HomeMy WebLinkAboutItem 20 - OC Social Services Agency Vocational Training and Work Experience Services Program Community Development Agency
santa-ana.org/cd
Item # 20
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
March 15, 2022
TOPIC: Orange County Social Services Agency Vocational Training and Work
Experience Services Program
AGENDA TITLE:
County of Orange Social Services Agency (SSA) Vocational Training and Work
Experience Program (Non-General Fund)
RECOMMENDED ACTION
Authorize the City Manager to execute an agreement awarding $2,516,892 to the City of
Santa Ana’s Santa Ana WORK Center from the County of Orange Social Services Agency
for vocational training and work experience activities, effective July 1, 2022 through June
30, 2025, subject to non-substantive changes approved by the City Manager and City
Attorney.
DISCUSSION
The County of Orange Social Services Agency administers a CalWORKs Welfare to Work
(WTW) Program designed to provide case management, job services, job training, and
supportive services to assist CalWORKs recipients to overcome barriers and obtain or
maintain stable employment. The goal of the program is for the participating individuals
to achieve economic self-sufficiency.
The City of Santa Ana WORK Center has collaborated with the County of Orange Social
Services Agency for over 20 years to provide employment and training services. The
previous contract awarded for fiscal years 2020-21 through 2021-22 resulted in over 200
Welfare-to-Work participants enrolled into either vocational training or work experience
programs. Participants have achieved certificates in various types of training including
medical assistants, accounting clerks and medical billing. Over 65 percent of enrollees
have obtained employment.
The City of Santa Ana WORK Center was awarded a $2,516,892 contract to continue to
provide vocational training and work experience activities to CalWORKs WTW
participants. Under this contract, staff will also provide case management, employability
skills training, worksite development and job placement services. The program will serve
100 participants per year from July 1, 2022 through June 30, 2025.
Orange County Social Services Agency Vocational Training and Work Experience
Services Program
March 15, 2022
Page 2
2
4
8
8
FISCAL IMPACT
The anticipated revenues and expenditures for this grant program will be included and
budgeted in each respective fiscal year budget. Upon City Council’s adoption of the
annual budget, funds will be available and expended as follows:
Fiscal
Year
Accounting
Unit-Account Fund Description Accounting Unit, Account
Description Amount
FY 22-23 12418737-
various Orange County Grants Social Services Agency
Vocational Training & WEX $ 838,964
FY 23-24 12418737-
various Orange County Grants Social Services Agency
Vocational Training & WEX $ 838,964
FY 24-25 12418737-
various Orange County Grants Social Services Agency
Vocational Training & WEX $ 838,964
Total $2,516,892
EXHIBIT(S)
1. OC SSA Contract FY 2022-25
Submitted By: Steven Mendoza, Assistant City Manager
Approved By: Kristine Ridge, City Manager
WDM0522 Page 1 of 45 March 1, 2022
AGREEMENT
BETWEEN
COUNTY OF ORANGE
AND
CITY OF SANTA ANA
FOR THE PROVISION OF VOCATIONAL TRAINING
AND WORK EXPERIENCE SERVICES
This AGREEMENT is by and between the COUNTY OF ORANGE, hereinafter
referred to as “COUNTY,” and CITY OF SANTA ANA, a Charter city and Municipal
Corporation, hereinafter referred to as “CONTRACTOR.” This Agreement shall be
administered by the County of Orange Social Services Agency Director or designee,
hereinafter referred to as “ADMINISTRATOR.”
W I T N E S S E T H:
WHEREAS, COUNTY desires to contract with CONTRACTOR for the provision
of Vocational Training and Work Experience Services;
WHEREAS, CONTRACTOR agrees to render such services on the terms and
conditions hereinafter set forth;
WHEREAS, such services are authorized and provided for pursuant to California
Welfare and Institutions Code Section 11200 et seq., also known as the California Wo rk
Opportunity and Responsibility to Kids (CalWORKs) Act; and
ACCORDINGLY, THE PARTIES AGREED AS FOLLOWS:
WDM0522 Page 2 of 45 March 1, 2022
TABLE OF CONTENTS
1. TERM ............................................................................................................................................. 4
2. ALTERATION OF TERMS............................................................................................................ 4
3. STATUS OF CONTRACTOR ........................................................................................................ 4
4. DESCRIPTION OF SERVICES...................................................................................................... 4
5. LICENSES AND STANDARDS .................................................................................................... 5
6. DELEGATION AND ASSIGNMENT/CHANGE OF OWNERSHIP .............................................. 6
7. SUBCONTRACTS ......................................................................................................................... 6
8. FORM OF BUSINESS ORGANIZATION/NAME CHANGE ........................................................ 8
9. NON-DISCRIMINATION .............................................................................................................. 9
10. NOTICES ..................................................................................................................................... 12
11. NOTICE OF DELAYS ................................................................................................................. 13
12. INDEMNIFICATION ................................................................................................................... 13
13. INSURANCE ............................................................................................................................... 14
14. NOTIFICATION OF LITIGATION, INCIDENTS, CLAIMS, OR SUITS .................................... 19
15. CONFLICT OF INTEREST .......................................................................................................... 19
16. ANTI-PROSELYTISM PROVISION ........................................................................................... 20
17. SUPPLANTING GOVERNMENT FUNDS .................................................................................. 20
18. EQUIPMENT ............................................................................................................................... 20
19. BREACH SANCTIONS ............................................................................................................... 22
20. PAYMENTS ................................................................................................................................. 23
21. OVERPAYMENTS ...................................................................................................................... 25
22. OUTSTANDING DEBT ............................................................................................................... 25
23. REVENUE ................................................................................................................................... 25
24. PROGRAM INCOME .................................................................................................................. 25
25. FINAL REPORT .......................................................................................................................... 26
26. INDEPENDENT AUDIT .............................................................................................................. 26
27. RECORDS, INSPECTIONS, AND AUDITS ................................................................................ 27
28. PERSONNEL DISCLOSURE ....................................................................................................... 29
29. CHILD AND DEPENDENT ADULT/ELDER ABUSE REPORTING .......................................... 32
30. NOTICE TO EMPLOYEES REGARDING THE SAFELY SURRENDERED BABY LAW......... 32
31. CONFIDENTIALITY ................................................................................................................... 32
32. SECURITY................................................................................................................................... 33
33. COPYRIGHT ACCESS ................................................................................................................ 36
34. WAIVER ...................................................................................................................................... 36
35. SERVICES DURING EMERGENCY AND/OR DISASTER ........................................................ 36
36. PUBLICITY, LITERATURE, ADVERTISEMENTS AND SOCIAL MEDIA .............................. 37
37. REPORTS .................................................................................................................................... 38
38. ENERGY EFFICIENCY STANDARDS ....................................................................................... 38
39. ENVIRONMENTAL PROTECTION STANDARDS.................................................................... 38
40. CERTIFICATION AND DISCLOSURE REGARDING PAYMENTS TO INFLUENCE CERTAIN
FEDERAL TRANSACTIONS .............................................................................................................. 39
41. POLITICAL ACTIVITY .............................................................................................................. 40
42. TERMINATION PROVISIONS ................................................................................................... 40
43. COOPERATIVE AGREEMENT .................................................................................................. 42
44. GOVERNING LAW AND VENUE .............................................................................................. 42
45. SIGNATURE IN COUNTERPARTS ............................................................................................ 43
ATTACHMENT A
1. POPULATION TO BE SERVED.................................................................................................... 1
2. DEFINITIONS ............................................................................................................................... 1
3. OUTCOME OBJECTIVES ............................................................................................................. 3
4. HOURS OF OPERATION .............................................................................................................. 3
5. GENERAL REQUIREMENTS ....................................................................................................... 4
6. SERVICE REQUIREMENTS ......................................................................................................... 6
7. PERFORMANCE MONITORING AND REVIEW ...................................................................... 10
8. QUALITY ASSURANCE/QUALITY CONTROL........................................................................ 11
WDM0522 Page 3 of 45 March 1, 2022
9. MEETINGS .................................................................................................................................. 12
10. FACILITIES ................................................................................................................................. 12
11. REPORTING REQUIREMENTS ................................................................................................. 12
12. BUDGET ...................................................................................................................................... 14
13. STAFFING REQUIREMENTS..................................................................................................... 17
14. TRAINING ................................................................................................................................... 22
ATTACHMENT B – Social Services Agency Policy and Procedure I 6: Information Technology
Security and Usage
ATTACHMENT C – Social Services Agency Policy and Procedure F 21: Privacy and Security
Incidents of Personally Identifiable Information (PII) and Confidential Information
ATTACHMENT D – Social Services Agency (SSA) Information Technology Security and
Usage Agreement
WDM0522 Page 4 of 45 March 1, 2022
1. TERM
The term of this Agreement shall commence on July 1, 2022, and terminate on June
30, 2025, unless earlier terminated pursuant to the provisions of Paragraph 42 of this
Agreement; however, CONTRACTOR shall be obligated to perform such duties as would
normally extend beyond this term, including, but not limited to, obligations with respect to
indemnification, audits, reporting and accounting.
2. ALTERATION OF TERMS
2.1 This Agreement, including any Attachment(s) attached hereto and incorporated by
reference, fully expresses all understandings of the parties and is the total
Agreement between the parties as to the subject matter of this Agreement. No
addition to, or alteration of, the terms of this Agreement, whether written or verbal,
are valid or binding unless made in the form of a written amendment to this
Agreement which is formally approved and executed by both parties.
2.2 The various headings, numbers, and organization herein are for the purpose of
convenience only and shall not limit or otherwise affect the Agreement.
3. STATUS OF CONTRACTOR
3.1 CONTRACTOR is, and shall at all times be deemed to be, an independent
contractor, and shall be wholly responsible for the manner in which it performs the
services required of it by the terms of this Agreement. Nothing herein contained
shall be construed as creating the relationship of employer and employee, or
principal and agent, between COUNTY and CONTRACTOR or any of
CONTRACTOR’s agents or employees. CONTRACTOR assumes exclusively the
responsibility for the acts of its employees or agents as they relate to services to be
provided during the course and scope of their employment.
3.2 CONTRACTOR, its agents, and employees shall not be entitled to any rights and/or
privileges of COUNTY employees, and shall not be considered in any manner to
be COUNTY employees.
4. DESCRIPTION OF SERVICES
4.1 CONTRACTOR agrees to provide those services, facilities, equipment, and
supplies, as described in Attachment A to the Agreement between County of
WDM0522 Page 5 of 45 March 1, 2022
Orange and CONTRACTOR, for the Provision of Vocational Training (VTR) and
Work Experience (WEX) Services, attached hereto and incorporated herein by
reference. CONTRACTOR shall operate continuously throughout the term of this
Agreement with the number and type of staff described and as required for
provision of services hereunder.
4.2 Subject to thirty (30) days advance written notice, ADMINISTRATOR may require
changes in staffing allocations to reflect current workload demands or service needs
as long as COUNTY’s maximum funding obligation, as set forth in this Agreement,
is not exceeded.
4.3 Upon the request of ADMINISTRATOR, CONTRACTOR shall send appropriate
staff to attend an orientation session and subsequent training sessions given by
COUNTY.
5. LICENSES AND STANDARDS
5.1 CONTRACTOR warrants that it and its personnel, described in Paragraph 28 of
this Agreement, who are subject to individual registration and/or licensing
requirements, have all necessary licenses and permits required by the laws of the
United States, State of California (hereinafter referred to as “State”), County of
Orange, and all other appropriate governmental agencies to perform the services
described in this Agreement, and agrees to maintain, and require its personnel to
maintain, these licenses and permits in effect for the duration of this Agreement.
Further, CONTRACTOR warrants that its employees shall conduct themselves in
compliance with such laws and licensure requirements, including, without
limitation, compliance with laws applicable to sexual harassment and ethical
behavior. CONTACTOR must notify ADMINISTRATOR within one (1) business
day of any change in license or permit status (e.g., becoming expired, inactive, etc.).
5.2 In the performance of this Agreement, CONTRACTOR shall comply with all
applicable provisions of the California Welfare and Institutions Code (WIC); Title
45 of the Code of Federal Regulations (CFR); implementing regulations under 2
CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards; Title 48 CFR Section 31.2; and all applicable
WDM0522 Page 6 of 45 March 1, 2022
laws and regulations of the United States, State of California, County of Orange,
and County of Orange Social Services Agency, and all administrative regulations,
rules, and policies adopted thereunder, as each and all may now exist or be hereafter
amended.
5.2.1 For federally funded Agreements in the amount of $25,000 or more,
CONTRACTOR certifies that its officers and/or principals are not
debarred or suspended from federal financial assistance programs and/or
activities.
6. DELEGATION AND ASSIGNMENT/CHANGE OF OWNERSHIP
6.1 Delegation and Assignment
6.1.1 In the performance of this Agreement, CONTRACTOR may neither
delegate its duties or obligations nor assign its rights, either in whole or in
part, without the prior written consent of COUNTY. Any attempted
delegation or assignment without prior written consent shall be void. The
transfer of assets in excess of ten percent (10%) of the total assets of
CONTRACTOR, or any change in the corporate structure, the governing
body, or the management of CONTRACTOR, which occurs as a result of
such transfer, shall be deemed an assignment of benefits under the terms
of this Agreement requiring COUNTY approval.
6.1.2 COUNTY reserves the right to immediately terminate the Agreement in
the event COUNTY determines that the assignee is not qualified or
otherwise acceptable to COUNTY for the provision of services under the
Agreement.
6.2 Change of Ownership
CONTRACTOR agrees that if there is a change or transfer in ownership of
CONTRACTOR’s business prior to completion of this Agreement, and COUNTY
agrees to an assignment of the Agreement, the new owners shall be required, under
the terms of sale or other instruments of transfer, to assume CONTRACTOR’s
duties and obligations contained in this Agreement and complete them to the
satisfaction of COUNTY.
7. SUBCONTRACTS
WDM0522 Page 7 of 45 March 1, 2022
7.1 CONTRACTOR shall not subcontract for services under this Agreement without
the prior written consent of ADMINISTRATOR. If ADMINISTRATOR consents
in writing to a subcontract, in no event shall the subcontract alter, in any way, any
legal responsibility of CONTRACTOR to COUNTY. All subcontracts must be in
writing and copies of same shall be provided to ADMINISTRATOR.
CONTRACTOR shall include in each subcontract any provision
ADMINISTRATOR may require.
7.1.1 Subcontracts of $50,000 or less
CONTRACTOR shall develop a standard form Purchase Order,
subject to prior written approval of ADMINISTRATOR, to be
utilized for the purchase of services by CONTRACTOR when
the cumulative total cost of the services to be provided by any
organization is anticipated to be fifty thousand dollars ($50,000)
or less during the term of this Agreement. The basis for costs
incurred by any such Purchase Order(s) shall be the actual cost
of providing services or the usual and customary charges
established by the organization(s) providing the services.
7.1.2 Subcontracts in excess of $50,000
CONTRACTOR shall develop and submit for approval to
ADMINISTRATOR a system for the procurement of
subcontracts with any organization in which the total cumulative
cost of services provided by any single organization is anticipated
to exceed fifty thousand dollars ($50,000) during the term of this
Agreement. CONTRACTOR’s proposed procurement system
shall take into consideration such factors as: degree of price
competition; pricing policies and techniques; experience and
quality of service; methods of evaluating subcontractor
responsibility; relationship of subcontractor to CONTRACTOR;
and planning, award, and post-award management of
subcontracts, including internal audit procedures and monitoring
of subcontractor’s performance until completion of services.
WDM0522 Page 8 of 45 March 1, 2022
Upon ADMINISTRATOR’s approval of CONTRACTOR’s
proposed procurement system, CONTRACTOR shall comply
with such procurement system in obtaining subcontracts with a
total cost in excess of fifty thousand dollars ($50,000) during the
term of this Agreement. In addition, CONTRACTOR shall
obtain ADMINISTRATOR’s written consent prior to entering
into a subcontract with any organization when the total
cumulative cost of services to be provided by that organization is
anticipated to exceed fifty thousand dollars ($50,000) during the
term of this Agreement.
CONTRACTOR and its subcontractor(s) shall establish and
maintain accurate and complete financial records related to
services provided under the terms of this Agreement. Such
records may be subject to the satisfaction of
ADMINISTRATOR, and to the examination and audit by
ADMINISTRATOR or designee, for a period of five (5) years,
or until any pending audit is completed.
8. FORM OF BUSINESS ORGANIZATION/NAME CHANGE
8.1 Form of Business Organization
Upon the request of ADMINISTRATOR, CONTRACTOR shall prepare and
submit, within thirty (30) days thereafter, an affidavit executed by persons
satisfactory to ADMINISTRATOR, containing, but not limited to, the following
information:
8.1.1 The form of CONTRACTOR’s business organization, i.e., proprietorship,
partnership, corporation, etc.
8.1.2 A detailed statement indicating the relationship of CONTRACTOR, by
way of ownership or otherwise, to any parent organization or individual.
8.1.3 A detailed statement indicating the relationship of CONTRACTOR to any
subsidiary business organization or to any individual who may be
providing services, supplies, material, or equipment to CONTRACTOR
or in any manner does business with CONTRACTOR under this
WDM0522 Page 9 of 45 March 1, 2022
Agreement.
8.2 Change in Form of Business Organization
If, during the term of this Agreement, the form of CONTRACTOR’s business
organization changes, or the ownership of CONTRACTOR changes, or when
changes occur between CONTRACTOR and other businesses that could impact
services provided through this Agreement, CONTRACTOR shall promptly notify
ADMINISTRATOR, in writing, detailing such changes. A change in the form of
business organization may, at COUNTY’s sole discretion, be treated as an
attempted assignment of rights or delegation of duties of this Agreement.
8.3 Name Change
CONTRACTOR must notify COUNTY, in writing, of any change in
CONTRACTOR’s status with respect to name changes that do not require an
assignment of the Agreement. While CONTRACTOR is required to provide name
change information without prompting from the COUNTY, CONTRACTOR must
also provide an update to COUNTY of its status upon request by COUNTY.
9. NON-DISCRIMINATION
9.1 In the performance of this Agreement, CONTRACTOR agrees that it shall not
engage nor employ any unlawful discriminatory practices in the admission of
clients, provision of services or benefits, assignment of accommodations,
treatment, evaluation, employment of personnel, or in any other respect, on the
basis of race, religious creed, color, national origin, ancestry, physical disability,
mental disability, medical condition, genetic information, marital status, sex,
gender, gender identity, gender expression, age, sexual orientation, military and
veteran status, or any other protected group, in accordance with the requirements
of all applicable federal or State laws.
9.2 CONTRACTOR shall furnish any and all information requested by
ADMINISTRATOR and shall permit ADMINISTRATOR access, during business
hours, to books, records, and accounts in order to ascertain CONTRACTOR’s
WDM0522 Page 10 of 45 March 1, 2022
compliance with Paragraph 9 et seq.
9.3 Non-Discrimination in Employment
9.3.1 CONTRACTOR shall comply with Executive Order 11246, entitled
“Equal Employment Opportunity,” as amended by Executive Order
11375, and as supplemented in Department of Labor regulations (Title 41
CFR Part 60).
9.3.2 All solicitations or advertisements for employees placed by or on behalf
of CONTRACTOR shall state that all qualified applicants will receive
consideration for employment without regard to race, religious creed,
color, national origin, ancestry, physical disability, mental disability,
medical condition, genetic information, marital status, sex, gender, gender
identity, gender expression, age, sexual orientation, military and veteran
status, or any other protected group, in accordance with the requirements
of all applicable federal or State laws. Notices describing the provisions
of the equal opportunity clause shall be posted in a conspicuous place for
employees and job applicants.
9.3.3 CONTRACTOR shall refer any and all employees desirous of filing a
formal discrimination complaint to:
California Department of Fair Employment
2218 Kausen Drive, Suite 100
Elk Grove, CA 95758
Telephone: (800) 884-1684
(800) 700-2320 (TTY)
9.4 Non-Discrimination in Service Delivery
9.4.1 CONTRACTOR shall comply with Titles VI and VII of the Civil Rights
Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1973,
as amended; the Age Discrimination Act of 1975, as amended; the Food
Stamp Act of 1977, as amended, and in particular 7 CFR section 272.6;
Title II of the Americans with Disabilities Act of 1990, as amended;
California Civil Code Section 51 et seq., as amended; California
Government Code (CGC) Sections 11135-11139.5, as amended; CGC
WDM0522 Page 11 of 45 March 1, 2022
Section 12940 (c), (h), (i), and (j); CGC Section 4450; Title 22, California
Code of Regulations (CCR) Sections 98000-98413; the Dymally-Alatorre
Bilingual Services Act (CGC Section 7290-7299.8); Section 1808 of the
Removal of Barriers to Interethnic Adoption Act of 1996; and other
applicable federal and State laws, as well as their implementing
regulations (including Title 45 CFR Parts 80, 84, and 91; Title 7 CFR Part
15; and Title 28 CFR Part 42), and any other law pertaining to Equal
Employment Opportunity, Affirmative Action, and Nondiscrimination, as
each may now exist or be hereafter amended. CONTRACTOR shall not
implement any administrative methods or procedures which would have a
discriminatory effect or which would violate the California Department of
Social Services (CDSS) Manual of Policies and Procedures (MPP)
Division 21, Chapter 21-100. If there are any violations of this Paragraph,
CDSS shall have the right to invoke fiscal sanctions or other legal
remedies in accordance with WIC Section 10605, or CGC Sections 11135-
11139.5, or any other laws, or the issue may be referred to the appropriate
federal agency for further compliance action and enforcement of
Subparagraph 9.4 et seq.
9.4.2 CONTRACTOR shall provide any and all clients desirous of filing a
formal complaint any and all information as appropriate:
Pamphlet: “Your Rights Under California Welfare Programs”
(PUB 13)
Discrimination Complaint Form
Civil Rights Contacts:
County Civil Rights Contact:
Orange County Social Services Agency
Program Integrity
Attn: Civil Rights Coordinator
P.O. Box 22001
Santa Ana, CA 92702-2001
Telephone: (714) 438-8877
WDM0522 Page 12 of 45 March 1, 2022
State Civil Rights Contact:
California Department of Social Services
Civil Rights Bureau
P.O. Box 944243, M/S 8-16-70
Sacramento, CA 94244-2430
Telephone: (916) 654-2107
Toll Free: (866) 741-6241
Federal Civil Rights Contact:
Office for Civil Rights
U.S. Department of Health and Human Services
90 7th Street, Suite 4-100
San Francisco, CA 94103
Customer Response Center: (800) 368-1019
9.4.3 The following websites provide Civil Rights information, publications
and/or forms:
http://www.cdss.ca.gov/cdssweb/entres/forms/English/PUB470.
pdf (Pub 470 - Your rights Under Adult Protective Services)
http://www.cdss.ca.gov/inforesources/Civil-Rights/Your-
Rights-Under-California-Welfare-Program (Pub 13 – Your
Rights Under California Welfare Programs)
http://ssa.ocgov.com/about/services/contact/complaints/comply
(SSA Contractor and Vendor Compliance page)
10. NOTICES
10.1 All notices, requests, claims, correspondence, reports, statements authorized or
required by this Agreement, and/or other communications shall be addressed as
follows:
COUNTY: County of Orange Social Services Agency
Contracts Services
500 N. State College Blvd, Suite 100
Orange, CA 92868
WDM0522 Page 13 of 45 March 1, 2022
CONTRACTOR: Santa Ana/Santa Ana WORK Center
801 Civic Center Dr., Suite 200
Santa Ana, CA 92701
10.2 All notices shall be deemed effective when in writing and when:
10.2.1 Deposited in the United States mail, first class postage prepaid and
addressed as shown in the Subparagraph 10.1;
10.2.2 Sent by Email;
10.2.3 Faxed and transmission confirmed; or
10.2.4 Accepted by U.S. Postal Services Express Mail, Federal Express, United
Parcel Service, or any other expedited delivery service.
10.3 The parties each may designate by written notice from time to time, in the manner
aforesaid, any change in the address to which notices must be sent.
11. NOTICE OF DELAYS
Except as otherwise provided under this Agreement, when either party has
knowledge that any actual or potential situation is delaying or threatens to delay the timely
performance of this Agreement, that party shall, within one (1) business day, give notice
thereof, including all relevant information with respect thereto, to the other party.
12. INDEMNIFICATION
12.1 CONTRACTOR agrees to indemnify, defend with counsel approved in writing by
COUNTY, and hold U.S. Department of Health and Human Services, the State,
COUNTY, and their elected and appointed officials, officers, employees, agents,
and those special districts and agencies which COUNTY’s Board of Supervisors
acts as the governing Board (“COUNTY INDEMNITEES”) harmless from any
claims, demands, or liability of any kind or nature, including, but not limited to,
personal injury or property damage arising from or related to the services, products,
or other performance provided by CONTRACTOR pursuant to this Agreement, but
only in proportion to and to the extent that such claims, demands, or liabilities result
from the negligent acts or omissions of CONTRACTOR, its officers, employees,
or agents. If judgment is entered against CONTRACTOR and COUNTY by a court
of competent jurisdiction because of the concurrent active negligence of COUNTY
WDM0522 Page 14 of 45 March 1, 2022
or COUNTY INDEMNITEES, CONTRACTOR and COUNTY agree that liability
will be apportioned as determined by the court. Neither party shall request a jury
apportionment.
12.2 COUNTY agrees to indemnify, defend with counsel approved in writing by
CONTRACTOR, and hold CONTRACTOR, its elected and appointed officials,
officers, employees, and agents (“CONTRACTOR INDEMNITEES”) harmless
from any claims, demands, or liability of any kind or nature, including but not
limited to personal injury or property damage, arising from or related to the
services, products or other performance provided by COUNTY pursuant to this
Agreement, but only in proportion to and to the extent that such claims, demands,
or liabilities result from the negligent acts or omissions of COUNTY, its officers,
employees, or agents. If judgment is entered against COUNTY and
CONTRACTOR by a court of competent jurisdiction because of the concurrent
active negligence of CONTRACTOR or CONTRACTOR INDEMNITEES,
COUNTY and CONTRACTOR agree that liability will be apportioned as
determined by the court. Neither party shall request a jury apportionment.
12.3 Neither termination of this Agreement nor completion of the acts to be performed
under this Agreement shall release any party from its obligation to indemnify as to
claims or cause of action asserted that arise from this agreement.
13. INSURANCE
13.1 Prior to the provision of services under this Agreement, CONTRACTOR agrees to
purchase all required insurance or maintain a program of self-insurance at
CONTRACTOR’s expense, including all endorsements required herein, necessary
to satisfy COUNTY that the insurance provisions of this Agreement have been
complied with. CONTRACTOR agrees to keep such insurance coverage,
Certificates of Insurance and endorsements on deposit with ADMINISTRATOR
during the entire term of this Agreement. In addition, all subcontractors performing
work on behalf of CONTRACTOR pursuant to this Agreement shall obtain
insurance subject to the same terms and conditions as set forth herein for
WDM0522 Page 15 of 45 March 1, 2022
CONTRACTOR.
13.2 CONTRACTOR shall ensure that all subcontractors performing work on behalf of
CONTRACTOR pursuant to this Agreement shall be covered under
CONTRACTOR’s insurance as an Additional Insured or maintain insurance
subject to the same terms and conditions as set forth herein for CONTRACTOR.
CONTRACTOR shall not allow subcontractors to work if subcontractors have less
than the level of coverage required by COUNTY from CONTRACTOR under this
Agreement. It is the obligation of CONTRACTOR to provide notice of the
insurance requirements to every subcontractor and to receive proof of insurance
prior to allowing any subcontractor to begin work. Such proof of insurance must
be maintained by CONTRACTOR through the entirety of this Agreement for
inspection by COUNTY representative(s) at any reasonable time.
13.3 All self-insured retentions (SIRs) shall be clearly stated on the Certificate of
Insurance. Any self-insured retention (SIR) in an amount in excess of fifty
thousand dollars ($50,000) shall specifically be approved by the COUNTY’s Risk
Manager, or designee, upon review of CONTRACTOR’s current audited financial
report. If CONTRACTOR’s SIR is approved, CONTRACTOR, in addition to, and
without limitation of, any other indemnity provision(s) in the Agreement, agrees to
all of the following:
13.3.1 In addition to the duty to indemnify and hold COUNTY harmless against
any and all liability, claim, demand or suit resulting from
CONTRACTOR’s, its agent’s, employee’s or subcontractor’s
performance of this Agreement, CONTRACTOR shall defend COUNTY
at its sole cost and expense with counsel approved by Board of Supervisors
against same; and
13.3.2 CONTRACTOR’s duty to defend, as stated above, shall be absolute and
irrespective of any duty to indemnify or hold harmless; and
13.3.3 The provisions of California Civil Code Section 2860 shall apply to any
and all actions to which the duty to defend stated above applies, and
CONTRACTOR’s SIR provisions shall be interpreted as though
CONTRACTOR was an insurer and COUNTY was the insured.
WDM0522 Page 16 of 45 March 1, 2022
13.4 If CONTRACTOR fails to maintain insurance acceptable to COUNTY for the full
term of this Agreement, COUNTY may terminate this Agreement.
13.5 Qualified Insurer
13.5.1 The policy or policies of insurance must be issued by an insurer with a
minimum rating of A- (Secure A.M. Best's Rating) and VIII (Financial
Size Category as determined by the most current edition of the Best's Key
Rating Guide/Property-Casualty/United States or ambest.com). It is
preferred, but not mandatory, that the insurer be licensed to do business in
the state of California (California Admitted Carrier).
13.6 If the insurance carrier does not have an A.M. Best Rating of A-/VIII, the
CEO/Office of Risk Management retains the right to approve or reject a carrier after
a review of the company's performance and financial ratings.
13.7 The policy or policies of insurance maintained by CONTRACTOR shall provide
the minimum limits and coverage as set forth below:
Coverage Minimum Limits
Commercial General Liability $1,000,000 per occurrence
$2,000,000 aggregate
Automobile Liability including coverage for
owned, non-owned and hired vehicles
$1,000,000 per occurrence
Workers’ Compensation Statutory
Employer’s Liability Insurance $1,000,000 per occurrence
Network Security & Privacy Liability $1,000,000 per claims made
Sexual Misconduct Liability $1,000,000 per occurrence
13.8 Required Coverage Forms
13.8.1 Commercial General Liability coverage shall be written on Insurance
Services Office (ISO) form CG 00 01 or a substitute form providing
WDM0522 Page 17 of 45 March 1, 2022
liability coverage at least as broad.
13.8.2 Business Auto Liability coverage shall be written on ISO form CA 00 01,
CA 00 05, CA 0012, CA 00 20 or a substitute form providing coverage at
least as broad.
13.9 Required Endorsements
13.9.1 Commercial General Liability policy shall contain the following
endorsements, which shall accompany the Certificate of Insurance:
An Additional Insured endorsement using ISO form CG 20 26 04
13, or a form at least as broad, naming the County of Orange, its
elected and appointed officials, officers, agents and employees,
as Additional Insureds or provide blanket coverage, which will
state AS REQUIRED BY WRITTEN CONTRACT.
A primary non-contributing endorsement using ISO form CG 20
01 04 13, or a form at least as broad, evidencing that
CONTRACTOR’s insurance is primary and any insurance or
self-insurance maintained by the County of Orange shall be
excess and non-contributing.
13.9.2 The Network Security and Privacy Liability policy shall contain the
following endorsements which shall accompany the Certificate of
Insurance.
An Additional Insured endorsement naming the County of
Orange, its elected and appointed officials, officers, agents and
employees as Additional Insureds for its vicarious liability.
A primary and non-contributing endorsement evidencing that the
CONTRACTOR’s insurance is primary and any insurance or
self-insurance maintained by the County of Orange shall be
excess and non-contributing.
13.10 All insurance policies required by this Agreement shall waive all rights of
subrogation against the County of Orange, its elected and appointed officials,
officers, agents and employees when acting within the scope of their appointment
WDM0522 Page 18 of 45 March 1, 2022
or employment.
13.11 CONTRACTOR shall notify COUNTY in writing within thirty (30) days of any
policy cancellation and ten (10) days for non-payment of premium and provide a
copy of the cancellation notice to COUNTY. Failure to provide written notice of
cancellation may constitute a material breach of the contract, upon which the
COUNTY may suspend or terminate this Agreement.
13.12 If CONTRACTOR’s Network Security & Privacy Liability policy is a “claims
made” policy, CONTRACTOR shall agree to maintain Network Security &
Privacy Liability coverage for two (2) years following completion of this
Agreement.
13.13 The Commercial General Liability policy shall contain a severability of interests
clause also known as a “separation of insureds” clause (standard in the ISO CG
0001 policy).
13.14 Insurance certificates should be mailed to COUNTY at the address indicated in
Paragraph 10 of this Agreement.
13.15 If CONTRACTOR fails to provide the insurance certificates and endorsements
within seven (7) days of notification by CEO/County Procurement Office or
ADMINISTRATOR, award may be made to the next qualified proponent.
13.16 COUNTY expressly retains the right to require CONTRACTOR to increase or
decrease insurance of any of the above insurance types throughout the term of this
Agreement. Any increase or decrease in insurance will be as deemed by County of
Orange Risk Manager as appropriate to adequately protect COUNTY.
13.17 COUNTY shall notify CONTRACTOR in writing of changes in the insurance
requirements. If CONTRACTOR does not deposit copies of acceptable certificates
of insurance and endorsements with COUNTY incorporating such changes within
thirty (30) days of receipt of such notice, this Agreement may be in breach without
further notice to CONTRACTOR, and COUNTY shall be entitled to all legal
remedies.
13.18 The procuring of such required policy or policies of insurance shall not be construed
WDM0522 Page 19 of 45 March 1, 2022
to limit CONTRACTOR’s liability hereunder nor to fulfill the indemnification
provisions and requirements of this Agreement, nor act in any way to reduce the
policy coverage and limits available from the insurer.
14. NOTIFICATION OF LITIGATION, INCIDENTS, CLAIMS, OR SUITS
CONTRACTOR shall report to COUNTY, in writing within twenty-four (24) hours
of occurrence, the following:
14.1 Any instance in which CONTRACTOR becomes a party to any litigation against
COUNTY, or a party to litigation that may reasonably affect CONTRACTOR’s
performance under this Agreement. While CONTRACTOR is required to provide
this information without prompting from COUNTY, any time there is a change to
CONTRACTOR’s litigation status, CONTRACT OR must also provide an update
to COUNTY whenever requested by COUNTY.
14.2 Any accident or incident relating to services performed under this Agreement that
involves injury or property damage which may result in the filing of a claim or
lawsuit against CONTRACTOR and/or COUNTY.
14.3 Any third party claim or lawsuit filed against CONTRACTOR arising from or
relating to services performed by CONTRACTOR under this Agreement.
14.4 Any injury to an employee of CONTRACTOR that occurs on COUNTY property.
14.5 Any loss, disappearance, destruction, misuse or theft of any kind whatsoever of
COUNTY property, monies or securities entrusted to CONTRACTOR under the
term of this Agreement.
14.6 Any Notice of Contract Breach, or equivalent, received from any entity for whom
CONTRACTOR is providing the same or similar services, under a written
agreement, regardless of service location or jurisdiction.
15. CONFLICT OF INTEREST
15.1 CONTRACTOR shall exercise reasonable care and diligence to prevent any actions
or conditions that could result in a conflict with COUNTY interests. In addition to
the CONTRACTOR, this obligation shall apply to, CONTRACTOR’s employees,
agents, and subcontractors associated with the provision of goods and services
WDM0522 Page 20 of 45 March 1, 2022
provided under this Agreement. The CONTRACTOR’s efforts shall include, but
not be limited to, establishing rules and procedures preventing its employees,
agents, and subcontractors from providing or offering gifts, entertainment,
payments, loans, or other considerations which could be deemed to influence or
appear to influence COUNTY staff or elected officers in the performance of their
duties.
15.2 CONTRACTOR shall notify COUNTY, in writing, of any potential conflicts of
interest between CONTRACTOR and COUNTY that may arise prior to, or during
the period of, Agreement performance. While CONTRACTOR will be required to
provide this information without prompting from COUNTY any time there is a
change regarding conflict of interest, CONTRACTOR must also provide an update
to COUNTY whenever requested by COUNTY.
16. ANTI-PROSELYTISM PROVISION
No funds provided directly to institutions or organizations to provide services and
administer programs under Title 42 United States Code (USC) Section 604a(a)(1)(A) shall
be expended for sectarian worship, instruction, or proselytization, except as otherwise
permitted by law.
17. SUPPLANTING GOVERNMENT FUNDS
CONTRACTOR shall not supplant any federal, State, or COUNTY funds intended
for the purposes of this Agreement with any funds made available under this Agreement.
CONTRACTOR shall not claim reimbursement from COUNTY for, or apply sums received
from COUNTY with respect to, that portion of its obligations which have been paid by
another source of revenue. CONTRACTOR agrees that it shall not use funds received
pursuant to this Agreement, either directly or indirectly, as a contribution or compensation
for purposes of obtaining federal, State, or COUNTY funds under any federal, State, or
COUNTY program without prior written approval of ADMINISTRATOR.
18. EQUIPMENT
18.1 All items purchased with funds provided under this Agreement, or which are
furnished to CONTRACTOR by COUNTY, which have a single unit cost of at least
five thousand dollars ($5,000), including sales tax, shall be considered Capital
Equipment. Title to all Capital Equipment shall, upon purchase, vest and remain
WDM0522 Page 21 of 45 March 1, 2022
in COUNTY. The use of such items of Capital Equipment is limited to the
performance of this Agreement. Upon the termination of this Agreement,
CONTRACTOR shall immediately return any items of Capital Equipment to
COUNTY or its representatives, or dispose of them in accordance with the
directions of ADMINISTRATOR.
CONTRACTOR further agrees to the following:
18.1.1 To maintain all items of Capital Equipment in good working order and
condition, normal wear and tear excepted.
18.1.2 To label all items of Capital Equipment, do periodic inventories as
required by ADMINISTRATOR, and to maintain an inventory list
showing where and how the Capital Equipment is being used, in
accordance with procedures developed by ADMINISTRATOR. All such
lists shall be submitted to ADMINISTRATOR within ten (10) days of any
request.
18.1.3 To report in writing to ADMINISTRATOR immediately after discovery,
the loss or theft of any items of Capital Equipment. For stolen items, the
local law enforcement agency must be contacted and a copy of the police
report submitted to ADMINISTRATOR.
18.1.4 To purchase a policy or policies of insurance covering loss or damage to
any and all Capital Equipment purchased under this Agreement, in the
amount of the full replacement value thereof, providing protection against
the classification of fire, extended coverage, vandalism, malicious
mischief, and special extended perils (all risks) covering the parties’
interests as they appear.
18.2 The purchase of any Capital Equipment by CONTRACTOR shall be requested in
writing, shall require the prior written approval of ADMINISTRATOR, and shall
fulfill the provisions of this Agreement which are appropriate and directly related
to CONTRACTOR’s service or activity under the terms of this Agreement.
COUNTY may refuse reimbursement for any costs resulting from Capital
Equipment purchased which are incurred by CONTRACTOR, if prior written
WDM0522 Page 22 of 45 March 1, 2022
approval has not been obtained from ADMINISTRATOR.
18.3 Computer Equipment
No computers and/or personal electronic devices, such as tablets and laptop
computers, or any component thereof, may be purchased with funds provided under
this Agreement.
18.4 CONTRACTOR shall ensure that each of its employees, volunteers, consultants,
or agents that have access to COUNTY facilities and/or data contained in
ADMINISTRATOR’s Computer Information System completes information
security and computer usage training provided by ADMINISTRATOR, signs and
adheres to the provisions in Attachment B and C and signs Attachment D to this
Agreement and signs and adheres to any subsequent agreements required by federal
or State laws or regulations. CONTRACTOR’s failure to have all CONTRACTOR
employees that have access to COUNTY’s facilities and/or data execute the
agreements and/or complete the training shall constitute a breach of this
Agreement.
19. BREACH SANCTIONS
19.1 Failure by CONTRACTOR to comply with any of the provisions, covenants, or
conditions of this Agreement shall be a material breach of this Agreement. In such
event, ADMINISTRATOR may, and in addition to immediate termination and any
other remedies available at law, in equity, or otherwise specified in this Agreement:
19.1.1 Afford CONTRACTOR a time period within which to cure the breach,
which period shall be established by ADMINISTRATOR; and/or
19.1.2 Discontinue reimbursement to CONTRACTOR for and during the period
in which CONTRACTOR is in breach, which reimbursement shall not be
entitled to later recovery; and/or
19.1.3 Offset against any monies billed by CONTRACTOR but yet unpaid by
COUNTY those monies disallowed pursuant to Subparagraph 19.1.2
above.
19.2 ADMINISTRATOR will give CONTRACTOR written notice of any action
pursuant to this Paragraph, which notice shall be deemed served on the date of
WDM0522 Page 23 of 45 March 1, 2022
mailing.
20. PAYMENTS
20.1 Maximum Contractual Funding Obligation
The maximum funding obligation of COUNTY under this Agreement shall not
exceed the amount of $2,516,892, or actual allowable costs, whichever is less. The
estimated annual amount for each twelve (12) month period is as follows:
20.1.1 $838,964 for July 1, 2022 through June 30, 2023;
20.1.2 $838,964 for July 1, 2023 through June 30, 2024; and
20.1.3 $838,964 for July 1, 2024 through June 30, 2025.
20.2 Allowable Costs
During the term of this Agreement, COUNTY shall pay CONTRACTOR monthly
in arrears, for actual allowable costs incurred and paid by CONTRACTOR pursuant
to this Agreement, as defined in Title 2 CFR Part 200, or Title 48 CFR Section 31.2
as applicable, or as approved by ADMINISTRATOR. However, COUNTY, at its
sole discretion, may pay CONTRACTOR for anticipated allowable costs that will
be incurred by CONTRACTOR for June 2023, June 2024, and June 2025, during
the month of such anticipated expenditure.
20.3 Claims
20.3.1 CONTRACTOR shall submit monthly claims to be received by
ADMINISTRATOR no later than the twenty-fifth (25th) calendar day of
the month for expenses incurred in the preceding month, except as detailed
below in Subparagraph 20.3.4. In the event the twenty-fifth (25th)
calendar day falls on a weekend or COUNTY holiday, CONTRACTOR
shall submit the claim the next business day. COUNTY holidays include
New Year’s Day, Martin Luther King Jr. Day, President Lincoln’s
Birthday, Presidents’ Day, Memorial Day, Independence Day, Labor Day,
Columbus Day, Veterans Day, Thanksgiving Day, Friday after
Thanksgiving Day, and Christmas Day.
20.3.2 All claims must be submitted on a form approved by ADMINISTRATOR.
ADMINISTRATOR may require CONTRACTOR to submit supporting
WDM0522 Page 24 of 45 March 1, 2022
source documents with the monthly claim, including, inter alia, a monthly
statement of services, general ledgers, supporting journals, time sheets,
invoices, canceled checks, receipts, and receiving records, some of which
may be required to be copied. Source documents that CONTRACTOR
must submit shall be determined by ADMINISTRATOR and/or
COUNTY's Auditor-Controller. CONTRACTOR shall retain all financial
records in accordance with Paragraph 27 of this Agreement.
20.3.3 Payments should be released by COUNTY within a reasonable time
period of approximately thirty (30) days after receipt of a correctly
completed claim form and required supporting documentation.
20.3.4 Year-End and Final Claims
CONTRACTOR shall submit a final claim for each COUNTY
fiscal year, July 1 through June 30, covered under the term of this
Agreement, as stated in Paragraph 1, by no later than August 30th
of each corresponding COUNTY fiscal year. Claims received
after August 30th of each corresponding COUNTY fiscal year
may, at ADMINISTRATOR’s sole discretion, not be reimbursed.
ADMINISTRATOR may modify the date upon which the final
claim per each COUNTY fiscal year must be received, upon
written notice to CONTRACTOR.
The basis for final settlement shall be the actual allowable costs
as defined in Title 45 CFR and 2 CFR, Part 200, or Title 48 CFR
Section 31.2 as applicable, incurred and paid by CONTRACTOR
pursuant to this Agreement; limited, however, to the maximum
funding obligation of COUNTY. In the event that any
overpayment has been made, COUNTY may offset the amount
of the overpayment against the final payment. In the event
overpayment exceeds the final payment, CONTRACTOR shall
pay COUNTY all such sums within five (5) business days of
notice from COUNTY. Nothing herein shall be construed as
limiting the remedies of COUNTY in the event an overpayment
WDM0522 Page 25 of 45 March 1, 2022
has been made.
21. OVERPAYMENTS
Any payment(s) made by COUNTY to CONTRACTOR in excess of that to which
CONTRACTOR is entitled under this Agreement shall be repaid to COUNTY, in
accordance with any applicable regulations and/or policies in effect during the term of this
Agreement, or as established by COUNTY procedure. Any overpayments made by
COUNTY which result from a payment by any other funding source shall be repaid, at the
discretion of ADMINISTRATOR, to COUNTY or the funding source. Unless earlier repaid,
CONTRACTOR shall make repayment within thirty (30) days after the date of the final audit
findings report and prior to any administrative appeal process. In the event an overpayment
owing by CONTRACTOR is collected from COUNTY by the funding source, then
CONTRACTOR shall reimburse COUNTY within thirty (30) days thereafter and prior to
any administrative appeal process. CONTRACTOR agrees to pay all costs incurred by
COUNTY necessary to enforce the provisions set forth in this Paragraph.
22. OUTSTANDING DEBT
CONTRACTOR shall have no outstanding debt with COUNTY, or shall be in the
process of resolving outstanding debt to ADMINISTRATOR’s satisfaction, prior to entering
into and during the term of this Agreement.
23. REVENUE
23.1 Whenever CONTRACTOR receives any money specifically designated for use in
programs funded through this Agreement, such monies shall be considered a cost
off-set and treated as a reduction against the amount claimed by CONTRACTOR,
except for Program Income as defined in Title 45 CFR Section 92.25, as that section
currently exists or may be hereafter amended. The procedure for designating
money as Program Income is set forth in Paragraph 24 of this Agreement.
24. PROGRAM INCOME
It is mutually understood that the State or federal agency responsible for providing
the funding for this Agreement may designate certain revenue of CONTRACTOR as
Program Income. To be designated as Program Income and, therefore, as other than a cost
off-set, CONTRACTOR shall do all of the following:
24.1 Submit a plan to ADMINISTRATOR for the use of any and all proposed P rogram
WDM0522 Page 26 of 45 March 1, 2022
Income.
24.2 Set up and maintain a separate bank account for any proposed Program Income and
account for any and all such income received.
24.3 Report to ADMINISTRATOR any and all Program Income received no later than
thirty (30) days from the date of receipt, record the amount received on internal
financial records, and indicate the amount received on the monthly claim submitted
to ADMINISTRATOR.
24.4 ADMINISTRATOR will then forward the plan for the requested use of the
proposed Program Income to the appropriate State and/or federal agencies for
approval.
24.5 CONTRACTOR shall not spend any of the proposed Program Income unless or
until such time as ADMINISTRATOR obtains authorization for the use of the
Program Income from the responsible State and/or federal agency and provides
CONTRACTOR with prior written approval for the use of the funds.
24.6 ADMINISTRATOR may issue future policy statements and/or instructions with
respect to Program Income. CONTRACTOR shall immediately comply with such
policy statements and/or instructions.
25. FINAL REPORT
CONTRACTOR shall complete and submit to ADMINISTRATOR a final report
within sixty (60) days after the termination of this Agreement, which shall summarize the
activities and services provided by CONTRACTOR during the term of this Agreement.
CONTRACTOR and ADMINISTRATOR may mutually agree to modify the date upon
which the final report must be submitted. Any agreement must be in writing.
26. INDEPENDENT AUDIT
26.1 CONTRACTOR shall employ a licensed certified public accountant who shall
prepare and file with ADMINISTRATOR an annual organization-wide audit of
related expenditures during the term of this Agreement in compliance with 31 USC
7501 – 7507, as well as its implementing regulations under 2 CFR Part 200,
Uniform Administrative Requirements, Cost Principles and Audit Requirements
WDM0522 Page 27 of 45 March 1, 2022
for Federal Awards. If CONTRACTOR is not subject to the aforementioned
regulations for any year covered during the term of this Agreement,
CONTRACTOR shall provide ADMINISTRATOR an Independent Auditor’s
Report of CONTRACTOR’s financial statements. The audit must be performed in
accordance with generally accepted government auditing standards.
CONTRACTOR shall cooperate with COUNTY, State, and/or federal agencies to
ensure that corrective action is taken within six (6) months after issuance of all audit
reports with regard to audit exceptions.
26.2 It is mutually understood that CONTRACTOR’s yearly fiscal cycle covers July 1
through June 30. CONTRACTOR shall provide ADMINISTRATOR copies of
organization-wide audits for each of the fiscal cycles corresponding with the term
of this Agreement. CONTRACTOR shall provide each audit within fourteen (14)
calendar days of CONTRACTOR’s receipt. Failure of CONTRACTOR to comply
with this Paragraph shall be sufficient cause for ADMINISTRATOR to deny
payment under this or any subsequent Agreement with CONTRACTOR until such
time as the required audit(s) are provided to ADMINISTRATOR.
ADMINISTRATOR may modify CONTRACTOR’s audit submission deadline
upon notice to CONTRACTOR.
27. RECORDS, INSPECTIONS, AND AUDITS
27.1 Financial Records
27.1.1 CONTRACTOR shall prepare and maintain accurate and complete
financial records. Financial records shall be retained by CONTRACTOR
for a minimum of five (5) years from the date of final payment under this
Agreement, or until all pending COUNTY, State, and federal audits are
completed, whichever is later.
27.1.2 CONTRACTOR shall establish and maintain reasonable accounting,
internal control, and financial reporting standards in conformity with
generally accepted accounting principles established by the American
Institute of Certified Public Accountants and to the satisfaction of
ADMINISTRATOR.
WDM0522 Page 28 of 45 March 1, 2022
27.2 Client Records
27.2.1 CONTRACTOR shall prepare and maintain accurate and complete
records of clients served and dates and type of services provided under the
terms of this Agreement in a form acceptable to ADMINISTRATOR.
27.2.2 CONTRACTOR shall keep all COUNTY data provided to
CONTRACTOR during the term(s) of this Agreement for a minimum of
five (5) years from the date of final payment under this Agreement, or until
all pending COUNTY, State, and federal audits are completed, whichever
is later. These records shall be stored in Orange County, unless
CONTRACTOR requests and COUNTY provides written approval for the
right to store the records in another county. Notwithstanding anything to
the contrary, upon termination of this Agreement, CONTRACTOR shall
relinquish control with respect to COUNTY data to COUNTY in
accordance with Subparagraph 42.2.
27.2.3 COUNTY may refuse payment for a claim if client records are determined
by COUNTY to be incomplete or inaccurate. In the event client records
are determined to be incomplete or inaccurate after payment has been
made, COUNTY may treat such payment as an overpayment within the
provisions of this Agreement.
27.3 Public Records
To the extent permissible under the law, all records, including, but not limited to,
reports, audits, notices, claims, statements, and correspondence, required by this
Agreement, may be subject to public disclosure. COUNTY will not be liable for
any such disclosure.
27.4 Inspections and Audits
27.4.1 The U.S. Department of Health and Human Services, Comptroller General
of the United States, Director of CDSS, State Auditor-General,
ADMINISTRATOR, COUNTY’s Auditor-Controller and Internal Audit
Department, or any of their authorized representatives, shall have access
to any books, documents, papers, and records, including medical records,
of CONTRACTOR which any of them may determine to be pertinent to
WDM0522 Page 29 of 45 March 1, 2022
this Agreement. Further, all the above mentioned persons have the right
at all reasonable times to inspect or otherwise evaluate the work performed
or being performed under this Agreement and the premises in which it is
being performed.
27.4.2 CONTRACTOR shall make its books and records available within the
borders of Orange County within ten (10) days of receipt of written
demand by ADMINISTRATOR.
27.4.3 In the event CONTRACTOR does not make available its books and
financial records within the borders of Orange County, CONTRACTOR
agrees to pay all necessary and reasonable expenses incurred by
COUNTY, or COUNTY’s designee, necessary to obtain
CONTRACTOR’s books and records.
27.4.4 CONTRACTOR shall pay to COUNTY the full amount of COUNTY’s
liability to the State or Federal Government or any agency thereof
resulting from any disallowances or other audit exceptions to the extent
that such liability is attributable to CONTRACTOR’s failure to perform
under this Agreement.
27.5 Evaluation Studies
CONTRACTOR shall participate, as requested by COUNTY, in research and/or
evaluative studies designed to show the effectiveness and/or efficiency of
CONTRACTOR’s services or provide information about CONTRACTOR’s
project.
28. PERSONNEL DISCLOSURE
28.1 This Paragraph 28 applies to all of CONTRACTOR’s personnel providing services
through this Agreement, paid and unpaid, including those identified in Paragraph
13 of Attachment A (hereinafter referred to as “Personnel”).
28.2 CONTRACTOR shall make available to ADMINISTRATOR a current list of all
Personnel providing services hereunder, including résumés and job applications.
Changes to the list will be immediately provided to ADMINISTRATOR, in
WDM0522 Page 30 of 45 March 1, 2022
writing, along with a copy of a résumé and/or job application. The list shall include:
28.2.1 Names and dates of birth of all Personnel by title, whose direct services
are required to provide the programs described herein;
28.2.2 A brief description of the functions of each position and the hours each
person works each week, or for part-time Personnel, each day or month,
as appropriate;
28.2.3 The professional degree, if applicable, and experience required for each
position; and
28.2.4 The language skill, if applicable, for all Personnel.
28.3 Where authorized by law, and in a manner consistent with California Government
Code Section 12952, CONTRACTOR shall require prospective Personnel to
provide detailed information regarding the conviction of a crime, by any court, for
offenses other than minor traffic offenses. Information discovered subsequent to
the hiring or promotion of any prospective Personnel shall be cause for termination
from the performance of services under this Agreement.
28.4 Where authorized by law, CONTRACTOR shall conduct, at no cost to COUNTY,
a clearance on the following public websites of the names and dates of birth for all
Personnel who will have direct, interactive contact with clients served through this
Agreement: U.S. Department of Justice National Sex Offender Website
(www.nsopw.gov) and Megan’s Law Sex Offender Registry
(www.meganslaw.ca.gov).
28.5 Where authorized by law, CONTRACTOR shall conduct, at no cost to COUNTY,
a criminal record background check on all Personnel who will have direct,
interactive contact with clients served through this Agreement. Background checks
conducted through the California Department of Justice shall include a check of the
California Central Child Abuse Index, when applicable. Candidates will satisfy
background checks consistent with this Paragraph and their performance of services
under this Agreement.
28.6 CONTRACTOR shall ensure that clearances and background checks described in
Subparagraphs 28.4 and 28.5 are completed prior to CONTRACTOR’s Personnel
WDM0522 Page 31 of 45 March 1, 2022
providing services under this Agreement.
28.7 In the event a record is revealed through the processes described in Subparagraphs
28.4 and 28.5, COUNTY will be available to consult with CONTRACTOR on
appropriateness of Personnel providing services through this Agreement.
28.8 CONTRACTOR warrants that all Personnel assigned by CONTRACTOR to
provide services under this Agreement have satisfactory past work records and/or
reference checks indicating their ability to perform the required duties and accept
the kind of responsibility anticipated under this Agreement. CONTRACTOR shall
maintain records of background investigations and reference checks undertaken
and coordinated by CONTRACTOR for Personnel assigned to provide services
under this Agreement, for a minimum of five (5) years from the date of final
payment under this Agreement, or until all pending COUNTY, State, and federal
audits are completed, whichever is later, in compliance with all applicable laws.
28.9 CONTRACTOR shall immediately notify ADMINISTRATOR concerning the
arrest and/or subsequent conviction, for offenses, other than minor traffic offenses,
of any Personnel performing services under this Agreement, when such information
becomes known to CONTRACTOR. ADMINISTRATOR may determine whether
such Personnel may continue to provide services under this Agreement and shall
provide notice of such determination to CONTRACTOR in writing.
CONTRACTOR’s failure to comply with ADMINISTRATOR’s decision shall be
deemed a material breach of this Agreement, pursuant to Paragraph 19 above.
28.10 COUNTY has the right to approve or disapprove all of CONTRACTOR’s
Personnel performing work hereunder, and any proposed changes in
CONTRACTOR’s Personnel.
28.11 COUNTY shall have the right to require CONTRACTOR to remove any Personnel
from the performance of services under this Agreement. At the request of
COUNTY, CONTRACTOR shall immediately replace said Personnel.
28.12 CONTRACTOR shall notify COUNTY immediately when Personnel is terminated
WDM0522 Page 32 of 45 March 1, 2022
for cause from working on this Agreement.
28.13 Disqualification, if any, of CONTRACTOR Personnel, pursuant to this Paragraph
28 shall not relieve CONTRACTOR of its obligation to complete all work in
accordance with the terms and conditions of this Agreement.
29. CHILD AND DEPENDENT ADULT/ELDER ABUSE REPORTING
CONTRACTOR shall establish a procedure acceptable to ADMINISTRATOR to
ensure that all employees, agents, subcontractors, and all other individuals performing
services under this Agreement report child abuse or neglect to one of the agencies specified
in Penal Code Section 11165.9 and dependent adult or elder abuse as defined in Section
15610.07 of the WIC to one of the agencies specified in WIC Section 15630.
CONTRACTOR shall require such employees, agents, subcontractors, and all other
individuals performing services under this Agreement to sign a statement acknowledging
the child abuse reporting requirements set forth in Sections 11166 and 11166.05 of the Penal
Code and the dependent adult and elder abuse reporting requirements, as set forth in Section
15630 of the WIC, and shall comply with the provisions of these code sections, as they now
exist or as they may hereafter be amended.
30. NOTICE TO EMPLOYEES REGARDING THE SAFELY SURRENDERED BABY
LAW
CONTRACTOR shall notify and provide to its employees, a fact sheet regarding the
Safely Surrendered Baby Law, its implementation in Orange County, and where and how to
safely surrender a baby. The fact sheet is available on the Internet at www.babysafe.ca.gov
for printing purposes. The information shall be posted in all reception areas where clients
are served.
31. CONFIDENTIALITY
31.1 CONTRACTOR agrees to maintain the confidentiality of its records pursuant to
WIC Sections 827 and 10850-10853, the CDSS MPP, Division 19-000, and all
other provisions of law, and regulations promulgated thereunder relating to privacy
and confidentiality, as each may now exist or be hereafter amended.
31.2 All records and information concerning any and all persons referred to
CONTRACTOR by COUNTY or COUNTY’s designee shall be considered and
WDM0522 Page 33 of 45 March 1, 2022
kept confidential by CONTRACTOR and CONTRACTOR’s employees, agents,
subcontractors, and all other individuals performing services under this Agreement.
CONTRACTOR shall require all of its employees, agents, subcontractors, and all
other individuals performing services under this Agreement to sign an agreement
with CONTRACTOR before commencing the provision of any such services,
agreeing to maintain confidentiality pursuant to State and federal law and the terms
of this Agreement.
31.3 CONTRACTOR shall inform all of its employees, agents, subcontractors, and all
other individuals performing services under this Agreement of this provision and
that any person violating the provisions of said California state law may be guilty
of a crime.
31.4 CONTRACTOR agrees that any and all subcontracts entered into shall be subject
to the confidentiality requirements of this Agreement.
32. SECURITY
32.1 Security Requirements
32.1.1 CONTRACTOR agrees to maintain the confidentiality of all COUNTY
and COUNTY-related records and information pursuant to all statutory
laws relating to privacy and confidentiality that currently exists or exists
at any time during the term of this Agreement. CONTRACTOR
represents and warrants that it has implemented and will maintain during
the term of this Agreement administrative, physical, and technical
safeguards to reasonably protect private and confidential client
information, to protect against anticipated threats to the security or
integrity of COUNTY data, and to protect against unauthorized physical
or electronic access to or use of COUNTY data. Such safeguards and
controls shall include at a minimum:
Storage of confidential paper files that ensures records are
secured, handled, transported, and destroyed in a manner that
prevents unauthorized access.
Control of access to physical and electronic records to ensure
WDM0522 Page 34 of 45 March 1, 2022
COUNTY data is accessed only by individuals with a need to
know for the delivery of contract services.
Control to prevent unauthorized access and to prevent
CONTRACTOR employees from providing COUNTY data to
unauthorized individuals.
Firewall protection.
Use of encryption methods of electronic COUNTY data while in
transit from CONTRACTOR networks to external networks,
when applicable.
Measures to securely store all COUNTY data, including, but not
be limited to, encryption at rest and multiple levels of
authentication and measures to ensure COUNTY data shall not
be altered or corrupted without COUNTY's prior written consent.
CONTRACTOR further represents and warrants that it has
implemented and will maintain during the term of this Agreement
administrative, technical, and physical safeguards and controls
consistent with State and federal security requirements.
32.2 Security Breach Notification
32.2.1 CONTRACTOR shall have policies and procedures in place for the
effective management of Security Breaches, as defined below. In the
event of any actual, attempted, suspected, threatened, or reasonably
foreseeable circumstance CONTRACTOR experiences or learns of that
either compromises or could reasonably be expected to comprise
COUNTY data through unauthorized use, disclosure, or acquisition of
COUNTY data (“Security Breach”), CONTRACTOR shall immediately
notify COUNTY of its discovery. After such notification,
CONTRACTOR shall, at its own expense, immediately:
Investigate to determine the nature and extent of the Security
Breach.
Contain the incident by taking necessary action, including, but
not limited to, attempting to recover records, revoking access,
WDM0522 Page 35 of 45 March 1, 2022
and/or correcting weaknesses in security.
Report to COUNTY the nature of the Security Breach, the
COUNTY data used or disclosed, the person who made the
unauthorized use or received the unauthorized disclosure, what
CONTRACTOR has done or will do to mitigate any harmful
effect of the unauthorized use or disclosure, and the corrective
action CONTRACTOR has taken or will take to prevent future
similar unauthorized use or disclosure.
32.2.2 The COUNTY, at its sole discretion and on a case-by-case basis, will
determine what actions are necessary in response to the Security Breach
and who will perform these actions. Actions may include, but are not
limited to: notifications; investigation and remediation costs, including
notification of all whose personal information was disclosed; outside
investigation; forensics; counsel; crisis management; and credit
monitoring. In the event COUNTY determines CONTRACTOR will
conduct additional action(s), CONTRACTOR shall bear the costs. In the
event COUNTY conducts additional actions(s) arising out of or in
connection with a Security Breach, CONTRACTOR shall reimburse
COUNTY for costs associated to legally required actions.
32.3 Privacy and Confidentiality
32.3.1 CONTRACTOR may use or disclose Personally Identifiable Information
(PII) only as permitted in this Agreement and only to assist in the
administration of services in accordance with Title 45 CFR Section
205.50et seq. and WIC Section 10850 or as authorized or required by law.
Disclosures required by law or that are made with the explicit written
authorization of the client are allowable. Any other use or disclosure of
PII requires the express approval in writing of CDSS. CONTRACTOR
shall not duplicate, disseminate or disclose PII except as allowed in this
Agreement.
32.3.2 Access, disclosure or use of PII in a manner or for a purpose not authorized
by this Agreement may be subject to civil and criminal sanctions contained
WDM0522 Page 36 of 45 March 1, 2022
in applicable federal and State statutes.
32.3.3 CONTRACTOR shall advise personnel who have access to PII, of the
confidentiality of the information, the safeguards required to protect the
information, and the civil and criminal sanctions for non-compliance
contained in applicable federal and State laws.
33. COPYRIGHT ACCESS
The U.S. Department of Health and Human Services, the CDSS, and COUNTY will
have a royalty-free, nonexclusive, and irrevocable license to publish, translate, or use, now
and hereafter, all material developed under this Agreement, including those covered by
copyright.
34. WAIVER
No delay or omission by either party hereto to exercise any right or power accruing
upon any noncompliance or default by the other party with respect to any of the terms of this
Agreement shall impair any such right or power or be construed to be a waiver thereof. A
waiver by either of the parties hereto of any of the covenants, conditions, or agreements to
be performed by the other shall not be construed to be a waiver of any succeeding breach
thereof, or of any other covenant, condition, or agreement herein contained.
35. SERVICES DURING EMERGENCY AND/OR DISASTER
35.1 CONTRACTOR acknowledges that service usage may surge during or after an
emergency or disaster. For purposes of this Agreement, an emergency is defined
as a sudden, urgent, usually unexpected occurrence or event requiring immediate
action to protect the health and well-being of COUNTY residents. A disaster is
defined as an occurrence that has resulted in property damage, deaths, and/or
injuries to a community. Emergencies and/or disasters as described above may
require resources or support beyond the local government’s capability and will
typically involve a proclamation of a local emergency by the local governing body
(e.g., city council, county board of supervisors, or state) and may be declared at the
federal level by the President of the United States.
35.2 CONTRACTOR agrees to collaborate with COUNTY, on an urgent basis, to adjust
service delivery in a manner that assists COUNTY in meeting the needs of clients
COUNTY identifies as being impacted by emergencies and/or disasters. Time
WDM0522 Page 37 of 45 March 1, 2022
limited adjustments may include, but are not limited to: providing services at
different location(s), assigning staff to work days or hours beyond typical work
schedules or that may exceed contracted Full Time Equivalents (FTEs), reassigning
staff to an assignment in which their experience or skill is needed, and prioritizing
services for staff as requested by COUNTY.
35.3 CONTRACTOR shall service COUNTY during emergencies and/or declared
disaster under the same terms and conditions that apply during non-
emergency/disaster conditions. With the exception of overtime hours which
require pre-authorization, reimbursement of ordinary expenditures provided during
or after an emergency/disaster shall be calculated by the same rates that apply
during non-emergency/disaster conditions. Additionally, any costs to continue
services to clients during an emergency and/or disaster shall be incurred by the
Contractor. These costs may include, but are not limited to: Personal Protective
Equipment or other supplies necessary to conduct business during an emergency
and/or disaster.
36. PUBLICITY, LITERATURE, ADVERTISEMENTS AND SOCIAL MEDIA
36.1 COUNTY owns all rights to the name, logos, and symbols of COUNTY. The use
and/or reproduction of COUNTY's name, logos, or symbols for any purpose,
including commercial advertisement, promotional purposes, announcements,
displays, or press releases, without COUNTY's prior written consent is expressly
prohibited.
36.2 CONTRACTOR may develop and publish information related to this Agreement
where all of the following conditions are satisfied:
36.2.1 ADMINISTRATOR provides its written approval of the content and
publication of the information at least thirty (30) days prior to
CONTRACTOR publishing the information, unless a different timeframe
for approval is agreed upon by the ADMINISTRATOR;
36.2.2 Unless directed otherwise by ADMINISTRATOR, the information
includes a statement that the program, wholly or in part, is funded through
County, State, and Federal Government funds;
WDM0522 Page 38 of 45 March 1, 2022
36.2.3 The information does not give the appearance that the COUNTY, its
officers, employees, or agencies endorse:
Any commercial product or service; and
Any product or service provided by CONTRACTOR, unless
approved in writing by ADMINISTRATOR; and
36.2.4 If CONTRACTOR uses social media (such as Facebook, Twitter,
YouTube, or other publicly available social media sites) to publish
information related to this Agreement, CONTRACTOR shall develop
social media policies and procedures and have them available to the
ADMINISTRATOR. CONTRACTOR shall comply with COUNTY
Social Media Use Policy and Procedures as they pertain to any social
media developed in support of the services described within this
Agreement. The policy is available on the Internet at
http://www.ocgov.com/gov/ceo/cio/govpolicies.
37. REPORTS
37.1 CONTRACTOR shall provide information deemed necessary by
ADMINISTRATOR to complete any State-required reports related to the services
provided under this Agreement.
37.2 CONTRACTOR shall maintain records and submit reports containing such data
and information regarding the performance of CONTRACTOR’s services, costs,
or other data relating to this Agreement, as may be requested by
ADMINISTRATOR, upon a form approved by ADMINISTRATOR.
ADMINISTRATOR may modify the provisions of this Paragraph upon written
notice to CONTRACTOR.
38. ENERGY EFFICIENCY STANDARDS
As applicable, CONTRACTOR shall comply with the mandatory standards and
policies relating to energy efficiency in the State Energy Conservation Plan (Title 24, CCR).
39. ENVIRONMENTAL PROTECTION STANDARDS
CONTRACTOR shall be in compliance with the Clean Air Act (Title 42 USC
Section 7401 et seq.), the Clean Water Act (Title 33 USC Section 1251 et seq.), Executive
Order 11738 and Environmental Protection Agency, hereinafter referred to as “EPA,”
WDM0522 Page 39 of 45 March 1, 2022
regulations (Title 40 CFR), as any may now exist or be hereafter amended. Under these laws
and regulations, CONTRACTOR assures that:
39.1 No facility to be utilized in the performance of the proposed grant has been listed
on the EPA List of Violating Facilities;
39.2 It will notify COUNTY prior to award of the receipt of any communication from
the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be
utilized for the grant is under consideration to be listed on the EPA List of Violating
Facilities; and
39.3 It will notify COUNTY and EPA about any known violation of the above laws and
regulations.
40. CERTIFICATION AND DISCLOSURE REGARDING PAYMENTS TO INFLUENCE
CERTAIN FEDERAL TRANSACTIONS
40.1 CONTRACTOR shall be in compliance with Section 319 of Public Law 101-121
pursuant to Section 1352, Title 31, U.S. Code. Under these laws and regulations,
it is mutually understood that any contract which utilizes federal monies in excess
of $100,000 must contain and CONTRACTOR must certify compliance utilizing a
form provided by ADMINISTRATOR that includes the text below in
Subparagraphs 40.1.1 - 40.1.1.4.
40.1.1 The undersigned certifies to the best of his or her knowledge and belief
that:
No federal appropriated funds have been paid or will be paid, by
or on behalf of the undersigned, to any person for influencing or
attempting to influence an officer or employee of an agency, a
Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with the
awarding of any federal contract, the making of any federal grant,
the making of any federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any federal contract, grant, loan
or cooperative agreement.
WDM0522 Page 40 of 45 March 1, 2022
If any funds other than federal appropriated funds have been paid
or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of
a Member of Congress in connection with this Agreement, grant,
loan, or cooperative agreement, the undersigned shall complete
and submit Standard Form-LLL “Disclosure Form to Report
Lobbying,” in accordance with its instructions.
The undersigned shall require that the language of this
certification be included in the award documents for all
subawards at all tiers (including subcontracts, subgrants, and
contracts under grants loans and cooperative agreements) and
that subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by Section 1352, Title
31 U.S. Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
41. POLITICAL ACTIVITY
CONTRACTOR agrees that the funds provided herein shall not be used to promote,
directly or indirectly, any political party, political candidate, or political activity, except as
permitted by law.
42. TERMINATION PROVISIONS
42.1 ADMINISTRATOR may terminate this Agreement without penalty, immediately
with cause or after thirty (30) days written notice without cause, unless otherwise
specified. Notice shall be deemed served on the date of mailing. Cause shall
include, but not be limited, to any breach of contract, any partial misrepresentation
whether negligent or willful, fraud on the part of CONTRACTOR, discontinuance
of the services for reasons within CONTRACTOR’s reasonable control, and
WDM0522 Page 41 of 45 March 1, 2022
repeated or continued violations of COUNTY ordinances unrelated to performance
under this Agreement that, in the reasonable opinion of COUNTY, indicate a
willful or reckless disregard for COUNTY laws and regulations. Exercise by
ADMINISTRATOR of the right to terminate this Agreement shall relieve
COUNTY of all further obligations under this Agreement.
42.2 For ninety (90) calendar days prior to the expiration date of this Agreement, or upon
notice of termination of this Agreement (“Transition Period”), CONTRACTOR
agrees to cooperate with ADMINISTRATOR in the orderly transfer of service
responsibilities, case records, and pertinent documents. The Transition Period may
be modified as agreed upon in writing by the parties. During the Transition Period,
service and data access shall continue to be made available to COUNTY without
alteration. CONTRACTOR also shall assist COUNTY in extracting and/or
transitioning all data in the format determined by COUNTY.
42.3 In the event of termination of this Agreement, cessation of business by
CONTRACTOR, or any other event preventing CONTRACTOR from continuing
to provide services, CONTRACTOR shall not withhold the COUNTY data or
refuse for any reason, to promptly provide to COUNTY the COUNTY data if
requested to do so on such media as reasonably requested by COUNTY, even if
COUNTY is then or is alleged to be in breach of this Agreement.
42.4 The obligations of COUNTY under this Agreement are contingent upon the
availability of federal and/or State funds, as applicable, for the reimbursement of
CONTRACTOR’s expenditures, and inclusion of sufficient funds for the services
hereunder in the budget approved by the Orange County Board of Supervisors each
fiscal year this Agreement remains in effect or operation. In the event that such
funding is terminated or reduced, ADMINISTRATOR may immediately terminate
this Agreement, reduce COUNTY’s maximum funding obligation, or modify this
Agreement, without penalty. The decision of ADMINISTRATOR shall be binding
on CONTRACTOR. ADMINISTRATOR will provide CONTRACTOR with
written notification of such determination. CONTRACTOR shall immediately
WDM0522 Page 42 of 45 March 1, 2022
comply with ADMINISTRATOR’s decision.
42.5 If any term, covenant, condition, or provision of this Agreement or the application
thereof is held invalid, void, or unenforceable, the remainder of the provisions in
this Agreement shall remain in full force and effect and shall in no way be affected,
impaired, or invalidated thereby.
43. COOPERATIVE AGREEMENT
43.1 The provisions and pricing of this Agreement will be extended to other California
local or state governmental entities. Governmental entities wishing to use this
Agreement will be responsible for issuing their own purchase documents/price
agreements, providing for their own acceptance, and making any subsequent
payments. CONTRACTOR shall be required to include in any Contract entered
into with another agency or entity that is entered into as an extension of this
Agreement a contract clause that will hold harmless the County of Orange from all
claims, demands, actions or causes of actions of every kind resulting directly or
indirectly, arising out of, or in any way connected with the use of this
Agreement. Failure to do so will be considered a material breach of this
Agreement and grounds for immediate contract termination. The cooperative
entities are responsible for obtaining all certificates of insurance and bonds
required. CONTRACTOR is responsible for providing each cooperative entity a
copy of the Agreement upon request by the cooperative entity. The County of
Orange makes no guarantee of usage by other users of this Agreement.
43.2 The CONTRACTOR shall be required to maintain a list of the cooperative entities
using this Agreement. The list shall report dollar volumes spent annually and shall
be provided on an annual basis to the COUNTY, at the COUNTY’s request.
44. GOVERNING LAW AND VENUE
This Agreement has been negotiated and executed in the State of California and shall
be governed by and construed under the laws of the State of California, without reference to
conflict of law provisions. In the event of any legal action to enforce or interpret this
Agreement, the sole and exclusive venue shall be a court of competent jurisdiction located
in Orange County, California, and the parties hereto agree to and do hereby submit to the
WDM0522 Page 43 of 45 March 1, 2022
jurisdiction of such court, notwithstanding Code of Civil Procedure Section 394.
Furthermore, the parties specifically agree to waive any and all rights to request that an
action be transferred for trial to another county.
45. SIGNATURE IN COUNTERPARTS
45.1 The parties agree that separate copies of this Agreement may be signed by each of
the parties, and this Agreement will have the same force and effect as if the original
had been signed by all the parties.
45.2 CONTRACTOR represents and warrants that the person executing this Agreement
on behalf of and for CONTRACTOR is an authorized agent who has actual
authority to bind CONTRACTOR to each and every term, condition and obligation
of this Agreement and that all requirements of CONTRACTOR have been fulfilled
to provide such actual authority.
WDM0522 Page 44 of 45 March 1, 2022
IN WITNESS WHEREOF, the Parties hereto have executed this Agreement the date set forth
opposite their signatures. If Contractor is a corporation, Contractor shall provide two signatures as
follows: 1) the first signature must be either the Chairman of the Board, the President, or any Vice
President; 2) the second signature must be that of the Secretary, an Assistant Secretary, the Chief
Financial Officer, or any Assistant Treasurer. In the alternative, a single corporate signature is
acceptable when accompanied by a corporate resolution or by-laws demonstrating the legal
authority of the signature to bind the company.
Contractor: City of Santa Ana
__________________________________ __________________________________
Kristine Ridge City Manager
__________________________________ __________________________________
Signature Date
__________________________________ __________________________________
Daisy Gomez Clerk of the Council
__________________________________ __________________________________
Signature Date
APPROVED AS TO FORM
CITY ATTORNEY
CITY OF SANTA ANA
__________________________________ __________________________________
Sonia R. Carvalho City Attorney
__________________________________ __________________________________
Signature Date
County of Orange, a political subdivision of the State of California
Purchasing Agent/Designee Authorized Signature:
__________________________________ __________________________________
Desiree Mor Administrative Manager I
__________________________________ __________________________________
Signature Date
for
March 1, 2022
WDM0522 Page 45 of 45 March 1, 2022
APPROVED AS TO FORM
COUNTY COUNSEL
COUNTY OF ORANGE, CALIFORNIA
__________________________________ __________________________________
Carolyn S. Frost Senior Deputy County Counsel
__________________________________ __________________________________
Signature Date
WDM0522 Page 1 of 23 March 1, 2022
ATTACHMENT A
SCOPE OF WORK
FOR THE PROVISION OF VOCATIONAL TRAINING
AND WORK EXPERIENCE SERVICES
1. POPULATION TO BE SERVED
1.1 CONTRACTOR shall provide Vocational Training (VTR) and Work Experience
(WEX) Services to Participants referred by ADMINISTRATOR. The population
to be served, as defined in this Paragraph, shall hereinafter be referred to as
“PARTICIPANT/PARTICIPANTS.” PARTICIPANTS include individuals
determined by ADMINISTRATOR as eligible to receive VTR and/or WEX
Services and may include, but is not limited to, individuals who are required to
participate in, or who have voluntarily enrolled in the CalWORKs Welfare-to-
Work (CW/WTW) program. CONTRACTOR shall provide VTR and WEX
Services to assist PARTICIPANTS in achieving self-sufficiency by enhancing the
employability of PARTICIPANTS through engagement in employment
preparatory activities and employment.
1.2 PARTICIPANTS referred to VTR and/or WEX Services will meet criteria of
prevailing State statutes and program regulations, as required by
ADMINISTRATOR.
2. DEFINITIONS
2.1 America’s Job Center of California (AJCC): AJCC is a one-stop shop for workforce
services, providing a comprehensive range of no-cost employment and training
services for employers and job seekers. The AJCC is a network of local, state,
private, and public organizations offering a variety of services which brings
employers with job openings and qualified job seekers together at no cost.
2.2 CalWORKs: California Work Opportunity and Responsibility to Kids Act of 1997
as described in California WIC Section 11200 et seq. CalWORKs is a program
administered by County Welfare Departments and provides cash assistance, case
management, job services, job training, and supportive services to assist
WDM0522 Page 2 of 23 March 1, 2022
CalWORKs recipients in overcoming barriers to obtaining and/or maintaining
stable employment, with the goal of achieving economic self-sufficiency.
2.3 CalJOBS: California’s online resource to help job seekers and employers navigate
the State’s workforce services.
2.4 Employment Readiness Assessment (ERA): An evaluation of employability and
the need for support services considering work history, employment skills,
knowledge and abilities, education, educational competency level, local labor
market conditions, physical limitations, or mental conditions.
2.5 Vocational Training (VTR): VTR is a temporary, transitional, and short -term
training activity, not to exceed twelve (12) months, to prepare PARTICIPANTS for
employment in a specific trade, occupation, or vocation. VTR may be extended
upon prior approval from ADMINISTRATOR.
2.6 Work Experience (WEX): WEX is a paid structured training experience in which
PARTICIPANTS’ employers are partially or fully reimbursed fo r wages and/or
training costs through a government subsidy. PARTICIPANTS are placed in
public, non-profit, or private sectors for an initial period of six (6) months, with the
option of two (2) three-month extensions, for up to a maximum of twelve (12)
months. At the end of the training period, it is generally expected that the
employers will hire PARTICIPANTS as regular employees.
2.7 Workforce Development Board (WDB): WDBs are part of the Public Workforce
System, a network of federal, state, and local offices that support economic
expansion and develop the talent of the nation’s workforce. The local WDBs’ role
is to develop regional strategic plans and set funding priorities for their area.
2.8 Workforce Investment Act (WIA)/Workforce Innovation and Opportunity Act
(WIOA): The federal WIA of 1998 provides the framework for a national
workforce preparation and employment system. Title I of WIA authorizes and
funds several employment and training programs in California. Workforce
investment activities authorized by WIA/WIOA are provided at the local level via
local Workforce Development Boards (WDB), to PARTICIPANTS in need of
WDM0522 Page 3 of 23 March 1, 2022
those services. The WIA/WIOA's primary purpose is to provide workforce
investment activities that increase the employment, retention, earnings, and
increase occupational skill attainment by PARTICIPANTS.
3. OUTCOME OBJECTIVES
3.1 CONTRACTOR shall meet the following annual performance goals for VTR:
3.1.1 Seventy-five percent (75%) of enrolled PARTICIPANTS shall be placed
in a training program within fourteen (14) calendar days of receipt of the
referral.
3.1.2 Sixty percent (60%) of PARTICIPANTS will obtain unsubsidized
employment within thirty (30) days of completing VTR program.
CONTRACTOR and ADMINISTRATOR may mutually agree to extend
to sixty (60) days when certification is delayed or if there is documentation
of no fault of CONTRACTOR or pending employment due to hiring
process.
3.2 CONTRACTOR shall meet the following annual performance goals for WEX:
3.2.1 Seventy-five percent (75%) of enrolled PARTICIPANTS shall be placed
in worksites within fourteen (14) calendar days of receipt of the referral.
3.2.2 Seventy percent (70%) of exiting PARTICIPANTS will obtain
unsubsidized employment within thirty (30) days of completing WEX
placement.
4. HOURS OF OPERATION
4.1 CONTRACTOR shall provide services during hours that are responsive to the
needs of the population(s) to be served as determined by ADMINISTRATOR. At
a minimum, CONTRACTOR shall provide services Monday through Friday, from
8:00 a.m. to 5:00 p.m., except COUNTY holidays as established by the Orange
County Board of Supervisors. However, CONTRACTOR is encouraged to provide
the contracted services on holidays, whenever possible.
4.2 CONTRACTOR’s holiday schedule shall not exceed COUNTY’s holiday schedule
which is as follows: New Year’s Day, Martin Luther King Jr. Day, President
Lincoln’s Birthday, Presidents’ Day, Memorial Day, Independence Day, Labor
WDM0522 Page 4 of 23 March 1, 2022
Day, Columbus Day, Veterans Day, Thanksgiving Day, Friday after Thanksgiving
Day and Christmas Day. CONTRACTOR shall obtain prior written approval from
ADMINISTRATOR for any closure outside of COUNTY’s holiday schedule and
the hours listed in Subparagraph 4.1 of this Attachment A. Any unauthorized
closure shall be deemed a material breach of this Agreement, pursuant to Paragraph
19, and shall not be reimbursed.
5. GENERAL REQUIREMENTS
CONTRACTOR shall:
5.1 Assign staff who will work closely with each PARTICIPANT and utilize the
Employment Readiness Assessment (ERA) provided by ADMINISTRATOR to
understand the PARTICIPANT’S needs, assess career goals, arrange an appropriate
VTR assignment or WEX placement based on the employment goal indicated on
the referral.
5.2 Ensure that all services funded under this Agreement are coordinated with other
available services in the community (such as WIOA) and do not constitute
unnecessary duplication of services.
5.3 Provide VTR and WEX services to PARTICIPANTS to meet the required
participation hours indicated on the referral. The hourly participation requirements
are subject to change, according to State and federal mandates.
5.4 Assess all referred PARTICIPANTS to initiate enrollment or return invalid
referrals to ADMINISTRATOR within two (2) business days.
5.5 CONTRACTOR shall provide an orientation within three (3) business days to
PARTICIPANTS which includes providing information on program goals and
objectives; overview of VTR or WEX program; PARTICIPANT’S rights and
responsibilities; and Termination Policy and Grievance Policy.
5.6 Monitor and communicate with ADMINISTRATOR regarding all PARTICIPANT
attendance and participation.
5.7 Utilize workshops, one-on-one training, intensive case management, and coaching
WDM0522 Page 5 of 23 March 1, 2022
to assist the PARTICIPANT in finding, obtaining, and retaining employment.
5.8 Obtain prior approval from ADMINISTRATOR for changes related to the
administration of VTR and WEX activities provided under this Agreement.
5.9 Notify ADMINISTRATOR within two (2) business days of any updates related to
the PARTICIPANT’S status within the VTR and/or WEX program including, but
not limited to: completion of program, securing of employment, and inability to
contact the PARTICIPANT after a minimum of three (3) documented attempts
within five (5) business days. Attempted contacts will include, but not limited to,
phone/cell calls, email, and text messages.
5.10 Collaborate with ADMINISTRATOR to help PARTICIPANTS overcome socio-
economic, societal, and cultural barriers to employment including, but not limited
to, food, transportation, housing, legal assistance, clothing need, and resistance to
pursuing employment in occupations that may be perceived as nontraditional.
5.11 Monitor the attendance and progress of all PARTICIPANTS by meeting with the
PARTICIPANT every two (2) weeks, or more often if needed, and work directly
with the placement supervisor and the training facility to discuss action steps
needed to successfully complete the program.
5.12 Identify and resolve PARTICIPANT barriers toward seeking, obtaining, and
keeping employment, including, but not limited to, fear of going to work, anger and
resentment from being required to participate in VTR or WEX, low self -
esteem/motivation, problems with accessing and navigating public transportation,
and child care concerns.
5.13 Refer PARTICIPANTS to ADMINISTRATOR for assistance with employment
support services, such as food, transportation, housing, mental health and substance
use issues, legal assistance, and clothing.
5.14 Develop and provide placements in public or private, non-profit or for-profit
organizations, in areas identified as growth oriented, current or emerging
occupations, meeting an unmet community need, and in high demand for VTR and
WDM0522 Page 6 of 23 March 1, 2022
WEX services leading to employment that is anticipated to be permanent.
5.15 Attend meetings as requested by ADMINISTRATOR and other contracted service
providers, including Family Support Team meetings.
5.16 Cooperate with ADMINISTRATOR with respect to sanctions applied by
ADMINISTRATOR to PARTICIPANT in the event of PARTICIPANT non -
cooperation. This may include testifying at PARTICIPANT non-compliance
hearings.
5.17 Provide any internal forms that will be used in service delivery, but which are not
mandated by ADMINISTRATOR, or by program requirements, for review and
approval by ADMINISTRATOR prior to implementation.
5.18 Maintain a case file for each PARTICIPANT served under this Agreement in a
format approved by ADMINISTRATOR.
5.19 Ensure that all services provided to PARTICIPANTS under this Agreement are
conducted in a manner responsive to literacy, language, and socio-cultural issues
that may impact PARTICIPANTS.
5.19.1 CONTRACTOR’s staff shall be trained in cultural differences to ensure
their ability to recognize and assist PARTICIPANTS who demonstrate
language or cultural barriers to employment, including resistance to
participation in VTR and WEX activities.
5.20 CONTRACTOR shall employ staff who will provide services in the
PARTICIPANTS language or obtain interpreters when necessary.
5.21 It is mutually understood that VTR and/or WEX activities shall be provided at a
variety of facilities/work sites throughout Orange County, as defined by
CONTRACTOR.
6. SERVICE REQUIREMENTS
6.1 Vocational Training (VTR)
CONTRACTOR shall:
6.1.1 Refer PARTICIPANTS to vocational-technical/trade schools, or
postsecondary public and/or private institutions.
WDM0522 Page 7 of 23 March 1, 2022
6.1.2 Provide VTR activities, not to exceed twelve (12) months, to prepare
PARTICIPANTS for employment in a specific trade, occupation, or
vocation. VTR may be extended upon prior approval from
ADMINISTRATOR.
6.1.3 Enroll PARTICIPANTS in a VTR program meeting the required
participation hours as referred by ADMINISTRATOR within fourteen
(14) calendar days of the referral, unless otherwise directed by
ADMINISTRATOR.
6.1.4 Work directly with ADMINISTRATOR to identify barriers to
participation, prior to returning the referral to ADMINISTRATOR if the
PARTICIPANT is not placed in a VTR program after fourteen (14)
calendar days of the referral.
6.1.5 Provide VTR programs to PARTICIPANTS in areas identified as growth
oriented, current or emerging occupations, meeting an unmet community
need, and in high demand for new employees.
6.1.6 Utilize accredited vocational training providers that are approved by
WIOA, listed in CalJOBS.
6.1.7 Collaborate with PARTICIPANTS and vocational program coordinator to
develop comprehensive training plans with specific and measurable
vocational goals.
6.1.8 Assist PARTICIPANTS upon completion of the VTR program with their
job search including, but not limited to, resume preparation, referrals to
jobs that are listed by employers with Employment Development
Department’s (EDD) CalJOBS, local newspaper want ads, other career
resources, and/or opportunities developed by CONTRACTOR.
6.2 Work Experience (WEX)
CONTRACTOR shall:
6.2.1 Provide WEX placements that meet the required participation hours as
referred by ADMINISTRATOR within fourteen (14) calendar days of the
referral. WEX placements are anticipated to lead to unsubsidized
employment at the end of the PARTICIPANTS’ WEX assignments.
WDM0522 Page 8 of 23 March 1, 2022
6.2.2 Obtain prior approval from ADMINISTRATOR to extend participation in
WEX. Participation shall be extended no more than twice in three-month
increments for up to a maximum of twelve (12) months in the
PARTICIPANTS’ CalWORKs lifetime (including the first six [6]
months), if funding for subsidized employment continues to be available,
and the PARTICIPANT:
Will be more likely to obtain unsubsidized employment with the
additional training and/or experience gained through the
extension; and
Will obtain specific skills and experience relevant for
unsubsidized employment in a particular field.
6.2.3 Work directly with ADMINISTRATOR to identify barriers to
participation, prior to returning the referral to ADMINISTRATOR if the
PARTICIPANT is not placed at a worksite after fourteen (14) calendar
days from the date of the referral.
6.2.4 Develop comprehensive employment plans with specific and measurable
training goals.
6.2.5 Assume the role of employer of record and ensure that all
PARTICIPANTS are covered by Workers Compensation as determined
by the California Department of Social Services.
6.2.6 Ensure PARTICIPANTS will earn at least the State minimum wage for
each hour worked up to thirty percent (30%) above the State minimum
wage. For an hourly wage that is more than thirty percent (30%) above
the State minimum wage, CONTRACTOR shall provide documentation
or data from credible source on prevailing wage for the position to receive
ADMINISTRATOR approval.
6.2.7 Not provide overtime pay for PARTICIPANTS without prior approval
from ADMINISTRATOR.
6.2.8 Be reimbursed by ADMINISTRATOR for one hundred percent (100%)
of the salary and benefits paid to each PARTICIPANT.
6.2.9 Assume all payroll responsibilities for PARTICIPANTS, such as
WDM0522 Page 9 of 23 March 1, 2022
reviewing and approving timesheets, distributing paychecks on a bi-
weekly basis, processing payroll, ensuring proper payment, providing
direct deposit, establishing emergency protocols to ensure all
PARTICIPANTS are paid as scheduled, and providing for the final check
of the fiscal year to cover worked hours up to June 30th of each contract
year.
6.2.10 Collaborate with WEX worksites to help ensure that the worksite will offer
unsubsidized employment to the WEX PARTICIPANT.
CONTRACTOR shall continuously assess WEX worksites
history of offering unsubsidized employment to
PARTICIPANTS at the end of the placement.
CONTRACTOR shall collaborate with ADMINISTRATOR to
determine utilization of the worksite for future placements.
6.2.11 Upon PARTICIPANTS’ completion of the WEX program,
CONTRACTOR shall assist PARTICIPANTS during their job search
including, but not limited to, resume and interview preparation, referrals
to jobs that are listed by employers with EDD’s CalJOBS, other career
resources, and/or those developed by CONTRACTOR.
6.3 Additional Responsibilities
6.3.1 Job Retention Incentive Services
Provide a monetary voucher in an amount determined by
ADMINISTRATOR, to PARTICIPANTS who complete the
WEX subsidized placements, and obtain unsubsidized
employment within thirty (30) days of completion.
CONTRACTOR must verify unsubsidized employment prior to
issuing the incentive vouchers.
Alternative incentives must be reviewed and approved by
ADMINISTRATOR.
6.3.2 Computer Information System(s)
CONTRACTOR shall use the computer information system(s)
provided by ADMINISTRATOR for viewing electronic data as
WDM0522 Page 10 of 23 March 1, 2022
required by ADMINISTRATOR. CONTRACTOR shall ensure
that CONTRACTOR’s staff understands the uses of the
computer information system(s) and will follow the related
procedures as evidenced by supervisory reviews and case audits.
CONTRACTOR shall inform ADMINISTRATOR within two
(2) business days of any employment terminations or new hires
in order for ADMINISTRATOR’s Information Technology
Services to take appropriate action.
6.3.3 America’s Job Center of California (AJCC)
CONTRACTOR shall assist PARTICIPANTS with access to the
AJCC where PARTICIPANTS can access a wide variety of
resources including labor market information and job vacancy
listings, full access to computers with internet connectivity,
telephones, faxes, and copy machines.
6.3.4 Welfare Fraud
If CalWORKs eligibility or Supportive Services payment fraud
is suspected, CONTRACTOR staff shall inform
ADMINISTRATOR within two (2) business days of awareness
of any suspected fraud.
7. PERFORMANCE MONITORING AND REVIEW
7.1 CONTRACTOR’s performance will be monitored and reviewed by
ADMINISTRATOR. CONTRACTOR shall cooperate and assist
ADMINISTRATOR in monitoring performance. ADMINISTRATOR will
conduct case reviews as part of an on-going evaluation of CONTRACTOR’s
performance.
7.2 ADMINISTRATOR may use a variety of inspection methods to evaluate
CONTRACTOR’s performance, including but not limited to:
7.2.1 Random sampling of program activities including a review of case files ;
7.2.2 Activity checklists and random observations;
7.2.3 Inspect output items on a periodic basis as deemed necessary;
7.2.4 Monthly statistical reports;
WDM0522 Page 11 of 23 March 1, 2022
7.2.5 PARTICIPANTS’ complaints and/or PARTICIPANTS’ questionnaires;
and
7.2.6 Complaints received by CONTRACTOR.
7.3 ADMINISTRATOR may require corrective action plans when it is determined that
services are performed unsatisfactorily during the review period. CONTRACTOR
shall remedy the performance defects within the time period specified in the
corrective action plan. Nothing in this section shall limit the COUNTY’s ability to
terminate this Agreement pursuant to Paragraph 42.
7.4 Performance evaluation meetings will be conducted by ADMINISTRATOR as
necessary.
8. QUALITY ASSURANCE/QUALITY CONTROL
8.1 CONTRACTOR shall establish and utilize a comprehensive Quality Control Plan,
on a format approved by ADMINISTRATOR, to monitor the level of program
service and quality. The Quality Control Plan will be effective on contract start
date and will be updated and resubmitted to ADMINISTRATOR for approval when
changes occur. The Quality Control Plan will include, but not be limited to, the
following:
8.1.1 The method for ensuring the services, deliverables, and requirements
defined in the agreement are being provided at or above the level of quality
per this Agreement.
8.1.2 The method for assuring the staff rendering services under this Agreement
has the necessary qualifications.
8.1.3 Activities to be inspected on either a scheduled or unscheduled basis, how
often inspections will be accomplished, and the title of the individual(s)
who will perform the inspections.
8.1.4 The method of identifying and preventing deficiencies in the quality of
service as defined by ADMINISTRATOR; and
8.1.5 The method for providing ADMINISTRATOR with a copy of
CONTRACTOR’s case reviews, a clear description of, and corrective
action taken, to resolve identified problems.
WDM0522 Page 12 of 23 March 1, 2022
8.2 CONTRACTOR shall cooperate with any third-party audit or inspections as
required by ADMINISTRATOR or other COUNTY, State or federal agency.
9. MEETINGS
CONTRACTOR shall:
9.1 Attend monthly meetings and occasionally conduct staff tour/site visits, as
requested by ADMINISTRATOR. Upon mutual agreement of CONTRACTOR
and ADMINISTRATOR, CONTRACTOR may attend meetings remotely.
CONTRACTOR shall consult with ADMINISTRATOR regarding specific cases,
be available to answer questions, and provide additional information as needed.
9.2 As requested by ADMINISTRATOR, attend meetings with COUNTY’s contracted
service providers and community partners, including Client Intervention Meetings.
9.3 Participate in Performance/Outcomes evaluation meetings as requested by
ADMINISTRATOR.
9.4 Attend training(s) and/or meetings, as determined by ADMINISTRATOR, and
provide CONTRACTOR’s staff with ongoing training and assistance to ensure that
contract deliverables are met.
10. FACILITIES
10.1 It is mutually understood that PARTICIPANTS will be referred to CONTRACTOR
at the following facility:
Santa Ana WORK Center
801 Civic Center Dr., Suite 200
Santa Ana, CA 92701
10.2 CONTRACTOR and ADMINISTRATOR may mutually agree in writing as to the
facility(ies) and location(s) where services shall be provided without changing
COUNTY’s maximum obligation.
11. REPORTING REQUIREMENTS
CONTRACTOR shall:
WDM0522 Page 13 of 23 March 1, 2022
11.1 Comply with data verification requirements per ADMINISTRATOR.
11.2 Immediately implement and adhere to future policy revisions and changes or
enhancements in procedures and processes pertaining to submission and reporting
requirements.
11.3 Use the most current templates provided by ADMINISTRATOR.
11.4 Implement a quality control process to ensure integrity of data submitted, review
and approve all reports submitted to ADMINISTRATOR.
11.5 Provide by the tenth (10th) calendar day of each month, a status report for the
preceding month, in a format approved by ADMINISTRATOR. Status reports
shall include, but are not limited to, the following:
11.5.1 Total number of referrals received from ADMINISTRATOR and referral
outcomes.
11.5.2 Caseload movement: total number of PARTICIPANTS enrolled,
participating, exiting, and completing job placements or programs.
11.5.3 Total number of referrals returned to ADMINISTRATOR prior to
placement.
11.5.4 List of PARTICIPANTS who obtained unsubsidized employment within
forty-five (45) calendar days of completing the activity, or otherwise
agreed timeline requested by ADMINISTRATOR.
11.5.5 Updated information on the activity status of the referrals and
PARTICIPANT attendance issues.
11.5.6 List of issued incentive vouchers including PARTICIPANT name,
issuance date, and any related information requested by
ADMINISTRATOR.
11.6 Provide monthly PARTICIPANT attendance and progress reports including
achievements and the number of participation/work hours to ADMINISTRATOR,
as applicable, by the tenth (10th) calendar day of the following month.
11.7 Maintain a record of all WEX worksites who have served PARTICIPANTS and
include the percentage of PARTICIPANTS who were offered unsubsidized
WDM0522 Page 14 of 23 March 1, 2022
employment at the end of the placement. CONTRACTOR shall provide this record
to ADMINISTRATOR upon request.
11.8 Participate in the evaluation of services through distribution and collection of
customer satisfaction surveys as determined by ADMINISTRATOR. Survey
results, along with any corrective action(s) with respect to survey findings or trends,
shall be provided to ADMINISTRATOR upon request.
11.9 Maintain a monthly Complaint Log documenting PARTICIPANTS’ complaints
and CONTRACTOR’s response. The Complaint Log shall be submitted to
ADMINISTRATOR by the tenth (10th) calendar day of each month. Any incidents
involving harassment or injury must be reported to ADMINISTRATOR within one
(1) business day of the incident.
11.10 Maintain an organizational chart along with corresponding job descriptions for
every classification funded under this Agreement. CONTRACTOR shall provide
an updated organizational chart along with job descriptions to ADMINISTRATOR
by July 1, 2022.
11.10.1 Should any organizational or staffing arrangements change during the
term of the Agreement, CONTRACTOR shall submit a revised
organizational chart to ADMINISTRATOR within two (2) business days;
or upon request by ADMINISTRATOR.
11.11 Provide additional reports as requested by ADMINISTRATOR.
12. BUDGET
12.1 The annual budget for services provided pursuant to Attachment A of this
Agreement is set forth as follows:
Budget Period July 1 – June 30
TOTAL STAFFING & EMPLOYEE BENEFITS(1) (2) (3) (4) $278,630
TOTAL PARTICIPANT COSTS $488,964
TOTAL OPERATING
EXPENSES(5) $71,370
WDM0522 Page 15 of 23 March 1, 2022
TOTAL INDIRECT
COSTS(6) (12.2%) $21,900
MAXIMUM ANNUAL COUNTY OBLIGATION $838,964
MAXIMUM CONTRACT OBLIGATION $2,516,892
(1) Position Types are classified as “D” for Direct or “A” for Administrative. Direct
services positions include staff who are integral to service delivery and may include
staff who provide direct face-to-face service to clients and/or staff who
supervise/manage direct service personnel. Administrative positions include staff
that support service delivery and whose activities and functions can be directly
allocated to the program.
(2) For hourly employees, Full-Time Equivalent (FTE) is defined as the amount of time
(stated as a percentage) the position will be providing services under the terms of
this Agreement. This percentage is based upon a 40-hour work week. For salaried
employees, FTE is defined as the amount of time (stated as a percentage) the
position will be paid for under the terms of this Agreement, regardless of the
number of hours actually worked.
(3) Maximum hourly rate which will be permitted during the term of this Agreement;
employees may be paid at less than maximum hourly rate.
(4) Employee Benefits include contributions to 401k or retirement plans; health
insurance; dental insurance; life insurance; long-term disability insurance; payroll
taxes such as FICA, Federal Unemployment Tax, State Unemployment Tax, and
Workers’ Compensation Tax, based on the currently prevailing rates; and expense
for accrued vacation time payout, for a separated employee, limited to the actual
vacation time accrued during the fiscal year in which the expense is claimed, minus
the actual vacation time used by the employee during said fiscal year. The overall
benefit rate shall not exceed fifty-five percent (55%) of the actual salary expense
claimed.
WDM0522 Page 16 of 23 March 1, 2022
(5) Operating expenses shall include expenses incurred for communications, rent,
office supplies, rental city equipment, accident repair/replacement, gas/diesel, IT
maintenance, delivery, and insurance.
(6) Indirect costs includes administrative costs not directly charged to the program,
including accounting, payroll, purchasing, legal audit, and oversight functions.
Indirect costs reflect twelve percent (12.2%) of staff salaries (not including
benefits). In the event the indirect cost rate is reduced, the reduction shall be
afforded to ADMINISTRATOR and the budget amended accordingly.
CONTRACTOR shall provide notification to ADMINISTRATOR of any changes
in the rate.
12.2 Expenses for extra pay, including but not limited to, overtime, stipends, bonuses,
staff incentives, severance pay, etc. shall not be eligible for reimbursement under
this Agreement unless authorized in writing by ADMINISTRATOR. Such
authorization shall be considered as an exception and may be approved, on a case-
by-case basis, at the sole discretion of ADMINISTRATOR.
12.3 CONTRACTOR and ADMINISTRATOR may agree, subject to advance written
notice, to add, delete or modify line items and/or amounts and/or the number and
type of FTE positions without changing COUNTY’s maximum funding obligation
as stated in Subparagraph 20.1 of this Agreement or reducing the level of service
to be provided by CONTRACTOR. Further, in accordance with Subparagraph 42.4
of this Agreement, in the event ADMINISTRATOR reduces the maximum funding
obligation as stated in Subparagraph 20.1, CONTRACTOR and
ADMINISTRATOR may mutually agree in writing to proportionately reduce the
service goals as set forth in this Attachment. Failure to obtain advance written
approval for any proposed Budget Modification Request may result in disallowance
of reimbursement for those costs.
12.4 In the event the budget shown in Subparagraph 12 of this Attachment is modified,
the modified budget shall remain in effect for the remainder of the contract term,
unless superseded by subsequent budget modification(s) that have been approved
in writing by ADMINISTRATOR. For example, if Budget Modification #1 is
WDM0522 Page 17 of 23 March 1, 2022
approved on August 15, 2021, the modified budget will remain in effect until
Budget Modification #2 is requested and approved in writing. The annual budget
beginning on July 1st of each Agreement year shall be identical to the most recently
modified annual budget.
13. STAFFING REQUIREMENTS
CONTRACTOR shall:
13.1 Employ staff with experience in placing PARTICIPANTS in an environment that
facilitates the development of the English language for PARTICIPANTS with a
limited English vocabulary.
13.2 Employ staff who are able to read, write, speak, and understand English.
13.3 Provide bilingual staff or translation services to serve all PARTICIPANTS who
speak Spanish, Vietnamese or Farsi.
13.3.1 The ratio of bilingual staff shall be consistent with and proportional to the
target population, as determined by ADMINISTRATOR.
13.3.2 Translation services shall be provided for all other languages as needed to
ensure all PARTICIPANTS are provided services in the language they
speak.
13.4 CONTRACTOR shall comply with all COUNTY, State, and federal regulations
regarding Limited English Proficiency.
13.5 CONTRACTOR shall provide the following described staff positions continuously
throughout the term of the Agreement:
Position Position
Type(1) FTE(2) Maximum Hourly
Rate(3)
Workforce Specialist II D 2.00 $41.13
Econ Dev. Specialist III D 0.02 $72.17
Sr. Accounting Assistant A 0.03 $39.06
Account Clerk I A 0.05 $19.50
Management Analyst A 0.03 $40.26
WDM0522 Page 18 of 23 March 1, 2022
(1) Position Types are classified as “D” for Direct or “A” for Administrative.
Direct services positions include staff who are integral to service delivery and may
include staff who provide direct face-to-face service to clients and/or staff who
supervise/manage direct service personnel. Administrative positions include staff
that support service delivery and whose activities and functions can be directly
allocated to the program.
(2) For hourly employees, Full-Time Equivalent (FTE) is defined as the amount
of time (stated as a percentage) the position will be providing services under the
terms of this Agreement. This percentage is based upon a 40-hour work week. For
salaried employees, FTE is defined as the amount of time (stated as a percentage)
the position will be paid for under the terms of this Agreement, regardless of the
number of hours actually worked.
(3) Maximum hourly rate which will be permitted during the term of this
Agreement; employees may be paid at less than maximum hourly rate.
13.5.1 Workforce Specialist II (SA WDB Case Manager)
Duties:
Manage caseload, advise PARTICIPANTS of career and training
opportunities, develop PARTICIPANT employment plans, and
is responsible for PARTICIPANT outcomes.
Oversee PARTICIPANT job search activities and program
enrollments, identifies and develops job opportunities
appropriate for PARTICIPANTS.
Market services to employers and PARTICIPANTS, conduct
employment/job sector workshops, give presentations and
prepare informational materials, and maintain contacts within the
business community to provide employers with qualified
candidates.
Monitor employment rate/employee retention rate and customer
satisfaction rate and develops plans for improvement.
WDM0522 Page 19 of 23 March 1, 2022
Monitor eligibility and program files to ensure compliance with
federal and State regulations, including CW/WTW regulations;
perform site visits, and maintain detailed records and reports.
Collect and compile data to generate detailed technical reports,
articles, and other publications regarding the WDB to the public.
Organize and implement WDB sponsored events and apply
principles of quality of service in all activities.
Qualifications:
A minimum one (1) year of workforce development program
experience, or any combination of college level coursework in
psychology, sociology, counseling, human services, business
administration, accounting, public administration, workforce
development program experience equivalent to one (1) year
which provides the desirable knowledge, skills, and abilities.
Knowledge of federal and State regulations pertaining to
workforce development programs, interviewing techniques and
methods of determining program eligibility, employment market,
agencies providing resources, and methods of case management,
data collections, and monitoring.
Ability to understand, interpret, and implement federal and State
regulations; organize and effectively manage a heavy and varied
caseload to meet program performance standards; coordinate and
conduct meetings; make public presentations; communicate
clearly and concisely; and keep detailed and accurate records.
13.5.2 Economic Development Specialist III
Duties:
Direct, coordinate, monitor and evaluate economic development
programs.
Conduct economic research, analyses, market feasibility studies
concerning the CONTRACTOR’s business base and other
related research.
WDM0522 Page 20 of 23 March 1, 2022
Analyze financial requirement of businesses interested in
financial assistance and designs and implements a business
retention program.
Prepare applications for grants and oversee approved grant
programs.
Plan and direct marketing efforts, including media relations, print
materials and advertising.
Establish and maintain communications and coordinate activities
with organizations to promote and facilitate economic
development.
Coordinate the Division budget and supervises subordinate-level
employees.
Qualifications:
A minimum of three (3) years of experience in local government
or private economic development programs, one year of which
must be as program manager or project leader, or a Bachelor’s
degree from an accredited college or university with
specialization in economics, business or public administration,
commercial finance may be used, or any combination of
education in economics, business or public administration,
commercial finance, training and experience equivalent to three
(3) years experience which provide the knowledge, skills and
abilities of the job.
13.5.3 Senior Accounting Assistant
Duties:
Prepare and maintain financial and accounting records by
gathering, assembling, tabulating, comparing, verifying, and
posting financial and statistical data.
Prepare or verify and process bills, invoices, and similar
documents.
Post and balance cash books, ledgers, subsidiary journals, and
WDM0522 Page 21 of 23 March 1, 2022
other financial and accounting records.
Reconcile accounts to general ledgers and prepare routing reports
and statements.
Analyze and prepare reports of encumbrances and expenditures
for department programs.
Perform cost research and cost recovery analysis.
Receive money and maintain records of receipts, files of invoices
and other financial transaction documents.
Qualifications:
A minimum of two (2) years of experience performing
responsible accounting, financial, statistical or other specialized
office clerical work supplemented by courses in accounting,
finance, business, office practices, or related coursework; or a
combination of two (2) years of training and experience, or
courses in accounting, finance, business and office practices
which provides the knowledge, skills and abilities in accounting
methods and government budgeting.
Knowledge of bookkeeping principles and practices, fund
accounting and governmental accounting methods.
Ability to keep bookkeeping accounts and prepare financial
statements and make arithmetic calculations.
13.5.4 Account Clerk I
Duties:
Perform a variety of routine clerical work involved in receiving,
distributing and maintaining financial and statistical records,
receiving and disbursing cash.
Gather, assemble, tabulate, check, and post financial and
statistical data.
Maintain simple accounts, post entries from supporting
documents and records, including verifications of invoices with
supporting documents.
WDM0522 Page 22 of 23 March 1, 2022
Accept payments and fees as well as ensure prompt payment for
CONTRACTOR’s purchases.
Qualifications:
High School diploma, General Equivalency Diploma (GED), or
equivalent certification, and experience in performing financial,
statistical or other clerical work.
Knowledge of modern office practices and procedures.
Knowledge of methods of handling, receipting, and maintaining
records of money received.
Skill in making arithmetic computations; filing; maintaining
office records; the operation of office equipment, including ten-
key adding machines, calculators, and personal computers.
13.5.5 Management Analyst
Duties:
Perform administrative duties, including development of the
budget, to ensure efficient and effective internal systems
operations.
Qualifications:
Two years of responsible governmental administrative
experience and education equivalent to graduation from a four-
year college or university with specialization in political science,
public or business administration or closely related field; or any
equivalent combination of education, training and experience.
14. TRAINING
14.1 CONTRACTOR’s staff shall attend any trainings, conferences, and meetings as
required by ADMINISTRATOR.
14.2 CONTRACTOR shall provide CONTRACTOR’s staff with ongoing training and
assistance to ensure that service deliverables are met.
14.3 CONTRACTOR shall ensure that CONTRACTOR’s staff receives cultural
WDM0522 Page 23 of 23 March 1, 2022
awareness and responsiveness training.
14.4 CONTRACTOR shall maintain a log of in-house training activities for
CONTRACTOR’s staff. This log shall be made available to ADMINISTRATOR,
upon request.
14.5 COUNTY will provide initial training to CONTRACTOR staff on CW/WTW
regulations and other procedures per ADMINISTRATOR. CONTRACTOR shall
conduct training(s) to new staff and refresher trainings yearly.
14.6 It will be CONTRACTOR’s sole responsibility to ensure that CONTRACTOR’s
staff understand and correctly implement the requirements when providing
CW/WTW services to PARTICIPANTS.
WDM0522 Page 1 of 4 March 1, 2022
ATTACHMENT B
SOCIAL SERVICES AGENCY POLICY AND PROCEDDURE I 6: INFORMATION
TECHNOLOGY SECURITY AND USAGE
I. PURPOSE
To protect the integrity of the Social Services Agency’s (SSA) information technology
infrastructure, ensure its availability, reliability, accessibility, and prevent unauthorized
disclosure of Confidential Information, including Personally Identifiable Information.
Additionally, this policy defines required responsibilities for all users of the SSA information
technology infrastructure and supplements the Information Technology Security Policy (ITSP),
County of Orange.
II. DEFINITIONS
Confidential Information is defined as information that must be protected from unauthorized
disclosure or public release. Examples of Confidential Information include, but are not limited,
to the following:
1. Client case records
2. Employment records
3. Payroll and other financial information
4. Other sensitive or business related information that is not intended for wide distribution
Personally Identifiable Information (PII) is information that can be used, alone or in conjunction
with any other information, to identify a specific individual. PII includes any information that
can be used to search for or identify individuals, or can be used to access their files. Examples of
PII may include, but are not limited to: name, SSN, Social Security benefit data, date of birth,
official State or government issued driver's license or identification number. PII is a subset of
Confidential Information.
SSA workforce members include full-time, part-time and extra-help County of Orange SSA
employees, contracted staff, interns, volunteers, and all other authorized individuals with access
to SSA’s information technology infrastructure.
III. POLICY
SSA workforce members shall adhere to applicable SSA, County of Orange (including the ITSP,
County of Orange-Attachment A), State (including the State of California Welfare and
WDM0522 Page 2 of 4 March 1, 2022
Institutions Code 10850), and Federal regulations relating to information technology security,
privacy, and confidentiality of information as each may now exist or be herein after amended.
Unless within the scope of job responsibility, any violation of this policy is subject to immediate
revocation of user's access to SSA network and associated applications. SSA workforce
members may be subject to disciplinary action including suspension, termination, civil, and/or
criminal prosecution. Causes for disciplinary action may include, but are not limited, to the
following activities:
1. Use of E-mail and all other forms of electronic communication, Internet browsing, or
computers, tablets, smart phone and all other electronic devices for any of t he following:
a. Harassing others using offensive, obscene and/or vulgar language; or threatening others,
including creating messages containing sexual or racial overtones or slurs, and/or
messages disparaging of others based on race, sex, age, national origin, sexual orie ntation,
marital status and/or other personal characteristics protected under federal, state or local
laws.
b. Disrupting or interfering with County operations or job responsibilities.
c. Misrepresenting facts to the detriment of SSA.
2. Unauthorized access to County or other non-County computer networks and/or applications.
3. Failure to protect Confidential Information from unauthorized disclosure.
4. Unauthorized disclosure of Confidential Information.
5. Unauthorized software installation(s) on SSA computer systems.
6. Unauthorized access, attempt to access or to encourage others to access County, State, Federal
or other computer systems and networks that are not directly within the current scope of
employee’s job responsibilities.
All SSA workforce members shall do the following:
1. Keep their user IDs and passwords confidential and secured at all times. Should a password
be compromised, it shall be changed immediately, and the supervisor shall be notified.
2. Restrict user ID usage only for currently assigned SSA job duties and responsibilities.
3. Use County resources, such as data and information, for County business objectives only. Use
of these resources for private or personal gain is prohibited and may be subject to
administrative, civil, and criminal penalties (California Penal Code Section 502).
4. Protect Confidential Information of clients to prevent unauthorized disclosure. Only the
minimum amount of Confidential Information necessary for business operations should be
WDM0522 Page 3 of 4 March 1, 2022
copied, downloaded, exported or stored on any electronic device or in paper format. Any
compromise of Confidential and/or Personably Identifiable Information shall be immediately
reported to the supervisor.
5. Request software installations on SSA computers, laptops, tablets and other dev ices from an
authorized agent of the SSA Information Technology team. DO NOT INSTALL ANY
software/application into County SSA devices.
6. Seek permission from SSA Information Technology team prior to copying a County -owned
software/application.
7. Use of any County electronic communication systems is for business use only; any personal
use shall not disrupt or interfere with County operations or job responsibilities.
IV. PROCEDURE
A. The following steps shall be undertaken to ensure that the above policy is enforce d to all SSA
County employees. Prior to a new employee gaining access to Confidential Information, the
SSA Human Resources (HR) representative or designee shall:
1. Provide new employees with access to the SSA I-6 Policy and Procedures document, the ITSP,
County of Orange (Attachment I) and the County of Orange Information Technology Usage
Policy (Attachment II) with instructions for the new employee to read and sign the SSA
Information Technology Security and Usage Agreement (Attachment III). Upon the new
employee’s signing of SSA Information Technology Usage Agreement form, the HR
representative or designee shall counter-sign the completed form.
2. Have the new employee read and sign the Orange County Social Services Agency
Confidentiality of Client Information (Attachment IV).
3. Confirm that the new employee complete the review of the SSA Information Security Rules
of the Road (Attachment V) located in the Training section of the SSA Intranet at
http://ocssa/intranet/sites/default/files/Files/administrative/content/I....
4. File the signed SSA Information Technology Usage Agreement (Attachment III), the signed
Orange County Social Services Agency Confidentiality of Client Information (Attachment IV)
and documentation of completion of SSA Information Security Rules of the Road
(Attachment V) in the employee’s personnel file.
B. The supervisor of an SSA contracted employee, volunteer, intern, and all other non-County
employees shall undertake the following steps to ensure that the above policy is enforced.
Prior to a workforce member gaining access to Confidential Information, provide them with
the following documents to read:
1. Administrative Policies and Procedures Manual I-6 Information Technology Security and
Usage;
WDM0522 Page 4 of 4 March 1, 2022
2. ITSP, County of Orange (Attachment I); and
3. County of Orange Information Technolo gy Usage Policy (Attachment II).
The new workforce member shall document that they have read, understand and will adhere to
the policies stated in the SSA I-6 policy and procedures document by signing the document
titled: “Agreement to Comply with the Orange County Social Services Agency Information
Technology Security and Usage Policy” (Attachment VI). This document also includes the SSA
Confidentiality Agreement and serves as documentation of completion of the SSA Information
Security Rules of the Road training presentation. This action must occur prior to a workforce
member being provided with access to Confidential Information.
Maintain this signed “Agreement to Comply with the Orange County Social Services Agency
Information Technology Security and Usage Policy” (Attachment VI) for three years after the
non-County workforce member separates from SSA. If this workforce member requires access to
the SSA network or databases (i.e. shared drives, CalWIN, OnBase, CWS/CMS, SSA Intranet,
etc. ), a copy of the signed “Agreement to Comply with the Orange County Social Services
Agency Information Technology Security and Usage Policy” (Attachment VI) shall be provided
to SSA IT. Network access will not be provided until this signed document is received.
V. ATTACHMENTS
I. Information Technology Security Policy, County of Orange
II. County of Orange Information Technology Usage Policy
III. SSA Information Technology Security and Usage Agreement
IV. Orange County Social Services Agency Confidentiality of Client Information
V. Social Services Agency Information Security Rules of the Road
VI. Agreement to Comply with the Orange County Social Services Agency Information
Technology Security and Usage Policy
WDM0522 Page 1 of 6 March 1, 2022
ATTACHMENT C
SOCIAL SERVICES AGENCY POLICY AND PROCEDURE F 21: PRIVACY AND
SECURITY INCIDENTS OF PERSONALLY IDENTIFIABLE INFORMATION (PII) AND
CONFIDENTIAL INFORMATION
I. PURPOSE
To establish a process and guidelines for Social Services Agency (SSA) to report, document and
investigate privacy and security incidents of Personally Identifiable Information (PII) and
confidential information.
II. POLICY
Orange County Social Services Agency (OCSSA) workforce, volunteers and contractors/vendors
shall comply with all applicable Federal and State laws, regulations, policies and procedure
regarding the safeguarding of PII and confidential information and incident reporting protocols.
This policy applies to all data sources and systems with any PII and other forms of confidential
information that staff access in the performance of their duties via any medium including
electronic, paper, and verbal.
III. DEFINTIONS
Action Officer: Person responsible for ensuring the program rectifies any issues identified with a
breach. In most cases, it will be the program or regional manager.
Authorized Persons: are employees of the Agency who meet the following criteria:
· Need to access PII and other forms of confidential information in order to perform their job
duties;
· Have completed all required security and confidentiality training; and
· Have completed all required security certifications relevant to the data which are on file and
available for review by an outside agency.
Breach: Refers to actual loss, loss of control, compromise, unauthorized disclosure, unauthorized
acquisition, unauthorized access, or any similar term referring to situations where persons other
than authorized users and for other than authorized purposes have access or potential access to
PII, whether electronic, paper, verbal or recorded.
WDM0522 Page 2 of 6 March 1, 2022
Confidential Information: Information that must be protected from unauthorized disclosur e or
public release. Examples of Confidential Information include but are not limited to the
following: client case records, employment records, payroll and other financial information and
other sensitive or business-related information that is not intended for wide distribution.
Federal Tax Information (FTI): any data extracted from an individual’s federal tax return
(including attachments) that the Internal Revenue Service (IRS) provides to human services
agencies under IRC §6103(l)(7). FTI is received from the following Income Earnings
Verification System (IEVS) Reports:
· Annual IRS Asset Match (paper only) and
· Monthly Beneficiary Earnings Exchange Record (BEER) Match (paper only).
Lost PIIs or confidential information in any medium or format: All PII or confidential
information in any medium or format that a Deputy Director or delegated SSA manager has
confirmed is no longer in the physical possession or control of an Agency representative; has
been electronically transmitted to an unauthorized recipient; and/or has been accessed by an
unauthorized user. This does not include information that has been misplaced within the confines
of secured Agency facilities.
Personally Identifiable Information (PII): Is any information about an individual maintained b y
an agency, including (1) any information 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
biometrics records; and (2) any other information that can be used alone or when combined with
other personal or identifying information that is linked or linkable to an individual, such as
medical, educational, financial and employment information.
Medi-Cal Personally Identifiable Information (Medi-Cal PII): Information directly obtained in
the course of performing an administrative function on behalf of Medi -Cal that can be used
alone, or in conjunction with any other information to identify a specific individual. Medi-Cal
PII includes any information that can be used to search for or identify individuals, or can be used
to access their files, such as name, social security number, date of birth, driver's license number
or identification number.
Security Incident: Attempted or successful unauthorized access, use, disclosure, modification, or
destruction of information that compromises the security, confidentiality or integrity of the PII.
Information may be in electronic, hardcopy, or verbal form and may consist of a single piece of
information and/or an entire information system, such as hard drive, portable computer storage
medium, cell phones, tablets, or laptop computer.
Social Security Administration Personally Identifiable Information: Covers PII received from the
following Income Eligibility Verification System (IEVS) Reports:
· Monthly BEER Match (paper only);
WDM0522 Page 3 of 6 March 1, 2022
· Payment Verification System (PVS) Match (electronic only);
· Integrated Earning Clearance/Fraud Detection System (IFD) Match (electronic only);
· Deceased Persons Match (DPM; paper only); and
· Nationwide Prisoner Match (NPM; paper or electronic).
SSA Workforce: Refers to employees, contracted staff, volunteers, interns, trainees, and other
persons whose work is under the direct control and oversight of SSA.
Unauthorized Access: A user who gains logical or physical access without permission, a business
need or other lawful reason to a network, system, application, data, site or other resource.
IV. PROCEDURE
A. Detection:
1. OCSSA workforce members have the responsibility to monitor for and report any
known or suspected privacy or security incidents, breaches, intrusion or unauthorized
access, use, or disclosure of PII. Examples of incidents or breaches include, but are not
limited to:
a. Theft/Loss of PII or FTI.
b. E-mail, texting or faxing PII to an unknown or unauthorized recipient
c. Theft/Loss of unencrypted device (phones, laptops, thumb drives, etc.)
containing PII.
d. Employee accessing or searching data systems containing PII without a
legitimate business need.
e. Improper disposal of records containing PII, such as in a dumpster or recycle
bins
2. OCSSA staff shall immediately report privacy and security incidents by following the
process identified under Reporting and Resolution, with guidance from State and Federal
documents located in the Reference and Attachment Sections.
B. Reporting and Resolution:
WDM0522 Page 4 of 6 March 1, 2022
1. Immediately upon identifying any suspected privacy or security incidents, breaches,
intrusion or unauthorized access, use, or disclosure of PII, the SSA employee will
immediately notify their Regional/Program Manager/Admin Management Team, with a
CC to their immediate Supervisor.
2. The Regional/Program Manager, upon receiving information about the privacy or
security incident, will immediately submit a Privacy Incident Report (PIR) to the Quality
Support Team (QST)/Custodian of Records (COR) at
SSAcustodianofrecordsinbox@SSA.ocgov.com with a CC to their Deputy Division
Director, via a secure email message with the subject line “Initial PIR [secure]”. Each
section of the PIR will be completed with as much information as available at the time of
drafting. No PII should be included in the PIR.
3. Upon receipt of the PIR, the Quality Support Team will collaborate with the
Regional/Program Manager to further identify any details necessary to better assess the
incident.
4. Upon gathering this information, the Quality Support Team will then connect with the
County Privacy Officer to identify next steps.
5. As determined to be required, the QST/COR shall advise the identified program point
of contact (“Action Officer”) to update the PIR to include any additional information
required. a. If the incident meets any of the criteria noted in the County Significant
Incident/ Claim Reporting Protocol, QST/COR shall draft a report containing the
basic/concise facts and submit to the Chief Deputy Director with the PIR attached for
review and submission to IncidentReport@ocgov.com.
6. QST/COR will serve as the Agency’s point of contact for the County Privacy Officer
and will communicate all applicable steps identified by the County Privacy Officer to the
Action Officer.
a. The Action Officer will be responsible for coordinating all applicable activities
required to notify and rectify the privacy/security issue that was identified.
i. Action Officers will be assigned and will vary depending on the
program.
ii. Depending on the type of issue, the References Section provided below
will provide more information on what actions are necessary to rectify the
situation. Loss of Medi-Cal PII involves different steps than a loss of PII
for other programs.
b. The Action Officer shall oversee the completion of the investigation of the
privacy or security incident.
WDM0522 Page 5 of 6 March 1, 2022
c. The Action Officer shall oversee notification of individuals affected by the
breach or unauthorized use/disclosure of Medi-Cal PII when notification is
required.
d. The Action Officer shall engage Human Resource Services, County Counsel,
Risk Management, and/or the County Executive Office as needed to determine if
internal processes, such as disciplinary action, are necessary.
e. At the conclusion of the investigation and completion of all required
notifications and consultations regarding necessary internal processes, the Action
Officer will send the completed PIR that includes all required documentation
from the investigation to QST/COR at the
SSACustodianofrecordsinbox@SSA.ocgov.com with the subject line “Final PIR
[secure].”
7. The County Privacy Officer will submit the final PIR to DHCS as required.
8. QST/COR will retain the final PIR for all incident types.
V. REFERENCES
Compliance of this policy shall be in accordance with the:
· For Loss of Medi-Cal PII:
State of California Department of Health Care Services Privacy and Security Agreement
https://www.dhcs.ca.gov/services/medi-cal/eligibility/letters/Documents/c19-16.pdf
· For Loss of all other program PII:
State of California Department of Social Services Privacy and Security Agreement
https://cdss.ca.gov/Portals/9/ACL/2019/19-56E.pdf?ver=2019-07-02-071938-893
· For Loss of Federal Tax Information (FTI): State of California Health and Human Services
Agency Department of Social Services (CDSS) All County Letters No. 15-56
· California SB 1386 Personal Information: Privacy
· California Civil Code 1798.29
· Children and Family Services Division (CFS Policy F-0105), Confidentiality-CFS Client
Records
WDM0522 Page 6 of 6 March 1, 2022
· California Department of Health Care Services Data Privacy Contact Information
WDM0522 Page 1 of 1 March 1, 2022
ATTACHMENT D
SOCIAL SERVICES AGENCY (SSA)
INFORMATION TECHNOLOGY SECURITY AND USAGE AGREEMENT
Declaration
I have read and agree to all provisions in the County of Orange Information Technology Security Policy,
the County of Orange Information Technology Usage Policy, and the SSA Administrative Policies and
Procedures Manual I 6 Information Technology Security and Usage. I will adhere to all applicable SSA,
County of Orange, State of California, and Federal regulations relating to information technology
security, privacy and confidentiality of information. I accept these responsibilities and agree to exercise
proper care and to protect all assets while performing my duties. I understand that improper use of
County resources and the disclosure of any sensitive, confidential, proprietary or Personal Identity
Information (PII) to unauthorized persons during or af ter separation of my employment at SSA may
make me liable for revocation of user privileges, discharge, and administrative, civil and/or criminal
prosecution.
My signature below affirms I have read, understand and agree to the foregoing statements.
__________________ ________________________ ________________
Print Name of User Signature of User Date
Supervisor of User/Human Resources (HR) Representative:
____________________ ________________________ ________________
Print Name of Supervisor Signature of Supervisor Date
or HR Representative or HR Representative