1 Colo. Code Regs. § 101-1-3-4

Current through Register Vol. 48, No. 1, January 10, 2025

Rule 1 CCR 101-1-3-4 - GRANTS

1.AUTHORITY

§24-30-202(1-4) and (5)(a), C.R.S. (State Controller Authority)

§24-106-103, C.R.S. (Centralized Contract Management System)

§24-102-206, C.R.S. (Contract Performance Outside United States or Colorado)

§24-106-106, C.R.S. (Right to Audit Records)

§24-106-107, C.R.S. (Monitoring of Vendor Performance)

2.DEFINITIONS

2.1. Grant - An agreement in which a State Agency or Institution of Higher Education as grantor transfers anything of value to a grantee to carry out a public purpose of support or stimulation authorized by law instead of acquiring property or services for the direct benefit or use of that State Agency or Institution of Higher Education. A Grant may include a distribution of funds. Grants do not include Donations, as defined in Fiscal Rule 2-1 (Propriety of Expenditures).

2.2. Grantee - The recipient of a Grant.

2.3. Modification Policies - See Fiscal Rule 3-3 (State Contracts).

2.4. Procurement Official - See Fiscal Rule 3-1 (Commitment Vouchers).

2.5. Small Dollar Grant Award - A unilaterally approved Commitment Voucher, the form of which has been approved by the State Controller, issued by a State Agency or Institution of Higher Education as a Grant, as described in this Fiscal Rule, when permitted under Fiscal Rule 3-1 (Commitment Vouchers).

3.RULE

3.1. Each State Agency or Institution of Higher Education shall use a Grant as described in this Rule when Fiscal Rule 3-1 (Commitment Vouchers) requires the use of a Grant as the Commitment Voucher.

4.CONTENT OF GRANTS:

4.1. Standard Provisions - All Grants issued by State Agencies and Institutions of Higher Education shall include all of the following:

4.1.1. Identification of the State Agency or Institution of Higher Education and the Grantee;

4.1.2. A description of the work that the Grantee will perform under the Grant and the goals to be achieved under the Grant;

4.1.3. Payment or reimbursement terms, including the maximum dollar amount;

4.1.4. The effective date and termination date of the Grant;

4.1.5. The statutory or regulatory authority authorizing the Grant;

4.1.6. The Special Provisions, as described in Fiscal Rule 3-3 (State Contracts); and

4.1.7. Any other content required under the State Controller Contract, Grant, and Purchase Order Policies.

5.APPROVED GRANT FORMS:

All Grants and modifications to Grants shall be in a form approved by the State Controller. The State Controller has approved the following Grant forms and may approve additional forms in the State Controller's sole discretion.

5.1. Model Grants - State Agencies and Institutions of Higher Education shall use the Grant forms as described in the State Controller Contract, Grant, and Purchase Order Policies.

5.2. Grant Modifications - All modifications to a Grant, other than modifications to an Intergovernmental Grant described in §5.4 of this Fiscal Rule and Small Dollar Grant Awards issued in accordance with the State Controller Contract, Grant, and Purchase Order Policies, shall be made by a formal written amendment signed by the State Agency or Institution of Higher Education and the Grantee, and approved by the State Controller or a delegate of the State Controller, unless an alternative modification tool has been approved by the State Controller. A Grant cannot be amended or extended (revived) after the Grant term has expired. All such modifications to Grants shall use the amendment form and forms of alternative modification tools set forth in the Modification Policies related to modifications of Grants.

5.3. Small Dollar Grant Award Modifications - All modifications to a Small Dollar Grant Award shall be made by a formal written change order approved by the State Controller or a delegate, unless an alternative modification tool has been approved by the State Controller. A Small Dollar Grant Award cannot be modified or extended (revived) after the award term has expired.

5.4. Intergovernmental Grant Modifications - A Grant between a State Agency or Institution of Higher Education and a political subdivision of the State, such as a city, county, special district or authority, may be modified by any method available to modify any other Grant, as described in §5.2, or by issuing an updated Intergovernmental Grant Award Letter, as described in the State Controller Contract, Grant, and Purchase Order Policies, that replaces the existing Intergovernmental Grant Award Letter.

5.5. Alternative Modification Tools and Forms - A State Agency or Institution of Higher Education may use an approved alternate modification tool to modify a Grant in lieu of a Grant amendment only in the specific circumstances identified in the Modification Policies. A State Agency or Institution of Higher Education shall obtain written approval from the Office of the State Controller prior to making a change to the form of an alternative modification tool, other than non-substantive changes necessary to match terminology to the Grant, or using an alternative modification tool in a manner not described in the Modification Policies. A Grant cannot be modified or extended after the expiration of the Grant term. Approved alternative modification tool forms are set forth in the Modification Policies.

5.5.1. Required Provision and Attachment - An approved modification tool may be included as a part of a Grant only if the Grant contains a provision referencing the specific modification tool and how it may be used in accordance with the Modification Policies, and the form of the specific modification tool is attached as an exhibit to the Grant.

5.5.2. Each modification tool shall be used only for its intended purposes, as set forth in the Modification Policies, and shall not be changed or combined with any other modification tool except as specifically allowed in the Modification Policies.

5.6. Other Grant Forms - Any other Grant form which may be approved by the State Controller from time-to-time.

6.GRANT LEGAL REVIEW

The State Controller may request the Office of the State Attorney General to review any Grant at the State Controller's sole discretion.

7.STATE CONTROLLER REVIEW AND APPROVAL

7.1. Performance of Controller Functions.

7.1.1. Delegated State Agencies - Delegated State Agencies shall be responsible for determining the level of risk for their Grants. A Delegated State Agency shall classify the risk of each of its Grants in accordance with the State Controller Contract, Grant, and Purchase Order Policies regarding review and approval for delegated State Agencies. The individual or individuals at the Delegated State Agency who have a delegation from the State Controller to sign Grants may sign Grants on behalf of the State Controller that are not required to be sent to the Office of the State Controller in accordance with their delegation agreement and the State Controller Contract, Grant, and Purchase Order Policies.

7.1.2. Non-delegated State Agencies and Institutions of Higher Education - Non-delegated State Agencies and non-delegated Institutions of Higher Education shall submit all Grants to the Office of the State Controller for review and approval in accordance with the State Controller Contract, Grant, and Purchase Order Policies regarding review and approval for non-delegated State Agencies and Institutions of Higher Education.

7.1.3. Delegated Institutions of Higher Education - Delegated Institutions of Higher Education shall determine if a Grant requires legal review prior to execution in accordance with the State Controller Contract, Grant, and Purchase Order Policies regarding review and approval for delegated Institutions of Higher Education. The individual or individuals at the Delegated Institution of Higher Education who have a delegation from the State Controller to sign Grants may sign Grants on behalf of the State Controller that are not required to be sent to the Office of the State Controller and that either do not require legal review or have been signed by a Reviewing Attorney in accordance with their delegation agreement and the State Controller Contract, Grant, and Purchase Order Policies.

7.2. Process for Review, Approval, and Signature

7.2.1. Review - All Grants shall be reviewed by a Procurement Official or delegate, or a member of the unit or section in the Agency or Institution of Higher Education responsible for Grants, as determined by Agency policy. The State Controller or delegate signing the Grant shall also review all Grants to determine if the Grant complies with Fiscal Rule 3-1 (Commitment Vouchers), §3.

7.2.2. Approval and Signature - Except for Grants issued as Small Dollar Grant Awards in accordance with the State Controller Contract, Grant, and Purchase Order Policies, the State Controller or delegate shall approve or disapprove the Grant, and, if approved, shall evidence such approval by signing the Grant. For Grants issued as a Small Dollar Grant Award in accordance with the State Controller Contract, Grant, and Purchase Order Policies, the State Controller, a Procurement Official, or a delegate of either shall approve or disapprove the Grant, and, if approved, shall evidence such approval by approving the Grant in the State Financial System or an approved State Agency or Institution of Higher Education Financial System in accordance with Fiscal Rule 1-3 (State Financial System), or by signing the Grant.

7.3. Grants Not Approved by State Controller

7.3.1. Not Binding - A Grant is not binding on or enforceable against the State unless and until it is approved in accordance with §7.2.2 of this Fiscal Rule.

7.3.2. Null and Void - Any Grant disapproved by the State Controller, a Procurement Official or a delegate or either is null and void.

7.3.3. Statutory Violation - Any obligation created under a Grant that has not been approved in accordance with §7.2.2 of this Fiscal Rule or has been disapproved by the State Controller, a Procurement Official or a delegate or either constitutes a Statutory Violation as described in Fiscal Rule 3-1 (Commitment Vouchers), §8.

1 CCR 101-1-3-4

41 CR 19, October 10, 2018, effective 11/1/2018

45 CR 11, June 10, 2022, effective 7/1/2022

46 CR 11, June 10, 2023, effective 7/1/2023

47 CR 08, April 25, 2024, effective 7/1/2024