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HomeMy WebLinkAboutSAUSD 7rt2 AGREEMENT TERMINATION Please complete this form when the attached agreement is no longer in effect. Return form to the Deputy Clerk of the Council (M-30). Call 647-6520 if you have any questions. ----------------------------------------------------------------- The agreement with �} . �Yr�L�l�II. A- c�00,3 — was completed on 9-3 0--05s and final payment has been made, A -2oo4 -jqV '� A-zoos-►1� Revised 4-16-87 Department: Signature: Date: City of Santa Ana Clerk of the Council hip ;jU!R 17 C 1 CM Contract No. A-2003-250 AGREEMENT UNDER THE WORKFORCE INVESTMENT ACT THIS AGREEMENT, made and entered into this V day of October. 2003, 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 / Career Development/ROP ("CONTRACTOR/PROVIDER "). 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 basic skills development to those individuals who are economically disadvantaged or otherwise face serious barriers to succeeding in life. One goal of California's Workforce Investment System is to provide youth with the opportunities to achieve career goals that will allow them to successfully compete in the labor market and prepare them for higher education. D. CONTRACTOR is experienced in operating education, occupational development and employment programs for economically disadvantaged youths for entry into the labor market ("said program"). E. CONTRACTOR is willing to operate said program pursuant to the Act and California law. WHEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do hereby agree as follows: Page 1 of 15 I. 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" as the Proposal. "Exhibit B" as the Program Activity Plan. "Exhibit C" as the Statement of Work, attached hereto and by this reference incorporated herein: Santa Ana Unified School District / Career Development/ROP WIA Youth Service / In -School Youth Success Bound! 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 in 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 D" 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 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. Page 2 of 15 H. CONTRACTOR agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. 1. CONTRACTOR agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of CONTRACTOR'S services or activities, costs or other data, including but not limited to, participants' attendance, payroll records and job duty statements. CONTRACTOR agrees to forward to the SAWC Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California 92701 a completed Workforce Investment Act Enrollment/Registration form (WIA EWIE) within 5 days of approval of WIA Youth Application; Workforce Investment Act Goals (WIA EWIG) within 15 days of enrollment date; 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, 90,180, 270, and 360 days of placement. CITY, the State of California and the United States government and/or their representatives shall have access for purposes of monitoring, auditing and examining of CONTRACTOR'S activities, performance, books, documents, papers, and records of CONTRACTOR 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 the location where CONTRACTOR conducted the program, as well as in the County of Orange, for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. J. Without prejudice to any other section of this Agreement, CONTRACTOR shall, where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements of federal and state law. Notwithstanding the foregoing, CONTRACTOR agrees to submit to CITY, the State of California and/or the United States Government or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by CONTRACTOR, costs incurred and services rendered hereunder. Page 3 of 15 K. CONTRACTOR agrees to complete in triplicate, a monthly Invoice/Voucher on CITY's Invoice/Voucher form, showing in detail the amount of money already expended by CONTRACTOR hereunder, as this is a cash reimbursement contract. Accounting records must be supported by such source documentation such as cancelled checks, paid bills, payrolls, time and attendance records, contract and subgrant award documents [29 CFR—Subpart C, Section 97.20 (b)(6)]. CONTRACTOR agrees to submit the above -stated documents to the WIB Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California, 92701, by the tenth (loth) 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, 20 CFR Section 667.200 and OMB Circular A- 133. CONTRACTOR shall submit one original of each required audit report to CITY within (30) days after the date received by CONTRACTOR. Should CONTRACTOR fail to comply with these requirements, CITY may at its option withhold payment of funds, or disallow funds or suspend additional grant funds. N. CONTRACTOR shall not expend funds pursuant to this Agreement to provide services to any participant where costs of training are paid for by any other person or entity. O. CONTRACTOR shall comply with the provisions of Circular A-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 E," 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 certification as set forth in "Exhibit F" attached hereto and incorporated herein by this reference. R. CONTRACTOR, in accordance with the Child Support Compliance Act, recognizes and acknowledges the importance of child and family support obligations and shall fully Page 4 of 15 comply with all state and federal laws relating to child and family support enforcement. 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. Il. CITY'S OBLIGATIONS A. CITY agrees to pay to CONTRACTOR when, if and to the extent federal funds are received under the provisions of the Act a sum not to exceed One Hundred -Ten Thousand, Seven Hundred Forty -Five Dollars ($110,745) for CONTRACTOR'S performance in accordance with the payment schedule attached hereto as "Exhibit G" 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. C. CITY has the right to de -obligate the funds hereunder and take such funding back from CONTRACTOR due to any of the following reasons: (a) lack of performance by CONTRACTOR; (b) lack of fiscal accountability of CONTRACTOR; or (c) decrease in available funding. III. TIME PERIOD OF AGREEMENT This Agreement shall commence on October 1, 2003 and all duties arising under this Agreement shall have been performed by June 30, 2004. The tern 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 15 V. WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS A. CONTRACTOR shall use appropriate funds received from CITY to provide workers' compensation to all those hired by CONTRACTOR under this Agreement. B. CONTRACTOR shall have the right to hire, dismiss, or promote its employees or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any other applicable law, and CONTRACTOR maintains itself as an Equal Opportunity employer. VI. APPLICABLE GUIDELINES A. The parties hereto agree that CONTRACTOR shall comply with all applicable federal and state laws and regulations, including, but not limited to the Performance Standards (Exhibit B) 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. 6. CONTRACTOR shall maintain appropriate standards for health and safety in work and training situations. CONTRACTOR shall comply with general provisions, assurances, and Page 6 of 15 certifications attached hereto as "Exhibit H" and incorporated herein. 8. EQUAL OPPORTUNITY. Any literature distributed by CONTRACTOR for the purpose of apprising businesses, participants, or the general public of its programs under this Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity employer/program" and that "auxiliary aids and services are available upon request to individuals with disabilities." 9. CONTRACTOR certifies that all property, finished or unfinished documents, data, studies and reports prepared or purchased under this Agreement, will be disposed of in accordance with the direction of the CITY. In addition, any tools and/or equipment furnished to the CONTRACTOR by the CITY and/or purchased by the CONTRACTOR with funds pursuant to this Agreement, will be limited to use within the activities outlined in this agreement and will remain the property of the United States Government and/or CITY. Upon termination of this Agreement, CONTRACTOR will immediately return such tools and/or equipment to the CITY or dispose of them in accordance with the direction of the CITY. 10. CONTRACTOR certifies that this Agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose nor does it help to support or sustain any school, college, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 11. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The CONTRACTOR will disclose to the CITY any invention, written product, computer program developed or data assembled as a result of performance of work under this Agreement within seventy four (74) days of invention, development or assembly. The CITY, State of California, and U.S. Department of Labor will have the right to patent any invention and copyright any written product or computer program or data generated by CONTRACTOR. Upon written request, CONTRACTOR will transfer all pertinent information, specifications and right, title and interest to the designated agency. 12. INVENTIONS, PATENTS AND COPYRIGHTS. A. Reporting Procedure. If any project produces patentable items,patent rights, processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the CONTRACTOR shall report the fact promptly and fully to the CITY. The CITY shall report the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery. The DOL and its representative shall determine how the rights in the invention or discovery, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the "Governmental Patent Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16899). 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 Page 7 of 15 which developed the work is free to copyright material or to permit others to do so. The CONTRACTOR and the Workforce Investment Board (WIB) shall have a royalty -free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub -grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a CONTRACTOR purchases ownership with grant support; and (c) CONTRACTOR shall comply with the requirements of 29 CFR Part 97.34. C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data first procured or delivered under this Agreement. 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. Page 8 of 15 CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT 1. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial political gain. CONTRACTOR, its officers and employees, in administering this Agreement, will avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain. 2. Employment of Former State or CITY Employ. 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 Involvin Close lose personal Friends and Associates. Executives and employees of CONTRACTOR will be particularly aware of the varying degrees of influence that can be exerted by personal friends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for CONTRACTOR to conduct business with a friend or associate of an executive or employee of CONTRACTOR, an elected official in the area or a voting or non -voting member of the Workforce Investment Board (WIB), a permanent record of the transaction will be retained. 5. Avoidance of Conflict of Economic Interest. No executive or employee of CONTRACTOR elected official in the area, or voting or non -voting member of a WIB, will solicit or accept money or any other consideration from a third person, for the performance of an act reimbursed in whole or part by CONTRACTOR or CITY. Supplies, materials, equipment or services purchased with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No voting member of the WIB will cast a vote on the provision of services or vote on any matter which would provide direct financial benefit to that member or any business or organization which the member directly represents. Page 9 of 15 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. 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 insured; and state that such coverage is primary to any other coverage or self-insurance of the State of California and CITY. Governmental entities may substitute a certificate of self-insurance. 2. Automobile Liability Coverage. CONTRACTOR shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with a $1,000,000 limit unless reduced by CITY, which applies to 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 tern 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 Page 10 of 15 cancellation or modification. CONTRACTOR shall carry medical and accident insurance for those participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to California Labor Code Section 3350, et seq. 4. Equipment Coverage. CONTRACTOR shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by CONTRACTOR in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a certificate of self-insurance. 5. Proof of Insurance. A certificates of insurance with a fully executed additional insured endorsement in substantially the same form as attached hereto as Exhibit I 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. IX. CORPORATESTATUS 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; All applicable CITY policies, procedures and directives; 4. All applicable local ordinances and requirements, including use permits and licensing; Court orders applicable to its operation; and, 6. The terms and conditions of this Agreement. Page 11 of 15 If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with such or will notify CITY after enactment or modification that it cannot so comply. CITY may thereupon terminate this Agreement, if necessary. XII. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the employment of CONTRACTOR by CITY, and contains all the covenants and agreements between the parties with respect to such employment. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and CONTRACTOR. XIII. FRAUD CONTRACTOR shall immediately report to CITY all instances and facts concerning possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this Agreement. XIV. 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. Page 12 of 15 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 C1TY'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 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 XVII1 herein below. XVIII. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: and, CITY: City of Santa Ana WEB Administrative Office P.O. Box 1988-M-73 Santa Ana, CA 92702 CLERK: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Telefacsimile (714) 647-6956 CONTRACTOR: Santa Ana Unified School District / ROP 1815 S. Ritchey Street Santa Ana, CA 92703 (714) 565-8400 Page 13 of 15 XIX. MERGER This Agreement, together with the attachments hereto, expresses the total understanding of the parties. There are no oral understandings of the parties or terms and conditions other than as stated herein. 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 herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. Page 14 of 15 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above -written. ATTEST: PatAcia E. He ly Clerk of the Council APPROVED AS TO FORM: BY: 4 'e6 - d_ j;t Joseph W. Fletcher City Attorney RECOMMEND FOR APPROVAL: bz JoVP. Reekstin Ex0cutive Director CITY OF SANTA ANA, a municipal corporation of the State of California "CITY" By: ' David N. Ream City Manager Santa Ana Unified School District / Career Development/ROP —� By- -Name E. Oak Title: Director Tax ID #: Page 15 of 15 PROGRAM NARRATIVE Original proposal is included for reference (Exhibit A) Program Year 2003/04 Work Plan (Exhibit B) Statement Of Work (Exhibit C) Supplemental Information The Santa Ana Youth Council's 2004 Plan is to maintain all providers within the Youth Service Provider Network delivering the same program as specified in their proposal, Exhibit A. Therefore a new RFP was not released. In place, providers submitted a revised Work Plan establishing 2004 Enrollment Goals and Performance Outcomes, Exhibit B. EXHIBIT A PROPOSAL NARRATIVE ABOUT THE PROGRAM EXECUTIVE SUMMARY for SUCCESS BOUND! For the 2002/03 program period, the Career Development/ROP Department of the Santa Ana Unified School District is proposing to continue with a modified version of the program that is currently being funded with WIA Youth Funds entitled Success Bound! The program will address each of the ten WIA elements with either direct services funded through the WIA Success Bound! program or linkages to other District programs that pertain to a particular element. Participants will also be linked to other WIA providers so that they will have access to other programs in the Youth Service Provider Network. The Success Bound. program will again focus on high school seniors from the four comprehensive and two continuation high schools in the District. The target enrollment will be 70 Younger Youth in an In -School Program. This is less than the previous proposal, but does reflect the number actually being served in 2001/02. This reduced number will be recruited in the spring and early summer of 2002 as one of the objectives for this program is to provide all participants with access to summer employment opportunities. Given the experience gained from the 2001/02 recruitment process, the employment/internship contacts that have been developed serving current program participants and the assistance that will be available from the new Service Navigator staff at the W/O/R/K Center, we believe that we can meet this objective in a timely manner. The basic approach for the Success Bound. program will be one that utilizes regular weekly meetings with participants to maintain an ongoing relationship with each student by the WIA- funded staff. These meetings will be augmented by monthly adult mentor meetings held in collaboration with Career Beginnings of Orange County, priority access to ROP courses, paid internship/work experience activities during the regular school year and collaborative leadership/guidance activities during the weekly meetings presented by Camp Fire Boys & Girls, Orange County Council. The planned outcomes of the Success Bound! program are: • high school graduation; • a valid career preparation experience that will equip participants with the hard and soft skills needed to be gainfully employed; and, • the support needed to achieve each participant's higher education and career path goals. ROP Certificates and/or standardized test scores will be used to document skill attainment goals. Verification of the awarding of the participants' high school diploma will document the diplorna goal. While the course schedules from post secondary institutions will demonstrate the retention rate goal for the program participants. The chart on the following page summarizes how the proposed WIA funds requested in this RFP will be used to serve the 70 Success Bound! participants. On this chart, there are separate lines for each of the ten elements that indicate if the primary activities will be delivered and funded by the lead agency (Santa Ana USD) and/or one of its collaborators. The last column includes a very brief description of the primary activities and the kinds of documentation that will be utilized to document these and other related activities. This summary is based on the proposed activities described later in this application in the Program Description (Attachment B). WIA §129(c)(2) Program Elements Summary; In -School Youth Lead Agency Lead Agency Collaborative Primary Activities/ Program (WIA funds) Funded Service Agency Service Documentation Element (no WIA funds) (WIA funds) A) educational Santa Ana Unified Santa Ana Unified N/A Tutorial incentives & I activities leading School District School District referral to remedial courses/ to high school graduation Diploma and/or test scores B) alternative N/A Santa Ana Unified N/A Referrals to alternative secondary school School District education programs/ services Student records C) directly linked Santa Ana Unified Santa Ana Unified N/A Summer employment/ summer School District School District employment Pa-ticipantpeyroll records opportunities D) paid/unpaid Santa Ana Unified Santa Ana Unified N/A In -school internships and/or work experiences School District School District work experience/ Participant payroll records P) occupational N/A Santa Ana Unified N/A ROP and other technical or skill training School District career -related courses/ ROP Certificates and/or student records F) leadership Santa Ana Unified N/A Camp Fire Weekly on -site meeting development School District Boys & Girls activities/ Participant attendance data G) supportive Santa Ana Unified Santa Ana Unified N/A Transportation, etc./ services School District School District Student record sand/or participant's ISS H) adult Santa Ana Unified Santa Ana Unified Career Beginnings Monthly Mentor Night mentoring School District School District of Orange County activities/ activities Participant attendance data I) 12 months + Santa Ana Unified N/A N/A Monthly phone and/or mail 1 follow-up School District contacts/ ' services Participant's ISS J) comprehensive Santa Ana Unified Santa Ana Unified Camp Fire Weekly on -site meeting guidance & School District School District Boys & Girls activities/ counselin Participant attendance data Pursuant to the WIA and Santa Ana Workforce Investment Board requirements set forth in the RFP for this application, the 70 potential Success Boundt participants will meet both current low- ineome eligibility and "right-to-work" standards and also be identified as having one or more of the following barriers to employment: • Their basic literacy skills (reading and/or math) are at the eight -grade level or below as measured on the SAT-9, TABE or an equivalent standardized test; • They are considered as homeless, have runaway from home or are a foster child as evidenced by either school or social service records; • They are a pregnant or parenting teen as evidenced by school records; • They have a record as an offender or have a court/agency referral mandating school attendance as evidenced by county records; • They have never held a job and therefore have no work history as evidenced by their WIA Program pre -application; They live in a "high crime area" as designated by the Santa Ana Police Department; • Their core GPA is less than 1.5 as evidenced by school records; They have been suspended five or more times or have been previously expelled as evidenced by school records; and/or, • They are designated as a "special needs" student as evidenced by their school records (e.g., enrolled in special education with a valid IEP, designated as limited English proficient, etc.). The above summary concludes the Executive Summary portion of this application by the Career Development/ROP Department of the Santa Ana Unified School District to refine and implement the Success Bound. program. MAIN PURPOSE OF THE SUCCESS BOUND! PROGRAM As the local public school agency for well over 100 years, the Santa 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 Success Bound! program will benefit from the program by receiving an array of services to first help them successfully complete their public school education, and then assist them with their transition from high school to the dual spheres of higher education and the world -of -work. The Success Bound! prog-am's services and activities will take place over an anticipated period of 12-15 months. This will encompass the last month of the participant's junior year, a summer work experience opportunity and their senior year. It will culminate with their graduation in June 2003. The target population for the Success Bound! program are students with identified "at -risk" factors but students who have not necessarily been previously targeted for any special services or programs. Success Bound. hopes to serve "average" Santa Ana students who need that "extra push" to graduate on time and enter the world as a young adult with the tools necessary to be successful in both their work and educational careers. During the yearlong program, participants will meet on a weekly basis with program staff when school is in session. Contact during the summer work period will be between two to four times per month. The adult mentor component (which is a collaborative effort with Career Beginnings of Orange County) will meet on a monthly basis usually on the third Wednesday evening of the month throughout the regular school year. Individual mentor/mentee meetings will also occur on an individualized basis. For those the Success Bound. participants who enroll in an ROP course, their training will last from 135 to 360 hours depending upon the course in which they are enrolled. It is currently planned that the Camp Fire Boys & Girls component of the weekly guidance and counseling support sessions will encompass two to three months of service. With respect to adult/participant ratios for Success Bound!, three full-time personnel working directly in the Secondary Enrichment Programs section of the Career Development/ROP Department will staff program. Of these, two will be assigned to work directly with the participants and the third will focus primarily on office operations for the program (this third person will be funded in part by CBOC and the WIA Out -of -School Youth program). These WIA supported staff will be assisted throughout the year by a part-time employee of Career Beginnings of Orange County and by one or more staff from Camp Fire Boys & Girls during the several month period that they are providing their program. Assuming that the participants are divided somewhat equally between the schools, there would be two adults for every 12-18 students during the weekly meetings which usually last 40 minutes. Regarding the adult mentor program, the staff assists at these monthly meetings and the adult mentors normally have no more than two mentees. These meetings usually are two hours in length. Other adult/participant contact will occur as the WIA staff work with individual participants in job placement, payroll, academic advisement and other similar situations. Also, most adult mentors meet with their mentee(s) outside of the regular monthly evening meeting environment. PROGRAM GOALS/OBJECTIVES and PERFORMANCE LEVELS for SUCCESS BOUND! As stated in the Executive Summary portion, the Success Bound! program has a target of seventy (70) participants attending secondary programs with in the Santa Ana Unified School District who will be high school seniors during the 2002/03 school year. The specific WIA program elements directly supported by the funding requested in this RFP response are A) educational activities leading to high school graduation, C) directly linked summer employment opportunities, D) paid/unpaid work experiences, F) leadership development, G) supportive services, H) adult mentoring activities, I) 12 months + follow-up services and J) comprehensive guidance & counseling. Participants will have access to the other two services (B; alternative secondary school services and E; occupational skill training) through other existing District programs. Participants would also be able to investigate and access similar services from other providers in the Youth Service Provider Network. Participation in specific services will be based on both the assessed needs of potential participants and their expressed interests. It is a goal of the program to enroll all 70 participants by the end of June, 2002. Several key elements of the overall Success Bound. program involve early advisement and enrollment. These are summer remedial coursework, summer employment and summer vocational training. Individual participant's previous scholastic history and test scores will govern which academic course they should take. If tutorial remediation is needed, incentives in the form of pay will be offered to encourage participation en lieu of a summer job. Otherwise, participants will be encouraged to enroll in career/work related courses that are relevant for their chosen career pathway during the summer. For example, up to a dozen students from either the Human Service or Health pathways will be trained to staff a physical fitness facility during the 2002/03 school year at Santa Ana High. Experience with both WIA and JTPA programs have demonstrated that the recruitment and enrollment process is almost always more difficult and time consuming than originally anticipated. It is anticipated that the assistance from the W/O/R/K Center's Service Navigation staff will serve to expedite the recruitment and enrollment process for spring 2002. Recruitment is directly tied to the summer work, vocational training and basic skills elements as potential participants need direction in May and early June to take appropriate action in order to avail themselves of the summer offerings in the Success Bound. program The WIA performance standard will be addressed in such a manner as to meet required reporting needs through the delivery and evaluation of the proposed services for participants in the Success Bound. program. Certificates of completion and/or test scores will validate the skill attainment rate. The graduation or diploma rate will be based on the number of students graduating and/or acquiring a GED. Retention rate data will the enrollment by participants in post -secondary programs; i.e., higher education and/or technical or career training. The chart below summarizes the service provider outcomes for the Success Bound. program in Santa Ana Unified vis-a-vis those for the overall Youth Service Provider Network. WIA Standards I Success Bound! Standards Skill Attainment Rate 77% 77% Diploma Attainment Rate 45% 75% Retention Rate 46% 66% Customer Satisfaction Rate 66%/64% 66%/64% Certificates of completion and/or competency will be awarded for many of the proposed activities. Participants who successfully complete ROP courses and meet each courses' minimum competency criteria will be awarded a Certificate of Competency. Participants in the adult mentor program are awarded a Certificate of Completion by Career Beginnings of Orange County. The District awards high school graduates with a diploma and those participants who graduate from a school such as Century High School will also have a "senior portfolio" that will contain other certificates, awards, etc., that the participant has accrued during his/her high school career. Continuous improvement will be addressed via several procedures. One of the most important is the participant attendance spread sheet used to monitor participant attendance at the weekly leadership/guidance meetings and the monthly adult mentor activities. Another is the payroll spread sheet and its supporting hourly reporting documentation for every participant who receives pay for summer work, paid internships/work experience and/or tutorial incentive pay. This data will assist the Success Bound! program staff in monitoring the participation level of each student. Regular check-ups with work-place/internship supervisors will also provide information on both each student's progress and the satisfaction level of the training site staff. Participants will regularly provide feedback o❑ the monthly Career Beginnings of Orange County events. All of this information will serve to assist WIA staff in monitoring the progress of Success Bound. activities so that improvement can be made whenever necessary. Meetings with the W/O/R/K Center Service Navigation staff to ensure that administrative, recruitment and case management procedures are both effective and efficient will augment these procedures. 9 SUCCESS BOUND! PROGRAM DESCRIPTION PROGRAM OVERVIEW The following pages outline brief program descriptions are based on the ten required WIA elements for this RFP. The actual WIA Workplan follows these as set forth in the Attachment B format as requested in the RFP. Each is directly elated to the basic goals for the Success Bound. participants: high school graduation, enrollment in a higher education program and the acquisition of appropriate employability skills for an entry level (or higher) position which will assist the participant in his or her pursuit of both a career and a post -secondary education. As mentioned previously, outreach, recruitment and eligibility determination for the Success Bound! program's target population of I I" graders will be initiated at the end of the spring semester of the 2001/02 school year. The program design outlined below then calls for servicing the participants with a program that also includes summer 2002 and their senior year. The Success Bound! program will focus on serving participants who have expressed an interest in several career pathways; Business & Marketing, Science & Technology, Health, Human Services and Entertainment, Arts & Communications. The following chart displays examples of factors illustrative of the recruitment target population that the WIA staff will use: • Resident of the City of Santa Ana; Identified by school staff as at risk of dropping out; No work history Resident of an SDA high crime area; Past record of under achievement (eighth grade or below academic level); • Past record of low motivation or interest (poor grades); • Has identified a career pathway • Teen parent, homeless or runaway; • Pattern of poor attendance or attendance in alternative programs; • Poverty level, as indicated by AFDC or free and reduced lunch eligibility; and/or • Potential membership or participation in gang -related activities. Previous summer youth employment program enrollment; • Recommendations from high school guidance, career center and/or ROP staff; Self -referral and/or referral by peers; Compliance with WIA eligibility requirements; and/or • Recommendations from community service agencies or other members of the Youth Service Provider Network. With the focus of the Success Bound! program on several career pathways —particularly Business & Marketing, Health, Human Services and Entertainment, Arts & Communications, recruitment will focus on the classrooms of the instructors in those pathways at each high school and the ROP Ritchey Center. The availability of the program will also be announced via "Daily Announcements," school newspapers, current WIA participants, etc., at each site. Following the pattern developed over the past several years with JTPA programs, several enrollment events will be planned to take place after the regular school day. Actual enrollment will be on a "first -come, first -served" basis with respect to when students submit their required documentation. In order to ensure both a representative participant population from across Santa Ana and participation from the various key pathways, applications from some sites and/or pathways may be "held" for a period of time to enable others from under- represented schools and/or pathways to apply. But, this period will not be long as those students who have followed the application and enrollment directions in a timely manner will be given top priority. District teachers and other staff working with the Success Bound! program will 10 work with their colleagues to assist with the collection of enrollment documentation data which will then be given to the WIA staff at ROP so that the Santa Ana W/O/R/K Center personnel in the Service Navigation unit will have only one contact. The chart below summarizes many of the outreach recruitment and eligibility determination activities along with a tentative timeline for the enrollment of all 70 proposed participants. In actuality, the recruiting period is slightly less than two months which, based on prior experience, is certainly not too long. Given the 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 ACTIVITIES May 11, 2002 to June 28, 2002 May 11, 2002 to June 28, 2002 May 11, 2002 to July 19, 2002 May 11, 2002 to July 26, 2002 Outreach Recruitment Screening WIA Process & And for the Success WIA Criteria Receipt of Referral Bound Program Parent Consent By student Information Initial screening Assessment parents to individual and by ROP and WIA begins when teacher group meetings staff parent staff reguest.for: permission and agencies Student & Parent right-to-work documents are meeting dates documents received Reason for established family income Referral; documents WIA Processing attendance Continue with the by WIA Service academics identification and Areas to Be Navigation staff' career prep initial enrollment Addressed; with ROP staff alternative processes academics to provide help placement attendance with enrollment grades Initiate formal extra curricular self referral school meetings career training for recruitment Types of Test or Send information Procedures to be to Parent Used; for Consent CASTS data for STAR9 Intake and assessment for the Success Bounds program participants will take place in conjunction with the enrollment process. Initial participant program goals will be submitted within 30 days of notice by the W/O/R/K Center Service Navigation team that the participant is enrolled. Should current (with in two years) test scores not be available, participants will be given the TABE to assess their basic skills. Job readiness, job search skills, occupational interests, etc., will be assessed during the summer and/or early fall in order that each participant's ISS is up-to-date. Other aspects of the participant assessment process will be ongoing for the time each participant is in the Success Bounds program; e.g., in the area of support services, the need for transportation assistance or childcare will be reviewed on a regular basis. 11 The details of the revised WIA case management system using the support of the W/O/R/K Center Service Navigation team will be worked on after funding notification. While the support of the W/O/R/K Center staff will be appreciated, the Santa Ana Unified School District staff in the Career Development/ROP Department's Secondary Enrichment Programs office is very experienced with youth programs and at -risk populations. This is particularly true with respect to dealing with the data collection requirements of youth related programs; both those problems encountered in enrolling potential participants and those unique to reporting program completion data. Staff is well versed in the completion of ongoing Individual Service Strategy documents for each participant, the administration of objective assessments, etc. It is assumed that the Program Specialist and/or Community Resource Specialist assigned to the WIA Success Bound! program will maintain overall responsibility for the objective assessments and ISS forms. The assessments will be accomplished either at the ROP Ritchey Center or one of the full service Career Centers on the regular high school campuses. Unless there is a change for the 2002/03 program year, ISS folders will be maintained in the Secondary Enrichment Programs office. Any other concerns vis-a-vis the interface of Success Bound! staff with the W/O/R/K Center Service Navigation team will be dealt with when the occasion arises With respect to parent involvement, initial contact with parents is normally made during the enrollment process. Completion of the Work Permits also often requires another parent contact. The WIA Success Bound! Community Resource Specialist will make home telephone and/or home visits during the course of the program year. Normally, the initial reason will be either attendance and/or paid work experience concern but other calls will also focus on missing graduation requirements, college financial assistance documentation, training site issues, etc. Experience with the current year's program has taught the Success Bound., staff that parental support can be key to getting a senior "back -on -track" towards graduation, career and higher education goals. Like the comments pertaining to actual program services, information regarding job placement, continuing education and follow-up activities is explained below in the description of the ten program elements. Again, the primary goals of the program are threefold: ✓ high school graduation (diploma rate); ✓ enrollment in a higher education program (retention rate); and the ✓ acquisition of appropriate academic and/or employability skills for an entry level or higher position which will assist the participant in his or her pursuit of both a career and a post -secondary education (skill attainment rate). The basic thrust of the academic support system is one of close oversight and the facilitation of each participant's journey towards achieving the three basic goals for the program as stated above. Based on the objective assessment data used in the eligibility process along with other similar school -based data and information, the Success Bound! staff will develop individual service strategy plans (ISS) for each participant. These will detail how and which of the project activities will be used to help the individual participants reach their educational, employment and higher educational goals. The exact mix of services each participant receives will be based on his/her ISS and career pathway. However, each will participate with an adult mentor, be exposed to the leadership, drug, alcohol & other health related issues activities, receive additional guidance and counseling support and have access to paid internship and summer work. 12 SUCCESS BOUND! PROGRAM QUALITY ELEMENTS ELEMENT #1: An effective academic support system of the participants' educational activities leading to high school graduation. The basic academic component of the program will focus on the unique needs of each participant —both in terms of academic support and in terms of meeting high school graduation requirements. Those in need of tutoring will be referred to ongoing tutorial programs at each campus that are normally staffed by Compensatory Education staff (Title I, the largest K-12 federal education program). Other tutorial referrals may be made to student resource center at the ROP Ritchey Center in Room 6 where the WIA staffis housed. While WIA funds were not be used to equip this center, some WIA funds could be used for instructional supplies to support the identified academic needs of Success Bound.' participants. The WIA funded resources for this element of the program will be the staff (program management, guidance and support) who assist and monitor participant progress towards meeting the three goals for the program identified earlier in this section. A key facet of this activity which was added during the 2001/02 program after a recommendation by the WIB's Youth Council was (and will continue to be) a paid incentive to attend tutorial programs outside of the school day. This action provided participants with pay that they would ❑ormally have received in a paid work experience or internship position. Given the economic situation from which most participants come, this aspect of the program gave participants the incentive to address their academic needs while at the same time meeting economic needs. Evaluation materials developed for the Success Bound! program will be designed to elicit participant opinions concerning both the effectiveness and the appropriateness of the program vis-a-vis their needs and the degree to which the project's activities helped them graduate and pursue an occupational career while also entering a higher education program. As with any useful and valid evaluation instrument, the data from these initial participant reviews will be incorporated into program modifications if necessary to better meet participant needs. ELEMENT #2: Provision of access to appropriate alternative secondary school services if needed to,facilitate graduation on schedule. The Success Bound.' program staff will carefully monitor each participant's progress toward the attainment of both their basic academics, work readiness & occupational skill attainment goals and their high school diploma. While the performance standard success rate for the Success Bound! program in the area of diploma attainment is targeted for 45%, the high school graduation rate for the program is 75%. When necessary, participants will be directed to alternative programs both within the Santa Ana schools and at other agencies in order to acquire the need units/classes needed to meet their diploma requirements. These alternative programs will include the District's Independent Study and Teen Parent programs, Santa Ana colleges Adult Education Programs and the Orange County Department of Education's two alternative programs; Horizon and Summit. The high school guidance counselors and Rosa Galindo at the District's Student Services Office will assist program staff in the enrollment of participants in alternative programs. Placement in alternative educational settings 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 Success Bound. program. While the WIA performance standard or goal for this program element is 46%, the goal for the Success Bound! prog'am's retention rate will be 66%. Individual needs will be assessed and documented through the normal secondary school delivery 13 system and follow-up by staff, Depending on the needs, several options will be available for the students: tutoring, practice tests and preparation for college entrance exams, proficiency test tutoring, etc. Individual help from staff, adult mentors and others will ensure the success of the students. Grades and attendance will be monitored. If additional intervention is necessary, the appropriate staff person will be notified of the needs of the student. ELEMENT #3: Access to directly linked summer employment opportunities The Success Bound! Program will directly provide paid summer work experiences modeled after the old ITPA Title lI-B programs. Specific summer employment experiences will vary depending upon each participant's career pathway, but all will be afforded access to a minimum of 20 hours of work for seven weeks and basic pre -employment skills training related to both their paid work experience environment and their educational & career goals. Three programs from the first summer of the Success Bound! program offer an example of this. Several students from the Entertainment, Arts & Communications pathway at Century HS worked with a staff member from the Santa Ana Zoo to develop and produce video presentations used by the zoo to recruit volunteers. In another example mentioned previously, nearly a dozen students from the Health and Human Services pathways were trained at Santa Ana HS to operate and supervise a fitness center on the campus that is open to students and staff throughout the school day. Finally, four Success Bound! students were part of a larger group that included other potential participants from the Health pathway that were assigned to a UCI internship program at the UCI Health Center on N. Main. Success Bound! participants from other pathways or disciplines will be involved in similar experiences over the summer. They will be encouraged to take an ROP course, which is aligned with their career pathway. Whenever possible, the internship component of that ROP course will be expanded into their paid summer employment so that they can experience the real relevancy of their training. Also of note is the fact that if necessary, the program will provide bus passes to work/internship sites for the summer period. It must be pointed out that most of these summer experiences will take place in the afternoon as most, if not all of the Success Bound! participants will be in the Districts academic summer school program in the morning (or that of one of the alternative programs mentioned in Element 2 above). With high school graduation as the key goal for this program, participants will be encouraged to make-up any course deficiencies prior to other summer considerations ELEMENT #4: Opportunity ,for each participant to participate in paid and/or unpaid internships or work experiences. This successful element of the current 2001/02 WIA program is a modification a previous JTPA program between the Santa Ana Unified School District and the Private Industry Council of Santa Ana. That program, the "School -Workplace Internship Program," served high school participants who attend Santa Ana high schools and/or Regional Occupational Program (ROP) classes. As with the 2001/02 program, Success Bounds participants in 2002/03 will be given the opportunity for both paid or non -paid internship (work experience) opportunities that offer: =:> viable paid workplace internships which provide appropriate work -based learning opportunities; improved career related curricula and instructional strategies allied with the UROG "Choosing Success" or other similar connecting activities; strengthened comprehensive local community partnerships; and, improved non-traditional employment opportunities for WIA eligible students. 14 These work -based learning and connecting activities for the Success Bound! 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 in -school participants by implementing appropriate assessment activities that focus on specific employment/employability competencies. These include resumes, job applications, bilingual medical/clerical and/or instructional proficiencies, job 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 (CCROP) and District facilities working within existing class schedules & space utilization to eliminate any potential impact on regular programs at secondary sites. The primary vehicle for the delivery of this portion of the program will be the weekly guidance/counseling meetings held on the individual high school campuses. Given the base of hundreds of internship or "Community Classroom Agreements" between the Career Development/ROP Department and local employers, the District does not need to enter into any other duplicate agreements. These when coupled with previous work -site agreements between various District sites and the W/O/R/K Center for prior JTPA in -school and summer youth employment programs will provide more than enough internship, job -shadowing, and/or summer employment opportunities for the Success Bound! participants. The same training site agreements would also be applicable to summer work opportunities and they could be used in any collaborative activity with other members of the Youth Service Provider Network offering programs in response to this RFP. ELEMENT #5: Access to an effective program of occupational skills training. The overall approach of the Santa 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 Occupational Program (CCROP), local WIA (Success Bound), the Chamber of Commerce, the City of Santa Ana and local business and community -based organizations. The cornerstone of all of this is the ROP cis it is the District's vehicle for providing appropriate, timely and effective entry level training. Many ROP courses have work based internships as part of the entry career certification programs. These have been integrated into the career pathways at the high schools. Allied with the ROP offerings are partnerships with Santa Ana College and local universities that enable high school students (including Success Bound.! participants) to participate in articulated program of sequential courses from high school through college. All Success Bound. participants will be guided and counseled into Regional Occupational Program courses related to their career pathways as these courses can play such a pivotal role in their school -to -work plan. These classes will provide participants with the means to prepare for entry-level employment, receive elective credit toward graduation, enter a career pathway, 15 sample various work site experiences, earn money for educational expenses and/or verify career choices. And from a very practical point of view, the ROP Certificates will verify that a program participant has indeed met his/her Skill Attainment Rate goal. Operationally, ROP consists of a variety of occupational training programs that lead to entry- level job skills for students age 16 and over. ROP classes, which are funded by the State, include integrated classroom and work -based activities. ROP teachers are experts in their field with a minimum of five years of work -based experience and a teaching credential. Of particular importance to many of the Success Bound! participants is the fact that these courses are offered not only at the ROP's Ritchey Center, but on high school campuses throughout the District. Transportation is available at no cost for afternoon courses. Courses are also available in the evening and on Saturdays. Participants in Success Bound! will be given priority registration for ROP courses during their time in the program —including the twelve-month follow-up period. ELEMENT #6: Provision of a support plan that affords participants with leadership development activities as an integral part of their total program experience. This element is primarily addressed during the weekly meetings at each high school campus. The collaboration with the Camp Fire Boys & Girls, Orange County Council will provide much of the activities in this area in addition to those activities provided by the WIA Success Bound! staff. Based on their experience with the 2001/02 Success Bound! program, the Camp Fire staff will again offer a variation of their "Smart Choices" program. This program is designed to be a skills -building youth development program that prepares youth to make wise decisions, set goals and gain a sense of self-worth. It is designed to be a very integrated, interactive program that raises awareness about how one's decisions and values have short and long-term consequences and how they influence one's health and well-being. "Smart Choices" is based on youth development programs that have been documented to reduce teen pregnancy, violence and risky behavior. This program has successfully equipped youth with skills that help them make positive life choices. This adapted program will also incorporate elements of another program entitled the "Gift of Giving" which focuses on service to others. The development of such an attitude belongs in this element and in fact, this activity not only supports two of the Success Bound! program's elements (leadership & guidance/counseling) but it also reinforces the whole concept of "customer service." This is a key element of career development and ROP courses that participants will be taking. It is well know that most teens and young adults lose their employment over non -skill related issues (the "soft skills") such as work place attitudes, attendance, customer relations, etc. The adapted "Smart Choices" program has been designed to be offered in small groups and for a varying length of time to accommodate the career pathway orientation of the program and student availability. It is anticipated that each Success Bound! participant will be involved in this activity for a minimum of ten to twelve sessions. Camp Fire Boys & Girls staff will present this program with the assistance of the regular Success Bound. staff. In addition, it is anticipated that one or more may be provided in conjunction with the Career Beginnings of Orange County's Mentor Night program that is described later in this proposal. ELEMENT #7: Provision of a support plan that affords participants with appropriate supportive services when needed to facilitate their successful completion of the program. A key component of the Success Bound! program will be the degree of support provided to each participant. Transportation to ROP training classes and summer work sites will probably be the 16 most common example of support services. However, via the ROP's Community Advisory Committee and the Assistance League of Santa Ana, participants will have access to appropriate 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. The two collaborators for the program, Career Beginnings of Orange County and The Camp Fire Boys & Girls will also assist in provision of services regarding this program standard. The adult mentors from the CBOC program have historically not only assisted their mentees with such expected items as career and academic counseling, recreational activities, etc., but they have help with such things as providing appropriate clothing for interviews, transportation, accompanying their mentee on joh or college interviews, etc. One of the components of the Camp Fire Boys & Girls program that will offered to each participant during the 12-15 months they are in the program is the concept community service that comes From their "Gift of Giving" program. . While not directly a support service, the focus of this program is to actively engage the students to participate in community service. Program activities focus on several important social and community related concepts and it is felt that this element of the program will be of value to the participants from not only a supportive service point of view but from one of leadership. ELEMENT #8: Ara effective adult mentoring program designed to complement and ensure attainment of the prograna's goals for graduation, enrollment in higher education and acquisition of basic career skills. One of the major elements of the Success Bound! program is the adult mentoring program provided by Career Beginnings of Orange County (CBOC). This activity is modeled after a program that originally began over ten years ago with a grant at Santa Ana College. For the past six years, a non-profit Board of Directors has operated CBOC in cooperation with the Secondary Enrichment Programs at the ROP in the Santa Ana Unified School District. As a significant component of the Success Bound! program, the Career Beginnings adult mentor program will be a required activity for each participant during his or her senior year. It will not be part of each participant's experience for this WIA In -School Youth program during the summer when they are first recruited into the program. This timing will afford staff the opportunity to get to know each participant and recruit adult mentors with the potential to more closely match the needs of each participant. This is a departure from the CBOC model designed to address one of the problems encountered in prior years —making good mentor/mentee matches within a 30-45 day period. It is planned that each adult mentor will have no more than two mentees. The adult mentor program will be supported by both CBOC and Success Bound. staff. This program will focus around ten monthly "Mentor Nights." Follow-up activities to the CBOC evening meetings will be incorporated into the weekly Success Bound! meetings. It should be noted that while these leadership and guidance/counseling meetings are on a weekly basis, school schedules, assemblies, holidays, etc., often consume at least one of the meeting times each month. Mentors will be recruited in a variety of ways. Each high school campus has several business partners, some schools with as many as fifteen business partners. Community partners are interested in working with the schools to increase student achievement by providing better and more educational opportunities. Recruitment at these sites enables the business partner the opportunity to get "directly" involved with the students. Presentations will be made at breakfast, lunch and evening meetings. Another avenue for recruitment includes presentations at service organizations, Chamber of Commerce meetings, and the City of Santa. After initial recruitment, mentors would be asked to fill out an application and attend an orientation meeting and personal interview with staff. The Santa Ana Unified School District 17 requires the volunteer to have fingerprints and TB testing. A physical is not necessary for any part-time volunteer. The cost per mentor is currently $45. Fingerprinting will be done at orientation meetings or the first training meeting in a group setting. Orientation sessions will be scheduled to acquaint the potential mentors with the project. Orientation is not training. These sessions identify the who, what, where, why and how about the mentoring project. General information is given about the students, their school environment, the project and how it works, the duration of the volunteer commitment, etc. Training for mentors begins shortly after orientation. All mentors must attend a minimum of three hours of training before being matched with a student. The session identifies the need of the program, clearly defines who the students are, defines the goals of the mentor project, identifies the needs of the students and their stage in development, discusses problems that teenagers encounter including peer pressure, substance abuse, child abuse and family violence, and drugs. In addition, the training provides practical advice for the mentors - how to contact the students, their project coordinator. teacher or job developer. The training sessions include a manual that covers the necessary information to make the mentoring experience successful. The Career Beginnings evening begins with a hosted dinner (sponsors are regularly solicited) once a month at a school site, postsecondary campus or business which gives the participants and mentors an opportunity to come directly from school or the workplace without worrying about dinner. It is a great time for the mentor and mentee to socialize and relax. Individual contact and recognition with the mentors is important just to say thank you for volunteering. An end -of - the -year celebration will recognize the accomplishments of the mentees and mentors. Career Beginnings of Orange County, works with the school district to provide recognition of the mentors in the form of certificates, plaques, etc. and recognizes the students for their completion of the program. Scholarships are solicited from the community to be presented to the students. The evening is often the highlight of the year. The CBOC Board of Directors plans to award 20 $250 scholarships to students in their program (including Success Bound! participants). ELEMENT #9: An efficient and effective delivery system for twelve months of follow-up services. Note: the following activities are also applicable to prior WIA participants from the 20002 program. Evaluation and its required data gathering activities will take place throughout the project year on an ongoing basis. As with the 2001/02 Success Bound! program, the process for the 12- month follow-up services will be finalized during the initial few months of the project. These will focus on accumulating data to assess "continuous improvement" to the Success Bound! program offerings. The recruited and enrolled l I" grade participants will be in the program until their graduation for high school 15 months later. Just prior to their graduation (or exiting from the school system), they will be part of a larger data collection base that has been conducted by California State University, Fullerton under the auspices of the UROG "Choosing Success" grant. Data from this database plus individualized quarterly follow-up contacts will become an integral part of the proposed follow-up services activities. The Success Bounds staff will continue to monitor school and work attendance with students after they exit the program upon their graduation on a monthly basis at a minimum. Both the staff of the District and one of the collaborative partners, Career Beginnings of Orange County, have had extensive experience in annual follow-up reports. The specific design of the documents used for this process will be based on that experience and any requirements of the W/O/R/K Center or WIB staff. Summative evaluation of the project will be assessed by completion, postsecondary commitment and graduation rates and at the end of the school year. The major collection timeline for follow-up data will be in the late fall after high school graduation. This will be done to verify the former Success Bound! participant's postsecondary placement (higher education, military, part-time or full-time work). 18 Success Bound! participants will be regularly contacted on an informal basis (mail, phone and e- mail —if available) to monitor their progress during this twelve month basis. The purpose of the informal contacts will be to remind the participants of the availability of continuing follow-up services. These would include not only the standard supportive services available to WIA program participants, but also access to tutoring/study areas at the ROP Ritchey Center, Cal- WORKs programs, the W/O/R/K Center and ROP courses. The District's Career Development/ROP staff has close relationships with both programs and staff at Santa Ana College; those Success Bound! participants who attend that institution will also have access to extra support and attention during the twelve. -month period as a result of these relationships. With respect to regular progress reports, record keeping, etc., the Secondary Enrichment Programs staff at the ROP Ritchey Center are experienced in providing the data needed by the WIB, Youth Council and others to document the effectiveness of the program and the success of its participants. Unless requested to do otherwise by the Santa Ana W/O/R/K Center staff, it is planned that the same types of reporting and monitoring activities that had been in place for JTPA will be continued for WIA funded programs. This is true for both programmatic and fiscal monitoring. As some of the school -based information on the District's CASTS system and elsewhere is confidential, records (including ISS files) will be kept at the ROP Ritchey Center unless the new Service Navigation team at the W/O/R/K Center changes current procedures. If it is necessary for other WIA youth programs, the district will collaborate with other vendors to provide strident data within the boundaries of various state and federal privacy regulations. ELEMENT #10: Access to and provision of a comprehensive array of guiclanee and counseling support activities that focus improving student performance and achievement. Project services for Success Bound. participants that involve this final standard have been partially addressed in several of the other standards, particularly those dealing with leadership development, supportive services and adult mentoring. These activities basically represent the contributions of the project's two collaborators, Career Beginnings of Orange County and the Camp Fire Boys & Girls, Orange County Council. As also mentioned above, the vehicle for delivering the services will normally be the weekly meetings at the individual high school sites. Augmented by the services of the collaborators, this portion of the project will afford participants with comprehensive guidance and counseling services that far exceed those that they can normally access in a traditional high school setting. These staff members will also be available outside the regular school day thus making them available at times when these at -risk students do not have to be in class. Alternative methods of access are important to the target population and it is an objective of this part of the proposed program to facilitate the access of these students to supplementary supportive services. The Project Specialist for the Success Bound! program will monitor participant contacts with all staff and the collaborators to ensure that this part of each participant's ISS is being addressed. Experience with previous JTPA programs has taught that this aspect of program management is extremely import; not only with respect to reporting requirement, but more importantly, with respect to providing appropriate services to participants. Records from counselors and other academic guidance and career center personnel at the high schools will also be a part of each participant's file (within the parameters of existing privacy legislation). This aspect of the program would also be the main method for tracking each participant's progress towards the basic goals of the Success Bound! program. 19 m d O � � a � 2 ❑ G � O � O Co � ry w Z Q.�� � w ❑. � ,..,, try ^' � w = � �. �. aa4° ,-. ❑ � o 'rJ 0.. a o c o rn 'o' Dd5 : ccco m Qp� CD rn rn G a n ° 0 n crq C-7 w y L-n cn Ln Lo o LA b 7J M >w C7 C7 C7 � r d p N J w C CrJ p s z M O O O O CD O O CDO O o0 W W W w W W W w W H N CD n n N G1 N z a, �l O O C Q\ J d N O OVq OVG O W W O CD O 2J X x H w r1 H b 'O y N G v: N CL G C • .J O R rt N v O C vo E', ^. , n m b a •3 On F^ ry ..r ZyZ "' w 'z ,D �. ✓ v O G O C G o O b G V R � QQ O oo R�.ac.c ^. c�i o'er a RRv N a .�ova c� v o n 3 uq 77 W -g � nr � G •-• " � N � �'O .',� Vq a zz v O an a b . Ln a a d a a z0 s d d a 0 op z c s 0 0 0 0 o tr� w w w w O, � CDol O N C V O A OCIQ �p CD cm v 9 o �r a N o o x x w •,- Ci7 a' � 2 N C S n c O C3- c - R 0a p a rj A W IJ r C H y UGC J .`+ro. �= •• w �.t ^'u r O a `'.. 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City hereby engages Provider as an independent contractor to perform the following described work, and Provider hereby agrees to perform said work upon the terms and conditions here -in -after set forth. A. Specifically, Provider shall perform the following services: 1 . Provider shall recruit their own participants within a reasonable amount of time to allow for full delivery of program services as specified in the Work Plan. 2. Provider shall assess each participant using a standardized assessment tool within thirty (30) days of enrollment. If assessment supports a Basic Skills deficiency, reading and math must be the first service to be delivered to participant. 3. Provider shall identify through prescribed assessment which of the ten elements as noted below will be prescribed for each participant. Chosen elements will be noted in each participant's Individual Service Strategy (ISS). Services needed but not provided by Provider must be coordinated with the Service Navigator and other youth partners. The ten WIA elements are: a. Tutoring, study skills and instruction leading to completion of secondary school, including dropout prevention strategies; b. Alternative secondary school services, as appropriate; Summer employment opportunities directly linked to academic and occupational learning; C. Paid and unpaid work experiences including OJT, job shadowing and internships as appropriate; d. Occupational skills training as appropriate; e. Leadership development opportunities, which may include community service and peer -centered activities encouraging responsibility and other positive social behaviors during non -school hours as appropriate; f. Supportive services (linkages to community services, transportation, childcare, housing, medical referrals, uniforms or other appropriate work attire and/or tools; g. Adult mentoring for a duration of at least 12 months, (may occur both during and after program participation); h. Follow-up services for not less than 12 months after the completion of participation; i. Comprehensive guidance and counseling, which may include pregnancy prevention, drug and alcohol abuse, counseling and referrals, as appropriate. 4. Provider shall establish at least one goal for each participant as related to the elements identified in their ISS. If the participant is deficient in basic reading and/or math skills, one primary goal must be for basic skills and must be the first service provided. Goals are to be based on appropriate age standards and entered in participant's ISS. 5. Provider shall maintain and share with other Youth partners the Individual Service Strategy (ISS) for each participant from time of enrollment through and including twelve (12) months after he/she is exited from the program. 6. Provider shall review program objectives with participant using one-to-one method. At a minimum. review must include the following information: a. Program goals and objectives b. Length of program period C. Complaint handling procedures d. Available supportive services e. Anticipated exit date f. Available services at the Santa Ana WORK Center g. Follow-up phone calls & documentation requests 7. Provider shall provide participant services in accordance with the program schedule and curriculum attached hereto as the program proposal and Work Plan (Exhibit A & B). Neither the program schedule nor curriculum may be altered in any way during the term of this agreement, without prior written approval given to Provider by the Santa Ana WIB Youth Council. 8. Provider shall follow and abide by the proposal submitted and approved by the Santa Ana Workforce Investment Board Youth Council. Any changes to the proposal must be submitted in writing to the Santa Ana WIB Youth Council for consideration. 9. Provider shall maintain daily, weekly, and monthly classroom and internship training time and attendance records for all participants. Copies of attendance records shall be placed in participant's file upon completion of program. 10. Provider shall maintain individualized case management records and shall make these records available for review and inspection upon request by City staff. All such records shall remain otherwise confidential and shall be kept in a form approved by The Santa Ana WIB Youth Council. 1 1 . Full completion of the program and its elements shall be defined as and determined by individual participant attainment of the learning objectives and demonstrated achievement of the standards for evaluation listed in the training curriculum verified and approved by the Santa Ana WIB Youth Council. 12. Provider shall provide each participant who attains full completion of the program with a certificate of completion. Such certificate shall serve as contractor's assurance to the City that the recipient of said certificate has satisfied the conditions of full completion as set forth in conditions identified in the Work Plan. 13. Provider shall, upon request by WIB staff or in accordance with schedules and/or procedures stipulated by WIB staff at the outset of the program, transmit to state electronic reports and/or forms containing all appropriate data and any other pertinent information available on each participant and program operations in general. 14. Provider shall report on progress of program to Youth Council on a regular basis. Exhibit n 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 under WIA................................................................................... 4 4. How to File Your Complaint............................................................................................... 5 B. Criminal Complaints.............................................................................................................. 6 II. General Procedures for Handling Non -Criminal Violations of the Act ....................................... 6 III. Procedures for Handling Complaints at the 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 1 Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints Policy Statement In carrying out the purpose of the Workforce Investment Act (WIA), the City of Santa Ana Local Workforce Investment Area (LWIA) will establish programs to prepare youth and unskilled adults for entry into the labor force and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing WIA, all contractors in the Santa Ana LWIA will foster equal opportunity and non-discrimination, as provided in State and Federal equal opportunity and non-discrimination laws including, but not limited to: • Title VI of the Civil Rights Act of 1964 • Title VII of the Civil Rights Act of 1964 • The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section 188 of the Workforce Investment Act of 1998 In keeping with our commitment, no individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIA funded program because of race, color, religion, sex, national origin, age, handicap, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIA shall be open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugee, parolees, and other individuals authorized by the Attorney General to work in the United States. No individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing information, or assisting or participating in any manner in an investigation, compliance review, hearing, or any other activity related to the administration of WIA. 2 Administration responsibility for this Equal Opportunity/Affirmative Action (EO/AA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana Local Workforce Investment Area. Equal opportunity and non-discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal Opportunity Program. Patricia Nunn, Executive Director Santa Ana Local Workforce Investment Area 2. Civil Rights No one applying for or enrolled in the Workforce Investment Act (WIA) Programs may be discriminated against because of race, color, creed, handicap, national origin, sex, age, political affiliation, or beliefs. This means that - for any of the characteristics listed above: You may not be denied the opportunity to enroll in WIA. No benefits or services may be denied you for discriminatory reasons. You may not be segregated or treated any differently from other applicants or participants, while you are being registered, interviewed, counseled or tested; or while you are working or attending classes as part of the program. You must be provided an equal chance to use all facilities available in the program. Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in any way be penalized for filing a complaint. Your WIA sponsor has established a mechanism for handling complaints or grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3 Nondiscrimination Laws under WIA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Age Discrimination Act of 1975 Prohibits arbitrary discrimination against persons age 40-70. The Rehabilitation Act of 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. Cl Emergency Employment Act of 1971 Prohibits discrimination based on race, creed, national origin, political affiliation, or beliefs. How to File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if possible. C. Provides details that tell what happened, where it happened, and when ithappened. d. Give the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation and citizenship, must be filed within 180 days of the alleged occurrence directly with: Director Civil Rights Center U.S. Department of Labor, Room N-4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of handicap must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIA administrative entity. The WIA administrative entity shall issue a written decision within 30 days of the filing of the complaint. If the complaint is still unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal Employment Opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INVESTMENT ACT Santa Ana Local Workforce Investment Area 1000 E. Santa Ana Blvd., Suite 200 Santa Ana, CA 92701 (714) 565-2600 B. Criminal Complaints In accordance with the WIA (P.L. 105-200) and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report of fraud, abuse and other criminal activity. "All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." II. General Procedures for Handling Non -Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 667.600 through 667.640 of the WIA regulations, and Section 181(c) of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWIA level for the receipt, investigation, hearing, and resolution of complaints by WIA participants, subrecipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non -criminal complaints arising from the operation of the Santa Ana LWIA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, subagreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIA programs operated by each LWIA grant recipient and subrecipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIA complaint process (i.e., disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non-WIA complaint. Also, these procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion 0 procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. A. The following principles and rules apply to all complaints at all steps of the complaint procedures: All complaints must be made in writing within 180 days of the alleged occurrence, except complaints alleging fraud or criminal activity. 2. All persons filing a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his/her complaint to correct technical deficiencies but not to add issues. 3. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment into employment or training, participants shall be provided with a written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private -for -profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. A "participant', within the meaning of these procedures, is an individual who receives employment -training services under a program funded by Santa Ana LWIA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve disputes regarding terms and conditions of employment of any employee who is not a participant, as defined herein. 5. If a complaint does not receive a decision at the LWIA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor. Complainants must initially file and exhaust LWIA grant recipient/hearing procedures prior to appealing to the State except where the State determines that the LWIA grant recipient's procedures are not in compliance with the State's procedures. III. Procedures for Handling Complaints at the LWIA Level A. Receipt of Complaints Pursuant to the WIA regulations found at 20 CFR, Section 667.600, the LWIA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs in the LWIA. "LWIA level" encompasses LWIA administrative entity and employers to which the administrative entity has delegated the complaint resolution process. The following comprise the guidelines for resolving issues arising in connection with WIA programs operated by the Santa Ana LWIA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, investigations or monitoring reports. Form and Filing of Complaint Official filing date of the complaint is the date the written complaint is received. The filing of the complaint with the Santa Ana LWIA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following information: a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); Clear and concise statement of facts including dates constituting alleged violation; d. What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; e. Remedy sought by the complainant; and If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step. 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. C. If mutually satisfactory resolution results and the Santa Ana LWIA concurs, the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed. d. If resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he/she so desires. 3. Request for Hearing a. As in the case of the complaint, the request for a hearing should be put in writing and be filed in person or by mail. A governing board resolution of authorization to appeal should also be submitted when appropriate. The request should be 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 b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten-day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWIA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. b. The date, time, and place of hearing before an impartial hearing officer. C. A statement(s) of the alleged violation(s) Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWIA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment to the circumstances presented. 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. 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. 3. The hearing office designated by the EEO Officer to function in a quasi-judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. 10 4. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. 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. 6. It is important that the hearing officer obtain the fullest information for the record. If the parties involved, or their representatives, do not know how to ask the right or pertinent questions in pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited. 7. The practice in informal hearings is generally not to apply strict rules of evidence in obtaining facts. However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. 8. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing. 9. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWIA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Investment Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWIA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: The name of the parties involved, A statement of the alleged violation and issues related to the alleged violation, A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action, if any, to be taken. 6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. 11 D. Record of Hearing An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWIA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWIA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three-year period after the grant has been officially closed out. The Santa Ana LWIA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 667.600, each employing agency including private -for - profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWIA's established procedures under Section 667.600. At a minimum these procedures must include: Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice, at the time the grievance is filed, of the procedures under which the grievance will be processed. 3. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the filing of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWIA and the State Review Panel in accordance with Section 667.600. 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. A. Form 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 WID Office. The request for review should contain the following information: a. Full name, address, telephone number of the party requesting the review b. Full name, address, telephone number of the other party C. A copy of the decision d. Brief statement of reasons for review or the section of the LWIA decision to be reviewed including regulatory and statutory citations e. A statement of the relief sought. 13 3. Complaintant Responsibility It is the responsibility of the complainant to include in the request for review a written statement setting forth the facts presented at the LWIA hearing which support the requested relief. The Chief, WID, shall mail a copy of the request for review to the other party and to the LWIA. It shall be the responsibility of the LWIA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 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 WID in writing and should include the following: a. Full name, address, and telephone number of the party requesting the review b. Name, address, and telephone number of the LWIA C. Copies of complaints made at LWIA level from which no decisions were issued or sanctions imposed d. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. W 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 WIA, implementing WIA regulations or the grant agreement. This review shall be limited to the record established at the LWIA hearing. V. Procedures for Handling Discrimination Complaints by Participants A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. It is the responsibility of the Santa Ana LWIA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWIA's procedure under Section 11 (A). 15 No later than 180 days of alleged _ discrimination Within 10 days of receipt of unsatisfactory decision or 10 days from date LWIA decision should have been issued Handling of complaints filed at LWIA level arising in connection with WIA programs operated by LWIAs Informal Resolution Process Filing of Complaint / Request for Hearing w 0 Notice of Hearing issued by LWIA b Hearing Conducted I I LWIA Decision within 60 days I Unsatisfactory Decision or LWIA Decision not issued within 60 days Request for State Review w 0 b Governor's Decision issued by State Review Panel If no decision issued by State Review Panel Apueal to DOL 2. In cases where areas of authority overlap, it is the responsibility of the EEO Officer to advise the complainant of the existence of State, Federal and other proper action agencies, which may also have a bearing. 3. Complainants alleging discrimination under this part will be made aware of their right to file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and applicable procedures. 4. Complainants must file their complaint directly with: Lydia H. Morgan EEO Officer Santa Ana Local Workforce Investment Area 1000 E. Santa Ana Blvd., Suite 200 Santa Ana, Ca 92701 VI. Procedures for Handling Handicap Complaints by Participants Complaints alleging discrimination on the basis of handicap will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32. Complaints must exhaust the Santa Ana LWIA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his/her complaint. A. Procedures at the LWIA Level The complainant shall file his/her complaint directly with the Santa Ana LWIA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWIA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. i[. Procedures at the State Level The complainant may appeal to the State if he/she is not satisfied with the decision of the Santa Ana LWIA. 2. The Complainant must file his/her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWIA's decision. The Chief-WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his/her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. 17 No later than 180 days of alleged _ discrimination If no resolution reached Unsatisfactory Decision or No Decision Filed within 30 days of LWIU/State Decision or 90 days frons date of initial filing of complaints Day I Day/45 Day 60 Days No later than 180 days of alleged _ discrimination Within 10 days of receipt of unsatisfactory decision or 10 days — from date LWIA decision should have been issued Handling of complaints filed at LWIA level arising in connection with WIA programs operated by LWIAs Informal Resolution Process I Filing of Complaint / Request for Hearing Notice of Hearing issued by LWIA I Hearing Conducted I LWIA Decision within 60 days 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 w 0 w 0 I 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. 4. Complainants must file their complaint directly with: Lydia H. Morgan EEO Officer Santa Ana Local Workforce Investment Area 1000 E. Santa Ana Blvd., Suite 200 Santa Ana, Ca 92701 VI. Procedures for Handling Handicap Complaints by Participants Complaints alleging discrimination on the basis of handicap will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32. Complaints must exhaust the Santa Ana LWIA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his/her complaint. A. Procedures at the LWIA Level The complainant shall file his/her complaint directly with the Santa Ana LWIA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWIA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. Ws" B. Procedures at the State Level The complainant may appeal to the State if he/she is not satisfied with the decision of the Santa Ana LWIA. The Complainant must file his/her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWIA's decision. 3. The Chief-WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his/her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. 17 No later than 180 days of alleged _ discrimination If no resolution reached Unsatisfactory Decision or No Decision Filed within 30 days of LWIAIState Decision or 90 - days from date of initial filing of complaints Day 1 Day/45 Day 60 Days GLOSSARY OF WIA TERMS AGE DISCRIMINATION ACT - A law passed by Congress in 1975 which prohibits discrimination on the basis of age by any program or activity receiving Federal funds. APPLICANT - An individual who applies to a subrecipient or contract for services provided under WIA and who has no yet transitioned to the status of participant. ASSESSMENT - Services designed to determine each participant's employability, aptitudes, abilities and interests and to develop a plan to achieve the participant's employment and related goals; also to identify the available employment and training activities appropriate for the participant. Testing and counseling may also be used during the assessment process. CHARGING PARTY (CP), COMPLAINANT, GRIEVANT, OR AGGRIEVED PERSON - The person who charges that he/she has been discriminated against under Department of Justice nondiscrimination and civil rights regulations and/or guidelines. DISCRIMINATION - In general, a failure to treat all equally, whether intentional or unintentional; the effect of an action, policy or practice which selects an individual or class of persons to receive unequal treatment. ELIGIBLE NON -CITIZEN - Lawfully admitted permanent resident, aliens, lawfully admitted refugees, and parolees and other individuals authorized by the Attorney General to work in the United States. EMPLOYER - An employer subject to the provisions of the Civil Rights Act of 1964, as amended, including state and local governments and any Federal agency subject to the provisions of Section 717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by Executive Order 11246, as amended. GRIEVANCE - An allegation that something imposes an illegal obligation or burden or denies some equitable or legal right, or causes injustice. HANDICAPPED INDIVIDUAL - Any individual who has a physical or mental disability that constitutes or results in a substantial handicap to employment. iH INTAKE - Includes screening to determine eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT - A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual 'joint complaints" are normally investigated by EEOC unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in employment and other practices and pattern or practice 'joint complaints" are normally investigated by OCR. JURISDICTION - Authority to investigate and resolve complaints against an institution subject to a law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc. PARTICIPANT - Any applicant who has: (1) Been determined eligible for participation upon intake; and (2) Who is receiving subsidized employment, training or services (except post -termination services) funded under the Act, following intake, except for an individual who receives only outreach and/or intake and assessment services. 19 Exhibit E CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS, GRANTS LOANS and COOPERATIVE AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief, that: 1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contracts, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan or cooperative agreement. 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. 3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more that $100,000 for each such failure. ,�;"�� ✓ �� z5 03 Grante /Contract Organization ame of Certrtying Exhibit F Certification Regarding Drug -Free Workplace Requirements The certification set out below is a material representation upon which reliance is placed by the U.S. Department of Labor 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 Labor, 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 wor kplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug -free awareness program to inform employees about — (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug -free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the contract, the employee will - 0 ) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. I Pg. 2 (e) Notifying the U.S. Department of Labor within ten days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction; (f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted - ( 1) Taking appropriate personnel action against such an employee, up to and including termination; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Making a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached "Plac e 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 Department of Labor immediately upon the decision to use such additional sites by submitting a revised "Plac e of Performance" form. Dated: it 25 0 Program Operator DIVISION OF EMPLOYMENT SERVICES PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS Name: Name of Contractor: —�AkA ArQA LSN 1 1 t7 SCI 1C� �1_ 121 "� Contractor Number: Date: z 5 /03 The Contractor shall insert in the space provided below the site(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): Street Address City Phone Number (��(S S, 5AKTA ANA SELF -CERTIFICATIONS Location of Records - Initial I understand, all accountilvg records and evidence pertaining to all costs of CONTRACTOR and all documents related to this Agreement shall be kept available at the location where CONTRACTOR conducted the program, as well as in the County of Orange, for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. Clean Air / Clean Water Act - Initial I understand, if the grant hereundeikxceeds $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. Drug Free Environment- Initial My organization agrees to provide 1 drug -free work place and to execute a certification as set forth in the contract. WILL SUBMIT Single Auditpl /initial My organization has has or has not expended $300,000 or more of federal funds in fiscal year ending on or before December 31, 2002, has or will conduct an audit in accordance with Section 184 of the WIA, Title 20 CFR Section 667.200, Title 29 CFR Part 95 or 97 (as applicable), and Title 31 USC Chapter 75. If applicable, submit copy of 2002 Audit. Commercial General Liability - Initial CONTRACTOR agrees to obtain and eep 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 insured; and state that such coverage is primary to any other coverage or self-insurance of the State of California and CITY. Governmental entities may substitute a certificate of self-insurance. Submit Copy of Policy Automobile Liability Coverage -AL Initial CONTRACTOR shall also obtain and'maintain, during the effective period of this Agreement, broad form automobile liability coverage with a $1,000,000limit unless reduced by CITY, which applies to both owned1eased 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. Submit Copy of Policy Workers' Compensation Coverage - Initial I understand, if CONTRACTOR is an "em oyer", asset forth in California Labor Code Section 3300 et seq., or utilizes participants as "employees," asset forth in alifomia 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. Submit copy of Policy I certify that my organization will comply with the all stated language and that I am the person authorized to sign such agreements on behalf of the organization 8-177-03 Signature Date Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' responsibilities. The regulations were published as Part VII of the May 26,1988 Federal Register (pages 19160-19211). (1) The prospective recipient of federal assistance funds certifies, by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal department or agency. (2) Where the prospective recipient of federal assistance funds is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Name and Title of Authorized Date 0-47-03 U. EXHIBIT G WIA In -School Youth Budget Serving 28 Participants for the Santa Ana Unified School District; September, 2003 BUDGET NARRATIVE ATTACHMENT C BUDGET PLANNING FORM Administrative Program Total WIA Match/In Kind Personnel Salaries* $ 94,500.00 $ 94,500.00 Benefits 13,995.00 13,995.00 Other (list)* Total Personnel $ 108,495.00 $ 108,495.00 Operating Expenses Rent or user fee* Utilities Phones Internet fees Parking fees Security Maintenance Insurance Equipment* Rental fees Purchase Vehicle lease charges (vehicles may not be purchased) Office expenses (consumables) Accounting Services Legal services Auditing services Indirect costs (attach indirect cost rate plan**) Staff training Staff travel/mileage Customer Training* Support services* Profit (for profits only) Other (list)* $ 2,250.00 $ 2,250.00 Total Operating Expenses $ 2,250.00 $ 2,250.00 GRAND TOTAL (Total Personnel + Total Operating Expenses) $ 110,745.00 011074500 * attach a separate sheet detailing these costs WIA In -School Youth Budget Serving 28 Participants for the Santa Ana Unified School District; September, 2003 SUCCESS BO UND! 2003/04In-School Youth Program Detailed Budget Information Admin. Sun. Ser. Dir. Ser. Total L SALARIES Certified salaries Program Operations (part-time WIA Prgm. Spec.) $9,000... ....... $9,000..... $18,000 Classified salaries Program Operations (WIA Coninty. Spec.) 12,300 .......... 30,000 ....... 42,300 Program Operations (WIA Comnty. Spec, extra dutylovertime) 10,000 .......10,000 Student Paid Employment/Internships (3,585 hours @ $6.75/hr) 24,200....... 24.200 76,500 II. OTHER OPERATING EXPENSES Books, Office Supplies, Etc. Office expenses; pagers (2) 250..... Operational Instructional Supplies 200 Contracted Services & Other Operating Expenses Mileage 1.000 .....0.................. 250 800.............1 000 1,250 ....... ....... ......... 1,000 7. Exhibit H Provider agrees that in addition to those agreements and obligations specified in the contract boilerplate and scope of work, it will also adhere to and obey the following provisions, assurances, and certifications. ARTICLES 1) Provider agrees to serve target population specified in the Work Plan. 2) Provider agrees to recruit youth with ample time to deliver full program objectives as specified in the Work Plan. 3) Provider agrees to meet or exceed Performance Benchmark Goal Projections specified in the Work Plan. 4) Provider agrees to invoice Santa Ana WIB for all program services/activities on a monthly basis. Provider will attach all supportive documentation. 5) Provider agrees to provide participant the following WIA elements: a. Work Experience / Internships (Paid & Unpaid) b. Leadership Development 6) Provider agrees to provide participant access to all 10 WIA elements through participation in the Youth Service Provider Network. 7) Provider assures debarment action has not been taken against named organization. 8) Provider assures and certifies that it will not use any funds appropriated under this agreement for religious activity or anti -religious activity, or to promote or oppose any political candidate, parties, and/or beliefs. 9) Provider agrees to comply with the Americans with Disabilities Act by providing equal access to individuals with disabilities in the public and private sector services, transportation, communications and employment. 10) Provider assures and certifies that any requested modification to this agreement must be submitted in writing, explaining requested changes and rationale. Provider further assures that no modification will be implemented without prior written approval from the Santa Ana WIB Youth Council. i 11 Provider agrees to cooperate with any monitoring, inspection, audit, or investigations of activities related to this agreement as may be scheduled and/or conducted by the Santa Ana WIB/Youth Council. 12) Provider assures and certifies that where applicable, classroom instructors are properly credentialed, and training curriculums comply with State Education Codes. 13) Provider agrees to acknowledge (given credit) the Santa Ana WIB Youth Council as the source of funds in all oral presentations, written document, publicity, and advertisements regarding any activities that ensue from this agreement. EXHIBIT I INSURANCE A'"4� Santa Ana Unified School District a � f RISK MANAGEMENT At Mijares, Poi-D., Superintendent °srlteo� September 17, 2002 Lydia Morgan Work Center City of Santa Ana 1000 E. Santa Ana Blvd., Suite 200 Santa Ana, CA 92701 Re: Self-Insurance/Work Center Programs Dear Ms. Morgan: 0.0 VV`'P� Pss\stia The purpose of this letter is to advise that the Santa Ana Unified School District is legally self -insured for comprehensive general liability, including sexual misconduct liability, in the amount of $1,000,000 and auto liability in the amount of $1,000,000. Additionally the District has $14,000,000 in excess liability insurance with Schools Excess Liability Fund (SELF). The District is self -insured and and self-administered for workers' compensation- The District's workers' compensation self-insurance retention limit is that required by California statutes. It is hereby understood and agreed this insurance shall not be canceled, limited, or non - renewed by Santa Ana Unified School District without 30 days prior written notification to the City of Santa Ana. This letter verifies that the City of Santa Ana, its officers, agents, employees and representatives are hereby covered as additional self -insureds pursuant to above - captioned application and agreement. It is agreed that any insurance maintained by the City of Santa Ana will apply in excess of, and not contribute with, insurance provided by this policy. If you have any questions, please call me at (714) 558-5856. Very truly yours, Eugene D. Clough ' Director of Risk Management EDC:rms 1601 E. Chestnut Avenue, Santa Ana, CA 92701-6322 (714) 558-5856 BOA® OF EDUCATION John Ealmau, President • Nadia Maria Davis, vice Presideat Rosemarie Avila, Clerk • Nativo Lop¢, Member • Sal Tiaalem, Member