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Home My WebLink About20132750.tiffRESOLUTION RE: APPROVE MASTER AGREEMENT FOR VARIOUS EMPLOYMENT AND TRAINING PROGRAMS AND AUTHORIZE CHAIR TO SIGN WHEREAS, the Board of County Commissioners of Weld County, Colorado, pursuant to Colorado statute and the Weld County Home Rule Charter, is vested with the authority of administering the affairs of Weld County, Colorado, and WHEREAS, the Board has been presented with a Master Agreement for Various Employment and Training Programs between the County of Weld, State of Colorado, by and through the Board of County Commissioners of Weld County, on behalf of the Department of Human Services, Employment Services, and the Colorado Department of Labor and Employment, commencing October 1, 2013, and ending June 30, 2017, with further terms and conditions being as stated in said grant agreement, and WHEREAS, after review, the Board deems it advisable to approve said grant agreement, a copy of which is attached hereto and incorporated herein by reference. NOW, THEREFORE, BE IT RESOLVED by the Board of County Commissioners of Weld County, Colorado, that the Master Agreement for Various Employment and Training Programs between the County of Weld, State of Colorado, by and through the Board of County Commissioners of Weld County, on behalf of the Department of Human Services, Employment Services, and the Colorado Department of Labor and Employment be, and hereby is, approved. BE IT FURTHER RESOLVED by the Board that the Chair be, and hereby is, authorized to sign said grant agreement. The above and foregoing Resolution was, on motion duly made and seconded, adopted by the following vote on the 30th day of September, A.D., 2013. BOARD OF COUNTY COMMISSIONERS WELD COUNTY, COLORADO ATTE ow R o x.921 Weld County Clerk to the Board EXCUSED William F. Garcia, Chair Date of signature:OCT 0 9 2013 Attorney ,.r ti1� CUSED Barbara Kirkmeyer Cc tt /a- ao-aW3 2013-2750 HR0084 MEMORANDUM DATE: September 26, 2013 TO: William F. Garcia, Chair, Board of Cquntyj Coriss�dpers FROM: Judy A. Griego, Director, Human S RE: Master Contract between the Board of County Commissioners on behalf of the Weld County Department of Human Services' Employment Services and the Colorado Department of Labor and Employment Enclosed for Board approval is the Master Contract between the Board of County Commissioners on behalf of the Weld County Department of Human Services' Employment Services and the Colorado Department of Labor and Employment. This item was reviewed under the Board's Pass -Around Memorandum dated August 19, 2013, and approved for placement on the Board's Agenda. This Master Contract is for the delivery of services under the various programs operated by Employment Services, including the Workforce Investment Act (WIA), Wagner Peyser, Trade Adjustment Assistance (TAA), Governors Summer Job Hunt, and other employment related programs. The Master contract is for the period of October 1, 2013 through June 30, 2017, unless sooner terminated or further extended. If you have any questions, please telephone me at extension 6510. 2013-2750 CDLE Contract Routing # 14 KAA 54599 CMS # 54599 STATE OF COLORADO Department of Labor and Employment Agreement with The Board of County Commissioners of Weld County TABLE OF CONTENTS I. PARTIES 2. EFFECTIVE DATE AND NOTICE OF NONLIABILITY I 3. RECITALS I 4. DEFINITIONS 2 5. TERM 4 6. STATEMENT OF WORK 4 7. PAYMENTS TO THE LOCAL WORKFORCE REGION 4 8. REPORTING - NOTIFICATION 5 9. LOCAL WORKFORCE REGION RECORDS 5 10. CONFIDENTIAL INFORMATION -STATE RECORDS 6 11. CONFLICTS OF INTEREST 7 12. REPRESENTATIONS AND WARRANTIES 7 13. INSURANCE 7 14. BREACH 9 15. REMEDIES 9 16. NOTICES and REPRESENTATIVES 11 17. RIGHTS IN DATA, DOCUMENTS. COMPUTER SOFTWARE, AND COPYRIGHT 11 18. GOVERNMENTAL IMMUNITY 12 19. STATEWIDE CONTRACT MANAGEMENT SYSTEM 12 20. GENERAL PROVISIONS 13 21. COLORADO SPECIAL PROVISIONS 19 22. COLORADO SUPPLEMENTAL PROVISIONS (FFATA) 21 23. SIGNATURE PAGE 25 EXHIBIT A - AGREEMENT DEFINITIONS EXHIBIT B -LOCAL PLAN SIGNATURE PAGE AND LOCAL PLAN DOCUMENT ii EXHIBIT C - EXPENDITURE AUTHORIZATION (EA) iii EXHIBIT D - ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS iv EXHIBIT E -NOTICE OF FUND AVAILABILITY (NFA) v EXHIBIT F - CERTIFICATION REGARDING DEBARMENT AND SUSPENSION vi EXHIBIT G -CERTIFICATION REGARDING LOBBYING vii. EXHIBIT H - DRUG FREE WORKPLACE CERTIFICATIONS viii. EXHIBIT I - TOBACCO FREE CERTIFICATION ix EXHIBIT J - STANDARD ASSURANCES x. EXHIBIT K - INFORMAL EA MODIFICATION FORM xi 1. PARTIES This Agreement is entered into by and between The Board of County Commissioners of Weld County on behalf of the Local Workforce Region (hereinafter referred to as the "Local Workforce Region"), and the STATE OF COLORADO acting by and through the Colorado Department of Labor and Employment (hereinafter called the "State or COLE"). 2. EFFECTIVE DATE AND NOTICE OF NONLIABILITY. This Agreement shall not be effective or enforceable until it is approved and signed by the Colorado State Controller or designee (hereinafter called the "Effective Date"). The State shall not be liable to pay or reimburse the Local Workforce Region for any performance hereunder, including, but not limited to costs or expenses incurred, or be bound by any provision hereof prior to the Effective Date. 3. RECITALS Page I of25 CDLE Contract Routing 8 14 KAA 54599 CMS # 54599 A. Authority, Appropriation, and Approval Authority to enter into this Agreement exists in Colorado Revised Statutes(C.R.S.) 8-77-109 Establishment of the Employment Support Fund (ESE) for use by the Colorado Department of Labor and Employment — Division of Employment and Training and C.R.S. 8-83 Workforce Development Part I Division of Employment and Training; C.R.S. 8-83-104 State Employment Service; and C.R.S. 8-83 Part 2, Workforce Investment Act the Federal Workforce Investment Act of 1998 (WIA) (also known as Public Law 105- 220) Section 111 which includes the Wagner Peyser Act (WP); the authority of the Colorado Workforce Development Council to approve the use of WIA and WP Discretionary funds; and pursuant to the authority of the Colorado Department of Labor and Employment, Division of Employment and Training as administrator of the Workforce Investment Act and the Wagner Peyser Act, and other workforce development programs (WDP) including the Governor's WIA and WP Discretionary funds. Funds have been budgeted, appropriated and otherwise made available pursuant to the Workforce Investment Act WIA, theWP, the State's Long Bill for the appropriation of Employment Support Funds, the Displaced Homemaker Program, and other Federal and State funding appropriations for programs, such as, the Jobs for Veterans State Grant (JVSG) Program, authorized by Title 38, United States Code Chapter 41 and Public Law 107-288 Jobs for Veterans Act of 2002, National Emergency Grants, State Incentive Grants, and other workforce development programs. A sufficient unencumbered balance thereof remains available for payment. Required approvals, clearance and coordination have been accomplished from and with appropriate agencies. B. Consideration The Parties acknowledge that the mutual promises and covenants contained herein and other good and valuable consideration are sufficient and adequate to support this Agreement. C. Purpose The purpose of this Agreement is to provide funding for workforce development programs under the WIA, the WP, and other Federal and State statutes. Workforce development programs may include assistance to individuals seeking employment and training services and employers seeking business enhancement services to increase the quality and capacity of the local workforce system and to support the economic success and sustainability of local businesses throughout the state of Colorado. D. References All references in this Agreement to sections (whether spelled out or using the § symbol), subsections, exhibits or other attachments, are references to sections, subsections, exhibits or other attachments contained herein or incorporated as a part hereof, unless otherwise noted. 4. DEFINITIONS The following terms as used herein shall be construed and interpreted as follows (additional program definitions are attached hereto as Exhibit A, Agreement Definitions): A. Agreement "Agreement" means this Agreement, its terms and conditions, attached exhibits, documents incorporated by reference under the terms of this Agreement, and any future modifying agreements, exhibits, attachments or references incorporated herein pursuant to Colorado State law, Fiscal Rules, and State Controller Policies. This Agreement may also be referred to as the "Workforce Development Programs Agreement (WDP Agreement)". B. Agreement Funds "Agreement Funds" means available funds payable by the State to the Local Workforce Region pursuant to this Agreement. C. Budget "Budget" means the budget for the Work described in Exhibit B, any executed Amendments, any approved Expenditure Authorizations, Expenditure Authorization modifications or Informal Expenditure Authorizations and pursuant to Exhibit D. D. Expenditure Authorization "Expenditure Authorization (EA) means the document substantially similar to that attached hereto as Exhibit C and used as the mechanism by which the Statement of Work is described for Agreement Funds Page 2 of 25 CDLE Contract Routing # 14 KAA 54599 CMS # 54599 issued in a Notice of Fund Availability. An Informal EA Modification is any change to the Budget, Statement or Work, or funding levels as a result of supplemental NFAs or modifications allowed pursuant to the provisions of this Agreement, Exhibit D and State -issued Policy Guidance letters. E. Evaluation "Evaluation" means the process of examining the Local Workforce Region's Work and rating it based on criteria established in §6 and Exhibits B and D, and any approved Expenditure Authorizations, EA modifications or Informal EA modifications. F. Exhibits and other Attachments The following are attached hereto and incorporated by reference herein: Exhibit A, Agreement Definitions Exhibit B, Local Plan Signature Page and Local Plan Document Exhibit C, Sample Expenditure Authorization Exhibit D, Administrative Requirements and Funding Provisions Exhibit E, Sample Notice of Fund Availability (NFA) Exhibit F, Certification Regarding Debarment and Suspension Exhibit G, Certification Regarding Lobbying Exhibit H, Drug -Free Workplace Certifications Exhibit I, Tobacco Free Certification Exhibit J, Standard Assurances Exhibit IC, Informal EA Modification Form G. Goods "Goods" means tangible material acquired, produced, or delivered by the Local Workforce Region either separately or in conjunction with the Services the Local Workforce Region renders hereunder. H. Notice of Fund Availability (NFA) "Notice of Fund Availability" means a document, substantially similar to that attached hereto as Exhibit E, issued from the State to the Local Workforce Region, to provide original allocations of funds, any increases or decreases in funding, changes to the funding provisions, and/or extensions of grant periods of performance, etc., and which summarizes the State's total financial obligation to the Local Workforce Region, subject to the provisions of this Agreement. (see Exhibit D for explicit provisions for the application and usage of the NFA). I. Party or Parties "Party" means the State or the Local Workforce Region and "Parties" means both the State and the Local Workforce Region. J. Program "Program" means the workforce development services provided under this Agreement which are funded by the Workforce Investment Act of 1998 the Wagner-Peyser Act, and/or other Federal and State statutes. K. Review "Review" means examining the Local Worlcforce Region's Work to ensure that it is adequate, accurate, correct and in accordance with the criteria established in §6, Exhibits B and D, and any approved Expenditure Authorizations, EA modifications or Informal EA modifications. L. Services "Services" means the required services to be performed by the Local Workforce Region pursuant to this Agreement. M. Subcontractor "Subcontractor" means third -parties, if any, engaged by the Local Workforce Region to aid in performance of its obligations. N. Work "Work" means the tasks and activities the Local Workforce Region is required to perform to fulfill its obligations under this Agreement and pursuant to Exhibits B, and D, and any approved expenditure Authorizations, including the performance of the Services and delivery of the Goods. 0. Work Product Page 3 of 25 CDLE Contract Routing # 14 KAA 54599 CMS # 54599 "Work Product" means the tangible or intangible results of the Local Workforce Region's Work, including, but not limited to, software, research, reports, studies, data, photographs, negatives or other finished or unfinished documents, drawings, models, surveys, maps, materials, or work product of any type, including drafts. 5. TERM A. Initial Term -Work Commencement The Parties respective performances under this Agreement shall commence on the later of either the Effective Date or October 1, 2013 This Agreement shall terminate on June 30, 2017 unless sooner terminated or further extended as specified elsewhere herein. 6. STATEMENT OF WORK A. Completion The Local Workforce Region shall complete the Work and its other obligations as described herein and pursuant to Exhibits B and D, and any approved Expenditure Authorizations, EA modifications or Informal EA modifications on or before June 30, 2017. The State shall not be liable to compensate the Local Workforce Region for any Work performed prior to the Effective Date or after the termination of this Agreement. B. Goods and Services The Local Workforce Region shall procure Goods and Services necessary to complete the Work. Such procurement shall be accomplished using the Agreement Funds and shall not increase the maximum amount payable hereunder by the State. C. Employees All persons employed by the Local Workforce Region or Subcontractors of the Local Workforce Region shall not be employees of the State for any purposes as a result of this Agreement. 7. PAYMENTS TO THE LOCAL WORKFORCE REGION The State shall pay the Local Workforce Region, in accordance with the provisions of this §7, any issued NFA letters, any approved Expenditure Authorizations, and applicable provisions in Exhibit D. A. Maximum Amount The maximum amount payable under this Agreement to Local Workforce Region by the State shall be determined by the State from available funds and set forth in any issued NFA letters. Payments to the Local Workforce Region are limited to the unpaid obligated balance of the Agreement set forth in the NFA. B. Payment i. Interest The State shall fully pay each invoice or issue a cash disbursement in response to the receipt of a signed cash request within 45 days of receipt thereof if the amount invoiced or requested represents performance by the Local Workforce Region previously accepted by the State. Uncontested amounts not paid by the State within 45 days may, if the Local Workforce Region so requests, bear interest on the unpaid balance beginning on the 46th day at a rate not to exceed one percent per month until paid in full; provided, however, that interest shall not accrue on unpaid amounts that are subject to a good faith dispute. The Local Workforce Region shall invoice the State separately for accrued interest on delinquent amounts. The billing shall reference the delinquent payment, the number of day's interest to be paid and the interest rate. ii. Available Funds -Contingency -Termination The State is prohibited by law from making fiscal commitments beyond the term of the State's current fiscal year. Therefore, the Local Workforce Region's compensation is contingent upon the continuing availability of State appropriations as provided in the Colorado Special Provisions, set forth below. If federal funds are used with this Agreement in whole or in part, the State's performance hereunder is contingent upon the continuing availability of such funds. Payments pursuant to this Agreement shall be made only from available funds encumbered for this Agreement and the State's liability for such payments shall be limited to the amount remaining of such encumbered funds. If State or federal funds are not appropriated, or otherwise become unavailable to fund this Agreement, the State may Page 4 of 25 CDLE Contract Routing # 14 KAA 54599 CMS # 54599 immediately terminate this Agreement in whole or in part without further liability in accordance with the provisions herein. iii. Erroneous Payments At the State's sole discretion, payments made to the Local Workforce Region in error for any reason, including, but not limited to overpayments or improper payments, and unexpended or excess funds received by the Local Workforce Region, may be recovered from the Local Workforce Region by deduction from subsequent payments under this Agreement or other agreements, grants or contracts between the State and the Local Workforce Region or by other appropriate methods and collected as a debt due to the State. Such funds shall not be paid to any person or entity other than the State. C. Use of Funds Agreement Funds shall be used only for eligible costs identified herein and/or pursuant to Exhibits B and D and any approved Expenditure Authorizations, EA modifications or Informal EA modifications. 8. REPORTING - NOTIFICATION Reports, Evaluations, and Reviews required under this §8 and pursuant to Exhibit D shall be in accordance with the procedures of and in such form as prescribed by the State and in accordance with §19, if applicable. A. Performance, Progress, Personnel, and Funds The Local Workforce Region shall submit a report to the State upon expiration or sooner termination of this Agreement, containing an Evaluation and Review of the Local Workforce Region's performance and the final status of the Local Workforce Region's obligations hereunder. In addition, the Local Workforce Region shall comply with all reporting requirements, if any, set forth in Exhibit D. B. Litigation Reporting Within 10 days after being served with any pleading in a legal action filed with a court or administrative agency, related to this Agreement or which may affect the Local Workforce Region's ability to perform its obligations hereunder, the Local Workforce Region shall notify the State of such action and deliver copies of such pleadings to the State's principal representative as identified herein. If the State's principal representative is not then serving, such notice and copies shall be delivered to the Executive Director of the Colorado Department of Labor and Employment. C. Noncompliance The Local Workforce Region's failure to provide reports and notify the State in a timely manner in accordance with this §8 may result in the delay of payment of funds and/or termination as provided under this Agreement. D. Subcontracts Copies of any and all subcontracts entered into by the Local Workforce Region to perform its obligations hereunder shall be submitted to the State or its principal representative upon request by the State. Any and all subcontracts entered into by the Local Workforce Region related to its performance hereunder shall comply with all applicable federal and state laws and shall provide that such subcontracts be governed by the laws of the State of Colorado. 9. LOCAL WORKFORCE REGION RECORDS A. Maintenance To the extent that there is no violation of any State and/or Federal laws, the Local Workforce Region shall make, keep, maintain, and allow inspection and monitoring by the State of a complete file of all records, documents, communications, notes and other written materials, electronic media files, and communications, pertaining in any manner to the Work or the delivery of Services (including, but not limited to the operation of programs) or Goods hereunder. The Local Workforce Region shall maintain such records until the last to occur of the following: (i) a period of three years after the date this Agreement expires or is sooner terminated, or (ii) final payment is made hereunder, or (iii) the resolution of any pending Agreement matters, or (iv) if an audit is occurring, or the Local Workforce Region has received notice that an audit is pending, until such audit has been completed and its findings have been resolved (collectively, the "Record Retention Period"). B. Inspection Page 5 of 25 CDLE Contract Routing # 14 KAA 54599 CMS # 54599 To the extent that there is no violation of any State and/or Federal laws, the Local Workforce Region shall permit the State, the federal government and any other duly authorized agent of a governmental agency to audit, inspect, examine, excerpt, copy and/or transcribe the Local Workforce Region's records related to this Agreement during the Record Retention Period for a period of three years following termination of this Agreement or final payment hereunder, whichever is later, to assure compliance with the terms hereof or to evaluate the Local Workforce Region's performance hereunder. The State reserves the right to inspect the Work at all reasonable times and places during the term of this Agreement, including any extension. If the Work fails to conform to the requirements of this Agreement, the State may require the Local Workforce Region promptly to bring the Work into conformity with Agreement requirements, at the Local Workforce Region's sole expense. If the Work cannot be brought into conformance by re -performance or other corrective measures, the State may require the Local Workforce Region to take necessary action to ensure that future performance conforms to Agreement requirements and exercise the remedies available under this Agreement, at law or inequity in lieu of or in conjunction with such corrective measures. C. Monitoring To the extent that there is no violation of any State and/or Federal laws, the Local Workforce Region shall permit the State, the federal government, and other governmental agencies having jurisdiction, in their sole discretion, to monitor all activities conducted by the Local Workforce Region pursuant to the terms of this Agreement using any reasonable procedure, including, but not limited to: internal evaluation procedures, examination of program data, special analyses, on -site checking, formal audit examinations, or any other procedures. All monitoring controlled by the State shall be performed in a manner that shall not unduly interfere with the Local Workforce Region's performance hereunder. D. Final Audit Report If an audit is performed on the Local Workforce Region's records for any fiscal year covering a portion of the term of this Agreement, the Local Workforce Region shall submit a copy of the final audit report to the State or its principal representative at the address specified herein. 10. CONFIDENTIAL INFORMATION -STATE RECORDS The Local Workforce Region shall comply with the provisions of this §I0 if it becomes privy to confidential information in connection with its performance hereunder. Confidential information, includes, but is not necessarily limited to, any state records, personnel records, and information concerning individuals. Such information shall not include information required to be disclosed pursuant to the Colorado Open Records Act, CRS §24-72-101, et seq. A. Confidentiality The Local Workforce Region shall keep all State records and information confidential at all times and comply with all laws and regulations concerning confidentiality of information. Any request or demand by a third party for State records and information in the possession of the Local Workforce Region shall be immediately forwarded to the State's principal representative. B. Notification The Local Workforce Region shall notify its agents, employees, Subcontractors, and assignees who may come into contact with State records and confidential information that each is subject to the confidentiality requirements set forth herein, and shall provide each with a written explanation of such requirements before they are permitted to access such records and information. C. Use, Security, and Retention Confidential information of any kind shall not be distributed or sold to any third party or used by the Local Workforce Region or its agents in any way except as authorized by this Agreement or approved in writing by the State. The Local Workforce Region shall provide and maintain a secure environment that ensures confidentiality of all State records and other confidential information wherever located. Confidential information shall not be retained in any files or otherwise by the Local Workforce Region or its agents, except as permitted in this Agreement or approved in writing by the State. D. Disclosure -Liability Disclosure of State records or other confidential information by the Local Workforce Region for any reason may be cause for legal action by third parties against the Local Workforce Region, the State or their respective agents. Page 6 of 25 CDLE Contract Routing # 14 KAA 54599 CMS # 54599 11. CONFLICTS OF INTEREST The Local Workforce Region shall not engage in any business or personal activities or practices or maintain any relationships which conflict in any way with the full performance of the Local Workforce Region's obligations hereunder. The Local Workforce Region acknowledges that with respect to this Agreement, even the appearance of a conflict of interest is harmful to the State's interests. Absent the State's prior written approval, the Local Workforce Region shall refrain from any practices, activities or relationships that reasonably appear to be in conflict with the full performance of the Local Workforce Region's obligations to the State hereunder. If a conflict or appearance exists, or if the Local Workforce Region is uncertain whether a conflict or the appearance of a conflict of interest exists, the Local Workforce Region shall submit to the State a disclosure statement setting forth the relevant details for the State's consideration. Failure to promptly submit a disclosure statement or to follow the State's direction in regard to the apparent conflict constitutes a breach of this Agreement. 12. REPRESENTATIONS AND WARRANTIES The Local Workforce Region makes the following specific representations and warranties, each of which was relied on by the State in entering into this Agreement. A. Standard and Manner of Performance The Local Workforce Region shall perform its obligations hereunder in accordance with the highest standards of care, skill and diligence in the industry, trades or profession and in the sequence and manner set forth in this Agreement. B. Legal Authority — Local Workforce Region Signatory The Local Workforce Region warrants that it possesses the legal authority to enter into this Agreement and that it has taken all actions required by its procedures, by-laws, and/or applicable laws to exercise that authority, and to lawfully authorize its undersigned signatory to execute this Agreement, or any part thereof, and to bind the Local Workforce Region to its terms. If requested by the State, The Local Workforce Region shall provide the State with proof of the Local Workforce Region's authority to enter into this Agreement within 15 days of receiving such request. C. Licenses, Permits, Etc. The Local Workforce Region represents and warrants that as of the Effective Date it has, and that at all times during the term hereof it shall have and maintain, at its sole expense, all licenses, certifications, approvals, insurance, permits, and other authorizations required by law to perform its obligations hereunder. The Local Workforce Region warrants that it shall maintain all necessary licenses, certifications, approvals, insurance, permits, and other authorizations required to properly perform this Agreement, without reimbursement by the State or other adjustment in Agreement Funds. Additionally, all employees, agents and Subcontractors of the Local Workforce Region performing Services under this Agreement shall hold all required licenses or certifications, if any, to perform their responsibilities. The Local Workforce Region, if a foreign corporation or other foreign entity transacting business in the State of Colorado, further warrants that it currently has obtained and shall maintain any applicable certificate of authority to transact business in the State of Colorado and has designated a registered agent in Colorado to accept service of process. Any revocation, withdrawal or non -renewal of licenses, certifications, approvals, insurance, permits or any such similar requirements necessary for the Local Workforce Region to properly perform the terms of this Agreement is a material breach by the Local Workforce Region and constitutes grounds for termination of this Agreement. 13. INSURANCE The Local Workforce Region and its Subcontractors shall obtain and maintain insurance as specified in this section at all times during the term of this Agreement: All policies evidencing the insurance coverage required hereunder shall be issued by insurance companies satisfactory to the Local Workforce Region and the State. A. Local Workforce Region i. Public Entities If the Local Workforce Region is a "public entity" within the meaning of the Colorado Governmental Immunity Act, CRS §24-10-101, et seq., as amended (the "GIA"), then the Local Workforce Region shall maintain at all times during the term of this Agreement such liability insurance, by commercial policy or self-insurance, as is necessary to meet its liabilities under the GIA. The Local Workforce Region shall show proof of such insurance satisfactory to the State, if requested by the State. The Page7 of25 I CDLE Contract Routing # 14 KAA 54599 CMS a 54599 Local Workforce Region shall require each Agreement with a Subcontractor that is a public entity, to include the insurance requirements necessary to meet Subcontractor's liabilities under the GA. ii. Non -Public Entities If the Local Workforce Region is not a "public entity" within the meaning of the GIA, the Local Workforce Region shall obtain and maintain during the term of this Agreement insurance coverage and policies meeting the same requirements set forth in §13(B) with respect to Subcontractors that are not "public entities". B. The Local Workforce Region and Subcontractors The Local Workforce Region shall require each agreement with Subcontractors, other than those that are public entities, providing Goods or Services in connection with this Agreement, to include insurance requirements substantially similar to the following: i. Worker's Compensation Worker's Compensation Insurance as required by State statute, and Employer's Liability Insurance covering all of Subcontractor employees acting within the course and scope of their employment. ii. General Liability Commercial General Liability Insurance written on ISO occurrence form CG 00 01 10/93 or equivalent, covering premises operations, fire damage, independent contractors, products and completed operations, blanket contractual liability, personal injury, and advertising liability with minimum limits as follows: (a) $1,000,000 each occurrence; (b) $1,000,000 general aggregate; (c) $1,000,000 products and completed operations aggregate; and (d) $50,000 any one fire. If any aggregate limit is reduced below $1,000,000 because of claims made or paid, Subcontractors hall immediately obtain additional insurance to restore the full aggregate limit and furnish to the Local Workforce Region a certificate or other document satisfactory to the Local Workforce Region showing compliance with this provision. iii. Automobile Liability Automobile Liability Insurance covering any auto (including owned, hired and non -owned autos) with a minimum limit of $1,000,000 each accident combined single limit. iv. Additional Insured State shall be named as additional insured on the Commercial General Liability and Automobile Liability Insurance policies (leases and construction Agreements require additional insured coverage for completed operations on endorsements CG 2010 11/85, CG 2037, or equivalent) required of the Local Workforce Region and any Subcontractors hereunder.. v. Primacy of Coverage Coverage required of the Local Workforce Region and Subcontractor shall be primary over any insurance or self-insurance program carried by the Local Workforce Region or the State. vi. Cancellation The above insurance policies shall include provisions preventing cancellation or non -renewal without at least 30 days prior notice to the Local Workforce Region, and the Local Workforce Region shall forward such notice to the State in accordance with §16 (Notices and Representatives) within seven days of the Local Workforce Region's receipt of such notice. vii. Subrogation Waiver All insurance policies in any way related to this Agreement and secured and maintained by the Local Workforce Region or its Subcontractors as required herein shall include clauses stating that each carrier shall waive all rights of recovery, under subrogation or otherwise, against the Local Workforce Region or the State, its agencies, institutions, organizations, officers, agents, employees, and volunteers. C. Certificates The Local Workforce Region shall provide certificates showing insurance coverage required hereunder to the State within seven business days of the Effective Date of this Agreement and provide certificates showing insurance coverage for its subcontractors prior to any subcontractor beginning work pursuant to an executed subcontract. No later than 15 days prior to the expiration date of any such coverage, the Local Workforce Region and each Subcontractor shall deliver to the State or the Local Workforce Region certificates of insurance evidencing renewals thereof. In addition, upon request by the Page 8 of25 I CDLE Contract Routing # 14 KAA 54599 CMS # 54599 State at any other time during the term of this Agreement or any subcontract, the Local Workforce Region and each Subcontractor shall, within 10 days of such request, supply to the State evidence satisfactory to the State of compliance with the provisions of this §13. 14. BREACH A. Defined In addition to any breaches specified in other sections of this Agreement, the failure of either Party to perform any of its material obligations hereunder, in whole or in part or in a timely or satisfactory manner, constitutes a breach. The institution of proceedings under any bankruptcy, insolvency, reorganization or similar law, by or against the Local Workforce Region, or the appointment of a receiver or similar officer for the Local Workforce Region or any of its property, which is not vacated or fully stayed within 20 days after the institution or occurrence thereof, shall also constitute a breach. B. Notice and Cure Period In the event of a breach, notice of such shall be given in writing by the aggrieved Party to the other Party in the manner provided in §16. If such breach is not cured within 30 days of receipt of written notice, or if a cure cannot be completed within 30 days, or if cure of the breach has not begun within 30 days and pursued with due diligence, the State may exercise any of the remedies set forth in §15. Notwithstanding anything to the contrary herein, the State, in its sole discretion, need not provide advance notice or a cure period and may immediately terminate this Agreement in whole or in part if reasonably necessary to preserve public safety or to prevent immediate public crisis. 15. REMEDIES If the Local Workforce Region is in breach under any provision of this Agreement, the State shall have all of the remedies listed in this §15 in addition to all other remedies set forth in other sections of this Agreement following the notice and cure period set forth in §14(B). The State may exercise any or all of the remedies available to it, in its sole discretion, concurrently or consecutively. A. Termination for Cause and/or Breach If the Local Workforce Region fails to perform any of its obligations hereunder with such diligence as is required to ensure its completion in accordance with the provisions of this Agreement and in a timely manner, the State may notify the Local Workforce Region of such non-performance in accordance with the provisions herein. If the Local Workforce Region thereafter fails to promptly cure such non-performance within the cure period, the State, at its option, may terminate this entire Agreement or such part of this Agreement as to which there has been delay or a failure to properly perform. Exercise by the State of this right shall not be deemed a breach of its obligations hereunder. The Local Workforce Region shall continue performance of this Agreement to the extent not terminated, if any. i. Obligations and Rights To the extent specified in any termination notice, the Local Workforce Region shall not incur further obligations or render further performance hereunder past the effective date of such notice, and shall terminate outstanding orders and subcontracts with third parties. However, the Local Workforce Region shall complete and deliver to the State all Work, Services and Goods not cancelled by the termination notice and may incur obligations as are necessary to do so within this Agreement's terms. At the sole discretion of the State, the Local Workforce Region shall assign to the State all of the Local Workforce Region's right, title, and interest under such terminated orders or subcontracts. Upon termination, the Local Workforce Region shall take timely, reasonable and necessary action to protect and preserve property in the possession of the Local Workforce Region in which the State has an interest. All materials owned by the State in the possession of the Local Workforce Region shall be immediately returned to the State. All Work Product, at the option of the State, shall be delivered by the Local Workforce Region to the State and shall become the State's property. ii. Payments The State shall reimburse the Local Workforce Region only for accepted performance up to the date of termination. If, after termination by the State, it is determined that the Local Workforce Region was not in breach or that the Local Workforce Region's action or inaction was excusable, such termination shall be treated as a termination in the public interest and the rights and obligations of the Parties shall be the same as if this Agreement had been terminated in the public interest, as described herein. Page 9 of 25 CDLE Contract Routing # 14 KAA 54599 CMS # 54599 iii. Damages and Withholding Notwithstanding any other remedial action by the State, the Local Workforce Region also shall remain liable to the State for any damages sustained by the State by virtue of any breach under this Agreement by the Local Workforce Region and the State may withhold any payment to the Local Workforce Region for the purpose of mitigating the State's damages, until such time as the exact amount of damages due to the State from the Local Workforce Region is determined. The State may withhold any amount that may be due the Local Workforce Region as the State deems necessary to protect the State against loss, including loss as a result of outstanding liens or claims of former lien holders, or for the excess costs incurred in procuring similar goods or services. The Local Workforce Region shall be liable for excess costs incurred by the State in procuring from third parties replacement Work, Services or substitute Goods as cover. B. Early Termination in the Public Interest The State is entering into this Agreement for the purpose of carrying out the public policy of the State of Colorado, as determined by its Governor, General Assembly, and/or Courts. If this Agreement ceases to further the public policy of the State, the State, in its sole discretion, may terminate this Agreement in whole or in part. Exercise by the State of this right shall not constitute a breach of the State's obligations hereunder. This subsection shall not apply to a termination of this Agreement by the State for cause or breach by the Local Workforce Region, which shall be governed by §15(A) or as otherwise specifically provided for herein. i. Method and Content The State shall notify the Local Workforce Region of such termination in accordance with §16. The notice shall specify the effective date of the termination and whether it affects all or a portion of this Agreement. H. Obligations and Rights Upon receipt of a termination notice, the Local Workforce Region shall be subject to and comply with the same obligations and rights set forth in §15(A)(i). iii. Payments If this Agreement is terminated by the State pursuant to this §15(B), the Local Workforce Region shall be paid an amount which bears the same ratio to the total reimbursement under this Agreement as the Services satisfactorily performed bear to the total Services covered by this Agreement, less payments previously made. Additionally, if this Agreement is less than 60% completed, the State may reimburse the Local Workforce Region for a portion of actual out-of-pocket expenses (not otherwise reimbursed under this Agreement) incurred by the Local Workforce Region which are directly attributable to the uncompleted portion of the Local Workforce Region's obligations hereunder; provided that the sum of any and all reimbursement shall not exceed the maximum amount payable to the Local Workforce Region hereunder. C. Remedies Not Involving Termination The State, in its sole discretion, may exercise one or more of the following remedies in addition to other remedies available to it: i. Suspend Performance Suspend the Local Workforce Region's performance with respect to all or any portion of this Agreement pending necessary corrective action as specified by the State without entitling the Local Workforce Region to an adjustment in price/cost or performance schedule. The Local Workforce Region shall promptly cease performance and incurring costs in accordance with the State's directive and the State shall not be liable for costs incurred by the Local Workforce Region after the suspension of performance under this provision. ii. Withhold Payment Withhold payment to the Local Workforce Region until corrections in the Local Workforce Region's performance are satisfactorily made and completed. iii. Deny Payment Deny payment for those obligations not performed that due to the Local Workforce Region's actions or inactions cannot be performed or, if performed, would be of no value to the State; provided, that Page 10 of 25 CDLE Contract Routing # 14 KAA 54599 CMS # 54599 any denial of payment shall be reasonably related to the value to the State of the obligations not performed. iv. Intellectual Property If the Local Workforce Region infringes on a patent, copyright, trademark, trade secret or other intellectual property right while performing its obligations under this Agreement, the Local Workforce Region shall, at the State's option (a) obtain for the State or the Local Workforce Region the right to use such products and services; (b) replace any Goods, Services, or other product involved with non - infringing products or modify them so that they become non -infringing; or, (c) if neither of the foregoing alternatives are reasonably available, remove any infringing Goods, Services, or products and refund the price paid therefore to the State. 16. NOTICES and REPRESENTATIVES Each individual identified below is the principal representative of the designating Party. All notices required to be given hereunder shall be hand delivered with receipt required or sent by certified or registered mail to such Party's principal representative at the address set forth below. In addition to, but not in lieu of a hard -copy notice, notice also may be sent by e-mail to the e-mail addresses, if any, set forth below. Either Party may from time to time designate by written notice substitute addresses or persons to whom such notices shall be sent. Unless otherwise provided herein, all notices shall be effective upon receipt. A. State: Lisa Eze, Director Procurement and Contracts Department of Labor and Employment 633 17i1' Street, 11rh Floor Denver, CO 80202-3631 303.318.8054 I isa.ezestate.co. us With a copy to: Elise Lowe -Vaughn, Director Workforce Programs, Policy and Strategic Initiatives Department of Labor and Employment 633 17th Street, 7th Floor Denver, CO 80202-3629 303.318.8807 elise.lowe-vaughn@state.co.us B. Local Workforce Region: William F. Garcia, Chair The Board of County Commissioners of Weld County 1150 O Street, P. O. Box 758 Greeley, CO 80632-0758 970.336.7204 wgarcia@weldgov.com With a copy to: Employment Services of Weld County Linda Perez, Director Page I I of25 CDLE Contract Routing # 14 KAA 54599 CMS # 54599 P.O. Box 1805 Greeley, CO 80632 970.353.3800.3363 1perez@co.weld.co.us 17. RIGHTS IN DATA, DOCUMENTS, COMPUTER SOFTWARE, AND COPYRIGHT Any software, research, reports, studies, data, photographs, negatives or other documents, drawings, models, materials, or Work Product of any type, including drafts, prepared by the Local Workforce Region in the performance of its obligations under this Agreement shall be the exclusive property of the State and, all Work Product shall be delivered to the State by the Local Workforce Region upon completion or termination hereof The State's exclusive rights in such Work Product shall include, but not be limited to, the right to copy, publish, display, transfer, and prepare derivative works. The Local Workforce Region shall not use, willingly allow, cause or permit such Work Product to be used for any purpose other than the performance of the Local Workforce Region's obligations hereunder without the prior written consent of the State. A. Except for its own internal use, and as such disclosures may be required by the Colorado Open Records Act, CRS §24-72-101, et seq., the Local Workforce Region shall not publish or reproduce any data or other information, however contained, in whole or in part, which is recorded in any form or medium whatsoever and which is delivered or specified to be delivered under this Agreement, nor may the Local Workforce Region authorize or permit others to do so, without the prior, express, written consent of the federal government, through the State, until such time as the federal government may have released such data or other information to the public. B. The federal government reserves a paid -up, nonexclusive and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal purposes: i) the copyright in all products developed under this Agreement, including any subcontracts; and ii) any rights of copyright to which the Local Workforce Region or a Subcontractor purchases ownership under this Agreement (including but not limited to curricula, training models, technical assistance products, and any related materials). Such uses include, but are not limited to, the right to modify and distribute such products worldwide by any means, electronically or otherwise. Federal funds may not be used to pay any royalty or licensing fee associated with such copyrighted material, although they may be used to pay costs for obtaining a copy which is limited to the developer/seller costs of copying and shipping. If revenues are generated through selling products developed with Federal grant funds, including intellectual property, these revenues are program income. Program income is added to the grant funding amount and must be expended for allowable activities pursuant to the applicable Federal funding source. C. The Local Workforce Region shall comply with the copyright requirements of 29 CFR 97.34. The Local Workforce Region shall give notice of these rights in data and copyright requirements in all its subcontracts and vendor agreements. D. The Local Workforce Region, its Subcontractors, and the State are expressly prohibited from the exclusivity protections under federal and state patent, copyright, and trademark law on material that has been developed with the use of federal or state funds. All such material is considered by the State to be in the public domain. 18. GOVERNMENTAL IMMUNITY Notwithstanding any other provision to the contrary, nothing herein shall constitute a waiver, express or implied, of any of the immunities, rights, benefits, protection, or other provisions of the Colorado Governmental Immunity Act, CRS §24-10- 101, et seq., as amended. Liability for claims for injuries to persons or property arising from the negligence of the State of Colorado, its departments, institutions, agencies, boards, officials, and employees is controlled and limited by the provisions of the Governmental Immunity Act and the risk management statutes, CRS §24-30-1501, et seq., as amended. 19. STATEWIDE CONTRACT MANAGEMENT SYSTEM If the maximum amount payable to the Local Workforce Region under this Agreement is $100,000 or greater, either on the Effective Date or at anytime thereafter, this §19 applies. The Local Workforce Region agrees to be governed, and to abide, by the provisions of CRS §24-102-205, §24-102-206, §24-103-601, §24-103.5-101 and §24-105-102 concerning the monitoring of vendor performance on state contracts and Page 12 of 25 CDLE Contract Routing m 14 KAA 54599 CMS tl 54599 inclusion of contract performance information in a statewide Contract Management System. The Local Workforce Region's performance shall be subject to Evaluation and Review in accordance with the terms and conditions of this Agreement, State law, including CRS §24-103.5-101, and State Fiscal Rules, Policies and Guidance. Evaluation and Review of the Local Workforce Region's performance shall be part of the normal contract administration process and the Local Workforce Region's performance will be systematically recorded in the statewide Contract Management System. Areas of Evaluation and Review shall include, but shall not be limited to quality, cost and timeliness. Collection of information relevant to the performance of the Local Workforce Region's obligations under this Agreement shall be determined by the specific requirements of such obligations and shall include factors tailored to match the requirements of the Local Workforce Region's obligations. Such performance information shall be entered into the statewide Contract Management System at intervals established herein and a final Evaluation, Review and Rating shall be rendered within 30 days of the end of the Agreement term. The Local Workforce Region shall be notified following each performance Evaluation and Review, and shall address or correct any identified problem in a timely manner and maintain work progress. Should the final performance Evaluation and Review determine that the Local Workforce Region demonstrated a gross failure to meet the performance measures established hereunder, the Executive Director of the Colorado Department of Personnel and Administration (Executive Director), upon request by the Colorado Department of Labor and Employment, and showing of good cause, may debar the Local Workforce Region and prohibit the Local Workforce Region from bidding on figure contracts. The Local Workforce Region may contest the final Evaluation, Review and Rating by: (a) filing rebuttal statements, which may result in either removal or correction of the evaluation (CRS §24-105- 102(6)), or (b) under CRS §24-105-102(6), exercising the debarment protest and appeal rights provided in CRS §§24-109- 106, 107, 201 or 202, which may result in the reversal of the debarment and reinstatement of the Local Workforce Region, by the Executive Director, upon a showing of good cause. 20. GENERAL PROVISIONS A. Assignment and Subcontracts The Local Workforce Region's rights and obligations hereunder are personal and may not be transferred, assigned or subcontracted without the prior, written consent of the State. Any attempt at assignment, transfer, or subcontracting without such consent shall be void. All assignments, subcontracts, or Subcontractors approved by the Local Workforce Region or the State are subject to all of the provisions hereof The Local Workforce Region shall be solely responsible for all aspects of subcontracting arrangements and performance. B. Binding Effect Except as otherwise provided in §20(A), all provisions herein contained, including the benefits and burdens, shall extend to and be binding upon the Parties' respective heirs, legal representatives, successors, and assigns. C. Captions The captions and headings in this Agreement are for convenience of reference only, and shall not be used to interpret, define, or limit its provisions. D. Counterparts This Agreement may be executed in multiple identical original counterparts, all of which shall constitute one agreement. E. Entire Understanding This Agreement represents the complete integration of all understandings between the Parties and all prior representations and understandings, oral or written, are merged herein. Prior or contemporaneous additions, deletions, or other changes hereto shall not have any force or effect whatsoever, unless embodied herein. F. Jurisdiction and Venue All suits, actions, or proceedings related to this Agreement shall be held in the State of Colorado and exclusive venue shall be in the City and County of Denver. G. Modification i. By the Parties Except as specifically provided in this Agreement, modifications of this Agreement shall not be effective unless agreed to in writing by the Parties in an amendment to this Agreement, properly executed and approved in accordance with applicable Colorado State law, State Fiscal Rules, and Office of the State Controller Policies. Modifications permitted under this Contract, other than Page 13 of 25 CDLE Contract Routing # 14 KAA 54599 CMS # 54599 contract amendments. shall conform with the Policies of the Office of the State Controller, including, but not limited to, the policy entitled MODIFICATIONS OF CONTRACTS - TOOLS AND FORMS. ii. By Operation of Law This Agreement is subject to such modifications as may be required by changes in Federal or Colorado State law, or their implementing regulations. Any such required modification automatically shall be incorporated into and be part of this Agreement on the effective date of such change. as if fully set forth herein. H. Order of Precedence The provisions of this Agreement shall govern the relationship of the Parties. In the event of conflicts or inconsistencies between this Agreement and its exhibits and attachments including, but not limited to, those provided by the Local Workforce Region, such conflicts or inconsistencies shall be resolved by reference to the documents in the following order of priority: i. Federal Funding Accountability and Transparency Act of 2006 ("FFATA"), if applicable ii. Colorado Special Provisions, iii. The provisions of the main body of this Agreement, iv. Exhibit D, Administrative Requirements and Funding Provisions v. Exhibit B, Local Plan vi. Executed Notices of Fund Availability vii. Executed Expenditure Authorization Documents viii. Executed Informal EA Modifications ix. Exhibits A, F -J I. Scverability Provided this Agreement can be executed and performance of the obligations of the Parties accomplished within its intent, the provisions hereof are severable and any provision that is declared invalid or becomes inoperable for any reason shall not affect the validity of any other provision hereof, provided that the Parties can continue to perform their obligations under this Contract in accordance with its intent.. J. Survival of Certain Agreement Terms Notwithstanding anything herein to the contrary, provisions of this Agreement requiring continued performance, compliance, or effect after termination hereof, shall survive such termination and shall be enforceable by the State if the Local Workforce Region fails to perform or comply as required. K. Taxes The State is exempt from all federal excise taxes under IRC Chapter 32 (No. 84-730123K) and from all State and local government sales and use taxes under CRS §§39-26-101 and 201 et seq. Such exemptions apply when materials are purchased or services rendered to benefit the State; provided however, that certain political subdivisions (e.g., City of Denver) may require payment of sales or use taxes even though the product or service is provided to the State. The Local Workforce Region shall be solely liable for paying such taxes as the State is prohibited from paying for or reimbursing the Local Workforce Region for such taxes. L. Third Party Beneficiaries Enforcement of this Agreement and all rights and obligations hereunder are reserved solely to the Parties. Any services or benefits which third parties receive as a result of this Agreement are incidental to the Agreement, and do not create any rights for such third parties. M. Waiver Waiver of any breach of a term, provision, or requirement of this Agreement, or any right or remedy hereunder, whether explicitly or by lack of enforcement, shall not be construed or deemed as a waiver of any subsequent breach of such term, provision or requirement, or of any other term, provision, or requirement. O. Governor's Executive Orders for Energy Conservation and the Environment Pursuant to Colorado Governor's Executive Orders DOI 107 and D012 07, State is committed to taking a leadership position in sustainability, energy conservation and efficiency, and all environmental issues that affect the health and well being of Colorado citizens. During the term of this Agreement, State encourages the Local Workforce Region and its subcontractors to consider environmental factors in all business and Page 14 of 25 CDLE Contract Routing # 14 KAA 54599 CMS # 54599 purchasing decisions and to consider giving preference to products and services that have a lesser or reduced effect on human health and the environment. P. CORA Disclosure To the extent not prohibited by federal law, this Contract and the performance measures and standards under CRS §24-103.5-101, if any, are subject to public release through the Colorado Open Records Act, CRS §24-72-101, et seq Q. Certifications' By signing this contract, the Local Workforce Region agrees to provide, comply with. and, if applicable, execute the certifications set forth in Exhibits F through J. R. Compliance with Federal and State Law In addition to Exhibit J, Standard Assurances, the Local Workforce Region assures and certifies that in administering programs under this Agreement, it will fully comply with the Workforce Investment Act of 1998, the Wagner-Peyser Act of 1933, the Jobs for Veterans Act of 2002, all regulations promulgated thereunder, and all other applicable laws executive orders, regulations, and policies, including, but not limited to, those listed below: i. For all grants, and subcontracts in excess of One Hundred Thousand Dollars ($100,000); or where the grant officer has determined that orders under an indefinite quantity contract or subcontract in any year will exceed One Hundred Thousand Dollars ($100,000); or, if a facility proposed for use by the Local Workforce Region has been the subject of a conviction under the Clean Air Act (42 U.S.C. 1857-8) (c)(1) or the Federal Water Pollution Control Act (33 U.S.C. 1319 [C]) and is listed by the Environmental Protection Agency (EPA) or is not otherwise exempt, the Local Workforce Region assures that: 1) No facility to be utilized in the performance of this Agreement has been listed on the EPA list of Violating Facilities; 2) It will notify the Local Workforce Region's Administrator, prior to any award, of the receipt of any communication from the Directors, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for this Agreement is under consideration to be listed on the EPA list of Violating Facilities; and 3) It will include this assurance, including this third part, in every non-exempt subcontract, agreement or subcontract. ii. All applicable provisions of Child Labor laws iii. All applicable provisions of safety standards of the Occupational Safety and Health Act (OSHA). iv. All applicable provisions of Part C of Title IV of the Social Security Act. v. All applicable provisions of the Military Selective Services Act. vi. All applicable provisions of §665, Title 18, United States Code, (Theft or embezzlement from employment and training funds; improper inducement; obstruction of investigations). vii. All applicable provisions of the Fair Labor Standards Act of 1938. viii. §§18-8-40I through 408, C.R.S., as amended, (Abuse of Public Office). ix. All applicable provisions of the Uniform Administrative Requirements located at 29 CFR Part 97 and Cost Principles for Grants and Agreements as promulgated in the Federal Common Rule, including but not limited to, OMB Circular A-21, A-87 (also covered by 2 CFR Part 225), A-102, A-110 (also covered by 2 CFR section 215) and A-122 (also covered by 2 CFR Section 230), and 48 CFR Part 31. x. The Local Workforce Region shall ensure that it, and its Subcontractors, if any, will comply with all provisions of the Single Audit Act Amendments of 1996 (Public Law 104-156) and OMB Circular A- 133. If the Local Workforce Region expends $500,000 or more of federal awards in the the Local Workforce Region's fiscal year, then the Local Workforce Region shall submit an audit report, made 11f the Local Workforce Region is unable to certify to any of the statements in these Exhibits to this Agreement, then the Local Workforce Region shall attach an explanation to this Agreement explaining why the Local Workforce Region cannot provide or otherwise comply with a given certification. Page IS of 25 CDLE Contract Routing # 14 KAA 54599 CMS /I 54599 in accordance with the Single Audit Act Amendments of 1996 (Public Law 104-156), OMB Circular A-133, and the applicable Audit PGL's, to the State within the earlier of thirty (30) calendar days after receipt of the auditor's report or nine (9) months after the end of the period audited. The Local Workforce Region shall establish an audit committee that engages an independent auditor, determines the services to be performed, reviews the progress of the audit and the final audit findings, and intervenes in any disputes between management and the independent auditors. The Local Workforce Region shall also institute policy and procedures for its Subcontractors that comply with these audit provisions. xi. Salary and Bonus Limitations. The Local Workforce Region shall comply with Public Law 11 1-117 requiring that none of the funds appropriated under the heading "Employment and Training" that are available for expenditures on or after June 15, 2006, shall be used by the Local Workforce Region or subrecipient of such funds to pay the salary and bonuses of an individual, either as direct costs or indirect costs, at a rate in excess of the Federal Executive Level I I, except as provided for under §101 of Public Law 109-149. This limitation shall not apply to vendors providing goods and services as defined in OMB Circular A-133. The Local Workforce Region shall refer to and comply with the United States Department of Labor's Training and Employment Guidance Letter Number 05-06 for Implementing the Salary and Bonus Limitations. xii. Federal Executive Order 13166 published August 11, 2000 for "Improving access to services for persons with limited English proficiency (LEP)" (65 FR 50121); United States Department of Labor regulations 29 CFR 31 requiring that all recipients of federal financial assistance provide meaningful access to LEP persons; and, United State Department of Labor, Employment and Training Administration Guidance Letter Number 26-02, addressing the development and implementation of a language assistance plan and providing guidance for complying with the Executive Order 13166 and Title VI, §601, of the Civil Rights Act of 1964. xiii. Buy American Notice Requirement. To the greatest extent practicable, all equipment and products purchased with funds made available under the Workforce Investment Act shall be American made. See WIA §505 Buy American Requirements. xiv. Compliance with State Law. The Local Workforce Region assures that it shall comply with all State laws, regulations, policies and directives, including Policy Guidance Letters. xv. Safeguard against Fraud. The Local Workforce Region shall administer its Workforce Development Programs in full compliance with all safeguards against fraud and abuse as set forth in Federal and State regulations. xvi. Adherence to Grievance Procedure. Pursuant to the requirements of each funding source, the Local Workforce Region shall follow all applicable federal regulations governing the resolution of grievances and complaints, including those grievances and complaints based on discrimination. The Local Workforce Region shall follow all applicable Policy Guidance Letters issued by the State concerning grievance procedures. xvii. 29 CFR Part 36 —Nondiscrimination on the Basis of Sex in Education Programs or Activities xviii. 29 CFR Part29 and 30- Labor Standards for the Registration of Apprenticeship Programs, and Equal Employment Opportunity in Apprenticeship and Training, as applicable. xix.2 CFR Part 170- Federal Funding Accountability and Transparency Act of 2006 (FFATA) (Public Law 109-282, as amended by section 6202 of Public Law 110-252) xx. Religious Freedom Restoration Act (RFRA), 42 United States Code Section 2000bb, which applies to all Federal law and its implementation. If an organization is a faith -based organization that makes hiring decisions on the basis of religious belief, it may be entitled to receive Federal financial assistance under the Title I of the Workforce Investment Act and maintain that hiring practice even though section 188 of the WIA contains a general ban on religious discrimination in employment. If such an organization is awarded a grant of Federal funds, that organization must request an exemption from this law from the USDOL. xxi. Publicity. No funds provided under this grant shall be used for publicity or propaganda purposes, for the preparation, distribution or use of any kit, pamphlet, booklet, publication, radio, television or film presentation designed to support or defeat legislation pending before the Congress, except in presentation to the Congress itself. Nor shall grant funds be used to pay the salary or expenses of any Page 16 of 25 CDLE Contract Routing # 14 KAA 54599 CMS # 54599 grant or agreement awardee or agent acting for such awardee. related to any activity designed to influence legislation or appropriations pending before Congress. xxii. Public Announcements. When issuing statements, press releases, requests for proposals. bid solicitations, and other documents describing project or programs funded in whole or in part with Federal money, the Local Workforce Region shall clearly state: I) the percentage of the total cost of the program or project which will be financed with Federal money, and 2) the dollar amount of Federal funds for the project or program. xxiii. Executive Order 12928. In compliance with Executive Order 12928, the Local Workforce Region is strongly encouraged to provide subcontracting/subgranting opportunities to Historically Black Colleges and Universities and other Minority Institutions, such as, Hispanic Serving Institutions and Tribal Colleges and Universities; and, to Small Businesses Owned and Controlled by Socially and Economically Disadvantaged Individuals. xxiv. Evaluation, Data, and Implementation. The Local Workforce Region agrees to cooperate with the U.S. Department of Labor (USDOL) in the conduct of a third -party evaluation, including providing to USDOL or its authorized contractor appropriate data and access to program operating personnel and participants in a timely manner. xxv. ACORN Prohibition. Section 511 of the Consolidated Appropriations Act, 2010 (P.L. 111-117, Division E)("CAA"), requires that no direct or indirect funding from the Consolidated Appropriations Act may be provided to the Association of Community Organizations for Reform Now ("ACORN") or any of its subsidiaries through Federal grant recipients, contractors, or subrecipients/subcontractors. USDOL is required to take steps so that no Federal Funds from the Consolidated Appropriations Act, 2010, are awarded or obligated by USDOL grant recipients, contractors, or subrecipients/subcontractors to ACORN or its subsidiaries as subgrantees, subcontractors, or other subrecipients. This prohibition applies not only to a direct recipient of Federal funds, but also to a subrecipient (e.g. a subcontractor, subgrantee, or contractor of a Local Workforce Region). xxvi. Executive Order 13333: Trafficking in Persons. This Agreement may be terminated without penalty, if the Local Workforce Region or any subcontractor (i) engages in severe forms of trafficking in persons or has procured a commercial sex act during the period of time that the grant, contract, or cooperative agreement is in effect, or (ii) uses forced labor in the performance of the grant, contract, or cooperative agreements (22 U.S.C. 7104(g)). xxvii. Special Requirements for Conferences and Conference Space: The Local Workforce Region must obtain prior approval from the United States Department of Labor before holding any conference (which includes meeting, retreat, seminar, symposium, training activity, or similar event held in either Federal or non -Federal space), or any activity related to holding a conference, including, but not limited to, obligating or expending Federal funds, signing contracts for space or services, announcing USDOL's involvement in any conference, and using USDOL Official's name or USDOL's name or logo. USDOL retains the right to obtain information from the subrecipient about any conference that is funded in whole or in part with Federal funds. xxviii. Seat Belts: Pursuant to Executive Order (EO) 13043 (April 16, 1997), Increasing the Use of Seat Belts in the United States, subrecipients are encouraged to adopt and enforce on-the-job seat belt policies and programs for their employees when operating vehicles, whether organizationally owned or rented or personally owned. xxix. Executive Order 13513: Sec. 4. Text Messaging While Driving by Government Contractors, Subcontractors, and Recipients and Subrecipients. Contractors, subcontractors, and recipients and subrecipients are encouraged to adopt and enforce policies that ban text messaging while driving company -owned or -rented vehicles or Government -owned, Government -leased, or Government - rented vehicles, or while driving privately -owned vehicles when on official Government business or when performing any work for or on behalf of the Government, and to conduct initiatives of the type described in section 3(a) of the Executive Order. S. Unilateral And Bilateral Documents: Use Of The NFA, EA, And Informal EA Modification Forms Page 17of25 CDLE Contract Routing # 14 KAA 54599 CMS ft 54599 i. The NFA, EA, and Informal EA Modification are amendment forms and modify this Agreement when executed. The use of NFAs, EAs, Informal EA Modifications are further described below, in Exhibit D and in any applicable State -issued PGLs. NFAs. a. As agreed to between the State and the Local Workforce Region, unilateral NFAs will be utilized for formula allocated funds. Upon execution of this Agreement, the original EA, and any applicable executed modifications or amendments to this Agreement, the Parties agree that the State may unilaterally increase or decrease funds up to two hundred fifty thousand dollars ($250,000.00) and/or extend the period of performance of a previously executed EA through the issuance of the Notice of Fund Availability (NFA), after compliance with the terms of 20S.ii.b. This process is referred to as a "Unilateral NFA process" and work performance may begin upon the date indicated in the Unilateral NFA. For funding amounts that increase or decrease funding more than two hundred fifty thousand dollars ($250,000.00), a formal (i.e. bilateral signatures) EA Modification shall be required for execution prior to the Local Workforce Region incurring costs or performing work. b. Prior to issuing an NFA, the State shall communicate with the Director of the Local Workforce Region ("Director") to provide information and a rationale for the NFA's funding allocation(s) and/or modifications to the period of performance. Increases and decreases of funding allocations shall be mutually agreed to by both parties prior to the State's issuance of a unilateral NFA that implements such changes. Acceptance of decreases in funding shall be confirmed in writing by the designated County official or the Director of the Local Workforce Region and submitted to the Workforce Programs, Policy and Strategic Initiatives Director or designee. c. For non -formula allocated discretionary grants, the Local Workforce Region shall submit an original bilateral EA in response to an NFA prior to incurring costs or performing work. Work performance may begin upon execution of the EA. d. For funding reductions issued under an NFA that are covered by Section §7.B.ii. "Available Funds — Contingency- Termination", the Local Workforce Region shall proceed in submitting an EA, a formal EA modification, or an informal EA modification form, as applicable. iii. EA Scope of Work. The parties shall mutually agree upon the content of the Original EA, a formal EA modification, and each informal Expenditure Authorization (EA) Modification and any attachments prior to execution. Each party shall comply with the terms and conditions of the Agreement, and the Local Workforce Region agrees to successfully perform the scope of work included in the original EA or as stated in any applicable executed modifications and/or amendments to the Agreement. iv. Informal EA Modification Form. The parties further agree that the Informal Expenditure Authorization (EA) Modification form shall be a unilateral Agreement, signed by the Director or County Official of the Local Workforce Region, submitted to the State as authorized by the Unilateral NFA process described herein and in Exhibit D or pursuant to explicit procedures described in a State -issued PGL v. Delegated Signature Authority. The Local Workforce Region agrees to provide the necessary delegated authority for the Director of the Local Workforce Region or County Official to execute any informal EA modifications and any acceptance of any NFA which modifies funding up to two hundred fifty thousand dollars ($250,000.00) on behalf of the Local Workforce Region. Verification of such authority shall be provided to the State pursuant to Section 12.6 above. THE REST OF THIS PAGE INTENTIONALLY LEFT BLANK Page 18 of 25 CDLE Contract Routing # 14 KAA 54599 CMS # 54599 21. COLORADO SPECIAL PROVISIONS These Special Provisions apply to all contracts except where noted in italics. (As used in these Special Provisions, the term "contract" also means "agreement") 1. CONTROLLER'S APPROVAL. CRS §24-30-202 (1). This contract shall not be deemed valid until it has been approved by the Colorado State Controller or designee. 2. FUND AVAILABILITY. CRS §24-30-202(5.5). Financial obligations of the State payable after the current fiscal year are contingent upon funds for that purpose being appropriated, budgeted, and otherwise made available. 3. GOVERNMENTAL IMMUNITY. No term or condition of this contract shall be construed or interpreted as a waiver, express or implied, of any of the immunities, rights, benefits, protections, or other provisions, of the Colorado Governmental Immunity Act, CRS §24-10-101 et seq., or the Federal Tort Claims Act, 28 U.S.C. §§1346(b) and 2671 et seq., as applicable now or hereafter amended. 4. INDEPENDENT CONTRACTOR Contractor shall perform its duties hereunder as an independent contractor and not as an employee. Neither Contractor nor any agent or employee of Contractor shall be deemed to be an agent or employee of the State. Contractor and its employees and agents are not entitled to unemployment insurance or workers compensation benefits through the State and the State shall not pay for or otherwise provide such coverage for Contractor or any of its agents or employees. Unemployment insurance benefits will be available to Contractor and its employees and agents only if such coverage is made available by Contractor or a third party. Contractor shall pay when due all applicable employment taxes and income taxes and local head taxes incurred pursuant to this contract. Contractor shall not have authorization, express or implied, to bind the State to any agreement, liability or understanding, except as expressly set forth herein. Contractor shall (a) provide and keep in force workers' compensation and unemployment compensation insurance in the amounts required by law, (b) provide proof thereof when requested by the State, and (c) be solely responsible for its acts and those of its employees and agents. 5. COMPLIANCE WITH LAW. Contractor shall strictly comply with all applicable federal and State laws, rules, and regulations in effect or hereafter established, including, without limitation, laws applicable to discrimination and unfair employment practices. 6. CHOICE OF LAW. Colorado law, and rules and regulations issued pursuant thereto, shall be applied in the interpretation, execution, and enforcement of this contract. Any provision,incltided or incorporated herein by reference which conflicts with said laws, rules, and regulations shall be null and void. Any provision incorporated herein by reference which purports to negate this or any other Special Provision in whole or in part shall not be valid or enforceable or available in any action at law, whether by way of complaint, defense, or otherwise. Any provision rendered null and void by the operation of this provision shall not invalidate the remainder of this contract, to the extent capable of execution. 7. BINDING ARBITRATION PROHIBITED. The State of Colorado does not agree to binding arbitration by any extra -judicial body or person. Any provision to the contrary in this contract or incorporated herein by reference shall be null and void. 8. SOFTWARE PIRACY PROHIBITION. Governor's Executive Order D 002 00. State or other public funds payable under this contract shall not be used for the acquisition, operation, or maintenance of computer software in violation of federal copyright laws or applicable licensing restrictions. Contractor hereby certifies and warrants that, during the term of this contract and any extensions, Contractor has and shall maintain in place appropriate systems and controls to prevent such improper use of public funds. If the State determines that Contractor is in violation of this provision, the State may exercise any remedy available at law or in equity or under this contract, including, without limitation, immediate termination of this contract and any remedy consistent with federal copyright laws or applicable licensing restrictions. Page 19of25 CDLE Contract Routing # 14 KAA 54599 CMS # 54599 9. EMPLOYEE FINANCIAL INTEREST/CONFLICT OF INTEREST. CRS §§24-18-201 and 24- 50-507. The signatories aver that to their knowledge, no employee of the State has any personal or beneficial interest whatsoever in the service or property described in this contract. Contractor has no interest and shall not acquire any interest, direct or indirect, that would conflict in any manner or degree with the performance of Contractor's services and Contractor shall not employ any person having such known interests. 10. VENDOR OFFSET. CRS §§24-30-202 (1) and 24-30-202.4. [Not applicable to intergovernmental agreements] Subject to CRS §24-30-202.4 (3.5), the State Controller may withhold payment under the State's vendor offset intercept system for debts owed to State agencies for: (a) unpaid child support debts or child support arrearages; (b) unpaid balances of tax, accrued interest, or other charges specified in CRS §39-21-101, et seq.; (c) unpaid loans due to the Student Loan Division of the Department of Higher Education; (d) amounts required to be paid to the Unemployment Compensation Fund; and (e) other unpaid debts owing to the State as a result of final agency determination or judicial action. 11. PUBLIC CONTRACTS FOR SERVICES. CRS §8-17.5-101. [Not applicable to agreements relating to the offer, issuance, or sale of securities, investment advisory services or fund management services, sponsored projects, intergovernmental agreements, or information technology services or products and services' Contractor certifies, warrants, and agrees that it does not knowingly employ or contract with an illegal alien who will perform work under this contract and will confirm the employment eligibility of all employees who are newly hired for employment in the United States to perform work under this contract, through participation in the E -Verify Program or the Department program established pursuant to CRS §8-17.5-102(5)(c), Contractor shall not knowingly employ or contract with an illegal alien to perform work under this contract or enter into a contract with a Subcontractor that fails to certify to Contractor that the Subcontractor shall not knowingly employ or contract with an illegal alien to perform work under this contract. Contractor (a) shall not use E -Verify Program or Department program procedures to undertake pre -employment screening of job applicants while this contract is being performed, (b) shall notify the Subcontractor and the contracting State agency within three days if Contractor has actual knowledge that a Subcontractor is employing or contracting with an illegal alien for work under this contract, (c) shall terminate the subcontract if a subcontractor does not stop employing or contracting with the illegal alien within three days of receiving the notice, and (d) shall comply with reasonable requests made in the course of an investigation, undertaken pursuant to CRS §8- 17.5-102(5), by the Colorado Department of Labor and Employment. If Contractor participates in the Department program, Contractor shall deliver to the contracting State agency, Institution of Higher Education or political subdivision, a written, notarized affirmation, affirming that Contractor has examined the legal work status of such employee, and shall comply with all of the other requirements of the State program. If Contractor fails to comply with any requirement of this provision or CRS §8-17.5-101 et seq., the contracting State agency, institution of higher education or political subdivision may terminate this contract for breach and, if so terminated, Contractor shall be liable for damages. 12. PUBLIC CONTRACTS WITH NATURAL PERSONS. CRS §24-76.5-101. Contractor, if a natural person eighteen (18) years of age or older, hereby swears and affirms under penalty of perjury that he or she (a) is a citizen or otherwise lawfully present in the United States pursuant to federal law, (b) shall comply with the provisions of CRS §24-76.5-101 et seq., and (c) has produced one form of identification required by CRS §24-76.5-103 prior to the effective date of this Agreement. SPs Effective 1/1/09 THE REST OF THIS PAGE INTENTIONALLY LEFT BLANK Page 20,o125 CDLE Contract Routing # 14 KAA 54599 CMS f 54599 22. State of Colorado Supplemental Provisions for Federally Funded Contracts, Grants, and Purchase Orders Subject to The Federal Funding Accountability and Transparency Act of 2006 (FFATA), As Amended Revised as of 3-20-13 The contract, grant, or purchase order to which these Supplemental Provisions are attached has been funded, in whole or in part, with an Award of Federal funds. In the event of a conflict between the provisions of these Supplemental Provisions, the Special Provisions, the contract or any attachments or exhibits incorporated into and made a part of the contract, the provisions of these Supplemental Provisions shall control. 1. Definitions. For the purposes of these Supplemental Provisions, the following terms shall have the meanings ascribed to them below. 1.1. "Award" means an award of Federal financial assistance that a non -Federal Entity receives or administers in the form of: 1.1.1. Grants; 1.1.2. Contracts; 1.1.3. Cooperative agreements, which do not include cooperative research and development agreements (CRDA) pursuant to the Federal Technology Transfer Act of 1986, as amended (15 U.S.C. 3710); 1.1.4. Loans; 1.1.5. Loan Guarantees; 1.1.6. Subsidies; 1.1.7. Insurance; 1.1.8. Food commodities; 1.1.9. Direct appropriations; 1.1.10. Assessed and voluntary contributions; and 1.1.11. Other financial assistance transactions that authorize the expenditure of Federal funds by non -Federal Entities. Award does not include: 1.1.12. Technical assistance, which provides services in lieu of money; 1.1.13. A transfer of title to Federally -owned property provided in lieu of money; even if the award is called a grant; 1.1.14. Any award classified for security purposes; or 1.1.15. Any award funded in whole or in part with Recovery funds, as defined in section 1512 of the American Recovery and Reinvestment Act (ARRA) of 2009 (Public Law 111-5). 1.2. "Contract" means the contract to which these Supplemental Provisions are attached and includes all Award types in §1.1.1 through 1.1.11 above. 1.3. "Contractor" means the party or parties to a Contract funded, in whole or in part, with Federal financial assistance, other than the Prime Recipient, and includes grantees, subgrantees, Subrecipients, and borrowers. For purposes of Transparency Act reporting, Contractor does not include Vendors. 1.4. "Data Universal Numbering System (DUNS) Number" means the nine -digit number established and assigned by Dun and Bradstreet, Inc. to uniquely identify a business entity. Dun and Bradstreet's website may be found at: http://fedgov.dnb.com/webform. 1.5. "Entity" means all of the following as defined at 2 CFR part 25, subpart C; 1.5.1. A governmental organization, which is a State, local government, or Indian Tribe; 1.5.2. A foreign public entity; 1.5.3. A domestic or foreign non-profit organization; 1.5.4. A domestic or foreign for-profit organization; and Page 21 of 25 CDLE Contract Routing # 14 KAA 54599 CMS # 54599 1.5.5. A Federal agency, but only a Subrecipient under an Award or Subaward to a non -Federal entity. 1.6. "Executive" means an officer, managing partner or any other employee in a management position. 1.7. "Federal Award Identification Number (FAIN)" means an Award number assigned by a Federal agency to a Prime Recipient. 1.8. "FFATA" means the Federal Funding Accountability and Transparency Act of 2006 (Public Law 109- 282), as amended by §6202 of Public Law 110-252. FFATA, as amended, also is referred to as the "Transparency Act." 1.9. "Prime Recipient" means a Colorado State agency or institution of higher education that receives an Award. 1.10. "Subaward" means a legal instrument pursuant to which a Prime Recipient of Award funds awards all or a portion of such funds to a Subrecipient, in exchange for the Subrecipient's support in the performance of all or any portion of the substantive project or program for which the Award was granted. 1.11. "Subrecipient" means a non -Federal Entity (or a Federal agency under an Award or Subaward to a non -Federal Entity) receiving Federal funds through a Prime Recipient to support the performance of the Federal project or program for which the Federal funds were awarded. A Subrecipient is subject to the terms and conditions of the Federal Award to the Prime Recipient, including program compliance • requirements. The term "Subrecipient" includes and may be referred to as Subgrantee. 1.12. "Subrecipient Parent DUNS Number" means the subrecipient parent organization's 9 -digit Data Universal Numbering System (DUNS) number that appears in the subrecipient's System for Award Management (SAM) profile, if applicable 1.13. "Supplemental Provisions" means these Supplemental Provisions for Federally Funded Contracts, Grants, and Purchase Orders subject to the Federal Funding Accountability and Transparency Act of 2006, As Amended, as may be revised pursuant to ongoing guidance from the relevant Federal or State of Colorado agency or institution of higher education. 1.14. "System for Award Management (SAM)" means the Federal repository into which an Entity must enter the information required under the Transparency Act, which may be found at http://www.sam.gov. 1.15. "Total Compensation" means the cash and noncash dollar value earned by an Executive during the Prime Recipient's or Subrecipient's preceding fiscal year and includes the following: 1.15.1. Salary and bonus; 1.15.2. Awards of stock, stock options, and stock appreciation rights, using the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2005) (FAS 123R), Shared Based Payments; 1.15.3. Earnings for services under non -equity incentive plans, not including group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of Executives and are available generally to all salaried employees; 1.15.4. Change in present value of defined benefit and actuarial pension plans; 1.15.5. Above -market earnings on deferred compensation which is not tax -qualified; 1.15.6. Other compensation, if the aggregate value of all such other compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property) for the Executive exceeds $10,000. 1.16. "Transparency Act" means the Federal Funding Accountability and Transparency Act of 2006 (Public Law 109-282), as amended by §6202 of Public Law 110-252. The Transparency Act also is referred to as FFATA. 1.17 "Vendor" means a dealer, distributor, merchant or other seller providing property or services required for a project or program funded by an Award. A Vendor is not a Prime Recipient or a Subrecipient and is not subject to the terms and conditions of the Federal award. Program compliance requirements do not pass through to a Vendor. Page 22 of 25 CDLE Contract Routing # 14 KAA 54599 CMS If 54599 2. Compliance. Contractor shall comply with all applicable provisions of the Transparency Act and the regulations issued pursuant thereto, including but not limited to these Supplemental Provisions. Any revisions to such provisions or regulations shall automatically become a part of these Supplemental Provisions, without the necessity of either party executing any further instrument. The State of Colorado may provide written notification to Contractor of such revisions, but such notice shall not be a condition precedent to the effectiveness of such revisions. 3. System for Award Management (SAM) and Data Universal Numbering System (DUNS) Requirements. 3.1. SAM. Contractor shall maintain the currency of its information in SAM until the Contractor submits the final financial report required under the Award or receives final payment, whichever is later. Contractor shall review and update SAM information at least annually after the initial registration, and more frequently if required by changes in its information. 3.2. DUNS. Contractor shall provide its DUNS number to its Prime Recipient, and shall update Contractor's information in Dun & Bradstreet, Inc. at least annually after the initial registration, and more frequently if required by changes in Contractor's information. 4. Total Compensation. Contractor shall include Total Compensation in SAM for each of its five most highly compensated Executives for the preceding fiscal year if: 4.1. The total Federal funding authorized to date under the Award is $25,000 or more; and 4.2. In the preceding fiscal year, Contractor received: 4.2.1. 80% or more of its annual gross revenues from Federal procurement contracts and subcontracts and/or Federal financial assistance Awards or Subawards subject to the Transparency Act; and 4.2.2. $25,000,000 or more in annual gross revenues from Federal procurement contracts and subcontracts and/or Federal financial assistance Awards or Subawards subject to the Transparency Act; and 4.3. The public does not have access to information about the compensation of such Executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d) or § 6104 of the Internal Revenue Code of 1986. 5. Reporting. Contractor shall report data elements to SAM and to the Prime Recipient as required in §7 below if Contractor is a Subrecipient for the Award pursuant to the Transparency Act. No direct payment shall be made to Contractor for providing any reports required under these Supplemental Provisions and the cost of producing such reports shall be included in the Contract price. The reporting requirements in §7 below are based on guidance from the US Office of Management and Budget (OMB), and as such are subject to change at any time by OMB. Any such changes shall be automatically incorporated into this Contract and shall become part of Contractor's obligations under this Contract, as provided in §2 above. The Colorado Office of the State Controller will provide summaries of revised OMB reporting requirements at http://www.colorado.gov/dpa/dfp/sco/FFATA.htm. 6. Effective Date and Dollar Threshold for Reporting. The effective date of these Supplemental Provisions apply to new Awards as of October 1, 2010. Reporting requirements in §7 below apply to new Awards as of October 1, 2010, if the initial award is $25,000 or more. If the initial Award is below $25,000 but subsequent Award modifications result in a total Award of $25,000 or more, the Award is subject to the reporting requirements as of the date the Award exceeds $25,000. If the initial Award is $25,000 or more, but funding is subsequently de -obligated such that the total award amount falls below $25,000, the Award shall continue to be subject to the reporting requirements. 7. Subrecipient Reporting Requirements. If Contractor is a Subrecipient, Contractor shall report as set forth below. 7.1 ToSAM. A Subrecipient shall register in SAM and report the following data elements in SAM for each Federal Award Identification Number no later than the end of the month following the month in which the Subaward was made: 21. 7.1.1 Subrecipient DUNS Number; 22. 7.1.2 Subrecipient DUNS Number + 4 if more than one electronic funds transfer (EFT) Page 23 of 25 CDLE Contract Routing if 14 KAA 54599 CMS it 54599 account; 23. 7.1.3 Subrecipient Parent DUNS Number; 24. 7.1.4 Subrecipient's address, including: Street Address, City, State, Country, Zip + 4, and Congressional District; 25. 7.1.5 Subrecipient's top 5 most highly compensated Executives if the criteria in §4 above are met; and 7.1.6 Subrecipient's Total Compensation of top 5 most highly compensated Executives if criteria in §4 above met. 7.2 To Prime Recipient. A Subrecipient shall report to its Prime Recipient, upon the effective date of the Contract, the following data elements: 26. 7.2.1 Subrecipient's DUNS Number as registered in SAM. 27. 7.2.2 Primary Place of Performance Information, including: Street Address, City, State, Country, Zip code + 4, and Congressional District. 8. Exemptions. 28. 8.1. These Supplemental Provisions do not apply to an individual who receives an Award as a natural person, unrelated to any business or non-profit organization he or she may own or operate in his or her name. 29. 8.2 A Contractor with gross income from all sources of less than $300,000 in the previous tax year is exempt from the requirements to report Subawards and the Total Compensation of its most highly compensated Executives. 8.3 Effective October 1, 2010, "Award" currently means a grant, cooperative agreement, or other arrangement as defined in Section 1.1 of these Special Provisions. On future dates "Award" may include other items to be specified by OMB in policy memoranda available at the OMB Web site; Award also will include other types of Awards subject to the Transparency Act. 8.4 There are no Transparency Act reporting requirements for Vendors. 9. Event of Default. Failure to comply with these Supplemental Provisions shall constitute an event of default under the Contract and the State of Colorado may terminate the Contract upon 30 days prior written notice if the default remains uncured five calendar days following the termination of the 30 day notice period. This remedy will be in addition to any other remedy available to the State of Colorado under the Contract, at law or in equity. Page 24 of 25 CDLE Contract Routing ft 14 KAA 54599 23. SIGNATURE PAGE CMS # 54599 THE PARTIES HERETO HAVE EXECUTED THIS AGREEMENT * Persons signing for Contractor hereby swear and affirm that they are authorized to act on Contractor's behalf and acknowledge that the State is relying on their representations to that effect. THE BOARD OF COUNTY COMMISSIONERS OF WELD COUNTY By: Douglas Rademacher Title: Chair Protein STATE OF COLORADO John W. Hickenlooper, Governor Colorado Department of Labor and Employment Ellen Golombek, Executive Director 007 (q r_ l- r By: William B. Dowling, Director Division of Employment and Training Date: / 9 ` i 5 •Signature q Date: SFP 3 n 2013 2nd The Local Workforce Region Signature if Needed By: Title: LEGAL REVIEW John W. Suthers, Attorney General By: Signature - Assistant Attorney General Date: *Signature Date: ALL CONTRACTS REQUIRE APPROVAL BY THE STATE CONTROLLER CRS §24-30-202 requires the State Controller to approve all State Contracts. This Contract is not valid until signed and dated below by the State Controller or delegate. Contractor is not authorized to begin performance until such time. If Contractor begins performing prior thereto, the State of Colorado is not obligated to pay Contractor for such performance or for any goods and/or services provided hereunder. By: STATE CONTROLLER ROBE4AROS, CPA, BA, JD r/` Shawn G. Milne, /State C troller Delegate Date: ( J • Page 25 of 25 revs -07 255 CDLE Contract Routing # 14 KAA 54599 CMS # 54599 Exhibit A AGREEMENT DEFINITIONS 1. ADULT — An individual who is 18 years or older except when the individual is between the ages of IS and 22 and meets the eligibility qualifications of a "disadvantaged youth" pursuant to the WIA Section 127 (b)(2); and except for formula allocation purposes which determines an adult as 22 years to 72 years pursuant to the WIA Section 132(6). 2. CASH REQUEST FORM - A cash request form is a printout of the Cash Request Account in the Financial Tracking and Reporting System, which includes a listing of open cash balances for all funding sources provided for Workforce Development Programs. 3. CONNECTING COLORADO — The case management tracking and reporting system that serves Colorado statewide in all of the Workforce Centers and associated statewide programs. It also provides the ability for Workforce Centers and their partners to track all federal, state and local programs in one common database. The system also includes self-service internet-based functionality, the separate databases used for tracking the work opportunity Tax Credit (WOTC) and Trade Readjustment Assistance (TRA) programs, and the contract/financial tracking system. 4. CONTRACTOR - any type of corporation, partnership, limited liability company, public agency, other entity, or natural person that enters into a contract with the CDLE, the Local Workforce Region or a Subcontractor under the WIA. One who contracts to do work for another. Throughout this Agreement, the term The Local Workforce Region is interchangeable with the term Contractor and/or Subrecipient. 5. DISCRETIONARY GRANTS — 1) are provided for statewide workforce investment activities; 2) are supported by funds reserved by the Governor pursuant to the WIA and WP Acts, as well as by Employment Support Funds appropriated by the State legislature; 3) are issued by the State at the State's discretion and not allocated pursuant to a statutory formula or other negotiated formula; 4) are provided for workforce investment activities, such as performance incentives, capacity building, technical assistance, program evaluations, and the development and implementation of special initiatives and/or special projects; and 5) are grants which may or may not have been awarded pursuant to a solicition for grant proposal process. Discretionary grants also include awards to the Local Workforce Region from stand-alone federal discretionary grants that have been awarded to the State, the allocated amounts for which may be specified within the Federal grant document. 6. DISLOCATED WORKER — The term "dislocated worker" means an individual who: A. (i) has been terminated or laid off, or who has received a notice of termination or layoff, from employment; or (ii) has exhausted entitlement to unemployment compensation, or has been employed for a duration sufficient to demonstrate attachment to the workforce but who is not eligible for unemployment compensation due to insufficient earnings or the employer was not covered under State unemployment compensation law; or (iii) is unlikely to return to a previous industry or occupation; or B. (i) has been terminated or laid off, or who has received a notice of termination or layoff, from employment as a result of any permanent closure of, or any substantial layoff at, a plant, facility. or enterprise; or (ii) is employed at a facility at which the employer has made a general announcement that such facility will close within 180 days; or (iii) for eligibility purposes to receive services other than training services, intensive services, and supportive services, is employed at a facility at which the employer has made a general announcement that such facility will close; or C. was self-employed but is unemployed as a result of general economic conditions in the community in which the individual resides or because of natural disasters; or Page 1 of4 CDLE Contract Routing # 14 KAA 54599 CMS 11 54599 D. is a displaced homemaker. 7. DISPLACED HOMEMAKER — an individual who has been providing unpaid services to family members in the home and who has been dependent on the income of another family member but is no longer supported by that income; and is unemployed or underemployed and is experiencing the difficulty in obtaining or upgrading employment. 8. e-COLORADO.ORG - Colorado's internet-based resource center that provides: information on workforce development programs and policies; employment and training resources and services for workforce center clients, including, individual ePortfolios, individual development plans, self -assessments, courses that are integrated with the individual development plan, and academic transcripts, etc.; a multi -media, digital resource center; training for the professional workforce development community; team rooms supporting collaboration among Colorado's workforce development professionals statewide; and other supporting functions promoting the exchange of ideas and information related to workforce development issues. 9. ELIGIBLE YOUTH —except for the Job Corps and other National Programs, an eligible youth means an individual who is between the ages of 14 and 21; is a low-income individual; and is an individual who is one or more of the following: deficient in basic literacy skills; a school dropout; homeless, runaway, or a foster child; pregnant or a parent; an offender; or an individual who requires additional assistance to complete an educational program, or to secure and hold employment. 10. EMPLOYMENT SERVICES - Also known as labor exchange services, these services are delivered under the Wagner-Peyser Act and include self-help resources, staff -assisted services for job seekers and employers, job matching, job orders, job search workshops, vocational guidance, labor market information, job referrals, and other services related to employment and training. 11. LEVERAGED RESOURCES — The Subrecipient's share of costs expended on allowable Agreement activities and any Federal funds from other sources that are expended on allowable activities related to a non - formula allocated, discretionary grant award. Leveraged resources include allowable matching costs (cash match and in -kind contributions), allowable non -matching costs, and non -allowable costs. 12. LOCAL WORKFORCE INVESTMENT BOARD (LWIB) — A policy -making group for the local workforce investment system, the members of which are appointed by the chief elected official of a local area. 13. MEMORANDUM OF UNDERSTANDING (MOU) - An agreement developed and executed between the Local Workforce Investment Board, with the approval of the chief elected official, and the One -Stop partners relating to the operation of the One -Stop delivery system in the local area. 14. MIGRANT SEASONAL FARM WORKER (MSFW) - A seasonal farm worker (or food processing worker) who must travel to do farm work so that he/she is unable to return to his/her permanent residence within the same day. Full-time students traveling in organized groups rather than with their families are excluded. 15. ONE -STOP AUTOMATION SYSTEM - The Statewide computer system which includes, but is not limited to, the following components: Participant/Client Tracking, Connecting Colorado, Contract Management, Financial reporting, and Accounting systems. 16. ONE -STOP DELIVERY SYSTEM - A seamless system of service delivery that is created through the collaboration of entities responsible for separate workforce development funding sources (also known as the American Job Center network). 17. ONE -STOP PARTNERS (required) - Entities that carry out the workforce development programs and which are required to participate in the One -Stop delivery system pursuant to the Workforce Investment Act. Page 2 of 4 CDLE Contract Routing # 14 KAA 54599 CMS # 54599 18. PARTICIPANT - An individual who has been determined to be eligible to participate in workforce development programs funded by this Agreement, and who is receiving services through the workforce center. Participation shall be deemed to commence on the first day, following determination of eligibility, on which the individual began receiving subsidized employment, training, or other services provided under this Agreement. 19. PERFORMANCE STANDARDS - Performance Standards (also known as performance measures or performance indicators) are measurement indicators used to evaluate the performance of The Local Workforce Region's Workforce Development Programs funded under this Agreement. Performance standards include those measurement indicators identified in the Workforce Investment Act or other Federal laws and regulations and those program -specific indicators negotiated at the State and Local levels. 20. PERSON WITH A DISABILITY - An individual who: has a physical (motion, vision, hearing) or mental (learning or developmental) impairment which substantially limits one or more of that person's major life activities; has a record of such an impairment; or is regarded as having such an impairment (as defined in Section 3 of the Americans with Disabilities Act of 1990). 21. POLICY GUIDANCE LETTER (PGL) - Policy Guidance Letters are documents issued by the State and disseminated via the Internet to the workforce regions, identifying policies and procedures that must be followed in operating and implementing Workforce Development Programs under this Agreement. PGL's may articulate step-by-step instructions for new procedures, identify portions of an existing policy that are being revised, and provide program information and guidance to the workforce regions. 22. PROGRAM YEAR - The term used to identify the one-year period from July 1 through June 30. For example, Program Year 2013 (PY 13) is the time period of July 1, 2013 through June 30, 2014. The Program Year is overlapped by the next Federal Fiscal Year that extends from October 1 to September 30. For example, Program Year 2013 (PY 13) is overlapped by the Federal Fiscal year 2014 (FY14). 23. REQUIRED PROGRAM ELEMENTS - Services, program components, and resources which must be made available by the The Local Workforce Region pursuant to the applicable laws and regulations for each funding source. The required program elements are identified in the funding provisions or statement of work for each funding source identified in this Agreement, in any state -issued NFA letters, and in any executed EAs. 24. SIGNIFICANT MIGRANT SEASONAL FARM WORKER (MSFW) LOCAL OFFICES - Workforce regions designated annually by the United States Department of Labor Employment and Training Administration (ETA) and including those local workforce centers where MSFWs account for 10% or more of annual applicants and those local workforce centers which the ETA determines should be included due to special circumstances such as an estimated large number of MSFWs in the local workforce region. 25. SIGNIFICANT BILINGUAL MIGRANT SEASONAL FARM WORKER (MSFW) LOCAL OFFICES - Workforce regions designated annually by the United States Department of Labor Employment and Training Administration (ETA) and including those significant MSFW local offices where 10% or more of MSFW applicants are estimated to require service provisions in Spanish. 26. STATE WORKFORCE INVESTMENT BOARD (SWIB) — A Governor -appointed board serving to assist in the development and implementation of a State workforce investment plan. In Colorado the State Workforce Investment Board is known as the "Colorado Workforce Development Council" or "CWDC". 27. TRADE -EFFECTED WORKER - Trade -effected worker (otherwise known as adversely -effected worker pursuant to the Trade Act of 1974) means an individual who was employed in a firm at which the workers are certified under the Trade Act as eligible to apply for Trade Adjustment Assistance (TAA) benefits, and who was totally or partially separated from such employment due to lack of work. Page 3 of 4 CDLE Contract Routing_ # 14 KAA 54599 CMS # 54599 28. VETERANS' PRIORITY OF SERVICE - The term 'veterans' priority of service', for the purpose of employment and training programs provided under this Agreement, means the right of eligible covered persons to be identified and made aware of their eligibility for priority of service at the point of entry to workforce development programs or services so they can take full advantage of priority of service, and, to take precedence over eligible non -covered persons in obtaining services in all qualified job training programs defined as "any workforce preparation , development or delivery program or service that is directly funded, in whole or part by the United States Department of Labor," which includes receipt of job referrals, training opportunities, and other employment -related services. The eligible covered person shall receive access to the service or resource earlier in time than the eligible non -covered person; or, if the service or resource is limited, the eligible covered person shall receive access to the service or resource instead of or before the eligible non -covered person. Priority of service is to be applied across three different types of qualified job training programs: I) universal access programs that do not target specific groups; 2) discretionary targeting programs that focus on certain groups but are not mandated to serve target group members before other eligible individuals; and, 3) statutory targeting programs that are mandated by federal law to provide priority or preference to certain groups. 29. WAGNER-PEYSER ACT —1'he Wagner-Peyser Act provides Federal funding for statewide labor exchange services that include self-service, facilitated self-help services, and staff assisted services for job seekers and employers. 30. WORKFORCE CENTER — A One -Stop delivery system office that provides integrated workforce development services in a One -Stop delivery system environment to the residents of a region. 31. WORKFORCE INVESTMENT ACT OF 1998 (Public Law 105-220) — An act to consolidate and improve Federal employment training, literary, and vocational rehabilitation programs in the U.S., and for other workforce development purposes. 32. WORKFORCE REGION - A workforce investment area that makes up a single labor market area, economic development region or other appropriate contiguous subarea of a State, which has been designated as a workforce investment area by the Governor and which complies with the Workforce Investment Act (W IA) regulations 20 CFR Part 652, Sections 661.250 through 661.290. 33. YOUTH COUNCIL - A subgroup of the Local Workforce Investment Board responsible for coordinating local youth activities, developing portions of the local youth plan, conducting oversight with respect to eligible providers of local youth activities, and carrying out other duties authorized by the chair of the LWIB. THE REST OF THIS PAGE INTENTIONALLY LEFT BLANK Page 4 of 4 Exhibit B PY 13 Local Plan Modification Signature Page Workforce Region: CMS ft Address: City/State/Zip This Exhibit B provides the Local Plan required under the Workforce Investment Act of 1998 (WIA) for implementation starting in Program Year 2013. This Local Plan shall be implemented to cover the interim period until the Workforce Investment Act of 1998 (WIA) is reauthorized. We certify that all planned activities under the Local Plan are presented here for implementation beginning July I, 2013 for Program Year 2013-2014. By: Local Elected Official Date Chair, Board of County Commissioners By: Local Workforce Investment Board, Date Chair By: Workforce Region Director Date ADDITIONAL APPROVALS: By: Local Elected Official Date Chair, Board of County Commissioners By: [Name, Title] Date Page I of I Exhibit C Local Workforce Region: WDP Agreement CMS/4: EXPENDITURE AUTHORIZATION (EA) Program/Project Coordinator: Phone Number: This Expenditure Authorization (EA) covers the following Funding Streams: Workforce Region: NAME CMS# Funding Source Term Vax # $ Amount PYXX WIA Adult 10/1/13 to 6/30/15 50.00 PYXX WIA Youth 10/1/13 to 6/30/15 x0.00 PYXX WIA Dislocated Worker 10/1/13 to 6/30/15 50.00 PYXX Wagner Peyser 10/1/13 to 6/30/14 50.00 Total EA 50.00 This Expenditure Authorization has been reviewed and approved by the following parties and will be incorporated into the Workforce Development Programs (WDP) Agreement as an attachment and is subject to the provisions of the executed WDP Agreement referenced above. This Expenditure Authorization is not valid until it has been approved by the State Controller or designee. By By Local Elected Official Date Chair, Board of County Commissioners Local Workforce Investment Date Board, Chair Title: By: William B. Dowling, Director Date Division of Employment and Training Colorado Dept. of Labor and Employment By: Date By: By: Workforce Center, Director Date Date Title: ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER CRS 24-30-202 requires that the State Controller approve all state contracts. This contract is not valid until the State Controller, or such assistant as he may delegate, has signed it. Subject to the provisions of the executed WDP Agreement, the contractor is not authorized to begin performance until the contract is signed and dated below. If performance begins prior to the date below, the State of Colorado may not be obligated to pay for the goods and/or services provided. STATE CONTROLLER: ROBERT JAROS. CPA. MBA. JD By Date Page 1 of 10 Exhibit C Local Workforce Region: WDP Agreement CMS#: NFA# 13-XX I. BUDGET CHARTS: Workforce Region: NAME CMS# Funding Source Term Vax # $ Amount PYXX Wagner Peyser 7/1/13 to 6/30/14 DDDD $0.00 Workforce Region: NAME Funding Stream: PY13 Adult Period of Performance: 7/1/13 - 6/30/15 Revised Period of Performance: Original Allocation: $000,000.00 Vax # Original Program Budget: $0,000.00 Original Admin Budget: $0.00 Transfer In (+): $00.000 From Fund Year and Name: Transfer Out (-): ($00.00) To Fund Year and Name: Cost Category Approved Current Budget Transfer In/Out (+/-) Or Adjustment (+/-) Revised Budget Admin $0.00 $0.00 Program $0.00 $0.00 DW-Admin (transfer in) $0.00 $0.00 DW-Program (transfer in) $0.00 50.00 25% Enh DW Admin (transfer in) $0.00 $0.00 25% Enh DW Prog (transfer in) $0.00 $0.00 Total Program $0.00 $0.00 Workforce Region: NAME Funding Stream: PY13 Youth Period of Performance: 7/1/13 - 6/30/15 _ Revised Period of Performance: Original Allocation: $000,000.00 Vax # Original Program Budget: $0,000.00 Original Admin Budget: $0,000.00 Revised Budget Cost Category Approved Current Budget Changes In/Out (+/-) Admin $0.00 $0.00 Out -of -School $0.00 $0.00 In -School $0.00 $0.00 ` Total Program $0.00 $0.00 Page 2 of 10 Exhibit C Local Workforce Region: WDP Agreement CMS#: II. BUDGET INFORMATION: A. This EA includes a transfer between the Adult and Dislocated Worker/25% Enhanced Dislocated Worker funding streams. B. This EA covers a Discretionary Grant. 1. The Line Item Budget for this Discretionary Grant is included in the Approved Grant Proposal which is attached to this EA (required). The Line Item Budget for this Discretionary Grant is as follows: Budget Line Items Planned Expenditures Salaries, Fringe Benefits, Travel Equipment Supplies Subcontracting arrangements Operating/Overhead Direct Training Program Related Supportive Services Other Participant Related Services Total Cumulative Expenditures IIL STATEMENT OF WORK: A. H The Statement of Work for this EA is as follows: 1. Describe the services, program activities, and/or training that will be provided using these funds. Identify whether the primary focus is participant services, program planning, capacity building, supportive services, training, etc., and/or if there are specific intended outcomes. 2. Program Integration. If this is a discretionary grant, describe how this discretionary grant is leveraged by and integrated with other workforce development and/or other partner programs. Include a description of the value added as a result of this leveraging and integration. 3. If this EA includes a transfer between the Adult and Dislocated Worker/25% Enhanced Dislocated Worker funding streams, explain the impact of this transfer on program activities and performance outcomes for each program (e.g. how will the participant numbers or carry in numbers change, what will the impact be on the program versus administrative budgets, projected quarterly expenditures, etc.). B. Li The Statement of Work for this EA is included in the attached Discretionary Grant Proposal. C. Refer to page numbers: The Performance Outcomes for this EA are identified in the Program Charts in Section VII of this EA. Page 3 of 10 Exhibit C Local Workforce Region: WDP Agreement CMS#: D. H The Performance Outcomes for this EA are included in the attached Discretionary Grant Proposal or are included in D.1. below in an Alternative Performance Outcomes Chart required by the specific discretionary grant. Refer to page numbers: 1. If the Performance Outcomes are not identified in the Program Charts or in the attached approved Discretionary Grant proposal, describe the performance outcomes that shall be completed with these funds and insert the Alternative Performance Outcomes Chart here. IV. EA MODIFICATION(S): A. Lf This EA Increases the amount of funding. B. ❑ This EA Decreases the amount of funding. C. H This EA Modifies the Budget The Purpose and Rationale for this modification is: D. ❑ This EA modifies the Budget Line items for the Discretionary Grant as shown in the Table Below: Budget Line Items Planned Expenditures Salaries, Fringe Benefits, Travel Equipment Supplies Subcontracting arrangements Operating/Overhead Direct Training & Program Related Supportive Services Other Participant Related Services Total Cumulative Expenditures E. ❑ This EA Modifies the Statement of Work 1. The Purpose and Rationale for this modification is: 2. The Impact of this modification on the Delivery of Services, Program Activities, and Training is: F. ❑ Changes to the Performance Outcomes are shown in the modified Program Charts in Section VII of this EA or here in the Alternative Performance Outcomes Chart required by the specific discretionary grant. V. OTHER PROGRAM REQUIREMENTS OR SPECIFIC FUNDING PROVISIONS The services provided and work performed as described in this EA document shall be completed pursuant to the terms and conditions of the WDP Agreement and any Federal and State laws and requirements, including, but not limited to, Federal guidance documents, relevant State -issued Policy Guidance Letters, Program Information and Operations Manuals, and/or specifications identified in the Notice of Fund Availability (NFA) or in the funding provisions below. Page 4 of 10 Exhibit C Local Workforce Region: WDP Agreement CMS#: A. ❑ The following Additional Funding Provisions apply to this EA: (Add NFA funding provisions here). B. This EA includes the following subcontracting arrangements for delivery of services: (See definition in the EA PGL Attachment A). C. This EA includes the following Other Internal Financial Resources to support this initiative/discretionary grant: (See definition in the EA PGL Attachment A). D. This EA includes the following Other External Financial Resources to support the initiative/discretionary grant: (See definition in the EA PGL Attachment A). E. ❑ There is a Cost Sharing/Match Requirement for this Grant. Cost Sharing/Matching/Leverage Summary Table Name of Collaborating Entity Planned Contribution(s) Match Source (Federal/State/Private) evera g Type of Leverage (Cash, In -kind, Staff Time, Materials/Supplies. Other) VI. PROJECTED QUARTERLY EXPENDITURES - CUMULATIVE FOR PY13 Funding Stream: WIA Adult (include all years of Adult funding estimated to be spent during PY13) Expenditures 1st Quarter Projections July Ito September 30, 2013 2nd Quarter Projections October Ito December 31, 2013 3rd Quarter Projections January Ito March 31, 2014 4th Quarter Projections April Ito June 30, 2014 Administration Program Total Carry In/Carry Out N/A N/A Funding Stream: WIA Dislocated Worker (include all years of DW and Enhanced DW funding vv .. ..rte ..... ...... ...� Expenditures 1st Quarter Projections July Ito September 30, 2013 2nd Quarter Projections October Ito December 31, 2013 3rd Quarter Projections January l to March 31, 2014 4th Quarter Projections April 1 to June 30, 2014 Administration Program Total Carry In/Carry Out N/A N/A Funding Stream: WIA Youth (include all years of Youth funding estimated to be spent during PY13) Expenditures 1st Quarter Projections July 1 to September 30. 2013 2nd Quarter Projections October Ito December 31, 3rd Quarter Projections January Ito March 31. 4th Quarter Projections April 1 to June 30, 2014 Page 5 of 10 Exhibit C Local Workforce Region: WDP Agreement CMS#: 2013 2014 Administration Program Total Carry In/Carry Out N/A N/A Funding Stream: PY13 Wagner-Peyser (include any carry in funding from prior Program Yd ear estimateto Expenditures 1st Quarter Projections July 1 to September 30, 2013 2nd Quarter Projections October 1 to December 31, 2013 3rd Quarter Projections January l to March 31, 2014 4th Quarter Projections April Ito June 30, 2014 Program Carry In/Carry Out N/A N/A Funding Stream: NAME OF Protect (include additional quarters if the grant is longer than one year) Expenditures 1st Quarter Projections Enter quarter date range in which the grant begins 2nd Quarter Projections Enter the second quarter date range of the grant 3rd Quarter Projections Enter the third quarter date range of the grant 4th Quarter Projections Enter the fourth quarter date range of the grant Administration Program Total VII. PLANNED PARTICIPATION SUMMARY — Program and Year: PY13 WIA Adult In each category, indicate the total cumulative number of Adults to be served with all years of WIA funds being spent during the current Program Year. Submit a revised chart when changes in planned participant numbers occur. Note: Performance outcomes shall not be changed for any quarter that has already been completed or is within one month of being completed. CATEGORY 1ST QUARTER July 1 to September 30, 2013 2ND QUARTER October 1 to December 31, 2013 3RD QUARTER January 1 to March 31, 2014 4TH QUARTER April 1 to June 30, 2014 Total Participants* I Carry In Enter total carry in from first quarter here Enter total carry in from first quarter here Enter total carry in from first quarter here New Entered Employment Rate' 2 76% Employment Retention Rate* 2 $6% Average Earnings/Wage* 2 $ 17,000 NOTE: Only those items with an ASTERISK * above will be formally monitored based on planned versus actual numbers. All other items are for the purpose of reviewing program delivery strategies. Page 6 of 10 Exhibit C Local Workforce Region: WDP Agreement CMS#: PLANNED PROGRAM ACTIVITIES - CUMULATIVE CATEGORY 1ST QUARTER July l to September 30. 2013 2ND QUARTER October I to December 31.2013 3RD QUARTER January I to March 31. 201 4 411-I QUARTER I April 1 to June 30, 2014 Training Services Participants (#)' Training Completions (#)' n/a n/a nia Training Related Placements (%)' n/a n/a n/a NOTE: 1. CDLE uses the ConnectingColorado Activity Summary Report (AS) to track planned versus actual for this item 2. CDLE uses the ConnectingColorado WIA Common Measures Report (CO) to track planned versus actual for this item Page 7 of I 0 Exhibit C Local Workforce Region: WDP Agreement CMS#: PLANNED PARTICIPATION SUMMARY - CUMULATIVE [ Program and Year: PY13 Dislocated Worker In each category, indicate the total cumulative number of Dislocated workers to be served with all years of WIA funds being spent during the current Program Year. Submit a revised chart when changes in planned participant numbers occur. Note: Performance outcomes shall not be changed for any quarter that has already been completed or is within one month of being completed. 1 CATEGORY 1ST QUARTER July 1 to September 30, 2013 2ND QUARTER October I to December 31. 2013 3RD QUARTER January 1 to March 3l. 2014 4TH QUARTER April I to June 30.2014 Total Participants* Carry In Enter total carry in from first quarter here Enter total carry in from first quarter here Enter total carry in from first quarter here New Entered Employment Rate* 2 80% Employment Retention Rate* 2 87% Average Earnings/1Vage* 2 521.500 NOTE: Only those items with an ASTERISK * above will be formally monitored based on planned versus actual numbers. All other items are for the purpose of reviewing program delivery strategies. GRAM ACTIVITIES - CUMULATIVE CATEGORY 1ST QUARTER July 1 to September 30, 2013 2ND QUARTER October I to December 31.2013 3RD QUARTER January 1 to March 31, 2014 4TH QUARTER April 1 to June 30, 2014 Training Services Participants (#) Training Completions (#) a nfat n/a n/a Training Related Placements (%) 1 n/a n/a n/a NOTE: 1. CDLE uses the ConnectingColorado Activity Summary Report (AS) to track planned versus actual for this item 2. CDGE uses the ConnectingColorado WIA Common Measures Report (CO) to track planned versus actual for this item Page 8 of 10 Exhibit C Local Workforce Region: WDP Agreement CMS#: PLANNED PARTICIPATION SUMMARY - CUMULATIVE Program and Year: PY13 All Youth Combined In each category, indicate the total cumulative number of Youth to be served with all years of WIA Youth funds being spent during the current Program Year. Submit a revised chart when changes in planned participant numbers occur. Note: Performance outcomes shall not be changed for any quarter that has already been completed or is within one month of being completed. CATEGORY 1 ST QUARTER July 1 to September 30, 2013 2ND QUARTER October 1 to December 31, 2013 3RD QUARTER January 1 to March 31, 2014 4TH QUARTER April 1 to June 30, 2014 Total Participants* ' Carry In Enter total carry in from first quarter here Enter total carry in from first quarter here Enter total carry in from first quarter here New Placement in Employment or Education* 2 68% Attainment of a Degree or Certificate* 2 69% Literacy & Numeracy Gains` ` 49% Training Services Participants (4)' Training Completions (#)' ii/a n/a n/a Training Related Placements (%) ' • n/a n/a n/a NOTE: Only those items with an ASTERISK * above will be formally monitored based on planned versus actual numbers. All other items are for the purpose of reviewing program delivery strategies. 1. CDLE uses the ConnectingColorado Activity Summary Report (AS) to track planned versus actual for this item (Program Code Y* which includes the program code YT for new PY13 enrollments). 2. CDLE uses the ConnectingColorado WIA Common Measures Report (CO) to track planned versus actual for this item. Page 9 of 10 Exhibit C Local Workforce Region: WDP Agreement CMS#: PLANNED PARTICIPATION SUMMARY — CUMULATIVE Program and Year: PY13 Wagner-Peyser In each category, indicate the total cumulative number of customers to be served with all years of Wagner Peyser funds being spent during the current Program Year. Submit a revised chart when changes in planned participant numbers occur. Note: Performance outcomes shall not be changed for any quarter that has already been completed or is within one month of being completed. CATEGORY* 1ST QUARTER July Ito September 30, 2013 2ND QUARTER October 1 to December 31, 2013 3RD QUARTER January 1 to March 31, 2014 4TI-I QUARTER April 1 to June 30, 2014 Total Participants Entered Employment Rate* ' 50% Employment Retention Rate* I 77% Average Earnings/Wage* I 515,000 Total Employers Served Total Job Openings Received NOTE: Only those items with an ASTERISK * above will be formally monitored based on planned versus actual numbers. All other items are for the purpose of reviewing program delivery strategies. 1. CDLE uses the ConnectingColorado ES9002 report to track planned versus actual for all items except Total Employers Served. CDLE uses the Employers Served report found on Connecting Colorado - Reports -Other Queries to track planned versus actual for Total Employers Served. Page 10 of I0 CATS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS PART 1 - ADMINISTRATIVE REQUIREMENTS 1.1 General Administrative Requirements —Statement of Work In accordance with the Workforce Investment Act of 1998, (W IA) any funds appropriated under Title I — Workforce Investment Systems and Title III -Workforce Investment -Related Activities, which includes the Wagner-Peyser (WP) Act of the WIA, are provided pursuant to a State -approved Local Plan (Local Plan), with services provided as part of a One -Stop delivery system established by the State. The Local Workforce Region is authorized by the State to provide workforce development programs for the Adult, Youth, Dislocated Worker, and Wagner Peyser formula allocated programs pursuant to the Local Plan, incorporated herein as Exhibit B, which has been approved by the State, and to provide services and implement initiatives using WIA and/or Wagner Peyser discretionary grants, and/or other State- or Federally -funded discretionary grants pursuant to an NFA and approved original Expenditure Authorization document (EA). The Local Workforce Region agrees to perform, in a professional manner, the obligations and responsibilities described in this Agreement as required for each funding source identified in this Exhibit D or in any State -issued NFA. For any changes to the Statement of Work, the objective of the Agreement, or dollar amount of funding, the Local Workforce Region shall submit to the State an EA modification pursuant to the provisions in this Agreement, in the sections below. and/or in the current EA PGL to obtain approval prior to implementing any changes. All modifications to this Agreement, effected through a contract amendment, an NFA, and/or an EA modification, shall be executed pursuant to §20.G and/or §20.S of this Agreement, as applicable. A. Duties and Obligations of the Local Workforce Region The Local Workforce Region shall: Serve as fiscal agent and administrative entity for the workforce region's One -Stop Workforce Center(s) and be fiscally responsible for the expenditure and use of all funds disbursed pursuant to this Agreement in accordance with all applicable laws, rules, regulations, and relevant Policy Guidance Letters (PGLs) issued by the State; it. Coordinate and ensure the appointment of members of a Local Workforce Investment Board (LWIB) and a local Youth Council in accordance with state and federal laws and regulations; In conjunction with the LWIB, ensure that there is at least one local workforce center to be operated as the One -Stop Workforce Center for their workforce region; iv. Obtain all required reviews and approvals for the Local Plan prior to its submission to the State; v. Maintain compliance with the terms and conditions of this Agreement, an approved local plan, executed EAs, written state policies, and PGLs governing operation of the One -Stop Workforce Center(s), and all other applicable federal and state requirements; vi. Meet additional performance standards set by the LWIB for the workforce region and develop and offer additional services to supplement those mandatory services required under the terms of this Agreement; vii. Conform to policy guidelines set by the LWIB for the efficient and effective operation of the One -Stop Workforce Center(s), and permit performance monitoring of its daily activities by the LWIB to supplement and enhance state monitoring activities; viii. Ensure that services are accessible to persons with disabilities and take into consideration factors such as location, availability of public transportation to and from center locations, appropriate methods of service delivery, etc.; ix. Ensure that a full range of services is available for special populations such as youth, migrant and seasonal farm workers, veterans, persons with disabilities, older workers, limited English proficient workers, and minorities; and ensure that veterans priority of service is provided in the delivery of all Federal programs; Page 1 of 28 CMSff 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS x. Use best efforts to ensure the development and execution of a Memorandum of Understanding (MOU) between the LWIB and the One -Stop Partners concerning the delivery of required programs and activities referred to in §121(b) of the Workforce Investment Act and pursuant to the MOU requirements referred to in §121(c) of the WIA; xi. Comply with the State's property management procedures and all relevant PGLs issued by the State and maintain proper inventory control over all nonexpendable supplies and property valued at 85,000 or greater, which were purchased with WIA funds; xii. Assure that with respect to any adverse employment action (other than de minimis actions) taken in the case of any employee funded in whole or in part with Wagner-Peyser funds, including discipline or termination, that Local Workforce Region shall provide a meaningful review process to such employee. Such process shall include, at a minimum: 1) an opportunity to have a meeting with a supervisor, where the nature of the charges will be explained and the employee will be allowed to respond, and 2) a subsequent opportunity to be heard before a neutral decision -maker that includes the ability to be represented by counsel and to present evidence; and xiii. Ensure that language assistance services are made available to individuals with English language barriers. B. Funding Funds appropriated for the Adult, Youth, Dislocated Worker, and Wagner Peyser formula allocated programs are provided pursuant to the approved Local Plan (Exhibit B), requiring that services be provided as part of a One -Stop delivery system established by the State. In addition to the funds provided for the basic activities identified in this Agreement, the State may provide additional funds to the Local Workforce Region for the purposes of amendments and modifications of allocated funds, performance incentives, services to groups with special needs, and other workforce development programs. Funds appropriated for WIA and/or Wagner Peyser programs, and/or other State- or Federally -funded discretionary grants shall be identified in a Notice of Fund Availability (NFA) letter (see section 1.1.F below) and shall be expended by the Local Workforce Region pursuant to an approved original EA or EA Modification. C. Restrictions on Funding In conjunction with restrictions noted below, spending authority not expended by the Local Workforce Region within the period of performance identified in a State -issued NFA shall be deobligated and recaptured by the State. Spending authority recaptured may be reallocated by the State to the workforce region for use in the next program year(s) up through the Federal grant expiration date. These restrictions apply to all maximum amounts of spending authority for each funding stream provided to the Local Workforce Region under this Agreement. D. Discretionary Funds For discretionary funds awarded as a result of a Grant Application Process or other vendor selection process, the Local Workforce Region agrees to deliver services pursuant to the scope of work, performance measures, and program budget, outlined in the approved "Grant Application Proposal". The Local Workforce Region agrees to adhere to any other specific requirements for the use of discretionary funds as identified in the "Grant Application Proposal", the vendor selection announcement, the NFA, and/or any applicable PGLs. E. Supplemental Federal and/or State Funding. In the event that the State is granted supplemental federal and/or state funding for the purpose of implementing additional workforce development programs and/or workforce development -related projects or in support of similar activities, and the Local Workforce Region agrees to deliver services or perform work related to such programs, projects, and/or activities, the State may make those funds available under this Agreement. Page 2 of 28 CMS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS Workforce development -related programs, projects, and similar activities may include federally funded programs of other State departments or special federal discretionary grants received by the State (e.g. the Colorado Department of Human Services Temporary Aid to Needy Families (TANF) Program; Vocational Rehabilitation programs; the Trade Adjustment Act (TAA) Program; National Emergency Grants; Ex - Offender initiatives; Veterans Employment and Training Programs; and, Energy, Healthcare, or other Federal High -Growth Industries Initiatives, etc.). Funding may be provided in support of overhead, operating, and/or program costs related to these programs and/or other employment and training activities. The State shall issue an NFA, which includes specific funding provisions applicable to the specified funds, and the Local Workforce Region shall submit an original EA that includes a detailed statement of work, work plan, and financial budget for those funds. Any such funding provided by the State to the Local Workforce Region shall be accounted for and reported on pursuant to requirements of this Agreement. Performance outcomes and program reporting related to such funding shall comply with the provisions of this Agreement and any federal and state laws, rules, regulations, and policies, as applicable. The Local Workforce Region shall be responsible for maintaining compliance with any such applicable federal and state laws, rules, regulations, and policies for each supplemental funding source provided under this Agreement. F. Notice of Fund Availability (NFA) Prior to the disbursement of any funds, the State shall issue to the Local Workforce Region an NFA, incorporated herein as Exhibit E. i. "Notice of Fund Availability" for formula allocated funding means a unilateral commitment document, substantially similar to that attached hereto as Exhibit E, issued from the State to the Local Workforce Region to provide original allocations of funds, any increases or decreases in funding up to Two Hundred Fifty Thousand Dollars ($250,000.00), and/or extensions of grant periods of performance, and to authorize the Local Workforce Region to expend funds and perform Work pursuant to this Agreement. (In the case where funding exceeds an increase or decrease over Two Hundred Fifty Thousand Dollars ($250,000.00), the NFA serves as a notice of funding that requires the execution of an original EA or formal EA modification (i.e.bilateral commitment document) to authorize the Local Workforce Region to expend funds and perform Work pursuant to this Agreement). The NFA summarizes the State's total obligation to the Local Workforce Region of funds by funding source and provides spending authority to the Local Workforce Region subject to the provisions of this Agreement. ii. "Notice of Fund Availability" for non -formula allocated funding means a notice of funding, substantially similar to that attached hereto as Exhibit E, issued from the State to the Local Workforce Region to provide original allocations of funds, any increases or decreases in funding, and/or extensions of grant periods of performance, and which requires the execution of an original EA or formal EA modification (i.e.bilateral commitment document) to authorize the Local Workforce Region to expend funds and perform Work pursuant to this Agreement. The NFA summarizes the State's total obligation of funding by funding source to the Local Workforce Region subject to the provisions of this Agreement. An original bilateral EA must be executed in response to an NFA prior to incurring costs or performing work. Each NFA is established in a numbering series related to this Agreement and may be provided for a period of performance that extends beyond the current Program Year but may not extend beyond the term of this Agreement. v. The NFA provides specific or additional funding provisions based on the Federal and/or State laws and/or program requirements covering the specific funding stream or discretionary grant, if such funding provisions are not otherwise stated in this Exhibit D. Page 3 of 28 CMS# 5-1599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS 1.2. PAYMENTS AND ADMINISTRATIVE STANDARDS AND PROCEDURES To ensure accurate financial tracking, reporting, monitoring and oversight of Federal and State funds, the Local Workforce Region shall follow additional guidance related to this Section 1.2 as outlined in relevant State -issued PGLs. A. Original Expenditure Authorization (EA) An Original EA provides the required statement of work with performance measures for each funding stream allocated to the Local Workforce Region through an NFA and is required to be executed prior to the disbursement of funds. The original EA is a bilateral agreement signed by the State and the Local Workforce Region. Following the receipt of an NFA, the Local Workforce Region shall submit an original EA to the State, pursuant to the provisions of this Agreement and applicable PGLs. The original EA shall be submitted to the State electronically for review and approval by the State prior to submitting signed copies to the State for processing. The Local Workforce Region shall secure appropriate signatures on the original EA as required by the provisions of this Agreement and/or applicable PGLs. Original EAs require the signature of the Chair of the Board of County Commissioners, the Chief Elected Official (CEO), the Mayor, or their designee; the Chair of the LWIB; the Workforce Center Director; the State's Executive Director or designee; and the State Controller or designee. For EA's of less than Two Hundred Fifty Thousand Dollars ($250,000.00) only the Workforce Center Director or a designated County official and the Chair of the LWIB are required to sign the EA for the Local Workforce Region subject to the designated County official's or Local Workforce Region Director's legal signature authority to bind the Local Workforce Region in contracts and or purchases. iv. The Local Workforce Region shall comply with its own internal signature process. Should the Local Workforce Region's internal signature process be more restrictive than this provision, the Local Workforce Region's internal signature process shall prevail. v. Each EA is expressly made subject to approval by the State and the State Controller or designee, and once approved, becomes an amendment to this Agreement. The EA is not valid until it has been approved by the State Controller or designee. In no way shall the period of performance under an EA exceed the term end date of this Agreement. vi. The Local Workforce Region may receive reimbursements for expenditures pursuant to State laws, regulations, and PGLs covering funds issued via NFAs and pursuant to executed EAs. Once the EA has been fully executed, the Local Workforce Region may submit a Cash Request to the State to draw down funds using the Cash Request Form as identified by the State. Cash draw down requests shall be submitted to the State, at least monthly and may be submitted as frequently as weekly, pursuant to the procedures outlined in the EA PGL and the Subrecipient Financial Procedures PGL. B. Incurring Costs and Commencement of Services and/or Work to be Performed Upon receipt of the NFA, except in the cases of non -formula allocated discretionary grants or budget modifications that change the total dollars by more than $250,000.00, the Local Workforce Region may begin to expend funds and provide services as required by the funding provisions identified in the NFA or herein within Exhibit D, beginning on the start date of the period of performance identified on the NFA. For NFAs covering non -formula allocated discretionary grants or budget modifications that change the total dollars by more than $250,000.00, the Local Workforce Region may not initiate services nor may costs be incurred until the Original EA for these funds has been fully executed. Page 4 of 28 CMS# 54599 Exhibit D PYI3 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS C. Formal EA Modification The Original EA may be modified, as needed, to increase or decrease funds, extend the EA period of performance, and make changes to the Statement of Work, subject to State laws, policies and procedures. ii. A formal EA modification is required when the total amount of funding added or reduced for the EA is more than Two Hundred Fifty Thousand dollars ($250,000.00) and/or there is a reduction greater than fifteen per cent (15%) of the planned participant numbers established in the Original EA. All other EA modifications not requiring a formal signature process may be done following the Informal EA Modification procedures described in paragraph 1.2.D below. iv. Any formal EA modification is expressly made subject to approval by the State, and the State Controller or designee if applicable, and once executed, becomes an amendment to this Agreement. Upon proper execution and approval of the formal EA modification, the Local Workforce Region may begin work related to the modified terms of the EA. v. If changes in labor market conditions, funding, or other factors require substantial deviation from the approved Local Plan, then the LWIB and appropriate legal authorized signatory, as defined in §117 of the WIA, shall submit an EA modification of the Local Plan including a modification of the budget, which shall be subject to review in accordance with the WIA, §118 and in accordance with State laws, policies, and procedures. An Informal EA Modification may be used for this purpose except in the case where there is a reduction greater than fifteen per cent (15%) of the planned participant numbers established in the Original EA; in that case, a formal EA Modification shall be submitted. D. Informal EA Modification. When a formal EA modification is not required, the Local Workforce Region may use an Informal EA Modification process to execute changes to the EA. The Local Workforce Region shall submit an Informal EA Modification form, attached herein as Exhibit K, signed by the Director or County official of the Local Workforce Region and approved by the State. The Informal EA Modification shall include, at minimum, an explanation of what is being changed, a justification for that change, reference to the funding stream Financial Tracking and Reporting System account number, and an explanation of the impact of the change on the Statement of Work, expenditures, and/or performance measures or project outcomes, as applicable. ii. The Informal EA Modification may be used to execute modifications to an original EA under the following circumstances: a) When an NFA initiates the need for an EA modification, except in the cases when the total amount of funding added or reduced for an EA is more than Two Hundred Fifty Thousand dollars ($250,000.00) and/or there is a reduction greater than fifteen per cent (15%) of the planned participant numbers established in the Original EA; b) When the Local Workforce Region requests an EA modification; or c) Other circumstances not requiring a formal EA modification. E. Maintenance of Integrity in the Expenditure of Public Funds The Local Workforce Region shall take every reasonable course of action to maintain the integrity of the expenditure of public funds and to avoid any favoritism, conflict of interest, or other questionable or improper conduct. The Local Workforce Region shall administer this Agreement in an impartial manner, free from personal, financial, political, or other questionable or improper gain or motive. In administering this Agreement, the Local Workforce Region, its executive staff, and employees, shall avoid situations Page 5 of 28 CMS# 54599 Exhibh D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS which give rise to a suggestion that any decision of the Local Workforce Region was influenced by prejudice, bias, special interest, or personal gain. F. The Local Workforce Region Funds Notwithstanding any other provision herein, the terms of this Agreement do not require the expenditure of any Local Workforce Region funds. The Local Workforce Region is only required to expend funds under this Agreement to the extent federal and state funds are provided to the Local Workforce Region by the State. G. Performance Standards The Local Workforce Region shall comply with all minimum performance criteria negotiated with the State. Upon request by the State, the Local Workforce Region shall provide such data as the State may request for purposes of evaluating the Local Workforce Region's compliance with those minimum performance requirements. Each LWIB has the discretion to add additional local standards to the State's minimum performance standards as long as those local standards are not inconsistent with federal or state law, this Agreement, or written policies established by the State. The Local Workforce Region shall perform any necessary data collection and evaluation for such additional local standards. H. Subcontracting The Local Workforce Region shall not subcontract the performance of any part of its duties which relate to the administration of funds under this Agreement except in accordance with the terms of this Agreement or with the prior written consent of the State approving the subcontractor. The Local Workforce Region may enter into subcontracts to carry out the work performed under this Agreement unless specifically stated otherwise in this Agreement. iii. For any subcontracts entered into by the Local Workforce Region for procured services and/or special purchases in support of the goals and outcomes of formula allocated and non -formula allocated grants, an EA or EA modification shall be executed and signed off by the State Controller, prior to any subcontractor beginning work and/or incurring costs, Additionally, subcontracts shall be fully executed prior to the subcontractor beginning work. I. Conduct of Financial Accounting If the State determines that the record keeping system of the Local Workforce Region does not comply with federal guidelines, then the State may conduct a financial accounting of the Local Workforce Region's records, either through its staff, an accounting firm, or a bank approved by the State. All costs incurred by the State in conducting a financial accounting of the Local Workforce Region's records shall be deducted on a monthly basis from other administrative funds allocated to the Local Workforce Region. 1.3 ADDITIONAL REPORTING PROCEDURES Reports and analysis required under this section shall be in accordance with procedures and in such format as prescribed by the State. A. Reporting Compliance The Local Workforce Region shall meet all applicable federal and state reporting requirements for each of the workforce development programs funded through this Agreement. The Local Workforce Region shall refer to the Subrecipient Financial Procedures PGL for specific financial procedures and instructions. B. Expenditure Reports On a monthly basis, the Local Workforce Region shall report expenditures to the State using the Expense Report Form provided by the State. Each month's reports are due to the State no later than the 25th of the month following. The State reserves the right to change the due date of this report to meet its State and/or federal reporting requirements. C. Obligation Reports On a monthly basis, and in conjunction with the requirements of § I.3.B, above, "Expenditure Reports", The Local Workforce Region shall report obligations to the State, using the Expense and Obligation Report form provided by the State, for each of the funds provided under this Agreement. Page 6 of 28 CMS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS D. Leveraged Resources Reports On a quarterly basis, the Local Workforce Region shall report costs of leveraged resources to the State using the Stand -In Costs/Leveraged Resources Report Form provided by the State. Leveraged Resources Reports are required for any non -formula allocated Federal grant funds received under this Agreement. These reports are due no later than the 25th of the month following the end of each quarter. E. Quarterly Reporting of Discretionary Grant Projects: In accordance with §667.300 of the Federal Register, and/or as identified in applicable State PGLs, the Local Workforce Region shall provide to the State no later than the 25th of the month following the end of each quarter a quarterly report summarizing the progress of any discretionary grant -funded projects currently in operation. At a minimum, the quarterly report shall include: 1) identified performance measures data; 2) progress made relative to the original identified planned goals and services specific to the grant project; 3) current and projected quarterly financial expenditures; 4) challenges met during the delivery of the grant project as it relates to the scope of work; 5) highlights of"best practices" applied in local workforce investment activities; 6) notable accomplishments of the grant project; and, 7) additional information that is specific to the individual grant project. The Local Workforce Region shall also provide any supplemental information as required by applicable PGLs. F. Annual Report: In accordance with §136(d) of the WIA, no later than the 25th of the month following the end of each Program Year, or by a later date as determined by federal reporting requirements or as identified in applicable PGLs, the Local Workforce Region shall provide to the State an Annual Report summarizing the progress of the Local Workforce Region in achieving its performance measures and customer satisfaction goals. The Local Workforce Region shall provide, at minimum, a narrative that: 1) describes the number of individuals served under each program, the services provided, and the challenges met in the successful delivery of those services; 2) identifies notable accomplishments of local employment and training programs; and 3) highlights "best practices" applied in local workforce development activities. The Local Workforce Region shall also provide any supplemental information as required by applicable PGLs. G. Contract Close Out The Local Workforce Region shall follow applicable Contract Close-out Procedures identified in the Subrecipient Financial Procedures PGL. For each funding source under this Agreement, and pursuant to a fully executed EA, the Local Workforce Region shall submit a final Expenditure Report, Cash Request, and other closeout documents required by the Subrecipient Financial Procedures PGL to the State within sixty (60) days after each specific grant ending date. 1.4 DATA MANAGEMENT AND RECORD MAINTENANCE A. Data Access and Automation Requirements The Local Workforce Region agrees to 1) maintain computer equipment to ensure connectivity with the One -Stop automation system; and 2) adhere to the requirements set forth in applicable PGLs issued by the State. S. Retention of Applicant, Eligible Applicant, Participant, Terminee, Employee and Applicant for Employment Records The Local Workforce Region and its subcontractors, if any, shall retain, for a minimum period of not less than three (3) years from the close of the applicable program year, applicant, eligible applicant, participant, terminee, employee and applicant for employment records. C. Participant Records Participant Records shall record any participant's involvement in Workforce Development Programs including, but not limited to, dates of entry, eligibility, participation, and termination. When required by specific Workforce Development Programs, the Local Workforce Region shall use a reference code, provided by the State, for the purpose of tracking program participants and fulfilling program reporting requirements. Page 7 of 28 CUTS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS D. Retention of Complaint Records The Local Workforce Region, and its subcontractor(s), if any, shall retain, for a minimum period of not less than three (3) years from the date of resolution, all records regarding program complaints and all actions taken to resolve such complaints. E. Automatic Extension of Retention Period If pending litigation, an audit, or a claim involving this Agreement or any subcontracts to this Agreement covered by the records maintenance provisions referred to above is initiated prior to the end of the above - referenced retention periods, then such retention periods automatically renew for an additional period of three (3) years or until such litigation, audit, or claim is finally resolved. 1.5. ACKNOWLEDGEMENT FOR PRODUCTS DEVELOPED IN WHOLE OR IN PART WITH WIA AND/OR WP FUNDS If applicable, the following needs to be identified on all products developed in whole or in part with WIA and/or WP funds: "This workforce solution was,fetnded by a grant awarded by the United States Department of Labor's Employment and Training Administration. The solution was created by the the Local Iorkforce Region and does not necessarily reflect the official position of the U.S. Department of tabor. The US Department of Labor makes no guarantees, warranties, or assurances of any kind, express or implied, with respect to such information, including any information on linked sites and including, hut not limited to, accuracy of the information or its completeness, timeliness, usefulness, adequacy, continued availability or ownership. This solution is copyrighted by the institution that created it. Internal use by an organization and/or personal use by an individual for non-commercial purposes is permissible. All other uses require the prior authorization of the copyright owner." 1.6 Roles and Responsibilities of the State: The State shall: a. Establish planning guidelines, including "statement of work" requirements, and disseminate these items to the local workforce region along with the estimated annual budget allocation for the upcoming program year; b. Review the Local Plan submitted by the local workforce region and provide recommendations for approval, conditional approval or disapproval to the Colorado Workforce Development Council (CWDC). Convey CWDC approval of the Local Plan to the local workforce region. c. Monitor workforce region activities on a quarterly basis for compliance with all applicable federal and state requirements, and evaluate the workforce region's performance relative to the performance measures identified in the Local Plan and/or any discretionary grant application proposals for funds received during the program year. Specific to the Wagner Peyser funds provided under this Agreement, the State shall evaluate the local workforce region's outcomes for the following Wagner Peyser Performance Measures: 1. Entered Employment Rate; 2. Job Retention at six (6) Months; and 3. Six Months Earning Increase. d. Document quarterly expenditure rates and performance measures in a quarterly monitoring report and submit the report to the Local Workforce Region. Additionally, the State shall complete a summative annual compliance review and report at the end of each Program Year and submit the report to the Local Workforce Region. Page 8 of 28 CMS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS The State shall work with the Local Workforce Region to adjust performance measures, as needed, based on any Federal or State mandated legislative or policy changes that occur during the grant funding period. and the State shall monitor and evaluate any such adjustments made. e. Provide program guidance and technical assistance to the workforce region for all programs provided pursuant to this Agreement. 1.7 State Personnel. The following provisions apply to the Veterans Employment Representatives (also known as Local Veterans' Employment Representatives (LVERs), Regional Veterans' Employment Representatives (RVERs), and Disabled Veterans' Outreach Representatives (DVOP's)) who are State staff collocated in the Local Workforce Region's workforce centers and operating the veterans' workforce programs through the One Stop delivery system. a. Moving Expenses of Affected State Employees. If the Local Workforce Region elects to move a State employee to a new office location within the local workforce region, then it shall pay all allowable expenses identified in C.R.S. § 24-50-134, C.R.S., as amended. Costs for all moves or relocations of State employees shall be the responsibility of the Local Workforce Region initiating the move or relocation. b. Functional Management of State Employees by the Local Workforce Region. 1. GENERAL. Except as otherwise provided in this Agreement, the Local Workforce Region may provide limited day-to-day functional operational supervision to state employees, including the setting of work hours and program responsibilities, with the exception of the roles and responsibilities of the Colorado Veterans Employment and Training Programs staff which are set in federal policy. In any event, the State retains authority over all actions which may affect the current base pay, status, or tenure of classified state employees. The State retains the sole discretion to determine which State employees shall occupy State positions throughout the State. Unless otherwise specified in writing by the State, all State employee positions shall be treated as nonexempt under the Fair Labor Standards Act. 2. PERFORMANCE EVALUATIONS. The State in conjunction with the Local Workforce Region will complete performance evaluations of State employees following the State's personnel laws and regulations, and according to both the criteria set by the State and, upon advanced written approval by the State, additional criteria set by the Local Workforce Region. 3. GRIEVANCES. The State shall fulfill the duties and responsibilities using the classified personnel system grievance process in the initial meeting. The State shall conduct appropriate investigation(s), conduct the initial meeting, and furnish suitable information to the Local Workforce Region supervisors and management. The State shall retain the responsibility for all actions on grievances after the initial meeting. 4. CORRECTIVE ACTIONS. The State in conjunction with the Local Workforce Region will determine and implement any necessary corrective actions in accordance with the procedures in the state classified personnel system provided that any grievances as a result of corrective action follow the procedures identified in paragraph 3 above. Page 9 of 28 CNIS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS 5. DISCIPLINARY ACTIONS. The State retains the sole right to terminate, demote, and suspend its employees for disciplinary reasons. the Local Workforce Region shall cooperate and provide information deemed necessary by the State in conjunction with proposed disciplinary actions. 6. POSTED NOTICES. The Local Workforce Region shall post in conspicuous places all notices required by state law for state classified employees. The State shall supply necessary copies of such notices at the State's expense. 7. COOPERATION. The Local Workforce Region shall cooperate fully with the State in any investigations, appeals, grievances, or other personnel matters, including, without limitation, those pertaining to allegations of unlawful discrimination. c. Reduction in Numbers of State Employees. In the event that State Veteran FTE vacancies occur in the local workforce region, the State may transfer State employees, voluntarily or administratively, to fill such vacancies. The selection of personnel to fill such State Veteran FTE vacancies shall be at the sole discretion of the State. d. Membership in Employee Organizations. Employees performing services under this Agreement shall have the right of full freedom of association, self -organization, and designation of representatives of their own choice. Membership in an employee association or union cannot be required as a condition of employment under this Agreement. No employee may be coerced into joining or not joining any type of organization against the wishes of that employee. Additionally, no employee may be contacted by a representative of any employee organization during working hours for the purpose of soliciting membership to that employee organization. With the prior consent of an employee's supervisor, which consent shall not be unreasonably withheld, representatives of an employee's choice may confer with an employee at that employee's job site during normal business hours concerning any matter incidental to that employee's employment relationship with the State or the Local Workforce Region. The conference shall be conducted so as to avoid interference with other employees in the work unit. PART 2 — FUNDING PROVISIONS The following requirements shall apply to all WIA funds provided to the Local Workforce Region pursuant to Workforce Investment Act of 1998, Title I, 20 CFR Part 652 et al., effective August 7, 1998, as well as to any other funding, as applicable, provided to the Local Workforce Region under this Agreement. 2.1 Policy Guidance Letters (PGLs): The Local Workforce Region agrees to adhere to the requirements of applicable State -issued PGLs and/or funding provisions identified in any State -issued NFAs, in addition to the specifications outlined below for each funding source and Workforce Development Program. 2.2 Performance Measures: Pursuant to § 136 of the WIA, the Local Workforce Region is accountable for the core indicators of performance outlined in the approved Local Plan. 2.3 Prohibition on Use of Funds: Pursuant to §181(d) and (e) of the WIA, funds provided under this Agreement shall not be used, or proposed for use: a. To encourage or induce the relocation of a business establishment, or part thereof, that results in a loss of employment for any employee of such establishment at the original location; b. For customized training, skill training, on-the-job training, or company specific assessments ofjob applicants or employees, for any business establishment, or any part thereof, that has relocated, until one hundred twenty (120) calendar days after the date on which such establishment commences operations at Page 10 of 28 CMS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS the new location, if the relocation of such business establishment, or any part thereof, results in the loss of employment for any employee of such establishment at the original location; c. For employment generating activities, economic development activities, investment in revolving loan funds, capitalization of businesses, investment in contract bidding resource centers, and similar activities; and d. For foreign travel. 2.4 Grievance Procedures: The Local Workforce Region agrees to establish and maintain a procedure for grievances and complaints from participants and other interested parties affected by the local One -Stop delivery system according to the requirements of 20 CFR 667 Subpart F, Grievance Procedures, Complaints, and State Appeals Processes. Pursuant to Paragraph 2.1 above, the Local Workforce Region shall follow all applicable PGLs issued by the State concerning grievance procedures. 2.5 Veterans Priority Provisions of the "Jobs for Veterans Act" (Public Law#107-288). The Jobs for Veterans Act (§2(a) of the Act 38 United States Code 4215(a)), creates a priority of service requirement for veterans (and eligible covered persons) who are eligible to receive services under designated United States Department of Labor funded workforce development and training programs. Therefore, for all designated workforce development programs funded through this Agreement with federal funds, the Local Workforce Region shall adhere to federal laws and guidance related to veterans' priority of service. At minimum, the Local Workforce Region agrees to abide by federal and state policy, incorporate those policies into local policy, and develop service delivery strategies for providing priority of services for veterans (and eligible covered persons). 2.6 Use of e-Colorado.org. The Local Workforce Region shall make available e-colorado.org marketing materials provided by the State (e.g. brochures, flyers, e-colorado.org registration instructions, etc.) and encourage enrolled customers to register with e-colorado.org to expand their access to workforce development information, resources, and professional development tools, such as: tutoring services to enhance their learning process, self - evaluation tools, talent screening and self -assessment tools, and professional development tools (e.g., the ePortfolio package). The Local Workforce Region shall coordinate and provide training to staff in the use of e-colorado.org. The Local Workforce Region shall encourage staff to use the ePortfolio tool available on e-colorado.org and to help set up ePortfolios for WIA enrolled participants. 2.7 Federal Training and Employment Guidance Letters (TEGLs). The Local Workforce Region agrees to follow the provisions of Federally -issued TEGLs outlining specific provisions and requirements for each funding source and Workforce Development Program covered by this Agreement. PART 3 - PROGRAM REQUIREMENTS A. WAGNER-PEYSER (90%) - EMPLOYMENT SERVICES 3.1 Statutory Reference: Wagner-Peyser Act of 1933, as amended by Public Law 97-300 Job Training Partnership Act @TPA), effective October 1, 1983; as amended by Public Law 105-220 Workforce Investment Act of 1998, effective August 7, 1998; and C.R.S. Title 8, Article 83. Page 11 of 28 CMS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS 3.2 Purpose of Funding: The purpose of Wagner-Peyser funds is to provide labor exchange services that include self-service, facilitated self-help services, and staff -assisted services for job seekers and employers. Services provided shall include access to on-line resources, pc -based software, databases, and websites where job orders and resumes can be posted and job matches can be made. Staff -assisted services for job seekers shall include one-on-one or group activities such as job search workshops, assessment, vocational guidance, aptitude testing, labor market information, job referrals, and referrals to supportive services or training. Staff -assisted services for employers shall include job order taking, job matching, and recruitment and prescreening of job candidates. 3.3 Required Program Elements: a. The Local Workforce Region shall make available through the One -Stop delivery system all labor exchange services identified above in Paragraph 3.2, Purpose of Funding. b. The Local Workforce Region receiving Wagner-Peyser Funds shall provide veterans with priority employment and training services in accordance with United States Code Title 38, Chapters 41 and 42, 20 CFR 1001.120, and 20 CFR 1010. The following order of priority shall be observed: 1. Special disabled veterans 2. Disabled veterans other than special disabled veterans 3. All other veterans and eligible covered persons 4. Non -veterans All job orders processed through Connecting Colorado with staff assistance must have veterans' priority of service applied. Staff will apply veterans' priority of service by using the Connecting Colorado automated file search and the Integrated Voice Response (IVR) system or manual telephone call referrals when necessary. Job orders taken by workforce center staff shall be placed on hold when entered into Connecting Colorado until an automated veterans' file search and referral to the IVR has been performed. Any staff person working with job orders shall ensure that veterans' priority of service has been applied to all job orders. If no qualified veterans are found, the job order may be released for general referrals. c. Migrant and seasonal farm workers shall be provided the full range of services offered to the general public. d. The Local Workforce Region shall not charge a fee for any Wagner-Peyser funded activity. e. The Local Workforce Region shall provide labor exchange services pursuant to the Wagner-Peyser Act Section 7(a) List of Allowable Activities. The following activities are not allowable: Job seekers cannot be referred to a for-profit employment agency that will charge them a fee for job placement; 2. Job seekers cannot be referred to job orders for a position that is vacant because of a strike or labor dispute, or to a position where the incumbent worker is covering the position of a striking employee; 3. Job orders which are discriminatory or pay less than minimum wage shall not be accepted. f. The Local Workforce Region shall register any Unemployment Insurance claimants for work and notify the State Unemployment Insurance office of any Unemployment Insurance claimants who are not able and not available to work or who refuse either a suitable job referral or a suitable job offer. g. The Local Workforce Region shall make a Wagner-Peyser staff person available during regular office hours to take complaints pursuant to the Job Service Complaint System (20 CFR 658.400 ff) and to explain operation of the complaint system. h. The Local Workforce Region shall discontinue services to any employer who has been determined by the State to be in violation of the provisions of the Wagner-Peyser Act and regulations (20 CFR 658.500 ff). Page 12 of 28 CMS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS The Local Workforce Region shall use Wagner-Peyser funds to provide services to clients who are eligible under the Trade Adjustment Assistance (TAA) Program. Wagner-Peyser funded staff, which includes The Local Workforce Region regional TAA representative, (or WIA Dislocated Worker funded staff when the individual recipient is co -enrolled) is required to provide on -going core and intensive services to clients who are TAA-eligible or to clients who are enrolled in and receiving benefits and reemployment services through the TAA program. In the Local Plan, the Local Workforce Region shall include projected performance levels for the following labor exchange performance measures: 1. Entered Employment Rate; 2. Job Retention at six (6) Months; and 3. Six Months Earning Increase. The Local Workforce Region shall work with the State to adjust performance measures, as needed, based on any Federal or State mandated legislative or policy changes that occur during the grant funding period. k. Merit Staffing Requirements. The Local Workforce Region shall comply with all applicable Federal laws regarding merit staffing requirements including, but not limited to, the Wagner-Peyser Act of 1933, 29 U.S.C. 49, et seq., as amended, the Intergovernmental Personnel Program, Chapter 62 of Title 42, U.S.C., as amended, and all associated rules, regulations and policies, as amended. These staffing requirements consist of, but are not limited to: I) recruiting, selecting, and advancing employees on the basis of their relative ability, knowledge and skills, including open consideration of qualified applicants for initial appointment; 2) providing equitable and adequate compensation; 3) training employees, as needed, to assure high -quality performance; 4) retraining employees on the basis of the adequacy of their performance, correcting inadequate performance, and separating employees whose inadequate performance cannot be corrected; 5) assuring fair treatment of applicants and employees in all aspects of personnel administration without regard to political affiliation, race, color, national origin, sex, or religious creed and with proper regard for their privacy and constitutional rights as citizens; and 6) assuring that employees are protected against coercion for partisan political purposes and are prohibited from using their official authority for the purpose of interfering with or affecting the result of an election or a nomination for office. 3.4 Allowable Costs. Pursuant to Section 7a of the Wagner Peyser Act, the general categories for allowable costs include, but are not limited to: a. job search and placement services to job seekers including counseling, testing, occupational and labor market information, assessment, and referral to employers; b. appropriate recruitment services and special technical services for employers; c. evaluation of programs; d. developing linkages between services funded under the Wagner Peyser Act and related Federal or State legislation, including the provision of labor exchange services at educational sites; e. providing services for workers who have received notice of permanent layoff or impending layoff, or workers in occupations which are experiencing limited demand due to technological change, impact of imports, or plant closures; f. developing and providing labor market and occupational information; g. developing a management information system and compiling and analyzing reports therefrom; and, h. administering the work test for the State unemployment compensation system and providing job finding and placement services for unemployment insurance claimants. Allowable costs are covered by WIA regulation (20 CFR 652.206) which indicates that Wagner Peyser funds may be used to provide core and intensive services as defined in WIA at I34(d)(2) and 20 CFR663.150, and at Page 13 of 28 CMS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS 134(d)(3)(C) and 20 CFR 663.200. Allowable costs are further delineated in the United States Department of Labor/Employment and Training Administration Advisory Training and Employment Guidance Letter (TEGL) Number 11-12, Using Funds Authorized Under Section 7(a) of the Wagner-Peyser Act of 1933 for Intensive Services as Defined by the Workforce Investment Act. 3.5 Subcontracting: Wagner—Peyser Funded programs shall not be subcontracted out unless the programs are implemented under a Merit System as referenced above in 3.3.(k) and provided by another governmental system. B. WAGNER-PEYSER (10%) - DISCRETIONARY FUNDS 3.1 Statutory Reference: Wagner-Peyser Act of 1933, as amended by Public Law 97-300 Job Training Partnership Act (JTPA), effective October 1, 1983; as amended by Public Law 105-220 Workforce Investment Act of 1998, effective August 7, 1998; and C.R.S. Title 8, Article 83. 3.2 Purpose of Funding: Wagner-Peyser 10% Discretionary funds are awarded by the Governor for discretionary projects that may include, but are not limited to, the following: a. Performance incentives for public employment service offices and programs; b. Services for groups with special needs; c. Services targeted at employers; d. The Governor's Summer Job Hunt Program which provides funding for job placement services and employment opportunities to youth seeking unsubsidized jobs for the summer. Services shall be provided to youth, ages 16 through 21, regardless of geographic boundaries, income, ethnicity, and special needs; and e. Other initiatives in support of labor exchange services and/or core services provided in the workforce region. 3.3 Required Program Elements: a. The Local Workforce Region shall make labor exchange services available pursuant to the stated purpose of the 10% project for which they are receiving funds. b. For any participants who are veterans, the Local Workforce Region shall provide veterans with priority employment and training services (as specified in Part II 2.5 above). c. For any participants who are migrant and seasonal farm workers (MSFWs), the Local Workforce Region shall provide the full range of services available through the workforce region's One -Stop delivery system. d. The Local Workforce Region shall not charge a fee for any Wagner-Peyser funded activity. e. The Local Workforce Region shall operate any WP 10% discretionary grant -funded activities pursuant to the provisions of the Wagner-Peyser Act as referenced in Part 3, A.3.3 above. The following activities are not allowable: 1. Job seekers shall not be referred to a for-profit employment agency that will charge them a fee for job placement; 2. Job seekers shall not be referred to job orders for a position that is vacant because of a strike or labor dispute, or to a position where the incumbent worker is covering the position of a striking employee; Page 14 of 28 CMS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS Job orders which are discriminatory or pay less than minimum wage shall not be accepted For any participants who are Unemployment Insurance claimants, the Local Workforce Region shall register them for work and notify the State Unemployment Insurance office of any Unemployment Insurance claimants who are not able and not available to work or who refuse either a suitable job referral or a suitable job offer. g The Local Workforce Region shall make a Wagner-Peyser staff person available during regular office hours to take complaints pursuant to the Job Service Complaint System (20 CFR 658.400 ff) and to explain operation of the complaint system. h. The Local Workforce Region shall discontinue services to any employer who has been determined by the State to be in violation of the provisions of the Wagner-Peyser Act and regulations (20 CFR 658.500 ff). 3.4 Restrictions on Funding: Wagner-Peyser (10%) discretionary funds shall be used only for the stated purpose identified in the funding provisions included in an NFA, the services and costs identified in an approved project proposal, and/or for required program elements of a specific program as identified in these funding provisions and/or applicable PGLs. C. WIA TITLE I ADULT AND DISLOCATED WORKER 3.1 Statutory Reference: Workforce Investment Act of 1998, Title I, 20 CFR Part 652 et al., effective August 7, 1998. 3.2 Purpose of Funding: The purpose of the Adult and Dislocated Worker funds is to provide a continuum of services i.e. core services, intensive services, and training services, to adults 18 years of age and older and to dislocated workers eligible under the Workforce Investment Act (WIA) section 101(9). 3.3 Required Program Elements: a. Pursuant to §134 (d)(2) of the WIA, "core services" are the minimum level of services that the Local Workforce Region shall provide free of charge to all customers, both job -seekers and employers, seeking services through its One -Stop delivery system. At a minimum, core services provided by the Local Workforce Region shall include the following: 1. Eligibility determinations for programs delivered under WIA; 2. Outreach, intake, and orientation to workforce center information and services; 3. Initial assessment of skill levels, aptitudes, and supportive service needs; 4. Job search and placement assistance; career counseling, if needed; 5. Provision of employment statistics and information relating to local, regional, and national labor market regions; 6. Provision of performance information and program cost information on eligible providers who are delivering employment training services under the WIA; 7. Provision of information regarding local workforce region performance with regard to One -Stop delivery system performance measures; 8. Provision of accurate information relating to the availability of supportive services, including child care and transportation, available in the local workforce region, and referral to such services; 9. Provision of information regarding filing claims for unemployment insurance compensation; Page 15 of 28 CM,SW 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS 10. Assistance in establishing eligibility for other employment and training financial aid (not funded under the WIA) available in the local workforce region; and 11. Follow-up services for those participants in workforce development activities who have received core services and who are placed in unsubsidized employment for not less than 12 months after the first day of the employment. b. Pursuant to § 134(d)(3) of the WIA, "intensive services" are provided to eligible participants only after at least one core service has been provided and a determination of the need for intensive services has been established. Intensive services shall be provided through the One -Stop delivery system. Intensive services may include: 1. Comprehensive and specialized assessments of skill levels and service needs; 2. Development of an individual employment plan; 3. Group counseling; 4. Individual counseling and career planning; 5. Case management for participants seeking training services; 6. Short-term prevocational services to prepare individuals for unsubsidized employment or training. c. Except as provided in §134(d)(4)(G) and pursuant to §134(d)(4) of the WIA, "training services" shall be provided through eligible training providers to eligible participants via individual training accounts. Training services may include: 1. Occupational skills training, including training for nontraditional employment; 2. On-the-job training; 3. Programs that combine workplace training with related instruction, which may include cooperative education programs; 4. Training programs operated by the private sector; 5. Skill upgrading and retraining; 6. Entrepreneurial training; 7. Job readiness training; 8. Adult education and literacy activities provided in combination with services described in items a -g above; 9. Customized training conducted with a commitment by an employer or group of employers to employ an individual upon successful completion of the training; 10. Incumbent worker training; and l 1. Costs of books, materials, supplies and/or training -related supportive services required and/or necessary to successfully complete a training program. 3.4 Restrictions on Funding: Pursuant to 20 CFR 667.107(b) for the Workforce Investment Act, funds allocated by the State to the Local Workforce Region under the WIA §§128(b) and 133(b), for any program year are available for expenditure only during that program year and the succeeding program year. Those funds which are not expended by the Local Workforce Region in the two-year period shall be returned to the State. Funds so returned may be redistributed by the State for other statewide projects or to other workforce regions that have fully expended their allocation of funds for the same program year within the two-year period. D. WIA TITLE I YOUTH 3.1 Statutory Reference: Workforce Investment Act of 1998, Title I, 20 CFR Part 652 et al.. effective August 7. 1998. Page 16 of 28 CMS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS 3.2 Purpose of Funding: The purposes of Title I Youth Funds are to provide to eligible youth the following: a. Assistance in achieving academic and employment success by providing effective and comprehensive activities which will improve educational and skill competencies and enhance connections to employers; b. On -going mentoring opportunities for eligible youth with adults committed to providing such opportunities; c. Training services, support services, and incentives for recognition and achievement d. Opportunities to participate in activities related to leadership development, decision -making, citizenship, and community service. 3.3 Program Design Requirements: Pursuant to §129(c) of the WIA, programs and services provided by Title I Youth Funds shall include: a. Objective assessment of the academic skill levels and service needs of each participant; b. Development of service strategies for each participant that shall identify an employment goal, appropriate achievement objectives, and appropriate services for the participant; and c. Provision of: 1. Preparation for postsecondary educational opportunities in appropriate cases; 2. Strong linkages between academic and occupational learning; 3. Preparation for unsubsidized employment opportunities, in appropriate cases; and 4. Effective connections to intermediaries with strong links to the job market and local and regional employers. 3.4 Required Program Elements: Pursuant to § 129(c) of the WIA, programs and services provided by Title I Youth Funds shall include the following elements: a. Tutoring, study skills training, and instruction, leading to completion of secondary school, including dropout prevention strategies; b. Alternative secondary school services, as appropriate; c. Summer employment opportunities that are directly linked to academic and occupational learning; d. As appropriate, paid and unpaid work experiences, including internships and job shadowing; e. Occupational skill training, as appropriate; f. Leadership development opportunities, which may include community service and peer -centered activities encouraging responsibility and other positive social behaviors during non -school hours, as appropriate; g. Supportive services; h. Adult mentoring for the period of participation and a subsequent period, for a total of not less than 12 months; Follow-up services for not less than 12 months after the completion of participation, as appropriate; and J. Comprehensive guidance and counseling, which may include drug and alcohol abuse counseling and referral, as appropriate. 3.5 Information and Referrals: The Local Workforce Region shall provide to each participant or applicant who meets the minimum income criteria to be considered an eligible youth the following: a. Information on the full array of applicable or appropriate services that are available through the local workforce investment board or other eligible providers or One -Stop partners, including those receiving funds under Title I of WIA; and b. Referral to appropriate training and educational programs that have the capacity to serve the participant or applicant either on a sequential or concurrent basis. Page 17 of 28 CMSd# 54599 Exhibit D PYI3 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS An eligible applicant who does not meet the enrollment requirements of a particular program or who cannot be served shall be referred for further assessment, as necessary, and referred to appropriate programs, in accordance items a. and b. above, to meet the basic skills and training needs of the applicant. 3.6 Prohibition of Use of Title I Youth Funds: No funds provided pursuant to §§126 through 129 and §134(a) shall be used to develop or implement education curricula for school systems in Colorado. None of the Title I Youth funds provided herein shall be used to provide funding for the School -to -Work program. 3.7 Restrictions on Funding: Pursuant to 20 CFR 667.107(b) for the Workforce Investment Act, funds allocated by the State to the Local Workforce Region under the WIA §§128(b) and 133(b), for any program year are available for expenditure only during that program year and the succeeding program year. Funds which are not expended by the Local Workforce Region in the two-year period shall be returned to the State. Funds so returned may be redistributed by the State for other statewide projects or to other workforce regions that have fully expended their allocation of funds for the same program year within the two-year period. E. WIA TITLE 1(25%) Enhanced Dislocated Worker/Rapid Response 3.1 Statutory Reference: Workforce Investment Act of 1998, Title 1, 20 CFR Part 652 et al., effective August 7, 1998; Workforce Investment Act of 1998, §§132 through 134. 3.2 Purpose of Funding: WIA 25% Enhanced Dislocated Worker/Rapid Response funds are formula allocated to the Local Workforce Region pursuant to the WIA § 132, to provide enhanced services to dislocated workers or to provide rapid response activities in the local workforce region. These funds are allocated to the Local Workforce Region to address local needs and program preferences for dislocated workers pursuant to the WIA §§I33 and 134. 3.3 Required Program Elements: a. Enhanced Dislocated Worker Services: These funds may provide additional dislocated worker services pursuant to the required program elements outlined in Part III §C.3.3 above. b. Rapid Response Activities shall include: 1. On -site contact with the employer, representatives of the affected workers, and the local community, to develop a layoff plan and schedule with the employer; to assess the potential for averting the layoff; and to assess the assistance needs of and reemployment opportunities for the dislocated workers; 2. The provision of information and access to unemployment insurance compensation benefits and comprehensive One -Stop delivery system services; 3. The provision of financial assistance and guidance to establish a labor-management committee to oversee the layoff and reemployment process; 4. The provision of emergency assistance adapted to the needs of the particular layoff; 5. A coordinated response to the dislocation event which may include linkages with federal, state, and local economic development activities; collaboration with local business associations, technical councils, and labor organizations, to address local dislocation events; and other activities which ensure the rapid access to a broad range of allowable assistance to dislocated workers. Page 18 of 28 CMS# 54599 Exhibit D PYI3 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS 3.4 Restrictions on Funding: Pursuant to 20 CFR 667.107(6) of the Workforce Investment Act, funds allocated by the State to the Local Workforce Region under the WIA §§128(b) and 133(6) for any program year are available for expenditure only during that program year and the succeeding program year. Funds which are not expended by the Local Workforce Region in the two-year period shall be returned to the State. Funds so returned may be redistributed by the State for other statewide projects or to other workforce regions that have fully expended their allocation of funds for the same program year within the two-year period. The Local Workforce Region shall determine how much of the allocation will be budgeted for Enhanced Dislocated Worker services and how much will be budgeted for Rapid Response activities. Up to 10% of the allocated Enhanced Dislocated Worker funds may be used for administration expenses. For funds budgeted for Rapid Response Activities, no administrative expenses are allowed. F. WIA Title I (25%) Discretionary Grants - Statewide Innovative Projects 3.1 Statutory Reference: Workforce Investment Act of 1998, Title I, 20 CFR Part 652 et al., effective August 7, 1998; Workforce Investment Act of 1998, §§132 through 134. 3.2 Purpose of Funding: Pursuant to the Workforce Investment Act of 1998 § 134, the Governor may reserve up to 25% of the Dislocated Worker funds for discretionary projects supporting dislocated workers or incumbent workers in danger of layoff WIA 25% Discretionary grants may be used for services addressing the needs of employers or targeted populations, subject to any funding provisions included in an NFA or any program requirements identified in a grant application proposal. a. Employer Services Projects. Layoff aversion/incumbent worker projects target specific employers or industries that are experiencing a decline and have the potential to undergo layoffs, or are experiencing a serious skills gap that impacts their ability to compete and retain workers. These projects may include the following allowable activities: 1. Incumbent worker skills assessment and testing 2. Incumbent worker skills upgrade training, on-the-job training, or customized training to help prevent layoffs, pursuant to WIA Section 134(a)(3). 3. Linkages with economic development entities to facilitate identification of business sectors needing layoff aversion services and to develop coordinated intervention strategies 4. Pre -feasibility studies used to help businesses determine ways to avoid closure, qualify for loans, or access technical assistance that will avoid closure or layoffs 5. Direct linkages with federal and local organizations that provide technical assistance, loans, and grants to businesses to avoid layoffs and closures b. Targeted Populations Projects. These projects provide customized services to targeted populations, including but not limited to, older workers, those with limited English proficiency, the disabled, offenders, and those seeking non-traditional training. Targeted Populations Project activities may include any allowable WIA core, intensive, and training services. 3.3 Required Program Elements: a. Participants shall meet the applicable eligibility category for the specific project. Participants in Layoff Aversion/Incumbent Worker projects shall meet the following United States Department of Labor definition: Page 19 of 28 CMS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS An Incumbent Worker is "an individual who is employed, but does not necessarily have to meet the eligibility requirements for intensive and training services for employed adults and dislocated workers at 20 CFR 663.220(b) and 663.310.". Generally, Incumbent Workers are currently -employed workers whose employers have determined that the workers require training in order to help keep their firms competitive and the subject workers employed, avert layoffs, upgrade workers' skills, increase wages earned by employees and/or keep workers' skills competitive. Such training would support further job retention and career development for improved economic self-sufficiency for employed workers, especially those most vulnerable to job loss, and increase the capability of the employing firm(s) to access and retain skilled workers. b. Layoff Aversion/Incumbent Worker Projects shall follow the guidelines established in the Incumbent Worker Training Policy Guidance Letter (PGL) and be in compliance with definitions therein. c. Participants in Targeted Populations Projects shall meet the eligibility requirements of the WIA Dislocated Worker Program described in Part III, Section C. above. 3.4 Restrictions on Funding: When these Discretionary Grants are awarded through a competitive process, administrative expenses are not allowed. If these funds are allocated under the WIA dislocated worker formula, 10% of the grant amount may be used for administrative expenses. G. VETERANS EMPLOYMENT REPRESENTATIVES 3.1 Statutory Reference: PL 107-288 Jobs for Veterans Act of 2002; Title 38, United States Code, Chapter 41; 20 CFR 1001.120, and 20 CFR 1010. 3.2 Purpose of Funding: The Veteran Employment Representatives provide services to all eligible veterans and other eligible applicants. These services include registration, counseling, referral to supportive services, job development, labor market information, resume development, intensive services through case management, job search assistance and referral to training. Veteran Employment Representatives, also known as Local Veterans' Employment Representatives (LVERs), Regional Veterans' Employment Representatives (RVERs), and Disabled Veterans' Outreach Representatives (DVOP's), are State employees collocated in the Local Workforce Region's workforce center(s), delivering these services to veterans and other covered persons. These funds are provided as a contribution toward operating costs associated with the number of Veteran Employment Representatives that are collocated in the Local Workforce Region's workforce center(s). 3.3 Required Program Elements. The provision of funding to the Local Workforce Region for operating costs associated with the number of state Veteran Employment Representatives collocated in the Local Workforce Region's workforce center(s) is subject to the receipt of the Local Workforce Region's operating budget verified and signed off by the Local Workforce Region's financial manager. The Local Workforce Region shall submit such verified operating budget within thirty (30) days of request by the State Veterans' Coordinator in order to receive Federal Fiscal Year funding beginning October I. Page 20 of 28 CMS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS H. VETERANS WORKFORCE INVESTMENT PROGRAM (VWIP) 3.1 Statutory Reference: The Veterans Workforce Investment Program (VWIP) is funded by the United States Department of Labor, Veterans' Employment and Training Service, utilizing appropriations from 20 CFR part 667 —Administrative provisions for programs, including VWIP, under Title I of the Workforce Investment Act (WIA). Services provided are subject to the Jobs for Veterans Act, Public Law 107-288. 3.2 Purpose of Funding: The purpose of the Federal VWIP grant is to provide eligible veterans who have numerous barriers to employment opportunities with the specialized services, support and training they need to obtain and retain suitable employment. The VWIP grant shall focus on training in high growth and high demand industries in Colorado, resulting in certification or a credential upon completion of training. 5% of the local workforce region's allocation may be used for local administration. 3.3 Required Program Elements: The Local Workforce Region shall work collaboratively with the State's Veteran Employment Representatives operating within the Local Workforce Region's workforce center(s) to coordinate the payment of training costs to training providers and to provide supportive services, as needed. The Local Workforce Region shall provide the following: a. A VWIP program orientation that includes an overview of the program, information on high growth jobs, types of training available, and services and resources available to participants. b. Initial registration of participants; access to and guidance on the use of resource centers; specialized assessments; job search and other workshops, and some training and support services, as needed. Workforce staff may also provide referrals to employment opportunities. c. Supportive services, such as, gas vouchers, child care, work -related clothing, work -related tools may be provided using WIA funds, subject to local WIA policies. 3.4 Required Partners: The State Veteran Employment Representatives (Local Veterans Employment Representatives (LVERs) and Disabled Veterans Outreach Program staff (DVOPs) shall be responsible for day to day operations of the VWIP program, carrying out all eligibility determinations, recruiting participants, enrolling participants in qualified training programs, entering and tracking data in Connecting Colorado, providing case management, as necessary, and communicating information to the Local Workforce Region staff so that the Local Workforce Region shall have sufficient information to procure training services, process invoices, and make payments as necessary. 3.5 Restrictions on Funding: Funds shall be used only for the stated purpose identified in these funding provisions and/or relevant Policy Guidance Letters (PGLs). VWIP funds shall not be used to subsidize participant wages during training. I. GOVERNOR'S SUMMER JOB HUNT (GSJH) 3.1 Statutory Reference: Wagner-Peyser Act of 1933, as amended by Public Law 97-300 Job Training Partnership Act (JTPA), effective October 1, 1983; as amended by Public Law 105-220 Workforce Investment Act of 1998, effective August 7, 1998; and C.R.S. Title 8, Article 83. Page 21 of 28 CMS# 54599 Exhibit D PYI3 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS 3.2 Purpose of Funding: Funds are provided in support of the Governor's Summer Job Hunt (GSJH) Program which provides job placement services and employment opportunities to youth seeking unsubsidized jobs for the summer. 3.3 Required Program Elements: a. The Local Workforce Region shall hire or assign and fund staff to coordinate local GSJH services which shall include following three activities: Recruitment of Youth; Recruitment of Businesses and Partnership Development; and, Career Exploration and Preparation. b. Services shall be provided to youth, ages 16 through 21, regardless of geographic boundaries, income, ethnicity, and special needs. In addition, Local Workforce Regions are encouraged to serve 14 and 15 year olds subject to local policies. c. The Local Workforce Region shall promote the GSJH program and related events and activities by using the set aside budget of One Thousand Dollars ($1,000.00) for outreach and marketing. d. The Local Workforce Region's GSJH staff shall participate in monthly meetings, teleconferences, or webinars initiated by the State. GSJH staff shall participate in training offered and/or coordinated by the State, including Federal and State Labor Law and OSHA training, and the State -sponsored "Think Big" Youth Conference. e. The Local Workforce Region shall submit an annual report to the State GSJH Coordinator pursuant to the guidelines in the GSJH PGL. 3.4 Allowable Costs. Funds are to be used for personnel/benefits, operating and overhead, and outreach and marketing costs related to the GSJH. One Thousand Dollars ($1,000.00) of the allocated budget may be used for State -approved outreach and marketing expenses and must be spent by June 30, 2013 (see PGL 10 -10 -WP Use of Funds for Outreach, Advertising, Public Relations, and Informational Activities for allowable outreach and marketing costs). 3.5 Restrictions on Funding. Funds shall be used only for the stated purpose identified in the Required Program Elements and Allowable Costs described above, activities described in the GSJH PGL, and/or agreed to in an executed EA. Outreach and Marketing funds shall not be used to promote any other programs or services outside of the GSJH Program. J. MIGRANT SEASONAL FARM WORKER PROGRAM 3.1 Statutory Reference: Wagner-Peyser Act of 1933, as amended by 20 CFR parts 651, 653, and 658, effective January 25, 1977, governing employment services to migrant and seasonal farm workers by the federal - state public Job Service System. 3.2 Purpose of Funding: Funding is provided to support the Local Workforce Region's delivery of services to Migrant Seasonal Farm Workers (MSFWs) and to cover personnel and benefits, training, and travel costs, as well as the purchasing of equipment, supplies, and other materials to operate the MSFW Program. 3.3 Required Program Elements: The Local Workforce Region shall provide services to Migrant Seasonal Farm Workers (MSFWs) pursuant to the Employment Service regulations located at 20 CFR 251 through 258. Page 22 of 28 CMS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS a. If the Local Workforce Region's employment service area is designated as a "Significant MSFW Local Office" pursuant to the definitions in 20 CFR 651.10, the Local Workforce Region is required to provide additional outreach services to MSFWs. b. Pursuant to 20 CFR 653.107 Outreach, Significant Migrant Seasonal Farm Worker local workforce centers that deliver employment and training programs through Wagner-Peyser funded Employment Services shall conduct an outreach program in order to locate, contact, and register MSFWs who are not being reached by the normal intake activities conducted by the local workforce center. The Local Workforce Region, if designated as a "Significant MSFW Local Office" by the Federal ETA, shall develop and submit to the State an annual outreach plan setting forth numerical goals, policies, and objectives for providing equitable services to MSFWs. c. The Local Workforce Region shall provide outreach and employment services to agricultural employers as well as to MSFWs. Services provided shall be integrated into the Local Workforce Region's MSFW program and provided through the One -Stop delivery system. 3.4 Performance Measures and Program Outcomes: The Local Workforce Region and its "Significant MSFW Local Offices" shall provide MSFWs equitable services that are both quantitatively and equitably proportionate to the services provided to the non-MSFW customer. On a quarterly basis, the Local Workforce Region shall make best efforts to meet the Equity Ratio and Minimum Service Goals defined by Federal law and Federal guidance. 3.5 Restrictions on Funding: The funds shall be used only for the stated purpose identified in the Required Program Elements listed above, in the MSFW PGL, and/or agreed to in an executed EA. K. TRADE ADJUSTMENT ASSISTANCE (TAA) 3.1 Statutory Reference: Trade Act of 1974 (Public Law 93-618); Trade Act of 2002 (Public Law 107-210); and Trade Adjustment Act, Chapter 2 of Title II of the Trade Act of 1974 (19 U.S.C. 2295 et seq.), §235A, as amended, by the Trade and Globalization Adjustment Assistance Act of 2009, February 17, 2009 and the Trade Adjustment Assistance Extension Act of 2011 (Pub. L. 112-40). Also, 20 CFR Part 617 Trade Adjustment Assistance for Workers Under the Trade Act of 1974 and any succeeding regulations governing the TAA Program. (See also applicable Federal TEGLs covering the Trade Act of 1974 and its amendments). 3.2 Purpose of Funding: Pursuant to §235A of the Trade Act of 1974, as amended, TAA funds are provided to the Local Workforce Region to provide reemployment and case management services to trade -effected workers. 3.3 Required Program Elements: e. The Local Workforce Region shall assist each trade -effected worker in applying for a determination of entitlement to receive TAA Program benefits and in registering each applicant in the Connecting Colorado database. f. The Local Workforce Region shall be responsible for serving trade -effected workers through the One -Stop delivery system and shall work in coordination with the State's TAA Program staff to deliver approved services to each trade -effected worker. Page 23 of 28 CMS4 54599 Exhibit D g PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS The Local Workforce Region shall provide reemployment and case management services to trade -effected workers to support their receiving reemployment trade adjustment assistance under §246 of the Trade Act. Case management services to trade -effected workers shall include: (1) Performing comprehensive and specialized skills and needs assessments; (2) developing individual employment plans; and (3) providing the following: • Information on available training and how to apply for such training, • Information on how to apply for financial aid, • Short-term pre -vocational services, • Individual career counseling, • Employment statistics information, and • Information on the availability of supportive services. d. The Local Workforce Region agrees to provide counseling, testing and placement services, supportive services, and other services provided for under any other applicable Federal law or workforce program to all trade -effected workers. 3.4 Allowable Costs. A trade -effected worker (otherwise known as adversely -effected worker pursuant to the Trade Act of 1974) means an individual who was employed in a firm at which the workers are certified under the Trade Act as eligible to apply for Trade Adjustment Assistance (TAA) benefits, and who was totally or partially separated from such employment due to lack of work. A trade -effected worker is eligible to apply for TAA benefits; however, he/she may or may not receive benefits through the TAA program. The State TAA staff review and evaluate the status of each trade -effected worker applying for benefits to verify that they do qualify to receive program benefits. Case management costs for serving a trade -effected worker, whether or not they are verified to receive program benefits and/or are further enrolled in program services are allowable for reimbursement. 3.5. Confidentiality. In accordance with the provisions and definitions at 29 CFR 90.33 and any successor provisions, the Local Workforce Region shall keep confidential any confidential business information it obtains or receives in the course of fulfilling its obligations under the Trade Act, as amended, and shall not disclose such information to any person, organization, or other entity except as authorized by applicable State and Federal laws. In addition, the Local Workforce Region shall keep confidential any information it receives about each trade - effected worker in the course of fulfilling its obligations under the Alternative TAA Program for Older Workers and Health Coverage Tax Credit programs to the extent required under all applicable State and Federal laws. 3.6 Restrictions on Funding. Funds shall only be used to cover personnel and benefits costs related to the provision of case management and reemployment services to trade -effected workers and shall not be used to cover administrative costs, tuition fees for training, and/or reemployment and case management operating expenses. L. H -1B Technical Skills Training Grant 3.1 Statutory Reference: Workforce Investment Act of 1998, Title I, 20 CFR Part 652 et al., effective August 7, 1998. 3.2 Purpose of Funding: These funds are provided to implement the "Strategies to Advance Colorado's Highly Skilled Workforce: H-1 B Technical Skills Training Grant". The purpose of this grant is to upgrade and Page 24 of 28 CMS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS advance the skills education of incumbent workers and long-term unemployed with a focus on the targeted industries of Information Technology, Advanced Manufacturing, and Science, Technology, Engineering, and Math (STEM) Professional, Scientific, and Technical Services, including Aerospace. 3.3 Required Program Elements: a. A Local Administration budget shall be provided to support the administration of the Local Workforce Region's program activities identified in the Statement of Work of an executed Expenditure Authorization document. b. A wide range of training strategies, including classroom occupational training; contextualized learning; distance learning; and customized training, including incumbent worker training shall be made available to participants. c. The Local Workforce Region shall provide the following services that support the direct education and training of eligible participants, such as: • Recruitment, screening and referring qualified candidates, and outreach for employers and participants • Education/career assessments leading to Colorado CareerReady certificates • Case management, career guidance, and supportive services for the long-term unemployed • Job search activities including development of on-line "career" portfolios, and conducting job development and job placement activities for the unemployed • Employment related workshops to unemployed participants, such as those for resume development and successful interviewing • Follow-up services for participants including workplace counseling as needed • Scholarships/customized training contracts for the technical skills training/work experiences for the long-term unemployed Coordination with businesses and education/training providers to identify training needs and enroll participants into training d. The Local Workforce Region may also provide the following, as needed: • Supportive services that enable individuals to participate in grant activities (up to 10% of grant funds maybe be spent on supportive services). • Wages of participants in paid work experience and paid internships. • Equipment that is reasonable and necessary to achieve grant outcomes. While grant funds may be used to purchase equipment that is used for education and training activities provided through the proposed project, Local Workforce Regions are strongly encouraged to use leveraged resources to support these costs to maximize the use of their grant funds for program specific activities. e. Other services in support of the goals and outcomes of the grant, such as: • Providing Labor Market Information about high -demand occupations in the targeted industry sectors • Providing access to computer banks and phone services and assisting participants in registering in Connecting Colorado, as needed, to receive job leads • Entering participant information into Connecting Colorado for reporting purposes • Establishing cross -regional agreements with other workforce regions to effectively serve multi -regional employers, as needed • Leveraging WIA and other federal resources to enhance service delivery to participants • Coordinating services with any existing Sectors Initiatives operating in the workforce region or in collaboration with other workforce regions Page 25 of 28 CMS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS f. The Local Workforce Region's Business Services Unit and other workforce center staff shall coordinate services with employers committed to interviewing and hiring participants upon completion of training. Local Workforce Region staff shall integrate processes for determining eligibility and referrals for training into its service delivery strategy in support of the outcomes of this Grant. g. Occupations of Focus: The Local Workforce Region shall identify the industries and occupations that will be targeted and shall describe these in the Statement of Work section of an executed EA. The following are examples of possible Targeted High -Growth Industries & Occupations from the H-1 B list: • Information Technology (NAICS: 51) • Computer/Information Systems Managers; Computer and Information Scientists, Research; Computer Programmers; Computer Programmers, non R&D; Computer Software Engineers; Applications, Computer Software Engineers, Systems Software; Computer Systems Analysts; Network & Computer Systems Administrators (incl. Computer Security Specialists); Database Administrators; Computer Specialists, All Other (includes web developers and administrators); Network Systems & Data; Communications Analysts; Computer Support Specialists; Computer Hardware Engineers. • STEM —Professional, Scientific, and Technical Services (NAICS: 54) • Engineering Managers; Mechanical Engineers; Electrical Engineers; Electronics Engineers; Except Computer; Chemical Engineers; Engineers, All Other; Biomedical Engineers; Materials Engineers; Engineers, all other; Physicists; Atmospheric and Space Scientists. • Advanced Manufacturing (NAICS: 31-33) • General & Operations Managers; Industrial Production Managers, Quality Control; Industrial Engineers; Logisticians; Commercial & Industrial Designers. h. Training Strategies for Incumbent Workers: Industry -identified skill upgrade training shall be provided through classroom training and customized training strategies, both on -site, at local training institutions, and through online and distance learning. These training options shall be short-term certificate programs in most cases, but in limited instances may involve longer term degree completion coursework. Training activities that lead to an industry -recognized certification, credential or degree are required. i. Training Strategies for Long -Term Unemployed: Training options shall include both classroom and online industry -identified, skill upgrade customized training courses leading to certificates, plus longer term degree completion programs. In addition, paid work experiences may be offered to participants who would benefit from on-the-job exposure to updated industry technology. Training activities that lead to an industry -recognized certification, credential or degree are required. j. The Local Workforce Region shall participate in coordination meetings with CDLE staff and other stakeholders, as needed, to ensure successful outcome of this grant and the overall initiative. 3.4 Participants to be Served: Priority of service shall be given to veterans, particularly minority and disabled veterans currently employed in the targeted industries and occupations identified in 3.g above, as well as transitioning veterans and National Guard members meeting the long term unemployed criteria. Additional emphasis will be placed on women and minorities pursuing information technology and engineering careers, who are currently underrepresented in these occupations. Out of the total participants, Local Workforce Region shall serve incumbent workers (70%) and unemployed and long-term unemployed individuals (30%). Local Workforce Region shall comply with eligibility requirements identified in the L1 -1B Technical Skills Training Grant PGL and as referenced in the H-1 B Operations Manual. Page 26 of 28 CAIS# 54599 Exhibit D PY13 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS 3.5 Matching Funds. Each Local Workforce Region is required to report matching funds to equal 55% of the grant amount used for incumbent worker training activities. The 55% matching funds may be provided as cash or in -kind, except that half of the total matching funds shall be cash match. Any cash or in -kind resources beyond the 55% required match shall be identified as leveraged resources. Local Workforce Region shall follow the Federal administrative requirements related to cost sharing or match found at 29 CFR 95.23 or 29 CFR 97.25, and shall track matching funds in the Local Workforce Region's "Match Expense Report" Financial Tracking and Reporting System account. 3.6 Restrictions on Funding: The funds shall be used only for the stated purpose identified in this NFA, these funding provisions, PGLs and Operations Manuals issued by the State, and/or other Federal and State guidance for these funds.. Funds shall not be used for: On the Job Training Contracts (OJTs) General economic development projects, including revolving loan accounts, do not meet the H -I B requirements for training and development of job opportunities in high -growth industries and occupations. Examples of general economic development that may not meet this standard include but are not limited to infrastructure investments in businesses, increases in inventory, participation in trade shows, new or additional equipment used for purposes other than training activities, capital asset purchases, and other costs not specifically related to increases in actual job opportunities. • For commercial organizations, the earning of profit is not an allowable cost item. For governmental, non- profit, and public or non-profit educational institutions, earnings above actual costs incurred are to be treated as program income. Any program income earned must be used for program purposes. M. EMPLOYMENT SUPPORT FUND (ESF). 3.1 Statutory Reference: Colorado Revised Statutes(C.R.S.) 8-77-109 Establishment of the Employment Support Fund (ESF) for use by the Colorado Department of Labor and Employment — Division of Employment and Training and C.R.S. 8-83 Workforce Development Part 1 Division of Employment and Training; C.R.S. 8-83-104 State Employment Service; and C.R.S. 8-83 Part 2, Workforce Investment Act. 3.2 Purpose of Funding: Funds may be used to carry out employment and training activities in the workforce region and/or to support workforce center operations. 3.3 Allowable Costs: a. Allowable costs shall be reasonable and necessary for workforce center operations and employment and training activities which include, but are not limited to: building overhead and operating costs; indirect and administrative costs; training activities for participants; staff development; information technology initiatives that benefit workforce development programs; leverage and match for other workforce development programs in the local workforce region; and other employment service activities typically covered by the Local Workforce Region's annual Wagner Peyser funding. b. In the case when Employment Support Funds (ESF) are formula -allocated to the local workforce region, allowable costs are the same as those allowed (pursuant to Section 7a of the Wagner Peyser Act) in Part 3, A. Wagner-Peyser (90%) - Employment Services above. The general categories for allowable costs identified in the Wagner Peyser Act Section 7a, include, but are not limited to: job search and placement services to job seekers including counseling, testing, occupational and labor market information, assessment, and referral to employers; Page 27 of 28 CMS# 54599 Exhibit D PYI3 ADMINISTRATIVE REQUIREMENTS AND FUNDING PROVISIONS 2. appropriate recruitment services and special technical services for employers; 3. evaluation of programs; 4. developing linkages between services funded under the Wagner Peyser Act and related Federal or State legislation, including the provision of labor exchange services at educational sites; 5. providing services for workers who have received notice of permanent layoff or impending layoff, or workers in occupations which are experiencing limited demand due to technological change, impact of imports, or plant closures; 6. developing and providing labor market and occupational information; 7. developing a management information system and compiling and analyzing reports therefrom; and, 8. administering the work test for the State unemployment compensation system and providing job finding and placement services for unemployment insurance claimants. c. WIA regulations (20 CFR 652.206) indicate that Wagner Peyser funds may be used to provide core and intensive services as defined in WIA at 134(d)(2) and 20 CFR663.150, and at I34(d)(3)(C) and 20 CFR 663.200. See also the United States Department of Labor/Employment and Training Administration Advisory Training and Employment Guidance Letter (TEGL) Number 11-12 for a further delineation of allowable uses of Wagner Peyser funds. ESF funds may cover all of the allowable costs cited in these regulations and guidelines. d. Formula -allocated ESF may also be used for non -Wagner Peyser defined activities such as those listed in 3.3.a above. e. In the case when ESF funds are provided to the local workforce region for a discretionary project, allowable costs are those described in 3.3.a above and/or those identified in specific funding provisions included in the NFA for the discretionary project. f Expenditures of ESF funds may be used as stand-in costs required by other Federal grants provided under the WDP Agreement. g. Whereas Wagner Peyser funds may not be used for training, ESF funds ARE allowed to be used for costs related to participant training. 3.4. Restrictions on Funding: The funds shall be used only for the stated purpose identified in the allowable costs sections of these funding provisions, funding provisions in any NFAs, and/or as defined in an executed EA. Funds may not be used for religious, political, or discriminatory activities. Page 28 of 28 JOHN HICKENLOOPER Governor ELLEN GOLOMBEK Executive Director 8CC DEPARTMENT OF LABOR AND EMPLOYMENT AFi/ _ 4P OFFICE OF THE EXECUTIVE DIRECTOR KRISTIN M. CORASH Deputy Executive Director /876 Month Day, Year 633 17th Street, 121h Floor Denver, Colorado 80202-3629 The Board of County Commissioners of XXXX County (The Local Workforce Region) c/o Contact Person Address City, State ZIP Re: Notice of Fund Availability: #[FY -#] for [Workforce Center Name] Dear Contact Person: Exhibit E This Notice of Fund Availability (NFA) provides you with [formula/non formula allocated] funding available for expenditure for the period(s) identified below. This NFA #[FY -#] provides the following [modifications to your] funding allocations: Workforce Region: NAME CMS# Funding Source Period of Performance Vax # S Amount PY12 WIA Adult 7/1/12 to 6/30/14 $0.00 PY12 WIA Youth 7/1/12 to 6/30/14 $0.00 PY12 WIA Dislocated Worker 7/1/12 to 6/30/14 $0.00 PY12 Wagner Peyser 7/1/12 to 6/30/13 $0.00 Total NFA $0.00 The State and Local Workforce Region agree that only formula allocated funding provided through this NFA is ava lable for expenditures on the beginning date of the period of performance for each specific funding source listed herein. Forn ula allocated funding that is effective prior to the date of this NFA shall be considered retroactive and retroactive payments may be made. Retroactive payments shall be handled in the manner stated in the applicable provisions of Exhibit D. Pursuant to the Workforce Development Programs (WDP) Agreement #[FY-xxxx routing number], the Local Workforce Region shall submit to the State an original Expenditure Authorization (EA) or Informal EA modification that includes a defined statement of work for each funding allocation identified above. The attached Fund Availability Summary shows the Total Fund Availability for all funding allocations issued under WDP Agreement #[FY-xxxx routing number]. The maximum funding for XXXX County under WDP Agreement #[FY-xxxx routing number] shall not exceed XXX Thousand XXX Hundred Dollars ($xxx,xxx.00). The funding allocations identified herein are provided to the local workforce region subject to an executed WDP Agreement and appropriately executed EAs. This NFA shall become part of Attachment E to the fully executed WDP Agreement for your workforce region. If you have any questions, please call Workforce Development Programs at (303) 318-8800. Sincerely, William B. Dowling, Director Division of Employment and Training Colorado Department of Labor and Employment Page I oft Fund Availability Summary Workforce Region: NAME Funding Year starting 7/1/13 CMS# XXXX Funding, Source v Vax # CFDAf CURRENT Allocation Increase/ Decrease REVISED or FINAL Allocation PY13 WIA Adult 17.258 $0.00 $0.00 FY14 WIA Adult 17.258 $0.00 $0.00 PY13 WIA Youth 17.259 $0.0{0 $0.00 PY13 WIA Dislocated Worker 17.278 $0.00 $0.00 FY14 WIA Disclocated Worker 17.278 $0.00 $0.00 PY13 Wagner-Peyser 17.207 $0.00 $0.00 TOTAL Exhibit F Certification Regarding Debarment, Suspension, Ineligibility And Voluntary Exclusion -Lower Tier Covered Transaction Instructions for Certifications I. By signing and submitting its proposal and signing this contract, the prospective lower tier participant is providing the certification set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 3. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or had become erroneous by reason of changed circumstances. 4. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, proposal, and voluntarily excluded, as used in this clause, have the meaning set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted or with whom this contract is made for assistance in obtaining a copy of those regulations. 5. The prospective lower tier participant agrees by submitting its proposal and signing this contract that should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. 6. The prospective lower tier participant further agrees by submitting this proposal and signing this contract that it will include this clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transaction. 7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment, debarred, suspended, ineligible, or voluntarily excluded from covered transactions, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the List of Parties Excluded from Federal Procurement and Nonprocurement Programs. 8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment, suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. Page 1 of 2 Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transactions (1) The prospective lower tier participant certifies, by submission of this proposal and execution of this contract, that neither it nor its principals is presently declared ineligible, or voluntarily excluded from participation in this transaction by an Federal department or agency. (2) Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to its proposal. Pagc 2 oft Exhibit G CERTIFICATION REGARDING LOBBYING (Certification for Contracts, Agreements, Loans, and Cooperative Agreements) The undersigned certifies, to the best of his or her knowledge and belief, that: 1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, 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 Agreement, 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, Agreement, loan, or cooperative agreement. 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 office or employee of any agency, a Member of Congress, an office or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, Agreement, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," 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, subcontracts, and contracts under Agreements, 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. Page I of Exhibit H DRUG -FREE WORKPLACE CERTIFICATIONS Alternate I. (Contractors/Local Workforce Regions Other Than Individuals) A. The Local Workforce Region/contractor certifies that it will or will continue to provide a drug -free workplace by: 1. Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the The Local Workforce Region's workplace and specifying the actions that will be taken against employees for violation of such prohibition: 2. Establishing an ongoing drug -free awareness program to inform employees about - a) The dangers of drug abuse in the workplace; b) The Local Workforce Region's policy of maintaining a drug -free workplace; c) Any available drug counseling, rehabilitation, and employee assistance programs; and d) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; 3. Making it a requirement that each employee to be engaged in the performance of the Agreement/contract be given a copy of the statement required by paragraph I; 4. Notifying the employee in the statement required by paragraph 1 that, as a condition of employment under the Agreement/contract, the employee will: a) Abide by the terms of the statement; and b) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction; 5. Notifying the agency in writing, within ten calendar days after receiving notice under paragraph 4(b) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to every Agreement officer or other designee on whose Agreement/contract activity the convicted employee was working, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification number(s) of each affected Agreement/contract; 6. Taking one of the following actions, within 30 calendar days of receiving notice under paragraph 4(b), with respect to any employee who is so convicted: (a) Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or (b) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; 7. Making a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs 1,2,3,4,5, and 6. B. The Local Workforce Region/contractor may insert in the space provided below the site(s) for the performance of work done in connection with this Agreement/contract: Page I of I Exhibit I TOBACCO FREE CERTIFICATION Public Law 103-227, the Pro -Children Act of 1994, requires that smoking not be permitted in any portion of any indoor facility owned or leased or contracted for by any entity and used routinely or regularly for the provision of health, day care, education, or library services to children under the age of 18, if the services are funded by Federal programs either directly or through State or local governments, by Federal Agreement, contract, loan, or loan guarantee. The law does not apply to children's services provided by private residences, facilities funded solely by Medicare or Medicaid funds, and portions of facilities used for inpatient drug or alcohol treatment. By submitting and signing the application and this contract, the contractor certifies that it will comply with the requirements of the Act. The contractor further agrees that it will require the language of this certification to be included in any subawards (or subcontracts) which contain provisions for children's services and that all Subcontractors (or Subcontractors ) shall certify and perform accordingly. Page of I Exhibit J STANDARD ASSURANCES By signing this Agreement, the Local Workforce Region is providing the assurances and/or certifications required as detailed below: A. ASSURANCES - NON -CONSTRUCTION PROGRAMS (SF 424 B): NOTE: Certain of these Assurances may not be applicable to your project or program. As the duly authorized representative of the Local Workforce Region, I certify that the Local Workforce Region: 1. Has the legal authority to apply for Federal Assistance and the institutional managerial and financial capability (including funds sufficient to pay the non -Federal share of project costs) to ensure proper planning, management and completion of the project described in this application. 2. Shall give the awarding agency, the Comptroller General of the United States, and if appropriate, the State, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award; and shall establish a proper accounting system in accordance with generally accepted accounting standards or agency directives. 3. Shall establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 4. Shall initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency. 5. Shall comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. 4701 and 4728-4783) relating to prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A of OPM's Standards for a Merit System of Personnel Administration (5 CFR 900, Subpart F). 6. Shall comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex and blindness; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), which prohibits discrimination on the basis of disability; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. 6101-6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255) as amended, relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616) as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) Sections 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd.3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. 3601 et seq.) as amended, relating to nondiscrimination in the sale, rental or financing of housing; CO any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and 0) the requirements of any other non-discrimination statute(s) which may apply to the application. 7. Shall comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provides for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally Page 1 oil assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. 8. Shall comply with the provisions of the Hatch Act (U.S.C. 1501-1508 and 7324-7328), which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. 9. Shall comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C. 276a to 276a 7), the Copeland Act (40 U.S.C. 276c and 18 U.S.C. 874, and the Contract Work Hours and Safety Standards Act (40.327-333), regarding labor standards for federally assisted construction subcontracts. 10. Shall comply, if applicable, with Flood Insurance Purchase Requirements of the Flood Disaster Protection Act of 1973 (P.L. 93-234, 42 USC 4012(a)) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more. 11. Shall comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P. L. 91-190) and Executive Order (EO) 11514, 42 USC 4321-4347; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in flood plains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. 1451 et. seq.): (I) conformity of Federal actions to State (Clear Air) Implementation Plans under Section 176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Chapter 85, 7401 et seq.); (g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-523); and (h) protection of endangered species under the Endangered Species Act of 1973, as amended, (P.L. 93- 205). 12. Shall comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. 13. Shall assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470), EO 11593 (identification and protection of historic properties), and the Service Award Act of 1974 (16 U.S.C. 469a.1 et seq.). 14. Shall comply with P.L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance. 15. Shall comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544. as amended, 7 U.S.C. 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other activities supported by this award of assistance. 16. Shall comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. 4801 et seq.) which prohibits the use of lead -based paint in construction or rehabilitation of residence structures. 17. Shall cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and OMB Circular No. A-133, Audits of States, Local Governments and Non - Profit Organizations." 18. Shall comply with all applicable requirements of all other Federal laws, executive orders, regulations and policies governing these programs. Page 2 of3 B. ASSURANCE - NONDISCRIMINATION & EQUAL OPPORTUNITY ASSURANCE Note: This particular assurance (portions which are duplicated elsewhere in other assurances) is applicable to the extent that the program activities are conducted as part of the One Stop delivery system (See 29 CFR 37.2) also known as the American Job Center network. As a condition to the award of financial assistance from the United States Department of Labor under Title I of WIA, the Local Workforce Region assures that it shall comply fully with the nondiscrimination and equal opportunity provisions of the following laws: (1) Section 188 of the Workforce Investment Act of 1998 (WIA), which prohibits discrimination against all individuals in the United States on the basis of race, color, religion, sex, national origin, age, disability, political affiliation, or belief, and against beneficiaries on the basis of either citizenship/status as a lawfully admitted imMIGRANT authorized to work in the United States or participation in any WIA Title I financially assisted program or activity; (2) Title VI of the Civil Rights Act of 1964, as amended, which prohibits discrimination on the basis of race, color, and national origin; (3) Section 504 of the Rehabilitation Act of 1973, as amended, which prohibits discrimination against qualified individuals with disabilities; (4) The Age Discrimination Act of 1975, as amended, which prohibits discrimination on the basis of age; and (5) Title IX of the Education Amendments of 1972, as amended, which prohibits discrimination on the basis of sex and blindness in educational programs. The Local Workforce Region also assures that it shall comply with 29 CFR Part 37 and all other regulations implementing the laws listed above. This assurance applies to the Local Workforce Region's operation of the WIA Title IB financially assisted program or activity, and to all agreements the Local Workforce Region makes to carry out the WIA Title I financially assisted program or activity. The Local Workforce Region understands that the United States has the right to seek judicial enforcement of this assurance. Page 3 of 3 Local Workforce Region: WDP Agreement CMS#: EXHIBIT K INFORMAL EXPENDITURE AUTHORIZATION (EA) MODIFICATION Name of Project/Grant: NFA#: This document serves as approval by the Workforce Region Director for the modifications described below and becomes an addendum to the original, executed EA. The NFA for funding changes, if applicable, is attached. On behalf of the NAME Workforce Region: ❑ I accept the funding changes provided in the attached NFA. ❑ I request and approve this Informal EA modification. By Workforce Center, Director Date By: Date Title: I. The following table(s) shows changes to the Budget for these funds: Insert EITHER an updated Budget Information Summary Table (BEST) which shows changes in or out OR a Discretionary Grant Budget Chart that shows the changes in the budget with Strikethrough of the original line items and BOLD of the new budgeted amounts. Workforce Region: NAME Funding Stream: PY13 Adult Period of Performance: 7/1/13 - 6/30/15 Revised Period of Performance: Original Allocation: $000,000.00 Vax # Original Program Budget: $0,000.00 Original Admin Budget: $0.00 Transfer In (+): $00.000 From Fund Year and Name: Transfer Out (-): ($00.00) To Fund Year and Name: Cost Category Approved Current Budget Transfer In/Out (+/-) Or Adjustment (+/-) Revised Budget Admin $0.00 $0.00 Program $0.00 $0.00 DW-Admin (transfer in) 50.00 $0.00 DW-Program (transfer in) $0.00 $0.00 Total Program $0.00 $0.00 Workforce Region: NAME Page 1 of 4 Local Workforce Region: WDP Agreement CMS#: Funding Stream: PY13 Youth Period of Performance: 7/1/13 - 6/30/15 Revised Period of Performance: Original Allocation: $000,000.00 Vax # Original Program Budget: 50,000.00 Original Admin Budget: $0,000.00 Cost Category Approved Current Budget Changes In/Out (+/-) Revised Budget Admin $0.00 $0.00 Out-of-SchooI $0.00 $0.00 In -School $0.00 $0.00 Total Program $0.00 $0.00 Budget Line Items Planned Expenditures Salaries, Fringe Benefits, Travel Equipment Supplies Subcontracting arrangements Operating/Overhead Direct Training & Program Related Supportive Services Other Participant Related Services Total Cumulative Expenditures II. EA MODIFICATION(S): A. ❑ This EA Increases the amount of funding. B. ❑ This EA Decreases the amount of funding. C. ❑ This EA Modifies the Budget 1. The Purpose and Rationale for this modification is: D. ❑ This EA modifies the Budget Line items for the Discretionary Grant as shown in the Discretionary Grant Budget Chart above. E. ❑ This EA includes a transfer between the Adult and Dislocated Worker/25% Enhanced Dislocated Worker funding streams. F. ❑ This EA Modifies the Statement of Work The Purpose and Rationale for this modification is: 2. The Impact of this modification on the Delivery of Services, Program Activities, and Training is: Page 2 of 4 Local Workforce Region: WDP Agreement CMS#: G. Changes to the Performance Outcomes are shown in the modified Program Charts in Section V below or here in the Alternative Performance Outcomes Chart: (f this Informal EA modification is for a discretionary grant, include the original performance outcomes chart showing the changes in STRIKETHROUGH and BOLD.) III. MODIFICATIONS TO THE ORIGINAL PROGRAM REQUIREMENTS OR FUNDING PROVISIONS A. E Additional Funding Provisions OR Changes to Funding Provisions apply to this EA. (see attached NFA or copy applicable funding provisions here). B. ❑ Changes to the subcontracting arrangements for delivery of services are as follows: C. Changes to Other Internal Financial Resources to support this EA/discretionary grant are as follows: D. Changes to Other External Financial Resources to support this EA/discretionary grant are as follows. E. ❑ Changes to the Cost Sharing/Match Requirement for this EA/discretionary grant are shown in the chart below: (show strikethrough of old amounts and bold the new amounts) Cost Sharing/Matching/Leverage Summary Table Name of Collaborating Entity Planned Contribution(s) Match Source (Federal/State/Private) Type of Leverage (Cash, In - kind, Staff Time, Materials/Supplies, Other) IV. PROJECTED QUARTERLY EXPENDITURES — CUMULATIVE FOR PY13 Changes to the Projected Quarterly Expenditures are shown in STRIKETHROUGH and BOLD in the Charts Below: (add additional charts as needed). Funding Stream: NAME OF Project (include additional quartets if the grant is longer than one year) Expenditures Ist Quarter Projections Enter quarter date range in which the grant begins 2nd Quarter Projections Enter the second quarter date range of the grant 3rd Quarter Projections Enter the third quarter date range of the grant 4th Quarter Projections Enter the fourth quarter date range of the grant Administration Program Total Page 3 of 4 Local Workforce Region: WDP Agreement CMS#: V. PLANNED PARTICIPATION SUMMARY — CUMULATIVE Changes to the Performance Outcomes are shown in STRLKETHROUGH and BOLD in the Charts Below: [ Program and Year: Add Program Year and Name of Funding stream J CATEGORY 1ST QUARTER July I to September 30, 2013 2ND QUARTER October 1 to December 31. 2013 3RD QUARTER January I to March 31. 2014 4TH QUARTER April 1 to June 30, 2014 Total Participants _ Carry In Enter total carry in from first quarter here Enter total carry in from first quarter here Enter total carry in from first quarter here New Entered Employment Rate 76% Employment Retention Rate 81% Average Earnings/Wage S 15.000 PLANNED PROGRAM ACTIVITIES - CUMULATIVE CATEGORY 1ST QUARTER July 1 to September 30, 2013 2ND QUARTER October 1 to December 31, 2013 3RD QUARTER January 1 to March 31, 2014 4TH QUARTER April I to June 30, 2014 Training Services Participants (//) Training Completions (#) n/a n!a n/a Training Related Placements (%) :1/a r., a n/a (include additional charts as appropriate) Page 4 of 4 Hello