HomeMy WebLinkAbout20131167.tiffSTATE OF COLORADO
DEPARTMENT OF TRANSPORTATION
Randy Perkins, Contract Administrator
Center for Procurement and Contract Services
Colorado Department of Transportation
4201 E. Arkansas Ave., Suite 200
Denver, CO 80222
Phone: (303) 757-9291
December 16, 2013
William F. Garcia
Chairman of the Board, County Commissioners
Weld County Government
PO Box 758
Greeley, CO 80632
RE: Executed Option Letter #02
Original Contract No.: 11 HA4 27827
Routing Contract No.: 14 HA4 63268
SAP# 200000029
Dear William:
RECEIVED
DEC r 9 r^a`,
WELD COUNTY
COMnivgSTWFRE
DFIARTMENT OF Tt NSPORTATICf.
Enclosed please find an executed original copy of the above referenced Option Letter related to
the Intergovernmental Agreement between Weld County and CDOT.
This option letter makes available (encumbers) funding for CDOT's Fiscal Year 2014.
Please call me at (303) 757-9291 if I can be of further assistance.
Sincerely,
Randy Perkin_
Contra4s Administrator
303.757.9291
randy. perkins®state.co.us
Enclosure
COt hU nth
Iz-30-I3
o?t/3-//67
ECG polo:
IGA OPTION LETTER
Date: 11/26/13 I State Fiscal Year: 2014
Original Contract SAP #
Vendor name: Weld County
Option Letter No. 2
Option Letter SAP # 200000029
Routing # 14 HA4 63268
A. SUBJECT:
Option to add Construction encumbrance and to update funding.
B. REQUIRED PROVISIONS:
In accordance with the terms of the original Agreement (11 HA4 27827) between the State of
Colorado, Department of Transportation and Weld County, the State hereby exercises the option to
add a phase in FY 2014 that will include the Construction phase, and to update funding based on
changes from state, federal and local matching funds. The Agreement is now increased by
$2,422,998.00 as specified in Exhibit C-2 of Amendment #1 (the Amendment) to the original
Agreement (Amendment number is #13 HA4 56266, executed 7/3/13). A new Exhibit C-3 is made part
of the original Agreement and replaces Exhibit C-2. Total funds for this Agreement remain the same at
$3,143,998.00, as referenced in Exhibit C-2 of the Amendment.
The amount of the current Fiscal Year encumbrance is increased by $2,422,998.00 to a new
encumbrance value of $3,143,998.00 to satisfy services/goods ordered under the Agreement for the
current fiscal year 2014.
The effective date of this Option Letter is upon approval of the State Controller or delegate.
APPROVALS:
State of Colorado:
John W. Hickenloo er, Governor
By: /'
Timothy J. Harris', P.E.,
Colorado Department of Transportation
Date: /%/l3
ALL CONTRACTS MUST BE APPROVED BY THE STATE 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.
Form Updated: June 12, 2008
State Controller
Robert Jaros, CPA MBA JD
By:
Date: /q34
Option Letter (18121), Page 1 of 1
EXHIBIT C-3 - FUNDING PROVISIONS
A. Cost of Work Estimate
The Local Agency has estimated the total cost the Work, which is to be funded as follows:
1
2
3
a.
b.
c.
d.
e.
a.
b.
a.
b.
c.
BUDGETED FUNDS
Federal Funds
(82.79% of Participating Funds — NFR Metro) $1,606,000.00
(82.79% of Participating Funds — State Resurfacing) $600,000.00
$2,206,000.00
$358,573.00
$100,000.00
$321,000.00
$158,425.00
Total Federal Funds
Local Matching Funds (17.21% of Participating Funds-NFR Metro)
State Matching Funds (17.21% of Participating Funds -State Resurfacing)
State Contribution (100% State Funds — Utility Phase)
Local Agency Overmatch (100% Local Agency Funds)
TOTAL BUDGETED FUNDS $3,143,998.00
ESTIMATED CDOT-INCURRED COSTS
Federal Share $0.00
Local Agency
TOTAL ESTIMATED CDOT-INCURRED COSTS $0.00
ESTIMATED PAYMENT TO LOCAL AGENCY
Federal Funds Budgeted $2,206,000.00
State Matching Funds and Contribution $421,000.00
Less Estimated Federal Share of CDOT-Incurred Costs (2a)
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $2,627,000.00
FOR CDOT ENCUMBRANCE PURPOSES
la.
Federal Funds
$2,206,000.00
1b.
Local Agency Matching Funds
$358,573.00
1c.
State Matching Funds
$100,000.00
ld.
State Contribution
$321,000.00
le.
Local Agency Overmatch
$158,425.00
Less: ROW Acquisitions 3111 and/or ROW Relocations 3109
$0.00
Total Encumbrance $3,143,998.00
NOTE: The remaining funds of $2,422,998.00 will be encumbered after federal
authorization and execution of an option letter (Exhibit D-1).
Net to be encumbered as follows:
WBS Element 18121.10.30
Design
3020
$400,000.00
WBS Element 18121.10.20
Utility
3987
$321,000.00
WBS Element 18121.20.10
Const
3301
$0.00
Exhibit C-3, Page 1 of 2
B. Matching Funds
The matching ratio for the federal participating funds for this Work is 82.79% federal aid funds
(CFDA #20 2050) to 0 or 17.21% Local Agency funds, it being understood that such ratio
applies only to the $2,664,573.00 that is eligible for federal participation, it being further
understood that all non participating costs are borne by the Local Agency at 100%. If the total
participating cost of performance of the Work exceeds $2,664,573.00, and additional federal
funds are made available for the Work, the Local Agency shall pay 0 or 17.21% of all such costs
eligible for federal participation and 100% 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 performance of the Work is less than $2,664,573.00, then the amounts of
Local Agency and federal aid funds will be decreased in accordance with the funding ratio
described herein.
C. Maximum Amount Payable
The maximum amount payable to the Local Agency under this Agreement shall be
$2,627,000.00 (For CDOT accounting purposes, the federal funds of $2,206,000.00, the Local
Agency funds of $516,998.00 [$358,573.00 + $158,425.00], and the State funds of $421,000.00
[$100,000.00 + $321,000.00] will be encumbered for a total encumbrance of $3,143,998.00,
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.
D. Single Audit Act Amendment
All state and local government and non-profit organizations receiving more than $500,000 from
all funding sources defined as federal financial assistance for Single Audit Act Amendment
purposes shall comply with the audit requirements of OMB Circular A-133 (Audits of States,
Local Governments and Non -Profit Organizations) see also, 49 C.F.R. 18.20 through 18.26. The
Single Audit Act Amendment requirements applicable to Sub -The Local Agency receiving
federal funds are as follows:
i. Expenditure less than $500,000
If Sub -The Local Agency expends less than $500,000 in Federal funds (all federal sources,
not just Highway funds) in its fiscal year then this requirement does not apply.
ii. Expenditure exceeding than $500,000 -Highway Funds Only
If Sub -The Local Agency expends more than $500,000 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 exceeding than $500,000 -Multiple Funding Sources
If Sub -The Local Agency expends more than $500,000 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.
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-3, Page 2 of 2
RESOLUTION
RE: APPROVE AMENDMENT #1 TO CONTRACT FOR COUNTY ROAD 23/STATE
HIGHWAY 392 INTERSECTION REALIGNMENT DESIGN AND AUTHORIZE CHAIR
TO SIGN
WHEREAS, the Board of County Commissioners of Weld County, Colorado, pursuant to
Colorado statute and the Weld County Home Rule Charter, is vested with the authority of
administering the affairs of Weld County, Colorado, and
WHEREAS, the Board has been presented with Amendment #1 to the Contract for the
County Road 23/State Highway 392 Intersection Improvements between the County of Weld,
State of Colorado, by and through the Board of County Commissioners of Weld County, on
behalf of the Department of Public Works, and the Colorado Department of Transportation,
commencing upon full execution, with terms and conditions being as stated in said amendment,
and
WHEREAS, after review, the Board deems it advisable to approve said amendment, a
copy of which is attached hereto and incorporated herein by reference.
NOW, THEREFORE, BE IT RESOLVED by the Board of County Commissioners of
Weld County, Colorado, that Amendment #1 to the Contract for the County Road 23/State
Highway 392 Intersection Improvements between the County of Weld, State of Colorado, by
and through the Board of County Commissioners of Weld County, on behalf of the Department
of Public Works, and the Colorado Department of Transportation be, and hereby is, approved.
BE IT FURTHER RESOLVED by the Board that the Chair be, and hereby is, authorized
to sign said amendment.
tp,
2013-1167
cc; Aid
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EG0068
AMENDMENT #1 TO AGREEMENT FOR COUNTY ROAD 23/STATE HIGHWAY 392
INTERSECTION REALIGNMENT DESIGN
PAGE 2
The above and foregoing Resolution was, on motion duly made and seconded, adopted
by the following vote on the 13th day of May, A.D., 2013.
BOARD OF COUNTY COMMISSIONERS
WELD COUNTY. COLORADO
Weld County Clerk to the Board
C
BY
Deputy
APP
k to the Board
ED AS TO
ou
orney
Date of signature:
William F. Garcia,
EXCUSED
Douglas Rademacher, Pro-Tem
can P. Conway
861CUSED
: �t�
:ike Freeman
Barbara Kirkmey-r
2013-1167
EG0068
y
STATE OF COLORADO
DEPARTMENT OF TRANSPORTATION
Center for Procurement and Contract Services
Randy Perkins, Contract Administrator
4201 E. Arkansas Avenue, Suite 200
Denver, Colorado 80222
(303) 757-9291
May 7, 2013
Mike Bedell
Weld County Public Works
1111 H Street
P.O. Box 758
Greeley, Colorado 80632-0758
RE: SH 392/WCR 23 Intersection Improvements
Amendment #1
✓ a
DEPARTMEN- T Cr TRANSPORTATION
Enclosed please find three executory copies of the above referenced contract amendment between Weld
County and the Colorado Depai lanent of Transportation.
This amendment will add the construction phase and funding.
PLEASE MAKE SURE EACH DOCUMENT IS SIGNED BY THE APPROPRIATE
INDIVIDUAL HAVING THE AUTHORITY TO EXECUTE SUCH AGREEMENTS ON
BEHALF OF THE OW.
Return all three original copies to my attention.
Please call me at (303) 757-9291 if you have any questions or if I can be of further assistance.
Randy ' erk'fns
Co acting Administrator
2013-1167
STATE OF COLORADO
Center for Procurement and Contract Services
Bob Corman, Director
4201 D. Arkansas Avenue, Suite 200
Denver, CO 80222
(303) 757-9236
July 8, 2013
Mike Bedell
Weld County Public Works
1111 H Street
P.O. Box 758
Greeley, Colorado 80632-0758
DEPARTMENTOF RMJsPoR
RE: Executed Amendment #1
Weld County Road 23 and State Highway 392 Intersection Improvement
Enclosed please find an executed original copy of the above referenced amendment
between Weld County and CDOT.
This amendment will increase the overall contract funding (Total Budgeted Funds)
from $400,000.00 to $3,143,998.00.
Please coordinate with the CDOT Project Manager (Tim Tuttle) for work affected by
this amendment.
Please call me at X303) 757-9291 if I can be of further assistance.
Since/Ty,
Randy Perkins
Contracting Officer
Enclosure
CONTRACT AMENDMENT
Date: 5/6/13
Amendment #1
Original Contract CMS # 11 HA4 27827
Project # STU C030-043 (18121)
Amendment CMS # 13 HA4 56266
PO 200000005
1) PARTIES
This Amendment to the above -referenced Original Contract ("Contract") is entered into by and between
Weld County ("Local Agency" or "Contractor"), and the STATE OF COLORADO ("State") acting by and
through the Department of Transportation, ("CDOT").
2) EFFECTIVE DATE AND ENFORCEABILITY
This Amendment shall not be effective or enforceable until it is approved and signed by the Colorado State
Controller or designee ("Effective Date"). The State shall not be liable to pay or reimburse Contractor for
any performance hereunder including, but not limited to, costs or expenses incurred, or be bound by any
provision hereof prior to the Effective Date.
3) FACTUAL RECITALS
The Parties entered into the Agreement for the Local Agency to perform the intersection improvements at
Weld County Road and State Highway 392.
The Parties now desire to do the following:
a) encumber additional $2,743,998.00 in construction funding; and
b) replace Exhibit C-1 with Exhibit C-2; and
c) replace Section 7, Option Letter Modification, with updated language; and
d) replace the Bilateral Sample Option Letter with a Unilateral Sample Option Letter by replacing
Exhibit D with Exhibit D-1 in order to expedite encumbrance procedures on future phases of the
Project; and
e) Revise Section 22 by adding a reference to Exhibit I; and
f) Update Exhibit K (Supplemental Federal Provisions) to the current version (released March 20,
2013) with Exhibit K-1.
4) LIMITS OF EFFECT
This Amendment is incorporated by reference into the Contract, and the Contract and all prior
amendments thereto, if any, remain in full force and effect except as specifically modified herein.
5) MODIFICATIONS
The Contract and all prior options, amendments, etc. thereto, if any, are modified as follows:
a. Exhibit C-2
The Funding Provisions (Exhibit C-1) have been revised to reflect the additional encumbrance.
Exhibit C-1 is deleted in its entirety and replaced with Exhibit C-2 attached hereto and incorporated
herein by this reference. Any reference to Exhibit C-1 shall hereafter refer to Exhibit C-2.
b. Option Letter Modification
Section 7 is deleted in its entirety and replaced with the following language:
An option letter may be used to add a phase without increasing total budgeted funds, increase or
decrease the encumberance amount as shown on Exhibit C, and/or tranfer funds from one
phase to another. Option letter modification is limited to the specific scenarios listed below. The
option letter shall not be deemed valid until signed by the State Controller or an authorized
delegate.
A. Option to add a phase and/or increase or decrease the total encumbrance amount
The State may require the Local Agency to begin a phase that may include Design, Construction,
Environmental, Utilities, ROW Incidentals or Miscellaneous (this does not apply to
Acquisition/Relocation or Railroads) as detailed in Exhibit A and at the same terms and conditions
stated in the original Agreement, with the total budgeted funds remaining the same. The State may
1
simultaneously increase and/or decrease the total encumbrance amount by replacing the original funding
exhibit (Exhibit C) in the original Agreement with an updated Exhibit C-1 (subsequent exhibits to
Exhibit C-1 shall be labeled C-2, C-3, etc). The State may exercise this option by providing a fully
executed option to the Local Agency within thirty (30) days before the initial targeted start date of the
phase, in a form substantially equivalent to Exhibit D. If the State exercises this option, the Agreement
will be considered to include this option provision.
B. Option to transfer funds from one phase to another phase.
The State may require or permit the Local Agency to transfer funds from one phase (Design,
Construction, Environmental, Utilities, ROW Incidentals or Miscellaneous) to another as a result of
changes to state, federal, and local match. The original funding exhibit (Exhibit C) in the original
Agreement will be replaced with an updated Exhibit Gl (subsequent exhibits to Exhibit C-1 shall be
labled C-2, C-3, etc.) and attached to the option letter. The funds transferred from one phase to another
are subject to the same terms and conditions stated in the original Agreement with the total budgeted
funds remaining the same. The State may unilaterally exercise this option by providing a fully executed
option to the Local Agency within thirty (30) days before the initial targeted start date of the phase, in a
form substantially equivalent to Exhibit D-1. Any transfer offunds from one phase to another is limited
to an aggregate maximum of 24.99% of the original dollar amount of either phase affected by a transfer.
A bilateral amendment is required for any transfer exceeding 24.99% of the original dollar amount of the
phase affected by the increase or decrease.
C. Option to do both Options A and B.
The State may require the Local Agency to add a phase as detailed in Exhibit A, and encumber and
transfer funds from one phase to another. The original funding exhibit (Exhibit C) in the original
Agreement will be replaced with an updated Exhibit C -I (subsequent exhibits to Exhibit C-1 shall be
labeled C-2, C-3, etc.) and attached to the option letter. The addition of a phase and encumbrance and
transfer offunds are subject to the same terms and conditions stated in the original Agreement with the
total budgeted funds remaining the same. The State may unilaterally exercise this option by providing a
fully executed option to the Local Agency within thirty (30) days before the initial targeted start date of
the phase, in a form substantially equivalent to Exhibit D-1.
c. Exhibit D-1
The Bilateral Sample IGA Option Letter, Exhibit D is deleted in its entirety and replaced with Exhibit
D-1, a Unilateral Sample IGA Option Letter which is attached hereto and incorporated herein by this
reference.
d. Section 22 — Federal Requirements
Section 22 of the Contract is deleted in its entirety and replaced with:
The 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 listing of certain federal and state laws that may be applicable are described in
Exhibit I, Exhibit J and Exhibit K.
e. Section 38, Exhibit K — Supplemental Federal Provisions
Section 38 (Exhibit K — Supplemental Federal Provisions) of the Contract shall be deleted in its
entirety and replaced by Exhibit K-1, attached hereto.
6) START DATE
This Amendment shall take effect upon the date of the State Controller's Signature.
7) ORDER OF PRECEDENCE
Except for the Special Provisions, in the event of any conflict, inconsistency, variance, or contradiction
between the provisions of this Amendment and any of the provisions of the Contract, the provisions of this
Amendment shall in all respects supersede, govern, and control. The most recent version of the Special
Provisions incorporated into the Contract or any amendment shall always control other provisions in the
2
Contract or any amendments.
8) AVAILABLE FUNDS
Financial obligations of the state payable after the current fiscal year are contingent upon funds for that
purpose being appropriated, budgeted, or otherwise made available.
[THE REMAINDER OF THIS PAGE INTENTIONALLY LEFT BLANK]
3
THE PARTIES HERETO HAVE EXECUTED THIS AGREEMENT
* Persons signing for The Local Agency hereby swear and affirm that they are authorized to act on The Local Agency's
behalf and acknowledge that the State is relying on their representations to that effect.
THE LOCAL AGENCY
Weld County, Colorado
William F. Garcia
STATE OF COLORADO
John W. Hickenlooper, GOVERNOR
Colorado Department of Transportation
��� . '�.,v.j
Print Name of Authorized Individual
Chair, Board of Weld County Commissioners
By: T Olhy J. Harris, P.E. Chief Engineer
For: Donald E. Hunt, Executive Director
*/// 7
Print Title of Authorized Individual:
WI'Date:
�gnature
- MAY 1 3 2013
Date:
ALL AGREEMENTS REQUIRE APPROVAL BY THE STATE CONTROLLER
CRS §24-30-202 requires the State Controller to approve all State Agreements. This Agreement is not valid until signed
and dated below by the State Controller or delegate. The Local Agency 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
By:
C
Colorado Department of Transportation
Date: 1/3/D-0/3
�/3
4
D/.3- /%!,7
32. EXHIBIT C-1 - FUNDING PROVISIONS
A. Cost of Work Estimate
The Local Agency has estimated the total cost the Work to be $3,143,998.00, which is to be
funded as follows:
STU C030-043 (18121)
1
2
3
a.
b.
c.
d.
e.
a.
b.
a.
b.
c.
BUDGETED FUNDS
Federal Funds
(82.79% of Participating Funds — NFR Metro) $1,606,000.00
(82.79% of Participating Funds — State Resurfacing) $600,000.00
$2,206,000.00
$358,573.00
$100,000.00
$321,000.00
$158,425.00
Total Federal Funds
Local Matching Funds (17.21% of Participating Funds-NFR Metro)
State Matching Funds (17.21% of Participating Funds -State Resurfacing)
State Contribution (100% State Funds — Utility Phase)
Local Agency Overmatch (100% Local Agency Funds)
TOTAL BUDGETED FUNDS $3,143,998.00
ESTIMATED CDOT-INCURRED COSTS
Federal Share $0.00
Local Agency
TOTAL ESTIMATED CDOT-INCURRED COSTS $0.00
ESTIMATED PAYMENT TO LOCAL AGENCY
Federal Funds Budgeted $2,206,000.00
State Matching Funds and Contribution $421,000.00
Less Estimated Federal Share of COOT -Incurred Costs (2a)
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $2,627,000.00
FOR CDOT ENCUMBRANCE PURPOSES
la.
Federal Funds
$2,206,000.00
lb.
Local Agency Matching Funds
$358,573.00
lc.
State Matching Funds
$100,000.00
1d.
State Contribution
$321,000.00
le.
Local Agency Overmatch
$158,425.00
Less: ROW Acquisitions 3111 and/or ROW Relocations 3109
$0.00
Total Encumbrance $3,143,998.00
NOTE: The remaining funds of $2,422,998.00 will be encumbered after federal
authorization and execution of an option letter (Exhibit D-1).
Net to be encumbered as follows:
WBS Element 18121.10.30
Design
3020
$400,000.00
WBS Element 18121.10.20
Utility
3987
$321,000.00
WBS Element 18121.20.10
Const
3301
$0.00
Exhibit C-1, Page 1 of 2
B. Matching Funds
The matching ratio for the federal participating funds for this Work is 82.79% federal -aid funds
(CFDA #20 2050) to 0 or 17.21% Local Agency funds, it being understood that such ratio
applies only to the $2,664,573.00 that is eligible for federal participation, it being further
understood that all non -participating costs are borne by the Local Agency at 100%. If the total
participating cost of performance of the Work exceeds $2,664,573.00, and additional federal
funds are made available for the Work, the Local Agency shall pay 0 or 17.21% of all such costs
eligible for federal participation and 100% 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 performance of the Work is less than $2,664,573.00, then the amounts of
Local Agency and federal -aid funds will be decreased in accordance with the funding ratio
described herein.
C. Maximum Amount Payable
The maximum amount payable to the Local Agency under this Agreement shall be
$2,627,000.00 (For CDOT accounting purposes, the federal funds of $2,206,000.00, the Local
Agency funds of $516,998.00 [$358,573.00 + $158,425.00], and the State funds of $421,000.00
[$100,000.00 + $321,000.00] will be encumbered for a total encumbrance of $3,143,998.00,
unless such amount is increased by an appropriate written modification to this Agreement
executed before any increased cost is incurred). NOTE: The remaining funds of
$2,422,998.00 will be encumbered after federal authorization and execution of an option
letter (Exhibit D-1). 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.
D. Single Audit Act Amendment
All state and local government and non-profit organizations receiving more than $500,000 from
all funding sources defined as federal financial assistance for Single Audit Act Amendment
purposes shall comply with the audit requirements of OMB Circular A-133 (Audits of States,
Local Governments and Non -Profit Organizations) see also, 49 C.F.R. 18.20 through 18.26. The
Single Audit Act Amendment requirements applicable to Sub -The Local Agency receiving
federal funds are as follows:
• Expenditure less than $500,000
If Sub -The Local Agency expends less than $500,000 in Federal funds (all federal sources,
not just Highway funds) in its fiscal year then this requirement does not apply.
• Expenditure exceeding than $500,000 -Highway Funds Only
If Sub -The Local Agency expends more than $500,000 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.
• Expenditure exceeding than $500,000 -Multiple Funding Sources
If Sub -The Local Agency expends more than $500,000 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.
• 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-1, Page 2 of 2
32. EXHIBIT D-1 - OPTION LETTER
SAMPLE IGA OPTION LETTER
(This option has been created by the Office of the State Controller for CDOT use only)
NOTE: This option is limited to the specific contract scenarios listed below
AND may be used in place of exercising a formal amendment
Date:
State Fiscal Year:
Original Contract CMS #
Option Letter No.
Option Letter Routing #
Option Letter SAP #
Original Contract SAP #
Vendor name:
SUBJECT:
A. Option to unilaterally add phasing to 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.).
B. 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.).
C. Option to unilaterally do both 1 and 2 (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.).
REQUIRED PROVISIONS. All option letters shall contain the appropriate provisions as follows:
Option A (Insert the following language for use with the Option A):
In accordance with the terms of the original Agreement (insert CMS routing # of the original
Agreement) between the State of Colorado, Department of Transportation and (insert the Local
Agency's name here), the State hereby exercises the option to add 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 funds for the
phase based changes in funding availability and authorization. The total encumbrance is now
(select one: increased and/or decreased) by (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 B (Insert the following language for use with Option 8):
In accordance with the terms of the original Agreement (insert CMS # of the original Agreement)
between the State of Colorado, Department of Transportation and (insert the Local Agency's
name here), the State hereby exercises the option 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 are NOTES only so please delete
when using this option: future changes for this option for Exhibit C shall be labeled as follows:
Exhibit D -1, Page 1 of 2
C-2, C-3, C-4, etc., and no more than 24.99% of any phase may be moved using this option
letter. A transfer greater than 24.99% must be made using a formal amendment).
Option C (Insert the following language for use with Option C):
In accordance with the terms of the original Agreement (insert CMS routing # of original
Agreement) between the State of Colorado, Department of Transportation and (insert the Local
Agency's name here), the State hereby exercises the option to 1) add 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 on changes from federal, state, and/or local match; 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 is a NOTE
only so 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.).
(The following language must be included on ALL options):
The total encumbrance as a result of this option and all previous options and/or amendments is
now (insert total encumbrance amount), as referenced in Exhibit (C-1, C-2, etc., as
appropriate). The total budgeted funds to satisfy services/goods ordered under the Agreement
remains the same: (indicate total budgeted funds) as referenced in Exhibit (C-1, C-2, etc., as
appropriate) of the original Agreement.
The effective date of this option letter is upon approval of the State Controller or delegate.
APPROVALS:
State of Colorado:
John W. Hickenlooper, Governor
By: Date:
Timothy J. Harris, Chief Engineer
Colorado Department of Transportation
ALL CONTRACTS MUST BE APPROVED BY THE STATE 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
By:
Date:
Exhibit D-1, Page 2 of 2
38. EXHIBIT K-1 - 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 (FFATA), 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 not 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://fedoov.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;
L5.3. A domestic or foreign non-profit organization;
Exhibit K-1, Page 1 of 4
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 109-282), 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 performance 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 Subrecipient 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, termination 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
Exhibit K-1, Page 2 of 4
Subrecipient and is not subject to the terms and conditions of the Federal award. Program
compliance requirements do not pass through to a Vendor.
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 15(d) of the Securities Exchange Act of
1934 (15 U.S.C. 78m(a), 78o(d) or § 6104 of the Internal Revenue Code of 1986.
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 (OMB), and as such are subject to change at any time by OMB. Any such changes shall be
automatically incorporated into this Contract and shall become part of Contractor's obligations under
this Contract, as provided in §2 above. The Colorado Office of the State Controller will provide
summaries of revised OMB reporting requirements at
http://www.colorado.gov/dpa/dfp/sco/FFATA.htm.
6. Effective Date and Dollar Threshold for Reporting. The effective date of these Supplemental
Provisions apply to new Awards as of October 1, 2010. Reporting requirements in §7 below apply to
new Awards as of October 1, 2010, if the initial award is $25,000 or more. If the initial Award is below
$25,000 but subsequent Award modifications result in a total Award of $25,000 or more, the Award is
subject to the reporting requirements as of the date the Award exceeds $25,000. If the initial Award
is $25,000 or more, but funding is subsequently de -obligated such that the total award amount falls
below $25,000, the Award shall continue to be subject to the reporting requirements.
7. Subrecipient Reporting Requirements. If Contractor is a Subrecipient, Contractor shall report as
set forth below.
Exhibit K -I, Page 3 of 4
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:
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 1, 2010, "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 OMB in policy memoranda available at the OMB
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.
9. 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-1, Page 4 of 4
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