IGA WITH DES FOR WIOA ACTIVITIES.PDF

INTERGOVERNMENTAL AGREEMENT (IGA)
Contract between Arizona Department of Economic Security ("ADES" or "Department") and Maricopa
County ("Contractor").
WHEREAS the Department is duly authorized to execute and administer contracts under A.R.S § 41-1954; and
WHEREAS the Contractor is duly authorized to execute and administer contracts under A.R.S. §11-952; and
WHEREAS the Department and the Contractor are authorized by A.R.S. § 11-952 to enter into agreements for
joint or cooperative action to contract for the services specified in this contract;
WHEREAS, the Department and Contractor agree to abide by all the terms and conditions set forth in this
Contract.
NOW THEREFORE, in consideration of the mutual undertakings herein contained, the Parties agree as follows:
BY SIGNING THIS FORM ON BEHALF OF THE CONTRACTOR, THE SIGNATORY CERTIFIES HE/SHE HAS THE AUTHORITY TO BIND
THE CONTRACTOR TO THIS CONTRACT.
FOR AND ON BEHALF OF THE ARIZONA FOR AND ON BEHALF OF MARICOPA COUNTY
DEPARTMENT OF ECONOMIC SECURITY:
Procurement Officer Signature Signature
Steve Chucri
Printed Name Chairman Date
Attested to By:
Title
Fran McCarrol, Clerk of the Board Date
Date
ADES Contract Number Contract Number
IN ACCORDANCE WITH A.R.S. § 11-952, THIS CONTRACT HAS BEEN REVIEWED BY THE UNDERSIGNED WHO HAVE
DETERMINED THAT THIS CONTRACT IS IN APPROPRIATE FORM AND WITHIN THE POWERS AND AUTHORITY
GRANTED TO EACH RESPECTIVE PUBLIC BODY.
ARIZONA ATTORNEY GENERAL’S OFFICE MARICOPA COUNTY ATTORNEY’S OFFICE
By: _______________________________________ By: ____________________________________
Assistant Attorney General Deputy County Attorney
Date: _______________________________________ Date: _______________________________________
rev 7 20 15
Page 1 of 13

1.0 ADES VISION AND MISSION STATEMENTS
1.1 ADES Vision: Opportunity, assistance and care for Arizonans in need.
1.2 ADES Mission: The Arizona Department of Economic Security makes Arizona stronger by helping
Arizonans reach their potential through temporary assistance for those in need, and care for the vulnerable.
2.0 PARTIES
2.1 This Intergovernmental Agreement (IGA or Agreement) is between ADES and Maricopa County.
3.0 TERM OF AGREEMENT
3.1 TERM
The term of this agreement shall have an effective date of 7/1/2015 and end on 6/30/2020 unless otherwise
agreed upon by both parties in writing.
3.2 EXTENSION
This Agreement may be extended through a written amendment by mutual agreement of the parties.
3.3 TERMINATION
3.3.1 This Agreement may be terminated by mutual agreement of the parties at any time during the term of this
Agreement.
3.3.2 Each party shall have the right to terminate this Agreement by hand-delivering to the other party written
notice of termination at least thirty (30) days prior to the effective date of said termination.
3.3.2.1 It is mutually agreed however that, prior to the termination of this Agreement, reasonable efforts shall be
made to discuss options for preserving this Agreement, including amendments if necessary. The ADES
reserves the right to terminate the Contract in whole or in part at any time, when in the best interests of the
ADES without penalty or recourse. Upon receipt of the written notice, the Contractor shall stop all work, as
directed in the notice, notify all subcontractors of the effective date of the termination and minimize all
further costs to the ADES. In the event of termination under this paragraph, all documents, data and reports
prepared by the Contractor under the Contract shall become the property of and be delivered to the ADES
upon demand. The Contractor shall be entitled to receive just and, equitable compensation for work in
progress, work completed, and materials accepted before the effective date of the termination. The cost
principles and procedures provided in A.A.C. R2-7-701 shall apply.
4.0 AMENDMENTS OR MODIFICATIONS
4.1 This Agreement may be amended or modified at any time by mutual agreement. No agent, employee or
other representative of either party is empowered to alter any of the terms of the Agreement, unless done
in writing and signed by the authorized representative of the respective parties.
4.2 Either party shall give written notice to the other party of any non-material alteration that affects the
provisions of this Agreement. Non-material alterations that do not require a written amendment are as
follows:
1. Change of telephone number;
2. Change in authorized signatory; and
3. Change in the name and/or address of the person to whom notices are to be sent.
5.0 PURPOSE OF AGREEMENT
5.1 The purpose of this Agreement is to provide Workforce Innovation and Opportunity Act (WIOA) Title 1B
services to eligible Youth, Adults, and Dislocated Workers throughout the designated Local Workforce
Development Area (LWDA). These services will be provided in accordance with Federal and State
regulations and the most current local area plan.
6.0 MANNER OF FINANCING
6.1 WIOA Title 1B CFDA # 17.258 (Adult): CFDA #17.259 (Youth): CFDA #17.278 (Dislocated Worker)
6.2 PERIOD OF AVAILABILITY FOR EXPENDITURE OF WIOA FUNDS
6.2.1 The Contractor agrees that Pursuant to Notice of Proposed Rule Making (NPRM) 683.110, funds
allocated by a State to a local area under subpart- A sections 128(b) and 133(b), for any Program year are
available for expenditure only during that program year and the succeeding program year. Funds that are
not expended by a local area in the two-year period described in paragraph (b) (1) of section 128 (b) and
133(b) of the Workforce Innovation and Opportunity Act shall be returned to the State. Funds so returned
are available for expenditure by State and local recipients and sub recipients only during the third program
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year of availability. These funds may be used for statewide projects, or distributed to other local areas,
which had fully expended their allocation of funds for the same program year within the two- year period.
6.2.2 The period of availability for funds allocated under this Contract is identified in Attachment B, Allocation by
Program & Fiscal Year. Reimbursement shall not exceed the allocations identified in Attachment B.
6.2.3 All final expenditure reports and cash draw requests for the Local Area Formula Funds shall be
submitted per Attachment B. No extensions shall be granted to the requirement to submit the final
expenditure and cash draw requests.
6.3 RESCISSION OF FUNDS
If the Federal Funding Source informs the State that it is rescinding funding from the State and where the
State must in turn rescind from a Contractor(s) who may hold one or more Contracts for services funded
under the specified Federal Funding Source, the State may take action in the following sequence
6.3.1 Rescind the required amount of funds from unexpended funds to the designated previous period(s) of
time.
6.3.2 Rescind the required amount of funds from unexpended funds to the designated current period(s) of time.
6.3.3 Decrease the required amount of funds from funds from a designated future period(s) of time.
7.0 SERVICE DESCRIPTION
7.1 Program eligibility will be conducted on each applicant prior to the provision of services. Eligibility will
include determination of family size, family income for the previous six-month period, educational status,
and identification of any barriers or issues that impact attaining and/or retaining employment. Services
shall comply with the Workforce Innovation and Opportunity Act as amended and applicable federal and
state regulations.
8.0 SERVICES:
8.1 ADULT AND DISLOCATED WORKERS
8.1.1 Provided to adults and dislocated workers, as appropriate to meet the individual’s needs, may include
Career Services and/or Training Services
8.2 RAPID RESPONSE ACTIVITIES:
8.2.1 Provide to Dislocated Workers upon notification of a pending layoff or plant closure to inform them of
available WIOA Title 1B services and other services available in the community to assist them in
transitioning from the layoff employer to other employment or training opportunities.
8.3 YOUTH WORKFORCE INVESTMENT ACTIVITIES:
8.3.1 Provided to WIOA Title 1B eligible youth, who are either in-school, ages fourteen to twenty-one (14-21)
(unless an individual with a disability who is attending school under State law) or out-of- school, ages
sixteen to twenty-four (16-24). Expenditures for in-school youth shall not exceed 25% of all Youth funds
available.
8.4 THE EXPENDITURES FOR ALL PROGRAMS will comply with 2 C.F.R. § 200; Public Law, 113-128 of the 113th
Congress described as the Workforce Innovation and Opportunity Act and Federal and State
regulations and guidelines under the WIOA Title, 1-B Federal grant.
9.0 RESPONSIBILITIES
9.1 The ADES and the Contractor agree as follows:
9.2 The Contractor shall:
9.2.1 Provide Workforce Innovation and Opportunity Act (WIOA) Title 1B services to eligible Youth, Adults,
and Dislocated Workers throughout the designated Local Workforce Development Area (LWDA). These
services will be provided in accordance with Federal and State regulations and the most current Local
Area Plan which is incorporated into this Agreement by reference.
9.2.2 Meet all negotiated performance levels for all performance measures contained in the Contractor’s Local
Area Plan. Failure to meet any of the performance measures contained in the Local Area Plan may
result in the Department issuing a Demand for Assurance, which may require a written corrective action
plan from the Contractor.
9.2.3 Complete the requirements stated in the Demand for Assurance, including the corrective action plan, by
the timeframe prescribed by the Department, failure to complete shall result in the immediate
suspension of the Contractor’s authority to receive payment under this Contract. Such authority shall
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not be reinstated until the Contractor submits, and the Department approves, a revised corrective action
plan or submits documentation to show that the issues identified in the Demand for Assurance have been
addressed.
9.2.4 Comply with the approved Demand for Assurance response. If not in compliance, the Department will
proceed with remedies outlined in Section 23.0 up to and including sanctions.
9.2.5 Be held responsible for meeting performance measures. If the Contractor fails the same performance
measure in two consecutive years, the ADES may impose sanctions up to and including withholding WIOA
Title I B funding as outlined in Section 23.0.
9.2.6 Send a written notice to the contact in Section 15.2, if it wishes to transfer funds between Adult and
Dislocated Workers funds, detailing the amount, up to 100%, of funds that will be transferred and from
which funding source the transfer will occur.
9.3 CONFIDENTIALITY:
9.3.1 The Contractor shall observe and abide by all applicable State and Federal Statutes, rules and regulations
regarding the use or disclosure of information including, but not limited to, information concerning
applicants for and recipients of contract services. To the extent permitted by law, the Contractor shall
release information to ADES and the Attorney General's Office as required by the terms of this contract, by
law or upon their request. Notwithstanding the foregoing, Contractor may release public records redacting
confidential and personal identifying information in response to a valid public records request pursuant to
the Arizona Public Records Law (A.R.S. § 39-121 et seq.), provided, that in the event such a public
records request is received, Contractor shall immediately notify the ADES Public Records Coordinator
at publicrecordsrequest@azdes.gov and thereafter permit ADES(or any counterparty of ADES to whom
the records or information subject to the request belongs or concerns) to intervene in order to secure a
protective order or other appropriate relief from a court of competent jurisdiction. The protective action
described in the preceding sentence shall be undertaken (if at all) in the sole discretion of ADES and/or its
counterparties, and a protective order or other appropriate relief must be obtained within ten (10) business
days from the date that notification of the public records request is delivered by Contractor to the ADES
Public Records Coordinator. Contractor shall not, under any circumstances, be responsible for securing a
protective order or other relief enjoining the release of records, nor shall Contractor be in any way
financially responsible for any costs associated with securing such an order.
9.3.2 Arizona Address Confidentiality Program: The Contractor shall comply with the requirements of Arizona
Address Confidentiality Program, A.R.S. § 41-161 et seq. The ADES will advise the Contractor as to
applicable policies and procedures the ADES has adopted for such compliance.
10.0 FINGERPRINTING
10.1 Contractor shall comply with, and shall ensure that all of Contractor’s employees, independent contractors,
subcontractors, volunteers and other agents comply with, all applicable (current and future) legal
requirements relating to fingerprinting, fingerprint clearance cards, certifications regarding pending or past
criminal matters, and criminal records checks that relate to contract performance.
10.2 Applicable legal requirements relating to fingerprinting, certification, and criminal background checks may
include, but are not limited, to the following: A.R.S. §§ 36-594.01, 36-3008, 41-1964, and 46-141. All
applicable legal requirements relating to fingerprinting, fingerprint clearance cards, certifications regarding
pending or past criminal matters, and criminal records checks are hereby incorporated in their entirety as
provisions of this contract. The Contractor is responsible for knowing which legal requirements relating to
fingerprinting, fingerprint clearance cards, certifications regarding pending or past criminal matters, and
criminal records checks relate to contract performance.
10.3 To the extent A.R.S. § 46-141 is applicable to contract performance or the services provided under this
contract, the following provisions apply:
10.3.1 Personnel who are employed by the Contractor, whether paid or not, and who are required or allowed to
provide services directly to juveniles or vulnerable adults shall have a valid fingerprint clearance card or or
shall apply for a fingerprint clearance card within seven working days of employment.
10.3.2 Except as provided in A.R.S. § 46-141, this contract may be cancelled or terminated immediately if a
person employed by the Contractor and who has contact with juveniles certifies pursuant to the provisions
of A.R.S. § 46-141 (as may be amended) that the person is awaiting trial or has been convicted of any of
the offenses listed therein in this State, or of acts committed in another state that would be offenses in this
State, or if the person does not possess or is denied issuance of a valid fingerprint clearance card.
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10.3.3 The Contractor and subcontractor staff who are required or allowed to provide services directly to juveniles
or vulnerable adults shall possess a fingerprint clearance card that meets Level One requirements as
described in A.R.S. § 41-1758.07, or, if waiting receipt of their clearance card, shall provide services under
direct visual supervision and oversight of an employee who possess a Level One Fingerprint Clearance
Card until they are issued a valid fingerprint clearance card that meets the Level One
requirements. Contractor and subcontractor staff includes current employees whether paid or not who
transfer into a direct service position, volunteers, and new employees whether paid or not.
11.0 BACKGROUND CHECKS FOR EMPLOYMENT THROUGH THE CENTRAL REGISTRY. If providing direct services
to children or vulnerable adults, the following shall apply:
11.1 The provisions of A.R.S. § 8-804 (as may be amended) are hereby incorporated in its entirety as provisions
of this Contract.
11.2 The ADES will conduct Central Registry Background Checks and will use the information contained in the
Central Registry as a factor to determine qualifications for positions that provide direct service to children or
vulnerable adults for:
1. Any person who applies for a contract with this State and that person’s employees;
2. All employees of a contractor;
3. A subcontractor of a contractor and the subcontractor’s employees; and
4. Prospective employees of the contractor or subcontractor at the request of the prospective
employer.
11.3 Volunteers who provide direct services to children or vulnerable adults shall have a Central Registry
Background Check, which is to be used as a factor to determine qualifications for volunteer positions.
11.4 1. A person who is disqualified because of a Central Registry Background Check may apply to the
Board of Fingerprinting for a Central Registry exception pursuant to A.R.S. § 41-619.57. A person
who is granted a Central Registry exception pursuant to A.R.S. § 41-619.57 is not entitled to a
contract, employment, licensure, certification or other benefit because the person has been granted
a Central Registry exception.
2. Before being employed or volunteering in a position that provides direct services to children or
vulnerable adults, persons shall certify on forms that are provided by the ADES whether an
allegation of abuse or neglect was made against them and was substantiated. The completed
forms are to be maintained as confidential.
11.5 A person awaiting receipt of the Central Registry Background Check may provide direct services to ADES
clients after completion and submittal of the Direct Service Position certification if:
1. The person is not currently the subject of an investigation of child abuse or neglect in Arizona or
another state or jurisdiction; and
2. The person has not been the subject of an investigation of child abuse or neglect in Arizona, or
another state or jurisdiction, which resulted in a substantiated finding.
The Certification for Direct Service Position is located at:
https://www.azdes.gov/InternetFiles/InternetProgrammaticForms/doc/ACY-1287AFORFF.doc
11.6 If the Central Registry Background Check specifies any disqualifying act and the person does not have a
Central Registry exception, the person shall be prohibited from providing direct services to ADES clients.
11.7 The Contractor shall maintain the Central Registry Background Check results and any related forms or
documents in a confidential file for five (5) years after termination of the Contract. The Request for Search
of Central Registry for Background Check is located at:
www.azdes.gov/InternetFiles/Administrative%20Forms/doc/DES-1076AFORFFS.doc - 2013-04-02
12.0 MONITORING
The Department will monitor the Contractor and /or subcontractor(s) who shall cooperate in the monitoring
of services delivered; facilities; records maintained and fiscal practice. The Contractor must conduct
regular oversight and monitoring of its WIOA activities and those of its sub-recipients in accordance with
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Notice of Proposed Rule Making 683.410 and in accordance with the uniform administrative
requirements at 29 CFR parts 95 and 97.
13.0 REPORTING REQUIREMENTS
13.1 Per Attachment B, the Contractor shall submit to ADES a final financial closeout packet.
13.2 Unless otherwise provided in this Contract, reporting shall adhere to the following schedule: No later than
the 30th day following each month in which services were provided during the contract term, the
Contractor shall submit financial reports to ADES in the form set forth within the contract.
13.3 Submit ETA 9130 Quarterly Report within thirty (30) days after the end of the quarter.
13.4 Failure to submit accurate and complete reports by the 30th day following the end of a month may result,
at the option of ADES, in retention of payment. Failure to provide such report within 30 days following the
end of a month may result, at the option of ADES, in a forfeiture of such payment.
13.5 THE CONTRACTOR SHALL PROVIDE ADES THE FOLLOWING REPORTS:
13.5.1 Contractor Monthly Expenditure and Cash Draw Reports and Detailed Expenditure Breakdown. This is the
only format that will be accepted for reporting accrued expenditures.
13.5.2 ETA 9130 Quarterly Reports
13.5.3 All reports are available from the contact information located in 13.6.
13.6 All Reports shall be sent to:
WIAFiscalReports@azdes.gov
14.0 PAYMENT REQUIREMENTS
14.1 Contractor Monthly Expenditure and Cash Draw Reports and Detailed Expenditure Breakdown shall be
submitted to the email listed in section13.6 by the 30th day of the month following the month services
were provided.
15.0 NOTICES
15.1 All notices to the Contractor regarding this Agreement shall be sent to the following address:
Maricopa County Human Services Department
ATTN: Patricia Wallace
234 N Central Avenue, 3rd Floor
Phoenix AZ 85004
(602) 506-4146
WALLACEP001@mail.maricopa.gov
15.2 All notices to ADES regarding this Agreement shall be sent to the following address:
Arizona Department of Economic Security
ATTN: WIOA Fiscal Compliance Unit
Site Code: 920Z
1789 W. Jefferson Street
Phoenix, AZ 85007
Phone (602) 542-2474
16.0 DISPOSITION OF PROPERTY
16.1 Transfer/Surplus of Equipment with a Property Value less than $5,000
Items of equipment with a current per unit fair market value of less than $5,000 may be retained, sold or
otherwise disposed of with no further obligation to the Federal awarding agency. If property is deemed
worthless, documentation must be provided to establish this fact. Property may not be donated to another
agency unless it is worthless. An appraiser may establish value. The Equipment Transfer/Surplus
Request (J-320) disposition record must be kept for any transaction in accordance with EA/WIOA Section
record retention requirements and WIOA Inventory Equipment Database or other internal inventory system
annotated accordingly. The Contractor and/or service provider may sell the property and retain the
proceeds for use in WIOA programs or divided in accordance with terms of local agency cost sharing
agreement.
16.2 CALCULATION OF “FAIR MARKET VALUE”
The selling price of an item that is sold through auction, advertisement, or a dealer is the fair market value
of the item regardless of any prior estimates. An item that is not sold but retained by the Contractor
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and/or service provider has a fair market value based on similar items that are offered for sale, using the
selling price if known.
16.3 PROPERTY RECORDS RETENTION
All property records must be maintained from date of acquisition, through final disposition. The Contractor
and/or service providers must also retain these records for a period of five (5) years from the date of their
last expenditure report. If any litigation, claim, negotiation, or audit is started before the expiration of
the five (5) year period, all records related to this Agreement must be retained until all findings have
been resolved and final action taken or until the end of the regular five (5) year period, whichever is
later.
16.4 INVENTORY RECORDS
The Contractor and/or service providers must maintain accurate inventory records of expendable
leased/purchased (value $2,000.00 to $4,999.99), and non-expendable leased/purchased equipment
$5,000 or more with WIOA funds. Property records must include:
a) Asset Number
b) Item Description
c) Manufacturer
d) Serial Number
e) Acquisition Date
f) Physical Location
g) Total Item Cost.
The Contractor and service providers are required to submit an inventory report for all
property leased/purchased with WIOA funds costing more than $2,000.00 to the EA/WIOA
Section, Fiscal Manager by August 1 of each year.
16.5 Prior Approval Equipment with a Property Value $5,000 or more
Before allocating WIOA funds for any non-expendable tangible property purchase (including software
purchases) with a per unit cost of $5,000 or more, or total purchase cost exceeds $10,000, the
Contractor and/or service provider must complete a “WIOA Pre-Approval of Equipment & Vehicles
$5,000 or More Questionnaire” form that must be signed by the Contractor Director or Designee.
a) The signed form must be forwarded to the WIOA Section Finance Manager for review, approval
or disapproval action.
b) When an approval decision is rendered, the WIOA Section Finance Manager will return the
signed questionnaire to the Contractor Director or Designee. Upon receipt of the signed and
approved questionnaire, the Contractor can proceed to purchase the equipment or property.
c) When a decline decision is rendered, the WIOA Section Finance Manager will specify the reason
for disapproval and return the signed questionnaire to the LWIOA Director. The LWIOA may
appeal this decision to the. WIOA Section Finance Manager.
17.0 THIRD-PARTY ANTITRUST VIOLATIONS
The Contractor assigns to ADES any claim for overcharges resulting from antitrust violations, to the
extent that those violations concern materials or services supplied by third parties to the Contractor,
toward fulfillment of this Contract.
18.0 APPLICABLE LAW
18.1 This Contract shall be governed and interpreted by the laws of the State of Arizona. The materials and
services supplied under this Contract shall comply with all applicable Federal, State and local laws, and the
Contractor shall maintain all applicable licenses and permit requirements.
19.0 ARBITRATION
19.1 The parties to this Contract agree to resolve all disputes arising out of or relating to this Contract
through arbitration, after exhausting applicable administrative review, to the extent required by A.R.S.§
12-1518 except as may be required by other applicable statutes.
20.0 COPYRIGHTS AND OWNERSHIP OF INTELLECTUAL PROPERTY
Any and all intellectual property, including but not limited to copyright, invention, trademark, trade name,
service mark, and/or trade secrets created or conceived pursuant to or as a result of this contract and
any related subcontract (“Intellectual Property”), shall be work made for hire and the State shall be
considered the creator of such Intellectual Property. The agency, department, division, board or
commission of the State of Arizona requesting the issuance of this contract shall own (for and on behalf of
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the State) the entire right, title and interest to the Intellectual Property throughout the world. Contractor
shall notify ADES, within thirty (30) days, of the creation of any Intellectual Property by it or its
subcontractor(s). Contractor, on behalf of itself and any subcontractor(s), agrees to execute any and all
document(s) necessary to assure ownership of the Intellectual Property vests in the State and shall take
no affirmative action that might have the effect of vesting all or part of the Intellectual Property in any
entity other than the Department. The Contractor or its subcontractors are not to dispose or distribute any
Intellectual Property without the express written authorization of the Department, division, board or
commission of the State of Arizona requesting the issuance of this contract shall not disclose the
Intellectual Property.
21.0 AUDIT
21.1 In accordance with A.R.S. § 35-214, the Contractor shall retain and shall contractually require each
subcontractor to retain all data, books and other records (“records”) relating to this Agreement for a period
of five (5) years after the completion of the Agreement. All records shall be subject to inspection and audit
by the State at reasonable times. Upon request, Contractor shall produce the original of any or all such
records.
22.0 CERTIFICATION REGARDING LOBBYING
The Contractor certifies, to the best of its knowledge and belief, that:
22.1 No Federal appropriated funds have been paid or will be paid, by or on behalf of the Contractor, to any
person for influencing or attempting to influence an officer or employee of any agency. This applies to
a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with the awarding of any Federal contract, the making of any Federal grant. Including the
making of any Federal, loan the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative
agreement.
22.2 If any funds other than Federal appropriated funds, have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress in connection with this
Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit
Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.
22.3 The Contractor shall require that the language of this certification be included in the award documents for
all sub- awards at all tiers (including subcontracts, sub-grants, and contract under grants, loans, and
cooperative agreements) and that all sub-recipients shall certify and disclose accordingly.
22.4 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 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 $10,000.00 and not more
than $100,000.00 for each such failure.
23.0 SANCTIONS AND CORRECTIVE ACTIONS
23.1 The Department may issue Demand for Assurance notices to the Contractor for failure to comply with any
of the conditions, requirements or clauses contained in this Agreement. This Demand for Assurance
shall include the citation from the Agreement that the Department requires the Contractor to remedy, the
required time frame for a response from the Contractor, what required documents shall be sent with
the response and to whom the response shall be sent. Failure to comply with the requirements set forth
in the Demand for Assurance, and any corrective action agreed to by the Department, may result in the
actions outlined in Section 23.2.1 and 23.2.2
23.2 Pursuant to NPRM 683.700, the Department may impose sanctions and corrective actions on recipients
and sub recipients of WIOA grant funds as follows:
1. Except for actions under WIOA section 188(a) the Department uses the initial and final
determination procedures outlined in NPRM 683.440 to impose a sanction or corrective action.
To impose a sanction or corrective action for a violation of WIOA section 188(a) ADES will use
the procedures set forth in that regulatory part.
2. The Department may impose sanctions or corrective action for noncompliance with the uniform
administrative requirements set forth under section 184(b) (1) and NPRM 683.700 Sanctions or
corrective action will be applied for substantial violations of WIOA statutory and regulatory
requirements, if the Governor fails to promptly take the actions specified in WIOA sections
184(b)(1), the Grant Officer may impose such actions directly against the local area. The Grant
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Officer may also impose a sanction directly against a sub recipient, as authorized in section
184(d) (3) of the Act.
23.3 Pursuant to NPRM 683, the Department shall impose fiscal sanctions if a local area fails the same
performance measure(s) in three or more consecutive years. The sanction shall be applied to the area of
funding (i.e. Adult, Youth Dislocated Worker or Rapid Response) in which the failed performance
measure(s) applies. Sanctions shall follow the Sanction Schedule (Attachment A) and shall be applied
after final performance is reported in October of each contract year.
Sanctions collected shall be held by the Department and the Contract may receive the sanctioned funds
if the performance for the failed measure(s) is rectified and the local area passes the performance
measure in the next reporting cycle (i.e. October of the following year). If the local area does not rectify
performance in the next reporting cycle, the funds shall revert to the Department.
24.0 CLEAN AIR ACT & CLEAN WATER ACT
As the Contractor you must be in compliance with all applicable standards, orders, or requirements issued
under section 306 of the Clean Air Act (42 U.S.C.1857(h),section 508 of the Clean Water Act (33
U.S.C. 1368) Executive Order 11738, and Environmental Protection Agency regulations (40 CFR part 15).
25.0 ENERGY POLICY AND CONSERVATION ACT
As the Contractor, you must adhere to the standards and policies relating to energy efficiency; which are
contained in the State energy conservation plan issued in compliance with the Energy Policy and
Conservation Act (Pub. L. 94-163, 89 Stat. 871).
26.0 COPELAND “ANTI-KICKBACK” ACT
As the Contractor to this Agreement, you are expected to comply with the Copeland “Anti-Kickback”
Act (18 U.S.C. § 874) as supplemented in the Department of Labor regulations (29 CFR part 3). This
regulation applies to all contracts and sub grants for construction or repair.
27.0 DAVIS-BACON ACT
As the Contractor to this Agreement, you must comply with the Davis-Bacon Act (40 U.S.C. §§ 276a to
276a-7) as supplemented by Department of Labor regulations (29 CFR Part 5) when required by
Federal grant program legislation.
28.0 DEBT COLLECTION AND AUDIT RESOLUTION
As the Contractor to this Agreement, you must comply with P.L. 105-220 Sections 128, 133, and 184; 20
CFR Part 652, Subpart D,E and G; 20 CFR Part 667 Subparts D – H; 29 CFR Parts 95, 96, 97, and 99;
OMB Circular A-21. As the Contractor to this Agreement, you must comply with 2 CFR 200 and all
subparts. As the Contractor to this Agreement, you are required to adhere to Federal Acquisition
Regulation 97-03 Part 31; ADES Policies 1-47-01 and 1-47-08.
28.1 Among the required controls specified in NPRM 683.750 is the process for collecting debts.
NPRM 683.410 states it is the responsibility of the Contractor, sub-grantee, sub-recipient and/or service
provider to conduct regular oversight and monitoring of its WIOA activities to determine whether
expenditures made against the cost categories are within the cost limitations specified in WIOA laws
and regulations. NPRM 683.710 states that:
(a) The Contractor is responsible for all funds under its grant(s):
(b) The political jurisdiction(s) of the chief elected official(s) in a Local Workforce
Development Area is liable for any misuse of the WIOA grant funds allocated to the
local area under WIOA sections 128 and 133, unless the chief elected official(s)
reaches an agreement with the Governor to bear such liability. The Arizona Department
of Economic Security (ADES) holds all direct recipients (Contractors) liable for all
expenditures of funds.
29.0 RIGHT TO ASSURANCE
If the Department in good faith has reason to believe that the Contractor does not intend to, or is
unable to perform or continue performing under this contract, the Procurement Officer may demand in
writing that the Contractor give a written assurance of intent to perform. Failure by the Contractor to
provide written assurance within the number of “Days” specified in the demand may, at the Department’s
option be the basis for terminating the contract under the rights and remedies available by law or provided
by this contract.
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30.0 REVIEW
This Agreement shall be reviewed at any time at the written request of either party.
31.0 CONFLICT OF INTEREST
31.1 In accordance with A.R.S. § 38-511, the Parties may within three years after execution cancel the
Agreement, without penalty or further obligation, if any person significantly involved in initiating, negotiating,
securing, drafting or creating the Agreement on behalf of any Party at any time while the Agreement is in
effect, becomes an employee or agent of any other party to the Agreement in any capacity or a consultant
to any other party to the Agreement with respect to the matter of the Agreement.
32.0 DATA SHARING AGREEMENT
32.1 If determined by the Department that sharing of confidential data will occur with the Contractor, the
Contractor shall complete the ADES Data Sharing Request Agreement and submit the completed
Agreement to the ADES Program Designated Staff prior to any work commencing or data shared. A
separate Data Sharing Request Agreement shall be required between the Contractor and each ADES
Program sharing confidential data.
33.0 E-VERIFY
33.1 In accordance with A.R.S. § 41-4401, Contractor warrants compliance with all Federal immigration laws
and regulations relating to employees and warrants its compliance with A.R.S. § 23-214, Subsection A.
34.0 FEDERAL IMMIGRATION AND NATIONALITY ACT
34.1 By entering into the Agreement, the Contractor warrants compliance with the Federal Immigration and
Nationality Act. (FINA) and all other Federal immigration laws and regulations related to the immigration
status of its employees. The Contractor shall obtain statements from its subcontractors certifying
compliance and shall furnish the statements to the Procurement Officer upon request. These warranties
shall remain in effect through the term of the Agreement. The Contractor and its subcontractors shall also
maintain Employment Eligibility Verification forms (I-0) as required by the U.S. Department of Labor’s
Immigration and Control Act, for all employees performing work under the Agreement. I-9 forms are
available for download at USCIS.GOV.
34.2 The State may request verification of compliance for any Contractor or subcontractor performing work
under the Agreement. If the State suspect or find that the Contractor or any of its subcontractors are not in
compliance, the State may pursue any and all remedies allowed by law, including, but not limited to
suspension of work, termination of the Agreement for default, and suspension and/or debarment of the
Contractor. All costs necessary to verify compliance are the responsibility of the Contractor.
35.0 INDEMNIFICATION
35.1 INDEMNIFICATION FOR CONTRACTOR:
35.1.1 Each Party (as "Indemnitor") agrees to indemnify, defend, and hold harmless the other party (as
"Indemnitee") from and against any and all claims, losses, liability, costs, or expenses (including
reasonable attorney's fees) (hereinafter collectively referred to as “Claims”) arising out of bodily injury of
any person (including death) or property damage, but only to the extent that such Claims which result in
vicarious/derivative liability to the Indemnitee are caused by the act, omission, negligence, misconduct, or
other fault of the Indemnitor, its officers, officials, agents, employees, or volunteers.
35.2 INDEMNIFICATION FOR SUBCONTRACTOR
35.2.1 In addition, Contractor shall cause its contractor(s) and subcontractors, if any, to indemnify, defend, save
and hold harmless the State of Arizona, any jurisdiction or agency issuing any permits for any work arising
out of this Agreement, and their respective directors, officers, officials, agents, and employees (hereinafter
referred to as “Indemnitee”) from and against any and all claims, actions, liabilities, damages, losses, or
expenses (including court costs, attorneys’ fees, and costs of claim processing, investigation and litigation)
(hereinafter referred to as “Claims”) for bodily injury or personal injury (including death), or loss or damage
to tangible or intangible property caused, or alleged to be caused, in whole or in part, by the negligent or
willful acts or omissions of Contractor or any of the directors, officers, agents, or employees or
subcontractors of such contractor. This indemnity includes any claim or amount arising out of or recovered
under the Workers’ Compensation Law or arising out of the failure of such contractor to conform to any
federal, state or local law, statute, ordinance, rule, regulation or court decree. It is the specific intention of
the parties that the Indemnitee shall, in all instances, except for Claims arising solely from the negligent or
ADES Contract #_________________ Page 10 of 13 WIOA Maricopa 7 20 15

willful acts or omissions of the Indemnitee, be indemnified by such contractor from and against any and all
claims. It is agreed that such contractor will be responsible for primary loss investigation, defense and
judgment costs where this indemnification is applicable.
36.0 INSURANCE REQUIREMENTS
361 INSURANCE REQUIREMENTS FOR GOVERNMENTAL PARTIES TO AN IGA:
361.1 None.
36.2 INSURANCE REQUIREMENTS FOR ANY CONTRACTORS USED BY A PARTY TO THE INTERGOVERNMENTAL
AGREEMENT:
(Note: this applies only to Contractors used by a governmental entity, not to the governmental entity itself.)
The State of Arizona in no way warrants that the minimum limits contained herein are sufficient to protect
the governmental entity or Contractor from liabilities that might arise out of the performance of the work
under this Agreement by the Contractor, his agents, representatives, employees or subcontractors, and
Contractor and the governmental entity are free to purchase additional insurance.
1. Minimum Scope and Limits of Insurance: Contractor shall provide coverage with limits of
liability not less than those stated below.
1. Commercial General Liability – Occurrence Form
Policy shall include bodily injury, property damage, personal injury and broad
form contractual liability.
• General Aggregate $2,000,000
• Products – Completed Operations Aggregate $1,000,000
• Personal and Advertising Injury $1,000,000
• Blanket Contractual Liability – Written and Oral $1,000,000
• Fire Legal Liability $ 50,000
• Each Occurrence $1,000,000
a. The policy shall be endorsed to include coverage for sexual abuse
and molestation.
b. The policy shall be endorsed to include the following additional insured
language: “The State of Arizona and the Department of Economic
Security shall be named as additional insureds with respect to
liability arising out of the activities performed by or on behalf of the
Contractor".
(Note that the other governmental entity(ies) is/are also required to be
additional insured(s) and they should supply the Contractor with their
own list of persons to be insured.)
c. Policy shall contain a waiver of subrogation against the State of Arizona,
its departments, agencies, boards, commissions, universities and its
officers, officials, agents, and employees for losses arising from work
performed by or on behalf of the Contractor.
2. Automobile Liability
Bodily Injury and Property Damage for any owned, hired, and/or non-owned
vehicles used in the performance of this Agreement.
Combined Single Limit (CSL) $1,000,000
a. The policy shall be endorsed to include the following additional insured
language: “The State of Arizona and the Department of Economic
Security shall be named as additional insureds with respect to
liability arising out of the activities performed by or on behalf of the
Contractor, involving automobiles owned, leased, hired or
borrowed by the Contractor".
b. Policy shall contain a waiver of subrogation against the State of Arizona,
it’s departments, agencies, boards, commissions, universities and its
officers, officials, agents, and employees for losses arising from work
performed by or on behalf of the Contractor
(Note that the other governmental entity(ies) is/are also required to be additional
insured(s) and they should supply the Contractor with their own list of persons
to be insured.)
3. Worker's Compensation and Employers' Liability
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• Workers' Compensation Statutory
• Employers' Liability
• Each Accident $ 500,000
• Disease – Each Employee $ 500,000
• Disease – Policy Limit $1,000,000
a. Policy shall contain a waiver of subrogation against the State of
Arizona, its departments, agencies, boards, commissions, universities
and its officers, officials, agents, and employees for losses arising from
work performed by or on behalf of the Contractor.
b. This requirement shall not apply to: Separately, EACH contractor or
subcontractor exempt under A.R.S. 23-901, AND when such contractor
or subcontractor executes the appropriate waiver (Sole
Proprietor/Independent Contractor) form.
2. Additional Insurance Requirements: The policies shall contain, or be endorsed to
contain, the following provisions:
1. The State of Arizona and the Department of Economic Security, wherever
additional insured status is required such additional insured shall be covered to the
full limits of liability purchased by the Contractor, even if those limits of liability are
in excess of those required by this Agreement.
2. The Contractor's insurance coverage shall be primary insurance with respect to all other
available sources.
3. Coverage provided by the Contractor shall not be limited to the liability assumed under
the indemnification provisions of this Agreement.
3. Notice of Cancellation: Each insurance policy required by the insurance provisions of this
Agreement shall provide the required coverage and shall not be suspended, voided, canceled, or
reduced in coverage or in limits except after thirty (30) days prior written notice has been given to
the State of Arizona. Such notice shall be sent directly to the Department of Economic Security,
Office of Procurement, 1789 W. Jefferson St. Site Code 805Z, Phoenix, AZ 85007 and shall
be sent by certified mail, return receipt requested.
4. Acceptability of Insurers: Insurance is to be placed with duly licensed or approved non-admitted
insurers in the state of Arizona with an “A.M. Best” rating of not less than A- VII. The State of
Arizona in no way warrants that the above-required minimum insurer rating is sufficient to protect
the Contractor from potential insurer insolvency.
5. Verification of Coverage: Contractor shall furnish the State of Arizona with certificates of
insurance (ACORD form or equivalent approved by the State of Arizona) as required by this
Agreement. The certificates for each insurance policy are to be signed by a person authorized by
that insurer to bind coverage on its behalf.
All certificates and endorsements are to be received and approved by the State of Arizona before
work commences. Each insurance policy required by this Agreement must be in effect at or prior to
commencement of work under this Agreement and remain in effect for the duration of the project.
Failure to maintain the insurance policies as required by this Agreement, or to provide evidence of
renewal, is a material breach of Agreement.
All certificates required by this Agreement shall be sent directly to Department of Economic
Security, Office of Procurement, 1789 W. Jefferson St. Site Code 805Z, Phoenix, AZ 85007
unless the Reporting Requirements specifies otherwise. The State of Arizona contract
number and contract description shall be noted or referenced on the certificate of
insurance. The State of Arizona reserves the right to require complete, certified copies of all
insurance policies required by this Agreement at any time. DO NOT SEND CERTIFICATES OF
INSURANCE TO THE STATE OF ARIZONA’S RISK MANAGEMENT SECTION.
6. Subcontractors: Contractors’ certificate(s) shall include all subcontractors as insureds under its
policies or Contractor shall furnish to the State of Arizona separate certificates and endorsements
for each subcontractor. All coverage for subcontractors shall be subject to the minimum
requirements identified above.
7. Approval: Any modification or variation from the insurance requirements in this Agreement shall
be made by the Department of Administration, Risk Management Section, whose decision shall be
final. Such action will not require a formal amendment to the Agreement, but may be made by
administrative action.
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8. Exceptions: In the event the Contractor or sub-contractor(s) is/are a public entity, then the
Insurance Requirements shall not apply. Such public entity shall provide a Certificate of Self-
Insurance. If the contractor or sub-contractor(s) is/are a State of Arizona agency, board,
commission, or university, none of the above shall apply.
37.0 IT 508 COMPLIANCE
37.1 Unless specifically authorized in the Agreement, any electronic or information technology offered to the
State of Arizona under this Agreement shall comply with A.R.S. § 41-3531 and § 3532 and Section 508 of
the Rehabilitation Act of 1973, which requires that employees and members of the public shall have access
to and use of information technology that is comparable to the access and use by employees and members
of the public who are not individuals with disabilities.
38.0 NON-AVAILABILITY OF FUNDS
38.1 In accordance with ARS § 35-154, every payment obligation of the State under the Agreement is
conditioned upon the availability of funds appropriated or allocated for payment of such obligation. If funds
are not allocated and available for the continuance of this Agreement, this Agreement may be terminated
by the State at the end of the period for which funds are available. No liability shall accrue to the State in
the event his provision is exercised, and the State shall not be obligated or liable for any future payments or
for any damages as a result of termination under this paragraph.
39.0 NON-DISCRIMINATION
39.1 The Contractor shall comply with State Executive Order No. 2009-09 and all other applicable Federal and
State laws, rules and regulations, including the Americans with Disabilities Act.
40.0 OFFSHORE PERFORMANCE OF WORK PROHIBITED
40.1 Due to security and identity protection concerns, direct services under this contract shall be performed
within the borders of the United States. Any services that are described in the specifications or scope of
work that directly serve the State of Arizona or its clients and may involve access to secure or sensitive
data or personal client data or development or modification of software for the State shall be performed
within the borders of the United States. Unless specifically stated otherwise in the specifications, this
definition does not apply to indirect or 'overhead' services, redundant back-up services or services that are
incidental to the performance of the contract. This provision applies to work performed by subcontractors
at all tiers
41.0 RIGHT OF OFFSET
41.1 The Department shall be entitled to offset against any sums due the Contractor, any expenses or costs
incurred by the Department, or damages assessed by the Department concerning the Contractor’s non-
conforming performance or failure to perform the Agreement, including expenses, costs and damages.
42.0 CULTURALLY RELEVANT AND LINGUISTICALLY APPROPRIATE
42.1 The Contractor shall ensure that all services provided are culturally relevant and linguistically appropriate
to the population to be served.
43.0 ATTACHMENTS
43.1 The following list of attachments constitutes an integral part of subject Agreement.
43.1.1 Attachment A – Sanction Schedule
43.1.2 Attachment B – WIOA Allocation by Program and Fiscal Year
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