HomeMy WebLinkAboutA-2003-221FUNDING SOURCE
COPY
WIA 25% AGREEMENT NO. S1-T-03
VglA COST REIMBURSEMENT AGREEMENT
County of Orange
THIS AGREEMENT, between the County of Orange, hereinafter referred to as "COUNTY" and
City of Santa Ana hereinafter referred to as "CONTRACTOR," consists of forty-five (45) sections, nine (9)
exhibits, A. General Program Requirements, B. Statement of Work, C. Performance Standards, D. Budget Schedule,
E. Drag Free Workplace Certification, F. Suspension & Debarment Certification G. Certification Regarding
Lobbying, and H. Disclosure Form to Report Lobbying, I. Child Support Enforcemem Provision (for-profit
providers only), J. EDD Independent Operator Reporting Requirements.
TABLE OF CONTENTS
No. Page
1. TERM .................................................................................................................................................................. 4
2. PURPOSE ........................................................................................................................................................... 4
3. COMPLIANCE WITH LAW ............................................................................................................................. 5
(a) Federal ........................................................................................................................................................... 5
(b) Clear Air and Clean Water Act ......................................................................................... 5
(c) Energy Efficiency Standards .......................................................................................................................... 5
(d) State ............................................................................................................................................................... 5
(e) County ........................................................................................................................................................... 5
(f) Local .............................................................................................................................................................. 5
(g) Court Orders .................................................................................................................................................. 5
(b) Terms and Conditions ................................................................................................................................... 5
4. STATEMENT OF WORK ................................................................................................................................ 6
5. SERVICES ......................................................................................................................................................... 6
6. MODIFICATION OF PROGRAM COMPONENTS AND SERVICE LEVELS ............................................. 6
7. INSTRUCTORS ................................................................................................................................................ 7
8. PERFORMANCE STANDARDS ..................................................................................................................... 7
9. PLANS AND PROCEDURES .......................................................................................................................... 7
10. SATISFACTORY WORK ................................................................................................................................ 7
11. REPORTS ......................................................................................................................................................... 8
12. NO SUPPLANTATION ................................................................................................................................... 8
13. INDEPENDENT CONTRACTOR ................................................................................................................... 8
14. SUBCONTRACTS/ASSIGNMENTS .............................................................................................................. 8
15. CONTINGENCY OF FUNDS .......................................................................................................................... 9
16. BUDGET SCHEDULE ..................................................................................................................................... 9
17. MODIFICATION OF BUDGET SCHEDULE ................................................................................................ 9
18. PAYMENTS BY COUNTY ........................................................................................................................... 10
(a) Monthly Payments .................................................................................................................................... 10
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Co) County Discretion ....................................................................................................................................... 10
(c) Invoices ...................................................................................................................................................... 10
(d) Grant Fund Interest ..................................................................................................................................... 10
19. FISCAL ACCOUNTABILITY ....................................................................................................................... 11
(a) Financial Management System ................................................................................................................... 11
(b) Contractor's Records .................................................................................................................................. 11
(c) Costs Charged ............................................................................................................................................. I 1
20. PROGRAM INCOME .................................................................................................................................... 11
21. PELL GRANTS/I-IEA TITLE IV .................................................................................................................... 12
22. ANNUAL AUDIT .......................................................................................................................................... 12
23. ACCESS AND RECORDS ............................................................................................................................ 12
(a) Access ......................................................................................................................................................... 12
(b) Records Retention ...................................................................................................................................... 13
24. FRAUD ........................................................................................................................................................... 13
25. MODIFICATIONS/CHANGE ORDERS ....................................................................................................... 13
(a) By H&CSD ................................................................................................................................................. 13
Co) By CONTRACTOR ................................................................................................................................... 14
26. PARTICIPANTS ...................................................................................... : ..................................................... 15
(a) Benefits ....................................................................................................................................................... 15
Co) Labor Standards .......................................................................................................................................... 15
(c) Complaint Handling Procedures ................................................................................................................ 15
(d) Nondiscrimination and Compliance Provisions ......................................................................................... 15
27. CONFIDENTIALITY ..................................................................................................................................... 17
28. PROPERTY .................................................................................................................................................... 17
(a) Definitions .................................................................................................................................................. 17
Co) Property Management ................................................................................................................................ ! 7
29. INDEMNIFICATION ..................................................................................................................................... 18
30. INSURANCE .................................................................................................................................................. 18
(a) Qualified Insurer ......................................................................................................................................... 19
(b) Coverage Limits ......................................................................................................................................... 20
(c) Endorsements ............................................................................................................................................. 20
31. PATENT/COPYRIGHT MATERIALS/PROPRIETARY INFRINGEMENTS .................................. 22
32. CORPORATE STATUS ................................................................................................................................. 23
33. STANDARDS OF CONDUCT ...................................................................................................................... 23
(a) General assurance ....................................................................................................................................... 23
(b) Employment of Former State or COUNTY Employees ............................................................................. 23
(c) Conducting Business Involving Relatives .................................................................................................. 23
(d) Conducting Business Involving Close Personal Friends and Associates ................................................... 23
(e) Avoidance of Conflict of Economic Interest .............................................................................................. 24
34. DRUG FREE WORKPLACE ......................................................................................................................... 24
35. DEBARMENT ................................................................................................................................................ 24
36. SECTARIAN ACTIVITIES ........................................................................................................................... 24
37. LITERATURE ................................................................................................................................................ 25
38. LOBBYING .................................................................................................................................................... 25
39. BREACH - SANCTIONS ............................................................................................................................... 25
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40. DISPUTES ...................................................................................................................................................... 26
41. TERMINATION ............................................................................................................................................. 26
42. LIQUIDATED DAMAGES ............................................................................................................................ 27
43. TOTAL AGREEMENT .................................................................................................................................. 27
44. CHILD SUPPORT ENFORCEMENT ........................................................................................................... 28
45. NOTICES ........................................................................................................................................................ 29
SIGNATURES
EXHIBITS
A
B
C
D
E
F
G
H
General Program Requirements
Statement of Work
Performance Standards
Budget Schedule
Drug-Free Workplace Certification
Certification Regarding Lobbying
Disclosure Form to Report Lobbying
Child Support Enforcement Provision (for profit only providers)
WITNESSETH:
WHEREAS, Congress has enacted the "Workforce Investment Act of 1998," hereinafter referred to as "the
Act," to provide workforce investment activities, through statewide and local workforce investment systems, that
increase employment, retention and earnings of participants, and increase occupational skill attainment by
participants, and, as a result, improve the quality of the work force and enhance the productivity and competitiveness
of the Nation, and
WHEREAS, COUNTY, acting as the Administrator of Workforce Investment Act funds, is empowered to
make a portion of the funds available pursuant to the Act (hereinafter referred to as "grant funds") to
CONTRACTOR, for the purpose of implementing the provisions of the Act; and
WHEREAS, COUNTY, by Minute Order dated , a copy of which is on file with the Clerk of
the Board of Supervisors of Orange County and which by this reference is incorporated herein and made a part
hereof as
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if fully set forth, has appropriated a portion of grant funds in the amount of $180,000 to engage CONTRACTOR
to carry out certain program services;
WHEREAS, the Housing and Community Services Department (hereinafter referred to as "H&CSD") orhis
designees shall administer this Agreement as is necessary or reasonable to comply with or implement the grants
received by COUNTY and as required by law or applicable regulations; and
WHEREAS, CONTRACTOR, in order to receive grant funds, is agreeable to the terms and conditions
hereinafter set forth;
NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS:
TERM
1. The effective term of this Agreement shall be from the period beginning May 1, 2003 and ending
December 31,2004 subjecttotheprovisions of Sections 15,39and41 ofthisAgreement. This Agreement shallbe
eligible for extension upon approval by the Board of Supervisors as provided for under the Act and or subsequent
federal and state guidelines. CONTRACTOR agrees that any and all funds received under this Agreement shall be
disbursed or encumbered on or before December 31, 2004, and that any and all funds remaining as of December 31,
2004, which have not been disbursed or encumbered shall be returned by CONTRACTOR to COUNTY. No
expense of CONTRACTOR will be reimbursed by COUNTY if incurred after December 31, 2004. No
CONTRACTOR expenses shall be paid if billing is received by COUNTY after January 5, 2005.
PURPOSE
2. The purpose of the program funded by this Agreement is to provide workforce investment activities to
those seeking employment and to businesses, through local workforce investment systems, that increase
employment, retention, earnings and occupational skill attainment and, by increasing the effectiveness of local and
regional business through economic development activities, job matching, and other services, and, as a result,
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improve the quality of the work force and enhance the productivity and competitiveness of Orange County and the
Nation. CONTRACTOR shall ensure that the program funded hereby shall comply with this purpose.
COMPLIANCE WITH LAW
3. In its performance under this Agreement, CONTRACTOR shall fully comply with the requirements of the
following, whether or not otherwise referred to in this Agreement:
(a) The Act and all applicable federal statutes, regulations, policies, procedures and directives,
including but not limited to, 20 C.F.R. Parts 652 and 660 through 671.
(b) All applicable standards and orders and requirements issued under Section 306 of the Clean Air
Act, Section 508 of the Clean Water Act and Environmental Protection Agency regulations in contracts in excess of
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$100,000.
(c) CONTRACTOR shall comply with such mandatory standards and policies relating to energy
efficiency as particularized in the State Energy Conservation Plan. (Title 20, California Code of Regulations), as
required by the U.S. Energy Policy and Conservation Act (P.L. 94-163) as each may now exist or be hereafter
amended.
(d) All applicable State statutes, regulations, policies, procedures and directives;
(e) All applicable COUNTY policies, procedures and directives;
(f) All applicable local ordinances and requirements, including use permits and licensing;
(g) Court orders applicable to its operation; and
(h) The terms and conditions of this Agreement.
If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with such or will notify
H&CSD after enactment or modification that it cannot so comply. COUNTY may thereupon terminate this
Agreement, if necessary.
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STATEMENT OF WORK
4. This Agreement is based upon the Statement of Work included as Exhibit B to this Agreement.
CONTRACTOR agrees to comply with all provisions, to perform all work, and to provide all services set forth in
this Agreement and the aforementioned Statement of Work in a professional, timely and diligent manner. The
parties hereto agree that concerning matters not specifically contained within the body of this Agreement, the
Statement of Work will be controlling.
SERVICES
$. CONTRACTOR agrees that those specific program components to be performed by CONTRACTOR,
and the service levals to be utilized by COUNTY for program evaluation and monitoring, include, but are not
limited to, those set forth in Exhibits "A", "B" and "C", which are attached hereto and which by this reference are
incorporated herein and made a part hereof as if~lly set forth. To the extent necessary as determined by H&CSD,
such program components and curriculum shall be approved by and comply with the requirements of State Agencies
having jurisdiction. CONTRACTOR agrees that it is responsible £or and guarantees performance of all of the
specific program components and service levels listed in Exhibits "A", "B" and "C". CONTRACTOR further agrees
that lack of compliance with Exhibits "A", "B" or "C" may, in addition to those remedies set forth in Section 39 of
this Agreement, constitute grounds for COUNTY to reduce thc level of payment otherwise provided under Section
18 of this Agreement or to reduce the payment level and budget at which CONTRACTOR will be funded for the
remainder of the period &this Agreement. Any such reduction shall occur only as a result of action of the Orange
County Board of Supervisors.
MODIFICATION OF PROGRAM COMPONENTS AND SERVICE LEVELS
6. The parties hereto agree that those program components and service levels detailed in Exhibits
"A", "B" and "C" may be modified so long as thc total payments under this Agreement arc not increased and the
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basic goals and objectives of the program are not altered. However, any such modification shall not be made
without the prior written approval of H&CSD.
INSTRUCTORS
7. CONTRACTOR assures that all instructors involved in the training of participants are qualified to
instruct in the appropriate program or training component or curriculum. If necessary, such instructors shall be
appropriately certified by the State of California. Within thirty (30) days after the execution of this Agreement,
CONTRACTOR shall submit to H&CSD a list of the names and qualifications of all instructors who will be
providing such training and shall notify H&CSD forthwith of any amendments or revisions thereto.
PERFORMANCE STANDARDS
8. CONTRACTOR shall comply with and adhere to the performance accountability standards and general
program requirements described in Sections 136 (Performance Standards) and 195 (General Program Requirements)
of the Act and applicable regulations and as contained in Exhibit "C".
PLANS AND PROCEDURES
9. CONTRACTOR shall monitor its program for compliance with the provisions of this Agreement.
CONTRACTOR shall also comply with all applicable parts of COUNTY'S WIA Policies and Procedures for
recruitment, intake, assessment and referral, copies of which are available from H&CSD. Said Policies and
Procedures may bc modified by COUNTY upon ten (10) days written notice to CONTRACTOR.
SATISFACTORY WORK
10. Services rendered hereunder are to be performed to the satisfaction of H&CSD. COUNTY'S staff will
interpret all reports and will decide the quality, acceptability and progress of the services rendered hereunder.
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REPORTS
11. CONTRACTOR shall submit such reports, data and information at such times as H&CSD may
require, and in the form H&CSD may require, regarding the performance of CONTRACTOR'S services, or
CONTRACTOR'S activities, costs or other data.
NO SUPPLANTATION
12. Funds provided under this Agreement shall be used only for activities that are in addition to those
that would otherwise be available in the absence of such funds. CONTRACTOR shall not render the same services
under this Agreement to any participant whose cost of servicas is otherwise paid for by any other person or entity.
INDEPENDENT CONTRACTOR
13. CONTRACTOR agrees that the services provided hereunder are rendered in its capacity as an
independent contractor and that it is in no way an agent of COUNTY, nor shall its employees be entitled to any
personnel benefits of COUNTY whatsoever.
SUBCONTRACTS/ASSIGNMENT
14. None of the duties of, or work to be performed by, CONTRACTOR under this Agreement shall be
Sub-contracted or assigned to any agency, consultant, or person without the prior written consent of COUNTY. No
subcontract or assignment shall terminate or alter the legal obligations of CONTRACTOR pursuant to this
Agreement. CONTRACTOR shall insure that all subcontracts for services and contracted staff are procured in a
manner consistent with Federal and local guidelines. Description of the intended method of procurement must be
included as part of the budget which is included as Exhibit D of this Agreement. CONTRACTOR shall itemize all
sub-contractor and contracted staff costs in the budget so it is clear how the funds will be allocated and spent by each
contractor. By entering into this Agreement CONTRACTOR agrees that it is the direct provider of intensive
services. Within 30 days of execution, CONTRACTOR shall submit to H&CSD copies of all sub-contracts for
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services and contracted staff, and other agreements, as well as documentation indicating the approving authority's
approval, that relate to this Agreement.
CONTINGENCY OF FUNDS
15. CONTRACTOR acknowledges that approval of and funding for this Agreement is contingent upon
State approval; receipt of funds fi.om, and obligation of funds by, the State of California to COUNTY; and inclusion
of sufficient funding for the services hereunder in the budget approved by COUNTY'S Board of Supervisors for each
fiscal year covered by this Agreement. If such approval, funding or appropriations are not forthcoming, or are
otherwise limited, COUNTY shall notify CONTRACTOR immediately and in writing. Immediately upon such
notice CONTRACTOR shall modify or cease operations as directed by COUNTY. If COUNTY determines that
modification of CONTRACTOR'S operations hereunder is preferable to cessation of such operations, within twenty
days of said written notice, COUNTY and CONTRACTOR shall negotiate necessary modifications to this
Agreement and/or reimbursement of costs incurred hereunder.
BUDGET SCHEDULE
16. CONTRACTOR agrees that the expenditures of any and all funds under this Agreement will be in
accordance with the BUDGET SCHEDULE, a copy of which is attached hereto as Exhibit "D", and which by this
reference is incorporated herein and made a part hereof as if fully set forth.
MODIFICATION OF BUDGET SCHEDULE
17. The budget schedule consists of the following budget categories: Salmy and Benefits, Operations,
Equipment, Travel, Supportive Services, Consultant/Subcontract, Participant Wages, Employer Reimbursements,
Participant Training Costs, and Profit. Upon written approval of H&CSD, CONTRACTOR shall have the authority
to transfer allocated program funds from one category of the overall program budget to any other category of the
overall program budget, as long as the amount of the total grant is not increased and the basic goals and objectives of
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the program are not altered. No such transfer may be made without the express prior written approval of H&CSD.
A modification of the Budget Schedule may include the addition of any new budget category. Approval of the
Budget Modification by H&CSD includes approval of the new Budget Category,
PAYMENTS BY COUNTY
18. Upon the effective date of this Agreement, COUNTY shall make payments to CONTRACTOR in
accordance with the following payment schedule:
(a) Monthly Payments. Beginning June 1, 2003, upon receipt and approval by H&CSD of
CONTRACTOR'S invoice showing the prior month's actual expenditures, COUNTY shall make monthly
reimbursement payments based on CONTRACTOR'S invoice so long as the total payments under this Agreement do
not exceed $180,000.
0o) County Discretion. At the sole discretion of COUNTY, payments to CONTRACTOR may be made
more frequently than monthly.
(c) Invoices. CONTRACTOR shall provide to H&CSD/SPD monthly invoices by the 20th day
following the month being reported. CONTRACTOR shall submit invoices to H&CSD/SPD. CONTRACTOR'S
invoices shall show the most up to date costs chargeable to the program(s) referenced in this Agreement. If
CONTRACTOR'S expenditures for any program referenced in this Agreement fall below 20% of planned
expenditures for any cumulative period commencing from the beginning of the term of this Agreement,
CONTRACTOR may be subject to a reduction in funding. No payments will be authorized if any preceding month's
reports or invoices are outstanding.
(d) Grant Fund Interest. All interest earned by CONTRACTOR on grant funds must be returned to
COUNTY.
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FISCAL ACCOUNTABILITY
19. (a) Financial Management System. CONTRACTOR shall establish and maintain a sound financial
management system, based upon generally accepted accounting principles. CONTRACTOR'S system shall provide
fiscal control and accounting procedures that will include the following:
(1) Information pertaining to subgrant and contract awards, obligations, unobligated balances,
assets, expenditures, and income;
(2) Effective internal controls to safeguard assets and assure their proper use;
(3) A comparison of actual expenditures with budgeted amounts for each subgrant and contract;
(4) Source documentation to support accounting records; and
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(5) Proper charging of costs and cost allocation.
(b) CONTRACTOR'S Records. CONTRACTOR'S records shall be sufficient to:
(1) Permit preparation of required reports;
(2) Permit the tracing of funds to a level ofexpenditure adequate to establish that funds have not
been used in violation of the applicable restrictions on the use of such funds; and
(3) Permit the tracing of program income, or profits earned, and any costs incurred (such as
stand-in costs) that are othenvise allowable except for funding limitations.
(c) Costs Charged. Costs shall be charged to this Agreement only in accordance with the following:
(1) the Act;
(2) 20 C.F.R. Part 667; and
(3) State implementing legislation.
PROGRAM INCOME
20. COUNTY'S maximum obligation hereunder shall be reduced by the amount of any program income
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earned by CONTRACTOR, from sources other than COUNTY, as a result of this Agreement or the services
provided by CONTRACTOR pursuant to this AGREEMENT.
PELL GRANTS/HEA TITLE IV
21. If CONTRACTOR provides any services under this Agreement to applicants for or recipients of Pall
Grants or awards pursuant to Title IV of the Higher Education Act, CONTRACTOR shall cooperate with H&CSD
in coordinating these grants and awards with WIA funding in accordance with 20 C.F.R. 663.320 and Section 134
(d) of the Act. CONTRACTOR shall inform H&CSD of the amounts and disposition of any Pell Grants, Higher
Education Act Title IV awards and other financial aid granted to each WIA participant under this Agreement.
ANNUAL AUDIT
22. CONTRACTOR shall arrange independently for an audit performed by a Certified Public Accountant
that includes WIA funds received from COUNTY, in accordance with the Act and 20 C.F.R. Section 667.200.
CONTRACTOR shall submit two (2) copies of each required audit report to COUNTY within thirty (30) days after
the date received by CONTRACTOR.
ACCESS, AND RECORDS
23. (a) Access. COUNTY, the State of California and the United States Government and/or their
representatives, shall have access, for purposes of monitoring, auditing, and examining, to CONTRACTOR'S
activities, books, documents and papers (including computer records) and to records of CONTRACTOR'S
subcontractors, consultants, contracted employees, bookkeepers, accountants, employees and participants related to
this Agreement. Such agencies or representatives shall have the right to make excerpts, transcripts and photocopies
of such records and to schedule on-site monitoring at their discretion. Monitoring activities also may include, but
are not limited to, questioning employees and participants and entering any premises or onto any site in which any of
the services or activities funded hereunder are conducted or in which any of the records of CONTRACTOR are kept.
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In the event CONTRACTOR does not make the above-referenced documents available within the County of
Orange, California, CONTRACTOR agrees to pay all necessary and reasonable expenses incurred by COUNTY in
conducting any audit at the location where said records and books of account are maintained.
(b) Records Retention. All accounting records and evidence pertaining to ail costs of CONTRACTOR
and all documents related to this Agreement shall be kept available at CONTRACTOR'S office or place of business
for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which
relate to (1) complaints, claims, administrative proceedings or litigation arising out of the performance of this
Agreement, or (2) costs and expenses of this Agreement to which COUNTY or any other governmental agency takes
exception, shall be retained beyond the three (3) years until final resolution or disposition of such appeals, litigation,
claims, or exceptions.
FRAUD
24. CONTRACTOR shall immediately report all suspected or known instances and facts concerning
possible fraud, abuse or criminal activity under this Agreement, in accordance with Special Programs Division
Policy and Procedure Number 4, which is incorporated herein by reference.
MODIFICATIONS/CHANGE ORDERS
25. (a) ByH&CSD. H&CSDmayatanytime, by written order to CONTRACTOR, make changes within
the general scope of this Agreement, in the definition of services and tasks to be performed, the manner in which
services are performed, the time and place of performance thereof and additional related provisions. Such change
orders may be made when necessitated by changes in the Orange County One-Stop System operations or
performance, the operations or performance of CONTRACTOR, or changes in applicable statutes, regulations or
State of California or federal mandates or directives. CONTRACTOR shall be notified by COUNTY in advance of
such change orders and CONTRACTOR may submit a program or budget modification request in response to
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change orders which significantly alter CONTRACTOR'--(S) Statement of Work. Within parameters specified by
COUNTY's Board of Supervisors, the Director of H&CSD or designee may execute amendments to this
Agreement modifying CONTRACTOR's services in amounts that do not collectively increase or decrease by more
than 10% the price of said services under this Agreement when originally executed. Modifications in excess of
10% of the original Agreement price, and modifications that materially alter either the parties' obligations hereunder
must be approved by the COUNTY'S Board of Supervisors.
CONTRACTOR and COUNTY shall make a good faith effort to reach an agreement with respect to change
orders, which affect the price of services under the Agreement. CONTRACTOR'S protest or failure to agree to the
amount of any adjustment to be made as a result ora change order shall be a dispute for which an appeal may be
made pursuant to Section 40 of this Agreement. Notwithstanding the foregoing, the price of services under this
Agreement shall not be increased except by written modification of this Agreement indicating the new services and
price of this Agreement if applicable. Until the parties reach agreement, CONTRACTOR shall not be obligated to
assume increased performance under the change order beyond the limitation of funds established within this
Agreement.
(b) By CONTRACTOR. CONTRACTOR may request changes in the scope of performance or services
under this Agreement, by submitting a written request to H&CSD describing the request and its impact on
CONTRACTOR'(S)-- Proposal, Statement of Work and budget schedule. H&CSD will review the request and
respond within ten (10) work-days. Requests shall be reviewed in light of all Special Programs Division program
activities. H&CSD'S decision whether to approve the request or request Board of Supervisors' approval shall be
final. The Director of H&CSD may approve a request that meets all of the following criteria:
(i) The request does not increase or decrease the total amount of the funds allocated for the
individual programs affected by 10% from the amount specified in Exhibit D of this
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Agreement, when it was originally executed;
(ii) It does not materially change other terms of this Agreement, and
(iii) It is supported by adequate consideration to COUNTY.
Board of Supervisors' action is necessary to approve a request from CONTRACTOR that does not satisfy all of the
criteria listed above.
PARTICIPANTS
26. (a) Benefits. CONTRACTOR shall provide wages and benefits to individuals who participate in
the activities and services funded by this Agreement ("participants") in accordance with the standards and
requirements of the Act, including Section 181 of the Act.
(b) Labor Standards. CONTRACTOR shall adhere to the Labor Standards described in the Act,
including Section 181 of the Act.
(c) Complaint Handling Procedures. CONTRACTOR shall comply with the "Complaint Handling
Procedures" under the WIA Act, a copy of which is available from H&CSD. CONTRACTOR shall advise
participants of their rights to file complaints under the Act and of the procedures for resolution of any complaints.
CONTRACTOR shall follow COUNTY'S procedures for handling complaints alleging a violation of the Act,
regulations, grants or other agreements under the Act, and any decision of the COUNTY, the State or the Federal
government relating to the complaint shall be binding on and shall be followed by CONTRACTOR.
CONTRACTORS shall operate a grievance system that incorporates the COUNTY'S procedures for resolution of
complaints relating to the terms and conditions of employment; these procedures shall be approved in writing by
H&CSD.
(d) Nondiscrimination and Compliance Provisions
(1) As a condition of this award of financial assistance under the Act to CONTRACTOR from
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COUNTY, CONTRACTOR assures, with respect to operation of all programs or activities funded with funds
provided pursuant to the Act, and all agreements or arrangements to carry out such programs or activities, that it
will comply fully with the nondiscrimination and equal opporturdty provisions of the Act (Section 188); the
Nontraditional Employment for Women Act of 1991; Title VI 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 Americans
with Disabilities Act of 1990; Title IX of the Education Amendments of 1972, as amended; and with all applicable
requirements imposed by or pursuant to regulations implementing those laws, including, but not limited to, 29
C.F.R. part 37. The United States, the State of California and COUNTY have the right to seek judicial enforcement
of this assurance.
(2) CONTRACTOR will comply with the provisions of the Fair Employment and Housing Act
(California Government Code, Section 12900 et seq.) and the regulations promulgated thereunder (California Code
of Regulations, Title 2, Section 7285.0 et seq.). The applicable regulations of the Fair Employment and Housing
Commission implementing Government Code Section 12990 (a-f), set forth in Chapter 5 of Division 4 of Title 2 of
the California Code of Regulations are incorporated into this Agreement by reference and made a part hercofas if set
forth in full.
(3) During the performance of this Agreement, CONTRACTOR and its subcontractors will not
deny the Agreement's benefits to any person on the basis of race, ancestry, national origin, religion, color, ethnic
group identification, sex, age, physical or mental disability (including HIV and AIDS), medical condition (cancer),
marital status, nor will they unlawfully discriminate, harass or allow harassment against any employee or applicant
for employment because of race, ancestry, religion, color, ethnic group identification, national origin, ancestry,
mental or physical disability (including HIV and AIDS), medical condition (cancer), marital status, age (over 40),
sex, denial of family care leave, or political affiliation or belief. CONTRACTOR will insure that the evaluation and
treatment of employees and applicants for employment are free from such discrimination and harassment.
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(4) CONTRACTOR will include the non-discrimination and compliance provisions ofthis Section
of the Agreement in all subcontracts to perform work under this Agreement.
(5) CONTRACTOR will give written notice ofits obligations under this Section ofthe Agreement
to labor organizations with which CONTRACTOR has a collective bargaining or other agreement.
CONFIDENTIALITY
27. Without prejudice to any other section of this Agreement, CONTRACTOR shall, where applicable,
maintain the confidential nature of information provided to it concerning participants in accordance with the
requirements of federal and State law. However, CONTRACTOR shall submit to COUNTY, the State of California
and/or the United States government or their representatives, all records requested for administrative purposes,
including audit, examinations, monitoring and verification of reports submitted by CONTRACTOR, costs incurred
and services rendered hereunder.
PROPERTY
28. (a) Definitions
1. "Real Property" is land, including land improvements, structures, and appurtenances thereto,
excluding movable machinery and equipment.
2. Equipment:
a. For purchase before July 1, 1993, "equipment" is tangible non-expendable personal
property having an acquisition cost of $1,000 or more per unit.
b. For purchases on or al%r July 1, 1993, "equipment" is tangible, non-expendable
personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit.
(b) Propert3' Management CONTRACTOR shall budget, manage and maintain an inventory of
property in accordance with H&CSD Special Programs Division Property Management and Inventory System Policy
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and Procedure No. 1, which is incorporated herein by reference and is available at the offices of H&CSD.
Notwithstanding the provisions of Section 23, CONTRACTOR shall retain records pertaining to all equipment or
property described above, and to costs incurred with respect thereto, for a period of three (3) years al~er final
disposition of such property. Cost of equipment includes all taxes, shipping, handling and installation costs. Upon
termination of this Agreement, CONTRACTOR shall immediately remm all equipment, finished or unfinished
documents, photographs, data, studies and reports or unused supplies prepared or purchased by CONTRACTOR
under this Agreement to COUNTY or its representative, or dispose of them in accordance with directions from the
COUNTY.
INDEMNIFICATION
29. CONTRACTOR agrees to indemnify, defend with counsel approved in writing by COUNTY, and hold
COUNTY, its 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 INDEIvINITEES") 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 CONTRACT. If judgment is entered against CONTRACTOR and COUNTY by a court of
competent jurisdiction because of the concurrent active negligence of COUNTY or COUNTY INDEMNITEES,
CONTRACTOR and COUNTY agree that liability will be apportioned as determined by the court. Neither party
shall request a jury apportionment.
INSURANCE
30. Prior to the provision of services under this contract, the contractor agrees to purchase all required
insurance at contractor's expense and to deposit with the County Certificates of Insurance, including all
endorsements required herein, necessary to satisfy the County that the insurance provisions of this contract have
18
been complied with and to keep such insurance coverage and the certificates therefore on deposit with the County
during the entire term of this contract. In addition, all subcontractors performing work on behalf of contractor
pursuant to this contract shall obtain insurance subject to the same terms and conditions as set forth herein for
contractor.
All insurance policies required by this contract shall declare any deductible or self-insured retention (SIR) in an amount
in excess of $25,000 ($5,000 for automobile liability), which shall specifically be approved by the County Executive Office
(CEO)/Office of Risk Management. Contractor shall be responsible for reimbursement of any deductible to the insurer. Any
self-insured retentions (SIRs) or deductibles shall be clearly stated on the Certificate of Insurance.
If Contractor is a governmental entity, Contractor may elect to self-insure for the insurance coverage required
by this Agreement.
(a) Qualified Insurer. The Contractor shall maintain insurance acceptable to the County of Orange in full force
and effect throughout the term of this Agreement. If the Contractor fails to maintain insurance acceptable to the
County for the full term of this Agreement, the County may terminate this Agreement. The policy or policies
of insurance must be issued by an insurer licensed to do business in the State of California (California
Admitted Carder).
Minimum insurance company ratings as determined by the most current edition of the Best's Key Rating
Guide/Property-Casualty/United States shall be A- (Secure Best's Rating) and VIII (Financial Size Category).
Contractor will file with the County of Orange, prior to the commencement of performance of services under
this Agreement, an original Certificate c ['Insurance and all required endorsements evidencing that coverage
required by this Agreement is in effect.
If the cartier is a non-admitted carder in the State of California, County Executive Office/Office of Risk
Management retains the fight to approve or reject carder after a review of the company's performance and
19
Contract/93283
REV 08/25/03
financial ratings.
Co) Coverage Limits. The policy or policies of insurance maintained by the Contractor shall provide the
minimum limits and coverage as set forth herein below_.'
Coverage
Commercial General Liability to
include a Broad Form Property Damage
Endorsement and Contractual Liability
Automobile Liability including all owned
non-owned and hired vehicles
Workers' Compensation
Employer's Liability
Professional Liability
Minimum Limits
$1,000,000 combined single limit
per occurrence
$2,000,000 Aggregate
$1,000,000 combined single limit
per occun'ence
Statutory
$1,000,000peroccurrence
$1,000,000 per claims made
(c) Endorsements. Each insurance policy required by this Agreement shall be endorsed to contain the
following provisions:
· This insurance shall not be changed, canceled, limited in scope of coverage or non-renewed until after 30
days written notice has been given to County of Orange/Housing and Community Services
Department/Special Programs Division, 1300 S. Grand, Bldg. B, Santa Ana, CA 92705.
· If a 30 day notice of cancellation endorsement is not received, the cancellation clause must include
language as follows which edits the pre-printed ACORD certificate:
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE
EXPIRATION DATE THEREOF, THE ISSUING COMPANY WILL MAIL 30 DAYS WRITTEN
NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT.
2O
Conlract/93283
REV 08/25/03
· All rights of subrogation are hereby waived against the State of California, its elective and appointed
officials, officers and employees, County of Orange, its elective and appointed officials, officers and
employees, and the OCWIB when acting within the scope of their employment or appointment, and County
and their Board or Commissions which are governed by the County Board of Supervisors. (Endorsement
must be attached to Certificate of Insurance).
· The County of Orange and State of California shall be added as an additional insured on all insurance
policies required by this contract with respect to work done by the contractor under the terms of this contract
(except Workers' Compensation/Employers' Liability and Professional Liability). An additional insured
endorsement evidencing that the County of Orange is an additional insured shall accompany the Certificate
t
of Insurance.
· It is agreed that any insurance maintained by the State of California and the County of Orange will apply in
excess of, and not contribute with, insurance provided by this policy. (Endorsement must be attached to
Certificate of Insurance for the General Liability policy).
· Any losses shall be payable notwithstanding any act or failure or negligence of the State of Califomia and the
County of Orange, or any other person.
· Commercial General Liability policy shall contain a severability of interests clause.
· Contractor agrees to maintain Professional Liability Insurance, as appropriate, for a period of two years
following completion of this Agreement.
The County shall retain the right at any time to review the coverage, form and amount of the
insurance required hereby. If, in the opinion of the County, the insurance provisions in this
Agreement do not provide adequate protection for County, County may require Contractor to obtain
Contract/x)3283
REV 08/25/1)3
21
insurance sufficiem in coverage, form, and mount to provide adequate protection. County's
requirements shall be reasonable and shall be designed to assure protection from and against the kind
and extent of risks which exist at the time a change in insurance is required.
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 default without further notice to Contractor, and County shall be entitled to all legal remedies.
The procuring of such required policy or policies of insurance shall not be construed to limit
Contractor's liability hereunder nor to fulfill the indemnification provisions and requirements of this
Agreement.
Required insurance information/documentation should be forwarded to:
Orange County Workforee Investment Board
1300 South Grand, Building B
Santa Arm, CA 92705
Attention: Contracts & Procurement
PATENT/COPYRIGHT MATERIALS/PROPRIETARY INFORMATION
31. CONTRACTOR agrees to grant the COUNTY, Federal and State governments a royalty-free,
nonexclnsive and irrevocable license to publish, copy, translate or use, now and hereafter, all materials, data,
films, tapes, etc., developed under this AGREEMENT. The COUNTY, Federal, and State governments reserve
the right to authorize others to use or reproduce such materials. Further, the COUNTY, Federal, and State
governments shall have access to any report, preliminary findings or data assembled by CONTRACTOR under
this AGREEMENT and shall retain ownership and patent rights to any discovery or invention under this
AGREEMENT, as provided in 29 CFR 97.34 and 97.36(i)(8&9).
Coranac~193283
REV 08/25/03
22
CORPORATE STATUS
32. AIl corporate CONTRACTORS shall be registered with the California Secretary of State and shall be in
good standing, without suspension by the California Secretary of State, Franchise Tax Board, or Internal Revenue
Service. Any change in corporate status or suspension shall be reported immediately to H&CSD.
STANDARDS OF CONDUCT
33. (a) GeneralAssurance. EveryreasonablecourseofactionwillbetakenbyCONTRACTORinorderto
maintain the integrity of this expenditure of public funds and to avoid favoritism and questionable or improper
conduct. This Agreement will be administered in an impartial manner, free from efforts to gain personal, financial
or political gain. CONTRACTOR, its officers and employees, in administering this Agreement, will avoid
situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or
desire for personal gain.
(b) Employment of Former State or COUNTY Employees. CONTRACTOR will ensure that any of
its employees who were formerly employed by the State of California or COUNTY, in a position that could have
enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will
not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less
than two years following the termination of such employment.
(c) Conducting Business Involving Relatives. No relative by blood, adoption or marriage of any
executive or employee of CONTRACTOR will receive favorable treatment when considered for enrollment in
programs provided by, or employment with, CONTRACTOR.
(d) Conducting Business Involving Close Personal Friends and Associates. Executives and employees
of CONTRACTOR will be particularly aware of the varying degrees of influence that can be exerted by personal
friends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which
23
give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public
interest for CONTRACTOR to conduct business with a friend or associate of an executive or employee of
CONTRACTOR, an elected official in the area or a voting or non-voting member of the Workforce Investment
Board (WIB), a permanent record of the transaction will be retained.
(e) Avoidance of Conflict of Economic Interest. No executive or employee of CONTRACTOR, elected
official in the area, or voting or non-voting member of a WIB, will solicit or accept money or any other
consideration from a third person, for the performance of an act reimbursed in whole or part by CONTRACTOR or
COUNTY. Supplies, materials, equipment or services purchased with Agreement funds will be used solely for
purposes allowed under this Agreement. No voting member of the WIB will cast a vote on the provision of services
by that member (or any organization which that member represents) or vote on any matter which would provide
direct financial benefit to that member or any business or organization which the member directly represents.
DRUG FREE WORKPLACE
34. CONTRACTOR shall execute and abide by the Drug Free Workplace Certification attached hereto as
Exhibit E and incorporated berein by this reference.
DEBARMENT
35. CONTRACTOR certifies that it is not debarred or suspended or otherwise excluded from or ineligible
for participation in Federal/State assistance programs in accordance with 29 C.F.R. Part 98.
SECTARIAN ACTIVITIES
36. CONTRACTOR certifies that this Agreement does not provide for the advancement or aid to any
religious sect, church or creed, or sectarian purpose nor does it help to support or sustain any school, college,
university, hospital or other institution con~'olled by any religious creed, church, or sectarian denomination
whatever, as specified by A~iclc XVI, Section 5, of the California Constitution, regarding separation of church and
24
state.
LITERATURE
37. Any ~iterature dist~buted by C~NTRACT~R f~r the purp~se ~f apprising businesses~ participants~ ~r
the general public of its programs under this Agreement shall state that its programs are supported by the County of
Orange and the Orange County Workforce Investment Board, and shall state that the program is an "equal
oppommity employer/program" and that "auxiliary aids and services are available upon request to individuals with
disabilities."
LOBBYING
38. CONTRACTOR shall execute and abide by the terms ofthe "Certification Regarding Lobbying," which
is attached hereto as Exhibit "F" and incorporated herein by this reference. CONTRACTOR shall complete and
immediately forward to H&CSD the "Disclosure Form to Report Lobbying," a copy of which is attached hereto as
Exhibit "G", if CONTRACTOR, or any person, firm or corporation acting on CONTRACTOR'S behalf, engaged or
engages in lobbying any federal officer, employee, elected official or agency with respect to this Agreement or the
funds to be received by CONTRACTOR pursuant to this Agreement.
BREACH - SANCTIONS
39. If, through any cause, CONTRACTOR violates any of the terms and conditions oftitis Agreement, or
any prior Agreements whereby grant funds were received by CONTRACTOR, or if CONTRACTOR reports
inaccurately, or if an audit report makes disallowances, CONTRACTOR shall promptly remedy its acts or omissions
and/or repay COUNTY all amounts due COUNTY as a result thereof. For any such failures or violations COUNTY
shall also have the right, at its sole discretion, to: (1) immediately discontinue program support until such time as
CONTRACTOR fulfills its obligations or remedies all violations of this Agreement or prior Agreements; and/or (2)
collect outstanding amounts, as determined by H&CSD to be due COUNTY from CONTRACTOR, by offsetting or
debiting from current claims or invoices, if after thirty (30) days written notice CONTRACTOR has failed to repay
25
Contracff93283
same or a repayment schedule has not been made; and/or (3) terminate this Agreement in accordance with Section
40 herein.
DISPUTES
40. Except as othem-ise provided in this Agreement, any dispute concerning any question arising under
this Agreement shall be decided by H&CSD In such a case, H&CSD shall reduce its decision to writing and mail or
otherwise furnish a copy thereof to CONTRACTOR. The decision of H&CSD shall be final and conclusive unless
within thirty (30) calendar days from the mailing or delivery of such copy, H&CSD receives from CONTRACTOR a
written request to appeal said decision. Pending final decision of the appeal, CONTRACTOR shall act in
accordance with the written decision of H&CSD.
The handling of non-criminal complaints, including discrimination complaints, and complaints and reports of
criminal fraud, waste and abuse shall be as prescribed by the COUNTY, and/or the State of California, and/or the
Department of Labor, whichever is/are applicable, in accordance with applicable provisions of the Code of Federal
Regulations.
TERMINATION
41. COUNTY may terminate this Agreement, with or without cause upon thirty (30) days written notice
served upon the other party. Notice shall be deemed served on the date of mailing.
Upon termination, or notice thereof, CONTRACTOR agrees to cooperate with COUNTY in the orderly
transfer of service responsibilities, active case records, and pertinent documents.
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,
COUNTY shall provide CONTRACTOR with written notification of such determination. CONTRACTOR shall
Contract/93283
REV 08/?J/03
26
immediately comply with COUNTY'(S) decision.
LIQUIDATED DAMAGES
42. It is agreed by and between the Contractor and the County that if this Agreement is not fully and
completely performed within the terms of the Agreement damage will be sustained by the County. Said damage
includes any additional costs resulting from a delay in scheduled time frames by the Contractor. Since it is and will
be impractical and extremely difficult to determine the actual damage which the County will sustain by reason of
such delay, it is therefore agreed that Contractor will pay to the County liquidated damages in a set amount for each
and every day of delay as set forth in this document. Liquidated damages shall be assessed as 1/260 of the contract
amount per day.
In the event the liquidated damages as set forth herein are not paid by the Contractor, the County will deduct the
amount of liquidated damages from any monies due Contractor under this Agreement.
This provision may be invoked at the sole option of the County by notification to the Contractor by certified return
receipt mail.
If the Agreement is delayed by reason of changes or extra services ordered by the County or as a result of the
County's failure to perform or delays caused by the County, the time of performance of this Agreement will be
extended commensurate with the time required for the extra services, and no liquidated damages will accrue during
the period of such extension.
TOTAL AGREEMENT
43. This Agreement, together with the attachments hereto, expresses the total understanding o£the parties.
There are no oral understandings of the parties or terms and conditions other than as are stated herein.
CONTRACTOR acknowledges that it has read and agrees to all terms and conditions included in this
AGREEMENT.
27
CHILD SUPPORT ENFORCEMENT
44. In order to comply with child support enforcement requirements ofthe County of Orange, within 30 days
of award of contract, CONTRACTOR must furnish to H&CSD:
(a) The name, date of birth, Social Security number, and residence address of each individual who owns an
interest in 10 percent or more in CONTRACTOR, and a certification that CONTRACTOR has fully complied with
all applicable federal and state reporting requirements regarding its employees; and
(b) A certification that CONTRACTOR has fully complied with all lawfully served Wage and Earnings
Assignment Orders and Notices of Assignment and will continue to so comply.
(c) The certification will be stated as follows:
'7 certify that is in full compliance with all applicable federal and state reporting
requirements regarding its employees and with all lawfully served Wage and Earnings ~lssignment Orders
and Notices of . dssignments and will continue to be in compliance throughout the term of any contract issued
pursuant to this Request for Proposal process with the County of Orange. I understand that failure to
comply shall constitute a material breach of this Agreement and that failure to cure such breach within 60
calendar days of notice from the County shall constitute grounds for termination of the Agreement.
It is expressly understood that this data will be transmitted to governmental agencies charged with the
establishment and enforcement of child support orders and for no other purposes and will be held confidential by
those agencies.
Failure of CONTRACTOR to timely submit the data and/or certifications required above or to comply with all
federal and state reporting requirements for child support enforcement or to comply with all lawfully served Wage
and Earnings Assignment Orders and Notices of Assignment shall constitute a material breach of this Agreement.
Failure to cure such breach within sixty (60) days of notice from COUNTY shall constitute grounds for termination
of this Agreement.
28
NOTICES
45. All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in
writing and deposited in the United States Mail, postage prepaid, addressed as follows:
COUNTY:
Housing and Community Services Department
Special Programs Division
1300 South Grand Avenue
Building "B"
Santa Aha, California 92705
and
CONTRACTOR:
City of Santa Aha W/O/R/K Center
1000 E. Santa Aha Blvd., #200
Santa Ana, CA 92701
Contrnct/93283
REV 08/25/03
29
IN WITNESS WHEREOF, the parties hereto certify that they have read and understand all the terms and
conditions contained herein and have duly authorized and caused this Agreement to be executed as of the date stated
below written.
"COUNTY OF ORANGE a political
Subdivision of the State of
California"
Dated: By
Title Chair, Board of Supervisors
"CONTRACTOR"
CITY OF SANTA ANA
Dated: By See Attached Signature Page
Title
Dated: By
Title
APPROVED AS TO FORM:
County Counsel
Karen Prather, Deputy
CHAIR OF THE BOARD
Darlene J. Bloom
Clerk of the Board of Supervisors of
Orange County, California
Dated:
Contract/93283. SANTA ANA
REV 04/14/03
30
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first
above written.
ATTEST:
Patricia E. Healy
Clerk of the Council
APPROVED AS TO FORM:
Joseph W. Fletcher, City Attorney
By: Lisa E. Storck
Assistant City Attorney
RECOMMENDED FOR APPROVAL:
CITY OF SANTA ANA, a municipal
corporation of the State of California
David N. Ream
City Manager
John/P/l~eekstin, Executive Director
Community Development Agency
LIST OF EXHIBITS
EXHIBIT A
EXHIBIT B
EXHIBIT C
EXHIBIT D
EXHIBIT E
EXHIBIT F
EXHIBIT G
EXHIBIT H
EXHIBIT I
EXHIBIT J
GENERAL PROGRAM REQUIREMENTS
STATEMENT OF WORK
PERFORMANCE STANDARDS
BUDGET SCHEDULE
DRUG FREE
SUSPENSION & DEBARMENT
LOBBY CERTIFICATE
DISCLOSURE
CHILD SUPPORT ENFORCEMENT PROVISION
(FOR PROFIT PROVIDERS ONLY)
EDD INDEPENDENT CONTRACTOR REPORTING REQUIREMENTS
Contractt93283
REV 08/25/03
31
Contractor:
GENERAL PROGRAM REQUIREMENTS
City of Santa Ana
("Cont,'actor" is hereinafter referred to as "Partner")
EXHIBIT A
1. Project Summary
These General Program Requirements have been designed to provide the
framework wherein the One-Stop Partner will provide or will coordinate the
provision of the Orange County Telecommunications Project for the
Orange County One-Stop System.
Partner agrees to comply, remain informed, and deliver services
consistent with the provisions of WIA, Orange County Workforce
Investment Board (OCWIB) Policy, Orange County Workforce Investment
Area's Strategic Five-Year Plan, the California Education Code, the
Rehabilitation Act, negotiated Memoranda of Understanding, Title V of the
Older Americans Act, federal and state governance documents and/or any
other appropriate statutes or requirements, related to the services
provided in this Agreement.
C. Where local policy has not been set, Partner agrees to adhere to state or
federal policy as appropriate.
D. Governance References
1. Workforoe Investment Act
a. Workforce Investment Act of 1998
b. Department of Labor, Employment and Training Administration, 20
CFR Part 652 et al. - Workforce Investment Act; Final Rules. The
Regulations define the One-Stop Delivery System as:
A system under which entities responsible for administering
separate workforce investment, education, and other human
resource program and funding streams (referred to as One-
Stop partners) collaborate to create a seamless system of
service delivery that will enhance access to the programs'
services and improve long-term employment outcomes for
individuals receiving assistance.
(20 CFR, PART 652, ~662.100)
c. Information Bulletins, Directives and any other federal and state
guidance documents pertaining to WIA.
d. Actions, directives, and policy and procedures issued by the
Orange County Workforce Investment Board or staff relevant to this
Telecommunications Project, specifically MIS Policies and
Procedures, Monitoring Guide and Procedure, Audit Requirements
Policy and Procedure and Selective Service Policy and Procedure.
2. Orange County One-Stop System
Partner agrees to partner with and to provide access to services provided by the
mandated WIA One-Stop Partners as described in the Act as well as any
additional partners identified by the OCWIB or the Orange County Board of
Supervisors.
3. One-Stop Principles
Operator agrees to integrate to the fullest extent possible, the following principles
into the delivery of services:
A. Streamline services through an integration of multiple programs, including
Wagner-Peyser and WIA, at the service level through One-Stop service
centers;
B. Empower individuals with information and resources they need to manage
their own careers;
C. Employer Services that recognize business as a customer as well as a
source for jobs leading to meaningful employment.
D. Universal access for all job seekers to a core set of career decision-making
and job search tools;
E. Increase accountability of the delivery system to achieve improved results
regarding skill gains, credentials earned, job placement rates, earnings and
retention in employment;
F. Improve youth programs to provide a strong connection for both boys and
girls between academic and occupational learning and other youth
development activities;
G. State and local flexibility to ensure that delivery systems are responsive to
the needs of individual communities; and
Strong role for local boards and the private sector to impact the design and operation
of delivery systems.
EXHIBIT B
STATEMENT OF WORK
Orange County Telecommunications Project
Specialized Center Partner: City of Santa Aha
("Contractor" is hereinafter referred to as "Partner")
I. General Description
The Orange County Telecommunications Project is a partnership between the Anaheim,
Orange County, and Santa Ana Workfome Investment Boards established to provide a
regional approach to the delivery of core, intensive and training services to workers
dislocated from telecommunication employers throughout Orange County.
These services are made available under the Governor's 25% Discretionary Funds for
workers who have been terminated, laid off, long-term unemployed, or received a notice
of termination or layoff from the telecommunications industry, Dislocated worker
services include recruitment, eligibility documentation, client assessment, case
management, vocational training, career center support, job search assistance, and job
placement.
II. EliRibility
The Orange County Telecommunications Project is available for those who have been
laid off due to a substantial layoff in the telecommunication industry. A substantial layoff
is defined as one which 50 or more employees in a 30-day period regardless of
percentage of work have been laid off from the company OR any event that results in
the temporary or permanent reduction in the workforce by 20% of employees either by
department or total company, but not necessarily resulting in permanent closure.
The Orange County Workforce Investment Board (OCWIB) has a list of employers that
are classified as a telecommunications company. If the Partner would like to verify
eligibility for an employer that is not on the list provided by the OCWlB, a request via e-
mail with verification that the company is linked to the telecommunications industry can
be submitted to be added to the employer list.
III. Services
Services shall be provided in a prompt and courteous manner; shall be provided in a
professional environment with the appropriate tools to achieve the desired results, shall
encourage customer choice among program options, shall be responsive to the culture
and language of customers.
it is important to ensure that all clients receive the highest quality of services through
core and intensive services. The project Partner will concentrate on the placement of
clients into employment out of core and intensive services. This project requires that
career transition workshops ara a mandatory service for all eligible clients.
Partner will make available services that will include, at a minimum those listed below:
Core Services
· Career Transition Workshops, including but not limited to, resume writing,
interviewing skills, networking, and job search skills.
· Determination of individual eligibility for services;
· Outreach, intake (including worker profiling) and orientation to the information and
other services available through the one-stop delivery system;
· Initial assessment of skill levels, aptitudes, abilities, and supportive service needs;
· Job search and placement assistance, and career counseling, where appropriate;
· Provision of employment statistics and labor market information such as job vacancy
listings, job skills necessary to obtain jobs, local demand occupations, and
job/demand occupation earnings information;
· Provision of performance information and program cost information on eligible
providers of training services;
· Provision of information regarding local area performance pursuant to the local
performance measures;
· Provision of information relating to the availability of supportive services in the local
area;
· Provision of information regarding the filing of claims for unemployment
compensation;
· Follow-up services, including counseling regarding the workplace, for WlA
participants who are placed in unsubsidized employment for not less than 12 months
after the first day of the employment; and
· Any other core services as determined by new legislation or policy by the OCWlB,
and consistent with Partner's overall service delivery strategy and policies.
Intensive Services
· Comprehensive and specialized assessments of client skill levels;
· Development of an individual employment plan to identify the employment goals,
achievement objectives, and combinations of services;
· Group and individual counseling and career planning;
· Case management for individuals enrolled in training;
· Prevocational services, including development of learning skills, communication
skills, interviewing skills, punctuality, personal maintenance skills, and professional
conduct, to prepare individuals for unsubsidized employment or training; and
· Any other intensive services as determined by new legislation or policy by the
OCWiB, and consistent with Partner's overall service delivery strategy and policies.
Trainin.q Services
· Trainingservicesintheprojectarenottoexceedtheenddateofthisproject.
· Occupational skills training, including training for nontraditional employment;
· Training programs operated by the private sector;
· Skill upgrading and retraining;
· Job readiness training;
· Other training services as determined by new legislation, Or policy by the OCWIB,
and consistent with Partner's overall service delivery strategy and policies.
IV. Performance Outcomes
Partner agrees to the performance outcomes listed below:
Serve and exit 40 participants through the One-Stop Center.
Meet an Entered Employment Rate of 75%.
Meet an Employment Retention Rate of 81%
Meet an Earnings Replacement Rate of 85%
Meet an Employment and Credential Attainment Rate of 40%.
V. MIS Submission/Reporting
Partner shall adhere to MIS reporting requirements (Information Notice No. 01-OCWDA-
39) including the completion of appropriate forms and provide other program information
related to program performance as required. Partner shall submit timely MIS paperwork
to the Administrative Office of the OCWlB for input into the JTA system. MIS paperwork
and accompanying Transmittal Form shall be submitted within seven (7) days of the
activity recorded. All paperwork must be legible and complete or it will be returned to
Partner. No faxed or e-mailed paperwork will be accepted. Manager's (or designee)
review and approval is mandatory on the OCWIB Transmittal Form. The approval
signifies that the documents have been reviewed and are completed correctly.
Updates/Correction shall be submitted using the print screen from the JTA system,
making necessary corrections or updates on the printed form. All updates and
corrections must be done in red ink. Re-submitted paperwork to OCWIB MIS must be
accompanied by the Transmittal Form and Manager's initials must be present.
All forms will be returned to the Manager. All returned forms requiring
corrections/updates must be resubmitted along with the original transmittal within five
(5) days of receipt. OCWlB MIS will use purple ink to identify corrections required and
green ink when data entry has been completed.
TIMELINES FOR SUBMISSION OF DATA FOR REPORTS TO THE MIS UNIT
State Report: Due on the 20th of each month to the State (if the 20th falls on a
weekend/holiday the report must be submitted on the prior business day). MIS forms
must be submitted to the OCWIB MIS unit five (5) business days prior to the monthly
due date of the 20th to be guaranteed to be included in the State report.
OCWIB Committee Reports: Performance and Accountability Committee meets the 2nd
Thursday of the month. MIS forms must be submitted seven (7) business days pdor to
the meeting to be included in the report. ,
WIA Base Wage Report: Partner shall provide supplemental data for "exiters" not found
in the UI Base Wage File. This information is due to the State thirty (30) days from the
date the base wage information is released from the State to the OCWlB MIS Unit.
Partner shall be responsible for submitting all supplemental data within seven (7)
business days of the report being mailed to the Agency. Supplemental data is required
to be collected when the client secures employment.
Partner shall be responsible for analyzing MIS reports to verify data and contract
performance compliance.
VI. Reporting
Partner agrees to report on the status of the Telecommunications project.
VII. Operations
Partner agrees to work with One-stops and Partner Agencies to jointly develop and
thereafter to review and modify when appropriate processes and procedures acceptable
to each other, including but not limited to orientation, customer flow, and the provision of
core, intensive and training services, which meet the goals of the One-Stop System.
Partner agrees to cross-train or cause to be cross-trained their respective staff on the
core and intensive services of each Partner Agency.
Partner and Partner Agencies, as appropriate, shall mutually determine the necessity of
and number of site visits, field trips, and joint training exercises for staff conducting
referrals.
To enhance cross referral among the partners, Partner will:
· Agree to familiarize themselves with the requirements for participation in the
programs operated with the various funding streams available to each of the One-
Stop Partners.
· To the extent possible, agree to develop an electronic summary of their program
requirement that can be accessed by all Partner Agency's in the One-Stop.
· Agree to use common intake forms when developed and to the extent possible.
· Agree to refer clients eligible for Partner Agency programs to the One-Stop Partners
for services, and to share information supplied by referred clients.
Villi. Service and System Operating Cost
Partner will establish and maintain a budget consistent with the requirements and policy
of the OCWIA and appropriate funding stream governance entities.
IX. Internal Monitoring
Partner is responsible for on-going internal monitoring of the Telecommunications
project funded under this Agreement to ensure compliance with legislation, regulations,
bulletins and directives. Internal monitoring procedures must be in writing. Results of
internal monitoring must be in writing and must be available to OCWIB staff, upon
request. Internal monitoring will include, but is not limited to the following:
· Review of all files to determine that eligibility criteria have been met.
· Random file review for IEP updates, case note documentation, attendance
verification, placement verification, supportive service documentation and
delivery, and post-placement follow-up, and delivery, and post placement
follow-up.
· Verification of customer's attendance, performance and employment
information.
Partner will address any problems or issues that surface during an internal monitoring
quickly and appropriately.
IX, Day-to-day operations
Partner will be responsible to train new staff in all program rules, regulations, policies,
and procedures including but not limited to eligibility, MIS, orientations, rapid response,
and completion of required forms and reports.
X. Accessing and Sharing Data
Partner understands WIA emphasizes technology as a critical tool in making possible all
aspects of information exchange including: reporting, MIS, data collection, referral
services, common case management, client as well as service tracking, and seamless
service provision, and will make every effort to fully integrate technology into the One-
Stop System.
Partner agrees to share information technology to the fullest extent possible with the
One-Stop partners. To the extent allowable, Partner commits to share information with
all One-Stop partners.
Partner commits to participating on an interagency team to address issues surrounding
the sharing of information and technology. Partner agrees that data input responsibility
will be shared, as appropriate.
Xl. System Security and Confidentiality
Partner agrees to the following:
· That all applications and individual records related to services provided under
this Agreement, including eligibility for services, enrollment, and referral shall
be confidential and shall not be open to examination for any purpose not
directly connect with the delivery of such services.
· That the sharing of individual and client information necessary for provision of
services under this Agreement; i.e.: assessment; universal intake; program or
training referral; job development; placement or follow-up activities; and other
services as needed for employment or program support purposes, constitutes
a valid use of such information.
· That files are kept in a secure location on site and should not be removed for
any reason unless an OCWIB Contract Administrator is notified of removal.
· That no person or employee shall otherwise publish or disclose, use, or
permit, cause to be published, disclosed or used, any confidential information
pertaining to One-Stop System applicants, participants, or customers overall.
· To abide by the current confidentiality provisions of respective statutes and
share information necessary for the administration of program operated
through the One-Stop System.
XII. Grievance Procedures
In the event individuals accessing the One-Stop System file a grievance, the process for
filing grievances shall be determined by the services the individual received and the
matter about which the grievance is filed. Partner agrees to process and resolve
grievances regarding their own programs. Individuals who seek to file a grievance with
respect to services funded under this Agreement, or file a grievance against the Partner,
shall be subject to the WIA grievance procedures of the funding source.
Xlll. Continuous Quality Improvement
The Orange County One-Stop System's goal is to work towards making consistent and
continuous improvement in all aspects of service delivery, thereby having a positive
effect on System performance. Improvement will be facilitated internally by the Partner
through a constant review of policies and procedures, through an increased sensitivity
to the needs of customers, through an improvement in the level of knowledge of partner
services, through the identification and fulfillment of training needs, through the
cooperative development and implementation of the Orange County One-Stop System
Business Services Plan. Improvement will be facilitated externally through the
identification and implementation of best practices, and through the implementation of
the results of the Orange County One-Stop System Quality Improvement Plan currently
being developed.
XIV. Deliverables
in order for the Orange County One-Stop System to operate effectively it is necessary
that certain basic information be provided routinely. The fact that there are multiple
One-Stop Partners means that most system-wide performance and effectiveness
cannot be determined until all One-Stop Partners respond. Therefore, it is necessary
that certain deliverables be provided in a timely manner.
Deliverables are defined as:
1. Monthly Invoices - due to H&CSD/Accounting by the twentieth day following the
month being reported.
2. MIS Paperwork Submission/Reports
· Regular submission of MIS paperwork for input into JTA for State Reporting
Purposes- Each month MIS prepares WIA reports that are submitted to the
State. Reports are due the 20th of each month. MIS will mail to the
Operations Manager, on the first working day of the month following the
report month, a copy of the Program Information Report 0NIA) for that One-
Stop Center. Partner shall have five working days, but no later than the tenth
day of the month, to review and respond to MIS with corrections/changes.
MIS will then have until the 18th of the month to make follow-up inquiries
regarding data submitted by One-Stop Partners and to complete the state
reports.
· There will be no special updates of JTA input for the purpose of preparing
Monthly Performance Reports for various OCWlB and Committee meetings.
All updates must be done as part of the regular input for State Reporting
Purposes.
· Response to monitoring reports. Each monitoring report includes a date for
responding to observations, concerns and findings.
EXHIBIT C
Performance Matrix - City of Santa Ana
Month/Year 5/03 6~03 7~03 8/03
1. Total Partic Re( 1 3 9
9~03 10/03
'11/03
17 25 28 30
a. Core Services/Intensive Services
1 3 9
b. Training Services 0 0 0
c. Follow-up 0 0 0
17 25 28 30
I 1 2 3
0 0 7 i..7. ....
a. Total Participants .............. Exiting WIA .' .";";';~'~'~';';~., 0 ~' · ""'"" 7
.~'..' . 0 i . ';;~' ,
(1) Unsubsidized Employment ' -'; ' - : · ' '0 ' i .... 0
(a.) Training Related ...... ' ....
(2) Em. ployability Enhancement'~'i't~ ~ 0 .... .'__.~ ;- "i.-0-
· Ex'ired f~)~;bther F~'s'~[qs '--- [ ~;';':=,.~,.~ 0 ! ...:.'j.......?:. ,~ 2
.'::,..::-~.,...:~, ~, · .~ ,.-~,'~ :.....'. ;'- .....-.~'--....~:;~::.!, · ,, .':
Month/Year 12/03 01104' 02/04
1. Total Participants Registered
03/04 04/04 05~1~4 06/04
30 30 33 35 38 40 40
a. Core Services/Intensive Services
b. Training Services
30 30 33 35 38 40 40
4 6 6 7 8 8 8
c. Follow-up Services 7 10 10 10 15 15 15
(2) Employability Enhancement Exits 1 I .' ,; ~ j .. I..,' ~ 1 I
1. Total Participants Registered I 40 14o J4o 14o 140 140
a. Co'e Services:Inter:siva Services 40 40
b. Training Services 8 8
c. Follow-up Services 17 17
a. Total Participants Exiting WlA
(1) Unsubsidized Employmeqt
(a) Training Related
(2) Employability Enhancement Fxits
(3) Exited for Other Reasons
2,8
25
3
1
2
Exhibit D
Budget
May 1, 2003 - December 31,2004
Operations I Telecommunications
Admin Program
Salary and Benefits
Salary and Benefits Total $14,560 $85,440
Office Expenses
sub-total $0 $500
Facility Lease
sub-total $0 $20,000
Equipment Rental
sub-total , $0 $500
Insurance
sub-total $0 $500
Other ( such as postage, telephone, subscription,
member fees, printing, etc,)
References
Printing Charges
Other Supplies
Subscription
Membership Fees
Telephone Charge
Software
Postage
Books/Training Items
sub-total $0 $8,500
Operations
Total $0 $115,440
PARTICIPANT TRAINING COSTS
Assessment and ITA Total $0 $45,000
PART SUPPS. SVCS
Total $0 $5,000
PROFIT
Total $0 $0
Sub Total $14,560 $165,440
Grand Total $180,000
State of California
Drag Free Workplace Ce~fication
STD 21 (NEW I 1-90)
Exhibit E
Page I of 1
G40027
COMPANY/ORGANIZATION NAME City of Santa Ana
The Contractor or grant recipient named above hereby certifies compliance with Government Code 8355 in matters relating to providing a
drug-free workplace. The above named Contractor will:
I. Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession, or use ora controlled
substance is prohibited and specifying actions to be taken against employees for violations, as required by Government Code Section
8355(a).
2, Establish a Drug Free Awareness Program as required by Government Code Section 8355(b), to inform employees about all of
the following: ~
(a) The danger of drug abuse in the workplace,
(b) The person's or organization's policy of rnalntaining a drag-free workplace,
(c) Any available counseling, rehabilitation and employee assistance programs, and
(d) Penalties that may be imposed upon employees for drag abuse violations
Provide as required by Govemrnent code Section 8355(c) that every employee who works on the proposed contract or grant
(a) Will receive a copy of the cornpany's drag-frae policy statement, and
(b) Will agree to abide by the terms of the company's statement as a condition of employment in the contract or grant.
CERTIFICATION
I, the o~cial named below, hereby swear that Iarn duly authorized legally to bind the contractor or grant recipient to the above described
certification. Iarn fully aware that this certification, executed on the date and in the county below, is rnade under penalty ofporjury under
the laws of the State of California.
OFFICIAL'S NAME David N. Ream
DATE EXECUTED EXECUTED IN THE COUNTY OF Orange
CONTRACTOR or GRANTEE RECIPIENT SIGNATURE
TITLE City Manager
95-6000785
FEDERAL IDNUMBER
Exhibit F
Certification Regarding
Debarment, Suspension, Ineligibility and Voluntary Exclusion
Lower Tier Covered Transactions
This certification is required by the regulations implementing Executive Order 12549,
Debarment and suspension, 29 CFR Part 98.510, Participants' responsibilities. The
regulations were published as Part VII of the May 26, 1988 Federal Register (pages
19160-19211)
(BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS FOR CERTIFICATION)
(1) The contractor or grant recipient of Federal assistance funds certifies, .by
submission of this exhibit document, that. neither it nor its principals are
presently debarred, suspended, proposed for debarment, declared ineligible,
or voluntarily excluded from participation in this transaction by any Federal
department or agency.
(2) Where the contractor or grant recipient of Federal assistance funds is unable
to certify to any of the statements in this certification, the contractor or grant
recipient shall attach an explanation to this exhibit document.
David N. Ream, City Manager
Name and Title of Authorized Representative
Signature Date
Exhibit F
DEBARMENT AND SUSPENSION CERTIFICATION - Instructions for Certification
By signing and submitting this exhibit document, the contractor or grant recipient of
Federal assistance funds is providing the certification as set out below.
The certification in the clause is a material representation of fact upon which reliance
was placed when this transaction was entered into. If it is later determined that the
contractor or grant recipient of Federal assistance funds knowingly rendered an
erroneous certification in addition to other remedies available to the Federal
Government, the Department of Labor (DOL) may pursue available remedies,
including suspension and/or debarment.
The contractor recipient of Federal assistance funds shall provide immediate written
notice to the County of OrangeANorkforce Investment Board to which this certification
document is submitted if at any time the contractor or grant recipient of Federal
assistance funds learns that its certification was erroneous when submitted or has
become erroneous by reason of changed circumstances.
The contractor or grant recipient of Federal assistance funds agrees by submitting
this certification document that, should the covered transaction be entered into, it shall
not knowingly enter into any lower tier covered transaction with a person who is
debarred, suspended, declared ineligible, or voluntarily excluded from participation.in
this covered transaction, unless authorized by the DOL.
The contractor or grant recipient of Federal assistance funds further agrees by
submitting this certification document that it will include the clause titled "Certification
Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier
Covered Transactions," without modification, in all lower tier covered transactions and
in all solicitations for lower tier covered transactions.
The contractor or grant recipient in a covered transaction may rely upon a certification
of a contractor or grant recipient in a lower tier covered transaction that it is not
debarred, suspend ed, ineligible, or voluntarily excluded from the covered transaction,
unless Jt knows that the certification is erroneous. The contractor or grant recipient
may decide the method and frequency by which it determines the eligibility of its
principals.
Nothing contained in the foregoing shall be construed to require establishment of a
system of records in order to render in good faith the certification required by this
clause. The knowledge and information of the contractor or grant recipient is not
required to exceed that which is normally possessed by a prudent person in the
ordinary course of business dealings.
Except for transactions authorized under paragraph 5 of these instructions, if the
contractor or grant recipient in a covered transaction knowingly enters into a lower tier
covered transaction with a person who is suspended, debarred, ineligible, or
voluntarily excluded from participation in this transaction, in addition to other remedies
available to the Federal Government, the DOL may pursue available remedies,
including suspension and/or debarment.
Exhibit G
CERTIFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTRACTS, GRANTS, LOANS,
AND COOPERATIVE AGREEMENTS
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) 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.
(2) 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 Federal contract, grant, loan, or cooperative agreement, the undersigned shall
complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with
its instructions.
(3) 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 all* 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
entedng 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.
FORMULA
City of Santa Ana 25% WIA Telecommunications Grant
Grantee/Contractor Organization Program/Title
David N. Ream, City Manager
Name and 7itle ~f Authgri;zed Sjgpatory
Signature
Date
*Note:
In these instances, "All," in the Final Rule is expected to be clarified to show that it
applies to covered contract/grant transactions over $100,000 (per OMB).
EXHIBIT H
Page 1 of 3
Exhibit H
6744 Federal ReRister Volume 55, No. 381 Monday~ February 26, 19901 Rules and Regulations
Instructions for Completion of SF-LLL Disclosure of Lobbying Activities
This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at
the initiation or receipt of a covered Federal action, or a matedal change to a previous filing, pursuant to title 31
U.S.C. section 1352. The filing of a form is required for each payment or agreement to make payment to any lobbying
entity 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 a covered Federal
action, Use the SF-LLL-A Continuation sheet for additional information if the space on the form is inadequate.
Complete all items that apply for beth the initial filing and material change report. Refer to the implementing guidance
published by the Office of Management and Budget for additional information.
1. Identify the type of covered Federal action for which lobbying is and has been secured to influence the outcome of
a covered action.
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report. If this is a follow up report caused by a matedal change to the
information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last
previously submitted report by this reporting entity for this covered Federal action.
4. Enter the full name, address, city, state and zip code of the reporting entity. Include congressional district, if known.
Check the appropriate classification of the reporting entity that designates if it is, or expects to be a prime or
subeward recipient.
Identify the tier of the subawardee, e. g. the first subawardee of the prime is the 1st tier. Subawards include but ara
not limited to subcontracts, subgrants and contract awards under grants.
5. If the organization filing the report, in item 4 checks "Subawardee", then enter the furl name, address, city, state,
and zip code of the pdme Federal recipient. Include congressional district, if known.
fi. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational
level below agency name, if known. For example, Department of Transportation, United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full
Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans and loan
commitments.
8. Enter the most appmpdata Federal identifying number available for the Federal action identified in item 1 (e. g.
Request for Proposal (RFP) number; Invitation for Bid (IFB) number; grant announcement number the contract, grant.
or loan award number; the application proposal control number assigned by the Federal agency), Include prefixes,
e.g., "RFP-DE-90-09."
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the
Federal amount of the award/loan commitment for the pdmary entity identified in item 4 or 5.
10. (a) Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity
identified in item 4 to influence the covered Federal action.
(b) Enter the full names of the individual(s) performing services, and include full address if different from 10 (a).
Enter Last Name, First Name, and Middle Initial (MI).
11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (item 4) to the
lobbying entity (item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check all
boxes that apply. If this is a material change report enter he cumulative amount of payment made or planned to be
made.
12. Check the appropriate box(es). Check all bexes that apply. If payment is made through an in-kind contribution,
specify the nature and value of the in-kind payment.
13. Check the appropriate bex(es). Check all boxes that apply. If other, specify nature.
14. Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to
perform, and the date(s) of any services rendered. Include all preparatory and related activity, not just time spent in
actual contact with Federal officials. Identify the Federal official(s) or employee(s) contacted and the officer(s),
employee(s), or Member(s) of Congress that were contacted.
15. Check whether or not a SF-LLL-A Continuation Sheet(s) is attached.
16. The certifying official shal~ sign and date the form, print his/her name, title, and telephone number.
Public reporting burden for this collection of information is estimated to average 30 minutes per response, including
time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Send comments regarding the burden estimate or any other
aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management
and Budget. Paperwork Reduction Project (0348-0046) Washington D. C., 20503.
EXHIBIT H
Page 2 of 3
DISCLOSURE OF LOBBYING ACTIVITIES
Complete this form to disclose activities pursuant to 31 U.S.C 1352
(See reverse for public burden disclosure)
1. Type of Federal Actions: 2. Status of Federal Actions: 3. Report Type:
a. contract a. bid/offer/application a. initial filing
b. grant b. initial award b. material change
c. cooperative agreement c. post-award
d. loan For Material Change Only:
e. loan guarantee [qot: Applicable Year Quarter__
f. loan insurance
Date of last report.
4. Name and Address of Reporting Entity: 5. If Reporting Entity in No. 4 is a Subawardee.
Pdme Subawardee Enter Name and Address of Prime:
Tier ;if known:
Congressional District~ if known: Congressional District, if known:
6. Federal Department / Agency: 7. Federal Program Name/Description:
CFDA Number~ if known:
8, Federal Action Number, if known: 9. Award Amount, if known:
10a. Name and Address of Lobbying Entity 10b. Individual Performing Services
(if individual, last name, first name, MI): (including address if different from No. 10a.)
(last name, first name, MI):
(attach Continuation Sheets SF-LLL-A, if necessary)
11. Amount of Payment (check all that apply): 13. Type of Payment (check all that apply):
a. retainer
$ actual planned b. one-time free
12. Form of Payment (check all that apply): c. commission
a. cash d. contingent fee
b. in-kind: specify: e. deferred
nature: f. other specify:.
value:
14. Enter Description of Services performed or to be Performed and date(s) of Service, including officer(s), employee(s),
or Member(s) contacted, for Payment indicated on item 11:
15. Continuation sheet(s) SF-LLL-A attached: r-]Yes [] No
16. information requested through this form authorized
by Title 31 U.S.C. Section 1352 This disclosure of
lobbying activities is a material representation of
fact upon which reliance was placed by the tier Signature:
above when this transaction was made or entered
into. This disclosure is required pursuant to 31 Print Name:
U.S.C 1352. This information will be reported to
the Congress semiannually and will be available for Title:
public inspection. Any person who fails to file the
required disclosure snail be subject to a civil penalty Telephone No.
of not less than $10,000 and not more than
$100.000 for each such failure Date:
DISCLOSURE OF LOBYING ACTIVITIES
CONTINUATION SHEET
EXHIBIT H
Page 3 of 3
Approved by OMS
0348-0046
Reporting Entity:
Page of
Authorized for LOCal Reprod,Jction Standard Form - LLL-A
Exhibit I
DISTRICT ATTORNEY CHILD SUPPORT ENFORCEMENT
CERTIFICATE REQUIREMENTS
In order to comply with child support enforcement requirements of the County of
Orange, the required contractor data and certifications must be submitted within '10
days of award notification.
Failure of the contractor to submit the data/or certifications required shall result in the
contractor may be disqualified from being considered for contract award. Subsequent to
issuance of the contract, failure to comply with all federal and state reporting
requirements for child support enforcement or to comply with all lawfully served Wage
and Earning Assignment shall constitute a material breach of the contract. Failure to
cure breach within 60 calendar days of notice from the County shall constitute grounds
for termination.
A. in the case of an individual bidder/proposer, his/her name, date of birth, Social
Secudty number, and residence address:
Name: N/A
D.O.B:
Social Security No:
Residence Address:
B. In the case of a bidder/proposer doing business other than as an individual, the
name, date of birth, Social Security number, and residence address of each
individual who owns an interest of 10 percent or more in the contracting entity (If no
individual owns an interest of 10 percent or more, indicate not applicable.):
Name:
D.O.B:
Social Security No.'
Residence Address:
Name:
D.O.B:
Social Security No:
Residence Address:
Nnme:
D.O.B:
Social Security No:
Residence Address:
A certification that the contractor has fully complied with all applicable
federal and state reporting requirements regarding its employees; and
A certification that the contractor has fully complied with all lawfully served
Wage and Earnings Assignment Orders and Notices of Assignment and Will
continue to so comply,
tl,e City of
"I certify that Santa Aha is in full compliance with all applicable federal and
state reporting requirements regarding its employees and with all lawfully served Wage
and Earnings Assignment Orders and Notices of Assignments and will continue to be in
compliance throughout the term of any contract issued pursuant to this Request for
Proposal process with the County of Orange. I understand that failure to comply shall
constitute a material breach of the contract and that failure to cure such breach within 60
calendar days of notice from the County shall consfftute grounds for termination of the
con tract.'
David N. Ream, City Manager
Authorized Signature Name Title
Exhibit J
EDD Independent Contractor Reporting Requirements
Effective January 1, 2001, the County of Orange is required to file federal Form
1099-Misc for services received from a "service provider" to whom the County
pays $600 or more within a single calendar year. The purpose of this reporting
requirement is to increase child support collection by helping to locate parents
who are delinquent in their child support obligations.
The term "service provider" is defined in California Unemployment Insurance
Code Section 1088.8 subparagraph B.2 as "an individual who is not an
employee of the service recipient for California purposes and who received
compensation or executes a Contract for services performed for that service
recipient within or without the state." The term is further defined by the California
Employment Development Department to refer specifically to independent
contractors. An independent Contractor is defined as "an individual who is not an
employee of the ..... government entity for California purposes and who receives
compensation or executes a Contract for services performed for
that....government entity either in or outside of California."
The reporting requirement does not apply to corporations, general partnerships,
limited liability partnerships, and limited liability companies.
Additional information on this reporting requirement can be found at the
California Employment Development Department web site located at
www.edd.ca.gov/txicr.htm.
To comply with the reporting requirements, County procedures for contracting
with independent contractors mandate that the following information be
completed and forwarded to the contracting agency/department immediately
upon request:
First name, middle initial and last name
Social Security Number
Address
Start and expiration dates of Contract
Amount of Contract
Not Applicable
First Name
SSN
Contract Number
Start Date
Middle Initial
Dollar value of Contract
Expiration Date
Last Name