HomeMy WebLinkAbout20121191.tiff RESOLUTION
RE: APPROVE EXPENDITURE AUTHORIZATION FOR WORKFORCE DEVELOPMENT
PROGRAM 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 an Expenditure Authorization for a
Workforce Development Program 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 Human
Services, Employment Services of Weld County, and the Colorado Department of Labor and
Employment, commencing April 1, 2012,and ending June 30, 2013,with terms and conditions being
as stated in said expenditure authorization, and
WHEREAS, after review, the Board deems it advisable to approve said expenditure
authorization, 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 the Expenditure Authorization for a Workforce Development Program
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 Human Services, Employment
Services of Weld County, and the Colorado Department of Labor and Employment be, and hereby
is, approved.
BE IT FURTHER RESOLVED by the Board that the Chair be, and hereby is, authorized to
sign said expenditure authorization.
The above and foregoing Resolution was, on motion duly made and seconded, adopted by
the following vote on the 9th day of May, A.D., 2012, nunc pro tunc April 1, 2012.
BOARD OF COUNTY COMMISSIONERS
WELD COUNTY, COLORADO
ATTEST: -:-
Sean P. Co y Chair
Weld County Clerk to the Board
�t\ EL a William F. arcia, ro- em
BY: sRI .A-1-� /
Deputy -rk to the Bo
i¢bi �S' ra Kirkmeyer
APPROV AS M: .;� "� , J
0522m9
'y - idE. Long
Cttorney �YTri� .51%5
Douglas Rpdemacher
Date of signature: 5- 1 -/a
3 an9 `..)USCA-Af �C N 5
5 w t 1s-l(3-1 -a
3 t HR0083
MEMORANDUM
DATE: May 7, 2012
1861
TO: Sean P. Conway, Chair, Board of County Commissioners
FROM: Judy A. Griego, Director, Human Services
jrr Y i
VV IIN T Y ( lN C
coU
RE: Weld County Department of Human Sery c s' Employment
Services' Workforce Investment Act (W'A) Expendi re
Authorization (EA) for the Unemployment nsurance-
Employment Support Funds (UI-ESF) for Emergency
Unemployment Compensation (EUC) Program
Enclosed for Board approval is the Department's Employment Services Workforce Investment Act
(WIA) Expenditure Authorization (EA) for the Unemployment Insurance-Employment Support Funds
(UI-ESF) for Emergency Unemployment Compensation (EUC) Program. This Expenditure
Authorization was reviewed under the Board's Pass-Around Memorandum dated April 6, 2012, and
approved for placement on the Board's Agenda.
The initial Employer Support Funds provided are an advance payment based on projected number of
UI recipients who will be required to receive services. With the passage of the latest law extending
Emergency Unemployment Compensation benefits, Congress added new eligibility requirements,
which include providing reemployment services and an in-person eligibility assessment. Included in
the services provided, the individual must receive labor-market information, a skills assessment, an
orientation, and an eligibility assessment relating to job search activities. These services must be
provided to each individual who starts receiving Tier 1 or Tier 2 of Emergency Unemployment
Compensation benefits after March 23, 2012, and through the end of the year.
The Colorado Department of Labor and Employment is estimating that we can expect to serve
approximately 100 to 200 individuals per week. The Colorado Department of Labor and Employment
Unemployment Insurance Program will be providing funds to increase these services. It is expected
that we will receive $80.75 per individual served. We will use temporary employees for up to six (6)
months to help cover the increased work load for Employment Services.
The total amount of funding is $96,900.00 for the period or March 28, 2012 through June 30, 2012.
If you have any questions, give me a call at extension 6510.
2012-1191
Exhibit C
Local Workforce Region: Employment Services of Weld County
CMS#: 12069
EXPENDITURE AUTHORIZATION (EA)
Signature Page
Program/Project Coordinator: Dora Lara Phone Number: (970)353-3800 ext 6744
This Expenditure Authorization(EA)covers the following Funding Streams:
Workforce Region: Employment Services of Weld County I CMS# 12069
FY12 Federal Emergency Unemployment Compensation (EUC) 4/1/12 to 6/30/13
Program
This EA authorizes the Local Workforce Region to request reimbursement from the State for actual
costs for delivery of services, up to $80.75 per participant. The maximum amount of spending
authority for these funds shall not exceed the allocation amount identified on the attached Notice of
Funding Availability(NFA) letter.
This Expenditure Authorization has been reviewed and approved by the following parties and will be
incorporated into the Workforce Development Programs (WDP) Agreement as an attachment. This signature
page, when duly signed, authorizes the granting of funds by the Colorado Department of Labor and Employment
for the program/project identified herein. This Expenditure Authorization is not valid until it has been approved
by the State Controller or designee.
By: 6 MAY 0 9 2012 By: k U(AP-IC S-311 la-
Sean P. Conway Date Kri t n M. Corash Date—
Chair, Board of Weld Coun ommissioners Deputy Executive Director
Colorado Dept. of Labor and Employment
By: / ag, S/6fL By:
M4y tetag, Chair Date Datew
Weld Cqunty Workforce Investment Board Title:
By:
y Lin Perez, Division ad Date Date
Employment Services of Weld County Title:
ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS 24-30-202 requires that the State Controller approve all state contracts. This contract is not valid until the State
Controller, or such assistant as he may delegate, has signed it. The contractor is not authorized to begin performance until
the contract is signed and dated below. If performance begins prior to the date below, the State of Colorado may not be
obligated to pay for the goods and/or services provided.
STATE CONTROLLER:
D V D J. MCDrOTTCPA
By
/// Date CO /ll -1"--
Page 1 of 20
c9C/2—J/%
EXPENDITURE AUTHORIZATION (EA)
NFA# 10-17
BUDGET INFORMATION: The local workforce region has been provided with a maximum amount of
spending authority as identified on the attached Notice of Funding Availability(NFA) letter. The work performed
pursuant to this EA shall be completed with payment made on a cost reimbursement basis for each participant who
has received the four core services. Additional funds may be provided under a separate NFA letter which shall
increase the amount of funding available to cover the cost of serving additional participants.
Period of Performance: 4/1/12 through 6/30/13
A. 0 This EA covers a Discretionary Grant.
B.1 n The Approved Grant Proposal is attached to this EA(required).
B.2 0 The Line Item Budget for this Discretionary Grant is as follows:
Budget Line Items s
Reimbursement of actual costs for delivery of services, up
to $80.75 per participant, with verification that four core
services have been provided.
B. ❑ This EA modifies the Budget Line items for the Discretionary Grant. .
II. STATEMENT OF WORK:
ca
A. 0 The Statement of Work for this EA is as follows:
1. Describe the services, program activities,and/or training that will be provided using these funds.
Identify whether the primary focus is participant services, program planning, capacity building,
supportive services,training, etc., and/or if there are specific intended outcomes.
a. Describe how will you deliver services to meet the four Work Search Requirements for
participants?
Employment Services of Weld County will deliver services to those individuals receiving EUC benefits
who are required to attend a One-on-One appointment utilizing a multi faceted approach.
Within 14 days of UI's notification to the workforce center regarding claimants identified as required to
attend the One-on-One appointment, Employment Services staff will send the IVR notification to the
claimants informing them of their required attendance as well as of the date of the appointment. The
IVR notification will also inform the claimant that they will receive a letter expanding on the details
about the appointment. Employment Services will plan to conduct One-on-One appointments three days
per week for the remainder of the year. If needed, additional days and/or times will be scheduled for the
One-on-One appointments to meet demand.
A follow-up letter will be sent out the same day the IVR is made and will provide the claimant with
additional information of the four mandatory requirements established by HB 3630 and identifying that
three of the four requirements can be completed prior to the One-on-One appointment. The letter also
directs the individual to the Connecting Colorado web site and encourages the claimant to complete the
three requirements prior to their appointment to shorten the length of time they will be at the workforce
center. A Courtesy Follow-up call will be made to the scheduled claimants approximately 6-7 days in
advance of the scheduled appointment to remind the claimant of the appointment as well as to reinforce
the requirements. During the courtesy call, over the phone assistance will be offered to claimants who
need guidance with the 4 on-line requirements.
Page 2 of 20
Upon completion of the group presentation, claimants will able be to select one of five tracks to obtain
additional information specific to their self identified needs and complete their One-on-One review of
their work search plan and six weeks of work search logs. (Those individuals who did not complete the
required skills assessments prior to their One-on-One appointment will be referred to the resource room
to complete either the My Skills My Future; My Next Move;or the Skills Profiler assessments.)
Limited language learners or individuals with limited computer abilities will be assisted one-on-one in
order to complete the assessment requirement.
Representatives from Employment Services' various areas of focus will meet with claimants to review
services available as well as to review the claimants work search plan and their work search logs. This
review will verify the claimant is making proper contacts, provide the opportunity to discuss job
contacts and ensure the claimant is making the required 5 contacts per week(or whatever was
previously negotiated), discuss job search strategies, and to review the claimants' skills assegsment
results. Based on each interview, appropriate Wagner Peyser core services will be entered into the
Connecting Colorado data base. The areas of focus consist of the following:
Group Presentation
p
I ' I
Training 85kill Development
Assessmentand Learning Lab Veterans
Client Services Business Services Provision of training
Information on assessments: Provision of materials to assist
LAM and Assessment Info about jobs and employer information and materials to
Information requirements in Weld County Prove IV in occupation or career decision assist in occupation or career
•esource Room to complete on avigating Connecting Colorado Whole Person Assessment Job Ready Vets decision.
line assessments LMI Success Profiler Barriers to Employment Discussion on updatingskills,
Information on lob Fairs and Skills Testing Findingmarketable careers.
events BehavioralTraits Assessments - includes ref erralto WlA
ob search web site information CRC Programs
Individualizedjob search
•
b. What tools,assessments,services, methods will you use to serve this population?
The day prior to the scheduled One-on-One appointment, staff will run a report for the scheduled group
to identify which of the requirements the claimant has completed prior to the One-on-One appointment.
A courtesy call will be made to the claimant to confirm the claimant's appointment and assist with any
on-line requirements that have not been completed. A listing of the scheduled attendees will then be
distributed to each of the Workforce Center's unit representatives participating in the Weld County EUC
Program process.
At the scheduled One-on-One appointment, attending claimants will be provided the following in a
group setting:
• An overview of HR 3630 Legislation
• An overview of the Work Search/Work Log requirements
• UI Expectations and contact information
• Marketing skills courses Information sites
• One-on-One Session information (information from each unit)
• An overview of Workforce Center Services and the Resource Room
• Information regarding available work shops
Page 3 of 20
(NOTE: This group presentation will be counted as completion of the mandatory orientation to services
and the provision of labor market and career information for those individuals who did not complete
those services prior to the One-on-One appointment)
Same day assessments with Prove-It, Success Profiler, and Behavioral Traits assessments will be made
available to claimants in order to meet the career assessment requirement. Limited language learners or
individuals with limited computer abilities will be assisted one-on-one in order to complete the
assessment requirement. Information will be presented to encourage claimants to schedule additional
times to return to the Workforce Center and take additional Worker Profiling assessments and to take
the Colorado Career Ready Certificates if they have not already done so. Based on each interview,
appropriate Wagner Peyser core services will be entered into the Connecting Colorado Data Base.
B. n The Statement of Work for this EA is included in the attached Discretionary Grant
Proposal.
Refer to page numbers:
Additional statement of work requirements may be required as official guidance for this program is
received from the United States Department of Labor(USDOL). Throughout the term oftfiis EA,
the Local Workforce Region shall incorporate additional activities of the program as identified in
any changes in Federal law and/or forthcoming directives from USDOL and/or the State. n
C. El The Performance Outcomes for this EA are identified in the Program Charts in Section VII
of this EA.
a.The local workforce region shall achieve the following performance
outcomes for this program:
• An increased number of claimants receiving workforce services within the Workforce
System
• An increased Entered Employment(EE)rate for this population
• A reduced Average Benefit Duration
b. The Local workforce region shall use the following local reemployment strategies to
ensure improvement of these performance outcomes:
Through the provision of the One-on-One appointments and the information and services
described in Section II A b. above, claimants will have a clearer understanding of the services and
programs available through the Workforce Center. It is anticipated that claimants attending the
One-on-One appointments will have an increased entered employment rate as well as reduced
benefit duration.
c. Additional performance outcomes required by USDOL shall be incorporated into the local
workforce region's performance outcomes throughout the term of this EA,as more program
information and guidance is received from USDOL.
D. ❑ The Performance Outcomes for this EA are included in the attached Discretionary Grant
Proposal or are included in D.1. below in an Alternative Performance Outcomes Chart
required by the specific discretionary grant.
Refer to page numbers:
Page 4 of 20
•
1. If the Performance Outcomes are not identified in the Program Charts or in the attached approved
Discretionary Grant proposal, describe the performance outcomes that shall be completed with
these funds and insert the Alternative Performance Outcomes Chart here.
III. EA MODIFICATION(S):
A. ❑ This EA Modifies the Budget
1. The Purpose and Rationale for this modification is:
B. ❑ This EA Modifies the Statement of Work
1. The Purpose and Rationale for this modification is:
2. The Impact of this modification on the Delivery of Services, Program Activities, and Training is:
C. ❑ Changes to the Performance Outcomes are shown in the modified Program Charts in Section
VII of this EA or here in the Alternative Performance Outcomes Chart required by the
specific discretionary grant. .
IV. OTHER PROGRAM REQUIREMENTS OR SPECIFIC FUNDING PROVISIONS
See Attached NFA at the end of this document „
x
B. FFATA State of Colorado
Supplemental Provisions for
Federally Funded Contracts,Agreements,and Purchase Orders
Subject to
The Federal Funding Accountability and Transparency Act of 2006 (FFATA),As Amended
As of 10-15-10 C3
The contract,Agreement, 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. Agreements;
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;
Page 5 of 20
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
Agreement; ,
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 Amet?ican
Recovery and Reinvestment Act(ARRA)of 2009(Public Law 111-5).
1.2. "Central Contractor Registration (CCR)" means the Federal repository into which an Entity must enter the
information required under the Transparency Act, which may be found at http://www.bpn.gov/ccr.
1.3. "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.
1.4. "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.
1.5. "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.
1.6. "Entity"means all of the following as defined at 2 CFR part 25, subpart C;
1.6.1. A governmental organization, which is a State, local government,or Indian Tribe;
1.6.2. A foreign public entity;
1.6.3. A domestic or foreign non-profit organization;
1.6.4. A domestic or foreign for-profit organization; and
1.6.5. A Federal agency, but only a Subrecipient under an Award or Subaward to a non-Federal entity.
1.7. "Executive"means an officer, managing partner or any other employee in a management position.
1.8. "Federal Award Identification Number(FAIN)"means an Award number assigned by a Federal agency to a
Prime Recipient.
1.9. "FFATA" means the Federal Funding Accountability and Transparency Act of 2006(Public Law 109-282), as
amended by §6202 of Public Law 110-252. FFATA, as amended, also is referred to as the "Transparency Act."
1.10. "Prime Recipient"means a Colorado State agency or institution of higher education that receives an Award.
Page 6 of 20
1.11. "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.
1.12. "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.
1.13. "Subrecipient Parent DUNS Number"means the subrecipient parent organization's 9-digit Data Universal
Numbering System (DUNS) number that appears in the subrecipient's Central Contractor Registration (CCR)
profile, if applicable.
1.14. "Supplemental Provisions"means these Supplemental Provisions for Federally Funded Contracts,
Agreements, 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.
1.15. "Total Compensation"means the cash and noncash dollar value earned by an Executive during th'e 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 o?Financial
Accounting Standards No. 123 (Revised 2005)(FAS 123R), Shared Based Payments; cn
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.
1.16 "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.
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
Page 7 of 20
Contractor of such revisions, but such notice shall not be a condition precedent to the effectiveness of such
revisions.
3. Central Contractor Registration (CCR)and Data Universal Numbering System (DUNS) Requirements.
3.1. CCR.Contractor shall maintain the currency of its information in the CCR until the Contractor submits the
final financial report required under the Award or receives final payment, whichever is later. Contractor shall
review and update the CCR 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 CCR for each of its five most highly
compensated Executives for the preceding fiscal year if:
,o
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 subcontract 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 I3(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 CCR 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 htto://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.
7.1 To CCR.A Subrecipient shall register in CCR and report the following data elements in CCR for each Federal
Award Identification Number no later than the end of the month following the month in which the Subaward was
made:
Page 8 of 20
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 CCR.
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 Agreement, 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. a
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 notiee 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.
V. PROJECTED QUARTERLY EXPENDITURES-CUMULATIVE
CD
Funding Stream: EUC Program
Funding Stream: Federal EUC Program
Expenditures April 1,2012 July 1,2012 October 1,2012 January 1,2013 April 1,2013
through June 30, through through through March 31, through June 30,
2012 September 30, December 31, 2013 2013
2012 2012
Federal EUC $64,600 $148,800 $218,025.00 $218,025.00 $218,025.00
estimated
NOTE: The above estimated expenditures serve only as a planning guide.Because these funds are provided on a cost
reimbursement basis,covering those participants who have completed all four(4)required services,this expenditure
rate shall not be formally monitored.
Page 9 of 20
VI. PLANNED PARTICIPATION SUMMARY—CUMULATIVE
Program and Year: EUC Program—March 28,2012 through June 30,2013
• CATEGORY First Quarter Second Quarter Third Quarter Fourth Quarter Fifth Quarter April
April 1,2012 July 1,2012 October 1,2012 January 1,2013 1,2013 through
through June through through through March June 30,2013
30,2012 September 30, December 31, 31,2013
2012 2012
Total Participants 800 1840 2700 2700 2700
Entered 51% 51% 51% • 51% 51%
Employment Rate*
NOTE: Only those items with an ASTERISK * above shall be formally monitored at the end of the program,based on planned
versus actual numbers.All other items are for the purpose of reviewing program delivery strategies.
PLANNED PROGRAM ACTIVITIES-CUMULATIVE
CATEGORY First Quarter Second Quarter Third Quarter Fourth Quarter Fifth Quarter
April 1,2012 July 1,2012 October 1,2012 January 1,2013 April 1,2013
through June through through through March through June
30,2012 September 30, December 31, 31,2013 30,2013 .w
2012 2012 ,
Workforce Services 800 1840 2700 2700 2700
Orientation(U1)*
Work Search Plan(U2)* 800 1840 2700 2700 2700
LMI and Career 800 1840 2700 2700 2700
Information(U3)* '-'a
Individual Assessment 800 1840 2700 2700 2700
(U4)*
NOTE: * CDLE uses the Connecting Colorado Activity Summary Report(AS)or the 9002EUC report to track planned versus
actual for this item
•
•
Page 10 of 20
JOHN V HICKENLOOPER woF DEPARTMENT OF LABOR AND
Gover;1t, EMPLOYMENT
Vi-tsrELLEN GOLOMBEK Fir:, -. ,
Executive Director \''''': .. “4171/q ,s ? F! -i OFFICE OF THE EXECUTIVE DIRECTOR
633 17th Street, Suite 1200
"--18..;i. Denver,Denver, Colorado 80202-3629
April 16, 2012
The Board of County Commissioners
Of Weld County
Sean P. Conway, Chair
915 10th St., P. O. Box 758
Greeley, CO 80632-0758
Re: Notice of Fund Availability: #10-17 for Employment Services of Weld County -
Dear Commissioner Conway:
This Notice of Fund Availability (Notice) provides you with funding allocations for workforce development
programs for the Program Year 2010(PY 10) and Program Year 2011 (PY 11). This Notice#10-17 provides the
following funding allocations:
Workforce Region: Weld County CMS# 12069
Funding Source Term Vax# $Amount
FY 12 Federal Emergency Unemployment 4/16/12 to 6/30/13 2240 $96,900.10
Compensation(EUC) Program _
Pursuant to the Grant Agreement CMS# 12069,the Grantee must submit to the State an Expenditure Authorization
requesting authorization to expend or deobligate these funds. The attached Fund Availability Summary for all
funding sources provided under Grant Agreement CMS# 12069 shows the Total Funding Availability for Program
Year 2010 and Program Year 2011 (PY 11).
The maximum funding for Weld County under Grant Agreement CMS# 12069 may not exceed Six Million Six
Hundred Ninety-Three Thousand Five Hundred Six Dollars($6,693,506.00). The funding allocations
identified herein will be available to the Weld County Workforce Region, provided that a Grant Agreement has
been fully executed. This letter will become Attachment Ito the fully executed Grant Agreement for your region.
If you have any questions, please call Workforce Development Programs at(303)318-8800.
Sine r¢ly, �,
/ I /\
eri Golo
Executive Director cc: Linda Perez, Ted Long
Page 1 of 13
Fund Availability Summary
Workforce Region: Weld County PY10 Grant Agreement CMS# 12069
Funding Source Vax# CFDA# CURRENT Increase/ REVISED or FINAL
Allocation Decrease Allocation
Cash Request 1847
PY10 WIA Adult 1760 17.258 $76,342.00 $76,342.00
FYI I WIA Adult 1760 17.258 $363,485.00 $363,485.00
PY10 WIA Youth 1761 17.259 $609,298.00 $609,298.00
PY10 WIA Dislocated Worker 1 762 17.278 $129,984.00 $129,984.00
FY11 WIA Disclocated Worker 1762 17.278 $345,190.00 $345,190.00
PY 10 Wagner-Peyser 1763 17.207 $892,122.00 $892,122.00
PY09 Wagner-Peyser(Carryln) 1560 17.207 $266,835.00 $266,835.00
FYI I DVOP 1764 17.801 $8,852.00 I $8,852.00
FY 10 TAA Case Mgmt 1786 17.245 $19,311.00 $19,311.00
PY09 WP10% Performance 1909 17.207 $105,888.00 $105,888.00
Incentive
FY11 WIA 25%Enhanced 1883 17.278 $28,996.00 $28.996.00
Dislocated Worker
PY10 WIA Yth 10% 1839 17.259 $41,972.00 $4I,972.00
Performance Incentive
FY10 WIA DW-SECTORS 1686 17.278 $50,000.00 $50,000.00
P1'10 WIA 10%SJH 1839 17.259 $8,000.00 S8,000.00
PY10 Wagner Peyser 10%SJH 1924 17.207
$32,000.00 $32,000.00
PY10 WIA 10%Outreach Funds 1839 17.258 $25,000.00 $25,000.00
FY10 WIA 10%(AD) 1686 17.258 $5,859.00 $5,859.00
SECTORS- Sustainability
Grant-2nd year
PY09 WIA 10%(Yth) 1686 17.259 $71.562.00 $71,562.00
SECTORS- Sustainability
Grant-2nd year
FY10 WIA 10%(DW) 1636 17.278 $52,579.00 $52,579.00
SECTORS-Sustainability
Grant-2nd year
TOTAL $3,133,275.00 $3,133,275.00
Page 2 of 13
Workforce Region: Weld County
Program Year and Total Amount of Funds: FY09 American Recovery and Reinvestment Act Funds
ARRA Workforce Investment Act Grant#EM-20480-10-60-A-8 National Emergency Grant
PY08 American Recovery and Reinvestment Act Funds Grant# AA-17111-08-55-A-8
Funding Source Vax CFDA# Original +/- Total Allocation
# Allocation
Cash Request 1504
FY09 ARRA NEG-expires 6/30/12 1903 17.260 $64,840.00 $64,840.00
TOTAL ARRA Funds $64,840.00 $64,840.00
Workforce Region: Weld County Fundin&Year starting 7/1/11 CMS# 1069
Funding Source Vax CFDA# Original +/- Total Alkcation
# Allocation ii
Cash Request 1847
PY11 WIA Adult 1966 17.258 $34,174.00 $3.1,174.00
PYl I WIA Youth 1967 17.259 $637,034.00 $637,034.00
PY11 WIA Dislocated Worker 1968 17.278 $98,995.00 $94995.00
PY11 Wagner-Peyser 1969 17.207 $904,848.00 $9t 848.00
FY11 TAA Case Management 2013 17.245 $47,684.00 $47,684.00
PY 10 Wagner Peyser(Carryin) 1763 17.207 $198,045.00 $198,045.00
FY12 Adult 1966 17.258 $412,176.00 $412,176.00
FY12 Dislocated Worker 1968 17.278 $417,705.00 $417,705.00
PY09/FY10 WIA 25% 1562 17.260 $52,187.00 $52,187.00
PY10/FY11 WIA 25% 1883 17.278 $67,223.00 $67,223.00
PY10 WP10%MSFW 2097 17.207 $24,720.00 $24,720.00
FY12 DVOP 2043 17.801 $8,000.00 $8,000.00
PY09 WIA 10%(Yth)— P1 1686 17.259 $35,000.00 $35,000.00
FY12 WIA 25%DW-U1 Claimant 2109 17.278 $100,000.00 $100,000.00
FY12 LVEROperating 2I30 17.804 $8,000.00 $8,000.00
PY11 WP10%Summer Job Hunt 2135 17.207 $40,000.00 $40,000.00
PY11 H-1 B Training Grant 2155 17.268 $160,800.00 $160,800.00
I"FYI I WIA 10%DW SECTORS 1339 17.278 $45,000.00 $45,000.00
PY 1 l Housing Inspection 2219 17.273 $10,000.00 $10,000.00
UI-ESF for EUC 2228 n/a ' $96,900.00 $96,900.00
FY12 Federal EUC Program 2240 17.225 $96,900.00 $96,900.00
TOTAL Funds $3,495,391.00 $3,495,391.00
Page 3 of 13
ADDITIONAL FUNDING PROVISIONS:
A. Emergency Unemployment Compensation(EUC)Program
The Local Workforce Region shall provide services pursuant to the terms and conditions of the current
PY10/PY11 Grant Agreement,this NFA letter, and any Federal and State laws and regulations, including,
but not limited to, Federal guidance documents,relevant State-issued Policy Guidance Letters(PGLs),
Program Information, Operations Manuals, and/or specifications identified in the provisions below.
The following program requirements apply to the Reemployment Services Initiative of 2012 (Emergency
Unemployment Compensation (EUC)Program)regardless of the source of funding made available to the
local workforce region for its implementation.The changes shown In BOLD and STRIKETI1ROUGH
below apply to this NFA letter and also the funding provisions included in any prior NFA letters that
provided Unemployment Insurance Employment Support Funds for the EUC Program. These
funding provisions shall apply to the EUC Program as described in the fully executed EA document.
The EA document shall cover the time period of March 28,2012 through June 30,2013.
A. Reemployment Services Initiative of 2012 (Emergency Unemployment Compensation (EUC)
Program)
1. Statutory Reference:
• HR3630—Middle Class Tax Relief and Job Creation Act of 2012; Public Law 112-96,Title
II, Sections 2001-2184
• United States Department of Labor(USDOL)-Training and Employment Guidance Letter
(TEGL)20-11 —Reemployment Services and Eligibility Assessment Activities for Recipients
of EUC
• Unemployment Insurance Program Letters(UIPLs) issued by USDOL
• UIPL 04-10(Change 9)—Extension and Modification of EUC,2008(EUCO8)and Extension
of Temporary Benefits(EB) Provision
• UIPL 10-12 -FY2012 UI Reemployment and Eligibility Assessment(REA)Grants
• Wagner Peyser Act, as amended,29 U.S.C 40 et seq.;
• WIA Regulations,20 CFR parts 652 and 660-671
To access a copy of a TEGL or UIPL - Go to • and search for the
appropriate UIPL# by program year(the last two digits of the given number listed above).
2. Funding Allocation Methodology.
The funding allocation methodology for this EUC program is unique. As such,the process for allocating
funds to the local workforce region shall be as follows:
a. The State anticipates providing EUC Federal funds to the local workforce region under additional
NFAs issued after this issuance of State UI-ESF funds. The funding provisions and requirements of this
NFA letter shall remain the same regardless of the source of funds provided in support of the EUC
program.
The NFA letters shall provide a maximum dollar amount of spending authority and each additional NFA
letter issued shall increase that spending authority allowed for the program during the term of the executed
EA.The term of the EA shall be 3/28/12 through 1/2/136/30/13.
b. The executed EA document shall commit the local workforce region to specific program
requirements and shall authorize the local workforce region to request cost reimbursement of up to$80.75
per participant served. The EA shall remain in effect through January 2,2013 June 30,2013. EA
modifications shall not be required as spending authority is increased. A copy of the NFA letter shall be
Page 4 of 13
•
attached to the EA document identifying the dollar amount available.
3. Purpose of Funding: This NFA letter provides the maximum spending authority and availability
of funds to cover the actual cost of the number of participants served at a rate of up to$80.75 per
participant. Funds shall not be used for any other purpose.
4. Payment Process.
a. Upon issuance of an NFA providing Federal EUC funds, cost reimbursement payments shall be
made from that source of funding and payments from Ul-ESF funds shall be discontinued.No cost
reimbursement from the Ul-ESF funds shall be paid after the date of the NFA letter for the Federal EUC
funds.
b. Verification that each participant has been provided with the tour core services identified in 5.b
below shall be documented and reconciled with cash disbursements on a monthly basis. Cash may be
drawn based on actual expenditures incurred,however,with the submittal of montlhly expenditure
reports,the total amount of cash draws for the prior month must be reconciled to the number of y
EUC claimants completing their four services in the prior month so as not to exceed a cash o
disbursement of$80.75 per participant. At the end of the grant period of performance,all cash .,
disbursements for actual costs of the EUC program shall not exceed a total of the number of '.
participant completers multiplied by$80.75 per participant. prior to requesting reimbursement for that —
participant. After all four se `ccs`ave ement-of$80.75 may be
submitted-to-the State for payment.
c. To request cost reimbursement,the local workforce region shall follow the standard cash draw
procedures as described in the EA.PGL ii 12-01-P.
following procedure:
i. A Cash Request signed by both a ftnanoial-effisewand program manager shall be
submitted along with a copy of the Connecting Colorado printout-e€the report showing the
number of participants served(and with all-few-services received)for the t'
requested reimbursement
ii A n F fthe-e agents-shah-be-entailed-to-:ohn e%.es@state coos-with a copy
to the local workforce region's monitor. No telephone requests for-sash-disbursements shall be
Mewed.
iii. The cash request amount shall be equal to the number of participants.served as identified
on the Conneating Colorado print out at the-rate-of$80.75 per participant.
5. Required Program Elements:
a. Eligibility Requirements: Participants who are transitioning from an initial claim to Tier I (or
those participants transition ing from Tier 1 to Tier 2)on or after March 23,2012 shall meet the
requirements of attending the required reemployment services, including a one-on-one sessions at a local
workforce center. Participants are only required to meet these requirements once.
b. Program requirements
Local Workforce Region shall provide the following required reemployment services and an in-person
Individualized Work Search Plan (eligibility assessment):
• Each participant shall receive current labor-market information,
• An individual assessment
• An orientation to the available services at the Workforce Center
• An in-person and one-on-one eligibility assessment relating to job-search activities
Page 5 of 13
These services shall be provided to each individual who starts receiving Tier 1 or Tier 2 of Emergency
Unemployment Compensation benefits on or after March 23,2012,through January 2n°,2013
c. Services Provided shall conform to the criteria, processes, and types of services identified in the
documents identified in paragraph A.1 above.Additionally,the State's Program Guidance Letter(PGL)
covering this EUC program provides additional guidelines for program implementation and operations.
6. Delivery of Services: Regardless of the funding source,the delivery of services shall be
provided by staff who are covered by a merit system in compliance with the WDP Agreement, Exhibit A,
Part 1, 1.1.A.xii.
7. Restrictions on Funding: Funding is provided to cover ONLY the actual costs of up to$80.75
per participant served. Documentation for each participant shall be noted in Connecting Colorado verifying
that the four required services identified in section 5.b above have been delivered.
•
•
Page 6 of 13
REEMPLOYMENT SERVICES INITIATIVE OF 2012
HR 3630 —Middle Class Tax Relief and Job Creation Act of 2012
April 10th,2012 revisions
Signed 22 February,2012 Effective 23 March,2012
References:
o HR3630;Title 11; Subtitle C— Improving Reemployment Strategies Under the Emergency Unemployment
Compensation Program; §2141 —2142
o UIPL 10-12-FY2012 UI Reemployment and Eligibility Assessment(REA)Grants
o UIPL 04-10 -Extension and Modification of EUC,2008(EUC08)and Extension of Temporary Benefits(EB)
Provision
o TEGL 20-11- Reemployment Services and Reemployment Eligibility Assessment Activities for Recipients of
Emergency Unemployment Compensation.
Background:
o Congress enacted legislation to enhance reemployment services within One Stop Centers.
o USDOL has mandated that UI and One Stop Centers partner and collaborate on these services and activitie;.
o All UI benefits extensions will expire on January 2,2013. Final payable week is December 29,2012.
o This legislation promotes a proactive approach to help EUC claimants access reemployment services and Mind
reemployment before all Ul benefits exhaust at the end of 2012.
o Reemployment services can result in more rapid reemployment,shorter claim duration,and fewer erroneous
payments of unemployment compensation.
o All claimants establishing a new Tier 1 or Tier 2 claim(EUC—Emergency Unemployment Compensation)must
meet the enhanced work search requirements listed below. Claimants are only required to attend once.
o USDOL will provide$85/claimant to UI for the allowable services delivered(allocated as a reimbursement based on
the number of claimants served in the previous quarter). UI will hold 5%back for programming and administration
costs for Ul and WDP. The remainder$80.75 will be reallocated to WFCs.
FIR3630 Minimum Work Search Requirements:
1. Attend a workforce services orientation(One-Stop services)
2. Receive an Eligibility Assessment (review of EUC eligibility relating to individual work search activities)
3. Receive labor market and career information
4. Assessment of the individual's skills
o Services can be completed in one appointment
o Additional referrals and services may be provided,as appropriate
o One-on-One and in-person Eligibility Assessment is MANDATORY
o Tier 2 claimants who participated in the enhanced work search requirements in Tier I will NOT be required to
comply with the minimum requirements again
o Claimants that do not attend/receive the above services are subject to a denial of UIB for that week(and
subsequent weeks)of planned participation
o Participation can be rescheduled for individuals,even after the 6th week
o If a referral is made, the participant must participate in that activity or will be subject to a denial of UIB for that
planned participation week.
o Eligible participants must be notified of the orientation within 2 weeks and the services must be provided within
5 weeks
o Participants must be notified of the rescheduling if it was not initiated by them.
Two documented Waivers for the participation requirements:
I. Claimants who have received similar services within the last 3 months
2. Those who have a justifiable cause for not participating in-person (geographic distance from a WFC,job interview,
eta.)
Impacts to UI and One-Stop Centers:
Page 7 of 13
o UI was able to project out for the next 25 weeks and the average number of claimants impacted within this
timeframe is 1,500 to 3,000 claimants per week.
o Unanticipated staffing and resources to serve this number of claimants
o Increased activities for the UI call center and workforce centers
o Increased number of services and workshops available to claimants
o Time and space capacity concerns
o Finding time to work with current customers
o Impacts on financial system for counties and state systems, including UI payout of benefits
o Additional programming of the UI and Workforce databases that communicate with UI information for proper
reporting
o Increased number of appeals and improper payments
o Potential to hire temporary staff
o Reimbursement for anticipated allocations, based on number of claimants served
Reporting:
o USDOL will provide instructions for a modified ET 9128U,the required quarterly report from UI
o USDOL will provide instructions for a modified ET 9002 EUC(similar to version C)and will track services and
outcomes
o ET 9130—financial reporting
Processes and Procedures:
Colorado will rely on best practices of past programs, as applicable.
o UI will create a weekly daily list for the local offices(WFC)to access,schedule and deliver services to claimants
(similar to SEB). WFCs must schedule IVRs at least once a week.
o Workforce Centers may want to adopt similar processes and procedures as were created for SEB and RES-ARRA
Reemployment Services
o USDOL is interested in the outcomes of these activities and is creating a revised 9002 EUC report(similar to version C)
o Workforce Development Programs(WDP)will create a program enrollment code(RS)so the state and local regions can
track progress.4 services will be created to track that all required activities have been completed.
o USDOL encourages the use of online forms and assessments to be completed by the claimant before the scheduled
orientation date
o Continued failure to report or complete all 4 requirements may lead to an indefinite denial of EUC benefits
o Workforce Programs already has a great partnership with Unemployment Insurance Programs
o Basic scheduling and information sharing are already in place, with additional adjustments and programming
changes for this specific population expected.
o Workforce Regions have delivered reemployment services through Wagner-Peyser, SEB and ARRA
Reemployment Services(RES),and can make the additional adjustments to the service delivery system to meet
the HR3630 requirements.
Orientation
o Notify claimants of the new EUC work search requirements
o Claimants must maintain work search records
o Provide a copy of work search records to UI, upon request
o Provision of the labor market and career information handout
Individual Work Search Plan (Eligibility Assessment)
o Registered and Active in Connecting Colorado
o Engaged in an Active search for work, based on past work experience,skills, capabilities,and local LMI
o WFCs can determine an appropriate number of contacts(5 job eontacts)
o WFCs must review the work search logs(6 weeks minimum)and the claimant's continued eligibility for EUC
Individual Assessment
o Discussion on labor market and career information handout
o Focus on occupational assessments of skill levels, aptitudes and individual abilities
o Conduct and direct individuals to online career exploration tools,such as MvSkills MI/Future MvNextMove,or
Skills Profiler. These can he online or in-person. (See labor market and career information handout).
Page 8 of 13
Optional Services, but highly encouraged:
o Resume and/or Connecting Colorado application -review for appropriate skills
o Work search and career planning
o Individual and/or career planning(above/beyond the requirements)
o Referral to training,such as WIA and TAA
o Additional staff-assisted reemployment services,such as,referralsaid supportive services
o Job search counseling, including workshops and networking groups
Documenting Waivers or Exceptions to participate in Required Activities
UI/CDLE must provide reemployment activities to ALL claimants who begin receiving EUC Tier 1 benefits,or who
transition from Tier I to Tier 2 benefits on or after March 23`a,2012. Documentation to support the exception must be
provided for"similar service"and";justifiable cause". Documentation should indicate the reason the claimant's participation
was waived.
EXCEPTIONS:
o Claimants who contact the WFC to reschedule their appointment for another day or time. This should be an
extenuating circumstance, such as a job interview or an emergency.This should be considered a "reschedule"and
not a"waiver.
o Similar Services—when a claimant"has completed participating in such services or activities". (Exampics:
accessed an online video of the orientation,received job placement services from an employer or through job
placement contract by an employer). NOTE: The services through ajob placement company may not full.}meet all
4 required work search activities and must be evaluated by the WFC. --
o Justifiable Cause(documented hardship)for failure to report or participate in the required reemployment'services
and activities—must meet the Colorado's"good cause"definition under the state's UC law. This should be
adjudicated by UI.
o Justifiable Cause may include an individual who would have to commute an unreasonably long distancetTBD by
the individual WFCs)to report to a WFC. NOTE:This does not waive them from still meeting all 4 requiitnents;
instead,allows the WFC to deliver and manage the in-person requirement remotely by phone or other means,
o Those claimants with a short-term layoff or with a letter of"intent to hire" from an employer can be set to ZERO
since the individual is job attached. NOTE: Claimant must meet all other required activities.
Approved Training Programs
An tad tdu a of required to seek wo , • ' ' uirements(see
below)
Job Attaebed-and-Union-Attached
lion-Attached-claimantsa far e
p'^se,(see below)
Approved Training Programs and Job/Union Attached Claimants
CDLE will exempt those participants that were job/union attached or in Approved Training at the time the claimant
transitioned to Tier I or Tier 2. This guidance will remain in effect unless additional Federal guidance is released,
advising us differently (April 10,2012). Workforce Centers will need to evaluate whether a customer meets the
"Similar Services"criteria if any individuals report ajob//union attachment or if they were in Approved Training.
B. FFATA State of Colorado
Supplemental Provisions for
Federally Funded Contracts, Agreements,and Purchase Orders
Subject to
The Federal Funding Accountability and Transparency Act of 2006 (FFATA),As Amended
As of 10-15-10
The contract, Agreement, 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
Page 9 of 13
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.Agreements;
•
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
Agreement;
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. "Central Contractor Registration (CCR)"means the Federal repository into which an Entity must enter the
information required under the Transparency Act, which may be found at http://www.bnn.gov/ccr.
1.3. "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.
1.4. "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.
1.5. "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.
Page 10 of 13
1.6."Entity" means all of the following as defined at 2 CFR part 25, subpart C;
1.6.1. A governmental organization,which is a State, local government,or Indian Tribe;
1.6.2.A foreign public entity;
1.6.3. A domestic or foreign non-profitorganization;
1.6.4. A domestic or foreign for-profit organization;and
1.6.5. A Federal agency,but only a Subrecipient under an Award or Subaward to a non-Federal entity.
1.7."Executive"means an officer,managing partner or any other employee in a management position.
1.8. "Federal Award Identification Number(FAIN)" means an Award number assigned by a Federal agency to a
Prime Recipient. •
1.9."FFATA" means the Federal Funding Accountability and Transparency Act of 2006(Public Law 109-282),as
amended by§6202 of Public Law 110-252. FFATA,as amended,also is referred to as the"Transparency Act."
1.10."Prime Recipient" means a Colorado State agency or institution of higher education that receives an Award.
1.11."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 and;
portion of the substantive project or program for which the Award was granted.
1.12."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.
1.13."Subrecipient Parent DUNS Number" means the subrecipient parent organization's 9-digit Data Universal
Numbering System(DUNS)number that appears in the subrecipient's Central Contractor Registration (CCR)
profile, if applicable.
1.14."Supplemental Provisions"means these Supplemental Provisions for Federally Funded Contracts,
Agreements,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.
1.15."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.
Page 11 of 13
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.
1.16"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.
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. Central Contractor Registration (CCR)and Data Universal Numbering System (DUNS) Requirements.
3.1. CCR. Contractor shall maintain the currency of its information in the CCR until the Contractor submits the final
financial report required under the Award or receives final payment, whichever is later. Contractor shall review and
update the CCR 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 CCR for each of its five must 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 CCR and to the Prime Recipier.t 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 htto://www.colorado.gov/dpa/dfo/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 I,
2010, if the initial award is$25,000 or more. If the initial Award is below$25,000 but subsequent Award
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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 To CCR.A Subrecipient shall register in CCR and report the following data elements in CCRfor 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 CCR.
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 Agreement,cooperative agreement,or other arrangement
as defined in Section I.I of these Special Provisions.On future dates"Award"may include other items to be -a
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.
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