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HomeMy WebLinkAboutUNIVERSITY OF LA VERNEINSURANCE ON FILE WORK MAY PROCEED A-2020-194-19 UNTIL INSURANCE EXPIRES 07.01 •.2D1d_ CLERK OF COUNCIL v' DATE: _ AGREEMENT FOR WORKFORCE TRAINING U COA (SOLA4l gaYba)(A)TfHIS SUBAWARD AGREEMENT, made and entered into this 1st day of May, 2021, by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("CITY") and University of La Verne ("CONTRACTOR"). RECITALS: A. CITY has been designated a Local Workforce Development Area (LWDA) under the Workforce Innovation and Opportunity Act of 2014, Public Law 1-113-128 ("WIOA" or "the Act"), Catalog of Federal Domestic Assistance (CFDA) Number 17.259 and Federal Award Identification Number (FAIN) AA253421455A6. B. The State of California has created the LWDA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWDA, CITY is entitled to receive federal funds to establish programs to increase the employment, retention and earnings of Participants, and increase occupational skills attainment by Participants, and as a result, improve the quality of the workforce, reduce welfare dependency, and enhance the productivity and competitiveness of the nation. Under WIOA, participants in need of training services may access career training through a list of state -approved schools and their training programs. D. In addition to WIOA, the CITY received funding from the Orange County Social Services Vocational Training grant funded through the California Work Opportunity and Responsibility to Kids Act of 1997, which provides monies for the basic needs of families with children ("CaIWORKs" or "SSA"). An important component of CaIWORKS allows for the provision of employment services for parents. Heads of households are provided job training services to help families upgrade job skills with the ultimate goal of self-sufficiency. E. The City intends to utilize the WIOA and SSA Grant Funds to operate a Workforce Training Program in which vocational training courses will be made available to Qualified Participants. Pursuant to the Workforce Training Program, the City desires to contract with public and private organizations, including employers, who are qualified to participate in the City's Workforce Training Program by providing services to Qualified Participants (each, a "Qualified Contractor"). F. CONTRACTOR is a Qualified Contractor that has been selected as one of several vendors that qualified to provide workforce training under the Workforce Training Program. G. CONTRACTOR represents that it is knowledgeable in its field, and is willing to provide workforce training services under the Workforce Training Program pursuant to applicable federal and California laws. H. The CITY and CONTRACTOR (each, a "Party" and jointly, the "Parties") Page 1 of 17 desire to enter into this Agreement so that CONTRACTOR may receive a subgrant of the proceeds of the WIOA and/or SSA Grants (hereinafter defined as the "Subgrant") in consideration for Contractor's participation in the City's WIOA and/or SSA Programs and provision of services to Qualified Participants upon the request of the City. WHEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do hereby agree as follows: I. CONTRACTOR'S OBLIGATIONS A. In compliance with all of the terms and conditions of this Agreement, CONTRACTOR shall provide the Contractor's Services, as authorized by the City's Representative. Contractor represents and warrants that Contractor's Services to be provided hereunder shall be performed in a competent, professional and satisfactory manner in accordance with the City's Workforce Training Program. B. CONTRACTOR agrees to provide benefits to individuals who participate in the activities and services funded by this Agreement ("Participants") in accordance with the standards and requirements set forth in this Agreement. C. CONTRACTOR acknowledges and agrees that City shall request that Contractor provide the Contractor's Services on an "as requested" basis and that City does not guaranty a minimum number of Qualified Participants for whom Contractor's Services shall be requested and required under this Agreement. Contractor acknowledges and agrees that Contractor shall not commence to provide Contractor's Services to a particular Qualified Participant hereunder unless and until Contractor receives a Notice to Proceed from the City authorizing the provision of Contractor's Services to that particular Qualified Participant. Contractor further acknowledges and agrees that this Agreement and any request for the provision of services hereunder is nonexclusive and that the City may enter into similar agreements with other entities for the provision of similar services. D. Time is of the essence in the performance of this Agreement. CONTRACTOR shall perform and complete all of CONTRACTOR's Services in a timely and expeditious manner. Contractor shall not be responsible for delays caused by circumstances beyond its reasonable control, provided that CONTRACTOR has delivered to the City written notice of the cause of any such delay within ten (10) days of the occurrence of such cause. E. Scone of Services. On an as -needed basis, and at the sole discretion of CITY, CONTRACTOR shall perform the services that are described in Exhibit A. The Scope of Services shall include the CONTRACTOR's proposal or bid, if any, which shall be incorporated herein by this reference as though fully set forth herein. In the event of any inconsistency between the terms of such proposal and this Agreement, the terms of this Agreement shall govern. When the need for services arise, CITY may initiate services through use of a Letter Agreement for a specific workforce training, including a copy of the course description, executed by the Executive Director Page 2 of 17 of the Community Development Agency and the CONTRACTOR. Work by the CONTRACTOR may not proceed absent this fully executed Agreement and separate Letter Agreements for specific Qualified Participants. F. Compliance with Law. CONTRACTOR's Services shall be provided in accordance with all ordinances, resolutions, statutes, rules, regulations and laws of the City and any Federal, State or local governmental agency of competent jurisdiction. G. CONTRACTOR shall obtain, at Contractor's sole cost and expense, such licenses, permits and approvals as may be required by law for the performance of CONTRACTORS Services. CONTRACTOR shall have the sole obligation to pay for any fees, assessments and taxes, plus applicable penalties and interest, which may be imposed by law and which arise from or are necessary for the performance of the services required by this Agreement H. CONTRACTOR shall adhere to all applicable Labor Standards. I. If funding is through WIOA, CONTRACTOR agrees to comply with the "Complaint Handling Procedures Under the WIOA", attached hereto as Exhibit H and incorporated herein as though fully set forth in 20 CFR 658.411. CONTRACTOR shall advise Participants of their rights to file complaints under the Act and the procedures for resolution of any complaints. CITY's procedures for handling complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall be followed and any decision of CITY, the State or the federal government relating to the complaint shall be binding and followed by CONTRACTOR. CONTRACTORS who are employers shall operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to the terms and conditions of employment; these procedures shall be approved in writing by CITY. J. As a condition of this award of financial assistance under the Act to CONTRACTOR from CITY, CONTRACTOR assures, with respect to operation of all programs or activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry out such programs or activities, that it will comply fully with the nondiscrimination and equal opportunity provisions of the Act (Section 188) and compliance with Equal Employment Opportunity provisions in Executive Order (E.O.) 11246, as amended by E.O. 11375 and supplemented by the requirements of 41 CFR Part 60; the Nontraditional Employment for Women Act of 1991; Title VI of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing those laws, including, but not limited to, 29 CFR Parts 33 and 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance. K. CONTRACTOR agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act, or the approval of SSA funding, as applicable. L. CONTRACTOR agrees to the following accounting, monitoring, auditing, Page 3 of 17 and review requirements: 1. CONTRACTOR agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of CONTRACTOR'S services or activities, costs or other data, including but not limited to Participants' attendance and certifications. 2. CITY, the State of California and the United States government and/or their representatives shall have access for purposes of monitoring, auditing and examining of CONTRACTOR'S activities, performance, and Participants related to this Agreement. Such agencies or representatives shall also schedule on -site monitoring at their discretion. Monitoring activities may also include, but are not limited to, questioning employees and Participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of CONTRACTOR are kept (2 CFR §200.330). Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. 3. In the event CONTRACTOR does not make the above -referenced documents available within the City of Santa Ana, California, CONTRACTOR agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. 4. All accounting records and evidence pertaining to all costs of CONTRACTOR and all documents related to this Agreement shall be kept available at the location where CONTRACTOR conducted the program, as well as in the County of Orange, for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. M. Without prejudice to any other section of this Agreement, CONTRACTOR shall, where applicable, maintain the confidential nature of information provided to it concerning Participants in accordance with the requirements of federal and state law. Notwithstanding the foregoing, CONTRACTOR agrees to submit to CITY, the State of California and/or the United States Government or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted, by CONTRACTOR, costs incurred and services rendered hereunder. N. CONTRACTOR shall not expend funds pursuant to this Agreement to provide services to any participant where costs of training are paid for by any other person or entity. O. If funding is through WIOA, CONTRACTOR shall comply with the Page 4 of 17 provisions of Uniform Guidance 2 CFR Part 200 of the U.S. Office of Management and Budget (OMB) and all other applicable federal statutes and executive orders and their implementing regulations, including regulations at 29 CFR Part 97. P. If funding is through WIOA, CONTRACTOR shall comply with the requirements of federal regulations found at 29 CFR Part 93, which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. CONTRACTOR shall sign a Certification Regarding Lobbying to that effect in a form as set forth in Exhibit D, attached hereto and by this reference incorporated herein. CONTRACTOR shall submit said signed Certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to CONTRACTOR under the terms and conditions of this Agreement. Q. CONTRACTOR agrees to provide a drug -free work place and to execute a Drug Free Workplace Certification as set forth in Exhibit E attached hereto and incorporated herein by this reference. R. CONTRACTOR, in accordance with the Child Support Compliance Act, recognizes and acknowledges the importance of child and family support obligations and shall fully comply with all state and federal 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 state Family Code; and, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Employee Registry maintained by the California Employment Development Department (EDD). S. CONTRACTOR agrees to comply with all applicable provisions of the Actor SSA, as applicable, and all applicable federal regulations, including, but not limited to, the Code of Federal Regulations, Subtitle A —Office of Management and Budget Guidance for Grants and Agreements, as well as all applicable state and local regulations. T. If funding is through WIOA, CONTRACTOR agrees to remain in compliance with the Certification Regarding Debarment, attached hereto as Exhibit F and incorporated herein by reference, as required by the regulations implementing Executive Order 12549, Debarment and Suspension, (2 CFR Part 180). U. If funding is through WIOA, CONTRACTOR agrees to provide priority of services for veterans and eligible spouses pursuant to 20 CFR Part 1010, and the regulations implementing priority of service for veterans and eligible spouses in Department of Labor job training programs under the Jobs for Veterans Act published at 73 Fed. Reg. 78132 on December 19, 2008. Page 5 of 17 V. CONTRACTOR acknowledges that the official name for the statewide system of providing employment and training through the WIOA partnerships, SSA, and various other local programs is "America's Job Center". To achieve the goals of this Workforce Training Program, it is important that the public has a quick and easy method to identify that the projects or programs they are taking part in are part of the "America's Job Center". CONTRACTOR agrees to place the America's Job Center logo, in accordance with the State of California guidelines for such use, on all public materials, such as statements, press releases, brochures, advertisements, reports and other documents describing projects or programs funded in whole or in part with WIOA or SSA funds. When the America's Job Center logo is used, CONTRACTOR may accompany it with the following statement, "The (CONTRACTOR) is a proud partner of the America's Job Center network". CONTRACTOR shall not use the America's Job Center logo in any manner that would imply that the State of California endorses a commercial product, service or activity. II. CITY'S OBLIGATIONS A. On July 1, 2020 the CITY was awarded a Department of Labor Workforce Innovation and Opportunity Act grant of $1,260,082.00 for fiscal year 2020-2021. In addition, on July 1, 2020, the CITY was awarded an Orange County Social Services Vocational Training grant through the California Work Opportunity and Responsibility to Kids Act of 1997 in the total amount of $1,677,928.00 for fiscal year 2020-2022. A portion of both grants in a total amount not to exceed $2,000,000.00 shall be available to all Qualified Contractors to provide workforce training classes for Qualified Participants. B. If a Qualified Participant chooses to enroll in a course offered by CONTRACTOR, CITY agrees to pay to CONTRACTOR when, if and to the extent WIOA or SSA funds are received under the provisions of the applicable grants, in accordance with the Course Costs attached hereto as Exhibit B and incorporated herein by reference, which may be amended during the period of this Agreement. Said sum shall be paid with either WIOA or SSA funds, as determined by the CITY in its sole discretion, after CITY receives invoices submitted by CONTRACTOR as provided herein. C. CONTRACTOR has the ability to adjust line item amounts in the Course Costs with the approval of the Executive Director. D. CITY agrees to provide for on -site monitoring reviews of the Workforce Training Program operation at least annually. In addition, monthly desk -top reviews of pertinent information will be conducted. E. CITY has the right to de -obligate the funds hereunder, and take such funding back from CONTRACTOR, due to any of the following reasons: (a) lack of performance by CONTRACTOR; (b) lack of fiscal accountability of CONTRACTOR; or (c) decrease in available funding. Page 6 of 17 III. COMPENSATION A. CITY neither warrants nor guarantees any minimum or maximum compensation to CONTRACTOR under this Agreement. CONTRACTOR shall be paid only for actual services performed under this Agreement at the rates and charges identified in Exhibit B. Any compensation payable to CONTRACTOR shall be paid from a portion of the above - referenced WIOA and/or SSA grants awarded to the City in a total amount not to exceed $2,000,000.00. B. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. IV. TERM OF AGREEMENT A. This Agreement shall commence on the date stated above and continue through June 30, 2023, with a one-year option to renew executable by the CITY in its sole discretion, unless terminated earlier by either party. The one-year option may be executed, or the Term of this Agreement may be further extended, by a writing executed by the City Manager and the City Attorney. B. Unless the CITY authorizes an extension, CONTRACTOR must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar days after the end date of the period of performance as specified in the terms and conditions of the Federal award, as applicable. IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. V. WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS A. CONTRACTOR shall use appropriate funds received from CITY to provide workers' compensation to all those hired by CONTRACTOR under this Agreement. B. CONTRACTOR shall have the right to hire, dismiss, or promote its Page 7 of 17 employees or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any other applicable law, and CONTRACTOR maintains itself as an Equal Opportunity employer. VI. APPLICABLE GUIDELINES A. The parties hereto agree that CONTRACTOR shall comply with all applicable federal and state laws and regulations, including, but not limited to the Performance Indicators attached hereto as Exhibit C and incorporated herein by reference, and general program requirements described in Sections 2 and 116 of the Act, and applicable regulations, and the U.S. Department of Labor guidelines and regulations, including amendments or revisions made during the terms of this Agreement. Said applicable laws are hereby incorporated by reference and made part of this Agreement as though fully set forth herein. B. CONTRACTOR also assures and certifies that: I . CONTRACTOR shall comply with Title VII of the Civil Rights Act of 1964 (P.L. 83-354) and in accordance with Title VII of the Act, requiring that no person shall, on the grounds of race, color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agreement. 2. CONTRACTOR shall comply with any and all federal laws limiting the political activity of employees hired under this Agreement. 3. CONTRACTOR shall comply with the requirements that no program under the Act shall involve political activities. 4. RECORD INSPECTION. CONTRACTOR shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WDB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three- year period from and after the effective date of this Agreement. 5. No person with responsibilities in the operation of any program under the Workforce Training Program shall discriminate with respect to any program participant or any application for participation in such program because of race, creed, color, national origin, sex, political affiliation or beliefs. 6. CONTRACTOR shall maintain appropriate standards for health and safety in work and training situations. 7. CONTRACTOR shall comply with general provisions, assurances, Page 8 of 17 and execute the Assurances and Certifications attached hereto as Exhibit G and incorporated herein. 8. EQUAL OPPORTUNITY. Any literature distributed by CONTRACTOR for the purpose of apprising businesses, Participants, or the general public of its programs under this Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana Workforce Development Board, and shall state that the program is an "equal opportunity employer/program" and that "auxiliary aids and services are available upon request to individuals with disabilities." 9. Based on the population eligible to be served, or likely to be directly affected by the program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity. Pursuant to 29 CFR 37.35, CONTRACTOR must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than English. 10. CONTRACTOR certifies that all property, finished or unfinished documents, data, studies and reports prepared or purchased under this Agreement, will be disposed of in accordance with the direction of the CITY. In addition, any tools and/or equipment furnished to the CONTRACTOR by the CITY and/or purchased by the CONTRACTOR with funds pursuant to this Agreement, will be limited to use within the activities outlined in this Agreement and will remain the property of the United States Government and/or CITY. Upon termination of this Agreement, CONTRACTOR will immediately return such tools and/or equipment to the CITY or dispose of them in accordance with the direction of the CITY. 11. CONTRACTOR certifies that this Agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose, nor does it help to support or sustain any school, college, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 12. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder exceeds $100,000, CONTRACTOR must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental Protection Agency ("EPA") regulations (40 CFR Part 35) as any may now exist or be hereafter amended. Under these laws and regulations, the CONTRACTOR assures that: (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; and, Page 9 of 17 (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. 13. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT: a. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial, political gain. CONTRACTOR, its officers and employees, in administering this Agreement, will avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain. b. Employment of Former State or CITY Employees. CONTRACTOR will ensure that any of its employees who were formerly employed by the State of California or CITY, in a position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less than two (2) years following the termination of such employment. c. Conducting Business Involving Relatives. No relative by blood, adoption or marriage of any executive or employee of CONTRACTOR will receive favorable treatment when considered for enrollment in programs provided by, or employment with, CONTRACTOR. d. Conducting Business Involving Close Personal Friends and Associates. Executives and employees of CONTRACTOR will be particularly aware of the varying degrees of influence that can be exerted by personal friends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for CONTRACTOR to conduct business with a friend or associate of an executive or employee of CONTRACTOR, an elected official in the area or a voting or non -voting member of the Workforce Investment Board (WIB), a permanent record of the transaction will be retained. e. Avoidance of Conflict of Economic Interest. No executive or employee of CONTRACTOR elected official in the area, or voting or non -voting member of a WDB, will solicit or accept money or any other consideration from a third person, for the performance of an act reimbursed in whole or part by CONTRACTOR or CITY. Supplies, materials, equipment or services purchased with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No voting member of the WDB will cast a vote on the provision of services or vote on any matter which would provide direct financial benefit to that member or any business or organization which the member directly represents. f. Salary and Bonus Limitations. If CONTRACTOR receives WIOA funds, CONTRACTOR is required to comply with federal requirements regarding the limitations on salary and bonus payments in accordance with Public Law 109-149, Section 7013. VII. Page 10 of 17 HOLD HARMLESS A. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers' compensation claims, resulting from or arising out of the negligent acts, errors or omission of CONTRACTOR, its employees or subcontractors. B. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from and against any and all claims, demands, suits, actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts of CONTRACTOR, its employees or subcontractors. VIII. INSURANCE 1. Commercial General Liability. CONTRACTOR agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial general liability insurance insuring the State of California, CITY, and CONTRACTOR against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence, with $2,000,000 in the aggregate coverage. Said policy of comprehensive general liability insurance shall be endorsed to provide to CITY and to the State of California, Employment Development Department, at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, and the State of California, its officers, employees, and volunteers as Additional Insured; and state that such coverage is primary to any other coverage or self-insurance of the State of California and CITY (in substantially the form as Exhibit 1, Additional Insured Endorsement, attached hereto). Governmental entities may substitute a certificate of self-insurance. 2. Workers' Compensation. If CONTRACTOR is an "employer", as set forth in California Labor Code Section 3300 et seq., or utilizes Participants as "employees," as set forth in California Labor Code Section 3350 et seq., CONTRACTOR shall obtain and keep in force during the term of this Agreement fall Workers' Compensation insurance coverage for injuries suffered by Participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification. CONTRACTOR shall carry medical and accident insurance for those Participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to California Labor Code Section 3350, et seq. Page 11 of 17 3. Proof of Insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. CONTRACTOR understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. IX. CORPORATESTATUS CONTRACTOR shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board or Internal Revenue Service. Any change in corporate status or suspension shall be reported immediately to CITY. X. ASSIGNABILITY None of the duties of, or work to be performed by, CONTRACTOR under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY. CONTRACTOR must submit all subcontracts and other agreements that relate to this Agreement to CITY. If receiving WIOA funds, CONTRACTOR acknowledges and agrees that it must follow procurement regulations for contractors (2 CFR §200.317). No subcontract or assignment shall terminate or alter the legal obligations of CONTRACTOR pursuant to this Agreement. XI. LAWS GOVERNING THIS AGREEMENT In its performance under this Agreement, CONTRACTOR shall fully comply with the requirements of the following, whether or not otherwise referred to in this Agreement: 1. If receiving WIOA funds, the Act and all applicable federal statutes, regulations, policies, procedures and directives, including but not limited to, 2 CFR 200 and 20 CFR. Parts 651 and 654 2. All applicable State statutes, regulations, policies, procedures and directives; 3. All applicable CITY policies, procedures and directives; 4. All applicable local ordinances and requirements, including use permits and licensing; 5. Court orders applicable to its operation; and, 6. The terms and conditions of this Agreement. If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with such or will notify CITY after enactment or modification that it cannot so comply. CITY may thereupon terminate this Agreement, if necessary. Page 12 of 17 XII. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the employment of CONTRACTOR by CITY, and contains all the covenants and agreements between the parties with respect to such employment. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and CONTRACTOR. XIII. FRAUD CONTRACTOR shall immediately report to CITY all instances and facts concerning possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this Agreement. XIV. CONTINGENCY OF FUNDS CONTRACTOR acknowledges that approval of and funding for this Agreement is contingent upon State approval, and WIOA and/or SSA funds received or obligated from the State of California to CITY. If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify CONTRACTOR. Within twenty (20) days of receipt of such notice, CONTRACTOR shall modify or cease operations as directed by CITY and negotiate necessary modification to this Agreement and/or reimbursement of costs incurred hereunder. XV. TERMINATION A. This Agreement may be terminated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. However, CONTRACTOR may not terminate this Agreement if undue hardship will result to any participant. B. In the event CONTRACTOR defaults by failing to fulfill all or any of its obligations hereunder, CITY may declare a default and termination of this Agreement by written notice to CONTRACTOR, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in Page 13 of 17 obtaining substitute performance. XVI. DISPUTES Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to CONTRACTOR. The decision of the City shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from CONTRACTOR written request to appeal said decision. If receiving WIOA funds, procedures governing the appeal shall be prescribed by CITY and/or the State of California in accordance with the Act and all corresponding regulations and OMB circulars. Pending final disposition of the appeal, CONTRACTOR shall act in accordance with CITY's decision unless the dispute involves a change order. XVII. BREACH - SANCTIONS If, through any cause, CONTRACTOR violates any of the terms and conditions of this Agreement, and/or prior agreements whereby grant funds were received by CONTRACTOR pursuant to this Agreement, or if CONTRACTOR reports inaccurately or if any Audit Report makes disallowances, CONTRACTOR shall promptly remedy its acts or omissions and/or repay CITY all amounts due CITY as a result of CONTRACTOR's violation. For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such time as CONTRACTOR fulfills its obligations or remedies all violations of this Agreement or prior agreements; and/or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice CONTRACTOR has failed to repay same or a repayment schedule has not been made; and/or (3) terminate this Agreement by giving written notice to CONTRACTOR of such termination in accordance the notice provision in Paragraph XVIII herein below. Page 14 of 17 XVIII. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: CITY: City of Santa Ana Manager, WDB Administrative Office P.O. Box 1988 (M-76) Santa Ana, CA 92702 CLERK: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax (714) 647-6956 CONTRACTOR: University of La Verne Office of Extended Learning-Jaimie Rush 1950 Third Street La Verne, CA 91750 jrush@laveme.edu XIX. MERGER This Agreement, together with the attachments hereto, expresses the total understanding of the parties. There are no oral understandings of the parties or terms and conditions other than as stated herein. XX. VALIDITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. XXI. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall Page 15 of 17 indemnify CITY fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. (Signatures on following page) Page 16 of 17 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above -written. ATTEST: "CITY" eiDa,,,,Gomez of the Council APPROVED AS TO FORM: Sonia R. Carvalho City Attorney M City Attorney RECOMMENDED FOR APPROVAL: Steven A. Mendoza Executive Director Community Development Agency r , V . By: Kristine Ridge City Manager e . "CONTRACTOR" By: t� f Name: Title: ID lie Tax ID #: 9 5 v '+!r' ` J� 02� Page 17 of 17 Scope of Service & Course Cost EXHIBIT B - COURSE COST University of La Verne Eligible Training Programs Effective 2021 PROGRAM Total Hours Total Weeks $ Total Cost Agile Certified Practitioner program ACP 32 4 $2,299 APICS Certified In Logistics, Transportation and Distribution - midweek 42 + 22 online (64 total) 12 $3,400 APICS Certified in Logistics, Transportation and Distribution - Sat 42 + 22 online (64 total) 6* $3,400 Certificate in Construction Management 27 9 $2 399 Event and Wedding Planning Certificate Program 42 12 $1,499 Lean Six Sigma Black Belt Certificate program 48 + 21 online (69 total) 2 $4,500 Lean Six Sigma Green Belt Certification 24 1 $2,299 Medical Billing Certificate Program CPB 115 10 $3,999 Medical Coding CPC Certificate Program 115 10 $3,999 Project Management Professional Certificate Program (PMP) 36 4 $2,999 Risk Management Professional PMI-RMP 32 4 $1,999 SHRM California Law HR Specialty Credential 15 + 10 online (25 total) 3 $1 799 SHRM Certificate in Human Resources Management Program 39 13 $2,299 SHRM Certificate in HR Management with SHRM California Law HR Specialty Credential 55 + 9 online (64 total) 15 $4,558 Project Management Professional and Agile Certified Practitioner Combo program 68 8 $5,298 Project Management with Lean Six Sigma Green Belt Combo program 60 5 $5,298 Project Management Professional (PMP) with Risk Management Professional (PMI-RMP) Combo program 68 8 $4,998 Project Management Professional with Certificate In Construction Management Combo program 63 13 $4,998 Project Management Professional with SHRM Certificate in Human Resources Management Combo Program $5,298 75 17 36 + 30 online (66 APA FPC CPP Payroll Certification total) 6 $2,799 SHRM California Law HR Specialty Credential with 51 + 40 online (91 APA FPC CPP Payroll Certification total) 1 9 $4,598 SHRM Certificate in Human Resources Management Program with APA FPC/CPP Payroll 75 + 30 online Certification 105 total 19 $5 098 =:4:r_« Employment INFORMATION NOTICE EDDD001 DepartmenDate: June 4, 2020 Number: WSIN19-48 5tat`e'of California Expiration Date:07/04/2020 STATE NEGOTIATED PERFORMANCE GOALS PY 2020 and 2021 The Workforce Innovation and OpportunityAct(WIOA) Section 116(b) requires the state to reach an agreement with the US Department of Labor (DOL) on state -level performance goals for the Wagner-Peyser, and WIOA Title IB Adult, Dislocated Worker, and Youth programs every two years. In May 2020, the state negotiated the performance goals with the DOL for Program Years (PY) 2020 and 2021 using the Statistical Adjustment Model (SAM) as a baseline, PY 2020 and PY 2021 Negotiated Performance Goals Indicators Adults Dislocated Youth Wagner - Workers Peyser Employment Rate 2nd Quarter After Exit 67.0% 71.9% 71.0/0 o 61.4/o 0 (Includes placement in education for Youth Employment Rate 4th Quarter After Exit 66.0% 72.5% 71.0% 62.0% (Includes placement in education for Youth Median Earnings 2nd $6,000 $8,070 $3,490 $6,689 Quarter After Exit Credential Attainment 60.0% 60.0% 60.0% N/A Measurable Skill 50.0% 50.0% 56.4% N/A Gains The Employment Development Department will negotiate levels of performance for five of the WIOA primary indicators of performance with Local Areas for PY 2020 and PY 2021. The state will take into account the following factors when negotiating performance goals with the Local Areas: The EDD is an equal opportunity employer/program. Auxiliary aids and services are available upon request to individuals with disabilities. Page 1 of 2 50:187 EXHIBIT C How the levels involved compare with the negotiated levels of performance established for the state. • Ensure that the negotiated levels account for the economic conditions and the participant characteristics based on the SAM. • The levels involved promote continuous improvement of the indicators of performance. For more information on the Performance Negotiation process, please review the Workforce Services Directive State Level Performance Goals and Local Area Negotiations (WSD19-11 PDF). If you have questions related to this information, contact the Program Reporting and Analysis Unit at wsbmanageoerformance@edd.ca.gov. /s/1AIME L. GUTIERREZ, Chief Central Office Workforce Services Division Page 2 of 2 The undersigned certifies, to the best of his or her 1) No Federal appropriated funds have been paid or will the undersigned, to any person for influencing or after officer or employee of any agency, a Member of Cone awarding of any Federal contract, the making of any f any Federal loan, the entering into of any cooperative extension, continuation, renewal, amendment, or mod contract, grant, loan, or cooperative agreement. 2) If any funds other than Federal appropriated funds hav to any person for influencing or attempting to influence any agency, a Member of Congress, an officer or empi employee of a member of Congress in connection with grant, loan, or cooperative agreement, the undersignec submit Standard Form-LLL, "Disclosure Form to Repoi accordance with its instructions. belief, that: aid, by or on behalf of 3 to influence an in connection with the al grant, the making of sment, and the on of any Federal been paid or will be paid in officer or employee of yee of Congress, or an his Federal contract, shall complete and Lobbying." in 3) The undersigned shall require that the language of thistding rtification be included in the award documents for all'subawards at all tiers (incl agreements) and that all subrecipient's shall certify and disclose accordi y. This certification is a material representation of fact upon wh when this transaction was made or entered into. Submission prerequisite for making or entering into this transaction impo Any person who fails to file the required certification shall be not less than $10,000 and not more than $100,000 for each before October 23, 1996, and of not less than $11,000 and r each such failure. University of La Verne Grantee or Organization 4Z,74i 1401 Mary Aguayo Name of Certifying Official Signature reliance was placed this certification is a f by 31 U.S.C. 1352, bject to a civil penalty of %h failure occurring on or more than $110,000 for Learning I-itle f,N(' Certification Regarding Drug -Free Workplace Requirements The certification set out below is a material representation upon which reliance is placed by the U.S. Department of Housing and Urban Development in awarding the grant. If it is later determined that the contractor knowingly rendered a false certification, or otherwise violates the requirements of the Drug -Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug -Free Workplace Act. CERTIFICATION A. The contractor certifies that it will provide a drug -free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug -free awareness program to inform employees about — (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug -free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph -(a) that, as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. (e) Notifying the U.S. Department of Housing and Urban Development within ten days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction; EXHIBIT E (e) Notifying the U.S. Department of Housing an Urban Development within ten days after receiving notice under abparagraph (d)(2) from an employee or otherwise receiving actual nItice of such conviction; (f} Taking one of the following actions, within 8 days of receiving notice under subparagraph (d)(2), with respect to a y employee who is so convicted (1) Taking appropriate personnel action a employee, up to and including termin (2) Requiring such employee to participai abuse assistance or rehabilitation pros purposes by a Federal, State, or local or other appropriate agency; iinst such an on; or satisfactorily in a drug am approved for such alth, law enforcement, (g) Making a good faith effort to continue to mar tain a drug -free workplace through implementation of parag aphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided or Performance" form the site(s) for the performance with the grant funds (including street address, city, code) .the contractor further certifies that, if it is su that additional sites will be used for the performan contract, it shall notify the U.S. Department of Hou Development immediately upon the decision to us submitting a revised "Place of Performance" form. `{—Z/—ZJ Date EXHIBIT E i W/ the attached "Place of I work to be carried out %ounty, state, and zip sequently determined of work under the ng and Urban such additional sites by Signature 0 DIVISION OF EMPLOYMENT PLACE OF FOR CERTIFICATION REGARDING DRUG- REE WORKPLACE REQUIREMENTS Name: Name of Contractor: Contractor Number: Date: The Contractor shall insert in the space provided below used for the performance of work under the contract co Place of Performance (include street address, city, site): 195 Third Str et La Verne. CA 91750 { ' W1 rN i 5 site(s) expected to be d by the certification: state, zip code for each Certlficatlon Regarding Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Suspension, 29 CFR Dart 98, Section 98.510, participants' Responsibilitit published as part VII of the May 1.6,1988, Federal Register (pages 1916 (Before completing certification, read instructions which are an integt 1. The prospective primary participant, (Le, grantee) certifies to the that It and its principals: a. Are not presently debarred, suspended, proposed for deba voluntarily excluded from covered transactions by any federal b. Have not within a three-year period preceding this proposal judgment rendered against them for commission of fraud or a i with obtaining, attempting to obtain, or performing a public (fe or contract under a public transaction; violation of federal or st commission of embezzlement, theft, forgery, bribery, falsificati making false statements, or receiving stolen property. C. Are not presently Indicted for or otherwise criminally or c entity (federal, state or local) with commission of any of the (1)(b) of this certification; and 12549, Debarment and regulations were of certification) Its knowledge and belief, declared ineligible, or ment or agency; an convicted or had a civil ninal offense in connection ral, state or local) transaction i antitrust statues or or destruction of records, •ged by a government enumerated in paragraph d. Have not within a three-year period preceding this applicatio proposal had one or more public transactions (federal, state or local) terminated for cause r default. 2. Where the prospective primary participant is unable to certify to any certification, such prospective participant shall attach an explanation to University of la Verne Contractor Organization Name and Title of Official Authorized ,X 17ea�.y.A�zucuye, April 20, 2021 Date ie statements in this proposal. EXHIBIT F I t INSTRUCTION FOR CERTIFICATION 1. By signing and submitting this proposal, the prospective recipient of providing the certification as set out below. assistance funds is 2. The certification in this clause is a material representation of fact upc n which reliance was placed when this transaction was entered Into. If it is later determined that he prospective recipient of Federal assistance funds knowingly rendered an erroneous certification, In addition to other remedies available to the Federal Government, the Department of La bor (DOL) may pursue available remedies, including suspension and/or debarment. 3. The prospective recipient of Federal assistance funds shall provide person to which this proposal is submitted if at any time the prosp assistance funds learns that Its certification was erroneous whom erroneous by reason of changed circumstances. 4. The terms "covered transaction", "debarment", "suspended", "ineli@ transaction", "participant", "person", "primary covered transaction" "voluntarily excluded", as used In this cause, have the meanings set i Coverage sections of rules implementing Executive Order 12549. Yo whom this proposal is submitted for assistance In obtaining a copy o 5. The prospective recipient of Federal assistance funds agrees by the proposed covered transaction be entered Into, it shall not k covered transaction with a person who is debarred, suspended, excluded from participation in this covered transaction, unless < 6. The prospective recipient of Federal assistance funds agrees by include the clause title "Certification Regarding Debarment, Sus excluded from the covered transaction unless it knows that the 7. Nothing contained in the foregoing shall be construed to require esi records in order to render in good faith the certification required to possessed by a prudent person in the ordinary course of business dE Ilate written notice to the recipient of Federal led or has become fle", "lower tier covered 'principle", "proposal', and it in the Definitions and, may contact the person to those regulations. g this proposal that, should enter into any lower tier ineligible, or voluntarily I by the DOL. ;g this proposal, that it will Ineligible, or voluntarily ion is erroneous. ent of a system of that which is normally 8, Except for transactions authorized under paragraph 5 of these Instructions, if a participant in a covered transaction knowingly enters into a lower tier covered trans iction with a person who is suspended, debarred, ineligible, or voluntary excluded from participz tion in this transaction, in addition to other remedies available to the Federal Government, the DOL may pursue available remedies, Including suspension and/or debarment. EXHIBIT F Assurances & Cer9.ifica itrms Selected providers will be required to sign and submit "actual" asst the City of Santa Ana and the Workforce Development Board on all I recognize that I must give assurances for each item below. Please fait; read and are providing assurance you are or will be in compliance with t, jJ12 SAWDB uses the Ca1JOBs ETPL Module for accepting applications i ttt/// the ETPL. Local boards may authorize a single local board to act on their for initial and/or subsequent eligibility of providers. Contractors must enu into CalJOBS. The training provider should only enter the program(s) des program is offered with multiple modes of delivery, or course length se arately for each variation. JR SAWDB has authorized the South Bay WDB to make initial and sub, for applications submitted from providers. Contractors should contac Haw thorne Blvd., 5`h Floor, Hawthorne, CA 90250, 310-970-7700, ONTRACTOR is required to be in compliance with South Bay WDE ment. In cases where South Bay WDB has denied a provider's applic ✓✓✓✓✓✓ application to SAWDB for consideration and processing at 801 W, Civic 92701 ATTN: SAWDB Staff. The submission must include completed ET and a copy of the letter from the South Bay WDB denying application. and certificates as required by each box indicating you have in the providers to be listed on ;half in making determinations program(s) of training services d to be on the CA ETPL. If the the program must be entered juent eligibility determinations the South Bay WDB 1.1539 agreement and SAWDB provider may submit the r Dr. #200, Santa Ana, CA iningprogram applications 2 Local boards may establish local pol icier requiring performance above die state minimum standards for providers to be included on the ETPL. Jlf Acceptance and processing of an application does not constitute an ag vement or relationship between t/Ahe CONTRACTOR and SAWDB, nor does it guarantee any referral: to the provider by SAWDB. sApplications will be process on an ongoing basis. JR CONTRACTOR must be in compliance with die State and Fed ral regulations, per Workforce Innovation and Opportunity Act (WIOA) Eligible CONTRACTOR List P Aivy and Procedure WSDI5-07 or it's replacement. r lL CONTRACTORS must also meet one of the fallowing criteria in or ler to have their programs listed 4-'I/on the ETPL: 1) Bureau of Private Postsecondary Education Approval to Operate, or Verification of Exemption by BPPE. 2) Accreditation by the Accrediting Commission for Senior Coll es and Universities, WASC, or the Accrediting Commission for Community and Junior Colleges, CSU, UC, and other WASC accredited institutions. This accreditation can be v ified at: wwwaccio or or www.wascsenior orgi 3) Postsecondary institutions eligible under Title IV of the Higher Education Act (FIFA) and offering programs leading toward an associate degree, baccalaureate degree, or certificate. 4) Approval by the California Department of Education. 5) Approval by the Chancellor's Office of the California Comm nity Colleges (CCCCO). 1 EXHIBIT G JR C NUZACTOR must: reapply to be considered for subsequent appt pr ide the required performance and cost information data. JR CONTRACTOR must annually meet the state's minimum perfo SAWDB may set higher levels. Public Postsecondary Community Colleg to provide performance information for consideration of placement on the oversight, investment, and the inability to capture true program outcome no required to meet a specific performance threshold to be listed on the C JR CONTRACTOR's BPPE accredited shall provide a copy of the provl Performance Fact Sheet) to document their achievement of the performan ALL Training on the ETPL must be for occupations in in -demand if R f state, regional or local workforce development boards, on the ETPL and agrees to nee standards, however the CSUs, and. UCs are required ETPL, but due to heavy state �a, these institution types are is BPPE Annual Report (the criteria if applicable, sectors identified by the All Training on the ETPL must provide training services that lead to at industry -recognized credential, national or state certificate, or degree, including all industry appropriate competencies, licensing and/or certification requirements. /JR CONTRACTOR understands that all performance data and data submi tied on the ETPL must be made available for data verification by the SAWDB or the State EDD office. AR CONTRACTOR must maintain all the relevant records utilized to supl lort the data submitted on ETPL t o audit or monitoring purposes by the SAWDB or the State EDD office. CONTRACTOR that claim an exemption to BPPE Section 94894 i' the BYPP Act) must apply and receive a "Verification of Exemption" before being listed on the ETP L, Since it has been determined that any expenditure of public funds, state or federal, that directly benefits a student to be student financial assistance, we expect that instances of exemption will be very rare. c/JR CONTRACTOR must have all considered training programs listed wi h the BPPE, the SAWDB may ve +ity the data that was submitted to BPPE. JRAll new and current CONTRACTOR will be required to be registered i a CaIJOBS` and must have all considered training programs listed with the BPPE match on CaIJOBS. ,/JJR All CONTRACTOR are required to enter performance data for each In gram to be listed on the ETPL and provide evidence to the local Board that they have met the minimum i performance criteria required. Programs that do not include performance data will not be approved for lis .ing on the ETPL. JR CONTRACTOR must have their current course catalogs on file with If e SAWDB. C NTRACTOR agrees to immediately notify wi ltin 10 wor in da s the SAWDB, in writing, of any ch ges in the information submitted with initial agreement. in 2ONTRACTOR agrees to accept WIOA eligible referrals from the S mta Ana WORK Center on an idual referral basis. R CONTRACTOR shall not accept nor enroll WIOA participants who do iot meet the CONTRACTOR's entrance requirements, which are to be the same general entrance requirom nts required of public students, 2 EXHIBIT G and agrees to submit a written notification to the Santa Ana WORK Ce reason(s) for non -acceptance. JR CONTRACTOR agrees to assist the WIOA client in applying for P that might be available to offset the cost to WIOA and to work togeth Manager to ensure all other funding sources are investigated and those i Cie Vendor Voucher to the SAWDB for payment. vIR CONTRACTOR agrees to cross out sections of the student enrollme WIOA participant financially responsible for any training related expense /R Once accepted, CONTRACTOR agrees to enroll the WIOA participa ZJR dotVoucher and noother. CONTRACTOR agrees to invoice the Santa Ana WORK Center, or third oaM testing (Microsoft, Novell, A+, etc.) and will provide a copy of R Pre -Apprenticeship CONTRACTORS must include a letter of < apprenticeship program and meet the application policies and procedures /JR community college, private post -secondary, adult education provide ONTRACTOR Apprenticeship Programs registered under the Natio; recognized by DIR/DAS are exempt from initial eligibility procedures. Re must be included and maintained on the list of eligible providers of corresponding program remains registered, as described at WIOA see. 12 JR CONTRACTOR agrees to allow SAWDB, Santa Ana WORK Cente Department of Labor, the WIOA client and any of their duly authorized records regarding the WIOA client for monitoring purposes. The record papers, files and computer data directly pertinent to the records of the records includes the right to make excerpts, transcripts and photocopies. to have reasonable and timely access to personnel for the purpose of into /JIR 6 records ofthe WIOA participant. CONTRACTOR agrees to provide pro ess re oats which indicate r attndgnce reports to the WIOA client's Case Manager on a monthly bast JR CONTRACTOR agrees to notify the WIOA client's Case Manager days if the WIOA client is absent for more than 3 days in a row, has sp( sc ool unless other arrangement are made in writing. JR CONTRACTOR agrees to provide a copy of the `reimbursement forty "City of Santa Ana" for the number of unused training hours and any norr books, tools, etc, due within 30 calendar days after the last day the WIOA the,,school was notified that the WIOA client dropped. Said eheckto be ma Ce Manager, 801 W Civic Center Dr., #200, Santa Ana, CA 92701. JR CONTRACTOR agrees to provide the WIOA Case Manager a copy of completion or diploma or official transcripts within 10 working day: graduation. EXFI1nIT G Case Manager stating the L Grants and any other funds with the WIOA client's Case ds obtained before submitting that would hold the in the course stipulated on the cost reimbursement basis, for e Pass/Fail results at that time, nmitment from an approved quired for the type of program etc.). Apprenticeship Act (NAA) or services as long as the the State of California, and the opresentatives' access to all the include any books, documents, VIOA participant. The right to 'he right also includes the right lows and discussions related to as well as (within 5 working ice or drops out of and issue a refund check to the sued training/testing vouchers, .ient attended school or the day M to the attention of the WIOA he WIOA client's certificate of of the date of completion or a,MR. CONTRACTOR agrees to provide the WIOA client with the sun assistance as provided to the public students and to provide the WIOA Cr information regarding the placement of the WIOA client within 5 workin day of employment. A WIOA client has 180 days after completer CONTRACTOR to get credit for placement in employment:,, UV\✓dR 1 am authorized by my Board of Directors, Trustees, other legally qu Z agency or business to submit this proposal. CONTRACTOR is not currently on any Federal, State of California, 7CONTACTOR. will provide records to show that we are fiscally solve JR CONTRACTOR has, or will have, all. of the fiscal control and accow that, WIOA funds will be used as required bylaw and contract. dry/ JR CONTRACTOR has additional funding sources and will not be depe CON"1 RACCQR 1 meet the applicable Federal, State, and local c include, but are not limited to: $A"[ J ` Records accurately reflect actual performance if applicable, YES Maintain record confidentiality, as required. YES tU� ]toporting financial, participant, and performance data, as required. Comply with State and Federal fiscal and program activity audits.) °Complying with Federal and State non-discrimination provisions. i 'A Meeting requirements of Section 504 of the Rehabilitation Act of I Ld Meeting requirements of the American's with Disabilities Act of 15 (J` IO eating all applicable labor law, including Child Labor Law stands to provide a drug free workplace. YES to insure the City of Santa Ana through General Liability xge in the amount of $1,000,000.00 policy, YES level of job search/placement s Manager with all the pertinent days of the W10A client's first training to get a job for the officer, or as the owner of local Debarment list, if needed. procedures needed to ensure on WIOA funds alone, requirements, These YES (subunit completed survey) "YES and Automobile Liability �VW Agree to provide all participants with Grievance Procedures. YES 12Agree to insure proposees employees through Workers Compensate Insurance (including part-time 1� employees) YES Procurement policies and procedures are in place and meet federal idelines.YES v 4 EXHIBIT G money to assist, promote, or deter union organizing. to employ or train of persons in sectarian activities, funds for youth in the construction, operation, or maintenance sectarian instmotion or religious worship. VII, NOT Use WtOA money under this contract to purchase any equipment. X hereby assure that all of the above are true. Noll part of a facility to be used NOT FWAB1T G M COMPLAINT HANDLING UNDER THE Workforce Innovation Opportunity Act Santa Ana Local Workforce Development Area Revised May 20, 2019 EXHIBIT H Table of Contents Information Regarding Complaints 3 A. Nondiscrimination and Equal Opportunity Complaints 3 1. Policy Statement 3 2. Civil Rights 4 3. Nondiscrimination laws under WIOA 4 4. How to File Your Complai B. Criminal Comp 0 II. General Procedures for Handling Non -Criminal Violations of the Act g III. Procedures for Handling Complaints at the LWDA Level g IV. Procedures for Handling Complaints at the State Level 12 V. Procedures for Handling Discrimination Complaints by Participants 15 VI. Procedures for Handling Disability Complaints by Participants 17 GLOSSARY OF WIOA TE 2 EXHIBIT H Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Innovation Opportunity Act (WIOA), the City of Santa Ana Local Workforce Development Area (LWDA) will establish programs to prepare youth and unskilled adults for entry into the labor force and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing WIOA, all contractors in the Santa Ana LWDA will foster equal opportunity and non-discrimination, as provided in State and Federal equal opportunity and non-discrimination laws including, but not limited to: • Title VI of the Civil Rights Act of 1964 • Title VII of the Civil Rights Act of 1964 • The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section 188 of the Workforce Innovation Opportunity Act of 2014 In keeping with our commitment, no individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIOA funded program because of race, color, religion, sex, national origin, age, disability, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIOA shall be open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugee, parolees, and other individuals authorized by the Attorney General to work in the United States. No individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing information, or assisting or participating in any manner in an investigation, compliance review, hearing or any other activity related to the administration of WIOA. EXHIBIT H Administration responsibility for this Equal Opportunity/Affirmative Action (EO/AA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana local Workforce Development Area. Equal opportunity and non- discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal Opportunity Program. 2. Civil Rights No one applying for or enrolled in the Workforce Innovation Opportunity Act (WIOA) programs may be discriminated against because of race, color, creed, disability, national origin, sex, age, political affiliation, or beliefs. This means that — for any of the characteristics listed above: • You may not be denied the opportunity to enroll in WIOA. • No benefits or services may be denied you for discriminatory reasons. • You may not be segregated or treated any differently from other applicants or participants, while you are being registered, interviewed, counseled or tested; or while you are working or attending classes as part of the program. • You must be provided an equal chance to use all facilities available in the program. • Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in any way be penalized for filing a complaint. Your WIOA sponsor has established a mechanism for handling complaints and grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3. Nondiscrimination Laws under WIOA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Age Discrimination Act of 1975 Prohibits arbitrary discrimination against persons' age 40-70. The Rehabilitation Act of 1973 EXHIBIT H Prohibits discrimination based on disability. Title IX of the Education Amendments of 1972 Prohibits discrimination in any education or training program or activity receiving federal financial assistance. OTHER CIVIL RIGHTS LAWS: Title VII of the Civil Rights Acts of 1964 Prohibits discrimination in employment based on race, color, religion, sex, or national origin in all terms and conditions of employment and establishes the Equal Employment Opportunity Commission as the administrative agency. White House Executive Order no 11246 as Amended by Executive Order No 11375 Creates the office of Federal Contract Compliance and prohibits discrimination based on race, color, sex, religion, or national origin. Department of Labor Secretary's Order no 4-73 Prohibits discrimination based on sex. Equal Pay Act of 1963 Prohibits pay differential solely because of sex. Emergency Employment Act of 1971 Prohibits discrimination based on race, creed, national origin, political affiliation, or beliefs. 4. How to File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if possible. c. Provides details that tell what happened, where it happened and when it happened. d. Give the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation and citizenship, must be filed within 180 days of the alleged occurrence directly with: EXHIBIT H Director Civil Rights Center U.S. Department of Labor, Room N-4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of disability must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIOA administrative entity. The WIOA administrative entity shall issue a written decision within 30 days of the filing of the complaint. If the complaint is still unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal Employment Opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INNOVATION OPPORTUNITY ACT Santa Ana Local Workforce Development Area 801 W. Civic Center Drive, Suite 200 Santa Ana, CA 92701 (714)565-2600 B. Criminal Complaints In accordance with the WIOA and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report fraud, abuse and other criminal activity. "All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." II. General Procedures for Handling Non -Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 186 through 188 of the WIOA regulations, and Section 181 of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWDA level for the receipt, investigation, hearing, and resolution of complaints by WIOA participants, sub 6 EXHIBIT H recipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non -criminal complaints arising from the operation of the Santa Ana LWDA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIOA programs operated by each LWDA grant recipient and sub recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIOA complaint process (i.e., disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non-WIOA complaint. Also, these procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion Procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. A. The following principles and rules apply to all complaints at all steps of the complaint procedures: All complaints must be made in writing within 180 days of the alleged occurrence, except complaints alleging fraud or criminal activity. 2. All persons filing a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his/her complaint to correct technical deficiencies but not to add issues. 3. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment into employment or training, participants shall be provided with written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private -for -profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. EXHIBIT H A "participant", within the meaning of these procedures, is an individual who receives employment -training services under a program funded by Santa Ana LWDA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve disputes regarding terms and conditions of employment of any employee who is not a Participant, as defined herein 5. If a complaint does not receive a decision at the LWDA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor. 6. Complainants must initially file and exhaust LWDA grant recipient/hearing procedures prior to appealing to the State except where the State determines that the LWDA grant recipient's procedures are not in compliance with the State's procedures. III. Procedures for Handling Complaints at the LWDA Level A. Receipt Complaints Pursuant to the WIOA regulations found at 20 CFR, Section 683.600, the LWDA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs in the LWDA. "LWDA level" encompasses LWDA administrative entity and employers to which the administrative entity has delegated the complaint resolution process. The following comprise the guidelines for resolving issues arising in connection with WIOA programs operated by the Santa Ana LWDA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, investigations or monitoring reports. 1. Form and Filing of Compliant Official filing date of the compliant is the date the written complaint is received. The filing of the complaint with the Santa Ana LWDA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following information: a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); c. Clear and concise statement of facts including dates constituting alleged violation; d. What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; EXHIBIT H e. Remedy sought by the complainant; and f. If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step. 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWDA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint. Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. a, The EEO Officer will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. b. Although the complainant should be encouraged to attend this conference, his/her failure to do so should not preclude his/her right to request a hearing on the matter. c. If mutually satisfactory resolution results and the Santa Ana LWDA concurs, the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed. d. If resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he/she so desires. 3. Request for Hearing a. As in the case of the complaint, the request for a hearing should be put in writing and be filed in person or by mail. A governing board resolution of authorization to appeal should also be submitted when appropriate. The request should be filled with: Jennifer Sommers Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714)647-5348 9 EXHIBIT H b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten-day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWDA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. b. The date, time and place of hearing before an impartial hearing officer. c. A statement(s) of the alleged violation(s) d. Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWDA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment to the circumstances presented. 1. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWDA or its sub recipients. The hearing officer will be selected from a list of names on file with the EEO Officer. 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. The hearing office designated by the EEO Officer to function in a quasi-judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. so EXHIBIT H 4. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. The party involved should have the right to be represented (at their own expense) he/she so desires. Other he/she is limited to his/her own abilities and those to the hearing officer in obtaining testimony in the case. 6. It is important that the hearing officer obtain the fullest information for the record. If the parties involved, or their representatives, do not know how to ask the right or pertinent questions in pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited. The practice in informal hearings is generally not to apply strict rules of evidence in obtaining facts. However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. 8. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing, 9. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWDA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Development Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWDA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and issues related to the alleged violation. 3. A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action, if any, to be taken. 6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. 11 EXHIBIT H D. Record of Hearing An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWDA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWDA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three- year period after the grant has been officially closed out. The Santa Ana LWDA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 683.600, each employing agency including private -for -profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWIDA's established procedures under Section 683.600. At a minimum these procedures must include: Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice, at the time the grievance is filed, of the procedures under which the grievance will be processed. 3. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the filing of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWDA and the State Review Panel in accordance with Section 683.600. IV. Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIOA regulations at 20 CFR, Section 683.600 (d) requires the Governor to establish a State Review process of complaints filed at the LWDA grant recipient level and of complaints initially filed at the State level. Appeals of decisions issued at the LWDA level including audit disallowances and sanctions shall be reviewed by the State Review Panel. The State Review Panel shall review the record 12 EXHIBIT H established at the LWDA level and shall issue a decision based on the information contained therein. Complaints which may be initially filed at the State level will be heard by an independent hearing officer designated by the State Workforce Investment Division (WID). The hearing officer shall conduct a hearing and issue a recommended decision to the State Panel. The recommended decision shall be in writing and may be accepted, rejected or modified by the State Review Panel. A. Form and Filing of Complaint. 1. Request for State Review of LWDA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review. 2. Filing of Requests for State Review The State Review Panel shall review all LWDA level decisions when a request for review is filed within 10 days of receipt of the adverse decision. Such requests must be filed in writing with the Chief of the WID Office. The request for review should contain the following information: a. Full name, address, and telephone number of the party requesting the review b. Full name, address, and telephone number of the other party c. A copy of the decision d. Brief statement of reasons for review or the section of the LWDA decision to be reviewed including regulatory and statutory citations e. A statement of the reljef sought. 3. Complainant Responsibility It is the responsibility of the complainant to statement setting forth the facts presented requested relief. include in the request for review a written at the LWDA hearing which support the The Chief, WID, shall mail a copy of the request for review to the other party and to the LWDA. It shall be the responsibility of the LWDA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 1. Request for Hearing at the State Level 13 EXHIBIT H If no decision has been issued at the LWDA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The hearing officer will then issue a recommended decision to the State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWDA should have issued a decision or ten (10) days after the issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the WID in writing and should include the following: a. Full name, address, and telephone number of the LWDA b. Name, address, and telephone number of the LWDA C. Copies of complaints made at LWDA level from which no decisions were issued or sanctions and imposed. d. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. The hearing will be recorded mechanically or by court reporter. Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses in support of his/her position, to present oral and/or written arguments, to examine records and documents relevant to the issue(s), and to be represented. The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor C. State Review Panel The State Review Panel will consist of a panel of three representatives from the Employment Development Department: one from the Legal Offices, one from the WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. 14 EXHIBIT H Decisions issued by this panel, under the authority of the Governor, are final. D. Issuance of State Review Decision. The State review will be limited to violations of the WIOA, implementing WIOA regulations or the grant agreement. This review shall be limited to the record established at the LWDA hearing. V. Procedures for Handling Discrimination Complaints by Participants. A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. It is the responsibility of the Santa Ana LWDA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWDA's procedure under Section II (A). ss EXHIBIT H PROCEDURES FOR HANDLING NON -CRIMINAL COMPLAINTS No later than 180 days of alleged discrimination Within 10 days of receipt of unsatisfactory decision or 10 days from date LWDA decision should have been issued. Handling of complaints filed at LWDA level arising in connection with WIDA programs operated by LWDAs Informal Resolution Process Filing of Complaint/Request for Hearing 0 0 Notice of Hearing issued by LWDA Hearing Conducted LWDA Decision within 60 days Unsatisfactory Decision or LWDA Decision not issued within 60 days Request for State Review w 0 0 Governor's Decision issued by State Review Panel If no decision issued by State Review Panel o Appeal to DOL 16 EXHIBIT H 2. In cases where areas of authority overlap, it is the responsibility of the EEO Officer to advise the complainant of the existence of State, Federal and other proper action agencies, which may also have a bearing. 3. Complainants alleging discrimination under this part will be made aware of their right to file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and applicable procedures. 4. Complainants must file their complaint directly with: Jennifer Sommers Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714)647-5348 VI. Procedures for Handling Disability Complaints by Participants Complaints alleging discrimination on the basis of disability will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32. 1. Complaints must exhaust the Santa Ana LWDA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his/her complaint. A. Procedures at the LWDA Level The complainant shall file his/her complaint directly with the Santa Ana LWDA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWDA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. B. Procedures at the State Level The complainant may appeal to the State if he/she is not satisfied with the decision of the Santa Ana LWDA. v EXHIBIT H 2. The Complainant must file his/her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWDA's decision. 3. The Chief-WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his/her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. 18 EXHIBIT H PROCEDURES FOR IIAND►LING COMPLAINTS ON EASES OF DISAB- LIT'Y No later than 180 days f Filing of complaint on the basis of Disability with LWDA Day 1 allediscrimination L Filed within 30 days of LWDA/State Decision or 90 days from date of initial filing of complaints I Informal Resolution I If no resolution reached o Request for Hearing Notice of Hearing Hearing Conducted I I Day 145Day LWDA Decision Unsatisfactory Decision or No Decision State Review I Governor's Decision I Appeal to Assistant Secretary Department of Labor 60 Days 19 EXHIBIT H GLOSSARY OF WIOA TERM AGE DISCRIMINATION ACT — A law passed by Congress in 1975 which prohibits discrimination on the basis of age by any program or activity receiving Federal Funds. APPLICANT — An individual who applies to a subrecipient or contract for services provided under WIOA and who has not yet transitioned to the status of participant. ASSESSMENT — Services designed to determine each participant's employability, aptitudes, abilities and interests and to develop a plan to achieve the participant's employment and related goals; also to identify the available employment and traning activities appropriate for the participant. Testing and counseling may also be used during assessment process. CHARGING PARTY (CP), COMPLAINANT, GRIEVANT OR AGGRIEVED PERSON — The person who charges that he/she has been discriminated against under Department of Justice nondiscrimination and civil rights regulations and/or guidelines. DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the effect of an action, policy or practice which selects an individual or class of persons to receive unequal treatment. ELIGIBLE NON -CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees, and parolees and other individuals authorized by the Attorney General to work in the United States. EMPLOYER — An employer subject to the provisions of the Civil Rights Act of 1964, as amended, including state and local governments and any Federal agency subjects to the provisions of Section 717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by executive Order 11246, as amended. GRIEVANCE — An allegation that something imposes an illegal obligation or burden or denies some equitable or legal right, or causes injustice . INDIVIDUAL WITH A DISABILITY — Any individual who has a physical or mental disability that constitutes or results in a substantial challenge to employment. INTAKE — Includes screening to determine eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT — A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in employment and other practices and pattern or practice "joint complaints" are normally investigated by OCR. 20 EXHIBIT H JURISDICTION — Authority to investigate and resolve complaints against an institution subject to a law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc. PARTICIPANT — Any applicant who has: (1) Been determined eligible for participation upon intake; and (2) Who is receiving subsidized employment, training or services (except post -termination services) funded under the Act, following intake, except for an individual who receives only outreach and/or intake and assessment services. 21 EXHIBIT H Francine H, DlsRzllyalRoaanyeaadreR. ula,eal Villareal _ Da1e:2021.04.2310d8:43 CERTIFICATE OF LIABILITY THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RI NTs UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER Tf 112 COVERAGE AFFORDED 13Y THE POLICIES BELOW, THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BE "EN THE ISSUING INSURER(&), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER, IMPORTANT: If the certificate holdor la an ADDITIONAL INSURED, the pOIICy(les) must have AD ITIONAL INSURED proVislons or ba endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain pollcie may require an endorsement. A statement on shie r•nr4Hlnnln A­•„.1 nnse....l..l.e� ._ as.. `-_.,.._-.... _ . .. _ - ArthurJ. Gallagpher& Co, Insurance Brokers of Callfornia, Inc. License #0726293 505 North Brand Boulevard, Suite 600 Glendale CA 91203-3944 La UUVftKAUftb ATE NUMBER•2091785074 THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE I REVISBON NUMBER: SURER NAMED ABOVE INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR 0 FOR THE POLICY PERIOD HER DOCUMENT WITH CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DES RESPECT TO WHICH THIS :RIBED HEREIN EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID C IS SUBJECT TO ALL THE TER AIMS. MS, 1NSR TYPE OF INSURANCE_ _O ICY _WdL � p04lCY NUMBER immiga= IMMIDI EXP LRMTS A X COMMBRCIALGENERj�ALLIABILIY CLAIM&MADE OCCUR U0"60 7/1/2020 7H/021 EACFI OCCURRENCE $1,000.000 PR'MI$ES1Egor�cugo�]_ $1,000,000 X _] u $ 6,000 $, 1 ,0 000 Red. ._�u_ MED EXP IMY cno-person _ PRRSONAL&ADVINJURY $Included -------------- GENL X AGGREGATE UNIT APPLIES PER PRO. tr'' 1 �� OENERALAOOREGATE $ 3,000,000 PRODUCTS• COMPlOP ADO $ Incuded POLICY JECT L,._.,_f LOG OTHER: -- AUTOMOBILE4IABILRY d OI N L MI S BODILY INJURY(Perpemon) $ OWNED OWNEDULED BODILY INJURY (per accident) $ AUTOS HIRED-0WNED fRrJPEkYr DAMAGE $ �"'"- AUTOONLY $ UMBRCCUR EACHOCCURRENCE $ EXCESLAIMS-ANDE AGGREGATE $ DED RETENTIONS 21 X P R O H- s7AT_4TE_ B.._ $ B WORKERS COMPENSATION 72 WE AG2YE3 7l1f2020 711 AND FMPWVEM'1 ILIT'Y YIN ANYPROPRIETOWPAR7'NERIEXECUTIVE OFFICERIMEMSEREXCLUDED? ID N/A E.L.MHACCIDENT $1,000,000 (Mandatory In NH) 0 qdascdho under DES E.L.OISEASE-EA EMPLOYEE $i,00Q000 E.L. DISEASE -POLICY LIMIT _ _ $110001000 SCC RIPTION OF OPERA'rI0N3 slow DESCRIPTION OF OPERATIONS I LOCATIONS 1 VEHICLES IACORD 101, AddWonal Remarks Schedule, may be attached if more space Ii Subject to all policy terms, conditions and exclusions, required) City of Santa Ana, officers, Bosnia, employees, and volunteers are named are additional insurads for goner Contract or to the I liabillly coverage as required by Virtue DID Whiten agreement and extent insurable as respects their Interest In the operations of the named it sured. The Insurance provided by this policy is primary, and all other Insurance available to the additional Insured Is non-contributory, rvoorlelnw�rc un1 ncn _. SHOULD ANY OF THE AS THE EXPIRATION BAT City of Santa Ana ACCORDANCE WITH THE Risk Management Division 20 Civic Center Plaza, 4th Floor AUTHORIZED REPRESENTATIVE Santa Ana CA 92702\ ©lase-2D1 ACORD 25 (2016103) The ACORD name and logo are registered marks of A( DESCRIBED POLICIES BE CANCELLED BEFORE HEREOF, NOTICE WILL BE DELIVERED IN 'P a We' Ma agm m10t skm } 011111�11 I REVIEWED&APPROVED8Y x 1I ' ��etn.r.�r.e IQ, �i+GGo-wcC Risk Mana9emee[Analyst (I Digitally signed by Francine R. Francine R. Villareal 1/III- --.I Date: 2021.10.2608:13:05 7 0 V I 1 10 1 CA I A� o CERTIFICATE OF LIABILITY INSURANCE -R3WE (MM/DD/YYYY) i 8/6/2021 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must have ADDITIONAL INSURED provisions or be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER CONTACT NAME: Nick Grover Arthur J. Gallagher & Co. Insurance PHONE FAX Brokers of California, Inc. License #0726293 A/C No Ext : 818-539-1336 A/c, No : 818-539-1636 ADDE-MRESS: nick_grover@ajg.com 505 North Brand Boulevard, Suite 600 INSURER(S) AFFORDING COVERAGE NAIC# Glendale CA 91203-3944 INSURERA: United Educators Ins, a Reciprocal Risk Retention 10020 INSURED UNVLAVE-01 INSURERB: Travelers Property Casualty Co of America 25674 University of La Verne 1950 Third Street INSURERC: INSURERD: La Verne, CA 91650 INSURER E INSURER F : COVERAGES CERTIFICATE NUMBER:268638984 REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR LTR TYPE OF INSURANCE ADDL INSD SUBR WVD POLICYNUMBER POLICY EFF MM/DD POLICY EXP MM/DD LIMITS A X COMMERCIAL GENERAL LIABILITY U06-360 7/1/2021 7/1/2022 EACH OCCURRENCE $1,000,000 CLAIMS -MADE OCCUR DAMAGES(RENTED ccurrence)$ PREMISES Ea occurrence) 1,000,000 X VIED EXP (Any one person) $ 5,000 $10,000 Ded. PERSONAL & ADV INJURY $ Included GEN'L AGGREGATE LIMIT APPLIES PER: GENERAL AGGREGATE $ 3,000,000 POLICY ❑ PRO ❑ JECT LOC X PRODUCTS - COMP/OP AGG $ Included $ OTHER: AUTOMOBILE LIABILITY COMBINED SINGLE LIMIT Ea accident $ BODILY INJURY (Per person) $ ANY AUTO OWNED SCHEDULED AUTOS ONLY AUTOS BODILY INJURY (Per accident) $ PROPERTY DAMAGE Per accident $ HIRED NON -OWNED AUTOS ONLY AUTOS ONLY UMBRELLA LAB OCCUR EACH OCCURRENCE $ AGGREGATE $ EXCESS LAB CLAIMS -MADE DED RETENTION $ $ B WORKERS COMPENSATION AND EMPLOYERS' LIABILITY Y / N UB-1S903424-21-14-G 7/1/2021 7/1/2022 X PER OTH- STATUTE ER ANYPROPRIETOR/PARTNER/EXECUTIVE E.L. EACH ACCIDENT $ 1,000,000 OFFICER/MEMBER EXCLUDED? ❑ N/A E.L. DISEASE - EA EMPLOYEE $ 1,000,000 (Mandatory in NH) If yes, describe under DESCRIPTION OF OPERATIONS below E.L. DISEASE - POLICY LIMIT $ 1,000,000 DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (ACORD 101, Additional Remarks Schedule, maybe attached if more space is required) Subject to all policy terms, conditions and exclusions. City of Santa Ana, officers, agents, employees, and volunteers are named are additional insureds for general liability coverage as required by virtue of a written contract or agreement and to the extent insurable as respects their interest in the operations of the named insured. The insurance provided by this policy is primary, and all other insurance available to the additional insured is non-contributory. CERTIFICATE HOLDER CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN City of Santa Ana ACCORDANCE WITH THE POLICY PROVISIONS. Risk Management Division 20 Civic Center Plaza, 4th Floor AUTHORIZED REPRESENTATIVE Santa Ana CA 92702 r� ,�oRaN� Risk MallagementDiviaian REVIEWED & APPROVED BY. © 1988-2015 ACORD C p�+'e P1, (J� ACORD 25 (2016103) The ACORD name and logo are registered marks of ACORD Risk Management Analyst University of La Verne United Effective: 09/3/30/2021 I Policy Number: U06-360 I CGL: 2021 Irm Educators - Education's Answer. ADDITIONAL INSURED ENDORSEMENT In consideration of the premium charged, we agree with the Educational Organization that, subject always to all other provisions of this Policy, City of Santa Ana, officers, agents, employees, and volunteers is an additional Insured but only with respect to Occurrences arising out of operations and functions for or on behalf of an Included Entity. All other Policy provisions remain the same. CGL5021 - 50 1 Version Date: 06/01/2008 1 CGL - Additional Insured Endorsement I Print Date: 10/C Authorized Representative Risk Management Bivisian +� REVIEWED & APPROVED BT — Risk Management Analyst IrUnited m Educators - Education's Answer. University of La Verne Effective: 07/01/2021 1 Policy Number: U06-360 I CGL: 2021 OTHERINSURANCE (Blanket Contractual Exception) In consideration of the premium charged and subject to all other provisions of this Policy, we agree with the Educational Organization that Paragraph 25. of this Policy is amended to read: 25. This Policy is a primary Policy of insurance. However, this Policy shall be excess over any other valid and collectable primary insurance that applies to an Occurrence covered by this Policy, including such insurance naming the Insured as an "additional insured" and, with respect to the limited coverage provided by paragraphs 10.e.(1) and 10.m.(1)(b), any domestic or foreign Automobile liability insurance policy, and nothing in this Policy shall be construed to require this Policy to contribute with, or subject this Policy to the terms, conditions or limits of, such other insurance. In addition, this Policy shall always be excess over any other insurance that names any Insured as an "additional insured:" a. if such insurance is also written on an excess basis, we agree with the Insured that this Policy is excess over such insurance; and, b. we shall not share in paying Loss with that other insurance on any basis including but not limited to the ratio of the Limit of Liability of this Policy and the limit of liability of the policy providing "additional insured" coverage. Exception: If, pursuant to Paragraph d. of the Definition of Insured, the Educational Organization has agreed by contract, and only to the extent of such contractual obligation, we agree that this Policy shall be a primary policy, and any insurance maintained by such Insured will be excess of this Policy and shall not be called upon to contribute with it. All other Policy provisions remain the same. CGL636X - 1 1 Version Date: 04/21/2010 1 Other Insurance (Blanket Contractual Exception) I Print DE 08/18/2021 Authorized Representative oaa _lili:l_I_IF_L Risk MmRgzmentFivisian REVIEWED & APPROVED BY: ruvl.bL. P1. M44441 Risk Management Analyst NOTICE OF COMPLIANCE CITY STAFF: PRINT THIS PAGE AND INCLUDE WITH AGREEMENT TO THE CLERK OF THE COUNCIL Contractor University of La Verne Name: Project A-2020-194-19 Number: Project Workforce Training Name: The Certificate of Insurance (COI) submitted indicates that the coverages are in compliance with the insurance requirements. No further action is required at this time. The compliant coverage(s) are: POLICY EXPIRATION TYPE OF INSURANCE COI DATE FILE NAME NUMBER DATE City-of-Santa- Ana_University-of- GENERAL LIABILITY U0636O 07/01/2023 09/06/2022 L_22-23-GL-&- WC_9-6- 2022_1092241841.pdf City-of-Santa- Ana_University-of- WORKERS COMPENSATION AND UB1S9034242114G 07/01/2023 09/06/2022 L_22-23-GL-&- EMPLOYERS' LIABILITY WC_9-6- 2022_1092241841.pdf Thank you, City of Santa Ana Risk Management Division in partnership with CTrax Plus Services Team 9/7/2022 4:29 PM