Centralina Workforce Development Consortium, Centralina Workforce Development Board And
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Centralina Workforce Development Consortium, Centralina Workforce Development Board and Centralina Youth Council
Request for Proposals For YEAR-ROUND INNOVATIVE YOUTH AND YOUNG ADULT SERVICES UTLIZING WORKFORCE INNOVATION AND OPPORTUNITY ACT (WIOA) FUNDING Program Year 2015 July 1, 2015 to June 30, 2016 Funding: Workforce Innovation and Opportunity Act (WIOA)
Service Areas: Anson, Cabarrus, Iredell, Lincoln, Rowan, Stanly and Union counties
Services: Title I WIOA Youth Services
Target Groups: The neediest youth and young adults, with priority given to out-of-school youth and young adults, high school dropouts, runaway and homeless youth, youth in foster care, court involved youth, children of incarcerated parents and migrant youth and young adults
Request for Proposal Number: #15-08 Youth
Equal Opportunity/Affirmative Action Employer/Program Auxiliary aids and services are available upon request to individuals with disabilities. CENTRALINA WORKFORCE DEVELOPMENT CONSORTIUM AND CENTRTALINA WORKFORCE DEVELOPMENT BOARD
PY 2015 WIOA TITLE I YEAR ROUND INNOVATIVE YOUTH AND YOUNG ADULT SERVICES REQUEST FOR PROPOSALS TABLE OF CONTENTS
PART 1 – BACKGROUND AND GENERAL INFORMATION
A. Introduction – Centralina Workforce Development Board and Youth Council 5-6 B. Centralina Workforce Development Board Roles and Responsibilities 6-7 C. Centralina Workforce Development Board Youth Council 7-8 D. Background 8 E. Centralina Workforce Development Board Youth Council Mission 8-9 F. Purpose of the Request for Proposal 9 G. Right of Non-Commitment or Rejection 9 H. Type of Contract, Contract Award and Funding Level 9-10 I. Eligible Contractor 10-11 J. Addendums 11 K. Appeal Process 11
PART 2 – SCOPE OF WORK AND YOUTH PROGRAM OPERATIONS 12
A. Centralina Workforce Development Board Eligible Service Population 12 New Eligibility Criteria Title 1 WIOA Youth 12-13 B. Transitioning and Serving Youth Currently Enrolled in WIOA Activities 13 Transition from WIA to WIOA 13 Expanded Work Experience Focus 14 C. Design and Delivery of Services 14-16 Performance Measures 16-17 Remediation Requirements 17 Individual Service Strategy/Individual Employment Plan 17-18 Referral 18 Services - Fourteen (14) Youth Program Elements 19 D. Career Pathways 19 E. Linkages and Outreach 19-20 F. Coordination Between WIOA Youth Services & Integrated One Stop 20 G. Further Requirements of Service Providers 20 Subcontracts 20 Data Validation and Record Keeping 20-21
PART 3 - FISCAL AND ADMINISTRATIVE REQUIREMENTS 22
A. Internal Financial Management 22 B. Internal Program Management 22 C. Submission of Most Recent Audit 23 D. Monitoring Procedure 23 E. Records Retention 23-24 F. Insurance Requirements 24 G. Program Income Requirements 24 H. For Profit 24 I. Authority to Re-Capture and Re-Distribute Funds 25 J. Property Management Requirements 25 K. Wage and Labor and Health and Safety Standards 25
2 L. Budgets and Invoices 26
PART 4 - INSTRUCTIONS AND GUIDELINES FOR SUBMISSION OF PROPOSALS 27
PART 5 – PROPOSAL FORMAT, SPECIFICATIONS AND QUALFYING CONDITIONS 28
Attachment #A PY 2015 WIOA Response Package Cover Page 29-30 Attachment #B Executive Summary 31
Attachment #C Innovative Youth Services Plan of Work (Excel Document posted on WDB 32-36 Attachment #D PY 2015 Budget Narrative/Cost Effectiveness website, 5 pages)29 37-38 Attachment #E Certificate of Accounting Systems 39 Attachment #F Program and Financial Management 40 Assurances and Certification 41-43 Attachment #G Statement of Compliance 44 Attachment #H Certificate Regarding Debarment 45 Instructions for Certification-Lower Tier Transactions 46 Attachment #I Drug-Free Workplace Certification 47 Attachment #J Job Descriptions 48
APPENDICES (for review and informational purposes) 49
Appendix A: Fourteen Program Elements Definition/Description of Services to be provided 50-55 Appendix B: Request for Proposals – Evaluation Review Criteria 56-59 Appendix C: Centralina Workforce Development Board Procurement Policy 60-75
3 CENTRALINA WORKFORCE DEVELOPMENT CONSORTIUM, CENTRALINA WORKFORCE DEVELOPMENT BOARD AND CENTRALINA YOUTH COUNCIL
PROGRAM YEAR 2015 – WIOA TITLE I YOUTH AND YOUNG ADULT SERVICES REQUEST FOR PROPOSAL
Funding: Workforce Innovation and Opportunity Act (WIOA)
Service Area: Centralina Workforce Development Board (Anson, Cabarrus, Iredell, Lincoln, Rowan, Stanly and Union counties)
Target Groups: The neediest youth and young adults, with priority given to out-of-school youth and young adults, high school dropouts, runaway and homeless youth, youth that are pregnant or parenting, youth in foster care, court involved youth, youth with disabilities, children of incarcerated parents and migrant youth and young adults.
RFP Release Date: Thursday April 16, 2015 RFP Submittal Date: Friday May 15, 2015 Youth Council Meeting: Thursday June 4, 2015 (Review & Recommendations) Centralina WDB Approval: Tuesday June 9, 2015 Award Notification Date: Friday June 10, 2015 Anticipated Contract Start Date: Wednesday July 1, 2015
Please submit ONE ORIGINAL (clearly marked) proposal and attachments, in a sealed three ring binder to:
Centralina Workforce Development Board, Inc. Attention: Mr. David L. Hollars, Director 525 North Tryon Street/12th Floor Charlotte, North Carolina 28202
and a electronic copy in a PDF format Submit electronic (PDF) copy to: [email protected]
All proposals are due no later than 5:00 p.m. on Friday May 15, 2015
PROPOSALS RECEIVED AFTER THE DATE AND TIME WILL NOT BE ACCEPTED; NO FAXED COPIES WILL BE ACCEPTED
QUESTIONS?
The point of contact for information on this Request for Proposal is:
Centralina Workforce Development Board, Inc. Attention: Solomon McAuley, Youth Specialist 525 North Tryon Street 12th Floor Charlotte, NC 28201 [email protected] Phone: 704.348.2725
4 Disclaimer
The Workforce Innovation and Opportunity Act (WIOA) signed into law on July 22, 2014 will be implemented on July 1, 2015. Federal regulations are currently being drafted by the US Department of Labor and will not be finalized until 2016. This request for proposals, and bids submitted by proposers to this request, and any final contracts negotiated with the successful proposer(s) as a result of this proposal is subject to final laws and regulations and may be changed at any time in order to come into compliance with those laws and regulations.
As the Centralina Workforce Development Board continues to develop and refine its NCWorks system, policies and procedures, or regulatory changes occur from time to time, bidding organizations may be requested to modify program design or the delivery of services. Should a request for a change in program design or service occur, staff of the Centralina WDB will assist bidding organizations or service providers in the redesign to ensure consistency with the Board policies and regulatory requirements.
If any significant changes made to this request for proposals will be posted on the Centralina WDB website: www.centralinaworks.com.
PART 1 – BACKGROUND AND GENERAL INFORMATION
A. Introduction – Centralina Workforce Development Board and Youth Council
The Centralina Workforce Development Board is currently a 23 member strong board comprised of business leaders, representatives from education, economic development, social services, rehabilitation agencies, labor and community based organizations. The Board has professional staff in place to carry out the business of the Board including providing technical assistance, oversight and monitoring of the contracts awarded.
The Centralina Workforce Development Board continually seeks to improve the workforce and the quality of life in the Centralina region and to be the leader for workforce development services in the region.
The Centralina Workforce Development Board adopted the following Mission and Vision Statements:
Mission: The Centralina WDB helps Centralina businesses expand and thrive through a globally competitive workforce. Our public and private sector community leaders are regionally focused, locally driven, and dedicated to providing innovative employment and training strategies.
Vision: The Centralina WDB ensures every business can compete in the global economy with an exceptional workforce that meets and exceeds the demands of the region’s growth. The Board builds sustainable public and private partnerships and attracts ongoing funding to expand and diversify the regional economy.
NCWorks Commission Strategic plan: The NCWorks Commission has adopted the state’s 2014- 2016 Strategic Plan that sets the direction and priorities for North Carolina’s workforce development system. The Centralina Workforce Development Board will be modifying its strategic plan to align with the Commission’s plan. WIOA program service delivery will need to align with the goals of the strategic plan as well.
Strategic Planning: The Centralina WDB is currently working on a new five-year strategic plan and should be finalized just prior to July 1, 2015 program year and will be shared with all interested parties.
5 The Centralina Workforce Development will review its current committee structure in order to align committees with WIOA expectations and strategic plan outcomes, along with Board members and staff with their areas of expertise and interest. The Centralina WDB Executive Director will inform the proposer of any impact the committee restructuring will have on the operation and services of the WIOA Youth Programs.
B. Centralina Workforce Development Board Roles and Responsibilities
The Board is responsible for the workforce development system throughout the Centralina region. This system must serve the needs of employers, job and training seekers, adults and welfare recipients transitioning to employment. The system must provide reliable and valid information so customers can make informed decisions about training and employment; connect customers to other service providers in the system and the community; help customers access diverse funding sources for training; and provide quality job matching services for the job seekers and employers.
The Board has the responsibility to oversee and evaluate the NCWorks Career Center systems and business services integration throughout the local workforce investment area. As such, the Board is committed to the highest quality services and achievement of performance standards through outstanding customer satisfaction and continuous improvement. The WDB staff will be available to provide the successful proposer the technical assistance and capacity building needed to achieve the highest level of performance combined with outstanding customer satisfaction.
The responsibilities of the Board include:
Federal Connection: Ensure that Federal procedures and guidelines are correctly implemented; allocate federal workforce development funds; provide data and reports as needed to satisfy Federal systems and participate in Federal funding opportunities that further the Board’s vision for the NCWorks system.
State Connection: Ensure that State policies, procedures and guidelines are correctly implemented; allocate State workforce development funds; provide data and reports as needed to satisfy Federal and State systems and participate in State funding opportunities that further the Board’s vision for the NCWorks system.
Local Connection: Comply with local government policies (the WDB’s fiscal agent) and regulations; serve as the convener for workforce development in the Centralina region and partner with local organizations on community needs.
Technological Connection: Ensure NCWorks Career Centers are equipped with current technology to better serve and assist all customers; manage the local information system for the Workforce Innovation and Opportunity Act programs and activities.
Evaluation and Measurement Metrics: Approve customer satisfaction survey tools throughout the system and other evaluation tools; measure metrics set for NCWorks Career Centers to ensure quality services are being provided and continuous improvement; designate the successful operator of the NCWorks Career Centers; maintain a grievance procedure for customers to access if the Operator grievance procedures do not produce a resolution; meet with the NCWorks Career Center Operator regularly to listen to suggestions, discuss issues and resolve concerns; and monitor and report on qualify, performance and cost effectiveness, through on-site visits, records review, evaluations, expenditure review and other methods as needed.
6 Outreach: Approve site location, facilities and equipment that contribute to a center of excellence and customer satisfaction; approve outreach materials funded by the Board or containing information about the Board’s programs; provide NCWorks Career Centers with a common name, logo and signage to promote the identity of the NCWorks Career Centers and ensure connectivity between the NCWorks Operator and local and regional entities such as Chambers of Commerce, public education institutions, economic development entities, etc.
Performance and Compliance: Provide technical assistance on all policies, procedures and rules that impact the operation of centers and provide assistance as needed for compliance; develop and provide technical assistance to build capacity to help operator meet quality and consistency standards as well as to meet or exceed performance goals within the NCWorks system; ensure compliance with all rules, regulations and procedures issued by all funding sources.
The roles and responsibilities may be refined and changed as the WIOA regulations and procedures are changed by the US Department of Labor; State policy and requirements are created and implemented throughout the State’s workforce development system and local direction and procedures are adopted or revised by the Board.
Perform fiscal and programmatic monitoring for compliance in accordance with Federal, State and local standards; track and maintain documentation of each performance measure and approve regional education/training providers for inclusion on the State Training Provider List.
Fiscal: Ensure that administrative and programmatic cost categories are properly implemented; confirm that costs are correctly allocated to the associated funding stream; verify that NCWorks system costs are allocated according to the MOUs and provide technical assistance to the fiscal staff of the NCWorks Operator.
The Centralina WDB has 501(c)(3) designation and may solicit grants from other sources in order to address the needs in the region that may not be addressed the Workforce Innovation and Opportunity Act. The successful proposer will be required to collaborate with these grants as needed.
The Centralina Council of Governments (COG) is the Centralina Workforce Development Board Administrative Entity and Fiscal Agent. If any changes occur with the Centralina Workforce Development Board a new contract will be executed with the contractor for the remaining timeframe outlined in this proposal.
C. Centralina WDB Youth Council
(Section 661.340 of the WIA) called for a Youth Council- The Youth Council is responsible for coordinating local youth activities, developing portion of the local plan, recommending eligible service providers to deliver the 10 WIA program elements, and conducting oversight of providers. WIOA Section 129(c)(2) includes 14 program elements, which include the original 10 program elements under WIA.
Under WIOA, the Centralina Workforce Development Board will continue to utilize the Youth Council that will include representatives of youth service agencies, parents, public housing authorities, Juvenile Justice, and youth program participants. One of the many responsibilities of the Youth Council is to develop portions of the Local Plan relating to youth.
The Youth Council will continue to be actively engaged in planning and managing the new Workforce Innovation and Opportunity Act (WIOA) youth funds received in Anson, Cabarrus, Iredell, Lincoln, Rowan, Stanly, and Union Counties as well as:
7 Recommending the providers of youth activities to be competitively awarded contracts by the Centralina WDB, subject to full Centralina WDB approval. Coordinating and overseeing youth activities in the Centralina WDB region. Identifying issues and challenges relating to current youth programs/activities. Assisting in developing, approving and implementing intervention strategies for youth. Monitoring implementation plans for pilot programs of services to specific segments of the youth population. Building community awareness and demonstrating leadership by addressing key development, education and employment issues affecting youth. Influencing and leveraging other community youth funds and services. Allowing for and encouraging input from youth as a vital component in the development of a system that most directly affects them.
D. Background
With the realities of today’s global economy, it is imperative that workforce systems for youth and young adults be demand driven and the programs and services made available be aimed at preparing our most at-risk and neediest youth and young adults for real job opportunities. Many of the needy youth and their families and many out-of-school youth are currently being left behind in our economy because of a lack of program focus and emphasis on outcomes. Therefore, the Centralina WDB aims to offer programs and services to youth and young adults who have become disconnected from mainstream institutions and systems another opportunity to successfully transition to adult roles and responsibilities.
The goal of the WIOA Youth and Young Adult services is to facilitate the development of a broad, coordinated system of services that responds to both the diverse employment and training needs of youth and young adults and the need for new skilled entrants into the Centralina WDB’s labor force.
The Centralina WDB/Youth Council is committed to trying bold, innovative and flexible initiatives to prepare the most at-risk and neediest youth for jobs in our changing economy. Programs and services under the new WIOA will focus more on out-of-school youth, worked based learning opportunities, and additional program elements. An overarching priority has been set for the entire workforce investment system to meet the demands of businesses by providing youth with the necessary educational, job readiness, occupational, and other skills training and services for high demand occupations.
If there are any changes to WIOA, the NC Department of Commerce – Division of Workforce Solutions (DWS), United States Department of Labor (USDOL) or WIOA reauthorization that affect any part of this RFP, the Centralina WDB reserves the right to renegotiate any part of the successful Proposers Proposal and subsequent contract award to be in compliance with the DWS, USDOL and WIA reauthorization.
Any changes to the WIOA program, the State of North Carolina WIOA Plan, or the Centralina WDB WIOA Plan, may result in a change in contracting. In such instances, the Centralina WDB will not be held liable for what is in the Request for Proposal package or Proposer’s proposal.
The Workforce Innovation and Opportunity Act and federal regulations can be accessed on the US Department of Labor, Employment and Training Administration web site at http://www.doleta.gov/wioa/
E. Centralina Workforce Development Board Youth Council Mission
The Youth Council mission is to provide youth, jointly with their family/caretakers, opportunities for future success
8 F. Purpose of the Request for Proposal
The Centralina Workforce Development Board, Inc. (WDB) issues this Request for Proposal (RFP) to solicit for competitive, innovative youth workforce development program proposals for the operation of the Workforce Innovation and Opportunity Act (WIOA) Title I Youth and Young Adult services in one or more of the following counties of the Centralina Workforce Development Board (WDB): Anson, Cabarrus, Iredell, Lincoln, Rowan, Stanly, and Union counties.
Proposals are being solicited for services for eligible youth and young adults. Under WIOA, 75% percent of the funds allotted under section 127(b)(1)(C) will be used on workforce investment services for Out- of-School youth and young adults. Section 129(a)(1)(B) the term out-of-school youth means an individual who is (i) not attending any school (ii) not younger than age 16 or older than 24.
G. Right of Non-Commitment or Rejection
This solicitation does not commit the Centralina Workforce Development Board to award a grant, to pay any cost incurred in the preparation of a proposal, or to procure or contract for services. The Board reserves the right to select proposals it deems most responsive and appropriate and is not bound to accept any proposal based on price alone. The Board also reserves the right to request additional information, documentation, or oral discussion in support of written proposals. The Centralina Workforce Development Board reserves the right to accept or reject any or all proposals received as a result of this request, or to cancel in part or in its entirety, this RFP if it is in the best interest of the Centralina Workforce Development Board to do so.
H. Type of Contract, Contract Award and Funding Level
Proposers must propose a cost reimbursement contract. A Cost Reimbursement Contract is one that est ablishes an estimate of total costs for the purpose of obligating funds and a ceiling that the service provi der may not exceed (except at service provider’s risk) unless the awarding party agrees to amend the co ntract to provide additional funds. A line item budget shall be based on all legitimate costs to be incurre d by the service provider in carrying out the services. The service provider is reimbursed for actual expe nses according to the approved line item budget.
Proposals will be reviewed and awarded by an evaluation review criteria (APPENDIX B). The initial contract term is one year beginning July 1, 2015 and ending June 30, 2016. Activities are expected to begin on July 1, 2015. At the end of June 30, 2016, the Centralina WDB may approve a one-year extension. If the extension is approved, the contract may be extended for an additional year in consideration of funding availability and service provider performance from PY 2015 July 1, 2015 to June 30, 2016.
Proposers should submit Youth and Young Adult service costs up to, but not greater than, the available funding for each category for each county for the contract period beginning July 1, 2015 and ending June 30, 2016. This amount is intended as a guideline for respondents and is subject to revision based upon final notification of WIOA funding availability from the NC Department of Commerce-Division of Workforce Solutions.
Proposers proposed budgets must be within the amounts indicated below and must be reasonable based on proposed staffing, youth service levels, and youth service delivery plans. The amount awarded will be determined on a competitive basis, but not necessarily based on the lowest proposed cost. Revisions and negotiations of final contract budgets may be required.
9 Projected PY 2015 Program Funds for WIOA Title I Youth and Young Adult Services
County Youth Program Funding
Anson $148,475
Cabarrus $281,910
Iredell $276,082
Lincoln $176,698
Rowan $358,489
Stanly $202,320
Union $333,969
TOTAL $1,777,943
Additional funds received by the Centralina WDB may be contracted by expanding existing programs, or by consideration of proposals not initially funded under this RFP, if such proposals were rated in the competitive range. These decisions shall be at the discretion of the Centralina WDB.
Any proposal approved for funding is contingent on the results of a pre-award survey that may be conducted by the Centralina WDB administrative staff. The survey is intended to establish the proposer’s ability to conduct the provisions set forth in the proposed contract. If the results of the survey indicate that the proposed service provider may not be able to fulfill contract expectations, the Centralina WDB reserves the right not to enter into contract with the organization, regardless of the Centralina WDB approval of the service provider’s proposal.
Service providers must accept liability for all aspects of any services conducted under contract with the Centralina WDB. Service providers will be liable for any disallowed costs or illegal expenditures of funds or program operations conducted.
Reductions in the funding level of any contract resulting from this solicitation process may be considered during the contract period when a service provider fails to meet expenditure, participant, and/or outcome goals specified in the contract or when anticipated funding is not forthcoming from the federal or state governments.
I. Eligible Contractor
Any governmental, educational or not for profit organization or agency engaged in a public service may apply. Private for profit organizations engaged in providing employment and training and educational opportunities for eligible youth and young adults may apply.
Entities that are presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from participation in this transaction by any Federal department or agency are not eligible to respond to this RFP or to receive a contract.
Outstanding Monitoring, Audit or Legal Concerns – Respondents must disclose and rectify any and all outstanding monitoring and/or audit concerns from any of the respondent’s other contracts prior to receiving a contract resulting from this RFP. Additionally, respondents must disclose any legal 10 judgments, claims, arbitration proceedings, lawsuits or other legal proceedings pending or outstanding (unresolved) against the organization, its owners, officers, or principals.
Competency – Respondents are expected to have the technical competence, knowledge and expertise in management and administration, the professional staff, and the administrative and fiscal management systems to accomplish the scope of work and the goals and objectives stated in this RFP, and must meet high standards of public service and fiduciary responsibility. Respondents are responsible for being knowledgeable of all laws, regulations, rules, and policies of the specific funding sources involved and applying them in developing the RFP response.
J. Addendums
If it becomes necessary to revise any part of the Request for Proposals, all addendums will be provided in writing to all known interested parties. VERBAL COMMENTS OR DISCUSSION RELATIVE TO THIS SOLICITATION CANNOT ADD, DELETE OR MODIFY ANY WRITTEN PROVISION. ANY ALTERATION MUST BE IN THE FORM OF A WRITTEN ADDENDUM.
K. Appeal Process
See Procurement Policy, APPENDIX C
11 PART 2 – SCOPE OF WORK AND YOUTH PROGRAM OPERATIONS
A. Centralina Workforce Development Board Eligible Service Population
In order to provide services under the youth funding stream, an individual must meet the eligibility requirements below:
New Eligibility Criteria Title I WIOA Youth and Young Adults:
The selected proposer may use youth funds to provide services for out-of-school-youth and young adults between the ages of 16-24 and in-school youth between the ages of 16-21 (on a case-by-case approval basis) that meet the federal WIOA eligibility criteria. Suitability factors should also be considered when making a determination for enrollment.
Funding allocations will be distributed with the goal of seventy-five percent (75%) of youth funding to be expended serving out-of-school youth across the region; therefore, proposals responses should be designed with a focus of meeting the needs of out-of-school youth.
Note: The definition and eligibility guidelines have changed under WIOA. Changes to the out-of-school youth definition removes the low-income requirement for several categories (making them very similar to those of adults). Most often, the target population of 16-24 year old out-of-school individuals define themselves as “young adults.”
Out-of-school youth means an individual who is not attending any school and is between the ages of 16 and 24 and exhibit one or more of the following characteristics:
Low-income, and one or more of the following categories: 1) School dropout 2) A youth who is within the age of compulsory school attendance, but has not attended school for at least the most recent complete school year calendar quarter. 3) A recipient of a secondary school diploma or its recognized equivalent who is a low-income individual and is (aa) basic skill deficient; or (bb) English language learner 4) An individual who is subject to the juvenile or adult justice system 5) Homeless, runaway, or current or former foster child, a child eligible for assistance under section 477 of the Social Security Act (42 U.S.C. 677), or in an out-of-home placement. (Defined in section 41403(6) of the Violence Against Women Act of 1994 (42 USC 14043e-(6); (as defined in section 725 (2) of the McKinney- Vento Homeless Assistance (42 USC 1134a(2); 6) Pregnant or parenting 7) A youth who is an individual with a disability 8) A low-income individual who requires additional assistance to enter or complete an educational program or to secure or hold employment.
Note: The North Carolina Department of Commerce-Division of Workforce Solutions has defined what this means under WIA, and it is anticipated new guidance will be released for this definition under WIOA.
12 Section 129.(a)(2) For the purpose of this subsection, the term “low-income”, used with respect to an individual, also includes a youth living in a high-poverty area.
In-School youth means an individual who is attending school (as defined by state law); between the ages of 16 and 21; who is low income and one or more of the following:
Not younger than age 14 or (unless an individual with a disability who is attending school under State law) older than 21 1) A low-income individual, and one or more of the following categories: 2) Basic skills deficient 3) An English Learner 4) Homeless, runaway, or current or former foster child, a child eligible for assistance under section 477 of the Social Security Act (42 U.S.C. 677), or in an out-of-home placement. 5) Pregnant or parenting 6) An offender 7) A youth who is an individual with a disability 8) An individual who requires additional assistance to complete an educational program or to secure or hold employment.
Note: The North Carolina Department of Commerce-Division of Workforce Solutions has defined what this means under WIA, and it is anticipated new guidance will be released for this definition under WIOA.
B. Transitioning and Serving Youth Currently Enrolled in WIOA Activities
In the event that Centralina WIOA Youth funds are awarded to new contractors in any or all of the counties of Anson, Cabarrus, Iredell, Lincoln, Rowan, Stanly and Union beginning July 1 2015, it is expected that new contractor staff will arrange for the following meetings (at minimum) in order to better serve youth who are continuing in WIOA: an in-person meeting with previous contractor staff to discuss individual youth cases and an orientation meeting/open house for WIOA youth and parents to introduce staff, explain any changes in the delivery of services, and address questions and concerns. Both meetings described above are expected to occur within 4-8 weeks of award notification for Program Year 2015 funds.
Selected proposer will be expected to continue services with currently enrolled youth participants under WIA. Guidance will be forthcoming regarding transition procedures to WIOA.
Transition from WIA to WIOA
The Centralina WDB anticipates Program Year 2015 will be different from past years, as programs and services are re-designed with the expectation of WIOA beginning July 1, 2015. Proposers for this RFP must be willing to creatively and quickly invent and implement new practices and processes, then evaluate and modify them as needed to best serve customers and to comply with new regulations and/or changes to available funds.
13 WIOA Expanded Work Experience Focus
WIOA section 129 (c)(4) prioritizes work experiences with the requirement that local areas must spend minimum 20 percent of non-administrative local area funds on work experience. Under WIOA, paid and unpaid work experiences that have as a component academic and occupational education may include the following four categories: summer employment opportunities and other employment opportunities available throughout the school year; pre-apprenticeship programs; internships and job shadowing; and on-the-job training opportunities. The Centralina WDB encourages proposers to coordinate work experiences with career pathways, summer employment and with other youth serving organizations and agencies such as but not limited to Temporary Assistance for Needy Families, Community Services Block Grant and Community Development Block Grant. Coordinating with other agencies strengthen local summer job efforts.
A minimum amount of 20 percent (20%) of WIOA Youth funds shall be used for paid work experience (includes OJT, work experience, limited internships, and apprenticeships.
Work experience is a critical WIOA youth program element. The selected proposers must track funds spent on work experience beginning with PY 2015 funds.
Proposers should be cognizant of pending workforce system changes due to the passage of WIOA legislation. Several recently published documents are guiding employment and training system changes to begin implementation July 1, 2015. They include the following:
WIOA Information Ready to Work: Job Driven Training and American Opportunity What Works in Job Training: A Synthesis of the Evidence Training and Employment (TEN) 5-14 Training and Employment Guidance Letter (TEGL) 3-14 January 5, 2015 DOL WIOA Rulemaking Update Training and Employment Guidance Letter (TEGL) 19-14
The above WIOA information can be located at www.doleta.gov/wioa
C. Design and Delivery of Services
It is the goal of NCWorks youth services to provide activities to enable young adults to be work- ready and prepared for their future. Provided services will help young adults’ access opportunities for work-based learning, complete industry recognized credentials, and enter employment in demand occupations. NCWorks youth services in the High Country area should be designed in a manner that integrates young adults into the career center in order to receive the full range of services. Integration with other program staff such as the adult program for referrals and with business services for work-based learning and connections with employers will be necessary to meet expectations.
With the focus moved to older, out-of-school youth and young adults, it is likely this population will be visiting the NCWorks Career Center seeking career services. Appropriately trained staff and customer flow of the center will be important in identifying which customers may be most appropriate for receiving youth-funded services/elements.
14 WIOA requires the following fourteen (14) elements to support the success of youth. While every youth may not need every element, providers are required to either provide or connect youth to organizations that meet their identified needs. Proposals must identify an initial plan of how the following elements will be addressed. 1. Tutoring, study skills training, instruction, and evidence-based dropout prevention and recovery strategies that lead to completion of a school diploma or its recognized equivalent (including a certificate of attendance for individuals with disabilities) or for a recognized postsecondary credential; 2. Alternative secondary school services or dropout recovery services; 3. Paid and unpaid work experiences that have as a component academic and occupational education which may include the following: a. Summer employment opportunities and other employment opportunities available throughout the school year; b. Pre-apprenticeship programs; c. Internships and job shadowing; and d. On-the-job training opportunities 4. Occupational skills training, which shall include priority consideration for training programs that lead to recognized post-secondary credentials that are aligned with in-demand industry sectors or occupations in the local area; 5. Education offered concurrently with and in the same context as workforce preparation activities and training for a specific occupation or occupational cluster; 6. Leadership development opportunities, which may include community service and peer- centered activities; 7. Supportive services; 8. Adult mentoring for a period of participation and a subsequent period for a total of no less than 12 months; 9. Follow up services for no less than 12 months after the completion of participation, as appropriate; 10. Comprehensive guidance and counseling; 11. Financial literacy education; 12. Entrepreneurial skills training; 13. Services that provide labor market and employment information about in-demand industry sectors or occupations available in the local area, such as career awareness, career counseling, and career exploration; and 14. Activities that help youth prepare for and transition to postsecondary education and training.
Note: Youth services should follow the same list of demand occupational training areas that apply to adult/dislocated worker services. All customers interested in receiving WIOA scholarship assistance must apply for a Pell Grant, and if awarded, be applied to the cost of training.
Respondents’ proposals should reflect “an age continuum of services” and age-appropriate activities based on the expectation that youth may be enrolled in WIOA services for the time period determined to successfully complete their service strategy. Planned services and activities should be designed to meet the needs of out-of-school youth, ages 16-24. The intensity and methods of delivering WIOA services should be flexible to respond to the individual needs of youth as they age and develop. A variety of workforce development activities should be available to help youth identify personal and vocational interests and begin to clarify long-term employment goals. Negotiating the transition from school to the workforce requires more than the acquisition of skills specific to an occupation. It is also necessary for youth to master the developmental tasks associated with cognitive, emotional, and social maturity that are critical to long-term employment success. 15 Many young adults that are disconnected from education and employment may demonstrate a need for supportive services in order to successfully begin, carry out, or complete their service strategy. Service providers should collaborate with partner agencies on meeting these needs prior to use of WIOA funds. Common types of supportive services include childcare, transportation, and emergency assistance.
Proposals should demonstrate linkages with the public schools, alternative schools, and various training providers to extend and enhance learning opportunities as part of a year-round strategy to improve academic achievement and build connections between work and learning. Respondents are expected to build and strengthen partnerships with community organizations in order to effectively recruit, engage, and sustain out-of-school youth in successful completion of WIOA activities.
Service providers are also expected to assist in workforce system building activities with education and partners. Activities should include, but are not limited to, partnerships with schools to provide workforce information and resources, assisting with career fairs, hosting workshops, support of Work Ready Communities and the NCWorks Career Center system. Proposals should incorporate activities that demonstrate the provider’s ability to successfully engage and contribute to the development of workforce services throughout the region.
Performance Measures:
Currently, North Carolina uses Common Performance Measures for customers enrolled into WIA services. During the first WIOA transition year, common measure will still apply. New WIOA measures will begin in 2016 and replaces WIA measures. Current measures include the following:
Youth Placement in Employment, Education or Training-measured in quarter 2nd after exit. Attainment of Degree or Certificate-percentage of participants who obtain a recognized credential or secondary diploma during participation or within 1 year after exit. Literacy Numeracy Gains captured throughout program year
It is anticipated that the PY 2015 Performance Goals will be similar to PY 2014.
However, the proposer will also need to take into account that WIOA performance measures (set to t ake effect on July 1, 2016) will be based on data regarding exiters from the WIA program for the pre vious two years (beginning July 1, 2014), unless otherwise waived by DOL. The successful proposer will be responsible for the follow-up and performance measures data for both WIA and WIOA measur es and should be prepared to track the data for both sets of measures.
Retention in Employment, Education or Training- percentage of participant in education, training or unsubsidized employment measured in quarter 4 after exit. Earnings after Entry into Unsubsidized Employment- earnings of participants in subsidized employ ment during quarter 2 after exit. In-Program Skills Gain-to increase the skills obtained through education leading to a credential or employment during the program year. Definition: Percentage of participants in education leading to credential or employment during program year, achieving measurable gains. Measured in real- time.
The successful proposer will be responsible for meeting all performance measures as laid out by USDOL.
16 Below are the performance measures given to the Centralina Workforce Development Board for PY 2014. Each local workforce board is responsible for negotiating these measures with the State. The performance measures listed below are provided as information and as a baseline for the purpose of this request for proposals.
Placement in Employment Attainment of a Literacy and Numeracy Gains or Education Degree or Certificate 67.60% 66.00% 67.00%
It should be noted that the Centralina Workforce Development Board increases its negotiated performance measures.
The performance measure levels above are subject to change with the implementation of WIOA and/or PY 2015 measurements.
Employment goals are measured using Unemployment Insurance Wage Records systems, and customer satisfaction goals are measured by sampling.
The proposer will be responsible for capturing all credentials and entering them into NCWorks Online as well as all in-program skills gains.
In the event that the State and or the Centralina Workforce Development Board sets additional goals to indicate the success of the system, services or centers, the successful prosper will also be required to meet those goals and/or measures as well.
Remediation Requirements:
All WIOA enrolled participants who are dropouts and/or identified as basic skills deficient must receiv e some type of basic skills training (either WIOA funded or otherwise) which is, under ideal circumsta nces, integrated with occupational skills training and taught in a functionally applied context related t o the occupation in which training is occurring.
Individual Service Strategy/Individual Employment Plan
WIOA service providers will be required to complete an Individual Service Strategy (ISS) for each eligible participant. The Centralina WDB will provide a standardized form for completing each youth’s ISS.
The ISS is intended to provide in-depth information about a youth, both history and present circumstances, in order to create a plan of action agreed upon by both the young person and service provider. The ISS should be flexible and responsive to the changing needs of the youth as they move through WIOA. Each ISS will outline the appropriate mix and sequence of services, indicate the rationale for decision-making, and include appropriate achievement objectives and expected timeframes.
The ISS is to be developed in partnership with each youth. Each youth’s ISS will identify an Educational goal, Basic Skills goals (as needed), and Literacy/Numeracy goals (as needed), selected learning objectives, and provide preparation for unsubsidized employment. The ISS will set clear and realistic goals for educational advancement, entry into employment in a targeted industry, and continued learning and development, while taking into consideration the youth’s assessment results.
17 A periodic review of the ISS will be made to evaluate the progress of each youth in meeting the objectives of the service strategy. Progress in acquiring soft skills, basic skills and occupational skills as appropriate, and the adequacy of the supportive services provided, will also be included in the periodic review. The ISS will be used as an instrument for the Centralina WDB to document the appropriateness of the decisions made concerning the combination of services for the participant, including referrals to other programs for specified activities.
Youth shall be contacted weekly/bi-weekly for the purpose of evaluating progress in achieving soft skills, educational, basic and occupation skills goal competencies and for reviewing the need for supportive services.
Because WIOA resources are generally insufficient to provide the full range of training or support services identified as needed in the ISS, every reasonable effort must be made to arrange basic and occupational skills training as well as supportive services through other community resources for participants.
Referral
If a participant is determined through objective assessment and the ISS to be better served by a program other than WIOA, the participant will be referred to the appropriate program and the referral will be documented in the ISS. If there is a continuing relationship with an individual, referral to another program for specific services will be part of the participant’s program participation and will be documented in the ISS. WIOA service providers are responsible for providing information regarding appropriate services and making necessary arrangements for individuals to be referred for those services. The service provider will track all referrals to non-WIOA services for eligible applicants, participants and enrollees.
If a customer is determined ineligible for WIOA youth services the customer shall be referred to other agencies, partners or organizations.
Services – Fourteen (14) Youth Program Elements
WIOA legislation mandates that fourteen (14) specific program elements must be included in the WIOA Youth program design. These services may be available by direct service provision, through partnerships with other organizations, or by referral to other organizations as appropriate per WIOA Regulations 664.410.
The fourteen (14) youth program elements are defined and listed below:
1) Tutoring, study skills training, instruction, and evidenced-based dropout prevention and recovery strategies 2) Alternative Secondary School Services 3) Paid and unpaid work experiences which may include-a) Summer Employment and other employment opportunities available throughout the school year, b) pre apprenticeship programs, c) internships and job shadowing, d) on-the-job training opportunities 4) Occupational skill training, which shall include priority consideration for training programs that lead to recognized postsecondary credentials that are aligned with the in demand industry sectors or occupations in the local area involved. 5) Education offered as workforce preparation activities and training 6) Leadership Development opportunities which may include community service and peer-centered activities encouraging responsibility and other positive social and civic events
18 7) Support Services 8) Adult mentoring for the period of participation for a total of nothing less than 12 months 9) Follow-up services for nothing less than 12 months after completion of participation 10) Comprehensive Guidance and Counseling which may include drug and alcohol abuse counseling and referral 11) Financial Literacy Education 12) Entrepreneurial Skills training 13) Services that provide labor market and employment information about in-demand industry sectors or occupations available in the local area such as career counseling, and career exploration services 14) Activities that help youth prepare for transition to postsecondary education and training
D. Career Pathways
Under WIOA, the Centralina WDB in coordination with service providers and partners will continue to lead efforts in the area to develop and implement career pathways by aligning the employment, training, education and supportive services that are needed by youth to gain employment. Initiatives will be developed to identify employment needs of employers within identified sectors and occupations. Efforts will include enhancing communication, coordination, and collaboration among employers, educational partners, economic development entities, and service providers to develop and implement strategies for meeting the employment and skill needs of workers and employers.
To ensure that the focus is on career development and achievement for all enrolled youth and young adults, any work-based opportunity must be related in one of the key industry target sectors for the Centralina WDB region.
WIOA Sec. 3 (7) describes Career Pathway – The term “career pathway” means a combination of rigorous and high-quality education, training, and other services that
a. Aligns with skill needs of industries in the economy of the state or regional economy involved; b. Prepares an individual to be successful in any of a full range of secondary or postsecondary education options, including apprenticeships registered under the act of August 16, 1937 (commonly known as the “National Apprenticeship Act”; 50 Stat. 664, Chapter 663; 29 U.S.C. 60 ET SEQ.) (Referred to individually in this act as an “apprenticeship”, except in Section 171); c. Includes counseling to support an individual in achieving the individual’s education and career goals; d. Includes, as appropriate, education offered concurrently with and in the same context as workforce preparation activities and training for a specific occupation or occupational cluster; e. Organizes education, training, and other services to meet the particular needs of an individual in a manner that accelerates the educational and career advancement of the individual to the extent practicable; f. Enables an individual to attain a secondary school diploma or its recognized equivalent, and at least one recognized postsecondary credential; and g. Helps an individual enter or advance within a specific occupation or occupational cluster.
E. Linkages and Outreach
Proposals should demonstrate linkages with the public schools, alternative schools, and various training providers to extend and enhance learning opportunities as part of a year-round strategy to improve academic achievement and build connections between work and learning. Proposers are
19 expected to build and strengthen partnerships with community organizations in order to effectively recruit, engage, and sustain out-of-school youth in successful completion of WIOA activities.
The selected proposer is also expected to assist in workforce system building activities with education and partners. Activities should include, but are not limited to, partnerships with schools to provide workforce information and resources, assisting with career fairs, hosting workshops, support of Work Ready Communities and the NCWorks system. Proposals should incorporate activities that demonstrate the provider’s ability to successfully engage and contribute to the development of workforce services throughout the region.
The selected proposer is expected to address how recruitment ensures that target populations are served. The Proposer shall demonstrate linkages with human service agencies including, but not limited to the following: Public Schools, Housing Authorities, Department of Social Services, Veteran’s Services, Health Department, Community Colleges, Community Based Organizations, Vocational Rehabilitation, Services for the Blind, Title V programs, and Department of Correction. Linkages are established through WIOA orientation/training sessions provided by the service provider and written coordination agreements/memorandums of understanding. Other agencies will be advised of the WIOA services available in the county through newspapers, fact sheets, and/or media public service announcements and the Integrated One-Stop Delivery Systems.
F. Coordination between WIOA Youth Services & Integrated One Stop Delivery System
The Workforce Innovation and Opportunity Act (WIOA) require that WIOA-funded Youth Services be connected to the local One Stop System (NCWorks) in the following ways: coordination and provision of youth activities; access for eligible youth to the array of information and services required under the law; and linkages to the job market and employers.
G. Further Requirements of Service Providers
Subcontracts
Subcontracting is permissible. If any part of the work covered by this RFP is to be subcontracted, the respondent shall identify the subcontracting organization(s) in the proposal indicating the WIOA services to be subcontracted and the rationale for using a subcontractor rather than providing the services directly. All subcontracts are subject to applicable federal, state and local laws, rules, regulations, and policies governing procurement. No more than 25% of funds awarded under any contract may be subcontracted. This does not include OJT contracts developed for training WIOA customers. The proposer must also provide the procurement policy for securing subcontractors. Subcontractors shall be subject to the same requirements as the proposer under this RFP and any resulting contract. The Centralina WDB must approve all subcontracts prior to the final execution of a contract. Subcontract agreements shall include the minimum provisions required in the Centralina WDB contracts. A copy of subcontract agreements must be submitted to the Centralina WDB prior to entering into any agreement. Contractors will be held accountable for any and all work done by its subcontractors.
Data Validation and Record Keeping
The US Department of Labor has issued a data validation policy that establishes record keeping requirements to ensure the accuracy and integrity of information collected and reported on WIOA activities and program outcomes. The federal policy mandates that states “demonstrate the validity of 20 reported data,” and conduct data validation annually. North Carolina has set statewide policy for data validation, and Centralina has developed guidelines and instructions for participant records/files that include file content and structure, data validation labeling requirements, and file maintenance. Centralina staff will provide staff training and ongoing technical assistance for data validation.
21 PART 3 - FISCAL AND ADMINISTRATIVE REQUIREMENTS
A number of changes to the federal OMB circulars took place on December 19, 2014. New Uniform guidance was issued in 2 CFR Part 200 and 2 CFR Part 2900. The Employment and Training Administration issued TEGL 15-14 that gives guidance on this reform. In summary, 2 CFR 200 and 2 CFR 2900 replaces the following: A-103 & A-89, A-87, A-133 & A-50, A-110, A-21, A-110 and A- 122.
A. Internal Financial Management
All contractors are required to conduct internal financial management reviews. The purpose is to provide adequate internal controls and ensure compliance with the following areas related to WIOA funds and services:
Provisions of the Workforce Investment and Opportunity Act and its regulations; Provisions of the WIOA Contract; Applicable state and workforce development board policies; Accepted financial management and accounting practices; and Compliance with 2 CFR 200
Internal financial management procedures shall be sufficient to prevent fraud and abuse. All reports of information creating suspicion of or instances of criminal misconduct must be reported immediately to the CWDB and USDOL.
Internal financial management procedures must also ensure that auditable and otherwise adequate records are maintained which support all expenditures of WIOA funds and confirm adherence to policies regarding allowable costs and allocations of cost to proper cost categories. It is necessary to assure that accounting records are supported by source documentation for each transaction. In addition, records should be traceable to documentation and maintained in such a manner as to provide a complete and accurate audit trail during any internal or external examination.
The WIOA contractor shall document all internal financial compliance reviews.
If applicable, the respondent will provide a copy of the organization’s Cost Allocation Plan. For-profit organizations will need to provide any proposed profit within the budget document.
B. Internal Program Management
Contractors are required to establish internal program management procedures to assure compliance with contract requirements, delivery of high-quality services to eligible adults and dislocated workers, and achievement of planned outcomes. Internal program management procedures must also ensure that auditable and otherwise adequate records are maintained to support the eligibility of all WIOA customers and confirm adherence to specific requirements and time limitations.
Internal financial management procedures shall be sufficient to prevent fraud and abuse. Internal financial management procedures must also ensure that auditable and otherwise adequate records are maintained which support all expenditures of WIOA funds and confirm adherence to policies regarding allowable costs and allocations of cost to proper cost categories. The WIOA contractor shall document all internal financial compliance reviews.
22 C. Submission of Most Recent Audit
As a recipient of WIOA funds, proposers must have an annual financial and compliance audit performed. The audits must be conducted in accordance with auditing standards set forth under the Single Audit Act Amendment of 1996 and revised OMB Circular A-133 at 29 CFR 95.26 for institutions of higher education, hospitals and other non-profit organizations and at 29 CFR 97.26 for units of state and local government. This requirement will be met by providing the CWDB with a copy of the annual audit according to OMB Circular A-133. For all for profit businesses, proposers must have an annual financial and compliance audit performed under Generally Accepted Accounting Standards by an independent auditor. A copy of the audit will be forwarded to the CWDB. The audit should be submitted within 30 days after the completion of the audit, but no later than six months after the end of the audit period.
D. Monitoring Procedure
In accordance with WIOA Contract Monitoring and Audit Procedures and the WIOA regulations (20 CFR, Part 652, et al and 20 CFR 667.410), WIOA contracted staff must cooperate with any monitoring, inspection, audit, or investigation of activities related to WIOA contracts. These activities may be conducted by the North Carolina Division of Workforce Solutions, the U.S. Department of Labor, Centralina Workforce Development Board, or their designated representatives. This cooperation includes access to, examination of, and/or photocopying of books, records, files, documents, property or equipment related to all aspects of WIOA funded activities under this contractual agreement.
The Centralina WDB has developed a systematic monitoring system for evaluating the quality and effectiveness of services. Monitoring is the quality control system whereby the Centralina WDB gathers and analyzes information to detect problems, identify strengths and weaknesses, and propose improvements to the services. Monitoring activities are conducted periodically to determine whether services are in compliance with contractual agreements, Centralina WDB policies, WIOA regulations, and Centralina WDB requirements. The Centralina WDB monitors performance, programmatic, and fiscal activities. In many instances, the different types of monitoring are interrelated and conducted simultaneously.
E. Records Retention
The following records and documents must be maintained for WIOA-funded participants and employees. They must be available for monitoring and review by the Centralina WDB and must be retained, subject to audit, for five (5) years following the final audit of the contract. If any aspect of the program is under investigation or in the process of audit resolution and/or debt collection, the service provider is required to retain records after the five (5) year period and until the final audit resolution of all disallowed and/or questioned costs are paid or accepted as allowable.
1. General ledger or equivalent; 2. Cash receipts and cash disbursements journals/reports or equivalent; 3. Bank statement, reconciliation, deposit slips and canceled checks for each bank account through which WIOA funds were received or disbursed; 4. All contracts with the Centralina WDB including all amendments; 5. All financial reports and documentation supporting requests for reimbursement;
23 6. Payroll records including Individual Earnings Record, Employee Withholding Authorization (W-4), FICA reporting forms, Federal and State withholding, Unemployment taxes, Employee Personnel Files, Time Records and Employee Time/Salary Allocation plans; 7. Invoices and/or supporting data for non-payroll disbursements; and 8. Customers’ records including participant data forms, verification/documentation items, assessments tests and results, the Individualized Service Strategy and documentation of outcomes. 9. Any other financial records or documents requested by the Centralina WDB.
F. Insurance Requirements
Proof of insurance is not a requirement for the submission of a proposal; however, successful proposers will be required to obtain all insurances required by the Centralina WDB.
Insurance - It is strongly encouraged that WIOA customers are covered by accident insurance while participating in WIOA-funded activities. OJT employers must provide proof of workers’ compensation or comparable coverage prior to execution of the OJT contract. No WIOA client will be required or permitted to work, or receive services or training in a building or surroundings or under working conditions which are unsanitary, hazardous, or dangerous to the client’s health or safety. All participants placed in a paid work experiences or internships, must be covered by workers compensation. OJT employers must provide proof of workers’ compensation or comparable coverage prior to execution of the OJT contract.
Automobiles – WIOA contractors using motor vehicles in conducting services shall provide automobile insurance that clearly specifies that the Centralina WDB, Centralina Council of Governments and/or staff are held harmless against claims arising from ownership, maintenance, or use of said vehicle.
Bonding Insurance Requirements – WIOA contractors must meet bonding requirements as required through the OMB Circulars or other applicable regulations. Public agencies are required by the North Carolina General Statute to be bonded. Non-governmental agencies shall procure a blanket fidelity bond, position bond, or name schedule fidelity bond for all persons or positions authorized to receive or disburse WIOA funds. The Contractor must maintain all bonding in force for the period of the contractual agreement. The proposed contractor must submit a written notice to the Centralina WDB within fifteen (15) calendar days prior to any reduction in the limits stated on the bonding document. Similarly, the Centralina WDB selected proposer must provide written notice of any cancellation of the bonding policy to the immediately upon receipt of the cancellation notices.
G. Program Income Requirements
The U.S. Department of Labor requires that all income generated under any WIOA contract shall be reported and used to further program objectives. Any organizations proposing program income must provide a set of measurable deliverables. Program income is required to be spent prior to the use of WIOA funds.
H. For Profit Proposers:
Proposers proposing for profit contracts must provide criteria/deliverables for profit and a schedule of payment as part of the budget narrative. All criteria proposed must be Specific, Measurable, Achievable, Realistic and Timely (SMART goals). Profit margins shall not exceed ten percent (10%) of the Contract. Criteria for Profit will be reviewed and included in negotiating final contracts.
24 I. Authority to Re-Capture and Re-Distribute Funds: The WDB has the authority to re-capture and re-distribute funds based on the following criteria not being met.
Staffing levels Enrollments Caseloads Spending levels
J. Property Management Requirements
The proposer agrees to maintain careful accountability of all WIOA purchased non-expendable property (property with a life expectancy of one year of more and a unit cost of $1,000.00 or more) and to maintain an inventory of all properties issued by the Centralina WDB or subsequently acquired with WIOA funds. Acquisition of non-expendable property with a unit cost of $1,000.00 (including taxes, shipping and handling costs) or more must be approved by Centralina WDB staff, prior to the purchase. Any disposal of WIOA property must be according to applicable federal, state and local disposal procedures. Any revenues derived from the sale of property purchased with WIOA funds must be used in WIOA service delivery for the program(s) which funded the original purchase.
Any single piece of equipment that costs greater than $5,000 and to be purchased with WIOA funds must be approved by the Centralina WDB and the NC Department of Commerce-Division of Workforce Solutions, depending on cost.
The WIOA contractor will be responsible for maintaining an accurate inventory of all WIOA property in their possession. A copy of the updated annual inventory shall be submitted to the Centralina WDB staff upon completion. The Centralina WDB will maintain a fixed-asset listing to be verified for physical location and serviceability at the WIOA contractor facility at least annually. Funds may be used to pay for or replace the missing property.
In the event property purchased with WIOA funds is stolen or destroyed by criminal act, the proposer will notify appropriate law enforcement officials immediately. The Centralina WDB must be notified within three (3) working days of discovering the loss or damage. A copy of the police report will be maintained as documentation of loss, and a copy forwarded to the Centralina WDB.
The proposer agrees to pay for or replace any property purchased with WIOA funds that is lost, damaged or destroyed through negligence.
K. Wage and Labor and Health and Safety Standards
Customers employed in work-related activities under WIOA must be compensated in accordance with applicable law, but not less than the higher of the rate specified in the Fair Labor Standards Act of 1938 or the applicable State minimum wage law.
Health and safety standards under Federal and State law otherwise applicable to working conditions of employees are equally applicable to working conditions of WIOA customers engaged in work experience activities under WIA. Workers’ compensation insurance coverage must be secured for WIA customers in work experience. L Budgets and Invoices
Respondents to this RFP should submit a Youth and Young Adult Services budget that is included with the RFP up to, but not greater than the projected available funding for each program. Once a proposer is selected the Centralina WDB staff will work with the proposer to budget those funds. The 25 amounts on the funding chart are intended to be used as guidelines for proposers and are subject to revision based upon final notification of WIOA funding availability from the NC Department of Commerce-Division of Workforce Solutions. The budget spreadsheet document will provide a summary of the proposed cost by line item with additional worksheets to provide additional back up detail of projected budgets. If additional narrative detail is needed, please provide that as well. It is understood that customer expenses will be difficult to accurately predict at this time; however, a projection of these expenses based on plans for services to customers is requested. More detailed budgets will be developed after the proposer is selected and allocation amounts are more defined.
Proposed budgets must be within the amounts indicated and must be reasonable based on proposed staffing, service levels, and service delivery plans. The amount awarded will be determined on a competitive basis, but not necessarily based on the lowest proposed cost. Subsequent revisions and negotiations of final contract budgets may be required due to funding award decisions.
Since this is a reimbursement contract, the proposer will be expected to incur the costs for all program services and make payments on behalf of the enrolled customers, then report each month’s expenses by the 10th day of the following month for each of the fund sources in the contract. The monthly reimbursement submission will include a line item invoice, with budgets, current month expenses, unexpended balances, and accrued expenses. As backup to the invoice, a summary line item expenditure reports and detailed line item expenditure reports by fund source that support the invoice amounts should be submitted each month.
Since the program year and fiscal year runs from July 1st through the following June 30th, final payment for each program year’s WIOA expenses will occur with the June invoice that will be submitted by the proposer to the Centralina WDB during the month of July along with end of year Financial Closeout documents. Proposers are expected to expend at least 80% of their contracted funds by the end of each program year.
Although not expected, if any part of the work covered by this request is to be sub-granted, the proposer shall identify the sub-granting organization and a sub-grant agreement must be entered into between the two parties. Copies of the sub-grant agreements must be submitted to the Centralina WDB for approval, prior to execution of any sub-grant agreements.
26 PART 4 - INSTRUCTIONS AND GUIDELINES FOR SUBMISSION OF PROPOSALS
Confidential Information
No documents relating to this procurement will be presented or made otherwise available to any other person, agency or organization until after the funding awards. Commercial or financial information obtained in response to this RFP is privileged and confidential and is clearly worded as such and will not be disclosed at any time so long as all requirements of North Carolina General Statutes 132-1.2 have been met. Respondents must visibly mark as “Confidential” each part of their funding application that is considered proprietary information.
Proposals should include all items listed below, in the order shown. The following forms should be completed with all information requested and executed properly. Proposals that fail to include all applicable forms and information will not be considered. Please number each page .
Submissions
In order to accomplish fair and uniform review, respondents are to submit one (1) original (clearly marked) with original signatures and an electronic copy in a PDF format. All proposals must be signed and dated by a representative authorized to commit to proposal provisions. Unsigned proposals may be rejected or deemed non responsive.
The original shall be submitted in a three ring binder with tab dividers by section. Font size should be no less than 12 point, single-spaced, single sided page, with 1 inch margins. All pages are to be numbered sequentially. Respondents are to type or write Centralina WDB - Proposal to Provide Workforce Innovation and Opportunity Act (WIOA) Year-Round Innovative Youth Programs - RFP #15-07Y on the outside of the sealed proposal package. Faxed proposals will not be accepted.
Proposals are to be prepared to provide a clear and straightforward presentation of the respondent’s capability to satisfy the requirements of this RFP. See additional information and details in Part 5.
27 PART 5 – PROPOSAL FORMAT, SPECIFICATIONS AND QUALFYING CONDITIONS
Proposals submitted for WIOA Youth services are to include all of the items listed below and assembled in the order indicated with tab dividers to separate and label each section. Any information requested must be addressed. Failure to respond to specific requirements and/or information may result in a proposal being deemed as incomplete and non-responsive.
Proposal must include the following ATTACHMENTS:
1. PY 2015 WIOA Response Package Cover Page – Attachment #A 2. Executive Summary – Attachment #B 3. Innovative Youth and Young Adult Services Plan of Work – Attachment #C 4. PY 2015 Budget Narrative & Summary Document - Attachment #D 5. Certificate of Accounting Systems -Attachment #E 6. Assurances and Certification – Attachment #F 7. Statement of Compliance – Attachment #G 8. Certificate Regarding Debarment, et al - Attachment #H 9. Drug-Free Workplace Certification - Attachment #I
Proposal must include the following REQUIRED DOCUMENTS:
1. Federal ID Number 2. Copy of most recent IRS form 990 (not-for-profits only) 3. List of Current Board Members (if applicable) 4. Copy of Charter and Bylaws of Organization 5. Copy of Bond Coverage (or explanation of planned coverage if an award is made) 6. Audited Financial Statements 7. Copy of Cost Allocation Plan 8. Operational organizational chart with all key staff and lines of authority 9. Job Descriptions for staff positions that will be WIOA funded 10. Copy of Agency’s Grievance/Complaint Procedure
Resources:
Appendix A – Fourteen Program Elements Definition/Description of Services to be Provided Appendix B - Request for Proposals – Evaluation Review Criteria Appendix C - Centralina Workforce Development Board Procurement Policy
28 ATTACHMENT: A
PY 2015 WIOA YOUTH AND YOUNG ADULT SERVCICES – RFP RESPONSE PACKAGE COVER SHEET
Organization Name: ______
Street Address: ______
Mailing Address: ______
Contact Person(s): ______
Title of Contact Person: ______
Telephone Number(s): ______
Fax Number(s): ______E-Mail: ______
Check the box that most appropriately describes your organization
Unit of Local Government Private Non-Profit Organization For Profit Organization Other ______
Proposed Services Period: Start Date______End Date ______
Check the counties and indicate the number of customers to be served: Anson ___ Cabarrus____ Iredell ____ Lincoln ____ Rowan___ Stanly ______Union_____
Address each performance outcome listed below and describe how your organization will assist in achieving performance goals (calculate what your organization will achieve in performance measures below). Information provided on service provider performance goals should be based on the number of youth enrolled, number exited that enter employment in the first quarter after exit, number of youth that attained a degree or certificate (completion of education program) and literacy/numeracy gains (number of youth who attain basic skills).
Centralina WDB WIA Performance Measures Centralina WDB Goal Service Provider Goal Youth Entered Employment or Education Rate 73.30% Youth Attained a Degree or Certificate Rate 73.40% Youth Literacy or Numeracy Gains 56%
Summary of Proposed Budget:
Cost Objectives/Categories Amount TOTAL COST OF PROPOSED PROGRAM Total number of youth/young adults to be served Cost per participant
29 Are funds from other funding sources being requested in order to implement this proposed WIOA Program? Yes No
If the answer to above question is yes, please complete the following information to indicate sources, amounts and expected dates of funding approval. Provide explanation of how the other funding source will be used in the WIOA program.
Other Expected Funding Sources Expected Amount Expected Date Of Approval
Total Other Funds Expected
CERTIFICATION: I certify that the information contained in this proposal, fairly represents this entity and its operating plans and budget necessary to conduct the proposed WIOA services to youth described herein. I acknowledge that I have read and understand the requirements of the Request for Proposal (RFP) and that this entity is prepared to implement the proposed activities as described herein. I further certify that I am authorized to sign this proposal and any contractual agreement emanating there from on behalf of the entity submitting the proposal. This PROPOSAL or OFFER is firm for a period of at least ninety (90) days from the closing date for submission which is Monday June 1, 2015 at 4:00PM.
This Response Package Cover Sheet has the following parts attached:
1. Attachments A-I (Signed & Dated where appropriate) 2. REQUIRED DOCUMENTS (see Part 5)
______/______SIGNATURE of Signatory Official Date
______Typed or Printed Name and Job Title of Signatory Official
30 ATTACHMENT: B
EXECUTIVE SUMMARY
Instructions: Provide a concise summary highlighting each of the following areas:
A. Highlight your organization’s qualifications (capability and demonstrated performance) for delivering WIOA-funded services for youth.
B. Discuss relationships with businesses that will be the key to providing work-related services for youth in the WIOA program
C. Give an overview of plans and strategies to achieve the Centralina WDB Performance Measures.
31 ATTACHMENT: C
INNOVATIVE YOUTH AND YOUNG ADULT SERVICES PLAN OF WORK
Program Start-up
Instructions: The first ninety (90) days following contract award beginning July 1, 2015 are very important to successfully implementing a WIOA youth and young adult services project. Describe in detail, how you plan to address the following:
1. Provide a PLAN and SCHEDULE for addressing start-up priorities including: a. Training staff b. Transitioning current WIOA youth c. Marketing WIOA program in your community d. Recruitment e. Establishing/expanding working relationship with the NCWorks System f. Record keeping system set up
Recruitment
Instructions: Recruitment is vital to the success of the WIOA program. Describe in detail how you plan to address the following:
2. What is your plan for recruiting eligible out of school youth and young adults for the WIOA program?
Assessments
Instructions: The issuance of an objective assessment of the skill levels and service needs of youth and young adult customers is a required component of the WIOA Program. Describe in detail how you plan to address the following:
3. How will the intake process take place?
4. Describe your approach to assessing youth and young adults, what instruments will be used?
5. Who will administer and interpret assessment test results?
6. How will assessment results be used to determine appropriate services and identify needs?
Career Exploration
Instructions: Describe in detail how you plan to address the following:
7. How does your organization plan to promote informed career decision making?
8. How does your organization plan to provide soft skills training?
32 Required Program Elements
Instructions: WIA legislation mandates that specific program elements must be included in the program design. These services may be offered directly through service provision, through partnerships with other organizations, or by referral when appropriate per WIA Regulations 664.410. Describe in detail how you plan to address the following:
9. How are the 14 elements supported through your project design? What are the specific activities proposed for each element? Be specific in describing the kinds of activities to be offered under EACH element: (See Appendix A - Description of Youth Program Elements).
1) Tutoring, study skills training, instruction, and evidenced-based dropout prevention and recovery strategies 2) Alternative Secondary School Services 3) Paid and unpaid work experiences which may include-a) Summer Employment and other employment opportunities available throughout the school year, b) pre apprenticeship programs, c) internships and job shadowing, d) on-the-job training opportunities 4) Occupational skill training, which shall include priority consideration for training programs that lead to recognized postsecondary credentials that are aligned with the in demand industry sectors or occupations in the local area involved. 5) Education offered as workforce preparation activities and training 6) Leadership Development opportunities which may include community service and peer-centered activities encouraging responsibility and other positive social and civic events 7) Support Services 8) Adult mentoring for the period of participation for a total of nothing less than 12 months 9) Follow-up services for nothing less than 12 months after completion of participation 10) Comprehensive Guidance and Counseling which may include drug and alcohol abuse counseling and referral 11) Financial Literacy Education 12) Entrepreneurial Skills training 13) Services that provide labor market and employment information about in-demand industry sectors or occupations available in the local area such as career counseling, and career exploration services 14) Activities that help youth prepare for transition to postsecondary
Work Related Training
Instructions: Work readiness is at the core of a successful WIOA program. Describe in detail how you plan to address the following:
10. Indicate how your organization will make On-the-Job Training available to youth participants?
11. Describe how you plan to provide work readiness activities that broaden youths’ exposure to a variety of occupations (with emphasis on high growth occupations)
Incentives
Instructions: Describe in detail how you plan to address the following:
12. Define Program Support that will help youth successfully achieve personal goals and WIOA Performance Measures for Youth.
33 13. Describe incentives that will help youth successfully achieve personal goals and WIOA Performance Measures for Youth.
14. How will your organization promote success stories of participants, both internally and externally?
Additional Services
Instructions: Your organization may decide to provide other useful activities that may not fall directly under the fourteen program elements. Such activities will not be accepted in lieu of providing the fourteen program elements. Describe in detail your response to the following questions:
15. List ALL additional services/activities to be provided by your organization using WIOA YOUTH funds. Provide a detailed description of each.
16. How does your organization plan to educate/train the youth beyond GED/HS diploma in order to move them beyond minimum wage?
17. How does your organization plan to provide services, if allowed, to youth who are still in school?
18. How does your organization plan to deal with participants that may exhibit excessive behavioral issues?
19. In dealing with the especially hard to serve youth participant, how will your organization work to ensure a positive performance outcome for the youth participant in question?
20. How does your organization plan to assess and serve youth who have documented disabilities?
Review and Retention
Instructions: Describe in detail how you plan to address the following:
21. Describe on-going procedures for periodic review and/or measurement of participant progress.
22. Describe retention strategies for youth that will be implemented to increase the likelihood that youth will actively participate in needed activities over time (especially those activities that are remedial/academic in nature), and will successfully achieve personal goals and WIOA Performance Measures for Youth.
Linkages and Coordination
Instructions: Some youth may be found ineligible for WIOA services, yet they still may need additional assistance. Describe in detail how you plan to address the following:
23. Describe how referrals will be made and tracked?
24. Describe how the WIOA youth program will be connected to the One Stop System in the Centralina WDB region and in particular your county or counties.
25. Identify entities with which local linkages exist and provide a brief description of your relationship with each.
34 26. Describe continuous improvement strategies/procedures that will be used to obtain feedback from youth, parents, community partners, employers and other appropriate parties on the effectiveness of the WIOA services received.
27. How does your organization plan to promote participation and involvement with the Centralina Youth Council?
Instructions: Describe in detail how you plan to address the following:
28. Describe how your agency’s business service/job development efforts in the business community will align with Centralina business service efforts.
29. Program Management and Compliance
30. Indicate how internal program management will be accomplished by your organization?
31. Describe local procedures to track and monitor expenditure of funds for out-of-school and in school youth.
32. Provide your organization’s policies and procedures to identify and track the funding streams which pay the costs of services provided to individuals who are participating in youth and adult programs concurrently
33. Describe how you plan to ensure that services are not duplicated (individuals receiving both Youth and Adult services)
BUSINESS SERVICES
A. Program Description
1. Provide a description of the proposed business services along with projected goals/outcomes desired. 2. Describe the target population and geographic area to be served. 3. Describe the organizations past experience and results delivering businesses services along with the outcomes. This should also include experience in coordinating services with other community entities and programs.
B. Business Services Statement of Work
Proposals shall include a Statement of Work narrative detailing all aspects of the proposed project design. The Statement of Work will include all aspects of the program and services outlined in this RFP and other information deemed relevant. The purpose of the Statement of Work is to provide an in-depth description of the design of services, to demonstrate how requirements will be met, and to describe the process for achieving the WIOA Business Services Outcomes. Please address the following components in the statement of work and how they will be carried out:
1. Describe strategies to identify the workforce development needs of businesses. Include services or strategies that can be provided by the NCWorks System to meet business needs.
35 2. Describe strategies to match the hiring needs of businesses with individuals who meet or exceed their minimum qualifications, thus eliminating referrals of unqualified candidates. 3. Describe outreach and collaboration that will result in successful work based learning opportunities for WIOA participants. 4. Describe efforts to coordinate delivery of services to business/employers among partners. Include efforts to expand outreach that may result in increased use of the NCWorks system. 5. Describe efforts/plans that will support sector strategies. 6. Describe any plans for collaboration and innovation not yet included. 7. Describe what relationships, partnerships, and community group organizations are essential to your outreach efforts to reach businesses.
36 ATTACHMENT: D
BUDGET NARRATIVE/COST EFFECTIVENESS - WIOA STAFF YOUTH WORKER SERVICES PROPOSED BUDGETS AND COSTS BREAKOUT
If the proposer is proposing to be reimbursed for Indirect Costs, proposer must submit a copy of the approved indirect cost plan that has been approved by the federal cognizant agency for your organization for indirect costs to be considered for payment.
If any narrative is needed about any of the budget, in addition to the indirect costs or profit line items, please do so and reference line item and program in the narrative.
For-profit proposals must include a narrative of your proposed profit along with the deliverables that must be met before profit will be reimbursed to your organization. The profit may not exceed 10% of the total project costs. Deliverables may be broken down into smaller increments of the total in order to receive a profit payment at predetermined achievement points. If you plan to do this, please provide the details in your narrative.
If the proposer proposes to use a direct cost allocation plan, describe in detail any proposed direct cost allocation plan to be utilized when costs are allocable to more than one program/funding source. Identify common costs to be included in the plan.. Applicants must follow the guidelines established in the 2 CFR 200.
Allowable Costs/Cost Principles - All recipients and sub-recipients must follow the Federal allowable cost principles that apply to their kind of organizations. The DOL regulations at 2 CFR 200 identify the Federal principles for determining allowable costs which each kind of recipient and sub-recipient must follow.
Expenditures of WIOA funds are allowable only for those services/activities permitted by the WIOA guidelines or federal regulations. Allowable program services/activities include career and training services and supportive services.
Cost Reimbursement Contract-This is a contract format that provides for the reimbursement of all allowable costs, which have been identified and approved in the contract budget. It requires the Proposer maintain the documentation necessary to support the cost.
Administrative Cost- That portion of the contract budget, which is associated with the overall management, and administration of the WIOA program services and which is not directly related to the provision of services to customers.
Cost Allocation Plan-A plan that identifies and distributes the cost of services provided by support staff and/or departments or functions. It is the means to substantiate and support how the costs for a program are charged to a particular cost category.
In general, to be an allowable charge to WIOA, a cost must meet the following principles:
• Costs must be necessary and reasonable for the performance of the award. • Costs must be allocable to the grant.
37 • Costs must be authorized and not prohibited under federal, state, or local laws or regulations. • Costs must receive consistent treatment by the sub-recipient. • Costs must be adequately documented. • Costs must conform to federal exclusions and limitations.
Complete the Excel Budget Summary. If no amount is indicated please record $0. Each Excel budget page (total of 5 pages) provides instructions to the right of the excel page.
The Budget Summary must be signed and dated (including title) by the authorizing individual of the organization.
Complete the Budget pages following the Budget Summary entirely. If no amount is indicated please record $0.
If written documentation is necessary concerning any budget line item, please attach to the Budget Summary document.
38 ATTACHMENT: E
PROGRAM YEAR 2015 – REQUEST FOR PROPOSAL CERTIFICATION OF ACCOUNTING SYSTEMS
I certify that ______(name of agency/organization) has an established accounting system with internal controls adequate to safeguard assets, check the accuracy and reliability of the accounting data, promote operating efficiency, and permit compliance with the Centralina WDB requirements. I further certify that the information provided with the balance sheet and CPA’s report is accurate and true.
______Signature Title Date
______Phone Number E-Mail
______Firm/Agency
Provide the name of the depository with whom the proposed program funds will be deposited:
______Name of Depository
______Address of Depository
39 ATTACHMENT: F
PROGRAM AND FINANCIAL MANAGEMENT
Instructions: Please complete the following section. Areas that address compliance issues must identify the appropriate member of the agency’s staff who will be responsible for compliance. Add any comments you find necessary for clarification.
●Equal Employment Opportunity (EEO):
Name of EEO Officer Position Title Phone number
●Internal Program Management and Monitoring Procedures:
Staff Name Email Phone number
●Invoicing and Financial Reporting:
Staff Name Email Phone number
●Requirements for Depository Accounts Holding WIOA Funds:
Name of Institution(s) Is this account interest bearing?
●Property Management Requirements:
Staff Name Email Phone number
40 ASSURANCES AND CERTIFICATION
As an agency requesting WIOA funding, we assure and certify that our agency will comply with the following provisions:
1. That it will exclusively use the statewide/regional brand name for the statewide/Centralina WDB workforce development system in lieu of traditional workforce development language and organizational names in the marketing and delivery of services and programs; 2. That it will consistently identify individual programs and activities in user-friendly terms, rather than bureaucratic lingo; 3. That it will designate appropriate job titles for staff who work with WIOA customers and detailed job descriptions will be available for each job title. These job titles will consistently be used with external customers; 4. That it will maintain customer files according to local area policies and guidance and adhere to data validation expectations; 5. That it will not place customers in WIOA-subsidized work settings which are designed to provide maintenance to the employers’ place of business; 6. That it will fully comply with the requirements of the WIOA; all federal regulations issued pursuant to the Act; the North Carolina Strategic Plan; the Centralina WDB Strategic Plan; Chief Elected Official; and Centralina Workforce Development Area; and the NC Division of Workforce Solutions; 7. That it will administer the program in full compliance with safeguards against fraud and abuse as set forth in the law and regulations; that no portion of its program will in any way discriminate against, deny benefits or employment to, or exclude from participation any person on the grounds of race, color, national origin, religion, age, sex, disability, sexual orientation, or political affiliation, or any other non-relevant factor; 8. That it will house all WIOA service provider staff at the career center of each county to the greatest extent possible for which it receives a contract and will accept all associated workforce roles and responsibilities; 9. That it will operate the program in full compliance with health and safety standards established under state and federal law and that conditions of employment and training will be appropriate and reasonable in light of such factors as the type of work, geographical area, and proficiency of the customers; 10. That ineligible applicants will be referred to other appropriate services, including career services available at the career center; 11. That other resources will be exhausted prior to using WIOA funds; 12. That all customers employed by the program who are not covered under state workers' compensation laws and all customers enrolled in classroom training shall be provided with adequate on-site medical/accident insurance; 13. That all WIOA customers participating in on-the-job training activities or individuals employed in other activities under WIOA be compensated at the same rates, including periodic increases and working conditions, as trainees or employees who are similarly situated in similar occupations by the same employer and who have similar training, experience, and skills and such rates shall be accordance with applicable law. In no event shall the wage be less than the applicable state or local minimum wage law; 14. That no customer will be employed to fill a job opening when any other person is on layoff from same or equivalent job, or when employer terminates the employment of any regular employee or otherwise reduces its workforce with the intention of filling vacancies with WIOA participants.
41 15. That no WIOA funds will be used for contributions on behalf of any customers to retirement systems or plans; to impair existing contracts for services for collective bargaining agreements; to assist, promote, or deter union activities; or to displace any currently employed worker; 16. That reports to the Centralina WDB or its staff will be provided in a timely fashion, as requested; 17. That all customer information will be keyed into the client management information system, NCWorks, in accordance with state and local policy, both in terms of content and timeframe expectations; 18. That eligibility verification will be completed and documented in accordance with federal, state, and local policy; 19. That customer loans will not be made from WIOA funds; 20. That total project costs will not exceed the amount agreed upon during contract negotiations and included in contracts; 21. That it will coordinate training site visits by the Centralina WDB staff and Centralina WDB members on request and will fully cooperate with monitoring reviews and other site visits by any representative of the WIOA; 22. That it will, in carrying out the contract, refrain from activities involving either actual or the appearance of conflict of interest according to NC General Statutes and Centralina WDB’s Conflict of Interest Policy; 23. That it will adhere to the North Carolina records retention policy and all WIOA financial and programmatic records (including customer files) will be maintained by each service provider for a minimum of five years from the date the program year audit is completed. 24. That it will have an annual single audit performed in accordance with current federal regulations and that upon receipt of completed audit, contractor will submit a copy to the Centralina WDB within thirty days (30) unless a longer period is agreed to; 25. That it will comply with Title VI of the Civil Rights Act of 1964 (PL 88-352); 26. That it will comply with the nepotism provisions as they relate to federally funded programs; 27. That it will comply with the Immigration Reform and Control Act of 1986 by completing and maintaining on file an I-9 form for each customer receiving WIOA wages; 28. That it will comply with the Uniform Relocation Assistance and Real Property Acquisition Act of 1970 (PL 91-646) which requires fair and equitable treatment of persons displaced as a result of federally assisted programs; 29. That the organization is not debarred, suspended, proposed for debarment, or declared ineligible from participation in this project; 30. That it does not use federal funds for lobbying purposes. If lobbying has occurred utilizing funds other than federal funds, the contractor agrees to file a disclosure report, if applicable; 31. For grants, contracts, and subcontracts in excess of $100,000, or where the NC Department of Commerce Division of Workforce Solutions has determined that orders under an indefinite quantity agreement in any year will exceed $100,000, or if a facility to be used has been the subject of a conviction under the Clean Air Act (42 USC 1319 (c)) and is listed by the United States Environmental Protection Agency (USEPA) or is not otherwise exempt, the operator assures that (1) no facility to be utilized in the performance of the proposed grant is on the EPA List of Violating Facilities; and (2) prior to award, it will notify the Division of the receipt of any communication from the Director of Federal Activities, USEPA, indicating that a facility to be used for a contract is under consideration to be listed. 32. That no funds will be used to develop or implement education curricula for school systems in the state as referenced in; 33. That no WIOA funding will be used for sectarian activities and that employees paid from WIOA funds will not participate in sectarian religious activities in the execution of their job duties;
42 34. That no WIOA funds will be used to encourage or induce the relocation of a business; 35. That no WIOA funds will be used for customized or skill training and related activities after the relocation of a business until after 120 days; 36. That no WIOA funds will be used for foreign travel; 37. That no WIOA funds will be used to duplicate services available in the area; 38. That customers will not be charged fees for placements or referrals; 39. That no WIOA financial assistance will be provided to any program that involves political activities and the contractor agrees to comply with the provisions of the Hatch Act which limits the political activity of certain state and local government employees and enrollees in federally funded programs; 40. That all WIOA customers and WIOA funded staff are aware of grievance procedures and the Contractor assures and certifies that the Contractor has in place an established grievance procedure to be utilized for grievances or complaints about its program and activities from participants/enrollees, sub-grantees, and subcontractors and other interested parties. 41. The Contractor will comply with NC-General Statutes, which prohibits public officials and employees from having a personal interest in any contract to which s/he is also a party in an official capacity. 42. The Contractor assures and certifies that it, and all of its subcontractors, will comply with applicable provisions of the following laws as they relate to employment and training procedures:
The Drug Free Workplace Act The Davis-Bacon Act The Immigration Reform Act Child Labor Laws The American’s with Disabilities The Fair Labor Standards Act Act
This is to certify that all specifications contained in the Centralina WDB’s RFP have been read, understood, and addressed in the proposal; that the required format has been followed; that all of the information contained in this proposal is true and correct; that the Contractor organization will comply with all of the above assurances; and that this proposal has been duly authorized by the governing body of the Contractor organization.
______Signature of Authorized Representative Date
______Name Title
43 ATTACHMENT: G
STATEMENT OF COMPLIANCE I hereby certify:
1. That the proposer is duly approved to submit this application requesting funding under the WIOA. 2. That the proposer does hereby agree to execute all work related to this application in accordance with the WIOA grant, the NC Division of Workforce Solution policies, Centralina WDB policies and guidelines, and other administrative requirements issued by the Governor of North Carolina. The proposer shall notify the Centralina WDB within 30 calendar days after issuance of any amended directives if it cannot so comply with the amendments; and 3. That the proposer will ensure special efforts to prevent fraud and other program abuses, such as but not limited to, deceitful practices, intentional misconduct, willful misrepresentation and improper conduct which may or may not be fraudulent in nature; and 4. That the contents of the application are truthful and accurate and the above named vendor agrees to comply with the policies stated in this application; and 5. That this application represents a firm request subject only to mutually agreeable negotiations; and 6. That the proposer is in agreement that the Centralina WDB reserves the right to accept or reject any proposal for funding; and 7. That the proposer has not been debarred or suspended from receiving federal grants, contracts, or assistance; and that if awarded a contract for the service, assures that no sub- contracts, grants or assistance will be made, or permitted to any debarred or suspended organization as provided under Executive Order 12549. 8. That the above-named proposer waives any right to claims against the members and staff of the Centralina Workforce Development Board, Inc., Centralina Workforce Development Consortium in their individual capacities.
______Organization (proposer)
______Authorized Representative Signature Notary Name/Date
______Affix Notary Seal Typed Name/Title
44 ATTACHMENT: H
CERTIFICATE 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).
(BEFORE COMPLETING THE CERTIFICATION, READ THE ATTACHED INSTRUCTIONS WHICH ARE AN INTEGRAL PART OF THE CERTIFICATION)
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 or 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.
______Contractor Organization:
______Name and Title of Authorized Representative
______Signature Date
45 INSTRUCTIONS FOR CERTIFICATION-LOWER TIER TRANSACTIONS
1. By signing and submitting this proposal, the prospective recipient of Federal assistance funds is providing the certification as set out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective recipient of Federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the Department of Labor (DOL) may pursue available remedies, including suspension and/or debarment.
3. The prospective recipient of Federal assistance funds shall provide immediate written notice to the person to whom this proposal is submitted if at any time the prospective recipient of Federal assistance funds learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstance.
4. The terms “covered transaction,” “debarred,” “suspended,” “ineligible,” “lower tier covered transaction,” “participant,” “person,” “primary covered transaction,” “principal,” “proposal,” and “voluntarily excluded,” as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations.
5. The prospective recipient of Federal assistance funds agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the DOL.
6. The prospective recipient of Federal assistance funds further agrees by submitting this proposal that it will include the clause titled “Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier covered Transactions,” without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to check the List of parties Excluded from Procurement or Non- procurement Programs.
8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render, in good faith, the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the DOL may pursue available remedies, including suspension and/or debarment.
46 ATTACHMENT: I
DRUG-FREE WORKPLACE CERTIFICATION
Organization: ______
The Organization hereby certifies compliance with Government Code Section 8355 in matters relating to providing a drug-free workplace. The above named organization will:
1. Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance is prohibited in the organization’s workplace and specifying actions that will be taken against employees for violations of the.
2. Establish a Drug-Free Awareness Program as required by Government Code Section 8355(b) to inform employees about all of the following:
a. The dangers of drug abuse in the workplace, b. The person's or organization's policy of maintaining a drug-free workplace, c. Any available counseling, rehabilitation, and employee assistance programs, and d. Penalties that may be imposed upon employees for drug abuse violations.
3. Provide as required by Government Code Section 8355(c) that every employee who works on the proposed contract or grant:
a. Will receive a copy of the organization's drug-free policy statement, and b. Will agree to abide by the terms of the organization’s statement, as a condition of employment on the contract.
Certification
This is to certify that all specifications contained in the Drug-Free Workplace certification have been read and understood and that the organization will comply with all of the above and that this certification has been duly authorized by the governing body of the Contractor organization.
______Signature of Authorized Representative Date
______Name Title
47 ATTACHMENT: J
JOB DESCRIPTIONS
Using this format, complete a separate Job Description for each Position/Job Classification that will provide WIOA services under the terms of this agreement, whether funded in full, in part, or not at all, with WIOA funds from this program. NOTE: For PY 2015, staff working directly with youth and yong adults shall be considered Career Development Specialists. Please identify the following:
1. Job Title and Program
2. Describe actual job duties or tasks to be performed in relation to the above named WIOA program and job title (or attach job description).
3. Minimum education, experience, and qualifications of the person to perform the above job duties.
4. What is the anticipated amount of time this staff person will provide WIOA-funded services: a. ______hours per day b. ______hours per week c. ______office location(s)
5. Name of Immediate Supervisor: (If position needs to be filled, indicate this.)
6. Will the staff person(s) assigned to this position work in other sections/departments with the agency? If so, please describe.
48 APPENDIX
A – Fourteen Program Elements Definition/Description of Services to be Provided
B - Request for Proposals – Evaluation Review Criteria
C - Centralina Workforce Development Board Procurement Policy
49 APPENDIX A
Fourteen (14) Youth Program Elements: Definition/Description of Services to Be Provided
Source: www.doleta.gov/wioa
WIOA legislation mandates that fourteen (14) specific program elements must be included in the WIOA Youth program design (these can be available by direct service provision, through partnerships with other organizations, or by referral to other organizations as appropriate).
The fourteen (14) youth program elements are defined and listed below:
1. ADULT MENTORING FOR YOUTH - Pairing a youth with a caring adult in a one-to-one relationship, challenging the youth to do well, helping the youth make the connection between school and work, and providing first-hand exposure to the world of work. Typically, mentors become advocates for the youth, working in consultation with the youth’s teacher(s), supervisor, counselor/caseworker and parent(s), as appropriate. Adult mentoring, if provided, is for duration of at least twelve months and may occur both during and after program participation.
2. ALTERNATIVE SECONDARY SCHOOL OFFERINGS - Instruction leading to a high school diploma. Instruction may be provided outside of the traditional school setting, but programs must meet applicable state and local educational standards. Offerings may also provide instruction leading to the receipt of certification that an individual has completed a level of education attainment equivalent to completion of high school or GED.
3. COMPREHENSIVE GUIDANCE AND COUNSELING - Provided to assist youth in achieving success in school and at the workplace. Assistance may include drug and alcohol abuse counseling, as well as referrals to counseling. Services may be provided on an individual or group basis, using a variety of processes and techniques. Services may require counseling beyond the scope of most WIA staff training and should be provided through referral to appropriate health agencies.
4. FOLLOW-UP SERVICES - Services that continue for a period of not less than twelve months after the completion of participation and may include:
Leadership development activities Supportive Services Regular contact with a youth participant’s employer, including assist in addressing work-related problems that arise Assistance in securing better paying jobs, career development and further education Work-related peer support groups Adult mentoring
50 Tracking the progress of youth in employment after training.
All youth must receive follow-up services for duration of twelve (12) months following exit from WIOA.
Follow-up services must be provided to WIOA youth for a minimum of 12 months following entry into unsubsidized employment, post-secondary education or exit from program services. During this period, the customer and/or employer will be contacted periodically to assist in employment retention and to make certain that the customer’s employment situation is going well and that the participant is still enrolled in post secondary education. During follow-up, WIOA staff may assist the participant to work toward future goals such as career advancement and/or other job-related issues.
All participants will be contacted and asked to participate in surveys conducted by the Division of Workforce Solutions on the services received at the Workforce Center.
5. LEADERSHIP DEVELOPMENT OPPORTUNITIES - Community services and peer-centered activities encouraging responsibility, employability, and other positive social behaviors during the non-school hours, as appropriate, and may include:
Exposure to post-secondary educational opportunities Community and service learning projects Peer-centered activities, including peer mentoring and tutoring Organizational and teamwork training, including team leadership training Training in decision-making, including determining priorities Citizenship training, including life skills training such as parenting, work behavior training and budgeting of resources.
Positive Social Behaviors are outcomes of leadership opportunities, often referred to as soft skills, which are incorporated by many local programs as part of their menu of services. Positive social behaviors focus on areas that may include the following: Positive attitudinal development Self-esteem building Openness to working with individuals from diverse racial and ethnic backgrounds Maintaining healthy lifestyles, including being alcohol and drug free Maintaining positive relationships with responsible adults and peers, and contributing to the well being of one’s community, including voting Maintaining a commitment to learning and academic success Avoiding delinquency Postponed and responsible parenting Positive job attitudes and work skills
6. OCCUPATIONAL SKILLS TRAINING - Instruction tie to an occupational code, usually in a classroom setting, designed to provide individuals with technical skills and/or information required to perform a specific job or group of jobs.
ON-THE-JOB TRAINING
Training by an employer that is provided to a paid participant while engaged in productive work in a job that provides knowledge or skills essential to the full and adequate performance of the job. The two unique features of OJT are: (1) The individual begins training as an employee of the employer and is subject to the same conditions of employment as other similarly employed individuals; and (2) The individual receives training in a production setting, under appropriate
51 supervision, thus acquiring occupational skills and knowledge in an "on-the-job" training environment.
OJT is for individuals whose skill levels are inadequate to gain employment without special consideration from the employer. OJT is directed at employers who are not able to fulfill their skilled labor force needs with qualified, experienced workers. Employers may use OJT in these instances by hiring and then training eligible individuals. Reimbursement is provided to those employers to pay for their extraordinary costs of training because these costs exceed the costs involved in training persons normally hired in the occupation involved.
Contractors may utilize OJT Slots for Older Youth (19-24). 18 year olds may be considered if the youth possess a high diploma or GED.
7. PAID AND UNPAID WORK EXPERIENCE - Planned, structured learning experiences that take place in a workplace for a limited period of time and may be paid or unpaid. Work experiences may take place in the private, for-profit sector; the non-profit sector; or the public sector. A minimum amount of 20 percent (20%) of WIOA Youth funds shall be used for paid work experience (includes OJT, work experience, limited internships, and apprenticeships.
Work experiences are appropriate and desirable activities for many youth throughout the year, as determined by the youth’s Individual Service Strategy (ISS). Work experiences should help youth acquire the personal attributes, knowledge, and skills needed to obtain a job and advance in employment. The purpose is to provide a participant with the opportunities for career exploration and skill development; it is not to benefit the employer, although the employer may, in fact, benefit from activities performed by the youth. Youth funds may be used to pay wages and related benefits for work experiences in the public, private, for-profit or non-profit sectors when an employee/ employer relationship has been established (as determined under the Fair Labor Standards Act), and where the objective assessment and ISS indicate that a work experience element is appropriate.
Work experiences may be subsidized or unsubsidized and may include the following:
Instruction in employability skills or generic workplace skills Exposure to various aspects of an industry Progressively more complex tasks Internships and job shadowing The integration of basic academic skills into work activities Supported work, work adjustment and other transition activities Entrepreneurship Service learning Paid and unpaid community service Other activities designed to achieve the goals of the work experiences element.
8. SUMMER EMPLOYMENT OPPORTUNITIES - Provision of direct linkages to academic and occupational learning and may provide other elements and strategies, as appropriate, to serve the needs and goals of a participant. Summer Employment Opportunities create an employee/employer relationship, requiring the payment of a wage. The wage rate will be no less than the current federal minimum hourly wage, or the prevailing wage rate, whichever is higher. Summer Employment Opportunities subsidized with WIOA funds may take place in the private for-profit sector; the private non-profit; or the public sector.
52 Summer Employment Opportunities are to be liked with academic and occupational learning. The approach often referred to as “work-based learning” or “contextual learning”. Learning may occur totally at the employment site or may involve a classroom component as a supplement to the work assignment.
Academic learning is defined as the enhancement of the traditional education skills of reading, mathematics, and writing. Occupational learning involves those skills that are necessary to perform specific tasks. Pre-employment/job readiness activities do not meet the learning requirements of this WIOA element.
Youth who participate in summer employment must be provided with the twelve (12) month follow- up services as required in 664.450.
In North Carolina, Summer Employment Opportunities linked to academic and occupational learning make available subsidized or unsubsidized jobs for youth during the months of May – September. Summer Employment Opportunities create an employer/employee relationship, requiring the payment of a wage. The wage rate will be no less than the current federal minimum hourly wage or the prevailing wage rate, whichever is higher. Summer Employment Opportunities subsidized with WIO funds may take place in the private for-profit sector; the private non-profit sector; or the public sector. To the extent possible, the experience provided by the assigned site should be consistent with the youth’s career interests/goal as identified in the youth’s Individualized Service Strategy (ISS).
In developing Summer Employment Opportunities for youth in the private for-profit sector, Youth program operators are reminded that certain vulnerabilities are inherent in this activity. Some examples include:
the occurrence or perception of favoritism shown to one employer over another; placing low-income youth in subsidized jobs that they can obtain on their own; displacing low-income youth from jobs that they normally secure in the summer.
To avoid these vulnerabilities, the selection of private employers to participate in this activity shall be based on an objective analysis of the relative “value-added” contributions to the youth’s development the employer is willing to make. Examples of such contributions might include:
Structured development/refinement of work maturity skills; Integration of work and learning; Provision of educational services; Exposure to skill training; Mentoring; Vocational exploration/career guidance; Commitment to hire the youth in a part-time or full-time job upon successful completion of the Summer Employment Opportunity, substantial progress in or graduation from high school, or both. This job should be compatible with the youth’s occupational interest.
Youth program operators must maintain documentation to demonstrate why certain private sector employers (worksites) were selected or not selected to provide subsidized Summer Employment Opportunities for youth.
53 Worksite Selection
All worksite supervisors will be provided with an orientation, prior to participants placed at a worksite, to explai n their role in providing a positive and meaningful work experience to participants. The Centralina WDB Worksi te Agreement and the Youth/Worksite Evaluation document must be used for all worksites. Selections of wo rksites will be based upon the following criteria:
1) Compliance with Child Labor Laws 2) Educational enrichment opportunities for the participants 3) Worksite safety including a) occupational hazards b) adequacy of skilled supervision c) the provision of safe tools and equipment to perform the required tasks d) the agency’s policies for safeguarding employees, providing first aid and/or their access to emergency medical services. 4) Meaningful Work Experience in the terms of: a) job skills the participant will be taught; b) consistency with the participant’s interests; and c) the importance of the work to the community. 5) Past performance as a youth worksite in terms of:
a) the quality of supervision;
b) participant satisfaction
c) cooperation with the contractor’s staff.
9. SUPPORTIVE SERVICES - Services such as transportation, childcare, dependent care, housing and needs-related (Centralina WDB does not provide needs-related payments) payments that are necessary to enable an individual to participate in WIOA. For youth, those services may also include:
Linkages to community services Assistance with transportation Assistance with childcare and dependent car Assistance with housing costs Referrals to medical services Assistance with uniforms or other appropriate work attire and work related tool costs including such items as eyeglasses and protective gear
WIOA funds may be used to provide WIOA-enrolled youth with needed supportive services if the following conditions apply: a.) the WIOA customer is unable to obtain supportive services through other programs, and, b.) supportive services are necessary to enable the individual to participate in WIOA services, training or work activities. WIOA funds may only be spent on supportive services for WIOA customers who are enrolled in one or more allowable/ appropriate WIOA activity(s). Other resources that provide supportive services in the county must be utilized first before expending WIOA funds for the supportive service.
Allowable types of WIOA supportive services include the following: transportation assistance; child; emergency housing, utilities, or car repairs; records required for employment such as a background check; appropriate work attire; safety equipment; or work-related tools for OJT or Work Experience; special services/supplies for persons with a disability; and uniforms and other required items for specialized or health occupations training.
54 WIOA contractors are responsible for obtaining written verification of the actual costs for any of the above expenses prior to authorizing WIOA funds for supportive services. All such payments must be authorized in writing by staff and must be issued as payment directly to a vendor or as reimbursement to a WIOA customer who has valid receipts for purchases or payments. Written authorization by staff must precede payment or reimbursement. Payment or reimbursement of costs for penalties, court costs, and other related criminal fees are not allowable supportive service costs.
Staff is responsible for ensuring that transportation and childcare supportive services are paid only for actual days in school, at work, and/or days of participation in a WIOA activity. Licensed daycare providers that have a policy requiring continued payment of the regular weekly or daily daycare charge during school breaks/holidays is an allowable exception. The use of a timesheet or other attendance record is required to document attendance and authorize supportive service payments.
Funds for supportive services are limited and may only be provided as needed.
10. TUTORING, STUDY SKILLS TRAINING - Instruction leading to secondary school completion, including dropout prevention strategies. Additional, special or remedial assistance provided to a participant, often on an individual basis.
11. Financial Literacy Education.
12. Entrepreneurial Skills Training..
13. Services that provide labor market and employment information about in-demand industry sectors or occupations available in the local area, such as career awareness, career counseling, and career exploration services
14. Activities that help youth prepare for and transition to postsecondary education and training
55 APPENDIX B
EVALUATION CRITERIA AND SELECTION OF SERVICE PROVIDERS (For Providing Services to Youth and Young Adults for Program Year 2015 - July 1, 2015 to June 30, 2016)
Proposers General Information
Name of Proposer:
Date/Time Proposal(s) Received: County(s) To Be Served: ○Anson ○Cabarrus Received Late○ ○Iredell ○Lincoln ○Rowan ○Stanly ○Union
Amount of Allocation Requested: Yes ○ No○ Competing Bid: Yes ○ No ○ Allocation Amount: $ If No Amounted Requested $
Proposing Total New Youth Enrolled: Current Service Provider: Yes ○ No ○ # of Youth
Required Documents Checklist 2015 WIOA Response Package Cover Sheet Staffing Positions Descriptions Yes ○ No○ Yes ○ No○ Innovative Youth Services Plan of Work Budget Summary Yes ○ No○ Yes ○ No○ Assurances and Certification Form Budget Back Up Pages Yes ○ No○ Yes ○ No○ Statement of Compliance Form Financial Statement and Copy of Last Audit Yes ○ No○ Yes ○ No○ Certificate Regarding Debarment, Suspension, Federal ID Number Ineligibility and Voluntary Exclusion Lower Tier Covered Yes ○ No○ Transactions Yes ○ No○ Copy of Bond Coverage (or explanation of planned Copy of Agency’s Grievance/Complaint Procedure coverage if an award is made) Yes ○ No○ Yes ○ No○ Copy of current Organizational Chart Copy of Charter and Bylaws of Organization Yes ○ No○ Yes ○ No○ Copy of Cost Allocation Plan (if applicable, provide a copy of the agency indirect cost plan Yes ○ No○
Budget (soundness and/or reasonableness of budget in respect to): Total Amount Requested: $ Cost per participant: $ Staff Salaries/Fringe: $ Staff Travel: $ Core/Intensive Services: $ Total funds for Work Experience/OJT (min. of 20% of
56 overall WIOA Youth/Young Adult budget): $ Line item budget correctly calculated, necessary Salary schedules provided for all staff providing allocable and detail shown Yes ○ No○ WIOA services Yes ○ No○ Determination of cost/price reasonableness Yes ○ No○ The criteria, which will be used to evaluate proposals, are listed below along with their point values. A total of 100 points is possible. An application must achieve a minimum score of 75 points in order to be considered for funding. The criteria can also be used by the proposer to ensure all items in the RFP are addressed.
Category Criteria SCORE
Local Goals and The proposal clearly describes the relationship of the proposed services and activities to Challenges local goals and challenges.
(10 points possible) The proposal describes how proposed services and activities will lead to the attainment of the Centralina WDB goals.
The proposal describes how proposed services and activities incorporate the local youth development framework and philosophy.
The proposal describes what elements will be provided
Program The proposal describes principles and practices used for each of elements provided. Elements and Service Delivery The proposal describes the relationship and commitments of other agencies providing remaining elements and provides evidence of established relationship and commitments (15 points possible) of other cooperating agencies.
The proposal describes how services will be coordinated by cooperating agencies for program participants.
The proposal provides evidence of program success consisting of past program performance and integration of principles and practices in program design of program success.
The proposal describes target population and number of youth to be served.
The proposal describes program recruiting and retention methods.
Recruiting methods match characteristics of target population.
The proposal describes where and how services will be delivered.
Proposed location of services will meet the needs of the target population.
Proposed methods of service delivery provide youth with high expectations, accountability and structure.
Proposed methods of service delivery address youth needs holistically.
Proposed methods of service delivery provide youth with opportunities to establish relationships with mentoring adults.
The proposal outlines how proposed services will be coordinated with NCWorks System
57 Program Outcomes The proposal describes the planned outcomes for each program element provided. and Outputs Planned program outcomes are measurable and realistic for the target population. (10 points possible) Planned program outcomes are realistic for the time period in which services will be provided.
Planned program outcomes directly relate to proposed services.
The proposal explains how program outcomes will be measured
The proposal describes program outputs (evidence that services were provided) for each program element provided.
Program outputs directly relate to services provided.
Program details how career choices are linked to applicable work experience and how they are tied to in-demand industry sectors for the region
The proposal describes the assessments and assessment process to be used at intake.
Assessments The intake assessment and process identifies youth strengths as well as needs.
(10 points possible) The intake assessment and process is consistent with federal, state, and local eligibility determination policy.
The proposal describes the assessments to be used to measure youth success and justification for assessments chosen.
Proposed assessments provide meaningful data to youth, case managers, educational agencies and employers.
Proposed assessments crosswalk to the U. S. Department of Education's Educational Functioning Levels when measuring literacy and numeracy.
Proposed assessments are appropriate for the purpose for which they are being used.
Category Criteria SCORE
WIOA Performance The proposal clearly describes the relationship between WIOA performance measures Measures Addressed addressed and proposed services.
(10 points possible) The proposal demonstrates provider understanding of the relationship between
WIOA performance measures, youth development, and the 14 program elements.
The proposal addresses multiple WIOA performance measures.
The proposal describes follow-up activities to be conducted or describes how relationship with youth will be transitioned to follow-up provider 12 Month Follow Up Activities The proposal describes process by which a customized follow-up plan will be created for each program participant. (10 points possible) The proposal describes creative, innovative, and successful methods to ensure communication with program participants after exit.
The proposal demonstrates the relationship between proposed follow-up activities and
58 post-exit WIOA performance measures
Program The proposal describes the organizational capacity and staff qualifications, skills, Management knowledge and experience to successfully deliver proposed services and activities.
(15 points possible) The proposal describes how reporting requirements will be met.
The proposal describes how program success will be monitored by the proposer
Budget Narrative The proposal includes a realistic budget for services provided.
(20 points possible) All proposed expenditures are allowable costs.
The budget narrative aligns with proposed activities and reflects all major expenditures for successful program delivery.
The proposal includes a realistic timeline for service delivery and program management.
The timeline for service delivery and program management accurately reflects proposed activities.
SELECTION OF SERVICE PROVIDERS
The primary consideration in selecting agencies or organizations to deliver services will be the effectiveness of the organization or organization in delivering comparable or related services based on demonstrated performance, in terms of the likelihood of meeting performance goals, cost, quality of training, and characteristics of participants. Determinations will take into consideration such matters as whether the organization has:
1. Adequate financial resources or the ability to attain them;
2. The ability to meet the program design specifications at a reasonable cost, as well as the ability to meet performance goals;
3. A satisfactory record of past performance (in employment and training related activities), including demonstrated quality of training, the ability to provide or arrange for appropriate supportive services, retention in employment at follow-up and earning rates of participants;
4. The ability to provide services that can lead to long-term unsubsidized employment for participants with identified deficiencies;
5. A satisfactory record of integrity, business ethics and fiscal accountability;
6. The necessary organization, experience, accounting and operational controls;
7. The technical skills, sufficient staff and time to perform the work; and
8. An adequate plan to provide services and all related aspects of providing services as described in the proposal.
59
APPENDIX C
PROCUREMENT POLICY
Background
The Centralina Workforce Development Board, Inc. (WDB) is under the authority of the Centralina Workforce Development Consortium (Consortium). The Consortium serves as the local grant sub-recipient for Workforce Innovation and Opportunity Act (WIOA) and National Emergency Grant (NEG) funds for Anson, Cabarrus, Iredell, Lincoln, Rowan, Stanly, and Union counties (State Planning Region “F”). As the Grant Recipient for the funding under the Act, the Consortium and the WDB will be governed by the procurement policy as developed in accordance with Federal, State and local policies and approved for the Centralina Council of Governments (CCOG). The CCOG is the administrative/fiscal agent for this WDB and in this capacity administers and oversees all phases of the WDB's operations. The WDB has the responsibility to provide policy guidelines for the workforce region.
I. Ethical Procurement Practices/Code of Conduct/Conflict of Interest
It is a breach of ethical standards for an employee to participate directly or indirectly in a procurement when:
The employee or immediate member of his/her family has financial interest in the procurement;
A business organization in which employee or any member of immediate family has a financial interest pertaining to the procurement; or
Any other person, business, or organization with whom employee or any immediate family member is negotiating or has arrangement concerning prospective employment is involved in the procurement.
Where employee or immediate family member holds financial interest in blind trust, there will be no conflict of interest, provided that the blind trust has been disclosed to the organization governing procurement ethics.
Whenever the employee discovers, or becomes aware of such an actual or potential conflict, he/she should promptly withdraw from the procurement, or seek guidance on participation from the group that governs procurement ethics for the agency.
DISCLOSURE
Any employee who has or obtains any benefit from any contract with a business in which he/she has financial interest, must report this to the appropriate official or group, except when that interest has been placed in a disclosed blind trust.
GRATUITIES AND KICKBACKS
It is a breach of ethical standards for anyone to offer, give or agree to give any employee or former employee, or for an employee or former employee to accept from another person, a gratuity or an offer of employment in connection with any aspect of procurement.
It is a breach of ethical standards for any payment, gratuity, or offer of employment to be made by or on behalf of a subcontractor under a contract to the prime contractor or higher tier subcontractor, or any person associated with these, as an inducement for the award of a subcontract.
PROHIBITION AGAINST CONTINGENT FEES
It shall be a breach of ethical standards for anyone to be retained, or to retain anyone to solicit or secure a contract for a commission, brokerage or contingent fee, or the promise of such payments. This prohibition 60 does not apply to the hiring of bona fide employees of an organization, or to retaining a bona fide commercial selling organization.
RESTRICTIONS ON EMPLOYMENT OF PRESENT OR FORMER EMPLOYEES
There are also restrictions on the contemporaneous employment of anyone involved in the procurement process by the contracting agency and any organization or individual contracting with the agency.
NOTE: The restrictions on employment are often complex. They should be discussed with the agency responsible for oversight of procurement ethics.
USE OF CONFIDENTIAL INFORMATION
It is a breach of ethical standards for any employee or former employee to use confidential information for actual or anticipated personal gain, or for the actual or anticipated personal gain of any other person.
WORKFORCE DEVELOPMENT BOARD CONFLICT OF INTEREST
In compliance with Section 200.318 (c)(1) of the OMB 2 CFR 200 Regulations, all members of the Centralina Workforce Development Board and its designated committees (including the Youth Council) will abide by the following regulations and abstain from voting on the selection of service providers if any of the conditions apply:
No WDB member (whether compensated or not) shall engage in any activity, including participation in the selection, award or administration of a sub-grant or contract supported by WIOA funds if a conflict of interest, real or apparent would be involved. Such a conflict would arise when:
(i) The individual, (ii) any member of the individual’s immediate family, (iii) the individual’s partner, or (iv) an organization which employs, or is about to employ any of the above, has a financial interest in the firm or organization selected for the award.
No WDB member, member of his/her immediate family, officers, employees or agents of the WDB member’s agency or business, shall neither solicit nor accept gratuities, favors, or anything of value from contractors, potential contractors, or parties to sub-agreements.
A WDB member shall not cast a vote on, or participate in, any decision making capacity on the provision of services by such member (or any organization which that member directly represents), nor on any matter which would provide any direct financial benefit to that member.
II. Procurement Authority
The Centralina WDB has overall authority for procuring service under all funds let for bid by the local grant sub-recipient. The WDB may at its discretion, delegate certain functions within the procurement process.
In the Centralina region, three entities are involved in the procurement process: the Centralina Workforce Development Consortium, the Centralina Workforce Development Board, and the Centralina Council of Governments. Their individual responsibilities are as follows:
Centralina Workforce Development Consortium Responsibilities
A. Concurrence of the Local Area Plan as required by the North Carolina Department of Commerce- Division of Workforce Solutions. B. Handling procurement appeals/protests/disputes/claims* 61 C. Signing of contracts, contract modifications, and other awards (Consortium Chair’s signature is required)
D. Oversight of all WDB decisions.
E. All responsibilities listed below for WDB to extent Consortium wishes to make decisions.
Centralina Workforce Development Board Responsibilities
A. Development of the Local Area Plan.
B. Approval and oversight of the procurement process.
C. Approval of program activities and funding levels.
D. Approval of contract types/methods.
E. Approval of contractors, service providers, etc.
F. Approval for terminating contracts and other awards.
G. Approval of contracts, contract modifications, and other awards.
H. Approval of program and proposal evaluation criteria.
I. Handling procurement appeals or protests*
* NOTE: The Centralina WDB and Consortium have joint responsibility for handling procurement appeals, protests, or claims.
Centralina Council of Governments/WDB Staff Responsibilities
A. Developing/ implementing the procurement process which includes (but is not limited to):
- Reviewing and evaluating responses to Request for Proposals (RFPs) in concert with the WDB as directed by the WDB and its committees.
- Recommending potential contractors/service providers based on past performance, evaluation criteria and merits of bid proposal
- Contract negotiations – as directed by the WDB.
- Documenting the technical proposal review process.
C. Developing program activities and funding levels.
D. Developing and issuing RFPs.
E. Recommending termination of contracts and other awards.
E. Contract administration and monitoring.
F. Contract closeouts.
G. Development of program and proposal evaluation criteria.
62 III. Procurement Planning and Standards
A. Planning - Employment and training needs in the Centralina WDB shall be identified through strategic planning and will be contained in the Local Area Plan. How these needs will be met shall also be contained in the Local Area Plan and identified within the various types of partners, programs and activities planned. Provisions shall be made to avoid the purchase of, or contracting for, unnecessary or duplicative services. Funds provided herein shall only be used for activities that are in addition to those which would otherwise be available in the area in the absence of such funds. The coordination, linkages and partners section of the Local Area Plan will identify methods to help ensure this provision. The WDB Director shall be responsible for overseeing this provision. The WDB Director shall be responsible for establishing sufficient time for all phases of the procurement process in accordance with statutory and regulatory requirements to ensure program continuity and fair treatment of potential service providers.
The WDB Director shall maintain sufficient records to detail the significant history of procurement (i.e., rationale for method of procurement, selection of contract type, contractor selection or rejection and the basis for contract price). Such records shall consist of detailed WDB minutes, detailed committee reports/ minutes, correspondence, RFP review and rating sheets, and negotiation records. B. Standards - All procurements will be conducted in compliance with all applicable State and local laws and regulations.
All procurement transactions shall be conducted in a manner providing full and open competition. Such transactions shall not, in competitive procurements, contain features that unduly restrict competition. No unreasonable qualifications or requirements will be stipulated that will qualify or disqualify a potential service provider. No administratively imposed in-state or local geographical preferences shall be imposed in the evaluation of bids or proposals, except in those cases where applicable Federal Statutes expressly mandate or encourage geographic preference.
All necessary affirmative action steps shall be taken to ensure that minority firms, women's business enterprises, community-based organizations, and labor surplus area firms are used when possible. The RFP is a request for potential operators to submit a proposal to operate a specific program that has been planned by the WDB. More specifically, it is a package of program specifications with guidelines or directions for responding to these specifications. RFPs shall be solicited when procuring through the competitive or noncompetitive method. Any responsible person or agency possessing the ability to perform successfully under the terms and conditions of a proposed procurement may respond to an RFP. Amendments to solicitations will be accepted if submitted within the time frames of the original solicitation requirement.
Procurements shall not permit excess profit for private for-profit entities.
Unsolicited proposals for workforce services may be accepted throughout the year. An unsolicited proposal is one for which no request for proposals are made, but the proposal may contain a unique set of services that are needed in the local workforce area. The proposal may be submitted directly to the WDB. The WDB will then determine: (1) if the purpose of the unsolicited proposal is appropriate, and (2) if so, the appropriate classification for inclusion into the workforce development plan as a competitive or noncompetitive proposal. The availability of funding resources will also be considered.
IV. Procurement Methods
A. Procurement by Competitive Proposals - Competitive proposals shall be the primary method used in the Centralina WDB. Requests for proposals (RFPs) shall be publicized and identify all evaluation factors and their relative importance. Any response to publicized requests for proposals shall be honored to the maximum extent practical. The WDB Director shall develop a method for conducting technical evaluations of the proposals received and for selecting contractors. The Centralina WDB staff will review all proposals that meet the submission requirements and may submit summary reports of
63 all proposals received to the Workforce Development Board as directed by the WDB. The WDB may review summary reports of all proposals received and select the agency or the service provider that it deems best able to operate the program efficiently and effectively, with price and other factors considered. After evaluation and recommendation of the RFPs by the Centralina WDB staff, the Workforce Development Board will make the final selection of service providers. The Centralina Workforce Development Board will have final authority for selection of service providers.
Final selections for funding will primarily be based on, yet not limited to, effectiveness, demonstrated performance, fiscal accountability, cost/price analysis, staffing, potential for meeting performance standards/goals, program operation and coordination, quality of training especially in addressing competency deficiencies of clients, participant characteristics, past performance of the bidder, non- duplication of services, and funding.
A negotiation/corrective action process will be conducted for each award.
The WDB will renew an annual contract for an additional year without benefit of competitive procurement contingent upon funding from the United States Department of Labor (USDOL) and the North Carolina Department of Commerce - Division of Workforce Solutions (DWS). The following conditions shall apply for renewal of an annual contract:
1) For the second year of the two-year WIOA Plan in which the Workforce Development Board (WDB) submits the WIOA Plan Modification, the WDB may procure providers of WIOA adult, dislocated worker, youth, and other services through renewal of the annual contract.
2) The solicitation is based on the presumption that the program mix and availability of funds for the second 12-month period will be equal to or less than the program mix fund and fund availability for the first twelve (12) months. The budget will reflect this twelve-month period only.
3) The Local Area (LA) upon receipt of funds for the second twelve (12) month period from the United States Department of Labor and the North Carolina Department of Commerce - Division of Workforce Solutions shall notify contractors in writing of the availability of funds and the planning of WIOA programs. Included in this notification will be a requirement that the contractor notify the LA by a specified date determined by the LA of its decision to enter into a twelve (12) month continuation.
Renewal of an annual contract shall not preclude the contract negotiation requirement or the cost or price analysis process.
The WDB may extend the term of this contract by written notice to the contractor within thirty (30) days; provided that the WDB shall give the contractor a preliminary written notice of its intent to extend at least sixty (60) days before the contract expires. The preliminary notice does not commit the Centralina Workforce Development Board to an extension.
If the WDB exercises this option, the extended contract shall be considered to include this option provision.
The total duration of this contract, including the exercise of any options under this clause shall not exceed two years (base year plus one year).
B. Procurement by Noncompetitive Proposals - Procurement through noncompetitive negotiation (solicitation of a proposal from only one source, or after solicitation of a number of sources, competition is determined inadequate) shall be used only when the award of a contract is not feasible under small purchase procedures, sealed bids or competitive proposals and one of the following circumstances applies:
- The service is available only from a single source.
64 - The public exigency or emergency for the requirement will not permit a delay resulting from competitive solicitation
- The awarding agency authorizes noncompetitive proposals
- After solicitation of a number of sources, including the current bidders’ list, competition is determined inadequate.
The Centralina WDB staff will conduct a cost analysis and negotiation/corrective action process. The termination or suspension of a current contractor shall be considered a public urgency or emergency for the requirement that will not permit a delay resulting from competitive solicitation; however, termination of an existing contract may not be used to circumvent competitive solicitation. Final approval will be made by the WDB. The WDB Director is responsible for fully documenting this method of procurement. Special attention shall be given to code of standards of conduct, conflict of interest, and safeguarding values normally achieved through competition.
C. Intention to Bid Option. The WDB may use this option when there is a high level of uncertainty regarding the number of proposals which will be received for a workforce service or activity and whether there will be a sufficient number of bids to justify the development of a solicitation. This competitive method maintains the integrity of a competitive procurement process by identifying, through public notice, potential bidders to determine the feasibility of procurement.
Procedural Requirements. When using this option, the WDB will develop a set of preliminary training/service specifications for which the WDB intends to request bids. The specifications will include the following parameters:
Date the proposed solicitation will be issued Specific type of training/services to be performed Estimated number of participants and/or available funds or ranges, if preferred Expected period of performance Geographic area to be served Specific target groups to be served Type of contract to be awarded Expected performance outcomes
A public notification will be issued in the same manner as that used for the issuances of RFPs. In addition, letters or e-mail notifications will be sent to all applicable organizations on the bidders’ list, requesting an indication of whether the organization intends to bid on specific training/services which are described in the letter, consistent with the specifications developed. The letter will indicate the date by which a response is to be received.
If the intention to bid process is used and no interest is received, noncompetitive sole source procurement may be used. When one intention to bid response is received, every effort will be made to negotiate the desired training/services with that provider. However, if acceptable training/services cannot be negotiated, the WDB may use sole source procurement to obtain the training/service. A complete history of this process will be documented in the procurement file.
Limitations. Sole source procurement will not be used if more than one organization indicated its intent to bid. In this case, a RFP solicitation for the training/services advertised must be developed and transmitted to all who responded to the intention to bid.
D. Procurement By Small Purchase Procedures - Small purchase procedures are those relatively simple and informal procurement methods for securing services that do not cost more than $25,000 in the aggregate and may be obtained by written bid, telephone quote, or faxed quote. If small purchase procurements are used, price or rate quotations shall be obtained from a minimum of
65 three qualified sources. When small purchase procurements are used, the purchase shall not be broken down into several purchases merely to be able to use small purchase procedures, and to avoid competitive procurement. Procurement by small purchase procedures may not be used when securing program-activity type services.
The purchase of the personal services of consultants is allowed when the deliverables are specifically defined and priced. Consultants and personal services contracts, costing $5,000 and over, must have review and written approval by the NC Department of Commerce-Division of Workforce Solutions before the contract is finalized. The request for review by the Division must include:
The purpose of the contract; The cost of the proposed contract; The starting and ending dates; An assurance of adherence to State and local procurement policies; and The funding source to be used.
E. Procurement by Sealed Bids - Sealed bids procurement are publicly solicited and a firm-fixed price contract (lump sum or unit price) is awarded to the responsible bidder whose bid, conforming to all the terms and conditions of the invitation for bids, is the lowest in price. In order for sealed bids to be feasible, the following conditions should be present:
- A complete, adequate, and realistic specification or purchase description is available;
- Two or more responsible bidders are willing and able to complete effectively for the business; and
- The procurement lends itself to a firm fixed price contract and the selection of the successful bidder can be made principally on the basis of price.
If sealed bids are used the following requirements shall apply:
1) The invitation for bid shall be publicly advertised and bids solicited from a minimum of two known suppliers, providing them sufficient time prior to the date set for opening bids. The advertisement will be published in the area’s largest circulation newspaper (The Charlotte Observer) or other media (including minority publications such as The Charlotte Post) on the release date so that it will provide a general circulation throughout the area;
2) The invitation for bids including any specifications and pertinent attachments shall define the services in order for the bidder to properly respond;
3) All bids shall be publicly opened at the time and place prescribed in the invitation for bids;
4) A firm fixed-price contract award will be made in writing to the lowest responsive and responsible bidder;
5) Any or all bids may be rejected if there is a sound documented reason. Procurement by sealed bids may not be used when securing program-activity type services.
Procurement by sealed bids may not be used when securing program/activity type services, e.g., On- the-Job training.
V. Solicitation Standards
Requests for Proposals (RFPs) shall be publicized in The Charlotte Observer and their website (www.charlotteobserver.com) and in other media (including minority publications such as The Charlotte Post) (www.thecharlotte.post.com) that will provide for a general circulation throughout the area served. The RFP shall also be publicized on the Centralina COG website (www.centralina.org) and the Centralina
66 WDB website (www.centralinaworks.com). This shall all be done on the RFP release date. A bidders list shall be maintained of all entities that have indicated in writing an interest in providing workforce development services in the Centralina WDB. This list shall be updated biannually. A notice indicating the date, time, location of the RFP release, etc. shall be sent to all individuals on this list, all existing service providers, and others as applicable. This shall all be done on or prior to the RFP release date.
RFPs may be released during a bidder’s conference. If so, information concerning the conference such as date, time, location, etc. shall be publicized. Any questions that are not answered during the bidder’s conference must be submitted in writing to the WDB Director. Written answers to questions will be transmitted on an equitable basis to all bidders by the administrative entity. If a bidder’s conference is not held, then all questions regarding the RFP process and answers provided by WDB staff will be posted on the Board’s website (www.centralinaworks.com).
All RFPs shall be released with language that shall include:
Name and address of the Centralina Workforce Development Board Name, address and phone number of person(s) to contact regarding the solicitation. General description of the sub-grant program, including identification of the applicable Federal and State laws and regulations with which the selected contractor must comply. [Note: At a minimum, the RFP shall reference the WIOA; USDOL Regulations and any appropriate NC Department of Commerce-Division on Workforce Solutions policy issuances.] A cover sheet that clearly states the time and date that all proposals must be submitted to the WDB offices Special and/or general instructions/requirements (i.e.: all RFPs must be notarized and submitted in sealed packages, special program fund restrictions) The population to be served and minimum service levels to specific target groups. An estimate of the number/range of individuals to be served and expected performance results in each activity. Requirements for coordination with other workforce entities, as applicable. Funding parameters by activity. A detailed description of the training and/or services to be provided. The period of performance. Applicable monitoring and reporting requirements, including, but not limited to, data entry, performance, and financial reporting. Other services or requirements (e.g., responsibility for eligibility determination, WDB policy on support payments, audit requirements and work statement requirements) that will affect proper budgeting by the offeror. Prohibition against subcontracting without WDB approval. Line item budget of proposed costs, including any profit to be realized and/or funds to be contributed. Documentation to be supplied by the offeror to establish its programmatic and financial capability to perform the work. Requirements for preparation and submission of the proposal, due date and time, content and format, number of copies and location/person where the bid should be submitted. Process and procedures by which proposals will be evaluated for competitiveness, including identification of specific criteria which will be used. Description of the procedures for responding to bidder inquiries and a schedule for the receipt of proposals, approximate dates for review and award. Conditions under which the completed contract may be modified and extended for additional years, if applicable. Grievance procedures for contesting the procurement process. Affirmative action assurance that the offeror will comply fully with the nondiscrimination and equal opportunity provisions of the Workforce Investment Act, the Non-traditional Employment for Women Act of 1991; Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; Title IX of the Education Amendments of 1972, as amended; and with all applicable requirements imposed by or pursuant to regulations implementing those laws, including but not limited to 29 CFR Part 31 Proposers will be required to submit their qualifications to be a service provider. The provider, at a 67 minimum, shall submit a brief description or required signoff of the following: 1) Organizational structure and experience; 2) personnel standards; 3) financial system; 4) latest audit; 5) bonding coverage; 6) procurement procedures; and 7) monitoring procedures.
Amendments to solicitations will be accepted if submitted within the timeframes of the original solicitation requirement. To avoid giving one bidder an advantage over the other, the WDB Director shall be responsible for offering clarifying information and responding to inquiries from bidders.
All responses to publicized requests for proposals shall be reviewed to the maximum extent practical.
A log will be maintained of all bidders that have requested and been sent an RFP.
When late proposals come in, they shall be accepted and the date and time recorded. A letter shall then be sent to the proposer along with the proposal package explaining why it is not being considered. The WDB reserves the right to accept or reject any and all proposals received in response to the RFP. Obligation to the bidder is contingent upon the availability of grant funds. No legal liability on the part of the Centralina Workforce Development Consortium for payment of any money shall arise unless and until funds are made available to the Consortium, and notice of such availability, to be confirmed in writing, is given to the bidder. The proposer shall be responsible for all costs involved in the development of their RFP.
VI. RFP Evaluation Process / Cost-Benefit Analysis
The intent of the evaluation process is to certify that each RFP received meets the basic submission requirements - (Proposal Review Criteria) and to determine the quality of each proposal. A selection committee consisting of appointed WDB members, WDB Chairman, and WDB staff shall review competitive proposals. This task may also be assigned to an existing WDB committee (i.e. Youth Council or RFP Proposal Review Committee). The committee shall submit a recommendation to the full WDB for their review and final approval. WDB administrative staff shall provide training, guidance, and/or technical assistance on an as needed basis to the selection committee. This shall include a comprehensive review of all proposals received by WDB staff. The WDB staff may only review noncompetitive proposals.
The evaluation process will be divided into five major steps: 1) a general review of the proposals; 2) an evaluation of the bidder's qualifications; 3) an evaluation of the technical aspects of each proposal; 4) an evaluation of the cost aspects of each proposal; and 5) an evaluation of demonstrated performance, effectiveness, potential for meeting performance goals, costs, and quality of training. Final selections will primarily be based on, yet not limited to, effectiveness, demonstrated performance, potential for meeting performance goals, costs, quality of training, participant characteristics, past workforce development experience and performance of the bidder and non-duplication of services.
A letter will be sent to each successful and unsuccessful bidder that contains the WDB decisions related to that procurement.
An objective cost/price analysis will enable the WDB to provide the services available to the greatest number of people. The object of the WIOA Program is to help people obtain employment. A contract that is obtained for the best price is one that most efficiently uses the available funds to provide quality services to the most participants. This is the goal of the Centralina WDB, and an objective cost analysis will help the WDB to determine the best service providers.
In performing cost analysis, the assigned staff must perform discrete functions. First, they must verify the cost and pricing data submitted and evaluate the cost elements in that data. This includes judging the necessity for and reasonableness of proposed costs, including allowances for specific contingencies. It also includes evaluating the service provider’s cost trends on the basis of current and historical cost or pricing data. This function also includes conducting a technical appraisal of the estimated labor, material, and other requirements proposed. This first analysis step may also require evaluators to apply negotiated, audited, or proposed indirect cost rates to determine the contract price, where such rates are proposed.
68 A second element of cost analysis is comparison of costs proposed by service providers with other data. This data includes actual costs incurred by the same service provider in the past. Cost analysis can also compare the current proposed costs with previous cost estimates from the same service provider or from other service providers for the same or similar items. It is appropriate and helpful to compare costs with those proposed by other service providers in the same procurement process.
In addition, a cost analysis will be performed to verify that the service provider’s submitted costs are in accordance with applicable contract cost principles. These cost principles define and describe the meanings and limits of a variety of costs. Costs that do not conform to these meanings and limits are not allowable. State or local laws and regulations may make certain costs unallowable or place limits on costs in addition to those cited in WIOA provisions or regulations.
ANALYSIS PROCEDURE
The cost analysis procedure may vary by program; the reviewer may require more justification of some type programs than other types in order to strengthen the capability to analyze costs. However, common elements for the reviews of all programs include the following steps:
1. Check computations; 2. Review for completeness of information; 3. Review for proper cost categorization; 4. Determine the estimating base; and 5. Determine the allowability of the proposed estimate.
Allowability includes: a. Necessity; b. Reasonableness; c. Terms of the contract; d. Cost principles; e. WIOA regulations or policies; f. State policies; and g. WDB policies.
In addition to these guidelines, the Centralina WDB may employ any or all of the following procedures to determine cost reasonableness:
1. Development of an independent estimate for planning and comparison purposes; 2. Comparison of competitive bids, where available; 3. Comparison of prior quotations/contracts with current proposals for the same or similar programs; 4. Comparison of prices on published price lists; 5. Comparing the proposer’s estimated cost to actual costs incurred for former programs of the same or similar nature. (Historical cost data should be adjusted for inflation and any upward or downward price trends); and 6. Any other cost analysis available.
The contract reviewer will have a technical understanding of the contract requirements. In addition to the ability to determine excess costs, the reviewer should be reasonably certain the proposer has requested enough funding to fulfill contract requirements.
All contract applications will require detailed line item budgets. The cost reimbursement method of contracting will be used by the Centralina WDB for all service providers.
Where contract modifications that affect the contract budget are justified and allowed by the WDB procurement policy, another cost analysis must be performed.
69 Documentation is vital to the cost analysis process. It provides a record of the entire analysis and will be used to justify actions taken. Documentation will be used to justify the rating given to a particular offeror, to use as a basis for discussion and negotiation with the offeror, to use in the event of a protest against the award, and finally to use during contract monitoring and administration.
VII. Contracting Standards
The Centralina WDB shall maintain a contract administration system that ensures that the contractors perform in accordance with the terms, conditions, and specifications of their contracts. The primary method of contracting in the Centralina WDB shall be the cost reimbursement method of contracting. Contracts with for-profit entities may be considered.
The Centralina WDB will conduct a cost or price analysis in connection with every procurement action including contract modification and renewals. The reviewer will have to analyze the second year costs for contract renewals in the same manner as other costs.
Contracts shall be for a period not to exceed one (1) year, unless otherwise specified by the WDB and Consortium.
The contract document used by the Centralina WDB will contain or by reference address the following elements:
1) Employment of the Contractor 2) Scope of Services 3) Time of Performance 4) Compensation and Method of Payment 5) Approval of Subcontractor Assignability 6) Monitoring, Oversight, and Investigations 7) Notification of Fraud or Abuse 8) Maintenance of Records 9) Property 10) Reporting Requirements 11) Accounting 12) Rights in Documents, Materials, and Data Produced 13) Identification of Documents 14) Interest of Contractor (Conflict of Interest) 15) Interest of Members of the Council and Others 16) Lobbying Certification and Disclosure Requirements 17) Nonprocurement Debarment and Suspension Requirements 18) Officials Not to Benefit 19) Contractor Personnel Requirements 20) Maintenance of Effort 21) Equal Employment Opportunity 22) Nepotism 23) Complaints and Hearings 24) Protests, Disputes, and Claims 25) Bonding 26) Indemnity and Insurance 27) Audit 28) Audit Resolution and Disallowed Costs 29) Contract Closeout 30) Changes to Contract 31) Termination of Contract 32) Incorporated Documents and Key Definitions 33) Discretion of Consortium
70 34) Open Meetings Law 35) Governmental Authorization 36) Statement of Work (including limits on PELL Grant funds) 37) Budget 38) Monthly Reporting Forms 39) Assurances and Certifications, including ADA and Drug-Free Workplace policies
VIII. Terms of Contract
After the Centralina WDB selection committee has determined the most qualified applicant, an attempt to negotiate the final terms of a contract will begin. If negotiations with the first applicant are unsuccessful, Centralina will stop all negotiations with the first applicant and proceed to negotiate contract terms with the second applicant. The same procedure will occur with the third applicant if negotiations fail with the second applicant. If an agreement is not negotiated with any of the first three applicants, additional applicants may be selected.
IX. Procurement Records
The Centralina WDB staff shall maintain records sufficient to detail the significant history of procurement, i.e.; rationale for method of procurement, selection of contract type and contractor selection and/or rejection. Such record(s) may include detailed WDB minutes, detailed committee minutes, RFP evaluation sheets, and corrective action/negotiation records.
X. Procurement Appeals Policy/Process
A. Background
The procurement appeals policy provides the process by which complaints by service providers or prospective service providers for the operation of Workforce Innovation and Opportunity Act (WIOA) services are handled. For the purposes of this section, any use of the word complaint or grievance refers to the appeals process relating to the procurement of WIOA operators. Procedures for resolving complaints filed by WIOA program operators or participants are not detailed in this policy.
B. Notification of Operator Selection
Written notification of operator selection is provided to each entity submitting an RFP. Within one (1) working day following the WDB/Consortium meeting at which funding decisions are made, staff will advise by telephone any offeror not present or represented at that meeting of the WDB's decision. Within three (3) working days following the meeting, staff will send written confirmation of these decisions.
C. Appeal Procedures
A service provider, potential service provider, or any entity adversely affected in the selection of the service provider may file a complaint. The following is the level to which these entities have the opportunity to make an appeal of the service provider selection process and steps involved: Centralina Workforce Development Board/Workforce Development Consortium
1. The service provider, potential service provider, or any entity adversely affected in the service provider selection process may file a formal complaint with the Centralina Workforce Development Board.
2. The written complaint must specifically state the decision, the basis for the complaint, and the remedy sought by the complaint. All matters not raised in the complaint will be deemed waived.
3. The written complaint must be made to the Centralina WDB Chairperson within seven (7) working days of the date of written notification to all bidders following the selection of service providers.
71 To be considered valid, the complaint must be made to the Centralina WDB Chairperson with copies also sent to the following persons: Centralina WDB Workforce Development Director, Centralina Workforce Development Consortium Chairman, and Centralina COG Executive Director within the same time frame.
4. Within fifteen (15) days following receipt of the written appeal, the Centralina WDB Chairperson, on behalf of the WDB, may call a hearing at which time the Chairperson may take oral or written evidence and may entertain oral or written argument. Any entity that could be affected by the complaint shall be notified and permitted the opportunity to present or submit evidence.
[NOTE: Only those appeals which were declared by Step 3 and which document procedural irregularities (see "NOTE" below) will be considered].
5. Within thirty (30) days following receipt of the written appeal, the decision of the WDB shall be reached by majority vote in executive session. The determination and basis for the determination shall be rendered orally at the conclusion of the hearing and followed up in writing to the complainant and any affected party.
6. The determination and basis for the determination shall be rendered in writing within sixty (60) days following receipt of the written appeal to the complainant and any affected party. A copy of the determination shall also be provided to Centralina WDB Workforce Development Director, Centralina Workforce Development Consortium Chairman, and Centralina COG Executive Director. The WDB staff will forward information regarding procurement protests to the NC Department of Commerce-Division of Workforce Solutions.
7. If the bidder is still aggrieved following this action on the appeal or if the WDB/Consortium exercises the right to refuse to consider an appeal which in its opinion does not identify specific procedural shortcomings, the bidder will be notified of their right and may appeal to the Governor (NC Department of Commerce – Division of Workforce Solutions). Such appeal must be made within ten (10) days following the notification of the decision.
NOTE: These appeal procedures are established to provide recourse for bidders who think that their proposal did not receive proper consideration. Bidders entering an appeal should be prepared to document specific factors (e.g., conflict of interest, nepotism, etc.) that put the aggrieved bidder at a competitive disadvantage and/or document violation of specific sections(s) of the Act or Regulations. Bidders should not appeal simply because they believe their program to be superior to one selected. The Centralina Workforce Development Board reserves the right to refuse to consider any appeal that does not identify specific procedural shortcomings.
Interim Determinations by the Workforce Development Board during the Appeals Process
While a procurement appeal is pending, the initial decision of the Centralina WDB regarding service providers shall be followed to avoid interruption in services to customers. The WDB may, however, by majority vote, determine that the initial decision shall be suspended until determination of the complaint and appeal, and may, by majority vote, determine that the situation is an emergency situation necessitating a change in the initial decision pending determination of the complaint and appeal. These interim determinations are not subject to appeal.
XI. Administrative Review of Grievances Relating to Audits
The resolution of grievances relating to audits shall be governed by Section X. of these Grievance Procedures, except as set forth below in this Section XI:
A. A written statement of intent to appeal a decision on disallowed cost must be received within 30 days of notification to repay cost. However, the time for the filing of the petition may be shortened
72 by the Administrative Board for any good cause; provided, however, that notice of any hearing must, in any event, be provided at least ten (10) days prior to the conduct of a hearing with respect to grievance.
B. A contractor petitioner may join its subcontractor(s), if any that incurred the disallowed costs; provided, however, that such joiner shall be included in the petition and that petitioner shall serve such third party by mail with a copy of the petition not greater than three (3) days after the filing of the petition. If the third party subcontractor admits its liability for the costs, if they were disallowed, the Contractor need not participate in the proceeding, but shall be bound by the decision of the Administrative Board with respect to its primary liability for the costs.
C. A hearing on disallowed costs does not need to resolve all of the disallowed costs or potential disallowed costs of the petitioner under a single contract.
D. Continuance of a hearing on disallowed costs shall be liberally allowed if the position of the USDOL or the State of North Carolina may be clarified during a continuance or if additional audit resolution may result in resolution of some of the disallowed costs. If a matter is continued hereunder, the time for any hearing and for the decision on the hearing shall be likewise continued for the same time period.
XII. Procedures for Administrative Review of Grievances by Applicants and Participants
The resolution of grievances filed by Applicants and Participant not involving discrimination shall be governed by Section IX. of these Grievance Procedures except as set forth below in this Section XII:
A. The issues to be considered by the Administrative Board shall include, but are not limited to, a determination of whether the procedures of the actual or prospective Contractor or employer were correctly followed and whether the determination made by the said actual prospective Contractor or employer is clearly erroneous or is not based in fact. The determination by the Administrative Board shall not be available for de novo consideration of matters solely within the discretion of the said actual or prospective Contractor or employer.
B. The Administrative Board may shorten the time for the conduct of any hearing in the interest of justice.
C. A petition may not be filed until the petitioner has exhausted his or her administrative remedies with the actual or prospective Contractor or employer.
XIII. Procedures for Administrative Review of Handicap Discrimination
The resolution of grievances involving discrimination on the basis of handicap pursuant to Section 504 of the Rehabilitation Act shall be governed by Section IX. of these Grievance Procedures, except as set forth below in this Section XIII:
A. The petition must be filed not later than 180 days after the date of the alleged discrimination;
B. Any hearing on grievance must be conducted not greater than fifteen (15) days after the filing of the petition;
C. Notices of hearing shall be given a reasonable time prior to the hearing;
D. The decision on grievance shall be rendered not greater than twenty-five (25) days after the filing of the petition.
XIV. Procedures for Administrative Review of other Discrimination
73 Complaints alleging violation of Title VI of the Civil Rights Act of 1964 (excluding handicap discrimination) shall be filed directly with the Directorate of Civil Rights within 180 days after the date of the alleged discrimination and shall be made in compliance with NC Department of Commerce-Division of Workforce Solutions Policy Statement PS 09-2014
Any petitioner or any other real party in interest with respect to a grievance (other than one involving discrimination) may waive its (his or her) rights, in accordance with the following:
A. Any grievance or potential grievance, arising out of the same transaction(s) or occurrence(s), shall conclusively be deemed to have been waived if not raised in the petition, in the case of the petitioner, or in any written statement filed at the request of the Administrative Board by any person or entity other than the original petitioner.
B. With the concurrence of the Administrative Board, any petitioner or other real party in interest may waive its (her or his) right to the consideration and determination of a grievance by the Administrative Board. Upon such waiver, the Administrative Board shall render a summary written decision against the said petitioner or other real party in interest. XV. Appeal
Appeals of grievances governed by these Grievance Procedures shall be allowable in accordance with and governed by NC Department of Commerce-Division of Workforce Solutions Policy Statement PS 09-2014.
XVI. Administrative Procedures Generally
A. The procedures governing the resolution of grievances and complaints arising under the WIOA or any other funding source within the Centralina WDB shall be known as the Centralina WDB Grievance Procedures.
B. These Centralina WDB Grievance Procedures are promulgated pursuant to Section 181 the Workforce Innovation and Opportunity Act (WIOA) and Policy Statement PS 09-2014, by the North Carolina Department of Commerce-Division of Workforce Solutions. These Centralina WDB Grievance Procedures shall be interpreted to be consistent with the federal and state laws and regulations governing programs under the WIOA and NEG legislation within the Centralina WDB.
C. The following definitions shall apply to these Centralina WDB Grievance Procedures:
1) Grievance Procedures. These Centralina WDB Grievance Procedures.
2) Applicant. An individual who has completed and signed an application for participation in an employment and training program and has provided that application to a Contractor.
3) Bidder. A person or entity that has formally bid upon or responded to an RFP to operate workforce development activities or to provide administrative or support services.
4) Chief Elected Official. The Chairman of the Centralina Workforce Development Consortium and the Chief Elected Official for purposes of WIOA.
5) Consortium. The Centralina Workforce Development Consortium. The Consortium serves as the administrative entity and grant recipient within the Centralina WDB.
6) Contractor. An individual or entity that has entered into an agreement to operate program or project activities or to conduct administrative or support functions, including the provision of goods or services.
7) Grievance. A complaint by a Bidder, Applicant, Contractor, Participant or any other real party in interest, alleging non-criminal violations.
74 8) Participant. An individual who has been determined to be eligible to participate in and who is receiving services (except follow-up services authorized under Title I of WIOA) under a program authorized by Title I of WIOA or NEG.
9) WDB. The Centralina WDB organized under Section 107 of the WIOA and meets the requirements to perform functions of the Local Board.
10) USDOL. The United State Department of Labor.
11) WIOA. The Workforce Innovation and Opportunity Act (WIOA) H.R. 803
12) NEG. National Emergency Grants.
D. Nothing contained in these Grievance Procedures shall be construed to allow any person or entity to join or sue the WDB, the Consortium, the Local Area or any of their officers, employees, agents, directors or representatives without first exhausting the administrative remedies described in these Grievance Procedures and as other-wise prescribed by law.
XVII. Centralina WDB Administrative Board
There is hereby established a Centralina WDB Administrative Board (hereinafter referred to as the "Administrative Board"). The Administrative Board shall consist of the Chief Elected Official, and the Chairman of the WDB. The Administrative Board shall have the authority to consider, hear, and decide all grievances arising within the Centralina WDB. The Administrative Board shall also have broad discretion to adopt additional rules and procedures, consistent with these Grievance Procedures, to resolve expeditiously and fairly all grievances. Notwithstanding the foregoing, however, in the event that any such member of the Administrative Board has been directly involved in the events from which a petition arises, such member shall not hear such grievance and shall be replaced on the Administrative Board (solely for the purpose of said particular grievance) by the remaining member or members of said board, which replacement shall be a disinterested, qualified person chosen in the discretion of said remaining Board member or members. In the rare event that all of the members of the Administrative Board have been directly involved in the events from which a Petition arises, the Administrative Board, solely for the purpose of such Grievance, shall consist of one qualified disinterested person appointed in the discretion of the North Carolina Workforce Development Board Directors Council.
XVIII. Federal Financial Assistance
For the purpose of applying the prohibitions against discrimination on the basis of age under the Age Discrimination Act of 1975 (42 U.S.,C. 6101 et seq.), on the basis of disability under section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), on the basis of sex under title IX of the Education Amendments of 1972 (20 U.S.C. 1681 et seq.), or on the basis of race, color, or national origin under title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.), programs and activities funded or otherwise financially assisted in whole or part under this Act are considered to be programs and activities receiving Federal financial assistance.
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