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HomeMy WebLinkAbout25I - AGMT - MOU WORK CENTERREQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: EXTENSION OF ONE -STOP OPERATOR MEMORANDUM OF UNDERSTANDING WITH THE SANTA ANA WORK CENTER c CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Execute an extension of the One -Stop Operator Memorandum of Understanding with the Santa Ana WORK Center as the Comprehensive One -Stop Operator through June 30, 2016, with a one -year extension option, subject to non - substantive changes approved by the City Manager and City Attorney. WORKFORCE INVESTMENT BOARD RECOMMENDATION At its regular meeting of July 17, 2014, by a Jimenez -Hami, Lewis, Maldonado, Martinez, Investment Board recommended that City Operator Memorandum of Understanding Comprehensive One -Stop Operator through subject to non - substantive changes approved DISCUSSION ,ote of 17:0 (De La Riva, Didion, Everett, Gonzalez, Rutledge, Sanchez, and Su absent), the Workforce Council execute an extension of the One -Stop with the Santa Ana WORK Center as the June 30, 2016, with a one -year extension option, by the City Manager and City Attorney. One of the duties of the Santa Ana Workforce Investment Board (WIB) is to monitor and evaluate the performance of its One -Stop operator to ensure its compliance with federal and state regulations and overall service to the community on an annual basis. The WORK Center has submitted a participant plan and budget for PY 2014 -2015 for review. WIB staff has reviewed the documents and is recommending that the Santa Ana WORK Center continue to operate as the WIB's comprehensive One -Stop for Santa Ana for PY 2014 -2015. The most current performance results, calculated and released by the State Employment Development Department, are listed below for Program Year 2012 -2013. The WORK Center exceeded five of the six state mandated Adult and Dislocated Worker performance measures and exceeded all three of the youth measurements: 251 -1 One Stop Operator PY 2014 -2015 September 2, 2014 Page 2 The City's total WIA allocation for PY 2014 -2015 is $3,163,645 comprised of $1,123,528 for Adult, $717,405 for Dislocated Worker, and $1,145,832 for Youth programs. Additionally, the City received $176,880 in Rapid Response funds to assist Santa Ana employers prior to workforce reductions, and to affected workers who are impacted by a lay -off or business closure. The overall PY 2014 -2015 allocation is a 9.3 percent decrease from the previous year's allocation. With the WORK Center meeting or exceeding State performance measures, the WIB is recommending that the City Council approve the extension of the One -Stop Operator Memorandum of Understanding with the Santa Ana WORK Center. STRATEGIC PLAN ALIGNMENT The extension of the One -Stop Operator Memorandum of Understanding with the Santa Ana WORK Center as the Comprehensive One -Stop Operator is consistant with Santa Ana's Strategic Plan Goal #2: Youth, Education, Recreation; Objective #4: Partner with groups and organizations to promote education, senior services, job training and development for all Santa Ana residents. 251 -2 Negotiated Actual ADULT WORKER Performance Level Level Success Rate Entered Employment Rate 61.1% 72.0% 118.0% Retention Rate 75.5% 79.9% 106.0% Average Earnings $11,800 $10,811 92.0% Negotiated Actual DISLOCATED WORKER Performance Level Level Success Rate Entered Employment Rate 58.9% 60.2% 102.0% Retention Rate 83.0% 91.1% 110.0% Average Earnings $14,000 $15,166 108.0% Negotiated Actual YOUTH WORKER Performance Level Level Success Rate Placement 72.0% 82.4% 114.0% Attainment Certificate /Diploma 60.0% 86.1% 143.0% Literacy /Numeracy 54.0% 73.3% 136.0% The City's total WIA allocation for PY 2014 -2015 is $3,163,645 comprised of $1,123,528 for Adult, $717,405 for Dislocated Worker, and $1,145,832 for Youth programs. Additionally, the City received $176,880 in Rapid Response funds to assist Santa Ana employers prior to workforce reductions, and to affected workers who are impacted by a lay -off or business closure. The overall PY 2014 -2015 allocation is a 9.3 percent decrease from the previous year's allocation. With the WORK Center meeting or exceeding State performance measures, the WIB is recommending that the City Council approve the extension of the One -Stop Operator Memorandum of Understanding with the Santa Ana WORK Center. STRATEGIC PLAN ALIGNMENT The extension of the One -Stop Operator Memorandum of Understanding with the Santa Ana WORK Center as the Comprehensive One -Stop Operator is consistant with Santa Ana's Strategic Plan Goal #2: Youth, Education, Recreation; Objective #4: Partner with groups and organizations to promote education, senior services, job training and development for all Santa Ana residents. 251 -2 One Stop Operator PY 2014 -2015 September 2, 2014 Page 3 FISCAL IMPACT Funds are available in the Workforce Investment Act Grant accounts (account nos. 12318xxx- various). OP-0 -,.,4 � De rah Sanchez Economic Development Specialist III Community Development Agency DS /If APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez` Executive Director Finance & Management Services Agency Exhibits: 1. Memorandum of Understanding 251 -3 251 -4 EXHIBIT 1 EXTENSION OF MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA, COMMUNITY DEVELOPMENT AGENCY (WORK CENTER) AND THE SANTA ANA WORKFORCE INVESTMENT BOARD PARTIES: This Extension of Memorandum of Understanding ("MOU ") is hereby entered into on , 2014, by and between the City of Santa Ana, by and through its Community Development Agency, WORK Center ( "WORK Center") a One -Stop Operation, and the Santa Ana Workforce Investment Board ( "SAWIB" ), II. DURATION OF AGREEMENT: The initial term of this Agreement began on July 1, 2001 and may be extended through the mutual exercise of an option by the parties, unless terminated by either party with thirty (30) days written notice to the other party. A copy of the minutes from the SAWIB meeting regarding the extension of this MOU shall be attached to this Agreement along with a copy of the WORK Center's approved annual budget and participant plans. The term of this Agreement shall cover two (2) years (Program Years 2014 -2015 and 2015 -2018) and may be extended one (1) additional year by written agreement of the City Manager and the City Attorney, Ill. PURPOSE: The purpose of this Extension to the Agreement is for the Santa Ana WORK Center to continue to provide a comprehensive One -Stop Center in response to the "Request for Proposals /Business Plans for One -Stop Service Center in Santa Ana" ( "RFP ") released on March 19, 2001. IV. RESPONSIBILITIES OF WORK CENTER: The WORK Center, through the combined efforts of the WORK Center partners which include the Employment Development Department, Orange County Social Services Agency, Rancho Santiago Community College District, Santa Ana Unified School District, Goodwill Industries, Santa Ana College, State Department of Rehabilitation, City of Santa Ana Economic Development Department, Santa Ana Unified CTE programs and several other agencies, shall provide the community with a variety of informational employment and training services based on individual needs (Youth Service, Adult and Dislocated Workers). The responsibilitles and duties of the WORK Center are set forth in detail in the "Proposal /Business Plan" response submitted by the WORK Center, dated April 27, 2001. The WORK Center will submit a new Participant Plan and Budget for each Program Year for the formula funds. (See WORK Center Service Plan Figures, Youth Navigator Plan and Budget attached hereto and incorporated herein as Exhibit A). V. AUDIT: The WORK Center agrees that if it receives Five Hundred Thousand Dollars ($500,000.00) or more in federal funds, It shall ensure that the City of Santa Ana includes the WORK Center in its annual audit which shall be conducted by a certified public accountant in accordance with the standards as set forth and published by the United States Office of Management and Budget. 251 -5 VI. PROHIBITION FROM DISCRIMINATION: The WORK Center and all One -Stop Partners are prohibited from discrimination on the grounds of race, color, religion, sex, national origin, age, disability, political affiliation or belief, and each party agrees to comply with all applicable federal, state and local laws and regulations. VII. FUNDING: The SAWIB anticipates allocating Workforce Investment Act funds to the WORK Center for the operation of the One -Stop Service Center each funding cycle. The WORK Center's Business Plan /Proposal shall remain In effect until such time as the SAWIB selects a different one -stop operator. VIII. MONITORING /OVERSIGHT: The SAWIB and its staff reserve the right to review and monitor all services funded under this MOU and the RFP. This includes all records, documents, polices and procedures or other data or documentation requested by the SAWIB, the State of Callfornia's Compliance Monitoring Section /Compliance Review Division and the Department of Labor. The WORK Center Director shall be responsible for internal monitoring of its programs, services, cash management, procurement, and property inventory as well as the monitoring of any services, programs or projects that are contracted to program operators and /or consultants. All WIA funding received by the City of Santa Ana will be included in the annual audit completed by an outside auditing firm for the City. IX. PERFORMANCE GOALS: SAWIB shall establish annual performance goals for the WORK Center for youth, adults and dislocated workers based on the common measures established for the Local Workforce Investment Area ( "LWIA "). Said performance goals shall be renegotiated between the parties hereto once the SAWIB has negotiated with the State each year. X. GOAL TRACKING: All partners in the One -Stop Delivery system have agreed to work toward the development of common performance goals and measures that will be in alignment with the stated goals of the workforce investment system, The WORK Center will work very closely with the local business community to assure placement goals will he met. The WORK Center will collect feedback from employers, analyze the information, and implement strategies for improvement. XI. DISPUTE RESOLUTION: The parties agree that any disputes shall be resolved in accordance with the SAWIB Policy Bulletin — Grievance Complaint Procedures - Non- Criminal, attached hereto and incorporated herein as Exhibit S. XIh SEVERABILITY: If any part of this MOU is found to be null and void, or is otherwise stricken, the rest of this MOU shall remain in full force and effect. XIII. MODIFICATION /TERMINATION: This MOU, along with all exhibits hereto, constitutes the entire agreement between the parties. This MOU may be modified, altered, revised, extended or renewed by mutual written consent of the parties, by the issuance of a written amendment, signed and dated by all parties. Updates to the budget and goals shall be made annually by the WORK Center, with approval of the SAWIB. Participation in this MOU may be terminated by giving no less than 251 -6 thirty (30) calendar days' prior written notice of intent to terminate to the other party. XIV. ASSIGNABILITY: None of the duties of, or work to be performed by, any of the parties hereto shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of each party hereto. All subcontracts and other agreements that relate to this MOU must be submitted and reviewed by each party hereto. XV. RECORDS RETENTION: All accounting records and evidence pertaining to all costs related to this MOU and all documents related to this MOU shall be kept available for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this MOU, or (b) costs and expenses of this MOU to which the WORK Center, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions, The WORK Center shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three -year period from and after the effective date of this Agreement. XVI. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The One -Stop Partners and /or the SAWIB will disclose to the City any invention, written product, computer program developed or data assembled as a result of performance of work under this Agreement within seventy -four (74) days of invention, development or assembly. The City, State of California, and U.S. Department of Labor ( "DOL ") will have the right to patent any invention and copyright any written product or computer program or data generated by any of the One -Stop Partners, subcontractors, and /or the SAWIB. Upon written request, all pertinent information, specifications and right, title and Interest shall be transferred to the designated agency. Each One -Stop Partner shall be notified of the City's requirements and regulations pertaining to patent rights with respect to any discovery or invention which arises or is developed in the course of or under any contract with the WORK Center. XVII. INVENTIONS, PATENTS AND COPYRIGHTS A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a DOL grant or agreement, the One -Stop Partner /SAWIB shall report the fact promptly and fully to the CITY. The One -Stop Partner /SAWIB shall report the fact to the Grant Officer at the DOL. Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery. The DOL and its representative(s) shall determine how the rights in the invention or discovery, including rights under any patent Issued thereon, will be allocated and administered in order to protect the public interest consistent with the 251 -7 "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. Coovright Policy. Unless otherwise provided in the terms of the grant or agreement, when copyright -able material is developed in the course of or under a DOL Grant or agreement, the City and the author that developed the work is free to copyright material or to permit others to do so. The One -Stop Partner and the SAWIB shall have a royalty -free, nonexclusive and Irrevocable license to rgproduce, publish, use and to authorize others to use all copyrighted material, 2. The DOL reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub - grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a contractor purchases ownership with grant support; and (c) Each One -Stop Partner and the SAWIB shall comply with the requirements of 29 CFR Part 97.34. C. Rights to Data. The DOL and the City shall have unlimited rights to any data first procured or delivered under this Agreement. XVIII. BRANDING: The parties acknowledge that the official name for the statewide system of providing employment and training through the WIA partnerships and various other local programs is "America's Job Center". To achieve the goals of this grant, it is important that the public has a quick and easy method to identify that the projects or programs they are taking part in are part of the "America's Job Center". The parties agree to place the America's Job Center logo, in accordance with the State of California guidelines for such use, on all public materials such as statements, press releases, brochures, advertisements, reports and other documents describing projects or programs funded in whole or in part with WIA funds, When the America's Job Center logo is used, the parties may accompany it with the following statement, "The (Program Name) Is a proud partner of the America's Job Center network ", The parties shall not use the America's Job Center logo in any manner that would imply that the State of California endorses a commercial product, service or activity. XIX. CLEAN AIR/CLEAN WATER: If the grant hereunder exceeds $100,000, Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental Protection Agency ( "EPA ") regulations (40 CFR Part 15) as any may now exist or be hereafter amended, must be adhered to. Under these laws and regulations, assurances will be made to the following effect: 251 -8 (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) Notification will be made prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, Indicating that a facility to be utilized for the grant Is under consideration to be listed on the EPA List of Violating Facilities; (c) Notification will be made to the City and the EPA about any known violation of the above laws and regulations. XX. AUTHORITY AND SIGNATURES. The individuals signing this MOU or its attachments have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. 251 -9 All parties are in agreement with this Extension of Memorandum of Understanding and will implement it as herein stated. ATTEST: CITY OF SANTA ANA By: Maria D. Huizar David Cavazos Clerk of the Council City Manager APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney BY: Lisa E. Storck Assistant City Attorney "SAWIB" Santa Ana Workforce Investment Board BY: Lee McMurtray, Chair 251 -10 EXHIBIT A WIA Local Plan Program Year 2014 -15 Title 113 Participant Plan Summary WIA 118; 20 CFR 661.350(a)(13); TELL 17 -05 Plan the number of individuals that are in each category. Totals for PY 2013 (07101113 through 0613D114) Core Self Services ®4 M" 1. Registered Participants Carried in from PY 2014 104 142 5 2. New Registered Participants for PY2015 99 114 117 3, Total Registered Participants for PY 2015 (Line 1 plus 2) 304 256 120 4. Exlters for PY 2014 228 152 130 _ 5. Registered Participants Carried Out to PY 2015 tine 3 minus 4) 76 104 110 6. Core Self Services ®4 '' i. pq,;. ®.,' .�-' 16 Core Reglstered Services 13, Remained with Layoff Employer = 8. IntensIve Services 15, Entered Advanced Training` a�8w. 16. Entered Postsecondary Education 17. Entered Apprenticeshlp Program 12. Entered Employment ISMh r 91 137 12A. Training- related 16 13 13, Remained with Layoff Employer = 14. Entered Military Service 15, Entered Advanced Training` a�8w. 16. Entered Postsecondary Education 17. Entered Apprenticeshlp Program 18. Returned to Secondary School 19. Exited for Other Reasons Santa Ana LWIA Local Workforce Investment Area Contact Person, Title Telephone Number Date Prepared Comments: FWSD12 -14C DRAFT 6113 Page 1 of 1 251 -11 t"Xhibit A ATTACHMENT 5 WIA Local Plan Program Year 2014 -15 Title IB Budget Plan Summary' (Adult) WIA 118; 20 CFR 6e1.350(a)(13) PROGRAM TYPE for PY 2014 -15, beginning 07/01/14 through 06 /30/15 M Grant Code 201/202/203/204 WIA 113-Adult Ci Grant Code 601/502150504 WIA IB- Dislocated Worker I. Year of Appropriation 2018 -14 2014 -15 2: Formula Allocation 1,181,097 1,123,528 3, Allocation Adjustment - Plus or Minus 4: Transfers - Plus or Minus 5, TOTAL FUNDS AVAILABLE (Lines 2 thru 4) 1,181 097 1,123,528 I _ 6, Program Services sum of Lines 6:A thru 6,E �c?=c1. �8_..A�Suil.' 1,052,987 E�-FO eJtiW, vlYei`dYd �"'t`,2rili r�::i:l I� lI 11011,176 A. Core Self Services B, Core Registered Services 31,331 114,000 C, Intensive Services 343,797 286,000 D. Training Services 236,910 224,705 E. Other 450,960 387,470 7, Administration Line 5 minus 6) 118,110 112,363 8. TOTAL (Line 6 plus 7 1,181,097 1,123,628 P. September 2013$"r° 10. December 2013 166,392 11. March 2014 500,029 12. June 2014 800,029 Soli .;..!:..: .,':i'• 13. September 2014 1,100,029 14. December2014 1181,097 160,504 15. March 2015 428,011 16, June 2015 695,618 17. September 2015 —_ 963,026 18. December 2016 19. March 2016 - 20, June 2016 1,070,027 1,123,528 21. % for Administration Expenditures (Line 7 /1-ine 5) 10% 10% Santa Ana Local Workforce Investment Area 30- Jun -14 Contact Person, Title Telephone Number Date Prepared I Refer to 20 CFR Part 667.160 and WIA Directive WIAD01 -10 for guldanoe and Inform atlon regarding local area obllgatlon rates, and recapture and reallocation pollcles and procedures, FWSD12 -14D Page 1 of 1 5/13 251 -12 EXhlbit A ATTACHMENTS WIA Local Plan Program Year 2014.15 Title IB Budget Plan Summary' (Dislocated Worker) WIA 118; 20 CFR 661.350(a)(13) PROGRAM TYPE for PY 2013.14, beginning 07/01/14 through 06/30/15 © Grant Code 201/202/203/204 WIA IB -Adult 2 Grant Code 6011502/503/504 WIA IB- Dislocated Worker 1, Year of A ro nation 2013 -14 2014 -15 2, Formula Allocation 807,310 717,405 3. Allocation Adjustment- Plus or Minus 4. Transfers - Plus or Minus 5, TOTAL FUNDS AVAILABLE (Lines 2 thru 4) 807,310 717,405 6. Program Services sum of Lines 6.A thru RE 726,679 645,664 A. Core Self Services B, Core Registered Services 25,669 76,000 C. Intensive Services 295,827. 203 000 D. Training Services 161,775 143,480 E• Other 242,288 223,164 7. Administration (Line 5 minus 6) 8D,731 71,741 8• TOTAL Line6 plus 7) 807,310 717,405 9. September 2013 �i`_fr;�'�,-,"u�,� � 10, Deoember2013 204,873 s F yO E' 11. March 2014 390,410 :?=n- 12. June 2014 690,4104 _7,haw1 ?e_ 13. September 2014 790,410 14, December 2014 807,310 69,784 15, March 2016 209,243 16. June 2015 368,702 17, September 2016 478,270 18, December 2015 a 697,838 19, March 2016 _ 657,622 20. June 2016 - 717,405 I'' 3rvw i-4c. - 21• % forAdministrationExpenditures (Line7/Line5} Santa Ana Local Workforce Investment Area 30- Jun -14 Contact Person, Title Telephone Number Date Prepared Comments: 1 Refer to 20 CFR Part 667.100 and WIA Noctive WIAD01.10 for guidance and Informatlon regarding local area obligatlon rates, and recapture and reallocation policies and procedures FWSD12 -14D Page 1 of 1 5113 251 -13 EXHIBIT A The City of Santa I SANTA ANA w WORK CENTER 251 -14 EXHIBIT A EXECUTIVE SUMMARY The concept of the "Daisy Wheel" service delivery was adopted in 2002 by the Santa Ana Youth Council to provide an "All Youth One System ", where resources would be leveraged from a network of Youth Service Providers now known as the Youth Service Provider Network (YSPN), The concept allowed youth regardless of eligibility to receive services from the various Service Providers and the Santa Ana W /O/R/I{ Center (SAWC), The Workforce Investment Act (WIA) requires that ten program elements be delivered in a developmental approach to allow youth to receive resources that will help them overcome barriers to education and employment. The WIA ten elements require a collaborative, coordinated and sequenced approach to assisting youth served with WIA funds. The YSPN was formulated with this principle in mind so that no one Service Provider would have to provide all ten elements, allow more youth to be served by the Service Providers through other non -WIA funding streams, and to streamline services provided to youth. The YSPN consists of Service Providers that collectively offer the ten WIA. program elements in a creative and interactive manner. The concept allows the Service Provider to focus on what service they specialize in and do best. This, however, is not possible without the role of the Service Navigator. The role of the Service Navigator is critical to promote broad -based coordination and cooperation among all youth Service Providers and to provide the technical assistance needed to make the network a success. Funded through the Santa Ana Workforce Investment Board (WIB) and acting as the Youth Service Navigator, the City of Santa Ana W /O /R/I{ Center (SAWC) assumes the primary responsibility of determining youth eligibility, providing technical assistance, reviewing JTA/MIS forms for completion and accuracy, training new providers, sharing best practice in case management, providing Labor Market hzformation, overseeing the placement, exit, and follow -up services for youth, as well as being an active member on the Youth Council Board. As the Service Navigator, the SAWC will work cooperatively with all Service Providers from the initial outreach, recruitment and intake process to the successful completion, exiting, and follow -up of all WIA youth enrolled in the YSPN. As the Service Navigator, the SAWC brings to the YSPN over 30 years of extensive experience administering a variety of Federal and State funded programs, Staff is well versed in both programmatic and fiscal requirements. As an on -going effort, the SAWC has made it a priority to keep staff updated and trained on all State and Federal workforce legislation pertinent to various targeted programs. Since the inception of the YSPN, the SAWC has been instrumental in helping the Network meet the required performance measures through consistent oversight and guidance in intake, eligibility, case management, exit, and follow -up. Moreover, through its partnership with local businesses and organizations, the SAWC has a comprehensive realm of services and resource available to the YSPN and the youth they enroll. The SAWC will maintain communication with the youth Service Providers during the tern of the contract by coordinating monthly meetings with all Service Providers for program, legislation, MIS /JTA paper work updates, and to address any questions or concerns they may have. Individual meetings with Service Providers will also be arranged to assist and address individual issues or questions, The SAWC will assist with the marketing, recruitment, outreach, and placement efforts of the YSPN. Ultimately the SAWC's goal is to provide the assistance and tools necessary to allow the Service Providers to focus on providing streamlined services to the youth of Santa Ana. A more detailed description on how the SAWC will function as the Service Navigator is explained below. 251 -15 EXHIBIT A OUTREACH AND RECRUITMENT Since the development of the YSPN, the SAWC has made it a priority to inform the public of the services and programs available through the YSPN. Through its partnerships and collaboration with community agencies, the SAWC has been engaged in planning and participating in community events, job fairs, resource fairs and conducting presentations to connect youth with the YSPN programs. Some of the major events in which the SAWC participates include the Annual Summer Youth Job Fair hosted by Employment Development Department (EDD), the Senior Transitions Day hosted by the Santa Ana Unified School District (SAUSD) and other annual events hosted by Segerstrom, Century High Schools in Santa Ana and Youth Summit, a collaboration between the Santa Ana Councilman Roman Reyna and the Boys & Girls Club of Santa Ana. Utilizing the relationships we have established with the SAUSD, EDD, Orange County Probation, O.C. Social Services Agency and the Orange County Department of Education and many more, the SAWC has been able to deepen its outreach effort to a much broader base of youth, parents, and educators in the community. The SAWC recognizes the importance of marketing the entire YSPN and its comprehensive service programs. Every effort is made to ensure that staff markets the network at all job fairs, youth oriented recruitment and outreach events, thus, benefitting all Service Providers. TRAINING & TECIRUCAL ASSISTANCE For more than 30 years, the SAWC staff has successfully administered and implemented many federally Kid state funded employment and training programs. As an on -going effort, the SAWC has made it a priority to keep staff updated and trained on all State and Federal workforce legislation pertinent to various targeted programs. Over the years, staff has kept abreast with the latest workforce trends and legislative changes to ensure compliance with state and federal regulations. Staff has developed comprehensive training manuals, policies, procedures and conducted regular training for all Service Providers using a customer fiiendly and easily understood format. Since the inception of the Daisy Wheel YSPN in 2002, staff has also translated various complex system measurements and mandatory reporting requirements into an easily understood format for the YSPN Service Providers. As the Service Navigator, the SAWC has organized and developed the following training for all Service Providers not only to broaden staffs knowledge, but also to stay current and be in compliance with our state and federal regulations; • What is WIA7 • Enrollment Strategies • Case Management Strategies • Co- Enrollments • Credential Information • Fiscal Invoicing • Fiscal Responsibility • Common Measures • New Enrollment Intake • Eligibility /Income Calculations • Case Notes • Exit Strategies • Follow -up training • Disability Awareness • CalJOBS Training For the past twelve years, the SAWC, as the Service Navigator, has met with the YSPN on a monthly basis to provide monthly reports and the status of their case loads. At the monthly YSPN meetings, the SAWC reports on enrollments, activities, co- enrollment, exits, aid follow -ups. As needed, the SAWC also conducts in- service training for the Service Providers and alerts them of any changes to paperwork as 251 -16 EXHIBIT A well as modifications to process and procedures. The monthly YSPN meeting also provides staff an opportunity to share theist best case management practices and updates on the changes occurred within each Service Provider. One of the goals has been to provide the YSPN with all the tools necessary to allow them to focus on providing services to the youth in Santa Ana. The SAWC continues to avail itself to all Service Providers for individualized training and technical assistance. At times, when Service Providers have experienced staff turnover, the SAWC staff readily provided needed transitional and customized training to ensure continuity and consistency of service delivery. Examples of training include eligibility requirements, intake process, activity setting, case management techniques, performance management, internal Provider policies & definitions, exit strategies and follow -up techniques. The trainings were tailored to meet the specific needs of each Service Provider. The technical assistance mentioned abovAas proven to be beneficial when State Monitors have performed audits of our YSPN youth files, documentation, process, and data validation. Of the last audits we received this past year, there were no major finding and their observations were positive. JOB DEVELOPMENT & PLACEMENT The SAWC has a comprehensive realm of services available through its partnership with local businesses and organization. The SAWC works with local businesses new and old to promote their job opening through our ou -site hiring recruitments. Businesses come to the SAWC and do on -site interviewing for their job opening. Many have been hired through our on -site recruitments and on-the-job training. We work with business to train our customers with the goal of hiring them after their on the job training is completed. It is through our experience, expertise, and partnerships with businesses and community partners, we are able to provide the community with quality job placement assistance and offer connections to a strong labor market. The SAWC will offer assistance and guidance in job placement by notifying Service Providers and youth of job opportunities, employer on -site hiring recruitments, and job fairs. SAWC will notify Service Providers daily via electronic mail and/or flyers regarding job annorncoments. The Youth Help Desk will also be available to assist youth looking for employment by providing them with job search assistance, job openings, resume assistance, labor market information and demand occupations. Furthennore, the SAWC integrated ono-stop service system and various partners including EDD, allows more individual assistance for our older youth to find employment. Workshops on resume writing and interviewing techniques are just a few of the added components to help them find employment. PERFORMANCE MANAGEMENT The SAWC, through its extensive experience in administering Federal and State funded programs, understands that WIA performance management is vital to the success of the YSPN. As the Service Navigator, the SAWC prepares and trains staff on WIA per£oruance measures and any new and updated legislation. Staff attends training through DOL and attends the annual California Workforce Association Conferences to stay updated with the most recent legislation and requirements regarding WIA. This is just one example of our commitment to helping the YSPN stay in compliance said in meeting all Federal, State, and locally mandated performance measures. The SAWC also provides training on Common Measures to allow all Servioe Providers to have a basic understanding of what Common Measures are and how they will affect them individually and as a network. The SAWC will provide all Service Providers with individual exit oversight. Staff will meet individually with caoh Service Provider to go over exit strategies for each youth actively enrolled on their case load 251 -17 EXHIBIT A and evaluate which youth are ready to exit the pro gram and how their exit will impact the overall success of the YSPN. The SAWC will train all Service Providers on how to exit and follow -up on their youth in order to comply with federal, state, and local regulations. Staff will use the Navigator data base to provide reports to the Service Providers and inform them of follow -up due dates for each participant at their 30, 60, 1st' 2n, 3', and 4"' quarter follow -up. The Service Provider will also receive updated charts and data informing them of their progress with WIA. Performance Measures — individually and as a Network. This will ensure that as a network we stay informed of our planned versus actual goal attainments and that we meet all performance measurements. ELIGIBILITY DETERMINATION The SAWC as the Service Navigator will assume the primary responsibility of determining WIA youth eligibility in accordance with Federal, State, and local rules and regulations, We will train Service Providers on the eligibility process, provide eligibility forms, calculate participant family income, determine participant eligibility, review and analyze participant activities, and process eligibility JTA/MIS forms. The SAWC has a designated Eligibility Technician with the experience and knowledge to determine WIA youth eligibility effectively. The Eligibility Technician will review all submitted pre - applications, barriers, verifying right to work documents, reviewing or registering young male adults to selective service, and determining income eligibility in accordance with the Poverty Guidelines. The Technician will also ensure that proper documentation for Equal Opportunity Grievance Procedure and Participant Grievance Procedure are recorded for each participant. Upon reviewing all eligibility documentations, the Technician will inform the Service Provider of its youth's eligibility status accordingly. Moreover, the Eligibility Technician will review enrolled participant activities to ensure their accuracy, record the participants' information in a database in order to produce reports necessary to keep Service Providers informed, and forward accurate JTA forms to MIS personnel, Recommendations, suggestions or corrections are given to each Service Provider for each participant enrolled as needed to ensure that the eligibility requirements have been met and that enrollment goals for each program and the YSPN as a whole are reached. An Eligibility Flow Chart is attached (ace attachment A) to provide a better understanding of how eligibility is processed. COMPLETING JTA & MIS FORMS The State is in the process of launching The New Ca1JOBS system which will replace the Job Training and Automation system (JTA). The JTA system will be archived and retired once implementation is complete. Once the merging of the two systems is fully operational we will make any needed changed to the process mentioned below and train all providers on the now system as needed. Until the changes take place, the SAWC will continue to ensure that JTA/MIS forms are completed accurately and submitted within the allotted timeframe. We will review all JTA/MIS forms to ensure accuracy and compliance with Federal, State, and Local guidelines. All Service Providers will be provided JTA/MIS forms, training on completion of JTA/MIS forms, and a JTA /MIS Time Line Policy. SAWC staff will be available to answer questions and provide technical assistance to all Service Provider regarding any forms. JTA/MIS forms are processed in a chronological order by the. Service Provider and the SAWC. Once the application, enrollment, and youth test score forms are submitted to the SAWC for enrollment, it is the responsibility of the Service Navigator to ensure that all information is accurate, including documented 251 -18 EXHIBIT A youth test scores, enrollment activities, education status, in addition to malting sure all forms have appropriate signatures and dates It is very important to track key information from each form in order to produce reports for Service Providers, track performance outcomes, and have the information readily available to provide guidance to the Service Provider on how to proceed with their participants at any given period, The SAWC has developed its own tracking database tailored to provide the above capabilities while giving itself the flexibility and information to provide the YSPN with specialized technical assistance. In addition to the tracking system, a reference file has been created for each youth enrolled in the YSPN in order to track JTA/MIS forms and ensure accuracy of information. The SAWC will make copies of the completed JTA/MIS forms and forward them to the MIS Unit for entry into the State data system for official enrollment. Copies of the JTA /MIS forms with an official stamp will be returned to the corresponding Service Provider. As youth activities are updated or closed, the Service Provider is to submit JTA/MIS forms along with data verification, if necessary. The SAWC will ensure their accuracy, input the data into the tracking system, duplicate the forms, and submit the forms to the MIS Unit for official recording. Once a Service Provider is ready to exit a youth participant, SAWC is consulted to determine the best exit strategy. The objective is to make sure that the youth has received quality and necessary assistance to improve their situation and meet WIA Performance Measures. As the Service Navigator, the SAWC is responsible for reviewing every exit form, requesting data validation if necessary for all outcomes claimed, obtaining post -test score forms, malting sure that all activities are closed, and ensuring that exiting the youth is in the best interest of the youth first and then to the YSPN as a whole, Once that has been established, all exit forms and pertinent information are inputted into the tracking system and copies are made and sent to the MIS unit for entry into the JTA system. Follow -up services will be conducted for one year for each exited participant by the responsible Service Provider. Follow -Up forms will be submitted to the SAWC for review, for input into the tracking system, for data validation, and to enter into the JTA system. CUSTOMER SATISFACTION Measuring customer satisfaction has always been an integral part of the YSPN program operation. As the Navigator, the SAWC is responsible collecting and analyzing customer satisfaction for the YSPN. A customer satisfaction survey tool for the youth has been developed for those enrolled in the YSPN (see attachment B). The SAWC will randomly survey participants enrolled and exited from the YSPN dining the term of the program. In addition, all customer satisfaction outcomes will be reported to the Youth Council Staff for their review. We are committed to providing exceptional customer service and will strive for continuous improvement utilizing data collected and by sharing this valuable information with all youth Service Providers. FISCAL OVERSIGHT The SAWC is responsible for processing Service Provider invoices and reimbursement requests. It is the responsibility of the SAWC to ensure that all Service Providers understand that the utilization of WIA funds is to be reasonable, allowable and allocable as required by Office of Management and Budget (OMB) circulars, Code of Federal Regulations, EDD Directives and City of Santa Ana policies. The accounting staff provides a mandatory annual training to all Service Providers fiscal staff regarding the necessary requirements for invoicing their program expenses. 251 -19 EXHIBIT A The Santa Ana WIB is required by federal regulation to conduct a fiscal monitoring of all programs funded by WIA. Onsite monitoring must occur at least once during the program year and includes review of fiscal records as well as policies and procedures, A written report delineating findings will be provided to all providers that will include any needed corrective actions, a tuneline for accomplishing the corrective actions and include any follow -up on corrective actions. The City of Santa Ana (COSA) accounting staff establishes a monitoring schedule for visiting each program operator in the YSPN, During the review, financial records are sampled to ensure accuracy and compliance with federal, state and local regulations. Technical assistance is offered when necessary to establish and maintain accurate accounting procedures. COSA accounting staff works with the service provider's fiscal staff to resolve any issues that arise from the monitoring, Staff follows up with the program operators to resolve findings and maintain financial records as required by regulations. FISCAL CAPACITY The SAWC is a part of the City of Santa Ana. All fiscal and procurement operations follow the policies 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 produced based on charges to those accounts. The monthly reports indicate the line item budget amounts, expenditures against the budget and the balance remaining for each account and funding program, Accounts Payable YSPN service provider invoices with accompanying documentation are received and reviewed by the WIB staff for allowable and reasonable expenditures and for completeness of documentation. Any discrepancies are reported back to the Service Provider with requests for additional docmmentation as needed. The invoices are assigned account numbers and approved for payment by the COSA Finance department Accountant assigned to WIA, Staff prepares the request for payment, attach the necessary documentation and forward to the Finance Accounts Payable unit for entry into the City's accounting system. Checks are issued according to City policies and timetines. General operating costs of the SAWC are processed in a. similar manner. Invoices are reviewed by the accounting staff who assigns the relevant account code based on the chart of account established by the City. The invoices are approved and forwarded for processing and payment. At the end of the month, expense reports are prepared by account and distributed to the various agencies within the City. payroll As part of the City of Santa Ana, SAWC staff is paid twice a month. Time sheets are completed by all staff indicating functions and programs that have been worked on during that particular pay period. That information, with the accompanying account numbers, is entered into the payroll system by the Senior Accounting Assistant. Payroll dollar amounts are posted to the accounting system and are reflected on the monthly financial reports. Procurement The SAWC follows the City of Santa Ana's procurement policies as well as federal and state regulations related to procurement. Purchase requisitions for items over $500 are entered into the accounting system and approved by the finance staff at City Hall, Buyers from the Purchasing Department review the requisitions and issue purchase orders following City policies and procedures, When the goods are received by SAWC, staff compares the goods delivered to the purchase requisition for completeness and 251 -20 EXHIBIT A accuracy. The purchase order paperwork is approved, signed and returned to the Purchasing department. Payment for the goods is initiated through the Purchasing department following City procedures. ORGANIZATAIONAL STRENGTHS The SAWC brings over 30 years of experience operating various federally, state and locally fimded employment and training programs, and has consistently met or exceeded performance expectations. Listed below are some of our organizational strengths. 1. A state recognized, award - winning entity with a proven record in leadership, workforce innovation, service integration and quality services. 2. A One -Stop Center with versatility in its service delivery that is capable of addressing the needs of diverse target populations resulting in the diversification of multiple funding streams. 3. Ability to effectively leverage resources across an extensive network of partner agencies and community organization. Demonstrated fiscal stability and program sustainability over the past 20 years. 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 fanded — 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 Reinvestrneat 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 as well as any pending legislative changes and to share the information with network service providers. 6. Has a fully developed internal monitoring and performance management system in place. Comprehensive and time - tested policies and procedures manuals are updated regularly. 251 -21 Attachment A EXHIBIT A Training on eligibility protocol is provided by Youth Service Navigator i Youth Service Navigator supplies and maintains eligibility forms for al( Providers Participant In-Take Providers interview participants and have them till out the eligibility intake packets Submit • • Packets to SAWC Providers submit eligibility packets to the Youth Service Navigator for eligibility review v SAWCcroates a Poe for each enrolled youth to reference eligiblity documents, MIS paperwork, and data verification 251 -22 EXHIBIT A Budget For Administrative Total WIA Cost (Not to Total Cost Match/in hind Exceed 10%) Proeram Cost Workforce Specialist IV _ FTE, Workforce Specialist II —1.0 FTE, Senior Office Assistant 4 % FTE, Administrative Aide (PT) - 0.50 FTE, Special Employment Counselor II (PT) -0.50 FTE $234,785.00 Personnel8eriefits Benefits based on salaries listed above $68,395.00 Contractual Services Rent $17,380.00 $17,380.00 Phones $2,040.00 $2,040.00 Security $105.00 $105.00 Training and Conferences $1,500.00 $1,500.00 Commodities Miscellaneous Office Supplies $4,230.00 $4,230.00 Fixed Charges Vehicle lease* $1,385.00 $1,385.00 IT Maintenance $130.00 $130.00 IS Strategic Plan $4,235.00 $4,235.00 Insurance $8,240.00 $8,240.00 Indirect Cost* $14,415.00 $14,415.00 Miscellaneous Transportation Passes $1,000.00 $1,000.00 IO 251 -23 EXHIBIT B SANTA ANA WORKFORCE INVESTMENT BOARD W01 KW II OWL I Grievance Complaint Procedures -Non Criminal Effective: 7/11/2001 Number: SA17 Revised; 9 -7 -06 Replaces: 07101 POLICY STATEMENT Job training funds are provided to the City of Santa Ana, the Local Workforce Investment Area (LWIA), under an agreement with the State of California Workforce Investment Act Division /Employment Development Department. The City of Santa Ana has assured the WIB /EDD that a complaint resolution procedure is available to all Individuals who have a complaint alleging a non - criminal violation of the Workforce Investment Act (activities and programs), its regulations, grant or any agreements under the Workforce Investment Act. REFERENCES • Public Law 105.200: 29 U.S. Code Sec. 2931 et seq • WIA §181(c); 20 CFR 667.600 -640 • Directive WSD08 -4 III. OVERVIEW The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 667.600 through 667.640 of the WIA regulations, and Section 181 (c) of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at LWIA level for the receipt, investigation, hearing, and resolution of complaints by WIA participants, subrecipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non - criminal complaints arising from the operation of the Santa Ana LWIA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub - agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which 251 -24 EXHIBIT B concern policies, procedures or action(s) arising in connection with WIA programs operated by each LWIA grant recipient and sub - recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIA complaint process (i.e„ disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non -WIA complaint. Also, these procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. IV. GRIEVANCE COMPLAINT PROCEDURES A. GENERAL INFORMATION All persons filing a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his /her complaint to correct technical deficiencies but not to add issues. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. Upon enrollment into employment or training programs, participants shall be provided with a written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private - for - profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. A "participant', within the meaning of these procedures, is an Individual who receives employment - training services under a program funded by Santa Ana LWIA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be, used to resolve disputes regarding terms and conditions of employment of any employee who is not a participant. as defined herein. Complainants must initially file and exhaust LWIA grant recipient/hearing procedures prior to appealing to the State except where the State determines 251 -25 EXHIBIT B that the LWIA grant recipient's procedures are not in compliance with the State's procedures. There are two phases of complaint resolutions, the informal and the formal. B. INFORMAL PROCESS Informal conferences will be utilized by the Santa Ana LWIA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint, Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. The supervisor or authorized representative will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. If mutually satisfactory resolution results and the Santa Ana LWIA concurs, the supervisor or an authorized representative will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed, If resolution does not result, the complainant shail be provided the necessary information and assistance to request a formal hearing if he /she so desires. C. FORMAL PROCESS All complaints must be made in writing within one year of the alleged occurrence, except complaints alleging fraud or criminal activity. Official filing date of the complaint is the date the written complaint is received. All complaints shall be signed by the complainant or his or her representative; Have it sworn to before a notary public, if possible, If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation Contain the complainant's name address or other means of contacting him or her. Give the name and addresses of all persons who were present or who had anything to do with the matter, Identify the respondent; and Provide details that tell what happened, where it happened, and when it happened. 251 -26 �P_ If possible, include provisions under the Act, regulations, grant or other agreements under the Act are believed to have been violated. Include the remedy sought by the complainant. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step, i If the complaint is resolved prior to the LWIA's formal fact- finding conference, the LWIA will notify the complainant in writing of the final resolution and the reasons for the action. The complainant will provide a written withdrawal of the complainant 10 days of the receipt of the notice of resolution, Complaints shall be filed with: Anita Queen, Equal Opportunity Officer, 20 Civic Center Plaza, City Hall -5t" Floor Santa Ana, CA 92701 (714) 647 -5157, TDD /TTY (714) 656 -2669. A fact finding hearing will be conducted within 30 days of receipt of formal written complaint. D. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten -day notice may be shortened with the written consent of the parties. The hearing notice shall be in writing and contain the following information: The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. The date, time, and place of hearing before an impartial hearing officer. A statement(s) of the alleged violatlon(s) Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWIA Equal Opportunity (EO) Officer who can answer inquiries. 4 251 -27 EXHIBIT 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 flexibillty to enable adjustment to the circumstances presented. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWIA or its sub- recipients, The hearing officer will be selected from a list of names on file with the EO Officer. Full regard must be given to the requirements of due process to insure a fair and impartial hearing, The hearing office designated by the EO Officer to function in a quasi - judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. It is important that the hearing officer obtain the fullest information for the record. If the parties involved, or their representatives, do not know how to ask the right or pertinent questions in pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited. The practice in these type of hearings is generally not to apply strict rules of in obtaining facts, However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWIA for final determination. The recommended 251 -28 EXHIBIT B decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Investment Board, F. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWIA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: The name of the parties involved. A statement of the alleged violation and issues related to the alleged violation. A statement of the facts. The decision and the reasons for the decision. A statement of corrective action, if any, to be taken. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. The final disposition of the complaint at the LWIA level will be issued to the complainant in writing along with a listing of further options, i.e„ filing with the State of California, Compliance Review Divison. G. Record of Hearing An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWIA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWIA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three -year period after the grant has been officially closed out. The Santa Ana LWIA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. H. Appeal at the State Level If during the 60 -day period, the LWIA offers the complainant a resolution of the complaint, but the resolution offered is not satisfactory to the complaint, the complainant, or his /her representative may file an appeal with the State of California Compliance Resolution Department, This also applies if the LWIA has 251 -29 EXHIBIT B not completed its processing of the complaint or has failed to notify the complainant of the resolution. The complainant, or his /her representative may, file a complaint with the State of Californla /EDD Compliance Review Division, MIC 22, Employment Development Department, P.O. Box 826880, Sacramento, CA 94280 -0001. Legal Representation & Alternative Dispute Resolution Both the complainant and the respondent have the right to be represented by an attorney of other individual of his or her own choice. Alternative dispute resolution (mediation) is available at the request of the complainant. Mediation is a voluntary process during which a neutral third party assists both parties (complainant and respondent) communicate their concerns and come to an agreement about how to resolve the dispute, case may be taken to court if the other processes do not yield satisfactory results. 251 -30