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Home My WebLink AboutResolution - 5363 - Grant Agreement - TWC - One Stop Career Center, SPRWDB - 12_12_1996RESOLUTION NO. 5363 Item #20 RESOLUTION December 12, 1996 WHEREAS, the South Plains Regional Workforce Development Board, a nonprofit corporation established under the authority of the Workforce and Economic Competitiveness Act (Title 10, Chapter 2308, Texas Government Code), has received a grant from the Texas Workforce Commission in the amount of $165,000 for the establishment of a One Stop Career Center for the Lubbock area; and WHEREAS, the South Plains Workforce Development Board is in need of an interim fiscal agent until the board has staff and state approval to administer the grant funds as a board and has asked the City to serve as fiscal agent; and WHEREAS, the employment information and training services to be provided by the Lubbock One Stop Career Center of the South Plains Regional Workforce Development Board constitute a valuable public service for the citizens of Lubbock; and WHEREAS, the City Council of the City of Lubbock has declared the services provided to be a public purpose; NOW THEREFORE: BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK: THAT the Mayor Pro Tempore of the City of Lubbock BE and is hereby authorized and directed to execute for and on behalf of the City of Lubbock a grant agreement and associated documents between the City of Lubbock and the Texas Workforce Commission for establishment of a Lubbock One Stop Career Center by the South Plains Regional Workforce Development Board. Said agreement is incorporated in this Resolution as if fully set forth herein and shall be included in the minutes of the Council Passed by the City Council this 12th day of ALEX 'W�' COOKE MAYOR RO TEMPORE ATTEST: KaytMe Darnell, City Secretary APPROVED AS TO CONTENT: a2 eSS Bob Cass, City Manager APPROVED AS TO FORM: Linda Chamales, Supervising Attorney, Office Practice da/ccdocs/onestop.res December 4, 1996 E - -- RESOLUTION NO. 5363 December 12, 1996 CONTRACT SIGNATURE SHEET Project Code: 0805 Federal Employer Identification No. 75-6000590 Modification No.:N/A Unemployment Insurance No. 99-992158-2 City of Lubbock Texas Workforce Commission Community Development 101 E. 15th Street Post Office Box 2000 Austin, Texas 78778-0001 Lubbock, Texas 79457 This contract is entered into by the Texas Workforce Commission and CitX of Lubbock This contract consists of this sheet and the Texas Workforce Commission Contract for Wagner-Peyser Programs, of which this modification, any and all prior modifications if applicable; Attachment A, Statement of Work; Attachment B, Budget; Attachment C, Certification of Fiscal Accountability; Attachment D, Fiscal Forms; Attachment E, Wa er-PUser Act Audit Guide; Attachment F, Debarment and Suspension Certification; Attachment G, Drug -Free Workplace Certification; Attachment H, Certification Regarding Lobbying; Attachment I, TWC Subgrant Property Procurement and Management Requirements; Attachment J, One Stop System Selection Criteria, Attachment K are a part. A. OBLIGATION Funds obligated by the Texas Workforce Commission are $165,000.00 These funds cover the period 11/1/1996 to 06/30/1997. B. MODIFICATION (1) Purpose of Modification:: (2) Description of Modification: Approved By: Texas Workforce Commission Approved By: City of Lubbock Name and Title: Name and Title: Krysten M. Stepke Alex "Ty" Cooke Director, Workforce Development Mayor Pro Tem, City of Lubbock P.O. Box 2000 Lubbock, Te s 79457-2 0 atu e y3�' SV4 Signature 00, U CONTRACT TEXAS WORKFORCE COMMISSION CONTRACT SECTION I PARTIES TO CONTRACT This contract and agreement is made and entered into by and between the Texas Workforce Commission hereinafter referred to as "TWC" and City of Lubbock referred to as "Contractor". The parties hereto have severally and collectively agreed and by the execution hereof are bound to the mutual obligations and to the performance and accomplishment of the tasks hereinafter described. SECTION II CONTRACT PERIOD The period for performance of this contract shall commence November 1, 1996 and shall terminate June 30. 1997. SECTION III CONTRACT PERFORMANCE A. Contractor shall, in satisfactory performance of this contract, perform the functions set forth in the definitive Statement of Work, Attachment A. B. Contractor shall conduct such performance in compliance with terms and conditions imposed and required by this contract, and further will abide by all subsequent revisions and modifications thereto. SECTION IV TWC OBLIGATIONS A. Measure of Liability In consideration of full and satisfactory performance hereunder, TWC shall be liable to Contractor in an amount equal to the actual cost incurred by Contractor in rendering such performance, subject to the following limitations: 1. TWC shall not be liable for expenditures made in violation of the Wagner-Peyser Act, as amended. 2. Except as otherwise specifically authorized by TWC in writing, TWC shall be liable only for expenditures made in compliance with the cost principles and administrative requirements set forth in applicable Circular Nos. A-87 and A-102, or A-122 and A-110 as supplemented by the final rules promulgated by the Office of the Governor under the Uniform Grant and Contract Management Standards (UGCMS), 1TAC Sections 5.141 - 5.166, effective February 22, 1990. 3. TWC shall not be liable to Contractor for costs incurred or performances rendered by Contractor before commencement of this contract or after termination of this contract. 4. TWC shall not be liable for any costs incurred by Contractor in the performance of this contract which have not been billed to TWC within thirty (30) days following termination of this contract. S. Notwithstanding any other provisions of this contract, it is understood and agreed by the parties hereto that TWC's obligations under this contract are contingent upon actual receipt of adequate funds from the United States Department of Labor to meet TWC's liabilities hereunder. B. Method of Payment Request for Advances - No more frequently than twice per month, Contractor may request an advance based upon an amount not to exceed one and one-half (1-1/2) times the average monthly contract amount for the period for which such advance is sought. Requests shall be made by submitting Form F-27A, Contractors Statement of Costs and Invoice and Form F-48A, Cash Needs Forecast, to TWC. Upon review and approval of each such request, TWC shall make payment to Contractor against TWC liabilities to be accrued hereunder. 2. Notwithstanding Section 4(B)(1) of this contract, TWC reserves the right to utilize a cost reimbursement method of payment if TWC determines that Contractor has maintained cash balances in excess of need or if TWC identifies any deficiency in the cash controls or financial management system maintained by Contractor. 3. Expenditure Reports - No later thar. twenty (20) days following the end of each month during the period of performance of this contract, Contractor shall submit to TWC a report, Form 31A, detailing allowable expenditures incurred during the previous month. Such report shall be prepared on an accrual basis. 4. No later than thirty (30) days following the date of termination of this contract, Contractor shall submit a Contract Close-out Report according to instructions to be specified by TWC issuance. Such report shall include a full accounting of Wagner-Peyser funds expended under the terms of this contract. Any amended expenditure reports submitted after the thirty days following the termination date of the contract will not be reimbursed. If Contractor fails to submit to TWC in a timely and satisfactory manner any report required by this contract, or otherwise fails to satisfactorily render performances ' hereunder, TWC may withhold payments otherwise due and owing Contractor. If TWC withholds such payments, it shall notify Contractor in writing of its decision and the reasons therefore. Payments withheld pursuant to this paragraph may be held by TWC until such time as the delinquent obligations for which funds are withheld are fulfilled by Contractor. C. Minimal Cash Balance Contractor request for advances shall be limited to the minimum amounts needed for effective operation of programs under this contract, and shall be timed as closely as possible to be in accord with actual cash requirements. Contractor shall establish procedures to minimize the time elapsing between the transfer of funds from TWC to Contractor and the disbursing of such funds by Contractor. D. Limitation on Liability 1. Contractor understands and agrees that it shall be liable to repay to TWC amounts determined to be expended in violation of the terms of this contract. Contractor must demonstrate ability to repay disallowed costs from sources other than Federal funds. 2. TWC will pay costs properly incurred by Contractor for performances rendered under this contract in the amount specified below: Wagner-Peyser Obligational Authority: S 165,000.00 TWC shall not be liable to Contractor for costs under this contract which exceed the amount specified above. TWC, from time to time, may provide written notification to Contractor in the form of either a unilateral letter of notification or a bilaterally executed contract modification which shall serve either to obligate additional funds under this contract or to deobligate funds previously obligated under this contract. Any determination to obligate or deobligate funds shall be made by TWC in its sole discretion based upon factors including but not limited to the status of funding under grants to TWC from the United States Department of Labor, the existence of questioned or disallowed costs incurred by Contractor or a rate of utilization of funds not consistent with Contractors Statement of Work. Such notification(s), if any, will specify TWC's maximum obligation to Contractor as of the effective date of such notification. Contractor shall not incur costs in the performance of program operations under this contract in excess of the amount which TWC has acknowledged, either by this contract or by subsequent written notification to Contractor, as being available to meet Contractor's costs incurred hereunder. SECTION V LEGAL AUTHORITY A. Contractor assures and guarantees that it possesses the legal authority pursuant to an official motion, resolution or action passed or taken, giving Contractor legal authority to enter into this contract, receive the funds authorized by this contract, and to perform the services Contractor has obligated itself to perform under this contract. B. The person signing this contract on behalf of Contractor hereby warrants that he/she has been fully authorized by Contractor to execute this contract on behalf of Contractor and to validly and legally bind Contractor to all the terms, performances and provisions herein set forth. SECTION VI COST PRINCIPLES A. Contractor shall comply with the cost principles set forth in applicable OMB Circular No. A-122 or A-87, as supplemented by the final rules promulgated by the Office of the Governor under the Uniform Grant and Contract Management Standards (UGCMS), 1TAC Section 5.141 - 5.166, effective February 22, 1990. B. Contractor shall maintain separate cash accounting for Wagner-Peyser funds with a separate bank account if possible. If state or local laws require that funds be deposited in centralized 4 accounts, separate accounting records with identification of Wagner-Peyser cash receipts and disbursements will meet this requirement. SECTION VII UNIFORM ADMINISTRATIVE REQUIREMENTS A. Contractor shall comply with the uniform administrative requirements set forth in applicable OMB Circular No. A-110 or A-102, as supplemented by the final rules promulgated by the Office of the Governor under the Uniform Grant and Contract Management Standards (UGCMS), 1TAC Sections 5.141 - 5.166, effective February 22, 1990. B. The administrative rate for this contract shall not exceed 15% of the contract amount C. A cumulative variance equal to 10% of the total contract amount is allowable between cost categories, without a budget modification except for the cost category of administration. D. Except for the restrictions applied in VII, B. above, flexibility is allowed within the contract budget provided no single line item is increased or decreased by or in excess of 20%. Changes in excess of 20% must receive prior approval and must be reflected in a budget modification. SECTION VIR REPORTING REQUIREMENTS In addition to the financial reporting requirements set forth in Section IV of this contract, Contractor shall submit to TWC such reports, data, and information on the operation and performance of this contract as may be required by TWC. A. Contractor shall provide a report quarterly on progress of the one -stop pilot. The format of this report will be determined by TWC based upon direction from DOL. B. Within 30 days of the end of the contract term, Contractor will provide the Commission with a written report describing its activities under the contract and the outcome of its efforts. SECTION IX RETENTION AND ACCESSIBILITY OF RECORDS A. Contractor shall maintain all records, financial management records and supporting documentation for all expenditures of funds made under this contract. Contractor shall comply with the retention and custodial requirements for records referenced in Section VII., Uniform Administrative Requirements of this contract. B. Contractor shall retain all fiscal records and supporting documents for a period of three years from the date of the final fiscal report. In the event there is an unresolved audit discrepancy at the end of this three year period, the records will be retained until the discrepancy is resolved. C. Contractor shall give the United States Department of Labor, the Comptroller General of the United States, the General Accounting Office, the Auditor of the State of Texas, and TWC, or any of their duly authorized representatives, access to and the right to examine, copy or mechanically reproduce, all reports, books, papers, documents, and other records pertaining to this contract. Such rights to access shall continue as long as the records are retained by Contractor. Contractor shall permit and cooperate with any examination conducted pursuant to this Subsection IX, C. 5 SECTION X CHANGES AND AMENDMENTS A. The parties hereto expressly agree that TWC shall have the right to make unilateral amendments to this contract necessary to assure conformity to federal law and regulations, or for convenience and/or to expedite services by the issuance of written directives duly signed by the authorized representative of TWC. These directives shall bind Contractor so long as they do not require contractor to incur costs that could not be reimbursed by TWC under this contract. if Contractor does not or cannot conform to a directive, it shall notify TWC of the same, in writing, within thirty (30) days of the receipt by it of such directive. B. Pursuant to the terms of BB 1863, passed by the 74th Legislature, all programs previously administered by the Texas Employment Commission (TEC), including the programs under which this contract is operated or funded, transferred to the Texas Workforce Commission (TWC) June 1, 1996. Subsequent to that date, and pursuant to the terms of BB 1863, TWC will operate in the stead of TEC and assume all its rights and responsibilities. C. Except as outlined in paragraphs A. and B. above, any alterations, additions, or deletions to the terms of this contract shall be by amendment hereto in writing and executed by both parties to this contract. D. The Commission and the Contractor agree that this contract may be extended for an additional period of time if the Commission obtains additional funding for One -Stop Career Center systems from the U.S. Department of Labor (DOL). To be approved for continued funding beyond the period of this contract, the Contractor must show reasonable signs of progress, continue to meet the requirements of the selection criteria approved by the Texas Council on Workforce and Economic Competitiveness (Council) and included as Attachment J, and agree to the provisions of any amendment to this contract. SECTION XI INDEPENDENT CONTRACTOR It is expressly understood and agreed by both parties hereto that TWC is contracting with Contractor as an independent contractor, and that Contractor agrees to indemnify TWC against all disallowed costs or other claims which may be asserted by TWC or any third party occurring in connection with the services to be performed by Contractor under this contract. SECTION XII SUBCONTRACTS A. Except as specifically authorized by TWC in writing, in selecting subcontractors hereunder Contractor shall utilize procurement procedures referenced in applicable OMB Circular A-110 or A-102, as supplemented by the final rules promulgated by the Office of the Governor under the Uniform Grant and Contract Management Standards. Contractor, in subcontracting any of the performances hereunder, expressly understands that in entering into such subcontracts, TWC is in no way liable to Contractor's subcontractor(s). B. Contractor shall ensure that the performances rendered under all subcontracts are rendered so as to comply with all the terms and provisions of this contract as if the performances rendered were rendered by Contractor. 6 SECTION XM AUDIT A. Contractor shall have an audit made in accordance with the Single Audit Act of 1984, P.E.. 98-502, and applicable OMB Circular No. A 133 or A-128, or in accordance with Federal Laws and regulations governing the program. This audit could include procedures which comply with appropriate provisions in the "Standards for Audit of Governmental Organizations, Programs, Activities and Functions" (a.k.a. "Yellow Book") required for organizations which receive more than $25,000 of Federal funds in a fiscal year. B. Contractor may arrange for a single, organization -wide audit of its programs which will include a financial and compliance audit of Wagner-Peyser programs funded under this contract. Contractor shall coordinate such arrangements with TWC. C. Notwithstanding Section XHI (A and B), TWC reserves the right to conduct or cause to be conducted an independent audit of all funds received under this contract, which may be performed by the local government audit staff, a certified public accounting firm, or other auditors as designated by TWC. Such audit will be conducted in accordance with applicable federal rules and regulations, contractual guidelines, and established professional standards and practices. D. Contractor understands and agrees that Contractor shall be liable to TWC for any costs disallowed as a result of an audit. SECTION XIV PROPERTY A. Contractor shall acquire, maintain, and/or dispose of property purchased with funds received under this contract in accordance with applicable OMB Circular A-102 of the Uniform Grant and Contract Management Standards and directives specified by TWC issuance's. B. Contractor shall obtain prior written approval from the Texas Workforce Commission in order to purchase non -expendable personal property or real property having a unit acquisition cost of $5,000 or more. This restriction also applies to all lease/purchase agreements costing $5,000 or more per year. SECTION XV TECHNICAL ASSISTANCE AND MONITORING TWC reserves the right for TWC or its designee to conduct monitoring and evaluation of the performances rendered under this contract. TWC will notify Contractor in writing of any deficiencies noted during such review, and may withhold payments as appropriate based upon such review. TWC will provide technical assistance to Contractor in correcting the deficiencies noted. TWC shall conduct follow-up visits to review the previous deficiencies and to assess the efforts made to correct them. If such deficiencies persist, TWC may terminate this contract effective immediately. SECTION XVI COMPLIANCE WITH LAW/ORDER OF PRECEDENCE In rendering performances hereunder, Contractor shall comply with the requirements of the Wagner-Peyser Act, with the regulations promulgated thereunder, and with other applicable laws and regulations. In the event of a conflict between such laws and regulations and the terms and conditions of this contract, precedence shall be given to the laws and regulations. SECTION XVII PREVENTION OF FRAUD AND ABUSE Contractor shall establish, maintain, and utilize internal program management procedures sufficient to provide for the proper, effective management of all activities funded under this contract. SECTION XVIII PREVENTION OF CONFLICTING INTERESTS No employee of Contractor, no member of Contractor's governing board or body, and no person who exercises any functions or responsibilities in the review or approval of the undertaking or carrying out of this contract shall participate in any decision relating to this contract which affect his/her personal pecuniary interest. SECTION XIX SECTARIAN INVOLVEMENT PROHIBITED Contractor shall ensure that no funds under this contract are used, either directly or indirectly, in the support of any religious or anti -religious activity, worship, or instruction. SECTION XX POLITICAL ACTIVITY: LOBBYING A. No funds provided under this contract may be used in any way to attempt to influence in any manner a member of Congress to favor or oppose any legislation or appropriation by Congress, or for lobbying with State or local legislators. Contractor will comply with the requirements of Restrictions on Lobbying: Certification and Disclosure Requirements imposed by 29 CFR 93. B. Contractor shall require this certification utilizing Attachment H of any subcontractor that will receive funds under this contract. SECTION 3W NONDISCRIMINATION AND EQUAL OPPORTUNITY The conduct of the parties to this contract shall be in accordance with Title VI of the Civil Rights Act of 1964, Rehabilitation Act of 1973, as amended, Title IX of the Education Amendments of 1972, as amended, and the Rules and Regulations promulgated thereunder. In addition, during the performance of this contract, TWC, Contractor and its subcontractors will not deny the contract's benefits to any person on the basis of religion, color, race, national origin, sex, age, physical or mental disability, nor will they discriminate unlawfully against any employee or applicant for employment because of race, religion, color, national origin, physical or mental disability, temporary medical condition, age or sex. Contractor shall insure that the evaluation and treatment of employees and applicants for employment are free of such discrimination. Additionally, 8 Contractor agrees to adhere to the provisions of the Americans with Disabilities Act and Section 504 of the Rehabilitation Act of 1973, as amended. SECTION XXH TERMINATION OF CONTRACT This contract may be terminated by either party by giving the other party thirty (30) days advance written notice of their intent to terminate this contract. SECTION XXIII GENERAL PROVISIONS A. All powers not explicitly vested in Contractor by this contract remain with TWC. B. This contract in no way affects Contractor's obligation to comply with all applicable laws, ordinances and codes of federal, state and local governments. SECTION XXIV DEBARMENT CLAUSE A. The Contractor certifies that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participating in this transaction by any Federal department or agency. B. Contractor shall require this certification utilizing Attachment F of any subcontractor that will receive funds from this contract. SECTION XXV ORAL AND WRITTEN AGREEMENTS A. All oral or written agreements between the parties hereto relating to thesubject matter of this contract that were made prior to the execution of this contract have been reduced to writing and are contained herein. B. Contractor understands and agrees that the following Attachments are hereby made a part of this contract and constitute promised performances by Contractor under this contract: 1. Attachment A, Statement of Work 2. Attachment B, Budget 3. Attachment C, Certification of Fiscal Accountability 4. Attachment D, Fiscal Forms 5. Attachment E, Wagner-Peyser Audit Guide 6. Attachment F, Debarment and Suspension Certification 7. Attachment G, Drug -Free Workplace Certification 8. Attachment H, Certification Regarding Lobbying 9. Attachment I, TWC Subgrant Administrative Issuance NO. 1-92 10. Attachment J, One Stop System Selection Criteria * it Y Attachment A Statement of Work 10 Y s r it THREE YEAR PLAN LUBBOCK/GARZA ATTACHMENT D TEXAS EMPLOYMENT COMMISSION ONE -STOP CAREER CENTER PROPOSAL Three -Year Work Plan Description, Task and Time Line, Rules and Responsibilities, and Outcomes Please Check One ® First Year ❑ Second Year ❑ Third Year Location: Lubbock Contact Person: Don McCulloug]/Alex Torres Estimated Outcomes Position Time Line and Means of Evaluating and Task Description Responsible forTask Deliveries Documenting Accomplishments Set up resource library, Management 5/96-12/96 Make available: Customer feedback and use of install CARES, install Team Labor Market Info resources RESCUE, install Job Job Search Resources Express Job Listings Career Exploration Evaluation of equipment Management 2/96-ongoing Determine needs and Successful linking of databases needs to establish database Team costs for increased of the on -site partners for communications V communications capacity 50 ATTACHMENT D TEXAS EMPLOYMENT COMMISSION ONE -STOP CAREER CENTER PROPOSAL Three -Year Work Plan Description, Task and Time Line, Rules and Responsibilities, and Outcomes Please Check One ® First Year ❑ Second Year ❑ Third Year Location: Lubbock Contact Person: Don McCullough/Alex Torres Estimated Outcomes Position Time Line and Means of Evaluating and Task Description Responsible forTask Deliveries Documenting Accomplishments Develop procedures and Management On -going Smoother daily Procedures manual/guidelines forms for daily operations of Team operations for all staff Career Center Purchase hardware and Management 5/96-10/96 Shared information, Customer and employee software for establishing Team reduction of feedback communications among duplication, increase in partners customer friendliness of system 51 C ATTACHMENT D TEXAS EMPLOYMENT COMMISSION ONE -STOP CAREER CENTER PROPOSAL Three -Year Work Plan Description, Task and Time Line, Rules and Responsibilities, and Outcomes Please Check One ® First Year ❑ Second Year ❑ Third Year Location: Lubbock Contact Person: Don McCullough/Alex Torres Estimated Outcomes Position Time Line and Means of Evaluating and Task Description Responsible forTask Deliveries Documenting Accomplishments Increase capacity of Management 5/96-10/96 Better quality graphics Customer Feedback assessment lab hardware Team for assessment software, increased user friendliness of assessment equipment Develop a common intake Management 2/96-7196 Reduction of Customer Feedback document (client profile) Team duplication 52 C ATTACHMENT D TEXAS EMPLOYMENT COMMISSION ONE -STOP CAREER CENTER PROPOSAL Three -Year Work Plan Description, Task and Time Line, Rules and Responsibilities, and Outcomes Please Check One ® First Year ❑ Second Year ❑ Third Year Location: Lubbock Contact Person: Don McCullough/Alex Torres Estimated Outcomes Position Time Line and Means of Evaluating and Task Description Responsible for Task Deliveries Documenting Accomplishments Develop a full marketing Partnership 5/96- Increased awareness of Increased use of Career Center. strategy (for employees and on -going both customers and Customer and employer customers) and develop employers feedback materials to implement Plan a grand opening and Management Increased awareness of Increased use of Career Center. press conference for the Team Summer '96 customers, employers Customer and employer Career Centers of Texas- and the community in feedback Lubbock general 53 C ATTACHMENT D TEXAS EMPLOYMENT COMMISSION ONE -STOP CAREER CENTER PROPOSAL Three -Year Work Plan Description, Task and Time Line, Rules and Responsibilities, and Outcomes Please Check One ® First Year ® Second Year ❑ Third Year Location: Lubbock Contact Person: Don McCullough/Alex Torres Estimated Outcomes Position Time Line and Means of Evaluating and Task Description Responsible forTask Deliveries Documenting Accomplishments Create outreach packets for Management 6/96-3/97 Build confidence in Increased use of Career Center employers Team employer community Employer feedback marketing of Career Increased number of job orders Center services submitted Develop a basic Management 6/96-3/97 Inform customers of Increased use of Career Center informational package for all Team services available customers through the Career Center 54 C ATTACHMENT D TEXAS EMPLOYMENT COMMISSION ONE -STOP CAREER CENTER PROPOSAL Three -Year Work Plan Description, Task and Time Line, Rules and Responsibilities, and Outcomes Please Check One o First Year ® Second Year o Third Year Location: Lubbock Contact Person: Don McCullough/Alex Torres Estimated Outcomes Position Time Line and Means of Evaluating and Task Description Responsible for Task Deliveries Documenting Accomplishments Public access concerning Partnership Spring- Decrease in customer Increase in training related quality of training facilities Summer, 97 attending training placements in the area. which has not proven Customer and employer effective. feedback Increase database to include Partnership Fall, 97 Increased Increased knowledge and some off -site partners. communication communication of Partnership Decreased duplication staff 55 ATTACHMENT D TEXAS EMPLOYMENT COMMISSION ONE -STOP CAREER CENTER PROPOSAL Three -Year Work Plan Description, Task and Time Line, Rules and Responsibilities, and Outcomes Please Check One ® First Year ® Second Year ® Third Year Location: Lubbock Contact Person: Don McCullough/Alex Torres Estimated Outcomes Position Time Line and Means of Evaluating and Task Description Responsible for Task Deliveries Documenting Accomplishments Cross -training of staff Partnership On -going Better customer Customer and staff feedback service, smooth internal operations of Career Center 56 ATTACHMENT D TEXAS EMPLOYMENT COMMISSION ONE -STOP CAREER CENTER PROPOSAL Three -Year Work Plan Description, Task and Time Line, Rules and Responsibilities, and Outcomes Please Check One ❑ First Year ❑ Second Year ® Third Year Location: Lubbock Contact Person: Don McCullough/Alex Torres Estimated Outcomes Position Time Line and Means of Evaluating and Task Description Responsible for Task Deliveries Documenting Accomplishments Increase database to include Partnership Fall, 48 Increased Increased knowledge and more off -site partners. communication communication of Partnership Decreased duplication staff 57 REVISION THREE YEAR WORK PLAN LUBBOCK/GARZA ATTACHMENT D TEXAS EMPLOYMENT COMMISSION ONE -STOP CAREER CENTER PROPOSAL Three -Year Work Plan Description, Task and Time Line, Rules and Responsibilities, and Outcomes Please Check One N First Year Location: Lubbock ❑ Second Year ❑ Third Year Contact Person: Don McCullough/Alex Torres Outcomes Position Estimated Time and Means of Evaluating and Task Description Responsible Line for Task Deliveries Documenting Accomplishments Continue to build materials Mgmt Team On -going Written information Written information available to in Resource Library to Partnership describing sources of universal population provide information on WFDB supportive services supportive services to Staff/customer feedback include: child care, loans, Build knowledge among grants, and other forms of partnership financial assistance required to participate in and complete training Develop in-house general Local Partners Spring 1997 Field test of local general 'Workforce Center reports reflecting application and continue to Mgmt Team (pending application usage by a universal population support state initiatives to State Partners availability of develop a common intake the common As appropriate, transition to and eligibility instrument instrument state common instrument from the state) 58 ATTACHMENT D TEXAS EMPLOYMENT COMMISSION ONE -STOP CAREER CENTER PROPOSAL Three -Year Work Plan Description, Task and Time Line, Rules and Responsibilities, and Outcomes Please Check One ® First Year Location: Lubbock ❑ Second Year ❑ Third Year Contact Person: Don McCullough/Alex Torres Outcomes Position Estimated Time and Means of Evaluating and Task Description Responsible Line for Task Deliveries Documenting Accomplishments Build materials/resources to Partnership 7/96-1/97 Written information on all Written information available to allow for individual referral Workforce Center training opportunities universal population opportunities for basic staff education, classroom Training Facilities Cross training of all Staff feedback training, on-the-job training, partnership agencies and customized training Inventory assessment Mgmt Team 2/96-8/96 Eliminate duplication Survey instruments instruments available in community Reach consensus on accepted and used instruments in the Center Increase LMI resources Mgmt Team 7/96-12/96 Enhance self-service LMI Customer feedback through use of appropriate resources Internet connections. Usage of Internet by customers 59 ATTACHMENT D TEXAS EMPLOYMENT COMMISSION ONE -STOP CAREER CENTER PROPOSAL Three -Year Work Plan Description, Task and Time Line, Rules and Responsibilities, and Outcomes Please Check One ® First Year o Second Year a Third Year Location: Lubbock Contact Person: Don McCullough/Alex Torres Outcomes Position Estimated Time and Means of Evaluating and Task Description Responsible Line for Task Deliveries Documenting Accomplishments Continue development of On -site Partners On -going Provide quality information Increase in number of customers Resource Library to allow Mgmt Team about alternative services using Resource Library for improved ability of available for job search, customers to gather employment, education and Customer and staff feedback information and conduct training self -directed information searches Provide an atmosphere in which all populations feel comfortable accessing Increase user-friendly tools that provide information zC ATTACHMENT D TEXAS EMPLOYMENT COMMISSION ONE -STOP CAREER CENTER PROPOSAL . Three -Year Work Plan Description, Task and Time Line, Rules and Responsibilities, and Outcomes Please Check One ® First Year o Second Year o Third Year Location: Lubbock Contact Person: Don McCullough/Alex Torres Outcomes Position Estimated Time and Means of Evaluating and Task Description Responsible Line for Task Deliveries Documenting Accomplishments Coordinate the employer On -site Staff 7/96—On-going Improved relationships with Review the implementation of services function in the Mgmt Team business community marketing plan Workforce Center WFDB Identify desired employer Customer feedback services and incorporate in the marketing plan Employer feedback Actively participate in Demonstrate staff involvement and employer -based activities participation in employer -based within the community and activities with Chambers of Commerce M ATTACHMENT D TEXAS EMPLOYMENT COMMISSION ONE -STOP CAREER CENTER PROPOSAL Three -Year Work Plan Description, Task and Time Line, Rules and Responsibilities, and Outcomes Please Check One ® First Year ❑ Second Year ❑ Third Year Location: Lubbock Contact Person: Don McCullough/Alex Tones Estimated Outcomes Position Time Line and Means of Evaluating and Task Description Responsible for Task Deliveries Documenting Accomplishments Create a unified service On -site Partners On -going Develop interagency Agreements and memorandums of management function for the On -site Staff agreements and memorandums understanding in place Workforce Center of understanding with area agencies (amend as needed) Demonstrated ability of staff to use tools and resources of Center Cross train staff to understand procedures, forms, etc., for Customer feedback specific programs Develop and implement Release of Information form Amend job descriptions/duties of Center staff as needed 62 ATTACHMENT D TEXAS EMPLOYMENT COMMISSION ONE -STOP CAREER CENTER PROPOSAL Three -Year Work Plan Description, Task and Time Line, Rules and Responsibilities, and Outcomes Please Check One ❑ First Year Location: Lubbock ® Second Year ❑ Third Year Contact Person: Don McCullough/Alex Torres Estimated Outcomes Position Time Line and Means of Evaluating and Task Description Responsible for Task Deliveries Documenting Accomplishments Refine and improve systems Partnership On -going Increase satisfaction of employer Employer feedback which provide employer Mgmt Team services recruitment, testing, Increase number of job screening, selection and Improve ability to match, placements referral of qualified customers and employers applicants Expand opportunities for Partnership Fall 1997 Create a video explaining Customer feedback customers to learn about and On -site Staff specialized services of the Increased number of customers access specialized services Workforce Center exploring opportunities for specialized services Increased information to customers, allowing more customer choice Increase capacity for Partnership On -going Increased accountability Improved reports to WFDB and tracking customer services On -site Staff State Surpass minimum expectations 63 ATTACHMENT D TEXAS EMPLOYMENT COMMISSION ONE -STOP CAREER CENTER PROPOSAL Three -Year Work Plan Description, Task and Time Line, Rules and Responsibilities, and Outcomes Please Check One ❑ First Year Location: Lubbock ® Second Year ❑ Third Year Contact Person: Don McCullough/Alex Torres Estimated Outcomes Position Time Line and Means of Evaluating and Task Description Responsible for Task Deliveries Documenting Accomplishments Explore electronic Partnership Fall 1997 Increase LMI—including Increased number of electronic connections with agencies Mgmt Team increase of access to job listings linkages such as Small Business Administration, Public Library, South Plains College, and major employers Expand the coordination of Partnership 1997-1998 Provide employers access to a Demonstrate employer usage of employer services WFDB talent bank of job seekers via new system the Internet or other electronic system. Customer feedback Employer feedback Explore the development of Partnership Fall 1997 Increased resources for all Increase of shared customers a wide area network within partnership agencies the Workforce Center Decrease duplication of services system to access the Streamlined service to customers to customers common intake and eligibility information and case mgmt/counseling notes 64 ATTACHMENT D TEXAS EMPLOYMENT COMMISSION ONE -STOP CAREER CENTER PROPOSAL Three -Year Work Plan Description, Task and Time Line, Rules and Responsibilities, and Outcomes Please Check One ❑ First Year Location: Lubbock ❑ Second Year ® Third Year Contact Person: Don McCullough/Alex Torres Estimated Outcomes Position Time Line and Means of Evaluating and Task Description Responsible for Task Deliveries Documenting Accomplishments Expand the coordination of Partnership 1997-1998 Provide employers access to a Demonstrate employer usage of employer services WFDB talent bank of job seekers via new system the Internet or other electronic system Customer feedback Employer feedback Explore the development of Partnership Fall 1997 Increased resources for all Increase of shared customers a wide area network within partnership agencies the Workforce Center Decrease duplication of services system to access the Streamlined service to customers to customers common intake and eligibility information and case mgmt/counseling notes W Attachment B Budget 11 BUDGET PAGES LUBBOCK/GARZA V TOTAL ADMINISTRATION 2. SUPPORT SERVICES TOTAL SUPPORT SERVICES 3. DIRECT SERVICES PERSONAL SERVICES PERSONNEL BENEFITS SUPPLIES COMMUNICATION POSTAGE TRAVEL EQUIPMENT RENT EQUIPMENT EXPENSES PREMISES RENT PREMISES EXPENSES SERVICES OTHER CAPITAL EXPENDITURES TOTAL DIRECT SERVICES GRAND TOTAL 24,750.00 N/A N/A f N/A 0.00 0.00 11,620.00 0.00 0.00 0.00 0.00 123,630.00 0.00 5,000.00 0.00 140, 250.00 165, 000.00 F-316 10/14/96 15:34 FAX $067656944 JOBSOURCE+ 16002 TEXAS EMPLOYMENT COMMISSION Budget Backup A. CONTRACTOR'S NAME AND ADDRESS Citv of Lubbock 1625 13th Street (79401) PO Box 2000 Lubbock. Texas 79457 C. COST INFORMATION 1. ADMINISTRATION Personal Services Personnel Benefits Supplies Communications Travel Equipment Rent Equipment Expenses Premises Rent DIRECT COST 7,600 14,400 Premises Expense Services 1,750 Other (Audit fee) 1000 Capital Expenditures TOTAL ADMINISTRATION $24,750 2. SUPPORT SERVICES Needs -Based Payments Other TOTAL SUPPORT SERVICES - 0 - 3. EMPLOYMENT & PLACEMENT SERVICES Personal Services Personnel Benefits Supplies 11,620 Communications Travel Equipment Rent Equipment Expenses 123,630 Premises Rent Premises Expenses 51000 Services Other Capital Expenditures TOTAL EMPLOYMENT & PLACEMENT SERVICES _$ 140,250 GRAND TOTAL �5165,000 58 B. TEC PROJECT CODE —� INDIRECT COST TOTAL 7,600 14,400 1,750 1,000 $24,750 11,620 123,630 5,000 $+140.250 , 165 000 i 10/14/96 15:34 FAX $067656944 JOBSOURCE+ rZ003 PERSONAL SERVICES )BUDGET FORM Organization Name: City of Lubbock Date: October 14, 1996 Name/Position Starting Date KM I DD I YY Ending bate MM I DD I YY TOTAL NUMBER of POSITIONS TOTAL PERSONAL SERVICES FICA at % of Personal Services Retirement at % of Personal Services Health Insurance $ Imo X Positions X _ Unemployment Insurance at % of Personal Services Worker's Compensation at % of Personal Services Other (describe) Mos. Y TOTAL PERSONNEL, BENEFITS TOTAL INDIRECT COSTS (attach justification) TOTAL NON -PERSONAL SERVICES l�_`�! Vf� Monthly Total Total Salary Time Mos. Salary t TOTAL PROJECT BUDGET I 59 M 10/14/96 13:34 FAX 8067656944 ,7 TEXAS EMPLOYMENT COMMISSION NON -PERSONAL SERVICES 1. Supplies —(Consumable Supplies) JO$SOURCE+ 20 Employees X $ 13 Per Month X 12 Mos. = $3,120 $1,500—Form3 S2,000—Calling cards $5, 000—Brochuresladvernising Total Supplies 2. Commune. ions —(include postage and telephone costs) Recurring Expenses $3,600—T1 local line (12 mos, ® $300) Non Recurring Expenses $2,000—New phones, installation, misc $2,000—T1 local line Total Communications 3. Postage Total Postage 4, Travel Expenses Per Diem Expense Days X $ Per Day Mileage Expense Miles X $ Per Mile Other. Out -of -area trips—(2) trips @ $800 X (4) persons - $6,400 (5) trips Q $800 X (2) persons- $8,000 Total Travel Expense $1 l ,620 $7,600 $14,400 Z 004 I i 10/14/96 15:34 FAX 8067656944 t f 1 I , jOBSOVRCE+ Z 005 5. Equipment Rental Total P,quipurcnt Rental 6. Equipment Expenses A. Equipment Purchases: Equipment Description —Quantity —Item Cost $2,500—Reception desk area in intake lobby includes (5) tables $117,000—Integrated computer network (28 workstations, 33 workstation upgrades, cabling, HUBS, new file server, additional software, and wide -area network components) $4,130—Resource room upgrades (partitions, customer service desks, Internet access and customer training videos) TOTAL EQUIPMENT EXPENSES $123,620 B. Other Equipment Expenses: (Includes Repairs and Maintenance) Total Other Equipment Expenses - 0 - Total Equipment Expenses (6A & 6B) $123,630 7. Premises Rent Sq. Ft. X $ Per Sq. Ft. X Mos. 'total Premises Rent 8. Premises Expenses (Includes utilities, repairs, maintenance, and janitorial) $5,000--Siguage: (2) overhead signs and (2) wail -mounted Total Premises Expenses $5,000 61 10/14/96 15:34 FAX 8067656944 J013SOURCE+ 9. Services (Includes legal, audit or other contracted services) 51,750—Develop spacs for equipment procurement $1,000--Audit fee Total Services 10. Other (Includes charges that do not fit In the above categories) Total Other TOTAL NON -PERSONAL SERVICES 62 $2.750 -0- 1 000 Z 006 Attachment C CERTIFICATION OF FISCAL ACCOUNTABILITY Under the provisions of the Wagner-Peyser Act as amended, federal funds expended in accordance with this Act must be fully documented and accounted for. TWC must have sufficient information concerning the system of accounting used and the entity directly responsible for maintaining the system to assure compliance with the Act. The following information is provided by the Contractor to establish fiscal responsibility. 1. Name, Title, Address and Phone Number of the Chief Financial Officer of the Organization: 2 Will accounting system be directly maintained by the Contractor? A. [ ] Yes B. [ ] No. Who will maintain system ? 3. Are you familiar with cost principles, audit and reporting requirements as detailed in the Uniform Grant and Contract Management Standards? A. [ ] Yes B. [ ] No 4. Description of accounting system, (Indicate if system is manual or automated and how it will meet record keeping, reporting and accountability requirements of the Contractor. Use additional sheets if necessary.) 5. Do you receive funding from more than one source and intend to allocate indirect costs to this contract? A. [I Yes B []No .If you answered yes, do you have an approved indirect cost proposal? A. [I Yes (If Yes, attach a copy of your current agreement) B. [ ] No (If No, do you agree to submit an indirect cost proposal no later than 3 months after the effective date of the contract? [ ] Yes [ ] No) 12 rt V 6. Certification: I certify that this report is complete and correct, and that the responsibility for maintaining the accounting system to comply with the requirements has been accepted by the designated entity. I understand that final responsibility for the fiscal operation of the contract rests with the Contractor. Contractor's Signature Typed Name Title Date Organization 13 Attachment F CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION LOWER TIER COVERED TRANSACTIONS This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' responsibilities, The regulations were published as Part VII of the May 26, 1988 Federal Register (pages 19160-19211). (1) The prospective recipient of Federal assistance funds certifies, by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department of agency. (2) Where the prospective recipient of Federal assistance funds is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Name and Title of Authorized Representative Signature Date 16 Attachment G CERTIFICATION REGARDING DRUG -FREE WORKPLACE The Contractor will provide a drug free workplace in compliance with the Drug -Free Workplace Act of 1988, The unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited on the premises of the Contractor or any of its facilities. Any employee who violates this prohibition will be subject to disciplinary action up to and including termination. All employees, as a condition of employment, will comply with this policy. Name and Title of Authorized Representative Date Organization Signature 17 Attachment H CERTIFICATION REGARDING LOBBYING 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 Congress, or an employee of a Member of Congress in connection with the awarding of any Federal grant. the malting of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of an Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making of entering into this transaction imposed by Section 1352, Title 31, US 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. Organization Authorized Signature Title State Date 18 Attachment D Fiscal Forms 14 C. GOST 1NFQRMATiiN: 1. ADMINISTRATION Personal Services Personnel Benefits Supplies Communication Postage Travel Equipment Rent Equipment Expenses Premises Rent Premises Expenses Services Other Capital Expenditures Indirect Costs TOTAL ADMINISTRATION 2. EMPLOYMENT SERVICES Personal Services Personnel Benefits Supplies Communication Postage Travel Equipment Rent Equipment Expenses Premises Rent Premises Expenses Services Other Capital Expenditures TOTAL EMPLOYMENT SERVICES GRAND TOTAL D. t[af.:KII�L3 CQNT#�161JT[ON ................................:........; (If applicable) E. fiSH ij. .... _...::::::.....::: (if applicable) CURRENT MONTH CUMULATIVE F-31A TEXAS WORKFORCE COMMISSION Contractor's Statement of Costs and Invoice 1. Contractor's Name and Address: 3. Contract Funding Source: 2. Funds Requested for: I,J Advance 7. Period Covered: From: B. Invoice Number: 9. Cost Information: U Reimbursement Close Out To: 4. Contract Amount: S. Contract Period: 6. Federal ID Number: Cost Item 1. Current Disbursements 2. Cumulative Disbursements 3. Projected Costs Col. 2 + Col. 3 TOTAL 10. Less Payments Received: 11. Net Amount This Request: 12. Date and amount of last payment received: 13. Certification: I certify that the above data is correct; all disbursements were made in accordance with the terms of the contract. Authorized Signature Name and Title Date F-27A (996) CASH NEEDS FORECAST TOTAL F-48A CONTRACTOR STAFFING COSTS Budget Back—up Name / Title / SSN Report Period COST CATEGORY (C) = A + B Total Charged (D) Other Funding Sources = C + D Monthly Salary (A) Administration (13 Employment Svcs ' Totals ; ;., .. � •,:,,,..... � �. ,. ,:<..;:.:.,�.. ::.r� t,:�: �.'<;:.:�::<.. F-41A I t Attachment E Wagner-Peyser Audit Guide 15 TEXAS WORKFORCE COMMISSION WAGNER-PEYSER ACT & JOB TRAINING PARTNERSHIP ACT AUDIT GUIDE REVISED FEBRUARY 1994 INTERNAL AUDIT AUSTIN, TEXAS 78778 V TEXAS WORKFORCE COMMISSION WAGNER-PEYSER ACT & JOB TRAINING PARTNERSHIP ACT AUDIT GUIDE INDEX I. INTRODUCTION I II. ORGANIZATION TYPE AND CORRESPONDING AUDIT REQUIREMENTS 1 III. CONTRACTOR AUDIT RESPONSIBILITIES 4 IV. QUALIFICATIONS OF AUDITOR 4 V. AUDIT COSTS 5 IV. AUDIT TRACKING SYSTEM 5 VII. AUDIT RESOLUTION AND APPEAL PROCESS 5 - VIII. DEBT COLLECTION PROCEDURE 6 IX. FINANCIAL REVIEW SYSTEM 7 For additional information contact: Texas Workforce Commission Internal Audit Department 101 East 15th Street Austin, Texas 78778 512/463-2221 TEXAS WORKFORCE CONMSSION WAGNER-PEYSER ACT & JOB TRAINING PARTNERSHIP ACT AUDIT GUIDE I. INTRODUCTION The purpose of this guide is to outline TEXAS WORKFORCE COMMISSION'S (hereinafter referred to as TWC), role for financial reviews and the contract recipient's responsibilities regarding audit requirements. Audit requirements of Federal grant programs differ for various organizational types receiving Federal assistance. State and local governments must comply with the requirements prescribed by the Single Audit Act. Institutions of higher education and nonprofit organizations are now covered under OMB A-133. Private for -profit organizations must comply with contractual agreements requiring audit coverage. These governing Federal and contractual requirements are addressed in this issuance. EL ORGANIZATION TYPE AND CORRESPONDING AUDIT REQUIREMENTS A. State and Local Governments Audit Requirements - The Single Audit Act of 1984 establishes uniform audit requirements for state and local governments that receive Federal grants. and is implemented by the Office of Management and Budget Circular A-128. The Single Audit Act requires the following: 1. State and local governments that receive total Federal assistance of $100,000 or more a year shall have an audit made in accordance with Circular A-128. 2. State and local governments that receive total Federal assistance of amounts between $25.000 and $100.000 a year shall have an audit made either in accordance with Circular A-128. or in accordance with Federal laws and regulations governing the programs in which they participate. 3. State and local governments that receive total Federal assistance of less than $25,000 a year shall be exempt from compliance with Circular A-128 and other Federal audit requirements, unless specified in contract. However audit requirements prescribed by state or local laws will still be applicable. 4. State or local governments that provide $25.000 or more of Federal financial assistance in a fiscal year to a subrecipient shall: a. Determine that the subrecipient met the audit requirements of Circular A-128 or that subrecipient met the audit requirements of Circular A-128, or that subrecieients covered by Circular A-110. "Uniform Administrative Requirements for Grants and other Agreements with Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations", have met the audit requirements of Circular A-133. 7 b. Require that the subrecipient's completed audit report be submitted to them within thirty days after completion. C. Determine, per review of the audit or other means (e.g.,-program reviews), that the subrecipients spent the Federal funds provided in accordance with applicable laws and regulations. d. In instances of non-compliance, ensure that corrective action is taken within six months after receipt of the audit report. C. Consider whether subrecipients audits require adjustment of the recipients' own records. When an audit is required it shall: (1) cover the entire operations of state or local government, (2) be conducted on an annual basis, and (3) be made by an independent auditor in accordance with generally accepted government auditing standards. Circular A-128 requires that state and local governments that receive total Federal assistance of more than S 100,000 a year submit a copy of their audit report within thirty days after issuance to a central clearinghouse located at the Census Bureau, Department of Commerce. The audit reports should be sent to: Bureau of the Census ..Data Preparation Division, 1201 E 10th Street, Jacksonville, Indiana 47132, Attn: Single Audit Clearinghouse. o Audit Objectives: The primary objectives of the audit are to determine: 1. If the financial statements of the state or local government agency present fairly its financial position and the results of its financial operations in accordance with generally accepted accounting principles. 2. If the organization has internal accounting and other controls which provide reasonable assurance that it is managing Federal programs in compliance with applicable laws and regulations. 3. If the organization has complied with laws and regulations which if not followed could materially affect its financial statements. B. Institutions of higher Education and Nonprofit Organizations o Audit Requirements: Circular A-133 supersedes Attachment F. subparagraph 2h. of Circular A-110. "Uniform Administrative Requirements for Grants and other Agreements with Institutions of Higher Education, Hospitals and other Nonprofit Organizations." The purpose of Circular A-133 establishes audit requirements and defines Federal responsibilities for implementing and monitoring such requirements for institutions of higher education and other nonprofit institutions receiving Federal awards. The 2 provisions of Circular A-133 are effective upon publication and shall apply to audits of nonprofit institutions for fiscal years that begin on or after January 1. 1990. Earlier implementation is encouraged. Primary recipients shall be responsible for ensuring that subrecipients comply with the audit requirements of their contract, that the subrecipients' completed audit reports are submitted to them within thirty days after completion: and that a systematic method is in place to ensure appropriate corrective action is taken within six months after receipt of subrecipients audits reports where instances of noncompliance with Federal laws and regulations exist. a Audit Objectives: The primary objectives of the audit are as follows: 1. To ascertain the effectiveness of the financial management systems and internal procedures established to comply with contractual agreements. 2. To test the fiscal integrity of financial transactions. 3. To determine compliance with the terms and conditions of the Federal grants and other agreements. C. Private For -Profit Organizations o Audit Requirements: A performance audit which complies with appropriate provisions in the "Standards for Audit of Governmental Organizations, Programs, Activities and Functions" (a.k.a. "Yellow Book") is required for private for -profit organizations which receive more than $25,000 of Federal funds in a fiscal year. This audit shall be conducted annually by an independent auditor and is intended to assess the economy and efficiency of the entity's operations of the Federal program and the extent to which the program's are being attained. Primary recipients shall be responsible for ensuring that subrecipients comply with the audit requirements of their contract, that the subrecipient's completed audit reports are submitted to them within thirty days after completion. That a systematic method is in place where instances of non-compliance with Federal laws and regulations exist to ensure appropriate corrective action is taken within six months after receipt of subrecipients audit reports. Audit Objectives: The primary objectives of the audit are to determine the following: 1. The program resources are being managed and utilized in an economical and efficient manner. 2. Any causes of inefficiencies or uneconomical practices. 3. Desired program results or benefits are being achieved. 3 b 4. The entity has complied with specific requirements of program laws and regulations. M. CONTRACTOR AUDIT RESPONSIBILITIES All TWC contract recipients are responsible for arranging the required audit and for engaging the independent auditor in accordance with Circular A-102. Common Rule, Section 36. Sufficient records are to be maintained which detail the selection process. Contract recipients are also responsible for ensuring that their subcontractors arrange for the required audit and follow the auditor selection process as well as other appropriate audit procedures. The final audit report of the contract recipient must be submitted for review within thirty days after completion to TWC Internal Audit,101 East 15th Street;, Austin, TX 78778. A determination will be made as to whether the report: Identifies the financial statements examined and the period covered. 2. Includes a statement that the audit was done in accordance with generally accepted government auditing standards. 3. Expresses an opinion as to whether the financial statements are fairly presented in accordance with generally accepted accounting principles and, if an unqualified opinion cannot be expressed, states the nature of the qualifications. 4. Includes a statement of positive assurance with respect to those items tested for compliance with laws and regulations, and negative assurance on those items not tested. 5. Identifies the significant internal accounting controls, those that were not evaluated and the material weaknesses found. After reviewing the audit report 7 VVC will advise the contract recipient when significant inadequacies are identified in the work of its audit or its subcontractor's audit. In either instance, the recipient or its subcontractor will be expected to work with its independent auditor to take corrective action. The primary contractor will be held responsible for any disallowed costs resulting from its audit and the audit of its subcontractors. Refer to Section VII... Audit Resolution and Appeal Process for an explanation of the procedures to be followed in resolving questioned costs. Audit work .papers and reports shall be retained for a minimum of three years from the date of the audit report or until all questioned and/or disallowed costs are resolved. IV. QUALIFICATIONS OF AUDITOR The independence standard for government auditing, places upon auditors the responsibility for maintaining personal, external and organizational, independence so that opinions and recommendations will be impartial. In addition to independence. Chapter IV of the "Yellow Book" issued by the Comptroller General of the United States prescribes qualification requirements for auditors which are as follows: 1. Knowledge of accounting and auditing theory and procedures and the skill to apply such knowledge. 4 2. Knowledge of government organizations and programs. 3. Have skills appropriate for all types of audit work, including such areas as statistical sampling and reviewing computerized systems. 4. Auditors must be certified public accountants; or public accountants licensed on or before December 31. 1970. The contract recipient must engage an auditor who meets the independence standard and the qualification requirements. V. AUDIT COSTS The cost of audits made in compliance with the provisions of this issuance are allowable charges to Federal assistance programs. The charges may be considered a direct cost or an allocated indirect cost, determined in accordance with Office of Management and Budget Circular A-97, Attachment B, "Principles for Determining Costs Applicable to Grant and Contracts with State. Local and Federally Recognized Indian Tribal Governments". In general. the percentage audit cost charged to federal programs shall not exceed the percentage of Federal funds expended by the recipient during the fiscal year. This percentage can be exceeded if proper documentation exists which demonstrates a higher actual cost. IV. AUDIT TRACKING SYSTEM TWC's contract monitor will maintain formation on the,following areas: A listing of each contract recipient and its subcontract recipients. 2. Each contract recipient's cycle and period covered by the previous audit. 3. A checklist for all contract recipient audits covering: o name and phone number of contact person start and completion dates of audit receipt of audit report o response from the contract recipient to administrative findings, any questioned costs, corrective action plans and establishment of debts (if applicable) o collection of any disallowed costs VII. AUDIT RESOLUTION AND APPEAL PROCESS TWC's contract monitor will be responsible for initiating the resolution of any deficiencies. audit findings and questioned costs noted in the audit. Audit findings will address deficiencies which result in weaknesses in accounting systems or internal controls, or cite instances of non-compliance with applicable law, regulations or contractual agreements. The primary contract recipient will prepare a response to the findings within thirty days. TWC will have thirty days to advise the recipient as to whether receipient's response is acceptable or not acceptable. If the response is acceptable, the audit will be closed. E ,. ti If recipient's response is not acceptable, TWC's Internal Auditor will make an initial determination and present it to the TWC Audit Resolution Committee. The Audit Resolution Committee will be comprised of: Deputy Administrator of Finance/Information Systems, Deputy Administrator of Employment Services/Unemployment Insurance, Program Director of Job Service Operations, Program Director of Fiscal and Director of Internal Audit. The Deputy -Administrator for Finance/Information Systems will serve as Chairperson of the Committee. The Audit Resolution Committee will review the initial determination and recommendation of TWC's Internal Auditor and issue a final written determination by registered mail to the contract recipient. This determination will include the following: 1. A summary of the matter in controversy. 2. A listing of costs, allowed and disallowed, along with reason(s) if disallowed. 3. Necessary corrective action required for the contract recipient to achieve compliance. 4. An offer to meet and discuss resolution with the contract recipient. 5. A listing of sanctions (i.e. as per the terms of the contract, including termination of the contract, withholding of funds, or changing from advance method of payment to cost reimbursement) available to TWC if corrective actions are not performed. If the contractor agrees to abide by the decision, they will submit a corrective action plan to the Internal Audit Department for review and approval within fifteen days of receipt of initial determination. After corrective action plan is approved, TWC will issue a letter citing the audit findings and determination, contract recipient's response and corrective action plan agreed upon. This letter will detail the required corrective actions and establish a monitoring procedure to insure compliance. This response then becomes the final determination and the audit can be closed. TWC is responsible for maintaining monitoring procedures to assure the corrective action plan is implemented. If the contract recipient disagrees with arty items addressed in the initial determination, contract recipient will have fifteen days to file an appeal with TWC's Audit Resolution Committee (ARC). The appeal should cite the initial determination, contract recipient's reasons for disagreement and proposal on how the disagreement should be resolved. The appeal will be submitted to Texas Workforce Commission's Deputy Administrator for Finance/Information Systems. 101 East 15th Street Austin, Texas 78778. TWC will have forty-five days to review the response before issuing a final determination which will detail required corrective action. The response will indicate any sanctions to be taken and establish debt, if applicable. This final determination will be issued by the Administrator of Texas Workforce Commission. Contract recipients will be responsible for resolving questioned costs and administrative findings identified in recipient's subcontractor's audit reports and reviews. Contract recipient will be responsible for forwarding the appropriate documents used for resolution to TWC for review. VM. DEBT COLLECTION PROCEDURE When TWC issues a final determination disallowing any costs, a debt is established. Options available for the settlement of debt include full payment, installment payments, withholding from current funds or such other arrangements as the parties may agree to. In cases where unallowable expenditure of funds was due to willful disregard of requirements of Federal laws, gross negligence or failure to observe accepted standards of administration, repayment must be made by check, from a non-federal source, made payable to "Texas Workforce Commission". A description of debt settlement methods follows: 6 o lull payment - the method that will be pursued, preferred and submitted within thirty days of final determination. o Installment payments - Installment agreements (from three to twelve months duration) are determined on size of debt and contract recipient's inability to make a lump sum payment. o Withholding - amount owed debtor for services or other considerations already provided... withheld in a "satisfaction of debt owed" method. o Other Actions Permitted by Law - other options can be reviewed to satisfy the debt on an individual basis. Payments will be submitted to the following address: Texas Workforce Commission Controller's Dept./Contract Funds 101 East 15th Street Austin, TX 78788 NOTE: PLEASE REFERENCE ON CHECKS THE CONTRACT APPROVAL DOCUMENT NUMBER IX. MANCIAL REVIEW SYSTEM TEC'S contract monitor will utilize a contract recipient financial review system which involves periodic and systematic financial reviews designed to avert potential problems and insure compliance with applicable agreements. An initial financial review will be conducted when requested, or at the discretion of TWC. The main review will be performed after the closeout. In those cases where deemed appropriate, reliance will be placed on reviews performed by external auditors to the greatest extend possible. Technical assistance will be provided as part of this monitoring process if requested by the grant recipient. The financial reviews performed will address the following areas: 1. The accuracy and reliability of expenditure reports and cash needs forecasting reports submitted by the contract recipient. 2. Separate accountability of federal funds. 3. The contractor's audit plan covering all contractor and subcontractor federal funds expended. 4. The acquisition, maintenance and disposal of property purchased with federal funds. 5. Internal program management procedures for the prevention of program fraud and abuse. Within fifteen days of the financial review, TWC's contract monitor will notify the contract recipient in writing of any deficiencies noted. If the contractor agrees to correct the noted deficiencies, they will submit a corrective action plan to Internal Audit for review and approval within fifteen days of receipt of ft7 the initial financial review report. If the contract recipient disagrees with any items addressed in the initial financial review, the recipient will have fifteen days to file an appeal -.-.ith Internal Audit. The appeal should cite the initial financial review findings, recipient's reasons for disagreement, and a proposal on hew the disagreement should be resolved. Internal Audit will have thirty days to review recipient's response with the TWC Audit Resolution Committee and issue a final determination. The determination will detail required corrective action, indicate any sanctions to be taken and establish debt, if applicable. TWC's contract monitor will ensure follow-up activity for major deficiencies be conducted to review and assess efforts made to correct these deficiencies. 8 Attachment I TWC Subgrant Property Procurement and Management Requirements 19 WAGNER PEYSER SUBGRANT ADMINISTRATIVE ISSUANCE NO. 1-92 PROPERTY PROCUREMENT AND MANAGEMENT REQUIREMENTS ACQUISITION PROCEDURES As provided by the terms of the Subgrant contract, contract recipients must comply with the procurement procedures set forth in Section 36 of UGCMS Circular No. A-102. ACQUISITION REQUIRING PRIOR WRITTEN APPROVAL The contract recipient shall obtain prior written approval from TWC in order to purchase nonexpendable personal property or real property having a unit acquisition cost of $5,000 or more. This purchase restriction must be passed on to subcontractors desiring to purchase property. Subcontractors should submit their requests to the contract recipient for forwarding to TWC for processing. The form to be used, Request for Purchase Approval, and instructions for its completion are provided. In order for TWC to review the request, this form should be submitted thirty days prior to the anticipated purchase date to: Texas Workforce Commission Accounting Department 101 E. 15th Street -Room 466 Austin, Texas, 78778 As part of the review, TWC will determine if the property requested is available from TWC, and if so, reserves the option of providing it to the recipient. ACQUISITION BY LEASE/PURCHASE All lease/purchase agreements costing $5,000 or more per year require prior written approval from TWC. The Request for Purchase Approval form should be utilized and should include a statement under Item 5, "Justification for Request", to explain that the item(s) will be purchased under a lease/purchase agreement. Interest costs are not allowable. ASSURANCES FOR THE PURCHASE OF PROPERTY WITH SUBGRANT FUNDS When submitting a request for purchase approval of property, the contractor should include the following assurances: The property requested is not already available for Subgrant use from other sources. The property requested will be used solely for Subgrant purposes. If the requested property is to be used for both Subgrant and Non-Subgrant purposes, a shared -use plan must be provided that addresses the following points: a. If the acquisition cost is to be shared between Subgrant and Non-Subgrant funds, a description of the basis for the pro-rata share. b. A description of the Non-Subgrant use and the percentage of such usage J Use of Property: ASSURANCES FOR THE PURCHASE OF PROPERTY WITH SUBGRANT FUNDS Administrative Purposes Employment and Placement Purposes The contractor assures that the property to be purchased: - is not already available for Subgrant use from other sources; and - will be used solely for Subgrant purposes. If the property is to be used for both Subgrant and Non-Subgrant purposes, a shared -use plan shall be submitted with this assurance statement. Authorized Signature Title Contractor Date REQUEST FOR PURCRASE APPROVAL Name/Address/Telephone No. (1) Prepared by: Name/Title (2) Date: (3) Describe Equipment Requested: Unit Cost Per Item; Quantify; Total Cost (4) Justification for request: (5) Requested Method of Procurement: (6) Note: Procurement must be conducted in accordance with Section 36 (UGCMS) ❑ Small Purchase ❑ Competitive Sealed Bids ❑ Competitive Negotiation (Attach Additional Page if Necessary) ❑ Non -Competitive Negotiation TWC USE ONLY (7) Request Approved ❑ Request Denied ❑ Reason for Denial: Reviewed for: Approved by: Contract Compliance ❑ Procurement per UGCMS ❑ Director of Accounting Signature Date Date REQUEST FOR PURCHASE APPROVAL Instructions for Form Completion ITEM NAME 1 Name/Address/ Telephone No. 2 Prepared by: Name/Title 3 Date 4 Describe Equipment Requested; Unit Cost per Item; Quantity Total Cost V Enter the name, address and telephone number of the contract recipient. The Property Officer, Fiscal Officer, Program Director or similar administrative staff authorizing purchase of property for the contract recipient should sign this form and give job title. Enter the date this form was prepared. Each item of equipment/property should be described as fully as possible to include special features or functions. Example: Desk: Executive, double pedestal, walnut finish The unit cost for each item of equipment must be given. This unit cost should include any modification costs, attachments, accessories, or auxiliary apparatus necessary to make the equipment usable. Include delivery charges and maintenance if applicable. Enter the quantity desired for each item. Enter the total cost for all equipment to be purchased under this request. 5 Justification Enter explanations for the need to purchase the , property listed under item 4 above. Attach additional sheet(s) if necessary. 6 Method of Check the appropriate box to indicate the method Procurement utilized in your procurement process. If non-competitive procurement is used'. furnish detailed description of rationale for utilizing this method. 7 Request Approved: To be completed by TWC staff. The appropriate box Request Denied: will be checked based on review by TWC staff. If the Reason for Denial request is denied, a reason for the denial will be entered. Examples: (a) No funds are available. (b) Equipment would not meet desired goals. (c) Property available under surplus and will be shipped to you. General Instructions Complete as many forms as required to list all property requesting approval. Copy bids and retain original for your property backup files. Original bids, backup documentation, inventories and other property records should be retained to comply with Subgrant property procurement and management requirements. REQUEST FOR DISPOSITION INSTRUCTIONS Name/Address/Telephone No. (1) Prepared by: Name/Title (2) Date: (3) Items(s) To Be Disposed of; Condition: (4) Disposition Proposed by Contract Recipient (5) Signature/Date TWC USE ONLY (6) Reviewed by: Retain Property 0 Signature Sell Property ❑ Date Approved by: Transfer Property ❑ Transfer To: Director of Accounting Date REQUEST FOR DISPOSITION INSTRUCTION Instructions for Form Completion ITEM NAME DEFINITION/INSTRUCTIONS I Name/Adress/ Enter the name, address and telephone Telephone No. number of the contract recipient. 2 Prepared by: The Property Officer, Fiscal Officer, Name/Title Program Director or similar administrative staff authorizing purchase of property for the contract recipient should sign this form and give job title. 3 Date Enter the date this form was prepared 4 Item(s) to Be List each item to be disposed of and the Disposed of; condition of each. Give TWC identification Condition number. S Disposition Enter a concise summary of your proposed Proposed by disposition. Sign and date where indicated. Contract Recipient 6 Retain Property; To be completed by TWC staff. The appropriate Transfer Property; will be checked. If the "Transfer Property' box is Sell Property checked, the contract recipient receiving this property will be entered on this form. Y Attachment J One Stop System Selection Criteria 1. Any entity with the capability to administer federal funds and perform services will be considered an eligible entity to apply for one -stop start up funds. Successful applicants will be required to meet all of the criteria listed below. 2. Areas applying for start-up grants must meet the following minimum criteria: submit a comprehensive three year plan for a one -stop system in the area, not just a pilot site. demonstrate that they have community support for their plan. demonstrate that they can clearly separate the role of administrative entity and/or operator of the one -stops from the role of education and training service provider. have Texas Workforce Commission and Service Delivery Area agreements in place. (DOL requirement) have support of chief elected officials. (DOL requirement) be a designated workforce development area or if the area is undesignated, must be consistent with SDA of a consortia of SDA boundaries submit plans that reflect integration of services and information that goes beyond co -location of services. be reviewed by the local workforce development board (if formed) or by existing workforce advisory bodies. have a direct or in -kind funding base which comes from multiple sources include employer as well as client services. 3. The Council will award funds based on the minimum criteria, as well as consideration of the extent that the applicant demonstrates how the will: provide for customer choice in obtaining basic services by operating multiple centers, provide access to more than the minimum required services, identify procedures to promote the integration of the administration of programs (i.e. cross - training of staff, use of common forms and practices), conduct outreach to make individuals aware of and encourage the use of center services (especially by disadvantaged youth and adults and individuals with disabilities), encourage other human resource programs to participate and provide services through the centers, 20 provide procedures to ensure equitable opportunities for job seekers, students and employers to receive services and information, provide the required services, ensure that financial/non financial contributions will be made to the center by each participating program, and provide the capability to meet quality assurance and outcome measures. 21