WDB Board Meeting

CCIITTYY OOFF SSAANNTTAA AANNAA WWOORRKKFFOORRCCEE DDEEVVEELLOOPPMMEENNTT BBOOAARRDD RREEGGUULLAARR MMEEEETTIINNGG AAGGEENNDDAA JANUARY 16, 2020 8:00 A.M. RANCHO SANTIAGO COMMUNITY COLLEGE DISTRICT BOARD ROOM 107 2323 N. BROADWAY, SANTA ANA, CA 92706 Proud Partner of America’s Job Center of California Network Stacey Sanchez Chairperson David Elliott Vice-Chairperson Board Members Ignacio Alegre Brent Beasley Simon Gonzalez Jack Haley Marjorie Knitter Patrick Korthuis Priscilla Luviano Enrique Perez Dr. Linda Rose Robert Ruiz Darren Rutledge Christine Snapper Bob Tucker Dennis Varnum Andy Wadhera Ryan Hodge LEGAL COUNSEL Steven A. Mendoza EXECUTIVE DIRECTOR COMMUNITY DEVELOPMENT AGENCY Bianca Zurita RECORDING SECRETARY Comments may be emailed to eComments@santa-ana.org before the Workforce Development Board meeting and will be made part of the record. If you need special assistance to participate in this Santa Ana Workforce Investment Board meeting, please contact Michael Ortiz, City ADA Program Coordinator, at (714) 647-5624. Please call prior to the meeting date, to allow the City enough time to make reasonable arrangements for accessibility to this meeting. [Americans with Disabilities Act, Title II, 28 CFR 35.102]

SAWDB AGENDA 2 JANUARY 16, 2020 WORKFORCE DEVELOPMENT BOARD MEETING INFORMATION Five-Year Strategic Plan (2014-2019) Detailed information at: http://www.santa-ana.org/strategic-planning/ Vision, Mission and Guiding Principles - The City of Santa Ana is committed to achieving a shared vision for the organization and its community. The vision, mission and guiding principles (values) are the result of a thoughtful and inclusive process designed to set the City and organization on a course that meets the challenges of today and tomorrow. Vision - The dynamic center of Orange County which is acclaimed for our: •Investment in youth •Safe and healthy community •Neighborhood pride •Thriving economic climate •Enriched and diverse culture •Quality government services Mission - To deliver efficient public services in partnership with our community which ensures public safety, a prosperous economic environment, opportunities for our youth, and a high quality of life for residents.” Guiding Principles •Collaboration •Efficiency •Equity •Excellence •Fiscal Responsibility •Innovation •Transparency Strategic Plan Goals/Objectives/Strategies: Goal 1 - Community Safety Goal 2 - Youth, Education, Recreation Goal 3 - Economic Development Goal 4 - City Financial Stability Goal 5 - Community Health, Livability, Engagement & Sustainability Goal 6 - Community Facilities & Infrastructure Goal 7 - Team Santa Ana CODE OF ETHICS AND CONDUCT - The people of the City of Santa Ana, at an election held on February 5, 2008, approved an amendment to the City Charter of the City of Santa Ana which established the Code of Ethics and Conduct for elected officials and members of appointed boards, commissions, and committees to assure public confidence. A copy of the City’s Code can be found on the Clerk of the Council’s webpage. The following are the core values expressed: Integrity · Honesty · Responsibility · Fairness · Accountability · Respect · Efficiency AGENDA DESCRIPTION - The agenda descriptions provide the public with a general summary of the items of business to be considered by the Commission. The Commission is not limited in any way by the “Recommended Action” and may take any action which the Commission deems to be appropriate on an agenda item. Except as otherwise provided by law, no action shall be taken on any item not listed on the agenda. AGENDA & MINUTES - Staff reports and documents relating to each agenda item are on file in the office of the Community Development Agency and are available for public inspection during regular business hours, 8:00 a.m. – 5:00 p.m., Monday through Thursday and alternate Fridays. The Community Development Agency is located in City Hall, 20 Civic Center Plaza, 6 th Floor, Santa Ana, California, (714)647-5360. Commission meeting agendas, staff reports, and minutes are available 72 hours before a Commission meeting at the following website address: www.santa-ana.org. PUBLIC COMMENT - Pursuant to Government Code Sec. 54954.3, the public may address the Commission on any and all matters within the Commission’s jurisdiction. To speak, please register by submitting a completed “Request to Speak” form to the Commission Secretary. Speaker forms will be available at the meeting. To speak on an item on the Agenda, enter the Agenda item number on your speaker form. The Chairperson will call your name when the Agenda item is considered. To speak on an item not on the Agenda, check the public comments box on your speaker form. The Chairperson will call your name during the Public Comments portion of the meeting. When speaking, please state your name and address. Limit your remarks to three (3) minutes. The number of speakers and allotted time may be limited at the discretion of the Chairperson. CONSENT CALENDAR - All matters listed under the consent calendar are considered to be routine by the Workforce Development Board and will be enacted by one motion without discussion. A member of the Commission may “pull” any item from the consent calendar for a separate vote. SENATE BILL 343 - As required by Senate Bill 343, any non-confidential writings or documents provided to a majority of the Commission members regarding any item on this agenda will be made available for public inspection in the office of the Community Development Agency during normal business hours. TRANSLATION SERVICES - For translation services in other languages, contact the Recording Secretary, Bianca Zurita at 714-647-5360 no later than 48 hours prior to the scheduled meeting.

SAWDB AGENDA 3 JANUARY 16, 2020 SANTA ANA WORKFORCE DEVELOPMENT BOARD JANUARY 16, 2020 8:00 A.M. CONSENT CALENDAR All matters listed under the Consent Calendar are considered to be routine by the Santa Ana Workforce Development Board (WDB). These items will be enacted by one motion without discussion unless otherwise directed by the Chairperson. Persons wishing to speak regarding Consent Calendar matters should file a “Request to Speak” form with the Recording Secretary. RECOMMENDED ACTION: Approve staff recommendations on the following Consent Calendar Items 1 through 5. ADMINISTRATIVE MATTERS 1. REGULAR MEETING MINUTES OF MAY 16, 2019 RECOMMENDED ACTION: Approve Minutes. 2. EXCUSED ABSENCES RECOMMENDED ACTION: Excuse Workforce Development Board Member(s) absent. MISCELLANEOUS ADMINISTRATION 3. EMPLOYMENT DEVELOPMENT DEPARTMENT – LABOR MARKET INFORMATION RECOMMENDED ACTION: Receive and file. CALL TO ORDER Chairperson Sanchez Board Members: ALEGRE, BEASLEY, ELLIOTT, GONZALEZ, HALEY, KNITTER, KORTHUIS, LUVIANO, PEREZ, ROSE, RUIZ, RUTLEDGE, SANCHEZ, SNAPPER, TUCKER, VARNUM AND WADHERA STAFF: Deborah Sanchez, Econ. Dev. Specialist III PLEDGE OF ALLEGIANCE ROLL CALL Recording Secretary

SAWDB AGENDA 4 JANUARY 16, 2020 4. WORKFORCE DEVELOPMENT BOARD AND COMMITTEE MEETING SCHEDULE FOR CALENDAR YEAR 2020 RECOMMENDED ACTION: Ratify the action taken by the Executive Committee at their December 5, 2019 meeting 5:0 (Perez absent) to approve the meeting schedule for the Workforce Development Board and its committees for calendar year 2020. 5. APPROVE TRANSFER OF PY 2019-20 ROUND ONE ALLOCATIONS FROM DISLOCATED WORKER TO ADULT IN AN AMOUNT NOT TO EXCEED $40,000 RECOMMENDED ACTION: Ratify the action taken by the Executive Committee at their December 5, 2019 meeting 5:0 (Perez absent) to approve the transfer of Title I Workforce Innovation and Opportunity Act funds for Program Year 2019-20 Round One Allocations from Dislocated Worker to Adult in an amount not to exceed $40,000 and authorize staff to submit a Request to Transfer Funds to the Employment Development Department, Workforce Services Division. *** END OF CONSENT CALENDAR *** BUSINESS CALENDAR Matters listed on the Business Calendar are generally items requiring discussion or for items not previously reviewed by a WDB Sub-Committee. 6. APPROVE THE PARTICIPANT PERSONALLY IDENTIFIABLE INFORMATION POLICY RECOMMENDED ACTION: Approve the Participant Personally Identifiable Information Policy. *** END OF BUSINESS CALENDAR *** WORK STUDY SESSION 7. DISCUSS REVISIONS TO THE WORKFORCE DEVELOPMENT BOARD BY- LAWS • Chairperson may call for the formation of an Ad Hoc Committee *** END OF WORK STUDY SESSION ***

SAWDB AGENDA 5 JANUARY 16, 2020 BOARD MEMBER HIGHLIGHTS • Darren Rutledge, Guaranty Chevrolet • Dr. Linda Rose, Santa Ana College PRESENTATION Punishment Without Crime – Alexandra Natapoff Chancellor’s Professor of Law U.C.Irvine School of Law COMMITTEE REPORTS – None COMMENTS 8. PUBLIC COMMENTS AT THIS TIME the members of the public may address the Santa Ana Workforce Development Board (WDB) regarding any non-agenda items within the subject matter jurisdiction of the Santa Ana WDB. No action may be taken on non-agenda items unless authorized by law. 9. STAFF MEMBER COMMENTS AT THIS TIME City staff members may address the Workforce Development Board members regarding any non-agenda items within the subject matter jurisdiction of the Board. No action may be taken on non-agenda items unless authorized by law. 10. BOARD MEMBER COMMENTS AT THIS TIME Santa Ana Workforce Development Board members may comment on non-agenda matters and ask questions or give directions to staff. No action may be taken on non-agenda items unless authorized by law. ADJOURNMENT The next meeting of the Workforce Development Board is scheduled for March 19, 2020 at 8:00 a.m. at the Rancho Santiago Community College District Board Room 107, 2323 N. Broadway, Santa Ana, CA 92706

WDB MINUTES 1 MAY 16, 2019 MINUTES OF THE REGULAR MEETING OF THE SANTA ANA WORKFORCE DEVELOPMENT BOARD MAY 16, 2019 CALLED TO ORDER RANCHO SANTIAGO COMMUNITY COLLEGE DISTRICT BOARD ROOM 2323 N. BROADWAY, ROOM 107 SANTA ANA CA 92706 8:23 AM ATTENDANCE BOARD MEMBERS Present: BRENT BEASLEY, DAVID ELLIOTT, MARJORIE KNITTER, GREGORY LEWIS, PRISCILLA LUVIANO, ENRIQUE PEREZ, DR. LINDA ROSE, ROBERT RUIZ, DARREN RUTLEDGE, STACEY SANCHEZ, BOB TUCKER, DENNIS VARNUM, ANDY WADHERA (13) BOARD MEMBERS Absent: IGNACIO ALEGRE, DEBRA BAETZ, PATRICK KORTHUIS, BARBARA SMITH (4) STAFF Present: Steven Mendoza, Executive Director Deborah Sanchez, Economic Development Specialist III Carlos De La Riva, Economic Development Specialist III Beatriz Gonzalez, Workforce Specialist IV Sandy Barba, Workforce Specialist III Bianca Zurita, Recording Secretary PLEDGE OF ALLIGIANCE Chair Sanchez CONSENT CALENDAR MOTION: Approve staff recommendations for Consent Calendar Items 1 through 3: MOTION: Beasley SECOND: Ruiz VOTE: AYES: Beasley, Elliott, Knitter, Lewis, Luviano, Perez, Rose, Ruiz, Rutledge, Sanchez, Tucker, Varnum, Wadhera (13) NOES: None (0) ABSTAIN: None (0) ABSENT: Alegre, Baetz, Korthuis, Smith (4)1-1

WDB MINUTES 2 MAY 16, 2019 ADMINISTRATIVE MATTERS 1. REGULAR MEETING MINUTES OF JANUARY 17, 2019 MOTION: Approve minutes. 2. EXCUSED ABSENCES MOTION: Excuse Board Members absent – Baetz (1). MISCELLANEOUS ADMINISTRATION 3. EMPLOYMENT DEVELOPMENT DEPARTMENT – LABOR MARKET INFORMATION MOTION: Receive and file. *** END OF CONSENT CALENDAR *** BUSINESS CALENDAR 4. RECOMMENDATION TO AWARD $475,770 OF WORKFORCE INNOVATION AND OPPORTUNITY ACT FORMULA YOUTH FUNDS FOR PY 2019-2020 MOTION: Accept the ranking of youth proposals to be used to award Youth Provider agreements utilizing funds from the Workforce Innovation and Opportunity Act for a four-year procurement period ending June 30, 2023. Rank Score Organization Services # of Youth to Serve Youth Provider Requested Funding 1 91.3% OC Children's Therapeutic Arts Center Serve Youth with disabilities & foster youth; Exec. Admin Cert; Childcare Worker Cert; Paid WEX 22 $180,000 2 90.0 Project Kinship Serve Probation Youth, Guard Card; Forklift Cert; Silk Screening; Paid WEX 20 160,000 3 87.3 OC Conservation Corps Serve Probation Youth, Construction Training; Forklift Cert; Customer Service Cert; Paid WEX 25 200,000 4 82.3 Santa Ana Public Library Serve At-Risk Youth, Microsoft Office Cert; Digital Media Cert, Paid WEX 15 137,3661-2

WDB MINUTES 3 MAY 16, 2019 Recommend that the City Council direct the City Attorney to finalize and authorize the City Manager and the Clerk of the Council to execute agreements to award funds as part of the Workforce Innovation and Opportunity Act for a term beginning July 1, 2019 through June 30, 2020, subject to non-substantive changes approved by the City Manager and City Attorney. a. Orange County Children’s Therapeutic Arts Center to provide occupational skills training in the areas of office administration, childcare worker certification, career technical training in partnership with Santa Ana College, paid work experience, employment preparation, tutoring, mentoring, counseling, civic engagement and supportive services, for 26 youth in the amount of $199,770; b. Project Kinship to provide training in customer service, forklift operator, guard card, and silk screening, provide job preparation, paid work experience, mentoring, counseling, civic engagement, internships, post- secondary education resources, connections to the electrical and welding certificate programs, and supportive services for 20 youth in the amount of $160,000; c. Orange County Conservation Corps to provide alternative secondary education that leads to a high school diploma, offer credential training in forklift operator, safe food handling, customer service, state guard card, provide job preparation, paid work experience, post-secondary education resources, and supportive services for 14 youth in the amount of $115,000; Rank Score Organization Services # of Youth to Serve Youth Provider Requested Funding 5 76.6 Taller San Jose Healthcare, IT, construction or business administration training, Stipend 15 120,002 6 74.3 Goodwill Industries of OC Career exploration and guidance, Paid WEX 15 160,000 7 72.3 The Cambodian Family Tutoring, leadership, career development, whole family approach 15 167,000 8 68.3 Volunteers of America LA Construction/trades certs, health care certification, Office management, WEX 20 200.000 Total: $1,304,368 MOTION: Tucker SECOND: Beasley VOTE: AYES: Beasley, Elliott, Knitter, Lewis, Luviano, Perez, Rose, Ruiz, Rutledge, Sanchez, Tucker, Varnum, Wadhera (13) NOES: None (0)1-3

WDB MINUTES 4 MAY 16, 2019 5. SUBSEQUENT LOCAL AREA DESIGNATION AND LOCAL BOARD RECERTIFICATION FOR A TWO YEAR PERIOD - JULY 2019 TO JUNE 2021 MOTION: Authorize the Chair of the Workforce Development to sign the Subsequent Local Area Designation and Local Board Recertification for a two-year period expiring June 30, 2021 and direct staff to submit to the California Workforce Development Board. Recommend City Council authorize the Mayor to sign the Subsequent Local Area Designation and Local Board Recertification for a two-year period expiring June 30, 2021. 6. MEMORANDUM OF UNDERSTANDING WITH REQUIRED PARTNERS FOR COMPREHENSIVE AMERICA’S JOB CENTER OF CALIFORNIA MOTION: Direct staff to confer and update the Memorandum of Understanding with the Workforce Development Board and partners who are not collocated at the WORK Center for a three-year term expiring June 30, 2022 and authorize the Board Chair to sign. Direct staff to negotiate a Memorandum of Understanding with the Workforce Development Board and Homeownership OC which outlines the sharing of resources and expenses associated with the operation of a comprehensive one stop center for a term beginning July 1, 2019 to June 30, 2022 and reimbursement in the estimated amount of $23,033 and authorize the Board Chair to sign. Recommend the City Manager and City Clerk to execute the Memorandum of Understanding with the required non-collocated partners and co-located partner Homeownership OC subject to non-substantive changes approved by the City Manager and City Attorney. ABSTAIN: None (0) ABSENT: Alegre, Baetz, Korthuis, Smith (4) MOTION: Beasley SECOND: Ruiz VOTE: AYES: Beasley, Elliott, Knitter, Lewis, Luviano, Perez, Rose, Ruiz, Rutledge, Sanchez, Tucker, Varnum, Wadhera (13) NOES: None (0) ABSTAIN: None (0) ABSENT: Alegre, Baetz, Korthuis, Smith (4)1-4

WDB MINUTES 5 MAY 16, 2019 *** END OF BUSINESS CALENDAR *** BOARD MEMBER HIGHLIGHT Stacey Sanchez, CDC Small Business Finance, provided description of the type of work she does in the community. COMMITTEE REPORTS 7. Business Resource Committee – None Program Oversight and Performance – None Youth Council – None COMMENTS 8. PUBLIC COMMENTS – None 9. STAFF MEMBER COMMENTS Deborah Sanchez, Economic Development Analyst III • Held 3 sIndustry Sector meetings, 2 meetings with manufacturing sector focusing on talent with Reborn Cabinets located in Anaheim hosting this sector initiative. Also met with the medical sector industry, hosted near St Jude Hospital. • Hospitality group met last week their focuss is also on talent and also ebb and flows of their business. Next week is a meeting with the ITsector,, hosted at the Irvine Chamber of Commerce offices,. Staff will meet with consultant to figure out next steps.. Asked if anyone knows of a company in the IT industry let staff know and an invitation to attend will be sent to them. • Couple of weeks ago staff received an award letter for the Prison to Employment grant. The Orange Region received $3.8M of State General Fund monies to serve 350 formerly incarcerated or justice involved individuals. • Almost all partners are now co-located at the WORK Center. MOTION: Beasley SECOND: Rose VOTE: AYES: Beasley, Elliott, Knitter, Lewis, Luviano, Perez, Rose, Ruiz, Rutledge, Sanchez, Tucker, Varnum, Wadhera (13) NOES: None (0) ABSTAIN: None (0) ABSENT: Alegre, Baetz, Korthuis, Smith (4)1-5

WDB MINUTES 6 MAY 16, 2019 • Thanked those members that were able to attend the Regional Board Member Retreat and will provide summaries notes and the next steps. Staff will ask the three Workforce Boards to convene once or twice a year to talk about regional work and work being done with Sector Initiatives 10. BOARD MEMBER COMMENTS – David Elliot – Six months ago Santa Ana Chamber launched a community initiative called Santa Ana Community Task force to meet quarterly, the objective is to bring major stakeholders and leaders in Santa Ana together, to share concerns, ideas and potential solutions to major issues in Santa Ana. The next meeting is next Tuesday at Templo Calvario. At the last meeting the attendees identified 5 areas of focus - mentoring youth, housing, economic development, mental health, and asset mapping. Linda Rose – Announced that on June 7 th, Santa Ana College will be graduating its first Bachelor Degree graduates in Occupational Studies. A total of 23 graduates will receive their Bachelor’s Degree from a Community College in Occupational Studies. Robert Ruiz – Announced they are in the process of hiring 1,400 youth who are interested in fair jobs. ADJOURNED – 9:05 AM NEXT MEETING – July 18, 2019 Bianca L. Zurita Recording Secretary1-6

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MEETING TIME LOCATION January 16 WDB Board Meeting 8:00 AM RSCCD Board Room 107 February 6 Program Oversight & Performance Committee 8:30 AM Ste. 200, SAWC Santa Fe Conf. Rm February 13 Santa Ana Youth Council 4:00 PM Ste. 200, SAWC Spurgeon Training Rm. February 25 Business Resources Committee 8:00 AM Santa Ana Room 103, RSCCD March 19 WDB Board Meeting 8:00 AM RSCCD Board Room 107 April 2 Program Oversight & Performance Committee 8:30 AM Ste. 200, SAWC Santa Fe Conf. Rm April 9 Santa Ana Youth Council 4:00 PM Ste. 200, SAWC Spurgeon Training Rm. April 28 Business Resources Committee 8:00 AM Santa Ana Room 103, RSCCD May 21 WDB Board Meeting 8:00 AM RSCCD Board Room 107 June 4 Program Oversight & Performance Committee 8:30 AM Ste. 200, SAWC Santa Fe Conf. Rm June 11 Santa Ana Youth Council 4:00 PM Ste. 200, SAWC Spurgeon Training Rm. June 23 Business Resources Committee 8:00 AM Santa Ana Room 103, RSCCD July 16 WDB Board Meeting 8:00 AM RSCCD Board Room 107 August 6 Program Oversight & Performance Committee 8:00 AM Ste. 200, SAWC Santa Fe Conf. Rm August 13 Santa Ana Youth Council 4:00 PM Ste. 200, SAWC Spurgeon Training Rm. August 25 Business Resources Committee 8:00 AM Santa Ana Room 103, RSCCD September 17 WDB Board Meeting 8:00 AM RSCCD Board Room 107 October 1 Program Oversight & Performance Committee 8:00 AM Ste. 200, SAWC Santa Fe Conf. Rm October 8 Santa Ana Youth Council 4:00 PM Ste. 200, SAWC Spurgeon Training Rm. October 27 Business Resources Committee 8:00 AM Santa Ana Room 103, RSCCD November 19 WDB Board Meeting 8:00 AM RSCCD Board Room 107 December 3 Program Oversight & Performance Committee 8:00 AM Ste. 200, SAWC Santa Fe Conf. Rm December 10 Santa Ana Youth Council 4:00 PM Ste. 200, SAWC Spurgeon Training Rm. December Business Resources Committee Dark Committee Meetings/WDB & Exec Committee Meetings: Deborah Sanchez (714) 565-2621 Santa Ana WDB Meetings Schedule 2020 DATEEXHIBIT 14-2

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1 City of Santa Ana Workforce Development Policy Bulletin # 26 Subject: CONFIDENTIALITY OF PARTICIPANT PERSONALLY IDENTIFIABLE INFORMATION POLICY (PII Policy) Date: xx-xx-2020 INTRODUCTION It is the policy of the City of Santa Ana Workforce Development Board (SAWDB) to protect the privacy of all applicants for program services, as well as the privacy of all customers and clients receiving program services. The purpose of this policy is to describe how the SAWDB will protect all personally identifiable information (PII) on applicants and customers, and the consequences for not adhering to these safeguards. Under the Workforce Innovation and Opportunity Act (WIOA), staff obtains personal and confidential information from individuals as part of eligibility determination and continuation of services. WIOA and other federal and state regulations governing information sharing stipulate implementation of confidentiality policies and procedures. Personal information will be treated in the strictest confidence and will not be shared outside of the SAWDB without written authorization, except for auditing purposes and other grantor-imposed information-sharing requirements. The purpose of this policy is to specify the requirements for the use, storage, and security of sensitive and confidential information. ATTACHMENTS • Attachment A: Staff/Representative Confidentiality Agreement • Attachment B: Participant Confidentiality Rights • Attachment C: Definition of Key Terms; POLICY Employees, contractors, consultants, and volunteers of SAWDB (herein “staff and representatives”) may be exposed to participant information which is confidential and/or privileged and proprietary in nature. As part of grant activities, staff and representatives may have access to large quantities of personally identifiable information (PII) relating to individual program participants. This information could be found in participant files and data sets, performance reports, program evaluations, grant and contract files, and other sources. The SAWDB expects all staff and representatives to respect the privacy of clients and to maintain their personal and financial information as confidential. Access to any PII mustEXHIBIT 16-2

SAWDB Policy Bulletin #26 Personally Identifiable Information Policy 2 be restricted to only those staff and representatives who need it in their official capacity to perform duties pertaining to the scope of work in the grant or contract agreement. No information may be released without appropriate authorization (Exhibit A). CUSTOMER AWARENESS Individuals must be informed in writing how their information will be used and that their information will be protected and that their personal and confidential information (Exhibit B): • May be shared among federal and state agencies, partner staff and contractors; • Is used only for delivering services and that further disclosure of their confidential information is prohibited; and that • PII will be used for grant and eligibility purposes only. Every individual receiving WIOA or other SAWDB funded services must read, sign and date a Release of Information to share their information with partner agencies. Individuals must be informed that they can request that their information not be shared among partner agencies and that this does not affect their eligibility for services. Staff and representatives should engage in practical ways to reduce potential security breaches and protect sensitive information and PII by: • Reducing the volume of collected and retained information to the minimum necessary; • Limiting access to only those individuals who must have such access; and • Using encryption, strong authentication procedures, and other security controls to make information unusable by unauthorized individuals. PROTECTING INFORMATION PII and confidentiality require special precautions to protect them from unauthorized use, access, disclosure, modification, and destruction. Confidentiality means that data, reports, and other outputs are safeguarded against unauthorized access. Staff will exercise extreme care and caution when working with confidential information to ensure the privacy of the applicant or customer. Physical Data Protection Requirements All sensitive or PII data obtained should be stored in an area that is physically safe from access by unauthorized persons at all times. Staff and representatives must not leave personal and confidential information left open and unattended. When a staff or representative’s desk is unattended, it is the staff or representative’s responsibility to ensure that personal and confidential information, including PII, is secured in closed containers such as locked drawers or offices when not in use. This means that all documents containing personal and confidential information must not be left on desks, fax machines, printers, or photocopiers unattended. Desktops andEXHIBIT 16-3

SAWDB Policy Bulletin #26 Personally Identifiable Information Policy 3 computers will be kept clear of papers and/or files containing confidential information that are not being used. Desktops and computers will be kept clear of confidential information during non-business hours. Any papers containing PII and/or confidential information are to remain in the offices of the SAWDB, the AJCC and other authorized program sub-contractors, except invoices may be transported directly to the County accounting offices, and, upon occasion, there may be other papers that must be transported to other locations for a specific purpose and with the express permission of Management. All discarded paper containing confidential information shall be placed in a locked shredder bin or shredded. Any participant files stored for performance or archiving purposes must be clearly marked as containing personal and confidential information. Staff and representatives should retain participant PII only for the period required for assessment or performance purposes. Thereafter, all data must be destroyed by a qualified company to minimize risk of breach. Electronic Data Protection Requirements To safeguard SAWDB’s electronically stored data, each user will receive a designated and authorized log-on(s) and password(s) that restrict users to the applications or functions commensurate with their assigned responsibilities, supporting an appropriate segregation of duties. This is such that unauthorized persons cannot reasonably retrieve the information by means of a computer. The SAWDB expects all staff to secure mobile equipment, such as laptop computers and other devices that may have PII stored on them. Devices should be password protected and safeguarded when not in use. Accessing and storing data containing PII on personally owned equipment at off-site locations, such as the employee’s home, and on non- managed IT services, such as Google or Yahoo, is prohibited. TRANSMISSION OF CONFIDENTIAL INFORMATION Staff and representatives should avoid communicating sensitive information or PII about an applicant or participant to partner agencies or other staff via email. If it is necessary, staff and representatives must ensure that the intended recipient is the only individual that has access to the information and that the recipient understands they must also protect the information. Staff and representatives must only communicate sensitive information or PII through City of Santa Ana emails and not through third party or personal email addresses. PII and other sensitive data transmitted via email or stored on mobile data storage (such as thumb drives) must be encrypted. Staff and representatives must not e-mail unencrypted sensitive PII to any entity, including the Department of Labor, City of Santa Ana staff, or contractors. Staff and representatives should discourage participants from emailing personal and confidential information to their case managers.EXHIBIT 16-4

SAWDB Policy Bulletin #26 Personally Identifiable Information Policy 4 Any information posted to social media sites is considered public record and is subject to public disclosure. No sensitive information or PII should be posted to social media sites. Care shall also be taken to ensure that unauthorized individuals do not overhear any discussion of confidential information. SOCIAL SECURITY NUMBERS Social security numbers are protected as high-risk information. When requesting a participant’s social security number, staff and representatives should explain how the social security number will be used and how the participant’s privacy will be ensured. Staff must request a participant’s social security number when offering the following services: • Staff-assisted service related to eligibility determination, job search activity, and employment; • All training and educational services; and • Self-services through CalJOBS. However, an individual is not required to provide their social security number to receive WIOA services, and services cannot be denied to an individual due to their refusal to disclose their social security number. Whenever possible, staff and representatives should use unique identifiers for participant tracking instead of social security numbers. While social security numbers may be needed for initial eligibility or performance purposes, a unique identifier should be linked to each individual record and used thereafter. This includes such records as training or contract documents. If social security numbers are to be used for specific tracking purposes, they must be stored or used in such a way that it is not attributable to the individual. For example, a training document should not include the participant name and social security number, rather the participant name and a truncated social security number. Social Security numbers may not be listed on anything mailed to a client or to another agency unless required by law, or the document is a form or application. Social Security numbers may not be left on a voice mail message. MEDICAL AND DISABILITY RECORDS Medical and disability records are additionally protected as confidential information. To ensure the information is protected, any medical or disability records must be kept separately from working participant files and kept in a secured physical and/or electronic location. Only the portion of the participant’s information that reveals the presence of a disability or other data element should be included in the participant’s file to minimize staff and representative access to medical files.EXHIBIT 16-5

SAWDB Policy Bulletin #26 Personally Identifiable Information Policy 5 Once collected, access to the medical file should be limited and only accessed: • With the approval of program management and only when necessary for WIOA service delivery; • By first aid and safety personnel in the event of an emergency; or • By local, state, or federal monitors. SECURITY BREACHES Any staff or representative who becomes aware of any actual or attempted PII security breach resulting from the inadvertent or intentional leak of release of confidential information, including PII, shall immediately inform their direct supervisor. PII security incidents include, but are not limited to, any event (intentional or unintentional) that causes the loss, damage, or destruction, or unauthorized access, use, modification, or disclosure of information assets. The system or device affected by a PII security incident shall be immediately removed from operation. It shall remain removed from operation until correction and mitigation measures are applied. SAWDB will inform the California Employment Development Department and Department of Labor of breaches believed to cause harm. Breaches subject to notification requirements include both electronic systems as well as paper documents. STAFF COMPLIANCE All City of Santa Ana employees with access to WIOA participant PII and/or confidential information must sign an acknowledgement that they have read the policy, understand the confidential nature of participant data and the potential sanctions for improper disclosure, and agree to abide by all other requirements and terms contained therein. Unauthorized disclosure of confidential or privileged information is a serious violation of this policy. Any failure to comply with confidentiality requirements identified in this policy may result in termination or suspension of contract or employment, or the imposition of special conditions or restrictions to protect the privacy of participants or the integrity of PII data. Misuse or noncompliance with PII data safeguards could lead to civil and criminal sanctions per federal and state laws. Staff and representatives are expected to return materials containing privileged or confidential information at the time of separation from employment or expiration of service. DISCLAIMER This policy is based on SAWDB’s interpretation of the statute, along with the Workforce Innovation and Opportunity Act; Final Rule released by the U.S. Department of Labor, and federal and state policies relating to WIOA implementation. This policy will be reviewed and updated based on any additional federal or state guidance.EXHIBIT 16-6

SAWDB Policy Bulletin #26 Personally Identifiable Information Policy 6 REFERENCES Law • Workforce Innovation and Opportunity Act of 2014 (WIOA) • Privacy Act of 1974, Section 7 • California SB168, Title 1.81.1 – Confidentiality of Social Security Numbers • California AB763 – Privacy: Social Security Numbers • Federal Information Security Management Act (FISMA) Federal Guidance • Training and Employment Guidance Letter (TEGL) 05-08 – Policy for collection and Use of Workforce System Participants’ Social Security Numbers • TEGL 39-11 – Guidance on the Handling and Protection of Personally Identifiable Information (PII) • OMB Memorandum M-07-16 – Safeguarding Against and Responding to the Breach of Personally Identifiable Information • NIST SP 800-122 – Guide to Protecting the Confidentiality of PII Approved by Santa Ana Workforce Development Board xx-xx-2020EXHIBIT 16-7

ATTACHMENT A STAFF/REPRESENTATIVE CONFIDENTIALITY AGREEMENT I, ________________________________ [print name] certify that I have read and understand the Santa Ana Workforce Development Board’s (SAWDB) policy on Confidentiality Of Participants’ Personally Identifiable Information (PII). I understand that I may have access to customer and employer confidential records as part of my employment, contracting, or volunteer work with the SAWDB. Confidential information provided to our agency by any participant or by any federal, state, or county entity is protected by law, regulation, and policy. I understand that it is my responsibility as part of the workforce development system in Santa Ana to protect the confidentiality of all Workforce Innovation and Opportunity Act (WIOA) applicants and participants, as well as customers utilizing the Santa Ana WORK Center, an affiliate of the America’s Job Centers of California (AJCC) system. I understand that in the workforce system’s collection, usage, storage and transmission of customer information, the tenets of confidentiality are to be strictly enforced. I understand that I have the responsibility to know whether information is protected. If I have any questions regarding whether particular information is confidential, I understand it is my responsibility to check with my supervisor. I understand that unauthorized access, use, modification, or disclosure of confidential information is a crime under state and federal laws, including but not limited to California Information Privacy Act §1798.53-§1798.57, CA Penal Code §502, §2111 of the Unemployment Insurance Code, and §10850 of the Welfare and Institutions Code. I understand that violation of this policy could result in: • Disciplinary action • Termination of employment • Criminal action (including incarceration) • Civil action By signing below, I agree to follow and be bound by the terms and conditions regarding confidentiality of personal information contained therein. SAWDB staff or their designee have answered any questions I may have had regarding this policy. Signature:_________________________________________________________________ Name:_____________________________________ Date: ______________________EXHIBIT 16-8

ATTACHMENT B PARTICIPANT CONFIDENTIALITY RIGHTS Your privacy is one of our primary concerns. The Santa Ana Workforce Development Board (SAWDB) makes every effort to provide you with a safe and private environment. The information below explains what information we gather and how we use it. It applies to all SAWDB uses of information and is intended to protect the confidentiality of all customer information. Access to Data Program staff must collect data in order to document eligibility and provide services per federal regulation under the Workforce Innovation and Opportunity Act (WIOA). The SAWDB and subcontractors will make every effort to collect and store data in a secure manner. Access to any personal customer information is restricted to only those staff and representatives who need it in their official capacity to perform duties pertaining to service delivery. For auditing and monitoring purposes, individuals’ personal and confidential information may be shared among federal and state agencies, partner staff and contractors under the SAWDB umbrella. Access is for the purpose of determining compliance with, and ensuring enforcement of the provisions of WIOA. Use and Release of Data We may ask you to provide personal information when you: • Use the CalJOBS website; • Request services, support or information to validate eligibility; • Share SAWDB content through social media; • Subscribe to newsletters, or other materials; or • Contact us for information on services available. Information we may request includes your email address, name, address, telephone number, proof of U.S. residence, proof of age, selective service verification, and other data elements depending on program eligibility criteria. Data will only be used for the purposes of verifying eligibility, delivering services, and verifying performance measures. Upon request, data can be released to the subject of the information. You may decide whether or not to provide your social security number. If you do not wish to provide this number, you can still receive services. The authority for the solicitation of social security numbers is from the California Unemployment Insurance Code, Section 15026. If you choose to provide your number, these are the ways it may be used by the SAWDB or the State of Studies and evaluation of training and employment programs in which you may participate: • Getting information for future program and budget planning; • Checking for possible participation by you in other state or federal programs; • Studying long-term effects on all participants in this program;EXHIBIT 16-9

• Finding ways to make this program more effective; or • Sharing information with other employment and training programs. How We Protect Your Data To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards, secured files, and secured buildings. All sensitive individual data is stored in an area that is physically safe from access by unauthorized persons at all times and data transmitted electronically is encrypted. Medical and disability records are additionally protected as confidential information. Any medical or disability records are kept separately in a secured physical and/or electronic location. Social security numbers are also protected as high-risk information. Whenever possible, staff and representatives will use unique identifiers to track individual data rather than personally identifiable information. Disclosing Personal Information The SAWDB may share your Personal Information with California Employment Development Department and U.S. Department of Labor monitors for the purpose of assessing programmatic and fiscal compliance. In addition, we may disclose your personal information when legally required or to protect our rights. Any other use of individual data will require written consent from the customer or customer’s parent/legal guardian. Notification of Privacy Changes The SAWDB privacy rights are outlined in the Use and Confidentiality of Participants’ Personally Identifiable Information (PII) policy which can be found on the SAWDB’s website at: https://www.santa-ana.org/work-center. The SAWDB reserves the right to make changes to this policy at any time. When changes are made they will be posted and available immediately with a revised effective date. We encourage you to periodically review the privacy policy. Acknowledgement of Receipt By signing below, I acknowledge that I have explained this agreement to the SAWDB-affiliated customer. Staff Printed Name: _______________________________ Staff Signature: ___________________________________ Date ________________ By signing below, I acknowledge that I have read and understand this agreement. SAWDB staff have explained this agreement and answered any questions I may have had. Individual Printed Name: ____________________________ Individual Signature: _______________________________ Date ________________EXHIBIT 16-10

ATTACHMENT C Definitions of Key Terms Personally Identifiable Information (PII) is any information that can be used to distinguish or trace an individual’s identity, either alone or when combined with other personal information that is linked or linkable to a specific individual. There are two types of PII as defined by the U.S. Department of Labor in TEGL 3911 that are based on the “risk of harm” that could result from the release of the PII: • Protected PII – is any information that if disclosed could result in harm to the individual whose name or identify is linked to that information. Examples include, but are not limited to, social security numbers, credit card numbers, bank account numbers, personal telephone numbers, ages, birthdates, marital status, spouse names, educational history, biometrics identifiers, medical history, financial information, and computer passwords. • Non-Sensitive PII – is information that if disclosed, by itself, could not reasonably be expected to result in personal harm as it is not linked or closely associated with any protected or unprotected PII. Examples include first and last names, e-mail addresses, business addresses, business telephone numbers, general education credentials, gender, or race. A combination of non-sensitive PII could potentially be categorized as protected PII. As example, a name and business e-mail address will not result in a high degree of harm to an individual. A name linked to a social security number and date of birth could result in identity theft. A Security Breach as defined by TEGL 39-11 is used to include the loss of control, compromise, unauthorized disclosure, unauthorized acquisition, unauthorized access, or any similar term referring to situations where persons other than authorized users and for an other than authorized purpose have access or potential access to personally identifiable information, whether physical or electronic. Sensitive Information as defined by TEGL 39-11 is any unclassified information whose loss, misuse or unauthorized access to or modification of could adversely affect the interest of the conduct of Federal programs, or the privacy to which individuals are entitled under the Privacy Act.EXHIBIT 16-11

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