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HomeMy WebLinkAbout2003-04-15; Housing & Redevelopment Commission; 356 Exhibit 5; Carlsbad Public Housing Agency Annual Plan FY 20035. Payments under the Section 8 Housing Assistance Payments Program pursuant to Section 8 of the United States Housing Act after amendment by the Housing and Community Development Act unless the project is owned by a Public Housing Agency; 6. A Public Housing Project. SUBSIDY STANDARDS. Standards established by an HA to determine the appropriate number of bedrooms and amount of subsidy for families of different sizes and compositions. SUBSTANDARD UNIT. Substandard housing is defined by HUD for use as a federal preference. SUSPENSIONTTOLLIN'G. Stopping the clock on the term of a family's certificate or voucher, for such period as determined by the HA, from the time when the family submits a request for HA approval to lease a unit, until the time when the HA approves or denies the request. TENANT. The person or persons (other than a live-in-aide) who executes the lease as lessee of the dwelling unit. TENANT RENT. (Formerly called Net Family contribution.) The amount payable monthly by the family as rent to the owner (including a PHA in other programs). Where all utilities (except .telephone) and other essential housing services are supplied by the owner, Tenant Rent equals Total Tenant Payment. Where some of all utilities (except telephone) and other essential housing services are not supplied by the owner and the cost thereof is not included in the amount paid as rent to the owner, Tenant Rent equals Total Tenant Payment less the Utility Allowance in the Certificate Program. In the Voucher Program, Tenant Rent is Rent to Owner less HAP. TOTAL TENANT PAYMENT (TTP). The total amount the HUD rent formula requires the tenant to pay toward rent and utilities. UNIT. Residential space for the private use of a family. UNUSUAL EXPENSES. Prior to the change in the 1982 regulations, this was the term applied to the amounts paid by the family for the care of minors under 13 years of age or for the care of disabled or handicapped family household members, but only where such care was necessary to enable a family member to be gainfully employed. UTILITIES. Utilities means water, electricity, gas, other heating, refrigeration, cooking fuels, trash collection and sewage services. Telephone service is not included as a utility. 7/1/98 AdminPlan GL- 1 8 UTILITY ALLOWANCE. If the cost of utilities (except telephone) including range and refrigerator;and other housing services for an assisted unit is not included in the Contract Rent but is the responsibility of the family occupying the. unit, an amount equal to the estimate made or approved. by a PHA or HUD of a reasonable consumption of such utilities and other services for the unit by an energy conservative household of modest circumstances consistent with the requirements of a safe, sanitary, and healthy living environment. UTILITY REIMBURSEMENT PAYMENT. The amount, if any, by which the Utility Allowance for the unit, if applicable, exceeds the Total Tenant Payment for the family occupying the unit. VACANCY LOSS PAYMENTS. (For contracts effective prior to 10/2/95) When a family vacates its unit in violation of its lease, the owner is eligible for 80% of the Contract Rent for a vacancy period of up to one additional month, (beyond the month in which the vacancy occurred) if s/he notifies the PHA as soon as s/he learns of the vacancy, makes an effort to advertise the unit, and does not reject any eligible applicant except for good cause. VERY LARGE LOWER-INCOME FAMILY. Prior to the change in the 1982 regulations this was described as a lower-income family which included eight or more minors. This term is no longer used. VERY LOW INCOME FAMILY. A Lower-Income Family whose Annual Income does not exceed 50% of the median income for the area, as determined by HUD, with adjustments for smaller and larger families. HUD may establish income limits higher or lower than 50% of the median income for the area on the basis of its finding that such variations are necessary because of unusually high or low family incomes. This is the income limit for the Certificate and Voucher Programs. VETERAN. A person who has served in the active military or naval service of the United States at any time and who shall have been discharged or released therefrom under conditions other than dishonorable. VIOLENT CRIMINAL ACTIVITY. Any illegal criminal activity that has as one of its elements the use, attempted use, or threatened use of physical force against the person or property of another. VOUCHER PROGRAM. The rental voucher program. WAITING LIST ADMISSION. An admission from the HA waiting list. WAITING LIST. A list of families organized according to HUD regulations and HA policy who are waiting for subsidy to become available. 71 1/98 AdminPlan GL- 19 WELFARE ASSISTANCE. Welfare or other payments to families or individuals, based on need, that are made under programs funded, separately or jointly, by Federal, state, or local governments. WELFARE RENT. This concept is used ONLY for Section 8 Certificate tenants who receive welfare assistance on an "AS-PAID" basis. It is not used for the Housing Voucher Program. (1) If the agency does NOT apply a ratable reduction, this is the maximum a public assistance agency COULD give a family for shelter and utilities, NOT the amount the family is receiving at the time the certification or recertification is being processed. (2) If the agency applies a ratable reduction, welfare rent is a percentage of the maximum the agency could allow. 7/1/98 AdminPlan GL-20 C. GLOSSARY OF TERMS USED IN THE NONCITIZENS RULE CHILD. A member of the family other than the family head or spouse who is under 18 years of age. CITIZEN. A citizen or national of the United States. EVIDENCE. Evidence of citizenship ,or eligible immigration status means the documents which must be submitted to evidence citizenship or eligible immigration status. HA, A housing authority- either a public housing agency or an Indian housing authority or both. HEAD OF HOUSEHOLD. The adult member of the family who is the head of the household for purpose of determining income eligibility and rent. HUD.. Department of Housing and Urban Development. INS. The US. Immigration and Naturalization Service. MIXED FAMILY. A family whose members include those with citizenship or eligible immigration status and those without citizenship or eligible immigration status. NATIONAL. A person who owes permanent allegiance to the United States, for example, as a result of birth in a United States territory or possession. NONCITIZEN. A person who is neither a citizen nor national of the United States. PHA. A housing authority who operates Public Housing. RESPONSIBLE ENTITY. The person or entity responsible for administering the restrictions on providing assistance to noncitizens with ineligible immigration status (the HA). SECTION 214. Section 214 restricts HUD from making financial assistance available for noncitizens unless they meet one of the categories of eligible immigration status specified in Section 214. SPOUSE. Spouse refers to the marriage partner, either a husband or wife, who is someone you need to divorce in order to dissolve the relationship. It includes the partner in a common-law marriage. It does not cover boyfriends, girlfriends, significant others, or "co-heads." "Co-head" is a term recognized by some HUD programs, but not by public and Indian housing programs. -, 7/1/98 AdminPlan GL-2 1 t December 5, 1993 City of Carlsbad Family Self Sufficency Action Plan FAMILY SELF-SUFFICIENCY GOALS AND OBJECTIVES e, Pursuant to the Notice of Funding Available (NOFA) published July 8, 1993, the City of Carlsbad Housing Authority was awarded thirty (30) units. of Section 8 Rental Assistance (Leasing Schedule, Appendix "A."). This new allocation of Certificate and Vouchers sets forth the requirements for the establishment of a Family Self-Sufficiency Program (FSS). The Family Self-sufficiency Program was established as part of the CranstodGonzales National Affordable Housing Act of 1990. Family Self-Sufficiency enables the Section 8 Rental Assistance Program to leverage public and private sector resources that can help participants achieve economic independence. The use of housing as a stabilizing force permits families to invest their energy into efforts necessary to achieve self-sufficiency, including employment, education and job training. Family Self-Sufficiency offers a financial incentive to participants through the establishment of a escrow account. Monies earned in the escrow account becomes available to the family upon the successful completion of their Contract of Participation or upon achievement of certain interim goals. PROGRAM COORDINATING COMMITTEE The Carlsbad Housing Authority has established a local coordinating body to plan, advise, monitor, and insure the integrity of the Family Self-sufficiency program. The Program Coordinating Committee (PCC) consists of key leaders in the community who understand and are committed to addressing today's employment and self-sufficiency issues. The Committee has representatives from counseling services, educational programs, occupational training programs, employment assessment and placement specialists, child care providers, and single parent and displaced homemaker programs, as well as a Tenant and Housing Authority Representative (PCC . Members, Appendix "B."). SUPPORTIVE SERVICES One of the goals of the Family Self-sufficiency Program is to reduce the number of families who are dependent upon a Federal or State Welfare Program. The City of Carlsbad Administers 503 Section 8 Certificates or Housing Vouchers. Of that number, 243 families or 49% receive income assistance from a welfare program (Statistical Report, Appendix T."). The demographics of that targeted population also indicates that the head of household is a single female with one to two children between the ages of one month and ten years of age. Previous experience with families who receive welfare assistance with dependent children in the household have identified the lack of the following supportive services to becoming self- sufficient: Child Care Transportation Training which will lead to employment Job placement assistance Career counseling and financial planning SERVICE DELIVERY DESIGN The delivery of service is based on a three-phase program model. The first phase includes an orientation to the,FSS Program and a skills and needs assessment workshop. The second phase will focus on the establishment of the Contiact of Participation (COP). The third phase, which will last through the completion of the goals, will encompass accessing the necessary supportive services and monitoring the progress of the participant in meeting the goals of the COP. PHASE I Orientation and Needs Assessment Information will be provided about the FSS Program and the agencies in the community affiliated with the program. The roles of the Housing Authority, the FSS Case Manager, the Section 8 Housing Representative'and the supportive services providers will be identified. The calculation of the escrow accounts will be explained as well as the Contract of Participation (COP) and the conditions of termination from the Section 8 Program. e Participants will take part in a workshop designed to identify their skill level and needs assessment. The topics covered in the workshop will include: 1. Career Assessment 2. Personal Skills Inventory 3. Goal Setting and Decision Making 4. Problem Solving and Time Management PHASE I1 Establish the Contract of Participation (COP) The Contract of Participation (COP) is an individualized action plan which outlines the goals to be achieved in order for a participant to become economically independent and self-sufficient. Interim goals as well as final goals will be established in order to measure the progress of a participant. The COP will encompass a range of goals including: t Independence of Welfare Assistance The attainment of literacy and language skills Obtainment of a GED or High School Diploma Page 2 Pre-entrepreneurial training and small business development PHASE III Case Management Case Management is the process by which participants are assisted with accessing the necessary supportive service providers to ensure the opportunity to pursue the goals of the COP. Based on past experiences with the Section 8 population, Case Management will focus on overcoming the following barriers to self-sufficiency: Child care Transportation Training which will lead to employment Job placement assistance Career counseling and Financial planning Emergency funds The Case Manager will also monitor the progress of the participant in meeting the goals of the COP including: Determining if goals are being satisfactorily pursued; Evaluate program effectiveness; Determine if additional action is warranted. If not, modifying needs; OUTREACH/PARTICI€?ANT SELECTION Participation in the FSS program is limited to those families who are currently participating in the Section 8 Certificate or Housing Voucher Programs. This population will be informed of the FSS program through direct mailings (Appendices "D. 'I and "E. "), the recertification process and public posting of notices at the Housing Authority office. A selection preference will be granted to up to 50% of the FSS slots to eligible families who have one or more members currently enrolled in an FSS related service program or on the waiting list for such.a program. Section 8 Participants who express an interest in the FSS Program will be placed on a waiting list by priority, date and time of interest expressed. c Page 3 SUCCESS OF THE PROGRAM The success of the FSS Program will be determined in various ways including: A. The number of families who obtain employment who were not previously employed. B. The number of families who obtain better paying jobs. C. The number of families who obtain High School equivalency diplomas or higher. D. The number of families who increase their income levels enough to exceed the need E. The number of families who become independent of welfare benefits. for housing subsidies. The FSS Coordinator shall record individual progress and "drops" from the program at each phase of the program. The Coordinator will be responsible for implementing and interpreting program progress for phases 1, 2, and 3, preparing recommendations from agency affiliates and participants, and making necessary program adjustments where feasible to enhance participant success. Statistical' data, broken down racially and ethnically, will be maintained and reported to HUD on an annual basis for families who: A. Elected to participate but did not execute an FSS Contract of Participation; B. Executed an FSS Contract, and voluntarily left the FSS program; C. Executed an FSS Contract, and were asked to leave the FSS program; D. Executed an FSS Contract, and completed the FSS program; E. Executed an FSS Contract, and remains on the FSS program; F. Withdraw escrow accounts (data is reported to HUD on active escrow accounts and the number of escrow accounts forfeited). FAMILY/PARTICIPANT OBLIGATIONS The obligations of the FSS families/participants are the same as those outlined in the "Notice of Rights and Responsibilities for Section 8 Applicants\Participants" and Code of Federal Regulations (24) parts 700 to 1699. Additionally, FSS families\participants have the following obligations (Appendix "F. ") : 1. Participant(s) and other participating family members shall complete the activities within the dates stated in the Contract of Participation (COP). 2. Participant(s) must seek and maintain suitable employment, ideally in the field of training outlined in the COP. t Page 4 TERMINATION .OF ASSISTANCE After consultation with the Case Manager and the Participant, the FSS Coordinator may deny or withhold FSS supportive services and/or terminate Section 8 Rental Assistance under the following circumstances: , 1. 2. 3. 4. 5. 6. 7. The Participant refuses to seek and maintain suitable employment during the tern of the FSS Contract of Participation and its addendum, if applicable; The Participant fails to report a change or needed change in the established COP and modification; The Participant fails to honor the terms of the Contract of Participation, Training & Support Service Plan and modification; The FSS family moves from the City of Carlsbad and does not continue to participate in an FSS program; Mutual consent of the parties; By operation of law; The family fails to follow Section 8 Program rules and regulations, as set forth in the Certificate of Family Participation, Housing Voucher and Code of Federal Regulations. Participants whose Contract of Participation is terminated and who withdrew funds from their escrow account as a result of the successful completion of the COP, will be denied readmission to the Section 8 Program for two years unless the participant reimburses the Housing Authority for the withdrawn escrow amount. HEARING PROCEDURES Apdicant Informal Review An applicant who wishes to participate in the FSS program can be skipped on the Waiting List if one or more supportive services are unavailable or where supportive services are not reasonable due to excessive financial and administrative burdens. Applicants wil1,be'provided an opportunity for informal review of any decision which denies the applicant FSS program participation. The applicant will be given prompt written notification of a decision denying participation. Notification will include the reason for the decision and the procedures to request an informal review. Page 5 During the review, the applicant can present written or oral objections to the decision. The Housing Authority will promptly notify the applicant, in writing, of the final decision after the informal review and will include the reason for' the final decision. ParticiDant Informal Hearing FSS Program "Participants" are families who have an effective COP (and addendum if applicable) and are receiving Section 8 Rental Assistance under an effective lease agreement and Housing Assistance Payment Contract. FSS Program participants will be given the opportunity for an informal hearing when support services are to be withheld, Contract of Participation extension or modification is denied, FSS Program participation is terminated and/or termination from the Section 8 Rental Assistance Program as a result of termination from the FSS Program. During the review, the .participant can present written or oral objections to the decision. The Hearing Officer' will promptly notify the participant, in writing, of the final decision after the informal hearing and will include the reason for the final decision. PORTABILITY e An FSS family may elect to use the portability feature of the Section 8 CertificateNoucher program after initially leasing a unit within the City of Carlsbad for at least 1 year. In order to move to another jurisdiction, the family must be able to demonstrate to the satisfaction of the FSS Coordinator that the participant will be able to fulfill the responsibilities under the original (or . modified) Contract of Participation. If an FSS family from another jurisdiction moves into the Carlsbad Housing Authority's jurisdiction, the Housing Authority may administer or bill the initial Housing Authority. A new Contract of Participation with the family will be eritered into for the remaining term of the original Contract that was executed by the initiating PHA. Page 6 ADDendix A LEASING SCHEDULE Pursuant to the NOFA published July 8, 1993, the Carlsbad Housing Authority applied of fifty (50) units of Rental Assistance. As the Housing Authority was actually awarded twenty-five (30) units, the leasing schedule is revised as follows: 11 1st QTR I 2nd QTR I 3rd QTR I 4th QTR 11 5 10 10 5 L I1 t Page i Jonnie Carstens Barbara Turner Susan Sterner Anna Marie Newcomb Katherine Foster Paul Downey Sandy Paz Sonia Garcia Kathleen Santos Bruce Gross Sylvester Lopez Rebecca Kirkpatrick Mary Jo Guitiemez Jim Lundgren Ruth Ann Zaid Mike Maples Bobbi Swanson e Marvin Petersen Sherri Sat0 . Reginald Harrison Leilani Hines Amendix B PROGRAM COORDINATING COMMITTEE Mira Costa College Unified School District GAIN Program SOC. Sec. Admin. SOC. Sec. Admin. Salvation Army Womens Resource Center Lifeline Medical MITE, North County EDD MAAC Project MAAC Project SER, Jobs for Progress Dept. of Social Services Dept. of Social Services Oceanside Housing Authority Resident Participant Resident Participant Carlsbad Housing Authority . Carlsbad Housing Authority Page ii SUMMARY STATISTICS REPORT """""""""--"""- aendix C DATE: 11/16/93 c LECTION CRITERIA: ALL TENANTS WERE INCLUDED HEAD OF HOUSEHOLD COMPOSITION. (% OF ALL HEADS IS IN PARENTHESES) A. THERE ARE 499 .HEADS OF HOUSEHOLD. (MAY BE MORE THAN 1 IN A UNIT. THERE ARE 499 HOUSEHOLDS. B. AGE: UNDER 30 30-39 40-49 50-59 60-69 70-79 80 (+I NO : 46 123 86 33 59 97 55 PCT : 9.2 24.6 17.2 6.6 11.8 19.4 11.0 AVERAGE AGE : 53.4 C. SEX: MALE: 131 ( 26.3) FEMALE: 368 ( 73.7) D. SINGLE PARENT HEAD-OF-HOUSEHOLD FAMILIES ASSISTED: MALE: 3' ( 0.6) I FEMALE: 148. ( 29.7) E. ELDERLY HEAD-OF-HOUSEHOLD FAMILIES ASSISTED: OBR 1BR 2BR 3BR 4BR 5+BR NO : 19 213 37 8 2 0 t PCT: 3.8 42.7 7.4 1.6 0.4 0.0 F. NON-ELDERLY HEAD-OF-HOUSEHOLD FAMILIES ASSISTED: OBR 1BR 2BR 3BR 4BR 5+BR NO : 5 7 111 76 21 0 PCT : 1.0 1.4 22.2. 15.2 4.2 0.0 G. RACE/ETHNICITY: WHITE: 453 ( 90.8) BLACK : 29 ( 5.8) AMER IND/ALASKAN NATIVE: 1 ( 0.2) ASIAN/PACIF ISLANDER: 13 ( 2.6) OTHER : 3 ( 0.6) HISPANIC: 160 ( 32.1) NON-HISPANIC: 336 ( 67-91 H. MISCELLANEOUS : 62 YRS OR OLDER: 206 ( 41.3) HANDICAPPED: 3 ( 0.6) DISABLED: 92 ( 18.4) FULL-TIME STUDENT (18 +) : 9 ( 1.8) NONE OF THE ABOVE: 213 ( 42.7) PHA Manager 3.50 (~186-93 * CARLSBAD HOUSING AND REDEVELOPMENT ' SUkIMARY STATIS.TICS REPORT (cont) : Date: 11/16/93 Page: 2 . ALL MEMBERS COMPOSITION: (PCT IS PCT OF ALL MEMBERS) A. THERE ARE 1149 MEMBERS. B. AGE: 0-12 13-17 18-29 30-39 40-49 50-.59 60-69 70-79 80(+) 342 116. 14 0 168 103 46 68 106 60 29.8 10.1 12.2 14.6 9.0 4.0 5.9 9.2 5.2 AVERAGE AGE: 32'. 4 C. SEX: ALL - MALE: 446 ( 38.8) ADULTS - MALE: 202 ( 17.6) (18 +) D. RACE/ETHNICITY: WHITE: BLACK : MER IND/ALASKAN NATIVE: ASIAN/PACIF ISLANDER: OTHER : e HISPANIC: 519 ( 45.2) E. MISCELLANEOUS: 62 YRS OR OLDER: HANDICAPPED: . DISABLED : FULL-TIME STUDENT (18 +) : NONE OF THE ABOVE: 1018 ( 88.6) 65 ( 5.7) 1 ( 0.1) 48 ( 4.2) 17 ( 1.5) FEMALE: 703 ( 61.2) FEMALE: 489 ( 42.6) NON-HISPANIC: 563 ( 54.8) 226 ( 19.7) 3 ( 0.3) 102 ( 8.9) 29 ( 2.5) 815 ( 70.9) F. FAMILY SIZE: 1 2 3 4 5 6 7 8 9 10 11(+) NO: 230 93 67 47 42 12 5 2 0 0 1 PC": 46.1 18.6 13.4 9.4 8.4 2.4 1.0 0.4 0.0 0.0 0.2 AVERAGE FAMILY SIZE: 2.3 -" G. RELATIONSHIP CODE: (AVG IS AVG PER HOUSEHOLD) HEAD SPOUSE ADULT DEPEN FOSTER LIVE- IN OTHER NO : 499 76 87 486 0 0 1 AVG : 1.00 0.15 0.17 0.97 0.00 0.00 0.00 t PHA Manager 3.50 (~186-93 * CARLSBAD HOUSING AND REDEVELOPMENT ' SU"ARY STATISTICS REPORT (cont) : Date: 11/16/93 Page: 3 e I. INCOME/EXPENSES: A. INCOME BREAKDOWN: (INCOME BEFORE ADJUSTMENTS.) UNDER 2500- 5000- 7500- 10000- 12500- 15000- $ 2500 4999 74 99 9999 12499 14999 17499 17500(+) NO : 43 10 102 144 81 47 32 40 PCT : 8.6 2.0 20.4 28.9 16.2 9.4 6.4 8.0 AVERAGE INCOME: $ 9846 AVERAGE INCOME AFTER ADJUSTMENTS: $ 8937 B. INCOME SOURCES: (AVG IS AVERAGE FOR THAT ITEM) PUBLIC WELF WAGES ASSIST PENSION ASSETS OTHER RENT HSLDS WITH: 139 243 214 a7 72 0 PERCENT : 27.9 48.7 42.9 17.4 14.4 0.0 AVG AMOUNT: 11317 5865 7716 363 3182 0 C. INCOME CATEGORIES AT MOVE-IN: INCOME CATEGORIES AT REEXAM: VERY LOW INCOME: 66 ( 13.2) VERY LOW INCOME: 390 ( 78.2) LOWER INCOME: 2 ( 0.4) LOWER INCOME: 40 ( 8.0) OVER INCOME: 0 ( 0.0) OVER INCOME : 0 ( 0.0) t EXCEPTIONS: LOWER INC FAMILIES REQUIRING LI EXCEPTIONS: 1 D. RENTS (Averages per Household, except for URP) TOTAL TENENT PAYMENT: 238.2 TENANT RENT: 201.4 HOUSING ASSISTANCE PAYMENT: 403.7 UTILITY REIMBURSEMENT PAYMENT: 33.8 (Avg for only Hshlds with URP) SECURJTY DEPOSIT : 199.5 E. EXPENSES: (AVG IS AVG PER HOUSEHOLD WITH THAT ITEM) HANDCP DEPEN ELDERLY MEDICL CH CARE OTHER ASSIST DEDUC DEDUC HSLDS WITH: 104 20 1 0 224 252 PERCENT : 20.8 4.0 0.2 ' 0.0 44.9 50.5 AVG AMOUNT: 806 2082 215 0 1024 400 PHA Manager 3.50 (c)86-93 * CARLSBAD HOUSING AND REDEVELOPMENT ' STJMMARY STATISTICS REPORT (cont): Date: 11/16/93 Page: 4 e . ~MIT~/CERTIFICATES/VOUCHERS (PCT is from units on file except where noted) A. UNIT REPORT: (Calculated only if report includes a single project) UNITS ON FILE: 0 ' OBR 1BR 2BR 3 BR 4BR 5+BR 1. UNITS IN ACC: 0 0 0 0 0 0 ( 0.0) ( 0.0) ( 0.0) ( O..O) ( 0.0) ( 0.0) 2. LEASED: 0 0 0 0 0 0 ( 0.0) ( 0.0) ( 0.0) ( 0.0) ( 0.0) ( 0.0) 3. OUTSTANDING 0 0 0 0 0 0 OR EXTENDED: ( 0.0) ( 0.0) ( 0.0) ( 0.0) ( 0.0) ( 0.0) 4. BALANCE (OVER 0 0 0 0 0 0 UNDER ACC: ( 0.0) ( 0.0) ( 0.0) ( 0.0) ( 0.0) ( 0.0) B. PROGRAM UTILIZATION: (Includes ALL units. Use Rpt #13 PCT OF NUMBER UNITS TOTAL ISSUED/ AVAIL. AVAIL. LEASED SECTION 8 CERT: 57 69.5 400 SECTION 8 MR: . 0 0.0 0 25 30.5 99 0 0.0 0 TOTAL : 82 100.0 499 e E:FHOUSING C. GROSS RENT UNDER 200 200-299 300-399 400-499 500-599 NO : 36 0 4 12 173 PCT : 7.2 0.0 0.8 2.4 34.7 AVERAGE GROSS RENT: 642.2 for more detail.) PERCENT UTILI- ZATION 87.5 0.0 79.8 0.0 85.9 600-699 700+ 81 193 16.2 38.7 D. CONTRACT RENT 36 NO : 0 5 18 192 110 UNDER 200 200-299 300-399 400-499 500-599 600-699 700+ PCT : 138 7.2 0.0 1.0 3.6 38.5 22.0 27.7 AVERAGE CONTRACT RENT: 605.1 E. UTILITY ALLOWANCE UNDER 25 "25-49 50-74 75-99 100-124 125-149 NO : 122 . 272 70 18 9 150+ 6 2 0.4 PCT : 24.4 54.5 14.0 3.6 1.8 1.2 AVERAGE UTILITY ALLOWANCE: 37.1 PHA Manager 3.50 (~186-93 * CARLSBAD HOUSING AND REDEVELOPMENT . ' S-Y STATISTICS REPORT (cont) : Date: 11/16/93 'Page: 5 LEASING INFORMATION: TOTAL ELDERLY NON-ELDERLY A. LEASE-IN-PLACE FAMILIES: 101 75 ( 74.3) 26 ( 25.7) B. CERTIFICATE/VOUCHER SIZE VS ACTUAL UNIT SIZE: OBR 1BR 2BR OBR : 24 0 0 VOUCHER 2BR : 5 4 132 SIZE: 3BR : 0 1 10 4BR : 0 0 2 5+BR: 0 0 0 CERTIF/ 1BR : 12 183 23 ACTUAL SIZE: 3BR 4BR 5+BR 0 '0 0 2 0 0 6 1 0 70 3 0 6 15 0 0 0 '0 C. EXCEPTION RENTS FOR CERTIFICATES: OBR 1BR 2BR 3BR 4BR 10% EXCEPTION AUTHORIZED: 0 .O 5 3 1 20% EXCEPTION AUTHORIZED: 0 0 0 0 0 ANNUAL ADJ. FACTOR APPLIED: 0 4 2 4 1 CURRENT GR OVER FMR: 0 4 27 24 15 1-10% OVER FMR: 0 3 25 18 13 10-20% OVER FMR: 0 0 1 5 2 MORE THAN 20% OVER FMR: 0 1 1 1 0 COMPARISON OF GROSS RENT TO FMRS: OBR 1BR CURRENT FMRS (AVG) : 1 615 GR > 1.lxFMR: 0 3 GR > FMR c 1.lxFMR: 0 1 GR = FMR: 0 28 GR > .9xFMR c FMR: 0 '5 8 GR c .9xFMR: 24 97 TOTAL : 24 187 2BR 3BR 4BR 707 860 929 9 11 4 19 13 11 36 29 6 25 4 0 15 5 2 104 62 23 5+BR 0 0 0 0 0 0 0 5+BR 0 0 0 0 0 0 0 E. NUMBER OF ASSISTED FAMILIES WHOSE GROSS RENT EXCEEDS PAYMENT STD: OBR 1BR 2BR 3BR 4BR 5 +BR 0.0 VOUCHER : 0 19 33 19 0 0 AVERAGE % OVER PS: 0.0 100.0 100.0 100.0 0.0'' NUMBER OF ASSISTED FAMILIES WHOSE GROSS RENT EXCEEDS PAYMENT STD: 71 F. NUMBER OF ASSISTED FAMILIES WHO, BECAUSE THEIR GROSS RENT IS LESS THAN PAYMENT STANDARD, RECEIVE A SAVINGS: OBR 1BR 2BR 3BR 4 BR 5+BR AVERAGE SAVINGS : 0.0 1.0 1.0 1.0 0.0 0.0 NUMBER OF ASSISTED FAMILIES RECEIVING SAVINGS: 28 VOUCHER : 0 14 11 3 0 0 t PHA Manager 3.50 (c)86-93 * CARLSBAD HOUSING AND REDEVELOPMENT 9 f SUMMARY STATIS,TICS REPORT (c.ont) : e- H. I. J. K. L. t UNIT TYPES: SINGLE FAMILY: DUPLEX : GARDEN : HIGHRISE: TOWNHOUSE : HOUSING TYPES: LEASED IND GROUP RESIDENCE: 0 CONGREGATE: 0 MOBILE HOME PAD: 0 SINGLE ROOM OCCUP: 0 SHARED HOUSING : 0 RENTAL REHAB : 0 PROJ SELF SUFFIC: 0 OVERISSUED: 0 FLAGGED : 0 OTHER : 0 TURNOVER : CERT AVG TIMES USED/LEASED: 1.06 CANCELLATIONS OF CERT/VOUCHER: OVERINCOME: HOUSING NOT LOCATED: NO LONGER INTERESTED: OTHER SUBSIDY: OBLIGATION UNMET: TERMINATED BEFORE 60 DAYS: OTHER : HAP/LEASE CANCELLATIONS: OWNER UNCOOPERATIVE: TENANT UNDESIRABLE: TENANT DECEASED: NO LONGER IN JURISDICTION: NO LONGER INTERESTED: SUBSTANDARD HOUSING : NO LONGER ELIGIBLE: SALE OF PROPERTY: PHA INITIATED: OTHER : Date: 11/16/93 Page: 6 34 ( 8.1) 343 ( 81.9) 19 ( 4.5) 4 ( 1.0) 19 ( 4.5) NOT LEASED 1 0 4 0 0 0 0. 3 0 1 MOD REH VOUCHER 0.00 1.00 0 ( 0.0) 0 ( 0.0) 0 ( 0.0) 0 ( 0.0) 0 ( 0.0) 0 ( 0.0) 0 ( 0.0) 0 ( 0.0) 0 ( 0.0) 0 ( 0.0) 0 ( 0.0) 0 ( 0.0) 0 ( 0.0) 0 ( 0.0) 0 ( 0.0) 1 (100.0) 0 ( 0.0) OWNER DATA : THIS REPORT OWNERS W/CONTRACTS: 139 FAMILIES UNDER LEASE: 462 AVG FAMILIES PER OWNER: 3.32 PUB HOUS 0.00 ALL OWNERS 209 459 2.20 WHITE: BLACK : AMER IND/ALASKAN NATIVE: ASIAN/PACIF ISLANDER: OTHER : PHA Manager 3.50 (c)86 63 ( 45.3) 95 ( 45.5) 0 ( 0.0) 0 ( 0.0) 0 ( 0.0) 0 ( 0.0) 3 ( 2.2) 4 ( 1.9) 7 ( 5.0) 8 ( 3.8) 93 * CARLSBAD HOUSING AND REDEVELOPMENT Apuendix D OUTREACH ANNOUNCEMENT TO SECTION 8 PARTICIPANTS The Carlsbad Housing Authority has received a limited number of Family Self-Sufficiency (FS.S) Section 8 Certificates/Vouchers from the United States Department of Housing and Urban Development (HUD) and is implementing an ongoing Family Self-Sufficiency Program. The Carlsbad Housing Authority has agreed to provide the FSS Program to families currently receiving Section 8 rental assistance who are eligible for a two- or three-bedroom certificate or voucher. What is the FSS Program? The FSS Program is a program whereby participants receive educational assistance and job training skills to become economically self-sufficient. The Housing Authority will assess the family's needs -- what does the family need to be able to get a good job? What must the Family do to get into the FSS Program? e The Family and the Housing Authority must agree to a Training and Support Service Plan which may include educational assistance, job training, personal skill building, child care or other social services which the family might need to get a good job; Choose an adult member that will participate in the FSS Program; Sign a five (5) year FSS Contract of Participation; Commit to a job training, educational and support service plan with the Housing Search for and obtain a training-related job. Authority; and, What will FSS Partickants receive for being in the FSS Program? Program transfer to an FSS Section 8 certificate or voucher which will entitle participant to FSS Supportive Services and the establishment of an escrow account within the guidelines of the FSS Program. An escrow account; (The Housing Authority, through a HUD formula, will put money into a savings account that the family can have only after the family completes their FSS Plan and is . no longer receiving any welfare assistance.) If Your family is interested in participating in the FSS Drogram, Dlease fill out the attached form and mail it in the enclosed self-addressed. stamDed enveloDe within the next two weeks. You will be notified if your family is eligible to participate in the FSS Program. If you choose not e to participate, your current Section 8' status will remain the same. $ Page iii NAME FAMILY SELF-SUFFICIENCY OUTREACH INTEREST SURVEY TELEPHONE # ADDRESS ZIP LANGUAGES SPOKEN LANGUAGES WRITTEN PLEASE CIRCLE YOUR HIGHEST SCHOOL GRADE ATTENDED: 1st 2nd 3rd 4th 5th 6th 7th 8th 9th loth 11th 12th High School Diploma: GED: COLLEGE: 2 Yrs. 4 Yrs. Degrees or Certifications Received: AA Degree BNBS Degree Other: PLEASE LIST VOCATIONAL OR EMPLOYMENT TRAINING YOU HAVE RECEIVED, BEGINNING WITH YOUR MOST RECENT EXPERIENCE: Type of Training Where Dates (Attach separate sheet if you need more room) ......................................................................... ARE YOU NOW?: Employed/Unemployed/Have not been Employed during the last two years . Have never been employed . WORK HISTORY: Include full-time and part-time work, starting with your most recent job. Job #1 Job #2 Job #3 Type of Work: Dates: Hours: Hourly Wage: Reason for Leaving: I will need child care at the orientation: Yes [ 3 No [ 3 If yes, specify ages of children: Page iv * Aupendix F APPLICANT/PARTICIPANT CERTIFICATION OF FAMILY OBLIGATION FOR THE FAMILY SELF-SUFFICIENCY PROGRAM Family Responsibilities I understand that as a participant of the Section 8 Family Self-Sufficiency Program (FSS) there are program rules and regulations that I must follow. I further understand there are goals and deadlines that I must meet. Failure to follow the rules and to complete established goals and deadlines may result in the termination of my eligibility from the Section 8 Program. Obligations of Partickation 1. 2. 3. 4. I understand' that I must sign a Certificate of Participation and perform all requirements thereof. Failure to perform program requirements may result in termination from the Section 8 program and I will be able to apply for Section 8 Rental Assistance or any rental assistance program with the Carlsbad Housing Authority for two (2) years unless the family reimburses the Housing Authority for withdrawn' escrow amount before the two-year period. I further understand that 1 and all family members who participate in the Family Self-Sufficiency Program must complete the activities within the dates stated in the individual Training & Support Service Plan (TSSP). I understand that I must consult with my Case Manager and receive written approval before changes can be made to the established Training and Support Service Plan. Failure to do so may result in termination from the Family Self- Sufficiency Program and the Section 8 rental, assistance program. a. b. d. f. g. h. C. 1. I understand that the Contract of Participation can be extended for up to two (02) years under the following conditions: Major Training and Support Service Plan revisions Service delivery interruptions Changes in job market demand Involuntary loss of employment; i.e., serious illness Documented, non-drug related health conditions Death of FSS participant Designation of new FSS head of household Or other good cause, which means circumstances beyond the control of the FSS participant. Page v Amendix F. cont. 5. I understand tha It I must apply and interview for jobs after completion of applicable job training programs outlined in the Training & Support Service Plan. 6. I understand that I must maintain suitable employment, ideally decide to continue to participate in the Family Self-sufficiency Program. Escrow Account 1. I understand to receive monies in the escrow account, I must successfully complete the Family Se1f:Sufficiency Program and no longer receiving any Federal, State or other public assistance of any kind. 2. I understand if I am terminated from the Section 8 Program, I forfeit all monies accrued in the Family Self-Sufficiency escrow account. 3. I also understand should I continue to receive public assistance for housing ten (10) years after the commencement of the Contract of Participation, I forfeit all monies accumulated in the escrow account. 4. I understand when I have completed the Family Self-Sufficiency Program and withdrawn monies from the escrow account, I must reimburse the Carlsbad Housing Authority the total amount withdrawn from the account before I can apply rental assistance. Section 8. Family Obligations I further understand that I must observe the terms of the lease and the Family Obligations of the Section 8 Housing Assistance CertificateNoucher Program and participation in the Family Self-sufficiency Program in no way modifies, deletes or relieves me of program requirements and the Section 8 Lease Agreement. Adult Family Members: sign .. Date FSS Family Obligations - 12/93 Page vi r. SUMMARY STATISTICS REPORT """"---"-"~""""" DATE: 11/16/93 ECTION CRITERIA: ALL TENANTS WERE INCLUDED I. HEAD OF HOUSEHOLD COMPOSITION. (% OF ALL HEADS IS IN PARENTHESES) A. THERE ARE 499 HEADS OF HOUSEHOLD. (MAY BE MORE THAN 1 IN A UNIT.) THERE ARE 499 HOUSEHOLDS. B. AGE: UNDER 30 30-39 40-49 50-59 60-69 70-79 80 (+I NO : 46 123 86 33 59 97 55 PCT : 9.2 24.6 17.2 6.6 11.8 19.4 11.0 AVERAGE AGE: 53.4 C. SEX: MALE: 131 ( 26.3) FEMALE: 368 ( 73.7) E. ELDERLY HEAD-OF-HOUSEHOLD FAMILIES ASSISTED: OBR . 1BR 2BR 3BR 4BR 5 +BR NO : 19 213 37 8 2 0 PCT: 3.8 42.7 7.4 1.6 0.4 0.0 F. NON-ELDERLY HEAD-OF-HOUSEHOLD FAMILIES ASSISTED: OBR 1BR 2BR 3BR 4BR 5+BR NO : 5 7 111 76 21 0 PCT : 1.0 1.4 22.2 15.2 4.2 0.0 G. RACE/ETHNICITY: WHITE: 453 ( 90.8) BLACK : 29 ( 5.8) AMER IND/ALASKAN NATIVE: 1 ( 0.2) ASIAN/PACIF ISLANDER: 13 ( 2.6) OTHER : 3 ( 0.6) HISPANIC: 160 ( 32.1) NON-HISPANIC: 336 ( 67.9) H. MISCELLANEOUS: 62 YRS OR OLDER: 206 ( 41.3) HANDICAPPED: 3 ( 0.6) DISABLED : 92 ( 18.4) FULL-TIME STUDENT (18 +) : 9 ( 1.8) NONE OF THE ABOVE: 213 ( 42.7) PHA Manager 3.50 (~186-93 * CARLSBAD HOUSING AND REDEVELOPMENT ' SUMMARY STATIST.ICS REPORT (cont) : Date: 11/16/93 Page: 2 ALL MEMBERS COMPOSITION: (PCT IS PCT OF ALL MEMBERS) A. THERE ARE 1149 MEMBERS. B. AGE: 0-12 13-17 18-29 30-39 40-49 50-.59 60-69 70-79. 80(+) 342 116. 14 0 168 103 46 68 106 60 29.8 10.1 12.2 14.6 9.0 4.0 5.9 9.2 5.2 AVERAGE AGE : 32.4 C. SEX: ALL - MALE: 446 ( 38.8) FEMALE: 703 ( 61.2) ADULTS - MALE: 202 ( 17.6) (18 +) FEMALE: 489 ( 42.6) D. RACE/ETHNICITY: WHITE: 1018 ( 88.6) BLACK : 65 ( 5.7) AMER IND/ALASKAN NATIVE: 1 ( 0.1) ASIAN/PACIF ISLANDER: 48 ( 4.2) OTHER : 17 .( 1.5) e HISPANIC: 519 ( 45.2) NON-HISPANIC: 563 ( 54.8) E. MISCELLANEOUS: 62 YRS OR OLDER: 226 ( 19.7) HANDICAPPED : 3 ( 0.3) DISABLED : 102 ( 8.9) NONE OF THE ABOVE: 815 ( 70.9) FULL-TIME STUDENT (18 +) : 29 ( 2.5) F. FAMILY SIZE: 1 2 3 4 5 6 7 8 9 10 11(+) NO: 230 93 67 47 42 12 5 2 0 0 1 PCT: 46.1 18.6 13.4 9.4 8.4 2.4 1.0 0.4 0.0 0.0 0.2 AVERAGE FAMILY SIZE: 2.3 G. RELATIONSHIP CODE: (AVG IS AVG PER HOUSEHOLD) HEAD SPOUSE ADULT DEPEN FOSTER LIVE-IN OTHER NO : 499 76 87 486 0 0 1 AVG : 1.00 0.15 0.17 0.97 0.00 0.00 0.00 t PHA Manager 3.50 (~186-93 * CARLSBAD HOUSING AND REDEVELOPMENT * SUMMARY STATISTICS REPORT (cont) : Date: 11/16/93 Page: 3 Q, . INCOME/EXPENSES: A. INCOME BREAKDOWN: (INCOME BEFORE ADJUSTMENTS) UNDER 2500- 5000- 7500- 10000- 12500- 15000- $ 2500 4999 7499 9999 12499 14999 17499 17500(+) NO : 43 10 102 144 81 47 32 40 PCT : 8.6 2.0 20.4 28.9 16.2 9.4 6.4 8.0 AVERAGE INCOME: $ 9846 AVERAGE INCOME AFTER ADJUSTMENTS: $ 8937 B. INCOME SOURCES: (AVG IS AVERAGE FOR THAT ITEM) PUBLIC WELF WAGES ASSIST PENSION ASSETS OTHER RENT HSLDS WITH: 139 243 214 87 72 0 PERCENT : 27.9 48.7 42.9 17.4 14.4 0.0 AVG AMOUNT: 11317 5865 7716 363 3182 0 C. INCOME CATEGORIES AT MOVE-IN: INCOME CATEGORIES AT REEXAM: VERY LOW INCOME: 66 ( 13.2) VERY LOW INCOME: 390 ( 78.2) LOWER INCOME: 2 ( 0.4) LOWER INCOME : 40 ( 8.0) OVER INCOME: 0 ( 0.0) OVER INCOME: 0 ( 0.0) EXCEPTIONS: LOWER INC FAMILIES REQUIRING LI EXCEPTIONS: 1 D. RENTS (Averages per Household, except for URP) TOTAL TENENT PAYMENT: 238.2 TENANT RENT: 201.4 HOUSING ASSISTANCE PAYMENT: , 403.7 UTILITY REIMBURSEMENT PAYMENT: 33.8 (Avg for only Hshlds with URP) SECURITY DEPOSIT: 199.5 E. EXPENSES: (AVG IS AVG PER HOUSEHOLD WITH THAT ITEM) HANDCP DEPEN ELDERLY MEDICL CH CARE OTHER ASSIST DEDUC DEDUC HSLDS WITH: 104 20 1 0 224 252 PERCENT : 20.8 4.0 0.2 0.0 44.9 50.5 AVG AMOUNT: 806 2082 215 0 1024 400 PHA Manager 3.50 (~186-93 * CARLSBAD HOUSING AND REDEVELOPMENT * SUMMARY STATISTICS REPORT (cont) : Date: 11/16/93 Page: 4 t UNITS/CERTIFICATES/VOUCHERS (PCT is from units on file except where noted) A. UNIT REPORT: (Calculated only if report includes a single project) OBR ' 1BR 2BR 3BR 4BR 5+BR 1. UNITS IN ACC: 0 0 0 0 0 0 UNITS ON FILE: 0 ( 0.0) ( 0.0) ( 0.0) ( O..O) ( 0.0) (. 0.0) 2. LEASED: 0 0 0 0 0 0 ( 0.0) ( 0.0) ( 0.0) ( 0.0) ( 0.0) ( 0.0) 3. OUTSTANDING 0 0 0 0 0 0 OR EXTENDED: ( 0.0) ( 0.0) ( 0.0) ( 0.0) ( 0.0) ( 0.0) 4. BALANCE (OVER 0 0 0 0 0 0 UNDER ACC: ( 0.0) ( 0.0) . ( 0.0) ( 0.0) ( 0.0) ( 0.0) B. PROGRAM UTILIZATION: (Includes ALL units. Use Rpt #13 for more detail.) PCT OF NUMBER PERCENT UNITS TOTAL ISSUED/ UTILI- AVAIL. AVAIL. ' LEASED ZATION SECTION 8 CERT: 57 69.5 400 87.5 SECTION 8 MR: VOUCHER : 0 0.0 0 0.0 25 30.5 99 79.8 PUBLIC HOUSING 0 0.0 0 0.0 TOTAL : 82 100.0 499 85.9 C. GROSS RENT UNDER 200 200-299 300-399 400-499 500-599 600-699 700+ NO : 36 0 4 12 173 81 193 PCT : 7.2. 0.0 0.8 2.4 34.7 16.2 38.7 AVERAGE GROSS RENT: 642.2 D. CONTRACT RENT UNDER 200 200-299 300-399 400-499 500-599 600-699 700+ NO : 36 0 5 18 192 110 138 PCT : 7.2 0.0 1.0 3.6 38.5 22.0 27.7 AVERAGE CONTRACT RENT: 605.1 E. UTILITY ALLOWANCE UNDER 25 -.25-49 50-74 75-99 100-124 125-149 150+ NO : 122 272 70 18 9 6 2 PCT : 24.4 54.5 14.0 3.6 1.8 1.2 0.4 AVERAGE UTILITY ALLOWANCE: 37.1 c PHA Manager 3.50 (c)86-93 * CARLSBAD HOUSING AND REDEVELOPMENT ' SUI&ARY STATISTICS REPORT (cont) : Date: 11/16/93 Page: 5 LEASING INFORMATION: TOTAL ELDERLY NON-ELDERLY A. LEASE-IN-PLACE FAMILIES: 101 75 ( 74.3) 26 ( 25.7) B. CERTIFICATE/VOUCHER SIZE VS ACTUAL UNIT SIZE: OBR 1BR 2BR OBR : 24 0 0 VOUCHER 2BR : 5 4 132 SIZE: 3BR: 0 1 10 4BR : 0 0 2 5+BR: 0' 0 0 CERTIF/ 1BR : 12 183 23 C. EXCEPTION RENTS FOR CERTIFICATES: OBR 1BR 10% EXCEPTION AUTHORIZED: 0 0 20% EXCEPTION AUTHORIZED: 0 0 ANNTJAL ADJ. FACTOR APPLIED: 0 4 CURRENT GR OVER FMR: 0 4 1-10% OVER FMR: 0 3 10--20% OVER FMR: 0 0 MORE THAN 20% OVER FMR: 0 1 COMPARISON OF GROSS RENT TO FMRS: OBR CURRENT FMRS (AVG) : 1 GR > 1.lxFMR: 0 GR > FMR c 1.lxFMR: 0 GR = FMR: 0 GR > .9xFMR c FMR: 0 GR c .9xFMR: 24 TOTAL : 24 .. ACTUAL SIZE: 3BR 4BR 5+BR 0 0 0 2 0 0 6 1 0 70 3 0 6 15 0 0 0 0 2BR 3BR 4BR 5+BR 5 3 1 0 0 0 0 0 2 4 1 0 27 24 15 0 25 18 13 0 1 5 2 0 1 1 0 0 1BR 2BR 3BR 4BR 5+BR 615 707 860 929 0 3 9 11 4 0 1 19 13 11 0 28 36 29 6 0 58 25 4 0 0 97 15 5 2 0 187 104 62 23 0 E. NUMBER OF ASSISTED FAMILIES WHOSE GROSS RENT EXCEEDS PAYMENT STD: OBR 1BR 2BR 3BR 4BR 5 +BR VOUCHER : 0 19 33 19 0 0 AVERAGE % OVER PS: 0.0 100.0 100.0 100.0 0.0" 0.0 NUMBER OF ASSISTED FAMILIES WHOSE GROSS RENT EXCEEDS PAYMENT STD: 71 F. NUMBER OF ASSISTED FAMILIES WHO, BECAUSE THEIR GROSS RENT IS LESS THAN PAYMENT STANDARD, RECEIVE A SAVINGS: OBR 1BR 2BR 3BR 4BR 5 +BR VOUCHER : 0 14 11 3 0 0 AVERAGE SAVINGS : 0.0 1.0 1.0 1.0 0.0 0.0 NUMBER OF ASSISTED FAMILIES RECEIVING SAVINGS: 28 t PHA Manager 3.50 (~186-93 * CARLSBAD HOUSING AND REDEVELOPMENT .. sui~lMARy STATISTICS REPORT (Cant) : Date: 11/16/93 Page: 6 @- H. I. J. e K. L. t UNIT TYPES: SINGLE FAMILY: 34 ( 8.1) DUPLEX : 19 ( 4.5) GARDEN : 343 ( 81.9) HIGHRISE: 4 ( 1.0) TOWNHOUSE : 19 ( 4.5) HOUSING TYPES: LEASED NOT LEASED IND GROUP RESIDENCE: 0 1 CONGREGATE: 0 0 MOBILE HOME PAD : 0 4 SINGLE ROOM OCCUP: 0 0 SHARED HOUSING: 0 0 RENTAL REHAB : 0 0 PROJ SELF SUFFIC: 0 0 OVERISSUED: 0 3 FLAGGED : 0 0 OTHER : 0 1 TURNOVER : CERT MOD REH VOUCHER PUB HOUS AVG TIMES USED/LEASED: 1.06 0.00 1.00 0.00 CANCELLATIONS OF CERT/VOUCHER: OVERINCOME: 0 ( 0.0) HOUSING NOT LOCATED: 0 ( 0.0) NO LONGER INTERESTED: 0 ( 0.0) OTHER SUBSIDY: 0 ( 0.0) OBLIGATION UNMET: 0 ( 0.0) TERMINATED BEFORE 60 DAYS: 0 ( 0.0) OTHER : 0 ( 0.0) HAP/LEASE CANCELLATIONS: OWNER UNCOOPERATIVE: 0 ( 0.0) TENANT UNDESIRABLE: 0 ( 0.0) TENANT DECEASED: 0 ( 0.0) NO LONGER IN JURISDICTION: 0 ( 0.0) NO LONGER INTERESTED: 0 ( 0.0) SUBSTANDARD HOUSING: 0 ( 0.0) NO LONGER ELIGIBLE: 0 ( 0.0) SALE OF PROPERTY: 0 ( 0.0) PHA INITIATED: 1 (100.0) OTHER : 0 ( 0.0) OWNER DATA : THIS REPORT ALL OWNERS OWNERS W/CONTRACTS: 139 209 FAMILIES UNDER LEASE: 462 459 AVG FAMILIES PER OWNER: 3.32 2.20 WHITE: 63 ( 45.3) 95 ( 45.5) BLACK : 0 ( 0.0) 0 ( 0.0) AMER IND/ALASKAN NATIVE: 0 ( 0.0) 0 ( 0.0) ASIAN/PACIF ISLANDER: 3 ( 2.2) 4 ( 1.9) OTHER : 7 ( 5.0) 8 ( 3.8) PHA Manager 3.5 0 (c) 86 - 93 * CARLSBAD HOUSING AND REDEVELOPMENT .... usaprcmsncd~urdufb8n~ bS Angel- OfflCS, PdfldH8waii Area 1675 West Olympic Boulevard Los Angel-, CalHornh 9001 5-3807 .... ....... .. ... .I.. ..... ..... .. _. .. ..... .. .. .. ... .. ... Public Housing' 0ivisi.on. I : .... ....... A ._ .. .- I. I SUBJECT: Program Coordinating Committee (PCC) This is regarding the Program Coordinating Committee (PCC) information we requested in our approval letter for the FY 1994 Fair Share Section 8.Certificate and Voucher programs. Some Agencies have responded; however, the Theref ore, please resubmit this information as.'eequested below. ........ .. ..: ..... ... ..- .in.f.oma.tipn., s.bmittpd hw. :f;reqt?entJy .,bees ,iscamp$ete. . :. ..... .. .. .. ....... .. .. .- .... .-. .. -. ... . ..... ... .. ,Hou.s,hg .Auth.orit,ie.s who hqve .established 'a Seo.t$qn. .8 : ' Fdly Self kSuf f iciency (FSS) "program;' and/or '.will' apply for future funding under the Section 8 program, please submit the following information to our office by January 31, 1995: An Action Plan, and documentation of establishment of a .: :* PCC; providing names of all members; general experience of each PCC member as it relates to PCC functions; and duties each person will conduct as a PCC member. As a reminder, it is very important to carefully read each Notice of Funding Availability thoroughly to ensure that your applications fully address the information requested in the selection criteria. If we can be of further assistance, please contact Teena Jackson or Michele McIntyre at (213) 251-7193. February 2, 1995 Teem Jackson U.S. Department of Housing and Urban Development 1615 West Olympic Blvd. Los Angeles, Ca. 90015-3801 PROGRAM COORDINATING COMMITTEE (PCC) Dear Ms. Jackson: Pursuant to our conversation on January 27, 1995, and the HUD Notice dated January 12, 1995, enclosed please find. a listing of the Program Coordinating Committee (PCC) members for the Carlsbad Housing Authority. This listing contains each member’s experience as it relates to PCC functions and their role as a PCC member. c The Carlsbad Housing Authority and the Oceanside Housing Department share the same PCC because the majority of the social service programs for both Housing Authorities are administered by the same agencies. The PCC was founded on October 26, 1993. It was formed from a pre-existing group of social service providers who were meeting on a regular basis. Enclosed is the minutes from the October 26, 1993, meeting documenting the formation of the PCC and a news article artesting to the productivity of the pre-existing group. The Action Plan for the Carlsbad Housing Authority was submitted to HUD on December 5, 1993. As was previously noted, the FSS Coordinator position was awarded on a competitive to Lifeline Community Services of North San Diego County. The effective date of that contract was January 1, 1995. If you have questions or require additional. information, I may be reached at (619) 434-2816. HOUSING PROGRAM MANAGER c Enclosures 2965 Roosevelt St., Ste. B Carlsbad, CA 92008-2389 (61 9) 434-28101281 1 FAX (619) 720-2037 @ CARLSBAD HOUSING AUTHORITY PROGRAM COORDINATING COMMTlTEE (PCC) FAMILY SELF-SUFFICIENCY PROGRAM Committee Member Information Role of the Program Coordinating Committee CpCC) - The PCC assists in the development of the Action Plan and FSS program policies. It helps the Housing Authority obtain supportive services funding and service commitments. The PCC helps oversee the overall implementation of the FSS program. . Name: Ruthann Zaid PCC Role: Chairperson Title: District Manager Agency: Department of Social Services 3 18 N. Home Street, Oceanside CA 92054 Phone #: (619) 967-4510 Fax #: (619) 967-4626 Duties: District Manager for approximately 160 Eligibility and Support Staff. Services: Aid to Families with Dependent Children (AFDC), Food Stamp eligibility, Medi-Cal, and General Relief. """"""""""""""""~""~"""""""""""""""""""""" Name: Reginald Harrison PCC Role: Co-Chairperson Title: Housing Program Manager Agency: City of Carlsbad Housing and Redevelopment 2965 Roosevelt Street, Suite B, Carlsbad, CA 92008 Phone#: (6 19) 434-28 16 FAX #: (619) 720-2037 Duties: Administer the Section 8 Rental Assistance Program. Supervise the day to day activities of the Family Self-Sufficiency Coordinator. """"""""""""""""""""""""~""""""""""""""""""""""""""" NAME: Roberta Nunn PCC Role: Co. - Chairperson I TITLE: Sr. Housing Specialist AGENCY: City of Oceanside 300 N. Hill St.,Nevada St. Annex. Oceanside, Ca 92054 PHONE: (619) 966-4592 FAX # (til!)) 9664177 DUTIES: Administer the Section 8'Rental Assistance Program. Supervise the day to day L activities of the Family Self-sufficiency Coordinator' 4 Name: Title: Agency: Phone #: Duties: Services: Name: Title: Agency: Phone #: Duties: Services: Dr. Joy Omer PCC Role: Advisory Member Pre-Employment Training Specialist Mira Costa Community College One Barnard Drive, Oceanside CA 92056 (619) 757-2121 x470 F~x #: (619) 757-3402 Implement Workforce Learning Programs and coordinate these programs with local companies. Provide Job Training Programs for low-income persons. Paula R. Lead PCC Role: Advisory Member North County Program Director YMCA Childcare Resource Service 380 Mulberry Dr. Suite A, San Marcos CA 92069 (619) 471-2751 F~x #: (619) 471-2844 , Supervise Program Staff for child-care program and refed services. Subsidized childcare services to low-income persons (State Funded Child Care Program). Free child-care referrals and support services to child-care providers. Name: Joy Talbergs PCC Role: Advisory Member Title: Assessment Coordinator, North County Career Center Agency: Mira Costa Community College 320 N. Home Street, Oceanside CA 92054 Phone #: (619) 966-0924 Duties: Coordinate basic skills and assessment services for eligible participants. Services: Provide Career Counseling for JTPA clients and provide basic skills and GED education services. Name: Ignacio Alvillar Title: District Manager c Agency: Phone #: Duties: Services: "_""""""" Name: Title: Agency: c Phone #: Duties: Services: Name: Title: Agency: Phone #: Duties: Services: PCC Role: Advisory Member Social Security Administration 1305 Union Plaza Ct., Oceanside CA 92054 (619) 439-1072 F~x #: (619) 439-8536 Provide overall direction for district office staff in delivery of social services. Establish eligibility to Social Security and Supplemental Security income benefits including PASS program. Administer services for over 70,000 beneficiaries in North County. Provide information for our benefits and other services in North County. """"""""""""""""""""""""""""""""""""""""""" Susan H. Sterner PCC Role: Advisory Member , Social Work Supervisor County of San Diego, Dept. of Social Services - AESB GAIN 3355 Mission Avenue # 235, Oceanside CA 92054 (619) 433-0038 F~x #: (619) 433-5457 Supervise six employees. Collaborative effort Department of Social Services, Employment Development Department, CRS to implement an employment program for AFDC. Job search workshops, orientations, and appraisals; education training. Support services include transportation and child care for participants in GAIN activities. Pam Trunell PCC Role: Advisory Member Director of Social Services North County Lifeline, Inc. 200 Jefferson Street, Vista CA 92084 (619) 726-6396 F~x #: (619) 726-6102 Director of Social Services Department. Crisis intervention, emergency aid. Problem solving, communication, and counseling. Workshops on employment and budgeting. Name: Barbara Turner PCC Role: Advisory Member Title: Career Development Specialist Agency: Oceanside Unified Regional Occupational Program 2080 Mission Avenue, Oceanside CA 92054 Phone #: 619) 967-1322 F~x #: (619)'439-6023 Duties: Career assessment, and counseling gender equity grants. Services: Vocational training, child care, and bus passes. Counseling, and job search skills. NAME: Sherry Ditty ~ ~~- FCC Role: Advisory Member TITLE: Eligibility Specialist AGENCY: SER Jobs for Progress 5315 Avenida Encinas, Carlsbad Ca 92008 PHONE: (619) 930-2400 F~x #: 930-8014 < DUTIES: Determine Eligibility for the career assessment center. SERVICES: Conduct job search assistance workshops, provide job training and career assessments Name: Alex Lievanos PCC Role: Advisory Member Title: Case Manager - Carlsbad FSS Coordinator Agency: Lifeline Community Services 200 Jefferson Street, Vista CA 92084 Phone #: (619) 726-6396 F~x #: (619) 726-6102 Duties: Family Self-sufficiency Program Coordinator Services: . Problem solving, communication, and counseling. Provide workshops on employment, budgeting and other self-sufficiency topics. Meet regularly with participants, monitor progress toward goals. Identify resources in the community. NAME: Angela Hanifin PCC Role: Advisory Member , Title: Housing Specialist - FSS Coordinator AGENCY: City of Oceanside 300 N. Hill St., Nevada St. Annex. Oceanside, Ca 92054 PHONE: (619) 966-4592 FAX #: (619) 966-4177 DUTIES: Administer Section 8 Caseload and FSS Case Management and Coordination. Services: Problem solving, communication, and counseling. Provide workshops on employment, budgeting and other self-sufficiency topics. Meet regularly with participants, monitor progress toward goals. Identify resources in the comunity. NAME: Cheri Sat0 PCC Role: Advisory Member. TITLE: FSS Participant AGENCY: Carlsbad Housing Authority 2965 Roosevelt St. #B, Carlsbad, CA 92008 c. Phone: .(619) 434-2810 FAX #: (619) 720-2087 NAME: Allison Johnson PCC Role: Advisory Member TITLE: FSS Participant AGENCY: City of Oceanside 300 N. Hill St., Nevada St. Annex. Oceanside, Ca. 92054 PHONE: (619) 966-4592 F~x #: (619) 966-4177 Name: Christine Hansen PCC Role: Committee Member Title: Mental Health Assistant Agency: MAAC Project Head Start 800 Los Vallecitos Ste. #J, San Marcos CA 92069 Phone #: (619) 471-4210 Duties: Assist mental health coordinator in implementing policy & guidelines for mental health component. Services: Federally funded child development program for low income, and handicapped children. Two day care facilities which are free of charge. Name: Title: Agency: Phone #: Duties: Services: Liz Nilsen PCC Role: Committee member Center Manager Planned Parenthood 2110 S. Hill Street Suite F, Oceanside CA 92054 (619) 722-8315 F~x #: (619) 722-2401 Management of staff, client followups, Interviews and referrals. Gynecology exams. Papsmears, STD & HW testing and birth control. Services for middle aged women, which includes hormone therapy, sterilization counseling. Name: Title: Agency: Phone #: Duties: Services: Katherine Foster PCC Role: Committee Member Assistant District Manager Social Security Administration 1305 Union Plaza Court, Oceanside CA 92054 (619) 439-1072 F~x #: (619) 439-8536 Assists in direction of Social Security Administration office. Supervises Retirement, Survivors, Supplemental Security Income, and Health and Disability insurance benefits. Administer PASS program and provide Social Security cards. Name: Title: Agency: Phone: Duties: Services: Patricia Haskell PCC Role: Committee Member Corrective Action Eligibility Supervisor Dept. of Social Services 318 N. Home Street, Oceanside CA 92054 (619) 967-4569 Fax #: (619) 967-4626 Oversee AFDC, Foodstamps, Medi-Cal & general relief programs for accuracy. .. Staff training available. Medical, fmancial, food, and temporary housing assistance. Various assistance programs for all ages. Name: Ron Snider PCC Role: Committee Member Title: Program Manager Agency: Carlsbad Community Resource Center 3138-H Roosevelt Street, Carlsbad CA 92008 Phone #: (619) 729-9300 F~x #: (619) 729-9399 Duties: Plan supervise & perform delivery of services to Carlsbad residents, coordinate with local agencies. Services: Emergency assistance. Case management. Family development & crisis counseling. Information & referrals. Name: Joni Casey PCC Role: Committee Member Title: Benefits Analyst Agency: San Diego County Dept. of Social Services 318 N. Home Street, Oceanside CA 92054 Phone #: 966-3849 < Duties: Issue AFDC homeless funds for both temporary and permanent funds. Services: Financial, medical, and food assistance. Assist homeless families. , Name: Lori Newhart PCC Role: Committee Member Title: .. Protective Service Supervisor Agency: Children Services Bureau Phone #: (619) 754-3470 F~x #: (619) 754-3530 Duties: Supervise case managers providing services to children & families inyolved with juvenile court. Services: Referrals to counseling. Drug testing. Case management for families involved with juvenile court. Child abuse prevention. .. Name: Sylvester P. Lopez PCC Role: Committee Member Title: Outreach Specialist Agency: Employment Development Department 2027 E. Mission Ave., Oceanside CA 92054 Phone #: (619) 754-5015 Fa #: (619) 754-5630 Duties: Migrant seasonal farmworkers outreach. Services: Job services, unemployment insurance, and special projects. Name: Paul Downey PCC Role: Committee Member Title: Social Worker Agency: The Salvation Army 3935 Lake Blvd., Oceanside CA 92056 Phone #: (619) 631-8279 Duties: Provide case management, job service programs, and emergency services. 4 Services: Case management, and job service program. Emergency food, clothing and transportation. Various types of assistance programs, such as rental, utility, and water assistance. Name: Carolyn Howard PCC Role: Committee Member Title: Resource Specialist Agency: Perinatal Care Network 8840 Complex Dr. # 200, San Diego CA 92123 Phone #: (619) 565-3351 Duties: Prescreen pregnant women over the phone, give information to correct city for medical care. Services: Expedite pregnant women for medical care. Assist homeless pregnant women with food, clothing, and shelter. Provide transportation through distribution of bus tokens. Provide information on teen pregnancy. Provide prenatal and Name: Gary Wishart PCC Role: Committee Member Tit le: Vice President ' Agency: North Coastal Alliance For the Mentally Ill P. 0. Box 2235, Carlsbad CA 92008 Phone #: (619) 729-8854 or (619) 722-3754 Services: Non profit organization offering support for families & friends of mentally ill persons. - ~~~~~ ~ ~~ NAME: Shirley M. King PCC Role: Committee Member TITLE: Program Aide - Re-entry AGENCY: Mira Costa .College One Barnard Drive, Oceanside, CA ,92056 PHONE: (619) 757-2121 X528 DUTIES: Monitoring Director & support groups. c SERVICES: Monitoring - assisting the older student; financial aid for child care; scholarships, support groups and book loans. c I n DOCUMENT G CITY OF CARLSBAD Compliance Reports and Other Financial Information June 30; 2002 I I I I I I I I I CONTENTS SCHEDULE OF EXPENDITURES OF FEDERAL AND STATE AWARDS Notes to Schedule of Expenditures of Federal and State Awards 1-2 3 INDEPENDENT AUDITOR’S REPORT ON: Compliance and on Internal Control over Financial Reporting Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards 4-5 Compliance with Requirements Applicable to Each Major Program and Internal Control over Compliance in Accordance with OMB Circular A-133 and on the Schedule of Expenditures of Federal and State Awards 6-7 SCHEDULE OF FINDINGS AND QUESTIONED COSTS a-9 SUMMARY SCHEDULE OF PRIOR YEAR AUDIT FINDINGS 10 INDEPENDENT ACCOUNTANT’S REPORT ON APPLYING AGREED-UPON PROCEDURES 11 - 12 Appropriations limit calculation 13 CITY OF CARLSBAD, CALIFORNIA Schedule of Expenditures of Federal and State Awards Year Ended June 30,2002 Catalog of Federal Domestic Assistance. Pass-through Entity Program Grantorpass-Through Grantor Program Title Number Identifying Number Expenditures ~ FEDERAL U.S. Department of Agriculture: Pass-through the County of San Diego: Child and Adult Care Food Program Pass-through the Department of Forestry and Fire Protection: Cooperative Forestry Assistance U.S. Department of Housing and Urban Development: Direct Programs: Community Development Block Grant Community Development Block Grant Section 8 Housing Choice Voucher Program U.S. Department of the Interior: Direct Programs: Bureau of Reclamation Cooperative Agreement Recycled Phase I1 Project U.S. Department of Justice: Direct Programs: Local Law Enforcement Block Grant Police Asset Forfeiture U.S. Department of Transportation: Pass-through State Department of Transportation: Intermodal Surface Transportation Efficiency Act - Carlsbad Blvd. Bridge Retrofit Project Intermodal Surface Transportation Efficiency Act - Coastal Rail Trail Project 1 10.558 10.664 14.218 14.218 14.87 1 15.504 16.592 16.000 36832 $ 21,200 7CA0 1000 44,426 65,626 BOOMC060563 (1) 126,435 BOlMC060563 (1) 350,728 477,163 CA077VO (1) 3,867,573 4,344,736 02-FC-3 5-0005 ( 1 ) 1,130,819 200 1-LB-BX-3 1 1 1 (1) 103,879 CA0370100 (1) 13,215 1 17,094 20.205 STPLZ 5308(008) 24,260 20.205 CML 5308(005) 342,828 . .. 367,088 I CITY OF CARLSBAD, CALIFORNIA Schedule of Expenditures of Federal and State Awards (Continued) Year Ended June 30,2002 Pass-through Entity Program GrantodPass-Through Grantor Program Title Identifying Number Expenditures Environmental Protection Agency: FEDERAL (Continued) Direct Programs: Water Desalination - Recycled Phase I1 Project 66.606 XP-98998001-0 (1) 385,703 Federal Emergency Management Agency: Pass-through the Office of Emergency Services: Hazard Mitigation Program 83.548 FEMA-979-DR-CA 11.312 U.S. Department of Health and Human Services: Pass-through the County of San Diego: Special Programs for the Aging - Title 111, Part B Special Programs for the Aging - Title 111, Part C Total expenditures of federal awards STATE Office of Criminal Justice Planning: California Law Enforcement Equipment Program High Technology Grant Total federal and state awards 93.044 36832 93.045 36832 8,90 1 80,877 89,778 $ 6,512,156 0000 129M ( 1) $ 55,734 $ 6,567,890 (1) Grantee number See accompanying Notes to Schedule of Expenditures of Federal and State Awards. 2 CITY OF CARLSBAD, CAL,IFOm Notes to Schedule of Expenditures' of Federal and State Awards Note 1. Basis of Presentation The accompanying schedule of expenditures of federal and state awards includes the federal and state grant activity of the City of Carlsbad (the City), California, and is presented on the modified-accrual basis of accounting. The information in this schedule is presented in accordance with the requirements of OMB Circular A-133, Audits of States, Local Governments, and Non-Profii Organizations. Therefore, some amounts presented in this schedule may differ from amounts presented in, or used in the preparation of, the basic financial statements. Note 2. Subrecipients Of the federal expenditures presented in the schedule, the City provided federal awards to subrecipients as follows: Program Title Provided .' Federal CFDA Number Amount Community Development Block Grant 14.218 $168,497 Note 3. Section 108 Loans The City has Section 108 loans outstanding in the amount of $329,950 at June 30, 2002. Periodic payments on these Section 108 loans are made from Community Development Block Grant (CDBG) funds and are included in the federal expenditures for the Community Development Block Grant on the Sch,edule of Expenditures of Federal and State Awards. Principal and interest payments made from CDBG funds totaled $184,236 for the year ended June 30,2002. Note 4. Office of Criminal Justice Planning Disclosures The expenditures incurred under the California Law Enforcement Equipment Program High Technology Grant, Grant No. 0000129M, for the year ended June 30,2002 were for police equipment upgrades in the amount of $55,734. The amount awarded to the City under this program for the year ended June 30,2002 was also $55,734. 3 I I I I I Certified Public Accountants INDEPENDENT AUDITOR'S REPORT ON COMPLIANCE AND ON INTERNAL CONTROL OVER FINANCIAL REPORTING IN ACCORDANCE WITH GOWmMENTAUDITINGSTANDARDS BASED ON AN AUDIT OF FINANCIAL STATEMENTS PERFORMED ' To the Honorable Mayor and Members of City Council City of Carlsbad Carlsbad, California We have audited the basic financial statements of the City of Carlsbad (City), California as of and for the year ended June 30,2002,-and have issued our report thereon dated September 30,2002. We conducted our audit in accordance with auditing standards generally accepted in the United States of America and the-standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Compliance As part of obtaining reasonable assurance about whether the City's basic financial statements are free of material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts and grants, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit and, accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance that are required to be reported under Government Auditing Standards. However, we noted certain immaterial instances of noncompliance that we have reported to management of the City in a separate letter dated September 30,2002. Internal Control Over Financial Reporting In planning and performing our audit, we considered City's internal control over financial reporting in order to determine our auditing procedures for the purpose of expressing our opinion on the financial statements and not to provide assurance on the internal control over financial reporting. However, we noted a certain matter involving the internal control over financial reporting and its operation that we consider to be a reportable condition. Reportable conditions involve matters coming to our attention relating to significant deficiencies in the design or operation of the internal control over financial reporting that, in our judgment, could adversely affect the City's ability to record, process, summarize and report financial data consistent with the assertions of management in the financial statements. The reportable condition is. described in the accompanying schedule of findings and questioned costs as item RC 02-01. 4 I I I I I I I I Certified Public Accountants INDEPENDENT AUDITOR'S REPORT ON COMPLIANCE WITH REQUIREMENTS APPLICABLE TO EACH MAJOR PROGRAM AND INTERNAL CONTROL OVER COMPLIANCE IN ACCORDANCE WITH OF FEDERAL AND STATE AWARDS OMB CIRCULAR A-133 AND ON THE SCHEDULE OF EXPENDITURES To the Honorable Mayor and Members of City Council City of Carlsbad Carlsbad, California Compliance We have audited the compliance of the City of Carlsbad (City) with the types of compliance requirements described in the US. Ofice of Management and Budget (OMB) Circular 1-133 Compliance Supplement that.are applicable to its major federal program for the year ended June 30, 2002. The City's major federal program is identified in the summary of independent auditor's results section of the accompanying schedule of findings and questioned costs. Compliance with the requirements of laws, regulations, contracts and grants applicable to its major federal program is the responsibility of the City's management. Our responsibility is to express an opinion on the City's compliance based on our audit. We conducted our audit of compliance in accordance with auditing standards generally accepted in the United States of America; the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States; and OMB Circular A-133, Audirs of States, Local Governments, and Non-Projt Organizations. Those standards and OMB Circular A-133 require that we plan and perform the audit to obtain reasonable assurance about whether noncompliance with the types of compliance requirements referred to above that could have a direct and material effect on a major federal program occurred. An audit includes.examining, on a test basis, evidence about the City's compliance with those requirements and performing such other procedures as we considered necessary in the circumstances. We believe that our audit provides a reasonable basis for our opinion. Our audit does not provide a legal determination on the City's compliance with those requirements. in our opinion, the City complied, in all material respects, with the requirements referred to above that are applicable to its major federal program for the year ended June 30,2002. Internal Control Over Compliance The management of the City is responsible for establishing and maintaining effective internal control over compliance with requirements of laws, regulations, contracts and grants applicable to federal programs. In planning and performing our audit, we considered the City's internal control over compliance with requirements that could have a direct and material effect on a major federal program in order to determine our auditing procedures for the purpose of expressing our opinion on compliance and to test and report on internal control over compliance in accordance with OMB Circular A-133. 6 Our consideration of the internal control over compliance would not necessarily disclose all matters in the internal control that might be material weaknesses. A material weakness is a condition in which the design or operation of one or more of the internal control components does not reduce to a relatively low level the risk that noncompliance with applicable requirements of laws, regulations, contracts and grants that would be material in relation to a major federal program being audited may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. We noted no matters involving the internal control over compliance and its operation that we consider to be material weaknesses. Schedule of Expenditures of Federal and State Awards We have audited the basic financial statements of the City as of and for the year ended June 30,2002, and have issued our report thereon dated September 30, 2002. Our audit was performed for the purpose of forming an opinion on the basic financial statements taken as a whole. The accompanying Schedule of Expenditures of Federal and State Awards is presented for purposes of additional analysis as required by U.S. Office of Management and Budget Circular A-133, Audits of Stares, Local Governments, and Non- ProJt Organizations, and is not a required part of the basic financial statements. Such information has been subjected to the auditing procedures applied in the audit of the basic financial statements and, in our opinion, is fairly stated, in all material respects, in relation to the basic financial statements taken as a whole. This report is intended for the information of the Ciws management and federal awarding agencies and pass-through entities and is not intended to be and should not be used by anyone other than these specifid.pMies ... .-- ~ ~. ~ "" San Diego, Cali&ia September 30,2002 7 CITY OF CARLSBAD Schedule of Findings and Questioned Costs Year Ended June 30.2002 I. Summary of Independent Auditor's Results Financial Statements Type of auditor's report issued: Unqualified Internal control over financial reporting: 0 Material weakness(es) identified? Yes X No 0 Reportable condition(s) identified that are not considered to be material weaknesses? X Yes None Reported Noncompliance material to financial statements noted? Yes X No Federal Awards Internal control over major program: Material weakness(es) identified? Yes X No 0 -Reportable condition(s) - identified -that are- not considered to be material weakness(es)? Yes X None Reported Type of auditor's report issued on compliance for major programs: Unqualified Any audit findings disclosed that are required to be reported in accordance with Section 5 10(a). of OMB Circular A- 133? Yes X NO Identification of major program: CFDA Number Name of Federal Program Amount Expended 14.871 Section 8 Housing Choice Voucher Program $3,867,573 Dollar threshold used to distinguish between type A and. type B programs: $300.000 Auditee qualified as low-risk auditee? .. X Yes No 8 CITY OF CARLSBAD Schedule of Findings and Questioned Costs (Continued) Year Ended June 30,2002 11. Findings relating to the financial statement audit.as required to be reported in accordance with generally accepted Government Auditing Standards A. Reportable Condition RC 02-01 Condition: There is a lack of segregation of duties in that utility billing rate tables, within the Harris system, are accessible by several people in various departments including at least two people in the finance department. The same two individuals in the finance department also have access to the utility billing stock and control processing and mailing of the billing information. Recommendation: The segregation of duties related to utility billings could be strengthened by adding access controls to the utilitfbilling rate tables in the Harris system. Access should be limited to appropriate accounting supervisors in the finance department who do not have access to, or perform utility billing. B. Compliance Findings None reported. III. Findings and questioned costs for federal awards A. Reportable Conditions None reported. B. Compliance Findings None reported. 9 CITY OF CARLSBAD Summary Schedule of Prior Year Audit Findings Year Ended June 30,2002 There were no prior year audit findings reported. Certified Public Accountants INDEPENDENT ACCOUNTANT'S REPORT ON APPLYING AGREED-UPON PROCEDURES To the Honorable Mayor and Members of City Council City of Carlsbad Carlsbad, California We have performed the procedures enumerated below to the accompanying Appropriations Limit Calculation of the City of Carlsbad, California (the City), for the year ended June 30, 2002. These procedures, which were agreed to by the City and the League of California Cities (as presented in the publication entitled Agreed-upon Procedures Applied to the Appropriations Limitation Prescribed by Article XIII-B of the Calijornia Constitution), were performed solely to assist the City in meeting the requirements of Section 1.5 of Article XIIIB of the California Constitution. The City's management is responsible for the Appropriations Limit Calculation. This agreed-upon procedures engagement was conducted in accordance with attestation standards established by the American Institute of Certified Public Accountants. The sufficiency of these procedures is solely the responsibility of those parties specified in this report. Consequently, we make no representation regarding the sufficiency of the procedures described below either for the purpose for which this report has been requested or for any other purpose. The procedures performed and our findings were as follows: 1. 2. 3. We obtained the completed internal calculations and compared the limit and annual adjustment factors included in those calculations to the limit and annual adjustment factors that were adopted by a resolution of the City Council. We also compared the population and inflation options included in the aforementioned calculations to those that were selected by a recorded vote of the City Council. Finding: No exceptions were noted as a result of our procedures. For the accompanying Appropriations Limit Calculation, we added line A, last year's limit, to line E, total adjustments, and compared the resulting amount to line F, this year's limit. Finding:, No exceptions were noted as a result of our procedures. We compared the current year information presented in the accompanying Appropriations Limit Calculation to thesupporting calculations described in item 1 above. Finding: No exceptions were noted as a result of our procedures. 11 4. We compared the prior year Appropriations Limit presented in the accompanying Appropriations Limit Calculation to the prior year Appropriations Limit adopted by the City Council during the prior year. Finding: No exceptions were noted as a result of our procedures. We were not engaged to and did not conduct an examination, the objective of which would be the expression of an opinion on the accompanying Appropriations Limit Calculation of the City of Carlsbad, California. Accordingly, we do not express such an opinion. Had we performed additional procedures, other matters might have come to our attention that would have been reported to you. No procedures have been performed with respect to the determination of the appropriation limit for the base year, as defined by Article XIIIB of the California Constitution. This report is intended solely for the information and use of the City Council and management of the City of Carlsbad, California, and is not intended to be and should not be used by anyone other than these specified parties. However, this report is a matter of public record and its distribution is not limited. San Diego, Cuifornia September 30,2002 .. 12 I I I I I I I 1, I t I I I I t I t I I CITY OF CARLSBAD, CALIFORNIA Appropriations Limit Calculation Year Ended June 30,2002 Amount Source A. Last Year's Limit B. Adjustment Factors: 1. Population change 2. Non-residential new construction change Total Adjustment [@A. x B.2.) -1.01 C. Annual Adjustment D. Other Adjustments: 1. Lost responsibility (-) 2. Transfer to private (-) 3. Transfer to-fees (-) 4. Assumed responsibility (+) Subtotal E. Total. Adjustments F. This Year's Limit $ 225,8 154 16 1.01754236255 State Finance 1.12053757994 San Diego County 0.14019445642 $ 3 1,658,070 (B x A) 3 1,658,070 (C + D) $ 257,473,486 (A + E) 13 A material weakness is a condition in which the design or operation of one or more of the internal control components does not reduce to a relatively low level the risk that misstatements in amounts that would be material in relation to the financial statements being audited may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. Our consideration of the internal control over financial reporting would not necessarily disclose all matters in the internal control that might be reportable conditions and, accordingly, would not necessarily disclose all reportable conditions that are also considered to be material weaknesses. However, we believe that the reportable condition described above is not a material weakness. We also noted other matters involving the internal control over financial reporting that we have reported to management of the City in a separate letter dated September 30,2002. This report is intended for the information of the City's management and federal awarding agencies and pass-through entities and is not intended to be and should not be used by anyone other than these specified parties. San Diego, Cufornia September 30,2002 5