deny the benefits of, or subject to discrimination any person in the United States on the ground of race, color national origin, sex, age or disability. Prior to the receipt of any Federal financial assistance from COOT, the Local Agency shall execute the attached Standard DOT Title VI assurance. As appropriate, the Local Agency shall include Appendix A, B, or C to the Standard DOT Title VI assurance in any contract utilizing federal funds, land or other aid. The Local Agency shall also include the following in all contract advertisements: The [Local Agency), in accordance with the provisions of Title VI of the Civil Rights Act of I 964 (79 Stat. 252, 42 US.C. §§ 2000d to 2000d-4) and the Regulations, hereby notifies all bidders that it will affirmatively ensure that any contract entered into pursuant to this advertisement, DBEs will be afforded jitll and fair opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, or national origin in consideration for any award. Exhibit J -Page I of 11 Page 129 ADA In any contract utilizing federal funds, land, or other federal aid, the Local Agency shall require the federal­ aid recipient or contractor to provide a statement of written assurance that they will comply with Section 504 and not discriminate on the basis of disability. Uniform Relocation Assistance and Real Property Acquisition Policies Act The Uniform Relocation Assistance and Real Property Acquisition Policies Act, as amended (Public Law 91-646, as amended and Public Law I 00-17, IO I Stat. 246-256). (If the contractor is acquiring real property and displacing households or businesses in the performance of the Agreement). Drug-Free Workplace Act The Drug-Free Workplace Act (Public Law 100-690 Title V, subtitle D, 41 USC 701 et seq.). Age Discrimination Act of 1975 The Age Discrimination Act of 1975, 42 U.S.C. Sections 6101 et. seq. and its implementing regulation, 45 C.F.R. Part 91; Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794, as amended, and implementing regulation 45 C.F.R. Part 84. 23 C.F.R. Part 172 23 C.F.R. Part 172, concerning "Administration of Engineering and Design Related Contracts". 23 C.F.R Part 633 23 C.F.R Part 633, concerning "Required Contract Provisions for Federal-Aid Construction Contracts". 23 C.F.R. Part 635 23 C.F.R. Part 635, concerning "Constmction and Maintenance Provisions". Title VI of the Civil Rights Act of 1964 and 162(a) of the Federal Aid Highway Act of 1973 Title VI of the Civil Rights Act of 1964 and 162(a) of the Federal Aid Highway Act of 1973. The requirements for which are shown in the Nondiscrimination Pr ovisions, which are attached hereto and made a part hereof. Nondiscrimination Provisions: In compliance with Title VI of the Civil Rights Act of 1964 and with Section 162(a) of the Federal Aid Highway Act of 1973, the Contractor, for itself, its assignees and successors in interest, agree as follows: v.Compliance with Regulations The Contractor will comply with the Regulations of the Department of Transportation relative to nondiscrimination in Federally assisted programs of the Department of Transportation (Title 49, Code of Federal Regulations, Part 21, hereinafter referred to as the "Regulations"), which are herein incorporated by reference and made a part of this Agreement. vi.Nondiscrimination The Contractor, with regard to the work performed by it after award and prior to completion of the contract work, will not discriminate on the ground of race, color, sex, mental or physical handicap or national origin in the selection and retention of Subcontractors, including procurement of materials and leases of equipment. The Contractor will not participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the Regulations, including employment practices when the contract covers a program set forth in Appendix C of the Regulations. vii.Solicitations for Subcontracts, Including Procurement of Materials and Equipment In all solicitations either by competitive bidding or negotiation made by the Contractor for work to be performed under a subcontract, including procurement of materials or equipment, each potential Subcontractor or supplier shall be notified by the Contractor of the Contractor's obligations under this Agreement and the Regulations relative to nondiscrimination on the ground of race, color, sex, mental or physical handicap or national origin. viii.Information and Reports The Contractor will provide all information and reports required by the Regulations, or orders and instructions issued pursuant thereto and will permit access to its books, records, accounts, other sources of information and its facilities as may be determined by the State or the FHW A to be pertinent to ascertain compliance with such Regulations, orders and instructions. Where any information required of the Contractor is in the exclusive possession of another who fails or refuses to furnish this information, the Contractor shall so certify to the State, or the FHW A as appropriate and shall set forth what efforts have been made to obtain the information. Exhibit J -Page 2 of 11 Page 130 ix.Sanctions for Noncompliance In the event of the Contractor's noncompliance with the nondiscrimination provisions of this Agreement, the State shall impose such contract sanctions as it or the FHW A may determine to be appropriate, including, but not limited to: a. Withholding of payments to the Contractor under the contract until the Contractor complies, and/orb. Cancellation, termination or suspension of the contract, in whole or in part. Incorporation of Provisions §22 The Contractor will include the provisions of this Exhibit Jin every subcontract, including procurement of materials and leases of equipment, unless exempt by the Regulations, orders, or instructions issued pursuant thereto. The Contractor will take such action with respect to any subcontract or procurement as the State or the FHW A may direct as a means of enforcing such provisions including sanctions for noncompliance; provided, however, that, in the event the Contractor becomes involved in, or is threatened with, litigation with a Subcontractor or supplier as a result of such direction, the Contractor may request the State to enter into such litigation to protect the interest of the State and in addition, the Contractor may request the FHW A to enter into such litigation to protect the interests of the United States. THE REMAINDER OF THIS PAGE INTENTIONALLY LEFT BLANK Exhibit J -Page 3 of 11 Page 131 Assurances for Local Agencies DOT Order No. 1050.2A The [Local Agency] (herein referred to as the "Recipient"), HEREBY AGREES THAT, as a condition to receiving any Federal financial assistance from the U.S. Department ofTransportation (DOT), through the Colorado Department of Transportation and the Federal Highway Administration (FHWA), Federal Transit Administration (FT A), and Federal Aviation Administration (FAA), is subject to and will comply with the following: Statutory/Regulatory Authorities •Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), (prohibits discrimination on the basis of race, color, national origin);•49 C.F.R. Part 21 (entitled Non-discrimination In Federally-Assisted Programs Of The Department Of Transportation-Effectuation Of Title VI Of The Civil Rights Act Of 1964);•28 C.F.R. section 50.3 (U.S. Department of Justice Guidelines for Enforcement of Title VI of the Civil Rights Act of 1964 ); The preceding statutory and regulatory cites hereinafter are referred to as the "Acts" and "Regulations," respectively. General Assurances In accordance with the Acts, the Regulations, and other pertinent directives, circulars, policy, memoranda, and/or guidance, the Recipient hereby gives assurance that it will promptly take any measures necessary to ensure that: "No person in the United States shall, 011 the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of. or be otherwise subjected to discrimination under any program or activity, ''for which the Recipient receives Federal financial assistance f rom DOT. including the FHWA, FTA, or FAA. The Civil Rights Restoration Act of 1987 clarified the original intent of Congress, with respect to Title VI and other Non-discrimination requirements (The Age Discrimination Act of 1975, and Section 504 of the Rehabilitation Act of 1973 ), by restoring the broad, institutional-wide scope and coverage of these non-discrimination statutes and requirements to include all programs and activities of the Recipient, so long as any portion of the program is Federally assisted. Specific Assurances More specifically, and without limiting the above general Assurance, the Recipient agrees with and gives the following Assurances with respect to its Federally assisted FHW A, FT A, and FAA assisted programs: I.The Recipient agrees that each "activity," "facility," or "program," as defined in§§ 21.23(b) and 2 I .23(e) of 49 C.F.R. § 21 will be (with regard to an "activity") facilitated, or will be (with regard to a "facility") operated, or will be (with regard to a "program") conducted in compliance with all requirements imposed by, or pursuant to the Acts and the Regulations. 2.The Recipient will insert the following notification in all solicitations for bids, Requests For Proposals for work, or material subject to the Acts and the Regulations made in connection with all FHW A, FT A and FAA programs and, in adapted form, in all proposals for negotiated agreements regardless of funding source:3."The [Local Agency] in accordance with the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252, 42 US.C. §§ 2000d to 2000d-4) and the Regulations, hereby notifies all bidders that it will affirmatively ensure that any contract entered into pursuant to this advertisement, disadvantaged business enterprises will be afforded full and fair opportunity Exhibit J -Page 4 of 11 Page 132 4.to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, or national origin in consideration for an award." S.The Recipient will insert the clauses of Appendix A and E of this Assurance in every contract or agreement subject to the Acts and the Regulations. 6.The Recipient will insert the clauses of Appendix 8 of this Assurance, as a covenant running with the land, in any deed from the United States effecting or recording a transfer of real property, structures, use, or improvements thereon or interest therein to a Recipient. 7.That where the Recipient receives Federal financial assistance to construct a facility, or part of a facility, the Assurance will extend to the entire facility and facilities operated in connection therewith. 8.That where the Recipient receives Federal financial assistance in the form, or for the acquisition of real property or an interest in real property, the Assurance will extend to rights to space on, over, or under such property. 9.That the Recipient will include the clauses set forth in Appendix C and Appendix D of this Assurance, as a covenant running with the land, in any future deeds, leases, licenses, permits, or similar instruments entered into by the Recipient with other parties: a.for the subsequent transfer of real property acquired or improved under the applicable activity, project, or program; and b.for the construction or use of, or access to, space on, over, or under real property acquired or improved under the applicable activity, project, or program. 10.That this Assurance obligates the Recipient for the period during which Federal financial assistance is extended to the program, except where the Federal financial assistance is to provide, or is in the form of, personal property, or real property, or interest therein, or structures or improvements thereon, in which case the Assurance obligates the Recipient, or any transferee for the longer of the following periods: a.the period during which the property is used for a purpose for which the Federal financial assistance is extended, or for another purpose involving the provision of similar services or benefits; or b.the period during which the Recipient retains ownership or possession of the property. 11.The Recipient will provide for such methods of administration for the program as are found by the Secretary of Transportation or the official to whom he/she delegates specific authority to give reasonable guarantee that it, other recipients, sub-recipients, sub-grantees, contractors, subcontractors, consultants, transferees, successors in interest, and other participants of Federal financial assistance under such program will comply with all requirements imposed or pursuant to the Acts, the Regulations, and this Assurance. 12.The Recipient agrees that the United States has a right to seek judicial enforcement with regard to any matter arising under the Acts, the Regulations, and this Assurance. By signing this ASSURANCE, the [Local Agency] also agrees to comply (and require any sub-recipients, sub­ grantees, contractors, successors, transferees, and /or assignees to comply) with all applicable provisions governing the FHW A, FT A, and FAA 's access to records, accounts, documents, information, facilities, and staff. You also recognize that you must comply with any program or compliance reviews, and/or complaint investigations conducted by CDOT, FHW A, FT A, or FAA. You must keep records, reports, and submit the material for review Exhibit J -Page S of 11 Page 133 upon request to COOT, FHWA, FT A, or FAA, or its designee in a timely, complete, and accurate way. Additionally, you must comply with all other reporting, data collection, and evaluation requirements, as prescribed by law or detailed in program guidance. [Local Agency] gives this ASSURANCE in consideration of and for obtaining any Federal grants, loans, contracts, agreements, property, and/or discounts, or other Federal-aid and Federal financial assistance extended after the date hereof to the recipients by the U.S. Department of Transportation under the FHWA, FT A, and FAA. This ASSURANCE is binding on [Local Agency], other recipients, sub-recipients, sub-grantees, contractors, subcontractors and their subcontractors', transferees, successors in interest, and any other participants in the FHW A, FT A, and FAA funded programs. The person(s) signing below is authorized to sign this ASSURANCE on behalfof the Recipient. (Name of Recipient) by ______________ _ (Signature of Authorized Officia{) DATED ____________ _ Exhibit J -Page 6 of 11 Page 134 APPENDIX A During the performance of this contract, the contractor, for itself, its assignees, and successors in interest (hereinafter referred to as the "contractor") agrees as follows: I.Compliance with Regulations: The contractor (hereinafter includes consultants) will comply with the Acts and the Regulations relative to Non-discrimination in Federally-assisted programs of the U.S. Department of Transportation, FHW A, as they may be amended from time to time, which are herein incorporated by reference and made a part of this contract. 2.Non-discrimination: The contractor, with regard to the work performed by it during the contract, will not discriminate on the grounds of race, color, or national origin in the selection and retention of subcontractors, including procurements of materials and leases of equipment. The contractor will not participate directly or indirectly in the discrimination prohibited by the Acts and the Regulations, including employment practices when the contract covers any activity, project, or program set forth in Appendix B of 49 CFR Part 21. 3.Solicitations for Subcontracts, Including Procurements of Materials and Equipment: In all solicitations, either by competitive bidding, or negotiation made by the contractor for work to be performed under a subcontract, including procurements of materials, or leases of equipment, each potential subcontractor or supplier will be notified by the contractor of the contractor's obligations under this contract and the Acts and the Regulations relative to Non-discrimination on the grounds ofrace, color, or national origin. 4.Information and Reports: The contractor will provide all information and reports required by the Acts, the Regulations, and directives issued pursuant thereto and will permit access to its books, records, accounts, other sources of information, and its facilities as may be determined by the [Local Agency], CDOT or FHW A to be pertinent to ascertain compliance with such Acts, Regulations, and instructions. Where any information required of a contractor is in the exclusive possession of another who fails or refuses to furnish the information, the contractor will so certify to the [Local Agency], COOT or FHWA, as appropriate, and will set forth what efforts it has made to obtain the information. 5.Sanctions for Noncompliance: In the event of a contractor's noncompliance with the Non-discrimination provisions of this contract, the [Local Agency] will impose such contract sanctions as it, CDOT or FHW A may determine to be appropriate, including, but not limited to: a.withholding payments to the contractor under the contract until the contractor complies; and/or b.cancelling, terminating, or suspending a contract, in whole or in part. 6.Incorporation of Pro\'isions: The contractor will include the provisions of paragraphs one through six in every subcontract, including procurements of materials and leases of equipment, unless exempt by the Acts, the Regulations and directives issued pursuant thereto. The contractor will take action with respect to any subcontract or procurement as the Recipient or the [Local Agency], COOT or FHW A may direct as a means of enforcing such provisions including sanctions for noncompliance. Provided, that if the contractor becomes involved in, or is threatened with litigation by a subcontractor, or supplier because of such direction, the contractor may request the Recipient to enter into any litigation to protect the interests of the Recipient. In addition, the contractor may request the United States to enter into the litigation to protect the interests of the United States. Exhibit J -Page 7 of 11 Page 135 APPENDIX B CLAUSES FOR DEEDS TRANSFERRING UNITED STATES PROPERTY The following clauses will be included in deeds effecting or recording the transfer of real property, structures, or improvements thereon, or granting interest therein from the United States pursuant to the provisions of Assurance 4: NOW, THEREFORE, the U.S. Department of Transportation as authorized by law and upon the condition that the [Local Agency] will accept title to the lands and maintain the project constructed thereon in accordance with (Name of Appropriate Legislative Authority), the Regulations for the Administration of (Name of Appropriate Program), and the policies and procedures prescribed by the FHWA of the U.S. Department of Transportation in accordance and in compliance with all requirements imposed by Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in Federally-assisted programs of the U.S Department of Transportation pertaining to and effectuating the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252; 42 U.S.C. § 2000d to 2000d-4), does hereby remise, release, quitclaim and convey unto the [Local Agency) all the right, title and interest of the U.S. Department of Transportation in and to said lands described in Exhibit A attached hereto and made a part hereof. (HABENDUM CLAUSE) TO HAVE AND TO HOLD said lands and interests therein unto [Local Agency] and its successors forever, subject, however, to the covenants, conditions, restrictions and reservations herein contained as follows, which will remain in effect for the period during which the real property or structures are used for a purpose for which Federal financial assistance is extended or for another purpose involving the provision of similar services or benefits and will be binding on the [Local Agency] its successors and assigns. The [Local Agency], in consideration of the conveyance of said lands and interests in lands, does hereby covenant and agree as a covenant running with the land for itself, its successors and assigns, that (I) no person will on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination with regard to any facility located wholly or in part on, over, or under such lands hereby conveyed [,] [and]* (2) that the [Local Agency] will use the lands and interests in lands and interests in lands so conveyed, in compliance with all requirements imposed by or pursuant to Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in Federally-assisted programs of the U.S. Department of Transportation, Effectuation of Title VI of the Civil Rights Act of 1964, and as said Regulations and Acts may be amended [, and (3) that in the event of breach of any of the above-mentioned non­ discrimination conditions, the Department will have a right to enter or re-enter said lands and facilities on said land, and that above described land and facilities will thereon revert to and vest in and become the absolute property of the U.S. Department of Transportation and its assigns as such interest existed prior to this instruction].* (*Reverter clause and related language to be used only when it is determined that such a clause is necessary in order to make clear the purpose of Title VI.) Exhibit J -Page 8 of 11 Page 136 APPENDIXC CLAUSES FOR TRANSFER OF REAL PROPERTY ACQUIRED OR IMPROVED UNDER THE ACTIVITY, FACILITY, OR PROGRAM The following clauses will be included in deeds, licenses, leases, permits, or similar instruments entered into by the [Local Agency] pursuant to the provisions of Assurance 7(a): A.The (grantee, lessee, permittee, etc. as appropriate) for himself/herself, his/her heirs, personal representatives, successors in interest, and assigns, as a part of the consideration hereof, does hereby covenant and agree [in the case of deeds and leases add "as a covenant running with the land"] that: 1.In the event facilities are constructed, maintained, or otherwise operated on the property described in this (deed, license, lease, pem1it, etc.) for a purpose for which a U.S. Department of Transportation activity, facility, or program is extended or for another purpose involving the provision of similar services or benefits, the (grantee, licensee, lessee, permittee, etc.) will maintain and operate such facilities and services in compliance with all requirements imposed by the Acts and Regulations (as may be amended) such that no person on the grounds of race, color, or national origin, will be excluded from participation in, denied the benefits of, or be otherwise subjected to discrimination in the use of said facilities. B.With respect to licenses, leases, permits, etc., in the event of breach of any of the above Non-discrimination covenants, [Local Agency] will have the right to terminate the (lease, license, permit, etc.) and to enter, re-enter, and repossess said lands and facilities thereon, and hold the same as if the (lease, license, permit, etc.) had never been made or issued.* C.With respect to a deed, in the event of breach of any of the above Non-discrimination covenants, the [Local Agency] will have the right to enter or re-enter the lands and facilities thereon, and the above described lands and facilities will there upon revert to and vest in and become the absolute property of the [Local Agency] and its assigns.* (*Reverter clause and related language to be used only when it is determined that such a clause is necessary to make clear the purpose of Title VI.) Exhibit J -Page 9 of 11 Page 137 APPENDIXD CLAUSES FOR CONSTRUCTION/USE/ACCESS TO REAL PROPERTY ACQUIRED UNDER THE ACTIVITY, FACILITY OR PROGRAM The following clauses will be included in deeds, licenses, permits, or similar instruments/agreements entered into by [Local Agency] pursuant to the provisions of Assurance 7{b): A.The (grantee, licensee, permittee, etc., as appropriate) for himself/herself, his/her heirs, personal representatives, successors in interest, and assigns, as a part of the consideration hereof, does hereby covenant and agree (in the case of deeds and leases add, "as a covenant running with the land") that (I) no person on the ground of race, color, or national origin, will be excluded from participation in, denied the benefits of, or be otherwise subjected to discrimination in the use of said facilities, (2) that in the construction of any improvements on, over, or under such land, and the furnishing of services thereon, no person on the ground of race, color, or national origin, will be excluded from participation in, denied the benefits of, or otherwise be subjected to discrimination, (3) that the (grantee, licensee, lessee, permittee, etc.) will use the premises in compliance with all other requirements imposed by or pursuant to the Acts and Regulations, as amended, set forth in this Assurance. B.With respect to (licenses, leases, permits, etc.), in the event of breach of any of the above Non-discrimination covenants, [Local Agency] will have the right to terminate the (license, permit, etc., as appropriate) and to enter or re-enter and repossess said land and the facilities thereon, and hold the same as if said (license, permit, etc., as appropriate) had never been made or issued.* C.With respect to deeds, in the event of breach of any of the above Non-discrimination covenants, [Local Agency] will there upon revert to and vest in and become the absolute property of[Local Agency] of Transportation and its assigns.* (*Reverter clause and related language to be used only when it is determined that such a clause is necessary to make clear the purpose of Title VI.) Exhibit J -Page IO of 11 Page 138 APPENDIXE During the performance of this contract, the contractor, for itself, its assignees, and successors in interest (hereinafter referred to as the "contractor") agrees to comply with the following non-discrimination statutes and authorities; including but not limited to: Pertinent Non-Discrimination Authorities: •Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), (prohibits discrimination on the basis of race, color, national origin); and 49 CFR Part 21. •The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42 U.S.C. § 4601 ), (prohibits unfair treatment of persons displaced or whose property has been acquired because of Federal or Federal-aid programs and projects); •Federal-Aid Highway Act of 1973, (23 U.S.C. § 324 et seq.), (prohibits discrimination on the basis of sex); •Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended, (prohibits discrimination on the basis of disability); and 49 CFR Part 27; •The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101 et seq.), (prohibits discrimination on the basis of age); •Airport and Airway Improvement Act of 1982, (49 USC § 471, Section 47123), as amended, (prohibits discrimination based on race, creed, color, national origin, or sex); •The Civil Rights Restoration Act of 1987, (PL I 00-209), (Broadened the scope, coverage and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms "programs or activities" to include all of the programs or activities of the Federal-aid recipients, sub-recipients and contractors, whether such programs or activities are Federally funded or not); •Titles II and III of the Americans with Disabilities Act, which prohibit discrimination on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing entities (42 U.S.C. §§ 12131-12189) as implemented by Department of Transportation regulations at 49 C.F.R. parts 37 and 38; •The Federal Aviation Administration's Non-discrimination statute (49 U.S.C. § 47123) (prohibits discrimination on the basis of race, color, national origin, and sex); •Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low­ Income Populations, which ensures discrimination against minority populations by discouraging programs, policies, and activities with disproportionately high and adverse human health or environmental effects on minority and low-income populations; •Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, and resulting agency guidance, national origin discrimination includes discrimination because of Limited English proficiency (LEP). To ensure compliance with Title VI, you must take reasonable steps to ensure that LEP persons have meaningful access to your programs (70 Fed. Reg. at 74087 to 74100); •Title IX of the Education Amendments of 1972, as amended, which prohibits you from discriminating because of sex in education programs or activities (20 U.S.C. 1681 et seq). Exhibit J -Page 11 of 11 Page 139 EXHIBIT K, FFATA SUPPLEMENTAL FEDERAL PROVISIONS State of Colorado Supplemental Provisions for Federally Funded Contracts, Grants, and Purchase Orders Subject to The Federal Funding Accountability and Transparency Act of 2006 (FFAT A), As Amended Revised as of 3-20-13 The contract, grant, or purchase order to which these Supplemental 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 Supplemental Provisions, the Special Provisions, the contract or any attachments or exhibits incorporated into and made a part of the contract, the provisions of these Supplemental Provisions shall control. 1.Definitions. For the purposes of these Supplemental Provisions, the following terms shall have the meanings ascribed to them below. 1.1. "Award" means an award of Federal financial assistance that a non-Federal Entity receives or administers in the form of: 1. 1. 1. Grants; 1.1.2. Contracts; 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); 1.1.4. Loans; 1.1.5. Loan Guarantees; 1.1.6. Subsidies; 1.1.7. Insurance; 1.1.8. Food commodities; 1.1.9. Direct appropriations; 1.1.10. Assessed and voluntary contributions; and 1.1.11. Other financial assistance transactions that authorize the expenditure of Federal funds by non- Federal Entities. Award does 1101 include: 1.1.12. Technical assistance, which provides services in lieu of money; 1.1.13. A transfer of title to Federally-owned property provided in lieu of money; even if the award is called a grant; 1.1.14. Any award classified for security purposes; or 1.1.15. 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). 1.2. "Contract" means the contract to which these Supplemental Provisions are attached and includes all Award types in §1.1.1 through 1.1.11 above. 1.3. "Contractor" means the party or parties to a Contract funded, in whole or in part, with Federal financial assistance, other than the Prime Recipient, and includes grantees, subgrantees, Subrecipients, and borrowers. For purposes of Transparency Act reporting, Contractor does not include Vendors. 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. 1.5. "Entity" means all of the following as defined at 2 CFR part 25, subpart C; 1.5.1. A governmental organization, which is a State, local government, or Indian Tribe; 1.5.2. A foreign public entity; 1.5.3. A domestic or foreign non-profit organization; Exhibit K -Page I of 4 Page 140 1.5.4. A domestic or foreign for-profit organization; and 1.5.5. A Federal agency, but only a Subrecipient under an Award or Subaward to a non-Federal entity. 1.6. "Executive" means an officer, managing partner or any other employee in a management position. 1.7. "Federal Award Identification Number (FAIN)" means an Award number assigned by a Federal agency to a Prime Recipient. 1.8. "FFATA" means the Federal Funding Accountability and Transparency Act of 2006 (Public Law I 09- 282), as amended by §6202 of Public Law 110-252. FFATA, as amended, also is referred to as the "Transparency Act." 1.9. "Prime Recipient" means a Colorado State agency or institution of higher education that receives an Award. 1.10. "Subaward" means a legal instrument pursuant to which a Prime Recipient of Award funds awards all or a portion of such funds to a Subrecipient, in exchange for the Subrecipient's support in the perfom1ance of all or any portion of the substantive project or program for which the Award was granted. 1.11. "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 Subreci pient 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 Subgrantee. 1.12. "Subrecipient Parent DUNS Number" means the subrecipient parent organization's 9-digit Data Universal Numbering System (DUNS) number that appears in the subrecipient's System for Award Management (SAM) profile, if applicable. 1.13. "Supplemental Provisions" means these Supplemental Provisions for Federally Funded Contracts, Grants, and Purchase Orders subject to the Federal Funding Accountability and Transparency Act of 2006, As Amended, as may be revised pursuant to ongoing guidance from the relevant Federal or State of Colorado agency or institution of higher education. 1.14. "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. 1.15. "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: 1.15.1. Salary and bonus; 1.15.2. 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; 1.15.3. 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; 1.15.4. Change in present value of defined benefit and actuarial pension plans; 1.15.5. Above-market earnings on deferred compensation which is not tax-qualified; 1.15.6. Other compensation, if the aggregate value of all such other compensation (e.g. severance, tem1ination payments, value of life insurance paid on behalf of the employee, perquisites or property) for the Executive exceeds $10,000. 1.16. "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. 1.17 "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. Exhibit K -Page 2 of 4 Page 141 2.Compliance. Contractor shall comply with all applicable provisions of the Transparency Act and the regulations issued pursuant thereto, including but not limited to these Supplemental Provisions. Any revisions to such provisions or regulations shall automatically become a part of these Supplemental 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. 3.System for Award Management (SAM) and Data Universal Numbering System (DUNS) Requirements. 3.1. 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. 3.2. 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. 4.Total Compensation. Contractor shall include Total Compensation in SAM for each of its five most highly compensated Executives for the preceding fiscal year if: 4.1. The total Federal funding authorized to date under the Award is $25,000 or more; and 4.2. In the preceding fiscal year, Contractor received: 4.2.1. 80% or more of its annual gross revenues from Federal procurement contracts and subcontracts and/or Federal financial assistance Awards or Subawards subject to the Transparency Act; and 4.2.2. $25,000,000 or more in annual gross revenues from Federal procurement contracts and subcontracts and/or Federal financial assistance Awards or Subawards subject to the Transparency Act; and 4.3. The public does not have access to information about the compensation of such Executives through periodic reports filed under section 13(a) or 1 S(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. 5.Reporting. Contractor shall report data elements to SAM and to the Prime Recipient as required in §7 below 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 Supplemental Provisions and the cost of producing such reports shall be included in the Contract price. The reporting requirements in§ 7 below are based on guidance from the US Office of Management and Budget (0MB), and as such are subject to change at any time by 0MB. Any such changes shall be automatically incorporated into this Contract and shall become part of Contractor's obligations under this Contract, as provided in §2 above. The Colorado Office of the State Controller will provide summaries of revised 0MB reporting requirements at http://www.colorado.gov/dpa/dfp/sco/FF AT A.him. 6.Effective Date and Dollar Threshold for Reporting. The effective date of these Supplemental Provisions apply to new Awards as of October I, 2010. Reporting requirements in §7 below apply to new Awards as of October I, 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.Subrecipient Reporting Requirements. If Contractor is a Subrecipient, Contractor shall report as set forth below. 7.1 ToSAM. 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 Subaward was made: Exhibit K -Page 3 of 4 Page 142 7.1.1 Subrecipient DUNS Number; 7.1.2 Subrecipient DUNS Number+ 4 if more than one electronic funds transfer (EFT) account; 7.1.3 Subrecipient Parent DUNS Number; 7.1.4 Subrecipient's address, including: Street Address, City, State, Country, Zip + 4, and Congressional District; 7.1.5 Subrecipient's top 5 most highly compensated Executives if the criteria in §4 above are met; and 7.1.6 Subrecipient's Total Compensation of top 5 most highly compensated Executives if criteria in §4 above met. 7.2 To Prime Recipient. A Subrecipient shall report to its Prime Recipient, upon the effective date of the Contract, the following data elements: 7.2.1 Subrecipient's DUNS Number as registered in SAM. 7.2.2 Primary Place of Performance Information, including: Street Address, City, State, Country, Zip code + 4, and Congressional District. 8.Exemptions. 8.1. These Supplemental 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. 8.2 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. 8.3 Effective October I, 20 I 0, "Award" currently means a grant, cooperative agreement, or other arrangement as defined in Section 1.1 of these Special Provisions. On future dates "Award" may include other items to be specified by 0MB in policy memoranda available at the 0MB Web site; Award also will include other types of Awards subject to the Transparency Act. 8.4 There are no Transparency Act reporting requirements for Vendors. Event of Default. Failure to comply with these Supplemental 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. Exhibit K -Page 4 of 4 Page 143 EXHIBIT L, SAMPLE SUBRECIPIENT MONITORING AND RISK ASSESSMENT £.� CDOT SUBRECIPIENT RISK ASSESSMENT Date: Name of Entity (Subrecipient): Name of Project/ Program: Estimated Award Period: Entity Executive Director or VP: Entity Chief Financial Offi cer: Entity Representative for this Self Assessment: Instructions: {See "Instructions• tab for more information) 1. Check only one box for each question. All questions are required to be answered. Yes No N/A 2. Utili=e the "Comment" section below the last question for additional responses. 3. When complete, check the box at the bottom of the form to authori=e. EXPERIENCE ASSESSMENT Yes No N/A l ls your entity new to operating or managing federal funds (has not done so within the past three □ □ 1vears)? i 1s this funding program new for your entity (managed for less than three years)? Examples of □ □ lfundina aroarams include CMAQ TAP, STP-M, etc. ! Does your staff assigned to the program have at least three full years of experience with this □ □ federal oroeram? MONITORING/AUDIT ASSESSMENT Yos No N/A i Has your entity had an on-site project or grant review from an external entity /e.g., CDOT, I I □DFHWA) within the last three vears? a al Were there non-<:omoliance issues in this orior review? I I l J l J b) What were the number and extent of Issues in prior review? n Q □ 1 to2 OPERATION ASSESSMENT Yes No N/A § Does your entity have a time and effort reporting system in place to account for 100% of all employees' time, that can provide a breakdown of the actual time spent on each funded n D project? If No, in the comment section please explain how you intend to document 100% of hours worked by employees and breakdown of time spent on each funding project. FINANCIAL ASSESSMENT Yes No N/A Z a) Does your entity have an indirect cost rate that is approved and current? n D b) If Yes, who approved the rate, and what date was it approved? .!!. Is this grant/award 10% or more of your entity's overall funding? D D >JO;\, <J(Yb 2 Has your entity returned lapsed* funds? *Funds "lapse" when they are no longer available for I I 0 □ obliaation. 10 Has your entity had difficulty meeting local match requirements in the last three years? n D D !! What is the total federal funding your entity has been awarded for the last federal fiscal year, and what Is vour entitv's fiscal vear end? Exhibit L - Page l of 3 Page 144 INTERNAL CONTROLS ASSESSMENT Yes No N/A p R Has your entity had any significant changes in key personnel or accounting system(s) in the last year? (e.g., Controller, Exec Director, Program Mgr, Accounting Mgr, etc.) If Yes, in the □□ □ comment section, please identify the accounting system(s), and I or list personnel positions and identify any that are vacant. 13 Does your entity have financial procedures and controls in place to accommodate a federal-aid □ □ loroiect? 14 Does your accounting system identify the receipts and expenditures of program funds □ □ separately for each award? 15 Will your accounting system provide for the recording of expenditures for each award by the □ □ budget cost categories shown in the approved budget? 16 Does your agency have a review process for all expenditures that will ensure that all costs are I I □ □ reasonable, allowable and allocated correctly to each funding source? If Yes, in the comment section, please explain your current process for reviewing costs. 17 How many total FTE perform accounting functions within your organization? I I LJ �6 2 to S <2 IMPACT ASSESSMENT Yes No N/A ll For this upcoming federal award or in the immediate future, does your entity have any potential conflicts of interest* in accordance with applicable Federal awarding agency policy? If Yes, please disclose these conflicts in writing, along with supporting information, and submit with □ □ this form. ( • Any practices, activities or relationships that reasonably appear to be in conflict with the full performance of t he Subreopient's obligations to the State.) 19 For this award, has your entity disclosed to COOT, in writing, violations of Federal criminal law involving fraud, bribery, or gratuity violations potentially affecting the award? Response □ □ □ options: YES= Check if hove one or more violotion(s) and have either disclosed previously to CDOT or as part of this form. In the comment section, list all violations with names of supporting documentation and submit with this form. NO= Check if have one or more vialatian(s) and have not disclosed previously or will not disclose as part of this farm. Explain in the comment section. N/A = Check if have no violations. PROGRAM MANA GEMENT ASSESSMENT Yes No N/A 20 Does your entity have a written process/procedure or certification statement approved by your governing board ensuring critical project personnel are capable of effectively managing Federal-n □ □ aid projects? If Yes, please submit with this form. 21 Does your entity have written procurement policies or certification statement for consultant selection approved by your governing board in compliance with 23 CFR 172*? If Yes, please n submit with this form. ( •The Brooks Ad requires agencies to promote open competition by advertising, □ □ ranking, selecting, and negotiating cont rads based on demonstrated competence and quolif1catlons, at a if air and reasonable price.) ll a) Is your staff familiar with the relevant COOT manuals and federal program requirements? n n LJ b) Does your entity have a written policy or a certification statement approved by your governing board assuring federal-aid projects wm receive adequate inspections? If Yes, please n □ □ submit with this form. c) Does your entity have a written process or a certification statement approved by your governing board assuring a contractor's work will be completed in conformance with approved n □ □ plans and specifications? If Yes, please submit with this farm. Exhibit L -Page 2 of 3 Page 145 d) Does your entity have a written policy or certification statement approved by your governing board assuring that materials installed on the projects are sampled and tested per approved 1crocesses. /( Yes oleose submit with this form. e) Does your entity have a written policy or certification statement approved by your governing board assuring that only US manufactured steel will be incorporated into the project (Buy America reauirements I? If Yes olease submit with this form. I I D D I I D D Comments -As needed, include the question number and provide comments related to the above questions. Insert additional rows as needed. . n By checking this box, the Executive Director, VP or Chief Financial Officer of this entity certifies that all �T loo/ Vers;on: Information provided on this form is true and correct. v2 0 /081816) Exhibit L -Page 3 of 3 Page 146 EXHIBIT M, 0MB Uniform Guidance for Federal Awards Subject to The Office of Management and Budget Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards ("Uniform Guidance"), Federal Register, Vol. 78, No. 248, 78590 The agreement to which these Uniform Guidance Supplemental 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 Supplemental Provisions, the Special Provisions, the agreement or any attachments or exhibits incorporated into and made a part of the agreement, the provisions of these Uniform Guidance Supplemental Provisions shall control. In the event of a conflict between the provisions of these Supplemental Provisions and the FF AT A Supplemental Provisions, the FF AT A Supplemental Provisions shall control. 9.Definitions. For the purposes of these Supplemental Provisions, the following terms shall have the meanings ascribed to them below. 9.1. "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. 2 CFR §200.38 9.2. "Federal Award" means an award of Federal financial assistance or a cost-reimbursement contract under the Federal Acquisition Requirements by a Federal Awarding Agency to a 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 contractor or payments to an. individual that is a beneficiary of a Federal program. 9.3. "Federal Awarding Agency" means a Federal agency providing a Federal Award to a Recipient. 2 CFR §200.37 . 9.4. "FFATA" means the Federal Funding Accountability and Transparency Act of 2006 (Public Law 109- 282), as amended by §6202 of Public Law 110-252. 9.5. "Grant" or "Grant Agreement" means an agreement setting forth the terms and conditions of an Award. The term does not include an agreement that provides only direct Federal cash assistance to an individual, a subsidy, a loan, a loan guarantee, insurance, or acquires property or services for the direct benefit of use of the Federal Awarding Agency or Recipient. 2 CFR §200.5 l. 9.6. "OMB" means the Executive Office of the President, Office of Management and Budget. 9.7. "Recipient" means a Colorado State department, agency or institution of higher education that receives a Federal Award from a Federal Awarding Agency to carry out an activity under a Federal program. The term does not include Subrecipients. 2 CFR §200.86 9.8. "State" means the State of Colorado, acting by and through its departments, agencies and institutions of higher education. 9.9. "Subrecipient" means a non-Federal entity receiving an Award from a Recipient to carry out part of a Federal program. The term does not include an individual who is a beneficiary of such program. 9.10. "Uniform Guidance" means the Office of Management and Budget Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, which supersedes requirements from 0MB Circulars A-21, A-87, A-110, and A-122, 0MB 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 Subrecipients unless the Uniform Guidance or the terms and conditions of the Federal Award specifically indicate otherwise. 9.11. "Uniform Guidance Supplemental Provisions" means these Supplemental Provisions for Federal Awards subject to the 0MB Uniform Guidance, as may be revised pursuant to ongoing guidance from relevant Federal agencies or the Colorado State Controller. 10.Compliance. Subrecipient shall comply with all applicable provisions of the Uniform Guidance, including but not limited to these Uniform Guidance Supplemental Provisions. Any revisions to such provisions automatically shall become a part of these Supplemental Provisions, without the necessity of either party executing any further Exhibit M -Page l of 5 Page 147 instrument. The State of Colorado may provide written notification to Subrecipient of such revisions, but such notice shall not be a condition precedent to the effectiveness of such revisions. 11.Procurement Standards. 3.1 Procurement Procedures. 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, including without limitation, §§200.318 through 200.326 thereof. 3.2 Procurement of Recovered Materials. If Subrecipient is a State Agency or an agency of a political subdivision of a 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 ofrecovered 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; procuring 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. 4.Access to Records. Subrecipient shall permit Recipient and auditors to have access to Subrecipient'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 §200.33 l(a)(5). 5.Single Audit Requirements. IfSubrecipient expends $750,000 or more in Federal Awards during Subrecipient's fiscal year, 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 §200.50 I. 5.1 Election. 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). 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 tenns and conditions of the Federal award do not require a financial statement audit of 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. 5.2 Exemption. If Subrecipient expends less than $750,000 in Federal Awards during its fiscal year, Subrecipient shall be exempt from Federal audit requirements for 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. 5.3 Subrecipient Compliance Responsibility. 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. 6.Contract Provisions for Subrecipient Contracts. Subrecipient shall comply with and shall include all of the following applicable provisions in all subcontracts entered into by it pursuant to this Grant Agreement. 6.1 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-l .4(b), in accordance with Executive Order 11246, "Equal Employment Opportunity" (30 FR 12319, 12935, 3 CFR Part, 1964-1965 Comp., p. 339), as Exhibit M -Page 2 of 5 Page 148 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 Opportunity, Department of Labor." "During the performance of this contract, the contractor agrees as follows: (I)The 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 for employment, notices to be provided by the contracting officer setting forth the provisions of this nondiscrimination clause. (2)The 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. (3)The 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 shal 1 post copies of the notice in conspicuous places available to employees and applicants for employment. ( 4)The 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. (5)The 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. (6)In the event of the 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. (7)The contractor will include the provisions of paragraphs ( l) 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 the 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." 4.2 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. Exhibit M -Page 3 of 5 Page 149 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. 4.3 Rights to Inventions Made Under a Contract or Agreement. If the Federal Award meets the definition of"funding agreement" 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 perfom1ance of experimental, developmental, or research work under that "funding agreement," 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 Agreements," and any implementing regulations issued by the awarding agency. 4.4 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 sub grants 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. 7401-767 lq) 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). 4.5 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 0MB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR part 1986 Comp., p. 189) and 12689 (3 CFR part 1989 Comp., p. 235), "Debar ment 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. 4.6 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. 7.Certifications. 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 §200.20 l (3). If the required level of activity or effort was not carried out, the amount of the Award must be adjusted. 2.8.Event of Default. Failure to comply with these Uniform Guidance Supplemental Provisions shall constitute an event of default under the Grant Agreement (2 CFR §200.339) and the State may terminate the Grant 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 Grant, at law or in equity. 9.Effective Date. The effective date of the Uniform Guidance is December 26, 2013. 2 CFR §200.110. The procurement standards set forth in Uniform Guidance §§200.317-200.326 are applicable to new Awards made by Exhibit M -Page 4 of 5 Page 150 Recipient as of December 26, 2015. The standards set forth in Uniform Guidance Subpart F-Audit Requirements are applicable to audits of fiscal years beginning on or after December 26, 2014. 10.Performance Measurement The Uniform Guidance requires completion of OMS-approved standard information collection forms (the PPR). The form focuses on outcomes, as related to the Federal Award Perfonnance Goals that awarding Federal agencies are required to detail in the Awards. Section 200.301 provides guidance to Federal agencies to measure performance in a way that will help the Federal awarding agency and other non-Federal entities to improve program outcomes. The Federal awarding agency is required to provide recipients with clear performance goals, indicators, and milestones (200.210). Also, must require the recipient to relate financial data to performance accomplishments of the Federal award. Exhibit M -Page 5 of 5 Page 151 OLA #: 331001981 Routing #: 20-HA4-XC-00018-M0001 Document Builder Generated Rev. 12/09/2016 Page 1 of 2 STATE OF COLORADO AMENDMENT Amendment #: 1 Project #: AQC M405-024 (23040) SIGNATURE AND COVER PAGE State Agency Department of Transportation Amendment Routing Number 20-HA4-XC-00018-M0001 Local Agency TOWN OF ESTES PARK Original Agreement Routing Number 20-HA4-XC-00018 Agreement Maximum Amount $2,313,498.00 Agreement Performance Beginning Date October 21, 2019 Initial Agreement expiration date October 20, 2029 THE PARTIES HERETO HAVE EXECUTED THIS AMENDMENT Each person signing this Amendment represents and warrants that he or she is duly authorized to execute this Amendment and to bind the Party authorizing his or her signature. STATE OF COLORADO Jared S. Polis, Governor Department of Transportation Shoshana M. Lew, Executive Director ___________________________________________ Stephen Harelson, P.E., Chief Engineer Date: _________________________ LOCAL AGENCY Town of Estes Park ___________________________________________ Signature ___________________________________________ By: (Print Name and Title) Date: _________________________ Additional Local Agency Signatures Town of Estes Park Attest: ________________________________ Signature Date: _________________________ Approved as to Form:_______________________ Town Attorney Date:__________________________ In accordance with §24-30-202 C.R.S., this Amendment 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:_____________________ Attachment 3 Page 152 OLA #: 331001981 Routing #: 20-HA4-XC-00018-M0001 Document Builder Generated Rev. 12/09/2016 Page 2 of 2 1)PARTIES This Amendment (the “Amendment”) to the Original Agreement shown on the Signature and Cover Page for this Amendment (the “Agreement”) is entered into by and between the Local Agency and the State. 2)TERMINOLOGY Except as specifically modified by this Amendment, all terms used in this Amendment that are defined in the Agreement shall be construed and interpreted in accordance with the Agreement. 3)EFFECTIVE DATE AND ENFORCEABILITY A.Amendment Effective Date This Amendment shall not be valid or enforceable until the Amendment Effective Date shown on the Signature and Cover Page for this Amendment. The State shall not be bound by any provision of this Amendment before that Amendment Effective Date, and shall have no obligation to pay the Local Agency for any Work performed or expense incurred under this Amendment either before or after the Amendment term shown in §3.B of this Amendment B.Amendment Term The Parties’ respective performances under this Amendment and the changes to the Agreement contained herein shall commence on the Amendment Effective Date shown on the Signature and Cover Page for this Amendment and shall terminate on the termination of the Agreement. 4)PURPOSE The Parties entered into the Agreement for the design and construction of intersection improvements on US 36 and Community Drive. The Parties now desire to update the Funding Provisions 5)MODIFICATIONS The parties now desire to: a)Increase the total budget by $1,407,591.00 from $905,907.00 to $2,313,498.00; i.Federal funds are increased by $710,000.00 from $750,000.00 to $1,460,000.00. ii.Local funds are increased by 147,591.00 from $155,907.00 to $303,498.00. iii.Federal and Local percentages remain unchanged. iv.Add State funds (100% State) of $550,000.00. b)Replace Exhibit C with Exhibit C-1, which is attached hereto. Any reference in the Agreement to Exhibit C shall be a reference to Exhibit C-1. 6)LIMITS OF EFFECT This Amendment is incorporated by reference into the Agreement, and the Agreement and all prior amendments or other modifications to the Agreement, if any, remain in full force and effect except as specifically modified in this Amendment. Except for the Special Provisions contained in the Agreement, in the event of any conflict, inconsistency, variance, or contradiction between the provisions of this Amendment and any of the provisions of the Agreement or any prior modification to the Agreement, the provisions of this Amendment shall in all respects supersede, govern, and control. The provisions of this Amendment shall only supersede, govern, and control over the Special Provisions contained in the Agreement to the extent that this Amendment specifically modifies those Special Provisions. THE REMAINDER OF THIS PAGE IS INTENTIONALLY LEFT BLANK Page 153 Federal $ State $ LA Work (1 SA) Exhibit C-1: Page 1 of 3 EXHIBIT C-1: FUNDING PROVISIONS Town of Estes Park & Project # AQC M405-024 (23040) A. Cost of Work Estimate The Local Agency has estimated the total cost the Work to be $2,313,498.00, which is to be funded as follows: 1. FUNDING AQC M405-024 (23040) a. Federal Funds (82.79% of Award) $1,460,000.00 c. Local Agency Funds (17.21% of Award) $303,498.00 c. State Funds (100% State funds) $550,000.00 ____________________________________________________________________________________ TOTAL FUNDS ALL SOURCES $2,313,498.00 ____________________________________________________________________________________ 2. OMB UNIFORM GUIDANCE a. Federal Award Identification Number (FAIN): TBD b. Name of Federal Awarding Agency: FHWA c. Local Agency Unique Entity Identifier TBD d. Assistance Listing # Highway Planning and Construction ALN 20.205 e. Is the Award for R&D? No f. Indirect Cost Rate (if applicable) N/A g. Amount of Federal Funds Obligated by this Action: $0.00 h. Amount of Federal Funds Obligated to Date (including this Action): $0.00 ____________________________________________________________________________________ 3. ESTIMATED PAYMENT TO LOCAL AGENCY a. Federal Funds Budgeted $1,460,000.00 b. State Funds Budgeted $550,000.00 c. Less Estimated Federal Share of CDOT-Incurred Costs $0.00 ____________________________________________________________________________________ TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY 86.88% $2,010,000.00 TOTAL ESTIMATED FUNDING BY LOCAL AGENCY 13.12% $303,498.00 TOTAL PROJECT ESTIMATED FUNDING 100.00% $2,313,498.00 ________________________________________________________________________________ 4. FOR CDOT ENCUMBRANCE PURPOSES AQC M405-024 (23040) a. Total Encumbrance Amount (Federal + State + Local Agency Funds) $2,313,498.00 b. Less ROW Acquisition 3111 and/or ROW Relocation 3109 $0.00 ____________________________________________________________________________________ NET TO BE ENCUMBERED BY CDOT IS AS FOLLOWS $2,313,498.00 ____________________________________________________________________________________ Note: No funds are currently available. Design and Construction funds will become available after execution of an Option letter (Exhibit B) or formal Amendment. ____________________________________________________________________________________ WBS Element 23040.10.30 Performance Period Start*/End Date Design 3020 $0.00 TBD-TBD WBS Element 23040.20.10 Performance Period Start*/End Date Const. 3301 $0.00 TBD-TBD ____________________________________________________________________________________ Page 154 Exhibit C-1: Page 2 of 3 *For AQC M405-024 (23040) the Local Agency should not begin work until all three (3) of the following are in place: 1) Phase Performance Period Start Date; 2) the execution of the document encumbering funds for the respective phase; and 3) Local Agency receipt of the official Notice to Proceed. Any work performed before these three (3) milestones are achieved will not be reimbursable. B.Funding Ratios Project AQC M405-024 (23040) Federal Funds The funding ratio for the federal funds for this Work is 82.79% federal funds to 17.21% Local Agency funds, and this ratio applies only to the $2,313,498.00 that is eligible for federal funding. All other costs are borne by the Local Agency at 100%. If the total cost of performance of the Work exceeds $2,313,498.00, and additional federal funds are available for the Work, the Local Agency shall pay 17.21% of all such costs eligible for federal funding and 100% of all other costs. If additional federal funds are not available, the Local Agency shall pay all such excess costs. If the total cost of performance of the Work is less than $2,313,498.00, then the amounts of Local Agency, federal funds will be decreased in accordance with the funding ratio described herein. This applies to the entire scope of Work. State Funds The funding ratio for the State funds for this Work is 100% State funds to 0% Local Agency funds, and this ratio applies only to the $550,000.00 that is eligible for State funding. All other costs are borne by the Local Agency at 100%. If the total cost of performance of the Work exceeds $550,000.00, and additional State funds are available for the Work, the Local Agency shall pay 0% of all such costs eligible for State funding and 100% of all other costs. If additional State funds are not available, the Local Agency shall pay all such excess costs. If the total cost of performance of the Work is less than $550,000.00, then the amounts of Local Agency and State funds will be decreased in accordance with the funding ratio described herein. This applies to the entire scope of Work. C.Maximum Amount Payable Project AQC M405-024 (23040) The maximum mount payable to the Local Agency under this Agreement shall be $2,010,000.00. For CDOT accounting purposes, the federal funds of $1,460,000.00, the State funds of $550,000.00 and the Local Agency funds of $303,498.00 will be encumbered for a total encumbrance of $2,313,498.00, unless this amount is increased by an executed amendment before any increased cost is incurred. The total cost of the Work is the best estimate available, based on the design data as approved at the time of execution of this Agreement, and any cost is subject to revisions agreed to by the parties prior to bid and award. The maximum amount payable will be reduced without amendment when the actual amount of the Local Agency’s awarded Agreement is less than the budgeted total of the federal funds and the Local Agency matching funds. The maximum amount payable will be reduced through the execution of an Option Letter as described in Section 7. E. of this contract. This applies to the entire scope of Work. D.Single Audit Act Amendment All state and local government and non-profit organizations receiving $750,000 or more from all funding sources defined as federal financial assistance for Single Audit Act Amendment purposes shall comply with the audit requirements of 2 CFR part 200, subpart F (Audit Requirements) see also, 49 CFR 18.20 through 18.26. The Single Audit Act Amendment requirements applicable to the Local Agency receiving federal funds are as follows: i.Expenditure less than $750,000 If the Local Agency expends less than $750,000 in Federal funds (all federal sources, not just Highway funds) in its fiscal year then this requirement does not apply. ii.`Expenditure of $750,000 or more-Highway Funds Only If the Local Agency expends $750,000 or more, in Federal funds, but only received federal Highway funds (Catalog of Federal Domestic Assistance, CFDA 20.205) then a program specific audit shall be performed. This audit will examine the “financial” procedures and processes for this program area. iii.Expenditure of $750,000 or more-Multiple Funding Sources If the Local Agency expends $750,000 or more in Federal funds, and the Federal funds are from multiple sources (FTA, HUD, NPS, etc.) then the Single Audit Act applies, which is an audit on the entire organization/entity. Page 155 Exhibit C-1: Page 3 of 3 iv. Independent CPA Single Audit shall only be conducted by an independent CPA, not by an auditor on staff. An audit is an allowable direct or indirect cost. Page 156 COMMUNITY DEVELOPMENT Memo To: Honorable Mayor Koenig Board of Trustees Through: Town Administrator Machalek From: Jessica Garner, AICP, Community Development Director Date: September 13, 2022 RE: Fee Waiver Request, 1041 South Saint Vrain Avenue, Prospector Apartments (formerly known as Wind River Apartments), Building Division fees, Rural COZ Estes Park LLC, Owner/Triumph Development West, Applicant (Mark all that apply) PUBLIC HEARING ORDINANCE LAND USE CONTRACT/AGREEMENT RESOLUTION OTHER Fee Waiver QUASI-JUDICIAL YES NO Objective: Determine if the fee waiver request complies with Town Board’s adopted fee waiver policy and take action on the request. Present Situation: Rural COZ Estes Park St. Vrain LLC. owns property at 1041 South Saint Vrain Avenue (Highway 7) in the Town of Estes Park. The property is approx. 5.77 acres in size and is zoned RM (Multifamily Residential.) The Wind River Apartments Development Plan was approved by the Town of Estes Park Board of Trustees on September 25, 2018, and consists of a 94-unit, multi-family development. The Development Plan was denied by the Estes Valley Planning Commission on August 21, 2018, and the decision was then appealed to the Town Board, and subsequently approved. The project was approved under Sec. 11.4 of the Estes Valley Development Code (EVDC) (now the Estes Park Development Code, or EPDC), which addresses the provision of workforce housing for the community, with covenants requiring workforce-member occupancy per Sec. 11.4. Proposal: The applicant is now at the building-permit stage. Pursuant to filing for building plan review and obtaining permits, Triumph Development West (Triumph) is requesting a 50% fee waiver for building permit and review fees. Page 157 The applicant, Triumph, has submitted construction plans to the Building division and the figures have been confirmed that they are valid estimates, based on estimated valuation. This request is to waive 50 percent of the building-permit and certificate of occupancy fees and plan-review fees. (Note: The County Use Tax cannot be waived by the Town for any project). Half of the Building permit fees are $34,542.82, and half of the plan review fees are $17,271.41. If approved, the waived amount would come to $51,814.23. In keeping with past practice, staff suggests the amount waived be slightly increased to the nearest round number, in order to make bookkeeping a bit simpler and also to allow for minor unforeseen contingencies. In this case, staff suggests a not-to-exceed waiver at $55,000 (which provides for approx. 5 percent contingency.) Building fee waivers in 2022 are somewhat more complicated due to the contract with SAFEBuilt for plan-review and building-permit services. Under this proposal the Town will subsidize the Rural COZ project by paying SAFEBuilt the proportion of the cost that would otherwise be charged to the applicant. The applicant will still need to pay the remaining 50% of Building permit and plan review fees. The Town’s General Fund will subsidize the project’s building fees by $51,814.23. Staff would judge this amount to be a modest contribution to further a worthwhile goal and project. Policy 402 (Fee Waiver Policy) adopted by the Town Board is attached. Staff concludes that this request meets the policy’s requirements for workforce housing. Advantages: •Aligns with Town Board’s policy of supporting essential community needs – in this case, workforce housing development - through consideration of waiving fees assessed by the Community Development Department. •Proposed development includes ninety-four (94) workforce housing units to serve employees in the Estes Valley. Disadvantages: Net cost to the Town General Fund at $51,814.23. Action Recommended: Because the requested fee waiver is greater than $3,000.00, Town Board is the appropriate decision-making body for this request. Community Development recommends approval of the building permit and plan review fee waiver request as presented. Finance/Resource Impact: General Fund: 101-2300-322.10-00 Licenses and Permits – Building Page 158 Up to $51,814.23 in net cost to the Town. Staff would add that, although difficult to measure, completion of this project will add revenue to the Town by providing our workforce housing, thus multiplying economic benefits in several categories. Level of Public Interest Low. Sample Motion: I move for the approval of the fee waiver request as presented, with a not-to-exceed waiver authorization of $55,000.00 for the proposed project. Attachments: 1.Policy 402 – Fee Waiver Page 159 Effective Period: Until Superseded Review Schedule: Biennially -Summer Effective Date: 4/26/2019 References: N/A COMMUNITY DEVELOPMENT 402 Fee Waiver 1.PURPOSE To establish a uniform policy for waiver of Community Development fees in support of essential community needs. 2.POLICY It is the policy of the Town Board of Trustees to support essential community needs such as attainable and workforce housing, assisted living, and health care services through consideration of waiving in-house fees assessed by the Community Development Department. The Estes Valley Comprehensive Plan is used as a guide in identifying these community needs. 3.PROCEDURE a.Eligible Entities The following entities may be exempted from some or all Community Development Department fees, e.g., building permit fees, development review fees, and sign code fees (except for direct expenses incurred in outsourcing): 1)Public funded government construction (federal, state, county, local); including tax districts/special districts (e.g., hospital, library, parks and recreation); or 2)Organizations providing low-income health and human services or attainable or workforce housing. b.Fee Waiver Criteria The Following criteria will be used to qualify low-income health and human services or attainable or workforce housing projects: Document Title Revisions: 2 1)A critical service is being provided; 2)The permitted project or building will serve or support a currently underserved and needy segment of the community; 3)The population being served is the general public and is not subject to any pre-qualification other than a needs-based (attainability) qualification, or (in the case of housing} a local employment (workforce} qualification; Policy 402 Fee Waiver Town of Estes Park, Community Development 4/26/2018 Page 1 of 3 Attachment 1 Page 160 4)Attainable or workforce housing is deed-restricted; or 5)In the case of housing, a project is eligible for the attainable or workforce incentive criteria in Sec 11.4 of the Estes Valley Development Code. c.Fee Waiver Request It is not the policy of the To wn of Estes Park to routinely waive fees for projects meeting the above criteria. These projects may request exemption by submitta l of a written request to the Community Development Department. The decision-making body will hear the request and may choose to waive some or all fees based on the merits of request. Waiver Request Decision-Making Body �$500 per projec t; or Communi ty Deve lopment D irector <$500 per attainable or workforce housing unit >$500 and �$3,000 per project; or Community Development Dir ector, >$500 and �$3,000 per attainable or workforce following review by Town housing unit Administrator >$3,000 per projec t; or Town Board >$3,000 per attainable or workforce housing unit Approved: �-�-Mayo�• �/n,t"I D te Revised by Town Administrator 3/29/2018 per Ordinance 04-2018 Document Title Revisions: 2 Policy 402 Fee Waiver Town of Estes Park, Community Development 4/26/2018 Page 2 of 3 Page 161 9/14/2022 Fee Waiver Request 1041 South St.Vrain Avenue Board of Trustees September 13, 2022 Jessica Garner, AICP, Community Development Director Fee Waiver Request 1041 South St.Vrain Avenue •Rural COZ Estes Park LLC submitted a request to waive 50% of Building Permit and Plan Review fees for the Prospector Apartments •Building Permit fee (50%): $34,542.82 •Plan Review fee (50%): $17,271.41 •+5% contingency= $55,000 •Permitted under Town Policy 402 •Town’s General Fund would subsidize the fees to SafeBuilt Page 162 9/14/2022 Advantages/Disadvantages •Aligns with Town Board’s policy of supporting essential community needs – in this case, workforce housing development - through consideration of waiving fees assessed by the Community Development Department. •Proposed development includes ninety-four (94) workforce housing units to serve employees in the Estes Valley. •Disadvantages:Net cost to the Town General Fund of $51,814.23 Recommendation Staff recommends approval of the fee waiver request as presented Page 163 9/14/2022 Questions/Comments? Page 164 Utilities Department Memo To: Honorable Mayor Koenig Board of Trustees Through: Town Administrator Machalek From: Date: RE: Duane Hudson, Finance Director, Reuben Bergsten, Utilities Director Dan Kramer Town Attorney, Steve Rusch, Utilities Coordinator September 13, 2022 Resolution 74-22 Agreement with Rural COZ Estes Park St Vrain LLC for Water Tap Fees for the Prospector Apartments (Mark all that apply) PUBLIC HEARING ORDINANCE LAND USE CONTRACT/AGREEMENT RESOLUTION OTHER QUASI-JUDICIAL YES NO Objective: Approve the proposed installment agreement for water tap fees for the development of the Prospector Apartments by Rural Coz Estes Park ST Vrain LLC. Present Situation: On April 13, 2022, Rural Coz Estes Park St Vrain LLC. requested a tap fee amortization agreement from the Town of Estes Park for the Prospector Apartment project at 1041 South Saint Vrain Ave. The planned development is for 94 units of deed restricted Workforce or Attainable Housing. The project has received initial approval from HUD for a development loan which is expected to close by October 2022. The net water tap fees for the proposed project total $843,170.67. Proposal: Working with Rural Coz Estes Park St Vrain LLC., staff have proposed the following for the water tap fees: •Amortize the Remaining Water Tap Fee (Maximum not to exceed amount of $843,170.67) o 10-year payment plan with annual payments at 4.0% interest o Annual payments beginning in 2023 Page 165 Advantages: •The Town will be providing financial support to a workforce/attainable housing development which aligns with the Board’s strategic plan. •The additional water customers will improve the water division’s economy of scale, which will benefit all customers. •The water tap fees that fund reconstruction of our aging water infrastructure are kept whole upon full repayment of the water tap fee installment agreement. Disadvantages: •We will not have immediate access to the financed amount for capital improvements; however, long term funding is a small compromise to the benefit of additional workforce housing. Action Recommended: Staff recommends approval of this agreement. Finance/Resource Impact: The impact is relatively minor. Lost opportunity costs over the term of the agreement as mentioned above under Disadvantages are the primary impacts to the Town. The interest rate charged on the proposed amortization is intended to offset lost investment income of the Town’s Water Fund over the next 10 years, thereby having a relatively neutral impact over the life of the agreement. Level of Public Interest Low Sample Motion: I move to approve Resolution 74-22. Attachments: 1. Resolution 74-22 2. Water Fees Agreement Page 166 RESOLUTION 74-22 APPROVING AN AGREEMENT WITH RURAL COZ ESTES PARK ST VRAIN LLC FOR WATER FEES FOR THE PROSPECTOR APARTMENTS WHEREAS, Rural Coz Estes Park St Vrain LLC has requested, and the Town of Estes Park desires to provide, an extended and amortized payment plan for the water fees associated with the development of Prospector Apartments, in order to facilitate the construction of workforce housing. 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 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 167 Water Fees Agreement--Page 1 of 7 WATER FEES AGREEMENT PROSPECTOR APARTMENTS This AGREEMENT is entered into this ____ day of _________________, 20___ between the Town of Estes Park, acting by and through its Water Activity Enterprise (“Town”), and Rural Coz Estes Park St Vrain LLC (“Owner”). RECITALS A.The Town operates and maintains a municipal water system (the “Town’s System”) within the Town of Estes Park and surrounding areas. B.Owner owns the property located at 1041 South Saint Vrain Avenue, more fully described on Exhibit A attached hereto and incorporated herein by reference (the “Property”). C.The Property is currently supplied with Town water. The proposed improvements will require additional supply. D.The Property is currently proposed to be redeveloped. This new construction requires connection of all improvements on the Property to the Town’s System. The Town’s System is contiguous to the Property. E.The cost for the Owner to connect to the Town’s System includes the payment of the Town’s system development and water right fees (“Fees”) for the amount of water service required to serve the Property, which is a total of $856,030.00. The Owner is also responsible for the cost to physically connect the improvements to the Town’s System. F. The parties desire to set forth the terms and conditions of the connection of the improvements on the Property to the Town’s System. NOW, THEREFORE, in consideration of the mutual promises and covenants contained herein and the above Recitals, and for other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the parties agree as follows: Section 1. Owner’s Responsibilities 1.1 Owner agrees to connect to the Town’s System pursuant to the ordinances, rules and regulations of the Town. 1.2 Owner agrees to pay the sum of $856,030 for the Fees due to the Town for connection to the Town’s System. The Fees shall be paid as provided in section 2 Attachment 2 Page 168 Water Fees Agreement--Page 2 of 7 of this Agreement. 1.3 Owner shall be responsible for the physical connection to the Town’s System for the Property in accordance with the ordinances, rules and regulations of the Town. The service line from the Town’s water main to the Property shall remain the property of the Owner and not become a part of the Town’s System. Section 2. Payment of the Fees 2.1 The Fees of $843,170.67 shall be an obligation of the Owner in the form of an installment agreement with annual compounded interest at 4.00% per annum and paid in annual payments of $108,113.52 on or before October 1 of each year beginning on October 1, 2024. The annual payments are set forth in Exhibit B attached hereto and incorporated herein by reference. 2.2 At any point during the term of this Agreement, by way of written agreement, the two parties may modify or extend the installment due dates and installment amounts and modify the amortization table as deemed appropriate. Such agreement for modification of due dates may be entered by the Town Administrator on behalf of the Town without further Town Board action, provided the final payment date and total principal amount are not extended. Extension of the final payment date or modification of other terms of this Agreement will require Town Board action and approval. 2.3 If any annual payment of principal and interest is not made in full on or before its due date, as may be amended from time to time per section 2.2 above, the remaining balance of delinquent principal and accrued interest shall bear defaulting interest at a charge of one and one-half percent (1.5%) per month on the amount due until the annual payment, accrued interest, and defaulting interest is paid in full. Also, the Town shall have the right to terminate water service to the Property pursuant to the provisions of section 4 below. Section 3. Security for Payments 3.1 All water and connection charges, including the installment payments required under this Agreement, shall be charged against the Owner, shall be a lien upon the Property, and shall be a perpetual charge against the Property until paid in full. In the event said charges shall not be paid when due, the Town Clerk shall certify such delinquent charges to the County Treasurer and the charges shall be collected in the same manner as though they were part of the taxes, pursuant to section 13.32.080 of the Estes Park Municipal Code, as may be amended from time to time. 3.2 The Town agrees that upon payment in full of all Fees including accrued interest and defaulting interest, that it shall release the lien on the Property. 3.3 The lien set forth in Section 3.1 in this Agreement shall be separate from any other Page 169 Water Fees Agreement--Page 3 of 7 liens for any unpaid water service charges for water service to the Property. Any lien for unpaid water service charges shall be as set forth in the Town’s ordinances, rules and regulations for water service. Section 4. Default 4.1 In the event of any default by either party in the terms and conditions of this Agreement, the non-defaulting party shall give the defaulting party ten (10) days’ notice in writing of said default. If said default is not cured within said ten (10) day period, the non-defaulting party shall be entitled to begin legal proceedings, including an action for specific performance and/or damages and all reasonable attorney's fees and court costs incurred by the non-defaulting party. Upon default of the Owner and failure to cure within the ten (10) day period, the payment schedule set forth in section 2.2 and Exhibit B shall accelerate, the balance of the loan shall become immediately due and payable without further notice or demand, and the balance shall bear defaulting interest at a charge of one and one-half percent (1.5%) per month on the amount due until the annual payment, accrued interest, and defaulting interest is paid in full. 4.2 In the event of any uncured default pursuant to the terms and conditions of this Agreement, the Town shall additionally and cumulatively to section 4.1 have the right to physically remove the water meters from the Property and terminate water service to the Property. Owner understands and agrees that following termination of service, restoration of water service to the Property will be subject to the terms and conditions of the ordinances, rules and regulations of the Town. Section 5 Special Provisions 5.1 Entire Agreement. This Agreement contains the entire agreement of the parties relating to the subject matter hereof and, except as provided herein, may not be modified or amended except by written agreement of the parties. 5.2 Governing Law and Venue. This Agreement shall be governed by and construed in accordance with the laws of the State of Colorado. Venue for any legal action relating to this Agreement shall be only in the District Court for Larimer County, Colorado. 5.3 Attorney’s Fees. If any judicial proceedings hereafter are brought to enforce any of the provisions hereof, the prevailing party shall be entitled to recover the costs of such proceedings, including reasonable attorney's fees and reasonable expert witness fees. 5.4 Notice. Any notice under this Agreement shall be in writing, and shall be deemed sufficient when directly presented or sent pre-paid, first class United States Mail, addressed as follows: Page 170 Water Fees Agreement--Page 4 of 7 The Town: Town of Estes Park Attn: Finance Director PO Box 1200 Estes Park, CO 80517 Owner: Rural Coz Estes Park St Vrain LLC Attn: Stephanie Copeland PO Box 770740 Steamboat Springs, CO 80477 5.5 Assignment. Owner shall not assign its rights or delegate is duties under this Agreement without prior written consent by the Town. 5.6 Severability. Whenever possible, each provision of this Agreement and any other related document shall be interpreted in such manner as to be valid under applicable law. If any provision of this Agreement shall be invalid or prohibited under said applicable law, such provisions shall be ineffective to the extent of such invalidity or prohibition without invalidating the remaining provisions of such document. Section 6. Recording and Filing Covenants to Run with the Land 6.1 This Agreement shall be recorded in the real property records of Larimer County, Colorado. The covenants and obligations herein shall run with the Property and shall bind, and the benefit shall inure to, respectively the Owner and its successors and assigns, the Town, its successors and assigns, and all subsequent owners of the Property or any interest therein during the term of this Agreement. If ownership of the Property is divided, all such owners shall be jointly and severally liable for the fulfillment of all Owner’s obligations under this Agreement. Page 171 Water Fees Agreement--Page 5 of 7 IN WITNESS WHEREOF, the parties hereto have executed this Agreement on the date first set forth above. RURAL COZ ESTES PARK ST VRAIN LLC By: Date Title: TOWN OF ESTES PARK Mayor Date ATTEST: Town Clerk APPROVED AS TO FORM: Town Attorney Page 172 Water Fees Agreement--Page 6 of 7 EXHIBIT A Legal Description LOT1, AMENDED LOTS 1 AND 2, WAPITI MINOR SUB, EP (20180065618) Page 173 Water Fees Agreement--Page 7 of 7 EXHIBIT B Page 174 FINANCE DEPARTMENT Memo To: Honorable Mayor Koenig Board of Trustees Through: Town Administrator Machalek From: Duane Hudson, Finance Director Laura Garcia, Accounting Manager Date: Sept 13, 2022 RE: Accept Delivery of the Audited Financial Statements for the Year Ending December 31, 2021 (Mark all that apply) PUBLIC HEARING ORDINANCE LAND USE CONTRACT/AGREEMENT RESOLUTION OTHER QUASI-JUDICIAL YES NO Objective: Formally accept the Haynie & Company audit of the Annual Comprehensive Financial Report (ACFR) for the year ended December 31, 2021. Present Situation: The Town of Estes Park has received the annual audit of its financial statements as required by State Statute CRS 29-1-603 and, when applicable, the Federal Single Audit Act. The ACFR has been posted online on the Finance webpage at: 2021 Annual Comprehensive Financial Report The audit covers both the Town’s operations and Visit Estes Park (VEP) as a required component unit. Note 1 Summary of Significant Accounting Policies on page 32 of the ACFR explains the inclusion of VEP in the reporting entity. Christine McLeod, Audit Manager and Abbey Irvine, Senior Auditor with Haynie & Company, met with the audit committee on Aug 31, 2022 at 3:00 pm to review the ACFR and results of the audit. The independent auditor’s report expressed an unmodified (“clean”) opinion that the financial statements presented fairly, in all material respects, the financial positon of the funds and activities of the Town of Estes Park in conformity with Generally Accepted Accounting Principles (GAAP). This is the second year the audit was performed by this firm. Page 175 To comply with State Statute filing deadlines as well as grant and bond filing deadlines, the ACFR has already been filed with the appropriate agencies. This action item is to formally acknowledge the receipt of the audit by the Town Board, as recommended by the audit committee. Proposal: Approve the audit committee’s recommendation to accept the audit report and ACFR as presented. Advantages: This will demonstrate compliance with State Statutes, bond covenants, and grantor requirements. Disadvantages: None identified. Action Recommended: The audit committee, by unanimous consent, referred the acceptance of the audit report and ACFR for the year ended Dec 31, 2021 to the Town Board for final consideration. Finance/Resource Impact: The audit is an ongoing annual obligation budgeted within the three following accounts: 101-1500-415-22-01 502-6501-560-22-01 503-6500-560-22-01 The total fee for the audit of the 2021 ACFR was $45,850. This is within the budgeted amount for the audit of $50,250. Level of Public Interest I have received no inquiries or comments from the public regarding this ACFR. Sample Motion: I move for the approval/denial of acceptance of the audit report and Annual Comprehensive Financial Report for the year ended December 31, 2021. Attachments: 1)Management Letter 2)2021 Annual Comprehensive Financial Report - Available online at: 2021 Annual Comprehensive Financial Report (hard copy distributed separately) Page 176 Haynie& Company � Certified Public Accountants & Management Consultants Independent Auditor's Report Honorable Mayor and Board of Trustees Town of Estes Park, Colorado Opinions 1221 W. Mineral Avenue, Suite 202 Littleton, CO 80120 \_. 303-734-4800 1@ 303-795-3356 @;) www.HaynieCPAs.com We have audited the accompanying financial statements of the governmental activities, the business-type activities, the discretely presented component unit, each major fund, and the aggregate remaining fund information of the Town of Estes Park, Colorado (the "Town"), as of and for the year ended December 31, 2021, and the related notes to the financial statements, which collectively comprise the Town's basic financial statements as listed in the table of contents. In our opinion, the financial statements referred to above present fairly, in all material respects, the respective financial position of the governmental activities, the business-type activities, the discretely presented component unit, each major fund, and the aggregate remaining fund information of the Town of Estes Park, Colorado, as of December 31, 2021, and the respective changes in financial position and, where applicable, cash flows thereof for the year then ended in accordance with accounting principles generally accepted in the United States of America. Basis for Opinions We conducted our audit in accordance with auditing standards generally accepted in the United States of America (GAAS). Our responsibilities under those standards are further described in the Auditor's Responsibilities for the Audit of the Financial Statements section of our report. We are required to be independent of the Town and to meet our other ethical responsibilities in accordance with the relevant ethical requirements relating to our audit. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion. Responsibilities of Management for the Financial Statements Management is responsible for the preparation and fair presentation of these financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of financial statements that are free from material misstatement, whether due to fraud or error. In preparing the financial statements, management is required to evaluate whether there are conditions or events, considered in the aggregate, that raise substantial doubt about the Town's ability to continue as a going concern within one year after the date that the financial statements are available to be issued. Auditor's Responsibilities for the Audit of the Financial Statements Our objectives are to obtain reasonable assurance about whether the financial statements as a whole are free from material misstatement, whether due to fraud or error, and to issue an auditor's report that includes our opinion. Reasonable assurance is a high level of assurance but is not absolute assurance and therefore is not a guarantee that an audit conducted in accordance with GAAS will always detect a material misstatement when it exists. The risk of not detecting a material misstatement resulting from fraud is higher than for one resulting from error, as fraud may involve collusion, forge1y, intentional omissions, misrepresentations, or the override of internal control. Misstatements, including omissions, are considered material if there is a substantial likelihood that, individually or in the aggregate, they would influence the judgment made by a reasonable user based on the financial statements. � PrimeGlobal An Association of Independent Accounting Firms 7 l■- RSMUS1AUI;�;; RSI\JI Attachment 1 Page 177 In perfonning an audit in accordance with GAAS, we: •Exercise professional judgment and maintain professional skepticism throughout the audit. •Identify and assess the risks of material misstatement of the financial statements, whether due to fraud or error, and design and perform audit procedures responsive to those risks. Such procedures include examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. •Obtain an understanding of internal control relevant to the audit in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the Town's internal control. Accordingly, no such opinion is expressed. •Evaluate the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluate the overall presentation of the financial statements. •Conclude whether, in our judgment, there are conditions or events, considered in the aggregate, that raise substantial doubt about the Town's ability to continue as a going concern for a reasonable period of time. We are required to co1lllnunicate with those charged with governance regarding, among other matters, the planned scope and ti1ning of the audit, significant audit findings, and certain internal control related matters that we identified during the audit. Other Matters Req1dred Supplementary Information Accounting principles generally accepted in the United States of America require that the management's discussion, schedule of funding progress, the budgetary comparison infonnation, and pension schedules, as listed in the table of contents, be presented to supplement the basic financial statements. Such infonnation, although not a part of the basic financial statements, is required by the Governmental Accounting Standards Board, who considers it to be an essential part of financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. We have applied certain limited procedures to the required supplementa1y information in accordance with auditing standards generally accepted in the United States of America, which consisted of inquiries of management about the methods of preparing the information and comparing the information for consistency with management's responses to our inquiries, the basic financial statements, and other knowledge we obtained during our audit of the basic financial statements. We do not express an opinion or provide any assurance on the information because the limited procedures do not provide us with sufficient evidence to express an opinion or provide any assurance. Other Information Our audit was conducted for the purpose of forming opinions on the financial statements that collectively comprise the Town's basic financial statements. The combining and individual nonmajor fund financial statements, budgetary comparison schedules, Local Highway Finance Report, and other information, such as the introducto1y and statistical sections are presented for purposes of additional analysis and are not a required part of the basic financial statements. The combining and individual nomnajor fund financial statements, budgetary comparison schedules and the Local Highway Finance Report are the responsibility of management and were derived from and relate directly to the underlying accounting and other records used to prepare the basic financial statements. Such information has been subjected to the auditing procedures applied in the audit of the basic financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the basic financial statements or to the basic financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. In our opinion, the combining and individual nonmajor fund financial statements and schedules, and component unit financial statements and schedules are fairly stated, in all material respects, in relation to the basic financial statements as a whole. 8 Page 178 The introductory and statistical sections have not been subjected to the auditing procedures applied in the audit of the basic financial statements and, accordingly, we do not express an opinion or provide any assurance on them. Littleton, Colorado June 27, 2022 9 Page 179       Page 180 FINANCE DEPARTMENT Memo To: Honorable Mayor Koenig Board of Trustees Through: Town Administrator Machalek From: Duane Hudson, Finance Director Laura Garcia, Accounting Manager Date: Sept 13, 2022 RE: Appointment of Haynie & Company to Perform the Audit of the Annual Financial Report for the Year Ending December 31, 2022 (Mark all that apply) PUBLIC HEARING ORDINANCE LAND USE CONTRACT/AGREEMENT RESOLUTION OTHER QUASI-JUDICIAL YES NO Objective: Appointment of Haynie & Company to perform the audit for the year ending December 31, 2022. Present Situation: As required by state statute, grant agreements and other regulations, the Town is required to have an annual audit of its Annual Comprehensive Financial Report (ACFR). Haynie & Company was appointed on Jan 12, 2021, to perform the audit of the Town’s 2020 AFR. This action item is to appoint Haynie & Company to perform the Town’s audit of the 2022 ACFR, which will be the third year of a five-year engagement. Proposal: Since the auditor works on behalf of the Town’s Audit Committee and the full Town Board, the audit committee recommends that the Town Board formally approve re- appointment of Haynie & Company to audit the 2022 ACFR. Advantages: The Town is required by state statute and by grantor agreements to have an annual audit conducted by a qualified CPA firm. This action will demonstrate continued compliance with this requirement. Disadvantages: None identified. Page 181 Action Recommended: The Audit Committee and the Finance Department is recommending appointment of Haynie & Company to conduct the audit of the 2022 ACFR. Finance/Resource Impact: The audit is an ongoing annual obligation budgeted within the three following accounts: 101-1500-415-22-01, 502-6501-560-22-01, 503-6500-560-22-01 The total fee for the audit of the 2022 AFR was $51,600. This is within the budgeted amount for the audit of $51,600. Level of Public Interest No comments or inquiries have been received regarding this appointment. Sample Motion: I move for the approval/denial to award the engagement for the financial statement audit for the year ended December 31, 2022 to Haynie & Company. Attachments: None Page 182 FINANCE DEPT Memo To: Honorable Mayor Koenig Board of Trustees From: Travis Machalek, Town Administrator Duane Hudson, Finance Director Jackie Williamson, Town Clerk/Human Resources Director Date: September 13, 2022 RE: Resolution 75-22, Supplemental Budget Appropriations #3 Supplemental Compensation Adjustment (Mark all that apply) PUBLIC HEARING ORDINANCE LAND USE CONTRACT/AGREEMENT RESOLUTION OTHER______________ QUASI-JUDICIAL YES NO Objective: Amend the 2022 budget for a supplemental compensation adjustment effective September 4, 2022 and reflected in the payroll ending September 17, 2022. Present Situation: The Town follows a market-based pay philosophy, setting employee compensation at levels commensurate with our market-comparison communities. The Town and our compensation consultant (Graves Consulting) have determined that the Town has fallen behind on compensation relative to our market communities due to the fast pace of wage growth over the past year and a half. The Town has fallen behind for two main reasons: 1) the Town granted a one-time bonus to employees in 2021 instead of a merit-based adjustment to ongoing base pay; and 2) the Town’s compensation evaluations have traditionally not been aged, meaning that our analysis used mid-year 2020 salary levels when projecting market adjustments for 2021 and mid-year 2021 salary levels when projecting market adjustments for 2022. This is a good strategy in a stable market that experiences slow and steady change, but is not suited to the current competitive and dynamic employment market. We will be aging the data for 2023 with what we now know about market movement in 2022, but we are already behind and need to make an additional adjustment in 2022 to keep pace with the market. In addition to employment market changes, the overall cost of living has increased substantially since the beginning of 2021. The Consumer Price Index (CPI), a common measure of inflation, rose by 7.0% in 2021 and the 12-month percentage change (not Page 183 seasonally adjusted) in July 2022 stood at 8.5%. These cost increases put pressure on our employees, who already face a high cost of living in our community. Proposal: The proposed supplemental compensation adjustment is a 5% increase to base pay with a minimum of a $2/hour increase for all full-time staff employed by the Town as of September 13, 2022 (except for Town Administrator Machalek, whose contract is up for review in August 2023). The $2/hour minimum increase is not a compensation strategy the Town has used before and is recommended in this instance to ensure that every employee receives meaningful relief from cost-of-living pressures that are the highest our country has seen in 40 years. Seasonal employees would receive a $0.50 per hour bonus if they stay until the end of their season. Since this increase is effective with the pay period starting September 4, 2022, the budgeted amount is only $438,504 versus the total annual cost of the increase which is $1,029,533. This budget is conservatively high as it was based on an earlier calculation for an increase effective on the August 21, 2022 payroll. If approved, the full annual ongoing cost of this adjustment will be reflected in the proposed 2023 budget. This supplemental compensation adjustment would ensure that the Town remains a competitive employer in relation to our market comparison communities. It would also have an immediate positive impact on employee retention, which is more important than ever with the challenges that the Town is facing in the hiring market (in 2022, the Town has routinely had 20 or more open positions, a vacancy rate of approximately 13%, which is higher than previous years). Staff is seeking approval of the budget resolution authorizing the proposed budget amendments as summarized below and detailed in the attached exhibit “Schedule of Budgeted Appropriation Changes”. General Fund – Increase of $239,124 This includes a $1,000 transfer to the Community Reinvestment Fund to cover a projected negative fund balance. The compensation adjustment for the General Fund is budgeted at $238,124, including tax and benefit changes. Larimer County Open Space Fund – Increase of $1,673 This is the compensation adjustment for Open Space staffing. Trails Fund – Increase of $1,854 This is the compensation adjustment for Trails Fund staffing. Parking Services Fund – Increase of $3,895 This is the compensation adjustment for Parking Services Fund staffing. Street Improvement Fund – Increase of $4,230 This is the compensation adjustment for Street Improvement Fund staffing. Power and Communications Fund – Increase of $109,282 This is the compensation adjustment for Power and Communications Fund staffing. Page 184 Water Fund – Increase of $57,612 This is the compensation adjustment for Water Fund staffing. Fleet Maintenance Fund – Increase of $10,614 This is the compensation adjustment for Fleet Maintenance Fund staffing. IT Fund – Increase of $11,220 This is the compensation adjustment for IT Fund staffing. Advantages: •The Town compensation rates will be more comparable with our peer communities in the front range, the primary competitors for many staffing positions. Disadvantages: •Funds allocated to employee compensation will not be available for other uses. Action Recommended: Staff recommends approval of the 2022 supplemental budget appropriation #3 resolution. Finance/Resource Impact: After reflecting this budget amendment, the General Fund reserves are projected at 37.6% of 2022 operating expenditures after setting aside the $1.7 million capital reserve (A General Fund reserve of 25% of operating expenditures is required by Policy 660 – Fund Balance). Level of Public Interest Medium Sample Motion: I move to approve/deny Resolution 75-22. Attachments: 1. Resolution 75-22 Supplemental Budget Appropriations # 3 to the 2022 Budget 2.Recaps of Proposed Budget Adjustments and Supporting Documents Page 185 RESOLUTION 75-22 SUPPLEMENTAL BUDGET APPROPRIATIONS # 3 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 9, 2021; 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 $439,504 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 27,920,934 239,124 28,160,058 204 Community Reinvestment Fund 6,215,386 0 6,215,386 211 Conservation Trust Fund 34,000 0 34,000 220 Larimer County Open Space Fund 1,187,019 1,673 1,188,692 236 Emergency Response System Fund 65,245 0 65,245 238 Community Center Fund 1,016,766 0 1,016,766 244 Trails Fund 3,311,794 1,854 3,313,648 256 Parking Services Fund 860,909 3,895 864,804 260 Street Fund 3,536,236 4,230 3,540,466 502 Power and Communications Fund 31,720,672 109,282 31,829,954 503 Water Fund 33,554,170 57,612 33,611,782 606 Medical Insurance Fund 4,145,000 0 4,145,000 612 Fleet Maintenance Fund 1,532,826 10,614 1,543,440 625 Information Technology Fund 968,124 11,220 979,344 635 Vehicle Replacement Fund 810,713 0 810,713 645 Risk Management Fund 395,500 0 395,500 Total All Funds 117,275,294 439,504 117,714,798 DATED this ______ day of _____________, 2022. TOWN OF ESTES PARK Mayor ATTEST: Town Clerk APPROVED AS TO FORM: Town Attorney Attachment 1 Page 186 101 204 211 220 236 238 244 256 260 GENERAL FUND COMMUNITY REINVESTMENT CONSERVATION TRUST LARIMER COUNTY OPEN SPACE EMERGENCY RESPONSE COMMUNITY CENTER TRAILS PARKING SERVICES STREET Revenues $23,070,147 $5,915,916 $34,100 $968,501 $101,777 $1,016,766 $2,507,328 $816,095 $3,490,239 Expenses 28,160,058 6,215,386 34,000 1,188,692 65,245 1,016,766 3,313,648 864,804 3,540,466 Net (5,089,911)(299,470)100 (220,191)36,532 0 (806,320)(48,709)(50,227) Estimated Beginning Fund Balance, 1/1/22 16,166,887 299,641 71,789 1,101,165 155,143 11 1,299,668 295,807 2,648,123 Estimated Ending Fund Balance, 12/31/22 $11,076,976 $171 $71,889 $880,974 $191,675 $11 $493,348 $247,098 $2,597,896 502 503 606 612 625 635 645 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 $91,754,945 Expenses 31,829,954 33,611,782 4,145,000 1,543,440 979,344 810,713 395,500 117,714,798 Net (11,320,344)(6,637,510)(809,632)(510,843)(39,672)(163,656)0 (25,959,853) Estimated Beginning Fund Balance, 1/1/22 19,477,782 10,946,462 2,447,376 656,965 653,393 1,438,512 35,866 57,694,590 Estimated Ending Fund Balance, 12/31/22 $8,157,438 $4,308,952 $1,637,744 $146,122 $613,721 $1,274,856 $35,866 $31,734,737 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT RECAP OF BUDGET ALL FUNDS 8/16/2022 10:23 AM BA#3 - 2022 Mid Year Compensation Adj.xlsb Attachment 2 Page 187 101 204 211 220 236 238 244 256 260 GENERAL FUND COMMUNITY REINVESTMENT CONSERVATION TRUST LARIMER COUNTY OPEN SPACE EMERGENCY RESPONSE COMMUNITY CENTER TRAILS PARKING SERVICES STREET Estimated Ending Fund Balance, 12/31/22 11,076,976 171 71,889 880,974 191,675 11 493,348 247,098 2,597,896 Add Back Contingencies included in Budgeted Expenses 250,000 - - - - - - - - Add Back Reserves included in Budgeted Expenses 97,000 - - - - - - - - Adjusted Ending Fund Balance, 12/31/22 $11,423,976 $171 $71,889 $880,974 $191,675 $11 $493,348 $247,098 $2,597,896 Contingency - Grants *250,000 - - - - - - - - Contingency - Med Ins Claims **- - - - - - - - - Budgeted Reserves *** Pkg Garage Maint Reserve 101-1700-417-37-99 48,000 - - - - - - - - Workforce Housing Reserve 85,000 - - - - - - - - Capital Reserves 1,700,000 - - - - - - - - Nonspendable Prepaid Fund Bal & Restr Donations 207,739 - - - - - - - - Policy 660 Fund Balance Reserves 6,005,840 - - - - - - - - Total Reserved Fund Balance 8,296,579 - - - - - - - - Unreserved Budgetary Fund Balance $3,127,397 $171 $71,889 $880,974 $191,675 $11 $493,348 $247,098 $2,597,896 502 503 606 612 625 635 645 POWER AND COMMUNICATIONS WATER MEDICAL INSURANCE FLEET INFORMATION TECHNOLOGY VEHICLE REPLACEMENT RISK MANAGEMENT TOTAL Estimated Ending Fund Balance, 12/31/21 8,157,438 4,308,952 1,637,744 146,122 613,721 1,274,856 35,866 31,734,737 Add Back Contingencies included in Budgeted Expenses - - 750,000 - - - - 1,000,000 Add Back Reserves included in Budgeted Expenses - - - - - - - 97,000 Adjusted Ending Fund Balance, 12/31/22 $8,157,438 $4,308,952 $2,387,744 $146,122 $613,721 $1,274,856 $35,866 $32,831,737 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 - - - - - - - 85,000 Capital Reserves - - - - - - - 1,700,000 Nonspendable Prepaid Fund Bal & Restr Donations - - - - - - - 207,739 Equipment Reserve 1,975,931 641,687 - - - 1,274,856 - 3,892,474 Policy 660 Fund Balance Reserves 4,360,725 1,266,019 1,227,144 154,344 200,000 - - 13,214,072 Total Reserved Fund Balance 6,336,656 1,907,706 1,227,144 154,344 200,000 1,274,856 - 19,147,285 Unreserved Budgetary Fund Balance 1,820,783 2,401,246 1,160,600 (8,222) 413,721 - 35,866 13,684,453 * 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#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT RECAP OF BUDGETED RESERVES ALL FUNDS Page 188 Fund/Dept Fund Name 2019 Actual 2020 Actual 2021 Actual 2022 Approved 2022 Amended 101 GENERAL FUND 22,300,431 18,324,050 23,037,469 23,070,147 23,070,147 204 COMMUNITY REINVESTMENT 3,396,952 1,313,175 1,376,520 5,914,916 5,915,916 211 CONSERVATION TRUST 38,679 33,086 38,116 34,100 34,100 220 LARIMER COUNTY OPEN SPACE 572,500 810,449 2,119,841 968,501 968,501 236 EMERGENCY RESPONSE 373,961 75,881 114,596 101,777 101,777 238 COMMUNITY CENTER 816,967 756,452 1,046,550 1,016,766 1,016,766 244 TRAILS 999,193 430,886 652,047 2,507,328 2,507,328 256 PARKING SERVICES - 365,882 929,474 816,095 816,095 260 STREET 2,047,078 1,848,541 2,511,225 3,490,239 3,490,239 502 POWER AND COMMUNICATIONS 20,021,167 19,557,503 20,840,078 20,509,610 20,509,610 503 WATER 7,304,661 6,870,008 7,179,700 26,974,272 26,974,272 606 MEDICAL INSURANCE 3,440,602 3,574,638 3,406,910 3,335,368 3,335,368 612 FLEET 521,653 365,239 617,575 1,032,597 1,032,597 625 INFORMATION TECHNOLOGY 850,161 906,802 970,234 939,672 939,672 635 VEHICLE REPLACEMENT 495,512 478,563 478,818 647,057 647,057 645 RISK MANAGEMENT 271,671 307,631 363,558 395,500 395,500 TOTAL 63,451,188 56,018,786 65,682,711 91,753,945 91,754,945 BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT TOWN OF ESTES PARK SUMMARY OF ANTICIPATED REVENUE ALL FUNDS Page 189 Fund/Dept Fund Name 2019 Actual 2020 Actual 2021 Actual 2022 Approved 2022 Amended 101 GENERAL FUND 101-1100 Legislative 244,133 229,068 230,716 401,635 401,635 101-1190 Town Attorney 157,524 270,372 320,880 344,357 349,397 101-1200 Judicial 79,935 68,179 64,201 80,415 81,476 101-1300 Town Administrator's Office 333,761 346,845 348,020 380,798 385,216 101-1400 Town Clerk's Office 389,566 288,595 261,851 384,534 388,364 101-1500 Finance 545,941 552,905 603,905 659,199 669,016 101-1600 Planning 683,115 565,588 701,202 1,053,555 1,066,398 101-1700 Facilities 1,126,354 1,065,982 909,953 1,187,517 1,194,496 101-1800 Employee Benefits 120,124 181,909 198,520 410,058 411,671 101-1900 Community Service Grants 1,229,985 1,634,290 1,625,994 1,436,653 1,436,653 101-1945 Workforce Housing - - - 598,000 598,000 101-2100 Police - Patrol 3,613,063 3,852,231 4,404,113 4,778,126 4,842,144 101-2155 Police - Communications 1,020,236 960,067 1,000,408 1,238,675 1,261,540 101-2175 Police - Comm Svcs 313,582 369,657 375,410 382,606 391,470 101-2185 Police - Code Enforcement 98,345 127,757 132,084 143,792 146,690 101-2300 Building Safety Divison 620,963 506,550 609,886 647,837 649,997 101-2400 Engineering 314,032 332,073 354,343 503,112 511,189 101-2600 Visitor Center 487,629 403,016 408,476 617,019 627,701 101-3100 Streets 1,027,385 905,366 1,041,637 1,477,146 1,489,333 101-3175 Stormwater Maintenance - - - 396,287 402,652 101-5200 Parks 1,087,145 974,428 995,866 1,628,843 1,648,511 101-5500 Special Events 1,834,159 1,369,265 1,795,301 2,278,795 2,303,521 101-5600 Transportation 620,908 887,723 641,695 1,398,343 1,401,994 101-5690 Parking 179,474 - - - - 101-5700 Museum 391,419 395,116 401,043 459,713 466,078 101-9000 Transfers 3,199,789 1,345,138 1,371,857 5,033,919 5,034,919 101 GENERAL FUND 19,718,567 17,632,120 18,797,360 27,920,934 28,160,058 204 COMMUNITY REINVESTMENT 4,756,051 1,097,534 1,292,521 6,215,386 6,215,386 211 CONSERVATION TRUST 17,207 7,191 84,297 34,000 34,000 220 LARIMER COUNTY OPEN SPACE 421,580 1,574,680 958,840 1,187,019 1,188,692 236 EMERGENCY RESPONSE 363,110 53,655 71,888 65,245 65,245 238 COMMUNITY CENTER 793,392 780,025 1,046,540 1,016,766 1,016,766 244 TRAILS 813,685 325,427 256,068 3,311,794 3,313,648 256 PARKING SERVICES - 322,855 676,695 860,909 864,804 260 STREET 4,360,260 1,290,332 1,666,083 3,536,236 3,540,466 502 POWER AND COMMUNICATIONS 20,995,894 26,322,059 28,951,259 31,720,672 31,829,954 503 WATER 5,805,350 7,297,503 4,949,517 33,554,170 33,611,782 606 MEDICAL INSURANCE 2,636,662 3,301,785 3,265,130 4,145,000 4,145,000 612 FLEET 425,540 364,124 534,976 1,532,826 1,543,440 625 INFORMATION TECHNOLOGY 819,474 709,405 821,222 968,124 979,344 635 VEHICLE REPLACEMENT 243,430 123,559 7,572 810,713 810,713 645 RISK MANAGEMENT 271,627 307,015 328,353 395,500 395,500 TOTAL ALL FUNDS 62,441,829 61,509,269 63,708,322 117,275,294 117,714,798 BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT TOWN OF ESTES PARK SUMMARY OF APPROPRIATIONS ALL FUNDS Page 190 Dept # 2019 Actual 2020 Actual 2021 Actual 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes 14,431,402 13,467,699 18,201,848 17,669,731 - 17,669,731 Licenses and permits 809,296 630,290 762,931 704,150 - 704,150 Intergovernmental 638,151 1,385,415 1,111,437 1,435,608 - 1,435,608 Charges for services 756,871 310,959 464,496 671,538 - 671,538 Fines and forfeitures 61,890 37,284 35,174 37,000 - 37,000 Rental income 312,372 293,228 218,359 195,791 - 195,791 Investment income 166,001 110,437 (15,694) 175,000 - 175,000 Donations 141,447 41,510 51,992 42,800 - 42,800 Miscellaneous 235,563 188,022 189,608 525,779 - 525,779 Transfers-In from other funds 4,747,438 1,858,565 2,012,028 1,612,750 - 1,612,750 Sale of assets - 641 5,290 - - - Financing Proceeds - - - - - - Total Revenues 22,300,431 18,324,050 23,037,469 23,070,147 - 23,070,147 EXPENDITURES Legislative 1100 244,133 229,068 230,716 401,635 - 401,635 Attorney 1190 157,524 270,372 320,880 344,357 5,040 349,397 Judicial 1200 79,935 68,179 64,201 80,415 1,061 81,476 Town Administrator 1300 333,761 346,845 348,020 380,798 4,418 385,216 Town Clerk 1400 389,566 288,595 261,851 384,534 3,830 388,364 Finance 1500 545,941 552,905 603,905 659,199 9,817 669,016 Planning 1600 683,115 565,588 701,202 1,053,555 12,843 1,066,398 Facilities 1700 1,126,354 1,065,982 909,953 1,187,517 6,979 1,194,496 Human Resources 1800 120,124 181,909 198,520 410,058 1,613 411,671 Outside Entity Funding 1900 1,229,985 1,634,290 1,625,994 1,436,653 - 1,436,653 Workforce Housing 1945 - - - 598,000 - 598,000 Police - Patrol 2100 3,613,063 3,852,231 4,404,113 4,778,126 64,018 4,842,144 Police - Communications 2155 1,020,236 960,067 1,000,408 1,238,675 22,865 1,261,540 Police - Comm Svc 2175 313,582 369,657 375,410 382,606 8,864 391,470 Police - Code Enforcement 2185 98,345 127,757 132,084 143,792 2,898 146,690 Building Safety 2300 620,963 506,550 609,886 647,837 2,160 649,997 Engineering 2400 314,032 332,073 354,343 503,112 8,077 511,189 Visitor Services 2600 487,629 403,016 408,476 617,019 10,682 627,701 Streets 3100 1,027,385 905,366 1,041,637 1,477,146 12,187 1,489,333 Stormwater Maintenance 3175 - - - 396,287 6,365 402,652 Parks 5200 1,087,145 974,428 995,866 1,628,843 19,668 1,648,511 Senior Center 5304 - - - - - - Special Events 5500 1,834,159 1,369,265 1,795,301 2,278,795 24,726 2,303,521 Transit 5600 620,908 887,723 641,695 1,398,343 3,651 1,401,994 Parking 5690 179,474 - - - - - Museum 5700 391,419 395,116 401,043 459,713 6,365 466,078 Transfers Out 9000 3,199,789 1,345,138 1,371,857 4,783,919 1,000 4,784,919 Contingency - Grants 9000 - - - 250,000 - 250,000 Rounding (8) (15) - - - - Total Expenditures 19,718,559 17,632,105 18,797,360 27,920,934 239,124 28,160,058 Net Income (Loss)2,581,872 691,945 4,240,109 (4,850,787) (239,124) (5,089,911) Beginning Fund Balance 8,652,961 11,234,833 11,926,778 16,166,887 16,166,887 16,166,887 Ending Fund Balance 11,234,833 11,926,778 16,166,887 11,316,100 15,927,763 11,076,976 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY BY FUND & DEPARTMENT GENERAL FUND # 101 Page 191 Dept # 2019 Actual 2020 Actual 2021 Actual 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental 173,516 480,761 - 1,230,116 - 1,230,116 Charges for services - - - - - - Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 38,647 15,867 (21) 500 - 500 Donations - - - - - - Miscellaneous - - 4,684 - - - Transfers-In from other funds 3,184,789 816,547 1,371,857 4,666,300 1,000 4,667,300 Sale of assets - - - 18,000 - 18,000 Financing Proceeds - - - - - - Total Revenues 3,396,952 1,313,175 1,376,520 5,914,916 1,000 5,915,916 EXPENDITURES Community Reinvestment Fund 5400 72,264 49,613 93,017 159,238 - 159,238 Capital Outlay 5400 941,453 131,093 280,504 5,128,013 - 5,128,013 Debt Service 6700 916,866 916,828 919,000 928,135 - 928,135 Transfers Out 9000 2,825,468 - - - - - Rounding - (1) - - - - Total Expenditures 4,756,051 1,097,533 1,292,521 6,215,386 - 6,215,386 Net Income (Loss)(1,359,099) 215,642 83,999 (300,470) 1,000 (299,470) Beginning Fund Balance 1,359,099 - 215,642 299,641 299,641 299,641 Ending Fund Balance - 215,642 299,641 (829) 300,641 171 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY BY FUND & DEPARTMENT COMMUNITY REINVESTMENT FUND # 204 Page 192 Dept # 2019 Actual 2020 Actual 2021 Actual 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental 35,949 32,536 38,161 34,000 - 34,000 Charges for services - - - - - - Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 970 550 (46) 100 - 100 Donations - - - - - - Miscellaneous 1,760 - - - - - Transfers-In from other funds - - - - - - Sale of assets - - - - - - Financing Proceeds - - - - - - Total Revenues 38,679 33,086 38,116 34,100 - 34,100 EXPENDITURES Conservation Trust Fund 17,207 7,191 84,297 34,000 - 34,000 Rounding - - - - - - Total Expenditures 17,207 7,191 84,297 34,000 - 34,000 Net Income (Loss)21,472 25,895 (46,182) 100 - 100 Beginning Fund Balance 70,605 92,077 117,972 71,789 71,789 71,789 Ending Fund Balance 92,077 117,972 71,790 71,889 71,789 71,889 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY BY FUND & DEPARTMENT CONSERVATION TRUST FUND # 211 Page 193 Dept # 2019 Actual 2020 Actual 2021 Actual 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental 561,059 592,904 2,120,769 966,501 - 966,501 Charges for services - - - - - - Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 11,441 7,545 (928) 2,000 - 2,000 Donations - - - - - - Miscellaneous - - - - - - Transfers-In from other funds - 210,000 - - - - Sale of assets - - - - - - Financing Proceeds - - - - - - Total Revenues 572,500 810,449 2,119,841 968,501 - 968,501 EXPENDITURES Open Space 4600 82,355 80,770 90,839 122,076 1,673 123,749 Capital Outlay 4600 39,225 1,493,910 658,001 1,064,943 - 1,064,943 Transfers Out 9000 300,000 - 210,000 - - - Rounding - 1 - - - - Total Expenditures 421,580 1,574,681 958,840 1,187,019 1,673 1,188,692 Net Income (Loss)150,920 (764,232) 1,161,000 (218,518) (1,673) (220,191) Beginning Fund Balance 553,476 704,396 (59,836) 1,101,165 1,101,165 1,101,165 Ending Fund Balance 704,396 (59,836) 1,101,164 882,647 1,099,492 880,974 BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY BY FUND & DEPARTMENT LARIMER COUNTY OPEN SPACE FUND # 220 TOWN OF ESTES PARK Page 194 Dept # 2019 Actual 2020 Actual 2021 Actual 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes 81,697 75,645 104,655 101,677 - 101,677 Licenses and permits - - - - - - Intergovernmental - - 9,960 - - - Charges for services - - - - - - Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 419 236 (19) 100 - 100 Donations - - - - - - Miscellaneous - - - - - - Transfers-In from other funds - - - - - - Sale of assets - - - - - - Financing Proceeds 291,845 - - - - - Total Revenues 373,961 75,881 114,596 101,777 - 101,777 EXPENDITURES Emergency Response System 3600 7,962 5,112 23,344 16,700 - 16,700 Debt Service 3600 48,544 48,543 48,544 48,545 - 48,545 Capital Outlay 3600 306,604 - - - - - Transfers Out 9000 - - - - - - Rounding 1 3 - - - - Total Expenditures 363,111 53,658 71,888 65,245 - 65,245 Net Income (Loss)10,850 22,223 42,708 36,532 - 36,532 Beginning Fund Balance 79,363 90,213 112,436 155,143 155,143 155,143 Ending Fund Balance 90,213 112,436 155,144 191,675 155,143 191,675 SUMMARY BY FUND & DEPARTMENT EMERGENCY RESPONSE SYSTEM FUND # 236 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT Page 195 Dept # 2019 Actual 2020 Actual 2021 Actual 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes 816,967 756,447 1,046,550 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 1,046,550 1,016,766 - 1,016,766 - EXPENDITURES - Community Center 3800 793,392 780,025 1,046,540 1,016,766 - 1,016,766 Transfers Out 9000 - - - - - - Rounding - 1 - - - - Total Expenditures 793,392 780,026 1,046,540 1,016,766 - 1,016,766 Net Income (Loss)23,575 (23,574) 10 - - - Beginning Fund Balance - 23,575 1 11 11 11 Ending Fund Balance 23,575 1 11 11 11 11 COMMUNITY CENTER FUND # 238 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY BY FUND & DEPARTMENT Page 196 Dept # 2019 Actual 2020 Actual 2021 Actual 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes 408,484 378,223 523,275 508,383 - 508,383 Licenses and permits - - - - - - Intergovernmental 286,000 50,000 120,039 1,998,745 - 1,998,745 Charges for services - - - - - - Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 4,709 2,663 (286) 200 - 200 Donations - - - - - - Miscellaneous - - 9,018 - - - Transfers-In from other funds 300,000 - - - - - Sale of assets - - - - - - Financing Proceeds - - - - - - Total Revenues 999,193 430,886 652,047 2,507,328 - 2,507,328 - EXPENDITURES - Trails Expansion Operations 3400 40,220 32,056 34,213 102,050 1,854 103,904 Capital Outlay 3400 773,465 293,371 221,855 3,209,744 - 3,209,744 Transfers Out 9000 - - - - - - Rounding 2 (3) - - - - Total Expenditures 813,687 325,424 256,068 3,311,794 1,854 3,313,648 Net Income (Loss)185,506 105,462 395,979 (804,466) (1,854) (806,320) Beginning Fund Balance 612,721 798,227 903,689 1,299,668 1,299,668 1,299,668 Ending Fund Balance 798,227 903,689 1,299,668 495,202 1,297,814 493,348 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY BY FUND & DEPARTMENT TRAILS EXPANSION FUND # 244 Page 197 Dept # 2019 Actual 2020 Actual 2021 Actual 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - 60 24,888 4,000 - 4,000 Intergovernmental - 24,500 - - - - Charges for services - - 864,783 795,000 - 795,000 Fines and forfeitures - 22,641 39,759 17,095 - 17,095 Rental income - - - - - - Investment income - - - - - - Donations - - - - - - Miscellaneous - 90 45 - - - Transfers-In from other funds - 318,591 - - - - Sale of assets - - - - - - Financing Proceeds - - - - - - Total Revenues - 365,882 929,474 816,095 - 816,095 - EXPENDITURES - Parking Services Operations 5690 - 322,396 578,223 809,147 3,895 813,042 Capital Outlay 5690 - 459 98,472 51,762 - 51,762 Transfers Out 9000 - - - - - - Rounding - (1) - - - - Total Expenditures - 322,854 676,695 860,909 3,895 864,804 Net Income (Loss)- 43,028 252,779 (44,814) (3,895) (48,709) Beginning Fund Balance - - 43,028 295,807 295,807 295,807 Ending Fund Balance - 43,028 295,807 250,993 291,912 247,098 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY BY FUND & DEPARTMENT PARKING SERVICES FUND # 256 Page 198 Dept # 2019 Actual 2020 Actual 2021 Actual 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget - REVENUE - Taxes 1,960,721 1,815,472 2,511,721 2,440,239 - 2,440,239 Licenses and permits - - - - - - Intergovernmental - - 1,235 1,030,000 - 1,030,000 Charges for services - - - - - - Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 86,357 33,069 (1,731) 20,000 - 20,000 Donations - - - - - - Miscellaneous - - - - - - Transfers-In from other funds - - - - - - Sale of assets - - - - - - Financing Proceeds - - - - - - Total Revenues 2,047,078 1,848,541 2,511,225 3,490,239 - 3,490,239 - EXPENDITURES - Street Improvement Operations 2000 588,488 581,815 545,029 741,226 4,230 745,456 Capital Outlay 2000 3,771,772 708,517 1,121,054 2,795,010 - 2,795,010 Transfers Out 9000 - - - - - - Rounding (2) 1 - - - - Total Expenditures 4,360,258 1,290,333 1,666,083 3,536,236 4,230 3,540,466 Net Income (Loss)(2,313,180) 558,208 845,142 (45,997) (4,230) (50,227) 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 2,648,122 2,602,126 2,643,893 2,597,896 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY BY FUND & DEPARTMENT STREET IMPROVEMENT FUND # 260 Page 199 Dept # 2019 Actual 2020 Actual 2021 Actual 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental 6,548 (759) 4,375 - - - Charges for services 19,072,995 19,045,257 20,433,601 20,289,610 - 20,289,610 Fines and forfeitures - - - - - - Rental income 2,745 5,400 5,400 - - - Investment income 316,767 311,020 4,651 122,000 - 122,000 Donations 487,398 - - - - - Miscellaneous 144,708 196,585 281,464 98,000 - 98,000 Transfers-In from other funds - - - - - - Sale of assets (9,994) - 110,588 - - - Financing Proceeds - - - - - - Total Revenues 20,021,167 19,557,503 20,840,078 20,509,610 - 20,509,610 EXPENDITURES Source of Supply 6100 8,142,386 7,718,129 7,963,435 8,168,860 - 8,168,860 Distribution 6301 3,430,531 3,898,088 4,798,010 4,758,430 58,631 4,817,061 Customer Accounts 6401 421,817 495,490 435,368 570,515 9,995 580,510 Admin & General 6501 2,164,940 2,099,898 2,072,627 2,560,005 18,928 2,578,933 Debt Service 6700 489,968 974,346 930,064 1,792,940 - 1,792,940 Broadband 6900 442,826 675,547 1,033,569 1,385,089 21,728 1,406,817 Capital Outlay 7001 4,130,498 8,740,532 10,048,158 10,996,833 - 10,996,833 Transfers Out 6600 1,772,928 1,720,029 1,670,028 1,488,000 - 1,488,000 Rounding (1) 1 - - - - Total Expenditures 20,995,893 26,322,060 28,951,259 31,720,672 109,282 31,829,954 Net Income (Loss)(974,726) (6,764,557) (8,111,181) (11,211,062) (109,282) (11,320,344) Beginning Fund Balance 8,969,681 37,175,241 28,716,335 19,477,782 19,477,782 19,477,782 Ending Fund Balance 7,994,955 30,410,684 20,605,154 8,266,720 19,368,500 8,157,438 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY BY FUND & DEPARTMENT POWER AND COMMUNICATIONS FUND # 502 Page 200 Dept # 2019 Actual 2020 Actual 2021 Actual 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental 348,087 97,309 3,999 8,991,000 - 8,991,000 Charges for services 6,636,801 6,584,836 7,166,538 5,580,272 - 5,580,272 Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 221,134 136,974 (11,490) 100,000 - 100,000 Donations - - - - - - Miscellaneous 103,852 50,889 24,613 - - - Transfers-In from other funds - - - - - - Sale of assets (5,213) - (3,961) 135,000 - 135,000 Financing Proceeds - - - 12,168,000 - 12,168,000 Total Revenues 7,304,661 6,870,008 7,179,700 26,974,272 - 26,974,272 EXPENDITURES Source of Supply 6100 105,523 146,014 125,029 120,000 - 120,000 Purification 6200 880,041 894,748 821,889 1,165,914 8,520 1,174,434 Distribution 6300 1,490,360 1,583,472 1,531,073 2,106,597 29,248 2,135,845 Customer Accounts 6400 245,114 293,507 295,013 410,849 6,590 417,439 Admin & General 6500 764,451 816,504 880,288 1,260,717 13,254 1,273,971 Debt Service 6700 104,892 127,513 106,581 487,181 - 487,181 Capital Outlay 7000 2,065,927 3,297,209 1,057,644 27,878,162 - 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 4,949,517 33,554,170 57,612 33,611,782 Net Income (Loss)1,499,310 (427,492) 2,230,183 (6,579,898) (57,612) (6,637,510) Beginning Fund Balance 8,070,619 9,354,291 9,123,115 10,946,462 10,946,462 10,946,462 Ending Fund Balance 9,569,929 8,926,799 11,353,298 4,366,564 10,888,850 4,308,952 WATER FUND # 503 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY BY FUND & DEPARTMENT Page 201 Dept # 2019 Actual 2020 Actual 2021 Actual 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental - - - - - - Charges for services 944,889 887,817 807,404 250,000 - 250,000 Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 35,806 22,987 (2,967) 20,000 - 20,000 Donations - - - - - - Miscellaneous 2,459,907 2,663,834 2,602,472 3,065,368 - 3,065,368 Transfers-In from other funds - - - - - - Sale of assets - - - - - - Financing Proceeds - - - - - - Total Revenues 3,440,602 3,574,638 3,406,910 3,335,368 - 3,335,368 EXPENDITURES Medical Insurance Fund Operations 4200 2,636,662 3,301,785 3,265,130 3,395,000 - 3,395,000 Contingency - Med Ins Claims 4200 - - - 750,000 - 750,000 Rounding (1) - - - - - Total Expenditures 2,636,661 3,301,785 3,265,130 4,145,000 - 4,145,000 Net Income (Loss)803,941 272,853 141,779 (809,632) - (809,632) Beginning Fund Balance 1,228,803 2,032,744 2,305,597 2,447,376 2,447,376 2,447,376 Ending Fund Balance 2,032,744 2,305,597 2,447,376 1,637,744 2,447,376 1,637,744 BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY BY FUND & DEPARTMENT MEDICAL INSURANCE FUND # 606 TOWN OF ESTES PARK Page 202 Dept # 2019 Actual 2020 Actual 2021 Actual 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental 10 - - 300,800 - 300,800 Charges for services 505,992 361,131 617,915 592,797 - 592,797 Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 7,321 4,138 (340) 4,000 - 4,000 Donations - - - - - - Miscellaneous 580 - - - - - Transfers-In from other funds - - - 135,000 - 135,000 Sale of assets 7,750 (30) - - - - Financing Proceeds - - - - - - Total Revenues 521,653 365,239 617,575 1,032,597 - 1,032,597 EXPENDITURES Fleet Maintenance 4300 409,863 364,124 459,467 603,335 10,614 613,949 Capital Outlay 7000 15,677 - 75,509 929,491 - 929,491 Rounding (1) - - - - - Total Expenditures 425,539 364,124 534,976 1,532,826 10,614 1,543,440 Net Income (Loss)96,114 1,115 82,599 (500,229) (10,614) (510,843) Beginning Fund Balance 477,135 573,249 574,364 656,965 656,965 656,965 Ending Fund Balance 573,249 574,364 656,963 156,736 646,351 146,122 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY BY FUND & DEPARTMENT FLEET MAINTENANCE FUND # 612 Page 203 Dept # 2019 Actual 2020 Actual 2021 Actual 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental (7) 5,000 15,691 - - - Charges for services 841,570 896,096 953,242 935,672 - 935,672 Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 6,751 3,815 (314) 4,000 - 4,000 Donations - - - - - - Miscellaneous 1,847 1,891 1,615 - - - Transfers-In from other funds - - - - - - Sale of assets - - - - - - Financing Proceeds - - - - - - Total Revenues 850,161 906,802 970,234 939,672 - 939,672 - EXPENDITURES - IT Operations 2500 739,274 654,012 759,722 861,624 11,220 872,844 Capital Outlay 2500 80,200 55,393 61,500 106,500 - 106,500 Transfers Out 9000 - - - - - - Rounding (1) - - - - - Total Expenditures 819,473 709,405 821,222 968,124 11,220 979,344 Net Income (Loss)30,688 197,397 149,013 (28,452) (11,220) (39,672) Beginning Fund Balance 276,297 306,985 504,382 653,393 653,393 653,393 Ending Fund Balance 306,985 504,382 653,395 624,941 642,173 613,721 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY BY FUND & DEPARTMENT INFORMATION SYSTEMS TECHNOLOGY FUND # 625 Page 204 Dept # 2019 Actual 2020 Actual 2021 Actual 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget REVENUE Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental - - - - - - Charges for services 455,898 478,139 517,006 646,557 - 646,557 Fines and forfeitures - - - - - - Rental income - - - - - - Investment income 857 484 201 500 - 500 Donations - - - - - - Miscellaneous - - - - - - Transfers-In from other funds 15,000 - - - - - Sale of assets 23,757 (60) (38,389) - - - Financing Proceeds - - - - - - Total Revenues 495,512 478,563 478,818 647,057 - 647,057 EXPENDITURES Fleet Replacement Operations 3500 - - - - - - Capital Outlay 7000 243,430 123,559 7,572 793,332 - 793,332 Transfers Out 9000 - - - 17,381 - 17,381 Rounding - 2 - - - - Total Expenditures 243,430 123,561 7,572 810,713 - 810,713 Net Income (Loss)252,082 355,002 471,246 (163,656) - (163,656) Beginning Fund Balance 319,092 571,174 926,176 1,438,512 1,438,512 1,438,512 Ending Fund Balance 571,174 926,176 1,397,422 1,274,856 1,438,512 1,274,856 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY BY FUND & DEPARTMENT VEHICLE REPLACEMENT FUND # 635 Page 205 Dept # 2019 Actual 2020 Actual 2021 Actual 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget - REVENUE - Taxes - - - - - - Licenses and permits - - - - - - Intergovernmental - - - - - - Charges for services 271,616 307,344 358,356 395,500 - 395,500 Fines and forfeitures - - - - - - Rental income - - - - - - Investment income - - - - - - Donations - - - - - - Miscellaneous 55 287 5,202 - - - Transfers-In from other funds - - - - - - Sale of assets - - - - - - Financing Proceeds - - - - - - Total Revenues 271,671 307,631 363,558 395,500 - 395,500 EXPENDITURES Risk Management Operations 4100 271,627 307,015 328,353 395,500 - 395,500 Rounding - - - - - - Total Expenditures 271,627 307,015 328,353 395,500 - 395,500 Net Income (Loss)44 616 35,205 - - - Beginning Fund Balance - 44 660 35,866 35,866 35,866 Ending Fund Balance 44 660 35,865 35,866 35,866 35,866 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY BY FUND & DEPARTMENT RISK MANAGEMENT FUND # 645 Page 206 General Fund Community Reinvestment Fund Total Total Revenues 23,070,147 5,915,916 28,986,063 Less: Capital & One Time Grants (One time funds)953,564 1,230,116 2,183,680 Transfer from Fleet Replacement Fund - 17,381 Transfers between GF & CRF - 4,649,919 4,649,919 953,564 5,897,416 6,850,980 Net Ongoing Revenues 22,116,583 18,500 22,135,083 Total Expenditures 28,160,058 6,215,386 34,375,444 Less: Transfers between GF & CRF 4,649,919 - 4,649,919 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 85,000 - 85,000 Workforce Housing Assistance 415,000 - 415,000 Conting-Grants 101-1900-419-60-02 250,000 - 250,000 Comprehensive Land Use Plan 231,532 - 231,532 Housing Needs Study 73,000 - 73,000 Facility Needs Study - 21,990 21,990 Capital 574,151 5,128,013 5,702,164 One Time Transfer to Fleet for final Water Shop Pmt 135,000 - 135,000 1,775,683 5,150,003 6,925,686 Net Ongoing Expenditures 21,734,456 1,065,383 22,799,839 Net Ongoing Rev vs Exp 382,127 (1,046,883) (664,756) TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT GENERAL & COMMUNITY REINVESTMENT FUNDS ONGOING REVENUES VS ONGONG EXPENDITURES Page 207 General Fund Comm Reinvestment Fund Total Fund Balance 11,076,976$ 171$ 11,077,147$ Reserves to Exclude Parking Garage Maintenance Reserve 48,000 48,000 Capital Reserves 1,700,000 1,700,000 Workforce Housing Reserve 85,000 85,000 Prepaids and Restricted Donations Estimate 207,739 207,739 2,040,739 - 2,040,739 Fund Balance Subject to Reserve Calculation 9,036,237 171 9,036,408 Total Expenditures 28,160,058 6,215,386 34,375,444 Less Transfers Out Between GF & CRF 4,649,919 - 4,649,919 Net Expenditures 23,510,139 6,215,386 29,725,525 Less Capital Expenditures General Fund 574,151 - 574,151 Community Reinvestment Fund - 5,128,013 5,128,013 Total Capital to Exclude 574,151 5,128,013 5,702,164 Total Expenditures Subject to Reserve Calculation 22,935,988$ 1,087,373$ 24,023,361$ 25% Reserve Per Policy 660 6,005,840 Projected Reserve Ratio as of 12-31-2022 37.6% TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT GENERAL & COMMUNITY REINVESTMENT FUNDS FUND BALANCE RESERVE RATIO Page 208 Fund Account # Project Code Project Descr Grant Program / Grantor Federal / State / Other 2022 Approved Budget 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 - - 101 101-2100-333.00-00 BVEST Bulletproof Vest Partnership Program US Dept of Justice F 1,500 1,500 101 101-2100-334.20-00 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 TCDOT-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 51,481 101 101-5700-365.20-00 MUSSCN Museum Large Format Scanner Trust Fund Donation O 5,663 5,663 101 101-5700-365.20-00 MUSSCN Museum Large Format Scanner Friends of the Museum Foundation O 3,337 3,337 101 Total 1,035,004 - 1,035,004 204 204-0000-333.00-00 COMMDR Community Drive Intersection CDOT F 750,000 - 750,000 204 204-0000-333.00-00 BIGTHF Big Thompson Flood Mitigation Design FEMA F 410,625 410,625 204 204-0000-334.20-00 WILL22 Willow Knolls - Birch Ruins Walkway State of Colorado S 19,491 19,491 204 204-0000-334.20-00 34STDY US 34 Corridor Study CDOT S 50,000 50,000 204 Total 1,230,116 - 1,230,116 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY OF BUDGETED GRANT REVENUES, DONATIONS AND DEBT PROCEEDS ALL FUNDS Page 209 Fund Account # Project Code Project Descr Grant Program / Grantor Federal / State / Other 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY OF BUDGETED GRANT REVENUES, DONATIONS AND DEBT PROCEEDS 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 955,000 955,000 244 244-0000-334.30-00 FRTR2B Fall River Trail Phase 2B Colorado the Beautiful S 363,706 363,706 244 244-0000-334.40-00 FRTR3 Fall River Trail Phase 3 Rocky Mnt Conservancy O 120,039 120,039 244 244-0000-334.40-00 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 210 Fund Account # Project Code Project Descr Grant Program / Grantor Federal / State / Other 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SUMMARY OF BUDGETED GRANT REVENUES, DONATIONS AND DEBT PROCEEDS 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 21,159,000 - 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 27,245,166$ -$ 27,245,166$ Page 211 Project Name/Description Project Code ACCOUNT NUMBER ACCOUNT DESCRIPTION 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget 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 231,532 231,532 PARKING GARAGE MAINTENANCE RESERVE PKGRES 101-1700-417.37-99 MAINTENANCE RESERVE 12,000 12,000 HOUSING STUDY/NEEDS ASSESSMENT *22HSN 101-1945-419.22-98 PROFESSIONAL SERVICES - OTHER 73,000 73,000 WORKFORCE HOUSING ASSISTANCE NA 101-1945-419.29-80 WORKFORCE HSNG ASSISTANCE 415,000 415,000 WORKFORCE HOUSING RESERVE WFHRES 101-1945-419.37-98 WORKFORCE HSNG RESERVES 85,000 85,000 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 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 361,017 361,017 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 15,000 15,000 MUSEUM LARGE FORMAT SCANNER MUSSCN 101-5700-457.33-32 OFFICE EQUIPMENT 9,000 9,000 *TOTAL GENERAL FUND 1,803,181 - 1,803,181 * 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 WILLOW KNOLLS - BIRCH RUINS WALKWAY WILL22 204-5400-544.31-13 LAND IMPROVEMENTS 26,000 26,000 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 440,000 440,000 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 62,381 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 160,827 160,827 BIG THOMPSON FLOOD MITIGATION DESIGN BIGTHF 204-5400-544.35-53 STORM DRAINAGE 550,000 550,000 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 212,733 212,733 FLAP/RAMP ESTIMATED COSTS FLAP 204-5400-544.36-60 FED GRANT - FLAP 500,000 500,000 *TOTAL COMMUNITY REINVESTMENT FUND 5,150,003 - 5,150,003 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SCHEDULE OF BUDGETED PROJECTS ALL FUNDS Page 212 Project Name/Description Project Code ACCOUNT NUMBER ACCOUNT DESCRIPTION 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT 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 BIG THOMPSON RIVER PICNIC AREA (PKG GAR PAVILION) (GOCO 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 34,489 34,489 FALL RIVER TRAIL PHASE 1B (MTF GRANT)FRTR1B 220-4600-462.36-60 FALL RIVER TRAIL IMPR 936,620 936,620 FALL RIVER TRAIL PHASE 2A FRTR2A 220-4600-462.36-60 FALL RIVER TRAIL IMPR - - FALL RIVER TRAIL PHASE 3 FRTR3 220-4600-462.36-60 FALL RIVER TRAIL IMPR - - *TOTAL LARIMER COUNTY OPEN SPACE FUND 1,077,023 - 1,077,023 * 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 999,242 999,242 MACGREGOR TRAIL EXTENSION EVRPMT 244-3400-434-35-60 WALKWAYS & BIKEWAYS 12,500 12,500 FALL RIVER TRAIL FRTRL 244-3400-434.36-60 FALL RIVER TRAIL IMPR 112,390 112,390 FALL RIVER TRAIL PHASE 1A (TAP GRANT)FRTR1A 244-3400-434.36-60 FALL RIVER TRAIL IMPR 1,593,750 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 - - *TOTAL TRAILS FUND 3,209,744 - 3,209,744 * 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 48,562 48,562 *TOTAL PARKING SERVICES FUND 51,762 - 51,762 Page 213 Project Name/Description Project Code ACCOUNT NUMBER ACCOUNT DESCRIPTION 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT 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 70,663 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 105,116 105,116 OVERLAY PROGRAM 2022 OVRLAY 260-2000-420.35-51 STREETS 635,000 635,000 PARKING LOT REHABILITATION PARKLT 260-2000-420.35-52 PARKING LOT 11,569 11,569 EP MOBILITY HUB - VISITOR CTR 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 2,795,010 - 2,795,010 * TRAILBLAZER BROADBAND OFFICE TBNBND 502-7001-580.32-21 BUILDINGS 310,374 310,374 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 METERS ELMTR 502-7001-580.33-34 METERS 150,000 150,000 TRANSFORMER & TRIP SAVERS TRANSF 502-7001-580.33-35 TRANSFORMERS 226,680 226,680 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 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 75,000 75,000 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 75,000 75,000 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 STREET LIGHTING, POLES & FIXTURES LIGHTS 502-7001-580.35-55 STREET LIGHTS 40,000 40,000 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 248,481 248,481 NEW SERVICE CONNECTIONS WOKEXT 502-7001-580.35-59 CUSTOMER SERVICE LINES 742,451 742,451 SMART GRID FIBER OPTIC INSTALL SMTFBR 502-7001-580.35-66 FIBER OPTIC INSTALL 3,694 3,694 TRAILBLAZER BROADBAND CONSTRUCTION TBNBND 502-7001-580.35-66 FIBER OPTIC INSTALL 8,255,488 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 UTILITY BILLING MODERNIZATON PROJECT UBPRTL 502-7001-580.37-01 SOFTWARE DEVELOPMENT 10,000 10,000 *TOTAL POWER & COMMUNICATIONS FUND 10,996,833 - 10,996,833 * 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 Page 214 Project Name/Description Project Code ACCOUNT NUMBER ACCOUNT DESCRIPTION 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SCHEDULE OF BUDGETED PROJECTS ALL FUNDS GC DISINFECTION OUTREACH AND VERIFICATION EFFORT GCDOVE 503-7000-580.32-22 BUILDING REMODELING 183,941 183,941 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 METER REPLACEMENT PROJECT SMRTW 503-7000-580.33-34 METERS 250,000 250,000 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 57,523 57,523 SCADA VHF REPEATER & RADIOS EQUIP 503-7000-580.33-36 COMMUNICATION EQUIPMENT 90,893 90,893 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 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 CHEV COLORADO PICKUP 90314 503-7000-580.34-42 TRUCKS 3,345 3,345 JOBSITE UTV 90383 503-7000-580.34-42 TRUCKS 20,000 20,000 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 64,000 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 10,589,145 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 79,048 79,048 CIP ROCKWELL/WEST RIVERSIDE DR 16" MAIN ROCKWL 503-7000-580.35-54 WATER SYSTEM 95,053 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 1,647,912 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 SHOP)KEARNY 503-7000-580.35-54 WATER SYSTEM 39,950 39,950 PARKING STRUCTURE WATERLINE PKGWTR 503-7000-580.35-54 WATER SYSTEM 225,000 225,000 BIG HORN DR WATER MAIN REPL BHWTRM 503-7000-580.35-54 WATER SYSTEM 509,091 509,091 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 167,798 167,798 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 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 27,878,162 - 27,878,162 Page 215 Project Name/Description Project Code ACCOUNT NUMBER ACCOUNT DESCRIPTION 2022 Approved Budget Current Proposed Amendment 2022 Amended Budget TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT SCHEDULE OF BUDGETED PROJECTS ALL FUNDS * PURCH WATER SHOP FOR NEW FLEET MAINT FAC FLSHOP 612-7000-610.32-21 BUILDINGS 400,000 400,000 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 371,348 371,348 *TOTAL FLEET MAINTENANCE FUND 929,491 - 929,491 * DELL SERVERS & 10 G SWITCHES & NAS STORAGE NETWRK 625-2500-425.33-98 OTHER EQUIPMENT 89,000 89,000 MPEC SERVER ROOM AC UNIT ACMPEC 625-2500-425.33-98 OTHER EQUIPMENT 17,500 17,500 *TOTAL INFORMATION TECHNOLOGY FUND 106,500 - 106,500 * POLICE G-155 CRUISER REPLACEMENT G-155A 635-7000-435.34-42 TRUCKS 64,000 64,000 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 60,000 60,000 STREETS -NEW STREET SWEEPER COMBINE G116A & G97B G116A 635-7000-435.34-42 TRUCKS 248,526 248,526 PARKS G-66B G66C 635-7000-435.34-42 TRUCKS 42,000 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 793,332 - 793,332 * *TOTAL PROJECT RECAP 54,810,041$ -$ 54,810,041$ Page 216 TOWN OF ESTES PARK BA#3 - 2022 MID-YEAR COMPENSATION ADJUSTMENT 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 NA NA Transfer to Community Reinvestment Fund to cure negative fund balance One Time 1,000 1,000 101 General Fund Various Various Mid-year compensation adjustment - 5% increase with a $2 minimum. Seasonals will receive a $0.50 per hour bonus if they stay and complete the full year.Ongoing 238,124 238,124 220 Open Space Fund Public Works Various Mid-year compensation adjustment - see GF description Ongoing 1,673 1,673 244 Trails Exp Fund Public Works Various Mid-year compensation adjustment - see GF description Ongoing 1,854 1,854 256 Parking Services Fund Public Works Parking & Transit Mid-year compensation adjustment - see GF description Ongoing 3,895 3,895 260 Street Improvement Fund Public Works Various Mid-year compensation adjustment - see GF description Ongoing 4,230 4,230 502 Power and Communication Fund Utilities Various Mid-year compensation adjustment - see GF description Ongoing 109,282 109,282 503 Water Fund Utilities Various Mid-year compensation adjustment - see GF description Ongoing 57,612 57,612 612 Fleet Maintenance Fund Public Works Fleet Maint Mid-year compensation adjustment - see GF description Ongoing 10,614 10,614 625 IT Fund IT Various Mid-year compensation adjustment - see GF description Ongoing 11,220 11,220 Total Expenditure Appropriation Changes 1,000 438,504 439,504 Page 217       Page 218