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HomeMy WebLinkAboutSANTA ANA WORK CENTER STEM YOUTH PROGRAM 2 - 2017 City of Santa Ana 4 le 0, 1 Clerk of the Council (wilt AGREEMENT TERMINATION FORM COTC Office Use Only Please complete this form when the attached agreement and all amendments (if any) are no longer in effect. Return form to the Clerk of the Council Office (M-30). Call 647-6520 if you have any questions. The agreement with 1C --) NOLI No. Pr aqivas completed on SO 113 and final payment has been made. (List all amendments. Use space below if needed.) CA10(..• Department: CANk Phone/Ext.: Signature: Date: Revised 08-23-10 'CE NOT CANF ILE VVGRK PROCEEED CLERK -- FC DATE: JUL w ? cu ;LnAtr ,?JU 312012 0 Contract No. MEMORANDUM OF UNDERSTANDING UNDER THE WORKFORCE INVESTMENT ACT (City of Santa Ana/Santa Ana WORK Center) A-2012-129 THIS MEMORANDUM OF UNDERSTANDING, made and entered into this 1St day of July, 2011;-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 the Santa Ana WORK Center/City of Santa Ana ("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: 1. CONTRACTOR'S OBLIGATIONS A. CONTRACTOR agrees to provide the following services pursuant to said Page 1 of 15 program, as more specifically set forth in CONTRACTOR'S Program Narrative contained in "Exhibit A" and in the Performance Standards "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; 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. 1. CONTRACTOR agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of CONTRACTOR'S services or activities, costs or other data, Page 2 of 15 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 20 days of application date; a complete Workforce Investment Act Enrollment/Registration form (WIA EWIE) within 20 days of determination (reviewer) date; any subsequent updates to EWIE within 15 days of the begin date of activity or end date of an activity; Workforce Investment Act Youth Test Scores form (WIA EYTS) within 20 days of application date; Workforce Investment Act Exit form (WIA EWIT) within 20 days of completion/termination of active enrollment of trainee; and the Workforce Investment Act Follow-Up Contact Information form (WIA EWIF) within 20 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. 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 Page 3 of 15 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. 0. 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 modification of any federal contract, grant, loan or cooperative agreement. CONTRACTOR shall sign a Certification Regarding Lobbying to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference incorporated herein. CONTRACTOR shall submit said signed Certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to CONTRACTOR under the terms and conditions of this Agreement. Q. CONTRACTOR agrees to provide a drug-free work place and to execute a Drug Free Workplace Certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference. Page 4 of 15 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 that it is in compliance with the Certification Regarding Debarment ("Exhibit F") as 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). U. 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 $160,000.00 for CONTRACTOR'S performance in accordance with the Budget attached hereto as "Exhibit G" during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by CONTRACTOR as provided hereinabove. B. CONTRACTOR has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total Budget amount does not increase. C. 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. D. CITY has the right to de-obligate the funds hereunder and take such funding back from CONTRACTOR due to any of the following reasons: (a) lack of performance by CONTRACTOR; (b) lack of fiscal accountability of CONTRACTOR; or (c) decrease in available funding. III. TIME PERIOD OF AGREEMENT This Agreement shall commence on July 1, 2012, and all duties arising under this Agreement shall have been performed by June 30, 2013. The term of this Agreement may be extended Page 5 of 15 by a writing executed by the Executive Director for the Community Development Agency and the City Attorney. IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 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 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. Page 6 of 15 2. CONTRACTOR shall comply with Title VII of the Civil Rights Act of 1964 (P.L. 83-354) and in accordance with Title VII of the Act, no person shall, on the grounds of race, color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agreement. 3. CONTRACTOR shall comply with any and all federal laws limiting the political activity of employees hired under this Agreement. 4. CONTRACTOR shall comply with the requirements that no program under the Act shall involve political activities. 5. RECORD INSPECTION. CONTRACTOR shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three-year period from and after the effective date of this Agreement. 6. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any application for participation in 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 execute the Assurances and Certifications attached hereto as "Exhibit H" 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 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, Page 7 of 15 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 a royalty-free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub-grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a CONTRACTOR purchases ownership with grant support; and (c) CONTRACTOR shall comply with the requirements 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. Page 8 of 15 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 Employees. CONTRACTOR will ensure that any of its employees who were formerly employed by the State of California or CITY, in a position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less than two years following the termination of such employment. 3. Conducting Business Involving Relatives. No relative by blood, adoption or marriage of any executive or employee of CONTRACTOR will receive favorable treatment when considered for enrollment in programs provided by, or employment with, CONTRACTOR. 4. Conducting Business Involving Close personal Friends and Associates. Executives and employees of CONTRACTOR will be particularly aware of the varying degrees of influence that can be exerted by personal friends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for CONTRACTOR to conduct business with a friend or associate of an executive or employee of CONTRACTOR, an elected official in the area or a voting or non-voting member of the Workforce Investment Board (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 Page 9 of 15 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 1. Commercial General Liability. CONTRACTOR and any Subcontractor agree to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial general liability insurance insuring the State of California, CITY, and CONTRACTOR against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence. 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 insured; and state that such coverage is primary to any other coverage or self-insurance of the State of California and CITY (see Exhibit I , Additional Insured Endorsement, attached hereto). Governmental entities may substitute a certificate of self-insurance. Any subcontractor to CONTRACTOR shall comply with these Insurance Provisions and provide the comprehensive commercial general liability insurance coverage as well as the Additional Insured Endorsement naming the CITY as additionally insured. 2. Automobile Liability Coverage. CONTRACTOR and any subcontractors 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 Page 10 of 15 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 and any subcontractor 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 and any subcontractor 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. Equipment Coverage. CONTRACTOR and any subcontractor shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by CONTRACTOR or such subcontractor 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. 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 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. Page 11 of 15 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 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 A. This Agreement may be terminated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. However, CONTRACTOR may not terminate this Agreement if undue hardship will result to any participant. Page 12 of 15 B. In the event CONTRACTOR defaults by failing to fulfill all or any of its obligations hereunder, CITY may declare a default and termination of this Agreement by written notice to CONTRACTOR, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. XVI. DISPUTES Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to CONTRACTOR. The decision of the City shall be final and conclusive unless within thirty (30) calendar days 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: City of Santa Ana/Santa Ana WORK Center 1000 E. Santa Ana Blvd. Suite 200, Santa Ana, CA 92701 Phone: (714) 565-2631 Fax: (714) 565-2602 Attn: Linda A. Oberman 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 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. Page 14 of 15 IN WITNESS WHEREOF, the parties hereto have executed this Memorandum of Understanding the date and year first above-written. ATTEST: ,--/1 ? t1t ,v- ^ Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Sonia R. Carvalho City Attorney BY: Lisa E. Storck Assistant City Attorney CITY OF SANTA ANA, a municipal corporation of the State of California "CITY" By: Paul Walters City Manager Community Development Agency City of Santa Ana "CONTRACTOR" .1 , Ll -Af BY: _ Linda berman Economic Development Manager Tax ID #: 95-6000785 Page 15 of 15 Attachment A (Cover Page) PROPOSER APPLICATION Agency Legal Name City of Santa Ana Agency DBA Santa Ana WORK Center Program Name STEM Career Program Agency Address 1000 E. Santa Ana Boulevard, Suite 200 Santa Ana, CA 92701 Contact Person & Title Carlos De la Riva- Economic Development Specialist III Email CDelariva@santa-ana.org Telephone # (714) 565-2629 Fax # (714) 565-2602 Federal ID Number 95-6000785 AGENCYSTATUS Public Non-Profit Corporation Private Non-Profit Private for Profit Government X Other Years in Operation? 30 PRIMARY FUNDING SOURCES Funding Source WIA-Youth WIA-Adult Amount 11.4 million I $651,978 HOURS OF OPERATION AND DAYS Days Monday Tuesday Wednesday Thursday Friday Saturday Sunday Hours 7:00am- 5:30pm 7:00am- 5:30pm 7:00am- 5:30pm 7:00am- 5:30pm 8:00am- 4:00pm Closed Closed MY ORGANIZATION WILL OFFER THE FOLLOWING WIA ELEMENTS FOR YOUTH! Tutoring, study skills, training, and instruction, leading to completion of secondary school, including dropout prevention strategies Alternative secondary school services, as appropriate Summer employment opportunities that are directly linked to academic and occupational learning Paid and unpaid work experience, including internships and job shadowing X Occupational skill training, as appropriate, or paid OJT X Leadership development opportunities, which may include community service and peer centered activities encouraging responsibilities and other positive social behaviors during non-school hours x Supportive Services x Adult Mentoring for the period of participation and a subsequent period, not less than 12 months x Follow-up services for minimum of 12 months after the completion of participation x Comprehensive guidance and counseling, may include drug/alcohol abuse counseling X TARGET POPULATION Older Youth ? Younger Youth ? Out-of-School ? In-School ? # of Youth to be Served in 2012/2013 20 Total WIA Funds Requested $160,000 In compliance with the RFP noted above, and subject to the conditions thereof, the undersigned offers to furnish the services stipulated and certifies he has read, understands, and agrees to all terms, conditions, and requirements of this RFP and is authorized to contract on behalf of the agency named above. Economic Signature '`{t . ?' # ? Title Development Manager Date Exhibit A PROPOSAL NARRATIVE A. EXECUTIVE SUMMARY The Santa Ana WORK Center (SAWC) in partnership with Rancho Santiago Community College District (RSCCD) are seeking $200,812 to provide training for 20 youth 17-21 year, old irk, areas of customer service and STEM (Science, Technology, Engineering, Math) careers. The SAWC, as a comprehensive One-Stop Center, has over 30 years experience in administering various Federal and State funded youth and adult programs. We are a state recognized, award-winning entity with a proven record in leadership, workforce innovation, service integration and, quality services. As a One- Stop Center, we are versatile in our service delivery and are capable of addressing the needs of diverse populations resulting in the awarding of multiple funding streams. We have the ability to effectively leverage resources across an extensive network of partner agencies and community organizations and have demonstrated fiscal stability and program sustainability over the past 30 years. The SAWC has an exceptional track record in successfully implementing the following programs: WIA Adult, Dislocated Worker, Youth Formula Grants, Rapid Response, National Emergency Grants, Governor's Discretionary Grants, Department of Labor Welfare-to-Work Grant, Faith-based Initiative Grants, Housing and Urban Development Grants, Department of Labor - Earmark Grants, the Department of Justice - Weed and Seed Program, and American Recovery and Reinvestment Act (ARRA) programs. Our commitment to the community is to stay abreast of what businesses are looking for, so that we can better prepare our youth and young adults for career and workforce opportunities. The demand for skilled workers in science, technology, engineering, and math (STEM) is closely linked to global competitiveness. In the 21st century, scientific and technological innovations have become increasingly important as we face the benefits and challenges of both globalization and a knowledge-based economy. To succeed in this new information-based and highly technological society, young people need to develop their capabilities in STEM. The Department of Labor's 10-year employment projections by shows that of the 20 fastest growing occupations projected for 2014, 15 of them are STEM related. Some of the obvious STEM industries are in advanced manufacturing, biotechnology, chemical engineering, energy, actuarial science and health care all of which rely on high-level skills and education in the STEM fields in their workforce. Other industries may seem less obvious for their reliance on STEM knowledge and skills, such as construction, retail, transportation, and hospitality. But changing technology and expectations of the workforce in these industries make STEM career knowledge important even in these industries. This program will focus on educating youth on STEM careers including providing support to achieve program outcomes. The program will serve 15 in-school and 5 out-of school youth between the ages of 17-21 years old interested in pursuing a STEM career. This program will provide four through ten of the 10 WIA elements. A central strategy will be to provide paid work experience to program participants in order to expose them to careers with STEM employers. Occupational skills training in Customer Service will be provided through Rancho Santiago Community College Corporate Training Institute where they will receive certification in 10 components attached to their Customer Service Academy. Youth will also receive "The National Professional Certification in Customer Service" (NPCCS) from the National Retail Federation Foundation, a research and education arm of the National Retail Federation (NRF), the world's largest retail trade association. In addition, youth will receive work readiness skills that include workshops on labor laws, labor market information, resume writing, interviewing skills, and financial literacy. Staff will provide leadership development opportunities through peer centered activities encouraging responsibility in teams or individually to present and educate their peers on what they have learned about STEM careers, work experience and more specifically their chosen STEM occupation. During the course of the program, youth will receive guidance, support and mentoring from SAWC staff, Exhibit A RSCCD instructors, and their work experience supervisor. For those youth in need of more comprehensive guidance and counseling beyond the scope of the program, referrals will be provided to connect them with the help they need. While enrolled in the program, youth will receive supportive services as- needed and once they have completed the. program, staff provide follow-up for 12 months as appropriate to provide retention, supportive services-.as well as resources to ensure successful outcomes. The planned outcomes for the Program include 100% Customer Service certificate attainment for all participants. Rancho Santiago Community College District's Customer Service certificate provides instruction in the following areas: attitude in the workplace, communication with people, conflict management, decision snaking & problem solving, managing change, stress management, team building, time management, and values & ethics. Of those youth that are basic skills deficient, 40% will increase their basic skills deficiency through tutoring referrals, financial literacy activities and writing & reading exercises. These additional areas of instruction are embedded into the program. Placement in education and/or employment will be accomplished upon program completion as youth enroll into an education program pursuing a STEM career and/or employed in a STEM occupation. B. PROGRAM DESCRIPTION The STEM Career Program developed by the Santa Ana WORK Center in partnership with the Rancho Santiago Community College District plans to enroll 20 low-income youth between the ages of 17 and 21 years of age. Of the 20 WIA eligible youth, 15 will be in-school youth 17-21 years old, and five will be out-of-school youth also between the ages of 17-21. Over the course of 12 months, the SAWC's goal is to meet with participants at minimum on a monthly basis and if needed weekly to allow the youth to receive the full benefits of the program. The SAWC has always made it a priority to market and bring awareness of our services on a regular basis. Our agency is invited and attends community events at the local high schools, family resource centers, non-profit agencies, Social Service Family & Children's agency, special events for youth with disabilities, and our partnering agencies like Employment Development Department (EDD), Santa Ana College and Social Services. These events and our average monthly traffic of 3,639 at the SAWC put us in contact with many young adults and youth that we can outreach to and provide services. More specifically, our monthly traffic count during the summer, when we have to start recruiting, increases to almost 4,000 compared to 3,000 in the winter. This makes it ideal for us to meet if not exceed our enrollment goal of 75% by the second quarter of the program year. The following provides an outline for the program: Work Readiness Skills (SAWC): The lack of "soft skills" of potential candidates is a major concern of our local business community. That is why our workforce specialists have developed and refined a job readiness classes that will be used to teach program participants the tools to find a job, keep a job, and protect theirs while employed. The skills are taught through workshops on various subject matter including but not limited to Youth labor laws, labor market information, resume writing, interviewing skills, and financial literacy. The SAWC has 30 years of experience providing work readiness skills to adults and youth. Our goal is to fully prepare clients with the most current resources needed to find the best job to help become and stay self-sufficient. Participants will learn to apply the knowledge obtained into the various careers associated with STEM. Work Experience (SAWC): WEX is the planned, structured learning experience that takes place in a workplace for a limited period of time. It is designed to impart specific skill and behavioral competencies. Paid WEX activity should be a maximum of 12 weeks in length. Youth will be placed with a STEM employer that will provide experience and awareness in STEM careers. Depending on educational responsibilities, participant will be allowed to work up to 20 hours a week at $8.50 an hour. For those youth that are in school, flexibility will be allowed in order for them to focus on school first and workforce second. WEX component will begin immediately following the completion of the Customer 2 Exhibit A Service certification. Staff will work with each youth, taking into account each skill sets and interest in order to find an appropriate match with a STEM employer. Youth will be exposed to what it's like to work in a STEM career and/or job shadow someone in the STEM field. They will learn what educational background is required, through one-on-one sessions with their Case Manager and WEX employer. Furthennore, youth will be asked to journal their WEX experience and how they put to use or benefited from their 10 comprehensive components they received from RSCCD Customer Service Academy. Occupational Training: All participants will complete the RSCCD Customer Service Academy that consists of 10 comprehensive components that will complement any STEM career. Through its Corporate Training Institute, RSCCD will provide training in 10 specialized Customer Service categories focused on interpersonal and social skills and lead to a Certificate from Rancho Santiago Community College District. This Customer Service Academy program consists of 10 eight-hour courses that will be presented in half-day segments (4 hours each class) for a total of 80 hours throughout the summer months. Students will receive certificates and training in the following specialized subjects that will enhance their personal, academic and professional lives: Customer Service, Communications, Team Building, Attitude, Values & Ethics, Time Management, Stress Management, Conflict Management, Decision Making & Problem Solving, and Managing Organizational Change. Following is a description of each course. 1. Customer Service - Students will explore key skills and attitudes necessary to effectively meet both internal and external customer needs ...this includes employers/colleagues and business clients respectively. Participants will be introduced to concepts and appropriate techniques for dealing with the different audiences, enhancing customer satisfaction and insuring positive communication. 2. Communication in the Workplace - Being key to customer service success, communication is critical in understanding what the customer's want, when they want it, why they want it and what their expectations are. The best approach in trying to figure all this out is by means of being good listeners and communicators. This course will cover verbal and non-verbal communications as well as superior listening skills with the opportunity to practice techniques. 3. Team Building - Excellence in customer service to our external clients is often tied to how our internal customers get along and can work together. Working as a team can increase productivity, enhance project management, reduce business conflicts and create superior customer service. Students will learn the "styles" of classmates so they can work together better on projects and customer satisfaction. 4. Attitude in the Workplace - Having the right attitude has a positive impact on the workplace and our interactions with customers. Topics in this course will explore how attitudes at work positively and negatively affect customer service, the organization's image, productivity, and employee retention. The best selling training video "FISH" will be featured. 5. Values and Ethics - Ethical behavior affects what happens in the workplace. This course provides the opportunity to evaluate ethical behavior and what's appropriate and what's not. A three-step checklist is introduced to help participants in recognizing ethical behavior. 6. Time Management - Whether it's in the workplace, home or school, all areas of our life benefit from efficiency and productivity. The way we manage our time has an impact on our ability to get things done. Students will explore time management techniques that will help you stay in balance and be more effective in the workplace. 7. Stress Management - Nearly 1 million Americans call in sick every day because of stress related reasons, costing organizations money, especially in lowered productivity. This course defines what Exhibit A stress is and how it affects both employees and the overall workplace. Causes of stress are identified and dozens of stress management tips and techniques are delivered and practiced. 8. Conflict Resolution - Conflict gets in the way of good business and meaningful relationships. Participants will explore the causes and impact conflict can have on customer service and workplace affairs. This course will cover proven strategies and techniques for resolving tough issues and how to turn a difficult customer, or colleague, into a loyal one. 9. Decision Making and Problem Solving - Many of us face a constant barrage of workplace decisions and problems to be solved. Regardless of job responsibilities, students will learn that they are responsible for smart choices. Instruction will focus on decision-snaking styles, processes and techniques, and when they each should be applied. Students will learn how to be creative problem solvers. 10. Managing Organizational Change - It's easy to become comfortable in a workplace environment and not expect change, but when change happens, we have natural tendencies to resist. This course reviews the negative effects of resisting change, skills needed to manage new responsibilities, and how to focus on the positive side of change. The Customer Service Academy is an interactive program that will utilize videos, books, personality assessments, presentation tools, and incorporate games to enhance the students' interpersonal skills and encourage participation in all 10 courses. In addition to their RSCCD certification, youth will also receive "The National Professional Certification in Customer Service" (NPCCS) from the National Retail Federation Foundation. Youth that attain the NPCCS will signify that they have demonstrated knowledge and skills noted as important to successful employment in best-practice, high-performance companies in the sales and service industries. A youth who earns this certification will have national, transferable certification of skills and knowledge in customer service. Leadership Development (SAWC): Staff will provide youth leadership development opportunities through peer centered activities encouraging responsibility in teams or individually to present and educate their peers on what they have learned about STEM careers and more specifically their chosen STEM occupation and work experience. The intended goal is for program participants to develop a presentation regarding what they have learned as well as providing theirs with an opportunity to practice their reading, writing and presentation skills. Post-Secondary Education Awareness (SAWC): Program module will include workshops teaching options about post-secondary education including traditional colleges and universities but also like apprenticeships, trade schools, and certified vocational education programs. The module will include lessons on researching different college and educational programs. All forms of financial aid will be covered during the workshops and how to apply for each. Mentorin,2 (SAWC): As part of the program, youth will have mentors that will provide guidance and support throughout the program and during 12 months after they have completed the program. They will each have our Youth Case Manager that will guide theirs through the program and provide them support. Youth will be able to meet with their case manager on a monthly basis at minimum or as often as needed during the program to go over any issues they may be having or discuss their progress in the program. Their Case Manager will oversee every aspect of their participation in the program and make sure they have someone to answer their questions and look to if they encounter any issues. Each youth will also Exhibit A 4 receive mentoring from their WEX supervisor during their 16 weeks of work experience. This mentor will provide them with support during their WEX and serve as role models for their STEM careers. Supportive Services (SAWC): Participants will be provided with transportation bus passes or gas cards as needed. Transportation support services will be delivered up to 6 months to facilitate program participation. Additionally resources to assist in the placement in job sites will be provided, including but not limited to interviewing clothes. Also available to youth, will be a licensed therapist that will provide them with counseling as needed for any challenges they are encountering. Employment Services (SAWC): The SAWC has a comprehensive employment services team available through its integrated service delivery system which includes various partner agencies such as Employment Development Department. During 2011, the employment services team was responsible for listing over 10,000 job openings. Additionally, targeted group recruitments and job fairs took place onsite. One particular recruitment in early 2011 resulted in over 30 people being hired on the spot. Youth program participants will benefit from one on one job search assistance. Staff will be assisted by the latest cutting edge technology for placement services. The WORK Center subscribes to software like Bullhorn. It is a robust job snatching system that links jobs to participants using their interest and skills. The system also allows staff to search for jobs beyond what exists in the database. "Spidering" technology reaches out across the internet to pull jobs to match a participant skill. Bullhorn can be tailored to assists in placing participants with local companies easily accessible by local transportation, a very important service for youth that don't yet have a car because of their economic challenges. Furthermore, the SAWC works very closely with the Enterprise Zone Program. The Enterprise Zone program is designed to promote business growth and job generation by offering state tax credits to businesses that hire our youth. Follow-up Services (SAWC): A total of 12 months of follow-up services will be provided to each youth enrolled in the Program. Staff will maintain monthly contact with clients after they have been exited in order to provide additional education and employment retention services. Such services include coaching and imentoring to ensure their continued success and self-sufficiency. Our expertise in running WIA programs has provided us with insight and knowledge on how to best accomplish the outcomes and perfonnance needed to best serve program participants. Our program is organized so that all outcomes and WIA perfonnance measures are accomplished prior to completion of the program. The intent is to achieve all desired goals while we have momentum with the youth. This allows us to solely focus on retention of their outcomes and more easily address any issues and concerns the youth may encounter once they have left our program. The SAWC has developed a great collaborative relationship over the years with all currently Santa Ana WIB funded agencies. Our services and expertise has been available to them not only as the Navigator but as the SAWC. Our services are offered to their participants that could not be served by their agency. The SAWC and its partner agencies such as EDD have provided complementary and value added services to any youth referred to us for staff assisted or self directed services. Our workforce expertise, programs and services have been of great interest to the youth community and agencies serving youth. We have been asked to present workshops, participate in their youth events as a resource, and provided best practices on our work experience programs. Additionally, some WIA youth funded agencies have taken up our offer to co-enroll their youth with our young adult services training programs, to offer their WIA youth added services to becoming successful young adults in the workforce. Our main services will take place at the SAWC located in the Santa Ana Train Depot and at Santa Ana College easily accessible via public transportation. A majority of the WEX employers will be located in Santa Ana where youth can access them via local transportation. Transportation assistance will be made available through monthly bus passes and gas cards to youth, if needed. Exhibit A 5 C. PRIORITY OF SERVICES The SAWC has developed great relationships with agencies that provide targeted services to Foster and/or emancipated youth, youth with disabilities and youth on probation. Social Services Children & Family Services invites us to their annual foster parent and Staff resource event where we market our services and programs. Additionally, we attend their monthly Foster Youth Outcomes meeting that provides us the opportunity to network with other agencies that also specialize in servicing foster and/or emancipated youth. Orangewood Children's Foundation has also continues to work with us on referring any of their emancipated youth that can benefit from our programs and services. Youth with disabilities continues to be a population we outreach and market our services to. Every year we are asked by the Santa Ana Unified School District's Transition Partnership Program to help in the annual planning of the Senior Transition Day that targets seniors with a disability transitioning out of high school. Staff also works individually with school staff that works specifically with youth with disabilities to provide theirs with tours of the SAWC and presentations of our services. As an added resource, we have onsite the Department of Rehabilitation and Goodwill Industries that provides us with insight on serving individuals with disabilities, referrals, and possible worksites. Currently we are operating the California New Start program funded by the Department of Corrections and Rehabilitation which has provided us with networking opportunities with staff that specifically work with individuals on probation or on parole. Moreover, our staff has worked with juvenile detention centers to provide presentation about our programs and services in addition to providing workshops on how to find employment once they are out. We also work with our Santa Ana Police Department to update them on the services we have available to youth and adults and provide them with marketing material to distribute as needed. Due to our many years of experience and expertise in workforce services, we make it a priority to stay informed and research what occupations are increasingly growing and what are the high demand industries. It is clear that most jobs of the future will require a basic understanding of math and science. For example, a 10-year employment projections by the U.S. Department of Labor show that of the 20 fastest growing occupations projected for 2014, 15 of them require significant mathematics or science preparation. That is why it was important for us to focus our program around educating youth on STEM careers and its projection to be the fastest growing occupations to pursue. It is imperative that we make STEM (Science, Technology, Engineering and Mathematics) education awareness and careers a top priority for our youth. Although as a nation we have a lot of work to do when we consider reports from The 2010 ACT College and Career Readiness which found only 29% of the tested 2010 graduates are considered college-ready in science and 43% are considered college-ready in math. Locally some of our schools are making efforts to develop academies that focus around STEM careers, yet they are still seeing challenges in getting youth into college and less youth continuing on STEM career pathways if they do graduate from high school. Our goal is to work with youth that are struggling to finish school and don't see themselves going on to college and/or pursuing a job that will provide theirs with living wages and a realistic shot at becoming self-sufficient. Tarmeted Proiects: Science, Technology, Engineering, and Mathematics (STEM) related fields are many and diverse. About 150 different college majors have been identified by the National Science Foundation as STEM majors. Equally diverse are the industries in which STEM jobs are critically important to growth and competitive success. Some of these industries are obvious: advanced manufacturing, biotechnology, chemical engineering, energy, actuarial science and health care all relay on high-level skills and education in the STEM fields in their workforce. Other industries may seem less obvious for Exhibit A 6 their reliance on STEM knowledge and skills, such as construction, retail, transportation, and hospitality. But changing technology and expectations of the workforce in these industries snake STEM knowledge important even in these industries. For example, mechanics in the trucking industry must deal with sophisticated computer technology in both diagnostics and repair procedures. In construction, the increased importance of math and technical knowledge on the construction site, and in construction business offices, has become an obstacle to entry into apprenticeship and other training programs for individuals who fifteen years ago would have easily found their way into those programs. The SAWC goal is to snake the youth fully aware of the many opportunities and avenues available to pursue and complete a STEM career and those occupations that may cross over to green collar careers. The STEM workforce pipeline challenge is not just about the supply and quality of baccalaureate and advance degree earners. A large percentage of the workforce in industries and occupations that rely on STEM knowledge and skills are technicians and others who enter and advance in their field through sub- baccalaureate degrees and certificates or through workplace training. Many of our WIA Youth are not aware of their options other than college, and for some this may not be something they are ready for. Our goal is not to discourage college, but to provide options and opportunity through knowledge and WEX. By exposing them to the different possibilities in STEM career and some green collar careers through work experience, paired with the comprehensive interpersonal and social skills training they will receive from RSCCD's Customer Service Academy and the SAWC staff, youth will have the confidence to navigate their STEM Career preparation and future workforce experience or challenges that could sometimes derail their success. Competitiveness in STEM fields requires not just a focus on the skills but on soft skills, work readiness and great internally and externally customer service. The supply of those involved in STEM fields from the most complex research and development and leadership positions to production, repair, marketing, sales and other jobs that require competencies built upon STEM, all need the above basics foundations to be successful. D. PROGRAM TIMELINE: a. Outreach/Recruitment (71112012 to 9/30/2012)-Staff will snake sure that outreach and recruitment begins July I" and ends September 30`x' in order to meet our enrollment prior to second quarter. Staff are well aware of the areas that youth gather in addition to using various methods like email distribution to the youth and parents we have on our data base that have visited the SAWC, presentations to the local schools, community agencies, connecting with the counselors at school and social services. b. Intake (71112012 to 913012012)- will take place as soon as youth show interest in our program and would like to enroll. Staff is well versed in all the documentation needed during intake and the sensitivity involved in collecting their personal information and documentation. c. Assessment (71112012 to 913012012)-a small interview assessment will take place prior to collection of all documentation to make sure that youth can benefit from our program and we can provide all the services the youth needs. Once we have determined we are a good snatch, the more extensive assessment will take place and youth will be interviewed regarding career and interest and administered the TABE test required by WIA and the Youth Council. d. Eligibility(71112012 to 913012012)-Staff is experienced in determining eligibility for WIA youth programs and feels confident in their ability to collect all needed information required by WIA for the determination of eligibility. Our past experience has helped us develop a system to diligently collect and fill out all documentation to determine eligibility and meet enrollment goals on time, if not prior to their deadline. e. Case Management (71112012 to 613012014)-The Case Manager will be the lead person in charge of overseeing every aspect of the youth participation from the beginning of at intake to the final 12 months of follow-up for the youth. The Case Manager will coordinate with all other staff involved Exhibit A 7 to advocate and manage all services provided to the Youth to set them up for overall success while in the program and once they have left the program. f. Program Services (71112012 to 613012013)-The SAWC will provide work readiness workshops, paid work experience in STEM careers in addition to partnering with RSCCD to provide their Customer Service Academy that will consist of 10 interpersonal and social skills components including attitudes in the workplace, communicating with people, conflict management, customer service, decision snaking & problem solving, managing change, stress management, team building, time management, and values & ethics. The SAWC will also provide leadership development, post secondary education awareness, and mentoring from staff and their WEX supervisors. g. Supportive Services (71112012 to 613012013)- Incorporated into the program, we have allowed for supportive service in transportation for a total of six months and assistance to help youth with interviewing clothes and tools needed in their WEX and/or throughout the program to support their continued success. h. Placement in Employment (11112013 to 613012013)- Coordination between the Youth Case Manger and our Businesses Service Team Job Develop at the SAWC will ensure that all youth ready for employment are provided with all the supporting and guidance needed to place them in employment prior to the youth completing the program or before first quarter after they exited the WIA system in order to meet the placement in employment measure required by WIA and the Youth Council. i. Placement in Education (71112012 to 613012013)-The Staff at the SAWC understands that some of our participating youth may be struggling with school and/or not be attending at the time of enrollment and for them this may be one of the first issues addressed. Whether it's registering them for alternative school or post secondary education, Staff will work with the Youth to place theirs in education to better their chances of success throughout the program and prior to completion. Additionally, Youth will be exposed to higher education through the training from RSCCD, by attending most if not all their training classes on either of its college campuses (Santa Ana college and/or Santiago Canyon college). j. Training Services (81112012 to 6/30/2013)-Occupational training will be provided through our partnership with RSCCD. The Youth will begin the program by attending RSCCD Customer Service Academy that consist of 10 components that will include attitudes in the workplace, communicating with people, conflict management, customer service, decision making & problem solving, managing change, stress management, team building, time management, and values & ethics. Youth that complete the Academy will then receive 12 weeks of paid work experience with a STEM employer where Youth will be paid $8.50 an hour. Youth will be allowed to work up to 20 hours a week throughout the program year to complete their WEX. During their WEX and throughout the program, youth will receive additional training on Customer Service by SAWC staff to prepare for their National Professional Certification in customer service test. k. Services to improve Literacy/Numeracy (71112012 to 613012013)- workshops and program activities have been incorporated into the program year to provide youth with opportunities to improve their literacy and numeracy skills. Staff will be scheduling mid-year testing to those that are determined basic skill deficient to evaluate their progress and see if additional support and referral need to be made to increase their opportunity to improve their literacy and numeracy. 1. 12 month Follow-up after exit (71112013 to 613012014)-As required by WIA, the SAWC has planned for 12 months of follow-up with every Youth once they have been exited from the WIA system. Staff will maintain monthly contact with the youth after they have been exited from the program to provide education and employment retention services in addition to coaching and mentoring the youth to ensure their continued success and progress into self-sufficiency. Exhibit A 8 E. GOALS/OBJECTIVES AND PERFORMANCE LEVELS: The SAWC, through its 30 years of extensive experience in administering Federal and State funded programs, understands that WIA perfonnance management is vital to the success of the YSPN. Over the past 10 years, the SAWC as the Service Navigator had been instrumental in helping WIA funded providers manage and meet their performance measures individually and as a Network. Staff is also experienced preparing and training staff on WIA perfonnance measures and any new and updated legislation. Additionally, Staff attends DOL training and the annual California Workforce Association Conferences to stay updated with the most recent legislation and requirements regarding WIA. Furthermore, Staff has provided training on Common Measures to WIA funded providers to give them a basic understanding of what Common Measures are and how they affect their program and the way they provide services. Our commitment to helping the YSPN stay in compliance and in meeting all Federal, State, and locally mandated performance measures will continue to be a top priority with this program. Through this experience and Staffs various past experience running other performance based non- WIA funded programs, we have challenged ourselves to meet or exceed the following performance measures as they are listed below: ? 70% of placement in Employment or Education ? 80% of youth will attain a Degree or Certificate ? 40% of youth that are Basic Skill deficient will improve their Literacy or Numeracy SAWC Staff has expertise on performance management including exit and follow-up in order to comply with federal, state, and local regulations. Staff will use a custom designed database developed to provide reports and up to date information the current progress of the program. Measuring customer satisfaction has always been an integral part of the SAWC operation. Currently, the SAWC is responsible for monitoring and supporting continuous improvement for the YSPN in addition to the customer satisfaction for the entire SAWC. A customer satisfaction survey tool for clients and employers has been developed for those serviced by the SAWC and will be used to survey youth during the program. The SAWC will randomly survey participants enrolled and exited from the program during the program to assure we are always working on best serving our clients. E. FACILITIES The Santa Ana WORK Center's facilities are compliant with the American with Disability Act (see attachment F). Computer and Internet access is available to all Staff involved in serving the Youth. The SAWC main resource room in suite 220 is always open to our clients during office hours listed below and is equipped with computers, internet, fax machines, printers, and copier to assist client with their workforce needs. In addition, youth will have access to a computer lab in suite 200 at the SAWC that was developed with the customer in mind and also has internet to be used to do career and job search or training. Through our partnership with EDD participants also have a youth friendly area in suite 103 where youth can job search or career research in a more youth friendly environment. As needed to accommodate youth attending school, our offices can be used during non-traditional hours to provide program activities to youth enrolled in the program. Exhibit A 9 Santa Ana Work Center Suite 200 & 220 1000 E. Santa Ana Blvd., Santa Ana, CA 92701 (Located in the Santa Ana Train Depot between Santa Ana Boulevard and Santiago) Phone: (714) 565-2600 Fax: (714) 565-2602 Hours of Operation: Monday-Friday 8:OOAM - 5:OOPM Courses for the Customer Service Academy will be held at college campuses of the Rancho Santiago Community College District, which may include any of the following: • Santa Ana College - main campus located at the intersection of Bristol and 17`x' streets. • Santiago Canyon College - second college located in Orange at Chapman and Newport avenues. • RSCCD Operations Center - this facility houses economic and workforce development programs that offer many professional development and business workshops on site. By allowing students the opportunity to experience higher learning at a college facility, we hope that they will become comfortable in seeking advanced education by enrolling in an academic institution that will earn them a college degree. ORGANIZATION OUALIFICATION A. EXPERIENCE & QUALIFICATIONS The SAWC brings over 30 years of experience operating various federally, state and locally funded employment and training programs, and has consistently met or exceeded performance expectations. Over the past 30 years, the SAWC has had the opportunity to oversee and administer youth programs that provided youth with a comprehensive knowledge of workforce. The SAWC is a division of the City of Santa Ana's Community Development Department. The SAWC employs 21 full-time staff and two part-time staff. The SAWC average operating budget is $3.2 million. Our sources of funding stem from State and County adult and youth grants in addition to Federal Department of Labor WIA Adult, Dislocated Worker, Youth Formula Grants, Rapid Response. Through the varied funding streams throughout the years, we have made an in impact on thousands of undereducated, low-income youth with barriers to employment, by providing them workforce programs that offered paid work experience, work readiness, life skills, occupational training, insight into various career through job shadowing, and most importantly the knowledge of how to find and advance in employment in order to retain financial security and self-sufficiency. More specifically, in the last three years, the SAWC has overseen and administrated youth programs with funding from Department of Labor ARRA funds, Orange County Community Services (WIB), Community Partnership of Orange County in which we met and exceeded all performance and enrollment requirements. Below are some of our organizational strengths that have helped us continue providing services to the community: 1. A state recognized, award-winning entity with a proven record in leadership, workforce innovation, service integration and quality services. 2. A One-Stop Center with versatility in its service delivery that is capable of addressing the needs of diverse target populations resulting in the diversification of multiple funding streams. Exhibit A 10 3. Ability to effectively leverage resources across an extensive network of partner agencies and community organizations. Demonstrated fiscal stability and prograin sustainability over the past 30 years. 4. Exceptional track record in successfully implementing the following programs: WIA Adult, Dislocated Worker, Youth Formula Grants, Rapid Response, National Emergency Grants, Governor's 15% discretionary Grants, 25% Grants, DOL Welfare-to-Work Grant, DOL Faith-based Initiative Grant, The Santa Ana Federal Empowerment Corporation funded - Housing and Urban Development Grant - FEZ Daisy Wheel Employment and training Program, DOL - Youth Earmark Grant, the Department of Justice - Weed and Seed Program, American Recovery and Reinvestment Act programs for youth and adults. 5. Staff is well versed and current in workforce legislation. Through membership in State and national workforce associations, staff has the ability to access timely workforce resources and training as well as any pending legislative changes and to share the inforination with all staff and with network service providers. 6.Has a fully developed internal monitoring and performance management system in place. Comprehensive and time-tested policies and procedures manuals are updated regularly. Additionally, our partnering agency providing training in 10 specialized customer service categories, Rancho Santiago Community College District (RSCCD), has an extensive history serving youth in the City of Santa Ana. The Santa Ana College campus of RSCCD was the second junior college in the state and was founded in 1915 as a department within Santa Ana High School. As such, the campus has been focused on serving the youth of Santa Ana from its very inception. A list of recent programming efforts targeting Santa Ana youth illustrates this continued commitment towards the city's youth. RSCCD provides tutoring; mentoring; counseling advisement; PSAT/SAT/ACT preparation; job shadowing; work experience for 9th-12th graders at SAUSD high schools; Early Decision program to provide counseling, registration, and fall enrollment for incoming seniors; summer Math Bridge programs for 8th graders to be able to enter and succeed in Algebra I in 9th grade; week-long Summer Research Institute for juniors and seniors at local universities to increase college preparation and enrollment; and career exploration for 7th and 8th graders, among other programs and services. Additionally, this support of youth extends to the District's commitment to help minority youth graduate from college. Santa Ana College has the 51h highest number of Hispanic graduates in California and is ranked 121h nationally among junior colleges. RSCCD has been working with WIA since October 2009 when it co-authored a Department of Labor grant with the Santa Ana W/O/R/K Center. Execution of this grant titled the Job Technology Project began in July 2010 and it focused on providing 100 displaced workers with job skills assessments, basic skills training in reading, math and analytical thinking, as well as computer literacy classes and green training in solar energy, water treatment and water distribution. Unemployed individuals who participate in the water technology courses were prepared to take the State exam for certification and the grant funds also provided job development and placement services. Staff Ca caci . Workforce Specialist III (30% in-kind): Has a Bachelor's degree in Sociology from UC Irvine, and over 11 years of experience working in the City of Santa Ana with a special focus on serving the Exhibit A 11 youth population. Manages and oversees Youth Service Provider Network. Extensive experience in managing performance based programs with diverse populations. Developed and fostered collaborative relationships with youth service providers and community based organizations. Has served as an active member of the Santa Ana Youth Council Board since 2001. Is a recipient of the California Workforce Association "Overall Outstanding Workforce Professional" 2008. Case Manager-Workforce Specialist II (80%): Has experience working with customers in the workforce development field. Has extensive experience in WIA eligibility determination, case management, Work Experience and On-The-Job Training programs as well as business services. Provides job search assistance and prepares job seekers with job search skills, resume development, and interview techniques. Job Developer-Workforce Specialist II (30% in-kind): Is part of our business team at the SAWC and has experience working with customers in the workforce development field. Individual specializes in community and business outreach, marketing, eligibility determination, case management techniques, internal program monitoring, data management, job development and job placement. Sr. Office Assistant (25% in-kind): Has over 10 years of experience in customer service and will assist with client phone calls, answering client questions, assist with snail-outs, meeting preparation, and assist with the overall technical assistance provide by the Navigator. Director, RSCCD Corporate Training Institute: Has a Bachelor's degree in public relations from USC and a Master's degree in Business Administration from the University of Phoenix. Nearly 15 years of experience working collectively in public relations, business development and workforce funded initiatives at the private, state and federal levels. She is currently the Director of both the Corporate Training Institute and the nationally recognized ACT Center at Rancho Santiago Community College District. Her programs provide state-of-the-art work skills assessments, online learning/training systems, and offer employers the opportunity to customize on-site job training tailored to meet their specific needs. She collaborates on joint partnerships with public and private agencies to design specialized training for workforce development that encourages higher education for the advancement of careers. On this partnership, she will oversee the implementation of the Customer Service Academy program and work with the professional trainer(s) on customizing the curriculum for the WIA youth. Professional Trainer/Presenter (100%): He is an expert in marketing and sales with a Bachelor's degree in business from Cal Poly San Luis Obispo. A member of the adjunct faculty at Santa Ana College, he teaches Sales and Marketing and serves as a member of the Santa Ana College Business Division and Entrepreneurship Advisory Boards. Previously, he owned and managed his own business for several years. With more than 20 years of sales, management, marketing, and customer service experience in various industries including, wireless, software, real estate lending, and consumer goods, he brings real-world business situations and solutions to his instruction. He currently works on a WIA grant which gives under privileged teens the ability to learn lifelong skills in the areas of business and applies his knowledge and experiences with a fun and interactive teaching style which helps students retain the information they learn in order to succeed. B. FISCAL CAPACITY: The SAWC is a part of the City of Santa Ana. All fiscal and procurement operations follow the policies and procedures of the City. As a part of the City's accounting system, the SAWC has various account numbers assigned that relate to specific funding sources. Revenues and expenditures are coded with account numbers relating to those funding sources. Monthly financial statements are 12 Exhibit A produced based on charges to those accounts. The monthly reports indicate the line item budget amounts, expenditures against the budget and the balance remaining for each account and funding program. The STEM program would be provided with a separate and distinct account number to identify all costs related to that particular program. Invoicing Process Invoices for the STEM program will be reviewed and approved by program staff at the SAWC. They will then be forwarded to the department accounting staff at City Hall where they will be assigned account numbers and approved for payment. The accounting staff will prepare the request for payment, attach the necessary documentation and forward the invoices to the Accounts Payable unit for entry into the city's accounting system. Checks are issued according to City policies and timelines. The department accounting staff includes a Senior Management Analyst and two Senior Accounting Assistants with a total of 20 years of accounting experience with the City of Santa Ana. Payroll As part of the City of Santa Ana, SAWC staff is paid twice a month. Time sheets are completed by all staff indicating functions and programs that have been worked on during that particular pay period. That inforination, with the accompanying account numbers, is entered into the payroll system by the Senior Accounting Assistant. Payroll dollar amounts are posted to the accounting system and are reflected on the monthly financial reports. Procurement The SAWC follows the City of Santa Ana's procurement policies as well as federal and state regulations related to procurement. Purchase requisitions for items over $500 are entered into the accounting system and approved by the finance staff at City Hall. Buyers from the Purchasing Department review the requisitions and issue purchase orders following City policies and procedures. When the goods are received by SAWC, staff compares the goods delivered to the purchase requisition for completeness and accuracy. The purchase order paperwork is approved, signed and returned to the Purchasing department. Payment for the goods is initiated through the Purchasing department following City procedures. Financial Stability The SAWC is funded by WIA grants, a Department of Labor H-113 grant and an Orange County Social Services Agency grant. Staff continues to pursue additional sources of funding to compliment current programs. The City of Santa Ana provides interim funding from its general revenue fund for all expenses including payroll. Grant funds are requested monthly based on expenditures and replenish the general fund expenses. Exhibit A 13 SANTA ANA WORKFORCE INVESTMENT BOARD SAWC POLICY BULLETIN Supportive Services Original Policy: 7/1/2001 Number: SA07 Revised: 4112 Replaces: 3112 Update 1. Purpose: To establish guidelines for the issuance of supportive services to participants, who are identified in need of such services, in order to assure the successful completion of program. This policy supersedes all previous policies. II. Reference: • WIA Regulations: 663.800, 663.805 • WIA Law Section 129:(c)(1)(G), 134(e)(2) III. Updates: Policy bulletin updates which are in bold and italic. IV. Procedures: A. ELIGIBILITY 1. To request and receive supportive services, an individual must be WIA eligible and enrolled with the Santa Ana WORK Center. 2. Supportive services will be made available to participants while enrolled in WIA services. 3. Provision of supportive services is not an entitlement. B. AVAILABILITY OF FUNDS AND ASSESSMENT OF NEED: 1. Supportive services are delivered contingent upon availability of funds, the need of the participant, and given on a first come, first serve basis. 2. Assessment of need will be determined by Case Manager and reviewed by management. Case manager is responsible for explaining supportive services and program requirements for continuation of supportive services. 3. Supportive services are available to participants who: a. Have no other way to meet needs and have expressed this need to the case manager. b. Other funding sources and resources should be explored and utilized before requesting WIA funded supportive services (i.e., Social Services). Exploration Exhibit A 17 shall be documented in case C. TRANSPORTATION ASSISTANCE - GENERAL GUIDELINES Transportation assistance is defined as the provision of gas cards or a bus pass to participants. 1. Need will be established by indicating the client is in need of supportive service assistance through the following: a. Adult/Dislocated Worker Clients - completion of the Participant Informational Worksheet, budgeting form b. Youth - completion of My Action Plan (MAP) 2. Case manager will complete an ITA form to indicate what supportive services will be provided and will justify in the comment section of ITA. The amount may change based on extenuating circumstances, at which point the ITA form may be revised (youth case managers are exempt). 3. Transportation Assistance during Training-supportive services are available to clients enrolled in WIA training services for up to 12 months, or the length of the training program. Case Manager must verify participant attendance in WIA training services. 4. Transportation Assistance during Job Search - supportive services are available to clients enrolled in WIA services during job search and can be delivered for up to 3 months. Extensions may be provided on a case-by-case basis. a. Qualifying criteria includes: i. Participates in all required activities as agreed to by the case manager. ii. Participant must provide evidence that he/she is looking for work on a monthly basis. Participant must keep a job search log of outside appointments/interviews to verify participant is actively seeking employment. 5. Transportation Assistance during Follow-up - supportive services are available to youth for up to 12 months after Exit. 6. Gas Cards and/or Bus Passes a. Case manager is responsible for the following: i. Adult/Dislocated Worker Clients - completion of the Transportation Supportive Services Statement form ii. Youth - completion of Individual Supportive Service Form and Youth Supportive Service Log. b. Participants must request a gas card/bus pass in a timely manner. Gas card/bus passes will not be issued on a retroactive basis. Exhibit A 18 c. Participants will be scheduled to receive only one gas card/bus pass per month. d.No replacements will be issued in the event the participant loses his/her gas card/bus pass. e. Provision of gas card/bus pass is contingent upon the availability of funding. D. EYE EXAM/GLASSES Participant will be scheduled to receive only one eye exam/glasses voucher during their program participation. 2. After identifying the need for eye exam/glasses assistance and exploring and eliminating all other alternative funding sources. Adult/DW case manager will create an ITA form to indicate what supportive services will be provided and will justify in the comments section of ITA. Youth case manager will complete an Individual Supportive Service Form. 3. Participants will only be issued a maximum $60.00 for an eye exam and a maximum of $100.00 for eye glasses. E. USB FLASH DRIVE 1. Participants must attend a minimum of one mandatory workshop (computer or resume) in order to receive a flash drive, unless workshop is waived by staff. 2. No replacement of flash drive will be issued in the event the participant loses his/her flash drive. 3. Workshop facilitator will distribute and check off FD box in WORK Plan to indicate FD receipt. SAWC staff will document FD receipt in JTA (activity code 92) and/or workshop database, as well as entering information in PASS. 4. Provision of USB Flash Drive is contingent upon the availability of funding. F. OTHER (refer to Supportive Services Matrix) Any other miscellaneous type expenses not covered above may be considered. This is not to be construed that such request will be paid; only considered for reimbursement. The request must be fully documented and all receipts in proper order. G. SUPPORT SERVICES STATEMENT PROCESSING Case Manager is responsible for: a. Submitting requests for supportive services to Program Manager for approval or utilize TVoucher as appropriate. b. Reviewing invoices/statements for accuracy when client submits receipts for 19 Exhibit A reimbursement. 2. Program Manager a. Program manager will review invoices/statements for accuracy. Exhibit A 20 SUPPORTIVE SERVICES MATRIX SUPPORTIVE SERVICES MAXIMUM POLICY AMOUNT Books $200.00 Reimbursement one time only for books/related items not required by school or OJT employer but essential to customer to complete training or become employed. Request for reimbursement must be accompanied by an itemized receipt and written justification for request. Certificates/Licenses $200.00 One time only reimbursement for customers enrolled in WIA funded or non-funded training. Clothing/Shoes/Uniforms $200.00 One time only reimbursement for customers participating in WIA funded intensive or training services. Written justification must be accompanied by an itemized original receipt. DMV Printout $20.00 One time only reimbursement for customers participating in WIA funded intensive or training services. Drug Screening $25.00 One time only reimbursement for customers participating in WIA funded intensive or training services. Eye Exam See policy See policy Transportation See policy See policy Tools $200.00 One time only reimbursement for customers participating in WIA funded intensive or training services. Parking $100.00 One time only reimbursement for customers participating in WIA funded training services, which required participants to pay for school parking, as necessary. Exhibit A 21 Attachment B YSPN MEMBER PERFORMANCE PLAN 2012-2013 WIA YOUTH POPULATION Youth Population Ages # of Youth to be Served In-School 16-21 15 Out-of-School 16-21 5 TOTAL NUMBER OF YOUTH TO BE SERVED 20 PROJECTED ENROLLMENTS & EXPENDITURES (NOTE: 75% OF YOUTH MUST BE ENROLLED BY 2ND QUARTER-DECEMBER 31, 2012) # of Enrollments Quarter per Quarter Estimated Expenditures per Quarter ISt 10 $40,000 2nd (75% Enrollment Required) 10 $40,000 3rd 0 $40,000 4th 0 $40,000 TOTAL 20 $160,000 PERFORMANCE GOALS/COMMON MEASURES *DISCLAIMER: OUTCOMES ARE SUBJECT TO INCREASE/DECREASE DEPENDING ON YOUTH POPULATION Total # of Youth Multiplied Minimum # of Performance Category by Performance Rate youth to fulfill performance Placement in Employment OR Placement in Post-Secondary Education 20 x 65% = 13 (by Exit or 15t Quarter Follow-Up) Attainment of Degree or Certificate (by Exit or by 3rd Quarter Follow-Up) 20 x 61% = 12 Improved Literacy OR Numeracy 20 x 40% = 8 Exhibit B COMPLAINT HANDLING UNDER THE WORKFORCE INVESTMENT ACT SANTA ANA WIA Santa Ana Local Workforce Investment Area Revised May 7, 2009 EXHIBIT C Table of Contents Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement 2. Civil Rights 3. Nondiscrimination laws under WIA 3 3 3 4 4 4. How to File Your Complaint 5 B. Criminal Complaints 6 II. General Procedures for Handling Non-Criminal Violations of the Act III. Procedures for Handling Complaints at the LWIA Level IV. Procedures for Handling Complaints at the State Level V. Procedures for Handling Discrimination Complaints by Participants_ VI. Procedures for Handling Handicap Complaints by Participants GLOSSARY OF WIA TERMS 2 EXHIBIT C 8 12 15 17 20 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 EXHIBIT C 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 Age Discrimination Act of 1975 Prohibits arbitrary discrimination against persons age 40-70. The Rehabilitation Act of 1973 EXHIBIT C 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 Riahts 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: 5 EXHIBIT C 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 6 EXHIBIT C level for the receipt, investigation, hearing, and resolution of complaints by WIA participants, 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: All complaints must be made in writing within 180 days of the alleged occurrence, except complaints alleging fraud or criminal activity. 2. All persons filing a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his/her complaint to correct technical deficiencies but not to add issues. 3. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment into employment or training, participants shall be provided with a written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private-for-profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. EXHIBIT C 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; EXHIBIT C d. What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; e. Remedy sought by the complainant; and 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 EXHIBIT C 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. 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 a quasi-judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. 20 EXHIBIT C 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 11 EXHIBIT C An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWIA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWIA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three- year period after the grant has been officially closed out. The Santa Ana LWIA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. 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. 12 EXHIBIT C 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 EXHIBIT C 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 EXHIBIT C 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. V. Procedures for Handling Discrimination Complaints by Participants. A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. 1. It is the responsibility of the Santa Ana LWIA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWIA's procedure under Section II (A). 15 EXHIBIT C PROCEDURES FOR HANDLING NON-CRIMINAL COMPLAINTS No later than 180 days of alleged discrimination Handling of complaints filed at LWIA level arising in connection with WIA proqrams operated by LWIAs Informal Resolution Process Unsatisfactory Decision or LWIA Decision not issued within 60 days Q c 0 Within 10 days of receipt of unsatisfactory decision or 10 days from date LWIA decision should have been issued. w 0 0 0 Request for State Review w 0 a Governor's Decision issued by State Review Panel If no decision issued by State Review Panel Appeal to DOL 16 EXHIBIT C 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 EXHIBIT C 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. 1s EXHIBIT C PROCEDURES FOR HANDLWG No later than 180 days of alleged discrimination If no resolution reached Day 1 Day/45 Day Unsatisfactory Decision or No Decision Filed within 30 days of LWIA/State Decision or 90 days from date of initial filing of complaints HANDICAP COMPLAINTS Appeal to Assistant Secretary Department of Labor 60 Days 19 EXHIBIT C 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 20 EXHIBIT C 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" C CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS GRANTS LOANS and COOPERATIVE AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief, that: 1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying." in accordance with its instructions. 3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including agreements) and that all 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 than $100,000 for each such failure occurring on or before October 23, 1996, and of not less than $11,000 and not more than $110,000 for each such failure. Santa Ana Work Center STEM Grantee/Contractor Organization a Signature Santa Ana WIA Youth Program Program Title Linda A. Oberman Name of Certifying Official Signature EXHIBIT D Certification Regarding Drug-Free Workplace Requirements The certification set out below is a material representation upon which reliance is placed by the U.S. Department of Housing and Urban Development in awarding the grant. If it is later determined that the contractor knowingly rendered a false certification, or otherwise violates the requirements of the Drug-Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug-Free Workplace Act. CERTIFICATION A. The contractor certifies that it will provide a drug-free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug-free awareness program to inform employees about - (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug-free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph -(a) that, as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. (e) Notifying the U.S. Department of Housing and Urban Development within ten days after receiving notice under subparagraph (d)(2) from an EXHIBIT E 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; (g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached "Place of Performance" form the site(s) for the performance of work to be carried out with the grant funds (including street address, city, county, state, and zip code) .the contractor further certifies that, if it is subsequently determined that additional sites will be used for the performance of work under the contract, it shall notify the U.S. Department of Housing and Urban Development immediately upon the decision to use such additional sites by submitting a revised "Place of Performance" form. Dated: July 1, 2012 Program Operator EXHIBIT E DIVISION OF EMPLOYMENT SERVICES PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS Name: Linda A. Oberman Name of Contractor: Santa Ana Work Center STEM Contractor Number: Date: July 1, 2012 The Contractor shall insert in the space provided below the site(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): 1000 E. Santa Ana Blvd., Suite 200 Santa Ana, Orange County CA 9270 EXHIBIT E Attachment E Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' Responsibilities. The regulations were published as Part VII of the May 16, 1988, Federal Register (Pages 19160-19211). (Before completing certification, read instructions which are an integral par' of certification) 1. The prospective primary participant, (i.e. grantee) certifies to the best of its knowledge and belief, that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency; b. Have not within a three-year period preceding this proposal been convicted or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; violation of federal or state antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a government entity (federal, state or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and d. Have not within a three-year period preceding this application/proposal had one or more public transactions (federal, state or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. City of Santa Ana WORT( Center Grantee/Contractor Organization L?A _k U?AJ Name and Title of Official Authorized to Certify On Behalf of the Grantee Date Exhibit F Attachment C Personnel Salaries 1 Workforce Specialist III - .3 FTE 2 Workforce Specialist II -.8 FTE 3 Workforce Specialist II - .3 FTE 4 Sr. Office Assistant - .25 FTE 5 Personnel Benefits 1 Workforce Specialist III - .3 FTE 2 Workforce Specialist II -.8 FTE 3 Workforce Specialist II - .3 FTE 4 Sr. Office Assistant - .25 FTE 5 Budget Form Administrative Total Total WIA Cost (Not to Program Cost Match/In Kind Exceed 10%) Cost $0.00 $20,797.00 $50,475.00 $50,475.00 $0.00 $18,711.00 $0.00 $12,954.00 $0.00 $0.00 $7,808.00 $11,928.00 $11,928.00 $0.00 $6,409.00 $0.00 $3,396.00 $0.00 Total Personnel Salaries & Benefits $0.00 $62,403.00 $62,403.00 $70,075.00 Operating Expenses Rent $4,447.00 $4,447.00 Utilities $0.00 Phones $1,020.00 $1,020.00 Internet Fees $0.00 Parking Fees $0.00 Security $0.00 IT Maintenance $1,005.00 $1,005.00 Insurance $717.00 $717.00 Equipment rental fees* $0.00 Equipment rental fees* $0.00 Vehicle lease* $1,123.00 $1,123.00 Office expenses (consumables) $5,456.00 $5,456.00 Accounting Services $0.00 Legal Services $500.00 $500.00 Auditing Services $0.00 Indirect Cost* $2,685.00 $2,685.00 Staff Training $0.00 Rancho Partnership $27,032.00 $27,032.00 Participant Wages* $40,800.00 $40,800.00 Participant Benefits $4,162.00 $4,162.00 Supportive Services* $8,050.00 $8,050.00 Participant Assessment $0.00 Youth Conferences $600.00 $600.00 Total Operating Expenses $0.00 $97,597.00 $97,597.00 $0.00 GRAND TOTAL (personnel+Operating) $0.00 $160,000.00 $160,000.00 $70,075.00 Exhibit G 14 Budget Narrative Personnel: Workforce Specialist II - .80 FTE -this position will be the case manager for the pro gain. The case manager will recruit youth participants, determine initial eligibility, oversee the Work Experience (WEX) program, collaborate with Rancho Santiago Community College on the certification program and will mentor the participants throughout the program. Workforce Specialist III - .3 FTE (in kind) - this position will oversee the STEM program and assist in mentoring the youth on a monthly basis. Workforce Specialist II - .3 FTE (in kind) - this position will be the job developer for the WEX portion of the STEM program. The job developer will work with the business community to establish work experience positions within the STEM career path. The job developer will assist the case manager in placing the participants in appropriate work environments. Senior Office Assistant - .25 FTE (in kind) - the Sr. Office Assistant will assist with client phone calls, answering youth participant questions, assist with snail-outs, meeting preparation, and assist with the overall operations of the STEM program. Benefits: All STEM staff are employees of the City of Santa Ana. Benefits are based on rates charged by the city. Rates are calculated as a percentage of salary with the exception of health benefits which are charged based on each individual's health plan. Rates for the Workforce Specialist II -.80 FTE - are as follows: Retirement - Employer portion - 8.349% Medicare - 1.45% Retiree Medical - I% Workers Compensation - 1.04% Health Insurance - $5,952 In-kind rates for the Workforce Specialist III - .3 FTE, Workforce Specialist II - .3 FTE, and Sr. Office Assistant - .25 FTE are the same as the Workforce Specialist II -.80 FTE. Health insurance ranges from $1,861 per year to $5,346 per year. Operating Expenses Rent/User Fee: The User Fee is based on actual square footage for the Workforce Specialist II and is charged at $1.97 per square foot. Phones: The phone charge is based on $85 per month and includes usage charges as well as equipment charges. IT Maintenance: Computer and internet services are maintained by the IT division of the City of Santa Ana. The fee is based on the charges assessed by the City to the Santa Ana WORK Center. 15 Exhibit G Insurance: Insurance is provided by the City of Santa Ana and is based on the rate assessed by the City to the Santa Ana WORK Center. Vehicle Lease: The vehicle lease covers the partial cost of a car provided by the City of Santa Ana and includes maintenance and gas. Office Expenses: Office expenses cover the cost of office supplies including but not limited to paper, pencils, folders, pens, duplicating costs and postage. All supplies are purchased under the City of Santa Ana's purchasing agreements. Postage is charged by the City of Santa Ana's Reprographics Division based on actual usage. Included in Office Expenses is a $3,700 budget for Retail Certifications which will be offered to the STEM participants. The certification tests will be proctored by City staff and administered on-line. Legal Services: Legal services cover the salary and benefits of the Assistant City Attorney who will prepare MOUs and agreements as needed. Indirect Cost: An indirect cost rate of 5.32% based on salaries is charged by the City of Santa Ana. The indirect cost rate plan is attached. Rancho Partnership: This charge represents the contract amount to be charged by Rancho Santiago Community College to provide the Customer Service Academy. Participant Wages: The Work Experience program will take place over a 12 week period with participants working 20 hours per week at a rate of $8.50 per hour. It is anticipated that 20 participants will be placed in the Work Experience component. Time cards and sign-in sheets will be provided to each participant. Completed time cards and sheets are to be returned to the STEM staff signed by each participant and their supervisor. See attached samples. Participant Benefits: Benefits for the Work Experience program are as follows and are based on a percentage of the participant's wages: Deferred Compensation (in place of Social Security) - 3.75% Medicare - 1.45% Workers Compensation - 5% Supportive Services: Supportive services include but are not limited to bus passes, gas cards, clothing, tools, and books. These services are based on individual needs and may or may not be provided to all participants. Youth Conference: Each year the California Workforce Association hosts a Youth Conference which provides staff and participants with current information on youth programs throughout the state. It also provides participants with the opportunity to experience networking and workshops that expand their visions and goals beyond the boundaries of Santa Ana. Exhibit G 16 Attachment D 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. I recognize that I must give assurances for each item below. If I cannot, this proposal will be automatically rejected. Please initial each box. © I am authorized by my Board of Directors, Trustees, other legally qualified officer, or as the owner of this agency or business to submit this proposal. ® 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 additional funding 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: ®Records accurately reflect actual performance. ®Maintain record confidentiality, as required. ®Reporting financial, participant, and performance data, as required. ®Comply with State and Federal fiscal and program activity audits. ®Complying with Federal and State non-discrimination provisions. ®Meeting requirements of Section 504 of the Rehabilitation Act of 1973. ®Meeting requirements of the American's with Disabilities Act of 1990. (submit attachment F) ®Meeting all applicable labor law, including Child Labor Law standards. ®Agree to provide a drug free workplace. ®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. ®Agree to insure proposer's employees through Workers Compensation Insurance (including part-time employees) ®Procurement policies and procedures are in place and meet federal guidelines. We will not: ®Place a youth in a position that will displace a current employee. ®Use WIA money to assist, promote, or deter union organizing. ®Use funds to employ or train of persons in sectarian activities. ®Use funds for youth in the construction, operation, or maintenance of any part of a facility to be used for sectarian instruction or religious worship. ®Use WIA funds for activities that would interfere with or replace regular academic requirements for eligible youth who are not dropouts. ®Use WIA funds to carry out programs funded under the School-to-Work Opportunities Act of 1994 unless the program(s) are only for youth eligible to participate under WIA. ®Use WIA money under this contract to purchase any equipment. I hereby assure that all of the above are true. ON Ic 6V447 Blame Title Date Exhibit H