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HomeMy WebLinkAboutC24-026 West Mountain Regional Health Alliance AGREEMENT FOR PROFESSIONAL SERVICES BETWEEN EAGLE COUNTY, COLORADO AND WEST MOUNTAIN REGIONAL HEALTH ALLIANCE THIS AGREEMENT (“Agreement”) is effective as of _________________ by and between West Mountain Regional Health Alliance, a Colorado nonprofit corporation (hereinafter “WMRHA”), and Eagle County, Colorado, a body corporate and politic (hereinafter “County”). RECITALS WHEREAS, WMRHA has received a grant (the “WMHRA Grant”) from the State of Colorado’s Department of Local Affairs, Division of Housing (“Division of Housing”) under the Emergency Solutions Grants program; and WHEREAS, the WMRHA Grant is identified as CMS # 181213 and governed by the agreement between WMRHA and the Division of Housing dated July 25, 2023 included herein as Exhibit A which is attached hereto and incorporated by this reference; and WHEREAS, the purpose of the WMRHA Grant is to provide funds the WMRHA to improve the quality of programs and services for individuals who lack housing or are at risk of homelessness in Eagle, Pitkin, and Garfield Counties; and WHEREAS, the Statement of Project within the WMRHA Grant agreement authorizes WMRHA to utilize grant funding to submit and collect information to and from the Homeless Management Information System (the “HMIS”); and WHEREAS, the WMRHA Grant agreement further authorizes WMRHA to utilize subgrantees, such as County, in order to submit and collect information for its clients to and from the HMIS; and WHEREAS, County currently utilizes and submits and collects data to and from the HMIS in the administration of separate grants received by the County under the Emergency Solutions Grants program; and WHEREAS, to promote efficient administration of the WMRHA Grant and to avoid duplicative efforts, WMHRA desires to retain County to collect and enter data for WMRHA clients located in Eagle County (the “Project”); and WHEREAS, County is authorized to do business in the State of Colorado and has the time, skill, expertise, and experience necessary to provide the Services as defined below in paragraph 1 hereof; and WHEREAS, the Division of Housing has granted permission for WMRHA to enter into this Agreement; and DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 1/16/2024 2 WHEREAS, this Agreement shall govern the relationship between WMRHA and County in connection with the Services. AGREEMENT NOW, THEREFORE, in consideration of the foregoing and the following promises WMRHA and County agree as follows: 1. Services. County agrees to diligently provide all services, labor, personnel, and materials necessary to perform and complete the HMIS services described in Section 3, Section 7.4.3, and Section 8.1.3 of the Statement of Project included with Exhibit A (“Services”) which is attached hereto and incorporated herein by reference. County shall also be responsible for compliance with Section 6 of the FAQs (matching funds for ESG) included with Exhibit A. The Services shall be performed in accordance with the provisions and conditions of this Agreement and in accordance with the policies and procedures set forth in Exhibit A and Exhibit B, which is attached hereto and incorporated by reference. a. County agrees to furnish the Services no later than in accordance with the schedule established in Exhibit A. If no completion date is specified in Exhibit A, then County agrees to furnish the Services in a timely and expeditious manner consistent with the applicable standard of care. b. In the event of any conflict or inconsistency between the terms and conditions set forth in Exhibit A and Exhibit B and the terms and conditions set forth in this Agreement, the terms and conditions set forth in this Agreement shall prevail. 3. Term of the Agreement. This Agreement shall commence upon the date first written above, and subject to the provisions of paragraph 12 hereof, shall continue in full force and effect through the 31st day March, 2024. 4. Extension or Modification. This Agreement may not be amended or supplemented, nor may any obligations hereunder be waived, except by agreement signed by both parties. Accordingly, no course of conduct or dealings between the parties, nor verbal change orders, express or implied acceptance of alterations or additions to the Services shall be the basis of any increase in the compensation payable hereunder. 5. Compensation. WMRHA shall compensate County for the performance of the Services in a sum not to exceed $52,732.00. a. Payment will be made for Services satisfactorily performed within thirty (30) days of receipt of a proper and accurate invoice from County. County may submit invoices for all Services provided prior to the execution of this agreement dating to July 1, 2023. b. County shall have no obligations under this Agreement after without an appropriation therefor by County in accordance with a budget adopted by the Board of County Commissioners in DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 3 compliance with Article 25, title 30 of the Colorado Revised Statutes, the Local Government Budget Law (C.R.S. 29-1-101 et. seq.) and the TABOR Amendment (Colorado Constitution, Article X, Sec. 20). 7. Insurance. WMRHA agrees to provide and maintain at its sole cost and expense, the following insurance coverage with limits of liability not less than those stated below: a. Types of Insurance. i. Workers’ Compensation insurance as required by law. ii. If applicable, auto coverage with limits of liability not less than $1,000,000 each accident combined bodily injury and property damage liability insurance, including coverage for owned, hired, and non-owned vehicles. iii. Commercial General Liability coverage to include premises and operations, personal/advertising injury, products/completed operations, broad form property damage with limits of liability not less than $1,000,000 per occurrence and $2,000,000 aggregate limits. iv. Professional liability insurance with prior acts coverage for all Services required hereunder, in a form and with an insurer or insurers satisfactory to County, with limits of liability of not less than $1,000,000 per claim and $2,000,000 in the aggregate. In the event the professional liability insurance is on a claims-made basis, WMRHA warrants that any retroactive date under the policy shall precede the effective date of this Agreement. Continuous coverage will be maintained during any applicable statute of limitations for the Services and Project. b. Other Requirements. i. If applicable, The automobile and commercial general liability coverage shall be endorsed to include Eagle County, its associated or affiliated entities, its successors and assigns, elected officials, employees, agents and volunteers as additional insureds. iii. Insurance shall be placed with insurers duly licensed or authorized to do business in the State of Colorado and with an “A.M. Best” rating of not less than A-VII. iv. WMRHA’s insurance coverage shall be primary and non-contributory with respect to all other available sources. WMRHA’s policy shall contain a waiver of subrogation against Eagle County. v. All policies must contain an endorsement affording an unqualified thirty (30) days’ notice of cancellation to County in the event of cancellation of coverage. vi. All insurers must be licensed or approved to do business within the State of Colorado and all policies must be written on a per occurrence basis unless otherwise provided herein. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 4 vii. WMRHA’s certificate of insurance evidencing all required coverage(s) is attached hereto as Exhibit C. Upon request, WMRHA shall provide a copy of the actual insurance policy and/or required endorsements required under this Agreement within five (5) business days of a written request from County. viii. WMRHA shall advise County in the event the general aggregate or other aggregate limits are reduced below the required per occurrence limit. WMRHA, at its own expense, will reinstate the aggregate limits to comply with the minimum limits and shall furnish County a new certificate of insurance showing such coverage. ix. If WMRHA fails to secure and maintain the insurance required by this Agreement and provide satisfactory evidence thereof to County, County shall be entitled to immediately terminate this Agreement. x. The insurance provisions of this Agreement shall survive expiration or termination hereof. xi. The parties hereto understand and agree that County is relying on, and does not waive or intend to waive by any provision of this Agreement, the monetary limitations or rights, immunities and protections provided by the Colorado Governmental Immunity Act, as from time to time amended, or otherwise available to County, its affiliated entities, successors or assigns, its elected officials, employees, agents, and volunteers. 8. Indemnification. WMRHA shall indemnify and hold harmless County, and any of its officers, agents, and employees against any losses, claims, damages, or liabilities for which County may become subject to insofar as any such losses, claims, damages, or liabilities arise out of, directly or indirectly, this Agreement. WMRHA shall reimburse County for reasonable attorney fees and costs, legal and other expenses incurred by County in connection with investigating or defending any such loss, claim, damage, liability, or action. This paragraph shall survive expiration or termination hereof. 9. Ownership of Documents. All documents prepared by County in connection with the Services shall become remain property of County. WMRHA shall execute written assignments to County of all rights (including common law, statutory, and other rights, including copyrights) to the same as County shall from time to time request. For purposes of this paragraph, the term “documents” shall mean and include all reports, plans, studies, tape or other electronic recordings, drawings, sketches, estimates, data sheets, maps and work sheets produced, or prepared by or for WMRHA (including any employee or subconsultant in connection with the performance of the Services and additional services under this Agreement). 10. Notice. Any notice required by this Agreement shall be deemed properly delivered when (i) personally delivered, or (ii) when mailed in the United States mail, first class postage prepaid, or (iii) when delivered by FedEx or other comparable courier service, charges prepaid, to the parties at their respective addresses listed below, or (iv) when transmitted via e-mail with confirmation of receipt. Either DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 5 party may change its address for purposes of this paragraph by giving five (5) days prior written notice of such change to the other party. COUNTY: Eagle County, Colorado Attention: Monica Brutout, Homeless Services Manager 500 Broadway Post Office Box 850 Eagle, CO 81631 Telephone: 970-328-8774 E-Mail: monica.brutout@eaglecounty.us With a copy to: Eagle County Attorney 500 Broadway Post Office Box 850 Eagle, Co 81631 Telephone: 970-328-8685 E-Mail: atty@eaglecounty.us WMRHA: Attention: Cristina Gair, Executive Director Post Office Box 1909 Glenwood Springs, CO 81602 Telephone: 970-618-9723 E-Mail: cgair@westmountainhealthalliance.org 11. Coordination. WMRHA acknowledges that the development and processing of the Services for the Project may require close coordination between various consultants and contractors. WMRHA shall coordinate the Services required hereunder with the other consultants and contractors that are identified by County to WMRHA from time to time. 12. Termination. County may terminate this Agreement, in whole or in part, at any time and for any reason, with or without cause, and without penalty therefor with seven (7) calendar days’ prior written notice to WMRHA. Upon termination of this Agreement, WMRHA shall immediately provide County with all documents as defined in paragraph 9 hereof, in such format as County shall direct and shall return all County owned materials and documents. WMRHA shall pay County for Services satisfactorily performed to the date of termination. 13. Venue, Jurisdiction, and Applicable Law. Any and all claims, disputes or controversies related to this Agreement, or breach thereof, shall be litigated in the District Court for Eagle County, Colorado, which shall be the sole and exclusive forum for such litigation. This Agreement shall be construed and interpreted under and shall be governed by the laws of the State of Colorado. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 6 14. Execution by Counterparts; Electronic Signatures. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which shall constitute one and the same instrument. The parties approve the use of electronic signatures for execution of this Agreement. Only the following two forms of electronic signatures shall be permitted to bind the parties to this Agreement: (i) Electronic or facsimile delivery of a fully executed copy of the signature page; (ii) the image of the signature of an authorized signer inserted onto PDF format documents. All documents must be properly notarized, if applicable. All use of electronic signatures shall be governed by the Uniform Electronic Transactions Act, C.R.S. 24-71.3-101 to 121. 15. Other Contract Requirements. a. This Agreement constitutes an agreement for performance of the Services by County as an independent contractor and not as an employee of WMRHA. Nothing contained in this Agreement shall be deemed to create a relationship of employer-employee, master-servant, partnership, joint venture or any other relationship between County and WMRHA except that of independent contractor. WMRHA shall have no authority to bind County. b. This Agreement contains the entire agreement between the parties with respect to the subject matter hereof and supersedes all other agreements or understanding between the parties with respect thereto. f. WMRHA shall not assign any portion of this Agreement without the prior written consent of the County. Any attempt to assign this Agreement without such consent shall be void. g. This Agreement shall be binding upon and shall inure to the benefit of the parties hereto and their respective permitted assigns and successors in interest. Enforcement of this Agreement and all rights and obligations hereunder are reserved solely for the parties, and not to any third party. h. No failure or delay by either party in the exercise of any right hereunder shall constitute a waiver thereof. No waiver of any breach shall be deemed a waiver of any preceding or succeeding breach. i. The invalidity, illegality, or unenforceability of any provision of this Agreement shall not affect the validity or enforceability of any other provision hereof. j. WMRHA shall maintain for a minimum of three years, adequate financial and other records for reporting to County. WMRHA may be subject to financial audit by federal, state or county auditors or their designees. WMRHA authorizes such audits and inspections of records during normal business hours, upon 48 hours’ notice to WMRHA. WMRHA shall fully cooperate during such audit or inspections. k. The signatories to this Agreement aver to their knowledge, no employee of the County has any personal or beneficial interest whatsoever in the Services or Property described in this Agreement. WMRHA has no beneficial interest, direct or indirect, that would conflict in any manner or DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 7 degree with the performance of the Services and WMRHA shall not employ any person having such known interests. l. The parties agree to abide by all requirements set forth in the WMHRA Grant and the Polices and Procedures included herein as Exhibit A and Exhibit B. 16. Data Security. a. Definitions: i. “County Data” means all data created by or in any way originating with County and End Users, and all information that is the output of any computer processing, or other electronic manipulation, of any information that was created by or in any way originating with County and End Users, in the course of using and configuring the Services provided under this Agreement, and includes all records relating to County’s use of Contractor Services and Protected Information. ii. “End User” means the individuals (including, but not limited to employees, authorized agents, students and volunteers of County; Third Party consultants, auditors and other independent contractors performing services for County; any governmental, accrediting or regulatory bodies lawfully requesting or requiring access to any Services; customers of County provided services; and any external users collaborating with County) authorized by County to access and use the Services provided by Contractor under this Agreement. iii. “Protected Information” includes, but is not limited to, personally-identifiable information, student records, protected health information, criminal justice information or individual financial information and other data defined under C.R.S. §§ 24-72-101 et seq., and personal information that is subject to local, state or federal statute, regulatory oversight or industry standard restricting the use and disclosure of such information. The loss of such Protected Information would constitute a direct damage to the County. iv. “Security Incident” means the potentially unauthorized access by non-authorized persons to personal data or non-public data the WMRHA believes could reasonably result in the use, disclosure or theft of County Data within the possession or control of the vendor. A Security Incident may or may not turn into a data breach. b. During the course of performance of the Services, the WMRHA may be required to maintain, store, process or control County Data. WMRHA represents and warrants that: i. WMRHA will take all reasonable precautions to maintain all County Data in a secure environment to prevent unauthorized access, use, or disclosure, including industry-accepted firewalls, up-to-date anti-virus software, and controlled access to the physical location of the hardware containing County Data; ii. WMRHA’s collection, access, use, storage, disposal and disclosure of County Data shall comply with all applicable data protection laws, as well as all other applicable regulations and directives; iii. WMRHA will notify County of any Security Incident as soon as practicable, but no later than 24 hours after Contractor becomes aware of it; DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 8 iv. WMRHA will provide information sufficient to satisfy County’s legal and regulatory notice obligations. Upon notice of a Security Incident, County shall have the authority to direct WMRHA to provide notice to any potentially impacted individual or entity, at WMRHA’s expense, and WMRHA shall be liable for any resulting damages to County. v. Where WMRHA has been contracted to maintain, store or process personal information on behalf of the County, it shall be deemed a “Third-Party Service Provider as defined in C.R.S. § 24-73-103(1)(i), and WMRHA shall maintain security procedures and practices consistent with C.R.S §§ 24-73-101 et seq.; and vi. WMRHA will promptly return or destroy any County Data upon request from the County Representative. c. WMRHA’s indemnification obligations identified elsewhere in this Contract shall apply to any breach of the provisions of this Paragraph. [REST OF PAGE INTENTIONALLY LEFT BLANK] DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 9 IN WITNESS WHEREOF, the parties have executed this Agreement the day and year first set forth above. COUNTY OF EAGLE, STATE OF COLORADO, By and Through Its BOARD OF COUNTY COMMISSIONERS By: ______________________________ Matt Scherr, Chair Attest: By: _____________________________ Regina O’Brien, Clerk to the Board WEST MOUNTAIN REGIONAL HEALTH ALLICANCE By: _____________________________________ Cristina Gair, Executive Director DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 10 EXHIBIT A GRANT AGREEMENT DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Page 1 of 29 STATE OF COLORADO GRANT AGREEMENT COVER PAGE State Agency Department of Local Affairs, for the benefit of the Division of Housing. Contract Encumbrance Number H3CDB33165 CMS # 181213 Grantee West Mountain Regional Health Alliance Grantee UEI: QXYFQ3GK87M1 Agreement Performance Beginning Date The Effective Date Initial Agreement Expiration Date March 31, 2024 Agreement Maximum Amount $ 190,595.97 Fund Expenditure End Date March 31, 2024 Funding Program: CDBG-CV Funding Source: Federal Catalog of Federal Domestic Assistance #: 14.228 Agreement Authority - Authority for this Agreement arises from CRS §24-32-721 and the Coronavirus Aid, Relief, and Economic Security Act (“CARES Act”). Agreement Purpose Improve the quality of emergency shelters and services for individuals who lack housing or are at risk of homelessness. Exhibits - The following Exhibits and attachments are included with this Agreement: Exhibit A - Applicable Laws Exhibit B - Statement of Work Exhibit C - Federal Provisions Exhibit D - FAQ Exhibit E - PII Certification Exhibit F - [Reserved] Exhibit G - Sample Option Letter Form 1 – Residency Declaration Order of Precedence In the event of a conflict or inconsistency between this Agreement and any Exhibit or attachment, such conflict or inconsistency shall be resolved by reference to the documents in the following order of priority: 1. Exhibit C, Federal Provisions 2. Colorado Special Provisions in §19 of the main body of this Agreement. 3. The provisions of the other sections of the main body of this Agreement. 4. Exhibit B, Statement of Work 5. Exhibit A, Applicable Laws 6. Exhibit E, PII Certification 7. Exhibit D, FAQ 8. Form 1 – Residency Declaration 9. Exhibit G, Sample Option Letter Principal Representatives For the State: For Grantee: Alison George, Director Cristina Gair, Executive Director Division of Housing West Mountain Regional Health Alliance Department of Local Affairs PO Box 1909 1313 Sherman Street, Rm 320 Glenwood Springs, CO 81601 Denver, CO 80203 cgair@westmountainhealthalliance.org Alison.george@state.co.us DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404 CDBG CTGG1 2024*2116 DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 2 of 29 CMS# 181213 Version 01.2023 SIGNATURE PAGE THE PARTIES HERETO HAVE EXECUTED THIS AGREEMENT Each person signing this Agreement represents and warrants that the signer is duly authorized to execute this Agreement and to bind the Party authorizing such signature. GRANTEE WEST MOUNTAIN REGIONAL HEALTH ALLIANCE By: Cristina Gair, Executive Director Date: STATE OF COLORADO Jared S. Polis, Governor DEPARTMENT OF LOCAL AFFAIRS Rick M. Garcia, Executive Director By: Rick M. Garcia, Executive Director Date: DIVISION OF HOUSING Contract Reviewer By: Kristin Toombs, Director Office of Homeless Initiatives Date: In accordance with §24-30-202, C.R.S., this Agreement is not valid until signed and dated below by the State Controller or an authorized delegate. STATE CONTROLLER Robert Jaros, CPA, MBA, JD By: Beulah Messick, Controller Delegate Effective Date: DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404 6/30/2023 | 2:40 PM MDT 6/30/2023 | 4:45 PM MDT 7/3/2023 | 8:17 AM MDT 7/25/2023 | 5:47 PM MDT DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 3 of 29 CMS# 181213 Version 01.2023 TABLE OF CONTENTS COVER PAGE .......................................................................................................................... 1 SIGNATURE PAGE ................................................................................................................. 2 1. PARTIES ................................................................................................................................... 3 2. TERM AND EFFECTIVE DATE ............................................................................................. 3 3. DEFINITIONS .......................................................................................................................... 5 4. STATEMENT OF WORK ........................................................................................................ 8 5. PAYMENTS TO GRANTEE .................................................................................................... 8 6. REPORTING - NOTIFICATION ........................................................................................... 11 7. GRANTEE RECORDS ........................................................................................................... 11 8. CONFIDENTIAL INFORMATION-STATE RECORDS ...................................................... 12 9. CONFLICTS OF INTEREST.................................................................................................. 14 10. INSURANCE .......................................................................................................................... 14 11. BREACH OF AGREEMENT ................................................................................................. 18 12. REMEDIES ............................................................................................................................. 18 13. DISPUTE RESOLUTION ....................................................................................................... 20 14. NOTICES AND REPRESENTATIVES ................................................................................. 21 15. RIGHTS IN WORK PRODUCT AND OTHER INFORMATION ........................................ 21 16. STATEWIDE CONTRACT MANAGEMENT SYSTEM ..................................................... 22 17. RESTRICTIONS ON PUBLIC BENEFITS ........................................................................... 22 18. GENERAL PROVISIONS ...................................................................................................... 22 19. COLORADO SPECIAL PROVISIONS (COLORADO FISCAL RULE 3-3) ....................... 27 EXHIBIT A - APPLICABLE LAWS .................................................................................................... 1 EXHIBIT B - STATEMENT OF PROJECT......................................................................................... 1 EXHIBIT C - FEDERAL PROVISIONS ............................................................................................. 1 EXHIBIT D - FAQ ................................................................................................................................ 1 EXHIBIT E - PII CERTIFICATION .................................................................................................... 1 EXHIBIT F - [RESERVED] ................................................................................................................. 1 EXHIBIT G - SAMPLE OPTION LETTER ......................................................................................... 1 FORM 1 - RESIDENCY DECLARATION .......................................................................................... 1 1. PARTIES This Agreement is entered into by and between Grantee named on the Cover Page for this Agreement (the “Grantee”), and the STATE OF COLORADO (the “State”) acting by and through the Department of Local Affairs (“DOLA”) for the benefit of the Division of Housing (“DOH”). Grantee and the State agree to the terms and conditions in this Agreement. 2. TERM AND EFFECTIVE DATE A. Effective Date This Agreement shall not be valid or enforceable until the Effective Date, and the Grant Funds shall be expended by the Fund Expenditure End Date shown on the Cover Page for this Agreement. The State shall not be bound by any provision of this Agreement before the Effective Date, and shall have no obligation to pay Grantee for any Work performed or expense incurred before the Effective Date, except as described in §5.D, or after the Fund Expenditure End Date. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 4 of 29 CMS# 181213 Version 01.2023 B. Initial Term The Parties’ respective performances under this Agreement shall commence on the Agreement Performance Beginning Date shown on the Cover Page for this Agreement and shall terminate on the Initial Agreement Expiration Date shown on the Cover Page for this Agreement (the “Initial Term”) unless sooner terminated or further extended in accordance with the terms of this Agreement. C. Extension Terms - State’s Option The State, at its discretion, shall have the option to extend the performance under this Agreement beyond the Initial Term for a period, or for successive periods, of one (1) year or less at the same rates and under the same terms specified in this Agreement (each such period an “Extension Term”). In order to exercise this option, the State shall provide written notice to Grantee in a form substantially equivalent to Sample Option Letter attached to this Agreement. The total duration of this Agreement including the exercise of any options to extend shall not exceed five (5) years from its Effective Date without approval of the Colorado Office of the State Controller. D. End of Term Extension If this Agreement approaches the end of its Initial Term, or any Extension Term then in place, the State, at its discretion, upon written notice to Grantee as provided in §14, may unilaterally extend such Initial Term or Extension Term for a period not to exceed two (2) months (an “End of Term Extension”), regardless of whether additional Extension Terms are available or not. The provisions of this Agreement in effect when such notice is given shall remain in effect during the End of Term Extension. The End of Term Extension shall automatically terminate upon execution of a replacement Agreement or modification extending the total term of this Agreement. E. Early Termination in the Public Interest The State is entering into this Agreement to serve the public interest of the State of Colorado as determined by its Governor, General Assembly, or Courts. If this Agreement ceases to further the public interest of the State, the State, in its discretion, may terminate this Agreement in whole or in part. A determination that this Agreement should be terminated in the public interest shall not be equivalent to a State right to terminate for convenience. This subsection shall not apply to a termination of this Agreement by the State for breach by Grantee, which shall be governed by §12.A.i. i. Method and Content The State shall notify Grantee of such termination in accordance with §14. The notice shall specify the effective date of the termination and whether it affects all or a portion of this Agreement, and shall include, to the extent practicable, the public interest justification for the termination. ii. Obligations and Rights Upon receipt of a termination notice for termination in the public interest, Grantee shall be subject to the rights and obligations set forth in §12.A.i.a. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 5 of 29 CMS# 181213 Version 01.2023 iii. Payments If the State terminates this Agreement in the public interest, the State shall pay Grantee an amount equal to the percentage of the total reimbursement payable under this Agreement that corresponds to the percentage of Work satisfactorily completed and accepted, as determined by the State, less payments previously made. Additionally, if this Agreement is less than sixty percent (60%) completed, as determined by the State, the State may reimburse Grantee for a portion of actual out-of-pocket expenses, not otherwise reimbursed under this Agreement, incurred by Grantee which are directly attributable to the uncompleted portion of Grantee’s obligations, provided that the sum of any and all reimbursement shall not exceed the maximum amount payable to Grantee hereunder. F. Grantee’s Termination Under Federal Requirements Grantee may request termination of this Grant by sending notice to the State, or to the Federal Awarding Agency with a copy to the State, which includes the reasons for the termination and the effective date of the termination. If this Grant is terminated in this manner, then Grantee shall return any advanced payments made for work that will not be performed prior to the effective date of the termination. G. Termination by State for Reasons Other than Breach Due to the emergency nature of this Agreement, the State reserves the right to suspend or terminate this Agreement or to reduce the amount of the Grant Funds for any reason or for no reason upon notice to the Grantee of no fewer than three (3) business days. 3. DEFINITIONS The following terms shall be construed and interpreted as follows: A. “Agreement” means this agreement, including all attached Exhibits, all documents incorporated by reference, all referenced statutes, rules and cited authorities, and any future modifications thereto. B. “Award” means an award by a Recipient to a Subrecipient funded in whole or in part by a Federal Award. The terms and conditions of the Federal Award flow down to the Award unless the terms and conditions of the Federal Award specifically indicate otherwise. C. “Breach of Agreement” means the failure of a Party to perform any of its obligations in accordance with this Agreement, in whole or in part or in a timely or satisfactory manner. The institution of proceedings under any bankruptcy, insolvency, reorganization or similar law, by or against Grantee, or the appointment of a receiver or similar officer for Grantee or any of its property, which is not vacated or fully stayed within thirty (30) days after the institution of such proceeding, shall also constitute a breach. If Grantee is debarred or suspended under §24-109-105, C.R.S. at any time during the term of this Agreement, then such debarment or suspension shall constitute a breach. D. “Budget” means the budget for the Work described in Exhibit B, §5.2. E. “Business Day” means any day in which the State is open and conducting business, but shall not include Saturday, Sunday or any day on which the State observes one of the holidays listed in §24-11-101(1), C.R.S. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 6 of 29 CMS# 181213 Version 01.2023 F. “CJI” means criminal justice information collected by criminal justice agencies needed for the performance of their authorized functions, including, without limitation, all information defined as criminal justice information by the U.S. Department of Justice, Federal Bureau of Investigation, Criminal Justice Information Services Security Policy, as amended and all Criminal Justice Records as defined under §24-72-302, C.R.S. G. “CORA” means the Colorado Open Records Act, §§24-72-200.1, et seq., C.R.S. H. “Effective Date” means the date on which this Agreement is approved and signed by the Colorado State Controller or designee, as shown on the Signature for this Agreement. I. “End of Term Extension” means the time period defined in §2.D. J. “Exhibits” means the exhibits and attachments included with this Agreement as shown on the Cover Page for this Agreement. K. “Extension Term” means the time period defined in §2.C. L. “Federal Award” means an award of Federal financial assistance or a cost-reimbursement contract, under the Federal Acquisition Regulations or by a formula or block grant, by a Federal Awarding Agency to the Recipient. “Federal Award” also means an agreement setting forth the terms and conditions of the Federal Award. The term does not include payments to a contractor or payments to an individual that is a beneficiary of a Federal program. M. “Federal Awarding Agency” means a Federal agency providing a Federal Award to a Recipient. The United States Department of the Treasury is the Federal Awarding Agency for the Federal Award which is the subject of this Agreement. N. “Goods” means any movable material acquired, produced, or delivered by Grantee as set forth in this Agreement and shall include any movable material acquired, produced, or delivered by Grantee in connection with the Services. O. “Grant Funds” means the funds that have been appropriated, designated, encumbered, or otherwise made available for payment by the State under this Agreement. P. “Incident” means any accidental or deliberate event that results in or constitutes an imminent threat of the unauthorized access, loss, disclosure, modification, disruption, or destruction of any communications or information resources of the State, which are included as part of the Work, as described in §§24-37.5-401, et. seq., C.R.S. Incidents include, without limitation (i) successful attempts to gain unauthorized access to a State system or State Records regardless of where such information is located; (ii) unwanted disruption or denial of service; (iii) the unauthorized use of a State system for the processing or storage of data; or (iv) changes to State system hardware, firmware, or software characteristics without the State’s knowledge, instruction, or consent. Q. “Initial Term” means the time period defined in §2.B. R. “Matching Funds” means the funds provided Grantee as a match required to receive the Grant Funds. S. “Party” means the State or Grantee, and “Parties” means both the State and Grantee. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 7 of 29 CMS# 181213 Version 01.2023 T. “PCI” means payment card information including any data related to credit card holders’ names, credit card numbers, or other credit card information as may be protected by state or federal law. U. “PII” means personally identifiable information including, without limitation, any information maintained by the State about an individual that can be used to distinguish or trace an individual’s identity, such as name, social security number, date and place of birth, mother’s maiden name, or biometric records; and any other information that is linked or linkable to an individual, such as medical, educational, financial, and employment information. PII includes, but is not limited to, all information defined as personally identifiable information in §24-72-501, and 24-73-101, C.R.S. “PII” shall also mean “personal identifying information” as set forth at § 24-74-102, et seq., C.R.S. V. “PHI” means any protected health information, including, without limitation any information whether oral or recorded in any form or medium: (i) that relates to the past, present or future physical or mental condition of an individual; the provision of health care to an individual; or the past, present, or future payment for the provision of health care to an individual; and (ii) that identifies the individual or with respect to which there is a reasonable basis to believe the information can be used to identify the individual. PHI includes, but is not limited to, any information defined as Individually Identifiable Health Information by the federal Health Insurance Portability and Accountability Act. W. “Project” means the overall project described in Exhibit B including, without limitation, the Work and the Services. X. “Subject Property” means real property that Grant Funds are used to acquire; or to which Grant Funds are used to make on-site improvements; or on which Grant Funds are used to construct, rehabilitate, clear or demolish improvements. Y. “Recipient” means the State agency shown on the Signature and Cover Page of this Agreement, for the purposes of this Federal Award. Z. “Services” means the services to be performed by Grantee as set forth in this Agreement, and shall include any services to be rendered by Grantee in connection with the Goods. AA. “State Confidential Information” means any and all State Records not subject to disclosure under CORA. State Confidential Information shall include, but is not limited to, PII, PHI, PCI, Tax Information, CJI, and State personnel records not subject to disclosure under CORA. State Confidential Information shall not include information or data concerning individuals that is not deemed confidential but nevertheless belongs to the State, which has been communicated, furnished, or disclosed by the State to Grantee which (i) is subject to disclosure pursuant to CORA; (ii) is already known to Grantee without restrictions at the time of its disclosure to Grantee; (iii) is or subsequently becomes publicly available without breach of any obligation owed by Grantee to the State; (iv) is disclosed to Grantee, without confidentiality obligations, by a third party who has the right to disclose such information; or (v) was independently developed without reliance on any State Confidential Information. BB. “State Fiscal Rules” means the fiscal rules promulgated by the Colorado State Controller pursuant to §24-30-202(13) (a), C.R.S. CC. “State Fiscal Year” means a 12-month period beginning on July 1 of each calendar year and ending on June 30 of the following calendar year. If a single calendar year follows the term, then it means the State Fiscal Year ending in that calendar year. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 8 of 29 CMS# 181213 Version 01.2023 DD. “State Records” means any and all State data, information, and records, regardless of physical form, including, but not limited to, information subject to disclosure under CORA. EE. “Subcontractor” means third-parties, if any, engaged by Grantee to aid in performance of the Work. “Subcontractor” also includes sub-grantees of grant funds. FF. “Subrecipient” means a non-Federal entity that receives a sub-award from a Recipient to carry out part of a Federal program, but does not include an individual that is a beneficiary of such program. A Subrecipient may also be a recipient of other Federal Awards directly from a Federal Awarding Agency. For the purposes of this Agreement, Grantee is a Subrecipient. GG. “Tax Information” means federal and State of Colorado tax information including, without limitation, federal and State tax returns, return information, and such other tax-related information as may be protected by federal and State law and regulation. Tax Information includes, but is not limited to all information defined as federal tax information in Internal Revenue Service Publication 1075. HH. “Uniform Guidance” means the Office of Management and Budget Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 CFR Part 200. II. “Work” means the Goods delivered and Services performed pursuant to this Agreement. JJ. “Work Product” means the tangible and intangible results of the Work, whether finished or unfinished, including drafts. Work Product includes, but is not limited to, documents, text, software (including source code), research, reports, proposals, specifications, plans, notes, studies, data, images, photographs, negatives, pictures, drawings, designs, models, surveys, maps, materials, ideas, concepts, know-how, information, and any other results of the Work. “Work Product” does not include any material that was developed prior to the Effective Date that is used, without modification, in the performance of the Work. Any other term used in this Agreement that is defined in an Exhibit shall be construed and interpreted as defined in that Exhibit. 4. STATEMENT OF WORK Grantee shall complete the Work as described in this Agreement and in accordance with the provisions of Exhibit B. The State shall have no liability to compensate Grantee for the delivery of any goods or the performance of any services that are not specifically set forth in this Agreement. 5. PAYMENTS TO GRANTEE A. Maximum Amount Payments to Grantee are limited to the unpaid, obligated balance of the Grant Funds. The State shall not pay Grantee any amount under this Agreement that exceeds the Agreement Maximum for each State Fiscal Year shown on the Cover Page of this Agreement. B. Payment Procedures i. Invoices and Payment a. The State shall pay Grantee in the amounts and in accordance with the schedule and other conditions set forth in Exhibit B. Satisfactory performance of the terms of this Agreement is a condition precedent to the State’s obligation to pay Grantee. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 9 of 29 CMS# 181213 Version 01.2023 b. Grantee shall initiate payment requests by invoice to the State, in a form and manner approved by the State. c. The State shall pay each invoice within forty-five (45) days following the State’s receipt of that invoice, so long as the amount invoiced correctly represents Work completed by Grantee and previously accepted by the State during the term that the invoice covers. If the State determines that the amount of any invoice is not correct, then Grantee shall make all changes necessary to correct that invoice. d. The acceptance of an invoice shall not constitute acceptance of any Work performed or deliverables provided under this Agreement. ii. Interest Amounts not paid by the State within forty-five (45) days of the State’s acceptance of the invoice shall bear interest on the unpaid balance beginning on the 45th day at the rate of one percent (1%) per month, as required by §24-30-202(24) (a), C.R.S., until paid in full; provided, however, that interest shall not accrue on unpaid amounts that the State disputes in writing. Grantee shall invoice the State separately for accrued interest on delinquent amounts, and the invoice shall reference the delinquent payment, the number of day’s interest to be paid and the interest rate. iii. Payment Disputes If Grantee disputes any calculation, determination or amount of any payment, Grantee shall notify the State in writing of its dispute within thirty (30) days following the earlier to occur of Grantee’s receipt of the payment or notification of the determination or calculation of the payment by the State. The State will review the information presented by Grantee and may make changes to its determination based on this review. The calculation, determination or payment amount that results from the State’s review shall not be subject to additional dispute under this subsection. No payment subject to a dispute under this subsection shall be due until after the State has concluded its review, and the State shall not pay any interest on any amount during the period it is subject to dispute under this subsection. iv. Available Funds-Contingency-Termination The State is prohibited by law from making commitments beyond the term of the current State Fiscal Year. Payment to Grantee beyond the current State Fiscal Year is contingent on the appropriation and continuing availability of Grant Funds in any subsequent year (as provided in the Colorado Special Provisions). If federal funds or funds from any other non-State funds constitute all or some of the Grant Funds, the State’s obligation to pay Grantee shall be contingent upon such non-State funding continuing to be made available for payment. Payments to be made pursuant to this Agreement shall be made only from Grant Funds, and the State’s liability for such payments shall be limited to the amount remaining of such Grant Funds. If State, federal or other funds are not appropriated, or otherwise become unavailable to fund this Agreement, the State may, upon written notice, terminate this Agreement, in whole or in part, without incurring further liability. The State shall, however, remain obligated to pay for Services and Goods that are delivered and accepted prior to the effective date of notice of termination, and this termination shall otherwise be treated as if this Agreement were terminated in the public interest as described in §2.E. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 10 of 29 CMS# 181213 Version 01.2023 v. Federal Recovery The close-out of a Federal Award does not affect the right of the Federal Awarding Agency or the State to disallow costs and recover funds on the basis of a later audit or other review. Any cost disallowance recovery is to be made within the Record Retention Period, as defined below. C. Matching Funds [Reserved]. D. Reimbursement of Grantee Costs Only with prior written approval, the State shall reimburse Grantee’s allowable costs, not exceeding the maximum total amount described in Exhibit B and §5.A for all allowable costs described in this Grant and shown in the Budget in Exhibit B, except that Grantee may adjust the amounts between each line item of the Budget as provided for in §5.3 of Exhibit B, without formal modification to this Agreement as long as the Grantee provides notice to the State of the change, the change does not modify the total maximum amount of this Agreement or the maximum amount for any state fiscal year, and the change does not modify any requirements of the Work. The State shall reimburse Grantee for the federal share of properly documented allowable costs related to the Work after review and approval thereof, subject to the provisions of this Agreement and Exhibit B. However, any costs incurred by Grantee prior to the Effective Date shall not be reimbursed absent specific allowance of pre-agreement costs pursuant to §5.2.4 of Exhibit B and indication that the Federal Award funding is retroactive. Grantee’s costs for Work performed after the Fund Expenditure End Date shown on the Cover Page for this Agreement, or after any phase performance period end date for a respective phase of the Work, shall not be reimbursable. The State shall only reimburse allowable costs described in this Agreement and shown in the Budget if those costs are: i. Reasonable and necessary to accomplish the Work and for the Goods and Services provided; and ii. Equal to the actual net cost to Grantee (i.e. the price paid minus any items of value received by Grantee that reduce the cost actually incurred). E. Close-Out DOLA shall not release final payment until Grantee has met its close-out obligations, which include, without limitation, completion of the Project, and compliance with all monitoring reporting requirements. Grantee shall close out this Award within forty-five (45) days after the Fund Expenditure End Date shown on the Signature and Cover Page for this Agreement. To complete close-out, Grantee shall submit to the State all deliverables (including documentation) as defined in this Agreement and Grantee’s final reimbursement request or invoice. The State may withhold up to ten percent (10%) of allowable costs until all final documentation has been submitted and accepted by the State as substantially complete. If the Federal Awarding Agency has not closed this Federal Award within one year and 90 days after the Fund Expenditure End Date shown on the Cover Page for this Agreement due to Grantee’s failure to submit required documentation, then Grantee may be prohibited from applying for new Federal Awards through the State until such documentation is submitted and accepted. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 11 of 29 CMS# 181213 Version 01.2023 6. REPORTING - NOTIFICATION A. Periodic Reports In addition to any reports required pursuant to §§6, 7 & 16 of this Agreement, Grantee shall comply with all reporting requirements of Exhibit B. B. Litigation Reporting If Grantee is served with a pleading or other document in connection with an action before a court or other administrative decision making body, and such pleading or document relates to this Agreement or may affect Grantee’s ability to perform its obligations under this Agreement, Grantee shall, within ten (10) days after being served, notify the State of such action and deliver copies of such pleading or document to the State’s principal representative identified on the Cover Page. C. Performance and Final Status Grantee shall submit all financial, performance and other reports to the State as provided in §7 of Exhibit B, and no later than 45 calendar days after the end of the Initial Term if no Extension Terms are exercised, or the final Extension Term exercised by the State, containing an evaluation and review of Grantee’s performance and the final status of Grantee’s obligations hereunder. D. Violations Reporting Grantee shall disclose, in a timely manner, in writing to the State and the Federal Awarding Agency, all violations of Federal or State criminal law involving fraud, bribery, or gratuity violations potentially affecting the Federal Award. The State or the Federal Awarding Agency may impose any penalties for noncompliance allowed under 2 CFR Part 180 and 31 U.S.C. 3321, which may include, without limitation, suspension or debarment. 7. GRANTEE RECORDS A. Maintenance Grantee shall make, keep, maintain, and allow inspection and monitoring by the State of a complete file of all records, documents, communications, notes and other written materials, electronic media files, and communications, pertaining in any manner to the Work or the delivery of Services (including, but not limited to the operation of programs) or Goods hereunder. Grantee shall maintain such records for a period (the “Record Retention Period”) of three (3) years following the date of submission to the State of the final expenditure report, or if this Award is renewed quarterly or annually, from the date of the submission of each quarterly or annual report, respectively. If any litigation, claim, or audit related to this Award starts before expiration of the Record Retention Period, the Record Retention Period shall extend until all litigation, claims, or audit findings have been resolved and final action taken by the State or Federal Awarding Agency. The Federal Awarding Agency, a cognizant agency for audit, oversight, or indirect costs, and the State may notify Grantee in writing that the Record Retention Period shall be extended. For records for real property and equipment, the Record Retention Period shall extend three years following final disposition of such property. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 12 of 29 CMS# 181213 Version 01.2023 B. Inspection Grantee shall permit the State to audit, inspect, examine, excerpt, copy and transcribe Grantee Records during the Record Retention Period. Grantee shall make Grantee Records available during normal business hours at Grantee’s office or place of business, or at other mutually agreed upon times or locations, upon no fewer than two (2) Business Days’ notice from the State, unless the State determines that a shorter period of notice, or no notice, is necessary to protect the interests of the State. C. Monitoring The State will monitor Grantee’s performance of its obligations under this Agreement using procedures as determined by the State. The federal government and any other duly authorized agent of a governmental agency, in its discretion, may monitor Grantee’s performance of its obligations under this Agreement using procedures as determined by that governmental entity. Grantee shall allow the State to perform all monitoring required by the Uniform Guidance, based on the State’s risk analysis of Grantee and this Agreement. The State shall have the right, in its sole discretion, to change its monitoring procedures and requirements at any time during the term of this Agreement. The State shall monitor Grantee’s performance in a manner that does not unduly interfere with Grantee’s performance of the Work. D. Final Audit Report Grantee shall promptly submit to the State a copy of any final audit report of an audit performed on Grantee’s records that relates to or affects this Agreement or the Work, whether the audit is conducted by Grantee or a third party. Additionally, if Grantee is required to perform a single audit under 2 CFR 200.501, et seq., then Grantee shall submit a copy of the results of that audit to the State within the same timelines as the submission to the federal government. 8. CONFIDENTIAL INFORMATION-STATE RECORDS A. Confidentiality Grantee shall keep confidential, and cause all Subcontractors to keep confidential, all State Records, unless those State Records are publicly available. Grantee shall not, without prior written approval of the State, use, publish, copy, disclose to any third party, or permit the use by any third party of any State Records, except as otherwise stated in thi s Agreement, permitted by law or approved in writing by the State. Grantee shall provide for the security of all State Confidential Information in accordance with all policies promulgated by the Colorado Office of Information Security and all applicable laws, rules, policies, publications, and guidelines. If Grantee or any of its Subcontractors will or may receive the following types of data, Grantee or its Subcontractors shall provide for the security of such data according to the following: (i) the most recently promulgated IRS Publication 1075 for all Tax Information and in accordance with the Safeguarding Requirements for Federal Tax Information attached to this Agreement as an Exhibit, if applicable; (ii) the most recently updated PCI Data Security Standard from the PCI Security Standards Council for all PCI; (iii) the most recently issued version of the U.S. Department of Justice, Federal Bureau of Investigation, Criminal Justice Information Services Security Policy for all CJI; and (iv) the federal Health Insurance Portability and Accountability Act for all PHI and the HIPAA Business Associate Agreement attached to this Agreement, if applicable. Grantee shall immediately forward any request or demand for State Records to the State’s Principal Representative. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 13 of 29 CMS# 181213 Version 01.2023 B. Other Entity Access and Nondisclosure Agreements Grantee may provide State Records to its agents, employees, assigns and Subcontractors as necessary to perform the Work, but shall restrict access to State Confidential Information to those agents, employees, assigns and Subcontractors who require access to perform their obligations under this Agreement. Grantee shall ensure all such agents, employees, assigns, and Subcontractors sign agreements containing nondisclosure provisions at least as protective as those in this Agreement, and that the nondisclosure provisions are in force at all times the agent, employee, assign or Subcontractor has access to any State Confidential Information. Grantee shall provide copies of those signed nondisclosure provisions to the State upon execution of the nondisclosure provisions. C. Use, Security, and Retention Grantee shall use, hold and maintain State Confidential Information in compliance with any and all applicable laws and regulations in facilities located within the United States, and shall maintain a secure environment that ensures confidentiality of all State Confidential Information wherever located. Grantee shall provide the State with access, subject to Grantee’s reasonable security requirements, for purposes of inspecting and monitoring access and use of State Confidential Information and evaluating security control effectiveness. Upon the expiration or termination of this Agreement, Grantee shall return State Records provided to Grantee or destroy such State Records and certify to the State that it has done so, as directed by the State. If Grantee is prevented by law or regulation from returning or destroying State Confidential Information, Grantee warrants it will guarantee the confidentiality of, and cease to use, such State Confidential Information. D. Incident Notice and Remediation If Grantee becomes aware of any Incident, it shall notify the State immediately and cooperate with the State regarding recovery, remediation, and the necessity to involve law enforcement, as determined by the State. Unless Grantee can establish that none of Grantee or any of its agents, employees, assigns or Subcontractors are the cause or source of the Incident, Grantee shall be responsible for the cost of notifying each person who may have been impacted by the Incident. After an Incident, Grantee shall take steps to reduce the risk of incurring a similar type of Incident in the future as directed by the State, which may include, but is not limited to, developing and implementing a remediation plan that is approved by the State at no additional cost to the State. The State may adjust or direct modifications to this plan, in its sole discretion and Grantee shall make all modifications as directed by the State. If Grantee cannot produce its analysis and plan within the allotted time, the State, in its sole discretion, may perform such analysis and produce a remediation plan, and Grantee shall reimburse the State for the reasonable costs thereof. E. Safeguarding PII If Grantee or any of its Subcontractors will or may receive PII under this Agreement, Grantee shall provide for the security of such PII, in a manner and form acceptable to the State, including, without limitation, State non-disclosure requirements, use of appropriate technology, security practices, computer access security, data access security, data storage encryption, data transmission encryption, security inspections, and audits. Grantee shall be a “Third-Party Service Provider” as defined in §24-73-103(1)(i), C.R.S. and shall maintain security procedures and practices consistent with §§24-73-101, et seq., C.R.S. In addition, as set forth in § 24-74-102, et seq., C.R.S., Grantee, including, but not limited to, Grantee’s DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 14 of 29 CMS# 181213 Version 01.2023 employees, agents and Subcontractors, agrees not to share any PII with any third parties for the purpose of investigating for, participating in, cooperating with, or assisting with Federal immigration enforcement. If Grantee is given direct access to any State databases containing PII, Grantee shall execute, on behalf of itself and its employees, the certification attached hereto as Exhibit E on an annual basis Grantee’s duty and obligation to certify as set forth in Exhibit E shall continue as long as Grantee has direct access to any State databases containing PII. If Grantee uses any Subcontractors to perform services requiring direct access to State databases containing PII, the Grantee shall require such Subcontractors to execute and deliver the certification to the State on an annual basis, so long as the Subcontractor has access to State databases containing PII. 9. CONFLICTS OF INTEREST A. Actual Conflicts of Interest Grantee shall not engage in any business or activities, or maintain any relationships that conflict in any way with the full performance of the obligations of Grantee under this Agreement. Such a conflict of interest would arise when a Grantee or Subcontractor’s employee, officer or agent were to offer or provide any tangible personal benefit to an employee of the State, or any member of his or her immediate family or his or her partner, related to the award of, entry into or management or oversight of this Agreement. B. Apparent Conflicts of Interest Grantee acknowledges that, with respect to this Agreement, even the appearance of a conflict of interest shall be harmful to the State’s interests. Absent the State’s prior written approval, Grantee shall refrain from any practices, activities or relationships that reasonably appear to be in conflict with the full performance of Grantee’s obligations under this Agreement. C. Disclosure to the State If a conflict or the appearance of a conflict arises, or if Grantee is uncertain whether a conflict or the appearance of a conflict has arisen, Grantee shall submit to the State a disclosure statement setting forth the relevant details for the State’s consideration. Failure to promptly submit a disclosure statement or to follow the State’s direction in regard to the actual or apparent conflict constitutes a breach of this Agreement. D. Grantee acknowledges that all State employees are subject to the ethical principles described in §24-18-105, C.R.S. Grantee further acknowledges that State employees may be subject to the requirements of §24-18-105, C.R.S. with regard to this Agreement. 10. INSURANCE Grantee shall obtain and maintain, and ensure that each Subcontractor shall obtain and maintain, insurance as specified in this section at all times during the term of this Agreement. All insurance policies required by this Agreement that are not provided through self-insurance shall be issued by insurance companies as approved by the State. A. Workers’ Compensation Workers’ compensation insurance as required by state statute, and employers’ liability insurance covering all Grantee or Subcontractor employees acting within the course and scope of their employment. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 15 of 29 CMS# 181213 Version 01.2023 B. General Liability Commercial general liability insurance covering premises operations, fire damage, independent contractors, products and completed operations, blanket contractual liability, personal injury, and advertising liability with minimum limits as follows: i. $1,000,000 each occurrence; ii. $1,000,000 general aggregate; iii. $1,000,000 products and completed operations aggregate; and iv. $50,000 any one (1) fire. This requirement shall not apply to subcontractors receiving less than $25,000 in Grant Funds. Such subcontractors shall be listed as additional insured under the Grantee’s General Liability policy. C. Automobile Liability Automobile liability insurance covering any auto (including owned, hired and non-owned autos) with a minimum limit of $1,000,000 each accident combined single limit. D. Cyber/Network Security and Privacy Liability This section shall | shall not apply to this Agreement. Liability insurance covering civil, regulatory, and statutory damages, contractual damages, data breach management exposure, and any loss of income or extra expense as a result of actual or alleged breach, violation, or infringement of right to privacy, consumer data protection law, confidentiality or other legal protection for personal information, as well as State Confidential Information with minimum limits as follows: i. $1,000,000 each occurrence; and ii. $2,000,000 general aggregate. E. Professional Liability Insurance This section shall | shall not apply to this Grant. Professional liability insurance covering any damages caused by an error, omission or any negligent act with minimum limits as follows: i. $1,000,000 each occurrence; and ii. $1,000,000 general aggregate. F. Crime Insurance Crime insurance including employee dishonesty coverage with minimum limits as follows: i. $191,000 each occurrence; and ii. $191,000 general aggregate. G. Umbrella Liability Insurance For construction projects exceeding $10,000,000, Grantee and Subcontractors shall maintain umbrella/excess liability insurance on an occurrence basis in excess of the underlying insurance described in §10.A through §10.E above. Coverage shall follow the terms of the DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 16 of 29 CMS# 181213 Version 01.2023 underlying insurance, included the additional insured and waiver of subrogation provisions. The amounts of insurance required in subsections above may be satisfied by the Grantee and Subcontractor purchasing coverage for the limits specified or by any combination of underlying and umbrella limits, so long as the total amount of insurance is not less than the limits specified in each section previously mentioned. The insurance shall have a minimum amount of $5,000,000 per occurrence and $5,000,000 in the aggregate. H. Property Insurance If Grant Funds are provided for the acquisition, construction, or rehabilitation of real property, insurance on the buildings and other improvements now existing or hereafter erected on the premises and on the fixtures and personal property included in the Subject Property against loss by fire, other hazards covered by the so called “all risk” form of policy and such other perils as State shall from time to time require with respect to properties of the nature and in the geographical area of the Subject Properties, and to be in an amount at least equal to the replacement cost value of the Subject Property. Grantor will at its sole cost and expense, from time to time and at any time, at the request of State provide State with evidence satisfactory to State of the replacement cost of the Subject Property. I. Flood Insurance If the Subject Property or any part thereof is at any time located in a designated official flood hazard area, flood insurance insuring the buildings and improvements now existing or hereafter erected on the Subject Property and the personal property used in the operation thereof in an amount equal to the lesser of the amount required for property insurance identified in §10.H above, or the maximum limit of coverage made available with respect to such buildings and improvements and personal property under applicable federal laws and the regulations issued thereunder. J. Builder’s Risk Insurance This section shall | shall not apply to this Agreement. Grantee and/or Subcontractor shall purchase and maintain property insurance written on a builder’s risk “all-risk” or equivalent policy form in the amount of the initial construction/rehabilitation costs, plus value of subsequent modifications and cost of materials supplied or installed by others, comprising total value for the entire Project at the site on a replacement cost basis without optional deductibles. Such property insurance shall be maintained, unless otherwise agreed in writing by all persons and entities who are beneficiaries of such insurance, until final payment has been made or until no person or entity other than the property owner has an insurable interest in the property. i. The insurance shall include interests of the property owner, Grantee, and Subcontractors in the Project as named insureds. ii. All associated deductibles shall be the responsibility of the Grantee, and Subcontractor. Such policy may have a deductible clause but not to exceed $10,000. iii. Property insurance shall be on an “all risk” or equivalent policy form and shall include, without limitation, insurance against the perils of fire (with extended coverage) and physical loss or damage including, without duplication of coverage, theft, vandalism, malicious mischief, collapse, earthquake, flood, windstorm, falsework, testing and startup, temporary buildings and debris removal including demolition occasioned by DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 17 of 29 CMS# 181213 Version 01.2023 enforcement of any applicable legal requirements, and shall cover reasonable compensation for Grantee’s and Subcontractor’s services and expenses required as a result of such insured loss. iv. Builders Risk coverage shall include partial use by Grantee and/or property owner. v. The amount of such insurance shall be increased to include the cost of any additional work to be done on the Project, or materials or equipment to be incorporated in the Project, under other independent contracts let or to be let. In such event, Subcontractor shall be reimbursed for this cost as his or her share of the insurance in the same ratio as the ratio of the insurance represented by such independent contracts let or to be let to the total insurance carried. K. Pollution Liability Insurance If Grantee and/or its Subcontractor is providing directly or indirectly work with pollution/environmental hazards, they must provide or cause those conducting the work to provide Pollution Liability Insurance coverage. The Pollution Liability policy must include contractual liability coverage. The policy limits shall be in the amount of $1,000,000 with maximum deductible of $25,000 to be paid by the Grantee’s Subcontractor. L. Additional Insured The State shall be named as additional insured on all commercial general liability policies (leases and construction contracts require additional insured coverage for completed operations) required of Grantee and Subcontractors. M. Primacy of Coverage Coverage required of Grantee and each Subcontractor shall be primary and noncontributory over any insurance or self-insurance program carried by Grantee or the State. N. Cancellation All commercial insurance policies shall include provisions preventing cancellation or non- renewal, except for cancellation based on non-payment of premiums, without at least 30 days prior notice to Grantee and Grantee shall forward such notice to the State in accordance with §14 within seven (7) days of Grantee’s receipt of such notice. O. Subrogation Waiver All commercial insurance policies secured or maintained by Grantee or its Subcontractors in relation to this Agreement shall include clauses stating that each carrier shall waive all rights of recovery under subrogation or otherwise against Grantee or the State, its agencies, institutions, organizations, officers, agents, employees, and volunteers. P. Public Entities If Grantee is a "public entity" within the meaning of the Colorado Governmental Immunity Act, §§24-10-101, et seq., C.R.S. (the “GIA”), Grantee shall maintain, in lieu of the liability insurance requirements stated above, at all times during the term of this Agreement such liability insurance, by commercial policy or self-insurance, as is necessary to meet its liabilities under the GIA. If a Subcontractor is a public entity within the meaning of the GIA, Grantee shall ensure that the Subcontractor maintain at all times during the terms of this Grantee, in lieu of the liability insurance requirements stated above, such liability insurance, DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 18 of 29 CMS# 181213 Version 01.2023 by commercial policy or self-insurance, as is necessary to meet the Subcontractor’s obligations under the GIA. Q. Certificates For each commercial insurance plan provided by Grantee under this Agreement, Grantee shall provide to the State certificates evidencing Grantee’s insurance coverage required in this Agreement within seven (7) Business Days following the Effective Date. Grantee shall provide to the State certificates evidencing Subcontractor insurance coverage required under this Agreement within seven (7) Business Days following the Effective Date, except that, if Grantee’s subcontract is not in effect as of the Effective Date, Grantee shall provide to the State certificates showing Subcontractor insurance coverage required under this Agreement within seven (7) Business Days following Grantee’s execution of the subcontract. No later than fifteen (15) days before the expiration date of Grantee’s or any Subcontractor’s coverage, Grantee shall deliver to the State certificates of insurance evidencing renewals of coverage. At any other time during the term of this Agreement, upon request by the State, Grantee shall, within seven (7) Business Days following the request by the State, supply to the State evidence satisfactory to the State of compliance with the provisions of this section. 11. BREACH OF AGREEMENT In the event of a Breach of Agreement, the aggrieved Party shall give written notice of Breach of Agreement to the other Party. If the notified Party does not cure the breach, at its sole expense, within thirty (30) days after the delivery of written notice, the Party may exercise any of the remedies as described in §12 for that Party. Notwithstanding any provision of this Agreement to the contrary, the State, in its discretion, need not provide notice or a cure period and may immediately terminate this Agreement in whole or in part or institute any other remedy in this Agreement in order to protect the public interest of the State; or if Grantee is debarred or suspended under §24-109-105, C.R.S., the State, in its discretion, need not provide notice or cure period and may terminate this Agreement in whole or in part or institute any other remedy in this Agreement as of the date that the debarment or suspension takes effect. 12. REMEDIES A. State’s Remedies If Grantee is in breach under any provision of this Agreement and fails to cure such breach, the State, following the notice and cure period set forth in §11, shall have all of the remedies listed in this section in addition to all other remedies set forth in this Agreement or at law. The State may exercise any or all of the remedies available to it, in its discretion, concurrently or consecutively. i. Termination for Breach In the event of Grantee’s uncured breach, the State may terminate this entire Agreement or any part of this Agreement. Additionally, if Grantee fails to comply with any terms of the Federal Award, then the State may, in its discretion or at the direction of a Federal Awarding Agency, terminate this entire Agreement or any part of this Agreement. Grantee shall continue performance of this Agreement to the extent not terminated, if any. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 19 of 29 CMS# 181213 Version 01.2023 a. Obligations and Rights To the extent specified in any termination notice, Grantee shall not incur further obligations or render further performance past the effective date of such notice, and shall terminate outstanding orders and subcontracts with third parties. However, Grantee shall complete and deliver to the State all Work not cancelled by the termination notice, and may incur obligations as necessary to do so within this Agreement’s terms. At the request of the State, Grantee shall assign to the State all of Grantee’s rights, title, and interest in and to such terminated orders or subcontracts. Upon termination, Grantee shall take timely, reasonable and necessary action to protect and preserve property in the possession of Grantee but in which the State has an interest. At the State’s request, Grantee shall return materials owned by the State in Grantee’s possession at the time of any termination. Grantee shall deliver all completed Work Product and all Work Product that was in the process of completion to the State at the State’s request. b. Payments Notwithstanding anything to the contrary, the State shall only pay Grantee for accepted Work received as of the date of termination. If, after termination by the State, the State agrees that Grantee was not in breach or that Grantee’s action or inaction was excusable, such termination shall be treated as a termination in the public interest, and the rights and obligations of the Parties shall be as if this Agreement had been terminated in the public interest under §2.E. c. Damages and Withholding Notwithstanding any other remedial action by the State, Grantee shall remain liable to the State for any damages sustained by the State in connection with any breach by Grantee, and the State may withhold payment to Grantee for the purpose of mitigating the State’s damages until such time as the exact amount of damages due to the State from Grantee is determined. The State may withhold any amount that may be due Grantee as the State deems necessary to protect the State against loss including, without limitation, loss as a result of outstanding liens and excess costs incurred by the State in procuring from third parties replacement Work as cover. ii. Remedies Not Involving Termination The State, in its discretion, may exercise one or more of the following additional remedies: a. Suspend Performance Suspend Grantee’s performance with respect to all or any portion of the Work pending corrective action as specified by the State without entitling Grantee to an adjustment in price or cost or an adjustment in the performance schedule. Grantee shall promptly cease performing Work and incurring costs in accordance with the State’s directive, and the State shall not be liable for costs incurred by Grantee after the suspension of performance. b. Withhold Payment Withhold payment to Grantee until Grantee corrects its Work. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 20 of 29 CMS# 181213 Version 01.2023 c. Deny Payment Deny payment for Work not performed, or that due to Grantee’s actions or inactions, cannot be performed or if they were performed are reasonably of no value to the state; provided, that any denial of payment shall be equal to the value of the obligations not performed. d. Removal Demand immediate removal of any of Grantee’s employees, agents, or Subcontractors from the Work whom the State deems incompetent, careless, insubordinate, unsuitable, or otherwise unacceptable or whose continued relation to this Agreement is deemed by the State to be contrary to the public interest or the State’s best interest. e. Intellectual Property If any Work infringes, or if the State in its sole discretion determines that any Work is likely to infringe, a patent, copyright, trademark, trade secret or other intellectual property right, Grantee shall, as approved by the State (i) secure that right to use such Work for the State and Grantee; (ii) replace the Work with noninfringing Work or modify the Work so that it becomes noninfringing; or, (iii) remove any infringing Work and refund the amount paid for such Work to the State. f. Technical Assistance State may elect to conduct on-site monitoring and work closely with Grantee until the Project is back on schedule. State shall provide prior written notice to Grantee if its elects to conduct on-site monitoring, which shall be conducted during normal business hours and shall not unduly disrupt Grantee’s business operations. B. Grantee’s Remedies If the State is in breach of any provision of this Agreement and does not cure such breach, Grantee, following the notice and cure period in §11 and the dispute resolution process in §13 shall have all remedies available at law and equity. 13. DISPUTE RESOLUTION A. Initial Resolution Except as herein specifically provided otherwise, disputes concerning the performance of this Agreement which cannot be resolved by the designated Agreement representatives shall be referred in writing to a senior departmental management staff member designated by the State and a senior manager designated by Grantee for resolution. This §13 shall not apply to a suspension or termination of this Agreement made by the State pursuant to §2.G. B. Resolution of Controversies If the initial resolution described in §13.A fails to resolve the dispute within ten (10) Business Days, Grantee shall submit any alleged breach of this Agreement by the State to the Procurement Official of the Department of Local Affairs as described in §24-101-301(30), C.R.S. for resolution following the same resolution of controversies process as described in §24-106-109, C.R.S. and §§24-109-101.1 through 24-109-505, C.R.S. (the “Resolution DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 21 of 29 CMS# 181213 Version 01.2023 Statutes”), except that if Grantee wishes to challenge any decision rendered by the Procurement Official, Grantee’s challenge shall be an appeal to the executive director of the Department of Personnel and Administration, or their delegate, in the same manner as described in the Resolution Statutes before Grantee pursues any further action. Except as otherwise stated in this Section, all requirements of the Resolution Statutes shall apply including, without limitation, time limitations regardless of whether the Colorado Procurement Code applies to this Agreement. 14. NOTICES AND REPRESENTATIVES Each individual identified as a Principal Representative on the Cover Page for this Agreement shall be the principal representative of the designating Party. All notices required or permitted to be given under this Agreement shall be in writing, and shall be delivered (A) by hand with receipt required, (B) by certified or registered mail to such Party’s principal representative at the address set forth on the Cover Page for this Agreement or (C) as an email with read receipt requested to the principal representative at the email address, if any, set forth on the Cover Page for this Agreement. If a Party delivers a notice to another through email and the email is undeliverable, then, unless the Party has been provided with an alternate email contact, the Party delivering the notice shall deliver the notice by hand with receipt required or by certified or registered mail to such Party’s principal representative at the address set forth on the Cover Page for this Agreement. Either Party may change its principal representative or principal representative contact information, or may designate specific other individuals to receive certain types of notices in addition to or in lieu of a principal representative, by notice submitted in accordance with this section without a formal amendment to this Agreement. Unless otherwise provided in this Agreement, notices shall be effective upon delivery of the written notice. 15. RIGHTS IN WORK PRODUCT AND OTHER INFORMATION A. Work Product i. Copyrights [Reserved]. ii. Patents [Reserved]. iii. Assignments and Assistance Whether or not Grantee is under contract with the State at the time, Grantee shall execute applications, assignments, and other documents, and shall render all other reasonable assistance requested by the State, to enable the State to secure patents, copyrights, licenses and other intellectual property rights related to the Work Product. The Parties intend the Work Product to be works made for hire. Grantee assigns to the State and its successors and assigns, the entire right, title, and interest in and to all causes of action, either in law or in equity, for past, present, or future infringement of intellectual property rights related to the Work Product and all works based on, derived from, or incorporating the Work Product. B. Exclusive Property of the State Except to the extent specifically provided elsewhere in this Agreement, any pre-existing State Records, State software, research, reports, studies, photographs, negatives or other DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 22 of 29 CMS# 181213 Version 01.2023 documents, drawings, models, materials, data and information shall be the exclusive property of the State (collectively, “State Materials”). Grantee shall not use, willingly allow, cause or permit Work Product or State Materials to be used for any purpose other than the performance of Grantee’s obligations in this Agreement without the prior written consent of the State. Upon termination of this Agreement for any reason, Grantee shall provide all Work Product and State Materials to the State in a form and manner as directed by the State. C. Exclusive Property of Grantee Grantee retains the exclusive rights, title, and ownership to any and all pre-existing materials owned or licensed to Grantee including, but not limited to, all pre-existing software, licensed products, associated source code, machine code, text images, audio and/or video, and third- party materials, delivered by Grantee under this Agreement, whether incorporated in a Deliverable or necessary to use a Deliverable (collectively, “Grantee Property”). Grantee Property shall be licensed to the State as set forth in this Agreement or a State approved license agreement: (i) entered into as exhibits to this Agreement, (ii) obtained by the State from the applicable third-party vendor, or (iii) in the case of open source software, the license terms set forth in the applicable open source license agreement. 16. STATEWIDE CONTRACT MANAGEMENT SYSTEM If the maximum amount payable to Grantee under this Agreement is $100,000 or greater, either on the Effective Date or at any time thereafter, this section shall apply. Grantee agrees to be governed by and comply with the provisions of §§24-106-103, 24-102-206, 24-106-106, and 24-106-107, C.R.S. regarding the monitoring of vendor performance and the reporting of Agreement performance information in the State’s Agreement management system (“Contract Management System” or “CMS”). Grantee’s performance shall be subject to evaluation and review in accordance with the terms and conditions of this Agreement, Colorado statutes governing CMS, and State Fiscal Rules and State Controller policies. 17. RESTRICTIONS ON PUBLIC BENEFITS Grantee shall confirm that any individual natural person is lawfully present in the United States pursuant to 8 U.S.C. §§1601, et seq., when such individual applies for public benefits provided under this Grant by requiring the applicant to: A. Produce a verification document in accordance with 62 Fed. Reg. 221 (November 17, 1997), pp. 61,363 - 61,371; and, B. Execute a Residency Declaration, attached as Form 1, or a substantially similar form as determined by the State. 18. GENERAL PROVISIONS A. Applicable Laws At all times during the performance of this Grant, Grantee shall comply with all applicable Federal and State laws and their implementing regulations, currently in existence and as hereafter amended including, without limitation, those set forth on Exhibit A, Applicable Laws. Grantee also shall require compliance with such laws and regulations by Subcontractors under subcontracts permitted by this Grant. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 23 of 29 CMS# 181213 Version 01.2023 B. Assignment Grantee’s rights and obligations under this Agreement are personal and may not be transferred or assigned without the prior, written consent of the State. Any attempt at assignment or transfer without such consent shall be void. Any assignment or transfer of Grantee’s rights and obligations approved by the State shall be subject to the provisions of this Agreement. C. Subcontracts Grantee shall not enter into any subgrant or subcontract in connection with its obligations under this Agreement without the prior, written approval of the State. Grantee shall submit to the State a copy of each such subgrant or subcontract upon request by the State. All subgrants and subcontracts entered into by Grantee in connection with this Agreement shall comply with all applicable federal and state laws and regulations, shall provide that they are governed by the laws of the State of Colorado, and shall be subject to all provisions of this Agreement. If the entity with whom Grantee enters into a subcontract or subgrant would also be considered a Subrecipient, then the subcontract or subgrant entered into by Grantee shall also contain provisions permitting both Grantee and the State to perform all monitoring of that Subcontractor in accordance with the Uniform Guidance. D. Binding Effect Except as otherwise provided in §17.B and Exhibit B, all provisions of this Agreement, including the benefits and burdens, shall extend to and be binding upon the Parties’ respective successors and assigns. E. Authority Each Party represents and warrants to the other that the execution and delivery of this Agreement and the performance of such Party’s obligations have been duly authorized. F. Captions and References The captions and headings in this Agreement are for convenience of reference only, and shall not be used to interpret, define, or limit its provisions. All references in this Agreement to sections (whether spelled out or using the § symbol), subsections, exhibits or other attachments, are references to sections, subsections, exhibits or other attachments contained herein or incorporated as a part hereof, unless otherwise noted. G. Counterparts This Agreement may be executed in multiple, identical, original counterparts, each of which shall be deemed to be an original, but all of which, taken together, shall constitute one and the same agreement. H. Entire Understanding This Agreement represents the complete integration of all understandings between the Parties related to the Work, and all prior representations and understandings related to the Work, oral or written, are merged into this Agreement. Prior or contemporaneous additions, deletions, or other changes to this Agreement shall not have any force or effect whatsoever, unless embodied herein. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 24 of 29 CMS# 181213 Version 01.2023 I. Digital Signatures If any signatory signs this agreement using a digital signature in accordance with the Colorado State Controller Contract, Grant and Purchase Order Policies regarding the use of digital signatures issued under the State Fiscal Rules, then any agreement or consent to use digital signatures within the electronic system through which that signatory signed shall be incorporated into this Agreement by reference. J. Jurisdiction and Venue [Reserved]. K. Modification Except as otherwise provided in this Agreement, any modification to this Agreement shall only be effective if agreed to in a formal amendment to this Agreement, properly executed and approved in accordance with applicable Colorado State law and State Fiscal Rules. Modifications permitted under this Agreement, other than Agreement amendments, shall conform to the policies issued by the Colorado State Controller. i. By the Parties The State, at its discretion, shall have the option to unilaterally extend the Initial Agreement Expiration Date, change the Agreement Maximum Amount, and in the Statement of Work (Exhibit B), adjust the Project Budget, modify the Service Area, the Milestones, the Responsible Administrator, the Payment Schedule, and the Remittance Address through an Option Letter in a form substantially similar to Exhibit G, properly executed and approved in accordance with applicable State laws, regulations, and policies. Modifications other than by Option Letter shall not take effect unless agreed to in writing by both parties in an amendment to this Agreement properly executed and approved in accordance with State laws, regulations, and policies. ii. By Operation of Law This Agreement is subject to such modifications as may be required by changes in Federal or Colorado State law, or their implementing regulations. Any such required modification automatically shall be incorporated into and be part of this Agreement on the effective date of such change, as if fully set forth herein. iii. Items not Requiring Modification - Consents Where the terms of this Agreement require the Grantee to obtain the consent of the Division of Housing, the Division Director or their delegate shall be authorized to provide such consent. L. Statutes, Regulations, Fiscal Rules, and Other Authority Any reference in this Agreement to a statute, regulation, State Fiscal Rule, fiscal policy or other authority shall be interpreted to refer to such authority then current, as may have been changed or amended since the Effective Date of this Agreement. M. External Terms and Conditions Notwithstanding anything to the contrary herein, the State shall not be subject to any provision included in any terms, conditions, or agreements appearing on Grantee’s or a Subcontractor’s website or any provision incorporated into any click-through or online DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 25 of 29 CMS# 181213 Version 01.2023 agreements related to the Work unless that provision is specifically referenced in this Agreement. N. Severability The invalidity or unenforceability of any provision of this Agreement shall not affect the validity or enforceability of any other provision of this Agreement, which shall remain in full force and effect, provided that the Parties can continue to perform their obligations under this Agreement in accordance with the intent of this Agreement. O. Survival of Certain Agreement Terms Any provision of this Agreement that imposes an obligation on a Party after termination or expiration of this Agreement shall survive the termination or expiration of this Agreement and shall be enforceable by the other Party. P. Taxes The State is exempt from federal excise taxes under I.R.C. Chapter 32 (26 U.S.C., Subtitle D, Ch. 32) (Federal Excise Tax Exemption Certificate of Registry No. 84-730123K) and from State and local government sales and use taxes under §§39 -26-704(1), et seq., C.R.S. (Colorado Sales Tax Exemption Identification Number 98-02565). The State shall not be liable for the payment of any excise, sales, or use taxes, regardless of whether any political subdivision of the state imposes such taxes on Grantee. Grantee shall be solely responsible for any exemptions from the collection of excise, sales or use taxes that Grantee may wish to have in place in connection with this Agreement. Q. Third Party Beneficiaries Except for the Parties’ respective successors and assigns described in §18.B of this Agreement does not and is not intended to confer any rights or remedies upon any person or entity other than the Parties. Enforcement of this Agreement and all rights and obligations hereunder are reserved solely to the Parties. Any services or benefits which third parties receive as a result of this Agreement are incidental to this Agreement, and do not create any rights for such third parties. R. Waiver A Party’s failure or delay in exercising any right, power, or privilege under this Agreement, whether explicit or by lack of enforcement, shall not operate as a waiver, nor shall any single or partial exercise of any right, power, or privilege preclude any other or further exercise of such right, power, or privilege. S. CORA Disclosure To the extent not prohibited by federal law, this Agreement and the performance measures and standards required under §24-106-107, C.R.S., if any, are subject to public release through the CORA. T. Standard and Manner of Performance Grantee shall perform its obligations under this Agreement in accordance with the highest standards of care, skill and diligence in Grantee’s industry, trade, or profession. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 26 of 29 CMS# 181213 Version 01.2023 U. Licenses, Permits, and Other Authorizations Grantee shall secure, prior to the Effective Date, and maintain at all times during the term of this Agreement, at its sole expense, all licenses, certifications, permits, and other authorizations required to perform its obligations under this Agreement, and shall ensure that all employees, agents and Subcontractors secure and maintain at all times during the term of their employment, agency or Subcontractor, all license, certifications, permits and other authorizations required to perform their obligations in relation to this Agreement. V. Indemnification i. General Indemnification Grantee shall indemnify, save, and hold harmless the State, its employees, agents and assignees (the “Indemnified Parties”), against any and all costs, expenses, claims, damages, liabilities, court awards and other amounts (including attorneys’ fees and related costs) incurred by any of the Indemnified Parties in relation to any act or omission by Grantee, or its employees, agents, Subcontractors, or assignees in connection with this Agreement. ii. Confidential Information Indemnification Disclosure or use of State Confidential Information by Grantee in violation of §8 may be cause for legal action by third parties against Grantee, the State, or their respective agents. Grantee shall indemnify, save, and hold harmless the Indemnified Parties, against any and all claims, damages, liabilities, losses, costs, expenses (including attorneys’ fees and costs) incurred by the State in relation to any act or omission by Grantee, or its employees, agents, assigns, or Subcontractors in violation of §8. iii. Intellectual Property Indemnification Grantee shall indemnify, save, and hold harmless the Indemnified Parties, against any and all costs, expenses, claims, damages, liabilities, and other amounts (including attorneys’ fees and costs) incurred by the Indemnified Parties in relation to any claim that any Work infringes a patent, copyright, trademark, trade secret, or any other intellectual property right. iv. Accessibility Indemnification Grantee shall indemnify, save, and hold harmless the Indemnified Parties against any and all costs, expenses, claims, damages, liabilities, court awards and other amounts (including attorneys’ fees and related costs) incurred by any of the Indemnified Parties in relation to Grantee’s failure to comply with §§24-85-101, et seq., C.R.S., or the Accessibility Standards for Individuals with a Disability as established by OIT pursuant to Section §24-85-103 (2.5), C.R.S. W. Compliance with State and Federal Law, Regulations, and Executive Orders Grantee shall comply with all applicable State and Federal Law, regulations, executive orders, State and Federal Awarding Agency policies, procedures, directives, and reporting requirements at all times during the term of this Agreement. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 27 of 29 CMS# 181213 Version 01.2023 X. Accessibility i. Grantee shall comply with and Work Product provided under this Agreement shall be in compliance with all applicable provisions of §§24-85-101, et seq., C.R.S., and the Accessibility Standards for Individuals with a Disability, as established by the Governor’s Office of Information Technology (OIT), pursuant to Section §24-85-103 (2.5), C.R.S. Grantee shall also comply with all State of Colorado technology standards related to technology accessibility and with Level AA of the most current version of the Web Content Accessibility Guidelines (WCAG), incorporated in the State of Colorado technology standards. ii. The State may require Grantee’s compliance to the State’s Accessibility Standards to be determined by a third party selected by the State to attest to Grantee’s Work Product and software is in compliance with §§24-85-101, et seq., C.R.S., and the Accessibility Standards for Individuals with a Disability as established by OIT pursuant to Section §24-85-103 (2.5), C.R.S. 19. COLORADO SPECIAL PROVISIONS (COLORADO FISCAL RULE 3-3) These Special Provisions apply to all agreements except where noted in italics. A. Statutory Approval. §24-30-202(1), C.R.S. This Agreement shall not be valid until it has been approved by the Colorado State Controller or designee. If this Agreement is for a Major Information Technology Project, as defined in §24-37.5-102(2.6), C.R.S., then this Agreement shall not be valid until it has been approved by the State’s Chief Information Officer or designee. B. Fund Availability. §24-30-202(5.5), C.R.S. Financial obligations of the State payable after the current State Fiscal Year are contingent upon funds for that purpose being appropriated, budgeted, and otherwise made available. C. Governmental Immunity. Liability for claims for injuries to persons or property arising from the negligence of the State, its departments, boards, commissions committees, bureaus, offices, employees and officials shall be controlled and limited by the provisions of the Colorado Governmental Immunity Act, §24-10-101, et seq., C.R.S.; the Federal Tort Claims Act, 28 U.S.C. Pt. VI, Ch. 171 and 28 U.S.C. 1346(b), and the State’s risk management statutes, §§24-30-1501, et seq., C.R.S. No term or condition of this Agreement shall be construed or interpreted as a waiver, express or implied, of any of the immunities, rights, benefits, protections, or other provisions, contained in these statutes. D. Independent Contractor. Grantee shall perform its duties hereunder as an independent contractor and not as an employee. Neither Grantee nor any agent or employee of Grantee shall be deemed to be an agent or employee of the State. Grantee shall not have authorization, express or implied, to bind the State to any agreement, liability or understanding, except as expressly set forth herein. Grantee and its employees and agents are not entitled to unemployment insurance or workers compensation benefits through the State and the State shall not pay for or otherwise provide such coverage for Grantee or any of its agents or employees. Grantee shall pay when due all applicable employment taxes and income DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 28 of 29 CMS# 181213 Version 01.2023 taxes and local head taxes incurred pursuant to this Agreement. Grantee shall (i) provide and keep in force workers' compensation and unemployment compensation insurance in the amounts required by law, (ii) provide proof thereof when requested by the State, and (iii) be solely responsible for its acts and those of its employees and agents. E. Compliance with Law. Grantee shall comply with all applicable federal and State laws, rules, and regulations in effect or hereafter established, including, without limitation, laws applicable to discrimination and unfair employment practices. F. Choice of Law, Jurisdiction and Venue. Colorado law, and rules and regulations issued pursuant thereto, shall be applied in the interpretation, execution, and enforcement of this Agreement. Any provision included or incorporated herein by reference which conflicts with said laws, rules, and regulations shall be null and void. All suits or actions related to this Agreement shall be filed and proceedings held in the State of Colorado and exclusive venue shall be in the City and County of Denver. G. Prohibited Terms. Any term included in this Agreement that requires the State to indemnify or hold Grantee harmless; requires the State to agree to binding arbitration; limits Grantee’s liability for damages resulting from death, bodily injury, or damage to tangible property; or that conflicts with this provision in any way shall be void ab initio. Nothing in this Agreement shall be construed as a waiver of any provision of §24-106-109 C.R.S. H. Software Piracy Prohibition. State or other public funds payable under this Agreement shall not be used for the acquisition, operation, or maintenance of computer software in violation of federal copyright laws or applicable licensing restrictions. Grantee hereby certifies and warrants that, during the term of this Agreement and any extensions, Grantee has and shall maintain in place appropriate systems and controls to prevent such improper use of public funds. If the State determines that Grantee is in violation of this provision, the State may exercise any remedy available at law or in equity or under this Agreement, including, without limitation, immediate termination of this Agreement and any remedy consistent with federal copyright laws or applicable licensing restrictions. I. Employee Financial Interest/Conflict of Interest. §§24-18-201 and 24-50-507, C.R.S. The signatories aver that to their knowledge, no employee of the State has any personal or beneficial interest whatsoever in the service or property described in this Agreement. Grantee has no interest and shall not acquire any interest, direct or indirect, that would conflict in any manner or degree with the performance of Grantee’s services and Grantee shall not employ any person having such known interests. J. Vendor Offsets and Erroneous Payments. §§24-30-202(1) and 24-30-202.4, C.R.S. [Not applicable to intergovernmental agreements] Subject to §24-30-202.4(3.5), C.R.S., the State Controller may withhold payment under the State’s vendor offset intercept system for debts owed to State agencies for: (i) unpaid child support debts or child support arrearages; (ii) unpaid balances of tax, accrued interest, or other charges specified in §§39-21-101, et seq., C.R.S.; (iii) unpaid loans due to the Student Loan Division of the Department of Higher DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E CDBG-CV Grant Agreement Page 29 of 29 CMS# 181213 Version 01.2023 Education; (iv) amounts required to be paid to the Unemployment Compensation Fund; and (v) other unpaid debts owing to the State as a result of final agency determination or judicial action. The State may also recover, at the State’s discretion, payments made to Grantee in error for any reason, including, but not limited to, overpayments or improper payments, and unexpended or excess funds received by Grantee by deduction from subsequent payments under this Agreement, deduction from any payment due under any other contracts, grants or agreements between the State and Grantee, or by any other appropriate method for collecting debts owed to the State. REMAINDER OF THIS PAGE INTENTIONALLY LEFT BLANK DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit A Page 1 of 2 CMS# 181213 EXHIBIT A - APPLICABLE LAWS Laws, regulations, and authoritative guidance incorporated into this Grant include, without limitation: 1. Housing and Community Development Act of 1974, Pub L, No. 93-383, as amended. 2. Cranston-Gonzales National Affordable Housing Act of 1990, as amended. 3. 24 CFR Part 92, HOME Investment Partnerships Program Final Rule. 4. State of Colorado Community Development Block Grant (CDBG) Guidebook, available on DOLA’s website. 5. 24 CFR Parts 0-91 Housing and Urban Development. 6. 24 CFR Subtitle B, Chapter I – XXV, HUD. 7. 24 CFR Part 58, Environmental Review Procedures for Entities Assuming HUD Environmental Responsibilities. 8. 2 CFR Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. 9. 2 CFR Part 230, Cost Principles for Non-Profit Organizations. 10. 2 CFR Part 200 Section 500, et seq., Audit Requirements. 11. §29-1-601, et seq., C.R.S., Local Government Audit Law. 12. §24-32-106 C.R.S., Powers of the director provision. 13. §24-32-705(1)(i) C.R.S., DOH ability to accept and receive grants. 14. 16 USC §469, et seq., Historic Preservation. 15. 2 USC Chapter 26, Disclosure of Lobbying Activities. 16. 5 USC §552a, Public Information; agency rules, opinions, order, records and proceedings (Privacy Act 1974). 17. 8 USC §1101-1646, Immigration and Nationality. 18. 12 USC §§1701- 1701z-15, National Housing Act. 19. 15 USC Chapter 49, Fire Prevention and Control. 20. 16 USC Chapters 1-92, Conservation. 21. 16 USC §469, et seq., Historic Preservation. 22. 16 USC §1531, et seq., Endangered Species. 23. 16 USC §1271, et seq., Wild and Scenic Rivers. 24. 20 USC Chapter 38, Discrimination Based on Sex or Blindness (Title IX, as amended, Education Amendment of 1972). 25. 29 USC Chapter 8, §§201, 206, et seq., as amended, Labor. 26. 29 USC Chapter 14 Age Discrimination in Employment. 27. 29 USC Chapter 16, §§793-794, et seq., as amended, Vocational Rehabilitation and Other Rehabilitation Services. 28. 31 USC Subtitles I – VI, Money and Finance. 29. 40 USC Subtitle I, Federal Property and Administrative Services. 30. 40 USC Subtitle II, Public Buildings and Works. 31. 40 USC §§ 3141 – 3148, Wage Rate Requirements (Davis Bacon). 32. 40 USC §§ 3701 – 3708, Contract Work Hours and Safety Standards Act. 33. 40 CFR Parts 1500-1508, Council on Environmental Quality (Regulations Implementing NEPA). 34. 41 CFR Chapter 60, Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit A Page 2 of 2 CMS# 181213 35. 41 USC § 6502, et seq., Walsh-Healey Public Contracts Act. 36. 41 USC Chapter 81, Drug Free Workplace. 37. 42 USC Chapter 6A, Public Health Service. 38. 42 USC Chapter 21, Civil Rights. 39. 42 USC Chapter 45 Fair Housing. 40. 42 USC Chapter 50, National Flood Insurance. 41. 42 USC Chapter 55, National Environmental Policy. 42. 42 USC Chapter 63, Lead-Based Paint Poisoning Prevention. 43. 42 USC Chapter 69, Community Development. 44. 42 USC Chapter 76, Age Discrimination in Federally Assisted Programs. 45. 42 USC Chapter 85, Air Pollution Prevention and Control. 46. 42 USC Chapter 89, Congregate Housing Services. 47. 42 USC Chapter 126, Equal Opportunity for Individuals with Disabilities. 48. 42 USC Chapter 130, National Affordable Housing. 49. 42 USC §§300f – 300j-26, Safe Drinking Water. 50. 49 CFR Part 24, as amended, Uniform Relocation Assistance and Real Property for Federal and Federally Assisted Programs. 51. §24-34-301, et seq., C.R.S., Colorado Civil Rights Division. 52. §24-34-501, et seq., C.R.S., Housing Practices. 53. §24-75-601, et seq., C.R.S., Legal Investment of Public Funds. 54. Executive Order 11063, HUD Equal Opportunity in Housing, as amended by Executive Order 12259, Leadership and Coordination of Fair Housing in Federal Programs. 55. Executive Order 11593, Protection and Enhancement of the Cultural Environment. 56. Executive Order 11988, Floodplain Management. 57. Executive Order 11990, Protection of Wetlands. 58. Public Law 110-289, Housing and Economic Recovery Act of 2008. 59. Public Law 111-203, Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. 60. Compliance with all applicable standards, orders, or requirements issued pursuant to section 508 of the Clean Water Act (33 USC §1368), Executive Order 11738, and Environmental Protection Agency regulations (40 CFR Part 15). (Applicable to contracts, subcontracts, and subgrants of amounts in excess of $100,000). 61. Mandatory standards and policies relating to energy efficiency which are contained in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub. L. 94–163, 89 Stat. 871). [53 FR 8068, March 11, 1988, as amended at 60 FR 19639, Apr. 19, 1995] DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit B Page 1 of 16 CMS# 181213 EXHIBIT B - STATEMENT OF PROJECT 1. GENERAL DESCRIPTION OF THE PROJECT 1.1. Project Description. 1.1.1. The Emergency Solutions Grants (ESG) program aims to improve the quality of programs and services for individuals who lack housing or are at risk of homelessness. It provides funding for Emergency Shelter, Street Outreach, Homelessness Prevention, Rapid Re-housing, and the data collection or administrative costs associated with managing these programs. Grant Funds may only be used for Eligible Activities as defined in §8.1 and listed in §5.2 (Project Budget) of this Exhibit B. Grantee is responsible for completion of the Project and submission of all required reporting and other documentation in the manner and timeframes set forth herein. 1.1.2. CDBG-CV. This Grant Agreement contains Supplemental Community Development Block Grant (CDBG) funds have been made available to the State to prevent, prepare for, and respond to coronavirus. HUD Notice FR-6218-N-01, as amended, (the “Notice”) describes HUD program rules, statutory and regulatory waivers, and alternative requirements applicable to CDBG-CV funds. Pursuant to the Notice, the State determined to utilize a portion of its coronavirus response (CDBG-CV) funds to fund this Agreement (the “Grant Funds”). 1.2. Pre-Agreement Costs. “Pre-Agreement Costs” means costs incurred prior to the Effective Date of this Agreement that are eligible for payment with Grant Funds. Pre-Agreement Costs are allowed only to the extent such costs authorized by the federal funding source and specifically identified in §5.3 of this Exhibit B. 2. DEFINITIONS The following definitions are in addition to definitions appearing in the main Grant Agreement and other Exhibits. 2.1. “Advance Payment” [Reserved]. 2.2. “Area Median Income (AMI)” means income limits, determined by HUD, with adjustments for smaller and larger families. HUD may establish income ceilings higher or lower than 30, 50, or 80 percent of the median income for an area if HUD finds that such variations are necessary because of unusually high or low family incomes 2.3. “Beneficiaries” mean the persons and/or households who are the end users that benefit from the Project. 2.4. “CDBG-CV Public Services” means costs associated with the operation of programs for the homeless. For the purposes of this Grant Agreement, the CDBG-CV funds may be used in alignment with §8.1.2 (Emergency Shelter), §8.1.3 (Street Outreach), §8.1.4 (HMIS or Comparable Database), and §8.1.6 (Administration) of this Exhibit B. 2.5. “Comparable Database” means a relational database that meets all Homeless Management Information Systems (HMIS) data standards and the minimum standards of HMIS privacy and security requirements, including the Department of Housing and Urban Development’s (HUD) most recent reporting standards and comma separated value (“CSV”) format specifications. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit B Page 2 of 16 CMS# 181213 DOH has chosen the Client Assessment, File and Event management system (CAFÉ) as the HMIS Comparable Database for ESG funded programs. 2.6. “Continuum of Care (CoC)” means a HUD identified regional that promotes communitywide commitment to the goal of ending homelessness; provides funding for efforts by nonprofit providers, and State and local governments to quickly rehouse homeless individuals and families while minimizing the trauma and dislocation caused to homeless individuals, families, and communities by homelessness; promote access to and effect utilization of mainstream programs by homeless individuals and families; and optimizes self-sufficiency among individuals and families experiencing homelessness. 2.7. “Coordinated Entry System,” (also referred to as the Coordinated Assessment System, Centralized Entry, or Assessment System) means a regional, client-centered process that enables communities to assess and identify the housing and support needs of individuals experiencing homelessness. Coordinated Entry Systems also match the right level of services and housing intervention as quickly and efficiently as possible, while being respectful of client choice and local providers. 2.8. “Fair Market Rent” means the statistic developed by HUD in order to determine payments for various housing assistance programs, including the rent ceilings allowed in ESG. 2.9. “Fiscal Agent” means any Grantee that intends to pass funding received from DOH in this Grant Agreement to another agency which will perform the activities outlined in §5.2 (Project Budget) of this Exhibit B. 2.10. “Fund Expenditure Date” means the last date that the Grantee may incur costs that will be paid out through this grant agreement. 2.11. “Homeless Management Information System (HMIS)” means a local information technology system used to collect client-level data and data on the provision of housing and services to homeless individuals and families and persons at risk of homelessness. 2.12. “Initial Agreement Expiration Date” means the date on which the Parties’ respective performances under this Agreement shall terminate, as defined by §2.B of the main body of this Agreement, unless sooner terminated or further extended in accordance with the terms of this Agreement. (I pulled most of this from the main body of the agreement under 2.B. Initial Term) 2.13. “Neighborly Grants Management System” means the DOH platform used to collect pay requests and quarterly reports. 2.14. “Pre-Agreement Costs” [Reserved]. 2.15. Progressive Engagement. “Progressive Engagement” is a services model that seeks to match services and resources to the participants presenting need. It is an approach to helping households end homelessness as rapidly as possible, despite barriers, with minimal financial and support resources. More supports are offered to households who struggle to stabilize and cannot maintain housing without assistance. 2.16. Rent Reasonableness. A standard defined by HUD designed to ensure that rents being paid are reasonable in relation to rents being charged for comparable unassisted units in the same market. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit B Page 3 of 16 CMS# 181213 3. DELIVERABLES 3.1. Outcome. This Project will serve individuals and families currently experiencing or at risk of experiencing homelessness pursuant to the Grantee’s approved application. 3.2. Performance Milestones. Grantee shall achieve each of the following Milestones by the Date shown. Milestone Date Provide certificate of insurance, and all other compliance documentation requested by DOH within one month of receiving an executed contract 06/30/2023 Provide certification of matching funds commitments and sources to DOH through Neighborly On-going Submit request for reimbursements to DOH at least quarterly through Neighborly On-going Submit Quarterly Homeless Management Information (HMIS) or CAFÉ Report through Neighborly On-going Provide DOH access to Grantee’s HMIS web portal to review real time client data On-going Submit Project Completion Report to DOH 4/30/2024 3.3. Service Area. The services described within this Grant may be provided in Eagle, Garfield, and Pitkin Counties, State of Colorado. Grantee may also serve individuals referred to them through their regional Coordinated Entry Systems, even if that individual or household (s) currently lives outside this service area. 4. PERSONNEL 4.1. Replacement. Grantee shall immediately notify the State if the Responsible Administrator specified in §4.2 or any other Grantee key personnel cease to serve. Provided there is a good- faith reason for the change, if Grantee wishes to replace its key personnel, it shall notify the State and seek its approval, which shall be at the State's sole discretion, as the State executed this Grant in part reliance on Grantee’s representations regarding key personnel. Such notice shall specify why the change is necessary, who the proposed replacement is, what their qualifications are, and when the change will take effect. Anytime key personnel cease to serve, the State, in its sole discretion, may direct Grantee to suspend Work until such time as replacements are approved. All notices sent under this subsection shall be sent in accordance with §14 of the Grant. 4.2. Responsible Administrator. Grantee’s performance hereunder shall be under the direct supervision of Namrata Shrestha, Asst. Director (nshrestha@westmountainhealthalliance.org) who is hereby designated as the responsible administrator of this Project. 5. FUNDING The State provided funds shall be limited to the amount specified under the “State CDBG-CV Funds” column of §5.2, Project Budget, below. State CDBG-CV funds are used to supplement federal ESG funding for this program and follow the same guidelines and regulations as federal ESG funding for the purposes of this program, expect when ESG regulations are in direct conflict with CDBG-CV regulations. 5.1. Matching Funds. Grantee shall provide matching funds, from an eligible source, in compliance with detailed descriptions of eligible matching funds found in Exhibit D of this DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit B Page 4 of 16 CMS# 181213 document. Funds used to match a previous ESG grant may not be used to match these Grant Funds. 5.2. Project Budget Eligible Activity State CDBG-CV Funds Emergency Shelter $52,732 Street Outreach $52,732 HMIS or Comparable Database $71,790.97 Administration $13,341 Total $190,595.97 *Matching funds may be used to provide any of the Eligible Activities listed in §8.1 of this Exhibit B for which Grantee is funded in this Project Budget. If an Eligible Activity is not is not given a line item amount in the budget, it cannot be used as match. For example, if Grantee is not funded for Administration in the budget above, Administration costs cannot be used as match. See Exhibit D for further explanation. 5.3. Pre-Agreement Costs. Because of the COVID-19 emergency, Pre-Agreement Costs related to COVID-19 expenses that were incurred from April 1, 2023 through the execution of this Agreement may be used to pay up to the Project Budget Costs listed in §5.2. 5.4. Advance Payments. Reserved. 5.5. Project Budget Line Item Adjustments. Grantee shall have authorit y to adjust individual budget line amounts with approval of the State up to an aggregate of 10% of such line item from which the funds are moved. Such authority may not allow Grantee to transfer funding to the administration budget lines. Grantee shall send written notification and receive written approval of allowed adjustments from the State prior to any adjustment. 5.6. Grantee may not: 5.6.1. Adjust budget amounts between eligible activities without the prior written consent of the State. (The State may make such adjustments via an Option Letter. See Exhibit G.) 5.6.2. Amend any of the terms of this Grant except in accordance with the Modification subsection of the General Provisions of the Grant. 6. PAYMENT Payments shall be made in accordance with the provisions set forth in §7 of this Grant. 6.1. Payment Schedule. Grantee shall disburse Grant Funds received from the State within fifteen (15) days of receipt. Excess funds shall be returned to the State. Payment Amount Interim Payment(s) $189,595.97 Paid upon receipt of actual expense documentation and written requests from the Grantee for reimbursement of eligible approved program activities. Final Payment $1,000 Paid upon substantial completion of the Project, provided that the Grantee has submitted, and the Department has accepted, all required reports. Total $190,595.97 DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit B Page 5 of 16 CMS# 181213 6.2. Remittance Address. If mailed, payments shall be remitted to the following address unless changed in accordance with §16 of the Grant: West Mountain Regional Health Alliance PO Box 1909 Glenwood Springs, CO 81601 6.3. Interest. Grantee or Subgrantee may keep interest earned from federal funds up to $100 per year for administrative expenses. 7. ADMINISTRATIVE REQUIREMENTS 7.1. Fiscal Agents. Grantees who meet the definition of Fiscal Agent in §2.8 of this Exhibit B and plan to pass funds received in this agreement to another agency must have DOH approved ESG policies and procedures. Detailed requirements of this document can be found in DOH’s ESG Policies and Procedures Manual, found at: https://cdola.colorado.gov/emergency-solutions- grant-esg-program. Grantees may not be allowed to pass funds received in this agreement to another agency if their policies and procedures are not approved by DOH. 7.2. Accounting. Grantee shall maintain properly segregated accounts of Grant Funds, Matching Funds, and other funds associated with the Project and make those records available to the State upon request. All receipts and expenditures associated with the Project shall be documented in a detailed and specific manner, in accordance with the Project Budget. 7.3. Audit Report. If an audit is performed on Grantee’s records for any fiscal year covering a portion of the term of this Grant or any other grants/contracts with DOLA, Grantee shall submit the final audit report, including a report in accordance with the Single Audit Act*, to: Department of Local Affairs Accounting & Financial Services 1313 Sherman Street, Room 321 Denver, CO 80203 or email to: dola.audit@state.co.us and Olivia Milsted, Olivia.milsted@state.co.us *If Grantee received over $750,000 in federal funds during the fiscal year covered in the most recent audit, upload of the Single Audit to Federal Audit Clearinghouse is a requirement of ESG program funding provided through this Agreement. 7.4. Reporting. Grantee shall submit the following reports on a quarterly basis to the Department using the Neighborly Grants Management System. The Department may withhold payment(s) if such reports are not submitted timely. 7.4.1. Financial Status Report. One Financial Status Report shall be submitted upon request of DOH or at a minimum within twenty (20) calendar days of the end of each calendar quarter using the Neighborly Grants Management System through the budget tab. 7.4.2. Performance Measures Report. One Performance Measures report shall be submitted upon request of DOH or at a minimum within twenty (20) calendar days of the end of each calendar quarter using the Neighborly Grants Management System through the report tab. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit B Page 6 of 16 CMS# 181213 7.4.3. Homeless Management Information System (HMIS) Collection and Evaluation. One copy of the HMIS report shall be submitted within twenty (20) calendar days of the end of each calendar quarter using the Neighborly Grants Management System through the report tab. 7.4.3.1. HMIS Compliance. Grantee agrees to fully comply with the rules and regulations required by the U.S. Department of Housing and Urban Development (HUD) which govern the Homeless Management Information System (HMIS). HUD requires Grantees and Subgrantees of McKinney- Vento Act Funds to collect electronic data on their homeless clients through HMIS. HUD requires Grantees and Subgrantees serving victims of domestic violence use an HMIS comparable database that meets data requirements outlined per HUD regulations. Programs that receive funding through McKinney-Vento that produce a Consolidated Annual Performance and Evaluation Report (CAPER) must also collect program level data elements. These programs include ESG. The Grantee shall conform to the HMIS policies established and adapted by the regional Continuum of Care (CoC). The Grantee’s aggregate HMIS performance data for projects shall be shared with the funder to improve system performance and assist with monitoring. Technical assistance and training resources for HMIS are available to the Grantee via the Colorado HMIS Helpdesk, which is available to all ESG Grantees and can be accessed by submitting a request for assistance via the “Submit a Request” button at coHMIS.zendesk.com/hc/en-us. Technical assistance and training is provided based on requests by the Grantee and can also be recommended by DOLA based on periodic assessments of participation, compliance and accuracy of data collection. 7.4.3.2. HUD Continuum of Care (CoC) Data Standards. Effective July 2017, HUD released updated HMIS Data Standards, and Grantee is required to collect data based on these new standards. DOLA and its Grantees will collect Universal and Continuum of Care (CoC) Program Specific Elements. See https://www.hudexchange.info/resources/documents/HMIS-Data-Standards- Manual.pdf, for a list of these required elements. The Grantee is required to attend any CoC provided HMIS training on the data collection requirements for these revised standards. 7.4.3.3. Security. All workstations, desktops, laptops, and servers connected to the Grantee’s network or computers accessing the HMIS through a Virtual Private Network (VPN) must comply with the baseline security requirements. The Grantee’s HMIS computers and networks must meet the following standards:  Secure location  Workstation username and password  Virus protection with auto update  Locking password protected screen saver  Individual or network firewall  PKI-certificate installed or static IP address DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit B Page 7 of 16 CMS# 181213 7.4.3.4. Data Quality Standards  The Grantee must enter HMIS data (program enrollments and services) into the system within five business days of the actual enrollment or service provided date.  DOLA reserves the right to request Data Quality reports from Colorado HMIS for Grantee’s ESG funded programs on a monthly basis.  DOLA reserves the right to participate in on-site HMIS audits.  DOLA reserves the right to request Data Timeliness tests from Colorado HMIS at any time on Grantee’s programs in HMIS.  DOLA reserves the right to request detailed CAPERs displaying client- level data and/or displaying aggregate-level data from Colorado HMIS at any time during the Project’s operating year. CAPERs are used to review and monitor the Grantee’s program data quality and progress toward achieving annual Project goals and outcomes per HUD and CoC requirements. The Grantee’s data will be consolidated with other ESG Subgrantees and DOLA data to fulfill HUD annual reporting requirements.  DOLA reserves the right to access Grantee’s HMIS Web portal to review real-time client data to ensure Grantee adheres to the data quality standards required by the designated Colorado Continuum of Care. 7.4.4. Project Completion Report. Within thirty (30) days after the completion of the Project or the final draw, whichever is later, the Grantee shall submit all required reporting in the Neighborly Grant Management System. 7.5. Monitoring. The State shall monitor this Grant in accordance with its Risk-Based Monitoring Policy and §§7(B) and (C) of the Grant. Final evaluation of the Project will be accomplished when the Department approves the Project Completion Report. 7.6. Minority Outreach. Grantee shall take actions to ensure that minority business enterprises and women business enterprises are used when possible in the procurement of property and services. Consistent with this requirement, Grantee shall prescribe procedures acceptable to the State to ensure the inclusion, to the maximum extent possible, of minorities and women, and entities owned by minorities and women, in any subcontracts entered into by the Grantee. Grantee shall maintain documentation of all such actions in its procurement practices, provide this documentation to DOLA upon request, and report outcomes during project monitoring. 7.7. Davis-Bacon Act. [Reserved]. 7.8. Section 3 of the HUD Act of 1968 and 24 CFR Part 135. [Reserved]. 7.9. Uniform Administrative Requirements. [Reserved]. 7.10. Environmental Requirements. Grantee shall comply with all federal environmental requirements and shall not obligate Grant Funds prior to compliance with all federal environmental requirements in 24 CFR Part 58 and receipt of the written release of funds from the State. 7.11. The Federal Funding Accountability and Transparency Act of 2006 as Amended 3/20/2013 (FFATA). The Grantee shall comply with all the requirements of the Federal Funding Accountability and Transparency Act in accordance with the provisions set forth in Exhibit C. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit B Page 8 of 16 CMS# 181213 7.12. Uniform Relocation Act (URA) and Section 104(d) of the Housing and Community Development Act of 1974 (Section 104(d)). [Reserved]. 7.13. Conflict of Interest. If Grantee is a State Recipient or a Subrecipient then the conflict of interest provisions contained in 24 CFR 85.36 and 24 CFR 84.42, respectively, shall apply with respect to the procurement of property and services. In all cases not governed by 24 CFR 85.36 and 84 CFR 84.42, the provisions of 24 CFR 92.356 shall apply. 7.14. Eminent Domain. [Reserved]. 7.15. Civil Rights. Regardless of Project type, Grantee shall comply with civil rights statutes and regulations, including Title VIII of the Civil Rights Act of 1968 (“Fair Housing Act”), Title VI of the Civil Rights Act of 1964, Section 504 of the Rehabilitation Act of 1973 (“Section 504”), Section 109 of Title I of the Housing and Community Development Act of 1974, Title II of the Americans with Disabilities Act of 1990, the Architectural Barriers Act of 1968, and the Age Discrimination Act of 1975. Implementing regulations are cited in Exhibit A. Laws specifically relevant to this Grant include, without limitation, the following: 7.16. Fair Housing Act, as amended. The Fair Housing Act prohibits discrimination in housing- related transactions based on race, color, national origin, religion, sex, familial status, and disability. 7.17. Section 504, as amended. Section 504, as amended, provides that no qualified individual with a disability may, only by reason of his or her disability, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance. 7.18. Section 504 Self Evaluation. Grantee shall submit a Section 504 Self Evaluation and shall revise all policies and procedures identified, which may result in prohibited exclusion or discrimination of disabled persons, to comply with Section 504. Additionally, Grantee shall evaluate reasonable accommodation requests and comply with Section 504 requirements to make such reasonable accommodations that provide disabled individuals equal opportunities to benefit from the Project. 7.19. Records Retention. Grantee shall maintain and make available to the State Project records in accordance with §9 of the Grant Agreement and the applicable program requirements. 8. ESG ACTIVITIES Grantee shall ensure that all Project activities are in accordance with 24 C.F.R. Parts 84, 85, 91 and 576, and all related regulations and requirements. Only costs incurred for ESG funded activities, as detailed in §5.2 above, are reimbursable and eligible as match. Activities and related services/costs allowed under ESG program, but not necessarily under this Grant, are detailed below. 8.1. Eligible Activities. 8.1.1. Emergency Shelter Component. Subject to the expenditure limit in §576.100(b), ESG funds may be used for costs of providing essential services to homeless families and individuals in emergency shelters, renovating buildings to be used as emergency shelter for homeless families and individuals, and operating emergency shelters. 8.1.1.1. Essential services. ESG funds may be used to provide essential services to individuals and families who are in an emergency shelter, as follows: 8.1.1.1.1. Case management. The cost of assessing, arranging, coordinating, and monitoring the delivery of individualized DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit B Page 9 of 16 CMS# 181213 services to meet the needs of the program participant is eligible. Component services and activities consist of:  Using the centralized or coordinated assessment system as required under §576.400(d);  Conducting the initial evaluation required under §576.401(a), including verifying and documenting eligibility;  Counseling;  Developing, securing, and coordinating services and obtaining Federal, State, and local benefits;  Monitoring and evaluating program participant progress;  Providing information and referrals to other providers;  Providing ongoing risk assessment and safety planning with victims of domestic violence, dating violence, sexual assault, and stalking; and  Developing an individualized housing and service plan, including planning a path to permanent housing stability. 8.1.1.1.2. Childcare. The costs of childcare for program participants, including providing meals and snacks, and comprehensive and coordinated sets of appropriate developmental activities, are eligible. The children must be under the age of 13, unless they are disabled. Disabled children must be under the age of 18. The child- care center must be licensed by the jurisdiction in which it operates in order for its costs to be eligible. 8.1.1.1.3. Education services. When necessary for the program participant to obtain and maintain housing, the costs of improving knowledge and basic educational skills are eligible. Services include instruction or training in consumer education, health education, substance abuse prevention, literacy, English as a Second Language, and General Educational Development (GED). Component services or activities are screening, assessment and testing; individual or group instruction; tutoring; provision of books, supplies and instructional material; counseling; and referral to community resources. 8.1.1.1.4. Employment assistance and job training. The costs of employment assistance and job training programs are eligible, including classroom, online, and/or computer instruction; on-the- job instruction; and services that assist individuals in securing employment, acquiring learning skills, and/or increasing earning potential. The cost of providing reasonable stipends to program participants in employment assistance and job training programs is an eligible cost. Learning skills include those skills that can be used to secure and retain a job, including the acquisition of vocational licenses and/or certificates. Services that assist individuals in securing employment consist of employment screening, assessment, or testing; structured job skills and job- seeking skills; special training and tutoring, including literacy DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit B Page 10 of 16 CMS# 181213 training and prevocational training; books and instructional material; counseling or job coaching; and referral to community resources. 8.1.1.1.5. Outpatient health services. Eligible costs are for the direct outpatient treatment of medical conditions and are provided by licensed medical professionals. Emergency Solutions Grant (ESG) funds may be used only for these services to the extent that other appropriate health services are unavailable within the community. Eligible treatment consists of assessing a program participant's health problems and developing a treatment plan; assisting program participants to understand their health needs; providing directly or assisting program participants to obtain appropriate medical treatment, preventive medical care, and health maintenance services, including emergency medical services; providing medication and follow-up services; and providing preventive and noncosmetic dental care. 8.1.1.1.6. Legal services. Eligible costs are the hourly fees for legal advice and representation by attorneys licensed and in good standing with the bar association of the State in which the services are provided, and by person(s) under the supervision of the licensed attorney, regarding matters that interfere with the program participant's ability to obtain and retain housing. Emergency Solutions Grant (ESG) funds may be used only for these services to the extent that other appropriate legal services are unavailable or inaccessible within the community. Eligible subject matters are child support, guardianship, paternity, emancipation, and legal separation, orders of protection and other civil remedies for victims of domestic violence, dating violence, sexual assault, and stalking, appeal of veterans and public benefit claim denials, and the resolution of outstanding criminal warrants. Component services or activities may include client intake, preparation of cases for trial, provision of legal advice, representation at hearings, and counseling. Fees based on the actual service performed (i.e. fee for service) are also eligible, but only if the cost would be less than the cost of hourly fees. Filing fees and other necessary court costs are also eligible. If the Subgrantee is a legal services provider and performs the services itself, the eligible costs are the Subgrantee's employees' salaries and other costs necessary to perform the services. Legal services for immigration and citizenship matters and issues relating to mortgages are ineligible costs. Retainer fee arrangements and contingency fee arrangements are ineligible costs. 8.1.1.1.7. Life skills training. The costs of teaching critical life management skills that may never have been learned or have been lost during the course of physical or mental illness, domestic violence, substance use, and homelessness are eligible costs. These services must be necessary to assist the program participant to function DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit B Page 11 of 16 CMS# 181213 independently in the community. Component life skills training are budgeting resources, managing money, managing a household, resolving conflict, shopping for food and needed items, improving nutrition, using public transportation, and parenting. 8.1.1.1.8. Mental health services. Eligible costs are the direct outpatient treatment by licensed professionals of mental health conditions. ESG funds may only be used for these services to the extent that other appropriate mental health services are unavailable or inaccessible within the community. Mental health services are the application of therapeutic processes to personal, family, situational, or occupational problems in order to bring about positive resolution of the problem or improved individual or family functioning or circumstances. Problem areas may include family and marital relationships, parent-child problems, or symptom management. Eligible treatment consists of crisis interventions; individual, family, or group therapy sessions; the prescription of psychotropic medications or explanations about the use and management of medications; and combinations of therapeutic approaches to address multiple problems. 8.1.1.1.9. Substance abuse treatment services. Eligible substance abuse treatment services are designed to prevent, reduce, eliminate, or deter relapse of substance abuse or addictive behaviors and are provided by licensed or certified professionals. ESG funds may only be used for these services to the extent that other appropriate substance abuse treatment services are unavailable or inaccessible within the community. Eligible treatment consists of client intake and assessment, and outpatient treatment for up to 30 days. Group and individual counseling and drug testing are eligible costs. Inpatient detoxification and other inpatient drug or alcohol treatment are not eligible costs. 8.1.1.1.10. Transportation. Eligible costs consist of the transportation costs of a program participant's travel to and from medical care, employment, child care, or other eligible essential services facilities. These costs include the following:  The cost of a program participant's travel on public transportation;  If service workers use their own vehicles, mileage allowance for service workers to visit program participants;  The cost of purchasing or leasing a vehicle for the Grantee or Subgrantee in which staff transports program participants and/or staff serving program participants, and the cost of gas, insurance, taxes, and maintenance for the vehicle; and  The travel costs of Grantee or Subgrantee staff to accompany or assist program participants to use public transportation. 8.1.1.1.11. Services for special populations. ESG funds may be used to provide services for homeless youth, victim services, and services DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit B Page 12 of 16 CMS# 181213 for people living with HIV/AIDS, so long as the costs of providing these services are eligible under paragraphs (a)(1)(i) through (a)(1)(x) of this section. The term victim services means services that assist program participants who are victims of domestic violence, dating violence, sexual assault, or stalking, including services offered by rape crisis centers and domestic violence shelters, and other organizations with a documented history of effective work concerning domestic violence, dating violence, sexual assault, or stalking. 8.1.1.2. Renovation. [Reserved]. 8.1.1.3. Shelter Operations. Eligible costs are the costs of maintenance (including minor or routine repairs), rent, security, fuel, equipment, insurance, utilities, food, furnishings, and supplies necessary for the operation of the emergency shelter. These funds may not pay for hotel/motel vouchers. 8.1.2. Street Outreach. Subject to the expenditure limit in §576.100(b), ESG funds may be used for costs of providing essential services necessary to reach out to unsheltered homeless people; connect them with emergency shelter, housing, or critical services; and provide urgent, nonfacility-based care to unsheltered homeless people who are unwilling or unable to access emergency shelter, housing, or an appropriate health facility. For the purposes of this section, the term “unsheltered homeless people” means individuals and families who qualify as homeless under paragraph (1)(i) of the “homeless” definition under §576.2. The eligible costs and requirements for essential services consist of: 8.1.2.1. Engagement. The costs of activities to locate, identify, and build relationships with unsheltered homeless people and engage them for the purpose of providing immediate support, intervention, and connections with homeless assistance programs and/or mainstream social services and housing programs. These activities consist of making an initial assessment of needs and eligibility; providing crisis counseling; addressing urgent physical needs, such as providing meals, blankets, clothes, or toiletries; and actively connecting and providing information and referrals to programs targeted to homeless people and mainstream social services and housing programs, including emergency shelter, transitional housing, community-based services, permanent supportive housing, and rapid re-housing programs. Eligible costs include the cell phone costs of outreach workers during the performance of these activities. 8.1.2.2. Case management. The cost of assessing housing and service needs, arranging, coordinating, and monitoring the delivery of individualized services to meet the needs of the program participant. Eligible services and activities are as follows: using the centralized or coordinated assessment system as required under §576.400(d); conducting the initial evaluation required under §576.401(a), including verifying and documenting eligibilit y; counseling; developing, securing and coordinating services; obtaining Federal, State, and local benefits; monitoring and evaluating program participant progress; providing information and referrals to other providers; DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit B Page 13 of 16 CMS# 181213 and developing an individualized housing and service plan, including planning a path to permanent housing stability. 8.1.2.3. Emergency health services. Eligible costs are for the direct outpatient treatment of medical conditions and are provided by licensed medical professionals operating in community-based settings, including streets, parks, and other places where unsheltered homeless people are living. ESG funds may be used only for these services to the extent that other appropriate health services are inaccessible or unavailable within the area. Eligible treatment consists of assessing a program participant's health problems and developing a treatment plan; assisting program participants to understand their health needs; providing directly or assisting program participants to obtain appropriate emergency medical treatment; and providing medication and follow-up services. 8.1.2.4. Emergency mental health services. Eligible costs are the direct outpatient treatment by licensed professionals of mental health conditions operating in community-based settings, including streets, parks, and other places where unsheltered people are living. ESG funds may be used only for these services to the extent that other appropriate mental health services are inaccessible or unavailable within the community. Mental health services are the application of therapeutic processes to personal, family, situational, or occupational problems in order to bring about positive resolution of the problem or improved individual or family functioning or circumstances. Eligible treatment consists of crisis interventions, the prescription of psychotropic medications, explanation about the use and management of medications, and combinations of therapeutic approaches to address multiple problems. 8.1.2.5. Transportation. The transportation costs of travel by outreach workers, social workers, medical professionals, or other service providers are eligible, provided that this travel takes place during the provision of services eligible under this section. The costs of transporting unsheltered people to emergency shelters or other service facilities are also eligible. These costs include the following:  The cost of a program participant's travel on public transportation;  If service workers use their own vehicles, mileage allowance for service workers to visit program participants;  The cost of purchasing or leasing a vehicle for the Grantee or Subgrantee in which staff transports program participants and/or staff serving program participants, and the cost of gas, insurance, taxes and maintenance for the vehicle; and  The travel costs of Grantee or Subgrantee staff to accompany or assist program participants to use public transportation. 8.1.2.6. Services for special populations. ESG funds may be used to provide services for homeless youth, victim services, and services for people living with HIV/AIDS, so long as the costs of providing these services are eligible under paragraphs (a)(1) through (a)(5) of this section. The term victim services means services that assist program participants who are victims of domestic violence, dating violence, sexual assault, or stalking, including services DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit B Page 14 of 16 CMS# 181213 offered by rape crisis centers and domestic violence shelters, and other organizations with a documented history of effective work concerning domestic violence, dating violence, sexual assault, or stalking. 8.1.3. Homeless Management Information Systems - Data collection and Evaluation. 8.1.3.1. Data collection. Reporting for ESG will be conducted through the use of Homeless Management Information Systems (HMIS) or for Domestic Violence Shelters’ a comparable client-level database. Therefore, reasonable and appropriate costs associated with operating an HMIS for purposes of collecting and reporting data required under ESG and analyzing patterns of use of ESG funds are eligible. 8.1.3.2. Eligible costs. Eligible costs include (a) the purchase or leasing computer hardware, purchase software or software licenses, (b) purchase or leasing equipment, including telephones, faxes and furniture, (c) staffing associated with operating HMIS including data collection, completing data entry, monitoring and reviewing data quality, completing data analysis, reporting to the HMIS lead, training staff on using the HMIS or comparable database, implementing and complying with HMIS requirements. 8.1.3.3. Ineligible costs. Ineligible HMIS activities include, without limitation, development of new software systems. 8.1.3.4. Coordinated Assessment. Grantee and Subgrantee shall participate in the coordinated assessment process and collect consistent baseline data to better ensure HMIS data collected is consistent across the State and Continuum of Care. Further, Grantee and Subgrantee shall ask all Program Participants whether their participant-specific HMIS information may be utilized for programmatic and regional evaluation. Such information shall only be used with the Program Participant’s documented consent. 8.1.3.5. Evaluation. Grantee and Subgrantee(s) must comply if asked to participate in HUD-sponsored research and evaluation of ESG. Eligible costs include costs for Grantee participation in HUD research and evaluation of the program. 8.1.4. Project Delivery. Cost of overall program management, coordination, monitoring and evaluation. These costs include, but are not limited to, necessary expenditures for the following: 8.1.4.1. Salaries, wages, and related costs of the Grantee's staff, the staff of Subgrantees, or other staff engaged in program administration. In charging costs to this category, the Grantee may either include the entire salary, wages, and related costs allocable to the program of each person whose primary responsibilities with regard to the program involve program administration assignments, or the pro rata share of the salary, wages, and related costs of each person whose job includes any program administration assignments. The Grantee may use only one of these methods for each fiscal year grant. Program administration assignments include the following:  Preparing program budgets and schedules, and amendments to those budgets and schedules;  Developing systems for assuring compliance with program requirements; DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit B Page 15 of 16 CMS# 181213  Developing interagency agreements and agreements with Subgrantees and contractors to carry out program activities;  Monitoring program activities for progress and compliance with program requirements;  Preparing reports and other documents directly related to the program for submission to HUD;  Coordinating the resolution of audit and monitoring findings;  Evaluating program results against stated objectives; and  Managing or supervising persons whose primary responsibilities with regard to the program include such assignments as those described in paragraph (a)(1)(i)(A) through (G) of this section. 8.1.4.2. Travel costs incurred for monitoring of Subgrantees; 8.1.4.3. Administrative services performed under third-party contracts or agreements, including general legal services, accounting services, and audit services; and 8.1.4.4. Other costs for goods and services required for administration of the program, including rental or purchase of equipment, insurance, utilities, office supplies, and rental and maintenance (but not purchase) of office space. 8.1.4.5. Administrative costs do not include the costs of issuing financial assistance, providing housing relocation and stabilization services, or carrying out eligible data collection and evaluation activities, as specified above, such as Grantee or Subgrantee staff salaries, costs of conducting housing inspections, and other operating costs. These costs should be accounted for under one of the other eligible activity categories in this §7.1. 8.1.5. Rapid Re-housing. [Reserved]. 8.1.6. Homelessness Prevention. [Reserved]. 8.1.7. Ineligible and Prohibited Activities. 8.1.7.1. Duplication of Other Resources. The intent of ESG is to provide funding for housing expenses to persons who are homeless or who would be homeless if not for this assistance. Therefore, financial assistance or services to pay for expenses that are available through other programs, are not eligible. Case managers should work to link Program Participants to these other resources. 8.1.7.2. Mortgage Costs. Financial assistance may not be used to pay for any mortgage costs or costs needed by homeowners to assist with any fees, taxes, or other costs of refinancing a mortgage to make it affordable. This includes the development and implementation of any mortgage assistance activity costs including, but not limited to, short-term subsidies to defray mortgage arrearages. 8.1.7.3. Other Activities. ESG funds may not be used to pay for any of the following items: credit card bills or other consumer debt; clothing and grooming; home furnishings; pet care; entertainment activities; work or education related materials; and cash assistance to Program Participants. ESG funds may not be used to develop discharge planning programs in mainstream institutions such as hospitals, jails, or prisons. Finally, while training for case managers and DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit B Page 16 of 16 CMS# 181213 program administrators is an eligible administrative cost as long as it is directly related to ESG program operations and has been awarded through this contract, ESG funds may not be used to pay for certifications, licenses, and general training classes. Programs may not charge fees to ESG Program Participants. Any ESG funds used to support Program Participants must be issued directly to the appropriate third party, such as the landlord or utility company, and in no case are funds eligible to be issued directly to Program Participants. If funds are found to be used for ineligible activities as determined by the State or HUD, the Grantee is required to remit the ineligible costs to the State promptly. 8.1.7.4. Acquisition Costs. Acquisition of an emergency shelter for the homeless. END OF EXHIBIT B REMAINDER OF PAGE INTENTIONALLY LEFT BLANK DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit C Page 1 of 10 CMS# 181213 EXHIBIT C - FEDERAL PROVISIONS 1. APPLICABILITY OF PROVISIONS. 1.1. The Grant to which these Federal Provisions are attached has been funded, in whole or in part, with an Award of Federal funds. In the event of a conflict between the provisions of these Federal Provisions, the Special Provisions, the body of the Grant, or any attachments or exhibits incorporated into and made a part of the Grant, the provisions of these Federal Provisions shall control. 1.2 These Federal Provisions are subject to the Award as defined in §2 of these Federal Provisions, as may be revised pursuant to ongoing guidance from the relevant Federal or State of Colorado agency or institutions of higher education. 2. DEFINITIONS. 2.1. For the purposes of these Federal Provisions, the following terms shall have the meanings ascribed to them below. 2.1.1. “Award” means an award of Federal financial assistance, and the Grant setting forth the terms and conditions of that financial assistance, that a non-Federal Entity receives or administers. 2.1.2. “Entity” means: 2.1.2.1. a Non-Federal Entity; 2.1.2.2. a foreign public entity; 2.1.2.3. a foreign organization; 2.1.2.4. a non-profit organization; 2.1.2.5. a domestic for-profit organization (for 2 CFR parts 25 and 170 only); 2.1.2.6. a foreign non-profit organization (only for 2 CFR part 170) only); 2.1.2.7. a Federal agency, but only as a Subrecipient under an Award or Subaward to a non-Federal entity (or 2 CFR 200.1); or 2.1.2.8. a foreign for-profit organization (for 2 CFR part 170 only). 2.1.3. “Executive” means an officer, managing partner or any other employee in a management position. 2.1.4. “Federal Awarding Agency” means a Federal agency providing a Federal Award to a Recipient as described in 2 CFR 200.1 2.1.5. “Grant” means the Grant to which these Federal Provisions are attached. 2.1.6. “Grantee” means the party or parties identified as such in the Grant to which these Federal Provisions are attached. 2.1.7. “Non-Federal Entity means a State, local government, Indian tribe, institution of higher education, or nonprofit organization that carries out a Federal Award as a Recipient or a Subrecipient. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit C Page 2 of 10 CMS# 181213 2.1.8. “Nonprofit Organization” means any corporation, trust, association, cooperative, or other organization, not including IHEs, that: 2.1.8.1. Is operated primarily for scientific, educational, service, charitable, or similar purposes in the public interest; 2.1.8.2. Is not organized primarily for profit; and 2.1.8.3. Uses net proceeds to maintain, improve, or expand the operations of the organization. 2.1.9. “OMB” means the Executive Office of the President, Office of Management and Budget. 2.1.10. “Pass-through Entity” means a non-Federal Entity that provides a Subaward to a Subrecipient to carry out part of a Federal program. 2.1.11. “Prime Recipient” means the Colorado State agency or institution of higher education identified as the Grantor in the Grant to which these Federal Provisions are attached. 2.1.12. “Subaward” means an award by a Prime Recipient to a Subrecipient funded in whole or in part by a Federal Award. The terms and conditions of the Federal Award flow down to the Subaward unless the terms and conditions of the Federal Award specifically indicate otherwise in accordance with 2 CFR 200.101. The term does not include payments to a contractor or payments to an individual that is a beneficiary of a Federal program. 2.1.13. “Subrecipient” or “Subgrantee” 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 does not include an individual who is a beneficiary of a federal program. 2.1.14. “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. 2.1.15. “Total Compensation” means the cash and noncash dollar value earned by an Executive during the Prime Recipient’s or Subrecipient’s preceding fiscal year (see 48 CFR 52.204-10, as prescribed in 48 CFR 4.1403(a)) and includes the following: 2.1.15.1. Salary and bonus; 2.1.15.2. 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; DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit C Page 3 of 10 CMS# 181213 2.1.15.3. 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; 2.1.15.4. Change in present value of defined benefit and actuarial pension plans; 2.1.15.5. Above-market earnings on deferred compensation which is not tax- qualified; 2.1.15.6. 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. 2.1.16. “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. 2.1.17. “Unique Entity ID” means the Unique Entity ID established by the federal government for a Grantee at https://sam.gov/content/home. 2.1.18. “Uniform Guidance” means the Office of Management and Budget Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. The terms and conditions of the Uniform Guidance flow down to Awards to Subrecipients unless the Uniform Guidance or the terms and conditions of the Federal Award specifically indicate otherwise. 3. COMPLIANCE. 3.1. Grantee shall comply with all applicable provisions of the Transparency Act and the regulations issued pursuant thereto, all applicable provisions of the Uniform Guidance, and all applicable Federal Laws and regulations required by this Federal Award. Any revisions to such provisions or regulations shall automatically become a part of these Federal Provisions, without the necessity of either party executing any further instrument. The State of Colorado, at its discretion, may provide written notification to Grantee of such revisions, but such notice shall not be a condition precedent to the effectiveness of such revisions. 4. SYSTEM FOR AWARD MANAGEMENT (SAM) AND UNIQUE ENTITY ID REQUIREMENTS. 4.1. SAM. Grantee shall maintain the currency of its information in SAM until the Grantee submits the final financial report required under the Award or receives final payment, whichever is later. Grantee shall review and update SAM information at least annually after the initial registration, and more frequently if required by changes in its information. 4.2. Unique Entity ID. Grantee shall provide its Unique Entity ID to its Prime Recipient, and shall update Grantee’s information at http://www.sam.gov at least annually after the initial registration, and more frequently if required by changes in Grantee’s information. 5. TOTAL COMPENSATION. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit C Page 4 of 10 CMS# 181213 5.1. Grantee shall include Total Compensation in SAM for each of its five most highly compensated Executives for the preceding fiscal year if: 5.1.1. The total Federal funding authorized to date under the Award is $30,000 or more; and 5.1.2. In the preceding fiscal year, Grantee received: 5.1.2.1. 80% or more of its annual gross revenues from Federal procurement contracts and subcontracts and/or Federal financial assistance Awards or Subawards subject to the Transparency Act; and 5.1.2.2. $30,000,000 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 5.1.2.3. The public does not have access to information about the compensation of such Executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d) or § 6104 of the Internal Revenue Code of 1986. 6. REPORTING. 6.1. If Grantee is a Subrecipient of the Award pursuant to the Transparency Act, Grantee shall report data elements to SAM and to the Prime Recipient as required in this Exhibit. No direct payment shall be made to Grantee for providing any reports required under these Federal Provisions and the cost of producing such reports shall be included in the Grant price. The reporting requirements in this Exhibit are based on guidance from the OMB, and as such are subject to change at any time by OMB. Any such changes shall be automatically incorporated into this Grant and shall become part of Grantee’s obligations under this Grant. 7. EFFECTIVE DATE AND DOLLAR THRESHOLD FOR REPORTING. 7.1. Reporting requirements in §8 below apply to new Awards as of October 1, 2010, if the initial award is $30,000 or more. If the initial Award is below $30,000 but subsequent Award modifications result in a total Award of $30,000 or more, the Award is subject to the reporting requirements as of the date the Award exceeds $30,000. If the initial Award is $30,000 or more, but funding is subsequently de-obligated such that the total award amount falls below $30,000, the Award shall continue to be subject to the reporting requirements. 7.2. The procurement standards in §9 below are applicable to new Awards made by Prime Recipient as of December 26, 2015. The standards set forth in §11 below are applicable to audits of fiscal years beginning on or after December 26, 2014. 8. SUBRECIPIENT REPORTING REQUIREMENTS. 8.1. If Grantee is a Subrecipient, Grantee shall report as set forth below. 8.1.1. To SAM. A Subrecipient shall register in SAM and report the following data elements in SAM for each Federal Award Identification Number (FAIN) assigned by a Federal agency to a Prime Recipient no later than the end of the month following the month in which the Subaward was made: DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit C Page 5 of 10 CMS# 181213 8.1.1.1. Subrecipient Unique Entity ID; 8.1.1.2. Subrecipient Unique Entity ID if more than one electronic funds transfer (EFT) account; 8.1.1.3. Subrecipient parent’s organization Unique Entity ID; 8.1.1.4. Subrecipient’s address, including: Street Address, City, State, Country, Zip + 4, and Congressional District; 8.1.1.5. Subrecipient’s top 5 most highly compensated Executives if the criteria in §4 above are met; and 8.1.1.6. Subrecipient’s Total Compensation of top 5 most highly compensated Executives if the criteria in §4 above met. 8.1.2. To Prime Recipient. A Subrecipient shall report to its Prime Recipient, upon the effective date of the Grant, the following data elements: 8.1.2.1. Subrecipient’s Unique Entity ID as registered in SAM. 8.1.2.2. Primary Place of Performance Information, including: Street Address, City, State, Country, Zip code + 4, and Congressional District. 9. PROCUREMENT STANDARDS. 9.1. Procurement Procedures. A Subrecipient shall use its own documented procurement procedures which reflect applicable State, local, and Tribal laws and applicable regulations, provided that the procurements conform to applicable Federal law and the standards identified in the Uniform Guidance, including without limitation, 2 CFR 200.318 through 200.327 thereof. 9.2. Domestic preference for procurements (2 CFR 200.322). As appropriate and to the extent consistent with law, the non-Federal entity should, to the greatest extent practicable under a Federal award, provide a preference for the purchase, acquisition, or use of goods, products, or materials produced in the United States (including but not limited to iron, aluminum, steel, cement, and other manufactured products). The requirements of this section must be included in all subawards including all contracts and purchase orders for work or products under this award. 9.3. Procurement of Recovered Materials. If a Subrecipient is a State Agency or an agency of a political subdivision of the State, its contractors must comply with section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR part 247, that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired during the preceding fiscal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement program for procurement of recovered materials identified in the EPA guidelines. 10. ACCESS TO RECORDS. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit C Page 6 of 10 CMS# 181213 10.1. A Subrecipient shall permit Prime Recipient and its auditors to have access to Subrecipient’s records and financial statements as necessary for Recipient to meet the requirements of 2 CFR 200.332 (Requirements for pass-through entities), 2 CFR 200.300 (Statutory and national policy requirements) through 2 CFR 200.309 (Period of performance), and Subpart F-Audit Requirements of the Uniform Guidance. 11. SINGLE AUDIT REQUIREMENTS. 11.1. If a Subrecipient expends $750,000 or more in Federal Awards during the Subrecipient’s fiscal year, the Subrecipient shall procure or arrange for a single or program-specific audit conducted for that year in accordance with the provisions of Subpart F-Audit Requirements of the Uniform Guidance, issued pursuant to the Single Audit Act Amendments of 1996, (31 U.S.C. 7501-7507). 2 CFR 200.501. 11.1.1. Election. A Subrecipient shall have a single audit conducted in accordance with Uniform Guidance 2 CFR 200.514 (Scope of audit), except when it elects to have a program-specific audit conducted in accordance with 2 CFR 200.507 (Program- specific audits). The Subrecipient may elect to have a program-specific audit if Subrecipient expends Federal Awards under only one Federal program (excluding research and development) and the Federal program’s statutes, regulations, or the terms and conditions of the Federal award do not require a financial statement audit of Prime Recipient. A program-specific audit may not be elected for research and development unless all of the Federal Awards expended were received from Recipient and Recipient approves in advance a program-specific audit. 11.1.2. Exemption. If a Subrecipient expends less than $750,000 in Federal Awards during its fiscal year, the Subrecipient shall be exempt from Federal audit requirements for that year, except as noted in 2 CFR 200.503 (Relation to other audit requirements), but records shall be available for review or audit by appropriate officials of the Federal agency, the State, and the Government Accountability Office. 11.1.3. Subrecipient Compliance Responsibility. A Subrecipient shall procure or otherwise arrange for the audit required by Subpart F of the Uniform Guidance and ensure it is properly performed and submitted when due in accordance with the Uniform Guidance. Subrecipient shall prepare appropriate financial statements, including the schedule of expenditures of Federal awards in accordance with 2 CFR 200.510 (Financial statements) and provide the auditor with access to personnel, accounts, books, records, supporting documentation, and other information as needed for the auditor to perform the audit required by Uniform Guidance Subpart F-Audit Requirements. 12. GRANT PROVISIONS FOR SUBRECEPIENT CONTRACTS. 12.1. In addition to other provisions required by the Federal Awarding Agency or the Prime Recipient, Grantees that are Subrecipients shall comply with the following provisions. Subrecipients shall include all of the following applicable provisions in all subcontracts entered into by it pursuant to this Grant. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit C Page 7 of 10 CMS# 181213 12.1.1. [Applicable to federally assisted construction contracts.] Equal Employment Opportunity. Except as otherwise provided under 41 CFR Part 60, all contracts that meet the definition of “federally assisted construction contract” in 41 CFR Part 60- 1.3 shall include the equal opportunity clause provided under 41 CFR 60-1.4(b), in accordance with Executive Order 11246, “Equal Employment Opportunity” (30 FR 12319, 12935, 3 CFR Part, 1964-1965 Comp., p. 339), as amended by Executive Order 11375, “Amending Executive Order 11246 Relating to Equal Employment Opportunity,” and implementing regulations at 41 CFR part 60, Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor. 12.1.2. [Applicable to on-site employees working on government-funded construction, alteration and repair projects.] Davis-Bacon Act. Davis-Bacon Act, as amended (40 U.S.C. 3141-3148). 12.1.3. Rights to Inventions Made Under a grant or agreement. If the Federal Award meets the definition of “funding agreement” under 37 CFR 401.2 (a) and the Prime Recipient or Subrecipient wishes to enter into a contract with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that “funding agreement,” the Prime Recipient or Subrecipient must comply with the requirements of 37 CFR Part 401, “Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements,” and any implementing regulations issued by the Federal Awarding Agency. 12.1.4. Clean Air Act (42 U.S.C. 7401-7671q.) and the Federal Water Pollution Control Act (33 U.S.C. 1251-1387), as amended. Contracts and subgrants of amounts in excess of $150,000 must contain a provision that requires the non-Federal awardees to agree to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401-7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251-1387). Violations must be reported to the Federal Awarding Agency and the Regional Office of the Environmental Protection Agency (EPA). 12.1.5. Debarment and Suspension (Executive Orders 12549 and 12689). A contract award (see 2 CFR 180.220) must not be made to parties listed on the government wide exclusions in SAM, in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR part 1986 Comp., p. 189) and 12689 (3 CFR part 1989 Comp., p. 235), “Debarment and Suspension.” SAM Exclusions contains the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit C Page 8 of 10 CMS# 181213 12.1.6. Byrd Anti-Lobbying Amendment (31 U.S.C. 1352). Contractors that apply or bid for an award exceeding $100,000 must file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier must also disclose any lobbying with non-Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the non-Federal award. 12.1.7. Never contract with the enemy (2 CFR 200.215). Federal awarding agencies and recipients are subject to the regulations implementing “Never contract with the enemy” in 2 CFR part 183. The regulations in 2 CFR part 183 affect covered contracts, grants and cooperative agreements that are expected to exceed $50,000 within the period of performance, are performed outside the United States and its territories, and are in support of a contingency operation in which members of the Armed Forces are actively engaged in hostilities. 12.1.8. Prohibition on certain telecommunications and video surveillance services or equipment (2 CFR 200.216). Grantee is prohibited from obligating or expending loan or grant funds on certain telecommunications and video surveillance services or equipment pursuant to 2 CFR 200.216. 13. CERTIFICATIONS. 13.1. Unless prohibited by Federal statutes or regulations, Prime Recipient may require Subrecipient to submit certifications and representations required by Federal statutes or regulations on an annual basis. 2 CFR 200.208. Submission may be required more frequently if Subrecipient fails to meet a requirement of the Federal award. Subrecipient shall certify in writing to the State at the end of the Award that the project or activity was completed or the level of effort was expended. 2 CFR 200.201(3). If the required level of activity or effort was not carried out, the amount of the Award must be adjusted. 14. EXEMPTIONS. 14.1. These Federal Provisions do not apply to an individual who receives an Award as a natural person, unrelated to any business or non-profit organization he or she may own or operate in his or her name. 14.2. A Grantee 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. 15. EVENT OF DEFAULT AND TERMINATION. 15.1. Failure to comply with these Federal Provisions shall constitute an event of default under the Grant and the State of Colorado may terminate the Grant upon 30 days prior written notice if the default remains uncured five calendar days following the termination of the 30-day notice period. This remedy will be in addition to any other remedy available to the State of Colorado under the Grant, at law or in equity. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit C Page 9 of 10 CMS# 181213 15.2. Termination (2 CFR 200.340). The Federal Award may be terminated in whole or in part as follows: 15.2.1. By the Federal Awarding Agency or Pass-through Entity, if a Non-Federal Entity fails to comply with the terms and conditions of a Federal Award; 15.2.2. By the Federal awarding agency or Pass-through Entity, to the greatest extent authorized by law, if an award no longer effectuates the program goals or agency priorities; 15.2.3. By the Federal awarding agency or Pass-through Entity with the consent of the Non-Federal Entity, in which case the two parties must agree upon the termination conditions, including the effective date and, in the case of partial termination, the portion to be terminated; 15.2.4. By the Non-Federal Entity upon sending to the Federal Awarding Agency or Pass- through Entity written notification setting forth the reasons for such termination, the effective date, and, in the case of partial termination, the portion to be terminated. However, if the Federal Awarding Agency or Pass-through Entity determines in the case of partial termination that the reduced or modified portion of the Federal Award or Subaward will not accomplish the purposes for which the Federal Award was made, the Federal Awarding Agency or Pass-through Entity may terminate the Federal Award in its entirety; or 15.2.5. By the Federal Awarding Agency or Pass-through Entity pursuant to termination provisions included in the Federal Award. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit C Page 10 of 10 CMS# 181213 Federal Funding Accountability and Transparency Act (FFATA) Data Report Form (For Grantee Completion) Reporting is required for initial awards of $25,000 or more or award modifications that result in a total award of $25,000 or more. Information Field (Definitions can be found in Exhibit C) Response 1. Agency or Jurisdiction UEI Number: 2. Subrecipient Name Receiving Award: 3. Subrecipient Parent UEI Number: (Report if different from subrecipient number) 4. Location of Entity Receiving Award: (Full street address) 5. Primary Location of Performance of the Award: (City, State and Congressional District) Answer True or False 6. In the preceding fiscal year, Grantee received: a. $25,000,000 or more in annual gross revenues from federal procurement contracts/subcontracts and/or federal financial assistance awards or subawards subject to the Transparency Act. b. 80% or more of its annual gross revenues from federal procurement contracts/subcontracts and/or federal financial assistance awards or subawards subject to the Transparency Act. c. The public does not have access to information about the compensation of its five most highly compensated Executives through periodic reports filed through the Securities Exchange Act of 1934 or the IRS. Note: An answer to question 7 is required ONLY when all answers to question 6 are true. 7. Names and total compensation of the five (5) most highly compensated Executives for the preceding fiscal year: Print Name Compensation Amount By signing below, I certify the information contained in this report is complete and accurate to the best of my knowledge. _____________________________________ __________________ Signature of Responsible Administrator Date DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404 Namrata Shrestha, $78,500 6/30/2023 | 2:40 PM MDT False 520 Third Street, Unit 30, Carbondale, CO False n/a n/a Carbondale, Colorado, Dist. 3 False Cristina Gair, $103,000 QXYFQ3GK87M1 n/a QXYFQ3GK87M1 West Mountain Regional Health Alliance DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit D Page 1 of 6 CMS# 181213 EXHIBIT D - FAQ This exhibit attempts to provide guidance with respect to questions that are frequently asked by Emergency Solutions Grants (ESG) program-funded Emergency Shelter and Street Outreach providers regarding match. Eight topics are discussed. Each topic is explained in summary, then followed by a full explanation. The statements contained in this exhibit are purely informational. Grantee and all Subgrantees are responsible for following match regulations. DOLA reserves the right to update or amend this document from time-to-time. Top 9 FAQ Topics 1. ESG Match General Rules 2. Emergency Shelter & Street Outreach Eligible Costs 3. Homelessness Prevention & Rapid Re-Housing Costs 4. Component to Component Match 5. Match Process and Template 6. CoC and ESG Match 7. In-kind (Noncash) vs. Cash Match 8. Volunteer Hours 9. Indirect Rate Eligibility Requirements 1. ESG Match General Rules Summary: If ESG shelter and outreach component funds cannot pay for “it”, then “it” is not eligible for match. Full Explanation: In general, federal (other than ESG), state, local, or private funds may be used to satisfy the requirement that the recipient provide matching contributions to ESG, so long as the following conditions are met:  The matching funds are contributed to the ESG program and expended for the recipient or sub-recipient’s allowable shelter and outreach ESG costs.  If the matching funds are from another federal program, there is no specific statutory prohibition on using those funds as match.  The matching funds are used in accordance with all requirements that apply to ESG grant funds, except for the expenditure limits in 24 CFR 576.100. This includes requirements such as documentation requirements, eligibility requirements, and eligible costs.  The matching funds are expended (that is, the allowable cost is incurred) after the date that the DOH contract agreement is executed for the ESG funds being matched.  The matching funds are expended by the DOH contract expenditure deadline that applies to the ESG funds being matched.  The matching funds have not been and will not be used to match any other Federal program’s funds nor any other ESG grant.  The recipient does not use ESG funds to meet the other program's matching requirements.  The recipient keeps records of the source and use of the matching funds, including the particular fiscal year ESG grant for which the matching contribution is counted. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit D Page 2 of 6 CMS# 181213 2. Emergency Shelter & Street Outreach Eligible Costs Summary: ESG sub-recipients are only allowed to use Emergency Shelter & Street Outreach funds for eligible costs. Full Explanation: Under the ESG-funded component of Emergency Shelter & Street Outreach, the following are the eligible costs:  Housing Emergency Shelter – costs of providing essential services to homeless families and individuals in emergency shelters, renovating buildings to be used as emergency shelter for homeless families and individuals, and operating emergency shelters.  Street Outreach – costs of providing essential services necessary to reach out to unsheltered homeless people; connect them with emergency shelter, housing, or critical services; and provide urgent, nonfacility-based care to unsheltered homeless people who are unwilling or unable to access emergency shelter, housing, or an appropriate health facility. Eligible costs (as described in CFR 576.101-102) include:  Emergency Shelter eligible costs include essential services (includes case management, child care, education services, employment assistance, outpatient health services, legal services, life skills training, mental health services, substance abuse treatment, transportation, services for special populations including homeless youth, survivors of domestic violence, and persons living with HIV/AIDS), shelter renovations, and shelter operations.  Street Outreach eligible costs include engagement, case management, emergency health services, emergency mental health services, transportation, and services for special populations including homeless youth, survivors of domestic violence, and persons living with HIV/AIDS. 3. Rapid Re-Housing and Homeless Prevention Eligible Costs Summary: ESG sub-recipients are only allowed to use Rapid Re-housing and Homeless Prevention funds for eligible costs. Full Explanation: Under the ESG-funded component of Homeless Prevention the following are the eligible costs:  Housing relocation and stabilization services and short-and/or medium-term rental assistance as necessary to prevent the individual or family from moving to an emergency shelter, a place not meant for human habitation, or another place described in paragraph (1) of the homeless definition.  The costs of homelessness prevention are only eligible to the extent that the assistance is necessary to help the program participant regain stability in their current housing or move into other permanent housing and achieve stability in that housing. Eligible costs (as described in CFR 576.103) include:  Rental Assistance: rental assistance and rental arrears.  Financial assistance: rental application fees, security and utility deposits, utility payments, last month's rent, moving costs. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit D Page 3 of 6 CMS# 181213  Services: housing search and placement, housing stability case management, landlord- tenant mediation, tenant legal services, credit repair. Under the ESG-funded component of Rapid Re-Housing the following are the eligible costs: Housing relocation and stabilization services and/or short-and/or medium-term rental assistance as necessary to help individuals or families living in shelters or in places not meant for human habitation move as quickly as possible into permanent housing and achieve stability in that housing. Eligible costs (as described in 24 CFR 576.104) include:  Rental Assistance: rental assistance and rental arrears.  Financial Assistance: rental application fees, security and utility deposits, utility payments, last month's rent, moving costs.  Services: housing search and placement, housing stability case management, landlord- tenant mediation, tenant legal services, credit repair. 4. Component to Component Match Summary: ESG recipients are not allowed to match with an ESG component (Emergency Shelter, Street Outreach, Homelessness Prevention, Rapid Re-Housing, Homeless Management Information System or Administration) for which they are not funded directly through DOH. Full Explanation: In general, federal (other than ESG), state, local, or private funds may be used to satisfy the requirement that the recipient provide matching contributions to ESG, so long as the matching funds are contributed to the ESG program activities and expended for the recipient’s allowable ESG costs. Grantees may only match with eligible costs for the ESG component in which they are funded through DOH’s contract. For instance, although Rapid Re-Housing and Homelessness Prevention are eligible ESG activities, if you haven’t been awarded these components through your DOH contract it would not be allowable as match. It does not mean, however, that you must match dollar for dollar by the line items of your allowable costs. The matching funds are provided based on the total grant amount and do not have to be provided on a component-by-component basis. For example, if a sub-recipient is spending $10,000 of ESG on HMIS and $50,000 on shelter operations, the full $60,000 match can be made with shelter operation dollars from another eligible source. 5. Match Process and Template Summary: ESG recipients are to use the DOH-created match process and template for the initial match documentation and quarterly match reporting. Full Explanation: The ESG Match Process and Template was developed for the documentation regarding the initial match commitment and quarterly ESG Match reporting requirements. All DOH-funded Homelessness Prevention and Rapid Re-housing programs are required to demonstrate how they will meet their match by submitting an initial Match commitment prior to the contract being executed. Thereafter, each quarter DOH-funded Homelessness Prevention and Rapid Re-housing programs will submit the template with actual match cumulatively to date (from contract start through first quarter, then contract start through second quarter, etc.). If the match DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit D Page 4 of 6 CMS# 181213 sources change throughout the year let DOH know and document those changes. The ESG Match Process and Template contains the following information: Organization Name, Program Name, Date, Initial Match Source(s), Initial Type of Match, and Initial Amount of Match. Each Quarter providers will also submit the ESG Match Process and Template with the following information cumulatively through the quarter: Date, Match Source(s), Type of Match, and Amount of Match. 6. CoC and ESG Match Summary: ESG recipients are able to use CoC funds as match for ESG, as long as they meet the specific conditions. Full Explanation: In general, federal (other than ESG), state, local, or private funds may be used to satisfy the requirement that the recipient provide matching contributions to ESG, so long as the matching funds are contributed to the ESG program and expended for the recipient’s allowable ESG costs. CoC funds are eligible for ESG match in the same way other federal funds are eligible. See FAQ #1 “ESG Match General Rule” for additional information. As with all matching funds, they can only be used once for match nor can they match each other (for example, during the contract period, if you match CoC to ESG you cannot match ESG to CoC). 6. In-kind (Noncash) vs. Cash Match Summary: ESG recipients are allowed to use both noncash and cash for match. There are, however, distinct ways noncash match must be accounted for and when these two sources must be provided when being used as match. Full Explanation: For cash match, “provided” means when the funds are expended (or when the allowable cost is incurred). For in-kind match, it is the date the service (or other in-kind match source) is actually provided to the program or project. Remember that ESG matching funds must be expended within the same expenditure deadline that applies to the ESG funds being matched (during the contract period). Non-cash contributions must be made within the contract deadline. For noncash or in-kind match, the match must be eligible activities under the ESG allocation: if the recipient had to pay for the in-kind match with grant funds, the costs would have been allowable. To determine the value of any donated material or building, or of any lease, the recipient must use a method reasonably calculated to establish the fair market value (ESG Interim Rule 576.201). 7. Volunteer Hours Summary: ESG recipients can use the value of volunteer hours as match and the value of the volunteer hours are based on a rate consistent with those paid for similar work within the sub- recipient organization. Full Explanation: In terms of how volunteer hours are valued, under the Emergency Solutions Grants (ESG) program Interim Rule, there is no fixed or standard hourly rate for volunteer services. Instead, under ESG, volunteer services provided by individuals must be valued at rates consistent with those ordinarily paid for similar work in the recipient's organization. If there are no employees performing similar work, the rates must be consistent with those ordinarily paid by other employers for similar work in the same labor market. (See 24 CFR 576.201(e)(2)). As the VISTA service members are being paid through another grant, you may use their payment rate as the standard rate for their labor. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit D Page 5 of 6 CMS# 181213 Recipients should develop a standardized form that documents the time the individual spent and the value of the services he/she provided. For additional guidance on the level of documentation required to show the use of matching funds please review the matching requirements at 24 CFR § 576.201, the record keeping and reporting requirements at 24 CFR § 576.500(o), and calculating the amount of noncash contributions at 24 CFR § 576.201(e) of the ESG interim rule. Applicants can also reach out to DOH’s regional asset manager for further clarification. According to these sections of the ESG interim rule, recipients are required to keep reco rds of the source and use of the contributions made to satisfy the matching requirement in 24 CFR § 576.201. The records must include the following:  The particular fiscal year grant for which each matching contribution is counted. Requirements: The matching contribution must be provided after the date that HUD signs the grant agreement and must be expended within the expenditure deadline.  How the value placed on third-party, noncash contributions was derived. Requirement: You must use a method reasonably calculated to establish the fair market value.  Document that the matching funds were used in accordance with both the other federal program's requirements and the requirements that apply to ESG grant funds, except for the expenditure limits in 24 CFR 576.100. This includes requirements such as documentation requirements, eligibility requirements, and eligible costs. Keep in mind that the time charged to ESG must be based on actual time worked, and requires the same level of supporting documentation whether charged to the grant or claimed as match. To the extent feasible, volunteer services must be supported by the same methods that the organization uses to support the allocation of regular personnel costs. Timesheets that capture actual time spent on specific programs are the most straightforward way to meet time reporting requirements. However, other approaches may be acceptable as long as they meet the guidelines established in 2 CFR part 225 for States or units of local government or 2 CFR part 230 for nonprofit organizations. When allocating costs, be aware that when more than one ESG component or other programs are operated from the same office, the recipient would need to carefully document the costs and the rationale used to determine the portion of the costs assigned to each component and/or program. Finally, the ESG program requires that all funds counted as match be contributed to the ESG program and expended for the recipient allowable ESG costs, and that all other ESG requirements (except for the expenditure limits in 24 CFR 576.100) be met (e.g., documentation requirements, eligibility requirements, and eligible costs). (24 CFR 576.201(c)(1)). As a part of this, the recipient must be sure that the costs comply with all of the requirements in the ESG Interim Rule -- including documentation, HMIS, fair housing and other federal requirements, to name just a few. 8. Indirect Rate Eligibility Requirements Summary: ESG recipients are allowed to match the portion of their indirect rate that is attributable to the ESG program. Full Explanation: In all cases, ESG funds must be spent for eligible costs and must be reasonable and appropriate. ESG funds can be used to pay for a portion of the indirect costs, but only those that are attributable to the ESG Program. Recipients must find a way to pro-rate the costs that are not 100% allocable to the ESG program by the component for which the indirect cost is DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit D Page 6 of 6 CMS# 181213 supporting. Good documentation is especially important for materials that have mixed use (e.g., identifying which component is associated with which charges for materials used for work under more than one ESG component. With regard to allocating indirect costs, including match, when more than one ESG component or other programs are operated from the same office, the subrecipient would need to carefully document the costs and the rationale used to determine the portion of the costs assigned to each component and/or program. The exact methodology for allocating the indirect costs of office rent across federal grants, and on components and activities within a federal grant, is at the discretion of the recipient. However, recipients must be able to sufficiently document the rent charged to federal grants and the methodology used, which must be reasonable and justifiable. When allocating costs, keep in mind that while renting office space may fall under administrative costs, it may also be considered an overhead cost. Overhead costs, such as office supplies and rent, directly related to carrying out activities eligible under an ESG component are eligible costs under that component (see 24 CFR § 576.100(d)). These overhead costs could be eligible either as a direct cost charged to one or more components, depending on the activities delivered by that office, or could be charged as an indirect cost if part of an indirect cost allocation plan. For guidance on the level of documentation required to show the use of matching funds please review the matching requirements at 24 CFR § 576.201 and the recordkeeping and reporting requirements at 24 CFR § 576.500(o). The records must include the following:  The particular fiscal year grant for which each matching contribution is counted.  The matching contribution must be provided after the date that HUD signs the grant agreement and must be expended within the expenditure deadline.  Document that the matching funds were used in accordance with both the other federal program's requirements and the requirements that apply to ESG grant funds, except for the expenditure limits in 24 CFR § 576.100. This includes requirements such as documentation requirements, eligibility requirements, and eligible costs. END OF EXHIBIT D REMAINDER OF PAGE INTENTIONALLY LEFT BLANK DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit E Page 1 of 2 CMS# 181213 EXHIBIT E - PII CERTIFICATION STATE OF COLORADO THIRD PARTY INDIVIDUAL CERTIFICATION FOR ACCESS TO PII THROUGH A DATABASE OR AUTOMATED NETWORK Pursuant to § 24-74-105, C.R.S., I hereby certify under the penalty of perjury that I have not and will not use or disclose any Personal Identifying Information, as defined by § 24-74-102(1), C.R.S., for the purpose of investigating for, participating in, cooperating with, or assisting Federal Immigration Enforcement, including the enforcement of civil immigration laws, and the Illegal Immigration and Immigrant Responsibility Act, which is codified at 8 U.S.C. §§ 1325 and 1326, unless required to do so to comply with Federal or State law, or to comply with a court-issued subpoena, warrant or order. Signature: __________________________ Printed Name: __________________________ Date: ___________ DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit E Page 2 of 2 CMS# 181213 EXHIBIT E-PII CERTIFICATION STATE OF COLORADO THIRD PARTY ENTITY / ORGANIZATION CERTIFICATION FOR ACCESS TO PII THROUGH A DATABASE OR AUTOMATED NETWORK Pursuant to § 24-74-105, C.R.S., I, _________________, on behalf of __________________________ (legal name of entity / organization) (the “Organization”), hereby certify under the penalty of perjury that the Organization has not and will not use or disclose any Personal Identifying Information, as defined by § 24-74-102(1), C.R.S., for the purpose of investigating for, participating in, cooperating with, or assisting Federal Immigrati on Enforcement, including the enforcement of civil immigration laws, and the Illegal Immigration and Immigrant Responsibility Act, which is codified at 8 U.S.C. §§ 1325 and 1326, unless required to do so to comply with Federal or State law, or to comply with a court-issued subpoena, warrant or order. I hereby represent and certify that I have full legal authority to execute this certification on behalf of the Organization. Signature: __________________________ Printed Name: __________________________ Title: __________________________ Date: ___________ DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404 West Mountain Regional Health Alliance 6/30/2023 | 2:40 PM MDT Executive Director Cristina Gair Cristina Gair DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit F Page 1 of 1 CMS# 181213 EXHIBIT F - [RESERVED] DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Page 1 of 3 CMS # 181213 EXHIBIT G - SAMPLE OPTION LETTER State Agency Department of Local Affairs, for the benefit of the Division of Housing Grantee [Grantee’s full legal name.] Encumbrance Number HxHDG00000 Option Letter Number (1, 2, 3, etc.) (Current) Agreement Maximum Amount $000,000.00 (New) Agreement Maximum Amount $000,000.00 (Current) Initial Agreement Expiration Date Month, Day, Year (New) Initial Agreement Expiration Date [Month, Day, Year] Existing CMS Number(s) 000000, 000000, 000000 (New) CMS Number (This Option Letter) 000000 Effective Date The date this Option Letter is signed by the State Controller. OPTIONS: (Select all that are applicable.) In accordance with §18K of the Original Agreement referenced above, as amended, the State hereby exercises its option to modify the following: A. Initial Agreement Expiration Date. B. Agreement Maximum Amount. C. Project Budget. D. Payment Schedule. E. Milestones. F. Service Area. G. Responsible Administrator. H. Remittance Address. REQUIRED PROVISIONS: 1. For use with Option 1(A): The Initial Agreement Expiration Date, shown on the Cover Page of the Agreement, as amended, is hereby deleted and replaced with the (New) Initial Agreement Expiration Date shown in the table above. 2. For use with Options 1(B): The Agreement Maximum Amount shown on the Cover Page of the Agreement referenced above, as amended, is hereby deleted and replaced with the (New) Agreement Maximum Amount shown in the table above. 3. For use with Option 1(C): The Project Budget in §5.2 of the Statement of Work (Exhibit B), as amended, is deleted and replaced with the following: DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit G Page 2 of 3 CMS# 181213 5.2 Project Budget 5.2.1 Sources. Source Amount [Source] $x.xx Total $x.xx 5.2.1 Uses. Use Amount [Use] $x.xx Total $x.xx 5.2.3 Grant Funds (DOLA). Costs eligible for payment with DOLA Grant Funds are limited the items and amounts listed in the table below (subject to any line item adjustments made pursuant to §5.4.1). Eligible Use Amount [Eligible Use] $x.xx Total $x.xx 4. For use with Option 1(D): The Payment Schedule in §6.1 of the Statement of Work (Exhibit B), as amended, is deleted and replaced with the following: 6.1 Payment Schedule Payment Amount Interim Payment(s) $x.xx Paid upon receipt of actual expense documentation and written Pay Requests from the Grantee for reimbursement of eligible approved expenses. Final Payment $x.xx Paid upon Substantial Completion of the Project (as determined by the State in its sole discretion), provided that the Grantee has submitted, and DOLA has accepted, all required reports. Total $x.xx 5. For use with Option 1(E): The Milestones in §3.2 of Exhibit B, as amended, is deleted and replaced with the following: 3.2. Performance Milestones. Grantee shall achieve each of the following Milestones by the Date shown. Milestone Date [Milestone] [Date] [Milestone] [Date] [Milestone] [Date] 6. For use with Option 1(F): The Service Area in §1.2 of Exhibit B, as amended, is deleted and replaced with the following: 1.2. Service Area. The services described within this Grant shall be provided in [Area], State of Colorado. DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Exhibit G Page 3 of 3 CMS# 181213 7. For use with Option 1(G): The Responsible Administrator in §4.1 of Exhibit B, as amended, is deleted and replaced with the following: 4.1. Responsible Administrator. Grantee’s performance hereunder shall be under the direct supervision of [Name, Title, email address] who is hereby designated as the responsible administrator of this Project. 8. For use with Option 1(H): the Remittance Address in §6.2 of Exhibit B, as amended, is deleted and replaced with the following: 6.2 Remittance Address. If mailed, payments shall be remitted to the following address unless changed in accordance with §14 of the Grant: [Grantee Name] [Street Address] [City, State Zip Code] In accordance with §24-30-202, C.R.S., this Option is not valid until signed and dated below by the State Controller or an authorized delegate. STATE OF COLORADO Jared S. Polis, Governor Department of Local Affairs By: Rick M. Garcia, Executive Director Date: STATE CONTROLLER Robert Jaros, CPA, MBA, JD By: DOLA Controller Delegate Option Effective Date: DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E Page 1 of 1 CMS # 181213 FORM 1 - RESIDENCY DECLARATION In order to be eligible to receive the assistance you seek, you, as an applicant must be lawfully within the United States. Please read this Declaration carefully. Please feel free to consult with an immigration lawyer or other expert of your choosing. I, ____________________________________, swear or affirm under penalty of perjury that (check one): I am a United States citizen, or I am a non-citizen national of the United States, or I have an immigration status that makes me a "qualified alien." I hereby agree to provide any documentation which may be required pursuant to Federal law, Interim Guidelines published by the United States Department of Justice (62 FR 61344) or, if applicable, Colorado laws and regulations, if the Colorado laws are not inconsistent with Federal law. I acknowledge that making a false, fictitious, or fraudulent statement or representation in this Declaration is punishable under the criminal laws of Colorado as perjury in the second degree under Colorado Revised Statues §18-8-503 and shall constitute a separate criminal offense each time a public benefit is fraudulently received. _______________________________________________________ Name (please print) _______________________________________________________ Signature ________________________________ Date DocuSign Envelope ID: 3D7425D4-5B7A-4559-89A4-04D717A29404DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 11 EXHIBIT B EMERGENCY SOLUTIONS GRANT POLICIES AND PROCEDURES DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 1 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities Department of Local Affairs (DOLA), Division of Housing (DOH), Office of Homeless Initiatives (OHI) Emergency Solutions Grant (ESG) Policies and Procedures UPDATED AS OF FEBRUARY 11, 2021 Table of Contents 1) Introduction and Overview……………………………………………………………………………. 4 a) Definitions …………………………………………………………………………………………5 b) ESG Structure Diagram.....…………………………………………………………………………6 2) OHI Philosophies and Program Guidelines…………………………………………………………….7 a) Adhering to a Housing First Philosophy and Housing-Focused Models…………………………...7 b) Encouraging Real-Time, Quality Data……………………………………………………………..7 c) Advancing Equity and Inclusion…………………………………………………………………...8 d) Encouraging Community-Wide Collaboration……………………………………………………8 3) Eligible Activities and Program Components …………………………………………………………9 a) Emergency Shelter Component…..………………………………………………………………..9 i) Essential Services…………………………………………………………………………….. 9 ii) Shelter Renovation………………………………………………….………………………...11 iii) Shelter Operations.................................................................................................................... 11 iv) Additional Emergency Shelter Requirements……………………….………………………..11 (1) Assistance required under the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970……………………………………………...………….11 (2) Prohibition against Involuntary Family Separation………………………………………12 (3) Minimum Period of Use………………………………………………………………….12 (4) Maintenance of Efforts…………………………………………………………………...13 (5) Habitability Standards for Emergency Shelters…………………………………………..13 b) Street Outreach Component………………………………………………………………………14 i) Eligible Services……………………………………………………………………………...14 ii) Additional Street Outreach Requirements……………………………………………………15 (1) Minimum Period of Use………………………………………………………………….15 (2) Maintenance of Efforts…………………………………………………………………...15 c) Homelessness Prevention and Rapid Re-Housing………………………………………………...16 i) Homelessness Prevention …………………………………………………..…..…………….16 ii) Rapid Re-Housing ...….……………………………………………………………………....16 iii) Housing Relocation and Stabilization Services……………………….……….……..………17 iv) Short- and Medium-Term Rental Assistance…………………………………….…………...19 v) Additional Requirements for Homelessness Prevention and Rapid Re-Housing….…………22 (1) Evaluation of Program Participant Eligibility and Needs………………………………..22 (2) Re-evaluations for Homelessness Prevention and Rapid Re-Housing……………………22 (3) Annual Income Documentation for Homelessness Prevention and Rapid Re-Housing…22 (4) Fair Market Rent ..……..…………………………………………………………………23 (5) Habitability Standards for Permanent Housing…………………………………………..24 (6) Housing Stability Case Management …………………………………………………….24 d) Homeless Management Information Systems (HMIS) Component ………………………………25 DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 2 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities e) Administration………………………………………………………………………………..….. 26 f) Connecting Program Participants to Mainstream and Other Resources…………………………..27 g) Indirect Costs……………………………………………………………………………………...27 h) Ineligible Activities ………………………………………………………………………………28 4) Five Year Consolidated Plan, Annual Action Plan, and Consolidated Annual Performance and Evaluation Report …………………………………………………………………………………….29 a) ESG Methods of Distribution……………………………………………………………………..29 5) ESG Program and Recording Keeping Requirements………………………………………………...31 a) Record Keeping Requirements……………………………………………………………………31 b) Documentation of Homeless Status……………………………………………………………….31 c) Eligible ESG Participants…………………………………………………………………………32 i) At-Risk of Homelessness……………………………………………………………………..32 ii) Homeless…………………………………………………………………………………….. 33 (1) Category 1..………….………….………………………………………………………..33 (2) Category 2. .………….………….……………………………………………………….33 (3) Category 3.………….………….………………………………………………….……..34 (4) Category 4.………….………….………………………………………………………...34 d) Eligible Participants by Component………………………………………………………………34 e) Documentation Requirements for the Categories of Homeless and At-Risk of Homelessness…..35 f) Program Participant Records……………………………………………………………………...39 g) Centralized or Coordinated Assessment Systems and Procedures………………………………..40 h) Rental Assistance Agreements and Payments…………………………………………………….40 i) Utility Allowance…………………………………………………………………………………40 j) Shelter and Housing Standards……………………………………………………………………40 k) Emergency Shelter Facilities………………………………………………………………….…..40 l) Services and Assistance Provided………………………………………………………………...40 m) Coordination with Continuums of Care and other programs……….…………………………….40 n) HMIS……………………………………………………………………………………………...40 o) Matching ………………………………………………………………………………………….40 p) Conflicts of Interest……………………………………………………………………………….41 q) Homeless Participation……………………………………………………………………………41 r) Faith-Based Activities……………………...……………………………………………………..41 s) Other Federal Requirements………………………………………………………………………41 t) Relocation ………………………………………………………………………………………...41 u) Financial Records…………………………………………………………………………….…...41 v) Subrecipients and Contractors…………………………………………………………………….41 w) Confidentiality ……………………………………………………………………………………42 x) Period of Record Retention……………………………………………………………………….42 y) Access to Records…………………………………………………………………………………42 z) Additional Requirements and Other………………………………………………………………43 6) ESG Grantee Expectations…………………………………………………………………………….44 a) Federal Grant Administration Requirements……………………………………………………...44 i) Time and Activity Reporting……………………………………………………....................44 ii) Cost Principles……………………………………………………..........................................44 DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 3 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities iii) Audits……………………………………………………....................................................... 45 b) Additional Grant Administration Requirements…………………………………………………..45 i) Data Quality…………………………………………………………………………………..45 ii) Continuum of Care Involvement…………………………………………………………..….45 iii) Coordinated Entry Involvement……………………………………………………................45 (1) Coordinated Entry for Victim Service Providers…………………………………………46 (2) Emergency Transfer Policies (Violence Against Women Act Requirement)………..…..46 (3) Regional Coordinated Entry Systems…………………………………………………….47 iv) Pay Requests and Documentation Requirements……………………………………………..47 (1) Reimbursement Requests………………………………………………………………...47 (2) Advance Payments Requests……………………………………………………………..47 (3) Supportive Documentation Standards……………………………………………………47 v) General Match Compliance …………………………………………………………………..48 (1) Match Requirements for Subrecipients…………………………………………………..48 (2) Subrecipient Use, Application, and Source of Match…………………………………….48 (3) Ineligible Match Sources…………………………………………………………………49 vi) Additional Requirements for Fiscal Agents…………………………………………………..49 7) DOH Monitoring Procedures………………………………………………………………………….51 a) Monitoring ……………………………………………………………………………..…………51 b) Outcomes of Monitoring………………………………………………………………………….52 8) Emergency ESG Policies……………………………………………………………………………...53 a) COVID-19………………………………………………………………………………………...53 9) Active ESG Grant Timelines and Additional Resources…...………………………………………...56 DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 4 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities Section 1: Introduction and Overview A Note to ESG-Funded Organizations: Organizations funded with ESG should be familiar with these ESG policies and procedures and, as is noted throughout this document, should have written policies and procedures of their own. Organizations may adopt these policies and procedures as their organization’s policies and procedures Additionally, ESG-funded organizations must review and adhere to their ESG grant agreement(s). While these policies and procedures detail the ESG program, regulations, and other requirements, the grant agreements include specific, grant-by-grant requirements. For example, grant agreements include insurance requirements, performance milestones, and reporting requirements and deadlines, such as requirements for quarterly reports. History. The Emergency Solutions Grants (ESG) Program was originally established by the Homeless Housing Act of 1986, in response to the growing issue of homelessness among individuals, families, and children in the United States. In 1987, ESG was authorized by Subtitle B of Title IV of the McKinney- Vento Homeless Assistance Act (42 U.S.C. 11371-11378). On May 20, 2009, President Obama signed a bill to reauthorize the U.S. Department of Housing and Urban Development (HUD) McKinney-Vento Homeless Assistance programs, renaming the program "Emergency Solutions Grant." The bill is known as the Homeless Emergency Assistance and Rapid Transition to Housing (HEARTH) Act. HUD is developing regulations to implement the new homeless assistance program. The HEARTH Act authorizes HUD to make grants to states, units of general purpose local government, and territories for ESG activities. The Department of Local Affairs (DOLA), Division of Housing (DOH), Office of Homeless Initiatives (OHI) is a Recipient of HUD’s ESG funds. As a Recipient, Colorado receives and administers ESG funds to eligible organizations and local governments – or “Subrecipients” – in Colorado. These policies and procedures apply to all Subrecipients. Subrecipients include eligible units of local government and/or non-profit organizations who are awarded funding and administer the ESG program components outlined below. DOH has authority to obligate funds per Title 24 Code of Federal Regulations Part 576 (24 CFR 576). DOH Administration and Goals. DOH allocates ESG funding on an annual basis through a competitive application process. ESG is designed to be the first step in a continuum of assistance to prevent homelessness and enable individuals and families experiencing or at-risk of homelessness to move toward permanent housing. ESG Program Objectives. DOH’s ESG program aims to: 1) End homelessness by connecting those experiencing or at-risk of homelessness to the appropriate resources as quickly as possible with few, if any, barriers 2) Increase the number and quality of housing resources for individuals and families experiencing homelessness 3) Operate emergency shelter facilities, prioritizing shelters that are low barrier and housing-focused 4) Provide essential social services for those living outdoors, in emergency shelter, at-risk of homelessness, or in rental assistance programs DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 5 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities Eligible ESG Subrecipients. DOH enters into grant agreements with Subrecipients in order to accomplish the ESG program objectives. Subrecipients who are eligible to apply for ESG grant agreements include: 1) Local governments 2) Continuums of Care (CoC) 3) Homeless service providers 4) Other non-profit organizations Eligible ESG Components. ESG Subrecipients can apply for funding to provide the following components, as defined by CFR 24 CFR 576.100: 1) Emergency Shelter 2) Street Outreach 3) Homelessness Prevention 4) Rapid Re-Housing 5) Homeless Management Information Systems (HMIS) or Comparable Database for Victim Service Providers 6) Administration Definitions. These definitions explain the roles and structure of DOH’s ESG program. ESG definitions for eligible program components, participants (i.e., people accessing services), and other aspects of ESG can be found in the corresponding sections of these Policies and Procedures. 1) Recipient – The ESG Recipient is the entity that receives ESG funding directly from HUD. In the context of this policies and procedures document, DOH is the Subrecipient. (HUD has four ESG Recipient in Colorado: DOH, the City and County of Denver, the City of Aurora, and the City of Colorado Springs. HUD requires each ESG Recipient to implement ESG policies and procedures.) 2) Subrecipients – DOH allocates ESG funds through a competitive application process, as dictated by the Consolidated Plan or the Annual Action Plan (see Section 4 for more detail on the Method of Distribution). Entities that receive DOH’s ESG funds through this application process and administer the program components are DOH’s Subrecipients. 3) Fiscal Agents – DOH allocates ESG funds received through a competitive application process, as dictated by the Consolidated Plan or the Annual Action Plan (see Section 4 for more detail on the Method of Distribution). Entities that receive DOH’s ESG funds and pass the funds through to other entities to administer the program components are Fiscal Agents. See Section 6 for additional requirements and expectations for ESG Fiscal Agents. 4) Program Participant – Individuals and families who are accessing ESG services. 5) Component – ESG includes five components, or eligible program activities: Street Outreach, Emergency Shelter, Rapid Re-Housing, Homelessness Prevention, and HMIS. (ESG also funds Administration costs.) DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 6 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities ESG Structure Diagram. HUD allocates ESG funds based on a formula funding model. DOH (the ESG Recipient) receives Colorado’s ESG funds and creates an application process to pass the funds on to other organizations. DOH awards grant agreements to Subrecipients, who will perform the ESG activities themselves. DOH awards grant agreements to Fiscal Agents, who pass the funds on to other agencies. Fiscal Agents oversee the implementation of the funds they pass through to agencies who run the ESG programs. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 7 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities Section 2: OHI Philosophies and Program Guidelines OHI administers ESG on behalf of DOH. OHI’s approach to implementing ESG is rooted in various evidence-based philosophies and guidelines, such as (a) adhering to a Housing First philosophy and housing-focused models, (b) encouraging real-time, quality data, (c) advancing equity and inclusion, and (d) encouraging community-wide collaboration, including Continuum of Care (CoC) partnerships and Coordinated Entry collaboration. Adhering to a Housing First Philosophy and Housing-focused Models. Housing First is a proven model that recognizes housing as a prerequisite to stability and health. The approach is guided by the understanding that basic needs -- such as food and housing -- are a platform upon which people can achieve personal goals. Housing First is not just an individual or agency philosophy, but rather a coordinated, systems-wide approach that manifests through housing-focused program models. Under housing-focused models, organizations and communities position housing as an immediate priority for people experiencing homelessness or a housing crisis (unlike “housing ready” or “housing next” models) and quickly connect people to permanent housing with voluntary supportive services. For ESG Subrecipients, Housing First should be reflected in practices AND policies and procedures. Numerous housing-focused models complement Housing First, such as: Housing-Focused Case Management “If you’re not talking about housing, you’re having the wrong conversation” Low Barrier Services Accessibility to individuals and families with a wide range of circumstances and backgrounds (e.g., no preconditions) Progressive Engagement Providing minimum rapid re-housing assistance and increasing that assistance, as needed, to avoid housing loss Trauma-Informed Realizing and honoring trauma and its widespread implications and actively working to prevent re-traumatization Harm Reduction Reducing the harm associated with substance use and other experiences ...and other approaches and skills, such as motivational interviewing, asset- or strengths-based practices, individual choice, among others. Encouraging Real-Time, Quality Data. Real-time, quality data allows organizations and communities to understand the scale of homelessness, determine whether strategies are effective, and improve programs, policies, and systems. Real-time, quality data can: 1. Capture information around racial, ethnic, geographic, and other inequities and disparities 2. Improve accountability and transparency 3. Create a complete picture of homelessness to understand whether strategies are driving down the number of people experiencing homelessness 4. Create a shared understanding of individual housing needs, available housing options, and strategic resource allocation (e.g., using a real-time, by-name list) 5. Equip organizations with shared information so that they can coordinate resources, develop strategic plans, and build adequate systems DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 8 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities 6. Allow organizations to understand exactly how their services interact with each other and with other systems (e.g., inflow into homelessness and outflow out of homelessness) 7. Streamline access to services and service delivery 8. Prevent inefficiencies, such as retroactive data entry and data user errors 9. Be used as a tool to implement evidence-based practices 10. Promote informed policy, program, and funding decision-making 11. Be leveraged to build cross-sector partnerships ESG Subrecipients must adhere to HUD regulations that require Subrecipients to track ESG client and program data in HMIS for non-Victim Service Providers or a Comparable Database for Victim Service Providers. Colorado’s ESG Comparable Database is the CAFE system. See more on ESG data requirements in Section 5. Advancing Equity and Inclusion. In alignment with DOLA’s Equity, Diversity, and Inclusion committee, OHI is committed to undoing systemic racism and disparate outcomes that are evident among homelessness in Colorado. OHI will work with other Colorado agencies focused on racial justice to ensure ESG aligns with, rather than duplicates or undermines, those efforts. Additionally, OHI will use data to quantify ESG outcomes based on racial and ethnic demographics (including those served, those housed, and those still experiencing homelessness), providing targeting assistance and tools that Subrecipients can use to measure these impacts, including these measurements as part of the ongoing monitoring OHI does with grantees, and more. Encouraging Community-Wide Collaboration. Data consistently show that collaboration is central to ending homelessness. For that reason, OHI is committed to working alongside ESG Subrecipients, other non-profits and local governments, CoCs, and other internal and external stakeholders. OHI encourages collaboration among ESG Subrecipients, including coordination of services and active partnerships with each Subrecipient’s CoC. ESG Subrecipients must participate in the local Coordinated Entry system and contribute data to the statewide HMIS, as required by HUD. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 9 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities Section 3: Eligible Activities and Program Components Eligible Activities and Program Components. The Recipient and Subrecipient shall ensure that all ESG- funded activities are in accordance with 24 CFR Parts 84, 85, 91 and 576, and all related regulations and requirements. Much of the language below comes directly from 24 CFR 576 regulations. Emergency Shelter Component. ESG funds may be used for costs of providing essential services to families and individuals who are homeless in emergency shelters, renovating buildings to be used as emergency shelter for families and individuals who are homeless, and operating emergency shelters. This can include day shelters if the primary purpose is to provide temporary shelter for people experiencing homelessness in general or specific subpopulations, and it does not require occupants to sign leases or occupancy agreements. 1) Essential services. ESG funds may be used to provide essential services to individuals and families who are in emergency shelters, as follows: a) Case management. The cost of assessing, arranging, coordinating, and monitoring the delivery of individualized services to meet the needs of the program participant is eligible. Component services and activities consist of: i) Using the centralized or coordinated assessment system as required under 24 CFR 576.400(d); ii) Conducting the initial evaluation required under 24 CFR 576.401(a), including verifying and documenting eligibility; iii) Counseling; iv) Developing, securing, and coordinating services and obtaining Federal, State, and local benefits; v) Monitoring and evaluating program participant progress; vi) Providing information and referrals to other providers; vii) Providing ongoing risk assessment and safety planning with victims of domestic violence, dating violence, sexual assault, and stalking; and viii) Developing an individualized housing and service plan, including planning a path to permanent housing stability. b) Childcare. The costs of childcare for program participants, including providing meals and snacks, and comprehensive and coordinated sets of appropriate developmental activities, are eligible. The children must be under the age of 13, unless they are disabled. Disabled children must be under the age of 18. The childcare center must be licensed by the jurisdiction in which it operates in order for its costs to be eligible. c) Education services. When necessary for the program participant to obtain and maintain housing, the costs of improving knowledge and basic educational skills are eligible. Services include instruction or training in consumer education, health education, substance abuse prevention, literacy, English as a Second Language, and General Educational Development (GED). Component services or activities are screening, assessment and testing; individual or group instruction; tutoring; provision of books, supplies and instructional material; counseling; and referral to community resources. d) Employment assistance and job training. The costs of employment assistance and job training programs are eligible, including classroom, online, and/or computer instruction; on-the-job DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 10 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities instruction; and services that assist individuals in securing employment, acquiring learning skills, and/or increasing earning potential. The cost of providing reasonable stipends to program participants in employment assistance and job training programs is an eligible cost. Learning skills include those skills that can be used to secure and retain a job, including the acquisition of vocational licenses and/or certificates. Services that assist individuals in securing employment consist of employment screening, assessment, or testing; structured job skills and job-seeking skills; special training and tutoring, including literacy training and prevocational training; books and instructional material; counseling or job coaching; and referral to community resources. e) Outpatient health services. Eligible costs are for the direct outpatient treatment of medical conditions and are provided by licensed medical professionals. ESG funds may be used only for these services to the extent that other appropriate health services are unavailable within the community. Eligible treatment consists of assessing a program participant's health problems and developing a treatment plan; assisting program participants to understand their health needs; providing directly or assisting program participants to obtain appropriate medical treatment, preventive medical care, and health maintenance services, including emergency medical services; providing medication and follow-up services; and providing preventive and noncosmetic dental care. f) Legal services. Eligible costs are the hourly fees for legal advice and representation by attorneys licensed and in good standing with the bar association of the State in which the services are provided, and by person(s) under the supervision of the licensed attorney, regarding matters that interfere with the program participant's ability to obtain and retain housing. ESG funds may be used only for these services to the extent that other appropriate legal services are unavailable or inaccessible within the community. Eligible subject matters are child support, guardianship, paternity, emancipation, and legal separation, orders of protection and other civil remedies for victims of domestic violence, dating violence, sexual assault, and stalking, appeal of veterans and public benefit claim denials, and the resolution of outstanding criminal warrants. Component services or activities may include client intake, preparation of cases for trial, provision of legal advice, representation at hearings, and counseling. Fees based on the actual service performed (i.e. fee for service) are also eligible, but only if the cost would be less than the cost of hourly fees. Filing fees and other necessary court costs are also eligible. If the Subrecipient is a legal services provider and performs the services itself, the eligible costs are the Subrecipient's employees' salaries and other costs necessary to perform the services. Legal services for immigration and citizenship matters and issues relating to mortgages are ineligible costs. Retainer fee arrangements and contingency fee arrangements are ineligible costs. g) Life skills training. The costs of teaching critical life management skills that may never have been learned or have been lost during the course of physical or mental illness, domestic violence, substance use, and homelessness are eligible costs. These services must be necessary to assist the program participant to function independently in the community. Component life skills training are budgeting resources, managing money, managing a household, resolving conflict, shopping for food and needed items, improving nutrition, using public transportation, and parenting. h) Mental health services. Eligible costs are the direct outpatient treatment by licensed professionals of mental health conditions. ESG funds may only be used for these services to the extent that other appropriate mental health services are unavailable or inaccessible within the community. Mental health services are the application of therapeutic processes to personal, family, situational, or occupational problems in order to bring about positive resolution of the problem or improved individual or family functioning or circumstances. Problem areas may include family and marital DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 11 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities relationships, parent-child problems, or symptom management. Eligible treatment consists of crisis interventions; individual, family, or group therapy sessions; the prescription of psychotropic medications or explanations about the use and management of medications; and combinations of therapeutic approaches to address multiple problems. i) Substance abuse treatment services. Eligible substance abuse treatment services are designed to prevent, reduce, eliminate, or deter relapse of substance abuse or addictive behaviors and are provided by licensed or certified professionals. ESG funds may only be used for these services to the extent that other appropriate substance abuse treatment services are unavailable or inaccessible within the community. Eligible treatment consists of client intake and assessment, and outpatient treatment for up to 30 days. Group and individual counseling and drug testing are eligible costs. Inpatient detoxification and other inpatient drug or alcohol treatment are not eligible costs. j) Transportation. Eligible costs consist of the transportation costs of a program participant's travel to and from medical care, employment, child care, or other eligible essential services facilities. These costs include the following: i) The cost of a program participant's travel on public transportation; ii) If service workers use their own vehicles, mileage allowance for service workers to visit program participants; iii) The cost of purchasing or leasing a vehicle for the Subrecipient in which staff transports program participants and/or staff serving program participants, and the cost of gas, insurance, taxes, and maintenance for the vehicle; and iv) The travel costs of Subrecipient staff to accompany or assist program participants to use public transportation. k) Services for special populations. ESG funds may be used to provide services for homeless youth, victim services, and services for people living with HIV/AIDS, so long as the costs of providing these services are eligible under paragraphs (a)(1)(i) through (a)(1)(x) of this section. The term victim services means services that assist program participants who are victims of domestic violence, dating violence, sexual assault, or stalking, including services offered by rape crisis centers and domestic violence shelters, and other organizations with a documented history of effective work concerning domestic violence, dating violence, sexual assault, or stalking. 2) Shelter renovation. Eligible costs include labor, materials, tools, and other costs for renovation (including major rehabilitation of an emergency shelter or conversion of a building into an emergency shelter). The emergency shelter must be owned by a government entity or private nonprofit organization. 3) Shelter operations. Eligible costs are the costs of maintenance (including minor or routine repairs), rent, security, fuel, equipment, insurance, utilities, food, furnishings, and supplies necessary for the operation of the emergency shelter. Where no appropriate emergency shelter is available for a homeless family or individual, eligible costs may also include a hotel or motel voucher for that family or individual. 4) Additional Emergency Shelter Requirements. a) Assistance required under the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (URA). Eligible costs are the costs of providing URA assistance under 24 CFR 576.408, including relocation payments and other assistance to persons displaced by a project assisted with ESG funds. Persons that receive URA assistance are not considered DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 12 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities “program participants” for the purposes of this part, and relocation payments and other URA assistance are not considered “rental assistance” or “housing relocation and stabilization services” for the purposes of this part. b) Prohibition against involuntary family separation. The age of a child under age 18 must not be used as a basis for denying any family's admission to an emergency shelter that uses ESG funding or services and provides shelter to families with children under age 18. c) Minimum period of use. i) Renovated buildings. Each building renovated with ESG funds must be maintained as a shelter for homeless individuals and families for not less than a period of 3 or 10 years, depending on the type of renovation and the value of the building. The “value of the building” is the reasonable monetary value assigned to the building, such as the value assigned by an independent real estate appraiser. The minimum use period must begin on the date the building is first occupied by a homeless individual or family after the completed renovation. A minimum period of use of 10 years, required for major rehabilitation and conversion, must be enforced by a recorded deed or use restriction. (1) Major rehabilitation. If the rehabilitation cost of an emergency shelter exceeds 75 percent of the value of the building before rehabilitation, the minimum period of use is 10 years. (2) Conversion. If the cost to convert a building into an emergency shelter exceeds 75 percent of the value of the building after conversion, the minimum period of use is 10 years. (3) Renovation other than major rehabilitation or conversion. In all other cases where ESG funds are used for renovation, the minimum period of use is 3 years. ii) Essential services and shelter operations. Where the Recipient or Subrecipient uses ESG funds solely for essential services or shelter operations, the Recipient or Subrecipient must provide services or shelter to homeless individuals and families at least for the period during which the ESG funds are provided. The Recipient or Subrecipient does not need to limit these services or shelter to a particular site or structure, so long as the site or structure serves the same type of persons originally served with the assistance (e.g., families with children, unaccompanied youth, disabled individuals, or victims of domestic violence) or serves homeless persons in the same area where the Recipient or Subrecipient originally provided the services or shelter. d) Maintenance of effort. If the Subrecipient is a unit of general purpose local government, its ESG funds cannot be used to replace funds the local government provided for street outreach and emergency shelter services during the immediately preceding 12-month period, unless HUD determines that the unit of general purpose local government is in a severe financial deficit. Upon the Recipient's request, HUD will determine whether the unit of general purpose local government is in a severe financial deficit, based on the Recipient's demonstration of each of the following: i) The average poverty rate in the unit of general purpose local government's jurisdiction was equal to or greater than 125 percent of the average national poverty rate, during the calendar year for which the most recent data are available, as determined according to information from the U.S. Census Bureau. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 13 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities ii) The average per-capita income in the unit of general purpose local government's jurisdiction was less than 75 percent of the average national per-capita income, during the calendar year for which the most recent data are available, as determined according to information from the Census Bureau. iii) The unit of general purpose local government has a current annual budget deficit that requires a reduction in funding for services for homeless people. iv) The unit of general purpose local government has taken all reasonable steps to prevent a reduction in funding of services for homeless people. Reasonable steps may include steps to increase revenue generation, steps to maximize cost savings, or steps to reduce expenditures in areas other than services for homeless people. e) Habitability standards for emergency shelter. The ESG Program Interim Rule establishes different habitability standards for emergency shelters and for permanent housing (the Rapid Re- Housing and Homelessness Prevention components). i) Emergency Shelter Standards (1) Emergency shelters that receive ESG funds for renovation or shelter operations must meet the minimum standards for safety, sanitation, and privacy provided in 24 CFR 576.403(b) including: (a) Lead-based paint remediation and disclosure standards. (b) Minimum standards for emergency shelters. Any building for which ESG funds are used must meet state or local government safety and sanitation standards, as applicable, and the following minimum safety, sanitation, and privacy standards. Any emergency shelter that receives assistance for shelter operations must also meet the following minimum safety, sanitation, and privacy standards: (i) Structure and materials. The shelter building must be structurally sound to protect residents from the elements and not pose any threat to health and safety of the residents. Any renovation (including major rehabilitation and conversion) carried out with ESG assistance must use Energy Star and WaterSense products and appliances. (ii) Access. The shelter must be accessible in accordance with Section 504 of the Rehabilitation Act (29 U.S.C. 794) and implementing regulations at 24 CFR part 8; the Fair Housing Act (42 U.S.C. 3601 et seq.) and implementing regulations at 24 CFR part 100; and Title II of the Americans with Disabilities Act (42 U.S.C. 12131 et seq.) and 28 CFR part 35; where applicable. (iii) Space and security. Except where the shelter is intended for day use only, the shelter must provide each program participant in the shelter with an acceptable place to sleep and adequate space and security for themselves and their belongings. (iv) Interior air quality. Each room or space within the shelter must have a natural or mechanical means of ventilation. The interior air must be free of pollutants at a level that might threaten or harm the health of residents. (v) Water supply. The shelter's water supply must be free of contamination. (vi) Sanitary facilities. Each program participant in the shelter must have access to sanitary facilities that are in proper operating condition, are private, and are adequate for personal cleanliness and the disposal of human waste. (vii) Thermal environment. The shelter must have any necessary heating/cooling facilities in proper operating condition. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 14 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities (viii) Illumination and electricity. The shelter must have adequate natural or artificial illumination to permit normal indoor activities and support health and safety. There must be sufficient electrical sources to permit the safe use of electrical appliances in the shelter. (ix) Food preparation. Food preparation areas, if any, must contain suitable space and equipment to store, prepare, and serve food in a safe and sanitary manner. (x) Sanitary conditions. The shelter must be maintained in a sanitary condition. (xi) Fire safety. There must be at least one working smoke detector in each occupied unit of the shelter. Where possible, smoke detectors must be located near sleeping areas. The fire alarm system must be designed for hearing-impaired residents. All public areas of the shelter must have at least one working smoke detector. There must also be a second means of exiting the building in the event of fire or other emergency. (2) In addition, emergency shelters that receive ESG funds for renovation (conversion, major rehabilitation, or other renovation) also must meet state or local government safety and sanitation standards, as applicable. Street Outreach Component. ESG funds may be used for costs of providing essential services necessary to reach out to unsheltered homeless people; connect them with emergency shelter, housing, or critical services; and provide urgent, non-facility-based care to unsheltered homeless people who are unwilling or unable to access emergency shelter, housing, or an appropriate health facility. For the purposes of this section, the term “unsheltered homeless people” means individuals and families who qualify as homeless under paragraph (1)(i) of the “homeless” definition under 24 CFR 576.2. The eligible costs and requirements for essential services consist of: 1) Engagement. The costs of activities to locate, identify, and build relationships with unsheltered homeless people and engage them for the purpose of providing immediate support, intervention, and connections with homeless assistance programs and/or mainstream social services and housing programs. These activities consist of making an initial assessment of needs and eligibility; providing crisis counseling; addressing urgent physical needs, such as providing meals, blankets, clothes, or toiletries; and actively connecting and providing information and referrals to programs targeted to homeless people and mainstream social services and housing programs, including emergency shelter, transitional housing, community-based services, permanent supportive housing, and rapid re-housing programs. Eligible costs include the cell phone costs of outreach workers during the performance of these activities. 2) Case management. The cost of assessing housing and service needs, arranging, coordinating, and monitoring the delivery of individualized services to meet the needs of the program participant. Eligible services and activities are as follows: using the centralized or coordinated assessment system as required under 576.400(d); conducting the initial evaluation required under 24 CFR 576.401(a), including verifying and documenting eligibility; counseling; developing, securing and coordinating services; obtaining Federal, State, and local benefits; monitoring and evaluating program participant progress; providing information and referrals to other providers; and developing an individualized housing and service plan, including planning a path to permanent housing stability. 3) Emergency health services. Eligible costs are for the direct outpatient treatment of medical conditions and are provided by licensed medical professionals operating in community-based settings, including streets, parks, and other places where unsheltered homeless people are living. ESG funds may be used DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 15 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities only for these services to the extent that other appropriate health services are inaccessible or unavailable within the area. Eligible treatment consists of assessing a program participant's health problems and developing a treatment plan; assisting program participants to understand their health needs; providing directly or assisting program participants to obtain appropriate emergency medical treatment; and providing medication and follow-up services. 4) Emergency mental health services. Eligible costs are the direct outpatient treatment by licensed professionals of mental health conditions operating in community-based settings, including streets, parks, and other places where unsheltered people are living. ESG funds may be used only for these services to the extent that other appropriate mental health services are inaccessible or unavailable within the community. Mental health services are the application of therapeutic processes to personal, family, situational, or occupational problems in order to bring about positive resolution of the problem or improved individual or family functioning or circumstances. Eligible treatment consists of crisis interventions, the prescription of psychotropic medications, explanation about the use and management of medications, and combinations of therapeutic approaches to address multiple problems. 5) Transportation. The transportation costs of travel by outreach workers, social workers, medical professionals, or other service providers are eligible, provided that this travel takes place during the provision of services eligible under this section. The costs of transporting unsheltered people to emergency shelters or other service facilities are also eligible. These costs include the following: a) The cost of a program participant's travel on public transportation; b) If service workers use their own vehicles, mileage allowance for service workers to visit program participants; c) The cost of purchasing or leasing a vehicle for the Subrecipient in which staff transports program participants and/or staff serving program participants, and the cost of gas, insurance, taxes and maintenance for the vehicle; and d) The travel costs of Subrecipient staff to accompany or assist program participants to use public transportation. 5) Services for special populations. ESG funds may be used to provide services for homeless youth, victim services, and services for people living with HIV/AIDS, so long as the costs of providing these services are eligible under paragraphs (a)(1) through (a)(5) of this section. The term victim services means services that assist program participants who are victims of domestic violence, dating violence, sexual assault, or stalking, including services offered by rape crisis centers and domestic violence shelters, and other organizations with a documented history of effective work concerning domestic violence, dating violence, sexual assault, or stalking. 6) Additional Street Outreach requirements. a) Minimum period of use. The Recipient or Subrecipient must provide services to homeless individuals and families for at least the period during which ESG funds are provided. b) Maintenance of effort. If the Recipient or Subrecipient is a unit of general purpose local government, its ESG funds cannot be used to replace funds the local government provided for street outreach and emergency shelter services during the immediately preceding 12-month period, unless HUD determines that the unit of general purpose local government is in a severe financial deficit. Upon the Recipient's request, HUD will determine whether the unit of general DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 16 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities purpose local government is in a severe financial deficit, based on the Recipient's demonstration of each of the following: i) The average poverty rate in the unit of general purpose local government's jurisdiction was equal to or greater than 125 percent of the average national poverty rate, during the calendar year for which the most recent data are available, as determined according to information from the U.S. Census Bureau. ii) The average per-capita income in the unit of general purpose local government's jurisdiction was less than 75 percent of the average national per-capita income, during the calendar year for which the most recent data are available, as determined according to information from the Census Bureau. iii) The unit of general purpose local government has a current annual budget deficit that requires a reduction in funding for services for homeless people. c) The unit of general purpose local government has taken all reasonable steps to prevent a reduction in funding of services for homeless people. Reasonable steps may include steps to increase revenue generation, steps to maximize cost savings, or steps to reduce expenditures in areas other than services for homeless people. Homelessness Prevention and Rapid Re-Housing Components. ESG funds may be used for homelessness prevention and rapid re-housing programs. These two components are distinguished by where a client is living when they apply to the ESG-funded program. Each program has identical eligible activities but differ in areas of program administration, including eligibility, record keeping, case management requirements, etc. These programs can include Housing Relocation and Stabilization services and Short- or Medium-Term Rental Assistance. 1) Homelessness Prevention. ESG funds may be used to provide housing relocation and stabilization services and short- and/or medium-term rental assistance necessary to prevent an individual or family from moving into an emergency shelter or another place described in paragraph (1) of the “homeless” definition in 24 CFR 576.2. This assistance, referred to as homelessness prevention, may be provided to individuals and families who meet the criteria under the “at risk of homelessness” definition, or who meet the criteria in paragraph (2), (3), or (4) of the “homeless” definition in 24 CFR 576.2 and have an annual income below 30 percent of median family income for the area, as determined by HUD. The costs of homelessness prevention are only eligible to the extent that the assistance is necessary to help the program participant regain stability in the program participant's current permanent housing or move into other permanent housing and achieve stability in that housing. Homelessness prevention must be provided in accordance with the housing relocation and stabilization services requirements in 24 CFR 576.105, the short-term and medium-term rental assistance requirements in 24 CFR 576.106, and the written standards and procedures established under 24 CFR 576.400. 2) Rapid Re-Housing Component. ESG funds may be used to provide housing relocation and stabilization services and short- and/or medium-term rental assistance as necessary to help a homeless individual or family move as quickly as possible into permanent housing and achieve stability in that housing. This assistance, referred to as rapid re-housing assistance, may be provided to program participants who meet the criteria under paragraph (1) of the “homeless” definition in 24 CFR 576.2 or who meet the criteria under paragraph (4) of the “homeless” definition and live in an emergency DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 17 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities shelter or other place described in paragraph (1) of the “homeless” definition. The rapid re-housing assistance must be provided in accordance with the housing relocation and stabilization services requirements in 24 CFR 576.105, the short- and medium-term rental assistance requirements in 24 CFR 576.106, and the written standards and procedures established under 24 CFR 576.400. 3) Housing Relocation and Stabilization Services. ESG funds for Homelessness Prevention and Rapid Re-Housing may be used to provide Housing Relocation and Stabilization Services including: a) Financial assistance costs. Subject to the general conditions under 24 CFR 576.103 and 24 CFR 576.104, ESG funds may be used to pay housing owners, utility companies, and other third parties for the following costs: i) Rental application fees. ESG funds may pay for the rental housing application fee that is charged by the owner to all applicants. ii) Security deposits. ESG funds may pay for a security deposit that is equal to no more than 2 months' rent. iii) Last month's rent. If necessary to obtain housing for a program participant, the last month's rent may be paid from ESG funds to the owner of that housing at the time the owner is paid the security deposit and the first month's rent. This assistance must not exceed one month's rent and must be included in calculating the program participant's total rental assistance, which cannot exceed 24 months during any 3-year period. iv) Utility deposits. ESG funds may pay for a standard utility deposit required by the utility company for all customers for the utilities listed in paragraph (5) of this section. v) Utility payments. ESG funds may pay for up to 24 months of utility payments per program participant, per service, including up to 6 months of utility payments in arrears, per service. A partial payment of a utility bill counts as one month. This assistance may only be provided if the program participant or a member of the same household has an account in his or her name with a utility company or proof of responsibility to make utility payments. Eligible utility services are gas, electric, water, and sewage. No program participant shall receive more than 24 months of utility assistance within any 3-year period. vi) Moving costs. ESG funds may pay for moving costs, such as truck rental or hiring a moving company. This assistance may include payment of temporary storage fees for up to 3 months, provided that the fees are accrued after the date the program participant begins receiving assistance under paragraph (b) of this section and before the program participant moves into permanent housing. Payment of temporary storage fees in arrears is not eligible. vii) If a program participant receiving short- or medium-term rental assistance under 24 CFR 576.106 meets the conditions for an emergency transfer under 24 CFR 5.2005(e), ESG funds may be used to pay amounts owed for breaking a lease to effect an emergency transfer. These costs are not subject to the 24-month limit on rental assistance under 24 CFR 576.106. b) Services costs. Subject to the general restrictions under 24 CFR 576.103 and 24 CFR 576.104, ESG funds may be used to pay the costs of providing the following services: i) Housing search and placement. Services or activities necessary to assist program participants in locating, obtaining, and retaining suitable permanent housing, include the following: DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 18 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities (1) Assessment of housing barriers, needs, and preferences; (2) Development of an action plan for locating housing; (3) Housing search; (4) Outreach to and negotiation with owners; (5) Assistance with submitting rental applications and understanding leases; (6) Assessment of housing for compliance with ESG requirements for habitability, lead- based paint, and rent reasonableness; (7) Assistance with obtaining utilities and making moving arrangements; and (8) Tenant counseling. ii) Housing stability case management. ESG funds may be used to pay cost of assessing, arranging, coordinating, and monitoring the delivery of individualized services to facilitate housing stability for a program participant who resides in permanent housing or to assist a program participant in overcoming immediate barriers to obtaining housing. This assistance cannot exceed 30 days during the period the program participant is seeking permanent housing and cannot exceed 24 months during the period the program participant is living in permanent housing. Component services and activities consist of: (1) Using the centralized or coordinated assessment system as required under 24 CFR 576.400(d), to evaluate individuals and families applying for or receiving homelessness prevention or rapid re-housing assistance; (2) Conducting the initial evaluation required under 24 CFR 576.401(a), including verifying and documenting eligibility, for individuals and families applying for homelessness prevention or rapid re-housing assistance; (3) Counseling; (4) Developing, securing, and coordinating services and obtaining Federal, State, and local benefits; (5) Monitoring and evaluating program participant progress; (6) Providing information and referrals to other providers; (7) Developing an individualized housing and service plan, including planning a path to permanent housing stability; and (8) Conducting re-evaluations required under 24 CFR 576.401(b). iii) Mediation. ESG funds may pay for mediation between the program participant and the owner or person(s) with whom the program participant is living, provided that the mediation is necessary to prevent the program participant from losing permanent housing in which the program participant currently resides. iv) Legal services. ESG funds may pay for legal services, as set forth in 24 CFR 576.102(a)(1)(vi), except that the eligible subject matters also include landlord/tenant matters, and the services must be necessary to resolve a legal problem that prohibits the program participant from obtaining permanent housing or will likely result in the program participant losing the permanent housing in which the program participant currently resides. v) Credit repair. ESG funds may pay for credit counseling and other services necessary to assist program participants with critical skills related to household budgeting, managing money, accessing a free personal credit report, and resolving personal credit problems. This DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 19 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities assistance does not include the payment or modification of a debt. c) Maximum amounts and periods of assistance. The Recipient may set a maximum dollar amount that a program participant may receive for each type of financial assistance under paragraph (a) of this section. The Recipient may also set a maximum period for which a program participant may receive any of the types of assistance or services under this section. However, except for housing stability case management, the total period for which any program participant may receive the services under paragraph (b) of this section must not exceed 24 months during any 3-year period. The limits on the assistance under this section apply to the total assistance an individual receives, either as an individual or as part of a family. d) Use with other subsidies. Financial assistance under paragraph (a) of this section cannot be provided to a program participant who is receiving the same type of assistance through other public sources or to a program participant who has been provided with replacement housing payments under the URA, during the period of time covered by the URA payments. e) Housing counseling. Housing counseling, as defined in 24 CFR 5.100, that is funded with or provided in connection with ESG funds must be carried out in accordance with 24 CFR 5.111. When Recipient or Subrecipients provide housing services to eligible persons that are incidental to a larger set of holistic case management services, these services do not meet the definition of housing counseling, as defined in 24 CFR 5.100, and therefore are not required to be carried out in accordance with the certification requirements of 24 CFR 5.111 4) Short- and medium-term rental assistance. a) General provisions. Subject to the general conditions under 24 CFR 576.103 and 24 CFR 576.104, the Recipient or Subrecipient may provide a program participant with up to 24 months of rental assistance during any 3-year period. This assistance may be short-term rental assistance, medium-term rental assistance, payment of rental arrears, or any combination of this assistance: i) Short-term rental assistance is assistance for up to 3 months of rent. ii) Medium-term rental assistance is assistance for more than 3 months but not more than 24 months of rent. iii) Payment of rental arrears consists of a one-time payment for up to 6 months of rent in arrears, including any late fees on those arrears. iv) Rental assistance may be tenant-based or project-based, as set forth in paragraphs (h) and (i) of this section. b) Discretion to set caps and conditions. Subject to the requirements of this section, the Recipient may set a maximum amount or percentage of rental assistance that a program participant may receive, a maximum number of months that a program participant may receive rental assistance, or a maximum number of times that a program participant may receive rental assistance. The Recipient may also require program participants to share in the costs of rent. c) Use with other subsidies. Except for a one-time payment of rental arrears on the tenant's portion of the rental payment, rental assistance cannot be provided to a program participant who is receiving tenant-based rental assistance, or living in a housing unit receiving project-based rental assistance or operating assistance, through other public sources. Rental assistance may not be provided to a program participant who has been provided with replacement housing payments DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 20 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities under the URA during the period of time covered by the URA payments. d) Rent restrictions. i) Rental assistance cannot be provided unless the rent does not exceed the Fair Market Rent established by HUD, as provided under 24 CFR part 888, and complies with HUD's standard of rent reasonableness, as established under 24 CFR 982.507. ii) For purposes of calculating rent under this section, the rent shall equal the sum of the total monthly rent for the unit, any fees required for occupancy under the lease (other than late fees and pet fees) and, if the tenant pays separately for utilities, the monthly allowance for utilities (excluding telephone) established by the public housing authority for the area in which the housing is located. e) Rental assistance agreement. The Recipient or Subrecipient may make rental assistance payments only to an owner with whom the Recipient or Subrecipient has entered into a rental assistance agreement. The rental assistance agreement must set forth the terms under which rental assistance will be provided, including the requirements that apply under this section. The rental assistance agreement must provide that, during the term of the agreement, the owner must give the Recipient or Subrecipient a copy of any notice to the program participant to vacate the housing unit or any complaint used under State or local law to commence an eviction action against the program participant. Each rental assistance agreement that is executed or renewed on or after December 16, 2016 must include all protections that apply to tenants and applicants under 24 CFR part 5, subpart L, as supplemented by 24 CFR 576.409, except for the emergency transfer plan requirements under 24 CFR 5.2005(e) and 576.409(d). If the housing is not assisted under another “covered housing program”, as defined in 24 CFR 5.2003, the agreement may provide that the owner's obligations under 24 CFR part 5, subpart L (Protection for Victims of Domestic Violence, Dating Violence, Sexual Assault, or Stalking), expire at the end of the rental assistance period. f) Late payments. The Recipient or Subrecipient must make timely payments to each owner in accordance with the rental assistance agreement. The rental assistance agreement must contain the same payment due date, grace period, and late payment penalty requirements as the program participant's lease. The Recipient or Subrecipient is solely responsible for paying late payment penalties that it incurs with non-ESG funds. g) Lease. Each program participant receiving rental assistance must have a legally binding, written lease for the rental unit, unless the assistance is solely for rental arrears. The lease must be between the owner and the program participant. Where the assistance is solely for rental arrears, an oral agreement may be accepted in place of a written lease, if the agreement gives the program participant an enforceable leasehold interest under state law and the agreement and rent owed are sufficiently documented by the owner's financial records, rent ledgers, or canceled checks. For program participants living in housing with project-based rental assistance under paragraph (i) of this section, the lease must have an initial term of 1 year. Each lease executed on or after December 16, 2016 must include a lease provision or incorporate a lease addendum that includes all requirements that apply to tenants, the owner or lease under 24 CFR part 5, subpart L (Protection for Victims of Domestic Violence, Dating Violence, Sexual Assault, or Stalking), as supplemented by 24 CFR 576.409, including the prohibited bases for eviction and restrictions on construing lease terms under 24 CFR 5.2005(b) and (c). If the housing is not assisted under DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 21 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities another “covered housing program,” as defined in 24 CFR 5.2003, the lease provision or lease addendum may be written to expire at the end of the rental assistance period. h) Tenant-based rental assistance. i) A program participant who receives tenant-based rental assistance may select a housing unit in which to live and may move to another unit or building and continue to receive rental assistance, as long as the program participant continues to meet the program requirements. ii) The Recipient may require that all program participants live within a particular area for the period in which the rental assistance is provided. iii) The rental assistance agreement with the owner must terminate and no further rental assistance payments under that agreement may be made if: (1) The program participant moves out of the housing unit for which the program participant has a lease; (2) The lease terminates and is not renewed; or (3) The program participant becomes ineligible to receive ESG rental assistance. i) Project-based rental assistance. If the Recipient or Subrecipient identifies a permanent housing unit that meets ESG requirements and becomes available before a program participant is identified to lease the unit, the Recipient or Subrecipient may enter into a rental assistance agreement with the owner to reserve the unit and subsidize its rent in accordance with the following requirements: i) The rental assistance agreement may cover one or more permanent housing units in the same building. Each unit covered by the rental assistance agreement (“assisted unit”) may only be occupied by program participants, except as provided under paragraph (i)(4) of this section. ii) The Recipient or Subrecipient may pay up to 100 percent of the first month's rent, provided that a program participant signs a lease and moves into the unit before the end of the month for which the first month's rent is paid. The rent paid before a program participant moves into the unit must not exceed the rent to be charged under the program participant's lease and must be included when determining that program participant's total rental assistance. iii) The Recipient or Subrecipient may make monthly rental assistance payments only for each whole or partial month an assisted unit is leased to a program participant. When a program participant moves out of an assisted unit, the Recipient or Subrecipient may pay the next month's rent, i.e., the first month's rent for a new program participant, as provided in paragraph (i)(2) of this section. iv) The program participant's lease must not condition the term of occupancy to the provision of rental assistance payments. If the program participant is determined ineligible or reaches the maximum number of months over which rental assistance can be provided, the Recipient or Subrecipient must suspend or terminate the rental assistance payments for the unit. If the payments are suspended, the individual or family may remain in the assisted unit as permitted under the lease, and the Recipient or Subrecipient may resume payments if the individual or family again becomes eligible and needs further rental assistance. If the payments are terminated, the rental assistance may be transferred to another available unit in the same building, provided that the other unit meets all ESG requirements. v) The rental assistance agreement must have an initial term of one year. When a new program participant moves into an assisted unit, the term of the rental assistance agreement may be extended to cover the initial term of the program participant's lease. If the program participant's lease is renewed, the rental assistance agreement may be renewed or extended, as DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 22 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities needed, up to the maximum number of months for which the program participant remains eligible. However, under no circumstances may the Recipient or Subrecipient commit ESG funds to be expended beyond the expenditure deadline in 24 CFR 576.203 or commit funds for a future ESG grant before the grant is awarded. j) Changes in household composition. The limits on the assistance under this section apply to the total assistance an individual receives, either as an individual or as part of a family. 5) Additional Requirements for Homelessness Prevention and Rapid Re-Housing. a) Evaluation of program participant eligibility and needs. i) Evaluations. The Recipient or its Subrecipient must conduct an initial evaluation to determine the eligibility of each individual or family's eligibility for ESG assistance and the amount and types of assistance the individual or family needs to regain stability in permanent housing. These evaluations must be conducted in accordance with the centralized or coordinated assessment requirements set forth under 24 CFR 576.400(d) and the written standards established under 24 CFR 576.400(e). b) Re-evaluations for homelessness prevention and rapid re-housing assistance. i) The Recipient or Subrecipient must re-evaluate the program participant's eligibility and the types and amounts of assistance the program participant needs not less than once every 3 months for program participants receiving homelessness prevention assistance, and not less than once annually for program participants receiving rapid re-housing assistance. At a minimum, each re-evaluation of eligibility must establish that: (1) The program participant does not have an annual income that exceeds 30 percent of median family income for the area, as determined by HUD; and (2) The program participant lacks sufficient resources and support networks necessary to retain housing without ESG assistance. ii) The Recipient or Subrecipient may require each program participant receiving homelessness prevention or rapid re-housing assistance to notify the Recipient or Subrecipient regarding changes in the program participant's income or other circumstances (e.g., changes in household composition) that affect the program participant's need for assistance under ESG. When notified of a relevant change, the Recipient or Subrecipient must re-evaluate the program participant's eligibility and the amount and types of assistance the program participant needs. c) Annual income documentation for Homelessness Prevention and Rapid Re-Housing. i) For each program participant who receives rapid re-housing assistance for longer than one year or homelessness prevention assistance, the following documentation of annual income must be maintained (24 CFR 24 CFR576.500(f)): ii) Income evaluation form containing the minimum requirements specified by HUD and completed by the Recipient or Subrecipient iii) Source documents for the assets held by the program participant and income received over the most recent period for which representative data is available before the date of the DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 23 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities evaluation (e.g., wage statement, public benefits statement) iv) To the extent that source documents are unobtainable, a written statement by the relevant third party (e.g., employer, government benefits administrator) or written certification by the grantee’s intake staff of the oral verification by the relevant third party of the income the program participant received over the most recent period for which representative data is available v) To the extent that source documents and third party verification are unobtainable, the written certification by the program participant of the amount of income the program participant received for the most recent period representative of the income that the program participant is reasonably expected to receive over the three-month period following the evaluation. vi) When determining the annual income of an individual or family, the Recipient or Subrecipient must use the standard for calculating annual income under 24 CFR 5.609. d) Fair Market Rent. i) ESG programs must comply with habitability and Fair Market Rent (FMR) standards set by HUD, as applicable based on program type. These standards help to ensure that permanent housing and emergency shelters are safe for participants to stay in, and also ensure that costs for rental assistance are reasonable so that the highest number of participants can be served with available funding. Rental assistance as part of the Rapid Re-Housing or Homelessness Prevention program components must not exceed the FMR standards as set by HUD for an area, as provided under 24 CFR part 888, and complies with HUD's standard of rent reasonableness, as established under 24 CFR 982.507. FMR set by HUD can be found here: https://www.huduser.gov/portal/datasets/fmr.html. These rules apply regardless of whether a household is seeking to maintain its current housing (Homelessness Prevention), or if the household is exiting homelessness into new housing (Rapid Re-Housing). For purposes of calculating rent under this section, the rent shall equal the sum of the total monthly rent for the unit, any fees required for occupancy under the lease (other than late fees and pet fees) and, if the tenant pays separately for utilities, the monthly allowance for utilities (excluding telephone) established by the public housing authority for the area in which the housing is located. e) Habitability standards. The ESG Program Interim Rule establishes different habitability standards for emergency shelters and for permanent housing (the Rapid Re-Housing and Homelessness Prevention components). i) Permanent housing standards. (1) The Subrecipient cannot use ESG funds to help a program participant remain in or move into housing that does not meet the minimum habitability standards under 24 CFR 576.403(c). This restriction applies to all activities under the Homelessness Prevention and Rapid Re-housing components. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 24 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities (2) All Subrecipients must document compliance with habitability standards found below, as outlined in 24 CFR 576: (a) Structure and materials. The structures must be structurally sound to protect residents from the elements and not pose any threat to the health and safety of the residents. (b) Space and security. Each resident must be provided adequate space and security for themselves and their belongings. Each resident must be provided an acceptable place to sleep. (c) Interior air quality. Each room or space must have a natural or mechanical means of ventilation. The interior air must be free of pollutants at a level that might threaten or harm the health of residents. (d) Water supply. The water supply must be free from contamination. (e) Sanitary facilities. Residents must have access to sufficient sanitary facilities that are in proper operating condition, are private, and are adequate for personal cleanliness and the disposal of human waste. (f) Thermal environment. The housing must have any necessary heating/cooling facilities in proper operating condition. (g) Illumination and electricity. The structure must have adequate natural or artificial illumination to permit normal indoor activities and support health and safety. There must be sufficient electrical sources to permit the safe use of electrical appliances in the structure. (h) Food preparation. All food preparation areas must contain suitable space and equipment to store, prepare, and serve food in a safe and sanitary manner. (i) Sanitary conditions. The housing must be maintained in a sanitary condition. (j) Fire safety. There must be a second means of exiting the building in the event of fire or other emergency. Each unit must include at least one battery-operated or hard- wired smoke detector, in proper working condition, on each occupied level of the unit. Smoke detectors must be located, to the extent practicable, in a hallway adjacent to a bedroom. If the unit is occupied by hearing impaired persons, smoke detectors must have an alarm system designed for hearing-impaired persons in each bedroom occupied by a hearing-impaired person. The public areas of all housing must be equipped with a sufficient number, but not less than one for each area, of battery- operated or hard-wired smoke detectors. Public areas include, but are not limited to, laundry rooms, community rooms, day care centers, hallways, stairwells, and other common areas. f) Housing stability case management. i) While providing homelessness prevention or rapid re-housing assistance to a program participant, the Recipient or Subrecipient must: (1) Require the program participant to meet with a case manager not less than once per month to assist the program participant in ensuring long-term housing stability; and (2) Develop a plan to assist the program participant to retain permanent housing after the ESG assistance ends, taking into account all relevant considerations, such as the program participant's current or expected income and expenses; other public or private assistance for which the program participant will be eligible and likely to receive; and the relative affordability of available housing in the area. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 25 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities The Recipient or Subrecipient is exempt from the requirement of this section if the Violence Against Women Act of 1994 (42 U.S.C. 13701 et seq.) or the Family Violence Prevention and Services Act (42 U.S.C. 10401 et seq.) prohibits that Recipient or Subrecipient from making its shelter or housing conditional on the participant's acceptance of services. Homeless Management Information Systems (HMIS) or Comparable Database. ESG Funds may be used for the costs of contributing to the required databases. Subrecipients who are not serving victims of domestic violence must use the Colorado HMIS. Subrecipients serving victims of domestic violence must use CAFÉ, Colorado’s ESG Comparable Database. Activities funded under this section must comply with HUD's standards on participation, data collection, and reporting under a local HMIS, including activities funded for victims service providers using CAFE. The Subrecipient may use ESG funds to pay the costs of contributing data to the HMIS designated by the CoC for the area, or CAFÉ, including the costs of: 1) Purchasing or leasing computer hardware; 2) Purchasing software or software licenses; 3) Purchasing or leasing equipment, including telephones, fax machines, and furniture; 4) Obtaining technical support; 5) Leasing office space; 6) Paying charges for electricity, gas, water, phone service, and high-speed data transmission necessary to operate or contribute data to the HMIS; 7) Paying salaries for operating HMIS, including: a) Completing data entry; b) Monitoring and reviewing data quality; c) Completing data analysis; d) Reporting to the HMIS Lead; e) Training staff on using the HMIS or comparable database; and f) Implementing and complying with HMIS requirements; g) Paying costs of staff to travel to and attend HUD-sponsored and HUD-approved training on HMIS and programs authorized by Title IV of the McKinney-Vento Homeless Assistance Act; h) Paying staff travel costs to conduct intake; and i) Paying participation fees charged by the HMIS Lead, if the Recipient or Subrecipient is not the HMIS Lead. The HMIS Lead is the entity designated by the CoC to operate the area's HMIS. 8) If the Subrecipient is the HMIS Lead agency, as designated by the CoC in the most recent fiscal year CoC Homeless Assistance Grants Competition, it may also use ESG funds to pay the costs of: a) Hosting and maintaining HMIS software or data; b) Backing up, recovering, or repairing HMIS software or data; c) Upgrading, customizing, and enhancing the HMIS; d) Integrating and warehousing data, including development of a data warehouse for use in aggregating data from Subrecipients using multiple software systems; e) Administering the system; f) Reporting to providers, the CoC, and HUD; and g) Conducting training on using the system or a comparable database, including traveling to the training. 9) If the Subrecipient is a victim service provider or a legal services provider, it may use ESG funds to establish and operate a comparable database that collects client-level data over time (i.e., longitudinal data) and generates unduplicated aggregate reports based on the data. Information entered into a comparable database must not be entered directly into or provided to an HMIS. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 26 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities Administration. ESG funds may be used to cover the cost of overall program management, coordination, monitoring and evaluation. This does not include staff and overhead costs directly related to carrying out activities eligible described because those costs are eligible as part of those activities. Eligible administrative costs include: 1) General management, oversight and coordination. Costs of overall program management, coordination, monitoring, and evaluation. These costs include, but are not limited to, necessary expenditures for the following: a) Salaries, wages, and related costs of the Recipient's staff, the staff of Subrecipients, or other staff engaged in program administration. In charging costs to this category, the Recipient may either include the entire salary, wages, and related costs allocable to the program of each person whose primary responsibilities with regard to the program involve program administration assignments, or the pro rata share of the salary, wages, and related costs of each person whose job includes any program administration assignments. The Recipient may use only one of these methods for each fiscal year grant. Program administration assignments include the following: i) Preparing program budgets and schedules, and amendments to those budgets and schedules; ii) Developing systems for assuring compliance with program requirements; iii) Developing interagency agreements and agreements with Subrecipients and contractors to carry out program activities; iv) Monitoring program activities for progress and compliance with program requirements; v) Preparing reports and other documents directly related to the program for submission to HUD; vi) Coordinating the resolution of audit and monitoring findings; vii) Evaluating program results against stated objectives; and viii) Managing or supervising persons whose primary responsibilities with regard to the program include such assignments as those described in paragraph (a)(1)(i)(A) through (G) of this section. b) Travel costs incurred for monitoring of Subrecipients; c) Administrative services performed under third-party contracts or agreements, including general legal services, accounting services, and audit services; and d) Other costs for goods and services required for administration of the program, including rental or purchase of equipment, insurance, utilities, office supplies, and rental and maintenance (but not purchase) of office space. 2) Training on ESG requirements. Costs of providing training on ESG requirements and attending HUD-sponsored ESG trainings. 3) Consolidated plan. Costs of preparing and amending the ESG and homelessness-related sections of the consolidated plan in accordance with ESG requirements and 24 CFR part 91. 4) Environmental review. Costs of carrying out the environmental review responsibilities under 24 CFR 576.407. Connecting Program Participants to Mainstream and Other Resources. ESG Subrecipients must assist each program participant, as needed, to obtain: DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 27 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities 1) Appropriate supportive services, including assistance in obtaining permanent hou sing, medical health treatment, mental health treatment, counseling, supervision, and other services essential for achieving independent living; and 2) Other Federal, State, local, and private assistance available to assist the program participant in obtaining housing stability, including: a) Medicaid (42 CFR chapter IV, subchapter C): b) Supplemental Nutrition Assistance Program (7 CFR parts 271-283); c) Women, Infants and Children (WIC) (7 CFR part 246); d) Federal-State Unemployment Insurance Program (20 CFR parts 601-603, 606, 609, 614-617, 625, 640, 650); e) Social Security Disability Insurance (SSDI) (20 CFR part 404); f) Supplemental Security Income (SSI) (20 CFR part 416); g) Child and Adult Care Food Program (42 U.S.C. 1766(t) (7 CFR part 226)); h) Other assistance available under the programs listed in 24 CFR 576.400(c). Indirect Costs. ESG grant funds may be used to pay indirect costs in accordance with 2 CFR part 200, subpart E. Indirect costs may be allocated to each eligible activity under 24 CFR 576.101 through 24 CFR 576.108, so long as that allocation is consistent with 2 CFR part 200, subpart E. The indirect costs charged to an activity subject to an expenditure limit under 24 CFR 576.100 must be added to the direct costs charged for that activity when determining the total costs subject to the expenditure limit. Ineligible ESG Activities Transitional Housing HUD has dictated that Transitional Housing programs are not eligible under ESG. Transitional Housing differs from Emergency Shelter in multiple ways. Unlike some Transitional Housing programs, Emergency Shelter programs have no limit on a Participant’s length of stay, are focused on providing temporary shelter for persons experiencing literal homelessness, and are primarily focused on exiting them to permanent housing. Emergency Shelters must not require participants to sign any type of lease or occupancy agreements to access shelter. Additionally, Emergency Shelters must not charge rent. Transitional Housing differs from Rapid Re-housing in multiple ways, as well. Unlike some Transitional Housing programs, Rapid Re-housing programs are centered around Housing First and the understanding that individuals are immediately “ready” for housing (i.e., they must not meet additional expectations or prerequisites first), offer low-barrier programming, and are immediately focused on permanent housing solutions. Rapid Re-housing also requires a lease between the Participant and the landlord. New Property Acquisition and New Construction Property acquisition and new construction are not eligible ESG activities. For renovation costs, a building must already be owned by a governmental entity or a private nonprofit organization, and if funds are used for renovation the shelter must serve persons experiencing homelessness for 3 to 10 years, depending on the type of renovation and value of the building. Ineligible Population Types In order to be eligible for ESG programs, persons must meet the eligibility criteria (outlined in Section 5.1) set by HUD for each program type. In general, participants must be experiencing literal homelessness or at imminent risk of homelessness to qualify for ESG programs. This includes having supportive documentation that can verify eligibility, which is outlined in more detail in Section 5.1. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 28 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities HMIS Ineligible Activities While ESG Subrecipients are required to enter data into HMIS, there are some HMIS activities that are ineligible and/or restricted, including: 1) Victim Service Providers using a comparable database must not be required to enter data into HMIS. This is to protect the identity of persons fleeing domestic violence who may be served through programs that receive ESG funding. (Instead, Victim Service Providers must enter into CAFÉ, DOH’s required ESG comparable database.) 2) HMIS Leads are the only entities able to apply HMIS funds to the areas listed below. Non-HMIS Leads may apply only for the other eligible HMIS activities, sound in 24 CFR 576.107(a)(1) and (a)(3).  System administration costs  Upkeep and maintenance of the HMIS system  Backing up and/or repairing software  Upgrading/enhancing software  Costs associated with reporting to HUD, CoCs, and providers  Conducting trainings on HMIS DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 29 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities Section 4: Five Year Consolidated Plan, Annual Action Plan, and Consolidated Annual Performance and Evaluation Report The State of Colorado receives ESG and other formula grants (Community Development Block Grant or CDBG, Housing for Persons with Aids or HOPWA, etc.) from HUD. In order to receive such funds, the State is required to prepare and submit a five-year Consolidated Plan (Con Plan) and a yearly Annual Action Plan. The State must submit the Con Plan or Annual Action Plan to the local HUD office no later than 45 days before the start of the State’s program year. After the State submits the appropriate plan to HUD, HUD approves (or disapproves) the plan. Once the plan is approved, HUD and the State execute a grant agreement. At the end of every program year, the State submits a Consolidated Annual Performance and Evaluation Report (CAPER), which is also required by HUD. The Con Plan includes analyses, needs, priorities, goals, and other information around community development, affordable housing, homelessness, and additional community conditions. It specifies the State’s plans for non-federal and federal resources, including ESG. The Con Plan is carried out through a yearly Annual Action Plan, which summarizes actions, activities, and resources to be used that year to address the Con Plan’s priorities and goals. Both Con Plan and Annual Action Plan preparation, including ESG plans, must include public participation and consultation. The State reports on accomplishments and progress toward the Con Plan in the CAPER. ESG is a component of the Con Plan, Annual Action Plan, and CAPER. For example, the plans and/or CAPER describe ESG program activities and projects, people assisted through ESG, homelessness and housing needs, available resources, program consultation and participation (e.g., with local CoCs and people experiencing homelessness), program performance standards, HMIS policies and procedures, processes for the Recipient’s awards to Subrecipients, monitoring standards, program expenditures, and other related information. ESG Methods of Distribution. ESG methods of distribution refers to how OHI identifies and awards funding to ESG Subrecipients. After HUD awards DOH ESG funds, DOH has the authority to obligate funds to ESG-eligible non-profits, CoCs, and local governments. DOH and OHI adhere to the ESG methods of distribution set forth in the State’s Annual Action Plan, which can be found on DOLA’s website. Within the Annual Action Plan’s established methods of distribution, OHI awards ESG on a competitive basis. OHI releases an ESG Notice of Funding Availability (NOFA) or Request for Proposal (RFP), which establishes NOFA or RFP goals, eligibility criteria, and additional information. OHI distributes the NOFA or RFP to current Subrecipients, local CoC leadership, DOH newsletters, OHI website visitors, and other partners. With a commitment to racial, ethnic, geographic, health, and other equity, OHI is in the process of (a) assessing NOFA or RFP content and processes and (b) identifying additional ESG partners and potential Subrecipients. To advance equity and inclusion across the State, OHI is locating and communicating with organizations, community groups, and community leaders to disseminate ESG information and inform funding processes; establishing mechanisms to increase awareness of ESG funding opportunities throughout the State; and adjusting the NOFA or RFP to reflect low-barrier practices and guidelines. After receiving ESG applications, an ESG review committee screens the applications for eligibility criteria. Then, the committee begins an application scoring process, through which individual committee members score applications and the collective group reviews individual scores. The scoring process DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 30 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities emphasizes an applicant’s ability to advance ESG goals and OHI’s mission: “to work with community partners to create a robust continuum of efficient and effective solutions that reduce and prevent instances of homelessness and ensure that every Coloradan has a safe place to call home.” Additionally, it accounts for the purpose of the NOFA or RFP and the current landscape of service provision, homelessness, and community circumstances. When significant discrepancies occur between individual scores and/or when the committee is deciding between two or more applications, the committee engages in additional dialogue and assessment. OHI will continuously assess its application and review process to mitigate individual and organizational biases; advance racial, ethnic, and geographic equity; and elevate input from community members with lived experiences of homelessness, housing crises, service provision, and other expertise. OHI will regularly update this section of policies and procedures to reflect current practices. Current processes are listed below: 1) DOH prepares the Con Plan or Annual Action Plan updates, including extensive external and internal communication and stakeholder engagement. 2) HUD reviews and approves or denies the Con Plan or Annual Action Plan. As is necessary, HUD offers suggestions and comments prior to the approval (or disapproval). Once approved by HUD, a grant agreement is executed between HUD and DOLA. 3) DOH releases applications through the competitive grant process and OHI hosts and records a webinar and/or disseminates funding information via other communications, including the DOH list serve, and posts the webinar and other information on the DOH web pages. 4) DOH receives applications and reviews them for threshold requirements, such as completeness and ESG eligibility. DOH evaluates applications on the basis of performance measures, data provided, connection to best practices, and other topics or preferences noted in the application. a) The review committee, which consists of Homeless Program Specialists and other DOH members (at a minimum), consults with the CoCs to ensure alignment with local priorities. b) DOH staff draft an award summary and funding recommendations, and present to DOLA Executive Director and DOH leadership. c) DOH sends ESG award letters sent to the awarded applicants, which serves as official notification of obligation of funding, but does not constitute an executed grant agreement. 5) DOH drafts ESG grant agreements and routes them through DOLA for approval and execution, at which point costs may be allocated to the grant according to allowable activities. 6) OHI assigns at least one Homeless Program Specialist to each grant agreement and the Homeless Program Specialist maintains communication with each Subrecipient, including through ongoing and formal monitoring of ESG projects. 7) If the Subrecipient is a Fiscal Agent and plans to pass DOH ESG funds through to another organization, they have 120 days from the date when they receive the DOH ESG award letter in which to make such obligations official through award letters or official notices to their Sub- Subrecipients. This process must include procurement processes that match the State and Federal procurement regulations. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 31 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities Section 5: ESG Recording Keeping Requirements Record Keeping Requirements. Subrecipients must comply with 24 CFR 576.500 recordkeeping and reporting requirements, including (a) establishing written policies and procedures to ensure the requirements are met and (b) maintaining sufficient records that demonstrate the policies and procedures are in place and executed. Minimum expectations of content covered in DOH’s Subrecipient written policies and procedures include as applicable: 1) Documentation of Homeless Status. The Subrecipient must document the eligibility of all ESG program participants and those who are ineligible. The Subrecipient must maintain and follow written intake procedures to ensure compliance with the homeless definition found in 24 CFR576.2. The written procedures must require documentation at intake. The required and acceptable types of documentation depend on the circumstance, found in 24 CFR 576.500(b) and 24 CFR 576.500(c). To obtain evidence of homeless status, Subrecipients must follow the order of priority below. This priority must be established in written procedures. Order of Priority to Obtain Evidence of Homeless Status 1 Third-party documentation, which can include HMIS or comparable database records and written referrals 2 Intake worker observations 3 Certification from persons seeking assistance a) Lack of third-party documentation must not prevent an individual or family from being immediately admitted to emergency shelter, receiving street outreach services, or being immediately admitted to shelter or receiving services provided by a victim service provider. Records contained in an HMIS or comparable database used by victim service or legal service providers are acceptable evidence of third-party documentation and intake worker observations if the HMIS retains an auditable history of all entries, including the person who entered the data, the date of entry, and the change made; and if the HMIS prevents overrides or changes of the dates on which entries are made. b) Subrecipients are required to document eligibility at program entry, including emergency shelters. However, HUD recognizes that third-party documentation at the emergency shelter level is not feasible in all cases. For shelters where program participants may stay only one night and must leave in the morning, documentation must be obtained each night. If program participants may stay more than one night, then documentation must be obtained on the first night the household stays in the shelter. c) Subrecipients operating emergency shelters can document homeless status through a certification by the individual or head of household as the primary method of establishing homeless eligibility. In these instances, one method of meeting this standard would be to require households to complete a sign-in sheet, with a statement at the top informing the individual or head of household that by signing, they certify that they are homeless. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 32 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities d) Determinations of ineligibility. For each individual and family determined ineligible to receive ESG assistance, the Subrecipient’s record must include documentation of the reason for that determination. 2) Eligible ESG Participants. Subrecipients shall ensure that all ESG Participants are eligible for receiving the services as defined in 24 CFR Part 576. Different ESG components have different eligibility requirements, but all ESG Participants must be “at-risk of homelessness” or “homeless” as defined below: a) At risk of homelessness means: i) An individual or family who: (1) Has an annual income below 30 percent of median family income for the area, as determined by HUD; (2) Does not have sufficient resources or support networks (e.g., family, friends, faith-based or other social networks), immediately available to prevent them from moving to an emergency shelter or another place described in paragraph (1) of the “homeless” definition in this section and; (3) Meets one of the following conditions: (a) Has moved because of economic reasons two or more times during the 60 days immediately preceding the application for homelessness prevention assistance; (b) Is living in the home of another because of economic hardship; (c) Has been notified in writing that their right to occupy their current housing or living situation will be terminated within 21 days after the date of application for assistance; (d) Lives in a hotel or motel and the cost of the hotel or motel stay is not paid by charitable organizations or by Federal, State, or local government programs for low- income individuals; (e) Lives in a single-room occupancy or efficiency apartment unit in which there reside more than two persons or lives in a larger housing unit in which there reside more than 1.5 persons reside per room, as defined by the U.S. Census Bureau; (f) Is exiting a publicly funded institution, or system of care (such as a health-care facility, a mental health facility, foster care or other youth facility, or correction program or institution); or (g) Otherwise lives in housing that has characteristics associated with instability and an increased risk of homelessness, as identified in the Recipient's approved consolidated plan; ii) A child or youth who does not qualify as “homeless” under this section, but qualifies as “homeless” under section 387(3) of the Runaway and Homeless Youth Act (42 U.S.C. 5732a(3)), section 637(11) of the Head Start Act (42 U.S.C. 9832(11)), section 41403(6) of the Violence Against Women Act of 1994 (42 U.S.C. 14043e-2(6)), section 330(h)(5)(A) of the Public Health Service Act (42 U.S.C. 254b(h)(5)(A)), section 3(m) of the Food and Nutrition Act of 2008 (7 U.S.C. 2012(m)), or section 17(b)(15) of the Child Nutrition Act of DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 33 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities 1966 (42 U.S.C. 1786(b)(15)); or iii) A child or youth who does not qualify as “homeless” under this section, but qualifies as “homeless” under section 725(2) of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11434a(2)), and the parent(s) or guardian(s) of that child or youth if living with her or him. b) Homeless means: i) Category 1: An individual or family who lacks a fixed, regular, and adequate nighttime residence, meaning: (1) An individual or family with a primary nighttime residence that is a public or private place not designed for or ordinarily used as a regular sleeping accommodation for human beings, including a car, park, abandoned building, bus or train station, airport, or camping ground; (2) An individual or family living in a supervised publicly or privately operated shelter designated to provide temporary living arrangements (including congregate shelters, transitional housing, and hotels and motels paid for by charitable organizations or by federal, state, or local government programs for low-income individuals); or (3) An individual who is exiting an institution where he or she resided for 90 days or less and who resided in an emergency shelter or place not meant for human habitation immediately before entering that institution; ii) Category 2: An individual or family who will imminently lose their primary nighttime residence, provided that: (1) The primary nighttime residence will be lost within 14 days of the date of application for homeless assistance; (2) No subsequent residence has been identified; and (3) The individual or family lacks the resources or support networks (e.g., family, friends, faith-based or other social networks), needed to obtain other permanent housing; iii) Category 3: Unaccompanied youth under 25 years of age, or families with children and youth, who do not otherwise qualify as homeless under this definition, but who: (1) Are defined as homeless under section 387 of the Runaway and Homeless Youth Act (42 U.S.C. 5732a), section 637 of the Head Start Act (42 U.S.C. 9832), section 41403 of the Violence Against Women Act of 1994 (42 U.S.C. 14043e-2), section 330(h) of the Public Health Service Act (42 U.S.C. 254b(h)), section 3 of the Food and Nutrition Act of 2008 (7 U.S.C. 2012), section 17(b) of the Child Nutrition Act of 1966 (42 U.S.C. 1786(b)) or section 725 of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11434a); (2) Have not had a lease, ownership interest, or occupancy agreement in permanent housing at any time during the 60 days immediately preceding the date of application for homeless assistance; (3) Have experienced persistent instability as measured by two moves or more during the 60- day period immediately preceding the date of applying for homeless assistance; and DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 34 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities (4) Can be expected to continue in such status for an extended period of time because of chronic disabilities, chronic physical health or mental health conditions, substance addiction, histories of domestic violence or childhood abuse (including neglect), the presence of a child or youth with a disability, or two or more barriers to employment, which include the lack of a high school degree or General Education Development (GED), illiteracy, low English proficiency, a history of incarceration or detention for criminal activity, and a history of unstable employment; or iv) Category 4: Any individual or family who: (1) Is fleeing, or is attempting to flee, domestic violence, dating violence, sexual assault, stalking, or other dangerous or life-threatening conditions that relate to violence against the individual or a family member, including a child, that has either taken place within the individual's or family's primary nighttime residence or has made the individual or family afraid to return to their primary nighttime residence; (2) Has no other residence; and (3) Lacks the resources or support networks, e.g., family, friends, faith-based or other social networks, to obtain other permanent housing. 3) Eligible Participants by Component. a) Emergency Shelter. Participants accessing Emergency Shelter must be experiencing literal homelessness under at least one of the following: i) Category 1 ii) Category 2 iii) Category 3 iv) Category 4 b) Street Outreach. Participants accessing emergency shelter or engaging with street outreach providers must be experiencing literal homelessness under at least one of the following: i) Category 1 ii) Category 4 AND must be living on the streets (or other places not meant for human habitation) and be unwilling or unable to access services in emergency shelter c) Homelessness Prevention. To qualify for homeless prevention assistance, participants must be at imminent risk of homelessness under at least one of the following: i) Category 2 AND is below 30% Area Median Income ii) Category 3 AND is below 30% Area Median Income iii) Category 4 AND is below 30% Area Median Income iv) At-risk of homelessness d) Rapid Re-Housing (RRH). To qualify for ESG RRH, participants must be currently homeless under at least one of the following: i) Category 1 ii) Category 4 AND the participant also lives in an emergency shelter or other place described in Section 4: 3(i)(1) of this document DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 35 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities 4) Documentation Requirement for the Categories of Homelessness and At-Risk of Homelessness: a) Category 1 Documentation. i) If the individual or family qualifies as homeless under Category 1 (i) or (ii) of this document (which corresponds with paragraph (1)(i) or (ii) of the homeless definition in 24 CFR 576.2), acceptable evidence includes a written observation by an outreach worker of the conditions where the individual or family was living, a written referral by another housing or service provider, or a certification by the individual or head of household seeking assistance. ii) If the individual qualifies as homeless under Category 1(iii) meaning they are existing an institution (which corresponds to paragraph (1)(iii) of the homeless definition in 24 CFR 576.2), because he or she resided in an emergency shelter or place not meant for human habitation and is exiting an institution where he or she resided for 90 days or less, acceptable evidence includes the evidence described in section (e)(i)(1) above and one of the following: (1) Discharge paperwork or a written or oral referral from a social worker, case manager, or other appropriate official of the institution, stating the beginning and end dates of the time residing in the institution. All oral statements must be recorded by the intake worker; or (2) Where that is not obtainable, a written record of the intake worker's due diligence in attempting to obtain the evidence described in section (e)(i)(1) of this document and a certification by the individual seeking assistance that states he or she is exiting or has just exited an institution where he or she resided for 90 days or less. b) Category 2 Documentation. i) If the individual or family qualifies as homeless under Category 2 (which corresponds to paragraph (2) of the homeless definition in 24 CFR 576.2), because the individual or family will imminently lose their housing, the evidence must include: (1) Either: (a) A court order resulting from an eviction action that requires the individual or family to leave their residence within 14 days after the date of their application for homeless assistance; or the equivalent notice under applicable state law, a Notice to Quit, or a Notice to Terminate issued under state law; (b) For individuals and families whose primary nighttime residence is a hotel or motel room not paid for by charitable organizations or federal, state, or local government programs for low-income individuals, evidence that the individual or family lacks the resources necessary to reside there for more than 14 days after the date of application for homeless assistance; or (c) An oral statement by the individual or head of household that the owner or renter of the housing in which they currently reside will not allow them to stay for more than DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 36 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities 14 days after the date of application for homeless assistance. The intake worker must record the statement and certify that it was found credible. To be found credible, the oral statement must either: (I) be verified by the owner or renter of the housing in which the individual or family resides at the time of application for homeless assistance and documented by a written certification by the owner or renter or by the intake worker's recording of the owner or renter's oral statement; or (II) if the intake worker is unable to contact the owner or renter, be documented by a written certification by the intake worker of his or her due diligence in attempting to obtain the owner or renter's verification and the written certification by the individual or head of household seeking assistance that his or her statement was true and complete; (2) Certification by the individual or head of household that no subsequent residence has been identified; and (3) Certification or other written documentation that the individual or family lacks the resources and support networks needed to obtain other permanent housing. c) Category 3 Documentation. i) If the individual or family qualifies as homeless under Category 3 (which corresponds to paragraph (3) of the homeless definition in 24 CFR 576.2), because the individual or family does not otherwise qualify as homeless under the homeless definition but is an unaccompanied youth under 25 years of age, or homeless family with one or more children or youth, and is defined as homeless under another Federal statute or section 725(2) of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11434a(2)), the evidence must include: (1) For Category 3(i), certification of homeless status by the local private nonprofit organization or state or local governmental entity responsible for administering assistance under the Runaway and Homeless Youth Act (42 U.S.C. 5701 et seq.), the Head Start Act (42 U.S.C. 9831 et seq.), subtitle N of the Violence Against Women Act of 1994 (42 U.S.C. 14043e et seq.), section 330 of the Public Health Service Act (42 U.S.C. 254b), the Food and Nutrition Act of 2008 (7 U.S.C. 2011 et seq.), section 17 of the Child Nutrition Act of 1966 (42 U.S.C. 1786), or subtitle B of title VII of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11431 et seq.), as applicable; (2) For Category 3 (ii), referral by a housing or service provider, written observation by an outreach worker, or certification by the homeless individual or head of household seeking assistance; (3) For Category 3 (iii), certification by the individual or head of household and any available supporting documentation that the individual or family moved two or more times during the 60-day period immediately preceding the date of application for homeless assistance, including: recorded statements or records obtained from each owner or renter of housing, provider of shelter or housing, or social worker, case worker, or other appropriate official of a hospital or institution in which the individual or family DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 37 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities resided; or, where these statements or records are unobtainable, a written record of the intake worker's due diligence in attempting to obtain these statements or records. Where a move was due to the individual or family fleeing domestic violence, dating violence, sexual assault, or stalking, then the intake worker may alternatively obtain a written certification from the individual or head of household seeking assistance that they were fleeing that situation and that they resided at that address; and (4) For Category 3 (iv), written diagnosis from a professional who is licensed by the state to diagnose and treat that condition (or intake staff-recorded observation of disability that within 45 days of date of the application for assistance is confirmed by a professional who is licensed by the state to diagnose and treat that condition); employment records; department of corrections records; literacy, English proficiency tests; or other reasonable documentation of the conditions required under Category 3. d) Category 4 Documentation. i) If the individual or family qualifies under Category 4 (which corresponds to paragraph (4) of the homeless definition in 24 CFR 576.2), because the individual or family is fleeing domestic violence, dating violence, sexual assault, stalking, or other dangerous or life- threatening conditions related to violence, then acceptable evidence includes an oral statement by the individual or head of household seeking assistance that they are fleeing that situation, that no subsequent residence has been identified and that they lack the resources or support networks (e.g., family, friends, faith-based or other social networks) needed to obtain other housing. If the individual or family is receiving shelter or services provided by a victim service provider, the oral statement must be documented by either a certification by the individual or head of household; or a certification by the intake worker. Otherwise, the oral statement that the individual or head of household seeking assistance has not identified a subsequent residence and lacks the resources or support networks (e.g., family, friends, faith- based or other social networks), needed to obtain housing must be documented by a certification by the individual or head of household that the oral statement is true and complete, and, where the safety of the individual or family would not be jeopardized, the domestic violence, dating violence, sexual assault, stalking, or other dangerous or life- threatening condition must be verified by a written observation by the intake worker or a written referral by a housing or service provider, social worker, legal assistance provider, health-care provider, law enforcement agency, legal assistance provider, pastoral counselor, or any other organization from whom the individual or head of household has sought assistance for domestic violence, dating violence, sexual assault, or stalking. The written referral or observation need only include the minimum amount of information necessary to document that the individual or family is fleeing, or attempting to flee domestic violence, dating violence, sexual assault, and stalking. e) At-Risk of Homelessness Documentation. i) For each individual or family who receives ESG homelessness prevention assistance, the records must include the evidence relied upon to establish and verify the individual or family's “at risk of homelessness” status. This evidence must include an intake and DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 38 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities certification form that meets HUD specifications and is completed by the Recipient or Subrecipient. The evidence must also include: ii) If the program participant meets the criteria under the ESG Eligible Participants header, section (a)(i) of this document (which corresponds to paragraph (1) of the “at risk of homelessness” definition in 24 CFR 576.2): (1) The documentation specified under this section for determining annual income; (2) The program participant's certification on a form specified by HUD that the program participant has insufficient financial resources and support networks; e.g., family, friends, faith-based or other social networks, immediately available to attain housing stability and meets one or more of the conditions under the ESG Eligible Participants header, section (a)(i)(3) of this document (which corresponds to paragraph (1)(iii) of the “at risk of homelessness” definition in 24 CFR 576.2) (3) The most reliable evidence available to show that the program participant does not have sufficient resources or support networks; e.g., family, friends, faith-based or other social networks, immediately available to prevent them from moving to an emergency shelter or another place described in paragraph (1) of the “homeless” definition. Acceptable evidence includes: (a) Source documents (e.g., notice of termination from employment, unemployment compensation statement, bank statement, health-care bill showing arrears, utility bill showing arrears); (b) To the extent that source documents are unobtainable, a written statement by the relevant third party (e.g., former employer, public administrator, relative) or the written certification by the Recipient's or Subrecipient's intake staff of the oral verification by the relevant third party that the applicant meets one or both of the criteria under the ESG Eligible Participants header, section (a)(ii) of this document (which corresponds to paragraph (1)(ii) of the “at risk of homelessness” definition in 24 CFR 576.2) (c) To the extent that source documents and third-party verification are unobtainable, a written statement by the Recipient's or Subrecipient's intake staff describing the efforts taken to obtain the required evidence; and (4) The most reliable evidence available to show that the program participant meets one or more of the conditions under the ESG Eligible Participants header, section (a)(i)(3) of this document (which corresponds to paragraph (1)(iii) of the “at risk of homelessness” definition in 24 CFR 576.2) Acceptable evidence includes: (a) Source documents that evidence one or more of the conditions under paragraph (1)(iii) of the definition (e.g., eviction notice, notice of termination from DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 39 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities employment, bank statement); (b) To the extent that source documents are unobtainable, a written statement by the relevant third party (e.g., former employer, owner, primary leaseholder, public administrator, hotel or motel manager) or the written certification by the Recipient's or Subrecipient's intake staff of the oral verification by the relevant third party that the applicant meets one or more of the criteria under paragraph (1)(iii) of the definition of “at risk of homelessness”; or (c) To the extent that source documents and third-party verification are unobtainable, a written statement by the Recipient's or Subrecipient's intake staff that the staff person has visited the applicant's residence and determined that the applicant meets one or more of the criteria under paragraph (1)(iii) of the definition or, if a visit is not practicable or relevant to the determination, a written statement by the Recipient's or Subrecipient's intake staff describing the efforts taken to obtain the required evidence; or iii) If the program participant meets the criteria under the ESG Eligible Participants header, section (a)(ii) or (a)(iii) of this document (which corresponds to paragraph (2) and (3) of the “at risk of homelessness” definition in 24 CFR 576.2), certification of the child or youth's homeless status by the agency or organization responsible for administering assistance under the Runaway and Homeless Youth Act (42 U.S.C. 5701 et seq.), the Head Start Act (42 U.S.C. 9831 et seq.), subtitle N of the Violence Against Women Act of 1994 (42 U.S.C. 14043e et seq.), section 330 of the Public Health Service Act (42 U.S.C. 254b), the Food and Nutrition Act of 2008 (7 U.S.C. 2011 et seq.), section 17 of the Child Nutrition Act of 1966 (42 U.S.C. 1786) or subtitle B of title VII of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11431 et seq.), as applicable. 5) Program Participant Records. (24 CFR 24 CFR 576.500(f)). Subrecipients must maintain records for each program participant that document (1) the services and assistance provided to the program participants, such as rental assistance or utility payments, (2) compliance with the applicable requirements for providing services and assistance to the program participant under the program components and eligible activities provisions at 24 CFR 576.101 through 24 CFR 576.106, the provision on determining eligibility and amount and type of assistance at 24 CFR 576.401(a) and (b), and the provision on using appropriate assistance and services at 24 CFR 576.401(d) and (e), and (3) where applicable, compliance with the termination of assistance requirement in 24 CFR 576.402. 6) Centralized or coordinated assessment systems and procedures (24 CFR 24 CFR 576.500(g)). The Recipient and its Subrecipients must keep documentation evidencing the use of, and written intake procedures for, the centralized or coordinated assessment system(s) developed by the CoC in accordance with the requirements established by HUD. 7) Rental assistance agreements and payments (24 CFR 24 CFR 576.500(h)). The Subrecipient’s records must include copies of all leases and rental assistance agreements for the provision of renta l assistance, documentation of payments made to owners for the provision of rental assistance, and supporting documentation for these payments, including dates of occupancy by program participants. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 40 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities 8) Utility allowance (24 CFR 24 CFR 576.500(i)). The records must document the monthly allowance for utilities (excluding telephone) used to determine compliance with the rent restriction. 9) Shelter and housing standards (24 CFR 24 CFR 576.500(j). The records must include documentation of compliance with the shelter and housing standards in 24 CFR 576.403, including inspection reports. 10) Emergency shelter facilities (24 CFR 24 CFR 576.500(k)). The Recipient must keep records of the emergency shelters assisted under the ESG program, including the amount and type of ass istance and, as applicable, documentation of the value of the building before rehabilitation or after conversion and copies of the recorded deed or use restrictions. 11) Services and assistance provided (24 CFR 24 CFR 576.500(l)). The Recipient must keep records of the types of essential services, rental assistance, and housing stabilization and relocation services provided under the Recipient's program and the amounts spent. The Recipient and its Subrecipients that are units of general purpose local government must keep records to demonstrate compliance with the maintenance of effort requirement (e.g., records of their annual budgets and street outreach and emergency shelter services sources of funding). 12) Coordination with Continuum(s) of Care and other programs (24 CFR 24 CFR 576.500(m)). The Recipient and its Subrecipients must document their compliance with the requirements of 24 CFR 576.400 for consulting with the Continuum(s) of Care and coordinating and integrating ESG assistance with programs targeted toward homeless people and mainstream service and assistance programs. 13) HMIS (24 CFR 24 CFR 576.500(n)). The Recipient must keep records of the participation in HMIS or a comparable database by all projects of the Recipient and its Subrecipients. 14) Matching (24 CFR 24 CFR 576.500(o)). The Subrecipient must keep records of the source and use of contributions made to satisfy the matching requirement in 24 CFR 576.201. The records must indicate the fiscal year for which each matching contribution is counted and how the value placed on non-cash contributions was derived. To the extent feasible, volunteer services must be supported by the same methods that the organization uses to support the allocation of regular personnel costs. Time charged to ESG requires the same level of supporting documentation, regardless of whether the time is charged to the grant or claimed as match (e.g., via timesheets and appropriate documentation). Additional guidance on the level of documentation required to show the use of matching funds can be found in 24 CFR 576.201 and 24 CFR 576.500(o). 15) Homeless participation (24 CFR 24 CFR 576.500(q)). The Subrecipient must document compliance with the following requirement (24 CFR 576.405): To the maximum extent practicable, the Subrecipient must involve individuals and families experiencing homelessness in constructing, renovating, maintaining, and operating facilities assisted under ESG, in providing services assisted under ESG, and in providing services for occupants of facilities assisted under ESG. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 41 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities 16) Conflicts of interest (24 CFR 24 CFR 576.500(p)). The Subrecipients must keep records to show compliance with the organizational conflicts-of-interest requirements in 24 CFR 576.404(a), a copy of the personal conflicts of interest policy or codes of conduct developed and implemented to comply with the requirements in 24 CFR 576.404(b), and records supporting exceptions to the 17) Other Federal requirements (24 CFR 24 CFR576.500(s)). The Recipient and its Subrecipients must document their compliance with the Federal requirements in 24 CFR 576.407 and 24 CFR 576.409, as applicable, including record that demonstrate: a) Compliance with the nondiscrimination and equal opportunity and affirmative outreach requirements b) Compliance with the uniform administrative requirements in 2 CFR part 200 c) Compliance with the environmental review requirements d) Certifications and disclosure forms required under the lobbying and disclosure requirements in 24 CFR part 87 e) Data on emergency transfers requested under 24 CFR 576.409, pertaining to victims of domestic violence, dating violence, sexual assault, or stalking, including data on the outcomes of such requests 18) Financial records (24 CFR 24 CFR 576.500(u)). The Recipient and Subrecipient must retain supporting documentation for all costs charged to the ESG grant. Documentation and records must show (a) that ESG grant funds were spent on allowable costs in accordance with eligible activities (24 CFR576.101 through 24 CFR 576.109, financial management in 2 CFR 200.302, and the cost principles in 2 CFR part 200, subpart E), (b) the receipt and use of program income, and (c) compliance with the expenditure limits in 24 CFR 576.100 and expenditure deadline in 24 CFR 576.203. 19) Subrecipients and contractors (24 CFR 24 CFR 576.500(v)). The Recipient must retain copies of solicitations of and agreements with Subrecipients, records of payment requests and dates of payments to Subrecipients, and documentation of all monitoring and sanctions of Subrecipients. As a state, the Recipient must keep records of each recapture and distribution of recaptured funds (24 CFR 576.501). The Recipient and its Subrecipients must retain copies of procurement contracts and documentation of compliance with the procurement requirements in 2 CFR part 200, subpart D. 20) Confidentiality (24 CFR 24 CFR576.500(x)). The Recipient and its Subrecipients must develop, implement, and maintain written procedures to ensure: a) All records containing personally identifying information of any individual or family who applies for and/or receives ESG assistance will be kept secure and confidential b) The address or location of any domestic violence, dating violence, sexual assault, or stalking shelter project assisted under the ESG will not be made public, except with written autho rization of the person responsible for the operation of the shelter c) The address or location of any housing of a program participant will not be made public, except as provided under a preexisting privacy policy of the Recipient or Subrecipient and consistent DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 42 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities with state and local laws regarding privacy and obligations of confidentiality 21) Period of record retention ((24 CFR 24 CFR576.500(y)). All records pertaining to each fiscal year of ESG funds must be retained for the greater of five years or the period specified below. Copies made by microfilming, photocopying, or similar methods may be substituted for the original records. a) Documentation of each program participant's qualification must be retained for 5 years after the expenditure of all funds from the corresponding grant b) Where ESG funds that are used for emergency shelter renovation involves costs charged to the ESG grant that exceed 75% of the building value before renovation, records must be retained until 10 years after the date that ESG funds are first obligated for the renovation c) Where ESG funds are used to convert a building into an emergency shelter and the costs charged to the ESG grant for the conversion exceed 75% of the value of the building after conversion, records must be retained until 10 years after the date that ESG funds are first obligated for the conversion 22) Access to records (24 CFR 24 CFR 576.500(z)). Regarding federal government rights, the Recipient and its Subrecipients must comply with the requirements for access to records in 2 CFR 200.336. Regarding public rights, the Recipient must provide citizens, public agencies, and other interested parties with reasonable access to records regarding any uses of ESG funds. 23) Additionally, the Recipient and Subrecipients must adhere to recordkeeping requirements and document compliance around the following: a) Centralized or coordinated assessment systems and procedures (24 CFR 24 CFR576.500(g)) b) Rental assistance agreements and payments (24 CFR 24 CFR576.500(h)) c) Utility allowance (24 CFR 24 CFR576.500(i)) d) Shelter and housing standards (24 CFR 24 CFR576.500(j)), including 24 CFR 576.403, including inspection reports e) Coordination with CoC and other programs (24 CFR 24 CFR576.500(m)) and 24 CFR 576.400 f) HMIS (24 CFR 24 CFR576.500(m)) g) Conflicts of interest (24 CFR 24 CFR576.500(p)), including 24 CFR 576.404(a), 24 CFR 576.404(b), and records supporting exceptions to the personal conflicts of interest prohibitions h) Faith-based activities (24 CFR 24 CFR576.500(r)) and 24 CFR 576.406 i) Relocation (24 CFR 24 CFR576.500(t)) and 24 CFR 576.408 24) Other. The Recipient must keep other records specified by HUD and the Subrecipient must keep other records specified by the Recipient. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 43 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities Section 6: ESG Subrecipient Requirements This document codifies DOH’s ESG policies and procedures to ensure that DOH and its Subrecipients adhere to the requirements of 2 CFR part 200. Sufficient Subrecipient policies and records must be established and maintained to enable DOH and HUD to determine whether ESG requirements are being met by Subrecipients. 1) Federal Grant Administration Requirements a) Time and Activity Reporting. 2 CFR Part 200 requires that DOH’s Subrecipients to keep detailed documentation on how ESG-funded staff track activities. This includes keeping both: i) Time sheets, or tracking how ESG-funded staff spend each hour of their work day which are signed by the employee’s direct supervisor at least monthly, and ii) Activity records, or documentation for what the ESG-funded staff did during their ESG- allocated time as represented in their time sheets. There are a variety of methods for carrying out the documentation requirements listed above. Parts of this documentation will be required for pay request reimbursements and other parts will be required to be maintained by the Subrecipients and used for monitoring purposes. See the Pay Request Documentation (Section 6E: Pay Requests and Documentation Requirements) below. b) Core Financial Controls. 2 CFR Part 200 requires that DOH’s Subrecipients utilize appropriate internal financial controls to track and document ESG expenditures. This requires Subrecipients to have written: i) Separation and segregation of duties, which ensures that no one staff person has the responsibility for every financial component ii) Budget controls for tracking all ESG-funded budget expenditures. This includes strategies to track expenditures over time to ensure the timeliness of grant spend down, reconciliation for projected budgets and actual expenditures, iii) Accounting Controls that track ESG funds by sources and uses by fund type by program year. This includes accounting for sources and uses of all funds, including but not limited to ESG funds and activities iv) If a Subrecipient uses cash, they must have cash controls in place that align with 2 CFR Part 200 Cash Control expectations c) Cost Principles. In alignment with 2 CFR Part 200, Recipients and Subrecipients should have written policies and procedures in place to ensure that all costs are Reasonable, Allowable, Documented, and Allocable before they can be reimbursed. i) Reasonable: All costs must be reasonable, meaning there is connection to the costs and the program management, a prudent person would incur the costs, or other reasonableness thresholds established by the Subrecipient are met before they are paid out of DOH’s ESG fund. ii) Allowable: All costs must eligible per 24 CFR 576 before they are paid out of DOH’s ESG fund. iii) Documented: All costs must be documented in two ways before they are paid out of DOH’s ESG fund. They must be shown to: (1) Be incurred and paid out by the Subrecipient, and (2) Have occurred within the ESG grant agreement timeline and on ESG-eligible expenses. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 44 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities iv) Allocable: All costs must be chargeable or assignable to the Subrecipent’s ESG grant agreement before they are paid out of DOH’s ESG fund. d) Audits. If a Subrecipient receives an audit within the timeframe of an ESG grant agreement, they must submit that audit to DOH through the communication method specified in the grant agreement. 2) Additional Grant Administration Requirements. OHI adheres to HUD’s data-related rules and regulations, including HMIS requirements found in 24 CFR 576.107, and may implement additional data requirements for its Subrecipients. a) Data Quality. To ensure HUD compliance and maximize use of data and data-driven strategies (see “OHI Philosophies and Program Guidelines” section of this document for the benefits of data) OHI may request, encourage, and monitor for data quality among its Subrecipients. Data quality refers to data accuracy and consistency, timeliness, and completeness. Accurate and consistent data ensure that data capture correct information on service engagement and community resources, such as a participant’s assessment or the number of a community’s shelter beds. Timely data enable the Recipient, Subrecipients, and CoCs to produce real-time data that reflect the current situation. Complete data provide a full understanding of a participant’s circumstances and service engagement and a Subrecipient’s performance. b) Continuum of Care (CoC) Involvement. Consultation between the State, CoC, other ESG Recipients (i.e., entitlement communities), and additional service providers is critical to align ESG planning and implement a strategic and coordinated continuum of homeless services. DOH consults with each CoC in determining the following: i) How to allocate ESG funds each program year; ii) Developing the performance standards for, and evaluating the outcomes of, projects and activities assisted by ESG funds; iii) Developing funding, policies, and procedures for the administration and operation of the HMIS. iv) The State reserves the right to establish the type of consultation used to gather feedback from CoCs, which may include but is not limited to: stakeholder meetings, feedback on draft documents, stakeholder survey, focus or work groups, and CoC involvement in direct funding decisions. The State will also work to coordinate and integrate, to the maximum extent practicable, ESG-funded activities with other programs targeted to homeless people in the area covered by the CoC or area over which the services are coordinated to provide a strategic, community-wide system to prevent and end homelessness for that area. c) Coordinated Entry System Involvement. All ESG-funded programs must participate in the Coordinated Entry System (CES) established by their CoC within their geographic location. As mandated by HUD, CoCs and ESG Recipient must work together to ensure the CoC’s CES allows for coordinated screening, assessment, and referrals for ESG-funded projects. The CES allows for collaboration between homeless services providers and housing programs, and allows for a formal prioritization process for referrals to ensure the most vulnerable persons are matched quickly and efficiently to programs that best fit their needs. ESG DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 45 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities providers are encouraged to engage with their local CoCs to help identify what agency or entity operates the CES for their geographic location to ensure meaningful participation. All Subrecipients funded through ESG are required to keep documentation evidencing the use of, and written intake procedures for, the centralized or coordinated assessment system(s) developed by the CoCs for their geographic area in accordance with the requirements established by HUD. i) Coordinated Entry for Victim Service Providers. Participants that are fleeing domestic violence must be allowed to access programs through the CES for which they qualify, with appropriate measures established to keep the safety and confidentiality of participants at the forefront of all communications. ESG providers, including Victim Service Providers and non- Victim Service Providers,, must establish policies and procedures in line with the CES that outlines how to safely and securely make and accept referrals to programs within the CES. This includes following any guidelines and regulations set forth by the Violence Against Women Act (VAWA) for programs serving victims of domestic violence and sexual assault. ii) Emergency Transfer Policies (VAWA requirement). As required by HUD and VAWA, ESG providers must establish policies and procedures that outline the emergency transfer process for a program participant who experiences domestic violence that compromises the safety of that participant’s current housing placement. A tenant who is a victim of domestic violence, dating violence, sexual assault, or stalking, as provided in HUD’s regulations at 24 CFR part 5, subpart L is eligible for an emergency transfer if: (1) The tenant reasonably believes that there is a threat of imminent harm from further violence if the tenant remains within the same unit; or (2) The tenant is a victim of sexual assault, the tenant may also be eligible to transfer if the sexual assault occurred on the premises. (3) Providers must have a written emergency transfer procedure and must inform tenants of their ability to request an emergency transfer and the documentation that is required. Providers will keep confidential any information that the tenant submits in requesting an emergency transfer, and information about the emergency transfer, unless: (a) The tenant gives written permission to release the information on a time limited basis; or (b) Disclosure of the information is required by law; or (c) Disclosure of the information required for use in an eviction proceeding or hearing regarding termination of assistance from the covered program. (4) This includes keeping confidential the new location of the dwelling unit of the tenant, if one is provided, from the person(s) that committed an act(s) of domestic violence, dating violence, sexual assault, or stalking against the tenant. See the Notice of Occupancy Rights under VAWA for more information about the ESG provider’s responsibility to maintain the confidentiality of information related to incidents of domestic violence, dating violence, sexual assault, or stalking. Specific forms communities can adopt and additional guidelines on establishing these policies and procedures can be found on the DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 46 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities HUD Exchange. iii) Regional Coordinated Entry Systems. Regional CoCs, which have been approved by the HUD-approved CoC, may implement CES policies and procedures within the pre-approved region. If an ESG project exists within an approved regional CoC, the Subrecipient may use the regional CoC CES requirements to satisfy the CES requirements established in these policies and procedures, so long as the regional structures meet all HUD requirements for CES. d) Pay Request Options and Backup Documentation Requirements. There are two way in which Subrecipients may request payment for their ESG activities: reimbursement requests and advance payment requests. ESG grant agreements will specify which of these pay request options are available, and Subrecipients should not assume that both options are available without checki ng the grant agreement first. i) Reimbursement requests. In general, funds awarded through ESG will be paid out with a reimbursement model. This means that Subrecipients expend ESG funds and then submit a request to DOH for reimbursement. Costs eligible for reimbursement may only include eligible activities incurred within the timeframe of the ESG grant agreement. Costs that are not eligible per the ESG grant agreement or those incurred outside of the ESG grant agreement timeframe will not be reimbursed. (1) Frequency: Reimbursement requests must, at minimum, be submitted to DOH on a quarterly basis. Subrecipients are allowed to submit reimbursement requests more frequently, if needed. (2) Method of Requesting Reimbursement: Pay requests must be submitted to the Homeless Program Specialist through the Neighborly System, and must include the following: (a) Draw request identifying the amount requested from each line item (b) Supporting documentation for items requested for reimbursement (described in more detail below) DOH staff will review the reimbursement request and submitted documentation to ensure all costs are eligible for reimbursement through ESG, and that supportive documentation matches all costs accrued. If any errors or discrepancies are found, DOH staff will return the payment to the Subrecipient with specific instructions for any corrective issues or additional documentation as needed. Reimbursement payments will be made to the Subrecipient within 30 days of receipt of the approved payment request. ii) Advance Payments. In specific cases, funds awarded through ESG may be provided on an Advance Payment basis, meaning that funds are allocated to Subrecipients prior to incurring expenses. Advance payment must be allowable in the Subrecipient’s executed grant agreement AND must be pre-approved in writing by DOH before this pay request method can be honored. Once this pay request methodology is approved, DOH staff will provide required documentation requirements for Advance Payments. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 47 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities iii) Supportive Documentation Standards. Supportive documentation for all pay requests must clearly outline the costs incurred from either goods purchased, services rendered, or other eligible expenses that can be paid for through the ESG grant agreement. Documentation must include both (a) proof of service/cost incurred and (b) proof of payment. Examples include: Examples of Supportive Documentation Proof of Service/Cost Incurred AND Proof of Payment Timesheets that explicitly break out actual ESG time. Timesheets must be signed. If a staff person is tracking hours for more than one ESG component, the timesheet should separate the components. Corresponding pay check and payroll summary. (Note that the wage must be included so that DOH can clearly determine that the rate of pay and the hours match up with the request.) Invoices for eligible services, including rent or utilities paid for on behalf of the participant. Corresponding bank statement or cleared check. Itemized receipts showing what was purchased, the amount, and the date of purchase. Corresponding cleared check, bank statement, or receipt that shows what payment method was used. Supportive Documentation MUST NOT include Personal Identifying Information (PII) about Program Participants. PII can include, but is not limited to, names, date of birth, social security numbers, etc. e) General Match Compliance. The Recipient must comply with 24 CFR 576.201. As part of 24 CFR 576.201, the Recipient can pass the match requirement onto Subrecipients. Each match contribution must be in accordance with ESG requirements, except for the expenditure limits in 24 CFR 576.100. i) Match Requirements for Subrecipients. Subrecipients must adhere to applicable ESG match requirements (24 CFR 576.201) and DOH requirements (e.g., use a DOH-created match process for reporting). Federal (other than ESG), state, local, or private funds may be used to satisfy the match, provided that the requirements are met, such as the match funds being used once for match, funds being from an eligible source, funds being contributed to the ESG program and specified allowable costs, and the use of federal program funds not violating a statutory prohibition, among others. CoC funds are eligible for ESG match in the same way other federal funds are eligible. ii) Subrecipient Use, Application, and Source of Match. The Subrecipient must provide matching funds, from an eligible source, in the amount listed in the grant agreement. Matching funds may be used for eligible activities within any of the components for which the Subrecipient is funded (i.e., only for the components listed in the grant agreement and within the grant period). For example, if an ESG Subrecipient is funded for emergency DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 48 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities shelter only, then the Subrecipient can only use match for ESG emergency shelter and cannot use match for a different component, such as administration. With that said, Subrecipients are not required to match component-by-component. For example, consider an ESG Subrecipient that is required to provide a 100% match and has a grant agreement for $50,000 for emergency shelter and $10,000 for HMIS. The total match required is $60,000, and it can be fulfilled with emergency shelter and/or HMIS costs, in any amount that totals $60,000 (e.g., $60,000 from emergency shelter, $60,000 from HMIS, $40,000 from emergency shelter with $20,000 from HMIS). Matching contributions may include cash and/or non-cash contributions (e.g., volunteer hours, in-kind items), as described in 24 CFR 576.201(d) and 24 CFR 576.201(e). Matching funds can come in at any time within the grant period. The time at which a cash match is provided means when the funds are expended (or when the allowable cost is incurred). The time at which a non-cash match is provided means the date the service (or other in-kind match source) is actually provided. Costs paid by program income will count toward match requirements, provided the costs meet the match requirements (e.g., eligible ESG costs). Other information on match can be found in 24 CFR 576.201 (including 24 CFR 576.500(o) on recordkeeping and reporting), the grant agreement, and by communicating with DOH staff. iii) Ineligible Match Sources. Supplemental Nutrition Assistance Program (SNAP) benefits, Housing Choice Vouchers (HCV), and a tenant’s portion of rent cannot be used as match, because SNAP is used to cover the program participant’s costs, HCVs are used to pay the housing authority’s obligations under the contract with the owner, and a tenant’s rent is the tenant’s obligation. f) Additional Requirements for Fiscal Agents. Fiscal Agents, as defined by entities that receive DOH’s ESG funds and pass the funds through to other entities to administer the program components, must have written standards that cover all requirements described in these policies and procedures, including those established by 24 CFR 576 and 2 CFR Part 200. The Fiscal Agents are also responsible for, at minimum: i) Maintaining written policies and procedures, appropriate documentation in accordance with written standards, and producing the appropriate documentation at a given time (these written policies and procedures and corresponding documentation will be monitored during DOH monitoring) ii) Procuring Sub-Subrecipients in an open and competitive fashion, in alignment with DOH Procurement policies and 2 CFR Part 200. If Subrecipients do not plan to use a competitive application process to allocate their DOH ESG funds, the Subrecipient must follow DOH’s procurement standards or written standards of their own that follow federal and state procurement requirements, which will state why the Subrecipient has forgone the competitive process and include a signature of a procurement officers who can verify that the decision follow all required expectations. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 49 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities iii) Verifying that all Sub-Subrecipients’ reimbursement requests meet HUD requirements and DOH written policies and procedures prior to submitting reimbursement requests to DOH. Unless requested, Fiscal Agents should not submit Sub-Subrecipients’ back-up documentation to DOH with their pay requests. When submitting pay requests to DOH, Fiscal Agents should submit an overview of expenses and documentation signifying that they as the Fiscal Agent have reviewed all pay request documentation from Subrecipients and deem all expenses to be documented and eligible. iv) Collecting and combining all reports from Sub-Subrecipients in order to submit one consolidated report on the Fiscal Agent’s ESG funds to DOH. As noted above, Fiscal Agents should not submit the Sub-subrecipients’ back-up documentation to DOH, but they are responsible for maintaining and producing it when requested. v) Conducting regular monitoring of Sub-Subrecipient files and documentation to ensure that all written standards are being met. Fiscal Agents should not submit that back-up documentation to DOH, but are responsible for maintaining it in accordance with written standards, and will be monitored on this documentation during Fiscal Agent monitoring. vi) Providing technical assistance to Sub-Subrecipients about basic ESG policies, procedures, and written standards in accordance with these policies and procedures, as needed. Fiscal Agents are able to add additional expectations to their Sub-Subrecipients, in so far as those expectations do not conflict with what is written in these policies and procedures or what is required per 24 CFR 576 and 2 CFR Part 200. If a Fiscal Agent intends to place additional expectations on Sub-Subrecipients, it must notify DOH prior to doing so. vii) Adhering to procurement standards when selecting the organization(s) to whom the Fiscal Agent administers DOH’s ESG funds prior to making awards and requesting DOH reimbursement. viii) If the Fiscal Agent is not performing any direct work, they cannot request indirect cost reimbursement for themselves. Indirect costs must be associated with the direct line item from which the costs are incurred. Therefore, if a Fiscal Agent is not performing any direct work, they cannot request indirect cost reimbursement. If the Fiscal Agent’s Sub- Subrecipients are requesting indirect costs, the Fiscal Agent may request those costs on behalf of their Sub-Subrecipients, and must pass the reimbursement for those costs back to the Sub-Subrecipient. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 50 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities Section 7: DOH Monitoring Procedures Monitoring. As HUD’s Recipient, DOH is responsible for ensuring that its ESG Subrecipients are in compliance with ESG requirements and expectations. As part of that responsibility, DOH monitors its Subrecipients (and, if applicable, the organizations with which those Subrecipients subcontract) for compliance with 24 CFR part 576, including the Uniform Administrative Requirements at 2 CFR part 200, and related OHI standards. OHI’s approach to monitoring is two-fold: 1. Monitoring is an ongoing process through which DOH and the Subrecipient maintain ongoing communication around Subrecipient projects and activities, expenses, documentation, and other ESG-related efforts. For example, Homeless Program Specialists process Subrecipients’ pay requests while also rigorously assessing use of funds and back-up documentation. Addressing questions, feedback, and/or potential concerns continuously (e.g., via pay request review) can prevent future compliance issues, mitigate future inefficiencies, and improve performance and processes. 2. Monitoring is also a scheduled formal monitoring session, through which Homeless Programs Specialists meet and communicate with their Subrecipients on predetermined topics, as well as topics that may arise during the session. For the remainder of this section, “monitoring” refers to this formal monitoring session, rather than the ongoing process and communication. a. Risk-Based Monitoring. DOH monitors ESG-funded organizations based on perceived risk. Those risks include, but are not limited to: i. Not having been monitored at least once during a three-year period; ii. Evidence from payment requests that the agency is not obligating or spending funds in a timely manner; iii. Being a new grantee or performing a new ESG component; iv. Evidence based on complaints, visual inspection that grantee is not providing shelter that conforms with the requirements or is not performing the funded activities in an appropriate manner; or v. Consistent staff turnover, organizational restructuring, or other changes in the ESG program b. Types of Monitoring. DOH conducts monitoring in two primary ways, both of which assess the ESG-funded organization’s grants management and oversight, financial management, services, programming and eligibility, coordination (e.g., Coordinated Entry involvement) and data requirements, facilities, and/or other requirements. Each of these monitoring types requires written notification and advanced notice from OHI, including a list of items or topics to be reviewed and other instructions or guidelines on the monitoring process i. Full Monitoring. On-site review of documentation and other programmatic and administrative materials to ensure compliance with written standards and OHI and HUD requirements. DOH will conduct Full Monitors virtually, as needed. ii. Partial Monitoring. Virtual examination of documents and a self-certification questionnaire signed and notarized by the ESG-funded organization. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 51 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities Outcomes of Monitoring. After a monitoring session and thorough review of monitoring materials, OHI notifies the ESG-funded organization with a written monitoring report. The report may include findings and/or concerns. Findings are based on noncompliance with a statutory, regulatory or program requirement. Findings are accompanied by and require corrective action. Concerns are based on deficiencies or areas of improvement and are not based on a statutory, regulatory or other program requirement. Although OHI does not issue corrective actions with concerns, OHI may make note of and offer guidance, recommendations, or support around the concern. 1) Performance Improvement Planning. If a Subrecipient’s ESG program is found to have programmatic or administrative deficiencies during any monitoring mentioned above, DOH will develop a Performance Improvement Plan (PIP) in collaboration with the Subrecipient. The PIPs are designed to provide a formal and collaborative process for agencies to access technical assistance from DOH, ensure programs are aligned with all ESG requirements, and improve the overall performance of ESG-funded programs. To create a PIP, DOH staff will schedule one-on-one meetings to discuss outcomes from the monitoring and create measurable goals with agency staff. PIPs will exist until all identified goals have been met. Progress will be reported through quarterly reports and will provide an opportunity for agencies to discuss with OHI staff what challenges or successes a program has faced, including an opportunity for agencies to request technical assistance from DOH staff to assist with meeting goals. When appropriate, PIP goal forms and quarterly reporting forms may be provided to those reviewing applications for ESG renewal funds. This will ensure that program improvements are included in the review discussions and ensure that ESG funds are used effectively. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 52 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities Section 8: Emergency ESG Policies In the event of an emergency situation, which could include natural disasters, public health crises, or other large scale events, the State reserves the right to update and/or create new policies and procedures to aid in response and recovery efforts. HUD may also release waivers that can overrule State ESG policies and/or program requirements and regulations. In this event, ESG Subrecipients are required to adhere to all State or Federal regulation changes and update policies and procedures as applicable. DOH will create an emergency policy for every new disaster/emergency event that requires changes to standard ESG operations which can include, but is not limited to:  Changes to documentation requirements based on HUD updates or guidance  Changes to prioritization for ESG-funded programs based on HUD guidance and/or most pressing needs within the community  Any additional updates or changes that HUD has required based on federal guidance The State will update emergency policies and procedures with considerations from ESG partners, other stakeholders, federal guidelines, and additional entities assisting in and/or affected by the emergency response process. All policies will be required to have a timeline for expiration based on guidance from state or federal partners on when general operations are able to return to normal. ESG Emergency Polices for the Coronavirus Pandemic (COVID-19) In response to COVID-19, HUD released a mega waiver for adjusting various aspects of ESG programs. This waiver granted authority to waive or adjust certain ESG requirements for limited time periods that were impacted by COVID, which included:  Requirements for homeless prevention funds to have a re-evaluation every 3 months is waived to allow for re-evaluations to occur every 6 months  Fair Market Rent (FMR) restrictions for Rapid Re-Housing and Homelessness Prevention are waived  An individual may qualify as homeless under paragraph (1 )(iii)the homeless definition in 24 CFR 576.2 so long as he or she is exiting an institution where they resided for 120 days or less and resided in an emergency shelter or place not meant for human habitation immediately before entering that institution (without the waiver, the timeline is 90 days instead of 120 days) All waived activities or restrictions should still be documented by program staff to justify a program’s use of the waiver for these activities for auditing purposes. HUD’S Community Planning and Development (CPD) Notice 20-80 (i.e., the ESG-CV Notice) includes additional requirements, flexibilities, and limitations. ESG-CV Notice HUD released a notice that adjusted eligible program costs, as well as implemented some restrictions for programs for ESG-CV funds. OHI expects all Subrecipients to review the ESG-CV Notice. Funding through ESG-CV must be used to prepare for, respond to, and prevent COVID-19, and for any funding that was allocated after the publication of the notice was subject to the following adjustments: DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 53 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities  Additional eligible costs added to this funding include landlord incentives, volunteer incentives, hazard pay, handwashing stations and portable bathrooms, and temporary shelter including the acquisition of real property  Rapid Re-housing (RRH) is restricted to 12 months for new RRH participants and the 24 month limit for current RRH participants is waived for an additional 6 months  Non-HMIS Lead agencies are allowed to use HMIS funds to improve capabilities to collect and analyze data specifically related to COVID-19  Fund allocation timelines were adjusted to allow for Recipient to have additional time to award funds to allow for more equitable planning  Match is not applicable to this funding; there is no match requirement  The Recipient’s emergency shelter and street outreach caps do not apply  Funds may be used to pay for costs incurred before the period of performance provided the costs were used to respond to, prepare for, or prevent COVID-19  The Recipient’s administrative cap changed from 7.5% to 10% Hotel and motel stays permitted for emergency shelter for persons experiencing homelessness and those in programs that need to isolate or quarantine. A Note on New Temporary Emergency Shelter Activity To align with HUD guidance and requirements throughout HUD materials and ESG-CV Office Hours, OHI will ask the following questions to Subrecipients who apply for Temporary Emergency Shelter. The questions will lead to additional questions and clarifications and enable OHI to distinguish between Temporary Emergency Shelter and Emergency Shelter (for internal and reporting purposes). (1) Does the project increase the number of people you generally serve/number of beds you offer, or does it simply increase the space (e.g., for social distancing) and not the number of people/beds? (This is particularly relevant for hotel and motel spaces.) (2) Will the project or structure continue to operate after the COVID-19 pandemic (i.e., does the organization expect to adjust programming and may use the project/structure in the future even after the pandemic, or is the project time limited and will only be used as a temporary solution due to COVID-19?) Other ESG-CV-Related Items for Subrecipients to Consider  Remember Low-Barrier Services! The CARES Act requires that individuals and families experiencing homelessness may NOT be required to receive treatment or perform any other prerequisite activities as a condition for receiving shelter, rental assistance, or other services. Subrecipients should keep this in mind throughout all service provision, including organizational policies related to individuals that test positive for COVID-19 and vaccines.  Victim Service Providers have additional requirements when receiving ESG-CV funds, including quarterly CAPER submissions into the Sage system (non-Victim Service Providers experience this requirement, as well, but the HMIS Leads submit the CAPER on behalf of the agency, rather than the agency completing the Sage submission themselves). This means that organizations must submit quarterly reports to DOH (as noted in the grant agreement), which include the CAPER, and must submit the CAPER to Sage. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 54 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities Coordinated Entry Prioritization CoCs who manage the Coordinated Entry System are allowed to adopt COVID-specific prioritization processes in order to quickly house those at-risk of COVID-19. These policies and procedures should be communicated to the Homeless Program Specialist once they are adopted, and should be returned to previous prioritization once the pandemic has ended. DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 55 Governor Jared S. Polis | Rick M. Garcia, Executive Director | Alison George, Division Director 1313 Sherman St., Room 320, Denver, CO 80203 P 303.864.7810 F 303.864.7857 TDD/TTY 303.864.7758 www.dola.colorado.gov Strengthening Colorado Communities Section 9: Active ESG Grant Timelines and Additional ESG Resources Active ESG Grant Agreement Timelines Funding Source Coverage Match Required ESG 19 4/1/20 - 3/31/21 Yes ESG CV1 3/27/20 - 3/31/21 No ESG CV2 (Round 1) 10/1/20 - 9/30/21 No Additional Resources  COVID-19 Waiver #3  Summary of ESG Waivers (Original Mega Waiver + ESG-CV Notice)  Notice: CPD 20-80 (ESG-CV Notice)  List of all Current and Previous ESG Memos, Waivers, etc.  ESG 101 Recorded Webinar (in the “ESG Program Objectives” section)  Other Webinars, Including Best Practices in Street Outreach, Winter Shelter Webinar, Neighborly User Training, and Others (by clicking the “Previous Webinars” drop-down”)  HUDExchange  24 CFR Part 576 (OHI staff typically reference this website for a user-friendly version of the regulations)  HUD Financial Management Curriculum  HUD CPD Monitoring Handbook  OHI Website  ESG Website DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E 12 EXHIBIT C INSURANCE CERTIFICATE DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E ANY PROPRIETOR/PARTNER/EXECUTIVEOFFICER/MEMBER EXCLUDED? INSR ADDL SUBR LTR INSD WVD PRODUCER CONTACT NAME: FAXPHONE (A/C, No):(A/C, No, Ext): E-MAIL ADDRESS: INSURER A : INSURED INSURER B : INSURER C : INSURER D : INSURER E : INSURER F : POLICY NUMBER POLICY EFF POLICY EXPTYPE OF INSURANCE LIMITS(MM/DD/YYYY)(MM/DD/YYYY) AUTOMOBILE LIABILITY UMBRELLA LIAB EXCESS LIAB WORKERS COMPENSATION AND EMPLOYERS' LIABILITY DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if more space is required) AUTHORIZED REPRESENTATIVE EACH OCCURRENCE $ DAMAGE TO RENTEDCLAIMS-MADE OCCUR $PREMISES (Ea occurrence) MED EXP (Any one person)$ PERSONAL & ADV INJURY $ GEN'L AGGREGATE LIMIT APPLIES PER:GENERAL AGGREGATE $ PRO-POLICY LOC PRODUCTS - COMP/OP AGGJECT OTHER:$ COMBINED SINGLE LIMIT $(Ea accident) ANY AUTO BODILY INJURY (Per person)$ OWNED SCHEDULED BODILY INJURY (Per accident)$AUTOS ONLY AUTOS HIRED NON-OWNED PROPERTY DAMAGE $AUTOS ONLY AUTOS ONLY (Per accident) $ OCCUR EACH OCCURRENCE CLAIMS-MADE AGGREGATE $ DED RETENTION $ PER OTH-STATUTE ER E.L. EACH ACCIDENT E.L. DISEASE - EA EMPLOYEE $ If yes, describe under E.L. DISEASE - POLICY LIMITDESCRIPTION OF OPERATIONS below INSURER(S) AFFORDING COVERAGE NAIC # COMMERCIAL GENERAL LIABILITY Y / N N / A (Mandatory in NH) SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must have ADDITIONAL INSURED provisions or be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). COVERAGES CERTIFICATE NUMBER:REVISION NUMBER: CERTIFICATE HOLDER CANCELLATION © 1988-2015 ACORD CORPORATION. All rights reserved.ACORD 25 (2016/03) CERTIFICATE OF LIABILITY INSURANCE DATE (MM/DD/YYYY) $ $ $ $ $ The ACORD name and logo are registered marks of ACORD 12/26/2023 (970) 384-8339 (970) 945-6027 23043 West Mountain Regional Health Alliance 520 S 3rd Street #30 Carbondale, CO 81623 A 1,000,000 BZS66110352 4/13/2023 4/13/2024 15,000 1,000,000 2,000,000 2,000,000 Certificate Holder is Additional Insured in regards to General Liability and ongoing operations of the insured as required by written contract. Eagle County PO Box 850 Eagle, CO 81631 WESTMOU-01 LWHITE GIA Group, LLC 1605 Grand Avenue Suite K Glenwood Springs, CO 81601 Leila White, AFIS leila.white@glenwoodins.com Liberty Mutual Insurance Company X X X DocuSign Envelope ID: F6ECD77E-E459-4C6A-A8F7-536C18118F2E