CTR058022_Contract_Documents.pdf

Digitally signed by Steuber, David S Date: 2021.11.18 14:16:56 -07'00'

Solicitation Requirements Request for Proposal (RFP) Part 1 of 2

Solicitation No.: BPM003842

Description: Consultation – Small Business

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Table of Contents

Section Page

Scope of Work

ADES Special Terms and Conditions

Uniform Terms and Conditions

Exhibit A – Code of Conduct

Exhibit B - VR Client Service Plan

Exhibit C - Self-Employment Readiness Questionnaire

Exhibit D - Proposed Business Concept Overview

Exhibit E - Business Plan Outline

Exhibit F - Progress Report

Exhibit G - Contractor Invoice Form

Exhibit H - Facility Location Staffing Chart

Exhibit I - Service Delivery Area Form https://app.az.gov/

Scope of Work

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1. ADES Mission and Vision Statements

1.1 ADES Mission: The ADES makes Arizona stronger by helping Arizonans reach their potential through temporary assistance for those in need, and care for the vulnerable.

1.2 ADES Vision: All Arizonans who qualify receive timely ADES services and achieve their potential.

1.3 Rehabilitation Services Administration (RSA) Mission: RSA works with individuals with disabilities to achieve their goals for employment and independence.

2. Purpose

2.1 Purpose Statement: To provide consultation services to Vocational Rehabilitation (VR) Clients to explore and assess readiness for self-employment, provide recommendations regarding feasibility of proposed business concept, and provide assistance with business plan development and implementation.

2.2 Legal Authority: Arizona Revised Statute (A.R.S.) §41-1954(A) (6) provides ADES the authority to enter into contracts and incur obligations within the general scope of its activities and operations.

2.2.1 RSA is authorized to provide this service under Rehabilitation Act of 1973, as amended [29 U.S.C.

723(a) Vocational Rehabilitation Services) and A.R.S. §23-503 Duties and Powers of Vocational Rehabilitation Division (i.e., Administration).

2.3 Projected Awards: ADES reserves the right to make one or multiple awards when determined to be in the best interest of the State. The Contractor(s) shall provide services throughout the entire County(ies) awarded. Each County represents a Service Delivery Area (SDA). To ensure adequate statewide coverage, ADES reserves the right to allow Contractors to expand their SDAs via amendment or pursue alternative procurement methods in the best interest of the State. The anticipated start date is January 1, 2022. The contract will be established with an initial contract term of one (1) year with extension options.

2.4 Projected Utilization: The service is provided on an as needed basis; there is no guarantee of the number of units to be authorized.

3. Service Description

3.1 Taxonomy: Consultation: A service that provides professional information and advice to assist in planning, developing, implementing, and evaluating individual and service programs and in providing coordination with the professional community.

3.2 Actual Service Description: Vocational Rehabilitation Services (VR) for the purpose of this Contract include:

3.2.1 Services to VR Clients:

1. Pre-Service Consultation Meeting.

2. Self-Employment Assessment

3. Business Plan Consultation

4. Business Plan Development

5. Business Plan Implementation Follow Up Consultation.

3.2.2 Services to VR staff:

1. Consultation and Guidance to the RSA VR Staff related to the provision of this service.

3.2.3 Small Business Consultation services do not include:

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1. Any training in the areas of business plan development, (i.e., financial, managerial, marketing, business operations, etc.)

2. Support for self-employment businesses that are illegal by federal or state law such as dispensaries or production, items that are speculative in nature or considered high risk such as, multi-level marketing or investment schemes, stocks, authorship, online marketing funnel, etc.

3.3 Background:

3.3.1 Per CFR 361.1 under the State Vocational Rehabilitation Services Program, the Secretary provides grants to assist States in operating statewide comprehensive, coordinated, effective, efficient, and accountable vocational rehabilitation programs, each of which is:

1. An integral part of a statewide workforce development system; and

2. Designed to assess, plan, develop, and provide vocational rehabilitation services for individuals with disabilities, consistent with their unique strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice so that they may prepare for and engage in competitive integrated employment and achieve economic self-sufficiency.

(Authority: Sections 12(c) and 100(a) of the Rehabilitation Act of 1973, as amended; 29 U.S.C.

709(c) and 720(a))

3.3.2 Through the provision of this service, VR staff provides guidance and support in the decision-making process to VR Clients in regard to pursuing a self-employment work setting to assist in their achievement of a successful employment outcome. RSA provides assistance to eligible individuals who have disabilities to achieve employment outcomes by offering comprehensive services and support.

4. Definitions

4.1 Self-Employment Work Setting: A work setting in which a person: a. Owns a business for the purpose of earning an income and making a profit, b. Takes personal responsibility for business activities, c. Controls services, hours, and pricing, and furnishes their own tools/equipment, and d. Operates the business and manages all or most of the aspects of the operation (or, in the case of supported self-employment, operates and manages those aspects of the business of which he/she is capable).

4.2 Self-Employment Review Committee: (SERC) A statewide committee established by the agency to review and approve business plans.

4.3 VR Counselor: a staff of VR who provides vocational guidance and counseling.

4.4 Vocational Goal: An employment outcome of entering, advancing in, or retaining full-time or, if appropriate, part-time competitive integrated employment (including customized employment, self- employment, telecommuting, or business ownership), or supported self-employment that is consistent with the client’s strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice.

5. General Requirements

The Contractor shall:

5.1 Provide services that are culturally relevant and linguistically appropriate to the population to be served.

5.2 Communicate, either directly or through the assistance of professional services, in the native language of VR Clients who have limited speaking ability or whose primary language is not English and use all other appropriate and effective modes of communications used by VR Clients (e.g., Spanish language, American Sign Language, etc.).

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5.3 Make reasonable accommodations related to both service location and service provision under the American with Disabilities Act (ADA) of 1990, as amended, (a wheelchair accessible location, enlarged print, etc.) to allow a person with a disability to receive the services.

5.4 Ensure all services are provided in compliance with the Vocational Rehabilitation Policy Manual Chapter 4, Sections 4.5 and 4.5.1 - 4.5.4 located at https://des.az.gov/vocational-rehabilitation-policy-manual

5.5 Develop and maintain a written Quality Management Plan in order to continuously monitor the delivery of services and to ensure that the service provision meets the VR Client’s objectives to include the following:

5.5.1 Incident management, corrective action and preventions;

5.5.2 Complaints and grievances;

5.5.3 Monitoring and evaluating service provision, i.e., measurement of outcomes as it relates to the VR Client’s objectives, and the improvement of the quality of services;

5.5.4 Routine monitoring of personnel and subcontractors to ensure the effectiveness of the relationship between the VR Client and direct service personnel.

5.6 Adhere to the Code of Conduct (Exhibit A).

5.7 Adhere to the requirements of the Rehabilitation Act and its implementing regulations 34 CFR 361.51 Standards for facilities and providers of services.

5.8 Report all unusual incidents to VR Counselor in accordance with Section 12.2.

6. VR Client Business Plan Consultation Services Requirements The Contractor Shall:

6.1 Monitor and provide ongoing support to VR Client throughout the provision of the services. This includes ongoing feedback to help the VR Client understand their strengths and limitations and encourage the VR Client to improve their skills and progression.

6.2 Notify the VR Counselor verbally within one (1) business day if the VR Client is encountering difficulties and problems that interfere with successful completion of the agreed-upon Service Objectives.

6.3 Client Service Plan Meeting

6.3.1 Schedule an in person Client Service Plan Meeting with the VR Client, and/or the VR Client’s representative, and the referring VR Counselor within seven (7) business days upon receipt of the following:

1. Referral for Services (an internal RSA form);

2. Client data relevant for the service provision; and

3. Written RSA Purchase Authorization from RSA Case Management System.

A. Purchase Authorization will be issued for no more than a maximum of three (3) hours for the Client Service Plan Meeting, unless additional hours are authorized in accordance with Section 11.7.

6.3.2 Complete the VR Client Service Plan (Exhibit B) collaboratively with the VR Client and VR Counselor to address the following at the minimum:

1. The VR Client's vocational goal in a self-employment work setting and proposed business concept.

https://app.az.gov/ https://des.az.gov/vocational-rehabilitation-policy-manual https://www.govinfo.gov/app/details/CFR-2002-title34-vol2/CFR-2002-title34-vol2-sec361-51

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2. VR Client's service needs, service objectives, roles and responsibilities;

3. Whether the VR Client and the Contractor choose to work together as a team.

6.4 Self-Employment Assessment

6.4.1 Schedule an in person Self-Employment Assessment Meeting with the VR Client, and/or the VR Client’s representative, and the referring VR Counselor within seven (7) business days upon receipt of the following:

1. Referral for Services (an internal RSA form);

2. Client data relevant for the service provision; and

3. Written RSA Purchase Authorization from RSA Case Management System.

A. Purchase Authorization will be issued for no more than a maximum of five (5) hours for the Self-Employment Assessment Service, unless additional hours are authorized in accordance with Section 11.7

4. Conduct an assessment of the VR Client's self-employment strengths and weaknesses.

6.4.2 Review and assist VR Client in collaboratively completing the Self-Employment Readiness Questionnaire (VR 1010A form) (Exhibit C)

6.4.3 Review and assist VR Client in collaboratively completing Proposed Business Concept Overview (VR 1011A form) (Exhibit D).

1. Discuss the vocational goal in a self-employment work setting and review the VR Client’s proposed business concept overview; and

2. Assess and explore the full range of business development and planning issues, the VR Client’s strengths and limitations related to business acumen towards the achievement of the vocational goal in a self-employment work setting.

6.4.4 Submit a written Self - Employment Assessment report to the VR Counselor within seven (7) business days after the self-employment assessment. The Report shall at a minimum include:

1. An assessment regarding the suitability of the VR Client's self-employment work setting in relation to their business acumen strengths and limitations.

2. Discussion of the VR Client's potential and readiness for success in a self- employment work setting.

3. A summary of recommendations concerning the VR Client's need for further research, training, self-employment training course(s), self-employment community resources, and steps necessary for the development of an appropriate business plan.

6.4.5 Meet with the VR Client and VR Counselor within seven (7) business days after submission of the self-employment assessment to conduct a follow up consultation after the self-employment assessment is completed if applicable.

6.5 Business Plan Consultation

6.5.1 Schedule an in person Business Plan Consultation Meeting with the VR Client, and/or the VR Client’s representative, and the referring VR Counselor within seven (7) business days upon receipt of the following:

1. Referral for Services (an internal RSA form);

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2. Client data relevant for the service provision; and

3. Written RSA Purchase Authorization from RSA Case Management System.

A. Purchase Authorization will be issued for no more than a maximum of twenty (20) hours for the Business Plan Consultation Meeting, unless additional hours are authorized in accordance with Section 11.7.

6.5.2 Discuss the VR Client’s completion of recommended and required training.

6.5.3 Review the VR Client’s Business Plan Outline (VR 1012A form) (Exhibit E).

6.5.4 Review and provide guidance to the VR Client’s proposed Business Plan, including:

1. Guidance to the VR Client of the business plan's strengths and weaknesses; and

2. Recommendations for the business plan's improvement.

6.5.5 Collaboratively assist the VR Client with improving the business plan and prepare the VR Client for presenting the business plan to the Self-Employment Review Committee (SERC). Communicate the findings and recommendations for improvement of the VR Client's business plan in writing to the VR Client and to the VR Counselor within seven (7) business days after the meeting with the VR Client.

1. To ensure all findings and recommendations are addressed, an additional meeting will be scheduled to review business plan if required.

6.5.6 Submit a written summary to the VR Client and to the VR Counselor within fifteen (15) business days after the meeting with the VR Client. The summary shall indicate that the VR Client's business plan is complete and ready to be presented to the VR Supervisor or SERC.

6.6 Business Plan Development

6.6.1 Ensure this service is only provided to VR Clients who experience significant difficulties with writing and developing their business plan and are unable to use available community resources due to the nature of their disability (e.g. significant learning disabilities in terms of writing, reading and financial calculations). VR Clients shall only be provided this service if a referral is provided and it is determined jointly by Contractor, VR Counselor and VR Client.

6.6.2 Schedule an in person Business Plan Development Meeting with the VR Client, and/or the VR Client’s representative, and the referring VR Counselor within seven (7) business days upon receipt of the following:

1. Referral for Services (an internal RSA form);

2. VR Client data relevant for the service provision; and

3. Written RSA Purchase Authorization from RSA Case Management System.

A. Purchase Authorization will be issued for no more than a maximum of twenty-four (24) hours for the Business Plan Development, unless additional hours are authorized in accordance with Section 11.7.

6.6.3 Assist the VR Client with writing and developing their business plan, particularly with the aspects of conducting research, compiling business terminology for writing, and completing financial calculations.

6.6.4 Provide guidance and instruction to complete tasks regarding the Business Plan.

6.6.5 Provide completed business plan for submission and approval to the VR Counselor.

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6.7 Business Plan Implementation Follow Up Consultation

6.7.1 Schedule an in person Business Plan Implementation Follow Up Consultation meeting with the VR Client, and/or the VR Client’s representative, and the referring VR Counselor within seven (7) business days upon receipt of the following:

1. Referral for Services (an internal RSA form);

2. VR Client data relevant for the service provision; and

3. Written RSA Purchase Authorization from RSA Case Management System.

A. Purchase Authorization will be issued for no more than a maximum of three (3) hours for the Business Plan Implementation Follow Up Consultations, unless additional hours are authorized in accordance with Section 11.7.

6.7.2 Discuss with the VR Client and the VR Counselor to provide guidance regarding overcoming challenges being experienced related to implementing the business plan.

6.7.3 Submit a written summary to the VR Counselor within seven (7) business days after the meeting.

The summary shall include the outcome of the consultation meeting with the VR Client and VR Counselor.

6.7.4 Notify the VR Counselor in writing within seven (7) business days upon completion of the Business Plan Implementation Follow Up Consultation.

7. VR Staff Consultation Service Requirements:

7.1 Conduct a preliminary review of proposed business concept overview and business plans and provide a summary that shall include the Contractor’s findings related to the business plan strengths, deficiencies, and areas for improvement to the VR Counselor and VR Supervisor within seven (7) business days upon receipt of a written RSA Purchase Authorization.

7.2 Conduct a second-level review of the business plans that have been previously reviewed by another contractor providing Small Business Consultation Services and provide a written summary that shall include at a minimum the Contractor’s findings related to the business plan strengths, deficiencies, and areas for improvement to the VR Counselor and VR Supervisor within seven (7) business days upon receipt of a written RSA Purchase Authorization.

7.3 Number of units authorized for these services will vary depending on individual case and will be allocated on the RSA Purchase Authorization. Purchase Authorization will be issued for no more than five (5) hours. Unless additional hours are authorized in accordance with Section 11.7.

8. Licensure/Qualification Requirements

8.1 Ensure that its personnel or subcontractors who provide these services meet the following requirements:

8.1.1 Have at least a bachelor’s degree in Business, Finance, Management, Marketing or related field;

and

8.1.2 Have at least two (2) years of experience in providing consultation to individuals or agencies concerning the development of and management of a small business enterprise.

8.1.3 Have at least one (1) year working with individuals with disabilities.

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8.2 Sign Language

8.2.1 Provide Sign Language and Foreign Language services through personnel who meet the following criteria:

8.2.2 Sign language interpreters must possess a valid Arizona Interpreter license in accordance with A.R.S. §§36-1973 and 1972.

8.2.3 Contractor staff or subcontractors communicating in American Sign Language while providing services directly to a VR Client must be qualified through:

1. A valid Arizona Interpreter license (A.R.S. §§36-1973 and 1972); or

2. Certification by the Registry of Interpreters for the Deaf (RID):

A. National Interpreter Certification (NIC) NIC, including NIC Advanced or NIC Master;

B. Certified Deaf Interpreter (CDI). The CDI will be utilized alone or in conjunction with a hearing interpreter as necessary based on the VR Client’s language needs;

C. Certificate of Interpretation (CI);

D. Certificate of Transliteration (CT);

E. Comprehensive Skills Certificate (CSC);

F. Interpreter Certification (IC); or G. Transliteration Certificate (TC); or

3. Certification by the Board for Evaluation of Interpreters Basic; Advanced, Master, Court Interpreter Certificate; or

4. Certification by National Association of the Deaf (NAD), level IV or V; or

5. A documented Sign Communication Proficiency Interview (SCPI) rating of Intermediate or above; or

6. A valid and current American Sign Language Teacher’s Certification (ASLTA): Qualified or Professional levels; or

7. Assimilation into the deaf culture and being considered a native user, Native users must document their proficiency for contract purposes through one of the certifications listed above (A-F); Native users are considered those who have:

A. Been raised in a home where only ASL is used; or B. Been educated in a recognized school for the deaf; or C. Lost their hearing as an adult and has completed formal training in ASL

8.3 Foreign Language:

8.3.1 Foreign language interpreters used during service provision must have basic competence in the subject language and be able to interpret effectively, accurately and impartially.

8.3.2 Contractor staff or subcontractors communicating in the VR Client's native language while providing services directly to the VR Client must have basic competence in the subject language and be able to interpret effectively and accurately. The Contractor must verify that the employee or subcontractor is able to communicate effectively and accurately using the foreign language and must assume responsibility for their performance.

9. Administrative Requirements

9.1 Establish and maintain a case file record for all VR Clients who received these services to include the following:

9.1.1 RSA Referral for Services.

9.1.2 RSA Purchase Authorization(s).

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9.1.3 Code of Conduct (Exhibit A),

9.1.4 VR Client Service Plan (Exhibit B) and a written service closure notification;

9.1.5 Progress Report (Exhibit F),

9.1.6 Contractor Invoice Form (Exhibit G),

9.1.7 Facility Location Staffing Chart (Exhibit H),

9.1.8 Service Delivery Area (Exhibit I).

9.1.9 A record of the Contractor’s personnel time spent providing service including notes from meetings with dates of service, and follow-up with the RSA staff.

9.1.10 Other documents relevant to the service provision.

9.1.11 The case file records may be a hard copy or in electronic format. All records shall be presented to the RSA Monitoring Team upon request.

10. Performance Measures/Evaluation/Standards

10.1 VR Services will monitor and evaluate the Contractor’s performance in achieving the service outcomes and compliance with this Contract through on-site visits and through data gathered from the Contractor.

10.2 The Contractor shall meet the following minimum acceptable performance standards during a contract year:

10.2.1 Performance Standard #1- Acceptance Rate: ninety percent (90%) of the RSA VR Clients referred for services shall be accepted by the Contractor

10.2.2 Performance Standard #2 – Successful Completion Rate: At a minimum, 90% of all VR Client Business Plans resulting from the consultation services provided by the Contractor that are presented to the SERC will result in an recommended approval by the SERC.

1. VR Clients who drop out of the program due to their dissatisfaction with the quality of the Contractor’s service provision will be counted toward the Performance Standard #2.

2. VR Clients who drop out due to their own personal reasons, other than dissatisfaction with the Contractor’ s service provision, (e.g. medical reason, incarceration, closure by RSA, or other reasons that cannot be attributed to the quality of the Contractor’s service provision, etc.) will not be counted toward the Performance Standard #2.

10.2.3 Performance Standard #3 – Reporting Rate: At a minimum 90% of all reporting requirements as stated in section 12 shall be complete and submitted timely upon receipt of a written RSA Purchase Authorization.

10.3 RSA will conduct ongoing evaluation of the Contractor’s performance in achieving the minimally acceptable service standards through the Contractor’s monthly reports, and the data collected through the ADES/RSA case management system.

11. Payment Requirements

11.1 The Contractor shall provide Unit rates as follows:

11.1.1 One (1) Hour of services provided in a Local County;

1. Local County is /are determined to be those counties where a business has a legal address or any physical location that is owned, leased, or rented, in whole or in part, by the business.

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11.1.2 One (1) Hour of services provided in a Distant County

1. Distant County is/are determined to be those counties where the business does not have a legal address or any physical location that is owned, leased, or rented, in whole or in part, by the business.

11.2 One Hour equals sixty (60) minutes of actual time spent providing face to face services specified in Section

6.0 to one (1) VR Client or VR Counselor to discuss specific issues pertaining to the VR Client.

11.3 One Hour equals sixty (60) minutes of actual time spent completing a review of the Business Plan as specified in Section 7.0.

11.4 Billable time includes time spent providing services that last fifteen (15) minutes or more.

11.5 The hourly rate(s) shall be rounded to the nearest quarter of an hour (i.e., fifteen (15) minutes). Examples:

22 hours and 15 minutes = 22.25 hours; 22 hours and 6 minutes = 22.0 hours; 22 hours and 30 minutes =

22.5 hours; 22 hours and 39 minutes = 22.75 hours; 22 hours and 45 minutes = 22.75 hours.

11.6 Unit rates are all inclusive, which means that they include all costs associated with the provision of the service including but not limited to: foreign and sign language interpretation, salaries, operating cost, travel time, mileage, preparation of billing and reports, routine follow-up phone calls, research time, time for VR Client no shows, etc. RSA will not pay separately for these or any other costs except as noted herein.

11.7 Contractor shall not exceed allotted number of authorized units specified on RSA Purchase Authorization.

ADES may authorize additional hours; however written approval shall be made in advance by the VR Counselor. The authorization for the additional hours is dependent on the VR Client’s service needs and requires prior written confirmation from the VR Counselor and the VR Counselor’s Supervisor. The SERC Facilitator’s written approval shall be obtained for additional hours for consultation and advice services to the RSA self-employment review committee.

12. Reporting Requirements The Contractor shall submit the following:

12.1 TO RSA PAYMENT AND BILLING UNIT

BY EMAIL @ AIBInvoiceScanning@azdes.gov

OR BY MAIL

PO BOX 6877

Phoenix, AZ 85005

OR to the designated address of the referring ADES agency.

A complete, original Contractor Invoice Form (Exhibit G) signed and dated by a person authorized to submit invoices for the Contractor along with the reporting documentation within ten (10) business days upon completion of the requested service to include the following as appropriate:

12.1.1 VR Client Service Plan (Exhibit B)

12.1.2 Self-Employment Readiness Questionnaire (Exhibit C)

12.1.3 Proposed Business Concept Overview (Exhibit D)

12.1.4 Business Plan Outline (Exhibit E)

12.1.5 Progress Report (Exhibit F)

12.1.6 For Consultation to RSA staff: A written summary of the consultation provided.

mailto:AIBInvoiceScanning@azdes.gov

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12.2 TO REFERRING VR COUNSELOR

12.2.1 Any unusual incidents verbally within one (1) business day of the occurrence and a written report of the unusual incident shall be submitted within three (3) business days to the referring VR Counselor. Unusual incidents include, but are not limited to:

1. Death of a VR Client;

2. Alleged neglect, abuse, mistreatment or exploitation of a VR Client (by anyone);

3. Disappearance of a VR Client. The Contractor shall report a missing VR Client to law enforcement officials and the VR Counselor as soon as the Contractor suspects that the VR Client may be missing;

4. Suicide attempt(s) by the VR Client

5. Sexual abuse against a VR Client, including consensual sexual activity;

6. Inappropriate sexual behavior toward a VR Client;

7. Any threat to the physical or emotional well-being of an individual or Contractor’s staff member by a VR Client, and

8. Any unexplained VR Client absence

12.3 TO RSA CONTRACTS UNIT:

By email:RSAContractsUnit@azdes.gov

12.3.1 Notices relative to this Contract.

12.3.2 Submit correspondence regarding individual VR Client service requests and payment to the referring ADES personnel.

12.3.3 Within five (5) business days if there are any actions from any of the applicable Arizona licensing and regulatory boards or agencies, which may result in disciplinary action taken on their current licensure.

12.3.4 Any changes related to the Facility Location Staffing Chart (Exhibit H) shall be reported to RSA Contracts and no amendment shall be necessary.

12.3.5 Any changes related to contractor name, Merger, Reorganization or Change of Ownership entity status shall be completed in compliance with the Special Terms and Conditions Section 3.0.

12.3.6 Any changes related to the addition or removal of Subcontractors shall be completed in compliance with the Special Terms and Conditions Section 45.0.

12.4 Any changes related to the Service Delivery Area shall be requested utilizing Service Delivery Area (Exhibit I) to be reviewed and approved by the ADES and shall be executed via contract amendment.

12.5 Current Certificates of Insurance, as required in the ADES Special Terms and Conditions, no later than ten

(10) days prior to the expiration of the existing Certificate of Insurance.

mailto:RSAContractsUnit@azdes.gov

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12.6 OTHER REPORTING

Reporting requirements may change during the Contract term. The Contractor will be notified in writing about any change in reporting forms.

ADES Special Terms and Conditions

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1. Definition of Terms

In addition to the Uniform Terms and Conditions, Section 1, the following shall apply:

1.1 “Award Date” The date the Contract is executed by the Department. This may or may not be the same date as the “Effective Date” which is the date specified on the Offer and Award or Signature Page.

1.2 “Client Specific Referral” Services or activities for which a referral has been made for a client by an authorized representative of the Department.

1.3 “Department” The Arizona Department of Economic Security (ADES), unless otherwise indicated.

1.4 “Effective Date” The date the Contractor is to start delivering services. The Effective Date is specified on the Offer and Award or Signature Page.

1.5 “Equipment” All vehicles, furniture, machinery, electronic data processing (EDP) equipment, software and all other equipment costing $5,000.00 or more, including all normal and necessary expenses incurred to make the equipment ready for its intended use (e.g., taxes, freight, installation, assembly and testing charges, etc.), and with a useful life of greater than one (1) year. Equipment as used herein does not include real property (e.g., land, building, structures, or facilities’ improvements).

1.6 “May” Indicates something that is not mandatory but permissible.

1.7 “Purchase Order” also known as “Purchase Authorization” or “Release Order” is an authorized document to procure goods or services.

1.8 “Shall, Must” Indicates a mandatory requirement. Failure to meet these mandatory requirements may result in the rejection of a proposal as non-responsive.

1.9 “Should” Indicates something that is recommended but not mandatory. If the Contractor fails to provide recommended information, the State may, at its sole option, ask the Contractor to provide the information.

1.10 “Vulnerable adult” An individual who is eighteen (18) years of age or older who is unable to protect himself from abuse, neglect or exploitation by others because of a physical or mental impairment. Vulnerable adult includes an incapacitated person as defined in A.R.S. §14-5101.

2. Advertising, Publishing and Promotion of Contract

In addition to the Uniform Terms and Conditions, Section 3.6, the following shall apply:

2.1 The Contractor shall provide to the Department for review and approval all reports or publications (written, visual or sound) which are funded or partially funded under this Contract, a minimum of fifteen (15) calendar days prior to public release. All reports and publications whether written, visual or verbal shall contain the following statement:

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2.1.1 “This program was funded through a contract with the Arizona Department of Economic Security.

Points of view are those of the author and do not necessarily represent the official position or policies of the Department.”

3. Assignment

In addition to the Uniform Terms and Conditions, Section 5.3, the following shall apply:

3.1 Merger, Reorganization or Change of Ownership

3.1.1 A proposed merger, reorganization or change in ownership of the Contractor shall require prior written approval of the Department and may require an assignment of the Contract documented by a Contract Amendment. The Department may terminate this Contract pursuant to the Termination clauses of the Contract, if the Contractor does not obtain prior written approval or the Department determines that the change in ownership is not in the best interest of the State.

3.1.2 This Contract is voidable and subject to immediate cancellation by the Department upon the Contractor becoming insolvent, or filing proceedings in bankruptcy or reorganization under the United States Code, or assigning any right(s) or obligations under this Contract without the prior written consent of the Department.

3.1.3 The Contractor shall submit a detailed merger, reorganization and/or transition of ownership plan to the Department, for review at least sixty (60) days prior to the effective date of the proposed change.

4. Audit

In addition to the Uniform Terms and Conditions, Section 3.3, the following shall apply:

4.1 In compliance with the Federal Single Audit Act (31 U.S.C. § 7501-7506 as may be amended), Contractors designated as sub-recipients shall comply with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards as prescribed in 2 C.F.R. § 200.

4.2 Audits of non-profit corporations receiving Federal or State monies are required pursuant to Federal or

State law and shall be conducted as provided in 31 U.S.C. § 7501-7506, and A.R.S. § 35-181.03, as may be amended, and any other applicable statutes, rules, regulations, and standards.

4.3 In accordance with A.R.S. § 35-214, the Contractor shall retain and shall contractually require each subcontractor to retain all data, books and other records (“records”) relating to this Contract for a period of five (5) years after completion of the Contract, except if subject to Health Insurance Portability & Accountability Act which is six (6) years. All records shall be subject to inspection and audit by the State at reasonable times. Upon request, the Contractor shall produce the original of any or all such records.

5. Authorization for Services

5.1 Authorization for performance of services under this Contract shall be made only upon the issuance of a duly authorized Purchase Order (also referred to as Purchase Authorization or Release Order). The Purchase Order will indicate the Contract number and the dollar amount of funds authorized. The Contractor shall only be authorized to perform services up to the amount on the Purchase Order. The

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Department shall not have any legal obligation to pay for services in excess of the amount indicated on the Purchase Order.

5.2 No further obligation for payment shall exist on behalf of the Department unless:

5.2.1 The Purchase Order is changed or modified with an official procurement change order, and/or

5.2.2 An additional Purchase Order is issued for purchase of services under this Contract.

6. Background Checks for Employment through the Central Registry. If providing direct services to children or vulnerable adults, the following shall apply:

6.1 The provisions of A.R.S. § 8-804 (as may be amended) are hereby incorporated in their entirety as provisions of this Contract.

6.2 The Department will conduct Central Registry Background Checks and will use the information contained in the Central Registry as a factor to determine qualifications for positions that provide direct service to children or vulnerable adults for:

6.2.1 Any person who applies for a contract with this State and that person’s employees;

6.2.2 All employees of a contractor;

6.2.3 A subcontractor of a contractor and the subcontractor’s employees; and

6.2.4 Prospective employees of the contractor or subcontractor at the request of the prospective employer.

6.3 Volunteers who provide direct services to children or vulnerable adults shall have a Central Registry Background Check which is to be used as a factor to determine qualifications for volunteer positions.

6.3.1 A person who is disqualified because of a Central Registry Background Check may apply to the

Board of Fingerprinting for a Central Registry exception pursuant to A.R.S. § 41-619.57. A person who is granted a Central Registry exception pursuant to A.R.S. § 41-619.57 is not entitled to a contract, employment, licensure, certification or other benefit because the person has been granted a Central Registry exception.

6.3.2 Before being employed or volunteering in a position that provides direct services to children or vulnerable adults, persons shall certify on forms that are provided by the Department whether an allegation of abuse or neglect was made against them and was substantiated. The completed forms are to be maintained as confidential.

6.4 A person awaiting receipt of the Central Registry Background Check may provide direct services to ADES clients after completion and submittal of the Direct Service Position certification form if the certification states:

6.4.1 The person is not currently the subject of an investigation of child abuse or neglect in Arizona or another state or jurisdiction; and

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6.4.2 The person has not been the subject of an investigation of child abuse or neglect in Arizona, or another state or jurisdiction, which resulted in a substantiated finding.

6.5 If the Central Registry Background Check specifies any disqualifying act and the person does not have a

Central Registry exception, the person shall be prohibited from providing direct services to ADES clients.

6.6 The Contractor shall maintain the Central Registry Background Check results and any related forms or documents in a confidential file for five (5) years after termination of the Contract.

6.7 The Contractor shall require each employee to complete and sign the Direct Service Position form and retain in a confidential file for five (5) years after termination of the Contract. The Direct Service Position form can be found at: https://des.az.gov/documents-center

6.7.1 In the “Search” field type “Direct Service” and click on “Apply”. This will produce two results:

6.7.2 Document Number DERS 1057A

7. Certification of Cost or Pricing Data

By submittal of the offer, the Contractor is certifying that, to the best of the Contractor’s knowledge and belief, any cost or pricing data submitted is accurate, complete and current as of the date submitted or other mutually agreed upon date. Furthermore, the price to the State shall be adjusted to exclude any significant amounts by which the State finds the price was increased because the Contractor-furnished cost or pricing data was inaccurate, incomplete or not current as of the date of certification. Such adjustment by the State may include overhead, profit or fees. The certifying of cost or pricing data does not apply when contract rates are set by law or regulation.

8. Certification Regarding Lobbying

The Contractor agrees by submittal of the Certification Regarding Lobbying form, in compliance with 49 C.F.R. Part 20.

9. Code of Conduct

The Contractor shall avoid any action that might create or result in the appearance of having:

9.1 Inappropriate use or divulging of information gathered or discovered pursuant to the performance of its duties under the contract;

9.2 Acted on behalf of the State without appropriate authorization;

9.3 Provided favorable or unfavorable treatment to anyone;

9.4 Made a decision on behalf of the State that exceeded its authority, could result in partiality, or have a political consequence for the State;

9.5 Misrepresent or otherwise impeded the efficiency, authority, actions, policies, or adversely affect the confidence of the public or integrity of the State; or

9.6 Loss of impartiality when advising the State.

https://des.az.gov/documents-center

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10. Competitive Bidding

If the Contractor is authorized to purchase the supplies and equipment itemized in the Contract for utilization in the delivery of contract services, Contractor shall procure all such supplies and equipment at the lowest practicable cost and shall purchase all non-expendable items having a useful life of more than one (1) year and an acquisition cost of $1,000 or more, through generally accepted and reasonable competitive bidding processes. Any procurement in violation of this provision shall be considered a financial audit exception.

11. Compliance with Applicable Laws

In addition to the Uniform Terms and Conditions, Section 7.6, the following shall apply:

11.1 In accordance with A.R.S. § 36-557 as may be amended (Purchase of community developmental disabilities services; application; contracts; limitation), as applicable, all recipients of contract services shall have all of the same specified rights as they would have if enrolled in a service program operated directly by the State.

11.2 The Contractor shall comply with the requirements related to reporting to a peace officer or child protective services incidents of crimes against children as specified in A.R.S. §13-3620 as may be amended.

11.3 The Contractor shall comply with P.L. 101-121, Section 319 (31 U.S.C. section 1352) as may be amended, and 29 C.F.R. Part 93 as may be amended which prohibit the use of federal funds for lobbying and which state, in part: Except with the express authorization of Congress, the Contractor, its employees or agents, shall not utilize any federal funds under the terms of this contract to solicit or influence, or to attempt to solicit or influence, directly or indirectly, any member of Congress regarding pending or prospective legislation. Indian tribes, tribal organizations and any other Indian organizations are exempt from these lobbying restrictions with respect to expenditures that are specifically permitted by other federal law.

11.4 The Contractor shall comply with all applicable state and federal statutes and regulations. This shall include

A.R.S. § 23-722.01 as may be amended relating to new hire reporting, A.R.S. § 23-722.02 as may be amended relating to wage assignment orders to provide child support, and A.R.S. § 25-535 as may be amended relating to administrative or court-ordered health insurance coverage for children.

11.5 The Contractor shall comply with the Administrative Simplification rules in Title II of the Health Insurance

Portability and Accountability Act of 1996 (Public Law 104-191) and all Federal regulations that are applicable to the operations of the Contractor by the dates required by the implementing Federal regulations as well as all subsequent requirements and regulations as published.

12. Confidentiality

12.1 The Contractor shall observe and abide by all applicable State and federal statutes, rules and regulations regarding the use or disclosure of information including, but not limited to, information concerning applicants for and recipients of contract services. To the extent permitted by law, the Contractor shall release information to the Department and to the Attorney General's Office as required by the terms of this Contract, by law or upon their request.

12.2 The Contractor shall comply with the requirements of Arizona Address Confidentiality Program, A.R.S. §41-

161 et. seq. The Arizona Department of Economic Security will advise the Contractor as to applicable policies and procedures the Arizona Department of Economic Security has adopted for such compliance.

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13. Contract Term and Option to Extend

13.1 The term of the resultant Contract shall be effective the date specified on the Offer and Award or Signature page and shall remain in effect for one (1) year or as otherwise specified, unless terminated, cancelled, or extended as otherwise provided herein.

13.2 The State has no obligation to extend or renew this Contract. However, the State shall has the right, at its sole option, to renew the Contract in accordance with any extensions the State may receive for supplemental periods up to a maximum Contract term of five (5) years. In the event that the State exercises such right, all terms, conditions and provisions of the original Contract shall remain the same and apply during the renewal period with the exception of price. The Contractor shall agree that the price stated in the original Contract shall apply unless otherwise allowed.

13.3 Any extension or renewal must be made prior to the end of the Contract period specified in this Contract.

13.4 The Contractor shall not provide services prior to Contract term commencing or after the end date of the

Contract. There shall be no billable activity outside of the Contract effective dates.

14. Cooperation

The Department may undertake or award other contracts for additional work related to the work performed by the Contractor, and the Contractor shall fully cooperate with such other Contractors and State employees, and carefully fit its own work to such other Contractors' work. The Contractor shall not commit or permit any act which will interfere with the performance of work by any other Contractor or by State employees. The Contractor shall cooperate as the State deems necessary, with the transfer of work, services, case records and files performed or prepared by the Contractor to other Contractor(s).

15. Cooperation with the Department’s Investigation

All contractors, providers, vendors and volunteers are to cooperate fully and truthfully with any ADES investigation, including but not limited to an Investigation by Division or Internal Affairs. Failure to adhere to this policy may result in ADES taking whatever actions it deems appropriate, from removal of the subject and or witness from working with ADES clients up to terminating the Contract with ADES.

16. Data Sharing Agreement

16.1 When determined by the Department that sharing of confidential data will occur with the Contractor, the

Contractor shall complete the ADES Data Sharing Request Agreement and submit the completed Agreement to the ADES Program Designated Staff prior to any work commencing or data shared. A separate Data Sharing Request Agreement shall be required between the Contractor and each DES Program sharing confidential data.

16.2 The Data Sharing Request Agreement is located at: http://des.az.gov/documents-center. In the “Search” field type “Data Sharing” and click “Apply”. The search will produce the following results:

16.2.1 Document Number J-119-Single (For requests involving a single division or program).

16.2.2 Document Number J-119-Multi (For requests involving multiple divisions or programs).

http://des.az.gov/documents-center

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17. Evaluation

17.1 The Department may evaluate, and the Contractor shall cooperate in the evaluation of, contract services.

Evaluation may assess the quality and impact of contract services, either in isolation or in comparison with other similar services, and assess the Contractor's progress and/or success in achieving the goals, objectives and deliverables set forth in this Contract.

17.2 As requested by the Department, the Contractor shall participate in third party evaluations relative to

Contract impact in support of Department goals.

18. E-Verify

In addition to the Uniform Terms and Conditions, Section 3.10, the following shall apply:

18.1 The Contractor warrants compliance with all Federal immigration laws and regulations relating to employees and warrants its compliance with Section A.R.S. § 23-214, A, as may be amended. (That subsection reads: “After December 31, 2007, every employer, after hiring an employee, shall verify the employment eligibility of the employee through the e-verify program.”)

18.2 A breach of a warrant regarding compliance with immigration laws and regulations shall be deemed a material breach of the Contract and the Contractor may be subject to penalties up to and including termination of the Contract.

18.3 Failure to comply with a State audit process to randomly verify the employment records of contractors and subcontractors shall be deemed a material breach of the Contract and the Contractor may be subject to penalties up to and including termination of the Contract.

18.4 The Department retains the legal right to inspect the papers of any employee who works on the Contract to ensure that the Contractor or subcontractor is complying with the warranty above.

19. Fair Hearings and Service Recipients' Grievances

19.1 The Contractor shall advise all applicants for and recipients of contract services of their right, at any time and for any reason, to present to the Contractor and to the Department any grievances arising from the delivery of contract services, including, but not limited to, ineligibility determination, reduction of services, suspension or termination of services, or quality of services. The Department may assert its jurisdiction to hear the grievance or refer the matter to the appropriate authority.

19.2 The Contractor, whenever authorized by law, shall maintain a formal system…