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) :
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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
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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
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n
DOCUMENT G
CITY OF CARLSBAD
Compliance Reports
and Other Financial Information
June 30; 2002
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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
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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
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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
..
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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