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IX.
Administrative and Operational Controls
IX.
A. Identify the entity responsible for the disbursement of grant
funds.
Grant Recipient:
Pima County Board of Supervisors
Sharon Bronson, Chair
130 W. Congress Tucson, Az. 85701
Administrative Contact:
Hank Atha
Pima County Community Services
32 N. Stone-16th Floor Tucson, Az. 85701
Fiscal Contact:
Ron Meck
Pima County Community Services
32 N. Stone-16th floor Tucson, Az. 85701
IX
B. Describe the procurement and competitive process to be used
to award grants and contracts in the local area for activities
carried out under this subtitle.
Pima County's Workforce Investment Board shall utilize both
a Request for Proposal (RFP) process and a Request for Qualified
Vendor (RFQ) process. Requests for Proposals shall be for providers
of comprehensive services for youth, adults, and/or dislocated
workers, including services to be provided by community based
organizations in accordance with WIA Sec 134 (d)(4)(G). Requests
for Qualified Vendors shall be used to solicit fee for service
activities. Such activities may include but not be limited to
vocational training, behavioral counseling, transportation services,
development of curriculum, workshop presentation, training for
staff, and general technical assistance.
Request for Proposals
The Workforce Investment Board shall assess community needs,
allocate funds to meet those needs, establish general parameters
for services, and designate a Committee of the Board to issue
a Request for Proposals. Parameters shall include consideration
of reasonable cost, past experience, quality of service, the
likelihood of meeting performance goals, past documented performance,
and fiscal integrity.
The RFP shall be announced though legal notices in the newspapers,
and letters to potential service providers that have asked to
be on the WIA RFP list. Potential providers may place themselves
on the list by writing a letter to:
WIA Procurement Process
32
N. Stone 16th Floor
Tucson, Az. 86701
The RFP shall include background information, including Workforce
Board expectations, instructions, relevant forms, required certifications,
and evaluation criteria. RFPs shall be submitted to a specified
place by a specified time and date. Late submissions will not
be accepted.
The designated Committee shall meet to review proposals. The
Committee reserves the right to request oral presentations from
proposers, and reserves the right to request written clarification
by proposers. The Committee shall recommend Provider(s) and
amounts to be awarded to the full Board. The Workforce Investment
Board shall then review the Committee's recommendations and
vote on service providers and allocations.
The Board shall establish an appeals committee and proposers
shall be given a date, time and place to submit written appeals.
Appeals shall address a perceived flaw in the competitive process.
If any appeals are submitted, the Appeals Committee shall meet
to review them. The Appeals Committee shall make its recommendations
to the Workforce Investment Board, which shall make final allocations.
Requests for Qualified Vendors
The Workforce Investment Board shall assess community needs,
allocate funds to meet those needs, establish general parameters
for services, and designate a Committee of the Board to issue
a Request for Qualified Vendors. Parameters shall include consideration
of reasonable cost, past experience, quality of service, the
likelihood of meeting performance goals, past documented performance,
and fiscal integrity.
The
RFQ shall be announced though legal notices in the newspapers,
and letters to potential service providers that have asked to
be on the WIA RFQ list.
The RFQ shall include background information, including Workforce
Board expectations, instructions, relevant forms, required certifications,
and evaluation criteria. RFQs shall be submitted to a specified
place but may be submitted at any time. The designated Committee
shall meet to review proposals. The Committee reserves the right
to request oral presentations from proposers, and reserves the
right to request written clarification by proposers. The Committee
shall recommend Provider(s) and fee for service unit costs to
the full Board. The Workforce Investment Board shall then review
the Committee's recommendations and vote on them
IX
C. Provide a description of your Fiscal Agent Procedures.
IX C 1. Fiscal Control
Pima County Community Services (CSD) is a department within
Pima County government. We are subject to all the fiscal procedures,
forms, and regulations of all Pima County departments.
All capital purchases are subject to Pima County Purchasing
procedures, which are based on State Statutes. The purchasing
rules and procedures are contained in the "Administrative Procedures
Manual" of Pima County written by the County Administrator's
Office. A copy of the manual is on file with the Fiscal Section
at 32 N. Stone, 16th Floor, 740-5205.
IX
C 2. Accounting
Claims
require official Pima County forms, authorized signatures, appropriate
documentation, account codes, and cost centers before being
submitted to Pima County Finance.
IX
C 3. Payroll
Payroll
is processed by Pima County Finance Department biweekly. Time
cards with signatures by the supervisor and employee are used
to complete payroll forms provided by Finance. All pay rates,
job titles, and job descriptions are established and maintained
by the Pima County Human Resources Department. All payroll documents
must be completed according to the Finance Payroll Manual. Payroll
hours are input by Department staff, but all calculations and
processing are done by Pima County General Services Department.
IX
C 4 Audit
The
County is subject to the Single Audit Act and is audited by
the Auditor General of Arizona annually. The Community Services
Department is included in that audit.
IX
C 5 Debt Collection Misspent funds or unliquidated debts
will be collected by CSD from subrecipients by written corrective
action that will specify amount of payment(s) and payment timeliness.
Debt collection will be attempted by CSD and the County when
it is appropriate and feasible. Unresolved debts will be turned
over to the Finance Department collection division, which is
responsible for collecting outstanding debts. The County Attorney,
Civil Division, will assist in this effort.
IX
C 6 Cost Allocation
Service
costs are allocated back to departments based on the unit of
activity of the servicing department. Heating and cooling are
allocated based on square footage, personnel costs are allocated
by personnel transaction requests, etc.
IX C 7 Budget Development
Budgeting
for WIA is part of the County's budget process. This occurs
every spring. The County shall review WIA cost limitations,
rules and procedures, as well as recommendations and allocations
of the Workforce Investment Board in developing the budget.
The county will modify the budget through the appropriate administration
revision process. Any allocation increases or decreases greater
than l5% will require a Plan revision.
IX
C 8 Recordkeeping/Retention
CSD
will keep accounting records which meet the requirements of
the State and County, generally accepted accounting principles,
and pertinent Federal law and regulations. Such records shall
record all expenditures which are used to support invoices and
requests for payment. CSD will maintain records which identify
the source and application of any funds used to support activities
provided under the Agreement with the State. Such records shall
meet generally accepted accounting principles.
IX
D Provide a description of the procedures to be used to resolve
all Grievance and Appeals.
Each participant will be given a copy of the grievance policy.
He/she shall sign a receipt for this policy and the receipt
shall be placed in the client's file.
Any non-criminal complaints alleging a violation of WIA, its
regulations, grant or other agreement under the Act filed by
a participant, contractor, employer or other party will be handled
by the CSD-WIA Administration.
Upon
receipt of a complaint, an investigation will take place and
informal resolution will be attempted where practicable. If
informal resolution is not achieved within thirty (30) days
of the filing of the complaint, a hearing will be scheduled
with the WIA Manager serving as hearing officer. All parties
of interest shall receive a written notice of the hearing which
will include the date, time, and place of the hearing. There
will be an opportunity for all affected parties to present evidence
at the hearing and a written decision will be rendered within
sixty (60) days of the filing of the complaint.
The
final decision will be accompanied by instructions as to when,
how, and where a review by the Governor of this decision may
be requested.
All
complaints that relate to terms and conditions of employment
by participants who are employees (i.e., OJT participants) will
be handled under the existing procedures of the employers for
whom they work. Employers will be required to inform their OJT
employees of the procedures which they are to follow. Within
ten (10) days of receipt of the final decision of their employer,
OJT participants may request, in writing, that the Pima County
CSD Administration review this decision.
Upon
receipt of such a request, the case will be reviewed and a decision
rendered within thirty (30) days. If necessary, the request
will be referred to the Governor for review.
Complaints of discrimination on the ground of handicap, race,
color, national origin, age, sex, religion, political affiliation
or belief, shall be sent directly to:
Directorate of Civil Rights
U. S. Department of Labor
200 Constitution Avenue, N.W.
Washington, D.C. 20210
With the exception of handicap discrimination, complaints will
be accepted for a period of one year from the date of the alleged
violation. In accordance with WIA and as per 29 CFR, Part 32,
referred to therein, handicap complaints will be accepted for
a period of 180 days from the date of the alleged violation.
Each subcontractor maintains internal procedures for addressing
complaints originating at the subcontractor level. All subcontractor
internal grievance procedures should be exhausted before the
CSD steps in to handle complaint.
IX
E Describe the methods to be used in monitoring, including but
not limited to program and fiscal compliance.
Contracts with subrecipients are monitored internally and by
Finance to insure no excess or duplicate payments are made.
All deposits are made with the Pima County Treasurer within
24 hours of receipt. The Finance department produces the official
accounting reports each month. The official reports are augmented
by internal monthly reports by CSD fiscal staff. Second level
of program review will be undertaken by the fiscal section CSD
staff will monitor fiscal matters on a monthly basis to assure
accurate reconciliation between advances, invoice billing, support
documentation and contractual agreements. Both the accounting
section and the designated program staff member verify the accuracy
of the fiscal reporting and billing systems. This approach relies
heavily on MIS participant records for making accurate certifications.
CSD
staff will monitor on-site subcontractors on an annual basis
for overall program activities and financial tests. CSD has
set up a system composed of a Program Specialist who is primarily
responsible for all subcontractor monitoring. She conducts monthly
desk reviews on each subcontractor and official on site reviews
on an annual basis. The desk review focuses on systems analysis
and policies and procedures as required by County directives
and contract documents.
IX
F Provide a brief statement on the Affirmative Action commitments.
Describe the method to monitor and evaluate AA. Also include
as an attachment a copy of the document which states your policies
and procedures for ensuring program and site access to persons
with disabilities in compliance with the Americans with Disabilities
Act.
See Attachment E: Affirmative Action and ADA
Pima County SDA is subject to Pima County's Equal Opportunity
and Affirmative Action Policy Number D-21.1. In addition, contractors
are subject to WIA provisions and must sign the Pima County
Employment & Training Administration Standard Provisions.
The
Americans With Disabilities Act (ADA) is intended to eliminate
discrimination against people with disabilities. Included in
the law are provisions regarding employment, communications,
governmental services, public transportation and accommodations
provided by public entities.
Pima
County complies with the provisions of the American With Disabilities
Act of 1990. In accordance with the Act, the SDA requires contractors
to insure program and site access to individuals with disabilities
including applicable auxiliary aids, auxiliary services, access
phone numbers, and site selection. Contractors are monitored
at least once yearly at which time there is a site inspection
and an EEO Review Questionnaire which is completed with regard
to ADA compliance.
IX
G Provide a brief statement on Equal Opportunity commitments.
Describe the method to monitor and evaluate EO.
Pima County SDA complies with Section 167 of PL 97-300 (as amended
by PL 102-367), Title VI of the Civil Rights Act of 1964 (as
amended), Section 504 of the Rehabilitation Act of 1973, the
Age Discrimination Act of 1975 (as amended), the Americans with
Disabilities Act of 1990, all requirements imposed by or pursuant
to the implementing regulations in 29 CFR Parts 31, 32, and
24. This assurance is incorporated in all grants, contracts,
and cooperative agreements made by CSD.
CSD responds on request to EEO auxillary aid(s) and accessible
phone numbers. There is an agreement with Community Outreach
Program For The Deaf to provide signing services and there is
the capability to provide electronic aid. The Pima County staff
will conduct EEO and affirmative action monitoring. CSD will
conduct yearly reviews in compliance with WIA Laws and Regulations
for existing providers and initial reviews for new providers
within six months of award of contracts.
IX
H Describe the liability policy/procedures to be used by the
fiscal agent and how audit exceptions will be satisfied.
CSD
is an arm of a unit of local government and as such has procedures
for debt collection, audit resolution and liability coverage
to address the general issue of liability. The specific procedures
to be utilized for audit resolutions will be in compliance with
Federal Register rules and regulations and State directives.
IX
I If the fiscal agent has an authorized Indirect Cost Rate,
state what this rate is and attach a copy of the authorizing
document from the cognizant agency.
Health and Human Services is the cognizant agency. Pima County
does not anticipate charging an indirect rate to WIA
IX
J indicate if your LWIB intends to request a transfer of funds
from the Adult to the Dislocated worker program or vice versa.
The maximum amount allowed to be transferred is 20%. The Pima
County WIB reserves the right to transfer funds across titles
as necessary, in coordination with the State of Arizona WIA
Administration.
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