HomeMy WebLinkAboutSANTA ANA WORK CENTER (6) - 2014 City of Santa Ana
i Clerk of the Council
AGREEMENT TERMINATION FORM
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Please complete this form when the attached agreement and all
amendments (if any) are no longer in effect.
Return form to the Clerk of the Council Office (M-30).
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The agreement with -J�'A'
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(List all amendments. U%e space below if needed.)
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Signature: / rA3OIUV* v st"NC,4 Z-
Date: 0//i
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EXTENSION OF
MEMORANDUM OF UNDERSTANDING
BETWEEN
THE CITY OF SANTA ANA, COMMUNITY DEVELOPMENT AGENCY
(WORK CENTER)
AND THE SANTA ANA WORKFORCE INVESTMENT BOARD
1. PARTIES: This Extension of Memorandum of Understanding ( "MOU ") is hereby
entered into on �}e k&e tr is , 2014, by and between the City of Santa Ana,
by and through its CommunitDevelopment Agency, WORK Center ( "WORK
Center") a One -Stop Operation, and the Santa Ana Workforce Investment Board
( "SAW IB ").
II, DURATION OF AGREEMENT: The initial term of this Agreement began on July 1,
2001 and may be extended through the mutual exercise of an option by the parties,
unless terminated by either party with thirty (30) days written notice to the other
party. A copy of the minutes from the SAWIB meeting regarding the extension of
this MOLT shall be attached to this Agreement along with a copy of the WORK
Center's approved annual budget and participant plans. The term of this
Agreement shall cover two (2) years (Program Years 2014 -2015 and 2015 -2018)
and may be extended one (1) additional year by written agreement of the City
Manager and the City Attorney.
III. PURPOSE: The purpose of this Extension to the Agreement is for the Santa Ana
WORK Center to continue to provide a comprehensive One -Stop Center in
response to the "Request for Proposals /Business Plans for One -Stop Service
Center in Santa Ana" ( "RFP ") released on March 19, 2001.
IV. RESPONSIBILITIES OF WORK CENTER: The WORK Center, through the
combined efforts of the WORK Center partners which include the Employment
Development Department, Orange County Social Services Agency, Rancho
Santiago Community College District, Santa Ana Unified School District, Goodwill
Industries, Santa Ana College, State Department of Rehabilitation, City of Santa
Ana Economic Development Department, Santa Ana Unified CTE programs and
several other agencies, shall provide the community with a variety of informational
employment and training services based on individual needs (Youth Service, Adult
and Dislocated Workers). The responsibilities and duties of the WORK Center are
set forth in detail in the "Proposal /Business Plan" response submitted by the
WORK Center, dated April 27, 2001. The WORK Center will submit a new
Participant Plan and Budget for each.Program Year for the formula funds. (See
WORK Center Service Plan Figures, Youth Navigator Plan and Budget attached
hereto and incorporated herein as Exhibit A).
V. AUDIT: The WORK Center agrees that if it receives Five Hundred Thousand
Dollars ($500,000.00) or more in federal funds, it shall ensure that the City of Santa
Ana includes the WORK Center in its annual audit which shall be conducted by a
certified public accountant in accordance with the standards as set forth and
published by the United States Office of Management and Budget.
VI. PROHIBITION FROM DISCRIMINATION: The WORK Center and all One -Stop
Partners are prohibited from discrimination on the grounds of race, color, religion,
sex, national origin, age, disability, political affiliation or belief, and each party
agrees to comply with all applicable federal, state and local laws and regulations.
VII. FUNDING: The SAWIB anticipates allocating Workforce Investment Act funds to
the WORK Center for the operation of the One -Stop Service Center each funding
cycle. The WORK Center's Business Plan /Proposal shall remain in effect until
such time as the SAWIB selects a different one -stop operator.
VIII. MONITORING /OVERSIGHT: The SAWIB and its staff reserve the right to review
and monitor all services funded under this MOU and the RFP. This includes all
records, documents, polices and procedures or other data or documentation
requested by the SAWIB, the State of California's Compliance Monitoring
Section /Compliance Review Division and the Department of Labor. The WORK
Center Director shall be responsible for internal monitoring of its programs,
services, cash management, procurement, and property inventory as well as the
monitoring of any services, programs or projects that are contracted to program
operators and /or consultants. All WIA funding received by the City of Santa Ana will
be included in the annual audit completed by an outside auditing firm for the City.
IX. PERFORMANCE GOALS: SAWIB shall establish annual performance goals for
the WORK Center for youth, adults and dislocated workers based on the common
measures established for the Local Workforce Investment Area ( "LWIA "). Said
performance goals shall be renegotiated between the parties hereto once the
SAWIB has negotiated with the State each year.
X. GOAL TRACKING: All partners in the One -Stop Delivery system have agreed to
work toward the development of common performance goals and measures that
will be in alignment with the stated goals of the workforce investment system. The
WORK Center will work very closely with the local business community to assure
placement goals will be met. The WORK Center will collect feedback from
employers, analyze the information, and implement strategies for improvement.
XI. DISPUTE RESOLUTION: The parties agree that any disputes shall be resolved in
accordance with the SAWIB Policy Bulletin — Grievance Complaint Procedures -
Non- Criminal, attached hereto and incorporated herein as Exhibit B.
XII. SEVERABILITY: If any part of this MOU is found to be null and void, or is
otherwise stricken, the rest of this MOU shall remain in full force and effect.
XIII. MODIFICATION /TERMINATION: This MOU, along with all exhibits hereto,
constitutes the entire agreement between the parties. This MOU may be modified,
altered, revised, extended or renewed by mutual written consent of the parties, by
the Issuance of a written amendment, signed and dated by all parties. Updates to
the budget and goals shall be made annually by the WORK Center, with approval
of the SAWIB. Participation in this MOU may be terminated by giving no less than
2
thirty (30) calendar days' prior written notice of intent to terminate to the other
party.
XM ASSIGNABILITY: None of the duties of, or work to be performed by, any of the
parties hereto shall be subcontracted or assigned to any agency, consultant, or
person without the prior written consent of each party hereto, All subcontracts and
other agreements that relate to this MOU must be submitted and reviewed by each
party hereto.
XV. RECORDS RETENTION: All accounting records and evidence pertaining to all
costs related to this MOU and all documents related to this MOU shall be kept
available 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 MOU,
or (b) costs and expenses of this MOU to which the WORK Center, 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, The WORK Center 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.
XVI. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The One -Stop Partners and /or
the SAWIB will disclose to the City any invention, written product, computer
program developed or data assembled as a result of performance of work under
this Agreement within seventy -four (74) days of invention, development or
assembly. The City, State of California, and U.S. Department of Labor ( "DOL ") will
have the right to patent any invention and copyright any written product or
computer program or data generated by any of the One -Stop Partners,
subcontractors, and /or the SAWIB. Upon written request, all pertinent information,
specifications and right, title and interest shall be transferred to the designated
agency. Each One -Stop Partner shall be notified of the City's requirements and
regulations pertaining to patent rights with respect to any discovery or invention
which arises or is developed in the course of or under any contract with the WORK
Center.
XVII. INVENTIONS, PATENTS AND COPYRIGHTS
A. Reportinq Procedure. If any project produces patentable items, patent rights,
processes, or inventions in the course of work under a DOL grant or agreement, the
One -Stop Partner /SAWIB shall report the fact promptly and fully to the CITY. The
One -Stop Partner /SAWIB shall report the fact to the Grant Officer at the DOL. Unless
there is a prior agreement between the CITY and the DOL and its representative on
these matters, the DOL shall determine whether to seek protection on the invention or
discovery. The DOL and its representative(s) shall determine how the rights in the
invention or discovery, including rights under any patent issued thereon, will be
allocated and administered in order to protect the public interest consistent with the
3
"Governmental Patent Policy " (President's Memorandum for Heads of Executive
Departments and Agencies, August 23, 1971, and Statement of Government Patent
Policy as printed in 36 FR 16889).
B. Copyright Policy.
1. Unless otherwise provided in the terms of the grant or
agreement, when copyright -able material is developed in the
course of or under a DOL Grant or agreement, the City and the
author that developed the work is free to copyright material or to
permit others to do so. The One -Stop Partner and the SAWIB
shall have a royalty -free, nonexclusive and irrevocable license to
reproduce, publish, use and to authorize others to use all
copyrighted material.
2. The DOL reserves a royalty -free, nonexclusive, and irrevocable
license to reproduce, publish or otherwise use, and to authorize
others to use, for Federal Government purposes: (a) The
copyright in any work developed under any grant, sub- grant, or
contract under a grant or subgrant; (b) Any right of copyright to
which a grantee, subgrantee or a contractor purchases
ownership with grant support; and (c) Each One -Stop Partner
and the SAWIB shall comply with the requirements of 29 CFR
Part 97.34.
C. Rights to Data. The DOL and the City shall have unlimited rights to any data
first procured or delivered under this Agreement.
XNIII. BRANDING: The parties acknowledge that the official name for the statewide
system of providing employment and training through the WIA partnerships and various
other local programs is "America's Job Center". To achieve the goals of this grant, it is
important that the public has a quick and easy method to identify that the projects or
programs they are taking part in are part of the "America's Job Center". The parties agree
to place the America's Job Center logo, in accordance with the State of California
guidelines for such use, on all public materials such as statements, press releases,
brochures, advertisements, reports and other documents describing projects or programs
funded in whole or in part with WIA funds. When the America's Job Center logo is used,
the parties may accompany it with the following statement, "The (Program Name) is a
proud partner of the America's Job Center network ". The parties shall not use the
America's Job Center logo in any manner that would imply that the State of California
endorses a commercial product, service or activity.
XIX. CLEAN AIR/CLEAN WATER: If the grant hereunder exceeds $100,000, 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, must be adhered to.
Under these laws and regulations, assurances will be made to the following effect:
0
(a) No facility to be utilized in the performance of the proposed grant has been
listed on the EPA List of Violating Facilities;
(b) Notification will be made 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) Notification will be made to the City and the EPA about any known violation
of the above laws and regulations.
XX. AUTHORITY AND SIGNATURES. The individuals signing this MOU or its attachments
have the authority to commit the party they represent to the terms of this MOU, and do so
commit by signing.
All parties are in agreement with this Extension of Memorandum of Understanding and will
implement it as herein stated.
ATTEST:
By:
Maria D. Huizar
Clerk of the Council
APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
BY: Lisa E. Storck
Assistant City Attorney
CITY OF A ANA
David Cavazos
City Manager
"SAW IB"
Santa Ana Workforce Investment Board
BY: Lee McMurtray, Chai
EXHIBIT A
WIA Local Plan Program Year 2014 -15
Title IB Participant Plan Summary
WIA 118; 20 CFR 661.350(a)(13); TEGL 17 -05
Plan the number of individuals that are In each category,
Totals for PY 2013 (07101113 through 06 130/14 )
r e r r+....3- t > dr .,''- .-fir- lc- x..,rY` J• a"',1#
r _r., '�.y+*t .•
V
1. Registered Participants Carried in from PY 2014
104
142
5
2. New Registered Participants for PY 2015
199
114
117
3. Total Registered Participants for PY 2015 (Line 1 plus 2)
304
256
120
4. Exiters for PY 2014
228
152
130
5. Registered Participants Carried Out to PY 2015 Line 3 minus 4)
76
104
110
•^°e•^ey
r e r r+....3- t > dr .,''- .-fir- lc- x..,rY` J• a"',1#
r _r., '�.y+*t .•
..
_
6.
Core Self Services
8.
Intensive Services
•_sue
Santa Ana LWIA
Local Workforce Investment Area
Contact Person, Title Telephone Number Date Prepared
Comments:
FWSD12 -140 DRAFT 5/13
Page 1 of 1
Exhibit A ATTACHMENT 5
WIA Local Plan Program Year 2014 -15
Title IB Budget Plan Summary'
(Adult)
WIA 118; 20 OFR 661,350(a)(13)
PROGRAM TYPE for PY 2014 -15, beginning 07/01/14 through 06/30/15
2 Grant Code 201/202/2031204 WIA 113-Adult
C7 Grant Code 6011502/503/504 WIA IB- Dislocated Worker
Santa Ana
Local Workforce nvastment Area
30 -Jun -14
Contact Person, Title Telephone Number Date Prepared
Comments:
1 Refer to 20 CFR Part 667.160 and WIA Directive WIAD01 -10 for guidance and Information regarding local area obligation rates,
and recapture and reallocation policies and procedures,
FWSD12 -14D Page 1 of 1 5/13
1, Year of Appropriation
2013 -14
2014 -15
2. Formula Allocation
1,181,097
1,123,528
3. Allocation Adjustment - Plus or Minus
4. Transfers - Plus or Minus
5, TOTAL FUNDS AVAILABLE (Lines 2thru4)
1,181,097
1,123,528
_
6. Program Services (sum of Lines 6.A thru 6,E )
1,062,987
1,011,175
A. Core Self Services
B, Care Registered Services
31,331
114,000
C, Intensive Services
343,797
285,000
D. Training Services
236,910
224,705
E. Other
450,950
387,470
7. Administration (Line 6 minus 6)
118,110
112,353
8, TOTAL (Line 6 plus 7)
1,181,097
1,123,528
9. September 2013
IN
r.R pfl;-1.51 =� i :54r,
10. December 2013
166,392
--,m
11. March 2014
600,029
12. June 2014
800,029
MI
13, September 2014
1,100,029
14. December 2014
1181,097
160,504
15. March 2015
428,011 .
16, June 2015
695,518
17. September 2015
-
963,025
18, December2015
1,016,526
19. March 2016
1,070 027
20. June 2016 1,123,528
21. % for Administration Expenditures (Line 7 /Line 5)
Santa Ana
Local Workforce nvastment Area
30 -Jun -14
Contact Person, Title Telephone Number Date Prepared
Comments:
1 Refer to 20 CFR Part 667.160 and WIA Directive WIAD01 -10 for guidance and Information regarding local area obligation rates,
and recapture and reallocation policies and procedures,
FWSD12 -14D Page 1 of 1 5/13
Exhibit A ATTACHMENT 5
WIA Local Plan Program Year 2014 -15
Title IB Budget Plan Summary'
(Dislocated Worker)
WIA 118; 20 CFR 561,350(a)(13)
PROGRAM TYPE for PY 2013 -14, beginning 07/01/14 through 06/30115
E] Grant Code 2011202/203/204 WIA 113-Adult
0 Grant Code 5011502/503/504 WIA IB- Dislocated Worker
1. Year of Appropriation
2013 -14
2014 -15
2. Formula Allocation
807,310
717,405
3. Allocation Adjustment - Plus or Minus
4. Transfers - Plus or Minus
5. TOTAL FUNDS AVAILABLE (Lines 2 thru 4 )
807,310
717,406
6. Program Services (sum of Lines 6.A thru 6.E )
726,579
Ell- i
645,664
A. Core Self Services
B. Core Registered Services
26,689
76,000
C. Intensive Services
295,827,
203,000
D, Training Services
161,775
143,480
E. Other
242,288
223,184
7. Administration Line 5 minus 6)
80,731
1 71,741
8, TOTAL Line 6 Plus 7)
$07,310
717,406
9. September 2013
? ':
10. December 2013
11. March 2014
204,873
390,410
ms ya5;vFa;i
sc
12. June 2014
690,410
,;- 4F
13. September 2014
790,410
14. December 2014
807,310
59,784
15. March 2015
209,243
16. June 2015
358,702
17. September 2016
WAN
478,270
18. December 2015
--
597,838
19, March 2016
-
657,62.2
20. June 2016
- - 717,405
21. % for Administration Expenditures (Line 7 /Line 5)
Santa Ana
ocal Workforce Investment Area
30- Jun-14
Contact Person, Title Telephone Number Date Prepared
Comments:
1 Refer to 20 CFR Part 667,160 and WIA Directive WIAD01.10 for guidance and information regarding local area obligation rates,
and recapture and reallocation policies and procedures.
FWSD12 -14D Page 1 of 1 5113
EXHIBIT A
The City of Santa Ana
SANTA ANA
RK
CENTER
Service Navigator Plan
Program Year 2014-2015
EXHIBIT A
EXECUTIVE SUMMARY
The concept of the "Daisy Wheel" service delivery was adopted in 2002 by the Santa Ana Youth Council
to provide an "All Youth One System ", where resources would be leveraged from a network of Youth
Service Providers now known as the Youth Service Provider Network (YSPN), The concept allowed
youth regardless of eligibility to receive services from the various Service Providers and the Santa Ana
W /O /R/K Center (SAWC), The Workforce Investment Act (WIA) requires that ten program elements be
delivered in a developmental approach to allow youth to receive resources that will help them overcome
barriers to education and employment. The WIA ten elements require a collaborative, coordinated and
sequenced approach to assisting youth served with WIA ftmds.
The YSPN was formulated with this principle in mind so that no one Service Provider would have to
provide all ten elements, allow more youth to be served by the Service Providers through other non -WIA
funding streams, and to streamline services provided to youth, The YSPN consists of Service Providers
that collectively offer the ten WIA program elements in a creative and interactive manner. The concept
allows the Service Provider to focus on what service they specialize in and do best. This, however, is not
possible without the role of the Service Navigator. The role of the Service Navigator is critical to promote
broad -based coordination and cooperation among all youth Service Providers and to provide the technical
assistance needed to make the network a success.
Funded through the Santa Ana Workforce Investment Board (WIB) and acting as the Youth Service
Navigator, the City of Santa Ana W /O /R/K Center (SAWC) assumes the primary responsibility of
determining youth eligibility, providing technical assistance, reviewing JTA/MIS forms for completion
and accuracy, training new providers, sharing best practice in case management, providing Labor Market
Information, overseeing the placement, exit, and follow -up services for youth, as well as being an active
member on the Youth Council Board. As the Service Navigator, the SAWC will work cooperatively with
all Service Providers from the initial outreach, recruitment and intake process to the successful
completion, exiting, and follow -up of all WIA youth enrolled in the YSPN.
As the Service Navigator, the SAWC brings to the YSPN over 30 years of extensive experience
administering a variety of Federal and State funded programs. Staff is well versed in both programmatic
and fiscal requirements. As an on -going effort, the SAWC has made it a priority to keep staff updated and
trained on all State and Federal workforce legislation pertinent to various targeted programs. Since the
inception of the YSPN, the SAWC has been instrumental in helping the Network meet the required
performance measures through consistent oversight and guidance in intake, eligibility, case management,
exit, and follow -up. Moreover, through its partnership with local businesses and organizations, the SAWC
has a comprehensive realm of services and resource available to the YSPN and the youth they enroll.
The SAWC will maintain communication with the youth Service Providers during the term of the contract
by coordinating monthly meetings with all Service Providers for program, legislation, MIS /JTA paper
work updates, and to address any questions or concerns they may have. Individual meetings with Service
Providers will also be arranged to assist and address individual issues or questions, The SAWC will assist
with the marketing, recruitment, outreach, and placement efforts of the YSPN. Ultimately the SAWC's
goal is to provide the assistance and tools necessary to allow the Service Providers to focus on providing
streamlined services to the youth of Santa Ana. A more detailed description on how the SAWC will
Rinction as the Service Navigator is explained below.
2
EXHIBIT A
OUTREACH AND RECRUITMENT
Since the development of the YSPN, the SAWC has made it a priority to inform the public of the services
and programs available through the YSPN. Through its partnerships and collaboration with community
agencies, the SAWC has been engaged in planning and participating in community events, job fairs,
resource fairs and conducting presentations to connect youth with the YSPN programs. Some of the major
events in which the SAWC participates include the Annual Summer Youth Job Fair hosted by
Employment Development Department (EDD), the Senior Transitions Day hosted by the Santa Ana
Unified School District (SAUSD) and other annual events hosted by Segerstrom, Century High Schools in
Santa Ana and Youth Summit, a collaboration between the Santa Ana Councilman Roman Reyna and the
Boys & Girls Club of Santa Ana.
Utilizing the relationships we have established with the SAUSD, EDD, Orange County Probation, O.C.
Social Services Agency and the Orange County Department of Education and many more, the SAWC has
been able to deepen its outreach effort to a much broader base of youth, parents, and educators in the
commnunity. The SAWC recognizes the importance of marketing the entire YSPN and its comprehensive
service programs. Every effort is made to ensure that staff markets the network at all job fairs, youth
oriented recruitment and outreach events, thus, benefitting all Service Providers,
TRAINING & TECI3NICAL ASSISTANCE
For more than 30 years, the SAWC staff has successfully administered and implemented many federally
and state funded employment and training programs. As an on -going effort, the SAWC has made it a
priority to keep staff updated and trained on all State and Federal workforce legislation pertinent to
various targeted programs. Over the years, staff has kept abreast with the latest workforce trends and
legislative changes to ensure compliance with state and federal regulations. Staff has developed
comprehensive training manuals, policies, procedures and conducted regular training for all Service
Providers using a customer friendly and easily understood format. Since the inception of the Daisy Wheel
YSPN in 2002, staff has also translated various complex system measurements and mandatory reporting
requirements into an easily understood format for the YSPN Service Providers.
As the Service Navigator, the SAWC has organized and developed the following training for all Service
Providers not only to broaden staff's knowledge, but also to stay current and be in compliance with our
state and federal regulations:
• What is WIA?
• New Enrollment Intake
• Enrollment Strategies
• Eligibility /Income Calculations
• Case Management Strategies
• Case Notes
• Co- Enrollments
• Exit Strategies
• Credential Information
• Follow -up training
• Fiscal Invoicing
• Disability Awareness
• Fiscal Responsibility
• CalJOBS Training
• Common Measures
For the past twelve years, the SAWC, as the Service Navigator, has met with the YSPN on a monthly
basis to provide monthly reports and the status of their case loads. At the monthly YSPN meetings, the
SAWC reports on enrollments, activities, co- enrollment, exits, and follow -ups. As needed, the SAWC
also conducts in- service training for the Service Providers and alerts them of any changes to paperwork as
EXHIBIT A
well as modifications to process and procedures. The monthly YSPN meeting also provides staff an
opportunity to share their best case management practices and updates on the changes occurred within
each Service Provider. One of the goals has been to provide the YSPN with all the tools necessary to
allow them to focus on providing services to the youth in Santa Ana.
The SAWC continues to avail itself to all Service Providers for individualized training and technical
assistance. At times, when Service Providers have experienced staff turnover, the SAWC staff readily
provided needed transitional and customized training to ensure continuity and consistency of service
delivery. Examples of training include eligibility requirements, intake process, activity setting, case
management techniques, performance management, internal Provider policies & definitions, exit
strategies and follow -tip techniques. The trainings were tailored to meet the specific needs of each Service
Provider. The technical assistance mentioned above has proven to be beneficial when State Monitors
have performed audits of our YSPN youth files, documentation, process, and data validation, Of the last
audits we received this past year, there were no major finding and their observations were positive.
JOB DEVELOPMENT & PLACEMENT
The SAWC has a comprehensive realm of services available through its partnership with local businesses
and organization. The SAWC works with local businesses new and old to promote their job opening
through our on -site hiring recruitments. Businesses come to the SAWC and do on -site interviewing for
their job opening. Many have been hired through our on -site recruitments and on -the -job training. We
work with business to train our customers with the goal of hiring them after their on the job training is
completed.
It is through our experience, expertise, and partnerships with businesses and community partners, we are
able to provide the community with quality job placement assistance and offer connections to a strong
labor market. The SAWC will offer assistance and guidance in job placement by notifying Service
Providers and youth of job opportunities, employer on -site hiring recruitments, and job fairs. SAWC will
notify Service Providers daily via electronic mail andlor flyers regarding job announcements, The Youth
Help Desk will also be available to assist youth looking for employment by providing them with job
search assistance, job openings, resume assistance, labor market information and demand occupations.
Furthermore, the SAWC integrated one -stop service system and various partners including EDD, allows
more individual assistance for our older youth to find employment. Workshops on resume writing and
interviewing techniques are just a few of the added components to help them find employment.
PERFORMANCE MANAGEMENT
The SAWC, through its extensive experience in administering Federal and State fanded programs,
understands that WIA performance management is vital to the success of the YSPN. As the Service
Navigator, the SAWC prepares and trains staff on WIA perfonnance measures and any new and updated
legislation. Staff attends training through DOL and attends the annual California Workforce Association
Conferences to stay updated with the most recent legislation and requirements regarding WIA. This is
just one example of our commitment to helping the YSPN stay in compliance and in meeting all Federal,
State, and locally mandated performance measures. The SAWC also provides training on Common
Measures to allow all Service Providers to have a basic understanding of what Common Measures are and
how they will affect them individually and as a network.
The SAWC will provide all Service Providers with individual exit oversight. Staff will meet individually
with each Service Provider to go over exit strategies for each youth actively enrolled on their case load
Z
EXHIBIT A
and evaluate which youth are ready to exit the program and how their exit will impact the overall success
of the YSPN. The SAWC will train all Service Providers on how to exit and follow -up on their youth in
order to comply with federal, state, and local regulations. Staff will use the Navigator data base to provide
reports to the Service Providers and inform them of follow -up due dates for each participant at their 30,
60, 1s`, 2"a, 3'd, and 4"' quarter follow -up, The Service Provider will also receive updated charts and data
informing them of their progress with WIA Performance Measures — individually and as a Network. This
Will ensure that as a network we stay informed of our planned versus actual goal attainments and that we
meet all performance measurements.
ELIGIBILITY DETERMINATION
The SAWC as the Service Navigator will assume the primary responsibility of determining WIA youth
eligibility in accordance with Federal, State, and local rules and regulations. We will train Service
Providers on the eligibility process, provide eligibility forms, calculate participant family income,
determine participant eligibility, review and analyze participant activities, and process eligibility
JTA /MIS forms.
The SAWC has a designated Eligibility Technician with the experience and knowledge to determine WIA
youth eligibility effectively. The Eligibility Technician will review all submitted pre - applications,
barriers, verifying right to work documents, reviewing or registering young male adults to selective
service, and determining income eligibility in accordance with the Poverty Guidelines. The Technician
will also ensure that proper documentation for Equal Opportunity Grievance Procedure and Participant
Grievance Procedure are recorded for each participant. Upon reviewing all eligibility documentations, the
Technician will inform the Service Provider of its youth's eligibility status accordingly. Moreover, the
Eligibility Technician will review enrolled participant activities to ensure their accuracy, record the
participants' information in a database in order to produce reports necessary to keep Service Providers
informed, and forward accurate JTA forms to MIS personnel.
Recommendations, suggestions or corrections are given to each Service Provider for each participant
enrolled as needed to ensure that the eligibility requirements have been met and that enrollment goals for
each program and the YSPN as a whole are reached. An Eligibility Plow Chart is attached (see attachment
A) to provide a better understanding of how eligibility is processed.
COMPLETING JTA &c MIS FORMS
The State is in the process of launching The New CaIJOBS system which will replace the Job Trailing
and Automation system (JTA). The JTA system will be archived and retired once implementation is
complete. Once the merging of the two systems is fully operational we will make any needed changed to
the process mentioned below and train all providers on the new system as needed.
Until the changes take place, the SAWC will continue to ensure that JTA/MIS forms are completed
accurately and submitted within the allotted timeframe. We will review all JTA /MIS forms to ensure
accuracy and compliance with Federal, State, and Local guidelines. All Service Providers will be
provided JTA/MIS forms, training on completion of JTA/MIS forms, and a JTA /MIS Time Line Policy.
SAWC staff will be available to answer questions and provide technical assistance to all Service Provider
regarding any forms.
JTA/MIS forms are processed in a chronological order by the Service Provider and the SAWC. Once the
application, enrollment, and youth test score forms are submitted to the SAWC for enrollment, it is the
responsibility of the Service Navigator to ensure that all information is accurate, including documented
5
EXHIBIT A
youth test scores, enrollment activities, education status, in addition to malting sure all forms have
appropriate signatures and dates It is very important to track key information from each form in order to
produce reports for Service Providers, track performance outcomes, and have the information readily
available to provide guidance to the Service Provider on how to proceed with their participants at any
given period, The SAWC has developed its own tracking database tailored to provide the above
capabilities while giving itself the flexibility and information to provide the YSPN with specialized
technical assistance.
In addition to the tracking system, a reference file has been created for each youth enrolled in the YSPN
in order to track JTA /MIS forms and ensure accuracy of information. The SAWC will make copies of the
completed JTA/MIS forms and forward them to the MIS Unit for entry into the State data system for
official enrollment. Copies of the JTA /MIS forms with an official stamp will be returned to the
correspondnig Service Provider.
As youth activities are updated or closed, the Service Provider is to submit JTA /MIS forms along with
data verification, if necessary, The SAWC will ensure their accuracy, input the data into the tracking
system, duplicate the fonns, and submit the forms to the MIS Unit for official recording.
Once a Service Provider is ready to exit a youth participant, SAWC is consulted to determine the best exit
strategy. The objective is to make sure that the youth has received quality and necessary assistance to
improve their situation and meet WIA Performance Measures. As the Service Navigator, the SAWC is
responsible for reviewing every exit form, requesting data validation if necessary for all outcomes
claimed, obtaining post -test score forms, making sure that all activities are closed, and ensuring that
exiting the youth is in the best interest of the youth first and then to the YSPN as a whole. Once that has
been established, all exit forms and pertinent information are inputted into the tracking system and copies
are made and sent to the MIS unit for entry into the JTA system. Follow -up services will be conducted
for one year for each exited participant by the responsible Service Provider. Follow -Up forims will be
submitted to the SAWC for review, for input into the tracking system, for data validation, and to enter
into the JTA system.
CUSTOMER SATISFACTION
Measuring customer satisfaction has always been an integral part of the YSPN program operation. As the
Navigator, the SAWC is responsible collecting and analyzing customer satisfaction for the YSPN. A
customer satisfaction survey tool for the youth has been developed for those enrolled in the YSPN (see
attaclunent B). The SAWC will randomly survey participants enrolled and exited from the YSPN during
the term of the program. In addition, all customer satisfaction outcomes will be reported to the Youth.
Council Staff for their review. We are conunitted to providing exceptional customer service and will
strive for continuous improvement utilizing data collected and by sharing this valuable information with
all youth Service Providers.
FISCAL OVERSIGHT
The SAWC is responsible for processing Service Provider invoices and reimbursement requests. It is the
responsibility of the SAWC to ensure that all Service Providers understand that the utilization of WIA
funds is to be reasonable, allowable and allocable as required by Office of Management and Budget
(OMB) circulars, Code of Federal Regulations, EDD Directives and City of Santa Ana policies. The
accounting staff provides a mandatory anmal training to all Service Providers fiscal staff regarding the
necessary requirements for invoicing their program expenses.
6
EXHIBIT A
The Santa Ana WIB is required by federal regulation to conduct a fiscal monitoring of all programs
funded by WIA. Onsite monitoring must occur at least once during the program year and includes review
of fiscal records as well as policies and procedures. A written report delineating findings will be provided
to all providers that will include any needed corrective actions, a timeline for accomplishing the corrective
actions and include any follow -up on corrective actions. The City of Santa Ana (COSA) accounting staff
establishes a monitoring schedule for visiting each program operator in the YSPN. During the review,
financial records are sampled to ensure accuracy and compliance with federal, state and local regulations.
Teclmical assistance is offered when necessary to establish and maintain accurate accounting procedures.
COSA accounting staff works with the service provider's fiscal staff to resolve any issues that arise from
the monitoring. Staff follows up with the program operators to resolve findings and maintain financial
records as required by regulations.
FISCAL CAPACITY
The SAWC is a part of the City of Santa Ana. All fiscal and procurement operations follow the policies
acid procedures of the City, As a part of the City's accounting system, the SAWC has various account
numbers assigned that relate to specific funding sources. Revenues and expenditures are coded with
account numbers relating to those funding sources. Monthly financial statements are produced based on
charges to those accounts. The monthly reports indicate the line item budget amounts, expenditures
against the budget and the balance remaining for each account and funding program.
Accounts Payable
YSPN service provider invoices with accompanying documentation are received and reviewed by the
WIB staff for allowable and reasonable expenditures and for completeness of documentation. Any
discrepancies are reported back to the Service Provider with requests for additional documentation as
needed. The invoices are assigned account numbers and approved for payment by the COSA Finance
department Accountant assigned to WIA, Staff prepares the request for payment, attach the necessary
documentation and forward to the Finance Accounts Payable unit for entry into the City's accounting
system. Checks are issued according to City policies and timelines.
General operating costs of the SAWC are processed in a similar manner. Invoices are reviewed by the
accounting staff who assigns the relevant account code based on the chart of account established by the
City. The invoices are approved and forwarded for processing and payment. At the end of the month,
expense reports are prepared by account and distributed to the various agencies within the City.
Payroll
As part of the City of Santa Ana, SAWC staff is paid twice a month. Time sheets are completed by all
staff indicating functions and programs that have been worked on during that particular pay period. That
information, with the accompanying account numbers, is entered into the payroll system by the Senior
Accounting Assistant. Payroll dollar amounts are posted to the accounting system and are reflected on the
monthly financial reports.
Procurement
The SAWC follows the City of Santa Ana's procurement policies as well as federal and state regulations
related to procurement. Purchase requisitions for items over $500 are entered into the accounting system
and approved by the finance staff at City Hall, Buyers from the Purchasing Department review the
requisitions and issue purchase orders following City policies and procedures. When the goods are
received by SAWC, staff compares the goods delivered to the purchase requisition for completeness and
7
EXHIBIT A
accuracy. The purchase order paperwork is approved, signed and returned to the Purchasing department.
Payment for the goods is initiated through the Purchasing department following City procedures.
ORGANIZATAIONAL STRENGTHS
The SAWC brings over 30 years of experience operating various federally, state and locally funded
employment and training programs, and has consistently met or exceeded performance expectations.
Listed below are some of our organizational strengths.
1. A state recognized, award - winning entity with a proven record in leadership, workforce innovation,
service integration and quality services.
2. A One -Stop Center with versatility in its service delivery that is capable of addressing the needs of
diverse target populations resulting in the diversification of multiple funding streams.
3. Ability to effectively leverage resources across an extensive network of partner agencies and
community organization. Demonstrated fiscal stability and program sustainability over the past 20
years.
4. Exceptional track record in successfully implementing the following programs: WIA Adult,
Dislocated Worker, Youth Formula Grants, Rapid Response, National Emergency Grants,
Governor's 15% discretionary Grants, 25% Grants, DOL Welfare -to -Work Grant, DOL Faith -based
Initiative Grant, The Santa Ana Federal Empowerment Corporation funded — Housing and Urban
Development Grant - FEZ Daisy Wheel Employment and training Program, DOL — Youth Earmark
Chant, the Department of Justice — Weed and Seed Program, American Recovery and Reinvestment
Act programs for youth and adults.
Staff is well versed and current in workforce legislation. Through membership in State and national
workforce associations, staff has the ability to access timely workforce resources as well as any
pending legislative changes and to share the information with network service providers.
6. Has a fully developed internal monitoring and performance management system in place.
Comprehensive and time - tested policies and procedures manuals are updated regularly.
Attachment A
EXITIBIT A
Training on eligibility protocol is provided by Youth Service Navigator
Youth Service Navigator supplies and maintains eligibility forms for all Providers
Participant
Providers interview participants and have them fill out the eligibility in -take packets
Submit • • P. •
Providers submit eligibility packets to the Youth Service Navigator for eligibility review
•
Review acke =take Santa
- 21yersoldand ...Calculate Income Determine Second Barrier Assign Eligibility Date
iwReview packets 14 -2l years old
Youth-Activities
Ensure that the youth activities match their needs
Revise and Record MIS Forms
Review official application and activities forms to prevent inaccuracies. Input information on tracking system
Sign and Submit Forms
Youth Service Navigator approves and signs youth documentation and submites to MIS data center
Enrollment iw
MIS personnel Inputs client Information Into JTA system, stamps forms, and returns copies to.SAWC
At
Distribution
SAWC gives a copy of official enrollment forms to Provider
Reterence File
SAWC creates a file for each enrolled youth to reference eligibpty, documents,. MIS paperwork, and data verification.
EXHIBIT A
Budget For
Administrative Total WIA
Cost (Not to Total Cost Match /in Kind
Exceed 10 %) Program Cost
Personnel Salaries
Workforce Specialist IV -1.0 FTE, Workforce Specialist II —1.0 FTE,
Senior Office Assistant -0.25 FTE, Administrative Aide (PT) - 0.50 FTE,
Special Employment Counselor II (PT) —0.50 FTE
$234,785.00
Personnel Benefits
Benefits based on salaries listed
above $68,395.00
Total Personnel Salaries &
Benefits
$303,180.00
$303,180.00 $0.00
Operating Expenses
Contractual Services
Rent
$17,380.00
$17,380.00
Phones
$2,040.00
$2,040.00
Security
$105.00
$105.00
Training and Conferences
$1,500.00
$1,500.00
Commodities
Miscellaneous Office Supplies
$4,230.00
$4,230.00
Fixed Charges
Vehicle lease*
$1,385.00
$1,385.00
IT Maintenance
$130.00
$130.00
IS Strategic Plan
$4,235,00
$4,235.00
Insurance
$8,240.00
$8,240.00
Indirect Cost*
$14,415.00
$14,415.00
Miscellaneous
Transportation Passes
$1,000.00
$1,000.00
10
EXHIBIT B
SANTA ANA WORKFORCE INVESTMENT BOARD
POLICY BULLETIN
Grievance Complaint Procedures -Non Criminal
Effective: 7/112001 Number: SA17 Revised: 9 -7 -06
Replaces: 07/01
I. POLICY STATEMENT
Job training funds are provided to the City of Santa Ana, the Local Workforce
Investment Area (LWIA), under an agreement with the State of California Workforce
Investment Act Division /Employment Development Department. The City of Santa Ana
has assured the WIB /EDD that a complaint resolution procedure is available to all
individuals who have a complaint alleging a non - criminal violation of the Workforce
Investment Act (activities and programs), its regulations, grant or any agreements under
the Workforce Investment Act.
II. REFERENCES
Public Law 105.200: 29 U.S. Code Sec. 2931 et seq
WIA §181(c); 20 CFR 667.600 -640
Directive WSD08 -4
III. OVERVIEW
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
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, sub - agreements, 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
EXHIBIT B
concern policies, procedures or action(s) arising in connection with WIA programs
operated by each LWIA grant recipient and sub- recipient 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 and resolution of any problems outside of and without
resort to the formal complaint procedure.
IV. GRIEVANCE COMPLAINT PROCEDURES
A. GENERAL INFORMATION
All persons filing a complaint shall be free from restraint, coercion, reprisal, or
discrimination. Good faith efforts shall be made to informally resolve the
complaint prior to the scheduled hearing. Complainants have the right to
withdraw their complaints (in writing) at any time prior to the hearing. A
complainant may amend his /her complaint to correct technical deficiencies but
not to add issues.
Complainants shall have the right to be represented at their own expense by
person(s) of their choosing at all levels of the complaint process.
Upon enrollment into employment or training programs, participants shall be
provided with a written description of these procedures, including notification of
their right to file complaints and instructions for filing.
An employer of participants, including private - for - profit employers of participants,
may use this or other complaint resolution procedures so long as the participant
is informed of the complaint resolution procedure they are to follow and the time
frames governing review of complaints are met.
A "participant ", within the meaning of these procedures, is an individual who
receives employment - training services under a program funded by Santa Ana
LWIA. The Complaint Resolution Procedures contained herein (or the alternative
procedures which an employer may use) shall be available to participants to
resolve disputes regarding items and conditions of employment of such
participants in employment training programs. However, such procedures shall
not be used to resolve disputes regarding terms and conditions of employment of
any employee who is not a participant. as defined herein.
Complainants must initially file and exhaust LWIA grant recipient/hearing
procedures prior to appealing to the State except where the State determines
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191 NEIM.
that the LWIA grant recipient's procedures are not in compliance with the State's
procedures.
There are two phases of complaint resolutions, the informal and the formal.
B. INFORMAL PROCESS
Informal conferences will be utilized by the Santa Ana LWIA to resolve
complaints; however, such informal conferences shall not extend the time within
which a decision must be issued after receipt of a complaint. Attempts at informal
resolution will commence with two (2) weeks of the date of filing of the complaint.
The supervisor or authorized representative 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.
If mutually satisfactory resolution results and the Santa Ana LWIA concurs, the
supervisor or an authorized representative will write a brief report for the file
stating the issues and resolution. The matter shall then be considered closed.
If resolution does not result, the complainant shall be provided the necessary
information and assistance to request a formal hearing if he /she so desires.
C. FORMAL PROCESS
All complaints must be made in writing within one year of the alleged occurrence,
except complaints alleging fraud or criminal activity. Official filing date of the
complaint is the date the written complaint is received.
All complaints shall be signed by the complainant or his or her representative;
Have it sworn to before a notary public, if possible. If the complainant is a
private or public entity or corporation, and not a natural person, the filing of the
complaint must be duly authorized by the governing body of such entity or
corporation
Contain the complainant's name address or other means of contacting him or
her. Give the name and addresses of all persons who were present or who had
anything to do with the matter,
Identify the respondent; and
Provide details that tell what happened, where it happened, and when it
happened.
3
EXHIBIT B
If possible, include provisions under the Act, regulations, grant or other
agreements under the Act are believed to have been violated.
Include the remedy sought by the complainant.
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.
If the complaint is resolved prior to the LWIA's formal fact- finding conference, the
LWIA will notify the complainant in writing of the final resolution and the reasons
for the action. The complainant will provide a written withdrawal of the
complainant 10 days of the receipt of the notice of resolution,
Complaints shall be filed with:
Anita Queen, Equal Opportunity Officer,
20 Civic Center Plaza, City Hall -5th Floor
Santa Ana, CA 92701 (7 114) 647 -5157, TDDITTY (714) 656 -2669.
A fact finding hearing will be conducted within 30 days of receipt of formal written
complaint.
D. Notice of Hearing
Upon receipt of the request for hearing, the complainant and the respondent will
be notified in writing of the hearing ten (10) calendar days prior to the date of the
hearing. The ten -day notice may be shortened with the written consent of the
parties.
The hearing notice shall be in writing and contain the following information:
The date of notice, name of the complainant, and the name of the party against
whom the complaint is filed.
The date, time, and place of hearing before an impartial hearing officer.
A statement(s) of the alleged violation(s)
Advise as to where information or assistance may be obtained, and the name,
address, and telephone number of the Santa Ana LWIA Equal Opportunity (EO)
Officer who can answer inquiries.
M
EXHIBIT B
E. Conduct of Hearing
The hearing shall be conducted in an informal manner with strict rules of
evidence not applicable. Unnecessary technicalities should be avoided. It should
provide the flexibility to enable adjustment to the circumstances presented.
The hearing officer shall have complete independence to obtain facts and make
decisions. The hearing officer shall be in a position to render impartial decisions
and thus should not be subordinate to the Santa Ana LWIA or its sub - recipients.
The hearing officer will be selected from a list of names on file with the EO
Officer.
Full regard must be given to the requirements of due process to insure a fair and
impartial hearing.
The hearing office designated by the EO Officer to function in a quasi - judicial
capacity should begin the hearing by summarizing the record and the issue and
should explain the manner in which the hearing will be conducted, making sure
that everyone involved understands the proceedings. Such explanations should
be adapted to the needs of the specific situation. The hearing officer might take
testimony under oath or affirmation to give some assurance of veracity to the
hearing.
The burden of proof should be reasonable and flexible, dependent upon the
circumstances of the case involved. The hearing officer determines the order of
proof. Generally, the party making the complaint has the obligation of
establishing his or her case and should be examined first.
It is important that the hearing officer obtain the fullest information for the record.
If the parties involved, or their representatives, do not know how to ask the right
or pertinent questions in pursuing their right to due process, it shall be necessary
for the hearing officer to step in to have all the materials and relevant facts
elicited.
The practice in these type of hearings is generally not to apply strict rules of in
obtaining facts. However, the quantity of evidence required to support a decision
on an issue should be sufficiently credible that the state (or other appropriate
agency), upon reviewing the decision, would conclude that the decision is
supported by substantial evidence.
The hearing officer should attempt to negotiate a resolution of the issue at any
time prior to the conclusion of the hearing.
Within ten (10) days of the conclusion of the hearing, the hearing officer will issue
a recommended decision to the LWIA for final determination. The recommended
5
�1- Irn-.
decision shall be in writing and may be accepted, rejected or modified by the
Santa Ana Workforce Investment Board.
F. Issuance of Decision
Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWIA
shall issue a written decision to all parties by first class mail. The final decision
shall contain the following information:
The name of the parties involved,
A statement of the alleged violation and issues related to the alleged violation.
A statement of the facts.
The decision and the reasons for the decision.
A statement of corrective action, if any, to be taken.
Notice of the right to request, within ten (10) calendar days of receipt of the
decision, a review of the decision by the State Review Panel.
The final disposition of the complaint at the LWIA level will be issued to the
complainant in writing along with a listing of further options, i.e., filing with the
State of California, Compliance Review Divison.
G. Record of Hearing
An administrative file containing support documents on the complaint resolution
process hearing conducted will be retained by the Santa Ana LWIA. The purpose
of a record is to serve as substantiation of the process followed by the Santa Ana
LWIA on the resolution of the issues and the results. This information would then
be available for subsequent review in the event the matter is raised with the
State. Such records must be retained for a three -year period after the grant has
been officially closed out.
The Santa Ana LWIA's written decision will be included in the record. Evidence
received at the hearing, notes by the hearing officer, stenographer's notes and
tape recordings may also be used.
H. Appeal at the State Level
If during the 60 -day period, the LWIA offers the complainant a resolution of the
complaint, but the resolution offered is not satisfactory to the complaint, the
complainant, or his /her representative may file an appeal with the State of
California Compliance Resolution Department. This also applies if the LWIA has
IM
EXHIBIT B
not completed its processing of the complaint or has failed to notify the
complainant of the resolution.
The complainant, or his /her representative may, file a complaint with the State of
California /EDD Compliance Review Division, MIC 22, Employment Development
Department, P.O. Box 826880, Sacramento, CA 94280 -0001.
Legal Representation & Alternative Dispute Resolution
Both the complainant and the respondent have the right to be represented by an
attorney of other individual of his or her own choice.
Alternative dispute resolution (mediation) is available at the request of the
complainant. Mediation is a voluntary process during which a neutral third party
assists both parties (complainant and respondent) communicate their concerns
and come to an agreement about how to resolve the dispute. case may be taken
to court if the other processes do not yield satisfactory results.
7