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HomeMy WebLinkAboutHEALTHSTAFF TRAINING INSTITUTEINSURANCE ON FILE WORK MAY PROCEED A-2023-069-01 UNTIL INSURANCE EXPIRES CfRA)( _ CITY CLERK DATE: AGREEMENT FOR WORKFORCE TRAINING B:GOA(t�(PV) THIS SUBAWARD AGREEMENT ("Agreement"), made and entered into this Ist day of July. 2023, by and between the City of Santa Ana, a charter city and municipal NVOY•i corporation duly organized and existing under the Constitution and laws of the State of California ("CITY") and HealthStaff Training Institute identified by the assigned Data Universal Numbering System (DUNS) Number (196284657) ("CONTRACTOR"). RECITALS: N `v A. CITY has been designated a Local Workforce Development Area (LWDA) ~ under the Workforce Innovation and Opportunity Act.of 2014, Public Law 1-113-128 ("WIOA" or "the Act"), Catalog of Federal Domestic Assistance (CFDA) Number 17.258, 17.278, 17.259 ­2 and Federal Award Identification Number (FAIL AA363092155A6. B. The State of California has created the LWDA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWDA, CITY is entitled to receive Federal funds to establish programs to increase the employment, retention and earnings of participants, and increase occupational skills attainment by participants, and as a result, improve the quality of the workforce, reduce welfare dependency, and enhance the productivity and competitiveness of the nation. Under WIOA, participants in need of training services may access career training through a list of state -approved schools and their training programs. D. In addition to WIOA, the CITY received funding from the Orange C ounty Social Services Vocational Training grant funded through the California Work Opportunity and Responsibility to Kids Act of 1997, which provides monies for the basic needs of families with children ("CalWORK.s" or "SSA"). An important component of CaIWORK.s allows for the provision of employment services for parents. Heads of households are provided job training services to help families upgrade job skills with the ultimate goal of self-sufficiency. E. The CITY intends to utilize the WIOA and SSA Grant Funds to operate a Workforce Training Program in which vocational training courses will be made available to Qualified Participants ("Workforce Training Program"). Qualified Participants are those individuals that are permitted to participate under the Act and approved to participate under the City's Workforce Training Program ("Qualified Participants"). Pursuant to the Workforce Training Program, the CITY desires to contract with public and private organizations, including employers, who are qualified to participate in the CITY's Workforce Training Program by providing services to Qualified Participants (each, a "Qualified Contractor"). F. CONTRACTOR is a Qualified Contractor that has been selected as one of several vendors that qualified to provide workforce training under the Workforce Training Program. G. CONTRACTOR represents that it is knowledgeable in its field, and is Page I of 19 willing to provide workforce training services under the Workforce Training Program pursuant to applicable Federal and California laws. H. The CITY and CONTRACTOR (each, a "Party" and jointly, the "Parties") desire to enter into this Agreement so that CONTRACTOR may receive a subgrant of the proceeds of the WIOA and/or SSA Grants (hereinafter defined as the "Subgrant") in consideration for CONTRACTOR's participation in the CITY's WIOA and/or SSA Programs and provision of services to Qualified Participants upon the request of the CITY. WHEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terms and conditions hereof, the Parties hereto do hereby agree as follows: I. CONTRACTOR'S OBLIGATIONS A. In compliance with all of the terms and conditions of this Agreement, CONTRACTOR shall provide the CONTRACTOR's Services, as authorized by the CITY's Representative. CONTRACTOR represents and warrants that CONTRACTOR's Services to be provided hereunder shall be performed in a competent, professional and satisfactory manner in accordance with the CITY's Workforce Training Program. B. CONTRACTOR agrees to provide benefits to individuals who participate in the activities and services funded by this Agreement ("Participants") in accordance with the standards and requirements set forth in this Agreement. C. CONTRACTOR acknowledges and agrees that CITY shall request that CONTRACTOR provide the CONTRACTOR's Services on an "as requested" basis and that CITY does not guaranty a minimum number of Qualified Participants for whom CONTRACTOR's Services shall be requested and required under this Agreement. CONTRACTOR acknowledges and agrees that CONTRACTOR shall not commence to provide CONTRACTOR's Services to a particular Qualified Participant hereunder unless and until CONTRACTOR receives a Notice to Proceed from the CITY authorizing the provision of CONTRACTOR's Services to that particular Qualified Participant. CONTRACTOR further acknowledges and agrees that this Agreement and any request for the provision of services hereunder is nonexclusive and that the CITY may enter into similar agreements with other entities for the provision of similar services. D. Time is of the essence in the performance of this Agreement. CONTRACTOR shall perform and complete all of CONTRACTOR's Services in a timely and expeditious manner. CONTRACTOR shall not be responsible for delays caused by circumstances beyond its reasonable control, provided that CONTRACTOR has delivered to the CITY written notice of the cause of any such delay within ten (10) days of the occurrence of such cause. E. Scope of Services. On an as -needed basis, and at the sole discretion of CITY, CONTRACTOR shall perform the services that are described in Exhibit A. The Scope of Services shall include the CONTRACTOR's proposal or bid, if any, which shall be incorporated herein by this reference as though fully set forth herein. In the event of any inconsistency between the terms Page 2 of 19 of such proposal and this Agreement, the terms of this Agreement shall govern. Specific allocation of services may be changed at the discretion of the CITY and upon mutual agreement of the Parties. F. Compliance with Law. CONTRACTOR's Services shall be provided in accordance with all ordinances, resolutions, statutes, rules, regulations and laws of the CITY and any Federal, State or local governmental agency of competent jurisdiction. G. CONTRACTOR shall obtain, at CONTRACTOR's sole cost and expense, such licenses, permits and approvals as may be required by law for the performance of CONTRACTOR's Services. CONTRACTOR shall have the sole obligation to pay for any fees, assessments and taxes, plus applicable penalties and interest, which may be imposed by law and which arise from or are necessary for the performance of the services required by this Agreement H. CONTRACTOR shall adhere to all applicable labor standards as required by the Act ("Labor Standards"). I. If funding is through WIOA, CONTRACTOR agrees to comply with the "Complaint Handling Procedures under the WIOA", attached hereto as Exhibit H and incorporated herein as though fully set forth in 20 CFR 658.411. CONTRACTOR shall advise applicants, where applicable, and Qualified 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. CONTRACTOR, who is an employer, shall operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to the terms and conditions of employment; these procedures shall be approved in writing by CITY. J. As a condition of this award of financial assistance under the Act to CONTRACTOR from CITY, CONTRACTOR assures, with respect to operation of all programs or activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry out such programs or activities, that it will comply fully with the nondiscrimination and equal opportunity provisions of the Act (Section 188) and compliance with Equal Employment Opportunity provisions in Executive Order (E.O.) 11246, as amended by E.O. 11375 and supplemented by the requirements of 41 CFR Part 60; the Nontraditional Employment for Women Act of 1991; Title VI of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing those laws, including, but not limited to, 29 CFR Parts 33 and 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance. K. CONTRACTOR agrees that no Qualified Participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act, or the approval of SSA fimding, as applicable. Page 3 of 19 L. CONTRACTOR agrees to the following accounting, monitoring, auditing, and review requirements: 1. CONTRACTOR agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of CONTRACTOR'S services or activities, costs or other data, including but not limited to Qualified Participants' attendance and certifications. 2. CITY, the State of California and the United States government and/or their representatives shall have access for purposes of monitoring, auditing and examining of CONTRACTOR'S activities, performance, and Qualified Participants related to this Agreement. Such agencies or representatives shall also schedule on -site monitoring at their discretion. Monitoring activities may also include, but are not limited to, questioning employees and Qualified Participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of CONTRACTOR are kept (2 CFR 200.330). Nothing herein shall be construed to require access to any privileged or confidential information as set forth in Federal or state law. 3. In the event CONTRACTOR does not make the above -referenced documents available within the City of Santa Ana, California, CONTRACTOR agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. 4. All accounting records and evidence pertaining to all costs of CONTRACTOR and all documents related to this Agreement shall be kept available at the location where CONTRACTOR conducted the program, as well as in the County of Orange, for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. M. Without prejudice to any other section of this Agreement, CONTRACTOR shall, where applicable, maintain the confidential nature of information provided to it concerning Qualified Participants in accordance with the requirements of Federal and state law. Notwithstanding the foregoing, CONTRACTOR agrees to submit to CITY, the State of California and/or the United States Government or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by CONTRACTOR, costs incurred and services rendered hereunder. N. CONTRACTOR shall not expend funds pursuant to this Agreement to provide services to any Qualified Participant where costs of training are paid for by any other person or entity. Page 4 of 19 O. If funding is through WIOA, CONTRACTOR shall comply with the provisions of Uniform Guidance 2 CFR Part 200 of the U.S. Office of Management and Budget (OMB) and all other applicable Federal statutes and executive orders and their implementing regulations, including regulations at 29 CFR Part 97. P. If funding is through WIOA, CONTRACTOR shall comply with the requirements of Federal regulations found at 29 CFR Part 93, which provide that no appropriated funds may be expended by the recipient of a Federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of any Federal contract, the making of any Federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any Federal contract, grant, loan or cooperative agreement. CONTRACTOR shall sign a Certification Regarding Lobbying to that effect in a form as set forth in Exhibit D, attached hereto and by this reference incorporated herein. CONTRACTOR shall submit said signed Certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to CONTRACTOR under the terms and conditions of this Agreement. Q. CONTRACTOR agrees to provide a drug -free work place and to execute a Drug Free Workplace Certification as set forth in Exhibit E attached hereto and incorporated herein by this reference. R. CONTRACTOR, in accordance with the Child Support Recovery Act of 1992, 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 or SSA, as applicable, and all applicable Federal regulations, including, but not limited to, the Code of Federal Regulations, Title 2 -Grants and Agreements, Subtitle A —Office of Management and Budget Guidance for Grants and Agreements, as well as all applicable state and local regulations. T. If funding is through WIOA, CONTRACTOR agrees to remain in compliance with the Certification Regarding Debarment, attached hereto as Exhibit F and incorporated herein by reference, as required by the regulations implementing Executive Order 12549, Debarment and Suspension, (2 CFR Part 180). U. If funding is through WIOA, CONTRACTOR agrees to provide priority of services for veterans and eligible spouses pursuant to 20 CFR Part 1010, and the regulations implementing priority of service for veterans and eligible spouses in Department of Labor job Page 5 of 19 training programs under the Jobs for Veterans Act published at 73 Fed. Reg. 78132 on December 19, 2008. V. CONTRACTOR acknowledges that the official name for the statewide system of providing employment and training through the WIOA partnerships, SSA, and various other local programs is "America's Job Center". To achieve the goals of this Workforce Training Program, it is important that the public has a quick and easy method to identify that the projects or programs they are taking part in are part of the "America's Job Center". CONTRACTOR agrees to place the America's Job Center logo, in accordance with the State of California guidelines for such use, on all public materials, such as statements, press releases, brochures, advertisements, reports and other documents describing projects or programs funded in whole or in part with WIOA or SSA funds. When the America's Job Center logo is used, CONTRACTOR may accompany it with the following statement, "The (CONTRACTOR) is a proud partner of the America's Job Center network". CONTRACTOR shall not use the America's Job Center logo in any manner that would imply that the State of California endorses a commercial product, service or activity. II. CITY'S OBLIGATIONS A. On July 1, 2023 the CITY was awarded a Department of Labor Workforce Innovation and Opportunity Act grant of $2,367,690.00 for fiscal year 2023-2024. In addition, on July 1, 2023, the CITY was awarded an Orange County Social Services Vocational Training grant through the California Work Opportunity and Responsibility to Kids Act of 1997 in the total amount of $838,964.00 for fiscal year 2023-2024. A portion of both grants in a total amount not to exceed $2,500,000.00 shall be available to all Qualified Contractors to provide workforce training classes for Qualified Participants. B. If a Qualified Participant chooses to enroll in a course offered by CONTRACTOR, CITY agrees to pay to CONTRACTOR when, if and to the extent WIOA or SSA funds are received under the provisions of the applicable grants, in accordance with the Course Costs attached hereto as Exhibit B and incorporated herein by reference, which may be amended during the period of this Agreement. Said sum shall be paid with either WIOA or SSA funds, as determined by the CITY in its sole discretion, after CITY receives invoices submitted by CONTRACTOR as provided herein. C. CONTRACTOR has the ability to adjust line item amounts in the Course Costs with the approval of the Executive Director. D. CITY agrees to provide for on -site monitoring reviews of the Workforce Training Program operation at least annually. In addition, monthly desktop reviews of pertinent information will be conducted. E. CITY has the right to de -obligate the funds hereunder, and take such funding back from CONTRACTOR, due to any of the following reasons: (a) lack of performance by CONTRACTOR; (b) lack of fiscal accountability of CONTRACTOR; or (c) decrease in available Page 6 of 19 funding. III. COMPENSATION A. CITY neither warrants nor guarantees any minimum or maximum compensation to CONTRACTOR under this Agreement. CONTRACTOR shall be paid only for actual services performed under this Agreement at the rates and charges identified in Exhibit B, Any compensation payable to CONTRACTOR shall be paid from a portion of the above - referenced WIOA and/or SSA grants awarded to the CITY in a total amount not to exceed $2,500,000.00. B. Payment by CITY shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to CITY accounting procedures. IV. TERM OF AGREEMENT A. This Agreement shall continence on the date stated above and continue through June 30, 2027, with a one-year option to renew executable by the CITY in its sole discretion, unless terminated earlier by either party. The one-year option may be executed, by a writing executed by the City Manager and the City Attorney. B. Unless the CITY authorizes an extension, CONTRACTOR must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar days after the end date of the period of performance as specified in the terms and conditions of the Federal award, as applicable. IV. INDEPENDENT CONTRACTOR A. CONTRACTOR 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 CONTRACTOR performs the services which are the subject matter of this Agreement; however, the services to be provided by CONTRACTOR shall be provided in a manner consistent with all applicable standards and regulations governing such services. CONTRACTOR shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. V. WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS A. CONTRACTOR shall use appropriate funds received from CITY to provide workers' compensation to all those hired by CONTRACTOR under this Agreement. Page 7of19 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 Eligible Training Provider List (ETPL) Policy and Procedures WSD21-03 attached hereto as Exhibit C and incorporated herein by reference, and general program requirements described in Sections 2 and 116 of the Act, and applicable regulations, and the U.S. Department of Labor guidelines and regulations, including amendments or revisions made during the terms of this Agreement. Said applicable laws are hereby incorporated by reference and made part of this Agreement as though fully set forth herein. B. CONTRACTOR also assures and certifies that: 1. CONTRACTOR shall comply with Title VII of the Civil Rights Act of 1964 and in accordance with Title VII of the Act, requiring that no person shall, on the grounds of race, color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agreement. 2. CONTRACTOR shall comply with any and all Federal laws limiting the political activity of employees hired under this Agreement. 3. CONTRACTOR shall comply with the requirements that no program under the Act shall involve political activities. 4. RECORD INSPECTION. CONTRACTOR shall provide the U.S. Department of Labor and the Comptroller General, by and through any authorized representative, as well as the California Workforce Development Board ("WDB") Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three-year period from and after the effective date of this Agreement. 5. No person with responsibilities in the operation of any program under the Workforce Training Program shall discriminate with respect to any Qualified 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. Page 8 of 19 7. CONTRACTOR shall comply with general provisions, assurances, and execute the Assurances and Certifications attached hereto as Exhibit G and incorporated herein. 8. EQUAL OPPORTUNITY. Any literature distributed by CONTRACTOR for the purpose of apprising businesses, Qualified Participants, or the general public of its programs under this Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana Workforce Development Board, and shall state that the program is an "equal opportunity employer/program" and that "auxiliary aids and services are available upon request to individuals with disabilities." 9. Based on the population eligible to be served, or likely to be directly affected by the program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity. Pursuant to 29 CFR 37.35, CONTRACTOR must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than English. 10. CONTRACTOR certifies that all property, finished or unfinished documents, data, studies and reports prepared or purchased under this Agreement, will be disposed of in accordance with the direction of the CITY. In addition, any tools and/or equipment furnished to the CONTRACTOR by the CITY and/or purchased by the CONTRACTOR with funds pursuant to this Agreement, will be limited to use within the activities outlined in this Agreement and will remain the property of the United States Government and/or CITY. Upon termination of this Agreement, CONTRACTOR will immediately return such tools and/or equipment to the CITY or dispose of them in accordance with the direction of the CITY. it. CONTRACTOR certifies that this Agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose, nor does it help to support or sustain any school, college, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 12. CLEAN AIR ACT / CLEAN WATER ACT. If the grant hereunder exceeds $100,000, CONTRACTOR must comply with the Clean Air Act ("CAA")[(42 USC 7401, et seq.]; the Clean Water Act ("CWA") (33 USC 1368); Executive Order 11738 and United States Environmental Protection Agency ("EPA") regulations (40 CFR Part 35) as any may now exist or be hereafter amended. Under these laws and regulations, the CONTRACTOR assures that: Page 9 of 19 (a) No facility to be utilized in the performance of the proposed grant has been issued a violation from the EPA under the CAA or C WA; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, EPA, indicating that a facility to be utilized for the grant is under consideration for issuance of a violation under the CAA or CWA; and, (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. 13. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT: (a) General Assurance. Every reasonable course of action will be taken by CONTRACTOR in order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial, political gain. CONTRACTOR, its officers and employees, in administering this Agreement, will avoid situations, which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain. (b) Employment of Former State or CITY Employees. CONTRACTOR will ensure that any of its employees who were formerly employed by the State of California or CITY, in a position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less than two (2) years following the termination of such employment. (c) Conducting Business Involving Relatives. No relative by blood, adoption or marriage of any executive or employee of CONTRACTOR will receive favorable treatment when considered for enrollment in programs provided by, or employment with, CONTRACTOR. (d) Conducting Business Involving Close Personal Friends and Associates. Executives and employees of CONTRACTOR will be particularly aware of the varying degrees of influence that can be exerted by personal friends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for CONTRACTOR to conduct business with a friend or associate of an executive or employee of CONTRACTOR, an elected official in the area or a voting or non -voting member of the Local Workforce Development Board (WDB), a permanent record of the transaction will be retained. Page 10 of 19 (e) Avoidance of Conflict of Economic Interest. No executive or employee of CONTRACTOR elected official in the area, or voting or non -voting member of a WDB, will solicit or accept money or any other consideration from a third person, for the performance of an act reimbursed in whole or part by CONTRACTOR or CITY, Supplies, materials, equipment or services purchased with Agreement funds will be used solely for purposes asserted or allowed under this Agreement, No voting member of the WDB will cast a vote on the provision of services or vote on any matter, which would provide direct financial benefit to that member or any business or organization that the member directly represents. (f) Salary and Bonus Limitations. If CONTRACTOR receives WIOA funds, CONTRACTOR is required to comply with Federal requirements regarding the limitations on salary and bonus payments in accordance with Public Law 109-149, Section 503. VII. HOLD HARMLESS CONTRACTOR agrees to defend, and shall indemnify and hold harmless the CITY, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the CONTRACTOR, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The CONTRACTOR further agrees to indemnify, hold harmless, and pay all costs for the defense of the CITY, including fees and costs for special counsel to be selected by the CITY, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. CITY may make all reasonable decisions with respect to its representation in any legal proceeding. VIII. INSURANCE A. Contractor shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder and the results of that work by the Contractor, his agents, representatives, employees or subcontractors. Page 11 of 19 B. MINIMUM SCOPE AND LIMIT OF INSURANCE Coverage shall be at least as broad as: Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. • Automobile Liability: Insurance Services Office Form Number CA 0001 covering, Codel (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non -owned), withlimit no less than $1,000,000 per accident for bodily injury and property damage. (Not required if CONTRACTOR provides written verification an automobile is not required to perform services.) • Workers' Compensation: as required by the State of California, with Statutory Limits, and Employer's Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. (Not required if CONTRACTOR provides written verification it has no employees.) • Professional Liability (Errors and Omissions) Insurance appropriates to the Consultant's profession, with limit no less than $1,000,000 per occurrence or claim, $2,000,000 aggregate. If the Contractor maintains broader coverage and/or higher limits than the minimums shown above, the Entity requires and shall be entitled to the broader coverage and/or the higher limits maintained by the contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the Entity. C. Other Insurance Provisions The insurance policies are to contain, or be endorsed to contain, the following provisions: Additional Insured Status The Entity, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Contractor including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Contractor's insurance (at least as broad as ISO Form CG 20 10 1185 or if not available, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 if a later edition is used). Page 12 of 19 Primary Coverage For any claims related to this contract, the Contractor's insurance coverage shall be primary coverage at least as broad as ISO CG 20 01 04 13 as respects the Entity, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the Entity, its officers, officials, employees, or volunteers shall be excess of the Contractor's insurance and shall not contribute with it. Notice of Cancellation Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to the Entity. Waiver of Subrogation Contractor hereby grants to Entity a waiver of any right to subrogation which any insurer of said Contractor may acquire against the Entity by virtue of the payment of any loss under such insurance. Contractor agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the Entity has received a waiver of subrogation endorsement from the insurer. Self -Insured Retentions Self -insured retentions must be declared to and approved by the Entity. The Entity may require the Contractor to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self -insured retention may be satisfied by either the named insured or Entity. Acceptability of Insurers Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best's rating of no less than A:VII, unless otherwise acceptable to the Entity. Claims Made Policies (note — should be applicable only to professional liability, see below) If any of the required policies provide claims -made coverage: 1. The Retroactive Date must be shown, and must be before the date of the contract or thebeginning of contract work. Z Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work. 3. If coverage is canceled or non -renewed, and not replaced with another claims -made policy form with a Retroactive Date prior to the contract effective date, the Contractormust purchase "extended reporting" coverage for a minimum of five (5) years after completion of work. Page 13 of 19 Verification of Coverage Contractor shall furnish the Entity with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage requiredby this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing allpolicy endorsements to Entity before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Contractor's obligation to provide them. The Entity reserves the right to require complete, certified copies of all required insurance policies,including endorsements required by these specifications, at any time. Special Risks or Circumstances Entity reserves the right to modify these requirements, including limits, based on the nature of therisk, prior experience, insurer, coverage, or other special circumstances. IX. CORPORATESTATUS CONTRACTOR shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board or Internal Revenue Service. Any change in corporate status or suspension shall be reported immediately to CITY. X. ASSIGNABILITY None of the duties of, or work to be performed by, CONTRACTOR under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY. CONTRACTOR must submit all subcontracts and other agreements that relate to this Agreement to CITY. If receiving WIOA funds, CONTRACTOR acknowledges and agrees that it must follow procurement regulations for contractors (2 CFR 200.317). No subcontract or assignment shall terminate or alter the legal obligations of CONTRACTOR pursuant to this Agreement. XI. LAWS GOVERNING THIS AGREEMENT A. In its performance under this Agreement, CONTRACTOR shall fully comply with the requirements of the following, whether or not otherwise referred to in this Agreement: 1. If receiving WIOA funds, the Act and all applicable Federal statutes, regulations, policies, procedures and directives, including but not limited to, 2 CFR 200 and 20 CFR. Parts 651 and 654 Page 14 of 19 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; 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 This Agreement, together with attachments hereto, represents the complete and exclusive statement between the CITY and CONTRACTOR, and supersedes any and all other agreements, oral or written, between the Parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the CITY and by an authorized representative of CONTRACTOR. The Parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate CONTRACTOR or the CITY. 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 is not embodied herein. XIII. FRAUD CONTRACTOR shall immediately report to CITY all instances and facts concerning possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this Agreement. XIV. CONTINGENCY OF FUNDS CONTRACTOR acknowledges that approval of and funding for this Agreement is contingent upon State approval, and WIOA and/or SSA funds received or obligated from the State of California to CITY. If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify CONTRACTOR. Within twenty (20) days of receipt of such notice, CONTRACTOR shall modify or cease operations as directed by CITY and negotiate necessary modification to this Agreement and/or reimbursement of costs incurred hereunder. XV. Page 15 of 19 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 Qualified 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 A. Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY. In such a case, CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to CONTRACTOR. The decision of the CITY shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from CONTRACTOR written request to appeal said decision. B. If receiving WIOA funds, procedures governing the appeal shall be prescribed by CITY and/or the State of California in accordance with the Act and all corresponding regulations and OMB circulars. Pending final disposition of the appeal, CONTRACTOR shall act in accordance with CITY's decision unless the dispute involves a change order. XVII. BREACH -SANCTIONS A. 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 Page 16 of 19 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 Notices 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, WDB Administrative Office P.O. Box 1988 (M-76) Santa Ana, CA 92702 CLERK: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax (714) 647-6956 CONTRACTOR: HealthStaff Training Institute 1970 Old Tustin Avenue, Suite C Santa Ana, CA 92705 Phone: (714) 543-9828 Email: 'roni.d@healthstafftraining.com XX. VALIDITY The invalidity in whole or in part of any provision ofthis Agreement shall not void or affect the validity of any other provision of this Agreement. Page 17 of 19 XXI. MISCELLANEOUS PROVISIONS A. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective Parties to each of the terms of this Agreement, and shall indemnify CITY fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. B. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. (Signatures on followingpage) Page t 8 of 19 IN WITNESS WHEREOF, the Parties hereto have executed this Agreement the date and year first above -written. ATTEST: •i. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney "CITY" By: � — N( �-- �C)(— Kristine Ridge City Manager "CONTRACTOR" By: By Andrea Garcia -Miller Name: Assistant City Attorney Title: Tax ID #: FOR APPROVAL: Michael L. Garcia Executive Director Community Development Agency Page 19 of 19 EXHIBIT A & B Scope of Service & Course Cost HEALTHSTAFF TRAINING INSTITUTE 2023 Catalog January 1, 2023 to December 31, 2023 Classroom, Online, & Hybrid Courses (' Phone''��9�� � 7�✓�,�`q ��: ne, (85{ a)� 78�4 h �r�e�`r(714) �5 3 828 Fax 90 � ,1,5779�,p ai�F ,u° �alsfi,� it li,yfuf, www.healthstafftrainina.com Campus Business Hours Ontario - Temecula - Santa Ana Campuses 8:30 a.m. - 4:30 p.m. Monday - Thursday By Appointment - Friday Owned by: KD Education, LLC (a California Corporation) 601 S. Milliken Avenue, Suite A Ontario, CA 91761 Revision Date: 0410112023 Revised Annually or as Necessary BPPE Approval Number 3006691 t COLLEGE HISTORY & DESCRIPTION Introduction, School History 2 Grading System 10 Mission, Objectives 3 Academic Reinstatement 11 Bankruptcy Statement 3 Appeal Process 11 Facility and Equipment 4 Satisfactory Academic Progress Faculty & Staff 4 Guidelines 11 Plagiarism Policy 11 ADMISSION INFORMATION Maximum Time Frame for Program General Admission Requirements & Completion 11 Procedures 5 Graduation Requirements 11 Credit for Previous Training 5 Transferability of Credits 5 FINANCIAL INFORMATION Non -Discrimination & Disability Act 5 Right to Cancel / Withdrawal 12 Determination of Official Withdrawal 12 Refund Policy 12 STUDENT INFORMATION & SERVICES Sample Refund Calculator 12 Transportation 6 Rights & Responsibilities of Loan/ Academic Advising 6 Financial Assistance Recipients 12 Housing 6 Student Tuition Recovery Fund 13 Library/Reference Material/ Method of Payments 14 Learning Resources 6 Student Rights/Grievance/Complaint EXTERNSHIP INFORMATION Procedure 6 Externship Assignment 14 Student Conduct 6 Externship Attendance 14 Dress Code 7 Externship Completion 15 Drug -Free Workplace Policy 7 Student Records 7 PROGRAM INFORMATION Job Placement Assistance 7 Tuition & Fees 16 Clinical & Administrative Medical ACADEMIC INFORMATION Assistant 18 Calendar 7 Administrative Medical Assistant 19 Semester Hour System Unit 8 Clinical Medical Assistant 20 Attendance Procedure 8 Drug and Alcohol Counseling 21 Daily Attendance 8 Medical Billing & Coding 22 Online/Hybrid Students 8 Computerized Office & Accounting 23 Leave of Absence 9 Pharmacy Technician 24 Make -Up Examinations 9 Medical Front Office Assistant 25 Course Incompletes 9 Introduction to Computer Technology 26 Transcripts 9 Advanced Medical Coding 27 Course Evaluation 9 Phlebotomy Technician 1 28,29 Notice to Veteran Students 9 FACULTY QUALIFICATIONS ACADEMIC STANDARDS & EMAILS 30,31 Monitoring of Progress 10 Academic Probation, Warning and Dismissal 10 HEALTHSTAFF TRAINING INSTITUTE (HSTi) • HealthStaff Training Institute is a private institution with the main campus located at 601 S. Milliken Avenue, Suite A, Ontario, CA 91761, a branch campus at 27646 Jefferson Ave., Suite 116, Temecula, CA 92590, and a satellite campus at 1970 Old Tustin Ave., Suite C, Santa Ana, CA 92706. Class/Lab sessions are held at each of these locations. HealthStaff Training Institute is a non -accredited school but both campuses have been granted institutional "Approval to Operate" by the Bureau for Private Postsecondary Education. The Bureau's granting of Approval to Operate means that this institution and its operations comply with the state standards as set forth in the CEC and 5, CCR, established under the law for occupational instruction by private postsecondary educational institutions. HealthStaff Training Institute programs are not accredited by an accrediting agency recognized by the United States Department of Education. Students are not eligible for federal financial aid programs. HealthStaff Training Institute offers the following programs/courses: Clinical & Administrative Medical Assistant (Front/Back Office), Administrative Medical Assistant (Front Office), Medical Front Office Assistant, Clinical Medical Assistant (Back Office), Computerized Office & Accounting, Microsoft Office Specialist, Drug and Alcohol Counseling, Medical Billing and Coding, Advanced Medical Coding, Phlebotomy Technician I, and Pharmacy Technician. Classes are offered either in -class, online, or a combination of both (hybrid). The occupancy level provides a small classroom environment that allows for more one-on-one time between the student and instructor. The time spent between the student and instructor promotes better quality learning. HealthStaff Training Institute's hybrid courses combine traditional, face-to-face classroom/lab instruction with an online learning component. Some are blended but not all. Online chat rooms and threaded discussions provide opportunities for exciting and productive instructor -student interaction, as well as the opportunity to connect with faculty members for help and guidance. The State of California requires that a student who successfully completes a course of study be awarded an appropriate diploma or certificate verifying the fact. A certificate is issued for successful completion of all training programs at HealthStaff Training Institute. Prospective enrollees are encouraged to read the school catalog and visit the physical facilities of the school to discuss personal educational and occupational plans with school personnel prior to enrolling or signing an enrollment agreement. All information in this school catalog is current and correct and is so certified as true by Kishore Mathrani, Chief Executive Officer. Our History HealthStaff Training Institute (HSTi) began in September 1986 when the training department of Pharmacy Enterprises, Inc. (PEI), a pharmacy management company formed an education division. When the anticipated expansion of HSTi exceeded the scope of Pharmacy Enterprises, the institute became a privately -owned entity, keeping and carrying on the name of HealthStaff Training Institute. Since 1986, HSTi has grown to offer solid allied healthcare programs and was one of the first vocational schools in Southern California to get approval from the then Bureau of Private Postsecondary Vocational Education (BPPVE), which is now known as Bureau of Private Postsecondary Education (BPPE). HSTi was acquired by KID Education, LLC, in February 2015, whose principals have an extensive successful background in the vocational school industry. Every day the mission is carried forward to train and educate motivated and focused individuals into becoming efficient and capable allied healthcare or business professionals. 2 Mission Statement The mission of HealthStaff Training Institute is to provide quality entry-level and retraining in vocational educational programs that are sound in concept and design and geared to serve those seeking solid foundations in the allied health and general business industries. This mission is accomplished by imparting knowledge and skills needed for successful entry into many distinct employment opportunities available in the greater Temecula, Orange County, and Inland Empire's labor markets. Courses are designed to recognize the worth and dignity of all peoples and to be generally pertinent within the diversity of cultural and ethnic backgrounds represented in our student population. Instructors are selected primarily because of their achievements and professional experience within the vocation they teach, plus their ability to motivate and help the students develop to their greatest potential by providing training created in response to community needs. Objectives It is HealthStaff Training Institute's objective to conduct business in a moral, forthright, and effective manner while providing the medical and office community with properly trained technical personnel that perform their duties with expertise to become an asset to the employer. The programs offered at HealthStaff Training Institute have three major objectives: 1. To provide the student with the knowledge and the skills necessary for entry or promotion into the career of his/her choice. 2. To provide the student with on -site practical experience. 3. To develop a confident and positive attitude in each student that is necessary for success. HealthStaff is also committed to provide the student with a current industry -based curriculum emphasizing practical techniques while conducting business in an ethical and professional atmosphere, and embracing the fact that each student has worthwhile aspirations and a valuable contribution to make to the community. Bankruptcy Statement HealthStaff Training Institute, or its parent company, KID Education LLC, have NO pending petition in bankruptcy, are NOT operating as a debtor in possession, have NOT filed a petition within the preceding five years, or have NO petition in bankruptcy filed against them within the preceding five years that resulted in reorganization under Chapter 11 of the United States Bankruptcy Code (11 U.S.C. Sec. 1101 et seq.). Description of Facility HSTi main campus is located at 601 S. Milliken Avenue, Suite A, Ontario, CA 91761. The campus is housed in an air-conditioned professional office building near the 1-60, 1-10, and 1-15 freeways. There are seven (7) administrative offices, three (3) classrooms, one (1) computer lab, one (1) pharmacy tech lab, one (1) medical lab, a break room, reception area, and lobby. The school consists of approximately 5,000 square feet with the occupancy capability of 45-50 students. HSTi branch campus is located at 27646 Jefferson Ave., Suite 116, Temecula, CA 92690. The campus is housed in an air-conditioned professional office building in the heart of Temecula, right off the 15 freeway. There are three (3) administrative offices, three (3) lecture classrooms, one (1) computer lab, one (1) medical lab, one (1) pharmacy technician lab, and an employee/student break room. The school consists of approximately 5,000 square feet with the occupancy capability of 45-50 students. HSTi satellite campus is located at 1970 Old Tustin Ave, Suite B & C; Santa Ana, CA 92706. The campus is housed in an air-conditioned professional office building in the heart of Santa Ana, near the 1-22, 1-55 and 1-5 freeways. There are three (3) administrative offices, (1) computer lab (3) lecture classrooms, one (1) medical lab, one (1) pharmacy technician lab and an employee/student break room. The school consists of approximately 4,800 square feet with the occupancy capability of 35-40 students. ADA approved restrooms are located inside each building and parking is readily available. Blended Learning Classrooms HSTI hybrid courses combine traditional or face-to-face classroom instruction with an online learning environment. Online chat rooms and threaded discussions provide opportunities for exciting and productive class interaction, as well as the opportunity to connect with faculty members for help and guidance. Chat rooms are open for discussion with peers at any time or with instructors during office hours. Each blended course also engages students with interactive learning exercises and animated activities while providing an audio-visual advantage. Effective online learning requires more than simple text on a screen. Students are able to see and hear each lesson from any computer with internet access. For each of our hybrid programs, results of the tests taken are returned to the student on the same day or the following day at the latest. Responses/comments to the lessons or projects submitted are sent back to the students either on the same day or on the next business day at the latest. Equipmgnt HSTI classrooms are supplied with a Laboratory work area and Lecture room equipped with the following at each of their three campuses: • Pharmacy Technician: Personal computers, anatomical charts/models, Laminar -Flow Workbench, mortar and pestle, crash carts, Pharmacological References, Triple beam and electronic balances, scale, ointment slabs, syringes, IV fluids, biohazardous waste containers. • Clinical Medical Assistant/Clinical & Administrative Medical Assistant: Personal computers, centrifuge, electrocardiograph machine, examination tables, Mayo stands, microscopes, sphygmomanometers, stethoscopes, surgical instruments, training mannequins, autoclave, Audiometer, scales, thermometers, electronic nebulizer, wheelchair, crutches, walker, venipuncture arm, derriere for Injections, bio- hazardous waste containers. • Computerized Office & Accounting/Microsoft Office Specialist Personal computers with Windows operating system and MS Office Suite. All required software and operating programs. • Phlebotomy Technician I: Centrifuge, medical laboratory supplies, phlebotomy chair, needles, syringes, butterflies, tourniquets, blood collection tubes, bio-hazardous waste containers, venipuncture arm. Assistant: Personal computer, Medical Office Software, Coding Books. • Drug & Alcohol Counseling: Personal computer with internet access. Faculty and Staff Kishore Mathrani, MBA Chief Executive Officer kshore.m@healthstafftralning.com Kavita Mathrani Bachelor's Degree Business Admin Director, Ontario kavita.m@healthstafftraining.com Debbie Lopez Executive Assistant, Assistant Director Ontario debbie.l@healthstafftraining.com Toni DePiano Director, Santa Ana toni.d@healthstafftraining.com Theresa Fernandez Director, Temecula; Director of Placement teri.f@healthstafftraining.com Anthony Carrizosa Director of Marketing anthony.c@healthstafftraining.com Lucille Trujillo Compliance & Quality Assurance Director Lucille.t@healthstafftraining.com Marisol Trailor Admissions Director, Temecula Marisol.T@healthstafffraining.com Kathleen Lopez Externship & Placement Coordinator, Ontario kathleen.I@healthstafftraining.com Danna Morales Administrative Assistant, Santa Ana Danna.M@healthstafftraining.com Candy Brambila Administrative Assistant, Temecula Cendy.B@healthstafftralning.com Crlstina Topete Externship & Placement Coordinator, Santa Ana Cristina.T@healthstafftraining.com Kim Esquerre, R.N. Phlebotomy Program Director kim.e@healthstafffraining.com Please refer to our Faculty List Catalog Supplement for Instructor's Names, Qualifications, Certifications, & Campus Locations 4 GENERAL ADMISSION REQUIREMENTS AND PROCEDURES All students are encouraged to visit the HealthStaff facility prior to enrollment to gain a better understanding of the programs offered by the school and to view the facilities and equipment. If the student is an online only student, they are required to log in with a HealthStaff member to orientate through the online classroom and website. HealthStaff is not equipped to admit students from other countries. All courses are offered in English only. HealthStaff Training Institute does not offer English as a second language (ESL) classes. For all courses except for Computerized Office & Accounting, Microsoft Office Specialist and Medical Front Office Assistant applicants must be a high school graduate or its equivalent and are required to submit. 1. A copy of high school diploma, GED, or official transcript. 2. All students must possess the minimum of 8u' grade English proficiency. Students that do not speak English as their primary language may be required to pass the Ability to Benefit Test prior to enrollment to ensure that they possess proficiency in English to enroll in the program of their choice. 3. All applicants are required to complete an enrollment application and engage in a personal interview with the Admissions staff/personnel. 4. All applicants must be at least 17 years old. 5. Upon enrollment, all applicants are required to complete an enrollment package that includes reading, signing, and dating required disclosures. 6. A registration fee is required upon enrollment. 7. Please also refer to the course descriptions on pages 16 through 24 of this catalog for additional course specific prerequisites. Credit for Previous Training HealthStaff Training Institute may accept credit for previous training, provided that a 2.0 GPA or above was awarded to student. HSTI will accept credit from other institutions accredited by an agency recognized by the United States Department of Education (USDOE) or the Council for Higher Education Accreditation (CHEA). However, because of the nature of the programs offered at HSTi, credit for education received more than three (3) years prior to enrollment will not be accepted. Transfer credits from HSTi to other institutions are regulated by the rules governing those institutions. Official transcripts and documentation of previous experience must be received and reviewed prior to enrollment. The school reserves the right to accept or reject any or all previous credit and/or experience. The student must pass a challenged written exam and, when appropriate a practical exam as well, and provide documentation showing that the student has current experience in the field. if credit is granted, a tuition adjustment may be made on the Enrollment Agreement indicating the cost of credit approved. Please also refer to the "Notice to Veteran Students" section in the catalog. Notice Concerning Transferability of Credits and Credentials Earned at our Institution The transferability of credits you earn at HealthStaff Training Institute is at the complete discretion of an institution to which you may seek to transfer. Acceptance of the certificate you earn in the educational program you complete is also at the complete discretion of the institution to which you may seek to transfer. If the credits or certificate that you earn at this institution is not accepted at the institution to which you seek to transfer, you may be required to repeat some or all of your coursework at that institution. For this reason, you should make certain that your attendance at this institution will meet your educational goals. This may include contacting an institution to which you may seek to transfer after attending HealthStaff Training Institute to determine if your credits or certificate will transfer. This institution has not entered into a transfer or articulation agreement with any other college or university. Nan -Discrimination and Disability Statement HealthStaff is firmly committed to providing educational programs for all eligible applicants without regard to race, creed, color, religion, national origin, sex, age, or medical condition, except where a medical condition constitutes an occupational limitation. Federal sexual harassment guidelines have been adopted as a part of school policy. HealthStaff also complies with the Equal Opportunity Act of 1972, Title VII of the Civil Rights Act 1964, American Disabilities Act 1990, and Section 504, Rehabilitation Act of 1973. This policy of non- discrimination applies to all students, employees, and applicants for admission and employment and to all participants in institutionally sponsored activities. STUDENT SERVICES Students are encouraged to contact administrative officials and staff for Information on local services. • Transportation - Bus and Metro line services offering multiple connections are available near most of the HSTi campuses. MTA riders may be eligible for student discounts by providing proof of enrollment. • Academic Advising - Instructors and faculty are available to the student Mondays through Thursdays during regular business hours. The student can receive tutoring, guidance, and support throughout their educational path. • Housing - HealthStaff Training Institute does not maintain any dormitory facilities and assumes no responsibility to find or assist a student in finding housing. Monthly rental places for 1+ bedrooms within a 5 to 10-mile radius of the Temecula campus average in the low $700's to $1100, the Santa Ana campus' average is in the low $1000's to $1400, and the Ontario campus is in the low $600's to $1200's. LIBRARY/LEARNING RESOURCES/REFERENCE MATERIALS HealthStaff maintains a number of reference materials including textbooks, magazines, and other industry - related publications, as well as, a list of websites and information systems. It is available to students either on campus or for home use. Students are encouraged to access the internet for research purposes. Student links are provided by the instructor or in the course syllabus. HealthStaff Training Institute also maintains a computer lab that students may log onto to use the Internet for learning resources as well. The procedure to access these materials is to ask the instructor to email links, "Google" topics of research, or access references provided in online courses or textbooks via the student's own computer or one of the computers in the computer lab. HealthStaff does not have an extensive inhouse library but Is able to direct students to local libraries around the surrounding community. Ontario City Library Temecula Public Library Santa Ana Public Library 215 East "C" Street, Ontario 30600 Pauba Rd., Temecula 20 Civic Center Plaza, Santa Ana (909) 395-2004 (951) 693-8900 (714) 647-5250 As a prospective student, you are encouraged to review this catalog prior to signing an enrollment agreement. You are also encouraged to review the School Performance Fact Sheet, which must be provided to you prior to signing an enrollment agreement. Student Rights / Grievance / Complaint Procedures HSTi encourages students who have concerns, complaints, or problems with the school or its employees to bring them to the attention of their instructor or any directors present on campus. An official complaint should be in writing. If the concern or complaint is not resolved within a reasonable time (2-3 days), the concern or complaint will be brought to the attention of the school campus director, Toni DePiano (Santa Ana Campus), Kavita Mathrani (Ontario Campus), or Theresa Fernandez (Temecula Campus). Please refer to page 4 for their email addresses. A student or any member of the public may also file a complaint about this institution with the Bureau for Private Postsecondary Education by calling (888) 370-7589 Toll -Free or by completing a complaint form, which can be obtained on the Bureau's internet website www.bppe.ca.gov. Any questions a student may have regarding this catalog that have not been satisfactorily answered by the institution may be directed to the Bureau for Private Postsecondary Education at 1747 N. Market Street, Suite 225, Sacramento, CA 95834 or P.O. Box 980818, West Sacramento, CA 95798-0818. Telephone Ws (888) 370- 7589 or (916) 574-8900 or by fax (916) 263-1897. Student Conduct Students must adhere to the standards set by HSTi. Professionalism and respect for others are practiced at all times at HSTi. Failure to comply will lead to suspension or to other disciplinary actions (dismissal from the institute). Proper safeguards for the welfare, safety and educational opportunity for all students will be provided. Students must conduct themselves in a way that will not interfere with the learning process of other students, the classroom presentation by the instructor, or the progress of the class in general. Dress Code Students are preparing for careers. Preparation Includes developing the habit of wearing appropriate professional attire. Students in the CAMA, CMA, AMA, Pharmacy and Phlebotomy Technician courses are required to wear standard uniform school scrubs during class session. Each student will receive two sets of school scrubs upon enrollment. Students may purchase additional school scrubs for $20 per set. No shorts, skirts, sandals or open -toed shoes will be permitted in the Clinical Laboratory. Any student wearing any combination of these articles will not be permitted to participate in medical lab practice. All other course dress code should be business casual. Drug -Free Workplace Policy it is the policy of HSTi to maintain a drug -free environment in accordance with the Drug Free School and Communities Act. HSTi prohibits the unlawful possession, use or distribution of illicit drugs and alcoholic beverages by students on its property or as part of any of its activities. Any student or employee who is involved with the unlawful possession, use or distribution of illicit drugs or alcohol will be subject to termination. Information concerning use and misuse of chemicals (including drugs and alcohol) shall be available as well as resource information of a chemical dependency program in the community. Anyone seeking information or help, please contact an Administrator or Director of Campus. All conversations are held in strict confidence. Student Records Student records are maintained for five years from the date of student's graduation, termination, or withdrawal. Records are available upon individual student request for a five-year period only, For security purposes all records are destroyed after the five-year term. The Family Educational Rights and Privacy Act (FERPA) of 1974 is a federal law and prohibits an institution from releasing the school records or any other information about a student to any third party without the written consent of the student. Transcripts are kept permanently. Job Placement Assistance HealthStaff offers placement assistance to graduates in career planning and job placement lifetime. Career preparation begins the first week of class. Techniques such as networking, finding the hidden job market, writing an effective resume, and interviewing techniques are taught in a practical classroom approach. HealthStaff Training Institute does not guarantee employment. • Pharmacy Technicians must be registered with the California State Board of Pharmacy to obtain a Pharmacy Technician's license. "The registration process includes Live Scan finger printing, which is electronically transmitted to the Department of Justice and Federal Bureau of Investigation for completion of a criminal record check. The California State Board of Pharmacy will likely deny your registration if you have a felony conviction. • Drug & Alcohol Counseling employers are required since 2012, to have 66% of their staff certified by the California Consortium of Addiction Programs & Professionals (CCAPP). *Certain employers may require a background check." Calendar HealthStaff operates on a continuous basis throughout the year. Class start and end dates can be found as an addendum to this catalog. The following holidays are observed for the student population: • Presidents Day February 20th, 2023 • Memorial Day May 29th, 2023 • Independence Day July 4th, 2023 • Labor Day September 4th, 2023 • Thanksgiving Day (and day after) November 23rd & 24th, 2023 • Holiday Break December 23rd, 2023 - January 2nd, 2024 Semester Hour System Unit HealthStaff has adopted the semester credit unit basis of measuring student progress. One reason for adopting this system is that it makes it clearer when calculating a student's Grade Point Average (GPA). A credit unit is based on the following: 1 semester credit unit ... 15 hours of classroom instruction/lecture 1 semester credit unit ... 30 hours of supervised laboratory/practical instruction 1 semester credit unit ... 45 hours of supervised externship at an approved facility A clock hour is defined as a period of 60 minutes with a minimum of fifty minutes of classroom instruction, laboratory, or other academic related work. Grades are based on the result of written tests, laboratory final exams, daily classroom assignments, practical check -off and completion of homework assignments. Final grades are reported at the end of each course and posted to the student's permanent academic record. Attendance Procedure Students are expected to attend all regularly scheduled classes. It is the responsibility of a student to telephone in advance to advise the school when he/she will be absent or late. All students are considered full-time status, which is defined as the enrollment of at least 20 hours per week. • Students may not be absent more than five (5) consecutive days in a module/subject. After five consecutive days of absences, the student will be counseled and/or placed on probation. • A student absent for three (3) consecutive weeks (15 scheduled class days) will be terminated. At midpoint of the program, a student's overall attendance percentage is determined. If the minimum is not achieved the student will be counseled and/or placed on probation. A class may be canceled or rescheduled if there is insufficient enrollment in the first session not to exceed thirty (30) days. If a class reschedule date exceeds thirty (30) days, the students' enrollment will be terminated. Students will be required to complete a new enrollment agreement. Daily Attendance Instructors will take student attendance on a daily basis. Daily attendance records become part of the student's permanent record. The student may make arrangements with the instructor to make up the work and/or time missed during this period. All students (except Phlebotomy Technician 1) must have a minimum of 80% attendance of the total clock hours in order to graduate. Phlebotomy Technician I students are required to have 100% attendance and cannot be late or leave early in order to graduate. If a phlebotomy student misses a class or is one minute or more late to class, or leaves class one minute or more early, the student must make up the same entire day that was missed when the class rotates through it again. There will be no exceptions made as this is mandated by the California Department of Public Health. Online/Hybrid Students It is a requirement that students must have access to a computer with internet access. Each module is presented with lessons, assignments, handouts, and modular testing. Instructor will review educational activity on a weekly basis. This will include message board, live classroom, and chat room forum with instructor and fellow classmates. Instructor is available during regular business hours for telephone communication. Student may SkypeNldeo Conference in to live classroom at any time. HealthStaff Training Institute students receive full access to course curriculum; however, students are to follow their instructor's lead. Students will be emailed progress reports, educational suggestions, and mid -point status. Student lessons or projects submitted to Instructors will be returned to the student within three (3) business days with the instructor's response and evaluations. Leave of Absence Policy Students may request a Leave of Absence (LOA) in the event of serious illness, death in the family, or any mitigating or emergency circumstances. A written request explaining the circumstances, length (number of days) of the LOA and any documentation to support the LOA must be submitted for review and must be approved by the Campus Director. If approved, a leave may be granted for a period of up to 60 calendar days for one 12-month period. Students may not return in the middle of any given module. Return dates must fall on the first day of a scheduled module start date (to be determined by administration). This may extend the 60 days as well. Students who fail to return to class as scheduled following a LOA will be terminated from the program and the school will invoke the Cancellation/Refund Policy if applicable. Make -Up Examinations If a student has an excused absence on the day a test is given, he/she will take the exam on the day of return with no penalties. Students who wish to retake a failed test will be given one (1) opportunity to re -take the test. A maximum score of 70% will be recorded for any re -take examinations. Course Incompletes An "Incomplete" will not be considered as a final grade. If students do not complete the required course work within five school days, the Incomplete will be converted to an "F". The "F" will be averaged in with the other grades in determining the average grade. Transcripts Upon written request, the student may receive, or have issued on his/her behalf, one (1) official transcript of grades completed at HST] at no charge at time of completion of the course. A fee of $10.00 will be charged for each additional transcript requested. Course Evaluation At various intervals, students are requested to participate in a confidential evaluation of different aspects of their education, including Instructor's efforts. For purposes of self-improvement, instructors are provided with a summary of the results from the Director but have no access to individual student evaluations. Notice to Veteran (Military) Students • Registration Fee for Veteran's is $10 instead of $250 for non -Veteran's. • Student progress is monitored monthly. Students are placed on probation for thirty (30) days if 70% requirement is not being met. If at the end of the probation period standards are still not met, benefits will be terminated. • Student attendance is checked on a monthly basis. Students who are not meeting the graduation attendance requirements are placed on probation for thirty (30) days. If at the end of the probation period graduation requirements are not met, benefits will be terminated. • HSTi will notify Veterans Administration regarding changes of student status. • All prior Transcripts must be provided. • For information or for resolution to specific payment problems, the veteran should call the Department of Veteran Affairs nationwide toll -free number at (800) 827-1000; Education Services (888) 442-4511. Monitoring of Progress Progress reports are reviewed on the 5th of every month by Director, Instructor, and student. During the first increment (25%) of the program, a minimum of 80% of the attempted clock hours and "C" average (70%) are required. If the minimums are not achieved, the student will be placed on academic or attendance probation or both, if applicable. The second increment is reviewed at 50% of the program, which requires a minimum of 80% of the attempted clock hours and "C" average (70%). If the minimums are not achieved, the student will be placed on probation for 30 days. If unsuccessful, the student will be terminated from the program. Academic and Attendance Probation, Warning and Dismissal Students who fail to comply with the standard of attendance or satisfactory academic progress will be placed on probation and given written notification/warning of their probationary standing. One or more of the following may determine unacceptable progress assessment: • Poor attendance (see Daily Attendance) • Below academic standing • Unsatisfactory mastery of pertinent skills Students who are placed on probation will be notified in writing that they are being placed on academic probation, which will begin at the start of the next module. Students on probation will be considered to be making satisfactory academic progress if at the end of the probation period, their cumulative average is 70% or higher. If a student falls below the standards set by the Institute, a consultation between the student and the Instructors) and/or the Program Coordinator will be scheduled. At this time arrangements will be made to re-establish satisfactory progress through makeup work and/or tutorial sessions. Within thirty (30) days, all missed course work and/or time is to be made up, to be removed from probation/ warning status. If after the thirty (30) days probation period the student continues to fall below the specified requirements of satisfactory academic progress, the student will then be dismissed from the program. Grading System Any assignment not submitted timely or any test missed will be marked as an, 'incomplete." Students are allowed five (5) school days to make up a missed test or an Incomplete assignment — it must be turned in to the Instructor to be approved. If the student does not submit the assignment or complete a test that the student has missed within five (5) school days, a grade of an "F" will be submitted automatically. The grading system is as follows: T (Transfer Credit) Credit W Withdrawal 10 Academic Reinstatement Students failing a module must retake that module in order to continue the program. Repeating the module may not exceed 150% of the program length. A failed module may only be retaken once. A student may re -enroll at a later date if authorized by the instructor and School Director (and Career Counselor, if applicable). To re - enroll, the student must submit a written request for re -admittance to the School Director. The student will be notified of his/her re -admittance status within forty-eight (48) hours after receipt of the written request. Students who are re -admitted must sign a new Enrollment Agreement and will receive credit only for courses in which a 2.0 GPA was received. The time attended is counted towards maximum time frame. Appeal Process Students who wish to appeal the determination of satisfactory progress probation; a grade, a suspension or a dismissal must submit a letter to the office of the Chief Executive Officer. A two -person committee appointed by the Director will make an appeal recommendation. The appeal process may occur only once, and any decision shall be deemed final. The committee will notify the student within forty-eight (48) hours regarding the course of action recommended. The appeal process may be denied in cases of drug -alcohol use/possession, carrying a concealed weapon, or physical violence. Satisfactory Academic Progress Guidelines Satisfactory progress is expected of each student to remain in school. Satisfactory progress is determined by the following criteria: • Maintaining a 2.0 grade -point average, which is an indication of successful academic performance as measured by passing examinations with 70% accuracy or better, timely completion of assignments, acceptable performance of pertinent skills, and not to exceed Maximum Time Frame or 150% of normal program length. • Achieving the minimum number of semester credits • Meeting standards specified on probation agreement • Meeting the specified conditions for incomplete, withdrawals, or probation status • Tutoring is available upon student request and scheduling to help students meet these guidelines If a student falls below the criteria listed above, a consultation with a school official will be scheduled. The student will receive a written notice of probation. Any student, whose training has been interrupted for academic reasons, or administrative withdrawals, may be reviewed for reinstatement. Request must be in writing and submitted to the Campus Director. HealthStaff Training Institute does not offer non-credit, remedial courses, or non -punitive grades on satisfactory progress. Plagiarism Policy HSTi considers academic honesty to be of the highest value. Students are expected to be the sole authors of their work. Examples of dishonesty or unethical behavior: • Copying and pasting text from online media. • Copying and pasting text from any web site. • Transcribing text from any printed material such as books, magazines, journals, and encyclopedias. • Using another student's work and claiming it as your own, even with permission from the other student. Any time you quote, summarize or paraphrase; you must acknowledge the original source. Maximum Time Frame for Program Completion All students are required to complete their program within a maximum time. (All programs must be completed within 150% times the normal duration of time required to complete the program). A Leave of Absence is not counted in the maximum time frame. *A student who exceeds the maximum time frame prior to completion of the program "will be dropped"' from the program. Graduation Requirements To graduate, students are required to complete a prescribed course of study with a cumulative grade point average (CGPA) of 2.0 (C), have 80% attendance, and if applicable, the required clinical externship hours with 11 satisfactory evaluation or assessment within the maximum time frame. Graduates will obtain "OFFICAL" Transcripts when the course and financial requirements are met. A full discharge of all financial obligations to the school is expected when the "OFFICAL" Transcripts are requested. Students completing these requirements will receive a certificate of completion in their program of study. Stamped "UNOFFICIAL" Transcripts can be provided to the student with a note of unpaid financial obligations to the school. If the student has defaulted on his or her financial obligations, the school may also specify this on the academic transcript. Students Right to Cancel I Withdrawal and Dismissal A student has the right to cancel his or her enrollment agreement for a program of instruction, without any penalty or obligations, through attendance at the first-class session, or the seventh day after enrollment, whichever is later. After the end of the cancellation period, the student also has the right to stop school at any time and has the right to receive a pro rats refund if the student has completed 60% or less of the program, Cancellation may occur when the student provides a written notice of cancellation to the school, or by the student's conduct, including, but not necessarily limited to, a student's lack of attendance. The written notice of cancellation, if sent by mail, is effective when deposited in the mail properly addressed with proper postage. The written notice of cancellation need not take any particular form and, however expressed, it is effective if It shows that the student no longer wishes to be bound by the Enrollment Agreement. Enrollment time is defined as the time between the actual starting date and the date of the student's last day of physical attendance in school. The student's refund rights are described in the contract. If the school closes before you graduate, you may be entitled to a refund, teach -out, or transfer depending upon the school's closure plan. Determination of Official Withdrawal from School A student's official withdrawal date is determined by the date the student submitted notification to withdraw to a school director, the date the student was expelled or dismissed from school, or the earlier of the scheduled return from leave of absence or the date the student notifies the school that he/she is not returning. Refund Policy HSTi refund policy for the return for unearned institutional charges is as follows: If the student cancels an enrollment agreement or withdraws during a period of attendance the refund policy for students who have completed 60 percent or less of the period of attendance shall be a pro-rata refund. Any money due to the applicant or student shall be refunded within forty-five (45) days of formal cancellation by the student. Students who are terminated by the school shall receive a refund within forty-five (45) days from the student withdrawal date. In the case of a failure to return from a leave of absence, the student shall receive a refund within forty-five (45) days after the expected date of return. Distance Learning Program: Students in the Distance Learning Program have the right to cancel the agreement and receive a full refund before the first lesson and materials are received. Cancellation is effective on the date written notice of cancellation is sent. If the institution sent the first lesson and material before an effective cancellation notice was received, the Institution will make the refund within 45 days after the student returns any materials sent. a. Has fully paid for the educational program; and b. After having received the first lesson and initial materials, requests in writing that all of the materials be sent. However, if HealthStaff Training Institute has provided the balance of the material as the student requests, the school shall remain obligated to provide the other educational services it agreed to provide, such to the student's inquiries, student and faculty interaction, and evaluations and comment on lessons submitted by the student, but will not be obligated to pay and refund after all of the lessons and materials are provided. Sample Refund Calculator Refunds will be calculated in clock hours using the elapsed time method. The student is entitled to a refund based upon the portion of the program not completed. The amount owed equals the daily charge for the program (total institutional charge, divided by the number of days or hours in the program), multiplied by the number of days student attended, or was scheduled to attend, prior to withdrawal less the cost of any books, supplies and equipment returned in good condition (good condition does not include equipment that a seal is broken, log -on 12 occurred, or is marked or damaged in any way) and a registration fee not to exceed $250.00. The refund is to be paid within 45 days of withdrawal. Example: If a student pays $8395.00 for institutional charges ($7835.00 for tuition fee, $310.00 for books & supplies and 250.00 non-refundable registration fee) in advance fora 930-hour course and withdraws after 200 hours, the tuition earned would be $2365.37 and refund due would be $6029.63 2001930 x $8395 (Institutional Charges) + $250 (Registration) + $310 (Books & Supplies) = $2365.37 Refund Due = $8395 - $2365.37 = $6029.63 STRF fee paid by the student in non-refundable Rights & Responsibilities of Loan/Financial Assistance Recipients If the student obtains a loan to pay for an educational program, the student will have the responsibility to repay the full amount of the loan plus interest, less the amount of any refund. If the student receives federal aid funds, the student is entitled to a refund of the money not paid from federal financial aid funds. Student Tuition Recovery Fund The State of California established the Student Tuition Recovery Fund (STRF) to relieve or mitigate economic loss suffered by a student in an educational program at a qualifying institution, who is or was a California resident while enrolled, or was enrolled in a residency program, if the student enrolled in the institution, prepaid tuition, and suffered an economic loss. Unless relieved of the obligation to do so, you must pay the state -imposed assessment for the STRF, or it must be paid on your behalf, if you are a student in an educational program, who is a California resident, or are enrolled in a residency program, and prepay all or part of your tuition. You are not eligible for protection from the STRF and you are not required to pay the STRF assessment, if you are not a California resident, or are not enrolled in a residency program, and prepay all or part of your tuition. It is important that you keep copies of your enrollment agreement, financial aid documents, receipts, or any other information that documents the amount paid to the school. Questions regarding the STRF may be directed to the Bureau for Private Postsecondary Education, 1747 N. Market Blvd., Suite 225, Sacramento, CA 95834, (916) 574-8900 or (888) 370-7589. To be eligible for STRF, you must be a California resident or enrolled in a residency program, prepaid tuition, paid or deemed to have paid the STRF assessment, and suffered an economic loss as a result of any of the following: 1. The institution, a location of the institution, or an educational program offered by the institution was closed or discontinued, and you did not choose to participate in a teach -out plan approved by the Bureau or did not complete a chosen teach -out plan approved by the Bureau. 2. You were enrolled at an institution or a location of the institution within the 120 day period before the closure of the institution or location of the institution, or were enrolled in an educational program within the 120 day period before the program was discontinued. 3. You were enrolled at an institution or a location of the institution more than 120 days before the closure of the institution or location of the institution, in an educational program offered by the institution as to which the Bureau determined there was a significant decline in the quality or value of the program more than 120 days before closure. 4. The institution has been ordered to pay a refund by the Bureau but has failed to do so. 5. The institution has failed to pay or reimburse loan proceeds under a federal student loan program as required by law or has failed to pay or reimburse proceeds received by the institution in excess of tuition and other costs. 6. You have been awarded restitution, a refund, or other monetary award by an arbitrator or court, based on a violation of this chapter by an institution or representative of an institution, but have been unable to collect the award from the institution. 13 7. You sought legal counsel that resulted in the cancellation of one or more of your student loans and have an Invoice for services rendered and evidence of the cancellation of the student loan or loans. To qualify for STRF reimbursement, the application must be received within four (4) years from the date of the action or event that made the student eligible for recovery from STRF. A student whose loan is revived by a loan holder or debt collector after a period of non -collection may, at any time, file a written application for recovery from STRF for the debt that would have otherwise been eligible for recovery. If it has been more than four (4) years since the action or event that made the student eligible, the student must have filed a written application for recovery within the original four (4) year period, unless the period has been extended by another act of law. However, no claim can be paid to any student without a social security number or a taxpayer identification number. Methods of Payments HealthStaff participates in the following sponsored programs to assist the student with the financial investment in their education. HSTI does not participate in standard (DOE) federal and state financial aid programs. • Cash, Check, Money orders, Visa, MasterCard, American Express, Discover or Private Payment Arrangements • Climb Credit Student Loans • Meritize Student Loans • Leif Student Loans • WIOA, Department of Labor, TAA funding • Workers Compensation vouchers, CA Department of Rehabilitation • Veteran's Benefits and MyCAA • Private Banking Lending Agencies Applicants interested in more information regarding financial availability should contact the Director of Admissions. Additional consumer information and forms are available to interested students. The Director of Admissions will assist the applicant In filling out the appropriate forms. Externship (Practical Training) Assignment Students should be made aware of the externship policies and requirements prior to enrollment. It is important that students meet with externship coordinators at least 2 weeks prior to class end date so that resumes can be prepared and interviews may be set up prior to externship assignment. Externship training is scheduled to begin after the didactic and laboratory portions of the program are successfully completed, and when the student has met the stated requirements below: • All course work must be completed prior to placement in an externship facility. • Any student removed from an externship site for absenteeism, attitude or unprofessional behavior will forfeit his/her participation in the program. • Students may only be reinstated once for the externship rotation portion of the program. • The Program Coordinator/Instructor will make the final decision as to the externship placement. Externship Attendance All students must be in contact with the externship coordinator within 30 days of the last class. If the student fails to contact within 30 days, the externship coordinator will issue the student a warning letter with a 10 day grace period. If after 10 days there is still no contact, a drop letter will be sent to the student. 14 The externship facility will place the same demands on the student that are placed on their paid employees. HSTi attendance policy applies (see attendance). Students are encouraged to participate in their externship training on a full-time basis (20 - 40 hours per week). Students in the Medical Assistant programs (CAMA, CMA, and AMA) must complete the required number of externship hours (160) at least four (4) months from the date they begin their externship. Pharmacy Technician students must complete their externship requirements (120 hours) at least six (6) months from the date they begin their externship. Drug and Alcohol Counseling students must complete the entire required hours (255) to be recognized by CCAPP, registration or testing must be completed within twelve (12) months of externship. Phlebotomy Technician students must complete 40 hours of externship within six (6) months of training. Students may be required to participate on various days, hours and/or shifts that may or may not rotate at their externship site. This is because some of the tasks might be divided throughout the day; therefore, a student may need to rotate hours or shifts in order to adequately complete their training. Externship hours will be determined between the site and the student. Students are required to adhere to the set schedule of the facility. If the student requests a change of scheduled hours or days, he/she must comply with the procedures set forth by the externship site. It is the student's responsibility to complete the timesheets atthe externship facility on a weekly basis and obtain the signature of a staff member of the facility. While at the externship facility, students are required to submit time sheets as defined in the externship policy. Externship Completion All required paperwork must be returned to HealthStaff Training Institute prior to graduation from the program. Completion is determined by the following: ✓ All hours of participation are documented and verified ✓ Externship completion summary form from supervisor of facility ✓ Original documentation HSTi reserves the right to amend, change, cancel, review policies, procedure, curriculum, and class schedules in order to benefit the students. 15 Registration Fee: Non-refundable $250.00 Veterans: $10 00 STRF Fee: Non-refundable $2.50 per $1 000 of institutional charges Fees: Program Name Books, Equipment, Tools, & Supplies Fees Tuition Fee In-Class/Online/Hybrid Clinical & Administrative Medical Assistant $310.00 $7,835.00 Administrative Medical Assistant $285.00 $5,460.00 Clinical Medical Assistant $310.00 $6,835.00 Drug & Alcohol Counseling $350.00 $6,795.00 Medical Billing & Coding $300.00 $5,845.00 Pharmacy Technician $421.00 $6,724.00 Phlebotomy Technician I (In -Class only) $450.00 $1,595.00 Computerized Office & Accounting $375.00 $5,770.00 Introduction to Computer Technology $375.00 $5,770.00 Advanced Medical Coding $500.00 $3,845.00 Medical Front Office Assistant $285.00 $5,460.00 Program Name In-Class/Onl!no/Hybrid Total Charge with STIRF Without Laptop With Laptop Without Laptop With Laptop Clinical & Administrative Medical Assistant $7,995.00 $8,395.00 $8,015.00 $8,415.00 Administrative Medical Assistant $5,595.00 $5,995.00 $5,610.00 $6,010.00 Clinical Medical Assistant $6,995,00 $7,395.00 $7,012.50 $7,412.50 Drug & Alcohol Counseling $6,995.00 $7,395.00 $7,012.50 $7,412.50 Medical Billing & Coding $5,995.00 $6,395.00 $6,010.00 $6,410.00 Pharmacy Technician $6,995.00 $7,395.00 $7,012.50 $7,412.50 Phlebotomy Technician I (In -Class only) $2,295.00 $2,300.00 Computerized Office & Accounting $5,995.00 $6,395.00 $6,010.00 $6,410.00 Introduction to Computer Technology $5,99S.00 $6,395.00 $6,010.00 $6,410.00 Advanced Medical Coding $4,195.00 $4,595.00 $4,205.00 $4,607.50 Medical Front Office Assistant $5,59S,00 $5,995.00 $5,610.00 $6,010.00 *Laptops issued to students by HSTI are not returnable or refundable once the student has used it. California State Board of Pharmacy application includes but may not be limited to: Photos, fingerprints, H.S. transcript, self -query (actions regarding medical field negative actions), and California application fees are the responsibility of the student. California State Board of Pharmacy does not refund money. Please inquire with the Administrative staff members for any questions or direction for specific questions regarding the California State Board of Pharmacy. 16 HSTi recommends that all Drug & Alcohol Counseling students obtain membership and certification within industry related organizations. Fees are not covered by HSTi. Additional Expenses Not Paid by HSTI: • Online program Memberships, Registration, Applications for governing agencies. • Physical Examination • TB Test/ Chest X-ray (if TB test is positive) • HBV Series and/or HBV Titer • Additional Testing and/or National Certification (except for Phlebotomy Technician I students) • HSTi is approved by the California Veterans state approving agency to enroll veterans and other eligible persons. • HSTi policy states "Registration fee for Veterans" is $10.00. • HSTi does not participate in Federal Title IV funding of Pell Grants or student loans (Sub or Unsubsidized). J Total Program Cost above Indicates: Total cost of program, the schedule of total charges for a period of attendance and an estimated schedule of total charges for the entire educational program. 17 In -class / On-line / (FRONT AND BACK Course Description 930 Clock Hours 142.0 Credit Hours This nine hundred -thirty hours (930), 36-week program prepares the student for entry level employment in a clinical/administrative setting of a physician's office or a health care facility. Students receive Instruction in medical law and ethics, terminology, anatomy and physiology, human relations, use and care of diagnostic equipment, venipuncture, injections, pharmacology, universal precautions, vital signs, CPR, first aid, hematology, EKG's, stress testing, Holter monitor, urinalysis, and microbiology. Basic computer operations, administration of front office medical procedures, insurance forms, and CPT codes are also included. Students will be required to participate in a 160-hour extern experience after completion of their classroom studies. Upon completion of this program, graduates will receive a certificate of completion, certification in BLS and AED, and will be eligible to test for national certification. COURSE COURSE NAME CLOCK HOURS UNIT LECTURE LAB EXTERN AMA 100 Medical Assisting as a Career, Human Relations, Medical Law & Ethics 50 2.0 50 0 AMA 101 Reception, OtFca E ui . & Telephone Techniques 50 2.5 25 25 AMA 102 Safety,Patient Education & Scheduling 50 2.5 25 25 AMA 103 Managing Medical Records- Written & Electronic 50 2.5 35 15 AMA 104 Insurance Billing, & Codinq 50 2.5 35 15 AMA 105 Computers & Electronic Health Record 50 2.6 40 10 AMA 106 Patient Billin & Collection /Financial Management 50 2.5 35 15 CMA 100 Exam & Treatment Areas, Anatomy & Physiology 1 50 2.5 25 25 CMA 101 Applied Anatomy & Physiology 11 50 2.5 30 20 CMA 102 Applied Anatomy & Pliysiology 111 50 2.5 30 20 CMA 103 Clinical Practices 1 50 2.5 25 25 CMA 104 Clinical Practices Il 50 2.5 25 25 CMA 105 Assisting with Diagnostics I 50 3.0 25 25 CMA 106 Assisting with Diagnostics ll 60 3.0 30 30 CMA 107 Pharmacology 60 3.0 30 30 CMA 108 Career PreparationlExterriship 160 3.5 160 TOTAL 930 42 465 305 160 "Clinical Medical Terminology is taught continuously throughout the course Completion of this course could lead to a position in a Physician's Office, Managed Care Group, Clinic, Hospital, or Insurance Company. Job Titles include: Front Desk Receptionist, Front Office Medical Assistant, Unit Clerk, Clinical Medical Assistant, Medical Assistant, Medical Back Office Assistant, and Admissions Representative. SOC CODE: 31-9092 Prerequisite: Student must have a high school diploma or GED prior to enrolling in this course, and no felonies or misdemeanors. Equipment/Supplies include: Two sets of scrubs, stethoscope, and a laptop computer, if applicable. 18 ADMINISTRATIVE MEDICAL ASSISTANT fAMAI In -class / On-line / Hybrid (FRONT OFFICE, COMMUNITY HEALTH WORKER) Course Description 600 Clock Hours 125.5 Credit Hours This six hundred hours (600), 25-week program prepares the student for entry level employment in a front office setting of a physician's office, or Community Health Worker at a health care facility. The emphasis of the program is placed on medical ethics, medical terminology, human relations, insurance billing, and secretarial skills for a medical office. Basic computer operations (including MS Word and MS Excel), administration of front office medical procedures, insurance forms, and CPT, and ICD-10 codes are also included. Soft skills training will include ethics, good citizenship, teamwork, critical thinking and problem -solving skills, along with communication, interpersonal and effective listening skills as well as de-escalating procedures. Students will be required to participate in a 160-hour extern experience after completion of their classroom studies. Upon completion of this program, graduates will receive certification in BLS and AED, a certificate of completion, and are eligible to test for national certification. Course Course Name Clock Unit Lecture Lab Extern Hours AMA 1 00 Medical Assisting as a Career, Human Relations, 50 2.5 50 0 Medical Law & Ethics, Teamwork, Interpersonal Skills AMA 101 Reception, Office Equip., & Telephone 50 2.5 25 25 Techniques, Communication & Listening Skills AMA 102 Safety, Problem Solving, Patient Education & 50 2.5 25 25 Scheduling AMA 103 Managing Medical Records - Written & Electronic, 50 2.5 35 15 Philosophy & Understanding of Healthcare AMA 104 Insurance, Procedure, Diagnosis, Billing, & Coding 50 2.5 35 15 ICD-10 AMA 105 Computers & Electronic Health Record, MS Word, 50 2.5 25 25 MS Excel AMA 106 Patient Billing & CollectionlFinancial Management 50 2.5 30 20 AMA 107 Practice Management, De-escalating Procedures, 50 2.5 35 15 Emergency Pre aredness MT 100 Medical Terminology & Abbreviations 40 2.0 40 0 CMA 108 Career PreparationlExtemshho 160 3.0 160 TOTAL 600 25 300 140 160 Completion of this course could lead to a position in a Physician's Office, Managed Care Group, Clinic, Hospital, or Insurance Company. Job Titles include: Front Desk Receptionist, Front Office Medical Assistant, Community Healthcare Worker, Unit Clerk, and Admissions Representative. SOC CODE: 31-9092 Prerequisite: Student must have a high school diploma/GED/Assessment Test prior to enrolling in this course, and no felonies or misdemeanors. Equipment/Supplies include: Two sets of scrubs, stethoscope, and a laptop computer, if applicable. 19 CLINICAL MEDICAL ASSISTANT (CMA) In -class / On-line / Hybrid (BACK OFFICE) Course Description 600 Clock Hours / 25.5 Credit Hours This six hundred hours (600), 25 week program prepares the student for entry level employment in a clinical/medical setting of a health facility or a physician's office. Students receive instruction in medical law and ethics, terminology, anatomy and physiology, human relations, use and care of diagnostic equipment, venipuncture, injections, pharmacology, universal precautions, vital signs, CPR, first aid, hematology, EKG's, stress testing, Holter monitor, urinalysis, and microbiology. Students will be required to participate in a 160-hour extern experience after completion of their classroom studies. Upon completion of this program, graduates will receive certification in BLS and AED, a certificate of completion, and are eligible to test for national certification. Course Course Name Clock Hours Unit Lecture Lab Extern AMA 100 Medical Assisting as a Career, Human Relations, Medical Law & Ethics 40 2.0 40 0 CMA 100 Exam & Treatment Areas Anatomy & Physiology 1 50 2.5 25 25 CMA 101 Applied Anatomy & Physiology /1 50 2.5 30 20 CMA 102 Applied Physiology & Anatomy 111 50 2.5 30 20 CMA 103 Clinical Practices 1 50 2.5 25 25 CMA 104 Clinical Practices 11 50 2.5 25 25 CMA 105 Assisting with Dia nostics 1 50 2.5 25 25 CMA 106 Assisting with Diagnostics 11 50 2.5 25 25 CMA 107 Pharmacology 50 2.5 25 25 CMA 108 Career PrqparationlExtemshio 160 3.0 160 TOTAL 600 25 250 190 160 Completion of this course could lead to a position in a Physician's Office, Managed Care Group, Clinic, or Hospital. Job Titles include: Clinical Medical Assistant, Medical Assistant, and Medical Back Office Assistant. SOC CODE: 31-9092 Prerequisite: Student must have a high school diploma or GED prior to enrolling in this course, and no felonies or misdemeanors. Equipment/Supplies include: Two sets of scrubs, stethoscope, and a laptop computer, if applicable. Pill DRUG AND ALCOHOL COUNSELING tDAC) In -class / On-line / Hybrid CCAPP Approved Curriculum Alcohol and Drug Addiction Counseling Course Description 605 Clock Hours 127.38 Semester Credit Units This six hundred and five hours (605), 22-week program prepares the student for entry-level employment as a Drug and Alcohol Counselor in different recovery settings. Students receive instruction in the basics of addiction, the 12 core functions of a counselor, basic counseling skills and methods, chemical dependency and the family, ethics and special treatment Issues, and advanced counseling skills and methods. Students will be required to participate in a 255-hour externship in an approved facility, and 45 hours of educational required classroom lecture covering TAP 21* addiction counseling competencies, and the 12 core functions. Upon completion of this program the student will receive a certificate of completion and official transcript. Graduates are eligible to apply for certification with CCAPP*. Students must complete 3000 hours of on the job experience (approximately 1.5 vears full time) prior to being eligible to take the certification exam. Course Course Name Clock Hours Unit DAC 101 introduction & Overview.- Abnormal Psychology 50 3.125 DAC 102 Physiology & Pharmacology 50 3.125 DAC 103 Law & Ethics 50 3.126 DAC 104 Case Management 50 3.125 DAC 105 Individual Group & Family Counseling 50 3.125 DAC106 Personal & Professional Growth 50 3.125 DAC 107 Supervised Practicum 50 3.125 DAC 108 Practicum Externshi 255 5.5 TOTAL 605 27.38 Completion of this course could lead to a position in any inpatient or outpatient facility that treats addictions. Job Titles include: Drug & Alcohol Counselor SOC CODE: 21-1011 Prerequisite: Student must have a high school diploma/GED/Assessment Test prior to enrolling in this course. Prior To externship, student must have RADT certificate from CCAPP. The Drug and Alcohol Counseling program is approved by: *California Consortium of Addiction Programs & Professionals www.CCAPP.us CCAPP Requirements: • Certificate of completion from an approved Institution. • Official transcript must state the following: Minimum of 288 core classroom hours, 45 classroom practicum hours, and 255 field experience hours. • Must have completed work experience hours as follows prior to taking the CCAPP certification exam: 0 3000 hours - High School Diploma 0 2080 hours - A.S. or higher in Behavioral Health related field. • Application, portfolio processing, test, and fees to CCAPP. Recommended: CCAPP Membership Equipment/Supplies Include: Laptop computer, if applicable. 21 _MEDICAL BILLING & CODING (MBC) In Class / On-line / Hybrid Course Description 240 Clock Hours / 15 Semester Credit/units This two hundred forty hours (240), 12-week program is designed to provide the student with the skills and knowledge necessary to successfully perform multifaceted functions in a doctor's office. Knowledge of Insurance providers is emphasized along with medical terminology, anatomy, and the training to perform basic techniques in billing and coding. Students are taught how to code using CPT, HCPCS, ICD-9, and ICD-10 resources. Extensive computer instruction and lab time is also provided in Windows 10, Electronic Medical Record, and other medical computer programs. Upon completion of this program, graduates will receive a Certificate of Completion. Course Course Name Clock Hours Units Lecture Lab MB 100 Medical Office Etiquette & Ethics 20 1.3 20 MB 101 Medical Terminology20 1.3 20 MB 102 Human Anatomy10 0.67 10 MB 103 Office Administration 20 1.3 20 MB 104 International Classification of Diseases I & Il 20 1.3 20 MB 105 Coding Techniques for ICD-9 & 1CD-10 20 1.3 20 MB 106 Physicians' Current Procedural Terminology ! & 1! 20 1.3 20 MB 107 Coding Techniques for CPT 20 1 1.3 20 MB 108 Completion of the HCFA 1500 Form 10 0.67 10 MB 109 Insurance Providers 20 1.3 20 MB 110 Patient Case Studies & History Charts 20 1.3 20 MB 111 Medical Billing Software Application I & !I 20 0.67 20 MB 112 Career Mana ement & Communication Skills 20 1.3 20 TOTAL 240 15 220 20 Completion of this course could lead to a position In Medical Offices, Medical Billing Service Companies, Hospitals, Skilled Nursing Facilities, Clinics, Home Health Agencies, and Insurance Companies, Job Titles include: Medical Biller, Medical Insurance Biller, Medical Coder, Medical Collector, Healthcare Claims Examiner, Claims Processor, Authorization Specialist, Reimbursement Specialist, Patient Service Representative and Data Entry Clerk. SOC CODE: 43-3021 Prerequisite: Student must have a high school diploma or GED prior to enrolling in this course, and no felonies or misdemeanors. Equipment/Supplies include: Laptop computer, if applicable. 22 COMPUTERIZED OFFICE & ACCOUNTING (COAL In -class / On-line / Hybrid Course Description 510 Clock Hours / 21.5 Credit Hours This five hundred and ten hours (510), 20-week program prepares the student for entry level employment in administration positions and office environments and well as entry level bookkeeping. Students receive instruction in Windows, Microsoft Office and QuickBooks. These skills can be utilized in general and specialized office settings. This program allows the student to obtain the technical skills and knowledge necessary to utilize computer software applications efficiently. Programs include but are not limited to Windows, Microsoft Word, Excel Outlook, PowerPoint, Access, QuickBooks and Internet operations. Throughout the course, students will be required to practice typing and 10-key skills in order to improve speed and accuracy. Upon completion of this program, graduates will receive a Certificate of Completion and be eligible to sit for certification exams if so desired. Course Course Name Clock Units Lecture Lab Hours CO 100 Windows, Internet, Computer Etiquette, 50 2.1 10 40 E-Mail Techniques, Scheduling, Contact Management, Calendar WD 101 Document Creation & Maintenance, Editing, 75 3.15 25 50 Word Tables, Formatting, Advanced Styles, Document Sharing, Mail Merging EX 102 Spreadsheet Creation & Maintenance, 75 3.15 25 50 Editing, Conditional Formatting, Formulas, Charts, Gra hs, Templates PP 103 Presentation Development, Templates, 25 1.05 10 15 Importing, Animation, Sound & Graphics, Charts, Graphs, Templates AC 104 Database Building, Management & 75 3.15 25 50 Maintenance, Data Entry, Running Queries & Reports, MS Office Integration QB 100 Record Keeping, Accounting, AR/AP, 60 2.6 20 40 invoicing, Banking, Account Set U QB 101 Navigation, Data Entry & Management 50 2.1 20 30 QB 102 On -Line Banking, Report Generation 50 2.1 20 30 CID 100 General Office Skills, Machines, Business 50 2.1 15 35 English, Terminology, Office Etiquette Career Preparation: Job Search & Interview Tech ues, Resume Preparation TOTAL 510 21.5 170 340 Completion of this course could lead to a position in any general office setting, payroll companies, or accounting firms. Job Titles include: Receptionist, Administrative Assistant, Administrator, Computer Operator, Data Entry, Accounting Clerk, Payroll Clerk, Accounts Payable Clerk, and Bookkeeper. SOC CODES: 43-3030, 43-1010, 43-6011, 43-3057, 43-6014, 43-3050, 43-6010, 43-4171 Prerequisite: Student must have a high school diploma/GED/Assessment Test prior to enrolling in this course. Equipment/Supplies include: Laptop computer, if applicable. 23 PHARMACY TECHNICIAN In -class / On-line / Hybrid Course Description 600 Clock Hours / 25 Credit Hours This six hundred (600) hour, 27-week program prepares the student for entry level employment as a Pharmacy Technician in different pharmacy settings. Students receive instruction in pharmacy law and drug legislation, drug nomenclature, dosage forms, weights, measures, and calculations. Emphasis is placed on terminology, anatomy, and physiology as it relates to various diagnosis, medications, drug classifications, chemotherapy and antibiotic, automated drug distribution, sterile preparation and extemporaneous compounding. Students are required to participate in a one hundred twenty (120) hour externship in an approved hospital or pharmacy where they perform various pharmacy functions. Upon completion of this program, the student will receive a certificate of completion, qualify to apply to California State Board of Pharmacy for registration/licensing, and are eligible to sit for a national certification exam if they desire. Course Course Name Clock Hours Unit Lecture Lab Extern PT 100 Pharmacy Law 50 3.0 50 PT 200 Pharmacy Operations 1 50 2.0 10 40 PT 300 Pharmacy Operations !! 50 2.0 10 40 PT 400 Internal Medicine I 50 3.0 40 10 PT 600 Internal Medicine II 50 3.0 40 10 PT 600 Hospital Procedures & Operations 50 2.0 10 40 PT 700 Pharmacology 1 50 2.0 20 30 PT 800 Pharmacology 11 50 2.0 20 30 PT 900 Pharmacy Compounding 50 2.0 10 40 PT 920 Career Prep 30 1.5 15 15 PT 960 Extemship 120 1.75 120 TOTAL 600 25 225 255 120 Completion of this course could lead to a position in a retail pharmacy, hospital pharmacy, compounding pharmacy, or mail order pharmacy. Job Titles include: Pharmacy Technician SOC CODE: 29-2052 Prerequisite: Student must have a high school diploma or GED prior to enrolling in this course, and no felonies or misdemeanors. California State Board Requirements: • High school diploma or GED • Course completion certificate • Finger printing process (Live Scan clearance from DOJ and FBI) • Application and fees submitted to California State Board of Pharmacy Equipment/Supplies include: 2 sets of scrubs, and a laptop computer, if applicable. 24 MEDICAL FRONT OFFICE ASSISTANT tMFO) In -class / On-line / Hybrid (MEDICAL ASSISTANT, FRONT OFFICE, COMMUNITY HEALTH WORKER) Course Description 200 Clock Hours 112.0 Credit Hours This two hundred hours (200), 12-week program prepares the student for entry level employment in a front office setting of a physician's office, or Community Health Worker at a health care facility. The emphasis of the program is placed on medical ethics, medical terminology, human relations, insurance billing, and secretarial skills for a medical office. Basic computer operations (including MS Word and MS Excel), administration of front office medical procedures, insurance forms, and CPT, and ICD-10 codes are also included. Soft skills training will include ethics, good citizenship, teamwork, critical thinking and problem -solving skills, along with communication, interpersonal and effective listening skills as well as de-escalating procedures. Upon completion of this program, graduates will receive certification in BLS and AED, a certificate of completion, and are eligible to test for national certification. Course Course Name Clock Hours Unit Lecture Lab AMA 100 Medical Assisting as a Career, Human Relations, 40 1.65 10 30 Medical Law & Ethics Teamwork, Intetpersonal Skills AMA 101 Reception, Office Equip., & Telephone Techniques, 40 2.00 20 20 Communication & Listening Skills AMA 102 Safety, Problem Solving, Patient Education & 20 1.00 10 10 Scheduling AMA 103 Managing Medical Records - Written & Electronic, 40 1.85 15 25 Philosophy & Understanding of Healthcare AMA 104 Insurance, Procedure, Diagnosis, Billing, & Coding 20 1.00 10 10 fCD-10 AMA 106 Patient Billing & Collection/Financia! Manaclement 20 1.15 15 5 MT 100 Medical Terminology & Abbreviations 20 1.15 15 5 TOTAL 200 9.80 95 105 Completion of this course could lead to a position in a Physician's Office, Managed Care Group, Clinic, Hospital, or Insurance Company. Job Titles include: Front Desk Receptionist, Front Office Medical Assistant, Community Healthcare Worker, Unit Clerk, and Admissions Representative. SOC CODE: 31-9092 Prerequisite: Student must have a high school diploma/GED/Assessment Test prior to enrolling in this course, and no felonies or misdemeanors. Equipment/Supplies include: A laptop computer, if applicable. 25 INTRODUCTION TO COMPUTER TECHNOLOGY (ICT) In -class / On-line / Hybrid Course Description 240 Clock Hours 110.25 Credit Hours This two hundred and forty hours (240), 12-week program prepares the student for entry level employment in administration positions and office environments. Students receive instruction in Windows, and Microsoft Office. These skills can be utilized in general and specialized office settings. This program allows the student to obtain the technical skills and knowledge necessary to utilize computer software applications efficiently. Programs include but are not limited to Windows, Microsoft Word, Excel, PowerPoint and Internet operations. Throughout the course, students will be required to practice typing and 10-key skills in order to improve speed and accuracy. Upon completion of this program, graduates will receive a Certificate of Completion and be eligible to sit for certification exams if so desired. Course Course Name Clock Units Lecture Lab Hours CO 100 Windows, Internet, Computer Etiquette, 40 1.65 10 30 E-Mail Techniques, Calendar WD 101 Document Creation & Maintenance, Editing, 60 2.65 20 40 Word Tables, Formatting, Advanced Styles, Document Sharing, Mail Merging EX 102 Spreadsheet Creation & Maintenance, 60 2.65 20 40 Editing, Conditional Formatting, Formulas, Charts Graphs, Templates PP 103 Presentation Development, Templates, 40 1.65 10 30 Importing, Animation, Sound & Graphics CP 100 General Office Skills, Office Etiquette 40 1.65 10 30 Career Preparation, Job Search & Interview Techniques, Resume Preparation TOTAL 240 10.25 70 160 Completion of this course could lead to a position in any general office setting. Job Titles include: Receptionist, Administrative Assistant, Administrator, Computer Operator, Data Entry, Clerk. SOC CODES: 43-1010, 43-6011, 43-3057, 43-6014, 43-6010, 43-4171 Prerequisite: Student must have a high school diploma/GED/Assessment Test prior to enrolling in this course. Equipment/Supplies include: Laptop computer, if applicable. 26 ADVANCED MEDICAL CODING {AMC) In Class Course Description 160 Clock Hours / 3.16 Semester Credittunits This One hundred Sixty hours (160), 10-week program is designed to provide the student with the skills and knowledge necessary to successfully perform multifaceted medical coding functions in a doctor's office. Knowledge of ICD-10 diagnostic coding and CPT procedure coding with abstracting patient medical records to gain hands-on experience.. Medical language is emphasized along with medical terminology, anatomy, and the training to perform proficient coding so the student can pass their medical coding certificate. Students are taught how to code using HCPCS, and inpatient PCS coding resources. Extensive computer instruction, lab coding time and lecture is also provided. Upon completion of this program, graduates will receive a Certificate of Completion. Course Course Name Clock Hours Units Lecture Lab MBC 111 Intro to Medical Coding 16 0.31 4 1.5 MBC 112 Intro to ICD-10 and Reporting Diagnosis 16 0.31 4 1.5 MBC 113 Diagnostic Coding of the Endocrine, Mental and Special Senses 16 0.31 4 1.5 MBC 114 Diagnostic Coding of Cardiovascular, Respiratory and Skeletal S stems 16 0.31 4 1.5 MBC 116 Diagnostic Coding of Integumentary, Muscular and External Causes 16 0.31 4 1.5 MBC 116 Diagnostic Coding of Obstetrics, Gynecology, and Abstracting the Procedure. 16 0.31 4 1.5 MBC 117 CPT Coding of Evaluation and Management and Anesthesia 16 0.31 4 1.5 MBC 118 CPT Coding of Pathology, Medicine and Transportation 16 4 1.5 MBC 119 LearningInpatient Codingand PCs Codes 4 1.5 MBC 120 Coding Final, Study and Review for Coding Exam Send Resume to Placement Dg artment ;160 L3.1 4 1.5 TOTAL 40 16 Completion of this course could lead to a position in Medical Offices, Medical Billing Service Companies, Hospitals, Skilled Nursing Facilities, Clinics, Home Health Agencies, and Insurance Companies. Job Titles include: Medical Biller, Medical Insurance Biller, Medical Coder, Medical Collector, Healthcare Claims Examiner, Claims Processor, Authorization Specialist, Reimbursement Specialist, Patient Service Representative and Data Entry Clerk. SOC CODE: 43-3021 Prerequisite: Student must have a high school diploma or GED prior to enrolling in this course, and no felonies or misdemeanors. Equipment/Supplies include: Laptop computer, if applicable. 27 PHLEBOTOMY TECHNICIAN I In -class Course Description 100 Clock Hours / 4.2 Credit Hours This one hundred (100) clock hour, six (6) week program is designed to provide the student with the skills and knowledge necessary to work in a clinical laboratory, hospital, clinic, or physician's office setting. Twenty hours of lecture will cover basic phlebotomy skills In the areas of infection control, universal precautions and safety, anatomy and physiology of body systems emphasizing the circulatory system, and appropriate medical terminology, proper identification of the patient and specimens, selection and preparation of the skin puncture site, blood collection equipment, types of tubes and additives, order of the draw, post -puncture care, and appropriate sharps, needle, and waste disposal. An additional twenty hours of lecture is provided in advanced infectious disease control and biohazards, anticoagulation theory, knowledge of pre -analytical sources of error in specimen collection, transport, processing, and storage, and anatomical site selection and patient preparation, risk factors and appropriate response to complications, recognition of and corrective action to take with problems in test requisitions, specimen transport and processing, applications of basic concepts of communication, interpersonal relations, stress management, professional behavior, ethics, legal implications pertaining to phlebotomy, and quality assurance. The student will have an additional 20 hours of lab time to learn, practice, and become efficient at skin punctures and venipunctures. The student will then perform a mandatory externship of forty hours of practical instruction and experience in phlebotomy. The student will be required to perform and document a minimum of 50 successful venipunctures and 10 skin punctures while in the clinical setting. The student will be required to pass a national certification exam administered by a certifying agency approved by the California Department of Public Health, Laboratory Field Services division. Upon successful completion of the course and passing the national certification exam administered by the school, the student will receive a certificate of completion as a Phlebotomy Technician I and have their application submitted on line directly to the CDPH Laboratory Field Services division for certification as a Certified Phlebotomy Technician I. Course Course Name Clock Units Lecture Lab Extern Hours BPT 1 Safety, Universal Precautions & Infection Control 3 0.2 3 BPT 2 Anatomy & Medical Terminology 5 0.33 5 BPT 3 Proper Identification of Patient & Specimens 2 0.13 2 BPT 4 Selection & Preparation of Skin Puncture Site 3 0.2 3 BPT 5 Blood Collection Equipment 5 0.33 1 5 BPT 6 Post -puncture Care & Proper Disposal of Sharps 2 0.13 2 & Waste APT 1 Advanced Infectious Disease Control 2 0.13 2 APT 2 Anticoagulation Theory 2 0.13 2 APT 3 Pre -analytical Sources of Error in Specimen 4 0.27 4 Collection, Trans art, Processinq & Storage APT 4 Anatomical Site Selection & Patient Preparation 2 0.13 2 APT 6 Risk Factors, Complications, & Response to 2 0.13 2 Complications APT 6 Test Requisition, Specimen Transport & 2 0.13 2 Processing, Problems & Correction APT 7 Communication Skills & Professional Behavior 2 0.13 2 APT 8 Ethical & Legal Implications 2 0.13 2 APT 9 Quality Assurance 2 0.13 2 PT LAB Skin Puncture & Veni uncture Lab 20 0.67 20 PT EXT tory 40 0.9 40 TOTAL 100 4.2 40 20 40 28 PHLEBOTOMY TECHNICIAN 1 tCONTLA In -class Completion of this course could lead to a position in a clinical laboratory, Hospital, Clinic, Medical Group, Research Company, Mobile Insurance Company, or Physician's Office. Job Titles include: Phlebotomy Technician I SOC CODE: 31-9097 Prerequisite: Student must have a high school diploma or GED prior to enrolling in this course, and no felonies or misdemeanors (See below). Prior to externship, student must have First Aid/CPR card. HSTi can refer students to an outside vendor for a special discounted fee. Requirements for State Certification/Licensure: • Must be 18 years of age and possess a valid High school diploma or GED • Must complete a State of California, Department of Health Services approved minimum of 80 hours Basic & Advanced Phlebotomy course that includes a mandatory forty (40) hour externship and students must have 100% attendance in order to graduate. • Applicants with misdemeanors and/or felonies are approved on a case by case basis and must be disclosed on the attestation page. Class Size: The Phlebotomy Technician course is conducted only as an "in -class" course. The maximum number of students is 24 or under at each campus. Equipment/Supplies include: Two sets of scrubs, NHA Phlebotomy Technician National Exam, and State license fees. 29 Faculty Qualifications, & Email Addresses COMPUTERIZED OFFICE & ACCOUNTING/ MICROSOFT OFFICE SPECIALIST Nancy C Brady: Computerized Office & Accounting Instructor Ontario/Temecula Computerized Office Specialist certificate, Computer Career Connection, 2002 U.S, Navy Veteran with over 20 years vocational teaching experience in Windows, MS Office and QUIckBooks Pro nancy.b@healthstafffraining.com Gita Singh: Computerized Office & Accounting Instructor Santa Ana Bachelor of Science Degree in Business Administration, CSUF, 2012 Vocational Training certificate, University of San Diego, 1995 Over 21 years vocational teaching experience in Windows, MS Office, and QuickBooks Pro gita.s@healthstafftraining.com Michael Tran: Computerized Office & Accounting Instructor Santa Ana/Ontario Computerized Office & Accounting certificate, HealthStaff Training Institute, 2018 Over 13 years of experience In the field of computer applications michael.t@healthstafffraining.com DRUG & ALCOHOL COUNSELING Miguel Palos: CADC III, Drug and Alcohol Counseling Program Director Ontario/Temecula Bachelor of Science Degree in Human Services, University of Phoenix, 2012 Santa Ana Associate of Science Degree, Administration of Justice, Citrus College, 2010 Certified Drug and Alcohol Counselor with 16 years of counseling and 5 years as a Drug and Alcohol Counseling Instructor miguel.p@healthstaffiraining.com CLINICAL & ADMINISTRATIVE MEDICAL ASSISTANT/CLINICAL MEDICAL ASSISTANT/ ADMINISTRATIVE MEDICAL ASSISTANT/ MEDICAL FRONT OFFICE ASSISTANT Shawna LaMunyon, CBCS: CAMA/CMA/AMA Instructor Ontario Clinical & Administrative Medical Assistant certificate, Bryman College, 1995 Over 26 years of experience in the medical field and 8 years as an instructor shawna.l@healthstafffraining,com La Keisha Walker: CAMA/CMA/AMA Instructor Temecula Clinical & Administrative Medical Assistant certificate, UEI College, 2019; CPR Certificate Over 4 years of experience in the medical field and over 2 years as an instructor lakeisha.w@healthstafffraining.com Sally Jimenez, CCAMA: CAMA/CMA/AMA Instructor Santa Ana Clinical & Administrative Medical Assistant certificate, National Education Center, 1986 Over 34 years of experience In the medical Feld and a CAMA instructor with over 9 years of teaching experience sally.j@healthstafffraining.com 30 PHARMACY TECHNICIAN Sona Minakian, Rph, Pharmacy Technician Instructor Santa Ana Registered Pharmacist CA, University of Kentucky, Master's Degree,1996 Over 26 years as a Registered Pharmacist in both retail and hospital pharmacies Pharmacy Technician Instructor for 5 years sona.m@healthstafftraining.com Michael Trailor, CPhT: Pharmacy Technician Instructor Ontario/Temecula Pharmacy Technician certificate, HealthStaff Training Institute, 2020 Pharmacy Technician with 2 years of experience in pharmacy operations (both retail and Hospital) Pharmacy Technician Instructor with 1 year of experience m.trailor@healthstafftraining.com MEDICAL BILLING & CODING/ ADVANCED MEDICAL CODING Shawna LaMunyon, CBCS: Medical Billing and Coding Instructor Ontario Clinical & Administrative Medical Assistant certificate, Bryman College,1995 Over 25 years of experience in the medical field and 7 years as an instructor shawna.l@healthstafftraining.com PHLEBOTOMY TECHNICIAN 1 Noemi Hernandez, CPT-1: Phlebotomy Technician Instructor Ontario Master's Degree in Business Administration, University of Phoenix, 2018 Bachelor of Science in Health Services, University of Phoenix, 2016 Certified Phlebotomy Technician certificate & license, California Health Institute,1997 Over 25 years of experience In the medical field noemi.h@healthstafftraining.com Danielle Byrne, CPT-1: Phlebotomy Technician Instructor Temecula Certified Phlebotomy Technician certificate & license, U.S. Colleges, 2013 Over 9 years of experience as a phlebotomist, danielle,b@healthstaffiraining.com Avis Hartley, CPT-1: Phlebotomy Technician Instructor Santa Ana Bachelor's Degree in Business Administration, University of Phoenix, 2005 Certified Phlebotomy Technician certificate & license, 2003 Over 19 years of experience as a Certified Phlebotomy Technician 1 avis.h@healthstafffraining.com 31 11 Employment EDD Development Department Stafe of California DIRECTIVE Date: November 10, 2021 Number: WSD21-03 ETPL POLICY AND PROCEDURES EXECUTIVE SUMMARY (ALIFORNIA Workforce Development Board This policy provides guidance and establishes the procedures applicable to the training providers and programs listed on the state and local Eligible Training Provider List (ETPL) under the Workforce Innovation and Opportunity Act (WIOA). This policy applies to Local Workforce Development Boards (Local Boards), and is effective on the date of issuance. This policy contains some state -imposed requirements. All state -imposed requirements are indicated by bold, italic type. This Directive finalizes Workforce Services Draft Directive ETPL Policy and Procedures (WSDD- 215), issued for comment on September 3, 2020. The Workforce Development Community submitted 131 comments during the draft comment period. A summary of comments, including all changes, is provided as Attachment 8. This policy supersedes Workforce Services Directive WIOA Eligible Training Provider List - Policy and Procedures (WSD15-07) dated November 10, 2015. Retain this Directive until further notice. REFERENCES • Workforce Innovation and Opportunity Act (Public Law 113-128) Sections 3, 116, 122, 123, 129, 134, and 404 • Title 20 Code of Federal Regulations (CFR) Part 677: Performance Accountability Under Title I of the Workforce Innovation and Opportunity Act (Uniform Guidance), Sections 677.150 and 677.230 Title 20 CFR Part 680: Adult and Dislocated Worker Activities Under Title I of the Workforce Innovation and Opportunity Act (DOL Exceptions), Sections 680.200, 680.210, 680.230, 680.300, 680.310, 680.320, 680.330, 680.340, 680.350, 680.410, 680.420, 680,430, 680.450, 680.460, 680.470, 680.480, 680.490, 680.500, 680.520, and 680.530 The EDD is an equal opportunity employer/program. Auxiliary aids and services are available upon request to individuals with disabilities. Revised February 22, 2023 Page 1 of 5 DIC: 12 EXHIBIT C • Title 20 CFR Part 681: Youth Activities Under Title I of the Workforce Innovation and Opportunity Act (DOL Exceptions), Sections 681.480 and 681.540 • Title 34 CFR Part 600: Definitions (Department of Education), Section 600.2 • Training and Employment Guidance Letter (TEGL) 8-19, Workforce Innovation and Opportunity Act (WIOA) Title I Training Provider Eligibility and State List of Eligible Training Providers (ETPs) and Programs (January 2, 2020) • TEGL 3-18, Eligible Training Provider (ETP) Reporting Guidance under the Workforce Innovation and Opportunity Act (WIOA) (August, 31, 2018) • TEGL 19-16, Guidance on Services provided through the Adult and Dislocated Worker Programs under the WIOA and the Wagner-Peyser Act Employment Services, as amended by title Ill of WIOA, and for Implementation of the WIOA Final Rules (March 1, 2017) • TEGL 13-16, Guidance on Registered Apprenticeship Provisions and Opportunities in the WIOA (January 12, 2017) • California Code of Regulations Division 7.5 • California Education Code Sections 94801.5, 94850.5, and 94874 • California Unemployment Insurance Code (CUIC) Section 14005 • CUIC Section 14230 • Workforce Services Directive WSD22-08, ETPL Reciprocal Agreements (January 17, 2023) • WSD22-01, Performance Guidance (July 18, 2022) • WSD19-10, Recovery of WIOA Tuition and Training Refunds (February 20, 2020) • WSD19-06, CaLIOBS Activity Codes (December 27, 2019) • WSD17-01, Nondiscrimination and Equal Opportunity Procedures (August 1, 2017) • California's Unified Strategic Workforce Development Plan BACKGROUND WIOA Section 122 requires states to establish and maintain a list of training providers who are eligible to receive WIOA Title I, subtitle B funds for training services. An America's Job Center of California5m (AJCC) may issue an Individual Training Account (ITA) to a WIOA Title I, subtitle B eligible individual (out of school youth age 16-24, adult or dislocated worker) to fund training services. The Employment Development Department (EDD) is the entity responsible for publishing, disseminating, and maintaining the comprehensive California (CA) ETPL with performance and cost information. In addition, the EDD is responsible for ensuring programs meet the eligibility criteria and performance levels established in this Directive; removing programs that do not meet the program criteria or performance levels established in this Directive; and taking enforcement actions against providers that intentionally provide inaccurate information, or that substantially violate the requirements of WIOA. Page 2 of 5 EXHIBIT C Likewise, the Local Board is responsible for carrying out the procedures outlined in this Directive; work with the state to ensure there are sufficient numbers and types of providers of training services with expertise in assisting individuals with disabilities, and adults in need of adult education and literacy activities; developing and maintaining a local ETPL; and ensuring the dissemination of the CA and local ETPL through the AICCs, including in formats accessible to individuals with disabilities. In cooperation with stakeholders, the State has adopted the following principles when developing the CA ETPL policies and procedures: 1. Simplicity — Avoid imposing burdens that inhibit the participation of quality training providers. 2. Customer Focus —The policies and procedures support the collection and presentation of easily accessible and reliable training program information for both individuals seeking career and occupational training information, and career planners who assist participants eligible for training services. 3. Informed Consumer Choice —The CA ETPL includes locally approved training programs that lead to self -sustainable careers in the local/regional economy, as supported by current labor market information identifying industry sectors and occupational clusters that are high -growth, high -demand, projecting skills shortages, and/or vital to the regional economy. 4. Training Delivery Flexibility— Policies and procedures that foster and support the inclusion of various types of training delivery that expand opportunities for consumer choice. 5. Quality — Ensure a comprehensive list of quality training programs that meet minimum performance standards, and provide industry -valued skills in priority industry sectors. Information must be accurate, transparent, accessible, and user-friendly. 6. Respect for Local Autonomy —The policy remains supportive of the autonomy WIOA grants to the Local Boards. In addition, this policy and Local Board policies should align with the three policy objectives outlined in the California Unified Strategic Workforce Development Plan: 1. Fostering demand -driven skills attainment —Workforce and education programs need to align program content with the state's industry sector needs so as to provide California's employers and businesses with the skilled workforce necessary to compete in the global economy. 2. Enabling upward mobility for all Californians —Workforce and education programs need to be accessible for all Californians, especially populations with barriers to employment, and ensure that everyone has access to a marketable set of skills, and is Page 3 of 5 EXHIBIT C able to access the level of education necessary to get a good job that ensures both long- term economic self-sufficiency and economic security. 3. Aligning, coordinating, and integrating programs and services —Workforce and education programs must economize limited resources to achieve scale and impact, while also providing the right services to clients, based on each client's particular and potentially unique needs, including any needs for skills -development. POLICY AND PROCEDURES This policy establishes the types of allowable training services, consumer choice, the difference between the state and local ETPL, the requirement for Local Boards to establish a ETPL policy, eligibility criteria and procedures for initial and continued eligibility for CA ETPL training providers and programs, the federally mandated Eligible Training Provider Performance Report (ETP Report), and the roles and responsibilities of the Local Boards and the EDD in maintaining the integrity of the CA ETPL. The following attachments to this Directive provide guidance and resources when implementing the CA ETPL: 1. ETPL Policy and Procedures Contains detailed information on initial and continued eligibility requirements, and the roles and responsibilities of the Local Boards, and the EDD in maintaining the integrity of the CA ETPL and the quality of the training programs offered on it. 2. ETPL Definitions Includes definitions relevant to the ETPL Policy and Procedures. 3. ETPL Local Board Delegation and Cancelation Form This form is utilized to delegate or cancel the delegation of a Local Board's ETPL responsibilities to another Local Board. The delegation includes both state and local ETPL functions. This form is required to be submitted annually. 4. CA ETP Assurances Form This form must be completed by the provider to ensure they will provide the data necessary to complete the annual ETP Report. This form must be submitted annually. 5. CA ETPL Training Provider and Program Determination Flowchart Decision trees designed to assist Local ETPL Coordinators with determining initial and continued eligibility for the various provider types and programs. Page 4 of 5 EXHIBIT C 6. Local ETPL Coordinator Contact Form A form for Local Boards to designate the Local ETPL Coordinators and provide their contact information. 7. Summary of Comments A list of all comments received during the comment period, and responses to those comments from the EDD. 8. Errata Chronology A list of changes that were made to the Directive and its attachments. ACTION The information contained in this Directive should be shared with Local ETPL Coordinators, and all other staff involved in the administration of the ETPL. INQUIRIES If you have any questions, contact the State ETPL Coordinator at wsbetpl@edd.ca.gov. /s/JAVIER ROMERO, Deputy Director Workforce Services Branch Attachments: 1. ETPL Policy and Procedures (DOCX) 2. ETPL Definitions (DOCX) 3. ETPL Local Board Delegation and Cancelation Form (DOCX) 4. CA ETP Assurances Form (DOCX) S. CA ETPL Training Provider and Program Determination Flowchart (PDF) 6. Local ETPL Coordinator Contact Form (DOCX) 7. Summary of Comments (DOCX) 8. Errata Chronology (DOCX) Page 5 of 5 EXHIBIT C ETPL POLICY AND PROCEDURES ATTACHMENT 1 ETPL Policy and Procedures Contents A. Introduction......................................................................................................................... 2 B. Allowable Types of Training Services................................................................................... 2 C. State and Local ETPLs........................................................................................................... 2 D. Local Board Policy................................................................................................................ 3 E. Consumer Choice.................................................................................................................6 F. CA ETPL Application Process................................................................................................ 6 ETPL Application Process by Provider Category..................................................................... 7 G. CA ETPL Initial Eligibility....................................................................................................... 8 Training Provider Initial Eligibility Criteria.............................................................................. 8 Training Program Initial Eligibility Criteria............................................................................ 11 H. CA ETPL Continued Eligibility Criteria................................................................................ 13 Training Provider Continued Eligibility Criteria.................................................................... 13 Training Program Continued Eligibility Criteria.................................................................... 13 I. Approval and Denial of Training Provider/Program.......................................................... 15 Approval of Training Provider/Program...............................................................................15 Denial of a Training Provider/Program.................................................................................15 J. Delisting Training Providers/Programs ..............................................................................16 K. Placing Delisted Training Providers/Programs Back on the ETPL...................................... 18 L. Appeals...............................................................................................................................18 Appealsto EDD..................................................................................................................... 19 M. Maintenance of the CA ETPL.......................................................................................... 20 N. ETP Report.......................................................................................................................... 20 O. Technical Assistance and Resources.................................................................................. 20 TrainingProviders................................................................................................................. 21 LocalETPL Coordinators........................................................................................................ 21 WSD21-03 Page 1 of 21 ETPL POLICY AND PROCEDURES A. Introduction ATTACHMENT 1 This policy establishes the types of allowable training services, consumer choice, the difference between the state and local Eligible Training Provider List (ETPL), the requirement for Local Workforce Development Boards (Local Boards) to establish an ETPL policy, eligibility criteria and procedures for initial and continued eligibility for Eligible Training Providers (ETP) and programs, the federally mandated Eligible Training Provider Performance Report (ETP Report), and the roles and responsibilities of the Local Boards and the Employment Development Department (EDD) in maintaining the integrity of the state ETPL. This document contains detailed information on initial and continued eligibility requirements, and the roles and responsibilities of the Local Boards, and the EDD in maintaining the integrity of the state ETPL and the quality of the training programs offered on it. B. Allowable Types of Training Services The following are the allowable types of training for the Workforce Innovation and Opportunity Act (WIOA) Title I program: a. Occupational skills training, including nontraditional employment. b. On -the -Job Training (OJT). c. Incumbent Worker Training (IWT). d. Programs that combine workplace training with related instruction, which may include cooperative education programs. e. Training programs operated by the private sector. f. Skill upgrading and retraining. g. Entrepreneurial training. h. Job readiness training provided in combination with the training services described in (a) through (g) above. i. Adult education and literacy activities, including activities of English language acquisition and integrated education and training programs, provided concurrently or in combination with services provided with the training services described in (a) through (g) above. j. Customized training conducted with a commitment by an employer, or group of employers, to employ an individual upon successful completion of the training. While all of the above are allowable training services under WIOA, service types b, c, and j are not required to be on the ETPL. C. State and Local ETPLs Local Boards and the EDD are responsible for working together to identify ETPs for the state ETPL. The state ETPL creates a pool of ETPs that Local Boards can utilize to establish their local ETPL. In California, the state ETPL is called the California (CA) ETPL. Each Local Board must maintain a local list of training providers and programs. Local Boards may add additional local requirements for providers and/or programs (except for WSD21-03 Page 2 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 apprenticeship programs) to be eligible on the local ETPL. Local Boards must include all CA ETPL approved apprenticeship programs on their local ETPL. Adding additional local requirements may result in providers that are on the CA ETPL, but may not be eligible for inclusion on the local ETPL. While additional requirements may be added for the local ETPL, Local Boards may only include training providers on their list that are approved for the CA ETPL. If the Local Board is reviewing provider and/or program applications for inclusion on the ETPL, the Local Board must conduct the state eligibility review first, and then determine eligibility for inclusion on their local ETPL. When conducting the state eligibility review, the Local Board must do so using only the state's requirements, and not the Local Board's additional requirements. Local Boards that do not add additional requirements must include all of the providers/programs on the CA ETPL on their local ETPL, whereas Local Boards with additional requirements may have a subset of the state list as depicted in the diagram below: Note — Providers on the local ETPL must be on the CA ETPL. Note —Additional functionality is being added to the CaUOBSsm system to enable Local Boards to identify the training providers and programs approved for their local ETPL. D. Local Board Policy Each Local Board must develop local policies that provide sufficient consumer protection and oversight of training providers. These policies must meet the minimum requirements of the procedures outlined in this Directive, and may include additional requirements as deemed appropriate by the Local Board. Such policies must include, but are not limited to, processes that achieve the following: • Ensure participants can avail themselves of, and are made aware of, grievance/complaint procedures. Please reference Workforce Services Directive WIOA Grievance and Complaint Resolution Procedures (WSD18-05) for guidance. • Recover WIOA training funds. Please reference Recovery of WIOA Tuition and Training WSD21-03 Page 3 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 Refunds (WSD19-10) for guidance on recovering training funds. • Outline any additional eligibility requirements providers and/or programs (except apprenticeship programs) must meet to be listed on the local ETPL. o These requirements must support the creation of a list that ensures provider performance, job -driven training, informed consumer choice, continuous improvement, and cost-effective investment of public funds. o Requirements may include, but are not limited to: ■ Additional performance requirements. • Program location. • Accreditation requirements. ■ Cost. • Include the timeline for initial and continued eligibility review for inclusion on the local ETPL. o Continued eligibility review for the CA ETPL must be completed annually, and review for the local ETPL must be completed at least once every two years. o Within the federally required timeline in the previous bullet, Local Boards have discretion on when they conduct initial and continued eligibility for inclusion on the local ETPL. The following are just a few examples of options for local review: ■ Review entire local ETPL every two years. • Review each provider/program annually. • Review on the anniversary of when the provider/program established continued eligibility on the local ETPL. • Process for delisting training provider/programs from the local ETPL. • Provide comparable training opportunities if the training provider goes out of business. If the training provider is a Bureau of Private Postsecondary Education (BPPE) approved provider, the policy should include the requirement to coordinate with BPPE's Office of Student Assistant Relief. Ensure training programs lead to at least one of the following: 1) credentials and/or certificates valued by employers, or 2) training -related employment as a result of gaining measurable technical skills for a specific occupation. This requirement ensures that training programs lead to high -quality jobs, as described in the California Unified Strategic Workforce Development Plan. Job quality serves the workforce development system and broader public sector by protecting investments in training. Please see ETPL Definitions (Attachment 2) for a definition of a postsecondary credential, as well as a definition of a training program that leads to employment. o Please note, a program on the ETPL that only leads to employment will negatively affect a Local Board's Credential Attainment rate, since all individuals in an education or training program are included in the measure. Please refer to CaIJOBSActivity Codes (WSD19-06) Attachment 3 for a list of activity codes that place individuals into the Credential Attainment performance measure. WSD21-03 Page 4 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 Verify and document participant attendance at regular intervals throughout the length of the training program. Per WSD19-10, the Local Board should check with the training provider to ensure clients are still in the training program each month. If not able to check monthly, the Local Board must check at least quarterly. • Require providers to maintain sufficient records and to make these records available for monitoring or audit by either the Local Board and/or the state. • Ensure there are no conflicts of interest between the Local Board and the provider, which includes, but is not limited to the following: o A prohibition on the payment of referral fees by training providers to Local Board staff, including America's Job Center of California" (AJCC) operator staff. o Decisions made by the Local Board regarding ETPs and their programs is in compliance with WIOA Section 107(h). Outline the requirement of the Local Board to keep all training provider and program eligibility documents (either physical or electronic), and the process to provide them to the EDD within five business days, if requested. • Explain the Local ETPL Coordinator's responsibilities, which, at minimum, must include the following: o Requirement to provide technical assistance to all training providers with programs located within the Local Workforce Development Area (Local Area) seeking to be listed on the CA ETPL. o Requirement for reviewing and approving or denying providers and programs for initial eligibility in a timely manner: ■ The review must include eligibility for the CA ETPL that meets requirements outlined in this Directive. ■ The review must include eligibility for the local ETPL that meets requirements outlined in the Local Board's local ETPL policy. o Requirement for reviewing and approving or denying providers and programs for continued eligibility in a timely manner: ■ The review must include eligibility for the CA ETPL that meets requirements outlined in this Directive. ■ The review must include eligibility for the local ETPL that meets requirements outlined in the Local Board's local ETPL policy. o Method and timeline for notifying providers if they or their program(s) are removed from the CA and/or local ETPL. • Describe the appeal process that meets the requirements outlined in this Directive. In addition, Local Board policies shall include the following for training providers who are deemed exempt per California Education Code (CEC) Section 94874, and are not regionally accredited by an accrediting institution: • Verification of the instructor's credentials or experience. WSD21-03 Page 5 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 • Ensure the financial stability of the training provider. • Annual inspection of the schools or training programs. • Ensure actual instruction is taking place. • Ensure instructional equipment and instruction meet current industry standards. Local Boards may delegate their responsibility of the ETPL to another Local Board to act on their behalf in making nominations for training providers and programs to be listed on the CA ETPL, and the creation of their local ETPL. To delegate, or cancel an existing delegation, please complete and submit the ETPL Local Board Delegation and Cancelation Form (Attachment 3). Any Local Boards that delegate their ETPL responsibilities to another Local Board must complete this form annually between July V and July 301. Due to the signature requirement (physical or electronic signature), this form should be emalled as an attachment. E. Consumer Choice Training services must be provided in a manner that maximizes informed consumer choice in selecting an eligible provider and program. Each Local Board must make the local ETPL available to customers. Additionally, the Local Board must make available information identifying ETPs for OJT, customized training, and IWT. After consultation with a career planner, an individual who has been determined eligible for training services may select an ETP from the Local Board's local ETPL. Unless the program has exhausted training funds for the program year, the Local Board must refer the individual to the selected provider, and establish an Individual Training Account (ITA) for the individual to pay for training. A referral may be carried out by providing a voucher or certificate to the individual to obtain training. The cost of the referral of an individual with an ITA to a training provider is paid by the applicable Adult, Dislocated Worker, or Youth program. F. CA ETPL Application Process For a provider to be listed on the CA ETPL, the provider must have its information entered into the CaIJOBS ETPL module. It is the Local ETPL Coordinator's role to provide assistance and guidance to training providers who register in CaIJOBS. Once all necessary information is entered, the Local ETPL Coordinator must review and nominate the training provider and/or program to the State ETPL Coordinator for inclusion on the CA ETPL ensuring all information provided is complete, accurate, and current, and is in alignment with this Directive. The EDD will review applications for the CA ETPL within 30 days of receipt from the Local Board. WSD21-03 Page 6 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 Once the provider and/or program is approved and included on the CA ETPL, the Local Board must review, and approve or deny the training provider for inclusion on their local ETPL ensuring all information is in alignment with their Local Board policy. ETPL Application Process by Provider Category 1. In -State Training Provider All training providers that have a training site(s) in CA and wish to be listed on the CA ETPL are required to be registered in CaIJOBS. The training provider shall provide all the training provider information required in the CaIJOBS ETPL module. The training provider must upload a signed CA ETP Assurances Form (Attachment 4) to the documents section of the Provider Profile in CaIJOBS. If the in -state training provider is a Department of Labor (DOL) Registered Apprenticeship or California Department of Industrial Relations (DIR), Division of Apprenticeship Standards (DAS) approved apprenticeship, please see the Training Provider Initial Eligibility section below. Local Boards must review and nominate a provider headquartered in their Local Area for the CA ETPL if the provider meets state eligibility requirements. If a provider has multiple locations, the Local Board(s) in the area of the provider locations must nominate the program(s) to the State ETPL Coordinator. 2. Distance Education Training Providers All Distance Education training providers that wish to be listed on the CA ETPL are required to be registered in CaIJOBS. The training provider shall provide all the training provider information required in the CaIJOBS ETPL module. The training provider must upload a signed CA ETP Assurances Form (Attachment 4) to the documents section of the Provider Profile in CaIJOBS. The State ETPL Coordinator will determine if a Distance Education training provider is eligible to be on the CA ETPL using the eligibility criteria in this Directive. If a Local ETPL Coordinator is contacted by a Distance Education training provider, the provider should be referred to wsbetpl@edd.ca.gov for assistance. 3. Out -of -State Training Providers All training providers, other than Distance Education training providers, that have training sites located only outside of CA cannot be listed on the CA ETPL. Local Boards cannot utilize an ITA with out-of-state training providers unless leveraging an approved ETPL reciprocal agreement. Please see ETPL Reciprocal Agreements (WSD22-08) for more information on the use of approved agreements. Please reference the CoIJOBS ETPL Module Guide Card (located on the Staff Online Resources page in CaIJOBS) for detailed information on the CaIJOBS process for registering new training providers. WSD21-03 Page 7 of 21 ETPL POLICY AND PROCEDURES G. CA ETPL Initial Eligibility ATTACHMENT 1 Training Provider Initial Eligibility Criteria Initial eligibility applies to providers previously not listed on the CA ETPL under the WIOA or the Workforce Investment Act of 1998 (WIA). The initial eligibility period is one year (365 days). The Local ETPL Coordinator is responsible for reviewing the training provider's initial eligibility prior to nominating for inclusion on the CA ETPL. The following institution types are eligible for inclusion on the CA ETPL: 1. Adult education secondary schools, as long as the activities are provided in combination with occupational skills training. 2. Pre -apprenticeship and apprenticeship providers. 3. Private postsecondary institutions. 4. Public postsecondary institutions. The initial eligibility process for each for the training provider types listed above is based on the following: 1. Adult Education Secondary Schools Training providers must be an eligible provider of adult education and literacy activities under Title II of WIOA. Adult education and/or literacy activities must be offered concurrently, or in combination with, occupational skills training. A list of Title II providers can be found on the California Department of Education (CDE) website. 2. Pre -apprenticeship and Apprenticeship Providers a. Pre -apprenticeship Provider Training providers must have a letter of commitment from a DOL registered or DIR DAS approved apprenticeship program. To be listed on the CA ETPL, the pre -apprenticeship program must award an industry -recognized credential or certificate. The state will not enter information on pre -apprenticeship training programs; this information will be entered by Local Boards, if necessary. Pre -apprenticeship programs are considered Individualized Career Services under WIOA, and thus are not required to be on the ETPL. Pre -apprenticeship programs that do not result in an industry -recognized credential or certificate cannot be listed on the ETPL; however, those pre -apprenticeship programs that do provide an industry -recognized certificate or credential can be listed on the ETPL and used in conjunction with an ITA. The California Workforce Development Board (State Board) and each Local Board must ensure that federal WIOA funds awarded for pre -apprenticeship training in the building and construction trades fund programs and services that follow the Multi -Craft Core Curriculum (MC3) implemented by the CDE and that develop a plan to help increase the representation of women in those trades. WIOA prohibits Title I funds from being used for "construction, purchase of facilities or buildings, or other capital expenditures for improvements to land or buildings except with WSD21-03 Page 8 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 prior approval." b. DOL Registered Apprenticeships and DIR DAS Approved Apprenticeships DOL registered apprenticeships and DIR DAS approved apprenticeships are automatically eligible to be listed on the CA ETPL and do not have any eligibility requirements. The state will reach out to new apprenticeship programs to inform them of the opportunity to join the CA ETPL. If the provider opts into the ETPL, the apprenticeship program will be placed on the ETPL by the state. The State Board and Local Boards shall, to the maximum extent feasible, coordinate their pre -apprenticeship and apprenticeship training programs with one or more DIR DAS approved apprenticeship for the occupation and geographic area. 3. Private Postsecondary Institutions (for -profit or non-profit) Training providers be must be accredited by the Accrediting Commission for Schools (ACS) Western Association of Schools and Colleges (WASC); the WASC Senior College and University Commission (WSCUC); have current BPPE Approval to Operate; current Verification of Exemption by BPPE; or are deemed exempt per California Education Code (CEC) Section 94874. Note that providers who are deemed exempt are not required to have a Verification of Exemption. However, if EDD is unable to determine the specific exemption that the provider falls under, then EDD reserves the right to request that the provider obtain a Verification of Exemption from the BPPE. Providers that fall under exemptions (a), (d), (f), or (h) of CEC Section 94874 are not eligible for the ETPL. A Distance Education provider without a physical presence in California that offers postsecondary distance education to California students for a fee must be registered with the BPPE. Private Distance Education higher education institutions that are degree granting, non-profit, and accredited are not required to register with BPPE, but must be accredited by the ACS WASC, the WSCUC, or an agency recognized by the U.S. Department of Education. For more information on the BPPE Out -of -State Institution registration, please see the BPPE Out -of -State Institution Registration webpage. For a directory of accredited schools, please visit ACS WASC and WSCUC. For more information regarding BPPE Approval to Operate, or current Verification of Exemption, please visit the BPPE website. If the training provider has a BPPE Approval to Operate, Verification of Exemption, or Out -of -State Institution Registration, the document must be uploaded to the documents section of the Provider Profile in CaIJOBS. 4. Public Postsecondary Institutions a. Public Postsecondary Community Colleges WSD21-03 Page 9 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 Training providers must be accredited by the WASC Accrediting Commission for Community and Junior Colleges (ACCIC). The following website can be utilized to search for the WASCACCIC accredited colleges: WASC ACJCC. For public postsecondary community colleges not WASC ACCIC accredited, but are currently in the initial accreditation process, the Local Board can nominate the training provider, and the State Board and the EDD will determine whether the community college meets the training provider initial eligibility criteria. b. CA State University (CSU) and University of CA (UQ Training providers must be accredited by the WSCUC. The following website can be utilized to search for WSCUC accredited colleges: WSCUC. In addition to the above requirements, all training providers (with the exception of apprenticeship programs) must meet the following: All training providers are subject to the Equal Opportunity and Nondiscrimination requirements found in Section 188 of WIOA. All Local Boards must ensure a training provider is in compliance prior to nominating the training provider to be on the CA ETPL. Equal Opportunity and Non -Discrimination procedures should be posted at the AJCC and approved training providers' facilities, and provided to each participant upon enrollment in a CA ETPL training program. It is critical for Local Boards to utilize EDD- provided monitoring tools to evaluate the providers, and to upload appropriate documents to the Documents section of the Provider Profile in CalJOBS. It is also important to note that all site locations for a provider must be in compliance with WIOA Section 188. For more information, refer to Nondiscrimination and Equal Opportunity Procedures (WSD17-01). Provide information supporting the provider's partnership with business. This may include information about the quality and quantity of employer partnerships. Enter program(s) of training services into CaIJOBS. The training provider should only enter the program(s) desired to be on the CA ETPL. If the program is offered with multiple modes of delivery, curriculum, or course lengths, the program must be entered separately for each variation. Please reference ETPL Definitions (Attachment 2) for the definition of a Training Program. A signed copy of the CA ETP Assurances Form (Attachment 4) is uploaded to the Documents section of the Provider Profile in CaIJOBS. This form must be uploaded annually, prior to the provider being reviewed for eligibility. Once the training provider completes the CA ETPL application on CalJOBS, the Local ETPL Coordinator is responsible for reviewing the provider's information and either denying their inclusion on the CA ETPL, or nominating them for review by the State ETPL Coordinator through the CaIJOBS approval process. The Local ETPL Coordinator must review and nominate, or deny a training provider profile within 30 days of the completed application date. WSD21-03 Page 10 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 The Local Board that contains the headquarters of the provider is responsible for nominating the provider profile. Please reference the Approval or Denial of Training Provider/Program section of this attachment for additional information. Training Program Initial Eligibility Criteria Initial eligibility applies to a program previously not listed on the CA ETPL under the WIOA or the WIA. The initial eligibility period is one year (365 days). After a training provider meets the training provider initial eligibility criteria listed above, been nominated by the Local Board, and approved by the State ETPL Coordinator, each individual training program must meet the following requirements to be listed on the CA ETPL: The training program must be for occupations in in -demand industry sectors identified by the state, region, or Local Board. In -demand or priority industry sector information must be verified with the State Board and/or Local Board. The training program provides training services that lead to an industry -recognized credential, national or state certificate, or degree, including all industry appropriate competencies, licensing and/or certification requirements, or employment in a specific occupation after receiving measurable technical skills. Please note the training program does not have to issue the credential, but the training program should prepare the individual to obtain the credential. For example, a Class A Truck Driving program does not issue the Class A driver's license, but it should prepare the individual to pass the state -issued exam to obtain the license. For more information on if a training leads to an industry -recognized credential, please see DOL's Credential Attainment Decision Tree. • The cost in the Cost Details tab in the program wizard should match the cost of a member of the general public enrolling in the program without assistance from WIOA. This information should be available in the provider's brochure or website. If the Local Board works out a different cost with the provider, then the cost information in the training activity code will need to be updated to reflect the different cost. • The mode of instruction, and class schedule(s) are consistent with the provider's advertised brochure/website. If a program is offered with multiple modes of instruction (e.g., online and in -person) or durations, the program needs to be entered separately for each variation. • For providers with a BPPE Approval to Operate, the training program and its location are BPPE approved'. • For WASC accredited training providers where the program's instruction and/or curriculum development is entirely sub -contracted to another entity or third party vendor, the training provider directly receiving tuition and related instruction fees ' For providers with a BPPE Approval to Operate, not all BPPE training programs are automatically eligible to be listed on the CA ETPL. WSD21-03 Page 11 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 (e.g., ITA) must meet the requirements outlined in this directive, and register in CalJOBS as a provider. See ETPL Definitions (Attachment 2) for the definition of third - party subcontracting and what is considered allowable. • Program must provide and meet the following performance metrics based on aggregate data for all students in the program to ensure the program supports the ability for the individual to obtain an industry -recognized postsecondary credential, and/or employment upon completion of the program. The provider must provide performance data for the prior complete program year (July 1—June 30). o Public Postsecondary Community Colleges, CSUs, UCs, and Adult Education Secondary Schools are required to provide performance information for consideration of placement on the CA ETPL, but due to heavy state oversight, investment, and the inability to capture true program outcome data, these institution types are not required to meet a specific performance threshold to be listed on the CA ETPL. The following performance data must be provided and listed in CaIJOBS: ■ Of individuals that exited the program, the percentage who successfully completed the training program (did not withdraw or transfer out of the program). • Of individuals that successfully completed the training program, the percentage who are employed within six months of graduating from the training program. For occupations for which the state requires passing an examination, the six month period begins after the announcement of the examination results for the first examination available after a student completes the program. o Private Postsecondary Institutions are required to meet and provide the following performance data in CaIJOBS: ■ Of individuals who exited the program, 50% successfully completed the training program (did not withdraw or transfer out of the program). • Of individuals who successfully completed the training program, 50% are employed within six months of graduating from the training program. For occupations for which the state requires passing an examination, the six month period begins after the announcement of the examination results for the first examination available after a student completes the program. Please note —Apprenticeship programs are not subject to program initial eligibility criteria. Once the training provider enters the program into CaIJOBS, the Local ETPL Coordinator is responsible for reviewing the program information and either denying their inclusion on the CA ETPL, or nominating them for review by the State ETPL Coordinator through the CalJOBS approval process. The Local ETPL Coordinator must review and nominate, or deny a training program within 30 days of the completed application date. WSD21-03 Page 12 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 The Local Board where the program is located is responsible for nominating the program. Please reference the Approval or Denial of Training Provider/Program section of this attachment for additional information. For more information regarding the training provider and program initial eligibility process, please refer to the CA ETPL Training Provider and Program Determination Flowchart (Attachment 5). H. CA ETPL Continued Eligibility Criteria Training Provider Continued Eligibility Criteria Continued eligibility applies to all training providers listed on the CA ETPL at any time under the WIOA or WIA, and whose initial eligibility has expired. A training provider's initial and continued eligibility is valid for 365 days after the provider is approved for the ETPL. Since providers can be reviewed year-round, all active training providers on the CA ETPL will be evaluated annually by the EDD no earlier than 60 days, and no later than 30 days prior to the provider's eligibility expiration date to ensure they continue to meet eligibility to be retained on the CA ETPL. To determine continued eligibility, the EDD must verify that the training provider continues to meet the requirements outlined in the Training Provider Initial Eligibility Criteria section of this Directive. DOL registered apprenticeships and DIR DAS approved apprenticeships do not have any continued eligibility requirements and will remain on the ETPL. It is recommended that apprenticeships update their program information annually. In addition, providers on the CA ETPL for two full program years (July 1—June 30) must have at least one Title 1, subtitle B enrollment during the previous two program years. If removed due to enrollment requirements, a provider must wait six (6) months from removal to submit their ETPL application for reinstatement and will not be held to the enrollment requirement when determining continued eligibility for placement back onto the list. Training Program Continued Eligibility Criteria Continued eligibility applies to all training programs listed on the CA ETPL at any time under the WIOA or WIA and whose initial eligibility has expired. A training program's initial and continued eligibility is valid for 365 days after the program is approved for the ETPL. Since programs can be reviewed year-round, all active training programs on the CA ETPL will be evaluated annually by the Local Board no earlier than 60 days, and no later than 30 days prior to the program's eligibility expiration date to ensure they continue to meet eligibility to be retained on the CA ETPL. Training providers must reapply for WIOA program certification using CaIJOBS. All applications for continued eligibility of training programs will be evaluated as they are received, by the Local Board and EDD, to ensure they continue to meet eligibility to be retained on the CA ETPL. The Local Board where the program is located is responsible for evaluating the program. WSD21-03 Page 13 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 After a training provider has met the training provider continued eligibility criteria listed above, each individual training program must meet the following requirements to retain their listing on the CA ETPL: • Training program information is reviewed and updated in CaIJOBS. • Training program meets all requirements outlined above in the Training Program Initial Eligibility Criteria section of this attachment. CA ETPL training programs must meet performance metrics to retain their eligibility on the ETPL, The EDD will negotiate with DOL to establish yearly performance goals based on the WIOA primary indicators of performance. For continued eligibility, CA ETPL training programs (with the exception of apprenticeship programs, Adult Education programs, Community Colleges, UCs and CSUs) must meet or exceed the performance metrics required in initial eligibility, as well as the negotiated state -level Title I Adult performance goals. The EDD will publish the state -level negotiated performance goals in a Workforce Services Information Notice located on the EDD website. The continued eligibility performance calculations for each program is based on WIOA participant performance, and is verified using the federal ETP Report published annually by the state. Providers are required to collect and submit aggregate performance data for all students to EDD. The following outlines the performance metrics for continued eligibility: o The program must meet the following performance metric for all students for the most recent complete program year (July 1—June 30): • Of individuals who exited the program, 50% successfully completed (did not withdraw or transfer) the program. The program must meet the following performance metrics for WIOA participants for the most recent complete program year (July 1—June 30)2: ■ Employment Rate 2nd Quarter after Exit meets the state's negotiated goal for the Title I Adult program. ■ Employment Rate 4th Quarter after Exit meets the state's negotiated goal for the Title I Adult program. • Median Earnings meet the state's negotiated goal for the Title I Adult program. Credential Attainment meets the state's negotiated goal for the Title I Adult program (if applicable). Measurable Skill Gains meets the state's negotiated goal for the Title I Adult program. z With the exception of completers, providers will be held accountable for the performance measures in which two complete years of data is available for their program(s) on the ETP Report. WSD21-03 Page 14 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 Please see CalJOBS ETPL Module Guide Card (located on the Staff Online Resources page in CaIJOBS) for instructions on how providers reapply for WIOA program certification in CaIJOBS. For detailed information regarding the definitions and calculations of the WIOA primary indicators of performance, please see Performance Guidance (WSD22-01). Please refer to the CA ETPL Training Provider and Program Determination Flowchart (Attachment 5) to determine if a training provider and its program(s) meet the continued eligibility criteria to remain on the CA ETPL. I. Approval and Denial of Training Provider/Program Approval of Training Provider/Program After reviewing to ensure the provider/program meets the eligibility criteria above, the Local Board can nominate the training provider/program to the state for review. If nominating the provider to the State ETPL Coordinator, the signed CA ETP Assurances Form (Attachment 4) must be uploaded to the documents section of the Provider Profile in CaIJOBS. The State ETPL Coordinator will review providers within 30 days of their nomination by the Local Board. The EDD will review the provider/program's information to ensure it meets all initial or continued eligibility requirements outlined in this Directive. If eligible, the State ETPL Coordinator will approve the provider/program for the CA ETPL, and notify the Local ETPL Coordinator. If the Local Board has additional local ETPL eligibility requirements, the Local ETPL Coordinator must review all CA ETPL approved distance education programs, as well as all in- state CA ETPL approved programs located in the Regional Planning Unit for inclusion on their local ETPL. If the Local Board does not have additional local ETPL eligibility requirements, all approved CA ETPL programs must be included on the Local Board's local ETPL. Denial of a Training Provider/Program After review, if a Local Board determines the training provider/program does not meet the requirements to be listed on the CA ETPL, the Local Board must inform the training provider in writing with the reason(s) for the denial, and provide information on the Local Board appeal process within 30 days of receipt of the application. A copy of the written notification provided to the provider must be uploaded to the documents section of the Provider Profile in CaIJOBS within 10 business days of issuance. If the Local Board nominates a provider/program to the state for review, but upon review, the State ETPL Coordinator denies the training provider/program listing on the CA ETPL, the EDD must inform the Local Board of the denial and the reason(s) for the denial within 30 days of receipt of the nomination. The Local Board must in turn inform the training provider in writing with the reason(s) for the denial, and information on the Local Board appeal process within 30 WSD21-03 Page 15 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 days of receipt of the EDD's decision. A copy of the written notification provided to the provider must be uploaded to the document section of the Provider Profile in CaIJOBS within 10 business days of issuance. If the training provider is able to rectify the issue that caused the denial, the Local Board can review the information and resubmit to the State ETPL Coordinator for review. For example, if a provider is denied solely because the CA ETP Assurances Form (Attachment 4) was not uploaded to CaIJOBS, the State ETPL Coordinator would notify the Local Board, which would notify the provider. The Local Board can then nominate the provider again once the form is uploaded to CaIJOBS. The training provider's request to be on the CA ETPL must be denied if the training provider fails to provide complete information, intentionally provides inaccurate information, or has substantially violated any WIOA requirement(s). If the EDD, in consultation with the nominating Local Board, determines a training provider intentionally supplied inaccurate information or violated any WIOA requirement(s), the EDD or the Local Board shall deny the training provider's application for the CA ETPL, and the training provider is not allowed to be reconsidered for inclusion on the CA ETPL for at least two years. If approved for inclusion on the CA ETPL, but the Local ETPL Coordinator determines the training provider/program does not meet their local ETPL requirements, the Local Board must inform the training provider in writing with the reason(s) for the denial, and information on the Local Board appeal process within 30 days of receipt of the application. A copy of the written notification provided to the provider must be uploaded to the documents section of the Provider Profile in CaIJOBS within 10 business days of issuance. J. Delisting Training Providers/Programs To ensure the integrity of the CA ETPL, the Local Board or the EDD will remove a training provider or program from the CA ETPL at any time for the items below: 1. The training provider will be immediately removed from the CA ETPL for any of the following reasons until such time as they meet continued eligibility. A provider who has been removed from the list for any of the following reasons is liable to repay all Adult and Dislocated Worker training funds received during the period of noncompliance: a. The training provider has lost its accreditation or its approval to operate from its regulating agency. b. A private postsecondary training provider no longer meets the exempt criteria per CEC Section 94874, or the provider's Verification of Exemption by BPPE (if required by the EDD) expired or is revoked, and the provider does not have a new Verification of Exemption, or BPPE Approval to Operate. c. The nonprofit Community Based Organization no longer qualifies under Section 501(c)(3) of the Federal Internal Revenue Code. d. The apprenticeship program is no longer registered with the DOL under the National Apprenticeship Act, or is no longer approved by DIR DAS. The State WSD21-03 Page 16 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 ETPL Coordinator is responsible for removing apprenticeship programs. e. The pre -apprenticeship program no longer has a Letter of Commitment from a DOL registered or DIR DAS approved apprenticeship program, or no longer leads to an industry -recognized postsecondary credential. f. It is determined the provider sub -contracted instruction of the program to another entity without approval from WASC or BPPE. See ETPL Definitions (Attachment 2) for the definition of third -party subcontracting. g. The provider is not in compliance with WIOA Section 188. 2. A training provider will be immediately removed from the CA ETPL for a period of no less than two years for any of the reasons listed in this section. A provider who has been removed from the list for any of the following reasons is liable to repay all Adult and Dislocated Worker training funds received during the period of noncompliance: a. The state identifies the Local Board and training provider are participating in pay -to -play activities (commonly known as kickbacks) that include, but are not limited to: the Local Board received monetary or gift exchanges for (or in the hope for) referrals to a specific training provider, and/or exchanges of money or gifts to have the training provider listed on ETPL. As part of the annual on -site monitoring of Local Boards, if it is determined the Local Board is engaging in pay -to -play activities, a corrective action is required, and failure to take timely action to be in compliance may result in decertification of the Local Board involved. b. It is determined the training provider falsely reported information. c. The training provider substantially violated a provision of Title I of WIOA, or its implementing regulations. d. The training provider's top level leadership (e.g., owner, CEO, Director, etc.) is convicted of violating any federal or state law associated to the operation of the institution. 3. The EDD, in coordination with the Local Board, can remove a provider for any of the following reasons. Reactivation to the list is at the discretion of the State ETPL Coordinator and the Local Board: a. It is determined the provider is not serving or providing value to WIOA participants, and is listed on the CA ETPL solely for other purposes, such as the utilization of Workers' Compensation Supplemental Job Displacement Benefit vouchers. b. The provider has not served at least one Title I, subtitle B enrollment during the previous two program years. See "Training Provider Continued Eligibility Criteria" for requirements to be reinstated to the ETPL. c. The provider's CaIJOBS profile and/or program information is inaccurate or incomplete. d. The training provider has not demonstrated a good faith effort in providing the ETP Report data to the EDD. e. The provider no longer wishes to be listed on the CA ETPL. WSD21-03 Page 17 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 4. In an effort to safeguard WIOA funds, the training provider will be suspended from the CA ETPL if the training provider is under any federal, state, or local investigation. During the period of suspension, no new enrollments may occur, but the training provider can continue to serve existing WIOA funded enrollments. Once the investigation is complete, a review of the findings by the state will determine if the provider can be reinstated to the CA ETPL. If a training provider/program is removed from the CA ETPL, the EDD must inform the Local Board of the denial and the reason(s) for the delisting within 30 days of the removal. The Local Board must in turn inform the training provider in writing with the reason(s) for the delisting, and provide information on the Local Board appeal process within 30 days of receipt of the EDD's decision. A copy of the written notification provided to the provider must be uploaded to the document section of the Provider Profile in CaIJOBS within 10 business days of issuance. All training provider/programs removed from the CA ETPL must be removed from the local ETPL immediately upon notification from the EDD, as any new enrollments into a training program not eligible to be on the CA ETPL will result in disallowed costs. It is the responsibility of the EDD and the Local Board to work together to ensure any participants currently enrolled in a training program removed under items 1 and 2 experience minimal disruption. If the training provider or program is removed due to items 1, 3, or 4, any participants already enrolled (attended at least one day of instruction) can continue participation in the program until the training is complete, but no new enrollments may occur. Please see WSD19-10 for additional information regarding the recovery of training funds. K. Placing Delisted Training Providers/Programs Back on the ETPL Requests to be placed back on the CA ETPL must be submitted through the Local Board (unless the provider is a Distance Education or apprenticeship program). The training provider and program(s) must meet all criteria outlined in the CA ETPL Continued Eligibility Criteria section of this attachment to be placed back on the CA ETPL. If the training provider is removed for item 2 of the Delisting Training Providers/Programs section of this directive, two years must have passed from the time of their removal before they can be placed back onto the CA ETPL. If the training provider is removed for item 3(b) of the Delisting Training Providers/Programs section, the provider must wait 6 months from the date of removal before submitting an ETPL application for reinstatement. L. Appeals Appeals to the Local Board Each Local Board must have a written appeal process for the CA and local ETPL that includes the following required provisions: WSD21-03 Page 18 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 Instructions for a training provider wishing to appeal a decision. The training provider must appeal to the Local Board in writing within 30 days of the issuance of the denial or delisting notice. The appeal must include a statement of the desire to appeal, specification of the training program(s) in question, the reason(s) for the appeal (i.e., grounds), documentation supporting the grounds for the appeal, and the signature of the appropriate training provider official. An initial informal meeting between the Local Board staff and the training provider. The purpose of this meeting is to identify if there is a simple solution to resolve the dispute. The opportunity for training providers to have a hearing. The hearing officer shall be an impartial person. The hearing officer shall provide written notice to the concerned parties of the date, time, and place of the hearing at least ten calendar days in advance of the scheduled hearing. Both parties shall have the opportunity to present oral and written testimony under oath, to call and question witnesses, request documents relevant to the proceedings, and have legal representation. The hearing officer's final decisions must be made within 60 days of receipt of the appeal, and the training provider and the Local Board notified in writing of the final decision. A copy of the final decision must be emailed to the State ETPL Coordinator (wsbetpl@edd.ca.gov), and the Local ETPL Coordinator must upload the final decision to the Provider Profile section of CaIJOBS. Appeals to EDD Distance Education and Apprenticeship programs can appeal directly to the EDD. All other training provider may appeal to the EDD only if the local appeal process has been exhausted, and the provider is dissatisfied with the Local Board's final decision. A training provider wishing to appeal a Local Board's decision must submit a written appeal to the EDD within 30 days from the date of the Local Board's final decision. The request for appeal must include a statement of the desire to appeal, specification of the training program in question, the reason(s) for the appeal (i.e., grounds), Local Board's final decision document, and the signature of the appropriate training provider official. The appeal should be sent to: wsbetpl@edd.ca.gov_. • The EDD will promptly notify the appropriate Local Board when the EDD receives a request for appeal and when a final decision has been rendered. • The EDD will review appeals received, make a decision, and notify the training provider and the Local Board. • The EDD will upload the state's final decision to the Provider Profile in CalJOBS. WSD21-03 Page 19 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 M. Maintenance of the CA ETPL The EDD is responsible for the maintenance and publishing of the CA ETPL. Local Boards, in turn, are responsible for ensuring all of their AJCC locations have access to the most recent version of the CA and local ETPLs. Local Boards may include additional performance, occupational, and/or industry data to augment the CA ETPL listings on their local ETPL. Local Boards, job seekers, and training providers have access to the CA ETPL on CaIJOBS by clicking the Access California's ETPL and Apprenticeship Providers link from the homepage, or by clicking More Career Services, and then Education Services section. N. ETP Report The WIOA requires the state to submit an ETP Report with the federal WIOA Annual Performance Report on October 1st utilizing a template developed jointly by the DOL and U.S. Department of Education. This report includes all WIOA and non-WIOA participants served by each training program listed on the CA ETPL3. The DOL has made the ETP Report data available to the public via trainingproviderresults.gov. The ETP Report gathers critical information, including the employment, earnings, and credentials obtained by participants in the training program. This information will be widely disseminated to assist participants and members of the general public in identifying effective training providers and programs. This information will also benefit the training provider by providing awareness of their program, and serving as a tool to potentially enhance their programs. All training providers are required to electronically submit the program participant data outlined in the CA ETPAssurances Form (Attachment 4). The state recognizes the reporting burden this causes, and understands the data limitations, so the state will work with training providers based on the available data provided. Data reporting for the annual ETP Report will be a phased approach with the state working collaboratively with Local Boards, and training providers to obtain the required information. Training providers that demonstrate a good faith effort in providing data will not be subject to removal from the ETPL; however, failure to provide any data may result in removal from the CA ETPL. Performance data from the ETP Report will be used for continued eligibility review of all training programs, excluding DOL registered or DIR DAS approved apprenticeships. O. Technical Assistance and Resources Technical assistance will be provided by BPPE, DIR DAS, Local ETPL Coordinators, and EDD on respective application processes, compliance requirements, and reporting documents. Each Local Board must identify a Local ETPL Coordinator(s) using the Local ETPL Coordinator Contact 3 Apprenticeship programs are excluded from this requirement. WSD21-03 Page 20 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 1 Form (Attachment 6). The Local Board must provide an updated form if the Local ETPL Coordinator changes, or if the existing coordinator's information changes. Training Providers Training providers may contact the Local ETPL Coordinator in their area with questions regarding the application process and eligibility (initial and continued). For basic ETPL information and a list of Local ETPL Coordinators, refer to the EDD's Eligible Training Provider List located on the EDD website. Private postsecondary training providers can obtain assistance from the BPPE through technical assistance workshops (BPPE Application Workshop and BPPE Compliance Workshop), which assists training providers in completing the BPPE Annual Reports, and online reporting tools. Apprenticeship providers that are registered with either the US DOL or CA DIR DAS and wish to be added to the ETPL should contact the State ETPL Coordinator by email: wsbetpl@edd.ca.gov. Local ETPL Coordinators Local ETPL Coordinators can communicate with the State ETPL Coordinator by email: wsbetpl@edd.ca.gov. The EDD will coordinate webinars and trainings as necessary. Announcements related to the CA ETPL will be made via email to the Local ETPL Coordinators. The CQIJOBS ETPL Module Guide Card (located on the Staff Online Resources page in CaIJOeS) provides detailed instructions to assist Local Boards with entering programs into the CalJOBS ETPL module. The CalJOBS system includes data entry screens and reports, and is the mandatory method to be used by training providers and Local Boards for transmitting this data to the state. For a full list of CaIJOBS Activity Codes used to track a participant's training activities, please see Ca1JOBS Activity Codes (WSD19-06). WSD21-03 Page 21 of 21 ETPL POLICY AND PROCEDURES ATTACHMENT 2 ETPL DEFINITIONS Apprenticeship Program —All apprenticeship programs that are registered with the U.S. Department of Labor (DOL), Office of Apprenticeship, or approved by California (CA) Department of Industrial Relations (DIR) Division of Apprenticeship Standards (DAS), are automatically eligible to be included on the CA Eligible Training Provider List (ETPL). Apprenticeship programs are a written plan designed to move an apprentice from a low or no skill entry-level position to full occupational proficiency. The apprenticeship program is sponsored by an employer, and upon completing the training program, an apprentice earns a "Completion of Registered Apprenticeship" certificate, which is an industry -issued, nationally - recognized credential. Customized Training —Training that meets the following criteria: 1. Designed to meet the specific requirements of an employer (including a group of employers). 2. Conducted with a commitment by the employer to employ an individual upon successful completion of the training. 3. The employer pays a significant portion of the cost of training, as determined by the Local Workforce Development Board (Local Board) involved, taking into account the size of the employer and such other factors as the Local Board determines to be appropriate, which may include the number of employees participating in training, wage and benefit levels of those employees at present and anticipated upon completion of the training), relation of the training to the competitiveness of a participant, and other employer -provided training and advancement opportunities. Distance Education — Education that uses only one or more of the technologies listed below to deliver instruction to students who are separated from the instructor, and to support regular and substantive interaction between the students and the instructor, whether offered concurrently or not. The technologies include the following: 1. The internet. 2. One-way and two-way transmissions through open broadcast, closed circuit, cable, microwave, broadband lines, fiber optics, satellite, or wireless communications devices. 3. Audio conferencing. Eligible Training Provider (ETP) — In order for a training provider to list a program on the ETPL, the training provider must do the following: 1. Receive funding for training services. 2. Meet the standards and requirements to be a training provider on the ETPL. 3. Provide a program of training services. 4. Be one of the following types of entities: a. Institution of Higher Education that leads to a recognized post -secondary credential. WSD21-03 Page 1 of 5 ETPL POLICY AND PROCEDURES ATTACHMENT 2 b. Entities that carry out a training program registered under the National Apprenticeship Act. c. Other public or private training providers, which may include the following: I. Nonprofit Community Based Organization under Section 501(c)(3) of the Federal Internal Revenue Code. ii. Joint labor-management organizations. iii. Eligible training providers of Adult education and literacy activities under Workforce Innovation and Opportunity Act (WIOA) Title It. ETPL Training Program Types — In order for a training provider to receive WIOA funds through an Individual Training Account (ITA), its training program(s) must be listed on the ETPL. These programs must provide training services, including, but not limited to the following (unless otherwise noted): 1. Occupational skills training, including training for non-traditional employment. 2. Programs that combine workplace training with related instruction, which may include cooperative education programs. 3. Training programs operated by the private sector. 4. Skill upgrading and retraining. S. Entrepreneurial training. 6. Adult Education or Literacy Activities in combination with training services listed above. 7. Apprenticeship and Pre -apprenticeship Skills Training (20 CFR 680.330). In -demand Industry Sector or Occupation —The determination of whether an industry sector or occupation is in -demand shall be made by the California Workforce Development Board (CWDB) or Local Board, as appropriate, using state and regional business and labor market projections. An industry sector is considered in demand if it has a substantial current, or potential impact (including through jobs that lead to economic self-sufficiency and opportunities for advancement) on the state, regional, or local economy, and that contributes to the growth or stability of other supporting businesses, or the growth of other industry sectors. An occupation that currently has, or is projected to have, a number of positions in an industry sector so as to have a significant impact on the state, regional, or local economy, as appropriate. Occupational Skills Training — An organized program of study that provides specific vocational skills that lead to proficiency in performing actual tasks and technical functions required by certain occupational fields at entry, intermediate, or advanced levels. Postsecondary Credential —An industry -recognized certificate or certification, a certificate of completion of an apprenticeship, a license recognized by the state or federal government, or an Associate or Bachelor's degree. A recognized postsecondary credential is based on the attainment of measurable technical or industry/occupational skills necessary to obtain employment or advance within an industry/occupation. These technical or industry/occupational skills are generally based on standards developed or endorsed by WSD21-03 Page 2 of 5 ETPL POLICY AND PROCEDURES ATTACHMENT 2 employers or industry associations. The following are types of recognized postsecondary credentials: • Associate degree. • Bachelor's degree. • Occupational licensure (e.g. Certified Nursing Assistant license). • Occupational certificate, including Registered Apprenticeship and Career and Technical Education educational certificates. • Occupational certification (e.g. Automotive Service Excellence certification). • Other recognized certificates of industry/occupational skills completion sufficient to qualify for entry-level or advancement in employment. Certificates awarded by Local Boards and work readiness certificates are not considered postsecondary credentials because neither type of certificate is recognized industry -wide, nor documents the measurable technical or industry/occupational skills necessary to gain employment or advancement within an occupation. Certificates/credentials that provide general skills, even if such general skills are broadly required to qualify for entry-level employment or advancement in employment, are not considered postsecondary certificates/credentials. The following are examples of credentials/certificates that are not recognized postsecondary credentials: • Occupational Safety and Health Administration 10-hour course on job -related common safety and health hazards (OSHA 10). • National Career Readiness Certification. • National Retail Federation Credentials. • ServSafe Food Handler's Certification. • Cardio Pulmonary Resuscitation (CPR) Certification. • Certificates for General Computer Skills (Microsoft Word, Excel, Outlook, etc.). For an additional resource, the DOL designed an interactive Postsecondary Credential Attainment Decision Tree to assist in making a determination about whether a credential is considered an industry -recognized credential. This tool is best used in conjunction with the information outlined in this directive. Pre -apprenticeship Program — A program designed to prepare individuals to enter and succeed in an apprenticeship program, and includes the following elements: 1. Training and curriculum that aligns with the skill needs of employers in the economy of the state or region involved. 2. Access to educational and career counseling and other supportive services, directly or indirectly. WSD21-03 Page 3 of 5 ETPL POLICY AND PROCEDURES ATTACHMENT 2 3. Hands-on, meaningful learning activities that are connected to education and training activities, such as exploring career options, and understanding how the skills acquired through coursework can be applied toward a future career. 4. A partnership with one or more apprenticeship programs that assists in placing individuals who complete the pre -apprenticeship program in an apprenticeship program. 5. Opportunities to attain at least one industry -recognized credential through an apprenticeship program. Secondary School Diploma or Recognized Equivalent — CA -recognized diplomas issued by a CA public school, as well as by private schools accredited by the Western Association of Schools and Colleges (WASC) or equivalent regional accreditation body. The requirements of a secondary school diploma are outlined by the California Department of Education (CDE) and listed on CDE's High School Graduation Requirements webpage. A secondary school equivalency certification indicates that a student has completed the requirements for a high school education. CA has approved the use of three high school equivalency tests (HSET): GED®, HiSET®, and TASCII. These tests are for students 18 years old and older, and 17 years old (in some instances). Those who pass the CA High School Proficiency Examination are awarded a Certificate of Proficiency by the CA State Board of Education. While some HSET preparation programs may issue "diplomas or certificates" of completion these documents are not genuine high school equivalency credentials. There are various free HSET preparation programs available for free through the CA Adult Education Provider Directory. Third -Party Subcontracting — a program where course instruction and curriculum is not developed by the provider, and instead is created and delivered by a third party. Per Attachment 1 of the directive, the provider accepting tuition and related instruction fees (e.g. ITA) must be the provider listed on the ETPL. Third -party subcontractors cannot accept WIOA funding without meeting ETPL eligibility requirements, and being placed on the ETPL. Per the California Education Code Section 94886, private postsecondary institutions that receive "institutional charges" such as tuition are required to be approved or deemed exempt by the BPPE.1 1 EDC 94886 - Except as exempted in Article 4 (commencing with Section 94874) or in compliance with the transition provisions in Article 2 (commencing with Section 94802), a person shall not open, conduct, or do business as a private postsecondary educational institution in this state without obtaining an approval to operate under this chapter. EDC 94858 - "Private postsecondary educational institution" means a private entity with a physical presence in this state that offers postsecondary education to the public for an institutional charge. WSD21-03 Page 4 of 5 ETPL POLICY AND PROCEDURES ATTACHMENT 2 Training Program —A program of training services is one or more courses or classes, or a structured regimen that provides the WIOA training services, and leads to any of the following: 1. An industry -recognized certificate or certification, a certificate of completion of a registered apprenticeship, a license recognized by the State or the Federal government, an associate or baccalaureate degree. 2. A secondary school diploma or its equivalent. 3. Employment (see definition for Training Program that leads to Employment). 4. Measurable skill gains. Due the federal reporting requirements of the ETP Report, if a program is offered with more than one mode of delivery (e.g. online and in -person), more than one program length (e.g. contact hours and/or weeks), and/or more than one curriculum, the program needs to be entered once for each different variation. For example, if program A is offered online, and in - person, the program needs to be entered twice: (1) for the online program, and (2) for the in - person program. Training Program that leads to Employment —An eligible ETPL program must prepare graduates for a specific occupation related to the training that was provided. This means that programs must award measurable technical skills, rather than general skills that are broadly required for employment. These measurable technical or industry/occupational skills generally are based on standards developed or endorsed by employers or industry associations. The training program must be valuable to employers, as evidenced by partnerships with business within priority industry sectors as identified in the State or Local Plan. Support of the training program from at least three separate employers are required to be eligible, and documentation of this support should be uploaded into the provider profile. In addition, graduates of the program must be employed in an occupation related to the training program. Training -related employment can be recorded for WIOA graduates in the follow-up ribbon of the WIOA application. Unsubsidized Employment— Employment in the private or public sector where the employer does not receive a subsidy from public funds to offset all or part of the wages and costs of employing the individual. WSD21-03 Page 5 of 5 ETPL POLICY AND PROCEDURES ATTACHMENT 3 ETPL LOCAL BOARD DELEGATION AND CANCELATION FORM A Local Workforce Development Board (Local Board) may delegate or cancel responsibility of the California (CA) and local Eligible Training Provider List (ETPL) to an appointed Local Board by completing this form. This form must be completed at the time of a change (delegation or cancelation), and annually in July to ensure the State ETPL Coordinator is able to coordinate with the appropriate Local Board. Please sign (physical or electronic) and submit the completed form to the Employment Development Department via email to WSBETPL@edd.ca.gov. Select either the Delegation or Cancelation box: DELEGATION — Delegating Local Board is assigning responsibility for the CA and local ETPL to the Appointed Local Board, and the Appointed Local Board agrees to coordinate the CA and local ETPL on behalf of the Delegating Local Board. Signatures are required of the Delegating and Appointed Local Board's Executive Director. IDCANCELATION — Delegating Local Board is revoking responsibility for the CA and local ETPL to the Appointed Local Board. The Delegating Local Board will resume responsibility for the CA and local ETPL unless a new Local Board is assigned this responsibility. Signatures are required of the Delegating and Appointed Local Board's Executive Director. Delegating Local Board: Delegating Local Board Executive Director Name: Signature: Appointed Local Board: Appointed Local Board Executive Director Name: Signature: Date: Date: WSD21-03 Page 1 of 1 ETPL POLICY AND PROCEDURES ATTACHMENT 4 CA ETP ASSURANCES FORM A completed and signed California (CA) Eligible Training Provider (ETP) Assurances Form must be uploaded to the documents section of the Provider Profile in CaIJOBS. This form must be uploaded annually, prior to the provider being reviewed for eligibility. Part A. I certify that [Insert Name of School/Oraanizationl: (a) Is a legal entity, registered to do business in the state of California (CA). (b) Has not been determined to be ineligible to receive federal funds. (c) Is in compliance with Workforce Innovation and Opportunity Act Section 188 and Title 29 Code of Federal Regulations Part 38. (d) Has demonstrated effectiveness in operating occupational classroom or distance training program(s). (e) Agrees that training provider facilities, classroom instruction, relevant financial records, and attendance records may be reviewed by state, federal and/or local monitors or auditors to ensure compliance with funding requirements. Part B. I certify that I: (a) Have reviewed the annual student data reporting requirements for the Eligible Training Provider Performance Report (ETP Report) established for training providers. Please refer to the ETP Report Required Data listed below. (b) Will begin collecting required student data elements that are not currently being collected. (c) Will report and submit the ETP Report data for all students trained in each of my school/organization's training programs listed as approved on the Eligible Training Provider List (ETPL) to the Employment Development Department by the due date. I understand that my school/organization's application for program approval on the CA ETPL will not be processed without receiving this Eligible Training Provider Assurances Form. Name of Training Provider (School/Organization) _ Mailing Address City, State, Zip Code Phone Number (###) ###-#### Print Name of School/Organization Representative Title of School/Organization Representative Signature of School/Organization Representative Date WSD21-03 Page 1 of 2 ETPL POLICY AND PROCEDURES ETP REPORT REQUIRED DATA Required Data Fields ETPL_Provider Name ^ETPL Program Name- — — _-- T_otal Number of Individuals Served _ Total Number of Individuals Exited --------------------------- - -- Total Number who Completed the Program Total Number Employed 2 Quarter after Exit Median Earnings in the 2nd Quarter after Exit --------- - ----- -- ---- T_otal Number Employed 4th Quarter after Exit Total Number of Individuals that Attained a Credential Average Earnings in the 2nd Quarter after Exit Average Earnings in the 4th Quarter after Exit ATTACH M ENT 4 WSD21-03 Page 2 of 2 ME Does the Training Provider only N ining Provider wants program(s) offer programs remotely (e.g., online; to be listed on the CA ETPL. audio conference; one-way or two-way transmissions; etc.)? A 'Local ETPL Coordinator not responsible for Distance Distance Education Education. Refer provider to Training Provider State ETPL Coordinator at wsbetpl@edd.ca.gov. Does the Training Provider have at least one physical training site in CA? r Training Provider is not eligible to be listed on the CA ETPL. An ITA can be used if here is an approved reciproca agreement with the state. A Out-of-state Training Provider In -state Training Provider (Proceed to Step 2) In -state Is the Training Provider an Please proceed to Adult Training Provider Adult Education Secondary Education Secondary School hL School? process. Please proceed to Pre - Is the Training Provider apprenticeship and offering a Pre -apprenticeship Apprenticeship Program rApprenticeship Program? process. the Training Provider a Please proceed to Private private postsecondary Postsecondary Institution institution? process. Is the Training Provider a Please proceed to Public public postsecondary Postsecondary Institution institution? process. ETPL POLICIES AND PROCEDURES CA ETPL Training Provider and Program Determination Flowchart STEP 3: CA ETPL TRAINING PROVIDER ELIGIBLITY DETERMINATION YES YES ATTACHMENT 5 a a a _ aJ F J O O Q 0 Ills- vU a1L_v ll�ce- lu a) tw dya- .E � M m UJ N 0O aJ YNv— O C ` L F. O N / Qym aaYiCC K v tla Q Oo - EaR 0 ]W�u O0E'G a CL R aJp DYUCp_ aJ- AbD N 00 p O CO u a I O. rR+ a aJE O. H lL0 O RCCv Ha�CyRaLi w a a o 000 ! i O cCm a)- 'O O. � Q fl_ bD YOm CJ fl (U-0 u O Q a) fl_ -p OU 0 Jao a aaO_]i QO Y w E m O Private Postsecondary Is the Training Provider Institution ACS WASC or WSCUC accredited? P, Does the Training Iq Provider have a current BPPE k,, Approval to Operate? A Training provider is Is the Training Provider` not eligible to be listed deemed exempt per CEC on the CA ETPL. Section 94874 (does not include a, d, f, or h)? ,, Private Postsecondary Institution (proceed to Initial Program Eligibility). Private Postsecondary Institution (proceed to Initial Program Eligibility). Private Postsecondary Institution (proceed to Initial Program Eligibility). i a v y h a v 9 F W p p Q O O Q Lp_ Q v U O U 00 — a) bD a) C m y C b y F O O C C O M1• Y E Y N L a a U bz o � > 0 3 a ba y p Y — b p O ? C a — u O bD U F v W F Y a uY N o a) a s y v a u O y N V V Y E a L CO = ` � n. O .y .•, ba b4 > N _ C O O ,r0+ Y _ C v? 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Training Program Proceed to Initial Program information in Ca1J065 Training provider is Eligibility for the matches information not eligible to be listed appropriate provider type. in school catalog? on the CA ETPL., EA W r ETPL POLICIES AND PROCEDURES CA ETPL Training Provider and Program Determination Flowchart STEP 5: CA ETPL TRAINING PROVIDER ELIGIBLITY DETERMINATION YES ATTACHMENT 5 Training provid],s• not eligible to be on the CA ETP ETPL POLICIES AND PROCEDURES CA ETPL Training Provider and Program Determination Flowchart STEP 5: CA ETPL TRAINING PROVIDER ELIGIBLITY DETERMINATION YES ATTACHMENT 5 ETPL POLICY AND PROCEDURES ATTACHMENT 6 LOCAL ETPL COORDINATOR CONTACT FORM Each Local Workforce Development Board (Local Board) Executive Director must designate a Local Eligible Training Provider List (ETPL) Coordinator(s). The Local ETPL Coordinator(s) will review and nominate training providers and programs for inclusion on the ETPL, via CaIJOBSs"', on behalf of the Local Board. Submit completed and signed (physical or electronic) form to the Employment Development Department by email: WSBETPL@edd.ca.gov. Date: Local Board: MIS Administrator Name: Executive Director Name: Executive Director Email Address: ETPL Coordinator PRIMARY ALTERNATE (Optional) First Name Last Name Phone Email Address Signature of Approving Local Board Executive Director Date WSD21-03 Page 1 of 1 ATTACH M ENT 7 SUMMARY OF COMMENTS Draft Directive ETPL Policy and Procedures (WSDD-215) There were 131 comments to the draft version of this Directive. Contents Accreditation..............................................................................................................................2 AdultEducation..........................................................................................................................2 Appeals.......................................................................................................................................2 Apprenticeships.........................................................................................................................3 ConsumerChoice.......................................................................................................................5 Delegation..................................................................................................................................5 Eligibility.....................................................................................................................................7 GeneralEligibility...................................................................................................................7 InitialEligibility.......................................................................................................................7 ContinuedEligibility...............................................................................................................8 CostInformation......................................................................................................................10 Credentials...............................................................................................................................11 DistanceEducation..................................................................................................................12 EEO...........................................................................................................................................13 ETPReport ................................................................................................................................14 ETPAssurances Form...............................................................................................................17 GeneralETPL Requirements....................................................................................................17 In-Demand...............................................................................................................................19 LocalBoard Policy....................................................................................................................19 Localvs CA ETPL.......................................................................................................................20 Other........................................................................................................................................22 Out -of -State Providers.............................................................................................................22 Pre-apprenticeships................................................................................................................. 23 ThirdParty................................................................................................................................24 Worker's Comp/Supplemental Job Displacement Benefit(SJDB)...........................................24 Page 1 of 25 Accreditation Comment #1— How do we determine if a provider and their programs are accredited? Resolution —Accreditation can be verified by visiting the Western Association of Schools and Colleges, Senior College and University Commission (WSCUC) or WASC Accrediting Commission for Community and Junior Colleges (WASC ACCJC) website and searching for the provider in the directory of institutions. Direct links are provided in the policy. Comment #2 — Do private postsecondary schools need to be Bureau of Private Postsecondary Education (BPPE) approved and accredited by WASC? Resolution — No, private providers must be either accredited by WASC, have BPPE Approval to Operate, or meet the exemption criteria identified in California Education Code (CEC) Section 94874. See Attachment 1 under 3. Private Postsecondary Institutions for more information. Comment #3 — Why is the accreditation only limited to Accrediting Commission for Schools (ACS), WASC, the WSCUC? Why is accreditation limited to regional and not inclusive of any Department of Education (DOE) accrediting agency in lieu of BPPE? There are specific examples listed in bold italics that do include these exceptions, what's the difference? Resolution — The BPPE oversees private postsecondary institutions operating in California with the exception of those outlined in CEC Section 94874. Per CEC 94874(i) institutions accredited by the ACS WASC, or WSCUC are exempt from the BPPE. Additional language expanding acceptable accrediting agencies for Distance Education providers has been added on page 9 of this directive. Adult Education Comment #4 — Regarding defining providers of adult education as only those who provide training under Title II of Workforce Innovation and Opportunity Act (WIOA) (English as a Second Language [ESL] and citizenship classes). This could exclude Regional Occupational Programs (ROPs), community based schools, and any district that contract these services out to local Community Based Organizations (CBOs). Resolution — Training Employment and Guidance Letter (TEGL) 8-19, attachment 1, page 3 includes "Eligible providers of adult education and literacy activities under WIOA Title II if such activities are provided in combination with training services described in 20 Code of Federal Regulations (CFR) § 680.350" as an eligible training provider. Appeals Comment #5 — Does the appeals process still work in the context of Local Workforce Development Boards (Local Boards) "nominating" providers for the ETPL instead of placing them on directly? Where should the appeals process start? Resolution —The appeals process starts with the Local Board that issued the denial. If a provider is denied inclusion on the ETPL, and wishes to appeal, the provider must submit its appeal to the Local Board. Page 2 of 25 Comment #6 — Who would be the party responsible for (1) suspending the provider that is under federal, state, or local investigation; (2) notifying the provider of the suspension? If the provider protests, stating they were not afforded due process conduct, who will be responsible for handling any possible legal process as a result of this suspension. Resolution — Removing the provider would be the responsibility of both the Local Board and the state. If either found that a training provider is currently under investigation, then the provider would be immediately suspended by either the state or the Local Board, and the Local Board would inform the provider of the suspension. The provider would then undergo the appeals process if it so chooses, starting with the Local Board. Comment #7— What if the training provider disagrees with the Local Board's initial eligibility assessment? Resolution —The Local Board must provide the training provider with information regarding the appeals process. Comment #8 —Are initial/informal meetings required as part of the appeals process if both parties waive it based on written confirmation? Resolution —All Local Boards must include an option for an informal meeting in their appeals policy. However, both parties can agree to waive this requirement, and documentation should be uploaded into the Provider Profile. This also needs to be included in the local policy. Comment #9 —Are formal hearings required if both parties waive it? Can impartial hearing officers be employed at the Local Board or does it need to be from an outside agency? Can the hearing officer be a compliance analyst not working directly with ETPL? Resolution — Local Boards must include the option of a formal hearing in their appeals policy. However, both parties can agree to waive this requirement, and documentation should be uploaded into the Provider Profile. Guidance on the appeals process, including impartial hearing officers, needs to be included in the local policy. Comment #10 — Can a Local Board rule to approve a provider on appeal, if the EDD originally rejected it? Resolution —Yes, but the provider/program has to go through final EDD approval before being reinstated to the ETPL. Apprenticeships Comment #11— It appears that a number of requirements are inapplicable to apprenticeship programs, including the WIOA Section 188 requirement. Is this correct? Resolution — Both Department of Labor (DOL) and Department of Industrial Relations (DIR), Division of Apprenticeship Standards (DAS) ensure that apprenticeships meet Equal Employment Opportunity (EEO) standards per 29 CFR 30.3, therefore the Local Board cannot impose additional EEO requirements onto the apprenticeship program. Page 3 of 25 Comment #12— Please provide further guidance on including all California (CA) apprenticeships on the local Eligible Training Provider List (ETPL). There are some apprenticeship programs that are not available locally (example: apprenticeship programs in Imperial County do not have a presence in Southern California), and does not seem to make sense to list locally as we are unable to provide the Individual Training Account (ITA) for training due to the distance restrictions. Resolution — Per TEGL 13-16, Change 1, "All Registered Apprenticeship Program (RAPS) on a statewide ETP list must also be located on all local ETP lists in the state." In addition, TEGL 8-19 states that "Local Boards may add additional requirements for providers, except for RAPS, which result in providers that are on the state ETP list that may not be eligible for inclusion on the local ETP list." Comment #13—Can Local Boards require local program requirements to apprenticeship programs related to payments (W-9s, Invoice Agreements) and other WIOA assurances (WIOA section 188), list of employers partners, or is that assumed by the state? Resolution —Apprenticeship programs cannot have additional eligibility requirements added to them, per TEGL 8-19. If an apprenticeship program is approved by DOL or DIR DAS and want to be added to the ETPL, they must be added to the state and local ETPL. They cannot be removed from the ETPL until they request to be removed or they lose apprenticeship approval/designation from DOL or DIR DAS. Comment #14—Are registered apprenticeship programs required to provide a paid employment component and if they are not providing employment, how is that monitored? If they do not provide employment, isn't that just a regular training program? Resolution —Yes, per the Factsheet located on the DOL Apprenticeship website, apprenticeships are required to provide a paid employment component. The approval of apprenticeship programs is managed by the DOL and/or DIR DAS. Comment #15 —Are we allowed to require apprenticeship to meet our contracting/insurance requirements to be on the local list? Resolution — No. Per TEGL 8-19, no additional eligibility requirements can be added to apprenticeship programs. Comment #16—There are approved apprenticeship programs in occupations that are not in our local priority sector or in -demand occupations. Our local policy is to not put such programs on our local ETPL. It would be inconsistent to allow such a program to be listed as an apprenticeship when we do not list it as a private postsecondary training program. Resolution — Per TEGL 13-16, Change 1, "Given that RAPS are a link to demonstrated hiring needs and WIOA provides automatic training provider eligibility to RAPS, ETA has determined that RAPS qualify as occupations in -demand in the local labor market." In addition, TEGL 8-19, Attachment 1, page 3 states: "RAPS are automatically eligible to be included on the ETP list and are exempt from state and local ETP eligibility requirements." Page 4 of 25 Comment #17 — If WIOA funds cannot be used for building construction, doesn't that restrict Local Boards from funding apprenticeship/pre-apprenticeship programs? Resolution — DOL Final Rules 683.235 clarifies that WIOA funds can't be used for construction, etc. for the purposes of administering WIOA without prior approval from the Secretary of State. However, in the context of apprenticeships and pre -apprenticeships, WIOA funds can be used to pay for participants to be enrolled in construction programs. Consumer Choice Comment #18 — Does this mean the Local Board must refer the client for training and an ITA regardless of the appropriateness of the training? Can an individual demand enrollment and training services while demonstrating poor fitness by missing appointments, failing to meet their obligations in the Individual Employment Plan (IEP), and participate in training that does not necessarily fit their employment goals as long as they possess the minimum age, basic skills, and/or prerequisites to do so? If so, we do not believe this is required by WIOA or beneficial to the participant or the system. Resolution —The America's Job Center of Californialm staff must determine training services are appropriate for an individual after conducting an interview, an evaluation or assessment, and career planning. If training is determined to be appropriate after meeting with a career planner, the Local Board must send that participant to the training they select as long as training funds have not been exhausted. Individuals maintain the right to enroll in whatever program they choose, however it is the Local Board's responsibility to help individuals with choosing the best program that fits their needs based on the IEP. Please see the definition of Training Services in WSD19-06 for further guidance on how an individual qualifies for training services. Comment #19—The CA ETPL does not permit the Local Board to approve a training program that is eligible to be paid with WIOA funding, even though the Local Board is the subject matter expert on what will lead to a self -sustainable career in the local/regional economy. The CA ETPL limits the choice of consumer and the Local Board to use Labor Market Information to determine which courses should be deemed eligible. Resolution — Local Board staff are still able to select providers to nominate that reflect the needs of their Local Workforc a Development Area (Local Area). Attachment 1, page 6 states "Once all necessary information is entered, the Local ETPL Coordinator must review and nominate the training provider and/or program for inclusion on the CA ETPL." Delegation Comment #20 — Does each Local Board need to screen all ETPL schools in the Regional Planning Unit (RPU) for inclusion on its local ETPL? Currently we only go through the local process if a customer requests the school. Resolution —Yes, as well as all CA ETPL approved distance education providers and registered apprenticeships. Page 5 of 25 Comment #21— How does a Local ETPL Coordinator get notified that a distance education program or a program in the RPU has been approved? Resolution — ETPL Coordinators receive notifications via the CaIJOBSsm Message Center for their ETPL Coordinator account alerting them to newly added and approved programs. Comment #22 — Please explain how this will be handled for the providers and programs that are already listed. Currently, the ETPL Coordinator in which the main campus is located must manage all of the sites, even those out of their area. Resolution — Local Board initial and continued eligibility procedures will need to be adjusted. For Continued Eligibility, the provider profile will be reviewed by the EDD. The programs will continue to be reviewed by the Local Boards where the programs are located. Comment #23 — Local Boards with the main office or main campus located in their region, should not be responsible for listing other affiliated programs located outside their region. Each region needs to have the option to list linked campuses/schools separately in each region. With EEO monitoring requirements and no designated funding provided to hire ETPL Coordinators, being responsible for multiple campuses throughout the State, is an unrealistic expectation, especially for smaller Local Boards with limited resources. Resolution — For Initial Eligibility, the provider profile is nominated by the Local Board where the provider is headquartered. Programs will be nominated by the Local Board where the program is located. For Continued Eligibility, the provider profile will be reviewed by the EDD. The programs will continue to be reviewed by the Local Boards where the programs are located. Comment #24 — Once programs are listed on the CA ETPL, can this be clarified why training providers need to contact Local Boards? If the provider is not currently on the CA ETPL, shouldn't the Local Board where the provider (not the program) is located be responsible for nominating the provider? Resolution — Providers can reach out to the Local ETPL Coordinator for technical assistance with entering information in CaIJOBS. The provider is nominated by the Local Board where the provider is headquartered. Programs will be nominated by the Local Board where the program is located. Comment #25 — If there are no changes to the ETPL Local Board Delegation and Cancellation Form (Attachment 3) and the Local ETPL Coordinator Contact Form (Attachment 7) that are already on file, do we need to resubmit them under this new Draft Directive? Resolution — Local Boards will need to submit the ETPL Local Board Delegation and Cancellation Form (Attachment 3) annually in July. The Local ETPL Coordinator Contact Form (Attachment 7) only needs to be resubmitted when there are updates. Comment #26 — Is it possible to not only delegate ETPL duties to another Local Board, but instead to delegate individual providers to another Local Board? Page 6 of 25 Resolution —The delegation form is used to delegate ETPL responsibilities (including providers/programs) to another Local Board. Individual providers cannot be delegated to another Local Board. If a provider moves its headquarters from one Local Area to another, the responsibility for that provider changes, and both Local Board ETPL Coordinators should be made aware of the change. Eligibility General Eligibility Comment #27 — Can Local Boards place the burden of proof on providers to prove that their programs meet the requirements for eligibility? Resolution — Local Board staff are required to review programs to ensure they meet eligibility requirements, including credentials. Once all necessary information is entered, the Local ETPL Coordinator must review and nominate the training provider and/or program for inclusion on the CA ETPL ensuring all information provided is complete, accurate, and current, and is in alignment with this Directive. Comment #28 — What documentation is required to demonstrate a provider's partnership with local businesses? Resolution —This will vary depending on the Local Board and their local policy. The state will allow Local Boards to decide what is considered "in partnership with business. Comment #29 — Will the negotiated goals be the same as WIOA title I programs or will there be different ones for training provider programs? Resolution — Programs must meet the performance requirements described in the continued eligibility section of the Directive, as well as the state -level Title I Adult performance goal. Comment #30— Why are training providers that do not award degrees and solely provide educational programs for total charges of $2,500 not allowed? If a provider has a BPPE exemption, it is unclear if a WIOA-funded ITA is considered Federal student financial aid and therefore ineligible. Resolution —This exemption prohibits any federal funding be used to pay for this program, thus excluding WIOA funding from being used. Section 74110 of the CEC defines public funding as "any financial aid paid on behalf of students or directly to an institution from any public source," which includes WIOA. Initial Eligibility Comment #31— Performance requirements for initial eligibility limit customer choice and local autonomy by removing the ability for new training providers to be added to the ETPL without performance data. The Draft Directive does not specify the source of the performance metrics. If in the past, it will come from a provider's BPPE Annual Report, this will further inhibit a Local Board's autonomy as BPPE is currently two years behind in publishing performance data and, in fact, does not even allow a provider to upload data until September for publication in Page 7 of 25 December. This would effectively mean new providers would be required to have two years of performance metrics. Resolution —TEGL 8-19, Attachment 1 indicates that, "The performance of ETPs is a factor that states must use in determining both initial and continued eligibility of a provider to be included on the state's ETP list." The state requires placement data for initial eligibility for two main reasons: 1) it ensures that providers on the ETPL are of a certain quality in keeping with state and federal laws and regulations, and 2) participants are more likely to be successful in WIOA (i.e. employment) if the ETPL program meets the initial eligibility placement requirement. This benefits Local Board performance numbers. Performance data is entered directly into CalJOBS, and is no longer verified using the BPPE Annual Report. Comment #32— Given the time it takes for a provider to create and complete an ETPL application, what is the exact timeframe for Local Boards to complete their review process? Resolution — Local Boards should complete their review process of a provider within 30 calendar days of the complete provider and/or program data being submitted into CaIJOBS. The state considers the date of a program being submitted as the application date, and the Local Board has 30 days from that date to nominate the program for review to the state. Comment #33 — Is it required that all initial and continued eligibility reviews be reviewed by the state prior to a Local Board approving? If so, what is the process for this? Resolution — Local Boards will submit providers and their programs to the state for review. This is called "nominating," and the process will be very similar to the current one for adding programs to the ETPL. Within 30 days of receiving the nomination, the state will review the data in CaIJOBS and either approve or deny the provider and/or program, and inform the Local Board. Comment #34 — In the past, performance was collected during the subsequent eligibility period. Are we now, gathering information on performance prior to listing a program on the ETPL? Is there an exception for performance if the provider or program is new? Resolution —Yes, performance information must be provided as part of the initial eligibility review process. The use of performance data during initial eligibility review is required by the DOL, and cannot be waived. Continued Eligibility Comment #35 — Removing programs and then requiring a program meet continued eligibility requirements limits consumer choice and would slow the ETPL's ability to foster demand - driven skills attainment. Resolution —The state has implemented this policy to limit the number of providers that are only on the ETPL for other funding sources (e.g. Workers' Compensation Vouchers) and should help limit the burden of the Local Board ETPL Coordinators in reviewing these providers if they are not helping participants in the workforce system. Comment #36 — Previously, it was up to the Local Board to determine if a provider or program can stay on the ETPL. Is it required that we remove the provider if no enrollments have Page 8 of 25 occurred in 2 years? If so, what is the process for the provider to get back on the ETPL? Can a customer request the provider? Resolution —Yes, per the Directive providers must be removed from the ETPL if they do not have at least one enrollment in the previous two program years (PYs). If they would like to get back on the ETPL, they must wait 6 months before reapplying to the ETPL and meet the continued eligibility requirements in the Directive. Comment #37 — What is the process for schools that are already listed on the ETPL? Do we review all new requirements at their annual mark or do they need to be reviewed at the effective date of this Directive? Resolution — Per the ETPL Directive, continued eligibility applies to all training providers listed on the CA ETPL at any time under the WIOA or Workforce Investment Act (WIA), and whose initial eligibility has expired. A training provider's initial and continued eligibility is valid for 365 days after the provider is approved for the ETPL. Providers and programs already on the list can be reviewed using the policies outlined in this directive the next time they are reviewed for continued eligibility. Comment #38 — Providers on the ETPL for two full complete PYs (July 1— June 30) must have at least one Title I, subtitle B enrollment during the previous two PYs. Does this refer to one enrollment in the entire provider or one enrollment in the individual program? Resolution — One enrollment for the entire provider. This requirement is not applied to the program. Comment #39 — What is the reapplication process for programs trying to remain on the ETPL? Resolution — Please see the ETPL Guide Card (Attachment 5) for steps on how programs are submitted for continued eligibility review. Comment #40 — Since continued eligibility can be reviewed at any time during the year (calendar or fiscal), which timeframe is used to measure performance? Resolution —The performance timeframe is for the previous complete PY, July 15t to June 30th. Comment #41— Will Local Boards have the discretion when they conduct continued eligibility? Resolution —After the program becomes initially eligible, they must be reviewed again before the end of the first year (i.e. a program is added to the ETPL on 10/22/2020, the Local Board must review the program again prior to 10/22/2021). Continued eligibility for providers and programs on the CA ETPL must be reviewed every year. For the local ETPL, Local Boards can do continued eligibility every two years. Local Boards can determine the time frame in which they review and complete continued eligibility as long as it is done within the required timeframes. Comment #42— For programs that run over the one-year period, how should the Local Board conduct continued eligibility? Page 9 of 25 Resolution — Programs that are longer than one year should use whatever cohort is graduating in the year to determine if they meet continued eligibility. Comment #43 — How do Local Boards determine which programs are up for continued eligibility? Resolution — ETPL programs in CaIJOBS have a Subsequent Review Due Date (SRDD), which is the date that Local Boards must review a program by. If a program is not reviewed by the SRDD, the program will automatically be removed from the ETPL. Programs that are 60 days from their SRDD will have a REAPP icon, indicating they are in need of review. The Detailed Report > Provider> by Program Reapplication allows Local Board to see which programs on the ETPL are due for review. Comment #44— How do Local Boards keep track of programs during continued eligibility, aside from reports? What if there are issues with how the reports function? Resolution — ETPL staff accounts allow for notifications to be sent to staffs email regarding new programs, changes to existing programs, and other changes in the ETPL module. If there are any issues regarding notifications, please reach out to the CaIJOBS Operations Unit at caljobsadmin@edd.ca.gov. The state is also working to revise provider reports to be more useful to ETPL staff. If ETPL staff would like to request updates to reports (new filters, new columns, etc.), they can email the ETPL box at wsbetpl@edd.ca.gov. Comment #45 — Will we be using the most recent data available in ETP Report for our continued eligibility or waiting until a new year is submitted? Resolution —You would use the most recently available performance data to determine if a provider is eligible. Comment #46 — Reviewing year-round instead of at one specific time may seem like a more efficient method, but in reality, it puts an onerous burden on ETPL coordinators. Couldn't it be possible to make the review at a set time during the year? Or Local Boards should have the option to review at a minimum, once per year, or every 2 years if programs are longer than a year? Resolution —After the program becomes initially eligible and is added to the CA ETPL, they must be reviewed annually for continued eligibility (i.e. a program is added to the ETPL on 10/22/2020, the Local Board ETPL Coordinator must review the program again prior to 10/22/2021). For the local ETPL, Local Boards can do continued eligibility every two years. Local Boards can determine the time frame in which they review and complete continued eligibility as long as it is done within the required timeframes. Cost Information Comment #47 — What should the cost information for an ETPL program be matched to? Resolution —The cost in the Cost Details tab of the program wizard should match the cost a Page 10 of 25 member of the general public would pay when enrolling in the program without assistance from WIOA. This information should be available in the provider's brochure or website. Credentials Comment #48 —This DOL Credential Tool does not include a category for private postsecondary providers. Resolution —Those providers would fit under the "Institutions for Higher Education" category. Comment #49 —The DOL Credential Tool does not explain the skills that either meet/do not meet the definition of a credential. It also does not explain what "in -demand" means. Resolution —The DOL Credential Tool is meant to accompany federal ETPL guidance and illustrate how the requirements are met, rather than explain what those requirements are. Comment #50— If a Local Board, as part of the local initial eligibility requirements, completes an onsite visit with an industry expert who verifies the program meets industry standards, evidenced by the review of the curriculum, equipment, testing, etc., would this be considered as meeting the industry credentials? Resolution —These requirements are in addition to the credential/employment for a specific occupation requirement, not specific criteria for the requirements. Credentials that are "industry -recognized" must meet the definition as described in WSD19-03. Comment #51—There are many programs that do not meet the narrow definition of Post - Secondary Credential outlined in the Definitions attachment that provide valuable and demonstrated effectiveness to individuals with barriers to employment (such as programs for Microsoft Office applications and other office and administrative oriented programs). We also believe these should meet the definition of training under Skills Upgrade and Retraining. Resolution — Per Training and Employment Notice (TEN) 25-19, the programs described here do not meet the definition of a post -secondary credential, since the skills that are attained fall into the general skills/work readiness category. WIOA funds can be used to provide training to general skills such as work readiness, hygiene or safety, but credentials can only be counted toward recognized postsecondary credential attainment if they prepare a person with the competencies required to perform a specific occupation. Local Boards can still send participants to Microsoft courses; however, it is considered a Short-term Prevocational Service and CaIJOBS activity code 215 should be used. Comment #52 — Several comments were received regarding the desire to exclude Skills Upgrading and Retraining, Entrepreneurial Training, and Adult Education and Literacy Activities from the list of services required to be on the ETPL. Resolution — Per TEGL 8-19, Attachment 1, these training services are required to be on the ETPL if using an ITA. Page 11 of 25 Comment #53 — Would the fact that there is a partnership be the only evidence needed to prove that the provider's credential and/or certificate is acceptable as an industry -recognized credential? What extent or depth of partnership is required to meet this bar- and what criteria should the ETPL coordinator use to determine what the extent or depth of the partnership is? Should there be written documentation? Resolution — No, credentials that are "industry -recognized" must meet the definition as described in WSD19-03. The extent or depth of partnership will be determined by each Local Board. Comment #54—The second to last bullet (page 4) only mentions credentials and or certificates, but does it also include degrees or licenses? Resolution —Yes. Attachment 2 provides a full list of the types of recognized postsecondary credentials. Comment #55— If the program does not issue the credential, what is the distinction that the program meets a requirement to lead to a license? Would it be "if a separate/third party exam is required to obtain the license," otherwise it would need to be issued by the training provider? Resolution —The training program does not have to issue the credential, but the training program should prepare the individual to obtain the credential. For example, a Class A Truck Driving program does not issue the Class A driver's license, but it should prepare the individual to pass the state issued exam to obtain the license. Comment #56 —The DOL Credential Tool indicates that a secondary school diploma or equivalent meets the requirements of a credential when attesting to Industry -wide Technical or Industry/Occupation Skills. We believe programs to attain secondary school diplomas or the equivalent meet the definition of training and credential. Resolution — Credentials that are "industry -recognized" must meet the definition as described in WSD19-03. A secondary school diploma or equivalent is a credential, but the Adult Education program can only be on the ETPL when earned in conjunction with Occupational Skills Training. Distance Education Comment #57 — Emergent needs from COVID (online versions, remote training, etc.) is not represented at this time on ETPL. There is urgent need for access to quick training options in addition to training designed to assist in short-term skill building in order to access surge recruitment and lifeboatjobs. How will we handle this need? Resolution — Online learning and/or remote training (distance education) is eligible to be on the ETPL. These providers are reviewed for initial and continued eligibility by the State ETPL Coordinator. Under the new Directive, the responsibility for providers that only function in a distance education capacity shifts to the state for initial and subsequent eligibility review. Page 12 of 25 Comment #58 — With the change in instruction delivery due to COVID, will training providers already listed on ETPL have to create new listings for on-line programs? Resolution —Yes. Per Attachment 1, "If the program is offered with multiple modes of delivery, curriculum, or course lengths, the program must be entered separately for each variation." Please reference the definition of a Training Program in Attachment 2. Comment #59 — Online training is really limited, particularly by providers outside of California. There are many quality training programs that initiate and have headquarters outside of California. The ETPL makes it difficult to find and access these providers. Additionally, online courses (without physical operations) are not easily added which is a disincentive. Resolution — Distance Education providers can be headquartered outside of CA, but they must only offer distance education courses. If they only have physical training locations outside of CA, then they are considered an out-of-state provider and cannot be on the CA ETPL; however, an approved reciprocal agreement may be used. If they have physical locations in CA, but are headquartered outside CA, they are still considered an in -state provider and can be on the ETPL if they meet eligibility requirements. Per the Education Code Section 94801.5, Distance Education private postsecondary education institutions must register with BPPE, unless they provide undergraduate or graduate degrees. Comment #60 — What about providers that provide both distance and in -person programs? Or programs that are hybrid partially distance and partially in -person? Resolution — If the provider offers alternative or "hybrid" in -person and online programs, and have a physical location in California, they are an in -state provider. If the program is offered with multiple modes of delivery, different curriculum, and/or different course lengths, the program must be entered separately for each variation. Please reference the definition of a Training Program in Attachment 2. Comment #61— CaIJOBS offers a screen for choosing "Duration" with options of more than one intensity, duration and schedule. CaIJOBS also offers a "Scheduling" screen that could be updated by GSI to allow a selection for in -person and/or distance learning if you want to track it. Could these be used instead of creating separate program entries in CaIJOBS for a single program that only has one listing with the accrediting agency, one curriculum, one cost and one set of performance? Shouldn't CaIJOBS listings match the exact titles and programs approved by the accrediting agency? Resolution — Programs with multiple modes of delivery, different lengths of instruction, and/or different curriculum must be listed separately to comply with ETP Report requirements. Program details should match the brochures available on the provider's website. Comment #62 — Who is responsible for initial and continued eligibility for Distance Education providers? Resolution — The State ETPL Coordinator is responsible for the initial and continued eligibility of Distance Education providers. EEO Page 13 of 25 Comment #63 — Where do Local Boards find the EEO monitoring tools? Resolution — Please refer to your Local Board's EEO Officer, as defined in WSD17-01. Comment #64— How do Local Boards conduct EEO monitoring for providers with multiple locations? Resolution — It is recommended that Local Boards provide the provider one of the EEO monitoring tools (depending on size of provider), and have them complete it and add it to their CaIJOBS Provider Profile. For additional assistance, please refer to your Local Board's EEO Officer and reference WSD17-01. Comment #65—Are on -site visits (which would be needed to determine that EEO and other items are posted) required before nominating a training vendor for inclusion on the CA ETPL? Resolution — No, it is recommended that Local Boards provide one of the EEO monitoring tools (depending on size of provider), and have them complete it and add it to their CaIJOBS Provider Profile. For additional assistance, please refer to your Local Board's EEO Officer and reference WSD17-01. Comment #66— Do the EEO requirements in the Draft Directive apply to all providers? Resolution —This applies to all training providers, except apprenticeship programs. ETP Report Comment #67 — What if BPPE performance data is not collected for providers who serve rural areas? Won't this negatively affect their placement rate? Resolution — Performance requirements for providers under the new ETPL Directive do not require BPPE placement data. Placement data is directly entered into CaIJOBS. Comment #68 — Public education either does not collect and track students past graduation or claim they aren't allowed to release that information due to confidentiality requirements. If a public postsecondary CC, CSU or UC does not provide %who successfully completed a program, nor % who are employed within 6 months for initial eligibility, their program must still be listed on the CA ETPL because they are not required to meet a specific performance threshold, correct? Resolution — For Initial Eligibility, public postsecondary providers are still required to submit performance data. They are not required to meet a threshold. Comment #69 — Would a waiver be available if the individual was sick or had a valid reason not to take the first test? Some state tests have very long periods between test dates. Resolution — No, a waiver is not available for a missed test. Comment #70 — How is the provider supposed to know when one of their students has exited from WIOA? Or does this mean the student exited from the program, either by successfully completing or dropping out? Resolution — Exiting the program refers to the training program rather than WIOA. Page 14 of 25 Comment #71— Is the placement requirement based on WIOA enrollments only or includes general public as well? Resolution —The placement requirement for initial eligibility includes all students. For continued eligibility, the completion measures includes all students, whereas the other measures include WIOA participants only. Comment #72— In regards to performance for public postsecondary, is there a form for the providers to fill out with the performance information? Resolution —All providers are required to report their performance data directly into CaIJOBS. Comment #73 — Local Boards are responsible for meeting WIOA performance outcomes for WIOA participants. Are training providers held to the outcomes that are the responsibility of the Local Boards or do they hold shared responsibility? If the performance metrics inclusive of both WIOA and non-WIOA participants, is it common for providers to track employment outcomes or is this specific to ETPL? Resolution — Providers are held to the performance requirements outlined in the ETPL Directive, as described in the Initial and Continued Eligibility sections. If providers and/or programs are successful with WIOA participants, the Local Board will see this success in meeting their negotiated goals. The responsibility of outcomes is shared. Comment #74— Program data being entered into CaIJOBS represents duplication of work for those who do collect such information and is not verifiable. Minimally, we believe the state should work with the CaIJOBS vendor to provide a more streamlined process. Resolution —As described in TEGL 3-18, all providers must work with the state to submit performance data required by the ETP Report in order to be eligible and listed on the ETPL. WIOA participant data will come from case management work that is already entered into WIOA applications in CaIJOBS. Providers are required to submit aggregate data on all students in CaIJOBS. Comment #75— Providers are required to report data on ALL students, not just WIOA, to the Local Board and the state. Does this data need to be reported by individual? If so, how do we avoid FERPA violations with individuals who have not signed consent for us to have their data? Resolution — Providers only need to submit aggregate all student data as outlined on the CA ETP Assurances Form (Attachment 4). Comment #76 —The data collection and reporting of all students that is required for the ETP Report is prohibitive. This is evidenced by many waivers that have been granted by DOL to states as well as our own state's request to waive this provision. The waiver to collect all student data should be extended. Resolution —The waiver to report all student data ended with PY 19. DOL has recently granted an extension to the waiver for PY 20; however, the DOL denied our request for a waiver Page 15 of 25 beyond PY 20, so providers will need to collect and report data on all students (WIOA and non- WIOA). For additional information on the end of this waiver, please see TEN 07-21. Comment #77 —Are Community Colleges, UCs and CSUs required to submit data on all of the data points referenced in the CA ETP Assurance Form? There should be a mechanism to obtain entered employment from students attending public schools. Resolution —Yes, per TEGL 3-18 all providers must submit data for the ETP Report. The CA ETP Assurances Form (Attachment 4) notes the data elements required for providers. Comment #78 — Will the state be working directly with providers to upload data to CaIJOBS or will the State be contacting the Local Boards to complete these tasks? Resolution — Ultimately, the Local Boards are responsible for reviewing providers and programs for initial and continued eligibility, which includes performance data. Guidance will be provided on how to upload or enter performance data into CaIJOBS. Comment #79 —The Directive references the ETP site is scheduled to launch in PY 2020; when will this be a requirement for providers to submit data to the system? What do we do in the interim? Resolution — Per TEN 7-21, the ETP All Students Waiver expired on June 30, 2021, so performance data is required to be submitted by providers beginning in PY 21. Comment #80 — ETP Reports will be published in October, what is the reporting period for that report? Are performance reports requested annually by calendar year or program year? Resolution —The ETP Report is reported by PY (July 1 to June 30). For PY 2020, the report due in October 2021 reflects data from July 1, 2020 to June 30, 2021. Comment #81— It looks like the state is aligning the provider program performance measures with WIOA indicators of performance. Does this mean the state will measure this data themselves just as they do with WIOA indicators of performance? Resolution — Providers will submit all student data to the state through the CaIJOBS system, which is then uploaded into the Eligible Training Provider Performance Report (ETP Report). The CA ETP Assurances Form (Attachment 4) details what data the providers are responsible for submitting. WIOA student data will be calculated automatically via the case management data in the CaIJOBS system. Comment #82 — Will training providers be required to enter performance data for individual participants or will it still be totals per program? Will the data be required for both WIOA and non-WIOA students? Resolution —Training providers must enter aggregate data into CaIJOBS for all students in the programs. WIOA student performance data will be calculated via the case management data entered by the case manager. Comment #83 — Will there be a CaIJOBS report for performance data? Page 16 of 25 Resolution —Yes, please use the CaIJOBS Detailed Reports > Provider> by Program Performance report. Comment #84— What if a participant used a pseudo SSN in CaIJOBS? Resolution — If the participant has a pseudo SSN, Local Boards should capture employment and wage information in the Follow Up forms, just as they would normally for WIOA performance. WIOA participants will be included in the ETP Report automatically. Comment #85 — Are training providers expected to capture WIOA performance data that is being captured by WIOA case managers (i.e., employment data)? Resolution —Training providers are expected to capture and report aggregate data for all students (WIOA and non-WIOA). Comment #86 — Will the due date for performance be issued as an Information Notice? Resolution — Beginning in PY 21, any provider undergoing initial or continued eligibility review must provide the performance data outlined in this directive. ETP Assurances Form Comment #87 — Does Page 2 have to be filled out for each student who attended during the reporting period? Resolution — No, the CA ETP Assurances Form is just the signed agreement from the provider agreeing they will provide the necessary data elements on the following page. Comment #88— Does the completed and uploaded CA ETP Assurances Form replace the Performance tab? Or does the information have to be entered in both places? Resolution —The CA ETP Assurances Form is just an agreement that providers will provide the indicated data. The form should be uploaded to the Documents section of the Provider's Profile. The performance data still needs to be submitted in the Performance tab in CaIJOBS. General ETPL Requirements Comment #89 — Due to a combination of performance reporting and the continued eligibility process, Local Boards have seen competition on the ETPL dwindle to very few. This does not promote access and equity. The challenge primarily seems to stem around the accreditation process and reporting. Resolution — It is required per WIOA law, regulations, and guidance that initial eligibility and continued eligibility of providers and programs meet certain requirements, including accreditation and meeting a factor of performance. DOL has also prescribed the requirements of the ETP Report. The state is looking into and open to suggestions on ways to make the required reporting less burdensome. We are also open to ideas and ways to assist Local Boards with advertising the ETPL to providers in their area in an effort to build the list of providers in their area. While a contract is more cumbersome than an ITA, a Local Board has the authority to contract with a provider if they determine there is a lack of providers in their area that offer a specific training program. Page 17 of 25 Comment #90 —Vetting process for adding training providers needs to be streamlined and much improved. It is currently locally driven. Can this be centralized in state this can really help achieve economies of scale? Additionally, the state has expertise in financial stability, accessibility, compliance, etc. Resolution — With the implementation of this policy, the EDD will review all Local Board nominated providers and program for initial and continued eligibility ensuring the requirements outline in this directive are applied consistently. In addition, the EDD is exploring other ways to streamline and improve the ETPL process. Comment #91—Are Adult Education and Literacy activities not allowable/fundable under WIOA unless in conjunction with an authorized training? Are such activities allowable, but not considered training? Are they simply not allowable? Resolution —To be listed on the ETPL, the provider must be an eligible provider of adult education and literacy activities under Title II of WIOA. Adult education and/or literacy activities must be offered concurrently, or in combination with, occupational skills training. Comment #92 — Public education course work should automatically be accessed and allowed on ETPL. Data collection has proven prohibitive. Should all public schools, such as Adult Ed, Community Colleges, ROP, contract education, etc., should be automatically eligible. Resolution — Not all public education programs are in -demand, so each program should be looked at individually for ETPL eligibility requirements. Per federal requirements, data collection is required of all providers (except registered apprenticeships). Comment #93 —Are all other service types on Section B, page 2 (except on the job training [OJT], Incumbent Worker Training [IWT], and customized training) required to be on ETPL? Resolution —Aside from OJT, IWT, and customized training, all services listed are considered "training services," and when funded through an ITA, these must be on the ETPL per TEGL 8- 19. Comment #94 — Is it required that OJT, IWT, customized training providers are listed in CaIJOBS as a non-ITA provider or be listed on the local ETPL? Resolution — Local Areas are encouraged to enter OJT, IWT, and customized training providers into CaIJOBS as a non-ITA provider. These providers are not required to be on the ETPL; however, the Local Board must inform participants of the OJT, IWT, and customized training options available. In CaIJOBS, these providers would be listed as either ETPL (ITA) or Local Providers (non-ITA). Comment #95 — If all elements of the Draft Directive become final, it will take all the time of one full-time employee to implement them. Additional funding and training would have to be provided by the state. Resolution —The EDD will offer training, and quarterly meetings with the ETPL Coordinators to provide technical assistance. Questions and concerns regarding Local Area's allocations can be directed to the Local Board's Regional Advisor, Page 18 of 25 Comment #96 — What about programs that are offered in English and Spanish? Should those be listed separately, like programs that are online or in -person? BPPE does not mandate combining of program data for English and Spanish courses. Resolution — If the curriculum between a Spanish and an English program is the same, then the program only needs to be entered once. The description of the program should indicate that the program is offered in both English and Spanish. If the curriculum between the two programs is different, then the programs should be listed separately, per DOL ETP reporting requirements. In -Demand Comment #97 — Who verifies whether a program is in -demand? The ETPL coordinator of the Local Board that nominated the provider? And what about priority sectors of adjacent or even far -away Local Boards? Resolution —The Local Board is responsible for verifying that a program be for occupations in in -demand industry sectors identified by the state, region, or Local Board. In -demand or priority industry sector information must be verified with the State Board and/or Local Board. CA ETPL programs would then be available for other Local Boards to use. If the Local Board chooses to have a local ETPL, the Local Board would determine if the program is in -demand in their area. Comment #98 — In -demand industry sectors are locally defined. How do you identify occupations (by SOC code) that are in -demand as determined by the state? Where is this list located? Would you use state in -demand to determine state eligibility, then use local in - demand to determine local eligibility? Resolution —California's Unified Strategic Workforce Development Plan has language on what is considered an in -demand occupation, as well as a list of occupations that Local Boards can use to justify state in -demand requirements. Local Boards would then apply their own local requirements for their local ETPL eligibility. You can find a link to the plan on the California Workforce Development Board's website. Local Board Policy Comment #99 — Does the state have a guide for the specific documents that contribute to "sufficient records"? Resolution —This requirement is to ensure providers are submitting accurate data to the Local Board. Providers can be removed for intentionally supplying inaccurate data. What constitutes as "sufficient records" needs to be addressed in the Local Board's local policy. Comment #100 — If the provider that went out of business is the only provider in a reasonable distance, Local Boards may not be able to provide a comparable training alternative. Must we provide travel costs if the client wishes to go? Resolution —This would be something to address in the Local Board's local policy. Page 19 of 25 Comment #101— Regarding the requirements for Local Board policy listed at the bottom of page 5, isn't this already covered by BPPE Approval/Exemption or WASC accreditation? Resolution —This requirement is for providers who are deemed exempt per CEC 94874, and are not regionally accredited by an accrediting institution. Comment #102 — Current local policy is to have individuals research and visit 3 schools that provide the training that the individual is interested in, before they select which school they wish to attend. Does this supersede the requirements described in Section E, page 5, and we should no longer have the individuals go to 3 schools first? Resolution — Local Boards can continue with this type of procedure, as described in their local policy. Local vs CA ETPL Comment #103 — Without clear guidelines, Local Boards cannot expect the participants to understand why certain local programs are available in the state, but not in our Local Area. It also makes it confusing for the participant when they are reverse referred from that training provider and we will not approve the training locally, but it can be added to the CA ETPL. Resolution —The state is working with the vendor to display CA and local ETPL programs differently. This distinction in the system should help clarify what programs are available to participants, depending on where they are located. TEGL 8-19 allows for Local Boards to continue deciding what programs are allowed on their local ETPL. Comment #104 — If a Local Board utilizes the CA ETPL, CaIJOBS serves as the "local list of training providers and programs," correct? Is it possible for the Local Board to make incumbent worker training provider information available when this is by definition only for a specific employer and a specific group of employed individuals? Resolution —The list available to the public includes training providers and programs that are on the ETPL. Any additional training providers that are not on the ETPL (non-ITA) can be entered as a local provider in CaIJOBS and only viewed by staff. The IWT may be eligible for, but not required to be on, the ETPL. Comment #105 —Can state and local eligibility be conducted simultaneously? Resolution — Local Boards can review the provider and program at the same time for both CA and local ETPL eligibility, but they need to review the provider for the appropriate requirements (i.e. local ETPL has additional requirements to eligibility that do not effect eligibility for the CA ETPL). Also, CA ETPL eligibility review must happen first, because if they are no longer eligible per CA ETPL requirements, then they cannot be on the local ETPL. Comment #106— For the purpose of review for continued eligibility, does local ETPL refer to the geographic boundaries of the Local Board or the training providers that are under contract to the Local Board for payment of ITAs? Resolution —The local ETPL includes all providers that are on the CA ETPL, and meet that Local Board's local ETPL requirements. Page 20 of 25 Comment #107 — Local Boards may have additional criteria in order to be listed locally. For those who do not meet our local requirements, we are expected to list and manage them for the CA ETPL even though we will not use them locally? For both initial and continued eligibility? What happens when a provider has an onsite program and have no enrollments? We are expected to monitor them for compliance, review their performance, and provide technical assistance even though they aren't utilized? Resolution — If a provider and/or program meets the state requirements for the ETPL, and their business is headquartered in Local Area A, then Local Board A must nominate this provider profile to the CA ETPL. If the provider also has programs located in Local Area A, then Local Board A must review and nominate those programs for inclusion on the ETPL—even if this means the provider would not receive any participants. The Local Area can choose to only use their local ETPL for serving their participants, but the providers on the CA ETPL still should be available for other Local Boards to use. Local Board A would monitor for compliance, review performance, and provide technical assistance. The Local Board can delist the provider if the provider has not served at least one Title I, subtitle B enrollment during the previous two program years. See "Training Provider Continued Eligibility Criteria" for requirements to be reinstated to the ETPL. Comment #108 — Will there be copy and paste functionality added or radio button to add a program to the local ETPL? Resolution — CaIJOBS includes the ability to copy program data and create duplicate programs as needed via the "Duplicate" button in the Education and Training Programs tab. See Attachment 5 for more guidance on how to navigate CalJOBS. Comment #109 —As written, it appears that providers outside the Local Area must be included on the local ETPL, if there is no specific local criteria. What is the reasoning behind requiring all CA ETPL to be also on the local ETPL? We don't include out -of -area training on our local ETPL, but if a participant requests it, we will consider it on a case -by -case basis. Local Boards should have the autonomy to consider allowing interested participants to attend out -of -area providers on a case -by -case basis. Resolution —A local ETPL is available for Local Boards to require additional criteria (such as location) for providers to meet, in order for them to serve participants using WIOA funds. If no additional requirements are added, then the Local ETPL will mirror the CA ETPL. Comment #110— Providers and programs may be eligible for the CA ETPL but not on the local ETPL. Are Local Boards required to nominate them, based only on the requirements of the Directive, will now be responsible to manage that provider and programs on the ETPL? Resolution —Yes. If the provider meets the CA ETPL requirements, Local Boards are responsible for nominating providers headquartered in their Local Area to the CA ETPL. They are also responsible for nominating programs located within their Local Area to the ETPL, assuming they meet the CA ETPL requirements. Per TEGL 8-19, page 5, Local Boards can only use CA ETPL requirements when reviewing providers for the CA ETPL. After conducting state Page 21 of 25 eligibility, the Local Board can then review the provider for local eligibility using their Local ETPL-specific requirements. Other Comment #111—Who are the stakeholders involved in developing the CA ETPL policies and procedures? Resolution —The California Workforce Development Board, Local Boards, regulatory agencies, and providers. Comment #112 — Can an enrolled Youth in a Title I Youth program enroll in ITAs on ETPL if they are over 18 or do they need to be enrolled as an Adult? Resolution —An ITA can be used for an Out -of -School Youth ages 16 to 24, Adults, or Dislocated Workers. In -school Youth cannot receive an ITA. Comment #113 — Who is responsible for uploading documents into the provider's profile? Resolution — Both the provider or the ETPL Coordinator have the ability to upload documents. Comment #114— ETPL Coordinatorjob qualifications need to be defined. Currently if an ETPL Coordinator is not the MIS Administrator, they are excluded from invitations to MIS Admin meetings and no alternative provisions are made to train new ETPL Coordinators. Resolution —To ensure Local ETPL Coordinators receive the training and support needed, the EDD will provide quarterly ETPL Coordinator webinars similar to the monthly MIS Administrator call. In addition, Local ETPL Coordinators can contact the State ETPL Coordinator and wsbetpi@gdd.ca.gov to request assistance. Comment #115 — Where would providers and/or Local Board staff go for resources on how to navigate the Provider Module in CaIJOBS? Resolution — Providers and Local Board staff can access the ETPL Guide Card, which is attachment 5 of this Directive. Local Board staff can also access the Provider Services User Guide located in the Staff Online Resources menu of CaIJOBS. Comment #116 — The "CRS" designation is confusing to both providers and staff as it is not spelled out or explained anywhere. Can this be removed if it is no longer relevant? Resolution —The state is currently working with the vendor to improve the ETPL module and make it more streamlined, and will look into removing the CRS designation. Comment #117 —What staff privileges are associated to changing the Local Board responsible for the provider on page 58 of the ETPL Guide Card? Resolution —This is available to any staff with an ETPL Coordinator account. Out -of -State Providers Comment #118 — Can out-of-state providers have training paid for through an ITA? Page 22 of 25 Resolution —All training providers, other than Distance Education training providers, that have training sites located only outside of CA cannot be listed on the CA ETPL. Local Boards cannot utilize an ITA with out-of-state training providers unless leveraging an approved ETPL reciprocal agreement. Please see ETPL Reciprocal Agreements (WSD22-08) for more information on the use of approved agreements. Comment #119 — Can WIOA funds be used for out-of-state provider training, as long as the provider is on the ETPL in the state where their headquarters is located? Resolution —AII training providers, other than Distance Education training providers, that have training sites located only outside of CA cannot be listed on the CA ETPL. Local Boards cannot utilize an ITA with out-of-state training providers unless leveraging an approved ETPL reciprocal agreement. Please see ETPL Reciprocal Agreements (WSD22-08) for more information on the use of approved agreements. Comment #120 —When Local Boards contract with an out-of-state provider, how is EEO monitoring conducted? What about going through a formal procurement process? Resolution —To align with 20 CFR 680.320, the directive has been updated to remove the ability for Local Boards to contract with a provider listed on another state's ETPL. All training providers, other than Distance Education training providers, that have training sites located only outside of CA cannot be listed on the CA ETPL. Local Boards cannot utilize an ITA with out- of-state training providers unless leveraging an approved ETPL reciprocal agreement. Please see ETPL Reciprocal Agreements (WSD22-08) for more information on the use of approved agreements. Pre -apprenticeships Comment #121— Do pre -apprenticeships need to meet placement? In the last Directive, this was spelled out. Resolution —Yes, the pre -apprenticeship programs that are on the ETPL need to meet the same standards as the other postsecondary programs. Comment #122—Suggestion to change pre -apprenticeship language to read: must provide training that "leads" to an industry -recognized credential or certificate. Resolution— No changes were made to the directive as a result of this comment. Comment #123—Can the state please elaborate on what Local Boards must require of pre - apprenticeship training in the building and construction trades, especially those related to Multi -Craft Core Curriculum (MC3)? Resolution — If WIOA funds are being used to send participants to a construction pre - apprenticeship, the state and Local Boards must ensure the pre -apprenticeships follow Multi - Craft Core Curriculum (MC3) standards. Comment #124— If pre -apprenticeships are not required to be on the ETPL, is their inclusion solely to use ITAs if it does lead to a credential? What does listed on ETPL and used in Page 23 of 25 conjunction with an ITA mean? I thought ITAs and ETPL went hand in hand. Is it possible to get a link to MC3 in the policy? If a pre -apprenticeship is listed on ETPL must it be connected with a Registered Apprenticeship Program? Resolution — Pre -apprenticeships are considered an individualized career service, and are not required to be on the ETPL. However, if a Local Area wants to utilize an ITA, the program must meet the requirements to be listed on the ETPL. The pre -apprenticeship must meet the definition of occupational skills training and award an industry -recognized credential. If it does not meet these requirements, it cannot be on the ETPL. In order to be eligible for the ETPL, pre -apprenticeships must have a Letter of Commitment from a DOL or DIR DAS apprenticeship. The last paragraph on page 8 states that Local Boards should prefer pre -apprenticeships that are partnered with DIR DAS Approved apprenticeships. Here (PDF) are some resources for understanding Multi -Craft Core Curriculum. Third Party Comment #125 — Isn't this third party subcontracting requirement applicable only to public colleges and universities? Resolution —This applies to both public and private provides accredited by WASC. Comment #126 — Why are only WASC-accredited institutions limited from providing courses via a third party if they participated in development of the curriculum and ensure responsibility for the curriculum by issuing the related credential? Resolution — WASC providers do not have their third party courses reviewed during accreditation. To protect WIOA funds, third party vendors that directly receive tuition fees are not allowed to provide training unless the third party vendor provider and program is on the ETPL. Comment #127—Can an accredited training provider sub -contract to another training provider, as long as that training provider is accredited by WASC? Resolution — If the subcontracted training provider is directly receiving payment, they must be listed as their own provider on the ETPL. Comment #128 — How do we determine which Local Board conducted continued eligibility for the provider? Resolution —The review record in CalJOBS will show which Local Board completed the review. Worker's Comp/Supplemental Job Displacement Benefit (SJDB) Comment #129 — Has this passage about removing Workers Comp providers been discussed with the agencies that currently use the ETPL (e.g. Worker's Comp, VA, DOR)? We have frequent requests from these agencies to verify and list their providers. Resolution —Yes, the state has discussed this language with other agencies. Comment #130 — ETPL Coordinators get a lot of calls for people looking for worker's comp voucher training. It seems that the worker's comp customers have to guess what to do, and Page 24 of 25 while this clarification in the Directive will give ETPL Coordinators a ready-made response as to why ETPL Coordinators can't assist worker's comp customers, it still leaves worker's comp customers with questions. Resolution —The DIR handles the administration of the Worker's Comp program, which includes informing those in the program of where they can use their voucher. State law requires that vouchers only be used for public schools or providers on the ETPL. Local Boards that receive questions from voucher holders should direct them to their employer, Claims Administrator, or the Department of Industrial Relations. Comment #131— What are some resources that Local Board staff can use for Worker's Compensation questions? Resolution —A few resources regarding Workers' Compensation include the EDD's ETPL webpage, which has a paragraph on Workers' Compensation, and Chapter 8 of the DIR's Handbook on the Workers' Compensation program. Page 25 of 25 ATTACHMENT 8 ERRATA CHRONOLOGY The Workforce Services Directive ETPL Policy and Procedures (WSD21-03) dated November 10, 2021 was revised with the following changes: Errata #1— On February 22, 2023, the following changes were made to the Directive: • Directive, Page 1 and Attachment 7, page 1 — Corrected the number of comments received from 135 to 131. • Directive, Pages 1-2 — Made updates to the References section, including: updated format to be in alignment with department guidance, added ETPL Reciprocal Agreements (WSD22-08), and replaced Performance Guidance (WSD19-03) with Performance Guidance (WSD22-01). • Directive, Page 4 and 5, and Attachment 1, page 7, 13, 15, and 21— Due to removal of Attachment 5, removed CaIJOBS ETPL Module Guide Card from list of attachments, changed references to "Attachment 5" to "located on the Staff Online Resources page in CaIJOBS," and updated references to Attachments 6 and 7 appropriately. • Directive Page 4 and 5 —Added Errata Chronology. • Attachment 1, page 7, Attachment 5, Page 1, and Attachment 7, page 13 and 23—Added language regarding the allowable use of an approved ETPL reciprocal agreement for Out - of -State Training Providers. • Attachment 1, page 9 and 10, Attachment 5, page 5 and 6, and Attachment 7, page 2 — In alignment with the commission's update, change the abbreviation for the Western Association of Senior College and University Commission from "WASC SCUC" to "WSCUC". • Attachment 1, page 10 and Attachment 4, page 1— Added sentence clarifying that the CA ETP Assurances Form (Attachment 4) is uploaded annually into the Documents section of the provider profile, prior to the provider's eligibility review. • Attachment 1, page 11 and Attachment 5, page 8 — Removed requirement for WSCUC providers to have their training program, location, and mode of delivery approved. • Attachment 4, page 2 — In the table, edited "ETPL Provider Number" to "ETPL Provider Name" and "ETPL Program Number" to "ETPL Program Name." • Attachment 5, page 1 — Simplified text from "Is the Training Provider headquartered and/or has at least one physical training site in CA?" to "Does the Training Provider have at least one physical training site in CA?" • Attachment 5, page 4 and 7 — Changed text from "Does the program offer occupational skills training that results in an industry -recognized credential?" to "Training Program leads to employment in a specific occupation or an industry recognized postsecondary credential?" Page 1 of 1 CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS GRANTS LOANS a!ld COOPERATIVE AGREEMENTS The undersigned certifies., to the best of hiscr her knowledge and belief, that: I ) No Federal appropriatedfunds have been paid or will be paid, by or on behalf of the undersigned, to any person for Irift'Liencing or attempting to influence an officer or -employee of any agency, a Member of Congress in connection with the awarding V any Federal contract, the -making of any Federal grant, the making of any Federal loan, the. entering into .ofarty, cooperative agreement, and the extenslon,continuattion, renewal, amendment, or modification ofany 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 W inluenolngi 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-oftongres's in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-l-LI., "Disclosure Form to Report Lobbying." in accordance with Its instructlons. 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 This certification is a. material representation of faotupon which reliance wass placed when this transaction was made or entered into, Submission of ftfs, certification is a prerequisite for making or entering into'this transaction imposed by al U.S.C. 1352. Any person who,fails to file the required certification shall be sub , ject.to a civil penalty of not less then $110,000 and not more than $100,000 for each such failure occurring on or before October 23, 1996, and of not less than $41,000 and not more than $110,000 for each such failure, Health8taff Training Institute Grantee/Contractor Organization Kishore, Mathran! Name of Certifying Official Signature EXHIBIT D Program Title DIVISION OF EMPLOYMENT SERVICES PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS Nomek RcglthStaff TraWrig, Institute Name. of Contractor- HopithStaff Tralft[qg Institute Contract Number: Date- May,17,,ZO28 The Contractor shall insert in thespace provldedbelow the sita(s) expected to be used for the prorlormanoe of work under the contract coveted by the certification; Place of Performance (include street address, city, county, state, zip code for each site): ,KQ Education, LLC 13.15.A, RoalthStaff Training Institute Addrese: 601 S, Milliken Ave., Suite A, Ontario, CA 917,01 1970 Old DMIn Ave., Suite C, Santa Ana, CA,-02705 27645 Jefferson Ave,, Suite 116, Temecula, CA 92,690 EXHIBIT E Certifloation Regarding Drug -Free Workplace Requirements The certification set out .below Is a material. representation upon which reliance is placed by the U.S. Department of Housing and Urban Development In awarding the grant. If his later determined that the contractor knowingly rendered a false certification, or otherwise Violates the requirements of the Drug -Free Workplace Act, the U.$, 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. CERTIFIOATION A. The contractor certifies that it will provide a drug -free workplace by: (0) 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 violailoa of sm, h prohibition; (b) Establishing a drug-frae awareness program to Inform employees about — (1) The dangers of drug abuse In the workplace; (2) The contractor's policy of maintaining a drug-fres workplace; (3) Any available drug counseling, rehabilitation, and employers assistance program-, and (4) The Penalties that may be Imposed upon employees for drug abuse VWatiohsdOCufrihg In the workplace;. (Ai. 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 aoondition 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 E (a) Notifying the U.S. Department of Housing and Urban Development within ton days after receiving notice under subparagraph (d)(2) from an employes 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 trioluding termination,,, or (2) Requiring such employee to participate satisfactorily In a drug abuse asststanoe or rehabilitation program approved for such purposes Icy Federal, State, or local health, law enforcement, or other appropriate agency;. (g) Making a good faith effort to continue to maintain a drug -free workpfooethrough Implementation of paragraphs (a), (b), (c), (d), (a) and (f), B. The contractor -shelf insert in the space provided on the attached 'Place of Performance" form the tito(s) for the performance of work to be carried out with the .grant funds Orreludlqq street address,ofty, county, state, and zip code,) the controotor further oortif !as that, if it Is subsequently determined that additional sites will be used for Tho perform - ance of work under the contraot, it shall notify the U.S. Department of Housing and, Urban Devolopmht Immediately upon the decision to use such additional sites by submitting a revised "Place of Performonce," form, 5/1 7L2023 Date noord M. Oporotor Signature eXHISIT E Certification RegarAin Debarment. Suspension. Ineligibility and )(olunLary Exclusion Lower Tier Covered Transactions This certification is reppired by, the regulations IMplementing Executive Order 12549, Debarment and Suspenslont 29011 Part 98, Section M5,10, PartWparits' Responsibilities. The regulations were published as PAMVIl of the May 1E, Mff, Federal Register (Peg" 19160-19211). (before ,completJngcertlffcation, read instructions which are an integral part of certification) 1. The prospective primary participant, (Le,grantee) certifies to the best of Its knowledge, and belief, that It and its pr[ridlipair a. Are not presently debarred, suspended, proposed fcirclfibarimmt, declared Ineligible, or voluntarily excluded from covered #orisaotlons by any federal department or agency; b, Have not within a three:year period precedirig this proposal been convicted or had a civil Judgment rendered agpinstthem for comMissl000f fraud orspr1mineloffeiise In connection with obtaining attempting to obtain, or performing a poblic(federal,state or [oral) transaction qt contract pridero public, transaction; violation offederal or state antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification Ot destruction of records, making.falsestatern.ents, or receiving stolen property. c. Are not presently indicted for orotherwise criminally or civilly charged by a government entity (federal, state or local) With COMMTS51011, Of Uhy,of the offenses enumerated In paragraph (11(h) of this certification; and, d. Have not withino three-year period preceding this, application/proposal had one or more public transactions (federal, state or local) terminated for cause or default. 2, Where the prospective lyrinnary participantils unable, to cordlyto any of the statements in this certificatlon, such prospective participaritshall attach an explanation to this proposal. On Behalf of the Grantee May 17, 2029 Date EXHIBIT F INSTRUCTION FOR CERTIFICATION 1. By signing and submitting this proposal, the prospective recipient of Federal assistance funds is providing the certification as set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective recipient of Federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the Department of Labor (DOL) may pursue available remedies, including suspension and/or debarment. 3. The prospective recipient of Federal assistance funds shall provide Immediate written notice to the person to which this proposal is submitted if at any time the prospective recipient of Federal assistance funds learns that its certification was erroneous whom submitted or has become erroneous by reason of changed circumstances. 4. The terms "covered transaction", "debarment", "suspended", "ineligible", "lower tier covered transaction", "participant", "person", "primary covered transaction", "principle", "proposal", and "voluntarily excluded", as used in this cause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to whom this proposal is submitted for assistance in obtaining a copy of those regulations. 5. The prospective recipient of Federal assistance funds agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared Ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the DOL. 6. The prospective recipient of Federal assistance funds agrees by submitting this proposal, that it will include the clause title "Certification Regarding Debarment, Suspension, Ineligible, or voluntarily excluded from the covered transaction unless it knows that the certification is erroneous. 7. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 8. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntary excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the DOL may pursue available remedies, including suspension and/or debarment, EXHIBIT F Assurances ,fit C:ertifleatons Selected providers will be required to sign and submit "actual" assurances and certificates as required by the City of Santa Ana and the Workforce Development Board on all contracts. I recognize that.I must give assurances for each item below, ,Please initial each bov indicating you have read and are providing assurance you are or will he in compliance with thefollowing: SAWDB uses true• CallOBs: ETPL Module for accepting applications from the providers to be listed ,on 'kite' BTPL, Local boards may authorize a single local board to act on their behalf in making deterin ia4ons for initial and/or subsequent eligibility of providers. Contraowrs must enter program(s) of training services into CalJOBS, The tmiuing provider should only eater to program(s) desired to be on the CA ETPL, If theprogram is offered with multiple modes of delivery, or course lengths, the program must be entered separately for eaolr variation, SA WDDhas authorized the South Bay WDB to make inifialand subsequent eligibility determinations for applications submitted from providers. Contractors should contact the South Bay WDB 11539 Hawthorne Blvd„ Ss' Floor, Hawthorne, CA 90250 310r970-7700. CONTRACTOR 4 required to bo In eomplimme with South Bay WDS NtWer agreement and SAWDB agreement. In cases where South Bay "WDB has denied a provider's application, provider may submit the application to SAWDB for consideration, and processing at 801 W. Civic Center Dr. #200, Santa Ana, CA 927,01 AT INt SAWDB Staff, The snbmiaSien.mnat include completed ETPL training Program applications artd a copy of the letter from the, South Bay WDB 4onying application. Local boards may establish :local policies requiring"performance above the state minimum standards for providers to be included on the ETPL, Acceptance and processing of an application da s not coustimtean, agreement or relationship between the COFACTOR and SAWDB, nor does it guarantee any refcrru4 to the provider by SAWDB. Appliowidns will Go process on an ongoing .basis. I CONTRACTOR must be. in ootrapliatkee with the State and .Federal regulations„ per Workforce Innovation and Opportunity Act (WICK) Eligible CONTRACTOR .List Policy ;and Procedure WSDIS-07 or it's replacement, CONTRACTORS must also meet one of the following oritoria in order to have their programs listed on the ETPL; 1) Bureau of Private Postsecondary Education Approval to Operate, or "Verification of Exemption by BPPE. BIBIT O 2) Accreditation by the Accrediting Commission for Senior Colleges and l7nivemities, WASC, or the Accrediting Commission for Community and hi for Colleges, CSU, UC, and other WASC accredited institutions. This accreditation can be verified at: www aooic.ora/ or www.wasesenior ow. 3) Postsecondary iustitutions oligible under Title IV of the ku$her Education Act (HEA) and of eeng p tognmrs leading towardan associate degree, baccalaureate degroe, or oertiiicato, 4) Approval by the California Department of Education,. 5) Approval by the Chancellor's Oflxoe of the California 'Community Colleges (CCCCO). CONTRACTOR must to be considered forrsubsequent approval on the ETPL and agrees to provide the required porfooamiea and cost information data. CONTRACTOR must annually meet the staWs minimum performance standards, however the SAWDB may sot higher levels. Public Postsecondary Community Colleges, CSUs, and UCs are required to provide performance information forconsideration of placement on the CABTPL, but due to heavy state ovoraight, investment, and the inability ,to capture true program outcome data, these y institution types arenot required to meet a speoifioperformance threshold to be listed on the CA ETPL. CONTRACTOR's BPPE.acerodited*all provide, a copy of thoprovider's BPPE Annual Report (the Performance Fact Sheet) to document their achlevouront oftlto performance criteria if applicable, ALI, Training on the ETPL must be, far occupations in Im' -demand industry sectors identified by the state, regional orto, eat worklorce•devolopment boards. AllTrainingonthoETPLmustprovidetrairringservicesthatloadto an industry-rocogn?zedcredential, national or state certificate, -or degree, including all industry appropriate competencies, licensing t andlorcertification requironicnts, L�J CONTRACTOR understands that all performance data and data submitted on the ETPL musthe made available for data verification by the SAWDB or the State EDD offrm CONTRACTf)it'tnnstmalutain all the releuact. records utilizedto, support the data submitted ou BTPL for audit or monitoring purposes by the SAWDB or the State EDO, offioo, CONTRACTOR that claim an oaeraiption to l3PM (Section .94874 of the BPPE Act), must apply and receive a "Verification of Exemption" before being listed on the ETPL, Since it has been determined that any expenditure of public funds, .state or federal, that directly benefits a student to be. q student financial assistance; we expect that instances of oxomptfonwiillbe very rare. LJ CONTRA.CTORmusthave all considered training programs listed with the BPPB, the SAWI)B may veftlre data thatwas submitted to BPPB. All new and. current CONTRACTOR will be required to be registered in Cal7OBSam and must have all cons ideredtraining ptograms listed with the BPPE match on Cal7OB& All CONTRACTOR are requited to enter performance data for each program to be listed on the ETPL grid provide evidence to the: Local Board that they have met the minimum performance oriteria required Programs that do not include performance data will not be approved for listing onthe ETPL. BXHWIT G CONTRACTOR must have their correct course catalogs on file with the SAWDB. CONTRACTOR agrees to immediately notify (within 10 working days) the SAWDD, in writing, of any changes in the information submitted with initial agreement. CONTRACTOR agrees to accept WIOA eligible referrals from the Santa Ana WORK Center on an individual referral basis. CONTRACTOR shall not accept nor enroll VWA participants who do not meet the CQNTRAcToWs entrance requirements, which are to be the same general entrance requirements ". uited of public, 8tudonts,and agrees to submit a w—littoo notification to the Santa Ana WORK Center's Case-Mmager stating the reasons) for noir-acoeptance. CONTRACTOR agrees to assist the VVIQA client in applying for PML Grants and any other fonds that might he %vall4hlo to o5get the cost to WIOA, and to work together with the WTOA client's Case Manager to ensure & other funding sources are invosOpW and those funds obtained before submitting the Vendor Voucher to the,SAWM, for payment. CONTRACTOR agrees to cross ontsections Qfthe student enrollmentM athat would hold the WIOA participant flusnoially responsible for any training related expenses. Once accepted, CONTRACTOR agrees to enroll the WTOA participant in the course stipulated ohthe Vendor Voucher ad no CONTRACTOR agrees to in'voloo the Santa Ana WORT{. Center, on a cost reimbursement basis, for third party Mgg& (Microsoft'; Novell„ A+, etc.) andwill provide a copy of the PasWXWI results at that time. Pre-Appumdooship CONTRACTORS must include a letter of oommitment from an approved apprenticeship program , and meet the application policies And procedures required for the type of program community college, private post -secondary, adult education provider, etc.). CONTRACTOR Apprenticeship, Programs registered under tho Naflonal Apprenticeship Act (NAA) or recognized by DIRIDAS = exempt from initial eligibility procedures. Registered apprenticeship programs must be included and maintained on the list of eligible providers of training services as long as the oorrosproadiag program remains registered, as described at WTOA sco. 122(o)(3), CONTRA CTOR agrees to allow'SAWDB, Santa Ana (NORTH Center, the. State of California, and the Department of Labor, the VnQA olloat and any of their duly authorized representatives' access to all the Tword& regarding the W10A client for monitoring purposes, The records include any books, documen rightht to teaotds includes the right to mako excerpts, ttanseripts and pllatocopies The right ales s, paporsn files and computer data directly pertinent to the reccirds of the WIOA participant. 16 es the includes CONTRACTOR agrees to provide egress ropotft which indicate grades and score d attendance roqm to the , YhOA Manager on a monthly basis, _ scores as well as CONTRACTOR agrees to notify the WIOA client's Case, Manager immediately (within 5 working, days) ifthe WIOA client is absent for more than � days in a row, has sporadic attendance or drops out of school unlessother atXangememaremade in writing. CONTRACTOR agrees toprovido a copy of the "reimbursement form!' and issue a refund check to the "City of Santa Ana�'fbr the number of unused training hours and any non -issued trainixig/testing vouchers, books, tools, etc. duo within 30 calendar days aftertho last day the WIOA allout attended school or the day the school was not4vil that the, WIOA cliont dropped. Said check to be mailed to the attention ofthe WIOA Case Manager, 801 W Civic Center Dr., 020% Santa Ana, CA 9270 1, CONTRACTOR agrees to provide the WIOA Case Uanagoral copy ofthe WJOA clicat's certificate ofcQmplo0on,o.r.diploma .or. official transcripts within 10 working days of the date of completion or graduation. CONTRACTOR agrees to provide the WIOA client with the sairis level of job search/placement assistance as provided to the pAlle students and to, provide the WIOA Case Manager with all the Derfincut Wormation regarding the t)lstopmom ofthe WIOAclioutwithfii 5 working days of the WIOA lam authorized byrryBoard of'Dinotors, Trustees, other legally qualified offfoori ores the owner of this agency Or boln"s to submit this proposal. CONTRACTOR is act currently On any Fa0m), State of California, or local Debarment list. * CONTACTOR will provide records to show that woaftfisoft solvent, If needed. CONTRACTORbas, or will have, all oftboflsoal control and accounting procedures needed to ensure that WIOA funds will be used as required bylaw and contract. CONTRACTOR has additional funding sources and wiWant berdependent on WICA farids alone, CQZ �-CTQR -will meet the -applicablo rederid, State, and Wool compliance requirements. These include, but are not limited to: Records 400umtoly reflect actual performance if 'appricable. Maintain record confrdoutfaity, as required. Reporting fmancial, parhpipaK and performance data, as required. Comply Witt $Ute o0odord fiscal and program activity audits. Complying -with Fodorw and StAto Meeting requirements of Section 50.4 of the XoWlitation Act of 197$, Meeting requirements of *PAmcrlPaW#w-6 Disabilities Act of 1990. (submit completed survey) EXIMU 0 Meeting all applicable labor law, including Child Labor Law standards. Agree: toprovide adrug fi,,.,eworkplao. Agree to Insure the City of Santa Ana through General Liability Insurance and Automobile Liability coverage in the amount oWfi00,000.00 polq4 IE Agree to provide all participants with Grievance Procedures, Agroo. to Insmo proposef's employees through Workers Compensation Insurance (hicludingpart-time employees) 0 Procurement policies and procedures are inplace and meet federal guidelines. CONTRACTOR will not 10 Use WJOA money to awist, promote, or deter union, orgaoizipg, Use funds To employ or train of persons in sectarian activities. Use funds for youth in the oonstructiou, operation, Or maintenance of any part of a facility to be used for sectarian instruction or religious worship, Use WICA monoyunder this counact to purchase my equipment Thereby assure that all otthe above are true. Data COMPLAINT HANDLING UNDER THE Workforce Innovation Opportunity Act Santa Ana Local Workforce Development Area Revised March 10, 2023 E, XHIBIT H Table of Contents Information Regarding Complaints 3 A. Nondiscrimination and Equal Opportunity Complaints 3 1. Policy Statement 3 2. Civil Rights 4 3. Nondiscrimination laws under WIOA 4 4. How to File Your 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 LWDA 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 Disability Complaints by Participants 17 GLOSSARY OF WIOA TERMS 20 EXHIBIT H Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Innovation Opportunity Act (WIOA), the City of Santa Ana Local Workforce Development Area (LWDA) will establish programs to prepare youth and unskilled adults for entry into the labor force and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing WIOA, all contractors in the Santa Ana LWDA will foster equal opportunity and non-discrimination, as provided in State and Federal equal opportunity and non-discrimination laws including, but not limited to: • Title VI of the Civil Rights Act of 1964 • Title VII of the Civil Rights Act of 1964 • The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section 188 of the Workforce Innovation Opportunity Act of 2014 In keeping with our commitment, no individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIOA funded program because of race, color, religion, sex, national origin, age, disability, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIOA shall be open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugee, parolees, and other individuals authorized by the Attorney General to work in the United States. No individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing information, or assisting or participating in any manner in an investigation, compliance review, hearing or any other activity related to the administration of WIOA. EXHIBIT H Administration responsibility for this Equal Opportunity/Affirmative Action (EO/AA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana local Workforce Development Area. Equal opportunity and non- discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal Opportunity Program. Civil Rights No one applying for or enrolled in the Workforce Innovation Opportunity Act (WIOA) programs may be discriminated against because of race, color, creed, disability, national origin, sex, age, political affiliation, or beliefs. This means that — for any of the characteristics listed above: • You may not be denied the opportunity to enroll in WIOA. • No benefits or services may be denied you for discriminatory reasons. • You may not be segregated or treated any differently from other applicants or participants, while you are being registered, interviewed, counseled or tested; or while you are working or attending classes as part of the program. • You must be provided an equal chance to use all facilities available in the program. • Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in any way be penalized for filing a complaint. Your WIOA sponsor has established a mechanism for handling complaints and grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3. Nondiscrimination Laws under WIOA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Age Discrimination Act of 1975 Prohibits arbitrary discrimination against persons' age 40-70. The Rehabilitation Act of 1973 EXHIBIT H Prohibits discrimination based on disability. Title IX of the Education Amendments of 1972 Prohibits discrimination in any education or training program or activity receiving federal financial assistance. OTHER CIVIL RIGHTS LAWS: Title VII of the Civil Rights Acts of 1964 Prohibits discrimination in employment based on race, color, religion, sex, or national origin in all terms and conditions of employment and establishes the Equal Employment Opportunity Commission as the administrative agency. White House Executive Order no. 11246 as Amended by Executive Order No 11375 Creates the office of Federal Contract Compliance and prohibits discrimination based on race, color, sex, religion, or national origin. Department of Labor Secretary's Order no. 4-73 Prohibits discrimination based on sex. Equal Pay Act of 1963 Prohibits pay differential solely because of sex. Emergency Employment Act of 1971 Prohibits discrimination based on race, creed, national origin, political affiliation, or beliefs. 4. How to File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if possible. c. Provides details that tell what happened, where it happened and when it happened. d. Give the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation and citizenship, must be filed within 180 days of the alleged occurrence directly with: EXHIBIT H Director Civil Rights Center U.S. Department of Labor, Room N-4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of disability must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIOA administrative entity. The WIOA administrative entity shall issue a written decision within 30 days of the filing of the complaint. If the complaint is still unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal Employment Opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INNOVATION OPPORTUNITY ACT Santa Ana Local Workforce Development Area 801 W. Civic Center Drive, Suite 200 Santa Ana, CA 92701 (714)565-2600 B. Criminal Complaints In accordance with the WIOA and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report fraud, abuse and other criminal activity. All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." II. General Procedures for Handling Non -Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 186 through 188 of the WIOA regulations, and Section 181 of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWDA level for the receipt, investigation, hearing, and resolution of complaints by WIOA participants, sub EXHIBIT H recipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non -criminal complaints arising from the operation of the Santa Ana LWDA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIOA programs operated by each LWDA grant recipient and sub recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIOA complaint process (i.e., disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non-WIOA complaint. Also, these procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion Procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. A. The following principles and rules apply to all complaints at all steps of the complaint procedures: 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. EXHIBIT H A "participant", within the meaning of these procedures, is an individual who receives employment -training services under a program funded by Santa Ana LWDA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve disputes participant as defined herein. 5. If a complaint does not receive a decision at the LWDA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor. 6. Complainants must initially file and exhaust LWDA grant recipient/hearing procedures prior to appealing to the State except where the State determines that the LWDA grant recipient's procedures are not in compliance with the State's procedures. III. Procedures for Handling Complaints at the LWDA Level A. Receipt Complaints Pursuant to the WIOA regulations found at 20 CFR, Section 683.600, the LWDA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs in the LWDA. "LWDA level" encompasses LWDA administrative entity and employers to which the administrative entity has delegated the complaint resolution process. The following comprise the guidelines for resolving issues arising in connection with WIOA programs operated by the Santa Ana LWDA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, investigations or monitoring reports. 1. Form and Filing of Compliant Official filing date of the compliant is the date the written complaint is received. The filing of the complaint with the Santa Ana LWDA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following information: a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); c. Clear and concise statement of facts including dates constituting alleged violation; What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; EXHIBIT H e. Remedy sought by the complainant; and f. If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step. 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWDA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint. Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. a. The EEO Officer will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. b. Although the complainant should be encouraged to attend this conference, his/her failure to do so should not preclude his/her right to request a hearing on the matter. c. If mutually satisfactory resolution results and the Santa Ana LWDA concurs, the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed. d. If resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he/she so desires. 3. Request for Hearing a. As in the case of the complaint, the request for a hearing should be put in writing and be filed in person or by mail. A governing board resolution of authorization to appeal should also be submitted when appropriate. The request should be filled with: Daniel Durham Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714)647-5330 EXHIBIT H b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten-day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWDA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: 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 LWDA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment to the circumstances presented. 1. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWDA or its sub recipients. The hearing officer will be selected from a list of names on file with the EEO Officer. 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. 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. so EXHIBIT H 4. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. 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. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing. 9. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWDA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Development Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWDA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and issues related to the alleged violation. 3. A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action, if any, to be taken. 6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. 11 EXHIBIT H D. Record of Hearing An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWDA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWDA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three- year period after the grant has been officially closed out. The Santa Ana LWDA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 683.600, each employing agency including private -for -profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWIDA's established procedures under Section 683.600. At a minimum these procedures must include: Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice, at the time the grievance is filed, of the procedures under which the grievance will be processed. 3. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the filing of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWDA and the State Review Panel in accordance with Section 683.600. IV. Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIOA regulations at 20 CFR, Section 683.600 (d) requires the Governor to establish a State Review process of complaints filed at the LWDA grant recipient level and of complaints initially filed at the State level. Appeals of decisions issued at the LWDA level including audit disallowances and sanctions shall be reviewed by the State Review Panel. The State Review Panel shall review the record 12 EXHIBIT H established at the LWDA level and shall issue a decision based on the information contained therein. Complaints which may be initially filed at the State level will be heard by an independent hearing officer designated by the State Workforce Investment Division (WID). The hearing officer shall conduct a hearing and issue a recommended decision to the State Panel. The recommended decision shall be in writing and may be accepted, rejected or modified by the State Review Panel. A. Form and Filing of Complaint. 1. Request for State Review of LWDA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review. 2. Filing of Requests for State Review The State Review Panel shall review all LWDA level decisions when a request for review is filed within 10 days of receipt of the adverse decision. Such requests must be filed in writing with the Chief of the WID Office. The request for review should contain the following information: a. Full name, address, and telephone number of the party requesting the review b. Full name, address, and telephone number of the other party c. A copy of the decision d. Brief statement of reasons for review or the section of the LWDA decision to be reviewed including regulatory and statutory citations e. A statement of the 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 LWDA 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 LWDA. It shall be the responsibility of the LWDA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 1. Request for Hearing at the State Level 13 EXHIBIT H If no decision has been issued at the LWDA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The hearing officer will then Issue a recommended decision to the State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWDA should have issued a decision or ten (10) days after the issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the WID in writing and should include the following: a. Full name, address, and telephone number of the LWDA b. Name, address, and telephone number of the LWDA C. Copies of complaints made at LWDA level from which no decisions were issued or sanctions and imposed. d. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. The hearing will be recorded mechanically or by court reporter. Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses in support of his/her position, to present oral and/or written arguments, to examine records and documents relevant to the issue(s), and to be represented. The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor C. State Review Panel The State Review Panel will consist of a panel of three representatives from the Employment Development Department: one from the Legal Offices, one from the WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. 14 EXHIBIT H Decisions issued by this panel, under the authority of the Governor, are final. D. Issuance of State Review Decision. The State review will be limited to violations of the WIOA, implementing WIOA regulations or the grant agreement. This review shall be limited to the record established at the LWDA hearing. V. Procedures for Handling Discrimination Complaints by Participants. A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. 1. It is the responsibility of the Santa Ana LWDA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWDA's procedure under Section II (A). 15 EXHIBIT H No later than 180 days of alleged discrimination Within 10 days of receipt of unsatisfactory decision or 10 days from date LWDA decision should have been issued. Handling of complaints filed at LWDA level arising in connection with WIOA programs operated by LWDAs Informal Resolution Process Filing of Complaint/Request for Hearing Notice of Hearing Issued by LWDA Hearing Conducted LWDA Decision within 60 days Unsatisfactory Decision or LWDA Decision not issued within 60 days Request for State Review Governor's Decision issued by State Review Panel If no decision issued by State Review Panel Appeal to DOL 16 EXHIBIT H 0 v ❑ N 0 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: Daniel Durham Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714)647-5330 VI. Procedures for Handling Disability Complaints by Participants Complaints alleging discrimination on the basis of disability will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32. 1. Complaints must exhaust the Santa Ana LWDA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his/her complaint. A. Procedures at the LWDA Level The complainant shall file his/her complaint directly with the Santa Ana LWDA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWDA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. B. Procedures at the State Level 1. The complainant may appeal to the State if he/she is not satisfied with the decision of the Santa Ana LWDA. v EXHIBIT H 2. The Complainant must file his/her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWDA's decision. 3. The Chief-WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his/her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. 18 EXHIBIT H No later than 180 days of alleged discrimination Filed within 30 days of LWDA/State Decision or 90 days from date of initial filing of complaints Filing of complaint on the basis of Disability with LWDA Informal Resolution If no resolution reached Request for Hearing Notice of Hearing Hearing Conducted LWDA Decision Unsatisfactory Decision or No Decision State Review Governor's Decision Appeal to Assistant Secretary Department of Labor 19 EXHIBIT H Day 1 Day145 Day 60 Days GLOSSARY OF WIOA TERM AGE DISCRIMINATION ACT — A law passed by Congress in 1975 which prohibits discrimination on the basis of age by any program or activity receiving Federal Funds. APPLICANT — An individual who applies to a subrecipient or contract for services provided under WIOA and who has not yet transitioned to the status of participant. ASSESSMENT — Services designed to determine each participant's employability, aptitudes, abilities and interests and to develop a plan to achieve the participant's employment and related goals; also to identify the available employment and traning activities appropriate for the participant. Testing and counseling may also be used during assessment process. CHARGING PARTY (CP) COMPLAINANT GRIEVANT OR AGGRIEVED PERSON — The person who charges that he/she has been discriminated against under Department of Justice nondiscrimination and civil rights regulations and/or guidelines. DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the effect of an action, policy or practice which selects an individual or class of persons to receive unequal treatment. ELIGIBLE NON -CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees, and parolees and other individuals authorized by the Attorney General to work in the United States. EMPLOYER — An employer subject to the provisions of the Civil Rights Act of 1964, as amended, including state and local governments and any Federal agency subjects to the provisions of Section 717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by executive Order 11246, as amended. GRIEVANCE — An allegation that something imposes an illegal obligation or burden or denies some equitable or legal right, or causes injustice . INDIVIDUAL WITH A DISABILITY — Any individual who has a physical or mental disability that constitutes or results in a substantial challenge to employment. INTAKE — Includes screening to determine eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT — A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in employment and other practices and pattern or practice "joint complaints" are normally investigated by OCR. 20 EXHIBIT H JURISDICTION — Authority to investigate and resolve complaints against an institution subject to a law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc. PARTICIPANT — Any applicant who has: (1) Been determined and (2) Who is receiving subsidized employment, training services) funded under the Act, following intake, except for an and/or intake and assessment services. 21 EXHIBIT H eligible for participation upon intake; or services (except post -termination individual who receives only outreach HmTHSTAFF TRAINING INSTITUTE 05/18/2023 City of Santa Ana Risk Management Division 20'CIVIO Center Plaza Santa Ana, CA 02702 Re: Auto, Insurance Requirement Dear City of Santa Ana Risk Management Division: KID Education, LLC dba Health Staff Trainlag Institute has Intent to enter Into an agreement with the City of Santa Aria. Throughout the course of this agreement, KD Education, LLC attests to the following: I. KD Education, LLC, will not use/drive any vehicle during the course and scope of the services provided In the 2, KD Education, LLC will not use any awned/rented/leased vehicles during the, course and scope of the services provided In, the Ogrearnent(contract. 3. KO Education, LLC WhOMtOnts1independent contractors/employees utilize their personal, vehicles/non-company owned, borrowed, or rented/leased vehicles for transportation to and from work, and if applicable carry their own automobile Insuranm, By siginfing, below, 1, Kish2re Mathrani attest that I possess the legal authority to enter into an agreement with the City 'of Santa Ana as; Wall as the legal authority to attest to the statementsabove. If at any the it is. found that KD Education, LLC Is not adhering to any/all statements in this document and has not provided the minimum Auto liability Insurance coverage of $1 rrAllon per crocurranco,theccintract will be considered null and void and the company Will be held fully liable for any and all damages. vt�7 KIshore, Mathrani CEO KO Education, LLC.dlbla HealthStall"Training Msfitute EmallAddress: KJshore.M@HealthStaffTraining.com Contact Phone: (909) 321-5778 Cazarez, Juan From: City of Santa Ana <certificate-request@ctrax jdidata.com> Sent: Tuesday, February 21, 2023 1:32 PM To: teri.f@healthstafftraining.com; Goodson, Audrey; mark@huntpacificinsurance.com Subject: Internal Notice of Compliance NOTICE OF COMPLIANCE CITY STAFF; PRINT THIS PAGE AND INCLUDE WITH AGREEMENT TO THE CLERK OF THE COUNCIL Contractor KD Education, LLC Name: Project A-2020-194-08 Number: Project Agreement For Workforce Training Name: The Certificate of Insurance (COI) submitted indicates that the coverages are in compliance with the insurance requirements. No further action is required at this time, The compliant GENERAL LIABILITY PAC461402801 02/02/2024 01/23/2023 WORKERS COMPENSATION AND EMPLOYERS' LIABILITY EIG219667208 02/02/2024 01/23/2023 Thank you, City of Santa Ana Risk Management Division in partnership with CTrax Plus Services Team 2/21/20234:31 PM Healthstaff Training GL 02.02.2024.pdf Healthstaff Training GL ' 02.02.2024.pdf 1 NOTICE OF COMPLIANCE CITY STAFF: PRINT THIS PAGE AND INCLUDE WITH AGREEMENT TO THE CLERK OF THE COUNCIL Contractor KD Education, LLC Name: Project A-2023-069-01 Number: Project Agreement for Workforce Training Name: The Certificate of Insurance (COI) submitted indicates that the coverages comply with the insurance requirements. The compliant coverage(s) are: TYPE OF INSURANCE AUTOMOBILE LIABILITY GENERAL LIABILITY PROFESSIONAL LIABILITY POLICY EXPIRATION COI DATE FILE NAME NUMBER DATE Healthstaff 02/12/2024 Auto Liability - City of Santa Ana.pdf 01/25/2024 City of Santa Ana (1).pdf 02/12/2024 Healthstaff 02.02.2025.pdf WORKERS COMPENSATION AND EIG219667209 02/02/2025 01/25/2024 Healthstaff EMPLOYERS' LIABILITY 02.02.2025.pdf No further action is required at this time. Thank you, City of Santa Ana Risk Management Division in partnership with CTrax Plus Services Team 2/14/2024 12:24 P WAIVER 01/10/2025 T PAC461402809 02/02/2025 PAC461402809 02/02/2025 �� CERTIFICATE OF LIABILITY INSURANCE DATE (MM/DD/YYYY) 2/12/2025 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must have ADDITIONAL INSURED provisions or be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER Inszone Insurance Services, LLC 2721 Citrus Road, Suite A Rancho Cordova, CA 95742 CONTACT NAME: Certificate Team PHONE FAX A/C No Ext : 877-308-9663 vc, No): 916-400-2625 ADDRESS: certs@inszoneins.com INSURER(S) AFFORDING COVERAGE NAIC # INSURERA: Great American Assurance Company 26344 License#: OF82764 INSURED KDEDUCA-01 KD Education, LLC DBA: Healthstaff Traing Instit INSURER B: Great American Alliance Ins. Co. 26832 INSURER C : Employers Preferred Insurance Company 10346 INSURER D: Great American Insurance Company 16691 601 S. Milliken Ave., Ste. A Ontario, CA 91761 INSURER E : INSURER F : COVERAGES CERTIFICATE NUMBER:331136613 REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR LTR TYPE OF INSURANCE ADDL I SUBR POLICY NUMBER POLICY EFF MM/DD/YYYY POLICY EXP MM/DDIYYYY LIMITS A X COMMERCIAL GENERAL LIABILITY Y Y PAC 4614028 10 2/2/2025 2/2/2026 EACH OCCURRENCE $ 1,000,000 CLAIMS -MADE OCCUR DAMAGE TO RENTED PREMISES Ea or $ 100,000 X MED EXP (Any one person) $ 5,000 Prof Liability PERSONAL & ADV INJURY $ 1,000,000 GEN'L AGGREGATE LIMIT APPLIES PER: GENERAL AGGREGATE $2,000,000 POLICY ❑ PRO ❑ JECT LOC X PRODUCTS - COMP/OP AGG $ 2,000,000 $ OTHER: A AUTOMOBILE LIABILITY PAC 4614028 10 2/2/2025 2/2/2026 COMBINED SINGLE LIMIT Ea accident $ 1,000,000 BODILY INJURY (Per person) $ ANY AUTO OWNED SCHEDULED AUTOS ONLY AUTOS BODILY INJURY (Per accident) $ X PROPERTY DAMAGE Per accident $ HIRED X NON -OWNED AUTOS ONLY AUTOS ONLY B X UMBRELLALIAB X OCCUR Y UMB 3962500 04 2/2/2025 2/2/2026 EACH OCCURRENCE $ 1,000,000 AGGREGATE $ 1,000,000 EXCESS LIAB CLAIMS -MADE DED RETENTION $ $ C WORKERS COMPENSATION AND EMPLOYERS' LIABILITY YIN ANYPROPRIETOR/PARTNER/EXECUTIVE EIG219667210 2/2/2025 2/2/2026 X PER OTH- STATUTE ER E.L. EACH ACCIDENT $ 1,000,000 OFFICER/MEMBER EXCLUDED? ❑ NIA E.L. DISEASE- EA EMPLOYEE $ 1,000,000 (Mandatory in NH) If yes, describe under DESCRIPTION OF OPERATIONS below E.L. DISEASE- POLICY LIMIT $ 1,000,000 B Excess Liability EXX F293929 00 2/2/2025 2/2/2026 Aggregate/Occurrence $1,000,000 D D Abuse & Molestation PAC 4614028 10 PAC 4614028 10 2/2/2025 2/2/2025 2/2/2026 2/2/2026 Ea Abuse Aggregate $300,000 $500,000 DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if more space is required) Additional Insured on the General Liability. Primary and Non -Contributory with a Waiver of Subrogation on the General Liability. Waiver of subrogation for the workers comp to follow.. The aforementioned coverage is provided to the extent in the attached forms for: City of Santa Ana, its officers, employees, agents and representatives per attached endorsements. Tu Tran TuTrall Ngu en APPROVED Tu Tran Nguyen D53258Z0Nguyen O9 40'0' By Tu Tran Nguyen of 9:15 am, Feb 20, 2025 CERTIFICATE HOLDER CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN City of Santa Ana ACCORDANCE WITH THE POLICY PROVISIONS. Attn: Audrey Goodson AUTHORIZED REPRESENTATIVE 801 W. Civic Center Dr., Ste 200 Santa Ana, CA 92701 / @ 1988-2015 ACORD CORPORATION. All rights reserved. ACORD 25 (2016/03) The ACORD name and logo are registered marks of ACORD S1 * 02/05/2025 * PAC 4614028 10 GREAT AMERICAN ASSURANCE COMPANY *D/B* 754023927 178469 CG 20 26 (Ed. 12/19) THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED - DESIGNATED PERSON OR ORGANIZATION This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART SCHEDULE Name Of Additional Insured Person(s) Or Organization(s): CITY OF SANTA ANA 20 CIVIC CENTER PLAZA SANTA ANA, CA 92702 Information required to complete this Schedule, if not shown above, will be shown in the Declarations. A. Section II - Who Is An Insured is amended to include as an additional insured the person(s) or organization(s) shown in the Schedule, but only with respect to liability for "bodily injury", "property damage" or "personal and advertising injury" caused, in whole or in part, by your acts or omissions or the acts or omissions of those acting on your behalf: 1. In the performance of your ongoing operations; or 2. In connection with your premises owned by or rented to you However: 1. The insurance afforded to such additional insured only applies to the extent permitted by law; and 2. If coverage provided to the additional insured is required by a contract or agreement, the insurance afforded to such additional insured will not be broader than that which you are required by the contract or agreement to provide for such additional insured. B. With respect to the insurance afforded to these additional insureds, the following is added to Section III - Limits Of Insurance: If coverage provided to the additional insured is required by a contract or agreement, the most we will pay on behalf of the Additional Insured is the amount of insurance: 1. Required by the contract or agreement; or 2. Available under the applicable limits of insurance; whichever is less. This endorsement shall not increase the applicable limits of insurance. © Insurance Services Office, Inc., 2018 CG 20 26 (Ed. 12/19) (Page 1 of 1) * S1 * 02/05/2025 * PAC 4614028 10 GREAT AMERICAN ASSURANCE COMPANY *D/B* 754023927 178469 CG 89 70 (Ed. 11/14) THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. SIGNATURE GENERAL LIABILITY BROADENING ENDORSEMENT This Endorsement modifies and is subject to the insurance provided under the following form: COMMERCIAL GENERAL LIABILITY COVERAGE PART The following extension only applies in the event that no other specific coverage for the indicated loss exposure is provided under this Policy. If other specific coverage applies, the terms, conditions and limits of that Coverage are the exclusive coverage applicable under this Policy, unless otherwise noted in this Endorsement. This is a summary of the various additional coverages and coverage modifications provided by this Endorsement. For complete details on specific coverages, consult the actual policy wording. Coverage Description Limit of Insurance Page Non -Owned Aircraft Included 2 Non -Owned Watercraft Included 2 Bodily Injury - Mental Injury, Mental Anguish, Humiliation or Shock Included 3 Medical Payments $ 20,000 3 Damage to Premises Rented to You $ 1,000,000 3 Supplementary Payments - Bail Bonds $ 3,000 4 Supplementary Payments - Loss of Earnings $ 1 ,000 per day 4 Newly Formed or Acquired Organizations Included 4 Unintentional Failure to Disclose Hazards Included 5 Knowledge of Occurrence, Claim or Suit Included 5 Property Damage Liability - Elevators Included 5 Property Damage Liability - Borrowed Equipment Included 5 Liberalization Clause Included 6 Amendment of Pollution Exclusion (Premises) Included 6 Limited Property Damage to Property of Others $ 5,000 6 Additional Insured - Manager or Lessor of Premises Included 7 CG 89 70 (Ed. 1 1/ 14) (Page 1 of 12 ) S1 * 02/05/2025 * PAC 4614028 10 GREAT AMERICAN ASSURANCE COMPANY *D/B* 754023927 178469 Coverage Description Limit of Insurance Page Additional Insured - Funding Sources Included 7 Additional Insured - By Contract Included 8 Primary and Non -Contributory Additional Insured Extension Included 10 Additional Insureds - Protection of Your Limits Included 10 Blanket Waiver of Transfer of Rights of Recovery Against Others to Us (Subrogation) Included 11 Property Damage Extension With Voluntary Payments $ 1,000/$ 5,000 11 Who Is An Insured - Fellow Employee Extension - Management Employees Included 12 Broadened Personal and Advertising Injury Included 12 A. Non -Owned Aircraft Under paragraph 2. Exclusions of SECTION I - COVERAGE A - Bodily Injury and Property Damage Liability, exclusion g. Aircraft, Auto or Watercraft does not apply to an aircraft provided: 1. it is not owned by any insured; 2. it is hired, chartered or loaned with a trained paid crew; 3. the pilot in command holds a currently effective certificate, issued by the duly constituted authority of the United States of America or Canada, designating him or her a commercial or airline pilot; and 4. it is not being used to carry persons or property for a charge. However, the insurance afforded by this provision does not apply if there is available to the Insured other valid and collectible insurance, whether primary, excess (other than insurance written to apply specifically in excess of this Policy), contingent or on any other basis, that would also apply to the loss covered under this provision. B. Non -Owned Watercraft Under paragraph 2. Exclusions of SECTION I - COVERAGE A - Bodily Injury and Property Damage Liability, subparagraph (2) of exclusion g. Aircraft, Auto or Watercraft is replaced by the following: This exclusion does not apply to: (2) A watercraft you do not own that is: (a) less than 60 feet long; and CG 89 70 (Ed. 1 1/ 14) (Page 2 of 12 ) * S1 * 02/05/2025 * PAC 4614028 10 GREAT AMERICAN ASSURANCE COMPANY *D/B* 754023927 178469 (b) not being used to carry persons or property for a charge. C. Bodily Injury - Mental Injury, Mental Anguish, Humiliation or Shock Under SECTION V - DEFINITIONS, Definition 3. is replaced by the following: 3. "Bodily Injury" means physical injury, sickness, or disease, including death of a person. "Bodily Injury" also means mental injury, mental anguish, humiliation, or shock if directly resulting from physical injury, sickness, or disease to that person. D. Medical Payments If Coverage C Medical Payments is not otherwise excluded, the Medical Payments provided by this Policy are amended as follows: The Medical Expense Limit in paragraph 7. of SECTION III - LIMITS OF INSURANCE is replaced by the following Medical expense Limit: The Medical Expense Limit provided by this Policy shall be the greater of: a. $ 20,000; or b. the amount shown in the Declarations for Medical Expense Limit This provision 7. is subject to all the terms of SECTION III - LIMITS OF INSURANCE. E. Damage to Premises Rented to You If Damage to Premises Rented to You is not otherwise excluded from this Coverage Part: 1. Under paragraph 2. Exclusions of SECTION I - COVERAGE A - Bodily Injury and Property Damage Liability: 3. The last paragraph of paragraph 2. Exclusions is deleted in its entirety and replaced by the following: Exclusions c. through n. do not apply to damage by fire, lightning, explosion, smoke, leakage from an automatic fire protection system or water to premises while rented to you or temporarily occupied by you with permission of the owner. A separate Limit of Insurance applies to this coverage as described in SECTION III - LIMITS OF INSURANCE. However, this insurance does not apply to damage to premises while rented to you, or temporarily occupied by you with the permission of the owner, caused by: i. rupture, bursting, or operation of pressure relief devices; ii. rupture or bursting due to expansion or swelling of the contents of any building or structure, caused by or resulting from water; iii. explosion of steam boilers, steam pipes, steam engines, or steam turbines; or iv. flood 2. Paragraph 6. Under SECTION III - LIMITS OF INSURANCE is deleted in its entirety and replaced with the following: CG 89 70 (Ed. 1 1/ 14) (Page 3 of 12 ) * S1 * 02/05/2025 * PAC 4614028 10 GREAT AMERICAN ASSURANCE COMPANY *D/B* 754023927 178469 6. Subject to paragraph 5. above, the most we will pay under Coverage A for damages because of "property damage" to any one premises, while rented to you, or in the case of damage caused by fire, lightning, explosion, smoke, leakage from automatic fire protection system or water while rented to you or temporarily occupied by you with the permission of the owner, for all such damage caused by fire, lightning, explosion, smoke, leakage from automatic fire protection systems or water proximately caused by the same event, whether such damage results from fire, lightning, explosion, smoke, leakage from automatic fire protection systems or water or any combination of the six, is the higher of $ 1,000,000 or the amount shown in the Declarations for the Damage to Premises Rented to You Limit. 3. Under SECTION IV - COMMERCIAL GENERAL LIABILITY CONDITIONS, subsection 4. Other Insurance, paragraph b. Excess Insurance where the words "Fire insurance" appear they are changed to "insurance for fire, lightning, explosion, smoke, leakage from an automatic fire protection system or water." 4. As regards coverage provided by this provision I. Damage to Premises Rented to You - paragraph 9.a. of Definitions is replaced with the following: 9. a. a contract for a lease of premises. However, that portion of the contract for a lease of premises that indemnifies any person or organization for damage by fire, lightning, explosion, smoke, leakage from automatic fire protection systems or water to premises while rented to you or temporarily occupied by you with the permission of the owner is not an "insured contract"; F. Supplementary Payments 1. In the Supplementary Payments - Coverages A and B provision, paragraph 1.b. is replaced with: b. Up to $ 3,000 for the cost of bail bonds required because of accidents or traffic law violations arising out of the use of any vehicle to which the Bodily Injury Liability Coverage applies. We do not have to furnish these bonds. 2. Paragraph 1.d. is replaced by the following: d. All reasonable expenses incurred by the Insured at our request to assist us in the investigation or defense of the claim or "suit," including actual loss of earnings up to $ 1,000 a day because of time off work. G. Newly Formed or Acquired Organizations Paragraph 3. of SECTION II - WHO IS AN INSURED is replaced by the following: 3. Any organization you newly acquire or form and over which you maintain ownership or majority interest, will qualify as a named insured if there is no other similar insurance available to that organization. However: a. coverage under this provision is afforded only until the expiration of the policy period in which the entity was acquired or formed by you; b. coverage A does not apply to "bodily injury" or property damage that occurred before you acquired or formed the organization; and c. coverage B does not apply to "personal and advertising injury" arising out of an offense committed before you acquired or formed the organization. CG 89 70 (Ed. 1 1/ 14) (Page 4 of 12 ) * S1 * 02/05/2025 * PAC 4614028 10 GREAT AMERICAN ASSURANCE COMPANY *D/B* 754023927 178469 d. records and descriptions of operations must be maintained by the first named insured. No person or organization is an insured with respect to the conduct of any current or past partnership, joint venture or limited liability company that is not shown as a named insured in the Declarations or qualifies as an insured under this provision. H. Unintentional Failure to Disclose Hazards Under SECTION IV - COMMERCIAL GENERAL LIABILITY CONDITIONS, the following is added to Condition 6. Representations: Failure of the Insured to disclose all hazards existing as of the inception date of this Policy shall not prejudice the insurance with respect to the coverage afforded by this Policy, provided such failure or omission is not intentional on the part of the Insured. I. Knowledge of Occurrence, Claim or Suit Under SECTION IV - COMMERCIAL GENERAL LIABILITY CONDITIONS, the following is added to Condition 2. Duties in the Event of Occurrence, Offense, Claim or Suit: Knowledge of any occurrence, claim, or suit by any agent, servant or employee of the Named Insured does not in itself constitute knowledge by the Insured unless notice of such injury, claim or suit shall have been received by: a. you, if you are an individual; b. a partner, if you are a partnership c. an executive officer or insurance manager, if you are a corporation. J. Property Damage Liability - Elevators 1. Under paragraph 2. Exclusions of SECTION I - COVERAGE A - Bodily Injury and Property Damage Liability, subparagraphs (3), (4) and (6) of exclusion j. Damage to Property do not apply if such property damage results from the use of elevators. 2. The following is added to SECTION IV - COMMERCIAL GENERAL LIABILITY CONDITIONS, Condition 4. Other Insurance, paragraph b. Excess Insurance: The insurance afforded by this provision of this Endorsement is excess over any property insurance, whether primary, excess, contingent or on any other basis. K. Property Damage Liability - Borrowed Equipment 1. Under paragraph 2. Exclusions of SECTION I - COVERAGE A - Bodily Injury and Property Damage Liability, subparagraph (4) of exclusion j. Damage to Property does not apply to "property damage" to borrowed equipment while not being used to perform operations at a job site. 2. The following is added to SECTION IV - COMMERCIAL GENERAL LIABILITY Conditions, Condition 4. Other Insurance, paragraph b. Excess Insurance: The insurance afforded by this provision of this Endorsement is excess over any property insurance, whether primary, excess, contingent or on any other basis. CG 89 70 (Ed. 1 1/ 14) (Page 5 of 12 ) * S1 * 02/05/2025 * PAC 4614028 10 GREAT AMERICAN ASSURANCE COMPANY *D/B* 754023927 178469 L. Liberalization Clause If we revise this Signature General Liability Broadening Endorsement to provide more coverage without additional premium charge, your policy will automatically provide the coverage as of the date the revision is effective in your state. M. Amendment of Pollution Exclusion (Premises) 1. The following is added to paragraph (1)(a) of Exclusion f. of SECTION I - COVERAGE A - Bodily Injury and Property Damage Liability: (iv) "Bodily injury" or "property damage" arising out of the actual discharge, dispersal, seepage, migration, release or escape of "pollutants." As used in this Endorsement, the actual discharge, dispersal, seepage, migration, release or escape of pollutants must: (aa) commence on a clearly identifiable day during the policy period; and (bb) end, in its entirety, within seventy-two (72) hours of the commencement of the discharge, dispersal, seepage, migration, release or escape of "pollutants"; and (cc) be discovered and reported to us within fifteen (15) days of the clearly identifiable day that the discharge, dispersal, seepage, migration, release or escape of "pollutants" commences; and (dd) be neither expected nor intended from the standpoint of any insured; and (ee) be unrelated to any previous discharge, dispersal, seepage, migration, release or escape; and (ff) not originate at or from a storage tank or other container, duct or piping which: a. is below the surface of the ground or water; or b. at any time has been buried under the surface of the ground or water and then is subsequently exposed. 2. For the purposes of this coverage, the following is added to the definition of "property damage" of SECTION V - DEFINITIONS and applies only as respects this coverage: Land or water, whether below ground level or not, is not tangible property. 3. Coverage provided hereunder does not apply to any discharge, dispersal, seepage, migration, release or escape that is merely threatened or alleged rather than shown to have actually occurred. N. Limited Property Damage to Property of Others The following is added under SECTION I - SUPPLEMENTARY PAYMENTS - COVERAGES A and B: 3. We will pay up to $ 5,000 for loss to personal property of others while in the temporary care, custody or control of an insured caused by any person participating in your organized activities. For the purpose of this supplementary payment, loss shall mean damage or destruction but does not include mysterious disappearance or loss of use. In the event of a theft, a police report must be filed. This supplementary payment does not apply if: a. coverage is otherwise provided by the Property Coverage part (if any) of this Policy; or CG 89 70 (Ed. 1 1/ 14) (Page 6 of 12 ) * S1 * 02/05/2025 * PAC 4614028 10 GREAT AMERICAN ASSURANCE COMPANY *D/B* 754023927 178469 b. the loss is covered by any other insurance you have or by any insurance of such person who causes such loss. These payments will not reduce the Limits of Insurance. O. Additional Insured - Manager or Lessor of Premises 1. SECTION II - WHO IS AN INSURED is amended to include as an additional insured any person or organization from whom you lease or rent property and which requires you to add such person or organization as an additional insured on this Policy under: (a) a written contract; or (b) an oral agreement or contract where a Certificate of Insurance showing that person or organization as an additional insured has been issued; but the written or oral contract or agreement must be an "insured contract," and, (i) currently in effect or become effective during the term of this Policy; and (ii) executed prior to the "bodily injury," "property damage," "personal and advertising injury." 2. With respect to the insurance afforded to the Additional Insured identified in paragraph 1 above, the following additional provisions apply: (a) This insurance applies only with respect to the liability arising out of the ownership, maintenance or use of that part of the premises leased to you. (b) The Limits of Insurance applicable to the Additional Insured are the lesser of those specified in the written contract or agreement or in the Declarations for this Policy and subject to all the terms, conditions and exclusions for this Policy. The Limits of Insurance applicable to the Additional Insured are inclusive of and not in addition to the Limits of Insurance shown in the Declarations. (c) In no event shall the coverages or Limits of Insurance in this Coverage Form be increased by such contract. (d) Coverage provided herein is excess over any other valid and collectible insurance available to the Additional Insured whether the other insurance is primary, excess, contingent or on any other basis unless a written contractual arrangement specifically requires this insurance to be primary. (e) This insurance applies only to the extent permitted by law. 3. This insurance does not apply to: (a) Any "occurrence" or offense which takes place after you cease to be a tenant in that premises. (b) Structural alterations, new construction or demolition operations performed by or on behalf of the Additional Insured. P. Additional Insured - Funding Sources 1. SECTION II - WHO IS AN INSURED is amended to include as an additional insured any Funding Source which requires you in a written contract to name the Funding Source as an additional insured but only with respect to liability arising out of: CG 89 70 (Ed. 1 1/ 14) (Page 7 of 12 ) S1 * 02/05/2025 * PAC 4614028 10 GREAT AMERICAN ASSURANCE COMPANY *D/B* 754023927 178469 a. your premises; or b. "your work" for such additional insured; or c. acts or omissions of such additional insured in connection with the general supervision of "your work" and only to the extent set forth as follows: a. The Limits of Insurance applicable to the Additional Insured are the lesser of those specified in the written contract or agreement or in the Declarations for this Policy and subject to all the terms, conditions and exclusions for this Policy. The Limits of Insurance applicable to the Additional Insured are inclusive of and not in addition to the Limits of Insurance shown in the Declarations. b. The insurance afforded to the Additional Insured only applies to the extent permitted by law c. If coverage provided to the Additional Insured is required by a contract or agreement, the insurance afforded to such additional insured will not be broader than that which you are required by the contract or agreement to provide for such additional insured. d. In no event shall the coverages or Limits of Insurance in this Coverage Form be increased by such contract. Q. Additional Insureds - By Contract 1. SECTION II - WHO IS AN INSURED is amended to include as an insured any person or organization whom you have agreed to add as an additional insured in a written contract, written agreement or permit. Such person or organization is an additional insured but only with respect to liability for "bodily injury," "property damage" or "personal and advertising injury" arising out of: a. your acts or omissions, or the acts or omissions of those acting on your behalf, in the performance of your ongoing operations for the Additional Insured that are subject of the written contract or written agreement provided that the "bodily injury" or "property damage occurs, or the "personal and advertising injury" is committed, subsequent to the signing of such written contract or written agreement; or b. the maintenance, operation or use by you of equipment rented or leased to you by such person or organization; or c. the Additional Insureds financial control of you; or d. operations performed by you or on your behalf for which the state or political subdivision has issued a permit However: 1. the insurance afforded to such additional insured only applies to the extent permitted by law; and 2. if coverage provided to the Additional Insured is required by contract or agreement, the insurance afforded to such additional insured will not be broader than that which you are required by the contract or agreement to provide such additional insured. With respect to paragraph 1.a. above, a person's or organization's status as an additional insured under this Endorsement ends when: CG 89 70 (Ed. 1 1/ 14) (Page 8 of 12 ) * S1 * 02/05/2025 * PAC 4614028 10 GREAT AMERICAN ASSURANCE COMPANY *D/B* 754023927 178469 (1) all work, including materials, parts or equipment furnished in connection with such work, on the project (other than service, maintenance or repairs) to be performed for or on behalf of the Additional Insured(s) at the location of the covered operations has been completed; or (2) that portion of "your work" out of which the injury or damage arises has been put to its intended use by any person or organization other than another contractor or subcontractor engaged in performing operations for a principal as a part of the same project. With respect to paragraph 1.b. above, this insurance does not apply to any "occurrence" which takes place after the equipment rental or lease agreement has expired or you have returned such equipment to the lessor. The insurance provided by this Endorsement applies only if the written contract or written agreement is signed prior to the "bodily injury" or "property damage." We have no duty to defend an additional insured under this Endorsement until we receive written notice of a "suit' by the Additional Insured as required in paragraph b. of Condition 2. Duties in the Event of Occurrence, Offense, Claim or Suit under SECTION IV - COMMERCIAL GENERAL LIABILITY CONDITION. 2. With respect to the insurance provided by this Endorsement, the following are added to paragraph 2. Exclusions under SECTION I - COVERAGE A - Bodily Injury and Property Damage Liability: This insurance does not apply to: a. "Bodily injury" or "property damage" that occurs prior to your commencing operations at the location where such "bodily injury" or "property damage" occurs. b. "Bodily injury," "property damage" or "personal and advertising injury" arising out of the rendering of, or failure to render, any professional architectural, engineering or surveying services, including: (1) the preparing, approving, or failing to prepare or approve, maps, shop drawings, opinions, reports, surveys, field orders, change orders or drawings and specifications; or (2) supervisory, inspection, architectural or engineering activities. This exclusion applies even if the claims against any insured allege negligence or other wrongdoing in the supervision, hiring, employment, training or monitoring of others by that Insured, if the "occurrence" which caused the "bodily injury" or "property damage," or the offense which caused the "personal and advertising injury," involved the rendering of, or failure to render, any professional architectural, engineering or surveying services. c. "Bodily injury" or "property damage" occurring after: (1) all work, including materials, parts or equipment furnished in connection with such work, on the project (other than service, maintenance or repairs) to be performed for or on behalf of the Additional Insured(s) at the location of the covered operations has been completed; or (2) that portion of "your work" out of which the injury or damage arises has been put to its intended use by any person or organization other than another contractor or subcontractor engaged in performing operations for a principal as a part of the same project. CG 89 70 (Ed. 1 1/ 14) (Page 9 of 12 ) * S1 * 02/05/2025 * PAC 4614028 10 GREAT AMERICAN ASSURANCE COMPANY *D/B* 754023927 178469 d. Any person or organization specifically designated as an additional insured for ongoing operations by a separate additional insured endorsement issued by us and made part of this Policy. 3. With respect to the insurance afforded to these Additional Insureds, the following is added to SECTION III - LIMITS OF INSURANCE: If coverage provided to the Additional Insured is required by a contract or agreement, the most we will pay on behalf of the Additional Insured is the amount of insurance: a. required by the contract or agreement; or b. available under the applicable Limits of Insurance shown in the Declarations; whichever is less. This Endorsement shall not increase the applicable Limits of Insurance shown in the Declarations. R. Primary and Non -Contributory Additional Insured Extension This provision applies to any person or organization who qualifies as an additional insured under any form or endorsement under this Policy. Condition 4. Other Insurance of SECTION IV - COMMERCIAL GENERAL LIABILITY CONDITIONS is amended as follows: a. The following is added to paragraph a. Primary Insurance: This insurance is primary to and will not seek contribution from any other insurance available to an additional insured under your policy provided that: (1) the Additional Insured is a named insured under such other insurance; and (2) you have agreed in writing in a contract or agreement that this insurance would be primary and would not seek contribution from any other insurance available to the Additional Insured. b. The following is added to paragraph b. Excess Insurance: When a written contract or written agreement, other than a premises lease, facilities rental contract or agreement, an equipment rental or lease contract or agreement or permit issued by a state or political subdivision between you and an additional insured does not require this insurance to be primary or primary and non-contributory, this insurance is excess over any other insurance for which the Additional Insured is designated as a named insured. Regardless of the written agreement between you and an additional insured, this insurance is excess over any other insurance whether primary, excess, contingent or on any other basis for which the Additional Insured has been added as an additional insured on other policies. S. Additional Insureds - Protection of Your Limits This provision applies to any person or organization who qualifies as an additional insured under any form or endorsement under this Policy. 1. The following is added to Condition 2. Duties in the Event of Occurrence, Offense, Claim or Suit: An additional insured under this Endorsement will as soon as practicable: CG 89 70 (Ed. 1 1/ 14) (Page 10 of 12 ) * S1 * 02/05/2025 * PAC 4614028 10 GREAT AMERICAN ASSURANCE COMPANY *D/B* 754023927 178469 a. give written notice of an "occurrence" or an offense that may result in a claim or "suit' under this insurance to us; b. tender the defense and indemnity of any claim or "suit' to all insurers whom also have insurance available to the Additional Insured; and c. agree to make available any other insurance which the Additional Insured has for a loss we cover under this Coverage Part. d. we have no duty to defend or indemnify an additional insured under this Endorsement until we receive written notice of a "suit' by the Additional Insured. 2. The Limits of Insurance applicable to the Additional Insured are those specified in a written contract or written agreement or the Limits of Insurance stated in the Declarations of this Policy and defined in SECTION III - LIMITS OF INSURANCE of this Policy, whichever are less. These limits are inclusive of and not in addition to the Limits of Insurance available under this Policy. T. Blanket Waiver of Transfer of Rights of Recovery Against Others to Us (Subrogation) Under SECTION IV - COMMERCIAL GENERAL LIABILITY CONDITIONS, the following is added to Condition 8. Transfer of Rights of Recovery Against Others to Us: If required by a written contract or written agreement, we waive any right of recovery we may have against a person or organization because of payment we make for injury or damage arising out of your ongoing operations or "your work" done under a contract for that person or organization and included in the "products -completed operations hazard" provided that the injury or damage occurs subsequent to the execution of the written contract or written agreement. U. Property Damage Extension with Voluntary Payments 1. The following is added to paragraph 1. Insuring Agreement of SECTION I - COVERAGE A - Bodily Injury and Property Damage Liability: At your request we will pay for "loss" to property of others caused by your business operations for which this Policy provides liability insurance. Such payment will be made without regard to your legal obligation to do so. The "loss" must occur during the policy period and must take place in the "coverage territory." 2. With respect to the coverage afforded under paragraph 1. above, paragraph 2. Exclusions of SECTION I - COVERAGES A - Bodily Injury and Property Damage Liability is amended as follows: Exclusions j.(3), j.(4), j.(5) and j.(6) are deleted. 3. As respects coverage afforded by this coverage, SECTION III - LIMITS OF INSURANCE is replaced by the following: Regardless of the number of insureds, claims made or "suits" brought or persons or organizations making claims or bring "suits": 1. Subject to 2. Below, the most we will pay for one or more "loss" arising out of any one "occurrence" is $ 1,000. 2. The aggregate amount we will pay for the sum of all "loss" in an annual period is $ 5,000. This aggregate amount is part of and not in addition to the General Aggregate Limit described in paragraph 2. of SECTION III - LIMITS OF INSURANCE. CG 89 70 (Ed. 1 1/ 14) (Page 11 of 12 ) * S1 * 02/05/2025 * PAC 4614028 10 GREAT AMERICAN ASSURANCE COMPANY *D/B* 754023927 178469 V. Who Is an Insured - Fellow Employee Extension - Management Employees 1. The following is added to paragraph 2.a.(1) of SECTION II - WHO IS AN INSURED: Paragraph (a) and (b) above do not apply to "bodily injury" or "personal and advertising injury" caused by an "employee" who is acting in a supervisory capacity for you. Supervisory capacity as used herein means the "employee's" job responsibilities assigned by you, including the direct supervision of other "employee" of yours. However, none of these "employees" are insureds for "bodily injury" or "personal and advertising injury" arising out of their willful conduct, which is defined as the purposeful or willful intent to cause "bodily injury" or "personal and advertising injury," caused in whole or in part by their intoxication by liquor or controlled substances. This coverage is excess over any other valid and collectable insurance available to your "employee." W. Broadened Personal and Advertising Injury 1. Unless "Personal and Advertising Injury" is excluded from this Policy, the following is added to SECTION V - DEFINITIONS Item 14.: h. mental injury, mental anguish, humiliation, or shock, if directly resulting from Items 14.a. through 14.e. CG 89 70 (Ed. 1 1/ 14) (Page 12 of 12 ) S1 * 02/05/2025 * PAC 4614028 10 GREAT AMERICAN ASSURANCE COMPANY *D/B* 754023927 178469 CG 20 26 (Ed. 12/19) THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED - DESIGNATED PERSON OR ORGANIZATION This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART SCHEDULE Name Of Additional Insured Person(s) Or Organization(s): CITY OF SANTA ANA 20 CIVIC CENTER PLAZA SANTA ANA, CA 92702 Information required to complete this Schedule, if not shown above, will be shown in the Declarations. A. Section II - Who Is An Insured is amended to include as an additional insured the person(s) or organization(s) shown in the Schedule, but only with respect to liability for "bodily injury", "property damage" or "personal and advertising injury" caused, in whole or in part, by your acts or omissions or the acts or omissions of those acting on your behalf: 1. In the performance of your ongoing operations; or 2. In connection with your premises owned by or rented to you However: 1. The insurance afforded to such additional insured only applies to the extent permitted by law; and 2. If coverage provided to the additional insured is required by a contract or agreement, the insurance afforded to such additional insured will not be broader than that which you are required by the contract or agreement to provide for such additional insured. B. With respect to the insurance afforded to these additional insureds, the following is added to Section III - Limits Of Insurance: If coverage provided to the additional insured is required by a contract or agreement, the most we will pay on behalf of the Additional Insured is the amount of insurance: 1. Required by the contract or agreement; or 2. Available under the applicable limits of insurance; whichever is less. This endorsement shall not increase the applicable limits of insurance. © Insurance Services Office, Inc., 2018 CG 20 26 (Ed. 12/19) (Page 1 of 1) WORKERS COMPENSATION AND EMPLOYERS LIABILITY INSURANCE POLICY WC 04 03 06 (Ed. 4-84) WAIVER OF OUR RIGHT TO RECOVER FROM OTHERS ENDORSEMENT-CALIFORNIA We have the right to recover our payments from anyone liable for an injury covered by this policy. We will not enforce our right against the person or organization named in the Schedule. (This agreement applies only to the extent that you perform work under a written contract that requires you to obtain this agreement from us.) You must maintain payroll records accurately segregating the remuneration of your employees while engaged in the work described in the Schedule. The additional premium for this endorsement shall be 0 % of the California workers' compensation premium otherwise due on such remuneration. Schedule Person or Organization CITY OF SANTA ANA 801 W CIVIC CENTER DR STE 200 SANTA ANA CA 92701 The charge for this endorsement is $ 250 Job Description This endorsement changes the policy to which it is attached and is effective on the date issued unless otherwise stated. (The information below is required only when this endorsement is issued subsequent to preparation of the policy.) This endorsement, effective 02/02/2025 Policy No. EIG 2196672 10 Issued to KID EDUCATION LLC Premium $5,500 Countersigned at at 12:01 AM standard time, forms a part of Of the EMPLOYERS PREFERRED INS. CO. Carrier Code 00920 o By: Endorsement No. /�. 0-4,,9_Q� Authorized Representative WC 04 03 06 (Ed. 4-84) © 1998 by the Workers' Compensation Insurance Rating Bureau of California. All rights reserved. HEALTHSTAFF TRAINING INSTITUTE 2/ 12/2025 City of Santa Ana Risk Management Division 20 Civic Center Plaza Santa Ana, CA 92702 Attn: Audrey Goodson Subject: Automobile Waiver Neither company -owned and operated nor students' vehicles will be used to perform any of the services contemplated by the agreement between the City of Santa Ana Risk Management Division and HealthStaff Training Institute. If you have any questions, please feel free to contact me at (909) 321-5778. Sincerely, Kishore Mathrani CEO 19701 Old Tustin Ave., Suite C 601 S. Milliken Ave., Suite A 27645 Jefferson Ave., #116 Santa Ana, CA 92705 Ontario, CA 91761 Temecula, CA 92590 (714) 543-9828 (909) 321-5778 (951) 694-4785 Fax: (714) 543-9835 Fax: (909) 321-5779 Fax: (951) 694-4785 www.healthstafftraining.com / A� " CERTIFICATE OF LIABILITY INSURANCE DATE 2(MM/DD6 (MM/DDIYYYY) THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must have ADDITIONAL INSURED provisions or be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER Inszone Insurance Services, LLC 2721 Citrus Road, Suite A Rancho Cordova, CA 95742 CONTACT NAME: Certificate Team PHONE FAX AIC No Ext : 877-308-9663 AIC No): 916-400-2625 ADDRESS: certs@inszoneins.com INSURER(S) AFFORDING COVERAGE NAIC # INSURER A: Great American Assurance Company 26344 License#: OF82764 INSURED KDEDUCA-01 Kd Education, LLC DBA: Healthstaff Training Institute INSURER B: Great American Alliance Insurance Company 26832 INSURERC: Technology Insurance Company 42376 INSURERD: 601 S. Milliken Ave., Ste A INSURER E : Ontario, CA 91761 INSURER F : COVERAGES CERTIFICATE NUMBER:772977524 REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR LTR TYPE OF INSURANCE ADDL INSD SUBR WVD POLICY NUMBER POLICY EFF MM/DDIYYYY POLICY EXP MM/DDIYYYY LIMITS A X COMMERCIAL GENERAL LIABILITY Y Y PAC4614028 2/2/2026 2/2/2027 EACH OCCURRENCE $1,000,000 CLAIMS -MADE � OCCUR TED PREMISES (Ea oDAMAGE TO ccurrence) $ 100,000 MED EXP (Any one person) $ 5,000 PERSONAL & ADV INJURY $ 1,000,000 GEN'L AGGREGATE LIMIT APPLIES PER: GENERAL AGGREGATE $2,000,000 POLICY ❑ PRO- JECT ❑ LOC X PRODUCTS - COMP/OP AGG $ 2,000,000 $ OTHER: A AUTOMOBILE LIABILITY PAC4614028 2/2/2026 2/2/2027 COMBINED SINGLE LIMIT Ea accident $ 1,000,000 BODILY INJURY (Per person) $ ANY AUTO OWNED SCHEDULED AUTOS ONLY AUTOS BODILY INJURY (Per accident) $ X PROPERTY DAMAGE Per accident $ HIRED X NON -OWNED AUTOS ONLY AUTOS ONLY B UMBRELLA LIAB X OCCUR EXXF293929 2/2/2026 2/2/2027 EACH OCCURRENCE $ 1,000,000 X AGGREGATE $ 1,000,000 EXCESS LIAB CLAIMS -MADE DED RETENTION $ $ C WORKERS COMPENSATION AND EMPLOYERS' LIABILITY Y / N Y TWC4750169 2/2/2026 2/2/2027 X PER OTH- STATUTE ER ANYPROPRIETOR/PARTNER/EXECUTIVE E.L. EACH ACCIDENT $ 1,000,000 OFFICER/MEMBER EXCLUDED? ❑ N/A E.L. DISEASE - EA EMPLOYEE $ 1,000,000 (Mandatory in NH) If yes, describe under DESCRIPTION OF OPERATIONS below E.L. DISEASE - POLICY LIMIT $ 1,000,000 A Professional Liability PAC4614028 2/2/2026 2/2/2027 Aggregate $2,000,000 B B Professional Liability Umbrella Liablity PAC4614028 UMB3962500 2/2/2026 2/2/2026 2/2/2027 2/2/2027 Each Act Aggregate/Occurence $1,000,000 $1,000,000 DESCRIPTION OF OPERATIONS I LOCATIONS / VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if more space is required) Additional Insured on the General Liability. Primary and Non -Contributory with a Waiver of Subrogation on the General Liability. Umbrella follows form, subject to the terms and conditions of the policy. Waiver of subrogation for the Workers Compensation. The aforementioned coverage is provided to the extent in the attached forms for: City of Santa Ana, its officers, officials, employees, and volunteers. CERTIFICATE HOLDER CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN City of Santa Ana ACCORDANCE WITH THE POLICY PROVISIONS. Attn: Audrey Goodson AUTHOR�IZED REPRESENTATIVE 801 W. Civic Center Dr., Ste 200 Santa Ana, CA 92701 ©1988-2015 ACORD CORPORATION. All rights reserved. ACORD 25 (2016/03) The ACORD name and logo are registered marks of ACORD * 81 * 01/28/2026 * PAC 4614028 11 00 Great American Assurance Company *D/B* 754023927 178469 CG 89 70 (Ed. 11/14) THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. SIGNATURE GENERAL LIABILITY BROADENING ENDORSEMENT This Endorsement modifies and is subject to the insurance provided under the following form: COMMERCIAL GENERAL LIABILITY COVERAGE PART The following extension only applies in the event that no other specific coverage for the indicated loss exposure is provided under this Policy. If other specific coverage applies, the terms, conditions and limits of that Coverage are the exclusive coverage applicable under this Policy, unless otherwise noted in this Endorsement. This is a summary of the various additional coverages and coverage modifications provided by this Endorsement. For complete details on specific coverages, consult the actual policy wording. Coverage Description Limit of Insurance Page Non -Owned Aircraft Included 2 Non -Owned Watercraft Included 2 Bodily Injury - Mental Injury, Mental Anguish, Humiliation or Shock Included 3 Medical Payments $ 20,000 3 Damage to Premises Rented to You $ 1,000,000 3 Supplementary Payments - Bail Bonds $ 3,000 4 Supplementary Payments - Loss of Earnings $ 1,000 per day 4 Newly Formed or Acquired Organizations Included 4 Unintentional Failure to Disclose Hazards Included 5 Knowledge of Occurrence, Claim or Suit Included 5 Property Damage Liability - Elevators Included 5 Property Damage Liability - Borrowed Equipment Included 5 Liberalization Clause Included 6 Amendment of Pollution Exclusion (Premises) Included 6 Limited Property Damage to Property of Others $ 5,000 6 Additional Insured - Manager or Lessor of Premises Included 7 CG 89 70 (Ed. 11/14) (Page 1 of 12) * 81 * 01/28/2026 * PAC 4614028 11 00 Great American Assurance Company *D/B* 754023927 178469 Coverage Description Limit of Insurance Page Additional Insured - Funding Sources Included 7 Additional Insured - By Contract Included 8 Primary and Non -Contributory Additional Insured Extension Included 10 Additional Insureds - Protection of Your Limits Included 10 Blanket Waiver of Transfer of Rights of Recovery Against Others to Us (Subrogation) Included 11 Property Damage Extension With Voluntary Payments $ 1,000/$ 5,000 11 Who Is An Insured - Fellow Employee Extension - Management Employees Included 12 Broadened Personal and Advertising Injury Included 12 A. Non -Owned Aircraft Under paragraph 2. Exclusions of SECTION I - COVERAGE A - Bodily Injury and Property Damage Liability, exclusion g. Aircraft, Auto or Watercraft does not apply to an aircraft provided: 1. it is not owned by any insured; 2. it is hired, chartered or loaned with a trained paid crew; 3. the pilot in command holds a currently effective certificate, issued by the duly constituted authority of the United States of America or Canada, designating him or her a commercial or airline pilot; and 4. it is not being used to carry persons or property for a charge. However, the insurance afforded by this provision does not apply if there is available to the Insured other valid and collectible insurance, whether primary, excess (other than insurance written to apply specifically in excess of this Policy), contingent or on any other basis, that would also apply to the loss covered under this provision. B. Non -Owned Watercraft Under paragraph 2. Exclusions of SECTION I - COVERAGE A - Bodily Injury and Property Damage Liability, subparagraph (2) of exclusion g. Aircraft, Auto or Watercraft is replaced by the following: This exclusion does not apply to: (2) A watercraft you do not own that is: (a) less than 60 feet long; and CG 89 70 (Ed. 11/14) (Page 2 of 12) * 81 * 01/28/2026 * PAC 4614028 11 00 Great American Assurance Company *D/B* 754023927 178469 (b) not being used to carry persons or property for a charge. C. Bodily Injury - Mental Injury, Mental Anguish, Humiliation or Shock Under SECTION V - DEFINITIONS, Definition 3. is replaced by the following: 3. "Bodily Injury" means physical injury, sickness, or disease, including death of a person. "Bodily Injury" also means mental injury, mental anguish, humiliation, or shock if directly resulting from physical injury, sickness, or disease to that person. D. Medical Payments If Coverage C Medical Payments is not otherwise excluded, the Medical Payments provided by this Policy are amended as follows: The Medical Expense Limit in paragraph 7. of SECTION III - LIMITS OF INSURANCE is replaced by the following Medical expense Limit: The Medical Expense Limit provided by this Policy shall be the greater of: a. $ 20,000; or b. the amount shown in the Declarations for Medical Expense Limit This provision 7. is subject to all the terms of SECTION III - LIMITS OF INSURANCE. E. Damage to Premises Rented to You If Damage to Premises Rented to You is not otherwise excluded from this Coverage Part: 1. Under paragraph 2. Exclusions of SECTION I - COVERAGE A - Bodily Injury and Property Damage Liability: 3. The last paragraph of paragraph 2. Exclusions is deleted in its entirety and replaced by the following: Exclusions c. through n. do not apply to damage by fire, lightning, explosion, smoke, leakage from an automatic fire protection system or water to premises while rented to you or temporarily occupied by you with permission of the owner. A separate Limit of Insurance applies to this coverage as described in SECTION III - LIMITS OF INSURANCE. However, this insurance does not apply to damage to premises while rented to you, or temporarily occupied by you with the permission of the owner, caused by: L rupture, bursting, or operation of pressure relief devices; ii. rupture or bursting due to expansion or swelling of the contents of any building or structure, caused by or resulting from water; iii. explosion of steam boilers, steam pipes, steam engines, or steam turbines; or iv. flood 2. Paragraph 6. Under SECTION III - LIMITS OF INSURANCE is deleted in its entirety and replaced with the following: CG 89 70 (Ed. 11/14) (Page 3 of 12) * 81 * 01/28/2026 * PAC 4614028 11 00 Great American Assurance Company *D/B* 754023927 178469 6. Subject to paragraph 5. above, the most we will pay under Coverage A for damages because of "property damage" to any one premises, while rented to you, or in the case of damage caused by fire, lightning, explosion, smoke, leakage from automatic fire protection system or water while rented to you or temporarily occupied by you with the permission of the owner, for all such damage caused by fire, lightning, explosion, smoke, leakage from automatic fire protection systems or water proximately caused by the same event, whether such damage results from fire, lightning, explosion, smoke, leakage from automatic fire protection systems or water or any combination of the six, is the higher of $ 1,000,000 or the amount shown in the Declarations for the Damage to Premises Rented to You Limit. 3. Under SECTION IV - COMMERCIAL GENERAL LIABILITY CONDITIONS, subsection 4. Other Insurance, paragraph b. Excess Insurance where the words "Fire insurance" appear they are changed to "insurance for fire, lightning, explosion, smoke, leakage from an automatic fire protection system or water." 4. As regards coverage provided by this provision I. Damage to Premises Rented to You - paragraph 9.a. of Definitions is replaced with the following: 9. a. a contract for a lease of premises. However, that portion of the contract for a lease of premises that indemnifies any person or organization for damage by fire, lightning, explosion, smoke, leakage from automatic fire protection systems or water to premises while rented to you or temporarily occupied by you with the permission of the owner is not an "insured contract"; F. Supplementary Payments 1. In the Supplementary Payments - Coverages A and B provision, paragraph 1.1b. is replaced with: b. Up to $ 3,000 for the cost of bail bonds required because of accidents or traffic law violations arising out of the use of any vehicle to which the Bodily Injury Liability Coverage applies. We do not have to furnish these bonds. 2. Paragraph 1.d. is replaced by the following: d. All reasonable expenses incurred by the Insured at our request to assist us in the investigation or defense of the claim or "suit," including actual loss of earnings up to $ 1,000 a day because of time off work. G. Newly Formed or Acquired Organizations Paragraph 3. of SECTION II - WHO IS AN INSURED is replaced by the following: 3. Any organization you newly acquire or form and over which you maintain ownership or majority interest, will qualify as a named insured if there is no other similar insurance available to that organization. However: a. coverage under this provision is afforded only until the expiration of the policy period in which the entity was acquired or formed by you; b. coverage A does not apply to "bodily injury" or property damage that occurred before you acquired or formed the organization; and c. coverage B does not apply to "personal and advertising injury" arising out of an offense committed before you acquired or formed the organization. CG 89 70 (Ed. 11/14) (Page 4 of 12) * 81 * 01/28/2026 * PAC 4614028 11 00 Great American Assurance Company *D/B* 754023927 178469 d. records and descriptions of operations must be maintained by the first named insured. No person or organization is an insured with respect to the conduct of any current or past partnership, joint venture or limited liability company that is not shown as a named insured in the Declarations or qualifies as an insured under this provision. H. Unintentional Failure to Disclose Hazards Under SECTION IV - COMMERCIAL GENERAL LIABILITY CONDITIONS, the following is added to Condition 6. Representations: Failure of the Insured to disclose all hazards existing as of the inception date of this Policy shall not prejudice the insurance with respect to the coverage afforded by this Policy, provided such failure or omission is not intentional on the part of the Insured. I. Knowledge of Occurrence, Claim or Suit Under SECTION IV - COMMERCIAL GENERAL LIABILITY CONDITIONS, the following is added to Condition 2. Duties in the Event of Occurrence, Offense, Claim or Suit: Knowledge of any occurrence, claim, or suit by any agent, servant or employee of the Named Insured does not in itself constitute knowledge by the Insured unless notice of such injury, claim or suit shall have been received by: a. you, if you are an individual; b. a partner, if you are a partnership c. an executive officer or insurance manager, if you are a corporation. J. Property Damage Liability - Elevators 1. Under paragraph 2. Exclusions of SECTION I - COVERAGE A - Bodily Injury and Property Damage Liability, subparagraphs (3), (4) and (6) of exclusion j. Damage to Property do not apply if such property damage results from the use of elevators. 2. The following is added to SECTION IV - COMMERCIAL GENERAL LIABILITY CONDITIONS, Condition 4. Other Insurance, paragraph b. Excess Insurance: The insurance afforded by this provision of this Endorsement is excess over any property insurance, whether primary, excess, contingent or on any other basis. K. Property Damage Liability - Borrowed Equipment 1. Under paragraph 2. Exclusions of SECTION I - COVERAGE A - Bodily Injury and Property Damage Liability, subparagraph (4) of exclusion j. Damage to Property does not apply to "property damage" to borrowed equipment while not being used to perform operations at a job site. 2. The following is added to SECTION IV - COMMERCIAL GENERAL LIABILITY Conditions, Condition 4. Other Insurance, paragraph b. Excess Insurance: The insurance afforded by this provision of this Endorsement is excess over any property insurance, whether primary, excess, contingent or on any other basis. CG 89 70 (Ed. 11/14) (Page 5 of 12) * 81 * 01 /28/2026 * PAC 4614028 11 00 L. Liberalization Clause Great American Assurance Company *D/B* 754023927 178469 If we revise this Signature General Liability Broadening Endorsement to provide more coverage without additional premium charge, your policy will automatically provide the coverage as of the date the revision is effective in your state. M. Amendment of Pollution Exclusion (Premises) 1. The following is added to paragraph (1)(a) of Exclusion f. of SECTION I - COVERAGE A - Bodily Injury and Property Damage Liability: (iv) "Bodily injury" or "property damage" arising out of the actual discharge, dispersal, seepage, migration, release or escape of "pollutants." As used in this Endorsement, the actual discharge, dispersal, seepage, migration, release or escape of pollutants must: (aa) commence on a clearly identifiable day during the policy period; and (bb) end, in its entirety, within seventy-two (72) hours of the commencement of the discharge, dispersal, seepage, migration, release or escape of "pollutants"; and (cc) be discovered and reported to us within fifteen (15) days of the clearly identifiable day that the discharge, dispersal, seepage, migration, release or escape of "pollutants" commences; and (dd) be neither expected nor intended from the standpoint of any insured; and (ee) be unrelated to any previous discharge, dispersal, seepage, migration, release or escape; and (ff) not originate at or from a storage tank or other container, duct or piping which: a. is below the surface of the ground or water; or b. at any time has been buried under the surface of the ground or water and then is subsequently exposed. 2. For the purposes of this coverage, the following is added to the definition of "property damage" of SECTION V - DEFINITIONS and applies only as respects this coverage: Land or water, whether below ground level or not, is not tangible property. 3. Coverage provided hereunder does not apply to any discharge, dispersal, seepage, migration, release or escape that is merely threatened or alleged rather than shown to have actually occurred. N. Limited Property Damage to Property of Others The following is added under SECTION I - SUPPLEMENTARY PAYMENTS - COVERAGES A and B: 3. We will pay up to $ 5,000 for loss to personal property of others while in the temporary care, custody or control of an insured caused by any person participating in your organized activities. For the purpose of this supplementary payment, loss shall mean damage or destruction but does not include mysterious disappearance or loss of use. In the event of a theft, a police report must be filed. This supplementary payment does not apply if: a. coverage is otherwise provided by the Property Coverage part (if any) of this Policy; or CG 89 70 (Ed. 11/14) (Page 6 of 12) * 81 * 01/28/2026 * PAC 4614028 11 00 Great American Assurance Company *D/B* 754023927 178469 b. the loss is covered by any other insurance you have or by any insurance of such person who causes such loss. These payments will not reduce the Limits of Insurance. O. Additional Insured - Manager or Lessor of Premises 1. SECTION II - WHO IS AN INSURED is amended to include as an additional insured any person or organization from whom you lease or rent property and which requires you to add such person or organization as an additional insured on this Policy under: (a) a written contract; or (b) an oral agreement or contract where a Certificate of Insurance showing that person or organization as an additional insured has been issued; but the written or oral contract or agreement must be an "insured contract," and, (i) currently in effect or become effective during the term of this Policy; and (ii) executed prior to the "bodily injury," "property damage," "personal and advertising injury." 2. With respect to the insurance afforded to the Additional Insured identified in paragraph 1. above, the following additional provisions apply: (a) This insurance applies only with respect to the liability arising out of the ownership, maintenance or use of that part of the premises leased to you. (b) The Limits of Insurance applicable to the Additional Insured are the lesser of those specified in the written contract or agreement or in the Declarations for this Policy and subject to all the terms, conditions and exclusions for this Policy. The Limits of Insurance applicable to the Additional Insured are inclusive of and not in addition to the Limits of Insurance shown in the Declarations. (c) In no event shall the coverages or Limits of Insurance in this Coverage Form be increased by such contract. (d) Coverage provided herein is excess over any other valid and collectible insurance available to the Additional Insured whether the other insurance is primary, excess, contingent or on any other basis unless a written contractual arrangement specifically requires this insurance to be primary. (e) This insurance applies only to the extent permitted by law. 3. This insurance does not apply to: (a) Any "occurrence" or offense which takes place after you cease to be a tenant in that premises. (b) Structural alterations, new construction or demolition operations performed by or on behalf of the Additional Insured. P. Additional Insured - Funding Sources 1. SECTION II - WHO IS AN INSURED is amended to include as an additional insured any Funding Source which requires you in a written contract to name the Funding Source as an additional insured but only with respect to liability arising out of: CG 89 70 (Ed. 11/14) (Page 7 of 12) * 81 * 01 /28/2026 * PAC 4614028 11 00 a. your premises; or Great American Assurance Company *D/B* 754023927 178469 b. "your work" for such additional insured; or c. acts or omissions of such additional insured in connection with the general supervision of "your work" and only to the extent set forth as follows: a. The Limits of Insurance applicable to the Additional Insured are the lesser of those specified in the written contract or agreement or in the Declarations for this Policy and subject to all the terms, conditions and exclusions for this Policy. The Limits of Insurance applicable to the Additional Insured are inclusive of and not in addition to the Limits of Insurance shown in the Declarations. b. The insurance afforded to the Additional Insured only applies to the extent permitted by law c. If coverage provided to the Additional Insured is required by a contract or agreement, the insurance afforded to such additional insured will not be broader than that which you are required by the contract or agreement to provide for such additional insured. d. In no event shall the coverages or Limits of Insurance in this Coverage Form be increased by such contract. Q. Additional Insureds - By Contract 1. SECTION II - WHO IS AN INSURED is amended to include as an insured any person or organization whom you have agreed to add as an additional insured in a written contract, written agreement or permit. Such person or organization is an additional insured but only with respect to liability for "bodily injury," "property damage" or "personal and advertising injury" arising out of: a. your acts or omissions, or the acts or omissions of those acting on your behalf, in the performance of your ongoing operations for the Additional Insured that are subject of the written contract or written agreement provided that the "bodily injury" or "property damage occurs, or the "personal and advertising injury" is committed, subsequent to the signing of such written contract or written agreement; or b. the maintenance, operation or use by you of equipment rented or leased to you by such person or organization; or c. the Additional Insureds financial control of you; or d. operations performed by you or on your behalf for which the state or political subdivision has issued a permit However: 1. the insurance afforded to such additional insured only applies to the extent permitted by law; and 2. if coverage provided to the Additional Insured is required by contract or agreement, the insurance afforded to such additional insured will not be broader than that which you are required by the contract or agreement to provide such additional insured. With respect to paragraph 1.a. above, a person's or organization's status as an additional insured under this Endorsement ends when: CG 89 70 (Ed. 11/14) (Page 8 of 12) * 81 * 01/28/2026 * PAC 4614028 11 00 Great American Assurance Company *D/B* 754023927 178469 (1) all work, including materials, parts or equipment furnished in connection with such work, on the project (other than service, maintenance or repairs) to be performed for or on behalf of the Additional Insured(s) at the location of the covered operations has been completed; or (2) that portion of "your work" out of which the injury or damage arises has been put to its intended use by any person or organization other than another contractor or subcontractor engaged in performing operations for a principal as a part of the same project. With respect to paragraph 1.b. above, this insurance does not apply to any "occurrence" which takes place after the equipment rental or lease agreement has expired or you have returned such equipment to the lessor. The insurance provided by this Endorsement applies only if the written contract or written agreement is signed prior to the "bodily injury" or "property damage." We have no duty to defend an additional insured under this Endorsement until we receive written notice of a "suit' by the Additional Insured as required in paragraph b. of Condition 2. Duties in the Event of Occurrence, Offense, Claim or Suit under SECTION IV - COMMERCIAL GENERAL LIABILITY CONDITION. 2. With respect to the insurance provided by this Endorsement, the following are added to paragraph 2. Exclusions under SECTION I - COVERAGE A - Bodily Injury and Property Damage Liability: This insurance does not apply to: a. "Bodily injury" or "property damage" that occurs prior to your commencing operations at the location where such "bodily injury" or "property damage" occurs. b. "Bodily injury," "property damage" or "personal and advertising injury" arising out of the rendering of, or failure to render, any professional architectural, engineering or surveying services, including: (1) the preparing, approving, or failing to prepare or approve, maps, shop drawings, opinions, reports, surveys, field orders, change orders or drawings and specifications; or (2) supervisory, inspection, architectural or engineering activities. This exclusion applies even if the claims against any insured allege negligence or other wrongdoing in the supervision, hiring, employment, training or monitoring of others by that Insured, if the "occurrence" which caused the "bodily injury" or "property damage," or the offense which caused the "personal and advertising injury," involved the rendering of, or failure to render, any professional architectural, engineering or surveying services. c. "Bodily injury" or "property damage" occurring after: (1) all work, including materials, parts or equipment furnished in connection with such work, on the project (other than service, maintenance or repairs) to be performed for or on behalf of the Additional Insured(s) at the location of the covered operations has been completed; or (2) that portion of "your work" out of which the injury or damage arises has been put to its intended use by any person or organization other than another contractor or subcontractor engaged in performing operations for a principal as a part of the same project. CG 89 70 (Ed. 11/14) (Page 9 of 12) * 81 * 01/28/2026 * PAC 4614028 11 00 Great American Assurance Company *D/B* 754023927 178469 d. Any person or organization specifically designated as an additional insured for ongoing operations by a separate additional insured endorsement issued by us and made part of this Policy. 3. With respect to the insurance afforded to these Additional Insureds, the following is added to SECTION III - LIMITS OF INSURANCE: If coverage provided to the Additional Insured is required by a contract or agreement, the most we will pay on behalf of the Additional Insured is the amount of insurance: a. required by the contract or agreement; or b. available under the applicable Limits of Insurance shown in the Declarations; whichever is less. This Endorsement shall not increase the applicable Limits of Insurance shown in the Declarations. R. Primary and Non -Contributory Additional Insured Extension This provision applies to any person or organization who qualifies as an additional insured under any form or endorsement under this Policy. Condition 4. Other Insurance of SECTION IV - COMMERCIAL GENERAL LIABILITY CONDITIONS is amended as follows: a. The following is added to paragraph a. Primary Insurance: This insurance is primary to and will not seek contribution from any other insurance available to an additional insured under your policy provided that: (1) the Additional Insured is a named insured under such other insurance; and (2) you have agreed in writing in a contract or agreement that this insurance would be primary and would not seek contribution from any other insurance available to the Additional Insured. b. The following is added to paragraph b. Excess Insurance: When a written contract or written agreement, other than a premises lease, facilities rental contract or agreement, an equipment rental or lease contract or agreement or permit issued by a state or political subdivision between you and an additional insured does not require this insurance to be primary or primary and non-contributory, this insurance is excess over any other insurance for which the Additional Insured is designated as a named insured. Regardless of the written agreement between you and an additional insured, this insurance is excess over any other insurance whether primary, excess, contingent or on any other basis for which the Additional Insured has been added as an additional insured on other policies. S. Additional Insureds - Protection of Your Limits This provision applies to any person or organization who qualifies as an additional insured under any form or endorsement under this Policy. 1. The following is added to Condition 2. Duties in the Event of Occurrence, Offense, Claim or Suit: An additional insured under this Endorsement will as soon as practicable: CG 89 70 (Ed. 11/14) (Page 10 of 12) * 81 * 01/28/2026 * PAC 4614028 11 00 Great American Assurance Company *D/B* 754023927 178469 a. give written notice of an "occurrence" or an offense that may result in a claim or "suit' under this insurance to us; b. tender the defense and indemnity of any claim or "suit' to all insurers whom also have insurance available to the Additional Insured; and c. agree to make available any other insurance which the Additional Insured has for a loss we cover under this Coverage Part. d. we have no duty to defend or indemnify an additional insured under this Endorsement until we receive written notice of a "suit' by the Additional Insured. 2. The Limits of Insurance applicable to the Additional Insured are those specified in a written contract or written agreement or the Limits of Insurance stated in the Declarations of this Policy and defined in SECTION III - LIMITS OF INSURANCE of this Policy, whichever are less. These limits are inclusive of and not in addition to the Limits of Insurance available under this Policy. T. Blanket Waiver of Transfer of Rights of Recovery Against Others to Us (Subrogation) Under SECTION IV - COMMERCIAL GENERAL LIABILITY CONDITIONS, the following is added to Condition 8. Transfer of Rights of Recovery Against Others to Us: If required by a written contract or written agreement, we waive any right of recovery we may have against a person or organization because of payment we make for injury or damage arising out of your ongoing operations or "your work" done under a contract for that person or organization and included in the "products -completed operations hazard" provided that the injury or damage occurs subsequent to the execution of the written contract or written agreement. U. Property Damage Extension with Voluntary Payments 1. The following is added to paragraph 1. Insuring Agreement of SECTION I - COVERAGE A - Bodily Injury and Property Damage Liability: At your request we will pay for "loss" to property of others caused by your business operations for which this Policy provides liability insurance. Such payment will be made without regard to your legal obligation to do so. The "loss" must occur during the policy period and must take place in the "coverage territory." 2. With respect to the coverage afforded under paragraph 1. above, paragraph 2. Exclusions of SECTION I - COVERAGES A - Bodily Injury and Property Damage Liability is amended as follows: Exclusions j.(3), j.(4), j.(5) and j.(6) are deleted. 3. As respects coverage afforded by this coverage, SECTION III - LIMITS OF INSURANCE is replaced by the following: Regardless of the number of insureds, claims made or "suits" brought or persons or organizations making claims or bring "suits": 1. Subject to 2. Below, the most we will pay for one or more "loss" arising out of any one "occurrence" is $ 1,000. 2. The aggregate amount we will pay for the sum of all "loss" in an annual period is $ 5,000. This aggregate amount is part of and not in addition to the General Aggregate Limit described in paragraph 2. of SECTION III - LIMITS OF INSURANCE. CG 89 70 (Ed. 11/14) (Page 11 of 12) * 81 * 01/28/2026 * PAC 4614028 11 00 Great American Assurance Company *D/B* 754023927 178469 V. Who Is an Insured - Fellow Employee Extension - Management Employees 1. The following is added to paragraph 2.a.(1) of SECTION II - WHO IS AN INSURED: Paragraph (a) and (b) above do not apply to "bodily injury" or "personal and advertising injury" caused by an "employee" who is acting in a supervisory capacity for you. Supervisory capacity as used herein means the "employee's" job responsibilities assigned by you, including the direct supervision of other "employee" of yours. However, none of these "employees" are insureds for "bodily injury" or "personal and advertising injury" arising out of their willful conduct, which is defined as the purposeful or willful intent to cause "bodily injury" or "personal and advertising injury," caused in whole or in part by their intoxication by liquor or controlled substances. This coverage is excess over any other valid and collectable insurance available to your "employee." W. Broadened Personal and Advertising Injury 1. Unless "Personal and Advertising Injury" is excluded from this Policy, the following is added to SECTION V - DEFINITIONS Item 14.: h. mental injury, mental anguish, humiliation, or shock, if directly resulting from Items 14.a. through 14.e. CG 89 70 (Ed. 11/14) (Page 12 of 12) WORKERS COMPENSATION AND EMPLOYERS LIABILITY INSURANCE POLICY WC 04 03 06 (Ed. 04-84) WAIVER OF OUR RIGHT TO RECOVER FROM OTHERS ENDORSEMENT - CALIFORNIA We have the right to recover our payments from anyone liable for an injury covered by this policy. We will not enforce our right against the person or organization named in the Schedule. (This agreement applies only to the extent that you perform work under a written contract that requires you to obtain this agreement from us.) You must maintain payroll records accurately segregating the remuneration of your employees while engaged in the work described in the Schedule. The additional premium for this endorsement shall be 5% of the Californiia workers' compensation premium otherwise due on such remuneration. Schedule Person or Organizabon ,lob DesGription City of Santa Ana, its City Council, officers; officials, employees, Approved vendor for the City of Santa Ana. agents, and volunteers ATTN: Audrey Goodson 801 W. Civic Center Dr., Suite 200 Santa Ana CA 92701 This endorsement changes the policy to which it is attached and is effective an the date issued unless otherwise stated. [The information below is required only when this endorsement is issued subsequent to preparation of the policy.] Endorsement Effective 2l212026 Policy No. TWC4750169 Endorsement No. 3 Insured Kd Education LLC Premium $ 6,773 Insurance Company Technology Insurance Company, Inc. Countersigned by WC 04 03 06 (Ed. 04-84)