CAP Modification

1. If there is a CAP modification needed after an EFS has been approved, what is the submittal called and to whom is it submitted?

2. Is a completed Appendix D necessary to be included in a CAP Modification?
3. What happens if I submit a CAP modification that has not been approved yet, and then I submit an E-RAP with costs related to those on the modification?

4. Will cost overruns in an EFS effect the approval of a CAP Modification?

1.       If there is a CAP modification needed after an EFS has been approved, what is the submittal called and to whom is it submitted?

         The document will be called a CAP Modification.  This document will include an explanation and justification for changes to the approved scope of work, and an EFS form (E-RAP) that will include only those costs that are to be added or subtracted from the approved EFS.  The CAP Modification EFS may include additional line items, increased or reduced quantities, or changed unit rates.  Changed unit rates are accomplished by inserting a TLC line with a negative quantity for the approved EFS unit rate and a TLC line with a positive quantity and the new unit rate.  This CAP Modification document must be submitted to OPS in hardcopy and the EFS MSExcel file must be submitted via email to efs@state.co.us.

2.       Is a completed Appendix D necessary to be included in a CAP Modification?

         No, Appendix D includes costs already reimbursed or in some cases costs not reimbursed but incurred prior to the effective date of the EFS.  Appendix D is only necessary with the original EFS.  Following approval of the EFS, the release event is then in the EFS process until it is closed.  The effective date on the approved EFS will also remain the same on any CAP Modifications submitted.

3.       What happens if I submit a CAP modification that has not been approved yet, and then I submit an E-RAP with costs related to those on the modification?

         Identify this issue when submitting the E-RAP.  The E-RAP will not be reviewed and processed until the CAP modification is approved by the technical reviewer.

4.       Will cost overruns in an EFS effect the approval of a CAP Modification?

         All out-of-scope costs (cost over-runs and costs not on the EFS), that have been paid out, are tracked by OPS and will be considered during the review of a CAP Modification.  For example:  An E-RAP is submitted with labor cost over-runs of $2,000 in PWC 3D and these costs were paid by OPS.  A CAP Modification is submitted which includes a piece of equipment costing $1,500 that was inadvertently left out of PWC 3D in the approved EFS.  Based on the justification for the cost overruns, OPS may or may not approve the addition of $1,500 to PWC 3D.