HomeMy WebLinkAboutCOUNTY OF ORANGE (2) - 2004
COpy
A-2004-057
FUNDING SOURCE:
NEG
AGREEMENT #: Sl-NEG-04
WIA COST REIMBURSEMENT AGREEMENT
County of Orange
THIS AGREEMENT, between the County of Orange, hereinafter referred to as "COUNTY" and the
City of Santa Ana hereinafter referred to as "CONTRACTOR," consists of forty-five (45) sections, ten (10)
exhibits, A. General Program Requirements, B. Statement of Work, C. Performance Standards, D. Budget Schedule,
E. Drug Free Workplace Certification, F. Suspension & Debarment Certification G. Certification Regarding
Lobbying, H. Disclosure Form to Report Lobbying, I. Child Support Enforcement Provision (for-profit providers
only), and J. EDD Independent Operator Reporting Requirements.
TABLE OF CONTENTS
No.
Page
1. TERM """"""""""""""""""""""""""""""""""""""""""""""""""""""......................................................4
2. PURPOSE.... """""'" ........................................, ""'" ... .,.. ....,. """'" """"""" """""""""'" '" ... """" ..,. ....,... '" ....4
3. COMPLlANCE WlTH 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
(h) 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
1 O. 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 "''''''''''''''''''''''''''''''''''''''''''''''''''''''''''...............................................................1 0
(a) Monthly Payments..... """"""""""""" ....... ...,...... "'''' .... ..... ............... ""'"'' ................... ............ "" ..... ..... I 0
(b) County Discretion......... """""'"'''''''''''''''''' ......... ...... ............... .............. ..... ......... .... .............. '''''''''' .........10
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(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..................... ... """""" .............. .... .......... ................... ...... ....... ...,...... """'" '" .,....... ... .... .... ...11
20. PROGRAM INCOME '"''''''''''''''''''''''''''''''''''''''''''''''''''''''''"""",,"''''''''''''''''''''''''''''''''''''''''''''''''''''.........11
21. PELL GRANTS/HEA TITLE IV ....................................................................................................................12
22. ANNUAL AUDIT """","""""""'"''''''''''''''''''''''''''''''''................................................................................12
23. ACCESS AND RECORDS """"""","'"''''''''''''''''''''''''''''''''''''''""""""""""",""""""""""'"''''''''''''''''....12
(a) Access..... ""","""'"'''''''''''' .... ..... ... .......... .... ...... "'" ........ '"'''''''''''''''''' ...... """""""" ........ ... ... .... ... .... ..... ..12
(b) Records Retention .. .......,. """"""'" ........ ..... .............. ..... ............... """"" ..... .........., """" ... ............. .... ....... I 3
24. FRAUD ..............................,..................................................................................,.........................................13
25. MODIFICATIONS/CHANGE ORDERS """"""""",,"""""""""'''''''''''''''''''''''..........................................13
(a) By HCS.................... ........ "'''''''' ... ...... ... """"""" ...................... ...,..... ..............,....... ..... ..... .......... .... .... ..... .13
(b) By CONTRACTOR "",""""""""""""''''''''''''''''''''''''''''''"""","""""""""''''''''''''''''''''''''''''''''''...........14
26. PARTICIPANTS ..............................................................""""""",,,,,,,,,,,,,,,,,,,,,,"""".............,....................15
(a) Benefits... "'" ....... "'" ... .... ...,.. ... ... ... ...... ... """"" ....... .... """""'"'''' ""'"'' ... ..... ...,....... '''''''' ... ..,.... '" ...., .... ... .15
(b) Labor Standards... "" ........... ""'" .... ............ """ .... ....... ... .......... ....., ............... ...., .... ........ """ ...,.. ... ..... ........ .15
(c) Complaint Handling Procedures ................................................................................................................15
(d) Nondiscrimination and Compliance Provisions """"""""""""","''''''''''''''''''''''''''''''..............................15
27. CONFIDENTIALITY """,,""""'"''''''''''''''''''''''''''''''''''''''''''...................................................,.................... I 7
28. PROPERTY.......... ....... ... ....... ... "'" .... ... ... ... """" ........., ..... ...............,.. ... ..... ..... """"""" ... ... ...."... "" ..... ....... .17
(a) Definitions """"'''''' ... .....,.... ... ...... ... ... ... ... .... ......... ......... ""'" ......., ...... ... ..... ....... '''''''' ..... ...... ... .... .... ""'" ...17
(b) Property Management. ... .... ...... ...... ... ....... """ .........,... """""'" ....,........ ... ... ............. ... ... ......." .... '" ..... "" ...1 7
29. INDEMNIFICATION .............................................................."",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"""""'""""'" I 8
30. INSURANCE .............. .... ...... .... "'" .... ...... '''''''''''' .... .... ..... ................,......... ........ "'"'''''''''''' """ .... ........ """" .18
(a) Qualified Insurer .... ....... ... .... ... '" ......... .,..... ... ......... .... """""'" ... "'" """"'"'' '"'''''' "'" ............ ... """" ....... ...19
(b) Coverage Limits.... ......... .... .,.......... .... ....... "'" ... """ '"'''''''''''''' ....,..... ..... ...... ...,....... ... ... ... '" .,. .... ..... .... '" ...19
(c) Endorsements. ....... ... .......... ... ....... ... ............... ... ...... .... .................' ..... "'" ... ......... ... ........ """ .,. """" """" ...20
31. PATENT/COPYRIGHT MATERIALS/PROPRIETARY INFRINGEMENTS.................. """'" '"'' ..22
32. CORPORATE ST A TUS.................................................................................................................................22
33. STANDARDS OF CONDUCT ........................................................,.............................................................22
(a) General assurance... ....... ................. ..... ......................... ....... ............. .................... ................. ....... .......... ....22
(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 ................................,.............................................................23
34. DRUG FREE WORKPLACE................................................"""",,""""""""""""""...............,...................24
35. DEBARMENT """",,"""""""""""""""""""""".................................................,........................................24
3 6. SECTARIAN ACTIVITIES ......,........... "'''''''''''''''''''' ........... ..................... ..... ............ ................... ............ ...24
37. LITERATURE.... .................. ...... .......... ......... ...... .......... ............................................... ...... ............... .......... ...24
3 8. LOBBYING...... ....... ..... .... ... .... ... ... .... ..... .... ...... ...... ... '" ..... """""""""" ........... .....,..... ...... .........,. """" .... '" ...25
39. BREACH - SANCTIONS ....,... ... ....... ......,........ ...... ......,.... """" .......,...... ....... .......,...... ........ .... ..., ... ......... ......25
40. DISPUTES..... ... """"'" .... ....,... ............. ... .....................,.. ""'" ......... ..,......... ... .......,... "...............,. ... """""" ...25
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41. TERMINATION .............................................................................................................................................26
42. LIQUIDATED DAMAGES............................................................................................................................26
43. TOTAL AGREEMENT ..................................................................................................................................27
44. CHILD SUPPORT ENFORCEMENT ...........................................................................................................27
45. EDD INDEPENDENT CONTRACTOR REPORTING REQUIREMENTS ................................................28
46. NOTICES... """""""" ....... ..........., ""'" .... ..... ""'" ... ... ... ...... "" .........., """ ....... ........ ""'" ....,......... ........ ... ..... ...29
SIGNATURES
EXHIBITS
A General Program Requirements
B Statement of Work
C Performance Standards
D Budget Schedule
E Suspension & Debarment
F Drug-Free Workplace Certification
G Certification Regarding Lobbying
H Disclosure Form to Report Lobbying
I Child Support Enforcement Provision (for profit only providers)
J EDD Independent Operator Reporting Requirements
WI TNE S SE T H:
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 ofthe workforce 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 ofthe Act; and
WHEREAS, COUNTY, by Minute Order dated
June 17.2003
. 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 wade a
part hereof as if fully set forth, has appropriated a portion of grant funds in the amount of $ 192.281
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to engage CONTRACTOR to carry out certain program services;
WHEREAS, the Housing and Community Services Department (hereinafter referred to as "HCS") or its
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 October 1.2003
and ending
December 31. 2004 subject to the provisions of Sections 15,39 and 41 of this Agreement. This Agreement shall be
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 Februarv 14. 2005.
PURPOSE
2. The purpose of the program funded by this Agreement is to provide workforce investment activities that
increase employment, retention, earnings and occupational skill attainment through local workforce investment
systems to those seeking employment and youth. Additionally, this program is funded to increase the effectiveness
of local and regional business through business improvement & development activities, job matching, and. other
services. All services will improve the quality of the workforce and enhance the productivity and competitiveness of
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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
$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 CONTRACTOR'S operations; 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 HCS
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
5. CONTRACTOR agrees that those specific program components to be performed by CONTRACTOR,
and the service levels 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 ar~ attached hereto and which by this reference are
incorporated herein and made a part hereof as if fully set forth. To the extent necessary as determined by HCS, 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 for 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 the level of payment otherwise provided under Section
18 (c) of this Agreement or to reduce the payment level and budget at which CONTRACTOR will be funded for the
remainder of the period of this Agreement. Any such reduction shall occur only as a result of action of the Orange
County Board of Supervisors.
MODIFICA nON 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 the total payments under this Agreement are 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 ofHCS.
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 HCS a list of the names and qualifications of all instructors who will be providing
such training and shall notify HCS 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 ofthis 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 HCS. Said Policies and Procedures
may be 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 HCS. 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 HCS may require, and
in the form HCS 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 services 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 ofthe 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, State 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
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services. Within 30 days of execution, CONTRACTOR shall submit to HCS copies of all sub-contracts for 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 offunds from, and obligation offunds by, the State of Cali fomi a 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 tllis
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: Salary and Benefits, Operations,
Equipment, Travel, Supportive Services, Consultant/Subcontract, Participant Wages, Employer Reimbursements,
Participant Training Costs, and Profit. Upon written approval ofHCS, CONTRACTOR shall have the authqrity to
transfer allocated program funds from one category of the overall program budget to any other category of the
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overall program budget, as long as the amount of the total grant is not increased and the basic goals and objectives of
the program are not altered. No such transfer may be made without the express prior written approval ofHCS.
A modification of the Budget Schedule may include the addition of any new budget category. Approval of the
Budget Modification by HCS 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 October 1. 2003. upon receipt and approval by HCS/Special
Programs Division (SPD) 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 $ 192.281.
(b) County Discretion. At the sole discretion of COUNTY, payments to CONTRACTOR may be
made more frequently than monthly.
(c) Invoices. CONTRACTOR shall provide to HCS/SPD monthly invoices by the 20th day following
the month being reported. CONTRACTOR shall submit invoices to HCS/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 ofthe 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 Svstem. CONTRACTOR shall establish and maintain a sound financial
management system, based upon genera:lly 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
(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 tracking offunds to a level of expenditure 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 tracking of program income, or profits earned, and any costs incurred (such as
stand-in costs) that are otherwise 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 ofPell
Grants or awards pursuant to Title IV of the Higher Education Act, CONTRACTOR shall cooperate with HCS 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 HCS 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 emails) 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 pr~rnises
or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the
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records of CON TRACTOR are kept. 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 all 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 four (4) 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 four (4) 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.
MODIFICATIONS/CHANGE ORDERS
25.
(a) By HCS/SPD. HCS/SPD may at any time, 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 advaJjce 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 HCS 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
¡ 0% 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 of a 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 ofthis 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) Bv CONTRACTOR. CONTRACTOR may request changes in the scope of performance or services
under this Agreement, by submitting a written request to HCS/SPD describing the request and its impact on
CONTRACTOR'S Proposal, Statement of Work and budget schedule. HCS will review the request and respond
within ten (10) business days. Requests shall be reviewed in light of all Special Programs Division program
activities. HCS/SPD' S decision whether to approve the request or request Board of Supervisors' approval shall be
finaL The Director ofHCS or designee, 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
WIA COSI Reimbursement Contract
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14
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 HCS. CONTRACTOR shall advise participants
of their right 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.
CONTRACTOR shaU 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
HCS.
(d) Nondiscrimination and Compliance Provisions
(I) As a condition of this award of financial assistance under the Act to CONTRACTOR from
WIA Cost Reimbursement Contract
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15
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 opportunity 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 of1975, 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 hereof as 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, mental or physical disability (including HIV and AIDS), medical condition (cancer),
marital status, denial offamily care leave, political affiliation or belief, nor will they unlawfully discriminate, harass
or allow harassment against any employee or applicant for employment because of race, ancestry, national origin,
religion, color, ethnic group identification, sex, age, mental or physical disability (including HIV and AIDS),
medical condition (cancer), marital status, denial òf family care leave, political affiliation or belief. CONTRACTOR
will insure that the evaluation and treatment of employees and applicants for employment are free from such
WIA Cost Reimbursemem Contract
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16
discrimination and harassment.
(4) CONTRACTOR will include the non-discrimination and compliance provisions of this Section
of the Agreement in all subcontracts to perform work under this Agreement.
(5) CONTRACTOR will give written notice of its obligations under this Section of the 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 offederal 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 after 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 \lnit.
(b) ProDertv Management CONTRACTOR shall budget, manage and maintain an inventory of property
17
WIA Cost Reimbursement Contract
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in accordance with HCS/SPD Property Management and Inventory System Policy and Procedures, which are
incorporated herein by reference and are available at the offices ofHCS. 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 four (4) years after final disposition of such property. Cost of
equipment includes all taxes, shipping, handling and installation costs. Upon termination of this Agreement,
CONTRACTOR shall immediately return 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 INDEMNITEES") harmless from
any claims, demands or liability of any kind or nature, including but not limited to personal injury or property
damage, arising from or related to the services, products or other performance provided by CONTRACTOR
pursuant to this Agreement. 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 Agreement, 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
18
WIA Cost Reimbursemem Contract
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agreement have been complied with and to keep such insurance coverage and the certificates therefore on deposit
with the COUNTY during the entire term of this agreement. In addition, all subcontractors performing work on
behalf of CONTRACTOR pursuant to this agreement shall obtain insurance subject to the same terms and
conditions as set forth herein for CONTRACTOR.
All insurance policies required by this agreement 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 ofInsurance. If the CONTRACTOR fails to maintain insurance acceptable to the COUNTY
for the full term of this agreement, the COUNTY may terminate this agreement.
If CONTRACTOR is a governmental entity, CONTRACTOR may elect to self-insure for the insurance
coverage required by this Agreement.
(a) Oualified Insurer The policy or policies of insurance must be issued by an insurer licensed to do business
in the State of California (California Admitted Carrier).
Minimum insurance company ratings as determined by the most current edition of the Best's Kev Ratinl!:
Guide/Propertv-Casualtv/United States or ambest.com shall be A- (Secure Best's Rating) and VIII
(Financial Size Category).
If the carrier is a non-admitted carrier in the State of California, County Executive Office/Office of Risk
Management retains the right to approve or reject carrier after a review of the company's performance and
financial ratings.
(b) Coverage Lirnits. The policy or policies of insurance maintained by the CONTRACTOR shall provj~e the
minimum limits and coverage as set forth herein below:
WIA Cost Reimbursemem COnlract
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19
Coverae:e
M in i mum !d!.!!i!§.
Commercial General Liability with
Broad Form Property Damage
Endorsement and Contractual Liability
$1,000,000 combined single limit
per occurrence
$2,000,000 Aggregate
Automobile Liability including all owned,
non-owned and hired vehicles
$1,000,000 combined single limit
per occurrence
Workers' Compensation
Statutory
Employer's Liability
$1,000,000 per occurrance
(c) Endorsements. Each insurance policy required by this Agreement shall be endorsed to contain the
following provisions:
.
This insurance shall not be changed, cancelled, 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 certificate:
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE
EXPlRA TION DATE THEREOF, THE ISSUING COMPANY WILL MAIL 30 DAYS WRITTEN
NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT.
.
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).
20
WIA Cost Reimbursemem Contract
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.
The County of Orange, the State of California and the Orange County Workforce Investment Board 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 ofInsurance.
.
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 California and the
County of Orange, or any other person.
.
Commercial General Liability policy shall contain a severability of interest clause.
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, the COUNTY may require
CONTRACTOR to obtain insurance sufficient in coverage, form, and amount 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. .
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WIA Cost Reimbursement COntract
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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 Workforce Investment Board
1300 South Grand, Building B
Santa Ana, CA 92705
Attention: Operations and Contract Administration
PATENT/COPYRIGHT MATERIALS/PROPRIETARY INFORMATION
31. CONTRACTOR agrees to grant the COUNTY, Federal and State governments a royalty-free,
nonexclusive 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).
CORPORATE STATUS
32. All 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 HCS.
STANDARDS OF CONDUCT
33. (a) General Assurance. Every reasonable course of action will be taken by CONTRACTOR in order to
22
WIA Cost Reimbursement Contract
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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) Emplovment 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
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 Orange County or a voting or non-voting member of the Workforce
Investment Board (WIB), a permanent record of the transaction will be retained.
(e) A voidance 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
23
WIA Cost Reimbursement Contract
REV 9/24/03
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 OCWIB 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 herein by this reference.
DEBARMENT
35. CONTRACTOR shall execute and abide by the Debarment & Suspension Certification attached hereto
as Exhibit "F" and incorporated herein by this reference 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 controlled by any religious creed, church, or sectarian denomination
whatever, as specified by Article XVI, Section 5, of the California Constitution, regarding separation of church and
state.
LITERATURE
37. Any literature distributed by CONTRACTOR for the purpose of apprising businesses, participants, or
the general public of its prograrns under this Agreement shall state that its programs are supported by the County of
WIA Cost Reimbursemem Contract
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24
Orange and the Orange County Workforce Investment Board, and shall state that the program is an "equal
opportunity 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 of the "Certification Regarding Lobbying," which
is attached hereto as Exhibit "G" and incorporated herein by this reference. CONTRACTOR shall complete and
immediately forward to HCS the "Disclosure Form to Report Lobbying," a copy of which is attached hereto as
Exhibit "R", 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 of this 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 HCS 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
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 otherwise provided in this Agreement, any dispute concerning any question arising under
WIA CaSI Reimbursement Contract
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25
this Agreement shall be decided by HCS In such a case, HCS shall reduce its decision to writing and mail or
otherwise furnish a copy thereof to CONTRACTOR. The decision ofHCS shall be final and conclusive unless
within thirty (30) calendar days from the mailing or delivery of such copy, HCS receives frorn CONTRACTOR a
written request to appeal said decision. Pending final decision of the appeal, CONTRACTOR shall act in
accordance with the written decision of HCS.
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
immediately comply with COUNTY'S decision.
LIOUIDATED 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
WIA Cost Reimbursement Contract
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26
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 COUTNY'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 of 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.
CHILD SUPPORT ENFORCEMENT
44.
In order to comply with child support enforcement requirements of the County of Orange,
CONTRACTOR shall execute and abide by the Child Support Enforcement Provision (for profit only providers)
attached hereto as Exhibit "I" and incorporated herein by this reference within 30 days of award of contract,
27
WIA Cost Reimbursement Contract
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CONTRACTOR must furnish to HCS:
(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:
"1 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 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, 1 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 frorn COUNTY shall constitute grounds for termination
of this Agreement.
EDD INDEPENDENT CONTRACTOR REPORTING REQUIREMENTS
45. CONTRACTOR shall execute and abide by the EDD Independent Contractor Reporting
Requirements Certification attached hereto as Exhibit "]" and incorporated herein by this reference.
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28
NOTICES
46. 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 Ana, California 92705
and
CONTRACTOR:
City of Santa Ana
20 Civic Center Plaza
Santa Ana, CA 92701
WJA COSt Reimbursemcm Contract
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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 ofthe State of
California"
Dated:
By
Title Chair. Board of Supervisors
"CONTRACTOR"
By
See attached signature sheet.
Dated:
Title
Dated:
By
Title
APPROVED AS TO FORM:
County Counsel
By: ;J
Kar n Prather, Deputy
Dated:$b. .J [. 20 (}1..[
,
SIGNED AND CERTIFIED THAT A COPY OF THIS AGREEMENT HAS BEEN DELIVERED TO THE
CHAIR OF THE BOARD
Darlene J. Bloom
Clerk of the Board of Supervisors of
Orange County, California
Dated:
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WIA Cost Reimbursement Contract
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IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first
above written.
ATTEST:
CITY OF SANTA ANA, a municipal
corporation of the State of California
Patricia E. Healy
Clerk of the Council
¡J~¡z~
David N. Ream
City Manager
-..
APPROVED AS TO FORM:
Joseph W. Fletcher, City Attorney
RECOMMENDED FOR APPROVAL:
d¿(.~
By: Lisa E. Storck
Assistant City Attorney
Jo P. Reekstin, Executive Director
Community Development Agency
1
EXHIBIT A
EXHIBIT B
EXHIBIT C
EXHIBIT D
EXHIBIT E
EXHIBIT F
EXHIBIT G
EXHIBIT H
EXHIBIT I
EXHIBIT J
WIA COSI Reimbursement Contract
REV 9124/03
LIST OF EXHIBITS
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
31
EXHIBIT A
GENERAL PROGRAM REQUIREMENTS
Contractor:
City of Santa Ana
("Contractor" is hereinafter referred to as "Operator")
1. Project Summary
A. These General Program Requirements have been designed to provide the
framework wherein the One-Stop Operator will provide or will coordinate the
provision of the Orange County National Emergency Grant (NEG) Technology
and Transportation Project for the Orange County One-Stop System,
B. Operator 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, Operator agrees to adhere to state or
federal policy as appropriate.
D, Governance References
1. Workforce 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
operators) 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, 3662.100)
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 NEG
Technology and Transportation Project, specifically MIS Policies and
Procedures, Monitoring Guide and Procedure, Audit Requirements
Policy and Procedure and Selective SelVice Policy and Procedure.
2. Orange County One-Stop System
Operator agrees to operate and to provide access to selVices provided by the
mandated WIA One-Stop Operators as described in the Act as well as any additional
operators identified by the OCWIB or the Orange County Board of SupelVisors.
3. One-Stop Principles
Operator agrees to integrate to the fullest extent possible, the following principles into
the delivery of selVices:
A. Streamline services through an integration of multiple programs, including
Wagner-Peyser and WIA, at the selVice level through One-Stop selVice 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 NEG Technology & Transportation Project
Specialized Center Operator: City of Santa Ana
("Contractor" is hereinafter referred to as "Operator")
I. General Description
The Orange County NEG Project is a partnership between the Anaheim, Orange County, and
Santa Ana Workforce Investment Boards established to provide a regional approach to the
delivery of core, intensive and training services to workers dislocated from technology and
transportation employers throughout Orange County.
These services are made available under the Secretary of Labor - Department of Labor
(DOL) National Emergency Grants (NEG) Discretionary Funds, pursuant to Section 173 of
WIA, as amended. Funds are awarded to provide employment-related services for workers
who have been terminated, laid off, long-term unemployed, or received a notice of
termination or layoff from an employer in the technology or transportation industry.
Dislocated worker services include recruitment, eligibility documentation, client assessment,
case management, vocational training, career center support, job search assistance, and job
placement.
II. EIiQibilitv
The Orange County NEG Project is available for those who have been laid off due to a
substantial layoff in the technology or transportation 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 and dates
of the layoffs that are classified as an eligible technology or transportation company. As a
requirement for funding, only the companies currently on the list are eligible for receipt of the
grant. The list maybe expanded as approved by the DOL.
Co-enrollments are allowed with the City of Santa Ana's Adult and Dislocated Worker
programs provided that it is understood that at the end of the contract, all participants
remaining in the program will be retained in the City of Santa Ana's Adult and Dislocated
Worker programs.
Ill. 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 Operator will concentrate on the placement of clients into
employment out of core and intensive services. This project requires that career transition
workshops are a mandatory service for all eligible clients.
Operator 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 WIA 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 OCWIB, and
consistent with Operator's overall service delivery strategy and policies.
Intensive Services
.
Comprehensiye and specialized assessments of client skill levels;
Development of an individual employment plan to identify the
achievement objectives, and combinations of services;
Group and individual counseling and career planning;
Case management for individuals enrolled in training;
employment goals,
.
.
.
. 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 Operator's overall service delivery strategy and policies.
Traininq Services
. Training services in the project are not to exceed the end date of this project.
. 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 Operator's overall service delivery strategy and policies.
IV. Performance Outcomes
Operator agrees to the performance outcomes listed below:
Serve and exit registered and non-registered participants through the City of Santa Ana.
Serve 93 non-registered participants by December 31,2004.
Serve and exit 45 registered participants by December 31,2004.
Meet an Entered Employment Rate of 71 %.
Meet an Earnings Replacement Rate of 85%
V. MIS Submission/Reporting
Operator shall adhere to MIS reporting requirements (Information Notice No. 01-0CWDA-
39) including the completion of appropriate forms and provide other program information
related to program performance as required. Operator shall submit timely MIS paperwork
to the Administrative Office of the OCWIB 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
Operator. No faxed or e-mailed paperwork will be accepted. Manager's (or designee's)
review and approval is mandatory on the OCWIB Transmittal Form. The approval signifies
that the documents have been reviewed and are completed correctly.
'.
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. OCWIB
MIS will use purple ink to identify corrections required and green ink when data entry has
been completed.
TIMELlNES 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 prior to the
meeting to be included in the report.
WIA Base Wage Report: Operator 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 OCWIB MIS Unit. Operator 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.
Operator shall be responsible for analyzing MIS reports to verify data and contract
performance compliance.
VI. Reporting
Operator agrees to report on the status of the NEG Technology and Transportation Project.
VII. Operations
Operator 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.
Operator agrees to cross-train or cause to be cross-trained their respective staff on the core
and intensive services of each Partner Agency. . .
Operator 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 operators, Operator 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 Operators,
. 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 to the extent possible,
. Agree to refer clients eligible for Partner Agency programs to the One-Stop Operators for
services, and to share information supplied by referred clients.
VIII. Service and System Operating Cost
Operator will establish and maintain a budget consistent with the requirements and policy of
the OCWIA and appropriate funding stream governance entities.
IX. Internal Monitoring
Operator 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.
. Verification of customer's attendance, performance and employment information.
Operator will address any problems or issues that surface during an internal monitoring
quickly and appropriately,
X. Day-to-Day Operations
Operator 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,
XL Accessing and Sharing Data
Operator 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.
Operator agrees to share information technology to the fullest extent possible with the One-
Stop operators. To the extent allowable, Operator commits to share information with all One~-
Stop operators.
Operator commits to participating on an interagency team to address issues surrounding the
sharing of information and technology. Operator agrees that data input responsibility will be
shared, as appropriate.
XII. System Security and Confidentiality
Operator 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
connected with the delivery of such services.
. That the sharing of individual and client information necessary for the provision of
services under this Agreement; Le.: 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 programs operated through the
One-Stop System.
XIII. 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. Operator 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 Operator, shall be subject to the WIA
grievance procedures of the funding source.
XIV. 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 Operator 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 operator 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.
XV. 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
Operators means that most system-wide performance and effectiveness cannot be
determined until all One-Stop Operators respond. Therefore, it is necessary that certain
deliverables be provided in a timely manner.
Oeliverables are defined as:
1. Monthly Invoices - due to HCS/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 (lNIA) for that One-Stop Center. Operator 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 Operators
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 OCWIB and Committee meetings. All updates
must be done as part of the regular input for State Reporting Purposes.
3. Response to monitoring reports
. Each monitoring report includes a date for responding to observations, concerns
and findings. All contractors are expected to submit all corrections noted in the
monitoring report by the date that is stated in the report.
EXHIBIT C-1
Performance Matrix - NEG Technology
City of Santa Ana
",". '. .' ': ':~ .'<~~~":'". ~;;r:.-;,:' ~':'~:". ~ .", .: :. .,.;. :':. ':." .,,~.~. . ..:~. I '. .:...,..~. ~';;"¡ ~~~f. ~;;~!:. ~.:~i) ?;:";,~,1'~':~~'. ..t:':~ 'r.t.::~~',,¡' ;.
EXHIBIT C-2
Performance Matrix - NEG Transportation
City of Santa Ana
a Total Participants EXiting WIA ~ ttt¡((;H' ~:¡'~;'~/~~¡f:: ~ø f~:~~~~.~~
Ent~~~d Er;lplojrnent - --- .m iI8I.~~~";' '¡!;ii;~:':?'Iõ" ~~ .. . "'-'~tm~ ~
-,". ....... ..' '. ,'.10'." .,,-'-.'.', .:r ':. ':.".."":..~;~.,.... ,."";",.,,~~.,,,~;,~.':,.~',.. -" -:'~.~;:õ"':'-:--:-''''~~ '''~..
.~uml!~~~E!' ~.a~~clpantS~;.~:~~:.~t~: ~~.~.¡.;'~,~~~;~~~'¡\~:4~~l~~'~":'~I~;::~~~~' ;"::.::.1"::' :;1.,~'~.";~'¡;~~~i.~~!!~~~~~~~.~
MonthNear 05104 06/04 07/04 08/04 09104 10/04 11/04
1. Total Non-Registered Participants 08 11 11 11 11 11 11
e .. I a s'~!~e
a. Core Services/Intensive Services
.. ..' ..I"~
Exhibit D
NEG BUDGET FORM
Orange County One-Stop Center- City of Santa Ana
FY 2003- 2004
Budget
Technology Transportation Total
Salaries & Benefits 44,239 16,261 60,500
Operations:
Travel (local Area)
Communications 4,964 1,836 6,800
Rent 10,950 4,050 15,000
Office Supplies 4,730 1,750 6,480
Marketing 11,321 3,679 15,000
Testing/Training 2,920 1,080 4,000
Materials
Tuition Payments 47,450 17,550 65,000
Supportive Services 14,236 5,265 19,501
Total 140,810 51,471 192,281
Exhibit D-1
NEG
Orange County One-Stop Center- City of Santa Ana
PY 2003 - 2004 - Phase I Funding
Monthly Expenditure Plan
31- March- 04 30- Apri1-04 31-May-04 Total
Salaries & 21,175 18,150 21,175 60,500
Benefits
Operations:
Travel
Communications 2,267 2,267 2,266 6,800
Rent 5,000 5,000 5,000 15,000
Office Supplies 2,160 2,167 2,160 6,480
Marketing 6,000 4,500 4,500 15,000
Testing/Training 1,400 1,400 1,200 4,000
Materials
Tuition Payment 13,000 26,000 26,000 65,000
Supportive 3,900 7,800 7,801 19,501
Services
Totals 54,902 67,277 70,102 192,281
NEG
Orange County One-Stop Center- City of Santa Ana
PY 03-03
Personnel Breakdown by Funding Stream
Estimated Percent of time Charged to:
Name Position Title Salary & F/T/E NEG- NEG- Total
Benefits Tech Trans
Carlos de 1a WIA Program 80,490 .20 12,074 4,024 16,098
Riva Manager
Cookie Workforce 65,262 .10 3,263 3,263 6,526
Roberson Specialist III
Juan Cazarez Workforce 48,720 .10 3,654 1,218 4,872
specialist I
Maria Workforce 66,480 ,11 5,484 1,828 7,312
Rodriquez Specialist II
Art Vasquez Workforce 52,545 .10 3,941 1,314 5,255
Specialist I
Sally Acosta Receptionist! 49,620 .20 7,939 1,985 9,924
Administrative
Support
Manny Receptionist 52,525 .10 3,939 1,313 5,252
Arellano
Lydia Morgan Fiscal 69,635 .07 3,945 1,316 5,261
Specialist
Total 44,239 16,261 $60,500
"
Exhibit E
ate of California
ug Free Workplace Certification
rD21 (NEW 11-90)
Page 1 of 1
G40027
)MPANY ¡ORGANIZATION NAME
City of Santa Ana
¡e Contractor or grant recipient named above hereby certifies compliance with Government Code 8355 in matters relating to
oviding a drug-free workplace. The above named Contractor will:
Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession, or use of a controlled
bstance is prohibited and specifying actions to be taken against employees for violations, as required by Government Code Section 8355(a).
Establish a Drug Free Awareness Program as required by Government Code Section 8355(b), to inform employees about all of the
Ilowing:
(a)
The danger of drug abuse in the workplace,
(b)
The person's or organization's policy of maintaining a drug-free workplace.
(c)
(d)
Any available counseling, rehabilitation and employee assistance programs, and
Penalties that may be imposed upon employees for drug abuse violations
Provide as required by Government code Section 8355(c) that every employee who works on the proposed
contract or grant
(a)
(b)
Will receive a copy of the company's drug.free policy statement. and
Will agree to abide by the terms of the company's statement as a condition of employment in the contract or grant.
CERTIFICATION
the official named below, hereby swear that I am duly authorized legally to bind the contractor or grant recipient to the above
,"cribed certification, I am fully aware that this certification, executed on the date and in the county below, is made under penalty of
"jury under the laws of the State of California.
FFICIAL'S NAME
David N. Ream
JNTRACTOR or GRANTEE RECIPIENT SIGNATURE
Orange
'ITE EXECUTED
TLE
City Manager
oDERAL ID NUMBER
95-6000785
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 Reqister (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
{l.¡iiZ.-. "j¿,¿-,
Signature Date I '
"
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 entering into this transaction imposed by section 1352, title 31, U.S. Code, Any
person who fails to file the required certification shall be subject to a civil penalty of not less
than $10, 000 and not more than $100,000 for each such failure.
FORMULA
City of Santa Ana
NEG
Prog ramfTitle
Grantee/Contractor Organization
David N. Ream, City Manager
Signature
*Note:
z. d
Dat
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 OMS).
EXHIBIT H
Page 1 of 3
Exhibit H
6744 Federal ReQister Volume 55. No. 38/ Mondav. Februarv 26.1990/ Rules and ReQulations
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 material 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 both 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 material 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 subaward recipient.
Identify the tier of the subawardee, e. g. the first subawardee of the prime is the 1st tier. Subawards include but are 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 full name. address. city, state, and zip
code of the prime Federal recipient. Include congressional district, if known.
6. 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 appropriate 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 ioan 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 ofthe award/loan commitment for the primary 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 boxes 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 box(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 shall 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 of3
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 Year Quarter
f. loan insurance
Date of I
4. Name and Address of Reporting Entity: 5. If Reporting Entity in NO.4 is a Subawardee.
Prime Subawardee Enter Name and Address of Prime:
Tier :if known:
Congressional District, if known: Conoressional District, if known:
6. Federal Department / Agency: 7. Federal Program Name/Description:
I CFDA Number. if known:
8. Federal Action Number, if known: g, Award Amount, if known:
$
1 Oa. Name and Address of Lobbying Entity 10b.lndividual Performing Services
(if individual, last name, first name. MI): (including address if different from NO.1 Oa.)
(last name. first name, MI):
(attach Continuation Sheets SF-LLL-A, if necessarv)
11. Amount of Payment (check all that apply): 13. Type of Payment (check all that apply):
a. retainer
$ actual olanned 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: DYes DNa
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:
EXHIBIT H
Page 3 of 3
DISCLOSURE OF LOBYING ACTIVITIES
CONTINUATION SHEET
Approved by OMS
0348-0048
Reporting Entity:
Page
of
BILLING CODES 3410-01 -C; 6450-01-C; 6890-01 ;60Z5-01-C;
751Q-Q1-C , 35 1 a-FE-C; 6120-01 -C; 4710-24..(;, 6116-01 -c.
6051 -01 -C, 8230-01 -c- 3210-01 -c; 4210-32-C, 441Q-15-C-
451Q-23-C- 481Q-25-C . 3801 ~O1 -C'4000-Q1 -C . 3820-01 -c
6560-50-C: 6820-41 -c; 43 1 O-RF- .Ú 18-01 C 4150-04-C. 75
55-01 -c. 7537-01 -C-75360 1 -C. 6050-28-C. "$1 U-42-C
Authorized for Local Reproduction 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.
I. In the case of an individual bidder/proposer, his/her name, date of birth, Social Security
number, and residence address:
Name:
D,O.B:
Social Security No:
Residence Address:
II. 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:
Not Applicable
Social Security No:
Residence Address:
Name:
D.O.B:
Social Security No:
Residence Address:
Name:
D.O.B:
Social Security No:
Residence Address:
C. A certification that the contractor has fully complied with all applicable federal and state
reporting requirements regarding its employees; and
D. 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.
the City of
"I certifiJ that Santa Ana 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 tern! 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 constitute
grounds for temzination of the contract."
f1-dlaf ~
,
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 1 099-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
First Name
City of Santa Ana
Middle Initial
Last Name
Contract Number
Dollar value of Contract $192,281. 00
Start Date
October 1, 2003
Expiration Date December 31, 2004