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Contract No.
V -` AGREEMENT UNDER THE WORKFORCE INVESTMENT ACT
THIS AGREEMENT, dated for reference purposes, February 6, 2012, by and between
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the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the
Constitution and laws of the State of California ( "CITY ") and CSU Fullerton Auxiliary Services
C Corporation, fiscal and administrative agent of the California State University, Fullerton
( "CONTRACTOR ").
L
W- I- T- N- E- S- S -E -T -H
Recitals:
- A. CITY has been designated a Local Workforce Investment Area (LWIA) under
the Workforce Investment Act of 1998, Public Law 105 -220 ( "the Act ").
B. The State of California has created the LWIA to administer the Act programs
operated by the State of California pursuant to the Act.
C. As a LWIA, CITY is entitled to receive federal funds to establish programs to
increase training opportunities for unemployed individuals. One goal of California's Workforce
Investment System is to provide the opportunities to find, retain, or advance their employment.
D. CONTRACTOR is experienced in operating education, occupational
development and employment programs for economically disadvantaged youths for entry into the labor
market ( "said program ").
E. CONTRACTOR is willing to operate said program pursuant to the Act and
California law.
WHEREFORE, for and in consideration of the respective and mutual covenants and
promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties
hereto do hereby agree as follows:
I.
CONTRACTOR'S OBLIGATIONS
A. CONTRACTOR agrees to provide academic counseling, tutoring, On the Job
Training development, fieldtrips, and collaborate in curriculum development for the H -113 Technical
Skills Training Grant: Orange County Bridge to Engineering with the City of Santa Ana Workforce
Investment Area, in addition to the activities outlined in Scope of Work (Exhibit A) which includes
the Letter of Commitment from the H -113 application to the Department of Labor, and activities
outlined in Budget Narrative (Exhibit E). CONTRACTOR'S failure to provide said services may be
grounds for CITY to readjust the level of payment to CONTRACTOR otherwise provided for
hereinafter.
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B. CONTRACTOR agrees to provide benefits to individuals who participate in the
activities and services funded by this Agreement ( "participants ") in accordance with the standards and
requirements set forth in Workforce Investment Act of 1998, Public Law 105 -220.
C. CONTRACTOR agrees to perform the services set forth herein in a professional,
timely and diligent manner.
D. RESERVED
E. CONTRACTOR shall adhere to the Labor Standards described in the Act
including Section 181 of the Act.
F. CONTRACTOR agrees to comply with the "Complaint Handling Procedures under
the WIA ", attached hereto as "Exhibit B" and incorporated herein as though fully set forth in 20 CFR
§667.200, Subpart F. CONTRACTOR shall advise participants of their rights to file complaints under
the Act and the procedures for resolution of any complaints. CITY's procedures for handling
complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall
be followed and any decision of CITY, the State or the federal government relating to the complaint
shall be binding and followed by CONTRACTOR. CONTRACTORS who are employers shall operate
a grievance system that incorporates CITY's procedures for resolution of complaints relating to the
terms and conditions of employment; these procedures shall be approved in writing by CITY.
G. As a condition of this award of financial assistance under the Act to
CONTRACTOR from CITY, CONTRACTOR assures, with respect to operation of all programs or
activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry
out such programs or activities, that it will comply fully with the nondiscrimination and equal
opportunity provisions of the Act (Section 188) and compliance with Equal Employment Opportunity
provisions in Executive Order (E.O.) 11246, as amended by E.O. 11375 and supplemented by the
requirements of 41 CFR Part 60; the Nontraditional Employment for Women Act of 1991; Title VI of
the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended;
the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; and
with all applicable requirements imposed by or pursuant to regulations implementing those laws,
including, but not limited to, 29 CFR Part 33 and 37. The United States, the State of California and
CITY have the right to seek judicial enforcement of this assurance.
H. CONTRACTOR agrees that no participant(s) shall commence training prior to the
approval of funding pursuant to Section 123 of the Act.
I. CONTRACTOR agrees to maintain such records and submit such reports, data and
information, on the form and containing such information, at such times as CITY may request or
require regarding the performance of CONTRACTOR'S services or activities, costs or other data,
including but not limited to, participants' attendance, payroll records and job duty statements.
CONTRACTOR agrees to submit quarterly reports to CITY outlining and describing the activities and
progress of its program.
CITY, the State of California and the United States government and /or their
representatives shall have access for purposes of monitoring, auditing and examining of
CONTRACTOR'S activities, performance, books, documents, papers, and records of CONTRACTOR
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subcontractors, bookkeepers and accountants, and employees and participants related to this
Agreement. Such agencies or representatives shall also schedule on -site monitoring in their discretion.
Monitoring activities may also include, but are not limited to, questioning employees and participants
and entering any premises or onto any site during normal business hours in which any of the services or
activities funded hereunder are conducted or in which any of the records of CONTRACTOR are kept.
Nothing herein shall be construed to require access to any privileged or confidential information as set
forth in federal or state law.
In the event CONTRACTOR does not make the above - referenced documents available
within the City of Santa Ana, California, or at CONRACTOR's premises, CONTRACTOR agrees to
pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location
where said records and books of account are maintained.
All accounting records and evidence pertaining to all costs of CONTRACTOR and all
documents related to this Agreement shall be kept available at CONRACTOR's place of business, or
the location where CONTRACTOR conducted the program, as well as in the County of Orange, for the
duration of this Agreement and thereafter for three (3) years after completion of an audit. Records
which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the
performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State
of California or the United States Government take exception, shall be retained beyond the three (3)
years until resolution of disposition of such appeals, litigation, claims, or exceptions.
J. Without prejudice to any other section of this Agreement, CONTRACTOR
shall, where applicable, maintain the confidential nature of information provided to it concerning
participants in accordance with the requirements of federal and state law. Notwithstanding the
foregoing, CONTRACTOR agrees to submit to CITY, the State of California and /or the United States
Government or their representatives, all records requested for administrative purposes, including
audits, examinations, monitoring and verification of records submitted by CONTRACTOR, costs
incurred and services rendered hereunder.
K. CONTRACTOR agrees to complete in triplicate, a monthly Invoice /Voucher on
CITY's Invoice /Voucher form, showing in detail the amount of money already expended by
CONTRACTOR hereunder, as this is a cash reimbursement contract. Accounting records must be
supported by such source documentation such as cancelled checks, paid bills, payrolls, time and
attendance records, contract and subgrant award documents, as applicable [29 CFR— Subpart C, Section
97.20 (b)(6)]. CONTRACTOR agrees to submit the above - stated documents to the WIB
Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California, 92701, by the
twenty- second (22nd) day of the month following the month in which CONTRACTOR'S services are
performed. Should CONTRACTOR fail to deliver said documents to CITY, CITY shall have the
option to cancel this Agreement by giving CONTRACTOR ten (10) days written notice thereof.
CONTRACTOR shall either return to the CITY excess revenues over costs or use such excess
revenues as program income by utilizing such program income for additional training activities
authorized under the Act.
L. CONTRACTOR agrees to expend all funds in accordance with all applicable
federal, state and local laws and regulations.
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M. CONTRACTOR shall arrange independently for an audit that includes WIA
funds received from CITY, in accordance with the Act, 20 CFR Section 667.200 and OMB Circular A-
133. CONTRACTOR shall submit one original of each required audit report to CITY within (30) days
after the date received by CONTRACTOR. Should CONTRACTOR fail to comply with these
requirements, CITY may at its option withhold payment of funds, or disallow funds or suspend
additional grant funds.
N. CONTRACTOR shall not expend funds pursuant to this Agreement to provide
services to any participant where costs of training are paid for by any other person or entity.
O. CONTRACTOR shall comply with the provisions of Circular A -110 of the U.S.
Office of Management and Budget (OMB) and the related "Common Rule" entitled "Uniform
Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education,
Hospitals and other Non - Profit Organizations, and all other applicable federal statutes and executive
orders and their implementing regulations.
P. CONTRACTOR shall comply with the requirements of federal regulations
found at 29 CFR 93 which provide that no appropriated funds may be expended by the recipient of a
federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting
to influence an officer or employee of any agency, member of Congress or an officer or employee of a
member of Congress in connection with awarding of any federal contract, the making of any federal
grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or
modification of any federal contract, grant, loan or cooperative agreement. CONTRACTOR shall sign
a certification to that effect in a form as set forth in "Exhibit C," attached hereto and by this reference
incorporated herein. CONTRACTOR shall submit said signed certification to CITY prior to
performing any of its obligations under this Agreement and prior to any obligation arising on the part
of CITY to pay any sums to CONTRACTOR under the terms and conditions of this Agreement.
Q. CONTRACTOR agrees to provide a drug -free work place and to execute a
certification as set forth in "Exhibit D" attached hereto and incorporated herein by this reference.
R. CONTRACTOR, in accordance with the Child Support Compliance Act,
recognizes and acknowledges the importance of child and family support obligations and shall fully
comply with all state and federal laws relating to child and family support enforcement, including, but
not limited to: disclosure of information and compliance with earnings assignment orders, as provided
in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to
the best of its knowledge is fully complying with the earnings assignment orders of all employees and
is providing the names of all new employees to the New Employee Registry maintained by the
California Employment Development Department (EDD).
S. CONTRACTOR agrees to comply with all applicable provisions of the ACT and
the federal regulations, including but not limited to the regulations found at 20 CFR part 652 et al.
T. CONTRACTOR agrees to provide priority of services for veterans and eligible
spouses pursuant to 20 CFR part 1010 and the regulations implementing priority of service for veterans
and eligible spouses in Department of Labor job training programs under the Jobs for Veterans Act
published at 73 Fed.Reg. 78132 on December 19, 2008.
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U. CONTRACTOR agrees that any equipment or software purchase must be pre -
approved in writing by the CITY. Any equipment purchased with the funding hereunder shall remain
the property of the City of Santa Ana upon termination of this Agreement.
II.
CITY'S OBLIGATIONS
A. CITY agrees to pay to CONTRACTOR federal funds received under the
provisions of the Act a sum not to exceed One Hundred Forty One Thousand Three Hundred Eighty
Dollars ($141,380) for CONTRACTOR'S performance in accordance with the payment schedule
attached hereto as "Exhibit E" during the period of this Agreement. Said sum shall be paid after CITY
receives invoices submitted by CONTRACTOR as provided hereinabove.
B. CONTRACTOR has the ability to adjust line item amounts in the budget with
the approval of the Executive Director, so long as the total Budget amount does not increase.
C. CITY agrees to provide for on -site monitoring reviews of said program
operation at least twice annually. In addition, monthly desk -top reviews of pertinent information will
be conducted.
D. CITY has the right to de- obligate the funds hereunder and take such funding
back from CONTRACTOR due to any of the following reasons: (a) lack of performance by
CONTRACTOR; (b) lack of fiscal accountability of CONTRACTOR; or (c) decrease in available
funding.
III.
TIME PERIOD OF AGREEMENT
The term of this Agreement shall commence on December 1, 2011, and all duties
arising under this Agreement shall have been performed by November 30, 2015. The term of this
Agreement may be extended by a writing executed by the City Manager and the City Attorney.
IV.
INDEPENDENT CONTRACTOR
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.
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V.
WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS
A. CONTRACTOR shall use appropriate funds received from CITY to provide
workers' compensation to all those hired by CONTRACTOR under this Agreement.
B. CONTRACTOR shall have the right to hire, dismiss, or promote its employees
or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard
does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any
other applicable law, and CONTRACTOR maintains itself as an Equal Opportunity employer.
VI.
APPLICABLE GUIDELINES
A. The parties hereto agree that CONTRACTOR shall comply with all applicable
federal and state laws and regulations, including, but not limited to the Performance Standards
(Exhibit A) and general program requirements described in Sections 106 and 141 of the Act (29 USC
Sections 1516 and 155 1) and applicable regulations, and the U.S. Department of Labor guidelines and
regulations, including amendments or revisions made during the term of this Agreement. Said
applicable laws are hereby incorporated by reference and made as part of this Agreement as though
fully set forth herein.
B. CONTRACTOR also assures and certifies that:
1. CONTRACTOR shall comply with Title VII of the Civil Rights Act of
1964 (P.L. 83 -354) and in accordance with Title VII of the Act, no person shall, on the grounds of race,
color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the
benefits of, or be otherwise subjected to discrimination under this Agreement.
2. CONTRACTOR shall comply with any and all federal laws limiting the
political activity of employees hired under this Agreement.
3. CONTRACTOR shall comply with the requirements that no program
under the Act shall involve political activities.
4. RECORD INSPECTION. CONTRACTOR shall provide the U.S.
Department of Labor and the Controller General, by and through any authorized representative, as well
as the WIB Administrative Office, access to and the right to examine all records, books, papers or
documents relating to the accounting and use of funds under this Agreement for a three -year period
from and after the effective date of this Agreement.
5. No person with responsibilities in the operation of any program under the
Act shall discriminate with respect to any program participant or any application for participation in
such program because of race, creed, color, national origin, sex, political affiliation or beliefs.
6. CONTRACTOR shall maintain appropriate standards for health and
safety in work and training situations, as applicable.
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7. CONTRACTOR shall comply with general provisions, assurances, and
certifications attached hereto as "Exhibit F" and incorporated herein.
8. EQUAL OPPORTUNITY. Any literature distributed by
CONTRACTOR for the purpose of apprising businesses, participants, or the general public of its
programs under this Agreement shall state that its programs are supported by the City of Santa Ana and
the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity
employer /program" and that "auxiliary aids and services are available upon request to individuals with
disabilities."
9. Based on the population eligible to be served, or likely to be directly
affected by the WIA program or activity, the services or information may need to be provided in a
language other than English in order to allow such population to be effectively informed about or able
to participate in the program or activity. Pursuant to 29 CFR 37.35, the CONTRACTOR must take
reasonable steps to provide services and information in appropriate languages after considering the
scope of the program or activity, and the size and concentration of the population that needs services or
information in a language other than English.
10. CONTRACTOR certifies that all property, finished or unfinished
documents, data, studies and reports prepared or purchased under this Agreement, will be disposed of
in accordance with the direction of the CITY. In addition, any tools and /or equipment furnished to the
CONTRACTOR by the CITY and /or purchased by the CONTRACTOR with funds pursuant to this
Agreement, will be limited to use within the activities outlined in this agreement and will remain the
property of the United States Government and /or CITY. Upon termination of this Agreement,
CONTRACTOR will immediately return such tools and /or equipment to the CITY or dispose of them
in accordance with the direction of the CITY.
11. CONTRACTOR certifies that this Agreement does not provide for the
advancement or aid to any religious sect, church or creed, or sectarian purpose nor does it help to
support or sustain any school, college, university, hospital or other institution controlled by any
religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the
Constitution of the State of California, regarding separation of church and state.
12. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The
CONTRACTOR will disclose to the CITY any invention, written product, computer program
developed or data assembled as a result of performance of work under this Agreement within seventy
four (74) days of invention, development or assembly. The CITY, State of California, and U.S.
Department of Labor will have the right to patent any invention and copyright any written product or
computer program or data generated by CONTRACTOR. Upon written request, CONTRACTOR will
transfer all pertinent information, specifications and right, title and interest to the designated agency.
13. INVENTIONS, PATENTS AND COPYRIGHTS.
A. Reporting Procedure. If any project produces patentable items, patent rights,
processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or
agreement, the CONTRACTOR shall report the fact promptly and fully to the CITY. The CITY shall
report the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY
and the DOL and its representative on these matters, the DOL shall determine whether to seek
protection on the invention or discovery. The DOL and its representative shall determine how the
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rightsin the invention or discovery, including rights under any patent issued thereon, will be allocated
and administered in order to protect the public interest consistent with the "Governmental Patent
Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23,
1971, and Statement of Government Patent Policy as printed in 36 FR 16889).
B. Copyright Policy.
1. Unless otherwise provided in the terms of the grant or agreement, when copyright -
able material is developed in the course of or under a DOL Grant or agreement, the author and the
CITY which developed the work is free to copyright material or to permit others to do so. The
CONTRACTOR and the Workforce Investment Board (WIB) shall have a royalty -free, nonexclusive
and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted
material.
2. The DOL reserves a royalty -free, nonexclusive, and irrevocable license to
reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes:
(a) The copyright in any work developed under any grant, sub - grant, or contract under a grant or
subgrant; (b) Any right of copyright to which a grantee, subgrantee or a CONTRACTOR purchases
ownership with grant support; and (c) CONTRACTOR shall comply with the requirements of 29
CFR Part 97.34.
C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data
first procured or delivered under this Agreement.
14. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder
exceeds $100,000, CONTRACTOR must comply with Section 306 of the Clean Air Act [(42 USC
1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and
Environmental Protection Agency ( "EPA ") regulations (40 CFR Part 15) as any may now exist or be
hereafter amended. Under these laws and regulations, the CONTRACTOR assures that:
(a) No facility to be utilized in the performance of the proposed grant has been listed
on the EPA List of Violating Facilities;
(b) It will notify CITY prior to award of the receipt of any communication from the
Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be
utilized for the grant is under consideration to be listed on the EPA List of
Violating Facilities;
(c) It will notify the CITY and the EPA about any known violation of the above laws
and regulations.
C. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT:
1. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in
order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This
Agreement will be administered in an impartial manner, free from errors to gain personal, financial
political gain. CONTRACTOR, its officers and employees, in administering this Agreement, will
avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias,
special interest or desire for personal gain.
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2. Employment of Former State or CITY Employees. CONTRACTOR will not knowingly
and willfully assign 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, to any part or phase of the activities
conducted pursuant to this Agreement for a period of not less than two years following the termination
of such employment.
3. Conducting Business Involving Relatives. No relative by blood, adoption or
marriage of any executive or employee of CONTRACTOR will receive favorable treatment when
considered for enrollment in programs provided by, or employment with, CONTRACTOR.
4. Conducting Business Involving Close personal Friends and Associates.
Executives and employees of CONTRACTOR will be particularly aware of the varying degrees of
influence that can be exerted by personal friends and associates and, in administering this Agreement,
will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is
being granted to friends and associates. When it is in the public interest for CONTRACTOR to
conduct business with a friend or associate of an executive or employee of CONTRACTOR, an elected
official in the area or a voting or non - voting member of the Workforce Investment Board (WIB), a
permanent record of the transaction will be retained.
5. Avoidance of Conflict of Economic Interest. No executive or employee of
CONTRACTOR, elected official in the area, or voting or non - voting member of a WIB, will solicit or
accept money or any other consideration from a third person, for the performance of an act reimbursed
in whole or part by CONTRACTOR or CITY. Supplies, materials, equipment or services purchased
with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No
voting member of the WIB will cast a vote on the provision of services or vote on any matter which
would provide direct financial benefit to that member or any business or organization which the
member directly represents.
6. Salary and Bonus Limitations. All Subrecipients of WIA program funds are required to
comply with federal requirements regarding the limitations on salary and bonus payments in
accordance with Public Law 109 -149, Section 7013.
VII.
HOLD HARMLESS
A. CONTRACTOR shall indemnify and hold harmless CITY, their officers, employees and
representatives from and against all claims, damages, losses and expenses including attorney fees
arising out of the performance of the work described herein, caused in whole or in part by any
negligent act or omission of the CONTRACTOR, its subcontractor, anyone directly or indirectly
employed by any of them or anyone for whose acts any of them may be liable, except where caused
by the active negligence, sole negligence or willful misconduct of CITY.
B. CITY shall indemnify and hold harmless the CONTRACTOR, California State University,
Fullerton, the Trustees of the California State University, the State of California, their officers,
employees, representatives and volunteers from and against all claims, damages, losses and expenses
including attorney fees arising out of the performance of the work described herein, caused in whole
or in part by any negligent act or omission of CITY, its subcontractor, anyone directly or indirectly
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employed by any of them or anyone for whose acts any of them may be liable, except where caused
by the active negligence, sole negligence or willful misconduct of the CONTRACTOR.
VIII.
INSURANCE
1. Commercial General Liability. CONTRACTOR agrees to obtain and keep in force
during the term of this Agreement a policy of general liability insurance insuring the State of
California, CITY, and CONTRACTOR against any liability for accident, injury or death arising out of
or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million
Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or
occurrence. Said policy of general liability insurance shall be endorsed to provide to CITY and to the
State of California, Employment Development Department, with written notice prior to cancellation;
name CITY and the State of California as additional insured; and state that such coverage is primary to
any other coverage or self - insurance of the State of California and CITY. Governmental entities may
substitute a certificate of self - insurance.
2. Automobile Liability Coverage. CONTRACTOR shall also obtain and maintain,
during the effective period of this Agreement, broad form automobile liability coverage with a
$1,000,000 limit unless reduced by CITY, which applies to owned /leased and non -owned or hired
vehicles used by CONTRACTOR employees or participants in performance of this Agreement
Governmental entities may substitute a certificate of self - insurance.
3. Workers' Compensation. If CONTRACTOR is an "employer ", as set forth in
California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in
California Labor Code Section 3350 et seq., CONTRACTOR shall obtain and keep in force during the
term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by
participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of
cancellation or modification.
4. Equipment Coverage. CONTRACTOR shall purchase a policy or policies of
insurance covering loss or damage to any and all Equipment provided to or purchased by
CONTRACTOR in accordance with this Agreement. Said insurance shall be in the amount of the full
replacement value thereof, providing protection against the classification of fire, vandalism, malicious
mischief, and theft. Governmental entities may substitute a certificate of self - insurance.
5. Proof of Insurance. Certificates and endorsements must be submitted and approved by
CITY. CONTRACTOR understands that CITY will make no payments under this Agreement until the
required certificates and endorsements have been approved by CITY.
IX.
CORPORATE STATUS
All corporate CONTRACTORS shall be in good standing, without suspension by the
California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in
corporate status or suspension shall be reported immediately to CITY.
X.
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ASSIGNABILITY
None of the duties of, or work to be performed by, CONTRACTOR under this Agreement
shall be subcontracted or assigned to any agency, consultant, or person without the prior written
consent of CITY. CONTRACTOR must submit all subcontracts and other agreements that relate to
this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of
CONTRACTOR pursuant to this Agreement.
XI.
LAWS GOVERNING THIS AGREEMENT
In its performance under this Agreement, CONTRACTOR shall fully comply with the
requirements of the following, whether or not otherwise referred to in this Agreement:
1. The Act and all applicable federal statutes, regulations, policies, procedures and directives,
including but not limited to, 20 C.F.R. Parts 652 and 660 through 671.
2. All applicable State statutes, regulations, policies, procedures and directives;
3. All applicable CITY policies, procedures and directives;
4. All applicable local ordinances and requirements, including use permits and licensing;
5. Court orders applicable to its operation; and,
6. The terms and conditions of this Agreement.
If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with
such or will notify CITY after enactment or modification that it cannot so comply. CITY may
thereupon terminate this Agreement, if necessary.
XII.
EXCLUSIVITY AND AMENDMENT OF AGREEMENT
This Agreement supersedes any and all other agreements, either oral or in writing,
between the parties hereto with respect to the employment of CONTRACTOR by CITY, and contains
all the covenants and agreements between the parties with respect to such employment. Each party to
this Agreement acknowledges that no representations, inducements, promises or agreements, orally or
otherwise, have been made by any party, or anyone acting on behalf of any party, which are not
embodied herein, and that no other agreement or amendment hereto shall be effective unless executed
in writing and signed by both CITY and CONTRACTOR.
XIII.
FRAUD
CONTRACTOR shall immediately report to CITY all instances and facts concerning
possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this
Agreement.
XIV.
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CONTINGENCY OF FUNDS
CONTRACTOR acknowledges that approval of and funding for this Agreement is
contingent upon Federal approval, and funds received or obligated from the Department of Labor to
CITY. If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately
notify CONTRACTOR. Within twenty (20) days of receipt of such notice, CONTRACTOR shall
modify or cease operations as directed by CITY and negotiate necessary modification to this
Agreement and /or reimbursement of costs incurred hereunder.
XV.
TERMINATION
A. This Agreement may be terminated by either party at its sole discretion, upon thirty (30)
days written notice to the other party. Notice shall be deemed served on the date of certified mailing.
However, CONTRACTOR may not terminate this Agreement if undue hardship will result to any
participant. CITY shall pay CONTRACTOR for all costs, including non - cancellable obligations,
incurred by CONTRACTOR through the date of termination.
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,
including CONTRACTOR's non - cancellable obligations, incurred for services satisfactorily and timely
performed prior to the mailing or service of the notice of termination, and except for reimbursement of
(1) any payments made for services not subsequently performed in a timely and satisfactory manner, and
(2) costs incurred by CITY in obtaining substitute performance.
XVI.
DISPUTES
Except as otherwise provided in this Agreement, any dispute concerning any question
arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision
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 delivery of such copy, CITY
receives from CONTRACTOR written request to appeal said decision.
Procedures governing the appeal shall be prescribed by CITY and /or the State of
California in accordance with the Act and applicable 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.
Page 12 of 15
BREACH - SANCTIONS
If, through any cause, CONTRACTOR violates any of the terms and conditions of this
Agreement whereby grant funds were received by CONTRACTOR, or if CONTRACTOR reports
inaccurately or if any Audit Report makes disallowances, CONTRACTOR shall promptly remedy its
acts or omissions and /or repay CITY all amounts due CITY as a result of CONTRACTOR's violation.
For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1)
discontinue program support until such time as CONTRACTOR fulfills its obligations or remedies all
violations of this agreement or prior agreements; and /or (2) collect outstanding amounts as determined
by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days'
written notice CONTRACTOR has failed to repay same or a repayment schedule has not been made;
and /or (3) terminate this Agreement by giving written notice to CONTRACTOR of such termination in
accordance the notice provision in Paragraph XVIII herein below.
XVIII.
NOTICES
All notices, reports and correspondence between the parties hereto respecting this
Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as
follows:
and,
CITY: City of Santa Ana
Manager, WIB Administrative Office
P.O. Box 1988 (M -73)
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
Telefacsimile (714) 647 -6956
CONTRACTOR: CSU Fullerton Auxiliary Services Corporation
ATTN: Denise Belle
2600 Nutwood Avenue, Suite 250
Fullerton, CA 92831
Telephone (657)278 -4110
E -mail: dbell @fullerton.edu
XIX.
MERGER
This Agreement, together with the attachments hereto, expresses the total understanding
of the parties. There are no oral understandings of the parties or terms and conditions other than as
stated herein.
Page 13 of 15
VALIDITY
The invalidity in whole or in part of any provision of this Agreement shall not void or
affect the validity of any other provision of this Agreement.
XXI.
MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature hereinbelow has the power,
authority and right to bind their respective parties to each of the terms of this Agreement, and shall
indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY
in the event that such authority or power is not, in fact, held by the signatory or is withdrawn.
b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in
the body of this Agreement.
Page 14 of 15
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first
above - written.
CITY OF SANTA ANA, a municipal
corporation of the State of California
ATTEST: "CITY"
7414 Ilk
Maria D. Huizar PauT Walters
Clerk of the Council City Manager
"CONTRACTOR"
In
OSU Fulle ux i ry Services Corporation
Frank A. Mum rd
Executive Direc
Tax ID #: 95- 2081258
APPROVED AS TO FORM:
Sonia R. Carvalho
City Attorney
By: �5
Lisa E. Storck
Assistant City Attorney
Page 15 of 15
California State University Fullerton
Orange County Bridge to Engineering Project (OC B2E)
Scope of Work
EXHIBIT A
Letterof Commitment ......................................................................... ............................... pg. 2 -6
GrantNarrative ................................................................................... ............................... pg. 7 -9
WorkPlan ....................................................................................... ............................... Pg. 10 -13
1
Letter of Commitment: Orange County Bridge to Engineering Project
Among
Workforce Partners: Santa Ana Workforce Investment Board; Growth
Sector
Education Partners: Canada, and Santa Ana Community Colleges,
California State University Fullerton, University
of California Irvine, RapidTech;
Employer Partners: OCTANe; Autodesk Manufacturing Users Group
The above -named partners have collaborated on an application for a H -1B Technical Skills Training
Grant from the U.S. Department of Labor. The partners listed above have agreed to enter into a collaborative
agreement in which the Santa Ana Workforce Investmet Board will be the lead agency and named applicant
and the other agencies will be partners in this application. The partners wish to enter into a Letter of
Commitment setting forth the services to be provided by the collaborative. All of the Workforce and
Education partners have an established and successful record of providing employment and training,
education, collaborative workforce development projects and working closely with local and regional
employers, as described in more detail in the technical narrative of the grant application attached to this
agreement. The Employer partners listed above have approached the workforce and education partners with
their need to develop a future workforce and contribute to improved education and training of engineers in
southern California, as described in detail in the technical narrative.Our Foundation partner is extremely
active in STEM education and engineering workforce issues.
This application was planned and prepared by the lead agency, Santa Ana Workforce Investment
Board, in collaboration with the aforementioned partners, through a series of discussions amongst senior
management from each entity. The partners have worked together to develop information about the extent of
the need for the proposed services, existing service gaps, scope of services, and the proposed project budget.
All signing partners have approved this application, which is a request for new funding for the Orange
County Bridge to Engineering Project (OC 132E) to be submitted to the U.S. Department of Labor on or
before June 2, 2011.
The partners enter into this Letter of Commitment and assert that the primary goal of OC B2E is to
develop a sustainable, integrated system for channeling students through pre - college into four -year university
engineering programs while preparing them for real -world work situations. To achieve this goal, project
partners will:
• Build a nine -month intensive Core Engineering Bridge course that incorporates a jump start math boot
camp; an intensive and integrated math program including algebra, trigonometry, pre - calculus, and
introduction to engineering careers
• Enable OC B2E participants to directly enter the already established four year community
college /CSU /UC engineering pathways
• Enable OC B2E cohorts to move through most of their first two years as a learning community.
• Support cohorts of students through the pathways with tutoring, mentoring, case management academic
and financial aid and counseling
• Offer intensive Summer Engineering Institutes with project based learning
• Facilitate transfers to four -year universities' engineering programs for OC B2E graduates
• Provide paid and unpaid internships and career exploration opportunities for participating students This
Letter of Commitment details the roles and responsibilities for the lead agency and each collaborative
partner in implementing the proposed Orange County Bridge to Engineering Project (OC B2E) The terms
of this LOC are conditional on the U.S. Department of Labor awarding a H1B Technical Skills Training
grant to Santa Ana WIB .Grant amounts and matching funds are subject to revision based on the financial
circumstances and budgets of the undersigned cooperating agencies. Since the budget will be negotiated
finally once the grant is awarded, we are not specifying the dollar amounts of the grant award per agency
at this time. This LOC is not a contract and only covers the intent to serve and partners' roles in the
project.
PARTNER ROLES & RESPONSIBILITIES
In order to provide the full scope of work outlined above and in the grant application, the
responsibilities of each partnering agency will include:
WORKFORCE PARTNERS
Each Workforce Partner will provide services and activities as outlined in the grant narrative and
workplan, including_
1. Provide staff to participate in the project's ongoing collaborative planning, implementation, and
activities
2. Conduct outreach and recruitment for grant participants.
The Santa Ana Workforce Investment Board will further provide services and activities as outlined in
the grant narrative and workplan, including:
1. Serve as the contractual and administrative lead agency and be responsible for fiscal management,
subcontracting, and grant reporting.
2. Provide WIA eligibility assessment, enrollment, skills and interest assessment, and case management for
two cohorts, of 33 -35 OC 132E participants per cohort, for each of the first three years of the grant period.
3. Coordinate with their local community college and Growth Sector's Student Support Services to ensure
individualized wraparound services for each participant in the program.
4. Provide its full complement of workforce services, including the services of its One Stop Career
Centers. One Stop services include job search workshops such as resume building, interview practice,
and soft skills development.
5. Leverage its WIB to create internship and mentoring opportunities for OC 132E participants
6. Make available its One Stop facilities for workshops, team building, and other program elements.
7. Conduct outreach to its full range of relevant workforce partners, as well as WIB board members,
including businesses, social services and local government partners to provide opportunities and
support for OC 132E participant
Growth Sector will provide services and activities as outlined in the grant narrative and workplan,
including:
1. Provide project management and coordination to the OC 132E Coalition to ensure progress toward the
Coalition's goals
2. Serve as the employer of record for Student Support Specialists at each community college.
3. Coordinate third -party review process for curriculum deliverables
4. Conduct employer outreach and development
5. Develop a resource and sustainability plan
EDUCATION PARTNERS
All Education Partners (Canada, Saddleback and Santa Ana Community Colleges, CSU Fullerton,
and UC Irvine) will provide services and activities as outlined in the grant narrative and workplan
including:
1. Provide staff to participate in the project's ongoing collaborative planning, implementation, and
activities, with the time required for this purpose, including providing a stipended faculty member to
serve on the Instructional Design Team.
2. Provide facilities and instruction for OC 132E as specified in the grant.
Saddleback and Santa Ana Community College Partners will provide services and activities as
outlined in the grant narrative and workplan, including_
1. Provide assessment on each student in preparation to attend their OC B2E Community College
2. Coordination of transfer and articulation with four -year institutions in the OC B2E Consortium
3. Participate in the development of the OC 132E curriculum and supporting elements with a
representative of at least one faculty member to serve on the Instructional Design Team
4. Facilities and support for Summer Engineering Institutes
5. Intensive cohort -based counseling and individual academic advising through a tutor /mentor
6. Assist students with the Community College application process and develop SEPs (Student Education
Plans) in group settings
7. Inform the students of Community College services available to them when they are enrolled
8. Financial Aid will disseminate information and have students complete the online FAFSA and BOG
forms, and provide at least two workshops on financial aid per year.
In addition:
Canada College will provide services and activities as outlined in the grant narrative and workplan
including: :
1. Serve as Technical Assistance provider for Math Jam curriculum to OC B2E partner colleges.
2. Support SFSU with development of curriculum for Core Engineering Bridge
University of California Irvine will provide services and activities as outlined in the grant narrative and
workplan, including: :
1. Provide access to computer lab hardware and software for Summer Engineering Institute participants in
coordination with RapidTech
2. Provide logistical support to Summer Engineering Institutes, for two cohorts of approximately 30 -35
students each per year.
3. Participate in the development of the OC 132E curriculum and supporting elements by consulting with
the OC B2E Instruction Design Team.
4. Work with community colleges to develop articulation agreements and facilitate transfer of OC B2E
cohorts
5. Provide tours and career exploration during Summer Engineering Institutes
6. Recruit employers to provide internships through the SAGE Scholars program; provide mentoring and
support to UCI SAGE Scholars.
7. Provide Summer Scholars Transfer Institute programming for OC 132E participants as specified in the
workplan and budget.
8. Provide academic counseling for selected engineering students as part of OC B2E.
California State University Fullerton will provide services and activities as outlined in the grant
narrative and workplan, including: :
1. Provide academic counseling for selected engineering students (approximately 10 per year) as part of OC
132E in Years 1 and 2 of the project and to all Santa Ana and Saddleback community college transfers in
Years 3 and 4 of the project
2. Work with OC 132E staff to place approximately 10 OC 132E engineering upperclassmen per year in long-
term internships.
3. Participate in the development of the OC B2E curriculum and supporting elements by consulting with
the OC B2E Instruction Design Team.
4. Work with community colleges to develop articulation agreements and facilitate transfer of OC B2E
cohorts
San Francisco State University will provide services and activities as outlined in the grant narrative and
workplan, including: :
1. Serve as the Inststructional Design Lead for OC B2E's Core Engineering Bridge component.
2. Participate in the development of the OC B2E curriculum and supporting elements.
RapidTech will provide services and activities as outlined in the grant narrative and workplan, including:
1. Provide staff to participate in the project's ongoing collaborative planning, implementation, and
activities with the time required for this purpose
2. Participate in development and delivery of Summer Engineering Institutes in collaboration with
Orange County -based education partners
3. Provide outreach and recruitment assistance to OC B2E through field trips to the RapidTech labs and
other activities.
4. Reach out to employer partners as appropriate to develop internships for OC B2E participants.
DI0112 rI6W137l.41►M 31XI
All Employer Partners will:
1. Provide staff to participate in the project's ongoing collaborative planning, implementation, and activities
with the time required for this purpose.
2. Assist workforce and education partners in defining the skills, knowledge, and experience needed by
engineers so that engineering students are well - prepared for the workplace.
3. Consider any successful long -term interns for permanent employment as appropriate
4. Assist the workforce and education partners in publicizing the opportunities available through OC
B2E.
OCTANe will provide services and activities as outlined in the grant narrative and workplan, including:
1. Actively recruit businesses to provide internships and work experience for OC 132E participants
2. Sign up additional information technology, clean tech, life science, and biomedical employer partners
from among the OCTANe membership, in addition to Abbott Medical Optics, Allergan, Aubrey Group,
Bausch & Lomb Surgical, Emulex, Experian, Intersect Partners, Med Focus, Microsemi, Sequent
Medical, Source Scientific, and Vertos Medical, which have already committed to place OC 132E
participants in 39 internships and 45 work experience opportunities.
Autodesk Manufacturing Users Group (AMUG) will provide services and activities as outlined in the
grant narrative and workplan, including:
1. Actively recruit businesses to provide internships and work experience for OC B2E participants from
among its members
2. Set a target of at least 10 OJT placements /internships per year for AMUG.
COMMITMENT TO PARTNERSHIP
1. All partners commit to participation in the Orange County Bridge To Enginering Consortium (OC 132E
Consortium), providing all requested information, services, and activities described in the grant narrative
work plan.
2. All partners commit to a good faith effort to sustain commitments of resources for the life of the grant and
to seek to institutionalize and sustain OC B2E programs and initiatives beyond expiration of grant funds.
3. Compensation for funded partners' contribution to this project will be provided as outlined in the budget
detail. All partners to be paid for subcontracting services under this grant have reviewed the proposed
budget and approved the individual budget for their agency services.
4. This agreement assumes that all parties will put forth their best efforts to work together with all
collaborative partners and act in good faith in carrying out the terms of this letter.This Letter of
Commitment represents the entire agreement of the parties and may be modified only in writing and with
the consent of the above referenced parties. By signing here, each entity signified approval of this
collaboration, including the proposed budget, for the duration of H I B Technical Skills Training Grant
funding.
Signed: `Ip'4LI A, M,f,j'YlGtJay 24, 2011
Name: Linda A. Oberman, Santa Ana WIB Director
Agency: Santa Ana Workforce Investment Board
Signed: 25�4 May 24, 2011
Name: Hsu, Associate Professor of Mathematics
Si ned, 2011
Name: William C. Tang, Associate Dean or Research
Agency: University of California, Irvine
Si ned• 2011
•� 4
Name. Thomas Mohr. President
Agency: San Francisco State University Agency: Canada College
Si ed:
Name:
Title: V6 t cit,W d ckaw o
Date: May 23, 2011
Signed: May 23, 2011
Name: J es right, Dean of MA, Science & En g.
Agency: Saddleback Community College
Signed��'"`"` May 24, 2011
Name: &4d G e , director
Agency: Growth Sector
—Signed;, Ma 28, 2011
Name: Gary R inowitz, AMUG Pre rdent
Agency: Autodesk Manufacturing Users Group (AMUG)
of Orange County
Signed.
Name- Al O .4 ,,)
Title: 11 &! tit' Cs.S t {)
Date: May 23, 2011
Agency: Santa Ana College
Si ed ay 28, 2011
Name. enshen Fong, Director, School of Engineering
Agency: San Francisco State University
Signed; ",' - s Ax*AWN 2011
Name: Susamma Barua, Associate Dean
Signed:
Name: Caz Pereir Director
Agency: Samueli Foundation
GRANT NARRATIVE (CSUF)
Orange County Bridge to Engineering (OC B2E)
(H -1B Technical Skills Training Grant)
College of Engineering and Computer science
California State University Fullerton
Scope of Work
The College of Engineering and Computer Science (ECS) at California State University,
Fullerton (CSUF), in collaboration with the Orange County Bridge to Engineering (OC 132E)
partnership, will design and implement a multifaceted program to expand recruitment and
increase retention of underrepresented minorities and women in engineering and increase the
supply of qualified engineers in Orange County. The program addresses Southern California
employers' acute need for engineering graduates, provides internship and on the job training
(OJT) opportunities in engineering, and accelerates students into articulated engineering
pathways that exist between the Santa Ana Community College, Saddleback Community College
and the California State University, Fullerton.
Program Activities
The program at CSUF incorporates a wide range of activities in supporting our target population
at the community colleges. These include: an Introduction to Engineering Careers workshop,
transfer assistance, tutoring, mentoring, interactive learning and academic support. In addition to
the participants at the community colleges, we are also strengthening and supporting existing
engineering pathways for current CSUF ECS students pursuing engineering degrees. This
strategy will include: additional tutoring for engineering students identified by faculty as needing
academic support, mentoring by more advanced students, dedicated college academic
counseling, and opportunities for internship /OJT placements in year 1 and 2 of the program. All
tutors /mentors will receive training and counseling to enable them to mentor and support project
participants more effectively. Participants and tutors /mentors will work collaboratively to learn
study and networking habits, reinforcing material from core courses by practicing problem
solving techniques.
The program will provide a total of forty internship /OJT placements, ten per year in years 1 and
2 for the current CSUF engineering students, who have completed their first two years of
engineering requirements, and ten per year for the transfer students from Santa Ana and
Saddleback in years 3 and 4. The OC 132E partnership will identify and recruit the employers.
The College will participate in the development of articulation agreements for engineering
pathways that start with the community colleges. The completion of transfer requirements to
four -year universities' engineering programs is a critical step for students in becoming qualified
engineers with the B.S. degrees required by most employers.
7
Work Plan (CSUF)
Dr. Susamma (Susan) Barua, Associate Dean of the College of Engineering and Computer
Science at California State University, Fullerton (CSUF), will provide the overall coordination of
the activities at CSUF.
Coordinate CSUF activities with OC 132E partners; recruit/hire tutors /mentors; oversee
tutoring /mentoring
Responsible Person: CSUF Project Coordinator & Academic Counselor (VictorDelgado)
Start — End: January 2012- Aug 2015
Deliverable: Qualified tutors and mentors are hired to provide tutoring and
mentoring support to CSUF engineering students and OC 132E
community college transfers
2. Offer a 3 -day summer "Introduction to Engineering Careers" workshop to community
college students from Santa Ana and Saddleback
Responsible Person: CSUF Engineering Faculty (Dr. Binod Tiwari)
Start — End: Summer 2012 (Dates to be determined)
Deliverable: Students will gain a general understanding of each engineering
discipline, appreciation of the breadth of the field, and the ability to
make intelligent choice of major. Students will learn work in a team
and carry out a basic design project
Provide dedicated academic counseling, tutoring and support services to CSUF
engineering students and OC 132E community college transfers from Santa Ana and
Saddleback
Responsible Person: CSUF Project Coordinator & Academic Counselor (Victor Delgado)
& CSUF Engineering Faculty (Dr. Kenneth John Faller)
Start — End: January 2012- Aug 2015
Deliverable: At least 25 CSUF engineering students and all OC 132E community
college transfers receive counseling, tutoring and support
4. Organize engineering fieldtrips for CSUF engineering students and OC 132E community
college transfers from Santa Ana and Saddleback
Responsible Person: CSUF Project Coordinator & Academic Counselor (Victor Delgado)
Start — End: January 2012- Aug 2015
Deliverable: Acquaint CSUF engineering students and OC 132E community
college transfers with career opportunities
CSUF Engineering faculty meets regularly with the OC 132E Instructional Design Team
(IDT) to improve articulation, transfer and curriculum
Responsible Person: CSUF Engineering Faculty (Dr. Kenneth John Faller)
Start — End: January 2012 - June 2014
Deliverable: IDT makes improvements in articulation, transfer processes,
curriculum to meet student & business needs
M
6. Internship /OJT placement coordination for CSUF ECS juniors
Responsible Person: CSUF Project Coordinator & Academic Counselor (Victor Delgado)
Start — End: January 2012 — August 2015
Deliverable: Forty CSUF ECS junior placed in internship /OJT
7. Steering Committee meetings and reporting - Quarterly reports to Steering Committee on
progress toward goals
Responsible Person: CSUF Project Coordinator & Academic Counselor (Victor Delgado)
& CSUF Engineering Faculty (Dr. Kenneth John Faller)
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COMPLAINT HANDLING
UNDER THE
WORKFORCE INVESTMENT ACT
SANTA ANA
WIA
Santa Ana Local Workforce Investment Area
Revised May 7, 2009
EXHIBIT B
Table of Contents
Information Regarding Complaints
A. Nondiscrimination and Equal Opportunity Complaints
1. Policy Statement
2. Civil Rights
3. Nondiscrimination laws under W
3
3
3
4
4
4. How to File Your Complaint 5
B. Criminal Complaints 6
II. General Procedures for Handling Non - Criminal Violations of the Act 6
III. Procedures for Handling Complaints at the LWIA Level 8
IV. Procedures for Handling Complaints at the State Level 12
V. Procedures for Handling Discrimination Complaints by Participants 15
VI. Procedures for Handling Handicap Complaints by Participants 17
GLOSSARY OF WIA TERMS
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EXHIBIT B
Information Regarding Complaints
A. Nondiscrimination and Equal Opportunity Complaints
1. Policy Statement
In carrying out the purpose of the Workforce Investment Act (WIA), the City of Santa
Ana Local Workforce Investment Area (LWIA) will establish programs to prepare
youth and unskilled adults for entry into the labor force and to afford job training to
those individuals facing serious barriers to employment. Every effort will be made to
provide services necessary for eligible individuals to obtain productive employment.
In implementing WIA, all contractors in the Santa Ana LWIA will foster equal
opportunity and non - discrimination, as provided in State and Federal equal
opportunity and non - discrimination laws including, but not limited to:
• Title VI of the Civil Rights Act of 1964
• Title VII of the Civil Rights Act of 1964
• The Age Discrimination Act of 1975, as amended
• Section 503 of the Rehabilitation Act of 1973
• Section 504 of the Rehabilitation Act of 1973
• Title IX of the Education Amendments of 1972
• Section 188 of the Workforce Investment Act of 1998
In keeping with our commitment, no individual shall be excluded from participation in,
denied benefits of, subjected to discrimination under, or denied employment, in the
administration or of in connection with any WIA funded program because of race,
color, religion, sex, national origin, age, handicap, or political affiliation or belief.
Participation in programs and activities financially assisted in whole or in part under
WIA shall be open to citizens and nationals of the United States, lawfully admitted
permanent resident aliens, lawfully admitted refugee, parolees, and other individuals
authorized by the Attorney General to work in the United States.
No individual will be intimidated, threatened, coerced, or discriminated against
because of filing a complaint, furnishing information, or assisting or participating in
any manner in an investigation, compliance review, hearing or any other activity
related to the administration of WIA.
3
EXHIBIT B
Administration responsibility for this Equal Opportunity /Affirmative Action (EO /AA)
Program is delegated to the Equal Employment Opportunity (EEO) Officer for the
Santa Ana local Workforce Investment Area. Equal opportunity and non-
discrimination, however, will only be achieved through leadership and implementation
of a viable Affirmative Action Equal opportunity Program.
2. Civil Rights
No one applying for or enrolled in the Workforce Investment Act (WIA) programs may
be discriminated against because of race, color, creed, handicap, national origin, sex,
age, political affiliation, or beliefs.
This means that — for any of the characteristics listed above:
• You may not be denied the opportunity to enroll in WIA.
• No benefits or services may be denied you for discriminatory reasons.
• You may not be segregated or treated any differently from other applicants or
participants, while you are being registered, interviewed, counseled or tested; or
while you are working or attending classes as part of the program.
• You must be provided an equal chance to use all facilities available in the
program.
• Fair employment practices must be provided to all staff with regard to recruiting,
hiring, transferring, promotions, training, compensation, benefits, layoff, and
termination.
You have the right to make a complaint if you feel you have been denied any of the
above opportunities. You cannot in any way be penalized for filing a complaint. Your
WIA sponsor has established a mechanism for handling complaints and grievances.
Your complaint must be filed within 180 days. All complaints will be handled
confidentially.
3. Nondiscrimination Laws under WIA
Title VI of the Civil Rights Act of 1964
Prohibits discrimination on the basis of race, color, national origin, or religion.
The Age Discrimination Act of 1975
Prohibits arbitrary discrimination against persons age 40 -70.
The Rehabilitation Act of 1973
4
EXHIBIT B
Prohibits discrimination based on handicap.
Title IX of the Education Amendments of 1972
Prohibits discrimination in any education or training program or activity receiving
federal financial assistance.
OTHER CIVIL RIGHTS LAWS:
Title VII of the Civil Rights Acts of 1964
Prohibits discrimination in employment based on race, color, religion, sex, or
national origin in all terms and conditions of employment and establishes the
Equal Employment Opportunity Commission as the administrative agency.
White House Executive Order no. 11246 as Amended by Executive Order No.
11375
Creates the office of Federal Contract Compliance and prohibits discrimination
based on race, color, sex, religion, or national origin.
Department of Labor Secretary's Order no. 4 -73
Prohibits discrimination based on sex.
Equal Pay Act of 1963
Prohibits pay differential solely because of sex.
Emergency Employment Act of 1971
Prohibits discrimination based on race, creed, national origin, political affiliation, or
beliefs.
4. How to File Your Complaint
a. Put your complaint in writing.
b. Have it sworn to before a notary public, if possible.
c. Provides details that tell what happened, where it happened and when it happened.
d. Give the name and addresses of all persons who were present or who had anything
to do with the matter.
...Complaints on the basis of race, color, or national origin, age, sex, religion,
political affiliation or belief, retaliation and citizenship, must be filed within 180
days of the alleged occurrence directly with:
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EXHIBIT B
Director
Civil Rights Center
U.S. Department of Labor, Room N -4123
200 Constitution Ave., NW
Washington, D.C. 20210
Complaints on the basis of handicap must be filed within 180 days of the alleged
occurrence. These complaints must be filed directly with the WIA administrative
entity. The WIA administrative entity shall issue a written decision within 30 days
of the filing of the complaint. If the complaint is still unresolved, an appeal may be
made to the Chief of State Workforce Investment Division Office.
The Department of Labor, the Civil Service Commission, the Equal Employment
opportunity Commission, and many other offices and agencies are committed to
assuring equal employment opportunities for all persons. They will protect you.
A case may be taken to court if the other processes do not yield satisfactory results.
You may hire your own lawyer, or if you cannot afford one, the court may appoint one
for you.
It is unlawful for an employer, union, or employment agency to punish you or any
witness for attempting to present the facts in a case.
YOUR CIVIL RIGHTS UNDER THE
WORKFORCE INVESTMENT ACT
Santa Ana Local Workforce Investment Area
1000 E. Santa Ana Blvd., Ste 200
Santa Ana, CA 92701
(714)565 -2600
B. Criminal Complaints
In accordance with the WIA (P.L. 105 -200) and the implementing code of Federal section
667.600.... Federal handling of criminal complaints and report fraud, abuse and other
criminal activity. "All information and complaints involving fraud, abuse or other criminal
activity shall be reported directly and immediately to the City of Santa Ana and the
Secretary of Labor."
II. General Procedures for Handling Non - Criminal Violations of the
Act
The following procedure is promulgated to meet the requirements of Title 20, of the Code of
Federal Regulations, Section 667.600 through 667.640 of the WIA regulations, and Section
181(c) of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWIA
6
EXHIBIT B
level for the receipt, investigation, hearing, and resolution of complaints by WIA participants,
sub recipients, applicants for participation, or financial assistance, labor unions, community
based organizations, or any other persons.
These procedures provide for resolution of non - criminal complaints arising from the operation of
the Santa Ana LWIA.
A complaint is defined here as a written expression by a party alleging a violation of the Act,
regulations promulgated under the Act, recipient grants, sub agreements, or other specific
agreements under the Act, including terms and conditions of employment of such
participants in employment training programs. All complaints, amendments and withdrawals
shall be in writing. These procedures are intended to resolve matters which concern policies,
procedures or action(s) arising in connection with WIA programs operated by each LWIA grant
recipient and sub recipient under the Act.
These procedures shall not be construed as affecting any other available legal remedy outside
of the WIA complaint process (i.e., disputes regarding terms and conditions of employment of
any employee who is not a participant), either separately or simultaneously, that a person may
wish to pursue in the resolution of a non -WIA complaint. Also, these procedures do not restrict
the LWIA grant recipient staff in carrying out informal discussion
Procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion and
resolution of any problems outside of and without resort to the formal complaint procedure.
A. The following principles and rules apply to all complaints at all steps of the complaint
procedures:
1. All complaints must be made in writing within 180 days of the alleged occurrence,
except complaints alleging fraud or criminal activity.
2. All persons filing a complaint shall be free from restraint, coercion, reprisal, or
discrimination. Good faith efforts shall be made to informally resolve the complaint
prior to the scheduled hearing. Complainants have the right to withdraw their
complaints (in writing) at any time prior to the hearing. A complainant may amend
his /her complaint to correct technical deficiencies but not to add issues.
3. Complainants shall have the right to be represented at their own expense by
person(s) of their choosing at all levels of the complaint process.
4. Upon enrollment into employment or training, participants shall be provided with a
written description of these procedures, including notification of their right to file
complaints and instructions for filing.
An employer of participants, including private- for - profit employers of participants, may
use this or other complaint resolution procedures so long as the participant is
informed of the complaint resolution procedure they are to follow and the time frames
governing review of complaints are met.
7
EXHIBIT B
A "participant ", within the meaning of these procedures, is an individual who receives
employment- training services under a program funded by Santa Ana LWIA. The
Complaint Resolution Procedures contained herein (or the alternative procedures
which an employer may use) shall be available to participants to resolve disputes
regarding items and conditions of employment of such participants in employment
training programs. However, such procedures shall not be used to resolve disputes
regarding terms and conditions of employment of any employee who is not a
participant, as defined herein.
5. If a complaint does not receive a decision at the LWIA grant recipient level within 60
days of filing the complaint or receives an unsatisfactory decision, the complainant
then has a right to request a review of the complaint by the Governor.
6. Complainants must initially file and exhaust LWIA grant recipient/hearing procedures
prior to appealing to the State except where the State determines that the LWIA grant
recipient's procedures are not in compliance with the State's procedures.
III. Procedures for Handling Complaints at the LWIA Level
A. Receipt Complaints
Pursuant to the WIA regulations found at 20 CFR, Section 667.600, the LWIA administrative
entities have the responsibility to conduct hearings and resolve complaints made by
individuals about the administration of programs in the LWIA. "LWIA level" encompasses
LWIA administrative entity and employers to which the administrative entity has delegated
the complaint resolution process. The following comprise the guidelines for resolving issues
arising in connection with WIA programs operated by the Santa Ana LWIA including
resolutions of complaints arising from actions, such as audit disallowances or the imposition
of sanctions taken by the Governor with respect to audit findings, investigations or
monitoring reports.
1. Form and Filing of Compliant
Official filing date of the compliant is the date the written complaint is received. The filing
of the complaint with the Santa Ana LWIA Equal Employment Opportunity Officer shall
be considered as a request for hearing and a decision must be issued within 60 days.
The complaint must be in writing and must be signed and dated. The complaint should
also contain the following information:
a. Full name, telephone number, if any, and mailing address of the complainant;
b. Full name, telephone number, and mailing address of the agency involved (respondent);
c. Clear and concise statement of facts including dates constituting alleged violation;
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EXHIBIT B
d. What provisions under the Act, regulations, grant or other agreements under the Act, are
believed to have been violated;
e. Remedy sought by the complainant; and
If the complainant is a private or public entity or corporation, and not a natural person,
the filing of the complaint must be duly authorized by the governing body of such entity
or corporation.
The absence of any of the requested information shall not be a basis for dismissing the
complaint.
A copy of the complaint must be sent to the respondent and both parties notified of the
opportunity for an informal resolution. At each step of the complaint process, the complainant
must be notified in writing of the next procedural step.
2. Informal Conference
Informal conferences will be utilized by the Santa Ana LWIA to resolve complaints;
however, such informal conferences shall not extend the time within which a decision
must be issued after receipt of a complaint. Attempts at informal resolution will
commence with two (2) weeks of the date of filing of the complaint.
a. The EEO Officer will review the case and ascertain facts prior to the conference so that
appropriate resolution can take place at the time of this meeting whenever possible.
b. Although the complainant should be encouraged to attend this conference, his /her failure
to do so should not preclude his /her right to request a hearing on the matter.
c. If mutually satisfactory resolution results and the Santa Ana LWIA concurs, the EEO
Officer will write a brief report for the file stating the issues and resolution. The matter
shall then be considered closed.
d. If resolution does not result, the complainant shall be provided the necessary information
and assistance to request a hearing if he /she so desires.
3. Request for Hearing
a. As in the case of the complaint, the request for a hearing should be put in writing and
be filed in person or by mail. A governing board resolution of authorization to appeal
should also be submitted when appropriate. The request should be filled with:
Anita Queen
Sr. Personnel Analyst — EEO Officer
20 Civic Center Drive, M -24
Santa Ana, CA 92701
(714) 647 -5157
9
EXHIBIT B
b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of
filing of the complaint.
4. Notice of Hearing
Upon receipt of the request for hearing, the complainant and the respondent will be
notified in writing of the hearing ten (10) calendar days prior to the date of the hearing.
The ten -day notice may be shortened with the written consent of the parties. A decision
will be issued by the Santa Ana LWIA within sixty (60) days of the date of filing of the
complaint.
The hearing notice shall be in writing and contain the following information:
a. The date of notice, name of the complainant, and the name of the party against whom
the complaint is filed.
b. The date, time and place of hearing before an impartial hearing officer.
c. A statement(s) of the alleged violation(s)
d. Advise as to where information or assistance may be obtained, and the name, address
and telephone number of the Santa Ana LWIA Equal Employment Opportunities (EEO)
Officer who can answer inquiries.
B. Conduct of Hearing
The hearing shall be conducted in an informal manner with strict rules of evidence not
applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to
enable adjustment to the circumstances presented.
1. The hearing officer shall have complete independence to obtain facts and make
decisions. The hearing officer shall be in a position to render impartial decisions and
thus should not be subordinate to the Santa Ana LWIA or its sub recipients. The hearing
officer will be selected from a list of names on file with the EEO Officer.
2. Full regard must be given to the requirements of due process to insure a fair and
impartial hearing.
3. The hearing office designated by the EEO Officer to function in a quasi - judicial capacity
should begin the hearing by summarizing the record and the issue and should explain
the manner in which the hearing will be conducted, making sure that everyone involved
understands the proceedings. Such explanations should be adapted to the needs of the
specific situation. The hearing officer might take testimony under oath or affirmation to
give some assurance of veracity to the hearing.
10
EXHIBIT B
4. The burden of proof should be reasonable and flexible, dependent upon the
circumstances of the case involved. The hearing officer determines the order of proof.
Generally, the party making the complaint has the obligation of establishing his or her
case and should be examined first.
5. The party involved should have the right to be represented (at their own expense) if
he /she so desires. Other he /she is limited to his /her own abilities and those to the
hearing officer in obtaining testimony in the case.
6. It is important that the hearing officer obtain the fullest information for the record. If the
parties involved, or their representatives, do not know how to ask the right or pertinent
questions in pursuing their right to due process, it shall be necessary for the hearing
officer to step in to have all the materials and relevant facts elicited.
7. The practice in informal hearings is generally not to apply strict rules of evidence in
obtaining facts. However, the quantity of evidence required to support a decision on an
issue should be sufficiently credible that the state (or other appropriate agency), upon
reviewing the decision, would conclude that the decision is supported by substantial
evidence.
8. The hearing officer should attempt to negotiate a resolution of the issue at any time prior
to the conclusion of the hearing.
9. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a
recommended decision to the LWIA for final determination. The recommended decision
shall be in writing and may be accepted, rejected or modified by the Santa Ana
Workforce Investment Board.
C. Issuance of Decision
Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWIA shall issue a
written decision to all parties by first class mail. The final decision shall contain the following
information:
1. The name of the parties involved.
2. A statement of the alleged violation and issues related to the alleged violation.
3. A statement of the facts.
4. The decision and the reasons for the decision.
5. A statement of corrective action, if any, to be taken.
6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a
review of the decision by the State Review Panel.
D. Record of Hearing
iz
EXHIBIT B
An administrative file containing support documents on the complaint resolution process
hearing conducted will be retained by the Santa Ana LWIA. The purpose of a record is to
serve as substantiation of the process followed by the Santa Ana LWIA on the resolution of
the issues and the results. This information would then be available for subsequent review
in the event the matter is raised with the State. Such records must be retained for a three -
year period after the grant has been officially closed out.
The Santa Ana LWIA's written decision will be included in the record. Evidence received at
the hearing, notes by the hearing officer, stenographer's notes and tape recordings may
also be used.
E. Establishment of Complaint Procedures
In accordance with Section 667.600, each employing agency including private- for - profit
employers of participants under the Act is required to establish a complaint procedure for
resolving matters relating to the terms and conditions of employment. Employers may
operate their own grievance system or may utilize the Santa Ana LWIA's established
procedures under Section 667.600. At a minimum these procedures must include:
Written notice, upon enrollment into employment training services, of the scope and
availability of such procedures. Employer's grievance procedures shall be set forth in a
written document and must meet the regulation mandate that a complaint will be
resolved with sixty (60) days from the date the complaint was filed. A copy of employer's
grievance procedure shall be provided to each participant upon enrollment in
employment training.
2. Written notice, at the time the grievance is filed, of the procedures under which the
grievance will be processed.
3. Written notification of the disposition of the grievance and a written decision shall be
issued within thirty (30) days of the filing of the grievance unless a present and long
established grievance specifically provides other limits; and
4. Written notification of the participant's right to request a review of the employer's
decision by the Santa Ana LWIA and the State Review Panel in accordance with Section
667.600.
IV. Procedures for Handling Complaints at the State Level
Section 181 (c) of the Act and the WIA regulations at 20 CFR, Section 667.600 (d) requires the
Governor to establish a State Review process of complaints filed at the LWIA grant recipient
level and of complaints initially filed at the State level.
Appeals of decisions issued at the LWIA level including audit disallowances and sanctions shall
be reviewed by the State Review Panel. The State Review Panel shall review the record
established at the LWIA level and shall issue a decision based on the information contained
therein.
12
EXHIBIT B
Complaints which may be initially filed at the State level will be heard by an independent
hearing officer designated by the State Workforce Investment Division (WID). The hearing
officer shall conduct a hearing and issue a recommended decision to the State Panel. The
recommended decision shall be in writing and may be accepted, rejected or modified by the
State Review Panel.
A. Form and Filing of Complaint.
1. Request for State Review of LWIA Level Decisions
On receipt of a complainant's request for review because of an unsatisfactory decision,
the State shall provide for an independent state review.
2. Filing of Requests for State Review
The State Review Panel shall review all LWIA level decisions when a request for review
is filed within 10 days of receipt of the adverse decision. Such requests must be filed in
writing with the Chief of the WID Office. The request for review should contain the
following information:
a. Full name, address, and telephone number of the party requesting the review
b. Full name, address, and telephone number of the other party
c. A copy of the decision
d. Brief statement of reasons for review or the section of the LWIA decision to be
reviewed including regulatory and statutory citations
e. A statement of the relief sought.
3. Complainant Responsibility
It is the responsibility of the complainant to include in the request for review a written
statement setting forth the facts presented at the LWIA hearing which support the
requested relief.
The Chief, WID, shall mail a copy of the request for review to the other party and to the
LWIA. It shall be the responsibility of the LWIA to submit the complete record including a
typed record of the hearing to the Chief, WID, within ten (10) days.
B. Conduct of Hearings.
1. Request for Hearing at the State Level
If no decision has been issued at the LWIA level or the State has determined an audit
disallowance or imposed sanctions, the complainant may request a hearing. The
13
EXHIBIT B
hearing officer will then issue a recommended decision to the State's Review Panel for
final determination.
2. Filing for Request for Review
The request for a State hearing shall be filed within ten (10) days after LWIA should
have issued a decision or ten (10) days after the issuance of the audit disallowance or
sanction. The request shall be filed directly with the Chief of the WID in writing and
should include the following:
a. Full name, address, and telephone number of the LWIA
b. Name, address, and telephone number of the LWIA
C. Copies of complaints made at LWIA level from which no decisions were
issued or sanctions and imposed.
d. A statement of basis for the request for hearing.
3. Evidentiary Hearing
Upon receipt of the request for a State level hearing, a hearing before a designated
hearing officer will be scheduled.
The hearing will be recorded mechanically or by court reporter.
Both parties concerned will have the opportunity to present oral and written testimony
under oath, to call and question witnesses in support of his /her position, to present oral
and /or written arguments, to examine records and documents relevant to the issue(s),
and to be represented.
The hearing officer shall issue a written decision, which shall be forwarded to the State
Review Panel for final determination.
The State Review Panel may accept, reject or modify this recommendation. The
decision of the State Review Panel is final except for audit disallowances, which must be
approved by the Secretary of Labor
C. State Review Panel
The State Review Panel will consist of a panel of three representatives from the
Employment Development Department: one from the Legal Offices, one from the WID,
and one from the Director's office. The panel will issue a written decision, which will be
sent to the appropriate parties within thirty (30) days of receipt of the request for State
review.
Decisions issued by this panel, under the authority of the Governor, are final.
14
EXHIBIT B
D. Issuance of State Review Decision.
The State review will be limited to violations of the WIA, implementing WIA regulations or
the grant agreement. This review shall be limited to the record established at the LWIA
hearing.
V. Procedures for Handling Discrimination Complaints by
Participants.
A. Complaints on the basis of race, color, or national origin, age, sex, religion, political
affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180
days of the alleged occurrence.
1. It is the responsibility of the Santa Ana LWIA's Equal Employment Opportunity (EEO)
Officer to determine jurisdiction and to make the complainant aware of and provide
assistance in filing a complaint in accordance with the Santa Ana LWIA's procedure
under Section II (A).
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EXHIBIT B
PROCEDURES FOR HANDLING NON- CRIMINAL COMPLAINTS
No later than
180 days of
alleged
discrimination
Within 10 days of
receipt of
unsatisfactory
decision or 10
days from date
LWIA decision
should have been
issued.
Handling of complaints filed at LWIA level arising in connection with WIA
programs operated by LWIAs
Informal Resolution Process
o
o
o
o
Unsatisfactory Decision or LWIA Decision not issued within 60 days
w
0
0
0
Request for State Review w
0
4
Governor's Decision issued by State Review Panel
If no decision issued by State Review Panel
o
Appeal to DOL
16
EXHIBIT B
a
C
C
c
U
2. In cases where areas of authority overlap, it is the responsibility of the EEO Officer to
advise the complainant of the existence of State, Federal and other proper action
agencies, which may also have a bearing.
3. Complainants alleging discrimination under this part will be made aware of their right to
file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and
applicable procedures.
4. Complainants must file their complaint directly with:
Anita Queen
Sr. Personnel Analyst — EEO Officer
20 Civic Center Drive, M -24
Santa Ana, CA 92701
(714) 647 -5157
VI. Procedures for Handling Handicap Complaints by Participants
Complaints alleging discrimination on the basis of handicap will be filed and processed under
the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973
at 29 Code of Federal Regulations Section 32.
1. Complaints must exhaust the Santa Ana LWIA's informal resolution procedures
before filing their complaint with OCR.
2. Complainants will be made aware of the 180 days requirement in which to file his /her
complaint.
A. Procedures at the LWIA Level
The complainant shall file his /her complaint directly with the Santa Ana LWIA. Upon
receipt of the complaint, the EEO Officer shall investigate and gather information
concerning the complaint.
2. An informal conference will be held with the parties concerned in an effort to resolve the
issue(s). The complainant has the right to be present and may be represented during
the conference.
3. The Santa Ana LWIA shall issue in writing its decision to the complainant no later than
thirty (30) days after the filing of the complaint.
B. Procedures at the State Level
1. The complainant may appeal to the State if he /she is not satisfied with the decision of the
Santa Ana LWIA.
17
EXHIBIT B
2. The Complainant must file his /her appeal as a request for review directly with the Chief
WID within ten (10) calendar days after the receipt of the Santa Ana LWIA's decision.
3. The Chief -WID, shall issue a decision no later than thirty (30) calendar days after receipt
of the request for review.
4. After the complainant has received a decision or no decision has been received from the
Director of Employment Development Department (on behalf of the Governor), the
complainant has the right to appeal his /her complaint within thirty (30) calendar days to
the Office of Civil Rights (OCR) with the Department of Labor.
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EXHIBIT B
PROCEDURES FOR HANDLING HANDICAP COMPLAINTS
No later than
180 days of
alleged
discrimination
Filed within 30
days of
LWIA /State
Decision or 90
days from date of
initial filing of
complaints
Filing of complaint on the basis Of Handicap with LWIA
Informal Resolution
o
o
If no resolution reached
Request for Hearing
Notice of Hearing
Hearing Conducted
LWIA Decision
o
o
Unsatisfactory Decision or No Decision
State Review
Governor's Decision
Appeal to Assistant Secretary Department of Labor
19
EXHIBIT B
Day 1
Day 145 Day
60 Days
GLOSSARY OF WIA TERM
AGE DISCRIMINATION ACT — A law passed by Congress in 1975 which prohibits discrimination on
the basis of age by any program or activity receiving Federal Funds.
APPLICANT — An individual who applies to a subrecipient or contract for services provided under
WIA and who has not yet transitioned to the status of participant.
ASSESSMENT — Services designed to determine each participant's employability, aptitudes, abilities
and interests and to develop a plan to achieve the participant's employment and related goals; also to
identify the available employment and traning activities appropriate for the participant. Testing and
counseling may also be used during assessment process.
CHARGING PARTY (CP), COMPLAINANT, GRIEVANT, OR AGGRIEVED PERSON — The person
who charges that he /she has been discriminated against under Department of Justice
nondiscrimination and civil rights regulations and /or guidelines.
DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the
effect of an action, policy or practice which selects an individual or class of persons to receive
unequal treatment.
ELIGIBLE NON - CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees,
and parolees and other individuals authorized by the Attorney General to work in the United States.
EMPLOYER — An employer subject to the provisions of the Civil Rights Act of 1964, as amended,
including state and local governments and any Federal agency subjects to the provisions of Section
717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by
executive Order 11246, as amended.
GRIEVANCE — An allegation that something imposes an illegal obligation or burden or denies some
equitable or legal right, or causes injustice .
HANDICAPPED INDIVIDUAL — Any individual who has a physical or mental disability that constitutes
or results in a substantial handicap to employment.
INTAKE — Includes screening to determine eligibility; to select from eligible applicants those
individuals who are most in need and can benefit from program services; to complete procedural
requirements necessary to enroll an individual into the program and to refer those not enrolled to
other programs.
JOINT COMPLAINT — A complaint of employment discrimination covered by Title VII or the Equal
Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC
20
EXHIBIT B
unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in
employment and other practices and pattern or practice "joint complaints" are normally investigated
by OCR.
JURISDICTION — Authority to investigate and resolve complaints against an institution subject to a
law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc.
PARTICIPANT — Any applicant who has: (1) Been determined eligible for participation upon intake;
and (2) Who is receiving subsidized employment, training or services (except post- termination
services) funded under the Act, following intake, except for an individual who receives only outreach
and /or intake and assessment services.
21
EXHIBIT B
CERTIFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTRACTS GRANTS LOANS
and COOPERATIVE AGREEMENTS
The undersigned certifies, to the best of his or her knowledge and belief, that-
1 ) No Federal appropriated funds have been paid or will be paid, by or on behalf of
the undersigned, to any person for influencing or attempting to influence an
officer or employee of any agency, a Member of Congress in connection with the
awarding of any Federal contract, the making of any Federal grant, the making of
any Federal loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement.
2) If any funds other than Federal appropriated funds have been paid or will be paid
to any person for influencing or attempting to influence an officer or employee of
any agency, a Member of Congress, an officer or employee of Congress, or an
employee of a member of Congress in connection with this Federal contract,
grant, loan, or cooperative agreement, the undersigned shall complete and
submit Standard Form -LLL, "Disclosure Form to Report Lobbying." in
accordance with its instructions.
3) The undersigned shall require that the language of this certification be included in
the award documents for all subawards at all tiers (including agreements) and
that all subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed
when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352.
Any person who fails to file the required certification shall be subject to a civil penalty of
not less than $10,000 and not more than $100,000 for each such failure occurring on or
before October 23, 1996, and of not less than $11,000 and not more than $110,000 for
each such failure.
CSU Fullerton Auxiliary Services Corporation
Granteo7r,o
Signaf6re
Frank A. Mumford
Organizotion
Name of Certifying Official Signature
EXHIBIT C
OC Bridge to Engineering
Program Title
Certification Regarding Drug -Free Workplace Requirements
The certification set out below is a material representation upon which reliance is
placed by the U.S. Department of Housing and Urban Development in awarding the
grant. If it is later determined that the contractor knowingly rendered a false
certification, or otherwise violates the requirements of the Drug -Free Workplace
Act, the U.S. Department of Housing and Urban Development, in addition to any
other remedies available to the Federal Government, may take action authorized
under the Drug -Free Workplace Act.
CERTIFICATION
A. The contractor certifies that it will provide a drug -free workplace by:
(a) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession or use of a
controlled substance is prohibited in the contractor's workplace and
specifying the actions that will be taken against employees for
violation of such prohibition;
(b) Establishing a drug -free awareness program to inform employees
about —
(1) The dangers of drug abuse in the workplace;
(2) The contractor's policy of maintaining a drug -free workplace;
(3) Any available drug counseling, rehabilitation, and employee
assistance program; and
(4) The penalties that may be imposed upon employees for drug
abuse violations occurring in the workplace;
(c) Making it a requirement that each employee who will be engaged in
the performance of the grant be given a copy of the statement
required by paragraph (a);
(d) Notifying the employee in the statement required by paragraph -(a)
that, as a condition of employment under the contract, the employee
will -
(1) Abide by the terms of the statement; and
(2) Notify the employer of any criminal drug statute conviction for
a violation occurring in the workplace no later than five days
after such conviction.
EXHIBIT D
Pg . 2
(e) Notifying the U.S. Department of Housing and Urban Development
within ten days after receiving notice under subparagraph (d)(2) from
an employee or otherwise receiving actual notice of such conviction;
(f) Taking one of the following actions, within 30 days of receiving notice
under subparagraph (d)(2), with respect to any employee who is so
convicted -
( 1) Taking appropriate personnel action against such an employee,
up to and including termination; or
(2) Requiring such employee to participate satisfactorily in a drug
abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement,
or other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug -free
workplace through implementation of paragraphs (a), (b), (c), (d), (e)
and (f).
B. The contractor shall insert in the space provided on the attached "Place of
Performance" form the site(s) for the performance of work to be carried out
with the grant funds (including street address, city, county, state, and zip
code) the contractor further certifies that, if it is subsequently determined
that additional sites will be used for the performance of work under the
contract, it shall notify the U.S. Department of Housing and Urban
Development immediately upon the decision to use such additional sites by
submitting a revised "Place of Performance" form.
Dated: 8/8/12 CSU Fullerton Auxiliary Services Corporation
Program Operator
EXHIBIT D
DIVISION OF EMPLOYMENT SERVICES
PLACE OF PERFORMANCE
FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE
REQUIREMENTS
Name of Contractor: CSU Fullerton Auxiliary Services Corporation
Date:
The Contractor shall insert in the space provided below the site(s) expected to be
used for the performance of work under the contract covered by the certification:
Place of Performance (include street address, city, county, state, zip code for each
site):
2600 Nutwood Avenue Fullerton CA 92831
800 North State College Boulevard, Fullerton, CA 92831
EXHIBIT D
Orange County Bridge to Engineering (OC B2E)
(H -1B Technical Skills Training Grant)
BUDGET
Year 1
Year 2
Year 3
Year 4
TOTAL
Personnel
Victor Delgado
Project Coordinator /Counselor
10% overload, Yrs 1 &2;
12.5% overload, Yrs 3 &4
$ 6,491
$ 6,621
$ 8,441
$ 8,610
$
30,163
Kenneth John Faller II
Engineering Faculty
50% time
2 summer month, Yrs 1 -3
$ 8,779
$ 8,954
$ 9,133
$ 0
$
26,866
Tutors
(undergraduate students)
$ 5,400
$ 5,400
$ 5,400
$ 3,065
$
19,265
TBD:
Summer Workshop Faculty
$ 7,089
$ 0
$ 0
$ 0
$
7,089
TBD:
Summer Workshop
Student Assistants
$ 3,600
$ 0
$ 0
$ 0
$
3,600
Salaries & Wages
$ 31,359
$20,975
$22,974
$11,675
$
86,983
Fringe Benefits
$ 2,764
$ 2,436
$ 2,963
$ 2,708
$
10,871
28.835% rate applied to V. Delgado overload;
1.45% rate applied to faculty summer salary;
7.35% payroll taxes for student wages
Travel (incl. Cohort field trips)
$ 894
$ 1,000
$ 2,000
$ 2,000
$
5,894
Other: Summer 2012
Engineering Workshop
$ 900
$ 0
$ 0
$ 0
_$
900
TOTAL DIRECT COSTS $ 35,917 $ 24,411 $ 27,937 $ 16,383 $104,648
INDIRECT COSTS
(35.1 %) $ 12,607 $ 8,568 $ 9,806 $ 5,751 $ 36,732
TOTAL COSTS $ 48,524 $ 32,979 $ 37,743 $ 22,134 $141,380
EXHIBIT E
BUDGET NARRATIVE
Project Coordinator /Academic Counselor: 10% FTE years 1 & 2 and 12.5 % FTE years 3 & 4 to
coordinate with other partners, check in with CSUF cohorts and tutor /mentors once per month, recruit /hire
tutors /mentors, provide academic counseling services to CSUF engineering students = $6,491 in Year 1,
$6,621 in Year 2, $8,441 in Year 3, and $8,610 in Year 4 for a total of $30,163
Engineering Summer Faculty: Summer support for CSUF faculty to participate in academic instructional
design including articulation improvement, 0.50 FTE _ $8,779 in Year 1, $8,954 in Year 2, $9,133 in Year
3, and $0 in Year 4 for a total of $26,866
Tutorial (20 hrs /week at S9 /hr): Dedicated tutor for existing students in Years 1 and 2, OC 132E
community college transfers in Years 3 and 4= $5,400 in Year 1, $5,400 in Year 2, $5,400 in Year 3, and
$3,065 in Year 4 for a total of $19,265
Summer Workshop Faculty: Staffing for Summer Engineering institute in Year 1 = $7,089
Summer Workshop Student Assistant: Staffing for Summer Engineering Institute in Year 1= $3,600
Fringe/Benefits: Calculated at 28.835% for Project Coordinator /Academic Counselor, 1.45% for
Engineering Summer Faculty, and 7.35% for student tutorial = $2,764 in Year 1, $2,436 in Year 2, $2,963
in Year 3, and $2,708 in Year 4 for a total of $10,871
Engineering Field Trips for existing students in Years 1 and 2, OC 132E community college transfers in
Years 3 and 4 = $894 in Year 1, $1,000 in Year 2, $2,000 in Year 3, and $2,000 in Year 4 for a total of
$5,894
Summer Engineering Workshop 3 -day summer "Introduction to Engineering Careers" workshop to
community college students from Santa Ana and Saddleback in Year 1 = $900
Indirect Costs ( @35.1 %) _ $12,607 in Year 1, $8,568 in Year 2, $9,806 in Year 3, and $5,751 in Year 4
for a total of $36,732
California State University Fullerton Subtotal
Year
Funds Requested
Year 1
$
48,524
Year 2
$
32,979
Year 3
$
37,743
Year 4
$
22,134
Total
S
141,380
EXHIBIT E
ASSURANCES
Contractor agrees that in addition to those agreements and obligations specified in the
contract boilerplate, attached exhibits and scope of work, it will also adhere to and obey
the following provisions, assurances, and certifications.
1. Prohibited Uses. Contractor assures and certifies that it will not use any funds
appropriated under this agreement for religious activity or anti - religious activity,
or to promote or oppose any political candidate, parties, and /or beliefs.
2. Modification. Contractor assures and certifies that any requested modification to
this agreement must be submitted in writing, explaining requested changes and
rationale. Contractor further assures that no modification will be implemented
without prior written approval from the Santa Ana WORK Center.
3. Cooperation. Contractor agrees to cooperate with any monitoring inspection
audit or investigations of activities related to this Agreement as may be
scheduled and conducted by the Santa Ana WORK Center.
4. Acknowledgement. Contractor agrees to acknowledge (give credit to) the Santa
Ana WORK Center in all oral presentations, written document publicity, and
advertisements regarding any activities that ensue from this Agreement.
5. Intellectual Property Rights. The federal Government reserves a paid -up,
nonexclusive and irrevocable license to reproduce, publish or otherwise use, and
to authorize others to use for federal purposes: i)the copyright in all products
developed under the grant, including a subgrant or contract under the grant or
subgrant; and ii) any rights of copyright to which the grantee, subgrantee or a
contractor purchases ownership under an award (including but not limited to
curricula, training models, technical assistance products and any relataed
materials). Such uses include, but are not limited to, the right to modify and
distribute such products worldwide by any means, electronically or otherwise.
Federal funds may not be used to pay any royalty or licensing fee associated
with such copyrighted material, although they may be used to pay costs for
obtaining a copy which are limited to the developer /seller costs of copying and
shipping. If revenues are generated through selling products developed with
grant funds, including intellectual property, these revenues are program income.
Program income is added to the grant and must be expended for allowable grant
activity.
6. Product Creation. If applicable, the following needs to be on all products
developed in whole or in part with grant funds:
"This workforce solution was funded by a grant awarded by the U.S.
Department of Labor's Employment and Training Administration. The solution
EXHIBIT F
was created by the grantee and does not necessarily reflect the official
position of the U.S. Department of Labor. The Department of Labor makes
no guarantees, warranties, or assurances of any kind, express or implied,
with respect to such information, including any information on linked sites and
including, but not limited to, accuracy of the information or its completeness,
timeliness, usefulness, adequacy, continued availability, or ownership. This
solution is copyrighted by the institution that created it. Internal use, by an
organization and /or personal use by an individual for non - commercial
purpose, is permissible. All other uses require the prior authorization of the
copyright owner."
EXHIBIT F
CERTIFICATE OF COVERAGE
DATE (MMIDDIYYYY)
DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS, AND CONDITIONS OF SUCH MMEMORANDUM(SI OF COVERAGE.. THE FOLOWING COVERAGE IS IN EFFECT.
6 26/2015
PRODUCER
THI6 CERTIFICATE IS ISSUED AS A MATTER OF EVIDENCE ONLY AND CONFERES NO RIGHTS
COVERAGE EFFECTIVE
DATE (MMIDDIYY)
UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR
LIMITS
NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE
Alliant Insurance Services, Inc.
MEMORANDUMIS)OF' COVERAGE BELOW,
100 Pine. Street
THIS CERTIFICATE OF COVERAGE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE
11th Floor
ISSUING, COVERAGE PROVIDER, AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE
San Francisco CA 94111
CERTIFICATE HOLDER.
IMPORTANT: IF THE CERTIFICATE HOLDER IS AN ADDIITIONAL COVERED PARTY.„ THE
MEMORANDUM: OF COVERAGE MUST BE ENDORSED. A STATEMENT ON THIS CERTIFICATE
DOES NOT CONFER RIGHTS TO THE CERTIFICATE HOLDER IN LIEU OF SUCH
ENDORSEMENT($).
CLAIMS MADE rX ' OCCUR
NAMED COVERED PARTY
IMPORTANT; If SUBROGATION IS WAIVED, SUBJECT TO THE.. TERMS AND CONDITIONS OF THE
CSU Fullerton Auxiliary Services Corporation
MEMORANDUM(S) OF COVERAGE AN ENDORSEMENT MAY BE REQUIRED. A STATEMENT ON
2600 NLTt 4P JOd Ave_ , Suite 275
THE CERTIFICATE DOES NOT CONFER RIGHTS TO THE CERTIFICATE HOLDER IN LIEU OF SUCH
ENDORSEMENT(S).
PROGRAM AFFORDING COVERAGE
Fullerton CA 92631 -3599
A: CSURMA AO MA
B:AORMA WC/Safety National Cas.
C:
COVERAGES
THIS IS TO CERTIFY THAT THE COVERAGE IS AFFORDED TO THE ABOVE NAMED MEMBER, AS PROVIDED BY THE MEMORANDUMIS;I OF COVERAGE„ FOR THE PERIOD SHOWN BELOW, NOT WITHSTANDING ANY
REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE COVERAGE. AFFORDED BY THE PROGRAM
DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS, AND CONDITIONS OF SUCH MMEMORANDUM(SI OF COVERAGE.. THE FOLOWING COVERAGE IS IN EFFECT.
JPA.
LTR.
TYPE OF COVERAGE
MEMORANDUM NUMBER
COVERAGE EFFECTIVE
DATE (MMIDDIYY)
COVERAGE EXPIRATION
DATE (MMIDDYYY)
LIMITS
A
GENERAL LIABILITY
AORMA 151,601
7/1/2015
7/1/201,6
EACH OCCURRENCE
$5,000,000
FIRE DAMAGE (Any one fire)
5
COMMERCIAL GENERAL LIABILITY
CLAIMS MADE rX ' OCCUR
'.. MED EXPENSE (Any one person)
S5 , Dip D
PERSONAL &ADV INJURY
S5,000,000
Prof T, iabilitv
GENERAL AGGREGATE
55,000,000
GEN'L AGGREGATE LIMIT APPLIES PER:
PRODUCTS- CO'MPIOP AGG
N5, 000', 0,D6
MEMOR- PROJECT LOC
AN'OUM
A
AUTOMOBILE LIABILITY
AORMA- 1.516 -01
7/1/2015
7/1/2016
COMBINED SINGLE LIMIT
., $5,000,ODO
5
ANY AUTO
(Ea accident)
ALL OWNED AUTOS
SCHEDULEDAUTOS
X HIRED AUTOS
NON- OWNEDAUTOS
Ek
WORKERS" COMPENSATION AND
A6TYN@A- WP4' -1Slb�
7fT /2U1'S
78./2016
STATUTORY OTHER
EMPLOYERS LIABILITY
LIMITS
ANY PROPRIETORIPARTNERF
rE.L. EACH ACCIDENT
S5,000,000 �
EXECUTIVEJOFFICE.RIMEMBER
DISEASE -EA EMPLOYEE
`S5, 000, DOD
EXCLUDED?
IE YES, DESCRIBED UNDER SPECIAL
. DISEASE - POLICY LIMIT
S5,000,000
PROVISION BELOW
OTHER
OTHER
DESCRIPTION OF OPERATIONS ILOCATIONSIVEHIICLESIEXCLUSIONS ADDED BY ENDORSEMENTISPECIA.LIPROVISIONS
'Note: Workers' Compensation Coverage is provided as evidence only.
City of Santa Ana and State of California are named as additional covered parties as
respects the Agreement under the Workforce Investment Act for Orange County Bridge to
Engineering Project. Contract No. 50104012. Term of Agreement; 12/l/2011 11/30/2015,
CERTIFICATE, HOLDER CANCELLATION
City of Santa Ana SHOULD ANY OF THE ABOVE DESCRIBED MEMORANDUM(S) OF COVERAGE
Attn: Manager, W1B Administrative Office BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF„ NOTICE WILL BE
P.O. $fly 19$8 (M -73J DELIVERED IN ACCORDANCE WITH THE MEMiORANDUM(S) OF COVERAGE
PROVISIONS.
Santa Ana CA 92702
AUTHORIZED REPRESENTATIVE
A"k�.I
�°L,VM, w C4"1-
vali�..
.. . IN.....
C; dda�or0� � &�Yn Einiut;crofV� C „�k la�s�¢p��tip�;Crtt�nG �ki�Ikriup9,W
��ai4Vla;�my p¢p #YV�(alltuuHdV�:I RIO mansqpneffl Ali icf,
Endorsement No.:
Effective:
I, orms a part of MC1C No.:
Issued to:
Issued by:
Issued on behalf of Member:
Per Blanket Additional Covered Party attached to Memorandum of
Coverage of Coverage listed below
07101/2015
AORMA-15-16
Per Attached. Certificate of Coverage
CSURMA Auxiliary Organizations Risk Management. Authority
AORMA Member On File With Company
This endorsement modifies the Memorandums of Coverage of Coverage. Please read it carefully..
ADDITIONAL COVERED PARTY
Additional Covered Party means any person(s), entity(ies), or organization(s) to whom the Member is obligated by
virtue of any written contract to provide coverage solely with respect to bodily injury, property damage and personal
injury arising out of the Member's operations or premises owned by or rented to the Member; and
For which a certificate of coverage has been issued to such person(s), entity(ies) or organization(s) and is on file with
CSURMA AORMA evidencing their status as an additional insured under this coverage.
The coverage provided does not apply to any occurrence taking place:
Prior to the Members' operations or occupation of the premises, or
. After- the Members' operations have been completed or occupation of the premises has ceased.
The limits of coverage will be limited to the limits required within the terms of the written contract of the limits of liability
of this Memorandum of Coverage, whichever is less, and will apply in excess of the Members' retained limit shown in
the Declarations. CSURMA AORMA will not be obligated for limits of coverage shown in the written contract that are
greater than the limits of liability of this Memorandum of Coverage.
The inclusion of more than one Covered Party under this policy shall not operate to impair the rights of one Covered
Party against another Covered Party and the coverages afforded by this Memorandum of Coverage shall apply as though
separate Memorandum of Coverage had been issued to each Covered Party. The inclusion of more than one Covered
Party shall not, however, operate to increase the limit of the Company's liability.
Any other insurance carried by a certificate holder whic h may be applicable shall be deemed excess and the Covered
Party's coverage primary notwithstanding any conflicting provisions in the Covered Party's Memorandum of Coverage.
A certificate holder- shall riot, by reason of their inclusion under this Memorandum of Coverage, incur liability for payment
of premium for this Memorandum of Coverage.
In the event of reduction in coverage or cancellation of this Memorandum of Coverage before the expiration date thereof,
notice will be delivered in accordance with the Memorandum of Coverage provisions to each entity added as per
certificates on file with CSURMA AORMA which specify that a written contract exists and requires that the entity be an
additional covered party.
All other terms and conditions in the Memorandum of Coverage remain unchanged. �... �
Signed: Date: 7/1/15 ... y
olc,,
CERTIFICATE OF COVERAGE
DATE`MMID °YYYY,
7
PRODUCER
NF ES NO
THIS CERTIFICATE IS ISSUED AS A MATTER OF EVIDENCE ONLY AND CO NFFIRES NO RIGHTS
TYPE OF COVERAGE
UPON THE CERTIFICATE HOLDER, THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR
Alliant Insurance Services, Inc.
100 Pine Street
NEGATIVELY ry'D„ EXTEND OR ALTER THE COVERAGE AFFORDED BY THE
MEMORANDUM 1- C., ICyE(�LOfWW�•� +�+1 ''jj ,,++55
THIS CERTIFICATE OF COVERAGE DOES 11+1, 2TITUTE A CONTRACT BETWEEN THE
11th Floor
ISSUING COVERAGE PROVIDER, AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE
San Francisco CA 94111
CERTIFICATE)!(4LDEE++��RRSs��
7/1/2016
IMPORTANT: IFITWE I@PIItTIF wt III ERjNSAp' ADDITIONAL COVERED PARTY, THE
EACH OCCURRENCE
MEMORANDU x,04 SAG S B NDORM .. A STATEMENT ON THIS CERTIFICATE
DOES NOT FrER (if�GF Tti T , _fTOB 1C,ER'TiFICATE HOLDER IN LIEU OF SUCH
ENDORSEMENT(S). - k. "_:- -
IMPORTANT: IF SUBROGATION IS WAIVED, SUBJECT TO THE TERMS AND CONDITIONS OF THE
NAMED COVERED PARTY
CSU Fullerton Auxiliary Services Corporation
2600 Nut wood Ave., Suite 275
MEMDRANDUMNH OF COVERAGE AN ENDORSEMENT MAY BE REQUIRED, ASTATEMENT ON
THE CERTIFICATE DOES NOT CONFER RIGHTS TO THE CERTIFICATE HOLDER IN LIEU OF SUCH
ENDORSEMENT(S).
Fullerton CA 92631 -3599
PROGRAM AFFORDING COVERAGE
A: CSURMA AORMA s_e,
B :AORMA WC/Safety National Cas.
CLAIMS MADE OCCUR
Ct
COVERAGES
THIS IS TO CERTIFY THAT THE COVERAGE IS AFFORDED TO THE ABOVE NAMED MEMBER, AS PROVIDED BY THE MEMORANDUMS) OF COVERAGE, FOR THE PERIOD SHOWN BELOW, NOT WITHSTANDING ANY
REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN. THE COVERAGE AFFORDED BY THE PROGRAM
DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS, AND CONDITIONS OF SUCH MEMOBANDUMC) OF COVERAGE. THE FOLOWING COVERAGE IS IN EFFECT.
JPA
LTR
TYPE OF COVERAGE
MEMORANDUM NUMBER
COVERAGE EFFECTIVE
DATE(MWODNY)
COVERAGE EXPIRATION
DATE(MMIODIYY)
LIMITS
A
GENERAL LIABILITY
AORMA- 1617 -01
7/1/2016
7/1/2019
EACH OCCURRENCE
$5,000,000
FIRE DAMAGE (Any one fire)
S
COMMERCIAL GENERAL LIABILITY
CLAIMS MADE OCCUR
MEO EXPENSE (Any one Pereen)
$5,000
PERSONAL &ADV INJURY
$5,000,000
Prof Liability
2L
CnntractiTal T,� So
GENERAL AGGREGATE
$5,000,000
GEN'LAGGREGATE LIMIT APPLIES PER
PRODUCTS- COMPIOPAGG
$5,000,000
MEM"9 PROJECT LOC
-
A
AUTOMOBILE
LIABILITY
AORMA- 1.617 -01
7/1/2016
7/1/2017
COMBINED SINGLE LIMIT
$5,000,000
$
ANY AUTO
(So accident
ALL OWNED AUTOS
N
SCHEDULED AUTOS
X
HIRED AUTOS
NON OWNED AUTOS
H
WORKERS' COMPENSATION AND
EMPLOYERS LIABILITY
AORMA -WC -1617
7/1/2016
7/1/2017
MOD X STATVTORV OTHER
LIMITS
ANY PROPRIETORIPARTNERI
EXECUTIVE)OFFICERIMEMBER
°
E L EACII ACCIDENT
$5,000,000
EXCLUDED?
IF YES, DESCRIBED UNDER SPECIAL
-
EL DISEASE - EA EMPLOYEE
$5,000,000
E.L. DISEASE - POLICY LIMIT
$5,000,000
PROVISION BELOW
OTHER
OTHER d
DESCRIPTION OF OPERATIONSILOCATIONSIVEHICLES )EXCLUSIONS ADDED BY ENDORSEMENTISPECIAUPROVISIONS
Note: Workers' Compensation Coverage is provided as evidence only.
City of Santa Ana and the State of California are named as additional covered parties as
respects the Agreement under the Workforce Investment Act. Term of Agreement: December 1,
2011 - November 30, 2016.
CERTIFICATE HOLDER CANCELLATION
City of Santa
Ana
SHOULD ANY OF THE ABOVE DESCRIBED MEMORANDUM(S) OF COVERAGE
P,O. Box 1988
(M -73)
BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE
Santa Ana CA
92702
DELIVERED IN ACCORDANCE WITH THE MEMORANDUM(S) OF COVERAGE
PROVISIONS.
AUTHORIZED REPRESENTATIVE -,Pb
.. e
vi C,�
f 1..
I iry 7iwrte I i aMe
Endorsement No.:
Effective:
Forms a part of MOC No.:
Issued to:
Issued by:
Issued on behalf of Member:
Per Blanket Additional Covered Party attached to Memorandum of
Coverage of Coverage listed below
07/01/2016
AORMA- 1617 -Ot
Per Attached Certificate of Coverage
CSURMA Auxiliary Organizations Risk Management Authority
AORMA Member On Pile With Company
This endorsement modifies the Memorandum of Coverage of Coverage. Please read it carefully.
ADDITIONAL COVERED PARTY
Additional Covered Party means any person(s), entity(ies), or organization(s) to whom the Member is obligated by virtue
of any written contract to provide coverage solely with respect to bodily injury, property damage and personal injury
arising out of the Member's operations or premises owned by or rented to the Member; and
For which a certificate of coverage has been issued to such person(s), entity(ies) or organization(s) and is on file with
CSURMA AORMA evidencing their status as an additional insured under this coverage.
The coverage provided does not apply to any occurrence taking place:
Prior to the Members' operations or occupation of the premises; or
After the Members' operations have been completed or occupation of the premises has ceased.
The limits of coverage will be limited to the limits required within the terms of the written contruct of the limits of liability
of this Memorandum of Coverage, whichever is less, and will apply in excess of the Members' retained limit shown in the
Declarations, CSURMA AORMA will not be obligated for limits of coverage shown in the written contract that are greater
than the limits of liability of this Memorandum of Coverage.
The inclusion of more than one Covered Party tinder this policy shall not operate to impair the rights of one Covered Party
against another Covered Party and the coverages afforded by this Memorandum of Coverage shall apply as though separate
Memorandum of Coverage had been issued to each Covered Party. The inclusion of more than one Covered Party shall
not, however, operate to increase the limit of the Company's liability.
Any other insurance carried by a certificate holder which may be applicable shall be deemed excess and the Covered Party's
coverage primary notwithstanding any conflicting provisions in the Covered Party's Memorandum of Coverage.
A certificate holder shall not, by reason of their inclusion under this Memorandum of Coverage, incur liability for payment
Of premium for this Memorandum or Coverage.
In the event of reduction in coverage or cancellation of this Memorandum of Coverage before the expiration date thereof,
notice will be delivered in accordance with the Memorandum of Coverage provisions to each entity added as per certificates
on file with CSURMA AORMA which specify that a written contract exists and requires that the entity be an additional
covered party.
All other terms and conditions in the Memorandum of Coverage remain unchanged.
Signed: f Y4X/t'btQ �� Date: 6/22/16