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Home My WebLink AboutSADDLEBACK COLLEGE -2012A-2012-014 :!V ?z zt) ?.l Q WORK MAY P i;EE': NTT +NSI HAP<('.r =tPiRL ' LERK ".DF ?.r ATE ?.. Contract No. AGREEMENT UNDER THE WORKFORCE INVESTMENT ACT THIS AGREEMENT, dated for reference purposes, February 6, 2012, 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 South Orange County Community College District dba Saddleback College ("CONTRACTOR"). W-I-T-N-E-S-S-E-T-H Recitals: A. CITY has been designated a Local Workforce Investment Area (LWIA) under the Workforce Investment Act of 1998, Public Law 105-220 ("the Act"). B. The State of California has created the LWIA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWIA, CITY is entitled to receive federal funds to establish programs to increase training opportunities for unemployed individuals. One goal of California's Workforce Investment System is to provide the opportunities to find, retain, or advance their employment. D. CONTRACTOR is experienced in operating education, occupational development and employment programs for economically disadvantaged adults for entry into the labor market ("said program"). E. CONTRACTOR is willing to operate said program pursuant to the Act and California law. 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: 1. CONTRACTOR'S OBLIGATIONS A. CONTRACTOR agrees to collaborate with the design and implementation of the Core Engineering Bridge Curriculum for the H-113 Technical Skills Training Grant: Orange County Bridge to Engineering with the City of Santa Ana Workforce Investment Area, in addition to the activities outlined in Scope of Work (Exhibit A) which includes the Letter of Commitment from the H-1B application to the Department of Labor, and activities outlined in Budget Narrative (Exhibit E). CONTRACTOR'S failure to provide said services may be grounds for CITY to readjust the level of Page 1 of 15 payment to CONTRACTOR otherwise provided for hereinafter. 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 Workforce Investment Act of 1998, Public Law 105-220. C. CONTRACTOR agrees to perform the services set forth herein in a professional, timely and diligent manner. D. RESERVED E. CONTRACTOR shall adhere to the Labor Standards described in the Act including Section 181 of the Act. F. CONTRACTOR agrees to comply with the "Complaint Handling Procedures under the WIA", attached hereto as "Exhibit B" and incorporated herein as though fully set forth in 20 CFR §667.200, Subpart F. 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. G. 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 Part 33 and 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance. H. CONTRACTOR agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. 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, payroll records and job duty statements. CONTRACTOR agrees to submit quarterly reports to CITY outlining and describing the activities and progress of its program. Page 2 of 15 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, books, documents, papers, and records of CONTRACTOR subcontractors, bookkeepers and accountants, and employees and participants related to this Agreement. Such agencies or representatives shall also schedule on-site monitoring in 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. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. 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. 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. J. 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. K. CONTRACTOR agrees to complete in triplicate, a monthly Invoice/Voucher on CITY's Invoice/Voucher form, showing in detail the amount of money already expended by CONTRACTOR hereunder, as this is a cash reimbursement contract. Accounting records must be supported by such source documentation such as cancelled checks, paid bills, payrolls, time and attendance records, contract and subgrant award documents [29 CFR-Subpart C, Section 97.20 (b)(6)]. CONTRACTOR agrees to submit the above-stated documents to the WIB Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California, 92701, by the tenth (10th) day of the month following the month in which CONTRACTOR'S services are performed. Should CONTRACTOR fail to deliver said documents to CITY, CITY shall have the option to cancel this Agreement by giving CONTRACTOR ten (10) days written notice thereof. CONTRACTOR shall either return to the CITY excess revenues over costs or use such excess revenues as program income by utilizing such program income for additional training activities authorized under the Act. L. CONTRACTOR agrees to expend all funds in accordance with all applicable Page 3 of 15 federal, state and local laws and regulations. CONTRACTOR also agrees to provide at CONTRACTOR'S own expense supplies and other costs of said PROGRAM. M. CONTRACTOR shall arrange independently for an audit that includes WIA funds received from CITY, in accordance with the Act, 20 CFR Section 667.200 and OMB Circular A- 133. CONTRACTOR shall submit one original of each required audit report to CITY within (30) days after the date received by CONTRACTOR. Should CONTRACTOR fail to comply with these requirements, CITY may at its option withhold payment of funds, or disallow funds or suspend additional grant funds. 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. 0. CONTRACTOR shall comply with the provisions of Circular A-102 of the U.S. Office of Management and Budget (OMB) and the related "Common Rule" entitled "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Government", Subpart C, paragraphs 37 and 42, Circular A-128, and all other applicable federal statutes and executive orders and their implementing regulations, including regulations at 29 CFR Part 97. P. CONTRACTOR shall comply with the requirements of federal regulations found at 29 CFR 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 to that effect in a form as set forth in "Exhibit C," 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 certification as set forth in "Exhibit D" 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 ACT and the federal regulations, including but not limited to the regulations found at 20 CFR part 629. T. 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 Page 4 of 15 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. U. CONTRACTOR agrees that any equipment or software purchase must be pre- approved in writing by the CITY. Any equipment purchased with the funding hereunder shall remain the property of the City of Santa Ana upon termination of this Agreement. II. CITY'S OBLIGATIONS A. CITY agrees to pay to CONTRACTOR when, if and to the extent federal funds are received under the provisions of the Act a sum not to exceed Seven Hundred Sixty Three Thousand Eight Hundred Fifty Four Dollars ($763,854) for CONTRACTOR'S performance in accordance with the payment schedule attached hereto as "Exhibit E" during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by CONTRACTOR as provided hereinabove. B. CONTRACTOR has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total Budget amount does not increase. C. CITY agrees to provide for on-site monitoring reviews of said program operation at least twice annually. In addition, monthly desk-top reviews of pertinent information will be conducted. D. 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. III. TIME PERIOD OF AGREEMENT The term of this Agreement shall commence on December 1, 2011, and all duties arising under this Agreement shall have been performed by November 30, 2015. The term of this Agreement may be extended by a writing executed by the City Manager and the City Attorney. 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. Page 5 of 15 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 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 Standards (Exhibit A) and general program requirements described in Sections 106 and 141 of the Act (29 USC Sections 1516 and 1551) 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 as part of this Agreement as though fully set forth herein. B. CONTRACTOR also assures and certifies that: 1. 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, 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 W113 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 Act 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, and Page 6 of 15 certifications attached hereto as "Exhibit F" 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 Investment 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 WIA 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, the 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. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The CONTRACTOR will disclose to the CITY any invention, written product, computer program developed or data assembled as a result of performance of work under this Agreement within seventy four (74) days of invention, development or assembly. The CITY, State of California, and U.S. Department of Labor will have the right to patent any invention and copyright any written product or computer program or data generated by CONTRACTOR. Upon written request, CONTRACTOR will transfer all pertinent information, specifications and right, title and interest to the designated agency. 13. INVENTIONS, PATENTS AND COPYRIGHTS. A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the CONTRACTOR shall report the fact promptly and fully to the CITY. The CITY shall report the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery. The DOL and its representative shall determine how the rightsin the invention or discovery, including rights under any patent issued thereon, will be allocated Page 7 of 15 and administered in order to protect the public interest consistent with the "Governmental Patent Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16889). B. Copyright Policy. 1. Unless otherwise provided in the terms of the grant or agreement, when copyright- able material is developed in the course of or under a DOL Grant or agreement, the author and the CITY which developed the work is free to copyright material or to permit others to do so. The CONTRACTOR and the Workforce Investment Board (WIB) shall have a royalty-free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub-grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a CONTRACTOR purchases ownership with grant support; and (c) CONTRACTOR shall comply with the requirements of 29 CFR Part 97.34. C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data first procured or delivered under this Agreement. 14. 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 15) 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; (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. C. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT: 1. 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. 2. 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 Page 8 of 15 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 years following the termination of such employment. 3. 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. 4. 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. 5. 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 WIB, 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 WIB 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. 6. Salary and Bonus Limitations. All Subrecipients of WIA program funds are required to comply with federal requirements regarding the limitations on salary and bonus payments in accordance with Public Law 109-149, Section 7013. VII. 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. Page 9 of 15 C. Both parties to this Agreement shall agree to defend, indemnify, and hold harmless the other party, its officers, agents, employees, and volunteers, from and against all loss, cost, and expense arising out of any liability or claim of liability, sustained or claimed to have been sustained, arising out of activities, or the performance or nonperformance of obligations under this Agreement, of the indemnifying party, or those of any of its officers, agents, employees, or volunteers. The provisions of this Article do not apply to any damage or losses caused solely by the negligence of the non-indemnifying party or any of its agents or employees. 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 public 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. Said policy of comprehensive public 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. Governmental entities may substitute a certificate of self-insurance. 2. Automobile Liability Coverage. CONTRACTOR shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with a $1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non-owned automobiles used by CONTRACTOR employees or participants in performance of this Agreement, or, in the event that CITY will not utilize such owned/leased automobiles but intends to require employees, participants or other agents to utilize their own automobiles in the performance of this Agreement, CONTRACTOR shall secure and maintain on file from all such employees, participants, or agents as self-certification of automobile insurance coverage. Governmental entities may substitute a certificate of self-insurance. 3. 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 full 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. 4. Equipment Coverage. CONTRACTOR shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by CONTRACTOR in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a certificate of self-insurance. Page 10 of 15 5. 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. CORPORATE STATUS All corporate CONTRACTORS shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board and 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. 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. The Act and all applicable federal statutes, regulations, policies, procedures and directives, including but not limited to, 20 C.F.R. Parts 652 and 660 through 671. 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. XII. EXCLUSIVITY AND AMENDMENT OF AGREEMENT Page 11 of 15 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 Federal approval, and funds received or obligated from the Department of Labor 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 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 Page 12 of 15 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. 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. 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, WIB Administrative Office P.O. Box 1988 (M-73) Santa Ana, CA 92702 and, 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 Telefacsimile (714) 647-6956 CONTRACTOR: South Orange County Community College District ATTN: Dr. Debra Fitzsimons 28000 Marguerite Parkway Mission Viejo, CA 92692 Page 13 of 15 Telephone (949) 582-4664 Telefacsimilie (949) 347-2472 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 hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall 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. Page 14 of 15 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above-written. ATTEST: Maria D. Huizar Clerk of the Council "CONTRACTOR" CITY OF SANTA ANA, a municipal corporation of the State of California "CITY" By: " ul Walters Interim City Manager By: ir1Hl $ 0 2012 South Orange County Co munity College District Dr. Debra Fitzsimons Vice Chancellor of Business Services Tax ID #: APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: 14' Lisa E. Storck Assistant City Attorney Page 15 of 15 Saddleback College Orange County Bridge to Engineering Project (OC B2E) Scope of Work EXHIBIT A Letter of Commitment Grant Narrative.......... Work Plan/Timeline ... ........ ...... ............. ............ -.... .......................... .................. pg. 2-6 ............................................................................................. pg. 7 ........................................................................................ pg. 8-11 Exhibit A 1 Letter of Commitment: Orange County Bridge to Engineering Project Among Workforce Partners: Santa Ana Workforce Investment Board; Growth Sector Education Partners: Canada, and Santa Ana Community Colleges, California State University Fullerton, University of California Irvine, RapidTech; Employer Partners: OCTANe; Autodesk Manufacturing Users Group The above-named partners have collaborated on an application for a H-1B Technical Skills Training Grant from the U.S. Department of Labor. The partners listed above have agreed to enter into a collaborative agreement in which the Santa Ana Workforce Investmet Board will be the lead agency and named applicant and the other agencies will be partners in this application, The partners wish to enter into a Letter of Commitment setting forth the services to be provided by the collaborative. All of the Workforce and Education partners have an established and successful record of providing employment and training, education, collaborative workforce development projects and working closely with local and regional employers, as described in more detail in the technical narrative of the grant application attached to this agreement. The Employer partners listed above have approached the workforce and education partners with their need to develop a future workforce and contribute to improved education and training of engineers in southern California, as described in detail in the technical narrative.Our Foundation partner is extremely active in STEM education and engineering workforce issues. This application was planned and prepared by the lead agency, Santa Ana Workforce Investment Board, in collaboration with the aforementioned partners, through a series of discussions amongst senior management from each entity, The partners have worked together to develop information about the extent of the need for the proposed services, existing service gaps, scope of services, and the proposed project budget. All signing partners have approved this application, which is a request for new funding for the Orange County Bridge to Engineering Project (OC 132E) to be submitted to the U.S. Department of Labor on or before June 2, 2011. The partners enter into this Letter of Commitment and assert that the primary goal of OC 132E is to develop a sustainable, integrated system for channeling students through pre-college into four-year university engineering programs while preparing them for real-world work situations. To achieve this goal, project partners will: • Build a nine-month intensive Core Engineering Bridge course that incorporates a jump start math boot camp; an intensive and integrated math program including algebra, trigonometry, pre-calculus, and introduction to engineering careers • Enable OC 132E participants to directly enter the already established four year community college/CSU/UC engineering pathways • Enable OC B2E cohorts to move through most of their first two years as a learning community. • Support cohorts of students through the pathways with tutoring, mentoring, case management academic and financial aid and counseling • Offer intensive Summer Engineering Institutes with project based learning • Facilitate transfers to four-year universities' engineering programs for OC 132E graduates • Provide paid and unpaid internships and career exploration opportunities for participating students This Letter of Commitment details the roles and responsibilities for the lead agency and each collaborative partner in implementing the proposed Orange County Bridge to Engineering Project (OC B2E) The terms of this LOC are conditional on the U.S. Department of Labor awarding a H1B Technical Skills Training grant to Santa Ana WIB Grant amounts and matching funds are subject to revision based on the financial circumstances and budgets of the undersigned cooperating agencies. Since the budget will be negotiated finally once the grant is awarded, we are not specifying the dollar amounts of the grant award per agency at this time. This LOC is not a contract and only covers the intent to serve and partners' roles in the project. PARTNER ROLES & RESPONSIBILITIES In order to provide the full scope of work outlined above and in the grant application, the responsibilities of each partnering agency will include: WORKFORCE PARTNERS Each Workforce Partner will provide services and activities as outlined in the grant narrative and workplan, including; 1. Provide staff to participate in the project's ongoing collaborative planning, implementation, and activities 2, Conduct outreach and recruitment for grant participants. The Santa Ana Workforce Investment Board will further provide services and activities as outlined in the grant narrative and workplan, including: 1. Serve as the contractual and administrative lead agency and be responsible for fiscal management, subcontracting, and grant reporting. 2. Provide WIA eligibility assessment, enrollment, skills and interest assessment, and case management for two cohorts, of 33-35 OC 132E participants per cohort, for each of the first three years of the grant period. 3. Coordinate with their local community college and Growth Sector's Student Support Services to ensure individualized wraparound services for each participant in the program. 4. Provide its full complement of workforce services, including the services of its One Stop Career Centers. One Stop services include job search workshops such as resume building, interview practice, and soft skills development. 5. Leverage its WIB to create internship and mentoring opportunities for OC 132E participants 6. Make available its One Stop facilities for workshops, team building, and other program elements. 7. Conduct outreach to its full range of relevant workforce partners, as well as WIB board members, including businesses, social services and local government partners to provide opportunities and support for OC 132E participant Growth Sector will provide services and activities as outlined in the grant narrative and workplan including: 1. Provide project management and coordination to the OC 132E Coalition to ensure progress toward the Coalition's goals 2. Serve as the employer of record for Student Support Specialists at each community college. 3. Coordinate third-party review process for curriculum deliverables 4. Conduct employer outreach and development 5. Develop a resource and sustainability plan EDUCATION PARTNERS All Education Partners (Canada, Saddleback and Santa Ana Community Colleges CSU Fullerton and UC Irvine) will provide services and activities as outlined in the grant narrative and workplan includim 1. Provide staff to participate in the project's ongoing collaborative planning, implementation, and activities, with the time required for this purpose, including providing a stipended faculty member to serve on the Instructional Design Team. 2. Provide facilities and instruction for OC 132E as specified in the grant. Saddleback and Santa Ana Community College Partners will provide services and activities as outlined in the grant narrative and workplan, including: 1. Provide assessment on each student in preparation to attend their OC B2E Community College 2. Coordination of transfer and articulation with four-year institutions in the OC 132E Consortium 3. Participate in the development of the OC B2E curriculum and supporting elements with a representative of at least one faculty member to serve on the Instructional Design Team 4. Facilities and support for Summer Engineering Institutes 5. Intensive cohort-based counseling and individual academic advising through a tutor/mentor 6. Assist students with the Community College application process and develop SEPs (Student Education Plans) in group settings 7. Inform the students of Community College services available to them when they are enrolled 8. Financial Aid will disseminate information and have students complete the online FAFSA and BOG forms, and provide at least two workshops on financial aid per year. In addition: Canada College will provide services and activities as outlined in the grant narrative and workplan, includine: : 1. Serve as Technical Assistance provider for Math Jam curriculum to OC 132E partner colleges. 2. Support SFSU with development of curriculum for Core Engineering Bridge University of California Irvine will provide services and activities as outlined in the grant narrative and workplan, including: : 1. Provide access to computer lab hardware and software for Summer Engineering Institute participants in coordination with RapidTech 2. Provide logistical support to Summer Engineering Institutes, for two cohorts of approximately 30-35 students each per year, 3. Participate in the development of the OC 132E curriculum and supporting elements by consulting with the OC 132E Instruction Design Team. 4. Work with community colleges to develop articulation agreements and facilitate transfer of OC 132E cohorts 5. Provide tours and career exploration during Summer Engineering Institutes 6. Recruit employers to provide internships through the SAGE Scholars program; provide mentoring and support to UCI SAGE Scholars, 7. Provide Summer Scholars Transfer Institute programming for OC B2E participants as specified in the workplan and budget. 8. Provide academic counseling for selected engineering students as part of OC B2E. California State University Fullerton will provide services and activities as outlined in the grant narrative and workplan, including: : 1. Provide academic counseling for selected engineering students (approximately 10 per year) as part of OC 132E in Years 1 and 2 of the project and to all Santa Ana and Saddleback community college transfers in Years 3 and 4 of the project 2. Work with OC 132E staff to place approximately 10 OC 132E engineering upperclassmen per year in long- term internships, 3. Participate in the development of the OC 132E curriculum and supporting elements by consulting with the OC 132E Instruction Design Team. 4. Work with community colleges to develop articulation agreements and facilitate transfer of OC B2E cohorts San Francisco State University will provide services and activities as outlined in the grant narrative and workplan, including: : 1. Serve as the Inststructional Design Lead for OC B2E's Core Engineering Bridge component. 2. Participate in the development of the OC 132E curriculum and supporting elements. 4 RapidTech will provide services and activities as outlined in the grant narrative and workplan, including; 1. Provide staff to participate in the project's ongoing collaborative planning, implementation, and activities with the time required for this purpose 2. Participate in development and delivery of Summer Engineering Institutes in collaboration with Orange County-based education partners 3. Provide outreach and recruitment assistance to OC 132E through field trips to the RapidTech labs and other activities. 4. Reach out to employer partners as appropriate to develop internships for OC B2E participants. EMPLOYER PARTNERS All Employer Partners will: 1. Provide staff to participate in the project's ongoing collaborative planning, implementation, and activities with the time required for this purpose, 2. Assist workforce and education partners in defining the skills, knowledge, and experience needed by engineers so that engineering students are well-prepared for the workplace. 3. Consider any successful long-term interns for permanent employment as appropriate 4. Assist the workforce and education partners in publicizing the opportunities available through OC 132E. OCTANe will provide services and activities as outlined in the grant narrative and workplan, including: 1. Actively recruit businesses to provide internships and work experience for OC B2E participants 2. Sign up additional information technology, clean tech, life science, and biomedical employer partners from among the OCTANe membership, in addition to Abbott Medical Optics, Allergan, Aubrey Group, Bausch & Lomb Surgical, Emulex, Experian, Intersect Partners, Med Focus, Microsemi, Sequent Medical, Source Scientific, and Vertos Medical, which have already committed to place OC B2E participants in 39 internships and 45 work experience opportunities. Autodesk Manufacturing Users Groug (AMUG) will provide services and activities as outlined in the grant narrative and workplan, including; 1. Actively recruit businesses to provide internships and work experience for OC B2E participants from among its members 2. Set a target of at least 10 OJT placements/internships per year for AMUG. COMMITMENT TO PARTNERSHIP 1. All partners commit to participation in the Orange County Bridge To Enginering Consortium (OC 132E Consortium), providing all requested information, services, and activities described in the grant narrative work plan. 2. All partners commit to a good faith effort to sustain commitments of resources for the life of the grant and to seek to institutionalize and sustain OC B2E programs and initiatives beyond expiration of grant funds. 3. Compensation for funded partners' contribution to this project will be provided as outlined in the budget detail. All partners to be paid for subcontracting services under this grant have reviewed the proposed budget and approved the individual budget for their agency services. 4. This agreement assumes that all parties will put forth their best efforts to work together with all collaborative partners and act in good faith in carrying out the terms of this letter.This Letter of Commitment represents the entire agreement of the parties and may be modified only in writing and with the consent of the above referenced parties. By signing here, each entity signified approval of this collaboration, including the proposed budget, for the duration of H1B Technical Skills Training Grant funding. Signed: , A. 0k)UMaJay 24, 2011 Name: Linda A. Oberman, Santa Ana WIB Director Agency: Santa Ana Workforce Investment Board Signed: May 24, 2011 Name: E$eksu,_Associaatf; Professor of Mathematics S ed 2011 Name: William C. Tang, Associate Dean or Research Agency: University of California, Irvine Signed: --4 2011 Name. Thomas Mohr. President Agency: San Francisco State University Agency: Canada College ._§jEed,,NO& A A dail-t ?"t Q`" riEUt+ 'Pitta: Fye s l Ajaf *V4d CAM O Nam.- Al d., A j r4 Title; _ ft,, w ?'?tw',lSrr,? 6; v7" - Date: May 23, 2011 Agency: Santa Ana College Si ed a 28, 2011 Name. enshen Tong, Director, School of Engineering Agency: San Francisco State University Si ned: Ma 23, 2011 Name: J es ri ht, Dean of MA, Science & En g. Agency: Saddleback Community College Signed May 24, 2011 Name: 'd G e ; director Agency: Growth Sector Signed Ma 28, 2011 Name: Gar R inowitz, AMUG Pre dent Agency: Autodesk Manufacturing Users Group (AMUG) of Orange County Name: Susamma Barua. Associate Dean -. Agency: Samuels Foundation Date: May 23, 2011 Name: Caz PereiTY Director Grant Narrative Saddleback College 1. Provide staff to participate in the project's ongoing collaborative planning, implementation, and activities, with the time required for this purpose, including providing a stipend faculty member to serve on the Instructional Design Team. 2. Provide facilities and instruction for OC B2E as specified in the grant. 3. Provide assessment on each student in preparation to attend OC 132E program at Saddleback College. 4. Coordination of transfer and articulation with four-year institutions in the OC B2E Consortium. 5. Participate in the development of the OC B2E curriculum and supporting elements with a representative of at least one faculty member to serve on the Instructional Design Team. 6. Facilities and support for Summer Engineering Institutes. 7. Intensive cohort-based counseling and individual academic advising through a tutor/mentor. 8. Assist students with the Saddleback College application process and develop SEPs (Student Education Plans) in group settings. 9. Inform the students of Saddleback College services available to them when they are enrolled. 10. Saddleback College Office of Financial Assistance will disseminate information and have students complete the online FAFSA and BOG forms, and provide at least two workshops on financial aid per year. 7 d! C G1 E H W N co au tw w O V c? m m _ou m m a L 0 m N m N _ ar ? M N m U O > U C `l. C (1. Q CL C n p ' N. G7 a1 N ; a 43) •E u + m ? Ln u ?s u - ? 'a a) ? a1 u S a II 2 o l Q w (U C O () Ln w D ~ L. to N a) 0 Ir ° L m N aJ u 0) 0 Q m 0 o> Q g C ? N •C O ¢ - r?r M o w _ • .N C OC ? O N QJ - _ U N CL V e4 6 N E . N IM N V L v a w L o T - t Li v c E c N Q E N to C m U to .E- NP O O 0 H N + + Q/ N' ? ?. O N N N O 1 .a, T ro 4- V ? (A C o (O Y Q W al a) - N Q O U u O s 4J C U m 40 "D aa)i c o ? V) a -0 7 U ro (/ f ftA6 N m (A m v +1 M F- C F- E p O i C ? 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N CL ` ?n o = s ro o r E E ? 'rC Q h 00 11 COMPLAINT HANDLING UNDER THE WORKFORCE INVESTMENT ACT SANTA ANA WIA Santa Ana Local Workforce Investment Area Revised May 7, 2009 EXHIBIT B Table of Contents Information Regarding Complaints, A. Nondiscrimination and Equal Opportunity Complaints 3 3 1. Policy Statement 3 2. Civil Rights, 4 3. Nondiscrimination laws under WIA 4 4. How to File Your Complaint 5 B. Criminal Complaints 6 II. General Procedures for Handling Non-Criminal Violations of the Act 6 III. Procedures for Handling Complaints at the LWIA Level 8 IV. Procedures for Handling Complaints at the State Level 12 V. Procedures for Handling Discrimination Complaints by Participants 15 VI. Procedures for Handling Handicap Complaints by Participants 17 GLOSSARY OF WIA TERMS 20 2 EXHIBIT B Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Investment Act (WIA), the City of Santa Ana Local Workforce Investment Area (LWIA) 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 WIA, all contractors in the Santa Ana LWIA 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 Investment Act of 1998 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 WIA funded program because of race, color, religion, sex, national origin, age, handicap, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIA 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 WIA. 3 EXHIBIT B 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 Investment 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 Investment Act (WIA) programs may be discriminated against because of race, color, creed, handicap, 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 WIA. • 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 WIA 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 WIA 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 4 EXHIBIT B Prohibits discrimination based on handicap. 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: s EXHIBIT B 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 handicap must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIA administrative entity. The WIA 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 INVESTMENT ACT Santa Ana Local Workforce Investment Area 1000 E. Santa Ana Blvd., Ste 200 Santa Ana, CA 92701 (714)565-2600 B. Criminal Complaints In accordance with the WIA (P.L. 105-200) 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 667.600 through 667.640 of the WIA regulations, and Section 181(c) of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWIA 6 EXHIBIT B level for the receipt, investigation, hearing, and resolution of complaints by WIA participants, sub 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 LWIA. 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 WIA programs operated by each LWIA grant recipient and sub recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIA 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-WIA complaint. Also, these procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion Procedures do not restrict the LWIA 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: 1. 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 a 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. 7 EXHIBIT B A "participant", within the meaning of these procedures, is an individual who receives employment-training services under a program funded by Santa Ana LWIA. 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 LWIA 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 LWIA grant recipient/hearing procedures prior to appealing to the State except where the State determines that the LWIA grant recipient's procedures are not in compliance with the State's procedures. III. Procedures for Handling Complaints at the LWIA Level A. Receipt Complaints Pursuant to the WIA regulations found at 20 CFR, Section 667.600, the LWIA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs in the LWIA. "LWIA level" encompasses LWIA 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 WIA programs operated by the Santa Ana LWIA 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 LWIA 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; s EXHIBIT B d. What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; e. Remedy sought by the complainant; and 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 LWIA 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 LWIA 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: Anita Queen Sr. Personnel Analyst - EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714) 647-5157 9 EXHIBIT B 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 LWIA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: a. 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 LWIA 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 LWIA 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. 3. 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. to EXHIBIT B 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. 5. The party involved should have the right to be represented (at their own expense) if 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. 7. 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 LWIA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Investment Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWIA 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. D. Record of Hearing 11 EXHIBIT B An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWIA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWIA 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 LWIA'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 667.600, 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 LWIA's established procedures under Section 667.600. 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 LWIA and the State Review Panel in accordance with Section 667.600. IV. Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIA regulations at 20 CFR, Section 667.600 (d) requires the Governor to establish a State Review process of complaints filed at the LWIA grant recipient level and of complaints initially filed at the State level. Appeals of decisions issued at the LWIA level including audit disallowances and sanctions shall be reviewed by the State Review Panel. The State Review Panel shall review the record established at the LWIA level and shall issue a decision based on the information contained therein. 12 EXHIBIT B 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 LWIA 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 LWIA 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 LWIA decision to be reviewed including regulatory and statutory citations e. A statement of the relief sought. 3. Complainant Responsibility It is the responsibility of the complainant to include in the request for review a written statement setting forth the facts presented at the LWIA hearing which support the requested relief. The Chief, WID, shall mail a copy of the request for review to the other party and to the LWIA. It shall be the responsibility of the LWIA 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 If no decision has been issued at the LWIA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The 13 EXHIBIT B 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 LWIA 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 LWIA b. Name, address, and telephone number of the LWIA C. Copies of complaints made at LWIA 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. Decisions issued by this panel, under the authority of the Governor, are final. 14 EXHIBIT B D. Issuance of State Review Decision. The State review will be limited to violations of the WIA, implementing WIA regulations or the grant agreement. This review shall be limited to the record established at the LWIA 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. 1. It is the responsibility of the Santa Ana LWIA'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 LWIA's procedure under Section II (A). 15 EXHIBIT B PROCEDURES FOR HANDLING NON-CRIMINAL COMPLAINTS No later than 180 days of alleged discrimination Handling of complaints filed at LWIA level arising in connection with WIA programs operated by LW/As Informal Resolution Process Within 10 days of receipt of unsatisfactory decision or 10 days from date LWIA decision should have been issued. Unsatisfactory Decision or LWIA Decision not issued within 60 days LU 0 0 0 Request for State Review w 0 0 Governor's Decision issued by State Review Panel If no decision issued by State Review Panel Appeal to DOL e c C a 16 EXHIBIT B 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: Anita Queen Sr. Personnel Analyst - EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714) 647-5157 VI. Procedures for Handling Handicap Complaints by Participants Complaints alleging discrimination on the basis of handicap 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 LWIA'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 LWIA Level The complainant shall file his/her complaint directly with the Santa Ana LWIA. 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 LWIA 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 1. The complainant may appeal to the State if he/she is not satisfied with the decision of the Santa Ana LWIA. 17 EXHIBIT B 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 LWIA'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 B PROCEDURES FOR HANDLING HANDICAP COMPLAINTS No later than 180 days of alleged discrimination Filed within 30 days of LW IA/State Decision or 90 Filing of complaint on the basis Of Handicap with LWIA Informal Resolution If no resolution reached Request for Hearing I Notice of Hearing I Hearing Conducted I LWIA Decision Unsatisfactory Decision or No Decision State Review I Governor's Decision Day 1 Day 145 Day days from date of 60 Days initial filing of Appeal to Assistant Secretary Department of Labor complaints 19 EXHIBIT B GLOSSARY OF WIA 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 WIA 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 . HANDICAPPED INDIVIDUAL - Any individual who has a physical or mental disability that constitutes or results in a substantial handicap 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 20 EXHIBIT B 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. 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 B CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS, GRANTS, LOANS and COOPERATIVE AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief, that: 1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying." in accordance with its instructions. 3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure occurring on or before October 23, 1996, and of not less than $11,000 and not more than $110,000 for each such failure. Grantee/C ntractor ganization DI.S1C } Progra Title MAY 0 3 2012 Signature Debra L. Fitisimons, Vice Chancellor, Business Services Name of Certifying Official Signature EXHIBIT C DISCLOSURE OF LOBBYING ACTIVITIES Approved by OMB Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 0348-0046 (See reverse for public burden disclosure.) 1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type: ? a. contract ? a. bid/offer/application ? a. initial filing b. grant b. initial award b. material change c. cooperative agreement c. post-award For Material Change Only: d. loan year quarter e. loan guarantee date of last report f. loan insurance 4. Name and Address of Reporting Entity: 5. If Reporting Entity in No. 4 is a Subawardee, Enter Name and Address ? Prime ? Subawardee of Prime: Tier if known: Congressional District, if known: Congressional District, if known: 6. Federal Department/Agency: 7. Federal Program Name/Description: CFDA Number, if applicable: 8. Federal Action Number, if known: 9. Award Amount, if known: 10. a. Name and Address of Lobbying b. Individuals Performing Services ( including address Entity if different from No. 10a) ( if individual, last name, first name, MI): (last name, first name, MI): (attach Continuatio n Sheet(s) SF-LLLA, if necessary) 11. Amount of Payment ( check all that apply): 13. Type of Payment ( check all that apply): $ ? actual ? planned ? a. retainer ? b. one-time fee ? c. commission 12. Form of Payment ( check all that apply): ? d. contingent fee ? a. cash ? e. deferred ? b. in-kind; specify: nature ? f. other; specify: value 14. Brief Description of Services Performed or to be Performed and Date(s) of Service, including officer(s), employee(s), or Member(s) contacted, for Payment Indicated in Item 11: attach Continuation Sheets SF-LLLA, if necessary) 15. Continuation Sheet(s) SF-LLLA attached: ? Yes ? No 16. Signature: Information requested through this form is authorized by title 31 Print Name: U.S.C. section1352. This disclosure of lobbying activities is a Title: material representation of fact upon which reliance was placed Telephone No.: Date: by the tier above when this transaction was made or entered into. This disclosure is required pursuant to 31 U.S.C. 1352. This information will be reported to the Congress semi-annually and will be available for public inspection. Any person who fails to file the required disclosure shall be subject to a civil penalty of not less that $10,000 and not more than $100,000 for each such failure. Authorized for Local Reproduction Federal Use Onl : Standard Form LLL Rev. 7-97 EXHIBIT C INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES This disclosure form shall be completed by the reporting entity, whether sub-awardee or prime Federal recipient, at the initiation or receipt of a covered Federal action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreement to make payment to any lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action. Use the SF-LLLA Continuation Sheet for additional information if the space on the form is inadequate. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information. 1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action. 2. Identify the status of the covered Federal action. 3. Identify the appropriate classification of this report. If this is a follow up report caused by a material change to the information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered Federal action. 4. Enter the full name, address, city, State and zip code of the reporting entity. Include Congressional District, if known. Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or sub-award recipient. Identify the tier of the sub-awardee, e.g., the first sub-awardee of the prime is the 1st tier. Sub-awards include but are not limited to subcontracts, sub-grants and contract awards under grants. 5. If the organization filing the report in item 4 checks "Sub-awardee," then enter the full name, address, city, State and zip code of the prime Federal recipient. Include Congressional District, if known. 6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational level below agency name, if known. For example, Department of Transportation, United States Coast Guard. 7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments. 8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number; Invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001." 9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan commitment for the prime entity identified in item 4 or 5. 10. (a) Enter the full name, address, city, State and zip code of the lobbying entity engaged by the reporting entity identified in item 4 to influence the covered Federal action. b) Enter the full names of the individual(s) performing services, and include full address if different from 10 (a). Enter Last Name, First Name, and Middle Initial (MI). 11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (item 4) to the lobbying entity (item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this is a material change report, enter the cumulative amount of payment made or planned to be made. 12. Check the appropriate box(es). Check all boxes that apply. If payment is made through an in-kind contribution, specify the nature and value of the in-kind payment. 13. Check the appropriate box(es). Check all boxes that apply. If other, specify nature. 14. Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to perform, and the date(s) of any services rendered. Include all preparatory and related activity, not just time spent in actual contact with Federal officials. Identify the Federal official(s) or employee(s) contacted or the officer(s), employee(s), or Member(s) of Congress that were contacted. 15. Check whether or not a SF-LLLA Continuation Sheet(s) is attached. 16. The certifying official shall sign and date the form, print his/her name, title, and telephone number. According to the Paperwork Reduction Act, as amended, no persons are required to respond to a collection of information unless it displays a valid OMB Control Number. The valid OMB control number for this information collection is OMB No. 0348-0046. Public reporting burden for this collection of information is estimated to average 30 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington, DC 20503. EXHIBIT C 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. EXHIBIT D Pg. 2 (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; (f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted - ( 1) Taking appropriate personnel action against such an employee, up to and including termination; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached "Place of Performance" form the site(s) for the performance of work to be carried out with the grant funds (including street address, city, county, state, and zip code) .the contractor further certifies that, if it is subsequently determined that additional sites will be used for the performance of work under the contract, it shall notify the U.S. Department of Housing and Urban Development immediately upon the decision to use such additional sites by submitting a revised "Place of Performance" form. Dated: Program Operator EXHIBIT D DIVISION OF EMPLOYMENT SERVICES PLACE OF PERFORMANCE Name: FOR CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS Name of Contractor: Contractor Number: Date: The Contractor shall insert in the space provided below the site(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): Snddleha<k ("o 1 le z a$CMGO margUey,ve Mw'-{ M EXHIBIT D Saddleback Budget Worksheet Year 1 Year 2 Year 3 Year 4 Total txpense vurpose reaerai reaerai reaerai reaerm reuerai Personnel COLA Project Director- Co- Math 1.02 Manages the Project $ 19,272 $ 19,657 $ 20,051 $ 20,452 $ 79,432 Project Director- Co- Sci/Eng 1.02 Manages the Project $ 19,272 $ 19,657 $ 20,051 $ 20,452 $ 79,432 Adjunct Faculty (44-64 units/$1100 unit) 1.02 Additional Cohort courses $ 48,400 $ 70,400 $ 71,808 $ 73,244 $ 263,852 Provides dedicated academic Academic Counselor 1.02 counseling services to cohort $ 21,560 $ 21,819 $ 22,081 $ 22,355 $ 87,815 Tutorial ($11 /hr) Dedicated tutorial for cohort $ 8,800 $ 8,800 $ 8,800 $ 8,800 $ 35,200 Project Assistant Assists Project Directors $ 6,200 $ 6,200 $ 6,200 $ 6,200 $ 24,800 Subtotal Personnel $ 123,504 $ 146,534 $ 148,990 $ 151,502 $ 570,530 Retirement, Medicare, Co-Project Director Unemployment, Workers Comp $ 2,600 $ 2,700 $ 2,800 $ 2,900 $ 11,000 Retirement, Medicare, Co-Project Director Unemployment, Workers Comp $ 2,600 $ 2,700 $ 2,800 $ 2,900 $ 11,000 Retirement, Medicare, Adjunct Faculty Unemployment, Workers Comp $ 6,311 $ 9,180 $ 9,364 $ 9,551 $ 34,406 Retirement, Medicare, Academic Counselor Unemployment, Workers Comp $ 2,827 $ 2,860 $ 2,895 $ 2,928 $ 11,510 OASDI, Medicare, Tutorial Unemployment, Workers Comp $ 993 $ 993 $ 993 $ 993 $ 3,972 Retirement, Medicare, Project Assistant Unemployment, Workers Comp $ 1,373 $ 1,373 $ 1,380 $ 1,380 $ 5,506 Subtotal Fringe/Benefits $ 16,704 $ 19,806 $ 20,232 $ 20,652 $ 77,394 Travel Cohort Field Trips $ 2,750 $ 4,300 $ 4,755 $ 4,800 $ 16,605 Project Director - Travel for Curriculum Development $ 1,000 $ - $ - $ - $ 1,000 Mileage Consortium meetings) $ 700 $ 700 $ 700 $ 700 $ 2,800 Subtotal Travel $ 4,450 $ 5,000 $ 5,455 $ 5,500 $ 20,405 Supplies Duplication Costs 250 300 300 300 850 Chemicals/Lab supplies- Physics, Chemistry /Computer Science Calculators for students in the program- students will keep (see sheet two for supplies detail cost $ 7,753 $ 7,980 $ 11,030 $ 11,030 $ 37,793 Subtotal Supplies $ 8,003 $ 8,280 $ 11,330 $ 11,330 $ 38,943 Total Direct Costs 152,661 179,620 186,007 188,984 $ 707,272 Indirect Costs Indirect Cost Rate 8% $ 12,213 $ 14,370 $ 14,881 $ 15,119 $ 56,582 Total Costs $ 164,874 193,989 200,888 204,11 03 $ 763,854 EXHIBIT E m r, f 0 c; LM 00 O. 0 : . 4 t4 A4 LO to LO N N u t T t N tN s L L a v 8 N N N .0 to r to N tC) ? r ? r -C T t Q O U O U i) to In to CNI t '- t N In M LO o o N r Q r Q r Q T .C O 8 O O C Q U U N N N N M N 04 M CY) M Y O O O t? 3 p U U m O 0 O 0 O Co fn O CD Ct O Q N M M M M . - ff} U1 EA ER 69 (fl Q Q. r T O E O T O. T O T. O m ) N 0 M 0 a O ? V ?1 O ?a V O a '' V O ?? V O L U V Lp M Lpp M Lp M V M r c) U U O O O O C M M M M M L L (? M O (V O M .2 a O d C =3 0 :3 l 0 L U CL L 0 U L _ U O p ?? p p {? pp 8 8 U. L ) 1 1 1 , O O U ++ O U a U U + U U C N 'O >+ - T T >. Y Q Q- O. 0- C. CL O.. O 7 U 1A 7 U CY) O U N U U U U U N Q T O O U N ` 7 O U M ` 7 O U V 7 O U O N U O > O > C O > U > L Q O L U >, >, O , , O , , O K T O EXHIBIT E SADDLEBACK COLLEGE BUDGET NARRATIVE Curriculum Development and Implementation Math Lead: With Science/Engineering Lead, serves on Instructional Design Team, develops and delivers Core Bridge to Engineering Curriculum, coordinates with other CCs. $19,272 in Year 1, $19,657 in Year 2, $20,051 in Year 3, and $20,452 in Year 4 for a total of $79,432. Fringe Benefits @ 13.9% _ $2,600 in Year 1, $2,700 in Year 2, $2,800 in Year 3, and $2,900 in Year 4 for a total of $11,000 Curriculum Development and Implementation Sci/Eng Lead: With Math Lead, serves on Instructional Design Team, develops and delivers Core Bridge to Engineering Curriculum, coordinates with other CCs. _ $19,272 in Year 1, $19,657 in Year 2, $20,051 in Year 3, and $20,452 in Year 4 for a total of $79,432. Fringe Benefits @ 13.8% _ $2,600 in Year 1, $2,700 in Year 2, $2,800 in Year 3, and $2,900 in Year 4 for a total of $11,000 Adjunct Faculty: (44-64 units/$1100 unit) Assists in delivering Core Bridge to Engineering curriculum, accelerated math, science basics = $48,400 in Year 1, $70,400 in Year 2, $71,808 in Year 3, and $73,244 in Year 4 for a total of $263,852. Fringe Benefits @ 13.04% _ $6,311 in Year 1, $9,180 in Year 2, $9,364 in Year 3, and $9,551 in Year 4 for a total of $34,406 Academic Counselor: (24% FTE) Provides dedicated academic counseling time to Saddleback Community College cohorts to help them succeed in OC 132E and transfer to the institution of their choice = $21,560 in Year 1, $21,819 in Year 2, $22,081 in Year 3, and $22,355 in Year 4 for a total of $87,815. Fringe Benefits @ 13.04% _ $2,827 in Year 1, $2,860 in Year 2, $2,895 in Year 3, and $2,928 in Year 4 for a total of $11,510 Tutorial: (20 hrs/week at $11/hr) Student tutors dedicated to OC B2E cohorts = $8,800 in Year 1, $8,800 in Year 2, $8,800 in Year 3, and $8,800 in Year 4 for a total of $35,200. Fringe Benefits @ 11.03% _ $993 in Year 1, $993 in Year 2, $993 in Year 3, and $993 in Year 4 for a total of $3,972 Project Assistant: (OT) _ $6,200 in Year 1, $6,200 in Year 2, $6,200 in Year 3, and $6,200 in Year 4 for a total of $24,800. Fringe/Benefits @ 22% _ $1373 in Year 1, $1373 in Year 2, $1380 in Year 3, and $1380 in Year 4 for a total of $5506 Cohort Field Trips: Transportation and supplies for CC cohorts to visit local companies as part of career exploration curriculum. $2,750 in Year 1, $4,300 in Year 2, $4,755 in Year 3, and $4,800 in Year 4 for a total of $16,605 Project Director Travel (in state): Airfare, hotel, meal, rental car for travel to Canada College for Math Jam review and curriculum development. Year 1- $1,000 for a total of $1,000 Mileage: Travel to and from consortia meetings for Math Lead and Science/Engineering Lead. Year 1- $700, Year 2- $700, Year 3- $700, and Year 4- $700, for a total of $2,800 Chemicals/Lab supplies, Physics, Chemistry /Computer Science: Includes software, graphing calculators, and other lab supplies. $7,753 in Year 1, $7,980 in Year 2, $11,030 in Year 3, and $11,030 in Year 4 for a total of $37,793. EXHIBIT E Duplication Costs: Cohort recruitment flyers, application files, cohort workshop materials. $250 in Year 1, $300 in Year 2, $300 in Year 3 and $300 in Year 4 for a total of $1150. Indirect Costs = $12,161 in Year 1, $14,390 in Year 2, $14,888 in Year 3, and $15,143 in Year 4 for a total of $56,582. Saddleback Community College Subtotal Project Year Funds Requested Year 1 $ 164,874 Year 2 $ 193,989 Year 3 $ 200,888 Year 4 $ 204,103 Total $ 763,854 EXHIBIT E ASSURANCES Contractor agrees that in addition to those agreements and obligations specified in the contract boilerplate, attached exhibits and scope of work, it will also adhere to and obey the following provisions, assurances, and certifications. 1. Prohibited Uses. Contractor assures and certifies that it will not use any funds appropriated under this agreement for religious activity or anti-religious activity, or to promote or oppose any political candidate, parties, and/or beliefs. 2. Modification. Contractor assures and certifies that any requested modification to this agreement must be submitted in writing, explaining requested changes and rationale. Contractor further assures that no modification will be implemented without prior written approval from the Santa Ana WORK Center. 3. Cooperation. Contractor agrees to cooperate with any monitoring inspection audit or investigations of activities related to this Agreement as may be scheduled and conducted by the Santa Ana WORK Center. 4. Acknowledgement. Contractor agrees to acknowledge (give credit to) the Santa Ana WORK Center in all oral presentations, written document publicity, and advertisements regarding any activities that ensue from this Agreement. 5. Intellectual Property Rights. The federal Government reserves a paid-up, nonexclusive and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use for federal purposes: i)the copyright in all products developed under the grant, including a subgrant or contract under the grant or subgrant; and ii) any rights of copyright to which the grantee, subgrantee or a contractor purchases ownership under an award (including but not limited to curricula, training models, technical assistance products and any relataed materials). Such uses include, but are not limited to, the right to modify and distribute such products worldwide by any means, electronically or otherwise. Federal funds may not be used to pay any royalty or licensing fee associated with such copyrighted material, although they may be used to pay costs for obtaining a copy which are limited to the developer/seller costs of copying and shipping. If revenues are generated through selling products developed with grant funds, including intellectual property, these revenues are program income. Program income is added to the grant and must be expended for allowable grant activity. 6. Product Creation. If applicable, the following needs to be on all products developed in whole or in part with grant funds: "This workforce solution was funded by a grant awarded by the U.S. Department of Labor's Employment and Training Administration. The solution EXHIBIT F was created by the grantee and does not necessarily reflect the official position of the U.S. Department of Labor. The Department of Labor makes no guarantees, warranties, or assurances of any kind, express or implied, with respect to such information, including any information on linked sites and including, but not limited to, accuracy of the information or its completeness, timeliness, usefulness, adequacy, continued availability, or ownership. This solution is copyrighted by the institution that created it. Internal use, by an organization and/or personal use by an individual for non-commercial purpose, is permissible. All other uses require the prior authorization of the copyright owner." EXHIBIT F Statewide Association of Community College bERTIFICATE OF COVERAGE 7;7 Date Protected Insurance Program for Schools 11/14/2011 ADMINISTRATOR: LICENSE # 0451271 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY Keenan & Associates AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS 901 Calle Amanecer #200 CERTIFICATE DOES NOT AMEND, EXTEND OR ALTER THE COVERAGE , AFFORDED BY THE COVERAGE DOCUMENTS BELOW. San Clemente, CA 92673 ENTITIES AFFORDING COVERAGE: 949-940-17$0 k www. eenan.com ENTITYk Statewide Association of Community Colleges COVERED PARTY: ENTITYa: Protected Insurance Program for Schools South Orange County Community College Dist 28000 Marguerite Parkway ENTITYC: Mission Viejo CA 92692 ENTITY D: ENTITY E: THIS IS TO CERTIFY THAT THE COVERAGES LISTED BELOW HAVE BEEN ISSUEOTO THE COVERED PARTY NAMED ABOVE FOR THE PERIOD INDICATED. NOTTAITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACTOR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN. THE COVERAGE AFfORDEO HEREIN IS SUBJECT TO ALL THE TERMS AND CONDITIONS OF SUCH COVERAGE DOCUMENTS. MEMBER ENT LTR TYPE OF COVERAGE COVERAGE DOCUMENTS EFFECTIVE! EXPIRATION DATE RETAINED LIMIT /DEDUCTIBLE LIMITS A GENERAL LIABILITY COMBINED SINGLE LIMIT EACH OCCURRENCE ( GENERAL ( LIABILITY CLAIMS MADE 4000URRENCE SWC00107-25 7/1/2011 $ 50,000 $ 1,000,000 ( ( GOVERNMENT CODES 711/2012 ( ERRORS&OMISSIONS ( A AUTOMOBILE LIABILITY COM81NED SINGLE LIMIT EACH OCCURRENCE ( ANY AUTO SW000107-25 7/1/2011 $ 50,000 $ 1,000,000 HIREDAUTO ON-OWN DAUTO [ N 7/1/212 [ GARAGE LIABILITY [ AUTO PHYSICAL DAMAGE A PROPERTY SWC 00107-25 7/1/2011 $ 5,000 s 250,000,000 I Jf ALL RISK 7/1 /2012 EACH OCCURRENCE EXCLUDES EARTHQUAKE & FLOOD 1 BUILDER'S RISK A STUDENT PROFESSIONAL LIABILITY SWC 00107-25 7/1/2011 $ 5,000 b4cluded 7/1/2012 EACH OCCURRENCE B WQRKERS COMPENSATION WC STATUTORY LIMITS (,I OTHER EMPLOYERS'LIABILITY PIPS11708 711/2011 5 7/112012 $ 1,000,000 E.L. EACH ACCIDENT EXCESS WORKERS COMPENSATION $ 1,000,000 I ) EMPLOYERS' UA131LITY $ E.L. DISEASE - EACH EMPLOYEE $ 1,000,000 E.L. DISEASE • POLICY LIMITS OTHER $ H TO FOR ' a L S® DESCRIPTION Of OPERATIONSILOCATIONSNEHICLESIRESTRICTIONSISPECIAL PROVISIONS: As respects to the agreement between between SAWIB and South Orange County CCD (Saddleback College SVORCK .---- 1.1SA City Attofn Assistan CERTIFICATE HOLDER: CANCELLATION ...... SHOULD ANY OF THE ABOVE DESCRIBED COVERAGES BE CANCELED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING ENTITY/JPA Community Development M-25 t7 Agency WILL ENDEAVOR TO MAIL 30 DAYS WRITTEN NOTICE TO THE CERTIFICATE HOL Cit of Santa Ana DER NAMED TO THE LEFT, 8UT FAILURE TO MAIL SUCH NOTICE SHALL yy IMPOSE NO OBLIGATION OR LIABILITY OF ANY KIND UPON THE ENTITYMPA, ITS P.O. Box 1988 AGENTS OR REPRESENTATIVES. Santa Ana CA 92702 Graham Grice AUTHORIZED REPRESENTATIVE I w'1 oor CERT ?O.i 11656159 CLIENT' CODE: SOUTHORA N.el Ssea Kagnitico 11/14/2031 4:53:36 PN Page 1 of 3 DISCLAIMER The Certificate of Coverage on the reverse side of this form does not constitute a contract between the Issuing entity(tes), authorized representative or producer, and the certificate holder, nor does it affirmatively or negatively amend, extend or alter the coverage afforded by the coverage documents listed thereon, V( C! To V010 pRCK IS AttarneY Assistant GitY CERT NO- 11656359 CLIENT CODE: SOVIHORA N.el3eea PagnMf 0 11/16/2011 9:53:36 PH Page 2 Of 3 ENDORSEMENT ADDITIONAL COVERED PARTY COVERED PARTY COVERAGE DOCUMENT ADMINISTRATOR South Orange County Community Colle a D%NC 00107-25 Keenan & Associates Subject to all its terms, conditions, exclusions, and endorsements, such additional covered party as is afforded by the coverage document shall also apply to the following entity but only as respects to liability arising directly from the actions and activities of the covered party described under "as respects" below. Additional CnvLqrpd Part Community Development Agency M-25 City of Santa Ana P.O Box 1988 Santa Ana CA 92702 As Respects: As respects to the agreement between between SAWIB and South Orange County CCD (Saddleback College). City of Santa Ana, its officers, agents, employees and volunteers are named as Additional Covered Parties. Authorized Representative A? ?© gpRNi Issue Date: 11/14/2011 LISA ?. STORCK A t City Attorney CERT NO.: 11656359 CLIENT CODE: SOUMCRA Reliaaa Magniflco 11/14/2011 4:53:36 PM Page 3 of 3 Assistan 3b 5tatewlde ASsoclation of Community College .� �� © tiQ�R�, ER Issuo pate 6/30!2014 Protected Insurance Program for Schools ADMINISTRATOM LICENSE ff 0461271 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY Keenan & Associates AND CONFERS NO RIGHT$ UPON THE CERTIFICATE HQLDi R, THIS 909 Calle Arn anecer, #200 CERTI FICA TE DOES NOT AMEND, EXTEND OR ALTL -N T HE COVERAGE Sin Clemente, CA 92673 BY THE COVERAGE DOUM:NT5BELOW, - -, .�^.- .•�.�•...� -.,. � ENTITIES AFFORDING COVERAGE; 949- 940 -1760 wwrw.keenan,com ENTITY A; Statewide AMSociation of Community Colleges ENTITY B', Protected Insurance Program for Schools COVERED PARTY; SDut} Orange County Community Collego foist 28000 Merguorite Parkway ENTITY O; Mission Vleje CA 92692 ENTITY D; ENTITY E' THIS IS TO CERTIFY THAT THE COVERAGE.$ LISTED BELOW HAVE BEEN ISSUCO TO THE CCVER£0 PARTY NAMED ABOVE FOR THE PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACTOR OTHER DOCUMENT WITH RFSPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN. THE COVERAGE AFFORDED HEREIN IS SUBJECT TO ALL TWE TERMS AND CON DITIUNS OF SUCH COVERACa DOCUMeRrS. MEM13ER ENT LTR TYPE OF COVERAGE COVERAGE DOCUMENTS EHFECTIVE! EXPIRATION DATE RETAINED LIMIT tpI3DUC71R"E LIMITS A GENERAL LIABILITY COMBINED SINGLE LIMIT EACH OCCURRENCE I GENERAL LIABILITY MADE OOCURREN32 SVVC00107.2s 7/1/2014 ti 50,000 s 1,000,000 [ ICI-AIMS (�} I GOVERNMENTCODCS 7/1I2Q1 I ERRORS & OMISSIONS A AUTOMOBILE LIABILITY COMBkNEO SINGLE LIMIT EACH OOCVRRENCS f ANY AUTO SVVC00107 -28 7/1/2014 60,000 4 1,000,000 t HIRED AUTO { NON-gWN6O AUTO 7/1/2016 { GARAGE LIABILITY AUTO PHYSICAL DAMAGE . A PROPERTY SWC Q0107 -28 7/112014 $ 6,000 25Q,000,000 ALL RISK 7/112015 EACH OCCURRENCE [ EXCLUDES EARTHQUAKE &FLOOD [ BUILDER'S RISK A STUDENT PROFESSIONAL LIABILITY SWC 00107 -28 7/112014 S 5,000 s Included 7/1/2016 EACH OCCURRENCE WORKERS COMPENSATION I f WC 3A1Y LMIT8 [ti/ g7H R I �EMLOYFR5'LIABILITY PIPS11711 7/1/201;4 7/1/2016 s 1,000,000 E.L, EACH ACCIOENT 1,000,000 y EXCESS WORKERS COMPENSATION f I EMPLOYrRS' LIAOILI7'Y EJ., DISEASE- EACH EMPLOYEE. $ 1,000,000 E.L. DISRASE, POLIOY LIMITS OTHER � S DESCRIPTION OF OPEHATIDN$ ILOCATIQ NSNEHICLESIRESTRICTIONSl$PECIAL PROVISIONS: As rospects to Phe agreement between between SAVVIB and South Orange County CCD (Saddlabaack College), 0VRTIFi0nT6 HOLDER; CANCELLATION...—SHOULD ANY OF THE AROVE DESCRIBED QOVERAGES BE G E BML E_XP TION 2ATU THER£0;=, THE I $SJ ING ENTIJ'Y /JP A t e Community N17 � WCAILNI. ( Y �I N fCC [� "rHE �CE � TE IMHAE IL „ � Development Agency M ^25 �s*RN6NM�� R O. Box 1958 xya600xKM SWyV". Santa Ana CA 92702 T John Stephons AUTHORIZED REPR5SFNTATIVE u•naVX'r10idinawmi C111'., NC., 2C731023 C7IRPT COPE, 9OUTHORA M7.1��a Moik lgg 0 /30 /PP 14 10,1BI38 AM {@DT) page 1 of 7 10 4 I� DISCLAIMER The Certificate of Coverage on the revem side of this farm does not oanstltute a contract between the lssuirlg entity(les), aut'nartzed representative or producer, and the certi lcate holder, nor does It affirmatively or negatively amend, extend.or after the coverage afforded by the coverage documents fisted thereon, u0prL�lnlin�.��nn C=7 NO,i U7J3 02.2 CLIENT CODE, EOOTHORA At.illba NovajaM G/30/201A 10:48,35 AM (ppT) PH96 2 Of 3 ENDORSEMENT ADDITIONAL CCVirRED PARTY COVeRED PARTY COVERAGE DOCUMENT ADMINISTRATOR South Orange County Community College DMC 00107.28 Keenan & Associates Subject to all its terms, conditions, exclusions, and endorsements, such additional covered party as is afforded by the coverage document shall also apply to the following entity but only as respects to liability arising directly from the actions and activities of the covered party described under "as respects" below. Adrdirinnai Covered puty— My of Santa Ana Ccrnmunity Development Agenoy M -215 P.O. BOX IDS$ Santa Ana CA 92702 As respects to the agreement between between SAWIS and south Orange County CCD (Saddleback College-). City of Santa Ana, !ts officers, agents, employees and volunteers are named as Additional Covered Parties. This coverage shall be primary to the certificate holders coverage as respects the actions and activities of the Covered Party dud to their sole negligence. \ Authorized Representative Issue Data: 6/30/2014 CrAT NO,! 20731023 C:,1WWT COUEt SOUTHORA ACxiMba 907.alaa 6130/2619 10il &0S AM MDT) Page 3 of 3