HomeMy WebLinkAbout25N - STUDY CSUF
REQUEST FOR
COUNCIL ACTION
CITY COUNCil MEETING DATE:
CLERK OF COUNCil USE ONLY:
APRIL 7, 2008
TITLE:
APPROVED
o As Recommended
o As Amended
o Ordinance on 151 Reading
o Ordinance on 2nd Reading
o Implementing Resolution
o Set Public Hearing For
Ct
AGREEMENT WITH CALIFORNIA STATE
UNIVERSITY FULLERTON, SOCIAL
SCIENCE RESEARCH CENTER, TO
CONDUCT RETURN ON INVESTMENT,
PHASE III STUDY
alJJi2~
CI MANAGER
CONTINUED TO
FILE NUMBER
RECOMMENDED ACTION
Authorize the City Manager and Clerk of the Council to execute the
attached agreement with California State University Fullerton, Social
Science Research Center, to conduct the Return on Investment, Phase III
Study for an amount of $20,000 for a term period of January 2008 to June
30, 2009.
WORKFORCE INVESTMENT BOARD ACTION
Accepted the proposal from California State University, Fullerton
Social Science Research Center to conduct the Return on Investment,
Phase III Study for an amount not to exceed $20,000 and recommended the
City Manager execute the agreement.
By a vote of 22:0 (Beasley,
Fischer, Jimenez-Hami, Lewis,
Meeting of September 14, 2007.
Campanelli, Claudio, de Leon,
Metzler, Novelo, Ward absent)
Didion,
at its
DISCUSSION
At its January 12, 2007, meeting, the Workforce Investment Board (WIB)
authorized the Oversight and Data Committee to develop and release a
Request for Proposals (RFP) to conduct quarterly surveys of a select
group of clients who have utilized the Santa Ana WORK Center's services
in order to measure the value of those services. This will be a Phase
III Return on Investment (ROI) study and a follow-up to the first and
second ROI studies. The first study evaluated the Workforce Investment
Act (WIA) funds spent on clients who had been enrolled and exited WIA
during Program Year 2002-03 and then a second study evaluated universal
access customers who used the Santa Ana WORK Center during Program Year
25N-1
Agreement - Return on Investment,
Phase III Study
April 7, 2008
Page 2
2003-04. The first
investment for Santa
investment. Both
www.santaanawib.com
study concluded that there was a 300% return on
Ana and the second study showed a 473% return on
studies are posted on the WIB's web site:
The Request for Proposal was developed and released on October 16, 2007.
A public notice was published in the Orange County Register on October
14 & 15, 2007. The RFP was emailed to eleven interested parties.
Proposals were due November 13, 2007, and one proposal was submitted by
California State University Fullerton (CSUF). The members of the
Oversight and Data Committee rated this proposal well above the required
70% threshold with an average score of 89.5 points (89.5%). The
Oversight and Data Committee recommended accepting the proposal from
CSUF, Social Science Research Center, at its regular meeting on December
7, 2007, and recommended funding for an amount not to exceed $20,000.
The contract was prepared by the City Attorney's Office.
FISCAL IMPACT
Funds are available in the Workforce Investment Act WIB Admin 07-08
account (account no. 123-190-6291).
r2~{ ~dk-/~
L~rancisco Gutierrez fJ
D Executive Director
Finance & Management Services Agency
ephen G. Hard'ng
i.~ Deputy City Manager for
))' Development Services
Community Development Agency
SGH/LS/FJ/mlr
040708 AgreeCSFRetOnlnvestment-III
25N-2
N-2008-027
Contract No.
AGREEMENT UNDER THE WORKFORCE INVESTMENT ACT
TO CONDUCT RETURN ON INVESTMENT STUDY PHASE III
THIS AGREEMENT, made and entered into this '7f/; day of January, 2008, 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 California State University
Fullerton Social Science Research Center through the CSU Fullerton Auxiliary Services Corporation, a
501(cX3) non-profit corporation ("CONTRACTORII).
W-I- T -N-:E-S-S':E- T-H
Recitals:
A. CITY has been designated a Local Workforce Investment Area (LWIA) under
the Workforce Investment Act of 1998, Public Law 105-220 ("the Act").
B. The State of California has created the L WIA to administer the Act programs
operated by the State of California pursuant to the Act.
C. As a L WIA, CITY is entitled to receive federal funds to establish programs and
to provide job training to those individuals who are economically disadvantaged or otherwise face
serious barriers in obtaining productive employment. The Santa Ana Workforce Investment Board
(WIB)/Oversight and Data Committee and the Local Workforce Investment Area (L WIA) desire to hire
an entity to conduct a Return on hivestment (RO!) Study for Program Year (PY) 07-08 on its Santa
Ana Workforce Investment System (the "Study").
D. CONTRACTOR is experienced in the special skill and knowledge needed to
conduct the Return on Investment (RO!) Study - Phase III of Local Workforce Investment System for
the Santa Ana Workforce Investment Board (WIB). CONTRACTOR shall perform a four-quarter
study to determine the ROI generated by this system for the universal access customers who used the
one-stop at least one time during PY 07-08 to look for employment and used one or more of the
various services available at the WORK Center for universal access customers.
E.
California law.
CONTRACTOR is willing to operate said Study pursuant to the Act and
WHEREFORE, for and in consideration of the respective and mutual covenants and
promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties
hereto do hereby agree as follows:
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Page I of 14
I.
CONTRACTOR'S OBLIGATIONS
A. CONTRACTOR agrees to provide and shall perform a Return on Investment
Study and services, as more specifically set forth in the Request for Proposals sent out by the City,
attached hereto and incorporated herein as '_" to this Agreement, as well as the services set
forth in Consultant's Proposal dated November 13, 2007, attached hereto and incorporated herein as
'_' to this Agreement. Services shall be performed in accordance with the exhibits and the
timelines and deadlines contained therein.
CONTRACTOR'S failure to provide said services may be grounds for CITY to readjust
the level of payment to CONTRACTOR otherwise provided for hereinafter.
p . . . . .
B. CONTRACTOR agrees to perform the services set forth herein in a professional,
timely and diligent manner.
C CONTRACTOR shall provide wages and benefits to CONTRACTOR employees
who participate in the activities and services funded by this Agreement ("Employees") in accordance
with the standards and requirements of the Act, including Section 181 of the Act.
D. CONTRACTOR shall adhere to the Labor Standards described in the Act
including Section 181 of the Act.
E. CONTRACTOR agrees to comply with the "Complaint Handling Procedures under
the WIA", attached hereto as _ and incorporated herein as though fully set forth in 20 CFR
S667.200, Subpart F. 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 is
similar to CITY's procedures for resolution of complaints relating to the terms and conditions of
employment.
F. As a condition of this award offmancial 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 Ri@1ts 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.
G. CONTRACTOR agrees to maintain such records and submit such reports, data and
information, on the form and containing such information, at such times as CITY may request or
require regarding the performance of CONTRACTOR'S services or activities, costs or other data,
including but not limited to, participants' attendance, payroll records and job duty statements.
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Page 2 of 14
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 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 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 arid 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 Study, as well as in the County of Orange, for the duration of this Agreement and
thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints,
claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b)
costs and expenses of this Agreement to which CITY, the State of California or the United States
Government take exception, shall be retained beyond the three (3) years until resolution of disposition
of such appeals, litigation, claims, or exceptions.
H. Without prejudice to any other section of this Agreement, CONTRACTOR
shall, where applicable, maintain the confidential nature of information provided to it concerning
participants in accordance with the requirements of federal and state law. Notwithstanding the
foregoing, CONTRACTOR agrees to submit to CITY, the State of California and/or the United States
Government or their representatives, all records requested for administrative purposes, including
audits, examinations, monitoring and verification of records submitted by CONTRACTOR, costs
incurred and services rendered hereunder.
1. CONTRACTOR agrees to complete and submit Invoices, in triplicate, with
three quarterly reports, and a [mal Invoice with the Final Report to be presented to the WID upon
completion of the Study. Each Invoice shall show in detail the amount of money owed by CITY to
CONTRACTOR. CONTRACTOR agrees to submit the above-stated documents to the WIB
Administrative Office, 888 W. Santa Ana Blvd. #208, P.O. Box 1988 (M-73), Santa Ana, California,
92702-1988.
J. 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 STUDY.
K. CONTRACTOR shall arrange independently for an audit that includes WIA
funds received from CITY, in accordance with the Act and 20 CFR Section 667.200. CONTRACTOR
shall submit one original of each required audit report to CITY within (30) days after the date received
25N-5
Page 3 of 14
by CONTRACTOR. Should CONTRACTOR fail to comply with these requirements, CITY may at its
option withhold payment of funds, or disallow funds or suspend additional grant funds.
L. CONTRACTOR shall comply with the provisions of Circular A-21, Cost
Principles for Educational Institutions of the U.S. Office of Management and Budget (OMB) and
Circular A-133, and Uniform Administrative requirements for Grants and Agreements with Institutions
of Higher Education, Hospitals and Other Non-profit Organizations (OMB Circular A-II 0).
O. CONTRACTOR shall comply with the requirements of federal regulations
found at 29 CFR 93 which provide that no appropriated funds may be expended by the recipient of a
federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting
to influence an officer or employee of any agency, member of Congress or an officer or employee of a
member of Congress in connection with awarding of any federal contract, the making of any federal
grant or loan, entering into any cooperative il.gieement and the extension, renewal, amendment or
modification of any federal contract, grant, loan or co.... agreement. CONTRACTOR shall sign
a certification to that effect in a form as set forth in ," 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.
P. CONTRACTOR agrees to provide a drug-free work place and to execute a
certification as set forth in "_" attached hereto and incorporated herein by this reference.
Q. CONTRACTOR, in accordance with the Child Support Compliance Act,
recognizes and acknowledges the importance of child and family support obligations and shall fully
comply with all state and federal laws relating to child and family support enforcement, including, but
not limited to: disclosure of information and compliance with earnings assignment orders, as provided
in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to
the best of its knowledge is fully complying with the earnings assignment orders of all employees and
is providing the names of all new employees to the New Employee Registry maintained by the
California Employment Development Department (EDD).
R. CONTRACTOR agrees to comply with all applicable provisions of the ACT and
the federal regulations, including but not limited to the regulations found at 20 CFR part 629.
S. 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.
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II.
CITY'S OBLIGATIONS
A. CITY agrees to pay to CONTRACTOR when, if and to the extent federal funds
are received under the provisions of the Act a sum not to exceed Twenty Thousand Dollars
($20,000.00) for CONTRACTOR'S performance in accordance with the payment schedule attached
hereto as _ (if applicable) during the term of this Agreement. Said sum shall be paid after
CITY receives invoices submitted by CONTRACTOR on a quarterly basis, as provided hereinabove.
B. CITY has the right to de-obligate the funds hereunder due to any of the following
reasons: (a) lack of performance by CONTRACTOR and (b) lack of fiscal accountability of
CON1RACTOR.
ill.
TIME PE:RIOD OF AGREEMENT
This Agreement shall commence on January 7, 2008, and all duties arising under this
Agreement shall have been performed by June 30, 2009. The term of this Agreement may be extended
by a writing executed by the Deputy City Manager for Development Services and the City Attorney.
IV.
INDEPENDENT CONTRACTOR
Consultant shall, during the entire term of this Agreement, be construed to be an
independent contractor and not an employee of the City. This Agreement is not intended nor shall it be
construed to create an employer-employee relationship, ajoint venture relationship, or to allow the City
to exercise discretion or control over the professional manner in which Consultant performs the
services which are the subject matter of this Agreement; however, the services to be provided by
Consultant shall be provided in a manner consistent with all applicable standards and regulations
governing such services. Consultant shall pay all salaries and wages, el11ployer's social security taxes,
unemployment insurance and similar taxes relating to employees and shall be responsible for all
applicable withholding taxes.
V.
WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS
A. CONTRACTOR shall use appropriate funds received from CITY to provide
workers' compensation to all those hired by CONTRACTOR under this Agreement.
B. CONTRACTOR shall have the right to hire, dismiss, or promote its employees
or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard
does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any
other applicable law, and CONTRACTOR maintains itself as an Equal Opportunity employer.
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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,
attached hereto as _ (if applicable) and incorporated herein, and general program
requirements described in Sections 106 and 141 of the Act (29 USC Sections 1516 and 1551) and
applicable regulations, and the U.S. Department of Labor guidelines and regulations, including
amendments or revisions made during the terms of this Agreement. Said applicable laws are hereby
incorporated by reference and made as part of this Agreement as though fully set forth herein.
B. CONTRACTOR also assures and certifies that:
1. . . CONTRACTOR shall comply with Title vn of the Civil Rights Act of
1964 (p.L. 83-354) and in accordance with Title VII of the Act, no person shall, on the grounds ofrace,
color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the
benefits of, or be otherwise subjected to discrimination under this Agreement.
2. CONTRACTOR shall comply with any and all federal laws limiting the
political activity of employees hired under this Agreement.
3. CONTRACTOR shall comply with the requirements that no program
under the Act shall involve political activities.
4. RECORD INSPECTION. CONTRACTOR shall provide the U.S.
Department of Labor and the Controller General, by and through any authorized representative, as well
as the WIB Administrative Office, access to and the right to examine all records, books, papers or
documents relating to the accounting and use of funds under this Agreement for a three-year period
from and after the effective date of this Agreement.
5. No person with responsibilities in the operation of any program under the
Act shall discriminate with respect to any program participant or any application for participation in
such program because of race, creed, color, national origin, sex, political affiliation or beliefs.
6. CONTRACTOR shall maintain appropriate standards for health and
safety in work and training situations.
7. CONTRACTOR shall comply with general provisions, assurances, and
certifications attached hereto as _ and incorporated herein.
8. EQUAL OPPORTUNITY. Any literature distributed by CONTRACTOR
for the purpose of apprising businesses, participants, or the general public of its programs under this
Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana
Workforce Investment Board, and shall state that the program is an "equal opportunity
employer/program" and that "auxiliary aids and services are available upon request to individuals with
disabilities. "
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9. CONTRACTOR certifies that all property, fmished or unfmished
documents, data, studies and reports prepared or purchased under this Agreement, will be disposed of
in accordance with the direction of the CITY. In addition, any tools and/or equipment furnished to the
CONTRACTOR by the CITY and/or purchased by the CONTRACTOR with funds pursuant to this
Agreement, will be limited to use within the activities outlined in this agreement and will remain the
property of the United States Government and/or CITY. Upon termination of this Agreement,
CONTRACTOR will immediately return such tools and/or equipment to the CITY or dispose of them
in accordance with the direction of the CITY.
10. CONTRACTOR certifies that this Agreement does not provide
for the advancement or aid to any religious sect, church or creed, or sectarian purpose nor does it help
to support or sustain any school, college, university, hospital or other institution controlled by any
religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the
Constitution of the State of California, regaidmg separation of church and state.
11. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The
CONTRACTOR will disclose to the CITY any invention, written product, computer program
developed or data assembled as a result of performance of work under this Agreement within seventy-
four (74) days of invention, development or assembly. The CITY, State of California, and U.S.
Department of Labor will have the right to patent any invention and copyright any \\ntten product or
computer program or data generated by CONTRACTOR. Upon written request, CONTRACTOR will
transfer all pertinent information, specifications and right, title and interest to the designated agency.
12. INVENTIONS, PATENTS AND COPYRIGHTS.
A. Reporting Procedure. If any project produces patentable items, patent rights, processes,
or inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the
CONTRACTOR shall report the fact promptly and fully to the CITY. The CITY shall report
the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY and the
DOL and its representative on these matters, the DOL shall determine whether to seek protection on
the invention or discovery. The DOL and its representative shall determine how the rights
in the invention or discovery, including rights under any patent issued thereon, will be allocated and
administered in order to protect the public interest consistent with the "Governmental Patent Policy"
(President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971,
and Statement of Government Patent Policy as printed in 36 FR 16889).
B. Copyright Policy.
1. Unless otherwise provided in the terms of the grant or agreement, when copyright-able
material is developed in the course of or under a DOL Grant or agreement, the author and the CITY
which developed the work is free to copyright material or to permit others to do so. The
CONTRACTOR and the wrB shall have a royalty-free, nonexclusive and irrevocable license to
reproduce, publish, use and to authorize others to use all copyrighted material.
2. The DOL reserves a royalty-free, nonexclusive, and irrevocable license to reproduce,
publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The
copyright in any work developed under any grant, sub-grant, or contract under a grant or subgrant; (b)
Any right of copyright to which a grantee, subgrantee or a CONTRACTOR purchases ownership with
grant support; and (c) CONTRACTOR shall comply with the requirements of29 CFR Part 97.34.
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C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data first
procured or delivered under this Agreement.
13, CLEAN AIR / CLEAN WATER ACT. If the grant hereunder exceeds
$100,000, CONTRACTOR must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)];
Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental
Protection Agency ("EP A") regulations (40 CFR Part 15) as any may now exist or be hereafter
amended, Under these laws and regulations, the CONTRACTOR assures that:
(a) No facility to be utilized in the performance of the proposed grant has been listed
on the EP A List of Violating Facilities;
(b) It will notify CITY prior to award of the receipt of any communication from the
Director, Office' of Federal Activities, U.S.-EP A, indicating that a facility to be
utilized for the grant is under consideration to be listed on the EP A List of
Violating Facilities;
( c) It will notify the CITY and the EP A about any known violation of the above laws
and regulations.
C. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT:
1. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in
order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This
Agreement will be administered in an impartial manner, free from errors to gain personal, fmancial
political gain. CONTRACTOR, its officers and employees, in administering this Agreement, will
avoid sitUations which give rise to a suggestion that any decision was influenced by prejudice, bias,
special interest or desire for personal gain.
2, Employment of Former State or CITY Employees. CONTRACTOR will ensure that any of
its employees who were formerly employed by the State of California or CITY, in a position that could
have enabled such individuals to impact policy regarding or implementation of programs covered by
this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this
Agreement for a period of not less than two years following the termination of such employment.
3, Conducting Business Involving Relatives. No relative by blood, adoption or marriage of
any executive or employee of CONTRACTOR will receive favorable treatment when considered for
enrollment in programs provided by, or employment with, CONTRACTOR.
4. Conducting Business Involving Close Personal Friends and Associates.
Executives and employees of CONTRACTOR will be particularly aware of the varying degrees of
influence that can be exerted by personal friends and associates and, in administering this Agreement,
will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is
being granted to friends and associates. When it is in the public interest for CONTRACTOR to
conduct business with a friend or associate of an executive or employee of CONTRACTOR, an elected
official in the area or a voting or non-voting member of the Workforce Investment Board (WID), a
permanent record of the transaction will be retained.
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5. Avoidance of Conflict of Economic Interest. No executive or employee of
CONTRACTOR elected official in the area, or voting or non-voting member of a WIB, will solicit or
accept money or any other consideration from a third person, for the performance of an act reimbursed
in whole or part by CONTRACTOR or CITY. Supplies, materials, equipment or services purchased
with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No
voting member of the WIB will cast a vote on the provision of services or vote on any matter which
would provide direct financial benefit to that member or any business or organization which the
member directly represents.
VII.
HOLD HARMLESS
A, CONTRACTOR shall indemnify and save harmless CITY, its officers, agents
and employees, from and against any and all damages to property or injuries to or death of any person
or persons, including' property and employees or agents of CITY, and shall defend, indemnify and save
harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or
proceedings of any kind or nature, including, but not by way of limitation, workers' compensation
claims, resulting from or arising out of the negligent acts, errors or omission of CONTRACTOR, its
employees or subcontractors.
B. CITY shall indemnify and save harmless CONTRACTOR, 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 CONTRACTOR, and shall defend,
indemnify and save harmless CONTRACTOR, 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 CITY, its employees or subcontractors.
VIII.
INSURANCE
1. Commercial General Liability. Due to the nature of the work and services being performed
off-site, CONTRACTOR need not provide proof of such insurance to the CITY.
2. Workers' Compensation, If CONTRACTOR is an "employer", as set forth in California
Labor Code Section 3300 et seq., or utilizes participants and/or individuals 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
such employees and provide CITY proof of said coverage.
IX.
CORPORATE STATUS
All corporate CONTRACTORS shall be in good standing, without suspension by the
California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in
corporate status or suspension shall be reported immediately to CITY.
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X.
ASSIGNABILITY
None of the duties of, or work to be performed by, CONTRACTOR under this Agreement
shall be subcontracted or assigned to any agency, consultant, or person without the prior written
consent of CITY. CONTRACTOR must submit all subcontracts and other agreements that relate to
this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of
CONTRACTOR pursuant to this Agreement.
XI.
LAWS GOVERNING THIS AGREEMENT
In its performance under this Agreement, CONTRACTOR shall fully comply with the
requirements of the following, whether or not otherwise referred to in "tIlls Agreement:
1. The Act and all applicable federal statutes, regulations, policies, procedures and directives,
including but not limited to, 20 C.F.R. Parts 652 and 660 through 671,
2. All applicable State statutes, regulations, policies, procedures and directives;
3. All applicable CITY policies, procedures and directives;
4. All applicable local ordinances and requirements, including use permits and licensing;
5. Court orders applicable to its operation; and,
6. The terms and conditions of this Agreement.
If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with
such or will notify CITY after enactment or modification that it cannot so comply. CITY may
thereupon terminate this Agreement at its sole discretion.
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.
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XlII.
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.
XlV.
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 re~eipt 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
[mal 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
25N-13
Page 11 of 14
such time as CONTRACTOR fulfills its obligations or remedies all violations of this agreement or
prior agreements; and/or (2) collect outstanding amounts as determined by CITY due CITY by
offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice
CONTRACTOR has failed to repay same or a repayment schedule has not been made; and/or (3)
terminate this Agreement by giving written notice to CONTRACTOR of such termination in
accordance the notice provision in Paragraph XVIII herein below.
XVIII.
NOTICES
All notices, reports and correspondence between the parties hereto respecting this
Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as
follows:
CITY:
City of Santa Ana . .
Manager, WIB Administrative Office
888 W. Santa Ana Blvd. #208
P.O. Box 1988, (M-73)
Santa Ana, CA 92702-1988
and,
CLERK:
Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
telefacsimile (714) 647-6956
CONTRACTOR:
Dr. Gregory Robinson
Social Science Research Center
California State University Fullerton
800 N. State College Blvd. MH 038C
Fullerton, CA 92831
Tel. 714-278-2600
Fax: 714-278-2549
And
Tanya Thompson, Acting Director
Office of Sponsored Programs
CSU Fullerton Auxiliary Services Corporation
2600 East Nutwood Ave., Ste 275
Fullerton, CA 92834-6850
Tel. 714-278-4113
Fax: 714-278-1256
25N-14
Page 12 of 14
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 hereinbelow has the power,
authority and right to bind their respective parties to each of the terms of this Agreement, and shall
indeI1111iiY City fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY
in the event that such authority or power is not, in fact, held by the signatory or is withdrawn,
b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in
the body of this Agreement.
IN WTINESS WHEREOF, the parties hereto have executed this Agreement the date and year first
above- written.
ATTEST:
CITY OF SANTA ANA, a municipal
corporation of the State of California
"CITYII
By:
David N. Ream
City Manager
Patricia E. Healy
Clerk of the Council
APPROVED AS TO FORM:
Joseph W. Fletcher
City Attorney
"CONTRACTOR"
. - .CSUFlJLLERTON AUXILIARY SERVICES CORPORATION
BY:/:t~ f ~
Lisa E. Storck
Assistant City Attorney
By:td>A~
Name: William M. Dickerson
Title: Executive Director
Fed Tax ID #95-2081258
25N-15
Page 13 of14
RECOMMENDED FOR APPROVAL:
'11 tUy] ~H Wad:;;
Stephen G. ardmg
-{flneputy City Manager for
Development Services
25N-16
. Page 14 of 14
Exhibit A
Proposal Number: _
REQUEST FOR PROPOSALS
Release Date
October 16, 2007
. 8:00 A.M.
RETURN ON ThTVESTMENT (RO!) STUDY - PHASE III
OF LOCAL WORKFORCE INVESTMENT SYSTEM
FOR THE
SANTA ANA WORKFORCE INVESTMENT BOARD
888 W. Santa Ana Blvd. #208
P:O~Box-1-988-;-M~-3-
Santa Ana, CA 92702
Phone (714) 565-2621
Email address:fiutzi(a)ci.santa-ana.ca.us
25N-17
INTRODUCTION
The Santa Ana Workforce Investment Board (WIB)/Oversight and Data Committee and
the Local Workforce Investment Area (L WIA) are issuing tl1is Request for Proposals
(RFP) for an entity to conduct a Return on Investment (ROT) Study for Program Year
07-08 to study its Santa Ana Workforce Investment System. The WIB currently funds a
comprehensive One-Stop Center, known as the Santa Ana WORK Center, hereinafter
"One-Stop", located at 1000 E. Santa Ana Blvd., # 220, Santa Ana, CA 92701. The One-
Stop is funded primarily by funds from the Workforce Investment Act and Wagner-
Peyser Act.
The WID would like a four-part study conducted to determine the ROT generated by the
One-Stop's "universal access" customers who used the One-Stop at least one time during
each quarter of PY07 -08 to look for employment and used one or more of the various
services available at the One-Stop for universal access customers, The Will envisions the
study following the same customers for four quarters while adding new customers each
quarter. The One-Stop provides a variety of job search services from which these
customers may pick and choose as they please to fit their individual needs. This study
will look at the usage and success of those individual services. This study will be a
follow-up to the Phase II study, which looked at universal customers and determined a
ROI of 473%, The previous ROT studies can be viewed at \vww.santaanawib.com
A maxi,'num amount of up to $20,000 has been earmarked for this study. The ROT study
is to consist of: 1) four Quarterlv telephone surveys of a random selection of One-Stop
customers who have used the One-Stop's service during the previous quarter; 2) four
quarterlv progress reports to the Oversight and Data Committee; and 3) a [mal Report
wl1ich includes the results of the telephone surveys and a ROT analysis to the WIB, It is
anticipated that the Final ROT Report will be completed by December 31. 2008 and a
presentation to the Board will be scheduled for January 2009,
Quarterly participant data will be provided to the contractor for their random selection of
customers for the telephone survey portion of this study. In addition the One-Stop will
meet with the contractor to familiarize them with the services available at the One-Stop
which the customers are free to access during their visits in order for the contractor to
develop the survey tool. Additional meetings, interviews, etc. that may be deemed
necessary by the selected contractor will be arranged as needed,
2
25N-18
PROJECTED TIME LINES
Request for Proposal Issued
Proposals Due Date
Proposal Review Period
Oversight and Data committee Review and Recommendation
Proposal Approval Date by Vlrn
10/16/07
11/13/07
11/14/07 - 11/30/07
12/07/07
1/11/07
Proposal submittal and format: All proposals must be submitted by mail to the address
below and mav be submitted bye-mail. If a proposer chooses not to submit a proposal via
e-mail, then the proposer must submit 5 copies of the proposal (mail or hand delivered)
with one orif!inal signature no later than November 13.2007, at 5:00 pm,
If a proposer opts to submit a proposal bv e-mail. then only one original signed hard coPY
of the proposal is required to be mailed to the address below.' Proposals submitted vIa e-
mail must be e-mailed to Fran Jutzi at fi utzi (a>.ci ,santa-ana. ca.us by the due date.
Proposals sent via e-mail must be in Microsoft Word format, spread sheets on Excel and
all attachments or other documents must be downloadable with no special software
needed, The complete proposal must be accessible via e-mail. Proposals submitted by
e-mail must be VIRUS-FREE. Proposals that cannot be opened because of a VIRUS
will be determined NON-RESPONSIVE AND NOT CONSIDERED FOR THIS
PROCURMENT. If a submitted proposal has a virus and time permits, the proposer
will be notified. If time permits, the proposer may deliver the required hard copies of the
proposal by mail or hand as long as the proposal is received by the required deadline.
An orif!inal signed hard cop" of each proposal submitted via email must also be
mailed to:
Santa Ana Workforce Investment Board,
ROI Study Proposal Attn: Fran Jutzi
888 \V. Santa Ana Blvd., #208 (hand delivered) or
P.O. Box 1988 - M73 (for mail),
Santa Ana, CA 92702-1988
Proposals will not be accepted after 5 pm on the due date (11/13/07).
If a proposal has been sent via em ail and accepted, the signed hard copy is due
within 5 working days (11-19-07).
Any questions regarding this Request for Proposal (RFP) may be directed to Fran Jutzi at
(714) 565-2621. The WIB will not be responsible for proposals lost or delayed for any
reason.
3
25N-19
STATEMENT OF \VORK
In order for the ROI study to be meaningful, it needs to carefully study the relevant data
and present objective results in a reader friendly fonnat. The resulting document will be
utilized by the WIB members and staff to communicate the effectiveness of the
workforce investment system in Santa Ana to elected officials both locally and in
Washington DC and to the general public, The ROI study will become a marketing tool
designed to evaluate the cost effectiveness of this system and provide an objective
evaluation of the services offered by the One-Stop,
TIns ROI study will need to review and analyze various typ€S of data gained by
surveying a sample of customers who have visited the One-Stop to look for either work
or training between the period of July 1, 2007 through June 30, 2008. Each customer
utilizes the One-Stop and its resources to varying degrees and with varying results and
comes away with impressions of those services, Some customers will utilize the One-
Stop's services several times before gaining employment while others may only visit
once with varying degrees of satisfaction. It is these complexities that the WID wants the
ROI study to focus on in Phase ill,
The One-Stop offers a multitude of services provided by different partners as mandated
by the Workforce Investment Act as well as each partner's own rules and regulations.
Some of the partners at the One-Stop include: the State Employment Development
Department, the Department of Rehabilitation, Orange County Social Services Agency,
Goodwill Industries of O,c., and Santa Ana College. Services provided at the One-Stop
include, but are notlimited to workshops, access to job orders via computer, postings on
the job order board, want ads, usage of computers for job search, resume preparation and
email access, and use of copy and fax machines. These services are provided to assist
universal access customers in obtaining employment with very little staff help needed. If
unfamiliar with the operations at the One-Stop, proposers may visit the WORK Center
for a tour of the universal access services. Contact Gus Chamorro at 714-565-2629 to
make arrangements.
The One-Stop has a database, which includes the names, addresses, and phone numbers
of all the customers who used the One-Stop during the study period. Customers without
phone numbers will be deleted from the study, Additionally, the One-Stop will attempt
to obtain base wage data for the sample selected that will provide the contractor with
wages that can be used to evaluate pre-employment and post-employment wages of the
selected customers during the study peliod. However the contractor should make every
attempt to obtain said wage information directly from the customers.
4
25N-20
Return on Investment Study Final Product:
1) Typed quarterly reports for distribution to the Oversight and Data Committee.
2) A typed "final print ready" ROI study report with all appropriate graphs, charts
and narrative, etc, needs to be submitted within 45 days of the end of the one-year
study period. Note: If the proposal budget allows for it, 50 copies of the final
report, bound and ready for distribution, would be needed. If not, the VlIB will
produce the necessary copies once it receives the final ROI report.
3) All reports need to be submitted via e-mail as well.
DEADLINES AND PROPOSAL REQUIREMENTS
Timelines:
· The study)s to. be completed by December 31, 2008.
. The timeframe to be studied is July 1,2007 ilu"ough June 30, 2008 (4 quarters- 7-
1-07 to 9-30-07,10-01-07 to 12-31-07,1-1-08 to 3-31-08, and 4-1-08 to 6-30-08).
It is expected that the proposer will need July 1,2008 to September 30, 2008 to
conduct telephone surveys of the customers selected from the previous and final
quarter and will use the remaining time to develop the data analysis and prepare
the ROI report.
· A presentation of the fmal resuIts, to the Santa Ana Workforce Investment Board
at their January 2009 meeting, will be required,
Incurred costs for Proposal: Neither the Santa Ana Will nor the Oversight and Data
Committee are responsible for any costs incurred in the preparation of this proposal.
Note: No equipment. furniture or software is to be purchased under this proposal unless
approved by the WIB. Such items will be owned by the WIB and must be turned over to
the WIB at the end of the study.
REQUIRED PROPOSAL INFORMATION
Proposals will be evaluated based on the completeness and responsiveness to all required
components of this Request for Proposal (RFP) as listed below.
THE COVER SHEET
Must include:
. Legal nan1e of organization, street address, mailing address if different, telephone
number, fax number, federal tax identification number, state of incorporation, if
applicable, and number of years in business.
5
25N-21
. Name of person(s), address and telephone and fax numbers of the local office or
facility conducting the ROT Study.
. The total amount of funds requested and the total number of hours estimated to
provide the required services. Include a list of any extra charges,
. A signed and dated statement affirming that this proposal is good for 120 days, that
the organization has the knowledge and skills required to provide the required
services as outlined in the Request for Proposal (RFP) , that the signer is duly
authorized to sign and submit this proposal on behalf of the organization. If this
proposal is selected, the signor must be able to enter into a contract with the Santa
Ana WIB and meet additional contract requirements with regards to compliance with
WIA regulations, as applicable, including patent rights, copyrights and rights to data,
access to records and al.!di~ requirements, certifications of a drug free work place,
debarment, lobbying, and liability insurance coverage, .
BACKGROUND INFORMATION
(Past/Comparable Performance)
Must Include:
. Summary of the organization's relevant experience and knowledge with regards to
conducting Return on Investment (RO!) or related studies, experience conducting
telephone surveys, general knowledge of the One-Stop center operations and its
purpose and the Workforce Investment Act.
. An attachment listing recent ROT or similar studies conducted by the organization.
Include type of studies conducted, amount of contract, contract period, contact names,
titles, addresses, phone numbers and email addresses, if available, of these entities.
Letters of reference may be attached here as well. References may be contacted for
the purpose of verifying past performance,
. Relevant. information on proposer's organization including years in business,
summary of past relevant experience, years in the field and areas of expertise as
applicable.
PROPOSAL DESIGN AND QUALITY
Must Include:
. A clearly defined plan to provide the services listed in the Statement Of Work.
. fu1 outline of steps the organization will take to conduct the ROI study and who will
be involved at each step along with a time line, Provide as much detail as needed to
6
25N-22
clearly describe activities to be conducted during the study. Provide a description of
the call center and how it operates.
. Clearly identify any assistance and or documentation that would be needed from WIB
or One-Stop staff.
COST REASONABLENESS
Must include:
. A schedule indicating all costs to be charged to this project. Costs are to be broken
down based upon the various components of the project or it can be based on cost per
hour however all expenses must. be included in the proposal.
. The proposal will be considered a "firm offer" of services with prices guaranteed for
no less than 120 days.
EV ALUATION CRITERIA
The Oversight and Data Committee (a sub-committee of the Santa Ana Workforce
Investment Board) or other WIB members will review all proposals received by the
deadline and which are determined to have met the minimal requirements as set forth in
this Request for Proposal (RFP), Incomplete proposals, e-mail submittals with a detected
virus and proposals submitted after the deadline will be judged to be non-responsive and
will not be considered.
Background Information (past/Comparable Performance) - 40 points
Past experience, knowledge and effectiveness of the proposer/organization in
providing the same or similar services as outlined in the Request for Proposal
(RFP) will be evaluated to determine demonstrated performance and
qualifications.
Proposal Design and Quality - 40 points
Overall design and scope of ROI study planned, ability to meet the required
timelines, required steps needed to meet goals outlined in the Statement of Work,
understanding of the objectives, and clearly defined outcomes and final product
proposed.
Cost Reasonableness - 20 points
7
25N-23.
Proposal will be rated on cost effectiveness, costs which are judged reasonable,
necessary, allowable, and allocable under \VIA, and competitiveness of costs with
comparable proposals for similar services,
GENERAL INFORMATION
The WIB reserves the right to accept or reject any or all proposals received and to cancel
in part or in its entirety this Request for Proposal (RFP), if it is in the best interest of the
WIB to do so. This RFP does not commit the WIB or the Santa Ana City Council to
award a contract or to pay any costs incurred in the preparation of the proposal. A
proposer's acceptance of a copy of this RFP shall constitute knowledge and acceptance of
all conditions contained herein, All proposals become the property of the WIB. The
WIB incurs no ob.ligation to return or duplicate copies of the proposal for the .proposer.
Failed Competition - If, after following all the procurement procedures, only one proposal
is submitted - this is considered a failed competition. If two or more Request for Proposal
(RFP)'s were issued and only one proposal was returned and the WID determines that the
proposal is acceptable for funding, this is called a noncompetitive proposal (sole source).
The justification for funding a proposal that resulted from a "failed cornpetitionll under the
aforementioned circumstances would be "after solicitation of a number of sources,
competition was determined inadequate,lI
Appeal Process - If a proposer believes that any decision or denial of proposal was in
violation of any applicable statute or regulation, the proposer may make a good faith
complaint by submitting a letter delineating the complaint and referencing the actual
violation v.rithin lO working days of the date of notification of the funding decision. The
letter should be addressed to the Equal Opportunity Liaison (Lydia Morgan), Santa Ana
WORK Center, 1000 E. Santa Ana Blvd, #200, Santa Ana, CA 92701.
Contract Requirements - The organization/consultant selected for funding must enter into
a contract with the City of Santa Ana and be willing to comply with WIA rules and
regulations, as applicable and sign certifications regarding Drug-Free V/orkplace,
Debarment and Lobbying, as well as provide liability insurance with the City of Santa Ana
named as additional insurer for $1,000,000 (may be waived by city attorney). A boilerplate
contact is included as part of the RFP package for your reference along with additional
insured endorsement. See Exhibits "A" and "B".
ATTACHMENTS:
A boilerplate contract is attached for your infonnation along with the additional insuredtdocument the city requires when insurance is required of the proposer.
8
25N-24
ilFULd~RTON
November 13,2007
Exhibit B
Ms. Fran Jutzi
Santa Ana Workforce Investment Board
ROI Study Proposal
888 W. Santa Ana Blvd., #208
Santa Ana, CA 92702-1988
. Dear Ms. Jutzi:
Please accept the following proposal to conduct the Return on Investment (ROI) Study-
Phase III of Local Workforce Investment System for the Santa Ana Workforce
Investment Board (WID) from the Social Science Research Center (SSRC) at California
State University, Fullerton.
The CSU Fullerton Auxiliary Services Corporation (formerly the CSUF Foundation), a
501 (c) 3 auxiliary organization, provides legal compliance and fiscal oversight for all
University research grants and contracts. The contact information for the Auxiliary Services
Corporation ASC) is:
CSU Fullerton Auxiliary Services Corporation
2600 East Nutwood Ave., Ste 275
Fullerton, CA 92831
Te1. 714-278-3415
Fax: 714-278-4153
The Federal Tax Identification Number for the ASC is 95-2081258 and it is incorporated
in California. The Foundation has been in business since 1959,
Dr. Gregory Robinson, Director, Social Science Research Center will be conducting the
Phase III ROI study. His contact information is as follows:
Dr. Gregory Robinson
Social Science Research Center
California State University Fullerton
800 N. State College Blvd. MH 038C
Fullerton, CA 92831
Tel. 714-278-2600
Fax: 714-278-2549
1
25N-25
The SSRC has approximately 20 years of experience designing, conducting, and
analyzing research data for city, county, and state sponsors as well as local non-profit
agencies in and around Orange County. We are particularly adept at producing
comprehensive technical reports in prose easily understood by program staff, target
populations, elected officials, and the general public, Our in-house staff is highly
experienced at all aspects of survey research, Our location on the CSU Fullerton campus
provides us with access to experts which will assist with the ROI portion of the study.
Including indirect costs, calculated at 20%, the SSRC estimates Twenty Thousand
($20,000) dollars will be required for completion of the ROI project. It is estimated that
the project will take 883 hours to complete.
TIus proposal is valid for 120 days from the date first listed above, Califomia State
Universi~y F~llerton has the knowledge and skills required to provide the required
services as outlined in the Request for Prop.osal. William M, Dickerson, Executive
Director, CSU Fullerton Auxiliary Services Corporation is duly authorized to sign and
submit this proposal on behalf ofthe organization and is able to enter into a contract with
the Santa Ana WIB and to meet additional contract requirements with regard to
compliance with WIA regulations, as applicable, including patent rights, copyrights and
rights to data, access to records and audit requirements, certifications of a drug free work
place, debarment, lobbying, and liability insurance coverage,
If an award is made for this proposed project, we would appreciate your sending a
notification to this office with the grant awarded through our non-profit, tax exempt CSU,
Fullerton Auxiliary Services Corporation. The Auxiliary Services Corporation has been
established and incorporated to assist the University in administering the various research
grants, contracts and awards funded to this institution. We would be pleased to forward
the Foundation's articles of incorporation and bylaws should you desire further
information.
Please notify this office of any action taken on this proposal. Your thoughtful
consideration of this application is appreciated,
Sincerely,
William M. Dickerson
Executive Director
CSU Fullerton Auxiliary Services Corporation
KT:ndr
Enclosures
cc: Dr. Gregory Robinson, Principal Investigator
Dr. Thomas Klammer, College of Humanities Social Science
2
25N-26
r:~f; C A L 5 TAT E
II FULLERTON
l}Jficc of Grant, [~ Cmltracls
(7141 278-210t. I fa>: (714', 278-3000
November 13. 2007
Ms. Fran Jutzi
Santa Ana Workforce Investment Board
ROl Study Proposal
888 W. Santa Ana Blvd., #208
Santa Ana" CA 92702-1988
Dear Ms. lutzi: .
Please accept the following proposal from the Social Science Research Center (SSRC) at
California State University, Fullerton (CSUF) to conduct the Return on Investment (ROI)
Study - Phase III of Local Workforce Investment System for the Santa Ana \Vorkforce
Investment Board (WIB).
Dr. Gregory Robinson, Director, Social Science Research Center 'will be conducting the
Phase III ROI study, His contact information is as follows:
Dr. Gregory Robinson
Social Science Research Center
California State University Fullerton
800 N. State College Blvd. MH 038C
Fullerton, CA 92831
Tel. 7] 4-278-2600
Fax: 714-278-2549
The SSRC has approximately 20 years of experience designing, conducting, and
analyzing research data for city, county, and state sponsors as well as local non-profit
agencies in and around Orange County. We are particularly adept at producing
comprehensive technical reports in prose easily understood by program staff, target
populations, elected officials, and the general public. Our in-house staff is highly
experienced at all aspects of survey research. Our location on the CSU Fullerton campus
provides us with access to experts which will assist with the ROI portion of the study.
Including indirect costs, calculated at 20%, the SSRC estimates Twenty Thousand
($20,000) dollars 'will be required for completion of the ROI project. It is estimated that
the project will take 883 hours to complete.
This proposal is valid for 120 days from the date fIrst listed above. California State
University Fullerton has the knowledge and skills required to provide the required
services as outlined in the Request for Proposal.
CUIFORNIA STATE UNIVERSITY, FULLERTON P.O. Bo:': 685C\ FulJenon, CA 92834-6850
::::~n~:~:k.;:]c :S~:,;:~,~::~:;;::i;'on~::::!Si~:i~;'n~;:~;~ ,~ ~:::):,::~:~'5JJ~~:7,:",,:;~~,::,~:,::).!t.:::: ~'~:':~l::~,l~.:s~;::' j,::::~';~5t., s:.~':~:'.~:::~" s~,:~::~,;;
The undersigned is duJy authorized to sif:,'1l and submit this proposal on behalf of the
CSUF. If an award is made for this proposed project, please send a notification to the
CSUF Office of Grants and Contracts at the address provided below. In addition, and in
accordance with University policy, the awardee should be named as CSU Fullerton
Auxiliary Services Corporation (ASe). The ASC is a 501 (c) 3 auxiliary organization
which has been established and incorporated to assist the University in administering the
various research grants, contracts and cooperative agreements awarded to the CSUF,
Upon request, we will provide you with the Articles of lncorporation for the ASC.
The Federal Tax Identification Number for the ASC is 95-2081258 and is incorporated in
Califorrila, with address at:
2600 East Nutwood Ave., Ste 275
Fullerton, CA 9283 ]
Tel. 7]4-278-34]5
Fax: 7J 4-278-4] 53
The ASC will be able to enter into a contract with the Santa Ana \VIE and to meet
additional contract requirements with regard to compliance with \VIB regulations, as
applicable, including patent rights, copyrights and rights to data, access to records and
audit requirements, certifications of a drug free work place, debarment, lobbying, and
liability insurance coverage.
Please notify this office of any action taken on this proposal. Your thoughtful
consideration of this application is appreciated.
0'" ''------_."
'} I
/~. ,'/ / i' ~..
". !L--/ ------r-- J _.
-. /' {:1(..A,-i\~.Fr--}'
-'
, Sincer~ly,
, /' .
"'----/ L~
.' ,'. /l
"~7'~~:' 7 i,__l/'
../... "'.
..../.
\ -'~\'
~ L./
Linda W. Panon
Director, Office of Grants and Contracts
Enclosures
cc: Dr. Gregory Robinson, Principal Investigator
Dr. Thomas Klammer, College of Humanities Social Science
2
25N-28
SANTA ANA '''IB
PHASE III RETURN ON INVESTMENT STUDY
BACKGROUND INFORMATION
The Social Science Research Center (SSRC) at Califonua State University, Fullerton, has
extensive experience functioning as a data collection entity in a variety of survey research
endeavors. The SSRC operates a 24-station computer assisted telephone interviewing
(CATI) network, active in Orange County for 20 years. We can produce an accurate and
comprehensive dataset in a relatively short period of time by conducting interviews
during days, evenings and weekends to optimize contact with the target population. We
have conducted numerous telephone surveys targeting service utilization populations
such as CalY{ORKs participants, as well as geographically concentrated ethnic
populations including Latinos, Vietnamese,' Armenians and Koreans. The SSRC
completed the telephone survey work supporting the SA WID's 2005 Phase II ROI study.
The SSRC is intimately familiar with workforce development resulting from the
Workforce Investment Act of 1998 and has provided research support to administrators
and educators in this area for a decade. The proposed team pairs the SSRC's expertise in
applied survey research with expert consultation from the independent consultant, Dr.
Rajeev Sane with whom we worked in 2005.
Under Dr. Robinson's direction, the Social Science Research Center has conducted the
California Cooperative Occupational Information System (CCOIS) Labor Market
Surveys for nine years, including work in Orange and Monterrey Counties and in the
North Bay Counties region managed by Napa County. Other survey projects designed to
assess service use and the effectiveness of those services are a 1999 Transportation Needs
Assessment Survey for Los Angeles County with randomly selected GAIN participants
extracted from DPSS files. In addition, the SSRC conducted a 2002 surveywith County
of Orange CalWORKs recipients to determine their child care needs and impediments to
utilizing available child care subsidies. Most recently, a study was conducted for the
Chief Administrative Office, Service Integration Branch, County of Los Angeles on
sanctioned CalWORKs participants. Appendix A contains a list of references,
The Social Science Research Center has a long history with California's One-Stop Career
Centers, Upon California's receipt of a One-Stop Planning Grant in the fan of 1994, the
State Job Training Coordinating Council appointed a Task Force to oversee the one-stop
planning process, Seven technical work teams were selected to address issues and make
recommendations to the Task Force who then made recommendations to the Governor.
One of the seven teams appointed by the Task Force is the Electronic Infrastructure Work
Team (EIWT). The EIWT, under the direction of the Office of Workforce Policy,
contracted with CSU to gather the necessary research material in order for the EIWT to
develop the California Electronic One-Stop Infrastructure (EOSI) model.
..,
.J
25N-29
Dr. Robinson participated on the multi-'campus CSU team that conducted a feasibility
study and recommended a roll-out plan for an information infrastructure to support the
One-Stop System, CSU researched both available and emerging technologies and
compiled first hand inforn1ation from persons who were using those technologies. The
results of this study were used by the Electronic Infrastructure Work Team to develop its
final recommendations. As part of this effort, the CSU team conducted focus groups with
prospective One-Stop customers, and synthesized inforn1ation on their existing systems'
capabilities, to help guide decision-making on the design of the infonnation
infrastructure.
EXPERlENCE
Gregory Rob~ns~n, Ph.D.
Dr. Robinson is the Director of the SSRC. Dr. Robinson's expertise includes applied
research and evaluation design, survey research methods, and qualitative approaches to
data collection and analysis. He has'successfully conducted over one hundred applied
research and evaluation projects for county and state entities with foci in community
issues, employment, education, health care, and criminal justice, He has provided
extensive consultation to the Latino and Vietnamese communities of Southern California.
Prior to joining the SSRC, Dr. Robinson was a Research Associate at the Public Policy
Research Institute at UC Irvine. Greg holds a Ph.D, in social ecology from the University
of California at Irvine and an undergraduate degree in psychology from the University of
California at Berkeley.
Rajeev C. Sane, Ph.D., MBA
Dr. Sane worked for seven years in the Strategy and Corporate Planning Group at Unocal
Corporation. In that capacity, he conducted several ROI analyses for a variety of large
and small capital investment projects. For the past four years, he has been an
independent management consultant. His clients have included ChevronTexaco, Conoco
Phillips, House of Blues, and Northern Trust. Rajeev obtained his undergraduate degree
from the Indian Institute of Technology, Delhi; a Ph.D. from the University of Southern
California; and an MBA from the University of California, Los Angeles.
STUDY DESIGN - UNIVERSAL ACCESS CUSTOMER SURVEY
The special strengths of the SSRC are our methodological approaches to
questionnaire construction, pre-testing the survey instrument (pilot testing), language
capabilities, sample design, data collection, data analysis, and technical report
preparation. Questionnaire construction, pilot testing, language capabilities, sampling,
and data analysis and report preparation, are discussed below. Our scientific approach to
data collection is detailed in Appendix B.
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Questionnaire Construction and Pilot Testing
The SSRC is highly experienced at translating the information needs of decision-makers
to survey instrumentation. The process of developing a survey instrument for the Phase
III study will be greatly accelerated because of this experience and the instrument
developed by the SSRC in collaboration with the SA WID to support the Phase II ROI
study, Working with relevant progran1 staff, the SSRC will design a questiOlmaire to
confirm the services and resources used by universal access customers, their preceding
employment status, their satisfaction with WORK center services and the employment
and wage outcomes associated with their use of the services/resources. A variety of
demographic information will also be collected. Our location close to the Santa Ana
WORK Center will facilitate meetings during this process and throughout the study, if
necessary,
It is imperative that the contractor selected to collect these data~carefully measure the
duration and intensity of service use at the WORK Center. Using this "dose- response"
covariate for outcome measures is necessary to adequately explain outcomes. One would
not expect the casual user to obtain the same outcomes as someone who visited the
WORK Center often and/or used a number of different services and resources. Use of a
covariate quantifying the duration and intensity of service utilization will add accuracy
and clarity to outcomes assessment. The survey questionnaire will confirm the
frequency of service utilization including, but not limited to, WORK shops, computer
access to job orders, hard copy po stings on the job order board, want ads, provision of
computer time for job searches, resume preparation, email access, use of basic business
machines, and use of free outgoing mail for resume submission. Pre- and post- wages
will be collected by self-report, which can be compared to the base wage data provided
by the WORK Center.
The SSRC pre-tests survey instruments prior to initiating full-scale data collection. All
supervisorial and interviewing staff working on a project are trained using a paper-and-
pencil version of the survey. Each question is read aloud and staff are paired to practice
the survey instrument on the CA TI system. After this hands-on practice, the instrument
may be refined to improve comprehensiveness, flow, length and factors that influence
respondent cooperation and interest. Surveys are conducted with approximately 25 to 30 .
respondents. Supervisors and SSRC management-level staff then conduct a
"debriefing," which allows interviewers to discuss the overall progression of survey item
sequencing as well as to comment on specific survey items that may have been unclear to
survey respondents. Before the next interviewing shift, SSRC personnel review the pilot
test frequencies and share these data with the survey sponsor. If the staff debrief or
frequencies review suggests modifications, the instrument is quickly revised and
reprogrammed into CATI software before interviewing continues.
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Language Capabilities
We provide multicultural research strategies as appropriate. We find the literal
translation of English instrumentation to be insufficient, and we emphasize the
development of linguistically and culturally appropriate research instruments and
methods. We regularly conduct research in the Latino and Vietnamese communities, and
have conducted surveys in Korean, Cambodian, Armenian, Tagalog, and Mandarin. Our
university setting allows us to access the linguistic and cultural expertise of members of
many racial/ethnic and national groups, The Cal State Fullerton campus affords access to
a broad range of faculty expertise and student perspectives, representing many etlmic
backgrounds and heritages.
Translated surVey instruments are programmed into Ci3 scripting software that interfaces
with the CA TI sYl>tem, This allows interviewers conducting English and non-English
language surveys to read the questions on the screen and type verbatim responses into the
CA TI system. Procedures for handling these open-ended text responses are discussed in
Appendix B,
Sample Design
A confidence interval for survey data refers to the level of precision required for
estimates of population parameters based upon sample data, A generally accepted
standard for policy-relevant research is a confidence interval of plus or minus five
percent. When this standard is met, we can be 95% confident that the true population
parameter lies within an interval extending five percent above and below any proportion
derived from survey (sample) data. A population paranleter is the result one would
obtain if all universal access customers were interviewed.
Sampling error, as indexed by the confidence interval around reported proportions, varies
in relation to sample size and to the variability of survey responses (among other factors).
In general, as the sample grows larger, the confidence interval grows na..rrower. That is,
inferences about population parameters based upon larger samples are more precise (are
associated with narrower confidence intervals) than inferences based upon smaller
samples,
Also, as the proportion of some attribute in the sample (e.g, overall satisfaction with the
Santa Ana WORK Center) approaches a fifty/ fifty split, (say, 50% are dissatisfied and
50% are satisfied) sampling error increases, resulting in a wider confidence interval.
Conversely, sampling error decreases as the proportion of a given attribute approaches a
five/ ninety-five split, (5% are dissatisfied and 95% are satisfied) resulting in a more
precise estimate and a narrower confidence interval.
Assuming a population of unique Universal Access customers of roughly 5,000 in the
program year under study, the table on the following page depicts the required sample
sizes for three confidence intervals: 1) Calculated leniently, that is, based upon the
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presumption of a five/ ninety-five split in the sample data, 2) Calculated presuming a
twenty-five/ seventy-five proportion, and 3) Calculated most conservatively, which is
based upon the presumption of a fifty/ fifty proportion in the survey data,
S
I P
I . (N
ampe opu atlOD =5,000)
5/95 25/7 5 50/50
Required Sample Size 75 283 370
To achieve a confidence interval of plus or minus 5%, interviews must be completed with
a minimum of370 unique clients. If Santa Ana WID desires to make comparisons
between customers based on racial/ethnic category, education level, industry sector or
some other factor, however, a larger sample will provide.more robust estimates of t4e?e
sub-groups. Due to the high proportion of Hispanic/Latino clients served by the WORK
Center, we recommend a total of 400 interviews with English and Spanish-speaking
universal access customers approximately proportionate to their distribution in the .
population of all universal access customers. The specific sample design will be
confirmed with WID staff, but the place holder is to conduct telephone interviews with a
separate set of 100 unique clients each quarter, and to conduct follow-up interviews with
subsets of clients interviewed in previous quarters as funds permit.
Data Analysis and Report Production
The SSRC utilizes appropriate statistical techniques to analyze both quantitative and
qualitative data. Dr. Robinson instructs graduate and undergraduate courses in statistics
and research methods for the CSUF psychology and sociology departments, respectively.
By maintaining this link to the instructional mission of the University, he stays abreast of
the latest statistical and methodological advances, In addition to our highly trained and
experienced staff, as a University-based research center, the SSRC has access to scholars
active in their respective fields that can provide a wide range of expert consultation.
SSRC researchers are skilled at presenting analytic results in a practitioner-friendly
format to ensure accessibility to a wider audience. For instance, all tabular and graphical
data are preceded by interpretive text that direct the reader's attention to the most salient
aspects of the analysis. To ensure a final report that meets Sai1ta Ana WIB's needs, a
draft report will be circulated for feedback.
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STUDY DESIGN - RETURN ON INVESTMENT ANALYSIS
We propose to obtain annual pre- and post-salary infomlation from the target population
during telephone survey administration to more accurately estimate the ROI for this
group of users.
It is possible that because the WORK Center provides free placement services, a pOIiion
of the recipients that make use of the Center would not have gone to any other placement
center had the WORK Center not existed, We propose including the additional tax
revenue generated from this group of people in the overall economic benefit estimated for
the program.
Any benefit provided to both the Center users and the government accrues over time
because individuals, on average, r~tain their jobs for multiple ye~rs, Therefore, our ROT
calculations will capture estimated economic benefits to the government from taxes paid
to date over the term of their employment. To derive this estimate, respondents will be
queried as to the length oftheir employment since using WORK Center services or
resources,
DOCUMENTATION NEEDED
The SSRC requests the entire universal access customer database for each quarter in the
Program Year (July 1 2007 to June 30 2008) as we anticipate that not all numbers will be
valid (e,g., disconnects resulting from phone number changes). To produce the ROT
report, the SSRC team will require total funds provided to the Santa Ana WORK Center
during Program Year 2007-2008 as well as estimates of in-kind or time donations
provided by partner agencies,
TIMELINE
Assuming an approval date of January 11, 2008, the SSRC and its collaborative partners
(Ph.D. level staff) will immediately begin working with Santa Ana WORK Center and
Will staff to develop a questionnaire for telephone survey administration. TIllS should be
accomplished by February 15,2008. Once finalized, it will be progra.'11111ed in-house
using Ci3 CATI software, A sample of unique clients utilizing the One Stop from 7-1-07
to 9-30-07, and from 10-01-07 to 12-31-07 would be drawn ilmnediately, and interviews
would commence ASi\P in March, 2008. Interviews for the sample selected in the 1-1-
08 to 3-31-08 quarter will commence in April, 2008, and interviews for the 4-1-08 to 6-
30-08 quarter would commence in July, 2008. During data collection, relevant financial
data will be obtained and report preparations will COlmnence. A draft ROI report will be
circulated for feedback two to three weeks prior to December 31, 2008 to allow WID
staff to comment. One or more representatives from the SSRC's team will be available to
present study results to the Santa Ana Workforce Investment Board in January 2009.
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COST ESTIMATE
The fixed price quoted belov.' inclUdes all expenses related to the perfonnance of work
and services required to provide the Santa Ana WIB with a final ROI report.Plicing is
based upon cost per interview and the associated costs for materials and support for
project personnel as detailed below. Costs have been calculated based on an average
English-language interview length often minutes,
Description Hours Cost
Ph.D, Level Oversight and Report Preparation 13.0 $975,00
Ph,D. Level Consultation and Report Preparation 40.0 . . $4,00.00
Telephone Interviewing Costs (Includes training, 800.0 $10,080,00
interviewing, and telephone costs)
Administrative Assistant 30.0 $624
Telephone, Supplies, Other Direct Costs $988.00
Total Direct Costs $16,667,00
University Indirect Costs (iiJ 20% $3,333.00
Total Budeet $20,000.00
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APPENDIX A
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REFERENCES
"Santa Ana \VIB Phase II Return on Investment Study"
Fran Iutzi
888 W. Santa Ana Blvd., #208
Santa Ana, CA 92702
"California Cooperative Occupational Information System (CCOIS) Labor Market
Surveys"
Janice Jump
Research Analyst
Special Programs .
Housing and Community Services
1300 S. Grand Ave., Bldg B, 3rd Floor
Santa lilla, CA 92705
Tel (714) 567-7414
"Transportation Needs Assessment 1999 Survey for Los Angeles County"
"Sanctioned CalWORKs 2005 Participants Survey"
Manuel H. Moreno, Ph.D,
Research Director
Research and Evaluation Services
Service Integration Branch
Chief Administrative Office
222 S, Hill Street
Los Angeles, CA 90012
Tel (213) 974-5849
"Orange County Social Services Agency 2002 CalWORKs Child Care Needs
Assessment and Utilization Survey"
Elaine Hall,
Deputy Director
Economic and Community Partnerships
888 N. Main Street
Santa Ana, CA 92701
Tel (714) 541-7859
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APPENDIX B
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TECHNICAL APPROACH TO DATA COLLECTION
The SSRC's computer assisted telephone interviewing (CA TI) software and standard
operating procedures ensure a superior response to issues of response bias, callbacks,
quality control, and the verification of data entry procedures essential for all telephone
survey research endeavors. These are discussed in detail below.
Response Bias
Response bias is a major source of sampling error that can be minimized by preserving
the random nature of the selected sample. By attempting sample records that result in a
busy, no answer, or answering machine disposition up to 20 times, a representative
. sample of WORK Center "Core A" or universal acces~ cust~mers that used the Center
between July 1,2003 and June 30, 2004 will be surveyed. Up to 20 attempts at contact
are also made for any sample record known to connect to a residential household, such as
requests to phone the individual another time/day. These "callbacks" are explained in the
next section.
Callbacks
The CA TI system includes a sophisticated call tracking and callback scheduling
procedure. A call history is developed for each number and remains active until a final
disposition is assigned. 1fno contact is made, the call record will note the time of day
and the interviewer who attempted the call, The call will then be automatically
reassigned at a later time based upon an algorithm that reduces the probability that the
call will come up again on the same day and time. When a contact is made, but the
interview is not completed, call information is recorded that includes whether a callback
has been scheduled, who the interviewer spoke with, and the current disposition ofthe
call (for example, immediate refusal, answering machine, mid-interview tennination,
etc.), In addition, the time of each call, the number of call attempts, and any
interviewer-generated notes are recorded,
For multi-lingual studies such as this, records with phone numbers known to connect to a
Spanish-speaking household (generally established by a prior call attempt) are
dispositioned accordingly and automatically routed to an interviewer with that language
capability, If no linguistically competent interviewer is available, the system holds the
record until such an interviewer is free.
The CA TI system allows the researcher to set the number oftimes a telephone number is
to be called before it is retired. SSRC standard operating procedure dictates 20 attempts
at contact. If contact is not established after 20 calls, the number is transferred to a
holding queue. Our policy regarding immediate refusals is to call back at random
intervals after the initial refusal. Experience shows that about 30% of initial refusals can
be converted simply by contacting the individual another day. Our procedure for
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converting refusals by respondents whose eligibility has been established involves two
steps, After the first refusal, we call back at a different time. We ask for the eligible
respondent, beginning by apologizing for bothering them again, and subsequently
attempting to explain the scientific reason for our interest in speaking with them. This
procedure converts about 20% ofrefusals lmown to be eligible for the survey. If this
results in a second refusal, we will try one additional time using a "please help" approach.
This generally yields a conversion rate of 10%, After three refusals, the telephone
number is retired and classified accordingly. This procedure is a modification of
Dillman's (1978) Total Design Method.
Our response rates for listed sample survey projects such as this generally exceed 65%
and supports precise inferences from the sample to the population.
Quality Control and Verification of Data EntlT Procedures
Data entry and consistency-checking features of CA TI software, real-time random
monitoring of interviews in progress by SSRC shift supervisors, and daily review of the
data collected ensure high quality information that accurately depicts respondents'
answers to survey questions,
Survey questions and response options appear on a computer screen while the interviewer
is speaking to the respondent. Data are entered directly into the CATI system, which will
not accept out-of-range response options, so recording errors are reduced. In addition,
range and validity checks can be programmed to minimize other recording and survey
administration errors (e.g, verifying the number of jobs reported, whether income from
day labor was received, and the wages associated with each).
In addition to these technical features, SSRC supervisors are present during all
interviewing shifts. Each of our supervisors previously worked as an interviewer, and
each has been trained in telephone interviewing techniques and methodological
considerations. Random call-monitoring is perfonned during each shift to verify the
accuracy of the data. Clients can connect to this call-monitoring system from an off-
campus telephone number, allowing them to listen as data are collected.
Our 24-station CATI lab enables us to collect data quickly and our export function allows
for the rapid extraction ofresults into numerous fOID1ats, including ASCII, SPSS, and
SAS fonnats. The resulting quantitative data and open-ended text responses are reviewed
daily so that interviewing staff cawbe "debriefed" regarding vague or imprecise data,
This is done throughout the life of the proj ecl.
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Coding of Open-Ended Text
. In addition to numeric data associated with "fixed response" survey items, text responses
may be collected during CA TI surveys in response to "other," "specify," and "open-
ended" prompts. "Other" text responses are generated when coding categories are
insufficient to capture a given survey response. For example, standard coding categories
for respondent race/ ethnicity may not include an option for "Middle Eastem."
"Specify" responses are used to elaborate or add dimension to a quantitative answer. such
as asking respondents to specify the web site visited after indicating that they used the
Intemet while visiting the WORK Center. The last category, "open-ended," does not
have a numeric basis of any kind, CA TI software allows interviewing staff to record
verbatim responses for these tmee types of open-ended questions.
In advance of project completion, coding categories are developed by project managers
and approved by the director; these proposed coding categories can be circulated to and
approved by the appropriate WIB staff. Ci3 software allows up to 30 codes for each
answer. Multiple codes are necessary when questions specifically ask for multiple
answers such as, "What two or tmee resources or services used at the WORK Center
were most helpful in your employment search?" and are useful in many other
circumstances. As additional surveys are completed, the preliminary categories are
revisited to ensure that they represent respondents' answers,
Using the final coding schema, SSRC researchers will assign numeric codes to the open-
ended text responses. These will be merged with the quantitative data to produce a fmal
SPSS (or other fOID1at) database for analysis,
15
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COMPLAINT HANDLING
UNDER THE
WORKFORCE INVESTMENT ACT
SANTA ANA
WIA
Santa Ana Local Workforce Investment Area
July 1, 2001
25N-42
Exhibit C
Table of Contents
I. I nformation Regarding Complaints......................... ................................................................... 2
A. Nondiscrimination and Equ ai Opportunity Complaints.......................................................... 2
1 . Poli cy State ment....... ..... ................ ..' .. ....... ....... ............ . .. . ...... .... . ..' ... . ..' . . . ... . .. . :....... .. . ... ... 2
2. Civil Rig hts ................ .......... ... ......... .. ..... .. ..... ..' ... ..' ... .... ...... ... ...... .... . . . . . .. . ... . ........ . .... .. . .. .... 3
3. Nondiscrimination Laws under WI A ........ ............ .. .... ..... ............ ............... .. . ..... .. ....... ........ 4
4. How to File Your Complaint.... ................................................................. ......................:... 5 .
B. Crimi nal Complaints .............................................................................................................. 6
II. General Procedures for Handling Non-Criminal Violations of the Act ....................................... 6
III. Procedures for Handling Complaints at the S OA Level............................................................. 8
IV. Proced u res for Handling Campi a i nts at the State Level.......................................................... 13
V. proced u res for H and ling 0 iscri mi nation Com pi a ints by P a rti cipa nts.... ..... ...... .. .. .. .... .. ......... ... 15
VI. Procedures for Handling Handicap Complaints by Participants.............................................. 16
GLOSSARY OF WIA TERMS. ................. ............ ............ ............. ....................... .......... .............. 18
1
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l. 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 \ViII foster equal
opportunity and non-discrimination, as provided in State and Federal equal
opportunity and non-discrimination laws including, but not limited to: .
. Title VI of the Civil Rights Act of 1964
. Title VII of the Civil Rights Act of 1964
. The Age Discrimination Act of 1975, as amended
. Section 503 of the Rehabilitation Act of 1973
. Section 504 of the Rehabilitation Act of 1973
. Title IX of the Education Amendments of 1972
. Section 188 of the Workforce Investment Act of 1998
In keeping with our commitment, no individual shall be excluded from
participation in, denied benefits of, subjected to discrimination under, or denied
employment, in the administration or of in connection with any WIA funded
program because of race, color, religion, sex, national origin, age, handicap, or
political affiliation or belief, '
Participation in programs and activities financially assisted in whole or in part
under WIA shall be open to citizens and nationals of the United States, lawfully
admitted permanent resident aliens, lawfully admitted refugee, parolees, and
other individuals authorized by the Attorney General to work in the United
States.
No individual will be intimidated, threatened, coerced, or discriminated against
because of filing a complaint, furnishing information, or assisting or
participating in any manner in an investigation, compliance review, hearing, or
. any other activity related to the administration of WIA.
2
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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 discrimrnatory
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
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3, Nondiscrimination Laws under WIA
Title VI of the Civil Riqhts Act of 1964
Prohibits discrimination on the basis of race, color, national origin, or
religion.
The Aqe Discrimination Act of 1975
Prohibits arbitrary discrimination against persons age 40-70.
The Rehabilitation Act of f 1973
Prohibits disc'rimination based on handicpP,
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 Riqhts 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 b I 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
25N-46
-
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 addre.sse.s of all persons who were present or who
had anything to do with the matter.
.. .Complaints on the basis of race, COIOf. or national origin, age. sex,
religion. political affiliation or belief. retaliation and citizenship, must be
filed vJithin 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. Ifthe
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
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.
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 Fed.eral
section 667.600.... Federal handling of criminal complaints and report.offraud, abuse
and other criminal activity. "All information and complaints involving fraud, abuse or
other criminal activity shall be reported directly and immediately to the City of Santa
Ana and the Secretary of Labor,"
II. General Procedures for Handling Non-Criminal Violations of the Act
The following procedure is promulgated to meet the requirements of Title 20, of the Code of
Federal Regulations, Section 667.600 through 667,640 of the WIA regulations, and Section
181 (c) of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and
LWIA level for the receipt, investigation, hearing, and resolution of complaints by WIA
participants, subrecipients, applicants for participation, or financial assistance, labor unions,
community based organizations, or any other persons,
These procedures provide for resolution of non-criminal complaints arising from the
operation of the Santa Ana L WIA.
A complaint is defined here as a written expression by a party alleging a violation of the
Act, regulations promulgated under the Act, recipient grants, subagreements, or other
specific agreements under the Act, including terms and conditions of employment of such
participants in employment training programs. All complaints, amendments and
withdrawals shall be in writing. These procedures are intended to resolve matters which
concern policies, procedures or action(s) arising in connection with WIA programs operated
by each LWIA grant recipient and subrecipient under the Act.
These procedures shall not be construed as affecting any other available legal remedy
outside of the WIA complaint process (i,e" disputes regarding terms and conditions of
employment of any employee who is not a participant), either separately or simultaneously,
that a person may wish to pursue in the resolution of a non-WIA complaint. Also, these
procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion
6
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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 heari~g. Complainants have the right to
withdraw their complaints (in writing) at any time prior to the heaFing, 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 ofthe complaint process.
4. Upon enrollment into employment or training, participants shall be provided
with a written description of these procedures, including notification of their
right to file complaints and instructions for filing,
An employer of participants, including private-for-profit employers of
participants, may use this or other complaint resolution procedures so long as
the participant is informed of the complaint resolution procedure they are to
follow and the time frames governing review of complaints are met.
A "participant", within the meaning of these procedures, is an individual who
receives employment-training services under q program funded by Santa Ana
LWIA. The Complaint Resolution Procedures contained herein (or the
alternative procedures which an employer may use) shall be available to
participants to resolve disputes regarding items and conditions of employment
of such participants in employment training programs. However. such
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
,
25N-49
6. Complainants must initially file and exhaust LVVIA grant recipient/hearing
procedures prior to appealing to the State except where the State determines
that the LVVIA 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 f.ound at 20 CFR, Section 667,600, the L WIA
administrative entities have the responsibility to conduct hearings and resolve
complaints made by individuals about the administration of programs in the LWIA,
"LWIA ~eve\': 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 L WIA 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 Offtcer shaH 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
25N-50
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. I nformal 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.tw,o (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
25N-51
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 Hear"lng
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 complain~r:t, 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. p, statement(s) ofthe 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 L WIA 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 .Iist 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
25N-52
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 2 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 LWIJi, 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. /\ 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
25N-53
D. Record of Hearing
An administrative file containing support documents on the complaint resolution
process hearing conducted will be retained by the Santa Ana L\NIA. The purpose of
a record is to serve as substantiation of the process followed by the Santa Ana LWIA
on the resolution of the issues and the results. This information would then be
available for subsequent review in the event the matter is raised with the State. Such
records must be retained for a three-year period after the grant has been officially
closed out.
The Santa Ana LWIA's written decision will be included in the record. Evidence
received at the hearing, notes by the hearing officer, stenographer's notes and tape
recordings may also be used,
E, Establishment of Complaint Procedures
In accordance with Section ,667,600, each employing agency including private-for-
profit employers of participants under the Act is required to establish a complaint
procedure for resolving matters relating to the terms and conditions of employment.
Employers may operate their own grievance system or may utilize the Santa Ana
LWIA's established procedures under Section 667,600, At a minimum these
procedures must include:
1, Written notice, upon enrollment into employment training services, of the scope
and availability of such procedures. Employer's grievance procedures shall be
set forth in a written document and must meet the regulation mandate that a
complaint will be resolved with sixty (60) days from the date the complaint was
filed, A copy of employer's grievance procedure shall be provided to each
participant upon enrollment in employment training.
2. Written notice, at the time the grievance is filed,Jf, 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
25N-54
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 L WIA 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 (V\lID), 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 L WIA level decisions when a request
for review is filed within 10 days of receipt of the adverse decision. Such
requests must be filed inwriting with the Chief of the WID Office, The request
for review should contain the following information:
a. Full name, address, telephone number of the party requesting the
review
b, Full name, address, telephone number of the other party
c. A copy of the decision
d. Brief statement of reasons for review or the section of the LVVIA
decision to be reviewed including regulatory and statutory citations
e. A statement of the relief sought.
13
25N-55
-
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, VvlD,
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
25N-56
-
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 forfinal 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 VVIA
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 L WIA'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
25N-57
. ~ ' ~ ' " - -" .
PROCEDURES FOR HANDLING NON-CRIMINAL COMPLAINTS
. . .
. .
No later than] 80
days of alleged
discrimination
Handling of complaints filed at L WlA level arising in
connection with VIlA programs operated by L\VlA..s
Infom1a] Resolution Process
.
.
.
.
Fi:ing of Complaint / Request for Hearing
Notice of Hearing issued by LVlIA
1.N
C)
~
,-
"<:
V,
0.
~
tJ
~
c.,
Hearing Conducted
r
!
J
L WIA Decision within 60 days
.
.
.
.
Unsatisfactory Decision or L W1A Decision not
issued within 60 davs
FrTithin ] 0 days of
receipt of
unsaiisfactory
decision or ] 0 da,Vs
from date L WIA
decision should have
been issued
.
.
.
.
Request for State Review I
Govemor's Decision issued by State Review
Pane]
1.N
c::;,
.......
::::-'
..;:
L::.
.
.
.
.
Uno decision issued bv State Review Panel
.
.
.
.
Appeal to DOL
25N-58
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 LabOi 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 L WIA'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.
p.,. 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
25N-59
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 WI D within ten (10) calendar days after the receipt of the Santa Ana
L WIA'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 Jmm the Director of Employment Development Department (on
behalf of the Governor), the complai-nant 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
25N-60
~ - ,-
, .'
. ' < -
- -
PROCEDURES FOR HANDLING HANDICAP COMPLAINTS
- ~.-
No later than] 80
days of alleged
discriminaiiol1
Filing of complaint on the basis
Of Handicap with L\V1A
Day 1
Informal Resolution
.
.
Uno resolution reached
.
.
.
.
Request for Hearing
Notice of Hearing
I
Hearing Conducted
Dayi45 Day
L V,lA Decision
.
.
.
.
Unsatisfactory Decision OT No Decision
.
.
.
.
State Revie\v
Govemor's Decision
60 Days
Filed within 30
days of
IWlA/State
Decision or 90
da;vs from date of
initial filing of
complaints
Appeal to Assistant Secretary
Department of Labor
25N-61
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
W1A 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 employm~nt and training activities appropriate for the
participant. Testing and counseling may also be used during the assessment pr:ocess.
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
25N-62
INTAKE _ Includes screening to determine eligibiiity; 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 Tit,le 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
25N-63
Exhibit D
CERTIFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTRACTS, GRANTS, LOANS
and COOPERATNE AGREEMENTS
The undersigned certifies, to the best of his or her knowledge and belief, that:
1) No Federal appropriated funds have been paid or will be paid, by or on behalf of
the undersigned, to any person for influencing or attempting to influence an
~fficer or ep1ployee of an agency, a Member of Congress, an officer or employee
of Congress, or an employee 'of a Member of Congress in connection with the
awarding of any Federal contracts, the making of any Federal grant, the making of
any Federal loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment or modification of any Federal
contract, grant, loan or cooperative agreement.
2) If any funds other than Federal appropriated funds have been paid or will be paid
to any person for influencing or attempting to influence an officer or employee of
any agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this Federal contract,
grant, loan or cooperative agreement, the undersigned shall complete and submit
Standard Form - LLL, "Disclosure Form to Report Lobbying," in accordance
with its instructions.
3) The undersigned shall require that the language of this certification be included in
the award documents for all subawards at all tiers (including agreements) and that
all subrecipients shall certify and disclose accordingly.
TIns 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.
tJLAI/i! D~
Grantee/Contractor Organizati on
William M. Dickerson
Executive Director
CSU FULLERTON AUXILIARY SERVICES CORPORATION
Print Name of Certifying Official
3/4-/oP
. , Date
Signature
25N-64
Exhibit E
Certification Regarding Drug-Free Workplace Requirements
The certification set out below is a material representation upon which reliance is placed
by the U.S. Department of Housing and Urban Development in awarding the grant. If it
is later detennined 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 ofmaintaining 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 requirements 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 tem1S ofthe 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,
25N-65
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 otherurise 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 tem1ination; 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 detennined 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:
J!~f
t/;L A flL--
Program Operator
25N-66
DIVISION OF EMPLOYMENT SERVICES
PLACE OF PERFORMANCE
FOR CERTIFICATION REGARDING DRUG-FREE
,VORKPLACE REQUIREMENTS
Name:
Name of COtItractor:
Contractor Number:
Date:
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 ofPerfonnance (include street address, city, county, state, zip code for each site):
.._-....._____..-.:__'0;__""'.....-..___.......---...
--."""""""~~,..~_..",....~~~~___==__~,_,=_~___~~_:........".................~"'~,...._..T.,,~_.~
---.".......................""""'~-..,.,......""""..~...-.,.,...........~-"..--~..,...._-----,-,-_...---~.,.,...,......-.,_....'.........--,..---"'._,-.-.....,..-.--,-,-".-.-,
__.~_~._.__._,_.___._._'____,_.._.....~A~_.~._.._,_.___...,_.__,...._.______~__~._,.__-...__""_____._._________"'___..._._.__,'____._.-~_....,..,,^---._-
25N-67
Exhibit F
PAYMENT SCHEDULE
Over the period of the contract, quarterly reports are to be made to the Oversight and
Dat~ Committee with a final report made to the Workforce Investment Board (WID) once
all four quarters have been studied all'd a final Retnm on Investment (ROT) report issued.
The total cost of the study is not to exceed $20,000, Partial payments of no more than
one-quarter of the total may be requested after any three (3) presentations of quarterly
results to the Oversight and Data Committee, The final invoice may be submitted after
presentation of the final written report to the Workforce Investment Board.
25N-68
Exhibit H
Certification Regarding
Debarment, Suspension, Ineligibility and Voluntary Exclusion
Lower Tier Covered Transactions
Tllls 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 vn of the May 26, 1988 Federal Register (pages 19160-19211), Before
compJetinl?: certification, read the attached instructions.
r 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 debaued, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from covered transactions by any federal department or agency;
b, Have not within a three-year period preceding this proposal been convicted or had a
civil judgment rendered against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing a public (federal, state,
or local) transaction or contract under a public transaction; violation of federal or state
antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making false statements or receiving stolen property;
c. Are not presently indicted for or otherwise criminally or civilly charged by a
government entity (federal, state or local) with commission of any of the offenses
enumerated in paragraph (l)(b) of this certification; and
d. Have not within a three year period preceding tlus application/proposal had one or more
public transaction (federal, state or local) tenninated for cause or default.
2. Vlhere the prospective primary recipient of federal funds is unable to certify to any of the
statements in this certification, such prospective participant shall attach an explanation to
tIus proposal.
c"tlr m:L-~ CORPORATIOR
Grantee/Contractor Org3.1uzation
William M. Dickerson
Executive Director
Name and Title of Official Authorized to Certify
On BCI::Zle Grant'Z
i~ .~, ~~/L
SIgnature Date
25N-69
INSTRUCTIONS FOR CERTIFICATION
1. By signing and submitting this proposal, the prospective recipient of federal assistance funds 1S
providing the certification as set out below.
2. The certification in this clause is a material representation of fact 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
assistan~e funds learns that ~ts certificatio~ was erroneous when submitted or has become erroneous
by reason of changed circumstances,
4, The terms "covered transaction," "debarred," "suspended, II "ineligible," "lower tier covered
transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and
"voluntarily excluded," as used in this clause, 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 of those 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 further agrees by submitting this proposal that it
will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and
voluntary exclusion - Lower Tier Covered Transactions," v"ithout modification, in all lower tier
covered transactions and in all solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a
lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded
from the covered transaction, unless it knows that the certification is erroneous. A participant may
decide the method and frequency by which it determines the eligibility of its principals. Each
participant may, but is not required to check the List of Parties Excluded from Procurement or Non-
Procurement Programs.
8. Nothing contained in the foregoing shall be construed to require establislunent of a system of records
in order to render in good faith the certification required by this clause. The knowledge and
information of a participant is not required to exceed that which, is nonnally possessed by a prudent
person in the ordinary course of business dealings.
9. 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 voluntarily 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.
Debarment cert. ] -08
25N-70