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HomeMy WebLinkAboutSAUSD 6 - 2002Contract No. A2002-091 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 California ("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 Workfome 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"). California 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: Page 1 of 14 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 Out-of-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 WIA", 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 Page 2 of 14 those laws, including, but not limited to, 29 CFR part 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance. H. CONTRACTOR agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. I. CONTRACTOR agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of CONTRACTOR'S services or activities, costs or other data, including but not limited to, participants' attendance, payroll records and job duty statements. CONTRACTOR agrees to forward to the WIB Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California 92701 a completed Workforce Investment Act Enrollment/Registration form (WIA EWlE) 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 California and the United States govermnent and/or their representatives shall have access for purposes of monitoring, auditing and examining of CONTRACTOR'S activities, performance, books, documents, papers, and records of CONTRACTOR subcontractors, bookkeepers and accountants, and employees and participants related to this Agreement. Such agencies or representatives shall also schedule on-site monitoring in their discretion. Monitoring activities may also include, but are not limited to, questioning employees and participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of CONTRACTOR are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. In the event CONTRACTOR does not make the above-referenced documents available within the City of Santa Ana, California, CONTRACTOR agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. All accounting records and evidence pertaining to all costs of CONTRACTOR and all documents related to this Agreement shall be kept available at 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 (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. J. Without prejudice to any other section of this Agreement, CONTRACTOR shall, where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements of federal and state law. Notwithstanding the foregoing, CONTRACTOR agrees to submit to CITY, the State of California and/or the United States Government or their representatives, all records requested for administrative purposes, including Page 3 of 14 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 WIB Administrative Office, 1000 East Santa Aha Blvd., Suite 200, Santa Ana, California, 92701, by the tenth (10th) day of the month following the month in which CONTRACTOR'S services are performed. Should CONTRACTOR fail to deliver said documents to CITY, CITY shall have the option to cancel this Agreement by giving CONTRACTOR ten (10) days written notice thereof. CONTRACTOR shall either return to the CITY excess revenues over costs or use such excess revenues as program income by utilizing such program income for additional training activities authorized under the Act. L. CONTRACTOR agrees to expend all funds in accordance with all applicable 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 oft'raining 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 drug-free work place and to execute a certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference. Page 4 of 14 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 _Fort,/Eight Thousand Eight Hundred and no/100 Dollars ($48,800.00) for CONTRACTOR'S performance in accordance with the payment 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. IlL 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 Attorney. IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. Page 5 of 14 Vo 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. Department of Labor and the Controller General, by and through any authorized representative, as well as the WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three-year period from and after the effective date of this Agreement. 5. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any application for participation in such program because of race, creed, color, national origin, sex, political affiliation or beliefs. Page 6 of 14 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 pumhased 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 irmnediately 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, chumh 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 chumh and state. 11. PATENT, COPYRIGHTS AND RIGHTS 1N 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 them 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). Page 7 of' 14 (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 Workfome Investment Board (WIB) shall have a royalty-free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub-grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a CONTRACTOR pumhases 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 $100,000, CONTRACTOR must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental Protection Agency ("EPA") regulations (40 CFR Part 15) as any may now exist or be hereafter amended. Under these laws and regulations, the CONTRACTOR assures that: (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. C. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT: 1. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This Agreement will be administered in an impartial mariner, 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. Page 8 of 14 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 (WIB), a permanent record of the transaction will be retained. 5. Avoidance of Conflict of Economic Interest. No executive or employee of CONTRACTOR elected official in the area, or voting or non-voting member ofa WIB, will solicit or accept money or any other consideration from a third person, for the performance of an act reimbursed in whole or part by CONTRACTOR or CITY. Supplies, materials, equipment or services purchased with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No voting member of the WlB 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. Page 9 of 14 VIII. INSURANCE 1. Commercial General Liability. CONTRACTOR agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial public liability insurance insuring the State of California, CITY, and CONTRACTOR against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence. Said policy of comprehensive public liability insurance shall be endorsed to provide to CITY and to the State of California, Employment Development Department, at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, and the State of California, its officers, employees, and volunteers as additional 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, thefi, 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. Page 10 of 14 IX. CORPORATE STATUS All corporate CONTRACTORS shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in corporate status or suspension shall be reported immediately to CITY. X. ASSIGNABILITY None of the duties of, or work to be performed by, CONTRACTOR under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY. CONTRACTOR must submit all subcontracts and other agreements that relate to this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of CONTRACTOR pursuant to this Agreement. XI. LAWS GOVERNING THIS AGREEMENT In its performance under this Agreement, CONTRACTOR shall fully comply with the requirements of the following, whether or not otherwise referred to in this Agreement: 1. The Act and all applicable federal statutes, regulations, policies, procedures and directives, including but not limited to, 20 C.F.R. Parts 652 and 660 through 671. 2. All applicable State statutes, regulations, policies, procedures and directives; 3. All applicable CITY policies, procedures and directives; 4. All applicable local ordinances and requirements, including use permits and licensing; 5. Court orders applicable to its operation; and, 6. The terms and conditions of this Agreement. If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with such or will notify CITY after enactment or modification that it cannot so comply. CITY may thereupon terminate this Agreement, if necessary. XII. EXCLUSIVITY AND AMENDMENT OF AGREEMENT 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 arc not Page 11 of 14 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 conceming 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 California to CITY. If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify CONTRACTOR. Within twenty (20) days of receipt of such notice, CONTRACTOR shall modify or cease operations as directed by CITY and negotiate necessary modification to this Agreement and/or reimbursement of costs incurred hereunder. XV* 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 Page 12 of 14 to this Agreement, or if CONTRACTOR reports inaccurately or if any Audit Report makes disallowances, CONTRACTOR shall promptly remedy its acts or omissions and/or repay CITY all amounts due CITY as a result of CONTRACTOR's violation. For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such time as CONTRACTOR fulfills its obligations or remedies all violations of this agreement or prior agreements; and/or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice CONTRACTOR has failed to repay same or a repayment schedule has not been made; and/or (3) terminate this Agreement by giving written notice to CONTRACTOR of such termination in accordance the notice provision in Paragraph XVIII herein below. XVIII. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: CITY: City of Santa Ana Manager, WIB Administrative Office 1000 Santa Ana Blvd., Suite 200 Santa Ana, CA 92701 telefacmilie (714) 565-2602 CLERK: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Aha, 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 telefacsimile (714) 566-8496 of the parties. stated herein. ~X. 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. XXI. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and 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. 1N WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above-written. ATTEST: Patricia E. Healy Clerk of the Council CITY OF SANTA ANA, a municipal corporation of the State of California "CITY" By: ~~~ David N. Ream City Manager APPROVED AS TO FORM: Joseph W. Fletcher City Attorney Lisa E. Storck Assistant City Attorney Santa Ana Unified School District Donald A. ~tabler, Ed.D Business Services RECOMMENDED FOR APPROVAL: John ~. Reekstin, Executive Director Community Development Agency Page 14 of 14 EXHIBIT A PROGRAM NARRATIVE WIA §129(c)(2) Program Elements Summary; Out-of-School Youth Lead Agency Lead Agency Collaborative Primary Activities/ Program (WIA funds) Funded Service Agency Service Documentation Element (no WIA funds) (WlA funds) A) educational N/A N/A N/A N/A activities leading to high school graduation B) alternative N/A N/A N/A N/A secondary school services C) directly linked Santa Ana Unified Santa Aha Unified N/A Summer employ~nent/ summer School District School District employment Participant payroll opportunities records D) paid/unpaid Santa Ana Unified Santa Ana Unified N/A ROP course internships/ work experiences School District School District Participant payroll records E) occupational Santa Ana Unified Santa Aha Unified N/A ROP course(s)/ skill training School District School District ROP Certificates and/or student records F) leadership N/A N/A N/A N/A development G) supportive Santa Aha Unified Santa Aha Unified N/A Transportation, etc./ services School District School District Student record sand/or participant's ISS H) adult N/A N/A N/A N/A mentoring activities I) 12 months + Santa Aha Unified N/A N/A Monthly phone and/or follow-up School District mail contacts/ services Participant~ ISS J) comprehensive N/A N/A N/A N/A guidance & counseling Pursuant to the WIA and Santa Ana Workforee Investment Board requirements set forth in the RFP for this application, the I0 potential Right Start/participants will meet both current low- income eligibility and "rieht-to-work" standards and also be identified as havine: one or more of the followine: barriers to employment: · Their basic literacy skills (reading and/or math) am 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; · 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 WlA Program pre-application; They live in a "high crime area" as designated by the Santa Aha 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 Aha Unified School District to refine and implement the Right Start! program. MAIN PURPOSE OF THE RIGHT START[ PROGRAM As the local public school agency for well over 100 years, the Santa Ana 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 Right Start! program will benefit from the program by receiving an array of services to help them successfully complete their entry level career training and assist them with their transition to the dual spheres of higher education and the world-of-work During the yearlong program, participants will meet on a regular basis with program staff when the ROP is in session. It is planned that these contacts will be between two to four times per month. The ROP courses in which the Right Start! participants are enrolled for their training will last from 135 to 360 hours depending upon the course in which they are enrolled. With respect to adult/participant ratios for Right Start!, 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 ~O work direc lt~ with the ?rticipants ~nd the third ~ foc~us pr marilv on. o~:ficp ope ¢tinn'<.f. or the prozram (th s third person will he. flmdecl in part .b_.y_._CCBOC~and the WIA Or,t-of-School Ygnth program). Other adult/participant contact will occur as the WIA staff work with individual participants in job placement, payroll, academic advisement and other similar situations. RIGHT START.t PROGRAM DESCRIPTION PROGRAM OVERVIEW The following pages outline brief program descriptions are based on the five selected WIA elements addressed by 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 goal for the Right Start! participants: 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 Right Start! program's target population of out-of-school youth participating in ROP programs will be initiated at the end of the spring semester of the 2001/02 school year. The program design outlined below then calls for servicing the participants with a program that also includes summer 2002. The Right Start! program will focus on serving participants who have expressed an interest in several career pathways; Business & Marketing, Science & Technology and/or Health, Human Services. The following chart displays examples of factors illustrative of the recruitment target population that the WIA staff will use: Resident of the City of Santa Aha; · 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. Experience with prior JTPA programs has taught that the recruimqent and enrollment process is almost always more difficult and time consuming than originally anticipated. That is why this portion of the program design element of this proposal begins with this component. All the best intentions for delivering a high quality program can not be fulfilled if there are no participants! Staff from the Santa Aha Unified School District will work collaboratively with the WIA/Santa Ana W/O/R/K Center personnel on the Service Navigation team to facilitate and expedite the selection, recruitment, and enrollment procedures. Actual enrollment will be on a "first-come, first-served" basis with respect to when students submit their required documentation. ROP teachers and other staff working with the Right Start! program will 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 on the Service Navigation team 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 enrolhnent of the I0 proposed participants. In actuality, 9 the recruiting period is slightly less than two months which, based on prior experience, is certainly not too long. Given the WIA 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 CT1V1TIES May 11,2002 May 11,2002 May 11,2002 May 11, 2002 to to to to June 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 screenh~g Assessment parents to individual and by ROP and WIA begins when teacher group meetings 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 enrolhnent Addresse& with ROP staff alternative processes academics to provide help placement attendance with enrolbnent grades hfftiate formal extra curricular self referral school meetings career training ~ for recruitment Types of Test or Send information Procedures to be to Parent Use& for Consent CASTS data for STAR9 olntakeand assessment for the Right Start!! program participants will take place in conjunction with. the enrollment process. Initial p.,aj'ticipant program goals will be submitted within 30 days f notice by the W/O/R/K Center Service Navigation team that the participant is enrolled. hould current (with in two years) test scores not be available, participants will be given the ABE 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 Right Start! program; e.g., in the area of support services, the need for transportation assistance or childcare will be reviewed on a regular basis. 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 support of the W/O/RJK 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 10 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 WlA Right Start! program will maintain overall responsibility for the objective assessments and ISS forms. The assessments will be accomplished either at the ROP Ritchey Center. 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 Right Start.t staff with the W/O/R/K Center Service Navigation team wiI1 be dealt with when the occasion arises With respect to parent involvement, initial contact with parents (if any) is normally made during the enrollment process. The WIA Right Start! Community Resource Specialist will make home telephone and/or home visits during the course of the program year; however as some Right Start! participants are adults living on their own, there may little if any contact and/or involvement with their parents. 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. 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 five WIA program elements addressed by this program. Based on the objective assessment data used in the eligibility process along with other similar school-based data and information, the Right Start! 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 have access to paid internship and summer work. RIGHT START! PROGRAM QUALITY ELEMENTS ELEMENT #1: An effective academic support system ef the participants' educational activities leading to high school graduation. Right Start! participants in this WIA Out-of-School Youth program will have access to a basic academic component which will focus on the unique needs of each participant-both in terms of academic support and in fulfilling desires to complete high school graduation or GED requirements. Those in need of tutoring will be referred to ongoing tutorial programs at adult education, local community based organizations and/or Santa Aha College. Other tutorial referrals may be made to the student services facility at he ROP Ritchey Center. While WIA funds were not used to equip this center which opened duriag the 2001/02 school year, some WIA funds could be used for instructional supplies to support the identified academic needs of Right Start! participants. The guidance component of this program will also stress acquisition of a high school diploma and or post secondary training if needed by individual clients. ELEMENT #2: Provision of access to appropriate alternative secondary school services if iteeded to facilitate graduation on schedtde. The Right Start! program staff will carefully monitor each pal'ticipant's progress toward the attainment of both any chosen academic goal along with their work readiness & occupational skills and employment goals. When necessary, participants will be directed to alternative I1 programs both within the public school system 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 Ana college's Adult Education Programs and the Orange County Department of Education's two alternative programs; Horizon and Summit. Placement in alternative educational settings for the purpose of facilitating placement and retention in a post secondary educational setting will also be a key element of this aspect of the Right Start/program. 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. ELEMENT #3: Access to directly linked sumtner employment opportunities. The Right Start/Program will directly provide access to a paid summer work experience that is specific to each participant's career pathway. Via ROP coursework, this employment will be related to basic pre-employment skills training related to both their paid work experience environment and their educational & career goals. Whenever possible, the internship component of that ROP course will be expanded into their paid summer employment so that they can experience the rea~l 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. Actual employment will be through the District with monthly time cards and student employee payroll data serving as documentation for the paid summer employment segment of the program. ELEMENT #4: Opportunity for each participant to participate irt paid attd/or unpaid internships or work experiences. This element of the Right Start! program is modeled after a collaborative program between the Santa Ana Unified School District and the Private Industry Council of Santa Ana. That program which was known as the "School-Workplace Internship Program," served high school participants aged 16-20 who attend Santa Aha high schools and/or Regional Occupational Program (ROP) classes. Right Start! participants will be given the opportunity to enhance their experience in the program with paid or non-paid internships (work experience) opportunities for eligible students that offer: ~ viable paid workplace internships which provide appropriate work-based learning opportunities; ~ strengthened comprehensive local community partnerships; and, ~ improved non-traditional employment opportunities for WIA eligible students. These work-based learning and connecting activities for the Right Start/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 cards 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 out-of- school participants by ilnplementing appropriate assessment activities that focus on specific employment/employability competencies. These include resumes, job applications, bilingual medical/clerical proficiencies, job search 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 12 (CCROP) and District facilities working within existing class schedules & space utilization to eliminate any potential impact on regular programs at secondary sites. ELEMENT #5: Access to an effective program of occupational skills training. The overall approach of the Santa Ana 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 OccupationaI Program (CCROP), local WIA (Right Start, the Chamber of Commerce, the City of Santa Aha and local business and community-based organizations. The cornerstone of all of this is the ROP as it is the District's vehicle for providing appropriate, timely and effective entry level training. ROP classes will provide participants with the means to prepare for entry-level employment, receive elective credit toward graduation, enter a career pathway, 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 Right Start.t participants is the fact that these courses are offered not only at the ROP's Ritchey Center, but also on high school campuses throughout the District. Transportation is available at no cost for late afternoon courses and courses are also available in the evening and on Saturdays. Participants in Right Start/will be given priority registration for ROP courses during their time in the program-including the twelve-month follow-up period. ELEMENT #6: Provision of a support plan that affords participants with leadership development activities as an integral part of their total program experience. This standard like Numbers 1, 2 and 8, is not a direct service of the Right Start/Program. However, it should be noted that leadership techniques are a part of traiuing that students-both high school and adult-receive in their ROP courses. Also, the whole concept of "customer service" is a key element of the 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, etc. These "soft skills" will be highlighted throughout each participant's experience in the Right Start! Program as they play such a key role in each participant's future employment history ELEMENT #7: Provision c~/' a support plan that affords participants with appropriate supportive services when needed to facilitate their successful completion of the program. One of the key components of the Right Start/program will be the degree of support provided to each participant. Transportation to ROP training classes and summer work sites will probably be the most common example of support services. However, via the ROP's Community Advisory Committee and the Assistance League of Santa Ana, participants will have access to appropriate 13 work site clothing when needed. The resources of the District's Teen Parent program will be brought to bear should a participant have to address such issues as childcare, parenting, etc. As adults, Right Start.t Participants may have other needs such as ongoing childcare, medical, dental, etc. that can be addressed through referrals from W/O/R/K Center, EDD or other One- Stop staff. This element of the program will depend upon a close relationship between these support service agencies and the ROP staff working with the Right Start! Program. These services for adults will coordinated through the ROP's CTS Center which is staffed with not only a part time Cai-WORKS counselor, but also a full-time Cai-WORKS Specialist. Working in collaboration with these other agencies, young adult participants in Right Start! will be afforded the appropriate support services during the time they are formal program participants (including the 12-month follow-up period). ELEMENT//8: Art effective adult mentoring program designed to complement and ensure attainment of the program's goals for graduation, enrollment in higher education and acquisition of basic career skills. This is not a formal part of the Right Start! program. When possible, referrals to mentoring programs for young adults will be made. Two of the proposed collaborators in the District's RFP for an In-School Youth program have had extensive experience with adult mentoring programs and their knowledge will be tapped when appropriate. ELEMENT #9: An efficient and effective delivery system for twelve months of follow-u£ services. Note: the fo~owing activities are also applicable to prior ~ participants from the 2001/02 prognm~ Evaluation and its required data gathering activities will take place throughout the project year on an ongoing basis. As indicated previously, the process for the 12-month follow-up services will be finalized during the initial few months of the project. The recruited and enrolled participants will be in the program until their successful completion of training and positioning in unsubsidized employment. The Right Start! staff will continue to monitor school and work attendance with students after they exit from the program. All those associated with the project will highlight the importance of daily attendance; whether it is for educational or work purposes. The staff of the District has 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 preeminent outcome goal of Right Start! program is the participants' progress toward careers that will be realized by employment or progression into postsecondary education. Right Start! 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 main contact for specific data collection was outlined above. 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 WIA 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 DevelopmenffROP staff have close relationships with both programs and staff at Santa Ana College; those Right Start! participants who attend that institution will also receive extra support and attention during the twelve-month period as a result of these relationships. 14 ELEMENT # 10: Access to and provision of a comprehensive array of guidance and counseling support activities that focus improving student performance and achievement. Project services for Right Start.t participants that involve this final standard have been partially addressed in several of the other standards, particularly those dealing with leadership development and supportive services. Direct access to a Cai-WORKs counselor, a job training assistant and the other Right Start! staff will be an integral part of the activities in this component of the project. Augmented by the services of other Youth Service Provider Network members, this portion of the project will afford participants with comprehensive guidance and counseling services that far exceed those that they can normally access as an out-of-school youth. These staff members will also be available outside the regular school day thus making them available at times when these at-risk young adults 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 Right Start.t 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. This aspect of the program would also be the main method for tracking each participant's progress towards the basic goals of the Right Start! program. 15 CD Z 0 Z 0 z 0 © cq Z Z .< 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 ........................................................................ i .......... 4 4. How to File Your Complaint ............................................................................................... 5 B. Criminal Complaints .............................................................................................................. 6 II. General Procedures for Handling Non-Criminal Violations of the Act ....................................... 6 Ill. 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 Workfome Investment Area (LWIA) will establish programs to prepare youth and unskilled adults for entry into the labor rome and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing WIA, all contractors in the Santa Ana LWIA will foster equal opportunity and non-discrimination, as provided in State and Federal equal opportunity and non-discrimination laws including, but not limited to: · Title VI of the Civil Rights Act of 1964 · Title VII of the Civil Rights Act of 1964 · The Age Discrimination Act of 1975, as amended · Section 503 of the Rehabilitation Act of 1973 · Section 504 of the Rehabilitation Act of 1973 · Title IX of the Education Amendments of 1972 · Section 188 of the Workforce Investment Act of 1998 In keeping with our commitment, no individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIA funded program because of race, color, religion, sex, national origin, age, handicap, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIA shall be open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfuIly 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 Aha 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. 3 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 Aqe 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, co~or, 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 a~leged occurrence. These complaints must be filed directly with the WlA administrative entity. The WIA administrative entity shall issue a written decision within 30 days of the fi~ing 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 Civi~ Service Commission, the Equal Employment Opportunity Commission, and many other offices and agencies are committed to assuring equa~ employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INVESTMENT ACT Santa Ana Local Workforce Investment Area 1000 E. Santa Ana Blvd., 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 crimina~ activity shall be reported directly and immediately to the City of Santa Aha 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 compfaints 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 6 procedures do not restrict the LWlA 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: 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 hy 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 reqarding terms and conditions of employment of an,/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 Complainants must initially file and exhaust LWIA grant recipient/hearing procedures prior to appealing to the State except where the State determines that the LWlA 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 WlA 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 Aha 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 Aha 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 Ana 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 LWIA 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 Ana LWIA or its subrecipients. The hearing officer will be selected from a list of names on file with the EEO Officer. 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 (1 O) 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 Aha Workforce Investment Board. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWlA 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 LWlA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three-year period after the grant has been officially closed out. The Santa Ana LWIA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. 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 relafing 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. 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 LWIA 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 1. and Filing of Complaint. 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. 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 WlD 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 LWlA 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 LWIA. It shall be the responsibility of the LWlA 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 LWIA 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 WlD 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 LWlA 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 WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. Decisions issued by this panel, under the authority of the Governor, are final. 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 LWIA hearing. V. Procedures for Handling Discrimination Complaints by Participants 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 Ana LWlA'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 LWlAs Informal Resolution Process Filing of Complaint / Request for Hearing Notice of Hearing issued by LWIA Hearing Conducted LWIA Decision within 60 days Within 10 days of receipt of unsatisfactory decision or 10 days from date L WIA decision should have been issued Unsatisfactory Decision or LWIA Decision not issued within 60 days Request for State Review Governor's Decision issued by State Review Panel If no decision issued by State Review Panel Appeal to DOL 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 Aha Blvd., Suite 200 Santa Aha, 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 LWlA Level The complainant shall file his/her complaint directly with the Santa Aha 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 LWlA 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 1. The complainant may appeal to the State if he/she is not satisfied with the decision of the Santa Aha LWlA. 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 Ana 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 Filing of complaint on the basis Of Handicap with LWlA Day 1 Informal Resolution If no resolution reached Request for Heating Notice of Heating Hearing Conducted LWIA Decision Unsatisfactory Decision or No Decision State Review Day/45 Day Filed within 30 days of L WIA/State Decision or 90 -- days from date of initial filing of complaints Governor's Decision Appeal to Assistant Secretary Department of Labor 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 previsions 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 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 (~fficer 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 fai[sto file the required certification sha[I be subject to a civil penalty of not less than $10,000 and not more that $100,000 for each such failure. Santa Aha Unified School District Grantee/Co actor Or anization Name of Certifying Official Signature Donald A. Stabler, Ed.D. WIA Youth EXHIBIT E Certification Regarding Druq-Free Workplace Requirements The certification set out below is a material representation upon which re~iance 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, upto 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 0 p e~r at~rr Donald E. Stabler, Ed.D. DIVISION OF EMPLOYMENT SERVICES PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS Name: Tony Dalessi Name of Contractor: Santa Ana Unified School District Contractor Number: A2002-091 Date: June 3, 2002 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. Ritchey St., Bldg. 1-A Santa Ana, CA 92705 Various highschools throughout the district BUDGET NARRATIVE ATTACHMENT C BUDGET PLANNING FORM Match/In Admlni~/xativc Pro,ram Total WIA Kind Personnel Sa~arie.~* $ 2,330.00 $~38,720.00 $041,050.00 $...3.2,400.~ Benefits 5,750.00 5,750.00 OOler (list}* .... TotaI. P..e_rsgnnel $ 2330.00 .'p $ 44,470.00 4'-$ 46,800.g0 $ 32,400.0( Operating Expenses .... Rent or user fee* Utilities Phones Intemet fec~ Parking fees Security .... Maintenance Equipment* Rental fees l>urcha.qe Vehicle lease charges (vehicles nmy not b~ purchased) Office expenses (consumables) Accounting Services L~gal services Auditing services ....... Indirect costs (attach indirect cost rate plan'}*) Staff traming Staff travel/mileage Customer TnO, niag* ......... Support services* J Prvfit {t'o~ profits only) J .... Other (llst}* $ ~ 1,0t)0,00 J ¢ $ ~'1,000.00 Total Operating Expenses $ & '~,00~.00J $ O 2,000.00 GRAND TOTAL (Total Personnel + Total Operating Expenses) $2,330.00 ~ $ 46:470.00 ' $ 48:800.00 $ 32,400.00 * attach a separate sheet detailh~g the.qe costs RIGHT START/ 2002;03 Out-of-School Youth Program Detailed Budget Information for: Santa Ana Unified School District I. SALARIES Certified salaries Program Management .2 WIA Prgm. Spec WIA Prgm. Spec. @ $64/hr for 170 hrs. Admin. $2,330 Classified salari~ Program Operations · 1 Community Resource Spedalist Comnty. Spec. extra duty Student Paid Internships (1.030 hours @ 51 L25/hr for the summer, fall & .wring semesters) II. OTI~R OPERATING EXPENSES Oft'ice Supplies: postage printing, etc. Instructional Supplies; Sup. Set. Dir. ~qr. Total &910 ............ 8.910. $ 17,820 $4.430 .......... $2.695 ......... 7,125 23,210 ................ 4,000 .......... 4,000 SOO .................................... 500 4,500 i/,605 ...... 11,60~ 29,955 500 ................................... 500 500 ............. 500 1,000 EXHIBIT G PERFORMANCE STANDARDS [] IX] In-School Youth Out-of-School Youth Name of Organization: Santa Ana Unified School District Contract #: A2002-091 Program Year: May 17 2002 - JHne 30 2003 Contract Amount: $4[~ P,00 # of Participants Enrolled: 10 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: 65% Employment Retention Rate: 84% Cost per Participant: $4.800 Earnings Gain: $2.580 Credential Rate: 75% Customer Satisfaction Rate: Participants: 66% Employers: 64% 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 Workforce 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 Aha 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".