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HomeMy WebLinkAbout2007-063 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 . RESOLUTION NO.2007-63 RESOLUTION OF THE MAYOR AND COMMON COUNCIL OF THE CITY OF SAN BERNARDINO RATIFYING THE SUBMITTAL OF A GRANT APPLICATION TO THE CALIFORNIA DEPARTMENT OF CORRECTIONS AND REHABILITATION, DIVISION OF COMMUNITY PARTNERSHIPS AUTHORIZING THE MAYOR TO EXECUTE THE GRANT CONTRACT, AND AUTHORIZING THE MAYOR'S OFFICE TO ADMINISTER THE INTER- GOVERNMENTAL PARTNERSHIP PRISON REENTRY PLANNING GRANT. BE IT RESOLVED BY THE MAYOR AND COMMON COUNCIL OF THE CITY OF SAN BERNARDINO AS FOLLOWS: SECTION 1. The Mayor and Common Council of the City of San Bernardino hereby ratify the submittal of a grant application to the California Department of Corrections and Rehabilitation, Division of Community Partnerships, a copy of which is attached as Exhibit "A" and incorporated herein, and authorize the Mayor's Office to administer the grant as outlined in the attached grant application. SECTION 2. The Mayor of the City of San Bernardino is hereby authorized and directed to execute on behalf of said City a contract with the California Department of Corrections and Rehabilitation, Division of Community Partnerships, a copy of which is attached as Exhibit "B", and incorporated herein. III III III III III III III . . 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 RESOLUTION OF THE MAYOR AND COMMON COUNCIL OF THE CITY OF SAN BERNARDINO RATIFYING THE SUBMITTAL OF A GRANT APPLICATION TO THE CALIFORNIA DEPARTMENT OF CORRECTIONS AND REHABILITATION, DIVISION OF COMMUNITY PARTNERSHIPS AUTHORIZING THE MAYOR TO EXECUTE THE GRANT CONTRACT, AND AUTHORIZING THE MAYOR'S OFFICE TO ADMINISTER THE INTER- GOVERNMENTAL PARTNERSHIP PRISON REENTRY PLANNING GRANT. I HEREBY CERTIFY that the foregoing Resolution was duly adopted by the Mayor joint and Common Council of the City of San Bernardino at a regular meeting thereof, held on the 20th day of February ,2007, by the following vote, to wit: Council Members: AYES NAYS ABSTAIN ABSENT ESTRADA x BAXTER x BRINKER x DERRY ---1L KELLEY x JOHNSON x MCCAMMACK ----1L ~ 1;J. ~ Rac el G. Clark, City Clerk The foregoing resolution is hereby approved this o.1>2n..(....dayof February 2007. ------- J. Morris, San Bernardino Approved as to Form: STATE OF CALIFORNIA , STANDARD AGREEMENT STD 213 (Rev 06/03) AGREEMENT NUMBER C06.436 REGISTRATION NUMBER 1. This Agreement is entered into between the State Agency and the Contractor named below: STATE AGENCY'S NAME California Department of Corrections and Rehabilitation (CDCR) CONTRACTOR'S NAME City of San Bernardino 2. The term of this February 1, 2007 Agreement is: 3. The maximum amount $100,000.00 of this Agreement is: One Hundred Thousand Dollars and no cents 4. The parties agree to compiy with the terms and conditions of the following exhibits which are by this reference made a part of the Agreement. through June 30, 2008 Exhibit A - Scope of Work - Intergovernmental Partnership Grant Program Exhibit B - Budget Detail and Payment Provisions Attachment 1 - Request for Fund Disbursement Exhibit B-1 - Budget Proposal Exhibit C' - General Terms and Conditions Exhibit D - Special Terms and Conditions for Public Entity Agreements Exhibit E - Additional Provisions for Public Entity Agreements 5 pages 1 pages 1 pages 2 pages GTC 306 1 0 pages 3 pages Items shown with an Asterisk ('), are hereby incorporated by reference and made part of this agreement as if attached hereto. These documents can be viewed at www.ols.dgs.ca.gov/Standard+Language IN WITNESS WHEREOF. this Agreement has been executed by the parties hereto. CONTRACTOR California Department of General Services Use Only CONTRACTOR'S NAME (if other than an individual, state whether a corporation, partnership, etc.) City of San Bernardino BY (Authorized Signature) DATE SIGNED(Do nor type) 5 If-O Mayor ADDRESS 300 North D Street, San Bernardino, CA. 92418, 909-384-5133 STATE OF CALIFORNIA AGENCY NAME California Departm BY (Aut 0 PERSON SIGNING Karen V. Smith, Chief, Service Contracts Section o Exempt per: ADDRESS PO Box 942883, Sacramento, CA 94283-0001 CITY OF SAN BERNARDINO California Department of Corrections and Rehabilitation (CDCR) SCOPE OF WORK Agreement No. C06.436 Exhibit A COMMUNITY. NETWORK. FAMILY. INDIVIDUAL - SUCCESSFUL PAROLEE INTEGRATION IN THE CITY OF SAN BERNARDINO 1. PROJECT DESCRIPTION The City of San Bernardino agrees to initiate formal collaborations between local stakeholder entities (including various governmental agencies, employers, and community/faith based organizations) interested in improving the successful reentry of parolees into the local community. A. Proiect Goal The City of San Bernardino agrees establish a strategy committee (The San Bernardino City Reentry Collaboration [SBCRC]) to design a sustainable collaborative program for comprehensive reentry services to adults paroled from COCR institutions and returning to the City of San Bernardino. B. Proiect Objectives Bring together community-based and faith-based organizations, governmental agencies, prominent academics, practitioners, employers, community leaders, policy makers, advocates, local law enforcement, Paroles and former inmates to explore options and formulate strategies for addressing the various components of reentry including housing, public safety, civic participation, employment, mentoring, transportation, literacy, socialization and addiction. Specific Project Objectives include: 1) Formation of a collaborative strategy committee to include representatives from; faith-based organizations, governmental agencies, prominent academics, practitioners, employers, community leaders, policy makers, advocates, local law enforcement, Paroles and former inmates. 2) Identify and document local parolee service needs; 3) Utilize and build upon the best practices of "Value Based Initiative (VBI)" and "Ready4Work Prisoner Reentry Initiative" models and reentry efforts of Idaho and Massachusetts; 4) Develop and adopt a work plan that addresses reentry strategies that properly prepare the target population for active and positive citizenship upon reentry to the community; 5) Utilize the grant writing resources within the SBCRC to pursue fund development activities to address gaps in services and funding; and 6) Development of processes for evidence based program assessment and improvement. 1 iU. CITY OF SAN BERNARDINO California Department of Corrections and Rehabilitation (CDCR) SCOPE OF WORK Agreement No. C06.436 Exhibit A C. Expected Outcomes 1) Creation of a formal and ongoing collaboration between nonprofit organizations, employers, governmental entities, law enforcement and paroles that provide services to the eligible population (i.e. adult inmates in adult CDCR institutions and/or parolees from those institutions); 2) Gather data regarding gaps in needed and available services to the local eligible population as well as service utilization trends; 3) Contract with an independent program evaluator/consultant to analyze plan effectiveness and service utilization data; and 4) Identify funding sources that will support and sustain development and implementation of a work plan that reflects the conclusions reached during the planning process. O. Expected ProQram ReQuirements for Participants This planning process will target services to adult inmates in adult CDCR institutions and/or parolees from those institutions. Service strategies are expected to address participant eligibility criteria and standards that include: 1) Participation on a voluntary basis; 2) Participants must commit to a minimum of 6 months of participation in the SBCRC Program; 3) Submit to random drug testing; and 4) Participants must live in or be paroling to the City of San Bernardino. E. ProQram Structure The year-long planning process will consist of the following elements: 1) Creation of a formal and ongoing collaboration between community-based and faith-based organizations, governmental agencies, prominent academics, practitioners, employers, community leaders, policy makers, advocates, local law enforcement, Paroles and former inmates to identify service strategies for to assist with reentry service needs for the eligible population (i.e. adult inmates in adult COCR institutions and/or parolees from those institutions); 2) Gather data regarding gaps in needed and available services to the local eligible population as well as service utilization trends; 4) Contract with an independent program evaluator/consultant to analyze plan effectiveness and service utilization data; and 5) Identify funding sources that will support and sustain development and implementation of a work plan that reflects the conclusions reached during the planning process. 2 CITY OF SAN BERNARDINO California Department of Corrections and Rehabilitation (CDCR) SCOPE OF WORK Agreement No. C06.436 Exhibit A 2. TARGET POPULATION While the target population will be more clearly defined during the SBCRC planning process, the entire range of adult offenders will be addressed (including violent offenders). We anticipate the actual target population will be men and women from 6 months prior to release to 18 months post release. After award and planning, the SBCRC initially plans on providing services to 400 recently released adult CDCR offenders and/or parolees. 3. PROGRAM AND PARTICIPANT DATA AND REPORTING REQUIREMENTS Within 30 days of contract execution, the contractor will be required to develop a system that is acceptable to CDCR to collect and report program and participant related data in an accurate and timely manner. The data will be used for reporting program progress and evaluating the program performance as well as for services coordination. The system must be compatible with COCR data systems (e.g., MS Access, MS Excel, etc.). At a minimum, the program and participant data will include: a. Participant Data: The Contractor is required to develop a system for accurate and timely col!ection and reporting of all participant data consistent with the specific nature of each specific program. 1) CDCR number for all participants. 2) Demographic, socioeconomic and criminogenic data on all program participants and potential participants on the program waiting list. 3) Names of all assessment instruments used and baseline data summarizing: the participant's level of criminality, education, vocational abilities, substance abuse history, self-sufficiency, and social competency at program admission. 4) Appropriate case management data designed for follow up of progress in receiving services, such as name of case manager(s), date case manager assigned, follow up dates, status on entry, and end of month status for ongoing treatments or terminations. 5) Date participant is assessed, referred, and shows up for service. 6) Program participation; daily, weekly, and monthly attendance records, hours of treatment(s) and outcome/performance measures specific to each program both on the individual and the cohort level, as appropriate. 7) Monthly follow-up data detailing participant progress specific to objectives and goals identified and services received. Length of follow- up will be based upon each grants specific goals, objectives, and predetermined time frames. 8) Program data on successful or unsuccessful discharge status upon release/transfer from program/facility. 3 r-- CITY OF SAN BERNARDINO California Department of Corrections and Rehabilitation (CDCR) SCOPE OF WORK Agreement No. C06.436 Exhibit A Data requirements may be modified to accommodate comparisons between projects with similar treatment models. b. Proqram Data: The Contractor shall submit monthly, quarterly, and 6-month interim progress reports to the Division of Community Partnerships on or before the 15th of the following month that include the number of: . New program admissions. . Program exits by status at exit. . Participant referrals to services by service type. . Participant placements in services by service type. . Active participants in the program during the reporting month. . Number of eligible participants on the program waiting list. . Program capacity. c. The followinq requirements must be met alonq with the data collection: The Contractor shall submit monthly, quarterly, and 6-month interim progress reports describing program activities, any upcoming major events and activities, all problems encountered, and plans for problem resolutions. These reports shall be submitted to the Division of Community Partnerships Program Manager on or before the 15th of the following month. The Contractor shall have procedures developed and in place to: 1) Ensure and verify the validity of the data; 2) Protect the data from unauthorized access and/or destruction due to negligence, malice, or disaster. If it has been determined that participant data has been compromised the contractor must notify CDCR immediately. 3) Ensure no report, publication, and/or statistical data related to the programs is released or revealed without the prior written approval from CDCR. 4) Cooperate in the evaluation of the program and assist COCR and any designated evaluators on any additional data collection efforts and program analysis. 5) Submit participant level program data to COCR by the 10th day of each month. The data file shall include all program activity for the previous month. 4. PLANNING GRANT REPORTING REQUIREMENTS The Contractor will be required to develop and submit detailed reports, subject to COCR approval, about the planning grant process undertaken and a description of the program developed. The following information must be provided to COCR at the specified intervals: 4 CITY OF SAN BERNARDINO California Department of Corrections and Rehabilitation (CDCR) SCOPE OF WORK Agreement No. C06.436 Exhibit A a. Formal proiect plan (to be submitted within the first month of the start of the proiect) which includes the followino: . Description of community needs. . Description of target population and an estimate of how many reside in the community. . List of all stakeholders. . List of all collaborating entities and a description of each entities role. . List of project tasks and timelines. b. Prooress reports (to be submitted at 3. 6. and 9 months into the proiect) which include: . List of project goals and a timeline detailing when each goal was completed. . Description of all meetings held, including: agenda, list of attendees, and meeting notes. . List of all collaborating entities and a description of each entities role. c. Final outcome report (to be submitted upon completion of the proiect) which mav include: . List of project goals and a timeline detailing when each goal was completed. . Description of the program developed through the Intergovernmental Partnership Grant Program along with the theoretical and practical support for this program. . Timeline for program implementation. . The evaluation plan developed to determine the effectiveness of the program when implemented. . Description of all meetings held, including: agenda, list of attendees, and meeting notes. . List of all collaborating entities and a description of each entities role. . Feedback from stakeholders. . Identify funding sources that will ensure the program will be implemented and sustained. ,. 5 CITY OF SAN BERNARDINO California Department of Corrections and Rehabilitation (CDCR) BUDGET DETAIL AND PAYMENT PROVISIONS Agreement No. C06.436 Exhibit B 1. Invoicinll and Payment a. For services satisfactorily rendered, and upon receipt and approval of contractor's invoices, the State agrees to compensate the Contractor for actual expenditures incurred in accordance with Exhibit B-2, Budget Proposal which are attached hereto and made a part of this Agreement. b. Invoices shall include the Agreement Number and shall be submitted in triplicate not more frequently than monthly in arrears to: California Department of Corrections and Rehabilitation (GDCR) Headquarters Regional Accounting Office Division of Community Partnerships Attention: Accounts Payable POBox 187018 Sacramento, CA 95818-7018 2. Budllet Continllency Clause a. It is mutually agreed that if the California State Budget Act for the current fiscal year and/or any subsequent fiscal years covered under this Agreement does not appropriate sufficient funds for the program, this Agreement shall be of no further force and effect. In this event, the State shall have no liability to pay any funds whatsoever to Contractor, or to furnish any other considerations under this Agreement, and Contractor shall not be obligated to perform any provisions of this Agreement. b. If funding for the purposes of this program is reduced or deleted for any fiscal year by the California State Budget Act, the State shall have the option to either cancel this Agreement with no liability occurring to the State, or offer an Agreement amendment to Contractor to reflect the reduced amount. 3. Prompt Payment Clause Payment will be made in accordance with, and within the time specified in, Government Code Chapter 4.5, commencing with Section 927. Payment to small/micro businesses shall be made in accordance with and within the time specified in Chapter 4.5, Government Code 927 et seq. 4. Subcontractors For all Agreements, with the exception of Interagency Agreements and other governmental entities/auxiliaries that are exempt from bidding, nothing contained in this Agreement, or otherwise, shall create any contractual relation between the State and any subcontractors, and no subcontract shall relieve the Contractor of Contractor's responsibilities and obligations hereunder. The Contractor agrees to be as fully CITY OF SAN BERNARDINO California Department of Corrections and Rehabilitation (CDCR) BUDGET DETAIL AND PAYMENT PROVISIONS Agreement No. C06.436 Exhibit B responsible to the State for the acts and omissions of its subcontractors and of persons either directly or indirectly employed by any of them as it is for the acts and omissions of persons directly employed by the Contractor. The Contractor's obligation to pay its subcontractors is an independent obligation from the State's obligation to make payments to the Contractor. As a result, the State shall have no obligation to payor to enforce the payment of any moneys to any subcontractor. Payment to Subcontractors If the contractor should fail to reimburse the subcontractors upon payments compensated by the State which are consistent with the Line Item Budget Guide (L1BG) and specifications established under this Agreement and for the purpose of insuring the integrity and continuity of the program, CDCR reserves the right to assume any of the right or obligations granted the contractor hereunder for a period not to exceed sixty (60) days. In addition, notwithstanding any other provision to the contrary contained herein, CDCR also reserves the right to receive invoices directly from, and make payment directly to the subcontractor during the sixty (60) days in which CDCR has assumed the contractor's duties. 5. Advance Payment Advance Payment for Public Entities Pursuant to Government Code Section 6504, the Contractor may request an advance payment for the fiscal year(s) covered by this agreement, which shall not exceed twenty- five percent (25%) of the annual project budget for each fiscal year (FY). In order to receive such payment, the Contractor is required to sign and return the "Acknowledgment of Advance Payment Provisions" before an advance payment warrant is issued. The State shall recover one-twelfth (1/12) of the advance payment each month by the reduction of monthly invoices submitted for payment by the Contractor in accordance with the project budget amount for each FY. Invoices submitted for payment by the Contractor, in accordance with the budget proposal, will be reduced by the monthly installment amount. In the event that submitted invoices are less than the monthly installment, the remaining balance will be deducted from subsequent invoices. In the event the Agreement is canceled by either party, the Contractor agrees to repay the balance of any outstanding payments due the State for advance payments within thirty (30) days after the Agreement is canceled. -2- EXHIBIT B-1 LINE ITEM BUDGET GUIDE For Cost Reimbursement Budgets Developed for: Bidders and Contractors OCTOBER 20, 2006 Prepared by: California Department of Corrections and Rehabilitation Office of Business Services Service Contracts Section LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets Introduction (Responsibilities of Bidders, Contractors, Program/Contract Managers and Definitions)'HH'HH'H' 1 Actual and Allowable Costs. ... ... ... ... ... ......... .... ........ ...... ....... ... ....... ... .......... ...... ... ...... ............. 2 Personnel Costs (Staff Salaries and Staff Benefits)HHHHHHHHHHHHHHHHHHHHHHHHHHHHH' 2 Sub-Contractors/Consultant Costs H' H' H" H' H H' H' H' H' H' H" H' H" H' H' H' H' H" H..H H' H' H' H' H. H. H' 4 Operating CoStSH" H' H' H' H" H' H' H' H' H" H H' H" H H' H' H' H' H' H" H' H" H' H' H' H' H..... H' H' H' H' H' H' H' H' 4 Travel......................................................................................................................... .. 5 Facility Lease/Rent and Facility Owned HHHHHHHHHHHHHHHHH'HHHHHHHHHHHHHHHHHH 5 Maintenance/Repair..................................................................................................... 5 Communications..... H" H' H' H. H' H' H' H' H' H' H' H' H' H' H"H H"'H H' H' HH H' H' H' H" H H.. H..H H' H H. H 5 UtilitiesH'H"H'H'H"'HH'H'H'H'H"H'H'H"HH'H'H'H'H'H'H'H"H'H'H'H"H'H'H'H'HHH'H'HH'H'H'H 5 Insurance..................................................................................................................... 5 Supplies/Expendable Equipment.. H H" H' H' H H" H' H' H' H' H' H" H' H' H' H" H"H H' H' H, H'H H. H H" 5 Non-Expendable Equipment H' H' H' H' H' H. H' H. H. H' H' H' H' H" H' H' H' H' H' H" H' H' H' H' H' H'H' H H' 6 Training and Education HH'H'HH"H'H'H'H'H'H'H'HHHH'H'H'HHH'H'H"H'H'H'H'H..H.HH'HH'H' 7 Food Costs H' H' H"H H" H" H H" H H" H' H' H' H' H' H' H H' HH H. H. H' H" H. H" H' H H" H' H" H H" H' H H' H' H 7 Household Supplies H H" H. H..H. H H.. H' H' H H' H' H' H' H" H' H' H' H' HH H"H H"H'H' H' H' H" H H..H H' H 7 Program Supplies.. H. H" H' H' H' H' H' H' H' H' H' H' H' H' H' H" H HH'H' H, H H" H' H' H' H" H. H' H. H. H' H H' 7 Linen Services............................................................................................................. 7 InterestH' H' H' H' H' H' H' H' H' H' H' H' H' H' H' H' H' H"H H' H' H' H' H. H. H' H' H' H' H' H' H' H' H' 7 Line Item Additions .. ............. ... ............ ... ... ... ... ... ... ....... ... ... ....... ... ...... ....... ........... ... .... 7 Indirect Costs (Cost Allocation Plan)HHHHHHHHHHHHHHHHHHHHHHHHHHHHHHHHHHH'HHHHH' 7 Profit/Service Fee'H' H' H' H" H' H' H' H' H" H H" H' H H" H H' H" H H" H' H' H" H' H' H' H' H" H' H' H' H' H. HH" H' 8 Allowable Indirect Costs 'H'H'H'H'H"H'H'H.HH"HH'H"H'H'H'H'HHH'H'H'H'HHH'H"HH'H"H'HH'H' 8 Unallowable Costs........................................................................................................... 10 Fiscal Audits........................................................................................................................ .. 11 SAMPLE Project Budget Proposal (Budget Categories and Line Items Displayed) HHHHHHH' 12 Establishing Monthly Salary Rates HHHHHH'HHHHHHHHHH'HHHHHHHH'HHHHHH'H'HHHHH.HHHHH 13 Establishing a Monthly Salary Range 'HHHH'HHHHHHHH'H'HHH'H'HHH.H'H'HHH.HHHH'HHHHH.HH 13 Position's Time Base (Project Time indicated by % or Hours) HHH'H'H'H'HHHHHH'HHHHHHHHH 14 Personnel Positions............................................................................................................... 15 Costs Dis la ed for Bud et Cate ories and Line ItemsH'H'HHHH'HH'H'HH'HHHHHHHHHHH'H'H' 15 .. ... .. ..."... ............. .~. ..' ...... .. GuidancetoOontractof:Sj:.' . Amendment Defined.............................................................................................................. 16 Amendment Required. H" H' H' H" H' H' H' H' H' H..H H. H. H' H' H. H. H. H" H..H H. H" H. H'.. H' H' H. H' H'. H H" H' 16 Budget Transfer Requests. H' H' H' H' H' H" H' H' H' H' H' H' H H' H" H' H" H' H' H' H' H" H H' H' H' H' H H' H" H' H" 17 BTR Approval Process H'H'H'H"H'H'H'H'H'H"HH"HH'H'H'H"H'H'H'H'HHH'H'H'H'H'HH'H'H'H'H'H'" 18 Use of Salary Savings H'H..H..HH..H'H'H'H'H..HH'H'H'H'H'H"H'H'H'H'H..H'H.H.H..HH'HHH'H'H..H'H 18 Duties Performed for a Vacant PositionHHHHHHHHHHHHHHHHHHHHHHHHHHHHHHHHHHHHHHHH' 19 Salary Rate Increases....... ... .......... ...... ............... ... ... ... ... ... .... ... ....... ... ... ... ... ..... ........ ... ...... ... 19 Budgeted Positions........ ... ... .......... ... ... ... ... ...... ... ... ... ... ....... ... ... ............. ... .............. ..... ... ... ... 20 New Budget Line Items "H'H'H'HHH'H,H'H'H'H'H'H'H'H'H'H"H'H'H"H'H'H'H'H'H'H'HH'HH"H'H'H'H 20 Monthl Invoices.................................................................................................................... 20 ~I11P'Q!Project Budgets and Forms Attachment 1: SAMPLE Project Budget Proposal for FY 07/08 Exhibit AA (Sample): Non-Expendable Equipment Attachment 1-A: SAMPLE Amended Project Budget for FY 02/03 (Amendment 1) Attachment 1-B: SAMPLE Amended Project Budget for FY 02/03 (Amendment 2) Attachment 1-C (4 pages): Indirect Cost Allocation Plan Instructions/Sample Attachment1-D (3 pages): Budget Transfer Request Instructions and Sample Budget Transfer Request Form Monthly Invoice for Cost Reimbursement Budget LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets [ Introduction The Line Item Budget Guide for Cost Reimbursement Budgets (L1BG) was written to assist Bidders and Contractors in the following respective areas of responsibility for a cost reimbursement budget: Bidders are responsible for: . indicating the actual and allowable costs associated in performing contracted services for a cost reimbursement budget (for each fiscal year if applicab/e) for competitive bidding purposes. Contractors are responsible for: . ensuring that all expenditures claimed (including all subcontractor expenditures) are allowable costs as specified in this L1BG; . ensuring all costs are associated in performing contracted services for auditing purposes and program review; . ensuring that all subcontractors performing services have a written agreement stating the contracted services shall be performed in accordance with all contractual responsibilities of the prime contractor; . ensuring that budget transfer costs can be supported Gustified) to reflect actual expenses; and . ensuring that a budget amendment can be supported Gustified) for actual expenses associated in performing contracted services. Program and Contract Managers are responsible for: . ensuring that budget transfers/amendments are in accordance with Line Item Budget Guide policies; and . ensuring that budget transfers/amendments do not compromise the competitive bidding process (i.e., changes would not have affected the original award of the contract). Definitions: COCR ProQram ManaQer - COCR staff person who is responsible for administering the program aspects of the contract. The COCR Program Manager is the primary contact person. Page 1 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets COCR Section Chief of the ProQram - COCR staff person who has overall responsibility of a Program within COCR and oversees the responsibilities of the COCR Program Manager. I Actual and Allowable Costs Actual costs incurred by the Contractor, which are allowable costs shall be substantiated with appropriate source documentation and applicable receipts, such as invoices and receipts for any cost contained in the budget proposal. Receipts and other support documentation need not be submitted with the monthly invoices for contract expenditures, with the exception of travel expenses and subcontractor/consultant costs. However, the Contractor must retain files in the Contractor's headquarters office based in California or at the program service location where services are being provided. All support documentation must be retained for actual expenses incurred for auditing purposes and for program review, as required in the fiscal audit provision on page 11 of this guide. Allowable costs for a contract shall be limited to those expenditures which are: (1) in conformance with the approved contract budget and have specific prior approval when required; and (2) for goods and services necessary to the project's operation at the time the costs are incurred. Any expenses not meeting these criteria may be disallowed. Competitive Bid Consideration: Contractors shall ensure that all costs are considered when developing a budget for a competitive bid process. The addition of any costs that should have been considered at the time of bid will not be allowed under a budget transfer process, even if the costs are defined as allowable, if the addition would reduce the compliance with bid proposal requirements or would have negatively impacted the scoring of the proposal. For instance, changes to the requirements of the project in the Scope of Work, (i.e., the addition/removal of key personnel, or the addition/deletion of tasks or responsibilities) which have precluded potential bidders from bidding, resulted in fewer/additional points in the evaluation process, or resulted in a lower bid. For this reason, careful competitive bid consideration will be made to determine whether or not the consequences of an amendment or a budget transfer request have compromised the integrity and fairness of the bidding process. Listed below are allowable costs: 1. Personnel Costs a. Staff Salaries - Personnel salary and wage costs (salary equals compensation for staff who are paid based on a fixed rate for a given amount of time [i.e., weekly, monthly, etc.]; and wage equals compensation for personnel who are paid based on an hourly rate should be commensurate with the level of responsibility and experience necessary to perform contracted project obligations. Salaries of personnel who are providing services for more than one contract must be charged to each contract on a proportional basis and are only allowable for the time the employee is assigned to this contract. Page 2 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets Salaries must be adequately documented by time sheets signed by the employee and the immediate supervisor, payroll register, payroll warrant, employee personnel file and general ledger accounts. All reported salary costs shall be based on actual expenditures. The time sheets must show on a daily basis how much time each employee spent on each program and salaries must be prorated accordingly. Salaries are only allowable for the time the employee is assigned to the contracted project. Bidders shall take into consideration cost of living, merit or anniversary increases when budgeting each position's monthly or hourly rates for each fiscal year of the contract. It is recommended that bidders establish a salary range (e.g., $2,450 - $2,800). The range must be realistic and conform to industry standards for each position. If salary increases are to be granted, they must be included in the budget when submitting a bid for a single or multiple year contract. Salary increases not included in the budget at the time of bid will not be allowed at any time during the performance of the contract unless: . the COCR Program Manager increases contract responsibilities which in turn results in increased responsibilities of the established budgeted positions; or . the Contractor increases the responsibilities of a budgeted position; or . the project is legislatively approved for cost of living adjustments; or . Contractor experiences documented recruitment or retention problems. Refer to the Salary Rate Increases section of these guidelines. b. Staff Benefits - Actual costs for staff benefits will be provided based on a percentage of total staff salaries. A COCR audit will be performed on actual costs. The COCR has determined a percentage for staff benefits of 28% for industrial non-represented employees, however, this percentage is strictly a guide to follow; there is no established limit. It is recommended that bidders establish a benefits percentage range in which they will not exceed during any given fiscal year. For example: if workers compensation is paid quarterly, the percentage for staff benefits would fluctuate on a monthly basis; therefore, the bidder should establish a percentage range to ensure their benefits do not exceed this each fiscal year. Staff benefits may include: regular compensation paid to employees for vacation, sick leave, jury duty, military training, and employer contributions for payroll taxes, employee health and unemployment insurance, social security, workers compensation, and a retirement plan. The Contractor is responsible for maintaining in reserve a portion of the percentage determined for staff benefits to allow for leave accrual pay-off at the end of the contracUemployment. Vacation leave accrual pay-off shall not exceed two (2) weeks per year per staff person. Contractor shall maintain documentation to support leave earnings, usage and balances. (COCR will not be liable for payment of accrued vacation time off at contract/employment termination in excess of the amount maintained in reserve. Page 3 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets The Contractor shall deposit reserve funds in an interest bearing account insured by a government agency. Interest earnings are the property of the State and may not be used for any purpose. Such interest earnings must be reported and the interest remitted to the State by the Contractor by July 30th following each preceding fiscal year. In the event the contract ends before the close of the fiscal year, payment must be received by the last business day of the month immediately succeeding the end of the contract. The Contractor will remit any interest income to the CDCR's Chief Accounting Officer for placement in the General Fund. 2. Sub-Contractor/Consultant Costs - A sub-contractor or consultant is defined as an individual or a firm, which the Contractor contracts with for professional service. For the definition of an employee or a contract worker, refer to the Internal Revenue Service Publication 15A. If the Contractor intends to use a sub-contractor(s) and/or consultant(s), the need must be documented, including an estimated total dollar amount, when the bid proposal is submitted to CDCR. During the term of the contract, if there are any subcontracting activities other than those listed on the bid, the Contractor shall attempt to obtain at least three written bids for sub-contracts of $5,000 or more. (Documentation shall include advertisements, bids received, etc., and shall be kept with the Contractor and available upon request or for audit purposes). Contractors shall ensure at least three informal bids are obtained for sub-contracts less than $5,000. An informal bid can be a documented verbal quote. If three informal bids are unattainable, the Contractor shall document why they were unattainable. All subcontracts shall be awarded to the lowest bidder, unless the Contractor obtains prior written approval from the CDCR Section Chief of the Program to award based on specific evaluation criteria. If specific evaluation criteria is utilized, a minimum of 30 percent of the points shall be allocated to cost. Subcontracts of $15,000 or more shall be awarded to the lowest responsible bidder or under an approved evaluation criteria making all efforts to comply with the DVBE participation program. Adequate justification must be submitted to the CDCR Section Chief of the Program if the Contractor selects a consultant/subcontractor based on sole source or specific evaluation criteria. If during an audit it is discovered that the Contractor did not attempt to obtain three written bids or prior CDCR approval for sole source or specific evaluation criteria was not received, consultant/subcontractor fees will be disallowed. 3. Operating Costs - Allowable operating costs are defined as necessary program expenditures, which are based on actual costs substantiated by source documentation. Operating costs can include expendable equipment costs but are exclusive of personal service costs, sub-contractor/consultant service costs and indirect costs. For auditing purposes, the Contractor shall retain source documentation for these expenses such as purchase orders, requisitions, bills of lading, stock received reports, invoices and issued warrants. Only documented direct costs needed to provide services for this contract are allowable and should not be based on the overall organizational expenses. Operating costs can include the following: a. Travel: Only those costs for travel directly related to the project can be included in the budget. All travel costs and requirements shall be in accordance with the Department of Personnel Administration Rules for Excluded Employees, Sections 599.615.1 - 599.638.1 (incorporated by reference). Travel of non- contract staff: Persons who are not included as part of the contract (i.e., corporate officers, Board of Directors, etc.), but are required to travel for Page 4 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets business strictly related to the project, may be reimbursed for travel costs as a direct expense from the travel line item. However, if the purpose of the travel is for the combined purpose of several contracts or corporate business, travel costs will be considered as an indirect cost. Travel costs must be supported by travel expense vouchers, which clearly indicate the purpose, location (to and from destinations), dates, time of travel, rates claimed, mileage and any applicable receipts. Supporting documentation for travel costs claimed must be submitted with the monthly invoices, and be retained for audit purposes in the Contractor's headquarters or at the program service location where services are being provided. Contractors shall use the State's Travel Expense Claim (STD Form 262) to expedite processing of invoices. b. Facility Lease/Rent: Reasonable rent or lease costs applicable to the occupied space(s) for the project may be charged in the budget proposal. Space costs cannot exceed comparable rental space(s) for the surrounding area. If the Contractor occupies space(s), which will only be partially used for this project, the allowable space costs must be based on the percentage of space used for the project. Facility Owned: If the Contractor owns the facility, they may be compensated for the use of buildings through depreciation and current interest expense related to the purchase of the facility. The computation of depreciation will be based on total facility acquisition cost, less land cost. Adequate property records must be maintained and a straight-line method of computing depreciation must be used, in accordance with the Internal Revenue Code. The method of computing depreciation must be consistently applied. If a Contractor-owned facility is fully amortized and fully depreciated, a rental fee equal to Fair Market Value is allowable. c. Maintenance/Repair: Allowable maintenance and repair costs are those that are necessary for the upkeep of the facility and non-expendable equipment. d. Communications: These costs can include, but are not limited to, telephone, messenger services, cellular telephones, pagers, postage costs, internet services, and printing for job postings. e. Utilities: These costs can include, but are not limited to, gas, electricity, water and trash collection. f. Insurance: Reimbursement for required insurance will be based on actual costs incurred. State reimbursement in this area is contingent upon receipt of an actual invoice from the insurance carrier detailing that the costs are specifically for this contract. Additional costs beyond these required levels will be incurred by the Contractor. g. Supplies/Expendable Equipment: Supplies are defined as expendable items which change with use and are limited to supplies necessary to meet the project's scope of work. The cost of items purchased should be comparable to the prevailing price for similar items in the surrounding areas. Title to any expendable supplies and/or equipment purchased or built with State funds as part of the agreement will vest in the State. Expendab/e equipment is defined as having a unit acauisition cost of less than $5.000 per unit. The Contractor must retain a listing of expendable equipment purchases that are considered "theft- sensitive" items, such as cameras, calculators, two-way radios, computer Page 5 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets printers, etc., for audit purposes. Upon termination of the agreement, Contractors are required to leave all expendable equipment and/or unused supplies for use by subsequent contractors or for the State to dispose of according to its needs. The State may: . Request such equipment and/or supplies be returned to the State, with costs incurred by the Contractor for such return being reimbursed by the State. . Authorize the continued use of such equipment and/or supplies for work to be performed under a different agreement or contract. h. Non-Expendable Equipment: Non-expendable equipment shall be identified as movable articles which have all of the following characteristics: " Have a normal useful life of at least one year. " Have a unit acquisition cost of at least $5,000. " Be used to conduct State business. . Purchase: The COCR will not provide fundina to purchase non- expendable equipment for COCR contracts. . Rent/Lease: Contractors will be allowed to renUlease equipment to be used in the performance of the contract. . Depreciation Method: Contractors will be allowed to be compensated for the use of non-expendable equipment through depreciation. The computation of depreciation shall be based on the acquisition cost and the useful life of the non-expendable equipment. The period of useful life established for each class of non-expendable equipment must take into consideration such factors as type of non- expendable equipment, nature of the non-expendable equipment used, historical and usage patterns (refer to the Internal Revenue Service Publication 946). In the absence of clear evidence indicating that the expected consumption of the non-expendable equipment will be significantly greater in the early portions than in the later portions of its useful life, the straight line method of depreciation shall be used. If straight line method is not used, support justification indicating the depreciation method used must be submitted with the bidder's Budget Proposal. If the acquisition of non-expendable equipment is proposed, the bidder shall: . list all proposed non-expendable equipment items on the "Non-Expendable Equipment" form (Exhibit AA); . indicate the method of charge (renUlease or depreciation); and . include Exhibit AA with the bidder's Budget Proposal. The COCR reserves the right to disallow any type of non-expendable equipment not deemed to be needed or applicable to the project. The cost for any disallowed non-expendable equipment will be deducted from the bidder's Budget Proposal. Page 6 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets i. Training and Education: The cost of customarily-provided training for employee development which directly or indirectly benefits contract programs. J. Food Costs: Food products used in the preparation of meals (does not include non-food products, e.g., eating utensils, pots, pans, cleaning detergents, etc.) Whenever feasible, CDCR recommends purchasing food items in bulk at wholesale prices. If Contractor is required to maintain a stock of food items, an inventory control system must be established to ensure appropriate use of items. k. Household Supplies: Household supplies are those items necessary for the operation of the program and include, but are not limited to: linens, kitchen utensils, hygiene items, and cleaning supplies. I. Program Supplies: Program supplies include items which directly benefit the participants of the program. Program supplies include, but are not limited to: newspapers, brochures, magazines, books and other related publications. m. Linen Services: Linen services consist of outside services obtained to provide clean linen for use in the program (common for residential facilities contracts). n. Interest: The Contractor may use allocated funds for interest in such cases where as the State's annual budget is delayed and payments cannot be made to the Contractor, resulting in the inability for continued services unless the Contractor borrows funds. Any other situation for interest payments will be handled on a case-by-case basis and must be approved by the Assistant Director or Deputy Director of the Program. o. Line Item Additions: These are blank areas on the Budget Proposal in which the Contractor has identified additional expense areas that CDCR concurs are necessary to provide contracted services. 4. Indirect Costs: Indirect costs are those costs incurred for a common or joint purpose benefiting more than one objective. The term "indirect costs" as used herein applies to costs incurred in the Contractor's administrative department, as well as those incurred in other departments in carrying out the functions and the objectives of the contract. Indirect cost rates are based on annual direct expenses. An indirect cost rate is onlv applied to a bidder's Budget Proposal if servicing more than one program (e.g., bidder is presently providing a program service to another State agency, local entity or organization). Bidder's that have established indirect cost rates with the Federal Government, may use their approved Federal CAP for State purposes. However, the State may disallow items that are allowable under their Federal plan (see below section on Allowable Indirect Costs). Accounting records shall include documentation of all costs supporting the expenses used to compute the indirect cost rate. Contractors may adjust the indirect cost rate annually during the term of the contract. However, if the adjustment results in an increase over the original indirect cost rate, a revised CAP must be submitted to the CDCR Program Manager and approved by the Fiscal Business Management Audits Unit (FBMAU) prior to receiving the higher rate. It is the responsibility of the CDCR Program Manager to forward a copy of any revised CAP to FBMAU. (Refer to Attachment 1-C, Sample Indirect Cost Allocation Plan Instructions and CAP). Page 7 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets Cost Allocation Plan: The purpose of the Cost Allocation Plan (CAP) is to ensure that there is equitable distribution of indirect costs to all the Contractor's programs or operations. The associated expenses require the bidder to submit documentation, at bid time, in the form of a Cost Allocation Plan (CAP). The FBMAU will review the CAP for accuracy before a contract award is made and may audit the Contractor's CAP thereafter to determine whether the indirect cost rate is supported, whether charges to the indirect cost are allowable, and whether the method of allocation is acceptable (i.e., based on total direct costs). If the indirect cost rate is determined to be inaccurate, the indirect cost rate will be recalculated to reflect the Contractor's supportable rate. In addition, previous payments made by the State in excess of the supported indirect cost rate will be withheld from future payments to the Contractor or claimed during cost recovery in the close out audit. (Refer to Attachment 1-C, Sample Indirect Cost Allocation Plan Instructions and CAP.) 5. Profit or_Service Fee: A one time maximum profit or service fee of up to 5 percent (5%) of the cost of operating the program, exclusive of indirect costs, is allowed per FY. (For Office of Substance Abuse Program contracts, this would include the in- prison portion of the budget onlv.) Profit or Service fee costs will be added to the other proposed costs and become part of the total bid. If a budget amendment occurs due to an increase or decrease in fiscal year funding levels, the Contractor shall adjust the budgeted profit or service fee costs accordingly. At no time shall the profit or service fee percentage be greater than that of the original bid. Any unallowable costs from an audit may result in a recalculation of profit or service fee costs and recovery by CDCR of the difference. Allowable Indirect Costs The following costs are typically considered indirect. However, if these costs can be easily allocated to a final cost objective, they may be identified on the line item budget as a direct cost. A. Accounting: The cost of establishing and maintaining accounting and other information systems required for the management of contracted programs. This includes costs incurred by central service agencies for these purposes. B. Advertising: Advertising media includes newspapers, magazines, radio and television programs, direct mail, trade papers and the like. Allowable advertising costs are those, which are solely for: . Recruitment of personnel required for the contracted program. . Solicitation of bids for the procurement of required goods and services. . Other purposes specifically provided for in the contract. C. Audit Service: The cost of audits necessary for the administration and management of functions related to contracted program. D. Bonding: The cost of fidelity, surety and performance bond premiums. E. Budgeting: Costs incurred for the development, preparation, presentation and execution of budgets. Page 8 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets F. Central Stores: The cost of maintaining and operating a central stores organization for supplies and materials used either directly or indirectly for contracted programs. G. Disbursing Service: The cost of disbursing contract program funds by the Contractor's treasurer or other designated officer. Disbursing services cover the processing of checks or warrants from necessary records of accountability and reconciliation of such records with related cash accounts. H. Electronic Data Processing: The cost of data processing services to contracted program. I. Employee Morale, Health and Welfare Costs: The cost of health or first aid clinics and/or infirmaries, recreational facilities, employees' counseling services, employee information publications and any related expenses incurred in accordance with general State policy. Income generated from any of these activities will be offset against expenses. J. Legal Expenses (Contract Administration): The cost of legal expenses required in the administration of contract programs. NOTE: Three (3) bids are not required for legal services. K. Management Studies: The cost of management studies to improve the effectiveness and efficiency of management for ongoing programs subject to such prior authorization as may be required by the State. L. Meetings and Conferences: Costs when the primary purpose of the meeting is the dissemination of technical information relating to the contract program and are consistent with regular practices followed for the other activities of the Contractor. M. Memberships, Subscriptions and Professional Activities: The cost of membership in civic, business, technical and professional organizations provided the: (a) benefit from the membership is related to the contract program; (b) expenditure is for Contractor's membership; (c) cost of the membership is reasonably related to the value of the services or benefits received; (d) expenditure is not for the membership in an organization which devotes a substantial part of its activities to influencing legislation; and (e) single membership cost does not exceed $100.00. N. Payroll Preparation: The cost of preparing payrolls and maintaining necessary related wage records. O. Permits: Licenses, permits and local government use fees are allowable. P. Personnel Administration: Costs for the recruitment, examination, certification, classification, training, establishment of pay standards and related activities for contract programs. Page 9 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets Q. Printing and Reproduction: Costs for printing and reproduction services necessary for program administration including, but not limited to: forms, reports, manuals, information literature and such services which are in support of CDCR's contracted program. R. Procurement Service: The cost of procurement services including solicitation of bids, preparation and award of contracts and all phases of contract administration in providing goods and services for contract programs. S. Taxes: In general, taxes or payment in lieu of taxes which the Contractor is legally required to pay are allowable. In lieu taxes only relate to contracts with other governmental entities and then only if the governmental entity can show documentation (law or resolution) legally entitling the collection of in lieu tax. In lieu taxes do not apply to private profit and nonprofit organizations. Payment of any type of income tax (federal, State or local) is not allowable. T. Transportation: Costs incurred for freight, cartage, express, postage and other transportation costs relating either to goods purchased, delivered or moved from one location to another. When such allowable transportation costs occur in moving items from one of the Contractor's CDCR contracted facilities to another, the cost shall be charged against the receiving facility's contract. U. Central Management Staff: Costs associated for central management staff that are necessary and/or related to their management or corporation. Unallowable Costs The following are unallowable costs that cannot be considered in the Budget Proposal: A. Bad Debts - Any losses arising from uncollectable accounts and related costs. B. Contributions, Donations and Fundraisers Contributions, Donations, and fundraisers, including any interest earned from fund raising, are allowable in nonprofit programs however, they are not allowable if they supplant program costs. C. Entertainment - Costs of amusements, social activities and incidental such as meals, beverages, lodgings, rentals, transportation and gratuities are not allowable, unless such activity is specifically required as part of the project scope. D. Fines and Penalties - Costs resulting from violations of or failure to comply with Federal, State and local laws and regulations. E. Capital Expenditures - The construction, remodel, renovation, alteration, improvement or repair costs of privately-owned property which would enhance the value of such property to the benefit of the owner unless requested by the State. Page 10 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets F. Legal Expenses (Claims Against the State) - The cost of legal expenses for the prosecution of claims against the State. G. Legislative Lobbying Costs - Costs associated with lobbying activities. H. Bonus/Gift - Costs associated with bonuses and/or other gifts. DISCLAIMER The California Department of Corrections and Rehabilitation acknowledges that there may be other allowable and unallowable project costs which are not listed in the Line Item Budget Guide. All associated project costs incurred and claimed are subject to a fiscal audit. I Fiscal Audits CDCR or any duly authorized representative shall have access and the right to examine, audit, review, excerpt and transcribe any books, documents, papers or records of the Contractor and/or sub-contractor which in the opinion of the State may be related or pertinent to this agreement. Such material for each year of the contract must be retained for a period of three years after the termination of the contract or until an audit is completed by the State and all questions arising there from are resolved. An exception to the three-year status is when a contract audit is in dispute or litigation. In those instances, the time records are to be retained is extended. Audits and reviews may be conducted at any time during the performance of the contract or during the three years following the completion of the contracting period. Actual costs incurred by the Contractor for expenses should be substantiated with appropriate source documentation. It is the Contractors responsibility to ensure that all expenditures claimed, including all subcontractor expenditures, are allowable costs associated in performing the contracted services as specified in the L1BG. If expenditures are found to be unallowable, the Contractor's/subcontractors reimbursements may be recalculated and adjusted accordingly. Noncompliance with financial management guidelines set forth herein, may result in a disallowance of reported costs. A misappropriation of funds shall result in a disallowance of costs. If the Contractor/subcontractor received payments that are determined to be unallowable, in addition to any other remedies the State may have, the State may withhold payments from the Contractor to recover these costs. In addition to any other remedies the State may have, the State reserves the option to collect any unallowable costs from the Contractor in monthly installments. If disallowed or questionable costs are found, a draft report will be issued to the Contractor for review and comment. The Contractor will have 30 days to submit written comments and/or supply additional source documentation to the State for consideration in preparing the final report. The parties hereto mutually agree that the resolution of Page 11 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets any issues pertaining to audits shall be resolved pursuant to Section 22090.7 of COCR's Operations Manual. SAMPLE Project Budget Proposal Attached is a SAMPLE Project Budget Proposal (SAMPLE - Attachment 1) which displays some of the allowable costs for a cost reimbursement budget. The project budget proposal displays five (5) separate budget categories (A, B, C, D and E) and indicates the line items within the budget category as shown below. The COCR Accounting Office will pay invoices based on monies available in the overall category and not by line item amount. A. Total Personnel Costs Total Staff Salaries Total Staff Benefits B. Sub-Contractors/Consultants Costs (identified by Bidder) C. Total Operating Costs 1/ Travel Facility Lease/Rent Maintenance/Repair Communications Utilities Insurance SupplieslExpendable Equipment Non-Expendable Equipment (per Exhibit AA) Household Supplies Food Costs Linen Services Interest Line Item Additions D. Total Indirect Costs E. Profit or Service Fee 1l C. Total Operating Costs Any other associated operating cost applicable to the project is an allowable cost and may be added to the budget proposal as an additional expenditure under Total Operating Costs budget category. Refer to paragraph entitled "Actual and Allowable Costs", Paragraph 3, Operating Costs, subparagraph "n", Line Item Additions Page 12 of 20 L__ LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets I Establishing Monthly Salary Rates A bidder may need to establish different monthly salary rates for personnel positions for a multi-year contract to reflect salary increases for the second and third fiscal year (FY) of the contract, as indicated below: Monthly Salary Rates: $2510 (1st FY) $2625 (2nd FY) $2756 (3rd FY) Considerations for a monthly salary increase should include: II cost of living adjustments (COLAs) II merit salary adjustments II anniversary increase Establishing a "Monthly Salary Range" A bidder may establish a monthly salary range for: II a single staff position II multiple staff positions (with the same position title) By establishing a monthly salary range, this allows personnel to have varying monthly salaries and the established rates shall be inclusive of any salary increases during a fiscal year. For a multi-year contract, a bidder may also establish different monthly salary ranges for each fiscal year. Establishing salary ranges will allow the Contractor to make salary adjustments within the established ranqe during the contract term to accommodate unexpected personnel changes. The range must be realistic and conform to industry standards for each position. The following displays a "Monthly Salary Range" by FY: Sin Ie Staff Position Supervising Caseworker $3125 - $3280 (1st FY) $3280 - $3445 (2nd FY) $3445 - $3615 3rd FY Multi Ie Staff Positions 23 Caseworkers $2550 - $2675 (1st FY) $2675 - $2800 (2nd FY) $2800 - $2940 3rd FY Page 13 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets Invoicing for a Position's Budgeted Monthly Salary Monthly salary increases over 15% of the high range, must have prior amendment approval before making commitment to staff. Position's Time Base (Project Time indicated by % or Hours) The CDCR Program Manager may determine a position's time base when developing a project budget proposal requirements for a competitive bid or may allow a bidder to indicate a position's time base. A position's time base is the project time (indicated by a % or hours) associated in performing contracted services. Project Time by a Percentage Range for Multiple Staff Positions: The percentage of project time may be established by a bidder as a percentage range for multiple staff positions (as shown below) and the percentage range would indicate that one or more staff positions are providing services at a less than full-time basis: 8 Counselors: $2450-$2575 monthly salary@ 50%-100% = $219,150 budget amount To compute the budgeted amount for the 8 Counselors, each position's monthly salary rate and time base vary for the FY: 1 @ $2450 @ 50% = $14,700 1 @ $2450 @ 75% = $22,050 2 @ $2450 @ 100% = $58,800 4 @ $2575 @ 100% = $123,600 A bidder would not need to display this application on the project budget proposal. However for invoicing purposes, the monthly salary paid to each staff person cannot be more than the established monthly salary rates and time base. Project Time by Hours: A bidder may indicate a position's project time base by the "number of hours" dedicated to the project during a fiscal year, however, this application would require the position's salary to be indicated as a "hourly salary rate" in order to compute the position's budgeted amount, as shown below: Supervising Counselor: $18.50 hourly rate @ 2016 total hours = $37,296 For multiple staff positions, the hourly rate may also be established as an hourly range, for example, 8 Counselors @ $15.50 - $17.25 hourly rate @ 11,400 total hours = budget amount (budget amount is based on each position's hourly rate and the number of hours projected for the project). Page 14 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets Invoicing for a Position's Budgeted Hourly Rate Hourly rate increases over 15% of the high range, must have prior amendment approval before making commitment to staff. Personnel Positions CDCR Program Manager determines the "key staff' positions for a project budget proposal. Personnel positions identified in the project budget proposal are direct costs associated in performing the services required in the scope of the project. A bidder may identify other staff positions necessary to fulfill the requirements of the contract. Temporary Help and Overtime Displayed: A bidder may include separate position lines for temporary help and overtime as displayed below and also on the SAMPLE Project Budget Proposal (refer to Attachment 1). Please note that the budgeted salary and project time base may be indicated as "various" since these are unknown factors during the development of a project budget proposal. Overtime may reflect any of the personnel positions listed. %of A. PERSONNEL No. of Monthly Project No. of Positions Salary Time Months Overtime N/A Various Various N/A Temoorarv HelD N/A Various Various N/A Costs Displayed for Budget Categories and Line Items . Budget category budgeted amounts must be displayed in "dollars". . Monthly salary rates must be displayed in "dollars". . Hourly rates may be displayed in dollars and cents. If hourly rates are displayed, the project time base must indicate the total "number of hours" (not indicated by percentage of time) for the fiscal year for calculation purposes. Example: Position @ $25.75 hourly @ 1920 hours = $49,440 budget amount. . Non-expendable equipment items must be listed and the method of charge identified as indicated on the SAMPLE Project Budget Proposal (Attachment 1, Exhibit AA). Page 15 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets Guidance to Contractors Budget Amendment Guidelines Budget Transfer Requests The following pages provide guidance to Contractors in the areas of: . definition of an amendment . when a formal amendment is required . budget transfer request process . use of salary savings . duties performed for a vacant position . salary rate increases . budgeted positions . new budget line items . monthly invoice for contract expenditures . Two Amended Project Budgets for FY 02/03 Refer to SAMPLES: Attachment 1-A (first budget amendment) Attachment 1-B (second budget amendment) I Amendment Defined An amendment is a formal modification to an executed contract. IAmendment Required An amendment is required for any one of the following changes to an executed contract: . change in the scope of work; . change in contract term; . increase or decrease in total funding for anyone fiscal year; . Salary increases over 15% of the budgeted high salary range; . Increase in the total Personnel category greater than 15%; . addition of new budgeted positions that have a significant impact on contracted services or contract deliverables and require duties and/or qualifications to be identified in the scope of the project; . change in budgeted positions duties or qualifications (if duties are, or should be, identified in the scope of the project). Page 16 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets I Budget Transfer Requests A Budget Transfer Request (BTR) is an informal document used by the Contractor to indicate budget transfer costs of existinq project funds without the need to process a formal amendment. The BTR is only used when there is no increase in the funding level or no change in the scope of the project. The BTR enables the Contractor to adjust the line item budget to reflect actual expenditures. The Line Item Budget Guide includes a copy of the BTR form and instructions for completing the form (Attachment 1-D, 3 pages). Additional copies may be requested from the CDCR Program Manager. The following identifies the types of budget transfers that are allowable under the BTR process. If necessary, allowable transfers may be accomplished by transferring funds across the established categories. Transfers either within or across categories, and up to 15% of original bid per fiscal year, will be allowed each fiscal year without submitting an immediate BTR. For audit purposes, the Contractor shall maintain documentation. Each fiscal year, at the end of each quarter, the Contractor will reconcile their budgets with CDCR. The 15% is cumulative for each fiscal year budget. All transfers, which exceed 15%, excluding personnel, must be documented on the BTR form and must be approved by the CDCR Section Chief of the Program. The CDCR Accounting Office will pay invoices based on monies available in the overall category and not by line item amount. Transfers moving funds into the Indirect Cost category require a revised CAP showing the increased indirect cost rate. At no time shall funds be transferred into the Profit or Service Fee category if it exceeds the fee percentage established at bid time. THE FOLLOW/NG ACTIONS REQU/RE AN /MMEO/A TE BTR AND PRIOR APPROVAL FROM COCR'S SECT/ON CH/EF OF THE PROGRAM: . adjusting budgeted costs across the established budget categories greater than 15% of original total for that category. (e.g., operating costs; subcontractor/consultant costs, etc., but excluding Personnel category). . addition of new line item(s) in anyone of the budget categories. . benefit increases for the following documented circumstances onlv: 1) increase in employee health care or workers' compensation costs; 2) increase in social security or unemployment insurance costs; or 3) increase in employee payroll taxes. Documentation showing proof of increased costs must be provided (i.e., tax documents, invoices, etc.); . addition of new budgeted positions that do not have a significant impact on contracted services or contract deliverables and do not require duties and/or qualifications to be identified in the scope of the project; . increase in a budgeted position's time base (e.g., from 50% to 75%, etc.). Page 17 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets Prior written approval for any type of transfer or change not identified above must be requested from the Deputy Director or Assistant Director of the Program. If the request is approved, the Contractor will be given notification to process a BTR or amendment for the requested transfer or change. I BTR Approval Process Cost Reimbursement Budgets: The Contractor shall submit a BTR, once each quarter to reconcile any movement of funds, which did not require the submittal of an immediate BTR. Within 15 business days after the end of each quarter, the Contractor will submit their quarterly BTR to the Program Manager, reflecting budget transfer costs of existino proiect funds, provide justification and supporting documentation (if applicable) for each budget transfer, and submit a revised budget for the affected fiscal years. The justification/documentation memorandum must accompany the BTR and be signed by the Contractor's Director. All BTRs are subject to approval by the Section Chief of the program administering the contract. If no movement of funds occurred during any quarter, the Contractor will indicate this on their last monthly invoice for that quarter. Office of Business Services (OBS) and COCR's Accounting Office Process: CDCR Program Managers must submit a copy of all approved BTRs, along with a revised budget, to the CDCR Accounting Office and OBS. OBS will review all BTRs and revised budgets to ensure that they are in accordance with the guidelines. Any BTR approved that is determined inappropriate will be noted and directed to the Fiscal and Business Management Audits Unit (FBMAU) for audit exceptions. For any BTRs approved that should have been processed as a formal amendment, OBS will notify the CDCR Accounting Office to stop payment until an amendment has been processed and approved. OBS will notify the CDCR Program Manager of any BTR that has been forwarded to the FBMAU or when Accounting has been notified to stop payment. The Accounting Office will not pay invoices exceeding the budgeted category amounts until an approved BTR and revised budget have been received from the CDCR Program Manager. The Accounting Office will only pay invoices for categories that are reflected in the current approved line item budget that have sufficient funds. All BTRs and revised budgets will be maintained in the contract file. BTRs are effective for the entire fiscal year of request. BTRs for the last quarter of any given fiscal year, or upon term end of contract, must be received by CDCR's Accounting Office and OBS (after program review and approval) no later than 90 days after the fiscal year end. BTRs received after 90 days of the fiscal year end must be accompanied by a late justification memorandum approved by the Deputy Director or Assistant Director of the Program. I Use of Salary Savings Salary savings may be transferred from the personnel costs budget category or be utilized within personnel costs. Page 18 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets Monthly Invoices Monthly invoices for salary costs of vacant positions cannot be reimbursed, or claimed, for personnel services not rendered during the "vacancy period", Audit Finding If the use of salary savings is determined as an audit finding, the associated costs claimed will be disallowed. CDCR will recover costs claimed. I Duties Performed for a Vacant Position A vacant position's duties may be temporarily performed: . by an existino position whose time base is currently less than 100% (e.g., time base of 75% increased to 100% and the existing position's budgeted amount would also increase by transferring costs from the vacant position); or . by allowing existing staff to work overtime; or . by employing temporarv help. I Salary Rate Increases Salary increases not included in the budget at the time of bid will only be allowed during the term of the contract under the following conditions: . the COCR Program Manager increases contract responsibilities which in turn results in increased responsibilities of the established budgeted positions; or . the Contractor increases the responsibilities of a budgeted position; or . the project is legislatively approved for cost of living adjustments; or . Contractor experiences documented recruitment or retention problems. Salary increases over 15% of the high range, other than those included in the budget at the time of bid, must have orior amendment approval before making commitments to staff. Page 19 of 20 LINE ITEM BUDGET GUIDE for Cost Reimbursement Budgets I Budgeted Positions . An employee's percentage of time worked may increase (e.g., from 75% to 100%) when performing additional duties. . The number of established budgeted positions may increase (e.g., from 3.5 to 5 full time employee positions) due to an increase in the quantity of services. I New Budget Line Items . New positions, excluding temporary help, may be added to a project budget during the contract amendment process due to a change in the scope of work. A new position's salary range, percentage of time and number of months must be shown on the project budget. Example: Position at 100% time for 7 months with a monthly salary range of $1,800 - $2,000. A new position's salary range must be in line with the established salaries identified in the project budget. . Additional budget line items and associated costs may be added by an amendment to reflect the actual increased costs associated with providing services. . Contractor is allowed to add new line items by utilizing existing fund within each FY budget with out the need to process an amendment. Monthly Invoices Cost Reimbursement Budget - The Contractor may use the COCR's monthly invoice form entitled "Monthly Invoice for Contract Expenditures" or may develop a similar monthly invoice form. If a Contractor elects to develop their own monthly invoice, the monthly invoice must include the same data information and associated costs as indicated on COCR's monthly invoice. The COCR Accounting Office will pay invoices based on monies available in the overall category and not by line item amount. The Line Item Budget Guide includes a copy of COCR's monthly invoice for a cost reimbursement budget, including instructions for completion. Page 20 of 20 'City of San Bernardino - AQreement No. C06 436 State ofCaljflitil,ii .' .' . . ". '. . ~~U~~i~~If~,m~~iY~~~~~,.'i'" . . .'. .' ..(R. . ... 7) . Attachment 1 }?epartment of Corrections an~ RehabUit2,ti!lR '. ;'. . ,Di~isiori ofCoinmuniiY I'"arttierships . '. Re'cidivbmReductloii Grant proiriiins Grantee: Address: Contract #: Claim Period (mm/dd/yy): Claim#: o Monthly Disbursement Claim o Quarterly Disbursement Claim From:~~_ To: _/_/_ Modified F.Y. Budget? Yes 0 No 0 (Modification #. ) Disbursement Allocations FISCAL YEAR BUDGET (FY GRANT COSTS FUNDS CLAIMED THIS PERIOD / ) TOTAL COSTS TO DATE BALANCE APPROVED FOR PAYMENT BY DCP Grantee Personnel Costs Admin Subcontracts Program Subcontracts Facilities Exoense Travel Expendable Supplies Equipment Purchase Equipment Rental Volunteer Expense Reimbursement Indirect Costs Other Grand Total / certifY (as an authorized representative of the granteelcontractor named herein) that this claim is accurate and for actual expenditures legally incurred during the claim period as required under applicable rules and the current grant contract/Public Entity Agreement (PEA). / further agree to maintain on file supporting documentation for all claimed costs for a period of three years beyond the date that the last encumbrance was liquidated and to provide such documentation to CDCR (if requested) as a condition of receiving payment of this claim. PERSON PREPARING REPORT PROJECT FINANCIAL OFFICER PROJECT MANAGER Signature Signature Signature Name Name Name Title Title Title TeleDhone ( ) Telephone ( ) TeleDhone ( ) Date Date Date .,j.;; .... ,'X '.i&;~'"*'~~;;;t!;;!{r.!F'~-ii.l1\vd1>ifit'riStQ1\t'.i:j1l\'l?""'j(.bli'triJ"rijY;RART"mRSJtti>S.tuSJj)..O)lffi\'i.:......j:.~..:'.j. .....'.. :",.,',.,',' ',' '. "':!!,\t,t't+~\,_'.,~~!>\~~~~.:'{.-fl;~~~f,;;,::,~-hir~,,""-',T~"i:<~j~~~~V4M:f,~!1Y"+/l~,!.~.',',.?~,.-p-"''''''",;"''''l~....,,,,..,,;,-, "." ._.".,..,. -'" ,,-, .--,\,- ',,'-' ","",-"",,,-,,,,,:,-"',,'el"; I have reviewed this claim and applicable grant contract agreement. I hereby: ,:,: ,i~,,:::';~;~~~~~~,\~":3~:_~;- APPROVE 0 APPROVE AS MODIFIED 0 DISAPPROVE 0 This claim for payment for the amount listed in the "Approved For Payment by DCP" Grand Total Field. Approved: Date: Division of Community PartnerShips Representative, Title CITY OF SAN BERNARDINO Budget Proposal Agreement Number C06.436 Exhibit B-1 FISCAL YEAR 2006/2007 (February 1, 2007 - June 30, 2007) . %of A. PERSONNEL' No. of Monthly Project No. of Positions Salarv Time Months Total $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ .$ $ $ Total Staff Salaries $ Total Staff Benefits ( 30-35 % of Total Staff Salaries) $ TOTAL PERSONNEL COSTS IAI $0 B. SUB.CONTRACTORS/CONSUL TANTS COSTS (list firms and costs) Case Management $ 15,000 Academic research and production $ 10,000 Coordination of materials and resources $ 6,250 $ , $ TOTAL SUB.CONTRACTORS/CONSULTANTS COSTS IB) $ 31,250 C. OPERATING COSTS Facility Lease/Rent $ Maintenance/Repair $ Communications $ Utilities $ Insurance $ Food $ 1,000 Supplies/Expendable Equipment $ 1,083 Non-Expendable Equipment $ Transportation $ 4,167 Line Item Additions: $ Case Manallement Coordination $ $ $ TOTAL OPERATING COSTS tCI $ 6,250 SUBTOTAL ANNUAL DIRECT EXPENSES IA+B+CI $ 37,500 D. TOTAL INDIRECT COSTS $ 4,167 $ TOTAL BUDGET FOR FISCAL YEAR (2006/2007 I tA+B+C+D) $41,667.00 CITY OF SAN BERNARDINO Budget Proposal Agreement Number C06.436 Exhibit B-1 FISCAL YEAR 2007/2008 (July 1, 2007 - June 30, 2008) %of A. PERSONNEL' No. of Monthly Project No. of Positions Salarv Time Months Total $ $ $ $ $ $ $ $ $ $ . $ $ $ $ $ $ $ $ $ $ $ Total Staff Salaries $ Total Staff Benefits I 30-35 % of Total Staff Salariesl $ TOTAL PERSONNEL COSTS tAl $0 B. SUB_CONTRACTORS/CONSULTANTS COSTS (list firms and costs) Case Management $ 22,000 Academic research and production $ 8,000 Coordination of materials and resources $ 13,750 $ $ TOTAL SUB_CONTRACTORS/CONSULTANTS COSTS IBI $ 43,750 C. OPERATING COSTS - Facility Lease/Rent $ Maintenance/Repair $ Communications $ Utilities $ Insurance $ Food $ 1,500 Supplies/Expendable Equipment $ 1,417 Non-Expendable Equipment $ Transportation $ 5,833 Line Item Additions: $ Case ManaQement Coordination $ - $ $ TOTAL OPERATING COSTS ICI $ 8,750 SUBTOTAL ANNUAL DIRECT EXPENSES IA+B+CI $52,500 D. TOTAL INDIRECT COSTS $5,833 $ TOTAL BUDGET FOR FISCAL YEAR (2006/20071-IA+B+C+D) $58,333.00 Sample Project Budget Proposal ATTACHMENT 1 CONTRACTOR: California Department of Corrections and Rehabilitation (COeR) BUDGET PROPOSAL 2007/2008 July 1, 2007 through June 30, 2008 Exhibit B-2 9;::-~' ;~ P'il.)gram Director/Center Manager $ - $ 12 months $ - SupeNisinQ Counselor $ - $ 12 months $ - Joumey Le\el Counselor $ - $ 12 months $ - Entry Le\el Counselor $ - $ 12 months $ - Job Dewloper $ - $ 12 m ooths $ - Secretary/Admin. Asst. $ - $ 12 months $ - $ - $ 12 months $ - $ - $ 12 months $ - $ -$ 12 months $ - $ - $ 12 months $ - $ - $ $ - $ - $ $ - $ -$ $ - TEMPORARY HELP N1A Various Various Various N/A $ OVERTIME N1A Various Various Various N/A $ Total Staff Salaries $ - Average Total Staff Benefits as a percentage $ - ~B-CONTRACTORS/CONSULTANTS COSTS (list firms and ~~ $ - enter amt) $ - (enter amt) $ - enter amt $ - (enter amt $ - (enter amt) $ - ..< ..... ..f..- O'rAliSUB~ C 1 ..Jlll8.TS'18f> $ - C. OPERATING COSTS Facility Lease/Rent $ Food Costs $ Communications $ Utilities $ Trawl $ Training $ Insurance $ Office, Program & Household Supplies $ Non-Expendable Equipment (per Exhibit 83) $ Client Needs $ Line Item Additions: $ $ $ $ $ $ $ lit" .' .- '~f! ~ .,.' $ - :,:,:,,,,t-\,,~~ - ..X/C,;,;, , $ - "''^,,, D. TOTAL INDIRECT COSTS of Subtotal Annual Direct Expenses $ - E. PROFIT/SERVICE FEE of Subtotal Annual Direct Expenses $ - "';XX';."" , ( FOR'fJ8 , .:~" $~ Page 1 Contractors Name City of San Bernardino Exhibit AA C06.436 NON-EXPENDABLE EQUIPMENT List all types of non-expendable equipment to be utilized with this project. Budgeted costs for non-expendable equipment reflect payment made per month during the term of the contract. Attach additional sheets if necessary. 3 computers #56388 #32511 #70233 laserwriter (printer) #8390482 facsimile #4245 photocopier #1965912 Lease Cost: .' $125.00 per month, . {~26X36mo~,~'~i; Rent Cost: $ per month Lease Cost: $ per month .".:''''.!:':''';'' ",::', R~nt Co~t: .$35.00P8rmo~ . ' 1$35 X 3tn1onths =$121lO} " 'eas~"'co~t:'~' .;;~; ; . 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C:::C c.. 8. ro ~ ~ x"'O en.- ,,~ 1ii:21;; c= uenc..OoQ) C:(I)X~c..>CI) ai o Attachment 1-C Page 1 of 4 DIRECT AND INDIRECT COSTS INTRODUCTION In an organization with multiple programs and contracts, all costs can be divided into two different types: direct and indirect. Direct costs are those, which are clearly and easily attributable to a specific program. Adding up most of your direct costs is easy. If you have a child and family counseling program, for instance, the salaries and benefits paid to your counselors are direct expenses. No one will argue with that allocation decision. But what about rent and utility costs for the counseling office? If the space is used solely for counseling - not shared with another program - you probably have a good argument that these costs are direct expenses. You can calculate the square footage of the counseling offices, divide that number by the total square footage of all the office space needed by your organization - space used by management, accounting and other programs - and get a percentage of your total rent and utility costs that can be allocated to the direct cost of the counseling program. But if the space is shared with other programs or used for other functions some of the time, a straight percentage may not be possible to derive. SO WHAT ARE INDIRECT COSTS? Sometimes called overhead, indirect expenses are general costs that cannot be easily assigned or allocated to a program based on some formula or timekeeping effort. Simply put, if you add up all the expenses that can be directly attributed to programs and subtract that figure from your total expenses, what you have left over are your indirect expenses. If the organization provides only one program, it's a simple matter. All your indirect costs will be allocated to that program. But if you provide more than one service, you'll need to determine how to assign indirect expenses to each program. In other words, you'll need to calculate your indirect cost rate. HOW DO I CALCULATE AN INDIRECT COST RATE? The indirect cost rate is calculated by adding up your total direct program costs and dividing that figure by your total organization's direct costs. Multiply this figure against total indirect costs to arrive at the program's share of indirect costs. Attachment 1-C Page 2 of 4 Another way to illustrate this is through the following algebraic formula (Direct Program CostsfTotal Organizational Direct Costs X Total Indirect Costs = Program's Share of Indirect Costs). There are several measures used to determine the proportion of indirect costs to allocate/charge/apply to each program. Two of the more familiar and generally accepted methods for developing the cost allocation are: 1. The ratio of the program's or contract's total direct costs to the contractor's organization-wide total direct costs (Total Direct Proqram CostsfTotal Direct Orqanizational Costs X 100 = Percentage of Indirect Costs to Allocate to the Program). 2. The ratio of the program's or contract's direct charged salaries and wages to the Contractor's organization-wide salaries and wages, excluding the administrative salaries and wages (Total Direct Proqram Salaries and WagesfTotal Direct Orqanizational Salaries and Wages X 100 = Percentage of Indirect Costs to Allocate to the Program). This can be best explained through an example of an Indirect Cost Allocation Plan submitted by a contractor with multiple programs (refer to Attachment 1-C). The contractor may develop an allocation plan based on another operational or statistical basis. However, the method must be approved by the California Department of Corrections and Rehabilitation (CDCR), Policy and Evaluation Division (PED), Fiscal and Business Management Audits Unit (FBMAU). WHY IS THIS IMPORTANT? It is to the contractor's advantage, of course, to allocate every expense possible as a direct program cost. Although indirect costs are necessary and unavoidable, many contractors are reluctant to include indirect costs in their budget cost allocation plans. At all times, the contractor must be able to explain their rationale for assigning any indirect expenses to a program or contract. FEDERAL INDIRECT COST Bidder's that have established indirect cost rates with the Federal Government, may use their approved Federal CAP for State purposes. However, the State may disallow items that are allowable under their Federal plan. Attachment 1-C Page 3 of 4 EXPLANATION OF ATTACHMENT 1-C SAMPLE INDIRECT COST ALLOCATION PLAN FOR MULTIPLE PROGRAMS In this example, the contractor has contracts with five separate programs. The contractor operates two state programs, one of which are the COCR contract, two county programs and a federal program. $10,000,000 in direct costs can be directly attributed to the five programs. An additional $800,000 of direct costs can not be directly attributed to any specific program; however, the costs are necessary for the general operation and activities of the organization. In other words, $800,000 of direct costs are indirectly related to the operation of the five programs; hence, the term "indirect costs." How should the $800,000 be allocated? One generally accepted method for allocating indirect costs is to determine the ratio of the programs or contract's total direct costs to the contractor's organization-wide total of direct costs. The $800,000 would be allocated as follows for the 5 programs: 1. COCR Contract: 2. State Program 3. County Program 4. County Program 5. Federal Program (1,600,000/10,000,000' $800,000) = (.16' $800,000) = $128,000 (1,800,000/10,000,000' $800,000) = (.18' $800,000) = $144,000 (2,000,000/10,000,000' $800,000) = (.20' $800,000) = $160,000 (2,400,000/10,000,000' $800,000) = (.24' $800,000) = $192,000 (2.200.000/10,000,000' $800,000) = (.22' $800,000) = $176.000 Totals $10000000 100% $800 000 The above example shows the COCR contract being charged $128,000 (16 percent) of the total $800,000 in indirect costs, based upon the direct cost allocation method. The contractor may develop an indirect cost allocation plan based upon another operational or statistical basis. Another common method for developing the indirect cost allocation ratio is to take the ratio of the programs or contract's direct salaries and wages to the contractors total direct organization wide salaries and wages. Total direct salaries and wages for the five programs equals $5,000,000. The $800,000 of indirect costs would be allocated as follows for the 5 programs using the direct salaries and wages allocation method: 1. COCR Contract: 2. State Program 3. County Program 4. County Program 5. Federal Program ( 900,000/5,000,000' $800,000) = (.18' $800,000) = $144,000 ( 950,000/5,000,000' $800,000) = (.19' $800,000) = $152,000 (1,000,000/5,000,000' $800,000) = (.20' $800,000) = $160,000 (1,100,000/5,000,000' $800,000) = (.22' $800,000) = $176,000 (1.050.000/5,000,000' $800,000) = (,l1 . $800,000) = $168.000 Totals $5 000 000 100% $800 000 The above example shows the COCR contract being charged $144,000 (18 percent) of the total $800,000 in indirect costs, based upon the direct salaries and wages allocation method. o , ~ "E'<t w- E 0 .c'<t o W ~ g <(0. 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U> -;;; '" '" ~ w o " tS ~ is " 5 0> C ;;; 2- Attachment 1-D (Page 1 of 2) Instructions for Completing the Budget Transfer Request (BTR) Form (Cost Reimbursement Budaetsl IAREA11 Contractor completes all requested information: . Name of COCR Program administering the contract (i.e., OSAP, P&CSO, OCR etc.) . Mailing address (City, State and Zip) . Name and phone number of Program Manager . Contractor's name (as written on Contract) . Contractor's contact person and phone number . Contractor's address (City, State and Zip) . Contract and BTR number (The BTR number will be assigned by the COCR Program Manager approving the BTR. BTR numbers will be assigned in sequential order, regardless of fiscal year. For example, if the contract is two years old and this is the third BTR request, then the BTR is assigned as #3.) . Identify which fiscal years are affected by the proposed BTR IAREA ~ Contractor indicates type of budget transfer. Check one or more boxes as appropriate. iAREA 31 COCR's Section Chief of the program administering the contract approves or disapproves BTR. Printed name, signature, date and phone number of approving authority are required. ALL BTRs MUST BE ACCOMPANIED BY JUSTIFICATIONIDOCUMENTATION AND A REVISED LINE ITEM BUDGET FOR EACH FISCAL YEAR AFFECTED BY THE BTR. REVISED BUDGETS MUST BE SUBMITTED IN THE FORMAT AS DISPLAYED ON PAGE 3 OF ATTACHMENT 1-0. A blank BTR is also attached for use by Contractors. IQI$TRIBUTION! The Section Chief of the program will forward copies of the approved BTRs to the CDCR Accounting Office and the Office of Business Services (OBS). October 20, 2006 BUDGET TRANSFER REQUEST (Cost DATE SUBMITTED (from Contractor) Reimbursement Budgets) Office of Business Services (OBS) TO: FROM: (CONTRACTOR'S OFFICIAL NAME AS WRITTEN ON CONTRACT) California Department of Corrections and Rehabilitation coeR DIVISION OR PROGRAM (MANAGING CONTRACT) PREPARED BY (PLEASE PRINT NAME LEGISL Y TELEPHONE NUMBER ( ) MAILING ADDRESS MAILING ADDRESS CITY, STATE, ZIP CODe 1 CITY, STATE, ZIP CODe ATTENTION: (PROJECTfPROGRAM MANAGER)! PHONE NUMBER CONTRACT #I AMENDMENT #/BTR # FISCAL YEAR(S) (PLEASE PRINT NAME LEG/SL y) BUDGET TRANSFER REQUEST (BTR) PROCESS A Budget Transfer Request (BTR) is an informal document used by the Contractor to indicate allowable budget transfers of existing project funds without the need to process a formal amendment. The BTR is only used when there is no increase in the total funding level. The BTR enables the Contractor to adjust the line item budget to reflect actual expenditures. The Contractor shall submit a BTR to the CDCR Program Manager reflecting budget transfer costs of exlstina oroiect funds, provide justification/documentation for each budget transfer, and submit a revised budget for the affected fiscal years. The justification/documentation must accompany the BTR and be signed by the Contractor's Director. Budget Transfer Requests must be approved by the Section Chief of the program administering the contract. CDCR Program Managers must submit a copy of all approved BTRs, along with a revised budget, to the CDCR Accounting Office and OBS. The Accounting Office will not pay invoices exceeding the budgeted category amounts until an approved BTR and revised budget have been received from the CDCR Program Manager. The Accounting Office will only pay invoices for categories that are reflected in the current aooroved line item budaet that have sufficient funds. TYPE OF BUDGET TRANSFER REQUEST (CHECK ONE OR MORE BOXES AS APPROPRIATE) Contractor indicates type of budget transfer request: THE FOLLOWING ACTIONS REQUIRE AN IMMED/ATE 8TR AND PRIOR APPROVAL FROM CDCR'S SECTION CHIEF OF THE PROGRAM: . adjusting budgeted costs across the established budget categories greater than 15% of original total for that categ[Z]g., operating costs; subcontractor/consultant costs, etc., but excluding Personnel category.) 2 . addition of new line item(s) in anyone of the budget categories. . benefit increases for the following documented circumstances on/v: 1) increase in employee health care or workers' compensation costs; 2) increase in social security or unemployment insurance costs; or 3) increase in employee payroll taxes. Documentation showing proof of increased costs must be provided (i.e., tax documents, invoices, etc.); . addition of new budgeted positions that do not have a significant impact on contracted services or contract deliverables and do not require duties and/or qualifications to be identified in the scope of the project; . increase in a budgeted position's time base (e.g., from 50% to 75%, etc.). Prior written approval for any type of transfer or change not identified above must be requested from the Deputy Director or Assistant Director of the Program. If the request is approved, the Contractor will be given notification to process a BTR or amendment for the reauested transfer or chanae. SECTION CHIEF OF PROGRAM APPROVAUCERTIFICATION o Approved I hereby certify that this BTR is in compliance with Line Item Budget Guide policies and that the transfer of funds is consistent with the services reauested in this contract. o Disapproved Date 3 - Signature Printed Name I Phone Number REVISED LINE ITEM BUDGET Attach a revised line-item budget. All pages of the revised budget must include the contract and BTR number. If subseauent fiscal vear budaets are affected, one must be completed for each year. DISTRIBUTION: [ ] Program I Contractor [] OBS, Contract Analyst (Rev. October 20, 2006) [ ] Accounting (original) M .. 0 ;t- M Gl.l! Gl z(!. '" .. ~ lD ~ 'M <(", C - . ._ lD , .co '" ~ :E 0 0 '" .... " Z I>: '" Z W ....a: ..,. w a: 0.... 0 ~ .... j;", III 0 J: III '" M 0 <Ft ~ I>: w SI!: -' I>. ~ III ~ M <( III '" I>: ~ '" SI!: ..,. 0 ~ III 0 c '" '" '" <Ft I>: ....1>: 0.... U III ~ - '" Gl_ ::::J-m '- tr",.. .!"'C...C"') ~" c:: ~IllGlO Gl 00 'ti;eQ)~ CQ)UN l! E'- g ....Glc:'" .. 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BUDGET TRANSFER REQUEST (Cost DATE SUBMITTED (from Contractor) Reimbursement Budgets) Office of Business Services (OBS) TO: FROM: (CONTRACTOR'S OFFICIAL NAME AS WRITTEN ON CONTRACT) California Department of Corrections and Rehabilitation coeR DIVISION OR PROGRAM (MANAGING CONTRACT) PREPARED BY (PLEASE PRINT NAME LEGISL Y TELEPHONE NUMBER ( ) MAILING ADDRESS MAILING ADDRESS CITY, STATE, ZIP CODE CITY, STATE, ZIP CODE ATTENTION: (PROJECT/PROGRAM MANAGER}I PHONE NUMBER CONTRACT #I AMENDMENT #/STR # FISCAL YEAR(S) {PLEASE PRINT NAME LEGISL Yl BUDGET TRANSFER REQUEST (BTR) PROCESS A Budget Transfer Request (BTR) is an informai document used by the Contractor to indicate allowable budget transfers of existing project funds without the need to process a formal amendment. The BTR is only used when there is no increase in the total funding level. The BTR enables the Contractor to adjust the line item budget to reflect actual expenditures. The Contractor shall submit a BTR to the CDCR Program Manager reflecting budget transfer costs of existina proiect funds, provide justification/documentation for each budget transfer, and submit a revised budget for the affected fiscal years. The justification/documentation must accompany the BTR and be signed by the Contractor's Director. Budget Transfer Requests must be approved by the Section Chief of the program administering the contract. CDCR Program Managers must submit a copy of all approved BTRs, along with a revised budget, to the CDCR Accounting Office and OBS. The Accounting Office will not pay invoices exceeding the budgeted category amounts until an approved BTR and revised budget have been received from the CDCR Program Manager. The Accounting Office will only pay invoices for cateoories that are reflected in the current approved line item budaet that have sufficient funds. TYPE OF BUDGET TRANSFER REQUEST (CHECK ONE OR MORE BOXES AS APPROPRIATE) Contractor indicates type of budget transfer request: THE FOLLOWING ACTIONS REQUIRE AN /MMEDIATE BTR AND PRIOR APPROVAL FROM CDCR'S SECTION CHIEF OF THE PROGRAM: . adjusting budgeted costs across the established budget categories greater than 15% of original total for that category. ; e.g., operating costs; subcontractor/consultant costs, etc., but excluding Personnel category.) . addition of new line item(s) in anyone of the budget categories. . benefit increases for the following documented circumstances onlv: 1) increase in employee health care or workers' compensation costs; 2) increase in social security or unemployment insurance costs; or 3) increase in employee payroll taxes. Documentation showing proof of increased costs must be provided (i.e., tax documents, invoices, etc.); . addition of new budgeted positions that do not have a significant impact on contracted services or contract deliverables and do not require duties and/or qualifications to be identified in the scope of the project; . increase in a budgeted position's time base (e.g., from 50% to 75%, etc.). Prior written approval for any type of transfer or change not identified above must be requested from the Deputy Director or Assistant Director of the Program. If the request is approved, the Contractor will be given notification to process a BTR or amendment for the requested transfer or change. SECTION CHIEF OF PROGRAM APPROVAL/CERTIFICATION o Approved I hereby certify that this BTR is in compliance with Line Item Budget Guide poiicies and that the transfer of funds is consistent with the services reauested in this contract. o Disapproved Date Signature Printed Name I Phone Number REVISED LINE ITEM BUDGET Attach a revised line-item budget. All pages of the revised budget must include the contract and BTR number. If subseauent fiscal vear budoets are affected, one must be comoleted for each vear. DISTRIBUTION: [ ] Program / Contractor [] OBS, Contract Analyst [ ] Accounting (original) ~:I z{!. _CD .M <~ ~ui .co 0 ~o:: :EO r " z 01- w 0:: ~ m I- -~ m 0:: 1-0:: OI- l! m M Ui ~Z'... 0"8,$ I ~-gc ~ m "0 ON .!! - CD-I III " " C CD._ 0 (!E~N ..... 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ZO_,., z 0_ .....~:::eO ~ . lL -' I- < W I-::_Cl OUlWC I-I-W:J m(/)LLm iilOw-, 00< 1->1- 00::0 WWI- !!;;Ul C ~ z 0 -I- -'- <lL 1-0 00:: I-n. iii 0 ci u.i . I !'i ~ ., c:: ~ Cll is ]j o c:: " .c ~ o ~ '" & c:: ., 1i Qj c:: c:: o ~ ~ " '" " ~ <0 o o N o N ~ Q) .0 o o o ~ es I MON:rHL Y INVOICE FOR CONTRACT EXPENDITURES INVOICE NUMBER: (COST REIMBURSEMENT BUDGETS) TO: PREPARED BY (NAME) TELEPHONE NUMBER California Deoartment of Corrections and Rehabilitation ( ) coeR DIVISION OR PROGRAM CONTRACTOR'S OFFICIAL NAME MAILING ADDRESS MAILING ADDRESS CITY, STATE, ZIP CODE CITY, STATE, ZIP CODE ATTENTION CONTRACT NUMBER AMENDMENT NUMBER HEADQUARTERS ACCOUNTING SERVICES SECTION In accordance with the above-referenced contract, payment is requested for satisfactory services provided AMOUNT DUE in the MONTH of ,20 $ PROJECT YEAR TO DATE CURRENT BALANCE PERSONNEL COSTS (attach additional sheets ir necessary) BUDGET EXPENDITURES MONTH AVAILABLE STAFF POSITIONS & BUDGETED MONTHLY SALARIES (EXCLUOE CURRENT EXPENDITURES Emplovee's NAME, Position TITLE and TIME Base (% or Hoursl MONTH) $ $ $ $ $ $ TOTAL STAFF SALARY = $ $ STAFF BENEFITS % of Total Staff Salaries as stated in the budget $ $ TOTAL PERSONNEL COSTS = $ $ SUB-CONTRACTORS/CONSULTANTS COSTS I I $ $ OPERA liNG COSTS (attach additional sheets if necessary) *Travel $ $ Facility Lease/Rent $ $ Maintenance/Repair $ $ Communications $ $ Utilities $ $ Insurance $ $ Supplies/Expendable Equipment $ $ Non-Expendable Equipment (per Exhibit AA) $ $ Line Item Additions: $ $ $ $ $ $ TOTAL OPERATING COSTS = $ $ INDIRECT COSTS % of $ $ $ PROFIT or SERVICE FEE % of$ $ $ TOTAL COSTS = $ $ FOR ACCOUNTING OFFICE USE ONLY LESS ADVANCE PAYMENT (if applicable, advance $ oavment must be deducted as set forth in the contract) - AMOUNT OF PAYMENT DUE (must match "Amount Due" above) $ The undersi oed certi ,b review and verification of the attached documentation, satisfacto service has been rovided in accordance with the above-referenced contract. SIGNATURE AND PRINTED NAME OF CONTRACTOR'S FISCAL OFFICER OATE SIGNED SIGNATURE AND PRINTED NAME OF COeR PROGRAM MANAGER TITLE DATE SIGNED * SUPPORTING DOCUMENTATION REQUIRED WITH SUBMITTAL OF MONTHLY INVOICE [ J CHECK THIS BOX ON THE LAST MONTHLY INVOICE OF THE QUARTER WHEN THERE HAS BEEN NO MOVEMENT OF FUNDS FOR THE QUARTER. MONTHLY INVOICE FOR CONTRACT EXPENDITURES (COST REIMBURSEMENT BUDGETS) INSTRUCTIONS CONTRACTOR COMPLETES: INVOICE NUMBER: Enter an invoice number (for tracking purposes). TO: Enter the COeR Division or Program administering the contract. Mail to the address identified in the contract's General Terms and Conditions, Attention: Accounting Department. PREPARED BY: Enter the name and telephone number of the individual responsible for preparing the monthly invoice. Individual identified will serve as the contact person and should be able to answer questions regarding the monthly invoice. CONTRACTOR'S OFFICIAL NAME AND MAILING ADDRESS: Enter the business name and mailing address as stated on the contract documents. If mailing address changes during the course of the contract, Contractor will be responsible for notifying COeR of the new address. CONTRACT NUMBER AND AMENDMENT NUMBER: Note on each monthly invoice submitted. WHEN SERVICES PROVIDED AND AMOUNT DUE: Identify the month, year and the amount of payment due. 1'0 ect Bu For the following budgeted costs, do not send supporting documentation with the monthly invoice, but retain files in the Contractor's headquarters office based in California or at the program service location where services are being provided. EXCEPTION: Required to submit supporting documentation for "Travel Costs" and" Sub-ContractorslConsunant Costs." PERSONNEL COSTS: List the name, position title, time base percentage (or hours worked). Each approved position must be listed whether staffed or vacant. To justify the use of salary savings, the Contractor must obtain prior approval through the Budget Transfer Request process. Monthly invoice for salary costs of vacant positions cannot be reimbursed, or claimed for personnel services not rendered during the vacancy period. STAFF BENEFITS: Enter the percentage of Total Staff Salaries as stated in the budget. If a percentage range was established (due to some staff benefit premiums being paid on a quarterly or annual basis), the monthly amount paid can not exceed the established high range. SUB-CONTRACTORlCONSUL TANT COSTS: Enter the associated costs. Submit supporting documentation for all expense reimbursements of associated costs claimed with the monthly invoice and retain a copy at the Contractor's headquarters or at the program service location where services are being provided for audit purposes. OPERATING COSTS: TRAVEL _ Enter the costs directly related to travel for the project. Travel costs must be supported by travel expense vouchers, purpose of travel, location (to and from destinations), dates, time of travel, rates claimed, mileage and any applicable receipts. Submit supporting documentation for travel costs claimed with the monthly invoices and retain a copy at the Contractor's headquarters or at the program service location where services are being provided for audit purposes. FACILITY LEASE/RENT - Enter the monthly lease/rent costs applicable to the occupied space for the project. If Contractor occupies space(s) which will only be partially used by the COCR project, the allowable space costs must be based on the percentage of space used for the project. If the facility is owned by the Contractor, the Contractor may be compensated for the use of buildings through depreciation and current interest expense related to the purchase of the facility. The computation of depreciation will be based on total facility acquisition cost, less land cost. Adequate property records must be maintained and a straight line method of computing depreciation must be used, in accordance with Internal Revenue Code. The method of computing depreciation must be consistently applied. MAINTENANCE/REPAIR. Enter the costs that reflect expenses for the upkeep of the facility and/or the repair of non.expendable equipment. COMMUNICATIONS _ Enter the costs associated for the operation of the program. Costs include, but are not limited to, telephone service, postage costs and messenger service. UTILITIES _ Enter the costs associated for the operation of the program. Costs include, but are not limited to, gas, electricity, water and trash collection. INSURANCE. Enter the costs associated in maintaining insurance coverage for the operation of the program. SUPPLIES/EXPENDABLE EQUIPMENT - Enter the purchase price of office supplies and/or expendable equipment (acquisition cost of less than $5000 per unit) necessary to meet the program's required services. NON-EXPENDABLE EQUIPMENT - Enter the costs as indicated in the approved budget for the method of charge (renVlease or depreciation). LINE ITEM ADDITIONS ~ Enter those costs deemed necessary to provide contracted services as indicated in the approved budget. INDIRECT COSTS _ Will be allowed to the extent specified in the approved contract budget. Enter the associated costs and list the indirect cost rate (percentage of costs) which is based on the annual direct expenses. PROFIT or SERVICE FEE _ Will be allowed to the extent specified in the approved contract budget. Enter the profit or service fee rate (percentage of costs), which is based on the cost of operating the program, exclusive of indirect costs. Enter the associated total costs. FISCAL OFFICER'S SIGNATURE _ Contractor's fiscal officer must review and certify with their signature that expenditures claimed are in accordance with the provisions identified in the contract budget. Fiscal officer must print and sign their name and date each monthly invoice. Send the signed original and two (2) copies to accounting. IF NO BUDGET CHANGES OCCURRED DURING THE QUARTER - If there were no movement of funds during the quarter, including amendments, the Contractor will indicate this on their last monthly invoice for that quarter by checking the box at the bottom of the invoice. If there were movement of funds, leave blank. (Check only for last monthly invoice of the quarter). CDCR STAFF COMPLETES: The CDCR Program Manager or their authorized designee must review Contractor's monthly invoice and certify with their signature that based upon their review and verification of the attached documentation, satisfactory service as been provided in accordance with the provisions of the contract budget. Individual authorizing the payment of the monthly invoices must sign, enter their title and date of signature. Forward to accounting the approved invoice and retain support documentation for your project records. The COCR Accounting Office will pay invoices based on monies available in the overall category and not by line item amount. CITY OF SAN BERNARDINO Budget Proposal Agreement Number C06.436 Exhibit B-2 FISCAL YEAR 2006/2007 (February 1, 2007 - June 30, 2007) %of A. PERSONNEL' No. of Monthly Project No. of Positions Salarv Time Months Total $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ Total Staff Salaries $ Total Staff Benefits / 30-35 % of Total Staff Salaries) $ TOTAL PERSONNEL COSTS tAl $0 B. SUB-CONTRACTORS/CONSULTANTS COSTS (list firms and costs) Case Management $ 15,000 Academic research and production $ 10,000 Coordination of materials and resources $ 6,250 $ $ TOTAL SUB-CONTRACTORS/CONSULTANTS COSTS (Bl $ 31,250 C. OPERATING COSTS Facility Lease/Rent $ Maintenance/Repair $ Communications $ Utilities $ Insurance $ Food $ 1,000 Supplies/Expendable Equipment $ 1,083 Non-Expendable Equipment $ Transportation $ 4,167 Line Item Additions: $ Case Manaaement Coordination $ $ $ TOTAL OPERATING COSTS (C) $ 6,250 SUBTOTAL ANNUAL DIRECT EXPENSES IA+B+CI $ 37,500 D. TOTAL INDIRECT COSTS $ 4,167 $ TOTAL BUDGET FOR FISCAL YEAR (2006/2007 ) (A+B+C+D) $41,667.00 F' CITY OF SAN BERNARDINO Budget Proposal Agreement Number C06.436 Exhibit B-2 FISCAL YEAR 2007/2008 (July 1,2007 - June 30, 2008) %of A. PERSONNEL' No. of Monthly Project No. of Positions Salarv Time Months Total $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ Total Staff Salaries $ Total Staff Benefits I 30-35 % of Total Staff Salariesl $ TOTAL PERSONNEL COSTS (A) $0 B. SUB-CONTRACTORS/CONSULTANTS COSTS (list firms and costs) Case Management $ 22,000 Academic research and production $ 8,000 Coordination of materials and resources $ 13,750 $ $ TOTAL SUB-CONTRACTORS/CONSULTANTS COSTS IBI $ 43,750 C. OPERATING COSTS Facility Lease/Rent $ Maintenance/Repair $ Communications $ Utilities $ Insurance $ Food $ 1 ,500 Supplies/Expendable Equipment $ 1,417 Non-Expendable Equipment $ Transportation $ 5,833 Line Item Additions: $ Case ManaQement Coordination $ $ $ TOTAL OPERATING COSTS ICI $ 8,750 SUBTOTAL ANNUAL DIRECT EXPENSES (A+B+C) $52,500 D. TOTAL INDIRECT COSTS $5,833 $ TOTAL BUDGET FOR FISCAL YEAR (2006/2007) (A+B+C+D) $58,333.00 CITY OF SAN BERNARDINO California Department of Corrections and Rehabilitation (CDCR) SPECIAL TERMS AND CONDITIONS FOR PUBLIC ENTITY AGREEMENTS Agreement No. C06.436 Exhibit D 1. Contract Disputes with Public Entities (Supersedes provision number 6, Disputes, of Exhibit C) As a condition precedent to Contractor's right to institute and pursue litigation or other legally available dispute resolution process, if any, Contractor agrees that all disputes and/or claims of Contractor arising under or related to the Agreement shall be resolved pursuant to the following processes. Contractor's failure to comply with said dispute resolution procedures shall constitute a failure to exhaust administrative remedies. Pending the final resolution of any such disputes and/or claims, Contractor agrees to diligently proceed with the performance of the Agreement, including the delivering of goods or providing of services. Contractor's failure to diligently proceed shall constitute a material breach of the Agreement. The Agreement shall be interpreted, administered, and enforced according to the laws of the State of California. The parties agree that any suit brought hereunder shall have venue in Sacramento, California, the parties hereby waiving any claim or defense that such venue is not convenient or proper. A county, city, district or other local public body, state board or state commission, another state or federal agency, or joint-powers authority shall resolve a dispute with CDCR, if any, through a meeting of representatives from the entities affected. If the dispute cannot be resolved to the satisfaction of the parties, each entity may thereafter pursue its right to institute litigation or other dispute resolution process, if any, available under the laws of the State of California. 2. Confidentiality of Data All financial, statistical, personal, technical and other data and information relating to State's operation, which are designated confidential by the State and made available to carry out this Agreement, or which become available to the Contractor in order to carry out this Agreement, shall be protected by the Contractor from unauthorized use and disclosure. If the methods and procedures employed by the Contractor for the protection of the Contractor's data and information are deemed by the State to be adequate for the protection of the State's confidential information, such methods and procedures may be used with the written consent of the State. The Contractor shall not be required under the provisions of this paragraph to keep confidential any data already rightfully in the Contractor's possession that is independently developed by the Contractor outside the scope of the Agreement or is rightfully obtained from third parties. No reports, information, inventions, improvements, discoveries, or data obtained, repaired, assembled, or developed by the Contractor pursuant to this Agreement shall be released, published, or made available to any person (except to the State) without prior written approval from the State. Contractor by acceptance of this Agreement is subject to all of the requirements of California Government Code Section 11019.9 and California Civil Code Sections 1798, et seq., regarding the collection, maintenance, and disclosure of personal and confidential information about individuals. CITY OF SAN BERNARDINO California Department of Corrections and Rehabilitation (CDCR) SPECIAL TERMS AND CONDITIONS FOR PUBLIC ENTITY AGREEMENTS Agreement No. C06.436 Exhibit 0 3. Workers' Compensation Contractor hereby represents and warrants that Contractor is currently and shall, for the duration of this agreement, carry workers' compensation insurance, at Contractor's expense, or that it is self-insured through a policy acceptable to the CDCR, for all of its employees who will be engaged in the performance of this agreement. Such coverage will be a condition of CDCR's obligation to pay for services provided under this agreement. Prior to approval of this agreement and before performing any work, Contractor shall furnish to the State evidence of valid workers' compensation coverage. Contractor agrees that the workers' compensation insurance shall be in effect at all times during the term of this agreement. In the event said insurance coverage expires or is canceled at any time during the term of this agreement, Contractor agrees to give at least thirty (30) days prior notice to CDCR before said expiration date or immediate notice of cancellation. Evidence of coverage shall not be for less than the remainder of the term of the agreement or for a period of not less than one year. The State reserves the right to verify the Contractor's evidence of coverage. In the event the Contractor fails to keep workers' compensation insurance coverage in effect at all times, the State reserves the right to terminate this agreement and seek any other remedies afforded by the laws of this State. Contractor also agrees to indemnify, defend and save harmless the State, its officers, agents and employees from any and all of Contractor's workers' compensation claims and losses by Contractor's. officers, agents and employees related to the performance of this agreement. 4. Liability for Loss and Damaaes Any damages by the Contractor to the State's facility including equipment, furniture, materials or other State property, will be repaired or replaced by the Contractor to the satisfaction of the State at no cost to the State. The State may, at its option, repair any such damage and deduct the cost thereof from any sum due Contractor under this Agreement. 5. Computer Software Contractor certifies that it has appropriate systems and controls in place to ensure that state funds will not be used in the performance of this Agreement for the acquisition, operation or maintenance of computer software in violation of copyright laws. 6. Accountina Principles The Contractor will adhere to generally accepted accounting principles as outlined by the American Institute of Certified Public Accountants. Dual compensation is not allowed; a contractor cannot receive simultaneous compensation from two or more funding sources for the same services performed even though both funding sources could benefit. 7. Liability for Nonconformina Work The Contractor will be fully responsible for ensuring that the completed work conforms to the agreed upon terms. If nonconformity is discovered prior to the Contractor's deadline, the -2- CITY OF SAN BERNARDINO California Department of Corrections and Rehabilitation (CDCR) SPECIAL TERMS AND CONDITIONS FOR PUBLIC ENTITY AGREEMENTS Agreement No. C06.436 Exhibit D Contractor will be given a reasonable opportunity to cure the nonconformity. If the nonconformity is discovered after the deadline for the completion of the project, CDCR, in its sole discretion, may use any reasonable means to cure the nonconformity. The Contractor shall be responsible for reimbursing CDCR for any additional expenses incurred to cure such defects. 8. Subcontractor/Consultant Information Contractor is required to identify all subcontractors and consultants who will perform labor or render services in the performance of this Agreement. Additionally, the Contractor shall notify the Department of Corrections and Rehabilitation, Office of Business Services, in writing, within ten (10) working days, of any changes to the subcontractor and/or consultant information. 9. Contract Violations The Contractor acknowledges that any violation of Chapter 2, or any other chaptered provision of the Public Contract Code (PCC), is subject to the remedies and penalties contained in PCC Sections 10420 through 10425. 10. Temporary Nonperformance If, because of mechanical failure or for any other reason, the Contractor shall be temporarily unable to perform the work as required, the State, during the period of the Contractor's inability to perform, reserves the right to accomplish the work by other means and shall be reimbursed by the Contractor for any additional costs above the Agreement price. 11. Extension of Term This Agreement may be amended to extend the term if it is determined to be in the best interest of the State. Upon signing the amendment, Contractor hereby agrees to provide services for the extended period at the rates specified in the original Agreement. 12. Emplovment of Ex-Offenders Contractor cannot and will not either directly, or on a subcontract basis, employ in connection with this Agreement: a. Ex-Offenders on active parole or probation; b. Ex-Offenders at any time if they are required to register as a sex offender pursuant to Penal Code Section 290 or if such ex-offender has an offense history involving a "violent felony" as defined in subparagraph (c) of Penal Code Section 667.5; or c. Any ex-felon in a position which provides direct supervision of parolees. Ex-Offenders who can provide written evidence of having satisfactorily completed parole or probation may be considered for employment by the contractor subject to the following limitations: -3- CITY OF SAN BERNARDINO California Department of Corrections and Rehabilitation (CDCR) SPECIAL TERMS AND CONDITIONS FOR PUBLIC ENTITY AGREEMENTS Agreement No. C06.436 Exhibit D a. Contractor shall obtain the prior written approval to employ any such ex-offender from the Authorized Administrator; and b. Any ex-offender whose assigned duties are to involve administrative or policy decision- making; accounting, procurement, cashiering, auditing, or any other business-related administrative function shall be fully bonded to cover any potential loss to the State of California. 13. Electronic Waste Recycling The Contractor certifies that it complies with the requirements of the Electronic Waste Recycling Act of 2003, Chapter 8.5, Part 3 of Division 30, commencing with Section 42460 of the Public Resources Code, relating to hazardous and solid waste. Contractor shall maintain documentation and provide reasonable access to its records and documents that evidence compliance. 14. Taxes Unless required by law, the State of California is exempt from federal excise taxes. The State will only pay for any state or local sales or use tax on the services rendered or goods supplied to the State pursuant to this Agreement. 15. Conflict of Interest The Contractor and their employees shall abide by the provisions of Government Code (GC) Sections 1090, 81000 et seq., 82000 et seq., 87100 et seq., and 87300 et seq., Public Contract Code (PC C) Sections 10335 et seq. and 10410 et seq., California Code of Regulations (CCR), Title 2, Section 18700 et seq. and Title 15, Section 3409, and the Department Operations Manual (DOM) Section 31100 et seq. regarding conflicts of interest. a. Contractors and Their Employees Consultant contractors shall file a Statement of Economic Interests, Fair Political Practices Commission (FPPC) Form 700 prior to commencing services under the Agreement, annually during the life of the Agreement, and within thirty (30) days after the expiration of the Agreement. Other service contractors and/or certain of their employees may be required to file a Form 700 if so requested by the CDCR or whenever it appears that a conflict of interest may be at issue. Generally, service contractors (other than consultant contractors required to file as above) and their employees shall be required to file an FPPC Form 700 if one of the following exists: (1) The Agreement service has been identified by the CDCR as one where there is a greater likelihood that a conflict of interest may occur; (2) The Contractor and/or Contractor's employee(s), pursuant to the Agreement, makes or influences a governmental decision; or (3) The Contractor and/or Contractor's employee(s) serves in a staff capacity with the CDCR and in that capacity participates in making a governmental decision or performs the same or substantially all the same duties for the CDCR that would otherwise be performed by an individual holding a position specified in the CDCR's Conflict of Interest Code. -4- CITY OF SAN BERNARDINO California Department of Corrections and Rehabilitation (CDCR) SPECIAL TERMS AND CONDITIONS FOR PUBLIC ENTITY AGREEMENTS Agreement No. C06.436 Exhibit D b. Current State Employees (1) No officer or employee shall engage in any employment, activity or enterprise from which the officer or employee receives compensation or has a financial interest and which is sponsored or funded by any state agency, unless the employment, activity or enterprise is required as a condition of regular state employment. (2) No officer or employee shall contract on his or her own behalf as an independent contractor with any state agency to provide goods or services. (3) In addition to the above, CDCR officials and employees shall also avoid actions resulting in or creating an appearance of: (a) Using an official position for private gain; (b) Giving preferential treatment to any particular person; (c) Losing independence or impartiality; (d) Making a decision outside of official channels; and (e) Affecting adversely the confidence of the public or local officials in the integrity of the program. (4) Officers and employees of the Department must not solicit, accept or receive, directly or indirectly, any fee, commission, gratuity or gift from any person or business organization doing or seeking to do business with the State. c. Former State Employees (1) For the two year (2-year) period from the date he or she left state employment, no former state officer or employee may enter into an Agreement in which he or she engaged in any of the negotiations, transactions, planning, arrangements or any part of the decision-making process relevant to the Agreement while employed in any capacity by any state agency. (2) For the twelve-month (12-month) period from the date he or she left state employment, no former state officer or employee may enter into an Agreement with any state agency if he or she was employed by that state agency in a policy- making position in the same general subject area as the proposed Agreement within the 12-month period prior to his or her leaving state service. In addition to the above, the Contractor shall avoid any conflict of interest whatsoever with respect to any financial dealings, employment services, or opportunities offered to inmates or parolees. The Contractor shall not itself employ or offer to employ inmates or parolees either directly, or indirectly through an affiliated company, person or business unless specifically authorized in writing by the CDCR. In addition, the Contractor shall not (either directly, or indirectly through an affiliated company, person or business) engage in financial dealings with inmates or parolees, except to the extent that such financial dealings create no actual or potential conflict of interest, are available on the same terms to the general public, and have been approved in advance in writing by the CDCR. For the purposes of this paragraph, "affiliated company, person or business" means any company, business, corporation, nonprofit corporation, partnership, limited partnership, sole proprietorship, or other person or business entity of any kind which has any ownership or control interest whatsoever in the Contractor, or which is wholly or partially owned (more than 5% ownership) or controlled (any percentage) by the Contractor or by the Contractor's owners, officers, principals, directors and/or shareholders, either directly or indirectly. "Affiliated companies, persons or businesses" include, but are not limited to, subsidiary, parent, or sister companies or corporations, and any company, corporation, nonprofit corporation, partnership, limited partnership, sole proprietorship, or other -5- r CITY OF SAN BERNARDINO California Department of Corrections and Rehabilitation (CDCR) SPECIAL TERMS AND CONDITIONS FOR PUBLIC ENTITY AGREEMENTS Agreement No. C06.436 Exhibit D person or business entity of any kind that is wholly or partially owned or controlled, either directly or indirectly, by the Contractor or by the Contractor's owners, officers, principals, directors and/or shareholders. The Contractor shall have a continuing duty to disclose to the State, in writing, all interests and activities that create an actual or potential conflict of interest in performance of the Agreement. The Contractor shall have a continuing duty to keep the State timely and fully apprised in writing of any material changes in the Contractor's business structure and/or status. This includes any changes in business form, such as a change from sole proprietorship or partnership into a corporation or vice-versa; any changes in company ownership; any dissolution of the business; any change of the name of the business; any filing in bankruptcy; any revocation of corporate status by the Secretary of State; and any other material changes in the Contractor's business status or structure that could affect the performance of the Contractor's duties under the Agreement. If the Contractor violates any provision of the above paragraphs, such action by the Contractor shall render this Agreement void. Members of boards and commissions are exempt from this section if they do not receive payment other than payment for each meeting of the board or commission, payment for preparatory time and payment for per diem. 16. Disclosure Neither the State nor any State employee will be liable to the Contractor or its staff for injuries inflicted by inmates or parolees of the State. The State agrees to disclose to the Contractor any statement(s) known to State staff made by any inmate or parolee which indicate violence may result in any specific situation, and the same responsibility will be shared by the Contractor in disclosing such statement(s) to the State. 17. Security Clearance/Fingerprinting The State reserves the right to conduct fingerprinting and/or security clearance through the Department of Justice, Bureau of Criminal Identification and Information (BCII), prior to award and at any time during the term of the Agreement, in order to permit Contractor and/or Contractor's employees access to State premises. The State further reserves the right to terminate the Agreement should a threat to security be determined. 18. Notification of Personnel Changes Contractor must notify the State, in writing, of any changes of those personnel allowed access to State premises for the purpose of providing services under this Agreement. In addition, Contractor must recover and return any State-issued identification card provided to Contractor's employee(s) upon their departure or termination. -6- F CITY OF SAN BERNARDINO California Department of Corrections and Rehabilitation (CDCR) SPECIAL TERMS AND CONDITIONS FOR PUBLIC ENTITY AGREEMENTS Agreement No. C06.436 Exhibit D The following provisions apply to services provided on departmental and/or institution grounds: 19. Sloodborne Pathoaens Provider shall adhere to California Division of Occupational Safety and Health (CAL-OSHA) regulations and guidelines pertaining to blood borne pathogens. 20. Tuberculosis ITSI Testina In the event that the services required under this Agreement will be performed within a CDCR institution/parole office/community-based program, prior to the performance of contracted duties, Contractors and their employees who are assigned to work with inmates/parolees on a regular basis shall be required to be examined or tested or medically evaluated for TB in an infectious or contagious stage, and at least once a year thereafter or more often as directed by COCR. Regular basis is defined as having contact with inmates/parolees in confined quarters more than once a week. Contractors and their employees shall be required to furnish to CDCR, at no cost to CDCR, a form CDCR 7336, "Employee Tuberculin Skin Test (TST) and Evaluation," prior to assuming their contracted duties and annually thereafter, showing that the Contractor and their employees have been examined and found free of TB in an infectious stage. The form CDCR 7336 will be provided by COCR upon Contractor's request. 21. Primary Laws. Rules. and Reaulations Reaardina Conduct and Association with State Prison Inmates Individuals who are not employees of CDCR, but who are working in and around inmates who are incarcerated within California's institutions/facilities or camps, are to be apprised of the laws, rules and regulations governing conduct in associating with prison inmates. The following is a . summation of pertinent information when non-departmental employees come in contact with prison inmates. By signing this Agreement, the Contractor agrees that if the provisions of the Agreement require the Contractor to enter an institution/facility or camp, the Contractor and any employee(s) and/or subcontractor(s) shall be made aware of and shall abide by the following laws, rules and regulations governing conduct in associating with prison inmates: a. Persons who are not employed by CDCR, but are engaged in work at any instilutionlfacility or camp must observe and abide by all laws, rules and regulations governing the conduct of their behavior in associating with prison inmates. Failure to comply with these guidelines may lead to expulsion from COCR institutions/facilities or camps. SOURCE: California Penal Code (PC) Sections 5054 and 5058; California Code of Regulations (CCR), Title 15, Sections 3285 and 3415 b. CDCR does not recognize hostages for bargaining purposes. CDCR has a "NO HOSTAGE" policy and all prison inmates, visitors, and employees shall be made aware of this. -7- CITY OF SAN BERNARDINO California Department of Corrections and Rehabilitation (CDCR) SPECIAL TERMS AND CONDITIONS FOR PUBLIC ENTITY AGREEMENTS Agreement No. C06.436 Exhibit D SOURCE: PC Sections 5054 and 5058; CCR, Title 15, Section 3304 c. All persons entering onto institution/facility or camp grounds consent to search of their person, property or vehicle at any time. Refusal by individuals to submit to a search of their person, property, or vehicle may be cause for denial of access to the premises. SOURCE: and 3288 PC Sections 2601, 5054 and 5058; CCR, Title 15, Sections 3173, 3177, d. Persons normally permitted to enter an institution/facility or camp may be barred, for cause, by the CDCR Director, Warden, and/or Regional Parole Administrator. SOURCE: PC Sections 5054 and 5058; CCR, Title 15, Section 3176 (a) e. It is illegal for an individual who has been previously convicted of a felony offense to enter into CDCR institutions/facilities or camps without the prior approval of the Warden. It is also illegal for an individual to enter onto these premises for unauthorized purposes or to refuse to leave said premises when requested to do so. Failure to comply with this provision could lead to prosecution. SOURCE: 3289 PC Sections 602, 4570.5 and 4571; CCR, Title 15, Sections 3173 and f. Encouraging and/or assisting prison inmates to escape is a crime. It is illegal to bring firearms, deadly weapons, explosives, tear gas, drugs or drug paraphernalia on CDCR institutions/facilities or camp premises. It is illegal to give prison inmates firearms, explosives, alcoholic beverages, narcotics, or any drug or drug paraphernalia, including cocaine or marijuana. SOURCE: 4574 PC Sections 2772, 2790, 4533, 4535, 4550, 4573, 4573.5, 4573.6 and g. It is illegal to give or take letters from inmates without the authorization of the Warden. It is also illegal to give or receive any type of gift and/or gratuities from prison inmates. SOURCE: PC Sections 2540, 2541 and 4570; CCR, Title 15, Sections 3010, 3399, 3401,3424 and 3425 h. In an emergency situation the visiting program and other program activities may be suspended. SOURCE: PC Section 2601; CCR, Title 15, Section 3383 i. For security reasons, visitors must not wear clothing that in any way resembles state issued prison inmate clothing (blue denim shirts, blue denim pants). SOURCE: CCR, Title 15, Section 3171 (b) (3) -8- CITY OF SAN BERNARDINO California Department of Corrections and Rehabilitation (CDCR) SPECIAL TERMS AND CONDITIONS FOR PUBLIC ENTITY AGREEMENTS Agreement No. C06.436 Exhibit D j. Interviews with SPECIFIC INMATES are not permitted. Conspiring with an inmate to circumvent policy and/or regulations constitutes a rule violation that may result in appropriate legal action. SOURCE: CCR, Title 15, Sections 3261.5,3315 (3) CN), and 3177. 22. Clothina Restrictions While on institution grounds, Contractor and all its agents, employees, and/or representatives shall be professionally and appropriately dressed in clothing distinct from that worn by inmates at the institution. Specifically, blue denim pants and blue chambray shirts, orange/red/yellow/white/chartreuse jumpsuits and/or yellow rainwear shall not be worn onto institution grounds, as this is inmate attire. Contractor should contact the institution regarding clothing restrictions prior to requiring access to the institution to assure the Contractor and their employees are in compliance. 23. Tobacco-Free Environment Pursuant to Penal Code Section 5030.1, the use of tobacco products by any person on the grounds of any institution or facility under the jurisdiction of the Department of Corrections and Rehabilitation is prohibited. 24. Securitv Reaulations a. Unless otherwise directed by the entrance gate officer and/or Contract Manager, the Contractor, Contractor's employees and subcontractors shall enter the institution through the main entrance gate and park private and nonessential vehicles in the designated visitor's parking lot. Contractor, Contractor's employees and subcontractors shall remove the keys from the ignition when outside the vehicle and all unattended vehicles shall be locked and secured while on institution grounds. b. Any State- and Contractor-owned equipment used by the Contractor for the provision of contract services, shall be rendered temporarily inoperative by the Contractor when not in use, by locking or other means unless specified otherwise. c. In order to maintain institution safety and security, periodic fire prevention inspections and site searches may become necessary and Contractor must furnish keys to institutional authorities to access all locked areas on the worksite. The State shall in no way be responsible for Contractor's loss due to fire. d. Due to security procedures, the Contractor, Contractor's employees and subcontractors may be delayed at the institution vehicle/pedestrian gates and sally ports. Any loss of time checking in and out of the institution gates and sally ports shall be borne by the Contractor. e. Contractor, Contractor's employees and subcontractors shall observe all security rules and regulations and comply with all instructions given by institutional authorities. -9- CITY OF SAN BERNARDINO Agreement No. C06.436 California Department of Corrections and Rehabilitation (CDCR) Exhibit D SPECIAL TERMS AND CONDITIONS FOR PUBLIC ENTITY AGREEMENTS f. Electronic and communicative devices such as pagers, cell phones and cameras/microcameras are not permitted on institution grounds. g. Contractor, Contractor's employees and subcontractors shall not cause undue interference with the operations of the institution. h. No picketing is allowed on State property. 25. Gate Clearance Contractor and Contractor's employee(s) and/or subcontractor(s) must be cleared prior to providing services. The Contractor will be required to complete a Request for Gate Clearance for all persons entering the facility a minimum of ten (10) working days prior to commencement of service. The Request for Gate Clearance must include the person's name, social security number, valid state driver's license number or state identification card number and date of birth. Information shall be submitted to the Contract Liaison or his/her designee. CDCR uses the Request for Gate Clearance to run a California Law Enforcement Telecommunications System (CLETS) check. The check will include Department of Motor Vehicles check, Wants and Warrants check, and Criminal History check. Gate clearance may be denied for the fOllowing reasons: Individual's presence in the institution presents a serious threat to security, individual has been charged with a serious crime committed on institution property, inadequate information is available to establish positive identity of prospective individual, and/or individual has deliberately falsified his/her identity. All persons entering the facilities must have a valid state driver's license or photo identification card on their person. -10- City Of San Bernardino California Department of Corrections and Rehabilitation (CDCR) ADDITIONAL PROVISIONS Agreement No. C06.436 Exhibit E 1. Disabled Veteran Business Enterprise /DVBEI If this Agreement is exempt from DVBE requirements, CDCR requests your assistance in achieving legislatively established goals for the participation of DVBEs by reporting any certified DVBEs that will be used in the performance of this Agreement. 2. Contractor Employee Misconduct During the performance of this Agreement, it shall be the responsibility of the Contractor whenever there is an incident of use of force or allegation(s) of employee misconduct associated with and directly impacting inmate and/or parolee rights, to immediately notify the CDCR of the incident(s), to cause an investigation to be conducted, and to provide CDCR with all relevant information pertaining to the incident(s). All relevant information includes, but is not limited to: a) investigative reports; b) access to inmates/parolees and the associated staff; c) access to employee personnel records; d) that information reasonably necessary to assure CDCR that inmates and/or parolees are not or have not been deprived of any legal rights as required by law, regulation, policy and procedures; and e) written evidence that the Contractor has taken such remedial action, in the event of unnecessary or excessive force, or employee misconduct with inmates and/or parolees, as will assure against a repetition of incident(s) or retaliation. To the extent that the information provided by the Contractor fails to so assure CDCR, CDCR may require that any implicated Contractor staff be denied access to and the supervision of CDCR inmates and/or parolees at the facility and access to inmate and/or parolee records. Notwithstanding the foregoing, and without waiving any obligation of the Contractor, CDCR retains the power to conduct an independent investigation of any incident(s). Furthermore, it is the responsibility of the Contractor to include the foregoing terms within any and all subcontracts, requiring that subcontractor(s) agree to the jurisdiction of CDCR to conduct an investigation of their facility and staff, including review of subcontractor employee personnel records, as a condition of the Agreement. 3. Right to Terminate (Supersedes provision number 7, Termination for Cause, of Exhibit C) The parties hereto agree that either party may cancel this Agreement by giving the other party written notice thirty (30) days in advance of the effective date of such cancellation. In the event of such termination, the State agrees to pay Contractor for actual services rendered up to and including the date of termination. 4. Resumes. Job Descriptions and Duty Statements The Contractor must provide and maintain resumes, duty statements and/or job descriptions for all staff paid through this Agreement. In addition, all contracted staff personnel files must indicate the date of employment, rate of pay and benefits, funding source, pay increases, promotions and status changes, and, if applicable, the date and reason(s) for employment termination. 5. Proiect Manager The Contractor shall designate a Project Manager to be responsible for ensuring the terms, conditions, and provisions of this Agreement are met. The Contractor shall notify the CDCR within five (5) working days of a change in Project Manager. The continuation and City Of San Bernardino California Department of Corrections and Rehabilitation (CDCR) ADDITIONAL PROVISIONS Agreement No. C06.436 Exhibit E subsequent replacement of this position is subject to the provisions contained in the section entitled "Personnel". 6. Personnel The Contractor agrees to allow the State the right to 1) approve, in advance, any personnel to be assigned to this project, and 2) disapprove the continuing assignment of any personnel. If any employee of the Contractor is unable to perform due to illness, resignation or other factors beyond the Contractor's control, the Contractor shall immediately provide acceptable substitute personnel. The Contractor shall report in writing the resignation or dismissal of personnel who are an essential part of the successful operation of the contracted program. The State may immediately terminate the Agreement if the replacement of personnel is detrimental to the program as determined by the State. 7. Insurance Reauirements Insurance as required herein shall be a condition of the State's obligation to pay for services provided under this Agreement. Prior to approval of this Agreement and before performing any work, Contractor and any subcontractor shall furnish to the State evidence of valid coverage. The following shall be considered evidence of coverage: A certificate of insurance, a "true and certified" copy of the policy, or any other proof of coverage issued by Contractor's insurance carrier. Binders are not acceptable as evidence of coverage. Providing evidence of coverage to the State conveys no rights or privileges to the State, nor does it insure any State employee or insure any premises owned, leased, used by or otherwise or under the control of the State. It does, however, serve to provide the State with proof that the Contractor and any subcontractor is insured at the minimum levels required by the State of California. Contractor agrees that any liability insurance required in the performance of this Agreement shall be in effect at all times during the temn of this Agreement. In the event said insurance coverage expires or is canceled during the term of this Agreement, Contractor's insurance provider must agree to give at least thirty (30) days prior notice to the State before said expiration date or notice of cancellation. Evidence of coverage required in the perfomnance of this Agreement shall not be for less than the remainder of the term of this Agreement or for a period of not less than one year. The State and the Department of General Services (DGS) reserve the right to verify the Contractor's evidence of coverage; evidence of coverage is subject to the approval of the DGS. In the event the Contractor fails to keep insurance coverage as required herein in effect at all times, the State reserves the right to terminate this Agreement and to seek any other remedies afforded by the laws of the State of California. Self-insured public entities MUST provide proof of self-insurance. 8. Eauipment All equipment purchases considered "theft-sensitive" (e.g. laptop computers/printers, electronic devices, etc.) or has a unit acquisition of at least $5,000 necessary for the performance of the agreement must be pre-approved by the CDCR Program Manager. For audit purposes, the Contractor must retain a detailed list of these purchases that shall include equipment description, make/model, serial number and location of equipment. CDCR -2- i . City Of San Bernardino California Department of Corrections and Rehabilitation (CDCR) ADDITIONAL PROVISIONS Agreement No. C06A36 Exhibit E reserves the right to disallow equipment deemed necessary or applicable to the services provided under the agreement. The cost of any equipment described herein and purchased by the Contractor without prior approval of the CDCR shall be absorbed at the expense of the Contractor. Upon termination of the agreement, the equipment purchased shall become the property of the State and CDCR shall determine the disposition of the equipment, which may include, but shall not be limited to the following: use by subsequent Contractors, disposal by the State, or authorization to the Contractor for continued use for work to be performed under a different agreement. 9. Subvention Contracts Contractor shall be responsible for providing the CDCR Program Manager with detailed information that allows for fiscal controls to be maintained in accordance with State Contracting Manual Section 3.17. - 3-