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Contract No.
A2002-090
AGREEMENT UNDER THE WORKFORCE INVESTMENT ACT
THIS AGREEMENT, made and entered into this 3rd day of June ,20 02 , by
and between the City of Santa Ana, a charter city and municipal corporation duly organized and
existing under the Constitution and laws of the State of Califomia ("CITY") and Santa Ana Unified
School District ("CONTRACTOR").
W-I-T-N-E-S-S-E-T-H
Recitals:
A. CITY has been designated a Local Workforce Investment Area (LWIA) under
the Workforce Investment Act of 1998, Public Law 105-220 ("the Act").
B. The State of California has created the LWIA to administer the Act programs
operated by the State of California pursuant to the Act.
C. As a LWIA, CITY is entitled to receive federal funds to establish programs to
prepare economically disadvantaged youths for entry into the labor market and to provide job training
to those individuals who are economically disadvantaged or otherwise face serious barriers in obtaining
productive employment. One goal of California's Workforce Investment System is to provide youth
with the opportunities to achieve career goals that will allow them to successfully compete in the labor
market and prepare them for higher education.
D. CONTRACTOR is experienced in operating education, training and
employment programs for economically disadvantaged youths for entry into the labor market ("said
program").
Califomia law.
CONTRACTOR is willing to operate said program pursuant to the Act and
WHEREFORE, for and in consideration of the respective and mutual covenants and
promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties
hereto do hereby agree as follows:
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CONTRACTOR'S OBLIGATIONS
A. CONTRACTOR agrees to provide the following services pursuant to said
program, as more specifically set forth in CONTRACTOR'S program narrative contained in "Exhibit
A" and in the Statement of Work (Exhibit B and Exhibit B-l), attached hereto and by this reference
incorporated herein:
Title I - Youth
In-School Youth Program
CONTRACTOR'S failure to provide said services may be grounds for CITY to readjust
the level of payment to CONTRACTOR otherwise provided for hereinafter.
B. CONTRACTOR agrees to provide benefits to individuals who participate in the
activities and services funded by this Agreement ("participants") in accordance with the standards and
requirements set forth in Workforce Investment Act of 1998, Public Law 105-220.
C. CONTRACTOR agrees to perform the services set forth herein in a professional,
timely and diligent manner.
D. CONTRACTOR shall provide wages and benefits to individuals who participate
if the activities and services funded by this Agreement ("participants") in accordance with the
standards and requirements of the Act, including Section 181 of the Act.
E. CONTRACTOR shall adhere to the Labor Standards described in the Act
including Section 181 of the Act.
F. CONTRACTOR agrees to comply with the "Complaint Handling Procedures under
the WlA", attached hereto as "Exhibit C" and incorporated herein as though fully set forth in 20 CFR
§667.200, Subpart F. CONTRACTOR shall advise participants of their rights to file complaints under
the Act and the procedures for resolution of any complaints. CITY's procedures for handling
complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall
be followed and any decision of CITY, the State or the federal government relating to the complaint
shall be binding and followed by CONTRACTOR. CONTRACTORS who are employers shall operate
a grievance system that incorporates CITY's procedures for resolution of complaints relating to the
terms and conditions of employment; these procedures shall be approved in writing by CITY.
G. As a condition of this award of financial assistance under the Act to
CONTRACTOR from CITY, CONTRACTOR assures, with respect to operation of all programs or
activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry
out such programs or activities, that it will comply fully with the nondiscrimination and equal
opportunity provisions of the Act (Section 188); the Nontraditional Employment for Women Act of
1991; Title VI of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of
1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities
Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing
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those laws, including, but not limited to, 29 CFR part 37. The United States, the State of Califomia
and CITY have the right to seek judicial enforcement of this assurance.
H. CONTRACTOR agrees that no participant(s) shall commence training prior to the
approval of funding pursuant to Section 123 of the Act.
I. CONTRACTOR agrees to maintain such records and submit such reports, data and
information, on the form and containing such information, at such times as CITY may request or
require regarding the performance of CONTRACTOR'S services or activities, costs or other data,
including but not limited to, participants' attendance, payroll records and job duty statements.
CONTRACTOR agrees to forward to the WIB Administrative Office, 1000 East Santa
Ama Blvd., Suite 200, Santa Ama, California 92701 a completed Workforce Investment Act
Enrollment/Registration form (WIA EWIE) within 15 days of enrollment/registration; Workforce
Investment Act Goals (WIA EWIG) within 10 days of active enrollment of trainee; Workforce
Investment Act Exit (WIA EWIT) within 10 days of completion/termination of active enrollment of
trainee; and the Workforce Investment Act Follow-Up Information (WIA EWIF) within 10 days
following 30, 60, and 90 days of placement.
CITY, the State of Califomia and the United States government and/or their
representatives shall have access for purposes of monitoring, auditing and examining of
CONTRACTOR'S activities, performance, books, documents, papers, and records of CONTRACTOR
subcontractors, bookkeepers and accountants, and employees and participants related to this
Agreement. Such agencies or representatives shall also schedule on-site monitoring in their discretion.
Monitoring activities may also include, but are not limited to, questioning employees and participants
and entering any premises or onto any site in which any of the services or activities funded hereunder
are conducted or in which any of the records of CONTRACTOR are kept. Nothing herein shall be
construed to require access to any privileged or confidential information as set forth in federal or state
law.
In the event CONTRACTOR does not make the above-referenced documents available
within the City of Santa Ama, California, CONTRACTOR agrees to pay all necessary and reasonable
expenses incurred by CITY in conducting any audit at the location where said records and books of
account are maintained.
All accounting records and evidence pertaining to all costs of CONTRACTOR and all
documents related to this Agreement shall be kept available at CONTRACTOR'S office or place of
business for the duration of this Agreement and thereafter for three (3) years after completion of an
audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising
out of the performance of this Agreement, or Co) costs and expenses of this Agreement to which CITY,
the State of Califomia or the United States Government take exception, shall be retained beyond the
three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions.
J. Without prejudice to any other section of this Agreement, CONTRACTOR
shall, where applicable, maintain the confidential nature of information provided to it concerning
participants in accordance with the requirements of federal and state law. Notwithstanding the
foregoing, CONTRACTOR agrees to submit to CITY, the State of California and/or the United States
Government or their representatives, all records requested for administrative purposes, including
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audits, examinations, monitoring and verification of records submitted by CONTRACTOR, costs
incurred and services rendered hereunder.
K. CONTRACTOR agrees to complete in triplicate, a monthly Invoice/Voucher on
CITY's Invoice/Voucher form, showing in detail the amount of money expended by CONTRACTOR
hereunder. CONTRACTOR agrees to submit the above-stated document to the WlB Administrative
Office, 1000 East Santa Ana Blvd., Suite 200, Santa Aha, California, 92701, by the tenth (10th) day of
the month following the month in which CONTRACTOR'S services are performed. Should
CONTRACTOR fail to deliver said documents to CITY, CITY shall have the option to cancel this
Agreement by giving CONTRACTOR ten (10) days written notice thereof. CONTRACTOR shall
either return to the CITY excess revenues over costs or use such excess revenues as program income by
utilizing such program income for additional training activities authorized under the Act.
L. CONTRACTOR agrees to expend all funds in accordance with all applicable
federal, state and local laws and regulations. CONTRACTOR also agrees to provide at
CONTRACTOR'S own expense supplies and other costs of said PROGRAM.
M. CONTRACTOR shall arrange independently for an audit that includes WIA
funds received from CITY, in accordance with the Act and 20 CFR Section 667.200. CONTRACTOR
shall submit one original of each required audit report to CITY within (30) days after the date received
by CONTRACTOR. Should CONTRACTOR fail to comply with these requirements, CITY may at its
option withhold payment of funds, or disallow funds or suspend additional grant funds.
N. CONTRACTOR shall not expend funds pursuant to this Agreement to provide
services to any participant where costs of training are paid for by any other person or entity.
O. CONTRACTOR shall comply with the provisions of Circular A-102 of the U.S.
Office of Management and Budget (OMB) and the related "Common Rule" entitled "Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and Local Government",
Subpart C, paragraphs 37 and 42, Circular A-128, and all other applicable federal statutes and
executive orders and their implementing regulations, including regulations at 29 CFR Part 97.
P. CONTRACTOR shall comply with the requirements of federal regulations
found at 29 CFR 93 which provide that no appropriated funds may be expended by the recipient of a
federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting
to influence an officer or employee of any agency, member of Congress or an officer or employee of a
member of Congress in connection with awarding of any federal contract, the making of any federal
grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or
modification of any federal contract, grant, loan or cooperative agreement. CONTRACTOR shall sign
a certification to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference
incorporated herein. CONTRACTOR shall submit said signed certification to CITY prior to
performing any of its obligations under this Agreement and prior to any obligation arising on the part
of CITY to pay any sums to CONTRACTOR under the terms and conditions of this Agreement.
Q. CONTRACTOR agrees to provide a drag-free work place and to execute a
certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference.
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R. CONTRACTOR, in accordance with the Child Support Compliance Act,
recognizes and acknowledges the importance of child and family support obligations and shall fully
comply with all state and federal laws relating to child and family support enforcement, including, but
not limited to: disclosure of information and compliance with earnings assignment orders, as provided
in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to
the best of its knowledge is fully complying with the earnings assignment orders of all employees and
is providing the names of all new employees to the New Employee Registry maintained by the
California Employment Development Department (EDD).
S. CONTRACTOR agrees to comply with all applicable provisions of the ACT and
the federal regulations, including but not limited to the regulations found at 20 CFR part 629.
II.
CITY'S OBLIGATIONS
A. CITY agrees to pay to CONTRACTOR when, if and to the extent federal funds
are received under the provisions of the Act a sum not to exceed One Hundred Eighty Six Thousand
Seven Hundred Forty and no/100 Dollars ($186,740.00) for CONTRACTOR'S performance in
accordance with the paymem schedule attached hereto as "Exhibit F" during the period of this
Agreement. Said sum shall be paid after CITY receives invoices submitted by CONTRACTOR as
provided hereinabove.
B. CITY agrees to provide for on-site monitoring reviews of said program
operation at least twice annually. In addition, monthly desk-top reviews of pertinent information will
be conducted.
III.
TIME PERIOD OF AGREEMENT
This Agreement shall commence on May 7, 2002 and all duties arising under this
Agreement shall have been performed by June 30, 2003 . The term of this Agreement may be
extended by a writing executed by the Executive Director of the Community Development Agency and
the City Attomey.
IV.
INDEPENDENT CONTRACTOR
Consultant shall, during the entire term of this Agreement, be construed to be an
independent contractor and not an employee of the City. This Agreement is not intended nor shall it be
construed to create an employer-employee relationship, a joint venture relationship, or to allow the City
to exercise discretion or control over the professional manner in which Consultant performs the
services which are the subject matter of this Agreement; however, the services to be provided by
Consultant shall be provided in a manner consistent with all applicable standards and regulations
governing such services. Consultant shall pay all salaries and wages, employer's social security taxes,
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unemployment insurance and similar taxes relating to employees and shall be responsible for all
applicable withholding taxes.
WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS
A. CONTRACTOR shall use appropriate funds received from CITY to provide
workers' compensation to all those hired by CONTRACTOR under this Agreement.
B. CONTRACTOR shall have the right to hire, dismiss, or promote its employees
or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard
does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any
other applicable law, and CONTRACTOR maintains itself as an Equal Opportunity employer.
VI.
APPLICABLE GUIDELINES
A. The parties hereto agree that CONTRACTOR shall comply with all applicable
federal and state laws and regulations, including, but not limited to the Performance Standards (Exhibit
G) and general program requirements described in Sections 106 and 141 of the Act (29 USC Sections
1516 and 1551) and applicable regulations, and the U.S. Department of Labor guidelines and
regulations, including amendments or revisions made during the terms of this Agreement. Said
applicable laws are hereby incorporated by reference and made as part of this Agreement as though
fully set forth herein.
B. CONTRACTOR also assures and certifies that:
1. CONTRACTOR shall comply with Title VII of the Civil Rights Act of
1964 (P.L. 83-354) and in accordance with Title VII of the Act, no person shall, on the grounds of race,
color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the
benefits of, or be otherwise subjected to discrimination under this Agreement.
2. CONTRACTOR shall comply with any and all federal laws limiting the
political activity of employees hired under this Agreement.
3. CONTRACTOR shall comply with the requirements that no program
under the Act shall involve political activities.
4. RECORD INSPECTION. CONTRACTOR shall provide the U.S.
Deparmaent of Labor and the Controller General, by and through any authorized representative, as well
as the WlB Administrative Office, access to and the right to examine all records, books, papers or
documents relating to the accounting and use of funds under this Agreement for a three-year period
fi'om and after the effective date of this Agreement.
5. No person with responsibilities in the operation of any program under the
Act shall discriminate with respect to any program participant or any application for participation in
such program because of race, creed, color, national origin, sex, political affiliation or beliefs.
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6. CONTRACTOR shall maintain appropriate standards for health and
safety in work and training situations.
7. CONTRACTOR shall comply with general provisions, assurances, and
certifications attached hereto as "Exhibit H" and incorporated herein.
8. EQUAL OPPORTUNITY. Any literature distributed by CONTRACTOR
for the purpose of apprising businesses, participants, or the general public of its programs under this
Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana
Workforce Investment Board, and shall state that the program is an "equal opportunity
employer/program" and that "auxiliary aids and services are available upon request to individuals with
disabilities."
9. CONTRACTOR certifies that all property, finished or unfinished
documents, data, studies and reports prepared or purchased under this Agreement, will be disposed of
in accordance with the direction of the CITY. In addition, any tools and/or equipment furnished to the
CONTRACTOR by the CITY and/or purchased by the CONTRACTOR with funds pursuant to this
Agreement, will be limited to use within the activities outlined in this agreement and will remain the
property of the United States Government and/or CITY. Upon termination of this Agreement,
CONTRACTOR will immediately return such tools and/or equipment to the CITY or dispose of them
in accordance with the direction of the CITY.
10. CONTRACTOR certifies that this Agreement does not provide
for the advancement or aid to any religious sect, church or creed, or sectarian purpose nor does it help
to support or sustain any school, college, university, hospital or other institution controlled by any
religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the
Constitution of the State of California, regarding separation of church and state.
11. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The
CONTRACTOR will disclose to the CITY any invention, written product, computer program
developed or data assembled as a result of performance of work under this Agreement within seventy
four (74) days of invention, development or assembly. The CITY, State of California, and U.S.
Department of Labor will have the right to patent any invention and copyright any written product or
computer program or data generated by CONTRACTOR. Upon written request, CONTRACTOR will
transfer all pertinent information, specifications and right, title and interest to the designated agency.
12. INVENTIONS, PATENTS AND COPYRIGHTS.
A. Reporting Procedure If any project produces patentable items, patent rights, processes, or
inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the
CONTRACTOR shall report the fact promptly and fully to the CITY. The CITY shall report
the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY and the
DOL and its representative on these matters, the DOL shall determine whether to seek protection on
the invention or discovery. The DOL and its representative shall determine how the rights
in the invention or discovery, including rights under any patent issued thereon, will be allocated and
administered in order to protect the public interest consistent with the "Governmental Patent Policy"
(President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971,
and Statement of Government Patent Policy as printed in 36 FR 16889).
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(President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971,
and Statement of Government Patent Policy as printed in 36 FR 16889).
B. Copyright Policy
1. Unless otherwise provided in the terms of the grant or agreement, when copyright-able
material is developed in the course of or under a DOL Grant or agreement, the author and the CITY
which developed the work is free to copyright material or to permit others to do so. The
CONTRACTOR and the Workforce Investment Board (WlB) shall have a royalty-free, nonexclusive
and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted
material.
2. The DOL reserves a royalty-free, nonexclusive, and irrevocable license to reproduce,
publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The
copyright in any work developed under any grant, sub-grant, or contract under a grant or subgrant; (b)
Any right of copyright to which a grantee, subgrantee or a CONTRACTOR purchases ownership with
grant support; and (c) CONTRACTOR shall comply with the requirements of 29 CFR Part 97.34.
C. Rights to Data
The DOL and the CITY shall have unlimited rights to any data first procured or delivered
under this Agreement.
13. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder exceeds
$I00,000, CONTRACTOR must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)];
Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental
Protection Agency ("EPA") regulations (40 CFR Part 15) as any may now exist or be hereafter
amended. Under these laws and regalations, the CONTRACTOR assures that:
(a) No facility to be utilized in the performance of the proposed grant has been listed
on the EPA List of Violating Facilities;
(b) It will notify CITY prior to award of the receipt of any communication from the
Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be
utilized for the grant is under consideration to be listed on the EPA List of
Violating Facilities;
(c) It will notify the CITY and the EPA about any known violation of the above laws
and regulations.
C. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT:
1. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in
order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This
Agreement will be administered in an impartial manner, free from errors to gain personal, financial
political gain. CONTRACTOR, its officers and employees, in administering this Agreement, will
avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias,
special interest or desire for personal gain.
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2. Employment of Former State or CITY Employees. CONTRACTOR will ensure that any of
its employees who were formerly employed by the State of California or CITY, in a position that could
have enabled such individuals to impact policy regarding or implementation of programs covered by
this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this
Agreement for a period of not less than two years following the termination of such employment.
3. Conducting Business Involving Relatives. No relative by blood, adoption or
marriage of any executive or employee of CONTRACTOR will receive favorable treatment when
considered for enrollment in programs provided by, or employment with, CONTRACTOR.
4. Conducting Business Involving Close personal Friends and Associates.
Executives and employees of CONTRACTOR will be particularly aware of the varying degrees of
influence that can be exerted by personal friends and associates and, in administering this Agreement,
will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is
being granted to friends and associates. When it is in the public interest for CONTRACTOR to
conduct business with a friend or associate of an executive or employee of CONTRACTOR, an elected
official in the area or a voting or non-voting member of the Workforce Investment Board (WlB), a
permanent record of the transaction will be retained.
5. Avoidance of Conflict of Economic Interest. No executive or employee of
CONTRACTOR elected official in the area, or voting or non-voting member ofa WlB, will solicit or
accept money or any other consideration from a third person, for the performance of an act reimbursed
in whole or part by CONTRACTOR or CITY. Supplies, materials, equipment or services purchased
with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No
voting member of the WIB will cast a vote on the provision of services or vote on any matter which
would provide direct financial benefit to that member or any business or organization which the
member directly represents.
VII.
HOLD HARMLESS
A. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents
and employees, from and against any and all damages to property or injuries to or death of any person
or persons, including property and employees or agents of CITY, and shall defend, indemnify and save
harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or
proceedings of any kind or nature, including, but not by way of limitation, workers' compensation
claims, resulting from or arising out of the negligent acts, errors or omission of CONTRACTOR, its
employees or subcontractors.
B. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents
and employees, from and against any and all damages to property or injuries to or death of any person
or persons, including property and employees or agents of CITY, and shall defend, indemnify and save
harmless CITY, its officers, agents and employees, from and against any and all claims, demands, suits,
actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts of
CONTRACTOR, its employees or subcontractors.
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VIII.
INSURANCE
1. Commercial General Liability. CONTRACTOR agrees to obtain and keep in force
during the term of this Agreement a policy of comprehensive commemial public liability insurance
insuring the State of California, CITY, and CONTRACTOR against any liability for accident, injury or
death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not
less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in
any single accident or occurrence. Said policy of comprehensive public liability insurance shall be
endorsed to provide to CITY and to the State of California, Employment Development Department, at
least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees,
and volunteers, and the State of California, its officers, employees, and volunteers as additional
insureds; and state that such coverage is primary to any other coverage or self-insurance of the State of
California and CITY. Governmental entities may substitute a certificate of self-insurance.
2. Automobile Liability Coverage. CONTRACTOR shall also obtain and maintain,
during the effective period of this Agreement, broad form automobile liability coverage with a
$1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non-owned
automobiles used by CONTRACTOR employees or participants in performance of this Agreement, or,
in the event that CITY will not utilize such owned/leased automobiles but intends to require
employees, participants or other agents to utilize their own automobiles in the performance of this
Agreement, CONTRACTOR shall secure and maintain on file from all such employees, participants, or
agents as self-certification of automobile insurance coverage. Governmental entities may substitute a
certificate of self-insurance.
3. Workers' Compensation. If CONTRACTOR is an "employer", as set forth in
California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in
California Labor Code Section 3350 et seq., CONTRACTOR shall obtain and keep in force during the
term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by
participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of
cancellation or modification. CONTRACTOR shall carry medical and accident insurance for those
participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to
California Labor Code Section 3350, et seq.
4. Equipment Coverage. CONTRACTOR shall purchase a policy or policies of
insurance covering loss or damage to any and all Equipment provided to or purchased by
CONTRACTOR in accordance with this Agreement. Said insurance shall be in the amount of the full
replacement value thereof, providing protection against the classification of fire, extended coverage,
vandalism, malicious mischief, theft, and special extended perils. Governmental entities may
substitute a certificate of self-insurance.
5. Proof of Insurance. Certificates and endorsements must be submitted and approved by
CITY prior to any work under this Agreement. CONTRACTOR understands that CITY will make no
payments under this Agreement until the required certificates and endorsements have been approved by
CITY.
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IX.
CORPORATE STATUS
All corporate CONTRACTORS shall be in good standing, without suspension by the
California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in
corporate status or suspension shall be reported immediately to CITY.
ASSIGNABILITY
None of the duties of, or work to be performed by, CONTRACTOR under this Agreement
shall be subcontracted or assigned to any agency, consultant, or person without the prior written
consent of CITY. CONTRACTOR must submit all subcontracts and other agreements that relate.to
this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of
CONTRACTOR pursuant to this Agreement.
XI.
LAWS GOVERNING THIS AGREEMENT
In its performance under this Agreement, CONTRACTOR shall fully comply with the
requirements of the following, whether or not otherwise referred to in this Agreement:
1. The Act and all applicable federal statutes, regulations, policies, procedures and directives,
including but not limited to, 20 C.F.R. Parts 652 and 660 through 671.
2. All applicable State statutes, regulations, policies, procedures and directives;
3. All applicable CITY policies, procedures and directives;
4. All applicable local ordinances and requirements, including use permits and licensing;
5. Court orders applicable to its operation; and,
6. The terms and conditions of this Agreement.
If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with
such or will notify CITY after enactment or modification that it cannot so comply. CITY may
thereupon terminate this Agreement, if necessary.
XII.
EXCLUSIVITY AND AMENDMENT OF AGREEMENT
This Agreement supersedes any and all other agreements, either oral or in writing,
between the parties hereto with respect to the employment of CONTRACTOR by CITY, and contains
all the covenants and agreements between the parties with respect to such employment. Each party to
this Agreement acknowledges that no representations, inducements, promises or agreements, orally or
otherwise, have been made by any party, or anyone acting on behalf of any party, which are not
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embodied herein, and that no other agreement or amendment hereto shall be effective unless executed
in writing and signed by both CITY and CONTRACTOR.
XIII.
FRAUD
CONTRACTOR shall immediately report to CITY all instances and facts concerning
possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this
Agreement.
XIV.
CONTINGENCY OF FUNDS
CONTRACTOR acknowledges that approval of and funding for this Agreement is
contingent upon State approval, and funds received or obligated from the State of Califomia to CITY.
If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify
CONTRACTOR. Within twenty (20) days of receipt of such notice, CONTRACTOR shall modify or
cease operations as directed by CITY and negotiate necessary modification to this Agreement and/or
reimbursement of costs incurred hereunder.
XV.
TERMINATION
This Agreement may be terminated by either party at its sole discretion, upon thirty (30)
days written notice to the other party. Notice shall be deemed served on the date of mailing. However,
CONTRACTOR may not terminate this Agreement if undue hardship will result to any participant.
XVI.
DISPUTES
Except as otherwise provided in this Agreement, any dispute concerning any question
arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision
to writing and mail or otherwise furnish a copy thereof to CONTRACTOR. The decision of the City
shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of
such copy, CITY receives from CONTRACTOR written request to appeal said decision.
Procedures governing the appeal shall be prescribed by CITY and/or the State of
California in accordance with the Act and all corresponding regulations and OMB circulars. Pending
final disposition of the appeal, CONTRACTOR shall act in accordance with CITY's decision unless
the dispute involves a change order.
XVII.
BREACH - SANCTIONS
If, through any cause, CONTRACTOR violates any of the terms and conditions of this
Agreement, and/or prior agreements whereby grant funds were received by CONTRACTOR pursuant
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to this Agreement, or if CONTRACTOR reports inaccurately or if any Audit Report makes
disallowances, CONTRACTOR shall promptly remedy its acts or omissions and/or repay CITY all
amounts due CITY as a result of CONTRACTOR's violation. For any such failures or violations,
CITY shall also have the right at its sole discretion to either: (1) discontinue program support until
such time as CONTRACTOR fulfills its obligations or remedies all violations of this agreement or
prior agreements; and/or (2) collect outstanding amounts as determined by CITY due CITY by
offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice
CONTRACTOR has failed to repay same or a repayment schedule has not been made; and/or (3)
terminate this Agreement by giving written notice to CONTRACTOR of such termination in
accordance the notice provision in Paragraph XVIE herein below.
XVIII.
NOTICES
All notices, reports and correspondence between the parties hereto respecting this
Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as
follows:
CITY:
City of Santa Ana
Manager, WIB Administrative Office
1000 Santa Aha Blvd., Suite 200
Santa Ana, CA 92701
telefacmilie (714) 565-2602
and,
CLERK:
Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
telefacsimile (714) 647-6956
CONTRACTOR:
Santa Ana Unified School District
ROP Ritchey Center, Secondary Enrichment Programs
1815 S. Ritchey, Street, Bldg. 1-A
Santa Ana, CA 92705
(714) 566-8400
telefaesimile (714) 566-8496
of the parties.
stated herein.
MERGER
This Agreement, together with the attachments hereto, expresses the total understanding
There are no oral understandings of the parties or terms and conditions other than as
Page 13 of 14
XX*
VALIDITY
The invalidity in whole or in part of any provision of this Agreement shall not void or
affect the validity of any other provision of this Agreement.
MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature hereinbelow has the power,
authority and right to bind their respective parties to each of the terms of this Agreement, and shall
indemnify City fully, including reasonable costs and attomey's fees, for any injuries or damages to CITY
in the event that such authority or power is not, in fact, held by the signatory or is withdrawn.
b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in
the body of this Agreement.
IN WITNESS Vv2--IEREOF, the parties hereto have executed this Agreement the date and year first
above-written.
ATTEST:
E. Healy
Clerk of the Council
CITY OF SANTA ANA, a municipal
corporation of the State of California
"CITY"
By: d~~
Davi
City Manager
APPROVED AS TO FORIVI:
Joseph W. Fletcher
City Attorney
BY: ~,~.~L ~ ~
Lisa E. Storck
Assistant City Attorney
Santa Aha Unified School District
Donald A. Stabler, Ed.D
Business Services
RECOMMENDED FOR APPROVAL:
Jol~lgl Reekstin, Executive Director
Community Development Agency
Page 14 of 14
EXHIBIT A
PROGRAM NARRATIVE
WIA §129(c)(2) Program Elements Summary; In-School Youth
· Lead Agency Lead Agency. : C611aborative Primary Activities/
Program : (WIA funds) FUnded Service Agen~:SerVicel DOCumentation
Element (rio wIA funds) (W~ funds) :~"
A) educational I Santa Aha Unified Santa Ana Unified N/A Tutorial incentives &
activities leading School District School District referral to remedial courses/
to high school .
graduation Diploma and/or test scores
B) alternative N/A Santa Ana Unified N/A" Referrals to alternative
secondary school School District education programs/
services Student records
C) directly linked Santa A'na Unified Santa Aha Unified N/A' Summer employmenff
summer School District School District
employment Participant payroll records
opportunities
D) paid/unpaid Santa Ana Unified Santa Aha Unified N/A In-school internships and/or
work experiences School District School District work experience/
Participant payroll records
E) occupational N/A Santa Aha Unified N/A ROP and other technical or
skill training School District career-related courses/
ROP Certificates and/or
student records
F) leadership Santa Aha Unified N/A' Camp Fire 'Weekly on-site meeting
development School District Boys & Girls activities/
£articipant at, tendance data
G) supportive Santa Ana Unified Santa Aha Unified N/A Transportation, etc./
services School District School District Studeat record sand/or
participant's ISS
H) adult Santa Aha Unified Santa Aha Unified Career Beginnings ' Monthly Mentor Night
mentoring School District School District of Orange County activities/
acti'eities Participant attendance data
I) 12 months + Santa Aha Unified N/A N/A Monthly phone and/or mail
follow-up School District contacts/
services ?articipaat's ISS
J) comprehensive Santa Aha Unified Santa Aha Unified Camp Fi~e Weekly on-site meeting
guidance & School District School District Boys & Girls activities/
counseling. Participant attendance data
Pursuant to the WIA and Santa Ana Workforce Investment Board requirements set forth in the
RFP for this application, the 70 potential Success Bound.t participants will meet both c~rmnt Iow-
income eligibility and "right-to-work" standards and also be identified as having one or more of
the following barriers to employment:
· Their basic literacy skills (reading and/or math) are at the eight-grade level or below
as measured on the SAT-9, TABE or an equivalent standardized test;
· They are considered as homeless, have runaway from home or are a foster child as
evidenced by either school or social service records;
6
· They are a pregnant or parenting teen as evidenced by school records;
· They have a record as an offender or have a court/agency referral mandating school
attendance as evidenced by county records;
· They have never held a job and therefore have no work history as evidenced by their
WIA Program pre-application;
· They live in a "high crime area" as designated by the Santa Ana Police Department;
· Their core GPA is less than 1.5 as evidenced by school records;
· They have been suspended five or more times or have been previously expelled as
evidenced by school records; and/or,
· They are designated as a "special needs" student as evidenced by their school records
(e.g., enrolled in special education with a valid IEP, designated as limited English
proficient, etc.).
The above summary concludes the Executive Summary portion of this application by the Career
Development/ROP Department of the Santa Ana Unified School District to refine and implement
the Success Bound! program.
MAIN PURPOSE OF THE SUCCESS BOUND! PROGRAM
As the local public school agency for well over 100 years, the Santa Aha Unified School
District's mission has been to prepare Santa Ana's youth for successful adult lives. As the world
becomes more complex and ever higher demands for knowledge and skills are placed on high
school graduates, this task becomes evermore problematic. The participants in the Success
Bound! program will benefit from the program by receiving an array of services to first help
them successfully complete their public school education, and then assist them with their
transition from high school to the dual spheres of higher education and the world-of-work.
The Success Bound! program's services and activities will take place over an anticipated period
of 12-15 months. This will encompass the last month of the participant's junior year, a summer
work experience opportunity and their senior year. It will culminate with their graduation in
June 2003. The target population for the Success Bound! program are students with identified
"at-risk" factors but students who have not necessarily been previously targeted for any special
services or programs. Success Bound.t hopes to serve "average" Santa Ana students who need
that "extra push~ to graduate on time and enter the world as a young adult with the tools
necessary to be successful in both their work and educational careers.
During the yearlong program, participants will meet on a weekly basis with program staff when
school is in session. Contact during the summer work period will be between two to four times
per month. The adult mentor component (which is a collaborative effort with Career Beginnings
of Orange County) will meet on a monthly basis usually on the third Wednesday evening of the
month throughout the regular school year. Individual mentor/mentee meetings will also occur on
an individualized basis. For those the Success Bom~d! participants who enroll in an ROP course,
their training will last from 135 to 360 hours depending upon the course in which they are
enrolled. It is currently planned that the Camp Fire Boys & Girls component of the weekly
guidance and counseling support sessions will encompass two to three months of service.
With respect to adult/participant ratios for Success Bound!, three full-time personnel working
directly in the Secondary Enrichment Programs section of the Career Development/ROP
Department will staff program. Of these, two will be assigned to work directly with the
participants and the third will focus primarily on office operations for the program (this third
7
person will be funded in part by CBOC and the WIA Out-of-School Youth program). These
WlA supported staff will be assisted throughout the year by a part-time employee of Career
Beginnings of Orange County and by one or more staff from Camp Fire Boys & Girls during the
several month period that they are providing their program. Assuming that the participants are
divided somewhat equally between the schools, there would be two adults for every 12-18
students during the weekly meetings which usually last 40 minutes. Regarding the adult mentor
program, the staff assists at these monthly meetings and the adult mentors normally have no
more than two mentees. These meetings usually are two hours in length. Other adult/participant
contact will occur as the WlA staff work with individual participants in job placement, payroll,
academic advisement and other similar situations. Also, most adult mentors meet with their
mentee(s) outside of the regular monthly evening meeting environment.
PROGRAM GOALS/OBJECTIVES and PERFORMANCE LEVELS
for
SUCCESS B 0 UND.t
As stated in the Executive Summary portion, the Success Bound! program has a target of seventy
(70) participants attending secondary programs with in the Santa Aha Unified School District
who will be high school seniors during the 2002/03 school year. The specific WIA program
elements directly supported by the funding requested in this RFP response ate
A) educational activities leading to high school graduation,
C) directly linked summer employment opportunities,
D) paid/unpaid work experiences,
F) leadership development,
G) supportive services,
H) adult mentoring activities,
I) t2 months + follow-up services and
J) comprehensive guidance & counseling.
Participants will have access to the other two services (B; alternative secondary school services
and E; occupational skill training) through other existing District programs. Participants would
also be able to investigate and access similar services from other providers in the Youth Service
Provider Network.
Participation in specific services will be based on both the assessed needs of potential
participants and their expressed interests. It is a goal of the program to enroll all 70 participants
by the end of June, 2002. Several key elements of the overall Success Bound! program involve
early advisement and enrollment. These are summer remedial coursework, summer employment
and summer vocational training. Individual participant's previous scholastic history and test
scores will govern which academic course they should take. If tutorial remediation is needed,
incentives in the form of pay will be offered to encourage participation en lieu of a summer job.
Otherwise, participants will be encouraged to enroll io career/work related courses that are
relevant for their chosen career pathway during the summer. For example, up to a dozen
students from either the Human Service or Health pathways will be trained to staff a physical
fitness facility during the 2002/03 school year at Santa Ana High.
Experience with both WIA and JTPA programs have demonstrated that the recruitment and
enrollment process is almost always more difficult and time consuming than originally
anticipated. It is anticipated that the assistance from the W/O/R/K Center's Service Navigation
staff will serve to expedite the recruitment and enrollment process for spring 2002. Recruitment
is directly tied to the summer work, vocational training and basic skills elements as potential
8
SUCCESS BOUND[ PROGRAM DESCRIPTION
PROGRAM OVERVIEW
The following pages outline brief program descriptions are based on the ten required WIA
elements for this RFP. The actual WlA Workplan follows these as set forth in the Attachment B
format as requested in the RFP. Each is directly elated to the basic goals for the Success Bound!
participants: high school graduation, enrollment in a higher education program and the
acquisition of appropriate employability skills for an entry level (or higher) position which will
assist the participant in his or her pursuit of both a career and a post-secondary education.
As mentioned previously, outreach, recruitment and eligibility determination for the Success
Bound! program's target population of 11'h graders will be initiated at the end of the spring
semester of the 2001/02 school year. The program design outlined below then calls for serviging
the participants with a program that also includes summer 2002 and their senior year. The
Success Bound! program will focus on serving participants who have expressed an interest in
several career pathways; Business & Marketing, Science & Technology, Health, Human Services
and Entertainment, Arts & Communications. The following chart displays examples of factors
illustrative of the recruitment target population that the WlA staff will use:
Resident of the City of Santa Ana;
· Identified by school staff as at risk of dropping out;
· No work history
Resident of an SDA high crime area;
· Past record of under achievement (eighth grade or below academic level);
· Past record of low motivation or interest (poor grades);
· Has identified a career pathway
· Teen parent, homeless or runaway;
· Pattern of poor attendance or attendance in alternative programs;
· Poverty level, as indicated by AFDC or free and reduced lunch eligibility; and/or
· Potential membership or participation in gang-related activities.
· Previous summer youth employment program enrollment;
· Recommendations from high school guidance, career center and/or ROP staff;
· Self-referral and/or referral by peers;
· Compliance with WIA eligibility requirements; and/or
· Recommendations from community service agencies or other members of the
Youth Service Provider Network.
With the focus of the Success Bound! program on several career pathways-particularly Business
& Marketing, Health, Human Services and Entertainment, Arts & Communications, recruitment
will focus on the classrooms of the instructors in those pathways at each high school and the
ROP Ritchey Center. The availability of the program will also be announced via "Daily
Announcements," school newspapers, current WlA participants, etc., at each site. Following the
pattern developed over the past several years with JTPA programs, several enrollment events
will be planned to take place after the regular school day.
Actual enrollment will be on a "first-come, first-served" basis with respect to when students
submit their required documentation. In order to ensure both a representative participant
population from across Santa Ana and participation from the various key pathways, applications
from some sites and/or pathways may be "held" for a period of time to enable others from under-
represented schools and/or pathways to apply. But, this period will not be long as those students
who have followed the application and enrollment directions in a timely manner will be given
top priority. District teachers and other staff working with the Success Bound! program will
l0
work with their colleagues to assist with the collection of enrollment documentation data which
will then be given to the WIA staff at ROP so that the Santa Ana W/O/R/K Center personnel in
the Service Navigation unit will have only one contact. The chart below summarizes many of
the outreach recruitment and eligibility determination activities along with a tentative timeline
for the enrollment of all 70 proposed participants. In actuality, the recruiting period is slightly
less than two months which, based on prior experience, is certainly not too long. Given the WlA
requirements regarding financial eligibility and prior experience with obtaining right-to-work
documentation, it is expected that the entire period will be needed to obtain a full contingent of
qualifiable participants for the program.
TIMELINE FOR BASIC SELECTION, RECRUITMENT &
ENROLLMENT A CT1VITIES
May 11, 2002 May 11, 2002 May 11, 2002 May 11, 2002
to to to to
Ju~e 28, 2002 June 28, 2002 July 19, 2002 July 26, 2002
Outreach Recruitment Screening WIA Process &
And for the Success WIA Criteria Receipt of
Referral Bound Program Parent Consent
By student Information Initial screening Assessment
parents to individual and by ROP and WIA begins when
teacher group ~neetings staff parent
staff request for: permission and
agencies Student & Parent right-to-work documents are
meeting dates documents received
Reason for established family income
Referral; documents WIA Processing
attendance Continue with the by WIA Service
academics identification and Areas to Be Navigation staff
career prep initial enrollment Addresse& with ROP staff
alternative processes academics to provide help
placement attendance with enrolbnent
grades Initiate formal extra curricular
self referral school meetings career training
for recruitment
Types of Test or
Send #~formation Procedures to be
to Parent Used;
for Consent CASTS data for
STAR9
Intake and assessment for the Success Bound! program participants will )a~e place in
conjunction with the enrollment process. Initial participant program goals w/ffl be submitted
within 30 days of notice by the W/O/PUK Center Service Navigation team t];~ the participant is
enrolled. Should current (with in two years) test scores not be available(, participants will be
given the TABE to assess their basic skills. Job readiness, job search skills, occupational
interests, etc., will be assessed during the summer and/or early fall in order that each participant's
ISS is up-to-date. Other aspects of the participant assessment process will be ongoing for the
time each participant is in the Success Bound.t program; e.g., in the area of support services, the
need for transportation assistance or childcare will be reviewed on a regular basis.
11
The details of the revised WIA case management system using the support of the W/O/R/K
Center Service Navigation team will be worked on after funding notification. While the supl3ort
of the W/O/R/K Center staff will be appreciated, the Santa Ana Unified School District staff in
the Career Development/ROP Department's Secondary Enrichment Programs office is very
experienced with youth programs and at-risk populations. This is particularly true with respect
to dealing with the data collection requirements of youth related programs; both those problems
encountered in enrolling potential participants and those unique to reporting program completion
data. Staff is well versed in the completion of ongoing Individual Service Strategy documents
for each participant, the administration of objective assessments, etc. It is assumed that the~
Program Specialist and/or Community Resource Specialist assigned to the WIA Success Bo~,rFd!
program will maintain overall responsibility for the objective assessments and ISS forms. The
assessments will be accomplished either at the ROP Ritchey Center or one of the full service
Career Centers on the regular high school campuses. Unless there is a change for the 2002/03
program year, ISS folders will be maintained in the Secondary Enrichment Programs office.
Any other concerns vis-h-vis the interface of Success Bound! staff with the W/O/R/K Center
Service Navigation team will be dealt with when the occasion arises
With respect to parent involvement, initial contact with parents is normally made during the
enrollment process. Completion of the Work Permits also often requires another parent contact.
The WIA Success Bound! Community Resource Specialist will make home telephone and/or
home visits during the course of the program year. Normally, the initial reason will be either
attendance and/or paid work experience concern but other calls will also focus on missing
graduation requirements, college financial assistance documentation, training site issues, etc.
Experience with the current year's program has taught the Success Bound! staff that parental
support can be key to getting a senior "back-on-track" towards graduation, career and higher
education goals.
Like the comments pertaining to actual program services, information regarding job placement,
continuing education and follow-up activities is explained below in the description of the ten
program elements. Again, the primary goals of the program are threefold:
,/ high school graduation (diploma rate);
q' enrollment in a higher education program (retention rate); and the
,/ acquisition of appropriate academic and/or employability skills for an entry
level or higher position which will assist the participant in his or her pursuit of
both a career and a post-secondary education (skill attabm~ent rate).
The basic thrust of the academic support system is one of close oversight and the facilitation of
each. participant's journey towards achieving the three basic goals for the program as stated
above. Based on the objective assessment data used in the eligibility process along with other
similar school-based data and information, the Success Bound/ staff will develop individual
service strategy plans (ISS) for each participant. These will detail how and which of the project
activities will be used to help the individual participants reach their educational, employment and
higher educational goals. The exact mix of services each participant receives will be based on
his/her ISS and career pathway. However, each will participate with an adult mentor, be exposed
to the leadership, drug, alcohol & other health related issues activities, receive additional
guidance and counseling support and have access to paid internship and summer work.
12
SUCCESS BOUND.t PROGRAM QUALITY ELEMENTS
ELEMENT #1: Au effective acade~nic support system of the participants' educational
activities leading to high school graduation.
The basic academic component of the program will focus on the unique needs of each
participant-both in terms of academic support and in terms of meeting high school graduation
requirements. Those in need of tutoring will be referred to ongoing tutorial programs at each
campus that are normally staffed by Compensatory Education staff (Title I, the largest K-12
federal education program). Other tutorial referrals may be made to student resource center at
the ROP Ritchey Center in Room 6 where the WIA staff is housed. While WIA funds were not
be used to equip this center, some WIA funds could be used for instructional supplies to support
the identified academic needs of Sttccess Bottnd! participants. The WIA funded resources for
this element of the program will be the staff (program management, guidance and support) who
assist and monitor participant progress towards meeting the three goals for the program
identified earlier in this section. A key facet of this activity which was added during the 2001/02
program after a recommendation by the WIB's Youth Council was (and will continue to be) a
paid incentive to attend tutorial programs outside of the school day. This action provided
participants with pay that they would normally have received in a paid work experience or
internship position. Given the economic situation from which most participants come, this
aspect of the program gave participants the incentive to address their academic needs while at the
same time meeting economic needs.
Evaluation materials developed for the Success Botmd! program will be designed to elicit
participant opinions concerning both the effectiveness and the appropriateness of the program
vis-h-vis their needs and the degree to which the project's activities helped them graduate and
pursue an occupational career while also entering a higher education program. As with any
useful and valid evaluation instrument, the data from these initial participant reviews will be
incorporated into program modifications if necessary to better meet participant needs.
ELEMENT #2: Provision of access to appropriate alternative secondary school services if
needed to facilitate graduation on schedule.
The Success Bound! program staff will carefully monitor each participant's progress toward the
attainment of both their basic academics, work readiness & occupational skill attainment goals
and their high school diploma. While the performance standard success rate for the Success
Bound.t program in the area of diploma attainment is targeted for 45%, the high school
graduation rate for the program is 75%. When necessary, participants will be directed to
alternative programs both within the Santa Aha schools and at other agencies in order to acquire
the need units/classes needed to meet their diploma requirements. These alternative programs
will include the District's Independent Study and Teen Parent programs, Santa Aha colleges
Adult Education Programs and the Orange County Department of Education's two alternative
programs; Horizon and Summit. The high school guidance counselors and Rosa Galindo at the
District's Student Services Office will assist program staff in the enrollment of participants in
alternative programs.
Placement in alternative educational settings roi' the purpose of facilitating placement and
retention in a post secondary educational setting will also be a key element of this aspect of the
Success Bound! program. While the WIA performance standard or goal for this program
element is 46%, the goal for the Success Botmd.t program's retention rate will be 66%.
Individual needs will be assessed and documented through the normal secondary school delivery
13
system and follow-up by staff. Depending on the needs, several options will be available for the
students: tutoring, practice tests and preparation for college entrance exams, proficiency test
tutoring, etc. Individual help from staff, adult mentors and others will ensure the success of the
students. Grades and attendance will be monitored. If additional intervention is necessary, the
appropriate staff person will be notified of the needs of the student.
ELEMENT 4/3: Access to directly linked sun,ruer employment opportunities.
The Success Bound! Program will directly provide paid summer work experiences modeled after
the old JTPA Title II-B programs. Specific summer employment experiences will vary
depending upon each participant's career pathway, but all will be afforded access to a minimum
of 20 hours of work for seven weeks and basic pre-employment skills training related to both
their paid work experience environment and their educational & career goals.
Three programs from the first summer of the Success Bound! program offer an example of this.
Several students from the Entertainment, Arts & Communications pathway at Century HS
worked with a staff member from the Santa Ana Zoo to develop and produce video presentations
used by the zoo to recruit volunteers. In another example mentioned previously, nearly a dozen
students from the Health and Human Services pathways were trained at Santa Ana HS to operate
and supervise a fitness center on the campus that is open to students and staff throughout the
school day. Finally, four Success Bound! students were part of a larger group that included other
potential participants from the Health pathway that were assigned to a UCI internship program at
the UCI Health Center on N. Main.
Success Bound! participants from other pathways or disciplines will be involved in similar
experiences over the summer. They will be encouraged to take an ROP course, which is aligned
with their career pathway. Whenever possible, the internship component of that ROP course will
be expanded into their paid summer employment so that they can experience the real relevancy
of their training. Also of note is the fact that if necessary, the program will provide bus passes to
work/internship sites for the summer period. It must be pointed out that most of these summer
experiences will take place in the afternoon as most, if not all of the Success Bound! participants
will be in the Districts academic summer school program in the morning (or that of one of the
alternative programs mentioned in Element 2 above). With high school graduation as the key
goal for this program, participants will be encouraged to make-up any course deficiencies prior
to other summer considerations
ELEMENT #4: Opportunity for each participant to participate itt paid and/or unpaid
internships or work experiences.
This successful element of the current 2001/02 WIA program is a modification a previous JTPA
program between the Santa Aha Unified School District and the Private Industry Council of
Santa Ana. That program, the "School-Workplace Internship Program," served high school
participants who attend Santa Ana high schools and/or Regional Occupational Program (ROP)
classes. As with the 2001/02 program, Success Bottnd! participants in 2002/03 will be given the
opportunity for both paid or non-paid internship (work experience) opportunities that offer:
~ viable paid workplace internships which provide appropriate work-based
learning opportunities;
~ improved career related curricula and instructional strategies allied with the
UROG "Choosing Success" or other similar connecting activities;
~ strengthened comprehensive local community partnerships; and,
~ improved non-traditional employment opportunities for WlA eligible students.
14
These work-based learning and connecting activities for the Success Bound.t participants
during the school year will be directly linked to community-based partners and implemented
by proven delivery systems. These instructional strategies will include career related activities
that focus on basic skills training, life-long learning and expanded career opportunities for
non-traditional employment for WIA participants that focus in several areas including
business, the arts and bilingual environments where using translation skills will serve the local
community.
Actual employment will be through the District with monthly time nards and student employee
payroll data serving as documentation for the paid internship segment of the program. This paid
internship program will complement and expand offerings for participating WIA in-school
participants by implementing appropriate assessment activities that focus on specific
employment/employability competencies. These include resumes, job applications, bilingual
medical/clerical and/or instructional proficiencies, job seamh techniques, related bio-medical.and
other academic and/or fine arts curricular expectations and an awareness of career ladder
opportunities and their pre-requisites. These program activities will utilize existing Central
County ROP (CCROP) and District facilities working within existing class schedules & space
utilization to eliminate any potential impact on regular programs at secondary sites. The primary
vehicle for the delivery of this portion of the program will be the weekly guidance/counseling
meetings held on the individual high school campuses.
Given the base of hundreds of internship or "Community Classroom Agreements" between the
Career Development/ROP Department and local employers, the District does not need to enter
into any other duplicate agreements. These when coupled with previous work-site agreements
between various District sites and the W/O/R/K Center for prior JTPA in-school and summer
youth employment programs will provide more than enough internship, job-shadowing, and/or
summer employment opportunities for the Success Bound! participants. The same training site
agreements would also be applicable to summer work opportunities and they could be used in
any collaborative activity with other members of the Youth Service Provider Network offering
programs in response to this RFP.
ELEMENT #5: Access to an effective program of occupational skills training.
The overall approach of the Santa Aha Unified School District's Regional Occupational Program
(ROP) is to maximize community resources, integrate services within the educational and
business communities and find new avenues to increase the level of employer involvement in the
creation of internships and work-based learning. Allied with this activity are the strong work-
based programs and the network linking of career pathways and work site experiences of the
Central County's Regional Occupational Program (CCROP), local WIA (Success Bound), the
Chamber of Commerce, the City of Santa Aha and local business and community-based
organizations. Tile cornersto~ze of all of this is the ROP ets it is the District's vehicle for
providing appropriate, timely a~d eJfective entry level trab~ing. Many ROP courses have work
based internships as part of the entry career cer[ification programs. These have been integrated
into the career pathways at the high schools. Allied with the ROP offerings are partnerships with
Santa Ana College and local universities that enable high school students (including Success
Bound! participants) to participate in articulated program of sequential courses from high school
through college.
All Success Botmd! participants will be guided and counseled into Regional Occupational
Program courses related to their career pathways as these courses can play such a pivotal role in
their school-to-work plan. These classes will provide participants with the means to prepare for
entryqevel employment, receive elective credit toward graduation, enter a career pathway,
15
sample various work site experiences, earn money for educational expenses and/or verify career
choices. And from a very practical point of view, the ROP Certificates will verify that a program
participant has indeed met his/her Skill Attainment Rate goal.
Operationally, ROP consists of a variety of occupational training programs that lead to entry-
level job skills for students age 16 and over. ROP classes, which are funded by the State, include
integrated classroom and work-based activities. ROP teachers are experts in their field with a
minimum of five years of work-based experience and a teaching credential. Of particular
importance to many of the Success Bound! participants is the fact that these courses are offered
not only at the ROP's Ritchey Center, but on high school campuses throughout the District.
Transportation is available at no cost for afternoon courses. Courses are also available in the
evening and on Saturdays. Participants in Success Bound! will be given priority registration for
ROP courses during their time in the program-including the twelve-month follow-up period.
ELEMENT #6: Provisioa of a support plan that affords participants with leadership
development activities as an integral part of their total program experience.
This element is primarily addressed during the weekly meetings at each high school campus.
The collaboration with the Camp Fire Boys & Girls, Orange County Council will provide much
of the activities in this area in addition to those activities provided by the WIA Success Bound.t
staff. Based on their experience with the 2001/02 Success Bound! program, the Camp Fire staff
will again offer a variation of their "Smart Choices" program. This program is designed to be a
skills-building youth development program that prepares youth to make wise decisions, set goals
and gain a sense of self-worth. It is designed to be a very integrated, interactive program that
raises awareness about how one's decisions and values have short and long-term consequences
and how they influence one's health and well-being. "Smart Choices" is based on youth
development programs that have been documented to reduce teen pregnancy, violence and risky
behavior. This program has successfully equipped youth with skills that help them make
positive life choices.
This adapted program will also incorporate elements of another program entitled the "Gift of
Giving" which focuses on service to others. The development of such an attitude belongs in this
element and in fact, this activity not only supports two of the Sttccess Bound! program's elements
(leadership & guidance/counseling) but it also reinforces the whole concept of "customer
service." This is a key element of career development and ROP courses that participants will be
taking. It is well know that most teens and young adults lose their employment over non-skill
related issues (the "soft skills") such as work place attitudes, attendance, customer relations, etc.
The adapted "Smart Choices" program has been designed to be offered in small groups and for a
varying length of time to accommodate the career pathway orientation of the program and
student availability. It is anticipated that each Success Botmd.t participant will be involved in this
activity for a minimum of ten to twelve sessions. Camp Fire Boys & Girls staff will present this
program with the assistance of the regular Success Bound! staff. In addition, it is anticipated that
one or more may be provided in conjunction with the Career Beginnings of Orange County's
Mentor Night program that is described later in this proposal.
ELEMENT #7:
Provision of a support plan that affords participaats with appropriate
supportive services when needed to facilitate their successful completion of
th e program.
A key component of the Success Bound! program will be the degree of support provided to each
participant. Transportation to ROP training classes and summer work sites will probably be the
16
most common example of support services. However, via the ROP's Community Advisory
Committee and the Assistance League of Santa Aha, participants will have access to appropriate
work site clothing when needed. The resoumes of the District's Teen Parent program will be
brought to bear should a participant have to address such issues as childcare, parenting, etc.
The two collaborators for the program, Career Beginnings of Orange County and The Camp Fire
Boys & Girls will also assist in provision of services regarding this program standard. The adult
mentors from the CBOC program have historically not only assisted their mentees with such
expected items as career and academic counseling, recreational activities, etc., but they have help
with such things as providing appropriate clothing for interviews, transportation, accompanying
their mentee on job or college interviews, etc.
One of the components of the Camp Fire Boys & Girls program that will offered to each
participant during the 12-15 months they are in the program is the concept community service
that comes from their "Gift of Giving" program.. While not directly a support service, the focus
of this program is to actively engage the students to participate in community service. Progi-am
activities focus on several important social and community related concepts and it is felt that this
element of the program will be of value to the participants from not only a supportive service
point of view but from one of leadership.
ELEMENT #8:
An effective adult mentoring progra~n desigued to comJ~lement and ensure
attaiument of the program's goals for graduation, enrolbnent in higher
education and acquisition of basic career skills.
One of the major elements of the Success Bound! program is the adult mentoring program
provided by Career Beginnings of Orange County (CBOC). This activity is modeled after a
program that originally began over ten years ago with a grant at Santa Ana College. For the past
six years, a non-profit Board of Directors has operated CBOC in cooperation with the Secondary
Enrichment Programs at the ROP in the Santa Aha Unified School District. As a significant
component of the Success Bound! program, the Career Beginnings adult mentor program will be
a required activity for each participant during his or her senior year. It will not be part of each
participant's experience for this WIA In-School Youth program during the summer when they
are first recruited into the program. This timing will afford staff the opportunity to get to know
each participant and recruit adult mentors with the potential to more closely match the needs of
each participant. This is a departure from the CBOC model designed to address one of the
problems encountered in prior years-making good mentor/mentee matches within a 3045 day
period. It is planned that each adult mentor will have no more than two mentees. The adult
mentor program will be supported by both CBOC and Success Bound! staff. This program will
focus around ten monthly "Mentor Nights." Follow-up activities to the CBOC evening meetings
will be incorporated into the weekly Success Botmd! meetings. It should be noted that while
these leadership and guidance/counseling meetings are on a weekly basis, school schedules,
assemblies, holidays, etc., often consmne at least one of the meeting times each month~
Mentors will be recruited in a variety of ways. Each high school campus has several business
partners, some schools with as many as fifteen business partners. Community partners are
interested in working with the schools to increase student achievement by providing better and
more educational opportunities. Recruitment at these sites enables the business parmer the
opportunity to get "directly" involved with the students. P,'esentations will be made at breakfast,
lunch and evening lneetings. Another avenue for recruitment includes presentations at service
organizations, Chamber of Commerce meetings, and the City of Santa.
After initial recruitment, mentors would be asked to fill out an application and attend an
orientation meeting and personal interview with staff. The Santa Ana Unified School District
17
requires the volunteer to have fingerprints and TB testing. A physical is not necessary for any
part-time volunteer. The cost per mentor is currently $45. Fingerprinting will be done at
orientation meetings or the first training meeting in a group setting. Orientation sessions will be
scheduled to acquaint the potential mentors with the project. Orientation is not training. These
sessions identify the who, what, where, why and how about the mentoring project. General
information is given about the students, their school environment, the project and how it works,
the duration of the volunteer commitment, etc.
Training for mentors begins shortly after orientation. All mentors must attend a minimum of
three hours of training before being matched with a student. The session identifies the need of
the program, clearly defines who the students are, defines the goals of the mentor project,
identifies the needs of the students and their stage in development, discusses problems that
teenagers encounter including peer pressure, substance abuse, child abuse and family violence,
and drugs. In addition, the training provides practical advice for the mentors - how to contact the
students, their project coordinator, teacher or job developer. The training sessions include a
manual that covers the necessary information to make the mentoring experience successful.
The Career Beginnings evening begins with a hosted dinner (sponsors are regularly solicited)
once a month at a school site, postsecondary campus or business which gives the participants and
mentors an opportunity to come directly from school or the workplace without worrying about
dinner. It is a great time for the mentor and mentee to socialize and relax. Individual contact
and recognition with the mentors is important just to say thank you for volunteering. An end-of-
the-year celebration will recognize the accomplishments of the mentees and mentors, Career
Beginnings of Orange County, works with the school district to provide recognition of the
mentors in the form of certificates, plaques, etc. and recognizes the students for their completion
of the program. Scholarships are solicited from the community to be presented to the students.
The evening is often the highlight of the year. The CBOC Board of Directors plans to award 20
$250 scholarships to students in their program (including Success Bound! participants).
ELEMENT #9: An efficient and effective delivery system for twelve n,onths of follow-up
services.
Note: the folbvdng ac6vitles are also ap~li~l~ to prior WIA tnu'tieJpants from the 2001/02 program.
Evaluation and its required data gathering activities will take place throughout the project year
on an ongoing basis. As with the 2001/02 Sttccess Bound! program, the process for the 12-
month follow-up services wiII be finalized during the initial few months of the project. These
will focus on accumulating data to assess "continuous improvement" to the Success Bound!
program offerings. The recruited and enrolled 11~h grade participants will be in the program until
their graduation for high school 15 months later. Just prior to their graduation (or exiting from
the school system), they will be part of a larger data collection base that has been conducted by
California State University, Fullerton under the auspices of the UROG "Choosing Success"
grant. Data from this database plus individualized quarterly follow-up contacts will become an
integral part of the proposed follow-up services activities. The Success Bound! staff will
continue to monitor school and work attendance with students afte,' they exit the program upon
their graduation on a monthly basis at a minimum.
Both the staff of the District and one of the collaborative partners, Career Beginnings of Orange
County, have had extensive experience in annual follow-up reports. The specific design of the
documents used for this process will be based on that experience and any requirements of the
W/O/R/K Center or WIB staff. Summative evaluation of the project will be assessed by
completion, postsecondary commitment and graduation rates and at the end of the school year.
The major collection timeline for follow-up data will be in the late fall after high school
graduation. This will be done to verify the former Sttccess Bound! participant's postsecondary
placement (higher education, military, part-time or full-time work).
18
Success Bound! participants will be regularly contacted on an informal basis (mail, phone and e-
mail-if available) to monitor their progress during this twelve month basis. The purpose of the
informal contacts will be to remind the participants of the availability of continuing follow-up
services. These would include not only the standard supportive services available to WlA
program participants, but also access to tutoring/study areas at the ROP Ritchey Center, Cai-
WORKs programs, the W/O/R/K Center and ROP courses. The District's Career
Development/ROP staff has close relationships with both programs and staff at Santa Ana
College; those Success Bound! participants who attend that institution will also have access to
extra support and attention during the twelve-month period as a result of these relationships.
With respect to regular progress reports, record keeping, etc., the Secondary Enrichment
Programs staff at the ROP Ritchey Center are experienced in providing the data needed by the
WIB, Youth Council and others to document the effectiveness of the program and the success of
its participants. Unless requested to do otherwise by the Santa Ana W/O/R/K Center staff, .it is
planned that the same types of reporting and monitoring activities that had been in plac6 for
JTPA will be continued for WIA funded programs. This is true for both programmatic and fiscal
monitoring. As some of the school-based information on the District's CASTS system and
elsewhere is confidential, records (including ISS files) will be kept at the ROP Ritchey Center
unless the new Service Navigation team at the W/O/RIK Center changes current procedures. If it
is necessary for other WIA youth programs, the district will collaborate with other vendors to
provide student data within the boundaries of various state and federal privacy regulations.
ELEMENT #10:
Access to attd provision of a comprehensive array of guidance and
counseling support activities that focus improving student performance
and achievetnent.
Project services for Success Bound! participants that involve this final standard have been
partially addressed in several of the other standards, particularly those dealing with leadership
development, supportive services and adult mentoring. These activities basically represent the
contributions of the project's two collaborators, Career Beginnings of Orange County and the
Camp Fire Boys & Girls, Orange County Council. As also mentioned above, the vehicle for
delivering the services will normally be the weekly meetings at the individual high school sites.
Augmented by the services of the collaborators, this portion of the project will afford participants
with comprehensive guidance and counseling services that far exceed those that they can
normally access in a traditional high school setting. These staff members will also be available
outside the regular school day thus making them available at times when these at-risk students do
not have to be in class. Alternative methods of access are important to the target population and
it is an objective of this part of the proposed program to facilitate the access of these students to
supplementary supportive services.
The Project Specialist for the Success Botmd! program will monitor participant contacts with all
staff and the collaborators to ensure that this part of each participant's ISS is being addressed.
Experience with previous JTPA programs has taught that this aspect of program management is
extremely import; not only with respect to reporting requirement, but more importantly, with
respect to providing appropriate services to participants. Records from counselors and other
academic guidance and career center personnel at the high schools will also be a part of each
participant's file (within the parameters of existing privacy legislation). This aspect of the
program would also be the main method for tracking each participant's progress towards the
basic goals of the Success Boand! program.
19
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EXHIBIT B
STATEMENT OF WORK
Scope of Work. City hereby engages contractor as an independent contractor to
perform the following described work, and contractor hereby agrees to perform
said work upon the terms and conditions here-in-after set forth.
A. Specifically, contractor shall perform the following services:
Contractor shall assess each participant using a standardized
assessment tool within thirty (30) days of enrollment. If
assessment supports a Basic Skills deficiency, reading and math
must be the first service to be delivered to participant.
Contractor shall identify through prescribed assessment which of
the ten elements as noted below will be prescribed for each
participant. Chosen elements will be noted in each participant's
Individual Service Strategy (ISS). Services needed but not
provided by Contractor must be coordinated with the Service
Navigator and other youth partners.
The ten elements are:
Tutoring, study skills and instruction leading to completion of
secondary school, including dropout prevention strategies.
Alternative secondary school services, as appropriate.
Summer employment opportunities directly linked to
academic and occupational learning.
Paid and unpaid work experiences including OJT, job
shadowing and internships as appropriate.
Occupational skills training as appropriate.
Leadership development opportunities, which may include
community service and peer-centered activities encouraging
responsibility and other positive social behaviors during non-
school hours as appropriate.
Supportive services
Adult mentoring for the period of participation and
subsequent period, for a total of not less than 12 months.
Follow-up services for not less than 12 months after the
completion of participation.
Comprehensive guidance and counseling, which may
include pregnancy prevention, drug and alcohol abuse,
counseling and referrals, as appropriate.
Contractor shall establish at least one goal for each participant as
related to the elements identified in their ISS. if the participant is
deficient in basic reading and/or math skills, one primary goal must
be for basic skills and must be the first service provided. Goals are
to be based on appropriate age standards and entered in
parUcipant's ISS.
Contractor shall provide an enrollment orientation for each
participant which at the minimum includes the following information:
Program goals and objectives
Length of program period
Complaint handling procedures
Available supportive services
Anticipated exit date
Hands-on orientation at the Santa Ana WORK Center
Participant orientation shall be documented and placed in
participant's file. An orientation of the Santa Ana W/O/PJK Center
will also be provided.
Contractor shall provide participant services in accordance with the
program schedule and curriculum attached hereto as the program
narrative (Exhibit A). Neither the program schedule nor curriculum
may be altered in any way during the term of this agreement,
without prior written approval given to contractor by the Santa Ana
Workforce Investment Board (WIB).
Contractor shall maintain daily, weekly, and monthly classroom and
internship training time and attendance records for all participants.
Copies of attendance records shall be placed in participant's file
upon completion of program.
Contractor shall maintain individualized counseling records and
shall make these records available for review and inspection upon
request by City staff. All such records shall remain otherwise
confidential and shall be kept in a form approved by City.
Contractor shall maintain and share with other Youth partners the
Individual Service Strategy (ISS) for each participant from time of
enrollment through and including twelve (12) months after he/she is
exited from the program.
Full completion of the program and its elements shall be defined as
and determined by individual participant attainment of the learning
objectives and demonstrated achievement of the standards for
evaluation listed in the training curriculum verified and approved by
the Santa Ana WIB.
10.
Contractor shall provide each participant who attains full completion
of the program with a certificate of completion. Such certificate
shall serve as contractor's assurance to the City that the recipient
of said certificate has satisfied the conditions of full completion as
set forth in conditions identified in paragraph 5 above.
11.
Contractor shall, upon request by City or in accordance with
schedules and/or procedures stipulated by City staff at the outset of
the program, transmit to City reports and/or forms containing all
appropriate data and any other pertinent information available on ..
each participant and program operations in general.
12.
Contractor shall report on progress of program to Youth Council on
a regular basis as determined by contractor and City staff.
13.
Contractor shall follow and abide by the proposal submitted and
approved by the Santa Ana Workforce Investment Board. Any
changes to the proposal must be submitted in writing to the Santa
Ana WIB for consideration.
Exhibit C
COMPLAINT HANDLING
UNDER THE
WORKFORCE INVESTMENT ACT
SANTA ANA
WIA
Santa Ana Local Workforce Investment Area
July 1, 2001
Table of Contents
I. Information Regarding Complaints ............................................................................................ 2
A. Nondiscrimination and Equal Opportunity Complaints .......................................................... 2
1. Policy Statement ................................................................................................................ 2
2. Civil Rights ......................................................................................................................... 3
3. Nondiscrimination Laws underWIA ........................................................................ ; .......... 4
4. Howto File Your Complaint ............................................................................................... 5
B. Criminal Complaints .............................................................................................................. 6
II. General Procedures for Handling Non-Criminal Violations of the Act ....................................... 6
II1. Procedures for Handling Complaints at the SDA Level ............................................................. 8
IV, Procedures for Handling Complaints at the State Level .......................................................... 13
V. Procedures for Handling Discrimination Complaints by Participants ....................................... 15
VI. Procedures for Handling Handicap Complaints by Participants .............................................. 16
GLOSSARY OF WIA TERMS ........................................................................................................ 18
Information Regarding Complaints
A. Nondiscrimination and Equal Opportunity Complaints
1. Policy Statement
In carrying out the purpose of the Workforce Investment Act (WIA), the City of
Santa Aha Local Workforce Investment Area (LWIA) will establish programs to
prepare youth and unskilled adults for entry into the labor force and to afford
job training to those individuals facing serious barriers to employment. Every
effort will be made to provide services necessary for eligible individuals to
obtain productive employment.
In implementing WlA, all contractors in the Santa Ana LWIA will foster equal
opportunity and non-discrimination, as provided in State and Federal equal
opportunity and non-discrimination laws including, but not limited to:
Title VI of the Civil Rights Act of 1964
· Title VII of the Civil Rights Act of 1964
· The Age Discrimination Act of 1975, as amended
· Section 503 of the Rehabilitation Act of 1973
· Section 504 of the Rehabilitation Act of 1973
· Title IX of the Education Amendments of 1972
· Section 188 of the Workforce lnvestment Act of1998
In keeping with our commitment, no individual shall be excluded from
participation in, denied benefits of, subjected to discrimination under, or denied
employment, in the administration or of in connection with any WIA funded
program because of race, color, religion, sex, national origin, age, handicap, or
political affiliation or belief.
Participation in programs and activities financially assisted in whole or in part
under WIA shall be open to citizens and nationals of the United States, lawfully
admitted permanent resident aliens, lawfully admitted refugee, parolees, and
other individuals authorized by the Attorney General to work in the United
States,
No individual will be intimidated, threatened, coerced, or discriminated against
because of filing a complaint, furnishing information, or assisting or
participating in any manner in an investigation, compliance review, hearing, or
any other activity related to the administration of WIA.
2
Administration responsibility for this Equal Opportunity/Affirmative Action
(EO/AA) Program is delegated to the Equal Employment Opportunity (EEO)
Officer for the Santa Ana Local Workforce Investment Area. Equal opportunity
and non-discrimination, however, will only be achieved through leadership and
implementation of a viable Affirmative Action Equal Opportunity Program,
Patricia Nunn, Executive Director
Santa Ana Local Workforce Investment Area
Civil Rights
No one applying for or enrolled in the Workforce Investment Act (WiA)~
Programs may be discriminated against because of race, color, creed,
handicap, national origin, sex, age, political affiliation, or beliefs.
This means that - for any of the characteristics listed above:
You may not be denied the opportunity to enroll in WIA.
No benefits or services may be denied you for discriminatory
reasons.
You may not be segregated or treated any differently from other
applicants or participants, while you are being registered,
interviewed, counseled or tested; or while you are working or
attending classes as part of the program.
You must be provided an equal chance to use all facilities
available in the program.
Fair employment practices must be provided to all staff with
regard to recruiting, hiring, transferring, promotions, training,
compensation, benefits, layoff, and termination.
You have the right to make a complaint if you feel you have been denied any
of the above opportunities. You cannot in any way be penalized for filing a
complaint. Your WIA sponsor has established a mechanism for handling
complaints or grievances. Your complaint must be filed within 180 days. All
complaints will be handled confidentially.
Nondiscrimination Laws under WlA
Title VI of the Civil Rights Act of 1964
Prohibits discrimination on the basis of race, color, national origin, or
religion.
The Age Discrimination Act of 1975
Prohibits arbitrary discrimination against persons age 40-70.
The Rehabilitation Act of f 1973
Prohibits discrimination based on handicap.
Title iX of the Education Amendments of 1972
Prohibits discrimination in any education or training program or activity
receiving federal financial assistance.
OTHER CIVIL RIGHTS LAWS:
Title VII of the Civil Rights Act of 1964
Prohibits discrimination in employment based on race, color, religion,
sex, or national origin in all terms and conditions of employment and
establishes the Equal Employment Opportunity Commission as the
administrative agency.
White House Executive Order No. 11246 as Amended by Executive
Order No. 11375
Creates the office of Federal Contract Compliance and prohibits
discrimination based on race, color, sex, religion, or national origin.
Department of Labor Secretary's Order no. 4-73
Prohibits discrimination based on sex.
Equal Pay Act of 1963
Prohibits pay differential solely because of sex.
4
Emergency Employment Act of 1971
Prohibits discrimination based on race, creed, national origin, political
affiliation, or beliefs.
How to File Your Complaint
Put your complaint in writing.
Have it sworn to before a notary public, if possible.
Provides details that tell what happened, where it happened, and when
it happened.
Give the name and addresses of all persons who were present or who
had anything to do with the matter.
...Complaints on the basis of race, color, or national origin, age, sex,
religion, political affiliation or belief, retaliation and citizenship, must be
filed within 180 days of the alleged occurrence directly with:
Director
Civil Rights Center
U.S. Department of Labor, Room N-4123
200 Constitution Ave., NW
Washington, D.C. 20210
Complaints on the basis of handicap must be filed within 180 days of
the alleged occurrence. These complaints must be filed directly with
the WlA administrative entity. The WlA administrative entity shall issue
a written decision within 30 days of the filing of the complaint. If the
complaint is still unresolved, an appeal may be made to the Chief of
State Workforce Investment Division Office.
The Department of Labor, the Civil Service Commission, the Equal
Employment Opportunity Commission, and many other offices and agencies
are committed to assuring equal employment opportunities for all persons.
They will protect you.
A case may be taken to court if the other processes do not yield satisfactory
results.
You may hire your own lawyer, or if you cannot afford one, the court may
appoint one for you.
5
it is unlawful for an employer, union, or employment agency to punish you or
any witness for attempting to present the facts in a case.
YOUR CIVIL RIGHTS UNDER THE
WORKFORCE INVESTMENT ACT
Santa Ana Local Workforce Investment Area
1000 E. Santa Aha Blvd., Suite 200
Santa Ana, CA 92701
(714) 565-2600
II.
B. Criminal Complaints
In accordance with the WIA (P.L. 105-200) and the implementing code of Federal
section 667.600 .... Federal handling of criminal complaints and report of fraud, abuse
and other criminal activity. "All information and complaints involving fraud, abuse or
other criminal activity shall be reported directly and immediately to the City of Santa
Ana and the Secretary of Labor."
General Procedures for Handling Non-Criminal Violations of the Act
The following procedure is promulgated to meet the requirements of Title 20, of the Code of
Federal Regulations, Section 667.600 through 667.640 of the WIA regulations, and Section
181(c) of the Act (Public Law 105.200:29 U,S. Code Sec. 2931 et seq.) at the State and
LWIA level for the receipt, investigation, hearing, and resolution of complaints by WIA
participants, subrecipients, applicants for participation, or financial assistance, labor unions,
community based organizations, or any other persons.
These procedures provide for resolution of non-criminal complaints arising from the
operation of the Santa Ana LWIA.
A complaint is defined here as a written expression by a party alleging a violation of the
Act, regulations promulgated under the Act, recipient grants, subagreements, or other
specific agreements under the Act, including terms and conditions of employment of such
participants in employment training programs. All complaints, amendments and
withdrawals shall be in writing. These procedures are intended to resolve matters which
concern policies, procedures or action(s) arising in connection with WIA programs operated
by each LWIA grant recipient and subrecipient under the Act.
These procedures shall not be construed as affecting any other available legal remedy
outside of the WIA complaint process (i.e., disputes regarding terms and conditions of
employment of any employee who is not a participant), either separately or simultaneously,
that a person may Wish to pursue in the resolution of a non-WIA complaint. Also, these
procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion
procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion
and resolution of any problems outside of and without resort to the formal complaint
procedure.
The following principles and rules apply to all complaints at all steps of the complaint
procedures:
1.
All complaints must be made in writing within 180 days of the alleged
occurrence, except complaints alleging fraud or criminal activity.
All persons filing a complaint shall be free from restraint, coercion, reprisal, or
discrimination. Good faith efforts shall be made to informally resolve the
complaint prior to the scheduled hearing. Complainants have the right to
withdraw their complaints (in writing) at any time prior to the hearing. A
complainant may amend his/her complaint to correct technical deficiencies but
not to add issues.
Complainants shall have the right to be represented at their own expense by
person(s) of their choosing at all levels of the complaint process.
Upon enrollment into employment or training, participants shall be provided
with a written description of these procedures, including notification of their
right to file complaints and instructions for filing.
An employer of participants, including private-for-profit employers of
participants, may use this or other complaint resolution procedures so long as
the participant is informed of the complaint resolution procedure they are to
follow and the time frames governing review of complaints are met.
A "participant", within the meaning of these procedures, is an individual who
receives employment-training services under a program funded by Santa Ana
LWIA. The Complaint Resolution Procedures contained herein (or the
alternative procedures which an employer may use) shall be available to
participants to resolve disputes regarding items and conditions of employment
of such participants in employment training programs. However, such
procedures shall not be used to resolve disputes regarding terms and
conditions of employment of any employee who is not a participant, as defined
herein.
If a complaint does not receive a decision at the LWIA grant recipient level
within 60 days of filing the complaint or receives an unsatisfactory decision,
the complainant then has a right to request a review of the complaint by the
Governor.
7
o
Complainants must initially file and exhaust LWIA grant recipient/hearing
procedures prior to appealing to the State except where the State determines
that the LWIA grant recipient's procedures are not in compliance with the
State's procedures.
III.
Procedures for Handling Complaints at the LWIA Level
A. Receipt of Complaints
Pursuant to the WIA regulations found at 20 CFR, Section 667.600, the LWIA
administrative entities have the responsibility to conduct hearings and resolve
complaints made by individuals about the administration of programs in the LWIA.
"LWIA level" encompasses LWIA administrative entity and employers to which the
administrative entity has delegated the complaint resolution process. The following
comprise the guidelines for resolving issues arising in connection with WIA programs
operated by the Santa Ana LWIA including resolutions of complaints arising from
actions, such as audit disallowances or the imposition of sanctions taken by the
Governor with respect to audit findings, investigations or monitoring reports.
1. Form and Filing of Complaint
Official filing date of the complaint is the date the written complaint is received.
The filing of the complaint with the Santa Ana LWIA Equal Employment
Opportunity Officer shall be considered as a request for hearing and a
decision must be issued within 60 days. The complaint must be in writing and
must be signed and dated. The complaint should also contain the following
information:
Full name, telephone number, if any, and mailing address of the
complainant;
Full name, telephone number, and mailing address of the agency
involved (respondent);
Clear and concise statement of facts including dates constituting
alleged violation;
What provisions under the Act, regulations, grant or other agreements
under the Act, are believed to have been violated;
Remedy sought by the complainant; and
if the complainant is a private or public entity or corporation, and not a
natural person, the filing of the complaint must be duly authorized by
the governing body of such entity or corporation.
8
The absence of any of the requested information shall not be a basis for
dismissing the complaint.
A copy of the complaint must be sent to the respondent and both parties
notified of the opportunity for an informal resolution. At each step of the
complaint process, the complainant must be notified in writing of the next
procedural step.
Informal Conference
Informal conferences will be utilized by the Santa Ana LWIA to resolve
complaints; however, such informal conferences shall not extend the time
within which a decision must be issued after receipt of a complaint. Attempts
at informal resolution will commence with two (2) weeks of the date of filing of
the complaint.
The EEO Officer will review the case and ascertain facts prior to the
conference so that appropriate resolution can take place at the time of
this meeting whenever possible.
Although the complaintant should be encouraged to attend this
conference, his/her failure to do so should not preclude his/her right to
request a hearing on the matter.
If mutually satisfactory resolution results and the Santa Aha LWIA
concurs, the EEO Officer will write a brief report for the file stating the
issues and resolution. The matter shall then be considered closed.
If resolution does not result, the complainant shall be provided the
necessary information and assistance to request a hearing if he/she so
desires.
Request for Hearing
As in the case of the complaint, the request for a hearing should be put
in writing and be filed in person or by mail. A governing board
resolution of authorization to appeal should also be submitted when
appropriate. The request should be filed with:
Lydia H. Morgan
EEO Officer
Santa Ana Local Workforce investment Area
1000 E. Santa Aha Blvd., Suite 200
Santa Ana, CA 92701
9
A hearing will be scheduled by the EEO Officer within thirty (30) days of
the date of filing of the complaint.
4. Notice of Hearing
Upon receipt of the request for hearing, the complainant and the respondent
will be notified in writing of the hearing ten (10) calendar days prior to the date
of the hearing. The ten-day notice may be shortened with the written consent
of the parties. A decision will be issued by the Santa Ana LWIA within sixty
(60) days of the date of filing of the complaint.
The hearing notice shall be in writing and contain the following information:
The date of notice, name of the complainant, and the name of the party
against whom the complaint is filed.
The date, time, and place of hearing before an impartial hearing officer.
A statement(s) of the alleged violation(s)
Advise as to where information or assistance may be obtained, and the
name, address, and telephone number of the Santa Ana LWlA Equal
Employment Opportunities (EEO) Officer who can answer inquiries.
Conduct of Hearing
The hearing shall be conducted in an informal manner with strict rules of evidence
not applicable. Unnecessary technicalities should be avoided. It should provide the
flexibility to enable adjustment to the circumstances presented.
The hearing officer shall have complete independence to obtain facts and
make decisions. The hearing officer shall be in a position to render impartial
decisions and thus should not be subordinate to the Santa Aha LWlA or its
subrecipients. The hearing officer will be selected from a list of names on file
with the EEO Officer.
4
Full regard must be given to the requirements of due process to insure a fair
and impartial hearing.
The hearing office designated by the EEO Officer to function in a quasi-judicial
capacity should begin the hearing by summarizing the record and the issue
and should explain the manner in which the hearing will be conducted, making
sure that everyone involved understands the proceedings. Such explanations
should be adapted to the needs of the specific situation. The hearing officer
might take testimony under oath or affirmation to give some assurance of
veracity to the hearing.
10
The burden of proof should be reasonable and flexible, dependent upon the
circumstances of the case involved. The hearing officer determines the order
of proof. Generally, the party making the complaint has the obligation of
establishing his or her case and should be examined first.
The party involved should have the right to be represented (at their own
expense) if he/he so desires. Other he/she is limited to his/her own abilities
and those of the hearing officer in obtaining testimony in the case.
It is important that the hearing officer obtain the fullest information for the
record. If the parties involved, or their representatives, do not know how to
ask the right or pertinent questions in pursuing their right to due process, it
shall be necessary for the hearing officer to step in to have all the materials
and relevant facts elicited.
The practice in informal hearings is generally not to apply strict rules of
evidence in obtaining facts. However, the quantity of evidence required to
support a decision on an issue should be sufficiently credible that the state (or
other appropriate agency), upon reviewing the decision, would conclude that
the decision is supported by substantial evidence.
The hearing officer should attempt to negotiate a resolution of the issue at any
time prior to the conclusion of the hearing.
Within ten (10) days of the conclusion of the hearing, the hearing officer will
issue a recommended decision to the LWIA for final determination. The
recommended decision shall be in writing and may be accepted, rejected or
modified by the Santa Ana Workforce Investment Board.
Issuance of Decision
Within sixty (60) calendar days of filing of the complaint, the Santa Aha LWIA shall
issue a written decision to all parties by first class mail. The final decision shall
contain the following information:
2.
3,
4.
5.
6.
The name of the parties involved.
A statement of the alleged violation and issues related to the alleged violation.
A statement of the facts.
The decision and the reasons for the decision.
A statement of corrective action, if any,'to be taken.
Notice of the right to request, within ten (10) calendar days of receipt of the
decision, a review of the decision by the State Review Panel.
11
Record of Hearing
An administrative file containing support documents on the complaint resolution
process hearing conducted will be retained by the Santa Ana LWIA. The purpose of
a record is to serve as substantiation of the process followed by the Santa Ana LWIA
on the resolution of the issues and the results. This information would then be
available for subsequent review in the event the matter is raised with the State. Such
records must be retained for a three-year period after the grant has been officially
closed out.
The Santa Aha LWiA's written decision will be included in the record. Evidence
received at the hearing, notes by the hearing officer, stenographer's notes and tape
recordings may also be used.
Establishment of Complaint Procedures
In accordance with Section 667.600, each employing agency including private-for-
profit employers of participants under the Act is required to establish a complaint
procedure for resolving matters relating to the terms and conditions of employment.
Employers may operate their own grievance system or may utilize the Santa Ana
LWIA's established procedures under Section 667.600. At a minimum these
procedures must include:
Written notice, upon enrollment into employment training services, of the scope
and availability of such procedures. Employer's grievance procedures shall be
set forth in a written document and must meet the regulation mandate that a
complaint will be resolved with sixty (60) days from the date the complaint was
filed. A copy of employer's grievance procedure shall be provided to each
participant upon enrollment in employment training,
2. Written notice, at the time the grievance is filed, of the procedures under which
the grievance will be processed.
o
Written notification of the disposition of the grievance and a written decision shall
be issued within thirty (30) days of the filing of the grievance unless a present and
long established grievance specifically provides other limits; and
Written notification of the participant's right to request a review of the employer's
decision by the Santa Ana LWlA and the State Review Panel in accordance with
Section 667.600.
12
IV. Procedures for Handling Complaints at the State Level
Section 181(c) of the Act and the WIA regulations at 20 CFR, Section 667.600(d) requires
the Governor to establish a State Review process of complaints filed at the LWIA grant
recipient level and of complaints initially filed at the State level.
Appeals of decisions issued at the LWiA level including audit disallowances and sanctions
shall be reviewed by the State Review Panel. The State Review Panel shall review the
record established at the LWiA level and shall issue a decision based on the information
contained therein.
Complaints which may be initially filed at the State level will be heard by an independent
hearing officer designated by the State Workforce Investment Division (WID). The hearing
officer shall conduct a hearing and issue a recommended decision to the State Panel. The
recommended decision shall be in writing and may be accepted, rejected or modified by the
State Review Panel.
Form and Filing of Complaint.
1. Request for State Review of LWIA Level Decisions
On receipt of a complainant's request for review because of an unsatisfactory
decision, the State shall provide for an independent state review.
2. Filing of Requests for State Review
The State Review Panel shall review all LWIA level decisions when a request
for review is filed within 10 days of receipt of the adverse decision. Such
requests must be filed in writing with the Chief of the WID Office. The request
for review should contain the following information:
a. Full name, address, telephone number of the party requesting the
review
b. Full name, address, telephone number of the other party
c. A copy of the decision
d. Brief statement of reasons for review or the section of the LWIA
decision to be reviewed including regulatory and statutory citations
e. A statement of the relief sought.
13
Complaintant Responsibility
It is the responsibility of the complainant to include in the request for review a
written statement setting forth the facts presented at the LWIA hearing which
support the requested relief.
The Chief, WlD, shall mail a copy of the request for review to the other party
and to the LWlA. It shall be the responsibility of the LWIA to submit the
complete record including a typed record of the hearing to the Chief, WID,
within ten (10) days.
Conduct of Hearings.
1. Request for Hearing at the State Level
If no decision has been issued at the LWlA level or the State has determined
an audit disallowance or imposed sanctions, the complainant may request a
hearing. The hearing officer will then issue a recommended decision to the
State's Review Panel for final determination.
2. Filing for Request for Review
The request for a State hearing shall be filed within ten (10) days after LWIA
should have issued a decision or ten (10) days after the issuance of the audit
disallowance or sanction. The request shall be filed directly with the Chief of
the WID in writing and should include the following:
Full name, address, and telephone number of the party requesting the
review
Name, address, and telephone number of the LWlA
Copies of complaints made at LWIA level from which no decisions were
issued or sanctions imposed
A statement of basis for the request for hearing.
3. Evidentiary Hearing
Upon receipt of the request for a State level hearing, a hearing before a
designated hearing officer will be scheduled.
14
The hearing will be recorded mechanically or by court reporter.
Both parties concerned will have the opportunity to present oral and written testimony
under oath, to call and question witnesses in support of his/her position, to present
oral and/or written arguments, to examine records and documents relevant to the
issue(s), and to be represented.
The hearing officer shall issue a written decision, which shall be forwarded to the
State Review Panel for final determination.
The State Review Panel may accept, reject or modify this recommendation. The
decision of the State Review Panel is final except for audit disallowances, which must
be approved by the Secretary of Labor.
C. State Review Panel
The State Review Panel will consist of a panel of three representatives from the
Employment Development Department: one from the Legal Offices, one from the
WlD, and one from the Director's office. The panel will issue a written decision,
which will be sent to the appropriate parties within thirty (30) days of receipt of the
request for State review.
Decisions issued by this panel, under the authority of the Governor, are final.
D. Issuance of State Review Decision.
The State review will be limited to violations of the WlA, implementing WlA
regulations or the grant agreement. This review shall be limited to the record
established at the LWlA hearing.
V. Procedures for Handling Discrimination Complaints by Participants
Ao
Complaints on the basis of race, color, or national origin, age, sex, religion, political
affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within
180 days of the alleged occurrence.
It is the responsibility of the Santa Ana LWIA's Equal Employment Opportunity
(EEO) Officer to determine jurisdiction and to make the complainant aware of
and provide assistance in filing a complaint in accordance with the Santa Aha
LWIA's procedure under Section II (A).
15
No later than 180
days of alleged __
discrimination
Handling of complaints filed at LWIA level arising in
connection with WIA programs operated by LWIAs
Informal Resolution Process
Filing of Complaint / Request for Hearing
Notice of Hearing issued by LWIA
Hearing Conducted
LWlA Decision within 60 days
Within lO days of
receipt of
unsatisfactory
decision or JO days
from date L
decision should have
been issued
Unsatisfactory Decision or LWIA Decision not
issued within 60 days
for State Review
Request
Governor's Decision issued by State Review
Panel
If no decision issued by State Review Panel
Appeal to DOL
In cases where areas of authority overlap, it is the responsibility of the EEO
Officer to advise the complainant of the existence of State, Federal and other
proper action agencies, which may also have a bearing.
Complainants alleging discrimination under this part will be made aware of
their right to file directly with the Office of Civil Rights (OCR), U.S. Department
of Labor and applicable procedures.
Complainants must file their complaint directly with:
Lydia H. Morgan
EEO Officer
Santa Ana Local Workforce Investment Area
1000 E. Santa Ana Blvd., Suite 200
Santa Ana, Ca 92701
VI. Procedures for Handling Handicap Complaints by Participants
Complaints alleging discrimination on the basis of handicap will be filed and processed
under the Department of Labor regulations implementing Section 504 of the Rehabilitation
Act of 1973 at 29 Code of Federal Regulations Section 32.
Complaints must exhaust the Santa Ana LWIA's informal resolution
procedures before filing their complaint with OCR.
Complainants will be made aware of the 180 days requirement in which to file
his/her complaint.
A. Procedures at the LWIA Level
The complainant shall file his/her complaint directly with the Santa Ana LWIA.
Upon receipt of the complaint, the EEO Officer shall investigate and gather
information concerning the complaint.
An informal conference will be held with the parties concerned in an effort to
resolve the issue(s). The complainant has the right to be present and may be
represented during the conference.
The Santa Ana LWIA shall issue in writing its decision to the complainant no
later than thirty (30) days after the filing of the complaint.
16
B. Procedures at the State Level
The complainant may appeal to the State if he/she is not satisfied with the
decision of the Santa Aha LWIA.
The Complainant must file his/her appeal as a request for review directly with
the Chief WlD within ten (10) calendar days after the receipt of the Santa Aha
LWlA's decision.
=
The Chief-WID, shall issue a decision no later than thirty (30) calendar days
after receipt of the request for review.
=
After the complainant has received a decision or no decision has been.
received from the Director of Employment Development Department (on
behalf of the Governor), the complainant has the right to appeal his/her
complaint within thirty (30) calendar days to the Office of Civil Rights (OCR)
with the Department of Labor.
17
No later than 180
days of alleged __
discrimination
Filed within 30
days of
L WIA/State
Decision or 90 --
days from date of
initial filing of
complaints
Filing of complaint on the basis
Of Handicap with LWlA
Informal Resolution
If no resolution reached
Request for Hearing
Notice of Hearing
Hearing Conducted
LWIA Decision
Unsatisfactory Decision or No Decision
State Review
Governor's Decision
Appeal to Assistant Secretary
Department of Labor
Day 1
Day/45 Day
60 Days
GLOSSARY OF WIA TERMS
AGE DISCRIMINATION ACT ~ A law passed by Congress in 1975 which prohibits discrimination
on the basis of age by any program or activity receiving Federal funds.
APPLICANT - An individual who applies to a subrecipient or contract for services provided under
WIA and who has no yet transitioned to the status of participant.
ASSESSMENT - Services designed to determine each participant's employability, aptitudes,
abilities and interests and to develop a plan to achieve the participant's employment and related
goals; also to identify the available employment and training activities appropriate for the
participant. Testing and counseling may also be used during the assessment process.
CHARGING PARTY (CP), COMPLAINANT, GRIEVANT, OR AGGRIEVED PERSON - The
person who charges that he/she has been discriminated against under Department of Justice
nondiscrimination and civil rights regulations and/or guidelines.
DISCRIMINATION - in general, a failure to treat all equally, whether intentional or unintentional;
the effect of an action, policy or practice which selects an individual or class of persons to receive
unequal treatment.
ELIGIBLE NON-CITIZEN - Lawfully admitted permanent resident, aliens, lawfully admitted
refugees, and parolees and other individuals authorized by the Attorney General to work in the
United States.
EMPLOYER - An employer subject to the provisions of the Civil Rights Act of 1964, as amended,
including state and local governments and any Federal agency subject to the provisions of Section
717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by
Executive Order 11246, as amended.
GRIEVANCE - An allegation that something imposes an illegal obligation or burden or denies
some equitable or legal right, or causes injustice.
HANDICAPPED INDIVIDUAL - Any individual who has a physical or mental disability that
constitutes or results in a substantial handicap to employment.
18
INTAKE - Includes screening to determine eligibility; to select from eligible applicants those
individuals who are most in need and can benefit from program services; to complete procedural
requirements necessary to enroll an individual into the program and to refer those not enrolled to
other programs.
JOINT COMPLAINT - A complaint of employment discrimination covered by Title VII or the Equal
Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC
unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in
employment and other practices and pattern or practice "joint complaints" are normally investigated
by OCR.
JURISDICTION - Authority to investigate and resolve complaints against an institution subject to a
law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc.
PARTICIPANT - Any applicant who has: (1) Been determined eligible for participation upon intake;
and (2) Who is receiving subsidized employment, training or services (except post-termination
services) funded under the Act, following intake, except for an individual who receives only
outreach and/or intake and assessment services.
19
EXHIBIT D
CERTIFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTRACTS, GRANTS, LOANS
and COOPERATIVE AGREEMENTS
The undersigned certifies, to the best of his or her knowledge and belief, that:
1)
No Federal appropriated funds have been paid or will be paid, by or 'on behalf
of the undersigned, to any person for influencing or attempting to influence
an officer or employee of an agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in
connection with the awarding of any Federal contracts, the making of airy
Federal grant, the making of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal,
amendment or modification of any Federal contract, grant, loan or
cooperative agreement.
2)
If any funds other than Federal appropriated funds have been paid or will be
paid to any person for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with this
Federal contract, grant, loan or cooperative agreement, the undersigned shall
complete and submit Standard Form - LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
3)
The undersigned shall require that the language of this certification be
included in the award documents for all subawards at all tiers (including
agreements) and that all subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was
placed when this transaction was made or entered into. Submission of this
certification is a prerequisite for making or entering into this transaction imposed by
31 U.S.C. 1352. Any person who fails to file the required certification shall be
subject to a civil penalty of not less than $10,O00 and not more that 9100,000 for
each such failure.
Santa Aha Unified School District
G rantee/Co htr acto r,~iz, a, tio n
Donald A. Stabler, Ed,D.
WIA Youth
EXI{IBIT E
Certification Regardinq Druq-Free Workplace Requirements
The certification set out below is a material representation upon which reliance is placed by the
U.S. Department of Housing and Urban Development in awarding the grant. If it is later
determined that the contractor knowingly rendered a false certification, or otherwise violates the
requirements of the Drug-Free Workplace Act, the U.S. Department of Housing and Urban
Development, in addition to any other remedies available to the Federal Government, may take
action authorized under the Drug-Free Workplace Act.
CERTIFICATION
A. The contractor certifies that it will provide a drug-free workplace by:
(a)
Publishing a statement notifying employees that the unlawful manufacture,
distribution, dispensing, possession or use of a controlled substance is prohibited
in the contractor's workplace and specifying the actions that will be taken against
employees for violation of such prohibition;
(b) Establishing a drug-free awareness program to inform employees about-
(1)
(2)
(3)
(4)
The dangers of drug abuse in the workplace;
The contractor's policy of maintaining a drug-free workplace;
Any available drug counseling, rehabilitation, and employee assistance
program; and
the penalties that may be imposed upon employees for drug abuse
violations occurring in the workplace;
(c)
Making it a requirement that each employee who will be engaged in the
performance of the grant be given a copy of the statement required by paragraph
(a);
(d)
Notifying the employee in the statement required by paragraph (a) that, as a
condition of employment under the contract, the employee will -
(1)
(2)
Abide by the terms of the statement; and
Notify the employer of any criminal drug statute conviction for a violation
occurring in the workplace no later than five days after such conviction.
(e)
Notifying the U.S. Department of Housing and Urban Development within ten days
after receiving notice under subparagraph (d)(2) from an employee or otherwise
receiving actual notice of such conviction;
Pg. 2
(f)
Taking one of the following actions, within 30 days of receiving notice under
subparagraph (d)(2), with respect to any employee who is so convicted -
(1)
(2)
Taking appropriate personnel action against such an employee, up to and
including termination; or
Requiring such employee to participate satisfactorily in a drug abuse
assistance or rehabilitation program approved for such purposes by a
Federal, State, or local health, law enforcement, or other appropriate
agency;
(g)
Making a good faith effort to continue to maintain a drug-free workplace through
implementation of paragraphs (a), (b), (c), (d), (e) and (f).
The contractor shall insert in the space provided on the attached "Place of Performance"
form the site(s) for the performance of work to be carried out with the grant funds
(including street address, city, county, state, and zip code), the contractor further
certifies that, if it is subsequently determined that additional sites will be used for the
performance of work under the contract, it shall notify the U.S. Department of Housing
and Urban Development immediately upon the decision to use such additional sites by
submitting a revised "Place of Performance" form.
Program Operator
Donald E. Stabler, Ed.D.
DMSION OF EMPLOYMENT SERVICES
PLACE OF PERFORMANCE
FOR CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS
Tony Dalessi
Santa Aha Unified School District
Name of Contractor:
Contractor Number:
Date: June 3, 2002
A2002-090
The Contractor shall insert in the space provided below the site(s) expected
to be used for the performance of work under the contract convered by the
certification:
Place of Performance (include street address, city, county, state, zip code
for each site):
ROP Ritchey Center
1815 S. Ritchsy~St., Bldg. 1-A
Santa Aha, CA 92705
Various high schools throughout the district
EXHIBIT F
BUDGET NARRATIVE
A~'I?ACHMENT C
BUDGET PLANNING FORM
Match/In
Admlnlstrative Program Total WIA Kind
Personnel
Salaries" ~ $ 16,800.00 ~$157,985,00i ~/$174.78~.00 $ 40.000.0(
Benefits ~ 1.480.00: ,~, lr450.00.. 35,150.0(
Other (list)*
Total Pcrsoancl $ 16,800,00 $1S9,465,00 $176,265.00 $ 75,150.0C
Operating Expenses
Rent or user fee* $ 10.O00.0C
Utilitie.~ 2,500.0(
Phones 750.0C
Interact £ees
Parking fees
Security
Maintenanc~ 1,250.~
Insurance
Equipment*
R~otal fees
Purchase
Vehicl~ lease charges
(vehicles may not Ix:
_ purchase)
OFfice cxp~nscs
(consumables} 200.00
Accounting Services 750.00
...Legal service,
Auditing serv;ces 500.00
Indirect costs
(at,ach indircct cost
rate
Staff t.raining __
Staff travel/mileage ,, $ 1,000.00 $ 1~000.00
.,. Customer Training*
Support services*
. Profit (for profits only)
Other (list)* $ 9,.475100 $
Total OFeratingExpenses $ 1{1t475.00 $ 10A75.00 $ 16,700.00
GRAND TOTAL
Total Personnel + Total
Operariug Expenses} ,.. $ 16,800 $169t940.00 $186,740.00 $ 91,850..00
* attach a separate sheet detailing these costs
2002/03 In-School Youth Program
Detailed Budget Information for
Lead Agency: Santa Ann Unified School District
Collaborating Agencies:
Career Beginnings of Orange County
Camo ..Tz~
Admin. Sup. Set; Dir. ,ger. Total
SALARIES
Certified salaries
Program Operations
.8 WIA Prgm. Spec. $1o.8oo
CBOC Operations (Oprtns. Spec.350 hfs {~ $36.50/hr)
Classified salaries
Program Operations
.9 WIA Comn~. . Spec.
Student Paid Internships & Student Summer
Employment (6,250 hours @ $6.75/hr)
$28,745 ....... ~4t.080 . $ 71,295
12, 775 .......... 12,775
84,070
17,45§ .......... 31,090 ...... 48,525
42,190 ....... 42.190
90,715
11. OTHER OPERATING EXPENSES
Books, Office Supplies, Etc.
Office Supplies;'postage, printing, etc.
Operational Instructional Supplies (including summer); o
Contracted Services & Other Operating Expenses
Field trips/Meals/Snacks/Admissions, etc.
Instructional, Guidance and Leadership Consultants/Services;
1,000 ................ 0 .............. 1,000
2,750 ........... 2.750
3,750
2,350 ........... 2,350
9,475
EXHIBIT G
PERFORMANCE STANDARDS
IX]
[]
YOUTH PROGRAMS
In-School Youth
Out-of-School Youth
Name of Organization:
Santa Ana Unifi~.d School District
Contract #: ~
Program Year: May 17. 2002 - ,JHn~ 30 2002,
Contract Amount: $186.740
# of Participants Enrolled: 3§
Performance Standards for Youth ages 16-18:
Skill Attainment Rate:
Diploma/Equivalent Attainment Rate:
Retention Rate:
Customer Satisfaction Rate:
Participants:
Employers:
Performance Standards for Youth ages 19-21:
Entered Employment Rate:
Employment Retention Rate:
Earnings Gain:
Credential Rate:
Customer Satisfaction Rate:
Participants:
Employers:
77%
75%
66%
66%
64%
Cost per Participant: $5 335
Exhibit H
Contractor agrees that in addition to those agreements and obligations specified in the
contract boiler plate, program narrative and statement of work, they will also adhere to
and obey the following provisions, assurances, and certifications.
ARTICLES
1)
2)
4)
5)
Contractor assures and certifies that where applicable, classroom training
instructors are properly credentialed, and training curriculums comply with State
Education Codes.
Contractor assures and certifies that any requested modification to this agreement
must be submitted in writing, explaining requested changes and rationale.
Contractor further assures that no modification will be implemented without prior
written approval from the Santa Ana Local Workfome Investment Area's Board.
Contractor assures and certifies that they are in good standing with the California
Secretary of State Franchise Tax Board and Internal Revenue Service. Any
change in corporate status or suspension shall be reported immediately to the
CITY.
Contractor agrees to cooperate with any monitoring, inspection, audit, or
investigations of activities related to this agreement as may be scheduled and
conducted by the Santa Ana Local Workforce Investment Area's Board.
Contractor assures and certifies that it will maintain and abide by the Santa Ana
Local Workforce Investment Area's Grievance Complaint Procedures in its
entirety as included here in Exhibit C. All contractor's publications and
advertisements shall include the phrase "An Equal Employment and Training
Opportunity Organization".