HomeMy WebLinkAboutO.C. YOUTH COMMISSION 6City of Santa Ana ~ ~~~~
Clerk of the Council
AGREEMENT TERMINATION
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CLERK OF COUNi:;] .
DATE: OCT 2 5 2.001
A-2007-200
Contract No.
AGREEMENT UNDER THE WORKFORCE INVESTMENT ACT
THIS AGREEMENT, made and entered into this 20th day of August, 2007 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 Orange County Youth
Commission ("CONTRACTOR").
W - I - T - N- E-S-S- E- T - H
Recitals:
A. CITY has been designated a Local Workforce Investment Area (LWIA) under
the Workforce Investment Act of 1998, Public Law 105-220 ("the Act").
B. The State of California has created the L WIA to administer the Act programs
operated by the State of California pursuant to the Act.
C. As a L WIA, 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.
California law.
CONTRACTOR is willing to operate said program pursuant to the Act and
WHEREFORE, for and in consideration of the respective and mutual covenants and
promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties
hereto do hereby agree as follows:
I.
CONTRACTOR'S OBLIGATIONS
Page 1 of 14
A. CONTRACTOR agrees to provide the following services pursuant to said
program, as more specifically set forth in CONTRACTOR'S program narrative contained in "Exhibit
A" and in the Statement of Work (Exhibit B), attached hereto and by this reference incorporated
herein:
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 perfonn 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 WlA", attached hereto as "Exhibit e" 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.
H. CONTRACTOR agrees that no participant(s) shall commence training prior to the
approval of funding pursuant to Section 123 of the Act.
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1. CONTRACTOR agrees to maintain such records and submit such reports, data and
infonnation. 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 Santa Ana Work Center Administrative
Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California 92701 a completed Workforce
lnvestment Act Application form (WIA EWIR) and supporting documents within 60 days of
application date: a complete Workforce Investment Act Enrollment/Registration fonn (WIA EWIE)
and Workforce Investment Act Goals form (WIA EWIG) must be submitted along with the WIA
EWIR; any subsequent updates to EWIE and lor EWIG must be completed within 10 days of the begin
date of activity or end date of an activity: Workforce Investment Act Exit form (WIA EWlT) within 15
days of completion/termination of active enrollment of trainee; and the Workforce Investment Act
Follow-Up Contact lnformation form (WIA EWIF) within 21 days following 30, 60, 90,180, 270, and
360 days of exit.
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
Govemment take exception, shall be retained beyond the three (3) years until resolution of disposition
of such appeals, litigation, claims, or exceptions.
J. Without prejudice to any other section of this Agreement, CONTRACTOR
shall, where applicable, maintain the confidential nature of information provided to it concerning
participants in accordance with the requirements of federal and state law. Notwithstanding the
foregoing, CONTRACTOR agrees to submit to CITY, the State of California and/or the United States
Government or their representatives, all records requested for administrative purposes, including
audits, examinations, monitoring and verification of records submitted by CONTRACTOR, costs
incurred and services rendered hereunder.
K. CONTRACTOR agrees to complete in triplicate, a monthly Invoice/Voucher on
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CITY's lnvoice/V oucher 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 sub grant 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 (10th) day of the month
following the month in which CONTRACTOR'S services are perfonned. 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 VlIA
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-I02 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 reguIations at 29 CFR Part
97.
P. CONTRACTOR shall comply with the requirements of federal regulations
found at 29 CFR 93 which provide that no appropriated funds may be expended by the recipient of a
federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting
to influence an officer or employee of any agency, member of Congress or an officer or employee of a
member of Congress in connection with awarding of any federal contract, the making of any federal
grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or
modification of any federal contract, grant, loan or cooperative agreement. CONTRACTOR shall sign
a certification to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference
incorporated herein. CONTRACTOR shall submit said signed certification to CITY prior to
perfonning any of its obligations under this Agreement and prior to any obligation arising on the part
of CITY to pay any sums to CONTRACTOR under the terms and conditions of this Agreement.
Q. CONTRACTOR agrees to provide a drug-free work place and to execute a
certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference.
R. CONTRACTOR, in accordance with the Child Support Compliance Act,
recognizes and acknowledges the importance of child and family support obligations and shall fully
comply with all state and federal laws relating to child and family support enforcement, including, but
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not limited to: disclosure of information and compliance with earnings assignment orders, as provided
in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to
the best of its knowledge is fully complying with the earnings assignment orders of all employees and
is providing the names of all new employees to the New Employee Registry maintained by the
California Employment Development Department (EDD).
S. CONTRACTOR agrees to comply with all applicable provisions of the ACT and
the federal regulations, including but not limited to the regulations found at 20 CFR part 629.
II.
CITY'S OBLIGATIONS
A. CITY agrees to pay to CONTRACTOR when, if and to the extent federal funds
are received under the provisions of the Act a sum not to exceed ninetv-six thousand two hundred sixty
dollars ($96,260) for CONTRACTOR'S performance in accordance with the payment schedule
attached hereto as "Exhibit F" during the period of this Agreement. Said sum shall be paid after CITY
receives invoices submitted by CONTRACTOR as provided hereinabove.
B. CITY agrees to provide for on-site monitoring reviews of said
program operation at least twice annually. In addition, monthly desk-top reviews of pertinent
information will be conducted.
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 July 1. 2007 and all duties arising under this
Agreement shall have been performed by June 30, 2008 . The term of this Agreement may be
extended by a writing executed by the Executive Director of the Community Development Agency and
the City Attorney.
IV.
INDEPENDENT eONTRAeTOR
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.
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v.
WORKER'S eOMPENSATION 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.
APPLleABLE 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 acknowledges and confirms that the U.S. Department
of Labor has established three (3) core performance measures for youths ages 14-18 and four (4) for
core performance measures for older youth ages 19-21. In addition, the U.S. Department of Labor has
imposed three (3) common measures for youth ages 14-21. Pending \V1A reauthorization and or U.S.
Department of Labor and EDD updates, CONTRACTOR agrees to implement and shall meet any
additional perfonnance measures that may be subsequently required by the Workforce Investment Act
or by any other Federal, State, and local law.
2. 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 ofrace,
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.
3. CONTRACTOR shall comply with any and all federal laws limiting the
political activity of employees hired under this Agreement.
4. CONTRACTOR shall comply with the requirements that no program
under the Act shall involve political activities.
5. 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.
6. 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
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such program because ofrace, creed. color, national origin, sex, political affiliation or beliefs.
7. CONTRACTOR shall maintain appropriate standards for health and
safety in work and training situations.
8. CONTRACTOR shall comply with general provisions, assurances, and
certifications attached hereto as "Exhibit G" and incorporated herein.
9. 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."
10. Based on the population eligible to be served, or likely to be
directly affected by the WIA program or activity, the services or information may need to be provided
in a language other than English in order to allow such population to be effectively informed about or
able to participate in the program or activity. Pursuant to 29 CFR 37.35, the Contractor must take
reasonable steps to provide services and information in appropriate languages after considering the
scope ofthe program or activity, and the size and concentration of the population that needs services or
infonnation in a language other than English.
11. 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
C01\TRACTOR by the CITY and/or purchased by the COr'\TRACTOR 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.
12. C01'\TRACTOR 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.
13. 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 ofperfonnance 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 infonnation, specifications and right title and interest to the designated agency.
14. INVENTIONS, PATENTS AND COPYRIGHTS.
A. Reporting Procedure. If any project produces patentable items, patent rights,
processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or
agreement, the CONTRACTOR shall report the fact promptly and fully to the CITY. The CITY shall
report the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY
and the DOL and its representative on these matters, the DOL shall determine whether to seek
protection on the invention or discovery. The DOL and its representative shall determine how the
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rightsin the invention or discovery. including rights under any patent issued thereon, will be allocated
and administered in order to protect the public interest consistent with the "Governmental Patent
Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23,
197 L and Statement of Govermnent Patent Policy as printed in 36 FR 16889).
B. Copyright Policy.
1. Unless otherwise provided in the terms of the grant or agreement, when copyright-
able material is developed in the course of or under a DOL Grant or agreement, the author and the
CITY which developed the work is free to copyright material or to permit others to do so. The
CONTRACTOR and the Workforce Investment Board (WIB) shall have a royalty-free, nonexclusive
and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted
material.
2. The DOL reserves a royalty-free, nonexclusive, and irrevocable license to
reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes:
(a) The copyright in any work developed under any grant, sub-grant, or contract under a grant or
subgrant: (b) Any right of copyright to which a grantee, subgrantee or a CONTRACTOR purchases
ownership with grant support; and (c) CONTRACTOR shall comply with the requirements of 29
CFR Part 97.34.
C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data
first procured or delivered under this Agreement.
15. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder
exceeds $100.000, CONTRACTOR must comply with Section 306 of the Clean Air Act [(42 use
1875(h)]; Section 508 ofthe Clean Water Act (33 USC 1368): Executive Order 11738 and
Enviromnental Protection Agency ("EP A") 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 EP A 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 EP A List of
Violating Facilities;
(c) It will notify the CITY and the EP A about any known violation of the above laws
and regulations.
C. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT:
1. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in
order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This
Agreement will be administered in an impartial manner, free from errors to gain personal, financial
political gain. CONTRACTOR, its officers and employees, in administering this Agreement, will
avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias.
special interest or desire for personal gain.
2. Emplovment of Fonner State or CITY Employees. CONTRACTOR will ensure that any of
its employees who were formerly employed by the State of California or CITY, in a position that
Page 8 of 14
could have enabled such individuals to impact policy regarding or implementation of programs
covered by this Agreement will not be assigned to any part or phase of the activities conducted
pursuant to this Agreement for a period of not less than two years following the termination of such
employment.
3. Conducting Business Involving Relatives. No relative by blood, adoption or
marriage of any executive or employee of CONTRACTOR will receive favorable treatment when
considered for enrollment in programs provided by, or employment with, CONTRACTOR.
4. Conducting Business Involving Close personal Friends and Associates.
Executives and employees of CONTRACTOR will be particularly aware of the varying degrees of
influence that can be exerted by personal friends and associates and, in administering this Agreement,
will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is
being granted to friends and associates. When it is in the public interest for CONTRACTOR to
conduct business with a friend or associate of an executive or employee of CONTRACTOR, an elected
official in the area or a voting or non-voting member of the Workforce Investment Board (WIB), a
permanent record of the transaction will be retained.
5. Avoidance of Conflict of Economic Interest. No executive or employee of
CONTRACTOR elected official in the area, or voting or non-voting member 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.
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, fl.'om 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.
INS URAcl\l' eE
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1. Commercial General Liabilitv. CONTRACTOR agrees to obtain and keep in force
during the tenn 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 CIT'{ 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
Califomia Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in
Califomia 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
Califomia 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 ofthe full
replacement value thereof, providing protection against the classification of fire, extended coverage,
vandalism, malicious mischief, theft, and special extended perils. Governmental entities may
substitute a certificate of self-insurance.
5. Proof of Insurance. Certificates and endorsements must be submitted and approved
by CITY prior to any work under this Agreement. CONTRACTOR understands that CITY will make
no payments under this Agreement until the required certificates and endorsements have been approved
by CITY.
IX.
CORPORATE STATUS
All corporate CONTRACTORS shall be in good standing, without suspension by the
California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in
corporate status or suspension shall be reported immediately to CITY.
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X.
ASSI GNABILITY
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.
LA'VS GOVERNING THIS AGREEME~T
In its performance under this Agreement, CONTRACTOR shall fully comply with the
requirements of the following, whether or not othef\vise referred to in this Agreement:
1. The Act and all applicable federal statutes. regulations, policies, procedures and directives,
including but not limited to, 20 C.F.R. Parts 652 and 660 through 671.
2. All applicable State statutes, regulations. policies, procedures and directives;
3. All applicable CITY policies, procedures and directives;
4. All applicable local ordinances and requirements, including use permits and licensing:
5. Court orders applicable to its operation: and,
6. The terms and conditions ofthis Agreement.
If any of the foregoing is enacted. amended, or revised, COKTRACTOR 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.
EXeLUSIVITY AND AMENDMENT OF AGREEMENT
This Agreement supersedes any and all other agreements, either oral or in wntmg,
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 climinal activity relating to expenditure or receipt of funds under this
Agreement.
XIV.
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CONTINGENeV 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.
TERlVIINA TION
This Agreement may be terminated by either party at its sole discretion, upon thirty (30)
days written notice to the other party. Notice shall be deemed served on the date of mailing. However,
CONTRACTOR may not terminate this Agreement if undue hardship will result to any participant.
XVI.
DISPUTES
Except as otherwise provided in this Agreement, any dispute concerning any question
arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision
to writing and mail or otherwise furnish a copy thereof to CONTRACTOR. The decision of the City
shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of
such copy, CITY receives from CONTRACTOR written request to appeal said decision.
Procedures governing the appeal shall be prescribed by CITY and/or the State of
California in accordance with the Act and all corresponding regulations and OMB circulars. Pending
final disposition of the appeal, CONTRACTOR shall act in accordance with CITY's decision unless
the dispute involves a change order.
XVII.
BREACH - SANeTIONS
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 CUlTent 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)
telminate this Agreement by giving written notice to CONTRACTOR of such termination in
accordance the notice provision in Paragraph XVIII herein below.
Page 12 of 14
XVIII.
NOTIeES
All notices, reports and correspondence between the parties hereto respecting this
Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as
follows:
CITY:
City of Santa Ana
Manager. WIB Administrative Office
P.O. Box 1988 (M-73)
Santa Ana, CA 92702
and,
CLERK:
Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
Telefacsimile (714) 647-6956
CONTRACTOR:
Orange County Youth Commission
1850 E. 17th St. Ste. 220
Santa Ana. CA 92705
(714) 542-7635
Telefacsimile (714) 542-7635
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 tenns 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.
MISeELLANEOUS PROVISIONS
Page 13 of 14
a. Each undersigned represents and wan"ants that its signature hereinbelow has the power,
authority and right to bind their respective parties to each ofthe terms of this Agreement, and shall
indellliufy 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.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first
above-written.
ATTEST:
CITY OF SANTA ANA, a municipal
corporation of the State of California
"CITY"
. 1
,'\) \.J L '^ ,
r~6..-~
~v reE. Heaif
Clerk of the Council
APPROVED AS TO FORM:
"CONTRACTOR"
BY(}(Mi1rltl4Lt (/~
Name: Rosemarie Avila
Title: Founder and President
TaxID#: 31-1755406
RECOMMEND FOR APPROVAL:
&1uJ~
~Stephen . arding
~ Deputy Cl y Manager for Development Services
Page 14 of 14
Exhibit A
Orange County Youth Commission
Santa Ana, California
WIA 2007-2008
PROPOSAL NARRATIVE
ABOUT THE PROGRAM
EXEeUTlVE SUMMARY
The Santa Ana Boxing Club is a unique asset in our community that draws teenagers to
the exciting sport of boxing and the opportunity to become part of the Santa Ana Boxing
Club Team. The purpose of the Club is to provide vulnerable, low-income youth with a
safe, motivating environment and the necessary expertise and resources to strengthen
their academic performance and build their character and leadership potential. The elub
is an inviting, supportive environment for youth -- particularly at-risk youth -- as it
provides professional boxing instruction coupled with focused academic tutoring,
leadership development and individual counseling. The Club is also a site for mentoring
and job development. Efforts are geared to preparing youth for successful high school
graduation, post-secondary education, employment and self-sufficiency. Thus, this
program mirrors the goals of WIA.
The Santa Ana Boxing Club provides boxing training, academic tutoring and character
education ill a historic boxing facility at 901 E. Fourth Street. The boxing gym is open
weekdays from 3 to 4 p.m. for tutoring, and 4 p.m. to 7:30 p.m. for boxing skill
instruction. This program focuses on developing discipline, sportsmanship, as well as
boxing skills. Teens compete in boxing tournaments and gain perseverance and self-
confidence. The boxing club also has an intensive tutoring program five days a week one
hour prior to the boxing practice. The Boxing Club Director is a certified drug and
alcohol rehabilitation counselor and a certified boxing coach with USA Boxing. We
invite successful business people and community leaders to share their stories with the
youth. They share about their professions, the lessons they have learned and mistakes
they have made, inspiring our young people, exposing them to career options and
showing them how to attain their dreams. Speakers often stay to answer individual
questions and have one-on-one discussions with the teens.
The gym is unique, and old historical street boxing gym, Clients are attracted to the
exciting environment of students boxing in the boxing ring, punching bags, jumping rope
and working out on equipment and with weights. Computers and a tutoring section of the
gym enable clients to have a suitable place to study and do homework.
Target Group:
We serve the neediest youth from the community. Their families are low-income and all
are in need of academic support and positive experiences. The target populatjon is
defIDed as junior and high school students, who are "In-School Youth" between the ages
of 14 and 18 who are or were considered "at-dsk" of academic failure, gang involvement,
criminal/deviant behavior and/or substance abuse. The majority of these youth come to
us deficient in basic academic skills (e.g., reading, writing, math, grammar). All require
Orange County Youth Commission
Santa Ana, California
individual counseling and/or mentoring services to accomplish educational goals. Many
have past gang involvement. Others have been suspended or expelled from school at one
time or another and some are involved in alternative school settings like the Community
Day School, which refers students. A number of youth are members of families on
welfare. Several are youth in the foster-care system and others are on parole. The
majority is at-risk for school failure and dropping-out. Every element of our after-school
programs is geared to preventing school drop-out.
In 2006, OCYC provided a job for a young lady who has been through the foster care
system and subsequently hired her to work in the office keeping track of WIA receipts
and paperwork. We have several youth who attend the program who are on probation.
Staff is currently mentoring one young man, a youth offender, and gave him a job
shadowing experience and he was hired to help with drug counseling.
We have young people who have been in the boxing program for three and five years.
One young man wanted to get into the Santa Ana ROTC but could not. Anthony Serrano,
Sports Club Director, encouraged him not to quit and he finally made it into the program
and is now in the military. He continues to come back to the gym when he is off to visit
Anthony.
One boy was a runaway from home for two weeks. Anthony noticed his eyes were red
and at first suspected drug use. The boy continued to deny drug use. Anthony watched as
he left the gym and noticed he was crying. Anthony chased after him and learned that the
boy had run away from home for two weeks. Anthony, through counseling, was able to
reunite the boy and his mother.
Number of youth served: The number of youth that attend the boxing club fluctuates
from 50 to over 100 with an average of 30 to 40 each day. However, we project that we
will case-manage and serve 15 youth in this special WIA program and follow up with an
additional 15 as they exit the program. Over the course of the 12- month period during
the 2007-08 year, we will be serving a total of 30 teens, 14-18 years of age, providing
intensive tutoring, leadership development, counseling and follow-up services).
Although our goal is to have 15 enrolled in the program, we will continue to emoll
additional clients throughout the year. They all live within inner city limit of Santa Ana,
California, designated as a high crime area. Those youth who will participate under this
grant are legal u.s. residents who reside in Santa Ana, California and are members of
low-income families. They all presently attend the Orange County Youth Commission's
(OCYC) Santa Ana Boxing Club, an after-school program that integrates academic
tutoring, mentoring and other supportive activities with athletic skill development and
leadership training. All of these youth require incentives to participate and some of these
youth are on probation, or in foster care. Many of these youth live with relatives other
than father and mother and many have only one parent.
The Santa Ana Boxing Club is one of 17 after-school clubs operated by OCYC. Most
clubs are located in school settings, but this one is unique in that it located in an authentic
boxing club within the local community.
Orange County Youth Commission
Santa Ana, California
This Program Addresses the following Elements:
Element Number 1: Tutoring, study skills training, and instruction, leading to completion
of secondary school, including dropout prevention strategies.
We actively provide tutoring in all of our after-school clubs and, in particular, the Santa
Ana Boxing Club. In 2006, we installed four new computers and have internet access on
each. There is a physical area in the Club where students can utilize computers for
homework. This area also serves as the tutoring area. We collaborate with Santa Ana
College, Vanguard University, Biola University and other schools to place college
students within the Club for tutoring. Here, they work one-on-one with youth identifying
and addressing academic deficits where needed. All tutors are trained by Project
Manager, Rosie Avila, a certificated teacher, a certified Stanford Testing Administrator,
and member of the SAUSD school board for 16 years. Ms. Avila will provide
comprehensive instruction in tutoring.
Each student receives a pre-test to identify their current academic status and to identify
areas that need improvement (reading skills, vocabulary, comprehension, basic math
skills, etc.). The tutors establish an academic plan with the student to help them reach
certain goals such as grades in individual classes; improving their overall GP A. They
discuss steps to reach those goals and monitor progress toward that goal.
A major incentive for youth to focus on homework and academics is that it is the key to
boxing team membership. Boxing team membership serves as incentive to raise grades.
In turn, the higher GP A becomes an intrinsic incentive. Our unique approach to character
development (see element # 6) provides the necessary tools to achieve and do well in
both academic and career pursuits. And the teaching/mentoring from staff and
business/community professionals give them insight and connections needed to help them
along their chosen path.
We have seven years of experience with the boxing program and we are completing our
first year as a WIA youth-serving agency meeting most of the performance goals.
Students have raised their grades. One student in particular, had only F's in school and
was placed in continuation school. After working at the gym, he raised his grades to A's
and B's and is now no longer in an alternative school program but back in a regular
school environment.
Of the Santa Ana Boxing Club, Santa Ana Police Department Sergeant Richard Murg
says, "This boxing program is unique. No other boxing club offers young people what the
Santa Ana Boxing Club offers with its skill development, tutoring and character
development. "
Element Number 6: 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;
Orange County Youth Commission
Santa Ana, California
Character development is a unique emphasis we have incorporated into our after-school
programs. Our curriculum encourages responsibility and other positive social behaviors
so youth can live out ethical lifestyles and succeed in their future goals including
employment opportunities. Our goal is to provide these young people with the character
education necessary to make personal, academic, career-goals and meet these goals
successfully in the process of training them in the sport of boxing. This also aids in
providing our youth the opportunity to develop positive social behaviors and life skills
that will help them acquire and retain future employment. These character traits include:
1) Respect; 2) Responsibility; 3) Integrity; 4) Compassion; 5) Perseverance; 6) Initiative
and 7) Forgiveness. All of these character traits are necessary to pursue academic and
career goals and be successful once goals are achieved. They also support conflict-
resolution skills and give youth inner-strength to work through challenges in life. These
character traits are those found in productive workers and citizens. They represent the
type of character we appreciate in our government and business leaders.
Additionally, participants are given opportunities to plan special community service
projects. They develop leadership abilities as they learn to implement their plans and
receive great satisfaction completing the project knowing they are improving their
communities. Community service projects from previous years include Tsunami Relief
Fundraiser, Graffiti removal, and Christmas parties for the neighborhood where the teens
do the giving to the community.
Element Number 10: Comprehensive guidance and counseling, which may include drug
and alcohol abuse counseling and referral, as appropriate.
Anthony Serrano, Sports Club Director, is a certified and experienced drug and alcohol
rehabilitation counselor. He and staff provide prevention and intervention counseling.
They also provide academic counseling to all youth in the program and particularly to
those who are in their last year of high school. Staff will assist youth in making and
implementing informed educational and occupational choices, ensuring that they are
prepared for post-secondary education or specific vocational training.
The boxing club staff may refer many of these youth to WIA youth-serving agencies and
other local programs as deemed appropriate, thus developing a linkage to another agency
that is better equipped to handle specific need. Some of the agencies that we refer to
include La Familia, Ritmo, Therapeutic Arts, Taller San Jose, higher education centers or
career centers at Santa Ana High School or Santa Ana ROP, and more.
Planned Outcomes:
Short-term outcomes include maintaining or increasing GP A, attendance, literacy and
nurneracy scores on the T ABE from pre to post testing. Intermediate outcome measures
include continued involvement with the after-school boxing club and/or peer mentoring,
improvement in attitude. Long-term outcome includes earning high-school diploma, job
placement and trade school or college entry and completion. Case notes in each
Orange Count)' Youth Commission
Santa Ana, California
individual's case file will serve to evaluate their individual academic goal attainment and
character development. We want to encourage and support students so they will stay in
school and graduate, and to help them find the thing they love to do and pursue that
through further training.
Basic Program Approach! Academic Assistance:
Our basic program approach is to utilize the Boxing Club, which is in a community-based
setting, as a means for academic assistance, tutoring, mentoring and college/career
pathing. The youth from the community are attracted to the prospect of joining the
boxing team and attending programs in the facility, an authentic boxing club located in
the heart of Santa Ana. In order to enjoy the opportunity of boxing, they must participate
in the academic component of the program. Our basic approach is to offer 1 hour of
intensive academic tutoring prior to boxing activity. Academic tutoring is the precursor
to the opportunity to join the boxing team, receive boxing instruction and have time in the
ring. We have four computer stations available plus tutoring by college-level tutors. The
tutoring time will be utilized to increase literacy and numeracy scores on the T ABE. We
also provide mentoring and leadership development to help foster character traits that will
serve the youth well as they pursue employment.
Membership on the boxing team has been an incentive to the youth to, at minimum,
maintain a 2.0 GPA. However, we plan to capitalize on the galvanizing properties of the
boxing activity by incorporating additional incentives related to improvement in GP A.
Youth who demonstrate improvement in GP A and other demonstrated academic
measurement can earn additional time in the boxing ring. We anticipate that this will be
a major incentive. Those youth who show academic improvement, who regularly
complete homework, who have regular and on-time attendance at the club will be
rewarded with additional time in the boxing ring, as well as be offered paid opportunities
to work in the gym. Currently we have two boxing club members who have paid
positions. Other incentives are the regular field trips to Magic Mountain, Big Bear, the
beach or local museums as well as attending boxing tournaments.
Collaborations:
The Orange County Youth Commission collaborates with various entities including Santa
Ana Unified School District and individual schools, Hispanic Chamber of Commerce,
Teen Challenge, City of Santa Ana, Olive Crest, Victory Outreach, Juvenile Justice
Department and other teen-serving agencies in our recruitment process.
We work with Santa Ana College, Vanguard University, and Biola University to recruit
mentors and tutors for the program. OCYC President, Rosie Avila, is also a trustee of
Biola University.
Additionally, we have community and business support to enable us to help fund the
program. In addition to the City of Santa Ana, Northgate Gonzalez Markets (a chain of
small Hispanic supermarkets) is one of our major sponsors. Honda Civic of Santa Ana is
Orange County Youth Commission
Santa Ana, California
another major sponsor, Tax and Title Services and an anonymous famous sport figure
also generously support our boxing program.
Outreach and Recruitment
The OCYC staff members are enthusiastic about and committed to the after-school
programs, including the boxing club. We have three staff members actively involved in
networking with local schools, business, along with county and city government
agencies. They collectively put in 24 hours a week in relaying to individual school
administrators, businessmen, and government leaders the OCYC mission and heart to
provide a future and hope to youth who have little future or hope. The hope begins at
redirecting negative behaviors (e.g., poor academic performance, deviant/criminal
behaviors, drug/alcohol use etc...) to positive behaviors (e.g., good academic
performance, positive character development, and drug/alcohol abstinence etc...). As a
result of these youth are equipped to meet standards for academic and career success.
Anthony Serrano, Sport Club Director and Isabel Monje, After-School Club Director,
contact and meet with junior and high school administrators for the purpose of
introducing them to our 17 after-school clubs, which includes the Santa Ana Boxing
Club. We provide printed materials about the club and this year will aim to develop a
special brochure. We not only receive referrals from Santa Ana Unified School District
school administrators/teachers, but we receive referrals from Olive Crest, Victory
Outreach the Hispanic Chamber of Commerce and Teen Challenge as well as other youth
servicing agencies in the Youth Council Network.
Additionally, Dr. Don Verleur, founder of Olive Crest (treatment homes for foster-care
youth), is a member of our board and can refer youth to our programs. We have a strong
recruitment plan with SAUSD due to our president's membership on the Board of
Trustees. We also work with Angel Tree (youth of incarcerated parents) with our summer
camping program. Ralph Fuentez is a member of our board and directs rehabilitation
programs for Victory Outreach (gang involvement and drug abuse). Anthony Serrano
also is in regular communication with Laurie Muir of the Juvenile Justice Department.
In 2006, a feature article about the SA Boxing Club was published in The Orange County
Register and a story was aired on KABC- TV Eyewitness News. This media attention has
served to inform the Santa Ana residents of the boxing club.
This year, we will re-issue an OCYC newsletter and mail to various community agencies
to generate additional awareness of the program.
Staffing:
We have planned for adequate staffing to implement program objectives and ensure that
goals and activities are achieved.
In 2007-08, the Club will be staffed as follows:
Orange County Youth Commission
Santa Ana, California
. 0.375 FTE Project Manager
. 1.0 FTE Sports Club Director
. 0.25 FTE Case Manager
. 0.25 FTE Tutor
. 0.125 FTE Tutor Assistant
. 0.125 FTE Assistant Coach
. 0.125 FTE Administrative Support
. 0.125 FTE Club Manager
MAIN PURPOSE OF THE PROGRAM
The goal of the Orange County Youth Commission is to develop after-school programs
that effectively redirect at-risk inner city youth towards positive academic and career
choices. "At-risk" youth, as defined above, tend to display behaviors that catapult them
into a life cycle of inadequate academic and/or job performance, that result in poverty
and/or adult criminality. Our programs are designed to mitigate negative life choices and
enhance positive life choices made by these at-risk youths. They are designed to provide
options that incorporate academic strengthening with the potential for work preparation
and experience.
Academic support. The after-school boxing club program is designed to provide
academic support, which is a precursor to job and career success, and incentives to Santa
Ana inner city youth. Our after school boxing club is unique in that it serves as an
incentive for Santa Ana inner city at-risk youth, to meet higher academic standards and it
serves a tool to instruct these youth in necessary character development that will ensure
academic and career success. This program will increase commitment to academic
achievement, thus raise, maintain and exceed GP A of 2.0 and literacy and numeracy
scores will increase. Most of our present boxing team members have raised their GP A
from as low as 1.0 to 2.0 and higher. We have not only seen increase GPA level, but also
discontinued gang activity, appropriate attitude change, improved attendance and
initiative.
We provide stipends if books and other study materials are needed, as well as bus passes
or food vouchers. Club members each receive a Santa Ana Boxing Club t-shirt, which
they appear to wear with pride.
Project Manager Rosie Avila is a certificated Elementary Teacher and elected school
board member who has also tutored for Dr. Cho' s reading academy in Irvine. Innovative
teaching strategies will incorporate reading comprehension and vocabulary as well as
basic math skills.
Tutors will receive trammg from the Project Manager who will assist them in case
management. And, the Project Manager will train the tutors in academic strategies and
curriculum to reach academic gains and achievement goals.
Orange County Youth Commission
Sanra Ana, California
Our educational strategy includes: pre-testing with T ABE, assistance with homework,
together identifying academic weaknesses, providing remediation activities and lessons
addressing weaknesses, identifying and maximizing academic strengths, and helping
them to recognize where they excel and how their strengths and the activities they enjoy
can be applicable to specific careers or academic pursuits. Collaboratively with staff,
clients will set individual academic goals dealing with basic skills attainment
(numerology and literacy gains) and discuss intermediate goals such finishing high
school and long-range vocational goals.
Case management will provide documentation of the interventions and progress in
attaining these goals. A post-test will be given when a client exits the program. Periodic
testing may be given after 6 months and 9 months of the program to assess progress and
provide continuous improvement of the program design. Once the client exits the
program, staff will continue to follow up with the clients for 12 months by phone calls,
counseling and invitation to program activities.
The Sports Club Director will continue to attend youth development training by attending
seminars and workshops that are available in the community. Last year, he was enrolled
in three workshops which included the topic of dealing with Adolescent Behavior
Dysfunctions.
Mentoring. An important component of our mentoring program is the regular
presentations by community members. About twice per week, a local business person,
community worker or leader gives an hour of their time to speak to the youth about how
they achieved their career or job goals. These individuals include entrepreneurs,
craftsmen, police officers, firefighters, attorneys, judges, engineers, etc. During the past
year, we have had guest speakers including the sports editor ofthe Daily Pilot newspaper,
an owner of a roofing company, a banker and a gang-prevention counselor.
We ask them to share with the youth about how they first had the dream of becoming
their chosen profession, then how they strategized to meet that goal, what community
resources they tapped how they overcame barriers to reach that goal, what lessons they
learned and what they would do differently if they could. We then ask these individuals
to allow interested youth to contact them for advice as they pursue a particular job or
career goal. Thus, the mentoring relationship is born.
Those youth who have graduated from the program are welcome to return to listen to
these presentations, as well, to gain additional motivation and insight.
This is one avenue we intend to use to guide our youth to gain career awareness; make
career decisions and plans; and understand market needs, trends and opportunities.
We also incorporate a peer mentoring program where those who have completed the
program can return to mentor younger, newer Club members. This has a two-way
positive effect.
Orange Count)' Youth Commission
Santa Ana, Ca1tfornia
Character Building. Uniquely, we incorporate character development curriculum in all
our tutoring and mentoring programs. Here the pragran1 focuses on seven character traits:
1) Respect; 2) Responsibility; 3) Integrity; 4) Compassion; 5) Perseverance; 6) Initiative
and 7) Forgiveness. All of these character traits are necessary traits to prove successful in
academic and career pursuits and accomplishments. We utilize the sport of boxing to
instill these character qualities within the boxing club members. In turn, these character
qualities ensure that our youth will become ethical and responsible employees after they
graduate from high school, trade school and/or college.
Work Experience. Currently, we have two prior or regular boxing club members who
are paid employees. We plan to continue this practice of providing work experience to
promising young men and women in our program.
Special Events. Youth will also benefit from special events provided by the Club and
OCYC. These include participating in boxing tournaments, holiday events, movie
outings, camping, family events and more.
Hours of Operation. The Club is open from 3 p.m. to 7:30 p.m. five weekdays each
week. Tutoring occurs from 3 p.m. to 4 p.m. Coaching and participating in boxing occurs
from 4 to 7:30 p.m. The length of this program will continue beyond the I-year grant
agreement because it has become a core program component.
Staff Interaction with Participants. Club staff have regular and close interaction with
participants. Club staff provide tutoring and instruction on boxing, and can observe a
great deal due to the manageable number of youth present at anyone time in the program.
GOALS/OBJECTIVES AND PERFORMANeE LEVELS
Performance Success:
The Orange County Youth Commission has served Santa Ana inner city youth since
1997. We have been extremely successful in redirecting youth who attend our after-
school programs. In fact, we have requests from non-participating schools to open clubs
on their campus, and have plans to do so. Many of our boxing club members have raised
their GP A from as low as 1.0 to 2.0 and higher. A few have shovm marked improvement
as high as 3.5 and up. The reason for this kind of success is that the boxing club serves a
two-fold purpose. First the prospect of becoming a member of the boxing team, alone,
serves as an incentive for the youth to meet required GP A. Second, the sport of boxing
serves as a tool to teach necessary character qualities to meet academic and career goals
and succeed in them once they are met. Therefore, it is a perfect venue for teaching
necessary character traits to make and meet academic and career goals. Moreover, the
incentive to become a "winning" boxing team member galvanizes them to meet the
academic requirement to join the team.
Short-term outcomes (i.e., maintain or increased T ABE scores, documented positive
character change): Projected percent of youth who achieve one or both objective = 75%
Orange County Youth Commission
Santa Ana, California
We intend to give our youth a pre and post literacy/numeracy test. In order to ensure
meeting literacy and numeracy standards set by WIA. Detailed case notes will provide
evidence of positive character change.
Intermediate outcome (i.e., continued program involvement and peer mentor
involvement): Projected percent of youth who achieve one of combination of objectives =
70%
To ensure that our clients graduate from high school, get a job after high-school, or
continue a college-bound trajectory, we plan to continue to engage them to remain as
members of our after-school boxing club. Moreover, we plan to invite seasoned
members to get involved by becoming peer mentors. Therefore continued involvement
and peer mentoring will serve as intermediate outcome measures.
Long-term outcomes (i.e., high school graduation, trade-school or college
emollment/completion): Projected percent of youth who achieve one or combination of
objective = 75%
The attention to literacy and numeracy competency, along with 2.0 GP A is for the
purpose ensuring high school graduation and subsequent job placement and success, trade
school enrollment or college bound trajectory. Thus, high school diploma, job placement
and success, and trade school or college emollment/completion will serve as long-term
outcome measures.
Youth receive a certificate of completion for participation.
The boxing club has been an incentive to the youth to maintain 2.0 GP A in order to
become a member of the boxing team. We do not turn any young person away. They are
welcome to utilize our boxing facility and we encourage them to do so. However, once
they begin to attend they quickly realize they must meet the 2.0 GP A criterion to become
a member of the boxing team. This has proven successful, thus we plan to capitalize on
the galvanizing properties of boxing team membership by instituting incentives for
increases in GP A over 2.0. To support these goals, we offer one hour tutoring prior to
boxing activity. Completion of homework and receiving assistance from the tutor is a
precursor to being able to participate in boxing activity.
Youth who demonstrate commitment to goals and improvement in grades and other
measurements will be incentivized with a gift card, a Boxing Club sweatshirt, boxing
gloves, wraps, and additional time in the boxing ring. Emiching activities such as trips to
Big Bear, the beach or Magic Mountain and museums are also great incentives to stay in
the program. Additionally, participation in community service projects provide leadership
training, self-confidence and personal satisfaction in knowing you are doing something
positive to serve the community.
Continuous Improvement:
Orange Count)' Youth Commission
Santa Ana, California
We intend to require that our boxing club members maintain a 2.0 GPA in order to attend
boxing tournaments and to continue to attend after-school boxing activities. In order to
ensure that these youth maintain appropriate GP A and increase in literacy and nUilleracy
scores, we intend to offer one-hour tutoring service prior to boxing activity.
Staff will attend monthly meetings to make sure we are implementing the program
correctly and quickly adjusting the program to new requirements or assessment data.
Staff will meet regularly to evaluate program goal attainment, including recruitment and
goal setting and achievement. We will keep in contact with WIA staff and be monitored
by them during the program. Case managers will go through files regularly and students
will be assessed prior to the program and during the program to ensure they are making
progress as well as at the end of the program.
PROGRAM DESCRIPTION
Overall Services to the WIA participant:
. Academic tutoring
. Access to computer and Internet
for academic support
. Group and individual mentoring
. Peer mentoring
. Presentations by guest speakers
. Character education and
leadership development
. Skill development in boxing
. Participation in special events
and boxing tournaments
. Transportation to off-site events
. Case management services
. V ouchers and stipends lor
supportive needs
. Participation in service projects
. Referrals to other youth-serving
agencies in and out of the Youth
Council Network.
We have numerous partnerships and collaborations such as with other service providers
and with employers. Thus, we can make referrals to other agencies as needed, and our
relationships with businesses can lead to employment for our youth. When Mel Trudel,
owner of Custom Comfort mattresses carne to speak at the Club, he met and hired one of
the boxers. SA Police Sergeant Henry Esparza works out at the gym and is mentoring one
of our youth. This youth also received the chance for job-shadowing at a drug counseling
agency, and was subsequently hired there.
Case Management/Intake Assessment:
Anthony Serrano, Sports Club Director, and the tutors will share intake assessment
responsibilities. Anthony will administer original T ABE test. Anthony will interview
prospective youth to ensure that they meet all WIA requirements for program entry.
Anthony functions as our case management supervisor overseeing a staff of tutors who
provide distinctive case management activities. Tutors will observe and note their
observations providing feedback to Anthony and case managers. Two tutors will be in
charge of case notes collected during the tutoring process. Notes are maintained on
academic progress or challenges, attitudes, behaviors, performance and any other
Orange County Youth Commission
Santa Ana, California
pertinent issues disclosed by the youth or observed. They will meet with Anthony and
case manager(s) for one hour each week to share notes and develop intervention plans, if
necessary.
Throughout the course of the week, Anthony has one-on-one and group contact with all
the youth involved in the program. He will keep detailed record of attitudes, behaviors
and performance on each youth involved in the program.
Case management will provide documentation of the interventions and progress in
attaining academic or performance goals. A post-test will be given when a client exits the
program. Periodic testing may be given after 6 months and 9 months of the program to
assess progress and provide continuous improvement of the program design. Once the
client exits the program, staff will continue to follow up with the clients for 12 months by
phone calls, counseling and invitation to program activities.
Anthony, on a regular basis, will review each case record and develop an individual case
plan, accordingly. He will provide special counseling for special needs. If a particular
problem arises that falls outside Anthony's ability to assess and intervene, he will refer to
other appropriate counseling, academic/career or social service programs.
Program Services/Parent and Employer Involvement:
After assessing the needs of the individual participant, youth are introduced to the various
program opportunities at the Club. They are provided with an overview of our resources,
procedures, goals and expectations. They are introduced to the staff, tutors and peers.
They are presented with their Club t-shirt to create a sense of belonging. We stress that
staff are here to assist them to reach their goals and are encouraged to communicate
openly with staff so we can partner with them.
We have always encouraged parent involvement. We welcome them to observe the
activities in the boxing club and to assist with our after-school programs. However, we
are serving a community where mothers and fathers are both working two or three jobs.
Consequently, many are not available to become involved other than to speak with the
tutor/mentor or with the boxing coach/mentor. So, we have beginning and ending of
school events and invite the parents to these events to get to know them and have open
communication with them. Parents and family are always invited to the boxing
tournaments. Anthony has successfully developed trust and communication with parents
and family members. Many of the parents call him for counsel when they have a
problem with their adolescent (e.g., drug/alcohol use, school involvement, social
conflict). Anthony is a licensed Drug/Alcohol Counselor, so he has been able to
successfully intervene to prevent these youth in continued substance abuse.
We are just beginning an outreach to employers in the local area to introduce them to our
programs. These potential employers are asked to give our students a tour of their work
Orange County Youth Commission
Santa Ana, California
environment and speak to them what they have to accomplish to be hired for specific
positions within that particular industry.
Placement in Jobs or Continuing Education:
We actively refer working-age youth to local job opportunities and instruct them III
applying for jobs, such as part-time employment to complement their schooling.
One of our guest speakers, an owner of a mattress company, hired one of our participants,
and another was hired at a counseling center after job-shadowing one of our staff.
Currently, we have two prior or regular boxing club members who are paid employees.
We plan to continue this practice of providing work experience to promising young men
and women in our program.
Follow-up and Retention:
As clients exit the program, we will follow-up to make sure they are progressing in their
personal goals and working toward employment and career training. Since we are new to
the WIA program, we currently do not have any clients who have exited the program. We
plan to call clients monthly after they exit to see how they are doing, provide on-going
counseling and invite them to boxing club activities, including field trips and community
project events. Hopefully, many of them will stay in the boxing program after they have
completed their year with us. Clients who have exited the program will be invited to
different inspirational events and activities as well as field trips and community service
activities.
During follow-up calls, staff will provide individual counseling to encourage youth to
continue to seek a higher education. Mr. Serrano will use this time to assess whether the
youth is experiencing obstacles to meeting life goals for higher education. He will then
refer student to appropriate assistance (e.g., drug/alcohol rehab, counseling, etc.). He will
also refer to WIA youth-serving agencies for necessary counseling, if deemed
appropriate.
The boxing club program is a very popular program among our Santa Ana youth, thus
they are willing to do what is needed to, not just attend the club, but also, become a
member of the team. Our boxing team has won local and national tournaments and these
youth want to join this winning team. Currently, we have five boxers who will be
competing in the World Amateur Boxing Competition this Spring. Consequently, they
are willing to put in the required discipline in, not just boxing practice, but also, academic
study to meet the present 2.0 GP A requirements to belong to the boxing team.
F AeILITIES
Program activities will take place at the Santa Ana Boxing Club.
Orange County Youth Commission
Santa Ana, California
Address of Boxing Club:
901 Fourth Street
Santa Ana, CA 92701
Hours of Operation:
Monday - Friday, 3 p.m. -7:30 p.m.
Transportation to the Facility:
Presently, all but one of the boxing club members, live in Santa Ana. Most of these live
within walking distance. Those that live further than walking distance have easy access
to bus transportation. It is our practice to provide bus passes to those in the \VIA
program. The cost of bus passes is an expense that is included in our fund request.
Youth Friendly Facility:
The uniqueness of boxing draws them to the club, The boxing gym facility is youth
friendly and inviting; our tutoring, boxing exercise program, skill attainment and
competition gives students goals to reach. And field trips and activities retain clients'
interest, especially contact with caring mentors. Indeed, our boxing club is unique in
providing a creative, youth-friendly and youth-welcoming environment that is exciting
and interesting. The facility helps to create a warm, family atmosphere.
Internet Access:
Staff computer has Internet access. As well, the four student computers also have Internet
access.
ADA Requirements:
The Santa Ana Boxing Club has received funding through a private grant to update the
facility restroom to make it wheelchair-accessible and fully ADA compliant. Renovation
is slated to occur during summer 2007.
Orange County Youth Commission
Santa Ana, California
ABOUT YOUR ORGANIZATION
DESeRIPTION OF THE PROPOSER
The Orange County Youth Commission has been in existence since 1997 and has
provided after-school programming to Santa Ana youth for 10 years. Our after-school
programs have offered a future and a hope for at-risk inner city youth who live in an
environment that offer little future or hope. School administrators and teachers have
witnessed first- hand how we have taken their at-risk students and redirected them to
make positive behavioral and academic choices. School administrators and teachers
welcome us on their campus and appreciate the service we have provided for these past
10 years. We track our outcomes by way of case records and grades, along with
administrator/teacher and parent reports.
We have grown from one club serving 60 children to presently operating 17 clubs that
serve over 600 children and teens in 2006 - nearly doubling the number of participants
from the previous year.
We currently have three full-time employees, and six part-time employees.
Our 2007 operating budget is $217,020.
Our sources of revenue are corporate gifts, individual support, private foundation support,
special events and government (including WlA and Community Development Block
Grants). We charge no fees for services or activities.
Administrative Staff Qualifications:
The Orange County Youth Commission founded in 1997, by Rosemarie "Rosie" Avila,
for the purpose of serving the needs of inner-city at-risk youth. Rosie is a governing
board member for the Santa Ana Unified School District 16 yrs and a Trustee of Biola
University. She received a Master of Arts Degree from Biola University in the field of
Organizational Leadership. She has an Elementary Teaching Credential and is a Certified
Stanford Testing Administrator.
Ms. A vila is also a founding member of the Orange County Literacy Collaborative, a
group formed to find best practices in reading instruction for at-risk, low-income English
learners. In 2005-06, the Orange County Youth Commission worked with the Talking
Page Literacy Organization and ABC Learn to coordinate a remedial program of 25 hours
each to over 100 children, some of which were emolled in OCYC after-school clubs.
Staff Qualifications:
Orange County Youth Commission
Santa Ana, California
Anthony Serrano, Sports Club/Program Director, has a certificate in drug/alcohol
counseling and has worked as a drug/alcohol counselor for over 8 years. He is also an
accomplished boxing coach, having trained our young boxers to win local and national
championships. He is enthusiastic about our progranls and thus effective in sharing this
enthusiasm with Santa Ana school administrators, thus getting referrals to the boxing. He
is a Certified Boxing Trainer by USA Boxing.
EXPERlEN CE:
During the last two years, OCYC has operated these programs:
1. M.A.D. elubs (Making A Difference elubs)
We currently operate 17 after-school clubs located at elementary and intermediate public
school sites. Programs include mentoring, homework assistance, structure sports (team
and individual sports such as soccer, basketball, karate, and wrestling are offered) and
character education (The character education lessons teach eight character trains which
include: respect, responsibility, integrity, initiative, compassion, and cooperation as well
as other qualities that will help the children live out ethical lifestyles and become good
employees. We use stories from historical heroes to bring home the lessons.)
MAD Clubs are located at the school sites. This provides a safe after-school option for
children, and the comfort to parents knowing their child does not have to leave the school
premIses.
2. Santa Ana Boxing elub
3. Skateboard elub
4. Special Events and Activities
. Club Kick-Off Event
. Family Success Day
. Surnrner Camping
. Toys for Tots
. Community Service Projects
such as visiting senior
residence homes, collecting
pennies for Leukemia
Foundation (Boxing Club had
a Tsunami Victims Project to
collect shoes and jacket, and
graffiti removal projects)
. Field trips such as fishing
trips, or swim parties, BBQ
Picnics, Movie Outing
. (The teen boxing program
has gone to Big Bear, Magic
Mountain and local
Museums)
Staff Development
As an organization, OCYC conducts ongoing improvement as demonstrated by staff
attendance at youth development conferences and workshops. These seminars focus on
various aspects of youth development and provide professional development for program
Orange Count)' Youth Commission
Santa Ana, California
personnel. We implement best practices gleaned from these seSSIOns within our
programs.
Positions Dedicated to this Proposal:
0.375 FTE Project Manager
1.0 FTE Sports Club Director
0.25 FTE ease Manager
0.25 FTE Tutor - Regular
0.125 FTE Tutor Assistant
0.125 FTE Administrative Assistant
0.125 FTE Assistant eoach
0.125 FTE elub Manager
FISCAL OPERATIONS
Processing Fiscal Data:
Office staff process and log accounts payable and receivables by way of Excel Spread
Sheets. Two copies of every incoming and outgoing-checks are made. One copy is
placed in folder that goes out to our CPA with other appropriate documentation attached
(e.g., copy of bill, receipt of purchase etc...). Bank Statements and Excel Reports are
also sent to CPA for review and reconciliation. We identify every donation and grant
check according to program placement on our Excel Spread Sheet. So, if grant is
specifically designated to Boxing Club the deposit of this check amount is tagged to go to
boxing club. For, disbursement of grants funds we keep specific record of how the funds
are disbursed. So, for example: a check for a teacher/mentor wages would be tagged as
going to teacher/mentor wages. Or, say a check was written for boxing club rental, this
would be tagged as such in the Excel Spread Sheet next to the particular check.
We have invested in Donor Perfect software which allows us to add new levels of
management of income.
Orange County Youth Commission
Santa Ana, California
Procurement Procedures:
Presently, we do not have an official procurement plan on record. However, our
procurement procedures are as follows:
Services/Contracts: Garner three bids, then select bid that is most cost efficient for
highest quality of services.
Purchase of Items: Gather cost information on particular item from several vendors, then
select according to lowest price with highest quality.
Fiscal Accountabilitv:
We send all our fiscal data out to an independent CPA firm to audit and reconcile.
Invoicing:
We have a standard form with OCYC logo and non-profit identification number. Two
copies are made of all invoices; one for our permanent records the other for the CPA.
A part-time administrative assistant will be responsible for generating InVOICeS and
handling billing related to this grant and other accounts receivables.
Recent Audit:
The Orange County Youth Commission has C.P.A. that ensures we maintain professional
bookkeeping standards. We have been audited by the City of Santa Ana. They found that
our "system for accounting conforms to the federal requirements ofOMB Circular A-110
(i.e., regular financial statements, adequate identification and application of CDBG funds,
a chart of accounts with accrual accounting reporting capability)" This report also states
that our "program procedures, currently in place, are adequate for the operations of the
program." In addition, in review of our record keeping procedures for documentation of
clients served, they found that "sufficient information is being gathered to report on
Department of Housing and Urban Development required statistics."
Level of Reliance on WIA:
The WIA Grant serves to galvanize us to establish a more intensive, measurable
academic tutoring component to our after-school boxing club. The funds from this grant
will assist us with enhancement of case management and follow-up procedures.
However, we are not relying solely upon these funds for our existence. OCYC has a
diverse base of funding, including Community Development Block Grant support,
individual and corporate donations, special events income, and foundation support.
Northgate Gonzales, a retail chain, donated $50,000 this past year for our boxing program
and for construction of an ADA-compliant bathroom.
OCYC Financial Stability:
Orange County Youth Commission
Santa Ana, California
OCYC is an established 501 <<J3 non-profit organization. The income has doubled every
year, but one, since 1997. Currently, we are experiencing a growth cycle, both incoming
and outgoing. So, we have plans for program growth with the funds we acquire in the
next year. We are pleased that the community is recognizing the effectiveness of our
program and providing the needed financial support.
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"7
Exhibit C
COMPLAINT HANDLING
UNDER THE
WORKFORCE INVESTMENT ACT
SANTA ANA
WIA
Santa Ana Local Workforce Investment Area
July 1,2001
Table of Contents
I. I nformation Regarding Complaints............................................................................................ 2
A. Nondiscrimination and Equal Opportunity Complaints ..........................................................2
1. Policy Statement........ ........................................................................................................ 2
2. Civi I Rig hts . .. . .. . . . . . ... .. . . . .. . . . . ..... . . . .. . . . .. ..... . . . . .. .. . . . . . . . . . . .. . .. . . . .. . ." . .. .. . .. .. . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . .. 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
I. Information Regarding Complaints
A. Nondiscrimination and Equal Opportunity Complaints
1. Policy Statement
In carrying out the purpose of the Workforce Investment Act (WIA), the City of
Santa Ana Local Workforce Investment Area (LWIA) will establish programs to
prepare youth and unskilled adults for entry into the labor force and to afford
job training to those individuals facing serious barriers to employment. Every
effort will be made to provide services necessary for eligible individuals to
obtain productive employment.
In implementing WIA, all contractors in the Santa Ana LWIA will foster equal
opportunity and non-discrimination, as provided in State and Federal equal
opportunity and non-discrimination laws including, but not limited to:
. Title VI of the Civil Rights Act of 1964
. Title VII of the Civil Rights Act of 1964
. The Age Discrimination Act of 1975, as amended
. Section 503 of the Rehabilitation Act of 1973
. Section 504 of the Rehabilitation Act of 1973
. Title IX of the Education Amendments of 1972
. Section 188 of the Workforce Investment Act of 1998
In keeping with our commitment, no individual shall be excluded from
participation in, denied benefits of, subjected to discrimination under, or denied
employment, in the administration or of in connection with any WIA funded
program because of race, color, religion, sex, national origin, age, handicap, or
political affiliation or belief. ·
Participation in programs and activities financially assisted in whole or in part
under WIA shall be open to citizens and nationals of the United States, lawfully
admitted permanent resident aliens, lawfully admitted refugee, parolees, and
other individuals authorized by the Attorney General to work in the United
States.
No individual will be intimidated, threatened, coerced, or discriminated against
because of filing a complaint, furnishing information, or assisting or
participating in any manner in an investigation, compliance review, hearing, or
any other activity related to the administration of WIA.
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.
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
3. Nondiscrimination Laws under WIA
Title VI of the Civil Riqhts Act of 1964
Prohibits discrimination on the basis of race, color, national origin, or
religion.
The Aqe Discrimination Act of 1975
Prohibits arbitrary discrimination against persons age 40-70.
The Rehabilitation Act of f 1973
Prohibits discrimination based on handicap.
Title IX of the Education Amendments of 1972
Prohibits discrimination in any education or training program or activity
receiving federal financial assistance.
OTHER CIVIL RIGHTS LAWS:
Title VII of the Civil Rights Act of 1964
Prohibits discrimination in employment based on race, color, religion,
sex, or national origin in all terms and conditions of employment and
establishes the Equal Employment Opportunity Commission as the
administrative agency.
White House Executive Order No. 11246 as Amended by Executive
Order No. 11375
Creates the office of Federal Contract Compliance and prohibits
discrimination based on race, color, sex, religion, or national origin.
Department of Labor Secretary's Order no. 4-73
Prohibits discrimination based on sex.
Equal Pay Act of 1963
Prohibits pay differential solely because of sex.
4
Emerqency Emplovment Act of 1971
Prohibits discrimination based on race, creed, national origin, political
affiliation, or beliefs.
4. How to File Your Complaint
a. Put your complaint in writing.
b. Have it sworn to before a notary public, if possible.
c. provides details that tell what happened, where it happened, and when
it happened.
d. Give the name and addresses of all persons who were present or who
had anything to do with the matter.
.. .Complaints on the basis of race, color, or national origin, age, sex,
religion, political affiliation or belief, retaliation and citizenship, must be
filed within 180 days of the alleged occurrence directly with:
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.
5
It is unlawful for an employer, union, or employment agency to punish you or
any witness for attempting to present the facts in a case.
YOUR CIVIL RIGHTS UNDER THE
WORKFORCE INVESTMENT ACT
Santa Ana Local Workforce Investment Area
1000 E. Santa 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 L WIA.
A complaint is defined here as a written expression by a party alleging a violation of the
Act, regulations promulgated under the Act, recipient grants, subagreements, or other
specific agreements under the Act, including terms and conditions of employment of such
participants in employment training programs. All complaints, amendments and
withdrawals shall be in writing. These procedures are intended to resolve matters which
concern policies, procedures or action(s) arising in connection with WIA programs operated
by each LWIA grant recipient and subrecipient under the Act.
These procedures shall not be construed as affecting any other available legal remedy
outside of the WIA complaint process (i.e., disputes regarding terms and conditions of
employment of any employee who is not a participant), either separately or simultaneously,
that a person may wish to pursue in the resolution of a non-WIA complaint. Also, these
procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion
6
procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion
and resolution of any problems outside of and without resort to the formal complaint
procedure.
A. The following principles and rules apply to all complaints at all steps of the complaint
procedures:
1. All complaints must be made in writing within 180 days of the alleged
occurrence, except complaints alleging fraud or criminal activity.
2. All persons filing a complaint shall be free from restraint, coercion, reprisal, or
discrimination. Good faith efforts shall be made to informally resolve the
complaint prior to the scheduled hearing. Complainants have the right to
withdraw their complaints (in writing) at any time prior to the hearing. A
complainant may amend his/her complaint to correct technical deficiencies but
not to add issues.
3. Complainants shall have the right to be represented at their own expense by
person( s) of their choosing at all levels of the complaint process.
4. Upon enrollment into employment or training, participants shall be provided
with a written description of these procedures, including notification of their
right to file complaints and instructions for filing.
An employer of participants, including private-for-profit employers of
participants, may use this or other complaint resolution procedures so long as
the participant is informed of the complaint resolution procedure they are to
follow and the time frames governing review of complaints are met.
A "participant", within the meaning of these procedures, is an individual who
receives employment-training services under q 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 re9arding 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.
7
6. Complainants must initially file and exhaust LWIA grant recipient/hearing
procedures prior to appealing to the State except where the State determines
that the L WIA grant recipient's procedures are not in compliance with the
State's procedures.
III. Procedures for Handling Complaints at the LWIA Level
A. Receipt of Complaints
Pursuant to the WIA regulations found at 20 CFR, Section 667.600, the LWIA
administrative entities have the responsibility to conduct hearings and resolve
complaints made by individuals about the administration of programs in the LWIA.
"LWIA level" encompasses LWIA administrative entity and employers to which the
administrative entity has delegated the complaint resolution process. The following
comprise the guidelines for resolving issues arising in connection with WIA programs
operated by the Santa Ana LWIA including resolutions of complaints arising from
actions, such as audit disallowances or the imposition of sanctions taken by the
Governor with respect to audit findings, investigations or monitoring reports.
1. Form and Filing of Complaint
Official filing date of the complaint is the date the written complaint is received.
The filing of the complaint with the Santa Ana LWIA Equal Employment
Opportunity Officer shall be considered as a request for hearing and a
decision must be issued within 60 days. The complaint must be in writing and
must be signed and dated. The complaint should also contain the following
information:
a. Full name, telephone number, if any, and mailing address of the
complainant;
b. Full name, telephone number, and mailing address of the agency
involved (respondent);
c. Clear and concise statement of facts including dates constituting
alleged violation;
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
f. If the complainant is a private or public entity or corporation, and not a
natural person, the filing of the complaint must be duly authorized by
the governing body of such entity or corporation.
8
The absence of any of the requested information shall not be a basis for
dismissing the complaint.
A copy of the complaint must be sent to the respondent and both parties
notified of the opportunity for an informal resolution. At each step of the
complaint process, the complainant must be notified in writing of the next
procedural step.
2. Informal Conference
Informal conferences will be utilized by the Santa Ana LWIA to resolve
complaints; however, such informal conferences shall not extend the time
within which a decision must be issued after receipt of a complaint. Attempts
at informal resolution will commence with two (2) weeks of the date of filing of
the complaint.
a. The EEO Officer will review the case and ascertain facts prior to the
conference so that appropriate resolution can take place at the time of
this meeting whenever possible.
b. Although the 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:
a. The date of notice, name of the complainant, and the name of the party
against whom the complaint is filed.
b. The date, time, and place of hearing before an impartial hearing officer.
c. A statement(s) of the alleged violation(s)
d. Advise as to where information or assistance may be obtained, and the
name, address, and telephone number of the Santa Ana LW1A Equal
Employment Opportunities (EEO) Officer who can answer inquiries.
B. Conduct of Hearing
The hearing shall be conducted in an informal manner with strict rules of evidence
not applicable. Unnecessary technicalities should be avoided. It should provide the
flexibility to enable adjustment to the circumstances presented.
1. The hearing officer shall have complete independence to obtain facts and
make decisions. The hearing officer shall be in a position to render impartial
decisions and thus should not be subordinate to the Santa Ana LWIA or its
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.
5. 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 L WIA shall
issue a written decision to all parties by first class mail. The final decision shall
contain the following information:
1. The name of the parties involved.
2. A statement of the alleged violation and issues related to the alleged violation.
3. A statement of the facts.
4. The decision and the reasons for the decision.
5. A statement of corrective action, if any, to be taken.
6. Notice of the right to request, within ten (10) calendar days of receipt of the
decision, a review of the decision by the State Review Panel.
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:
1. 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.
1. Request for State Review of LWIA Level Decisions
On receipt of a complainant's request for review because of an unsatisfactory
decision, the State shall provide for an independent state review.
2. Filing of Requests for State Review
The State Review Panel shall review all LWIA level decisions when a request
for review is filed within 10 days of receipt of the adverse decision. Such
requests must be filed in writing with the Chief of the WID Office. The request
for review should contain the following information:
a. Full name, address, telephone number of the party requesting the
review
b. Full name, address, telephone number of the other party
c. A copy of the decision
d. Brief statement of reasons for review or the section of the LWIA
decision to be reviewed including regulatory and statutory citations
e. A statement of the relief sought.
13
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.
1. Request for Hearing at the State Level
If no decision has been issued at the LWIA level or the State has determined
an audit disallowance or imposed sanctions, the complainant may request a
hearing. The hearing officer will then issue a recommended decision to the
State's Review Panel for final determination.
2. Filing for Request for Review
The request for a State hearing shall be filed within ten (10) days after LWIA
should have issued a decision or ten (10) days after the issuance of the audit
disallowance or sanction. The request shall be filed directly with the Chief of
the 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.
14
The hearing will be recorded mechanically or by court reporter.
Both parties concerned will have the opportunity to present oral and written testimony
under oath, to call and question witnesses in support of his/her position, to present
oral and/or written arguments, to examine records and documents relevant to the
issue(s), and to be represented.
The hearing officer shall issue a written decision, which shall be forwarded to the
State Review Panel for final determination.
The State Review Panel may accept, reject or modify this recommendation. The
decision of the State Review Panel is final except for audit disallowances, which must
be approved by the Secretary of Labor.
C. State Review Panel
The State Review Panel will consist of a panel of three representatives from the
Employment Development Department: one from the Legal Offices, one from the
WID, and one from the Director's office. The panel will issue a written decision,
which will be sent to the appropriate parties within thirty (30) days of receipt of the
request for State review.
Decisions issued by this panel, under the authority of the Governor, are final.
D. Issuance of State Review Decision.
The State review will be limited to violations of the WIA, implementing WIA
regulations or the grant agreement. This review shall be limited to the record
established at the LWIA hearing.
v. Procedures for Handling Discrimination Complaints by Participants
A. Complaints on the basis of race, color, or national origin, age, sex, religion, political
affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within
180 days of the alleged occurrence.
1. It is the responsibility of the Santa Ana LWIA's Equal Employment Opportunity
(EEO) Officer to determine jurisdiction and to make the complainant aware of
and provide assistance in filing a complaint in accordance with the Santa Ana
LWIA's procedure under Section II (A).
15
PROCEDURES FOR HANDLING NON-CRIMINAL COMPLAINTS
No later than 180
days of alleged
discrimination
Handling of complaints filed at L WIA level arising in
connection with WIA programs operated by L WIAs
.
.
.
.
Informal Resolution Process
.
.
.
.
Filing of Complaint / Request for Hearing
Notice of Hearing issued by LWIA
v"
<:::1
~
~
c.o
0-
<:::1
~
~
c.o
Hearing Conducted
L \VIA Decision within 60 days
.
.
.
.
Unsatisfactory Decision or L WIA Decision not
issued within 60 days
Within 10 days of
receipt of
unsatisfactory
decision or 10 days
from date 1 WIA
decision should have
been issued
.
.
.
.
Request for State Review
v"
<:::1
~
~
c..,
Governor's Decision issued by State Review
Panel
.
.
.
.
Uno decision issued by State Review Panel
.
.
.
.
Appeal 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.
1. Complaints must exhaust the Santa Ana LWIA's informal resolution
procedures before filing their complaint with OCR.
2. Complainants will be made aware of the 180 days requirement in which to file
his/her complaint.
A. Procedures at the LWIA Level
1. The complainant shall file his/her complaint dir,ectly 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.
16
B. Procedures at the State Level
1. The complainant may appeal to the State if he/she is not satisfied with the
decision of the Santa Ana L WIA.
2. The Complainant must file his/her appeal as a request for review directly with
the Chief WID within ten (10) calendar days after the receipt of the Santa Ana
LWIA's decision.
3. The Chief-WID, shall issue a decision no later than thirty (30) calendar days
after receipt of the request for review.
4. After the complainant has received a decision or no decision has been
received from the Director of Employment Development Department (on
behalf of the Governor), the complainant has the right to appeal his/her
complaint within thirty (30) calendar days to the Office of Civil Rights (OCR)
with the Department of Labor.
17
PROCEDURES FOR HANDLING HANDICAP COMPLAINTS
No later than 180
days of alleged
discrimination
Filed within 30
days of
L WIA/State
Decision or 90
days from date of
initial filing of
complaints
Filing of complaint on the basis
Of Handicap with LWlA
Informal Resolution I
.
.
.
.
If no resolution reached
.
.
.
.
Request for Hearing I
Notice of Hearing
.
Hearing Conducted
L WlA Decision I
I
.
.
.
.
Unsatisfactory Decision or No Decision
.
.
.
.
State Review
Governor's Decision I
Appeal to Assistant Secretary
Department of Labor
Day 1
Day/45 Day
60 Days
GLOSSARY OF W1A 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 develcp a plan to achieve the participant's employment and related
goals; also to identify the available employment and training activities appropriate for the
participant. Testing and counseling may also be used during the assessment process.
CHARGING PARTY (CP), COMPLAINANT. GRIEVANT. OR AGGRIEVED PERSON - The
person who charges that he/she has been discriminated against under Department of Justice
nondiscrimination and civil rights regulations and/or guidelines.
DISCRIMINATION - In general, a failure to treat all equally, whether intentional or unintentional;
the effect of an action, policy or practice which selects an individual or class of persons to receive
unequal treatment.
ELIGIBLE NON-CITIZEN - Lawfully admitted permanent resident, aliens, lawfully admitted
refugees, and parolees and other individuals authorized by the Attorney General to work in the
United States.
EMPLOYER _ An employer subject to the provisions of the Civil Rights Act of 1964, as amended,
including state and local governments and any Federal agency subject to the provisions of Section
717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by
Executive Order 11246, as amended.
GRIEVANCE _ An allegation that something imposes an illegal obligation or burden or denies
some equitable or legal right, or causes injustice.
HANDICAPPED INDIVIDUAL - Any individual who has a physical or mental disability that
constitutes or results in a substantial handicap to employment.
18
INTAKE - Includes screening to determine eligibility; to select from eligible applicants those
individuals who are most in need and can benefit from program services; to complete procedural
requirements necessary to enroll an individual into the program and to refer those not enrolled to
other programs.
JOINT COMPLAINT - A complaint of employment discrimination covered by Title VII or the Equal
Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC
unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in
employment and other practices and pattern or practice "joint complaints" are normally investigated
by OCR.
JURISDICTION - Authority to investigate and resolve complaints against an institution subject to a
law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc.
PARTICIPANT - Any applicant who has: (1) Been determined eligible for participation upon intake;
and (2) Who is receiving subsidized employment, training or services (except post-termination
services) funded under the Act, following intake, except for an individual who receives only
outreach and/or intake and assessment services.
19
t:xhibit D
CERTIFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTRACTS, GRANTS, LOANS
and COOPERATIVE AGREEMENTS
The undersigned certifies, to the best of his or her knowledge and belief, that:
11 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.
Grantee/Contractor Organization
C;p~~
Program Title
&j~d /l1d/1Clj~r
Name of Certifying Official Signature
Certification Regarding
Debarment, Suspension, Ineligibility and V oluntarv 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 16, 1988, Federal Register (Pages
19160-19211).
(Before completing certification, read instructions which are an integral part of certification)
1. The prospective primary participan , (i.e. grantee) certifies to the best of its knowledge
and belief, that it and its principals:
a. Are not presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from covered transactions by any federal
department or agency;
b. Have not within a three-year period preceding this proposal been convicted or
had a civil judgment rendered against them for commission of fraud or a criminal
offense in connection with obtaining, attempting to obtain, or performing a public
(federal, state or local) transaction or contract under a public transaction; violation
of federal or state antitrust statues or commission of embezzlement, theft, forgery,
bribery, falsification or destruction of records, making false statements, or receiving
stolen property.
c. Are not presently indicted for or otherwise criminally or civilly charged by a
government entity (federal, state or local) with commission of any of the offenses
enumerated in paragraph (1 )(b) ofthis certification; and
d. Have not within a three-yea' period preceding this application/proposal had one
or more public transactions (federal, state or local) terminated for cause or default.
2. Where the prospective primary participant is unable to certify to any of the statements in
this certification, such prospective participant shall attach an explanation to this proposal.
() ~ Lf 0 tt--!-lc {!e;/71 m (SS ( ~ 11
Grantee/Contractor Organization
Ro5f!JTlar~ II-(//!~,I ()cC;c j7~~!deJ
Name and Title of Official Authorized to Certify
On Behalf of the Grantee
1/.17,/07
Date
35
Exhibit E
Certification ReQardinQ DruQ-Free Workplace Requirements
The certification set out below is a material representation upon which reliance is
placed by the U.S. Department of Housing and Urban Development in awarding the
grant. If it is later determined that the contractor knowingly rendered a false
certification, or otherwise violates the requirements of the Drug-Free Workplace
Act, the U.S. Department of Housing and Urban Development, in addition to any
other remedies available to the Federal Government, may take action authorized
under the Drug-Free Workplace Act.
CERTIFICA TION
A. The contractor certifies that it will provide a drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession or use of a
controlled substance is prohibited in the contractor's workplace and
specifying the actions that will be taken against employees for
violation of such prohibition;
(b) Establishing a drug-free awareness program to inform employees
about -
(1) The dangers of drug abuse in the workplace;
(2) The contractor's policy of maintaining a drug-free workplace;
(3) Any available drug counseling, rehabilitation, and employee
assistance program; and
(4) The penalties that may be imposed upon employees for drug
abuse violations occurring in the workplace;
(c) Making it a requirement that each employee who will be engaged in
the performance of the grant be given a copy of the statement
required by paragraph (a);
(d) Notifying the employee in the statement required by paragraph -(a)
that, as a condition of employment under the contract, the employee
will -
(1) Abide by the terms of the statement; and
(2) Notify the employer of any criminal drug statute conviction for
a violation occurring in the workplace no later than five days
after such conviction.
Pg. 2
(e) Notifying the U.S. Department of Housing and Urban Development
within ten days after receiving notice under subparagraph (d)(2) from
an employee or otherwise receiving actual notice of such conviction;
(f) Taking one of the following actions, within 30 days of receiving
notice under subparagraph (d)(2), with respect to any employee who
is so convicted -
( 1) Taking appropriate personnel action against such an employee,
up to and including termination; or
(2) Requiring such employee to participate satisfactorily in a drug
abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement,
or other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug-free
workplace through implementation of paragraphs (a), (bL (c), (d), (e)
and (f).
B. The contractor shall insert in the space provided on the attached nPlace of
Performance" form the site(s) for the performance of work to be carried out
with the grant funds (including street address, city, county, state, and zip
code) .the contractor further certifies that, if it is subsequently determined
that additional sites will be used for the performance of work under the
contract, it shall notify the U.S. Department of Housing and Urban
Development immediately upon the decision to use such additional sites by
submitting a revised nPlace of Performance" form.
Dated: q - If - 617
C:;?~W ()~
Program Operator
DIVISION OF EMPLOYMENT SERVICES
PLACE OF PERFORMANCE
FOR CERTIFICATION REGARDING DRUG-FREE WORKPLACE
REQUIREMENTS
Name:
Name of Contractor:
Contractor Number:
Date:
/f~ S(J /J1 a,/ e /) J/'r / CL
Or c-tl1j e {l tJ IA /J I[ Yc:'>?l M {/ em rn j S:J ./ ~-t
r-/ 9-0 7
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):
tjtJ/ Sil-A Sfr~
3 a-t.th. /Inti, e /1 Q.:2--7 ~ /
,
Exhibit F
MatchlIn
Administrative Pro2:ram Total WIA Kind
Personnel
Salaries *
1. (0.375 FTE) Project Manager 19,500 19,500
(15 hrs/wk billed to program)
2. (1.0 FTE) Sports Club Director 18,720 $18,720 $18,720
40 hrs.lwk coaching, training and
managmg
3. (0.25 FTE) Case Management $8,500 $8,500
Reg Tutor: 10 hrs/week
4. (0.25 FTE) Tutor - Regular $10,500 $10,500
10 hrs/wk
5. (0.125 FTE) Administrative 3,120 $3,120
Assistant
6. (0.125 FTE) Asst. Coach400/mo $6,800 $6,800 3,120
10/wk
7. (0.125 FTE) Club Mgr. 300/mo
-0- -0- 3,600
Benefits* 3,360 3,360
1. Medical and Vision benefits
($280/mo) medical and vision
2. Taxes and Workman's Comp $2,000 $2,000 $1,900
Insurance
Use separate sheet ifnecessarv.
Total Personnel $72,500 $27,340
Operatin2 Expenses
Rent or user fee* 4.800 4,800 12,000
Utilities 460 460 926
Phones 1,000 1,000 0
Internet fees 0 0 600
Parking fees
Security
Maintenance
Insurance 500 500 500
Equipment rental fees* 400 400 800
Vehicle Ins.! transportation 1,000 1,000 9,700
Office expenses 700 700 1,400
(consumables)
Accounting Services 1400 1400
Legal services
Auditing services
Indirect costs *
Staff training 1,000 1,000
Staff traveVmileage
Participant Wa2es* 2,500 2,500 2.500
Support services* 6,000 6,000
Participant Incentives* 2,000 2,000
Other (list)* 2,000 2,000 4,000
Total Operating Expenses 23,760 $32,426
GRAND TOTAL $96,260 $59,766
SANTA ANA BOXING eLUB
BUDGET NARRATIVE 2007-08
PERSONNEL
SALARIES
0.375 FTE Project Manager -- Provides training for tutors; supports case management;
coordinates paper work, procurement and monitoring of the program: seeks additional leveraging
support. Program oversight. 15 hours per week dedicated to this program. $25/hour X 15 hrs/wk
= $19.500
.50 FTE Sports elub Director -- Program management, case management, instruction in
character development. career counseling, academic counseling, coaching in the sport of boxing.
40 hours per week in coaching, training, mentoring, academic counseling, character
development, and case management supervision. $18/hour X 40 hrs/wk = $37,440 (1/2 or
18,720 paid by WIA)
Part-time positions are based on a 50-week calendar year.
0.25 FTE Tutor - Regular - Tutoring will be dedicated to two hours each day five days per
week. Activities include preparation, homework assistance, tutoring in specific academic areas,
development of academic goals, monitoring progress and follow up. $17 per hour X 10 hours =
$10,500.
0.25 FTE Case Management - The Reg. Tutor provides an additional 10 hours per week of case
management including observation, notation for file of participant progress, meeting with
Director to review case management plan, etc. $17/hr X 10 hours = $8,500
0.125 FTE Administrative Support -- This position will spend 5 hours per week gathering data
for grant reports, as well as gathering information and preparing invoicing related to this grant,
plus other administrative duties as assigned. $12/hr X 5 hr/week = $3,120.
0.25 FTE Assistant eoach -- The Assistant Coach will spend 10 hours per week assisting the
Program Director with direct coaching and training activities related to the sport of boxing. $600
per month = $6,800.
0.25 FTE elub Manager -- Handles participant registration, ensures parental waivers and
pennission forms, as well as demographic forms are completed. Ensures attendance data is
collected. Provides facility oversight and management. Ensures proper functioning of equipment,
compliance with safety requirements, compliance with licensure, cleans the facility, providers
water and other supplies. 10 hours/week: $300 per month = $3,600
Note: Personnel Equivalency
Our total personnel hours for the WIA program are equal to one full time person at 40 hours and
one half time person at 25 hrs.
BENEFITS
Medical and Vision insurance for Sports Club Director: $280 per month = $3,360
Workman's Compensation and Taxes for Sports Club Director: $3,900 per year. Our request is
for $2,000 in WIA funds to support expense.
OPERA TING EXPENSES
RENT: Rent for the main OCYC office is used for all administrative activities and oversight for
all our after-school programs, including the boxing gym. About 30% of administrative duties are
conducted for the boxing club. Annual rent is $14,400; with 30% equal to $4,800. OCYC is
bringing an in-kind contribution of $12,000 towards the cost of the boxing gym facility on
Fourth Street. We are requesting WIA funds for 30% of office rent. $4,800
UTILITIES: Utility bill for the boxing club 30% usage. $460
PHONE: Average $280- $300 a month or $3,000 a year. 30% office phone bill equals $1,000
BOXING CLUB INSURANCE: $1000 a year WIA at 50% a year equals $500
COPIER RENTAL $1200 a year at 30% $400 a year
BOXING VAN INSURANCE VEHICLE LEASE/INSURANCE/TRANSPORTATION: A
Honda Odyssey van, valued at $8,700, was donated to the organization. Of about $3,000 annual
cost in insurance, maintenance and fuel, we are requesting 50% ($1,000) from W1A funds. This
is due to about 50% use of the vehicle by the WIA program clients. (boxing tournaments,
community events, etc.). $3000 a year at 30% $1,000
OFFlCE SUPPLIES: $2100 a year at 30% for a total of$700
ACCOUNTING SERVICES: $35- $50 an hour
PARTICIPANT WAGES: Pays for WIA Youth Worker to assist in gym. $2,500
SUPPORT SERVICES: Includes the purchase of school books, study guides, paper and
supplies, bus passes, vouchers for food and clothing, if needed, other emergency support, as
needed. $6,000
PAR TI CIP ANT INCENTIVES: Upon demonstrating improvement in grades (via GP A/report
card, grades on papers/projects; other accomplishment; improvement in attendance and attitude,
for example, participants will be awarded a T-shirts and/or sweatshirts with the Boxing Club
logo; their own gloves, wraps and/or boxing supplies; ; special events with food or gift cards as
incentives. Incentive rewards will be linked to specific progress or desired activities. $2,000.
OTHER: This category includes travel and expenses for tournaments. Travel to and from
tournaments requires that we secure necessary items such as food, lodging, automobile expenses.
Additionally we will purchase academic tutoring materials or leadership training character
development and counseling materials. $2000
Exhibit G
Assurances & Certifications
Selected providers will be required to sign and submit "actual" assurances and certificates
as required by the City of Santa Ana and the Workforce Investment Board on all contracts.
I recognize that I must give assurances for each item below. If! cannot this proposal will
be automatically rejected. Please initial each box.
~
~
~
[gJt
@
I am authorized by my Board of Directors, Trustees, other legally qualified officer, or as the owner
of this agency or business to submit this proposal.
We are not currently on any Federal, State of California, or local Debarment list.
We will provide records to show that we are fiscally solvent, if needed.
We have, or will have, all of the fiscal control and accounting procedures needed to ensure that WIA
funds will be used as required by law and contract.
We have additional funding sources and will not be dependent on WIA funds alone.
We do or will meet the applicable Federal, State, and local compliance requirements. These include, but
are not limited to:
0jRecords accurately reflect actual performance.
~Maintain record confidentiality, as required.
~Reporting financial, participant, and performance data, as required.
@JComply with State and Federal fiscal and program activity audits.
dMIComplying with Federal and State non-discrimination provisions.
JU,Meeting requirements of Section 504 of the Rehabilitation Act of 1973.
~Meeting requirements of the American's with Disabilities Act of 1990. (submit completed survey)
mMeeting all applicable labor law, including Child Labor Law standards.
iaAgree to provide a drug free workplace.
IAgree to insure the City of Santa Ana through General Liability Insurance and Automobile Liability
Coverage in the amount of$l,OOO,OOO.OO policy.
Agree to provide all participants with Grievance Procedures.
@Agree to insure proposer's employees through Workers Compensation Insurance
(including part-time employees)
mProcurement policies and procedures are in place and meet federal guidelines.
We will not:
~Place a youth in a position that will displace a current employee.
@Use WIA money to assist, promote, or deter union organizing.
@;se funds to employ or train of persons in sectarian activities.
~Use funds for youth in the construction, operation, or maintenance of any part of a facility to be used
for sectarian instruction or religious worship.
@Use WIA funds for activities that woul I interfere with or replace regular academic requirements for
eligible youth who are not dropouts.
~Use WlA funds to carry out programs funded under the School-to- Work Opportunities Act of 1994
unless the program(s) are only for youth eligible to participate under WIA.
r@Use WIA money under this contract to purchase any equipment.
IG?;:=O;;':;:ici::'~an8 Av;Ip: /XJ/C
Name . Title
Date
7" /~7/07
I I
rreSI d~
34
-
A ~ORDTM CERTIFIC'....E OF LIABILITY INSURAP':E I DATE (MMIDDIYYYY)
1 0/1812006
PRODUOER Phone: (800)747-9573 Fax: (303) 422-1276 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION
The Camp Team ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE
7615 W, 38Th Avenue, Unit 6-109 HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND DR
Wheat Ridge CO 80033 ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW.
INSURERS AFFORDING COVERAGE NAIC#
INSURED INSURER A: American Alternative
Orange County Youth Commission INSURER B:
1850 E. 17th Street #218 INSURER C:
Santa Ana, CA 92705 . INSURER D:
INSURER E:
COVERAGES
THE POLlOIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED, NOTWITHSTANDING
IWY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT DR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED DR
MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH
POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID ClAIMS.
INSR I AOD'L I TYPE OF INSURANCE I POLICY NUMBER POUCY EFFECTIVE IPOLICY EXPIRATION' LIMITS
LTR 1 N!R): DATE (MMIDDIYY) , DATE (MMlDDIYY)
I GENERAL LIABILITY i 76A2GLODOOO 1-01 10/2212006 I 10/2212007 EACH OCCURRENCE $ 1,000,000
X COMMERCIAL GENERAL LIABILITY I I DAMAGE TO RENTED $" 300,000
""EMISES (Eo OO::UlTOnce)
I I CLAIMS MADE I X I OCCUR i ~ED EXP (Any one person) Separate
A X INC ATHLETIC PARTICIPANTS I I l>ERSONAL & ADV INJURY 1.000,000
I ~ENERALAGGREGATE 2,000,000
I IPRODUCT5-COMP/OP AGG 1,000,000
I i POLIC1 I;:g: I I LOC I I
~UTOMOBILE UABILITY I OMBINED SINGLE LIMIT F
TANY AUTO ! fa accident)
I
I I I ~ODIL Y INJURY r
i I ALL OWNED AlJTOS
I i SCHEDULED AlJTOS I ,.Per person)
i I
I HIRED AlJTOS
b
I I NON-DWNED AlJTOS I ODI~ Y INJURY ~
kPer accident) !
~RDPERTY DAMAGE F
i I I I I Per accident)
I
IGARAGE UABIUTY I , IA.lJTO ONLY - EA ACCIDENT '"
i I ANY AUTO I I
I I ~THER THAN EAACC ~
I I r'-lJTO ONL"Y: AGG
I i ,
IEXCESSf UMBRELLA LlABIUTY I lEACH OCCURRENCE
, I OCCUR I I CLAIMS MADE I ~GGREGATE
I I ~
I DEDUCTIBLE i
I RETENTION $ I i 9;
WORKERS COMPENSATION AND , I I';"~:J~~;,.~ I I""",,,,
F,PLOYERS' UABILITY
YPROpmETO~PARTNE~ECUTIVE E.L. EACH ACCIDENT
ACE~MEMBER EXCLUDED? I .L. DI5EASE-EA EMPLOYEE
yes, describe under .L. DISEASE-POLICY LIMIT
ISPECIAL PROVISIONS below
OTHER: I I i
i
I I
I i
DESCRIPTION OF OPERATIONS/LOCATIONSNEHICLES/EXCLUSIONS ADDED BY ENDORSEMENTS/SPECIAL PROVISIONS
, Youth Mentoring / California
Policy Deductibles: $0.00 per each bodily injury 1 $500.00 per each property damage claim.
Additionallnsured(s): City Of Santa Ana, All participants, staff and facilities as scheduled with the company are added as additional insured in regardS to
the operations of the insured.
CERTIFICATE HOLDER
City Of Santa Ana
20 Civic Center Plaza
Santa Ana, CA 92702
_/ i- ;......:;.
CANCELLATION
~~ ;~' ~~LD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION
DATE THEREOF, THE ISSUING INSURER WILL ENDEAVOR TO MAIL 30 DAYS WRITTEN NOTICE
TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, BUT FAILURE TO DO SO SHALL IMPOSE
NO OBLIGATION OR LIABILITY OF ANY KIND UPON THE INSURER, Irs AGENTS OR
REPRESENTATIVES
. ~~.. _L,I/':~:;..
~, ~:~ .
'U,"OOQEO'''~~
Bob Leid
.~:-. ,~~.
I Attention:
ACORD 25 (2001/08)
@ACORD CORPORATION 1988
POLICY NUMBER: 76A2GL000001-01
COMMERCIAL GENERAL LIABILITY
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY.
ADDITIONAL INSURED-OWNERS, LESSEES OR
CONTRACTORS (Form B)
This endorsement modifies insurance provided under the following:
COMMERCIAL GENERAL LIABILITY
SCHEDULE
Name of Person or Organization;
City of Santa Ana and its officers, agents, employees
and volunteers are named as additional insured as
respect their interest in connection with the named
insured.
(If no entry appears above, information required to complete this endorsement will be shown in the
Declarations as applicable to this endorsement.)
WHO IS AN INSURED (Section II) is amended to include as an insured the person or organization
shown in the Schedule, but only with respect to liability arising out of "your work' for that insured by or
for you
It is agreed that any insurance maintained by the City of Santa Ana shall apply in excess of,
and not contribute with, insurance provided by this policy.
':'_0 1,.3 TO FORM
~2/~
.- -- .-" -,.. --- '-. ,- _.._---~-:
,_..;.~:~-.:-~ ..;~~:~. S~...::,tCj1
."... _""::;"[j' ALc;--;ey
CG 20 10 11 85
Copyright. Insurance Services Office, Inc., 1984
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