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HomeMy WebLinkAboutORANGE COUNTY CHILDREN'S THERAPEUTIC ARTS CENTER 14 - 2009 City of Santa Ana Clerk of the Council AGREEMENT TERMINATION Please complete this form when the attached agreement is no longer in effect. Return form to the Clerk of the Council Office (M-30). Call 647-5268 if you have any questions. The agreement with (/ C C 7-4- " O anL CU(/t kt "T/ V&d 1 c cop No. J D 2 3 was completed on (O/ O/(O and final payment has been made. Department: C-Pkit jAW3C., Phone/Ext.: X 24 21 Signature: Date: CJ Revised 07-23-07 INSURANCE ON 4=ILE A-2009-073 WORKMAY PROCEEDL n ~ UNTIL INSURANCE~_.;~~ ~nE~ Contract No. CLER CFOK OUNCIL q PATE: ~_ "ZZ--~ 1 ~~ ~ AGREEMENT UNDER THE WORKFORCE INVESTMENT ACT v THIS AGREEMENT, made and entered into this 1St day of July 2009 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 Orange County Children's Therapeutic h Arts Center ("CONTRACTOR"). W-I-T-N-E-S-S-E-T-H Recitals: A. CITY has been designated a Local Workforce Investment Area (LWIA) under the Workforce Investment Act of 1998, Public Law 105-220 ("the Act"). B. The State of California has created the LWIA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWIA, CITY is entitled to receive federal funds to establish programs to prepare economically disadvantaged youths for entry into the labor market and to provide basic skills development to those individuals who are economically disadvantaged or otherwise face serious barriers to succeeding in life. One goal of California's Workforce Investment System is to provide youth with the opportunities to achieve career goals that will allow them to successfully compete in the labor market and prepare them for higher education. D. CONTRACTOR is experienced in operating education, occupational development and employment programs for economically disadvantaged youths for entry into the labor market ("said program"). E. CONTRACTOR is willing to operate said program pursuant to the Act and California law. WHEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do hereby agree as follows: Page 1 of l5 I. CONTRACTOR'S OBLIGATIONS A. CONTRACTOR agrees to provide the following services pursuant to said program, as more specifically set forth in CONTRACTOR'S program narrative contained in "Exhibit A" and in the Statement of Work (Exhibit B), attached hereto and by this reference incorporated herein: CONTRACTOR'S failure to provide said services may be grounds for CITY to readjust the level of payment to CONTRACTOR otherwise provided for hereinafter. B. CONTRACTOR agrees to provide benefits to individuals who participate in the activities and services funded by this Agreement ("participants") in accordance with the standards and requirements set forth in Workforce Investment Act of 1998, Public Law 105-220. C. CONTRACTOR agrees to perform the services set forth herein in a professional, timely and diligent manner. D. CONTRACTOR shall provide wages and benefits to individuals who participate in the activities and services funded by this Agreement ("participants") in accordance with the standards and requirements of the Act, including Section 181 of the Act. E. CONTRACTOR shall adhere to the Labor Standards described in the Act including Section 181 of the Act. F. CONTRACTOR agrees to comply with the "Complaint Handling Procedures under the WIA", attached hereto as "Exhibit C" and incorporated herein as though fully set forth in 20 CFR §667.200, Subpart F. CONTRACTOR shall advise participants of their rights to file complaints under the Act and the procedures for resolution of any complaints. CITY's procedures for handling complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall be followed and any decision of CITY, the State or the federal government relating to the complaint shall be binding and followed by CONTRACTOR. CONTRACTORS who are employers shall operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to the terms and conditions of employment; these procedures shall be approved in writing by CITY. G. As a condition of this award of 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; Page 2 of 15 the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing those laws, including, but not limited to, 29 CFR Part 33 and 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance. H. CONTRACTOR agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. I. CONTRACTOR agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of CONTRACTOR'S services or activities, costs or other data, including but not limited to, participants' attendance, payroll records and job duty statements. CONTRACTOR agrees to forward to the Santa Ana Work Center Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California 92701 a completed Workforce Investment Act Application form (WIA EWIR) and supporting documents within 45 days of application date; a complete Workforce Investment Act Enrollment/Registration form (WIA EWIE) within 30 days of determination (reviewer) date; any subsequent updates to EWIE within 10 days of the begin date of activity or end date of an activity; Workforce Investment Act Youth Test Scores form (WIA EYTS) within 30 days of application date; Workforce Investment Act Exit form (WIA EWIT) within 15 days of completion/termination of active enrollment of trainee; and the Workforce Investment Act Follow-Up Contact Information form (WIA EWIF) within 21 days following 30, 60, 90,180, 270, and 360 days of exit. CITY, the State of California and the United States government and/or their representatives shall have access for purposes of monitoring, auditing and examining of CONTRACTOR'S activities, performance, books, documents, papers, and records of CONTRACTOR subcontractors, bookkeepers and accountants, and employees and participants related to this Agreement. Such agencies or representatives shall also schedule on-site monitoring in their discretion. Monitoring activities may also include, but are not limited to, questioning employees and participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of CONTRACTOR are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. In the event CONTRACTOR does not make the above-referenced documents available within the City of Santa Ana, California, CONTRACTOR agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. All accounting records and evidence pertaining to all costs of CONTRACTOR and all documents related to this Agreement shall be kept available at the location where CONTRACTOR conducted the program, as well as in the County of Orange, for the duration of this Agreement and 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. Page 3 of 15 J. Without prejudice to any other section of this Agreement, CONTRACTOR shall, where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements of federal and state law. Notwithstanding the foregoing, CONTRACTOR agrees to submit to CITY, the State of California and/or the United States Government or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by CONTRACTOR, costs incurred and services rendered hereunder. K. CONTRACTOR agrees to complete in triplicate, a monthly Invoice/Voucher on CITY's Invoice/Voucher form, showing in detail the amount of money already expended by CONTRACTOR hereunder, as this is a cash reimbursement contract. Accounting records must be supported by such source documentation such as cancelled checks, paid bills, payrolls, time and attendance records, contract and subgrant award documents [29 CFR-Subpart C, Section 97.20 (b)(6)]. CONTRACTOR agrees to submit the above-stated documents to the WIB Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California, 92701, by the tenth (10th) day of the month following the month in which CONTRACTOR'S services are performed. Should CONTRACTOR fail to deliver said documents to CITY, CITY shall have the option to cancel this Agreement by giving CONTRACTOR ten (10) days written notice thereof. CONTRACTOR shall either return to the CITY excess revenues over costs or use such excess revenues as program income by utilizing such program income for additional training activities authorized under the Act. L. CONTRACTOR agrees to expend all funds in accordance with all applicable federal, state and local laws and regulations. CONTRACTOR also agrees to provide at CONTRACTOR'S own expense supplies and other costs of said PROGRAM. M. CONTRACTOR shall arrange independently for an audit that includes WIA funds received from CITY, in accordance with the Act, 20 CFR Section 667.200 and OMB Circular A- 133. CONTRACTOR shall submit one original of each required audit report to CITY within (30) days after the date received by CONTRACTOR. Should CONTRACTOR fail to comply with these requirements, CITY may at its option withhold payment of funds, or disallow funds or suspend additional grant funds. N. CONTRACTOR shall not expend funds pursuant to this Agreement to provide services to any participant where costs of training are paid for by any other person or entity. O. CONTRACTOR shall comply with the provisions of Circular A-102 of the U.S. Office of Management and Budget (OMB) and the related "Common Rule" entitled "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Government", Subpart C, paragraphs 37 and 42, Circular A-128, and all other applicable federal statutes and executive orders and their implementing regulations, including regulations at 29 CFR Part 97. P. CONTRACTOR shall comply with the requirements of federal regulations found at 29 CFR 93 which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or Page 4 of 15 modification of any federal contract, grant, loan or cooperative agreement. CONTRACTOR shall sign a certification to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference incorporated herein. CONTRACTOR shall submit said signed certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to CONTRACTOR under the terms and conditions of this Agreement. Q. CONTRACTOR agrees to provide adrug-free work place and to execute a certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference. R. CONTRACTOR, in accordance with the Child Support Compliance Act, 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 and the federal regulations, including but not limited to the regulations found at 20 CFR part 629. T. CONTRACTOR agrees to provide priority of services for veterans and eligible spouses pursuant to 20 CFR part 1010 and the regulations 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. II. CITY'S OBLIGATIONS A. CITY agrees to pay to CONTRACTOR when, if and to the extent federal funds are received under the provisions of the Act a sum not to exceed one hundred forty six thousand, one hundred forty seven dollars ($146,147) for CONTRACTOR'S performance in accordance with the payment schedule attached hereto as "Exhibit F" during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by CONTRACTOR as provided hereinabove. B. CITY agrees to provide for on-site monitoring reviews of said program operation at least twice annually. In addition, monthly desk-top reviews of pertinent information will be conducted. C. CITY has the right to de-obligate the funds hereunder and take such funding back from CONTRACTOR due to any of the following reasons: (a) lack of performance by CONTRACTOR; (b) lack of fiscal accountability of CONTRACTOR; or (c) decrease in available funding. Page 5 of 15 III. TIME PERIOD OF AGREEMENT This Agreement shall commence on July 1, 2009 and all duties arising under this Agreement shall have been performed by June 30, 2010 . The term of this Agreement may be extended by a writing executed by the Deputy City Manager for Development Services and the City Attorney. IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, 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. B. CONTRACTOR shall have the right to hire, dismiss, or promote its employees or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any other applicable law, and CONTRACTOR maintains itself as an Equal Opportunity employer. VI. APPLICABLE GUIDELINES A. The parties hereto agree that CONTRACTOR shall comply with all applicable federal and state laws and regulations, including, but not limited to the Performance Standards (Exhibit B) and general program requirements described in Sections 106 and 141 of the Act (29 USC Sections 1516 and 1551) and applicable regulations, and the U.S. Department of Labor guidelines and regulations, including amendments or revisions made during the terms of this Agreement. Said applicable laws are hereby incorporated by reference and made as part of this Agreement as though fully set forth herein. B. CONTRACTOR also assures and certifies that: 1. CONTRACTOR acknowledges and confirms that the U.S. Department of Labor has established three (3) common measures for youth: (a) Placement in employment or education; (b) Attainment of degree or certificate; and, (c) Literacy or numeracy gains. With regard to Page 6 of 15 the Summer Youth Program, the only measure is "Work Readiness". Pending WIA reauthorization and or U.S. Department of Labor and EDD updates, CONTRACTOR agrees to implement and shall meet any additional performance measures that may be subsequently required by the Workforce Investment Act or by any other Federal, State, and local law. 2. CONTRACTOR shall comply with Title VII of the Civil Rights Act of 1964 (P.L. 83-354) and in accordance with Title VII of the Act, no person shall, on the grounds of race, color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agreement. 3. CONTRACTOR shall comply with any and all federal laws limiting the political activity of employees hired under this Agreement. 4. CONTRACTOR shall comply with the requirements that no program under the Act shall involve political activities. 5. RECORD INSPECTION. CONTRACTOR shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for athree-year period from and after the effective date of this Agreement. 6. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any application for participation in such program because of race, creed, color, national origin, sex, political affiliation or beliefs. 7. CONTRACTOR shall maintain appropriate standards for health and safety in work and training situations. 8. CONTRACTOR shall comply with general provisions, assurances, and certifications attached hereto as "Exhibit G" and incorporated herein. 9. EQUAL OPPORTUNITY. Any literature distributed by CONTRACTOR for the purpose of apprising businesses, participants, or the general public of its programs under this Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana Workforce Investment Board, and shall state that the program is an ``equal opportunity employer/program" and that "auxiliary aids and services are available upon request to individuals with disabilities." 10. Based on the population eligible to be served, or likely to be directly affected by the WIA program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity. Pursuant to 29 CFR 37.35, the Contractor must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than English. 11. CONTRACTOR certifies that all property, finished or unfinished documents, data, studies and reports prepared or purchased under this Agreement, will be disposed of Page 7 of l 5 in accordance with the direction of the CITY. In addition, any tools and/or equipment furnished to the CONTRACTOR by the CITY and/or purchased by the CONTRACTOR with funds pursuant to this Agreement, will be limited to use within the activities outlined in this agreement and will remain the property of the United States Government and/or CITY. Upon termination of this Agreement, CONTRACTOR will immediately return such tools and/or equipment to the CITY or dispose of them in accordance with the direction of the CITY. 12. CONTRACTOR certifies that this Agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose nor does it help to support or sustain any school, college, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 13. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The CONTRACTOR will disclose to the CITY any invention, written product, computer program developed or data assembled as a result of performance of work under this Agreement within seventy four (74) days of invention, development or assembly. The CITY, State of California, and U.S. Department of Labor will have the right to patent any invention and copyright any written product or computer program or data generated by CONTRACTOR. Upon written request, CONTRACTOR will transfer all pertinent information, specifications and right, title and interest to the designated agency. 14. INVENTIONS, PATENTS AND COPYRIGHTS. A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the CONTRACTOR shall report the fact promptly and fully to the CITY. The CITY shall report the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery. The DOL and its representative shall determine how the rightsin the invention or discovery, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the "Governmental Patent Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16889). B. Copyright Policy. 1. Unless otherwise provided in the terms of the grant or agreement, when copyright- able material is developed in the course of or under a DOL Grant or agreement, the author and the CITY which developed the work is free to copyright material or to permit others to do so. The CONTRACTOR and the Workforce Investment Board (WIB) shall have aroyalty-free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves aroyalty-free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub-grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a CONTRACTOR purchases Page 8 of I S ownership with grant support; and (c) CONTRACTOR shall comply with the requirements of 29 CFR Part 97.34. C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data first procured or delivered under this Agreement. 15. 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 15) as any may now exist or be hereafter amended. Under these laws and regulations, the CONTRACTOR assures that: (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. C. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT: 1. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial political gain. CONTRACTOR, its officers and employees, in administering this Agreement, will avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain. 2. Employment of Former State or CITY Emplo ees. CONTRACTOR will ensure that any of its employees who were formerly employed by the State of California or CITY, in a position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less than two years following the termination of such employment. 3. Conducting Business Involving Relatives No relative by blood, adoption or marriage of any executive or employee of CONTRACTOR will receive favorable treatment when considered for enrollment in programs provided by, or employment with, CONTRACTOR. 4. Conducting Business Involvin 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 Page 9 of 15 official in the area or a voting or non-voting member of the Workforce Investment Board (WIB), a permanent record of the transaction will be retained. 5. Avoidance of Conflict of Economic Interest. No executive or employee of CONTRACTOR elected official in the area, or voting or non-voting member of a WIB, will solicit or accept money or any other consideration from a third person, for the performance of an act reimbursed in whole or part by CONTRACTOR or CITY. Supplies, materials, equipment or services purchased with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No voting member of the WIB will cast a vote on the provision of services or vote on any matter which would provide direct financial benefit to that member or any business or organization which the member directly represents. 6. Salary and Bonus Limitations. All Subrecipients of WIA program funds are 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 property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers' compensation claims, resulting from or arising out of the negligent acts, errors or omission of CONTRACTOR, its employees or subcontractors. B. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from and against any and all claims, demands, suits, actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts of CONTRACTOR, its employees or subcontractors. VIII. INSURANCE I . Commercial General Liability CONTRACTOR agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial public liability insurance insuring the State of California, CITY, and CONTRACTOR against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence. Said policy of comprehensive public liability insurance shall be endorsed to provide to CITY and to the State of California, Employment Development Department, at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, and the State of California, its officers, employees, and volunteers as additional Page 10 of 15 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. Automobile Liability Coverage. CONTRACTOR shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with a $1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non-owned automobiles used by CONTRACTOR employees or participants in performance of this Agreement, or, in the event that CITY will not utilize such owned/leased automobiles but intends to require employees, participants or other agents to utilize their own automobiles in the performance of this Agreement, CONTRACTOR shall secure and maintain on file from all such employees, participants, or agents as self-certification of automobile insurance coverage. Governmental entities may substitute a certificate of self-insurance. 3. Workers' Compensation. If CONTRACTOR is an "employer", as set forth in California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in California Labor Code Section 3350 et seq., CONTRACTOR shall obtain and keep in force during the term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification. CONTRACTOR shall carry medical and accident insurance for those participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to California Labor Code Section 3350, et seq. 4. E uipment Coverage. CONTRACTOR shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by CONTRACTOR in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a certificate of self-insurance. 5. Proof of Insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. CONTRACTOR understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. IX. CORPORATE STATUS All corporate CONTRACTORS shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in corporate status or suspension shall be reported immediately to CITY. 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 Page 11 of 15 this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of CONTRACTOR pursuant to this Agreement. XI. LAWS GOVERNING THIS AGREEMENT In its performance under this Agreement, CONTRACTOR shall fully comply with the requirements of the following, whether or not otherwise referred to in this Agreement: 1. The Act and all applicable federal statutes, regulations, policies, procedures and directives, including but not limited to, 20 C.F.R. Parts 652 and 660 through 671. 2. All applicable State statutes, regulations, policies, procedures and directives; 3. All applicable CITY policies, procedures and directives; 4. All applicable local ordinances and requirements, including use permits and licensing; 5. Court orders applicable to its operation; and, 6. The terms and conditions of this Agreement. If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with such or will notify CITY after enactment or modification that it cannot so comply. CITY may thereupon terminate this Agreement, 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 Page 12 of I S contingent upon State approval, and funds received or obligated from the State of California to CITY. If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify CONTRACTOR. Within twenty (20) days of receipt of such notice, CONTRACTOR shall modify or cease operations as directed by CITY and negotiate necessary modification to this Agreement and/or reimbursement of costs incurred hereunder. XV. TERMINATION This Agreement may be terminated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. However, CONTRACTOR may not terminate this Agreement if undue hardship will result to any participant. XVI. DISPUTES Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to CONTRACTOR. The decision of the City shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from CONTRACTOR written request to appeal said decision. Procedures governing the appeal shall be prescribed by CITY and/or the State of California in accordance with the Act and all corresponding regulations and OMB circulars. Pending final disposition of the appeal, CONTRACTOR shall act in accordance with CITY's decision unless the dispute involves a change order. XVII. BREACH -SANCTIONS If, through any cause, CONTRACTOR violates any of the terms and conditions of this Agreement, and/or prior agreements whereby grant funds were received by CONTRACTOR pursuant to this Agreement, or if CONTRACTOR reports inaccurately or if any Audit Report makes disallowances, CONTRACTOR shall promptly remedy its acts or omissions and/or repay CITY all amounts due CITY as a result of CONTRACTOR'S violation. For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such time as CONTRACTOR fulfills its obligations or remedies all violations of this agreement or prior agreements; and/or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from 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 13 of 15 XVIII. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: CITY: City of Santa Ana Manager, WIB Administrative Office P.O. Box 1988 (M-73) Santa Ana, CA 92702 and, CLERK: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Telefacsimile (714) 647-6956 CONTRACTOR: Orange County Children's Therapeutic Arts Center 2215 N. Broadway, First floor Santa Ana, CA 92706 (714) 547-5468 Telefacsimile (714) 564-9690 XIX. MERGER This Agreement, together with the attachments hereto, expresses the total understanding of the parties. There are no oral understandings of the parties or terms and conditions other than as stated herein. XX. VALIDITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. XXI. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall Page 14 of 15 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above-written. ATTEST: Patricia E. Healy Clerk of the Council APPROVED AS TO FORM: Joseph W. Fletcher City Attorney Lisa E. Storck Assistant City Attorney RECOMMEND FOR APPROVAL: Cynthia J. Nelson Deputy City Manager for Development Services CITY OF SANTA ANA, a municipal corporation of the State of California "CITY" B David N. Re City Manager "CONTRACTOR" BY: ~`" Name: Dr. Ana Jimene Hami Title: Executive Director Tax ID #: 33-0930891 Page 15 of 15 Exhibit A WIA Grant 2009-2010 OCCTAC Narrative About the Program A. Executive Summary 1. Which WIA population will the program recruit and serve? 2. Indicate how many participants to be served. The OCCTAC Arts & Learning Academy program will recruit and serve 18 out-of-school youth (ages 17-21) with and without disabilities of limited resources from the City of Santa Ana. OCCTAC will provide participants educational skills and job training, paid work experience, mentoring, tutoring, counseling, leadership opportunities, and support services. 3. Describe how this program fits in with programs currently being offered by your agency. OCCTAC has quickly grown to be recognized as one of Santa Ana's leading community builders for children and youth. Founded in 2000 by Dr. Ana Jimenez-Hami, OCCTAC is the only agency in Santa Ana that successfully integrates youth with and without disabilities in a nurturing and supportive environment that teaches respect, disability awareness, cultural diversity and inclusion with an emphasis in the arts and education. We are proud to say that OCCTAC is a unique organization in Orange County. Currently, OCCTAC offers a wide variety of educational and therapeutic programs for youth with special needs, including learning disabilities, health impairments, developmental and emotional disabilities. The WIA program is an extension of services to a population that we have already been serving for 8 years! Some examples of our programs include: after-school arts, after school learning academy program, tutoring, technology training, leadership and support groups, career counseling and others. 4. Indicate which of the 10 WIA elements the program will offer. The OCCTAC Arts & Learning Academy program will offer 9 of the 10 WIA elements, with the exception of alternative secondary school services to participants. OCCTAC Arts and Learning Academy program has a strong emphasis on mentoring, tutoring, leadership, support services, counseling and hands-on job training in the fields of education, arts and technology. 5. Indicate planned outcomes. The OCCTAC Arts and Learning Academy program will offer out-of-school youth with and without disabilities the opportunity to acquire the necessary skills to successfully transition into the workforce, and further their education and training. The goals of the program are to build participants' self-esteem and confidence, academic improvement, leadership skills, workforce preparation and experience through structured educational and job training opportunities in the fields of arts, education and technology. 6. Describe the basic program approach (workshop/classroom/in the community). The OCCTAC Arts and Learning Academy program will take place primarily at our community-based center in Santa Ana. WIA participants will engage in a variety of educational and job training activities, including classroom and workshop instruction, as well as community placements to gain work experience, and further their education and training. Participants will be required to meet individually with key staff, participate in monthly workshops, and engage in weekly "hands-on"job training opportunities in our various programs at the center and other community sites (i.e., Santa Ana Public Library and community centers). During Phase I of the program, all WIA participants, will be assigned to pre-work experience training. Participants will be required to attend a minimum of 5-hours per week, however, exceptions to the five hour requirement may be approved by the Program Supervisor. Exceptions will be based on participant's circumstances and based on their special needs. The five hours may include that the participants meet individually with each team member (case manager, literacy/math instructor, WIA Grant 2009-2010 OCCTAC Narrative arts/technology mentor, and career counselor) in order to collaboratively determine their needs (academic, educational and career goals), and identify theirjob training interests, and placement site. In some instances, additional time may be required beyond what is stated in the timeline or plan of action. During this process, the participants' needs will be reviewed by the case manager and, WIA team and supervisor. The action plan will be updated accordingly. Please see Table 3. The case manager will develop a schedule with each participant to fulfill their requirements during phase 1. It is anticipated that Phase 1 will last 1-2 months. During this phase, all participants will receive a stipend. During Phase 2 of the program, in addition to receiving job preparation support, job search and training assistance, as needed, WIA participants will start their "hands-on"job training opportunities while they continue to meet with our key staff (weekly and/or monthly) to fulfill their education and career training goals. Participants will be placed in one of six OCCTAC programs/job training placements at our Center or community sites: 1) OCCTAC Early Start Program, 2) OCCTAC Preschool Program, 3) OCCTAC After- School Arts Program, 4) OCCTAC Learning Academy Program, 5) OCCTAC Media Lab and 6) OCCTAC Office/reception. Please see Table 3. During this period of time, WIA participants will be employed by the OC Children's Therapeutic Arts Center and will receive $8.00 per hour, and encouraged to work up to 10-hours per week. Participants will also be expected to continue the tutoring and other support services they are receiving at the Center while they engage in work experience. During the last 4 months of the program, WIA participants will slowly transition out of the work experience at the center, and will begin to pursue other job interviews and employment opportunities in the community. During this last period the case manager will work closely with the SAUSD TPP job developer and other community partners to help find youth a job in the community. 7. Describe how you will conduct outreach and recruitment. Include how 75% of the enrollment goal will be met by the second quarter of the contract. 8. Describe collaborations/partnerships that will assist in recruitment. Orange County Children's Therapeutic Art Center has recently joined the collaborative of local and governmental agencies supporting the development of the Santa Ana Public Library's Young Adult service, entitled the TEEN SPACE program. (See letter of support). We have agreed to place interested WIA youth trainees in the Young Adult department for the job experience component of their training. Each trainee will spend approximately six months assisting with library program development, classes/workshops and acquiring library and general employment skills. OCCTAC continues to foster a strong partnership with the Santa Ana Unified School District, Transition Partnership Project (TPP) to serve youth with disabilities exiting high school. (See letter of support). In collaboration with the SAUSD Transition Partnership Project, we will ensure that our enrollment goals will be met by the second quarter of the contract. OCCTAC staff and SAUSD TPP staff will meet on a regular basis to discuss potential candidates. SAUSD staff will refer mild-moderate students with special needs to our program after they have exited high school, but lack the necessary skills to successfully transition in the labor force and need further education and training. Many of the participants referred will be high functioning special needs youth, including: learning disabilities, autism, health impairments and others. OCCTAC will provide participants further educational skills and job training, paid work experience, mentoring, tutoring, counseling, leadership opportunities, and support services. During the last two years, OCCTAC has partnered with Project R.Y.T.M.O. to provide music technology and co-enroll participants in our respective programs, and the Santa Ana Work Center for support services. (See letter of support). OCCTAC will continue to build these new and existing partnerships to ensure our enrollment goals are met while expanding the level of services to our WIA participants! WIA Grant 2009-2010 OCCTAC Narrative Finally, over the last 8 years, OCCTAC has established other partnerships with key agencies in our community, County of Orange (Social Services), the Regional Center, the Santa Ana College and several family resource centers. These partnering agencies have referred participants to OCCTAC, as well as provided additional services to our participants, such as: support groups, parenting, leadership adult classes (including ESL, technology, and parenting), and others. These partnerships have been essential for the development and expansion of the services that we provide our community. 9. Describe how adequate staffing will be maintained to ensure success of this program. The key staff for this program will consist of 1-full-time case manager, 1 part-time arts/technology mentor, 2 part- time instructors, including 1-literacy & 1-science-math, and 1 part-time Career counselor. Under the supervision of our OCCTAC Chief Operating Officer and Case Manager, the work, performance levels and progress of each WIA participant will be monitored on a regular basis by our key staff. The staff will meet bi-monthly to discuss the goals, progress, and services for each student. In addition to our key staff, OCCTAC will also provide other non-WIA support staff, including credentialed teachers/educators, professional artists, and counselors in our various programs to serve as mentors for WIA participants as they engage in work related experiences and other support services. When participants are ready to engage in work experience, the WIA participants will be placed in a program of their choice and monitored primarily, by both key staff members as well as support staff. OCCTAC employs: 5 full-time and 40 part-time staff members, most of whom are available to the youth enrolled at our center. Designated OCCTAC staff members will work with the WIA youth on a daily, weekly or monthly basis, depending on the service components, such as mentoring, instruction and support services. Furthermore, OCCTAC key staff, along with our community partners will meet on a regular basis to discuss other support services that can be provided to the WIA participants. B. Main Purpose of Program 1. Indicate what will the program accomplish and how it fits in with WIA goals. The main purpose of the OCCTAC Arts & Learning Academy Program is to provide out-of-school youth with and without special needs the opportunity to acquire the necessary skills to successfully transition into the workforce, and further their education and training. This year we are placing a greater emphasis on preparing our youth to increase their levels of proficiency in math and science. This priority is aligned with the Youth Councils new focus, to prepare youth for achieving goals in STEM careers. We are currently developing a partnership with the department of Mathematics and Sciences at both Orange Coast and Santa Ana College. One of the goals is to collaboratively support the student's academic improvement and development, in an effort to help youth make the most out of their current educational and post-secondary experiences. Thus, students' learn how to make the connection between their academic understanding and how that knowledge can be transferred into the workplace as well as guide their future career plans. OCCTAC is in the unique position to teach WIA participants about the relationship between art, science and technology and the possible career paths that are available. Within the emergent field of New Media, science, math, technology and art are fused together to invent new ideas and careers. Once students understand the possibilities available in these areas, they will have the opportunity to explore what is possible in technology and art from both and artistic, mathematical and practical viewpoint. WIA Grant 2009-2010 OCCTAC Narrative The program will provide "hands-on"job training and mentoring experiences in the fields of arts, education and technology to young adults with the goal of teaching them self-reliance through structured educational and job training opportunities. OCCTAC will provide WIA participants with training in the following areas: educational skills, paid work experience, mentoring, tutoring, counseling, leadership opportunities, and support services. The program will build participants' self-esteem and confidence, academic improvement, leadership skills, workforce preparation and experience in the fields of education, arts or technology to further their educational skills and future job opportunities. Through our various educational programs and "hands- on" job training efforts, youth will acquire essential skills while learning to adhere to basic employment principles, such as: showing up on time and as scheduled, filling out time-sheets, working in collaboration with others, attending staff meetings, and others. From the applied mathematics perspective, students will learn to implement basic math skills related to money management, quantities--measurements and more. All of these goals are in complete alignment with the established WIA common measures and goals. 2. What is the length of the program? i.e., how much time will a youth need to be in this program to get the full benefits of each component offered? In order for participants to get the full benefit of our program and each component offered, WIA participants are required to commit to at least 8 months of training and work experience. It is understood that many WIA participants have demanding circumstances in their lives, which, often dictate their ability to maintain their established training and work schedule. However, the OCCTAC staff is committed to support the participants' efforts towards achieving their educational and career goals. 3. How often will the WIA participant need to attend the program and how often are specific activities offered (daily/weekly/monthly)? WIA participants will need to attend the program on a weekly basis in order to comply with the requirements of the program. Participants will be supported through a variety of (daily/weekly/monthly) activities that will keep them interested and engaged in the program. Please see TABLE 1. 4. What is the frequency of staff interaction with WIA participants? Will other non-WIA agency staff be providing elements of the program? Please describe. The frequency of staff interaction with WIA participants will vary depending on the services provided and at what stage the participants are in the program. Yes, other non-WIA agency staff members will also provide specific areas of training and or mentoring to the participants. Please see TABLE 1 and 2. TABLE 1: Program Activities & OCCTAC Staff Weekly Activities Bi-Monthly Activities Monthly Activities Emphasis: Tutoring, Career Emphasis: Employability/ Job Emphasis: Life Skills and Training Skills & Work Experience Skills & Career Goals Leadership Training; Math * Meet with Literacy and Science-- * Meet with Case Manager at and Science Applications * Participate at least once a Math Coach to receive weekly least twice a month to discuss month inlife-skills sessions or tutoring in academic/basic skills. * goals, progress, performance leadership training provided Participate in weekly levels, and learn job ski/Is. by the counselor and/or when Educational and Career Training * Meet with the Educational and necessary referred to a WIA Grant 2009-2010 OCCTAC Narrative Skills with the Art/Technology Career Counselor to discuss licensed MFT for services. Mentor and/or engage in Work educational and career goals and * Participate once a month in Experience with other non-WIA pursue higher education asocial/ support group with support staff at the center. programs. other participants, staff & guest speakers. TABLE 2: Program Timeline and Training Program Timeline Program Activities & Training Phase I * Program Orientation with Case Manager * Assessment of Employability/lob skills with Case Manager Emphasis: * Assessment of Basic Skills/Academic levels with Literacy & Math tutor Assessment & Goals * Assessment of Career/Training Skills with Arts/Technology mentor * Career Survey/ Assessment and Goals with Career Counselor or Intern Tutoring & * Start bi-monthly meetings with case manger to discuss Goals and service Educational/Career needs of participants Training skills * Sta rt weekly Tutoring of Academic/Basic Skills * Start weekly educational/ career training skills * Start monthly social/ support group with other WIA participants and staff * Participants to receive monthly Stipend Months-Phase II * Start Bi-monthly Paid Work Experience-(pay per hour) * Start monthly Life Skills Training or Leadership Groups Emphasis: * Continue bi-monthly meetings with case manager to discuss progress Job Training & Work * Continue weekly Tutoring of Academic/Basic skills Experience * Continue monthly social/ support group with other WIA participants and staff * Every other month special workshops-featuring guest speakers Last 4 Months of * Continue bi-monthly meetings with case manager to discuss progress, Program employability skills and an emphasis in job search * Continue Tutoring, if necessary Emphasis: * Continue monthly Life Skills Training Employability/Job * Continue monthly social/support group with other WIA participants and staff Skills & Job Search The OCCTAC Arts and Learning Academy program will take will take place primarily at our community- based center. WIA participants will engage in a variety of educational and job training activities, including classroom and workshop instruction, as well as community placements to gain work experience, and further their education and training. Participants will be required to meet individually with key staff, participate in monthly workshops, and engage in weekly "hands-on" job training opportunities in our various programs at the center and community sites (i.e., Santa Ana Public Library school district, community centers). During the first Phase I of the program, all WIA participants will be asked to make a commitment to attend approximately, 5 to 8 hours per week however, schedules will take into consider participants circumstances and special needs and meet individually with any of the team members (case manager, literacy and math instructor, arts/technology mentor and career counselor) in order to collaboratively determine their needs (academic, educational and career goals), and identify their job training interests, WIA Grant 2009-2010 OCCTAC Narrative and placement site. Please see TABLE 3. The case manager will develop a schedule with each participant to review their goals and progress. During Phase ll, WIA participants will continue their "hands-on" job training opportunities while they continue to meet with our key staff (weekly and/or monthly) to fulfill their education and career training goals. Participants will be placed in one of six OCCTAC programs/job training placements at our Center or community sites: 1 & 2) OCCTAC Early Start Program and/or OCCTAC Preschool Program, 3) OCCTAC After-School Arts Program, 4) OCCTAC Learning Academy Program, 5) OCCTAC Media Lab and 6) OCCTAC Office/reception. Please see Table 3. During this period of time, all WIA participants will be employed and receive $8.00 per hour, and encouraged to work up to 10 hours per week. Participants will also be expected to continue the tutoring and other support services they are receiving at the OCCTAC while they engage in work experience. During the last 4 months of the program, most all of the WIA participants, will begin transition out of their work experience at the center, and move-onto exploring other job interviews and opportunities in the community. During this last phase of the program, the case manager will work closely with our community-agency partners and the SAUSD TPP job developer to help find youth a job in the community. TABLE 3: OCCTAC MENTORING & JOB TRAINING PROGRAMS Area of Training Job Placement Educational/Training Curriculum Education Tutor or Instructional Assistant Learning Academy Host Curriculum Education Teaching Assistant Early Start Program First Five Preschool Program "Estrellitas" and Hampton-Brown Arts Arts Teaching Assistant After-School ARTS CA Performing Arts Program Standards/Curriculum and "Hands-on" Arts Training Technology Technology Assistant Technology curriculum (including basic Graphic Artist Computers/ and "Hands-on" Arts and Arts, Science and Media LAB Technology Training: Technology) Photoshop & Illustrator Office/Reception Receptionist Office "Hands on" Training and Office Assistant Basic Computer Skills Operations-Microsoft Office Word; Power Point 5. What services will be offered after youth exits the program and how will program keep in touch with youth who have existed? OCCTAC staff will provide 12-month follow-up services for "exited" participants. OCCTAC is committed to empowering transitional age youth with and without special needs to reach their highest potential in life. WIA participants that exit the program will be encouraged to continue to participate in the monthly Life Skills Training, monthly social/support groups with other WIA participants, as well as other support services (including counseling). All key OCCTAC staff will be available to support participants, if needed. WIA Grant 2009-2010 OCCTAC Narrative C. Goals /Objectives and Performance Levels 1. How will services to be provided aid in meeting the WIA performance goals? The OCCTAC Arts and Learning Academy program will offer out-of-school youth with and without disabilities the opportunity to acquire the necessary skills to successfully transition into the workforce, and further their education and training. The goals of the program are to build participants' self-esteem and confidence, academic improvement, leadership skills, workforce preparation and experience by teaching them self-reliance through both structured and alternative educational and job training opportunities. As previously mentioned, OCCTAC staff will recruit 18out-of-school youth with and without disabilities, working very closely with the Santa Ana Unified School District Transition Partnership Program and Providence Community Services and other local agency referrals to ensure that our enrollment goals will be met by the designated timeline. Youth who meet the requirements for enrollment will take part in an interview and assessment process prior to starting the educational and job training at the OCCTAC Arts & Learning Academy program. 2. Describe how you will monitor program activity and manage for performance. The Individual Educational Plan of participants provided by the school district will be taken into account when identifying academic/basic skills of the participants. In addition, other assessments will be used to identify the literacy and math levels of each participant. The TABE assessment will be used to identify basic skill deficiencies if they are not reported in the IEP, and the STAR Reading and Learner link assessments will be used to identify the literacy levels of each student. These assessment tools will be conducted as pre and post tests to measure growth across time. The literacy assessment will help also determine the placement for those participants interested in being "mentors/tutors", and help guide each WIA participant in their educational/academic goals. 3. Describe how program will deliver academic assistance to raise the skill level of youth who are basic skill deficient. Academic assistance (math & literacy coaching) will be provided to each WIA participant on a one-to-one basis via the Literacy or Math Instructor/Mentor and the Career counselor. Each participant will meet at least once a week with the literacy or math instructor to learn a variety of academic and learning strategies to help participants further their educational goals. These strategies will help them enhance their own academic skills, as well as how to help other younger students in an educational setting. The Career Counselor will also help students determine their educational and career goals and guide them into pursuing a higher level of education. The OCCTAC WIA staff will collaboratively address the needs of each participant and make appropriate recommendations regarding the level of skill. Additionally, the WIA staff will suggest alternate methods of instruction for those participants who have learning disabilities. The program will provide those youth with special needs the opportunity to receive assistance with literacy and math instruction through arts enrichment and practical business applications. This program will provide a unique opportunity to enhance their academic skills and employment skills with creative options. Students that are struggling both academically and in locating or retaining employment, face challenges that make their educational and professional experiences frustrating and overwhelming. It is necessary to take into consideration the various Types of Intelligence and Styles of learning when working with students who are at various stages in learning, retention and pursuing WIA Grant 2009-2010 OCCTAC Narrative employment goals. For, example, Psychologist Howard Gardner has identified the following distinct types of intelligence in his Multiple Intelligences Theory ("MI Theory") in the book "Frames of Mind." For example: 1. Linguistic--Individuals with this kind of intelligence enjoy writing, reading, telling stories or doing crossword puzzles or 6. Interpersonal--Individuals who are leaders among their peers, who are good at communicating and who seem to understand others' feelings and motives, possess interpersonal intelligence. For these students part of their success will depend on the way/s they learn and process information. This table is a valuable tool for both the staff and the participants to understand their particular method of learning and thus, working. Many students may not even be aware of the differences in learning styles and personality types, which ultimately, affects their ability to achieve their emplovment and educational goals. Using these charts and others to deliver academic and employment assistance; helps to raise the skill level of our youth who are basic skills deficient and are in the process of learning basic employment skills. *Note: The Table has been high-lighted in "blue" as a focal point, illustrating how various modalities of learning have an impact on the way a person may operate in the workplace. The chart below, Adapted from Accelerated Learning by Colin Rose (1987), is an excellent example and helps to determine different styles of learning. Most likely the answers will reflect a primary learning style which has a profound impact on the participants' ability to become a good employee. Using the team approach, the WIA staff has found that in addition to understanding various modalities of learning; success is also cultivated by providing one-on-one tutoring and staff assistance. This individualized attention, helps the youth to gain a greater sense of confidence, to move towards new levels of achievement, focusing on their academic and employment goals. Because of this type of support, the youth are more receptive to learning and more inclined to follow the advice and strategies that the team has recommended. The youth also learn how to form good working relationships with the staff, establishing trust, good communication and an openness to welcome new challenges. 4. Will the participant receive a certificate of completion or accomplishment for participation? Will the certificate count for WIA credential attainment rate? 5. How will continuous improvement be measured and conducted? Describe how adequate staffing will be maintained to ensure success of this program. Yes, WIA participants will receive a certificate depending on their specific goals. For those who are enrolled in another program for example, to obtain their GED, they will receive the appropriate certificate. The work, performance levels and progress of each WIA participant will be monitored on a WIA Grant 2009-2010 OCCTAC Narrative regular basis by our key staff: case manager, literacy/math coach, arts/technology mentor and Career counselor. The team will meet bi-monthly to discuss the needs, goals, and services for each participant. The Case manager will meet bi-monthly with each participant to discuss goals, monitor their progress and documentation on the job (e.g., attendance and/or time sheets, etc), assist with employability skills training (e.g., resume writing, etc.), and help youth with job development. The Arts/Technology Instructor/ Mentor will provide career training, and mentor the students while they are on the job every week. Other non-WIA support staff at the center will also mentor participants on the job and provide the necessary guidance to empower youth to succeed and gain the necessary skills to reach their work experience goals. The Literacy and Science--Math Coach will meet individually with each participant to help participants improve their academic and or basic skills and prepare for higher education. The Career Counselor will meet bi-monthly with each participant to guide them in their career paths, as well as coordinate monthly life-skills sessions with all participants. D. Program Description 1. Describe the overall services that will be made available to the WIA participant. The OCCTAC Arts & Learning Academy program will serve 15 out-of-school at-risk youth (ages 17-21) with and without disabilities of limited resources from the City of Santa Ana. OCCTAC will provide participants educational skills and job training, paid work experience, mentoring, tutoring, counseling, leadership opportunities, and support services. Eligible WIA youth enrolled in OCCTAC programs will focus on four key areas: Career Training Skills-educational and work experience, Employability/Job Skills job preparation, Life Skills-personal development, and Academic/Basic Skills -academic development. See TABLE 4. TABLE 4 Career Training Skills Employability Job Skills Life Skills Academic/ Basic Skills Arts/Technology Resume Writing Self-Esteem English Language Skills Cover Letters Healthy Habits Skills Technology assistant Job Applications Interpersonal Graphic Artist Job Search strategies & job Relationships Reading Strategies Arts Instructor leads Anger Management Basic computer Values & Beliefs Writing Strategies operations related to Interview Process Time Management Photoshop and and techniques Personal financial Math, Science and Illustrator Employer Expectations Literacy Technology Basic Business Practices Goal Setting Educational Skills Workplace Safety Teacher Aid Basic Microsoft Office and Tutor/Mentor computer operations Youth Leader 2. Describe how collaborations/partnerships will enhance program services and outcomes. 3. Describe how the participant flow will occur. Include the following categories: Outreach/ Recruitment/Eligibility determination, Intake/Assessment, Case Management, Program Services/Parent and Employer Involvement, Placement in Jobs or Continuing Education, Follow-up and Retention. WIA Grant 2009-2010 OCCTAC Narrative 1. Outreach/Recruitment/Eligibility: As stated previously, OCCTAC has entered into a strong partnership with the Santa Ana Unified School District, Transition Partnership Project (TPP) to serve youth with disabilities exiting high school. (See letter of support). In collaboration with the SAUSD Transition Partnership Project, we will ensure that our enrollment goals will be met, approximately by the second quarter of the contract, and that our participants will successfully working to reach their goals. OCCTAC staff and SAUSD TPP staff will meet on a regular basis to discuss potential candidates and service needs. SAUSD staff will refer mild-moderate students with special needs to our program after they have exited high school, but lack the necessary skills to successfully transition in the labor force and need further education and training. Most of the participants referred will be high functioning special needs youth, including specific learning disabilities, autism, health impairments and others. During the past 8 years, OCCTAC has conducted community outreach and programs recruitment through the following activities: Communitv Outreach Events & Fairs - OCCTAC participates in many community events throughout the year (at least one event per month), This provides an excellent opportunity to recruit program participants throughout the year. These events are staffed by the WIA-team. Sometimes the WIA youth participate in these events as a way to gain: leadership skills, work experience and public speaking. Referrals from Communitv Partners - As stated previously, OCCTAC has established strong partnerships with key agencies in Santa Ana, such as the County of Orange, Regional Center, Santa Ana College, and Providence Community Services Community Services. New OCCTAC families -Every year OCCTAC serves new families that learned about our services from other OCCTAC parents. Last year we served close to 1,000 students. Five hundred of these students were served in the Santa Ana Unified School District sites through our Learning Academy Program, and approximately 500 students were served at our Main facility/Arts Center on Broadway. Every year we enroll new families through "word of mouth"! 2. Intake/Assessment: When appropriate, the OCCTAC Case manager will work closely with the SAUSD Transition Partnership team to identify and determine the individual educational (IEP) and career goals of participants referred to our program. The WIA participants will be assessed and/or surveyed in the following areas: a) Basic Skills/Academic levels, b) Employability/Job skills, and c) Career Training Skills. Assessments and surveys will takes place prior to the educational training and work experience at OCCTAC. The first assessment to be conducted is the TABE assessment. If the assessment reveals basic skills deficiency, then the student is provided with two other short literacy tests to measure his/her literacy levels. These tests are the STAR Reading and HOST Learner link assessments that are also used in the After-School Learning Academy program. These assessment tools will be conducted as pre and post tests to measure growth across time. The literacy assessment will help also determine the placement for those participants interested in being "mentors/tutors", and help guide each WIA participant in their educational/academic goals. Case Management: OCCTAC's philosophy of the program is based on an interdisciplinary/holistic model that calls for a high interaction between the key staff of the program and WIA participants. Each student of the program will be linked with an adult staff mentor (Arts/Technology Instructor), a case manager, a career counselor and a Literacy and Math Instructor. The Case manager will coordinate and support the WIA participants' activities with the other staff members. The Case Manager will meet bi-monthly with WIA Grant 2009-2010 OCCTAC Narrative each WIA participant to monitor their progress, assist with job skills training (e.g., resume writing, etc.), and help youth with job development. Program Services/Parent and Employer Involvement: OCCTAC provides a great variety of programs that empower both youth and adults! Our nurturing, community-based center provides a wide range of classes and family involvement activities, such as parenting classes, support groups, family counseling, financial literacy and others. Our interdisciplinary and holistic model provides WIA participants with a wonderful opportunity to involve their parents, siblings and friends. Our Center believes in community involvement, education and leadership. Therefore all of the programs that we serve incorporate youth, and parent involvement and participation. Furthermore, OCCTAC provides support, advocacy and education to our community families through invited guests that provide in-kind services to our Center in the spirit of community leadership! Placement in Jobs or Continuing Education: Youth who successfully complete their training program are recommended and sometimes hired as tutors or teacher assistants to work in our Learning Academy program. In addition, OCCTAC will provide youth job preparation workshops, participation in job fairs, resume preparation, one-on-one job skills training and coaching and referrals. All WIA participants will be paid for their "hands-on" job training in the placement site of their choice at OCCTAC programs (i.e. Arts Program, Media Lab, Learning Academy, etc.) Please see Table 3. During this period of time, all WIA participants will receive $8.00 per hour and will continue with their tutoring and be encouraged to work up to 10-hours per week. If needed, the participants will receive the other support services available at the Center. During the last 4-months of the program, WIA participants will slowly transition out of work experiences at the center, and into otherjob interviews and opportunities in the community. During this last period the case manager will continue to work closely with the SAUSD TPP job developer to help find youth a job in the community. Furthermore, OCCTAC will work in collaboration with the Santa Ana Work Center, Parks and Recreation, and other community agencies to find jobs for our youth. In partnership with the Santa Ana College/Centennial Education, youth who have not completed their secondary education will also be encouraged to co-enroll in a high school diploma or certification program sponsored by the SAC College. Follow-up and Retention: OCCTAC is committed to provide follow-up services to students after they have completed their planned goals, including mentoring, job coaching, and support services to all 18 WIA participants. Follow-up services will include: a) providing job placement and referral to youth, b) providing assistance to students so they can maintain work for at least 6 months through mentorship and support services, c) working in partnership with the employers of WIA graduates to ensure work success, and d) work in collaboration with the SAUSD TPP job developer to help youth find a job in the community. 3. Describe how training and employment services lead to occupations in high growth/high demand industries. and 4. Describe how training and services result in career paths that lead youth towards self-sufficiency. Please provide Labor Market Information if training is provided. All of the services previously described are the fundamental elements forjob search, retention and future success for WIA participants. These services support the High Growth Training Initiative as identified by the United States Department of Labor. "This initiative is a strategic effort to prepare workers to take advantage of new and increasing job opportunities in high growth, high demand and economically vital sectors of the WIA Grant 2009-2010 OCCTAC Narrative American economy...the High Growth Training Initiative targets worker training and career development resources towards helping workers gain the skills they need to build successful careers." Within the 14- high growth industries identified, our participants will obtain training related to the Information and Technology and the Financial Services Industries and in the fields of Education and the Arts. As the participants master their basic skills and commit to taking on new challenges, they will emerge from the program better prepared to accomplish both short and long-term employment goals. With an emphasis this year on STEM, the WIA participants will spend more time in the area of math and science. This particular objective is in alignment with the STEM initiative as well as the on-going development and implementation of workforce solutions that have been identified. OCCTAC is utilizing curricula to build core competencies to train workers; identify and disseminate career and skill information and increase the integration of community and technical college activities with industry and the public workforce system. Through this type of training, WIA participants develop the necessary tools to create a career path that compliments their skills, while meeting the skill needs of the employer within targeted industries. Additionally, WIA participants develop an understanding about what motivates and inspires them to attain additional skills and training and/or education to advance in other career opportunities. E. Facilities 1. Location where Services will be delivered and 2. Transportation Challenges: Most of the services will be provided at our current location in Between Main and Broadway Streets. The exception might be when the program requires interaction and support with partnering agencies and employment related opportunities. One example will be at the various community sites where we currently run other programs. If participants have transportation challenges, we will assist them in finding alternate transportation, such as public transportation, ride-sharing with friends, family or other participants, and Metrolink. Also, participants will be provided with bus passes by OCCTAC or the SAUSD TPP program staff to alleviate transportation challenges. 3. Hours of Operation. The Center operates year round (except for major holidays), six days per week, with the following schedule: Days Monday Tuesday Wednesday Thursday Friday Saturday Hours 8:30 a.m. - 8:30 a.m. - 8:30 a.m.- 8:30 a.m. - 8:30 a.m. - 8:30 a.m. - 8:30 p.m. 8:30 p.m. 8:30 p.m. 8:30 p.m. 8:30 p.m. 5:30 p.m. Sunday Closed For the past two years, we have been operating from a larger facility in Santa Ana, which is very safe. There have been no incidences of any crimes or disturbances. The parking lot is well-lighted and monitored by the Center's staff. The area is amidst several businesses, including, the Bowers Museum and diverse residential areas. There are SAUSD schools in the vicinity, as well as easy access to public transportation. Students can take the bus or in some instances walk to the Center. 4. Is the facility compliant with the Americans with Disability Act (ADA)? Yes! The facility is accessible and compliant with all ADA guidelines and regulations. WIA Grant 2009-2010 OCCTAC Narrative 5. Internet Access. OCCTAC provides internet access to WIA program staff, as well as to all WIA participants. Technology is an essential component of our program since many older youth are highly interested in careers involving technology. 6. Describe what makes your facility youth friendly and suitable for the proposed activities/services. The current OCCTAC space is 8,000 square feet and is located on the first floor of the building with an open outdoor space available to the staff and participants. As stated above, our hours of operations are longer and suitable in meeting the needs of the WIA participants, who have additional activities and commitments. The WIA staff has their own office with enough room to tutor and/or meet with participants. Most of the activities and work experience takes place at the OCCTAC location the participants can plan their activities accordingly. The OCCTAC Administrative and support staff have been with the organization in most cases for more than 4-years and are dedicated, helpful, friendly and experienced. They welcome the opportunity to work closely with the WIA participants! II. About Your Organization A. Description of the Proposer 1. Discuss the current number of full time and part time personnel employed, average annual operating budget and sources of revenue. 2. How long has your organization been serving Santa Ana youth? 3. What kind of impact has your services made to the youth in the community? Founded in 2000, OCCTAC has quickly grown to be recognized as one of Santa Ana's leading community builders and most successful new nonprofits for families of culturally diverse backgrounds and limited resources. OCCTAC and the Executive Director have received numerous community awards and recognitions, including a City of Santa Ana Community Building Award, a Human Rights award by the Orange County Human Relations, a MANA Community Arts and Culture award, an Organizational Entrepreneurship award by the Hispanic Business Women Association, and others. OCCTAC is staffed by highly qualified bilingual credentialed teachers, artists and therapists certified to provide services to youth with and without disabilities. There are 5-Full-time staff and between 40 and 50-Part-time staff (some seasonal) who are employed in various classes and programs at the Center. These programs include: 1) OCCTAC Early Start Program, 2) OCCTAC Preschool Program, 3) OCCTACRfter-School Arts Program, 4) OCCTAC Learning Academy & Tutoring Program including the Wraparound Program in collaboration with the County of Orange; 5) OCCTAC Media Lab & Technology Training, and 6) OCCTAC Therapeutic Arts Program. First and foremost, we educate and empower youth in Orange County's most at-risk, underserved and diverse community through innovative programs that build self esteem, leadership skills, self discipline, good study habits and creative expression. As noted before, our variety of programs integrate both at- riskyouth and youth with disabilities in a nurturing, community-based environment that teaches respect, cultural diversity, disability awareness and inclusion. We are the only facility in Orange County and Santa Ana that offers this powerful combination of the arts, academics and creative therapies for youth with and without disabilities. Our programs have cultivated many success stories where students have improved their academic and literacy tests scores; some of our High school dropout students have re-enrolled in classes towards earning their diplomas, and very talented older youth have been hired as arts teachers in the community! WIA Grant 2009-2010 OCCTAC Narrative The Center has had a tremendous impact on Santa Ana youths and their families. It is a catalyst for change and provides students and families access to new opportunities, and community leadership! As stated before, OCCTAC is committed to empowering youth to reach their fullest potential academically, emotionally and artistically. Through our innovative approach which combines the arts, academics, and creative therapies, participants are engaged and involved in a variety of programs at OCCTAC. Parent involvement and participation is a key mission at our Center. Since our inception, OCCTAC has had a Parent Committee. Every year our parent committee is very active at our center, and meets regularly with the Executive Director to discuss educational programs offered to our students and parents, as well as to develop social & cultural events at our Center. The parents have organized events and activities to unite with the community and attract even more parent involvement with the school and local businesses. They have initiated fundraisers to support the school and to further add to the educational resources at OCCTAC. They also participate in the community education seminars and many are involved in receiving parent education classes. The OCCTAC staff participates in on-going training during the year. All related OCCTAC and Academy staff receives monthly training which covers, but is not limited to, implementing the HOSTS Learning curriculum and materials, documenting student growth, and teaching specially designed academic instruction in English to English Language Learners. Other trainings have included: Child Abuse identification and reporting, discipline strategies, lesson planning, collaborative teams, working with special needs students, interacting with parents and operational issues relevant to a successful after- school program. Regular site visits also take place by the Instructional Specialist and Chief Operating Officer to monitor learning academies and after-school programs. OCCTAC's Administrative Staff provides ongoing feedback on effective teaching, academic support and mentoring strategies as well as class room management techniques to classroom teachers, teaching assistants and staff. B. Experience 1. Briefly outline all youth programs that your agency has operated during the last 2 years. Include discussion of past performance as related to WIA performance goals. Organizations with no experience in providing WIA services should explain unique advantages or value associated with their proposal. 2. What kind of experience do you have in incorporating parents, youth and employers into your programs? 3. Describe how staff will receive training and ongoing staff development to increase staff capacity and expertise in the field of youth development and employment. 4. List the positions dedicated to this proposal. Include a description of duties and time allocation for each responsibility. Executive Director-Dr. Ana Jimenez-Hami is the Founder and Executive Director of OCCTAC. She earned a doctoral degree in the fields of Educational Psychology and Special Education with an emphasis on the language and literacy skills of children and youth with special needs. She is also a part-time faculty member at Chapman University in the School of Education. During the past 20 years, Dr. Jimenez has prioritized on researching and implementing educational creative interventions/methods that empower youth and the Latino community to succeed in the academic world, and reach for higher educational goals. Dr. Jimenez has been recognized continuously in the community for her contributions. Last year, she was a recipient of the National Hispanic Business Women Association award for organizational entrepreneurship (May, 2007); a National award by the Heartspring Foundation for creativity in Special Education (July, 2007), and a faculty award from Chapman University (June, 2007). Previous awards include City of Santa Ana Community Building Award (2006), and others. WIA Grant 2009-2010 OCCTAC Narrative Chief Operating Officer-Dr. Gail Arriola-Nickell holds a Ph.D. in Psychology, and has worked at OCCTAC for the last eight years. As the COO and former Director of Programs, Dr. Arriola-Nickell brings strong leadership and innovation in directing both the professional and organizational development. Dr. Arriola-Nickell has over fourteen years of successful public programming experience, working with a diverse range of projects and with implementing educational programs for children, youth and adults. She has a strong background in administration, organizational development and management. Her affiliations are: Marquis Who's Who of American Women 2005; County of Orange Certificate of Recognition 2000; Certificate of Special Congressional Recognition 2000; California State Assembly Certificate of Recognition 2000; Orange County's United Way Hispanic Development Council Multi- Ethnic Leadership Institute 2000. W18-Case Manager-Mercedes-(Meche) Avirad has worked at the Center for the past 7-years. Ms. Avirad holds a BA is Psychology from California State University, Fullerton. Two years ago she stepped into the position as Case Manager for our WIA program, and is proficient at working with the computer reporting system and student documentation. Additionally, she has experience in working with disadvantaged youth, ages 5 to 17 teaching bi-lingual education and academic tutoring for academic improvement while living in Peru. Literacy Coach-Rebecca Nelson is a credentialed teacher who has worked in the OCCTAC After-School Learning Academy Program as our Instructional Specialist for the past three years. She is trained in administering the HOSTS Learning System, HOSTS Learner Link and STAR Reading. In addition, Rebecca is a former business owner, who returned to her vocation, educating children and youth in her community. She has a BCLAD Teaching Credentia{ and has worked for the Orange Unified School District GATE Program and the Santa Ana Unified School District in the Two-Way Language Immersion program. Currently she is completing a Masters Degree in Educational Leadership and has completed the Administrative Credential at Cal Poly Pomona. She is Bilingual/Bi-literate, motivated and dedicated to working closely with parents and students, teaching them to be proactive and involved in the educational process and to have a positive impact on their academic achievement and future goals. Arts/Technology Mentor-Hector Zaragoza has been teaching for the past ten years. He has focused primarily on teaching at-risk youth, as well as students from the Juvenile Justice System. Hector Zaragoza worked close to ten years with the Orange County Department of Education and learned to motivate and work with a variety of students and their unique learning styles. Hector Zaragoza has been teaching at OCCTAC for the past three years and has a strong background in visual arts and technology (with emphasis in graphic design). He is the owner and designer of HEIRO Clothing. Career Counselor-Kelly Yrarrazaval holds a degree from the University of California, Irvine in Consensual Dispute Resolution Processes and Mediation Skills Training; Completion of twenty-five hour program in accordance with the California; Dispute Resolution Programs Act and graduated from California State University, Fullerton with a Master of Science, in Counseling Pupil Personnel Services Credential. From May 1992 -Sept 1992, she studied Spanish in Central America; (CADS (Institute for Central American Development Studies) and lived with a native Costa Rican family. Kelly has worked as the PAL/Conflict Resolution Trainer for Orange County Department of Education and has been a Curriculum Specialist (SST), Pupil Support Services, and School Counselor at Sierra Intermediate and Valley High Schools, both within the Santa Ana Unified School District. Literacy Coach-Jose Flores has worked with OCCTAC for the last four years in the After School Learning Academy, the Arts and Literacy and WIA Program. He has been implementing the Arts & Literacy WIA Grant 2009-2010 OCCTAC Narrative Curriculum based on the California State Standards for the Visual Arts and incorporating creative projects while focusing on developing literacy skills and student documentation. He has a M.F.A. Degree in Creative Writing from California Institute of the Arts and a B.A. in Spanish from Columbia University. C. Fiscal Capacity 1. Describe the process used to capture and report fiscal data? All invoices or vendor statements will be initialed by the Chief Operating Officer or the Executive Director prior to signing the check to pay that bill or invoice. After checks are printed and signed, the accountant shall mark "Paid" with the date of payment and check number utilized for payment. All disbursements shall be reviewed and approved by the Chief Operating Officer and/or the Executive Director. A monthly review of all disbursements shall be conducted by the Accounting/Finance Director for verification of accuracy, documentation and appropriate approval. The Executive Director shall be authorized to expend funds as approved by the Board of Directors under the organization's annual operating budget. 2. Attach a copy of the procurement policies and procedures.-Attachment at the end of Narrative 3. What systems are used to ensure fiscal accountability and appropriate expenditures and planned costs? All requests for reimbursement shall be reviewed and approved by the Executive Director. All reimbursements are subject to budgetary limitations as established in the organization's approved operating budget. No reimbursement shall be made without appropriate backup documentation (i.e. Receipt or comparable document stating purchase description, date, place and amount of sale and of the specific reimbursable item). Accountine Method• OCCTAC utilizes an accrual-based account methodology. Revenue and expenses shall be recorded in the month that they were incurred or earned as opposed to the month that the cash is paid out or received. Cost Allocation Method• Costs shall be allocated using the Direct Cost Allocation Method (OBM Circular A-122). OCCTAC shall classify each item to a specific program, department, site, grant or contact that it directly relates to. Indirect expenses like general administration and general expenses shall be allocated based on the allowable budgeted portion of each program with the remaining portion to the center's administrative category. OCCTAC shall produce financial reporting for each of the Center's program functions. In consolidation, these programs shall make up the overall financial position of OCCTAC. All transactions (Payments and cash receipts) that occur at the center shall be classified under identified categories and programs. When program funding is split between two or more sources, the cost allocation for this program shall conform to the budget allocations established in the program. Budeets: Under the supervision of the Finance Committee and prior to the beginning of each fiscal year, the Executive Director and Chief Operating Officer prepare an Operational Budget, including Program Budgets. Tuition fees, Service fee rates, dues, subscription rates, etc., shall be approved by the Board. Any gifts (monetary or otherwise) resulting from fund-raising activities, solicitations and acceptance of gifts or contributions that are presented with restrictions of use shall be approved by the Board of Directors and submitted to the finance committee to verify the appropriate method of accounting and subsequent reporting. Receivable: Receivables shall be aged monthly and delinquent accounts shall be followed up for collection. Receivables from miscellaneous sources shall be reviewed periodically by the Treasurer and WIA Grant 2009-2010 OCCTAC Narrative significant amounts shall be reported to the Board of Directors. All write-offs shall require approval from the Finance Committee prior to implementation. The Board shall review all write-offs from uncollectible accounts receivables. Deposits and Receipt of Monies• Deposit of monies shall be made on a weekly basis, or whenever more than one thousand dollars (in either cash or check) has been received and recorded by the OCCTAC office. All items to be deposited shall be stamped "For Deposit Only" to the Account of OCCTAC with the appropriate bank account number. A deposit form for established OCCTAC accounts shall be completed with deposit slip details for cash or multiple checks. A copy of the deposit form, slip and all items to be deposited shall be made for accounting purposes and upon completion of the deposit attached to the deposit slip and turned into the accounting revenue in-box. To ensure appropriate financial controls, the individual making deposits shall not be the same person reconciling the OCCTAC account. All funds received shall be recorded in the accounting system and filed in the locked accounting file cabinet. Disbursements: All disbursements shall be made by checks drawn on the established operating checking account for the OCCTAC. All disbursements shall utilize pre-numbered checks used in sequence. Any and all "voided" checks shall be mutilated and notes on the voided check stub. At no time shall disbursements be made to "bearer" or to "cash". All banking materials, records, blank checks, and deposit books shall be maintained in secure cabinets in the OCCTAC office under the supervision of the Executive Director, Chief Operating Officer and Finance/Accountant or staff. Only those individuals authorized to handle check stock as their part of their accounting duties for OCCTAC account shall have access to these banking materials. Disbursements shall be prepared from original invoices. Each disbursement shall require submission of a purchase request form and appropriate backup documentation. Invoices shall be date stamped upon receipt and marked "approved for payment." Reconciliation of Accounts• All OCCTAC bank accounts shall be reconciled monthly. A monthly review of all accounts and financial reports shall be prepared by the Board Treasurer or designated Finance Committee Member. Financial Reportine• The Administrator shall maintain books of account using Generally Accepted Accounting Principles, and an accounting system capable of managing the bookkeeping and financial reporting needs of operating the Center. Files and Records: OCCTAC shall maintain hard copy files for all operational and business transactions that occur. Files shall be separated into the following categories: • Accounting records; • Grant documentation; • Tax filings; Donors; • Legal/Insurance/License /Permits; • OCCTAC Programs; • Personnel documents and files; • Vendor and Client contracts and other documents. OCCTAC shall maintain electronic and hardcopy records of all accounting transactions and financial reporting. All electronic records shall be copied and stored in a secure, off site location or in a web based file storage system. All financial and accounting hardcopy files shall be stored in a secure lockable file cabinet. Any requests for financial documentation must go through the accounting staff i.e. copy of original document. Original financial documentation shall remain in the file cabinet at all times. WIA Grant 2009-2010 OCCTAC Narrative 4. Describe invoicing process and list qualifications of staff assigned to task. Lead Accounting Clerk--Sherri Sisson, Graduate student at UCLA through the Western Consortium Exchange Student program and earned a Masters Degree from the University of Hawaii and received Certificates in Accounting and Taxation from Saddleback College. Sherri has 6-years experience with QuickBooks accounting software and 15 years experience with Excel and Budgeting and Forecasting. Her experience includes: Volunteer Treasure of Pacific Yearly Meeting annual budget of $250,000 2004- 2006; Volunteer Treasurer for Southern California Quarterly Meeting of the Religious Society of Friends Annual budget of $15,0001998 to Current. Monies received by mail• All checks received by mail shall be immediately stamped using the ORANGE COUNTY CHILDREN'S THERAPEUTIC ARTS CENTER "For Deposit Only" stamp bearing the Orange County Children's Therapeutic ARTS Center and Operating Checking Account number. All monies will be: • Recorded on Income Log indicating date of receipt, name-source or donor, purpose & amount; • All cash received by mail is secured by Secretary in sealed envelope indicating amount/ date received on outside of envelope; Envelope shall be kept under lock in the petty cash box until deposited; • Income/Deposit Summary Sheet shall be completed for monies received; • A copy of checks/cash or checks received, attached to Summary Sheet; • Summary Sheet, attached checks w/copies, to Executive Director for review and deposits. Billine: After the Executive Director, the COO and Accounting Assistant reviews the expenses, the Accounting Assistant will then enter the data from the participants' stipends and/or time sheets as well as related expenses into the accounting system to generate an invoice. The invoice will be on the appropriate form provided by the WIA Contract and submitted for reimbursement. 5. Describe how agency's financial stability is not dependent on WIA funds. Financial Stability The OCCTAC Board Members are volunteers and operate as a working board. They provide support, recommendations and over-site to the founder and executive director. The Executive Director; Chief Operating Officer; administrative staff and coordinators manage the day-to-day operations of the organization. The board members are involved with deciding major policy and program changes and fund-raisine activities via the board committees. The committees include: 1) Executive Committee; 2) Finance Committee; 3) Fund-Development Committee; and 4) Board Development. With the committee structure in place, OCCTAC is actively engaged in a high level offund-raising activity. The Fund- Development Committee now has an annual campaign to sustain and support OCCTAC's operations. The Center continues to receive regular monthly tuition from the After-school ARTS Programs to assist with general operations. We continue to maintain current contracts as well as secure new contracts with the following agencies: 1) Santa Ana Unified School District to provide Tutoring services, Music Therapy and Early intervention; 2) Regional Center to provide Socialization Training to Children and Youth with Disabilities; 3) County of Orange, Social Services to provide Tutoring and After-School Programs to youth with Emotional Disabilities and Behavioral Problems; and Providence Community Services to work with WIA Grant 2009-2010 OCCTAC Narrative youth at-risk and employment experience. In addition, OCCTAC was also awarded a CDB Grant from the City of Santa Ana to provide Arts & Literacy Instruction to Youth with Special Needs. Because OCCTAC has been successful in demonstrating the ability to make significant progress with students, we have gained the support and recognition of many local schools and organizations. This support is reflected in the following ways: 1) increased student enrollment; 2) public contributions; 3) increased volunteer support, and 4) recognition by city and public officials. Furthermore, OCCTAC has received support from a variety of local community groups, business and community foundations that award grants and contributions, such as the Santa Ana Kiwanis group, Wells Fargo, Orange County Community Foundation, Disney Foundation, Fieldstead Foundation and others. Combined with grants, the tuition revenues and existing contracts, OCCTAC can ensure the program's viability. During the past eight years of operation, OCCTAC has also built strong partnerships with key agencies that have helped the Center expand its' mission. Those partnerships include, for example, the County of Orange, Social Services to provide family counseling; the Santa Ana College to help support our parenting programs; and our college partners (the Santa Ana College, Chapman University, University of California in Irvine, Cal State Fullerton) to support our tutoring and mentoring programs that assist our families with homework support and literacy needs. In the recent year, the number of volunteer student tutors from community and four-year-colleges has risen significantly. D. Subcontracting--Subcontracting client services/activities is not permissible under this contract. However if planning to subcontract non-client services, identify subcontracts role and estimated cost for services. 6. Submit most recent/2 years of audited financial statements (see attachment G). ~ • • ~ w ~ ^ ' '"~ ~ ~ a. ~ 'rJ ~ < co o ~ ~ o G ~• ~ o ~ ~ ~ t3 Cr ~ :D ' ~ ~ ~ ~ o~~ ~~z ~, ~ ~ 'Y O ~•~ o ~ ~• ~ b ~ ~ ~, a ~; o ~ v ~ ~ co ~ 3 ~~, ~~~, ~, a ~ ~. 0 a• ~. ~ o o. ~• o ~ ~ n ~ ~• o a~ ~ p ~s ' ~• ~ ~. O ~ ~ p ~ 0 S o ~ ~ p w~ '~'`~ ,O.h ' 3 ~ ~ `n ~ ~ ~ ''~ O O -a °'~ ~ ~ ~`~ o ~ ~' ~ ~ v co n O ~ ~ ~ O + `< A ~ O ~ ~. rr 7 •-• CD ~ 'O ~i'+ a1 ~ vi o r A CA W a- N y y ~ ., ~' ~ ~ ; ~, ~ ~• o ~ ~. R° o, r ,~ O o ~ ~ rn ~ . ~ '`~ ~O ~ ~ ~ ~ ~ A' o O ~ t aQ ~ n '~ ~ ~ ~ N y ~ ~ o. ~ ~ • w ~• ~ a ~ ~ mo .-. .d v~ ~ ~ p ~ a ~ ~ ~ ~ ~ ~ N ' o ~ ~~ ~ ,~~' H ' °o ~ s. fD ~ o co p Ua ~ ~, d y H '"' ~. ~ ~ p oa r p m -x- ° y O A O • ~ ~ ~' ~ 'C ~ y ~ ; ~ o ~ i -1 ~ Q ~ N n ~ ~ N C D ~ ~ i ~ ~ v ~; p • U4 V ~ ~ ~ ° ~ ~ ~ m i m ~ .~° ~ ~ •a ° '~• ~ ~' S• ~ °Q ~ o ~ a' '~ 3 m ~ ~ ~ ~ ~ o ~ y o CD ~ ~ co n ~ ~ p ~ ~ ~ ~ ~ ~ y ~ `~ ~ ~ ~ m ~ ~ . O O ~ 'C ~ U4 • w ~ •-~ ~n ~ ~ cno _ ~ ~ O ~ ~ ~ ~ p ~ ~ r-r _ ~ N Q ~ n A. p a ~ U Q `G v ~i ~ ~ n ~ ~ ~ , ~.t A ~ o ~ O ~ ~ ~ -, ~ O A~ b i ~ Q ~ ~• p e -r ro ~+ s~ O C7 o H~~ C~ C] o ff H C~ H C~ H C7 H (~ ~ ~~ `~ ~~ n°~ a: n n n n n b ~~ a i ~ ~ ~ ~ ~ O p m f~D C Ro ~..~ ~ M ~~ d ~r ~ ~ ~ ~ ~ ~° 0 0 0 0 0 0 ~. ~ ~~ ,~~ ~ ~ N O N N O O N O N O N O r"3 ~ ~ -' • C '" ,_ ~] ~ rn o~ o, C o o ~ ~ ~ * W ~ 'A Q1 0 0 0 0 0 ~ ~ o o 0 o o d d ~ ~ O o V 0 V 0 0 0 0 0 y ~ ~ ~ Q-. r:;.: m Exhibit C COMPLAINT HANDLING UNDER THE WORKFORCE INVESTMENT ACT SANTA ANA WIA Santa Ana Local Workforce Investment Area Revised May 7, 2009 Table of Contents Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints, 3 3 1. Policy Statement 3 2. Civil Rights 4 3. Nondiscrimination laws under WIA 4 4. How to File Your Complaint 5 B. Criminal Complaints g I I. General Procedures for Handling Non-Criminal Violations of the Act 6 III. Procedures for Handling Complaints at the LWIA Level 8 IV. Procedures for Handling Complaints at the State Level 12 V. Procedures for Handling Discrimination Complaints by Participants 15 VI. Procedures for Handling Handicap Complaints by Participants 17 GLOSSARY OF WIA TERMS 0 z I. Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Investment Act (WIA), the City of Santa Ana Local Workforce Investment Area (LWIA) will establish programs to prepare youth and unskilled adults for entry into the labor force and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing WIA, all contractors in the Santa Ana LWIA will foster equal opportunity and non-discrimination, as provided in State and Federal equal opportunity and non-discrimination laws including, but not limited to: • Title VI of the Civil Rights Act of 1964 • Title VII of the Civil Rights Act of 1964 • The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section 188 of the Workforce Investment Act of 1998 In keeping with our commitment, no individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIA funded program because of race, color, religion, sex, national origin, age, handicap, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIA shall be open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugee, parolees, and other individuals authorized by the Attorney General to work in the United States. No individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing information, or assisting or participating in any manner in an investigation, compliance review, hearing or any other activity related to the administration of WIA. 3 Administration responsibility for this Equal Opportunity/Affirmative Action (EO/AA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana local Workforce Investment Area. Equal opportunity and non- discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal opportunity Program. 2. Civil Rights No one applying for or enrolled in the Workforce Investment Act (WIA) programs may be discriminated against because of race, color, creed, handicap, national origin, sex, age, political affiliation, or beliefs. This means that -for any of the characteristics listed above: • You may not be denied the opportunity to enroll in WIA. • No benefits or services may be denied you for discriminatory reasons. • You may not be segregated or treated any differently from other applicants or participants, while you are being registered, interviewed, counseled or tested; or while you are working or attending classes as part of the program. • You must be provided an equal chance to use all facilities available in the program. • Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in any way be penalized for filing a complaint. Your WIA sponsor has established a mechanism for handling complaints and grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3. Nondiscrimination Laws under WIA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Aae Discrimination Act of 1975 Prohibits arbitrary discrimination against persons age 40-70. The Rehabilitation Act of 1973 4 Prohibits discrimination based on handicap. Title IX of the Education Amendments of 1972 Prohibits discrimination in any education or training program or activity receiving federal financial assistance. OTHER CIVIL RIGHTS LAWS: Title VII of the Civil 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: s Director Civil Rights Center U.S. Department of Labor, Room N-4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of handicap must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIA administrative entity. The WIA administrative entity shall issue a written decision within 30 days of the filing of the complaint. If the complaint is still unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal Employment opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INVESTMENT ACT Santa Ana Local Workforce Investment Area 1000 E. Santa Ana Blvd., Ste 200 Santa Ana, CA 92701 (714)565-2600 B. Criminal Complaints In accordance with the WIA (P.L. 105-200) and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report fraud, abuse and other criminal activity. "All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." II. General Procedures for Handling Non-Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 667.600 through 667.640 of the WIA regulations, and Section 181(c) of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWIA level for the receipt, investigation, hearing, and resolution of complaints by WIA participants, 6 sub 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 LWIA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIA programs operated by each LWIA grant recipient and sub recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIA complaint process (i.e., disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non-WIA complaint. Also, these procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion Procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. A. The following principles and rules apply to all complaints at all steps of the complaint procedures: 1. All complaints must be made in writing within 180 days of the alleged occurrence, except complaints alleging fraud or criminal activity. 2. All persons filing a complaint shall be free from restraint, coercion., reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his/her complaint to correct technical deficiencies but not to add issues. 3. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment into employment or training, participants shall be provided with a written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private-for-profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. A "participant", within the meaning of these procedures, is an individual who receives employment-training services under a program funded by Santa Ana LWIA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However. such 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 LWIA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor. 6. Complainants must initially file and exhaust LWIA grant recipient/hearing procedures prior to appealing to the State except where the State determines that the LWIA grant recipient's procedures are not in compliance with the State's procedures. III. Procedures for Handling Complaints at the LWIA Level A. Receipt Complaints Pursuant to the WIA regulations found at 20 CFR, Section 667.600, the LWIA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs in the LWIA. "LWIA level" encompasses LWIA administrative entity and employers to which the administrative entity has delegated the complaint resolution process. The following comprise the guidelines for resolving issues arising in connection with WIA programs operated by the Santa Ana LWIA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, investigations or monitoring reports. 1. Form and Filing of Compliant Official filing date of the compliant is the date the written complaint is received. The filing of the complaint with the Santa Ana LWIA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following information: a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); c. Clear and concise statement of facts including dates constituting alleged violation; d. What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; s e. Remedy sought by the complainant; and f. If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step. 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWIA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint. Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. a. The EEO Officer will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. b. Although the 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 LWIA concurs, the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed. d. If resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he/she so desires. 3. Request for Hearing a. As in the case of the complaint, the request for a hearing should be put in writing and be filed in person or by mail. A governing board resolution of authorization to appeal should also be submitted when appropriate. The request should be filled with: Anita Queen Sr. Personnel Analyst -EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714) 647-5157 9 b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten-day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWIA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: a. The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. b. The date, time and place of hearing before an impartial hearing officer. c. A statement(s) of the alleged violation(s) d. Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWIA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment to the circumstances presented. 1. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWIA or its sub recipients. The hearing officer will be selected from a list of names on file with the EEO Officer. 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. 3. The hearing office designated by the EEO Officer to function in aquasi-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. zo 4. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. 5. The party involved should have the right to be represented (at their own expense) if he/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. 7. The practice in informal hearings is generally not to apply strict rules of evidence in obtaining facts. However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. 8. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing. 9. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWIA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Investment Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWIA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and issues related to the alleged violation. 3. A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action, if any, to be taken. 6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. D. Record of Hearing zi An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWIA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWIA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for athree- year period after the grant has been officially closed out. The Santa Ana LWIA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 667.600, each employing agency including private-for-profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWIA's established procedures under Section 667.600. At a minimum these procedures must include: Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice, at the time the grievance is filed, of the procedures under which the grievance will be processed. 3. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the filing of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWIA and the State Review Panel in accordance with Section 667.600. IV. Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIA regulations at 20 CFR, Section 667.600 (d) requires the Governor to establish a State Review process of complaints filed at the LWIA grant recipient level and of complaints initially filed at the State level. Appeals of decisions issued at the LWIA level including audit disallowances and sanctions shall be reviewed by the State Review Panel. The State Review Panel shall review the record established at the LWIA level and shall issue a decision based on the information contained therein. sz Complaints which may be initially filed at the State level will be heard by an independent hearing officer designated by the State Workforce Investment Division (WID). The hearing officer shall conduct a hearing and issue a recommended decision to the State Panel. The recommended decision shall be in writing and may be accepted, rejected or modified by the State Review Panel. A. Form and Filing of Complaint. 1. Request for State Review of LWIA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review. 2. Filing of Requests for State Review The State Review Panel shall review all LWIA level decisions when a request for review is filed within 10 days of receipt of the adverse decision. Such requests must be filed in writing with the Chief of the 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 LWIA 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 LWIA hearing which support the requested relief. The Chief, WID, shall mail a copy of the request for review to the other party and to the LWIA. It shall be the responsibility of the LWIA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 1. Request for Hearing at the State Level If no decision has been issued at the LWIA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The 13 hearing officer will then issue a recommended decision to the State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWIA should have issued a decision or ten (10) days after the issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the WID in writing and should include the following: a. Full name, address, and telephone number of the LWIA b. Name, address, and telephone number of the LWIA c. Copies of complaints made at LWIA level from which no decisions were issued or sanctions and imposed. d. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. The hearing will be recorded mechanically or by court reporter. Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses in support of his/her position, to present oral and/or written arguments, to examine records and documents relevant to the issue(s), and to be represented. The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor C. State Review Panel The State Review Panel will consist of a panel of three representatives from the Employment Development Department: one from the Legal Offices, one from the WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. Decisions issued by this panel, under the authority of the Governor, are final. 14 D. Issuance of State Review Decision. ~/. The State review will be limited to violations of the WIA, implementing WIA regulations or the grant agreement. This review shall be limited to the record established at the LWIA hearing. Procedures for Handling Discrimination Complaints by Participants. A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. 1. It is the responsibility of the Santa Ana LWIA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWIA's procedure under Section II (A). 15 PROCEDURES FOR HANDLING NON-CRIMINAL COMPLAINTS No later than 180 days of alleged discrimination Within 10 days of receipt of unsatisfactory decision or 10 days from date LWIA decision should have been issued. Handling of complaints filed at LWIA level arising in connection with WIA programs operated by LWIAs Unsatisfactory Decision or LWIA Decision not issued within 60 days Request for State Review Governor's Decision issued by State Review Panel If no decision issued by State Review Panel 0 Appeal to DOL w 0 0 a w 0 O Q c c c 16 Informal Resolution Process 2. In cases where areas of authority overlap, it is the responsibility of the EEO Officer to advise the complainant of the existence of State, Federal and other proper action agencies, which may also have a bearing. 3. Complainants alleging discrimination under this part will be made aware of their right to file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and applicable procedures. 4. Complainants must file their complaint directly with: Anita Queen Sr. Personnel Analyst -EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714) 647-5157 VI. Procedures for Handling Handicap Complaints by Participants Complaints alleging discrimination on the basis of handicap will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32. 1. Complaints must exhaust the Santa Ana LWIA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his/her complaint. A. Procedures at the LWIA Level The complainant shall file his/her complaint directly with the Santa Ana LWIA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWIA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. B. Procedures at the State Level 1. The complainant may appeal to the State if he/she is not satisfied with the decision of the Santa Ana LWIA. 17 2. The Complainant must file his/her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWIA's decision. 3. The Chief-WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his/her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. ss PROCEDURES FOR HANDLING HANDICAP COMPLAINTS No later than 180 days of alleged discrimination If no resolution reached 0 Day 1 Day/45 Day Filed within 30 days of LW IA/State Decision or 90 days from date of initial filing of complaints Unsatisfactory Decision or No Decision Appeal to Assistant Secretary Department of Labor 60 Days 19 GLOSSARY OF WIA 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 WIA 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 . HANDICAPPED INDIVIDUAL -Any individual who has a physical or mental disability that constitutes or results in a substantial handicap to employment. INTAKE -Includes screening to determine eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT - A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC zo unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in employment and other practices and pattern or practice "joint complaints" are normally investigated by OCR. JURISDICTION -Authority to investigate and resolve complaints against an institution subject to a law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc. PARTICIPANT -Any applicant who has: (1) Been determined eligible for participation upon intake; and (2) Who is receiving subsidized employment, training or services (except post-termination services) funded under the Act, following intake, except for an individual who receives only outreach and/or intake and assessment services. 21 Exhibit D 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: 11 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 an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contracts, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan or cooperative agreement. 2} If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection u\~ith this Federal contract, grant, loan or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions, 3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more that $100,000 for each such failure. Grantee/Contractor Organization Program Title ~-. Name of Certifyin~Official Silgneture E;chibit D Certification Reeardine Debarment. Suspension. Inelieibility 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 athree-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 athree-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. ~r~.v-c~, ~~n~ Chi Id min's `Thr/rc~ut~~ ~ C~~~ `t-t'Jr- ~GCe,~r~~~ Grantee/Contractor Organization Dr. ~ ~~irrl~er1~~~}-k6~VV1r ExeCuftyr? ~ree-tta~' Name and Title of Official Authorized to Certify On Behalf of the Grantee 2-2~-b~l Date 31 Exhibit E Certification Regarding Drug-Free Workplace Requirements A. The grantee certifies that it will or will continue to provide adrug-free workplace by: a. Publishing a statement notifying employees that the unlawful manufactures, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken,against employees for violation of such prohibition; b. Establishing an on-going drug-free awareness program to inform employees about: 1. The dangers of drug abuse in the workplace; 2. The grantee's policy of maintaining a drug-free workplace; 3. Any available drug counseling, rehabilitation, and employee assistance programs; and 4. The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; c. Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required in paragraph (a); d. Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee will: 1. Abide by the terms of the statement; and 2. Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such violation; e. Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph (d)(2} from an employee or otherwise receiving actual notice of such conviction; f. Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted: 1. Taking appropriate personnel action against such an employee, up to and including termination; or 2. Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; B. The grantee shall insert in the space provided below, or include as a separate attachment, a listing of the site(s) for the performance of work done in connection with the specific grant: Place of Performance (Street address, city, county, State, zip code) Name of Organization G1Z. I-~~ ~-It+~t~t•lE~-~ ~..~bA.1 ~ Nam nd Title of Authorized Representative •~ ~ ~. -~ ~` ~) i ~' ~ Oq Date Exhibit F BUDGET FORM WIA 2009-2010 Administrative Program Total WIA Match/In No more than 10% Kind allowed. Personnel Salaries* Ex Director 1. Case Mgr. 100FTE 10 months 32,400.00 32,400.00 $5,000. $18. per hr 40 hrs per wk Prog Director 2. Arts Instructor/s PT 8months $20. per hr15 hrs per wk 13,600.00 13,600.00 $7,700. 3. Literacy-Math Coach 8months Acct. Clerk $2 000 $15. per hr 15 hrs per wk 10,800.00 10,800.00 , . 4. Math Coach 8months $20. Per hr 20 hrs per wk 13,600.00 13,600.00 5. Career Counselor $20. Per hr 20 hrs per wk 13,600.00 13,600.00 Benefits* 1. Case Mgr. 15% 4,860.00 4,860.00 2. Arts Inst. 12.5% 1,710.00 1 710 00 3. Literacy/Math C ach 12% , . o 1,310.00 4. Math Coach 12.5 /o 1,310.00 5. Career Counselor 12.5% 1,710.00 1,710.00 1,710.00 1,710.00 Total Personnel 95,300.00 95,300.00 14,700.00 O eratin Ex ense§ Rent or user fee* NA 3,960.00 3,960.00 27,722.00 Utilities NA 2,640.00 Phones & Internet NA 1,100.00 Internet fees NA See hone Parking fees NA NA Securi NA NA Maintenance NA Insurance NA NA E i * 800.00 qu pment rental fees NA NA NA 310.00 Vehicle lease* NA NA NA NA Off ice expenses consume NA 300.00 300.00 1 200 00 Ac ti S i , . coun n erv ces 545.00 NA 545.00 2 000.00 Le al services NA , Auditing services NA NA Indirect costs* NA 300.00 NA Staff tr i i a n ng NA Staff traveUmilea e NA 282.00 282.00 NA NA Participant Wages* 41,760.00 41,760.00 NA (See Budget Narrative) Su t i * ppor serv ces Bus Passes Fingerprinting/TB Test 4,000 4,000 Work Related-Supplies books ortfolios/other Partici t I i * an ncent ves NA NA NA NA Other (list)* NA NA NA NA Total O ti E era n x enses 545.00 50,302.00 50 847 00 36 072 00 GRAND TOTAL , . , . 545.00 145,602.00 146,147.00 50 772 00 (Total Personnel + Total , . WIA 2009-2010 Grant OCCTAC--Budget Narrative Personnel $95 300. Benefits and *Appropriate deductions will be covered, including: 1. FICA taxes 2. Social Security 3. Medicare 4. Ca Income Taxes 5. CA State Disability 6. Workers Comp Case Manager--100% FTE for 10 months: $37,260. 40-hours a week @ $18.00 per hr. The Case Manager will work 40 hours a week for 10 months providing: recruitment & intake, assessment, documentation & case notes; identify barriers and goals; monitor progress & goals; meet regularly with individual WIA participants to train on employment and job skills; represent OCCTAC in provider network and youth council meetings; organize and attend OCCTAC-WIA Staff Meetings and document input; organize related activities. Arts/Technology Instructor PTE for 8 months: $15,310. 20-hours a week @ $20.00 per hour The respective position will be responsible for providing educational and career training to all 15 participants as it relates to the arts and technology emphasis; mentoring and assisting participants with related work experience placement; observing and monitoring participants with technical/artistic skills; documenting progress throughout the program; meeting regularly & individually with WIA participants to train on related curriculum; and attending regular team meetings. Literacy/Instructor PTE for 8 months: $12,110. 20-hours a week for 8 months @ $15.00 per hour Positions is responsible for assessing the literacy and basic skills of all 15 participants; teaching WIA participant's learning and literacy strategies; monitor & document literacy progress throughout the program; meeting regularly with WIA participants and attend regular team meetings. Revision WIB 2009-2010 Budget Narrative.doc on May 14, 2009 WIA 2009-2010 Grant OCCTAC--Budget Narrative Math Coach/Instructor PTE for 8 months: $1 S 310. 20-hours a week @ $20.00 per hour The respective position will be responsible for assessing the numeric and basic skills of all 15 participants; teaching WIA participant's learning and mathematical solving strategies; monitor & document providing educational and career training to all 1 S participants as it assisting participants with related work experience placement; observing and monitoring participants with technical skills; documenting progress throughout the program; meeting regularly & individually with WIA participants to train on related curriculum; and attending regular team meetings. Career Counselor PTE for 8 months: $15,310. 20-hours a week @ $20.00 per hour The respective position will be responsible for providing educational and career training to all 15 participants. The Career Counselor will assist WIA participants with Life Skills Training; mentoring and assisting participants with related work experience placement; observing and monitoring participants with technical/artistic skills; documenting progress throughout the program; meeting regularly & individually with WIA participants to train on related curriculum and attending regular team meetings. Participants Wages $41, 760. Training Stipend: (Out-of-school youth) I S participants Phase 1: participants will receive a $150.00 stipend for each 20 hours of participation in the program.-Participant will be encouraged to participate, a minimum of 5 hours per week. Phase-2: participants paid $8.00 per hr for participation in the WIA work experience and related services (maximum of l Ohrs a wk). (Appropriate FICA taxes8t Workers Comp will be i~acluded in the hourly rate listed--IS%). Supportive Services $ 4, 000. Supportive services are available to those participants who are identified as: approved WIA participant; has no other way to meet needs; and has expressed the need to the case manager. Supportive services will be made available to participants while they are enrolled in all phases of the WIA program. These services are provided on an as needed basis but not limited to: Transportation Assistance Guidelines: Fingerprinting-Live Scan and TB Test: Revision WIB 2009-2010 Budget Narrative.doc on May 14, 2009 WIA 2009-2010 Grant OCCTAC--Budget Narrative Books and/or Uniforms-Work Related Equipment Portfolios-Resume-Business Cards Related items for Job Search Tools) Other: Any other miscellaneous type expenses not mentioned above may be considered with proper authorization i.e. work related and skill building tools, books, academic supplies, portfolios. The request must be fully documented and all receipts in proper order. Revision WIB 2009-2010 Budget Narrative.doc on May 14, 2009 Exhibit G ~~~.~ 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 Investment Board on all contracts. recognize that I must give assurances for each item below. If I cannot, this proposal will be automatically rejected. Please initial each box. Q I am authorized by my Board of Directors, Trustees, other legally qualified officer or as ~'~k~L~' G~~ U~~ .~~ 0 the owner of this agency or business to submit this proposal. We are not currently on any Federal, State of California, or local Debarment list. We will provide records to show that we are fiscally solvent, if needed. We have, or will have, all of the fiscal control and accounting procedures needed to ensure that WIA funds will be used as required by law and contract. We have:additionalfunding sources and will not be dependent on WIA funds alone. We do or will meet the applicable Federal, State, and local compliance requirements. These include, but are not limited to: ~.~r~` [Records accurately reflect actual performance. ~' ~.,t1° QMaintain record confidentiality, as required. C~ ,~}• ©'Reporting financial, participant, and performance data, as required. ~~'{J ~° [~omply with State and Federal fiscal and program activity audits. ~``~, ~.~ [...Complying with Federal and State non-discrimination provisions. l~ ik []~/leeting requirements of Section 504 of the Rehabilitation Act of 1973. ~`~ ; ',~~.[~Meeting requirements of the American's with Disabilities Act of 1990. (submit attachment F) [~/leeting all applicable labor law, including Child Labor Law standards. ~('~ ~_[]"Agree to provide a drug free workplace. ~,- •, . Q"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. G` f~~°[~Agree to insure proposer's employees through Workers Compensation Insurance fr' (including part-time employees) ~"• ['Procurement policies and procedures are in place and meet federal guidelines. C~ We will not• ©Place a youth in a position that will displace a current employee. G Use WIA mone to assist y ,promote, or deter union organizing. G~.~` [~]'(Jse 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 ~i'7~ to be used for sectarian instruction or religious worship. _~ [~'Clse WIA funds for activities that would interfere with or replace regular academic ~'~ requirements for eligible youth who are not dropouts. ~' []"tJse WIA funds to carry out programs funded under the School-to-Work Opportunities Act C~ ~~ of 1994 unless the program{s) are only for youth eligible to participate under WIA. ~.c\,~~` [ ,~'C1se WIA money under this contract to purchase any equipment. I hereby assure that all of the above are true. ~, /1 ~ s - ~L- cx~ G~ ~ ~ v>= Di I~~Z-oR- ~ - 27~ ~q Name ..,~N .~~ M~t~(t Z Title Date 30 DEC-9.7-2 8 01:38P FROM: QGD, PRODUCER (j Lake In! 13891 Ne~ Lic #074 Tustin, INSURED Ora Art 2Z1 San T0: 17145652602 P.2~3 °TN CERTIFICATE OF LIABILITY INSURANCE liii6izoo8l 4)838-1912 FAX (714)838-7568 THlS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION •ance Agency ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE ort Ave. , 5ui to 285 HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR 73 92780 e County Children's enter Inc N Broadway Ana, Ca 92706 INSURERS AFFORDING COVERAGE NAIC # c INSURERa Philadelphia Insurance Co. INSURER B' INSURER C: INSURER D: INSURER E: THE POLICI 4F INSURANCE LISTED BELOW HAVG BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED NOTWITHSTANDING ANY REQUI KENT, TERM OR CONDITION OF ANY CONTRACTOR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MA` ~ BE ISSUED OR MAY PERTf THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. f ~REGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. oEr X A GEP ALIT A X X GAr EXC WORKER: EMPLOYE ANY PR01 OFFiCERI A DESCRIP~ION 0 ertitica- buse & Mr his Insul nsured's "10 Day nl I The Emp Att 888 $U'1 San TYPE OF INSURANCE POLICY NUMBER POLICY EFFECTIVE POLICY EXPIRATION LIMr'S aLLIABILITY PHPK37OS76 12/21/2008 12/21/2009 EP.CH000UARENCE $ 1,000,000 ~MMERCIAL GENEAAL LIABILITY DAMAGE TO RENTED% $ ZOO, OO ,CLAIMS MADE ~ OCCUR MED EXP (Arty one person) S 5 000 PERSONAL 8 AOV INJURY S 1, OOQ OOO GENGRALAGGREGATE S 2~000,OQO ,GGGEGATE LIMIT APPLIES PER: PRODUCTS - COMplOP AGG S x , 000 000 ~L1CY jfiCT LOC OBILE LIABILITY PHPK370576 12/x1/2008 1Z/21/zOO9 COMBINED SINGLE LIMIT Y AUTO (Ee exident) $ 1, OOO OOO L 0 WNED AUTOS BODILY INJURY $ HEDULEO AUT09 (Perperson) tE0AUT03 BODILY INJURY $ IN-OWNED AUTOS (Per eccfdern) RM ~+ Tp FA PROPERTY DAMAGE 'D AS (per eccfdent) $ ELIABIUtY AUTO ONLY-EAACCIDENT $ !Y AUTO > R pTHER THAN EA ACC $ - /~' ~'~ 'E ST O AUTO ONLY; ~ , e AGO $ ilUMBRBLLA LIABILITY I pant ( EACH OCCURRENCE $ ;CUR ~ CLAIMS MADE BS (/L- AGGREGATE 5 DUCTIBLE S TENTION $ $ IMPENSATION AND C STATU- OTH LIABILITY TO R/PA RTNERIEXECUTIVE E.L EACH ACCIDENT $ 46ER EXCLUDED9 E.L. DISEASE • EA EMPLOYEI: $ under VISIONS below E.L. DISEASE • POLICY LIMIT $ oral Liability PHPK370576 12/21/x008 12/21/2009 Incident Limit: $1,000,000. Aggregate Limii: $2,000,000. 'ERATIONS f LOCATEOr(S 1 VEFf ICLES! EXCLUSIONS ADpED BY ENDORSEMENT! SPECIAL ROVIS holder is AdditTOnal Insured as ner farm CG205 11/8 IONS 5) astation is included with General Liability, $25,000 Eash Incident and X50,000 Aggregate Tce Shall be Primary and Non-Contributory but Only in the Event of the Named ale Negligence ice for non-payment of premium 8HOULD ANY OF THE AEOVL' DCSGRIBED POUCIE9 BE GANCELL ED BEFORE TH6 ity of Santa Ana, Its Officers, Agents, ExpIRATTONDATETHEREOF,THEISSUINGINSURERWILLENDFJ.VORTOMAIL yees & Vol unteers 3O~ PAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER!' AMED TO THE LEFT, Frances Cadenas/Donna Schultz Santa Ana Blvd . BUT FAILURE TO MAIL SUCH NOTICE SHALL IMPOSE NO OBLIGA"ION OR LIABILITY ZOO OF ANY KING UPON THE INSURER, ITS AGENTS OR REPRESENTP INFS. Ana, CA 92702 AUTHORIZED REPRE9ENTA7`IVB AcORD as ( o~rosj { P+ OACORD (:ORPORATION 9988 DEC-17-2 8 01:39P FROM: T0: 17145652602 P.3~3 f LILY NUMBER: PHPK369873 COMMERCIAL GENERAL LIABILITY THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED -CONTROLLING INTEREST' s endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART. I me of Person or Organization: :y OF Santa Ana SCHEDULE i no entry appears above, information required to complete this endorsement will be shown in the Declarations applicable to #his endorsement.) WNO IS AN INSURED (Section II) is amended to a. Their financial control of yau; or include as an insured the person(s) or organize- b, Premises they own, maintain or control while tion(s) shown fn the Schedule, but only with re- you lease or occupy these premises. sped to their liability arising out of: 2. This insurance does not apply to structural altera- tions, new construction and demolition o aerations pertormed by or for that person or organi~.ation. APPRO'V'ED A.S TO FORM LISA E. STORCK Assistant City Attorney ~/ L. 3 20 05 71 85 Copyright, Insurance Services Oft7ce, Inc., 1984 Page 1 0~' 1 ^ CERTHOLDER COPY STi4TE P.O. BOX 420807, SAN FRANCISCO,cA 94142-0807 COMPENSATION I N S U R A N C E CERT[FICATE OF WORKERS' COMPENSATION INSURANCE ISSUE DATE: 04-14-2009 GROUP: 000567 POLICY NUMBER: 0000772-2008 CERTIFICATE ID: 17 CERTIFICATE EXPIRES: 04-14-2010 04-14-2009/04-14-2010 CITY OF SANTA ANA SP COMMUNITY DEVELOPMENT AGENCY PO BOX 1988 SANTA ANA CA 92702-1988 This is to certify that we have issued a valid Workers' Compensation insurance policy in a form approved by the California Insurance Commissioner to the employer named below for the policy period indicated. This policy is not subject to cancellation by the Fund except upon 30 days advance written notice to the employer. We will also give you 30 days advance notice should this policy be cancelled prior to its normal expiration. This certificate of insurance is not an insurance policy and does not amend, extend or alter the coverage afforded by the policy listed herein. Notwithstanding any requirement, term or condition of any contract or other document with respect to which this certificate of insurance may be issued or to which it may pertain, the insurance afforded by the policy described herein is subject to all the terms, exclusions, and conditions, of such policy. _~ THORIZED REPRESENTATI PRESIDENT EMPLOYER'S LIABILITY LIMIT INCLUDING DEFENSE C05TS: $1,000,000 PER OCCURRENCE. ENDORSEMENT ;~f2065 ENTITLED CERTIFICATE HOLDERS' NOTICE EFFECTIVE 04-14-2008 IS ATTACHED TO AND FORMS A PART OF THIS POLICY. ® APPROV ~.~ ~,, ,. ~~ i- ~ .. . Laura Stit~ il•'--~ Y Assistant City Attorney EMPLOYER ORANGE COUNTY CHILDREN'S THERAPEUTC ARTS 2215 N BROADWAY SANTA ANA CA 92706 SP [GJS,CN] SP Fv.~-nsi PRINTED 04-01-2009