HomeMy WebLinkAboutHIERARCH BARBER AND COSMO APPRENTICE ACADEMYINSURANCE ON FILE A-2020-194-35
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5 CLERI! OF COUNCIL
DATE: AGREEMENT FOR WORKFORCE TRAINING
D : (A) Pr (0 �{ THIS SUBAWARD AGREEMENT, made and entered into this I" day of
(SAVI& j 13>* ,' September, 2022, by and between the City of Santa Ana, a charter city and municipal corporation
duly organized and existing under the Constitution and laws of the State of California ("CITY")
and Hierarch Barber and Cosmo apprentice Academy a for -profit corporation identified by the
assigned Data Universal Numbering System (DUNS) Number 117833588 ("CONTRACTOR").
RECITALS:
A. CITY has been designated a Local Workforce Development Area
(LWDA) under the Workforce Innovation and Opportunity Act of 2014, Public Law 1-113-128
("WIOA" or "the Act"), Catalog of Federal Domestic Assistance (CFDA) Number 17.258,
17.278 and Federal Award Identification Number (FAIN) AA363092155A6.
B. The State of California has created the LWDA to administer the Act
programs operated by the State of California pursuant to the Act.
C. As a LWDA, CITY is entitled to receive federal funds to establish
programs to increase the employment, retention and earnings of Participants, and increase
occupational skills attainment by Participants, and as a result, improve the quality of the
workforce, reduce welfare dependency, and enhance the productivity and competitiveness of the
nation. Under WIOA, participants in need of training services may access career training
through a list of state -approved schools and their training programs.
D. In addition to WIOA, the CITY received funding from the Orange County
Social Services Vocational Training grant funded through the California Work Opportunity and
Responsibility to Kids Act of 1997, which provides monies for the basic needs of families with
children ("CalWORKs" or "SSA"). An important component of CalWORKS allows for the
provision of employment services for parents. Heads of households are provided job training
services to help families upgrade job skills with the ultimate goal of self-sufficiency.
E. The City intends to utilize the WIOA and SSA Grant Funds to operate a
Workforce Training Program in which vocational training courses will be made available to
Qualified Participants. Pursuant to the Workforce Training Program, the City desires to contract
with public and private organizations, including employers, who are qualified to participate in
the City's Workforce Training Program by providing services to Qualified Participants (each, a
"Qualified Contractor").
F. CONTRACTOR is a Qualified Contractor that has been selected as one of
several vendors that qualified to provide workforce training under the Workforce Training
Program.
G. CONTRACTOR represents that it is knowledgeable in its field, and is
willing to provide workforce training services under the Workforce Training Program pursuant
to applicable federal and California laws.
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H. The CITY and CONTRACTOR (each, a "Party" and jointly, the "Parties")
desire to enter into this Agreement so that CONTRACTOR may receive a subgrant of the
proceeds of the WIOA and/or SSA Grants (hereinafter defined as the "Subgrant") in
consideration for Contractor's participation in the City's WIOA and/or SSA Programs and
provision of services to Qualified Participants upon the request of the City.
WHEREFORE, for and in consideration of the respective and mutual covenants
and promises hereinafter contained and made, and subject to all the terms and conditions hereof,
the parties hereto do hereby agree as follows:
I.
CONTRACTOR'S OBLIGATIONS
A. In compliance with all of the terms and conditions of this Agreement,
CONTRACTOR shall provide the Contractor's Services, as authorized by the City's
Representative. Contractor represents and warrants that Contractor's Services to be provided
hereunder shall be performed in a competent, professional and satisfactory manner in accordance
with the City's Workforce Training Program.
B. CONTRACTOR agrees to provide benefits to individuals who participate
in the activities and services funded by this Agreement ("Participants") in accordance with the
standards and requirements set forth in this Agreement.
C. CONTRACTOR acknowledges and agrees that City shall request that
Contractor provide the Contractor's Services on an "as requested" basis and that City does not
guaranty a minimum number of Qualified Participants for whom Contractor's Services shall be
requested and required under this Agreement. Contractor acknowledges and agrees that
Contractor shall not commence to provide Contractor's Services to a particular Qualified
Participant hereunder unless and until Contractor receives a Notice to Proceed from the City
authorizing the provision of Contractor's Services to that particular Qualified Participant.
Contractor further acknowledges and agrees that this Agreement and any request for the
provision of services hereunder is nonexclusive and that the City may enter into similar
agreements with other entities for the provision of similar services.
D. Time is of the essence in the performance of this Agreement. CONTRACTOR
shall perform and complete all of CONTRACTOR's Services in a timely and expeditious
manner. Contractor shall not be responsible for delays caused by circumstances beyond its
reasonable control, provided that CONTRACTOR has delivered to the City written notice of the
cause of any such delay within ten (10) days of the occurrence of such cause.
E. Scone of Services. On an as -needed basis, and at the sole discretion of CITY,
CONTRACTOR shall perform the services that are described in Exhibit A. The Scope of
Services shall include the CONTRACTOR's proposal or bid, if any, which shall be incorporated
herein by this reference as though fully set forth herein. In the event of any inconsistency
between the terms of such proposal and this. Agreement, the terms of this Agreement shall
govern. When the need for services arise, CITY may initiate services through use of a Letter
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Agreement for a specific workforce training, including a copy of the course description, executed
by the Executive Director of the Community Development Agency and the CONTRACTOR.
Work by the CONTRACTOR may not proceed absent this fully executed Agreement and
separate Letter Agreements for specific Qualified Participants.
F. Compliance with Law. CONTRACTOR's Services shall be provided in
accordance with all ordinances, resolutions, statutes, rules, regulations and laws of the City and
any Federal, State or local governmental agency of competent jurisdiction.
G. CONTRACTOR shall obtain, at Contractor's sole cost and expense, such
licenses, permits and approvals as may be required by law for the performance of
CONTRACTOR's Services. CONTRACTOR shall have the sole obligation to pay for any fees,
assessments and taxes, plus applicable penalties and interest, which may be imposed by law and
which arise from or are necessary for the performance of the services required by this Agreement
H. CONTRACTOR shall adhere to all applicable Labor Standards.
I. If funding is through WIOA, CONTRACTOR agrees to comply with the
"Complaint Handling Procedures under the WIOA", attached hereto as Exhibit H and
incorporated herein as though fully set forth in 20 CFR 658.411. CONTRACTOR shall advise
Participants of their rights to file complaints under the Act and the procedures for resolution of
any complaints. CITY's procedures for handling complaints alleging a violation of the Act,
regulations, grants, or other agreements under the Act shall be followed and any decision of
CITY, the State or the federal government relating to the complaint shall be binding and
followed by CONTRACTOR. CONTRACTORS who are employers shall operate a grievance
system that incorporates CITY's procedures for resolution of complaints relating to the terms and
conditions of employment; these procedures shall be approved in writing by CITY.
J. As a condition of this award of financial assistance under the Act to
CONTRACTOR from CITY, CONTRACTOR assures, with respect to operation of all programs
or activities funded with funds provided pursuant to the Act, and all agreements or arrangements
to carry out such programs or activities, that it will comply fully with the nondiscrimination and
equal opportunity provisions of the Act (Section 188) and compliance with Equal Employment
Opportunity provisions in Executive Order (E.O.) 11246, as amended by E.O. 11375 and
supplemented by the requirements of 41 CFR Part 60; 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 Parts 33
and 37. The United States, the State of California and CITY have the right to seek judicial
enforcement of this assurance.
K. CONTRACTOR agrees that no participant(s) shall commence training
prior to the approval of funding pursuant to Section 123 of the Act, or the approval of SSA
funding, as applicable.
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L. CONTRACTOR agrees to the following accounting, monitoring, auditing,
and review requirements:
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 and
certifications.
2. CITY, the State of California and the United States government
and/or their representatives shall have access for purposes of monitoring, auditing and
examining of CONTRACTOR'S activities, performance, and Participants related to this
Agreement. Such agencies or representatives shall also schedule on -site monitoring at
their discretion. Monitoring activities may also include, but are not limited to,
questioning employees and Participants and entering any premises or onto any site in
which any of the services or activities funded hereunder are conducted or in which any of
the records of CONTRACTOR are kept (2 CFR §200.330). Nothing herein shall be
construed to require access to any privileged or confidential information as set forth in
federal or state law.
3. 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.
4. 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.
M. 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.
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.
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O. If funding is through WIOA, CONTRACTOR shall comply with the
provisions of Uniform Guidance 2 CFR Part 200 of the U.S. Office of Management and Budget
(OMB) and all other applicable federal statutes and executive orders and their implementing
regulations, including regulations at 29 CFR Part 97.
P. If funding is through WIOA, CONTRACTOR shall comply with the
requirements of federal regulations found at 29 CFR Part 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 malting 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 Regarding Lobbying to that effect in a form as set forth in Exhibit D, attached
hereto and by this reference incorporated herein. CONTRACTOR shall submit said signed
Certification to CITY prior to performing any of its obligations under this Agreement and prior
to any obligation arising on the part of CITY to pay any sums to CONTRACTOR under the
terms and conditions of this Agreement.
Q. CONTRACTOR agrees to provide a drug -free work place and to execute a
Drug Free Workplace 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 not limited to: disclosure of information and compliance with earnings
assignment orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of
Division 9 of the state Family Code; and, to the best of its knowledge is fully complying with the
earnings assignment orders of all employees and is providing the names of all new employees to
the New Employee Registry maintained by the California Employment Development
Department (EDD).
S. CONTRACTOR agrees to comply with all applicable provisions of the Act
or SSA, as applicable, and all applicable federal regulations, including, but not limited to, the
Code of Federal Regulations, Subtitle AOffice of Management and Budget Guidance for
Grants and Agreements, as well as all applicable state and local regulations.
T. If funding is through WIOA, CONTRACTOR agrees to remain in
compliance with the Certification Regarding Debarment, attached hereto as Exhibit F and
incorporated herein by reference, as required by the regulations implementing Executive Order
12549, Debarment and Suspension, (2 CFR Part 180).
U. If funding is through WIOA, CONTRACTOR agrees to provide priority
of services for veterans and eligible spouses pursuant to 20 CFR Part 1010, and the regulations
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implementing priority of service for veterans and eligible spouses in Department of Labor job
training programs under the Jobs for Veterans Act published at 73 Fed. Reg. 78132 on December
19, 2008.
V. CONTRACTOR acknowledges that the official name for the statewide
system of providing employment and training through the WIOA partnerships, SSA, and various
other local programs is "America's Job Center". To achieve the goals of this Workforce
Training Program, 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".
CONTRACTOR agrees 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 WIOA or SSA funds. When the America's Job Center logo is used,
CONTRACTOR may accompany it with the following statement, "The (CONTRACTOR) is a
proud partner of the America's Job Center network". CONTRACTOR 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.
II.
CITY'S OBLIGATIONS
A. On July 1, 2020 the CITY was awarded a Department of Labor Workforce
Innovation and Opportunity Act grant of $1,260,082.00 for fiscal year 2020-2021. In addition, on
July 1, 2020, the CITY was awarded an Orange County Social Services Vocational Training
grant through the California Work Opportunity and Responsibility to Kids Act of 1997 in the
total amount of $1,677,928.00 for fiscal year 2020-2022. A portion of both grants in a total
amount not to exceed $2,000,000.00 shall be available to all Qualified Contractors to provide
workforce training classes for Qualified Participants.
B. If a Qualified Participant chooses to enroll in a course offered by
CONTRACTOR, CITY agrees to pay to CONTRACTOR when, if and to the extent WIOA or
SSA funds are received under the provisions of the applicable grants, in accordance with the
Course Costs attached hereto as Exhibit B and incorporated herein by reference, which may be
amended during the period of this Agreement. Said sum shall be paid with either WIOA or SSA
funds, as determined by the CITY in its sole discretion, after CITY receives invoices submitted
by CONTRACTOR as provided herein.
C. CONTRACTOR has the ability to adjust line item amounts in the Course
Costs with the approval of the Executive Director.
D. CITY agrees to provide for on -site monitoring reviews of the Workforce
Training Program operation at least annually. In addition, monthly desktop reviews of pertinent
information will be conducted.
E. 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
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performance by CONTRACTOR; (b) lack of fiscal accountability of CONTRACTOR; or (c)
decrease in available funding.
III.
COMPENSATION
A. CITY neither warrants nor guarantees any minimum or maximum
compensation to CONTRACTOR under this Agreement. CONTRACTOR shall be paid only for
actual services performed under this Agreement at the rates and charges identified in Exhibit B.
Any compensation payable to CONTRACTOR shall be paid from a portion of the above -
referenced WIOA and/or SSA grants awarded to the City in a total amount not to exceed
$2,000,000.00.
B. Payment by City shall be made within thirty (30) days following receipt
of proper invoice evidencing work performed, subject to City accounting procedures.
IV.
TERM OF AGREEMENT
A. This Agreement shall commence on the date stated above and continue
through June 30, 2023, with a one-year option to renew executable by the CITY in its sole
discretion, unless terminated earlier by either party. The one-year option may be executed, or the
Term of this Agreement may be further extended, by a writing executed by the City Manager and
the City Attorney.
B. Unless the CITY authorizes an extension, CONTRACTOR must liquidate
all obligations incurred under the Federal award not later than ninety (90) calendar days after the
end date of the period of performance as specified in the terms and conditions of the Federal
award, as applicable.
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.
V.
WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS
A. CONTRACTOR shall use appropriate funds received from CITY to
provide workers' compensation to all those hired by CONTRACTOR under this Agreement.
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B. CONTRACTOR shall have the right to hire, dismiss, or promote its
employees or contract personnel hired under this Agreement so long as its hiring or dismissal
policy or standard does not violate Title VII of the Civil Rights Act of 1964, Fair Labor
Standards Act of 1938, or any other applicable law, and CONTRACTOR maintains itself as an
Equal Opportunity employer.
VI.
APPLICABLE GUIDELINES
A. The parties hereto agree that CONTRACTOR shall comply with all
applicable federal and state laws and regulations, including, but not limited to the Performance
Indicators attached hereto as Exhibit C and incorporated herein by reference, and general
program requirements described in Sections 2 and 116 of the Act, and applicable regulations, and
the U.S. Department of Labor guidelines and regulations, including amendments or revisions
made during the terms of this Agreement. Said applicable laws are hereby incorporated by
reference and made part of this Agreement as though fully set forth herein.
B. CONTRACTOR also assures and certifies that:
1. 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, requiring that 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.
2. CONTRACTOR shall comply with any and all federal laws
limiting the political activity of employees hired under this Agreement.
3. CONTRACTOR shall comply with the requirements that no
program under the Act shall involve political activities.
4. RECORD INSPECTION. CONTRACTOR shall provide the U.S.
Department of Labor and the Controller General, by and through any authorized representative,
as well as the WDB Administrative Office, access to and the right to examine all records, books,
papers or documents relating to the accounting and use of funds under this Agreement for a
three-year period from and after the effective date of this Agreement.
5. No person with responsibilities in the operation of any program
under the Workforce Training Program shall discriminate with respect to any program
participant or any application for participation in such program because of race, creed, color,
national origin, sex, political affiliation or beliefs.
6. CONTRACTOR shall maintain appropriate standards for health
and safety in work and training situations.
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7. CONTRACTOR shall comply with general provisions, assurances,
and execute the Assurances and Certifications attached hereto as Exhibit G and incorporated
herein.
8. EQUAL OPPORTUNITY. Any literature distributed by
CONTRACTOR for the purpose of apprising businesses, Participants, or the general public of its
programs under this Agreement shall state that its programs are supported by the City of Santa
Ana and the Santa Ana Workforce Development Board, and shall state that the program is an
"equal opportunity employer/program" and that "auxiliary aids and services are available upon
request to individuals with disabilities."
9. Based on the population eligible to be served, or likely to be
directly affected by the 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,
CONTRACTOR must take reasonable steps to provide services and information in appropriate
languages after considering the scope of the program or activity, and the size and concentration
of the population that needs services or information in a language other than English.
10. 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.
it. 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.
12. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder
exceeds $100,000, CONTRACTOR must comply with Section 306 of the Clean Air Act [(42
USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and
Environmental Protection Agency ("EPA") regulations (40 CFR Part 35) 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
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to be utilized for the grant is under consideration to be listed on the EPA List
of Violating Facilities; and,
(c) It will notify the CITY and the EPA about any known violation of the above
laws and regulations.
13. CONTRACTOR agrees to adhere to the following STANDARDS
OF CONDUCT:
a. 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.
b. Employment of Former State or CITY Employees. CONTRACTOR will ensure that
any of its employees who were formerly employed by the State of California or CITY, in a
position that could have enabled such individuals to impact policy regarding or implementation
of programs covered by this Agreement, will not be assigned to any part or phase of the activities
conducted pursuant to this Agreement for a period of not less than two (2) years following the
termination of such employment.
c. 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.
d. Conducting Business Involving Close Personal Friends and Associates. Executives
and employees of CONTRACTOR will be particularly aware of the varying degrees of influence
that can be exerted by personal friends and associates and, in administering this Agreement, will
exercise due diligence to avoid situations which give rise to an assertion that favorable treatment
is being granted to friends and associates. When it is in the public interest for CONTRACTOR
to conduct business with a friend or associate of an executive or employee of CONTRACTOR,
an elected official in the area or a voting or non -voting member of the Workforce Investment
Board (WIB), a permanent record of the transaction will be retained.
e. Avoidance of Conflict of Economic Interest. No executive or employee of
CONTRACTOR elected official in the area, or voting or non -voting member of a WDB, 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 WDB 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 that the member directly represents.
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f. Salary and Bonus Limitations. If CONTRACTOR receives WIOA funds,
CONTRACTOR is required to comply with federal requirements regarding the limitations on
salary and bonus payments in accordance with Public Law 109-149, Section 7013.
VII.
HOLD HARMLESS
A. CONTRACTOR shall indemnify and save harmless CITY, its officers,
agents and employees, from and against any and all damages to properly or injuries to or death of
any person or persons, including property and employees or agents of CITY, and shall defend,
indemnify and save harmless CITY, its officers, agents and employees, from any and all claims,
demands, suits, actions or proceedings of any kind or nature, including, but not by way of
limitation, workers' compensation claims, resulting from or arising out of the negligent acts,
errors or omission of CONTRACTOR, its employees or subcontractors.
B. CONTRACTOR shall indemnify and save harmless CITY, its officers,
agents and employees, from and against any and all damages to property or injuries to or death of
any person or persons, including property and employees or agents of CITY, and shall defend,
indemnify and save harmless CITY, its officers, agents and employees, from and against any and
all claims, demands, suits, actions or proceedings therefore, resulting from or arising out of the
intentional or malicious acts of CONTRACTOR, its employees or subcontractors.
VIII.
INSURANCE
1. Commercial General Liability. CONTRACTOR agrees to obtain and keep in
force during the term of this Agreement a policy of comprehensive commercial general liability
insurance insuring the State of California, CITY, and CONTRACTOR against any liability for
accident, injury or death arising out of or in consequence of this Agreement. Such insurance
shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or
death of any person or persons in any single accident or occurrence, with $2,000,000 in the
aggregate coverage. Said policy of comprehensive general liability insurance shall be endorsed
to provide to CITY and to the State of California, Employment Development Department, at
least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents,
employees, and volunteers, and the State of California, its officers, employees, and volunteers as
Additional Insured; and state that such coverage is primary to any other coverage or self-
insurance of the State of California and CITY. Governmental entities may substitute a certificate
of self-insurance.
2. Workers' Compensation. If CONTRACTOR is an "employer", as set forth in
California Labor Code Section 3300 et seq., or utilizes Participants as "employees," as set forth
in California Labor Code Section 3350 et seq., CONTRACTOR shall obtain and keep in force
during the term of this Agreement full Workers' Compensation insurance coverage for injuries
suffered by Participants. Said insurance policy shall guarantee CITY at least thirty (30) days
written notice of cancellation or modification. CONTRACTOR shall carry medical and accident
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insurance for those Participants not qualifying as "employees" for Worker's Compensation
Coverage, pursuant to California Labor Code Section 3350, et seq.
4. 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.
CORPORATESTATUS
CONTRACTOR shall be in good standing, without suspension by the California
Secretary of State, Franchise Tax Board or Internal Revenue Service. Any change in corporate
status or suspension shall be reported immediately to CITY.
X.
ASSIGNABILITY
None of the duties of, or work to be performed by, CONTRACTOR under this
Agreement shall be subcontracted or assigned to any agency, consultant, or person without the
prior written consent of CITY. CONTRACTOR must submit all subcontracts and other
agreements that relate to this Agreement to CITY. If receiving WIOA funds, CONTRACTOR
acknowledges and agrees that it must follow procurement regulations for contractors (2 CFR
§200.317). No subcontract or assignment shall terminate or alter the legal obligations of
CONTRACTOR pursuant to this Agreement.
XI.
LAWS GOVERNING THIS AGREEMENT
In its performance under this Agreement, CONTRACTOR shall fully comply with the
requirements of the following, whether or not otherwise referred to in this Agreement:
1. If receiving WIOA funds, the Act and all applicable federal statutes, regulations,
policies, procedures and directives, including but not limited to, 2 CFR 200 and 20 CFR.
Parts 651 and 654
2. All applicable State statutes, regulations, policies, procedures and directives;
3. All applicable CITY policies, procedures and directives;
4. All applicable local ordinances and requirements, including use permits and
licensing;
5. Court orders applicable to its operation; and,
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6. The terms and conditions of this Agreement.
If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply
with such or will notify CITY after enactment or modification that it cannot so comply. CITY
may thereupon terminate this Agreement, if necessary.
XII.
EXCLUSIVITY AND AMENDMENT OF AGREEMENT
This Agreement supersedes any and all other agreements, either oral or in writing,
between the parties hereto with respect to the employment of CONTRACTOR by CITY, and
contains all the covenants and agreements between the parties with respect to such employment.
Each party to this Agreement acknowledges that no representations, inducements, promises or
agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any
party, which are not embodied herein, and that no other agreement or amendment hereto shall be
effective unless executed in writing and signed by both CITY and CONTRACTOR.
XIII.
FRAUD
CONTRACTOR shall immediately report to CITY all instances and facts
concerning possible fraud, abuse or criminal activity relating to expenditure or receipt of funds
under this Agreement.
XIV.
CONTINGENCY OF FUNDS
CONTRACTOR acknowledges that approval of and funding for this Agreement
is contingent upon State approval, and WIOA and/or SSA funds received or obligated from the
State of California to CITY. If such approval of funds is not forthcoming, or is otherwise
limited, CITY shall immediately notify CONTRACTOR. Within twenty (20) days of receipt of
such notice, CONTRACTOR shall modify or cease operations as directed by CITY and negotiate
necessary modification to this Agreement and/or reimbursement of costs incurred hereunder.
XV.
TERMINATION
A. 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.
B. In the event CONTRACTOR defaults by failing to fulfill all or any of its obligations
hereunder, CITY may declare a default and termination of this Agreement by written notice to
CONTRACTOR, which default and termination shall be effective on a date stated in the notice
which is to be not less than ten (10) days after certified mailing or personal service of such notice,
Page 13 of 17
unless such default is cured before the effective date of termination stated in such notice. If
terminated for cause, CITY shall be relieved of further liability or responsibility under this
Agreement, or as a result of the termination thereof, including the payment of money, except for
payment for approved expenses incurred for services satisfactorily and timely performed prior to the
mailing or service of the notice of termination, and except for reimbursement of (1) any payments
made for services not subsequently performed in a timely and satisfactory manner, and (2) costs
incurred by CITY in obtaining substitute performance.
XVI.
DISPUTES
Except as otherwise provided in this Agreement, any dispute concerning any
question arising under this Agreement shall be decided by CITY. In such a case CITY shall
reduce its decision to writing and mail or otherwise furnish a copy thereof to CONTRACTOR.
The decision of the City shall be final and conclusive unless within thirty (30) calendar days
ftom the mailing or delivery of such copy, CITY receives from CONTRACTOR written request
to appeal said decision.
If receiving WIOA funds, procedures governing the appeal shall be prescribed by
CITY and/or the State of California in accordance with the Act and all corresponding regulations
and OMB circulars. Pending final disposition of the appeal, CONTRACTOR shall act in
accordance with CITY's decision unless the dispute involves a change order.
XVII.
BREACH - SANCTIONS
If, through any cause, CONTRACTOR violates any of the terms and conditions of
this Agreement, and/or prior agreements whereby grant funds were received by CONTRACTOR
pursuant to this Agreement, or if CONTRACTOR reports inaccurately or if any Audit Report
makes disallowances, CONTRACTOR shall promptly remedy its acts or omissions and/or repay
CITY all amounts due CITY as a result of CONTRACTOR's violation. For any such failures or
violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program
support until such time as CONTRACTOR fulfills its obligations or remedies all violations of
this Agreement or prior agreements; and/or (2) collect outstanding amounts as determined by
CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30)
days' written notice CONTRACTOR has failed to repay same or a repayment schedule has not
been made; and/or (3) terminate this Agreement by giving written notice to CONTRACTOR of
such termination in accordance the notice provision in Paragraph XVIII herein below.
Page 14 of 17
XVIII.
NOTICES
All notices, reports and correspondence between the parties hereto respecting this
Agreement shall be in writing and deposited in the United States Mail, postage prepaid,
addressed as follows:
CITY: City of Santa Ana
Manager, WDB Administrative Office
P.O. Box 1988 (M-76)
Santa Ana, CA 92702
CLERK: Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA .92702-1988
Fax (714) 647-6956
CONTRACTOR: Hierarch Barber & Cosmo Apprentice Academy
1717 Old Tustin Ave., Suite b
Santa Ana, CA 90630
Phone: (714) 864-2801
Email: innovator@hierarch.info
XIX.
MERGER
This Agreement, together with the attachments hereto, expresses the total
understanding of the parties. There are no oral understandings of the parties or terms and
conditions other than as stated herein.
XX.
VALIDITY
The invalidity in whole or in part of any provision of this Agreement shall not
void or affect the validity of any other provision of this Agreement.
Page 15 of 17
xxl.
MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature herein below has the power,
authority and right to bind their respective parties to each of the terms of this Agreement, and shall
indemnify CITY fully, including reasonable costs and attorney's fees, for any injuries or damages to
CITY in the event that such authority or power is not, in fact, held by the signatory or is withdrawn.
b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set
forth in the body of this Agreement.
(Signatures on followingpage)
Page 16 of 17
A-2020-194-35
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first
above -written.
ATTEST:
A4il Clerk of the Counci
�;g
APPROVED AS TO FORM:
Sonia R. Carvalho
City Attorney
By:
R a 0. lodge
As stant City Attorney
RECOMMENDED FOR APPROVAL:
Steven A. Mendoza
Executive Director
Community Development Agency
"CITY"
By: �- N,
Kristine Ridge
City Manager
"CONTRACTOR"
By: _
Name: Jaso o Lee
Title: Ceo Hierarch Barber and Cosmo Apprenticeship Academy
Tax ID #: 603106651
Page 17 of 17
EXHIBIT A & B
Scope of Service & Course Cost
Hierarch Barber and Cosmo
•••
1717 Old Tustin Ave.. Suite 8, Santa Ana. CA 92705
Jason Lee
1717 Old Tustin Ave., Suite
B
Santa Ana. CA 92705
(714)864.280i
innovator
:mhierarch.info
Advanced Features
4761: Barber Apprenticeship
Cost: $7,500.00
Hours: 3459
Weeks: 96
Tuition: $0.00
Books: $330.00
Other Expenses: $5.998.50
Registration: $25.00
Supplies: $1,146.50
Sites:
• 1717 Old Tustin Ave-
Suite B. Santa Ana, CA 92705
4762: Cosmetology Apprenticeship
Cost: $7,237.50
Hours: 3420
Weeks: 96
Tuition: $0.00
Books: $330.00
Other Expenses: $5,736-00
Registration: S25.00
Supplies: $1.146.50
Sites:
1717 Old Tustin Ave..
Suite 8, Santa Ana, CA 92705
I
Hierarch I -TRAIN APPROVAL
If
Q Hierarch
Q
Q Clear search criteria
Q
Find Schools on a Map Display Map of Selected Courses Display Table of Selected Cour...
Quarterly Vendor Performance... Cost Comparison Deselect all programs
Provider
Hierarch Barber and Cosmo
Apprenticeship Academy
1717 s. r
Jason Lea
1717 Old Tustin Ave., Suite
B
Santa Ana. CA 92705
(714) 864.2801
innovator
'^ hierarch.info
Advanced Frsatures
IV]
Cost & Hours Chart
4761: Barber Apprenticeship
Cost: $7,500M
Hours: 3459
Weeks: 96
Tuition: $0.00
Books: $330.00
Other Expenses: $5,998.50
Registration: $25.00
Supplies: $1,146.50
Sites:
1717 Old Tustin Ave..
Solis B, Santa Ana, CA 92705
4762: Cosmetology Apprenticeship
Cost: S7,237.50
Hours: 3420
Weeks: 96
Tuition: $0,00
Books: $330.00
Other Expenses: $5,736.00
Registration: $25.00
Supplies: $1,146.50
Sites:
• 1717 Old Tustin Ave..
Suite B, Santa Ana, CA 92705
This WIOA Titter 1 financially assisted program or activity is an equal upportunny employedprogram.
Auxiliary aids and services are available upon request to individuals with disabilacs by calling in advance to CRS
This site in,orpora(es information from O'NET Web Services by the U.S. Department of Lahor, Employment
and Training Administration (USDOUETA). O'NET 11 is a trademark of USDOUETA.
or
EXHIBIT C
Employment
EDPDevelopment INFORMATION NOTICE -'
Department Date: June 4,2020 Number: WSIN19-48 ��•
State of California Expiration Date: 07/04/2020
STATE NEGOTIATED PERFORMANCE GOALS PY 2020 and 2021
The Workforce Innovation and Opportunity Act (WIOA) Section 116(b) requires the state to
reach an agreement with the US Department of Labor (DOL) on state -level performance goals
for the Wagner-Peyser, and WIOA Title IB Adult, Dislocated Worker, and Youth programs every
two years.
In May 2020, the state negotiated the performance goals with the DOL for Program Years (PY)
2020 and 2021 using the Statistical Adjustment Model (SAM) as a baseline.
PY 2020 and PY 2021 Negotiated Performance Goals
Indicators
Adults
Dislocated
Youth
Wagner -
Workers
Peyser
Employment Rate 2nd
Quarter After Exit
67.0%
71.9%
71.0%
°
61.4 /°
(Includes placement in
education for Youth
Employment Rate 4th
Quarter After Exit
66.0%
72.5%
71.0%
62.0%
(Includes placement in
education for Youth
Median Earnings 2nd
$6,000
$8,070
$3,490
$6,689
Quarter After Exit
Credential Attainment
60.0%
60.0%
60.0%
N/A
Measurable Skill
50.0%
50.0%
56.4%
N/A
Gains
The Employment Development Department will negotiate levels of performance for five of the
WIOA primary indicators of performance with Local Areas for PY 2020 and PY 2021.
The state will take into account the following factors when negotiating performance goals with
the Local Areas:
The EDD is an equal opportunity employer/program. Auxiliary aids and services
are available upon request to individuals with disabilities.
Page 1 of 2 50:187
EXHIBIT C
How the levels involved compare with the negotiated levels of performance established
for the state.
• Ensure that the negotiated levels account for the economic conditions and the
participant characteristics based on the SAM.
• The levels involved promote continuous improvement of the indicators of performance.
For more information on the Performance Negotiation process, please review the Workforce
Services Directive State Level Performance Goals and Local Area Negotiations (WSD19-11 PDF).
If you have questions related to this information, contact the Program Reporting and Analysis
Unit at wsbmanageperformance@edd.ca.vov.
/s/ JAIME L. GUTIERREZ, Chief
Central Office Workforce Services Division
Page 2 of 2
CERTIFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTRACTS, GRANTS, LOANS
and COOPERATIVE AGREEMENTS
The undersigned certifies, to the best of his or her knowledge and belief, that:
1) No Federal appropriated funds have been paid or will be paid, by or on behalf of
the undersigned, to any person for influencing or attempting to influence an
officer or employee of any agency, a Member of Congress in connection with the
awarding of any Federal contract, the making of any Federal grant, the making of
any Federal loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement.
2) If any funds other than Federal appropriated funds have been paid or will be paid
to any person for influencing or attempting to influence an officer or employee of
any agency, a Member of Congress, an officer or employee of Congress, or an
employee of a member of Congress in connection with this Federal contract,
grant, loan, or cooperative agreement, the undersigned shall complete and
submit Standard Form-LLL, "Disclosure Form to Report Lobbying." in
accordance with its instructions.
3) The undersigned shall require that the language of this certification be included in
the award documents for all subawards at all tiers (including agreements) and
that all subrecipient's shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed
when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352.
Any person who fails to file the required certification shall be subject to a civil penalty of
not less than $10,000 and not more than $100,000 for each such failure occurring on or
before October 23, 1996, and of not less than $11,000 and not more than $110,000 for
each such failure.
Hierarch Barber and Cosmo
Apprentice Academy
Grantee/Contractor Organization
Signature
Jason Lee
Name of Certifying Official Signature
Barber and Cosmo Apprenticeship sponsor
EXHIBIT D
Program Title
Certification Regarding Drug -Free Workplace Requirements
The certification set out below is a material representation upon which reliance is placed
by the U.S. Department of Housing and Urban Development in awarding the grant. If it
is later determined that the contractor knowingly rendered a false certification, or
otherwise violates the requirements of the Drug -Free Workplace Act, the U.S.
Department of Housing and Urban Development, in addition to any other remedies
available to the Federal Government, may take action authorized under the Drug -Free
Workplace Act.
CERTIFICATION
A. The contractor certifies that it will provide a drug -free workplace by:
(a) Publishing a statement notifying employees that the unlawful manufacture,
distribution, dispensing, possession or use of a controlled substance is
prohibited in the contractor's workplace and specifying the actions that will
be taken against employees for violation of such prohibition;
(b) Establishing a drug -free awareness program to inform employees about —
(1) The dangers of drug abuse in the workplace;
(2) The contractor's policy of maintaining a drug -free workplace;
(3) Any available drug counseling, rehabilitation, and employee
assistance program; and
(4) The penalties that may be imposed upon employees for drug abuse
violations occurring in the workplace;
M Abide by the terms of the statement; and
(2) Notify the employer of any criminal drug
such conviction.
within
ten days after receiving notice under subparagraph (d)(2) from an
employee or otherwise receiving actual notice of such conviction;
EXHIBIT E
(f) Taking one of the following actions, within 30 days of receiving notice
under subparagraph (d)(2), with respect to any employee who is so
convicted -
(1) Taking appropriate personnel action against such an employee, up
to and including termination; or
(2) Requiring such employee to participate satisfactorily in a drug
abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement, or
other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug -free workplace
through implementation of paragraphs (a), (b), (c), (d), (e) and (f).
B. The contractor shall insert in the space provided on the attached "Place of
Performance' form the site(s) for the performance of work to be carried out with
the grant funds (including street address, city, county, state, and zip code) .the
contractor further certifies that, if it is subsequently determined that additional
sites will be used for the performance of work under the contract, it shall notify
the U.S. Department of Housing and Urban Development immediately upon the
decision to use such additional sites by submitting a revised 'Place of
Performance" form.
8/18/22
Date Program Operator Signature
EXHIBIT E
DIVISION OF EMPLOYMENT SERVICES
PLACE OF PERFORMANCE
FOR CERTIFICATION REGARDING DRUG -FREE
WORKPLACE REQUIREMENTS
Name: Hierarch Barber and Cosmo Apprenticeship Academy
Name of Contractor: Jason Lee
Contractor Number:
Date: 8/18/22
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):
1717 old tustin ave suite b Santa Ana ca. 92705
Address
EXHIBIT E
Certification Regarding
Debarment, Suspension, Ineligibility and Voluntary Exclusion
Lower Tier Covered Transactions
This certification is required by the regulations implementing Executive Order 12549, Debarment and
Suspension, 29 CFR Part 98, Section 98.510, Participants' Responsibilities. The regulations were
published as Part VII of the May 16, 1988, Federal Register (Pages 19160-19211).
(Before completing certification, read instructions which are an integral part of certification)
1. The prospective primary participant, (i.e. grantee) certifies to the best of its knowledge and belief,
that it and its principals:
a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from covered transactions by any federal department or agency;
b. Have not within a three-year period preceding this proposal been convicted or had a civil
judgment rendered against them for commission of fraud or a criminal offense in connection
with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction
or contract under a public transaction; violation of federal or state antitrust statues or
commission of embezzlement, theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property.
c. Are not presently indicted for or otherwise criminally or civilly charged by a government
entity (federal, state or local) with commission of any of the offenses enumerated in paragraph
(1)(b) of this certification; and
d. Have not within a three-year period preceding this application/proposal had one or more
public transactions (federal, state or local) terminated for cause or default.
2. Where the prospective primary participant is unable to certify to any of the statements in this
certification, such prospective participant shall attach an explanation to this proposal.
Hierarch Barber and Cosmo Apprenticship Academy
Grantee/Contractor Organization
- Jason Lee Ceo
Name and Title of Official Authorized to Certify
On Behalf of the Grantee
8/18/22
Date
EXHIBIT F
INSTRUCTION FOR CERTIFICATION
1. By signing and submitting this proposal, the prospective recipient of Federal assistance funds is
providing the certification as set out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed
when this transaction was entered into. If it is later determined that the prospective recipient of
Federal assistance funds knowingly rendered an erroneous certification, in addition to other
remedies available to the Federal Government, the Department of Labor (DOL) may pursue available
remedies, including suspension and/or debarment.
3. The prospective recipient of Federal assistance funds shall provide immediate written notice to the
person to which this proposal is submitted if at any time the prospective recipient of Federal
assistance funds learns that its certification was erroneous whom submitted or has become
erroneous by reason of changed circumstances.
4. The terms "covered transaction", "debarment', "suspended", "Ineligible", "lower tier covered
transaction", "participant', "person", "primary covered transaction", "principle", "proposal", and
"voluntarily excluded", as used in this cause, have the meanings set out in the Definitions and
Coverage sections of rules implementing Executive Order 12549. You may contact the person to
whom this proposal is submitted for assistance in obtaining a copy of those regulations.
5. The prospective recipient of Federal assistance funds agrees by submitting this proposal that, should
the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless authorized by the DOL.
6. The prospective recipient of Federal assistance funds agrees by submitting this proposal, that it will
include the clause title "Certification Regarding Debarment, Suspension, Ineligible, or voluntarily
excluded from the covered transaction unless it knows that the certification is erroneous.
7. Nothing contained in the foregoing shall be construed to require establishment of a system of
records in order to render in good faith the certification required to exceed that which is normally
possessed by a prudent person in the ordinary course of business dealings.
8. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a
covered transaction knowingly enters into a lower tier covered transaction with a person who is
suspended, debarred, ineligible, or voluntary excluded from participation in this transaction, in
addition to other remedies available to the Federal Government, the DOL may pursue available
remedies, including suspension and/or debarment.
EXHIBIT F
Assurances & Certifications
Selected providers will be required to sign and submit "actual" assurances and certificates as required by
the City of Santa Ana and the Workforce Development Board on all contracts.
I recognize that I must give assurances for each item below. Please initial each box indicating you have
read and are providing assurance you are or will be in compliance with the following:
0 SAWDB uses the Ca1JOBs ETPL Module for accepting applications from the providers to be listed
on the ETPL. Local boards may authorize a single local board to act on their behalf in making
determinations for initial and/or subsequent eligibility of providers. Contractors must enter program(s)
of training services into CaIJOBS. The training provider should only enter the program(s) desired to
be on the CA ETPL. If the program is offered with multiple modes of delivery, or course lengths, the
program must be entered separately for each variation.
SAWDB has authorized the South Bay WDB to make initial and subsequent eligibility determinations
for applications submitted from providers. Contractors should contact the South Bay WDB 11539
Hawthorne Blvd., 5' Floor, Hawthorne, CA 90250, 310-970-7700.
an CONTRACTOR is required to be in compliance with South Bay WDB Master agreement and
SAWDB agreement.
0 In cases where South Bay WDB has denied a provider's application, provider may submit the
application to SAWDB for consideration and processing at 801 W. Civic Center Dr. #200, Santa Ana,
CA 92701 ATTN: SAWDB Staff. The submission must include completed ETPL training program
applications and a copy of the letter from the South Bay WDB denying application.
0 Local boards may establish local policies requiring performance above the state minimum standards
for providers to be included on the ETPL.
Acceptance and processing of an application does not constitute an agreement or relationship between
the CONTRACTOR and SAWDB, nor does it guarantee any referrals to the provider by SAWDB.
Applications will be process on an ongoing basis.
CONTRACTOR must be in compliance with the State and Federal regulations, per Workforce
Innovation and Opportunity Act (WIOA) Eligible CONTRACTOR List Policy and Procedure
WSD15-07 or it's replacement.
0 CONTRACTORS must also meet one of the following criteria in order to have their programs
listed on the ETPL:
1) Bureau of Private Postsecondary Education Approval to Operate, or Verification of
Exemption by BPPE.
EXHIBIT G
2) Accreditation by the Accrediting Commission for Senior Colleges and Universities, WASC,
or the Accrediting Commission for Community and Junior Colleges, CSU, UC, and other
WASC accredited institutions. This accreditation can be verified at: www.aceic.org/ or
www.wascsenior.ory/.
3) Postsecondary institutions eligible under Title IV of the Higher Education Act (BEA) and
offering programs leading toward an associate degree, baccalaureate degree, or certificate.
4) Approval by the California Department of Education.
5) Approval by the Chancellor's Office of the California Community Colleges (CCCCO).
CONTRACTOR must reapply to be considered for subsequent approval on the ETPL and agrees to
provide the required performance and cost information data.
CONTRACTOR must annually meet the state's minimum performance standards, however the
SAWDB may set higher levels. Public Postsecondary Community Colleges, CSUs, and UCs are
required to provide performance information for consideration of placement on the CA ETPL, but due
to heavy state oversight, investment, and the inability to capture true program outcome data, these
institution types are not required to meet a specific performance threshold to be listed on the CA ETPL.
0 CONTRACTOR's BPPE accredited shall provide a copy of the provider's BPPE Annual Report (the
Performance Fact Sheet) to document their achievement of the performance criteria if applicable.
0 ALL Training on the ETPL must be for occupations in in -demand industry sectors identified by the
state, regional or local workforce development boards.
All Training on the ETPL must provide training services that lead to an industry -recognized credential,
national or state certificate, or degree, including all industry appropriate competencies, licensing
and/or certification requirements.
CONTRACTOR understands that all performance data and data submitted on the ETPL must be made
available for data verification by the SAWDB or the State EDD office.
0 CONTRACTOR must maintain all the relevant records utilized to support the data submitted on ETPL
for audit or monitoring purposes by the SAWDB or the State EDD office.
0 CONTRACTOR that claim an exemption to BPPE (Section 94874 of the BPPE Act), must apply
and receive a "Verification of Exemption" before being listed on the ETPL. Since it has been
determined that any expenditure of public funds, state or federal, that directly benefits a student to be
student financial assistance, we expect that instances of exemption will be very rare.
0 CONTRACTOR must have all considered training programs listed with the BPPE, the SAWDB may
verity the data that was submitted to BPPE.
All new and current CONTRACTOR will be required to be registered in CaIJOBS` and must have
all considered training programs listed with the BPPE match on CaIJOBS.
All CONTRACTOR are required to enter performance data for each program to be listed on the ETPL
and provide evidence to the Local Board that they have met the minimum performance criteria
required. Programs that do not include performance data will not be approved for listing on the ETPL.
EXHIBIT G
CONTRACTOR must have their current course catalogs on file with the SAWDB.
0 CONTRACTOR agrees to immediately notify (within 10 working days) the SAWDB, in writing, of
any changes in the information submitted with initial agreement.
CONTRACTOR agrees to accept WIOA eligible referrals from the Santa Ana WORK Center on an
individual referral basis.
0 CONTRACTOR shall not accept nor enroll WIOA participants who do not meet the
CONTRACTOR's entrance requirements, which are to be the same general entrance requirements
required of public students, and agrees to submit a written notification to the Santa Ana WORK
Center's Case Manager stating the reason(s) for non -acceptance.
0 CONTRACTOR agrees to assist the WIOA client in applying for PELL Grants and any other funds
that might be available to offset the cost to WIOA and to work together with the WIOA client's Case
Manager to ensure all other funding sources are investigated and those funds obtained before
submitting the Vendor Voucher to the SAWDB for payment.
0 CONTRACTOR agrees to cross out sections of the student enrollment agreement that would hold the
WIOA participant financially responsible for any training related expenses.
0 Once accepted, CONTRACTOR agrees to enroll the WIOA participant in the course stipulated on the
Vendor Voucher and no other.
CONTRACTOR agrees to invoice the Santa Ana WORK Center, on a cost reimbursement basis, for
third party testing (Microsoft, Novell, A+, etc.) and will provide a copy of the Pass/Pail results at that
time.
'R Pre -Apprenticeship CONTRACTORS must include a letter of commitment from an approved
apprenticeship program and meet the application policies and procedures required for the type of
program (e.g., community college, private post -secondary, adult education provider, etc.).
0 CONTRACTOR Apprenticeship Programs registered under the National Apprenticeship Act (NAA)
or recognized by DIR/DAS are exempt from initial eligibility procedures. Registered apprenticeship
programs must be included and maintained on the list of eligible providers of training services as long
as the corresponding program remains registered, as described at WIOA sec. 122(a)(3).
CONTRACTOR agrees to allow SAWDB, Santa Ana WORK Center, the State of California, and the
Department of Labor, the WIOA client and any of their duly authorized representatives' access to all
the records regarding the WIOA client for monitoring purposes. The records include any books,
documents, papers, files and computer data directly pertinent to the records of the WIOA participant.
The right to records includes the right to make excerpts, transcripts and photocopies. The right also
includes the right to have reasonable and timely access to personnel for the purpose of interviews and
discussions related to the records of the WIOA participant.
0 CONTRACTOR agrees to provide press reports which indicate grades and test scores, as well as
attendance reports, to the WIOA client's Case Manager on a monthly basis.
EXHIBIT G
0 CONTRACTOR agrees to notify the WIOA client's Case Manager immediately (within 5 working
days) if the WIOA client is absent for more than 3 days in a row, has sporadic attendance or drops out
of school unless other arrangement are made in writing.
CONTRACTOR agrees to provide a copy of the "reimbursement form" and issue a refund check to
the "City of Santa Ana" for the number of unused training hours and any non -issued training/testing
vouchers, books, tools, etc. due within 30 calendar days after the last day the WIOA client attended
school or the day the school was notified that the WIOA client dropped. Said check to be mailed to
the attention of the WIOA Case Manager, 801 W Civic Center Dr., #200, Santa Ana, CA 92701.
0 CONTRACTOR agrees to provide the WIOA Case Manager a copy of the WIOA client's certificate
of completion or diploma or official transcripts within 10 working days of the date of completion or
graduation.
0 CONTRACTOR agrees to provide the WIOA client with the same level of job search/placement
assistance as provided to the public students and to provide the WIOA Case Manager with all the
pertinent information regarding the placement of the WIOA client within 5 working days of the WIOA
client's first day of employment. A WIOA client has 180 days after completing training to get a job
for the CONTRACTOR to get credit for placement in employment.
0 I am authorized by my Board of Directors, Trustees, other legally qualified officer, or as the owner of
this agency or business to submit this proposal.
CONTRACTOR is not currently on any Federal, State of California, or local Debarment list.
CONTACTOR will provide records to show that we are fiscally solvent, if needed.
'A CONTRACTOR has, or will have, all of the fiscal control and accounting procedures needed to ensure
that WIOA funds will be used as required by law and contract.
CONTRACTOR has additional finding sources and will not be dependent on WIOA funds alone.
CONTRACTOR will meet the applicable Federal, State, and local compliance requirements. These
include, but are not limited to:
Records accurately reflect actual performance if applicable.
Maintain record confidentiality, as required.
0 Reporting financial, participant, and performance data, as required.
0 Comply with State and Federal fiscal and program activity audits.
Complying with Federal and State non-discrimination provisions.
0 Meeting requirements of Section 504 of the Rehabilitation Act of 1973.
Meeting requirements of the American's with Disabilities Act of 1990. (submit completed survey)
EXHIBIT G
Meeting all applicable labor law, including Child Labor Law standards.
Agree to provide a drag free workplace.
0 Agree to insure the City of Santa Ana through General Liability Insurance and Automobile Liability
Coverage in the amount of $1,000,000.00 policy.
Agree to provide all participants with Grievance Procedures.
0 Agree to insure proposer's employees through Workers Compensation Insurance (including part-time
employees)
SProcurement policies and procedures are in place and meet federal guidelines.
CONTRACTOR will not:
0 Use WIOA money to assist, promote, or deter union organizing.
HUse funds to employ or train of persons in sectarian activities.
Use funds for youth in the construction, operation, or maintenance of any part of a facility to be used
for sectarian instruction or religious worship.
Use WIOA money under this contract to purchase any equipment.
I hereby assure that all of the above are true.
CEO 8/18/22
'Title Date
EXHIBIT G
COMPLAINT HANDLING
UNDER THE
Workforce Innovation Opportunity Act
Santa Ana Local Workforce Development Area
Revised May 20, 2019
EXHIBIT H
Table of Contents
L Information Regarding Com
A. Nondiscrimination and Equal Opportunity Complaints 3
1. Policy
2. Civil Ri
3. Nondiscrimination laws under
0
0
4. How to File Your Complaint 5
B. Criminal Complaints 6
II. General Procedures for Handling Non -Criminal Violations of the Act 6
III. Procedures for Handling Complaints at the LWDA Level 8
IV. Procedures for Handling Complaints at the State
12
V. Procedures for Handling Discrimination Complaints by Participants 15
VI. Procedures for Handling Disability Complaints by Participants 17
GLOSSARY OF WIOA
2
EXHIBIT H
Information Regarding Complaints
A. Nondiscrimination and Equal Opportunity Complaints
1. Policy Statement
In carrying out the purpose of the Workforce Innovation Opportunity Act (WIOA), the
City of Santa Ana Local Workforce Development Area (LWDA) will establish
programs to prepare youth and unskilled adults for entry into the labor force and to
afford job training to those individuals facing serious barriers to employment. Every
effort will be made to provide services necessary for eligible individuals to obtain
productive employment.
In implementing WIOA, all contractors in the Santa Ana LWDA will foster equal
opportunity and non-discrimination, as provided in State and Federal equal
opportunity and non-discrimination laws including, but not limited to:
• Title VI of the Civil Rights Act of 1964
• Title VI of the Civil Rights Act of 1964
• The Age Discrimination Act of 1975, as amended
• Section 503 of the Rehabilitation Act of 1973
• Section 504 of the Rehabilitation Act of 1973
• Title IX of the Education Amendments of 1972
• Section 188 of the Workforce Innovation Opportunity Act of 2014
In keeping with our commitment, no individual shall be excluded from participation in,
denied benefits of, subjected to discrimination under, or denied employment, in the
administration or of in connection with any WIOA funded program because of race,
color, religion, sex, national origin, age, disability, or political affiliation or belief.
Participation in programs and activities financially assisted in whole or in part under
WIOA shall be open to citizens and nationals of the United States, lawfully admitted
permanent resident aliens, lawfully admitted refugee, parolees, and other individuals
authorized by the Attorney General to work in the United States.
No individual will be intimidated, threatened, coerced, or discriminated against
because of filing a complaint, furnishing information, or assisting or participating in
any manner in an investigation, compliance review, hearing or any other activity
related to the administration of WIOA.
EXHIBIT H
Administration responsibility for this Equal Opportunity/Affirmative Action (EO/AA)
Program is delegated to the Equal Employment Opportunity (EEO) Officer for the
Santa Ana local Workforce Development Area. Equal opportunity and non-
discrimination, however, will only be achieved through leadership and implementation
of a viable Affirmative Action Equal Opportunity Program.
2. Civil Rights
No one applying for or enrolled in the Workforce Innovation Opportunity Act (WIOA)
programs may be discriminated against because of race, color, creed, disability,
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 WIOA.
• No benefits or services may be denied you for discriminatory reasons.
• You may not be segregated or treated any differently from other applicants or
participants, while you are being registered, interviewed, counseled or tested; or
while you are working or attending classes as part of the program.
• You must be provided an equal chance to use all facilities available in the
program.
• Fair employment practices must be provided to all staff with regard to recruiting,
hiring, transferring, promotions, training, compensation, benefits, layoff, and
termination.
You have the right to make a complaint if you feel you have been denied any of the
above opportunities. You cannot in any way be penalized for filing a complaint. Your
WIOA sponsor has established a mechanism for handling complaints and grievances.
Your complaint must be filed within 180 days. All complaints will be handled
confidentially.
3. Nondiscrimination Laws under WIOA
Title VI 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 1973
EXHIBIT H
Prohibits discrimination based on disability.
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 Acts of 1964
Prohibits discrimination in employment based on race, color, religion, sex, or
national origin in all terms and conditions of employment and establishes the
Equal Employment Opportunity Commission as the administrative agency.
White House Executive Order no. 11246 as Amended by Executive Order No.
11375
Creates the office of Federal Contract Compliance and prohibits discrimination
based on race, color, sex, religion, or national origin.
Department of Labor Secretary's Order no. 4-73
Prohibits discrimination based on sex.
Equal Pay Act of 1963
Prohibits pay differential solely because of sex.
Emergency 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:
EXHIBIT H
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 disability must be filed within 180 days of the alleged
occurrence. These complaints must be filed directly with the WIOA administrative
entity. The WIOA administrative entity shall issue a written decision within 30 days of
the filing of the complaint. If the complaint is still unresolved, an appeal may be made
to the Chief of State Workforce Investment Division Office.
The Department of Labor, the Civil Service Commission, the Equal Employment
Opportunity Commission, and many other offices and agencies are committed to
assuring equal employment opportunities for all persons. They will protect you.
A case may be taken to court if the other processes do not yield satisfactory results.
You may hire your own lawyer, or if you cannot afford one, the court may appoint one
for you.
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 INNOVATION OPPORTUNITY ACT
Santa Ana Local Workforce Development Area
801 W. Civic Center Drive, Suite 200
Santa Ana, CA 92701
(714)565-2600
B. Criminal Complaints
In accordance with the WIOA and the implementing code of Federal section 667.600....
Federal handling of criminal complaints and report fraud, abuse and other criminal
activity. "All information and complaints involving fraud, abuse or other criminal activity
shall be reported directly and immediately to the City of Santa Ana and the Secretary of
Labor."
II. General Procedures for Handling Non -Criminal Violations of the Act
The following procedure is promulgated to meet the requirements of Title 20, of the Code of
Federal Regulations, Section 186 through 188 of the WIOA regulations, and Section 181 of the
Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWDA level for the
receipt, investigation, hearing, and resolution of complaints by WIOA participants, sub
EXHIBIT H
recipients, 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 LWDA.
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 concern policies, procedures
or action(s) arising in connection with WIOA programs operated by each LWDA grant recipient
and sub recipient under the Act.
These procedures shall not be construed as affecting any other available legal remedy outside
of the WIOA 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-WIOA complaint. Also, these procedures do not
restrict the LWDA grant recipient staff in carrying out informal discussion
Procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion and
resolution of any problems outside of and without resort to the formal complaint procedure.
A. The following principles and rules apply to all complaints at all steps of the complaint
procedures:
1. All complaints must be made in writing within 180 days of the alleged occurrence,
except complaints alleging fraud or criminal activity.
2. All persons filing a complaint shall be free from restraint, coercion, reprisal, or
discrimination. Good faith efforts shall be made to informally resolve the complaint
prior to the scheduled hearing. Complainants have the right to withdraw their
complaints (in writing) at any time prior to the hearing. A complainant may amend
his/her complaint to correct technical deficiencies but not to add issues.
3. Complainants shall have the right to be represented at their own expense by
person(s) of their choosing at all levels of the complaint process.
4. Upon enrollment into employment or training, participants shall be provided with a
written description of these procedures, including notification of their right to file
complaints and instructions for filing.
An employer of participants, including private -for -profit employers of participants, may
use this or other complaint resolution procedures so long as the participant is
informed of the complaint resolution procedure they are to follow and the time frames
governing review of complaints are met.
EXHIBIT H
A "participant", within the meaning of these procedures, is an individual who receives
employment -training services under a program funded by Santa Ana LWDA. 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.
5. If a complaint does not receive a decision at the LWDA 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.
6. Complainants must initially file and exhaust LWDA grant recipient/hearing procedures
prior to appealing to the State except where the State determines that the LWDA
grant recipient's procedures are not in compliance with the State's procedures.
III. Procedures for Handling Complaints at the LWDA Level
A. Receipt Complaints
Pursuant to the WIOA regulations found at 20 CFR, Section 683.600, the LWDA
administrative entities have the responsibility to conduct hearings and resolve complaints
made by individuals about the administration of programs in the LWDA. "LWDA level"
encompasses LWDA administrative entity and employers to which the administrative entity
has delegated the complaint resolution process. The following comprise the guidelines for
resolving issues arising in connection with WIOA programs operated by the Santa Ana
LWDA including resolutions of complaints arising from actions, such as audit disallowances
or the imposition of sanctions taken by the Governor with respect to audit findings,
investigations or monitoring reports.
1. Form and Filing of Compliant
Official filing date of the compliant is the date the written complaint is received. The filing
of the complaint with the Santa Ana LWDA Equal Employment Opportunity Officer shall
be considered as a request for hearing and a decision must be issued within 60 days.
The complaint must be in writing and must be signed and dated. The complaint should
also contain the following information:
a. Full name, telephone number, if any, and mailing address of the complainant;
b. Full name, telephone number, and mailing address of the agency involved (respondent);
c. Clear and concise statement of facts including dates constituting alleged violation;
d. What provisions under the Act, regulations, grant or other agreements under the Act, are
believed to have been violated;
EXHIBIT H
e. Remedy sought by the complainant; and
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.
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 LWDA to resolve complaints;
however, such informal conferences shall not extend the time within which a decision
must be issued after receipt of a complaint. Attempts at informal resolution will
commence with two (2) weeks of the date of filing of the complaint.
a. The EEO Officer will review the case and ascertain facts prior to the conference so that
appropriate resolution can take place at the time of this meeting whenever possible.
b. Although the complainant should be encouraged to attend this conference, his/her failure
to do so should not preclude his/her right to request a hearing on the matter.
c. If mutually satisfactory resolution results and the Santa Ana LWDA concurs, the EEO
Officer 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 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 filled with:
Jennifer Sommers
Sr. Personnel Analyst — EEO Officer
20 Civic Center Drive, M-24
Santa Ana, CA 92701
(714) 647-5348
EXHIBIT H
b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of
filing of the complaint.
4. Notice of Hearing
Upon receipt of the request for hearing, the complainant and the respondent will be
notified in writing of the hearing ten (10) calendar days prior to the date of the hearing.
The ten-day notice may be shortened with the written consent of the parties. A decision
will be issued by the Santa Ana LWDA 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)
Advise as to where information or assistance may be obtained, and the name, address,
and telephone number of the Santa Ana LWDA Equal Employment Opportunities (EEO)
Officer who can answer inquiries.
B. Conduct of Hearing
The hearing shall be conducted in an informal manner with strict rules of evidence not
applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to
enable adjustment to the circumstances presented.
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 LWDA or its sub recipients. The
hearing officer will be selected from a list of names on file with the EEO Officer.
Z Full regard must be given to the requirements of due process to insure a fair and
impartial hearing.
3. The hearing office designated by the EEO Officer to function in a quasi-judicial capacity
should begin the hearing by summarizing the record and the issue and should explain
the manner in which the hearing will be conducted, making sure that everyone involved
understands the proceedings. Such explanations should be adapted to the needs of the
specific situation. The hearing officer might take testimony under oath or affirmation to
give some assurance of veracity to the hearing.
io
EXHIBIT H
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.
The party involved should have the right to be represented (at their own expense) if
he/she so desires. Other he/she is limited to his/her own abilities and those to the
hearing officer in obtaining testimony in the case.
6. It is important that the hearing officer obtain the fullest information for the record. If the
parties involved, or their representatives, do not know how to ask the right or pertinent
questions in pursuing their right to due process, it shall be necessary for the hearing
officer to step in to have all the materials and relevant facts elicited.
The practice in informal hearings is generally not to apply strict rules of evidence in
obtaining facts. However, the quantity of evidence required to support a decision on an
issue should be sufficiently credible that the state (or other appropriate agency), upon
reviewing the decision, would conclude that the decision is supported by substantial
evidence.
8. The hearing officer should attempt to negotiate a resolution of the issue at any time prior
to the conclusion of the hearing.
9. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a
recommended decision to the LW DA for final determination. The recommended decision
shall be in writing and may be accepted, rejected or modified by the Santa Ana
Workforce Development Board.
C. Issuance of Decision
Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWDA shall issue a
written decision to all parties by first class mail. The final decision shall contain the following
information:
1. The name of the parties involved.
2. A statement of the alleged violation and issues related to the alleged violation.
3. A statement of the facts.
4. The decision and the reasons for the decision.
5. A statement of corrective action, if any, to be taken.
6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a
review of the decision by the State Review Panel.
11
EXHIBIT H
D. Record of Hearing
An administrative file containing support documents on the complaint resolution process
hearing conducted will be retained by the Santa Ana LWDA. The purpose of a record is to
serve as substantiation of the process followed by the Santa Ana LWDA 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 LW DA's written decision will be included in the record. Evidence received at
the hearing, notes by the hearing officer, stenographer's notes and tape recordings may
also be used.
E. Establishment of Complaint Procedures
In accordance with Section 683.600, 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 LWIDA's established
procedures under Section 683.600, At a minimum these procedures must include:
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 LWDA and the State Review Panel in accordance with
Section 683.600.
IV. Procedures for Handling Complaints at the State Level
Section 181 (c) of the Act and the WIOA regulations at 20 CFR, Section 683.600 (d) requires
the Governor to establish a State Review process of complaints filed at the LWDA grant
recipient level and of complaints initially filed at the State level.
Appeals of decisions issued at the LWDA level including audit disallowances and sanctions
shall be reviewed by the State Review Panel. The State Review Panel shall review the record
12
EXHIBIT H
established at the LWDA level and shall issue a decision based on the information contained
therein.
Complaints which may be initially filed at the State level will be heard by an independent'
hearing officer designated by the State Workforce Investment Division (WID). The hearing
officer shall conduct a hearing and issue a recommended decision to the State Panel. The
recommended decision shall be in writing and may be accepted, rejected or modified by the
State Review Panel.
A. Form and Filing of Complaint.
1. Request for State Review of LWDA 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 LWDA level decisions when a request for review
is filed within 10 days of receipt of the adverse decision. Such requests must be filed in
writing with the Chief of the WID Office. The request for review should contain the
following information:
a. Full name, address, and telephone number of the party requesting the review
b. Full name, address, and telephone number of the other party
c. A copy of the decision
d. Brief statement of reasons for review or the section of the LWDA decision to be
reviewed including regulatory and statutory citations
e. A statement of the relief sought.
3. Complainant Responsibility
It is the responsibility of the complainant to include in the request for review a written
statement setting forth the facts presented at the LWDA hearing which support the
requested relief.
The Chief, WID, shall mail a copy of the request for review to the other party and to the
LWDA. It shall be the responsibility of the LWDA to submit the complete record including
a typed record of the hearing to the Chief, WID, within ten (10) days.
B. Conduct of Hearings.
1. Request for Hearing at the State Level
13
EXHIBIT H
If no decision has been issued at the LWDA level or the State has determined an audit
disallowance or imposed sanctions, the complainant may request a hearing. The
hearing officer will then issue a recommended decision to the State's Review Panel for
final determination.
2. Filing for Request for Review
The request for a State hearing shall be filed within ten (10) days after LWDA 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 W ID in writing and
should include the following:
a. Full name, address, and telephone number of the LWDA
b. Name, address, and telephone number of the LWDA
C. Copies of complaints made at LWDA level from which no decisions were
issued or sanctions and imposed.
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.
The hearing will be recorded mechanically or by court reporter.
Both parties concerned will have the opportunity to present oral and written testimony
under oath, to call and question witnesses in support of his/her position, to present oral
and/or written arguments, to examine records and documents relevant to the issue(s),
and to be represented.
The hearing officer shall issue a written decision, which shall be forwarded to the State
Review Panel for final determination.
The State Review Panel may accept, reject or modify this recommendation. The
decision of the State Review Panel is final except for audit disallowances, which must be
approved by the Secretary of Labor
C. State Review Panel
The State Review Panel will consist of a panel of three representatives from the
Employment Development Department: one from the Legal Offices, one from the WID,
and one from the Director's office. The panel will issue a written decision, which will be
sent to the appropriate parties within thirty (30) days of receipt of the request for State
review.
14
EXHIBIT H
Decisions issued by this panel, under the authority of the Governor, are final.
D. Issuance of State Review Decision.
The State review will be limited to violations of the WIOA, implementing WIOA regulations or
the grant agreement. This review shall be limited to the record established at the LWDA
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 LWDA'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 LWDA's procedure
under Section II (A).
15
EXHIBIT H
PROCEDURES FOR HANDLING NON -CRIMINAL COMPLAINTS
No later than
180 days of
alleged
discrimination
Within 10 days of
receipt of
unsatisfactory
decision or 10
days from date
LWDA decision
should have been
issued.
Handling of complaints filed at LWDA level arising in connection with
WIOA programs operated by LWDAs
Informal Resolution Process
Unsatisfactory Decision or LWDA Decision not issued within 60 days
Request for State Review
I I o
Governors Decision issued by State Review Panel
If no decision issued by State Review Panel
Appeal to DOL
16
EXHIBIT H
o
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.
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:
Jennifer Sommers
Sr. Personnel Analyst— EEO Officer
20 Civic Center Drive, M-24
Santa Ana, CA 92701
(714) 647-5348
VI. Procedures for Handling Disability Complaints by Participants
Complaints alleging discrimination on the basis of disability will be filed and processed under
the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973
at 29 Code of Federal Regulations Section 32.
1. Complaints must exhaust the Santa Ana LWDA'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 LWDA Level
The complainant shall file his/her complaint directly with the Santa Ana LWDA. 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 LWDA shall issue in writing its decision to the complainant no later than
thirty (30) days after the filing of the complaint.
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 LWDA.
v
EXHIBIT H
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 LWDA'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.
18
EXHIBIT H
(PROCEDURES FOR HANDLING COMPLAINTS ON BASES OF DISABILITY
No later than
180 days of
alleged
discrimination
Filed within 30
days of
LWDA/State
Decision or 90
days from date of
initial filing of
complaints
Filing of complaint on the basis of Disability with LWDA
Informal Resolution
If no resolution reached
Request for Hearing
Notice of Hearing
Hearing Conducted
LWDA Decision
Unsatisfactory Decision or No Decision
o
o
State Review
Governors Decision
Appeal to Assistant Secretary Department of Labor
19
Day 1
Day/45 Day
60 Days
EXHIBIT H
GLOSSARY OF WIOA TERM
AGE DISCRIMINATION ACT — A law passed by Congress in 1975 which prohibits discrimination on
the basis of age by any program or activity receiving Federal Funds.
APPLICANT — An individual who applies to a subrecipient or contract for services provided under
WIOA and who has not yet transitioned to the status of participant.
ASSESSMENT — Services designed to determine each participant's employability, aptitudes, abilities
and interests and to develop a plan to achieve the participant's employment and related goals; also to
identify the available employment and traning activities appropriate for the participant. Testing and
counseling may also be used during assessment process.
CHARGING PARTY (CP), COMPLAINANT, GRIEVANT, OR AGGRIEVED PERSON — The person
who charges that he/she has been discriminated against under Department of Justice
nondiscrimination and civil rights regulations and/or guidelines.
DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the
effect of an action, policy or practice which selects an individual or class of persons to receive
unequal treatment.
ELIGIBLE NON -CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees,
and parolees and other individuals authorized by the Attorney General to work in the United States.
EMPLOYER — An employer subject to the provisions of the Civil Rights Act of 1964, as amended,
including state and local governments and any Federal agency subjects to the provisions of Section
717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by
executive Order 11246, as amended.
GRIEVANCE — An allegation that something imposes an illegal obligation or burden or denies some
equitable or legal right, or causes injustice .
INDIVIDUAL WITH A DISABILITY — Any individual who has a physical or mental disability that
constitutes or results in a substantial challenge 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.
20
EXHIBIT H
JURISDICTION — Authority to investigate and resolve complaints against an institution subject to a
law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc.
PARTICIPANT — Any applicant who has: (1) Been determine
and (2) Who is receiving subsidized employment, training
services) funded under the Act, following intake, except for an
and/or intake and assessment services.
21
EXHIBIT H
d
eligible for participation upon intake;
or services (except post -termination
individual who receives only outreach
From: CI rax
To: contact(Fhlscox tom; Goodson. Audrey; innovatprPh'erarch info; Barba Sandy
Subject: Internal Notice of Compliance
Date: Wednesday, September 14, 2022 9:38:25 AM
E
NOTICE OF COMPLIANCE
CITY STAFF: PRINT THIS PAGE AND INCLUDE WITH AGREEMENT TO THE CLERK OF THE COUNCIL
Contractor Hierarch Academy LLC
Name:
Project TBD (14)
Number:
Project Agreement For Workforce Training
Name:
The Certificate of Insurance (COI) submitted indicates that the coverages are in compliance
with the insurance requirements. No further action is required at this time.
The compliant coverage(s) are:
TYPE OF I POLICY I EXPIRATION COI INSURANCE I NUMBER DATE I DATE FILE NAME
GENERAL Hierarch
LIABILITY PI000532843 01/172023 12/032021 PL_OL_ACORD_8antaAnuaWorkforce_TheCityotSmtaAonait_s_08_18_2022-
475720616956 page 1 page l.pdf
WORKERS
COMPENSATION
AND WAIVER 0824/2023 08/302022 WORKERS'COMPENSATION DECLARATION FORM.pdf
EMPLOYERS'
LiABB.ITY
Thank you,
City of Santa Ana
Risk Management Division
in partnership with
CTrax Plus Services Team
9/14/2022 12:38 PM
NOTICE OF COMPLIANCE
CITY STAFF: PRINT THIS PAGE AND INCLUDE WITH AGREEMENT TO THE CLERK OF THE COUNCIL
Contractor
Hierarch Academy LLC
Name:
Project
A-2020-194-35
Number:
Project
Agreement For Workforce Training
Name:
The Certificate of Insurance (COI) submitted indicates that the coverages are in compliance with the
insurance requirements. No further action is required at this time.
The compliant coverage(s) are:
POLICY EXPIRATION
TYPE OF INSURANCE COI DATE FILE NAME
NUMBER DATE
Santa Ana 2024
GENERAL LIABILITY P1000532844 01/17/2024 01/18/2023
insurance .PDF
WORKERS'
WORKERS COMPENSATION AND COMPENSATION
WAIVER 08/24/2023 08/30/2022
EMPLOYERS' LIABILITY DECLARATION
FORM.pdf
Thank you,
City of Santa Ana
Risk Management Division
in partnership with
CTrax Plus Services Team
1/23/2023 2:09 PM