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Return form to the Deputy Clerk of the Council (M-30). Call 647-5237 if you~ave any questions.
The agreement with
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AGREEMENT TERMINATION
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Department: ~q~~/,~ ~ ~ //~ l
Signature: ~ J/Xin n~ ~~
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City of Santa Ana
Clerk of the Council
Revised 06-14-07
INSURANCE NOT REQUIRED -
WORK MAY PROCEED
CLERK OF COUNCIL
DATE: l l - a0 - ~ ~ Contract No.
p '. 5A W Iti (2)
Fvunc e s Cad rtiQ-s
AGREEMENT UNDER THE WORKFORCE INVESTMENT ACT
A-2007-196
THIS AGREEMENT, made and entered into this 20`" 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 Santa Ana Unified School
District/Career Development/ROP ("CONTRACTOR").
W-I-T-N-E-S-S-E-T-H
Recitals:
A. CITY has been designated a Local Workforce Investment Area (LWIA) under
the Workforce Investment Act of 1998, Public Law 105-220 ("the Act").
B. The State of California has created the LWIA to administer the Act programs
operated by the State of California pursuant to the Act.
C. As a LWIA, CITY is entitled to receive federal funds to establish programs to
prepare economically disadvantaged youths for entry into the labor market and to provide basic skills
development to those individuals who are economically disadvantaged or otherwise face serious
barriers to succeeding in life. One goal of California's Workforce Investment System is to provide
youth with the opportunities to achieve career goals that will allow them to successfully compete in the
labor market and prepare them for higher education.
D. CONTRACTOR is experienced in operating education, occupational
development and employment programs for economically disadvantaged youths for entry into the labor
market ("said program").
E. CONTRACTOR is willing to operate said program pursuant to the Act and
Califomia law.
WHEREFORE, for and in consideration of the respective and mutual covenants and
promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties
hereto do hereby agree as follows:
Page 1 of 14
I.
CONTRACTOR'S OBLIGATIONS
A. CONTRACTOR agrees to provide the following services pursuant to said
program, as more specifically set forth in CONTRACTOR'S program narrative contained in "Exhibit
A" 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 hereinafrer.
B. CONTRACTOR agrees to provide benefits to individuals who participate in the
activities and services funded by this Agreement ("participants") in accordance with the standards and
requirements set forth in Workforce Investment Act of 1998, Public Law 105-220.
C. CONTRACTOR agrees to perform the services set forth herein in a professional,
timely and diligent manner.
D. CONTRACTOR shall provide wages and benefits to individuals who participate
in the activities and services funded by this Agreement ("participants") in accordance with the
standards and requirements of the Act, including Section 181 of the Act.
E. CONTRACTOR shall adhere to the Labor Standards described in the Act
including Section 181 of the Act.
F. CONTRACTOR agrees to comply with the "Complaint Handling Procedures under
the WIA", attached hereto as "Exhibit C" and incorporated herein as though fully set forth in 20 CFR
§667.200, Subpart F. CONTRACTOR shall advise participants of their rights to file complaints under
the Act and the procedures for resolution of any complaints. CITY's procedures for handling
complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall
be followed and any decision of CITY, the State or the federal government relating to the complaint
shall be binding and followed by CONTRACTOR CONTRACTORS who are employers shall
operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to
the terms and conditions of employment; these procedures shall be approved in writing by CITY.
G. As a condition of this award of &nancial assistance under the Act to
CONTRACTOR from CITY, CONTRACTOR assures, with respect to operation of all programs or
activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry
out such programs or activities, that it will comply fully with the nondiscrimination and equal
opportunity provisions of the Act (Section 188); the Nontraditional Employment for Women Act of
1991; Title VI of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of
1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities
Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing
those laws, including, but not limited to, 29 CFR part 37. The United States, the State of California
and CITY have the right to seek judicial enforcement of this assurance.
Page 2 of 14
H. CONTRACTOR agrees that no participant(s) shall commence training prior to the
approval of funding pursuant to Section 123 of the Act.
I. CONTRACTOR agrees to maintain such records and submit such reports, data and
information, on the fornr 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, Califomia 92701 a completed Workforce
Investment Act Application form (WIA EWIR) and supporting documents within 60 days of
application date; a complete Workforce Investment Act Enrollment/Registration form (WIA EWIE)
and Workforce Investment Act Goals form (WIA EWIG) must be submitted along with the WIA
EWIR; any subsequent updates to EWIE and /or 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 EWIT) within 15
days of completion/termination of active enrollment of trainee; and the Workforce Investment Act
Follow-Up Contact Information 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
thereafrer for three (3) years after completion of an audit. Records which relate to (a) complaints,
claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b)
costs and expenses of this Agreement to which CITY, the State of California or the United States
Government take exception, shall be retained beyond the three (3) years until resolution of disposition
of such appeals, litigation, claims, or exceptions.
J. Without prejudice to any other section of this Agreement, CONTRACTOR
shall, where applicable, maintain the confidential nature of information provided to it concerning
participants in accordance with the requirements of federal and state law. Notwithstanding the
foregoing, CONTRACTOR agrees to submit to CITY, the State of Califomia and/or the United States
Government or their representatives, all records requested for administrative purposes, including
audits, examinations, monitoring and verification of records submitted by CONTRACTOR, costs
incurred and services rendered hereunder.
Page 3 of 14
K. CONTRACTOR agrees to complete in triplicate, a monthly InvoiceNoucher on
CITY's Invoice~'Voucher form, showing in detail the amount of money already expended by
CONTRACTOR hereunder, as this is a cash reimbursement contract. Accounting records must be
supported by such source documentation such as cancelled checks, paid bills, payrolls, rime and
attendance records, contract and subgrant award documents [29 CFR-Subpart C, Section 97.20 (bl(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 performed. Should CONTRACTOR fail
to deliver said documents to CITY, CITY shall have the option to cancel this Agreement by giving
CONTRACTOR ten (10) days written notice thereof. CONTRACTOR shall either return to the CITY
excess revenues over costs or use such excess revenues as program income by utilizing such program
income for additional training activities authorized under the Act.
L. CONTRACTOR agrees to expend all funds in accordance with all applicable
federal, state and local laws and regulations. CONTRACTOR also agrees to provide at
CONTRACTOR'S own expense supplies and other costs of said PROGRAM.
M. CONTRACTOR shall arrange independently for an audit that includes WIA
funds received from CITY, in accordance with the Act, 20 CFR Section 667.200 and OMB Circular A-
133. CONTRACTOR shall submit one original of each required audit report to CITY within (30) days
after the date received by CONTRACTOR. Should CONTRACTOR fail Yo comply with these
requirements, CITY may at its option withhold payment of funds, or disallow funds or suspend
additional grant funds.
N. CONTRACTOR shall not expend funds pursuant to this Agreement to provide
services to any participant where costs of training are paid for by any other person or entity.
O. CONTRACTOR shall comply with the provisions of Circular A-102 of the U.S.
Office of Management and Budget (OMB) and the related "Common Rule" entitled "Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and Local
Government", Subpart C, paragraphs 37 and 42, Circular A-128, and all other applicable federal
statutes and executive orders and their implementing regulations, including regulations at 29 CFR Part
97.
P. CONTRACTOR shall comply with the requirements of federal regulations
found at 29 CFR 93 which provide that no appropriated funds may be expended by the recipient of a
federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting
to influence an officer or employee of any agency, member of Congress or an officer or employee of a
member of Congress in connection with awazding of any federal contract, the making of any federal
grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or
modification of any federal contract, grant, loan or cooperative agreement. CONTRACTOR shall sign
a certification to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference
incorporated herein. CONTRACTOR shall submit said signed certification to CITY prior to
performing any of its obligations under this Agreement and prior to any obligation arising on the part
of CITY to pay any sums to CONTRACTOR under the terms and conditions of this Agreement.
Q. CONTRACTOR agrees to provide adrug-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,
Page 4 of 14
recognizes and aclarowledges the importance of child and family support obligations and shall fully
comply v+ith al] state and federal laws relating to child and family support enforcement, including, but
not limited to: disclosure of inforn~ation and compliance with earnings assigmnent orders, as provided
in Chapter 8 (cornmencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to
the bes? of its knowledge is fully complying with the earnings assigmnent 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 pan 629.
11.
CITY'S OBLIGATIOI\S
A. CITY agrees to pay to CONTRACTOR when, if and to the extent federal funds
are received under the provisions of the Act a sum not to exceed one hundred fifty one thousand one
hundred seventy dollars ($151,170) 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 afrer 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 tw-ice annually. In addition, monthly desk-top reviews of pertinent
information will be conducted.
C. CITI" 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 AGREEMEA"I'
This Agreement shall continence 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.
I1~DEPE)\DEI\T CONTRACTOR
Consultant shall, during the entire term of this Agreement, be construed to be an
independent contractor and not an employee of the City. This Agreement is not intended nor shall it be
construed to create an employer-employee relationship, a joint venture relationship, or to allow the
City to exercise discretion or control over the professional mamler 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.
wtemployment insurance and similar taxes relating to employees and shall be responsible for all
applicable withholding taxes.
Page 5 of 14
Y.
WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS
A. CONTRACTOR shall use appropriate funds received from CITY to provide
workers' compensation to all those hired by CONTRACTOR under this Agreement.
B. CONTRACTOR shall have the right to hire, dismiss, or promote its employees
or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard
does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any
other applicable law, and CONTRACTOR maintains itself as an Equal Opportunity employer.
VI.
APPLICABLE GUIDELINES
A. The parties hereto agree that CONTRACTOR shall comply with all applicable
federal and state laws and regulations, including, but not limited to the Performance Standards
(Exhibit B) and general program requirements described in Sections 106 and 141 of the Act (29 USC
Sections 1516 and 1551) and applicable regulations, and the U.S. Department of Labor guidelines and
regulations, including amendments or revisions made during the terms of this Agreement. Said
applicable laws are hereby incorporated by reference and made as part of this Agreement as though
fully set forth herein.
B. CONTRACTOR also assures and certifies that:
1. CONTRACTOR 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 WIA reauthorization and or U.S.
Department of Labor and EDD updates, CONTRACTOR agrees to implement and shall meet any
additional performance 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 of race,
color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the
benefits of, or be otherwise subjected to discrimination under this Agreement.
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 athree-year period
from and after the effective date of this Agreement.
Page 6 of 14
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
such program because of race, 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 of the program or activity, and the size and concentration of the population that needs services or
information 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
CONTRACTOR by the CITY and/or purchased by the CONTRACTOR with funds pursuant to this
Agreement, will be limited to use within the activities outlined in this agreement and will remain the
property of the United States Government and/or CITY. Upon termination of this Agreement,
CONTRACTOR will immediately return such tools and/or equipment to the CITY or dispose of them
in accordance with the direction of the CITY.
12. CONTRACTOR certifies that this Agreement does not provide for the
advancement or aid to any religious sect, church or creed, or sectarian purpose nor does it help to
support or sustain any school, college, university, hospital or other institution controlled by any
religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the
Constitution of the State of California, regarding separation of church and state.
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 of performance of work under this Agreement within seventy
four (74) days of invention, development or assembly. The CITY, State of California, and U.S.
Department of Labor will have the right to patent any invention and copyright any written product or
computer program or data generated by CONTRACTOR. Upon written request, CONTRACTOR will
transfer al] pertinent information, 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
Page 7 of 14
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
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,
1971, and Statement of Government Patent Policy as printed in 36 FR 16889).
B. Copyright Policy.
1. Unless otherwise provided in the terms of the grant or agreement, when copyright-
ablematerial 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 aroyalty-free, nonexclusive
and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted
material.
2. The DOL reserves aroyalty-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.
I5. CLEAN AIR /CLEAN WATER ACT. If the grant hereunder
exceeds $100,000, CONTRACTOR must comply with Section 306 of the Clean Air Act [(42 USC
1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and
En~rironmental Protection Agency ("EPA") regulations (40 CFR Part 15) as any may now exist or be
hereafter amended. Under these laws and regulations, the CONTRACTOR assures that:
(a) No facility to be utilized in the performance of the proposed grant has been listed
on the EPA List of Violating Facilities;
(b) It will notify CITY prior to award of the receipt of any communication from the
Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be
utilized for the grant is under consideration to be listed on the EPA List of
Violating Facilities;
(c) It will notify the CITY and the EPA about any known violation of the above laws
and regulations.
C. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT:
1. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in
order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This
Agreement will be administered in an impartial 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.
Page 8 of 14
2. Employment of Former State or CITY Employees. CONTRACTOR will ensure that any of
its employees who were formerly employed by the State of California or CITY, in a position that
could have enabled such indi~riduals 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 Invoh~ing 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. Conductine 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 ornon-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 par[ by CONTRACTOR or CITY. Supplies, materials, equipment or services purchased
with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No
voting member of the WIB will cast a vote on the provision of services or vote on any matter which
would provide direct financial benefit to that member or any business or organization which the
member directly represents.
VII.
HOLD HARMLESS
A. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents
and employees, from and against any and all damages to property or injuries to or death of any person
or persons, including property and employees or agents of CITY, and shall defend, indemnify and save
harmless CITY, its officers, agents and employees. from any and all claims, demands, suits, actions or
proceedings of any kind or nature, including, but not by way of limitation, workers' compensation
claims, resulting from or arising out of the negligent acts, errors or omission of CONTRACTOR, its
employees or subcontractors.
B. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents
and employees, from and against any and all damages to property or injuries to or death of any person
or persons, including property and employees or agents of CITY, and shall defend, indemnify and save
harmless CITY, its officers, agents and employees, from and against any and all claims, demands,
suits, actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts
of CONTRACTOR, its employees or subcontractors.
VIII.
INSURANCE
Page 9 of 14
1. Commercial General Liability. CONTRACTOR agrees to obtain and keep in force
during the term of this Agreement a policy of comprehensive commercial public liability insurance
insuring the State of Califomia, 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 Califomia, its officers, employees, and volunteers as addirional
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 acertificate ofself-insurance.
2. Automobile Liability Coverage. CONTRACTOR shall also obtain and maintain,
during the effective period of this Agreement, broad form automobile liability coverage with a
$1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non-owned
automobiles used by CONTRACTOR employees or participants in performance of this Agreement, or,
in the event that CITY will not utilize such owned/leased automobiles but intends to require
employees, participants or other agents to utilize their own automobiles in the performance of this
Agreement, CONTRACTOR shall secure and maintain on file from all such employees, participants,
or agents asself-certification of automobile insurance coverage. Governmental entities may substitute
a certificate ofself-insurance.
3. Workers' Compensation. If CONTRACTOR is an "employer", as set forth in
California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in
California Labor Code Section 3350 et seq., CONTRACTOR shall obtain and keep in force during the
term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by
participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of
cancellation or modification. CONTRACTOR shall carry medical and accident insurance for those
participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to
California Labor Code Section 3350, et seq.
4. Equipment Coverage. CONTRACTOR shall purchase a policy or policies of
insurance covering loss or damage to any and all Equipment provided to or purchased by
CONTRACTOR in accordance with this Agreement. Said insurance shall be in the amount of the full
replacement value thereof, providing protection against the classification of fire, extended coverage,
vandalism, malicious mischief, theft, and special extended perils. Govenunental entities may
substitute a certificate ofself-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.
Page 10 of 14
X.
ASSIGNABILITY
None ofthe duties of, or work to be performed by, CONTRACTOR under this Agreement
shall be subcontracted or assigned to any agency, consultant, or person without the prior written
consent of CITY. CONTRACTOR must submit all subcontracts and other agreements that relate to
this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of
CONTRACTOR pursuant to this Agreement.
XI.
LAWS GOVERNING THIS AGREEMENT
In its performance under this Agreement, CONTRACTOR shall fully comply with the
requirements of the following, whether or not otherwise referred to in this Agreement:
I. The Act and all applicable federal statutes, regulations, policies, procedures and directives,
including but not limited to, 20 C.F .R. Parts 652 and 660 through 671.
2. All applicable State statutes, regulations, policies, procedures and directives;
3. All applicable CITY policies, procedures and directives;
4. All applicable local ordinances and requirements, including use permits and licensing;
5. Court orders applicable to its operation; and,
6. The terms and conditions of this Agreement.
If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with
such or will notifY CITY after enactment or modification that it cannot so comply. CITY may
thereupon terminate this Agreement, if necessary.
XII.
EXCLUSIVITY AND AMENDMENT OF AGREEMENT
This Agreement supersedes any and all other agreements, either oral or in writing,
between the parties hereto with respect to the employment of CONTRACTOR by CITY, and contains
all the covenants and agreements between the parties with respect to such employment. Each party to
this Agreement acknowledges that no representations, inducements, promises or agreements, orally or
otherwise, have been made by any party, or anyone acting on behalf of any party, which are not
embodied herein, and that no other agreement or amendment hereto shall be effective unless executed
in writing and signed by both CITY and CONTRACTOR.
XIII.
FRAUD
CONTRACTOR shall immediately report to CITY all instances and facts concerning
possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this
Agreement.
XIV.
Page \l of 14
CONTINGENCY OF FUNDS
CONTRACTOR acknowledges that approval of and funding for this Agreement is
contingent upon State approval, and funds received or obligated from the State of California to CITY.
If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify
CONTRACTOR, Within twenty (20) days of receipt of such notice, CONTRACTOR shall modify or
cease operations as directed by CITY and negotiate necessary modification to this Agreement and/or
reimbursement of costs incurred hereunder,
XV.
TERMINATION
This Agreement may be terminated by either party at its sole discretion, upon thirty (30)
days written notice to the other party, Notice shall be deemed served on the date of mailing, However,
CONTRACTOR may not terminate this Agreement if undue hardship will result to any participant.
XVI.
DISPUTES
Except as otherwise provided in this Agreement, any dispute concerning any question
arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision
to writing and mail or otherwise furnish a copy thereof to CONTRACTOR, The decision of the City
shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of
such copy, CITY receives from CONTRACTOR written request to appeal said decision,
Procedures governing the appeal shall be prescribed by CITY and/or the State of
California in accordance with the Act and all corresponding regulations and OMB circulars, Pending
final disposition of the appeal. CONTRACTOR shall act in accordance with CITY's decision unless
the dispute involves a change order,
XVII.
BREACH - SANCTIONS
If, through any cause, CONTRACTOR violates any of the terms and conditions of this
Agreement, and/or prior agreements whereby grant funds were received by CONTRACTOR pursuant
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 cunent claims or invoices, if after thirty (30) days' written notice
CONTRACTOR has failed to repay same or a repayment schedule has not been made; and/or (3)
terminate this Agreement by giving written notice to CONTRACTOR of such termination in
accordance the notice provision in Paragraph XVIII herein below.
XVIII.
NOTICES
Page 12 of 14
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 ofthe City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
Telefacsimile (714) 647-6956
CONTRACTOR:
Santa Ana Unified School District/Career Deve10pmentIROP
1815 S. Ritchey St. Bldg. 1A
Santa Ana, CA 92705
(714) 566-8400
Telefacsimile (714) 566-8496
XIX.
MERGER
This Agreement, together with the attachments hereto, expresses the total understanding
of the parties. There are no oral understandings of the parties or terms and conditions other than as
stated herein.
xx.
VALIDITY
The invalidity in whole or in part of any provision of this Agreement shall not void or
affect the validity of any other provision of this Agreement.
XXI.
MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature herein below has the power,
authority and right to bind their respective parties to each of the terms of this Agreement, and shall
indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY
in the event that such authority or power is not, in fact, held by the signatory or is withdrawn.
Page 13 of 14
b All Exhibits referenced herein and attached hereio shalJ be incorporated as if fully set forth in
the bOl" ofthis Agreement.
J)J WITl'ESS Vv'HEREOF, the parties hereto have executed this Agreement the date and year first
above-written.
CITY OF SANTA A~A. a municipal
corporation of the State of CalifoIDla
"CITY"
ATTEST:
~
Patricia E Healy
Clerk of the Council
-c~(
~~
Bv:
Davia N. Rea
City '\1anager
BY:
CON:R?R ;
BY: ~J~
Name: Don Tngg
Title: ASSoclate Superintendent of Business
S ervi ces
Tax ID #: 95-6002823
APPROVED AS TO FOR-\1:
RECO'v1MEND FOR APPROVAL:
Vf1&vyj
~~
11l.Stephen G. rding
1) -Deputy City ~anager for Development Services
Page 14 of 14
Exhibit A
PROPOSAL NARRATIVE
ABOUT THE PROGRAM
EXECUTIVE SUMMARY
for
SUCCESS BOUND!
For the 2007/08 program period, the Career DevelopmentlROP Department of the Santa Ana Unified
School District is proposing to continue the successful program that is currently being funded with
WIA Youth Funds entitled Success Bound! The program will address 80% of the ten WlA elements
with either direct services funded through the WIA Success Bound! program or linkages to other
District programs that pertain to a particular element. Participants will also continue to be linked to
other WlA providers so that they will have access to other programs in the Youth Service Provider
Network. Many Success Bound' participants will also receive adult mentoring services from a
collaborating non-profit organization, Career Beginnings of Orange County. However, since those
services do not carry over for the 12 months after the participant exits the Success Bound! program,
the District is no longer checking the "adult mentor" box on the Program Application form
(Attachment A).
The Success Bound! program will again focus on high school seniors from the five comprehensive,
one academy and two continuation high schools in the District. The target enrollment will be 30
Younger Youth in an In-School Program. This target number of participants reflects the number
successfully served for the past few years. The participants will be recruited in the spring, summer
and early fall of 2007. Given the experience gained from previous recruitment processes, the
employment/internship contacts that have been developed serving current program participants and the
assistance available from the Service Navigator staff at the W/O/RJK Center, we believe that we can
meet this objective in a timely manner.
The basic approach for the Success Bound' program will be one that utilizes regular weekly meetings
during non-instructional time with participants to maintain an ongoing relationship with each student
by the WIA-funded staff. These meetings will be augmented by monthly adult mentor meetings held
outside the regular school day in collaboration with Career Beginnings of Orange County (CBOC),
priority access to ROP courses, paid internship/work experience activities during the regular school
year and collaborative leadership/guidance activities delivered during the weekly on-campus meetings
and monthly CBOC meetings.
The planned outcomes of the Success Bound! program are:
. high school graduation;
. a valid career preparation experience that will equip participants with the hard and soft skills
needed to be gainfully employed; and,
. the support needed to achieve each participant's higher education and career path goals.
Rap Certificates, T ABE results andior other standardized test scores will be used to document skill
attainment goals. Verification of the awarding of the participants' high school diploma will document
the divloma goal and course schedules from post secondary institutions will demonstrate the retention
rate goal for the program participants.
The chart below summarizes how the proposed WIA funds requested in this RFP will be used to serve
the 30 Success Bound! participants. On this chart, there are separate lines for each of the ten elements
that indicate if the primary activities will be delivered and funded by the lead agency (Santa Ana
USD) andior one of its collaborators. The last column includes a very brief description of the primary
activities and the kinds of documentation that will be utilized to document these and otber related
activities. This summary is based on the proposed activities described above in this application in tbe
Program Workplan (Attachment B).
WIA ~129(c)(2) Program Elements Summary; In-School Youth
A) educational Tutorial incentives &
I
I activities leading referral to remedial coursesl
to high school
raduation Di lama and/or test scores
I B) alternative N/A Santa Ana Unified N/A Referrals to alternative
I secondary school School District education programs!
, servIces Student records
I C) directly linked No/A N/A N/A N/A
I summer
employment
0 ortunities
D) paid/unpaid Santa Ana Unified Santa Ana Unified N/A In-school internships and/or
work experiences School District School District work experience/
Parlid ant a roll records
E) occupational N/A Santa Ana Unified N/A Rap and other technical or
skill training School District career-related courses!
ROP Certificates and/or
student records
. F) leadersh ip Santa Ana Unified N/A N/A Weekly on-site meeting
development School District activitiesi'
Participant attendance data
& vas case notes
G) supportive N/A Santa Ana Unified N!A Rap Transportation,
services School District Student records and/or
artici ant's lSS
H) adult Santa Ana Unified Santa Ana Unified Career Beginnings Monthly Mentor Night
mentoring School District School District of Orange County activitiesi
activities Participant attendance data
& vas case notes
11 12 months + Santa Ana Unified N/A N/A Quarterly phone and/or mail
follow-up School District contacts/
services Partici ant's ISS
J) comprehensive Santa Ana Unified Santa Ana Unified N/A Weekly on-site meeting
guidance & School District School District activitiesl
counseling Participant attendance
data& vas case notes
Pursuant to the WIA and Santa Ana Workforce Investment Board requirements set forth in the RFP
for this application, the 30 potential Success Bound! participants will meet age. City of Santa Ana
residenc current low-income eli ibili Selective Service and "ri ht-to-work" standards plus also be
identified as having one or more of the following barriers to employment:
Their basic literacy skills (reading andlor math) are at the eight-grade level or below as
measured on the SAT-9, TABE or an equivalent standardized test;
They are considered as homeless, have runaway from home or are a foster child as
evidenced by either school or social service records;
They are a pregnant or parenting teen as evidenced by school records and/or are an
emancipated youth as identified by court records;
. They have a record as a gang member, an offender or have a court/agency referral
mandating school attendance as evidenced by county records;
They have never held a job and therefore lack a significant work history as evidenced by
their WIA Program pre-application;
They have been identified a Limited English Proficient as evidenced by school records;
Their core GP A is less than 1.5 as evidenced by school records;
They have been suspended or expelled as evidenced by school records; and/or,
They are designated as a "special needs" youth with disability as evidenced by their
school records (e.g., enrolled in special education with a valid lEP, designated as limited
English proficient, etc.).
The above summary concludes the Executive Summary portion of this application by the Career
DevelopmentfROP Department of the Santa Ana Unified School District to implement the Success
Bound! program during the 2007/08 school year.
MAIN PURPOSE OF THE SUCCESS BOUND! PROGRAM
As the local public school agency for well over 100 years, tbe Santa Ana Unified School District's
mission has been to prepare Santa Ana's youth for successful adult lives. As the world becomes more
complex and ever higher demands for knowledge and skills are placed on high school graduates, this
task becomes evermore problematic. The participants in the Success Bound! program will benefit
from the program by receiving an array of services to first help them successfully complete their
public school education, and then assist them with their transition from high school to the dual spheres
of higher education and the world-of-work.
The Success Bound! program's services and activities will take place over an anticipated period of 10-
12 months during their senior year. It will culminate with their graduation in June 2008. The target
population for the Success Bound! program are students with identified "at-risk" factors but students
who have not necessarily been previously targeted for any special services or programs. Success
Bound! hopes to serve "average" Santa Ana students who need that "extra push" to graduate on time
and enter the world as a young adult with the tools necessary to be successful in both their work and
educational careers.
During the yearlong program, participants will meet on a weekly basis with program staff at their
home school sites but not durin\! the varticivant 's instructional day. The adult mentor component is a
collaborative effort with Career Beginnings of Orange County (CBOC) will meet on a monthly basis
usually on the third Wednesday evening of the month throughout the regular school year. Since not an
Success Bound' student will participate in this adult mentoring program and since the CBOC program
no longer has a year-long follow-up element, this adult mentor component has not been identified as a
formal component of the District's 2007/08 WIA In-School youth application. Individual
mentor/mentee meetings will also occur on an individualized basis. For those the Success Bound!
participants who enroll in an ROP course. their training will last from 135 to 360 hours depending
upon the course in which they are enrolled.
With respect to adu1t!participant ratios for Success Bound', a full-time Community Resource Specialist
working in the Secondary Enrichment Programs section of the Career DevelopmentIROP Department
will be assigned to work directly with the participants. That staff member will be assisted by a part-
time employee from Career Beginnings of Orange County, a part-time retired Program Specialist and
most importantly the Career/College Center coordinators at each of the comprehensive high school in
the District. Asswmng that the participants are divided somewhat equally between the schools, there
would be one adult for evety 8-[0 students during the weekly meetings which usually last 40 minutes.
Regarding the adult mentor program, the staff assists at these monthly meetings and the adult mentors
normally have no more than two men tees. These meetings usually are two hours in length. Other
adult/participant contact will occur as the WIA staff work with individual participants in job
placement, payroll, academic advisement and other similar situations. Also, most adult mentors meet
with their mentee(s) outside of the regular monthly evening meeting environment.
PROGRAM GOALS/OBJECTIVES and PERFORMANCE LEVELS
for
SUCCESS BOUND!
As stated in the Executive Summary portion, the Success Bound! program has a target of thirty (30)
participants attending secondary programs with in the Santa Ana Unified School District who will be
high school seniors during the 2007/08 school year. The specific WIA program elements directly
supported by the funding requested in this RFP response are:
,( educational activities leading to high school graduation,
,( paidlunpaid work experiences
.,f leadership development,
,( 12 months + follow-up services, and
.,f comprehensive guidance & counseling.
Participants will have access to four other services through other existing District programs:
,( altemative secondary school services,
.,f occupational skill training,
,( supportive services (transportation), and
,( adult mentoring
Participants would also be able to investigate and access similar services from other providers in the
Youth Service Provider Network.
Participation in specific services will be based on both the assessed needs of potential participants and
their expressed interests. It is a goal of the program to enroll all 30 participants by the end of October,
2007. Several key elements of the overall Success Bound! program involve early advisement,
academic assessment with the T ABE (or a similar instrument) and enrollment. Individual participant's
previous scholastic history and test scores from their SAUSD student records on the Schoo[Max
system will also govern which academic tutorial activities they should pursue. If tutorial remediation
is needed, incentives in the form of pay will be offered to encourage participation en lieu of other
work-related activities. Otherwise, participants will be encouraged to enroll in career/work related
courses that are relevant for their chosen career pathway (several assessment instruments from JUST
Publishing will be used in this area).
Experience with both WIA and JTP A programs have demonstrated that the recruitment and enrollment
process is almost always more difficult and time consuming than originally anticipated. It is
anticipated that the assistance from the W /O/RiK Center's Service Navigation staff will serve to
expedite the recruitment and enrollment process for Fall, 2007. Recruitment is directly tied to the
vocational training and basic skills elements as potential participants need direction early in their first
semester as a senior to take appropriate action in order to avail themselves of all of the offerings in the
Success Bound' program
The WIA performance standard will be addressed in such a manner as to meet required reporting
needs through the delivery and evaluation of the proposed services for participants in the Success
Bound! program. Certificates of completion and/or test scores will validate the skill attainment rate.
The graduation or diploma rate will be based on the number of students graduating and/or acquiring a
GED. Retention rate data will the enrollment by participants in post-secondary programs; i.e., higher
education and/or technical or career training. The following chart summarizes the service provider
outcomes for the Success Bound' program in Santa Ana Unified vis-ii-vis those for the overall Youth
Service provider Network.
84.5%
67%
69.7%
85%
95%
80%
Skill Attaimnent Rate
Di loma Attaimnent Rate
Retention Rate
Certificates of completion and/or competency will be awarded for many of the proposed activities.
participants who successfully complete ROP courses and meet each courses' minimum competency
criteria will be awarded a Certificate of Competency. Participants in the adult mentor program are
awarded a Certificate of Completion by Career Beginnings of Orange County. The District awards
high school graduates with a diploma and those participants who graduate from a school such as
Century High School will also have a "senior portfolio" that will contain other certificates, awards,
etc., that the participant has accrued during his/her high school career.
Continuous improvement will be addressed via several procedures. One of the most important is the
participant attendance spread sheet used to monitor participant attendance at the weekly
leadership/guidance meetings and the monthly adult mentor activities. Another is the payroll spread
sheet and its supporting hourly reporting documentation for every participant who receives pay for
paid intemships/work experience and/or tutorial incentive pay. This data will assist the Success
Bound! program staff in monitoring the participation level of each student. This and other related
information will be included in case notes for each client in the Work Center's VOS system and other
paper documentation in local files at the ROP Center. Regular check-ups with work-place/internship
supervisors will also provide information on both each student's progress and the satisfaction level of
the training site staff. Participants will regularly provide feedback on the monthly Career Beginnings
of Orange County events. All of this information will serve to assist WIA staff in monitoring the
progress of Success Bound' activities so that improvement can be made whenever necessary.
Meetings with the W/O/RIK Center Service Navigation staff to ensure that administrative, recruitment
and case management procedures are both effective and efficient will augment these procedures.
SUCCESS BOUND! PROGRAM DESCRIPTION
PROGRAM OVERVIEW
The following pages outline brief program descriptions that are focused on those selected elements
from the ten required WIA elements directly and/or indirectly serviced by the activities described and
requested by this RFP. The actual WIA Workplan follows these as set forth in the Attachment B
format as requested in the RFP. Each is directly elated to the basic goals for the Success Bound!
participants: high school graduation, enrollment in a higher education program and the acquisition of
appropriate employability skills for an entry level (or higher) position which will assist the participant
in his or her pursuit of both a career and a post-secondary education.
Outreach / Recruitment / Eligibility Determination
As mentioned previously, outreach, recruitment and eligibility determination for the Success Bound!
program's target population of 12th graders will be initiated at the end of the spring semester of the
2006!07 school year. The program design outlined below then calls for servicing the participants
during their senior year. The Success Bound! program will focus on serving participants who have
expressed an interest in several career pathways; Business & Marketing, Science & Technology,
Health, Human Services and Entertainment, Arts & Communications. The following chart displays
examples offactors illustrative ofthe recruitment target population that the WlA staff will use:
Resident ofthe City of Santa Ana;
Identified by school staff as at risk of dropping out;
No work history
Past record of under achievement (eighth grade or below academic level);
Past record oflow motivation or interest (poor grades);
Has identified a career pathway
Teen parent, homeless or runaway;
Pattern of poor attendance or attendance in alternative programs;
poverty level, as indicated by AFDC or free and reduced lunch eligibility; and/or
Membership or participation in gang-related activities.
Previous summer youth employment program enrollment;
Recommendations from high school guidance, career center and/or ROP staff;
Self-referral and/or referral by peers;
Compliance with WlA eligibility requirements; and/or
Recommendations from community service agencies or other members of the Youth
Service Provider Network.
With an emphasis of the Success Bound! program on several career pathways-particularly Business &
Marketing, Health, Human Services and Entertainment, Arts & Communications, recruitment will
focus on the classrooms of the instructors in those pathways at each high school and the ROP Ritchey
Center. The availability of the program wi\l also be announced via "Daily Announcements," school
newspapers, current WlA participants, etc., at each site. Following the pattern developed over the past
several years with lTP A programs, several enrollment events will be planned to take place after the
regular school day.
Actual enrollment will be on a "first-come, first-served" basis with respect to when students submit
their required documentation. In order to ensure both a representative participant population from
acrosS Santa Ana and participation from the various key pathways. applications from some sites and/or
pathways may be "held" for a period of time to enable others from under-represented schools andlor
pathways to apply. But, this period will not be long as those students who have followed the
application and enrollment directions in a timely manner will be given top priority. District teachers
and other staff working with the Success Bound' program will work with their colleagues to assist with
the collection of enrollment documentation data that will then be given to the WlA staff at ROP so that
the Santa Ana W/O/R1K Center personnel in the Service Navigation unit will have only one contact.
The chart below summarizes many of the outreach recruitment and eligibility determination activities
along with a tentative timeline for the enrollment of all 30 proposed participants. Given the WIA
requirements regarding financial eligibility and prior experience with obtaining right-to-work
documentation, it is expected that the entire period will be needed to obtain a full contingent of
qualifiable participants for the program.
June 11. 2007 July 2, 2007 July 2,2007 Jul7 16, 2007
to to to to
Seot. 28, 2007 Oct. 5, 2007 Oct. 12,2007 Oct. 31, 2007
Outreach Recruitment Screening WIA Process &
And for the Success WIA Criteria Receipt of
Referral Bound Prol!ram Parent Consent
By student Information Initial screening by Assessment
parents to individual and ROP and WlA staff begins when
teacher group meetings request for: parent
staff right-to-work permission and
agencies Student & Parent documents documents are
meeting dates family income received
Reason for established documents
Referral; WIA Processing
attendance Continue with the Areas to Be by WlA Service
academics identification and Addressed; Navigation staff
career prep initial enrollment academics with ROP staff
alternative processes attendance to provide help
placement extra curricular with enrollment
grades Initiate formal career training
self referral school meetings
for recruitment Types of Test or
Procedures to be
Send information Used;
to Parent SchoolMAX data
I (or Consent I (or CAT, TABE
TlMELINE FOR BASIC SELECTION, RECRUITMENT &
ENROLLMENT ACTIVITIES
Intake / Assessment
Intake and assessment for the Success Bound! program participants will take place in conjunction with
the enrollment process. Initial participant program goals will be submitted within 30 days of notice by
the W/OJRIK Center Service Navigation team that the participant is enrolled. In place of available
District assessment test scores, participants will be given the T ABE to assess their basic skills (this test
will be used for post-testing in the spring for those participants with a basic skills goal). Job readiness,
job search skills, occupational interests, etc., will be assessed during the summer and/or early fall in
order that each participant's ISS is up-to-date. Other aspects of the participant assessment process will
be ongoing for the time each participant is in the Success Bound! program; e.g., in the area of support
services, the need for transportation assistance etc., will be reviewed on a regular basis.
Case Management
If any revisions are necessary due to staffing changes in the WlA case management staff on the
W/O/RlK Center Service Navigation team, they will be worked on in collaboration with the Santa Ana
Unified staff after funding notification. While the support of the W/OIRJK Center staff will be
appreciated, the Santa Ana Unified School District staff in the Career Development/ROP Department's
Secondary Enrichment Programs office is very experienced with youth programs and at-risk
populations. This is particularly true with respect to dealing with the data collection requirements of
youth related programs; both those problems encountered in enrolling potential participants and those
unique to reporting program completion data. Staff is well versed in the completion of ongoing
Individual Service Strategy documents for each participant, the administration of objective
assessments, etc. The full-time Community Resource Specialist assigned to the WIA Success Bound!
program will maintain overall responsibility for the objective assessments, ISS forms and VOS system
entries. The assessments will be accomplished either at the ROP Ritchey Center or one of the full
service Career Centers on the regular high school campuses. Unless there is a change for the 2007/08
program year, ISS folders will be maintained in the Secondary Enrichment Programs office. Any
other concerns vis-a-vis the interface of Success Bound! staff with the W/OIRiK Center Service
Navigation team will be dealt with when the occasion arises
Parent involvement
With respect to parent involvement, initial contact with parents is normally made during the
enrollment process. Completion of the Work Permits also often requires another parent contact. The
WIA Success Bound! Community Resource Specialist will make home telephone and/or home visits
during the course of the program year. Normally, the initial reason will be either attendance and/or
paid work experience concern but other calls will also focus on missing graduation requirements,
college financial assistance documentation, training site issues, etc. Experience with previous years'
programs has taught the Success Bound' staff that parental support can be key to getting a senior
"back-on-track" towards graduation, career and higher education goals.
After the initial enrollment process, there will be a few other formal schooUparent activities; e.g.,
parents are invited to several of the adult mentor activities. But, strong informal relationships with
parents will be developed with parents when there have been concerns about attendance or other
related problems with training and work sites. These parental relationships will be maintained and
strengthen for the 2007/08 Success Bound! program year for we have learned the value of parental
support in these areas. The weekly guidance/counseling sessions often provide opportunities to
discuss parental/adolescent relationships in a private setting and the success, which has been
experienced in improving these relationships in what can be a very trying time for both parents and
teenagers, will be continued for the upcoming program year.
Like the comments pertaining to actual program services, information regarding job placement,
continuing education and follow-up activities is explained below in the description of the ten program
elements. Again, the primary goals of the program are threefold:
,I high school graduation (diploma rate);
,I enrollment in a higher education program (retention rate); and the
./ acquisition of appropriate academic and/or employability skills for an entry level or
higher position which will assist the participant in his or her pursuit of both a career
and a post-secondary education (skill attainment rate).
The basic thrust of the academic support system is one of close oversight and the facilitation of each
participant's journey towards achieving the three basic goals for the program as stated above. Based
on the objective assessment data used in the eligibility process along with other similar school-based
data and information, the Success Bound! staff will develop individual service strategy plans (ISS) for
each participant. These along with case notes in the vas system and other similar documentation will
detail how and which of the project activities will be used to help the individual participants reach
their educational, employment and higher educational goals. The exact mix of services each
participant receives will be based on his/her ISS and career pathway. However, each participant will
have the choice to meet with an adult mentor, be exposed to the leadership, drug, alcohol & other
health related issues activities during the weekly guidance & leadership meetings, receive additional
guidance and counseling support and have access to paid internship work.
Program Services
SUCCESS BOUND! PROGRAM QUALITY ELEMENTS
ELEMENT #1:
An effective academic support system of the participants' educational activities
leading to high school graduation.
The basic academic component of the program will focus on the unique needs of each participant-both
in terms of academic support and in terms of meeting high school graduation requirements. Those in
need of tutoring will be referred to ongoing tutorial programs at each campus that are normally staffed
by Compensatory Education staff (Title 1, one of the largest K-12 federal education programs). Other
tutorial referrals may be made to student resource center at the Rap Ritchey Center where the WIA
staff is housed. While WIA funds are not be used to equip this center, some WIA funds could be used
for instructional supplies to support the identified academic needs of Success Bound! participants. The
WIA funded resources for this element of the program will be the staff (program management,
guidance and support) who assist and monitor participant progress towards meeting the three goals for
the program identified earlier in this section. A key facet of this activity, which was added during the
2001102 program after a recommendation by the WIB's Youth Council, was (and will continue to be)
a paid incentive to attend tutorial programs outside of the school day. This action provided
participants with pay that they would normally have received in a paid work experience or internship
position. Given the economic situation from which most participants come, this aspect of the
program gave participants the incentive to address their academic needs while at the same time
meeting economic needs. In the 2006/07 program year, another policy change was implemented for
participants that now requires that if they have a basic skills goal. they must participate in this element
(including the paid incentive) prior to participating in any other program elements involving payor
other incentives.
Evaluation materials developed for the Success Bound! program will be designed to elicit participant
opinions concerning both the effectiveness and the appropriateness of the program vis-a-vis their
needs and the degree to which the project's activities helped them graduate and pursue an occupational
career while also entering a higher education program. As with any useful and valid evaluation
instrument, the data from these initial participant reviews will be incorporated into program
modifications if necessary to better meet participant needs.
Continuing Education
ELEMENT #2: Provision of access to appropriate alternative secondary school services if
needed to facilitate graduation on schedule.
The Success Bound! program staff will carefully monitor each participant's progress toward the
attainment of both their basic academics, work readiness & occupational skill attainment goals and
their high school diploma. When necessary, participants will be directed to alternative programs both
within the Santa Ana schools and at other agencies in order to acquire the need units/classes needed to
meet their diploma requirements. These alternative programs will include the District's Independent
Study and Teen Parent programs, Santa Ana colleges Adult Education Programs and the Orange
County Department of Education's two alternative programs; Horizon and Summit. The high school
guidance counselors and Rosa Galindo at the District's Student Services Office will assist program
staff in the enrollment of participants in alternative programs.
Placement in alternative educational settings for the purpose of facilitating placement and retention in
a post secondary educational setting will also be a key element of this aspect of the Success Bound!
program. Individual needs will be assessed and documented through the normal secondary school
delivery system and follow-up by staff. Depending on the needs, several options will be available for
the students: tutoring, practice tests and preparation for college entrance exams, proficiency test
tutoring, etc. Individual help from staff, adult mentors and others will ensure the success of the
students. Grades and attendance will be monitored. If additional intervention is necessary, the
appropriate staff person will be notified of the needs of the student.
Placement in Jobs
ELEMENT #4:
Opportunity for each participant to participate in paid and/or unpaid
internships or work experiences.
This successful element of the current 2006/07 WIA program is a modification a previous JTP A
program between the Santa Ana Unified School District and the Private Industry Council of Santa
Ana. That program, the "School-Workplace Internship Program," served high school participants who
attend Santa Ana high schools and/or Regional Occupational Program (ROP) classes. As with the
previous program, Success Bound! participants in 2007/08 will be given the opportunity for both paid
or non-paid internship (work experience) opportunities that offer:
"'"' viable paid workplace internships which provide appropriate work-based learning
opportunities;
"'"' improved career related curricula and instructional strategies allied with the
UROG "Choosing Success" materials or other similar connecting activities;
"'"' strengthened comprehensive local community partnerships; and,
"'"' improved non-traditional employment opportunities for WIA eligible students.
These work-based learning and connecting activities for the Success Bound' participants during the
school year will be directly linked to community-based partners and implemented by proven
delivery systems. These instructional strategies will include career related activities that focus on
basic skills training, life-long learning and expanded career opportunities for non-traditional
employment for WIA participants that focus in several areas including business, the arts and
bilingual environments where using translation skills will serve the local community.
Actual employment will be through the District with monthly time cards and student employee payroll
data serving as documentation for the paid internship segment of the program. This paid internsr;n
program will complement and expand offerings for participating WlA in-school participants by
implementing appropriate assessment activities that focus on specific employment/employability
competencies. These include resumes, job applications, bilingual medical/clerical and/or instructional
proficiencies, job search techniques, related bio-medical and other academic and/or fine arts curricular
expectations and an awareness of career ladder opportunities and their pre-requisites. These program
activities will utilize existing Central County ROP (CCROP) and District facilities working within
existing class schedules & space utilization to eliminate any potential impact on regular programs at
secondary sites. The primary vehicle for the delivety of this portion of the program will be the weekly
guidance/counseling meetings held on the individual high school campuses.
Given the base of hundreds of internship or "Community Classroom Agreements" between the Career
Development/ROP Department and local employers, the District does not need to enter into any other
duplicate agreements. These when coupled with previous work-site agreements between various
District sites and the W/O/RlK Center for prior JTP A in-school and summer youth employment
programs will provide more than enough internship, job-shadowing, and/or employment opportunities
for the Success Bound! participants.
ELEMENT #5:
Access to an effective program of occupational skills training.
The overall approach of the Santa Ana Unified School District's Regional Occupational Program
(ROP) is to maximize community resources, integrate services within the educational and business
communities and find new avenues to increase the level of employer involvement in the creation of
intemships and work-based learning. Allied with this activity are the strong work-based programs and
tbe network linking of career pathways and work site experiences of the Central County's Regional
Occupational Program (CCROP), local WIA (Success Bound), the Chamber of Commerce, the City of
Santa Ana and local business and community-based organizations. The cornerstone of all of this is the
ROP as it is the District's vehicle for providing appropriate, timely and effective entry-level training.
Many ROP courses have work-based internships as part of the entry career certification programs.
These have been integrated into the career pathways at the high schools. Allied with the ROP
offerings are partnerships with Santa Ana College and local universities that enable high school
students (including Success Bound! participants) to participate in articulated program of sequential
courses from high school through college,
Selected Success Bound! participants will be guided and counseled into Regional Occupational
Program courses related to their career pathways as these courses can play such a pivotal role in their
school-to-work plan. These classes will provide participants with the means to prepare for entry-level
employment, receive elective credit toward graduation, enter a career pathway, sample various work
site experiences, eam money for educational expenses and/or verify career choices. And from a very
practical point of view, the ROP Certificates will verify that a program participant has indeed met
bis/her Skill Attaimnent Rate goal.
Operationally, ROP consists of a variety of occupational training programs that lead to entry-level job
skills for students age 16 and over. ROP classes, which are funded by the State, include integrated
classroom and work-based activities. ROP teachers are experts in their field with a minimum of five
years of work-based experience and a teaching credential. Of particular importance to many of the
Success Bound! participants is the fact that the,e courses are offered not only at the ROP's Ritchey
Center, but also on high school campuses throughout the District. Transportation is available at no
cost for afternoon courses. Courses are also available in the evening and on Saturdays. Participants in
Success Bound! will be given priority registration for ROP courses during their time in the program-
including the twelve-month follow-up period.
ELEMEl'I'T #6: Provision of a support plan that affords participants with leadership
development activities as an integral part of their total program experience.
This element is primarily addressed during the weekly meetings at each high school campus. This
program is designed to be a skills-building youth development program that prepares youth to make
wise decisions, set goals and gain a sense of self-worth. It is designed to be a very integrated,
interactive program that raises awareness about how one's decisions and values have short and long-
term consequences and how they influence one's health and well-being. "Smart Choices" is based on
youth development programs that have been documented to reduce teen pregnancy, violence and risky
behavior. This program has successfully equipped youth with skills that help them make positive life
choices.
This adapted program will also incorporate elements of another program entitled the "Gift of Giving"
which focuses on service to others. The development of such an attitude belongs in this element and
in fact, this activity not only supports two of the Success Bound! program's elements (leadership &
guidance/counseling) but it also reinforces the whole concept of "customer service." This is a key
element of career development and ROP courses that participants will be taking. It is well know that
most teens and young adults lose their employment over non-skill related issues (the "soft skills") such
as work place attitudes, attendance, customer relations, etc.
The adapted "Smart Choices" program has been designed to be offered in small groups and for a
varying length of time to accommodate the career pathway orientation of the program and student
availability. It is anticipated that each Success Bound! participant will be involved in this activity for
approximately ten to twelve sessions. In addition, it is anticipated that one or more may be provided
in conjunction with the Career Beginnings of Orange County's Mentor Night program that is described
later in this proposal.
ELEMEl'I'T #7:
Provision of a support plan that affords participants with appropriate
supportive services when needed to facilitate their successful completion of the
program.
A key component of the Success Bound! program will be the degree of support provided to each
participant. Transportation to ROP training classes and work sites will probably be the most common
example of support services. However. via the ROP's Community Advisory Committee and the
Assistance League of Santa Ana, participants will have access to appropriate work site clothing when
needed. The resources of the District's Teen Parent program will be brought to bear should a
participant have to address such issues as childcare, parenting, etc.
The collaborator for the program, Career Beginnings of Orange County will also assist in provision of
services regarding this program standard. The adult mentors from the CBOC program have
historically not only assisted their men tees with such expected items as career and academic
counseling, recreational activities, etc., but they have help with such things as providing appropriate
clothing for interviews. transportation, accompanying their mentee on job or college interviews, etc.
While not directly a support service, the focus of this program is to actively engage the srodents to
participate in community service. Program activities focus on several important social and community
related concepts and it is felt that this element of the program will be of value to the participants from
not only a supportive service point of view but from one ofleadership.
ELEMENT #8:
An effective adult mentoring program designed to complement and ensure
attainment of the program's goals for graduation. enrollment in higher
education and acquisition of basic career skills.
One of the major elements of previous Success Bound' programs has been the adult mentoring
program provided by Career Beginnings of Orange County (CBOC). This activity was modeled after
a program that originally began over twenty years ago with a grant at Santa Ana College. For the past
eleven years, a non-profit Board of Directors has operated CBOC in cooperation with the Secondary
Enrichment programs at the ROP in the Santa Ana Unified School District. CBOC no longer is able
to provide the 12-month follow-up required by WlA so will the program will still be offered to many
of the 2007/08 Success Bound' clients but it will no longer be as significant a component of the
Success Bound! program that it has been in the past.. It is planned that each adult mentor will have no
more than two mentees. The adult mentor program will be supported by both CBOC and Success
Bound' staff. This program will focus around ten monthly "Mentor Nights." Follow-up activities to
the CBOC evening meetings will be incorporated into the weekly Success Bound! meetings. It should
be noted that while these leadership and guidance/counseling meetings are on a weekly basis, school
schedules, assemblies, holidays, etc., often consume at least one of the meeting times each month.
Mentors will be recruited in a variety of ways. Each high school campus has several business
partners, some schools with as many as fifteen business partners. Community partners are interested
in working with the schools to increase student achievement by providing better and more educational
opportunities. Recruittnent at these sites enables the business partner the opportunity to get "directly"
involved with the srudents. Presentations will be made at breakfast, lunch and evening meetings.
Another avenue for recruittnent includes presentations at service organizations, Chamber of
Commerce meetings, and the City of Santa.
After initial recruittnent. mentors will be asked to fill out an application and attend an orientation
meeting and personal interview with staff. The Santa Ana Unified School District requires the
volunteer to have fingerprints and TB testing. A physical is not necessary for any part-time volunteer.
Fingerprinting will be done at orientation meetings or the first training meeting in a group setting.
Orientation sessions will be scheduled to acquaint the potential mentors with the project. Orientation
is not training. These sessions identify the who, what, where, why and how about the mentoring
project. General information is given about the students, their school environment, the project and
how it works. the duration of the volunteer commitment, etc.
Training for mentors begins shortly after orientation. All mentors must attend a minimum of three
hours of training before being matched with a student. The session identifies the need of the program,
clearly defines who the students are, defines the goals ofthe mentor project, identifies the needs of the
students and their stage in development, discusses problems that teenagers encounter including peer
pressure, substance abuse, child abuse and family violence, and drugs. In addition, the training
provides practical advice for the mentors - how to contact the students, their project coordinator.
teacher or job developer. The training sessions include a manual that covers the necessary information
to make the mentoring experience successful.
The Career Beginnings evening begins with a hosted dinner (sponsors are regularly solicited) once a
month at a school site, postsecondary campus or business which gives the participants and mentors an
opportunity to come directly from school or the workplace without worrying about dinner. It is a great
time for the mentor and mentee to socialize and relax. Individual contact and recognition with the
mentors is important just to say thank you for volunteering. An end-of-the-year celebration will
recognize the accomplishments of the mentees and mentors. Career Beginnings of Orange County,
works with the school district to provide recognition of the mentors in the form of certificates, plaques,
etc. and recognizes the students for their completion of the program. Scholarships are solicited from
the community to be presented to the students. The evening is often the highlight of the year. The
CBOC Board of Directors plans to award 20 $250 scholarships to students in their program (including
Success Bound! participants).
Follow-up
ELEMENT #9: An efficient and effective delivery system for twelve months of follow-up
services.
Note: the toIlm>ing adiviti<s are al>io appIicabIeto prior WIA JIIII1idPaI1lS from the 2l106m program.
Evaluation and its required data gathering activities will take place throughout the project year on an
ongoing basis. As with prior Success Bound! programs, the process for the 12-month follow-up
services will focus on accumulating data to assess "continuous improvement" to the Success Bound!
program offerings. Data from this database plus individualized quarterly follow-up contacts will
become an integral part of the proposed follow-up services activities. The Success Bound! staff will
continue to monitor school and work attendance with students after they exit the program upon their
graduation on a monthly basis at a minimum.
The staff of the District have had extensive experience in annual follow-up reports. The specific
design of the documents used for this process will be based on that experience and any requirements
of the W/OfRJK Center or WIB staff. Summative evaluation of the project will be assessed by
completion. postsecondary commitment and graduation rates and at the end of the school year. The
major collection timeline for follow-up data will be in the late fall after high school graduation. This
will be done to verify the former Success Bound' participant's postsecondary placement (higher
education, military, part-time or full-time work).
Success Bound! participants will be regularly contacted on an informal basis (mail, phone and e-mail-
if available) to monitor their progress during this twelve-month basis. The purpose of the informal
contacts will be to remind the participants of the availability of continuing follow-up services. These
would include not only the standard supportive services available to WIA program participants, but
also access to tutoring/study areas at the ROP Ritchey Center, Cal- WORKs programs, the W/OfRJK
Center and ROP courses. The District's Career Development/ROP staff has close relationships with
both programs and staff at Santa Ana College; those Success Bound' participants who attend that
institution will also have access to extra support and attention during the twelve-month period as a
result of these relationships.
With respect to regular progress reports, record keeping, etc., the Secondary Enrichment Programs
staff at the ROP Ritchey Center are experienced in providing the data needed by the WIB, Youth
Council and others to document the effectiveness of the program and the success of its participants.
This is ttue for both programmatic and fiscal monitoring. As some of the school-based information on
the District's SchoolMax system and elsewhere is confidential, records (including ISS files) will be
kept at the ROP Ritchey Center and the WIA online VOS system unless the Service Navigation team
at the W /O/RfK Center changes current procedures. If it is necessary for other WIA youth programs.
the district will collaborate with other vendors to provide student data within the boundaries of various
state and federal privacy regulations.
ELEMENT #10:
Access to and provision of a comprehensive array of guidance and counseling
support activities that focus improving student performance and achievement.
Project services for Success Bound' participants that involve this final standard have been partially
addressed in several of the other standards, particularly those dealing with leadership development,
supportive services and adult mentoring. As also mentioned above, the vehicle for delivering the
services will normally be the weekly meetings held durin\! non-instructional times at the individual
high school sites. Augmented by the services of the collaborators, this portion of the project will
afford participants with comprehensive guidance and counseling services that far exceed those that
they can normally access in a traditional high school setting. This aspect of the case management
services for participants will also be available outside the regular school day thus making them
available at times when these at-risk students do not have to be in class. Alternative methods of access
are important to the target population and it is an objective of this part of the proposed program to
facilitate the access of these students to supplementary supportive services.
The Community Resource Specialist for the Success Bound! program will monitor participant contacts
with all staff and the collaborators to ensure that all aspects of each participant's identified case
management goals/ISS is being addressed. Experience with previous WIAlJTP A programs has taught
that this aspect of program management is extremely import; not only with respect to reporting
requirement, but more importantly, with respect to providing appropriate services to participants and
coordinating case management activities that may involve of service providers in the provider's
network. Case notes logged into the VOS system will be one of the primary elements in the
documentation of these activities. Records from counselors and other academic guidance and career
center personnel at the high schools will also be a part of each participant's file (within the parameters
of existing privacy legislation). This aspect of the program would also be the main method for
tracking each participant's progress towards the basic goals of the Success Bound! program.
SUCCESS BOUND! PROGRAM FACILITIES
SITE AVAILABILITY, ACCESSIBILITY & HOURS OF OPERATION
The program will be offered primarily at the ROP Ritchey Center and the comprehensive high schools
with senior classes; Century, Saddleback, Santa Ana, Segerstrom and Valley Academy. All these
sites and the two continuation high schools (Chavez and Mountain View) are readily accessible to
project youth. They also meet ADA requirements vis-a-vis handicap access. In recognition of the
importance of the District's normal academic program and the academic standards which it embraces,
Success Bound! program activities will take place outside the normal academic day. Regularly
scheduled weekly meetings will take place before/after school (7:00 to 8:00 am andJor 3:00 to 5:45
pm), in the evening (6:00 to 8:30 pm) andJor during lunch that is considered as non-instructional time
(1 \:15 to 11:55 am, 12:15 to 12:55 pm). The monthly evening meetings with adult mentors will take
place in either the high schools or local business such as Orange County Teachers Federal Credit
Union or Ingram-Micro. These sites and others such as the Santa Ana W/O/RlK Center are accessible
in terms of both public transportation and handicapped accessibility. With respect to career training,
school bus transportation is available for high school students attending ROP courses (this includes
local drop-off points for internship opportunities) for both early and late afternoon classes. The
project staff will also assist participants in getting transportation to other activities whenever possible.
Prior experience with the CBOC organization has indicated that the adult mentors will also assist
participants with transportation needs.
EXPERIENCE
For many years, the Santa Ana Unified School District collaborated with the Santa Ana PIC and now
the WIB in providing CET A, JTP A and now WIA programs. During that time, over 7,200 students
have participated in a variety of summer and in-school year programs. While operating these
programs, District personaeI in the Secondary Enrichment Programs office at the ROP Ritchey Center
have developed a positive working relationship with the W/O/R/K Center staff that has now carried
over into WlA programs.
The Santa Ana Unified School District staff in the Career DevelopmentIROP Department's Secondary
Enrichment programs office is very experienced with youth programs and at-risk populations. This is
particularly true with respect to dealing with the data collection requirements of similar types of youth
related programs; both those problems encountered in enrolling potential participants and those unique
to reporting program completion data. For the past several years, District staff has been successful in
recruiting and serving the at-risk population. This is not to say that there have not been problems in
the past with recruitment or placement goals going unmet. But staff has learned from experience and is
ready to deal with the real difficulties encountered in the enrollment, placement and data collection
processes. This need to always be on a continuous learning curve was just recently re-affirmed during
the 2006/07 program year with the revision of several former procedures regarding case notes and the
VOS system. Staff is also well versed in the completion of ongoing Individual Service Strategy
documents for each participant, VOS, the administration of objective assessments, etc.
The Career DevelopmentIROP Department has literally hundreds of relationships in place with area
employers who have experienced success with prior youth program participants. This is particularly
true of those paid internship positions utilized in past JTPA programs such as the School Workplace
Internship program, the Arts-in-the-City program and the WlA Success Bound! & Right Start!
programs. In addition to these, WlA youth participants will have access to the hundreds of regular
ROP internship sites partnered with specific career preparation courses. Paid, non-paid, job
shadowing and other related activities will also be accessible to the WIA participants via the Career
Centers at the high schools and the CTS lab at the ROP Ritchey Center. The adult mentors form
Career Beginnings of Orange County (CBOC) will also be a resource to program participants.
The proposed staffing will include only Career DevelopmentIROP staff members with prior WlA
experience. Given the scope of this project and the experience from the 2006/07 program year, it is
clear that the proposed staff should be sufficient. The proposed staff will be supported by the
infrastructure of the Career DeveloprnentlROP office and the College/Career Centers at each high
school. Allied with the District staff will be support personnel from other agencies such as EDD, the
W/O/RJK Center, Cal-WORKS and other member of the Youth Service Provider Network. Paid and
volunteer staff from Career Beginnings of Orange County will also support the team providing
collaborative services to the In-School program participants. The efforts of these support staff and
others will serve to leverage the WlA direct funded services into a more successful program for the
Success Bound! participants.
The over-all operation for the Success Bound' will be handled by Ricardo Quezada, Community
Resource Specialist for SAUSD. Tony Dalessi, a retired ROP Program Specialist who has been
responsible for the operational management of previous WlA and JTP A programs will continue to
assist Mr. Quezada in that area. The primary contact for the CBOC adult mentoring activities will
continue to be Jon Anderson, Operations Specialist for the Career Beginnings of Orange County
Board of Directors and an ROP instructor.
The normal working hours for these staff members assigned to work with the Success Bound! program
will range from 7:30 am to 5:00 pm. However, they will be available for evening meetings, weekends
and other times necessary to effectively serve the Success Bound! participants. All will be located at
the ROP Ritchey Center, but to effectively serve the participants, they will be out of the office on a
daily basis in order to conduct the weekly meetings at the local high schools, make job-site visitations,
develop new training sites and/or internships, etc. The tables below and on the following page
summarize the personnel planned to service and operate the Success Bound! program.
SUCCESS BOUND! PROJECT STAFF
Name all staff, including project manager, to be involved in the project, indicate their physical
location, their immediate supervisor, percent of time to be allocated to this project, and percent of
time allocated to other projects. Name those proiects and fundin<! sources.
NAME!JOB NAME OF
TITLE % OF TIME % OF TIME OTHER
put "vacant" * ALLOCATED ALLOCATED PROJECTS
if currently not on PHYSICAL IMMEDlA TE TO THIS TO OTHER &
board LOCATION SUPERVISOR PROJECT PROJECTS FUNDING
SOURCES
Ricardo Quezada ROP, Lee Gotcher 100% 0%
Comm. Reso. Spec. Ritchey Ctr.
Tony Dalessi ROP, Jack Oakes 3% 0% (retired)
Prog. Spec. Ritchey Ctr.
(HrlY.1
Jon Anderson ROP, Lee Gotcher 20% 80% CCROP &
Oprtns. Spec. Ritchey Ctr. CBOC
(Hrly.)
DESCRIPTION OF THE PROPOSER
The Santa Ana Unified School District is a large urban district covering a 24 square mile area serving
the county seat of Orange County, California. Composed of over 50 schools/programs and serving a
population of over 57,000 students, it is the largest district in the county and the sixth largest in
DESCRIPTION OF THE PROPOSER
The Santa Ana Unified School District is a large urban district covering a 24 square mile area serving
the county seat of Orange County, California. Composed of over 50 schools/programs and serving a
population of over 57,000 students, it is the largest district in the county and the sixth largest in
California. Santa Ana schools have been an integral part of the local community for over 120 years.
Literally hundreds of thousands of youth have received their basic education from the public schools
in Santa Ana. The Regional Occupational Program itself has been in operation for 35 years. Ever
since the California State Legislature created it, the ROP has been equipping students with the entry-
level skills needed for a successful transition to the world of work. The education, both academic and
career/technical, that Santa Ana students have received over the years has had a lasting impact on both
them and their community.
The City of Santa Ana is the second densest populated city in the state, the youngest city in California
with a median age of 24 and the youngest median aged city of the 100 largest cities in the United
States. During the last complete census period, the census tracts comprising the City's Empowerment
Zone areas grew at a rate of 55%; this was in areas with less than I % of vacant space. Santa Ana is
the third highest city in Hispanic population in America and it was also one of the primary re-Iocation
areas for Vietnam War refugees-particularly those from Laos & Cambodia. Other education-related
demographic factors impacting the educational needs of students in the Santa Ana Unified School
District include:
ve Factors Santa Ana 'USD {' California
Free/Reduced Price Meals 71.7% 38.0% 50.1%
Limited English Proficient Students 55.8% 28.3% 24.9%
Comoensatorv Education 91.0% 39.0% 51.9%
I Minoritv/Ethnic PODulation 96.6% 64.3% 69.7%
CAHSEE % Dassed 51.0% 69.0% 61.0%
SAT % tested 32.0% 42.0% 37.0%
SAT total average score ],320 ],592 1,506
Source: California State Department of Education (2005/06 school year)
In addition to the academic, social, language, poverty and growth factors facing Santa Ana students,
approximately 40% percent are immigrants. Many of these families are newly legalized or
undocumented residents who must depend on seasonal, migrant work or entry level jobs for family
sustenance. It is not uncommon for students to drop out of school to help support their family. While
immigrant parents are generally supportive ofthe schools, they do not have a history of active
involvement in their children's education. Clearly, Santa Ana youth face many challenges as they
prepare for high tech, high-wage jobs of the 21st century. They are similarly disadvantaged in their
level of sophistication about the world of work. They may be the first in their family to finish high
school. They frequently have no adult friends or family members who work in high tech or high wage
jobs. Their isolation is sometimes difficult for others to comprehend. On a recent field trip, for
example. several students saw the Pacific Ocean for the first time and each year, there are graduating
seniors who are apprehensive about attending an awards banquet because they have never eaten at a
"fancy" restaurant.
With the current statewide testing programs, the progress of Santa Ana Unified's students is public
knowledge. Obviously when compared to many other Orange County school districts, Santa Ana
students do not perform as well on the English language academic exams that are the basis for the
statewide performance system. However, when compared to other California districts serving similar
FISCAL CAPACITY
Subcontracting
The Santa Ana Unified School District (SAUSD) is the responsible fiscal agency for this project. All
funds granted from the Santa Ana Workforce Investment BoardlY outh Council will flow directly to
the school district. The District must follow the stringent accounting requirements of the California
State Department of Education for local public schools. There will be no subcontracting with this
program. The cost estimates used in the preparation of these budgets are based on the District's
experience with similar programs over the past decade. As indicated above, the SAUSD's Career
Development/ROP office has had a great deal of experience working with similar programs in WIA,
JTP A and CET A programs. This has provided the knowledge to adequately staff the proposed
program. Salaries for project staff are based on the negotiated salaries for the District's two bargaining
groups; Certificated (teachers) and Classified (all others). Specific experience with previous WIA and
JTP A programs has demonstrated that the Secondary Enrichment Programs staff from the Career
Development/ROP office can manage a program within its allotted budgetary constraints. The budget
and staffing information for this program outlined in the following budget narrative section is based on
a twelve-month implementation plan. All documentation will be based on monthly District printouts,
as these are the official public school document used to capture and report fiscal data.
As evidenced by the entries on Attachment C Budget Planning Form, over 95% of the requested funds
will go towards providing direct program services to participants. As with prior JTPA programs, 5%
or less of the amount expended will be charged for indirect costs, administrative costs and overhead.
Recent changes in procedures and staff within the District now dictate that the standard Indirect Cost
rate calculated by the California Sate Department of Education for federal and state categorical
programs must be budgeted. The rate is currently estimated to be 4% of all expenditures except those
for capitol improvements. As Santa Ana Unified is a current recipient of WIA funding, fiscal and/or
audit reports have not been included as these items have been reviewed already this year by W/O/RIK
Center staff. There will be no changes until a new audit report is available next fall; at that time, the
report will be ready for review by City staff.
Many of the services that will be available to Success Bound! participants will be leveraged (or
matched) by other ongoing categorical programs such as Cal-WORKS, Carl Perkins Vocational
Education Act and ROP. These programs operate at the ROP Ritchey Center and each high school's
College/Career Center. These services are either college or career oriented; other categorical
programs within the District focus on the academic needs of participants. These include Title I which
funds most of the after and before school tutorial programs at the high school level and EDY/SB90 (a
state funded program for at-risk youth) that funds bilingual instructional assistants for those ELL
(English Language Learners) identified participants. One of the tasks of the program staff will be to
ensure that participants have full access to and use of these services. Of course, for any Success
Bound! participant who is identified as a special needs student, the complete services of the District's
Special Education Department will be leveraged for not only the identified student, but also hislher
family.
Exhibi t B
PROVIDER WORK PLAN 2007-2008
Your Population
In-School
Out-of-School
Performance Measurements
OLDER YOUTH
N/A
N/A
N/A
N/A
List below the objectives of your project, the activities to accomplish those objectives, the organization responsible for the activity, and the start and
completion date. Submit a separate plan if serving both In-School and Out-of-School youth. Use as many pages as necessary.
RESPONSffiLE START END
OBJECTIVES ACTIVITIES ORGANIZATION DATE DATE
Provide information about Success 1.0 Recruit participants: SAUSD 7/2107 10112/07
Bound! to High School 11 <h (12'h 1.1 Contact interested students from Spring '07 survey
graders beginning infall '07) and summer lists.
graders. 1.2 Distribute recruitment letter to eligible ROP
students.
1.3 Distribute recruitment letter to selected career
pathway students.
1.4 Referrals from previous participants
Confirm eligibility of Success Bound! 2.0 Students to complete all application and City of Santa Ana 7/30/07 10/31/07
participants. documentation formslrequirements. Student W /O/R1K Center Service
information will determine eligibility in accordance Navigation Team &
with WIA standards. SAUSD
2.1 Meet with counselors, principals, outreach Same as above 7/30107 10/31/07
specialists, teachers and nurses to determine
eligibility and needs.
2.2 Screen applicants following WIA guidelines for Same as above 7/30/07 10131/07
eligibility and initiate assessment activities
PROVIDER WORK PLAN 2007-2008
List below the objectives of your project, the activities to accomplish those objectives. the organization responsible for the activity, and the start
and completion date. Submit a separate plan if serving both In-School and Out-of-School youth. Use as many pages as necessary.
RESPONSmLE START END
OBJECTIVES ACTIVITIES ORGANIZATION DATE DATE
3. Conduct assessment activities and 3.0 Utilize computer programs to log and record SAUSD 811107 Through
establish individual case files (lSS) assessment data and the activities of each Success 6130108
for each enrolled Success Bound! Bound' Enrollee (both internal and the W IOIRIK
student to document successful Center's Virtual One Stop [VOS] program).
completion of objectives. 3.1 Monitor the progress of enrollees to guarantee SAUSD 914107 Through
maximum participation rates for students in 6!30108
Success Bound!
3.2 Conduct required quarterly follow-up activities for SAUSD 7!2107 Through
previous Success Bound! Participants from the 6130108
2007108 & 2006107 program years.
4. Provide access to career-oriented, 4.0 Facilitate tutoring activities beforelafter school and SAUSD 914107 616108
individualized tutorial (Basic Skills summer (if available) by offering "inducement pay".
Remediation) programs for Success 4.1 Monitor student grades and attendance via site SAUSD 9/17107 6/20108
Bound' participants with basic skills visits and SchoolMax.
goals. 4.2 Implement necessary support services between SAUSD 9117107 6120108
project staff, instructional staff, students, SA USD
mentors and families utilizing an informal team
approach coordinated by Success Bound! staff.
5. Provide an adult mentor program for 5.0 Plan, implement and evaluate monthly "Mentor Nights" at CBOC & SAUSD 8/22/07 5/21/08
selected participants during the high school campus, college campus or local husiness to
2007108 school year in cooperation focus on job/career guidance for 2007108.
with the Career Beginnings of
Orange County (CBOC).
PROVIDER WORK PLAN 2007-2008
List below the objectives of your project, the activities to accomplish those objectives, the organization responsible for the activity, and the start and
completion date. Submit a separate plan if serving both In-School and Out-of-School youth. Use as many pages as necessary.
RESPONSIBLE START END
OBJECTIVES ACTIVITIES ORGANIZATION DATE DATE
6. Conduct academic, career and 6.0 Provide small group and/or personal weekly guidance, SAUSD 9/10/07 6/6/08
personal counseling (including leadership leadership and career assessment activities at
development) for each Success Bound! individual high schools. Include samples of work and
participant in response to data obtained basic skills activities. resumesl etc., related to future
from the assessment activities. career goals in participants' ISS file.
6. I Facilitate the enrollment of each Success Bound/ SAUSD 9/10/07 6/6/08
participant into a higher education program
following histher high school graduation
6.2 Provide guidance and access to each participant SAUSD 9/10/07 5/21/08
and histher family regarding scholarships and
other forms of higher education assistance.
6.3 Encourage and support each participant to seek a SAUSD & CBOC 1/3/08 4/1 8/08
Career Beginnings of Orange County scholarship
in Spring, 2008.
7. Provide basic career and job 7.0 Work on job interview skills, job search and SAUSD 9/4/07 6/6/08
acquisition skills competency training application procedures (SCANS or "soft" skills) that
relate to the Success Bound! participants' areas of
interest and aptitude (as based on assessments
conducted at the ROP and/or their bigh school career
center). 9/10107 6/6/08
7.1 Encourage enrollment in ROP training courses or SAUSD
work experience classes for the 2007/08 school
year.
PROVIDER WORK PLAN 2007-2008
List below the objecti\'es of your project, the activities to accomplish those objectives, the organization responsible for the activity, and the start and
completion date. Submit a separate plan if serving both In-School and Out-of-School youth. Use as many pages as necessary.
RESPONSIBLE START END
OBJECTIVES ACTIVITIES ORGANIZATION DATE DATE
8. Provide both paid and non-paid 8.0 Implement the Success Bound! internship program SAUSD 9/4/07 Through
career exploration and/or internship with each applicable participant working in a paid 6/30/08
experiences for each Success Bound! position for approximately 200 hours during the
participant. 2007108 school year.
8.1 Develop and implement an evaluation component SAUSD 81li07 6/30/08
tied to the ISSNOS that will produce participant
input regarding their pre & post thoughts and
attitudes about their internship position
9. To provide a viable support 9.0 During the weekly meetings at high school sites for SAUSD 9/10/07 6/6/08
system to assist Success Bound! Success Boundl Students:
participants towards high school 9.1 Utilize a paid (minimum walle) tutoring program SAUSD 9/10107 6/13/08
graduation and in their transaction as a reinforcer for continuing their educational
between high school and post secondary goals.
education. 9.2 Monitoring attendance and grades. SAUSD 9/1 0/07 6/13/08
9.3 Continue to provide access to information about SAUSD 9110/07 6/13/08
all postsecondary educational choices. 9/10/07 6/13108
9.4 Provide Success Bound! students with pertinent SAUSD
information about alternative schools when
necessary to ensure high school graduation and
facilitate their enrollment if needed.
9.5 Facilitate the access to supportive services for any SAUSD 9/1 0/07 6/27/08
Success Bound! Participants in need of
transportation assistance, work clothing, medical
a"lsistance, etc., as needed.
PROVIDER WORK PLAN 2007-2008
List below the objectives of your project, the activities to accomplish those objectives, the organization responsible for the activity, and the start and
completion date. Suhmit a separate plan if serving both In-School and Out-of-School youth. Use as many pages as necessary.
RESPONSIBLE START END
OBJECTIVES ACTIVITIES ORGANIZATION DATE DATE
10. To provide job placement for 10,0 Success Bound! staff will assist students in preparation SAUSD \/3108 Through
Success Bound.! participants. for job searches and will work with student to place 6130/08
student in unsubsidized employment.
]], Plan and implement a viable 11.0 Success Bound! staff wilt work with collaborating SAlJSD 7/2/07 Through
program of 12+ months offollow-up agencies, the W/O/RJK Center and others to provide 6/30/08
services for all Success Bound! regular follow-up services to participants based on
participants (including prior year their needs as presented in monthly phone contacts
participants). beginning in the summer of2007 after the first group
of participants have graduated from high school. This
aspect of the program will include activities to monitor
the continuous improvement requirement for WIA
programs during both the actual program period and
the 12-month follow-up period,
Exhibit C
COMPLAINT HANDLING
UNDER THE
WORKFORCE INVESTMENT ACT
SANTA ANA
WIA
Santa Ana Local Workforce Investment Area
July 1, 2001
Table of Contents
I. Information Regarding Complaints ......................................... ................ .............................. .....2
A. Nondiscrimination and Equal Opportunity Complaints ..........................................................2
1. Policy Statement ..". ............................................................ .............. ................ ..... ....... .....2
2. Civil RightS......................................................................................................................... 3
3. Nondiscrimination Laws 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 I nvestment 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 Riohts Act of 1964
Prohibits discrimination on the basis of race, color, national origin, or
religion.
The Aoe 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 Riohts 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 bv 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 Pav Act of 1963
Prohibits pay differential solely because of sex.
4
Emerqencv 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 LWIA.
A complaint is defined here as a written expression by a party alleging a violation of the
Act, regulations promulgated under the Act, recipient grants, subagreements, or other
specific agreements under the Act, including terms and conditions of employment of such
participants in employment training programs. All complaints, amendments and
withdrawals shall be in writing. These procedures are intended to resolve matters which
concern policies, procedures or action(s) arising in connection with WIA programs operated
by each LWIA grant recipient and subrecipient under the Act.
These procedures shall not be construed as affecting any other available legal remedy
outside of the WIA complaint process (i.e., disputes regarding terms and conditions of
employment of any employee who is not a participant), either separately or simultaneously,
that a person may wish to pursue in the resolution of a non-WIA complaint. Also, these
procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion
6
procedures do not restrict the 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 a, program funded by Santa Ana
LWIA. The Complaint Resolution Procedures contained herein (or the
alternative procedures which an employer may use) shall be available to
participants to resolve disputes regarding items and conditions of employment
of such participants in employment training programs. However. such
rocedures shall not be used to resolve dis utes re ardin terms and
conditions of em 10 ment of an em 10 ee who is not a artici ant 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 LWIA grant recipient's procedures are not in compliance with the
State's procedures.
III. Procedures for Handling Complaints at the LWIA Level
A. Receipt of Complaints
Pursuant to the WIA regulations found at 20 CFR, Section 667.600, the LWIA
administrative entities have the responsibility to conduct hearings and resolve
complaints made by individuals about the administration of programs in the LWIA.
"LWIA level" encompasses LWIA administrative entity and employers to which the
administrative entity has delegated the complaint resolution process. The following
comprise the guidelines for resolving issues arising in connection with WIA programs
operated by the Santa Ana LWIA including resolutions of complaints arising from
actions, such as audit disallowances or the imposition of sanctions taken by the
Governor with respect to audit findings, investigations or monitoring reportS.
1. Form and Filing of Complaint
Official filing date of the complaint is the date the written complaint is received.
The filing of the complaint with the Santa Ana LWIA Equal Employment
Opportunity Officer shall be considered as a request for hearing and a
decision must be issued within 60 days. The complaint must be in writing and
must be signed and dated. The complaint should also contain the following
information:
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 LWIA Equal
Employment Opportunities (EEO) Officer who can answer inquiries.
B. Conduct of Hearing
The hearing shall be conducted in an informal manner with strict rules of evidence
not applicable. Unnecessary technicalities should be avoided. It should provide the
flexibility to enable adjustment to the circumstances presented.
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 LWIA 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 L WIA
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 WI D Office. The request
for review should contain the following informa~ion:
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 thall 180
days af alleged
discrimination
Handling of complaints filed at L WIA level arising in
connection with WIA programs operated by LWIAs
.
.
.
.
Informal Resolution Process
.
.
.
.
Filing of Complaint / Request for Hearing
Notice of Hearing issued by L WIA
""
c
o
~
to
0,
c
o
~
to
Hearing Conducted
L \VIA Decision within 60 days
.
.
.
.
Unsatisfactory Decision or L WIA Decision not
issued within 60 days
Within 10 days af
receipt of
unsatisfactary
decision ar 10 days
fram date L WIA
decision should have
been issued
.
.
.
.
Request for State Review I
Governor's Decision issued by State Review
Panel
""
'='
o
"
'"
"
.
.
.
.
If no decision issued bv 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 LWIA.
2. The Complainant must file his/her appeal as a request for review directly with
the Chief WID within ten (10) calendar days after the receipt of the Santa Ana
LWIA's decision.
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 af
LWIA/State
Decisian ar 90
days from date af
initial filing of
complaints
Filing of complaint on the basis
Of Handicap with L WIA
Informal Resolution
.
.
.
.
If no resolution reached
.
.
.
.
Request for Hearing
Notice of Hearing
Hearing Conducted
L VilA Decision
.
.
.
.
UnsatisfactorY Decision or No Decision
.
.
.
.
State Review
Governor's Decision
Appeal to Assistant Secretary
Department of Labor
Day 1
Day/45 Day
60 Days
GLOSSARY OF WIA TERMS
AGE DISCRIMINATION ACT - A law passed by Congress in 1975 which prohibits discrimination
on the basis of age by any program or activity receiving Federal funds.
APPLICANT _ An individual who applies to a subrecipient or contract for services provided under
WIA and who has no yet transitioned to the status of participant.
ASSESSMENT _ Services designed to determine each participant's employability, aptitudes,
abilities and interests and to 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
Exhibit D
CERTIFICA TIObLRE~ARDI NG~BB_YING
CERTIFICATION FOR CONTRACTS, GRANTS, LOANS
and COOPERATIVE AGREEMENTS
Tne u~dersigned certifies, to the best of his or her knowledge and belief, that:
11 I~o 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 nther 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 IVlember 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 submi: 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
Program Title
~~
N f C' 'f . Off' ' 1 S'
ame 0 ertl Ylng ICla Ignature
~o /z 2- /07
/ f
Certification Rel!ardinl!
Debarment Sus ension Ineli ibili and Voluntar 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-]921]).
(Before completing certification, read instructions which are an integral part of certification)
I, The prospective primary participant, (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 ofthe offenses enumerated in paragraph
(I )(b) of this certification; and
d. Have not within a three-year 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.
Santa Ana Unified School District
Grantee/Contractor Organization
~~~--
Name and Title of licial Authorized to Certify
On Behalf of the Grantee
Aoril 25. 2007
Date
INSTRUCTION FOR CERTIFICATION
1. By signing and submitting this proposal, the prospective recipient of Federal assistance
funds is providing the certification as set out below.
2. The certification in this clause is a material representation offact upon which reliance was
placed when this transaction was entered into. If it is later determined that the prospective
recipient of Federal assistance funds knowingly rendered an erroneous certification, in
addition to other remedies available to the Federal Government, the Department of Labor
(DOL) may pursue available remedies, including suspension and/or debarment.
3. The prospective recipient of Federal assistance funds shall provide immediate written
notice to the person to which this proposal is submitted if at any time the prospective
recipient of Federal assistance funds learns that its certification was erroneous whom
submitted or has become erroneous by reason of changed circumstances.
4. The terms "covered transaction", "debarment", "suspended", "ineligible", "lower tier
covered transaction", "participant", "person", "primary covered transaction", "principle",
"proposal", and "voluntarily excluded", as used in this cause, have the meanings set out in
the Definitions and Coverage sections of rules implementing Executive Order 12549.
You may contact the person to which this proposal is submitted for assistance in obtaining
a copy ofthose regulations.
5. The prospective recipient of Federal assistance funds agrees by submitting this proposal
that, should the proposed covered transaction be entered into, it shall not knowingly enter
into any lower tier covered transaction with a person who is debarred, suspended, declared
ineligible, or voluntarily excluded from participation in this covered transaction, unless
authorized by the DOL.
6. The prospective recipient of Federal assistance funds agrees by submitting this proposal,
that it will include the clause title "Certification Regarding Debarment, Suspension,
Ineligible, or voluntarily excluded from the covered transaction unless it knows that the
certification is erroneous.
7. Nothing contained in the foregoing shall be construed to require establishment of a system
of records in order to render in good faith the certification required to exceed that which is
normally possessed by a prudent person in the ordinary course of business dealings.
8. Except for transactions authorized under paragraph 5 of these instructions, if a participant
in a covered transaction knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntary excluded from participation in
this transaction, in addition to other remedies available to the Federal Government, the
DOL may pursue available remedies, including suspension and/or debarment.
Exhibit E
Certification ReQardinQ DruQ-Free Workplace Reauirements
The certification set out below is a material representation upon which reliance is
placed by the U.S. Department of Housing and Urban Development in awarding the
grant. If it is later determined that the contractor knowingly rendered a false
certification, or otherwise violates the requirements of the Drug-Free Workplace
Act, the U.S. Department of Housing and Urban Development, in addition to any
other remedies available to the Federal Government, may take action authorized
under the Drug-Free Workplace Act.
CERTIFICATION
A. The contractor certifies that it will provide a drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession or use of a
controlled substance is prohibited in the contractor's workplace and
specifying the actions that will be taken against employees for
violation of such prohibition;
(b) Establishing a drug-free awareness program to inform employees
about -
(1) 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), (b), (c), (d), (e)
and (f).
B. The contractor shall insert in the space provided on the attached "Place of
Performance" form the site(s) for the performance of work to be carried out
with the grant funds (including street address, city, county, state, and zip
code) .the contractor further certifies that, if it is subsequently determined
that additional sites will be used for the performance of work under the
contract, it shall notify the U.S. Department of Housing and Urban
Development immediately upon the decision to use such additional sites by
submitting a revised "Place of Performance" form.
Dated:
Iv AZ- )r
I /
~~~~~
Program Operator
DIVISION OF EMPLOYMENT SERVICES
PLACE OF PERFORMANCE
FOR CERTIFICATION REGARDING DRUG-FREE
WORKPLACE REQUIREMENTS
Name:
Name of Contractor:
Contractor Number:
~~~~
Santa Ana Unified School District
Date:
10/22/07
The Contractor shall insert in the space provided below the site(s) expected to be used
for the performance of work under the contract covered by the certification:
Place of Performance (include street address, city, county, state, zip code for each site):
Street Address
1815 S. Ritchev St
1401 S. Grand Ave
2802 S. Flower
520 W. Walnut St.
1801 S. Greenville St.
2128 S. Cypress St.
2301 W. McArthur Blvd.
City
Santa Ana. CA 92705
Santa Ana. CA 92705
Santa Ana. CA 92707
Santa Ana. CA 92701
Santa Ana. CA 92704
Santa Ana. CA 92707
Santa Ana. CA 92704
Phone Number
(714) 566-8400
(714) 568-7050
(714) 513-2943
(714) 567-4921
(714) 241-6417
(714) 430-5707
(714) 241-5021
Exhibit F
All costs related to tbe program activities described in tbe proposal must be included on tbc Budget Form. A
budget narrative must be attached on a separate sheet of paper for all line items marked with an * asterisk.
BUDGET FOR..lVl
MatchfIn
Administrative Program Total 'VIA Kind
Personnel .. . ,. .. ','
Salaries'
I. Community Resource Specialist
I includes $10,000 in overtime) $ 80,750.00 $ 80,750.00
2. Hourly Administrative Sub 1,500.00 1,500.00
Benefits'
I. Community Resource Specialist 27,260.00 27,260.00
2. Administrative Sub 40.00 40.00
Total Personnel $ 109,550.00 $ 109,550.00
Operating E;tpen~es .' 'i'> c.co >>C"">'. " ........ ~::
Rent or user fee' tI
Utilities tI
Phones tI
Internet fees tI
Parking fees tI
Security tI
Maintenance tI
Insurance tI
Equipment rental fees'
Vehicle lease'
Office expenses tI
(consumables)
Accounting Services tI
Legal services
Auditing services tI
Indirect costs' $ 5,820.00 $ 5,820.00
Staff training tI
Staff travel/mileage 1.250.00 1,250.00
Participant Wages* 33,300.00 33,300.00
Support services'
Profit (for profits only)
Other (list)* 2,500.00 2,500.00
Total One rating Exnenses $ 41,620.00 $ 41,620.00
GRAND TOTAL .
(Total Personnel + Total
Operating Expenses) $ 151,170.00 $ 151,170.00
*See Budget Form Instructions
Note: Audit Requirements
States, local governments and non-profit institutions who receive $500,000 or more in federal funds in a fiscal
year shall meet tbe audit requirements oftbc OMB Circular A-I33. "Audits of States, and Local Governments
and Non-Profit Instirutions."
SUCCESS BOUND!
2007/08 In-School Youth Program
(711/07 - 6/30108)
Budget Narrative
Lead Agency:
Collaborating Agency'
Santa Ana Unified School District
Career Beginnings of Orange County'
Admin.
SUTJ. Ser. Dir. Ser.
Total
1. SALARIES
Certified salaries
Program Operations (WIA hly Prgm. Spec;
33 hrs @ $45/hr)
0........... $1.500..... $ 1,500
Classified salaries
Program Operations (1.0 FTE; WlA Comm. Res. Spec.) 0
Overtime/Extra Duty (hi)' W1A Comm. Res. Spec. I
Student Paid Internships (3.870 hours @ Qvg. $7.75/hr)
70,750........ 70,750
o ............ 10,000....... 10.000
30.000 30.000
$112,250
n. BENEFIT COSTS
Fringe Benefits and MedicalIDentaJ
Fulltime Comm. Res. Spec. = 22.00% of salary + $10,500 for health
Hourly Student Worker = 11.00% of salary
Hourly Admin. Sub = 2.00% of salary
$ 30.600
Ill. OTHER OPERATING EXPENSES
State Approved Federal1ndirect Cost Rate for SAUSD (4%)
0............. 5.820 ..........5.820
.Note: Many of the WIA participants will participate in an adult mentoring program operated by Career
Beginnings of Orange County however, this collaborating non-profit organization will not receive
any funding from the WIA supported Success Bound' program.
Exhi bit G
Assurances & Certifications
Selected providers will be required to sign and subm it "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.
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.
,.Jlt712<:J We are not currently on any Federal, State of Cali fomi a, or local Debarment list.
'~12<:J We will provide records to show that we are fiscally solvent, if needed.
.' I2<:J 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.
I1JtO I2<:J We have additional funding sources and will not be dependent on WIA funds alone.
.' r We do or will meet lhe applicable Federal, Stale, and local compliance requirements. These include, but are
4fJ!12<:J
not limited to:
1i'I2<:JRecords accurately reflect actual performance.
. ~ I2<:JMaintain record confidentiality, as required.
~' [81Reporting financial, participant, and performance data: ~s required.
~ [81Comply WIth State and Federal fiscal and program actlVlty audIts.
~[81Complying with Federa] and State non-discrimination provisions.
/ ~[81Meeting requirements of Section 504 of the Rehabilitation Act of 1973.
~).+[81Meeting requirements of the American's with Disabilities Act of ]990. (submit completed survey)
~[81Meeting all applicable labor law, including Child Labor Law standards.
~ [81Agree to provide a drug free workplace.
VA#[81Agree to insure the City of Santa Ana through General Liability Insurance and Automobile Liability 1ZI
/f"Coverage in the amount of$I,OOO,OOO.OO policy.
J;[81Agree to provide all participants with Grievance Procedures.
'[81Agree to insure proposer's employees through Workers Compensation insurance
(including part-time employees)
~procurement policies and procedures are in place and meet federal guidelines.
We will not:
~[81Place a youth in a position that will displace a current employee.
'/ ~[81Use WIA money to assist, promote, or deter union organizing.
~1ZIUse funds to employ or train of persons in sectarian activities.
!id#1ZIUse funds for youth in the construction, operation, or maintenance of any part of a facility to be used
if for sectarian instruction or religious worship.
~[81Use WIA funds for activities that would interfere with or replace regular academic requirements for
jr eligible youth who are not dropouts.
AMi[81use WIA funds to carry out programs funded under the School-to-Work Opportunities Act of 1994
/ f'v unless the program(s) are only for youth eligible to participate under WIA.
:ruse WIA money under this contract to purchase any equipment.
I hereby assure that a\l of the above a re true.
-.....----:::::'
;;.:.2-----:J>irector, Career Develo ment & ROP
Title
A ril 25, 2007
Date
\