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HomeMy WebLinkAboutORANGE COUNTY CHILDREN’S THERAPEUTIC ARTS CENTER 13City of Santa Ana Clerk of the Council AGREEMENT TERMINATION l f Please complete this form when the attached agreement is no longer in effect _ Return form to the Clerk of the Council Office (M-30). CITY Call 647-6520 if you have any questiops. The agreement with 1) r G/ti�C✓htoj�2� 03 No. A-2008- � �-\ 4 1 0/ Ctwas completed on (in (0w and final payment has een made. Department: Phone/Ext.: r // ,�0-4� Signature: Date: �0-4 qbiO �W1MM7 A-2008-221 INSURANCE ON Hl,l WORK MAY PRXE UNTIL INSA. _-- _ - -- CLERK OF COUNCIL Contract No. MTE. QV�GI� AGREEMENT UNDER THE «'ORKFORCE INVESTMENT ACT THIS AGREEMENT. made and entered into this IS'day of August. 2008 by and between the Cite of Santa Ana. a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("CITY") and Orange County Children's Therapeutic Arts Center ("CONTRACTOR"). W-I-T-N-E-S-S-E-T-H Recitals: A. CITY has been designated a Local Workforce Investment Area (LWIA) under the Workforce Investment Act of 1998. Public Lau- 105-220 ("the Act"). B. The State of California has created the LWIA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWIA. CITY is entitled to receive federal funds to establish programs to prepare economically disadvantaged youths for entry into the labor market and to provide basic skills development to those individuals who are economically disadvantaged or otherwise face serious barriers to succeeding in life. One goal of California's NN'orkforce Investment System is to provide youth with the opportunities to achieve career goals that will allow them to successfully compete in the labor market and prepare them for higher education. D. CONTRACTOR is experienced in operating education. occupational development and employment programs for economically_ disadvantaged youths for entry into the labor market ("said program"). E. CONTRACTOR is willing to operate said program pursuant to the Act and California law. �7-HEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made. and subject to all the terms and conditions hereof. the parties hereto do hereby agree as follows: I. CONTRACTOR'S OBLIGATIONS Page 1 of 14 A. CONTRACTOR agrees to provide the following services pursuant to said program. as more specifically set forth in CONTRACTOR'S program narrative contained in "Exhibit A" and in the Statement of Work (Exhibit B). attached hereto and by this reference incorporated herein: CONTRACTOR'S failure to provide said services may be grounds for CITY to readjust the level of payment to CONTRACTOR otherwise provided for hereinafter. B. CONTRACTOR agrees to provide benefits to individuals who participate in the activities and sen�ices funded by this Agreement ("participants") in accordance with the standards and requirements set forth in Workforce Investment Act of 1998. Public Law 105-220. C. CONTRACTOR agrees to perform the services set forth herein in a professional, timely and diligent manner. D. CONTRACTOR shall provide wages and benefits to individuals who participate in the activities and services funded by this Agreement ("participants") in accordance with the standards and requirements of the Act. including Section 181 of the Act. E. CONTRACTOR shall adhere to the Labor Standards described in the Act including Section 181 of the Act. F. CONTRACTOR agrees to comply with the "Complaint Handling Procedures under the WIA", attached hereto as "Exhibit C" and incorporated herein as though fully set forth in 20 CFR §667.200, Subpart F. CONTRACTOR shall advise participants of their rights to file complaints under the Act and the procedures for resolution of any complaints. CITY's procedures for handling complaints alleging a violation of the Act. regulations, grants, or other agreements under the Act shall be followed and anv decision of CITY. the State or the federal government relating to the complaint shall be binding and followed by CONTRACTOR. CONTRACTORS who are employers shall operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to the teens and conditions of employment: these procedures shall be approved in writing by CITY. G. As a condition of this award of financial assistance under the Act to CONTRACTOR from CITY, CONTRACTOR assures, with respect to operation of all programs or activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry out such programs or activities. that it will compl}- fully with the nondiscrimination and equal opportunity provisions of the Act (Section 188): the Nontraditional Employment for Women Act of 1991: Title VI of the Civil Rights Act of 1964, as amended. section 504 of the Rehabilitation Act of 1973. as amended. the Age Discrimination Act of 1975, as amended: the Americans with Disabilities Act of 1990: and with all applicable requirements imposed by or pursuant to regulations implementing those laws, including. but not limited to, 29 CFR part 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance. H. CONTRACTOR agrees that no participant(s) shall cominence training prior to the approval of funding pursuant to Section 123 of the Act. Page 2 of 14 1. CONTRACTOR agrees to maintain such records and submit such reports. data and information, on the form and containing such information. at such times as CITY may request or require regarding the performance of CONTRACTOR'S services or activities.. costs or other data. including but not limited to, participants' attendance. payroll records and job duty statements. CONTRACTOR agrees to forward to the Santa Ana Work Center Administrative Office. 1000 East Santa Ana Blvd.. Suite 200. Santa Ana. California 92701 a completed Workforce Investment Act Application form (WIA ENVIR) and supporting documents within 45 days of application date: a complete Workforce Investment Act Enrollment/Registration form (WIA EWIE) and Workforce Investment Act Goals form (WIA EWIG) must be submitted along with the WIA EWIR any subsequent updates to EVA'IE and for EWIG must be completed within 10 days of the begin date of activity or end date of an activity: Workforce Investment Act Youth Test Scores form (WIA EYTS) within 30 days of application date: Workforce Investment Act Exit form (WIA EWIT) within 15 days of completion/termination of active enrollment of trainee: and the Workforce Investment Act Follow -Up Contact Information form ()AIIA EWIF) within 21 days following 30, 60. 90.180.. 270, and 360 days of exit. CITY. the State of California and the United States govermment and/or their representatives shall have access for purposes of monitoring. auditing and examining of CONTRACTOR'S activities. performance, books. documents. papers, and records of CONTRACTOR subcontractors. bookkeepers and accountants, and employees and participants related to this Agreement. Such agencies or representatives shall also schedule on -site monitoring in their discretion. Niol;itoring activities may also include. but are not limited to. questioning employees and participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of CONTRACTOR are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. In the event CONTRACTOR does not make the above -referenced documents available within the City of Santa Ana. California. CONTRACTOR agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. All accounting records and evidence pertaining to all costs of CONTRACTOR and all documents related to this Agreement shall be kept available at the location where CONTRACTOR conducted the program. as well as in the County of Orange. for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints. claims.. administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY. the State of California or the United States Government take exception.. shall be retained beyond the three (3) years until resolution of disposition of such appeals. litigation. claims, or exceptions. J. Without prejudice to any other section of this Agreement, CONTRACTOR shall.. where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements of federal and state law. Notwithstanding the foregoing, CONTRACTOR agrees to submit to CITY, the State of California and/or the United States Government or their representatives, all records requested for administrative purposes, including audits. examinations, monitoring and verification of records submitted by CONTRACTOR, costs incurred and services rendered hereunder. K. CONTRACTOR agrees to complete in triplicate, a monthly Invoice; Voucher on Page 3 of 14 CITY's Invoice"Voucher form_. showing in detail the amount of money already expended by CONTRACTOR hereunder. as this is a cash reimbursement contract. Accounting records must be supported by such source documentation such as cancelled checks. paid bills, payrolls, time and attendance records.. contract and subgrant award documents [29 CFR—Subpart C. Section 9720 (b)(6)]. CONTRACTOR agrees to submit the above -stated documents to the WIB Administrative Office, 1000 East Santa Ana Blvd., Suite 200. Santa Ana, California. 92701. by the tenth (10th) day of the month following the month in which CONTRACTOR'S services are performed. Should CONTRACTOR fail to deliver said documents to CITY. CITY shall have the option to cancel this Agreement by giving CONTRACTOR ten (10) days written notice thereof. CONTRACTOR shall either return to the CITY excess revenues over costs or use such excess revenues as program income by utilizing such program income for additional training activities authorized under the Act. L. CONTRACTOR agrees to expend all funds in accordance with all applicable federal. state and local laws and regulations. CONTRACTOR also agrees to provide at CONTRACTOR'S own expense supplies and other costs of said PROGRAM. M. CONTRACTOR shall arrange independently for an audit that includes WIA funds received from CITY, in accordance with the Act. 20 CFR Section 667.200 and OMB Circular A- 133. CONTRACTOR shall submit one original of each required audit report to CITY within (30) days after- the date received by CONTRACTOR. Should CONTRACTOR fail to comply with these requirements. CITY may at its option withhold payment of funds. or disallow funds or suspend additional grant funds. N. CONTRACTOR shall not expend funds pursuant to this Agreement to provide services to any participant where costs of training are paid for by any other person or entity. 0. CONTRACTOR shall compl', with the provisions of Circular A-102 of the U.S. Office of Management and Budget (OMB) and the related "Connmon Rule" entitled "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Govermnent", Subpart C. paragraphs 37 and 42. Circular A-128, and all other applicable federal statutes and executive orders and their implementing regulations. including regulations at 29 CFR Part 97. P. CONTRACTOR shall comply with the requirements of federal regulations found at 29 CFR 93 which provide that no appropriated funds may be expended by the recipient of a federal contract. grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan. entering into any cooperative agreement and the extension, renewal. amendment or modification of any federal contract, grant. loan or cooperative agreement. CONTRACTOR shall sign a certification to that effect in a form as set forth in "Exhibit D." attached hereto and by this reference incorporated herein. CONTRACTOR shall submit said signed certification to CITY prior to perfortning 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 tens and conditions of this Agreement. Q. CONTRACTOR agrees to provide a drug -free work place and to execute a certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference. R. CONTRACTOR, in accordance with the Child Support Compliance Act, recognizes and acknowledges the importance of child and family support obligations and shall fully comply with all state and federal laws relating to child and family support enforcement, including, but Page 4 of 14 not limited to: disclosure of information and compliance with earnings assigmnent orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Fainfly Code: and. to the best of its knowledge is fully complying with the earim"s assignment orders of all employees and is providing the names of all new employees to the New Ermployee Registry maintained by the California Employment Development Department (EDD). S. CONTRACTOR agrees to comply with all applicable provisions of the ACT and the federal regulations, including but not limited to the regulations found at 20 CFR part 629. II. CITY'S OBLIGATIONS A. CITY agrees to pay to CONTRACTOR when, if and to the extent federal funds are received under the provisions of the Act a sum not to exceed one hundred seven thousand dollars (S 107,000) for CONTRACTOR'S performance in accordance with the payment schedule attached hereto as "Exhibit F" during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by CONTRACTOR as provided heremabove. B. CITY agrees to provide for on -site monitoring reviews of said program operation at least twice annually. In addition. monthly desk -top revie«�s of pertinent information will be conducted. C. CITY has the right to de -obligate the funds hereunder and take such funding back from CONTRACTOR due to any of the following reasons: (a) lack of performance by CONTRACTOR: (b) lack of fiscal accountability of CONTRACTOR: or (c) decrease in available funding. III. TIME PERIOD OF AGREEMENT This Agreement shall commence on August 18. 2008 and all duties arising under this Agreement shall have been perfonned by June 30. 2009 . The term of this Agreement may be extended by a writing executed by the Executive Director of the Community Development Agency and the City Attorney. IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement. be construed to be an independent contractor- and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship. a joint venture relationship. or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement, however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes_. unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. Page 5 of 14 '\7. WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS A. CONTRACTOR shall use appropriate funds received from CIT i 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. `'I. 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 Perfonnance Standards (Exhibit B) and general program requirements described in Sections 106 and 141 of the Act (29 USC Sections 1516 and 1551) and applicable regulations. and the U.S. Department of Labor guidelines and regulations. including amendments or revisions made during the teens of this Agreement Said applicable laws are hereby incorporated by reference and made as part of this Agreement as though fully set forth herein. B. CONTRACTOR also assures and certifies that: 1. CONTRACTOR acknowledges and confines that the U.S. Department of Labor has established three (3) performance measures for all youth ages 14-21. Pending WIA reauthorization and or U.S. Department of Labor and EDD updates, CONTRACTOR agrees to implement and shall meet any additional performance measures that may be subsequently required by the Workforce Investment Act or by anv other Federal. State. and local law. 2. CONTRACTOR shall comply with Title VII of the Civil Rights Act of 1964 (P.L. 83-354) and in accordance with Title VII of the Act, no person shall, on the grounds of race. color. religion. sex. age. handicap or national origin be excluded from participation in, be denied the benefits of. or be otherwise subjected to discrimination under this Agreement. 3. CONTRACTOR shall comply with any and all federal laws limiting the political activity of employees hired under this Agreement. 4. CONTRACTOR shall comply with the requirements that no program under the Act shall involve political activities. 5. RECORD INSPECTION. CONTRACTOR shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative. as well as the WIB Administrative Office. access to and the right to examine all records. books. papers or documents relating to the accounting and use of funds under this Agreement for a three-year period from and after the effective date of this Agreement. 6. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any application for participation in Page 6 of 14 such program because of race, creed. color.. national origin, sex.. political affiliation or beliefs. CONTRACTOR shall maintain appropriate standards for health and safety in work and training situations S. CONTRACTOR shall comply with general provisions. assurances. and certifications attached hereto as "Exhibit G" and incorporated herein. 9. EQUAL OPPORTUNITY. Any literature distributed by CONTRACTOR for the purpose of apprising businesses. participants, or the general public of its programs under this Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity employer,program" and that "auxiliarv� aids and services are available upon request to individuals with disabilities." 10. Based on the population eligible to be served. or likely to be directly affected by the WIA program or activity. the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity. Pursuant to 29 CFR 37.35, the Contractor must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity. and the size and concentration of the population that needs services or infomnation in a language other than English. 11. CONTRACTOR certifies that all property. finished or unfinished documents. data. studies and reports prepared or purchased under this Agreement, will be disposed of in accordance with the direction of the CITY. In addition. any tools and/or equipment furnished to the CONTRACTOR by the CITY and, or purchased by the CONTRACTOR with funds pursuant to this Agreement. will be limited to use within the activities outlined in this agreement and will remain the property of the -United States Government and/or- CITY. Upon termination of this Agreement, CONTRACTOR will immediately return such tools and/or equipment to the CITY or dispose of them in accordance with the direction of the CITY. 12. CONTRACTOR certifies that this Agreement does not provide for the advancement or aid to any religious sect.. church or creed. or sectarian purpose nor does it help to support or sustain any school. college, university, hospital or other institution controlled by any religious creed. church, or sectarian denomination, as specified by Article XVI, Section 5. of the Constitution of the State of California, regarding separation of church and state. 13. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The CONTRACTOR will disclose to the CITY any invention. written product. computer program developed or data assembled as a result of perfonnance of work under this Agreement within seventy four (74) days of invention. development or assembly. The CITY, State of California, and U.S. Department of Labor will have the right to patent any invention and copyright any written product or computer program or data generated by CONTRACTOR. Upon written request_ CONTRACTOR will transfer all pertinent information, specifications and right, title and interest to the designated agency. 14. INVENTIONS. PATENTS AND COPYRIGHTS. A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the CONTRACTOR shall report the fact promptly and fully to the CITY. The CITY shall Page 7 of 14 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 deten-ninewhether to seek protection on the invention or discovery. The DOL and its representative shall deterniine how the nuhtsin 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 "Govenimental Patent Policy" (President's Memorandum for Heads of Executive Departments and .Agencies. August 23. 1971' and Statement of Goverritnent Patent Policy as printed in 36 FR 16889). B. Copyright Police. 1. Unless otherwise provided in the terms of the grant or agreement. when copyright - able material is developed in the course of or under a DOL Grant or agreement. the author and the CITY which developed the work is free to copyright material or to permit others to do so. The CONTRACTOR and the Workforce Investment Board (WIB) shall have a royalty -free, nonexclusive and irrevocable license to reproduce. publish. use and to authorize others to use all copyrighted material. ?. 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 anv work developed under any grant, sub -grant. or contract under a grant or subgrant: (b) Any right of copyright to which a grantee. subgrantee or a CONTRACTOR purchases ownership with grant support: and (c) CONTRACTOR shall comply" with the requirements of 29 CFR Part 97.34. C. Rights to Data. The DOL and the CITY shall have unlimited rights to an}� data first procured or delivered under this Agreement. 15. CLEAN AIR,," CLEAN WATER ACT. If the grant hereunder exceeds S 100.000. CONTRACTOR must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)]: Section 508 of the Clean Water Act (33 USC 1368): Executive Order 11738 and Environmental Protection Agency ("EPA") regulations (40 CFR Part 15) as any may now exist or be hereafter amended. Under these laws and regulations. the CONTRACTOR assures that: (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities:. (b) It will notify CITY prior to award of the receipt of any communication from the Director. Office of Federal Activities. U.S. EPA. indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities: (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. C. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT: 1. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial political gain. CONTRACTOR, its officers and employees. in administering this Agreement, will avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain. Page 8 of 14 ?. Employment of Former State or CITY Emplovees. 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. 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. Conductin V Business Involving Close personal Friends and Associates. Executives and employees of CONTRACTOR will be particularly aware of the varying degrees of influence that can be exerted by personal friends and associates and. in administering this Agreement. will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for CONTRACTOR to conduct business with a friend or associate of an executive or employee of CONTRACTOR; an elected official in the area or a voting or non -voting member of the Workforce Investment Board (WIB). a permanent record of the transaction will be retained. 5. Avoidance of Conflict of Economic Interest. No executive or employee of CO NTP.ACTOR 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. N'II. 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. indemnifV and save harmless CITY.. its officers. agents and employees. from any and all claims.. demands. suits. actions or proceedings of any kind or nature.. including. but not by way of limitation. workers' compensation claims, resulting from or arising out of the negligent acts. errors or omission of CONTRACTOR. its employees or subcontractors. B. CONTRACTOR shall indenuf , and save hannless CITY. its officers. agents and employees. from and against any and all damages to property or injuries to or death of any person or persons.. including property and employees or agents of CITY. and shall defend. indemnify and save harmless CITY, its officers. agents and employees. from and against any and all claims. demands. suits. actions or proceedings therefore. resulting from or arising out of the intentional or malicious acts of CONTRACTOR, its employees or subcontractors. VHL INSURANCE Page 9 of 14 1. Commercial General Liability. CONTRACTOR agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial public liability insurance insuring the State of California. CITY. and CONTRACTOR against any liability for accident, injury or death arising out of or in consequence of this Agreement Such insurance shall be in an amount not less than One Million Dollars (S 1,000,000.00) for any in)ury to or death of any person or persons in an}° single accident or occurrence. Said police of comprehensive public liability insurance shall be endorsed to provide to CITY and to the State of California. Employment Development Department" at least thirty (30) days written notice prior to cancellation: name CITY. its officers, agents. employees. and volunteers. and the State of California. its officers, employees. and volunteers as additional insured. and state that such coverage is primary to any other coverage or self-insurance of the State of California and CITY. Governmental entities may substitute a certificate of self-insurance. ?. Automobile Liability Coverage. CONTRACTOR shall also obtain and maintain. during the effective period of this Agreement.. broad form automobile liability coverage with a S1.000.000 limit unless reduced by CITY. which applies to both owned/leased and non -owned automobiles used by CONTRACTOR employees or participants in performance of this Agreement. or, in the event that CITY will not utilize such owned!leased automobiles but intends to require emplovees, participants or other agents to utilize their own automobiles in the performance of this Agreement. CONTRACTOR shall secure and maintain on file from all such employees. participants" or agents as self -certification of automobile insurance coverage. Governmental entities may substitute a certificate of self-insurance. 3. Workers' Compensation. If CONTRACTOR is an "employer".. as set forth in California Labor Code Section 3300 et seq.. or utilizes participants as "employees." as set forth in California Labor Code Section 3350 et seq., CONTRACTOR shall obtain and keep in force during the teen of this Agreement full Workers' Compensation insurance coverage for injuries suffered by participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification. CONTRACTOR shall cam medical and accident insurance for those participants not qualifying as "employees" for Worker's Compensation Coverage. pursuant to California Labor Code Section 3350. et seq. 4. Equipment Coverage. CONTRACTOR shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by CONTRACTOR in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof. providing protection against the classification of fire.. extended coverage. vandalism. malicious mischief" theft. and special extended perils. Govermnental entities may substitute a certificate of self-insurance. 5. Proof of Insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. CONTRACTOR understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. Ix. CORPORATE STATUS All corporate CONTRACTORS shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in corporate status or suspension shall be reported immediately to CITY. Page 10 of 14 N. 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 assigiunent shall terminate or alter the legal obligations of CONTRACTOR pursuant to this Agreement. NI. LAVVS GOVERNING THIS AGREEMENT In its perforinance under this Agreement. CONTRACTOR shall fully comply with the requirements of the following. whether or not otherwise refer ed to in this Agreement: 1. The Act and all applicable federal statutes. regulations. policies. procedures and directives. including but not limited to. 20 C.F.R. Parts 652 and 660 through 671. 2. All applicable State statutes. regulations. policies. procedures and directives: All applicable CITY policies. procedures and directives: 4. All. applicable local ordinances and requirements. including use permits and licensing: �. Court orders applicable to its operation. and. 6. The terns 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 tenminate this Agreement. if necessary. XII. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements.. either oral or in writing. between the parties hereto with respect to the employment of CONTRACTOR by CITY. and contains all the covenants and agreements between the parties with respect to such employment. Each party to this Agrm eeent acknowledges that no representations, inducements. promises or agreements.. orally or otherwise, have been made by any party, or an,, acting on behalf of any party, which are not embodied herein. and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and CONTRACTOR. XIII. FRAUD CONTRACTOR shall ulimediately report to CITY all instances and facts concerning possible fraud. abuse or criminal activity relating to expenditure or receipt of funds under this Agreement. XIV. Page 11 of 14 CONTINGENCY OF FUNDS CONTRACTOR acknowledges that approval of and funding for this Agreement is contingent upon State approval. and funds received or obligated from the State of California to CITY. If such approval of funds is not forthcoming. or is otherwise limited. CITY" shall immediately notIA, CONTRACTOR. Within twenty_ (20) days of receipt of such notice. CONTRACTOR shall modify or cease operations as directed by CITY and negotiate necessary modification to this Agreement and/or reimbursement of costs incurred hereunder. XV. TERMINATION This Agreement may be terminated by either party at its sole discretion. upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. However. CONTRACTOR may not terminate this Agreement if undue hardship will result to any participant. XV1. 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 Citv shall be final and conclusive unless within thirty (30) calendar days from the mailing or deliver\, of such copy.. CITY receives from CONTRACTOR written request to appeal said decision. Procedures governing the appeal shall be prescribed by CITY and/or the State of California in accordance with the Act and all corresponding regulations and OMB circulars. Pending final disposition of the appeal. CONTRACTOR shall act in accordance with CITY's decision unless the dispute involves a change order. XY'II. BREACH - SANCTIONS I£ through any cause. CONTRACTOR violates any of the terms and conditions of this Agreement. and/or prior agreements whereby grant funds were received by CONTRACTOR pursuant to this Agreement. or if CONTRACTOR reports inaccurately or if any Audit Report makes disallowances. CONTRACTOR shall promptly remedy its acts or omissions and/or repay CITY all amounts due CITY as a result of CONTRACTOR's violation. For any such failures or violations. CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such time as CONTRACTOR fulfills its obligations or remedies all violations of this agreement or prior agreements: and/or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice CONTRACTOR has failed to repay same or a repayment schedule has not been made. and/or (3) tenminate this Agreement by giving written notice to CONTRACTOR of such tennination in accordance the notice provision in Paragraph XVIII herein below. XVIII. NOTICES Page 12 of 14 All notices. reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail. postage prepaid. addressed as follows: and. CITY: Citv of Santa Ana Manager. VdIB .Administrative Office P.O. Box 198S (M-73) Santa Ana. CA 92702 CLERK: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Boa 1988 Santa .Ana. CA 92702-1988 Telefacsimile (714) 647-6956 CONTRACTOR: Orange County Children's Therapeutic Arts Center 2215 N. Broad,,vav Santa Ana.. CA 92 7 06 (714) 547-5468 Telefacsimile (714) 564-9690 X1X. MERGER This Agreement. together with the attachments hereto, expresses the total understanding of the parties. There are no oral understandings of the parties or ten -is 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 herembelow has the power. authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. Page 13 of 14 b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above -written. ATTEST: Patricia E. Healy Clerk of the Council APPROVED AS TO FORM: Joseph W. Fletcher Citv Attorney Lisa E. Storck Assistant City Attorney RECOMMEND FOR APPROVAL: r Cynth a J. Nels i Deputy City Manager for Development Services CITY OF SANTA ANA, a municipal corporation of the State of California "CITEY" Bv: David N. R City Manager "CONTRACTOR" BY: Name: Dr. Ana Jim ez-Harm Title: Executive Director Tax ID #: 33-0930891 Page 14 of 14 Exhibit A PROPOSAL NARRATIVE for YSPN Membership I. About the Program A. Executive Summary 1. Which WIA population will the program recruit and serve? 2. Indicate how many participants to be served. The OCCTAC Arts & Learning Academy program will recruit and serve 15 out -of -school youth (ages 17-21) with disabilities of limited resources from the City of Santa Ana. OCCTAC will provide participants educational skills and job training, paid work experience, mentoring, tutoring, counseling, leadership opportunities, and support services. 3. Describe how this program fits in with programs currently being offered by your agency. Founded in 2000, OCCTAC has quickly grown to be recognized as one of Santa Ana's leading community builders for children and youth with special needs. We are proud to say that OCCTAC is a unique organization in Orange County. OCCTAC is the only agency in Santa Ana that successfully integrates youth with and without disabilities in a nurturing and supportive environment that teaches respect, disability awareness, cultural diversity and inclusion with an emphasis in the arts and education. Currently, OCCTAC offers a wide variety of educational and therapeutic programs for youth with special needs, including learning disabilities, health impairments, developmental and emotional disabilities. The WIA program is an extension of services to a population that we have already been serving for 8 years! Some examples of our programs include: after -school arts, after school learning academy program, tutoring, media lab and technology training, leadership and support groups, counseling and others. 4. Indicate which of the 10 WIA elements the program will offer. The OCCTAC Arts & Learning Academy program will offer 9 of the 10 WIA elements, with the exception of alternative secondary school services to participants. OCCTAC Arts and Learning Academy program has a strong emphasis on mentoring, tutoring, leadership, support services, counseling and hands-on job training in the fields of education, arts and technology. 5. Indicate planned outcomes. The OCCTAC Arts and Learning Academy program will offer out -of -school youth with disabilities the opportunity to acquire the necessary skills to successfully transition into the workforce, and further their education and training. The goals of the program are to build participants' self-esteem and confidence, academic improvement, leadership skills, workforce preparation and experience through structured educational and job training opportunities in the fields of arts, education and technology at OCCTAC. 6. Describe the basic program approach (workshop/classroom/community). The OCCTAC Arts and Learning Academy program will take will take place primarily at our community -based center. WIA participants will engage in a variety of educational and job training activities, including classroom and workshop instruction, as well as community placements to gain work experience, and further their education and training. Participants will be required to meet individually with key staff, participate in monthly workshops, and engage in weekly "hands-on" job training opportunities in our various programs at the center and community sites (e.i., school district, community centers). During the first two months of the program, all WIA participants will be required to attend a minimum of 5 hours per week, and meet individually with each team member (case manager, literacyfinath instructor, arts/technology mentor, and career counselor) in order to collaboratively detennine their needs (academic, educational and career goals), and identify their job training interests, and placement site. Please see Table 3. The case manager will develop a weekly schedule with each participant to fulfill their minimum requirements during the first two months. During months 3 — 8, WIA participants will start their "hands-on" job training opportunities while they continue to meet with our key staff (weekly and/or monthly) to fulfill their education and career training goals. Participants will be placed in the in one of six OCCTAC programs/job training placements at our Center or community sites: 1) OCCTAC Early Start Program, 2) OCCTAC Preschool Program, 3) OCCTAC After -School Arts Program, 4) OCCTAC Learning Academy Program, 5) OCCTAC Media Lab and 6) OCCTAC Office/reception. Please see Table 3. During this period of time, all WIA participants will be employed and receive $8.00 per hour, and encouraged to work up to 10 hours per week. Participants will also be expected to continue the tutoring and other support services they are receiving at the Center while they engage in work experience. During the last 4 months of the program, WIA participants will slowly transition out of work experiences at the center, and into other job interviews and opportunities in the community. During this last period the case manager will work closely with the SAUSD TPP job developer to help find youth a job in the community. 7. Describe how you will conduct outreach and recruitment. Include how enrollment goals will be met by the second quarter of the contract. S. Describe collaborations/ partnerships that will assist in recruitment. OCCTAC has entered into a strong partnership with the Santa Ana Unified School District, Transition Partnership Project (TPP) to serve youth with disabilities exiting high school. (See letter of support). In collaboration with the SAUSD Transition Partnership Project, we will ensure that our enrollment goals will be met by the second quarter of the contract. OCCTAC staff and SAUSD TPP staff will meet on a regular basis to discuss potential candidates. SAUSD staff will refer mild -moderate students with special needs to our program after they have exited high school, but lack the necessary skills to successfully transition in the labor force and need further education and training. Most of the participants referred will be high functioning special needs youth, including specific learning disabilities, autism, health impairments and others. OCCTAC will provide participants further educational skills and job training, paid work experience, mentoring, tutoring; counseling, leadership opportunities, and support services. In addition, over the past 8 years, OCCTAC has established other partnerships with key agencies in our community, including the County of Orange (Social Services), the Regional Center, the Santa Ana College and several family resource centers. These partnering agencies have referred participants to OCCTAC in the past, as well as provided additional services to our participants, such as: support groups, parenting, leadership adult classes (including ESL, technology, and parenting), and others. These partnerships have been essential for the development and expansion of the services that we provide our community. Finally, during the last two years, OCCTAC has also partnered with Project Rytmo to provide music technology and co -enroll participants in our respective programs, and the Santa Ana Work Center for support services. OCCTAC will continue to build on these new and old partnerships to ensure that our enrollment goals are met, as well as to expand the level of services we provide to all of our WIA participants! c 9. Describe how adequate staffing will be maintained to ensure success of this program. The key staff for this program will consist of l full-time case manager, 1 part time arts/technology mentor, I part-time literacy & math tutor, and 1 part-time counselor. Under the supervision of our OCCTAC Programs Director, the work, performance levels and progress of each WIA participant will be monitored on a regular basis by our key staff. The staff will meet bi-monthly to discuss the goals, progress, and services for each student. In addition to our key staff, OCCTAC will also provide other non-WIA support staff, including credentialed teachers/educators, professional artists, and counselors in our various programs to serve as mentors for WIA participants as they engage in work related experiences and other support services. When participants are ready to engage in work experience, they will be placed in a program of their choice and monitored by both the key staff and support staff at OCCTAC. There are 5 full-time and 30 part-time staff members available to all youth enrolled at our center. OCCTAC staff members will work with each youth on a daily, weekly or monthly basis, depending on the service components, such as mentoring, instruction and support services. Furthermore, OCCTAC key staff and the SAUSD Transition Partnership Program staff will meet on a regular basis to discuss other support services that can provide to the WIA participants. B. Main Purpose of Program 1. Indicate what will the program accomplish and how it fits in with WIA goals. The main purpose of the OCCTAC Arts & Learning Academy Program is to provide out -of -school youth with special needs the opportunity to acquire the necessary skills to successfully transition into the workforce, and further their education and training. The program will provide "hands-on" job training and mentoring experiences in the fields of arts, education and technology to young adults with special needs with the goal of teaching them self-reliance through structured educational and job training opportunities. OCCTAC will provide WIA participants educational skills, paid work experience, mentoring, tutoring, counseling, leadership opportunities, and support services. The program will build participants' self-esteem and confidence, academic improvement, leadership skills, workforce preparation and experience in the fields of education, arts or technology to further their educational skills and future job opportunities. Through our various educational programs and "hands-on" job training efforts, youth will acquire essential skills while learning to adhere to basic employment principles, such as: showing up on time and as scheduled, filling out time -sheets, working in collaboration with others, attending staff meetings, and others. All of these goals are in complete alignment with WIA common measures and goals! 2. What is the length of the program? In order for participants to get the full benefit of our program and each component offered, WIA participants are required to commit to at least 8 months of training and work experience. 3. How often will the WIA participant need to attend the program and how often are specific activities offered (daily/weekly/monthly)? WIA participants will need to attend the program on a weekly basis in order to comply with the requirements of the program. Participants will be supported through a variety of (daily/weekly/monthly) activities that will keep them interested and engaged in the program. Please see table one. 4. What is the frequency of staff interaction with WIA participants? Will other non-WIA agency staff be providing elements of the program? Please describe. The frequency of staff 4 interaction with WIA participants will vary depending on the services provided and at what stage the participants are in the program. Yes! Other non-WIA agency staff members will also provide elements of the program to the participants. Please see table one and two. TABLE l: Program Activities & OCCTAC Staff Weekly Activities Bi-Monthly Activities Monthly Activities Emphasis: Tutoring, Career Emphasis: Employability/ Emphasis: Life Skills and Training Skills & Work Job Skills & Career Goals Leadership Training Experience Meet with Literacy/ Math * Meet with Case Manager at * Participate at least once a Coach to receive weekly least twice a month to discuss month in life -skills sessions tutoring in academic/basic goals, progress, performance or leadership training skills. levels, and learn employability/ provided by the counselor job skills. and/or the MFT intern at Participate in weekly OCCTAC. Educational and Career * Meet with the Career Training Skills with the Counselor to discuss * Participate once a month Art/Technology Mentor and/or educational and career goals in a monthly social/ support engage in Work Experience and pursue higher education group with other WIA with other non-WIA support programs. participants and staff. staff at the center. I li TABLE 2: Program Timeline and Training j Program Timeline j Month 1 Emphasis: Assessment & Goals Program Activities & Training * Program Orientation with Case Manager * Assessment of Employability/Job skills with Case Manager * Assessment of Basic Skills/Academic levels with Literacy & Math tutor * Assessment of Career/Training Skills with Arts/Technology mentor * Career Survey/ Assessment and Goals with Career Counselor or Intern j Month 2 * Start bi-monthly meetings with case manger to discuss Goals and service needs of participants. Emphasis: * Start weekly Tutoring of Academic/Basic Skills Tutoring & * Start weekly educationaV career training skills Educational/Career * Start monthly social/ support group with other WIA participants and Training skills staff. Months * Start weekly Paid Work Experience 3-8 * Start monthly Life Skills Training or Leadership Groups * Continue bi-monthly meetings with case manger to discuss progress Emphasis: * Continue weekly Tutoring of Academic/Basic skills Job Training & * Continue monthly social/ support group with other WIA participants and Work Experience staff. Month 9 — 12 * Continue bi-monthly meetings with case manger to discuss progress, employability skills and job search Emphasis: * Continue Tutoring, if necessary Employability/Job * Continue monthly Life Skills Training Skills & Job * Continue monthly sociali support group with other WIA participants and Search staff. The OCCTAC Arts and Learning Academy program will take will take place primarily at our community -based center. WIA participants will engage in a variety of educational and job training activities, including classroom and workshop instruction, as well as community placements to gain work experience, and further their education and training. Participants will be required to meet individually with key staff, participate in monthly workshops, and engage in weekly "hands-on" job training opportunities in our various programs at the center and community sites (e.i., school district, community centers). During the first two months of the program, all WIA participants will be required to attend a minimum of 5 hours per week, and meet individually with each team member (case manager, literacy/math instructor, arts/technology mentor, and career counselor) in order to collaboratively determine their needs (academic, educational and career goals), and identify their job training interests, and placement site. Please see Table 3. The case manager will develop a weekly schedule with each participant to fulfill their minimum requirements during the first two months. During months 3 — 8, WIA participants will start their "hands-on" job training opportunities while they continue to meet with our key staff (weekly and/or monthly) to fulfill their education and career training goals. Participants will be placed in the in one of six OCCTAC programs/job training placements at our Center or community sites: 1) OCCTAC Early Start Program, 2) OCCTAC Preschool Program, 3) OCCTAC After -School Arts Program, 4) OCCTAC Learning Academy Program, 5) OCCTAC Media Lab and 6) OCCTAC Office/reception. Please see Table 3. During this period of time, all WIA participants will be employed and receive $8.00 per hour, and encouraged to work up to 10 hours per week. Participants will also be expected to continue the tutoring and other support services they are receiving at the Center while they engage in work experience. During the last 4 months of the program, WIA participants will slowly transition out of work experiences at the center, and into other job interviews and opportunities in the community. During this last program phase, the case manager will work closely with the SAUSD TPP job developer to help find youth a job in the community. TABLE 3: OCCTAC MENTORING & JOB TRAINING PROGRAMS Area of Job Placement i EducationaI/ Training Training Curriculum Tutor _ Education or Learning Academy Host Curriculum Instructional Assistant Education Child Care Assistant Early Start Program First Five or Teacher Aid Preschool Program "Estrellitas" and Hampton -Brown CA Performing Arts Arts Arts Teacher or After -School ARTS Standards/Curriculum Assistant Program and "Hands-on" Arts Training Technology 1 Technology Assistant Computers/ Technology Graphic Artist i Media LAB curriculum Office/Reception I� Receptionist Office "Hands on" Training Office Assistant 5. What services will be offered after youth exit the program? OCCTAC staff will provide 12 month follow-up services for "exited" participants. OCCTAC is committed to empowering transitional age youth with special needs to reach their highest potential in life. WIA participants that exit the program will be encouraged to continue to participate in the monthly Life Skills Training, monthly social/ support groups with other WIA participants, as well as other support services (including counseling). All OCCTAC key staff will be available to support participants if needed. C. Goals / Objectives and Performance Levels The OCCTAC Arts and Learning Academy program will offer out -of -school youth with disabilities the opportunity to acquire the necessary skills to successfully transition into the workforce, and further their education and training. The goals of the program are to build participants' self-esteem and confidence, academic improvement, leadership skills, workforce preparation and experience by teaching them self-reliance through structured educational and job training opportunities. As previously mentioned, OCCTAC staff will recruit 15 out -of -school youth with disabilities and work very closely with the Santa Ana Unified School District Transition Partnership Program to ensure that our enrollment goals will be met by the second quarter of the contract. Youth who meet the requirements for enrollment will take part in an interview and an assessment process prior to starting the educational and job training at the OCCTAC Arts & Learning Academy program. The Individual Educational Plan of participants provided by the school district will be taken into account when identifying academic/basic skills of the participants. In addition, other assessments will be used to identify the literacy levels of each participant. The TABE assessment will be used to identify basic skill deficiencies if they are not reported in the IEP, and the STAR Reading and HOST Learner link assessments will be used to identify the literacy levels of each student. These assessment tools will be conducted as pre and post tests to measure growth across time. The literacy assessment will help also determine the placement for those participants interested in being "mentors/tutors", and help guide each WIA participant in their educational/academic goals. Academic assistance (and literacy coaching) will be provided to each WIA participant on a one- to-one basis via the Literacy Instructor/Mentor and the Career counselor. Each participant will meet at least once a week with the literacy or math instructor to learn a variety of academic and learning strategies to help participants further their educational goals. These strategies will help them enhance their own literacy skills, as well as how to help other younger students in an educational setting. The Career Counselor will also help students by helping them determine their educational and career goals and help guide them into higher education. The work, performance levels and progress of each WIA participant will be monitored on a regular basis by our key staff: case manager, literacy/math coach, arts/technology mentor and counselor. The team will meet bi-monthly to discuss the needs, goals, and services for each participant. The Case manager will meet bi-monthly with each participant to discuss goals, monitor their progress and documentation on the job (e.g., time sheets, etc), assist with employability skills training (e.g., resume writing, etc.), and help youth with job development. The Arts'Technology Instructor/ Mentor will provide career training, and mentor the students while they are on the job every week. Other non-WIA support staff at the center will also mentor participants on the job and provide the necessary guidance to empower youth to succeed and gain the necessary skills to reach their work experience goals. The Literacy/Math Coach will meet individually with each participant to help participants improve their academic/basic skills and prepare for higher education. The Career Counselor will meet bi-monthly with each participant to guide them in their career paths, as well as coordinate monthly life -skills sessions with all participants. D. Program Description 1. Describe the overall services that will be made available to the WIA participant. The OCCTAC Arts & Learning Academy program will serve 15 out -of -school youth (ages 17- 21) with disabilities of limited resources from the City of Santa Ana. OCCTAC will provide participants educational skills and job training, paid work experience, mentoring, tutoring, counseling, leadership opportunities, and support services. Eligible youth will have the opportunity to participate in educational and "hands-on" job training in the fields of arts, education and technology. Overall, WIA participants enrolled in OCCTAC programs will focuses on four key areas: Career Training Skills — educational and work experience, Employability/Job Skills — job preparation, Life Skills — on going personal development, and Academic/Basic Skills — on going academic development. Please see Table four. 8 TABLE 4 Career Training Skills Employability Life Skills Job Skills ( Academic/ Basic Skills Arts/Technology • Resume Writing • Self -Esteem • English Skills • Cover Letters • Healthy Language i • Technology • Job Applications Habits Skills assistant . Job Search • Interpersonal • Graphic Artist Strategies Relationships • Reading • Arts Instructor • Interview Process • Anger Strategies and techniques Management Educational Skills • Employer • Values & • Writing • Teacher Aid Expectations Beliefs Strategies • Tutor/Mentor • Workplace Safety • Time • Child Care Management Aid • Financial • Youth Leader Literacy I • Goal Setting 2. Describe how collaborations/partnerships will enhance program services and outcomes. 3. Describe how the participant flow will occur. Include the following categories: Outreach/ Recruitment/Eligibility determination, Intake/Assessment, Case Management, Program Services/Parent and Employer Involvement, Placement in Jobs or Continuing Education, Follow-up and Retention. 1. Outreach/Recruitment/Eligibility: As stated previously, OCCTAC has entered into a strong partnership with the Santa Ana Unified School District, Transition Partnership Project (TPP) to serve youth with disabilities exiting high school. (See letter of support). In collaboration with the SAUSD Transition Partnership Project, we will ensure that our enrollment goals will be met by the second quarter of the contract, and that our participants successfully reach their goals. OCCTAC staff and SAUSD TPP staff will meet on a regular basis to discuss potential candidates and service needs. SAUSD staff will refer mild -moderate students with special needs to our program after they have exited high school, but lack the necessary skills to successfully transition in the labor force and need further education and training. Most of the participants referred will be high functioning special needs youth, including specific learning disabilities, autism, health impairments and others. During the past 8 years, OCCTAC has also done community outreach and programs recruitment via the following: a) Community Outreach Events & Fairs — OCCTAC participates in many community events throughout the year (at least one event per month). This provides an excellent opportunity to recruit program participants throughout the year. b) Referrals from Community Partners — As stated previously. OCCTAC has established strong partnerships with key agencies in Santa Ana, such as the County of Orange, Regional Center, Santa Ana College c) New OCCTAC families - Every year OCCTAC serves new families that learned about our services from other OCCTAC parents. Last year we served close to 1,000 students. Five hundred of these students were served in the Santa Ana Unified School District sites through our Learning Academy Program, and approximately 500 students were served at our Main facility.! Arts Center on Broadway. Every year we enroll new families through "word of mouth"! 2. Intake/Assessment: The OCCTAC Case manager will work closely with the SAUSD Transition Partnership team to identify and determine the individual educational (IEP) and career - goals of participants referred to our program. Also, when appropriate, the WIA participants will be assessed and/or surveyed in the following areas: a) Basic Skills/Academic levels, b) Employability/Job skills, and c) Career- Training Skills. Assessments and surveys will takes place prior to the educational training and work experience at OCCTAC. The first assessment to be conducted is the TABE assessment. If the assessment reveals basic skills deficiency, then the student is provided with two other short literacy tests to measure his/her literacy levels. These tests are the STAR Reading and HOST Learner link assessments that are also used in the After -School Learning Academy program. These assessment tools will be conducted as pre and post tests to measure growth across time. The literacy assessment will help also determine the placement for those participants interested in being "mentors/tutors", and help guide each WIA participant in their educational/academic goals. 3. Case Management: OCCTAC's philosophy of the program is based on an interdisciplinary/holistic model that calls for a high interaction between the key staff of the program and WIA participants. Each student of the program will be linked with an adult staff mentor (Arts/Technology Instructor), a case manager, a carrier counselor and a Literacy instructor. The Case manager will meet bi-monthly with each WIA participant to monitor their progress, assist with job skills training (e.g., resume writing, etc.), and help youth with job development. 4. Program Services/ Parent and Employer Involvement: OCCTAC provides a great variety of programs that empower both youth and adults! Our nurturing, community -based center provides a wide range of classes and family involvement activities, such as parenting classes, support groups, family counseling, financial literacy and others. Our interdisciplinary and holistic model provides WIA participants with a wonderful opportunity to involve their parents, siblings and friends. Our Center believes in community involvement, education and leadership. Therefore all of the programs that we serve incorporate youth, and parent involvement and participation. Furthermore, OCCTAC provides support, advocacy and education to our community families through invited guests that provide in -kind services to our Center in the spirit of community leadership! 5. Placement in Jobs or Continuing Education: Youth who successfully complete their training program are recommended and hired as tutors or teacher assistants to work in our Learning Academy program that serves over 500 children in the Santa Ana Unified School District. In addition, OCCTAC will provide youth job preparation workshops, participation in job fairs, resume preparation, referrals and job coaching. 10 All WIA participants will be paid for their "hand -on" job training in the placement site of their choice at OCCTAC programs (e.i., Arts Program, Media Lab, Learning Academy, etc.) Please see Table 3. During this period of time, all WIA participants will receive $8.00 per hour, and encouraged to work up to 10 hours per week. Participants will also be expected to continue the tutoring and other support services they are receiving at the Center while they engage in work experience. During the last 4 months of the program, WIA participants will slowly transition out of work experiences at the center, and into other job interviews and opportunities in the community. During this last period the case manager will work closely with the SAUSD TPP job developer to help find youth a job in the community. Furthermore, OCCTAC will work in collaboration with the Santa Ana Work Center, Parks and Recreation, and other community agencies to find jobs for our youth. In partnership with the Santa Ana College,/ Centennial Education, youth who have not completed their secondary education will also be encouraged to co -enroll in a high school diploma or certification program sponsored by the SAC college. 6. Follow-up and Retention: OCCTAC is committed to provide follow-up services to students after they have completed their planned goals, including mentoring, job coaching, and support services to all 15 WIA participants. Follow-up services will include: a) providing job placement and referral to youth, b) providing assistance to students so they can maintain work for at least 6 months through mentorship and support services, c) working in partnership with the employers of WIA graduates to ensure work success, and d) work in collaboration with the SAUSD TPP job developer to help find youth a job in the community. E. Facilities 1. Location were Services will be delivered, and 2. Transportation Challenges: Most of the services will be provided at the Main (Broadway) Center. The exception would be when the program requires interaction and support with partnering agencies and employment related opportunities. One example will be at the various SAUSD school sites where we currently run various academy sites. If participants have transportation challenges, we will assist them in finding alternate transportation, such as public transportation, ride -sharing with friends, family or other participants, and Metrolink. Also, participants will be provided with bus passes by OCCTAC or the SAUSD TPP program staff to alleviate transportation challenges. 3. Hours of Operation. The Center operates year round (except for major holidays), six days per week, with the following schedule: Days Monday Tuesday Wednesday Thursday Frida Saturdav Sunday Hours 8:30 a.m - 8:30 p.m. 8:30 a.m - 8:30 p.m. 8:30 a.m - 8:30 p.m. 8:30 a.m - 8:30 p.m. 8:30 a.m - 8:30 p.m. 8:30 a.m. - 5:30 p.m. Closed For the past two years, we have been operating from a larger facility in Santa Ana, which is very safe. There have been no incidences of any crimes or disturbances. The parking lot is well -lighted and monitored by the Center's staff. The area is amidst several businesses, including, the Bowers Museum and diverse residential areas. There are SAUSD schools in the vicinity, as well as easy access to public transportation. Students can take the bus or in some instances walk to the Center. 11 4. Is the facility compliant with the Americans with Disability Act (ADA)? Yes! The facility is fully accessible and compliant with all ADA guidelines and regulations. 5. Internet Access. OCCTAC provides Internet access to WIA program staff, as well as to all WIA participants. Technology is an essential component of our program since many older youth are highly interested in careers involving technology. II. About Your Organization Description of the Proposer & Experience. Founded in 2000, OCCTAC has quickly grown to be recognized as one of Santa Ana's leading community builders and most successful new nonprofits for families of culturally diverse backgrounds and limited resources. OCCTAC and the Executive Director have received numerous community awards and recognitions, including a City of Santa Ana Community Building Award, a Human Rights award by the Orange County Human Relations, a MAMA Community Arts and Culture award, an Organizational Entrepreneurship award by the Hispanic Business Women Association, and others. OCCTAC is staffed by highly qualified bilingual credentialed teachers, artists and therapists certified to provide services to youth with and without disabilities. There are 5-Full-time staff and 30-Part-time staff who are employed in various classes and programs at the Center. These programs include: 1) OCCTAC Early Start Program, 2) OCCTAC Preschool Program, 3) OCCTAC After -School Arts Program, 4) OCCTAC Learning Academy & Tutoring Program, 5) OCCTAC Media Lab & Technology Training, and 6) OCCTAC Therapeutic Arts Program. First and foremost., we educate and empower youth in Orange County`s most at -risk, underserved and diverse community through innovative programs that build self esteem, leadership skills, self discipline, good study habits and creative expression. As noted before. our variety of programs integrate both at -risk youth and youth with disabilities in a nurturing, community -based environment that teaches respect, cultural diversity, disability awareness and inclusion. We are the only facility in Orange County and Santa Ana that offers this powerful combination of the arts, academics and creative therapies for youth with and without disabilities. Our programs have cultivated many success stories where students have improved their academic and literacy tests scores, some of our High school dropout students have re -enrolled in classes towards earning their diplomas. and very talented older youth have been hired as arts teachers in the community! The Center has had a tremendous impact on Santa Ana youths and their families. It is a catalyst for change and provides students and families access to new opportunities, and community leadership! As stated before, OCCTAC is committed to empowering youth to reach their fullest potential academically, emotionally and artistically. Through our innovative approach which combines the arts, academics, and creative therapies, participants are engaged and involved in a variety of programs at OCCTAC. Parent involvement and participation is a key mission at our Center. Since our inception, OCCTAC has had a Parent Committee. Every year our parent committee is very active at our center, and meets regularly with the Executive Director to discuss educational programs offered to our students and parents, as well as to develop social & cultural events at our Center. The parents 12 have organized events and activities to unite with the community and attract even more parent involvement with the school and local businesses. They have initiated fundraisers to support the school and to further add to the educational resources at OCCTAC. They also participate in the community education seminars and many are involved in receiving parent education classes. The OCCTAC staff participates in on -going training during the year. All related OCCTAC and Academy staff receive monthly training which covers, but is not limited to, implementing the HOSTS Learning curriculum and program, documenting student growth, and teaching specially designed academic instruction in English to English Language Learners. Other trainings have included the following: Child Abuse identification and reporting, discipline strategies, lesson planning, collaborative teams, and operational issues relevant to a successful after -school program. Regular site visits also take place by the Instructional Specialist and Director of Programs to monitor learning academies and after -school programs. OCCTAC Administrative Staff provides ongoing feedback on effective teaching, academic support and mentoring strategies as well as classroom management techniques to classroom teachers. Executive Director —Dr. Ana Jimenez-Hami is the Founder and Executive Director of OCCTAC. She earned a doctoral degree in the fields of Educational Psychology and Special Education with an emphasis on the language and literacy skills of children and youth with special needs. She is also a part-time faculty at Chapman University in the School of Education. During the past 20 years, Dr. Jimenez has prioritized on researching and implementing educational creative interventions/methods that empower youth and the Latino community to succeed in the academic world, and reach for higher educational goals. Dr. Jimenez has been recognized continuously in the community for her contributions. Last year, she was a recipient of the National Hispanic Business Women Association award for organizational entrepreneurship (May, 2007); a National award by the Heartspring Foundation for creativity in Special Education (July, 2007), and a faculty award from Chapman University (June, 2007). Previous awards include City of Santa Ana Community Building Award (2006), and others. Director of Programs/Operations Dr. Gail Arriola-Nickell holds a Ph.D. in Psychology, and has worked at OCCTAC for the last seven years. As the Director of Programs, Dr. Arriola-Nickell brings strong leadership and innovation in directing both the professional and organizational development. As the Director of Programs, Dr. Arriola-Nickell brings strong leadership and innovation in directing both the professional and organizational development of the OCCTAC. Dr. Arriola-Nickell has over ten years of successful public programming experience, working with a diverse range of projects and implementing education programs for children, youth and adults. She has a strong background in administration, organizational development and management. Her affiliations are: Marquis Who's Who of American Women 2005; County of Orange Certificate of Recognition 2000; Certificate of Special Congressional Recognition 2000; California State Assembly Certificate of Recognition 2000; Orange County's United Way Hispanic Development Council Multi -Ethnic Leadership Institute 2000. WIB-Case Manager -Mercedes (1Meche) Avirad has worked at the Center for the past 6 years. Ms. Avirad holds a BA is Psychology from California State University, Fullerton. Two years ago she stepped into the position as Case Manager for our WIA program, and is proficient at working with the computer reporting system and student documentation. Additionally, she has experience in working with disadvantaged youth, ages 5 to 17 teaching bi-lingual education and academic tutoring for academic improvement while living in Peru. 13 Literacy Coach --Rebecca Nelson is a Bi-lingual credentialed teacher who has worked in the OCCTAC After -School Learning Academy Program as our Instructional Specialist for the past two _years. She is trained in administering the HOSTS Learning System, HOSTS Learner Link and STAR Reading. In addition, Rebecca is a former business owner, who returned to her vocation, educating children and youth in her community. Arts/Technology Mentor -Hector Zaragoza has been teaching for the past ten years. He has focused primarily on teaching at -risk youth, as well as students from the Juvenile Justice System. Hector Zaragoza worked close to ten years with the Orange County Department of Education and learned to motivate and work with a variety of students and their unique learning styles. Hector Zaragoza has been teaching at OCCTAC for the past two years. He has a strong background in visual arts and technology (with emphasis in graphic design). He is the owner and designer of HEIRO Clothing. C. Fiscal Capacity Financial Stability. The Center receives regular monthly tuition to assist with general operations; and has secured several new contracts with the following agencies: 1) Santa Ana Unified School District to provide Tutoring services, Music Therapy and Early intervention; 2) Regional Center to provide Socialization Training to Children and Youth with Disabilities; 3) County of Orange, Social Services to provide Tutoring and After -School Programs to youth with Emotional Disabilities and Behavioral Problems. In addition, OCCTAC was also awarded a Community Development Grant from the City of Santa Ana to provide Arts & Literacy Instruction to Youth with Special Needs. Furthermore, OCCTAC has received support from a variety of local community groups, business and community foundations that award grants and contributions, such as the Santa Ana Kiwanis group, Vv ells Fargo, Orange County Community Foundation, Disney Foundation, Boeing and others. Combined with the grants, the tuition revenues and existing contracts, OCCTAC can ensure the program's viability. Because OCCTAC has been successful in demonstrating its ability to make significant progress with their students, they have gained the support and recognition of many local schools and organizations. This support has come in the form of increased student enrollment, public contributions and increased volunteer support, as well as recognition by city and public officials. OCCTAC has been awarded several During the past six years in operation, OCCTAC has also built strong partnerships with key agencies that have helped the Center expand its' mission. Those partnerships include, for example, the County of Orange, Social Services to provide family counseling; the Santa Ana College to help support our parenting programs; and our college partners (the Santa Ana College, Chapman University, University of California in Irvine, Cal State Fullerton) to support our tutoring and mentoring programs that assist our families with homework support and literacy needs. In the recent _near, the number- of volunteer student tutors from the community and four -year -college has risen to fifty and is still growing. Accounting Method: OCCTAC utilizes an accrual -based account methodology. Revenue and expenses shall be recorded in the month that they were incurred or earned as opposed to the month that the cash is paid out or received. 14 Cost Allocation Method: Costs shall be allocated using the Direct Cost Allocation Method (OBM Circular A-122). OCCTAC shall classify each item to a specific program, department, site, grant or contact that it directly relates to. Indirect expenses like general administration and general expenses shall be allocated based on the allowable budgeted portion of each program with the remaining portion to the center's administrative category. OCCTAC shall produce financial reporting for each of the Center's program functions. In consolidation, these programs shall make up the overall financial position of OCCTAC. All transactions (Payments and cash receipts) that occur at the center shall be classified under identified categories and programs. When program funding is split between two or more sources, the cost allocation for this program shall conform to the budget allocations established in the program. Budtets: Under the supervision of the Finance Committee and prior to the beginning of each fiscal year, the Executive Director prepares an Operational Budget. Tuition fees, Service fee rates, dues, subscription rates, etc., shall be approved by the Board. Any gifts (monetary or otherwise) resulting from fund-raising activities, solicitations and acceptance of gifts or contributions that are presented with restrictions of use shall be approved by the Board of Directors and submitted to the finance committee to verify the appropriate method of accounting and subsequent reporting. Receivable: Receivables shall be aged monthly and delinquent accounts shall be followed up for collection. Receivables from miscellaneous sources shall be reviewed periodically by the Treasurer and significant amounts shall be reported to the Board of Directors. All write-offs shall require approval from the Finance Committee prior to implementation. The Board shall review all write-offs from uncollectible accounts receivables. Deposits and Receipt of Monies: Deposit of monies shall be made on a weekly basis, or whenever more than one thousand dollars (in either cash or check) has been received and recorded by the OCCTAC office. All items to be deposited shall be stamped "For Deposit Only to the Account of OCCTAC with the appropriate bank account number. A deposit form for established OCCTAC accounts shall be completed with deposit slip details for cash or multiple checks. A copy of the deposit form, slip and all items to be deposited shall be made for accounting purposes and upon completion of the deposit attached to the deposit slip and turned into the accounting revenue in -box. To ensure appropriate financial controls, the individual making deposits shall not be the same person reconciling the OCCTAC account. All funds received shall be recorded in the accounting system and filed in the accounting file cabinet. Disbursements: All disbursements shall be made by checks drawn on the established operating checking account for the OCCTAC. All disbursements shall utilize pre -numbered checks used in sequence. Any and all "voided" checks shall be mutilated and notes on the voided check stub. At no time shall disbursements be made to "bearer" or to "cash". All banking materials, records, blank checks, and deposit books shall be maintained in secure cabinets in the OCCTAC office under the supervision of the Executive Director, Program Director and Finance/Accountant or staff. Only those individuals authorized to handle check stock as their part of their accounting duties for OCCTAC account shall have access to these banking materials. Disbursements shall be prepared from original invoices. Each disbursement shall require submission of a purchase request form and appropriate backup documentation. Invoices shall be date stamped upon receipt and marked "approved for payment" by the Accountant. 15 All invoices or vendor statements will be initialed by the Director of Programs or the Executive Director prior to signing the check to pay that bill or invoice. After checks are printed and signed, the accountant shall mark "Paid" with the date of payment and check number utilized for payment. All disbursements shall be reviewed and approved by the Director of Programs and/or the Executive Director. A monthly review of all disbursements shall be conducted by the Accounting/Finance Director for verification of accuracy, documentation and appropriate approval. The Executive Director shall be authorized to expend funds as approved by the Board of Directors under the organization's annual operating budget. All requests for reimbursement shall be reviewed and approved by the Executive Director. All reimbursements are subject to budgetary limitations as established in the organization's approved operating budget. No reimbursement shall be made without appropriate backup documentation (i.e. Receipt or comparable document stating purchase description, date, place and amount of sale and of the specific reimbursable item). Reconciliation of Accounts: All OCCTAC bank accounts shall be reconciled monthly. A monthly review of all accounts and financial reports shall be prepared by the Board Treasurer or designated Finance Committee Member. Financial Reporting: The Administrator shall maintain books of account using Generally Accepted Accounting Principles, and an accounting system capable of managing the bookkeeping and financial reporting needs of operating the Center. Files And Records: OCCTAC shall maintain hard copy files for all operational and business transactions that occur. Files shall be separated into the following categories: Accounting records; grant documentation; Tax filings; Donors; Legal/Insurance/License /Permits; OCCTAC Programs; Personnel documents and files; Vendor and Client contracts and other documents. OCCTAC shall maintain electronic and hardcopy records of all accounting transactions and financial reporting. All electronic records shall be copied and stored in a secure, off site location or in a web based file storage system. All financial and accounting hardcopy files shall be stored in a secure lockable file cabinet. Any requests for filed financial documentation must go through the accounting staff to get a photocopy of the original document. Original financial documentation shall remain in the file cabinet at all times unless it is being copied and returned to the files by the OCCTAC accounting staff. Monies received by mail: All checks received by mail shall be immediately stamped using the ORANGE COUNTY CHILDREN'S THERAPEUTIC ARTS CENTER "For Deposit Only" stamp bearing the ORANGE COUNTY CHILDREN'S THERAPEUTIC ARTS CENTER Operating Checking Account number. All monies (cash or check) shall be recorded on the Income Log indicating date of receipt, name of source or donor, purpose if indicated and amount received. All cash received by mail shall be secured b_v the Secretary in a sealed envelope indicating amount and date received on the outside of the envelope. The envelope shall be kept under lock in the petty cash box until deposited. An Income/Deposit Summary Sheet shall be completed for all monies received. A copy of all checks and cash received shall be made and, along with all checks received, shall be attached to the Summary Sheet. The Summary Sheet, attached checks and copies thereof shall be forwarded to the Executive Director for review and deposit purposes. Billing: The after the Executive Director reviews the expenses, the Accounting Assistant will enter the data from the participants time sheets and related expenses into the accounting system to generate an invoice. The invoice will be on company letterhead. Wei rD a CA i U '� CD -� n n o a a v rc — co rD �. r, CIO �' `< J `G y s R'• N (10 r n G C �• OL. c. C _ n 41co O W 0o J �] J J J Oo F C 00 > Z rD A� i (� it T I 1 N M � 0 I rprn� CIL Imo' � IC � r A Z I � I a� Exhibit COMPLAINT HANDLING UNDER THE WORKFORCE INVESTMENT ACT SANTA ANA WIA Santa Ana Local Workforce Investment Area July 1, 2001 Table of Contents I. Information Regarding Complaints .................... 2 A. Nondiscrimination and Equal Opportunity Complaints .................... 2 1. Policy Statement................................................................................................................ 2. Civil Rights .......................................................................................... ..................... 3. Nondiscrimination Laws under WIA..............................................""'."'" 4. How to File Your Complaint ............................ 6 B. Criminal Complaints................................................................................. Procedures for Handling Non -Criminal Violations of the Act ....................................... 6 II. General III. Procedures for Handling Complaints at the SDA Level ..................... " ' IV. Procedures for Handling Complaints at the State Level ................... V. Procedures for Handling Discrimination Complaints by Participants .......................... Vl, Procedures for Handling Handicap Complaints by Participants ............................. ............. 16 18 GLOSSARY OF WIA TERMS ................... 1 1, 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 (L1NIA) will establish programs to prepare youth and unskilled adults for entry into barr barriers tolabor employment. aEvery fford job training to those individuals facing serious effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing WIA, all contractors in the in StStateaa Ana lnd Felderal egQaal opportunity and non-discrimination, as provided 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 a• ID Section 503 of the Rehabilitation Act of 19 7 • 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 nationa o'th r origin, age, I andicap, or nded program because of race, color, religion, sex , political: affiliation or belief. n part Participation in programs and activitiandfinancially is of the United States,' lawfully under WIA shall be open to citizensparolees, and admitted permanent resident aliens, lawfully admitted refugee, p 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. 4 Administration responsibility for this Equal Opportunity/Affirmative Action (EO/AA) Program is delegated to the gce InvesEmployment ment AreOap EqualltopportOunity officer for the Santa Ana Local Workfor and non-discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal Opportunity Program. 2. Civil Rights No one applying for or enrolled in the Workforce Investment Act (WIA) Programs may be discriminated against because of race, color, creed, handicap, national origin, sex, age, political affiliation, or beliefs. This means that - for any of the characteristics listed above: You may not be denied the opportunity to enroll in WIA. No benefits or services may be denied you for discriminatory reasons. You may not be segregated or treated any differently from other applicants or participeatos� while you are being t sted; or while you are lwork g or interviewed, counsel attending classes as part of the program. You must be provided an equal chance to use all facilities available in the program. Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in any way be penalized for filing a complaint. Your WIA sponsor has established a mechanism for handling complaints or grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3 3 Nondiscrimination Laws under WIA Title \'I of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Age Discrimination Act of 1975 Prohibits arbitrary discrimination against persons age 40-70. The Rehabilitation Act of f 1973 Prohibits discrimination based on handicap. Title IX of the Education Amendments of 1972 Prohibits discrimination in any education or training program or activity receiving federal financial assistance. OTHER CIVIL RIGHTS LAWS: Title VI of the Civil Rights Act of 1964 Prohibits discrimination in employment conditions of empin race, oyment a�nd, sex, or national origin in all term establishes the Equal Employment Opportunity Commission as the administrative agency. White House Executive Order No. 11246 as Amended by Executive Order No. 11375 Creates the office of Federal Contract Compliance and prohibits discrimination based on race, color, sex, religion, or national origin. Department of Labor Secreta 's Order no. 4-73 Prohibits discrimination based on sex. Equal Pay Act of 1963 Prohibits pay differential solely because of sex. 51 Emergencv Employment Act of 1971 Prohibits discrimination based on race, creed, national origin. political affiliation, or beliefs. 4. How to File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if Possible. C. Provides details that tell what happened, where it happened, and when it happened. d. Give the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation and citizenship, must be filed within 180 days of the alleged occurrence directly with: Director Civil Rights Center U.S. Department of Labor, Room N-4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of handicap la ust ntsbmust be fi e filed end d 8ectdays with the alleged occurrence. These cop the WIA administrative entity. The WIA administrative entity shall issue a written decision within 30 days of the fag thecomplaint. topthe Chief of complaint is still unresolved, an appealY be State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal mission, and many other offices and agencies Employment Opportunity Comal employment opportunities for all persons. are committed to assuring equ They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. 5 It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INVESTMENT ACT Santa Ana Local Workforce Investment Area 1000 E. Santa Ana Blvd., Suite 200 Santa Ana, CA 92701 (714) 565-2600 B Criminal Complaints In accordance with the WIA (P.L. 105-200) and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report of fraud, abuse and other criminal activity. "All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." Il, General Procedures for Handling Non -Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 667.600 through 667.640 of the WIA regulations, and Section 181(c) of the Act (Public Law 105.200'. 29 U.S. Code Sec. 2931 et seq.) at the State and LWIA level for the receipt, investigation, hearing, and resolution of complaints by WIA participants, subrecipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non -criminal complaints arising from the operation of the Santa Ana LWIA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, subagreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIA programs operated by each LWIA grant recipient and subrecipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIA complaint process (i.e., disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non-WIA complaint. Also, these procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion ,A staff n carrying out inrmal procedures do not restrict the LWIA grant recipVle��out reisort to the formacomplaint discussion and resolution of any problems outside of and 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 i rbe fmade torom tinformallyrresolvepheal, or discrimination. Good faith efforts s complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing)omat any yme prior ect technical hnc al defithe giencies but complainant may amend his/her complaint tocorrect not to add issues. 3. Complainants shall have the right to be represented re complaint process.heir own expense by person(s) of their choosing at all levels of It 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 of complai is arerme ey are to follow and the time frames governing A "participant", within the meaning of these procedures, is an individual who receives employment -training services under a program funded by Santa Ana LWIA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve dis utes re ardin terms and conditions of em to ment of any employee who is not a participant, as definec herein. 6. If a complaint does not receive a decision at the LWIA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor. 7 6. Complainants must initially file and exhaust LWIA grant recipient/hearing procedures prior to appealing to the State except where the State determines that the LWIA grant recipient's procedures are not in compliance with the State's procedures. Ill. Procedures for Handling Complaints at the LWIA Level A. Receipt of Complaints Pursuant to the VVIA regulations found at 20 toconduclt on hea6 ngs0 and eesolve administrative entities have the responsibilityhe complaints made by individuals about the administration entit and employers ch'the "LWIA level" encompasses LWIA administrate } administrative entity has delegated the complaint anresolconnection otionect o process. W A programs comprise the guidelines for resolving issue 9 in LWIA including ng from operated by the Santa Anah e imposition of sanctions nstaken� by the actions, such as audit disallowances o� t 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 writte complaintisreceived. The filing of the complaint with the Santa Ana LWIA Equal,Employment Opportunity Officer shall be considered aThe complaequest for must be in writing and days. decision must be issued within 60 im 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, been violated;rator other agreements under the Act, are believed to have e. Remedy sought by the complainant; and nd not f, If the complainant is a priva�he come or blllc entityai t must be duly y authorized by natural person, the filing o P the governing body of such entity or corporation. ." The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step. 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWIA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must beissued after receipt weeks of the dlate offilingAttempts of at informal resolution will commence with two (2) 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. lr' 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 0 b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and therespondent to the date will be notified in writing of the hearing ten (10) calendarPi of the hearing. The ten-day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWIA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: a. The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. b. The date, time, and place of hearing before an impartial hearing officer. C. A statement(s) of the alleged violation(s) d. Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWIA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict t icltrules o evidence prov de the not applicable. Unnecessary technicalities should be av flexibility to enable adjustment to the circumstances presented. in facts and 1. The hearing officer shall have complete independence position �otaender impartial make decisions. The hearing officer shall b decisions and thus should not be subordinate to the Santa Ana LWIA or its subrecipients. The hearing officer will be selected from a list of names on file with the EEO Officer. 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. 3, The hearing office designated by the EEO officer t f recordctin a quasthei -j dicial capacity should begin the hearing by summarizing 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 nt 4. The burden of proof should be reasonable heardiin eolffieeadetermenes upon order circumstances of the case involved. the complaint has the obligation of of proof. Generally, the party 9 establishing his or her case and should be examined first. heir own 5. The party involved should havet�he hehshe rigt to be eis limped to hind/hertown abilities expense) if he/he so desires. O and those of the hearing officer in obtaining testimony in the case. 6. It is important that the hearing officer obtain rest I do nottk� owohohw to record. If the parties involved, or their representatives, ask the right or pertinent questions in pursuing thei right to have all thdue eocess, it materials shall be necessary for the hearing officerp in 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 bei sufficiently tndwoiuldhconclude that at the ste r other appropriate agency), upon reviewing decision, the decision is supported by substantial evidence. g. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing. g Within ten (10) days of the conclusion of the hearing; the hearing officer will issue a recommended decision to the LWIA o fi abeeddetermination. Thed or recommended decision shall be in writing andmodified by the Santa Ana VVorkforce Investment Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the heSanta nal den Ana sioL iA shall issue a written decision to all parties by first class mail. contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and issues related to the alleged violation. 3. A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective actioni if any, to be taken. 6. Notice of the right to request, within ten (10)cal dar days Panof receipt of the decision, a review of the decision by the State e 11 D. Record of Hearing An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWIA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWIA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three-year period after the grant has been officially closed out. ence The Santa Ana LWIA's written decision hearinwill b officerded , stenn the ographer's aphe�'sd notesandtape received at the hearing, notes b5 9 recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 667.600, each employing agency including private -for - profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWiA's established procedures under Section 667.600. At a minimum these procedures must include: 1, Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice, at the time the grievance is filed, of,the procedures under which the grievance will be processed. 3. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the filing of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWIA and the State Review Panel in accordance with Section 667.600. 12 IV. Procedures for Handling Complaints at the State Level Section 181(c) of the Act and the yNIA regulations laintsection 67.600(d) filed atihe LWIA grant of coin the Governor to establish a State Review process p 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 e aadeRs on based on thw Panel ie infoemat on w the record established at the LWIA level and shall is contained therein. Complaints which may be initially filed at the State Inevel vestme heard ent Division by an {WIDI) dTpe hearing endent hearing officer designated by the State Work -force officer shall conduct a hearing and issue a recommended be accepted, ejected orn to the f d by the te Panel. The recommended decision shall be in writing and may State Review Panel. A. Form and Filing of Complaint. 1. Request for State Review of LWIA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review. 2. Filing of Requests for State Review The State Review Panel shall review all LWIA level decisions when a request for review is filed within 10 days of receipt of the adverse decision. requests must be filed in writing with the Chief of the WIC) 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 reasonnfor review °Iatory and he statutory c aLWIA t ons decision to be reviewed g e. A statement of the relief sought. 13 3. Complaintant Responsibility It is the responsibility of the complainant t to resentedein the request at the LWIA hearing ng which r review a written statement setting fort p 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 thef hearing to the Chief, WID, the complete record including a typed record of 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 wilithen csssantioue athe rec mmenldedtmay dec decisuest a ion the hearing. The hearing officer State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWIA should have issued a decision or ten (10) days after the issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the WID in writing and should include the following: a. Full name, address, and telephone number of the party requesting the review b. Name, address, and telephone number'of the LWIA C. Copies of complaints made at LWIA level from which no decisions were issued or sanctions imposed d. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. 14 The hearing will be recorded mechanically or by court reporter. Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses s and documeptssre'loeva�tPo the resent oral and/or written arguments, to examine record issue(s), and to be represented. The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor. C. State Review Panel The State Review Panel will consist of a panel of three representatives from the t: one from the Legal Offices, one from the Employment Development Departmen 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 ohSh implementing Il regulations or the grant agreemen e�I be limited to the record established at the LWIA hearing. V. Procedures for Handling Discrimination Complaints by Participants A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. 1. It is the responsibility of the Santa Ana LWIA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWIA's procedure under Section II (A). 15 No later than 180 Handling of complaints filed at LNVIA level arising in dnr,s of alleged connection with V�'IA programs operated by LIIIAs discrimination Informal Resolution Process )Within 10 days 0/ receipt of 1111SQIIS fQCI01'l' decision or 10 da��s from date L1�'ZA decision should have beef isslred : Unsatisfacton- Decision or LVVIA Decision not issued within 60 days Request for State Review Governor's Decision issued by State Review Panel Ifno decision issued by State Review Panel : Appeal to DOL c ti B. Procedures at the State Level 1. The complainant may appeal to the State if he/she is not satisfied with the decision of the Santa Ana LWIA. 2. The Complainant must file his/her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWIA's decision. 3. The Chief-WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his/her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. 17 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 Wot*force Investment Area 1000 E. Santa Ana Blvd., Suite 200 Santa Ana, Ca 92701 Vl. Procedures for Handling Handicap Complaints by Participants Complaints alleging discrimination on the imof plementicap ng Sectlll iob 50`4 of the Rehabilitation led and processed under the Department of Labor regulationsP Act of 1973 at 29 Code of Federal Regulations Section 32. 1, Complaints must exhaust the Santa Ana LWIA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his/her complaint. A. Procedures at the LWIA Level 1. The complainant shall file his/her complaint directly with the Santa Ana LWIA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWIA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. 16 No later than 180 days of alleged _ discrilni�iation Filin`_ of complaint on the basis Of Handicap With DkgA Informal Resolution If no resolution reached Dav 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 r contract for services provided under WIA and who has no yet transitioned to the status of pap ASSESSMENT - Services designed to determine each participant's employability, aptitudes, abilities and interests and to develcp a plan to achieve the participant's employment and related goals; also to identify the available employment and training activities appropriate for the participant. Testing and counseling may also be used during the assessment process. CHARGING PARTY CP COMPLAINANT GRIEVANT OR AGGRIEVED PERSON - The person who charges that he/she has been discriminated against under Department of Justice nondiscrimination and civil rights regulations and/or guidelines. or DISCRIMINATION - In general, a failure to treat all tsaniy, weheindividtualror Class ofintentionapersons t persons to receive the effect of an action, policy or practice which sele 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 oh Civil Righs sights Acto the pgo 4s on amendedSection includinc state and local governments and any Federalagency 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. INTAKE - Includes screening to determine eligibility, to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT - A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual Joint complaints" are normally investigated by EEOC unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in employment and other practices and pattern or practice "joint complaints" are normally investigated by OCR. JURISDICTION -Authority to investigate and resolve complaints aeainst an Ttle VI,nTitletion lX, etc.subject to a law or statute which has been assigned to OCR for enforcement, i. 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 E Yh it. CEFTIFIC.TICfJ F;EG.RDING_L05E'1"IIJG FT c: i ER T IFIC TIOIy F_Cr; CCNT_R -,CTS, 'G�,h: -- and COOPER ,T�\! /;GREEMEIJ T S , to th= bes' o' his or her knov\lledge and belief. that: The undersigned certifies late ds a�,e bEen paid or v�,ill be paid, by or on behalf un re 1 � Nc Feoera'. ap,�ropr,:� �� � � � , of the undersigned, to any person for influencing or attempting t_� influence an officer or employee of an agency a Member of Congress, an orficer o� emolo>>ee of Congress, or an employee of a Membn er of Congress i connection \nfith the avn!arding of any Federal contracts, the making or any Federa! grant, the malting o any Federal loan, the entering into o an�� cooperativeagreement, and the extension, continuation, renewal, a endment o- modification, of and Federal contract, gram, loan or cooperative agreement. 21 If any funds other, than Federa�� appropriated funds have beer, paid or �n�ili be paid tc any person for influencing or attempting to influence an c-'ice~ or emplovee of any agency, a lVember of Congress, an orficer o, employee of Congress; o- an employee of a fliember of Congress ir: connection v✓ith this Federa'. contact; grant, loan, or cooperative agreement, the undersignec shall complere an-- submit Standard corm L, "Disclosure norm to ReporT Lobbying," in aocordance ��,�ith its instructions. The undersigned shall require that -he language of this certification be Included in the award documents r"or all subavn�ards at all tiers (including aareements! and that all subrecipients shall certify and disclose accordingly. This certification is a material representation: of fact upon which reliance Lnsas ;aced vdhen this transaction v�'as n"jade or entered into. Subm��ssion of this by certification is a prerequisite for malting or entering into this transaction imposed Any person v,,ho fails to file the required certification shay be subject to a civil penalty of not less than 1 0, C�0 and not more that ; 1 00,000 for each suoh failure. G,,aniee cC,Contractc -�,T� aCey —C C� G C: T Wr C f-`c" Name of Certifying Chi cial Signature Program Title (DCC TIC NZI-TS e��rh�ng A Cu CleM'y for SPA IC F--h "�jt--, cws.gx %U`HeS Certification Regarding Debarment, Sus pension, Ineli�ibiliri� and �'oluntary Exclusion Lower Tier Covered Transactions This certification is required b� the regulations implementing Executive Order 12".4 - Debarment and Suspension. �� CFR Part 98. Section 98.10. Participants' P�esponsibiliues. The n:2ulations were publisile'd as Part Vil of the MLIv 16. 1988_ Federal Register ("Pages 1 9 i U1611- � 1 1 �. ifi (Before completing certcation, read instructions which are an integral part of certification) t (i.e. grantee � certifies to the best of its 1. The prospective primary participanl i�o��'ledge and belief. that it and its principals: a. are not presently debarred. suspended. proposed for debarment. declared ineligible. or voluntarily excluded from covered transactions b,, an, federal department or agency_ b. Have not within a three -,ear period preceding this proposal been convicted or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection «-ith 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 cormission of embezzlement. theft, forger}. bribery falsification or destruction of records. malting false statements. or receiving stolen propem. c. Arc not present)- indicted for or otherwise criminally or civillN charged by a ,novernment entity (federal. state or local ) with commission of and of the offenses enumerated in paragraph (1 0) of this certification: and d. Have not within a three-year period preceding this application/proposal had one or more public transactions (federal. state or local) terminated for cause or default. 2. where the prospective primar,, participant is unable to certi . to an of the statements in this cerufrcatiorn, such prospective participant shall attach an explanation to this proposal. Oran(e Count-v Children's Therapeutic Arts Center (OCCTAC) Grantee/Contractor Organization _ r Dr.01a'Jimenez-Ha �aecutive ll ecto► Name and Title of Official Authorized to Certifv On Behalf of the Grantee Mav 18, 2008 Date Exhibit 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 De,/elopment in awarding the mined that the contractor knowingly rendered a false grant. If it is later deter certification, or otherwise violates the requirements of the Drug -Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug -Free Workplace Act. CERTIFICATION A. The contractor certifies that it will provide a drug -free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug -free awareness program to inform employees about — (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug -free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph -(a) that, as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. Pg. 2 (e) Notifying the U.S. Department of Housing and Urban Development within ten days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction; (f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), \i\dth respect to any employee who is so convicted - i 1) Taking appropriate personnel action against such an employee, up to and including termination; or (2) Requiring such emplcyee 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 tc continue to maintain a drug -free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached "Place of Performance" form the site(s) for the performance of work to be carried out with the grant funds (including street address, city, county, state, and zip code) .the contractor further certifies that, if it is subsequently determined that additional sites will be used for the performance of wort: 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. cc tck5 L r in c C1, 9 Dated: Program Oper DIVISION OF EMPLOYMENT SERVICES PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE Name: Name of Contractor: Contractor Number: Date: REQUIREMENTS OC Children's Therapeutic Arts Center The Contractor shall insert in the space provided below the site(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): cc 22 i �_ t\� . Br uo d wGy L(-u rn l n C) ' \ c 41._ Lc I SG n �-a P r)0 , C) C-(j ) oe ('c)U n L--i Lai i'r t F BUDGETFOPOI A(lEII1nYSTratl� e � PrOgt'a1II No more than 10°,, allowed. Total NVIA Malch"'I❑ 3�2 n El Personnel -- ;— S I �, Itueclot I UOFTI= months 32,400.00 31,400.00 S l f; her hI Pro, Director C .�ilS 1nmu"tor;'s PT , months 10,806.00 10,800.00 5� S;?l.- her lv ] }vs per wk Am Clerk Coach Smonths 8,100.00 8,100.0(I Car'Clin Couns. per 11- I s hrs per M�k I3ellc!it _ — 1 4,860.00 4.860.00 �.:,.rts Inst. 1 S _(70_(10 1.620.00 Literac�,'Nlath Coach l 1,215.00 1,215.00 Total Personnel 58,995.0o 58,995.00 21,7oo.00 j Operating Expenses kew or user- fee* 1.400.00 1.400.00 1;,000.00 tinlnIes 3,000.00 Phones &, hiternet 1.100.00 lntemel iees I NA B fee Phone Par=kmL, fees NA NA Securit NA ', �A r— Maintenance NA NA Insurance NA ! 800.00 Equipment rental fees* NA NA NA NA Vehicle lease* NA NA NA NA Office expenses consume NA 1,200.00 7.000.00 Legal services NA NA auditing services NA NA Indirect costs* NA NA Staff trainine NA N A Staff trave}/inileage NA NA Participant V►'arIes* 41,760,00 41,760.00 NA (See Budeel Narrative ) Support services* Bus Passes 3,000.00 1 3,000.00 FingemrIn,.m, TB Test 1,000.0(E 1,000.00 Wori, Related-Supplies'books 845.00 845.00 portfolios other Participant Incentives' NA NA NA NA Other (list)* NA NA NA NA Total Operating Expenses NA ��, 48,005.00 48,00-5.00 '1:300.00 GRAND TOTAL, NA _ 107,000.00 107,000.00 44,000.00 (Total Persomlel - Total OperalIm, LxheIlse's} *See Budges Form Instructions Note: Audit Requirements States. local Lovenunems and non-profit institutions who receive $500.000 or more in federal funds in a fiscal year shall meel the audit requirements of the OMB Circular A-13 i, "Audits of States. and Local Governments and -Non-Profit Institutions." W1A 2008-2009 Grant OCCTAC--Budget Narrative Personnel $58,995. "Appropriate FICA taxesc£ Workers Comp are included in these amounts listed (15%). Case Manager-400% FTE for 10 months: $37,250. 40-hours a week 10 months a, $18.00 per hr. The Case Manager will work 40 hours a week for 10 months providing: recruitment & intake, assessment, documentation & case notes; identify barriers and goals; monitor progress & goals; meet regularly with individual WIA participants to train on employment and job skills; represent OCCTAC in provider network and youth council meetings; organize and attend OCCTAC-WIA Staff Meetings and document input; organize related activities. Arts/Technology Instructor—PTE for 8 months: $12,420. 15-hours a week a) $20.00 per hour The respective position will be responsible for providing educational and career training to all 15 participants as it relates to the arts and technology emphasis; mentoring and assisting participants with related work experience placement; observing and monitoring participants with technical/artistic skills; documenting progress throughout the program; meeting regularly & individually with WIA participants to train on related curriculum; and attending regular team meetings. Literacy and/or Math Coach/Instructor PTE for S months: $9,31 S. 15-hours a week for 8 months @ $15.00 per hour Positions is responsible for assessing the literacy and/or math and basic skills of all 15 participants; teaching WIA participant's learning and literacy and/or math strategies; monitor & document literacy and/or math progress throughout the program; meeting regularly with WIA participants and attend regular team meetings. Participants Wages$41.760. Training Stipend. (Out -of -school youth) 15 participants Month 1: participants given $100.00 stipend to participate in program. Month 2: participants given $200.00 stipend to participate in program. Months 3-8: participants paid $8.00 per hr for on-the-job training (10hrs a wk) (Appropriate FICA taxes& Workers Comp will he included in the hourly rate listed-45%). Supportive Services $ 4,845. Bus Passes/Gas Voucher: As needed for 15 participants $3,000. Funds are allocated for youth who are in need of transportation related support. Fingerprinting/TB Test. As needed for 15-participants $1,000. Funds allocated for Dept. of Justice Clearance & TB Test for employment. Work Related Supplies: As needed for 15-participants $845. i.e. work related, books, academic supplies, portfolios... E):h bit G Assurances & Certifications Sele� e�] pro�iders �sill be required to sign and Sul>n-tit `actual - assurances and cetttlicates as required h� the City (d Santa and the W orhl()rce Inv esu»cnt Board on all Como acts. 1 reco��t7i2.e that I must g�vr asstitrances for each item belov. 11.1 cannot_ this proposal will be autot�tatically rejecied. Please i77ilial each boy,". ri `� �� ; am authorized h� m\ Board of DirectoTrustees. other le��all� qualified officer. rs. or a�" the o��ner of this l- aeenc\ or business; to submit this proposal. )" not c.unentl\ on and' Federal. State of California. or local Debarnent list. we c will provide records to show that are fiscally solvent. if needeo. lha�-c. or ��ill have, all of the fiscal control and accounurn� procedure. needed to ensure that WIA funds will be used as required by lain and contract. We have additional funding_ sources and wile not be dependent on WIA funds alone. We do or will meet the applicable Federal, State. and local compliance requirements. These include. but are not limited to: C_ \]kecords accurateh reflect actual performance. 11 `Maintain record confidentiality, as required. Reportin` financial. participant. and performance data, as required. c J � Comph with State and Federal fiscal' and program acuvity audits. 0 " _',[]Comply ire witl-i Federal and State non-discrimination provisions. r.r C^ Meeting requirements of Section 504 of the Rehabilitation Act of 1973. r ��]ee-tine requirements of the American's with Disabilities Act of 1090. (submit completed survey } ;�i�deeting all applicable labor lave. including Child Labor Law standards. to provide a drug free workplace. .4Lree to insure the Cif, of Santa Ana through General Liability insurance and Automobile Liabiliu, Coverage in the amount of 51.000.000.00 police. Agree to provide all participants with Grievance Procedures. o, q ree tonsure proposers employees through V'ori:ers Compensation Insurance including part-time employees) r� ���Procurement policies and procedures are in place and meet federal' guidelines. We will not: Place a youth in a position that will displace a current employee. Yl tI �L'ise WIA money to assist. promote. or deter union organizing. funds to employ or train of persons in sectariar, acts -tries. Use funds for youth in the construction, operation. or maintenance of any part of a facilit`� to be used for sectarian instruction or religious worship. 0_' _ v(�L-se WIA funds for activities that would interfere vv,ith or replace regular academic requirements for eligible N outh who are not dropouts. CV =�_l Use v'lA funds to can-y out programs funded under the School-to-Vvorl< Opportunities Ac. of 1994 unless the program(s) are only for youth eligible to participate under V✓lA. C1 = Use 1XIA moneN under this contract to purchase am � e.quipment. 1 herebN assure that all of the above are true. } m^-� �� Executive Director Mai IS, 2008 Dr Ana Jimenez -Harm �' Name Title Date DATE(MMIDD/YYYY) T. .,1TIFICATE OF LIABILITY INSURANCE os/29/zoos PRODUCER (714)838-1912 FAX (714)838-7568 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION Lake Insurance Agency ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR 13891 Newport Ave., Suite 285 ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. Lic #0747473 Tustin, CA 92780 INSURED Orange County Children's Therapeutic Art Center, Inc 2215 N. Broadway Santa Ana, CA 92706 OVERAG INSURERS AFFORDING COVERAGE I NAIC # INSURERA.. Philadelphia Insurance Co. INSURER B. INSURER C: INSURER D: INSURER E. THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR ADD' TYPE OF INSURANCE POLICY NUMBER POLICY EFFECTIVE POLICY EXPIRATION LIMITS GENERAL LIABILITY PHPK281597 12/21/2007 12/21/2008 EACH OCCURRENCE $ 11000,000 DAMAGE TO RENTED $ 100,000 X COMMERCIAL GENERAL LIABILITY MED EXP (Any one person) $ 5,000 CLAIMS MADE JAIOCCUR PERSONAL & ADV INJURY $ 1,000,000 A GENERAL AGGREGATE $ 2,000,000 GEN'L AGGREGATE_ LIMIT APPLIES PER: PRODUCTS - COMP/OP AGG $ 2,000,000 X j POLICY jE LOC AUTOMOBILE LIABILITY ANY AUTO PHPK281597 12/21/2007 12/21/2008 COMBINED SINGLE LIMIT (Ea accident) $ 1,000,000 BODILY INJURY (Per person) $ i A X X ALL OWNED AUTOS SCHEDULED AUTOS HIRED AUTOS NON -OWNED AUTOS I �� ��' BODILY INJURY (Per accident) PROPERTY DAMAGE (Per accident) $ GARAGE LIABILITY ANY AUTO I -/ / ._i . — `_ AUTO ONLY - EA ACCIDENT $ OTHER THAN EA ACC AUTO ONLY: AGG $ $ EXCESSIUMBRELLA LIABILITY �' l EACH OCCURRENCE $ AGGREGATE $ OCCUR 71 CLAIMS MADE $ DEDUCTIBLE $ RETENTION $ WORKERS COMPENSATION AND WC STATU- OTH- Y1111GFR E.L. EACH ACCIDENT $ EMPLOYERS' LIABILITY ANY PROPRIETORIPARTNER/EXECUTIVE OFFICER/MEMBER EXCLUDED? E.L. DISEASE - EA EMPLOYEE S If yes, describe under SPECIAL PROVISIONS Wow E.L. DISEASE - POLICY LIMIT $ A OTH Professional Liability PHPK281597 12/21/2007 12/21/2008 Incident Limit: $1,000,000 Aggregate Limit: $2,000,000 DESCRIPTION OF OPERATIONS I LOCATIONS / VEHICLES I EXCLUSIONS ADDED BY ENDORSEMENT / SPECIAL PROVISIONS ertificate holder is Additional Insured as per form CG2026 %buse & Molestation is included with General Libility, $25,000 Each Incident and $50,000 Aggregate '-10 Day notice for non-payment of premium ,"Akfe`=l I Ar1nu SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING INSURER WILL ENDEAVOR TO MAIL The City of Santa Ana 30 DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, Attn • Frank Hernandez BUT FAILURE TO MAIL SUCH NOTICE SHALL IMPOSE NO OBLIGATION OR LIABILITY PO BOX 1988 OF ANY KIND UPON xpE INSUREfj ITS AGENTS OR REPRESENTATIVES. AUTHORIZED REPRE �11iVEje;p Santa Ana, CA 92702 ACORD 25 (2001108) ©ACORD CORPORATION 1988 IMPORTANT If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). DISCLAIMER The Certificate of Insurance on the reverse side of this form does not constitute a contract between the issuing insurer(s), authorized representative or producer, and the certificate holder, nor does it affirmatively or negatively amend, extend or alter the coverage afforded by the policies listed thereon. ACORD 25 (2001/08) POLICY NUMBER: PHPK281597 COMMERCIAL GENERAL LIABILITY THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED - CONTROLLING INTEREST This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART. SCHEDULE Name of Person or Organization: CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY ATTN: FRANK HERNANDEZ (If no entry appears above, information required to complete this endorsement will be shown in the Declarations as applicable to this endorsement.) 1. WHO IS AN INSURED (Section II) is amended to a. Their financial control of you; or include as an insured the person(s) or organiza- b. Premises they own, maintain or control while tion(s) shown in the Schedule, but only with re- you lease or occupy these premises. spect to their liability arising out of: 2. This insurance does not apply to structural altera- tions, new construction and demolition operations performed by or for that person or organization. CG 20 05 11 85 Copyright, Insurance Services Office, Inc., 1984 Page 1 of 1 0 POLICYHOLDER COPY SP STATE P.O. BOX 420807, SAN FRANCISCO,CA 94142-0807 COMPENSATION INSURANCE FUND CERTIFICATE OF WORKERS' COMPENSATION INSURANCE ISSUE DATE: 04-14-2008 GROUP: 000567 POLICY NUMBER: 0000772-2007 CERTIFICATE ID: 1 CERTIFICATE EXPIRES: 04-14-2009 04-14-2008/04-14-2009 CITY OF SANTA ANA SP 20 CIVIC CENTER PLAZA SANTA ANNA CA 92702 This is to certify that we have issued a valid Workers' Compensation insurance policy in a form approved by the California Insurance Commissioner to the employer named below for the policy period indicated. This policy is not subject to cancellation by the Fund except upon 30 days advance written notice to the employer. We will also give you 30 days advance notice should this policy be cancelled prior to its normal expiration. This certificate of insurance is not an insurance policy and does not amend, extend or alter the coverage afforded by the policy listed herein. Notwithstanding any requirement, term or condition of any contract or other document with respect to which this certificate of insurance may be issued or to which it may pertain, the insurance afforded by the policy described herein is subject to all the terms, exclusions, and conditions, of such policy. Cr� Jr•.e.�r `�=y�� tTHORIZED REPRESENTATI PRESIDENT EMPLOYER'S LIABILITY LIMIT INCLUDING DEFENSE COSTS: $1,000,000 PER OCCURRENCE. ENDORSEMENT #2065 ENTITLED CERTIFICATE HOLDERS' NOTICE EFFECTIVE 04-14-2008 IS ATTACHED TO AND FORMS A PART OF THIS POLICY. 0% Z SpRGo rey Pss�a�'ar ' EMPLOYER ORANGE COUNTY CHILDREN'S THERAPEUTC ARTS SP 2215 N BROADWAY SANTA ANA CA 92706 M0409 (REV.2-OS) PRINTED : 03-18-2008