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HomeMy WebLinkAboutWashington State Community, Trade and Economic Development - Grant to Improve Sidewalks in Downtown and Historic Dist. COPY , Not-tiat CONTRACT NO. S06- 76104 - 864 WASHINGTON STATE COMMUNITY, TRADE AND ECONOMIC DEVELOPMENT ECONOMIC DEVELOPMENT DIVISION 1. GRANT RECIPIENT: 2. AWARD DATE: 3. END DATE: City of Yakima July 1, 2005 June 30, 2007 2301 Fruitvale Road Yakima, Washington 98902 4. GRANT RECIPIENT REPRESENTATIVE: 5. CTED REPRESENTATIVE: NAME: Chris Waarvick NAME: Matthew Ojennus PHONE: 509 - 576 -6411 PHONE: 360 - 725 -4047 FAX: 509 -575 -6238 FAX: 360 -586 -0873 E -MAIL: cwaarvic @oi.yakima.wa.us E -MAIL: matthewo @cted.wa.gov 6. SOURCE OF FUNDS: 7. TAX IDENTIFICATION NUMBER: State - $4,000 000 91- 6001293 Total Project Cost - $4,870,000 8. SUMMARY: The City of Yakima will complete sidewalk improvements in the downtown core area and the historic district of North Front Street. The DEPARTMENT and GRANT RECIPIENT acknowledge and accept the terms of this CONTRACT and attachments and have executed this CONTRACT as of the date and year written below. The rights and obligations of both parties to this CONTRACT are governed by this CONTRACT and other documents incorporated by reference: CONTRACT Terms and Conditions including Attachment A: Scope of Work; Attachment B: Certification of the Availability of Funds to Complete the Project; Attachment C: Budget; and Attachment D: Special Conditions. FOR THE DEPARTMENT: FOR THE GRANT RECIPIENT: i t Victor Vasquez, Direct r Dick Zais, City Manager Economic Deve op ivision City of Yakima DATE: - 7 (5 DATE: lI - Z3 -d5 APPROVED AS TO FORM ONLY: Sandra Adix (signature on file) Assistant Attorney General DATE: October 3, 2005 S: \CEAC\Job Economic Development Grants \!Yakima Project \Yakima Contract - S06- 76104- 864.doc 1of12 CONTRACT NO. S06- 76104 -864 CONTRACT TERMS & CONDITIONS SECTION 1 - PREAMBLE This CONTRACT, entered into by the City of Yakima, (hereinafter referred to as the GRANT RECIPIENT) and the Department of Community, Trade and Economic Development (hereinafter referred to as the DEPARTMENT), WITNESSES THAT: WHEREAS, the DEPARTMENT has the responsibility under RCW 43.330.050(5) to provide financial and technical assistance to the communities of the state, to assist in improving the delivery of federal, state, and local programs; and to provide communities with opportunities for productive and coordinated development beneficial to the well -being of communities and their residents; and WHEREAS, the DEPARTMENT is also given the responsibility to administer state funds and programs which are assigned to the DEPARTMENT by the Governor or the Washington State Legislature; and WHEREAS, the Washington State Legislature has, in Laws of 2005, Chapter 488, (Section 138), made an appropriation to fund Job/Economic Development Grants, and directed the DEPARTMENT to administer those funds; and WHEREAS, the appropriation language stipulates the GRANT RECIPIENT is eligible to receive funding for a specific infrastructure improvement project (a venture herein referred to as the PROJECT). THEREFORE, the parties mutually agree to the following terms and conditions: SECTION 2 - SCOPE OF WORK Over the course of the CONTRACT period, the GRANT RECIPIENT shall accomplish the activities described in Attachment "A ": Scope of Work and is incorporated into the CONTRACT by reference. SECTION 3 - FUNDING The total funds to be reimbursed to the GRANT RECIPIENT for costs incurred during the CONTRACT period shall be a sum not to exceed $4,000,000. SECTION 4 - CERTIFICATION OF FUNDS, A. The release of state funds under this CONTRACT is contingent upon the GRANT RECIPIENT certifying that it has expended or has access to funds from other sources as set forth in Attachment `B ": Certification of the Availability of Funds to Complete the Project and is incorporated into the CONTRACT by reference. Such sources may consist of a combination of any of the following: (1) Eligible project expenditures prior to the execution of this CONTRACT. (2) Cash dedicated to the PROJECT. (3) Funds available through a letter of credit or other binding loan commitment(s). (4) Pledges from foundations or corporations. (5) Pledges from individual donors. 2of12 CONTRACT NO. S06- 76104 -864 (6) The value of real property when acquired solely for the purposes of this PROJECT, as established and evidenced by a current market value appraisal performed by a licensed, professional real estate appraiser, or current property tax statement. The DEPARTMENT will not consider appraisals for prospective values of such property for the purposes of calculating the amount of non -state matching fund credit. (7) In -kind contributions, subject to the DEPARTMENT'S approval. - B. The GRANT RECIPIENT shall maintain records sufficient to evidence that it has access to or has expended funds from such non -state sources, and shall make such records available for the DEPARTMENT'S review upon reasonable request. SECTION 5 - BUDGET An approved budget by category of expenditure is included as Attachment "C ": Budget of this CONTRACT and is incorporated into the CONTRACT by reference. The total amount of transfers of funds between line item budget categories shall be as specified in Attachment "C ". If the cumulative amount of these transfers is expected to exceed the amount specified in Attachment "C ", the total project budget shall be subject to justification and negotiation of a CONTRACT amendment by the GRANT RECIPIENT and the DEPARTMENT in advance of expenditure. SECTION 6 - CONTRACT PERIOD A. The effective date of this CONTRACT shall be the date all parties sign and complete execution of the CONTRACT. B. Costs to be reimbursed by the DEPARTMENT under this CONTRACT are those eligible costs incurred during the performance of the CONTRACT work specified in Attachment "A" on or after July 1, 2005, the award date. SECTION 7 - REIMBURSEMENT PROVISIONS A. Funds will be disbursed on a reimbursement basis only. B. Only eligible project - related costs will be reimbursed. C. In order to obtain reimbursement, the GRANT RECIPIENT shall submit quarterly a current invoice voucher on a form provided by the DEPARTMENT, which identifies the costs incurred for work performed since the previous voucher was submitted. Documentation of expenses is not required with each invoice, but must be available upon request. The invoice must be submitted with a progress report as required in Section 9. D. Within twenty (20) days after receiving and approving the voucher, the DEPARTMENT shall remit to the GRANT RECIPIENT a warrant covering the DEPARTMENT'S share of the costs incurred for work performed, unless the claim is challenged by the DEPARTMENT. E. The final invoice voucher covering costs incurred for work performed on or before June 30, 2007, must be submitted by the GRANT RECIPIENT prior to July 6, 2007 to allow the DEPARTMENT sufficient time to process it. Payment of the final voucher shall be contingent upon the DEPARTMENT'S receipt and approval of any products or deliverables designated in Attachment "A ". 3of12 CONTRACT NO. S06- 76104 -864 SECTION 8 - EXPENDITURES ELIGIBLE FOR REIMBURSEMENT The GRANT RECIPIENT may be reimbursed for PROJECT expenditures in the following cost categories: • Real property when purchased or acquired solely for the purposes of the PROJECT; • Design, engineering, architectural, and planning costs; • Project management costs (from external sources only); • Construction costs including, but not limited to, the following: - Site preparation and improvements; - Permits and fees; - Labor and materials; - Taxes on project goods and services; - Capitalized equipment; and - Landscaping. SECTION 9 - REPORTS A. The GRANT RECIPIENT shall submit a brief quarterly progress report on a form approved by the DEPARTMENT which describes the progress made on the work program outlined in Attachment "A ". The progress report shall also provide detail on the dedicated matching funds. B. The GRANT RECIPIENT shall furnish, along with or prior to submitting the final invoice voucher, the final products, and a close out report as designated in Attachment "A ". SECTION 10 - CONTRACT AMENDMENTS The DEPARTMENT or the GRANT RECIPIENT may request changes to the CONTRACT or its provisions: It is agreed and understood that no material or substantive alteration or variation of the terms of this CONTRACT shall be valid unless made in writing and signed by both parties. Any oral understanding or agreements shall not be binding unless made in writing and signed by both parties. SECTION 11 - USE OF SUBCONTRACTS The GRANT RECIPIENT may enter into subcontracts for any of the work contemplated under this CONTRACT without obtaining prior written approval of the DEPARTMENT. The GRANT RECIPIENT shall follow local policies regarding procurement, or in absence of local policies, shall use a competitive procurement process. Each CONTRACT that the GRANT RECIPIENT enters into with subcontractors, creditors and others shall contain a clause providing notice that the state and the DEPARTMENT are not responsible for any legal obligation, financial or otherwise, incurred by the GRANT RECIPIENT. The DEPARTMENT reserves the right to monitor the subcontractor selection process and contractual documents either during or following the selection process. The GRANT RECIPIENT is responsible for the performance of any subcontractors. The GRANT RECIPIENT shall require all subcontractors to follow the same rules and regulations as described in this document.. All subcontractors must be monitored by the GRANT RECIPIENT to ensure fiscal accountability. 4 of 12 • CONTRACT NO. S06 -76104 -864 SECTION 12 - RECAPTURE PROVISIONS In the event that the GRANT RECIPIENT expends funds under this CONTRACT in violation of state laws and/or the provisions of this CONTRACT, the DEPARTMENT reserves the right to recapture state funds in an amount equivalent to the extent of the noncompliance. Such right of recapture shall exist for a period not to exceed six (6) years following CONTRACT termination. Repayment by the GRANT RECIPIENT of funds under this recapture provision shall occur within 30 days of demand. In the event that the DEPARTMENT is required to institute legal proceedings to enforce the recapture provision and prevails, the DEPARTMENT shall be entitled to its costs thereof, including reasonable attorney's fees. SECTION 13 - DOCUMENTATION, MONITORING AND AUDIT During the CONTRACT period and following its termination, the GRANT RECIPIENT shall follow accounting procedures and shall maintain books, records, documents, and other evidence which sufficiently and properly reflect all project specific costs expended in the performance of this CONTRACT. The Office of the State Auditor or any persons duly authorized by the DEPARTMENT shall have full access to and the right to inspect, excerpt, audit, or examine any of these materials at all reasonable times for a period of six (6) years after termination of the CONTRACT. The DEPARTMENT may require a copy of the GRANT RECIPIENT'S most recent audit and management letter. The DEPARTMENT may require the GRANT RECIPIENT to obtain an audit for specific expenditures under this CONTRACT. Costs of a required audit are an allowable expense. • SECTION 14 - ACKNOWLEDGMENT OF STATE FUNDING The GRANT RECIPIENT shall provide all project- related press releases to the DEPARTMENT. Press releases shall identify the state of Washington as a project financier. If, during the period covered by this CONTRACT, the GRANT RECIPIENT displays signs or markers or circulates any communication identifying the financial participants in the PROJECT, such sign, marker, or communication shall identify the state of Washington as a participant. The provision of this section shall also apply to any permanent signs or markers displayed at the PROJECT site. SECTION 15 - NONDISCRIMINATION CLAUSE During the performance of this CONTRACT, the GRANT RECIPIENT shall comply with all federal and state nondiscrimination laws, including but not limited to, chapter 49.60 RCW, Washington's Law Against Discrimination, and 42 U.S.C. 12101 et seq., the Americans with Disabilities Act (ADA). In the event of the GRANT RECIPIENT'S noncompliance or refusal to comply with any nondiscrimination law, regulation, or policy, this CONTRACT may be rescinded, canceled, or terminated in whole or in part, and the GRANT RECIPIENT may be declared ineligible for further contracts with the DEPARTMENT. The GRANT RECIPIENT shall, however, be given a reasonable time in which to cure this noncompliance. Any dispute may be resolved in accordance with Section 22. 5 of 12 CONTRACT NO. S06- 76104 -864 SECTION 16 - TERMINATION OF CONTRACT A. If the GRANT RECIPIENT fails to fulfill its obligations under this CONTRACT, the DEPARTMENT may terminate the CONTRACT upon written notice to the GRANT RECIPIENT specifying the reason for termination. The termination date shall be specified in the notice of termination. In the alternative, the DEPARTMENT may, in its sole discretion, provide notice to the GRANT RECIPIENT that termination will occur unless the GRANT RECIPIENT corrects the violation within a specified number of days. B. Notwithstanding any other provisions of this CONTRACT, either party may terminate this CONTRACT by providing written notice of such termination, specifying the effective date thereof, at least thirty (30) days prior to such date. C. Reimbursement for GRANT RECIPIENT work performed, and not otherwise paid for by the DEPARTMENT prior to the effective date of such termination, shall be as the DEPARTMENT reasonably determines. D. In the event funds are not reappropriated for this PROJECT in the 2007 -2009 biennial budget, this CONTRACT shall terminate on June 30, 2007. SECTION 17 - GRANT RECIPIENT NOT EMPLOYEE OF DEPARTMENT • The GRANT RECIPIENT, its employees, or agents performing under this CONTRACT are not deemed to be employees of the DEPARTMENT or agents of the DEPARTMENT in any manner whatsoever. The GRANT RECIPIENT will not hold itself out as or claim to be an officer or employee of the DEPARTMENT or of the state of Washington and will not make any claim, demand, or application to or for any right or privilege applicable to an officer or employee of the DEPARTMENT or of the state of Washington. • SECTION 18 - OWNERSHIP OF PROJECT /CAPITAL FACILI'T'IES The DEPARTMENT makes no claim to any real property improved or constructed with funds awarded under this CONTRACT and does not assert and will not acquire any ownership interest in or title to the capital facilities and/or equipment constructed or purchased with state funds under this CONTRACT. This provision does not extend to claims that the DEPARTMENT may bring against the GRANT RECIPIENT in recapturing funds expended in violation of this CONTRACT. SECTION 19 - APPLICABLE LAWS AND REGULATIONS The GRANT RECIPIENT shall comply with all existing applicable laws, ordinances, codes, regulations and policies of local, state, and federal governments, as now or hereafter amended. The PROJECT funded under this CONTRACT may be subject to prevailing wage law (Chapter 39.12 RCW). The GRANT RECIPIENT is advised to consult the Washington Department of Labor and Industries and/or private counsel to determine whether prevailing wages must be paid. The DEPARTMENT is not responsible for determining whether prevailing wage applies to this PROJECT or for any prevailing wage payments that may be required by law. 6of12 CONTRACT NO. S06- 76104 -864 SECTION 20 - SPECIAL PROVISION The DEPARTMENT'S failure to insist upon the strict performance of any provision of this CONTRACT or to exercise any right based upon a breach thereof or the acceptance of any performance during such breach shall not constitute a waiver of any obligation or right under this CONTRACT. SECTION 21 - HOLD HARMLESS The GRANT RECIPIENT agrees to defend, hold harmless, and indemnify the state of Washington and the DEPARTMENT, their officers, agents, employees, and assigns against any and all damages or claims for damages resulting or allegedly resulting from the GRANT RECIPIENT'S performance or lack of performance under the terms of this CONTRACT. SECTION 22 - DISPUTE RESOLUTION Except as otherwise provided in this CONTRACT, when a bona fide dispute arises between the parties and it cannot be resolved through discussion and negotiation, either party may request a dispute hearing. The parties shall select a dispute resolution team to resolve the dispute. The team shall consist of a representative appointed by the DEPARTMENT, a representative appointed by the GRANT RECIPIENT, and a third party mutually agreed upon by both parties. The team shall attempt, by majority vote, to resolve the dispute. The parties agree that this dispute process shall precede any action in a judicial or quasi-judicial tribunal. SECTION 23 - GOVERNING LAW AND VENUE The CONTRACT shall be construed and enforced in accordance with, and the laws of the state of Washington hereof shall govern the validity and performance. Venue of any suit between the parties arising out of this CONTRACT shall be the superior court of Thurston County, Washington. SECTION 24 - SEVERABILITY In the event any term or condition of this CONTRACT or application thereof to any person or circumstances is held invalid, such invalidity shall not affect other terms, conditions, or applications of this CONTRACT which can be given effect without the invalid term, condition, or application. To this end, the terms and conditions of this CONTRACT are declared severable. SECTION 25 - HISTORICAL AND CULTURAL ARTIFACTS I _ In the event that historical or cultural artifacts are discovered at the PROJECT site during construction, the GRANT RECIPIENT shall immediately stop construction and notify the local historical preservation officer and the state historical preservation officer at the Department of Archaeology and Historic Preservation. SECTION 26 - REAPPROPRIATION The parties hereto understand and agree that any state funds not expended by June 30, 2007, will lapse on that date unless specifically reappropriated by the Washington State Legislature. If funds are so reappropriated, the state's obligation under the terms of this CONTRACT shall be contingent upon the terms of such reappropriation. 7 of 12 CONTRACT NO. S06- 76104 -864 SECTION 27 - ENTIRE AGREEMENT This CONTRACT, including referenced exhibits, represents all the terms and conditions agreed upon by the parties. No other understandings or representations, oral or otherwise, regarding the subject matter of this contract shall be deemed to exist or to bind any of the parties hereto. The attachments to this agreement are as follows: ATTACHMENT A: Scope of Work, consisting of 1 page; ATTACHMENT B: Certification of the Availability of Funds to Complete the Project, consisting of 1 page; ATTACHMENT C: Budget, consisting of 1 page; and ATTACHMENT D: Special Conditions, consisting of 1 page. 8of12 • CONTRACT NO. S06- 76104 -864 ATTACHMENT A: SCOPE OF WORK Grant Recipient: City of Yakima Summary: The City of Yakima will complete sidewalk improvements in the downtown core area and the historic district of North Front Street. Activities: (All activities will be completed no later than June 30, 2007.) • Replace existing sidewalks from curb to building face. • Add pedestrian lighting. • Install new streetscape features. Deliverables: • Digital photographs of the sites of each of the activities before, during and after construction. All deliverables must be received by the DEPARTMENT no later than July 6, 2007. Progress Reports: Progress reports will be submitted on a quarterly schedule to the DEPARTMENT along with requests for reimbursement. The following dates establish this reporting schedule: • October 15, 2005 • January 15, 2006 • April 15, 2006 • July 7, 2006 • October 15, 2006 • January 15, 2007 • April 15, 2007 • July 6, 2007 9 of 12 CONTRACT NO. S06- 76104 -864 ATTACHMENT B: CERTIFICATION OF THE AVAILABILITY OF FUNDS TO COMPLETE THE PROJECT Non- State Funds Amount Status City of Yakima Transportation Fund $870,000 Secured State Funds 2005 State Capital Budget 4,000,000 Secured Total Non -State and State Sources $4,870,000 CERTIFICATION The GRANT RECIPIENT, by its signature, certifies that PROJECT funding from sources other than those provided by this CONTRACT and identified above, has either been expended for eligible PROJECT expenses, or is committed in writing and available and will remain committed and available solely and specifically for carrying out the purposes of this PROJECT as described elsewhere in this CONTRACT, as of the date and year written below. The GRANT RECIPIENT shall maintain records sufficient to evidence that it has expended or has access to the funds needed to complete the PROJECT, and shall make such records available for the DEPARTMENT'S review upon reasonable request. GRANT RECIPIE TITLE // - z3 - 6s DATE • • 10of12 CONTRACT NO. S06- 76104 -864 ATTACHMENT C: BUDGET The budget shall consist of the following elements: CTED Grant Other Funds Total 1. Administration $0 $0 $0 2. Engineering 1,270,462 0 1,270,462 3. Construction 2,729,538 870,000 3,599,538 TOTAL $4,000,000 $870,000 $4,870,000 Special Budget Provisions: The total amount of transfers of funds between line item budget categories in this CONTRACT shall not exceed ten (10) percent of the total budget. If the cumulative amount of these transfers exceeds or is expected to exceed ten percent, the total budget shall be subject to justification and negotiation of a CONTRACT amendment by the GRANT RECIPIENT and the DEPARTMENT. A sum of ten (10) percent of funds shall be withheld until all activities and final products defined in Attachment "A" have been successfully completed by the GRANT RECIPIENT and accepted fully by the DEPARTMENT. 11 of 12 • CONTRACT NO. S06- 76104 -864 ATTACHMENT D: SPECIAL CONDITIONS PERFORMANCE REPORTING After the completion of the project, the GRANT RECIPIENT shall continue, for up to five years, to provide updates on the economic impact of the PROJECT. The updates shall be in a format acceptable to the DEPARTMENT and describe, but not be limited to, the private sector employment and investment activity resulting from the project. CHANGE OF OWNERSHIP OR USE A. The GRANT RECIPIENT understands and agrees that any and all real property or facilities acquired, constructed, or rehabilitated using state funds under this CONTRACT shall be held and used by the GRANT RECIPIENT for the express purpose or purposes stated elsewhere in this contract for a period of at least ten (10) years from the date the subject facility is occupied. B. In the event the GRANT RECIPIENT is found to be out of compliance with this section, the GRANT RECIPIENT shall repay to the state general fund the amount of the grant as stated in Section 2, hereof, plus interest calculated at the rate of interest on state of Washington general obligation bonds issued most closely to the effective date of the legislation in which the subject facility was authorized. 12 of 12 WASHINGTON STATE DEPARTMENT OF COMMUNITY, TRADE AGENCY USE ONLY & ECONOMIC DEVELEOPMENT AGENCY NUMBER LOCATION CODE CONTRACT or GRANT NO. 1030 FORM VOUCHER DISTRIBUTION S06- 76104 -864 CTED19 -1A AGENCY NAME Vendor's Certificate: I hereby certify under penalty of perjury that the items and totals Dept of Community, Trade & Economic Development listed herein are proper charges for materials, merchandise or Economic Development Division services to the State of Washington, and that all goods furnished P 0 Box 42525 and /or services rendered have been provided without discrimination Olympia, WA 98504 - 2525 because of age, sex, marital status, race, creed, color, national origin, ATTN: Kathleen Carney handicap, religion, or Vietnam era or disable status. VENDOR OR CLAIMANT (warrant Is to be payable to) City of Yakima (Sign in ink) 2301 Fruitvale Road Yakima,, Washington 98902 (Title) (Date) Time, Period Covered by this Request Budget Category of Expenditure Previous Balance Current Request New Balance • $0.00 Personnel $0.00 Personal Services $0.00 Project Related Expenses • $0.00 Travel $1,270,462.00 Other: Engineering $2,729,538.00 Other: Construction $4,000,000.00 Total • FED TAX ID # 14.1895093 PROGRAM APPROVAL DATE 91-6001293 DOC INPUT DATE CURRENT DOC. NO. REFERENCE DOC NO. VENDOR NUMBER SUFFIX • ACCOUNT NO. ASD NUMBER VENDOR MESSAGE • M SUB TRANS 0 MASTER APPN PROGRAM SUB SUB SUB • GL SUBSID INVOICE CODE D INDEX FUND INDEX INDEX OBJ OBJ PROJECT PROJ ACCT ACCOUNT AMOUNT NUMBER 506- 76104 -864 • SIGNATURE OF ACCOUNTING PREPARER FOR PAYMENT DATE . WARRANT TOTAL INVOICE DATE ACCOUNTING APPROVAL FOR PAYMENT DATE • Dept of Community, Trade & Economic Development Economic Development Division P 0 Box 48300 Olympia, WA 98504 -8300 Attn: Kathleen Carney Quarterly Progress Report Circle Reporting Period: Year: 7/1 - 9/30 10/1 - 12/31 1/1 - 3/31 4/1 - 6/30 Contract Number: S06 76104 - 864 Contract Name: Yakima, City of Completed by: Telephone Numbe 1. Review the contract workplan and briefly describe the progress made to date. Include any products due at this time. Minutes, reports, brochures or newsletters may be substituted for narrative information. (You may write below or attach a separte page.) • 2. Are any contract amendments needed? (Circle) Yes No • For CTED use only Date: Site Visit Needed: Yes No Report Processed by: Amendment: Yes No A19 ? Yes No State of Washington Washington State Community, Trade, and Economic Development P O Box 42525 Olympia, WA 98504 -2525 Matching Report Attach to A -19 Agreement Number: S06- 76104 -864 Person Completing Report: Legal Entity Name: City of Yakima Phone Number: Reporting Period: Local Cash Match • Share to be Expenses Paid by Non- Expenses Paid by Local In -kind Budget Line Items Reimbursed by CTED* CTED Federal Grants Cash Contributions Totals Personnel Personal Services Project Related Expenses Travel Other Totals *These figures should match your A -19. Please list actual expenditures for this reporting period only. CTED will compile data for cumulative totals. For further information regarding matching requirements, refer to the Grantee's Management Guide. NOTE: You do not need to match each line item dollar- for - dollar, but contribute a required match to the total amount. (See your grant for matching requirements.) Please use this form to document match. If you presently use another format, we may be able to accept that in lieu of this form. Contact Kathleen Carney at 360/725 -4055 to review your format. CONTRACTOR'S MANAGEMENT GUIDE General information 1 This guide is intended to help you manage your contract from the Department , 4 of Community, Trade and Economic Development. Reporting forms sent with your contract are designed to help you be accountable with a minimum of paperwork. These forms should be used as masters and duplicated for future requests: ✓ A customized Request for Reimbursement (A19 -1A). ✓ Matching Report. ■ Quarterly Progress Report or the WDN Quarterly Outcomes Report (for ADO c WI ' are also available upon request in Excel and Word via e -mail WI attachments or on disk. CTED sub - grantees that receive Old Growth Diversification Funds from �,, s USDA- Forest Service, can find federal regulations at http://www.fs.fed.us/r6/ p / /www.fs.fed.us /r6/ coop /programs /regs /regulations.htm on the Internet. Program staff is available to meet with you to discuss the administration of your contract. You should also be prepared for a staff visit to review your accounting systems and administrative procedures. If you have questions about any of this information, please contact Kathleen Carney at 360/725 -4055 or by e -mail at kathleenc @cted.wa.gov, or the staff member listed on the contract cover sheet. ��$TA74. 2A STATE OF WASHINGTON DEPARTMENT OF COMMUNITY, • • ,• 1 e9r .0 TRADE AND ECONOMIC DEVELOPMENT 'y How do we get paid? You are paid on a reimbursement for expenditure basis. We ask that you request payment no more than once per calendar quarter. If there are special circumstances when you need reimbursement more frequently, please contact program staff. 0 o ; ; • �/� The form to request reimbursement (A19-1A) should be completed and sent to CTED for approval and processing. Be sure to have an authorized person sign in • °� ink, or we cannot process it Authorized individuals must be listed on the Certification Statement that was returned to CTED with your signed contract. Please note that we cannot pay with faxed requests. • Make sure you fill out the form completely. Fill in the amount being requested under each expenditure category as described in your contract budget. It is also a good idea, to check the sums for accuracy. An accurate and understandable invoice will be paid more rapidly. Please make sure that you do not request reimbursement for items not included in your contract. If you have questions about a particular cost, call CTED staff before you complete the invoice. How do we document reimbursable expenditures? Recipients of public funds must establish internal controls which provide accurate ' information, traceable transactions, and accountability of funds. CTED staff are accountable for the use of public funds when they approve an invoice. Although you are not required to submit back -up documentation with each invoice, you must be able to demonstrate how you arrived at your expenses. We will be monitoring regularly and contractors will be selected at random to provide back -up documentation. Many contractors have developed computerized spreadsheets to track project costs for reimbursements and local matching contributions. Please feel free to submit any existing spreadsheets or forms along with your A19 -1A and quarterly report. A staff member can help you determine if the information you presently track is sufficient to meet the terms of your contract. Contractors are required to keep original receipts that provide clear audit records. Remember that you are subject to an audit by the Office of the State Auditor up to six years after the termination of this contract. 2. What are audit requirements? Whether your contract is funded with state or federal funds, you may be required to Q have an audit. Costs of a CTED required audit are usually an allowable expense. Your contract budget will indicate whether you have state or federal funds. i f State funded contracts currently do not have a dollar threshold amount that prompts griN ® a required audit. However, we may require you to obtain an audit for work � '� performed under this contract. If you have an annual audit by a CPA, please send a copy of it to CTED for our contract files. Federally funded contractors are required to have an audit in accordance with OMB Circular A -133 which was revised on June 27, 2003. The type of audit is based on . the total amount of federal funds spent during your fiscal year. This includes federal funds received from all sources —not just CTED funds. The revised OMB Circular A -133 describes the Schedule of Federal Expenditure and its requirements. A copy of the audit report should be sent to CTED no later than 13 months after the end of your fiscal year. If you are a local government, the State Auditor's Office will automatically conduct your audit. Others, such as tribal governments and nonprofit organizations, will need to hire a certified public accountant who will conduct an audit in accordance with revised OMB Circular A -133. What is "local match "? Local match is your contribution to the total contract budget. This match may be cash spent on the project, in -kind services or donations from other partners. Unspent revenue from dues or other sources is not considered match until it is spent. Match can only be counted for expenses and activities that are eligible according to your contract. Remember that in most cases federal funds cannot be used to match other federal funds. How do we report our local matching contribution? When submitting your request for reimbursement, please attach the Matching Report to indicate what you and your partners have contributed in matching funds during that time period. If you have a spreadsheet that indicates the same information, you can submit that rather than the Matching Report. All original receipts and documentation should be kept in your office file. Please remember that once you have designated your expenses as a match for one grant, they can no longer be used as match for any other grant. 3 What is due each quarter? Q For each calendar quarter, you must send: 4, ' L ✓ Quarterly Progress Report or WDN Quarterly Outcomes Report (for ADO r contractors). Feel free to attach any minutes of meetings, newsletters, or other i � �j ,r reports that describe results or activities not included on the Quarterly /_ ® Progress Report Form or the WDN Quarterly Outcomes Report. ✓ Request for Reimbursement Form (A19 -1A). i ✓ Matching Report (or an approved substitute). You may also be asked to provide spreadsheets or other documentation. Other programs, such as BRE, may have additional reporting requirements. Please contact your program staff listed on the contract Face Sheet for more information. What about p reports? ' Progress reports are due on a quarterly calendar cycle; i.e., September, December, March and June. Unless other arrangements have been made, quarterly reports should be in our office by the 15th of the following month. These reports have multiple purposes: one of them is to provide you with a method of tracking your progress and accomplishing your goals. You may wish to share them with committees and boards, as well as brief new staff or consultants on what has been accomplished to date. In addition to using progress reports as a monitoring tool, program staff will often circulate a report to technical assistance staff, other agencies, or legislative staff. For example, we now submit quarterly all reported job, wage, and business investment to the Governor. Any reports or documents you submit to CTED are public information and subject to disclosure. If you have confidential activities, such as specific businesses being recruited, and do not want the names of companies you have contacted to be known, profile the types of companies in general terms, rather than identifying specific companies. Please remember to enclose any reports or products that are due during this period ' ® ) according to the Workplan in Attachme A of your contract. � What if we need to change our workplan or • -,� budget? S % Occasionally amendments to your contract workplan or budget may be necessary. You should contact program staff immediately to discuss any proposed changes. If the amendment is approved, it will generally take about three weeks to process. Your approved budget can vary by 10% to 20% from one expenditure category to another without a formal contract amendment. Please refer to the Budget in Attachment B of your contract for specifics. 4 How should we acknowledge CTED assistance? h We encourage you to publicize your grant award and project accomplishments. Please be sure to credit the Department of Community, Trade and Economic Development in any press releases. See Acknowledgement of Funding in your contract for more specific requirements on press releases and publications. Are there any special requirements for subcontracting? The section of your contract titled Use of Subcontracts describes requirements when you use a subcontractor. This section stipulates specific language that must be included in any subcontract. You may only pass through funds to a consultant or another organization for those activities stipulated in your contract workplan. If a subcontractor fails to perform, you are still responsible for meeting the outcomes and adhering to the terms and conditions of your contract with CTED. You must require all subcontractors to follow the same rules and regulations described in your contract. Please note: You cannot submit a voucher to CTED for advance payments to sub - contractors. We will only reimburse you after an activity has been completed and only for eligible costs. If cash flow is a problem, please alert us and we will make arrangements to process your reimbursement outside of the normal quarterly cycle. Under the terms of your contract, written approval may be required prior to hiring a consultant or subcontractor. Review the contract section Use of Subcontracts early in your selection process. You should follow locally established policies. If you do not have any policies already established, you must use a competitive process. It is important to ensure that subcontractors are chosen based on an open and competitive process which demonstrates no conflict of interest. Federally funded contracts require you to ensure that the subcontractors have not been debarred or suspended from receiving funds. You can check for excluded parties at http: / /epls.arnet.gov / on the Internet. It's a good idea to submit a copy of any consultant's contract that you have executed so we can review it and be aware of expected reports. When submitting requests for reimbursement for consultants, please include a copy of the consultant's invoice. Information is available to assist you in selecting and evaluating a consultant. Please call to request materials or receive technical assistance on working with consultants. The state Office of Financial Management provides information on personal service contracts and procurement in its "Guide to Personal Services Contracting" at http: / /www.ofm.wa.gov /contracts /psc /psctoc.htm on the web. rev 8/04