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HomeMy WebLinkAboutCOUNCIL - AGENDA ITEM - 07/01/2014 - RESOLUTION 2014-052 AUTHORIZING THE MAYOR TO EXECUAgenda Item 16 Item # 16 Page 1 AGENDA ITEM SUMMARY July 1, 2014 City Council STAFF Kyle Lambrecht, Civil Engineer Dean Klingner, Engineer & Capital Project Manager SUBJECT Resolution 2014-052 Authorizing the Mayor to Execute a Contract Amendment with the Colorado Department of Transportation for the North College Improvements Project – Conifer to Willox. EXECUTIVE SUMMARY The purpose of this item is to authorize the Mayor to sign a Contract Amendment with the Colorado Department of Transportation (CDOT) for the North College Improvements Project - Conifer to Willox. This action will amend the Intergovernmental Agreement (IGA) between the City of Fort Collins and CDOT, adding remaining North Front Range Metropolitan Organization (NFRMPO) federal grant funds and new Responsible Acceleration of Maintenance and Partnerships (RAMP) program funds into the agreement. These funds have already been appropriated into the project’s budget through previous Council actions (Ordinance Nos. 016 and 112, 2012, No. 145, 2013, and No. 075, 2014). Amending the IGA is the final piece of the design phase which enables the use of these funds and the project to be bid. The total funding amounts (previously appropriated) for the IGA will be amended as follows: Federal Grant Funds - $2,934,000 RAMP Federal Funds - $3,894,000 Local Matching Funds - $5,038,859. STAFF RECOMMENDATION Staff recommends adoption of the Resolution. BACKGROUND / DISCUSSION North College Avenue, also known as US Highway 287, is a major thoroughfare for both the City of Fort Collins and CDOT. The City has successfully partnered with CDOT to design and construct improvements along various segments of North College Avenue, providing much needed multimodal, safety, and infrastructure upgrades to this regionally significant roadway. Over the next three years, the City and CDOT will be designing and constructing improvements along additional sections of North College Avenue, with the goal to bring these segments to current City and State standards. They are as follows: State Highway 1 to the Laporte Bypass Improvements - CDOT as agency lead North College Improvements - Conifer to Willox - City of Fort Collins as agency lead North College Pedestrian Path Improvements - City of Fort Collins as agency lead. Once constructed, the majority of North College Avenue from Jefferson Street to the Laporte Bypass will have received significant upgrades. Agenda Item 16 Item # 16 Page 2 In 2012, the North Front Range Metropolitan Organization (NFRMPO) awarded the City federal funds to design improvements and begin property acquisition along North College Avenue between Conifer Street and Willox Lane. To begin the project’s design phase, the City entered into an IGA with CDOT to receive the federal funds. Only a portion of these funds were acknowledged in this IGA because local matching funds were not then needed, with the understanding that the remaining federal funds would be added as local matching funds were needed. In July 2013, the City partnered with CDOT in seeking Responsible Acceleration of Maintenance and Partnerships (RAMP) program funds for the three upcoming projects. A total of $17.5 million of federal funds was awarded to the three projects. Of the funds awarded, $3.894 million was identified for use on the City’s Conifer to Willox project. This contract amendment will revise the IGA’s Funding Provisions sheet to incorporate both the new $3.894 million of RAMP federal funds and the remaining NFRMPO federal funds. In addition, this amendment will revise the local match necessary to receive the federal dollars. Local matching funds associated with RAMP are $4,372,000, while local match funds for the entirety of the NFRMPO funds are $666,859. All federal and local dollars identified for the project have been appropriated through previous Council actions, including the RAMP and remaining NFRMPO funds (Ordinances No. 016 and 112, 2012, No. 145, 2013, and No. 075, 2014). Appropriations preceded the amendment in an effort to more quickly secure the funds, reducing scheduling impacts to the project. Amending the IGA is the final piece of the design phase which enables the project to be bid. FINANCIAL / ECONOMIC IMPACTS This Council Action will amend the IGA between the City of Fort Collins and CDOT, adding RAMP, NFRMPO, and local matching funds. The following is a summary of the amended funding provisions: BUDGETED FUNDS - AMENDED IGA Federal Funds (Previously Appropriated) NFRMPO Funds $2,934,000 RAMP Funds $3,894,000 Local Matching Funds (Previously Appropriated) NFRMPO Local Match $666,859 RAMP Local Match $4,372,000 Total Budgeted Funds per IGA $11,866,859 The overall project budget is $12.0 million. The remaining $133,141 not allocated in the amended IGA will be covered by local dollars and will not be associated with the IGA. These funds have already been appropriated into the project. One of the primary goals of this project is to support the economic viability of the project area by improving the infrastructure and safety of the North College Corridor, while minimizing impacts to existing property owners. This is consistent with adopted long-term plans for the area, including the North College Corridor Plan (2007) and Fort Collins City Plan (2011). The project will address these goals through the design and construction of multimodal improvements, urban design features, the consolidation and definition of accesses, and other improvements which support existing businesses and encourage redevelopment. Agenda Item 16 Item # 16 Page 3 ENVIRONMENTAL IMPACTS The project will have a positive impact on long-term air and storm water quality. The addition of improved bicycle and pedestrian facilities will increase the number of people walking and biking along North College Avenue, resulting in air quality improvement. The utility upgrades in this project include improvements to the stormwater distribution system. Stormwater will ultimately be routed to water quality ponds where contaminants from roadway drainage will be removed prior to discharge into receiving waters. BOARD / COMMISSION RECOMMENDATION The North Front Range Metropolitan Planning Organization (NFRMPO) received a project overview presentation resulting in awarding federal funds to the project. The Transportation Board received, and will continue to receive, updates as the project progresses. PUBLIC OUTREACH The project team plans significant public outreach throughout the project, including public open houses, individual meetings with property owners, regular updates to the North Fort Collins Business Association, and project updates to be posted on the project’s website - http://www.fcgov.com/ engineering/ncollege.php. ATTACHMENTS 1. Location Map (PDF) 2. Executed Intergovernmental Agreement (PDF) ÉZYXW ÉZYXW ³I ÕZYXW Project Location Map ¥ North College Avenue - Conifer Street to Willox Lane 0 750 1,500 3,000 Feet 1:10,825 North College Avenue Improvement Area E Vine Dr Conifer St Hickory St Willox Ln Willox Ln N College Ave Cache la Poudre River Legend City Limits ATTACHMENT 2 - 1 - RESOLUTION 2014-052 OF THE COUNCIL OF THE CITY OF FORT COLLINS AUTHORIZING THE MAYOR TO EXECUTE A CONTRACT AMENDMENT WITH THE COLORADO DEPARTMENT OF TRANSPORTATION FOR THE NORTH COLLEGE IMPROVEMENTS PROJECT - CONIFER TO WILLOX WHEREAS, the North College Improvements Project – Conifer to Willox (the “Project”) was authorized by the City Council with the goal of supporting economic viability in the Project area by improving the infrastructure and safety of the North College Avenue Corridor while minimizing impacts to existing property owners in the Project area; and WHEREAS, the Project is consistent with the adopted long-term plans for the area, including the North College Corridor Plan and City Plan; and WHEREAS, the Project addresses its goals through the design and construction of multi- modal improvements, urban design features, the consolidation and definition of accesses and other improvements that support existing businesses and encourage redevelopment; and WHEREAS, in 2012, the North Front Range Metropolitan Planning Organization (NFRMPO) awarded the City federal funds to pursue the Project, but, at the time, due to the phasing of the Project, only a portion of the funding was needed by the City; and WHEREAS, the balance of the funding is now needed and has become available to support the balance of the NFRMPO funds offered for the present phase of the Project.; and WHEREAS, in 2013, the City entered into a partnership with the Colorado Department of Transportation (“CDOT”) in seeking Responsible Acceleration of Maintenance and Partnerships (RAMP) program funds in the amount of $3,894,000 upon the provision by the City of local matching funds in the amount of $4,372,000, and local matching funds in support of the NFRMPO funds in the amount of $666,859, all of which funds have heretofore been appropriated by the City Council; and WHEREAS, following significant public outreach and the involvement of the NFRMPO and the City’s Transportation Board, the City Council has determined that the amendment to the intergovernmental agreement between CDOT and the City for the Project is in the best interests of the City and should be approved. NOW, THEREFORE, BE IT RESOLVED BY THE COUNCIL OF THE CITY OF FORT COLLINS that the Mayor is hereby authorized to execute a contract amendment with CDOT for the North College Improvements Project – Conifer to Willox, for the purpose of expending $11,866,859 in furtherance of the Project, of which amount $2,934,000 constitutes funds made available to the City from the NFRMPO, and $3,894,000 constitutes funds made available to the City in RAMP funds, with respective local matching shares in the amount of $666,859 and $4,372,000. The contract amendment shall be in substantially the form attached hereto as Exhibit “A”, subject to such minor modifications as the City Manager, in consultation - 2 - with the City Attorney, may determine to be necessary and appropriate to protect the interests of the City or to effectuate the purposes of this Resolution. Passed and adopted at a regular meeting of the Council of the City of Fort Collins this 1st day of July, A.D. 2014. _________________________________ Mayor ATTEST: _____________________________ City Clerk Document Builder Generated Page 1 of 4 Amendment #:1 Project #: , STE M455-106 (18401) Project Name: US 287, Conifer to Willox Original Contract Routing # 12 HA4 38760 Amendment Routing #: 14 HA4 70337 ID # 471000460 / 471000143 / 271001674 CONTRACT AMENDMENT 1. PARTIES This Amendment to the above-referenced Original Contract (hereinafter called the Contract) is entered into by and between City of Fort Collins (hereinafter called “Contractor”), and the STATE OF COLORADO (hereinafter called the “State”) acting by and through the Department of Transportation, (hereinafter called “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 (hereinafter called the “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 the Contract for the multimodal improvements, roadway and drainage improvements and landscaping on North College Avenue from Conifer to Willox. The Parties now desire to: a) Increase the Total Budgeted Funds by adding $10,114,378.00 primarily due to the addition of RAMP (Responsible Acceleration of Maintenance and Partnerships) funds by replacing Exhibit C with Exhibit C-1 b) Update the Option Letter Modification Tool by revising Section 7 and replacing Exhibit D with Exhibit D-1 c) Update Exhibit A (Scope of Work) by replacing it with Exhibit A-1 d) Update Exhibit E (Local Agency Contract Administration Checklist) by replacing it with Exhibit E-1 e) Revise Section 22 (Federal Requirements) with the following language: 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. f) Update Exhibit I (Federal-Aid Contract Provisions) with Exhibit I-1 g) Update Exhibit K (Supplemental Federal Provisions) with Exhibit K-1. 4. CONSIDERATION The Parties acknowledge that the mutual promises and covenants contained herein and other good and valuable consideration are sufficient and adequate to support this Amendment. 5. 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. 6. MODIFICATIONS. The Amendment and all prior amendments thereto, if any, are modified as follows: a) Exhibit C of the Contract shall be deleted in its entirety and replaced by Exhibit C-1, attached hereto b) Section 7 of the Contract shall be deleted in its entirety and replaced by the following: 7. OPTION LETTER MODIFICATION An option letter may be used to authorize the Local Agency to begin 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. EXHIBIT A Document Builder Generated Page 2 of 4 A. Option to begin a phase and/or increase or decrease the encumberance amount The State may authorize 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 as shown on Exhibit C remaining the same. The State may increase or decrease the encumbrance amount for a particular phase 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 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 C-1 (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. Any transfer of funds 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 authorize the Local Agency to begin 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-1 (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 of funds 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. c) Exhibit D (Sample Option Letter) of the Contract, shall be deleted in its entirety and replace with Exhibit D-1, attached hereto d) Exhibit A (Scope of Work) of the Contract shall be deleted in its entirety and replaced by Exhibit A-1, attached hereto e) Exhibit E (Local Agency Contract Administration Checklist) of the Contract shall be deleted in its entirety and replaced with Exhibit E-1, attached hereto f) Section 22 (Federal Requirements) of the Contract shall be deleted in its entirety and replaced with the following: 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. g) Exhibit I (Federal-Aid Contract Provisions) of the Contract shall be deleted in its entirety and replaced with Exhibit I-1, attached hereto h) Update Exhibit K (Supplemental Federal Provisions) of the Contract shall be deleted in its entirety and replaced with Exhibit K-1, attached hereto. 7. START DATE This Amendment shall take effect upon the date of the State Controller’s Signature. Document Builder Generated Page 3 of 4 8. 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 Contract or any amendments. 9. 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 Document Builder Generated Page 4 of 4 SIGNATURE PAGE Agreement Routing Number 14 HA4 #70337 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 City of Fort Collins By: Title: ______________________________________________ *Signature Date: __________________________ STATE OF COLORADO John W. Hickenlooper, GOVERNOR Colorado Department of Transportation Donald E. Hunt, Executive Director _____________________________________________________ By: Scott McDaniel, Chief Engineer Date: _________________________ 2nd The Local Agency Signature if Needed By: Title: ______________________________________________ *Signature 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:___________________________________________ Colorado Department of Transportation Date:_____________________ Page 1 of 2 30. EXHIBIT C-1 – FUNDING PROVISIONS Cost of Work Estimate The Local Agency has estimated the total cost the Work, which is to be funded as follows: 1 BUDGETED FUNDS a. Federal Funds (82.79% of Participating Costs) $1,582,000.00 (80% of Participating Costs) $1,352,000.00 (47.11% of Participating Costs – RAMP) $3,894,000.00 Total Federal Funds $6,828,000.00 b. Local Agency Matching Funds (17.21% of Participating Costs) $328,859.00 (20% of Participating Costs) $338,000.00 (52.89% of Participating Costs - RAMP) $4,372,000.00 Total Local Agency Matching Funds $5,038,859.00 TOTAL BUDGETED FUNDS $11,866,859.00 2 ESTIMATED CDOT-INCURRED COSTS a. Federal Share $0.00 (0% of Participating Costs) b. Local Agency Local Agency Share of Participating Costs $0.00 Non-Participating Costs (Including Non- Participating Indirects) $0.00 Estimated to be Billed to Local Agency $0.00 TOTAL ESTIMATED CDOT-INCURRED COSTS $0.00 3 ESTIMATED PAYMENT TO LOCAL AGENCY a. Federal Funds Budgeted (1a) $6,828,000.00 b. Less Estimated Federal Share of CDOT-Incurred Costs (2a) $0.00 TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $6,828,000.00 FOR CDOT ENCUMBRANCE PURPOSES Total Encumbrance Amount $0.00 Less ROW Acquisition 3111 and/or ROW Relocation 3109 $0.00 Net to be encumbered as follows: $0.00 NOTE: Only the Design funds are currently available; the Construction funding will become available after federal authorization and execution of an Option Letter (Exhibit D). WBS Element 18401.10.30 Design 3020 $1,752,481.00 WBS Element 18401.10.10 ROW 3114 $0.00 WBS Element 18401.20.10 Const 3301 $0.00 Page 2 of 2 Matching Funds The matching ratio for the federal participating funds for this Work is 47.11% to 82.79% federal-aid funds (CFDA #20.205) to 17.21% to 52.89% Local Agency funds, it being understood that such ratio applies only to the $11,866,859.00 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 $11,866,859.00, and additional federal funds are made available for the Work, the Local Agency shall pay 17.21%, 20% or 47.11% 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 $11,866,859.00, then the amounts of Local Agency and federal-aid funds will be decreased in accordance with the funding ratio described herein. Maximum Amount Payable The maximum amount payable to the Local Agency under this Agreement shall be $6,828,000.00 (For CDOT accounting purposes, the federal funds of $6,828,000.00 and the Local Agency matching funds of $4,793,859.00 will be encumbered for a total encumbrance of $11,866,859.00), unless such amount is increased by an appropriate written modification to this Agreement executed before any increased cost is incurred. NOTE: Only the Design funds are currently available; the Construction funding will become available after federal authorization and execution of an Option Letter (Exhibit D). 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. 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 the Local Agency receiving federal funds are as follows: i. Expenditure less than $500,000 If 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 $500,000-Highway Funds Only If 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 $500,000-Multiple Funding Sources If 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. Page 1 of 2 31. 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: Option Letter No. Option Letter CMS Routing # Option Letter SAP # Original Contract CMS # Original Contract SAP # Vendor name: _________________________________________________ SUBJECT: B. Option to unilaterally authorize the Local Agency to begin a phase which may include Design, Construction, Environmental, Utilities, ROW incidentals or Miscellaneous ONLY (does not apply to Acquisition/Relocation or Railroads) and to update encumbrance amounts(a new Exhibit C must be attached with the option letter and shall be labeled C-1, future changes for this option shall be labeled as follows: C-2, C-3, C-4, etc.). C. Option to unilaterally transfer funds from one phase to another phase (a new Exhibit C must be attached with the option letter and shall be labeled C-1, future changes for this option shall be labeled as follows: C-2, C-3, C-4, etc.). D. Option to unilaterally do both A and B (a new Exhibit C must be attached with the option letter and shall be labeled C-1, future changes for this option shall be labeled as follows: C-2, C-3, C-4, etc.). REQUIRED PROVISIONS: 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 authorize the Local Agency to begin a phase that will include (describe which phase will be added and include all that apply – Design, Construction, Environmental, Utilities, ROW incidentals or Miscellaneous) and to encumber previously budgeted funds for the phase based upon changes in funding availability and authorization. The encumbrance for (Design, Construction, Environmental, Utilities, ROW incidentals or Miscellaneous)is (insert dollars here). A new Exhibit C-1 is made part of the original Agreement and replaces Exhibit C. (The following is a NOTE only, please delete when using this option. Future changes for this option for Exhibit C shall be labled as follows: C-2, C-3, C-4, etc.). Option B (Insert the following language for use with Option B): 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 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.; 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 an formal amendment).. Page 2 of 2 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) release the Local Agency to begin a phase that will include (describe which phase will be added and include all that apply – Design, Construction, Environmental, Utilities, ROW incidentals or Miscellaneous); 2) to encumber funds for the phase based upon changes in funding availability and authorization; and 3) to transfer funds from (describe phase from which funds will be moved) to (describe phase to which funds will be moved) based on variance in actual phase costs and original phase estimates. A new Exhibit C-1 is made part of the original Agreement and replaces Exhibit C. (The following 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.; 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 an formal amendment). (The following language must be included on ALL options): The total encumberance as a result of this option and all previous options and/or amendments is now (insert total encumberance 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: __________________ Executive Director, 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: ________________________________ Form Updated: December 19, 2012 Page 1 of 2 28. EXHIBIT A-1 – SCOPE OF WORK Page 2 of 2 Page 3 of 2 Page 1 of 4 32. EXHIBIT E-1 – LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST Page 2 of 4 Page 3 of 4 Page 4 of 4 Page 1 of 12 36. EXHIBIT I-1 – FEDERAL-AID CONTRACT PROVISIONS Page 2 of 12 Page 3 of 12 Page 4 of 12 Page 5 of 12 Page 6 of 12 Page 7 of 12 Page 8 of 12 Page 9 of 12 Page 10 of 12 Page 11 of 12 Page 12 of 12 Page 1 of 4 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://fedgov.dnb.com/webform. 1.5. “Entity” means all of the following as defined at 2 CFR part 25, subpart C; 1.5.1. A governmental organization, which is a State, local government, or Indian Tribe; Page 2 of 4 1.5.2.A foreign public entity; 1.5.3.A domestic or foreign non-profit organization; 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 Page 3 of 4 also is referred to as FFATA. 1.17 “Vendor” means a dealer, distributor, merchant or other seller providing property or services required for a project or program funded by an Award. A Vendor is not a Prime Recipient or a Subrecipient and is not subject to the terms and conditions of the Federal award. Program compliance requirements do not pass through to a Vendor. 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 Page 4 of 4 below $25,000, the Award shall continue to be subject to the reporting requirements. 7. Subrecipient Reporting Requirements. If Contractor is a Subrecipient, Contractor shall report as set forth below. 7.1 ToSAM. A Subrecipient shall register in SAM and report the following data elements in SAM for each Federal Award Identification Number no later than the end of the month following the month in which the Subaward was made: 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. 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.