HomeMy WebLinkAboutA-2006-183
9
-
A-2006-183
..
o ~ Q) r+ ( I)
(f.:fRhA )
WIA COST REIMBURSEMENT AGREEMENT
COUNTY OF ORANGE
FUNDING SOURCE: 100% FEDERAL
AGREEMENT #: S1-V-07
THIS AGREEMENT, between the County of Orange, hereinafter referred to as "COUNTY", and
City of Santa Ana/Santa Ana Workforce Investment Board hereinafter referred to as "CONTRACTOR,"
consists of fifty two (52) sections and the following ten (10) exhibits: A. General Program Requirements,
B. Statement of Work, C. Performance Standards, D. Budget Schedule, E. Drug Free Workplace
Certification, F. Suspension & Debarment Certification G. Certification Regarding Lobbying, H. Disclosure
Form to Report Lobbying, I. Child Support Enforcement Provision (for-profit providers only), and J. EDD
Independent Operator Reporting Requirements.
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
9
t
TABLE OF CONTENTS
No. Page
1. TERM.......... ............... ............ ................... ....... .... ...... ......................... ......... ..... .......... ....................... ........6
2. P U RPOS E ................................................................................................................................................ 7
3. COMPLIANCE WITH LAW....................................................................................................................... 7
(a) Federal.. ..................... ... ..... ............. ..................................... .......... ........................................... ... .......7
(1) Clear Air and Clean Water Act ............................................................................................................ 7
(2) Energy Efficiency Standards............................................................................................................... 7
(b) State........................................................................... ......................................................................... 7
(c) County................................................................................................................................ .................7
(d) Local......................................................................................................................... ..........................7
(e) Court Orders............................................................................................................................ ............7
(f) Terms and Conditions........................................................................................ .................................. 7
4. STATEMENT OF WORK................... .......... ................ ............... .... ..... ................... ................... ..... ......... 8
5. SERViCES......................................................................................................................... ......................8
6. MODIFICATION OF PROGRAM COMPONENTS AND SERVICE LEVELS ..........................................8
7. INSTRUCTORS ......... ........... .... ....... ............... .......... ............ ....... ...... ..................... ............... ......... ......... 9
8. PERFORMANCE STANDARDS.............................................................................................................. 9
9. PLANS AND PROCEDURES.. ................. ................ ................... ........ ........... ..... .................. ......... ......... 9
1 O. SATISFACTORY WORK........................................................................................................................ 9
11. REPORTS...... ............. ......... ...... ........... ................. ...... .............. .............. ...................................... ........ 9
12. NO SUPPLANTATION......................................................................................................................... 10
13. INDEPENDENT CONTRACTOR............. ....................... .............. .......... ................ ................... ........... 10
14. ASSiGNMENT............ ........ .................. ............ ............ .......... ............. ................................. ................10
15. SUBCONTRACTS ........................... ................................ ....................................... .................... .... ......11
16. CONTI NGENCY OF FUNDS ........... ......................... ............................. ............................. ..... .............11
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
2
9
,.
17. BUDGET SCHEDULE................... ............ ......... ............... .............................................................. ..... 11
18. MODIFICATION OF BUDGET SCHEDULE......................................................................................... 12
19. PAYMENTS BY COUNTy........ ..... ..................... .................................................................... ........ ...... 12
(a) Monthly Payments ...................................................... .................................................................... 12
(b) Cou nty Discretion............................................................................................................................. 12
(c) Invoices.................................................................................... ....................................................... 13
20. FISCAL ACCOUNTABILITy..... .................... ...................... ............................................... ................... 13
(a) Financial Management System........................................................................................................ 13
(b) CONTRACTOR's Records............................................................................................................... 13
(c) Costs Charged........................................................................................... ....................................... 13
21. PROGRAM INCOME....................................................................................... ..................................... 14
22. PELL GRANTS/HEA TITLE IV .............................................................................................................14
23. ANNUAL AUDIT " ......... ..... ............ ......... ....... .......................... ....... ............................... ............... ........14
24. ACCESS AND RECORDS ................ ....... ............. .............. ..... .............................. ............ ........... .......14
(a) Access........................................................................................................................ ...................... 14
( b) Records Retention............................................................................................................................ 15
25. FRAUD.. .. . .. . . .. .. .... . .. .. .. .. . .. .. .. .. .. . . . . . . .. .. .. .. .. . .. .. .. . .. . .. .. .. . . . . . .. .. . .. . .. .. .. . .. .. . .. .. . .. .. .. .. .. . .. . .. .. .. . .. .. . ... .. .. .. . .. .. .. ... 15
26. MODIFICATIONS/CHANGE ORDERS ..................... ........ ............................... ...................... .............. 15
(a) By DIRECTOR............ ..... ................. ......... ...................... ....... ............... ....... ........... ................... .....15
.(b) By CONTRACTOR...... ......... ........ ..... ................ ...................... ....... ........ ................ ..... .............. ....... 16
27. PARTiCiPANTS........................... ..... ......... ................... ................................ .............. .............. ............ 17
(a) Benefits ............................................................................................................................................ 17
(b) Labor Standards............. ....... ....... ....... ................. .......... ........................... ........................ ............... 17
(c) Complaint Handling Procedures ....... .......... ...................................... .......................... .....................17
(d) Nondiscrimination and Compliance Provisions ......... ........................ ............... ...... ............ .............. 17
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
3
.
r
28. CONFIDENTIALITY... ...... ........... ..... ................... .......... .............. .....................,. ................................... 18
29. EQUiPMENT.......,.............................................................."..........................................,., ......,............19
30. MUTUAL I NDEMNIFICA TION ...............................................................,.............................................. 20
31. INSURANCE............................................................................................................................. ............20
32. PATENT/COPYRIGHT MATERIALS/PROPRIETARY INFRINGEMENTS ..........................................23
33. INTELLECTUAL PROPERTY............................................................................................................... 24
(a) Federal Funding............................................................................................................................. 24
(b) Ownership........,.,.........................................................................................,............................. ....24
(c) Retained Rights/License Rights........................................................................ .............................. 26
(d) Copyright.................................................................................................................................. .......27
(e) Patent Rights.........................................,......................................................................................... 28
(f) Third Party Intellectual Property........................................... ............................................................ 28
(g) Warranties...................................................................................................................... .................28
(h) Intellectual Property Indemnity......... ............ ........................................,.....,.......... .......... ................ 29
(i) Survival.......................................................................,...................................................... ...............31
34. CORPORATE STATUS......................................................................................."............................... 31
35. STANDARDS OF CONDUCT... ...... ........................ .,......... ......... ... ....... ..... ....... ........... ......... ................ 31
(a) General Assurance......................................,.................................................................................... 31
(b) Employment of Former State Employees......................................................................................... 31
(c) Conducting Business Involving Relatives......................................................................................... 32
(d) Conducting Business Involving Close Personal Friends and Associates......................................... 32
(e) Avoidance of Conflict of Economic Interest.... ..... .... ........................ ........... ...... ................... ............. 32
36. SWEA TFREE CODE OF CONDUCT................................................................................................... 32
37. DRUG FREE WORKPLACE.. ....... ....................................... .............. ...................................... ..... ........33
38. DEBARMENT... ....... ........ ............................ .......... ..... .... .... .......................... ........... ...... ... ......... ..... ...... 33
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
4
"'
39. SECTARIAN ACTiViTIES........... .......... ....... ................................................,..................... ................... 33
40. LITERATURE....................................................................................................................................... 33
41. LOBBYI NG ........................................................................................................................................ ...33
42. BREACH - SANCTIONS....................................................................................................................... 34
43. DiSPUTES......................................................................................................................... ...................34
44. TERMINATION... ...................... ..................................................... ..... .............. ..... .......... ..................... 34
45. TOTAL AGREEMENT.......................................................................................................................... 35
46. CH ILD SUPPORT ENFORCEMENT............. ....................................................................................... 35
47. EDD INDEPENDENT CONTRACTOR REPORTING REQUIREMENTS.............................................35
48. NOTICES.. ..................... .............. ................ ........ ............................ .......... ..... ............ .............. ... .... .....35
49. GOVERN ING LAW AND VENUE ......................................................................................................... 36
50. WAiVER............................................................................................................................. ...................36
51. PUBLiCiTY.................................................................................................................................. .........36
52. CALENDAR DAyS............. .............. ............,... ........ ................ ........ ........................................ ............ 37
SIGNATURES
EXHIBITS
A General Program Requirements
B Statement of Work
C Performance Standards
D Budget Schedule
E Suspension & Debarment
F Drug-Free Workplace Certification
G Certification Regarding Lobbying
H Disclosure Form to Report Lobbying
I Child Support Enforcement Provision (for profit only providers)
J EDD Independent Operator Reporting Requirements
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
5
"'
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
WHEREAS, Congress has enacted the "Workforce Investment Act of 1998," hereinafter referred to
as "the Act," to provide workforce investment activities, through statewide and local workforce investment
systems, that increase employment, retention and earnings of participants, and increase occupational skill
attainment by participants, and, as a result, improve the quality of the workforce and enhance the
productivity and competitiveness of the Nation; and
WHEREAS, the County of Orange, (hereinafter "COUNTY") acting as the Administrator of the Act
funds, is empowered to make a portion of the funds available pursuant to the Act (hereinafter referred to
as "grant funds") to City of Santa Ana/Santa Ana Workforce Investment Board (hereinafter
"CONTRACTOR"), for the purpose of implementing the provisions of the Act; and
WHEREAS, COUNTY, by Minute Order dated July 18. 2006, a copy of which is on file with the
Clerk of the Board of Supervisors of Orange County and which by this reference is incorporated herein
and made a part hereof as if fully set forth, has appropriated a portion of grant funds in the amount of
$86.000 to engage CONTRACTOR to carry out certain program services; and
WHEREAS, COUNTY's Housing and Community Services Department (hereinafter referred to as
"HCS"), Director or designee (hereinafter referred to as "DIRECTOR"), shall administer this Agreement
(hereinafter referred to as "Agreement") as is necessary or reasonable to comply with or implement the
grant funds received by COUNTY and as required by law or applicable regulations; and
WHEREAS, CONTRACTOR, in order to receive grant funds, is agreeable to the terms and
conditions hereinafter set forth;
NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS:
TERM
1. The term of this Agreement shall commence on June 1. 2006 and terminate on May 30. 2008
subject to the provisions of Sections 16, 42 and 44 of this Agreement; however, CONTRACTOR shall be
obligated to perform such duties as would normally extend beyond this term, including but not limited to
obligations with respect to indemnification, audits, reporting, follow-up services and accounting.
CONTRACTOR and DIRECTOR may mutually agree in writing to extend the term of this Agreement up to
and including a period of one year, provided that COUNTY's maximum obligation as stated in
Subparagraph 19 of this Agreement does not increase as a result, and on the same terms and conditions
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06 6
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
upon mutual agreement of the parties in writing without further Board action, unless the COUNTY earlier
terminates this Agreement pursuant to the provisions contained in paragraph 44 herein.
PURPOSE
2. The purpose of the program funded by this Agreement is to provide workforce investment
activities that increase employment, retention, earnings and occupational skill attainment through local
workforce investment systems to those seeking employment. Additionally, this program is funded to
increase the effectiveness of local and regional business through business improvement and development
activities, job matching, and other services. All services will improve the quality of the workforce and
enhance the productivity and competitiveness of Orange County and the Nation. CONTRACTOR shall
ensure that the program funded hereby shall comply with this purpose.
COMPLIANCE WITH LAW
3. In its performance under this Agreement, CONTRACTOR shall fully comply with the
requirements of the following, whether or not otherwise referred to in this Agreement:
(a) The Act and all applicable federal statutes, regulations, policies, procedures and
directives, including but not limited to, 20 C.F.R. Parts 652 and 660 through 671.
(1) All applicable standards and orders and requirements issued under Section 306 of the
Clean Air Act, Section 508 of the Clean Water Act and Environmental Protection Agency regulations in
contracts in excess of $1 00,000.
(2) CONTRACTOR shall comply with such mandatory standards and pOlicies relating to
energy efficiency as particularized in the State Energy Conservation Plan. (Title 20, California Code of
Regulations), as required by the U.S. Energy Policy and Conservation Act (P.L. 94-163) as each may now
exist or be hereafter amended.
(b)
(c)
(d)
(e)
(f)
All applicable State statutes, regulations, policies, procedures and directives;
All applicable COUNTY policies, procedures and directives;
All applicable local ordinances and requirements, including use permits and licensing;
Court orders applicable to CONTRACTOR's operations; and
The terms and conditions of this Agreement, including Exhibits A through J;
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
7
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
If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with such or will notify
DIRECTOR in writing within thirty (30) days after enactment or modification that it cannot so comply.
COUNTY may thereupon terminate this Agreement, if necessary.
STATEMENT OF WORK
4. This Agreement is based upon the Statement of Work, attached hereto and incorporated herein
as Exhibit B to this Agreement. CONTRACTOR agrees to comply with all provisions, to perform all work,
and to provide all services set forth in this Agreement and the aforementioned Statement of Work in a
professional, timely and diligent manner. The parties hereto agree that concerning matters not specifically
contained within the body of this Agreement, the Statement of Work will be controlling.
SERVICES
5. CONTRACTOR agrees that those specific program components to be performed by
CONTRACTOR, and the service levels to be utilized by COUNTY for program evaluation and monitoring,
include, but are not limited to, those set forth in Exhibits "A", "B" and "C", which are attached hereto and
incorporated herein as if fully set forth. CONTRACTOR agrees that it is responsible for and guarantees
performance of all of the specific program components and service levels listed in Exhibits "A", "B" and
"C". CONTRACTOR further agrees that lack of compliance with Exhibits "A", "B" or "C" may, in addition to
those remedies set forth in Section 42 of this Agreement, constitute grounds for COUNTY to reduce the
level of payment otherwise provided under Section 19 (c) of this Agreement or to reduce the payment level
and budget at which CONTRACTOR will be funded for the remainder of the period of this Agreement.
Reductions in an amount up to 10% of the total contract may be made by DIRECTOR. Any reduction over
10% shall occur only as a result of action of COUNTY's Board of Supervisors upon recommendation by
DIRECTOR.
MODIFICATION OF PROGRAM COMPONENTS AND SERVICE LEVELS
6. The parties hereto agree that those program components, service levels, and line-item budget
information detailed in Exhibits "A", "B", "C" and "D" may be modified upon mutual written agreement of the
DIRECTOR and CONTRACTOR so long as the total payments under this Agreement are not increased
and the basic goals and objectives of the program are not altered. Should the State of California modify
any program component and/or service level detailed in Exhibits "A", "B", "C" and/or "D," then the
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
8
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
COUNTY shall have the right to unilaterally modify this agreement to meet such requirements.
INSTRUCTORS
7. CONTRACTOR shall ensure that all instructors involved in the training of participants are
qualified to instruct in the appropriate program or training component or curriculum. If necessary, such
instructors shall be appropriately certified by the State of California. Within thirty (30) days after the
execution of this Agreement, CONTRACTOR shall submit to DIRECTOR a list of the names and
qualifications of all instructors who will be providing such training and shall notify DIRECTOR within five
(5) business days of any amendments or revisions thereto.
PERFORMANCE STANDARDS
8. CONTRACTOR shall comply with and adhere to the performance accountability standards and
general program requirements described in Sections 136 (Performance Standards) and 195 (General
Program Requirements) of the Act and applicable regulations and as contained in Exhibit "C". Should the
Performance Requirements defined in the Agreement between the State of California and the County of
Orange be changed, COUNTY shall have the right to unilaterally modify this agreement to meet such
requirements.
PLANS AND PROCEDURES
9. CONTRACTOR shall monitor its program for compliance with the provisions of this Agreement.
CONTRACTOR shall also comply with all applicable parts of COUNTY's WIA Policies and Procedures for
recruitment, intake, assessment and referral, copies of which are available from DIRECTOR. Said
Policies and Procedures may be modified by DIRECTOR upon ten (10) days written notice to
CONTRACTOR.
SA TISFACTORY WORK
10. Services rendered hereunder are to be performed to the written satisfaction of DIRECTOR.
COUNTY's staff will interpret all reports and determine the quality, acceptability and progress of the
services rendered in accordance with the Performance Criteria listed in Exhibit "C". Inconsistencies in
performance will be corrected as they occur and are detected.
REPORTS
11. CONTRACTOR shall maintain records and submit such reports, data and information at such
26
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06 9
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
times as DIRECTOR may require, and in the form DIRECTOR may require, regarding the performance of
CONTRACTOR's services, activities, costs or other data relating to this Agreement as may be requested
by DIRECTOR, upon a form approved by DIRECTOR. DIRECTOR may modify the provisions of this
paragraph without further Board action upon written notice to CONTRACTOR.
NO SUPPLANTATION
12. CONTRACTOR shall not supplant any Federal, State or COUNTY funds intended for the
purposes of this Agreement with any funds made available under this Agreement. CONTRACTOR shall
not claim reimbursement from COUNTY for, or apply sums received from COUNTY with respect to, that
portion of its obligations which have been paid by another source of revenue. CONTRACTOR agrees that
it shall not use funds received pursuant to this Agreement, either directly or indirectly, as a contribution or
compensation for purposes of obtaining Federal, State or COUNTY funds under any Federal, State or
COUNTY program without prior written approval of DIRECTOR.
INDEPENDENT CONTRACTOR
13. CONTRACTOR is and shall at all times be deemed to be, an independent contractor and shall
be wholly responsible for the manner in which it performs the services required of it by the terms of this
Agreement. Nothing herein contained shall be construed as creating the relationship of employer and
employee, or principal and agent, between COUNTY and CONTRACTOR or any of CONTRACTOR's
agents or employees. CONTRACTOR assumes exclusively the responsibility for the acts of its employees
or agents as they relate to services to be provided during the course and scope of their employment.
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.
ASSIGNMENT
14. The terms, covenants, and conditions contained herein shall apply to and bind the heirs,
successors, executors, administrators, and assigns of the CONTRACTOR. No portion of this Agreement
shall be assigned without the express written consent of COUNTY. Any attempt by CONTRACTOR to
assign any portion of this Agreement without the express written consent of COUNTY shall be invalid and
shall constitute a breach of this contract.
W1A COST REIMBURSEMENT CONTRACT - REV. 6-2-06
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
SUBCONTRACTS
15. CONTRACTOR shall not subcontract for services under this Agreement without the prior
written consent of DIRECTOR. If DIRECTOR consents in writing to a subcontract, in no event shall the
subcontract alter, in any way, any legal responsibility of CONTRACTOR to COUNTY. DIRECTOR 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 DIRECTOR within
thirty (30) days of execution. CONTRACTOR shall include in each subcontract any provision DIRECTOR
may require.
CONTRACTOR shall ensure that all subcontracts for services and contracted staff are procured in
a manner consistent with Federal, State and local guidelines. Description of the intended method of
procurement must be included as part of the budget which is included as Exhibit D of this Agreement.
CONTRACTOR shall itemize all subcontractor and contracted staff costs in the budget so it is clear how
the funds will be allocated and spent by each subcontractor. By entering into this Agreement
CONTRACTOR agrees that it is the direct provider of services.
CONTINGENCY OF FUNDS
16. CONTRACTOR aCknowledges that the obligations of COUNTY under this Agreement are
contingent upon the availability of Federal and/or State funds, as applicable, for the reimbursement of
CONTRACTOR's expenditures, and inclusion of sufficient funds for the services hereunder in the budget
approved by COUNTY's Board of Supervisors each fiscal year this Agreement remains in effect or
operation. In the event that such funding is terminated or reduced, DIRECTOR may immediately
terminate this Agreement, reduce COUNTY's maximum obligation, or modify this Agreement, without
penalty. The decision of DIRECTOR shall be binding on CONTRACTOR. DIRECTOR shall provide
CONTRACTOR with written notification of such determination. CONTRACTOR shall immediately comply
with DIRECTOR's decision.
BUDGET SCHEDULE
17. CONTRACTOR agrees that the expenditures of any and all funds under this Agreement will be
in accordance with the BUDGET SCHEDULE, a copy of which is attached hereto as Exhibit liD", and
which by this reference is incorporated herein and made a part hereof as if fully set forth.
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06 11
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
MODIFICATION OF BUDGET SCHEDULE
18. The BUDGET SCHEDULE consists of the following budget categories: Salaries and Benefits,
Operations, Consultant/Subcontract, Employer Reimbursement (OJT), Miscellaneous Client
Fees/Supportive Services, Participant Wages, Equipment, Supplies, and Indirect. Upon written approval of
DIRECTOR, CONTRACTOR shall have the authority to transfer allocated program funds from one
category of the overall program budget to any other category of the overall program budget, as long as the
amount of the total grant is not increased and the basic goals and objectives of the program are not
altered. No such transfer may be made without the express prior written approval of DIRECTOR. A
modification of the BUDGET SCHEDULE may include the addition of any new budget category. Approval
of the Budget Modification by DIRECTOR includes approval of the new Budget Category.
PAYMENTS BY COUNTY
19. CONTRACTOR agrees that any and all funds received under this Agreement shall be
disbursed or encumbered on or before Mav 30.2008 and that any and all funds remaining as of Mav 30.
2008 which have not been disbursed or encumbered shall be returned by CONTRACTOR to COUNTY
within thirty (30) days of the expiration or earlier termination of the Agreement in accordance with
paragraph 44. No expense of CONTRACTOR will be reimbursed by COUNTY if incurred after May 30.
2008. No CONTRACTOR expenses shall be paid if COUNTY receives billing after June 30. 2008.
Upon the effective date of this Agreement, COUNTY shall make payments to CONTRACTOR in
accordance with the following payment schedule:
(a) Monthly Payments. Beginning Julv 1. 2006, upon receipt and approval by
HCS/Community Investment Division (CID) of CONTRACTOR's invoice showing the prior month's actual
expenditures, COUNTY shall make monthly reimbursement payments based on CONTRACTOR's invoice
so long as the total payments under this Agreement do not exceed eiQhtv six thousand ($86.000).
(b) COUNTY Discretion. At the sole discretion of COUNTY, payments to CONTRACTOR
may be made more frequently than monthly, but such payments shall always be in arrears and not in
advance of the provision of services by CONTRACTOR.
(c) Invoices. CONTRACTOR shall provide to HCS/CID monthly invoices by the 20th day
following the month being reported. CONTRACTOR's invoices shall show the most up to date costs
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
12
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
chargeable to the program(s) referenced in this Agreement. If CONTRACTOR's expenditures for any
program referenced in this Agreement fall below 20% of planned expenditures for any cumulative period
commencing from the beginning of the term of this Agreement, CONTRACTOR may be subject to a
reduction in funding. No payments will be authorized if any preceding month's reports or invoices have
not been received.
FISCAL ACCOUNTABILITY
20. (a) Financial Manaaement SYstem. CONTRACTOR shall establish and maintain a sound
financial management system, based upon generally accepted accounting principles. CONTRACTOR's
system shall provide fiscal control and accounting procedures that will include the following:
(1) Information pertaining to subgrant and contract awards, obligations, unobligated
balances, assets, expenditures, and income;
(2) Effective internal controls to safeguard assets and assure their proper use;
(3) A comparison of actual expenditures with budgeted amounts for each subgrant and
contract;
(4) Source documentation to support accounting records; and
(5) Proper charging of costs and cost allocation.
(b) CONTRACTOR's Records. CONTRACTOR's records shall be sufficient to:
(1) Permit preparation of required reports;
(2) Permit the tracking of funds to a level of expenditure adequate to establish that
funds have not been used in violation of the applicable restrictions on the use of such
funds; and
(3) Permit the tracking of program income, or profits earned, and any costs incurred
(such as stand-in costs) that are otherwise allowable except for funding limitations.
(c) Costs Charaed. Costs shall be charged to this Agreement only in accordance with the
following:
(1) the Act;
(2) 20 C.F.R. Part 667; and
(3) State implementing legislation.
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
13
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
PROGRAM INCOME
21. COUNTY's maximum obligation hereunder shall be reduced by the amount of any program
income earned by CONTRACTOR, from sources other than COUNTY, as a result of this Agreement or the
services provided by CONTRACTOR pursuant to this Agreement. It shall be the responsibility of
CONTRACTOR to inform the COUNTY in writing of any income earned as a result of this Agreement.
PELL GRANTS/HEA TITLE IV
22. If CONTRACTOR provides any services under this Agreement to applicants for or recipients of
Pell Grants or awards pursuant to Title IV of the Higher Education Act, CONTRACTOR shall cooperate
with DIRECTOR in coordinating these grants and awards with WIA funding in accordance with 20 C.F.R.
663.320 and Section 134 (d) of the Act. CONTRACTOR shall inform DIRECTOR in writing of the amounts
and disposition of any Pell Grants, Higher Education Act Title IV awards and other financial aid granted to
each WIA participant under this Agreement.
ANNUAL AUDIT
23. CONTRACTOR shall arrange independently for an audit performed by a Certified Public
Accountant that includes WIA funds received from COUNTY, in accordance with the Act and 20 C.F.R.
Section 667.200. CONTRACTOR shall submit two (2) copies of each required audit report to COUNTY
within thirty (30) days after the date received by CONTRACTOR.
ACCESS AND RECORDS
24. (a) Access. COUNTY, the State of California and the United States Government and/or their
representatives, shall have access, for purposes of monitoring, auditing, and examining, to
CONTRACTOR's activities, books, documents and papers (including computer records and emails) and to
records of CONTRACTOR's subcontractors, consultants, contracted employees, bookkeepers,
accountants, employees and participants related to this Agreement. Any agreement between
CONTRACTOR and a subcontractor pursuant to this Agreement shall require the subcontractor agree to
this condition. The COUNTY, the State of California and the United States Government and/or their
representatives shall have the right to make excerpts, transcripts and photocopies of such records and to
schedule on-site monitoring at their discretion. Monitoring activities also may include, but are not limited
to, questioning employees and participants and entering any premises or onto any site in which any of the
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06 14
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
services or activities funded hereunder are conducted or in which any of the records of CONTRACTOR
are kept. CONTRACTOR shall make available its books, documents, papers, financial records, etc.,
within three (3) days after receipt of written demand by DIRECTOR which shall be deemed received upon
date of sending. In the event CONTRACTOR does not make the above-referenced documents available
within the County of Orange, California, CONTRACTOR agrees to pay all necessary and reasonable
expenses incurred by COUNTY, or COUNTY's designee, in conducting any audit at the location where
said records and books of account are maintained.
(b) Records Retention. All accounting records and evidence pertaining to all costs of
CONTRACTOR and all documents related to this Agreement shall be kept available at CONTRACTOR's
office or place of business for the duration of this Agreement and thereafter for four (4) years after
completion of an audit. Records which relate to (1) complaints, claims, administrative proceedings or
litigation arising out of the performance of this Agreement, or (2) costs and expenses of this Agreement to
which COUNTY or any other governmental agency takes exception, shall be retained beyond the four (4)
years until final resolution or disposition of such appeals, litigation, claims, or exceptions.
(c) 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 disallowance or other audit exceptions to
the extent that such liability is attributable to CONTRACTOR's failure to perform under this Agreement.
FRAUD
25. CONTRACTOR shall immediately report all suspected or known instances and facts
concerning possible fraud, abuse or criminal activity under this Agreement.
MODIFICA TIONS/CHANGE ORDERS
26. (a) DIRECTOR may at any time, by written order to CONTRACTOR, make changes within
the general scope of this Agreement, in the definition of services and tasks to be performed, the manner in
which services are performed, the time and place of performance thereof and additional related provisions.
Such change orders may be made when necessitated by changes in the Orange County One-Stop
System operations or performance, the operations or performance of CONTRACTOR, or changes in
applicable statutes, regulations or State of California or Federal mandates or directives. CONTRACTOR
may submit a program or budget modification request in response to change orders, which significantly
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
15
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
alter CONTRACTOR's Statement of Work. Without further Board action, DIRECTOR may execute
amendments to this Agreement modifying CONTRACTOR's services in amounts that do not collectively
increase or decrease by more than 10% the price of said services under this Agreement when originally
executed. Modifications in excess of 10% of the original Agreement price, and modifications that
materially alter either of the parties' obligations hereunder must be approved by the COUNTY's Board of
Supervisors.
CONTRACTOR and DIRECTOR shall make a good faith effort to reach an agreement with respect
to change orders, which affect the price of services under the Agreement. CONTRACTOR's protest or
failure to agree to the amount of any adjustment to be made as a result of a change order shall be a
dispute for which an appeal may be made pursuant to Section 43 of this Agreement. Notwithstanding the
foregoing, the price of services under this Agreement shall not be increased except by written modification
of this Agreement indicating the new services and price of this Agreement if applicable. Until the parties
reach agreement, CONTRACTOR shall not be obligated to assume increased performance under the
change order beyond the limitation of funds established within this Agreement.
(b) CONTRACTOR may request changes in the scope of performance or services under this
Agreement, by submitting a written request to DIRECTOR describing the request and its impact on
CONTRACTOR's Proposal, Statement of Work and Budget Schedule. DIRECTOR will review the request
and respond in writing within ten (10) business days. Requests shall be reviewed in light of all SPD
program activities. DIRECTOR's decision whether to approve the request or request Board of
Supervisors' approval shall be final. DIRECTOR may approve a request that meets all of the following
criteria:
(i) The request does not increase or decrease the total amount of the funds
allocated for the individual programs affected by 10% from the amount specified
in Exhibit "D" of this Agreement, when it was originally executed;
(ii) It does not materially change other terms of this Agreement, and
(Hi) It is supported by adequate consideration to COUNTY.
Board of Supervisors' action is necessary to approve a request from CONTRACTOR that does not satisfy
all of the criteria listed above.
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
16
19
20
21
22
23
24
25
26
1
PARTICIPANTS
2
27.
(a) Benefits. CONTRACTOR shall provide wages and benefits to individuals who
3
participate in the activities and services funded by this Agreement ("participants") in accordance with the
4
standards and requirements of the Act, including Section 181 of the Act.
5
(b) Labor Standards. CONTRACTOR shall adhere to the Labor Standards described in
6
the Act, including Section 181 of the Act, and all other applicable codes and regulations.
7
(c) Comolaint Handlina Procedures. CONTRACTOR shall comply with the "Complaint
Handling Procedures" under the Act, a copy of which is available from the DIRECTOR. CONTRACTOR
8
shall advise participants of their right to file complaints under the Act and of the procedures for resolution
of any complaints. CONTRACTOR shall follow COUNTY's procedures for handling complaints which is
available from the DIRECTOR alleging a violation of the Act, regulations, grants or other agreements
under the Act, and any decision of the COUNTY, the State or the Federal government relating to the
9
10
11
12
complaint shall be binding on and shall be followed by CONTRACTOR.
13
(d) Nondiscrimination and Comoliance Provisions
14
(1) CONTRACTOR shall comply fully with the nondiscrimination and equal opportunity
provisions of the Act (Section 188); the Nontraditional Employment for Women Act of 1991; Title VI of the
Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended; the Age
Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; Title IX of the
15
16
17
Education Amendments of 1972, as amended; the Equal Opportunity provisions in Executive Order
18
11246, as amended by Executiye Order 11375 and supplemented by the requirements of 41
C.F.R. Part 60; and with all applicable requirements imposed by or pursuant to regulations or Executive
Order implementing those laws, including, but not limited to, 29 C.F.R. Part 37. The United States, the
State of California and COUNTY have the right to seek judicial enforcement of this requirement.
(2) CONTRACTOR shall comply with the provisions of the Fair Employment and Housing
Act (California Government Code, Section 12900 et seq.) and the regulations promulgated thereunder
(California Code of Regulations, Title 2, Section 7285.0 et seq.). The applicable regulations of the Fair
Employment and Housing Commission implementing Government Code Section 12990 (a-f), set forth in
Chapter 5 of Division 4 of Title 2 of the California Code of Regulations are incorporated into this
Agreement by reference and made a part hereof as if set forth in full.
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06 17
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
(3) In the performance of this Agreement, CONTRACTOR and its subcontractors shall
not deny the Agreement's benefits to any person on the basis of race, ancestry, national origin, religion,
color, ethnic group identification, sex, age, mental or physical disability (including HIV and AIDS), medical
condition (including cancer), marital status, denial of family care leave, political affiliation or belief, nor will
they unlawfully discriminate, harass or allow harassment against any employee or applicant for
employment because of race, ancestry, national origin, religion, color, ethnic group identification, sex, age,
mental or physical disability (including HIV and AIDS), medical condition (including cancer), marital status,
denial of family care leave, political affiliation or belief. CONTRACTOR shall insure that the evaluation
and treatment of employees and applicants for employment are free from such discrimination and
harassment.
(4) CONTRACTOR will include the non-discrimination and compliance provisions of this
Section of the Agreement in all subcontracts to perform work under this Agreement.
(5) CONTRACTOR will give written notice of its obligations under this Section of the
Agreement to labor organizations with which CONTRACTOR has a collective bargaining or other
agreement.
(6) CONTRACTOR shall furnish any and all information requested by DIRECTOR and
shall permit DIRECTOR access, during business hours, to books, records and accounts in order to
ascertain CONTRACTOR's compliance with the above non-discrimination requirements.
CONFIDENTIALITY
28. (a) Without prejudice to any other section of this Agreement, CONTRACTOR shall, where
applicable, maintain the confidential nature of information provided to it concerning participants in
accordance with the requirements of Federal and State law. However, CONTRACTOR shall submit to
COUNTY, the State of California and/or the United States Government or their representatives, all records
requested for administrative purposes, including audit, examinations, monitoring and verification of reports
submitted by CONTRACTOR, costs incurred and services rendered hereunder.
(b) CONTRACTOR shall require all of its employees, agents, subcontractors and volunteer
staff who may provide services to CONTRACTOR under this Agreement to sign an agreement with
CONTRACTOR before commencing the provision of any such services, to maintain the confidentiality of
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
18
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
any and all materials and information with which they may come into contact, or the identities or any
identifying characteristics or information with respect to any and all participants referred to CONTRACTOR
by COUNTY, except as may be required to provide services under this Agreement or to those specified in
this Agreement as having the capacity to audit CONTRACTOR, and as to the latter, only during such
audit. CONTRACTOR shall provide reports and any other information required by COUNTY in the
administration of this Agreement, and as otherwise permitted by law.
(c) CONTRACTOR agrees that any and all subcontracts entered into shall be subject to the
confidentiality requirements of this Agreement.
EQUIPMENT
29. All items purchased with funds provided under this Agreement or which are furnished to
CONTRACTOR by COUNTY that have a single unit cost of at least five thousand dollars ($5,000),
including all taxes, shipping, handling and installation costs shall be considered Equipment. Title to all
items of Equipment purchased vests and will remain in COUNTY as such shall be designated by
DIRECTOR. The use of such items of Equipment is limited to the performance of this Agreement. Upon
the termination of this Agreement, CONTRACTOR shall immediately return any items of Equipment to
COUNTY or its representatives, or dispose of them in accordance with the directions of DIRECTOR.
CONTRACTOR further agrees to the following:
To maintain all items of Equipment in good working order and condition, except for normal wear
and tear.
To label all items of Equipment, do periodic inventories as required by DIRECTOR and to maintain
an inventory list showing where and how the Equipment is being used, in accordance with procedures
developed by DIRECTOR. All such lists shall be submitted to DIRECTOR within ten (10) days of the
request therefore. Inventory lists must be maintained for four (4) years after final disposition of property.
To report in writing to DIRECTOR immediately after discovery, the loss or theft of any items of
Equipment. For stolen items, the local law enforcement agency must be contacted and a copy of the
police report submitted to DIRECTOR.
To purchase a policy or poliCies of insurance covering loss or damage to any and all Equipment
purchased under this Agreement, in the amount of the full replacement value thereof, providing protection
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
19
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
against the classification of fire, extended coverage, vandalism, malicious mischief and special extended
perils (all risks) covering the parties' interests as they appear.
The purchase of any Equipment by CONTRACTOR shall be requested by CONTRACTOR in
writing, shall require the prior written approval of DIRECTOR, and shall fulfill the provisions of this
Agreement which are appropriate and directly related to CONTRACTOR's service or activity under the
terms of this Agreement. COUNTY may refuse reimbursement for any costs resulting from Equipment
purchased, which are incurred by CONTRACTOR, if prior written approval has not been obtained from
DIRECTOR.
MUTUAL INDEMNIFICATION
30. (a) CONTRACTOR agrees to indemnify, defend with counsel approved in writing by COUNTY,
and hold COUNTY, the State of California, the United States Government and the Orange County
Workforce Investment Board, their elected and appointed officials, officers, employees, agents and those
special districts and agencies which COUNTY's Board of Supervisors acts as the governing Board
("COUNTY INDEMNITEES") harmless from any claims, demands or liability of any kind or nature,
including but not limited to personal injury or property damage, arising from or related to the services,
products or other performance provided by CONTRACTOR pursuant to this Agreement.
(b) COUNTY agrees to indemnify and hold CONTRACTOR, and its elected and appointed officials,
officers, and employees harmless from any claims, demands or liability of any kind or nature, including but
not limited to personal injury or property damage, arising from or related to the services, products or other
performance provided by COUNTY pursuant to this Agreement.
(c) If judgment is entered against CONTRACTOR and COUNTY by a court of competent
jurisdiction because of the concurrent active negligence of COUNTY/COUNTY INDEMNITEES and
CONTRACTOR, CONTRACTOR and COUNTY agree that liability will be apportioned as determined by
the court. Neither party shall request a jury apportionment.
INSURANCE
31. (a) Prior to the provision of services under this Agreement, the CONTRACTOR agrees to
purchase all required insurance at CONTRACTOR's expense and to deposit with DIRECTOR Certificates
of Insurance, including all endorsements required herein, necessary to satisfy COUNTY that the insurance
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
20
13
14
15
16
17
18
19
20
21
22
23
24
25
26
1
provisions of this Agreement have been complied with and to keep such insurance coverage and the
2
certificates therefore on deposit with DIRECTOR during the entire term of this Agreement. In addition, all
3
subcontractors performing work on behalf of CONTRACTOR pursuant to this Agreement shall obtain
4
insurance subject to the same terms and conditions as set forth herein for CONTRACTOR.
5
(b) All insurance pOlicies required by this Agreement shall declare any deductible or self-insured
6
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
7
responsible for reimbursement of any deductible to the insurer. Any self-insured retentions (SIRs) or
8
deductibles shall be clearly stated on the Certificate of Insurance. If the CONTRACTOR fails to maintain
9
insurance acceptable to the COUNTY for the full term of this Agreement, the COUNTY may terminate this
10
Agreement.
11
(c) If CONTRACTOR is a governmental entity, CONTRACTOR may elect to self-insure for the
12
insurance coverage required by this Agreement.
(d) 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, CEO/Office of Risk Management retains the right to approve or reject
the insurer after a review of the insurer's performance and financial ratings.
(e) 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)," as determined by the most current edition of the Best's Key Ratino Guide/Propertv-
Casualtv/United States or by going on-line to "ambest.com."
(f) The policy or policies of insurance maintained by CONTRACTOR shall provide the minimum
limits and coverage as set forth below:
Coveraoe
Minimum Limits
Commercial General Liability with
Broad Form Property Damage
Endorsement and Contractual Liability
$1,000,000 combined single limit
per occurrence
$2,000,000 Aggregate
Automobile Liability including all owned,
non-owned and hired vehicles
$1,000,000 combined single limit
per occurrence
Workers' Compensation
Statutory
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
21
20
21
22
23
24
25
26
1
2
Employer's Liability
Sexual Misconduct
$1,000,000 per occurrence
$1,000,000 per occurrence
3
4
(g) All liability insurance required by this Agreement shall be at least $1,000,000 combined single
5
limit per occurrence. The minimum aggregate limit for the Commercial General Liability policy shall be
$2,000,000.
6
(h) The County of Orange, Orange County Workforce Investment Board, and State of California
7
shall be added as additional insureds on all insurance policies required by this Agreement with respect to
8
the services provided by CONTRACTOR under the terms of this Agreement (except Workers'
9
Compensation/Employers' Liability). An additional insured endorsement evidencing that the County of
10
Orange is an additional insured shall accompany the Certificate of Insurance.
11
(i) All insurance policies required by this Agreement shall be primary insurance, and any insurance
12
maintained by the County of Orange shall be excess and non-contributing with insurance provided by
13
these policies. An endorsement evidencing that CONTRACTOR's insurance is primary and non-
14
contributing shall specifically accompany the Certificate of Insurance for the Commercial General Liability
and Sexual Misconduct Insurance.
15
U) All insurance policies required by this Agreement shall give the County of Orange 30 days
16
notice in the event of cancellation. This shall be evidenced by an endorsement separate from the
17
Certificate of Insurance. In addition, the cancellation clause must include language as follows, which edits
18
the pre-printed ACORD certificate:
19
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE
EXPIRATION DATE THEREOF, THE ISSUING COMPANY WILL MAIL 30 DAYS WRITTEN
NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT.
(k) 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 employment or appointment.
(I) The Commercial General Liability policy shall contain a severability of interests clause.
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
22
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
(m) CONTRACTOR is aware of the provisions of Section 3700 of the California Labor Code that
requires every employer to be insured against liability for Workers' Compensation or be self-insured in
accordance with provisions of that code. CONTRACTOR will comply with such provisions and shall
furnish COUNTY satisfactory evidence that CONTRACTOR has secured, for the period of this Agreement,
statutory Workers' Compensation insurance and Employers' Liability insurance with minimum limits of
$1,000,000 per occurrence.
(n) If CONTRACTOR fails to provide the insurance certificates and endorsements within seven (7)
days of notification by CEO/Risk Management or by DIRECTOR, award may be made to the next qualified
proponent.
(0) 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 CEO/Risk Management as appropriate to adequately protect
COUNTY.
(p) COUNTY shall notify CONTRACTOR in writing of changes in the insurance requirements. If
CONTRACTOR does not deposit copies of acceptable certificates of insurance and endorsements with
DIRECTOR incorporating such changes within thirty (30) days of receipt of such notice, this Agreement
may be in breach without further notice to CONTRACTOR, and COUNTY shall be entitled to all legal
remedies.
(q) The procuring of such required policy or policies of insurance shall not be construed to limit
CONTRACTOR's liability hereunder or to fulfill the indemnification provisions and requirements of this
Agreement.
(r) 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-mentioned insurance requirements in place of
commercial insurance certificates and endorsements.
PA TENT/COPYRIGHT MATERIALS/PROPRIETARY INFORMATION
32. CONTRACTOR agrees to grant the COUNTY, Federal and State governments a royalty-free,
nonexclusive and irrevocable license to publish, copy, translate or use, now and hereafter, all materials,
data, films, tapes, etc., developed under this Agreement including those covered by copyright. The
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
23
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
COUNTY, Federal, and State governments reserve the right to authorize others to use or reproduce such
materials. Further, the COUNTY, Federal, and State governments shall have access to any report,
preliminary findings or data assembled by CONTRACTOR under this Agreement and shall retain
ownership and patent rights to any discovery or invention under this Agreement, as provided in 29 CFR
97.34 and 97.36(i)(8&9).
INTELLECTUAL PROPERTY
33. (a) Federal Fundina. In any Agreement funded in whole or in part by the federal
government, COUNTY may acquire and maintain the Intellectual Property rights, title, and ownership,
which result directly or indirectly from the Agreement, except as provided in 37 Code of Federal
Regulations part 401.14. CONTRACTOR agrees to grant the COUNTY, Federal and State
governments a royalty-free, non-exclusive, irrevocable, paid-up license throughout the world to use,
duplicate, or dispose of such Intellectual Property throughout the world in any manner for
governmental purposes and to have and permit others to do so.
(b) Ownership.
(1) Except where COUNTY has agreed in a signed writing to accept a license, COUNTY
shall be and remain, without additional compensation, the sole owner of any and all rights, title
and interest in all intellectual property, from the moment of creation, whether or not jointly
conceived, that are made, conceived, derived from, or reduced to practice by CONTRACTOR
or COUNTY and which result directly or indirectly from this Agreement.
(2) For the purposes of this Agreement, Intellectual Property means recognized
protectable rights and interest such as: patents, (whether or not issued) copyrights,
trademarks, service marks, applications for any of the foregoing, inventions, trade secrets,
trade dress, logos, insignia, color combinations, slogans, moral rights, right of publicity,
author's rights, contract and licensing rights, works, mask works, industrial design rights, rights
of priority, know how, design flows, methodologies, devices, business processes,
developments, innovations, good will, any data or information maintained, collected or stored in
the ordinary course of business by COUNTY, and all other legal rights protecting intangible
proprietary information as may exist now and/or hereafter come into existence, and all
W1A COST REIMBURSEMENT CONTRACT - REV. 6-2-06
24
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
renewals and extensions, regardless of whether those rights arise under the laws of the United
States, or any other state, country or jurisdiction.
(i) For the purposes of the definition of Intellectual Property, "works" means all
literary works, writings and printed matter including the medium by which they are
recorded or reproduced, photographs, art work, pictorial and graphic representations
and works of a similar nature, film, motion pictures, digital images, animation cells, and
other audiovisual works including positives and negatives thereof, sound recordings,
tapes, educational materials, interactive videos, computer software and any other
materials or products created, produced, conceptualized and fixed in a tangible medium
of expression. It includes preliminary and final products and any materials and
information developed for the purposes of producing those final products. "Works"
does not include articles submitted to peer review or reference journals or independent
research projects.
(3) In the performance of this Agreement, CONTRACTOR may exercise and utilize
certain of its Intellectual Property in existence prior to the effective date of this Agreement. In
addition, under this Agreement, CONTRACTOR may access and utilize certain of COUNTY's
Intellectual Property in existence prior to the effective date of this Agreement. Except as
otherwise set forth herein, CONTRACTOR shall not use any of COUNTY's Intellectual
Property now existing or hereafter existing for any purposes without the prior written
permission of COUNTY. Except as otherwise set forth herein, neither the CONTRACTOR nor
COUNTY shall give any ownership interest in or rights to its Intellectual Property to the other
Party. If, during the term of this Agreement, CONTRACTOR accesses any third-party
Intellectual Property that is licensed to COUNTY, CONTRACTOR agrees to abide by all
license and confidentiality restrictions applicable to COUNTY in the third-party's license
agreement.
(4) CONTRACTOR agrees to cooperate with COUNTY in establishing or maintaining
COUNTY's exclusive rights in the Intellectual Property, and in assuring COUNTY's sole rights
against third parties with respect to the intellectual Property. If the CONTRACTOR enters into
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
25
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
any agreements or subcontracts with other parties in order to perform this Agreement,
CONTRACTOR shall require the terms of the agreement(s) to include all Intellectual Property
provisions of paragraphs thirty-three (33) (a) through thirty-three (i). Such terms must include,
but are not limited to, the subcontractor assigning and agreeing to assign to COUNTY all
rights, title and interest in Intellectual Property made, conceived, derived from, or reduced to
practice by the subcontractor, CONTRACTOR or COUNTY and which result directly or
indirectly from this Agreement or any subcontract.
(5) Pursuant to paragraph thirty-three (b) (4) of the Intellectual Property Provisions of
this Agreement, the requirement for the CONTRACTOR to include all Intellectual Property
Provisions of paragraph thirty three a) through thirty-three i) of the Intellectual Property
Provisions in all agreements and subcontracts it enters into with other parties does not apply
to agreements or subcontracts that are for customized and on-the-job training as authorized
under 20 CFR 663.700-730.
(6) CONTRACTOR further agrees to assist and cooperate with COUNTY in all
reasonable respects, and execute all documents and, subject to reasonable availability, give
testimony and take all further acts reasonably necessary to acquire, transfer, maintain, and
enforce COUNTY's Intellectual Property rights and interests.
(c) Retained Riahts/License Riahts.
(1) Except for Intellectual Property made, conceived, derived from, or reduced to
practice by CONTRACTOR or COUNTY and which result directly or indirectly from this
Agreement, CONTRACTOR shall retain title to all of its Intellectual Property to the extent such
Intellectual Property is in existence prior to the effective date of this Agreement.
CONTRACTOR hereby grants to COUNTY, without additional compensation, a
permanent, non-exclusive, royalty free, paid-up, worldwide, irrevocable, perpetual, non-
terminable license to use, reproduce, manufacture, sell, offer to sell, import, export, modify,
publicly and privately display/perform, distribute, and dispose of CONTRACTOR's Intellectual
Property with the right to sublicense through multiple layers, for any purpose whatsoever, to
the extent it is incorporated in the Intellectual Property resulting from this Agreement, unless
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
26
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
CONTRACTOR assigns all rights, title and interest in the Intellectual Property as set forth
herein.
(2) Nothing in this provision shall restrict, limit, or otherwise prevent CONTRACTOR
from using any ideas, concepts, know-how, methodology or techniques related to its
performance under this Agreement, provided that CONTRACTOR's use does not infringe the
patent, copyright, trademark rights, license or other Intellectual Property rights of COUNTY or
third party, or result in a breach or default of any provisions of paragraphs thirty three (a)
through thirty-three (i) or result in a breach of any provisions of law relating to confidentiality.
(d) CODyriaht.
(1) CONTRACTOR agrees that for purposes of copyright law, all works (as defined in
Ownership, paragraph thirty-three (b) (2) (i) of authorship made by or on behalf of
CONTRACTOR in connection with CONTRACTOR's performance of this Agreement shall be
deemed "works made for hire." CONTRACTOR further agrees that the work of each person
utilized by CONTRACTOR in connection with the performance of this Agreement will be a
"work made for hire," whether that person is an employee of CONTRACTOR or that person has
entered into an agreement with CONTRACTOR to perform the work. CONTRACTOR shall
enter into a written agreement with any such person that (i) all work performed for
CONTRACTOR shall be deemed a "work made for hire" under the Copyright Act and (ii) that
person shall assign all right, title, and interest to COUNTY to any work product made,
conceived, derived from or reduced to practice by CONTRACTOR or COUNTY and which
result directly or indirectly from this Agreement.
(2) All materials, including, but not limited to, computer software, visual works or text,
reproduced or distributed pursuant to this Agreement that include Intellectual Property made,
conceived, derived from, or reduced to practice by CONTRACTOR or COUNTY and which
result directly or indirectly from this Agreement may not be reproduced or disseminated without
prior written permission from COUNTY.
(e) Patent Riahts. With respect to inventions made by CONTRACTOR in the performance of
this Agreement, which did not result from research and development specifically included in the
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
27
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
Agreement's scope of work, CONTRACTOR hereby grants to COUNTY a license as described under
paragraph thirty-three (c) for devices or material incorporating, or made through the use of such
inventions. If such inventions result from research and development work specifically included within
the Agreement's scope of work, then CONTRACTOR agrees to assign to COUNTY, without additional
compensation, all its right, title and interest in and to such inventions and to assist COUNTY in
securing United States and foreign patents with respect thereto.
(f) Third-Partv Intellectual Prooertv. Except as provided herein, CONTRACTOR agrees that its
performance of this Agreement shall not be dependent upon or include any Intellectual Property of
CONTRACTOR or third party without first: (i) obtaining COUNTY's prior written approval; and (ii)
granting to or obtaining for COUNTY's, without additional compensation, a license, as described in
paragraph thirty-three (c), for any of CONTRACTOR's or third-party's Intellectual Property in existence
prior to the effective date of this Agreement. If such a license upon these terms is unattainable, and
COUNTY determines that the Intellectual Property should be included in or is required for
CONTRACTOR's performance of this Agreement, CONTRACTOR shall obtain a license under terms
acceptable to COUNTY.
(g) Warranties.
(1) CONTRACTOR represents and warrants that:
(i) CONTRACTOR has secured and will secure all rights and licenses necessary
for its performance of this Agreement.
(ii) Neither CONTRACTOR's performance of this Agreement, nor the exercise by
either Party of the rights granted in this Agreement, nor any use, reproduction,
manufacture, sale, offer to sell, import, export, modification, public and private
display/performance, distribution, and disposition of the Intellectual Property made,
conceived, derived from, or reduced to practice by CONTRACTOR or COUNTY and
which result directly or indirectly from this Agreement will infringe upon or violate any
Intellectual Property right, non-disclosure obligation, or other proprietary right or interest
of any third-party or entity now existing under the laws of, or hereafter existing or issued
by, any state, the United States, or any foreign country. There are currently no actual
W1A COST REIMBURSEMENT CONTRACT - REV. 6-2-06
28
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
or threatened claims by any such third party based on an alleged violation of any such
right by CONTRACTOR.
(iii) Neither CONTRACTOR's performance nor any part of its performance will
violate the right of privacy of, or constitute a libel or slander against any person or
entity .
(iv) CONTRACTOR has secured and will secure all rights and licenses
necessary for Intellectual Property including, but not limited to, consents, waivers or
releases from all authors of music or performances used, and talent (radio, television
and motion picture talent), owners of any interest in and to real estate, sites locations,
property or props that may be used or shown.
(v) CONTRACTOR has not granted and shall not grant to any person or entity
any right that would or might derogate, encumber, or interfere with any of the rights
granted to COUNTY in this Agreement.
(vi) CONTRACTOR has appropriate systems and controls in place to ensure that
state funds will not be used in the performance of this Agreement for the acquisition,
operation or maintenance of computer software in violation of copyright laws.
(vii) CONTRACTOR has no knowledge of any outstanding claims, licenses or
other charges, liens or encumbrances of any kind or nature whatsoever that could affect
in any way CONTRACTOR's performance of this Agreement.
(2) COUNTY MAKES NO WARRANTY, THAT THE INTELLECTUAL PROPERTY
RESULTING FROM THIS AGREEMENT DOES NOT INFRINGE UPON ANY PATENT,
TRADEMARK, COPYRIGHT OR THE LIKE, NOW EXISTING OR SUBSEQUENTLY ISSUED.
(h) Intellectual Prooerty Indemnity.
(1) CONTRACTOR shall indemnify, defend and hold harmless COUNTY and its
licensees and assignees, and its officers, directors, employees, agents, representatives,
successors, and users of its products, ("Indemnities") from and against all claims, actions,
damages, losses, liabilities (or actions or proceedings with respect to any thereof), whether or
not rightful, arising from any and all actions or claims by any third party or expenses related
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
29
~
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
thereto (including, but not limited to, all legal expenses, court costs, and attorney's fees
incurred in investigating, preparing, serving as a witness in, or defending against, any such
claim action, or proceeding, commenced or threatened) to which any of the Indemnities may be
subject, whether or not CONTRACTOR is a party to any pending or threatened litigation, which
arise out of or are related to (i) the incorrectness or breach of any of the representations,
warranties, covenants or agreements of CONTRACTOR pertaining to Intellectual Property; or
(ii) any Intellectual Property infringement, or any other type of actual or alleged infringement
claim, arising out of COUNTY's use, reproduction, manufacture, sale, offer to sell, distribution,
import, export, modification, pUblic and private performance/display, license, and disposition of
the Intellectual Property made, conceived, derived from, or reduced to practice by
CONTRACTOR or COUNTY and which result directly or indirectly from this Agreement. This
indemnity obligation shall apply irrespective of whether the infringement claim is based on a
patent, trademark or copyright registration that was issued after the effective date of this
Agreement. COUNTY reserves the right to participate in and/or control, at CONTRACTOR's
expense, any such infringement action brought against COUNTY.
(2) Should any Intellectual Property licensed by the CONTRACTOR to COUNTY under
this Agreement become the subject of an Intellectual Property infringement claim
CONTRACTOR will exercise its authority reasonably and in good faith to preserve COUNTY's
right to use the licensed Intellectual Property in accordance with this Agreement at no expense
to COUNTY. COUNTY shall have the right to monitor and appear through its own counsel (at
CONTRACTOR's expense) in any such claim or action. In the defense or settlement of the
claim, CONTRACTOR may obtain the right for COUNTY to continue using the licensed
intellectual Property or, replace or modify the licensed Intellectual Property, so that the
replaced or modified Intellectual Property becomes non-infringing provided that such
replacement or modification is functionally equivalent to the original licensed Intellectual
Property. If such remedies are not reasonably available, COUNTY may be entitled to a refund
of all monies paid under this Agreement, without restriction or limitation of any other rights and
remedies available at law or in equity.
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
30
.. ~
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
(3) CONTRACTOR agrees that damages alone would be inadequate to compensate
COUNTY for breach of any term of these Intellectual Property provisions of paragraphs thirty
three (a) through thirty-three (i) by CONTRACTOR. CONTRACTOR acknowledges COUNTY
would suffer irreparable harm in the event of such breach and agrees COUNTY shall be
entitled to obtain equitable relief, including without limitation an injunction, from a court of
competent jurisdiction, without restriction or limitation of any other rights and remedies
available at law or in equity.
(i) Survival. The provisions set forth herein shall survive any termination or expiration of this
Agreement or any project schedule.
CORPORATE STATUS
34. All corporate CONTRACTORS shall be registered with the California Secretary of State and
shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board,
or Internal Revenue Service. Any change in corporate status or suspension shall be reported by
CONTRACTOR immediately in writing to DIRECTOR.
STANDARDS OF CONDUCT
35. (a) General Assurance. Every reasonable course of action will be taken by CONTRACTOR in
order to maintain the integrity of this expenditure of public funds and to avoid favoritism and questionable
or improper conduct. This Agreement will be administered in an impartial manner, free from efforts to gain
personal, financial or political gain. CONTRACTOR, its officers and employees, in administering this
Agreement, will avoid situations, which give rise to a suggestion that any decision was influenced by
prejudice, bias, special interest or desire for personal gain.
(b) Emplovment of Former State Employees. CONTRACTOR will ensure that any of its
employees who were formerly employed by the State of California, in a position that could have enabled
such individuals to impact policy regarding or implementation of programs covered by this Agreement, will
not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of
not less than two (2) years following the termination of such employment.
W1A COST REIMBURSEMENT CONTRACT - REV. 6-2-06
31
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
..
(c) Conductina Business Involvina Relatives. No relative by blood, adoption or marriage of
any executive or employee of CONTRACTOR will receive favorable treatment when considered for
enrollment in programs provided by, or employment with, CONTRACTOR.
(d) Conductina Business Involvina Close Personal Friends and Associates. Executives and
employees of CONTRACTOR will be particularly aware of the varying degrees of influence that can be
exerted by personal friends and associates and, in administering this Agreement, will exercise due
diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to
friends and associates.
(e) Avoidance of Conflict of Economic Interest. No executive or employee of CONTRACTOR,
elected official in the area, or voting or non-voting member of a WIB, will solicit or accept money or any
other consideration from a third person, for the performance of an act reimbursed in whole or part by
CONTRACTOR or COUNTY. Supplies, materials, equipment or services purchased with Agreement
funds will be used solely for purposes allowed under this Agreement. No voting member of the OCWIB
will cast a vote on the provision of services by that member (or any organization which that member
represents) or vote on any matter which would provide direct financial benefit to that member or any
business or organization which the member directly represents.
SWEA TFREE CODE OF CONDUCT
36. All CONTRACTORs contracting for the procurement or laundering of apparel, garments or
corresponding accessories, or the procurement of equipment, materials, or supplies, other than
procurement related to a public works contract, declare under penalty of perjury that no apparel, garments
or corresponding accessories, equipment, or supplies furnished to the sweatshop labor, forced labor,
convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children
in sweatshop labor. The CONTRACTOR further declares under penalty of perjury that they adhere to the
Sweatfree Code of Conduct as set forth on the California Department of Industrial Relations website
located at www.dir.ca.Qov. and Public Contract Code Section 6108.
The CONTRACTOR agrees to cooperate fully in providing reasonable access to the
CONTRACTOR's records, documents, agents or employees, or premises if reasonably required by
W1A COST REIMBURSEMENT CONTRACT - REV. 6-2-06
32
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
authorized officials of the State or COUNTY, the Department of Industrial Relations, or the Department of
Justice to determine the CONTRACTOR's compliance with the requirements under paragraph a of the
Sweatfree Code of Conduct.
DRUG FREE WORKPLACE
37. CONTRACTOR shall execute and abide by the Drug Free Workplace Certification attached
hereto as Exhibit "E" and incorporated herein by this reference.
DEBARMENT
38. CONTRACTOR shall execute and abide by the Debarment & Suspension Certification
attached hereto as Exhibit "F" and incorporated herein by this reference and by so doing declares that it is
not debarred or suspended or otherwise excluded from or ineligible for participation in Federal/State
assistance programs in accordance with 29 C.F.R. Part 98.
SECTARIAN ACTIVITIES
39. CONTRACTOR certifies that this Agreement does not provide for the advancement or aid to
any religious sect, church or creed, or sectarian purpose nor does it help to support or sustain any school,
college, university, hospital or other institution controlled by any religious creed, church, or sectarian
denomination whatever, as specified by Article XVI, Section 5, of the California Constitution, regarding
separation of church and state.
LITERATURE
40. Any literature distributed by CONTRACTOR for the purpose of apprising businesses,
participants, or the general public of its programs under this Agreement shall state that its programs are
supported by the County of Orange and the Orange County Workforce Investment Board, and shall state
that the program is an "equal opportunity employer/program" and that "auxiliary aids and services are
available upon request to individuals with disabilities."
LOBBYING
41. (a) CONTRACTOR shall execute and abide by the terms of the "Certification Regarding
Lobbying," which is attached hereto as Exhibit "G" and incorporated herein by this reference.
CONTRACTOR shall complete and immediately forward to DIRECTOR the "Disclosure Form to Report
Lobbying," a copy of which is attached hereto as Exhibit "H", incorporated herein by this reference, if
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06 33
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
~
CONTRACTOR, or any person, firm or corporation acting on CONTRACTOR's behalf, engaged or
engages in lobbying any federal officer, employee, elected official or agency with respect to this
Agreement or the funds to be received by CONTRACTOR pursuant to this Agreement.
(b) CONTRACTOR agrees that the funds provided herein shall not be used to promote, directly
or indirectly, any political party, political candidate or political activity, except as permitted by law.
BREACH - SANCTIONS
42. If, through any cause, CONTRACTOR violates any of the terms and conditions of this
Agreement, or any prior Agreements whereby grant funds were received by CONTRACTOR, or if
CONTRACTOR reports inaccurately, or if an audit report makes disallowances, CONTRACTOR shall
promptly remedy its acts or omissions and/or repay COUNTY all amounts due COUNTY as a result
thereof. For any such failures or violations COUNTY shall also have the right, at its sole discretion, to: (1)
immediately discontinue program support until such time as CONTRACTOR fulfills its obligations or
remedies all violations of this Agreement or prior Agreements; and/or (2) collect outstanding amounts, as
determined by DIRECTOR to be due COUNTY from CONTRACTOR, by offsetting or debiting from current
claims or invoices, if after thirty (30) days written notice CONTRACTOR has failed to repay same or a
repayment schedule has not been made; and/or (3) terminate this Agreement in accordance with Section
42 herein. DIRECTOR shall give CONTRACTOR written notice of any action pursuant to this paragraph,
which notice shall be deemed served on the date of mailing.
DISPUTES
43. Except as otherwise provided in this Agreement, any dispute concerning any question arising
after the commencement of this Agreement shall be decided by DIRECTOR. In such a case, DIRECTOR
shall reduce its decision to writing and mail or otherwise furnish a copy thereof to CONTRACTOR. The
decision of DIRECTOR shall be final and conclusive unless within thirty (30) calendar days from the
mailing or delivery of such copy, DIRECTOR receives from CONTRACTOR a written request to appeal
said decision to the COUNTY Board of Supervisors. Pending final decision of the appeal, CONTRACTOR
shall act in accordance with the written decision of DIRECTOR.
TERMINA TION
44. (a) DIRECTOR may terminate this Agreement without penalty immediately with cause
or after thirty (30) days written notice without cause, unless otherwise specified. Notice shall be deemed
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
34
17
18
19
20
21
22
23
24
25
26
1
served on the date of mailing. Cause shall be defined as any breach of contract, any misrepresentation or
2
fraud on the part of the CONTRACTOR. Exercise by DIRECTOR of the right to terminate this Agreement
shall relieve COUNTY of all further obligations under this Agreement.
3
4
(b)
Upon termination, or notice thereof, CONTRACTOR agrees to cooperate with
5
DIRECTOR in the orderly transfer of service responsibilities, active case records, pertinent documents and
all equipment or materials purchased with COUNTY funds.
6
TOTAL AGREEMENT
7
45. This Agreement, together with the attachments hereto, expresses the total understanding of
8
the parties. There are no oral understandings of the parties or terms and conditions other than as are
9
stated herein. CONTRACTOR acknowledges that it has read and agrees to all terms and conditions
included in this Agreement.
10
11
CHILD SUPPORT ENFORCEMENT
12
46. In order to comply with child support enforcement requirements of the County of Orange,
CONTRACTOR shall execute and abide by the "Child Support Enforcement Provision" (for profit only
providers) attached hereto as Exhibit "I" and incorporated herein by this reference within thirty (30) days of
13
14
15
award of contract.
16
Failure of CONTRACTOR to timely submit the data and/or certifications required above or to
comply with all federal and state reporting requirements for child support enforcement or to comply with all
lawfully served Wage and Earnings Assignment Orders and Notices of Assignment shall constitute a
material breach of this Agreement. Failure to cure such breach within sixty (60) days of notice from
COUNTY shall constitute grounds for termination of this Agreement.
EDD INDEPENDENT CONTRACTOR REPORTING REQUIREMENTS
47. CONTRACTOR shall execute and abide by the "EDD Independent Contractor Reporting
Requirements Certification" attached hereto as Exhibit "J" and incorporated herein by this reference.
NOTICES
48. All notices, reports and correspondence between the parties hereto respecting this
Agreement shall be in writing and deposited in the United States Mail, postage
prepaid, addressed as follows:
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
35
20
21
22
23
24
25
26
1
2
COUNTY: Housing and Community Services Department
Special Programs Division
1300 South Grand Avenue
Building "B"
Santa Ana, California 92705
3
4
and
5
CONTRACTOR: City of Santa Ana Workforce Investment Board
1000 East Santa Ana Blvd., Suite 200
Santa Ana, CA 92701
6
7
GOVERNING LAW AND VENUE
8
49. This Agreement has been negotiated and executed in the state of California and shall be
9
governed by and construed under the laws of the state of California. In the event of any legal action to
10
enforce or interpret this Agreement, the sole and exclusive venue shall be a court of competent jurisdiction
11
located in Orange County, California, and the parties hereto agree to and do hereby submit to the
12
jurisdiction of such court, notwithstanding Code of Civil Procedure Section 394. Furthermore, the parties
13
specifically agree to waive any and all rights to request that an action be transferred for trial to another
County.
14
WAIVER
15
16
50. 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
17
any such right or power or be construed to be a waiver thereof. A waiver by either of the parties hereto of
18
any of the covenants, conditions, or agreements to be performed by the other shall not be construed to be
19
a waiver of any succeeding breach thereof or of any other covenant, condition or agreement herein
contained.
PUBLICITY
51. Information and solicitations, prepared and released by CONTRACTOR, concerning the
services provided under this Agreement, shall state that the program, wholly or in part, is funded through
COUNTY, State and Federal government funds.
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
36
..
1 CALENDAR DAYS
2 52. Any reference to the word "day" or "days" herein shall mean calendar day or calendar days,
3 respectively, unless otherwise expressly provided.
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
37
IN WITNESS WHEREOF, the parties h 0 certify that they haye read and understand all the
terms and conditions contained herein and duly authorized and caused this Agreement to be
executed as of the date stated below written.
"CONTRACTOR"*
* SEE ,4 -rrPrc4+-LD
Dated:
By:
Title:
Dated:
By:
Title:
*[Authorized signatures for corporations. Requirement of two signatures as follows: (1) One signature by the
Chairman of the Board, the President or any Vice President, and (2) one signature by the Secretary, any Assistant
Secretary, the Chief Financial Officer or an Assistant Treasurer. For contractors that are not corporations, a person
who has the authority to bind the contractor to a contract.]
Dated:
ltCl Lo~
I {
"COUNTY OF ORANGE a political subdiyision of the
State of California"
By:
rP~ o/4l
Chair, Orange County
Board of Supervisors
APPROVED AS TO FORM:
County Counsel
Dated:
";- ~- . C-'
/r-
',..~ .-/
By:
c---. c--'
L-~ "::::-::"
Deputy
~
~
Dated:
7 L I <Zb(00
(
SIGNED AND CERTIFIED THAT A COPY OF THIS
AGREEMENT HAS BEEN DELIVERED TO THE
CHAIRMAN OF THE BOARD
By: A.rtnlNl ~ (),
ll:e~J'~loom' 1 J
Clerk of the Board of Supervisors
Orange County, California
WIA COST REIMBURSEMENT CONTRACT - REV. 6-2-06
38
IN WITNESS WHEREOF, the parties hereto have executed this WIA Cost Reimbursement
Agreement the date and year first above written.
ATTEST:
"CONTRACTOR"
CITY OF SANTA ANA
Patricia E. Healy
Clerk of the Council
{2~a~
David N. Ream
City Manager
APPROVED AS TO FORM:
Joseph W. Fletcher
City Attorney
RECOMMENDED FOR APPROVAL:
~'L- i'. ,~
By: Lisa E. Storck
Assistant City Attorney
Exhibit A
S1-V-07
GENERAL PROGRAM REQUIREMENTS
RECENTLY SEPARATED VETERANS GRANT
Contractor: City of Santa Ana/Santa Ana Workforce Inyestment Board
1. Project Summary:
A. These General Program Requirements haye been designed to provide the framework
wherein the One-Stop Center(s) will proYide or will coordinate the provision of services
for the Orange County One-Stop System.
B. Contractor agrees to comply, remain informed, and deliver services consistent with the
proYisions of WIA, Orange County Workforce Inyestment Board (OCWIB) Policy,
Orange County Workforce Inyestment Area's Strategic Five-Year Plan, the California
Education Code, the Rehabilitation Act, negotiated Memoranda of Understanding, Title
V of the Older Americans Act, federal and state governance documents and/or any
other appropriate statutes or requirements, related to the services proYided in this
Agreement.
C. Where local policy has not been set, Contractor agrees to adhere to state or federal
policy, as appropriate.
D. Goyernance References
1. Workforce Inyestment Act
a. Workforce Inyestment Act of 1998
b. Department of Labor, Employment and Training Administration, 20 CFR Part
652 et al. - Workforce Inyestment Act; Final Rules The Regulations define
the One-Stop Delivery System as:
A system under which entities responsible for administering
separate workforce inyestment, educational and other human
resource programs and funding streams (referred to as One-
Stop partners) collaborate to create a seamless system of
service deliyery that will enhance access to the programs'
services and improye long-term employment outcomes for
indiyiduals receiying assistance.
(20 CFR, PART652,1662.100)
c. Information Bulletins, Directiyes and any other federal and state guidance
documents pertaining to the WIA
d. Actions, directiyes, and policy and procedures issued by the Orange County
Workforce Inyestment Board or staff releyant to this contract, specifically MIS
Policies and Procedures, Monitoring Guide Policy and Procedure, Audit
Requirements Policy and Procedure and Selectiye Service Policy and
Procedure.
Page 1
Exhibit A
S1-V-07
2. Orange County One-Stop System
Contractor agrees to partner and to proYide access to services proYided by the mandated
WIA One Stop Partners as described in the Act as well as any additional partners identified
by the OCWIB or the Orange County Board of Supervisors.
3. One-Stop Principles
Contractor agrees to integrate to the fullest extent possible, the following principles into the
deliyery of services:
A. Streamline services through an integration of multiple programs, including Wagner-
Peyser and WIA, at the service leyel through One-Stop service centers;
B. Empower individuals with information and resources they need to manage their own
careers;
C. Employer Services that recognize business as a customer as well as a source for jobs
leading to meaningful employment.
D. Universal access for all job seekers to a core set of career decision-making and job
search tools;
E. Increase accountability of the deliyery system to achieye improyed results regarding
skill gains, credentials earned, job placement rates, earnings and retention in
employment;
F. State and local flexibility to ensure that deliyery systems are responsiye to the needs
of indiYidual communities; and
G. Strong role for local boards and the private sector to impact the design and operation
of deliyery systems.
Page 2
Exhibit B
S1-V-07
Statement of Work
Recently Separated Veterans Grant
City of Santa Ana Workforce Investment Board
I. COORDINATION
A. Service Delivery: To comply with the requirements of this Agreement, Contractor must
effectiyely and efficiently deliyer yarious workforce deyelopment services to recently
separated Veterans that haye been discharged from the armed forces within the last four
years. In order to accomplish this, Contractor shall maintain and continue to improve the
current system of service deliyery by clearly demonstrating positive outcomes. The
Contractor shall proYide excellent customer service and extensive customer choice, quality
case management, effectiye job placement and follow-up services to ensure the long-term
success of the Veterans served in this program.
Many recently-separated Veterans experience difficulties in obtaining employment at a
sustainable wage. They often haye to take jobs in which they are underemployed and that
haye a minimal prospect for career adyancement. Part of this is due to the inability of
Veterans to identify the transferable skills they learned through their recent experience in
the military in a way that prospectiYe employers would understand. Another contributing
factor is the fact that Veterans often haye little to no experience in knowing how to find a job
in the business sector. Since they haye been employed by the military for a number of
years, they often do not haye any type of resume nor do they know how to create one.
Services are needed to help Veterans "translate" their military skills into business language,
learn job seeking skills, practice interviewing skills and adjust their yerbal and written
communication skills to the priyate sector.
B. WIA is not an Entitlement Program: Selection for a customer's participation in the
program is a decision that is based on an assessment of the Veteran's needs, interests,
abilities, motiyation, their prospects for successfully completing the program, ayailable
funding leyels and the priority of service policy.
II. SERVICE GUIDELINES
A. Target Population: The purpose of this Agreement is to deliyer employment and training
related services to recently separated Veterans that haye been discharged from the armed
forces within the past four years.
These Veterans will range in age from 22 to 50 years old, many of them will represent the
ethnic diversity of Orange County, and will have yarying leyels of education and
occupational skills. PreYious occupations held by these Veterans will range from being
unemployed to fast food worker to doctors and lawyers. Many recently separated Veterans
will be looking for work either because they had to close their small business to serve their
country, quit their job before deploying for Iraq or Afghanistan, or are returning to their old
jobs with a new set of skills and a different career focus from their military experiences.
It is anticipated that recently separated Veterans entering this program will haye a variety of
barriers to employment. This might include unfamiliarity with the job-seeking system, lack of
education, physical health issues, adverse criminal justice system inyolvement and
Page 1 of 11
Exhibit B
S1-V-07
homelessness that preyents them from successfully obtaining productiye employment.
Many recently separated Veterans may also haye alcohol and substance abuse issues that
need to be addressed prior to employment. Likewise, the Veteran may haye behavioral
issues such as anger, depression, anxiety, low self esteem, and post traumatic stress
disorder (PTSD).
B. Collaborative Partner Services: The Contractor shall facilitate working relationships and
manage collaboratiye partnerships with other agencies that will enhance the delivery of
services to Veterans. Throughout the Orange County One-Stop System, partner agencies
proYide yarious services to customers including, but not limited to, access to housing,
transportation, child care, and community resources such as food, emergency funds,
utilities and clothing. These needed services will be proyided by Community Based
Organizations, Faith Based Organizations, and Goyernmental Agencies located throughout
the County. The program will rely on the actiye collaboration of these public and non profit
organizations to augment the training and educational components that will provide the
foundation for the Veteran's re-entry into the workforce. These collaborations will maximize
the effectiyeness of the program in assisting recently separated Veterans.
c. Continuous Quality Improvement: The Orange County One-Stop System's goal is to
work towards making consistent and continuous improvement in all aspects of service
deliyery, thereby haYing a positiye effect on System performance. Improyement will be
facilitated by the Contractor through a constant review of policies and procedures, an
increased sensitiyity to the needs of customers, an improyement in the leyel of knowledge
of partner services, the identification and fulfillment of training needs, and through the
identification and implementation of best practices.
III. SERVICES
Services to be Provided to Recently Separated Veterans:
Contractor shall proYide the services described to those who can benefit from and who are
in most need of such services, as appropriate, and within funding/eligibility guidelines.
Specialized workforce development services will be designed to meet the unique needs of
the recently-separated Veteran population. Services can be broken down into three basic
categories:
A. PHASE 1: RECRUITMENT PHASE ACTIVITIES
1) Contractor will conduct group informational orientation sessions to Veterans at the
Santa Ana W/O/R/K Center. These Group Informational Orientation Sessions will
identify services ayailable on-site and through the One-Stop System and will assist
the Veteran to independently learn job search skills.
2) Contractor, along with Coast Community College District, the Workforce
Inyestment Board of the City of Anaheim, and the local Veterans employment
representatiyes, will deyelop joint brochures to be used for marketing and outreach
efforts.
Page 2 of 11
Exhibit 8
S1-V-07
3) Contractor along with Coast Community College District and the Workforce
Investment Board of the City of Anaheim, will conduct a. minimum of two Veterans'
Job Fairs during the project. Contractor will effectiyely maximize the press
opportunities offered around Veteran's Day. The fairs will proYide health
screenings and referrals, job and education assistance to Veterans, as well as
Veterans' claim information and details concerning other federal, state and local
social services to which they may be entitled.
4) Contractor will conduct outreach to the Veterans Administration, Veterans Hospital,
other Veteran's community groups, and the County of Orange Veterans Services
Office.
5) Contractor will aggressiYely target homeless shelters and transitional living sites to
provide program information.
6) Contractor will use deyeloped material to promote this project with local employers
and businesses to generate additional support in hiring Veterans.
7 Contractor will insure that all outreach and recruitment materials shall include a
statement that indicates funding through the County of Orange/Orange County
Workforce Inyestment Board.
8) Contractor will insure that all outreach and recruitment materials must be approved
by the Orange County Workforce Inyestment Board staff prior to publication. Refer
to OCWIB Policy and Procedure #010CWDA-41 for specific information regarding
accessibility to include on all printed materials.
B. PHASE 2: READINESS PHASE OBJECTIVES
1) Initial Assessment: Contractor will conduct an Initial Assessment of the recently-
separated Veterans using established, standardized procedures as an effectiye
starting point for service delivery. This will include an objectiYe assessment of the
Veteran's academic background, employment skills, barriers to employment and
any needed supportiye services. The depth of the assessment may vary depending
on the needs, and the nature of personal and employment barriers of the customer.
2) Motivational Career Transition Workshops: Following eligibility determination
and basic assessment, Contractor will refer recently separated Veterans to Coast
Community College District (CCCD) for participation in a 20-hour workshop
coyering all aspects of job search preparation. The workshop will coyer conducting
a jOb search, resume writing, interview skills, information about high wage, high
demand careers, presenting military experiences to business, dealing with stress
and financial literacy. CCCD will conduct these Workshops monthly and will rotate
their location throughout the four Orange County One-Stop Centers for easier
participant access.
3) Individualized Employment Plan (IEP): Following completion of the Initial
Assessment and Motiyational Career Transition Workshops, Case Manager and
Veteran, will develop an Indiyidualized Employment Plan (IEP). The IEP will
Page 3 of 11
Exhibit B
S1-V-07
address basic needs (housing, transportation, food, clothing, behayioral
health/substance abuse counseling), motiyation issues, work history, previous
education/training, income requirements, barriers to employment, and needed
supportive services.
As the needs of the Veteran change, the IEP shall be modified to reflect these
changes. Since the approach to case management is to proYide individualized
attention, the Veteran's changing needs shall be identified quickly and a revised
action plan developed to meet those needs. These changes shall also be reflected
in the MIS paperwork as well as in the counseling notes. Post-employment
services shall be documented on the IEP, including job retention strategies and
other needed follow-up services.
4) Comprehensive Case Management: The Contractor shall proYide integrated case
management services to all Veterans enrolled in the program. Case management
is considered a key component of service deliyery and critical to the ultimate
success of the Veteran. Case management is designed to ensure that all of the
needs of the Veteran are met and that information is collected and reported. If a
Veteran is enrolled in more than one funding stream, it is critical that differentiated
services proYided for each program are documented and justified.
a) Case Managers shall contact Veterans at least one time per month, and an
actual service must be provided and documented in the customer file. Services
are outlined on the JTA MIS Enrollment Form and include, but are not limited to:
staff-assisted job development, case management for participants, and short-
term pre-yocational services.
b) Case Managers shall be responsible for tracking the customer's progress,
assisting the customer in identifying and oyercoming any barriers, proYiding
career and motiyational counseling, acting as an advocate on behalf of the
customer, and referring the customer to other resources that can meet the
needs that are identified in the IEP.
c) Case Managers will assist the Veteran in improving job seeking skills such as
interviewing skills, utilizing job search engines, and communicating effectiyely
with potential employers.
d) Case Managers shall use the information collected on the customer to submit
MIS paperwork for input into the JT A system This information shall be
submitted in a timely manner as outlined in already established policies and
procedures of the OCWIB. (Information Notice No. 04-0CWDA-10 reYised and
subsequent updates).
e) Case Managers shall monitor all program offerings and ultimately performance
outcomes.
f) Case Managers shall be responsible for assisting the customer in obtaining and
retaining employment.
Page 4 of 11
Exhibit B
S1-V-07
5) Contractor will provide specialized job readiness workshops such as: Resume
Creation and Critique, Interviewing Techniques, Job Search Techniques, Dressing
for Success, and Workplace Etiquette.
6) Through the One-Stop Centers, Contractor will provide access to electronic job
search tools, self-help references and labor market information. This information
will be used to direct Veterans into high wage, high growth careers relevant to their
surrounding job market so that training dollars are used in the most effectiye
manner.
7) Supportive Services Coordination: Contractor will identify and provide
supportive services and/or referrals as appropriate. Supportiye services shall
include, but are not limited to transportation, clothing, childcare and other costs that
may be a barrier to an indiYidual's jOb search, training or placement. SupportiYe
services shall only be issued after a need has been identified and when no other
funding is ayailable to pay for such services. The Contractor is responsible for
managing the proyision of supportiye services in as cost efficient manner as
possible to ensure fair distribution and non-duplication of resources and services.
8) Disability Program Navigator: Contractor will send appropriate Veterans to the
One-Stop Disability Program NaYigator (DPN). The DPN proYides the Orange
County region with the necessary tools to begin to effectively respond to the needs
of people with disabilities. Operating out of the Orange County One-Stop Center,
the DPN facilitates access to programs and services that support the efforts of
indiYiduals with disabilities seeking employment. These services and supports
help disabled individuals achieye financial independence and self-sufficiency
through employment.
9) Training: Contractor will be responsible for referring each Veteran to the most
appropriate training actiYity for that indiYidual as determined from the assessment
and the documented statements in the IEP. It is estimated that 36% of the
Veterans enrolled in this program will benefit from training. Various options for
training will be explored so an informed choice can be made that will ultimately lead
toward attainment of a diploma or credential, job placement and successful job
retention.
Contractor will, as appropriate, co-enroll the Veteran in relevant WIA training
actiYities. The categories below list the training services that shall be made
ayailable to individuals showing an assessed need.
a) Occupational skills training is offered through Individualized Training
Accounts (ITA). ITAs permit a wide range of choices to customers and are
locally monitored to offer training in only demand occupations.
An ITA will be issued only after being approyed by the Santa Ana Workforce
Inyestment Board. The training yendor is responsible for proYiding this training
and ensuring that the customer develops the needed competencies to be
employed in the specific field. All other needs of the customers are met through
the One-Stop Case Manager. It is critical that the customers receive whateyer
counseling, supportive services or other assistance they might need in order to
Page 5 of 11
Exhibit B
S1-V-07
haye successful completion of training, followed by successful placement into
unsubsidized employment and retention. Contractor shall monitor customer
time and attendance in all training actiyities.
b) On-the-Job Training (OJT) contracts may be developed under this agreement
with an employer in the public, priyate non-profit, or priyate-for-profit sector.
Through the OJT contract, occupational training will be proyided to WIA
participants in exchange for reimbursement of up to 50 percent of the wage rate
to compensate for the employer's extraordinary costs. Contractor shall
reimburse employer for services proYided under the on-the-job training contract
directly from their program budget. If funds haye not been allocated to this line
item, a budget modification may be requested to moye funds to coyer
reimbursement costs to the training proYider.
i. Contractor shall not contract with an employer who has preYiously exhibited
a pattern of failing to proYide OJT partiCipants with continued long-term
employment with wages, benefits, and working conditions that are equal to
those proYided to regular employees who haye worked a similar length of
time and are doing the same type of work.
ii. The OJT boiler plate document to be used for training shall be approved by
the Santa Ana Workforce Inyestment Board prior to its first use.
c) Contractor will also proYide, either in-house, or through referral, classroom
training, remedial education, adult education, ROP, literacy and bilingual
training, and institutional skills training.
d) Contractor shall seek other non-WIA funded training, whenever possible, and
shall use Pell Grants to offset WIA funds where applicable.
c. PHASE 3: EMPLOYMENT RE-ENTRY PHASE
1) Contractor will work with recently-separated Veteran customers to ensure their
resume is updated with information about recently-acquired training and
employment experience.
2) Contractor will work with Veterans to prepare them to interview successfully and
to follow-up with the Veteran after the interview to proYide feedback on how to
strengthen verbal responses to interview questions.
3) Contractor will proYide job deyelopment services to assist the Veterans in
obtaining meaningful, gainful employment that allows the participant to attain
financial independence and successful integration into the community.
Contractor will work with area businesses to identify employment opportunities
for Veterans in particular companies that target the recruitment of Veterans and
are supportiye of their continued actiye reserve duty.
4) After job placement, the Contractor shall assist the Veteran and their respectiye
employers with job retention. Contractor shall proYide follow-up actiYities a
minimum of one time per month and document any service proYided in the case
Page 6 of 11
Exhibit B
S1-V-07
notes of the client file. Follow up services will be proYided for one year
following placement in unsubsidized employment.
The purpose of these follow-up services and actiYities is to ensure that
Veterans who have exited oyercome any problems that may arise during this
critical period, and to ensure further progress toward long-term employment and
self-sufficiency. These services are pivotal to the employment success for
customers and the attainment of the desired performance standards.
Performance standards shall be defined in Exhibit C of this Agreement.
5) During the retention period, the Contractor must ensure that the Veteran
remains employed and if they lose their job during this time, shall immediately
work with the Veteran so they can secure new employment. Contractor shall
proYide one-on-one counseling during follow-up contacts that will focus on
identifying and eliminating any barriers that may be preyenting a customer from
successfully retaining a job, and encourage the Veteran to attend workshops
related to specific methods for retaining employment, enhancing skills and
fostering self-sufficiency.
6) After Exit, contact must be made to determine a client's employment and
educational skills. The indiyidual's MIS records shall be completed at 30 days,
60 days, and the first, second, and third quarter of the year after the client exits
from the program. Contractor shall follow all written policies and procedures
pertaining to MIS submission of paperwork - 04-0CWDA-10, OCWDA-66, and
OCWDA 03-08.
7) Contractor shall document in the customer's file employment in the first, second
and third quarters of the year after exiting through one of the following data
bases: UI wage records, WRIS, supplemental data sources as defined in TEGL
7-99 or through the State of California's Management Information System.
8) Contractor, along with Coast Community College District, the Workforce
Inyestment Board of the City of Anaheim, the Orange County Board of
Supervisors and yarious chambers of commerce, will conduct a campaign to
encourage and support the hiring of Veterans in the industry clusters identified
as high-growth and high-demand.
IV. SERVICE STANDARDS
A. Caseloads: Contractor will proYide a .50 FTE Workforce Specialist who will
maintain a caseload of 25 Veterans. This Specialist will haye expertise in working
with the Veteran population.
B. Hours of Operation: One-Stop Centers will be open from 8:00 am to 5:00 pm
Monday through Friday.
Page 7 of 11
Exhibit B
S1-V-07
C. File Maintenance and Documentation: A case file shall be maintained for eyery
enrolled Veteran. At a minimum, the case file will include information and
documentation of each of the following:
1. Program eligibility/determination of need;
2. WIA MIS forms, including source documents for yalidation;
3. Initial and ComprehensiYe Assessments;
4. IEP, including all updates of services proyided and completed;
5. Approyed ITA youcher, if applicable;
6. Progress reports, time and attendance if receiYing WIA and non-WIA funded
training (including short-term pre-yocational training);
7. Counseling notes printed from the computer.
E. Confidentiality: Contractor agrees to the following:
1. That all applications and individual records related to services proyided under
this Agreement, including eligibility for services, enrollment, and referral shall be
confidential and shall not be open to examination for any purpose not directly
connected with the delivery of such services. That the sharing of indiyidual and
client information necessary for proYision of services under this Agreement; Le.:
assessment; uniyersal intake; program or training referral; job development,
placement or follow-up actiYities; and other services as needed for employment
or program support purposes, constitutes a yalid use of such information.
2. That files are kept in a secure location on site and should not be removed for
any reason unless OCWIB Contract Administrator is notified of removal.
3. That no person or employee shall otherwise publish or disclose, use, or permit,
cause to be published, disclosed or used, any confidential information
pertaining to One-Stop System applicants, participants, or customers oyerall.
4. To abide by the current confidentiality proYisions of respectiYe statutes and
share information necessary for the administration of programs operated
through the One-Stop System.
v. PERFORMANCE
A. Performance Measures: The Workforce Inyestment Act requires a comprehensive
accountability system to determine the effectiyeness of services proYided. The
Contractor agrees to meet or exceed required federal, state and local standards,
measurements and outcomes of all funding streams included in this agreement. At
a minimum, Contractor shall meet all performance measures outlined in Exhibit C.
Contractor's performance statistics shall be evaluated monthly and are expected to
meet or exceed the performance targets on a quarterly basis.
1. Performance on new participant enrollments will be assessed by comparing the
Contractor's planned versus actual year to date cumulatjye new numbers.
2. Performance on soft exits will be evaluated quarterly.
3. Performance on required follow-up will be measured on a quarterly basis.
4. Performance on the mandated measures will be evaluated quarterly.
5. Refer to OCWIB policy and procedure #04-0CWDA-10 - MIS/JTA Procedures
for Data Entry, Reporting and Timelines for WIA Programs.
Page 8 of 11
Exhibit B
S1-V-07
6. Failure to submit timely information may result in penalties such as de-
obligation of funds or reyocation of the agreement with the County of Orange.
B. Customer Satisfaction: Contractor shall demonstrate that they are a customer
driven organization by incorporating the following elements into their organization:
1. Systematically listening to customers and acting quickly on what they say;
2. Building positive relationships with its customers through focusing on
accessibility and management of complaints;
3. Paying attention to customers who are not satisfied and work to understand
their preferences and meet their demands.
C. Surveys: Partner agrees to conduct customer satisfaction surveys by:
1. Using a consistent implementation method or survey instrument as defined or
established by the Anaheim Workforce Inyestment Board, the Santa Ana
Workforce Inyestment Board, and Coast Community College District.
2. Submitting results in the appropriate format to the OCWIS administratiye office;
3. ReYiewing surveys within 10 days of receipt;
4. Answering surveys with a formal response if correctiye action is necessary and
submitting a copy of the survey and response to the OCWIS administratiye
office; and
5. Keeping the identity of survey respondent confidential.
D. Internal Monitoring: Contractor is responsible for on-going internal monitoring of
the Veterans program funded under this Agreement to ensure compliance with
legislation, regulations, bulletins and directiyes. Internal monitoring procedures
must be in writing. Results of internal monitoring must be in writing and must be
ayailable to OCWIS staff, upon request. Internal monitoring will include, but is not
limited to the following:
1. ReYiew of all files to determine that eligibility criteria haye been met.
2. Random file reYiew for IEP updates, case note documentation, attendance
yerification, placement verification, supportiye service documentation and
deliyery, and post placement follow-up.
3. Verification of customer's attendance, performance and employment
information.
4. Contractor will address any problems or issues that surface during an internal
monitoring quickly and appropriately.
E. Corrective Action Plans: Performing at or below the contract level on a quarterly
basis on any indiYidual performance measure will be subject to the following
correctiye action:
1. Intensiye technical assistance and thorough assessment of the causes of the
low performance;
2. Deyelopment and implementation of appropriate Correctiye Action Plan(s) to
raise performance; and
3. Close monitoring of subsequent performance to assess the impact of the
Corrective Action Plan(s).
4. Contractor's performance trends and Correctiye Action Plans will be critical to
decisions regarding contract renewal. Failure to achieye the goals set forth in
the correctiye action plan may result in penalties such as de-obligation of funds
Page 9 of 11
Exhibit 8
S1-V-07
or reyocation of the agreement with County of Orange. All Correctiye Action
Plans will include a date for responding to observations, questions, concerns
and findings.
F. Common Measures: Contractor shall implement the Common Measures as
defined in TEGL 17-05 as information becomes ayailable from the state of
California.
G. Compliance: All funds are subject to their related State and Federal statutory and
regulatory requirements. These requirements are detailed in goyerning documents
that include, but are not limited to, the WIA and its associated federal regulations,
including Title 29 of the Code of Federal Regulations, State and Federal WIA
directiyes, and OMB Circulars.
VI. DELlVERABLES
Limited funding and limited fund life requires that expenditures and customer
information be reported in a timely and accurate manner, so that inefficiencies can be
identified, and unanticipated fund balances can be determined and reallocated to the
best possible use. Contractor shall submit monthly reports of expenditure data.
Performance data, including expenditures, will be reviewed monthly and beginning
with second quarter data, will be used for making comparisons, assessing
performance and reallocating funds.
A. MIS Submission/Reporting: Contractor shall adhere to MIS procedures for data
entry, timelines and reporting requirements (Information Notice No. 04-0CWDA-10
reyised and subsequent updates) including the completion of appropriate forms
and information related to program performance as required. Contractor shall
submit timely MIS paperwork to the Administratiye Offices of OCWIB for input into
the JTA system. MIS paperwork and accompanying Transmittal Forms shall be
submitted within the specific time periods outlined in the MIS reporting and
timelines policy. All JTA forms must be typed and complete using the most current
template forms or they shall be returned to Contractor. No faxed or emailed
paperwork will be accepted. Mandatory review and approyal is required on all
paperwork submitted to the OCWIB. The One-Stop Manager or designee shall
initial all transmittal forms submitted to MIS for input into the JT A system. The
approyal signifies that the documents haye been reYiewed and are completed
correctly.
1. All updates and corrections must be clearly identified.
2. All forms will be returned to the Manager or designee. All returned forms
requiring corrections/updates must be resubmitted along with original
transmittal within five (5) business days of receipt
B. WIA Base Wage Report: Contractor shall proYide supplemental data for "exiters"
not found in the UI Base Wa~e File. Contractor shall be responsible for submitting
all supplemental data (1 st, 2n , and 3rd quarters) within seyen (7) business days of
the report being mailed to Contractor, when appropriate supplemental data is
required. Contractor shall be responsible for analyzing MIS reports to verify data
and contract performance compliance.
Page 1 0 of 11
Exhibit B
S1-V-07
C. Invoices: Monthly invoices are due to the County of Orange - Housing and
Community Services Department/Community Investment DiYision by the twentieth
day following the month being reported.
D. In-Kind Contribution: Contractor will track in-kind and/or cash match on a monthly
basis. The amount of this contribution is indicated on Exhibit D.
E. Evaluation: WIA Sections 134 and 136 (e) proYide for the ongoing eyaluation of
workforce inyestment actiyities. Evaluation of Statewide activities allows the State
to determine the effectiyeness of the Goyernor's 15 Percent funds in addressing
the identified statewide needs. As a result, the State may pursue a statewide
eyaluation of the projects awarded. In the eyent that a statewide evaluation is
implemented, the Contractor will be required to participate in that eyaluation by
proYiding requested data and information.
Page 11 of 11
Exhibit C
S1-V-07
WIA PERFORMANCE
Recently Separated Veterans Grant
PY 2006-07
1. Return on Investment Matrix
Part 1 - Participant Information.
A. Total planned enrollments: 25
8 Total planned entered employments: 20
C. Total planned retained employments: 17
D. Total planned trainees: 9
Part 2- Cost Information.
(A) (8) (C)
Costs calculated using Costs calculated using
only amount requested all resources available to
in this orooosal the oroiect
A. Cost per participant $4,000 $4,970
8. Cost per entered employment $5,555 $6,902
C. Cost per retained employment $6,790 $8,424
D. Cost per trainee $11,111 $13,805
Performance Goals
Planned
Adult
Goals
A. Entered Employment Rate
8. Retention Rate
C. Earnings Change
D. Earnings Replacement Rate
E. Credential/Diploma Rate
F. Skill Attainment Rate
74%
80%
Planned
Dislocated
Worker
Goals
82%
Planned
Older
Youth
Goals
Planned
Younger Youth
Goals
Exhibit C
S1-V-07
WIA ADULT PARTICIPANT PLAN
Adult IZJ
Dislocated Worker D
Cumulative ParticiDants .
MonthN ear 3/06 4/06 5/06 6/06 7/06 8/06
1 Total Participants Registered 0 0 0 0 1 2
2. Proaram Services .
a. Core Services/Intensive Services 0 0 0 0 1 2
b. Training Services 0 0 0 0 0 1
c. Follow-up Services after
Placement
d. Follow-up Services after Exit 0 0 0 0 0 0
3. Exit Status ;
a. Total Participants Exiting WIA 0 . 0 ...
(1) Unsubsidized Employment 0 0
(a) Training Related 0 0 ".
(2) Employability Enhancement N/A N/A
Exits
(3) Exited for Other Reasons 0 0
Cumulative ParticiDants
MonthNear 9/06 10/06 11/06 12/06 1107 2/07
1 Total Participants Registered 3 4 5 6 6 6
2. Proaram Services ..
a. Core Services/lntensive Services 3 4 5 6 6 6
b. Training Services 1 2 2 3 3 3
c. Follow-up Services after
Placement
d. Follow-up Services after Exit 0 0 0 0 0 0
3. Exit Status
a. Total Participants Exiting WIA 0 0
(1) Unsubsidized Employment 0 0
(a) Training Related 0 0
(2) Employability Enhancement N/A N/A
Exits
(3) Exited for Other Reasons 0 0
2
Exhibit C
S1-V-07
WIA ADULT PARTICIPANT PLAN
Adult C8J
Dislocated Worker D
Cumulative Participants
MonthlYear 3/07 4/07 5/07 6/07 7/07 8/07
1 Total Participants Registered 6 6 6 6 6 6
2. Pre>gram Services
a. Core Services/Intensive Services 6 6 6 6 6 6
b. Training Services 3 3 3 3 3 3
c. Follow-up Services after
Placement
d. Follow-up Services after Exit 2 2 2 4 4 4
3. Exit Status ' , , ,
a. Total Participants Exiting WIA 2 , 4 i'
(1) Unsubsidized Employment 2 " , " 3
(a) Training Related 1 2 "
(2) Employability Enhancement N/A N/A I
Exits
(3) Exited for Other Reasons 0 1
Cumulative Participants
MonthlYear 9/07 10/07 11/07 12/07 1/08 3/08
1 Total Participants Registered 6 6 6 6 6 6
2. Program Services
a. Core Services/lntensive Services 6 6 6 6 6 6
b. Training Services 3 3 3 3 3 3
c. Follow-up Services after
Placement
d. Follow-up Services after Exit 6 6 6 6 6 6
3. Exit Status
a. Total Participants Exiting WIA 6 6 6
(1) Unsubsidized Employment 5 5 5
(a) Training Related 2 2 2
(2) Employability Enhancement
Exits
(3) Exited for Other Reasons 1 1 1
3
Exhibit C
S1-V-07
WIA ADULT PARTICIPANT PLAN
Adult 0
Dislocated Worker IZI
CumulativeParticiDants'
MonthlYear 3/06 4/06 5/06 6/06 7/06 8/06
1 Total Participants Registered 0 0 0 0 1 2
2; Proaram Services
e. Core Servicesllntensive Services 0 0 0 0 1 2
f. Training Services 0 0 0 0 0 1
g. Follow-up Services after
Placement
h. Follow-up Services after Exit 0 0 0 0 0 0
3. Exit Status, ' .
a. Total Participants Exiting WIA 0 0 ... ...
(1) Unsubsidized Employment 0 0 ...
..
(a) Training Related 0 0 .
..
(2) Employability Enhancement N/A N/A .
Exits
(3) Exited for Other Reasons 0 0
Cumulative Particioants
MonthlY ear 9/06 10/06 11/06 12/06 1107 2/07
1 Total Participants Registered 4 6 8 10 12 14
2. Proaram Services
e. Core Servicesllntensive Services 4 6 8 10 12 14
f. Training Services 2 3 4 5 6 7
g. Follow-up Services after
Placement
h. Follow-up Services after Exit 0 0 0 0 0 0
3. Exit Status
a. Total Participants Exiting WIA 0 0
(1) Unsubsidized Employment 0 0
(a) Training Related 0 0
(2) Employability Enhancement N/A N/A
Exits
(3) Exited for Other Reasons 0 0
4
.
Exhibit C
S1-V-07
WIA ADULT PARTICIPANT PLAN
Adult 0
Dislocated Worker IZI
Cumulative Participants ..
MonthlY ear 3/07 4/07 5/07 6/07 7/07 8/07
1 Total Participants Registered 17 19 19 19 19 19
2. Program Services
e. Core Services/lntensive Services 17 19 19 19 19 19
f. Training Services 7 8 8 8 8 8
g. Follow-up Services after
Placement
h. Follow-up Services after Exit 0 0 0 5 5 5
3. Exit Status
a. Total Participants Exiting WIA 0 5
(1) Unsubsidized Employment 0 4
(a) Training Related 0 2
(2) Employability Enhancement N/A N/A
Exits
(3) Exited for Other Reasons 0 . 1
Cumulative Participants
MonthlY ear 9/07 10/07 11/07 12/07 1/08 3/08
1 Total Participants Registered 19 19 19 19 19 19
2. Program Services
e. Core Services/lntensive Services 19 19 19 19 19 19
f. Training Services 8 8 8 8 8 8
g. Follow-up Services after
Placement
h. Follow-up Services after Exit 10 10 10 15 15 15
3. Exit Status
a. Total Participants Exiting WIA 10 15 19
(1) Unsubsidized Employment 8 12 15
(a) Training Related 4 5 6
(2) Employability Enhancement N/A N/A N/A
Exits
(3) Exited for Other Reasons 3 4 4
5
Budget Summary Plan
Applicant Name: City of Santa Ana Workforce Investment Board
A. Staff Salaries
B. Number of full-time e uivalents:
C. Staff Benefits
D. Staff Benefit Rate ercent %
E. Staff Travel
F. Operating Expenses (communications,
facilities, utilities, maintenance, consumable
su lies, audit, etc.
G. Furniture and E ui ment
1. Small Purchase (unit cost is less than
$5,000 such as com uters, desks etc.
2. Equipment Purchase (unit cost is more
than $5,000 and useful life is more than
one year.) Complete Supplemental Budget
Form
3. Lease
H. Consumable Testing and Instructional
Materials
I. Tuition Pa mentsNouchers $
J. On-the-Job Trainin
Q. Total Funding
(A)
Requested
Funds WIA 15
Percent
$ 10,000
(B)
Requested
Funds WIA 25
Percent
22,420
Planned Bud et
(C)
Other
Resources Non
WIA Cash
Match/In-kind
Contributions
Exhibit D
S1-V-07
(0)
Total
32,420
25,000
$
2,400 $
$
$
2,930
$
43,000 $
9.05%
of Santa Ana
$
2,310
6,755
6,500
43,000 $
$
$
$
2,310
$
$
$
$
$ 20,195 $ 25,000
$
$
$
$
$
$
$
20,195 $
9,155
6,500
2,930
106,195
r
State of California
Drug Free Workplace Certification
STD 21 (NEW 11-90)
Exhibit E
S1-V-07
COMPANY IORGANIZATION NAME
The Contractor or grant recipient named above hereby certifies compliance with Government Code 8355 in matters relating to providing
a drug-free workplace. The above named Contractor will:
1. Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession, or use of a
controlled substance is prohibited and specifying actions to be taken against employees for violations, as required by Government Code
Section 8355(a).
2. Establish a Drug Free Awareness Program as required by Government Code Section 8355(b), to inform employees about all
of the following:
(a)
(b)
(c)
(d)
The danger of drug abuse in the workplace,
The person's or organization's policy of maintaining a drug-free workplace,
Any available counseling, rehabilitation and employee assistance programs, and
Penalties that may be imposed upon employees for drug abuse violations
3.
Provide as required by Government code Section 8355(c) that every employee who works on the proposed contract or
grant
(a)
(b)
Will receive a copy of the company's drug-free policy statement, and
Will agree to abide by the terms of the company's statement as a condition of employment in the contract or grant.
CERTIFICATION
I, the official named below, hereby swear that I am duly authorized legally to bind the contractor or grant recipient to the above
described certification. I am fully aware that this certification, executed on the date and in the county below, is made under
penalty of pe~ury under the laws of the State of California.
OFFICIAL'S NAME
DATE EXECUTED
EXECUTED IN THE COUNTY OF
CONTRACTOR or GRANTEE RECIPIENT SIGNATURE
TITLE
FEDERAL ID NUMBER
L
Exhibit F
S1-V-07
Page 1 of 2
Certification Regarding
Debarment, Suspension, Ineligibility and Voluntary Exclusion
Lower Tier Covered Transactions
This certification is required by the regulations implementing Executiye Order 12549,
Debarment and suspension, 29 CFR Part 98.510, Participants' responsibilities. The
regulations were published as Part VII of the May 26, 1988 Federal Reaister (pages 19160-
19211 )
(BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS FOR
CERTIFICA TION)
(1) The contractor or grant recipient of Federal assistance funds certifies, by
submission of this exhibit document, that neither it nor its principals are
presently debarred, suspended, proposed for debarment, declared ineligible, or
yoluntarily excluded from participation in this transaction by any Federal
department or agency.
(2) Where the contractor or grant recipient of Federal assistance funds is unable to
certify to any of the statements in this certification, the contractor or grant
recipient shall attach an explanation to this exhibit document.
Name and Title of Authorized Representatiye
Signature
Date
Exhibit F
S1-V-07
Page 2 of 2
DEBARMENT AND SUSPENSION CERTIFICATION -Instructions for Certification
1. By signing and submitting this exhibit document, the contractor or grant recipient of
Federal assistance funds is providing the certification as set out below.
2. The certification in the clause is a material representation of fact upon which reliance was
placed when this transaction was entered into. If it is later determined that the contractor
or grant recipient of Federal assistance funds knowingly rendered an erroneous
certification in addition to other remedies available to the Federal Government, the
Department of Labor (DOL) may pursue available remedies, including suspension and/or
debarment.
3. The contractor recipient of Federal assistance funds shall provide immediate written notice
to the County of Orange/Workforce Investment Board to which this certification document
is submitted if at any time the contractor or grant recipient of Federal assistance funds
learns that its certification was erroneous when submitted or has become erroneous by
reason of changed circumstances.
4. The contractor or grant recipient of Federal assistance funds agrees by submitting this
certification document that, should the covered transaction be entered into, it shall not
knowingly enter into any lower tier covered transaction with a person who is debarred,
suspended, declared ineligible, or voluntarily excluded from participation in this covered
transaction, unless authorized by the DOL.
5. The contractor or grant recipient of Federal assistance funds further agrees by submitting
this certification document that it will include the clause titled "Certification Regarding
Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered
Transactions," without modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
6. The contractor or grant recipient in a covered transaction may rely upon a certification of a
contractor or grant recipient in a lower tier covered transaction that it is not debarred,
suspend ed, ineligible, or voluntarily excluded from the covered transaction, unless it
knows that the certification is erroneous. The contractor or grant recipient may decide the
method and frequency by which it determines the eligibility of its principals.
7. Nothing contained in the foregoing shall be construed to require establishment of a system
of records in order to render in good faith the certification required by this clause. The
knowledge and information of the contractor or grant recipient is not required to exceed
that which is normally possessed by a prudent person in the ordinary course of business
dealings.
8. Except for transactions authorized under paragraph 5 of these instructions, if the contractor
or grant recipient in a covered transaction knowingly enters into a lower tier covered
transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded
from participation in this transaction, in addition to other remedies available to the Federal
Government, the DOL may pursue available remedies, including suspension and/or
debarment.
,.
.. .. ..,
...
Exhibit G
S1-V-07
CERTIFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTRACTS. GRANTS. LOANS.
AND COOPERATIVE AGREEMENTS
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee of
an agency, a member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal contract, the making of any
Federal grant, the making of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification of any Federal contract,
grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a member of
Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award
documents for all* subawards at all tiers (including subcontracts, subgrants and contracts under
grants, loans, and cooperative agreements) and that all* subrecipients shall certify and disclose
accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for
making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any
person who fails to file the required certification shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
FORMULA
Grantee/Contractor Organization
ProgramlTitle
Name and Title of Authorized Signatory
Signature Date
*Note: In these instances, "All," in the Final Rule is expected to be clarified to show that it
applies to covered contract/grant transactions over $100,000 (per OMB).
CHECKLIST FOR PROCESSING AGREEMENTS AND AMENDMENTS
TO: CLERK OF THE COUNCIL OFFICE
FROM: DEPT.: L..-Df\
CONTACT PERSON: FR.AN
MAIL STOP:
13
2b2/
,J L-fTZ/
EXT.:
THE FOllOWING ITEMS SHOULD BE PROVIDED IN REQUESTING PROCESSING OF AGREEMENTS FOR THE CITY:
AGREEMENT NUMBER (if amendment): A / N
AMENDMENT NUMBER (if applicable):
COUNCIL APPROVAL DATE:
AMOUNT: fl OVER $10,000 0 UNDER $10,000
NAME OF GeNSULTANT: C-t-r'f / SA WI!? et Gm1NliJ Or ORA;NGf;
TERM OF AGREEMENT: EFFECTIVE DATE: TERMINATION DATE:
o 1ST
o 2ND
o 3RD
o
INSURANCE REQUIRED: 0 NO
DYES
If yes, 0 ATTACHED
o IN PROGRESS
o AUTO
o PROFESSIONAL LIABILITY
o CGL (Commercial General Liability)
o WORKERS COMPENSATION
(INS. APPROVAL REQUIRED BY CAO PRIOR TO SUBMITTING TO COTC)
SIGNATURES REQUIRED:
o VENDOR
o CITY ATTORNEY
o
o
AGENCY (UNDER $10,000)
OTHER
COMMENTS:
FOR CLERK OFFICE USE ONLY:
o
PROCESS
o
DO NOT PROCESS
o MISSING SIGNATURES
o NEEDS COUNCIL APPROVAL
o OTHER
ADDITIONAL REMARKS:
MINUTES OF THE REGULAR MEETING
OF THE CITY COUNCIL OF THE CITY OF SANTA ANA
SANTA ANA, CALIFORNIA
CALLED TO ORDER
JULY 17, 2006
POLICE COMMUNITY ROOM
60 CIVIC CENTER PLAZA
SANTA ANA, CALIFORNIA
6:16 PM.
ATTENDANCE:
Councilmembers present:
MIGUEL PULIDO, Mayor
LISA BIST, Mayor Pro Tem
CLAUDIA ALVAREZ
CARLOS BUSTAMANTE
ALBERTA CHRISTY
MIKE GARCIA
JOSE SOLORIO
STAFF Present:
DAVID N. REAM, City Manager
JOSEPH W. FLETCHER, City Attorney
PATRICIA E. HEALY, Clerk of the Council
PLEDGE OF ALLEGIANCE
MAYOR PULIDO
INVOCATION
Bob Barnett, Police Chaplain
CONSENT CALENDAR
Motion: Approve staff recommendations on the following Consent Calendar
items.
MOTION: Alvarez
SECOND: Garcia
VOTE:
AYES:
Alvarez, Bist, Bustamante, Christy, Garcia,
Pulido, Solorio (7)
NOES: None (0)
ABSTAIN: None (0)
ABSENT: None (0)
CITY COUNCIL MINUTES
231
JULY 17, 2006
CONSENT CALENDAR
25.C. AGMT NO. 2006-182 - STREET SWEEPER BROOM REWRAPPING -
Execute an amendment with American Rotary Broom Co., Inc., for a
three-month period in an amount not to exceed $35,000 - Finance &
Management Services Agency
25.0. AGMT - WORKFORCE INVESTMENT ACT VETERANS GRANT
Motion:
1. Approve an appropriation adjustment. (Requires five affirmative
votes)
APPROPRIATION ADJUSTMENT NO. 07-003 - Recognizing $86,000
in Workforce Investment Act Funds awarded to the Santa Ana
W/O/R/K Center by the County of Orange Housing and Community
Services Department for a Veterans Project
2. Direct the City Attorney to prepare and authorize the City Manager
and Clerk of the Council to execute an agreement.
AGMT NO. 2006-183 - With the County of Orange and Community
Services Department for a Veterans Project - Community Development
Agency
25.E. AGMTS FEDERAL EMPOWERMENT ZONE DAISY WHEEL
NETWORK PROGRAM - Community Development Agency
Motion: Direct the City Attorney to prepare and authorize the City Manager
and the Clerk of the Council to execute agreements:
AGMT NO. 2006-184 - Execute an amendment with the Santa Ana
Empowerment Corporation in the amount not to exceed $980,000 for the
2006-07 Federal Empowerment Zone Daisy Wheel Network Program
AGMT NO. 2006-185 - With Catholic Charities of Orange County in an
amount not to exceed $73,080 for vocational/occupational training,
employment strategies, and supportive services under the Federal
Empowerment Zone Daisy Wheel Network Program
AGMT NO. 2006-186 - With Delhi Community Center in an amount not to
exceed $73,900 for vocational/occupational training, employment
strategies, and supportive services under the Federal Empowerment Zone
Daisy Wheel Network Program
CITY COUNCIL MINUTES
236
JULY 17, 2006
.'-
Exhibit G
S1-V-07
CERTIFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTRACTS. GRANTS. LOANS.
AND COOPERATIVE AGREEMENTS
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee of
an agency, a member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal contract, the making of any
Federal grant, the making of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification of any Federal contract,
grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a member of
Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report
Lobbying," in accordance with its Instructions.
(3) The undersigned shall require that the language of this certification be included in the award
documents for all" subawards at all tiers (including subcontracts, subgrants and contracts under
grants, loans, and cooperative agreements) and that all" subrecipients shall certify and disclose
accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for
making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any
person who fails to file the required certification shall be subject to a civil penalty of not less than
$10, 000 and not more than $100,000 for each such failure.
FORMULA
City of Santa Ana
Grantee/Contr'lctor Organization
Veteran ',s Grant
ProgramlTitle
Stephen G. Harding, Deputy City Manager
Name and Title of Authorized Signatory
for Development Services
Signa1f Ji 70; .
Date
"Note:
In these instances, "All," in the Final Rule is expected to be clarified to show that it
applies to covered contracVgrant transactions over $100,000 (per OMS).