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HomeMy WebLinkAboutC24-188 West Mountain Regional Health AllianceAGREEMENT FOR PROFESSIONAL SERVICES BETWEEN EAGLE COUNTY, COLORADO AND WEST MOUNTAIN REGIONAL HEALTH ALLIANCE THIS AGREEMENT (“Agreement”) is effective as of January 1, 2024, 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 Round One Transformational Homelessness Response Grant Program; and WHEREAS, the WMRHA Grant is identified as CMS # 186579 and governed by the agreement between WMRHA and the Division of Housing dated December 6, 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 to 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 requires WMRHA and subgrantees to submit and collect information to and from the Homeless Management Information System (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 Transformational Homelessness Response Grant 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: D3664AD3-C676-4647-AC16-2910B0D710FF 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 Street Outreach, Emergency Shelter, Systems Improvement, Data Collection, Management and Coordination as described in Section 3 and Section 7.4.3 of the Statement of Work incorporated within the WMRHA Grant/Exhibit A (“Services”) which is attached hereto and incorporated herein by reference. 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 30th day of September 2026. 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 $795,000.00 (Street Outreach: $230,000; Systems Improvement: $260,000; Emergency Shelter Services: $305,000). 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 September 30, 2026. 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: D3664AD3-C676-4647-AC16-2910B0D710FF 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: D3664AD3-C676-4647-AC16-2910B0D710FF 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: D3664AD3-C676-4647-AC16-2910B0D710FF 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: D3664AD3-C676-4647-AC16-2910B0D710FF 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: D3664AD3-C676-4647-AC16-2910B0D710FF 7 degree with the performance of the Services and WMRHA shall not employ any person having such known interests. 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; 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. DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF 8 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: D3664AD3-C676-4647-AC16-2910B0D710FF 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 Attest: By: Regina O’Brien, Clerk to the Board By: Matt Scherr, Chair WEST MOUNTAIN REGIONAL HEALTH ALLIANCE By: Cristina Gair, Executive Director DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF 10 EXHIBIT A GRANT AGREEMENT Activity Expenditures Amount Street Outreach - Supportive Services Wage, Fringe, and Personnel $180,000.00 Street Outreach - Operations Other Operations Costs $50,000.00 Emergency Shelter - Supportive Services Wage, Fringe, and Personnel $180,000.00 Emergency Shelter - Operations Other Operations Costs $125,000.00 Systems Improvement-Data Collection, Management, Analysis, and System Integration Wage, Fringe, and Personnel $90,000.00 Other Data Costs $30,000.00 Systems Improvement-Coordination Wage, Fringe, and Personnel $140,000.00 TOTAL $795,000.00 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 1 of 29 Version 6.1.2023 CMS #185361 STATE OF COLORADO GRANT AGREEMENT FOR SLFRF COVER PAGE State Agency Department of Local Affairs, for the benefit of the Division of Housing Agreement Number H4HRG23176 CMS # 185361 Grantee West Mountain Regional Health Alliance UEI/SAMS Number QXYFQ3GK87M1 Agreement Performance Beginning Date The later of the Effective Date or October 1, 2023 Initial Agreement Expiration Date September 30, 2026 Agreement Maximum Amount $2,743,690 Fund Expenditure End Date September 30, 2026 Agreement Authority Authority for this Agreement arises from §24-32-721, C.R.S., and Colorado House Bill 22-1377 Authority exists in the law and funds have been budgeted, appropriated and otherwise made available pursuant to Section 3206 of the “American Rescue Plan Act of 2021” (the “SLFRF Statute”) and a sufficient unencumbered balance thereof remains available for payment and the required approvals, clearance, and coordination have been accomplished from and with appropriate agencies. Agreement Purpose Transformational Homelessness Response (THR) – Street Outreach, Systems Improvement Exhibits and Order of Precedence The following Exhibits and attachments are included with this Agreement: 1. Exhibit A, Statement of Work. 2. Exhibit B, Sample Option Letter. 3. Exhibit C, Budget. 4. Exhibit D, Federal Provisions. 5. Exhibit E, Agreement with Subrecipient of Federal Recovery Funds 6. Exhibit F, SLFRF Subrecipient Quarterly Report 7. Exhibit G, Sample SLFRF Reporting Modification Form 8. Exhibit H, Applicable Laws 9. Exhibit I, Reserved 10. Exhibit J, PII Certification 11. Form 1, Reserved 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 D, Federal Provisions 2. Exhibit E, Agreement with Subrecipient of Federal Recovery Funds 3. Colorado Special Provisions in §17 of the main body of this Agreement. 4. The provisions of the other sections of the main body of this Agreement. 5. Exhibit A, Statement of Work. 6. Exhibit J, PII Certification 7. Exhibit I, Reserved 8. Exhibit Exhibit H, Applicable Laws 9. Exhibit B, Sample Option Letter. 10. Exhibit C, Budget. 11. Exhibit F, SLFRF Subrecipient Quarterly Report 12. Exhibit G, Sample SLFRF Reporting Modification Form 13. Form 1, Reserved 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 81602 Denver, CO 80203 cgair@westmountainhealthalliance.org alison.george@state.co.us DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5 Other CTGG1 2024*2727 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 2 of 29 Version 6.1.2023 CMS #185361 FEDERAL AWARD(S) APPLICABLE TO THIS GRANT AWARD Federal Awarding Office US Department of the Treasury Grant Program Coronavirus State and Local Fiscal Recovery Funds Assistance Listing Number 21.027 Federal Award Number SLFRP0126 Federal Award Date * May 18, 2021 Federal Award End Date December 31, 2024 Federal Statutory Authority Title VI of the Social Security Act, Section 602 Total Amount of Federal Award (this is not the amount of this grant agreement) $3,828,761,790 * Funds may not be available through the Federal Award End Date subject to the provisions in §2 and §5 below. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 3 of 29 Version 6.1.2023 CMS #185361 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 Contracting 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: 245565B6-5E33-4677-A4D3-58259E695DC5 10/16/2023 | 11:09 AM MDT 10/16/2023 | 12:28 PM MDT 10/16/2023 | 1:40 PM MDT 10/18/2023 | 7:00 AM MDT DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 4 of 29 Version 6.1.2023 CMS #185361 TABLE OF CONTENTS COVER PAGE .......................................................................................................................... 1 SIGNATURE PAGE ................................................................................................................. 2 1. PARTIES ................................................................................................................................... 4 2. TERM AND EFFECTIVE DATE ............................................................................................. 4 3. DEFINITIONS .......................................................................................................................... 6 4. STATEMENT OF WORK ........................................................................................................ 9 5. PAYMENTS TO GRANTEE .................................................................................................... 9 6. REPORTING - NOTIFICATION ........................................................................................... 11 7. GRANTEE RECORDS ........................................................................................................... 12 8. CONFIDENTIAL INFORMATION-STATE RECORDS ...................................................... 13 9. CONFLICTS OF INTEREST .................................................................................................. 14 10. INSURANCE .......................................................................................................................... 15 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. GENERAL PROVISIONS ...................................................................................................... 22 17. COLORADO SPECIAL PROVISIONS (COLORADO FISCAL RULE 3-3) ....................... 26 18. RESTRICTIONS ON PUBLIC BENEFITS ........................................................................... 29 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 acting by and through the State agency named on the Cover Page for this Agreement (the “State”). 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 Signature and 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. If the Work will be performed in multiple phases, the period of performance start and end date of each phase is detailed under the Project Schedule in Exhibit Insert Exhibit Number. 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. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 5 of 29 Version 6.1.2023 CMS #185361 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 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 equivalent to Sample Option Letter attached to this Agreement. 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 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 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 60% completed, as determined by the State, the State may reimburse Grantee for a portion of allowable 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. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 6 of 29 Version 6.1.2023 CMS #185361 F. Grantee’s Termination Under Federal Requirements Grantee may request termination of this Grant by sending notice 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. 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. “Agreement Funds” means the funds that have been appropriated, designated, encumbered, or otherwise made available for payment by the State under this Agreement. C. “Award” means an award by a Recipient to a Subrecipient funded in whole or in part by a Federal Award. The terms and conditions of the Federal Award flow down to the Award unless the terms and conditions of the Federal Award specifically indicate otherwise. D. “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 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. E. “Budget” means the budget for the Work described in Exhibit C. F. “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. G. “Chief Procurement Officer” means the individual to whom the Executive Director has delegated his or her authority pursuant to §24-102-202 to procure or supervise the procurement of all supplies and services needed by the State. H. “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. I. “CORA” means the Colorado Open Records Act, §§24-72-200.1, et seq., C.R.S. J. “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. K. “End of Term Extension” means the time period defined in §2.D2.D. L. “Exhibits” means the exhibits and attachments included with this Agreement as shown on the Cover Page for this Agreement. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 7 of 29 Version 6.1.2023 CMS #185361 M. “Extension Term” means the time period defined in §2.C. N. “Federal Award” means an award of Federal financial assistance or a cost-reimbursement Agreement, 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 an Agreement or payments to an individual that is a beneficiary of a Federal program. O. “Federal Awarding Agency” means a Federal agency providing a Federal Award to a Recipient. The US Department of the Treasury is the Federal Awarding Agency for the Federal Award, which is the subject of this Agreement. P. “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. Q. “Grant Funds” means the funds that have been appropriated, designated, encumbered, or otherwise made available for payment by the State under this Agreement. R. “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. S. “Initial Term” means the time period defined in §2.B. T. “Matching Funds” means the funds provided Grantee as a match required to receive the Grant Funds. U. “Party” means the State or Grantee, and “Parties” means both the State and Grantee. V. “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. W. “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. X. “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 DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 8 of 29 Version 6.1.2023 CMS #185361 information defined as Individually Identifiable Health Information by the federal Health Insurance Portability and Accountability Act. Y. “Project” means the overall project described in Exhibit A including, without limitation, the Work and the Services. Z. “Recipient” means the State agency shown on the Signature and Cover Page of this Agreement, for the purposes of this Federal Award. AA. “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. BB. “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. CC. “State Fiscal Rules” means the fiscal rules promulgated by the Colorado State Controller pursuant to §24-30-202(13)(a), C.R.S. DD. “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. EE. “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. FF. “Subcontractor” means third parties, if any, engaged by Grantee to aid in performance of the Work. “Subcontractor” also includes sub-grantees of grant funds. GG. “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. HH. “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. II. “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. JJ. “Uniform Guidance” means the Office of Management and Budget Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 9 of 29 Version 6.1.2023 CMS #185361 KK. “Work” means the Goods delivered and Services performed pursuant to this Agreement. LL. “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 A. 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 A. 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 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 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 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 DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 10 of 29 Version 6.1.2023 CMS #185361 If Grantee disputes any calculation, determination or amount of any payment, Grantee shall notify the State in writing of its dispute within 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. v. Federal Recovery The closeout 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 Grantee shall provide Matching Funds as provided in §5.A and Exhibit A. Grantee shall have raised the full amount of Matching Funds prior to the Effective Date and shall report to the State regarding the status of such funds upon request. Grantee’s obligation to pay all or any part of any matching funds, whether direct or contingent, only extend to funds duly and lawfully appropriated for the purposes of this Agreement by the authorized representatives of Grantee and paid into Grantee’s treasury or bank account. Grantee represents to the State that the amount designated “Grantee’s Matching Funds” in Exhibit A has been legally appropriated for the purposes of this Agreement by its authorized representatives and paid into its treasury or bank account. Grantee does not by this Agreement irrevocably pledge present cash reserves for payments in future fiscal years, and this Agreement is not intended to create a multiple-fiscal year debt of Grantee. Grantee shall not pay or be liable for any claimed interest, late charges, fees, taxes or penalties of any nature, except as required by Grantee’s laws or policies. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 11 of 29 Version 6.1.2023 CMS #185361 D. Reimbursement of Grantee Costs The State shall reimburse Grantee’s allowable costs, not exceeding the maximum total amount described in Exhibit A and §5.A for all allowable costs described in this Grant and shown in the Budget, except that Grantee may adjust the amounts between each line item of the Budget without formal modification to this Agreement with written approval from the State. The change shall not modify the total maximum amount of this Agreement, the maximum amount for any State fiscal year, or 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 A. However, any costs incurred by Grantee prior to the Effective Date shall not be reimbursed absent specific allowance of pre-award costs and indication that the Federal Award funding is retroactive. Grantee’s costs for Work performed after the Fund Expenditure End Date shown on the Signature and 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 Grantee shall close out this Award within 45 days after the Fund Expenditure End Date shown on the Signature and Cover Page for this Agreement. To complete closeout, 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 will withhold 5% 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 Signature and 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 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 A. 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 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 for this Agreement. C. Performance and Final Status DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 12 of 29 Version 6.1.2023 CMS #185361 Grantee shall submit all financial, performance and other reports to the State 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 five 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. B. Inspection Grantee shall permit the State, the federal government, and any other duly authorized agent of a governmental agency 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 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. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 13 of 29 Version 6.1.2023 CMS #185361 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 this 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. 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 DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 14 of 29 Version 6.1.2023 CMS #185361 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. 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 DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 15 of 29 Version 6.1.2023 CMS #185361 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. 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. 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 fire. 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 A greem ent. 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 DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 16 of 29 Version 6.1.2023 CMS #185361 Crime insurance including employee dishonesty coverage with minimum limits as follows: i. $1,000,000 each occurrence; and ii. $1,000,000 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 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. Grantee 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 A greem ent. 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. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 17 of 29 Version 6.1.2023 CMS #185361 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 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 Agreements 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 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 DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 18 of 29 Version 6.1.2023 CMS #185361 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, 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 Business Days following the Effective Date. Grantee shall provide to the State certificates evidencing Subcontractor insurance coverage required under this Agreement within seven Business Days following the Effective Date, except that, if Grantee’s Subcontractor 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 Business Days following Grantee’s execution of the Subcontractor. No later than 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 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 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 DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 19 of 29 Version 6.1.2023 CMS #185361 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. 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 Subcontractors 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 Subcontractors. 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. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 20 of 29 Version 6.1.2023 CMS #185361 b. Withhold Payment Withhold payment to Grantee until Grantee corrects its Work. 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. 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. B. Resolution of Controversies If the initial resolution described in §13.A13.A fails to resolve the dispute within ten Business Days, Grantee shall submit any alleged breach of this Agreement by the State to the Procurement Official of the State Agency named on the Cover Page of this Agreement 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, and 24-109-101.1 through 24-109-505, C.R.S. (the “Resolution 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 DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 21 of 29 Version 6.1.2023 CMS #185361 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 below 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 To the extent that the Work Product (or any portion of the Work Product) would not be considered works made for hire under applicable law, Grantee hereby assigns to the State, the entire right, title, and interest in and to copyrights in all Work Product and all works based upon, derived from, or incorporating the Work Product; all copyright applications, registrations, extensions, or renewals relating to all Work Product and all works based upon, derived from, or incorporating the Work Product; and all moral rights or similar rights with respect to the Work Product throughout the world. To the extent that Grantee cannot make any of the assignments required by this section, Grantee hereby grants to the State a perpetual, irrevocable, royalty-free license to use, modify, copy, publish, display, perform, transfer, distribute, sell, and create derivative works of the Work Product and all works based upon, derived from, or incorporating the Work Product by all means and methods and in any format now known or invented in the future. The State may assign and license its rights under this license. ii. Patents In addition, Grantee grants to the State (and to recipients of Work Product distributed by or on behalf of the State) a perpetual, worldwide, no-charge, royalty-free, irrevocable patent license to make, have made, use, distribute, sell, offer for sale, import, transfer, and otherwise utilize, operate, modify and propagate the contents of the Work Product. Such license applies only to those patent claims licensable by Grantee that are necessarily infringed by the Work Product alone, or by the combination of the Work Product with anything else used by the State. iii. Assignments and Assistance DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 22 of 29 Version 6.1.2023 CMS #185361 Whether or not Grantee is under Agreement 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 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. GENERAL PROVISIONS A. 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. B. Subcontractors 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 DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 23 of 29 Version 6.1.2023 CMS #185361 also contain provisions permitting both Grantee and the State to perform all monitoring of that Subcontract in accordance with the Uniform Guidance. C. Binding Effect Except as otherwise provided in §17.A, all provisions of this Agreement, including the benefits and burdens, shall extend to and be binding upon the Parties’ respective successors and assigns. D. Authority Each Party represents and warrants to the other that the execution and delivery of this Agreement and the performance of such Party’s obligations have been duly authorized. E. Captions and References The captions and headings in this Agreement are for convenience of reference only, and shall not be used to interpret, define, or limit its provisions. All references in this Agreement to sections (whether spelled out or using the § symbol), subsections, exhibits or other attachments, are references to sections, subsections, exhibits or other attachments contained herein or incorporated as a part hereof, unless otherwise noted. F. Counterparts This Agreement may be executed in multiple, identical, original counterparts, each of which shall be deemed to be an original, but all of which, taken together, shall constitute one and the same agreement. G. Entire Understanding This Agreement represents the complete integration of all understandings between the Parties related to the Work, and all prior representations and understandings related to the Work, oral or written, are merged into this Agreement. Prior or contemporaneous additions, deletions, or other changes to this Agreement shall not have any force or effect whatsoever, unless embodied herein. H. Digital Signatures If any signatory signs this agreement using a digital signature in accordance with the Colorado State Controller Agreement, 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. I. 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 A), adjust the Project Budget, modify the Service Area, the Milestones, the DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 24 of 29 Version 6.1.2023 CMS #185361 Responsible Administrator, the Payment Schedule, and the Remittance Address through an Option Letter in a form substantially similar to Exhibit B, 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. J. Jurisdiction and Venue [Reserved]. K. 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. L. 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 agreements related to the Work unless that provision is specifically referenced in this Agreement. M. 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. N. 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. O. 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 DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 25 of 29 Version 6.1.2023 CMS #185361 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. P. Third Party Beneficiaries Except for the Parties’ respective successors and assigns described in § 17.A, 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. Q. 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. R. 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. S. 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. T. 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. U. 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 DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 26 of 29 Version 6.1.2023 CMS #185361 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. V. Compliance with State and Federal Law, Regulations, and Executive Orders Grantee shall comply with all 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 Grant. W. Accessibility i. Grantee shall comply with and the 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. 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. iii. 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. 17. 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. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 27 of 29 Version 6.1.2023 CMS #185361 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 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 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. Any provision incorporated herein by reference which purports to negate this or any other Special Provision in whole or in part shall not be valid or enforceable or available in any action at law, whether by way of complaint, defense, or otherwise. Any provision rendered null and void by the operation of this provision shall not invalidate the remainder of this Agreement, to the extent capable of execution. 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 DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 28 of 29 Version 6.1.2023 CMS #185361 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 OFFSET 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 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 Agreements, grants or agreements between the State and Grantee, or by any other appropriate method for collecting debts owed to the State. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Agreement Number: H4HRG23176 Page 29 of 29 Version 6.1.2023 CMS #185361 18. RESTRICTIONS ON PUBLIC BENEFITS This section ☐ shall | ☒ shall not apply to this A greem ent. 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 Agreement by requiring the applicant to: B. Produce a verification document in accordance with 62 Fed. Reg. 221 (November 17, 1997), pp. 61,363 - 61,371; and, C. Execute a Residency Declaration, attached as Form 1, or a substantially similar form as determined by the State. [Reserved] DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit A Page 1 of 13 CMS #185361 H4HRG23176 EXHIBIT A STATEMENT OF WORK TRANSFORMATIONAL HOMELESSNESS RESPONSE 1. GENERAL REQUIREMENTS 1.1. Program Description. The Transformational Homelessness Response (THR) grant program (the “Program”) aims to quickly connect people experiencing homelessness with services, treatment, and temporary and permanent housing to put them on a path to economic self- sufficiency. The Program provides funding for program models and activities including outreach support, emergency shelters, transitional housing, recovery care and related residential programs, training and employment service programs, and permanent housing with wraparound supportive services. The Program also provides funding for systems improvement activities including data collection, management, analysis, system integration, coordination, and resource utilization acceleration. The goal of the Program is to fundamentally shift the landscape of homelessness in communities across Colorado by transforming systems, programs, and outcomes. Grant awards must go beyond maintaining current operations for projects that currently exist while being responsive to the one-time nature of the funding provided. Grant funds may only be used for Eligible Activities as defined in §5.2.3 (Descriptions of Uses) and listed in §5.2.2 (Project Budget) of this Exhibit A. 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. 1.2. Preference. The individuals prioritized by the grant opportunity are those that but for this project will most likely not resolve their homelessness on their own. In particular, this includes individuals with long lengths of homelessness with complex needs and who are not currently connected to other homeless shelters or programs. 1.3. Service Area. Grantee’s performance of services shall occur in: Eagle, Garfield, and Pitkin Counties, State of Colorado. Grantee may also serve individuals referred to them including through their regional Coordinated Entry Systems, even if that individual or household currently lives outside this service area. 1.4. Grantee’s Obligations. 1.4.1. Grantee shall implement the Project, administer this Agreement, and provide required documentation to the State as specified herein. 1.4.2. Grantee shall enter into written agreement(s), the content of which meet DOH’s requirements, with the following individuals or entities prior to disbursing any funds: 1.4.2.1. Any Subcontractor engaged by Grantee to aid in performance of the Work. 1.4.3. Assignment. Grantee’s rights and obligations under this Exhibit A are personal and may not be transferred or assigned without the prior, written consent of DOH. 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. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit A Page 2 of 13 CMS #185361 1.4.4. Time of Performance. Grantee shall commence performance of its obligations on the Performance Beginning Date and complete its obligations on or before the Initial Agreement Expiration Date, both of which are listed on the Cover Page of the Grant Agreement. Time of Performance may be extended in accordance with §2C of the main body of this Agreement. To initiate the extension process, Grantee shall submit a written request to DOH Key Personnel at least 60 days prior to the Initial Agreement Expiration Date, and shall include a full justification for the extension request. 1.4.5. Services Standards. For grantees awarded funds to provide services, grantee shall provide services in a manner consistent with the following standards: 1.4.5.1. Grantee shall have a staff-to-participant ratio of no less than one case manager to every 15 households for any component of the project that includes housing, such as transitional or supportive housing, as well as no fewer than one case manager to every 30 households in shelter or community-based programming, with preference for a 1:15 case management to participant ratio for all program components. 1.4.5.2. Staff should have relevant professional accreditations, education, and experience to implement both holistic and housing-focused services. Staff should be community-based and multi-disciplinary when possible. 1.4.5.3. Services should be implemented using best practice models, including Housing First, Harm Reduction, Motivational Interviewing, and Trauma-Informed Care (see Definitions). Other services and treatment models may be coordinated with or incorporated into the services programming based on the individuals served. The delivery of all services should be guided by the principles of cultural competence, recovery, and resiliency, with an emphasis on building individuals’ strengths and resources in the community, with family, and with peer/social networks. 1.4.5.4. Services and delivery of the supports should be adjusted appropriately based on the intended population(s) the project will serve. 1.4.6. Habitability Standards. Temporary housing units or shelter facilities must meet HUD's habitability standards defined in 24 CFR part 576.403(c). Documentation of meeting minimum standards must be maintained in households' files. Grantees may use ESG Habitability Standards Checklist found at: https://www.hudexchange.info/resource/3766/esg-minimum-habitability-standards- for-emergency-shelters-and-permanent-housing/ or an equivalent checklist. 1.4.7. Housing Quality Standards (HQS) are required both at initial occupancy and during the duration of housing assistance for Supportive Housing, Rapid Re-Housing, or Prevention programs. 1.4.8. Collaboration. Grantees shall work collaboratively with community-based partners and referral sources as necessary to ensure that all Households served acquire and maintain housing as efficiently as possible. For example, the grantee may attend and participate in case conferencing meetings to identify eligible Households for the Project and assist in process improvements as necessary, or the grantee may work in DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit A Page 3 of 13 CMS #185361 conjunction with the project voucher administrator and property management as necessary to ensure the intentions and outcomes of this Agreement. 1.4.9. Homeless Management Information System: Grantee shall utilize the local Continuum of Care (CoC) Homeless Management Information System (HMIS) for intake, program enrollment, move-in (if applicable), service provision (if applicable), annual assessments, and exit data collection. If Grantee does not have access to CoC HMIS, Grantee shall seek approval from DOH to partner with an agency that has access. Grantee agrees to fully comply with all HMIS rules and regulations including, without limitation, the following: 1.4.9.1. Grantee shall perform data entry within five (5) days of intake, program enrollment, move-in (if applicable), service provision (if applicable), and discontinuance of participation by a Household. 1.4.9.2. Grantee shall run regular data quality checks to ensure data is accurate. 1.4.9.3. Grantee shall sign all required CoC HMIS agreements and adhere to all CoC HMIS policies and procedures. (These agreements are available from the CoC HMIS administrator for each CoC.) 1.4.9.4. Grantee shall submit and update data in the HMIS Database as requested/necessary to complete performance reports (per §7.3 of this Exhibit A), as well as any other reports required by the CoC. 1.4.9.5. Grantee shall provide other information as requested by DOH for reporting and program evaluation purposes including, without limitation, the number of Households, the status of each Household, the location of units, the progress of the Households, and any other information deemed relevant by DOH. 1.4.9.6. Grantee shall ensure there is a current HMIS Client Consent Form on file for each Household. 2. DEFINITIONS The following terms pertain to the Statement of Work, and shall be construed and interpreted as follows: 2.1. Area Median Income. The Department of Housing and Urban Development (HUD) sets income limits that determine eligibility for assisted housing programs including the Public Housing, Section 8 project-based, Section 8 Housing Choice Voucher, Section 202 housing for the elderly, and Section 811 housing for persons with disabilities programs. HUD develops income limits based on Median Family Income estimates and Fair Market Rent area definitions for each metropolitan area, parts of some metropolitan areas, and each non- metropolitan county. DOH sets voucher payment standards annually using HUD income limits. 2.2. Behavioral Health. “Behavioral Health” is the scientific study of the emotions, behaviors and biology relating to a person’s mental well-being, their ability to function in everyday life and their concept of self. Behavioral health conditions include: substance use disorders; alcohol and drug addiction; and serious psychological distress, including suicide ideation and mental disorders. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit A Page 4 of 13 CMS #185361 2.3. Beneficiaries. “Beneficiaries” shall mean the persons and/or households who are the end users that benefit from the Project. 2.4. Comparable Database. “Comparable Database” is a database that meets all Homeless Management Information System (HMIS) Data Standards and does so in a method that protects the safety and privacy of the survivor. Comparable databases are used by “Victim Service Providers” (i.e., non-profit organizations whose primary mission is to provide services to survivors of domestic violence, dating violence, sexual assault, or stalking). 2.5. Continuums of Care. “Continuums of Care” are regional planning bodies which organize and deliver housing and services within their communities. There are four CoCs in Colorado: the Metro Denver Homeless Initiative (Denver, Boulder, Arapahoe, Douglas, Jefferson, and Adams counties), Pikes Peak CoC (El Paso County), Northern Colorado CoC (Larimer and Weld counties), and the Balance of State CoC (the 54 remaining counties grouped into 10 regional coalitions). 2.6. Coordinated Entry. “Coordinated Entry” is a system operated by each CoC in which the goal is to create and maintain a by-name list of every assessed individual or family experiencing homelessness in that CoC’s region so that they can be prioritized and matched with the most appropriate and available housing resource. 2.7. DOH. “DOH” means the Colorado Department of Local Affairs, Division of Housing. 2.8. Harm Reduction. “Harm Reduction” means a set of practical approaches aimed to reduce the harm associated with substance use rather than on the prevention of substance use itself. Harm reduction approaches recognize that individuals can be at different stages of recovery and that effective interventions should be individually tailored to each individual’s stage. Such strategies have been effective in reducing morbidity and mortality for such individuals by incorporating strategies from safer use, to managed use, to abstinence. Individuals are allowed to make choices about use and treatment, and regardless of the choices, are not treated adversely, housing status is not threatened, and help continues to be available. 2.9. Homeless or Experiencing Homelessness. “Homeless” or “Experiencing Homelessness” refers to a household that is living unsheltered, in a place not meant for human habitation or in a homeless shelter, or is at risk of losing their housing within 14 days. Homelessness is defined as living in a place not meant for human habitation, in emergency shelter, in temporary housing (e.g. - safe haven, transitional housing, bridge housing, or rapid rehousing), or exiting an institution where the person temporarily resided. 2.10. Homeless Management Information System (HMIS). “Homeless Management Information System” is 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. Each Continuum of Care is responsible for selecting an HMIS software solution that complies with HUD's data collection, management, and reporting standards. 2.11. Housing First. “Housing First” is a proven approach that prioritizes non-time limited housing to people experiencing homelessness, thus ending their homelessness. Housing First recognizes that housing is a platform from which individuals can pursue personal goals and improve quality of life. This approach is guided by the belief that people need DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit A Page 5 of 13 CMS #185361 basic necessities, such as food and housing, before attending to other goals, such as employment, budgeting, or substance use treatment. Unlike “Housing Ready” or “Housing Next” or “Treatment First” models, Housing First positions housing as an immediate priority for people experiencing homelessness. Numerous models complement Housing First, such as Harm Reduction, low barrier programming, trauma-informed approaches, and individual choice. 2.12. HUD. “HUD” is the United States Department of Housing and Urban Development. 2.13. Inclusion, diversity, equity, and accessibility (IDEA). “Inclusion, diversity, equity, and accessibility (IDEA)” are terms used to define efforts to outreach to and include diverse communities, organizations, and individuals who identify with diverse backgrounds, including but not limited to ethnicity, race, language, national origin, sexual orientation, gender identity and expression, and ability. 2.14. Indirect Costs. “Indirect Costs” means those costs that have been incurred for shared or joint objectives and cannot be readily identified with any particular activity. After direct costs have been determined and assigned directly to the grant award, or other work as appropriate, indirect costs are those that remain to be allocated. Examples include: office rent, utility, insurance, maintenance, and other expenditures related to shared space; administrative and executive team functions that support multiple program areas; and purchases, transportation, and staff expenses that benefit multiple program areas. Further guidance on indirect costs is provided in 2 CFR Part 200, Subpart E. 2.15. Motivational Interviewing. “Motivational Interviewing (MI)” is a collaborative, person- centered form of guiding to elicit and strengthen motivation for change by exploring and resolving ambivalence. MI is considered to be an evidence-based practice that has proven to be successful. 2.16. Other Funds. “Other Funds” means funding provided or to be provided by other federal, state, local, or private sources for the Project. Other Funds are good faith estimates and do not include Grant Funds. 2.17. Project Close-Out Date. “Project Close-Out Date” shall mean the date DOLA determines the Project is complete as identified in writing to the Grantee. 2.18. Recovery Care. “Recovery Care” are services provided for individuals with Substance Use Disorders (SUDs). These services focus on improving health outcomes and self-sufficiency that allow individuals to reach their full potential. 2.19. Recovery Care Residential Programs “Recovery Care Residential Programs” provide residential services and/or treatment for individuals experiencing homelessness so that they can receive recovery care services, as defined above. 2.20. Rental Assistance. “Rental Assistance” means Housing Assistance Payments (HAP) paid on behalf of households by a Public Housing Authority (PHA) directly to property owners/landlords. Rental Assistance is non-time limited and units must meet HQS standards before rental assistance payments can be made. Rental Assistance must follow the PHA’s Voucher Administrative Plan policies, procedures and regulations. 2.21. Substantial Completion. “Substantial Completion” means that Grantee has achieved the milestones and targets identified in §3 (Deliverables) of this Exhibit A through the DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit A Page 6 of 13 CMS #185361 delivery of approved services as identified in §5.2.3 (Descriptions of Uses) of this Exhibit A to Households identified in §1.2 of this Exhibit A. 2.22. Supportive Housing. “Supportive Housing,” also known as Permanent Supportive Housing (PSH), means decent, safe, affordable, community-based housing that provides tenants with the rights of tenancy, Tenancy Support Services, and links to other intensive supportive services using best practices, particularly the Housing First model, as well as Harm Reduction and Trauma-informed approaches. Supportive Housing is designed to allow tenants to live as independently as possible. 2.23. Trauma-Informed Care. “Trauma-Informed Care” is an approach to the delivery of behavioral health services that includes an understanding of trauma and an awareness of the impact it can have across settings, services, and populations. It involves viewing trauma through a cultural lens and recognizes that context plays a significant role in how individuals perceive and process traumatic events. A trauma-informed approach realizes the widespread impact of trauma; understands potential paths for healing; integrates knowledge of trauma into policies and practices; and seeks to actively prevent re- traumatization. 3. DELIVERABLES 3.1. Outcome. Full implementation of the Project and achievement of all Performance Measures. 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 agreement 11/01/2023 Provide certification of matching funds commitments and sources to DOH On-going Provide DOH access to Grantee’s HMIS web portal to review real time client data On-going Submit request for reimbursements to DOH at least quarterly On-going Track and record grant outcomes through DOH approved Performance Measures On-going Submit quarterly reports as determined by DOH On-going Submit annual progress reports as determined by DOH within 30 calendar days after the first twelve months of the grant period and annually thereafter On-going DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit A Page 7 of 13 CMS #185361 Submit Project Completion Report to DOH within 30 calendar days after the completion of the Project 11/13/2026 4. KEY PERSONNEL 4.1. Responsible Administrator. Grantee’s performance hereunder shall be under the direct supervision of the individual identified below, an employee or agent of Grantee, who is hereby designated as a key person and the Responsible Administrator of this project: Cristina Gair, Executive Director West Mountain Regional Health Alliance PO Box 1909 Glenwood Springs, CO 81602 cgair@westmountainhealthalliance.org 4.2. DOH Key Personnel. Libby Colón, Transformational Homelessness Response Manager, libby.colon@state.co.us 4.3. Replacement Personnel. If any Grantee Key Personnel cease to serve, Grantee shall immediately notify DOH of such event in writing. Replacement of Grantee Key Personnel shall be subject to DOH approval. Requests to replace Grantee Key Personnel shall be made in writing and shall include, without limitation, the name of the person, their qualifications, and the effective date of the proposed change. Notices sent pursuant to this subsection shall be sent in accordance with §14 of the main body of the Agreement, with a copy to DOH Key Personnel. Anytime Grantee Key Personnel cease to serve, the State, at its sole discretion, may direct Grantee to suspend work on the Project until such time as the Grantee proposes a replacement and such replacement is approved by DOH. 5. FUNDING The Agreement Maximum Amount to be provided by the State is set forth on the Cover Page of the Grant Agreement and is shown for convenience in §5.2.1 as “Grant Funds (DOLA)”. 5.1. Other Funds. Grantee shall provide all funds necessary to complete the Project. All Sources, other than the DOLA Grant Funds and Matching Funds (if any), are good faith estimates. 5.2. Project Budget. 5.2.1. Sources. Source Amount Grant Funds (DOLA) $2,743,690 Matching Funds -In-Kind -Public Housing Authority -Medicaid -County Funding -Foundation Grants -Emergency Services Grant $766,442.00 Total $3,510,132.00 DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit A Page 8 of 13 CMS #185361 5.2.2. Grant Funds (DOLA). Costs eligible for payment with DOLA Grant Funds are limited to the items and amounts listed in the table below (subject to any line item adjustments made pursuant to §5.4.1). A detailed description of uses is provided in §5.2.3. Use Amount Street Outreach $573,666 Emergency Shelter $1,093,688 Systems Improvement $1,076,336 Total $2,743,690 5.2.2.1. Pre-Agreement Costs. Reserved. 5.2.3. Descriptions of Uses. Following are descriptions of the Uses listed in §5.2.2. 5.2.3.1. Street Outreach. “Street Outreach” is non-facility based and is the act of engaging people experiencing unsheltered homelessness where they are. “Street Outreach” includes the following eligible activities: 5.2.3.1.1. Engagement and case management. Efforts to provide essential services to individuals experiencing unsheltered homelessness who are unwilling or unable to access emergency shelter, housing, or other services or programs. This includes: (i) making an initial assessment of services need and eligibility; (ii) assessing housing and service needs and arranging, coordinating, and monitoring the delivery of individualized services; (iii) coordinating with emergency shelter providers for immediate access to shelter options, including hotel/motel vouchers; (iv) providing crisis counseling; (v) addressing urgent physical needs, such as providing meals, blankets, clothes, or toiletries; (vi) actively connecting individuals to programs and services, including transportation to needed services; and (vii) other reasonable and necessary efforts to connect individuals to immediate support, intervention, connections with housing, homelessness assistance programs, and/or mainstream social services and housing programs. 5.2.3.1.2. Services for behavioral health, mental health, substance use disorders, and medical care. Includes a continuum of behavioral health services, treatment, and crisis intervention that is provided in non- facility settings. Also includes coordination for access to healthcare- related services including primary care, substance use treatment, mental health care, vision and dental care, and emergency, crisis, and inpatient services. Emergency behavioral, mental, or physical health services funded under this activity may include direct outpatient treatment by licensed professionals operating in non-facility-based settings. 5.2.3.1.3. Educational, vocational, and work-based learning opportunities. Efforts to connect individuals encountered through outreach with educational, vocational, and work-based learning opportunities that resolve a household’s homelessness as quickly as possible. A best practice is for outreach programs to create or connect to peer mentoring programs and hire peer mentors with lived expertise DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit A Page 9 of 13 CMS #185361 regarding homelessness to conduct outreach, as well as contribute to program design and improvement. 5.2.3.1.4. Recovery care and related residential programs. Efforts to connect individuals to community resources that offer recovery care and related residential programs, including the cost of transportation to such services and treatment. 5.2.3.1.5. Operations. Efforts related to locating and delivering services to individuals experiencing unsheltered homelessness where they are living and building rapport with them. This may include (i) physically locating individuals residing in unsheltered situations; (ii) getting staff to those locations; (iii) ongoing communication (including cell phones for outreach workers during the performance of these activities); and (iv) and other reasonable and necessary efforts required to locate and build trust with those in unsheltered situations. Additionally, this can include mapping the location of unsheltered encampments as well as upgrading, enhancing, or customizing a database that can track real-time, geographic data about homelessness outreach efforts. 5.2.3.1.6. Grant Activities. Efforts focused on administering a specific grant or funding source may improve effective operations, as well as effective program implementation. Such efforts include planning and executing program activities, such as (i) general program or grant management, oversight, coordination, monitoring, and evaluation; (ii) salaries, wages, and related costs related to preparing program budgets; developing systems for ensuring compliance with grant requirements; developing interagency agreements; and preparing reports and other required documents or activities; (iii) accounting or other services; and (iv) other reasonable and necessary goods and services required to implement the grant program, such as evaluating program results against stated objectives, occupancy costs, and training on program requirements. 5.2.3.1.7. Indirect Costs. Pursuant to 2 CFR § 200.414, Grant Funds may be used to pay for indirect costs in accordance with 2 CFR Part 200, Subpart E. Prior to requesting reimbursement for indirect costs, Grantee must discuss the indirect cost rate with DOH Key Personnel and submit corresponding documentation to DOH Key Personnel as requested. 5.2.3.2. Emergency Shelter. “Emergency Shelter” includes facilities for which the primary purpose is to provide temporary shelter to people experiencing homelessness and which do not require guests to sign leases or occupancy agreements and do not charge rent. “Emergency Shelter” includes the following eligible activities: 5.2.3.2.1. Essential services. Efforts to provide supportive services to those who are in an Emergency Shelter. These services include finding housing options that resolve guests’ homelessness as quickly as possible. Efforts include (i) housing search and placement and navigation, such as activities to assist guests to locate and obtain housing; (ii) housing stability case management, such as assessing, coordinating, and DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit A Page 10 of 13 CMS #185361 delivering individualized services to obtain housing, developing case management plans, and support groups; (iii) legal services necessary to resolve a legal problem that prohibits the guest participant from obtaining permanent housing; (iv) services for physical health care, mental health care, behavioral health care, and other medical care; (v) implementing and maintaining diversion programming; and (vi) other reasonable and necessary costs that help resolve a household’s homelessness, including but not limited to child care and transportation. 5.2.3.2.2. Educational, vocational, and work-based learning opportunities. Efforts to connect individuals and families with educational, vocational, and work-based learning opportunities that resolve the individual’s homelessness as quickly as possible. Shelters may consider creating or connecting to peer mentoring programs and hiring peer mentors with lived expertise of homelessness to work in the shelter and contribute to program design or improvement. 5.2.3.2.3. Recovery care and related residential programs. Efforts to connect program participants to community resources that offer recovery care and related residential programs, including transportation to those services. 5.2.3.2.4. Operations. Efforts related to maintenance (including minor or routine repairs), rent, security, fuel, equipment, insurance, utilities, food, furnishings, and supplies necessary for the operation of the Emergency Shelter. 5.2.3.2.5. Grant Activities. Efforts focused on administering a specific grant or funding source may improve effective operations, as well as effective program implementation. Such efforts include planning and executing program activities, such as (i) general program or grant management, oversight, coordination, monitoring, and evaluation; (ii) salaries, wages, and related costs related to preparing program budgets; developing systems for ensuring compliance with grant requirements; developing interagency agreements; and preparing reports and other required documents or activities; (iii) accounting or other services; and (iv) other reasonable and necessary goods and services required to implement the grant program, such as evaluating program results against stated objectives, occupancy costs, and training on program requirements. 5.2.3.3. Systems Improvement. Systems improvement activities generally refer to collaborative and strategic processes that identify complex problems, develop community-driven solutions, and implement improvements. “Systems Improvement” includes the following eligible activities: 5.2.3.3.1. Data Collection, Management, Analysis, And System Integration includes efforts related to collecting, managing, and analyzing data and/or integrating data systems to advance communities’ homelessness efforts. Proposals may be related to the Homeless Management Information System (HMIS), an HMIS comparable DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit A Page 11 of 13 CMS #185361 database, and/or other coordinated activities that use data to strengthen communities’ understanding of and response to homelessness. 5.2.3.3.2. Coordination includes coordination across communities, regions, and/or the state at-large, including but not limited to case conferencing, coordinated entry systems, capacity-building and infrastructure, cross-sector partnerships, and other strategic activities to advance a community’s/region’s homelessness efforts. 5.2.3.3.3. Resource Utilization Acceleration relates to enhancing the utilization of currently available resources, increasing the speed of connection to resources for eligible households, or otherwise ensuring that homelessness response systems connect households to resources as efficiently and effectively as possible. 5.3. Matching Funds. Grantee shall provide the funds identified as “Matching Funds” in §5.2.1, above, unless otherwise approved in writing by DOH. Matching Funds may only be used for the eligible costs described in §5.2.3 of this Exhibit A. 5.4. Project Budget Line Item Adjustment. 5.4.1. If the table in §5.2.2 contains more than one budget line item, Grantee shall have authority to adjust individual budget line item amounts, without approval of the State, up to an aggregate of 10% of such line item from which the funds are moved. Such authority shall not include administrative line items (such as project delivery or administrative costs). Grantee shall send written notification of allowed adjustments to the State within 30 days of such adjustment. 5.4.2. Changes to individual budget lines amounts in §5.2.2 in excess of 10% shall require written approval of the DOLA Controller. Grantee shall submit a written request for changes pursuant to this Section to the State. Such request shall include the amount of such request, the reason for the request and any necessary documentation. If the State approves such request, the State shall unilaterally execute an Option Letter accepting such request pursuant to §16.I.i of the main Agreement. 6. PAYMENTS TO GRANTEE Payments to Grantee shall be made in accordance with the provisions of §5 of the main body of the Agreement, and §6 of this Exhibit A. 6.1. Payment Schedule. Grantee shall submit all payment requests in a timely manner to DOH. Unless otherwise agreed to by DOH, Grantee shall submit payment requests once per month, on or before the 20th of each month. DOH may request the Grantee to submit payment requests for the months of May and June earlier than the 20th (to the extent possible) in order to complete closeout of the state fiscal year in a timely manner. Eligible expenses incurred by Grantee during any calendar month shall be included in the following month’s pay request. DOH shall review the pay request and, if approved, shall submit the pay request to DOLA accounting for its review, approval and payment. Payments may be withheld, at DOH’s reasonable discretion, pending submission by Grantee and approval by DOH of any reports or completion by Grantee of any administrative requirements set forth in the main Grant Agreement or this Exhibit A. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit A Page 12 of 13 CMS #185361 Payment Amount All payments 100% of Payment Request Paid upon DOLA’s receipt of actual expense documentation and written requests from the Grantee for reimbursement of eligible approved Project costs. Total $2,743,690 6.2. Any excess Grant Funds shall be returned to DOLA via deobligation letter from Grantee within 60 days prior to the expiration of the Grant Agreement. 6.3. Pay Request Process. Payment requests shall be submitted to DOH Key Personnel via instructed processes. Each request shall include all required/appropriate information and documentation necessary, per guidance provided by DOH, in order for DOH to verify eligibility of expenses. 6.4. Remittance Address. If mailed, payments shall be remitted to the following address unless changed in accordance with §14 of the main body of the Agreement: West Mountain Regional Health Alliance PO Box 1909. Glenwood Springs, CO 81602 6.5. Interest. If advance payments are authorized, Grantee or Subgrantee may keep interest earned from Grant Funds up to $500 per year for administrative expenses. All interest earned in excess of $500 shall be remitted to DOLA. 7. ADMINISTRATIVE REQUIREMENTS – STATE Grantee shall administer Grant Funds in accordance with the requirements of this Agreement, Division of Housing (DOH) Guidelines, and this Exhibit A. 7.1. Accounting. Grantee shall maintain segregated accounts of Grant 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 in §5.2 of this Exhibit A above. 7.2. Audit Report. If an audit is performed on Grantee’s records for any fiscal year covering a portion of the term of this Agreement or any other grants/contracts with DOLA, Grantee shall submit a copy of the final audit report, including a report in accordance with the Single Audit Act and 2 CFR 200.500 et seq., to: Department of Local Affairs Accounting & Financial Services 1313 Sherman Street, Room 323 Denver, CO 80203 Or email to: dola.audit@state.co.us and libby.colon@state.co.us 7.3. Reporting. In addition to any reporting required pursuant to the terms of the main Agreement, Grantee shall submit to DOLA the reports listed below in a format acceptable to DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit A Page 13 of 13 CMS #185361 the State. If such reports are not submitted in a timely manner, the State may withhold payments to Grantee pursuant to §6.1 of this Exhibit A. 7.3.1. Quarterly Performance Reports. Within 20 calendar days after the end of each quarter, Grantee shall submit a quarterly performance report. The quarterly performance report shall include reporting on the expected project deliverables as approved by DOH. 7.3.2. Annual Report. Within 30 calendar days after the first twelve months of the grant period and annually thereafter, Grantee shall submit an annual report. In the event that the grant term is shorter or longer than twelve months, Grantee shall use the reporting deadlines provided by the DOH Key Personnel. The annual report shall be completed using the reporting template which DOH shall provide and shall include reporting on the expected deliverables as described in §3 and §1.4.9 (Homeless Management Information System) of this Exhibit A. DOH may make changes to the reporting template at any time during the grant period; if such changes are made, DOH shall communicate these changes to Grantee in a timely manner. 7.4. Monitoring. The State shall monitor this Agreement in accordance with its Risk-Based Monitoring Policy and §7B and §C of the main body of the Agreement. Final evaluation of the Project will be accomplished when DOLA approves the Project Completion Report. 7.4.1. DOH at its discretion may monitor files, policies, or other program documentation either on site or through a request of documents. THE REST OF THIS PAGE INTENTIONALLY LEFT BLANK DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit B Page 1 of 3 Version 6.01.2023 EXHIBIT B, SAMPLE OPTION LETTER 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 H4HRG00000 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. 1. 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. 2. 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 A), as amended, is deleted and replaced with the following: 5.2. Project Budget. 5.2.1. Sources Source Amount [Source] $x.xx Total $x.xx DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit B Page 2 of 3 Version 6.01.2023 5.2.2. Uses/Project Activities Use/Project Activity Amount [Use] $x.xx Total $x.xx 5.2.3. Eligible Uses of DOLA Grant Funds Eligible Activity Amount [Eligible Use] $x.xx Total $x.xx 5.2.4 Pre-Agreement Costs. [Reserved]. 4. For use with Option 1(D): The Payment Schedule in §6.1 of the Statement of Work (Exhibit A), as amended, is deleted and replaced with the following: 6.1 Payment Schedule. Grantee shall disburse Grant Funds received from the State within fifteen days of receipt. Excess funds shall be returned to DOLA. Payment Amoun t Interim Payment(s ) $x.xx Paid upon DOLA’s receipt and approval of a written request for payment and expense documentation of eligible costs. Final Payment $x.xx Paid upon DOLA’s receipt and approval of a written request for payment, expense documentation of eligible costs, Beneficiary data, and all required reports. Total $x.xx 5. For use with Option 1(E): The Milestones in §3.3 of Exhibit A, as amended, is deleted and replaced with the following: 3.3. Performance Measures. Grantee shall comply with the following Milestones and Target Dates: Milestone: Target Date [Milestone] [Date] [Milestone] [Date] [Milestone] [Date] 6. For use with Option 1(F): The Service Area in §3.2 of Exhibit A, as amended, is deleted and replaced with the following: 3.2. Service Area. The performance of Services for this Agreement shall be located in [Area], State of Colorado. 7. For use with Option 1(G): The Responsible Administrator in §4.1 of Exhibit A, as amended, is deleted and replaced with the following: 4.1. Responsible Administrator. Grantee’s performance hereunder shall be under the direct supervision of the individual identified below, an employee or agent of Grantee, who is hereby designated as a key person and the Responsible Administrator of this Project: DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit B Page 3 of 3 Version 6.01.2023 [Name, Title] [Entity Name] [Address] [City, State, Zip Code] [e-mail address] 8. For use with Option 1(H): the Remittance Address in §6.2 of Exhibit A, 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 Agreement: [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 Rick M. Garcia, Executive Director By: Rick M. Garcia, Executive Director Date: STATE CONTROLLER Robert Jaros, CPA, MBA, JD By: DOLA Controller Delegate Option Effective Date: DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit C Page 1 of 1 Version 6.01.2023 EXHIBIT C, BUDGET 1. BUDGET BY US TREASURY EXPENDITURE CATEGORY 1.1 Expenditure Categories identified in Exhibit C will determine what is reported on as outlined in Exhibits D-G. Project Number Project Title US Treasury Expenditure Category Number and Name Budget H4HRG23176 WMRHA_Valley Alliance to End Homelessness EC 2.16, Long-Term Housing Security: Services for Unhoused Persons $2,743,690 Total 2. BUDGET BY FUNCTION 3. EXPENDITURE CATEGORY MODIFICATIONS 1.1 Increases or decreases in any Expenditure Category must be requested and approved by the State Agency by using the SLFRF Expenditure Modification Form. This form can be found at: https://osc.colorado.gov/american-rescue-plan-act (see SLFRF Grant Agreement Templates tab). DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit D Page 1 of 14 Version 6.01.2023 Exhibit D, 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. The State of Colorado is accountable to Treasury for oversight of their subrecipients, including ensuring their subrecipients comply with the SLFRF statute, SLFRF Award Terms and Conditions, Treasury’s Final Rule, and reporting requirements, as applicable. 1.3. Additionally, any subrecipient that issues a subaward to another entity (2nd tier subrecipient), must hold the 2nd tier subrecipient accountable to these provisions and adhere to reporting requirements. 1.4. 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. “Expenditure Category (EC)” means the category of eligible uses as defined by the US Department of Treasury in “Appendix 1 of the Compliance and Reporting Guidance, State and Local Fiscal Recovery Funds” report available at www.treasury.gov. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit D Page 2 of 14 Version 6.01.2023 2.1.5. “Federal Awarding Agency” means a Federal agency providing a Federal Award to a Recipient as described in 2 CFR 200.1 2.1.6. “Grant” means the Grant to which these Federal Provisions are attached. 2.1.7. “Grantee” means the party or parties identified as such in the Grant to which these Federal Provisions are attached. 2.1.8. “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. 2.1.9. “Nonprofit Organization” means any corporation, trust, association, cooperative, or other organization, not including IHEs, that: 2.1.9.1. Is operated primarily for scientific, educational, service, charitable, or similar purposes in the public interest; 2.1.9.2. Is not organized primarily for profit; and 2.1.9.3. Uses net proceeds to maintain, improve, or expand the operations of the organization. 2.1.10. “OMB” means the Executive Office of the President, Office of Management and Budget. 2.1.11. “Pass-through Entity” means a non-Federal Entity that provides a Subaward to a Subrecipient to carry out part of a Federal program. 2.1.12. “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. 2.1.13. “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. 2.1.14. “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. 2.1.15. “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. “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 DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit D Page 3 of 14 Version 6.01.2023 fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2005) (FAS 123R), Shared Based Payments; 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. “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. 2.1.18. “Unique Entity ID Number” means the twelve-character alphanumeric ID assigned to an entity by SAM.gov to uniquely identify a business entity. Information on UEIs can be found at: sam.gov/content/duns-uei 3. COMPLIANCE. 3.1. Grantee shall comply with all applicable provisions of the Transparency Act and the regulations issued pursuant thereto, all 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. 3.2. Per US Treasury Final Award requirements, grantee programs or services must not include terms or conditions that undermine efforts to stop COVID-19 or discourage compliance with recommendations and CDC guidelines. 4. SYSTEM FOR AWARD MANAGEMENT (SAM) AND UNIQUE ENTITY IDENTIFIER (UEI) 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. 4.2. UEI. Grantee shall provide its UEI number to its Prime Recipient, and shall update Grantee’s information in SAM at least annually. 5. TOTAL COMPENSATION. 5.1. Grantee shall include Total Compensation in SAM for each of its five most highly compensated Executives for the preceding fiscal year if: DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit D Page 4 of 14 Version 6.01.2023 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 Agreements and Subcontractors 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 Agreements and Subcontractors and/or Federal financial assistance Awards or Subawards subject to the Transparency Act; and 5.1.2.3. 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 FEDERAL 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. If the total award is below $30,000 no reporting required; if more than $30,000 and less than $50,000 then FFATA reporting is required; and, $50,000 and above SLFRF reporting is required. 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. Grantee shall report as set forth below. 8.1.1. Grantee shall use the SLFRF Subrecipient Quarterly Report Workbook as referenced in Exhibit F to report to the State Agency within ten (10) days following each quarter ended September, December, March and June. Additional information on specific requirements are detailed in the SLFRF Subrecipient Quarterly Report Workbooks and "Compliance and Reporting Guidance, State and Local Fiscal Recovery Funds" report available at www.treasury.gov. EC 1 – Public Health All Public Health Projects DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit D Page 5 of 14 Version 6.01.2023 a) Description of structure and objectives b) Description of relation to COVID-19 c) Identification of impacted and/or disproportionately impacted communities d) Capital Expenditures i. Presence of capital expenditure in project ii. Total projected capital expenditure iii. Type of capital expenditure iv. Written justification v. Labor reporting COVID-19 Interventions and Mental Health (1.4, 1.11, 1.12, 1.13) a) Amount of total project used for evidence-based programs b) Evaluation plan description COVID-19 Small Business Economic Assistance (1.8) a) Number of small businesses served COVID-19 Assistance to Non-Profits (1.9) a) Number of non-profits served COVID-19 Aid to Travel, Tourism, and Hospitality or Other Impacted Industries (1.10) a) Sector of employer b) Purpose of funds EC 2 – Negative Economic Impacts All Negative Economic Impacts Projects a) Description of project structure and objectives b) Description of project’s response to COVID-19 c) Identification of impacted and/or disproportionately impacted communities d) Amount of total project used for evidence-based programs and description of evaluation plan (not required for 2.5, 2.8, 2.21-2.24, 2.27-2.29, 2.31, 2.34-2.36) e) Number of workers enrolled in sectoral job training programs f) Number of workers completing sectoral job training programs g) Number of people participating in summer youth employment programs h) Capital Expenditures i. Presence of capital expenditure in project ii. Total projected capital expenditure iii. Type of capital expenditure iv. Written justification v. Labor reporting Household Assistance (2.1-2.8) a) Number of households served b) Number of people or households receiving eviction prevention services (2.2 & 2.5 only) (Federal guidance may change this requirement in July 2022) c) Number of affordable housing units preserved or developed (2.2 & 2.5 only) (Federal guidance may change this requirement in July 2022) Healthy Childhood Environments (2.11-2.13) DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit D Page 6 of 14 Version 6.01.2023 a) Number of children served by childcare and early learning (Federal guidance may change this requirement in July 2022) b) Number of families served by home visiting (Federal guidance may change this requirement in July 2022) Education Assistance (2.14, 2.24-2.27) a) National Center for Education Statistics (“NCES”) School ID or NCES District ID b) Number of students participating in evidence-based programs (Federal guidance may change this requirement in July 2022) Housing Support (2.15, 2.16, 2.18) a) Number of people or households receiving eviction prevention services (Federal guidance may change this requirement in July 2022) b) Number of affordable housing units preserved or developed (Federal guidance may change this requirement in July 2022) Small Business Economic Assistance (2.29-2.33) a) Number of small businesses served Assistance to Non-Profits (2.34) a) Number of non-profits served Aid to Travel, Tourism, and Hospitality or Other Impacted Industries (2.35-2.36) a) Sector of employer b) Purpose of funds c) If other than travel, tourism and hospitality (2.36) – description of hardship EC 3 – Public Health – Negative Economic Impact: Public Sector Capacity Payroll for Public Health and Safety Employees (EC 3.1) a) Number of government FTEs responding to COVID-19 Rehiring Public Sector Staff (EC 3.2) a) Number of FTEs rehired by governments EC 4 – Premium Pay All Premium Pay Projects a) List of sectors designated as critical by the chief executive of the jurisdiction, if beyond those listed in the final rule b) Numbers of workers served c) Employer sector for all subawards to third-party employers d) Written narrative justification of how premium pay is responsive to essential work during the public health emergency for non-exempt workers or those making over 150 percent of the state/county’s average annual wage e) Number of workers to be served with premium pay in K-12 schools EC 5 – Infrastructure Projects All Infrastructure Projects a) Projected/actual construction start date (month/year) b) Projected/actual initiation of operations date (month/year) c) Location (for broadband, geospatial data of locations to be served) d) Projects over $10 million DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit D Page 7 of 14 Version 6.01.2023 i. Prevailing wage certification or detailed project employment and local impact report ii. Project labor agreement certification or project workforce continuity plan iii. Prioritization of local hires iv. Community benefit agreement description, if applicable Water and sewer projects (EC 5.1-5.18) a) National Pollutant Discharge Elimination System (NPDES) Permit Number (if applicable; for projects aligned with the Clean Water State Revolving Fund) b) Public Water System (PWS) ID number (if applicable; for projects aligned with the Drinking Water State Revolving Fund) c) Median Household Income of service area d) Lowest Quintile Income of the service area Broadband projects (EC 5.19-5.21) a) Confirm that the project is designed to, upon completion, reliably meet or exceed symmetrical 100 Mbps download and upload speeds. i. If the project is not designed to reliably meet or exceed symmetrical 100 Mbps download and upload speeds, explain why not, and ii. Confirm that the project is designed to, upon completion, meet or exceed 100 Mbps download speed and between at least 20 Mbps and 100 Mbps upload speed, and be scalable to a minimum of 100 Mbps download speed and 100 Mbps upload speed. b) Additional programmatic data will be required for broadband projects and will be defined in a subsequent version of the US Treasury Reporting Guidance, including, but not limited to (Federal guidance may change this requirement in July 2022): i. Number of households (broken out by households on Tribal lands and those not on Tribal lands) that have gained increased access to broadband meeting the minimum speed standards in areas that previously lacked access to service of at least 25 Mbps download and 3 Mbps upload, with the number of households with access to minimum speed standard of reliable 100 Mbps symmetrical upload and download and number of households with access to minimum speed standard of reliable 100 Mbps download and 20 Mbps upload ii. Number of institutions and businesses (broken out by institutions on Tribal lands and those not on Tribal lands) that have projected increased access to broadband meeting the minimum speed standards in areas that previously lacked access to service of at least 25 Mbps download and 3 Mbps upload, in each of the following categories: business, small business, elementary school, secondary school, higher education institution, library, healthcare facility, and public safety organization, with the number of each type of institution with access to the minimum speed standard of reliable 100 Mbps symmetrical upload and download; and number of each type of institution with access to the minimum speed standard of reliable 100 Mbps download and 20 Mbps upload. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit D Page 8 of 14 Version 6.01.2023 iii. Narrative identifying speeds/pricing tiers to be offered, including the speed/pricing of its affordability offering, technology to be deployed, miles of fiber, cost per mile, cost per passing, number of households (broken out by households on Tribal lands and those not on Tribal lands) projected to have increased access to broadband meeting the minimum speed standards in areas that previously lacked access to service of at least 25 Mbps download and 3 Mbps upload, number of households with access to minimum speed standard of reliable 100 Mbps symmetrical upload and download, number of households with access to minimum speed standard of reliable 100 Mbps download and 20 Mbps upload, and number of institutions and businesses (broken out by institutions on Tribal lands and those not on Tribal lands) projected to have increased access to broadband meeting the minimum speed standards in areas that previously lacked access to service of at least 25 Mbps download and 3 Mbps upload, in each of the following categories: business, small business, elementary school, secondary school, higher education institution, library, healthcare facility, and public safety organization. Specify the number of each type of institution with access to the minimum speed standard of reliable 100 Mbps symmetrical upload and download; and the number of each type of institution with access to the minimum speed standard of reliable 100 Mbps download and 20 Mbps upload. All Expenditure Categories a) Program income earned and expended to cover eligible project costs 8.1.2. A Subrecipient shall report the following data elements to Prime Recipient no later than five days after the end of the month following the month in which the Subaward was made. 8.1.2.1. Subrecipient UEI Number; 8.1.2.2. Subrecipient UEI Number if more than one electronic funds transfer (EFT) account; 8.1.2.3. Subrecipient parent’s organization UEI Number; 8.1.2.4. Subrecipient’s address, including: Street Address, City, State, Country, Zip + 4, and Congressional District; 8.1.2.5. Subrecipient’s top 5 most highly compensated Executives if the criteria in §4 above are met; and 8.1.2.6. Subrecipient’s Total Compensation of top 5 most highly compensated Executives if the criteria in §4 above met. 8.1.3. To Prime Recipient. A Subrecipient shall report to its Prime Recipient, the following data elements: 8.1.3.1. Subrecipient’s UEI Number as registered in SAM. 8.1.3.2. Primary Place of Performance Information, including: Street Address, City, State, Country, Zip code + 4, and Congressional District. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit D Page 9 of 14 Version 6.01.2023 8.1.3.3. Narrative identifying methodology for serving disadvantaged communities. See the "Project Demographic Distribution" section in the "Compliance and Reporting Guidance, State and Local Fiscal Recovery Funds" report available at www.treasury.gov. This requirement is applicable to all projects in Expenditure Categories 1 and 2. 8.1.3.4. Narrative identifying funds allocated towards evidenced-based interventions and the evidence base. See the “Use of Evidence” section in the “Compliance and Reporting Guidance, State and Local Fiscal Recovery Funds” report available at www.treasury.gov. See section 8.1.1 for relevant Expenditure Categories. 8.1.3.5. Narrative describing the structure and objectives of the assistance program and in what manner the aid responds to the public health and negative economic impacts of COVID-19. This requirement is applicable to Expenditure Categories 1 and 2. For aid to travel, tourism, and hospitality or other impacted industries (EC 2.11- 2.12), also provide the sector of employer, purpose of funds, and if not travel, tourism and hospitality a description of the pandemic impact on the industry. 8.1.3.6. Narrative identifying the sector served and designated as critical to the health and well-being of residents by the chief executive of the jurisdiction and the number of workers expected to be served. For groups of workers (e.g., an operating unit, a classification of worker, etc.) or, to the extent applicable, individual workers, other than those where the eligible worker receiving premium pay is earning (with the premium pay included) below 150 percent of their residing state or county’s average annual wage for all occupations, as defined by the Bureau of Labor Statistics Occupational Employement and Wage Statistics, whichever is higher, OR the eligible worker reciving premium pay is not exempt from the Fair Labor Standards Act overtime provisions, include justification of how the premium pay or grant is responsive to workers performing essential work during the public health emergency. This could include a description of the essential workers' duties, health or financial risks faced due to COVID-19 but should not include personally identifiable information. This requirement applies to EC 4.1, and 4.2. 8.1.3.7. For infrastructure projects (EC 5) or capital expenditures in any expenditure category, narrative identifying the projected construction start date (month/year), projected initiation of operations date (month/year), and location (for broadband, geospatial location data). 8.1.3.7.1. For projects over $10 million: 8.1.3.7.1.1. Certification that all laborers and mechanics employed by Contractors and Subcontractors in the performance of such project are paid wages at rates not less than those prevailing, as determined by the U.S. Secretary of Labor in accordance with subchapter IV of chapter 31 of title 40, United States Code (commonly known as the "Davis-Bacon Act"), for the corresponding classes of laborers and mechanics employed on projects of a character similar to the Agreement work in the civil subdivision of the State (or the District of Columbia) in which the work is to be performed, or by the appropriate State entity pursuant to a corollary State prevailing- wage-in-construction law (commonly known as "baby Davis-Bacon DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit D Page 10 of 14 Version 6.01.2023 Acts"). If such certification is not provided, a recipient must provide a project employment and local impact report detailing (1) the number of employees of Contractors and sub-contractors working on the project; (2) the number of employees on the project hired directly and hired through a third party; (3) the wages and benefits of workers on the project by classification; and (4) whether those wages are at rates less than those prevailing. Recipients must maintain sufficient records to substantiate this information upon request. 8.1.3.7.1.2. A Subrecipient may provide a certification that a project includes a project labor agreement, meaning a pre-hire collective bargaining agreement consistent with section 8(f) of the National Labor Relations Act (29 U.S.C. 158(f)). If the recipient does not provide such certification, the recipient must provide a project workforce continuity plan, detailing: (1) how the Subrecipient will ensure the project has ready access to a sufficient supply of appropriately skilled and unskilled labor to ensure high-quality construction throughout the life of the project; (2) how the Subrecipient will minimize risks of labor disputes and disruptions that would jeopardize timeliness and cost-effectiveness of the project; and (3) how the Subrecipient will provide a safe and healthy workplace that avoids delays and costs associated with workplace illnesses, injuries, and fatalities; (4) whether workers on the project will receive wages and benefits that will secure an appropriately skilled workforce in the context of the local or regional labor market; and (5) whether the project has completed a project labor agreement. 8.1.3.7.1.3. Whether the project prioritizes local hires. 8.1.3.7.1.4. Whether the project has a Community Benefit Agreement, with a description of any such agreement. 8.1.4. Subrecipient also agrees to comply with any reporting requirements established by the US Treasury, Governor’s Office and Office of the State Controller. The State of Colorado may need additional reporting requirements after this agreement is executed. If there are additional reporting requirements, the State will provide notice of such additional reporting requirements via Exhibit G – SLFRF Reporting Modification Form. 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. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit D Page 11 of 14 Version 6.01.2023 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 Agreements 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. 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. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit D Page 12 of 14 Version 6.01.2023 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 SUBRECIPIENT AGREEMENTS. 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 Subcontractors entered into by it pursuant to this Grant. 12.1.1. [Applicable to federally assisted construction Agreements.] Equal Employment Opportunity. Except as otherwise provided under 41 CFR Part 60, all Agreements that meet the definition of “federally assisted construction Agreement” 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 Agreement 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 an Agreement 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, Agreements 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. Agreements 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). DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit D Page 13 of 14 Version 6.01.2023 12.1.5. Debarment and Suspension (Executive Orders 12549 and 12689). A Agreement 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. 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 Agreement, 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 Agreement with the enemy (2 CFR 200.215). Federal awarding agencies and recipients are subject to the regulations implementing “Never Agreement with the enemy” in 2 CFR part 183. The regulations in 2 CFR part 183 affect covered Agreements, 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. 12.1.9. Title VI of the Civil Rights Act. The Subgrantee, Contractor, Subcontractor, transferee, and assignee shall comply with Title VI of the Civil Rights Act of 1964, which prohibits recipients of federal financial assistance from excluding from a program or activity, denying benefits of, or otherwise discriminating against a person on the basis of race, color, or national origin (42 U.S.C. § 2000d et seq.), as implemented by the Department of Treasury’s Title VI regulations, 31 CFR Part 22, which are herein incorporated by reference and made a part of this Agreement (or agreement). Title VI also includes protection to persons with “Limited English Proficiency” in any program or activity receiving federal financial assistance, 42 U.S. C. § 2000d et seq., as implemented by the Department of the Treasury’s Title VI regulations, 31 CRF Part 22, and herein incorporated by reference and made part of this Agreement or agreement. 13. CERTIFICATIONS. 13.1. Subrecipient Certification. Subrecipient shall sign a “State of Colorado Agreement with Recipient of Federal Recovery Funds” Certification Form in Exhibit E and submit to State Agency with signed grant agreement. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit D Page 14 of 14 Version 6.01.2023 13.2. 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. EVENT OF DEFAULT AND TERMINATION. 14.3. 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. 14.4. Termination (2 CFR 200.340). The Federal Award may be terminated in whole or in part as follows: 14.4.1. 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; 14.4.2. 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; 14.4.3. 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; 14.4.4. 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 14.4.5. By the Federal Awarding Agency or Pass-through Entity pursuant to termination provisions included in the Federal Award. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit E Page 1 of 9 Version 6.01.2023 Exhibit E, AGREEMENT WITH SUBRECIPIENT OF FEDERAL RECOVERY FUNDS Section 602(b) of the Social Security Act (the Act), as added by section 9901 of the American Rescue Plan Act (ARPA), Pub. L. No. 117-2 (March 11, 2021), authorizes the Department of the Treasury (Treasury) to make payments to certain Subrecipients from the Coronavirus State Fiscal Recovery Fund. The State of Colorado has signed and certified a separate agreement with Treasury as a condition of receiving such payments from the Treasury. This agreement is between your organization and the State and your organization is signing and certifying the same terms and conditions included in the State’s separate agreement with Treasury. Your organization is referred to as a Subrecipient. As a condition of your organization receiving federal recovery funds from the State, the authorized representative below hereby (i) certifies that your organization will carry out the activities listed in section 602(c) of the Act and (ii) agrees to the terms attached hereto. Your organization also agrees to use the federal recovery funds as specified in bills passed by the General Assembly and signed by the Governor. Under penalty of perjury, the undersigned official certifies that the authorized representative has read and understood the organization’s obligations in the Assurances of Compliance and Civil Rights Requirements, that any information submitted in conjunction with this assurances document is accurate and complete, and that the organization is in compliance with the nondiscrimination requirements. Subrecipient Name __________________________________ Authorized Representative: _______________________________ Title: __________________________________ Signature: ___________________________ DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5 Cristina Gair West Mountain Regional Health Alliance Executive Director DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit E Page 2 of 9 Version 6.01.2023 AGREEMENT WITH SUBRECIPIENT OF FEDERAL RECOVERY FUNDS TERMS AND CONDITIONS Use of Funds. a. Subrecipient understands and agrees that the funds disbursed under this award may only be used in compliance with section 602(c) of the Social Security Act (the Act) and Treasury’s regulations implementing that section and guidance. b. Subrecipient will determine prior to engaging in any project using this assistance that it has the institutional, managerial, and financial capability to ensure proper planning, management, and completion of such project. 2. Period of Performance. The period of performance for this subaward is shown on page one of this Agreement. Subrecipient may use funds to cover eligible costs incurred, as set forth in Treasury’s implementing regulations, during this period of performance. Reporting. Subrecipient agrees to comply with any reporting obligations established by Treasury as they relate to this award. Subrecipient also agrees to comply with any reporting requirements established by the Governor’s Office and Office of the State Controller. The State will provide notice of such additional reporting requirements via Exhibit G – Reporting Modification Form. Maintenance of and Access to Records a. Subrecipient shall maintain records and financial documents sufficient to evidence compliance with section 602(c), Treasury’s regulations implementing that section, and guidance issued by Treasury regarding the foregoing. b. The Treasury Office of Inspector General and the Government Accountability Office, or their authorized representatives, shall have the right of access to records (electronic and otherwise) of Subrecipient in order to conduct audits or other investigations. c. Records shall be maintained by Subrecipient for a period of five (5) years after all funds have been expended or returned to Treasury, whichever is later. Pre-award Costs. Pre-award costs, as defined in 2 C.F.R. § 200.458, may not be paid with funding from this award. Administrative Costs. Subrecipient may use funds provided under this award to cover both direct and indirect costs. Subrecipient shall follow guidance on administrative costs issued by the Governor’s Office and Office of the State Controller. Cost Sharing. Cost sharing or matching funds are not required to be provided by Subrecipient. Conflicts of Interest. The State of Colorado understands and agrees it must maintain a conflict of interest policy consistent with 2 C.F.R. § 200.318(c) and that such conflict of interest policy is applicable to each activity funded under this award. Subrecipient and Contractors must DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit E Page 3 of 9 Version 6.01.2023 disclose in writing to the Office of the State Controller or the pass-through entity, as appropriate, any potential conflict of interest affecting the awarded funds in accordance with 2 C.F.R. § 200.112. The Office of the State Controller shall disclose such conflict to Treasury. Compliance with Applicable Law and Regulations. a. Subrecipient agrees to comply with the requirements of section 602 of the Act, regulations adopted by Treasury pursuant to section 602(f) of the Act, and guidance issued by Treasury regarding the foregoing. Subrecipient also agrees to comply with all other applicable federal statutes, regulations, and executive orders, and Subrecipient shall provide for such compliance by other parties in any agreements it enters into with other parties relating to this award. b. Federal regulations applicable to this award include, without limitation, the following: i. Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 C.F.R. Part 200, other than such provisions as Treasury may determine are inapplicable to this Award and subject to such exceptions as may be otherwise provided by Treasury. Subpart F – Audit Requirements of the Uniform Guidance, implementing the Single Audit Act, shall apply to this award. ii. Universal Identifier and System for Award Management (SAM), 2 C.F.R. Part 25, pursuant to which the award term set forth in Appendix A to 2 C.F.R. Part 25 is hereby incorporated by reference. iii. Reporting Subaward and Executive Compensation Information, 2 C.F.R. Part 170, pursuant to which the award term set forth in Appendix A to 2 C.F.R. Part 170 is hereby incorporated by reference. iv. OMB Guidelines to Agencies on Government wide Debarment and Suspension (Nonprocurement), 2 C.F.R. Part 180, including the requirement to include a term or condition in all lower tier covered transactions (Agreements and Subcontractors described in 2 C.F.R. Part 180, subpart B) that the award is subject to 2 C.F.R. Part 180 and Treasury’s implementing regulation at 31 C.F.R. Part 19. v. Subrecipient Integrity and Performance Matters, pursuant to which the award term set forth in 2 C.F.R. Part 200, Appendix XII to Part 200 is hereby incorporated by reference. vi. Government wide Requirements for Drug-Free Workplace, 31 C.F.R. Part 20. vii. New Restrictions on Lobbying, 31 C.F.R. Part 21. viii. Uniform Relocation Assistance and Real Property Acquisitions Act of 1970 (42 U.S.C. §§ 4601-4655) and implementing regulations. ix. Generally applicable federal environmental laws and regulations. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit E Page 4 of 9 Version 6.01.2023 c. Statutes and regulations prohibiting discrimination applicable to this award include, without limitation, the following: i. Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§ 2000d et seq.) and Treasury’s implementing regulations at 31 C.F.R. Part 22, which prohibit discrimination on the basis of race, color, or national origin under programs or activities receiving federal financial assistance; ii. The Fair Housing Act, Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§ 3601 et seq.), which prohibits discrimination in housing on the basis of race, color, religion, national origin, sex, familial status, or disability; iii. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which prohibits discrimination on the basis of disability under any program or activity receiving federal financial assistance; iv. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 et seq.), and Treasury’s implementing regulations at 31 C.F.R. Part 23, which prohibit discrimination on the basis of age in programs or activities receiving federal financial assistance; and v. Title II of the Americans with Disabilities Act of 1990, as amended (42 U.S.C. §§ 12101 et seq.), which prohibits discrimination on the basis of disability under programs, activities, and services provided or made available by state and local governments or instrumentalities or agencies thereto. Remedial Actions. In the event of Subrecipient’s noncompliance with section 602 of the Act, other applicable laws, Treasury’s implementing regulations, guidance, or any reporting or other program requirements, Treasury may impose additional conditions on the receipt of a subsequent tranche of future award funds, if any, or take other available remedies as set forth in 2 C.F.R. § 200.339. In the case of a violation of section 602(c) of the Act regarding the use of funds, previous payments shall be subject to recoupment as provided in section 602(e) of the Act and any additional payments may be subject to withholding as provided in sections 602(b)(6)(A)(ii)(III) of the Act, as applicable. Hatch Act. Subrecipient agrees to comply, as applicable, with requirements of the Hatch Act (5 U.S.C.§§ 1501-1508 and 7324-7328), which limit certain political activities of State or local government employees whose principal employment is in connection with an activity financed in whole or in part by this federal assistance. False Statements. Subrecipient understands that making false statements or claims in connection with this award is a violation of federal law and may result in criminal, civil, or administrative sanctions, including fines, imprisonment, civil damages and penalties, debarment from participating in federal awards or Agreements, and/or any other remedy available by law. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit E Page 5 of 9 Version 6.01.2023 Publications. Any publications produced with funds from this award must display the following language: “This project [is being] [was] supported, in whole or in part, by federal award number SLFRF0126 awarded to the State of Colorado by the U.S. Department of the Treasury.” Debts Owed the Federal Government. a. Any funds paid to the Subrecipient (1) in excess of the amount to which the Subrecipient is finally determined to be authorized to retain under the terms of this award; (2) that are determined by the Treasury Office of Inspector General to have been misused; or (3) that are determined by Treasury to be subject to a repayment obligation pursuant to sections 602(e) and 603(b)(2)(D) of the Act and have not been repaid by the Subrecipient shall constitute a debt to the federal government. b. Any debts determined to be owed to the federal government must be paid promptly by Subrecipient. A debt is delinquent if it has not been paid by the date specified in Treasury’s initial written demand for payment, unless other satisfactory arrangements have been made or if the Subrecipient knowingly or improperly retains funds that are a debt as defined in paragraph 14(a). Treasury will take any actions available to it to collect such a debt. Disclaimer. a. The United States expressly disclaims any and all responsibility or liability to Subrecipient or third persons for the actions of Subrecipient or third persons resulting in death, bodily injury, property damages, or any other losses resulting in any way from the performance of this award or any other losses resulting in any way from the performance of this award or any Agreement, or Subcontractor under this award. b. The acceptance of this award by Subrecipient does not in any way establish an agency relationship between the United States and Subrecipient. Protections for Whistleblowers. a. In accordance with 41 U.S.C. § 4712, Subrecipient may not discharge, demote, or otherwise discriminate against an employee in reprisal for disclosing to any of the list of persons or entities provided below, information that the employee reasonably believes is evidence of gross mismanagement of a federal Agreement or grant, a gross waste of federal funds, an abuse of authority relating to a federal Agreement or grant, a substantial and specific danger to public health or safety, or a violation of law, rule, or regulation related to a federal Agreement (including the competition for or negotiation of an Agreement) or grant. b. The list of persons and entities referenced in the paragraph above includes the following: i. A member of Congress or a representative of a committee of Congress; ii. An Inspector General; iii. The Government Accountability Office; iv. A Treasury employee responsible for Agreement or grant oversight or DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit E Page 6 of 9 Version 6.01.2023 management; v. An authorized official of the Department of Justice or other law enforcement agency; vi. A court or grand jury; or vii. A management official or other employee of Subrecipient, Contractor, or Subcontractor who has the responsibility to investigate, discover, or address misconduct. c. Subrecipient shall inform its employees in writing of the rights and remedies provided under this section, in the predominant native language of the workforce. Increasing Seat Belt Use in the United States. Pursuant to Executive Order 13043, 62 FR 19217 (Apr. 18, 1997), Subrecipient should encourage its Contractors to adopt and enforce on-the-job seat belt policies and programs for their employees when operating company- owned, rented or personally owned vehicles. 10. Reducing Text Messaging While Driving. Pursuant to Executive Order 13513, 74 FR 51225 (Oct. 6, 2009), Subrecipient should encourage its employees, Subrecipients, and Contractors to adopt and enforce policies that ban text messaging while driving, and Subrecipient should establish workplace safety policies to decrease accidents caused by distracted drivers. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit E Page 7 of 9 Version 6.01.2023 ASSURANCES OF COMPLIANCE WITH CIVIL RIGHTS REQUIREMENTS ASSURANCES OF COMPLIANCE WITH TITLE VI OF THE CIVIL RIGHTS ACT OF 1964 As a condition of receipt of federal financial assistance from the Department of the Treasury, the Subrecipient provides the assurances stated herein. The federal financial assistance may include federal grants, loans and Agreements to provide assistance to the Subrecipient’s beneficiaries, the use or rent of Federal land or property at below market value, Federal training, a loan of Federal personnel, subsidies, and other arrangements with the intention of providing assistance. Federal financial assistance does not encompass Agreements of guarantee or insurance, regulated programs, licenses, procurement Agreements by the Federal government at market value, or programs that provide direct benefits. The assurances apply to all federal financial assistance from or funds made available through the Department of the Treasury, including any assistance that the Subrecipient may request in the future. The Civil Rights Restoration Act of 1987 provides that the provisions of the assurances apply to all of the operations of the Subrecipient’s program(s) and activity(ies), so long as any portion of the Subrecipient’s program(s) or activity(ies) is federally assisted in the manner prescribed above. 1. Subrecipient ensures its current and future compliance with Title VI of the Civil Rights Act of 1964, as amended, which prohibits exclusion from participation, denial of the benefits of, or subjection to discrimination under programs and activities receiving federal financial assistance, of any person in the United States on the ground of race, color, or national origin (42 U.S.C. § 2000d et seq.), as implemented by the Department of the Treasury Title VI regulations at 31 CFR Part 22 and other pertinent executive orders such as Executive Order 13166, directives, circulars, policies, memoranda, and/or guidance documents. 2. Subrecipient acknowledges that Executive Order 13166, “Improving Access to Services for Persons with Limited English Proficiency,” seeks to improve access to federally assisted programs and activities for individuals who, because of national origin, have Limited English proficiency (LEP). Subrecipient understands that denying a person access to its programs, services, and activities because of LEP is a form of national origin discrimination prohibited under Title VI of the Civil Rights Act of 1964 and the Department of the Treasury’s implementing regulations. Accordingly, Subrecipient shall initiate reasonable steps, or comply with the Department of the Treasury’s directives, to ensure that LEP persons have meaningful access to its programs, services, and activities. Subrecipient understands and agrees that meaningful access may entail providing language assistance services, including oral interpretation and written translation where necessary, to ensure effective communication in the Subrecipient’s programs, services, and activities. 3. Subrecipient agrees to consider the need for language services for LEP persons when Subrecipient develops applicable budgets and conducts programs, services, and activities. As a resource, the Department of the Treasury has published its LEP guidance at 70 FR 6067. For more information on taking reasonable steps to provide meaningful access for LEP persons, please visit http://www.lep.gov. 4. Subrecipient acknowledges and agrees that compliance with the assurances constitutes a condition DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit E Page 8 of 9 Version 6.01.2023 of continued receipt of federal financial assistance and is binding upon Subrecipient and Subrecipient’s successors, transferees, and assignees for the period in which such assistance is provided. 5. Subrecipient acknowledges and agrees that it must require any sub-grantees, contractors, subcontractors, successors, transferees, and assignees to comply with assurances 1-4 above, and agrees to incorporate the following language in every Agreement or agreement subject to Title VI and its regulations between the Subrecipient and the Subrecipient’s sub-grantees, Contractors, Subcontractors, successors, transferees, and assignees: The sub-grantee, Contractor, Subcontractor, successor, transferee, and assignee shall comply with Title VI of the Civil Rights Act of 1964, which prohibits Subrecipients of federal financial assistance from excluding from a program or activity, denying benefits of, or otherwise discriminating against a person on the basis of race, color, or national origin (42 U.S.C. § 2000d et seq.), as implemented by the Department of the Treasury’s Title VI regulations, 31 CFR Part 22, which are herein incorporated by reference and made a part of this Agreement (or agreement). Title VI also includes protection to persons with “Limited English Proficiency” in any program or activity receiving federal financial assistance, 42 U.S.C. § 2000d et seq., as implemented by the Department of the Treasury’s Title VI regulations, 31 CFR Part 22, and herein incorporated by reference and made a part of this Agreement or agreement. 6. Subrecipient understands and agrees that if any real property or structure is provided or improved with the aid of federal financial assistance by the Department of the Treasury, this assurance obligates the Subrecipient, or in the case of a subsequent transfer, the transferee, for the period during which the real property or structure is used for a purpose for which the federal financial assistance is extended or for another purpose involving the provision of similar services or benefits. If any personal property is provided, this assurance obligates the Subrecipient for the period during which it retains ownership or possession of the property. 7. Subrecipient shall cooperate in any enforcement or compliance review activities by the Department of the Treasury of the aforementioned obligations. Enforcement may include investigation, arbitration, mediation, litigation, and monitoring of any settlement agreements that may result from these actions. The Subrecipient shall comply with information requests, on-site compliance reviews and reporting requirements. 8. Subrecipient shall maintain a complaint log and inform the Department of the Treasury of any complaints of discrimination on the grounds of race, color, or national origin, and limited English proficiency covered by Title VI of the Civil Rights Act of 1964 and implementing regulations and provide, upon request, a list of all such reviews or proceedings based on the complaint, pending or completed, including outcome. Subrecipient also must inform the Department of the Treasury if Subrecipient has received no complaints under Title VI. 9. Subrecipient must provide documentation of an administrative agency’s or court’s findings of non-compliance of Title VI and efforts to address the non-compliance, including any voluntary compliance or other agreements between the Subrecipient and the administrative agency that made the finding. If the Subrecipient settles a case or matter alleging such discrimination, the Subrecipient must provide documentation of the settlement. If Subrecipient has not been the subject of any court or administrative agency finding of discrimination, please so state. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit E Page 9 of 9 Version 6.01.2023 10. If the Subrecipient makes sub-awards to other agencies or other entities, the Subrecipient is responsible for ensuring that sub-Subrecipients also comply with Title VI and other applicable authorities covered in this document State agencies that make sub-awards must have in place standard grant assurances and review procedures to demonstrate that that they are effectively monitoring the civil rights compliance of sub- Subrecipients. The United States of America has the right to seek judicial enforcement of the terms of this assurances document and nothing in this document alters or limits the federal enforcement measures that the United States may take in order to address violations of this document or applicable federal law. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit F Page 1 of 1 Version 06.01.2023 EXHIBIT F, SLFRF SUBRECIPIENT QUARTERLY REPORT 1. SLFRF SUBRECIPIENT QUARTERLY REPORT WORKBOOK 1.1 The SLFRF Subrecipient Quarterly Report Workbook must be submitted to the State Agency within ten (10) days following each quarter ended September, December, March and June. The SLFRF Subrecipient Quarterly Report Workbook can be found at: https://osc.colorado.gov/american-rescue-plan-act (see SLFRF Grant Agreement Templates tab). DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit G Page 1 of 1 Version 6.01.2023 Exhibit G – SAMPLE SLFRF REPORTING MODIFICATION FORM Grantee: Grant Agreement No: Project Title: Project No: Project Duration: To: From: State Agency: This form serves as notification that there has been a change to the reporting requirements set forth in the original SLFRF Grant Agreement. The following reporting requirements have been (add/ remove additional rows as necessary): Updated Reporting Requirement (Add/Delete/Modify) Project Number Reporting Requirement By signing this form, the Grantee agrees to and acknowledges the changes to the reporting requirements set forth in the original SLFRF Grant Agreement. All other terms and conditions of the original SLFRF Grant Agreement, with any approved modifications, remain in full force and effect. Grantee shall submit this form to the State Agency within 10 business days of the date sent by that Agency. ____________________________________ _______________________________ Grantee Date ____________________________________ _______________________________ State Agency Grant Manager Date DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit H Page 1 of 3 Version 6.01.2023 EXHIBIT H – 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. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit H Page 2 of 3 Version 6.01.2023 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. 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. DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit H Page 3 of 3 Version 6.01.2023 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: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit I Page 1 of 1 Version 6.01.2023 EXHIBIT I - RENT AND INCOME LIMITS [Reserved] DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit J Page 1 of 2 Version 6.01.2023 EXHIBIT J-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: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Exhibit J Page 2 of 2 Version 6.01.2023 EXHIBIT J-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 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. 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: 245565B6-5E33-4677-A4D3-58259E695DC5 Executive Director 10/16/2023 | 11:09 AM MDT Cristina Gair West Mountain Reg. Health AllianceCristina Gair DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Page 1 of 1 Version 6.01.2023 FORM 1 - RESIDENCY DECLARATION [Reserved] DocuSign Envelope ID: 245565B6-5E33-4677-A4D3-58259E695DC5DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF 11 EXHIBIT B TRANSFORMATIONAL HOMELESSNESS RESPONSE GRANT PROGRAM POLICIES AND PROCEDURES DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Department of Local Affairs (DOLA), Div ision of Housing (DOH), Office of Homeless Initiatives (OHI) Transformational Homelessness Response (THR) Grant Program Policies &Procedures Updated 2/23/2024 These policies and procedures apply to all Subrecipients of the Transformational Homelessness Response (THR)grant program. DOH may add to this document as additional areas for clarification are identified.Please see the Revisions section for a list of additions made from previous editions. 1 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Table of Contents -Click the desired topic to jump to that section REVISIONS 5 Introduction 6 Overview of Funding 6 Recipient and Subrecipients 7 Recipient and Subrecipient Responsibilities 7 Governing Documents 7 Subrecipient Specific Policies and Procedures 8 Cost Principles &Allowable Costs 9 Allowable costs 9 Unallowable Costs 10 DOH Discretion &Determination of Unallowable Costs for THR 10 Use of Funds for Law Enforcement Personnel and Expenses 10 Construction,Acquisition,or Renovation 10 Supplantion &Supplementing 11 Supplantation 11 Supplementing 11 Best Practices To Prevent Supplanting 11 Duplication of Benefits 12 Conducting the Duplication of Benefits Analysis 12 Program Assistance Analysis 12 Individual Assistance Analysis 12 Direct and Indirect Costs 13 Indirect Cost Rates 13 Modified Total Direct Costs 14 Cost Allocation Plans 15 Salaries and Expenses 15 Time and Activity Documentation 16 Pass Through Entities 17 Pass Through Entity Responsibilities 17 Subaward Classification 18 Subrecipient 18 Subcontractor 18 Subaward Approval Process 19 THR Subcontractor Expectations Guidance 19 Procurement Standards 19 Financial Management 20 Internal Controls 20 Fraud,Waste,&Abuse 21 Program Income 22 Accounting for Program Income 22 Match or Cost Sharing 23 General Considerations 23 Types of Allowable Match 23 2 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Unallowable Match 24 Rules to Follow 24 Grant Reimbursement 24 Federal Funds Advances 24 Advances Fund Approval Process 25 Interest on Advances 25 Supporting Documentation 25 Pay Request Supporting Documentation 25 Examples Of Pay Request Supporting Documentation 26 Income Limits for THR Activities 27 Expectations on the Equitable Distribution of Resources 28 THR Referral Plan 28 Beneficiary Documentation or Client Files 29 Examples of Beneficiary Documentation by Program Activity 29 Personal Identifying Information (PII)34 Record Retention 36 Pay Requests 37 Reporting 38 HMIS Setup 38 HMIS Project Setup Guidelines 39 HMIS Reporting 39 Reporting Dates 39 Monitoring 40 Risk-Based Monitoring 41 Types of Monitoring 41 Outcomes of Monitoring 41 Audit Requirements 42 Eligible Activities and Program Components 42 General Best Practices 43 Street Outreach 44 Emergency Shelter 45 Transitional Housing 46 Bridge Housing 47 Eviction &Homelessness Prevention 48 Rapid Re-housing 50 Permanent Supportive Housing 53 Systems Improvement 55 Additional Resources 55 Appendix A 56 Pay Request Policies &Procedures 56 Overview of Pay Requests 56 Completing Your THR Cover Sheet 57 Compiling &Organizing Your Backup Documentation Packet 58 Using Access Gov 59 Frequently Asked Questions 61 3 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF REVISIONS Since the first edition of the THR Policies &Procedures published in September 2023,the following updates have been made: Edition Date Section &Hyperlink Revision November 2023 Unallowable Costs Gift cards were added to the list of unallowable costs. Income Limits for THR Activities Details added on the maximum income limits for households to be eligible for THR funded services Expectations on the Equitable Distribution of Resources Additional policy clarity added surrounding the intended audience of THR grants,and prioritization requirements for grantees. THR Referral Plan Additional policy and procedure for referral plans for THR grants. Beneficiary Documentation or Client Files Additional details added on the required backup documentation by funded activity. HMIS Project Setup Additional details added on the required grant reporting,including reporting schedule &important distinctions. Linking the HMIS Program Setup Guide Spreadsheet for grantees. Eligible Activities &Program Components Best Practices Details on best practices from the Playbook on eligible activities &program components. December 2023 Beneficiary Documentation or Client Files Residency Declaration requirements specified for all adults in households. February 2024 Third Party Entity Access to PII Clarity on language included in grant agreement surrounding disclosure of PII THR Subcontractor Expectations Guidance Additional guidance of subaward approval expectations for subcontractors Pay Request Procedure The separate THR Pay Request Procedure document was updated and added to Appendix A. Pay Request Backup Documentation Submission Requirements Clarity that DOH may waive the requirement to submit full backup each month after 3 months of accurate requests. 4 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Introduction Overv iew of Funding Created by Colorado House Bill 2022 1304 (HB22-1304)and Colorado House Bill 2022 1377 (HB22-1377)the Transformational Homelessness Response (THR)grant program seeks to ensure everyone has a safe and stable place to live and thrive. The Colorado Department of Local Affairs (DOLA),through its Division of Housing (DOH)Office and Office of Homeless Initiatives (OHI),administers the Transformational Homelessness Response (THR)grant program. The aim of the THR grant program is to create a future where homelessness is rare and brief when it occurs,and no one gets left behind.The program achieves this aim by advancing and implementing proven solutions and program models that reduce homelessness in a holistic and sustainable way by targeting many of the key underlying factors necessary for people to thrive:advance equity,improve overall well-being,connect to benefits and stable housing, and increase employable skills and experiences that allow individuals to meet their needs, pursue their goals,and achieve self-sufficiency.In addition to reducing homelessness,this program aims to reduce public utilization costs,revitalize public spaces,and increase workforce opportunities. As the U.S.Department of Housing and Urban Development (HUD)stated after the passing of the American Rescue Plan Act (ARPA):COVID-19 has exacerbated our nation’s already severe housing affordability crisis.Today,1 in 5 renters is behind on rent and just over 10 million homeowners are behind on mortgage payments.People of color face even greater hardship and are more likely to have deferred or missed payments,putting them at greater risk of eviction and foreclosure.At the same time,our nation’s homelessness crisis has worsened during the pandemic,as people experiencing homelessness are highly vulnerable to COVID-19 transmission,illness,and severity due to their use of congregate shelters and their high prevalence of underlying health conditions. Colorado is no exception,as COVID-19 has been hitting low-and extremely low-income individuals and families who were already severely cost-burdened especially hard,increasing their risk of experiencing homelessness or inability to resolve their homelessness. The source of funds for these programs are from The Coronavirus State and Local Fiscal Recovery Funds (SLFRF)program,a part of the American Rescue Plan Act (ARPA).This THR policies and procedures document covers specific compliance and reporting requirements for this funding. As the Recipient of federal funds,DOH is required to comply with all applicable requirements, and pass the responsibility to comply with all applicable regulations onto any Subrecipients who are awarded federal funds. 5 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Recipient and Subrecipients As it pertains to the THR program: ●Recipient –The State of Colorado is the Recipient entity that receives SLFRF funding. In the context of this policies and procedures document,the Division of Housing (DOH) is the Recipient. ●Subrecipients –DOH allocated THR funds through a competitive application process. Entities that receive DOH’s THR funds through this application process and administer the program components are DOH’s Subrecipients. ○Additional details outlining the roles and responsibilities of THR Subrecipients that may enter into subawards of their own can be found in the Pass Through Entities section. Recipient and Subrecipient Responsibilities Recipients and Subrecipients of federal funds have responsibilities including: ●Effective administration of federal funds ●Application of sound management practices ●Administration of federal funds in a manner consistent with the program objectives and terms and conditions It is not only the Recipient's responsibility but the Pass Through Entity’s responsibility to make sure that costs are allowable. Recipients and Subrecipients should document and follow written policies and procedures,it will be expected that a Recipient or Subrecipient can readily produce this documentation during an audit. Pass Through Entities must continue to monitor Subrecipients and review costs charged to the federal award using the above criteria and completed documentation to support these costs. Governing Documents DOH staff must follow the most restrictive guidelines for all funds included in a project.For example if the Office of the State Controller (OSC)has a more restrictive rule for funds,DOH staff must follow the OSC rule rather than the Uniform Administrative Requirement. The most recent version of these governing document applies: 1.Uniform Administrative Requirements (2 CFR 200) Uniform Administrative Requirements are federal requirements that are used to administer all federal funding throughout the grant life cycle.These requirements are applicable to all costs related to Federal awards. 2 CFR 200 contains six subparts and twelve appendices.The subparts of 2 CFR 200 are aligned with the award lifecycle: ○Subpart A –Acronyms and Definitions (2 CFR 200.0 to 2 CFR 200.99) ○Subpart B –General Provisions (2 CFR 200.100 to 2 CFR 200.113) ○Subpart C –Pre-Federal Award Requirements and Contents of Federal Awards (2 CFR 200.200 to 2 CFR 200.213) ○Subpart D –Post Federal Award Requirements (2 CFR 200.300 to 2 CFR 200.345) ○Subpart E –Cost Principles (2 CFR 200.400 to 2 CFR 200.475) ○Subpart F –Audit Requirements (2 CFR 200.500 to 2 CFR 200.521) 6 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF 2.SLFRF 2023 Interim Final Rule Provides additional provisions relevant to SLFRF funding. 3.Overview of the 2023 Interim Final Rule,provides a summary of major rule provisions to assist recipients and stakeholders 4.SLFRF Final Rule:Frequently Asked Questions -July 2023 5.Office of the State Controller (OSC)Fiscal Procedures The requirements outlined in the Uniform Administrative Requirements are mirrored for state funds in the Office of the State Controller (OSC)Fiscal Procedures.These procedures govern the State’s fiscal procedures. 6.OSC SLFRF Recovery Funds Reference Guide Throughout this document are links to desk guidance for applicable guidance that have been developed by the State of Colorado Office of the State Controller (OSC).These do not cover every aspect of the 2 CFR 200 requirements,but address the common grant management requirements of which grant managers should be aware. 7.THR Grant Agreement THR-funded organizations must review and adhere to their THR Grant Agreement(s). The executed Grant Agreement for each THR award has specific definitions, requirements,and provisions governing the award. Within the Grant Agreement Subrecipients can find critical information including: ●Period of Performance ●Approved Statement of Work ●Performance Milestones ●Reporting Requirements ●Line Item Approved Budget ●Insurance Requirements ●Payment Process 8.THR Policies and Procedures Subrecipient Specific Policies and Procedures While many of the Governing Documents above outline DOH's responsibilities with regard to these funds,Subrecipients should note that all requirements pass through to them as well as they receive these funds from DOH. Subrecipients receiving THR grant funds should be familiar with these THR policies and procedures and,as is noted throughout this document,should have written policies and procedures for their own organization.Subrecipient may adopt these THR policies and procedures as their organization’s policies and procedures. 7 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Cost Principles &Allowable Costs 2 CFR 200 Subpart E (2 CFR 200.400 to 2 CFR 200.475) Cost principles are standards for federal awards that apply to all direct and indirect costs, definitions for which can be found in the Direct and Indirect Costs section. Non-Federal entities (including state &local governments)are required to: ●Submit cost sharing/matching funds plans ●Abide by Generally Acceptable Accounting Principles (GAAP) ●Abide by Federal Audit requirements Additional resource: OSC Cost Principles Basic Considerations -2 CFR 200.400 -22.419 -An overview of cost principles as outlined in 2 CFR 200,Subpart E. Allowable costs 2 CFR 200.403-406 Allowable costs,able to be charged to a federal award,must meet all of the following requirements: ●Be necessary and reasonable ○Necessary costs are “generally recognized as ordinary and necessary for the operation..and efficient performance of the federal award”2 CFR 200.404 (a). ○You should be able to specifically describe how and why costs are necessary.If you’re unable to,it’s most likely unallowable. ○A cost is reasonable if it does not exceed what would be incurred by a prudent person under normal circumstances at the time the decision to incur the cost was made. ○In other words,the necessary requirement is about the need and the reasonableness requirement is about the cost. ○THR is a housing-focused program that aims to transform homelessness in Colorado.DOH recognizes that there will be a variety of costs associated with housing individuals who have historically been unhoused that will be reasonable.Agencies should be able to provide rationale for how they determine if a cost is reasonable to address the housing needs of their clients. ●Conform with federal law,program guidelines,and terms of the federal award ●Be allocable to the specific award and its activities ○All costs must be chargeable or assignable to the Subrecipent’s THR grant agreement before they are paid out ●Be accorded consistent treatment,meaning a cost may not be assigned to a federal award as a direct cost if any of costs is incurred for the same purpose ●In accordance with the Generally Accepted Accounting Principles (GAAP) ●Not used for cost sharing or matching requirement of any other federally funded program ●Purchased materials and supplies must be charged at their actual prices or net of applicable credits -the actual costs after all discounts and promotions are applied ●Consistent with the organization’s policies uniformly applied to all activities ○Costs must be consistently charged as either indirect or direct costs. Subrecipients may not charge the same administrative costs to both direct and indirect cost categories,or to other programs. 8 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF ●Have adequate backup documentation using sound management techniques ○A cost cannot be considered allowable if there is no documentation to support it.This includes but is not limited to invoices for services,time and effort documentation for staff time,and documentation of indirect costs. ●All costs under a federal award must occur during the approved period of performance.If a cost occurs outside the period of performance then it will be considered unallowable. Unallowable Costs 2 CFR 200.400,Subpart E Costs that are considered unallowable cannot be charged to federal awards,they include: ●Advertising and public relations ●Alcoholic beverages -includes costs of alcohol at hosted events and while traveling for grant related activities ●Contingencies ●Contributions and donations -federal funds cannot be used to donate to any cause, including political contributions ●Prosecution and criminal activities ●Entertainment ●Fines ●Penalties ●General government expenses and lobbying costs ●Gift cards ●Duplication of benefits Additional resource:An additional summary of selected items of cost as outlined in 2 CFR 200.421-475 by the Office of State Controller is provided for your guidance only.Please consult Uniform Guidance for additional information. DOH Discretion &Determination of Unallowable Costs for THR The Colorado legislature endowed the DOH with the discretion to determine restrictions or conditions of the grant program and the use of awarded grant funds.DOH will continue to update this THR policies and procedures with additional guidance as necessary. Use of Funds for Law Enforcement Personnel and Expenses DOH does not consider law enforcement personnel and expenses to be an eligible cost under the THR Grant program.Subrecipients may,with written DOH approval,leverage the staff time of law enforcement as match when directly spent on approved grant program activities, such as street outreach. Construction,Acquisition,or Renovation Under the THR RFA,costs related to development such as acquisition,renovation,and new construction are not eligible expenses. 9 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Supplantion &Supplementing Subrecipients must understand the differences between supplanting and supplementing.This distinction is important because supplanting is not allowed,while supplementing is allowed. Supplantation Supplanting occurs when a grantee replaces existing organizational or program funds currently used to pay for an activity,because federal funds are available (or are expected to be available)for that same activity.Federal funds cannot be used to cover expenses that would otherwise be paid out using other funds.Federal grant funds must instead be used to benefit the intended purpose of the funds as defined in the grant agreement,such as starting a new project or building upon an existing project. For example,an emergency shelter provider has a staff person whose time is covered with an existing grant.That person’s job will not change if THR is awarded to an agency.Even though their time could be covered by THR (emergency shelter operations is an eligible activity under the THR program),that agency cannot reallocate the existing grant to another use in order to pay for that staff person’s time with THR.The only way the program could cover that staff person’s time with THR would be if that staff person’s job will change to support the increased THR project in some capacity. Supplementing An entity is supplementing funding when federal grant funds are used in combination with other funds to enhance a planned expenditure in an existing budget or to administer the increased work that results from the additional federal award.Supplementing funds is allowable to the extent that funds are used to meet the programmatic purpose and that no other provision prohibits its use this way.Entities may blend and braid their federal funding with other funding through supplementing.For example,an organization that already has a financial manager that oversees all organizational spending has added THR funds to that staff person’s portfolio.That staff person is now spending additional time managing THR funds. Therefore,that organization can request reimbursement for the time and activities required to manage the THR funds,with appropriate time/activity documentation. Best Practices To Prevent Supplanting If supplanting is discovered via monitoring or auditing,it indicates that the Subrecipient did not identify supplanting upfront and must improve its financial practices and internal controls.Subrecipients that have supplanted must return that money to the state agency or directly to the federal agency.This often will result in suspension of future funds for the particular program and potentially civil or criminal penalties.Below are some best practices that can help agencies and their Subrecipients avoid supplanting: ●Ensure that all internal staff understand the difference between supplementing and supplanting ●Ensure funds are tracked separately and not co-mingled. ○Funds should not be lumped into one category labeled “grants” ○Financial system must be able to track funds by funding source ○All expenses and reimbursements must be consistently tracked for accuracy ●Never use federal funds to pay for existing employees,unless the existing position changes to include different responsibilities that are created due to the new funding ●Never use federal funds to pay for items or costs that you are already committed to pay with state,local,or tribal funds 10 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF ●Maintain supporting documentation:budget sheets,meeting minutes,or other official documents that may address the reduction of non-federal funds ●Review internal processes and/or create processes to address supplanting ●DOH monitors Subrecipients to ensure sound financial practices are in place Additional resource:OSC Supplanting Determination Tool Duplication of Benefits The American Rescue Plan Act (ARPA)requires that grantees avoid a duplication of benefits.A duplication of benefits occurs when a person,household,business,government,or other entity receives financial assistance from multiple sources for the same purpose within the same time period,and the total assistance received for that purpose is more than the total need for assistance. Subrecipients can create a duplication of benefits if they charge two funders for the same cost (i.e.February’s rent payment for office space,the annual salary of the same staff person,etc.).Beneficiary duplication of benefits occurs when the amount of the assistance to a beneficiary exceeds the total allowable assistance to that beneficiary.The total allowable assistance is based on the eligible activities of a grant program,a required needs assessment, or another reasonable needs-based metric.Subrecipients must conduct an analysis to determine whether the beneficiary could receive assistance from other sources and should pay only for needs not met by other sources. Conducting the Duplication of Benefits Analysis Program Assistance Analysis Subrecipient can complete a duplication of benefits analysis by developing an overall project budget that demonstrates the funding needed for the activity and the funding reasonably anticipated. This analysis can be used for a particular program or geographic area where the sources of funding can be identified and the need can be reasonably estimated.This has been described as similar to a “sources and uses”analysis for a housing or economic development project. The sources of funding for the budget should include all Federal and non-Federal funding, in-kind or cash donations,and any projected program income.If the budget shows that the estimated need is greater than the funding sources,there is no duplication of benefits. Individual Assistance Analysis An organization can conduct an individual assistance analysis by assessing a beneficiary’s current level of resources they are receiving toward the need that they are presenting to the Subreicpient.If the benefits they are receiving exceed the total need,any additional support would constitute a duplication of benefits.If the benefits are less than the total need,the agency can provide resources to fill the gap. The preferred method for assessing beneficiary resources toward a need is through collection of third party documentation about the resources already being provided.If this is not feasible,a signed attestation form at the time of intake to certify that the beneficiary is not receiving duplicative rental assistance from another agency. Additional resource:OSC Duplication of Benefits Guidance 11 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Direct and Indirect Costs There are two ways to charge a grant,through direct costs and indirect costs.Uniform Guidance provides guidelines whether a cost is direct or indirect. A direct cost is one “that can be identified specifically with a particular final cost objective...or that can be directly assigned to such activities relatively easily with a high degree of accuracy.”(2 CFR 200.413(a)). Examples of direct costs include salary,materials,and supplies used for the grant.Supply costs must either be dedicated to the grant 100%,or have a clear and consistent methodology for tracking the portion of the costs allocated to each grant. On the other hand,an indirect cost is “incurred for a common or joint purpose benefitting more than one cost objective and not readily assignable to the cost objectives specifically benefited,without effort disproportionate to the results achieved.”(2 CFR 200.1) Said another way,indirect costs are not readily identifiable with a specific project but are necessary to the general operation of an agency and how activities are conducted. Indirect costs are often incurred for a common purpose of benefitting more than one cost objective.Such as maintenance of office equipment or equipment that can be used by multiple programs and projects. Common examples of indirect costs are costs of heat,air conditioning,lighting,payroll,and the accounting system. Indirect costs charged to a federal grant must be proportionate to the percentage of program benefit and are expressed as an indirect cost rate. Subrecipients are permitted to charge both direct and indirect costs to their award as long as they are accorded consistent treatment per 2 CFR 200.403. It is important to have written policies and procedures in place that provide the process for making this decision.These policies and procedures must be applied consistently and uniformly to both federally funded activities and non-federally funded activities. Additional resources: ●Allowable Costs and Cost Principles (2 CFR 200,Subpart E)micro training ●OSC ARPA Reference Guide Direct and Indirect Costs Indirect Cost Rates 2 CFR 200.416 (a) To recover indirect costs on Federal Awards,you must have either a current Negotiated Indirect Costs Rate Agreement (NICRA)or utilize the De Minimis Indirect Cost Rate of 10 percent. If your organization has a current NICRA,then you must use that negotiated rate for your indirect expenses,and you must provide DOH with documentation of your current NICRA along with your first reimbursement request. 12 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF If your organization does not have a NICRA,you may elect to use the de minimis rate of 10% of the modified total direct costs pursuant to 2 CFR 200.414(f). No documentation is required to elect to utilize the de minimis rate of 10%of the modified total direct costs.However,if your organization chooses to elect to use the de minimis rate of 10%of the modified total direct costs,then you must consistently do so for all Federal awards until you elect to negotiate a NICRA,which you may apply to do at any time. If your organization elects to utilize the de minimis rate of 10%of the modified total direct costs,then you must provide DOH with documentation of how you identified your modified total direct costs along with your first reimbursement request. Modified Total Direct Costs Recipients and Subrecipients electing the 10 percent de minimis rate must use the Modified Total Direct Costs (MTDC)as the base for this rate.According to 2 CFR §200.68,the MTDC is composed of “[a]ll direct salaries and wages,applicable fringe benefits,materials and supplies,services,travel,sub-awards and subcontracts up to the first $25,000 of each sub-award or sub-contract (regardless of the period of performances under the award).” MTDC does not include equipment,capital expenditures,charges for patient care,rental costs,tuition remission,scholarships and fellowships,and participant support costs. All costs used to comprise an MTDC base (used for calculating de minimis)must be identified specifically to a funded program or be directly assigned to such activities easily and accurately.Costs must also be allowable under program regulations,necessary and reasonable for the performance of the federal award,and consistent with policies and procedures that apply uniformly to both federal and non-federal activities of the grantee (2 CFR §200.403). Once the MTDC base has been determined,the de minimis rate of 10 percent is applied to that base,deriving total de minimis indirect costs. In order to include eligible direct activity costs in the MTDC base,Recipients and Subrecipients must maintain detailed accounting records clearly separating salaries,wages, fringe benefits,and service and consultant costs. Furthermore,Recipients and Subrecipients must track costs by element for each eligible component activity.For example,organizations must maintain detailed accounting records clearly separating salaries,wages,fringe benefits,and service and consultant costs for each eligible activity (e.g.,supportive services,operating costs,project administrative costs).If costs are grouped (totaled)under eligible activities,they cannot be included in the MTDC base. When costs are grouped as total costs for eligible activities,there is not adequate information to identify the allowable and excludable costs for the purpose of determining the MTDC base and calculating the de minimis rate.Recipients and Subrecipients must maintain adequate documentation to support the costs included in the MTDC base consistent with the 2 CFR §200.333 retention requirements. Additional resource:HUD’s Indirect Cost Toolkit for Continuum of Care (CoC)and Emergency Solutions Grants (ESG)Programs -A helpful tool for understanding indirect costs and modified total direct costs pursuant to 2 CFR 200.414(f) 13 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Cost Allocation Plans 2 CFR.200,Subpart E,400-475 A Subrecipient that receives federal funds shall prepare either an indirect cost rate proposal/plan (ICRP);Public Assistance Cost Allocation Plan (PACAP);or Cost Allocation Plan (CAP)in accordance with the OMB’s Uniform Administrative Requirements,Cost Principles and Audit Requirements for Federal Awards commonly known as ‘Uniform Guidance’. Cost allocation plans are among the bedrocks for successfully managing an organization, especially one that spends federal funds.This plan will serve as a roadmap for the organization and its funders to understand how it spends and manages revenue.It will be the foundation for the organization to adequately charge its program costs to the federal award. Each organization will need a cost allocation plan that is tailored to its structure and activities that explains: ●How it will determine which costs are direct and indirect; ●How it will allocate shared costs among different departments,including administrative functions and direct programs;and ●How it will charge (recover)all eligible and allowable direct and indirect costs from the federal government or its awardees and make sure that it does not short-change itself unnecessarily. In a cost allocation plan,direct and indirect costs are allocated to each cost objective.There are three acceptable methods to calculate the indirect cost rate in a cost allocation plan: ●Simplified allocation method ●Multiple rate allocation method ●Direct allocation method Additional resources: ●Statewide Indirect Cost Allocation Plan (Uniform Guidance,Appendix V) ●State Agency;Indirect Cost Rate Proposal (DCRP)(Uniform Guidance,Appendix IV) ●HUD’s Indirect Cost Toolkit for Continuum of Care (CoC)and Emergency Solutions Grants (ESG)Programs also contains additional information on cost allocation plans Salaries and Expenses 2 CFR 200.430 and .413 In general,compensation in the form of salaries and benefits is allowable under SLFRF.This means that the portion of a person’s salary,costs for insurance,unemployment,and FICA that is directly related and documented to SLFRF can be charged to a grant,if the grant has awarded payroll costs as an eligible expense. Compensation can be direct,for example for the project manager who runs the SLFRF funded program.Or,compensation can be indirect as part of a calculated indirect cost. SLFRF also lists retention pay as an enumerated use,and the additional salary and benefits that relate to retention pay must be documented appropriately. Administrative/clerical staff are typically indirect costs,unless: ●Salaries are an integral part of the grant or program management (such as a grant manager’s salary) 14 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF ●Individuals can be specifically identified ●These salaries must be explicitly included in the budget or otherwise approved,and such costs are not otherwise recovered The SLFRF Interim Final Rule provides additional overview of allowable uses of funds for wages,salaries,and benefits. The Uniform Guidance identifies selected items of cost,and will help to determine the proper use of the funds and whether or not the salaries or expenses should be treated as direct, indirect,allowable,unallowable,or allocable. Additional resource:OSC Selected Items of Cost Guidance Time and Activity Documentation 2 CFR 200.430(i) Federal funding is often used to pay employee wages.While this is an allowable use of funding,employee salaries paid partially or completely with federal funds must track their time and activities contributed toward any and all federal programs that fund their salary. This process is known as “Time and Activity”tracking.All Recipients and Subrecipients of SLFRF funding are required to track their “time and activities''.An absence of this documentation will result in significant audit findings. Time and activity record-keeping includes two components.First,it should reflect the time (i.e.number of hours per work day/week)employees spend on each program they administer (federal and non-federal).Second,it must include the activities they completed/ conducted/administered,etc.during the time they are tracking toward each grant. Time and activity record-keeping should also be consistent with written agency policy; applied equally to federal and non-federal activities;and correctly calculated and supported by documentation.It should be used to support salary distribution across all funding sources or activities;include an after-the-fact review of actual hours worked,be incorporated into official records;and be signed by an employee’s supervisor,or by a responsible supervisory official having firsthand knowledge of the activities performed by the employee. SLFRF and other federal funds require that the percentage of time allocated to a funding source should be well documented and accurately reflect the efforts.Time and activity documents must be submitted with pay requests to DOH in order for employee salaries charged to SLFRF to be reimbursed.Additionally,Subrecipients who function as pass-through entities must monitor their Sub-Subrecipients for adherence to time and effort tracking requirements. Additional resources: ●OSC SLFRF Time and Effort Guidance -Page 2 contains a list of common mistakes and how to avoid them,as well as a time and effort checklist ●OSC Sample Time &Effort Timesheet ●Time and Effort (2 CFR 200.430)OSC micro training 15 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Pass Through Entities When a Subrecipient of the THR program elects to enter into a subaward with another entity to carry out part of their THR grant,they are considered a Pass Through Entity. Subrecipients shall not enter into any subaward in connection with its obligations under this Agreement without the prior,written approval of DOH.See the Subaward Approval Process section for more information. All subawards entered into by a Subrecipient in connection with their THR award 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 outlined in their THR Grant Agreement. Pass Through Entity Responsibilities Pass Through Entities are responsible for,at minimum: ●Maintaining written policies and procedures that cover all requirements of the THR program,including those established by 2 CFR Part 200. ●Maintaining written,appropriate documentation in accordance with their policies and procedures,and producing the appropriate documentation when requested,such as for DOH monitoring. ●Ensuring that each Subrecipient and/or Subcontractor shall obtain and maintain insurance as required under this grant at all times during the term of their subaward. All insurance policies required by the THR grant that are not provided through self-insurance shall be issued by insurance companies as approved by the State. ●Verifying that all Subrecipients’reimbursement requests meet SLFRF requirements and DOH written policies and procedures prior to submitting reimbursement requests to DOH.Unless requested,Pass Through Entities should not submit Subrecipients’back-up documentation to DOH with their pay requests.When submitting pay requests to DOH, Pass Through Entities 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. ●Collecting and combining all reports from Subrecipients in order to submit one consolidated report on the project's THR funds to DOH.As noted above,Pass Through Entities should not submit the Subrecipients’back-up documentation to DOH unless requested,but they are responsible for maintaining and producing it when requested. ●Conducting regular monitoring of Subrecipient files and documentation to ensure that all written standards are being met.Pass Through Entities 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 monitoring. ●Providing technical assistance to Subrecipients about basic THR policies,procedures, and written standards in accordance with these policies and procedures,as needed. Pass Through Entities are able to add additional expectations to their Subrecipients,in so far as those expectations do not conflict with what is written in these policies and procedures or what is required per 2 CFR Part 200.If a Pass Through Entities intends to place additional expectations on Subrecipients,it must notify DOH prior to doing so. ●All Pass Through Entities must allow the 10%de minimis rate to their Subrecipients if the Subrecipient does not have a NICRA with the federal government. Additional resource:This OSC checklist provides additional information on requirements to Subrecipients serving as Pass Through Entities. 16 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Subaward Classification 2 CFR Part 200.1 Pass Through Entities make subawards to Subreceipients or Subcontractors.For additional information on Subrecipient and Subcontractor determinations,see 2 CFR 200.331. Subrecipient A Subrecipient is an entity,usually but not limited to non-Federal entities,that receives a subaward from a Pass Through Entity to carry out part of a Federal program;but does not include an individual that is a beneficiary of such award. If a THR Subrecipient enters into a subward with Subrecipients of their own,they would be considered “Sub-subrecipients”to DOH. Characteristics indicative of a procurement relationship with a Subrecipient: ●Is responsible for programmatic decision making ●Will determine who is eligible to receive what federal assistance ●Measures performance based on meeting objectives of federal program ●Is responsible for ensuring federal requirements outlined in the award are followed ●Uses the federal funds to carry out a program of the organization as opposed to providing goods or services ●Is responsible for reporting An example of a Pass Through Entity subawarding to a Subrecipient would be a county that received a THR grant from DOH (a DOH Subrecipient now also a Pass Through Entity)entering into a subaward with a nonprofit shelter provider (their Subrecipient)to provide shelter services at the nonprofit’s facility under their THR award. If the entity with whom the Pass Through Entity enters into a Subaward is determined to be a Subrecipient,then the written agreement entered into must contain provisions permitting both the Pass Through Entity and the State to perform all monitoring of that subaward in accordance with the Uniform Guidance. Subcontractor A Subcontractor means an entity that receives a contract as defined by the Uniform Guidance as a legal instrument by which a Subrecipient purchases property or services needed to carry out the project or program under a Federal award. An example of a Subcontractor would be a nonprofit shelter that received a THR grant from DOH (a DOH Subrecipient now also a Pass Through Entity)entering into a contract with a mental health provider (their Subcontractor)who will provide care to clients at the shelter and provide care under their THR award. Characteristics indicative of a procurement relationship with a Subcontractor: ●Provides the goods and services within normal business operations ●Provides similar goods or services to many different purchasers ●Normally operates in a competitive environment ●Provides goods or services that are ancillary to the operation of the Federal program ●Is not subject to compliance or reporting requirements of the Federal program as a result of the Agreement 17 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Subaward Approval Process If an awarded THR Subrecipient intends to subaward for the service provision outlined within their approved Scope of Work,the selection and approval of those Subrecipients or Subcontractors must be done in conjunction with OHI staff. To request approval of an entity for a subaward,the Subrecipient must email the request to relevant DOH staff.Criteria reviewed by DOH in making the subaward approval determination include if the entity is in good standing with the Colorado Secretary of State,has an active SAM.gov registration with no exclusions,has a history of monitoring findings with other DOH awards,commits to utilize HMIS for any relevant grant activities,and complies with all the insurance requirements outlined in the grant agreement. Working with DOH staff,the Subrecipient must identify if subawards will be Subrecipients or Contractors before making an award.This OSC determination tool provides definitions,as well as characteristics of beneficiaries,Subrecipients,and Subcontractors.This document should be consulted before ARPA funds are awarded. THR Subcontractor Expectations Guidance After assessing the criteria outlined in the Uniform Guidance relating to subawards using the OSC’s Subrecipient,Beneficiary,or Contractor Classification Checklist,if an entity receiving funds through a THR subrecipient is determined to be a contractor and not a recipient or beneficiary,then they will be considered a vendor. In approving the requested subaward for a subcontractor,DOH staff will ensure that: ●The UEI for the vendor is collected ●The entity in good standing with the Colorado Secretary of State ●The entity has an active SAM registration with no exclusions ●The subrecipient has followed the applicable Procurement requirements still apply to the entity as they would for any purchase Insurance requirements outlined in the grant agreement are required to be met by all subrecipients,but not of vendors. In monitoring,DOH staff will review backup documentation for subawards of the THR grantee, including a sampling of procurement documentation,contracts/scopes of work,proof of service/proof of payment,documentation of completion. Procurement Standards A Subrecipient shall use its own documented procurement standards when selecting the entities it will subaward THR funds to prior to making subawards and requesting DOH reimbursement. These standards must 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. 18 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Procuring Subrecipients should occur 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 THR 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. Financial Management 2 CFR 200.302 Subrecipients are responsible for tracking both income and expenses and must be easily identified within their accounting system for all federal awards received and expended.At any time,Subrecipients should be able to produce source documentation which consists of receipts,contracts,payroll documents,and more that support the request for reimbursement and that source documentation should exactly match the Subrecipient's accounting records and the request for reimbursement that they submitted to DOH. For example,if DOH requests backup documentation from a Subrecipient for quarter one,the Subrecipient should be able to print their accounting records and provide backup documentation for all transactions related to the grant.Any requests for costs that cannot be documented must be reclaimed by the state awarding agency. Internal Controls 2 CFR 200.1 –Definitions An internal control is a process,carried out by an entity’s oversight body,management,and other personnel that provides reasonable assurance regarding the achievement of objectives in the effectiveness and efficiency of operations,reliability of financial reporting,and compliance with applicable laws and regulations. Internal controls are the measures to ensure that the things we want to happen will happen, and the things we don’t want to happen won’t happen. Waste or misuse of federal/state/local government assets,inaccurate or incomplete information,embezzlement,and fraud can result if proper internal controls are not in place. Characteristics of a good internal control system include: ●Continuous processes built into operations ●Processes that are accomplished by people,not only policies,procedures,and forms ●Processes that are adaptable to the entire agency or department ●Processes that provide reasonable assurance (not absolute assurance)that assets and resources are safeguarded ●Documented processes that can be provided to auditors ●Tailored processes to the unique operations and degree of complexities for each entity Internal controls are not only good practice,but are required when using federal funds.Per Uniform Grant Guidance,Section 200.303-Internal Controls,2 CFR 200.303 --Internal controls,the Non-Federal Entity must: 19 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF ●Establish and maintain effective internal controls ○Provide reasonable assurance that the non-Federal entity is managing the Federal award in compliance with Federal statutes,regulations,and the terms and conditions of the Federal award. ●Evaluate and monitor compliance ○Remain compliant with statutes,regulations and the terms and conditions of the Federal award. ●Take prompt action on audit findings ○Take prompt action when instances of non-compliance are identified,including non-compliance identified in audit findings ●Safeguard protected personally identifiable information (PII) ○Take reasonable measures to safeguard PII and other information the Federal awarding agency or Pass Through Entity designates as sensitive consistent with applicable Federal,state,and local laws regarding privacy and obligations of confidentiality (this includes Social Security numbers,credit card numbers, etc.). DOH Subrecipients must utilize appropriate internal financial controls to track and document THR expenditures.These controls should align with Generally Accepted Accounting Principles (GAAP).This requires Subrecipients to have written: ●Separation and segregation of duties,which ensures that no one staff person has the responsibility for every financial component ●Budget controls for tracking all THR-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 ●Accounting Controls that track THR 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 THR funds and activities ●If a Subrecipient uses cash,they must have cash controls in place that align with 2 CFR Part 200 Cash Control expectations Internal Control Framework is a standard way to organize,document,and discuss internal controls.Subrecipients shall use the Green Book,published by the U.S.Government Accountability Office (GAO),as its framework.The Green Book includes five interrelated components –control environment,risk assessment,control activities,information and communication,and monitoring –as well as 17 principles that work together to form an effective internal control system. Internal control principles help management achieve a strong internal control system by supporting the effective design,implementation,and operation of the five interrelated components. Fraud,Waste,&Abuse Both the Division of Housing and its Subrecipients,are responsible for preventing and detecting fraud,waste,and abuse of the federal funds received. Additional resource:This resource from the OSC provides helpful information to provide basic understanding of fraud,waste,and abuse,as well as steps to take if detected.It includes specifics about SLFRF funds. 20 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Program Income 2 CFR 200.307 The intent of the THR grant awards is that grants do not have program income.Should a Subrecipient identify that they have program income related to their THR grant,they must notify DOH immediately. When a project earns money from services that are supported with federal funds that is called program income.Program income can be earned in many ways,such as: ●Income from services provided.This is probably the most common form of program income. ○Example:Mental health agencies whose therapists are paid by grant funds may offer sliding scale fees for clients.These fees from those grant funded services are considered program income. ●Income from rental,real property,or personal property procured under federal awards ○Example:If a piece of real property,say a medical facility,was purchased using federal dollars and a portion of it is rented to a local company,that rental income would be considered program income. ●Interest earned from loans made with federal award funds ○This would be the repayment interest that is associated when a loan principal is funded with federal funds. ○Interest earned on advances of federal funds is not program income. For more information on what constitutes “Program Income”please see 2 CFR 200.1. Per the SLFRF Final Rule:Frequently Asked Questions,the US Treasury specified that Recipients may add program income to the federal SLFRF award.Any program income generated from SLFRF funds must be used for the purposes and under the conditions of the federal award. Accounting for Program Income ●Recipients and Subrecipients must carefully account for the program income. ●Program income should be calculated,documented,and recorded within the accounting system. ●Any project earning program income should have strong internal controls that clearly define: ○Allocation methods -how program income is allocated ○Accounting standards and principles ○Compliance monitoring for income calculations and records Additional resource:OSC Microtraining on Program Income 21 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Match or Cost Sharing 2 CFR 200.306 Match,or cost sharing,is the portion of the total cost associated with a project that the federal award does not cover.It includes all contributions,including cash and in-kind,that a Subrecipient makes to an award. It is important to carefully read the specific requirements associated with match as described by DOH. Only acceptable non-federal costs qualify as match or cost sharing and must conform to other necessary and reasonable provisions to accomplish the program objectives.Match or cost sharing can be audited and must be allowable under cost principles and verifiable to records. General Considerations ●Funds must be spent on eligible THR activities per the grant agreement and program guidance in order to be counted as match ●All amounts designated as match must be verifiable and documented ●To qualify as match,costs must be reasonable and necessary to accomplish the project ●Failure to secure the required match may reduce the amount of the grant award,or result in compliance findings ●Clear procedures should be established in consultation with accounting staff that document fair market value,time tracking,and internal controls for cash donations Types of Allowable Match There are a few allowable types of match: ●Indirect costs not claimed -If the actual indirect costs are higher than the limit able to be charged to the grant,the costs exceeding the cap may be considered as match, with written permission from DOH.For example,a portion of a program director's salary that is not funded by other federal or state grant funding. ●Cash match ○For cash donations,written documentation is required,such as a receipt, written documentation from the donor,and/or an acknowledgement letter from the Recipient. ●Volunteer hours -If the program relies on volunteers for program purposes or if volunteers are utilized for training,technical assistance,or other professional roles, those hours may be considered as match ○The value of volunteers for match must be credibly established according to fair market value ■Independent Sector has useful resources to determine the fair market value of volunteer service ●In-kind or donated goods -Must determine the fair market value of space,land, equipment,or supplies as long as those goods directly benefit the program. ○The value of in-kind or donated goods for match must be credibly established according to fair market value ■The cost of the donated equipment if it were to be purchased,could be established ○The Donor must establish the value and verification of fair market reasonableness 22 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Unallowable Match ●Unless specifically stated as allowable,funds from other grant federal funds cannot be used as match for a different federal agency ●Unverifiable funds ●Funds not in accordance with Cost Principles ●Any other exclusion noted by the funding entity Rules to Follow ●Failure to meet minimum match requirements will may reduce the amount of the grant award,or result in compliance findings ●Match must be verifiable ●Ensure match is not used for any other purposes.Your THR match cannot be included as match for other federal awards (double dipping) ●Match costs must be necessary and reasonable for accomplishment of the program objectives ●Match costs must adhere to cost principles allowable under Subpart E -Cost Principles ●Match costs are not funds from another federal award,unless explicitly permitted ●Match costs are detailed in the approved budget submitted to DOH ●Remember,match is required to be reported in the same manner as federal funds Additional resource: ●OSC Match Micro Training ●OSC SLFRF –Cost Sharing and Match Grant Reimbursement THR grants will be processed on a reimbursement basis.That means,the grant funds are distributed based on actual expenditures (not estimates)and only for costs that have already been incurred and paid for by sub-recipients. All costs must be supported by back-up documentation and retained by the Subrecipient until the end of the documentation retention period,as defined by the grant. Income from a grant can never exceed the expenses incurred by the Subrecipient. Grant reimbursement requests must be: ●Based on actual expenditures ●All expenditures must be supported by back-up documentation (i.e.receipts,payroll) ●Subrecipients are reimbursed for costs previously incurred and paid ●State agencies must make payment within 45 calendar days of receipt of the final reimbursement request.Incorrect reimbursement requests will be returned to the Subrecripient until they are correct. Federal Funds Advances State Fiscal Rules require grants to be paid through a reimbursement process to protect both Subrecipients and the State.However,in some cases,advance payments may be acceptable if reimbursement causes undue hardship.If an advance is approved,it must be limited to the minimum dollar amount and for the minimum time needed to be in accordance with actual, immediate cash requirements.Advances must be deposited and maintained in insured accounts. 23 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Advances Fund Approval Process Advances are not given as a normal course of action and must be carefully reviewed to confirm a true business need.This may only happen if the Subrecipient can prove significant financial burden due to the reimbursement model. Should a THR Subrecipient feel that an advanced payment is necessary,they must submit this request to DOH in writing with rationale provided as to the specific circumstance where payment on a reimbursement basis would cause undue hardship,and what the actual immediate cash requirements are for the THR program. DOH will consider this request and,if in agreement,will consult the OSC for approval. Advance payment must be pre-approved in writing by DOH before this pay request method can be utilized. Interest on Advances If an advance is requested and approved,any interest on advance payments must be tracked and reported.Additionally,per 2 CFR 200: ●Advanced payments must be deposited into interest-bearing accounts unless: ○Subrecipients receive less than $250,000 in federal awards annually or ○Account would earn less than $500 annually or ○A minimum balance requirement is too high ●Interest up to $500 per year may be retained as an administrative expense ●Any additional interest must be remitted annually Additional resource:OSC Financial Management Micro Training Supporting Documentation 2 CFR 200.302 and .403 Subrecipients are required to maintain both financial and programmatic supporting documentation as described below.Please note that the terms client,beneficiary,individual, and participant are used interchangeably within the THR Policies &Procedures,unless otherwise mentioned. Pay Request Supporting Documentation Supporting documentation is the foundation used to support accounting and cost records.The documentation should provide the means to verify proper segregation of spending between various Federal awards and non-Federal expenditures.Sound documentation is central to ensuring funds are obligated and spent as they were intended by the Federal award. The extent of the documentation required is affected by the size and complexity of the Subrecipient’s organization and funded program,as well as the existing internal control mechanisms of the Subrecipient organization.The type of the documentation needed depends on the nature of the goods delivered or services performed. Pay request supporting documentation submitted to DOH 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.The address for Domestic Violence Shelters should also be redacted from any supporting documentation provided for Domestic Violence Shelter Providers.Please see the PII section below for additional information. 24 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF For more information on Pay Requests,including important timelines,detailed instructions and best practices please see our full THR Pay Request Procedure in appendix A. Examples Of Pay Request Supporting Documentation ●General ledger and subsidiary ledgers used to account for ○Payments made for eligible expenses ○The receipt of federal award payments ●Budget records for the period of performance and evidence as to whether the cost was budgeted before or after the inception of the federal award.If before,additional notation describing how the use of that budget item is substantially different than what was intended as well as how it was allowable ●Subawards entered into relating to the THR award,outlining specific description of tasks performed by Subcontractors or Subrecipients and how the tasks relates to the activities prescribed in the award ○Written agreements ○Written approval from DOH to enter into the subaward ○All documents related to such contracts or agreements ●Evidence of risk assessments conducted for all Subrecipients ●All documentation of reports,audits,and other monitoring of Subrecipients and Subcontractors ●Payroll register including name of person paid,payroll period covered,number of hours or %of time the employee spent on related duties,pay rate,and total amount paid. ○Documentation (which will probably be separate from the payroll register) showing the number of hours or %of time the employee spent on related duties,what those duties were,and justification on how such duties were related.Typical documentation to support allocation of labor time includes timesheets,work orders,and approved schedules. ●All documentation supporting THR performance measures and outcomes based on grant agreements,contracts and subcontracts ●All internal and external email/electronic communications related to payments, training,and all other relevant activities/discussions related to the THR award ●All investigative files and inquiry reports involving THR funding ●Supporting documentation for all pay requests clearly outlining the costs incurred from either goods purchased,services rendered,or other eligible expenses that can be paid for through the THR grant agreement.  ○Documentation must include both proof of service/cost incurred and proof of payment.Examples include: Examples of Supporting Documentation Proof of Service/Cost Incurred Proof of Payment Timesheets must explicitly break out actual time on each THR funded activity and be signed by the THR employee and their supervisor. Corresponding paycheck 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 showing what payment method was used. Additional resource:OSC Supporting Documentation 25 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Income Limits for THR Activ ities As it pertains to Rapid Rehousing,and Eviction &Homelessness Prevention activities for THR grants,DOH is holding programs accountable to the area median income (AMI)eligibility levels outlined in HB22-1304 as follows: ●For a household residing in housing on a rental basis in urban counties,housing must be targeted to households with an annual income that is at or below eighty percent of the area median income of households of that size in the county in which the housing is located. ●For a household residing in housing on a rental basis in rural counties,housing must be targeted to households with an annual income that is at or below one hundred forty percent of the area median income of households of that size in the county in which the housing is located. ●For a household residing in housing on a rental basis in rural resort counties,housing must be targeted to households with an annual income that is at or below one hundred seventy percent of the area median income of households of that size in the county in which the housing is located. ●For a household residing in housing on a home ownership basis in any area of the state,housing must be targeted to households with an annual income that is at or below one hundred forty percent of the area median income of households of that size in the county in which the housing is located. For THR activities,AMI threshold is determined by the residence of the individual being served,not the location of the grantee.For a full list of county designations by Urban,Rural, and Rural Resort -consult the table provided in the THR NOFA on pages 21-23. It is important to note that Rapid Re-Housing (RRH)is defined in THR grant agreements as a short-to medium-term supportive housing intervention that provides financial assistance and/or housing-focused services for households experiencing homelessness to quickly exit homelessness by securing permanent housing in the community.OHI will be monitoring that programs maintain documentation of proof of homelessness in beneficiary files. Bridge Housing provides a temporary place for those who have been matched with a housing opportunity to safely reside while waiting to move into the housing (e.g.,while logistics for utilizing the housing resource are being finalized).“Housing opportunities”may include tenant-based and project-based vouchers,rapid re-housing opportunities,and other permanent housing resources supported with local,state,and federal resources.Therefore the target population for Bridge Housing is limited to individuals who qualify for a housing resource,which is typically a rental subsidy/voucher. Expectations on the Equitable Distribution of Resources DOH recognizes that these AMI eligibility thresholds outlined in HB-1304 are significantly above the income limits set for similar programs [30-50%for HUD’s Emergency Solutions Grants (ESG);50%for DOH’s Emergency Rental Assistance Program (ERAP)program].While 26 Maximum Area Median Income Limits of Households Served by THR RRH/EHP Activities Household Basis Location AMI Maximum Rental Basis Urban Counties 80%AMI Rental Basis Rural Counties 140%AMI Rental Basis Rural Resort Counties 170%AMI Homeownership Basis All Colorado Counties 140% DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF these AMI thresholds represent the maximum income limits,THR grantees must implement prioritization practices that ensure the equitable distribution of resources to resolve or prevent homelessness. THR grantees must document their program’s prioritization criteria and practices that ensure that resources are reaching the intended audience of THR grants,as outlined the Preference section of the THR Grant Agreement’s Scope of Work: Preference.The individuals prioritized by the grant opportunity are those that but for this project will most likely not resolve their homelessness on their own.In particular,this includes individuals with long lengths of homelessness with complex needs and who are not currently connected to other homeless shelters or programs. In compliance monitoring for the THR program,DOH staff will be monitoring for clear demonstration of programs prioritizing individuals that would most likely not resolve homelessness on their own for THR resources.This would include documentation on prioritization criteria and practices within the program’s policies and procedures,evidence of training of relevant staff to these policies and procedures,staff that when asked can explain these policies and procedures,and outcomes that reflect the successful implementation of prioritization. DOH will be monitoring that resources are not disproportionately being allocated to clients with higher income levels that would have a lower risk of becoming homeless.In the event that “creaming,”defined as the process of intentionally admitting individuals expected to have the best program outcomes as a tactic to improve program outcomes,is detected DOH will take disciplinary action. THR Referral Plan The Department of Local Affairs (DOLA),Division of Housing (DOH),Office of Homeless Initiatives (OHI)works with local,state,and federal stakeholders to build,promote,and support collaborative approaches to make homelessness rare,brief,and one-time in Colorado. No single individual,agency or organization can solve homelessness alone.A strong homelessness response system is built on partnerships across agencies,organizations,and community leaders. Coordinated Entry is a proven solution in ending homelessness.Coordinated Entry is a process developed to ensure that all people experiencing a housing crisis have fair and equal access to resources and are quickly identified,assessed for,referred,and connected to housing and assistance,based on the person’s needs. These standardized and coordinated systems of care over a given geographic area help ensure that homelessness services are provided equitably,efficiently,and effectively.The collaborative distribution of limited resources prioritized by the needs of the most vulnerable, is at the core of Coordinated Entry. The Division of Housing expects that Transformational Homelessness Response (THR)grant program projects participate with their local Continuum of Care’s (CoC)Coordinated Entry (CE)process,and utilize referrals through CE as outlined in this referral plan,once approved by DOH staff,wherever possible. 27 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF However,the Division of Housing also recognizes that there are inequities across the state that contribute to less developed Coordinated Entry systems and that some program models by design require alternative referral processes.Each program must,at minimum,outline how it will prioritize referrals with the highest need for resources.This prioritization must be based on evidence-based evaluations that use objective assessments rather than subjective procedures like first come,first served or behavioral obligations like sobriety.Programs may target specific populations (i.e.families,veterans,etc.).If programs are not using coordinated entry for referrals,they should ensure that they are connecting clients to local coordinated entry systems in order to connect people to housing once they exit programs. Each THR funded project must complete the Referral Plan form provided by DOH staff for your THR program’s activities.DOH staff will send all THR grantees a form to complete. Referral plans indicate how programs will identify eligible participants for services,as well identify the program’s criteria/process for the prioritization of resources.In compliance monitoring for the THR program,DOH staff will be monitoring for clear demonstration of programs prioritizing individuals that would most likely not resolve homelessness on their own for THR resources.This would include documentation on prioritization criteria and practices within the program’s policies and procedures,evidence of training of relevant staff to these policies and procedures,staff that when asked can explain these policies and procedures,and outcomes that reflect the successful implementation of prioritization. Beneficiary Documentation or Client Files Subrecipients are required to maintain documentation on beneficiaries in client files.A beneficiary or client is an individual who is the end user of assistance and receives the benefit,examples include recipients of housing assistance and services. Below is a list of examples of beneficiary documentation or supporting documentation that will be kept in your client files and/or in the HMIS.Please be aware that this is a lengthy list of all possible forms of documentation.Not every piece will be applicable to every program or project.We encourage you to meet with your Grant Specialist to work through any specific needs. Examples of Beneficiary Documentation by Program Activity Street Outreach ●INTAKE ○HMIS intake form ○HMIS Release of Information (ROI) ○Documentation of staff (Case Managers)assigned to the individual ●SERVICES ○Services provided ■Referrals or services provided to client ○Case Management notes ●EXIT ○HMIS exit form 28 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF ■Includes exit date &destination Emergency Shelter ●INTAKE ○HMIS intake form ○HMIS Release of Information (ROI) ○Lead based paint notice (if applicable) ○Documentation of staff (Case Managers)assigned to the individual ●SERVICES ○Services provided ■Referrals or services provided to client ○Case Management notes ●EXIT ○HMIS exit form ■Includes exit date &destination Transitional Housing ●INTAKE ○HMIS intake form ○HMIS Release of Information (ROI) ○Documentation of eligibility for Transitional Housing services under the program ○Referral Information ■Documentation of how this individual was referred for services ○Residency Declaration (if a government)(for all adults in household) ■Self-declaration of residency form ●Photo ID or driver’s license or bill with name and address ●This is not required to be retained,but this record can be very helpful in the chance that the individual loses their photo ID ○Duplication of benefits attestation ○Lead based paint notice (if applicable) ○Documentation of staff (Case Managers)assigned to the individual ●SERVICES ○Services provided ■Referrals or services provided to client ○Case Management notes ○Regular reassessment ■Updates on income,connection to services,progress toward case management goals,needed services for stability,continued eligibility ●EXIT ○HMIS exit form ■Includes exit date &destination 29 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Bridge Housing ●INTAKE ●HMIS intake form ○HMIS Release of Information (ROI) ●Documentation of eligibility for Bridge Housing services under the program ○Must document the permanent housing situation that has been identified and expected move-in date ●Attestation of no duplication of benefits ●Lead based paint notice (if applicable) ●Referral Information ■Documentation of how this individual was referred for services ○Residency Declaration (if a government)(for all adults in household) ■Self-declaration of residency form ●Photo ID or driver’s license or bill with name and address ●This is not required to be retained,but this record can be very helpful in the chance that the individual loses their photo ID ○Documentation of staff (Case Managers)assigned to the individual ●SERVICES ○Services provided ■Referrals or services provided to client ○Case Management notes ○Regular reassessment (if applicable) ●EXIT ○HMIS exit form ■Exit resource ●Includes exit date &destination ○Documentation that the client exited to the previously identified resource.If leaving on a different resource -documentation as to why. Eviction &Homelessness Prevention ●INTAKE ○HMIS intake form ○HMIS Release of Information (ROI) ○Documentation of eligibility for Eviction &Homelessness Prevention services under the program ■Must document the risk of homelessness ●Examples: ○Demand for rent or eviction notice ○Landlord’s tenant ledger or account invoice ○Written notice from landlord or property management ○Referral Information ■Documentation of how this individual was referred for services ○Proof of legal lease 30 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF ■Proof of utilities in the client's name,if applicable ○Landlord or property manager’s W-9 ○Verification that unit is within Fair Market Rent (FMR)or Rent Reasonableness ■Example:HUD Rent Reasonableness Checklist ○Documentation that household meets AMI Limits ■See policy in THR Policy &Procedures Manual ○Housing stability plan for client ■To be used to ensure housing stability will be met with one-time assistance and homelessness prevented ○Attestation of no duplication of benefits ○Residency Declaration (if a government)(for all adults in household) ■Self-declaration of residency form ●Photo ID or driver’s license or bill with name and address ●This is not required to be retained,but this record can be very helpful in the chance that the individual loses their photo ID ○Documentation of staff (Case Managers)assigned to the individual ●SERVICES ○Services provided ■Referrals or services provided to client ○Case Management notes ●EXIT ○HMIS exit form ■Includes exit date &destination Rapid Re-Housing ●INTAKE ○HMIS intake form ○HMIS Release of Information (ROI) ○Documentation of eligibility for Rapid Re-housing services under the program ■Example:A verification of homelessness ○Attestation of no duplication of benefits ○Referral Information ■Documentation of how this individual was referred for services ○Residency Declaration (if a government)(for all adults in household) ■Self-declaration of residency form ●Photo ID or driver’s license or bill with name and address ●This is not required to be retained,but this record can be very helpful in the chance that the individual loses their photo ID ○Habitability documentation of unit being funded ■Sample habitability checklist: ●HUD Housing Habitability Standards Inspection Checklist ■Lead based paint notice (if applicable) 31 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF ○Proof of legal lease ○Landlord or property manager’s W-9 ○Verification that unit is within Fair Market Rent (FMR)or Rent Reasonableness ■Example:HUD Rent Reasonableness Checklist ○Documentation that household meets AMI Limits ■See policy in THR Policy &Procedures Manual ○Housing stability plan for client ■To be used to ensure housing stability will be met with one-time assistance and homelessness prevented ○Documentation of staff (Case Managers)assigned to the individual ●SERVICES ○Services provided ■Referrals or services provided to client ○Case Management notes ○Regular reassessment ■Updates on income,connection to services,progress toward case management goals,needed services for stability,continued eligibility ●EXIT ○HMIS exit form ■Includes exit date &destination Permanent Supportive Housing ●INTAKE ○HMIS intake form ○HMIS Release of Information (ROI) ○Documentation of eligibility for Permanent Supportive Housing services under the program ○Attestation of no duplication of benefits ○Referral Information ■Documentation of how this individual was referred for services ○Residency Declaration (if a government)(for all adults in household) ■Self-declaration of residency form ●Photo ID or driver’s license or bill with name and address ●This is not required to be retained,but this record can be very helpful in the chance that the individual loses their photo ID ○Habitability documentation ■Sample habitability checklist: ●HUD Housing Habitability Standards Inspection Checklist ●Lead based paint notice (if applicable) ○Proof of legal lease ○Landlord or property manager’s W-9 ○Verification that unit is within Fair Market Rent (FMR)or Rent Reasonableness ■Example:HUD Rent Reasonableness Checklist ○Documentation of staff (Case Managers)assigned to the individual 32 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF ●SERVICES ○Services provided ■Referrals or services provided to client ○Case Management notes ○Regular reassessment ■Updates on income,connection to services,progress toward case management goals,needed services for stability,continued eligibility ●EXIT ○HMIS exit form ■Includes exit date &destination Personal Identifying Information (PII) Personal identifying information (PII)is information that may be used,alone or in conjunction with any other information,to identify a specific individual. PII includes but is not limited to: ●name; ●date of birth; ●place of birth; ●social security number or tax identification number; ●password or pass code; ●official government-issued driver's license or identification card number; ●vehicle registration information; ●license plate number; ●photograph,electronically stored photograph,or digitized image; ●fingerprint; ●record of a physical feature,physical characteristic,or handwriting; ●government passport number; ●health insurance identification number; ●employer,student,or military identification number; ●school or educational institution attended;source of income; ●medical information; ●biometric data; ●financial and tax records; ●home or work addresses or other contact information; ●family or emergency contact information; ●status as a recipient of public assistance or as a crime victim; ●race; ●ethnicity; ●national origin; ●immigration or citizenship status; ●sexual orientation; ●gender identity; ●physical disability; ●intellectual and developmental disability; ●or religion. 33 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Do not send DOH emails with PII,or upload pay request supporting documentation containing PII.Doing so puts the personal protected information of staff and clients at risk and may result in monitoring findings or additional disciplinary actions. Best Practices for PII ●Subrecipients must maintain strong PII policies and procedures within their organization and train all employees on the collection,use,and protection of PII ○Include within training discussing PII requests with a supervisor before responding ●Limit Collection of PII ○Do not ask for PII from individuals or partners that is not required by your program ○Refuse PII from individuals or partners if it is not required by your program ●Immediately Destroy PII that is not required by DOH ○Immediately shred and secure hard copy PII that was not requested ○Immediately delete emails and files with PII that is not needed using the two-step process described below ●Protect Hard Copy PII (including paper,thumb drives,CDs,other removable media) ○Do not copy documents with PII onto thumb drives,CDs or other portable media without explicit permission from your supervisor. ○Label all documents,thumb drives,CDs containing PII will be labeled with “For Official Use Only” ○Do not leave hard copy files or electronic media unattended.Lock them secured file cabinets when not in active use and absolutely every night. ●Protect Electronic Files with PII ○Limit storing electronic files with PII.If the material is printed,the electronic file should be deleted immediately using the two-step process described below. If the electronic file is maintained,it must be stored on a secured network drive in a program file that is known to contain PII.Discuss this location within your organization’s PII policies and procedures ○Do not store PII on local computer desktop or drives ○Immediately delete emails that contain PII in the body or as attachments using the two-step process described below ●Protect Fax Transmissions of PII ○Do not fax out PII unless absolutely necessary ○If you do fax out PII,coordinate with the recipient so they are available to get the fax immediately and confirm receipt of the fax with the recipient ●Protect Emailed PII ○Receiving PII Emails ■If PII is in the body of the email that DOH must keep,print or save the information and delete the email immediately using the two-step process described below. ■If PII is in an attachment that DOH must keep,print or save the document and delete the email immediately using the two-step process described below. ●Sending PII emails ○If PII must be sent by email,encrypt the email by typing ENCRYPT in the subject line of the email ●Avoid creating other electronic PII ○Do not put PII on shared calendars or intranet or internet sites. ●Protect Mailed PII ○Create and maintain a policy and procedure for mailed PII such as: 34 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF ■Mail will be opened by one person on each floor.Mail addressed to you will be put in your mailbox.Check your mailbox every day.If you receive mail with PII,follow best practices above for hard copy PII ●Mailing out PII ○Do not to mail out PII unless absolutely necessary ○If you do mail PII,make sure the item is addressed to a specific individual with a complete mailing address ○Use a delivery service with tracking if possible ●Protect PII Security While Telecommuting ○Do not print any PII at home ○Do not download or save documents with PII to your home computer ●Use Two-Step Process to Permanently Delete Emails ○From your email inbox,select the email and click on the trash can to delete ○Go into your “Trash”folder and again highlight the email and click on “delete forever” ●Use Two-Step Process to Permanently Delete Electronic Files ○Right click on the file name and select “delete” ○Open the “recycle bin”on your desktop and again select the file,right click, and permanently delete Third Party Entity Access to PII Per State law and as outlined in the grant agreement,THR Subrecipients can not use or disclose any PII for the purpose of investigating for,participating in,cooperating with,or assisting Federal Immigration Enforcement*. This includes: ●The enforcement of civil immigration laws ●The Illegal Immigration and Immigrant Responsibility Act *Unless required to do so to comply with Federal or State law,or to comply with a court-issued subpoena,warrant or order. Record Retention All federal and state funds have retention timelines for supporting documentation,reports, beneficiary data,and all other records document how an award was used. According to US Treasury Terms and Conditions,section 4.c.,SLFRF records must be maintained for a period of 5 years after all funds have been expended or returned to Treasury. This means that these records must be maintained for 5 years following the end of the period of performance.So,if a THR’s period of performance were to end on 12/31/26,records then must be maintained through 12/31/2031. Both DOH and the US Treasury must be able to access these records at any point within that record retention period of 5 years. For a Subaward the record retention period begins at the date of submission of the final expenditure report by the Subrecipient to Pass Through Entity.Subrecipients shall comply with appropriate federal records retention period and local records retention policies. If litigation or an audit is started before the expiration of the retention period,the records must be retained until all litigation or audit findings have been resolved.The governing 35 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF documents for this grant program may outline a variety of required periods for record retention,agencies shall comply with the longest records retention required,which is 5 years under the US Treasury’s Terms and Conditions for SLFRF funds. Additional resource: ●OSC SLFRF Grant Records Retention Guidance ●Eligibility (2 CFR 200.203(b)(5))Micro Training Pay Requests In general,funds awarded through THR will be paid out with a reimbursement model.This means that Subrecipients expend THR funds and then submit a request to DOH for reimbursement.Costs eligible for reimbursement may only include allowable activities incurred within the timeframe of the THR grant agreement.Costs that are not eligible per the THR grant agreement or those incurred outside of the THR grant agreement timeframe will not be reimbursed. DOH would prefer reimbursements be submitted on a monthly basis.Reimbursement requests must,at minimum,be submitted to DOH on a quarterly basis.Subrecipients are allowed to submit reimbursement requests more frequently,if needed. Pay requests must be submitted to your THR Grant Program Specialists through the designated system,Access Gov (https://bit.ly/THRpayrequest),and must include the following: ■THR Pay Request Cover Sheet Expense Log which includes identifying the total requested amount and documented match for each funded activity.This Cover Sheet also includes a breakdown of the requested amount from each expense/line item included in that pay period’s request,noting which two pieces of supporting documentation are connected with that expense and where to find them in the corresponding supporting documentation packet. ■Supporting documentation for items requested for reimbursement as requested by DOH (described in more detail in the Supporting Documentation section below) DOH staff will review the reimbursement request and submitted documentation as requested to ensure all costs are eligible for reimbursement through THR,and that supporting 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 actions or additional documentation as needed. Reimbursement payments will be made to the Subrecipient within 45 days of receipt of the final approved payment request.   The THR grant program requires at least three consecutive months of complete and accurate pay request submissions with full backup documentation to ensure that THR grantees understand the grant’s financial management requirements,and have built sufficient systems to meet them.After the Division of Housing has approved three consecutive pay requests on their first submission (i.e.without the THR Program Specialist returning the pay request for required edits and resubmission),the Division may elect to no longer require submission of the full backup documentation for pay requests.Should this occur,the THR Program Specialist will notify the agency’s pay request point of contact that full backup documentation is no longer required to be included with submission of subsequent pay requests.The THR pay request process will then only include the Access Gov submission with the corresponding cover sheet uploaded. 36 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF The THR grantee is still required to collect and retain the full backup documentation corresponding to each pay request as outlined in the Supporting Documentation section of the THR Policies and Procedures -they just are no longer required to submit it for review by the Division each month.The Division may at any time request the backup documentation be submitted,and it will be reviewed during program monitoring For more information on Pay Requests,including important timelines,detailed instructions and best practices please see our full THR Pay Request Procedure in appendix A. Reporting HMIS Setup DOH THR Subrecipients are required to use the Homeless Management Information System (HMIS),as noted in the grant agreement. The HMIS is a locally-administered database that collects,stores,and centralizes real-time data about people experiencing homelessness and housing opportunities.To maximize HMIS and effectively capture real-time client-and community-level data,the HMIS data entry should be timely,consistent,accurate,and complete. The DOH THR performance reports are based on the HMIS information such as project enrollments,move-ins,benefits,and project exits.Therefore,it is important that each DOH THR Subrecipient properly sets up their THR project in the HMIS,enrolls participants in the HMIS project,and completes ongoing data entry for participants within the HMIS project. Further details on the HMIS requirements are listed in Exhibit A of the DOH THR grant agreement and below under Expectations. If your agency is brand new to the HMIS,please visit the COHMIS website and use the “Submit a request”button.In your request,complete and submit the Colorado HMIS New Agency Questionnaire found in Agency Forms.Your request will be directed to the appropriate HMIS Lead Agency staff within your Continuum of Care (CoC).For more information on the different CoCs,see the CoC Information page. If your agency is already in the HMIS and you are familiar with the process for setting up new projects and/or staff training/access in your CoC,please follow that process by completing and submitting the Colorado HMIS Program and Inventory Setup Request Form found on the COHMIS Help Desk.See THR specific Project Setup Guidelines for this form below.If you are not sure who your CoC HMIS Lead Agency is and/or the process to follow,please visit the COHMIS website and use the “Submit a request”button.In your request,it’s a good idea to include your agency name,location,the project type,start date,and funding type. Once your THR project has been set up in the HMIS,please email your THR specialist with the HMIS agency name,project name,and reporting contact(s)(i.e.,person(s)with HMIS Manager Level access who will be running HMIS reports).Please complete a project set up for each of your funded activ ities:Colorado HMIS Program and Inventory Setup Request Form Specifics for THR 37 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF HMIS Reporting THR will gather data from the HMIS and from Subrecipients in a combination of qualitative and quantitative reporting.Projects should be utilizing the HMIS from the beginning of the grant period.Subrecipients will be expected to enter all Universal & Program Specific HMIS Data Elements that are required for the project activity being operated.Data elements to be entered into HMIS include,but are not limited to: ●All other Universal &Program Specific HMIS Data Elements that are required for the project type(s)you operate ●Completed quarterly &Annual assessments (these will be necessary for future custom reporting) Reporting Dates ➔The reporting period for Annual Reports is 12-months of data (January-December) (excluding the 2026 Annual Report). ➔The reporting period for Quarterly Reports is the corresponding quarter: Report Due Performance Period Deadline 2023 Q4 (Round 1 only)10/1/23 -12/31/23 1/31/24 2024 Q1 1/1/24 -3/31/24 4/30/24 2024 Q2 4/1/24 -6/30/24 7/31/24 2024 Q3 7/1/24 -9/30/24 10/31/24 2024 Q4 10/1/24 -12/31/24 1/31/25 2024 Annual Report 1/1/24 -12/31/24 1/31/25 2025 Q1 1/1/25 -3/31/25 4/30/25 2025 Q2 4/1/25 -6/30/25 7/31/25 2025 Q3 7/1/25 -9/30/25 10/31/25 2025 Q4 10/1/25 -12/31/25 1/30/26 2025 Annual Report 1/1/25-12/31/25 1/30/26 2026 Q1 1/1/26 -3/31/26 4/30/26 2026 Q2 4/1/26 -6/30/26 7/31/26 2026 Q3 7/1/26 -9/30/2026*11/13/2026 2026 Annual Report 1/1/26 -9/30/2026 11/13/2026* *Final spending deadline is 9/30/2026. **Final reporting deadline is 11/13/2026. 38 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Important Distinctions ➔Some reporting questions refer to households,some refer to unique individuals. ●Households refers to the group of persons residing under the same roof.This could be multiple adults and/or children. ●Unique individuals refers to each,separate participant within a household and enrolled in the HMIS project. ➔Those completing the Annual Report should not simply add up numbers from the Quarterly Reports.The Quarterly Report asks for cumulative information AND numbers specific to that stand-alone quarter,so simply adding up Quarterly Report information could result in counting households multiple times,compiling incorrect information, and other errors.Please follow the instructions when completing each report. Monitoring As a Pass Through Entity,DOH through the Office of Homeless Initiative (OHI)is responsible for monitoring and providing assurance that all THR Subrecipients are in compliance with requirements and expectations. As part of that responsibility,DOH monitors its Subrecipients for compliance with 2 CFR part 576,including the Uniform Administrative Requirements at 2 CFR part 200,and related OHI standards.As discussed in the Pass Through Entities section,any Subrecipients subwarding through their THR grant are responsible for monitoring their Subrecipients for compliance. DOH’s approach to monitoring is two-fold:  ●Monitoring is an ongoing process through which DOH and the Subrecipient maintain ongoing communication around Subrecipient projects and activities,expenses, documentation,and other THR-related efforts.For example,Grant Program Specialists process Subrecipients’pay requests while also rigorously assessing use of funds and back-up documentation.Grant Program Specialists also review quarterly and annual performance reports submitted by Subrecipients.These reports include HMIS Consolidated Annual Performance and Evaluation Report (CAPER)as well as qualitative sections that collect information on program successes and challenges.Addressing questions,feedback,and/or potential concerns continuously (e.g.,via pay request review or performance report evaluation)can prevent future compliance issues, mitigate future inefficiencies,and improve performance and processes. ●Monitoring is also a scheduled formal monitoring session,through which Grant Program 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. Risk-Based Monitoring DOH monitors THR Subrecipients based these perceived risks (but are not limited to these): ●Being new to managing federally funded grants ●Not being consistent or timely in responding to THR program reporting requirements ●Evidence from payment requests that the agency is not obligating or spending funds in a timely or allowable manner ●Evidence based on complaints,visual inspection that the Subrecipient is not performing the funded activities in an appropriate manner 39 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF ●Consistent staff turnover,organizational restructuring,or other changes in the THR program DOH will complete risk assessment forms for each Subrecipient on an annual basis.DOH conducts a risk assessment prior to the execution of the grant agreement using a standardized pre-agreement risk assessment tool,and then annually thereafter utilizing a tool that captures THR grant performance indicators.Once Grant Program Specialists complete risk assessment forms for all Subrecipients they will schedule monitoring with agencies as capacity allows,prioritizing those scored at a higher risk level risk through the assessment. Types of Monitoring DOH conducts monitoring in two primary ways,both of which assess the THR Subrecipient’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 DOH,including a list of items or topics to be reviewed and other instructions or guidelines on the monitoring process. ●Full Monitoring:On-site review of documentation and other programmatic and administrative materials to ensure compliance with written standards and DOH and SLFRF requirements.DOH will conduct Full Monitors virtually,as needed. ●Partial Monitoring:Virtual examination of documents and a self-certification questionnaire signed by the Subrecipient. DOH will strive to thoughtfully provide Subrecipients with advanced notice of monitoring. However,DOH reserves the right to monitor THR Subreceipients at any point should concerns arise or evidence be presented that lead staff to believe that the Subrecipient may not be in compliance,operating within the law,or that corrective actions may be necessary. Outcomes of Monitoring After a monitoring session and thorough review of materials,DOH notifies THR-funded organizations with a written monitoring report,which 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. Performance Improvement Planning If a Subrecipient’s THR 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 THR requirements,and improve the overall performance of THR-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 40 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF 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 other DOH funds. This will ensure that program improvements are included in the review discussions and ensure that DOH funds are used effectively. Audit Requirements Audits are rigorous examinations of a program or an entity.Single audits are required for all entities that receive/expend $750,000 or more in federal funds from grants,awards or other federal funding in a fiscal year.According to the American Institute of Certified Public Accountants (AICPA),“entities that receive federal funds including states,local governments, and not-for-profit organizations (NPOs),are subject to audit requirements commonly referred to as “single audits”under the Single Audit Act of 1984,as amended in 1996.The Single Audit Act provides that grantees are subject to one audit of all of their federal programs versus separate audits of each federal program,hence the term “single audit.” Single audits contain two main components:financial compliance and programmatic compliance with the funding requirements.Audits are conducted based upon the OMB Compliance Requirements for the funding source.There are 12 categories for examination during an audit.Each federal program has different compliance requirements,although financial requirements cut across all audit compliance requirements regarding demonstration of effective internal controls. If a Subrecipient receives an audit within the timeframe of their THR grant agreement,they must promptly submit a copy of any final audit report to DOH.Additionally,if the Subrecipient is required to perform a single audit under 2 CFR 200.501,et seq.,then the Subrecipient shall submit a copy of the results of that audit to the State within the same timelines as the submission to the federal government through the Federal Audit Clearinghouse. Additional resource:OSC Audits,Special Tests and Provisions Micro Training Eligible Activ ities and Program Components The THR policies and procedures align with the OHI Homelessness Program Model Comparisons document,which are subject to evolution and changes as determined by DOH. The following sections outline the program components and eligible activities allowable for the activities for THR grants. Eligible costs for individual THR grants are limited to the approved activities included within the THR grant agreement. General Best Practices The Department of Local Affairs (DOLA),Division of Housing (DOH),Office of Homeless Initiatives (OHI)works with local,state,and federal stakeholders to build,promote,and 41 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF support collaborative approaches to make homelessness rare,brief,and one-time in Colorado.OHI’s vision is to advance a broad continuum of solutions that combines affordable housing with accessible services so no one languishes in homelessness.This OHI document describes program models,benchmarks,and outputs &outcomes for responding to and resolving homelessness.DOH and OHI use this document to guide funding opportunities and decisions,as applicable based on funding eligibility and availability.The document is a live document and will be edited periodically. OHI’s approach to implementing any homelessness program is rooted in evidence-based philosophies and guidelines,including: ●Utilize Housing-Focused Models.Housing-focused models recognize housing as a prerequisite to stability and health.The model adheres to Housing First,which prioritizes housing and voluntary supportive services.The approach is guided by the understanding that basic needs,such as food and housing,are a platform upon which individuals can achieve personal goals.Housing First is not just an individual or agency philosophy.It is also a coordinated,systems-wide approach.Unlike “Housing Ready”, “Housing Next”,or “Treatment First”,Housing First positions housing as an immediate priority for individuals experiencing homelessness.Numerous models or strategies complement Housing First,such as low-barrier programming,trauma-informed approaches,harm reduction,individual choice,and others. ●Apply Real-Time,Quality Data.Real-time,quality data allows organizations and communities to understand the scale of homelessness,determine whether strategies are driving down the number of people experiencing homelessness,and improve programs,policies,and systems.Additionally,real-time,quality data can capture information regarding inequities and disparities;improve accountability and transparency;create a shared understanding of individual housing needs,housing options,and strategic resource allocation;allow organizations to understand how their services interact with each other and with other systems (e.g.,inflow into homelessness and outflow out of homelessness);streamline access to services and service delivery;prevent inefficiencies,such as retroactive data entry and data user errors;and be leveraged to build cross-sector partnerships. ●Advance Inclusion,Diversity,Equity,and Accessibility.Inclusion,diversity,equity,and accessibility (IDEA)are terms related to outreach to and inclusion of diverse communities,organizations,and individuals who identify with diverse backgrounds, including but not limited to ethnicity,race,language,national origin,sexual orientation,gender identity and expression,and ability.In alignment with IDEA efforts,OHI is committed to undoing inequities that create and perpetuate disparate outcomes that are evident among homelessness in Colorado.OHI promotes programs that center lived experiences of homelessness and related systems in leadership and decision-making,program development,and program implementation. ●Encourage Community-Wide Collaboration.Collaboration is central to making homelessness rare,brief,and one-time for those who experience it.For that reason, OHI partners with non-profits,local governments,Continuum of Care entities (CoCs), and a variety of internal and external stakeholders.OHI encourages collaboration within communities and across regions,including coordination of services and active partnerships with CoCs.Additionally,most OHI programs require participation in the local Coordinated Entry System and the use of the statewide Homeless Management Information System (HMIS). Resources:Playbook on Making Homelessness History in Colorado 42 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Street Outreach “Street Outreach”is non-facility based and is the act of engaging people experiencing unsheltered homelessness where they are.“Street Outreach”includes the following eligible activities: Engagement and case management:Efforts to provide essential services to individuals experiencing unsheltered homelessness who are unwilling or unable to access emergency shelter,housing,or other services or programs.This includes:(i) making an initial assessment of services need and eligibility;(ii)assessing housing and service needs and arranging,coordinating,and monitoring the delivery of individualized services;(iii)coordinating with emergency shelter providers for immediate access to shelter options,including hotel/motel vouchers;(iv)providing crisis counseling;(v)addressing urgent physical needs,such as providing meals, blankets,clothes,or toiletries;(vi)actively connecting individuals to programs and services,including transportation to needed services;and (vii)other reasonable and necessary efforts to connect individuals to immediate support,intervention, connections with housing,homelessness assistance programs,and/or mainstream social services and housing programs. Services for behav ioral health,mental health,substance use disorders,and medical care:Includes a continuum of behavioral health services,treatment,and crisis intervention that is provided in non-facility settings.Also includes coordination for access to healthcare-related services including primary care,substance use treatment,mental health care,vision and dental care,and emergency,crisis,and inpatient services.Emergency behavioral,mental,or physical health services funded under this activity may include direct outpatient treatment by licensed professionals operating in non-facility-based settings. Educational,vocational,and work-based learning opportunities:Efforts to connect individuals encountered through outreach with educational,vocational,and work-based learning opportunities that resolve a household’s homelessness as quickly as possible.A best practice is for outreach programs to create or connect to peer mentoring programs and hire peer mentors with lived expertise regarding homelessness to conduct outreach,as well as contribute to program design and improvement. Recovery care and related residential programs:Efforts to connect individuals to community resources that offer recovery care and related residential programs, including the cost of transportation to such services and treatment. Operations:Efforts related to locating and delivering services to individuals experiencing unsheltered homelessness where they are living and building rapport with them.This may include (i)physically locating individuals residing in unsheltered situations;(ii)getting staff to those locations;(iii)ongoing communication (including cell phones for outreach workers during the performance of these activities);and (iv) and other reasonable and necessary efforts required to locate and build trust with those in unsheltered situations.Additionally,this can include mapping the location of unsheltered encampments as well as upgrading,enhancing,or customizing a database that can track real-time,geographic data about homelessness outreach efforts. Grant Activ ities:Efforts focused on administering a specific grant or funding source may improve effective operations,as well as effective program implementation.Such 43 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF efforts include planning and executing program activities,such as (i)general program or grant management,oversight,coordination,monitoring,and evaluation;(ii) salaries,wages,and related costs related to preparing program budgets;developing systems for ensuring compliance with grant requirements;developing interagency agreements;and preparing reports and other required documents or activities;(iii) accounting or other services;and (iv)other reasonable and necessary goods and services required to implement the grant program,such as evaluating program results against stated objectives,occupancy costs,and training on program requirements. Indirect Costs:Pursuant to 2 CFR §200.414,Grant Funds may be used to pay for indirect costs in accordance with 2 CFR Part 200,Subpart E.Prior to requesting reimbursement for indirect costs,Grantee must discuss the indirect cost rate with DOH Key Personnel and submit corresponding documentation to DOH Key Personnel as requested. Emergency Shelter “Emergency Shelter”includes facilities for which the primary purpose is to provide temporary shelter to people experiencing homelessness and which do not require guests to sign leases or occupancy agreements and do not charge rent.“Emergency Shelter”includes the following eligible activities: Essential services:Efforts to provide supportive services to those who are in an Emergency Shelter.These services include finding housing options that resolve guests’ homelessness as quickly as possible.Efforts include (i)housing search and placement and navigation,such as activities to assist guests to locate and obtain housing;(ii) housing stability case management,such as assessing,coordinating,and delivering individualized services to obtain housing,developing case management plans,and support groups;(iii)legal services necessary to resolve a legal problem that prohibits the guest participant from obtaining permanent housing;(iv)services for physical health care,mental health care,behavioral health care,and other medical care;(v) implementing and maintaining diversion programming;and (vi)other reasonable and necessary costs that help resolve a household’s homelessness,including but not limited to child care and transportation. Educational,vocational,and work-based learning opportunities:Efforts to connect individuals and families with educational,vocational,and work-based learning opportunities that resolve the individual’s homelessness as quickly as possible.Shelters may consider creating or connecting to peer mentoring programs and hiring peer mentors with lived expertise of homelessness to work in the shelter and contribute to program design or improvement. Recovery care and related residential programs:Efforts to connect program participants to community resources that offer recovery care and related residential programs,including transportation to those services. Operations:Efforts related to maintenance (including minor or routine repairs),rent, security,fuel,equipment,insurance,utilities,food,furnishings,and supplies necessary for the operation of the Emergency Shelter. Grant Activ ities:Efforts focused on administering a specific grant or funding source may improve effective operations,as well as effective program implementation.Such 44 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF efforts include planning and executing program activities,such as (i)general program or grant management,oversight,coordination,monitoring,and evaluation;(ii) salaries,wages,and related costs related to preparing program budgets;developing systems for ensuring compliance with grant requirements;developing interagency agreements;and preparing reports and other required documents or activities;(iii) accounting or other services;and (iv)other reasonable and necessary goods and services required to implement the grant program,such as evaluating program results against stated objectives,occupancy costs,and training on program requirements. Transitional Housing “Transitional Housing”is an intermediate step between emergency crisis shelter and permanent housing.It is more long-term,service-intensive,and private than emergency shelters,yet remains time-limited to stays of 3 months to 3 years.“Transitional Housing” includes the following eligible activities: Essential services:Efforts for supportive services targeted at alleviating identified barriers for residents who chose to focus on these structured programs.Services may include (i)housing search and placement and navigation,such as activities to assist guests to locate and obtain housing;(ii)housing stability case management,such as assessing,coordinating,and delivering individualized services to obtain housing, developing case management plans,and support groups;(iii)legal services necessary to resolve a legal problem that prohibits the participant from obtaining permanent housing;(iv)services for physical health care,mental health care,behavioral health care,and other medical care;and (v)other reasonable and necessary costs that help resolve a household’s homelessness and achieve personal goals,including but not limited to child care,transportation,parenting education and interventions,home management and life skills training,and others. Operations:Efforts related to maintenance (including minor or routine repairs),rent, security,fuel,equipment,insurance,utilities,food,furnishings,and supplies necessary for the operation of the facility. Grant Activ ities:Efforts focused on administering a specific grant or funding source may improve effective operations,as well as effective program implementation.Such efforts include planning and executing program activities,such as (i)general program or grant management,oversight,coordination,monitoring,and evaluation;(ii) salaries,wages,and related costs related to preparing program budgets;developing systems for ensuring compliance with grant requirements;developing interagency agreements;and preparing reports and other required documents or activities;(iii) accounting or other services;and (iv)other reasonable and necessary goods and services required to implement the grant program,such as evaluating program results against stated objectives,occupancy costs,and training on program requirements. Educational,Vocational,and Work-Based Learning Opportunities:Efforts to deliver educational,vocational,and work-based learning opportunities within Transitional Housing that resolve the household’s homelessness as quickly as possible.A best practice is for Transitional Housing programs to use funds to create or connect to peer mentoring programs and hire peer mentors with lived expertise of homelessness to work in the facility and contribute to program design or improvement that are not able to be funded by other sources. 45 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Recovery Care and Related Residential Programs:Efforts to provide recovery care and residential programs within the Transitional Housing,including (i)treatment and support services;(ii)primary prevention;(iii)recovery support services and facilitation;(iv)outreach,engagement,pre-treatment,screening,and assessment;(v) detoxification;(vi)substance use education,treatment,and relapse prevention;(vii) medical,dental,and other health care services;(viii)specialized assessment, monitoring,and referrals for education,peer support,therapeutic interventions and physical safety;(ix)mental health care that includes a trauma-informed system of assessments and interventions;(x)mental health promotion and assessment;(xi) education,testing,counseling,and treatment;(xii)the cost of transportation to those services,if needed;and (xiii)other reasonable and necessary costs related to carrying out the recovery care and/or residential program. Bridge Housing “Bridge Housing”is temporary housing for those who have been matched with a permanent housing resource to safely reside while waiting to move into housing.“Bridge Housing” includes the following eligible activities: Essential services:Efforts to provide supportive services to those who are in Bridge Housing that are needed to bridge them into permanent housing placements.Activities include (i)housing search and placement and navigation,such as activities to assist guests to locate and obtain housing;(ii)housing stability case management,such as assessing,coordinating,and delivering individualized services to obtain housing, developing case management plans,and support groups;(iii)legal services necessary to resolve a legal problem that prohibits the guest participant from obtaining permanent housing;(iv)services for physical health care,mental health care, behavioral health care,and other medical care;and (v)other reasonable and necessary costs that help bridge the gap between securing the housing option and the housing becoming available,including but not limited to logistics planning,child care, and transportation. Educational,Vocational,and Work-Based Learning Opportunities:Efforts to connect Bridge Housing residents with educational,vocational,and work-based learning opportunities that will stabilize the household once they transition to permanent housing.Bridge Housing providers may consider creating or connecting to peer mentoring programs and hiring peer mentors with lived expertise of homelessness to work in the Bridge Housing program. Recovery Care and Related Residential Programs:Efforts to connect residents to community resources that offer recovery care and related residential programs, including the cost of transportation to those services,if needed. Operations:Efforts include maintenance (including minor or routine repairs),rent, security,fuel,equipment,insurance,utilities,food,furnishings,and supplies necessary for the operation of the facility. Grant Activ ities:Efforts focused on administering a specific grant or funding source may improve effective operations,as well as effective program implementation.Such efforts include planning and executing program activities,such as (i)general program or grant management,oversight,coordination,monitoring,and evaluation;(ii) salaries,wages,and related costs related to preparing program budgets;developing systems for ensuring compliance with grant requirements;developing interagency 46 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF agreements;and preparing reports and other required documents or activities;(iii) accounting or other services;and (iv)other reasonable and necessary goods and services required to implement the grant program,such as evaluating program results against stated objectives,occupancy costs,and training on program requirements. Ev iction &Homelessness Prevention “Eviction &Homelessness Prevention”provides financial assistance and/or supportive and legal services to prevent households from being evicted and entering emergency shelters and/or experiencing homelessness.“Eviction &Homelessness Prevention”includes the following eligible activities: Housing Search and Placement:Services or activities necessary to assist program participants in locating,obtaining,and retaining suitable permanent housing,including (i)assessment of housing barriers,needs,and preferences;(ii)development of an action plan for locating or maintaining housing;(iii)housing search;(iv)outreach to and negotiation with owners;(v)assistance with submitting rental applications and and other lease-up assistance,such as understanding leases;(vi)assessment of housing for compliance with unit requirements,such as habitability;(vii)assistance with obtaining utilities and moving arrangements and assistance;and (viii)tenant counseling. Housing Nav igation and Landlord Mediation:Assists program participants in obtaining housing by helping them navigate housing applications,screening criteria,and relationships with landlords that aim to increase exits to permanent housing with ongoing support.This staff capacity may provide services to landlords to de-escalate any challenges that arise with program participants,with the goal of avoiding evictions or exits to homelessness.This can also include providing services and life skills for program participants to equip them with understanding tenant responsibilities and other skills that may be needed to achieve long-term housing stability. Housing Stability Case Management and Tenancy Support Services:Efforts to assess, arrange,coordinate,and monitor the delivery of individualized services to facilitate housing stability for a participant who resides in permanent housing or to assist a participant in overcoming or mitigating immediate barriers to obtaining housing, including tenant screening barriers.This may include (i)using the centralized or coordinated assessment system to evaluate individuals and families applying for or receiving homelessness prevention or rapid re-housing assistance;(ii)conducting the initial evaluation,including verifying and documenting eligibility,as well as conducting the ongoing re-assessments for ensuring program participants’continued eligibility and adjusting assistance;(iii)counseling;(iv)developing,securing,and coordinating services to enroll eligible individuals and families into economic security programs and other eligible public benefits;(v)monitoring and evaluating participant progress;(vi) providing information and referrals to other providers;(vii)developing an individualized housing and service plan,including planning a path to permanent housing stability;(viii)linkages to education,job skills training,and employment support;and (ix)conducting re-evaluations. After move-in,case management best practice is home-based as much as possible and is focused on stabilizing the participant in housing by identifying supports, employment or other income,housing retention barriers,and conflict resolution that may lead to tenancy problems. 47 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Case management is participant-driven,voluntary,progressive,strengths-based and focused on housing attainment and retention. Activities may also include in-reach,outreach,engagement,and other on-going tenancy support services,including (i)acquiring necessary furnishings and household goods;(ii)tenancy rights and responsibilities education and support;(iii)eviction prevention supports;(iv)transportation assistance related to housing stability;(v) independent living skills coaching;(vi)de-escalation support;(vii)support groups; (viii)end-of-life planning;and (ix)re-engagement and relocation support. Mediation:Mediation between the participant and the owner or person(s)with whom the participant is living,provided that the mediation is necessary to prevent the participant from losing permanent housing in which the program participant currently resides. Legal Serv ices:Legal services necessary to resolve a legal problem that prohibits the participant from obtaining permanent housing or will likely result in the participant losing the permanent housing in which the program participant currently resides.This may include strategies that prevent evictions from reaching courts and formal legal proceedings and other alternatives to formal eviction hearings. Credit Repair: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. Services for Behavioral Health,Mental Health,Substance Use Disorders,and Medical Care:Includes a continuum of behavioral health services and treatment,as well as coordination of access to healthcare-related services including primary care, substance use treatment,mental health care,vision and dental care,and emergency, crisis,and inpatient services. Other supportive serv ices:Includes but is not limited to other supportive services such as: Childcare:Efforts to establish and operate childcare or provide childcare vouchers for children from families experiencing homelessness,and provide meals,snacks,and comprehensive and coordinated developmental activities. Education Serv ices:Efforts to improve knowledge and basic educational skills. Services include instruction or training in consumer education,health education, substance use prevention,literacy,English as a Second Language,General Educational Development (GED),and others,such as the provision of books,supplies,and instructional material. Food:Efforts to provide meals or groceries to program participants. Educational,Vocational,And Work-Based Learning Opportunities:Efforts to connect program participants to educational,vocational,and work-based learning opportunities that resolve the household’s homelessness as quickly as possible and/or stabilize permanent housing. Recovery Care And Related Residential Programs:Efforts to connect program participants to community resources that offer recovery care and related residential programs,including the cost of transportation to those services. 48 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Grant Activ ities:Efforts focused on administering a specific grant or funding source may improve effective operations,as well as effective program implementation.Such efforts include planning and executing program activities,such as (i)general program or grant management,oversight,coordination,monitoring,and evaluation;(ii) salaries,wages,and related costs related to preparing program budgets;developing systems for ensuring compliance with grant requirements;developing interagency agreements;and preparing reports and other required documents or activities;(iii) accounting or other services;and (iv)other reasonable and necessary goods and services required to implement the grant program,such as evaluating program results against stated objectives,occupancy costs,and training on program requirements. Short-Term And Medium-Term Rental Assistance: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.This may include:short-term rental assistance is assistance for up to three months of rent;medium-term rental assistance is assistance for more than three months but not more than 24 months of rent;payment of rental arrears consists of a one-time payment for up to six months of rent in arrears, including any late fees on those arrears;rental assistance may be tenant-based or project-based. Financial Assistance:Efforts to obtain or maintain permanent housing,such as rental application fees,security deposits,last month's rent,utility deposits,utility payments, and moving costs. Rapid Re-housing “Rapid Re-housing”provides financial assistance and/or services for households to quickly exit homelessness by securing permanent housing.“Rapid Re-housing”includes the following eligible activities: Housing Search and Placement:Services or activities necessary to assist program participants in locating,obtaining,and retaining suitable permanent housing,including (i)assessment of housing barriers,needs,and preferences;(ii)development of an action plan for locating or maintaining housing;(iii)housing search;(iv)outreach to and negotiation with owners;(v)assistance with submitting rental applications and and other lease-up assistance,such as understanding leases;(vi)assessment of housing for compliance with unit requirements,such as habitability;(vii)assistance with obtaining utilities and moving arrangements and assistance;and (viii)tenant counseling. Housing Nav igation and Landlord Mediation:Assists program participants in obtaining housing by helping them navigate housing applications,screening criteria,and relationships with landlords that aim to increase exits to permanent housing with ongoing support.This staff capacity may provide services to landlords to de-escalate any challenges that arise with program participants,with the goal of avoiding evictions or exits to homelessness.This can also include providing services and life skills for program participants to equip them with understanding tenant responsibilities and other skills that may be needed to achieve long-term housing stability. Housing Stability Case Management and Tenancy Support Services:Efforts to assess, arrange,coordinate,and monitor the delivery of individualized services to facilitate housing stability for a participant who resides in permanent housing or to assist a 49 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF participant in overcoming or mitigating immediate barriers to obtaining housing, including tenant screening barriers.This may include (i)using the centralized or coordinated assessment system to evaluate individuals and families applying for or receiving homelessness prevention or rapid re-housing assistance;(ii)conducting the initial evaluation,including verifying and documenting eligibility,as well as conducting the ongoing re-assessments for ensuring program participants’continued eligibility and adjusting assistance;(iii)counseling;(iv)developing,securing,and coordinating services to enroll eligible individuals and families into economic security programs and other eligible public benefits;(v)monitoring and evaluating participant progress;(vi) providing information and referrals to other providers;(vii)developing an individualized housing and service plan,including planning a path to permanent housing stability;(viii)linkages to education,job skills training,and employment support;and (ix)conducting re-evaluations.After move-in,case management best practice is home-based as much as possible and is focused on stabilizing the participant in housing by identifying supports,employment or other income,housing retention barriers,and conflict resolution that may lead to tenancy problems.Case management is participant-driven,voluntary,progressive,strengths-based and focused on housing attainment and retention.Activities may also include in-reach,outreach, engagement,and other on-going tenancy support services,including (i)acquiring necessary furnishings and household goods;(ii)tenancy rights and responsibilities education and support;(iii)eviction prevention supports;(iv)transportation assistance related to housing stability;(v)independent living skills coaching;(vi)de-escalation support;(vii)support groups;(viii)end-of-life planning;and (ix)re-engagement and relocation support. Mediation:Mediation between the participant and the owner or person(s)with whom the participant is living,provided that the mediation is necessary to prevent the participant from losing permanent housing in which the program participant currently resides. Legal Serv ices:Legal services necessary to resolve a legal problem that prohibits the participant from obtaining permanent housing or will likely result in the participant losing the permanent housing in which the program participant currently resides.This may include strategies that prevent evictions from reaching courts and formal legal proceedings and other alternatives to formal eviction hearings. Credit Repair: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. Services for Behavioral Health,Mental Health,Substance Use Disorders,and Medical Care:Includes a continuum of behavioral health services and treatment,as well as coordination of access to healthcare-related services including primary care, substance use treatment,mental health care,vision and dental care,and emergency, crisis,and inpatient services. Other supportive serv ices:Includes but is not limited to other supportive services such as: Childcare:Efforts to establish and operate childcare or provide childcare vouchers for children from families experiencing homelessness,and provide meals,snacks,and comprehensive and coordinated developmental activities. 50 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Education Serv ices:Efforts to improve knowledge and basic educational skills. Services include instruction or training in consumer education,health education, substance use prevention,literacy,English as a Second Language,General Educational Development (GED),and others,such as the provision of books,supplies,and instructional material. Food:Efforts to provide meals or groceries to program participants. Educational,Vocational,And Work-Based Learning Opportunities:Efforts to connect program participants to educational,vocational,and work-based learning opportunities that resolve the household’s homelessness as quickly as possible and/or stabilize permanent housing. Recovery Care And Related Residential Programs:Efforts to connect program participants to community resources that offer recovery care and related residential programs,including the cost of transportation to those services. Grant Activ ities:Efforts focused on administering a specific grant or funding source may improve effective operations,as well as effective program implementation.Such efforts include planning and executing program activities,such as (i)general program or grant management,oversight,coordination,monitoring,and evaluation;(ii) salaries,wages,and related costs related to preparing program budgets;developing systems for ensuring compliance with grant requirements;developing interagency agreements;and preparing reports and other required documents or activities;(iii) accounting or other services;and (iv)other reasonable and necessary goods and services required to implement the grant program,such as evaluating program results against stated objectives,occupancy costs,and training on program requirements. Short-Term And Medium-Term Rental Assistance: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.This may include:short-term rental assistance is assistance for up to three months of rent;medium-term rental assistance is assistance for more than three months but not more than 24 months of rent;payment of rental arrears consists of a one-time payment for up to six months of rent in arrears, including any late fees on those arrears;rental assistance may be tenant-based or project-based. Financial Assistance:Efforts to obtain or maintain permanent housing,such as rental application fees,security deposits,last month's rent,utility deposits,utility payments, and moving costs. Permanent Supportive Housing “Permanent Supportive Housing”is a housing model that provides households non-time limited rental assistance,the rights of tenancy,voluntary tenancy support services,and links to other supportive resources.“Permanent Supportive Housing”includes the following eligible activities: Housing Search and Placement:Services or activities necessary to assist program participants in locating,obtaining,and retaining suitable permanent housing,including (i)assessment of housing barriers,needs,and preferences;(ii)development of an action plan for locating or maintaining housing;(iii)housing search;(iv)outreach to 51 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF and negotiation with owners;(v)assistance with submitting rental applications and and other lease-up assistance,such as understanding leases;(vi)assessment of housing for compliance with unit requirements,such as habitability;(vii)assistance with obtaining utilities and moving arrangements and assistance;and (viii)tenant counseling. Housing Nav igation And Landlord Mediation:Assists program participants in obtaining housing by helping them navigate housing applications,screening criteria,and relationships with landlords that aim to increase exits to permanent housing with ongoing support.This staff capacity may provide services to landlords to de-escalate any challenges that arise with program participants,with the goal of avoiding evictions or exits to homelessness.This can also include providing services and life skills for program participants to equip them with understanding tenant responsibilities and any other skills that may be needed to achieve long-term housing stability. Housing Stability Case Management And Tenancy Support Services:Efforts to assess, arrange,coordinate,and monitor the delivery of individualized services to facilitate housing stability for a participant who resides in permanent housing or to assist a participant in overcoming or mitigating immediate barriers to obtaining housing, including tenant screening barriers.This may include (i)using the centralized or coordinated assessment system to evaluate individuals and families applying for or receiving homelessness prevention or rapid re-housing assistance;(ii)conducting the initial evaluation,including verifying and documenting eligibility,as well as conducting the ongoing re-assessments for ensuring program participants’continued eligibility and adjusting assistance;(iii)counseling;(iv)developing,securing,and coordinating services to enroll eligible individuals and families into economic security programs and other eligible public benefits;(v)monitoring and evaluating program participant progress;(vi)providing information and referrals to other providers;(vii)developing an individualized housing and service plan,including planning a path to permanent housing stability;(viii)linkages to education,job skills training,and employment support;and (ix)conducting re-evaluations.After move-in,case management best practice is home-based as much as possible and is focused on stabilizing the participant in housing by identifying supports,employment or other income,housing retention barriers,and conflict resolution that may lead to tenancy problems.Case management best practice is participant-driven,voluntary,progressive, strengths-based and focused on housing attainment and retention.Activities may also include in-reach,outreach,engagement,and other on-going tenancy support services, including (i)acquiring necessary furnishings and household goods;(ii)tenancy rights and responsibilities education and support;(iii)eviction prevention supports;(iv) transportation assistance related to housing stability;(v)independent living skills coaching;(vi)de-escalation support;(vii)support groups;(viii)end-of-life planning; and (ix)re-engagement and relocation support. Mediation:Mediation between the participant and the owner or person(s)with whom the 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. Legal Serv ices:Legal services necessary to resolve a legal problem that prohibits the participant from obtaining permanent housing or will likely result in the participant losing the permanent housing in which the program participant currently resides. 52 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Credit Repair: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. Services For Behavioral Health,Mental Health,Substance Use Disorders,And Medical Care:Includes a continuum of behavioral health services and treatment,as well as coordination of access to healthcare-related services including primary care, substance use treatment,mental health care,vision and dental care,and emergency, crisis,and inpatient services. Other Supportive Services:Includes but is not limited to other supportive services such as: Childcare:Efforts to establish and operate childcare or provide childcare vouchers for children from families experiencing homelessness,and provide meals,snacks,and comprehensive and coordinated developmental activities. Education Serv ices:Efforts to improve knowledge and basic educational skills. Services include instruction or training in consumer education,health education, substance use prevention,literacy,English as a Second Language,General Educational Development (GED),and others,such as the provision of books,supplies,and instructional material. Food:Efforts to provide meals or groceries to program participants. Educational,Vocational,And Work-Based Learning Opportunities:Efforts to connect program participants to educational,vocational,and work-based learning opportunities that resolve the household’s homelessness as quickly as possible and/or stabilize permanent housing. Recovery Care And Related Residential Programs:Efforts to connect program participants to community resources that offer recovery care and related residential programs. Operations:Efforts to provide building maintenance (including minor or routine repairs)specific to the development serving the target population,security,fuel, equipment,insurance,furnishings,and supplies necessary for the operation of Supportive housing programming. Grant Activ ities:Efforts focused on administering a specific grant or funding source may improve effective operations,as well as effective program implementation.Such efforts include planning and executing program activities,such as (i)general program or grant management,oversight,coordination,monitoring,and evaluation;(ii) salaries,wages,and related costs related to preparing program budgets;developing systems for ensuring compliance with grant requirements;developing interagency agreements;and preparing reports and other required documents or activities;(iii) accounting or other services;and (iv)other reasonable and necessary goods and services required to implement the grant program,such as evaluating program results against stated objectives,occupancy costs,and training on program requirements. 53 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Systems Improvement “Systems improvement”activities generally refer to collaborative and strategic processes that identify complex problems,develop community-driven solutions,and implement improvements.“Systems Improvement”includes the following eligible activities: Data Collection,Management,Analysis,And System Integration:Efforts related to collecting,managing,and analyzing data and/or integrating data systems to advance communities’homelessness efforts.Proposals may be related to the Homeless Management Information System (HMIS),an HMIS comparable database,and/or other coordinated activities that use data to strengthen communities’understanding of and response to homelessness. Coordination:Coordination across communities,regions,and/or the state at-large, including but not limited to case conferencing,coordinated entry systems, capacity-building and infrastructure,cross-sector partnerships,and other strategic activities to advance a community’s/region’s homelessness efforts. Resource Utilization Acceleration:Enhancing the utilization of currently available resources,increasing the speed of connection to resources for eligible households,or otherwise ensuring that homelessness response systems connect households to resources as efficiently and effectively as possible. Additional Resources ●Uniform Guidance:2 CFR Part 200 ●Office of the State Controller Micro Training Series on 2 CFR 200 ○2 CFR 200 Overview ○Eligibility ○Period of Performance ○Financial Management ○Match ○Cost Principles and Allowable Costs ○Terms and Conditions ○Audits Special Test Provisions ○Program Income ○Equipment and Real Property ○Reporting ○Subrecipient Monitoring ○Procurement Suspension and Debarment ○Full OSC Micro Training Series ●OSC ARPA Reference Guide ●Office Of The State Controller Guide For Monitoring Subrecipients ●OSC SLFRF State Agency Desk Guide ○2 CFR 200 Subpart E-Cost Principles Basic Considerations ○2 CFR 200 Subpart E-Cost Principles Selected Items of Cost ○SLFRF and Internal Controls ○Duplication of Benefits ○Match or Cost Sharing ○Subrecipient,Beneficiary or Contractor Classification Checklist ○Pass-Through Entity Responsibilities Checklist ○SLFRF Subrecipient Award Checklist ○Risk Assessment ○Supplanting Guidance 54 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF ○SLFRF Fraud,Waste and Abuse Guide ○Supporting Documentation Appendix A Pay Request Policies &Procedures Overview of Pay Requests General Information ●DOH THR grantees are paid on a reimbursement basis. ●In order to receive reimbursement,THR grantees must submit payment requests according to the requirements listed in their DOH THR grant agreement. ●Pay requests should only include eligible expenses for the THR program.See the THR Policies and Procedures and your Exhibit A for more information. ●THR grantees must submit pay requests once per month,on or before the 20th of the month,for the expenses incurred in the previous month (e.g.,a pay request for expenses incurred in July would be due August 20th).In the event that the 20th falls on a weekend,the pay request will be due the following business day. ●THR uses the grant management platform Access Gov for grantees to submit pay requests. ●Once DOH receives the pay request,DOH has 45 days to disburse payment,so long as the pay request is complete and accurate. ●Pay requests should be clear and understandable to any outside third party,without additional context or agency knowledge being necessary to understand the expenses included. ●Reviewing pay requests is a method for ongoing monitoring by DOH staff and may involve follow-up discussion. ●Each expense incurred must be sufficiently documented via two required forms of backup documentation:(1)Proof of Cost/Service,and (2)Proof of Payment.Proof of cost/service may include an invoice,bill,itemized receipt,timesheet,etc.Proof of payment may include a check,bank statement,payroll summary,paystub,etc. ●Expenses must be incurred within the grant period. ●Pay request submissions should adhere to the guidelines outlined below. ●Each pay request is comprised of the following key components listed below and discussed in the following subsections: ○A completed THR Cover Sheet ○A backup documentation packet that matches your THR Cover Sheet ○An Access Gov draw request submission that includes your uploaded THR Cover Sheet and backup documentation packet 55 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Completing Your THR Cover Sheet The purpose of the THR Cover Sheet is to (a)quickly orient the DOH reviewer to the request, which expedites the review and payment process,(b)ensures pay request submissions are clear to understand and only include eligible and allocable costs,and (c)ensures that the grantee is maintaining sufficient financial records.The THR Cover Sheet should clearly explain what is included in the backup documentation and list all direct expenses in the pay request. The THR Cover Sheet is always required,unless otherwise discussed with and approved by the DOH grant manager. ●Fill out your THR Cover Sheet and save it as a new file. ●Enter the Expense Period Start Date and Expense Period End Date at the top left of the THR Cover Sheet. ●List each direct expense in the appropriate section of the THR Cover Sheet by activity. ●For each expense,be sure to complete all columns:Expense Category,Expense Incurred Date(s),Date Paid,Vendor/Payee,Use/Description,Proof of Service/Cost, Proof of Payment,Page #’s in Attached Documentation,Included in Modified Total Direct Cost (MTDC)base?(if applicable),and Expense Amount. ○For the Expense Category column,there is a dropdown menu including the different THR Expense Categories.Select the category that best describes the expense you are listing. ●If you choose to bill indirect costs: ○Ensure that the indirect rate included in the Cover Sheet Template is accurate for your organization. ○Complete the corresponding Modified Direct Total Costs (MTDC)Calculator or NICRA Base Cost Calculator to identify the expenses eligible to be included in calculating the indirect amount. ○Keep in mind that not all THR grantees choose to bill Indirect Costs.If you do not have Indirect Costs,this section should be left blank.For more information on Indirect Costs,see THR Policies and Procedures. ●Make sure the total below each section adds up each expense in that section correctly (we’ve added the SUM function in the appropriate sections to do this for you but it’s a good ideal to double check).This should exactly match the amount requested in Access Gov for that funded activity. ●Enter in the amount of match funds expended during this pay period,and note the sources of match.Backup documentation is not required to be submitted for match funds with the pay request,however backup documentation must be maintained and retained for match expenses. ●Ensure the “TOTAL REQUESTED”at the bottom of the THR Cover Sheet adds up the total of each section correctly. ●Once your THR Cover Sheet for that pay period is complete,save and rename the file and upload to the corresponding draw request in Access Gov (see the Submitting Pay Requests in Access Gov section below for more information). ○Upload the THR Cover Sheet as a separate Excel sheet,not as a PDF (the pay request will have to be returned if not submitted as an Excel sheet). 56 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Compiling &Organizing Your Backup Documentation Packet Below are the key things to keep in mind as you compile and organize backup documentation for proof of cost/service and proof of payment for each expense for which you are requested reimbursement.There are no specific step-by-step instructions for this section as each agency uses different procedures for documenting/tracking,maintaining,and compiling backup documentation.The following guidance pertains to backup documentation: ●Each expense incurred must be sufficiently documented via two required forms of backup documentation:(1)Proof of Cost/Service,and (2)Proof of Payment.Proof of cost/service may include an invoice,bill,itemized receipt,timesheet,etc.Proof of payment may include a check,bank statement,payroll summary,paystub,etc. ●Include proof of cost/service incurred for every expense,including staff compensation.Proof of cost/service should clearly show the cost incurred (i.e., expense)and when it was incurred (i.e.,expense date must be visible/legible).For personnel costs,this includes showing the pay period /days worked. ●Include corresponding proof of payment for every expense,including staff compensation. ●Compile the backup documentation PDF so that proof of cost/service and corresponding proof of payment can easily be cross-checked by the reviewer (e.g., place the expense’s proof of cost/service incurred and proof of payment immediately next to one another). ●Organize backup documentation in the same order as listed in the THR Cover Sheet. ●Upload backup documentation in one PDF attachment. ●Ensure that the request amount for each expense listed in the THR Cover Sheet matches the amount shown in the backup documentation.If there are multiple numbers in the backup documentation,please clearly indicate (e.g.,highlight,circle, provide additional documentation)which numbers add up to the expense amount listed in the THR Cover Sheet and should clearly demonstrate that these numbers do add up.The reviewer should not need to manually calculate the amounts.Show your work. ○To add highlights,draw circles,and/or write notes into your backup documentation PDF,simply login to your Adobe Acrobat account or open PDF in Microsoft Edge browser (click here for a short tutorial on how to do this). ●Remove program participants’personal identifiable information from the backup documentation. 57 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Using Access Gov Creating your account in Access Gov You will first need to set up your account in Access Gov.To do this follow the below instructions. 1.Navigate to this web page: https://bit.ly/THRpayrequest 2.Click “Log in” 3.Select “Sign up now” 4.Enter your email address,then select “Send verification code”. Keep this web page open. 5.You will be immediately emailed a unique verification code 6.Copy and paste that verification code into the open Access Gov web page,then click “Verify code.”After your email has been verified,create your password. Finally,enter your first and last name,then click “Create.”You’re done!You now have an active account with Access Gov. 58 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Submitting Your Pay Requests in Access Gov 1.Log into Access Gov: https://bit.ly/THRpayrequest 2.Click on “Start Form”or “Draw request”to open the submission form. 3.Fill out the Draw Request form completely a.Enter your project number in the follow format: XX-XXX b.Select all funded activities relevant to your award and that month’s pay request c.Enter the expense period start date and end date in the following format: XX/XX/XXXX -XX/XX/XXXX.These dates should exactly match the expense period start and end dates listed in your corresponding THR Cover Sheet d.Enter Requester Name (this is the form filler’s name,not the agency’s name) e.Enter the total amount being requested for each activity (This should exactly match the amount(s)listed in your corresponding THR Cover Sheet) f.Enter the total match calculated for each activity (This should exactly match the amount(s)listed in your corresponding THR Cover Sheet) g.Under your Cover Sheet and corresponding supporting documentation i.Upload your completed THR Cover Sheet as an Excel file ii.Upload all backup documentation (i.e.,proof of cost/service and proof of payment for each expense listed in the THR Cover Sheet,in the same order)in as a single PDF h.Enter any relevant comments/notes you’d like your THR Program Specialist to be aware of relative to this request. i.Click on the Submit button. 59 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF Frequently Asked Questions What are some common reasons for a THR pay request to be returned? 1.Insufficient Supporting Documentation for Personnel Costs The Division of Housing (DOH)requires two forms of documentation for each accrued cost: 1.Proof of Service,such as a timesheet that includes the required information described below 2.Proof of Payment,such as a paystub Proof of service or “Time and Activity”is a standard compliance requirement for federal grants,and is required for THR funding.Your time and activity reports (timesheets)must include these three components: 1.An accurate #of hours/day each employee spends on each THR funded activity 2.A brief description of the activities conducted during the time tracked toward each funded activity (We're being pretty open with what this looks like -even just indicating 2 hrs THR Systems Improvement would suffice) 3.Staff signature reflecting actual hours worked as well as supervisor signature approving hours a.Timesheets must show written or electronic approval from employee’s and supervisor’s verifying actual THR hours worked.If the current payroll system does not show approval timestamps,please reach out to your THR specialist to discuss other possible options to meet this requirement. Any cost without the appropriate corresponding supporting documentation is considered unallowable and therefore not eligible for reimbursement.Your THR Program Specialist will ask you to resubmit if they discover personnel costs without sufficient backup documentation. 2.Lack of clarity with personnel costs allocated to multiple funding sources Your THR Program Specialist needs to be able to clearly connect the expense amounts listed on your THR cover sheet for each personnel cost to the corresponding documentation included with your pay requests submission.Therefore,if you have employees whose time is funded by multiple sources,their “THR hours”should be clearly represented in their timesheet and totaled into a “THR percentage”which is then clearly applied to their paystub.Meaning,SHOW YOUR MATH.Reminder:this math needs to be clear enough that a 3rd party auditor can decipher it. If your allocation math lacks clarity,your THR program specialist will ask for an alignment meeting and before asking you to resubmit your pay request with the requested edits. 60 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF 3.Failing to Report Match Each Month: No back up documentation for match is required on your monthly pay requests. However,we do ask for the total amount of match you tracked that month.You will record this information in Access Gov and on your THR Cover Sheet.You'll notice your match is totaled by funded activity (1st image below)and then totaled for the pay period at the bottom of your cover sheet's 1st page (2nd image below). That said,we will ask for your back up documentation on how your match was calculated during formal monitoring sessions (which have not been scheduled yet). Personnel costs,receipts for services or purchased goods,as well as clear internal accounting policies that describe how you track every penny of your match requirement are all good forms of match backup documentation when that time comes. 4.Unredacted Personally Identifying Information (PII): Please do not send DOH emails with PII,or upload pay requests with supporting documentation containing PII.Doing so puts the personal protected information of staff and clients at risk and may result in monitoring findings or additional disciplinary actions.Be sure to black out PII in supporting documentation in all places it appears. This could include redacting employees’addresses from their pay stubs that you are submitting as proof of payment. Note:Your THR Program Specialist will ask you to resubmit a redacted pay request packet if they discover PII when reviewing your backup documentation. 5.Incorrect information entered into Access Gov Take a moment to double check that you have filled out all of the required fields in your Access Gov Draw Request form completely and accurately.Specifically,be sure to enter your project number in the follow format:XX-XXX What are some general guidelines for avoiding mistakes on my Pay Request submissions? Pay Request Do’s ✔Include a completed THR Cover Sheet that lists every direct expense in the pay request.Your assigned THR Program Specialist will provide you with a customized THR Cover Sheet,which includes your funded activities,selected indirect rate,and Modified Direct Total Cost calculator (if applicable). 61 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF ✔Include proof of cost/service incurred for every expense,including staff compensation.Proof of cost/service should clearly show the cost incurred (i.e., expense)and when it was incurred (i.e.,expense date must be visible/legible).For personnel costs,this includes showing the pay period /hours worked. ✔Include corresponding proof of payment for every expense,including staff compensation. ✔Compile the backup documentation PDF so that proof of cost/service and corresponding proof of payment can easily be cross-checked by the reviewer (e.g., place the expense’s proof of cost/service incurred and proof of payment immediately next to one another). ✔Organize backup documentation in the same order as the corresponding expenses are listed in the THR Cover Sheet. ✔Upload backup documentation in a single PDF attachment. ○You can drag and drop multiple PDF files here.Then simply reorder each file as needed to reflect your cover sheet page numbers and merge them all into one PDF document to be submitted. ✔When uploading backup documentation to the pay/draw request in Access Gov,upload your corresponding THR Cover Sheet as a separate Excel file. ✔Ensure that the request amount for each expense listed in the THR Cover Sheet matches the amount shown in the backup documentation.If there are multiple numbers in the backup documentation,the grantee should (a)clearly indicate (e.g., highlight,circle,provide additional documentation)which numbers add up to the expense amount listed in the THR Cover Sheet,and (b)clearly demonstrate that these numbers do add up (e.g.,write out the math,provide a table adding up the numbers). The reviewer should not need to manually calculate the amounts.Show your work. Pay Request Don’ts ✘Submit pay requests without backup documentation (i.e.,proof of cost/service incurred and proof of payment). ✘Submit pay requests without a completed THR Cover Sheet. ✘Convert the THR Cover Sheet to a PDF. ✘Combine multiple expenses (including pay periods /pay dates)in the THR Cover Sheet instead of listing each expense individually. ✘Upload a separate backup documentation file for each expense. ✘Include program participants’personal identifiable information. ✘Submit multiple pay requests per month (unless otherwise discussed THR Program team). How do I determine eligible expenses? See the Eligible Activities and Program Components and/or your Exhibit A for a full list of eligible expenses by funded activity type. 62 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF When will I be paid? Per the DOH THR grant agreement,the State shall pay each invoice within 45 days following the State’s receipt of that invoice,as long as the amount invoiced is considered complete and accurate.Should corrections be needed,it may take longer to approve and disburse payment, as the 45 days is from the date of submission of the final complete invoice. How will I know if my pay request has been approved or not? If the pay/draw request is approved,you will receive an automated email from Access Gov notifying you of the approval. If the DOH reviewer has any questions/concerns (e.g.,backup documentation is missing,pay request is difficult to follow,an expense is ineligible),the DOH reviewer will return the pay/draw request to the grantee with the rationale and items to address.You will receive an automated email from Access Gov notifying you of the return.Check your email inbox for additional questions,requests,or instructions from DOH grant managers regarding your pay request. You can also look at the Dashboard in Access Gov to see the status of your request. What counts as proof of service/cost and proof of payment for personnel costs? Proof of service/cost:The most straightforward proof of service/cost for personnel costs is a timesheet showing the below items.If a timesheet is not used,another form of documentation (e.g.,paystub)clearly showing the below items may be acceptable. ●Employee name ●Hours worked /pay period /Funded Activity (make sure the dates worked fall within the grant period) ●A brief description of what the employee performed grant-related activities (e.g., activity name/code,job title,job description) Proof of payment:The most common proof of payment is a paystub showing the following: ●Employee name ●Amount paid ●Evidence that the employee was paid (e.g.,pay/check date) Other forms of documentation for proof of payment that have been provided in the past include an earnings statement,labor distribution report,payroll register,employee earnings record,and other payroll system reports. When the personnel costs amount listed in the THR Cover Sheet does not exactly and clearly match the amount on the backup documentation,additional information/documentation is required to clearly show how the grantee arrived at the amount listed in the THR Cover Sheet.For example: ●Highlighting or circling the amount(s)on a QuickBooks ledger that align with the personnel costs listed in your Cover Sheet. 63 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF ●Including a table or other documentation showing (a)the amounts that appear on the backup documentation,and (b)the percentage of those amounts that were billed to the THR grant and therefore are listed on the THR Cover Sheet. ○To add highlights,draw circles,and/or write notes into your backup documentation PDF,simply login to your Adobe Acrobat account or open the PDF in Microsoft Edge browser (click here for a short tutorial on how to do this). Can ledgers be used as proof of service/cost incurred or proof of payment? A ledger cannot be used as proof of service/cost incurred.For proof of payment,the only scenario in which a ledger can be used is if (1)the ledger is exported from a formal accounting system and is part of the organization’s official records and (2)the ledger includes details on the cleared payment,including the check or card number. What backup documentation is needed if I subcontract to another agency? The Division of Housing (DOH)must approve all subawards in writing before your agency may enter into any agreement regarding your Transformational Homelessness Response (THR) award,and allow a vendor to begin incurring expenses towards the THR award. Subawards is an umbrella term referring to sub-recipients and sub-contractors -which includes consultants.Determination of the type of subaward is based on the OSC’s Subrecipient Beneficiary or Contractor Classification Checklist. DOH written approval should be requested after the selection of the subaward through your agency’s procurement process but before your agency enters into an agreement with the selected entity.If you have selected any subrecipients or subcontractors to work on your THR award -please complete the THR Subaward Approval Form and submit it to your THR Program Specialist as soon as possible to begin the approval process.co Reimbursement requests received for expenses related to subawards that have not been previously approved by THR staff,are ineligible for reimbursement.If you are concerned that your grant may be incurring such expenses -please contact your THR specialist immediately. THR Subrecipients acting as pass-through-entities must collect and monitor their own subawards’(subcontractors/subrecipients)backup documentation.Pass-through-entities do not need to provide DOH with each subaward’s two forms of backup documentation (proof of cost/service and proof of payment)per expense with each month’s THR Pay Request submission.Including the proof of cost/service and proof of payment for the subaward is sufficient for the monthly pay request.Once approved,DOH will make the payment to the THR grantee,i.e.,the agency that holds the DOH THR grant agreement.DOH will request subaward backup documentation during monitoring,and this information must be retained for the record retention period. Please see the Pass Through Entity section of this document for more information. 64 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF How do I bill indirect costs? If your organization is eligible for and using the De Minimus Indirect Rate of 10%,you will need to provide documentation showing how your Modified Total Direct Cost (MTDC)base amount,the indirect cost rate,and the indirect costs charge were calculated.To do this use the MTDC calculator tabs provided in your customized THR Cover Sheet for each funded activity.Fill in the requested information in the blue cells within the MTDC calculator that corresponds with expenses listed on the Cover Sheet.Once complete,these totals will auto-populate into the indirect total fields on your cover sheet tab. If your organization has a current Negotiated Indirect Costs Rate Agreement (NICRA),you must use that rate for your indirect expenses,&provide DOH with documentation of your current NICRA.This agreement will provide information on any exclusions applying to your direct base total and your approved indirect cost rate.After reviewing your NICRA,your THR Program Specialist will create a THR Cost Base Calculator for each of your funded activities as supplementary tabs in your customized THR Cover Sheet.Along with each pay request,use the base rate calculator tabs provided in your customized THR Cover Sheet for each funded activity.Fill in the requested information in the blue cells within the base rate calculator that corresponds with expenses listed on the Cover Sheet.Once complete,these totals will auto-populate into the indirect total fields on your cover sheet tab. For more information on indirect costs,please see the Indirect Cost section of this document for more information. 65 DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF 12 EXHIBIT C INSURANCE CERTIFICATE DocuSign Envelope ID: D3664AD3-C676-4647-AC16-2910B0D710FF ANY PROPRIETOR/PARTNER/EXECUTIVE OFFICER/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: D3664AD3-C676-4647-AC16-2910B0D710FF