HomeMy WebLinkAboutA-2004-092
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
A-2004-092
AGREEMENT
BETWEEN
COUNTY OF ORANGE
AND
CITY OF SANTA ANA
FOR THE PROVISION OF WELFARE-TO-WORK EMPLOYMENT SERVICES
THIS AGREEMENT, entered into this 1st day of July, 2004. which date is
particularized for purpose of reference only, is by and between the COUNTY OF
ORANGE. hereinafter referred to as "COUNTY." and CITY OF SANTA ANA, a California
muni ci pa 1 i ty. he rei nafter referred to as "CONTRACTOR." Thi s Agreement shall be
administered by the County of Orange Social Services Agency Director or
designee. hereinafter referred to as "ADMINISTRATOR."
WIT N E SSE T H:
WHEREAS. COUNTY desires to contract with CONTRACTOR for the provision of
Welfare-To-Work employment training services: and
WHEREAS. CONTRACTOR agrees to render such servi ces on the terms and
conditions hereinafter set forth: and
WHEREAS. such contracts are authorized and provided for pursuant to
California Welfare and Institutions Code Section 11200 et seq., also known as
the California Work Opportunities and Responsibility to Kids (CalWORKs) Act of
1997;
NOW. THEREFORE. IT IS MUTUALLY AGREED AS FOLLOWS:
(WSH0204)
1 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
TABLE OF CONTENTS
Page
1. IT~.................................................................4
2. AL TERATION OF TERMS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 4
3. STATUS OF CONTRACTOR. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 4
4. DEFINITIONS:.......................................................... 5
5. DESCRIPTION OF SERVICES, STAFFING..................................... 7
6. LICENSES AND STANDARDS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 8
7. DELEGATION AND ASSIGNMENT/SUBCONTRACTS................................ 8
8. USE OF COUNTY PROPERTY............................................... 13
9. NON-DISCRIMINATION................................................... 13
10. NOTICES.............................................................. 16
11. INDEMNIFICATION AND INSURANCE........................................ 17
12. CONFLICT OF INTEREST................................................. 21
13. ANTI-PROSELYTISM PROVISION........................................... 21
14. SUPPLANTING GOVERNMENT FUNDS......................................... 22
15. BREACH SANCTIONS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 22
16. PAYMENTS............................................................. 23
17 . OVERPAYMENTS......................................................... 24
18. REVENUE.............................................................. 25
19. PROGRAM INCOME....................................................... 25
20. FINAL REPORT......................................................... 26
21. INDEPENDENT AUDIT.................................................... 26
22. RECORDS, INSPECTIONS AND AUDITS...................................... 27
23. PERSONNEL DISCLOSURE................................................. 28
24. CHILD AND DEPENDENT ADULT/ELDER ABUSE REPORTING...................... 30
25. CONFIDENTIALITY...................................................... 30
26. COPYRIGHT ACCESS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 31
27. WAIVER............................................................... 31
28. PETTY CASH... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 32
29. PUBLICITY............................................................ 32
30. COUNTY RESPONSIBILITIES.............................................. 32
31. RE PORTS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 32
32. ENERGY EFFICIENCY STANDARDS... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 32
33. ENVIRONMENTAL PROTECTION STANDARDS................................... 33
34. CERTIFICATION AND DISCLOSURE REGARDING PAYMENTS TO INFLUENCE CERTAIN
FEDERAL TRANSACTIONS................................................. 33
35. POL ITI CAL ACTI V ITY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 35
36. TERMINATION PROVISIDNS............................................... 35
37. GOVERNING LAW... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 35
38. SIGNATURE I N COUNTERPARTS.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 36
EXHIBIT A
1. POPULATION TO BE SERVED. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 1
2. WORKLOAD STANDARDS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 2
3. SERVICES.............................................................. 2
4. ADDITIONAL CONTRACTOR RESPONSIBILITIES................................ 3
5. FORMS................................................................. 4
6 . F AC I L ITI ES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 5
7. CASE RECORDS.......................................................... 5
8. REPORTS............................................................... 5
9. PERFORMANCE REVIEW.................................................... 6
(WSH0204)
2 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
10. STAFF TRAINING. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 7
11. HOURS OF OPERATION.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 7
12. BUDGET FOR PROVISION OF COMMUNITY SERVICE ACTIVITIES.................. 7
13. STAFF................................................................. 8
EXHIBIT B
1. POPULATION TO BE SERVED. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 1
2. WORKLOAD STANDARDS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 1
3. SERVICES.......~...................................................... 2
4. ADDITIONAL CONTRACTOR RESPONSIBILITIES................................ 3
5. FORMS................................................................. 4
6. FACILITIES............................................................ 4
7. CASE RECORDS.......................................................... 4
8. ~~m..............................................................4
9. PERFORMANCE REV I EW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 5
10. STAFF TRAINING. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 6
11. HOURS OF OPERATION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 6
12. BUDGET FOR PROVISION OF WORK EXPERIENCE ACTIVITIES.................... 6
13. STAFF................................................................. 8
(WSH0204)
3 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
1.
TERM
The term of this Agreement shall commence on July 1, 2004, and terminate
on June 30. 2005, unless ear 1 i er termi nated pursuant to the provi si ons of
Paragraph 37 of thi s Agreement; however. CONTRACTOR sha 11 be ob 1 i gated to
perform such duties as would normally extend beyond this term, including but
not limited to obligations with respect to indemnification, audits, reporting
and accounting.
CONTRACTOR and ADMINISTRATOR may mutually agree in writing to
extend the term of this Agreement. provided that COUNTY's maximum obligation
as stated in Subparagraph 17.1 of thi s Agreement does not increase as a
result .
2.
ALTERATION OF TERMS
This
Agreement.
including
Exhibit(s)
attached
hereto
and
any
incorporated by reference, fully expresses all understandings of the parties
and is the tota 1 Agreement between the
parti es as to the subject matter of
alteration of. the terms of this
this Agreement.
No addition to, or
Agreement. whether written or verbal, by the parties. their officers, agents,
or employees. shall be valid unless made in the form of a written amendment to
this Agreement which is formally approved and executed by both parties.
3.
STATUS OF CONTRACTOR
CONTRACTOR is and shall at all times be deemed to be, an independent
contractor and shall be wholly responsible for the manner in which it performs
the services requi red of it by the terms of thi s Agreement.
Noth i ng herei n
contained shall be construed as creating the relationship of employer and
emp 1 oyee. or pri nci pa 1 and agent, between COUNTY and CONTRACTOR or any of
CONTRACTOR's
agents or employees.
CONTRACTOR assumes exclusively the
res pons i bi 1 i ty for the acts of its employees or agents as they relate to
services to be provided during the course and scope of their employment.
III
(WSH0204)
4 of 37
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
1
2
CONTRACTOR. its agents, employees and volunteers, shall not be entitled
to any rights and/or privileges of COUNTY employees. and shall not be
considered in any manner to be COUNTY employees.
3
4
4.
DEFINITIONS:
4.1 Barriers to Employment: Circumstances that interfere with Welfare-
To-Work (WTW) participation. employment, or job search.
4.2 Ca 1 WORKs: The acronym for the Ca 1 iforni a Work Opportunity and
Responsibility to Kids Act of 1997. as described in Section 11200 et. seq. of
the Welfare and Institutions Code.
5
6
4.3
Community Servi ce:
A Welfare-To-Work training activity that is
temporary and transitional. which is performed in the public or private non-
profit sector under close supervision, and provides participants with job
skills that can lead to employment while also meeting a community need. The
Community Service activity is not intended to be punitive in nature or seen as
a last stop program for participants approaching the sixty (61) month CalWORKs
time limit. It is an opportunity to succeed through an intense case
management approach that utilizes all available resources in a focused manner.
Community Service is mandated under California Welfare and Institutions Code
Section 11322.9.
4.4
Electronic Data Systems (EDS):
COUNTY provi ded e 1 ectroni c data
systems through which participant referrals are received by CONTRACTOR and
data is recorded regarding services provided to participants.
4.5 Multi-disciplinary Team (MDT): A partnership team including but
not limited to staff from Welfare-To-Work, Behavioral Health Services.
Domestic Abuse Services. Health Care Agency. One-Stop Centers. Employment
Support, Job Servi ces and Vocat i ona 1 Assessment counselors. The purpose of
this team is to assist the participant to identify and address issues that
have prevented the participant from being successful and work towards the
(WSH0204)
5 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
program goa 1 of self -suffi ci ency.
The MDT wi 11 be bound by the informed
consent requirements specified in Exhibit A, Paragraph 7.3.
4.6
One-Stop Centers:
Employment-based facilities integrating COUNTY
and One-Stop Partners into a single comprehensive center providing a mix of
core, i ntens i ve. and tra i ni ng servi ces to busi nesses seeki ng employees and
participants seeking jobs under various federal and state funding programs.
The centers have been established statewide, pursuant to the federal Workforce
Investment Act of 1998, to implement a collaborative system of employment
training and education programs and services in support of California's
economic development.
4.7
One-Stop Partner:
One of the entities responsible for conducting
the
day-to-day
activities
associated
with
the
delivery
of
workforce
development services to employers and job seeking customers. including daily
management. supervision, and coordination of staff physically co-located at
the Santa Ana WORK Center.
4.8
Participant:
A reci pi ent
of CalWORKs
financial
assistance
benefits who has voluntarily enrolled or is required to participate in the
program pursuant to state regulations.
4.9
Support i ve Servi ces:
Payments provi ded to or on beha lf of WTW
participants for child care. transportation and ancillary expense costs.
4.10 Welfare-To-Work (WTW):
A mandated program under Ca 1 WORKs whi ch
requires parents or caretakers in families on welfare, unless exempted. to
meet work requirements by participating in Welfare-To-Work activities with a
goal of unsubsidized employment leading to self-sufficiency.
4.11 Work Experience:
A planned, structured learning experience that
takes place in a workplace for a limited period of time.
gain exposure to the working world and its requirements.
It is designed to
4.12 Workforce Investment Act (WIA):
The Federal Workforce Investment
(WSH0204)
6 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
Act of 199B provides the framework for a national workforce preparation and
emp 1 oyment system.
Ti t 1 e 1 of the WIA authori zes and funds a number of
employment
and training programs
in California.
Workforce
investment
activities authorized by WIA are provided at the local level via the One-Stop
de 1 i very system to i ndi vi dua 1 sin need of those servi ces, i nc 1 udi ng job
seekers, di s located workers, youth. incumbent workers, new entrants to the
workforce. veterans. persons with disabilities and employers.
The WIA's
primary purpose is to provi de workforce investment act i viti es that increase
the employment, retention, and earnings of the participant. and increase
attainment of occupational skills by participants.
4.13 Workforce Investment Board (WIB):
A consortium of local business
and community leaders who shall provide pol icy guidance and oversight to a
local Workforce Investment Plan that is responsive to the workplace needs of
business and job seekers alike.
4.14 Workforce Investment Plan:
A local plan created under the WIA,
and administered by the WIB on behalf of CONTRACTOR. that provides a
coordinated mix of services that best meets the workforce investment needs of
the local labor market.
5.
DESCRIPTION OF SERVICES. STAFFING
5.1
CONTRACTOR agrees to provide those services. facilities, equipment
and supplies as described in the exhibits to the Agreement Between County of
Orange and City of Santa Ana, for the Provision of Employment Training
Services. attached hereto and incorporated herein by reference:
Exhibit "A"
relating to Community Service activities. and Exhibit "B" relating to Work
Experience activities.
5.2
Subject to thirty (30) days advance notice. ADMINISTRATOR may, in
its sole discretion. require changes in staffing patterns in accordance with
workload demands related to the number of clients to be served.
(WSH0204)
7 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
5.3
Upon
the
of ADMINISTRATOR.
request
CONTRACTOR
sha 11
send
appropri ate staff to attend an ori entati on sess i on and subsequent tra i ni ng
sessions given by COUNTY.
6.
LICENSES AND STANDARDS
6.1
CONTRACTOR warrants that it has all necessary licenses and permits
requi red by the 1 aws of the Uni ted States.
Orange and all other appropriate governmental
State of Ca 1 iforni a, County of
agencies. and agrees to maintain
these licenses and permits in effect for the duration of this Agreement.
Further. CONTRACTOR warrants that its employees shall conduct themselves in
compliance with such laws and licensure requirements including. without
limitation, compliance with laws applicable to sexual harassment and ethical
behavior.
6.2 In the performance of this Agreement, CONTRACTOR shall comply,
unless waived in whole or in part by ADMINISTRATOR, with all applicable
provisions of the California Welfare and Institutions Code: Title 45 of the
Code of Federal Regulations (CFR); Federal Office of Management and Budget
Circulars A-21. A-122. and A-87: 48 CFR 31.2; and all applicable laws and
regulations of the United States, State of California, County of Orange Social
Services Agency Regulations and all administrative regulations, rules and
po 1 i ci es adopted thereunder as each and a 11 may now exi st or be hereafter
amended.
7.
DELEGATION AND ASSIGNMENT/SUBCONTRACTS
7.1
Delegation and Assignment:
CONTRACTOR sha 11 nei ther delegate its duti es or ob 1 i gati ons nor
assign its rights with respect to this Agreement, either in whole or in part.
Any such attempted delegation or assignment shall be void.
The transfer of
assets in excess of ten (10) percent of the total assets of CONTRACTOR. or any
change in the corporate structure, the governi ng body. or the management of
(WSH0204)
8 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
CONTRACTOR. which occurs as a result of such transfer, shall be deemed an
assignment of benefits under the terms of this Agreement and shall be void.
7.2
Subcontracts:
CONTRACTOR shall not subcontract for services under this Agreement
without the prior written consent of ADMINISTRATOR.
If ADMINISTRATOR consents
in writing to a subcontract. in no event shall the subcontract alter. in any
way. any 1 ega 1 res pons i bi 1 i ty of CONTRACTOR to COUNTY.
ADM I N I STRA TOR may
refuse to pay obligations incurred under any subcontract that does not comply
with the terms of this Agreement.
All subcontracts must be in writing and
copies of same shall be provided to ADMINISTRATOR.
CONTRACTOR shall include
in each
subcontract any provision ADMINISTRATOR may require.
7.2.1 Subcontracts of $10,000 or less:
CONTRACTOR shall develop a standard form Purchase Order.
subject to prior written approval of ADMINISTRATOR, to be utilized for the
purchase of servi ces by CONTRACTOR when the cumul ati ve tota 1 cost of the
services to be provided by any organization is anticipated to be ten thousand
dollars ($10.000) or less during the term of this Agreement. The basis for
costs incurred by any such Purchase Order (s) sha 11 be the actua 1 cost of
provi di ng servi ces or the usua 1 and customary charges estab 1 i shed by the
organization(s) providing the services.
7.2.2
Subcontracts in excess of $10,000:
CONTRACTOR shall
develop and submit for approval
to
ADMINISTRATOR a
system for
the procurement
of subcontracts with any
organization in which the total cumulative cost of services provided by any
single organization is anticipated to exceed ten thousand dollars ($10.000)
during the term of this Agreement.
CONTRACTOR's proposed procurement system
shall take into consideration such factors as:
degree of price competition;
pricing policies and techniques; experience and quality of service; methods of
(WSH0204)
9 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
evaluating subcontractor responsibility: relationship of subcontractor to
CONTRACTOR:
planning,
award.
and postaward management of subcontracts.
including
internal
audit
procedures
and monitoring of subcontractor's
performance until completion of services.
Upon ADMINISTRATOR's approval of CONTRACTOR's proposed
system. CONTRACTOR sha 11 comply wi th such procurement system in
procurement
obtai ni ng subcontracts with a tota 1 cost in excess of ten thousand dollars
($10,000) duri ng the term of thi s Agreement.
In addition. CONTRACTOR shall
obtain ADMINISTRATOR's written consent prior to entering into a subcontract
with any organization when the total
cumulative cost of services to be
provided by that organization is anticipated to exceed ten thousand dollars
($10.000) during the term of this Agreement.
CONTRACTOR and its subcontractor(s) shall establish and
maintain accurate and complete financial records related to services provided
under the terms of thi s Agreement.
Such records may be subject to the
satisfaction
of ADMINISTRATOR,
and
the
to
examination
and
audit
by
ADMINISTRATOR or designee. for a period of four (4) years after the date of
final payment under this Agreement, or until any pending audit is completed.
8.
FORM OF BUSINESS ORGANIZATION AND REAL PROPERTY DISCLOSURE
8.1
Form of Business Organization:
Upon the request of ADMINISTRATOR. CONTRACTOR sha 11 prepare and
submit. within thirty (30) days thereafter. an affidavit executed by persons
satisfactory to ADMINISTRATOR containing. but not limited to, the following
information:
8.1.1
The form of CONTRACTOR's business organization.
i.e. .
proprietorship. partnership. corporation. etc.
8.1. 2
A detai 1 ed
statement
i ndi cati ng the
relationship of
CONTRACTOR. by way of ownership or otherwise. to any parent organization or
(WSH0204)
10 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
individual.
8.1. 3
A detailed
indicating the
statement
relationship of
CONTRACTOR to any subsidiary business organization or to any individual who
may be providing services. supplies, material or equipment to CONTRACTOR or in
any manner does business with CONTRACTOR under this Agreement.
8.2
Change in Form of Business Organization:
If duri ng the term of thi s Agreement.
the form of CONTRACTOR's
bus i ness organi zat i on changes, or the ownershi p of CONTRACTOR changes. or
CONTRACTOR's re 1 at i onshi p to other bus i nesses dea 1 i ng with CONTRACTOR under
this Agreement changes. CONTRACTOR shall promptly notify ADMINISTRATOR. in
writi ng.
detailing such changes.
A change in the form of business
organi zat i on may. at COUNTY's sole di scret ion. be treated as an attempted
assignment of rights or delegation of duties of this Agreement.
8.3
Real Property Disclosure:
If CONTRACTOR is occupying any real property under any agreement,
oral or written. where persons are to receive services hereunder. CONTRACTOR
may be required to submit the following information in addition to a copy of
the 1 ease. 1 i cense or renta 1 agreement. as well as any other i nformati on
requested. within ten (10) days from the date of the request by ADMINISTRATOR:
8.3.1
The 1 ocat i on by street address and ci ty of any such rea 1
property.
8.3.2
The fai r market value of any such real property as such
va 1 ue is refl ected on the most recent ly issued County Tax Collector's tax
bill .
8.3.3
A detai led
description of all
existing and pending
agreements, with respect to the use or occupation of any such real property.
Such description shall include. but not be limited to:
8.3.3.1
The term duration of any rental agreement, lease
(WSH0204)
11 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
or sublease:
8.3.3.2
The amount of monetary consideration to be paid
to the lessor. sublessor or licensor over the term of the rental agreement,
lease. or sublease:
8.3.3.3
The
and
type
do 11 a r
value
of
any
other
consideration to be paid to the lessor, sublessor or licensor;
8.3.3.4
The full names and addresses of all parties to
any agreement concerning the real property and a listing of liens (if any)
thereof, together with a listing by full names and addresses of all officers,
directors and stockholders of any private corporation and a similar listing of
all general and limited partners of any partnership which is a party.
8.3.4
A Ii sti ng by full names of all of CONTRACTOR's offi cers.
directors andlor partners. members of its administrative and advisory boards,
staff and consultants. who have any family relationship by marriage or blood
with a party to any agreement concerning real property referred to in
Subparagraph 8.3.3. immediately above, or who have any present or future
financial interest in such person's business. whether the entity concerned is
a corporation or partnership.
Such listing shall also include the full names
of a 11 of CONTRACTOR's offi cers. di rectors, partners and those ho 1 di ng a
fi nanci a I interest.
Included are members of its advisory boards. members of
its staff and consultants. who have any family relationship by marriage or
blood. to an offi cer, di rector. or stockholder of the corporati on or to any
partner of the partnership.
also indicate the names
In preparing the latter listing. CONTRACTOR shall
of the officers, directors. stockholders, or
partner(s). as appropriate, and the family relationship
such person(s) and CONTRACTOR's representatives listed.
8.3.5 True and correct copies of all agreements with respect to
real property shall be appended to the affidavit described above and
which exists between
any such
(WSH0204)
12 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
made a part thereof.
If. during the term of this Agreement, there is a change
in the agreement(s) with respect to real property where persons receive
services.
CONTRACTOR
in writing,
shall
promptly notify ADMINISTRATOR,
describing such changes.
9.
USE OF COUNTY PROPERTY
9.1 COUNTY intends to permi t CONTRACTOR the rent- free use of offi ce
space, office furniture, and office equipment located in any and all offices
and COUNTY facilities at which CONTRACTOR will be collocated with COUNTY staff
pursuant to this Agreement, as is more particularly set forth in that certain
sublease described in Subparagraph 9.2, below.
As stated in the sublease.
said office space. office furniture, and equipment shall be used solely by
emp 1 oyees of CONTRACTOR whi 1 e performi ng thei r assi gned duties pursuant to
this Agreement.
9.2
CONTRACTOR
sha 11
enter
into
rent-free
sublease
with
a
ADMINISTRATOR for faci 1 ities provided by ADMINISTRATOR and wi 11 execute all
terms and conditi ons of sai d agreement upon ADMIN ISTRATOR' s presentati on of
said document to CONTRACTOR.
breach of this Agreement.
Failure to execute the sublease will result in a
10.
NON-DISCRIMINATION
10.1 In the performance of this Contract. CONTRACTOR agrees that it
shall not engage nor employ any unlawful discriminatory practices in the
admission of clients. provision of services or benefits, assignment of
accommodations, treatment. evaluation. employment of personnel or in any other
respect on the basis of. sex, race, color.
ethnicity. national
origin,
sexual
ancestry.
religion.
marita 1
status.
medical
condition.
age,
orientation. physical or mental disability or any other protected group in
accordance with the requirements of all applicable Federal or State law.
10.2 CONTRACTOR shall develop an Affirmative Action Program Plan which
(WSH0204)
13 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
meets the lawful and applicable requirements of the Department of Health and
Human Services.
10.3 CONTRACTOR shall furnish any and all information requested by
ADMINISTRATOR and shall permit ADMINISTRATOR access. during business hours. to
books, records and accounts in order to ascertain CONTRACTOR's compliance with
Paragraph 10 et seq.
10.4 CONTRACTOR shall comply with Executive Order 11246. entitled
"Equa 1 Employment Opportunity". as amended by Executi ve Order 11375 and as
supplemented in Department of Labor regulations (41 CFR Part 60).
10.5 Non-Discrimination in Employment
10.5.1 All solicitations or advertisements for employees placed
by or on behalf of CONTRACTOR shall state that all qualified applicants will
receive consideration for employment without regard to sex. race. color,
ethnicity, national origin, ancestry. religion, age. marital status, medical
condi t ion, sexua 1 ori entati on. phys i ca 1 or menta 1 di sabil ity or any other
protected group in accordance with the requirements of all applicable Federal
or State law. Notices describing the provisions of the equal opportunity
clause sha 11
applicants.
be posted in a conspicuous place for employees and job
filing a
10.5.2 CONTRACTOR sha 11 refer any and all employees desi rous of
formal discrimination complaint to:
State of California Public Inquiry and
744 P Street. MS 20-23
Sacramento. California 95814
Telephone: 1-800-952-5253
1-800-952-8349 (Hearing
Response Bureau
Impaired)
10.6 Non-Discrimination in Service Delivery
10.6.1 CONTRACTOR shall comply with Title VI and VII of the Civil
Rights Act of 1964. as amended: Section 504 of the Rehabilitation Act of 1973.
as amended: the Age Discrimination Act of 1975. as amended: the Food Stamp Act
(WSH0204)
14 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
of 1977, as amended. and
Americans with Disabilities
in particular Section 272.6; Title II of the
Act of 1990: California Civil Code Section 51 et
seq.. as amended:
California Government Code Sections
11135-11139.5, as
(1), (i), and (j):
amended: California Government Code Section 12940 (c), (h)
California Government Code Section 4450: Title 22,
California Code of
Regulations
Sections
98000-98413:
Title 24 of the California Code of
Regulations. Section 3105A(e): the Dymally-Allatorre Bilingual Services Act
(California Government Code Section 7290-7299.8); Section 1808 of the Removal
of Barriers to Interethnic Adoption Act of 1996: and other applicable Federal
and State laws, as well as their implementing regulations (including 45 Code
of Federal Regulations (CFR) Parts 80, 84. and 91, 7 CFR Part 15. and 28 CFR
Part 42). and any other law pertaining to Equal Employment Opportunity,
Affirmative Action and Nondiscrimination as each may now exist or be hereafter
amended.
CONTRACTOR shall
not implement any administrative methods or
procedures which would have a discriminatory effect or which would violate the
California Department of Social Services (CDSS) Manual of Policies and
Procedures (MPP) Division 21. Chapter 21-100.
If there are any violations of
this paragraph. CDSS shall have the right to invoke fiscal sanctions or other
legal remedies in accordance with Welfare and Institutions Code Section 10605.
or Government Code Sections 11135-11139.5. or any other laws. or the issue may
be referred to the appropriate Federal agency for further compl iance action
and enforcement of Subparagraph 10.6 et seq.
10.6.2 CONTRACTOR shall provide any and all clients desirous of
filing a formal complaint any and all information as appropriate:
10.6.2.1
Pamphlet: "Your Rights Under California Welfare
Programs (PUB 13)
10.6.2.2
10.6.2.3
Discrimination Complaint Form
Civil Rights Contacts:
(WSH0204)
15 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
County Civil Rights Contact:
Orange County Social Services Agency
Program Integrity
1200 N. Main Street
Santa Ana. CA 92701-3633
Attn: Civil Rights Coordinator
Telephone: (714) 480-6501
State Civil Rights Contact:
California Department of Social Services
Civil Rights Bureau
744 P Street. M.S. 15-70
Sacramento, CA 95814
Federal Civil Rights Contact:
U.S. Department of Health and Human Services
Office of Civil Rights
50 U.N. Plaza, Room 322
San Francisco. CA 94102
11.
NOTICES
All
notices.
claims.
correspondence.
reports,
andlor
statements
authorized or required by this Agreement shall be addressed as follows:
COUNTY:
County of Orange Social
Contract Services
888 N. Main Street
Santa Ana. CA 92701
Services Agency
CONTRACTOR:
Santa Ana WORK Center
1000 E. Santa Ana Blvd..
Santa Ana, CA 92701
Suite 200
All notices shall be deemed effective when in writing and deposited in
the United States mail. first class, postage prepaid and addressed as above.
Any notices, c 1 aims. correspondence, reports andlor statements authori zed or
required by this Agreement addressed in any other fashion shall be deemed not
given.
ADMINISTRATOR and CONTRACTOR may mutually agree in writing to change
the addresses to which notices are sent.
III
(WSH0204)
16 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
12.
INDEMNIFICATION AND INSURANCE
12.1 CONTRACTOR agrees to indemnify. defend wi th counsel approved in
writing by COUNTY. and hold Department of Health and Human Services, the
State. COUNTY. and their elected and appointed officials, officers. employees,
agents and those special districts and agencies which COUNTY's Board of
Supervi sors acts as the governi ng Board ("COUNTY INDEMNITEES") harml ess 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
servi ces, products or other performance
provi ded by CONTRACTOR pursuant to
agai nst CONTRACTOR and COUNTY by a
th i s Agreement.
If judgment is entered
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.
apportionment.
Neither party shall request a jury
12.2 Without limiting CONTRACTOR's liability for indemnification. prior
to the provi si on of servi ces under thi s Agreement, CONTRACTOR agrees to
purchase all requi red insurance at CONTRACTOR's expense and to depos it wi th
ADMINISTRATOR Certificates of Insurance. including all endorsements required
herei n, necessary to satisfy COUNTY that the insurance provi si ons of thi s
Agreement have been complied with and to keep such insurance coverage and the
certificates therefore on deposit with ADMINISTRATOR during the entire term of
this Agreement. as set forth herein.
12.3 CONTRACTOR shall ensure that all subcontractors performing work on
behalf of CONTRACTOR pursuant to this Agreement shall be covered under
CONTRACTOR's insurance as an additional insured or maintain insurance subject
to the same terms and conditions as set forth herein for CONTRACTOR.
CONTRACTOR shall not allow subcontractors to work if subcontractors have less
than the 1 eve 1 of coverage requi red by COUNTY from CONTRACTOR under thi s
(WSH0204)
17 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
Agreement.
It is the ob 1 i gat i on of CONTRACTOR to provi de notice of the
insurance
requirements to every subcontractor.
and to receive proof of
insurance pri or to all owi ng any subcontractor to begi n work.
Such proof of
insurance must be maintained by CONTRACTOR through the entirety of this
Agreement for inspection by County representative(s) at any reasonable time.
12.4 All insurance pol i ci es requi red by thi s Agreement sha 11 declare
any deductible or self-insured retention (SIR) in an amount in excess of
$25.000 ($5.000 for automobile liability). which shall
specifically be
approved by the County Executive Office (CEO)/Office of Risk Management.
CONTRACTOR shall be responsible for reimbursement of any deductible to the
insurer.
Any self-insured retentions (SIRs) or deductibles shall be clearly
stated on the Certificate of Insurance.
12.5 If CONTRACTOR fails to maintain insurance acceptable to COUNTY for
the full term of this Agreement. COUNTY may terminate this Agreement.
12.6 The policy or policies of insurance required herein must be issued
by an insurer licensed to do business in the State of California (California
Admitted Carrier). If the insurer is not licensed to do business in the State
of California, ADMINISTRATOR retains the right to approve or reject the
insurer after a review of the insurer's performance and financial ratings by
the County Executive Office (CEO)/Office of Risk Management.
12.7 The policy or policies of insurance required herein must be issued
by an insurer with a minimum rating of "A- (Secure Best's Rating)" and a
minimum financial rating of "VIII (Financial Size Category),"
the most current edition of the Best's Key Rating
Casualty/United States or by going on-line to "ambest.com."
12.8 The policy or polices of insurance maintained by CONTRACTOR shall
as determined by
GUide/Property-
provide the minimum limits and coverage as set forth below:
III
(WSH0204)
18 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
Coverage Minimum Limits
Per Occurrence* Annual Aggregate
Commercial General Liability with
broad form property damage and $1.000,000 $2.000.000
contractual liability
Automobile Liability (covering all
$1,000,000 $1.000,000
owned, non-owned and hired vehicles)
Workers' Compensation Statutory Statutory
12.9 All liability insurance. required by this Agreement shall be at
least $1.000,000 combined single limit per occurrence. The minimum aggregate
limit for the Commercial General Liability policy shall be $2.000.000.
12.10 The County of Orange shall be added as an additional insured on
all insurance policies required by this Agreement with respect to the services
provi ded by CONTRACTOR under the terms of thi s Agreement (except Workers'
Compensation/Employers'
Liability.
An
additional
insured
endorsement
evidencing that the County of Orange is an additional insured shall accompany
the Certificate of Insurance.
12.11 All insurance policies required by this Agreement shall be primary
insurance,
and any insurance maintained by the County of Orange shall be
excess and non-contributing with insurance provided by these policies.
An
endorsement evidencing that CONTRACTOR's
insurance is primary and non-
contributing shall specifically accompany the Certificate of Insurance for the
Commercial General Liability.
12.12 All insurance policies required by this Agreement shall give the
County of Orange 30 days notice in the event of cancellation.
Thi s sha 11 be
evi denced by an endorsement separate from the Cert Hi cate of Insurance.
In
addition. the cancellation clause must include language as follows, which
edits the pre-printed ACORD certificate:
(WSH0204)
19 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
"SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED
BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING COMPANY WILL
E~IDE^VOR TO MAIL 30 DAYS WRITTEN NOTICE TO THE CERTIFICATE
HOLDER NAMED TO THE LEFT.
[JUT FMLURE TO M:\IL SUCFI NOTICE
~H!\LL IMPOSE ~IO OBLI Gi'.TI ml OR LI/'.BILITY OF /\NY KIND upml THE
COMPNIY. ITS ,^,GE~IT OR REPREWIT^TIVE."
12.13 All insurance policies required by this Agreement shall waive all
rights of subrogation against the County of Orange and members of the Board of
Supervisors, its elected and appointed officials, officers. agents and
employees when acting within the scope of their appointment or employment.
12.14 The
Commercial
General
Liability
policy
sha 11
contain
a
severability of interests clause.
12.15 CONTRACTOR is aware of the provisions of Section 3700 of the
Ca 1 iforni a Labor Code whi ch requi res every employer to be insured agai nst
1 i abi 1 i ty for Workers' Compensati on or be self - insured in accordance wi th
provisions of that code.
CONTRACTOR wi 11 comply with such provi s ions and
shall furnish COUNTY satisfactory evidence that CONTRACTOR has secured, for
the peri od of thi s Agreement. statutory Workers' Compensation insurance and
Employers'
Liability
insurance with minimum
1 imits
of $1.000,000
per
occurrence.
12.16 If CONTRACTOR fails to provide the insurance certificates and
endorsements within seven (7) days of notification by CEOIPurchasing or
ADMINISTRATOR, award may be made to the next qualified proponent.
12.17 COUNTY expressly retains the right to require CONTRACTOR to
increase or decrease insurance of any of the above insurance types throughout
the term of this Agreement.
Any increase or decrease in insurance will be as
deemed by County of Orange Risk Manager as appropriate to adequately protect
COUNTY.
(WSH0204)
20 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
12.18 COUNTY shall
notify CONTRACTOR in writing of changes in the
If CONTRACTOR does not deposit copies of acceptable
insurance requirements.
certifi cates of insurance and endorsements wi th ADMINISTRATOR i ncorporat i ng
such changes within thirty (30) days of receipt of such notice, this Agreement
may be in breach wi thout further noti ce to CONTRACTOR, and COUNTY sha 11 be
ent i t 1 ed to all 1 ega 1 remedi es .
12.19 The procuri ng of such requi red pol i cy or pol i ci es of insurance
shall not be construed to limit CONTRACTOR's liability hereunder nor to
fulfill the indemnification provisions and requirements of this Agreement.
12.20 The County of Orange Certificate of Insurance and the Special
Endorsement for the County of Orange can be utilized to verify compliance with
the above-menti oned insurance requi rements in place of commerci a 1 insurance
certificates and endorsements.
12.21 If CONTRACTOR is a governmental entity. CONTRACTOR may self-insure
for required coverages.
13,
CONFLICT OF INTEREST
CONTRACTOR shall exercise reasonable care and diligence to prevent any
actions or conditions that could result in a conflict with the best interests
of COUNTY.
This obligation shall apply to CONTRACTOR's employees. agents.
relatives. subcontractors. and third parties associated with accomplishing the
work hereunder.
CONTRACTOR's efforts shall include, but not be limited to. establishing
precautions to prevent its employees or agents from making.
receiving,
or other
providing,
or offering gifts. entertainment. payments,
loans,
considerations which
contrary to the best
could be deemed to appear to
interests of COUNTY.
influence individuals to act
14.
ANTI-PROSELYTISM PROVISION
No funds provi ded di rect ly to i nsti tut ions or organi zati ons to provi de
(WSH0204)
21 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
services and administer programs under 42 U.S.C. Section 604(a)(I)(A) shall be
expended for sectari an worshi p, i nstructi on, or prose lyt i zati on. except as
otherwise permitted by law.
15.
SUPPLANTING GOVERNMENT FUNDS
CONTRACTOR shall not supplant any Federal, State or COUNTY funds
intended for the purposes of thi s Agreement wi th any funds made ava il ab 1 e
under this Agreement.
CONTRACTOR sha 11 not c 1 ai m reimbursement from COUNTY
for, or apply sums received from COUNTY with
obligations which have been paid by another
respect to, that portion of its
source of revenue.
CONTRACTOR
agrees that it shall not use funds received pursuant to this Agreement, either
di rect ly or i ndi rect ly. as a contri but i on or compensation for purposes of
obtaining Federal, State or COUNTY funds under any Federal. State or COUNTY
program without prior written approval of ADMINISTRATOR.
16.
BREACH SANCTIONS
Failure by CONTRACTOR to comply with any of the provisions, covenants,
or conditions of this Agreement shall be a material breach of this Agreement.
In such event ADMINISTRATOR may, in its sole discretion. and in addition to
immediate termination and any other remedies available at law, in equity. or
otherwise specified in this Agreement:
16.1 Afford CONTRACTOR a time period within which to cure the breach,
which period shall be established at the sole discretion of ADMINISTRATOR:
and/or
16.2 Discontinue reimbursement to CONTRACTOR for and during the period
in which CONTRACTOR is in breach, which reimbursement shall not be entitled to
later recovery: and/or
16.3 Offset against any monies billed by CONTRACTOR but yet unpaid by
COUNTY those monies disallowed pursuant to Subparagraph 16.2, above.
ADMINISTRATOR shall give CONTRACTOR written notice of any
action
(WSH0204)
22 of 37
I
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
pursuant to this paragraph, which notice shall be deemed served on the date of
mailing.
17.
PAYMENTS
17.1 Maximum Contractual Obligation:
The maximum obl igation of COUNTY under this Agreement shall be
$265.000, or actual allowable costs. whichever is less.
17.2 Allowable Costs:
Duri ng the term of thi s Agreement. COUNTY sha 11 pay CONTRACTOR
monthly in arrears. for actual allowable costs incurred and paid by CONTRACTOR
pursuant to this Agreement. as defined in OMB Circular A-87 or as approved by
ADMINISTRATOR. However, COUNTY. in it sole discretion. may pay CONTRACTOR for
anticipated allowable costs that will be incurred by CONTRACTOR for June 2005.
during the month of such anticipated expenditure.
17.3 Claims:
17.3.1 All claims must be submitted monthly by CONTRACTOR on a
form approved by ADMINISTRATOR.
All claims submitted to COUNTY must be
supported with source documents including. inter alia, a monthly statement of
services.
general
ledgers.
supporting journals,
and receiving records,
time sheets.
invoices,
canceled checks. receipts.
some of which may be
required to be copied and submitted with each monthly
documents that CONTRACTOR must submit with each monthly
invoice.
Source
invoice
shall be
determined by ADMINISTRATOR andlor COUNTY's Auditor-Controller.
CONTRACTOR
sha 11 reta in all fi nanci a 1 records in accordance with Paragraph 23 (Records,
Inspections, Audits) of this Agreement.
17.3.2 Payments should be released by COUNTY within a reasonable
time period of approximately thirty (30) days after receipt of a correctly
completed claim form and required supporting documentation.
17.3.3 Final Claim/Settlement:
(WSH0204)
23 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
17.3.3.1
ADMINISTRATOR no 1 ater than
Any and all c 1 ai ms must be recei ved by
August 30, 2005 at 5: 00 p. m.. sa i d date bei ng
approxi mate ly sixty (60) days after termi nati on of thi s Agreement.
Claims
received after this date and time may not be reimbursed.
ADMINISTRATOR may.
in its sole di scret ion, modify the date upon whi ch the fi na 1 c 1 aim must be
received. upon notice to CONTRACTOR.
17.3.3.2
The basis for final settlement shall be the
actual allowable costs as defined in Title 45 of the Code of Federal
Regulations and OMS Circular A-87, incurred and paid by CONTRACTOR pursuant to
this Agreement: limited. however, to the maximum obligation of COUNTY.
event that any overpayment has been made. COUNTY may offset the amount
In the
of the
overpayment against the final payment.
In the event overpayment exceeds the
final payment, CONTRACTOR shall pay COUNTY all such sums within five (5) days
of notice from COUNTY.
Nothi ng herei n sha 11 be construed as 1 imiti ng the
remedies of COUNTY in the event an overpayment has been made.
18.
OVERPAYMENTS
Any payment(s) made by COUNTY to CONTRACTOR in excess of that to which
CONTRACTOR
is entitled under this Agreement shall be repaid to COUNTY. in
with any applicable regulations andlor policies in effect during
accordance
the term of thi s Agreement, or as estab 1 i shed by COUNTY procedure.
Any
overpayments made by COUNTY which result from a payment by any other funding
source shall be repaid. at the discretion of ADMINISTRATOR. to COUNTY or the
funding source.
Unless earlier repaid. CONTRACTOR shall make repayment within
thirty (30) days after the date of the final audit findings report, and prior
to any administrative appeal process.
In the event an overpayment owing by
CONTRACTOR is collected from COUNTY by the fundi ng source. then CONTRACTOR
shall reimburse COUNTY within thirty (30) days thereafter, and prior to any
administrative appeal process. CONTRACTOR agrees to pay all costs incurred by
(WSH0204)
24 of 37
9
10
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
1
2
COUNTY necessary to enforce the provisions set forth in this paragraph.
19.
REVENUE
Whenever CONTRACTOR recei ves any money specifi ca 11y desi gnated for use
3
4
in programs funded through this Agreement. such monies shall be considered a
cost off-set and treated as a reduction against the amount claimed by
5
6
CONTRACTOR, except for Program Income as defined in 45 CFR. Section 92.25 as
7
8
that section currently exists or may be hereafter amended.
The procedure for
designating money as Program Income is set forth in Paragraph 20 of this
Agreement.
20.
PROGRAM INCOME
It is mutually understood that the State or Federal agency responsible
11
12
for providing the funding for this Agreement may designate certain revenue of
CONTRACTOR as Program Income.
To be designated as Program Income and.
therefore. as other than a cost off -set, CONTRACTOR sha 11 do a 11 of the
fo 11 owi ng:
20.1 Submit a plan to ADMINISTRATOR for the use of any and all proposed
Program Income:
20.2 Set up and ma i ntai n a separate bank account for any proposed
Program Income and account for any and all such income received; and
20.3 Report to ADMINISTRATOR any and all
Program Income received no
1 ater than thi rty (30) days from the date of recei pt: record the amount
recei ved on i nterna 1 fi nanci a 1 records: and i ndi cate the amount recei ved on
the monthly claim submitted to ADMINISTRATOR.
20.4 ADMINISTRATOR shall then forward the plan for the requested use of
the proposed Program Income to the appropriate State and/or Federal agencies
for approva 1 .
20.5 CONTRACTOR shall not spend any of the proposed Program Income
unless or until such time as ADMINISTRATOR obtains authorization for the use
(WSH0204)
25 of 37
3
4
5
6
7
8
9
10
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
1
2
of the Program Income from the respons i b 1 eState andlor Federa 1 agency and
provides CONTRACTOR with prior written approval for the use of the funds.
20.6 ADMINISTRATOR may, in its sole discretion, issue future policy
statements andlor i nstructi ons wi th respect to Program Income.
CONTRACTOR
shall immediately comply with such policy statements and/or instructions.
21.
FINAL REPORT
CONTRACTOR sha 11
complete and submit to ADMINISTRATOR a final report
within sixty (60) days after the termination of this Agreement, which shall
summarize the activities and services provided by CONTRACTOR during the term
of this Agreement.
CONTRACTOR and ADMINISTRATOR may mutually agree in writing
11
12
to modify the date upon which the final report must be submitted.
22.
INDEPENDENT AUDIT
22.1 CONTRACTOR sha 11
emp 1 oy a 1 i censed cert Hi ed pub 1 i c accountant.
who shall prepare and file with ADMINISTRATOR, an annual organization-wide
audit of related expenditures during the term of this Agreement in compliance
with the Office of Management and Budget (OMB) Circular A-133, Audits of
States. Loca 1 Governments. and Non-Profi t Organi zati ons. The audi t must be
performed in accordance with Generally Accepted Government Auditing Standards
(GAGAS) and OMB Circular A-8?
CONTRACTOR shall cooperate with County. State
andlor Federal agencies to ensure that corrective action is taken within six
(6) months after issuance of all
audit reports with regard to audit
exceptions.
CONTRACTOR agrees to provide ADMINISTRATOR with a copy of its organization-
wide audit for the period ending June 30 within sixty (60) days after the end
of its fiscal year. Failure to comply with this paragraph shall be sufficient
cause for ADMINISTRATOR, in its sole discretion. to deny payment of any monies
under this or any other subsequent Agreement with CONTRACTOR until such time
the audit is received. ADMINISTRATOR may. in its sole discretion, modify the
(WSH0204)
26 of 3?
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
date upon which the independent audit must be received. upon notice to
CONTRACTOR.
23.
RECORDS. INSPECTIONS AND AUDITS
23.1 Financial Records:
23 . 1 . 1 CONTRACTOR
sha 11
and
maintain
accurate
and
prepare
comp 1 ete fi nanci a 1 records.
CONTRACTOR, for a mi ni mum of
Financial
records sha 11
be retained,
by
four (4) years from the date of final payment
under this Agreement or until all pending COUNTY, State and Federal audits are
completed. whichever is later.
23 . 1 . 2 CONTRACTOR
sha 11
establish
and
maintain
reasonable
account i ng. i nterna 1 control and fi nanci a 1 reporti ng standards in conformi ty
with genera 11y accepted accounting pri nci p 1 es estab 1 i shed by the Ameri can
Institute of Certified Public Accountants (AICPA) and to the satisfaction of
ADMINISTRATOR.
23.2 Participant Records:
23.2. 1 CONTRACTOR
shall
and
maintain
accurate
and
prepare
complete records of clients served, and dates and type of services provided
under the terms of this Agreement in a form acceptable to ADMINISTRATOR.
23.2.2 All c 1 i ent records related to servi ces provi ded under the
terms of this Agreement shall be retained by CONTRACTOR for a minimum of four
(4) years from the date of fi na 1 payment under thi s Agreement or unti 1 all
pending COUNTY. State and Federal audits are completed, whichever is later.
Notwithstanding anything to the contrary, upon termination of this Agreement,
CONTRACTOR sha 11 reI i nqui sh control wi th respect to c 1 i ent records to COUNTY
in accordance with Subparagraph 37.2.
23.2.3 COUNTY may refuse payment for a cIa i m if c 1 i ent records
are determined by COUNTY to be incomplete or inaccurate.
In the event client
records are determined to be incomplete or inaccurate after payment has been
(WSH0204)
27 of 37
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
1
2
made. COUNTY may treat such payment as an overpayment within the provisions of
this Agreement.
3
4
23.3 Inspections and Audits:
23.3.1 The Department of Hea lth and Human Servi ces, Comptroller
of the United States. Director of the California Department of Social
5
6
General
Services. State Auditor-General, ADMINISTRATOR, COUNTY's Auditor-Controller
and Interna 1 Audit Department. or any of thei r authori zed representati ves,
sha 11 have access to any books, documents, papers and records, i nc 1 udi ng
medical records. of CONTRACTOR which any of them may determine to be pertinent
to this Agreement for the purpose of financial monitoring.
Further. a 11 the
above mentioned persons have the right at all reasonable times to inspect or
otherwise evaluate the work performed or being performed under this Agreement
and the premises in which it is being performed.
23.3.2 CONTRACTOR shall make available its books and financial
records within the borders of Orange County within ten (10) days after receipt
of written demand by ADMINISTRATOR.
23.3.3 In the event CONTRACTOR does not make available its books
and financial records within the borders of Orange County. CONTRACTOR agrees
to pay all necessary and reasonable expenses incurred by COUNTY. or COUNTY's
designee, necessary to obtain CONTRACTOR's books and financial records.
23.3.4 CONTRACTOR shall pay to COUNTY the full amount of COUNTY's
liability to the State or Federal government or any agency thereof resulting
from any di sa 11 owances or other audit exceptions to the extent that such
liability is attributable to CONTRACTOR's failure to perform under this
Agreement.
24.
PERSONNEL DISCLOSURE
24.1 CONTRACTOR shall make available to ADMINISTRATOR a current list of
all
personnel
providing services hereunder.
including resumes and job
(WSH0204)
28 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
applications.
ADMINISTRATOR
Changes
the
1 ist
wi 11
to
be
immediately
provided
to
in writing.
along with a copy of a resume andlor job
application. The list shall include:
24.1.1 All full or part-time staff positions by title, including
volunteer positions whose direct services are required to provide the programs
described herein;
24.1.2 A brief description of the functions of each position and
the hours each person works each week, or for part-time personnel each day or
month. as appropriate:
24.1.3 The professional degree, if applicable. and experience
required for each position: and
24.1.4 The language skill, if applicable.
24.2 Where authorized by law, CONTRACTOR shall
for all personnel.
conduct criminal record
background checks on all employees and/or volunteers who will provide services
under this Agreement.
24.3 CONTRACTOR warrants that all
persons
employed or otherwise
assigned by CONTRACTOR to provide services under this Agreement have
satisfactory past work records and/or reference checks indicating their
ability to perform the required duties and accept the kind of responsibility
anticipated under this Agreement. CONTRACTOR shall maintain records of
background investigations and reference checks undertaken and coordinated by
CONTRACTOR for each employee andlor volunteer ass i gned to provi de servi ces
under this Agreement for a minimum of four (4) years from the date of final
payment under thi s Agreement or until all pendi ng COUNTY. State and Federa 1
audits are completed. whichever is later, in compliance with all applicable
laws.
24.4 CONTRACTOR shall immediately notify ADMINISTRATOR concerning the
arrest and/or subsequent conviction. for offenses other than mi nor traffi c
(WSH0204)
29 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
offenses. of any pai d employee andlor volunteer staff performi ng servi ces
under this Agreement, when such information becomes known to CONTRACTOR.
ADMINISTRATOR. in its sole discretion. may determine whether such employee
andlor volunteer may continue to provi de servi ces under thi s Agreement and
shall provide notice of such determination to CONTRACTOR in writing.
CONTRACTOR's failure to comply with ADMINISTRATOR's decision shall be deemed a
material breach of this Agreement. pursuant to Paragraph 16, above.
25.
CHILD AND DEPENDENT ADULT/ELDER ABUSE REPORTING
CONTRACTOR shall establish a procedure acceptable to ADMINISTRATOR to
ensure that all employees, volunteers. consultants, or agents performing
services under this Agreement report child abuse or neglect to a child
protective agency as defined in Penal Code Section 11165.9 and dependent adult
abuse as defined in Section 15630 (a) of the Welfare and Institutions Code.
and elder abuse as defined in Section 15610.07 of the Welfare and Institutions
Code, to an adult protection agency.
CONTRACTOR shall require such employee.
volunteer. consultant or agent to sign a statement acknowledging the reporting
requirements as defined in Section 11166 of the California Penal Code and will
comply with the provisions of the code section as it now exists or as it may
hereafter be amended.
26.
CONF I DENTIAL ITY
26.1 CONTRACTOR agrees to maintain the confidentiality of its records
pursuant to Welfare and Institutions Code Sections 10850-10853. the CDSS
Manual of Policies and Procedures. Division 19-000, and all other provisions
of law. and regulations promulgated thereunder relating to privacy and
confidentiality, as each may now exist or be hereafter amended.
All
records and information concerning any and all
persons
referred to CONTRACTOR by COUNTY or COUNTY's designee shall be considered and
kept confi dent i a 1 by CONTRACTOR. CONTRACTOR's staff, agents, employees and
(WSH0204)
30 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
volunteers.
CONTRACTOR shall
requi re all
of its
employees.
agents.
subcontractors and volunteer staff who may provi de servi ces for CONTRACTOR
under thi s Agreement to si gn an agreement wi th CONTRACTOR before commenci ng
the provision of any such services, to maintain the confidentiality of any and
all materi a 1 sand i nformati on with whi ch they may come into contact. or the
identities or any identifying characteristics or information with respect to
any and all parti ci pants referred to CONTRACTOR by COUNTY. except as may be
requi red to provi de servi ces under thi s Agreement or to those specifi ed in
thi s Agreement as havi ng the capaci ty to audi t CONTRACTOR, and as to the
latter, only during such audit.
CONTRACTOR shall comply with any audits
specified in Paragraph 23. provide reports and any other information required
by COUNTY
by law.
26.2 CONTRACTOR
in the administration of this Agreement, and as otherwise permitted
sha 11
inform
all
of
employees.
its
agents.
subcontractors. volunteers and partners of this provision and that any person
knowingly and intentionally violating the provisions of said State law may be
guilty of a crime.
26.3 CONTRACTOR agrees that any and all subcontracts entered into shall
be subject to the confidentiality requirements of this Agreement.
27.
COPYRIGHT ACCESS
The Department of Health and Human Services. the California Department
of Soci a 1 Servi ces. and COUNTY sha 11 have a roya lty- free, nonexc 1 usi ve and
i rrevocab 1 e 1 i cense to pub 1 i sh, trans 1 ate, or use. now and hereafter, all
material developed under this Agreement including those covered by copyright.
28.
WAIVER
No delay or omission by either party hereto to exercise any right or
power accruing upon any noncompliance or default by the other party with
respect to any of the terms of this Agreement shall impair any such right or
(WSH0204)
31 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
power or be construed to be a wai ver thereof.
A wa i ver by ei ther of the
parti es hereto of any of the covenants, condi t ions. or agreements to be
performed by the other shall not be construed to be a waiver of any succeeding
breach thereof or of any other covenant, condition or agreement herein
contained.
29.
PETIY CASH
CONTRACTOR
is authorized to establish a petty cash fund in an amount not
to exceed two hundred and fifty dollars ($250.00).
30.
PUBLI C ITY
Information and solicitations. prepared and released by CONTRACTOR.
concerni ng the servi ces provi ded under thi s Agreement, sha 11 state that the
program. wholly or in part, is funded through COUNTY. State and Federal
government funds.
31.
COUNTY RESPONSIBILITIES
ADMINISTRATOR will provide consultation and technical assistance, and
will monitor performance of CONTRACTOR in meeting the terms of this Agreement.
32.
REPORTS
CONTRACTOR shall mai ntai n records and submit reports contai ni ng such
data and information regarding the performance of CONTRACTOR's services, costs
or other data relating to this Agreement as
upon a form approved by ADMINISTRATOR.
may be requested by ADMINISTRATOR,
ADMINISTRATOR may modify the
provisions of this paragraph upon written notice to CONTRACTOR.
33.
ENERGY EFFICIENCY STANDARDS
CONTRACTOR shall comply with such mandatory standards and policies
relating to energy efficiency as
particularized
in the
State Energy
Conservation Plan. (Title 24. 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.
(WSH0204)
32 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
34.
ENVIRONMENTAL PROTECTION STANDARDS
CONTRACTOR shall be in compliance with Section 306 of the Clean Air Act
[42 USC 1857(h)], Section 508 of the Clean Water Act (33 USC 1368), Executive
Order 11738 and Envi ronmenta 1 Protecti on Agency, herei nafter referred to as
"EPA". regulations (40 CFR, Part 15) as any may now exist or be hereafter
amended.
Under these laws and regulations. CONTRACTOR assures that:
34.1 No faci 1 i ty to be utili zed in the performance of the proposed
grant has been listed on the EPA List of Violating Facilities:
34.2 It wi 11 notify COUNTY pri or to award. of the recei pt 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;
34.3 It will notify COUNTY and the EPA about any known violation of the
above laws and regulations.
35.
CERTIFICATION AND DISCLOSURE REGARDING PAYMENTS TO INFLUENCE
CERTAIN FEDERAL TRANSACTIONS
CONTRACTOR shall be in compliance with Section 319 of Public Law 101-121
pursuant to 31 U.S.C. 1352 and the guidelines with respect to those provisions
set down by the Federal Office of Management and Budget and published in the
Federal Register dated December 20. 1989, Volume 54. No. 243, pp. 52306-52332.
Under these laws and regulations. it is mutually understood that any contract
which utilizes federal monies in excess of $100.000 must contain and
CONTRACTOR must comply with the following provisions:
FAR
A.
52.203-12.
Federal
The definitions and prohibitions contained in the clause at
Limitation
Payments
Influence
to
Certain
on
Transactions.
included in this solicitation, are hereby incorporated by
reference in paragraph (B) of this certification.
B.
The offeror, by signing its offer, hereby certifies to the
(WSH0204)
33 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
best of his or her knowledge and belief as of December 23. 1989 that
1)
No Federal appropriated funds have been paid or will
be paid to any person for influencing or attempting to influence an officer or
emp 1 oyee of any agency, a Member of Congress, an offi cer or employee of
Congress. or an emp 1 oyee of a Member of Congress on hi s or her beha 1 fin
connection with the awarding of any Federal contract. the making of any
Federa 1 grant, the maki ng of any Federal loan, the enteri ng 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
(including profit or fee received under a covered Federal transaction) have
been pai d. or wi 11 be pai d. to any person for i nfl uenci ng or attempting to
i nfl uence an offi cer or employee of any agency, a Member of Congress. an
officer or employee of Congress, or an employee of a Member of Congress on his
or her behalf in connection with this solicitation, the offeror shall complete
and submit, wi th its offer, OMS standard form LLL, Di sc 1 osure of Lobbyi ng
Activities. to the Contracting Officer: and
3)
He
she wi 11
include
the
language
of thi s
or
certification in all subcontract awards at any tier and require that all
recipients of subcontract awards in excess of $100.000 shall certify and
disclose accordingly.
C.
Submission
of this certification and disclosure
is a
prerequisite for making or entering into this contract imposed by Section
1352, Title 31. United States Code.
Any person who makes an expenditure
prohibited under this provision or who fails to file or amend the disclosure
form to be fil ed or amended by thi s provi si on.
pen a lty of not 1 ess than $10.000, and not more
sha 11 be subject to a ci vil
than $100,000. for each such
failure.
(WSH0204)
34 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
36.
POLITICAL ACTIVITY
CONTRACTOR agrees that the
funds provi ded herei n sha 11 not be used to
any political party, political candidate or
promote, directly or indirectly,
political activity. except as permitted by law.
37.
TERMINATION PROVISIONS
37.1 ADMINISTRATOR may
pena lty
terminate
this
Agreement
without
immediately with cause or after thirty (30) days' written notice without
cause. unless otherwise specified. Notice shall be deemed served on the date
of mailing. Cause shall be defined as any breach of contract. any
misrepresentation or fraud on the part of the CONTRACTOR.
Exerci se by
ADMINISTRATOR of the right to terminate this Agreement shall relieve COUNTY of
all further obligation under this Agreement.
37.2 Upon
cooperate with
termination.
thereof.
orderly
notice
CONTRACTOR agrees
or
to
ADMINISTRATOR
in
the
transfer
of
service
responsibilities. active case records. and pertinent documents.
37.3 The obligations of COUNTY under this Agreement are contingent upon
the availability of Federal andlor 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 fundi ng is termi nated or reduced, ADMINISTRATOR may
immediately terminate this Agreement, reduce COUNTY's maximum obligation, or
modify this Agreement. without penalty.
The decision of ADMINISTRATOR shall
be binding on CONTRACTOR. ADMINISTRATOR shall provide CONTRACTOR with written
notification of such determination. CONTRACTOR shall immediately comply with
ADMINISTRATOR's decision.
38.
GOVERNING LAW
This Agreement shall be governed by the laws of the State of California.
(WSH0204)
35 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
39.
SIGNATURE IN COUNTERPARTS
The Parties agree that separate copies of this Agreement may be signed
by each of the Parties and this Agreement will have the same force and effect
as if the original had been signed by all the Parties.
/11
1/1
1/1
11/
/11
III
//1
11/
/11
/11
1/1
11/
/11
III
11/
/1/
1//
11/
III
III
//1
11/
1//
(April 9, 2004)
(WSH0204)
36 of 37
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
HERE FORE , the parties hereto have executed this Agreement in the County
By:
CITY OF SANTA ANA
CITY MANAGER
David N. Ream
Dated:
ATTEST:
BY~c<-<.:; , / / -
CITY OF S~
CLERK OF THE COUNCIL
Patricia E. Healy
Dated:
SIGNED AND CERTIFIED THAT A COPY OF
THIS DOCUMENT HAS BEEN DELIVERED TO
THE CHAIRMAN OF THE BOARD
ATTEST: Jo
~.,- co
~ ~ '_~,',él
( "'\, . 0 j'¡".rk-,J:;
, ì\ 'pf\ . j¿ ...íf7¿,,, "'," '~,',',','
( 1^ J. ~-1. - \";) ...
DARLENE J. BLô~ \. f:;J;,':',,>,
Clerk of the Board of Supervisors'
Orange County. California
APPROVED AS TO FORM
COUNTY COUNSEL
COUNTY OF ORANGE. CALIFORNIA
By:
~~L~
DEPUTY
ijU! ò'f
Dated:
(WSH0204)
37 of 37
By:
ïl1WA/~r-
Dated:
COUNTY OF ORANGE
CHAIRMAN OF THE BOARD
OF SUPE~ISORS
'1/1 0 if
APPROVED AS TO FORM:
Joseph W. Fletcher. City Attorney
~c ¿: ~
By: Lisa E. Storck
Assistant City Attorney
RECOMMEDED FOR APPROVAL:
P. Reekstin, Executive Director
unity Development Agency
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
EXHIBIT A
TO
AGREEMENT
BETWEEN
COUNTY OF ORANGE
AND
CITY OF SANTA ANA
FOR THE PROVISION OF WElFARE-TO-WORK EMPLOYMENT SERVICES
COMMUNITY SERVICE ACTIVITIES
1.
POPULATION TO BE SERVED
1.1
The population to be served consists of CalWORKs Welfare-To-Work
(WTW) participants who:
1.1.1
Have completed their IB or 24-month WTW time period. as
applicable. or are deemed suitable for this activity by ADMINISTRATOR:
1.1.2
Have not found unsubsidized employment sufficient to meet
minimum
required hours of participation. and for whom COUNTY has certified
job is currently available to fulfill the minimum required hours of
that no
participation:
1.1.3
Continue to meet CalWORKs financial eligibility criteria:
and
1.1.4
Currently reside within the city limits of Santa Ana.
1.2
CONTRACTOR agrees to serve only participants in the CalWORKs WTW
Program referred to CONTRACTOR by COUNTY under this Agreement.
It is mutua lly
understood that all services are for the purpose of WTW participants achieving
self-sufficiency within the CalWORKs time constraints.
1.3
CalWORKs participants will be required to participate in Community
Service activities for the required 32/35 hours, unless fewer hours of
(WSH0204)
1 of 10
9
10
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
1
2
Community Service participation are required by law.
2.
WORKLOAD STANDARDS
3
4
2.1
CONTRACTOR's work load goa 1 s wi th respect to Exhi bit A to thi s
Agreement are as follows:
5
6
2.1.1
Each One-Stop Case Manager shall carry a maximum caseload
of forty (40) Community Service participants.
7
8
2.2
CONTRACTOR and ADMINISTRATOR may agree in writing to modify
workload goals as set forth in this paragraph.
3.
SERVICES
3 . 1 CONTRACTOR
shall provide WTW participants with Community Service
11
12
activities necessary to remove barriers to subsequent employment.
These
activities will be provided to participants referred by COUNTY to the SANTA
ANA Workforce Investment Board (WIB). a division of CONTRACTOR.
CONTRACTOR
shall cooperate with the California Department of Social Services (CDSS) on
the implementation of Community Service activities to the mutual satisfaction
of COUNTY and CDSS. and with any and a 11 future requi rements estab 1 i shed by
CDSS relating to calculation of required Community Service participation hours
for each participant.
Removal of barriers
to employment shall be accomplished
limited to the following:
by a variety of methods, including but not
3.1.1
Working with participants, MDT and educational providers
to develop job training and employment related interpersonal skills in one of
the following areas identified as growth oriented; meeting an unmet community
need; and in high demand for new employees:
3.1.1.1
3.1.1.2
Automation Technician (Data Entry)
Certified Nurse Assistant
3.1.1.3
3.1.1.4
Child Care Provider (Day Care Center)
Clerical
3.1.1.4.1
General Clerical
(WSH0204)
2 of 10
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
3.1.1.4.2
Health Services Clerical
3.1.1.5
3.1.1.6
Domestic Care Giver
Food Services
3.1.1.7
Hospita 1 i ty
ADMINISTRATOR may, in its sole discretion. revise the
career areas identified in this paragraph.
3.1. 2
CONTRACTOR shall make every attempt to engage participants
and i nvo 1 ve them in the development of a Communi ty Servi ce Pl an that meets
their 32/35-hour WTW participation requirement.
In formulating that plan,
CONTRACTOR shall take into account the participant's WTW Plan.
COUNTY WTW
staff wi 11 retai n sole respons i bil i ty for fi na 1 development and approva 1 of
the participant's Community Service Plan.
3.2
COUNTY shall retain any and all rights to require pre-approval by
ADMINISTRATOR andlor limit any and all services provided by CONTRACTOR.
Services shall be provided in accordance with ADMINISTRATOR's policies and
procedures and other instructions provided by ADMINISTRATOR.
3.3
ADMINISTRATOR may. in its sole discretion. change the services
required
under
Subparagraph 3.1 to ensure full comp 1 i ance wi th all
the State of California Department of Social Services (CDSS)
requi rements if
requi res subsequent changes to the County of Orange Community Servi ce Pl an.
changes to Community Service requirements under the Welfare and Institutions
Code. CDSS regulations or Manual of Policies and Procedures.
4.
ADDITIONAL CONTRACTOR RESPONSIBILITIES
4.1 Welfare Fraud:
4.1.1 If welfare eligibility of support services payment fraud
is suspected of the participant. CONTRACTOR shall report the suspected fraud
to COUNTY or COUNTY's contracted CalWORKs WTW Case Manager.
4.1. 2
If servi ce provi der fraud is suspected, CONTRACTOR sha 11
(WSH0204)
3 of 10
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
report. in writing, the suspected fraud to ADMINISTRATOR.
4.2
Complaint Response:
4.2.1
CONTRACTOR shall develop, operate. and maintain procedures
for
receiving,
investigating.
and
respondi ng to
service provider and
participant complaints, including Civil Rights complaints.
CONTRACTOR sha 11
provide ADMINISTRATOR. in a form approved by ADMINISTRATOR,
pertaining to such complaints within two (2) business days.
information
4.3
Outside Contacts:
4.3.1
CONTRACTOR sha 11 i mmedi ate ly inform COUNTY' s WTW Program
Manager, or a designee, of any inquiries from elected officials, their
representatives. participant advocates. or the press, and immediately provide
information permitting ADMINISTRATOR to respond.
4.3.2
CONTRACTOR
sha 11
consult
with
COUNTY's
WTW
Program
Manager, or a designee, prior to initiating contact with elected officials,
their representatives. participants advocates of the press.
4.4
Utilizing Electronic Data Systems (EDS):
4.4.1
CONTRACTOR shall
use COUNTY provided EDS to receive
referrals and to record data regarding services provided.
COUNTY sha 11
provide a designated number of CONTRACTOR's personnel with sufficient training
necessary to operate the equi pment, track cases. generate requi red reports,
etc.
CONTRACTOR, in turn. sha 11 provi de thi s trai ni ng to any subcontractors
that will have on-line access to EDS.
COUNTY shall provide and maintain the
necessary data processing equipment. including personal computers.
shall provide a secure location for such equipment.
CONTRACTOR
4.4.2
CONTRACTOR shall ensure that its personnel understand the
uses of EDS and follow EDS procedure.
5.
FORMS
5.1
ADMINISTRATOR shall provide CONTRACTOR with a camera-ready copy of
(WSH0204)
4 of 10
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
a 11 mandated forms.
CONTRACTOR sha 11 dup 1 i cate and di stri bute the forms to
subcontractors as needed.
6.
FACILITIES
6.1
Services under this Agreement shall be provided at:
Santa Ana WORK Center
1000 E. Santa Ana Blvd.
Santa Ana, CA 92701
CONTRACTOR and ADMINISTRATOR may agree in writing to add, change,
6.2
modify, or delete facility location(s) as necessary to best serve the needs
of participants and ADMINISTRATOR.
7.
CASE RECORDS
7.1
CONTRACTOR shall maintain a current and complete electronic case
record for each participant referred.
CONTRACTOR shall also maintain a hard
copy case record as well.
The contents of the hard copy case records will be
in a format approved by ADMINISTRATOR and will be uniform among subcontractors
and other educational providers.
7.2
Such i nformati on sha 11 be treated as confi denti a 1 and released
only to ADMINISTRATOR as required or to others upon the written approval of
ADMINISTRATOR.
7.3
CONTRACTOR shall obtain and maintain in the case record a written
release, on an ADMINISTRATOR approved form. from participant authorizing the
exchange of confidential information among CONTRACTOR, MDT, and subcontractors
or other educational
providers.
All
subcontractors
shall
treat all
confidential information in the same manner as CONTRACTOR, and in adherence to
the terms of this Agreement.
8.
REPORTS
8.1 CONTRACTOR
shall prepare and submit to ADMINISTRATOR's designated
staff written reports. including, but not limited to:
8.1.1
Number of new cases referred each month:
(WSH0204)
5 of 10
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
8.1. 2
Number
who
attended
classeslreceived
of participants
services each month. by service type and provider:
Number of cases closed each month:
8.1.3
8.1.4
8.1.5
8.1.6
8.2 All
ADMINISTRATOR.
8.3
Number of cases pending at the end of each month;
Number of cases completing training: and
Number of cases obtaining unsubsidized employment.
reports
sha 11
a
be
prepared
format
approved
in
by
ADMINISTRATOR may, in it's sole discretion, add. delete, modify or
9.
waive individual reporting requirements as stated in this Paragraph.
PERFORMANCE REVIEW
9.1 ADMINISTRATOR
may
variety
of
methods
to
evaluate
use
a
9.1.1
CONTRACTOR's performance including. but not limited to:
Random sampling of program activities including a review
of case files:
9.1. 2
9.1. 3
necessary:
9.1.4
9.1.5
questionnaires: and
9.1.6
9.2
Activity checklists and random observations:
Inspection of output items on a periodic basis as deemed
Management Information Systems (MIS) reported results:
WTW
participant
complaints
andlor
WTW
participant
ADMINISTRATOR may requi re CONTRACTOR to provi de offi ce space for
Subcontractor complaints or reports.
designated ADMINISTRATOR staff assigned to conduct performance reviews.
9.3 In the event that CONTRACTOR performs services unsati sfactorily,
ADMINISTRATOR may require a corrective plan. CONTRACTOR shall comply with any
such corrective action plan within the time specified by ADMINISTRATOR.
III
(WSH0204)
6 of 10
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
10.
STAFF TRAINING
10.1 COUNTY shall provide CONTRACTOR with written program requirements.
including policies and general procedures. as requirements are revised or new
policies are developed.
10.2 COUNTY staff will provide initial training to a designated number
of CONTRACTOR's staff wi th respect to Ca 1 WORKs regul at ions. ADMINISTRATOR' s
po 1 i ci es and procedures, and use of the EDS.
conducted by CONTRACTOR.
Subsequent trai ni ng must be
10.3 CONTRACTOR shall ensure that its staff receives training to
understand
cu ltura 1
differences
of participants,
a nd to
among groups
effectively recognize and intervene to overcome any language andlor cultural
barriers to employment that may be evident.
10.4 CONTRACTOR shall designate a staff person to maintain a log of in-
house training activities and participants.
11.
HOURS OF OPERATION
11.1 At a minimum. CONTRACTOR shall maintain business hours of Monday
through Fri day from the hours of B: 00 a. m. to 5: 00 p. m. (COUNTY ho 1 i days
exc 1 uded) as well as schedu 1 ed eveni ng and weekend hours to best meet the
needs of participants and their families.
12.
BUDGET FOR PROVISION OF COMMUNITY SERVICE ACTIVITIES
12.1 The budget for services provided pursuant to Exhibit A of this
Agreement is set forth as follows:
LINE ITEMS
Salaries and Benefits
Case Manager
Fiscal Specialist
Max.
Hourly
Rate'"
FY04-05 Cost
FTE'"
$ 24.23
28,44
0.85
0,03
$
45.138
1,817
46.955
Subtotal Salaries
$
Benefi ts (31
9.780
(WSH0204)
7 of 10
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
Total Salaries and Benefits
$
56,735
Expenses
Telecommunications
Office Operations
Office Supplies
User Fee
Indirect Costs
SOO
240
125
2.000
5.100
$ S,265
$ 65.000
Total Expenses
Maximum County Obligation
(1)Maxi mum hourly rate whi ch wi 11 be permi tted duri ng the term of thi s
Agreement; employees may be paid at less than maximum rate.
(2)For hourly employees. Full-Time Equivalent (FTE) is defined as the
amount of time (stated as a percentage) the position will be providing
services under the terms of this Agreement.
This percentage is based upon a
40-hour work week. For salaried employees. Full-Time Equivalent (FTE) is
defined as the amount of time (stated as a percentage) the position will be
paid for under the
actually worked.
terms of this Agreement, regardless of the number of hours
(3)Medi ca 1 .
long
di sabil ity.
term
retirement.
pension,
employee
assistance. FICA. SUI. Worker's Compensation and vacation accrual.
12.2 CONTRACTOR and ADMINISTRATOR may agree in writing to add, delete
or otherwise modify individual line items and lor amounts andlor the number and
type of FTE positions without changing COUNTY's maximum obligation under this
Agreement.
13.
STAFF
CONTRACTOR.
be responsible for providing
through the WIB.
sha 11
competent staff to ful fill the terms of thi s Agreement.
Contractor sha 11
provide an adequate number of bilingual staff as need to provide services.
All CONTRACTOR's staff shall be able to read. write, speak and understand
English.
CONTRACTOR shall provide the following described staff positions:
(WSH0204)
8 of 10
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
13.1 Case Manager
13.1.1 Duties:
13.1.1.1
Assist participants in defining and pursuing
career goals.
Assess.
advise and direct participants on job search
techniques.
Prepare written reports on placement efforts. education and
worksite contact. and program effectiveness.
13. 1. 2 Qua 1 ifi cat ions:
13.1.2.1
Knowledge of problems participants have seeking
employment. various alternative programs, and program effectiveness.
13. 1. 2.2
Ability
to
effectively
i niti ati ve,
communicate
with
match
participants and employers:
follow up
1 eads on own
participant capabilities with placement opportunities. and direct participants
to the most appropriate placement: establish and maintain effective working
relationships with employers and worksite supervisors, participants. other
City employees and the general public.
13.2 Fiscal Specialist
13.2. 1 Dut i es :
13.2. 1.1
Authorize
of
payments
invoices:
enter
and
maintain payroll records; prepare contracts for all programs; monitor program
operators for fiscal compliance.
13.2.2 Qualifications;
13.2.2.1
Minimum
of
(1)
experience
in
one
year
accounting. budgeting or monitoringlanalyzing funding programs, and graduation
from an accredited four-year college or university with
accounting, finance. business administration. or related field.
a degree in
III
III
(April 9. 2004)
(WSH0204)
9 of 10
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
EXHIBIT B
TO
AGREEMENT
BETWEEN
COUNTY OF ORANGE
AND
CITY OF SANTA ANA
FOR THE PROVISION OF WELFARE-TO-WORK EMPLOYMENT SERVICES
WORK EXPERIENCE ACTIVITIES
1.
POPULATION TO BE SERVED
1.1
The population to be served consists of CalWORKs Welfare-To-Work
(WTW) participants who:
1.1.1 Have not completed their 18 or 24-month WTW time period,
as applicable. and are deemed suitable for this activity by ADMINISTRATOR:
1.1.2
Cant i nue to meet Ca 1 WORKs fi nanci ale 1 i gi bi 1 i ty cri teri a:
and
1.1.3
Currently reside within the city limits of Santa Ana.
1.2
CONTRACTOR agrees to serve only participants in the WTW Program
referred to CONTRACTOR by COUNTY under this Agreement.
It is mutually
understood that all services are for the purpose of WTW participants achieving
self-sufficiency within the CalWORKs time constraints.
1.3
Ca 1 WORKs participants will be required to participate in Work
activities for the required 32/35 hours. unless fewer hours of WTW
Experience
participation are required by law.
2.
WORKLOAD STANDARDS
2.1
CONTRACTOR's work load goa 1 s with respect to Exhi bit A to thi s
Agreement are as follows:
(WSH0204)
1 of 10
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
2.1.1
Each Case Manager sha 11 moni tor a maxi mum of forty (40)
Work Experience (WEX) participants.
2.2
CONTRACTOR and ADMINISTRATOR may agree in writing to modify
workload goals as set forth in this paragraph.
3.
SERVICES
3.1
CONTRACTOR shall provide WTW participants with WEX activities
necessary to remove barriers to subsequent employment.
These activities will
be provided to participants referred by COUNTY to the SANTA ANA Workforce
Investment Board (WIB). a division of CONTRACTOR.
CONTRACTOR shall cooperate
with the California Department of Social Services (CDSS) on the implementation
of WEX activities to the mutual satisfaction of COUNTY and CDSS, and with any
and all future requirements established by CDSS relating to calculation of
required WTW participation hours for each participant.
Removal of barriers to
employment shall be accomplished by a variety of methods.
3.1.1
CONTRACTOR shall make every attempt to engage participants
and involve them in the development of a WEX activity that meets their 32/35-
hour WTW participation requirement.
COUNTY WTW staff will retain sole
responsibil ity
Plan.
for final development and approval of the participant's WTW
3.2
COUNTY shall retain any and all rights to require pre-approval by
ADMINISTRATOR andlor limit any and all
Servi ces sha 11 be provi ded in accordance
services provided by CONTRACTOR.
with ADMINISTRATOR's policies and
procedures and other instructions provided by ADMINISTRATOR.
3.3
ADMINISTRATOR may, in its sole discretion, change the services
required
under
Subparagraph
3.1
to
full
compliance with
all
ensure
requirements if the State of California Department of Social Services (CDSS)
requires subsequent changes to the County of Orange CalWORKs Plan, changes to
WTW requirements under the Welfare and Institutions Code. CDSS regulations or
(WSH0204)
2 of 10
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
Manual of Policies and Procedures.
4.
ADDITIONAL CONTRACTOR RESPONSIBILITIES
4.1
We lfare Fraud:
4.1.1
If welfare eligibility of support services payment fraud
is suspected of the participant. CONTRACTOR shall report the suspected fraud
to COUNTY or COUNTY's contracted CalWORKs WTW Case Manager.
4.1.2
If servi ce provi der fraud is suspected, CONTRACTOR sha 11
report, in writing. the suspected fraud to ADMINISTRATOR.
4.2
Complaint Response:
4.2.1
CONTRACTOR sha 11 i mmedi ate ly inform COUNTY' s WTW Program
Manger, or a designee, of any inquiries from elected officials, their
representatives. participant advocates, or the press. and immediately provide
information
permitting ADMINISTRATOR to
4.2.2 CONTRACTOR sha 11
respond.
consult
with
COUNTY's
WTW
Program
Manager, or a designee. prior to initiating contact with elected officials,
their representatives, participants advocates of the press.
4.3
Utilizing Electronic Data Systems (EDS):
4.3.1
CONTRACTOR shall
use COUNTY provided EDS to receive
referrals and to record data regarding services provided.
COUNTY sha 11
provide a designated number of CONTRACTOR's personnel with sufficient training
necessary to operate the equipment, track cases, generate requi red reports.
etc.
CONTRACTOR, in turn, shall provide this training to any subcontractors
that will have on-line access to EDS.
COUNTY shall provide and maintain the
necessary data processing equipment, including personal computers.
shall provide a secure location for such equipment.
CONTRACTOR
4.3.2
CONTRACTOR shall ensure that its personnel understand the
uses of EDS and follow EDS procedure.
III
(WSH0204)
3 of 10
I
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
5.
FORMS
5.1 ADMINISTRATOR shall provide CONTRACTOR with a camera-ready copy of
a 11 mandated forms. CONTRACTOR sha 11 dup 1 i cate and di stri bute the forms to
subcontractors as needed.
6.
FACILITIES
6.1
6.2
Services under this Agreement
Santa Ana WORK Center
1000 E. Santa Ana Blvd.
Santa Ana. CA 92701
CONTRACTOR and ADMINISTRATOR may agree in writing to add, change,
shall be provided at:
modify. or delete facil ity 1 ocati on (s) as necessary to best serve the needs
of participants and ADMINISTRATOR.
7.
CASE RECORDS
7.1
CONTRACTOR shall update the electronic case record and meet data
entry requi rements for the record of each part i ci pant referred.
CONTRACTOR
shall also maintain a hard copy case record as well.
The contents of the hard
copy case records wi 11 be in a format approved by ADMINISTRATOR and wi 11 be
uniform among subcontractors and other educational providers.
7.2
Such information shall be treated as confidential and released
only to ADMINISTRATOR as required or to others upon the written approval of
ADMINISTRATOR.
7.3
CONTRACTOR shall obtain and maintain in the case record a written
release. on an ADMINISTRATOR approved form, from participant authorizing the
exchange of confidential information among CONTRACTOR, MDT, and subcontractors
or other educational
providers.
All
subcontractors
shall
treat all
confidential information in the same manner as CONTRACTOR, and in adherence to
the terms of this Agreement.
8.
REPORTS
8.1 CONTRACTOR shall
prepare and submit to ADMINISTRATOR's designated
(WSH0204)
4 of 10
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
staff written reports. including. but not limited to:
8.1.1
8.1. 2
Number of new cases referred each month;
Number of participants who received services each month,
by service type and provider:
Number of cases closed each month:
8.1.3
8.1.4
8.1.5
8.1. 6
8.2 All
ADMINISTRATOR.
8.3
Number of cases pending at the end of each month:
Number of cases completing training: and
Number of cases obtaining unsubsidized employment.
reports
sha 11
a
be
prepared
in
format
approved
by
ADMINISTRATOR may, in it.s sole discretion. add, delete. modify or
9.
waive individual reporting requirements as stated in this Paragraph.
9.1
PERFORMANCE REVIEW
ADMINISTRATOR
may
variety
to
evaluate
of
methods
use
a
9.1.1
CONTRACTOR's performance including, but not limited to:
of case files;
9.1. 2
9.1. 3
necessary;
9.1.4
9.1.5
questionnaires; and
9.1.6
9.2
Random samp 1 i ng of program acti vi ties i nc 1 udi ng a revi ew
Activity checklists and random observations;
Inspection of output items on a periodic basis as deemed
Management Information Systems (MIS) reported results:
WTW
participant
complaints
andlor
WTW
participant
ADMINISTRATOR may requi re CONTRACTOR to provi de offi ce space for
Subcontractor complaints or reports.
designated ADMINISTRATOR staff assigned to conduct performance reviews.
9.3 In the event that CONTRACTOR performs servi ces unsat i sfactori ly ,
ADMINISTRATOR may require a corrective plan.
(WSH0204)
CONTRACTOR shall comply with any
5 of 10
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
such corrective action plan within the time specified by ADMINISTRATOR
10.
STAFF TRAINING
10.1 COUNTY shall
provide CONTRACTOR with written program requirements,
including policies and general procedures. as requirements are revised or new
policies are developed.
10.2 COUNTY staff will provide initial training to a designated number
of CONTRACTOR's staff with respect to CalWORKs regulations, ADMINISTRATOR's
po 1 i ci es and procedures, and use of the EDS.
conducted by CONTRACTOR.
Subsequent training must be
10.3 CONTRACTOR shall ensure that its staff receives training to
understand
cultura 1
differences
of participants.
and to
among groups
effectively recognize and intervene to overcome any language andlor cultural
barriers to employment that may be evident.
10.4 CONTRACTOR shall designate a staff person to maintain a log of in-
house training activities and participants.
11.
HOURS OF OPERATION
11.1 At a minimum. CONTRACTOR shall maintain business hours of Monday
through Fri day from the hours of 8: 00 a. m. to 5: 00 p. m. (COUNTY ho 1 i days
exc 1 uded) as well as schedul ed eveni ng and weekend hours to best meet the
needs of participants and their families.
12.
BUDGET FOR PROVISION OF WORK EXPERIENCE ACTIVITIES
The budget for services provided pursuant to Exhi bit B of this Agreement
is set forth as follows:
Max.
Hourly
LINE ITEMS Rate(1) FTE(2) FY04-05 Cost
Salaries and Benefits
Case Manager $ 24.23 1.15 $ 60.879
Workforce Specialist I 21.61 0.12 5.450
Intake Specialist 18.76 0,10 4.390
Fiscal Specialist 28,44 0.03 1. 817
Subtotal Salaries $ 72,536
(WSH0204) 6 of 10
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
Benefi ts (3)
15,350
Total Salaries and Benefits
$
87.886
Expenses
Telecommunications
Office Operations
Office Supplies
Equipment Rental
User Fee
Indirect Costs
1,000
440
2.907
800
7,400
7,877
20.424
Total Expenses
$
Participant Costs
Participant Wages
Supportive Services
Transportation
87.040
2.550
2.100
$ 91.690
$ 200,000
Total Participant Costs
Maximum County Obligation
Il)Maxi mum hourly rate whi ch wi 11 be permi tted duri ng the term of thi s
Agreement: employees may be paid at less than maximum rate.
(2)For hourly employees, Full-Time Equivalent (FTE) is defined as the
amount of time (stated as a percentage) the position will be providing
services under the terms of this Agreement.
This percentage is based upon a
40-hour work week. For salaried employees. Full-Time Equivalent (FTE) is
defined as the amount of time (stated as a percentage) the position will be
paid for under the terms of this Agreement. regardless of the number of hours
actua lly worked.
(3)Medi ca 1 .
long
term
disability.
retirement,
pension,
employee
assistance. FICA, SUI. Worker's Compensation and vacation accrual.
12.1 CONTRACTOR and ADMINISTRATOR may agree in writing to add. delete
or otherwise modify individual line items andlor amounts andlor the number and
type of FTE positions without changing COUNTY's maximum obligation under this
Agreement.
(WSH0204)
7 of 10
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
13.
STAFF
CONTRACTOR.
be responsible for providing
through the WIB.
sha 11
competent staff to fulfi 11 the terms of thi s Agreement.
Contractor sha 11
provi de an adequate number of bi 1 i ngua 1 staff as need to provi de servi ces.
All CONTRACTOR' s staff sha 11 be able to read. wri te, speak and understand
English. CONTRACTOR shall provide the following described staff positions:
13.1 Case Manager
13. 1. lOut i es :
13. 1. 1. 1
Assist participants in defining and pursuing
career goals.
Assess,
advise and direct participants on job search
techniques.
Prepare written reports on placement efforts. education and
worksite contact, and program effectiveness.
13.1.2 Qualifications:
13. 1. 2. 1
Knowledge of problems participants have seeking
employment. various alternative programs, and program effectiveness.
13. 1. 2.2
Ability
to
communicate
effectively
initiative.
with
match
participants and employers:
follow up
leads on own
participant capabilities with placement opportunities. and direct participants
to the most appropriate placement: establish and maintain effective working
relationships with employers and worksite supervisors, participants, other
City employees and the general public.
13.2 Workforce Specialist I
13.2. lOut i es :
13.2.1.1
Orient clients regarding the One-Stop system and
use of One-Stop Center resources so that clients may secure and retain
employment in accordance with program performance goals. Assist clients with
preparati on of resumes, 1 etters of interest and other job search materi a 1 s.
Assist higher level staff with implementation of One-Stop Center training
(WSH0204)
8 of 10
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
programs. case management. job development and imp 1 ementati on of c 1 i ents'
employment plans.
Uses a computer to track and monitor information such as
client status. job placement, employment outreach. program costs and customer
satisfaction.
Maintain
database pertaining to work
force development
activities:
reports.
assists with collection and compilation of data:
generates
13.2.2 Qualifications:
13.2.2.1
One
of
responsible
work
experience
year
involving substantial public contact in personnel, human services or workforce
development programs.
13.2.2.2
Knowledge of workforce development programs;
pertinent
regulations
and
documentation
requirements
for
program
participation: interviewing methods; resources for providing information on
the job opportuni ties and job search assi stance; content and formatting of
effective
and application materials:
methods and techniques of
resumes
community outreach and program marketi ng: rel evant computer app 1 icati ons and
software programs.
13.3 Intake Specialist
13.3.1 Duties:
13.3. 1. 1
Assist technical
and professional
staff who
administer
various
federally funded workforce development
and training
programs.
Coordinate appointments to meet with clients for technicians and
case managers.
Contact c 1 i ents after placement to determi ne status. and
monitors performance.
Assist with coordination of training and special
events. which includes locating training sites. notifying participants and
making any necessary special arrangements.
Maintain database and information
pertaining to workforce development activities and generates reports as
required.
(WSH0204)
9 of 10
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
13.3.2 Qualifications:
13.3.2.1
One
of
work
experience
involving
year
substantial
public contact,
personnel.
human
in
services.
or workforce
development programs.
13.3.2.2
Knowledge
of workforce
development
training
programs. pertinent regulations, and documentation requirements: interviewing
methods used to obtain information from and about participants: computer
app 1 i cati ons and relevant software programs; 1 oca 1 communi ty resources and
services having programs designed to assist unemployed individuals.
13.4 Fiscal Specialist
13.4. lOut i es :
13.4.1.1
Authorize
payments
of
invoices:
enter
and
maintain payroll records: prepare contracts for all programs: monitor program
operators for fiscal compliance.
13.4.2 Qualifications:
13.4.2. 1
Minimum
of
(1)
experience
in
one
year
accounting. budgeting or monitoringlanalyzing funding programs. and graduation
from an accredited
four-year college or university with a
degree in
accounting. finance. business administration. or related field.
III
III
III
III
III
III
III
III
(April 9. 2004)
(WSH0204)
10 of 10
CONTRACT PROVIDER FEDERAL FUND RECORD
Agency Name:
City of Santa Ana
Date:
5/6/04
Type of Agency:
Non- ProfitJUniversity
For Profit
x
State or Local Government
Agency Fiscal Year:
July 1 - June 30
Please check appropriate box:
I. D Our agency receives less than $300,000 in federal funds per our fiscal year from
anyone program.
2. ~ Our agency receives more than $300,000 in federal funds per our fiscal year
from anyone program.
I will notify the County of Orange Social Services Agency/Contract Services of any changes in
the future.
~~
Authorized Signature
O:\Privatization Contract Services\Contract Documents\FedFund.doc
CERTIFICATION REGARDING DEBARMENT,
SUSPENSION, PROPOSED DEBARMENT,
AND OTHER RESPONSIBILITY MATTERS
This certification is setforth as amended at 54 Federal Register 19814 on May 8,1989,
The definitions and prohibitions contained in the clauses of 48 Code of Federal
Regulations subparts 9.400 to 9.409 are hereby incorporated by reference in the
paragraphs of this certification. Under these laws and regulations it is mutually
understood that the making of a false, fictitious, or fraudulent certification may render
the maker subject to prosecution under Section 1001, Title 18, United States Code.
(a) (I) The Offeror certifies, to the best of its knowledge and belief, that
(i)
The Offeror and/or any of its Principals
(A) Are ( ) are not (x) presently debarred, suspended, proposed for
debarment, or declared ineligible for the award of contracts by any
federal agency:
(8) Have ( ) have not (X), within a three-year period preceding this offer,
been convicted of or had a civil judgment rendered against them for:
commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (federal, state
or local) contract or subcontract; violation of federal or state antitrust
statutes relating to the submission of offers; or commission of
embezzlement, theft, forgery, bribery, falsification or destruction of
records, making false statements, or receiving stolen property; and
(C) Are ( ) are not (x) presently indicted for, or otherwise criminally or
civilly charged by a governmental entity with, commission of, any of
the offenses enumerated in subdivision (a)(I)(I)(8) of this provision.
(ii)
The Offeror has ( ) has not ()(), within a three-year period preceding this
offer, had one or more contracts terminated for default by any federal
agency.
(2)
"Principals," for purposes of this certification, means officers; directors; owners;
partners; and persons having primary management or supervisory
responsibilities within a business entity (e.g., general manager; plant manager;
head of subsidiary, division, or business segment; and similar positions).
(a)
This certification concerns a matter within the jurisdiction of an agency of
the United States and the making of a false, fictitious, or fraudulent
certification may render the maker subject to prosecution under Section
1001, Title 18, United States Code.
(b)
(c)
(d)
(e)
The Offeror shall provide immediate written notice to the Contracting
Officer if, at any time prior to contract award, the Offeror learns that its
certification was erroneous when submitted or has become erroneous by
reason of changed circumstances.
A certification that any of the items in paragraph (a) of this provision exists
will not necessarily result in withholding of an award under this solicitation.
However, the certification will be considered in connection with a
determination of the Offeror's responsibility. Failure of the Offeror to
furnish a certification or provide such additional information as requested
by the Contracting Officer may render the Offeror nonresponsible.
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 paragraph (a) of this provision, The knowledge
and information of an Offeror is not required to exceed that which is
normally possessed by a prudent person in the ordinary course of
business dealings.
The certification in paragraph (a) of this provision is a material
representation of fact upon which reliance was placed when making
award. If it is later determined that the Offeror knowingly rendered an
erroneous certification, in addition to other remedies available to the
Government, the Contracting Officer may terminate the contract resulting
from this solicitation for default. /} /h
Signature: ~¿~jÍ~-
v- ,
Print Name:
David Ream
Title:
City Manager
Name of Business:
City of Santa Ana
Date:
5/10104
CERTIFICATION REGARDING LOBBYING
This form is a certification of the prohibition on the use of federal funds for lobbying activities pursuant
to 31 U.S.C. 1352. This form is for any contracts, grants, loans and cooperative agreements involving
federal funds.
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 for any agency, a
Member of Congress, an officer or employee of Congress, or any 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 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, or an employee of a Member of Congress in connection with this federal contract,
grant, loan, or cooperative agreements, the undersigned shall complete and submit Stand 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.
Signature:
f2&~
Print Name:
David Ream
Title:
City Manager
Name of Business:
City of Santa Ana
Date:
5/10104
INTERNAL CONTROL QUESTIONNAIRE FOR
RECEIPTS, DISBURSEMENTS, PAYROLL AND SEGREGATION OF DUTIES
CONTRACTOR:
City of Santa Ana
PREPARED BY:
Faye Wong/Lydia Morgan
DATE 5/6/04
RECEIPTS:
YES NO N/A
1) Are there written procedures for the proper recording and X
processing of receipts?
a) Are these procedures followed? X
b) Are these procedures reviewed and updated to ensure X
Compliance therewith?
2) Is the processing of all receipts recorded separately from other X
other programs to ensure separation of funds?
3) Is responsibility established for all receipts? X I
4) Are all receipts recorded by usinl! me-numbered receipts? X I
5) Are cash receipts (including checks) adequately safeguarded ITom X
the time they are received until they are deposited?
6) Are all receipts deposited daily and intact? X I I
7) Are duplicate deposit slips retained and filed with reference X
Infonnation for comparison to the individual receipt?
8) Is responsibility established when cash receipts (including
checks) are transferred from one employee to another? X
CHECK ONE
10f6
O:\Privatization Contract Servìces\Contract Documents\INTERNAL CONTROL QUESTIONNAIRE FOR.doc
YES NO N/A
9) Is a listing of remittances received throllirllthemail prepared? X
If yes:
a) Is the listing prepared by someone other than the cashier X
and! or nerson who nrenares the denosit?
b) Does someone determine that the items shown on the X
listing are either entered on the official collection records
or have some other nroner disnosition?
,
10) Are all used receipts controlled so as to nrevent possible misuse? I X I
11) Are all checks restrictivelv endorsed on receipt? X
12) Does someone other than the cashier or receivable clerk prepare X
the denosit?
13) Are monthly bank reconciliations prepared by someone who had X
nothing to do with the preparation of deposits or the signing of
checks?
CHECK ONE
20f6
O:\Privatization Contract Services\Contract Documents\INTERNAL CONTROL QUESTIONNAIRE FOR.doc
DISBURSEMENTS:
YES NO N/A
1) Are there written procedures for the proper recording and X
processing of disbursements?
2) Is the processing of all disbursements recorded separately ITom X
other programs to ensure separation of funds?
3) Are all disbursements, other than petty cash, made by check? I X I
4) Are all checks approved and signed by authorized personnel? I x I I
5) Are all checks made payable to a person, vendor, etc., not to X
cash and never signed in advance?
6) Are voided checks retained and filed with cancelled checks? X I I
7) Are the checks outstanding for a considerable time investigated X
llnd properlv resolved?
8) Are supporting documents examined by the person signing or X
or controlling the signing of checks at the time checks are signed?
9) Are supporting documents marked "Paid" by the persons signing X
or controlling the signing of checks and referred to check
number?
10) Is the bank account reconciled monthly? I X
11) Are all disbursements, excluding petty cash purchases, approved X
by persons independent of check preparation and bookkeeping?
CHECK ONE
30f6
O:\PrivatizatÎon Contract Services\Contract Documents\lNTERNAL CONTROL QUESTIONNAIRE FOR.doc
YES NO N/A
12) AIe all capital equipment purchases approved by authorized
Personnel with prior approval by the Orange County Social x
Services Agencv Contracts Administrator?
13) Is a current list of capital equipment maintained, and is an x
inventorv conducted periodically?
14) Is a pre-printed serial number tag affixed to the capital x
eouinment shortlv after it is received?
15) AIe all offices and/or employees who handle cash or have access x
To cash bonded?
CHECK ONE
40f6
O:\Privatization Contract Services\Contract Documents\INTERNAL CONTROL QUESTIONNAIRE FOR.doc
PAYROLL
YES NO N/A
I) Does each employee prepare hislher time card/time sheet for each x
pay period?
2) AIe time cards/time sheets signed by the employees and approved x
by their supervisor?
3) AIe paychecks distributed by someone other than the supervisor x
who approves time worked?
4) AIe paychecks for employees who are absent on paydays x
AdeQuatelv safeguarded until distributed?
5) AIe personnel files maintained for each employee showing!
Containing each employee's: x
a) date of hire x
b) hourly rate of pay x
c) W-4 form x
d) iob description X
e) iob status (full-time, part-time, etc.) X
f) documentation/authorization for pay adjustments T
6) AIe there established policies for sick leave, vacation, leave of x
Absence, etc.?
7) AIe there procedures in effect to ensure that employee absences
are properly recorded on their time cards? x
8) AIe pavroll advances allowed? x
If so, are procedures to record advance and prevent duplicate
Payments adeQuate?
9) AIe hiring, terminating or pay rate changes approved by persons x
independent ofpavroll functions?
CHECK ONE
50f6
O:\Privatization Contract Services\Contract Documents\INTERNAL CONTROL QUESTIONNAIRE FOR.doc
SEGREGATION OF DUTIES
Svstem
I) Receipts
2) Disbursements
3) Payroll
4) Petty cash
5) General
Dutv
Mail opening and endorsement
Retention of remittance advises
Entry into cash receipts journal
Completion of deposit slips
Delivery of deposits to the bank
Safeguarding blank checks
(Non-Payroll) check preparation
Check signing
Entry into cash disbursement journal
Cancellation of support documents
Time card/Time sheet approval
Preparation of Payroll Journal and
compensation records
Preparation of payroll checks
Distribution of payroll checks
Payroll check signing
Custodian
Approval of General Journal
Approval of supporting documents for
reimbursement
Approval of General Journal
Reconciliation of bank statements
60f6
PositionJEmplovee
Assistant
Revenue Processing
Elsa Ortega
Treasury Supervisor
Minerva Mancha
Data Entry
Lynda Kelley
Management Analyst
William Navaja
Pick-up by Brinks Armor
Delivery
Treasury Supervisor
Minerva Mancha
Programmatically thru Information
Services Supervisor - Bob DePrat
Executive Director - Finance
Rod Coloma
Programmatically thru Information
Services Supervisor - Bob DePrat
Lead Accounting Assistant - Purchas:
Sandra Perez
Agency respective supervisors I
managers
Programmatically thru the
payroll system
Same as above
Payroll Assistant
Alicia Moore
Executive Director
Rod Coloma
- Finance
Treasury Supervisor
Minerva Mancha
Acting Accounting Manager
Alex Ugarte
Senior Accountant
Faye Wong
Acting Accounting
Alex Ugarte
Acting Accounting
Alex Ugarte
Manager
Manager
O:\Privatization Contract Services\Contract Documents\INTERNAL CONTROL QUESTIONNAIRE FOR.doc