CHANCELLOR’S OFFICE
CALIFORNIA COMMUNITY COLLEGES
ACADEMIC AFFAIRS DIVISION
REQUEST FOR PROPOSALS (RFP)
FUND FOR INSTRUCTIONAL IMPROVEMENT (FII)
Fund for Instructional Improvement Request for Proposals (RFP)
Specification for Loans
RFP No. 12-051 and RFP No. 13-049
RFP Specifications
and
Application Instructions and Evaluation Criteria
2012-13 and 2013-14 Funding Fiscal Years
Application Deadline:
Applications must be received in the Chancellor’s Office by 5:00 p.m. on
Tuesday, February 5, 2013, for the Initial Competition Phase and if funds are,
available for the Secondary Open Funding Phase, until the funds are expended.
Fund for Instructional Improvement RFP Checklist
NOTE: This checklist is a tool for districts to use when filling out their applications. If the district’s
application contains the following information then the packet will be complete.

Four (4) complete applications.
 All of these applications with original signatures (Any colored–nonblack–ink) on the:
 Grant Agreement Face Sheet (Chief Executive Officer/Designee signature)
 Application Budget Summary (Chief Business Officer/Designee signature)

Enter the correct RFP Specification Number in upper right-hand corner of the Loan Agreement Face
Sheet

Complete Contact Page

Complete Abstract Page (Use a Narrative Format.)

Table of Contents

Narrative
 Need (Statement of Problem)
 Objectives
 Procedures/Activities
 Evaluation Design

Annual Workplan (See Appendix B.)
 Objectives
 Procedures/Activities
 Performance Outcomes
 Timelines
 Responsible Person(s)

Application Budget Summary (4 original CBO/Designee signatures) (See Appendix B.)

Application Budget Detail Sheet (See Appendix B for format example and blank form.)

No supplemental material (DO NOT include appendices or other supplemental information unless
specifically requested in the RFP.)

Staple applications in upper left corner (DO NOT use binders or other covers)

Mail applications to:
California Community Colleges Chancellor’s Office
Academic Affairs Division
Attn: FII Loan Application Enclosed (RFP# 12-051 and/or 13-049)
1102 Q Street, Suite 4554
Sacramento, CA 95811-6539
Applications must be received at the Chancellor’s Office
by 5:00 p.m. on Tuesday, February 5, 2013.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
TABLE OF CONTENTS
Page
SECTION I
A.
B.
C.
Introduction ............................................................................................................................
Purposes and Uses of the Funds.............................................................................................
Scope ......................................................................................................................................
SECTION II
A
B.
C.
D.
E.
F.
G.
H.
J.
K.
L.
M.
Introduction, Purposes and Uses of the Funds, and Scope
1
1
2
Application Instructions and Evaluation Criteria and RFP Specifications
Intent ......................................................................................................................................
RFP Funding Categories ........................................................................................................
Eligibility ...............................................................................................................................
Resource/Reference Materials ...............................................................................................
RFP Clarification ...................................................................................................................
Rejection of Application ........................................................................................................
Application Review Process ..................................................................................................
Scoring Criteria ......................................................................................................................
Loan Appeal Procedures ........................................................................................................
Application Format and Instructions......................................................................................
Calendar of Key Dates for RFP Process ................................................................................
Calendar of Key Dates for New Grants Awarded ..................................................................
7
7
7
7
8
8
8
10
10
11
16
16
RFP Specifications for New Loan Awards ........................................................................................
17
SECTION III
Appendices
Appendix A
Article I:
FII Division/Program-Specific Legal Terms and Conditions –
Loan Agreement
Article II:
FII Standard Legal Terms and Conditions – Loan Agreement
Appendix B
Application Forms
Appendix C
California Education Code, Article 7, Sections 84381-84384
Appendix D
California Code of Regulations, Title 5, Articles 1, 2, and 3
Appendix E
Standing Orders of the Board of Governors of the California Community Colleges,
Sections 424 and 425
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION I
Introduction, Purposes and Uses of the Funds, and Scope
A.
Introduction
The passage of AB 1173 (Vasconcellos) in 1977, established the Fund for Instructional
Improvement (FII). The Fund for Instructional Improvement (also called “the Fund”
throughout this RFP) provides loans to improve learning and teaching in community
colleges through the development, implementation, and evaluation of alternative
educational programs and services in accordance with the California Education Code,
Article 7, Sections 84381-84384 (Appendix C), and the California Code of Regulations,
Sections 56652-56684 (Appendix D).
In creating the Fund, the Legislature found and declared that the following five conditions
affect instructional improvement in California Community Colleges:
B.

Community college instructional patterns continue to rely heavily on traditional
classroom teaching methods due to legal, fiscal, and attitudinal constraints.

Alternative instructional programs should be developed which reduce the barriers
between school and work, link academic knowledge and learning outside the
classroom, improve problem-solving abilities, and place greater responsibility with
the student in defining individual learning objectives and means.

Stimulating a greater level of institutional alternatives requires limited, experimental
changes in State financing of instructional program. Such financing experiments
should involve the reallocation of State resources.

Few State and institutional resources are utilized to improve or retrain teachers, and
additional dollars should be expended for such purposes.

Colleges should develop a more adequate means of serving the needs of nontraditional students including the poor, re-entering women, and blue-collar workers.
Purposes and Uses of the Funds
The award of FII loans is governed by the California Code of Regulations Title 5, section
56652. Title 5 provides loans to improve learning and teaching in community colleges
through development, implementation, and evaluation of alternative educational
programs and services. Eligible programs and services supported through this fund must
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION I
Introduction, Purposes and Uses of the Funds, and Scope
2
promote improvement or innovation through a systemwide or local initiative with a focus
at least in part on one of the following three areas:
1.
2.
3.
C.
Nontraditional Instruction
a.
Internships and experiential learning opportunities;
b.
Individualized and instructional contracts that require students to develop
learning objectives;
c.
Development of interpersonal skills; or
d.
Independent Study.
Program Development
a.
Efforts to address the special learning needs of educationally
disadvantaged students; or
b.
Educational services for new populations such as older or working adults.
Faculty/Staff Development
a.
Intersegmental summer programs including research projects and
seminars;
b.
College programs bringing visiting scholars to local districts;
c.
Interdisciplinary programs involving local non-college institutions in arts
and sciences;
d.
Intersegmental research and public information projects on topics of
special concern to rural and urban California regarding the environment,
social history, and culture; or
e.
“Summer Bridge” programs for the transition of faculty into college life.
Scope
There are two (2) fiscal years addressed in this RFP. The 2012-13 and 2013-14 RFP for
the Fund for Instructional Improvement includes the following RFP Specification:
1.
FII RFP Specification for Loan Awards (RFP No.12-051 and 13-049)
FII Loans are available for successful applicants who demonstrate proposed uses
for the loan amount that further objectives associated with the Fund’s purpose as
described in either part B of this section, “General Purposes and Uses of the
Funds” or one of the eight recommendations of the “Student Success Task Force”
of 2011. Loans are interest-free and paid back to the Fund for Instructional
Improvement through the apportionment process. Repayment takes place in three
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION I
Introduction, Purposes and Uses of the Funds, and Scope
3
annual payments beginning the funding year after the loan award. The primary
uses of loans historically have been to purchase equipment; however, loans have
been used for other academic purposes.
The need statement should describe the problem or issue that the project is designed to
remedy. The problem described should be able to be realistically addressed within a
recommendation of the Student Success Task Force adopted by the California
Community Colleges Board of Governors (BOG) in January 2012, and is appropriate for
the target population and/or geographic region defined in the project description.
a.
Student Success Task Force of 2011 Recommendations
In January 2011, the California Community Colleges Board of Governors
embarked on a 12-month strategic planning process to improve student success.
Pursuant to Senate Bill 1143 (Chapter 409, Statutes of 2010), the Board of
Governors created the Student Success Task Force. The resulting 20-member
Task Force was composed of a diverse group of community college leaders,
faculty, students, researchers, staff, and external stakeholders. The California
Community Colleges Student Success Task Force report was written and
presented to the Legislature in February 2012. The Student Success Task Force
report contains recommendations aimed at improving the educational outcomes of
students and the workforce preparedness of the State. There are 8 broad
recommendations and 22 sub-set recommendations contained in the report. Taken
together, all the recommendations would strengthen the community college
system by expanding those structures and programs that work and realign
resources with what matters most: student achievement.
The eight broad recommendations are listed below.
Recommendation 1
Increase College and Career Readiness
Recommendation 2
Strengthen Support for Entering Students
Recommendation 3
Incentivize Successful Student Behavior
Recommendation 4
Align Course Offerings to meet Student Needs
Recommendation 5
Improve the Education of Basic Skills Students
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION I
Introduction, Purposes and Uses of the Funds, and Scope
4
Recommendation 6
Revitalize and Re-envision Professional Development
Recommendation 7
Enable Statewide Leadership and Increase Coordination Among Colleges
Recommendation 8
Align Resources with Student Success Recommendations
b.
Local Level Initiatives
An applicant may also address a local initiative. The local initiative must
align with the specified uses and purpose of the Fund as described in part
B of this section, “General Purposes and Uses of the Funds”.
Applicants will provide strategies for developing planning or
implementation practices to meet the identified goals and objectives. List
the objectives for the project as performance objectives with
accompanying timelines.
2.
FII RFP Funding Phases for Loan Awards (RFP No.12-051 and 13-049)
a)
Initial Competition Funding Phase
This phase of the FII funding cycle for both 2012-13 funds and 2013-14
funds is set for 90 days concurrently. The RFP will be released and
proposals accepted for 90 days for both fiscal years. All proposals
received during this period will compete among the applications received
within each fiscal year for the funds within the fiscal year and will be
allocated on a competitive basis. Colleges may apply for more than one
fiscal year. All proposals will be received and reviewed by a panel using
the same criteria. Funds will be awarded to the highest ranking proposals
until either all funds are expended or all projects with a qualifying score
are funded. Proposals must have a minimum average qualifying score of
75 points.
b)
Secondary Open Funding Phase
If after the “Initial Competition Funding Phase” there are unallocated
funds within a designated fiscal year, the Chancellor’s Office will accept
proposals for the remaining funds for that fiscal year on a first come first
served basis. Proposals are still subject to the established funding criteria
and will be evaluated and scored and must receive a minimum score of 75
points in order to be funded. However the priority for this phase is based
on when the request is received and not the highest ranked proposal.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION I
Introduction, Purposes and Uses of the Funds, and Scope
5
Legal Terms and Conditions
The legal provisions contained in Appendix A, which is included in this booklet, are the ones
that will apply to the loans awarded under this RFP Specification. Rather than list the provisions
again, they are incorporated into the loan agreement document by reference on the Loan
Agreement Face Sheet. Applicants must, therefore, retain this manual for future reference.
Information
If you have any questions or need more information regarding this RFP Specification, please
contact LeBaron Woodyard, Dean, Academic Affairs by telephone at (916) 445-1780, by email at
lwoodyar@cccco.edu; or mail at the Chancellor’s Office, California Community Colleges,
1102 Q Street, Suite 4554, Sacramento, CA 95811-6539.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION II
Application Instructions and Evaluation Criteria and RFP Specifications
A.
Intent
Section II contains general instructions, procedures, formats, and timelines for submitting
project applications to the California Community Colleges Chancellor’s Office
(CCCCO). It has been developed with the intent of establishing, to the extent possible,
consistent practices and procedures for the submission, evaluation, and allocation of a
variety of State and federally funded projects administered through this office.
Applications should therefore be submitted utilizing the format and sequence described in
these Application Instructions and Evaluation Criteria and address the RFP Specification
for the project for which funding is sought.
B.
C.
RFP Funding Categories
1.
2012-13 FII RFP Specification for Loan Awards (RFP No. 12-051) has
$302,000 in total funds available. Loans may be awarded up to a maximum
of $302,000 each per college.
2.
2013-14 FII RFP Specification for Loan Awards (RFP No. 13-049) has
$302,000 in total funds available (subject to final approval of the 2013-14
California State Budget). Loans may be awarded up to a maximum of
$302,000 each per college.
Eligibility
Only community college districts are eligible to apply. All applications recommended for
approval shall have or obtain approval of the Board of Trustees of the districts.
D.
Resource/Reference Materials
The RFP Specification will provide the necessary list of resource or reference material for
completion of a grant or loan application, if applicable.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION II
E.
Application Instructions and Evaluation Criteria and RFP Specifications
8
RFP Clarification
If any ambiguity, conflict, discrepancy, omission, or other error in this RFP is discovered,
immediately notify the Chancellor’s Office, Academic Affairs Division, Vice Chancellor,
of the error and request a written modification or clarification of the document. A
clarifying addendum will be given to all parties who have obtained the RFP, without
divulging the source of the request. Insofar as practical, the Chancellor’s Office will give
such notice to other interested parties, but the Chancellor’s Office shall not be responsible
for failure to do so.
F.
Rejection of Application
The Chancellor’s Office reserves the right to reject any and all applications received.
A loan application shall be rejected prior to scoring if:
G.

It fails to meet the requirements of the RFP Specification and does not follow the
application instructions.

Either the Loan Agreement face sheet is not signed by the Chief Executive Officer (or
authorized designee) or the Application Budget Summary is not signed by the Chief
Business Officer (or authorized designee) in an ink color other than black.

It fails to provide the proper number of originals (4), each signed with original
signatures in an ink color other than black (as noted above).
Application Review Process
This section is intended to help the applicants and readers understand the processes,
criteria, and scoring systems that will be applied in determining which applications are
recommended for funding.
The front page of each RFP Specification indicates the maximum amount of funds
available from the funding fiscal year to fund new loan awards there under. The
following steps will be taken by FII Program Staff at the Chancellor’s Office to ensure
fairness and impartiality in awarding the loans:
1.
Conduct a preliminary review of the applications to determine if they are in
compliance with the RFP Specification; application format; required signatures;
and the number of copies. Failure to comply may result in disqualification.
2.
Assemble three-person evaluation panels that will include or be comprised of
outside readers as appropriate and will be comprised so as to assure objectivity
and prevent conflicts of interest. In the event that outside readers are not used, the
evaluation panel shall be comprised of staff from more than one Division in the
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION II
Application Instructions and Evaluation Criteria and RFP Specifications
9
Chancellor’s Office. The Chancellor’s Office shall ensure that readers are
appropriately trained with respect to the process for review of grant applications.
All applicants achieving at least 75 points on their application evaluations are
eligible for funding.
3.
Utilize a secondary review process if two or more of the applications eligible for
funding are tied. In this review, a fourth reader who has not read the applications
in question will read and score them using the same criteria used in the first
review. This fourth score will be added to the former score, and the highest rated
application will directly precede the other one in eligibility for funding.
4.
The team may adjust the scores through consensus, if there are ten points or more
between any two independent scores. If consensus cannot be reached, the
Chancellor’s Office will assign a fourth reader and the average will be
recomputed.
5.
Prepare and provide a master list of the scoring and ranking results for each RFP
Specification. The results are coded and defined as:



AF
AFP
NF
Approved for funding;
Approved for funding pending the availability of additional funds; and
Applications not eligible because they did not achieve the minimum
75 points in their application evaluations.
This list will be posted on the Website at
http://extranet.cccco.edu/Divisions/AcademicAffairs/InstructionalProgramsandSer
vicesUnit/FundforInstructionalImprovement.aspx as a preliminary list. Final
funding list will be posted after the appeal process has concluded.
6.
If there are any funds remaining under any FII RFP Specification that has awarded
loans to all of the eligible applicants, the Chancellor’s Office may elect to award
the remaining funds under a different FII RFP Specification, as long as the awards
are made in accordance with the AF and AFP lists already established there under
and their purpose is consistent with the funding source. Staff also reserves the
right to issue an addendum to the original FII RFP that will extend the deadline for
the receipt of applications pursuant to any RFP Specification with funds still
available.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION II
H.
Application Instructions and Evaluation Criteria and RFP Specifications
10
Scoring Criteria
All applications will be evaluated and ranked on the basis of the following criteria:
Need (Statement of Problem)
Objectives
Procedures/Activities
Evaluation Design
Project Management
Dissemination Plan
Application Budget Summary
Overall Feasibility of the Project
25
20
20
10
10
5
5
5
TOTAL POSSIBLE
I.
100
Notification of Intent to Award Grants and Loans
Notification of intent to award loans will be posted on the Chancellor’s Office Website
(www.cccco.edu) under Competitive Grants/FII indicating whether or not the application
was selected. A public notification listing the tentative loan awards will be posted for ten
(10) calendar days. If appeal requests are entered during the posting period, loans
affected will not be awarded until the appeal requests are resolved. Applicants should
note that final approval of a loan is contingent on the signature of the chief executive
officer (or authorized designee).
Note: All questions regarding this notice for tentative loan awards should be addressed
to LeBaron Woodyard of the Academic Affairs Division via email at
lwoodyar@cccco.edu.
J.
Loan Appeal Procedures
An applicant may file an appeal review request. The college may notify the Chancellor’s
Office of an appeal by email to LeBaron Woodyard, Dean, Academic Affairs at
lwoodyar@cccco.edu. However, the appeal request itself must be hardcopy on letterhead
and signed by the college President or designee. Both the email and hardcopy mail (post
marked) must be mailed to the Chancellor’s Office, California Community Colleges,
1102 Q Street, Suite 4554, Sacramento, CA 95811-6539, within ten (10) calendar days
from date of posting. The appeal review request must include a full and complete
written statement specifying the grounds of the request and must be based on the
process and/or procedures used in the review and recommendation of applications
for awards. The Chancellor’s Office shall review all the information submitted and
render a decision within thirty (30) calendar days from the date of receipt of the official
appeal review request. The decision of the Chancellor’s Office shall be final.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION II
K.
Application Instructions and Evaluation Criteria and RFP Specifications
11
Application Format and Instructions
The following instructions prescribe the mandatory format and approach for the development and presentation of the application. Application format instructions must be followed, all questions must be answered, and all requested data must be supplied. Applicants are expected to utilize the forms provided, narrative format (where indicated), and
the RFP Specification to prepare the project applications. Computer facsimiles of the
forms will not be accepted.
1.
Complete the appropriate Grant Agreement Face Sheet (These forms may be
downloaded to fill in the appropriate language electronically, but they must not
be replicated electronically. If a form other than the one provided in Appendix B
is submitted, the application may be rejected.)
a.
Select the appropriate face sheet from among those listed below. The RFP
Specification number for each respective form is already printed in the
upper, right-hand corner.
FII RFP Specification for Loan Awards (RFP No. 12-051 and/or 13-049)
Loan Agreement (one-year only)
2.
b.
Enter the District and College Name in the upper, right-hand corner of the
appropriate Grant or Loan Agreement face sheet.
c.
Complete the Loan Recipient section of the Loan Agreement Face Sheet.
Obtain the signature of the district chief executive officer (or
authorized designee). All signatures must be in any colored ink other
than black ink.
Complete the Contact Page (Form provided in Appendix B.)
Note: The last contact listed on the form is a “RFP Writer/Process Contact.” If a
loan is awarded, it is imperative for Chancellor’s Office staff processing the loan
to have someone they can contact regarding questions pertaining to the application
material. If no one is available, the loan approval process will be held up and the
initial loan payment will be delayed.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION II
3.
4.
5.
Application Instructions and Evaluation Criteria and RFP Specifications
12
Develop and Complete Abstract (Use a narrative format; form provided in
Appendix B.)
a.
The abstract should simply and concisely summarize the entire application
in less than 250 words and must not exceed one page. Included must be
statements on the objectives, procedures, expected contribution or impact
on the funding priorities of the RFP Specification, and resulting deliverables (products/services/outcomes).
b.
Place the Abstract immediately behind the Contact Page.
Develop Table of Contents
a.
The narrative pages shall be numbered in sequence, with the numbers
centered at the bottom of each page.
b.
The Table of Contents shall be on a separate page, with each component of
the application’s narrative listed and page numbers indicated.
Narrative
In this section, you will provide a narrative detailing your proposed project.
Additionally, you will summarize your plan of operation as it is written on the
Annual Workplan form.
Include the following sections (a-f) in the Narrative of the proposal:
a.
Need
(Use a narrative format; form not provided.)
Maximum Points—25
Concisely describe and document the problem being addressed and/or the
need for the project. The need must:

Relate to the appropriate RFP Specification. Applications that are
not related to the appropriate RFP Specification may be rejected.

Describe the scope of the problem being addressed: local, regional
and/or statewide. This should relate to one or more of the eight
recommendations of the California Community Colleges Student
Success Task Force as described in the Scope section of this RFP
located on pages 3/4.

Describe the target group(s) to be served.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION II
Application Instructions and Evaluation Criteria and RFP Specifications
b.
Objectives
(1)
c.
d.
13
Maximum Points—20
In response to the needs/problems identified describe the outcomes
you expect to achieve. This list should include statements of
objectives that are:

Numbered, measurable, and performance driven, i.e., stated in
terms of change expected.

Provide a foundation for developing the methodology
(activities/procedures) for addressing the need/problem.
Procedures/Activities
Maximum Points—20
(1)
Describe the specific procedures/activities that will be employed to
achieve each of the listed project objectives.
(2)
Describe the rationale for choosing the selected procedures/
activities and the feasibility of the proposed solutions/strategies.
Evaluation Design
Maximum Points—10
Describe how you will measure the progress and the outcomes of the
project.
e.
Project Management
(1)
f.
Maximum Points—10
Project Management
(a)
Provide a management plan for operating the project.
(b)
Provide an organizational chart for the project.
Dissemination Plan
Maximum Points—5
(1)
Describe the steps that will be taken to disseminate project findings
and work products to others likely to benefit from the results.
Project staff is encouraged to disseminate their findings and work
products through State and regional conferences.
(2)
The dissemination plan should also includes other strategies is
requested. Documents, reports, materials or grant products produced
as a result of the grant are public documents. Describe how you
will distribute grant materials or products to other community
colleges, resource libraries, or other organizations.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION II
6.
Application Instructions and Evaluation Criteria and RFP Specifications
Application Budget Summary
(Form provided in Appendix B.)
a.
14
Maximum Points—5
Complete the Application Budget Summary (See Crossover Chart in
Appendix B to determine expenditure classifications.) When entering
dollar amounts, round off to the nearest dollar. Do Not Include Cents.
Note: The purpose of the budget is to indicate whether the project is well
planned and reasonable in scope. Technical errors in the budget will not
necessarily result in a lower score if minor assistance from the
Chancellor’s Office can correct the error.
Source of Funds vary in purpose and must be reported in separate
columns.
To substantiate the Application Budget Summary, submit a Budget Detail
Sheet. (See example of Budget Detail Sheet format and Crossover Chart
in Appendix B.) The Budget Detail Sheet lists the cost breakdown of each
budget classification amount requested. Indicate specific rates and
amounts attributed to requested project funds, unrestricted general fund
district matching, or other sources of funding. You must complete a
separate Budget Detail Sheet for each funding source and record the
associated expenditures by object code attributed to it.
b.
Expenditures
Loans: Funds awarded may not be used for purposes for student financial
aid or for programs and activities not eligible for state funding. Overhead
or indirect costs may be included in a proposal only as part of the financial
participation provided by applicant. Loans may be used to purchase
equipment.
c.
Match Requirement
There is no match for Loan Applications.
d.
See RFP Specification to determine allowable supervision/administration
costs (not directly involved in the day-to-day ongoing activities).
e.
Failure to provide complete budget information in the format required may
result in applications not being reviewed for funding consideration.
f.
The district Chief Business Officer’s signature is required on the
Application Budget Summary. (Use any colored–nonblack–ink only.)
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION II
Application Instructions and Evaluation Criteria and RFP Specifications
g.
8.
15
For travel (Object 5000), district travel and reimbursement policies apply.
Only travel necessary to the project is allowed. List travel purpose and
estimated cost.
Overall Feasibility of the Project
Maximum Points—5
The reviewers will be making a judgment as to whether the project is realistically
capable of attaining the required and proposed outcomes.
9.
Application Procedure
a.
Submit four (4) copies of the application, all of which must contain
original signatures (any colored–nonblack–ink) on the grant agreement
face page and the budget summary sheet.
b.
Applications should be directed to LeBaron Woodyard, Dean, Academic
Affairs at the Chancellor’s Office, California Community Colleges, 1102
Q Street, Suite 4554, Sacramento, CA 95811-6539. Applications
received after the deadline will not be accepted.
c.
Staple the application in the upper left-hand corner. Use 8-1/2”x11” white
bond paper only. Please Do Not use binders or other covers. Do Not
include appendices or other supplemental information unless specifically
requested in the RFP Specification or Instructions, Terms, and Conditions.
d.
Label the outside of the mailing envelope:
Attention: FII Loan Application Enclosed.
e.
Loan Agreement Face Sheet must be signed by the district’s Chief Executive Officer (or authorized designee) to bind the grantee to its provisions.
(Please use any colored–nonblack–ink)
f.
Budget Summary page must be signed by the district’s Chief Business
Officer (or authorized designee) and the Project Director or Responsible
Administrator. (Please use any colored –nonblack-ink)
NOTE: The State Is Not Liable For Any Costs Incurred By Grantees
Prior To The Issuance Of A Grant And Receipt Of All Necessary
Approvals.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION II
L.
Application Instructions and Evaluation Criteria and RFP Specifications
16
Calendar of Key Dates for RFP Process
The following “Calendar of Key Dates” contains important deadlines and other key dates
that have been established for this RFP competitive bid process.
RFP Release Date
November 5, 2012
FII Loan Webinar
November 26, 2012
Date
Start time
End time
Duration
11/26/2012
10:00 AM
11:00 AM
60
PRIOR TO YOUR FIRST CCC CONFER MEETING
Test Your Computer Readiness
PARTICIPANT DETAILS
> Dial your telephone conference line: (888) 886-3951
> Cell phone users dial: 913-312-3202
> Enter your passcode: 144240
> Go to www.cccconfer.org
> Click the Participant Log In button under the Meet & Confer logo
> Locate your meeting and click Go
> Fill out the form and enter the passcode: 144240
FOR ASSISTANCE
CCC Confer Client Services - Monday - Friday between 8:00 am - 4:00 pm
Phone: 760-744-1150 ext 1537 or 1554
Email: clientservices@cccconfer.org
Application Deadline
Applications must be received at
the Chancellor’s Office by 5:00
p.m. February 5, 2013
Reading and Rating of Applications
February 8, 2013
Notification of Intent to Award Loans
February 12, 2013
Last Day to File an Appeal
February 25, 2013
Final List of Awards
February 26, 2012
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION II
M.
Application Instructions and Evaluation Criteria and RFP Specifications
17
Calendar of Key Dates for New Grants Awarded
2012-13 Projects Operational
March 15, 2013
2012-13 Due Date for Final Report
April 15, 2014
2013-14 Projects Operational
July 1, 2013
2013-14 Due Date for Final Report
July 31, 2014
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Chancellor’s Office
California Community Colleges
RFP Specification for New Loan Awards
The loans awarded under this RFP Specification will be for one year only.
2012-13 RFP Specification
Number:
12-051
2013-14 RFP Specification
Number:
13-049
RFP Specification Title:
FII RFP Specification for Loan Awards (Loan Fund)
Program Division:
Academic Affairs Division
Division Vice Chancellor:
Barry A. Russell PhD
Funding Source:
Fund for Instructional Improvement
Funding Category:
One-Year Loans
Performance/Funding Period for March 15, 2013 through March 14, 2014
Fiscal Year 2012-13:
Performance/Funding Period for July 1, 2013 through June 30, 2014
Fiscal Year 2013-14:
2012-13 Maximum Funds
Available:
Up to $302,000 total funds available
2013-14 Maximum Funds
Available:
Up to $302,000 total funds available (Subject to the approval of the
2013-14 California State Budget)
Initial Competition Funding
Phase
This phase of the FII funding cycle for both 2012-13 funds and
2013-14 funds is set for 90 days concurrently. The RFP will be
released and proposals accepted for 90 days for both fiscal years.
All proposals received during this period will compete among the
applications received within each fiscal year for the funds and will
be allocated on a competitive basis. Colleges may apply for more
than one fiscal year. All proposals will be received and reviewed
by a panel using the same criteria. Funds will be awarded to the
highest ranking proposals until either all funds are expended or all
projects with a qualifying score are funded. Proposals must have a
minimum average qualifying score of 75 points.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION II
Application Instructions and Evaluation Criteria and RFP Specifications
20
Secondary Open Funding Phase If after the “Initial Competition Funding Phase” there are
unallocated funds within a designated fiscal year, the Chancellor’s
Office will accept proposals for the remaining funds for that fiscal
year on a first come first served basis. Proposals are still subject to
the established funding criteria and will be evaluated and scored
and must receive a minimum score of 75 points in order to be
funded. However the priority for this phase is based on when the
request is received and not the highest ranked proposal.
Match Requirement:
No Match Required.
Number of Awards:
The number of awards will be determined by the number of
successful applications and available funds.
The FII Loan under RFP Specification No. 12-051 will allocate up to $302,000 in loan funds for
the 2012-13 Fiscal Year and RFP Specification No. 13-049 will allocate $302,000 for the 201314 Fiscal Year (Subject to the final approval of the 2013-14 California State Budget). Loans are
interest free and are advanced to a district in one payment. Repayment takes place through a
reduction in district apportionment in three annual payments beginning with the second principal
apportionment period of the first fiscal year after the loan is made.
Loan Funding Scenarios
The FII loan is not for everyone. There are certain project designs that the loan has traditionally
been shaped to address, i.e., equipment purchases. There are others where the loan would be
well suited within the constraints of approvable FII goals to support. The following four loan
scenarios described below are provided as examples of what colleges can do when they think of
the loan program as a vehicle to generate revenue: contract course, community services offerings
(continuing education), distance education, and equipment/software acquisition. They are based
on the following assumptions:
A. 2012-13 FII Loan Funds, funds are received by April 15, 2013, zero percent interest, 3
equal annual payments to repay loan, first payment of one-third of the loan amount is due
in June 2014 (14 months from initial receipt of funds).
B. 2013-14 FII Loan Funds, funds are received by July 1, 2013, zero percent interest, 3
equal annual payments to repay loan, first payment of one-third of the loan amount is due
in June 2015 (24 months from initial receipt of funds).
Scenario 1 – Contract Course
Title 5, section 55000 (d) defines a contract course as “…a course which a community college
district offers under a contract pursuant to Education Code section 78021 with a public or private
agency, corporation, association, or other organization.” The FII Loan program can be used to
develop, market, and/or deliver contract courses to profit or non-profit businesses, companies
and organizations in either the traditional face to face or distance education instructional delivery
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION II
Application Instructions and Evaluation Criteria and RFP Specifications
21
mode. The revenue generated by the contract course is retained by the district and can be used to
operate and sustain an overall program dedicated to that purpose.
The use of the loan program represents an opportunity for districts to receive funds to expand
contract courses and to meet the educational/business needs of their community with targeted
instruction paid for by the contractor. The loan funds allow the district to invest in an
instructional activity that can not only sustain itself but generate positive cash flow for the
college and district and contribute to the repayment of the FII loan.
Scenario 2 – Community Services Offerings
Title 5, section 55000 (b) defines “Community Services Offering” as “…a fee-supported
community services class authorized pursuant to Education Code section 78300 and approved
pursuant to subdivision (d) of section 55002 for which state apportionment is not claimed and
credit is not awarded.” In scenario 1 the focus of the instruction was on the organization but in
“community services offerings” the focus is on the individual. Colleges can very similarly use
FII loan funds for the purpose of developing, marketing, and delivering “community services
offerings” and generating revenue that can be used to sustain a program and provide revenue to
repay the loan.
Scenario 3 – Out of State or International Distance Education Courses
The FII Loan program may be used to fund distance education courses that are targeted to out of
state and/or international students who pay nonresident student fees. These fees are retained
100% by the district and can be used to support the cost of conducting the specialized distance
education course. The distance education courses can be coordinated into a program that is
marketed and delivered in a cohort model for students beyond the State’s boundaries.
California residents are charged $46 per unit for community college courses and $31 per unit for
schools on the quarter system (De Anza, Foothill and Lake Tahoe colleges.) A typical course is
three or four units, for a cost of $138 to $184. A student who enrolls in 12 units is considered a
full-time student - that student would pay $46 x 12 units = $552 per semester or $1,104 annually.
The average tuition and fees for all community colleges nationally in 2010-11, as cited in the
College Board’s Trends in Community College Education: Enrollment, Prices, Student Aid, and
Debt Levels, for a full-time student enrolled in a public two-year college were $2,713. This is an
average difference of $1,609. The average annual out of state tuition costs for 111 California
community colleges is $4,962. For those states where the tuition cost is comparable to the out of
state cost a revenue generating model may be employed to the benefit of the local California
college.
Scenario 4 – Equipment and/or Software Acquisition
The FII Loan program can be used to purchase equipment that can be amortized over a three year
period at zero percent interest. Colleges can refurbish out of date labs and equipment and pay for
it over time as if they are purchasing the equipment with cash. Depending on the fiscal year the
equipment may be used 14 – 24 months before the first payment on the equipment is due. This
may be attractive to those high cost programs requiring expensive equipment as a part of the
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
SECTION II
Application Instructions and Evaluation Criteria and RFP Specifications
22
instructional format. Colleges may also acquire software to update Enterprise systems or to
convert from one system to another or to fund the development of local software systems.
Loan Program
The legal provisions contained in Appendix A, which is included in this booklet, are the ones
that will apply to the loans awarded under this RFP Specification. Rather than list the provisions
again, they are incorporated into the loan agreement document, by reference, on the Loan
Agreement Face Sheet. Applicants must, therefore, retain this manual for future reference.
Information
If you have any questions or need more information regarding this RFP Specification, please
contact LeBaron Woodyard by telephone at (916) 445-1780, or by email at lwoodyar@cccco.edu;
or mail at the Chancellor’s Office, California Community Colleges, 1102 Q Street, Suite 4554,
Sacramento, CA 95811-6539.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Chancellor’s Office, California Community Colleges
LOAN AGREEMENT
ARTICLE I
FII Division/Program-Specific Terms and Conditions
(Established March 2007)
1. Term of Loan
The term of this loan for 2012-13 shall be from March 15, 2013, to and including March
14, 2014. Final approval of this loan is contingent upon signature of both parties hereto.
All performance under this loan shall be completed by March 14, 2014, except that a
Final Report must be received by the Project Monitor no later than April 15, 2014.
The term of this loan for 2013-14 shall be from July 1, 2013, to and including June 30,
2014. Final approval of this loan is contingent upon signature of both parties hereto. All
performance under this loan shall be completed by June 30, 2014 except that a Final
Report must be received by the Project Monitor no later than July 31, 2014.
2. Cost and Payments
In consideration of satisfactory performance of services described in the application work
statement, the state agrees to pay the Loan Recipient a total amount not to exceed the
“Loan Funds” amount stated on the fully executed loan face sheet. Payments shall be
made as set forth below:

Loans are interest free and are advanced to a district in one payment. Repayment
takes place in three annual payments beginning the first funding year after the loan
is made. Each payment shall be made by deducting an amount equal to one-third
of the amount loaned to the district from the second principal apportionment made
from Section B of the State School Fund to the community college district.
3. Budget Changes

The Loan Recipient may make changes to any budget category amounts without
the approval of the Project Monitor so long as budget categories are not added or
deleted, the total dollar amount of the Loan Agreement is not affected, and the
outcomes of the project will not be materially affected.

The Loan Recipient may add or delete budget categories subject to the prior
approval of the Project Monitor.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Loan Agreement-Article I--FII Division/Program-Specific Terms and Conditions (3/07)
24

Amendments of the Loan Agreement are required for budget changes when there
are changes in the total dollar amount of the loan and/or the outcome of the
project is materially affected. The request for such changes should include a letter
of justification; three copies of a revised "Application Budget Summary," all of
which have been signed by the Chief Business Officer or his/her designee, in an
ink color other than black, and a revised "Application Budget Detail Sheet."

The Budget Amendment request should be mailed to the Project Monitor for
approval. The Loan Recipient will be notified if the request is approved or if
additional information is required. In any event, the Loan Recipient shall
implement changes only upon written notification by the Project Monitor.
Additionally, the next Progress Report must show the new budget changes.
Budget changes or amendments involving an extension of time are subject to
applicable program limitations. No budget change or amendment may permit
expenditures to be made after June 30th of the second year following the period
for which the funds were appropriated. Any budget change or amendment
permitting funds to be spent beyond the year of appropriation shall ensure that the
Loan Recipient does not receive funding for the same expense from more than one
fiscal year.
4. Reporting Requirement
Loan Recipient shall prepare and submit to the Project Monitor a Final Report, as
indicated below.
2012-13 Loan Final Report is due: April 15, 2014.
2013-14 Loan Final Report is due: July 31, 2014.
One (1) original and two (2) copies of the final report, which shall include an expenditure
statement, executive summary and two copies of materials and/or products, are to be
submitted.
4. Legal Compliance
Performance of this loan shall be pursuant to sections 84381-84384 of the Education
Code and sections 56652-56684 of Title 5 of the California Code of Regulations.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
25
ARTICLE II
Standard Legal Terms and Conditions
(Revision 3/16/07)
1. Work to be Performed
The Loan Recipient shall complete the tasks described in its application and funds
shall be expended in compliance with the requirements for the funding source and
category referenced in the face sheet.
The Loan Recipient may request modifications to the work to be performed. All
such requests must be submitted in writing to the Project Monitor prior to the
modification being made. The Project Monitor may require that an amendment to
this agreement be processed, if the monitor determines that the change would
materially affect the project outcomes or the term of this Loan Agreement.
Modifications or amendments involving an extension of time are subject to
applicable program limitations. No modification or amendment of this agreement
may permit expenditures to be made after June 30th of the second year following
the period for which the funds were appropriated. Any modification or
amendment permitting funds to be spent beyond the year of appropriation shall
ensure that the Loan Recipient does not receive funding for the same expense
from more than one fiscal year.
2. Amendments
An amendment of this Loan Agreement is required when the Loan Recipient
wishes to extend the completion date or materially change the work to be
performed or the budget (see Article I section 2 and Article II section 1). The
request must be made on the appropriate form provided by the Chancellor's Office
and must be submitted to the Project Monitor prior to making the desired
alteration in the performance or expenditures under the Loan Agreement.
Requests for amendments should be received 60 days before the end of the
performance period.
Amendments involving an extension of time are subject to applicable program
limitations. No amendment may permit expenditures to be made after June 30th
of the second year following the period for which the funds were appropriated.
Any amendment permitting funds to be spent beyond the year of appropriation
shall ensure that the Loan Recipient does not receive funding for the same
expense from more than one fiscal year.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
26
3. Unenforceable Provision
In the event that any provision of this Loan Agreement is unenforceable or held to
be unenforceable, then the parties agree that all other provisions of this Loan
Agreement have force and effect and shall not be affected thereby.
4. Dispute
In the event of a dispute, Loan Recipient agrees to file a "Notice of Dispute" with
the Chancellor's Office, within ten (10) days of discovery of the problem. Within
ten (10) days, the Chancellor or his or her designee shall meet with the Loan
Recipient, the Vice Chancellor for the division awarding the Loan Agreement, and
the Project Monitor for purposes of resolving the dispute. The decision of the
Chancellor shall be final.
In the event of a dispute, the language contained within this Loan Agreement shall prevail
over any other language including that of the loan application.
Loan Recipient shall continue with the responsibilities under this Loan Agreement during
any dispute.
5. Notice
Either party may give notice to the other party by sending certified mail properly
addressed, postage fully prepaid to the other party's business address. Notices to be sent
to the Chancellor's Office shall be addressed to the Project Monitor at Chancellor's
Office, California Community Colleges, 1102 Q Street, Suite 4554, Sacramento, CA
95811-6539. Notices to be sent to the Loan Recipient shall be addressed to the Project
Director at the Loan Recipient's address as specified on the face sheet of this Loan
Agreement. Such notice shall be effective when received, as indicated by post office
records, or if deemed undeliverable by the post office, such notice shall be postponed 24
hours for each such intervening day.
6. Interpretation
In the interpretation of this Loan Agreement, any inconsistencies between the terms
hereof and the Exhibits shall be resolved in favor of the terms hereof.
7. Project Director and Key Personnel
The Project Director is designated by the Loan Recipient on the face sheet of the Loan
Agreement, and the key personnel are identified in the application or proposal. The Loan
Recipient may change the Project Director or other key personnel, but the Loan Recipient
shall immediately notify the Project Monitor in writing of any such changes.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
27
8. Project Monitor
The Project Monitor is designated by the Chancellor's Office on the face sheet of the
Loan Agreement. The Project Monitor is responsible for overseeing the project and any
questions or problems relating to the project should be directed to the Project Monitor. If
necessary, the Chancellor's Office may change the Project Monitor by written notice sent
to the Loan Recipient.
9. Budget Concerns
a.
It is mutually understood between the parties that this Loan Agreement may have
been written before ascertaining the availability of state or federal funds, for the
mutual benefit of both parties in order to avoid program and fiscal delays which
would occur if this Loan Agreement were executed after the determination was
made.
b.
It is mutually agreed that if the state or federal budget for the current year and/or
any subsequent years covered under this Loan Agreement does not appropriate
sufficient funds for the program, this Loan Agreement shall have no force and
effect. In this event, the Chancellor's Office shall have no liability to pay any
funds whatsoever to Loan Recipient or to furnish any consideration under this
Loan Agreement and Loan Recipient shall not be obligated to perform any
provisions of this Loan Agreement.
c.
Loan Recipient shall inform any subcontractors and sub recipients that any work
performed prior to approval of the state or federal budget, as applicable, will be
rendered on a voluntary basis, and shall not be compensated unless and until
funding is authorized.
d.
In no event may Loan Recipient use loan funds to pay any individual or
organization for the work associated with preparing the loan application. For
breach or violation of this prohibition, the Chancellor's Office shall, in addition to
other remedies provided by law, have the right to annul this Loan Agreement
without liability, paying only for the value of the work actually performed, or
otherwise recover the full amount of such commission, percentage, brokerage, or
contingent fee.
e.
In addition, this Loan Agreement is subject to any additional restrictions, funding
reductions, limitations or conditions enacted in the state or federal budget, any
amendments thereto, or in the laws and Executive Orders that may affect the
provisions, term, or funding of this Loan Agreement in any manner. The parties
hereby agree that the Chancellor's Office will notify Loan Recipient of any such
changes affecting the terms of this Loan Agreement, but need not execute an
amendment to modify the Loan Agreement.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
28
10. Assignment
Loan Recipient may not transfer by assignment or novation the performance of
this Loan Agreement or any part thereof except with the prior written approval of
the Project Monitor. Nor may Loan Recipient, without the prior written consent
of the Project Monitor, assign any other right that Loan Recipient may have under
this Loan Agreement. Each assignment that is approved by the Project Monitor
shall contain a provision prohibiting further assignments to any third or
subsequent tier assignee without additional written approval by the Project
Monitor. The Project Monitor's consent to one or more such assignments or
novations shall not constitute a waiver or diminution of the absolute power to
approve each and every subsequent assignment or novation.
11. Subcontracts
a.
Loan Recipient agrees to obtain the written approval of the Project Monitor prior
to the selection of subcontractors or subrecipients to perform services under this
Loan Agreement, based upon a written request indicating compliance with the
provisions set forth below. Except where prohibited by the Standards of Conduct
provisions set forth in section 15 of this Article, subcontractors subrecipients
specifically identified in this Loan Agreement or the Exhibits attached hereto and
which are secured in accordance with applicable legal requirements and the
provisions set forth below are deemed approved upon execution of this Loan
Agreement.
b.
In any event, if the Loan Recipient wishes to enter into a subcontract for
performance of any part of the activities under this Loan Agreement , Loan
Recipient shall disclose the intended purpose and amount of the subcontracting,
identify the proposed subcontractor or subrecipient, and certify that the
subcontractor or subrecipient was selected according to locally applicable
competitive bidding processes which are reasonably calculated to ensure that cost
shall be given substantial weight in the selection process, and that the selected
subcontractor or subrecipient is the best qualified party available to provide the
required services. Upon request, Loan Recipient shall furnish evidence of
compliance with this provision to the Project Monitor. Loan Recipient shall
immediately notify the Project Monitor in the event that any subcontract is
terminated.
c.
All subcontracts shall contain a provision prohibiting any third or subsequent tier
subcontracts without additional written approval by the Project Monitor.
d.
The Project Monitor's consent to one or more subcontracts shall not constitute a
waiver or diminution of the absolute power to approve each and every subsequent
subcontract.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
e.
Upon request, Loan Recipient shall furnish any additional evidence the Project
Monitor may deem appropriate concerning the competitive bidding procedures
used or any other matter related to compliance with paragraphs (a) or (b).
f.
Loan Recipient shall not enter into any subcontract of the types described below
and any such agreement which may be executed is null and void and of no force
or effect.
g.
29
1.
A former state employee (including a Chancellor's Office employee, or a
district employee who worked for the Chancellor's Office on an
Interjurisdictional Exchange (IJE)) cannot enter into a subcontract under
this Loan Agreement with the Loan Recipient if that employee was
engaged in the negotiations, transactions, planning, arrangements or any
part of the decision-making process relevant to this Loan Agreement while
employed by the state. (Gov. Code, §§ 1090, et seq., 87100, and 87400 et
seq.; Cal.Code Regs. tit. 5, §§ 18741.1 and 18747.)
2.
A current state employee (including a current Chancellor's Office
employee or district employee working for the Chancellor's Office on an
Interjurisdictional Exchange (IJE)) cannot enter into a subcontract with the
Loan Recipient, with the exception of rank-and-file employees of the
California State University and the University of California. (Pub. Contr.
Code, § 10410.)
3.
The spouse or a member of the immediate family of a current Chancellor's
Office employee (including a current Chancellor's Office employee or
district employee working for the Chancellor's Office on an
Interjurisdictional Exchange (IJE)) may not enter into a subcontract with
the Loan Recipient if the Chancellor's Office employee or person on an IJE
was engaged in the negotiations, transactions, planning, arrangements or
any part of the decision-making process relevant to this Loan Agreement ,
or the subcontract, or had any influence whatsoever in the making of this
Loan Agreement , or the subcontract. (Gov. Code, §§ 1090, et seq.; and
87100.)
Nothing contained in this Loan Agreement or otherwise, shall create any
contractual relationship between the Chancellor's Office and any
subcontractors or subrecipients, and no subcontract shall relieve Loan
Recipient of its responsibilities and obligations hereunder. Loan Recipient
agrees to be as fully responsible to the Chancellor's Office for the acts and
omissions of its subcontractors, subrecipients, and of persons either
directly or indirectly employed by them, as it is for the acts and omissions
of persons directly employed by Loan Recipient. Loan Recipient's
obligation to pay its subcontractors and subrecipients is independent from
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
30
the obligation of the Chancellor's Office to make payments to Loan
Recipient. As a result, the Chancellor's Office shall have no obligation to
pay or enforce the payment of any moneys to any subcontractor.
12. Audit
Loan Recipient agrees that the Chancellor's Office, the Bureau of State Audits,
any other appropriate state or federal oversight agency, or their designated
representative(s), shall have the right to review and to copy any records and
supporting documentation pertaining to the performance of this Loan Agreement.
Loan Recipient agrees to maintain such records for possible audit for a minimum
of three (3) years after final payment or until any audit findings have been
resolved, unless a longer period of records retention is stipulated. Loan Recipient
agrees to allow the auditor(s) access to such records during normal business hours
and to allow interviews of any employees who might reasonably have information
related to such records. Further, Loan Recipient agrees to include a similar right
of the Chancellor's Office, the Bureau of State Audits, any other appropriate state
or federal oversight agency, or their designated representative(s) to audit records
and interview staff in any subcontract related to performance of this Loan
Agreement.
13. Products and Deliverables
a.
Each deliverable to be provided under this Loan Agreement shall be submitted to
and approved by the Project Monitor. All products, documents and published
materials, including multimedia presentations, shall be approved by the Project
Monitor prior to distribution.
b.
Any document or written report prepared, in whole or in part by Loan Recipient,
or its subcontractors or subrecipients, shall contain the loan number and dollar
amount of the loan and subcontracts relating to the preparation of such document
or written report. The loan and subcontract numbers and dollar amounts shall be
contained in a separate section of such document or written report. (Gov. Code, §
7550(a).)
c.
When multiple documents or written reports are the subject or product of the Loan
Agreement, the disclosure section must also contain a statement indicating that the
total loan amount represents compensation for multiple documents or written
reports. (Gov. Code, § 7550(b).)
d.
All products resulting from this Loan Agreement or its subcontracts in whole or in
part shall reference the Chancellor's Office, California Community Colleges and
the specific funding source.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
e.
14.
31
All references to the project shall include the phrase, "funded in part by the
Chancellor's Office, California Community Colleges."
Travel
For travel necessary to the performance of this Loan Agreement, Loan Recipient travel
and other expense claims shall be governed by the travel policy and procedures adopted
by the Loan Recipient's governing board. Travel and other expenses shall be limited to
those necessary for the performance of this Loan Agreement. Loan funds may be used to
pay for travel for Chancellor's Office staff provided that the travel is related to the
purposes of the Loan Agreement , the travel is necessary to allow Chancellor's Office
staff to provide services or technical assistance beyond the scope of normal monitoring,
the request is made by the Loan Recipient without duress from Chancellor's Office staff,
Loan Recipient does not seek or receive any favorable treatment in exchange for paying
for travel, travel is arranged and paid for through ordinary Chancellor's Office processes,
and the funds are used to reimburse those costs using Accounting Form RT-01 Request
for Services/Agreement to Pay Travel Expenses.
15.
Standards of Conduct
Loan Recipient hereby assures that, in administering this Loan Agreement, it will comply
with the standards of conduct hereinafter set out, as well as the applicable state laws
concerning conflicts of interests, in order to maintain the integrity of this Loan Agreement
and to avoid any potential conflict of interests in its administration.
a.
.Every reasonable course of action will be taken by the Loan Recipient in order to
maintain the integrity of this expenditure of public funds and to avoid any
favoritism or questionable or improper conduct. The Loan Agreement will be
administered in an impartial manner, free from personal, financial, or political
gain. The Loan Recipient, and its officers and employees, in administering the
Loan Agreement, will avoid situations which give rise to a suggestion that any
decision was influenced by prejudice, bias, special interest, or personal gain.
b.
Conducting Business with Relatives. No relative by blood, adoption, or marriage
of any officer or employee of the Loan Recipient, or of any member of its
governing board, will receive favorable treatment in the award of subcontracts or
in educational or employment opportunities funded by this Loan Agreement.
c.
Conducting Business Involving Close Personal Friends and Associates. In
administering the Loan Agreement, officers and employees of the Loan Recipient
will exercise due diligence to avoid situations which may give rise to an assertion
that favorable treatment is being granted to friends and associates.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
d.
e.
16.
32
Avoidance of Conflicts of Economic Interests.
1.
Loan Recipient shall take all reasonable steps to ensure that its officers and
employees, and members of its governing board, will avoid any actual or
potential conflicts of interests, and that no officer, employee, or board
member who exercises any functions or responsibilities in connection with
this Loan Agreement shall have any personal financial interest or benefit
which either directly or indirectly arises from this Loan Agreement. The
term "financial interest" shall include the financial interest of the officer,
employee, or board member's spouse or dependent child.
2.
Loan Recipient shall establish safeguards to prohibit officers, employees
or board members from using their positions for a purpose which could
result in private gain, or give the appearance of being motivated for private
gain for themselves or others, particularly those with whom they have
family, business, or other ties.
3.
An officer or employee of Loan Recipient, an elected official in the area,
or a member of the governing board, may not solicit or accept money or
any other consideration from a third person for the performance of any act
reimbursed, in whole or in part, by Loan Recipient or the Chancellor's
Office. Supplies, materials, equipment, or services purchased with loan
funds will be used solely for purposes allowed under this Loan Agreement.
4.
The governing board may not authorize the award of any subcontract
funded by this Loan Agreement, if that contract or subcontract is for the
provision of services or goods by any board member, or by any person or
entity which is a source of income to a board member.
In the interest of avoiding conflicts of interests involving friends or
associates of Chancellor's Office employees, in administering this Loan
Agreement , officers and employees of the Loan Recipient will exercise
due diligence to avoid situations which may give rise to an assertion that
favorable treatment is being granted to friends and associates of
Chancellor's Office employees.
Statewide or Regional Projects
If this Loan Agreement involves provision of coordination, technical assistance, or other
services for the California Community College system or for a particular region or group of
colleges, the following requirements shall apply:
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33
a.
Loan Recipient agrees to consult regularly with the Project Monitor and
representatives of the colleges to be served and to give every reasonable
consideration to their views in the conduct of the project.
b.
Loan Recipient shall require all employees, consultants, subcontractors
and subrecipients to disclose any employment or contractual relationships
they may have with other colleges being served under a statewide or
regional grant. Such relationships are prohibited and shall be promptly
terminated unless, after being fully informed of the circumstances, the
Project Monitor determines that the services being provided to the other
college by the employee, consultant, or contractor are above and beyond or
unrelated to those provided under this Loan Agreement.
c.
If this loan funds a position with a time base greater than halftime to
perform activities under the loan, Loan Recipient hereby agrees to engage
in full and open recruitment for that position in accord with subsection (a)
of section 53021 of Title 5 of the California Code of Regulations, with the
understanding that such position may be filled on a temporary basis to the
extent authorized by law. Loan Recipient shall, in a timely manner,
submit to the Personnel Office of the Chancellor's Office a copy of all such
job announcements. In the event that an employee of the Chancellor's
Office applies for and is selected to fill the position, the Chancellor's
Office agrees to give every reasonable consideration to executing an
Interjurisdictional Exchange Agreement to permit the employee in
question to work for the Loan Recipient.
d.
If the primary role of the Loan Recipient under this Loan Agreement is to
serve as a fiscal agent for distribution of funds, Loan Recipient agrees that
it will not make any payment to subcontractors engaged to provide
consulting services under this Loan Agreement without the written
approval of the Project Monitor and the Vice Chancellor for Fiscal
Services. Loan Recipient may, however, disburse funds as provided in the
loan budget for other activities (including paying for expenses related to
meetings of advisory bodies or travel expenses for site reviews) without
prior approval.
17. Time Is of the Essence
Time is of the essence in this Loan Agreement.
18. Intellectual Property
a.
Loan Recipient agrees that any and all services rendered and documents or other
materials, inventions, processes, machines, manufactures, or compositions of
matter, and/or trademarks or service marks first created, developed or produced
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
34
pursuant to the Loan Agreement , whether by Loan Recipient or it subcontractors
or subrecipients, shall be and are Work for Hire. All subcontracts shall include a
Work for Hire provision by which all materials, procedures, processes, machines,
and trademarks or service marks produced as a result of the Loan Agreement shall
be Work for Hire. All rights, title, and interest in and to the Work first developed
under the Loan Agreement or under any subcontract shall be assigned and
transferred to the Chancellor's Office. This Work for Hire agreement shall survive
the expiration or early termination of this Loan Agreement.
b.
The copyright for all materials first produced as a result of this Work for Hire
agreement shall belong to the Chancellor's Office. Loan Recipient, and all
subcontractors, subrecipients, and others that produce copyright materials
pursuant to the Loan Agreement, assigns all rights, title and interest, including the
copyright to any and all works created pursuant to this Work for Hire agreement,
to the Chancellor's Office. The Chancellor's Office shall acknowledge Loan
Recipient or its subcontractors and subrecipients, if any, as the author of works
produced pursuant to this Work for Hire agreement on all publications of such
work. The Chancellor's Office may license Loan Recipient or its subcontractors
and subrecipients, if any, to reproduce and disseminate copies of such work,
provided the licensee agrees not to permit infringement of the copyright by any
person, to compensate Chancellor's Office for any infringement which may occur,
and to indemnify and hold harmless the Chancellor's Office for any and all claims
arising out of or in connection with the licensing agreement. Said license shall
include the right to create and use works derived from those created under this
Loan Agreement, even if such derivative works compete with those created under
this Loan Agreement.
All materials first developed in draft and in final form pursuant to this Loan
Agreement shall, in a prominent place, bear the © (the letter "c" in a circle) or the
word "Copyright," or the abbreviation "Copr.", followed by the year created; and
the words "Chancellor's Office, California Community Colleges."
Acknowledgment may be given to Loan Recipient or the actual author(s) of the
work in an appropriate manner elsewhere in the copyright material. If it is
deemed necessary by either the Chancellor's Office or the Loan Recipient that the
copyright be registered with the U.S. Copyright Office, Loan Recipient will be
responsible for applying for, paying the filing fees for, and securing said
copyright.
c.
All technical communications and records originated or first prepared by the Loan
Recipient or its subcontractors and subrecipients, if any, pursuant to this Work for
Hire agreement, including papers, reports, charts, computer programs, and
technical schematics and diagrams, and other documentation, but not including
Loan Recipient's administrative communications and records relating to this Loan
Agreement, shall be delivered to and shall become the exclusive property of the
Chancellor's Office and may be copyrighted by the Chancellor's Office.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
35
d.
If it is deemed necessary by either the Chancellor's Office or the Loan Recipient
that a patent be obtained from the U.S. Patent and Trademark Office for any
invention, process, machine, manufacture, or composition of matter, Loan
Recipient will be responsible for applying for, paying the filing fees for, and
securing said patent. All patents for inventions, processes, machines,
manufactures, or compositions of matter developed pursuant to this Loan
Agreement shall be issued to the "Chancellor's Office, California Community
Colleges." All products and references to patents shall be marked and designated
as such as required by law. Acknowledgment may be given to Loan Recipient or
the actual inventor(s) in an appropriate manner. The Chancellor's Office agrees to
grant a nonexclusive license for such intellectual property to the Loan Recipient.
Said license shall include the right to use the patent for inventions, processes,
machines, manufactures, or compositions of matter derived from those created
under this Loan Agreement.
e.
All trademarks and service marks first created, developed or acquired pursuant to
this Loan Agreement shall be the property of the Chancellor's Office. If it is
deemed necessary by either the Chancellor's Office or the Loan Recipient that a
trademark or service mark be registered with state or federal agencies, Loan
Recipient will be responsible for applying for, paying the filing fees for, and
securing said protection. All trademarks and service marks obtained pursuant to
this Loan Agreement shall be issued to the "Chancellor's Office California
Community Colleges" and carry the designations permitted or required by law.
The Chancellor's Office agrees to grant a nonexclusive license for the use of
trademarks or service marks created, developed or obtained under this Loan
Agreement to the Loan Recipient.
f.
In connection with any license granted pursuant to the preceding paragraphs, Loan
Recipient agrees not to permit infringement by any person, to compensate
Chancellor's Office for any infringement which may occur, and to indemnify and
hold harmless the Chancellor's Office for any and all claims arising out of or in
connection with such license. Loan Recipient may, with the permission of the
Chancellor's Office, enter into a written sublicensing agreement subject to these
same conditions.
g.
Any and all services rendered, materials, inventions, processes, machines,
manufactures, or compositions of matter, and trademarks or servicemarks created,
developed or produced pursuant to this Loan Agreement by subcontractors or
subrecipients that create works for this loan for Loan Recipient are for and are the
property of the Chancellor's Office. Loan Recipient shall obtain an
acknowledgement of the work for hire performed by these subcontractors or
subrecipients that produce intellectual property pursuant to this Loan Agreement,
and all rights, title, and interests in such property shall be assigned to the
Chancellor's Office from all subcontractors or subrecipients. Loan Recipient shall
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
36
incorporate the above applicable paragraphs, modified appropriately, into its
agreements with subcontractors or subrecipients that create works for this loan.
No unpaid volunteer or other person shall produce copyright materials under this
Loan Agreement without entering into a subcontract between such person(s) and
Loan Recipient giving the Chancellor's Office the foregoing rights in exchange for
the payment of the sum of at least one dollar ($1).
19. Expenditures
a.
Funds awarded for loans may not be used for purposes of construction, remodeling, or lease of facilities, nor for student financial aid, or for programs and
activities not eligible for state apportionment. Loans may be used to purchase
equipment.
b.
Overhead or indirect costs may be included in an application only as part of the
financial participation provided by the applicant. When supported by the loan, it
must not exceed four percent (4%) of the total loan. Indirect costs are calculated
as a percentage of the direct cost found on line 8 of the Application Budget
Summary.
c.
If equipment is purchased and is not needed full time for the purposes of the loan,
it may also be used for other purposes so long as this does not interfere with its
use in carrying out the purposes of the loan throughout the term of this Loan
Agreement.
d.
Upon completion or termination of the loan, or when equipment is no longer
useful or necessary for purposes of the loan, it may be disposed of as the Loan
Recipient deems appropriate.
20. Surveys
If this Loan Agreement involves a survey of community college faculty, staff,
students, or administrators, Loan Recipient shall ensure that the survey is
developed, administered, tabulated, and summarized by a survey
evaluator/specialist. Surveys shall conform to project goals, shall minimize the
burden on the group being surveyed, and shall not collect data already available to
the Loan Recipient from the Chancellor's Office or another source.
21. Work by Chancellor's Office Personnel
a.
Chancellor's Office staff will be permitted to work side by side with Loan
Recipient's staff to the extent and under conditions that may be directed by the
Project Monitor. In this connection, Chancellor's Office staff will be given access
to all data, working papers, subcontracts, etc., which Loan Recipient may seek to
utilize.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
b.
37
Loan Recipient will not be permitted to utilize Chancellor's Office personnel for
the performance of services which are the responsibility of Loan Recipient unless
such utilization is previously agreed to in writing by the Project Monitor, and any
appropriate adjustment in price is made. No charge will be made to Loan
Recipient for the services of Chancellor's Office employees while performing,
coordinating or monitoring functions, except where an Interjurisdictional
Exchange agreement has been properly executed.
22. Termination
a.
b.
Termination Option. Either party may at its option terminate this Loan
Agreement at any time upon giving thirty (30) days' advance notice in writing to
the other party in the manner herein specified. In such event, this loan shall
become immediately due and payable and Loan Recipient shall pay the full loan
amount to the Chancellor's Office upon demand or the Chancellor's Office may
deduct the loan amount from the next apportionment payable to the district.
In the event of any breach by the Loan Recipient of the terms of this loan
agreement, the Chancellor's Office may without any prejudice to any of its other
legal remedies terminate this loan agreement upon five days written notice to the
Loan Recipient. In such event, this loan shall become immediately due and
payable and Loan Recipient shall pay the full loan amount to the Chancellor's
Office upon demand or the Chancellor's Office may deduct the loan amount from
the next apportionment payable to the district.
c.
Gratuities. The Chancellor's Office may, by written notice to the Loan Recipient,
terminate the loan, accelerate the loan repayment provisions of this Loan
Agreement, and the loan proceeds paid to Loan Recipient by Chancellor's Office
shall become immediately due and payable, and Loan Recipient shall pay the full
loan amount to the Chancellor's Office upon demand, or the Chancellor's Office
may deduct the full loan amount from the next apportionment payable to the
district, if it is found, after notice and hearing by the Chancellor or his/her duly
authorized representative, that gratuities were offered or given by the Loan
Recipient or any agent or representative of the Loan Recipient. to any officer or
employee of the Chancellor's Office with a view toward securing a loan or
securing favorable treatment with respect to awarding or amending or making a
determination with respect to the performance of such loan.
In the event this Loan Agreement is terminated as provided herein, the
Chancellor's Office shall be entitled to (1) pursue the same remedies against Loan
Recipient as it could pursue in the event of the breach of the Loan Agreement by
the Loan Recipient, and (2) exemplary damages in an amount which shall be not
less than three nor more than ten times the cost incurred by Loan Recipient in
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(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
38
providing any such gratuities to any such officer or employee, as a penalty in
addition to any other damages to which it may be entitled by law.
The rights and remedies provided in this clause shall not be exclusive and are in
addition to any other rights and remedies provided by law or under this Loan
Agreement.
23. Waiver
No waiver of any breach of this Loan Agreement shall be held to be a waiver of any other
or subsequent breach. All remedies afforded in this Loan Agreement shall be taken and
construed as cumulative; that is, in addition to every other remedy provided therein or by
law. The failure of the Chancellor's Office to enforce at any time any of the provisions of
this Loan Agreement, or to require at any time performance by Loan Recipient of any of
the provisions thereof, shall in no way be construed to be a waiver of such provisions nor
in any way affect the validity of this Loan Agreement or any part thereof or the right of
Chancellor's Office to thereafter enforce each and every such provision.
24. Workers Compensation Insurance
Loan Recipient hereby warrants that it carries Workers' Compensation Insurance for all of
its employees who will be engaged in the performance of this Loan Agreement, or is selfinsured in accordance with the provisions of Labor Code section 3700, and agrees to
furnish to the Chancellor's Office satisfactory evidence thereof at any time the Project
Monitor may request.
25. Law Governing
It is understood and agreed that this Loan Agreement shall be governed by the laws of the
State of California both as to interpretation and performance; venue of any action brought
with regard to this Loan Agreement shall be in Sacramento County, Sacramento,
California.
26. Participation in Activities Funded Through This Loan
a.
During the performance of this Loan Agreement , Loan Recipient and its
subcontractors or subrecipients shall ensure that no person is excluded from,
denied the benefits of, or otherwise subjected to discrimination with respect to
participation in, any program or activity funded under this Loan Agreement on
the basis of ethnic group identification, national origin, religion, age, sex, race,
color, ancestry, sexual orientation, or physical or mental disability, or on the basis
of these perceived characteristics or based on association with a person or group
with one or more of these actual or perceived characteristics.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
b.
39
Programs funded by this Loan Agreement should not be designed, administered,
or advertised in a manner that discourages participation on any of the bases set
forth above. Any informational, advertising, or promotional materials regarding
such programs may not include any statements to the effect that a program is for,
or designed for students of a particular race, color, national origin, ethnicity or
gender. In the event that mentoring or counseling services are provided with
funding provided by this Loan Agreement, students may not be paired with
mentors or counselors based solely upon the race, color, national origin, ethnicity
or gender of the students, mentors, or counselors. The Chancellor's Office may,
by written approval of the Chancellor, grant an exception to the requirements of
this paragraph where Loan Recipient provides documentation clearly
demonstrating that designing a program for a particular group of students is
justified under applicable legal standards as a remedy for past discrimination.
27. Curriculum Development
If this Loan Agreement involves the development of new college curriculum, the
following shall apply:
a.
All courses initiated or substantially modified as a result of activities supported by
this Loan Agreement must comply with all applicable provisions of subchapter 1
of chapter 6 of division 6 of Title 5 of the California Code of Regulations
(commencing with section 55000), including but not limited to, section 55002,
which defines standards for degree-applicable credit, non-degree-applicable
credit, and noncredit courses. All such courses must be reviewed through the
appropriate processes as described in the Program and Course Approval
Handbook published by the Chancellor's Office.
b.
All programs (certificates or degrees) initiated or substantially modified as a result
of activities supported by this Loan Agreement must be approved at the
appropriate level and through the appropriate process as described in subchapter 1
of chapter 6 of division 6 of Title 5 of the California Code of Regulations
(commencing with section 55000) and the Program and Course Approval
Handbook published by the Chancellor's Office. In general, any new degree
major, and any certificate that requires 18 semester units or 27 quarter units or
more of coursework, must be approved by the Chancellor's Office before it is
initiated or substantially modified.
c.
The fact that the Chancellor's Office has awarded funding through this Loan
Agreement to support the development of new curriculum shall not be construed
to constitute endorsement or approval of the resulting curriculum or to guarantee
or affect the outcome of the curriculum review and approval process.
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(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
40
28. Eligibility for Noncitizens
Funds provided under this Loan Agreement shall only be used to employ, contract with,
or provide services to citizens of the United States or noncitizens who are eligible to
receive public benefits pursuant to section 401 (with respect to federally funded
activities) or section 411 (with respect to state funded activities) of the Personal
Responsibility and Work Opportunity Reconciliation Act of 1996 (P.L. 104-193, codified
at 42 U.S.C. §§ 601 and 611, respectively). Loan Recipient certifies that all of its
employees and/or subcontractors or subrecipients are qualified pursuant to these
provisions.
29. Nondiscrimination Clause
a.
During the performance of this Loan Agreement , Loan Recipient and its
subcontractors or subrecipients shall not unlawfully discriminate, harass or allow
harassment, against any employee or applicant for employment because of ethnic
group identification, national origin, religion, creed, age (over 40), sex, race,
color, ancestry, sexual orientation, physical disability (including HIV and AIDS),
mental disability, medical condition (cancer and genetic characteristics), or on the
basis of these perceived characteristics or based on association with a person or
group with one or more of these actual or perceived characteristics, marital status,
denial of family care leave, political affiliation, or position in a labor dispute.
Loan Recipient and subcontractors or subrecipients shall insure that the evaluation
and treatment of their employees and applicants for employment are free from
such discrimination and harassment.
b.
Loan Recipient and its subcontractors or subrecipients shall comply with the
provisions of the Fair Employment and Housing Act (Gov. Code, §§ 12900 et
seq.) and the applicable regulations promulgated thereunder (Cal. Code Regs., tit.
2, §§ 7285 et seq.). The applicable regulations of the Fair Employment and
Housing Commission implementing Government Code section 12990 (a-f), set
forth in chapter 5 of division 4 of Title 2 of the California Code of Regulations are
incorporated into this Loan Agreement by reference and made a part hereof as if
set forth in full.
c.
Loan Recipient and its subcontractors or subrecipients shall also comply with the
provisions of Government Code sections 11135-11139.8, and the regulations
promulgated thereunder by the Board of Governors of the California Community
Colleges (California Code of Regulations, Title 5, sections 59300 et seq.).
d.
Loan Recipient and its subcontractors or subrecipients shall give written notice of
their obligations under this clause to labor organizations with which they have a
collective bargaining or other agreement.
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(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
e.
41
Loan Recipient shall include the nondiscrimination and compliance provisions of
this clause in all subcontract or subLoan Agreement s to perform work under this
Loan Agreement.
30. Accessibility for Persons with Disabilities
a.
By signing this Loan Agreement , Loan Recipient assures the Chancellor's Office
that it complies with the Americans with Disabilities Act (ADA) of 1990 (42
U.S.C. §§ 12101 et seq.), which prohibits discrimination on the basis of disability,
as well as all applicable regulations and guidelines issued pursuant to the ADA.
b.
Loan Recipient shall, upon request by any person, make any materials produced
with loan funds available in Braille, large print, electronic text, or other
appropriate alternate format. Loan Recipient shall establish policies and
procedures to respond to such requests in a timely manner.
c.
All data processing, telecommunications, and/or electronic and information
technology (including software, equipment, or other resources) developed,
procured, or maintained by Loan Recipient, whether purchased, leased or
provided under some other arrangement for use in connection with this Loan
Agreement, shall comply with the regulations implementing Section 508 of the
Rehabilitation Act of 1973, as amended, set forth at 36 Code of Federal
Regulations, part 1194.
d.
Design of computer or web-based materials, including instructional materials,
shall conform to guidelines of the Web Access Initiative (see
http://www.w3.org/TR/WAI-WEBCONTENT/) or similar guidelines developed
by the Chancellor's Office.
e.
Loan Recipient shall respond, and shall require its subcontractors and
subrecipients to respond to and resolve any complaints regarding accessibility of
its products and services as required by this section. If such complaints are not
informally resolved, they shall be treated and processed as complaints of
discrimination based on disability pursuant to California Code of Regulations,
Title 5, sections 59300 et seq.
f.
Loan Recipient and its subcontractors and subrecipients shall indemnify, defend,
and hold harmless the Chancellor's Office, its officers, agents, and employees,
from any and all claims by any person resulting from the failure to comply with
the requirements of this section.
g.
Loan Recipient shall incorporate the requirements of this section into all
subcontract or subLoan Agreement s to perform work under this Loan Agreement
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
42
31. Drug-Free Workplace Certification
By signing this Loan Agreement , the Loan Recipient hereby certifies under penalty of
perjury under the laws of the State of California that the Loan Recipient will comply with
the requirements of the Drug-Free Workplace Act of 1990 (Gov. Code. §§ 8350 et seq.)
and will provide a drug-free workplace by taking the following actions:
a.
Publish a statement notifying employees that unlawful manufacture, distribution,
dispensation, possession, or use of a controlled substance is prohibited and
specifying actions to be taken against employees for violations.
b.
Establish a Drug-Free Awareness Program to inform employees about:
c.
1.
The dangers of drug abuse in the workplace;
2.
The organization's policy of maintaining a drug-free workplace;
3.
Any available counseling, rehabilitation, and employee assistance
programs; and,
4.
Penalties that may be imposed upon employees for drug abuse violations.
Every employee who works under the loan will:
1.
Receive a copy of the Loan Recipient's drug-free policy statement; and,
2.
Agree to abide by the terms of the Loan Recipient's policy statement as a
condition of employment under the loan.
Failure to comply with these requirements may result in termination of the Loan
Agreement or both and Loan Recipient may be ineligible for award of any future state
grants or loans if the Chancellor's Office determines that any of the following has
occurred: (1) Loan Recipient has made false certification, or (2) violated the certification
by failing to carry out the requirements as noted above.
32. Captions
The clause headings appearing in this Loan Agreement have been inserted for the purpose
of convenience and ready reference. They do not purport to and shall not be deemed to
define, limit, or extend the scope or intent of the clauses to which they appertain.
33. Indemnification
Loan Recipient agrees to indemnify, defend and save harmless the State, the Board of
Governors of the California Community Colleges, the Chancellor's Office, its officers,
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(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
43
agents and employees from any and all claims and losses accruing or resulting to any and
all employees, subcontractors, subrecipients, suppliers, laborers and any other person,
firm or corporation furnishing or supplying work, services, materials or supplies in
connection with performance of this Loan Agreement , and from any and all claims and
losses accruing or resulting to any person, firm or corporation who may be injured or
damaged by the Loan Recipient in the performance of this Loan Agreement . Such
defense and payment will be conditional upon the following:
a.
The Chancellor's Office will notify Loan Recipient of any such claim in writing
and tender the defense thereof within a reasonable time; and
b.
Loan Recipient will have sole control of the defense of any action on such claim
and all negotiations for its settlement or compromise; provided that:
1.
When substantial principles of government or public law are involved,
when litigation might create precedent affecting future Chancellor's Office
operations or liability, or when involvement of the Chancellor's Office is
otherwise mandated by law, the Chancellor's Office may participate in
such action at its own expense with respect to attorneys' fees and costs (but
not liability);
2.
The Chancellor's Office will have the right to approve or disapprove any
settlement or compromise, which approval will not unreasonably be
withheld or delayed; and
3.
The Chancellor's Office will reasonably cooperate in the defense and in
any related settlement negotiations.
34. Independent Status of Loan Recipient
The Loan Recipient, and the agents and employees of Loan Recipient, in the performance
of this Loan Agreement, shall act in an independent capacity and not as officers or
employees or agents of the State of California or the Chancellor's Office.
35. Loan Agreement is Complete
No amendment, alteration or variation of the terms of this Loan Agreement shall be valid
unless made in writing, signed by the parties, and approved as required. No oral
understanding or agreement not incorporated in this Loan Agreement is binding on any of
the parties.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix A – Article II – Standard Legal Terms and Conditions – Loan Agreement
44
36. Union Organizing
Loan Recipient, by signing this Loan Agreement, hereby acknowledges the applicability
of Government Code section 16645.2 to this Loan Agreement, and hereby certifies that
none of the loan funds will be used to assist promote or deter union organizing.
If Loan Recipient incurs costs, or makes expenditures to assist, promote or deter union
organizing, Loan Recipient will maintain records sufficient to show that no
reimbursement from state funds has been sought for these costs, and Loan Recipient shall
provide those records to the Attorney General upon request.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix B – Application Forms
THIS FORM MAY BE DUPLICATED BUT NOT REPLICATED
District:
Chancellor’s Office
College:
California Community Colleges
RFP Specification Number:
12-051
TO BE COMPLETED BY COCCC
FUND FOR INSTRUCTIONAL
IMPROVEMENT (FII)
FII LOAN – ONE YEAR ONLY
Program Year Funded: 2012-13
Loan Agreement No.:
Date:
Amendment No.:
Date:
Funding Category:
Funding Source:
Fund for Instructional Improvement
Amount to be Loaned: $
Prior Amount Loaned: $
Total Amount Loaned: $
LOAN AGREEMENT
This loan is made and entered into, by and between, the Chancellor’s Office of the California Community Colleges, hereafter referred
to as the State, and the aforementioned district, hereafter referred to as the Loan Recipient. The loan shall consist of the RFA
Specification; this face sheet, with authorized signatures; the approved application, with all required forms; and the Loan Agreement
Legal Terms and Conditions, Appendix B (Rev. 2/02), as set forth in the RFP. All of these items are incorporated into this loan by
reference.
The total amount payable under this loan shall not exceed the amount specified below as “Loan Funds.” Compensation shall be made
through one payment.
The term of this grant shall be from March 15, 2013 to and including March 14, 2014. All performance under this grant shall be
completed by March 14, 2014, except that a Final Report must be received by the Chancellor’s Office no later than April 15, 2014.
The signature of the chief executive officer or other authorized officer of the district legally binds the Loan Recipient to perform the
work specified in the attached application on the terms specified in that application. If any modifications are required to the attached
application between the date of signature of this face sheet by the designated district officer and the date of signature by the States’
chief executive officer, authorized designee, each modified page must be initialed and dated by the Project Director.
STATE OF CALIFORNIA
Item
Chapter
6870-101-0909 (2)
LOAN RECIPIENT
Statute
Fiscal Year
2012
2012-13
District (Loan Recipient):
Object of Expenditure (Code and Title)
4232-731-50531
College:
Signature, Accounting Officer (or authorized Designee)
Loan Funds: .....................................................
Total
$

Project Monitor
Date

Agency
Project Director
Date

Chancellor’s Office
California Community Colleges
1102 Q Street, Suite 4554
Sacramento, CA 95811-6539
Signature, Chief Executive Officer (or authorized Designee)
District (Loan Recipient) Address
Date
Signature, District Chief Executive Officer (or authorized Designee)


Printed Name of Person Signing
Printed Name of Person Signing


Title

Date
Title
Executive Vice Chancellor

Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix B – Application Forms
THIS FORM MAY BE DUPLICATED BUT NOT REPLICATED
District:
Chancellor’s Office
College:
California Community Colleges
RFP Specification Number:
13-049
TO BE COMPLETED BY COCCC
FUND FOR INSTRUCTIONAL
IMPROVEMENT (FII)
FII LOAN – ONE YEAR ONLY
Program Year Funded: 2013-14
Loan Agreement No.:
Date:
Amendment No.:
Date:
Funding Category:
Funding Source:
Fund for Instructional Improvement
Amount to be Loaned: $
Prior Amount Loaned: $
Total Amount Loaned: $
LOAN AGREEMENT
This loan is made and entered into, by and between, the Chancellor’s Office of the California Community Colleges, hereafter referred
to as the State, and the aforementioned district, hereafter referred to as the Loan Recipient. The loan shall consist of the RFA
Specification; this face sheet, with authorized signatures; the approved application, with all required forms; and the Loan Agreement
Legal Terms and Conditions, Appendix B (Rev. 2/02), as set forth in the RFP. All of these items are incorporated into this loan by
reference.
The total amount payable under this loan shall not exceed the amount specified below as “Loan Funds.” Compensation shall be made
through one payment.
The term of this grant shall be from July 1 2013 to and including June 30, 2014. All performance under this grant shall be completed
by June 30, 2014, except that a Final Report must be received by the Chancellor’s Office no later than July 31, 2014.
The signature of the chief executive officer or other authorized officer of the district legally binds the Loan Recipient to perform the
work specified in the attached application on the terms specified in that application. If any modifications are required to the attached
application between the date of signature of this face sheet by the designated district officer and the date of signature by the States’
chief executive officer, authorized designee, each modified page must be initialed and dated by the Project Director.
STATE OF CALIFORNIA
Item
Chapter
6870-101-0909 (2)
LOAN RECIPIENT
Statute
Fiscal Year
2013
2013-14
District (Loan Recipient):
Object of Expenditure (Code and Title)
4232-731-50531
College:
Signature, Accounting Officer (or authorized Designee)
Loan Funds: ......................................................
Total
$

Project Monitor
Date

Agency
Project Director
Date

Chancellor’s Office
California Community Colleges
1102 Q Street, Suite 4554
Sacramento, CA 95811-6539
Signature, Chief Executive Officer (or authorized Designee)
District (Loan Recipient) Address
Date
Signature, District Chief Executive Officer (or authorized Designee)


Printed Name of Person Signing
Printed Name of Person Signing


Title

Date
Title
Executive Vice Chancellor

Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix B – Application Forms
District:
Chancellor’s Office
College:
California Community Colleges
RFP Specification Number: 12-051
TO BE COMPLETED BY COCCC
CONTACT PAGE
Loan Agreement No.:
Proposal ID No.:
Funding Status:
Fiscal Year:
Funding Source(s):
Project Title:
Institution:
Address:
City:
State:
Zip+4:
–
College President (or authorized Designee)
Name:
Phone: (
Title:
)
Fax: (
)
Email Address:
Responsible Administrator (Appropriate Program Area)
Name:
Phone: (
Title:
)
Fax: (
)
Email Address:
Project Director
Name:
Phone: (
Title:
)
Fax: (
)
Email Address:
Business Officer
Name:
Phone: (
Title:
)
Fax: (
)
Email Address:
Application/Loan Writer
Name:
Phone: (
Title:
)
Fax: (
)
Email Address:
Alternative Loan Writer Contact (If applicable)
Name:
Phone: (
Title:
)
Fax: (
)
Email Address:
If a grant is awarded, it is imperative for Chancellor’s Office staff processing the grant to have someone they can contact regarding questions pertaining to the
application material. If no one is available, the grant approval process will be held up and the initial grant payment will be delayed.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix B – Application Forms
District:
Chancellor’s Office
College:
California Community Colleges
RFP Specification Number: 13-049
TO BE COMPLETED BY COCCC
CONTACT PAGE
Loan Agreement No.:
Proposal ID No.:
Funding Status:
Fiscal Year:
Funding Source(s):
Project Title:
Institution:
Address:
City:
State:
Zip+4:
–
College President (or authorized Designee)
Name:
Phone: (
Title:
)
Fax: (
)
Email Address:
Responsible Administrator (Appropriate Program Area)
Name:
Phone: (
Title:
)
Fax: (
)
Email Address:
Project Director
Name:
Phone: (
Title:
)
Fax: (
)
Email Address:
Business Officer
Name:
Phone: (
Title:
)
Fax: (
)
Email Address:
Application/Loan Writer
Name:
Phone: (
Title:
)
Fax: (
)
Email Address:
Alternative Loan Writer Contact (If applicable)
Name:
Phone: (
Title:
)
Fax: (
)
Email Address:
If a grant is awarded, it is imperative for Chancellor’s Office staff processing the grant to have someone they can contact regarding questions pertaining to the
application material. If no one is available, the grant approval process will be held up and the initial grant payment will be delayed.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix B – Application Forms
District:
Chancellor’s Office
College:
California Community Colleges
RFA Specification Number:
TO BE COMPLETED BY COCCC
APPLICATION ABSTRACT
Loan Amount:
$
Project Title:
Project Director:
Organization:
Address:
City:
Phone: (
State:
Zip + 4:
—
)
(Summarize in 250 words or less below.)
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix B – Application Forms
District:
Chancellor’s Office
College:
California Community Colleges
RFA Specification Number:
TO BE COMPLETED BY COCCC
APPLICATION ABSTRACT
Loan Amount:
$
Project Title:
Project Director:
Organization:
Address:
City:
Phone: (
State:
Zip + 4:
—
)
(Summarize in 250 words or less below.)
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix B – Application Forms
District:
APPLICATION ANNUAL WORKPLAN
College:
RFP Specification Number:
*OBJECTIVE NO._____:
Procedures/Activities
Performance Outcomes
Timelines
Responsible Person(s)
*Limit one (1) objective per page. List objective according to numerical order (i.e., 1.0). Activities should have corresponding number (i.e., 1.1, 1.2, 1.3)
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix B – Application Forms
Instructions for Completing the Application Annual Workplan
The Application Annual Workplan is a layout form designed to graphically display five critical areas of a project workplan. The
five components are:





Objectives (use one Workplan form per objective)
Procedures/Activities
Performance Outcomes
Timelines
Responsible Person(s)
Objectives
Write each objective in this column. The program objectives identify the major milestones of the project and what has to be done
in order to make the project a success. State objectives in performance terms in a clear and concise manner.
Procedures/Activities
List each major procedure/activity associated with an objective and what has to be done to accomplish the objective. Ideally this
column should contain between four to seven (4-7) activities. Write activities in a decimal format. The whole number should refer
to the number of the objective; the number behind the decimal point should refer to the number of the activity. Activity 2.3 refers
to the third activity in objective number two, write activities in chronological sequence.
Performance Outcomes
Based on your evaluation design, list each expected outcome and how it is linked to objectives, activities, and measures to
demonstrate the effectiveness in increasing access for students.
Timelines
Identify the start date and the ending date for each activity listed.
Responsible Person(s)
Identify by position, the personnel responsible for the completion of each activity listed.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix B – Application Forms
District:
Chancellor’s Office
College:
California Community Colleges
RFP Specification Number:
FII APPLICATION BUDGET SUMMARY
Note:
When entering dollar amounts, round off to nearest dollar.
Submit an Application Budget Detail Sheet for each funding source reflected here in cash or in-kind. Also explain expenditures by budget category.
Object of
Expenditure
Classification
Line
1000
Instructional Salaries
1
2000
Non instructional Salaries
2
3000
Employee Benefits
3
4000
Supplies and materials
4
5000
Other Operating Expenses & Services
5
6000
Capital Outlay
6
7000
Other Outgo
7
Total Direct Costs
8
Total Program Costs
9
Loan
Funds
Requested
(1)
Other
Source
(2a)
Other
Source
(2b)
Loan Total
All Funding
Sources
(1)
Requested Loan Funds
(2a&b) Other Source of Funds or In-kind Contributions. (Provide an Application Budget Detail Sheet for each funding source.)
I authorize this total costs proposal as the maximum amount to be claimed for this project and assure that funds shall be spent in compliance with State and federal regulations.
Project Director Signature:
Date:
District Chief Business Officer Signature:
(or Authorized Designee)
Date:
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix B – Application Forms
FORMAT EXAMPLE ONLY
District:
Chancellor’s Office
College:
California Community Colleges
RFP Specification Number:
APPLICATION BUDGET
DETAIL SHEET
Object of Expenditure1
1100
1210
Program Year:
Fill-In
Source of Funds:
Fill In
Classification
Instructional Salaries
Name/Classification
(Days/hours) x (Daily/hourly rate) = $
Supervisors’ Salaries2
Requested Funds
District Match
Fill In

Fill In

Name/Classification
(Days/hours) x (Daily/hourly rate) = $
1230
Counselors’ Salaries
Name/Classification
(Days/hours) x (Daily/hourly rate) = $
1420
Project Director3
Name/Classification
(Days/hours) x (Daily/hourly rate) = $
2140
Classified Salaries, Non-instructional (Regular Full-time)
Name/Classification
(Days/hours) x (Daily/hourly rate) = $
2200
Instructional Aides’ Salaries (Regular, Full-time)
Name/Classification
(Days/hours) x (Daily/hourly rate) = $
2340
Classified Salaries, Non-instructional (Non-Regular Full-time)
Name/Classification
(Days/hours) x (Daily/hourly rate) = $
2400
Instructional Aides’ Salaries (Non-Regular, Full-time)
Name/Classification
(Days/hours) x (Daily/hourly rate) = $
3000
Employee Benefits
Name and rate change
4000
Supplies and Materials
List type and costs
5000
Other Operating Expenses and Services
List type and costs, including travel and per diem
Subcontractors
Name (daily/hourly rate)
Identify specific service to be rendered
6000
Capital Outlay
List type and costs
Equipment
7000
Other Outgo
List type and costs
Student financial aid
Other payments to/for students
Total Direct Cost
Total Program Cost
1The
following represent frequently-used account codes. Refer to Crossover chart for further options.
to exceed 5% for Supervision/Administration (not directly involved in the day-to-day ongoing activities.)
3This is the person who is directly involved in the day-to-day ongoing activities.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
2Not
Appendix B – Application Forms
District:
Chancellor’s Office
College:
California Community Colleges
RFP Specification Number:
APPLICATION BUDGET
DETAIL SHEET
Object of Expenditure
Program Year:
Source of Funds:
Classification
Requested Funds
District Match
Total Direct Cost
Total Program Cost
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix B – Application Forms
Crossover Chart
Expenditure by Object Titles (EOT)*
Use This
1100 Instructional Salaries
1210 Supervisor1
For This
(Budget and Accounting Manual Number)
1100 Academic Salaries, Instructional,
Regular Salary Schedule
1300 Academic Salaries, Instructional Non-regular
Salary Schedule
1200 Academic Salaries, Non-instructional,
Regular Salary Schedule
Subcategory Administrators and Supervisors:
(Superintendents, Assistant Superintendents,
Presidents, Vice Presidents, Deans)
1220 Project Director2
1200 Academic Salaries, Non-instructional,
Regular Salary Schedule
1230 Counselor
1240 Other
1400 Non-instructional Salaries
(Use same subcategory detail as object 1200)
1410
Supervisor
Subcategory Project Director
1200 Academic Salaries, Non-instructional,
Regular Salary Schedule
Subcategory Vocational Counselors
1200 Academic Salaries, Non-instructional,
Regular Salary Schedule
Subcategory Other: (Salaries other than
Administrators/Supervisors, Project Directors, and
Vocational Counselors)
1400 Academic Salaries, Non-Instructional,
Non-Regular Salary Schedule
1
2
1420
Project Director
1430
Counselor
1440
Other
2100 Classified Salaries, Non-instructional
(Use same subcategory detail as object 1200)
2100 Classified Salaries, Non-Instructional,
Regular Salary Schedule
1
2110
Supervisor
2120
2130
2140
Project Director
Counselor
Other
2
* Please refer to the California Community Colleges Budget and Accounting Manual (Rev. July 1993). This manual has been distributed to
District Superintendents/Presidents, District Chief Business Officer, District Data processing Managers, and District Libraries (for SingleCampus Districts). Multi-College District distribution was the same as above, plus each college received four (4) additional copies sent to the
College President, College Business Manager, College Data Processing Manager, and the College Library. Duplication of this manual is
allowed. All questions regarding the Budget and Accounting Manual should be referred to the California Community Colleges Administration
and Fiscal Policy Division, (916) 445-1163.
1
Not to exceed 5% for supervision/administration (not directly involved in the day-to-day ongoing activities).
2
This is the person who is directly involved with the day-to-day ongoing activities.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix B – Application Forms
Use This
(VTEA Reports EOT Number)
2200 Instructional Aides’ Salaries
2300 Classified Salaries, Non-instructional
(Use same subcategory detail as object 1200)
2310
2320
2330
2340
2400 Other
Supervisor
Direct Instruction, Other
2300 Classified Salaries, Non-Instructional,
Regular Salary Schedule
2
3000 Employee Benefits
4000 Supplies and Materials
5000 Other Operating Expenses and Services
7000 Other Outgo
2200 Classified Salaries, Non-instructional Aides,
Regular Salary Schedule
1
Project Director
Counselor
Other
6000 Capital Outlay
For This
(Budget and Accounting Manual EOT Number)
2400 Academic Salaries, Non-instructional,
Regular Salary Schedule
Direct Instruction, Other
3000 Employee Benefits
(3100-3900): STRS Fund, PERS Fund, Old Age,
Survivors, Disability, and Health Insurance
(OASDHI), Health and Welfare Benefits, State
Unemployment Insurance, Workers’ Compensation
Insurance, Local Retirement Systems, Other
Benefits
4000 Supplies and Materials
Instructional and Non-instructional Supplies and
Materials (have a useful life of less than one year)
(i.e., office, library, medical, food periodicals,
magazines, pictures, maps computer software)
5000 Other Operating Expenses and Services
Depreciation, Dues and Memberships, Insurance,
Legal, Election and Audit Expenses, Personal and
Consultant Services, Postage, Rents, Leases and
Repairs, Self-Insurance Claims, Travel and Conference Expenses, Utilities and Housekeeping
Services, Other
6000 Capital Outlay
6400 Equipment (i.e., desk, chairs, vehicles, etc.)
7000 Other Outgo
(7100-7900): Debt Retirement, Interfund Transfers-Out, Other Transfers, Student Financial Aid,
Other Payments to/for Student, Reserve for
Contingencies
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix C
California Education Code
Article 7. Community College Fund for Instructional Improvement
84381. Creation of fund; purpose; loans and grants; rules and regulations
(a) There is hereby created in the State Treasury the Community College Fund for Instructional
Improvement. The fund shall consist of a revolving loan program and a direct grant program to support
alternative educational programs and services within or on behalf of the California Community Colleges,
including:
(1) Nontraditional forms, content, and methods of instruction, including, but not limited to, the following:
(A) Instructional programs which involve internships and experiential learning opportunities.
(B) Individualized instructional programs which require student development of learning objectives
through learning contracts.
(C) Instructional programs which focus on the development of interpersonal skills.
(D) Instructional programs involving independent study.
(2) Programs for improving teaching abilities of faculty members.
(3) Programs addressing special learning needs of educationally disadvantaged students.
(4) Educational services for new clientele, including older, working adults.
(5) Efforts to improve traditional instructional programs.
(6) Programs for the improvement of the intellectual development of faculty and staff, including, but not
limited to, the following:
(A) Intersegmental summer programs including research projects and seminars.
(B) College programs bringing visiting scholars to local districts.
(C) Interdisciplinary programs involving local noncollege institutions in the arts and sciences.
(D) Intersegmental research and public information projects on topics of special concern to rural and
urban California regarding the environment, social history, and culture.
(E) Summer "bridge" programs for the transition period into college life.
(b) The board of governors shall adopt rules and regulations governing the administration of the direct
grant program and revolving loan program.
(c) A district's request for and uses of a loan shall be made in accordance with rules and regulations
adopted by the board of governors.
84382. Direct grant program
The direct grant program shall support college efforts for instructional innovations and shall include
financial participation by applicant colleges. The board of governors shall award grants to colleges on the
basis of review of project proposals submitted by faculty members, students, and administrators. Priorities
for funding proposals shall be established by the board of governors. Community college districts receiving
awards under this article shall submit reports as required by the board of governors.
84383. Evaluation of projects; administrative costs
A portion of the fund shall support evaluation of projects by the board of governors or by an independent
evaluator. Not more than 5 percent of the fund may be used for administrative purposes by the board of
governors in any fiscal year.
84384. State funds; estimate of need
The board of governors shall annually review the need for state funds to carry out the purposes of the fund
for instructional improvement and shall include an estimate of this need in its budget for each year.
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix D
California Code of Regulations
Title 5, Part 6, Division 6, Chapter 7
Subchapter 5. Fund for Instructional Improvement
Subchapter 5. Fund for the Improvement
of Instruction
Article 1. General
§56650. Purpose.
Note: Authority cited: Sections 71020. 71025, 84383 and 84396, Education Code.
Reference: Article 7 (commencing with Section 84380) of Chapter 3 of Part 50,
Education Code.
History
1. New chapter 5 (sections 56652-56682, not consecutive filed 3-21-78; effective
thirtieth day thereafter (Register 78, No. 12).
2. Repealer filed 7-22-91 and submitted to OAL on 7-25-91 for printing only pursuant
to Education Code section 709013; operative 8-21-91 (Register 9 1. No. 48).
§56652. Eligible Programs and Services.
Alternative educational programs and services eligible for funding under this chapter
include, but are not limited to, those which promote improvement or innovation
through:
(a) provision of instruction which is nontraditional as to its form, content, or
methodology. Nontraditional instruction includes, but is not limited to, programs
which involve:
(1) internships and experiential learning opportunities;
(2) individualized instructional contracts which require students to develop learning
objectives;
(3) development of interpersonal skills; or
(4) independent study.
(b) program development, including but not limited to:
(1) efforts to address the special learning needs of educationally disadvantaged
students; or
(2) educational services for new populations such as older or working adults; or
(c) faculty/staff development, including but not limited to:
(1) intersegmental summer programs including research projects and seminars;
(2) college programs bringing visiting scholars to local districts;
(3) interdisciplinary programs involving local noncollege institutions in the arts and
sciences;
(4) intersegmental research and public information projects on topics of special
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix D—California Code of Regulations – Title 5
2
concern to rural and urban California regarding the environment, social history, and
culture; and
(5) "summer bridge" programs for the transition of faculty into college life.
NOTE: Authority cited: Sections 66700, 70901 (b) and (c), and 8438 1, Education
Code. Reference: Section 84381, Education Code.
HISTORY
1. Amendment filed 4-27-83; effective thirtieth day thereafter (Register 83,
No.18).
2. Repealer and new section filed 7-22-91 and submitted to OAL on 7-25-91 for
printing only pursuant to Education Code section 70901.5, operative 8-21-91
(Register 9 1, No. 48).
§ 56654. Definitions.
(a) "Instruction" means formally organized activities designed to transmit knowledge
and to foster skills for the purpose of achieving educational goals and objectives.
(b) "Innovation" means substantive change and reform in instructional organization,
design, content, process and resources intended to improve educational outcomes.
(c) "Improvement" means organized change which enhances capability over existing
practices.
(d) "Program development" means improvement of existing programs as well as
designing of new programs. Development is program initiation or improvement
rather than mere expansion of existing programs. Development may be in any or
all of the program categories including researching, planning, utilizing
resources, and evaluating.
(e) "Staff Development" means improvement of competencies for community college
personnel.
NOTE: Authority cited: Sections 66700,70901(b) and (c), and 84381, Education
Code. Reference: Sections 94381 and 84382, Education Code.
HISTORY
1. Amendment filed 4-27-83; effective thirtieth day thereafter (Register 93, No.18).
2. Repealer of subsection (f) filed 7-22-91 and submitted to OAL on 7-25-91 for
printing only pursuant to Education Code section 70901.5; operative 8-21-91
(Register 9 1, No. 48).
§ 56656. Administration.
NOTE: Authority cited- Sections 71020, 94383 and 84386, Education Code. Reference: Sections 71091, 84381 and 94386, Education Code.
HISTORY
1. New NOTE filed 4-2743; effective thirtieth day thereafter (Register 83, No.18).
2. Repealer filed 7-22-91 and submitted to OAL on 7-25-91 for printing only pursuant
to Education Code section 70901.5; operative 9-21-91 (Register 9 1. No. 48).
56658. Functions of the Advisory and Review Council.
(a) The Advisory and Review Council established by the Chancellor shall review
applications for grants and loans proposed for funding through the Fund for
Fund for Instructional Improvement RFP
(RFP No 12-051 and No. 13-049) (Rev. 10/12)
Appendix D—California Code of Regulations – Title 5
3
Instructional Improvement in accordance with criteria established by the Chancellor.
When deemed necessary by the Council, independent readers may be employed to
review proposals and make recommendations for funding to the Council. The group
of readers used to review any given set of proposals shall be selected so as to reflect,
as closely as possible, the composition of the Council.
(b) The Council may also make recommendations to the Chancellor
on other matters related to the operation of the Fund for Instructional Improvement,
including but not limited to:
(1) the name of a Council member to be appointed chairperson;
(2) standing rules governing the operation of the Council; and
(3) criteria and procedures for the evaluation of funded projects.
NOTE: Authority cited: Sections 66700,70901(b) and (c) and 84381,
Education Code. Reference: Section 84381, Education Code.
HISTORY
1. New NOTE filed 4-27-83; effective thirtieth day thereafter (Register 83, No. 18).
2. Repealer and new section filed 7-22-91 and submitted to OAL on 7-25-91 for
printing only pursuant to Education Code section 0901.5; operative 8-21-91 (Register
9 1, No. 48).
Article 2. Grants
§ 56670. Application for Grant: General Requirements.
(a) Applications for grants may be submitted by colleges, faculty members, students,
administrators or consortia.
(b) All applications recommended by the Council to the Chancellor for funding shall
have or obtain approval of the board of trustees of the district or districts from which
the application originated.
(c) Each proposal shall include an evaluation plan and budget.
(d) A portion of the funds, not to exceed five percent, shall be set aside by the
Chancellor for evaluation and dissemination of project outcomes to other institutions
or programs in the state.
(e) The Chancellor shall be responsible for establishing and maintaining an
accounting system for grants awarded pursuant to this article.
NOTE: Authority cited: Sections 66700, 70901(b) and (c), 94381 and
84383.Education Code. Reference: Sections 94381 and 94383, Education Code.
HISTORY
1. Amendment filed 4-2743; effective thirtieth day thereafter (Register 83, No. 18).
2. Amendment of subsections (a) and (e) filed 7-22-91 and submitted to OAL on
7-25-91 for printing only pursuant to Education Code section 70901.5; operative
8-21-91 (Register 91, No. 49).
§56672. Application Proposal.
A proposal submitted in application for a grant shall identify and support the
significance and feasibility of the proposed plan or activity for which funding is
requested. In this regard, the proposal will identify the following items and provide
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substantiating evidence for each item and as otherwise directed in the annual proposal
application forms and announcements issued by the Chancellor.
(a) the specific educational program or service being addressed
(b) the specific problem(s)
(c) the population to be served
(d) the project objective(s)
(e) the proposed activities including, but not limited to, information about personnel
required, equipment, materials, schedule, and evaluation process
(f) the expected outcomes of these activities in terms of
(1) the project objective(s)
(2) probable or eventual impact of the project
(3) potential for continued support after the expiration of the grant
(4) potential for adaptation to other institutions or programs
(g) the evaluation plan
(h) the budget
NOTE: Authority cited: Sections 71020, 84383 and 84386, Education Code. Reference: Sections 84383 and 84386, Education Code.
HISTORY
1. New NOTE filed 4-27-83; effective thirtieth day thereafter (Register 83, No.18).
§ 56674. Classification of Grants.
NOTE: Authority cited: Sections 71020, 84383 and 84386, Education Code.
Reference: Sections 84383 and 84386, Education Code.
HISTORY
1. New NOTE filed 4-27-83; effective thirtieth day thereafter (Register 83, No.18).
2. Repealer filed 9-30-85; effective thirtieth day thereafter (Register 85, No. 40).
§ 56674.2. Mini-Grants.
HISTORY
1. Repealer filed 4-27-83; effective thirtieth day thereafter (Register 83, No. 18).
§ 56675. Mini Grants.
NOTE: Authority cited: Sections 71020, 84383 and 94386, Education Code.
Reference: Sections 94383 and 84386, Education Code.
HISTORY
1. New section filed 4-27-83; effective thirtieth day thereafter (Register 83, No.18).
2. Repealer filed 7-22-91 and submitted to OAL on 7-25-91 for printing only
pursuant to Education Code section 70901.5; operative 8-21-91 (Register 9 1, No.
48).
56676. Funding.
Funding shall be provided under the following conditions, unless otherwise
authorized by the Board of Governors:
(a) Funding shall be provided on a one-year basis. If additional continuation funding
is desired, a new proposal application shall be submitted at the time established for
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submission of new proposals. Proposals for continuation funding shall be considered
separately and performance under the previous grant shall be taken into account in
deciding which projects should be continued.
(b) Grants shall be allocated on a July 1st to June 30th fiscal year basis, unless the
Chancellor determines that extenuating circumstances justify use of a different
funding period for some or all of the projects to be funded.
(c) Applications may be submitted for a direct grant, or a loan, or a combination of
both.
(d) Funds awarded for grants may not be used for purposes of construction,
remodeling, or lease of facilities, nor for student financial aid, purchase of equipment,
or for programs and activities not eligible for state apportionment
(e) Financial participation by an applicant shall be no less than 10 percent of the
total cost of the project Overhead or indirect costs may be included in a proposal only
as part of the financial participation provided by the applicant.
NOTE: Authority cited: Sections 66700, 70901 (b) and (c), Education Code.
Reference: Sections 84381 and 94382, Education Code.
HISTORY
1. New NOTE filed 4-27-83; effective thirtieth day thereafter (Register 83, No.18).
2. Amendment filed 7-22-91 and submitted to OAL on 7-25-91 for printing only
pursuant to Education Code section 70901.5; operative 8-21-91 (Register 9 1,No. 48).
§ 56678. Reporting.
The following reports shall be submitted to the Chancellor on forms
provided by and in accordance with procedures established by the Chancellor for
transmission to the Board of Governors:
(a) A semi-annual report, including a statement of expenditures to date, for each
project.
(b) A final report for each project containing also a comprehensive fiscal statement,
within 60 days after the expiration of the grant.
Fifteen percent of the funds awarded for each project shall be withheld until the final
report satisfying the conditions and criteria under which it was funded is received.
NOTE: Authority cited: Sections 71020, 84383 and 84396, Education Code.
Reference: Sections 84383 and 84386, Education Code.
HISTORY
1. New NOTE filed 4-27-83; effective thirtieth day thereafter (Register 83, No.18).
Article 3. Loans
§ 56680. Purpose.
NOTE: Authority cited: Sections 71020.84383 and 84386, Education
Code. Reference: Sections 84383 and 94386, Education Code.
HISTORY
1. New NOTE filed 4-27-83; effective thirtieth day thereafter (Register 83, No.18).
2. Repealer filed 7-22-91 and submitted to OAL on 7-25-91 for printing only pursuant
to Education Code section 70901.5; operative 8-21-91 (Register 9 1, No. 48).
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§56682. Criteria for Funding.
(a) Loans shall be awarded in accordance with the same criteria, standards and
processes which are applicable to grants.
(b) Loan funds authorized by this article are subject to the same constraints applicable
to grant funds pursuant to section 56676 (d), except that loan funds may be used to
purchase equipment.
(c) The Chancellor shall develop an accounting system and a repayment schedule for
loan funds.
NOTE: Authority cited: Sections 66700, 70901 (b) and (c), Education Code.
Reference: Section 94381, Education Code.
HISTORY
1. Amendment of subsection (c) filed 11-15-79; effective thirtieth day thereafter
(Register 79. No. 46).
2. Amendment of NOTE filed 4-27-83; effective thirtieth day thereafter (Register 83,
No. 18).
3. Amendment of subsections (b) and (c) riled 7-22-91 and submitted to OAL on
7-25-91 for printing only pursuant to Education Code section 70901.5; operative
8-21-91 (Register 91, No. 48).
56684. Repayment of Loans.
Upon certification by the Chancellor a loan shall be drawn from the Community
College Fund for Instructional Improvement by the State Controller in favor of the
applicant district. During each of the three years beginning with the fiscal year
immediately succeeding the fiscal year in which the loan is made under this section,
the State Controller shall deduct from the second principal apportionment made from
Section B of the State School Fund to the community college district an amount equal
to one-third of the amount loaned to the district, and transfer the amount into the
Community College Fund for Instructional Improvement.
NOTE: Authority cited: Sections 66700 and 70901. Education Code. Reference:
Section 70901, Education Code.
HISTORY
1. New section filed 3-4-91 by Board of Governors of California Community
Colleges with the Secretary of State, operative 4-5-91 (Register 91. No. 23).
Submitted to OAL for printing only pursuant to Education Code Section 709013(b).
2. Editorial correction of History I (Register 95, No. 23).
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Appendix E
Procedures and Standing Orders of the
Board of Governors of the California Community Colleges
Standing Orders of the Board of Governors
424. Fund for Instructional Improvement.
(a) The Chancellor shall, in accordance with priorities
established by the Board, review proposals submitted for funding
and recommend proposals to be funded.
(b) The Chancellor shall establish, and may from time to time,
revise guidelines on matters related to project proposals, including
guidelines on the following:
(1) Criteria which applicants must met in order to receive funding,
and
(2) Criteria and procedures to be used in evaluation of funded
projects.
(c) The Chancellor shall evaluate the effectiveness of the Fund for
Instructional Improvement and shall require such reports as
necessary from those districts receiving awards. (EC
§§84382,84383)
425. Fund for Instructional Improvement: Advisory and
Review Council.
(a) The Chancellor shall establish an Advisory and Review
Council (Council) to provide advice regarding administration of the
Fund for Instructional Improvement pursuant to Section 56658 of
Subchapter 5 of Chapter 7 of Division 6 of Tide 5 of the California
Code of Regulations. Members of the Council shall be appointed by
the Chancellor, as provided herein, after consideration of
nominations submitted by appropriate organizations.
(b) The Council shall consist of the following voting members:
(1) 1 president, superintendent or chancellor,
(2) 2 academic administrators other than those identified in (1)
above;
(3) 4 full-time faculty members;
(4) 1 counselor,
(5) 2 students;
(6) 1 representative from the Chancellor's office.
(c) The members of this Council shall be appointed for
alternating two-year terms as provided in subsection (f) except that:
(1) the student shall serve for one year,
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(2) The Chancellor shall set the term of service for the
representative of the Chancellor's Office.
(d) A quorum of the Council shall consist of five members in
categories (1) through (5) and the voting representative from the
Chancellor's Office.
(e) The Chairperson of the Council shall be appointed by the
Chancellor, based on the recommendation of the Council, for the
duration of the appointed member's term. The representative from
the Chancellor's Office shall serve as the Administrative Secretary
to the Council.
(f) Pursuant to subsection (a), the Chancellor shall appoint the
members designated in category (b) (2) and two of the members
designated in category (b) (3), for two-year terms commencing July
1, 1991, and every two years thereafter. The other two members in
category (b) (3) and the members designated in categories (b) (1) and
(b) (4) shall be appointed for two-year terms commencing July 1,
1992, and every two years thereafter. Those persons serving in these
positions as of January 1, 1991, shall continue to serve until their
successors have been appointed.
(g) The Chancellor may fill vacancies using the same procedures as
for initial appointments. Any person appointed to fill a vacancy shall
serve the unexpired term of the member he or she replaced.
(h) The Chancellor may establish operating rules deemed necessary
to govern the operation of the Council.
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