HomeMy WebLinkAboutESSERGY CONSULTING 2-2013 City of Santa Ana
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AGREEMENT TERMINATION FORM
Please complete this form when the attached agreement and all
amendments (if any) are no longer in effect.
Return form to the Clerk of the Council Office (M-30).
Call 647-1520 if you have any questions.
The agreement with F $50-91 Goc‘S'
No. N-2013-061 was completed on U1 ? and final payment has been made.
(List all amendments. Use space below if needed.)
Department: C--4 or 110 -C->44I
Phone/Ext.: 7 2 Z 1
Signature: .�44
Date: C2 (S f �6
Revised 10-31-12
INSURANCE ON PILE N-2013-061
WORK MAY PROCEED
UNTIL INSURANCE EXPIRM
//-IB-°/-i/ a
CLERK OF COUNCIL
DATE: FRAY a 5 zoo
AGREEMENT WITH
®'. C'DA f (? amt c l t Z? ESSERGY CONSULTING
UNDER THE WORKFORCE INVESTMENT ACT
THIS AGREEMENT, made and entered into this 26'x' day of March, 2013, by and between Essergy
Consulting, hereinafter referred to as "CONSULTANT", and the City of Santa Ana, a charter city and
municipal corporation duly organized and existing under the Constitution and laws of the State of California,
hereinafter referred to as "CITY".
W-I-T-N-E-S-S-E-T-H
Recitals:
A. CITY has been designated a Local Workforce Investment Area (LWIA) under the
Workforce Investment Act of 1998, Public Law 105-220 ("the Act").
B. The State of California has created the LWIA to administer the Act programs operated
by the State of California pursuant to the Act.
C. As a LWIA, CITY is entitled to receive federal funds to establish programs to prepare
economically disadvantaged adults and youth for entry into the labor market and to provide job training to
those individuals who are economically disadvantaged or otherwise face serious barriers in obtaining
productive employment. One goal of California's Workforce Investment System is to provide individuals
with the opportunities to achieve career goals that will allow them to successfully compete in the labor
market and prepare them for higher education.
D. CONSULTANT is experienced in providing analysis, strategic planning and
implementation.
E. CONSULTANT is willing to operate said program pursuant to the Act and California
law.
WHEREFORE, for and in consideration of the respective and mutual covenants and promises
hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do
hereby agree as follows:
1. TERM OF AGREEMENT
This Agreement shall commence as of March 26, 2013 and all services to be performed pursuant to
this Agreement shall be completed on or before June 30, 2013. The term of this Agreement may be extended
by a writing executed by the Executive Director of the Community Development Agency, or her designee,
and the City Attorney.
2. INDEPENDENT CONTRACTOR
CONSULTANT agrees that CONSULTANT is an independent contractor and not an employee of
CITY and all of CONSULTANT'S personnel shall be employees of CONSULTANT and not employees of
the CITY.
CONSULTANT shall not subcontract any of the services required hereunder without the prior written
approval of the CITY.
3. SCOPE OF SERVICES
For and in consideration of the hereinafter stated payment by CITY to CONSULTANT,
CONSULTANT agrees to perform, at its own cost and expense except for the compensation specified in this
Agreement, the services specified in the Scope of Work attached hereto and incorporated herein as Exhibit A
to this Agreement.
Consultant will assist staff in the preparation of the Workforce Development Strategic Plan, a
comprehensive five year local plan.
4. CONSULTANT OBLIGATIONS
A. CONSULTANT agrees to maintain such records and submit such reports, data and
information, on the form and containing such information, at such times as CITY may request or require
regarding the performance of CONSULTANT'S services or activities, costs or other data, including but not
limited to, participants' attendance, payroll records and job duty statements.
B. CITY, the State of California and the United States government and/or their
representatives shall have access for purposes of monitoring, auditing and examining of CONSULTANT'S
activities, performance, books, documents, papers, and records of CONSULTANT, subcontractors,
booldwepers and accountants, and employees and participants related to this Agreement. Such agencies or
representatives shall also schedule on-site monitoring in their discretion. Monitoring activities may also
include, but are not limited to, questioning employees and participants and entering any premises or onto any
site in which any of the services or activities funded hereunder are conducted or in which any of the records
of CONSULTANT are kept. Nothing herein shall be construed to require access to any privileged or
confidential information as set forth in federal or state law.
In the event CONSULTANT does not make the above-referenced documents available within
the City of Santa Ana, California, CONSULTANT agrees to pay all necessary and reasonable expenses
incurred by CITY in conducting any audit at the location where said records and books of account are
maintained.
All accounting records and evidence pertaining to all costs of CONSULTANT and all
documents related to this Agreement shall be kept available at CONSULTANT'S office or place of business
for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records
which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance
of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the
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United States Government take exception, shall be retained beyond the three (3) years until resolution of
disposition of such appeals, litigation, claims, or exceptions.
C. Without prejudice to any other section of this Agreement, CONSULTANT shall,
where applicable, maintain the confidential nature of information provided to it concerning participants in
accordance with the requirements of federal and state law. Notwithstanding the foregoing, CONSULTANT
agrees to submit to CITY, the State of California and/or the United States Government or their
representatives, all records requested for administrative purposes, including audits, examinations, monitoring
and verification of records submitted by CONSULTANT, costs incurred and services rendered hereunder.
D. CONSULTANT agrees to expend all funds in accordance with all applicable federal,
state and local laws and regulations. CONSULTANT also agrees to provide at CONSULTANT'S own
expense supplies and other costs of said PROGRAM.
E. CONSULTANT shall comply with the provisions of 48 CFR, Chapter 1, Parts 1-31.2,
for commercial organizations and all other applicable federal statutes and executive orders and their
implementing regulations.
F. CONSULTANT shall comply with the provisions of E.O. 12549 and 12689, requiring
compliance with the debarment and suspension requirements contained in 29 CFR Part 98.
G. CONSULTANT shall comply with the requirements of federal regulations found at 29
CFR 93 which provide that no appropriated funds may be expended by the recipient of a federal contract,
grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer
or employee of any agency, member of Congress or an officer or employee of a member of Congress in
connection with awarding of any federal contract, the making of any federal grant or loan, entering into any
cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant,
loan or cooperative agreement. CONSULTANT shall sign a certification to that effect in a form as set forth
in "Exhibit B," attached hereto and by this reference incorporated herein. CONSULTANT shall submit said
signed certification to CITY prior to performing any of its obligations under this Agreement and prior to any
obligation arising on the part of CITY to pay any sums to CONSULTANT under the terms and conditions of
this Agreement.
H. CONSULTANT agrees to provide a drug-free work place and to execute a
certification as set forth in "Exhibit C" attached hereto and incorporated herein by this reference.
1. CONSULTANT, in accordance with the Child Support Compliance Act, recognizes
and acknowledges the importance of child and family support obligations and shall fully comply with all
state and federal laws relating to child and family support enforcement, including, but not limited to:
disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8
(commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to the best of its
knowledge is fully complying with the earnings assignment orders of all employees and is providing the
names of all new employees to the New Employee Registry maintained by the California Employment
Development Department (EDD).
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J. CONSULTANT agrees to comply with Title VI of the Civil Rights Act of 1964, and
provisions of WIA Section 188, as well as Equal Employment Opportunity provisions in Executive Order
("EO") 11246, as amended by EO 11375, and supplemented by the requirements of 41 CFR Part 60. Section
188 ensures nondiscrimination and equal opportunity for various categories of persons, including persons
with disabilities, who apply for and participate in programs and activities operated by recipients of WIA
assistance. FO 11246 specifically prohibits federal contractors and subcontractors and federally assisted
construction contractors, subcontractors or subgrantees that have contracts that exceed $10,000 from
discriminating in employment decisions on the basis of race, color, religion, sex, or national origin. All
covered contractors must take affirmative action to ensure that equal opportunity is provided in all aspects of
their employment.
5. APPLICABLE GUIDELINES
A. The parties hereto agree that CONSULTANT shall comply with all applicable federal
and state laws and regulations, including but not limited to the U.S. Department of Labor guidelines and
regulations, including amendments or revisions made during the terms of this Agreement. Said applicable
laws are hereby incorporated by reference and made as part of this Agreement as though fully set forth
herein.
B. CONSULTANT also assures and certifies that:
1. CONSULTANT shall comply with any and all federal laws limiting the
political activity of employees hired under this Agreement.
2. CONSULTANT shall provide the U.S. Department of Labor and the Controller
General, by and through any authorized representative, as well as the Santa Ana Local Workforce Investment
Area's Board, access to and the right to examine all records, books, papers or documents relating to the
accounting and use of funds under this Agreement for a three-year period from and after the effective date of
this Agreement.
3. No person with responsibilities in the operation of any program under the
Workforce Investment Act grant shall discriminate with respect to any program participant or any application
for participation in such program because of race, creed, color, national origin, sex, political affiliation or
beliefs.
4. CONSULTANT shall maintain appropriate standards for health and safety in
work and transportation situations.
5. CONSULTANT shall comply with general provisions, assurances, and
certifications attached hereto as "Exhibit D" and incorporated herein.
6. Any literature distributed by CONSULTANT for the purpose of apprising
businesses, participants, or the general public of its programs under this Agreement shall state that its
programs are supported by the City of Santa Ana and the Santa Ana Workforce Investment Board, and shall
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state that the program is an "equal opportunity employer/program" and that "auxiliary aids and services are
available upon request to individuals with disabilities."
7. CONSULTANT certifies that all property, finished or unfinished documents,
data, studies and reports prepared or purchased by the CONSULTANT under this Agreement, will be
disposed of in accordance with the direction of the CITY. In addition, any tools and/or equipment furnished
to the CONSULTANT by the CITY and/or purchased by the CONSULTANT with funds pursuant to this
Agreement, will be limited to use within the activities outlined in this agreement and will remain the property
of the United States Government and/or CITY. Upon termination of this Agreement, CONSULTANT will
immediately return such tools and/or equipment to the CITY or dispose of them in accordance with the
direction of the CITY.
8. CONSULTANT 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, as specified by Article XVI, Section 5, of the Constitution of the
State of California, regarding separation of church and state.
9. If the grant hereunder exceeds $100,000, CONSULTANT shall be in
compliance with Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act
(33 USC 1368); Executive Order 11738 and Environmental Protection Agency ("EPA") regulations (40 CFR
Part 15) as any may now exist or be hereafter amended. Under these laws and regulations, the
CONSULTANT assures that:
(a) No facility to be utilized in the performance of the proposed grant has been listed on the
EPA List of Violating Facilities;
(b) It will notify CITY prior to award of the receipt of any communication from the Director,
Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the
grant is under consideration to be listed on the EPA List of Violating Facilities;
(c) It will notify the CITY and the EPA about any known violation of the above laws and
regulations.
10. CONSULTANT may copyright any work that is subject to copyright and was
developed, or for which ownership was purchased, under an award. The Federal awarding agency(ies)
reserve a royalty-free, nonexclusive and irrevocable right to reproduce, publish, or otherwise use the work for
Federal purposes, and to authorize others to do so.
11. CONSULTANT is subject to applicable regulations governing patents and
inventions, including government-wide regulations issued by the Department of Commerce at 37 CFR part
401, "Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government
Grants, Contracts and Cooperative Agreements."
12. Based on the population eligible to be served, or likely to be directly affected
by the WIA program or activity, the services or information may need to be provided in a language other than
English in order to allow such population to be effectively informed about or able to participate in the
program or activity. Pursuant to 29 CFR 37.35, the CONSULTANT must take reasonable steps to provide
services and information in appropriate languages after considering the scope of the program or activity, and
the size and concentration of the population that needs services or information in a language other than
English.
6. COMPENSATION
CITY agrees to pay, and CONSULTANT agrees to accept for said services, total compensation in the
amount not to exceed Twenty Four Thousand Five Hundred Dollars (,$24,500.00) during the term of this
Agreement as set forth in Exhibit A.
CONSULTANT will submit a detailed invoice evidencing services performed. Final payment by the
CITY shall be within 30 days following receipt of said invoice, subject to CITY accounting procedures.
Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals
which may reasonably be expected by City.
CONSULTANT acknowledges that approval of and funding for this Agreement is contingent upon
State approval, and funds received or obligated from the State of California to CITY. If such approval of
funds is not forthcoming, or is otherwise limited, CITY shall immediately notify CONSULTANT. Within
twenty (20) days of receipt of such notice, CONTRACTOR shall modify or cease operations as directed by
CITY and negotiate necessary modification to this Agreement and/or reimbursement of costs incurred
hereunder.
MISCELLANEOUS PROVISIONS
A. CONSULTANT covenants that it presently has no interest, and shall not have any interest,
direct or indirect, which would conflict in any manner with the performance of services required hereunder.
B. CONSULTANT certifies that it will not discriminate against any employee or applicant for
employment because of race, religious creed, color, national origin, ancestry, physical disability, mental
disability, medical condition, marital status, sex or age, in compliance with Title VII of the Civil Rights Act
of 1964 (P.L. 83-354) and Government Code 12900, et seq.
8. HOLD HARMLESS CLAUSE
CONSULTANT agrees to indemnify, defend and hold harmless CITY, its officers, agents,
employees, and volunteers from and against any and all loss or damage, and from any and all suits, actions
and claims filed or brought by any person or persons arising out acts or omissions of CONSULTANT or of
any approved subcontractor or of the officers, agents, employees of CONSULTANT or of its subcontractors
in the performance of this Agreement.
9. INSURANCE
CONSULTANT shall obtain and maintain for the entire term of this Agreement comprehensive
professional public liability insurance, in companies acceptable to the City, authorized to issue such
insurance in the State of California. Said insurance shall consist of the following:
a. Professional Liability Insurance. CONSULTANT agrees to obtain and keep in force during the
term of this Agreement a policy of professional public liability insurance insuring the CITY and
CONSULTANT against any liability for accident, injury or death arising out of or related to this Agreement.
Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or
death of any person or persons in any single accident or occurrence. Said policy of professional liability
insurance shall be endorsed to provide to name the CITY as additionally insured and provide CITY at least
thirty (30) days written notice prior to cancellation.
b. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the
Labor Code, CONSULTANT, if CONSULTANT has any employees, is required to be insured against
liability for worker's compensation or to undertake self-insurance. CONSULTANT agrees to comply with
such provisions before commencing the performance of the work under this Agreement.
c. The following requirements apply to the insurance to be provided by CONSULTANT pursuant to
paragraph a., above:
A certificate of insurance, to be approved in form by the City Attorney, shall be furnished
to the City within 30 days of the execution of this Agreement.
2. Certificates and policies shall state that the policies shall not be canceled or reduced in
coverage or changed in any other material aspect without thirty (30) days prior written
notice to the City.
d. If CONSULTANT fails or refuses to produce or maintain the insurance required by this section or
fails or refuses to furnish the City with required proof that insurance has been procured and is in force and
paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such
termination shall not affect CONSULTANT's right to be paid for its time and materials expended prior to
notification of termination,
10. TERMINATION
This Agreement may be terminated by either party at its sole discretion, upon thirty (30) days
written notice to the other party. Notice shall be deemed served on the date of mailing. However,
CONSULTANT may not terminate this Agreement if undue hardship will result to any participant.
if. DISPUTES
Except as otherwise provided in this Agreement, any dispute concerning any question arising
under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and
mail or otherwise furnish a copy thereof to CONSULTANT. The decision of the CITY shall be final and
conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives
from CONSULTANT written request to appeal said decision.
Procedures governing the appeal shall be prescribed by CITY and/or the State of California in
accordance with the Act and all corresponding regulations and OMB circulars. Pending final disposition of
the appeal, CONSULTANT shall act in accordance with CITY's decision unless the dispute involves a
change order.
12. BREACH - SANCTIONS
If, through any cause, CONSULTANT violates any of the terms and conditions of this
Agreement, and/or prior agreements whereby grant funds were received by CONSULTANT pursuant to this
Agreement, or if CONSULTANT reports inaccurately or if any Audit Report makes disallowances,
CONSULTANT shall promptly remedy its acts or omissions and/or repay CITY all amounts due CITY as a
result of CONSULTANT's violation. For any such failures or violations, CITY shall also have the right at its
sole discretion to either: (1) discontinue program support until such time as CONSULTANT fulfills its
obligations or remedies all violations of this agreement or prior agreements; and/or (2) collect outstanding
amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after
thirty (30) days' written notice CONSULTANT has failed to repay same or a repayment schedule has not
been made; and/or (3) terminate this Agreement by giving written notice to CONSULTANT of such
termination in accordance the notice provision contained below.
13. NOTICES
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:
To CITY: Clerk of the Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
Telefacsimile (714) 647-6956
With courtesy copy to: Santa Ana Work Center
1000 E. Santa Ana Blvd., #200
Santa Ana, CA 92701
Telefacsimile (714) 565-2602
To CONSULTANT: Essergy Consulting
16787 Beach Blvd., 9653
Huntington Beach, CA 92647
Telefacsimile (562) 452-6516
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IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first
above written.
ATTEST:
Maria D. Huizar}
Clerk of the Council
CITY OF SANTA ANA
Kevin O'Rourke
hlterim City Manager
APPROVED AS TO FORM:
Sonia R. Carvalho
City Attorney
cam.-.-?r
By: Lisa Storck
Assistant City Attorney
RECOMMENDED FOR APPROVAL:
&Adta kb?
SANDRA D. GOTTLIEB
ACTING EXECUTIVE DIRECTOR
COMMUNITY DEVELOPMENT AGENCY
CONSULTANT:
cipal, Essergy Consulting
ID#: 26-0696671
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Scope of Work
('.L. s,J k. I g v/ C. 0'11 S'll it (, tg 16787 beach blvd., #653, huntington beach, ea . 562 608 8270 www.esserpv, net
SANTA ANA WORKFORCE INVESTMENT BOARD;
REQUEST FOR QUOTE (RFQ)
INTRODUCTIONJOVERVIEW
ftggstfarouote. The Santa Ana Workforce Investment Board (SAWIB) has asked Essergy Consulting
to quote its fees for assisting its staff to produce a Workforce Development Strategic Plan (WDSP) for
the years 2013-201.7. E'ssergy's proposal consists of the following elements:
• A description of Essergy's approach to the project;
• Filled-in chart based on Santa Ana's objectives, activities, outcomes, and timellnes;
A brief history of Cssergy, its relevant accomplishments, and the staff that will address this RFQ;
• An alternate plan proposal suggesting a regional approach.
Not= exceed cost and an oration. The cost for the entire project will be $24500 It will be complete
by two weeks prior to the deadline for Santa Ana to present Its plan to the State, so that Santa Ana can
review the plan and make any changes as needed.
RFQ REQUIREMENTS
The RFQ calls for the following deliverables:
• Local Economic/Workforce Analysts Report
• Workforce Development Strategic Plan
. Implementation Strategy.
It also calls for managing the following objectives, together with measurable outcomes and a timeline:
1. Identify a strategic plan with respect to California's Strategic Workforce Development Plan;
2. Produce a document analyzing the regional economy and local workforce (Include data, charts,
and accompanying narrative);
1 Identify specific sector partnerships priority sector employers as a whole (Important to link
priorities to relevant woildorce training including b.at not limited to Career Technical t:ducatlon);
4. Identify "areas of opportunity" with other workforce stakeholders;
5. Develop mechanism for assessing the future progress toward results of the priority actions;
6. Identify key steps toward successful implementation of priority actions.
KEY VALUE ADDED ELEMENTS OF ESSERGY'S STRATEGIC PLANNING PROCESS
Ijev value added by Esserey`s e c ss. F.ssergy's approach consists of a highly detailed initial analysis
and a close coupling of strategy and implementation. We believe, that any strategic plan not directly
related to the operations required to male it succeed grid measureable outcomes will simply sit on a
EXHIBIT A Page 1 of 9
shelf, Essergy integrates strategy and implementation in the iterative process. Our focus on process
issues aims at helping an organization achieve consensus and reach results with which it is satisfied.
Although strategic plans typically begin with a facilitated meeting that emphasizes mission and vision,
close collaboration with the City of Santa Ana, plus time constraints, will obviate the need for such a
facilitated meeting. The required SWOT (strengths, weaknesses, opportunities, and threats) analysis will
follow from the interviews and gathering of data, plus a foundational analysis with which Santa Ana will
concur before taking the next step. We consider this is most important part of the planning process
and devote considerable time to it,
A second element of Essergy strategic planning process is that we keep our eye on implementation
from beginning to end, We believe that the way a decision is made is as important as its outcome.
Strategic plans result in changes. Change is difficult. It must be envisioned and planned for from the
outset of the engagement.
We break the strategic planning process into the following phases:
• Analysis of existing literature, data, and plans. Gathering of economic data (piers budgets,
marketing opportunides„etc) from public and sources and meet.tings with Santa Ann econontfc
professional, and othereoommuupity stakeholders named in the RFQ Objectives.
• Foundational analysis, Triage to identify key issues to address from points of view of Santa Ana
economic development staff and community. The outcome Is a prioritized list of strategic needs
to be confirmed by Santa Ana. Plan defines the parameters of Success,
• Strategic plan, Conversion of the analysis into a plan that sets short and long terms goals;
defines success in meeting the goals; identifies the human, material, and dollar costs associated
with each goal; and creates a milestone chart with costs attached for meeting the goals.
• implementation plan, Work breakdown structure and workflow plan that converts the plan into
a series of actions and details each itern in the top level strategic plan milestone chart,
Ongoing support, Essergy will provide ongoing support as needed and specifically requested by
Santa Ana.
Essergy Strategic planu ng cote values. Essergy conducts its consultations based on the following ideasr
• Writing a plan Is relatively easy, implementing one Is relatively hard. Any strategic plan must
be practical, include the resources to realize it, and secure the widest possible consensus and
trust.
• Honor whatworks. Let both the impetus and motivation for change arise from the client.
Change must not be imposed, it must develop organically.
• Do notcancludeto* soon, Incorporate as many ideas as possible before winnowing them down
to create priorities. Difficulties in implementation often are a product of "soft" buy-In or
concerns that not all sides have been heard.
• Encourage creative tension, Company and government cultures that simply go along to get
along often by-pass important creative ideas and side-roads that can prove fruitful, Agreement
that is too easy can hide, rather than illuminate problems.
• Encourage measurable, practical results. Results must medlate between long term goals and
near term needs and resources. The two go hand-in-hand, and both require definitions of
success that can be assessed and acted upon.
Proposal to Santa Ana Esserg f Const,tatng 3/22/2013 Page 2
• Consensus is not agreement, It is rather an acceptance thatthe process was transparent,
responsive, considerate, and fair. Belief in the process is the key to buy-in.
• Strive for Continua[ brcy tn, Loop back to staff and board regularly to Insure that the process is
seen as legitimate and open. In most cases perception of an unfair or "cooked" process results in
poor Implementation and distrust. Most important, all plans are temporary and must be
adjusted as external and internal conditions evolve and as measurement of Outcomes requires.
CONSTRUCTING THE STRATEGIC PLANNING DOCUMENTS
We have filled in the objectives chart as requested. However, we believe that the objectives should be
addressed in the following order, which more closely corresponds to the tasks involved in creating an
hnplementable strategic plan: Objective 3, Objective 4, Objective 2, Objective 1, Objective 5, Objective
6. Those changes are reflected in the cost chart and timeline below.
Ob'ec ive i.:identify a strata iC plan with respect tp California's Strategic Woritforce Develgpment
Pan
Procedures/Activities;
• Fssergy uses the most current acceptable practices to create workforce development
strategic plans. Our framework incorporates the Competitive Advantage Theory, Cluster
Theory, Balanced Scorecard Theory, and Community Consensus Building based on Essergy's
own model developed specifically for facilitated cornmuriit:y economic development.
Measurable Outcomes:
The outcome is the plan Itself, The plan will identify, with Santa Ana's help and consensus:
• Limited set of prioritized objectives for job development and related training programs based
on interviewees and demographic/business research
• Strategies for Implementing the objectives
• Tactics supporting the strategies
• Human and financial resources needed for each implemented strategy
Timeline (Month/Year); April 2013 - May 2013
Ob ective 2. PMduce a document analvzina the regional econc mrand IQca1 workforce J nclude
data, charts and accornpanvine narrative .
Procedures/Activities:
Collect data, verify it, and check it for reliability (internal consistency) and dependability
(conformity with similar data). Data sources included the CA EDD, HUD Census Data, Harvard
Cluster Mapping project, U.S. Bureau of Economic Analysis, the U.S. Bureau of Labor Statistics
local data collected frorn County and City sources.
• Apply Essergy management techniques. We will assign project manager and -assistant project
manager to assure backup); utilize project management software and in-house control
techniques (based on Department of Defense C-Spec program) that assign costs to each
milestone; establish regular meetings with internal staff; and review all project deliverables for
quality prior to release.
• Utilize Essergy's technical facilities, including integrated cloud computing and communications,
plus all necessary presentation and report production equipment
Proposal to Santa Ana EsSergy Consuaing 3/72/2013 Page 3
Measurable Outcomes:
• Report to Santa Ana prior to creation of strategic plan
• Integration Into strategic plan
Timeline (Month/Year): April 2013
Objective 3: IdegAf specific sector partnerships/priority sector emslovers as a whale (Irn orp taut
to link.prirritias to relevant workforce traintne including but not limited to Career'fechnical
Educetian,?.,
Procedures/Activities:
Essergy has strong sense of the type of community groups that will enhance the local
workforce plan. Reach out to new as well as traditional partners such as, Rancho Santiago
Community College SBDC, Orange County Business Council, Hispanic Chamber of Commerce,
Vietnamese Chamber of Commerce, and Latino Educational Attainment Initiative, consider
restarting the local manufacturers association. Using each connection as an opportunity to
create a match with job training needs requirements of employers.
National and other Statistical data about per-capita and family income, business stability,
employment, rare/ethnicity, etc, published by the U.S. Bureau of the Census, the U.S. Bureau
of Econoric Analysis, the U,S. Bureau of Labor Statistics, the CA EDD and current published
data from universities (UCI annual CEO Survey), colleges (Cal State Fullerton Economic
Forecast Report), trade organizations, and the County (Community Indicators Report) that
Illuminates neighborhood/community Issues. Combined with the successful work created by
the City of Santa Ana Workforce Investment Board and Work Center a stronger regional
:approach can be accomplished.
Specialized Websites and databases, as recognized specialized workforce development for
WORKFORCE DEVELOPMENT St ro tegic Plan requirements.
Measurable Outcomes:
List of community resources to be used to develop econornfc profile and for use as basis of
collaborative efforts in implementation of strategic plan.
Timeline (Month/Yaar): April 2013
Objective 4: Identify "areas of opportunity" with other workforce stakeholders Inc(udin b mess
education and iabor
Praced ures/Activities:
Create an "areas of opportunity" partnership list to identify specific industry needs creating a
regional approach to the local workforce development Issue. Reach out to colleges and
private training institutions currently offering entrepreneurial and career training such as
Irvine Valley College, Cal State Fullerton, UCI and private colleges; Argosy, Phoenix,
Concordia University and Brandruan that have strong vocational training Corn Pori ents,
Target business incubation such as those at the RSCCD DMC or Chapman's K5 to rapture
future needs for cutting edge employment trends. Utilize private non-profits 1hat focus on
job attainment and career training for youth such as San Jose Taller, UCPs Kid 2.0 career
Proposal to Santa Ana Essergy ConsuCt'ing 3/22/2013 Page 4
expo, and Vital Link Orange County. Create new organizational chapters targeting the fast
growing "green" jobs, advanced manufacturing and new trends such as "Made In America"
targeting local goods manufactured in our own backyards, Look for new partnerships to
match need in product design and production with Orange County's vibrant engineering
community with many trained locally at UCI, Cal State Fullerton and Long Beach,
• Essergy evaluation techniques: The areas of opportunity must be analyzed, not simply listed.
Essergy utilizes the following theoretical structures/frameworks for assessing the strategic
significance of collaborative community ventures:
Competitive Advantage Theory (Michael Porter/Council on Competitiveness) to
identify/analyze the unique value added by regional economies. Essergy has used this theory
in workforce strategic plans, studies of green industries and employment in Orange and Los
Angeles, and economic development for five governates in Iraq.
Cluster Theory (outgrowth of above, plus the commissioned Harvard University regional
clusters mapping project nationwide and In a series of technology workforce studies for the
Counties of Orange and Los Angeles.
Balanced Scorecard Theory is a method of balancing Krugman, Goff and others) identifies
diverse geographic and sectoral, supply chain and relationship assets that affect the growth
of particular Industries. Essergy has utilized
Various interests within a given cluster, to accommodate consensus over a set of goals that
work for often competing constituencies. Essergy produced an "Information and
Communication Comprehensive Economic Development Strategy" for Orange County
focused in the impact of broadband communication on the Latino community utilizing this
approach.
Community Consensus to assure that factors analyzed above achieve degree of community
buy-in. Essergy has used a particular format, available upon request to enhance its other
workforce development plans, including planning projects in Monterey Part and Artesia.
Measurable Outcomes:
Maps or descriptions of relevant economic clusters of importance to near term and strategic job
development
Framework for overall strategic plan
Objective 5: Develop mechanism for assessing the future progress toward results of the prioriit
actions.
Procedures/Activities:
See Objective # 4 for theoretical techniques to be used to create assessment. Essergy utilizes two
kinds of metrics for assessing success:
Quantitative: including the verifiability and reliability checks Indicated in Objective #2 above,
Such metrics may include but will not be limited to: increases in primaryjobs; Increase in
secondary and induced employment through the application of statistical techniques and
interviews; Increased business top and bottom lines (as in the case of Essergy's prior Santa Ana
contract); measurements of pay rates for newjobs; number and quality of retained jobs;
increases in number and types of available training and other support systems.
Proposal to Santa Ana Essergy cortsttaling 3/72/2.01.3 Page 5
• Qualitative: formal and informal surveys (often on exit from an engagement) of new or retained
employees and employers, and/or the community at large.
Measurable Outcomes:
. The list above in fact constitutes the measurable outcomes.
Timeline (Month/Year): April-May 2013
Obiective 6: Identify key steps toward successful implementation of priority actions.
Procedures/Activities:
Essergy Is familiar with the required background and economic analysis, the assessment of economic
challenges and opportunities from the private and public sectors, and the method of defining goals and
objectives, delineating projects, and creating plans of action with measurable outcomes. These have
been enumerated in addressing Objectives 4 1-5. In addition, Essergy will evaluate:
• Competition. Competition may be considerable, because the City of Santa Ana has several
qualified surrounding cities and municipalities that are considered within it's region of influence.
In many ways, the situation is similar to the Orange County CEDS that Essergy helped rewrite.
That is one reason Essergy has offered the alternate strategy below.
• Unknowns to be addressed. The largest unknowns in creating a strategic workforce
development/economic development plan acceptable to State of California are:
• How to assemble a Workforce Strategy Plan that meets required State standards. We believe
our understanding of those standards and the system of point awards Is appropriate.
However, we will work with Santa Ana economic development staff to clarify them.
• How to make the Workforce Development Plan optimally effective and efficient. Part of this
challenge is to have a solid methodology. See Essergy's approach in the prior Objectives.
Measurable Outcomes:
The critical outcome is the procedures outlined in the objective above, including the gathering
and analysis of the data, the application of appropriate theoretical structures, and creation of a
visionary yet practical plan that meets Santa Ana and California standards, and that has timelines
and resources attached.
Timeline (Month/Year): May 2013
COST AND SCHEDULE
Soh ule. The schedule below is based on the assumption that the contract begins April 1. It is our
understanding that the effort must be complete by June, a tight deadline. Any delays in signing the
contract or providing promised data will be reflected as schedule changes. Costs are pegged to the
delivered objectives.
April
ITEM 1 8 15 22 29 6 13 20 27 3
Engagement agreement 0
Objective 3 U El CJ
Objective 4 U gl 0
Proposal to Santa Ana E-ssergy Constitlting 3/22/2013 Page 6
Objective 2 C1 ? rJ
Local Economic/Workforce Analysis ?
Objective 7. ? ? ?
Objective S ? 0 ?
Objective 6 ? ? ?
Strategic Plan ?
Implementation Strategy ?
Review by Santa Ana/revision as needed ? ?
Submittal to State
Pay Points (approximate. In thousands) 2 9 12 1.5
BRIEF SUMMARY OF RELEVANT ACCOMPLISHMENTS, LIKELY ESSERGY PROJECT
PERSONNEL
Formed in late 2007, Cssergy began operations in 2008 with the goal of helping environmentally and
socially responsible for- and nonprofit companies and conducting studies for governments. Essergy
seeks to Increase the social and economic return on Investment for its clients, whether private or public.
The following is a selection of Essergy projects completed and in progress relevant to this RFQ In the
public arena. Where grants are mentioned, the total applied for and received Is abotn $11 million.
• Green Jobs Analysis and Projections for City of Los Angeles, including results of Interviews,
analysis, and appendix of all relevant courses offered by public and private resources in city.
• Comprehensive Economic Development Plan for California Space Authority, Cities of Lompoc
and Guadalupe, including objectives, strategies, and organization of local private and public
resources.
Two Economic Development Studies for High Technology Incubators in Lancaster/Palmdale
and the Whiteside area of Los Angeles for County of Los Angeles, including plans for innovative
science campus.
• Economic Development Study for City of Gonzales (in progress) regarding establishment of
regional wind energy management system.
• Economic Development studies, grant applications/management for City of Riverside
regarding Military base Realignment Options
Economic Development Studies for City of Delano (In progress), leading to the development of
an innovative rail spur connecting its agricultural output to a national rail system.
• Economic Development Studies, EDA Grant Application for City of Anaheim, leading to
development of its transportation hub and surrounding businesses.
Small Business Growth Consulting for City of Santa Ana, resulting in about 1.7% bottom line
company growth and the generation of 40 high value jobs. NOTE: two of i:he businesses, Air
and Water and EI3N, have nearly doubled in top line since the contract ended, in part through
continued consulting by Essergy personnel.
Essergy draws on the abilities of 25 Senior Associates who have logged over half a millennium of
business experience in aggregate, written over 200 books and articles and consulted or coached in the
Proposal to Santa Ana Essergy ConruCting x/22/2013 Page 7
U.S., Latin America, Europe, Asia, Russia, and the Middle East. '[he group Includes business consultants,
nonprofit leaders, successful serial entrepreneurs, professors, and former elected and appointed
government officials. Essergy's website, www.essergy.net, contains a list of Senior' Associate
accomplishments; government, private, nonprofit and university clients; a summary of engagements,
projects, and publications; and the most widely used EDA hlog on the Internet,
For this project, the probable Essergy consultants include:
• lilt Oomingaez, Principal, Senior Assoelate, Proje.ctCo loader, Economic development
specialist and expert at sustainability, with national reputation for work in underserved
communities and disaster areas, most read EDA blogger, has raised nearly $80 million for
nonprofits and communities.
• Philip Borden, PhD, Principal, SentorAssociate, Project Leader,. Former professor at UCLA and
USC, serial entrepreneur, nonprofit leader at local arid national levels, consultant on five
continents, author of 100 publications and formal presentations on economic and business
development, state and national legislative testimony. Has conducted strategic planning for for-
profit and nonprofit entities, written or advised on over 100 business plans.
• Barbara Lancaster, Senior Associate, Coach, Organizational analyst and coach, formerly Vice
President, R.R. Donnelly, national board member forJumor Achievement. Strategic planning
expert for for-arid nonprofit entities nationwide, from $1-100 million In revenues, and leading
coach on organizational culture, executive time management, board development,
• Joseph Ames, Senior Assac€ate, Former business editor for Miarnl Herold and Orange Country
Register, coordinator of national research/application programs for W.C. Irvine and SRI, named
to 100 most influential in Orange County for education activities for underserved Latinos.
• Meskerem Tadesse,. 1VIBA, Financial pollcos/procedures expert, formerly in charge of
international arbitrage for Chrysler Corporation, coach and training expert for utilities, adjunct
business professor.
AN ALTERNATE PLAN TO CONSIDER
l _h2 idea. We believe that Santa Ana ought to consider creating a regional approach to the quote it has
requested. Essergy has created such regional plans in the past. Any costs incurred would be In addition
to the fee proposed. These costs would not have to be borne by Santa Ana and in fact would reduce the
amount Santa Ana has to pay by averaging the cost across several communities.
The a Jed contmunities? The key regional collaborator should he Santa Ana. It is roughly comparable
in size, and in economic development, racial-ethnic composition, and workforce challenges. Of course,
there are important differences between the structure and needs of the two communities. However,
the similarities create potential clusters in the arts and entertainment, manufacturing, hospitality, and
health care as well. It also might be advantageous possible to add the smalleii cornrnunlues of Garden
Grove, Stanton, Buena Park, and Westminster. Although they would complicate administration, they
also would extend racial-ethnic diversity and employment/educational balance issues.
The rationale. Although the New State Plan Summary awards only two points to a regional approach,
the benefits are longer Farm. The Economic Development Administration of the Department of
Commerce (EDA) rewards regional oconomic development projects much more readily than single city
plans. "Collaborative Regional innovation" is EDA's number one investment priority (see www.eda.¢ov),
and on March 1.8 EDA released a new initiative stressing that priority for "Make It in America
manufacturing (see
www07.grants.gov/search/se,arch.do;jsession id=Yxy7 RH NJ6xP N n FJvyFptRpyJ Ih RFIDCpgVPdtli6nCvpbwT
Proposal to Santa Ana TssBrgy Co ttatng 3/22/2013 Page 8
7KMydWI-17891770167oppid=227375&mode=VIEW). Similarly, the Council of Competitiveness
(www.compete,org) regularly releases funding initiatives and offers detailed studies of opportunities for
methods for achieving cluster/regional based economic development, These and other grant resources
represent both current opportunities and a key strategic direction for federal funding over the period of
the WGSP.
Proposal to Santa Ana :ESSergy Consulting 3/22/2013 Page 9
INSTRUCTIONS FOR CERTIFICATION
1. By signing and submitting this proposal, the prospective recipient of federal assistance funds is
providing the certification as set out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed
when this transaction was entered into. If it is later determined that the prospective recipient of
federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies
available to the Federal Government, the Department of Labor (DOL) may pursue available
remedies, including suspension and/or debarment.
3. The prospective recipient of federal assistance funds shall provide immediate written notice to the
person to which this proposal is submitted if at any time the prospective recipient of federal
assistance funds learns that its certification was erroneous when submitted or has become erroneous
by reason of changed circumstances.
4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered
transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and
"voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and
Coverage sections of rules implementing Executive Order 12549. You may contact the person to
which this proposal is submitted for assistance in obtaining a copy of those regulations.
5. The prospective recipient of federal assistance funds agrees by submitting this proposal that, should
the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless authorized by the DOL.
6. The prospective recipient of federal assistance funds further agrees by submitting this proposal that
it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and
voluntary exclusion - Lower Tier Covered Transactions," without modification, in all lower tier
covered transactions and in all solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a
lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded
from the covered transaction, unless it knows that the certification is erroneous. A participant may
decide the method and frequency by which it detennines the eligibility of its principals. Each
participant may, but is not required to check the List of Parties Excluded from Procurement or Non-
Procurement Programs.
8. Nothing contained in the foregoing shall be construed to require establishment of a system of
records in order to render in good faith the certification required by this clause. The knowledge and
information of a participant is not required to exceed that which is normally possessed by a prudent
person in the ordinary course of business dealings.
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a
covered transaction knowingly enters into a lower tier covered transaction with a person who is
suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in
addition to other remedies available to the Federal Goverment, the DOL may pursue available
remedies, including suspension and/or debarment.
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, Section 98.510, Participants' responsibilities. The regulations were published
as Part VII of the May 26,1988 Federal Register (pages 19160-19211).
(BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS FOR CERTIFICATION -
Attached)
(1) The prospective recipient of federal assistance fiords certifies, by submission of this proposal, 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 prospective recipient of federal assistance funds is unable to certify to any of the
statements in this certification, such prospective participant shall attach an explanation to this
proposal
Ji
Name and Title of Authorized Represe tive
DISCLOSURE OF LOBBYING ACTIVITIES Approved by OMB
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 0348-0046
(See reverse for public burden disclosure.)
1. Type of Federal Action: 2. Status of Federal Action: 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 For Material Change Only:
d. loan year quarter
e. loan guarantee date of last report
f. loan insurance -
4. Name and Address of Reporting Entity: 5. If Reporting Entity in No. 4 is a Subawardee, Enter Name and Address
? Prime ? Subawardee of Prime:
Tier if known:
Congressional District, if known: Congressional District, if known:
6. Federal Department/Agency: 7. Federal Program Name/Description:
CFDA Number, if applicable:
8. Federal Action Number, if known: 9. Award Amount, if known:
10. a. Name and Address of Lobbying b. Individuals Performing Services ( including address
Entity if different from No. 10a)
( if individual, last name, first name, MI): (last name, first name, MI):
(attach Continuation Sheet(s) SF-LLLA, if necessary)
11. Amount of Payment ( check all that apply): 13. Type of Payment ( check all that apply):
$ ? actual ? planned ? a, retainer
? b. one-time fee
? c. commission
12. Form of Payment ( check all that apply): ? d. contingent fee
? a. cash ? e. deferred
? b. in-kind; specify: nature ? f. other; specify:
value
14. Brief 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 in Item 11:
(attach Continuation Sheet(s SF-LLLA, if necessary)
15. Continuation Sheet(s) SF-LLLA attached: ? Yes ? No
16. Signature:
Information requested through this form is authorized by title 31 Print Name:
U.S.C. section1352. This disclosure of lobbying activities is a Title:
material representation of fact upon which reliance was placed Telephone No.: Date:
by the tier above when this transaction was made or entered
into. This disclosure is required pursuant to 31 U.S.C. 1352. This
information will be reported to the Congress semi-annually and
will be available for public inspection. Any person who falls to file
the required disclosure shall be subject to a civil penalty of not
less that $10,000 and not more than $100,000 for each such
failure.
Authorized for Local Reproduction
Federal Use Only: Standard Form LLL Rev. 7-97)
EXHIBIT B
INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether sub-awardee 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-LLLA
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 activity is and/or has been secured to influence the outcome of a covered Federal
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 sub-award recipient. Identify the tier of the sub-awardee, e.g.,
the first sub-awardee of the prime is the 1 st tier. Sub-awards include but are not limited to subcontracts, sub-grants and contract awards under
grants.
5. If the organization filing the report in item 4 checks "Sub-awardee," 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 loan award number; the application/proposal control
number assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001."
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the
award/loan commitment for the prime 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 the
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 or the officer(s), employee(s), or Member(s) of Congress that were contacted.
15. Check whether or not a SF-LLLA Continuation Sheet(s) is attached.
16. The certifying official shall sign and date the form, print his/her name, title, and telephone number.
According to the Paperwork Reduction Act, as amended, no persons are required to respond to a collection of information unless it displays a
valid OMB Control Number. The valid OMB control number for this information collection is OMB No. 0348-0046. 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, DC 20503.
EXHIBIT B
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 any agency, 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 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 31 U.S.C. 1352.
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 occurring on or
before October 23, 1996, and of not less than $11,000 and not more than $110,000 for
each such failure.
Gran ee ontractor Organization
PAA
i nature
!LG ?.
Name of Certif ng Official Signature
Date
EXHIBIT B
Certification Regarding Drug-Free Workplace Requirements
The certification set out below is a material representation upon which reliance is
placed by the U.S. Department of Housing and Urban Development in awarding the
grant. If it is later determined that the contractor knowingly rendered a false
certification, or otherwise violates the requirements of the Drug-Free Workplace
Act, the U.S. Department of Housing and Urban Development, in addition to any
other remedies available to the Federal Government, may take action authorized
under the Drug-Free Workplace Act.
CERTIFICATION
A. The contractor certifies that it will provide a drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession or use of a
controlled substance is prohibited in the contractor's workplace and
specifying the actions that will be taken against employees for
violation of such prohibition;
(b) Establishing a drug-free awareness program to inform employees
about -
(1) The dangers of drug abuse in the workplace;
(2) The contractor's policy of maintaining a drug-free workplace;
(3) Any available drug counseling, rehabilitation, and employee
assistance program; and
(4) The penalties that may be imposed upon employees for drug
abuse violations occurring in the workplace;
(c) Making it a requirement that each employee who will be engaged in
the performance of the grant be given a copy of the statement
required by paragraph (a);
(d) Notifying the employee in the statement required by paragraph -(a)
that, as a condition of employment under the contract, the employee
will -
(1) Abide by the terms of the statement; and
(2) Notify the employer of any criminal drug statute conviction for
a violation occurring in the workplace no later than five days
after such conviction.
EXHIBIT C
Pg. 2
(e) Notifying the U.S. Department of Housing and Urban Development
within ten days after receiving notice under subparagraph (d)(2) from
an employee or otherwise receiving actual notice of such conviction;
(f) Taking one of the following actions, within 30 days of receiving notice
under subparagraph (d)(2), with respect to any employee who is so
convicted -
( 1) Taking appropriate personnel action against such an employee,
up to and including termination; or
(2) Requiring such employee to participate satisfactorily in a drug
abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement,
or other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug-free
workplace through implementation of paragraphs (a), (b), (c), (d), (e)
and (f).
B. The contractor shall insert in the space provided on the attached "Place of
Performance" form the site(s) for the performance of work to be carried out
with the grant funds (including street address, city, county, state, and zip
code) the contractor further certifies that, if it is subsequently determined
that additional sites will be used for the performance of work under the
contract, it shall notify the U.S. Department of Housing and Urban
Development immediately upon the decision to use such additional sites by
submitting a revised "Place of Performance" form.
Oraanizatioln
d
Signature Date
EXHIBIT C
DIVISION OF EMPLOYMENT SERVICES
PLACE OF PERFORMANCE
FOR CERTIFICATION REGARDING DRUG-FREE WORKPLACE
REQUIREMENTS
Name:
Name of Contractor: g-?
Contractor Num
Date: ! e;) G "
The Contractor shall insert in the space provided below the site(s) expected to be
used for the performance of work under the contract covered by the certification:
Place of Performance (include street address, city, county, state, zip code for each
site):
h?
'L17
EXHIBIT C
ASSURANCES
Subcontractor agrees that in addition to those agreements and obligations specified in
the contract boilerplate and scope of work, it will also adhere to and obey the following
provisions, assurances, and certifications.
ARTICLES
1. Subcontractor assures and certifies that it will not use any funds appropriated
under this agreement for religious activity or anti-religious activity, or to promote
or oppose any political candidate, parties, and/or beliefs
2. Subcontractor assures and certifies that any requested modification to this
agreement must be submitted in writing, explaining requested changes and
rationale. Subcontractor further assures that no modification will be implemented
without prior written approval from the Santa Ana WORK Center
3. Subcontractor agrees to cooperate with any monitoring inspection audit or
investigations of activities related to this agreement as may be scheduled and
conducted by the Santa Ana WORK Center
4. Subcontractor agrees to acknowledge (give credit to) the Santa Ana WORK
Center in all oral presentations, written document publicity, and advertisements
regarding any activities that ensue from this agreement.
EXHIBIT D
J?' It'! eL M 3-C
Policy Numperj?XL550569 Date
® Entered o q
.
CERTIFICATE OF LIABILITY INSURANCE
'ate °A"[...
""""
THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS
CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES
BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED
REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER.
IMPORTANT: If the antithetic holder is an ADDITIONAL INSURED, the policy(les) must be endorsed. If SUBROGATION IS WAIVED, subject to
his terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the
certificate holder In lieu of such endors.men s).
Adams Avenue Insurance Agency nnox s _ (%77)230.8}97 , (866 832-4186
License N07366ti3 psmc cindi gdamRAvelre.com
cuus.a:
9114 Actions Ave, #147 INSIIRERe pFFORnINp COV6RA0E NAICk
Huntington Beach, CA 92646 MUARAA:Onited State. Lisbilit insurance Co
INSURED WRJ.GT j.LC, dba Fssergy Consulting /.RUDER R:
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16787 Beach Blvd
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Huntington Beacl4 CA 92647 Su ER E 1
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Produced using Forms Boss Plus software. www Foun.R. com; Impressive Publishing 1100.208-1977
APPROVED AS TO FORM
LISA E. STQRCK
Assistant City Attorney
ACORD 25 (2010/05) The ACORD more and logo are registered marks of ACORD
POLICY NUMBER: CX 1550569
SUSINESSOWNERS
SP 04 48 07 02
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY.
ADDITIONAL INSURED - DESIGNATED PERSON OR ORGANIZATION
This endorsement modifies insurance provided under the following:
BUSINESSOWNERS COVERAGE FORM
Name of Person Or Organization,
SCHEDULE
Effective Date: 0411812013
City of Santa Ana, its officers, employees, agents and volunteers
20 Civic Canter Plaza
Santa Ana, CA 82702
*Information required to complete this Schedule, if not shown above, will be shown in the Declarations.
The following is added to Paragraph C. Who Is An
Insured in Section II - Liability:
4. Any person or organization. shown in the Schedule
is an insured, but only with respect to liability
arising out of your ongoing operations or premises
owned by or rented to you.
SP 04 48 07 02 ISO Properties, Inc., 2001
APPROVED as poq.l
LISA E. S-o k_.-
Assistant City Atiorney