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Complaint Processing Complaint Processing ProceduresProcedures

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Laws Applicable to USDOL Laws Applicable to USDOL Financial Assistance RecipientsFinancial Assistance Recipients

Title VI of the Civil Rights Act of 1964, as amended

Race, color, national origin

Section 504 of the Rehabilitation Act of 1973, as amended

Disability

Title II Subpart A of the Americans with Disabilities Act of 1990, as amended (ADA)

Disability

Title IX of the Education Amendments Act of 1972, as amended

Sex

Age Discrimination Act of 1975, as amended

Any age

Section 188 of the Workforce Investment Act

Race, color, national origin, sex, religion, disability, political affiliation or belief, age, and for (beneficiaries only citizenship or participation in any WIA Title I program or activity

All of the above laws Retaliation/ Reprisal

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Who is a Recipient?Who is a Recipient?All entities that receive Federal financial assistance from the Department of Labor, either directly or indirectly, through a grant, contract or subcontract are considered recipients.

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Who is a Recipient?Who is a Recipient?Primary Recipients are Governors

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Federal Financial Federal Financial AssistanceAssistance

Grants and loans of Federal Grants and loans of Federal funds;funds;

Grants or donations of Federal Grants or donations of Federal property; andproperty; and

Details of Federal personnel.Details of Federal personnel.

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A List of RecipientsA List of Recipients

State-level agenciesState-level agencies that administer, or that administer, or are financed,are financed, in whole or in part with, in whole or in part with, WIA Title I fundsWIA Title I funds

State Employment Security AgenciesState Employment Security Agencies State Unemployment Insurance AgenciesState Unemployment Insurance Agencies State and local Workforce Investment State and local Workforce Investment

BoardsBoards Local Workforce Investment Areas grant Local Workforce Investment Areas grant

recipientsrecipients

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A List of RecipientsA List of Recipients

One-Stop operatorsOne-Stop operators Service providersService providers, including eligible , including eligible

training providerstraining providers On-the-Job Training (OJT) employersOn-the-Job Training (OJT) employers Job Corps contractors and center operatorsJob Corps contractors and center operators Outreach and admissions agenciesOutreach and admissions agencies, ,

including Job Corps contractors that including Job Corps contractors that perform these functionsperform these functions

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Laws Applicable to Laws Applicable to Recipients of DOL Recipients of DOL

Financial AssistanceFinancial Assistance

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Title VI of the Civil Rights Title VI of the Civil Rights Act of 1964 Act of 1964

Prohibits discrimination based on: Prohibits discrimination based on: RaceRace ColorColor National Origin National Origin

29 CFR Part 3129 CFR Part 31

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Section 504 of the Section 504 of the Rehabilitation Act of 1973 Rehabilitation Act of 1973 Prohibits discrimination based on: Prohibits discrimination based on:

DisabilityDisability

Failure to provide reasonable Failure to provide reasonable

accommodationsaccommodations

29 CFR Part 3229 CFR Part 32

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Title II of the Americans Title II of the Americans with Disabilities Act with Disabilities Act

Prohibits discrimination based on: Prohibits discrimination based on:

Disability and failure to accommodateDisability and failure to accommodate

State & local government entitiesState & local government entities

(Recently Amended (ADAAA))(Recently Amended (ADAAA))

28 CFR 3528 CFR 35

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Title IX of the Education Title IX of the Education Amendments Act of 1972Amendments Act of 1972

Prohibits discrimination based on:Prohibits discrimination based on:

SexSex

20 U.S.C. Sections 1681-168820 U.S.C. Sections 1681-1688

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Age Discrimination Act Age Discrimination Act of 1975of 1975

Prohibits discrimination based on: Prohibits discrimination based on:

AgeAgeAny AgeAny Age

29 CFR Part 3529 CFR Part 35

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Workforce Investment Act Workforce Investment Act (WIA) of 1998 Section (WIA) of 1998 Section

188188 All Programs and Activities offered All Programs and Activities offered

BYBY or or THROUGH THROUGH One Stop PartnersOne Stop Partners

Doesn’t matter if program/activity is Doesn’t matter if program/activity is not labeled as “WIA” or physically not labeled as “WIA” or physically located in One-Stop Centerlocated in One-Stop Center

29 CFR Part 3729 CFR Part 37

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Section 188 of the Section 188 of the Workforce Investment Act Workforce Investment Act

of 1998of 1998Prohibits discrimination based on:

-Race -Disability-Color -Religion

-Sex -Age-National -PoliticalOrigin Affiliation

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Section 188 of the Section 188 of the Workforce Investment Act Workforce Investment Act

of 1998of 1998Prohibits discrimination based on: Prohibits discrimination based on:

CitizenshipCitizenship Participation in any WIA Participation in any WIA program or activityprogram or activity

For Beneficiaries OnlyFor Beneficiaries Only

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All of the Laws ProhibitAll of the Laws Prohibit

Retaliation for having participated Retaliation for having participated in the complaint processin the complaint process

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Complaint Complaint Processing Processing

RequirementsRequirements

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Complaint Processing Complaint Processing RequirementsRequirements

Each state must adopt and publish Each state must adopt and publish procedures for processing complaints procedures for processing complaints alleging discrimination against any WIA alleging discrimination against any WIA recipientrecipient

The Governor, LWIA, and the EO Officers are The Governor, LWIA, and the EO Officers are responsible for developing and publishing responsible for developing and publishing complaint processing procedures complaint processing procedures

29 CFR 37.77 and 29 CFR 37.25(d)29 CFR 37.77 and 29 CFR 37.25(d)

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Complaint Processing Complaint Processing RequirementsRequirements

The EO Officer is responsible for The EO Officer is responsible for ensuring that recipients follow ensuring that recipients follow procedures for processing procedures for processing discrimination complaints under 29 discrimination complaints under 29 CFR 37.76 – 37.79CFR 37.76 – 37.79

29 CFR 37.25 (d)29 CFR 37.25 (d)

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Complaint Processing Complaint Processing RequirementsRequirements

Complaint Processing must be Complaint Processing must be accessible to all customers:accessible to all customers:

With disabilitiesWith disabilities

Who are limited English proficient Who are limited English proficient (LEP)(LEP)

all vital forms and correspondenceall vital forms and correspondence

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Complaint Processing Complaint Processing RequirementsRequirements

The procedures must provide the The procedures must provide the complainant with the option to file complainant with the option to file with the Recipient or directly with CRCwith the Recipient or directly with CRC

29 CFR 37.7129 CFR 37.71

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The ComplaintThe Complaint

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Filing A ComplaintFiling A Complaint

Who May File a ComplaintWho May File a Complaint

Types of ComplaintsTypes of Complaints

Information Required for ComplaintInformation Required for Complaint

Acceptable FormatsAcceptable Formats

Time Frames for FilingTime Frames for Filing

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Who May File A Who May File A Complaint Complaint

Any person, or any specific class of Any person, or any specific class of individuals, who alleges that they individuals, who alleges that they have been or are being subjected to have been or are being subjected to discrimination prohibited under WIAdiscrimination prohibited under WIA

29 CFR 37.7029 CFR 37.70

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Who May File - ExamplesWho May File - Examples

Applicant/registrant for aid, Applicant/registrant for aid, benefits, services, or trainingbenefits, services, or training

ParticipantsParticipants

EmployeesEmployees

Applicants for employmentApplicants for employment

Eligible service providersEligible service providers

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Types of ComplaintsTypes of Complaints

Individual – Complaint filed by one personIndividual – Complaint filed by one person

Class Action – Complaint filed by one or Class Action – Complaint filed by one or more similarly situated individuals on more similarly situated individuals on behalf of himself/herself or othersbehalf of himself/herself or others

Third Party – Complaint filed by an Third Party – Complaint filed by an individual, advocacy group or a group on individual, advocacy group or a group on the behalf of othersthe behalf of others

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Information RequiredInformation Required

Complainant’s name, address, or another Complainant’s name, address, or another means of contacting the complainantmeans of contacting the complainant

Identity of respondent (individual or Identity of respondent (individual or entity alleged to have discriminated)entity alleged to have discriminated)

29 CFR 37.7329 CFR 37.73

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Information RequiredInformation Required Allegations described in sufficient detail to Allegations described in sufficient detail to

determine whether:determine whether:

Complaint falls under CRC’s or the Complaint falls under CRC’s or the Recipient’s jurisdictionRecipient’s jurisdiction

Filed within 180 days of the most recent Filed within 180 days of the most recent occurrenceoccurrence

Complaint has apparent meritComplaint has apparent merit

Signature of the complainant or their Signature of the complainant or their authorized representativeauthorized representative

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Acceptable Formats Acceptable Formats

Any document that includes the Any document that includes the required information (i.e. written letter)required information (i.e. written letter)

Complaint form developed by the stateComplaint form developed by the state

Complaint Information Form (CIF) Complaint Information Form (CIF) developed by the CRCdeveloped by the CRC

29 CFR 37.7429 CFR 37.74

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Time Frame for FilingTime Frame for Filing

Must be filed within 180 days of the Must be filed within 180 days of the alleged discriminationalleged discrimination

Only the Director of CRC can grant an Only the Director of CRC can grant an extension of the 180-day filing period for extension of the 180-day filing period for good cause shown by the complainant good cause shown by the complainant

29 29 CFR 37.72CFR 37.72

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Recipient Complaint Recipient Complaint ProcessingProcessing

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Recipient Complaint Recipient Complaint ProcessingProcessing

Evaluating ComplaintsEvaluating Complaints

Processing Jurisdictional ComplaintsProcessing Jurisdictional Complaints

Complaints Against One-Stop PartnersComplaints Against One-Stop Partners

Time Frames Time Frames

JurisdictionJurisdiction

Record Keeping RequirementsRecord Keeping Requirements

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Evaluating Complaints Evaluating Complaints Discrimination vs. Discrimination vs.

ProgramProgram WIA complaints can be divided into WIA complaints can be divided into

two categoriestwo categories

Discrimination complaints, Discrimination complaints, processed according to CRC processed according to CRC regulationsregulations

Program complaints, processed Program complaints, processed according to according to ETAETA regulations regulations

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Evaluating Complaints Evaluating Complaints Discrimination vs. Discrimination vs.

ProgramProgram     DiscriminationDiscrimination

ComplaintComplaint  Program Program ComplaintComplaint

ElementsElements -An issue-An issue

-A prohibited basis -A prohibited basis

(i.e. race, color, (i.e. race, color, disability, etc.)disability, etc.)

-An Issue-An Issue

-A non--A non-prohibited basisprohibited basis

ProcedureProceduress

CRC regulations at CRC regulations at

29 CFR 3729 CFR 37ETA regulations ETA regulations

at 20 CFR at 20 CFR Subpart F, Sec. Subpart F, Sec. 667.600 [a][b]667.600 [a][b]

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Evaluating Complaints Evaluating Complaints Determining JurisdictionDetermining Jurisdiction

Respondent is a WIA RecipientRespondent is a WIA Recipient

The complaint basis is covered The complaint basis is covered under WIA/CRC Regulationsunder WIA/CRC Regulations

Complaint has been filed within the Complaint has been filed within the 180-day time period, or the Director 180-day time period, or the Director of CRC has granted an extensionof CRC has granted an extension

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Evaluating ComplaintsEvaluating ComplaintsNo JurisdictionNo Jurisdiction

Recipient must send the complainant Recipient must send the complainant a written notice of lack of jurisdictiona written notice of lack of jurisdiction

Reason(s) for the determinationReason(s) for the determination

Notice of right to file a complaint with Notice of right to file a complaint with CRC within 30 days of receiving CRC within 30 days of receiving written notice of lack of jurisdictionwritten notice of lack of jurisdiction

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Complaints Against Complaints Against One-Stop PartnersOne-Stop Partners

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Who is a One-Stop Who is a One-Stop Partner?Partner?

Other federal grant making agencies that participate as partners in a one-

stop delivery system

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Examples of One-Stop Examples of One-Stop PartnersPartners

Department of EducationDepartment of Education Department of Health and Human Department of Health and Human

ServicesServices Department of Housing and Urban Department of Housing and Urban

DevelopmentDevelopment Department of AgricultureDepartment of Agriculture Department of Transportation Department of Transportation

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Handling Complaints Handling Complaints Against One-Stop Against One-Stop

PartnersPartners Laws enforced by One-Stop partners:Laws enforced by One-Stop partners: Title VITitle VI Title IXTitle IX Section 504 of the Rehabilitation ActSection 504 of the Rehabilitation Act Title II of the ADATitle II of the ADA Age Discrimination ActAge Discrimination Act

One-Stop partners are also subject to the One-Stop partners are also subject to the non-discrimination provisions of WIA non-discrimination provisions of WIA Section 188Section 188

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Handling Complaints Handling Complaints Filed Against One-Stop Filed Against One-Stop

PartnersPartners Sole Jurisdiction Processed by CRC: The Sole Jurisdiction Processed by CRC: The

basis of the complaint is only covered basis of the complaint is only covered by WIA (i.e. political affiliation, by WIA (i.e. political affiliation, citizenship, status as a WIA participant)citizenship, status as a WIA participant)

Joint Jurisdiction Processed by grant-Joint Jurisdiction Processed by grant-making agencies: The basis of the making agencies: The basis of the complaint is covered by laws enforced complaint is covered by laws enforced by both CRC and the Partnersby both CRC and the Partners

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Joint JurisdictionJoint Jurisdiction

Refer the complaint to the Federal Refer the complaint to the Federal grant-making agency’s National Civil grant-making agency’s National Civil Rights office to be processed in Rights office to be processed in accordance with the agency’s accordance with the agency’s complaint investigation procedures complaint investigation procedures

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Required Elements Required Elements Processing Processing

Jurisdictional Jurisdictional ComplaintsComplaints

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Due Process ElementsDue Process Elements Notice to all partiesNotice to all parties

Impartial decision-makerImpartial decision-maker

Rights of each party: Rights of each party:

Right to representation Right to representation

Right to present evidenceRight to present evidence

Decision made strictly on the recorded Decision made strictly on the recorded

evidenceevidence

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Jurisdictional ComplaintsJurisdictional Complaints Initial written noticeInitial written notice

Written statement of issuesWritten statement of issues

Process for fact-findingProcess for fact-finding

Alternative Dispute Resolution processAlternative Dispute Resolution process

Written Notice of Final ActionWritten Notice of Final Action

29 CFR 37.76 29 CFR 37.76

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Initial Written NoticeInitial Written Notice

Acknowledgment of the written complaintAcknowledgment of the written complaint

Notice to the complainant of his or her Notice to the complainant of his or her right to be represented in the complaint right to be represented in the complaint processprocess

Notice to the complainant of his or her Notice to the complainant of his or her right to file with CRC after 90 days or after right to file with CRC after 90 days or after receipt of final action (within 30 days)receipt of final action (within 30 days)

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Written Statement of Written Statement of IssuesIssues

List of the issues raised in the List of the issues raised in the complaintcomplaint

Statement whether the issues are Statement whether the issues are accepted or rejected for accepted or rejected for investigation with explanationsinvestigation with explanations

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Process for Investigation Process for Investigation or or

Fact-FindingFact-Finding An investigation of the issues An investigation of the issues

through fact-findingthrough fact-finding

Develop procedures for process of Develop procedures for process of investigatinginvestigating

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Alternative Dispute Alternative Dispute Resolution Process Resolution Process

(Mediation Process)(Mediation Process) Choice for the complainant to use Choice for the complainant to use

ADR or the traditional processADR or the traditional process

Provision for any party to file a Provision for any party to file a complaint with the CRC Director if complaint with the CRC Director if ADR agreement is breachedADR agreement is breached

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Written Notice of Final Written Notice of Final ActionAction

The decision and explanation The decision and explanation (investigation or fact-finding) or a (investigation or fact-finding) or a description of the resolution (ADR). description of the resolution (ADR).

A notice stating that if the A notice stating that if the complainant is dissatisfied with the complainant is dissatisfied with the resolution of the complaint, he or resolution of the complaint, he or she has the right to file a complaint she has the right to file a complaint with CRC within 30 dayswith CRC within 30 days

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Recipient TimeframesRecipient Timeframes

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Timeframe RequirementsTimeframe Requirements

State’s 90-day Processing timeframeState’s 90-day Processing timeframe

Complainant’s 30-day timeframe for Complainant’s 30-day timeframe for filing with CRCfiling with CRC

Extension of complainant’s 30-day Extension of complainant’s 30-day timeframe to file with CRCtimeframe to file with CRC

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State’s 90-day Processing State’s 90-day Processing TimeframeTimeframe

Issue a written notice of lack of Issue a written notice of lack of jurisdictionjurisdiction

Refer the complainant to another Refer the complainant to another federal grant-making agency for federal grant-making agency for investigation where there is joint investigation where there is joint jurisdictionjurisdiction

Issue a written notice of final actionIssue a written notice of final action

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Complainant’s 30-Day Complainant’s 30-Day Timeframe to File with Timeframe to File with

CRCCRC State issues a written notice of lack of State issues a written notice of lack of

jurisdiction jurisdiction

State fails to issue either a written notice of State fails to issue either a written notice of lack of jurisdiction, a written notice of final lack of jurisdiction, a written notice of final action, or to refer to another federal grant-action, or to refer to another federal grant-making agency within the 90-day timeframemaking agency within the 90-day timeframe

An ADR process fails to produce an An ADR process fails to produce an agreementagreement

An agreement is breachedAn agreement is breached

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Extension of Extension of Complainant’s Complainant’s

30-Day Timeframe30-Day TimeframeCRC Director may extend the CRC Director may extend the complainant’s 30-day timeframe if complainant’s 30-day timeframe if the complainant can show good the complainant can show good cause.cause.

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Record-Keeping Record-Keeping RequirementsRequirements

Name and address of the complainantName and address of the complainant Bases in the complaintBases in the complaint Description of the complaintDescription of the complaint Date when the compliant was filedDate when the compliant was filed Disposition of the complaint and the Disposition of the complaint and the

date the disposition was issueddate the disposition was issued Other pertinent informationOther pertinent information

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Record-Keeping Record-Keeping RequirementsRequirements

Record maintenance periodRecord maintenance period

Records regarding complaints and Records regarding complaints and actions taken on the complaints must actions taken on the complaints must be maintained for a period of not less be maintained for a period of not less than three (3) years from the date of than three (3) years from the date of resolution of the complaint resolution of the complaint

29 CFR 37.39(b)29 CFR 37.39(b)

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CRC Compliance AssistanceCRC Compliance Assistance

CRC is always available to helpCRC is always available to help CRC Main PageCRC Main Page

http://www.dol.gov/oasam/programs/crc/aboutcrc.htm

(202) 693-6502(202) 693-6502

Toolkit for New EO OfficersToolkit for New EO Officers http://www.dol.gov/oasam/programs/crc/compassis.htm

Regulations Enforced by CRCRegulations Enforced by CRC http://www.dol.gov/oasam/programs/crc/regulations.htm

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Office External Enforcement StaffOffice External Enforcement StaffJulia Mankata-Tamakloe - ChiefJulia Mankata-Tamakloe - Chief

Bill AdamsBill Adams Carlton BrownCarlton Brown Clarice CrutchfieldClarice Crutchfield Lorraine DawsonLorraine Dawson Denise DelhotalDenise Delhotal James HobgoodJames Hobgood Adoria JohnsonAdoria Johnson

Margo McDanielMargo McDanielMargaret Margaret MontoyaMontoyaJudy RaglandJudy RaglandLinda RamseurLinda Ramseur