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COUNTY OF SACRAMENTO
DEPARTMENT OF FINANCE
Request for Proposal for Certified Mail and Electronic Return
Receipt Signature Processing
October 10, 2014
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COUNTY OF SACRAMENTO
DEPARTMENT OF FINANCE
Request for Proposal for Certified Mail and Electronic Return
Receipt Signature Processing
Table of Contents
INTRODUCTION ____________________________________________________________ 3
DEFINITIONS _______________________________________________________________ 4
GENERAL INSTRUCTIONS AND KEY EVENTS __________________________________ 5
DETAILED REQUIREMENTS _________________________________________________ 12
PROPOSER’S INSTRUCTIONS ________________________________________________ 15
SUBMISSION OF PROPOSAL ________________________________________________ 17
LITIGATION STATUS 17
EVALUATION OF PROPOSALS 18
FINAL ACCEPTANCE 18
APPENDIX A 19
APPENDIX B 20
APPENDIX C 23
APPENDIX D 25
APPENDIX F 26
APPENDIX G 27
APPENDIX I 31
APPENDIX K 32
APPENDIX L 35
APPENDIX M 42
APPENDIX N 46
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INTRODUCTION
The County of Sacramento, Department of Finance, Tax Collection and Licensing Division seeks a streamlined and efficient process for mailing notices mandated by Revenue and Taxation code via certified mail leveraging the United States Post Office’s (USPS) Return Receipt Electronic (RRE). The RRE process for mailing is when the letter reaches its final delivery destination the letter carrier captures the signature of the person that accepts the letter and the information is electronically stored. This process replaces the return receipt as a green postcard-sized paper that is mailed back to the sender by the post office upon receipt by the addressee as proof of delivery. Several private service providers have modernized and streamlined the process of sending certified mail leveraging the USPS RRE. They have created Software as a Service (SaaS) which are private databases for RRE documents. Instead of signing the green card return receipt, the person receiving the Certified Mail letter signs a receipt from USPS with the date, time, signature, and must spell out their name. Each record is collected by USPS and electronically stored with other proof of delivery confirmations like the ones used for USPS Express and Priority Mail. Each delivery confirmation including the signature is then made into a sharable 'PDF' document that can be stored on a computer, downloaded or even emailed for long term storage. The Return Receipt Electronic PDF service saves time and money. Labor time is saved in preparing the green card and in sorting the returned green cards. USPS charges a reduced rate for the PDF electronic record vs for the green card. In order to implement this process, the County would like to contract with a vendor that has the equipment, software and expertise not currently owned and operated by the County to use the USPS RRE. The desired solution would have the Vendor affix the USPS certified mail number to the individual notices during printing and provide a hardcopy of the notice (with the number attached) to the County along with an electronic listing of the record with certified mail number. The Vendor would print the notice (with the number attached) fold, stuff, affix postage and mail through the USPS RRE service. The Vendor would capture the electronic ‘PDF’ documents, sort into sequence, print and deliver hardcopy of the ‘PDF’ to the County along with an electronic copy.
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DEFINITIONS
Response: The written, signed and sealed complete document submitted according to the proposal instructions. Response does not include any verbal or documentary interaction apart from submittal of a formal Response. Request/Proposal/Bid: The completed and released document, including all subsequent addenda, made publicly available to all prospective proposers. We/Us/Our: Terms that refer to the County of Sacramento, a duly organized public entity. They may also be used as pronouns for various subsets of the County organization, including, as the context will indicate:
• Purchasing - the Contracts and Purchasing Services Division of the Department of General Services. • Department/Division – The department or division requesting the goods or services contained in this
request, for which this PROPOSAL is prepared and which will be the end user of the requested goods or services.
• Constituency – the client base or County population which may benefit from the procurement of goods and/or services requested herein.
You/Your: Terms that refer to businesses/individuals submitting a response. The term may apply differently as the context will indicate.
• Supplier - A business entity engaged in the business of providing services.
• Proposer - A business entity submitting a Response to this proposal. Suppliers which may express interest in this proposal, but who do not submit a Response, have no obligations with respect to the proposal requirements.
• Contractor - The Proposer(s) whose Response to this proposal is evaluated as meeting the needs of the County. Contractor(s) will be selected for award, and will enter into a contract(s) for provision of the services described in this proposal.
• Contractor’s Employee - All persons who can be offered to provide the services described in the proposal. All employees of the Contractor shall be covered by the insurance programs normally provided to persons employed by a company (ex: Worker’s Comp, SDI, etc.).
Mandatory: A required element of this request/proposal/bid. Failure to satisfy any element of this request/proposal/bid defined as “mandatory” will disqualify the particular response. Default: A failure to act as required by any contract resulting from this request, which may trigger the right to sue or may excuse the other party's obligation to perform under the contract. Cancellation/Termination: A unilateral or mutual decision to not complete an exchange or perform an obligation under any contract resulting from this request. “Or Equal”: A statement used for reference to indicate the character or quality desired in a requested product or service. When specified in a proposal document, equal items will be considered, provided the response clearly describes the article. Offers of equal items must state the brand and number, or level of quality. When brand, number, or level of quality is not stated by proposer, the offer will be considered exactly as specified. The determination of the Purchasing Agent as to what items are equal is final and conclusive.
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GENERAL INSTRUCTIONS AND KEY EVENTS
1. Schedule of Events
Event/Action Date(s)
RFP Release Date October 10, 2014
RFP Interpretation (questions and clarification) deadline
October 24, 2014
Addendum/clarification posted (if necessary) October 31, 2014
Proposals due November 21, 2014
Interview Finalists (if necessary) December 8 to 12, 2014
Completion of RFP evaluation and vender notification of tentative selection contract
December 19, 2014
Anticipated contract execution February 2015
2. Inquiries All inquiries concerning this request for proposal must be submitted in writing to: CYNTHIA GIBBS, ASSISTANT TAX COLLECTOR DEPARTMENT OF FINANCE COUNTY OF SACRAMENTO 700 H STREET, ROOM 1710 SACRAMENTO, CALIFORNIA 95814 Email: [email protected] Requests for interpretation must be received no later than October 24, 2014.
Responses to the requests for RFP interpretations/questions will be posted at http://www.finance.saccounty.net by October 31, 2014.
Ambiguity – Conflict or Other Errors in RFP If a bidder discovers any ambiguity, conflict, discrepancy, omission or other error in the RFP, the bidder shall immediately notify the County of such error in writing and request modification or clarification of the document. Modifications will be made by issuing a revision and will be given by written notice to all parties who have been furnished with the RFP, without divulging the source of the request for same.
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If a bidder fails to notify the County prior to the date and time fixed for submission of proposals of an error, or an error that reasonably should have been known, the proposal shall be submitted at the bidders own risk, and if awarded the contract, the bidder shall not be entitled to additional compensation or time by reason of the error or its later correction. The County may also modify the RFP prior to the date and time fixed for submission of proposals, by issuance of a revision to all parties who have received the RFP.
3. Submission of Proposal
a. Number of Copies
Six (6) hard copies of the proposal must be submitted, typed double-spaced. To facilitate the evaluation process, also submit the electronic file of the proposal on CD (scanned for detection of any viruses) in a Word 2010, PDF, or compatible format.
b. Master Copy One of the six hard copies of the proposal shall be clearly marked “MASTER COPY.” If
discrepancies between two or more copies of the proposal are found, the master copy will provide the basis for resolving such discrepancies.
c. Proposal Preparation Cost Costs for developing proposals are entirely the responsibility of the bidders and shall not be
chargeable to the County of Sacramento. d. Signature of Proposal A transmittal letter, which shall be considered an integral part of the proposal, shall be signed
by an individual who is authorized to bind the bidder contractually. If the bidder is a corporation, the legal name of the corporation shall be provided together with the signature of the officers authorized to sign on behalf of the corporation. If the bidder is a partnership, the true name of the firm shall be provided with the signature of the partner or partners authorized to sign. If the bidder is an individual, that individual shall sign. If signature is by an agent, other than an officer of a corporation or a member of a partnership, a power of attorney or an equivalent document must be submitted to the County prior to the submission of the proposal or with the proposal. Signatures on original documents must be in blue ink.
e. Delivery of Proposal
Address the proposal to: CYNTHIA GIBBS, ASSISTANT TAX COLLECTOR DEPARTMENT OF FINANCE COUNTY OF SACRAMENTO 700 H STREET, ROOM 1710 SACRAMENTO, CALIFORNIA 95814 The proposal must be placed in a sealed envelope and plainly marked “COUNTY OF
SACRAMENTO, REQUEST FOR PROPOSAL FOR CERTIFIED MAIL AND ELECTRONIC RETURN RECEIPT SIGNATURE PROCESSING.” The proposal must be received by the Department of Finance by 5:00 p.m. on November 21, 2014
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f. Proposal Obligation The contents of the proposal and any clarification thereto submitted by the successful bidder
shall become part of the contractual obligation and incorporated by reference into the ensuing contract.
g. Implied Requirements Products and services not specifically mentioned in this RFP, but which are necessary to
provide the functional capabilities described by the bidder, shall be included in the bid.
4. Withdrawal of Proposal The Bidder may withdraw a proposal by submitting a written request for its withdrawal to Cynthia Gibbs, Assistant Tax Collector, and signed by the bidder or an authorized agent at
any time prior to the proposed submission deadline. The bidder may thereafter submit a new proposal prior to the deadline.
5. Status of Proposal
a. Disposition of Proposal All proposals become the property of the County and will not be returned to the bidder. b. Disclosure of Proposal Content and Trade Secrets
All proposals received by the County shall be considered “Public Record” as defined by California Government Code Section 6252. This definition reads as follows:
“…“Public records” includes any writing containing information relating to the conduct of the public’s business prepared, owned, used, or retained by any state or local agency regardless of physical form or characteristics. “Public records” in the custody of, or maintained by, the governor’s office means any writing prepared on or after January 6, 1975.”
Each proposal submitted is public record and is therefore subject to inspection by the public per California Government Code Section 6253. This section states that “every citizen has a right to inspect any public record.” COUNTY will not exclude any proposal or portion of a proposal from treatment as a public record except in the instance that it is submitted as a “Trade Secret” as defined by the California Government Code. Information submitted as proprietary, confidential or under any other such term that might suggest restricted public access will not be excluded from treatment as public record. “Trade Secrets” as defined by California Government Code Section 6254.7 are deemed not to be public record. This section defines Trade Secrets as:
“…“Trade Secrets,” as used in this section, may include, but are not limited to, any formula, plan, pattern, process, tool, mechanism, compound, procedure, production data, or compilation of information which is not patented, which is known only to certain individuals within a commercial concern who are using it to fabricate, produce, or compound an article of trade or a service having commercial value and which gives its user an opportunity to obtain a business advantage over competitors who do not know or use it.”
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Information identified by the bidder as “Trade Secret” will be reviewed by the County’s legal counsel to determine conformance or non-conformance to this definition. Examples of material not considered to be Trade Secrets are pricing, cover letter, promotional materials, etc. Such material should be submitted in a separate binder not marked “Trade Secret”. INFORMATION WHICH IS PROPERLY IDENTIFIED AS TRADE SECRET AND CONFORMS TO THE ABOVE DEFINITION WILL NOT BECOME PUBLIC RECORD. THE COUNTY WILL SAFEGUARD THIS INFORMATION IN AN APPROPRIATE MANNER. Information identified by the bidder as Trade Secret and determined not to be in conformance with the California Government Code definition shall be separated from the proposal. Such information will be returned to the bidder at the bidder’s expense upon written request. Trade Secrets must be submitted in a separate binder plainly marked “Trade Secrets.” The County shall not in any way be liable or responsible for the disclosure of any proposals or portions thereof, if they are not (1) submitted in a separate binder which is plainly marked “Trade Secret” on the outside; or (2) if disclosure is required under the provision of law or by Order of Court. Bidders are advised that the County does not wish to receive Trade Secrets and that bidders are not to supply Trade Secrets except when they are absolutely necessary. In the event any information is considered confidential pursuant to the foregoing, and any person makes a request for disclosure of such information, the County shall notify the bidder submitting such information that such a request has been made. Unless the bidder immediately agrees to assume the defense of such request and pay all costs associated therewith (including any attorney’s fees which might be awarded to the prevailing party) the County shall have no further obligation to the bidder to retain the information as confidential. Further, the bidder shall expressly agree to indemnify the County against any costs resulting from nondisclosure of the information by executing a written indemnification agreement to be provided to the bidder by the County upon the bidder’s request. Further, the County has sole discretion to make any final determination as to whether or not it will assert a claim of confidentiality on behalf of the proposer if the disclosure of such information is requested by a third party.
6. Contractual Development
If it accepts a proposal, the County intends to enter into a contractual agreement with the bidder to provide certified mail and electronic return receipt signature processing. Contract discussion and negotiation may follow selection of the apparent successful bidder. The content of the RFP and successful bidder’s proposal will become an integral part of the contract, but may be modified by the provision of the contract.
7. Term of Agreement
Although the term of the proposed agreement is for only two years, the County may retain the certified mail and electronic return receipt signature processing service contract for an additional two years if the work is satisfactory and there are no major revisions to the scope of the work. The fee for additional years would be based on the contract fee for the current year adjusted for inflation.
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8. Termination a. County may terminate an awarded Contract without cause upon thirty (30) days written
notice to the other party. Notice shall be deemed served on the date of mailing. If notice of termination for cause is given by County to Contractor and it is later determined that Contractor was not in default or the default was excusable, then the notice of termination shall be deemed to have been given without cause pursuant to this paragraph (a).
b. County may terminate an awarded Contract for cause immediately upon giving written notice
to Contractor should Contractor materially fail to perform any of the covenants contained in an awarded Agreement in the time and/or manner specified. In the event of such termination, the County may proceed with the work in any manner deemed proper by the County. If notice of termination for cause is given by County to Contractor and it is later determined that the Contractor was not in default or the default was excusable, then the notice of termination shall be deemed to have been given without cause pursuant to paragraph (a) above.
c. County may terminate or amend an awarded Contract immediately upon giving written
notice to Contractor, if advised that funds are not available from external sources for an awarded Contract or for any portion hereof, or if funds in the County’s yearly proposed and final budget are not appropriated by the County for an awarded Contract or any portion hereof.
d. If an awarded Contract is terminated under paragraph (a) or (c) above, Contractor shall not be
reimbursed or compensated in any way. e. Contractor shall not incur any expenses under an awarded Contract after notice of
termination and shall cancel any outstanding expenses obligations to a third party that Contractor can legally cancel.
f. Upon such termination, Contractor agrees to turn over to County everything in its possession
or control pertaining to the services performed by Contractor within seven days of receipt of Notice of Termination by the non-terminating party.
g. County reserves the right to discontinue services when those services are no longer needed or
whenever they are not satisfactory to County. Upon such termination, the Contractor agrees to turn over to the County everything in its possession or control pertaining to the services performed by the Contractor immediately upon receipt of Notice of Termination.
h. If the contractor terminates their relationship with a subcontractor, then County is not
obligated to procure a subcontractor replacement. There is no implied obligation on the County’s part.
9. Performance Standards
Contractor’s employees shall perform its services under an awarded contract in accordance with the professional standards applicable to certified mail and electronic return receipt signature processing.
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10. Independent Contractor
a. It is understood and agreed that Contractor (including the Contractor’s employees) is an independent Contractor and that no relationship of employer-employee exists between the parties hereto. Contractor’s assigned personnel shall not be entitled to any benefits payable to employees of County. County is not required to make any deductions or withholdings from the compensation payable to Contractor under the provisions of this agreement; and as an independent Contractor, the Contractor hereby indemnifies and holds County harmless from any and all claims that may be made against the County based upon any contention by any third party that an employer-employee relationship exists by reason of this agreement.
b. It is further understood and agreed by the parties hereto that Contractor in the performance of
its obligation hereunder is subject to the control or direction of County as to the designation of tasks to be performed, the results to be accomplished by the services hereunder agreed to be rendered and performed, and not the means, methods, or sequence used by Contractor for accomplishing the results.
c. If, in the performance of this agreement, any third persons are employed by Contractor, such
person shall be entirely and exclusively under the direction, supervision, and control of Contractor. All terms of employment, including hours, wages, working conditions, discipline, hiring, and discharging, or any other terms of employment or requirements of law, shall be determined by Contractor, and the County shall have no right or authority over such persons or the terms of such employment.
d. It is further understood and agreed that as an independent contractor and not an employee of
County, neither the Contractor nor Contractor’s assigned personnel shall have any entitlement as a County employee, right to act on behalf of County in any capacity whatsoever, as agent, nor to bind County to any obligation whatsoever. Contractor shall not be covered by worker’s compensation; nor shall Contractor be entitled to compensated sick leave, vacation leave, retirement entitlement, participation in group health, dental, life and other insurance programs, or entitled to other fringe benefits payable by County to employees of the County.
e. The Contractor must issue W-2 (Wage and Tax Statement) and 941 (Employer’s Quarterly
Federal Tax Return) Forms for income and employment tax purposes for all of the Contractor’s employees under the terms and conditions of any resulting contract.
f. The Contractor must certify that it has fully complied with all applicable state and federal
reporting requirements relating to employment reporting for its employees, and that it has fully complied with all lawfully served wage and earnings assignment orders and notices of assignment and will continue to maintain compliance.
11. Benefits Waiver
If Contractor is unincorporated, Contractor acknowledges and agrees that Contractor is not entitled to receive the following benefits and/or compensation from County: medical, dental, vision and retirement benefits, life and disability insurance, sick leave, bereavement leave, jury duty leave, parental leave, or any other similar benefits or compensation otherwise provided to permanent civil service employees pursuant to the County Charter, the County Code, the Civil Service Rule, the Sacramento County Employees’ Retirement System and/or any and all memoranda of understanding between County and its employee organizations. Should Contractor or any employee or agent of Contractor seek to obtain such benefits from County, Contractor agrees to indemnify and hold harmless County from any and all claims that may be made against County for such benefits.
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12. Disputes In the event of any dispute arising out of or relating to an awarded an awarded contract, the parties shall attempt, in good faith, to promptly resolve the dispute mutually between themselves. If the dispute cannot be resolved by mutual agreement, nothing herein shall preclude either party's right to pursue remedy or relief by civil litigation, pursuant to the laws of the State of California.
13. Successors And Waivers The contract between County and Contractor shall bind the successors of Sacramento County and the Contractor in the same manner as if they were expressly named. Waiver by either party of any default, breach or condition precedent shall not be construed as a waiver of any other default, breach, or condition precedent or any other right hereunder.
EVALUATION AND SELECTION PROCESS
1. Evaluation Process The proposals will be evaluated in detail. Additional information may be sought from bidders.
Bidders may be asked to present and explain their proposals at management and technical levels. The proposal which then appears functionally most favorable will be compared to other proposals for cost purposes. This analysis will examine differences in costs and benefits. Cost-differences must be justified by the value of greater benefits.
Upon selection of a bidder, contract negotiations will be started as soon as possible. If a contract
for any reason cannot be negotiated, another bidder may be selected. a. Evaluation Criteria An objective evaluation procedure will be utilized to assist in the comparative analysis of
alternatives and the selection process. The procedure will enable evaluators to assign points to each of the criteria used for evaluation in accordance with its relevant importance.
b. Evaluation committee The evaluation will be performed by a committee composed of representatives of the
Director of Finance, the Department of Technology, the Department of Revenue Recovery, and the County Clerk-Recorder. The committee may require representatives of the bidder to provide written clarifications of their proposals. It is anticipated that vendor interviews, if necessary, with the evaluation committee members will be held December 8 through December 12, 2014. The assessment of points shall be based upon the professional judgment of the evaluation committee from their reviews of the documentation provided in the proposals and any clarification thereto.
2. Right of Rejection The County reserves the right to reject any or all proposals.
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DETAILED REQUIREMENTS
The following scope and requirements are for using the United States Post Office’s (USPS) Return Receipt Electronic (RRE) services. In order to comply with Revenue and Taxation Code notification requirements to taxpayers for unsecured tax liens and secured tax defaulted land sales, notices must be mailed by the USPS by certified mail. The post office provides two forms of certified mailings: manual and electronic. The electronic requires special equipment, software and expertise to produce the notices and envelopes for mailing. In addition, it requires electronic signatures as confirmation of the receipt of the certified mail being provided back to the County electronically. The contract desired will allow the vendor to receive electronic data from the county for the production of the notices with the post office certified mail number and barcode and provide the county with the electronic signatures back from the post office. If needed, the County will continue to process any manual paper certified mailings themselves. The Department of Finance, Tax Collection and Licensing Division will have two Units with several WBS elements: 1. TDL (stands for Tax-Defaulted Land)
JOB NAME ANNUAL HISTORICAL AVERAGE TDL June Mandated Notice 1,167 TDL Party of Interest Notice 2,730 TDL Excess Proceeds Notice 231
2. UTAX (Stands for Unsecured or Personal Property Tax)
JOB NAME ANNUAL HISTORICAL AVERAGE UTAX Notice of Intent 7,716
Volume Limitations: The minimum count to receive the discounted postal rate is 500 pieces. The minimum count to use the County’s Permit is 200 pieces. Jobs for less than 200 will have postage attached by General Services. The vendor’s services are for the following:
1) Set-up of templates for each job type. The vendor’s template has the mailing address information on the notices and the post office certified mail barcode number at the top of the paper for folding into the envelope. If we have a two-page notice with minimal room to add the Certified Mail number and barcode, put the notice on an 8 ½ by 14 sheet of paper so there is room at the bottom or top of the sheet for our 8 ½ by 11 notice. If it is a single-page notice, then print the mailing address information and post office certified mail barcode number on the reverse side.
2) Because the vendor will set up templates for the notices in their system, we only provide the data files and a sample of which notice we want them sending along with instructions.
3) Data prep, processing – The data file provided to the vendor will be in parcel/bill number sequence. Each time the vendor runs the job, they may sort for zip code, etc. However, the vendor shall assign the post office certified mail number in the same sequence as the parcel/bill number sequence. Thus, both parcel/bill number is in the same sequence as the certified mail numbers.
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4) Print (with the post office certified mail number and barcode on each notice), fold, insert, seal letter into vendor provided envelope.
5) Printing of hard copies of the notices for the County (with the post office certified mail number and barcode on each notice). Print notices sorted in ascending order with the lowest parcel/bill number on top.
6) Delivery of hard copies of the notices to the County within one day of delivery to the post office. 7) Delivery to the County an electronic file of the final data file (updated with certified mail number). 8) Postage: if not using County Permit, return to General Services to adhere postage then proceed with
mailing. a. First class mail b. certified mail piece c. Electronic Signature receipt
9) Delivery of the post office proof of receipt of the job, mailing with count and date of receipt. 10) Electronic signatures from the post office (separated by Vendor Job Number) sorted by Certified
Mail Number in ascending sequence. a. Delivery of electronic signature files sent to an FTP site b. Delivery of Print hard copies of the electronic signatures for County c. Courier delivery on a weekly basis or as otherwise specified in the instructions of the printed
signatures. Timeline for Notices: There is a specific timeline that is to be followed with the approval and submittal of all
electronic certified mail notices. Each notice has different Revenue and Taxation Code mandated deadlines for dates of mailing, for exact deadline dates refer to the individual notice instructions for each job when submitted. However, the general guidelines are approximately 5 working days prior to when the notices should be mailed. The County will provide the electronic data file to the vendor. We want the post office to receive the notices the day before the date we want the notices mailed.
Example timeline: Mailing date January 10, 2015 Delivery to the Post Office January 9, 2015
Receive Proof January 6 or 7, 2015 Data file to vendor January 3, 2015 Changes to the Notices OR New Notices: If there are changes to the notices, or it is a new notice, we will
provide it to the vendor to set up the notice in their system and provide us with a proof. 1) New notices or changes to existing notice templates. Vendor will provide a proof prior to printing. 2) Even if there are no changes to an existing notice, whenever we send a job, the vendor shall always
provide a proof of that job. Individual Job Instructions for the vendor: County will provide instructions to the vendor outlining all that is expected of them for the job. Even if they are doing this job routinely, they must be given complete written instructions. Sample instructions (on next page):
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Subject: County of Sacramento – [Job Name] Memo section: Please print and deliver to the post office for certified mailing the [Job Name] on [date]. The date of the notices should be [date]. The Return Address on the notice should be: County of Sacramento Department of Finance [Tax Defaulted Land Unit – reference (i.e. June, PA, SB, EP)] or [Unsecured Tax Unit] [Parcel Number] or [Bill Number] 700 H Street, Room 1710 Sacramento, CA 95814 Please provide a proof of the notice for us to verify the notice and content before mailing [date]. The attached data file is of [count] [Job Name]. Records are in Assessor Parcel Number (APN) sequence. It is important that the certified mail numbers also be in sequence with the APN. This is the first 17 characters of the Current_Parcel value. This allows for an easier matching up of signed certified notifications to our parcels. Revenue and Taxation Code requires us to mail the notices to the last known mailing address of record, regardless if it is a bad address or not. Please ensure notices are addressed as we provide in our data file. I will need a cost estimate by [date] to provide you with a Contract Shipping Order (CSO) number for invoicing. The postage is to be covered by County Permit [number]. (If the count is less than 200, the alternative message: The postage is to be imprinted by General Services should be used.) Please furnish our office (Tax Collector, 700 H Street, Room 1710, Sacramento, CA 95814) the day after delivery to the post office with: a) A hardcopy of the notices with certified mail numbers included in ascending sequence with the lowest parcel number first and highest parcel number last. b) An electronic copy of the final mailing data file which includes the certified mail number. Electronic signature notifications from the post office should be provided to us on a weekly basis each Monday for the previous week’s notifications. These can be printed and delivered, e-mailed or posted to the designated FTP site [designated for each job]. If you have any questions or problems with the data file, please contact [contact name] at 916-874-####.
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PROPOSER’S INSTRUCTIONS
General Format: Respond to all requests for information and completion of forms contained in this Request for Proposal. You may use additional sheets as necessary. A qualifying response must address all items. Brochures and advertisements will not be considered a complete reply to requests for information and will not be accepted as such. Proposer is solely responsible for accuracy and completeness of proposal response and marking documents as confidential when submitting their response. Responses considered incomplete may be rejected. Alteration of Proposal Text: the original text of this proposal document, as well as any attachments, amendments or other official correspondence related to this proposal document, may not be manually, electronically or otherwise altered by proposer or proposer’s agent(s). Any response containing altered, deleted, additional or otherwise non-original text will be disqualified. Preparation of Response:
A. All responses must be signed by an authorized officer or employee of the responder. B. Responses must be submitted prior to 5:00 p.m. on November 21, 2014
C. Prices will be considered as net if no cash discount is offered. If a discrepancy between the unit price
and the item total exists, the unit price prevails.
Appendix A - Sacramento County General Terms & Conditions: This is a required appendix, but is informational only. You are required to read the document Appendix B - Additional Terms & Conditions: This is a required appendix, but is informational only. You are required to read the document. Appendix C - DCSS Contractor Certification of Compliance: This is a required appendix that needs to be completed and submitted with your response. Appendix D - Environmental Purchasing Policy: This is an informational only document. You are required to read the document. If your product or service applies, please indicate so in your response. Appendix E – Not applicable – not included Appendix F - Non Collusion Affidavit: This is a required appendix that needs to be completed and submitted with your response. Appendix G - Sacramento County Minimum Insurance Requirements: This is a required appendix, but is informational only. You are required to read the document. Appendix H - Not applicable – not included Appendix I – Pricing: This is a required appendix. This form needs to be completed and included with your response. If you prefer, you may choose to use your own pricing form that you will include with your response. Appendix J – Not applicable – not included
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Appendix K - Risk Assessment Questionnaire: This is a required appendix that needs to be completed and submitted with your response. Appendix L - HIPAA Business Associate Exhibit: This is a required appendix that needs to be completed and submitted with your response. Appendix M - Good Neighbor Policy: This is a required appendix, but is informational only. You are required to read the document. Appendix N – Iran Contracting Act Disclosure: This is a required appendix that needs to be completed and submitted with your response.
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SUBMISSION OF PROPOSAL
Proposals must be received by Cynthia Gibbs, Assistant Tax Collector, 700 H Street, Room 1710, Sacramento, California, 95814, no later than 5:00 p.m. on November 21, 2014. B. A master copy (so marked) and five (5) copies of your proposal shall be delivered and should include the
following:
1. Title page must show the proposal’s subject; the firm’s name; the name, address, telephone number, fax number, and email address of the contact person(s); and date of proposal.
2. Table of contents. 3. A signed letter of transmittal briefly stating:
the proposer’s understanding of the work to be performed the commitment to perform the work within the time period a statement why the firm believes itself to be best qualified to perform the engagement
C. An electronic copy of the proposal on CD shall be delivered along with the hard copies of the proposal
listed above in item B. D. All proposals shall be firm for a period of 90 days following the required date of submission.
LITIGATION STATUS
You are requested to furnish any information on the nature and magnitude of any litigation whereby, during the past two years, a court has ruled against your firm in any matter relating to its professional activities. In addition, you are asked to describe the nature, magnitude, and status of any litigation current or pending against your firm in any manner related to your professional activities. B. Recognizing the need to maintain confidentiality in this matter, you may provide this information in a
separate letter directly to:
CYNTHIA GIBBS, ASSISTANT TAX COLLECTOR DEPARTMENT OF FINANCE 700 H STREET, ROOM 1710 SACRAMENTO, CA 95814
C. If you prefer to do so, this information on litigation may be included as part of your formal proposal.
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EVALUATION OF PROPOSALS
This proposal award will be determined by factors other than price alone. The County’s sole purpose in the evaluation process is to determine from among the responses received, which one is best suited to meet the County’s needs. Any final analysis or weighted point score does not imply that one proposal is superior to another, but simply that in our judgment the proposal we select offers the best overall solution for our current and anticipated needs. The County reserves the right to make modifications to any scoring and/or weight structure prior to the evaluation of responses.
FINAL ACCEPTANCE
Equipment/Supplies/Services The County of Sacramento will agree to final acceptance only after the supplied equipment, product or service is tested and is found to perform within acceptable standards of operation, is in compliance with all published and implied performance standards, and is considered by the County to be ready for practical application.
APPENDIX A – COUNTY OF SACRAMENTO PURCHASE ORDER/CONTRACT
GENERAL CONDITIONS
1. BID/QUOTE/PROPOSAL/GENERAL CONDITIONS: All of the terms and conditions of the bid, quote, or proposal against which this purchase document is applied, are hereby incorporated.
2. SALES TAX NOT INCLUDED: Unless otherwise definitely specified, the unit prices do not include California sales and use tax or Sacramento County sales and use tax.
3. CASH DISCOUNTS: In connection with any cash discount specified on this quote, time will be computed from the date of complete delivery of the supplies or equipment as specified, or from date correct invoices are received in the County Auditor’s Office if the latter date is later than the date of delivery. For the purpose of earning the discount, payment is deemed to be made on the date of mailing of the County warrant or check.
4. AMERICANS WITH DISABILITIES ACT: As a condition of accepting a purchase order from the County of Sacramento, the vendor certifies that their business entity is in compliance with the Americans With Disabilities Act of 1990, as amended. Failure to certify shall prohibit the award of a purchase order to the vendor.
5. HOLD HARMLESS: The vendor shall hold the County of Sacramento, its officers, agents, servants and employees harmless from liability of any nature or kind because of use of any copyrighted, or uncopyrighted composition, secret process, patented or unpatented invention, articles or appliances furnished or used under this order, and agrees to defend, at his own expense, any and all actions brought against the County of Sacramento or himself because of the unauthorized use of such articles.
6. DEFAULT BY VENDOR: In case of default by vendor, the County of Sacramento may procure the articles or services from other sources and may deduct from any monies due, or that may thereafter become due to the vendor, the difference between the price named in the contract or purchase order and actual cost thereof to the County of Sacramento. Prices paid by the County shall be considered the prevailing market price at the time such purchase is made. Periods of performance may be extended if the facts as to the cause of delay justify such extension in the opinion of the Purchasing Agent.
7. RIGHT TO AUDIT: The County of Sacramento reserves the right to verify, by examination of vendor’s records, all invoiced amounts when firm prices are not set forth in the purchase agreement.
8. ASSIGNMENT: (a) This award is not assignable by contractor either in whole or in part, without the prior written approval of the Purchasing Agent of the County of Sacramento. (b) In submitting a quote to a public purchasing body, the quoter offers and agrees that if the quote is accepted, it will assign to the purchasing body all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. Sec. 15) & the Cartwright Act (Chapter 2 [commencing with Section 16700] of part 2 of Division 7 of the Business and Professions Code), arising from the purchases of goods, materials, or services by the quoter for sale to the purchasing body pursuant to the quote. Such assignment shall be made and become effective at the time the purchasing body tenders final payment to the quoter.
9. APPLICABILITY TO HEIRS: Time is of the essence of each and all the provisions of this agreement, and, subject to the limitations of Paragraph 8, the provisions of this agreement shall extend to and be binding upon and inure to the benefits of the heirs, executors, administrators, successors, and assigns of the respective parties hereto.
10. F.E.T. EXEMPTION: Sacramento County is exempted from payment of Federal Excise Tax. No federal tax shall be included in price.
11. CHARGES NOT INCLUDED ON FACE NOT ACCEPTABLE: No charge will be accepted for packing, boxing, or cartage, except as specified in the Notice of Award. Freight collect shipments will not be accepted. Merchandise will not be accepted if payment is to be made at the time of delivery.
12. TITLE: Except as otherwise expressly provided herein, title to and risk of loss on all items shipped by seller to buyer shall pass to the buyer upon buyer’s inspection and acceptance of such items at buyer’s building.
13. CHANGES WITHOUT NOTICE PROHIBITED: No changes in price, quantity or merchandise will be recognized by the County of Sacramento without written notice of acceptance thereof prior to shipment.
14. ALL UNDERSTANDINGS IN WRITING: It is mutually understood and agreed that no alteration or variation of terms of this award shall be valid unless made in writing and signed by the parties hereto, and that no oral understandings or agreements not incorporated herein, and no alterations or variations of the terms hereof unless made in writing between the parties hereto shall be binding on any of the parties hereto.
15. FORCE MAJEURE: The vendor will not be held liable for failure or delay in the fulfillment of conditions of purchase order/contract if hindered or prevented by fire, strikes, or Acts of God.
16. INVOICING: Upon submission of itemized invoices, in duplicate, payment shall be made of the prices stipulated herein for supplies delivered and accepted or services rendered and accepted, less deductions, if any, as herein provided. Payment on partial deliveries may be made whenever amounts due so warrant or when requested by the vendor and approved by the Purchasing Agent.
17. SPECIAL CONDITIONS: Buyer’s standard terms and conditions shall govern any contract awarded. If, after award of contract, vendor provides additional terms or conditions, they shall be considered void. To the extent not otherwise stated in the contract, the California Commercial code shall apply.
18. INFORMATION TECHNOLOGY ASSURANCES: Contractor shall take all reasonable precautions to ensure that any hardware, software, and/or embedded chip devices used by contractor in the performance of services under this agreement, other than those owned or provided by County, shall be free from viruses. Nothing in this provision shall be construed to limit any rights or remedies otherwise available to County under this agreement.
19. CHILD, FAMILY, AND SPOUSAL SUPPORT: Contractor hereby certifies that either: (a) The Contractor is a government or non-profit entity; or (b) the Contractor has no Principal Owners (25% or more); or (c) each Principal Owner (25% or more) does not have any existing child support orders; or (d) Contractor’s Principal Owners are currently in substantial compliance with any court-ordered child, family and spousal support order, including orders to provide current residence address, employment information, and whether dependent health insurance coverage is available. If not in compliance, Principal Owner has become current or has arranged a payment schedule with the Department of Child Support Services or the court. New Contractor shall certify that each of the following statements is true: (a) Contractor has fully complied with all applicable state and federal reporting requirements relating to employment reporting for its employees; (b) Contractor has fully complied with all lawfully served wage and earnings assignment orders and notices of assignment and will continue to maintain compliance; and NOTE: Failure to comply with state and federal reporting requirements regarding Contractor’s employees or failure to implement lawfully served wage and earnings assignment orders or notices of assignment constitutes a default under any contract with the County. Failure to cure such default within 90 days of notice by the County shall be grounds for termination of contract.
Rev 1/28/14
APPENDIX B
COUNTY OF SACRAMENTO ADDITIONAL TERMS AND CONDITIONS
Bidder Responsibility: You are expected to be thoroughly familiar with all specifications and requirements of this bid. Your failure or omission to examine any relevant form, article, site or document will not relieve you from any obligation regarding this bid. By submitting a response, you are presumed to concur with all terms, conditions and specifications of this bid unless you have specifically, by section number, raised objection. Awards:
A. The County of Sacramento reserves the right to: 1) award responses received on the basis of individual items, or groups of items, or on the entire list of items; 2) reject any or all responses, or any part thereof; 3) waive any informality in the responses; and 4) accept the response that is in the best interest of the County. The Purchasing Agent's decision shall be final.
B. Preference for Sacramento County Products. In purchases by the County of Sacramento, price and quality being equal, preference must be given to Sacramento County products (Charter of the County of Sacramento, sec. 83); also, ". . . preference must be given to the lowest responsible local bidder offering to supply such items for purchase which are raised, grown, manufactured, fabricated, processed or assembled in Sacramento County . . ." (Sacramento County Code, sec. 2.56.060).
C. Preference for California-made materials. Pursuant to Sections 4330-4333 of the Government Code, the County, in awarding the purchase, must prefer supplies partially manufactured, grown or processed in California, price, fitness and quality being equal. In order to receive preference, responses must clearly specify the item(s) for which preference is claimed and the preference applicable.
Taxes: A. Include any sales, use, or federal excise taxes in your response as separate line item(s). B. If your company is outside California and collects sales tax, please state the amount as
a separate item if the County is to remit the tax. C. Items purchased for resale will show the County's resale permit number on the
purchase order. D. Exemption certificates will be furnished when federal excise tax is exempted. Brand Names: Brand names and numbers, when used, are for reference to indicate the
character or quality desired. Equal items will be considered, provided your offer clearly describes the article. Offers for equal items must state the brand and number, or level of quality. The determination of the Purchasing Agent as to what items are equal is final and conclusive. When brand, number, or level of quality is not stated by bidder, the offer will be considered exactly as specified.
Samples: Samples of articles, when required, must be furnished free of cost. Samples may be retained for future comparison. Samples which are not destroyed by testing or which are not retained for future comparison will be returned upon request at your expense. Indemnification: The contractor shall indemnify, defend and hold harmless the County, its officers, agents, employees, and representatives, from and against any and all claims, losses, liabilities, or damages, demands and action including payment of reasonable attorneys' fees, arising out of or resulting from the performance of this agreement, caused in whole or in part by any negligent or willful act or omission of the contractor, its officers, agents, employees, representatives, or anyone directly or indirectly acting on behalf of the contractor, regardless of whether caused in part by a party indemnified hereunder. Termination:
A. County may terminate any resulting agreement without cause upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. If notice of termination for cause is given by County to contractor and it is later determined that contractor was not in default or the default was excusable, then the notice of termination shall be deemed to have been given without cause pursuant to this paragraph (A).
B. County may terminate any resulting agreement for cause immediately upon giving written notice to contractor, should contractor materially fail to perform any of the covenants contained in this agreement in the time and/or manner specified. In the event of such termination, County may proceed with the work in any manner deemed proper by County. If notice of termination for cause is given by County to contractor and it is later determined that contractor was not in default or the default was excusable, then the notice of termination shall be deemed to have been given without cause pursuant to paragraph (A) above.
C. County may terminate or amend any resulting agreement immediately upon giving written notice to contractor, 1) if advised that funds are not available from external sources for this agreement or any portion thereof, including if distribution of such funds to the County is suspended or delayed; 2) if funds for the services and/or programs provided pursuant to this Agreement are not appropriated by the State; 3) if funds in County's yearly proposed and/or final budget are not appropriated by County for this agreement or any portion thereof; or 4) if funds that were previously appropriated for this agreement are reduced, eliminated, and/or re-allocated by County as a result of mid-year budget reductions.
D. If any resulting agreement is terminated under paragraph A or C above, contractor shall only be paid for any services completed and provided prior to notice of termination. In the event of termination under paragraph a or c above, contractor shall be paid an amount which bears the same ratio to the total compensation authorized by the agreement as the services actually performed bear to the total services of contractor covered by this agreement, less payments of compensation previously made. In no event, however, shall County pay contractor an amount which exceeds a pro rata portion of the agreement total based on the portion of the agreement term that has elapsed on the effective date of the termination.
E. Contractor shall not incur any expenses under any resulting agreement after notice of termination and shall cancel any outstanding expenses obligations to a third party that contractor can legally cancel.
Public Agency Participation: It is intended that any other public agency including those identified in the solicitation (i.e., city, district, public authority, public agency, municipality and other political sub-division or public corporation of California) located in California shall have the option to participate in any award made as a result of this solicitation. The County of Sacramento shall incur no financial responsibility in connection with orders issued or delivered by another public agency. Each public agency using this contract shall accept sole and full responsibility for placing of orders and making payments to the contractor. In addition to the above, the contractor shall provide the same level of indemnification and insurance protection to each of the participating agencies ordering products and/or services under any award made as a result of this solicitation. Out of State Vendors Providing Services to the County of Sacramento: Recent state legislation requires the County to withhold seven percent (7%) of all income paid to certain independent contractors who do not reside in California. (Rev. & Tax. Code §18662; Cal.Admin. Code §§18662-1-18662-14.) This provision does not apply if the total amount paid for services in a given year is less than $1,500. It also does not apply if: a) the contractor is a corporation with a principal place of business in California; b) a partnership with a permanent place of business in California; c) a corporation qualified through the Secretary of State to do business in California; or d) an individual with a permanent residence in the State of California. FTB Waiver -The contractor can apply to the FTB for a waiver from this withholding requirement. An FTB waiver will generally be granted when the nonresident contractor has a current history of filing California tax returns and/or is currently making estimated tax payments to the FTB. An FTB waiver request is made on FTB Form 588, which can be faxed to the FTB at (916) 845-4831.
2/19/2003 Contractor Certification of Compliance Form
APPENDIX C COUNTY OF SACRAMENTO
CONTRACTOR CERTIFICATION OF COMPLIANCE FORM WHEREAS it is in the best interest of Sacramento County that those entities with whom the County does business demonstrate financial responsibility, integrity and lawfulness, it is inequitable for those entities with whom the County does business to receive County funds while failing to pay court-ordered child, family and spousal support which shifts the support of their dependents onto the public treasury. Therefore, in order to assist the Sacramento County Department of Child Support Services in its efforts to collect unpaid court-ordered child, family and spousal support orders, the following certification must be provided by all entities with whom the County does business: CONTRACTOR hereby certifies that either:
(a) the CONTRACTOR is a government or non-profit entity (exempt), or
(b) the CONTRACTOR has no Principal Owners (25% or more) (exempt), or
(c) each Principal Owner (25% or more), does not have any existing child support orders, or
(d) CONTRACTOR’S Principal Owners are currently in substantial compliance with any court-ordered child, family and spousal support order, including orders to provide current residence address, employment information, and whether dependent health insurance coverage is available. If not in compliance, Principal Owner has become current or has arranged a payment schedule with the Department of Child Support Services or the court.
New CONTRACTOR shall certify that each of the following statements is true: a. CONTRACTOR has fully complied with all applicable state and federal reporting requirements relating
to employment reporting for its employees; and b. CONTRACTOR has fully complied with all lawfully served wage and earnings assignment orders and
notices of assignment and will continue to maintain compliance. Note: Failure to comply with state and federal reporting requirements regarding a contractor’s employees or failure to implement lawfully served wage and earnings assignment orders or notices of assignment constitutes a default under the contract; and failures to cure the default within 90 days of notice by the County shall be grounds for termination of the contract. Principal Owners can contact the Sacramento Department of Child Support Services at (916) 875-7400 or (888) 271-3906, by writing to P.O. Box 269112, Sacramento, 95826-9112, or by E-mailing [email protected]. _________________________________ ________________ FIRM NAME CONTRACTOR SIGNATURE DATE _________________________________ Printed Name
2/19/2003 Contractor Certification of Compliance Form
Contract Language: CHILD SUPPORT COMPLIANCE CERTIFICATION: a) CONTRACTOR shall comply with all applicable state, federal and local laws relating to child and family
support enforcement, including, but not limited to, disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the California Family Code and Chapter 2.160 of the Sacramento County Code. CONTRACTOR shall comply with all earnings assignment orders with respect to its employees and shall provide the names of all new employees to the New Hire Registry maintained by the California Employment Development Department;
b) Failure to comply with state and federal reporting requirements regarding CONTRACTOR’S employees or failure to implement lawfully served wage and earnings assignment orders or notices of assignment shall constitute a default under this Agreement. Failure to cure each default within 90 days of notice by the County shall be ground for termination of the contract.
c) If contractor has a principal owner; contractor shall provide principal owner information to the county upon request. Principal owner is defined for purposes of this agreement as a person who owns an interest of 25% or more in the contractor. Information required may include the principal owner’s name, address, and social security number. Failure to provide requested information about a principal owner within 60 days of request shall be deemed a material breach of this contract and may be grounds for termination.
APPENDIX D SACRAMENTO COUNTY ENVIRONMENTAL PURCHASING POLICY
Policies
All County of Sacramento personnel will specify recycled and environmentally preferable products whenever practical. The County shall solicit the use of recycled and other environmentally preferred products in its procurement documents as appropriate. All County Agencies/Departments/Divisions shall practice waste prevention whenever practical.
Best Practices
A. Procurement Practices
In cooperation with their customers, all County Agencies/Departments/Divisions shall evaluate, at least, the following environmentally preferable product categories and purchase them whenever practical.
Printing and Writing Papers, including all imprinted letterhead paper, envelopes, copy paper and business cards. When practical, these shall contain a minimum of 30% post-consumer recycled content. Paper Products, including janitorial supplies, shop towels, hand towels, facial tissue, toilet paper, seat covers, corrugated boxes, file boxes, hanging file folders and other products comprised largely of paper. Remanufactured laser printer toner cartridges and remanufactured or refillable ink-jet cartridges. Re-refined antifreeze, including on-site antifreeze recycling. Re-refined lubricating and hydraulic oils. Recycled plastic outdoor-wood substitutes, including plastic lumber, benches, fencing, signs and posts. Recycled content construction, building and maintenance products, including plastic lumber, carpet, tiles and insulation. Re-crushed cement concrete aggregate and asphalt. Cement and asphalt concrete containing tire rubber, glass cullet, recycled fiber, plastic, fly ash or other alternative products. Re-treaded tires and products made from recycled tire rubber including rubberized asphalt, playground surfaces and fatigue mats. Compost, mulch, and other organics including recycled biosolid products. Re-manufactured paint. Other products that may be designated by General Services.
APPENDIX F Non-Collusion Affidavit
I state that I am authorized to make this affidavit on behalf of my firm, and its owners, directors, and officers. I am the person responsible in my firm for the price(s) and the amount of this proposal. I state that:
1. The price(s) and amount of this proposal have been arrived at independently and without consultation, communication or agreement with any other contractor, bidder or potential bidder, except as disclosed below in the exceptions field (accept with exceptions).
2. That neither the price(s) nor the amount of this proposal, and neither the approximate
price(s) nor approximate amount of this proposal, have been disclosed to any other firm or person who is a bidder or potential bidder, and that they will not be disclosed before proposal opening.
3. No attempt has been made or will be made to induce any firm or person to refrain from
submitting a proposal on this contract, or to submit a proposal higher than this proposal, or to submit any intentionally high or noncompetitive proposal/bid or other form of complementary proposal.
4. The proposal by my firm is made in good faith and not pursuant to any agreement or
discussion with, or inducement from, any firm or person to submit a complementary or other noncompetitive proposal.
5. My firm, its affiliates, subsidiaries, officer, directors and employees are not currently
under investigation by any governmental agency and have not in the last five years been convicted of or found liable for any act prohibited by State or Federal law in any jurisdiction, involving conspiracy or collusion with respect to bidding on any public contract.
6. No current or previous employee of the County of Sacramento (employed by County of Sacramento within the last calendar year) has been involved or is currently involved in any manner, directly or indirectly, with bidder’s response or considerations in responding to this request.
I understand and my firm understands and acknowledges that the above representations are material and important, and will be relied upon by the County of Sacramento in awarding the contract(s) for which this proposal is submitted. I understand and my firm understands that any misstatement in this affidavit is and shall be treated as fraudulent concealment from the County of Sacramento of the true facts relating to the submission of proposals/bids for this contract. Any violation of this certification shall render bidder’s response invalid. In such a case, bidder’s response will be immediately disqualified. _________________________________ ________________________ Signature Date _________________________________ _________________________ Printed Name Position Title Company Name
APPENDIX G INSURANCE REQUIREMENTS FOR CONTRACTORS
Without limiting CONTRACTOR's indemnification, CONTRACTOR shall procure and maintain for the duration of the Agreement, insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the Agreement by the CONTRACTOR, its agents, representatives or employees. COUNTY shall retain the right at any time to review the coverage, form, and amount of the insurance required hereby. If in the opinion of the County Risk Manager, insurance provisions in these requirements do not provide adequate protection for COUNTY and for members of the public, COUNTY may require CONTRACTOR to obtain insurance sufficient in coverage, form and amount to provide adequate protection. COUNTY's requirements shall be reasonable but shall be imposed to assure protection from and against the kind and extent of risks that exist at the time a change in insurance is required.
I. VERIFICATION OF COVERAGE CONTRACTOR shall furnish the COUNTY with certificates evidencing coverage required below. Copies of required endorsements must be attached to provided certificates. The County Risk Manager may approve self-insurance programs in lieu of required policies of insurance if, in the opinion of the Risk Manager, the interests of the COUNTY and the general public are adequately protected. All certificates, evidences of self-insurance, and additional insured endorsements are to be received and approved by the County before performance commences. The COUNTY reserves the right to require that CONTRACTOR provide complete, certified copies of any policy of insurance offered in compliance with these specifications.
II. MINIMUM SCOPE OF INSURANCE Coverage shall be at least as broad as: A. GENERAL LIABILITY: Insurance Services Office’s Commercial General Liability occurrence coverage form CG 0001. Including, but not limited to Premises/Operations, Products/Completed Operations, Contractual, and Personal & Advertising Injury, without additional exclusions or limitations, unless approved by the County Risk Manager. B. AUTOMOBILE LIABILITY: Insurance Services Office’s Commercial Automobile Liability coverage form CA 0001.
1. Commercial Automobile Liability: auto coverage symbol “1” (any auto) for corporate/business owned vehicles. If there are no owned or leased vehicles, symbols 8 and 9 for non-owned and hired autos shall apply. 2. Personal Lines automobile insurance shall apply if vehicles are individually owned.
C. WORKERS’ COMPENSATION: Statutory requirements of the State of California and Employer's Liability Insurance. D. PROFESSIONAL LIABILITY or Errors and Omissions Liability insurance appropriate to the CONTRACTOR's profession.
E. UMBRELLA or Excess Liability policies are acceptable where the need for higher liability limits is noted in the Minimum Limits of Insurance and shall provide liability coverages that at least follow form over the underlying insurance requirements where necessary for Commercial General Liability, Commercial Automobile Liability, Employers’ Liability, and any other liability coverage (other than Professional Liability) designated under the Minimum Scope of Insurance.
III. MINIMUM LIMITS OF INSURANCE CONTRACTOR shall maintain limits no less than: A. General Liability shall be on an Occurrence basis (as opposed to Claims Made basis). Minimum limits and structure shall be:
Building Trades General Aggregate: $2,000,000 Products Comp/Op Aggregate: $2,000,000 Personal & Adv. Injury: $1,000,000 Each Occurrence: $1,000,000 Fire Damage: $ 100,000
Contractors and Contractors engaged in other projects of construction shall have their general liability Aggregate Limit of Insurance endorsed to apply separately to each job site or project, as provided for by Insurance Services Office form CG-2503 Amendment-Aggregate Limits of Insurance (Per Project). B. AUTOMOBILE LIABILITY:
1. Commercial Automobile Liability for Corporate/business owned vehicles including non-owned and hired, $1,000,000 Combined Single Limit. 2. Personal Lines Automobile Liability for Individually owned vehicles, $250,000 per person, $500,000 each accident, $100,000 property damage.
C. WORKERS' COMPENSATION: Statutory. D. EMPLOYER'S LIABILITY: $1,000,000 per accident for bodily injury or disease. E. PROFESSIONAL LIABILITY OR ERRORS AND OMISSIONS LIABILITY: $1,000,000 per claim and aggregate.
IV. DEDUCTIBLES AND SELF-INSURED RETENTION Any deductibles or self-insured retention that apply to any insurance required by this Agreement must be declared and approved by the COUNTY. V. CLAIMS MADE PROFESSIONAL LIABILITY INSURANCE If professional liability coverage is written on a Claims Made form: A. The "Retro Date" must be shown, and must be on or before the date of the Agreement or the beginning of Agreement performance by CONTRACTOR.
B. Insurance must be maintained and evidence of insurance must be provided for at least one (1) year after completion of the Agreement. C. If coverage is cancelled or non-renewed, and not replaced with another claims made policy form with a "Retro Date" prior to the contract effective date, the CONTRACTOR must purchase "extended reporting" coverage for a minimum of one (1) year after completion of the Agreement.
VI. OTHER INSURANCE PROVISIONS The insurance policies required in this Agreement are to contain, or be endorsed to contain, as applicable, the following provision: A. All Policies:
1. ACCEPTABILITY OF INSURERS: Insurance is to be placed with insurers with a current A.M. Best's rating of no less than A-VII. The County Risk Manager may waive or alter this requirement, or accept self-insurance in lieu of any required policy of insurance if, in the opinion of the Risk Manager, the interests of the COUNTY and the general public are adequately protected. 2. MAINTENANCE OF INSURANCE COVERAGE: The Contractor shall maintain all insurance coverages and limits in place at all times and provide the County with evidence of each policy's renewal ten (10) days in advance of its anniversary date.
Contractor is required by this Agreement to immediately notify County if they receive a communication from their insurance carrier or agent that any required insurance is to be canceled, non-renewed, reduced in scope or limits or otherwise materially changed. Contractor shall provide evidence that such cancelled or non-renewed or otherwise materially changed insurance has been replaced or its cancellation notice withdrawn without any interruption in coverage, scope or limits. Failure to maintain required insurance in force shall be considered a material breach of the Agreement.
VII. COMMERCIAL GENERAL LIABILITY AND/OR COMMERCIAL AUTOMOBILE LIABILITY
A. ADDITIONAL INSURED STATUS: The COUNTY, its officers, directors, officials, employees, and volunteers are to be endorsed as additional insureds as respects: liability arising out of activities performed by or on behalf of the CONTRACTOR; products and completed operations of the CONTRACTOR; premises owned, occupied or used by the CONTRACTOR; or automobiles owned, leased, hired or borrowed by the CONTRACTOR. The coverage shall contain no endorsed limitations on the scope of protection afforded to the COUNTY, its officers, directors, officials, employees, or volunteers. B. CIVIL CODE PROVISION: Coverage shall not extend to any indemnity coverage for the active negligence of the additional insured in any case where an agreement to indemnify the additional insured would be invalid under Subdivision (b) of Section 2782 of the Civil Code.
C. PRIMARY INSURANCE: For any claims related to this Agreement, the CONTRACTOR's insurance coverage shall be endorsed to be primary insurance as respects the COUNTY, its officers, officials, employees and volunteers. Any insurance or self-insurance maintained by the COUNTY, its officers, directors, officials, employees, or volunteers shall be excess of the CONTRACTOR's insurance and shall not contribute with it. D. SEVERABILITY OF INTEREST: The CONTRACTOR's insurance shall apply separately to each insured against whom claim is made or suit is brought, except with respect to the limits of the insurer's liability. E. SUBCONTRACTORS: CONTRACTOR shall be responsible for the acts and omissions of all its subcontractors and additional insured endorsements as provided by CONTRACTORs subcontractor. VIII. WORKERS’ COMPENSATION Workers’ Compensation Waiver of Subrogation: The workers' compensation policy required hereunder shall be endorsed to state that the workers' compensation carrier waives its right of subrogation against the COUNTY, its officers, directors, officials, employees, agents or volunteers, which might arise by reason of payment under such policy in connection with performance under this Agreement by the CONTRACTOR. Should CONTRACTOR be self-insured for workers' compensation, CONTRACTOR hereby agrees to waive its right of subrogation against COUNTY, its officers, directors, officials, employees, agents or volunteers. IX. PROPERTY Course of Construction (COC) Waiver of Subrogation: Any Course of Construction (COC) policies maintained by the CONTRACTOR in performance of the Agreement shall contain the following provisions: 1. The COUNTY shall be named as loss payee. 2. The Insurer shall waive all rights of subrogation against the COUNTY. Inland Marine Waiver of Subrogation: Any Inland Marine insurance policies maintained by the CONTRACTOR in performance of the Agreement shall be endorsed to state that the insurer shall waive all rights of subrogation against the COUNTY. X. NOTIFICATION OF CLAIM If any claim for damages is filed with CONTRACTOR or if any lawsuit is instituted against CONTRACTOR, that arise out of or are in any way connected with CONTRACTOR’s performance under this Agreement and that in any way, directly or indirectly, contingently or otherwise, affect or might reasonably affect COUNTY, CONTRACTOR shall give prompt and timely notice thereof to COUNTY. Notice shall be prompt and timely if given within thirty (30) days following the date of receipt of a claim or ten (10) days following the date of service of process of a lawsuit.
Updated 03/01/13
APPENDIX I
PRICING
State quantity and pricing for each item, FOB DESTINATION. Calculate 8.0% Sacramento County sales tax for all taxable items and freight charges (if applicable) as a separate line items.
Item QTY
U/M Description and Part/Model # Price Extended
Amount
1
2
3
4
5
6
Firm Name:________________________ Indicate your Invoice Payment Terms (e.g. N30; 2% 10, N30, etc.): _______________________ Indicate your F.O.B. Terms:_________________________________ Explanation of standard F.O.B. Terms: F.O.B. Destination, freight prepaid: Seller pays freight charges, Seller owns goods in transit, Seller files claims (if any) F.O.B. Destination, freight collect: Buyer pays freight charges, Seller owns goods in transit, Seller files claims (if any) F.O.B. Origin, freight prepaid: Seller pays freight charges, Buyer owns goods in transit, Buyer files claims (if any) F.O.B. Origin, freight collect: Buyer pays freight charges, Buyer owns goods in transit, Buyer files claims (if any) F.O.B. Origin, freight prepaid and added: Seller pays freight charges and adds to invoice, Buyer owns goods in transit, Buyer files claims (if any) F.O.B. Destination, freight prepaid and added: Seller pays freight charges and adds to invoice, Seller owns goods in transit, Seller files claims (if any)
APPENDIX K Contract Risk Assessment Questionnaire
Required Submittals
1. List the full names of any partners, owners, officers or other persons occupying a
position of authority or responsibility in your organization.
2. Please provide a financial reference from your bank.
3. Please provide complete copies of your most recent independently audited accounts and annual reports for the last three (3) years. If you are not able to provide this information, please provide details.
4. Please identify any significant changes in the financial position/condition of your business/company/organization since the last independent audit.
5. Does your business/company/organization have a DUNS Number? If so, please provide that number.
6. Please provide a summary of your business/company/organization’s insurance coverage and any material exposures.
7. Please provide the following in bond reference: company, agent, bonding capacity (per project, aggregate), date, amount and type of last bond issued, bond rate.
8. What is your business/company/organization’s bonding capacity? For a single project? For aggregate projects?
9. Attach a list of major projects you/your business/company/organization has in progress showing project name, location, contract amount, percent complete and contact person.
10. What is the estimated total value of your business/company/organizations’ uncompleted work on all outstanding contracts?
Required Responses
11. Have any of the people in item #1 been subject to bankruptcy, insolvency or receivership proceedings? Yes No If yes, please enclose details.
12. Has your business/company/organization filed for bankruptcy within the last five (5) years? Yes No If so, please enclose details.
13. Has your business/company/organization ever had a contract for the general type of services/product sought by the County terminated for non-compliance or inadequate performance? Yes No If yes, please enclose details.
14. Has your business/company/organization ever defaulted on a contract for the general type of services/product being sought by the County? Yes No If yes, please enclose details.
15. Do you run, or are you willing to run, criminal background checks on all your workers, including employees and subcontractors who may, in the course of their duties, come into contact with vulnerable groups, including the elderly, minors and people with a physical or mental disability? Yes No
16. Has there been, in the last five (5) years, or is there now pending or threatened, any litigation, arbitration, governmental proceeding or regulatory proceeding involving claims in excess of $100,000 with respect to the performance of any services or the provision of any product by your business/company/organization? Yes No If yes, please enclose details.
17. Has any litigation been settled or otherwise resolved involving your business/company/organization’s performance under a contract for the general type of services/product being sought by the County? Yes No If yes, please enclose details.
18. Has your business/company/organization fulfilled all of its obligations relating to the payment of social security contributions, payment of taxes, etc. Yes No If no, please enclose details.
19. Has the Internal Revenue Service or similar state agency conducted an investigation regarding your business/company/organization within the last five (5) years? Yes No If yes, please enclose details.
20. In the last five (5) years, has your business/company/organization, been or currently involved in any of the following:
a. Any action, audit or investigation brought by any federal government agency or authority or by any state or local governmental agency? Yes No If yes, please enclose details.
b. Any criminal proceeding, excluding traffic violations and other minor offenses? Yes No If yes, please enclose details.
21. In the last five (5) years, has your business/company/organization been debarred or suspended for any reason by any federal, state or local government or has refrained from bidding on a project due to an agreement with such governmental agency? Yes No If yes, please attach a full explanation.
22. In the past five (5) years, has your business/company/organization had its surety called upon to complete any contract, whether government or private sector? Yes No If yes, please enclose details.
23. In the past five (5) years, has your business/company/organization had a revocation, suspension or disbarment of any business or professional permit and/or license? Yes No If yes, please enclose details.
24. Within the past five (5) years, has your business/company/organization been subject to a denial or revocation of a government prequalification? Yes No If yes, please enclose details.
25. Within the past five (5) years, has your business/company/organization received an unsatisfactory performance assessment(s) from a government entity on a contract? Yes No If yes, please enclose details.
26. Have you/your business/company/organization ever failed to complete any work awarded? Yes No If yes, please enclose details.
27. Has your firm or any of its owners, officers or partners ever been convicted of a federal or state crime of fraud, theft, or any other act of dishonesty? Yes No If “yes,” identify on a separate signed page the person or persons convicted, the court (the county if a state court, the district or location of the federal court), the year and the criminal conduct.
Signature
A. THE UNDERSIGNED HEREBY CERTIFIES THAT THE RESPONSES PROVIDED ARE CORRECT AND TRUTHFUL TO THE BEST OF MY KNOWLEDGE AND FOR THOSE RESPONSES GIVEN WHICH ARE BASED ON INFORMATION AND BELIEF, THOSE RESPONSES ARE TRUE AND CORRECT BASED ON MY PRESENT BELIEF AND INFORMATION. B. Dated this ______ day of __________________ of the year _________ Name of organization: _____________________________________________ Signature: _______________________________________________________ Printed Name and title: _____________________________________________
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APPENDIX L HIPAA BUSINESS ASSOCIATE EXHIBIT TO CONTRACT
Whereas, COUNTY, pursuant to the terms of the Agreement, wishes to disclose to CONTRACTOR and CONTRACTOR wishes to disclose to COUNTY, certain information, some of which may constitute Protected Health Information (PHI) including any in an electronic format (Electronic Protected Health Information or EPHI); Whereas, in the course of the performance of the Agreement, CONTRACTOR will be provided with access to PHI; Whereas, COUNTY and CONTRACTOR desire to protect the privacy and provide for the security of PHI disclosed to each other in compliance with the Health Insurance Portability and Accountability Act of 1996 (HIPAA) Title 45 Code of Federal Regulations (CFR), Title 42 CFR Section 1320d, and regulations promulgated thereunder by the U.S. Department of Health and Human Services (the HIPAA Regulations) and other applicable laws and regulations. Whereas, it appears that the CONTRACTOR is a Business Associate of COUNTY as that term is defined in the HIPAA regulations; and Whereas, COUNTY is willing to provide CONTRACTOR and its agents with access to PHI such that CONTRACTOR can perform under the Agreement, under the terms of this Exhibit; Whereas, the purpose of this Exhibit is to satisfy certain standards and requirements of HIPAA and the HIPAA Regulations, including, but not limited to, Title 45, Section 164.504(e) of the Code of Federal Regulations (CFR), as the same may be amended from time to time. NOW, THEREFORE, in consideration of the mutual promises made herein, the parties agree as follows: I. HIPAA REQUIREMENTS
A. Definitions
1. "Protected Health Information" or "PHI" means any information, whether oral or recorded in any form or medium, including electronic (EPHI) as that term is defined in the Security Rule: 1) that relates to the past, present, or future physical or mental condition of an individual; the provision of health care to an individual; or the past, present or future payment for the provision of health care to an individual, and 2) that identifies the individual or with
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respect to which there is a reasonable basis to believe the information can be used to identify the individual, and shall have the meaning given to such term under HIPAA and the HIPAA Regulations, including, but not limited to, 45 CFR Section 164.501;
2. "Individual" shall have the same meaning as the term "individual” in 45 CFR Section 164.501 and shall include a person who qualifies as a personal representative in accordance with 45 CFR Section 164.502(g);
3. "Privacy Rule" shall mean the “Standards for Privacy of Individually Identifiable Health Information”, 45 CFR Part 160 and Part 164, subparts A and E, as amended from time to time.
4. "Security Rule" shall mean the “Security Standards”, 45 CFR Parts 160, 162, and 164.
B. Permitted Uses and Disclosures: CONTRACTOR may use and/or disclose PHI
received by it pursuant to the Agreement and this Exhibit solely for the purpose of performing its obligations under the Agreement and this Exhibit or as otherwise required by law. CONTRACTOR may disclose PHI to, and permit the use of PHI by, its employees, contractors, agents, or other representatives only to the extent directly related to and necessary for the performance of the Agreement and this Exhibit. CONTRACTOR shall not use or disclose PHI in any manner that would constitute a violation of HIPAA and the HIPAA regulations if so used by COUNTY.
C. Use and Disclosure for Contractor's Purposes and Data Aggregation:
CONTRACTOR may, if necessary, use and disclose PHI for the proper management and administration of CONTRACTOR's business or to carry out CONTRACTOR's legal responsibilities. CONTRACTOR may also use PHI to provide data aggregation services to COUNTY as permitted by 45 CFR Section 164.504(e)(2)(i)(B).
D. De-Identification: Notwithstanding anything herein to the contrary,
CONTRACTOR may store, analyze, access and use components of PHI that have been "de-identified" and that do not contain individually identifiable health information, provided that any such use is consistent with applicable laws and regulations.
E. Appropriate Safeguards: Prior to receipt of PHI in connection with the
Agreement and Exhibit, CONTRACTOR shall implement and maintain appropriate security safeguards to ensure that PHI is not used or disclosed by CONTRACTOR in violation of this Exhibit or applicable laws and regulations. Security measures maintained by CONTRACTOR shall include such appropriate administrative, technical and physical safeguards as are necessary to protect such PHI. Such safeguards shall be designed to protect the confidentiality and integrity of such PHI obtained, accessed or created from or on behalf of COUNTY. Upon request
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by COUNTY, CONTRACTOR shall provide a written description of such safeguards. CONTRACTOR shall ensure that any sub-contract it maintains in order to meet the terms of this AGREEMENT includes the same requirements for appropriate safeguards as found in this AGREEMENT.
F. Reporting Unauthorized Uses and Disclosures: As required by 45 CFR Section
164.308(a)(2), the designated HIPAA Security Officer of CONTRACTOR shall notify COUNTY in writing within five (5) working days of its discovery of any use or disclosure of PHI not permitted by the Agreement or this Exhibit of which CONTRACTOR or its officers, employees or agents become aware. Such notice shall include the name of each individual, with address or other identifiers where known, whose unsecured protected health information (PHI) has been, or is reasonably believed by the CONTRACTOR to have been, accessed, acquired, or disclosed during such unauthorized use or disclosure.
Any unauthorized use or disclosure shall be treated as discovered by the CONTRACTOR on the first day on which such access, acquisition or disclosure is known to the CONTRACTOR, including any person, other than the individual committing the unauthorized use or disclosure, that is an employee, officer or other agent of the CONTRACTOR, or who should reasonably have known such unauthorized activities had occurred. CONTRACTOR shall promptly identify, respond to and report to COUNTY any suspected or known "security incident" of which it becomes aware. Such term is defined in the HIPAA Security Rule, 45 CFR Section 164.304: “the attempted or successful unauthorized access, use, disclosure, modification, or destruction of information or interference with system operations in an information system.” CONTRACTOR’s incident report shall identify the date of the security incident, the scope of the security incident, the CONTRACTOR's response to the security incident and the identification of the party responsible for causing the security incident, if known. CONTRACTOR agrees that any sub-contractor of the CONTRACTOR that provides services to the CONTRACTOR directly related to this AGREEMENT has the same responsibilities regarding reporting unauthorized uses or disclosures as the CONTRACTOR. CONTRACTOR further agrees that it shall ensure that these responsibilities are defined in any sub-contract it enters into in order to service this AGREEMENT.
G. Mitigating the Effect of Unauthorized Uses and Disclosures: CONTRACTOR shall
take prompt corrective action to mitigate to the greatest extent possible, any harmful effects arising from any improper use and/or disclosure of PHI and shall take such other action pertaining to such unauthorized use or disclosure as may be required by applicable federal and state laws and regulations.
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Mitigation shall include CONTRACTOR notification to each individual whose unsecured protected health information (PHI or EPHI) has been, or is reasonably believed by the CONTRACTOR to have been, accessed, acquired, or disclosed during such unauthorized use or disclosure. The standard for such notification shall comply with all notification requirements as specified in 45 CFR Subpart D. Upon completion of such notification, the designated HIPAA Security Officer of CONTRACTOR shall provide the COUNTY Compliance Officer a report including the following: method(s) of communication used, as specified in 45 CFR Subpart D; date such notification was made; number of individuals notified; and a copy of the content of the notification. CONTRACTOR agrees that any sub-contractor of the CONTRACTOR that provides services to the CONTRACTOR directly related to this AGREEMENT has the same responsibilities regarding mitigating any unauthorized uses or disclosures as the CONTRACTOR. CONTRACTOR further agrees that it shall ensure that these responsibilities are defined in any sub-contract it enters into in order to service this AGREEMENT.
H. Individual Rights: CONTRACTOR shall comply with the following individual rights
requirements as applicable to PHI obtained, used or maintained by CONTRACTOR:
1. Right of Access. CONTRACTOR shall provide access to PHI, at the request of
COUNTY and in the time and manner designated by COUNTY, to COUNTY or, as directed, to an individual in order to meet the requirements under 45 CFR Section 164.524.
2. Right of Addendum. CONTRACTOR shall make any Addendum to PHI that COUNTY directs or agrees to pursuant to 45 CFR Section 164.526 at the request of COUNTY or an individual, and in the time and manner designated by COUNTY.
3. Documenting of Disclosures. CONTRACTOR shall document such disclosures of PHI as would be required for COUNTY to respond to a request by an Individual for an accounting of disclosures of PHI in accordance with 45 CFR Section 164.528.
4. Right to Accounting of Disclosures. CONTRACTOR agrees to provide COUNTY or an individual, in the time and manner designated by COUNTY, such information collected in order to permit COUNTY to respond to a request by an individual for an accounting of disclosures of PHI in accordance with 45 CFR Section 164.528.
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I. County Obligations:
1. COUNTY shall notify CONTRACTOR of any limitation in its notice of privacy practices in accordance with 45 CFR Section 164.520 to the extent that such limitation may affect CONTRACTOR's use or disclosure of PHI.
2. COUNTY shall notify CONTRACTOR of any changes in, or revocation of, permission by an individual to use or disclose PHI, to the extent that such changes may affect CONTRACTOR's use or disclosure of PHI.
3. COUNTY shall notify CONTRACTOR of any restriction to the use or disclosure of PHI that COUNTY has agreed to in accordance with 45 CFR Section 164.522, to the extent that such restriction may affect CONTRACTOR's use or disclosure of PHI.
J. Contractor's Agents: CONTRACTOR shall require that any agent, subcontractor or
other representative that is authorized to receive, use or have access to PHI obtained or created under the Agreement or this Exhibit shall agree in writing to adhere to the same restrictions, conditions and requirements regarding the use and/or disclosure of PHI and safeguarding of PHI that apply to CONTRACTOR under this Agreement and Exhibit. CONTRACTOR shall implement and maintain sanctions against any agent, subcontractor or other representative that violates such restrictions, conditions or requirements and shall mitigate the effects of any such violation. Such agreement shall identify COUNTY as a third-part beneficiary with rights of enforcement in the event of any violations by CONTRACTOR's agents, subcontractors or other representatives. Additionally, the agent, subcontractor or other representative shall be required to notify CONTRACTOR of any instances of which it is aware in which the confidentiality of PHI has been breached.
K. Regulatory Compliance: CONTRACTOR shall make its internal practices, books
and records relating to the use and disclosure of PHI received from COUNTY, or created or received by CONTRACTOR on behalf of COUNTY, available to any state or federal agency, including the U.S. Department of Health and Human Services, for purposes of determining compliance with the HIPAA Regulations.
L. Inspection of Records: Within ten (10) calendar days of a written request,
CONTRACTOR shall make available to COUNTY for inspection during normal business hours at CONTRACTOR's place of business all records, books, agreements, data, systems, policies and procedures relating to the use and/or disclosure of PHI received from, or created or received by CONTRACTOR on behalf of COUNTY, for purposes of enabling COUNTY to determine CONTRACTOR's compliance with the terms of this Exhibit. In the event that protected health information (PHI) has been, or is reasonably believed by the
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CONTRACTOR to have been, accessed, acquired, or disclosed, pursuant to (G) of this Exhibit, this advance notice by COUNTY may be waived.
M. Audit, Inspection and Enforcement By County: With reasonable notice, COUNTY
and its authorized agents or contractors may audit and/or examine CONTRACTOR's facilities, systems, policies and procedures, data and records as may be necessary to determine compliance with the terms of this Exhibit. CONTRACTOR shall promptly correct any violation of this Exhibit found by COUNTY and shall certify in writing that the correction has been made. COUNTY's failure to detect any unsatisfactory practice does not constitute acceptance of the practice or a waiver of COUNTY's enforcement rights under this Agreement and Exhibit.
N. Compliance With Law: CONTRACTOR shall comply with all applicable federal and
state laws and regulations, including, if applicable under the terms and requirements of the Agreement and this Exhibit, the HIPAA Standards for Electronic Transactions, 45 CFR Parts 160 and 162.
O. Interpretation: Any ambiguity in this Exhibit shall be resolved in favor of a
meaning that permits COUNTY to comply with HIPAA and its implementing regulations.
P. Amendment: The parties agree to amend this Exhibit from time to time as
necessary for COUNTY to comply with the requirements of HIPAA and its implementation.
Q. Term and Termination:
1. The terms of this Exhibit shall remain in effect for the duration of all services provided by CONTRACTOR and for so long as CONTRACTOR shall remain in possession of any PHI received from, or created or received by CONTRACTOR on behalf of COUNTY, unless COUNTY has agreed in accordance with this section that it is not feasible to return or destroy all PHI.
2. Upon termination of the Agreement and this Exhibit, CONTRACTOR shall recover any PHI relating to the Agreement and this Exhibit in the possession of its subcontractors, agents or representatives. CONTRACTOR shall return to COUNTY, or destroy with consent of COUNTY, all such PHI plus all other PHI relating to the Agreement and this Exhibit in its possession and shall retain no copies. If CONTRACTOR believes that it is not feasible to return or destroy the PHI as described above, CONTRACTOR shall so notify COUNTY in writing. The notification shall include: i) a statement that CONTRACTOR has determined that it is not feasible to return or destroy the PHI in its possession, and ii) the specific reasons for such determination. If COUNTY agrees in its sole discretion that CONTRACTOR cannot feasibly return or destroy the PHI, CONTRACTOR shall ensure that any and all protections,
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requirements and restrictions contained in this Agreement and Exhibit shall be extended to any PHI retained after the termination of the Agreement and the Exhibit, and that any further uses and/or disclosures will be limited to the purposes that make the return or destruction of the PHI infeasible.
R. Insurance: In addition to any insurance requirements in the Agreement,
CONTRACTOR shall maintain insurance, in such amounts as the COUNTY Risk Manager may deem necessary, to cover loss of PHI data and claims based upon alleged violations of privacy rights through improper use or disclosure of PHI. All such policies shall meet or exceed any minimum insurance requirements of the Agreement.
_________________________________ ________________________ Signature Date _________________________________ _________________________ Printed Name Position Title _________________________________ Company Name
P a g e | 1 Good Neighbor Policy
APPENDIX M GOOD NEIGHBOR POLICY
The County is a political subdivision of the State of California, that is mandated by state and federal law to provide certain services to all residents of the County, and that also provides non-mandated, desired or necessary services to enhance the well-being and quality of life for its residents. Such services are provided within the territorial boundaries of all cities within Sacramento County and in the unincorporated areas of the County. County facilities are generally located in close proximity to the constituent population served, and in areas that are easily accessible to public transportation. The siting of facilities is ultimately a County responsibility. The County requires its departments to have conducted reasonable outreach to affected neighborhoods in siting County facilities. The County takes into consideration a whole range of factors, including location of clients served, proximity of other related services needed by clientele, and any neighborhood revitalization plans and adoption siting policies of cities. The County will solicit the affected city’s input and recommendation as to location, but retains the ultimate decision as to the parameters of the search area and determination of the most appropriate sites. As a general rule, the County does not do site searches for programs, services or facilities operated by non-county entities that may receive County funding, but requires contractors to have conducted reasonable outreach to affected neighborhoods. The County contracts for services, but does not dictate the location of the facility. All businesses within the incorporated and unincorporated areas of the county must be in good standing with whatever city or County zoning laws apply in order to receive funding. The County of Sacramento is committed to being an integral part of the neighborhoods and communities in which it is located and will implement measures in order to minimize the impact of such facilities on those neighborhoods and communities. Through its placement and management of facilities and its provision of appropriate services, the County endeavors to enhance revitalizing and strengthening of neighborhoods and communities. This policy is focused on those County-owned and County-leased facilities and those service providers under contract with the County where programs provide direct service to County constituents that have a potential impact on neighborhoods through increased traffic, noise, trash, parking, people congregating, and security risks to neighborhoods and program participants. Generalized good neighbor policies that prohibit loitering, require litter control services, mandate removal of graffiti, provide for adequate parking and restroom amenities, require landscape and facility maintenance consistent with the neighborhood and require identification of a contact person for complaint resolution have general application to all county facilities and programs.
P a g e | 2 Good Neighbor Policy
Good neighbor policies will also address specific and individualized impacts of proposed facilities and services based on actual circumstances which must be determined through a case by case analysis. This policy applies only to County-owned and leased facilities and those service providers under contract with the County if the facility programs and projects provide direct services to County constituents. In addition, these service facilities must have a potential impact on neighborhoods and communities through increased traffic, noise, trash, parking, people congregating, and security risks to both neighborhoods and program participants. The County requires, with regard to the actual location of a particular facility or service, that all applicable zoning laws have been complied with. The focus of this good neighbor policy does not include the propriety of the location of a facility or program in a properly zoned neighborhood or community. While location is a consideration and input from cities, neighborhoods and communities will be sought, the ultimate decision as to location rests with the County. Once a facility is sited and in compliance with zoning laws, the intent of this policy is to identify physical impacts and measures to mitigate those impacts so as to be an integral part of the neighborhood and community the County serves. Provision A: Establish a cooperative relationship with all cities, neighborhoods and communities for planning and siting facilities and contracting for services where the service or project has a high impact on the neighborhood and mitigation of those physical impacts is necessary. Provision B: Promote decentralization of County services where feasible as a means to improve accessibility and service delivery and reduce physical impact on the environment, neighborhoods and communities. Provision C: Promote collocation of services, where feasible, as a way to enhance efficiency and reduce costs in the delivery of services. Provision D: Promote exploration of innovative ways to increase accessibility to services that could also reduce physical impacts on the environment, neighborhoods and communities. Provision E: Establish early communication with affected cities, neighborhoods and communities as a way to identify potential physical impacts on neighborhoods and to establish mitigation as necessary as well as appropriate property management practices so as not to be a nuisance. Provision F: Maintain ongoing communication with cities, neighborhoods and communities as a way to promote integration of facilities into the community, to determine the effectiveness of established good neighbor practices, and to identify and resolve issues and problems expediently.
P a g e | 3 Good Neighbor Policy
Provision G: Establish generalized good neighbor practices for high impact facilities, services and projects that include: • Provision of adequate parking • Provision of adequate waiting and visiting areas • Provision of adequate restroom facilities • Provision for litter control services • Provision for removal of graffiti • Provision for control of loitering and management of crowds • Provision for appropriate landscape and facility maintenance in keeping with neighborhood standards • Provision for identification of a contact person for complaint resolution • Provision in contracts for the County to fix a deficiency and deduct it from the money owed to the program if the program fails to fix them. • Provision to participate in area crime prevention and nuisance abatement efforts. Provision H: Establish specific good neighbor practices for high impact facilities, services and projects based on a factual analysis of circumstances that would require more oversight and extraordinary measures to ensure the resolution of problems as they occur. Provision I: Establish requirements that all facilities, services and projects be in compliance with various nuisance abatement ordinances and any other provision of law that applies. Provision J: Establish a central point of contact, within the County, for resolving non-compliance with this Good Neighbor Policy when all other administrative remedies have been exhausted. This requires contact with funding agencies, site contacts, call report logs, database maintenance, and trend analysis. Provision K: Conduct a periodic review of all sites and projects included in this policy to determine the effectiveness of the application of the Good Neighbor Policy. Provision L: Continued non-compliance by contractor to this policy and its provisions may result in contract termination and ineligibility for additional or future contracts.
P a g e | 4 Good Neighbor Policy
GOOD NEIGHBOR POLICY STANDARD CONTRACT LANGUAGE The following language will be incorporated into any resulting contract: A. CONTRACTOR shall comply with COUNTY’s Good Neighbor Policy. CONTRACTOR shall establish good neighbor practices for its facilities that include, but are not limited to, the following:
1. Provision of parking adequate for the needs of its employees and service population; 2. Provision of adequate waiting and visiting areas; 3. Provision of adequate restroom facilities located inside the facility; 4. Implementation of litter control services; 5. Removal of graffiti within seventy-two hours; 6. Provision for control of loitering and management of crowds; 7. Maintenance of facility grounds, including landscaping, in a manner that is consistent with the neighborhood in which the facility is located; 8. Participation in area crime prevention and nuisance abatement efforts; and 9. Undertake such other good neighbor practices as determined appropriate by COUNTY, based on COUNTY’s individualized assessment of CONTRACTOR’s facility, services and actual impacts on the neighborhood in which such facility is located.
B. CONTRACTOR shall identify, either by sign or other method as approved by the DIRECTOR, a named representative who shall be responsible for responding to any complaints relating to CONTRACTOR’s compliance with the required good neighbor practices specified in this Section. CONTRACTOR shall post the name and telephone number of such contact person on the outside of the facility, unless otherwise advised by DIRECTOR. C. CONTRACTOR shall comply with all applicable public nuisance ordinances. D. CONTRACTOR shall establish an ongoing relationship with the surrounding businesses, law enforcement and neighborhood groups and shall be an active member of the neighborhood in which CONTRACTOR’s site is located. E. If COUNTY finds that CONTRACTOR has failed to comply with the Good Neighbor Policy, COUNTY shall notify CONTRACTOR in writing that corrective action must be taken by CONTRACTOR within a specified time frame. If CONTRACTOR fails to take such corrective action, COUNTY shall take such actions as are necessary to implement the necessary corrective action. COUNTY shall deduct any actual costs incurred by COUNTY when implementing such corrective action from any amounts payable to CONTRACTOR under this Agreement. F. CONTRACTOR’s continued non-compliance with the Good Neighbor Policy shall be grounds for termination of this Agreement and may also result in ineligibility for additional or future contracts with COUNTY.
Rev. 7/5/13
APPENDIX N
IRAN CONTRACTING ACT DISCLOSURE FORM (California Public Contract Code, sections 2202-2208)
When responding to a bid or proposal or executing a contract or renewal for a County of Sacramento contract for goods or services of $1,000,000 or more, a vendor must either: a) certify it is not on the current list of persons engaged in investment activities in Iran created by the California Department of General Services (“DGS”) pursuant to Public Contract Code section 2203(b) and is not a financial institution extending twenty million dollars ($20,000,000) or more in credit to another person, for 45 days or more, if that other person will use the credit to provide goods or services in the energy sector in Iran and is identified on the current list of persons engaged in investment activities in Iran created by DGS; or b) demonstrate it has been exempted from the certification requirement for that solicitation or contract pursuant to Public Contract Code section 2203(c) or (d). To comply with this requirement, please provide your vendor or financial institution name and complete one of the options below. Please note: California law establishes penalties for providing false certifications, including civil penalties equal to the greater of $250,000 or twice the amount of the contract for which the false certification was made; contract termination; and three-year ineligibility to bid on contracts. (Public Contract Code section 2205.) OPTION #1 - CERTIFICATION I, the official named below, certify I am duly authorized to execute this certification on behalf of the vendor/financial institution identified below, and the vendor/financial institution identified below is not on the current list of persons engaged in investment activities in Iran created by DGS and is not a financial institution extending twenty million dollars ($20,000,000) or more in credit to another person/vendor, for 45 days or more, if that other person/vendor will use the credit to provide goods or services in the energy sector in Iran and is identified on the current list of persons engaged in investment activities in Iran created by DGS. Vendor Name/Financial Institution
By (Authorized Signature)
Printed Name and Title of Person Signing
Date Executed Executed in
OPTION #2 – EXEMPTION Pursuant to Public Contract Code sections 2203(c) and (d), a public entity may permit a vendor/financial institution engaged in investment activities in Iran, on a case-by-case basis, to be eligible for, or to bid on, submit a proposal for, or enters into or renews, a contract for goods and services. If you have obtained an exemption from the certification requirement under the Iran Contracting Act, please fill out the information below, and attach documentation demonstrating the exemption approval. Vendor Name/Financial Institution
By (Authorized Signature)
Printed Name and Title of Person Signing
Date Executed Executed in